Citizenship: Practices, Types and Challenges [1 ed.] 9781619424425, 9781619424401

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Copyright © 2012. Nova Science Publishers, Incorporated. All rights reserved. Citizenship : Practices, Types and Challenges, Nova Science Publishers, Incorporated, 2012. ProQuest Ebook Central,

Copyright © 2012. Nova Science Publishers, Incorporated. All rights reserved. Citizenship : Practices, Types and Challenges, Nova Science Publishers, Incorporated, 2012. ProQuest Ebook Central,

AMERICA IN THE 21ST CENTURY: POLITICAL AND ECONOMIC ISSUES

Copyright © 2012. Nova Science Publishers, Incorporated. All rights reserved.

CITIZENSHIP: PRACTICES, TYPES AND CHALLENGES

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AMERICA IN THE 21ST CENTURY: POLITICAL AND ECONOMIC ISSUES

CITIZENSHIP: PRACTICES, TYPES AND CHALLENGES

DEXTER PETTY AND

CLAY MACFARLAND Copyright © 2012. Nova Science Publishers, Incorporated. All rights reserved.

EDITORS

Nova Science Publishers, Inc. New York

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Copyright © 2012 by Nova Science Publishers, Inc. All rights reserved. No part of this book may be reproduced, stored in a retrieval system or transmitted in any form or by any means: electronic, electrostatic, magnetic, tape, mechanical photocopying, recording or otherwise without the written permission of the Publisher. For permission to use material from this book please contact us: Telephone 631-231-7269; Fax 631-231-8175 Web Site: http://www.novapublishers.com NOTICE TO THE READER The Publisher has taken reasonable care in the preparation of this book, but makes no expressed or implied warranty of any kind and assumes no responsibility for any errors or omissions. No liability is assumed for incidental or consequential damages in connection with or arising out of information contained in this book. The Publisher shall not be liable for any special, consequential, or exemplary damages resulting, in whole or in part, from the readers‘ use of, or reliance upon, this material. Any parts of this book based on government reports are so indicated and copyright is claimed for those parts to the extent applicable to compilations of such works.

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Independent verification should be sought for any data, advice or recommendations contained in this book. In addition, no responsibility is assumed by the publisher for any injury and/or damage to persons or property arising from any methods, products, instructions, ideas or otherwise contained in this publication. This publication is designed to provide accurate and authoritative information with regard to the subject matter covered herein. It is sold with the clear understanding that the Publisher is not engaged in rendering legal or any other professional services. If legal or any other expert assistance is required, the services of a competent person should be sought. FROM A DECLARATION OF PARTICIPANTS JOINTLY ADOPTED BY A COMMITTEE OF THE AMERICAN BAR ASSOCIATION AND A COMMITTEE OF PUBLISHERS. Additional color graphics may be available in the e-book version of this book.

Library of Congress Cataloging-in-Publication Data Citizenship : practices, types and challenges / editors, Dexter Petty and Clay MacFarland. p. cm. Includes index. ISBN 978-1-61942-442-5 (eBook) 1. Citizenship. 2. Citizenship--Cross-cultural studies. I. Petty, Dexter. II. MacFarland, Clay. JF801.C52 2012 323.6--dc23 2011046280

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CONTENTS Preface Chapter 1

Chapter 2

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Chapter 3

vii The EU Citizens‘ Initiative: Just a Symbol or a Concrete Innovation? Federico Forni

1

Demonizing Non-White Identities in the Global Security State: Citizenship, Social Exclusion And Racism in Australia Michael Wearing

25

Challenges at the Periphery of US Citizenship: Birthright Citizenship of Undocumented Immigrants and the Dream Act Carol Schmid

47

Chapter 4

Path to Citizenship for New Immigrants Steven G. Koven

63

Chapter 5

Citizenship and the Politics of Civic Driven change Alan Fowler and Kees Biekart

77

Chapter 6

Assessment and Prediction of Client-Targeted Citizenship Behaviors among Civil Servants Pablo Zoghbi-Manrique-de-Lara, Jorge E. Araña and Daniel F. Celis-Sosa

91

Chapter 7

Citizenship and Older People Amanda Phelan

105

Chapter 8

Digital Inclusion, Geoinformation and Actions for Citizenship Angelica Carvalho Di Maio and Victor Hugo Duba

119

Chapter 9

Multiethnic Societies, Citizenship/ Citizenships and Intercultural Education Rina Manuela Contini, Antonio Maturo

Chapter 10

Crime, Citizenship and the Welfare State in the UK Tim Owen

Index Citizenship : Practices, Types and Challenges, Nova Science Publishers, Incorporated, 2012. ProQuest Ebook Central,

131 143 151

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PREFACE This book presents current research in the study of the practices, types and challenges of citizenship. Topics discussed include social exclusion, racism and citizenship in Australia; birthright citizenship of undocumented immigrants and the Dream Act; a path to citizenship for new immigrants; client-targeted citizenship behaviors among civil servants; citizenship and older people and the socialization of geoinformation for teaching purposes and promotion of citizenship. Chapter 1- The European Union has been criticized for being distant from EU citizens who seem skeptical about an international organization whose rules do not always derive from the agreement between the voters and their representatives. Even if the ― democratic deficit‖ is attenuated by some citizens‘ prerogatives, the involvement of individuals in EU political issues is still modest. The Treaty of Lisbon has faced the challenge of filling the gap between European citizens and Union institutions conferring to individuals an entitlement to participate directly in the European democratic life. The recent reform introduced the popular initiative giving to at least one million of Union citizens the right to exhort the Commission to propose the adoption of a EU legal act (Article 11 TEU). The European Citizens‘ Initiative could improve significantly the feeling of belonging to the Union and might be the first step for creating the transnational space of discussion foretold by the White Paper on European Governance. In fact, the request to collect the signatures of nationals of at least a quarter of the Member States allows to glimpse that popular initiative proposals will be focused on ― European‖ issues. However, the impact of this right on the everyday life of individuals will depend by its concrete application. The analysis will consider the function of the Commission as well since this European institution will play a pivotal role in giving shape to the future citizens‘ initiative. Hence, the enforcement of Regulation 211/2011 should take into account that an interpretation granting an excessive discretion to the Commission could downgrade direct democracy to a mere symbolic element. The author considers which legal remedies might be invoked if the Commission did not present - or presented with essential modifications - the citizens‘ will. The approach based on a mutual trust between the EU and its citizens could allow to reduce the ― democratic deficit‖ and to assure a larger commitment of the individuals in shaping the Union‘s political life. Chapter 2- In the post World War Two years Australia was a country comfortable with its own migration policies. Nonetheless, underlying the history of migration and asylum seeking in the mid twentieth century was the shadow of an exclusionary and racist White Australia policy that kept many non-white, non-European migrants from gaining access to full social

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viii

Dexter Petty and Clay MacFarland

citizenship and the benefits of an advanced welfare state. The concept of the ‗Global security state‘ (De Genova 2010) as defining Australia‘s recent ‗anti terrorism‘ history post 9/11/2001 is shared with significant powerful Anglo-democratic allies such as the USA and Britain. Those who have been socially excluded on the basis of ‗non-whiteness‘ are defined as outsiders to citizenship and the distribution of socioeconomic resources. This demonizing is based in a politics of fear that helps orchestrate public support for a conservative monocultural policy and governance. Australian public policy and party politics is today replete with debate and media ‗sound bites‘ on refugees, migrants, anti-terrorism and the ‗non-white‘ other that enables this symbolic and material exclusion. Similar racial typing and segregationist discourse pervades policy debate directed at state control including harsher welfare and ‗law and order‘ restrictions for remote Aboriginal communities. What ties these debates and their social outcomes together is the reproduction of social inequalities and legitimation of the existing social order in a liberal democracy. Australia remains one of the most unequal societies in the OECD and this inequality contributes directly to Australia‘s racism. Chapter 3- Somers (2008) in Genealogies of Citizenship defines citizenship as the right to have equal rights and social exclusion as the demise of citizenship and the promise of universal and equal citizenship. This paper analyzes two instances at the periphery of citizenship that raise significant challenges to democratic citizenship in the United States. The demise of citizenship is related to the repeal of the birthright of individuals born on American soil. One large battle on the intersection of citizenship and immigration relates to undocumented immigrants‘ offspring, who are promised automatic citizenship under the 14th Amendment of the Constitution. Recently debate over ending the grant of birthright to US born children of unauthorized immigrants has been raised by anti-immigrant groups and potential Republican presidential contenders as a means of reducing illegal immigration. What are the impacts of repealing birthright citizenship? The second issue at the intersection of immigration and citizenship is related to the Dream Act (Development, Relief and Education for Alien Minors). This legislation first introduced in the Senate on August 1, 2001 and most recently re-introduced in the US Senate in May 2011 would provide conditional permanent residency to certain illegal alien students and a potential pathway to US citizenship. The Dream Act has also been criticized as extending the rights of illegal immigrants by granting legal status and extending amnesty to illegal aliens. The article provides an in-depth analysis of these two movements. The first section documents the background and description of the Birthright and Dream Act legislative and popular movements. The second section analyzes who and how many individuals would be affected in denying or extending citizenship and permanent status rights to respective minors. This section also examines public opinion related to Birthright Citizenship and undocumented immigrants and extending the Dream Act to individuals who arrived as children illegally with their parents in the United States. The third section describes how repealing Birthright Citizenship and extending the Dream Act are related to broader conceptions of citizenship rights in the United States. Chapter 4- Former president Ronald Reagan noted that America was different from countries such as Turkey or Japan where you can live in the nation but never become Turkish or Japanese. The United States also is known to differ from nations such as Germany where you were invited to work in times of need but then encouraged to leave for your home

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Preface

ix

country. Relatively open immigration with a clear path to citizenship is a hallmark and strength of the United States. In the United States citizenship and assimilation is expected. Immigrants such as Alexander Hamilton, Henry Kissinger, Arnold Schwarzenegger, Madeleine Albright, Albert Einstein, An Wang, Irving Berlin, Levi Strauss, Andrew Grove, George Soros, Jerry Yang, Andrew Carnegie and Sergey Brin have greatly contributed to the economic and cultural vitality of the nation. The development of major corporations such as Intel, Levi Strauss, Yahoo and Google are testament to the ability of immigrants to contribute to the economic development of the nation. The United States historically has stood as a beacon of opportunity for oppressed of other lands wishing to make a better life for themselves and their children. Today the challenge facing the United States is the integration and assimilation of new immigrants from Mexico and other parts of the world. Access to citizenship for these new immigrants remains controversial with some Americans denouncing the perceived ― invasion‖ of foreigners and others advocating fewer restrictions on immigration. Immigration is both supported as a means to propel economic growth and castigated for its impact on wages of American born workers. This chapter reviews historical as well as contemporary attitudes toward immigrants, immigration legislation, and characteristics of immigrants. Census data is used to identify nationality based differences in regard to various characteristics. Individual contributions of select immigrants illustrate the potential immigration holds for enriching the nation. Chapter 5- Nation states are premised on the legitimizing presence of a polity comprised of citizens. The politics of this relationship is central to discourse on how societies evolve. Yet in the discipline of international development studies the topic remains peripheral. Reasons can be found in conceptual confusion, in selectivity in donor thinking and policies towards civil society and in the growth-driven political economy of NGO-ism. Remedies for the political lacunae are being sought through a concerted focus on people‘s rights, citizenship and qualities of leadership, which all show valuable progress. This chapter will examine a comprehensive complement to such efforts referred to as civic driven change (CDC). Originating in a grounded empirical approach, the constituent principles and elements of CDC offer a lens that can both sharpen and deepen insights and advance analysis of civic agency in socio-political processes. As an ontologically grounded normative proposition, CDC allows exposure and examination of ‗uncivil‘ forces stemming from contending claims on citizenship. These factors are typically ignored or denied in an historical harmony model of societal change. A CDC narrative is illustrated by reference to contemporary examples of citizen action that play out at multiple sites of governance. Chapter 6- Despite the rich body of empirical research on organizational citizenship behavior (OCB) and job attitude, little is known about citizenship targeted at clients and its attitudinal predictors. Drawing on customer-oriented behaviors (COBs) and conventional citizenship directed at individuals (OCB-I), this article first elaborates on the idea of clienttargeted citizenship behaviors (CTCBs) among civil servants and proposes their assessment. Using holistic contexts in terms of organizational climate, the article then tests the relative effects of job attitudes on client-targeted citizenship (CTCBs), contrasting the results with the prior literature on conventional OCB. Data were collected from 84 of the 198 (42.4%) civil servants of a Spanish Social Security agency. Exploratory factor analysis (EFA) results suggested two factors of client-targeted citizenship (CTCBs) and five of organizational climate. Unable to be considered discretionary citizenship, one of the two CTCB factors was

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instead interpreted as ‗in-role behavior providing an outstanding service.‘ SEM results supported ‗leader, facilitation and support‘ and ‗job variety, challenge and autonomy‘ as significant climate factors for predicting client-targeted citizenship (CTCBs), and they showed that predictors of CTCBs and ‗in-role behavior providing outstanding service‘ differ considerably. The findings appear to suggest that managerial patterns to successfully foster conventional OCB, service quality and CTCBs are different, and they propose the creation of the best attitudinal profile for promoting CTCBs at work that can be made available to managers. Chapter 7- Citizenship is a concept which is commonly used in contemporary discourse; however, its precise meaning, implication, duties and responsibilities are not always articulated. This chapter reviews citizenship in relation to its historical development and emergence and its relationship with human rights. Modern challenges to citizenship will be contextualised with regard to the position older people hold in society. The chapter will argue that older people are often rhetorically positioned as equal citizens but when this is examined through various lenses such as finance, economics, health and participation, inequalities are apparent. Chapter 8- For educational purposes, with regard to citizenship, there is no doubt that geoinformation use has acquired a differentiated and highlighted meaning today. This is based on the premise that spatial knowledge is fundamental for the exercise of all citizens‘ rights and to bring into discussion the geographical knowledge in societies‘ formation for a possible social emancipation. The school is an environment for learning, where students acquire skills to facilitate learning and to encourage them to understand, interfere and be critical about the transformation processes that occur in the world. The focus of this chapter is to present a discussion and some applications on the socialization of geoinformation for teaching purposes and promotion of citizenship. Some projects aim to facilitate the integration, use and appropriation of a technology approach in education through geoinformation. This integration intends to facilitate operational projects for public schools systems. The educational site GEODEN and the CD ROM GEOIDEA have been used as educational resources and as a means of assessing the role of new technologies in the school environment, especially by using a free specialized version of a Geographic Information System called EDUSPRING. Another project, based on free software, called RIsO, was developed as an interactive map of social actions on the web.The map proposes the promotion of projects that provide free activities related to education, sport and culture, in short, activities that help knowledge democratization. Chapter 9- The experience of citizenship and its formal asset have undergone changes, because of the movement of people and because of the progressive multiculturality of cotemporary societies. It is evident that there is a pluralisation of citizenship forms both as a structural data - coexistence of different citizenships within the same territory - and as multiple expression in the individual (micro) and social (macro) experience. Citizenship is a manifold concept bound to society and to the culture in which it expresses itself. It is bound to the dimension of individual rights and freedom, but also to the processes of recognising a full dignity of each person and the right of difference and diversity (Marshall, 1950; Kymlicka, 1995; Council of Europe, 2008). Citizenship has always been at the heart of education and of the development of educational systems, both as a social task that modern society reverses on the school (form

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Preface

xi

the citizen with rights and duties) and as a concept that summarises the question of equal opportunities before education (Nesse Network, 2008; Commission of the European Communities, 2008). In the paper - through the analysis of the results of a statistical investigation carried out on a sample of 1314 Italian and foreign preadolescents attending secondary school in the Abruzzo Region (Italy) - the following topics have been considered: the question of the changing idea of citizenship and the necessity to reconsider citizenship with an expression of the universal applications of human rights with particular ones of single national facts and of single groups or people; the question of the right to be education and of the interventions that allow the full implementation of such a right (invest in the intercultural curriculum, welcoming practices, intensive curse for students just arrived finalize at favouring the acquisition of the language of the destination country, certifying linguistic competences, forming teachers, valorising plurilinguism, orienteering). In this context, the concept of human capital is reconsidered considering two other key concepts, those of social capital and cultural capital (Bourdieu, 1980; Coleman, 1988; Portes, Rumbaut, 2001). Citizenship dimension emerges as a wide program to realize new forms of inclusion, belonging, integration at a political-juridical, economic and social level. Chapter 10- This brief commentary presents an updated overview of the current ‗state of play‘ and recent trends in the Criminal Justice System of England and Wales in the context of developments associated with the so-called ‗post-industrial society‘ [Bell, 1973] and the impact of the processes known as ‗globalization‘ in terms of crime, citizenship, the welfare state, and challenges to the nation-state originally explored in the work of Owen [2009a]. It remains the contention here that whilst there is little doubt that the Criminal Justice System of England and Wales, and for that matter the individual nation-state of the United Kingdom, is being challenged by global and technological processes in the so-called ‗post-industrial‘ age, we need to avoid reductionist and essentialist theoretical accounts which rely upon unitary explanations for complex social phenomena, and which serve to exaggerate the scale and/or the intensity of ‗globalization‘, underplaying the uneven impact of ‗globalizing‘ tendencies. It is contended here that the social world is contingent and not determined by macrostructural motor forces. Drawing upon the anti-reductionist theories of Sibeon [1996, 2004] and Owen [ 2009a, 2009b, 2012 forthcoming], it is suggested that it is extremely doubtful that a reliance upon unitary explanations of the sort associated with ‗crude‘ globalization and postindustrialism theses will ever be capable of providing an adequate account of policy reproductive processes, trends, and developments within the Criminal Justice System of England and Wales.

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In: Citizenship: Practices, Types and Challenges Editors: Dexter Petty and Clay MacFarland

ISBN: 978-1-61942-440-1 © 2012 Nova Science Publishers, Inc.

Chapter 1

THE EU CITIZENS’ INITIATIVE: JUST A SYMBOL OR A CONCRETE INNOVATION? Federico Forni University of Bologna, Italy and University of Strasbourg, France

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ABSTRACT The European Union has been criticized for being distant from EU citizens who seem skeptical about an international organization whose rules do not always derive from the agreement between the voters and their representatives. Even if the ― democratic deficit‖ is attenuated by some citizens‘ prerogatives, the involvement of individuals in EU political issues is still modest. The Treaty of Lisbon has faced the challenge of filling the gap between European citizens and Union institutions conferring to individuals an entitlement to participate directly in the European democratic life. The recent reform introduced the popular initiative giving to at least one million of Union citizens the right to exhort the Commission to propose the adoption of a EU legal act (Article 11 TEU). The European Citizens‘ Initiative could improve significantly the feeling of belonging to the Union and might be the first step for creating the transnational space of discussion foretold by the White Paper on European Governance. In fact, the request to collect the signatures of nationals of at least a quarter of the Member States allows to glimpse that popular initiative proposals will be focused on ―E uropean‖ issues. However, the impact of this right on the everyday life of individuals will depend by its concrete application. The analysis will consider the function of the Commission as well since this European institution will play a pivotal role in giving shape to the future citizens‘ initiative. Hence, the enforcement of Regulation 211/2011 should take into account that an interpretation granting an excessive discretion to the Commission could downgrade direct democracy to a mere symbolic element. The author considers which legal remedies might be invoked if the Commission did not present - or presented with essential modifications - the citizens‘ will. The approach based on a mutual trust between the EU and its citizens could allow to reduce the ―de mocratic deficit‖ and to assure a larger commitment of the individuals in shaping the Union‘s political life.

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Federico Forni

1. INTRODUCTION

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Surveys, statements of politicians and doctrinal debates often criticize the European Union for being far from individuals.1 This distance can be well illustrated by the provoking parallel outlined by Monar who was wondering if the relationships between the EU and its citizens reflect the plot of Kafka‘s short story ― An Imperial Message‖, where a letter of the dying emperor fails to arrive to the lowest of his subjects.2 The Union is not on a dying bed but, being an international organization which covers a huge territory, is generally perceived as incapable of fully satisfying the needs of EU citizens.3 Therefore, small wonder they consider the European Commission only as ― an overbureaucratic institution‖.4 Moreover, this feeling of mistrust is sharpened by the lack of common history and traditions able to join European people together. Such a situation determines indifference about ― European themes‖ and makes difficult to develop a sense of solidarity among the nationals of the Member States.5 Apart from the cultural roots, European citizens tend to trust their national States more than the Union mainly owing to the characteristic of the EU institutional framework. Even if the Union recognizes as subjects of law not only the Member States but also physical and moral persons,6 the presence of a ― democratic deficit‖ determines a marginal participation of individuals in the European political life.7 In this context, European integration has progressively deprived the national Parliaments of part of their prerogatives without devolving corresponding powers to the European Parliament (EP).8 In other terms, ― the shift from national to EU level has (…) benefited executive decision-makers at the expense of parliamentarians[,] (…) weaken[ing] the link between the electorate and de facto legislators‖.9 As time went by, the situation partially evolved since the introduction of the co-decision procedure by the Maastricht Treaty increased the previous narrow powers of the EP.10 The ― democratic deficit‖ was also 1

For instance, in a survey carried out in Autumn 1992 to the question ―D o you think citizens have sufficient democratic influence in EC-decision making or not?‖ only 15% of the interviewees answered ―y es‖, 14% did not know, while 71% answered ―no ‖ (quoted in Niedermayer and Sinnott 1998, p. 283). 2 Monar 1998, p. 167. 3 Moravcsik 2002, p. 604; Follesdal and Hix 2006, p. 536. 4 Written question P-1771/97 by A. McCarthy to the Commission (14 May 1997), subject: ―EuropeanCommission conditions for the retention of documentation by successful European grant applicants‖, [1997] OJ C 391/130. 5 In fact, solidarity is traditionally linked to a circumscribed territory as the ―i dea of redistributive justice presupposes a bounded world; a group of people committed to dividing, exchanging and sharing social goods, first of all themselves‖ (Walzer 1983, p. 31). See also Bauböck 1994, p. 19 and van der Mei 2003, p. 5. 6 ECJ, Case 26/62, van Gend and Loos, [1963] ECR 1. 7 According to the Glossary reported in the web site ―EuropeGateway to the European Union‖, ―[t ]he democratic deficit is a concept invoked principally in the argument that the European Union and its various bodies suffer from a lack of democracy and seem inaccessible to the ordinary citizen because their method of operating is so complex. The view is that the Community institutional set-up is dominated by an institution combining legislative and government powers (the Council of the European Union) and an institution that lacks democratic legitimacy (the European Commission)‖ (http://europa.eu/legislation_summaries/glossary/ democratic_deficit_en.htm). 8 Crum 2005, p. 454. 9 Chryssochoou 2007, p. 362. 10 The co-decision procedure was based on a principle of parity between the Union legislative institutions as this law-making process ―preve nted a measure being adopted without approval of the Council and EP, and emphasized the reaching of a jointly approved text‖ (Craig and de Búrca 2011, p. 57). However, some scholars do not consider the Maastricht Treaty as a step-forward in increasing the EU democratization. For instance, it has been stated that ― instead of solidifying integration, the Maastricht Treaty galvanized intense opposition in mass and elite publics across the European Community‖ (Gibson and Caldera 1998, p. 68).

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The EU Citizens‘ Initiative

3

attenuated by some citizens‘ prerogatives, such as the right to vote and to stand as a candidate in the EP elections in the Member State of residence. Notwithstanding these developments, a more incisive evolution is still required as the formal powers of the EP cannot be compared with the political legitimacy of national legislative assemblies.11 It is unreasonable to establish organs that formally represent EU citizens without setting procedures which assure a real involvement of individuals in public issues.12 This scenario allows one to understand why most European citizens are skeptical about an Union whose rules are not always issued on the basis of the agreement between the voters [w]hile citizens may not actually be «dreaming» of and their representatives.13 In fact, ― messages from the EU institutions, there can be no doubt that most have the feeling of an enormous distance that separates them from the political system of the European Union‖.14 Hence, two questions arise. Can the Treaty of Lisbon fill the gap between the citizens and the Union? Has the reform introduced something innovative and effective to the existing EU law in order to increase the participation of individuals in the Union‘s democratic life?

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2. THE RIGHT TO PARTICIPATE IN THE DEMOCRATIC LIFE OF THE UNION The Treaty of Lisbon has faced the challenge of reducing the distance that separates European citizens from EU institutions, trying to increase the democratic legitimacy of the Union.15 This recent institutional reform gave to the EP a more powerful role extending the legal bases requiring an ordinary legislative procedure (former co-decision)16 and consolidating its involvement in the budgetary procedure.17 But the EU democratic legitimacy has been traditionally built also on the democracies of each Member State18 in which the national Parliament can control the action of the Government, collaborate informally with the executive branch and inform public opinion about deliberations on EU matters.19 To improve the use of these instruments, the new consolidated versions of the Treaties formally confer to national Parliaments a strengthened status. For instance, the Member States‘ assemblies can control the respect of the principle of subsidiarity through the ― early

11

Donnelly and Bigatto 2008, p. 98. BVerfG, 2 BvR 2134/92 and 2159/92, judgment 12 October 1993. See also Day and Shaw 2002, p. 185. 13 Interesting considerations on the skepticism of citizens towards the EU are developed by Rossi 2001, p. 14. 14 Monar 1998, p. 167. 15 To evaluate the general impact of the democratic principles introduced by the European Constitution see Villani 2005, pp. 643-676. 16 The Lisbon Treaty has expanded the co-decision procedure to more than 80 policy areas. The entire list of the legal bases for the ordinary legislative procedure can be found in General Secretariat of the Council, Guide to the ordinary legislative procedure, October 2010, Annex III. 17 Staab 2011, pp. 67-68; Warleigh-Lack 2009, p. 108. 18 For an analysis of the situation in Italy see e.g. Bindi Calussi and Grassi 2001, pp. 269-300. The other contributions collected in the same edited book examine the legal framework of the remaining Member States of the Union at that time. 19 Auel 2007, p. 504; Tans 2007, p. 247. 12

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warning system‖, a mechanism capable of avoiding an excessive intrusion of the Union legislation in matters that do not fall within the EU exclusive competences.20 The will to bestow more powers of control in EU issues to the organs which represent the citizens of the Member States at national level is coherent with Article 2 TEU which underlines that ― [t]he Union is founded on the values of respect for (…) democracy‖. But the ― Provisions on democratic principles‖ included in Title II TEU do not develop this general statement making reference only to national Parliaments. In fact, the Title contains specific provisions regulating the ― European dimension‖ of the EU political life. All the norms of this Title must first of all take into account the principle of democratic equality of EU citizens stated in Article 9 TEU pointing out that the Union respects the ― principle of the equality of its citizens, who shall receive equal attention from its institutions, bodies, offices and agencies‖. This wording emphasizes the tight link binding democratic participation and European citizenship21 even if this status has not gained so far a relevant attachment by public opinion22 owing to its strict connection with Member States‘ nationalities.23 Despite the lack of an autonomous EU citizenship, the democratic equality of the citizens and their rights are essential in declining the democratic principle in its two dimensions: representative democracy and participatory democracy. Article 10 TEU firstly considers the role of the traditional form of government that characterized from its establishment the Community, i.e. ― representative democracy‖. According to this system, the burden to represent the interests of Union citizens is withstand by the Members of the EP (MEPs) elected by the people for this purpose.24 However, the possibility for individuals to make their voice heard is not limited in electing their representatives. Besides the right to vote and to stand as candidates in local and European Parliamentary elections in the Country of residence,25 Union citizenship grants other rights implying a democratic participation at EU level such as the right to petition the EP,26 to apply to the European Ombudsman,27 to address the institutions and bodies of the Union in one of the official languages (i.e. in one of the languages listed in Article 55 TEU) obtaining a reply in the same language28 and to have access to documents of the Union‘s institutions, bodies, offices and agencies.29 Apart from the electoral rights, this corollary of prerogatives was drawn up in order to induce the European institutions to take an action able to solve individual problems without 20

Article 12(b) TEU. According to this procedure draft legislative acts are sent to the Parliaments of the Member States in the official languages of the Union [Protocol No 1 on the Role of National Parliaments in the European Union, Articles 2(1) and 4(1)]. Article 3(1) of this Protocol affirms that ―[n ]ational Parliaments may send to the Presidents of the European Parliament, the Council and the Commission [within the period of eight weeks (Article 4(1))] a reasoned opinion on whether a draft legislative act complies with the principle of subsidiarity‖. On this topic see Kiiver 2011, pp. 98-108. 21 In fact, one of the aims of the introduction of Union citizenship consisted in giving more democratic legitimacy to the European institutions (Bellamy and Warleigh 2001, p. 3). 22 Quintelier and Dejaeghere 2008, p. 339. 23 Article 20(1) TFEU. 24 Article 10(2) TEU points out that the election of the Members of the European Parliament is not the only form of political representation within the EU since also the representatives of the Member States who sits in the European Council and in the EU Council are ―dem ocratically accountable either to their national Parliaments, or to their citizens‖. This provision stresses that also the democratic systems of the Member States play an important role in the EU legal framework. 25 Article 22(2) TFEU. 26 Article 24(2) TFEU. 27 Article 24(3) TFEU. 28 Article 24(4) TFEU. 29 Article 15 TFEU.

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aiming to adopt a legislative act able to satisfy more general needs. On the basis of this rationale, some Authors proposed the approval of instruments allowing EU citizens to participate actively and directly in the Union‘s democratic life. Magnette underlined the necessity to introduce ― new kinds of participatory patterns‖ close to the electoral rights.30 Weiler criticized the absence of a ― civic act of the European citizen whereby he or she can influence directly the outcome of any policy choice facing the Community and Union‖.31 The solution suggested by the latter scholar was the introduction of ― some form of direct democracy at least until such time as one could speak of meaningful representative democracy at the European level‖.32 Taking note of the lack of means assuring the direct involvement of individuals in EU law, the Treaty of Lisbon introduced tools of participatory democracy along with the instruments of representative democracy. The idea to adopt both types of democracy mechanisms did not descend only from the scholarly writings previously quoted, but it was also outlined by the Commission in the White Paper on European governance.33 The perspective suggested by this document is currently enounced by Article 11 TEU which grants a range of tools that may assure a more active role to individuals. In fact, the first paragraph of the Treaty provision affirms that ― [t]he institutions shall, by appropriate means, give citizens and representative associations the opportunity to make known and publicly exchange their views in all areas of Union action‖, whereas the following paragraph specifies that ― [t]he institutions shall maintain an open, transparent and regular dialogue with representative associations and civil society‖. This transparency is applicable also to the works of the Council when it is acting as a legislator34 so that it is no longer one of the duties of national Parliaments to inform public opinion about voting decisions. Moreover, the access to the documents of all the institutions, organs and agencies of the Union is currently established by Article 15 TEU and by the relevant secondary law.35 Finally, Article 11(3) TEU states that ― [t]he European Commission shall carry out broad consultations with parties concerned in order to ensure that the Union‘s actions are coherent and transparent‖. In this way, the stakeholders can present not binding opinions in the course of public consultations submitting their points of view and indicating their priorities on specific topics. According to some scholars, these three paragraphs of Article 11 TEU reflect quite accurately the debates which led to the White Paper on European governance36 formalizing the practice previously followed mainly by the Commission.37 In fact, while drafting a legislative proposal or during the different phases of the law-making process, the Commission has led public consultations in order to collect the opinion of civil society on particular issues. Despite this behavior, the inclusion of the voluntary practice in a binding norm is the evidence of a relevant change of perspective which obliges the Union institutions to be 30

Magnette 2003, p. 151. Weiler 1999, p. 350. 32 Ibid. 33 Commission of the European Communities, European governance - A white paper, COM(2001) 428 final, 25 July 2001, [2001] OJ C 287/1-29. 34 Article 16(8) TEU states that ―[t] he Council shall meet in public when it deliberates and votes on a draft legislative act‖. 35 See e.g. Regulation (EC) 1049/2001 of the European Parliament and of the Council of 30 May 2001 regarding public access to European Parliament, Council and Commission documents, [2001] OJ L 145/43-48. 36 Auvachez 2007, p. 359. 37 Levrat 2005, pp. 92-93. 31

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transparent and open to consultation. In this way, Article 11 TEU confers to individuals participatory rights which can be compared to the prerogatives granted by the Aarhus Convention in the field of environmental policy.38 Hence, the unilateral commitment of the Commission to seek the opinion of civil society has become with the Lisbon Treaty a legal obligation whose violations may be sanctioned by the European Court of Justice (ECJ). Moreover, the willingness to promote the involvement of European citizens in the Union‘s democratic life is reflected by more specific provisions of primary law, such as Article 174 TFEU which allows for the adoption of means of participatory democracy in establishing cross-border forms of economical, social and territorial cooperation.39 The significant improvement in the EU legal order produced by these developments might contribute in reducing the distance between the Union and its citizens.

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3. THE RIGHT TO EUROPEAN CITIZENS’ INITIATIVE (ECI) For the purposes of this Chapter, the most relevant aspect of Article 11 TEU is the introduction of the European Citizens‘ Initiative (ECI) in the EU legal order. The fourth paragraph of this norm states that ― [n]ot less than one million citizens who are nationals of a significant number of Member States may take the initiative of inviting the European Commission, within the framework of its powers, to submit any appropriate proposal on matters where citizens consider that a legal act of the Union is required for the purpose of implementing the Treaties‖.40 Even if the formulation of the provision seems to indicate a sort of parallelism with the entitlement to submit a petition to the EP,41 the ― citizens‘ initiative (…) should not be confused with the right of petition‖.42 In fact, the new right established by the Treaty of Lisbon is generally recognized as a concrete innovation if compared to the pre-existing citizenship rights, although one scholar pointed out that ― the petition may have the same effect as the citizen‘s initiative since on the basis of it the Parliament can ask the Commission to take action‖.43 The reductive opinion forgets that it is not mere chance that the new norm has been defined as ― [t]he provision with the greatest capacity to capture headlines‖44 since it grants to Union citizens the right to propose the adoption of a normative act whose issuing ― may have a positive or a negative effect, promoting a new legal act, amending an existing one or abolishing another‖.45

38

Friedrich 2006, p. 31. On this topic see Lanzoni 2011, pp. 503-521. 40 The same norm was included in Article I-47(4) of the Treaty establishing a Constitution for Europe. 41 Bernard 2005, p. 370. 42 European Parliament, Report requesting the Commission to submit a proposal for a regulation of the European Parliament and of the Council on the implementation of the citizens‘ initiative (2008/2169(INI)), Committee on Constitutional Affairs, Rapporteur: Sylvia-Yvonne Kaufmann, 3 February 2009, A6-0043/2009, p. 7. The report points out the differences between this two rights at p. 14. 43 Smismans 2004, p. 137. 44 Shaw 2009, p. 113. 45 Auer 2005, pp. 81-82. 39

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The right of legislative initiative, assigned in the past to monarchs and local diets jointly46 before being granted to citizens, is provided for in the Constitutions of eleven of the twentyseven Member States and of some third Countries.47 The wide inclusion of this instrument within the common constitutional traditions of the Member States should induce to consider puzzling that the proposals to introduce this right at EU level were never made concrete before although ― [t]he idea of giving European citizens the right of initiative is not new among civil society, organizations and EU institutions‖.48 The innovation stresses the strong determination of taking distance from the former version of the Treaties which were based exclusively on representative democracy. In fact, the ECI reveals the willingness to give concrete form to the general statement of Article 1 TEU according to which the Union is founded on the ― peoples of Europe (…) [and] decisions are taken as openly as possible and as closely as possible to the citizen‖. The wording of the provision recognizes that the EU legal order has come to such a maturity as to provide a more active role for the European citizen in the law-making process in which ― the participatory rights of the People constitute an important corrective force in substantive matters‖.49

4. THE INDIRECT NATURE OF THE ECI The ECI appears to improve significantly EU law, but the content of this new right seems timid if compared with the initial ambitions emerged in the Convention for the future of Europe, whose works proposed more active forms of participation of the European citizen. For instance, during that debate it was suggested that the Commission should be legally

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46

See e.g. the Project of Constitutional Statute for the Lombardo-Veneto Kingdom (Progetto di Statuto Costituzionale per il Regno Lombardo-Veneto) of 8 June 1850, para. 53. But this approach was not followed only in the Italian peninsula. In fact, an Author reports that in Poland ―[t] he legislative initiative was vested in the king along with the council of guardians, the deputies, and the local diets. The local diets retained the legislative initiative, but they could no longer vote on local taxes, and their instructions were not binding on deputies to the Seym [Polish Parliament], who were recognized as representatives of the whole nation. In this way, all legislative power was centralized in the Seym‖ (Ludwikowski 1996, p. 10). Afterwards, ―[t ]he king, acting simultaneously as the Russian tsar, reserved for himself the legislative initiative and the right to veto the Seym‘s statutes‖ (ibid., p. 12). 47 Sousa Ferro 2007, p. 362, specially Table 1. According to the Author the popular legislative initiative is established in the Constitutions of Austria, Hungary, Italy, Latvia, Lithuania, Netherlands, Poland, Portugal, Romania, Slovenia, Spain and of other twenty-eight third Countries. Germany provides for this instrument only at a regional level. Some Member States (Austria, Hungary, Italy, Lithuania, Netherlands, Poland, Portugal, Romania, Slovenia and Spain) assure to nationals the right to submit a proposal which must be considered by public authorities, whereas Latvia and Slovakia allows their citizens to present their proposal for a referendum (Berg 2007, pp. 55-56). Outside the EU, some Countries have inserted this participatory instrument in their legal orders. For instance, the Swiss Constitution allows 100,000 citizens (about 2,1% of all the voters) to ask the Federal Assembly for the complete revision (Article 138, in force since 1 August 2003) or the partial revision of the Federal Constitution in specific terms (Article 139, in force since 27 September 2009). ― In the United States, the initiative is in use at the level of state government (not at national level), in 24 states out of 51, and is also in common use at the local and city government level‖ (Ventura 2010, p. 2). 48 Berg 2007, p. 55. The sentence continues recalling that ―[t] he European Parliament put forward proposals for introducing an initiative tool as long ago as the ‘80s and ‘90s. But it was only when the European Citizens‘ Initiative right found its place in what was then called the Constitutional Treaty that it became widely known and well accepted‖. Another scholar reports that also several Governments participating at the Intergovernmental Conference that would have lead to the Treaty of Amsterdam proposed to include the ECI within the prerogatives of European citizenship (Woolfson 2011, p. 53). 49 Biaggini 2010, p. 325.

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obliged to submit to the EP and to the Council a draft European law50 or to ask for the abrogation of an existing legal act.51 The minor incisiveness of Article 11(4) TEU is evident in the indirect nature of the right as citizens are not currently entitled to begin a legislative procedure, but they can only prompt the Commission to propose the adoption of a Union act.52 The chosen approach is usually justified reminding the differences between the EU and the national legal systems. While at Member State level the representatives sitting in national Parliaments can propose the adoption of a law, in the EU institutional framework the Commission holds as a general rule the power of proposal and neither the EP nor the Council in most fields (Union legislative institutions) have this faculty.53 The Commission preserves ― (…) [its] monopoly over the power of legislative initiative‖54 since only a limited number of cases specifically indicated by the Treaties assign this function to other subjects. The most notable exceptions concern the Common Foreign and Security Policy (CFSP), where the Commission has a marginal role as it can only support the High Representative,55 and the former third pillar (police and judicial cooperation in criminal matters) where the Commission shares its power of legislative initiative with one-quarter of the Member States.56 Other examples of normative areas in which organs different from the Commission can formulate a proposal for the adoption of a EU act are the monetary policy, where the Council can act on the basis of a recommendation formulated by the European Central Bank57 and the establishment of a specialized Court by the EP and the Council following a request of the ECJ.58 Conferring, in the large majority of cases, to the Commission a power of legislative initiative may not be considered shocking in the light of the evolution of EU law. Some Authors believe that this approach can contribute to foster democracy. According to one of these scholars the fact ― [t]hat the Commission as a non-representative institution has the monopoly of legislative initiative may seem odd from a democratic point of view. However, in practice this monopoly may successfully ensure effective, coherent and even «democratic» decision making, in particular where the Commission seeks to mediate between different and often unrepresented or underrepresented interests‖.59 But this legal reasoning does not specify the grounds for which the mediation should take place before the submission of a proposal as analogous benefits appear to be possible also during the following stages of the law-making process. Even though it is undeniable that ― the Commission does not so much «represent» an 50

In the system of sources outlined by the Treaty establishing a Constitution for Europe, European laws corresponded to current Regulations (see Article I-33 of the Constitutional Treaty, [2004] OJ C 310/26-27). 51 Fiche amendement, Proposition d‘amendement à l‘Article 34 (bis) déposée par Monsieur Alain Lamassoure, Article 34bis: droit de pétition et référendum européen, http://european-convention.eu.int/docs/treaty/ pdf/26/26_Art%20I%2034bis%20Lamassoure%20FR.pdf. 52 Referring to Article 46(4) of the European Constitution, it was pointed out that ―t he right of popular initiative was in fact a glorified version of the general political rights of citizens, as the Commission was expected only to consider whether the initiative merited putting forward a legislative proposal; there was no binding outcome for the initiative‖ (Fossum and Menéndez 2010, p. 141). 53 Article 17(2) TEU states that ―U nion legislative acts may only be adopted on the basis of a Commission proposal, except where the Treaties provide otherwise‖. 54 Chalmers, Davies and Monti, p. 61. 55 According to Article 30(1) TEU the proposal for the adoption of a CFSP act can be submitted by any Member State, by the High Representative of the Union for Foreign Affairs and Security Policy or by the High Representative with the support of the Commission. 56 Article 76 TFEU. 57 Article 291 TFEU. 58 Article 257 TFEU. Moreover, Article 281 TFEU gives the initiative to the ECJ in proposing amendments to the Statute of the Court. 59 Verhoeven 2005, p. 166.

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abstractly determined European general interest, but instead must attempt to find a solution based on bringing together different interests as actively as possible‖,60 the point of view of these Authors seems more inclined to fasten as much as possible the adoption of Union norms supporting the efficiency of the EU legal system61 rather than guaranteeing that all the voices are heard. On the basis of these premises it has been stated that ― the nature of the European Union and specific limitations of Community law (i.e. the Commission‘s monopoly on initiative) steered the Praesidium to instead put forward a watered-down version of popular legislative initiative‖.62 Nevertheless, some doubts still remain about this justification. The aim of giving a quasi-monopoly of initiative to the Commission was mainly to have proposals coming from a subject which represents the interests of the Union and which is different from the legislator.63 Thus, it is not easy to discern why allowing EU citizens to propose directly an Union act would have threaten the institutional balance of the Union as individuals do not have direct legislative powers. In any case, citizens are currently on the same level as the two legislative institutions of the Union since they obtained a faculty ― similar to the right to the prerogatives already conferred on the European Parliament under Article 225 (…) TFEU64 (…) and on the Council under Article 241 TFEU‖.65 The equalization between EU citizens and the EP in this field might rise doubts that the real obstacles to confer a direct right of initiative to the citizens were the fears of the Commission to prevent the EP from requesting the same power. In fact, difficulties in extending to other subjects the faculty to present a legislative proposal do not appear to be easily explainable. In the Member States, Parliaments have a power of initiative and in some EU Countries, as previously reported, also individuals can propose the passage of a law or the adoption of an amendment to the Constitution. A comparison with the Member States‘ legal orders might be useful to suggest to what extent the EU legal system is restrictive in the field of legislative proposals. An example of the wide number of subjects that have a power of initiative on the national level is given by Articles 71, 99, 121, 132 and 133 of the Italian Constitution. These provisions allow the Government, every member of the national Parliament, 50,000 citizens, the National Council for 60

Ibid. ―TheCommission has always been an institution open to outside input. The Commission believes this process to be fundamental to the development of its policies. This dialogue has proved valuable to both the Commission and the interested outside parties. Commission officials acknowledge the need for such outside input and welcome it‖ [Communication from the Commission: An open and structured dialogue between the Commission and special interest groups, SEC(92)2272 final, 2 December 1992, p. 3]. 62 Sousa Ferro 2007, p. 356. 63 This assertion can be confirmed by the fact that, as a general rule, ― [w]here (…) the Council acts on a proposal from the Commission, it may amend that proposal only by acting unanimously‖ (Article 293 TFEU). 64 In fact the EP ―hasno independent right of legislative initiative‖ (Douglas-Scott 2002, p. 90), but ―i t was given the right it has exercised for some years to request the Commission to propose legislation‖ (Lehning 1997, p. 181). Douglas-Scott affirms that ―[ d]uring the negotiations leading to the Single European Act, the Parliament made the case, unsuccessfully, for such a right. The Commission opposed this strongly on the basis that its sole right of initiative was a fundamental element of the constitutional balance in the EU (reasons given for this have related to the possible short-termisms of the Council of Ministers, and the suggestion that the EP is not yet sufficiently developed to present its own legislatives). The EP no longer calls for such a power, but since Maastricht is had the power (…), similar to that of the Council (…), to request legislative initiatives on the part of the Commission, although it has so far used this right sparingly‖ (Douglas-Scott 2002, pp. 90-91). ―[T] he Parliament held back from demanding the power of initiative, knowing that this would trigger similar demands from the Council - perhaps to the disadvantage of supranational institutions as a whole‖ (Moravcsik and Nicolaïdis 1998, p. 22). 65 Recital 1 of Regulation (EU) 211/2011 of the European Parliament and of the Council of 16 February 2011 on the citizens‘ initiative, [2011] OJ L 65/1-22. 61

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Economics and Labor (CNEL) and Regional and Municipal Councils to propose the adoption of a law. What could happen if the Italian rules were transferred in EU law? Democracy and individual involvement in public affairs might only increase. In fact, a broader range of subjects possessing the power of formulating a legislative proposal could improve the capacity of the EU to satisfy the expectations and the needs of all European citizens. If the extension of the Italian norms to EU law was considered excessive, a compromise solution would be conferring this faculty, besides to Union citizens, also to the Committee of the Regions and to the Economic and Social Committee in areas connected to their institutional functions or to give to European citizens a ― real‖ (i.e. direct) power of initiative.

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5. THE SECONDARY LAW CONCERNING THE ECI: REGULATION 211/2011 As previously reported, the Treaties merely point out the required number of signatories, i.e. one million Union citizens, who must be nationals of a ― significant‖ number of Member States, without providing further details about the modalities in which the ECI must be exercised. Therefore, owing to the absence of direct effect of Article 11(4) TEU, EU citizens had to wait for the adoption of secondary law provisions stating the precise conditions for making their right concrete. Coherently with this approach, Article 11(4) TEU specifies that ― [t]he procedures and conditions required for such a citizens‘ initiative shall be determined in accordance with the first paragraph of Article 24 of the Treaty on the Functioning of the European Union‖.66 Conscious of the importance of implementing this new right, the EP immediately took the appropriate steps that would have led to the issuing of an act regulating all the aspects of the ECI. After the approval of the report drawn up by Sylvia-Yvonne Kaufmann, the EP asked the Commission to present, immediately after the entry into force of the Lisbon Treaty, a proposal for a Regulation aimed at guaranteeing the involvement of Union citizens in activating EU legislative proposals.67 Thus, in November 2009 the Commission drafted a Green Paper68 to launch a public consultation. On the basis of the replies given by the stakeholders,69 the Commission submitted in March 2010 a draft Regulation to the Council and the EP.70 The two EU legislative institutions, acting together in the ordinary legislative 66

Article 24 TFEU reads: ―TheEuropean Parliament and the Council, acting by means of regulations in accordance with the ordinary legislative procedure, shall adopt the provisions for the procedures and conditions required for a citizens‘ initiative within the meaning of Article 11 of the Treaty on European Union, including the minimum number of Member States from which such citizens must come‖. It is logical that the details ruling the practical aspects of the ECI must be contained in a norm adopted with the ordinary legislative procedure. 67 Implementation of the citizens‘ initiative, European Parliament resolution of 7 May 2009 requesting the Commission to submit a proposal for a regulation of the European Parliament and of the Council on the implementation of the citizens‘ initiative, [2010] OJ C 212 E/99-105. 68 Commission of the European Communities, Green Paper on a European Citizens‘ Initiative, COM(2009) 622 final, 11 November 2009. 69 Nearly 330 stakeholders replied to the Green Paper and a public hearing took place in February 2010 [European Commission, Commission staff working document - Outcome of the public consultation on the Green Paper on a European Citizens‘ Initiative, Accompanying document to the Proposal for a Regulation of the European Parliament and of the Council on the citizens‘ initiative, SEC(2010) 370, 31 March 2010, p. 2]. 70 Commission of the European Communities, Proposal for a Regulation of the European Parliament and of the Council on the citizens‘ initiative, COM(2010) 119 final, 31 March 2010. See also Committee on

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procedure, adopted the implementing Regulation 211/2011 that shall apply from 1 April 2012 (Article 23) achieving one of the priorities of the Belgian Presidency.71 The impact of the ECI has still to be perceived, especially in the light of the conditions established by Union law for exercising this right. Nevertheless, it is undeniable that ― [t]he EU institutions are mindful of the need to put some flesh on the bones of (…) [the] provisions [concerning participatory democracy], as attested to by the speed with which proposals in relation to the Citizens‘ Initiative have been brought forward‖.72 The analysis of the primary law and of Regulation 211/2011 can be very useful in order to illustrate the rules governing the ECI. The relevant normative framework indicates the necessity to reach a compromise between two contrasting necessities. The procedure must be easily accessible to Union citizens and it must not contain excessive requirements that prevent EU citizens from using this right. On the other hand, some conditions are necessary in order to guarantee the credibility of the instrument, avoid abuses and ― ensure uniform conditions for supporting a citizens‘ initiative across the EU‖.73

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6. THE PROCEDURE SET IN REGULATION 211/2011 Regulation 211/2011 describes a procedure which is developed in four stages, i.e. registration of the ECI, collection of the statements of support from signatories, submission of the ECI to the Commission, conclusions on the ECI by the Commission, each one requiring a detailed set of rules. Article 3(2) of this EU act affirms that the organizers of the ECI must form a committee of at least seven Union citizens each of whom must reside in a different Member State. Hence, EU citizens living in a third Country cannot be members of the committee. This exclusion cannot be judged as a discrimination since the cross-border composition of the committee reflects the willingness to assure a real ― European‖ character both to the ECI formulation and to the whole procedure. The committee does not have to be only the expression of private persons. The assertion derives from recital 9 of Regulation 211/2011 according to which ― [e]ntities, notably organisations which under the Treaties contribute to forming European political awareness and to expressing the will of citizens of the Union, should be able to promote a citizens‘ initiative, provided that they do so with full transparency‖. Although it is not easy to discern to which entities and notably organisations the recital refers, their involvement is necessary as it is very hard for people residing in different Member States to get the required approval of one million EU citizens. In fact, as a scholar affirmed in relation to the popular initiatives in Uruguay, ― their passage depends largely on the mobilization efforts of organized partisan groups operating outside the conventional legislative arena‖.74 Regardless of an organization support, one of Constitutional Affairs, Working Document on a proposal for a Regulation of the European Parliament and of the Council on the citizens‘ initiative, Rapporteur Zita Gurmai and Alain Lamassoure, 22 June 2010. Notebook of the Presidency, http://www.eutrio.be/blog/citizen-s-initiative-project-all-european-citizens. 72 Craig 2010, p. 77. 73 European Commission, Commission staff working document, Outcome of the public consultation on the Green Paper on a European Citizens‘ Initiative, Accompanying document to the Proposal for a Regulation of the European Parliament and of the Council on the citizens‘ initiative, SEC(2010) 370, 31 March 2010, p. 2. 74 Altman 2002, p. 628. The importance of an opinion group is shared also by different Authors. For instance, a Swiss scholar pointed out that ―t he coalition formation among political elites is a key determinant of the 71

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the first tasks of the organizers consists in the nomination of the contact persons (one representative and one substitute) for speaking and acting on their behalf in order to simplify the relations between the committee and the EU institutions.75 According to Article 4 of Regulation 211/2011 the organizers must submit ― on a website made available by the Commission prior to collecting the necessary statements of support from citizens‖76 all the information required for the registration of the ECI. The data specified in Annex II of the Regulation are kept to the minimum. The organizers shall provide in one of the EU official languages the title of the ECI, its object, a description of its aims, the legal base, the personal data of the members of the committee and the available financial means. Within two months from the submission of the ECI, the Commission registers the proposal or refuses the registration if the conditions stated in the Article 4(2) are not satisfied.77 Once the ECI is registered, the collection of signatures must follows the rules set out in the implementing Regulation.78 This EU act points out detailed instructions to perform all the required actions necessary for this phase, including the models for the collection of statements of support (Annex III) that can be also gathered online.79 To allow the online collection, the Commission must set up before 1 January 2012 a data processing system with technical and security requirements able to ensure that only physical persons can adhere to the initiative and that the data are collected on the basis of the model in order to ensure the verification by the Member States. Moreover, according to Article 12 of the Regulation both the organizers of the ECI and the competent authorities of the Member States have to guarantee the protection of personal data.80 The signatures must be accompanied by the personal data of the signatories. This obligation has the aim to avoid abuses but it was contested by some NGOs,81 by the EP and by some Member States. The European Data Protection Supervisor recommended ― to delete the request for the personal identification number and the non-mandatory information fields from the model form in Annex III‖.82 In order to reach a compromise between the diverging opinions and to achieve the purpose of verification, Regulation 211/2011 gives to each Member State the final world in deciding which personal information is required to control

outcome of direct-democratic votes‖ (Kriesi 2006, p. 599). Several organizations are conscious of their influence on public opinion. For instance, the Irish Congress Trade Unions stated that ―TradeUnions undoubtedly have the capacity to raise a million signatures across 27 member states‖ (Irish Congress Trade Unions, Observations and Recommendations on EU Treaty, Article 11, The European Citizen‘s Initiative (ECI), ID number 49140263150-65, January 2010, p. 3, http://ec.europa.eu/dgs/secretariat_general/ citizens_initiative/docs/ictu_en.pdf). 75 Article 3(2) of Regulation 211/2011. 76 Recital 10 of Regulation 211/2011. 77 The conditions stated in Article 4(2) of the Regulation will be discussed in para. 8 of this Chapter. 78 Article 5 of Regulation 211/2011. 79 Article 6 of Regulation 211/2011. 80 Article 12 of Regulation 211/2011. Regarding the protection of personal data in the EU, see Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data, [1995] OJ L 281/31-50. 81 For instance, the ECI Campaign argued that ―[t ]he European Data Protection Supervisor determined that ID card numbers were not necessary and should not be collected from citizens supporting an ECI‖ (quoted in http://www.euractiv.com/pa/parliament-gives-go-ahead-citizens-petitions-news-500652). 82 Opinion of the European Data Protection Supervisor on the proposal for a Regulation of the European Parliament and of the Council on the citizens‘ initiative, [2010] OJ C 323/4, para. 31.

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the authenticity of the signatures.83 To avoid any excessive administrative burden, the EU Countries can verify the signatures on random sampling.84 As the Union legislation does not impose to control a minimum percentage of personal information, the magnitude of the sample is left to the national authorities which must ― recognise the certificates issued by the 85 competent authorities of other Member States‖. Obviously, it is evident that another requirement of the procedure consists in fixing a compulsory time limit within which it is necessary to collect the signatures. The choice of a reasonable expiration time is connected with the requirements of the rule of law since the absence of a deadline would not ensure legal certainty, whereas an excessively short lapse of time would prevent Union citizens from presenting their proposal. In order to balance these two necessity, Article 5(6) of Regulation 211/2011 affirms that ― [a]ll statements of support shall be collected after the date of registration of the proposed citizens‘ initiative and within a period not exceeding 12 months‖. After having collected the signatures, the organizers submit the initiative to the Commission.86 Afterwards, the Commission will examine the ECI deciding, within three months, whether the proposed action will be taken or not.87 The pros and cons of such a procedure cannot be evaluated since the systems has never been applied in the practice until now because only ― starting on the 1st of April 2012, citizens‘ initiative committees can register an ECI (…) with the European Commission and start collecting signatures‖.88

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7. THE BENEFICIARIES OF THE PROVISION AND THE NUMERICAL REQUIREMENTS According to Article 11(4) TEU and Regulation 211/2011, the beneficiaries of the provision are the citizens of the Union, so this right could be extended to third Country nationals only amending EU primary law. This argument seems clearly stated by the norm, since the Treaty explicitly mentions the cases in which EU citizenship rights are open to individuals who do not possess this status.89 However, an Author criticizes the approach of the Treaty, underlining that a strict interpretation of the ECI provision is not reasonable since it prevents the political participation of the third Country nationals who reside in the Union.90

83

Annex III of Regulation 211/2011. Nevertheless, not all the organizations are satisfied with the result as reported in an article pointing out that an NGO ―com plained that member states had been given «carte blanche» to determine how to verify signatures and what data to collect and pledged to spend the next year [2012] urging member states to adopt citizen-friendly signature collection and verification rules‖ (http://www.euractiv.com/ pa/parliament-gives-go-ahead-citizens-petitions-news-500652). 84 Recital 18 of Regulation 211/2011. 85 Article 6(3) of Regulation 211/2011. 86 Article 9 of Regulation 211/2011. 87 Article 10(1) of Regulation 211/2011. 88 http://www.citizens-initiative.eu/. 89 For instance, Article 24 TFEU grants to EU citizens the right to petition the European Parliament and to apply to the Ombudsman, but refers to Articles 227 and 228 TFEU in order to assure these rights also to every natural or legal person residing or having its registered office in a Member State. 90 Dollat 2008, p. 563.

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The scholar strengthens his point of view emphasizing that also non-EU citizens are the addressees of EU norms and they are entitled to present a petition to the EP.91 Despite these scholarly considerations, the Regulation stresses that the signatories must be EU citizens having the age required in each Member States for voting in the EP elections. The indication of a minimum number of individuals is a requisite traditionally enunciated by all the national legislations. In Italy and Lithuania 50,000 nationals are required for presenting a proposal,92 while the number of voters increases to 250,000 in Romania.93 As mentioned above, Article 11(4) TEU included also a territorial distribution requirement stating that the citizens submitting an ECI must be nationals of a significant number of Member States. The concrete meaning of the term ― significant‖ is clarified by Regulation 211/2011 affirming that the ECI must be signed by the citizens of at least a quarter of the Member States (Article 7). Therefore, at present, being the EU Countries twenty-seven, it is necessary to have the signature of nationals at least of seven Member States. This requisite is not puzzling as it reflects the criteria such as double majorities that States with a federalist nature use in order to ensure a certain territorial distribution of the total majority. In addition, the attention of a suitable number of Member States assures that the ECI holds a real ― European character‖ without being linked to outdated national 94 concepts. But a perplexity is raised observing that both Article 11(4) TEU and Article 7 of Regulation 211/2011 specify that the basis to establish the connection with an EU Country is nationality. The specification of the nationality link has the merit of making the condition more comprehensible compared to the ambiguous wording of the corresponding provision of the Convention‘s Draft Constitution which required as signatories Union citizens ― com[ing] 95 from a significant number of Member States‖. The vague terms of the Draft Constitution would have allowed to be interpreted as ― referring to residence rather than national origin of the signers‖.96 However, the formulation introduced by the Lisbon Treaty clarifies that the minimum number of signatories for each Member State comprehends only nationals of a particular EU Country regardless of the Member State in which they reside. In fact, the new norm hinders the flexible interpretation allowed by the Draft Constitution preventing the Union citizens who have been residing for a long time in another Member State from being calculated together within the nationals of the host society with which they are completely integrated. The strict application of the criterion of nationality might repudiate the developments according to which residence has partially replaced nationality in the EU.97 This situation not only contrasts with the fact that Union citizens elect both their MEPs and local representatives in the Country of residence, but it might contribute to depriving European citizenship of a real added value and to denying a partial autonomy to this status.98 91

Ibid. Article 68 of the Lithuanian Constitution, quoted in Ludwikowski 1996, p. 493. 93 Article 73 of the Romanian Constitution, quoted in Ludwikowski 1996, p. 131. 94 See recital 5 of Regulation 211/2011. 95 The European Convention, Draft Treaty establishing a Constitution for Europe, CONV 850/03, 18 July 2003, p. 39, Article 46(4). 96 Auer 2005, p. 81. 97 Davies 2005, pp. 43-56. 98 ― Union citizenship assumes nationality of a Member State but it is also a legal and political concept independent of that of nationality‖ (Opinion AG Poiares Maduro, Case C-135/08, Rottman [2010], ECR I-1449, para. 23). 92

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Focusing on the nationality link without any reference to the residence does not appear to exclude from the ECI the EU citizens living in a third Country. On the one hand, their inclusion can be evaluated as the evidence of the Union willingness to consolidate the tie with all its citizens everywhere they live. On the other hand, the real ― European‖ character of the initiative might be questionable if the minimum number of signatories of a Member States would be achieved with the decisive contribution of citizens far from the Union needs. Although in some Member States, like in Italy, the citizens living outside the EU can only vote at the EP elections by returning to national territory or to another EU Country of residence, the possibility to collect the supporting statements also through the web should allow even the citizens who reside in third States to participate to the ECI. In this case, the Member States should accept the certificates issued by their own diplomatic or consular authorities or by the missions of other Member States in the territory of a third Country in which the Member State of which the signatory is a national is not represented.99 Regulation 211/2011 specifies the criteria to be followed in order to ensure a sufficiently recognition and legitimacy of the territorial distribution of signatories. It is logical to fix a certain number or a specific percentage since few nationals would not be representative of the national will. Also this aspect is not an innovation considering that for instance the Romanian Constitution provides that ― [a] legislative initiative from citizens must represent at least onequarter of the counties of the country, and at least 10,000 signatures in support of this initiative must be obtained in each of these counties or in Bucharest Municipality‖.100 In Switzerland, where the institution of the popular initiative dates back to 1891,101 the proposals of the nationals ― are accepted if a majority of those who vote and a majority of the Cantons 102 [t]he result of a popular vote in a Canton shall determine approve them‖ considering that ― the vote of the Canton‖.103 The Union did not fix a predetermined number of nationals for each Member State. According to Article 7(2) of Regulation 211/2011, the ECI must be signed in each of the involved Member States by a minimum number of nationals corresponding to the number of the MEPs elected for that State multiplied for 750.

99

The issue of a certificate related to an ECI statement by a diplomatic or consular mission of a Member State different from that of nationality of the EU citizen can have the legal base on Article 23 TFEU according to which ―[e] very citizen of the Union shall, in the territory of a third country in which the Member State of which he is a national is not represented, be entitled to protection by the diplomatic or consular authorities of any Member State, on the same conditions as the nationals of that State‖. The concrete application of Article 23 TFEU needs the extension to the ECI procedures of Article 5(2) of Decision 95/553/EC of the Representatives of the Governments of the Member States meeting within the Council of 19 December 1995 regarding protection for citizens of the European Union by diplomatic and consular representations, [1995] OJ L 314/73-76. Article 5(2) of the Decision states that ― Member States‘ diplomatic representations or consular agents serving in a non-member State may, in so far as it is within their powers, also come to the assistance of any citizen of the Union who so requests in other circumstances‖ respect to those detailed in Article 5(1) (death, grave accident or serious illness, intervention in favour of detainees, aid to the victims of violent crimes and repatriation of distressed Union citizens). 100 Article 73 of the Romanian Constitution, quoted in Ludwikowski 1996, p. 131. 101 Bevort 2011, p. 447. 102 Article 142(2) of the Federal Constitution of the Swiss Confederation. As English is not an official language of the Swiss Confederation, the translation is provided for information purposes only without legal force at the website http://www.admin.ch/ch/e/rs/1/101.en.pdf. 103 Article 142(3) of the Federal Constitution of the Swiss Confederation.

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8. DOES THE CITIZENS’ INITIATIVE EXCLUDE PROPOSALS IN CERTAIN SUBJECTS? Finally, as far as the conditions are concerned, it is necessary to assess whether the Treaty and Regulation 211/2011 prohibit to present ECIs regarding certain matters. From an historical point of view, diets were forbidden to present proposals on subjects such as local taxes.104 At present, national Constitutions includes limitations stating explicitly a list of issues in which nationals cannot present legislative proposals.105 Article 11(4) TEU and the implementing Regulation do not indicate directly a list stating restrictions by subject and one might be induced to think that EU citizens can present an ECI in all the fields. But it is reasonable to raise the question whether Union law set limits while conferring this right to European citizens. An obvious limitation is that the ECI must concern the adoption of an act on a topic of competence of EU law. This assertion is based on the consideration that the Union has to be competent for adopting the ECI, thus excluding issues where the competence lies in the Member States‘ prerogatives. If this consideration is logical, at least one inconsistency seems already to rise from the practice even before the entry into force of Regulation 211/2011. Some associations urge public opinion to sign declarations asking to unify the seat of EU institutions owing to the avoidable high expenses due to the two seats of the EP (Brussels and by Strasbourg).106 However, the seat of the institutions is not determined by the Union but ― common accord of the governments of the Member States‖.107 Therefore, their location has been established by a Decision of Representatives of the Governments of the Member States,108 currently included in Protocol 6 to the Treaties.109 Despite the name, this act might not be misunderstood with an EU ― Decision‖ since it is an agreement stipulated by the Member States in simplified form outside the legal framework of the Treaties.110 Being the choice of the location of EU institutions and organs outside the competences of the Union, citizens cannot propose an ECI on this subject. Moreover, the Treaty states that the citizens can invite the Commission to present proposals ― within the framework of its powers‖ (Article 11 TEU), implying that the citizens‘ requests must concern an area in which the Commission has the right of initiative. Regulation

104

For instance in Poland after the Constitution of 3 May 1791 ―[t ]he local diets (…) could no longer vote on local taxes‖ (Ludwikowski 1996, p. 10). 105 E.g. Article 73 of the Romanian Constitution affirms that ― [f]iscal matters, international issues, amnesty, or pardon cannot be the object of a legislative initiative from citizens‖ (Ludwikowski 1996, p. 539). Similarly, Article 75(2) of the Italian Constitution does not allow a referendum on topics related to tax laws and budget, amnesty and pardon and for authorization to ratify international treaties. 106 http://www.oneseat.eu/. 107 Article 341 TFEU, former Article 216 EEC. 108 Decision taken by common agreement between the Representatives of the Governments of the Member States on the location of the seats of the institutions and of certain bodies and departments of the European Communities, [1992] OJ C 341/1-4; 67/446/EEC: 67/30/Euratom: Decision of the representatives of the Governments of the Member States on the provisional location of certain Institutions and departments of the Communities, [1967] OJ 152/18-20. 109 [2010] OJ C 83/265. 110 Teitgen 1971, p. 646; Pescatore 1992, pp. 69-70.

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211/2011 confirms this approach highlighting that the Commission can register the ECI only if it ― does not manifestly fall outside the framework of the Commission‘s powers to submit a proposal for a legal act of the Union for the purpose of implementing the Treaties‖.111 For instance, this limitation excludes Union citizens‘ actions in areas where the High Representative or the Member State have this power. Therefore, topics connected to the CFSP cannot be covered by an ECI as in this field the power of proposal is conferred to the High Representative and not to the Commission.112 As a result, EU citizens cannot present, for instance, an ECI in order to regulate some aspects of the European External Action Service.113 Another limit emerges from the fact that Article 11(4) TEU states that the ECI is aimed at the adoption of ― a legal act of the Union (…) required for the purpose of implementing the Treaties‖. Hence, the ECI aims at adopting provisions of secondary law and not at amending the Treaties.114 In other terms, initiatives can be transposed only into legal acts of secondary law without assuming a constitutional rank.115 Obviously, if the content of the ECI was inconsistent with the hierarchy of norms, the ECI would be rejected considering that an eventual approval would require to ask for the annulment of the act to the ECJ. A specific case confirming the necessity to respect primary law is explicitly mentioned by Regulation 211/2011 according to which initiatives must not be ― manifestly contrary to the values of the 116 Union as set out in Article 2 TEU‖. Article 4(2)(c) of the Regulation fixes other requirements stating that the ECI must not be ―m anifestly abusive, frivolous or vexatious‖. These criteria raise more perplexities as they seem to give an excessive discretion to the Commission which will have the final word in choosing whether an ECI might be frivolous, i.e. vain and useless, for the development of the Union. Nevertheless, EU citizens rights are guaranteed as the Commission has to indicate to the organizers of the ECI the reasons of the refusal of the registration. Moreover, if the individuals do not agree with the motivation, they can recur to the normal judicial and extrajudicial remedies offered by the EU legal system.117 Therefore, the analysis of the norms seems to guarantee that these limits were only introduced with the objective of being a filter aimed at preventing specious ECIs from clogging the work of the European institutions and organs.

111

Article 4(2)(b) of Regulation 211/2011. Dollat 2008, p. 564. The EU diplomatic service is regulated by Council Decision 2010/427/EU of 26 July 2010 establishing the organisation and functioning of the European External Action Service, [2010] OJ L 201/30-40. 114 Article 48(1) TEU states that ―[t] he Treaties may be amended in accordance with an ordinary revision procedure [Article 48(2)-(5) TEU or] (…) in accordance with simplified revision procedures [Article 48(6), (7)]‖. 115 ― [T]he Court of Justice has ruled that the Treaties establishing the Communities constitute a «constitutional charter»‖ (European Parliament resolution on the constitutionalisation of the Treaties, [2001] OJ C 197/186). In fact, according to the ECJ, ―t he EEC Treaty, albeit concluded in the form of an international agreement, nonetheless constitutes the constitutional charter of a Community based on the rule of law‖ (ECJ, Opinion 1/91, [1991] ECR I-6079, Summary, para. 1). Before this opinion, the constitutional value of the Treaty was stated in several sentences (ECJ, Case 294/83, Les Verts, [1986] ECR 1339, para. 23; ECJ, Case 314/85, FotoFrost, [1987] ECR 4199, para. 16; ECJ, order 13 July 1990, Case C-2/88 Imm., Zwartveld, [1990] ECR I3365, para. 16) and was recently confirmed in ECJ, Joined Cases C-402/05 P and C-415/05 P, Kadi, [2008] ECR I-6351, paras 81 and 281 and Court of First Instance, Case T-461/08, Evropaïki Dynamiki, not yet reported, para. 46. 116 Article 4(2)(d) of Regulation 211/2011. 117 Article 4(3) of Regulation 211/2011. 112 113

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9. THE CENTRAL ROLE OF THE COMMISSION It is puzzling that the procedure preserves the pivotal role of the Commission, which possesses the final word in deciding whether to execute the ECI. This approach has surely reassured this EU institution, which was afraid to lose its role of initiative.118 After the registration of the ECI and the collection of the signatures, Regulation 211/2011 assures to the organizers the opportunity to present their initiative during a public hearing with the representatives of the Commission along with the EP and with the eventual participation of members of other institutions and bodies of the Union.119 The norms just specifies that the ECI will conclude with an impartial evaluation and the procedure will finish with an official position of the Commission which must be given within three months from the presentation of the ECI. Public opinion will be informed on the Commission decision likely with the publication on the EU Official Journal and through the Commission website. The Commission may have the power to regulate the particular aspects of the initiative as the minimum information needed for registering an ECI is not very detailed,120 although the organizers may provide more exhaustive information including a draft legal act. In the absence of specific rules, it has been raised the question whether the competence to choose between a Regulation or a Directive concerns the Commission or the citizens‘ committee.121 Likely, the final choice will be the Commission‘s concern, but in case of a divergence from the type of act eventually indicated by the organizers, the EU institution would have the duty to give reasons for its decision.122 Therefore, the Commission will not only choose whether presenting the proposal, but it will have discretion in deciding the type of EU act and the formulation of its content. In fact, the Commission is not obliged to formalize the proposal in a draft legislative act if the ECI is in contrast with the political objectives of the Union. Owing to the fact that the Commission still holds the monopoly of legislative initiative, it is evident that the lack of an instrument of control could make this right empty. An Author has affirmed that even though ― the Commission will not be legally obliged to follow up on any such initiative, the political weight of it will, in practice, force the Commission to engage in serious work following the result of an initiative‖.123 On the basis of this reasoning, it is clear that the real problem consists in assessing whether EU law gives to citizens certain instruments of control in case the Commission does not translate the will of people into legal norms. This analysis is pivotal for determining the real impact of the ECI in reducing the Union‘s ― democratic deficit‖. In fact, as underlined by Oliver Wendell Holmes, ― legal obligations that exist but cannot be enforced are ghosts that are seen in the law but are elusive to the grasp‖.124 The EP expressed the necessity to explicitly indicate the possibility to apply to the ECJ or to the European Ombudsman to

118

De Poncins 2003, pp. 214-215. Article 11 of Regulation 211/2011. 120 Annex II of Regulation 211/2011. 121 Kaddous 2006, p. 325. 122 Ibid. 123 Piris 2006, p. 119. 124 The Western Maid, 257 U.S. 419, 433 (1922). 119

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challenge the decision of the Commission or the failure to take such decision.125 This recommendation was not fully followed by the drafters of Regulation 211/2011. Nevertheless, Article 10(2)(c) of this EU act states that the Commission shall indicate ― in a communication its legal and political conclusions on the citizens‘ initiative, the action it intends to take, if any, and its reasons for taking or not taking that action‖. This provision does not seem to preclude a judicial control on the legal aspects of the decision as the wording of the norm seems to admit the possibility to present an action for annulment under Article 263 TFEU or for failure to act under Article 265 TFEU. However, if the reasons for the refusal are merely political, the ECJ would not probably be able to decide on the matter since it might recognize the discretional power of the Commission in formulating proposals. The possibility of judicial review is also supported by the fact that such control exists on the first evaluation after the registration phase. It would be illogical to allow seven people of the committee to object to a decision of the Commission and prevent one million European citizens from enforcing their rights facing the ECJ. On the other hand, also the EP has not a strong power of control on the Commission which can reject its legislative initiatives. In the case of a refusal of a proposal a prompt and coming from the EP, the Commission must indicate the reasons126 using ― sufficiently detailed reply‖.127

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CONCLUSION The ambitious objective of introducing the ECI might be able to reduce the ― democratic deficit‖ and the distance that separates European citizens from the Union institutions. Regulation 211/2011 enriched EU law with a legal instrument which could bring European citizens nearer to the places in which political decisions are taken. This conclusion has been underlined by scholarly statements according to which the mechanism introduced by the Regulation might contribute in ― develop[ing] citizens‘ senses of political identity in a crossborder, more «European» way, through iterated instances of deliberation and cooperation‖.128 However, the innovation respect to the former legal scenario is sufficient to decrease, but not to completely eliminate, the gap between the individuals and the Union. Also the German Federal Constitutional Court pointed out the low significance of the democratic novelties introduced by the Lisbon Treaty, such as the ECI.129 The failure of the new norms in filling the breach was ascribed to the observation that EU ― is not a federal state but remains an 130 association of sovereign states‖. Only time will determine whether higher expectations will be satisfied by Regulation 211/2011 or if this EU act should be amended to allow a more complete realization of the initial objectives. Practical applications will have to wait since the Regulation have a 125

Implementation of the citizens‘ initiative, European Parliament resolution of 7 May 2009 requesting the Commission to submit a proposal for a regulation of the European Parliament and of the Council on the implementation of the citizens‘ initiative, Annex, [2010] OJ C 212 E/99-105. 126 Article 225 TFEU. 127 European Parliament/Commission Framework Agreement, [2001] OJ C 121/122, para. 4. The relations between these two institutions are currently regulated by the Framework Agreement on relations between the European Parliament and the European Commission, [2010] OJ L 304/ 47-62. 128 Warleigh-Lack 2007, p. 69. 129 BVerfG, 2 BvE 2/08, judgment 30 June 2009. 130 Federal Constitutional Court of Germany, Press release 72/2009, 30 June 2009.

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transitory period of 12 months stating that it shall apply from 1 April 2012. Therefore, it is too early to give a final judgment on the ECI since the advantages cannot be foreseen without assessing the practice. Currently one can only recall the necessity to carefully contemplate the opposed requirements of facilitating the ECI and of controlling the legitimacy of the aims of the proposal. In fact, a German empirical analysis pointed out that strict rules are the most important factors limiting the number of popular initiatives.131 The consideration that the Regulation represents only a starting point had to be present in the mind of the European legislator. In fact, the drafters of this act included a review clause132 according to which the Commission will present every three years after the entry into force of the Regulation a report to the EP and the Council on its application. The analysis of this report will help to correct and to simplify the procedure which could hinder the access of Union citizens to the ECI. Hence, the adjustments based on the experience will satisfy the ambition to have a ― tool (…) truly at the service of citizens (…) simple, understandable and most of all easy to use‖133 although abiding the right equilibrium between the ECI accessibility and the abusive exercise of the right. However, the enthusiasm for having identified the ECI as an instrument capable of guaranteeing a deeper involvement of the people in the legislative procedure in order to achieve a perfect democracy must be dampened. Whereas, on the one hand, it seems logical to give Union citizens the power to propose directly legislative acts, on the other hand it cannot be forgotten that ― there is ample reason today to give serious consideration to the founding fathers‘ cautious approach to direct democracy. They were closer than we to those basic structural arrangements by which individual rights in a free society must be protected against the tyranny of the majority‖.134

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REFERENCES Altman, D. (2002). Popular initiative in Uruguay: confidence votes on government or political loyalties? Electoral Studies, vol. 21, pp. 617-630. Auel, K. (2007). Democratic Accountability and National Parliaments: Redefining the Impact of Parliamentary Scrutiny in EU Affairs. European Law Journal, vol. 13, pp. 487-504. Auer, A. (2005). European Citizens‘ Initiative. European Constitutional Law Review, vol. 1, pp. 79-86. Auvachez, É. (2007). Penser la citoyenneté européenne: Du Livre blanc sur la gouvernance au projet de Traité constitutionnel. Canadian Journal of Political Science, vol. 40, pp. 343-365. Bauböck, R. (1994). Transnational Citizenship: Membership and Rights in International Migration. Aldershot: Edward Elgar. Bell, A. D. (1978). The referendum: Democracy‘s barrier to racial equality. Washington Law Review, vol. 54, pp. 1-29.

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Eder, Vatter and Freitag 2009, pp. 611-633. Article 22 of Regulation 211/2011. 133 Šefčovič M., Vice-President of the European Commission. Speech/10/274. Treaty of Lisbon: Implementation and Citizen‘s Initiative. Foro de la Nueva Economía. Madrid, 31 May 2010. 134 Bell 1978, pp. 28-29. 132

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Bellamy, R., and Warleigh, A. (2001). Introduction: The Puzzle of EU Citizenship. In R. Bellamy, and A. Warleigh (Eds.), Citizenship and Governance in the European Union (pp. 3-18). London - New York: Continuum. Berg, C. (2007). The European Citizens‘ Initiative process. In C. Berg, P. Carline, D. Wallis, J. Leinen, and B. Kaufmann (Eds.), The initiative for Europe. Handbook 2008 (pp. 5563). LLP: Brussels. Bernard, E. (2005). La démocratie participative sous l‘angle du dialogue civil et du dialogue social. In V. Constantinesco, Y. Gautier, and V. Michel (Eds.), Le traité établissant une Constitution pour l‘Europe: analyses and commentaires (pp. 365-382). PUS: Strasbourg. Bevort, A. (2011). Démocratie, le laboratoire suisse. Revue du MAUSS, vol. 37, pp. 447-475. Biaggini, G. (2010). Die schweizerische direkte Demokratie und das Völkerrecht - Gedanken aus Anlass der Volksabstimmung über die Volksinitiative ― Gegen den Bau von Minaretten‖. Zeitschrift für öffentliches Recht, vol. 65, pp. 325-343. Bindi Calussi, F., and Grassi, S. B. (2001). The Italian Parliament: From Benevolent Observer to Active Player. In A. Maurer, and W. Wessels (Eds.), National Parliaments on their Ways to Europe: Losers or Latecomers? (pp. 269-300). Baden-Baden: Nomos. Chalmers, D., Davies, G., and Monti, G. (2010). European Union Law: Text and Materials (second edition). Cambridge: Cambridge University Press. Chryssochoou, D. N. (2007). Democracy and the European Polity. In M. Cini (Ed.), European Union Politics (second edition, pp. 360-374). New York: Oxford University Press. Craig, P. (2010). The Lisbon Treaty: Law, Politics, and Treaty Reform. New York: Oxford University Press. Craig, P., and de Búrca, G. (2011). The Evolution of EU Law (second edition). New York: Oxford University Press. Crum, B. (2005). Tailoring Representative Democracy to the European Union: Does the European Constitution Reduce the Democratic Deficit? European Law Journal, vol. 11, pp. 452-467. Davies, G. T. (2005). ― Any Place I Hang My Hat?‖ or: Residence is the New Nationality. European Law Journal, vol. 11, pp. 43-56. Day, S., and Shaw, J. (2002). European Union Electoral Rights and the Political Participation of Migrants in Host Polities. International Journal of Population Geography, vol. 8, pp. 183-199. De Poncins, E. (2003). Vers une Constitution européenne: texte commenté du projet de traité constitutionnel établi par la convention européenne. Paris: Éditions 10-18. Dollat, P. (2008). La citoyenneté européenne: Théorie et status. Bruxelles: Bruylant. Donnelly, B., and Bigatto, M. (2008). The European Parliament and enlargement. In E. Best, T. Christiansen, and P. Settembri (Eds.), The Institutions of the Enlarged European Union: Continuity and Change (pp. 82-99). Cheltenham - Northampton, MA: Edward Elgar Publishing. Douglas-Scott, S. (2002). Constitutional Law of the European Union. Longman: London. Eder, C., Vatter, A., and Freitag, M. (2009). Institutional Design and the Use of Direct Democracy: Evidence from the German Länder. West European Politics, vol. 32, pp. 611-633. Follesdal, A., and Hix, S. (2006). Why There is a Democratic Deficit in the EU: A Response to Majone and Moravcsik. Journal of Common Market Studies, vol. 44, pp. 533-562.

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Fossum, J. E., and Menéndez, A. J. (2010). The Constitution‟s gift: a constitutional theory for a democratic European Union. Plymouth: Rowman and Littlefield Publishers. Friedrich, D. (2006). Participatory Democracy in the European Union? European Governance and the Inclusion of Civil Society Organisations in Migration and Environmental Policies, Revised version of the paper presented at the Fifteenth International Conference of the Council for European Studies. Gibson, J. L., and Caldera, G. A. (1998). Changes in the Legitimacy of the European Court of Justice: A Post-Maastricht Analysis. British Journal of Political Science, vol. 28, pp. 63-91. Kaddous, C. (2006). L‘initiative citoyenne: un instrument de démocratie directe à l‘échelle de l‘Union européenne. In C. Kaddous, and A. Auer (Eds.), Les principes fondamentaux de la Constitution européenne (pp. 317-328). Bruxelles: Bruylant. Kiiver, Ph. (2011). The Early-Warning System for the Principle of Subsidiarity: The National Parliament as a Conseil d‘Etat for Europe. European Law Review, vol. 36, pp. 98-108. Kriesi, H. (2006). Role of the Political Elite in Swiss Direct-Democratic Vote. Party Politics, vol. 12, pp. 599-622. Lanzoni, L. (2011). Le forme di democrazia partecipativa nell‘ambito della cooperazione transfrontaliera. Rivista Italiana di Diritto Pubblico Comunitario, vol. 21, pp. 503-521. Lehning, P. B. (1997). European citizenship: a mirage? In P. B. Lehning, and A. Weale (Eds.), Citizenship, democracy, and Justice in the New Europe (pp. 175-199). Routledge: London. Levrat, N. (2005). La vie démocratique de l‘Union. In M. Dony, and E. Bribosia (Eds.), Commentaire de la Constitution de l‟Union européenne (pp. 83-96). Bruxelles: Editions de l‘Université de Bruxelles. Ludwikowski, R. R. (1996). Constitution-making in the region of former Soviet dominance. Durham - London: Duke University Press. Magnette, P. (2003). European Governance and Civic Participation: Beyond Elitist Citizenship? Political Studies, vol. 51, pp. 144-160. Monar, J. (1998). A Dual Citizenship in the Making: The Citizenship of the European Union and its Reform. In M. La Torre (Ed.), European Citizenship: An Institutional Challenge (pp. 167-183). The Hague - London - Boston: Kluwer Law International. Moravcsik, A. (2002). In Defence of the ― Democratic Deficit‖: Reassessing Legitimacy in the European Union. Journal of Common Market Studies, vol. 40, pp. 603-624. Moravcsik, A., and Nicolaïdis K. (1998). Keynote Article: Federal Ideals and Constitutional Realities in the Treaty of Amsterdam, Journal of Common Market Studies, vol. 36, Annual review, pp. 13-38. Niedermayer, O., and Sinnott, R. (1998). Democratic Legitimacy and the European Parliament. In O. Niedermayer, and R. Sinnott (Eds.), Public Opinion and Internationalized Governance (pp. 277-309). New York: Oxford University Press. Pescatore, P. (1992). Le droit de l‟intégration: Emergence d‟un phénomène nouveau dans les relations internationales selon l‟expérience des Communautés Européennes. Leiden: Sijthoff. Piris, J.-C. (2006). The Constitution for Europe. Cambridge: Cambridge University Press. Quintelier, E., and Dejaeghere, Y. (2008). Does European Citizenship Increase Tolerance in Young People? European Union Politics, vol. 9, pp. 339-362.

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Rossi, L. S. (2001). Proud to be European: Orgoglio e pregiudizi dell‘identità europea. Diritto Immigrazione e Cittadinanza, pp. 13-24. Shaw, J. (2009). The constitutional development of citizenship in the EU context: with or without the Treaty of Lisbon. In I. Pernice, and E. Tanchev (Eds.), Ceci n‟est pas une Constitution: Constitutionalisation without a Constitution? (pp. 104-118). Berlin: Nomos. Smismans, S. (2004). The constitutional labelling of ― The democratic life of the EU‖: Representative and participatory democracy. In L. Dobson and A. Føllesdal (Eds.), Political theory and the European constitution (pp. 122-138). London - New York: Routledge. Sousa Ferro, M. (2007). Popular Legislative Initiative in the EU: Alea Iacta Est. Yearbook of European Law, vol. 26, pp. 355-385. Staab, A. (2011). The European Union Explained: Institutions, Actors, Global Impact. Bloomington: Indiana University Press. Tans, O. (2007). Conclusion: National Parliaments and the European Union: Coping with the Limits of Democracy. In O. Tans, C. Zoethout, and J. Peters (Eds.), National Parliaments and European Democracy: A Bottom-up Approach to European Constitutionalism (pp. 227-247). Groningen: Europa Law Publishing. Teitgen, P.-H. (1971). La décision dans la Communauté économique européenne. Collected Courses of the Academy of International Law, vol. 134, III, pp. 589-690. van der Mei, A. P. (2003). Free movement of persons within the European Community: Cross-border access to public benefits. Oxford - Portland: Hart Publishing. Ventura, L. (2010). The European Citizenship Initiative (ECI): A new democratic tool? TEPSA (Trans-European Policy Studies Association) Brief, 8 September 2010. Verhoeven, A. (2005), Democratic Life in the European Union According to its Constitution. In D. M. Curtin, and R. A. Wessel (Eds.), Good Governance and the European Union: Reflections on Concepts, Institutions and Substance (pp. 153-172). Antwerp - Oxford New York: Interscentia. Villani, U. (2005). Principi democratici e diritti fondamentali nella ― Costituzione europea‖. La comunità internazionale, vol. 60, pp. 643-676. Walzer, M. (1983). Spheres of Justice: A Defence Pluralism and Equality. New York: Basic Books. Warleigh-Lack, A. (2007). On the path to legitimacy? A critical deliberativist perspective on the right to the citizens‘ initiative. In C. Ruzza, and V. Della Sala (Eds.), Governance and Civil Society in the European Union: Normative Perspectives (pp. 55-72). Baskingstoke: Palgrave Macmillan. Warleigh-Lack, A. (2009). European Union: The Basic (second edition). Abingdon: Routledge. Weiler, J. H. H. (1999). The Constitution of Europe: “Do the New Clothes Have an Emperor?” and Other Essays of European Integration. Cambridge: Cambridge University Press. Woolfson, T. (2011). L‘initiative citoyenne: un pas vers la démocratie directe dans l‘Union européenne. In C. Cheneviere, and G. Duchenne (Eds.), Les modes d‟expression de la citoyenneté européenne (pp. 51-71). Louvain-la-Neuve: Presses universitaires de Louvain.

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Chapter 2

DEMONIZING NON-WHITE IDENTITIES IN THE GLOBAL SECURITY STATE: CITIZENSHIP, SOCIAL EXCLUSION AND RACISM IN AUSTRALIA Michael Wearing School of Social Sciences and International Studies, Faculty of Arts and Social Sciences, University of New South Wales, Sydney Australia

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ABSTRACT In the post World War Two years Australia was a country comfortable with its own migration policies. Nonetheless, underlying the history of migration and asylum seeking in the mid twentieth century was the shadow of an exclusionary and racist White Australia policy that kept many non-white, non-European migrants from gaining access to full social citizenship and the benefits of an advanced welfare state. The concept of the ‗Global security state‘ (De Genova 2010) as defining Australia‘s recent ‗anti terrorism‘ history post 9/11/2001 is shared with significant powerful Anglo-democratic allies such as the USA and Britain. Those who have been socially excluded on the basis of ‗nonwhiteness‘ are defined as outsiders to citizenship and the distribution of socioeconomic resources. This demonizing is based in a politics of fear that helps orchestrate public support for a conservative mono-cultural policy and governance. Australian public policy and party politics is today replete with debate and media ‗sound bites‘ on refugees, migrants, anti-terrorism and the ‗non-white‘ other that enables this symbolic and material exclusion. Similar racial typing and segregationist discourse pervades policy debate directed at state control including harsher welfare and ‗law and order‘ restrictions for remote Aboriginal communities. What ties these debates and their social outcomes together is the reproduction of social inequalities and legitimation of the existing social order in a liberal democracy. Australia remains one of the most unequal societies in the OECD and this inequality contributes directly to Australia‘s racism.

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Michael Wearing

INTRODUCTION

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Hussein says his boss has called him a ‗Lebanese terrorist‘ at work on a couple of occasions. His boss thinks it is funny but Hussein feels his work colleagues have started to treat him differently and don‘t talk to him as much since these comments started. Michael, who is Aboriginal, was researching information on the Internet for his University course and found an internet site which allowed people to publish offensive comments about Aboriginal people. Peter is from Nigeria. He claims whenever he goes to the local pub the security staff will follow him around, warn people about drinking with him and tell female patrons not to talk to him. Peter thinks this is because he is black. (Quoted as 'Complaints to the Australian Human Rights Commission' under The Racial Discrimination Act accessed 21/9/11 Webpage http://www.hreoc.gov.au)

If you walk along any street in Australia as a black African refugee or Australian Aboriginal you would be noticed, gazed upon, defined and summed up from within certain White socio-cultural constructions and judgements about who you are. These constructions rely upon a history and social context of racist and discriminatory assumptions built into Australian culture and society. Up until the 1970s Australia lived with a White Australia policy that excluded and subordinated ‗the other‘ from full citizenship in Australian society especially Aboriginal and Torres Strait Islander, Southern European, Asian and African migrant and refugee. They also today rely upon a globalized division of the North and South that maintains and widens social inequalities across the globe. One of the most pronounced division between White affluent middle classes and those who have crossed borders into the West from developing countries that includes members of poor and working class communities in the First World (Pakulski, 2004). The globalising of racism in everyday life in the West in particular has been countered by those who argue for a globalizing human rights that focus on civil rights and civil liberties. There is a research and critical policy need to reframe citizenship for those who cross borders as migrants or refugees around such issues as workers rights and conditions (Radice 2005, Darder 2007). The governmental trajectory of mono-culturalism and social exclusion has universal appeal to many conservative Governments and the media in Western democracies. For example, Guney‘s (2010) study of 23 young British Muslims shows how media representations of Muslims reinforce feelings of and attitudes towards Otherness based in racism and discrimination. He concludes that: The construction of a homogenous identity and culture by the mass media involves the creation of mechanism of inclusion and exclusion. Through the dichotomized representation of ‗us‘ as the ‗civilized West‘ and ‗them‘ as the uncivilized Muslims/Islam‘, the mass media are to a great deal involved in the creation of the ‗internal Others‘. The youths, constituting the ‗Other‘ of the West, notice a likeness between the racialized, demonized and victimized Muslim identities in the West and those of the war-affected countries of the Middle East. They draw parallels between their experience of racism and discrimination in the Western diaspora and the experience of subjection of people in war-affected countries (Guney 2010: 179).

The everyday categories and typing of the non-White Other are linked inextricably to the emergence of a post-welfare and globalized security state formation in the West. One that is Citizenship : Practices, Types and Challenges, Nova Science Publishers, Incorporated, 2012. ProQuest Ebook Central,

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increasingly part of market in conjunction with the state delivered forms of coercion and social control of citizens. Such controls are part of the neo-liberal focused on order and security within such states (Gibney 2004, Jamrozik 2009, De Genova 2010). Australia‘s projected population growth from 2000-2020 will be only 1% of the total population growth of the Asia pacific region. As a smaller country in the region Australia has offered in comparative terms an idealised ‗safe haven‘ and ‗land of opportunity‘ for migrants and refugees. Since the early 1990s Australia has had a planned refugee and humanitarian intake of around 12000 people a year. Both the conservative Howard government (1996-2007) and the Rudd and Gillard Labor Governments (2007 to the present) have created political capital out of punishing refugees notably those who arrive by boat and using heavy handed security and legislative measures to seek out terrorist organisations and individuals. Important questions remain as to whether a globalizing human rights discourse can challenge institutionalized racism in Australia even with more than three decades of the implementation of legislation such as the 1975 Racial Discrimination Act. Relying on the guidelines of international debate and United Nations (UN) edicts on human rights can also be restrictive. Basok et al (2006, p, 267) have argued that human rights are different to citizenship rights. Human rights discourses being institutionalised through the UN since 1948, and made international and universal i.e. unbounded by membership. Social justice as the fair and equitable distribution of resources helps to shape both human rights and citizenship. However, ‗human rights principles shape notions of citizenship‘. Evans and Eyers (2006) take this further by arguing that the push for international citizenship through (neo) liberal rights is integral to the emerging neo-liberal constitution legitimized by the United Nations declaration of Human Rights. The UN Convention thereby supports the property rights of transnational and multinational companies and their owners and thereby legitimates the neo-liberal agendas of global capitalism. Nonetheless, rights based discourse in terms o social welfare provision and social inclusion agendas has had a major local impact of service delivery to disadvantaged and vulnerable populations (Wearing 2010). These debates on globalizing human rights and citizenship lead into a sociological understanding of how institutionalized racism excludes the other in Australia. This Chapter will poss some of these questions on Australian racism but will not seek to solve or answer them. The key social question underlying this analysis is what socio-structural divisions of gender, ‗race‘, class, location and age contribute to our understanding of ‗cultural difference‘ in Australian society? What is it in Australian culture that sets up social division, prejudice and local conflict like that which has arisen out of the 2005 Cronulla ‗race‘ riots and in other recent social dissent over the inhumanity of refugee and asylum seekers detention centres notably in 20 plus refugee detention centres in remote parts of Australia such as Port Headland? Is Australian society a tolerant or intolerant society of those who cross borders? How do theories of citizenship, human rights and social justice help us to understand and perhaps act upon such divisions? This chapter will argue that at the centre of processes that have lead to social exclusion and racism towards the non-White other in Australia is the depth of social inequality. There is a need to create a more qual and just society that can challenge and overcome institutionalised racism and everyday discrimination in the mix of culture that Australian supports.1 1 Asylum seeker: any person who moves to another country for the purpose of claiming protection under the 1951 UN Convention Relating to the Status of Refugees or the 1967 Protocol Relating to the Status of Refugees.

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1. THE GLOBAL SECURITY STATE AND IDENTITY POLITICS

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Through …. postracial and assimilationist vision of empire, and by means of the crucial (racially ambiguous) figure of the Muslim, the United States has fashioned itself as the decisive police power of an incipient Global Security State, charged with putting in order the wild new frontiers of an unruly planet. …….. Antiterrorism must be recognised as not merely a paranoid and self-serving rhetorical ploy but rather as the intransigent idiom of a new species of security state formation (De Genova 2010: 613).

The stigmatising, devaluing and invisibility of certain socio-cultural identities can occur for all social identities that struggle for a place and authenticity through their own attempts at identity ‗craftsmanship‘. Identities of civil society can become overwhelmed by consumer individualism in the shifting grounds of new global. The historical contests to racism and the inferiorizing of non-White identities In Australia comes partly from progressive movements that have formed in various waves since the Second World War. The most notably of these being the 1960s the Black civil rights movement in the USA and Australia, anti sexist struggles coming from the women‘s movement and the anti-racist protests and Aboriginal Land Rights struggles in Australia over the last forty years. These identity movements have all raised issues of around the politics of identity axial to understanding practices of sexism, racism and violence. This chapter will take a non-essentialist and constructionist interpretations of identity that rely upon an understanding of the historical and social context in addressing racism (Woodward 2004). Claims about belonging that rely upon one social dimension such as class are an essentialist interpretation of identity that restricts transformation and needs to be reconceived as multiple and fluid in social relations. Some theorists argue that in contemporary capitalism there is a crisis of identity or ‗ontological insecurity‘ in mass populations (Giddens 1991). There is a widespread anxiety created out of collective reflexive worry and concern about the risky products and by-products of capitalism such as nuclear power, nuclear waste and other forms of environmental degradation, and global warming to mention only a few (Beck 1992). This raises issues of belonging, issues of discrimination and feelings of dislocation leading to a disrupted and alienated sense of place and self. Modernity itself has brought about the breaking up of traditional ties and networks and the end of an all-encompassing kinship (Tilly 2005, Tilly and Taylor 2006). For example, how do refugees and those who have survived the conflicts and genocides of war torn countries in recent years ever again feel they belong to a nation state or retain a strong social identity? Racism needs to be distinguished from other forms of oppression such as sexism although in everyday realities these multiple oppressions may be linked. How can we understand the histories of racism across Western countries? Is racism a product of nationalism or does it emerge from other struggles over identity? Anderson (1991: 149) has described the difference between racism and nationalism:

Refugee: the 1951 UN Convention Relating to the Status of Refugees defines a refugee as any person who 'owing to well-founded fear of being persecuted for reasons of race, religion, nationality, membership of a particular social group or political opinion, is outside the country of his nationality and is unable or, owing to such fear, is unwilling to avail himself of the protection of that country'. http://www.aph.gov.au/library/Pubs/ online/Refugeess1.htm accessed September 2008

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The fact of the matter is that nationalism thinks in terms of historical destinies, while racism dreams of eternal contaminations, transmitted from the origins of time through an endless sequence of loathsome copulations: outside history. ..... The dreams of racism actually have their origin in ideologies of class, rather than in those of nation: above all in claims to divinity among rulers and to ‗blue‘ or ‗white‘ blood and ‗breeding‘ among aristocracies. (Anderson 1991: 149)

It can be argued that historically White perpetrators of racism emerged from their class status and stratification as much as ethnic and racial origins. It would, however, be an incomplete understanding of the phenomenon not to include analysis of intersections with other social dimensions such as gender and culture. Postmodernism has argued that holistic theorizing of societies was totalising and dangerous and that only a partial understandings of identity and social positioning are possible. Central to this is the understanding that identity in modernity was undergoing fragmentation and politics itself was transforming into differences of identity (Sarup 1996, Burkitt 2008). This newer theories contain a dynamic and complex understanding of how identity is made up from the social flow in terms of social relations extant in a society. This understanding of historical identity is, however, only part of the new theoretical insights into identity struggles. As mentioned, the theory of intersectionality brings us back to the macro factors of disability, location race, gender and class that structure power and inequality. As Dill and Zambrana (2009) argue ‗within intersectional analysis, unveiling the workings of power, which is understood as both pervasive and oppressive, is vitally important. It reveals both the sources of inequality and its multiple and often conflicting manifestations‗. In addition to this intersectionality of identiy there are the insights gained from identity politics theory in particular postcolonial theory‘s focus on hybrid identities coming from the clash of cultures. Incorporating ideas form poststructuralism, the identity politics encouraged by postcolonial theory and ideology goes beyond that of race and ethnicity to include new hybrid and syncretic identities. These identities do not necessarily mimic ‗White ways‘ and the constructed ‗Whiteness‘ of practice in Anglo democracies. Further, the specific and situational emergence of these identities as postmodern multiple selves does not condemn them to endless difference and fragmentation (Bhabha 1994). Such identities also unite and resist or have agency in social space in what Taylor calls ‗networks of resistance‘ (Taylor 2010a). In effect, identities unite or reunite when individuals or groups reflexively invest in their identity logic and its' effectiveness across several contexts is shown. Such postcolonial ideology and critique is also evident in non-Western accounts of other ideologies such as Communitarianism that on the surface look attractive to Third World activists but really impose Western ideas of community and individual autonomy in their frameworks (Kothari 2002, McLeod 2010). Similar assumptions need to be thought through and interrogated regarding the Western use of psychological and sociological theories that neglect the heterogeneous nature of inequality and cultural diversity in modern societies (Pakulski 2004, Marotta 2008). Identity is also about the capacity of the individual to maintain their own subjectivity within collective understandings social groupings exampled by the ‗non-white Other‘ such as the young Lebanese or young British Muslims in the studies mentioned above.

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2. CITIZENSHIP RIGHTS AND IDENTITY STRUGGLES

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Contemporary struggle for civil rights and black liberation in the United States has continually affirmed the importance of identity. Historically, bonding on the basis of skin color was a useful survival strategy. The institutionalization of white supremacy created a structure of racial apartheid that was rooted in the binary division between whites and blacks. Skin color was the body marking that separated and divided. (bell hooks 1996: 240)

Bell hooks (1996: 250) has argued that black identity and subjectivity in the United States is constantly changing and fluid in that it responds to the circumstances of families and communities of origin - ‗African-American subjectivity is always in process‘. Nonetheless, such identity is commonly marginalised in a society that is ruled by what some have called ‗the pathological nature of white privilege and supremacy‘ (Jensen 2005). For the dominant identities of contemporary American culture have invariably been white and part of the privileged classes and this is also the case for Australia‘s history since White settlement in 1788. Understanding how this whiteness and white supremacy shapes itself as racial identity is a central task to understanding inequalities and power in American and Australian societies. Whiteness ‗is taught, learned, experienced and identified in certain forms of knowledge, values and privileges‘ (Giroux 1997: 296). The dominant identities of whiteness teach white children and youth that they are ‗the chosen few‘ who are born to rule others and have a place of power and certainty in society that others do not. This assumptive world of ‗Whiteness‘ is much like the assumptions of contemporary patriarchy that have made women‘s identities subordinate and men dominant in thinking they are born to rule or control women and children. There are also identities that are complicit with the powerful that mimic white privilege, patriarchal relations and heternormativity. One re-vitalised area of ethnographic and sociological research is working class studies that acknowledge the ‗intersectionality‘ of lived identity and experience with gender, race, age and location (Taylor 2010b). This has brought an understanding of racism and discrimination that reinforces the delegitimized identities of the most disadvantaged and vulnerable into social analysis notably on working and working poor people in the working class. We can broadly state the categories of colonised non-White identity as four types. This does not mean that personal and social identities are not plural or do not involve overlaps with other types but always they are fluid and changing to White ways and the Whiteness of the social order: 1. 2. 3. 4.

those that are resistant; those that are marginalised; those that are complicit, and those that are dominant or privileged identities.

A central area of focus in this Chapter is on marginalised identities of Aboriginal, migrant and refugee Australian‘s. In this we can include the frail aged associated with a physical or mental decline or disability and marginal or subordinate masculinities associated with sexuality and gender representations in society. Within occupation groups

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and across the division of labour there are hierarchies of occupations in terms of status and prestige. Architects, lawyers and doctors are all socialised into professional identities during their training and education. Ethnic, cultural and race backgrounds will cut across and intersect with these identities to create new lines of violence to the nonwhite other. People from the working class and lower socio-economic backgrounds experience marginalisation of their identities largely because they are excluded from the levels of property ownership and income-wealth of the middle and ruling classes. This marginalized status of the working class in post-industrial society is exacerbated by racial and gender discrimination and structural impediments for upward mobility or a change in socioeconomic circumstances such as periods of poverty, part time and casual employment and short or long unemployment (Dill and Zambrana 2009). Sections 3a to c below are used to exemplify the connections between racism, social exclusion and a global state security such as Australia. These three studies contribute to a multi-level -- local, national and international -- understanding of the construction of nonWhite identities as ‗the Other‘ in the recent globalizing period in Australia. First, the local and everyday experience of race and racism will be examined using the example of what became known as ‗the Cronulla Riots‘ (Cronulla is a sea-side suburb in southern Sydney) between young White Anglo surfers and male Lebanese youth in November and December 2005. Second, national social exclusion issues of migration, race and border security are examined in relation to forced migration and human trafficking.This includes both legitimate business migrants and less legal migration to Australia for work particularly in the agricultural, building and tourist industries over the last decade. Finally, the international issue of refugees and asylum seekers as portrayed in the media and by Governments during 2007-11 is used to illustrate the depth of social exclusion and racism in the Australian community that is used as political capital by Governments. These three areas are connected by the pervasive ‗institutionalized racism‘ in Australian society that has a particular nature and character as sanctioned by a Globalizing security state. A reflection on the trajectory of Australia‘s multiculturalism and ‗anti-terror‘ welfare state is provided in the Chapter‘s conclusion. The debate indicates that marginalized, vulnerable and excluded people are clearly morally judged, punished and often criminalized by selective social citizenship, residual social provision and a security-oriented post-welfare state (Jamrozik 2009). In the last decade we have seen the introduction of policy strategies such as ‗breaching‘ of the unemployed- a certain percentage of the benefit is lost if they do not show they are job searching- and income management programs since 2006 in the Northern Territory‘s remote Aboriginal communities and in 2010-11 piloted on all social security recipients in the Sydney Bankstown area. The income management programs coercively and moralistically require low income social security recipients to ‗budget‘ using a ‗basics card‘ rather than cashing out their pension or benefit.

3A. LOCALISED RACISM, RIOTS AND SOCIAL EXCLUSION Hatred and racism were the catalyst for yesterday‘s violence .. Whether they were locals burned by bad past experiences or visitors responding to the call to arms, the message yesterday was the same from both young and old-its time to take matters into our own

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hands. But while sentiments against people of Middle Eastern descent were echoed with spite and unmitigated hatred most people The Daily Telegraph spoke to at yesterday‘s riot refused to be labelled ‗racist (The Daily Telegraph 12/12/05)

‗Race riots‘ have reappeared in other Western democracy such as the ‗anti-austerity‘ riots in the boroughs of Tottenham, North London and Ealing, and the city of Bristol and other towns across England during 6-10 August 2011 where there was widespread looting and arson as well as several deaths. Explanations for these riots in the British press varied from hooliganism and rampant vandalism to the semi-organised resistance of non-White working class communities to Britain‘s market liberal policy agendas. Intense Government agendas of market reform and privatisation of the welfare state in the last decade or more have heavily impacted upon these communities in terms of lack of work and restricted social welfare infrastructure (see also Dader 2007, Guney 2010). Against the changing backdrop on ‘postmulticultural Australia‘ and the shifting and uncertain nature of social citizenship we can start to understand the socio-cultural specifics of the relationship between Anglo and Lebanese young males in the context of the Cronulla riots in 2005. While not as violent or as destructive as the 2011 British experience, this unrest illustrates how group racial tensions, racial inequlaity and the security state‘s modes of policing play out in Australia especially for young people (Collins et al 2000). The specifics of the ‗Cronulla riots‘ demonstrate a number of divisions and cultural diversity in urban Australian communities. This unrest in the sea side suburbs of Cronulla, Maroubra and Brighton from 11/05 to 2/06 illustrates the intersecting forces of race and gender relations. Most notably these riots seemed originally to be based on i.e. that young Lebanese males where verbally abusing female life savers and other young women on or around Cronulla beach in the weeks leading up to December 11th 2005 (Barclay and West 2006). The young White male ‗life savers‘ claim they were only protecting the identity and virtue of their female counterparts when violence broke out. We see here the intersection of race and gender around racist sentiments, and how one group will try to ‗protect‘ another and this itself leads to an escalation of violence and aggression. Microsocial factors such as the use of alcohol and also the local histories of race and ethnic based tensions. These tensions are manifest in the community based in youth ‗White surfing/ beach side‘ and ‗non-White young Lebanese cultures to the West of Cronulla such as in areas like Lakemba have contributed to these riots (Collins et al 2000). The macrosocial intersectionality of class, race and gender as well as locational or geographies differences have enabled socio-cultural differences and sentiment to escalate into protest and group violence.

3B. DEMONIZING THE OTHER: ASYLUM SEEKERS AND REFUGEES Julia Gillard (Australian Prime Minister) will push ahead with her Malaysian refugee swap, with amendments to the Migration Act that would also allow a future Abbott (opposition Leader) government to restart processing on Nauru. The Prime Minister, who today won Caucus support for the plan, said she was determined to put the Malaysia Solution in place and open a refugee processing centre on Papua New Guinea's Manus Island. (The Australian newspaper 12 September 2011).

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This new strategy and amendments to the legislation for dealing with refuges and asylum seekers is of significant symbolic value to the political mileage and capital of Governments especially if linked to public support that demonizes and discriminates against non-White refugees. Processed and housed in dehumanizing detention centers these ‗new arrivals‘ notably boat arrivals are exposed to the media grabbing attention of three main groupings: racist radio ‗shock jocks‘ supported by their constituency of racist Australians; the harsh lived realities of asylum seekers in contracted detention management that is supported by sections of the community and Governments and; finally, Federal and State politicians alike ready to play the race/ist card whenever public support for a party in Government is needed. Once again governments are willing to punish and create inhuman conditions for the marginalized in order to ensure a ‗nationalist‘ and global security. As stated earlier Australia‘s poor record of demeaning and demonizing migrants and refugees since the end of second World War has occurred within a public and popular culture of discrimination against non-White migrants notably (Collins 1988, Gibney 2004, Muller 2009). Gibney (2004: 194) provides an historical and critical assessment of Australian migrant and refugee politics:

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Unlike European governments that pretend that their preventative policies impact on economic migrants, Australian officials have been ready to admit that all unauthorized entrants are unwelcome, regardless of whether or not they are refugees. This is honesty, albeit at is most brutal

The official statistics on refugee resettlement in Australia distracts us from the institutionalized racism in Australian culture. The UNHCR‘s 2009 Global Trends report says Australia is performing creditably in refugee resettlement, with 11,080 refugees resettled from other nations in 2008-2009, making up 9.9 per cent of the global total of 112,442. The United States alone received 71 per cent of all refugees resettled in 2009 (79,937). Nonetheless, the number of asylum seekers accepted by Australia is a small proportion of the entire refugee population in 2009 when compared to say numbers for South Africa, the USA, France, Canada or Britain. Furthermore, developing countries were host to four fifth of refugees (UNHCR 2010). The symbolic value to Conservative politics in Australia is however considerable as a source of political capital and public support for policies that demean and punish refugees. Australian Federal politicians have made ‗vote catching mileage‘ from escalating migrant, refugee and asylum seekers issues and including significant cases in the media in the last ten years. This has caused political and economic conflicts with neighboring countries in South East Asia such as Indonesia. The Indonesian Governments has not wanted to be seen as complicit in Australia‘s treatment of ‗boat people‘ (asylum seekers who arrive by boat) and people smuggling. In 2001 just prior to the 10 November Federal Election the Jakarta Post maintained that Indonesia should not be viewed as a willing to shelter these refugees, albeit temporarily, for a certain price‘. Such an outcry came after the Howard Government used what became know as the Tampa Affair to escalate anti-refugee, migrant and racist sentiment in the Australian community primarily and cynically to gain votes. This Government was re-elected in 2001 largely because of their ability to use the anti-asylum seeking s against their opponents. The Norwegian vessel, the Tampa, had come to the aid of 433 asylum seekers bound for Australia on a ferry that was breaking up in the Indian Ocean. Gibney (2004: 193) calls this distinctive

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feature of the Australian case as a ‗government –led offensive politics of asylum‘: ‗no Western government in recent decades can claim a direct link to their re-election and the issue of restricting asylum-seeking as the Howard government in 2001‘. How can human rights claims be used to support the asylum seeker‘s case in Australia? Globalizing human rights also needs to be linked to the broader perspectives on citizenship in social policy that inform these identity debates especially around issues of redistribution of assets and wealth, recognition of identity groups and identity politics, and intensified ‗citizens‘ safety‘ discourse on terrorism and security issues in national policy agendas since September 11th 2001 (see Lister 2007, Weber 2007). In the case of protesting treatment of asylum seekers this could lead to further social action on gaining adequate housing or protest on residency in Australia. Such media and public protests happened in Australia for Chinese residents who were mainly students after the action taken by the Government of the People's Republic of China against protestors occupying Tiananmen Square in June 1989. The Hawke Government‘s response was to increase the asylum applications in Australia by over 10 000 that year. There are several complex interactions between the trajectories of global security and post-multiculturalism in Australian society. There is also considerable activism and resistance form below in Australia. Advocacy and community groups have challenged the harshness of detention centres and the politics of fear towards non-White others cynically deployed by Federal Governments.

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Shayan Badraie loves his soccer, has taken up karate, and most importantly can look you in the face and shyly answer questions. Seven years ago, many feared Shayan would not survive Australia‘s mandatory detention system. He was mute, wasting away and traumatised as immigration minister Philip Ruddock, and his department resisted calls to free him from the source of his trauma: detention. (The Sydney Morning Herald 27-28 September 2008)

The plight of Shayan as a 13 year old refugee is relevant here because it was his story when he was 6 years old when shown on an ABC TV Four Corners program in 2001 that prompted Junie Ong and her husband Tom to began the advocacy group for people in detention centres, Chilout (Ong 2007: 160-163). Their compassion and emphasis on human rights for those in the centres has meant many unpaid hours organising an advocacy group, visits by themselves and others-lawyers, psychiatrists, doctors and journalist-to see ‗first hand‘ the conditions of these detainees and, finally, over the last five years a fully fledged group of advocates and visitors have conducted a sustained campaign to lobby on behalf of detainees (Burnside 2003, Mares and Newman 2007). How have such campaigns been sustained in a market oriented climate of postmulticulturalism in Australia? It is to the credit of activist groups that they have managed to contest and in limited ways change some Government policy on refugees. ‗Postmulticulturalism‘ can be understood as an ideology that covers up the White monocultural social order that has used both multicultural and socially divisive rhetoric to maintain the status quo and the neo-liberal economy in Australia (see King 2005 for analysis of the USA). This describes much of the policy rhetoric of the Howard government on multicultural and refugee issues from 1996-2007 (Jupp 2004). Recent Government legislation, strategies and policy towards heavier penalties for perpetrators of human trafficking and the capture of

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people smugglers has tended to encompass refugees in the ‘illegality‘ of the perpetrators. This has leading many Australian‘s to believe that detention is just punishment for refuges as victims of this trade that reflects institutionalized racism. Human trafficking and forced migration are obvious examples of exploitation that very rarely if ever brings benefits to the individuals concerned and mostly brings about exploitation of labour and great personal suffering. Those who benefit from the influx of cheap labour in the grey and black economies are the local economies usually of first world national states and the elites in the economies as well as the broader population. There are specific effects on local economies including the labor needs for: sex industries/tourism in First and Third world countries; and the need for cheap labor in agriculture and many other industries created by increased market competition pressures and privatization that encourages secrecy and denial of labor rights. Some globalist human rights and citizenship strategies such as setting international social security standards are seen as preventative in challenging in particular poverty and inequality in the Third world (Mishra 2000). Development policy is often seen not as a prevention to market ills but as assisting and sometimes alleviating the worst excesses of global, regional and local markets. One significant development against the hegemony of market forces, powerful governments and multi-national interests is the building and politics of transnational advocacy networks (Keck and Sikkink 1999: 89). These advocacy networks can partner with National governments and international agencies such as the United Nations and ILO (International Labor Organization) to endorse labor rights, decent working conditions and other basic rights such as the right to organize and associate equality and nondiscrimination in the workplace and restrictions on forced labor and child labor. Activist organizations such as www.stophuman traffic have suggested that laws are not effective and that in a political economy sense we can be concerned about how labor is exploited and used across borders. Thus a focus on globalizing citizenship and human rights for poor people and labour in developing and developed countries can become part of the political debate and agenda for rich First world countries such as the ‗Make Poverty History‘ global advocacy network of recent years. The other less visible and illegal aspect of migration is forced migration and human trafficking. This is a highly contested area and commonly used by Australian Governments to justify their more punitive approach to asylum seeker measures supposedly directed at ‗people smugglers‘. From this perspective, human trafficking is a subset of illegal migration; the primary concern of states is the breaching of immigration controls; trafficked persons are treated as first and foremost violators of immigration laws and regulations as they often cross borders illegally and may work without authorisation. The acknowledgement of internal trafficking has done little to challenge the dominant understanding of trafficking as a problem of cross-border migration. The notion of trafficking as an illegal immigration problem and, by extension, the conflation of immigration and trafficking control measures, is most apparent in the stepping up of border controls, interception measures, greater document verification, carrier sanctions, readmission and repatriation agreements, migrant detention, and other exclusionary measures. (Lee 2011: 29)

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demographic of Australia and by time the Hawke Labor Government was elected in 1983 the policy of multiculturalism was well established. The aim was to integrate migrants into the national identity with an emphasis on cultural pluralism. The approach of multicultural policy is often criticised as a trade off between ethnic diversity and cuts in social expenditure leaving diverse cultural communities to fend for themselves in the free market economy. The emphasis on markets froma conservative social democratice Govert such as the Hawke – Keating Goivernments (1983-1996)during the 1980s preceded the aggressive and full emergence of a neoliberal and conservative Government during the Howard years (19962007). Under the Hawke -Keating Governments the emphasis has shifted to citizenship and multiculturalism. Both Castles (2000) and Collins (1988) emphasise the important issues of social rights for migrants and refuges during the rise of multicultural policy. Multiculturalism is not, however, confined to 'ethnic identity' as all Australians with diverse cultural backgrounds including Aboriginal people and White eastern Europeans who arguable do not suffer the same color prejudice of other migrants. have a right to social and economic resources including the right to cultural identity. Beyond this period the Howard government has engaged with a kind of neo-liberal multiculturalism or what some have termed a postmulticulturalism. This policy trajectory has intensified the use of the ‗free‘ market economy for solutions to Australia‘s multiple cultures that have resulted from various waves of immigration and refuges coming to Australia.

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3C. POST-MULTICULTURAL AUSTRALIA: IDENTITY STRUGGLES SINCE 1996 There have been several new developments over the last two decades in understanding what cultural policies have taken affect. I have mentioned the beginnings of a new state formation that links the private post welfare state with strategies to secure national and global security and exclude the non-White Other. This global security state has followed developments in other Anglo nation states such as Canada and Britain that are breaking down their nationalist tendencies into a series of communities developed through economic globalisation and communitarianism (Smyth and Wearing 2003) and fundamentalist groups with distinct national, religious and ethnic identities within these states (Jamrozik 2004). A second aspect of this post-multicultural society is that oppositions are set up between the market and the law where dominant White and subordinated non-White identities define the specificity of local communities and their cultures. The Australian Migration Reform Act of 1992 was established under the Keating Labor Government and was then used to significant effect to detain and exclude refugees during the Howard government years (1996-2007). This Act made detention of ‗unauthorised‘ persons mandatory notably for non-White citizens without a valid visa. The implementation of this Act has made processes of citizenship for asylum seekers and refugees more punitive and difficult. It has also symbolically played upon perceptions and prejudice amongst the Australian public that refuges and migrants are a ‗threat‘ to Australia‘s (mono cultural) lifestyle and ‗the Australian way of life‘. Racism is fanned, if not caused, by the fuel of such perceptions and attitudes (Klocker and Dunn 2003, Elliot and Briskman 2010).

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The push and pull factors of migration go some way to explaining why Australia has been under pressure to take asylum seekers and refugees in Australia over the last two decades. Recent country specific histories have a direct impact on Australian social welfare policy particular refuge and immigration policy through settlement in Australia. Social, demographic and economic changes in the Asia pacific region help to contextualise the relative stable economic, social and political developments and, thus stronger degrees of citizenship in Australia since the Second World War. The Asia Pacific region includes large and rapidly expanding economies such as China as well as a number of nations such as Singapore and South Korea that are catching up with the economic development of Western developed nations. The changing working age demographics of most of the medium to large countries in the Asia Pacific region have producing unprecedented economic development in these countries. This economic development has been followed by significant periods of political and economic instability in earlier decades that have arisen from critical events and a troubled history such as war (Vietnam, Laos, Cambodia), decades of authoritarian repression (Burma, Indonesia and the Philippines) and internal conflicts and struggles by minority groups including recent struggles for sovereignty and independence for countries such as East Timor. The ‗push‘ factors in these countries for people to migrate or seek asylum have pressured successive Australian Giovernments to be more punitive and restrictive with the intake of refugees. How will human rights discourse and social justice strategies impact upon the AsiaPacific region and Australia in particular? It would appear that neither reference strategically to citizenship. to human rights or to social justice alone will be enough to strongly oppose the (neo) liberal consensus and hegemony that maintains and legitimates inequality in social and economic policy. Indeed as Evans and Ayers (2006) suggest this consensus is coopting citizenship and human rights debate in some sense for its own ends The ascendency of this discourse wrapped in the pursuit of economic growth at all costs and the paranoia of ‗terrorism and going to war‘ has occurred under the Howard government and now Labor governments of Rudd then Gillard. The new political use of Australia‘s institutionalised racism by these Governments and the heavy handedness of the security and ‗law and order‘ state continues to raise question about how to link social justice to citizenship and human rights ideas. Racism itself is at the core of Australia's identity where multiculturalism represents both processes of exclusion and communitarianism. Jamrozik et al, (1995) takes this issue up in examining resistance to change highlighting government policy, the media, upper and new middle classes, public opinion and professional bodies as most resistant. They suggest that Australia has undergone a cultural transformation from the 1950s to 1990s and beyond: a cultural transformation from below (the people) but a monoculturalism from above (government, conservative political and economic elite and in policy making): " The multicultural society is visible and audible in the streets, markets and shopping arcades, in eating places and workplaces, in the architecture of some buildings and art galleries, but not in the Anglo-Australian power structures embedded in these core institutions" (Jamrozik 1995: 163).

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The effect of the long sweep of informal multiculturalism in Australia has meant that there have been significant changes in Australian‘s lifestyles for example in architecture, their diets and eating habits diets and in recreational activities. Leisure and sporting culture has changed in these years such as numbers playing football known as ‗soccer‘ in Australia is the sport most played by young Australian. In almost every suburb across Australian cities and increasingly country towns a virtual plethora of restaurants with mixes of Asian and European cuisine is offered. Institutionalised and informal exclusionist attitudes have meant that cultural and linguistic diverse (CALD) migrants have succeeded against the odds in small business where barriers of entry into the labour market are low or non-existent e.g. in milk bars and family businesses or in semi-skilled and unskilled work such as cleaning, labouring and factory work which is usually poorly paid. The post World War Two transformation of Australian culture has often resulted in a waste of the human capital of migrants with skilled backgrounds who have not had their education and credentials recognised the development of migrant entrepreneur ship such as in the food and hospitality industry and in building and urban renewal (Jamrozik et al 1995). What are the criticisms of these shifts in policy, values and ideology in a culturally diverse nation such as Australia. Jamrozik (2004) and others such as the historian Henry Reynolds (2006) on Aboriginal –White history have provided fuller critiques of the use and abuse of migrant and Aboriginal labour in this country. These have enable the largely social exclusionist policies of non Whites in Australian society for two centuries. Byrne (1999) provides a recent perspective on how society is divided by social exclusion along ethnic, gender, age, class, status and other lines. ‗Multiculturalism‘ being a core part of the most recent policy rhetoric that disguises mono-culturalism and non Whites social exclusion from citizenship that through intersectionality can the most vulnerable such as women and , minorities and others such as people with physical, intellectual and mental health disabilities. There are both strengths and weaknesses in a post-multicultural policy with an extensive mix of country of origin cultures. How the new ‗cultural mixing‘ of the Australian social landscape redirects the need to demonise the other is yet to be fully realised. There is little doubt given its prominence in Australian history since White settlement that racism and prejudice will still raise their ugly heads in the social fabric and political culture. The strengths are seen to be that both social capital building and social solidarity can occur through the cohesiveness that is fostered in the approach. Critics have, however, questioned this consensus view on the basis that conservative ‗self-reliance‘ ideology on multicultural communities in Australia can be imposed (Jamrozik 2004). Further, it is unlikely that integrationist rhetoric can overcome the dominance of the Anglo elite and the hierarchies, prejudice and racism in Australia‘s White monocultural society. A national consensus on values as a shared or imposed set of citizenship rules and legislation tends to further marginalise and restrict diversity and multicultural practices to flourish. The longer term prospects for Australia is that postmulticulturalist policy will still assume a minorities values i.e. British or Anglo Saxon values to be ‗Australian‘, European aspects of multiculturalism will remain from say Italian, Greek and other post WW2 migrants, and there will be increased groupings of highly qualified first and second generation Asian migrants (Jupp 2004: 202-213).

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4. RE-FRAMING CITIZENSHIP THEORY IN THE GLOBAL SECURITY STATE

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Citizenship: the concept of citizenship as a status which provides access to rights and powers is associated with T.H Marshall (1963[1950]). Civic rights comprise freedom of speech and equality before the law. Political rights include the right to vote and organize politically. Socio-economic rights include economic welfare and social security.‘ (The Penguin Dictionary of Sociology 1984: 37).

T H Marshall (1950) in his essay on ‗Citizenship and Social Class‘ saw citizenship as emerging from access to social rights by the pre-industrial elite and ruling class to an extension into political citizenship and socio-economic rights for all citizens. The concept of citizenship has been taken up by both social democratic and conservatives in Australian politics as a solution to changing social issues and social concerns within Australian society. ‗The Right‘ saw a more individualising mode of citizen in the market as the ideal, and the left as a strategic issues for mobilising collective social action and hope to create a more inclusive society i.e. in the social policy debate of ‗inclusion‘ and ‗exclusion‘ of those at the margins and the disenfranchised. For T. H. Marshall citizenship was not just a moral set of rights or a normative view of society. In view citizenship is conferred sociologically and proven through positivistic research to be part of the institutions of a society. In this view citizenship is based on status in and belonging to a community that helps determine community capacity and therefor upon development in modern societies. In the twentieth century then citizenship includes basic material rights (of wellbeing) by virtue of being a citizen and not market capacity i.e. the right to work, the right a to a decent standard of living, the right to child care, the right to an education, public transport, and so on. These social rights being ‗sustained by the institutions of social services and the welfare state‘ (Barbalet 1996:59). Today the concept of the welfare state is highly contested by post-welfare arrangements associated with the rise of neoliberalism. This in effect narrows the socio-cultural boundaries for those who are eligible and defined to have such citizenship. ‗The dominant feature of the post welfare state is the use of social policy as an instrument of support for the free market economic policy, rather than, as was the aim of the welfare state, an instrument for alleviating the excesses of inequality generated by the market‘ (Jamrozik 2009: 9).

In the post-welfare arrangements you are more or less entitled to citizenship dependent on your market capacity? The key question is who are citizens, who are semi-citizens and who are non-citizens in such post welfare arrangements? Who are defined out of or excluded from full social citizenship? Who has access to political, economic and social rights? I have suggested one way to explain who is ‗cast out‘ as the other is to understand the division between whiteness and non-whiteness in Australia and in other countries. The post welfare state has shown that none of these rights are guaranteed especially for the working class, ethnic minorities and disadvantaged communities. New modes of racism and prejudice are now evident that link into the intersectionality framework discussed. In the social science and social policy literature in particular the concept of citizenship is used both with particular history of the development of rights and of social policy arrangements bounded by membership of a national state, a community, a social group or social class.

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At the high tide of debate on Australian citizenship in the 1980s-90s in social policy and sociology in particular the key critique was that the concept was being asked to do too much and would be better used strategically in public discourse (Wearing 1994, Barbalet 1996). Citizenship theory had become more an intellectual and strategic concept than one which could be proven or dis-proven factually. Further, how the institutional grounds for citizenship occur need to be connected or associated with the rise of New Social Movements and other forms or political protest and dissent, activism and social change. Marshall‘s assumption about post World War 2 society no longer exist i.e. full employment, unlimited natural resources, the ‗traditional‘ family and a settled national community. The issues of ethnic diversity and access to rights ‗denied by legal definitions of citizenship now occupy a good deal of the current reflections on citizenship‘ (Barbalet 1996: 62). Today most advocates of citizenship theory and strategy are concerned with gender and sexuality issues, ethnicity and ‗race‘ issues and green issues. The newer theories of citizenship including ‗sexual citizenship‘ and ‗green citizenship‘ need to be considered and appraised for their impact on policy debate and the direction of state policy. Most social policy frameworks from Marshall to Titmuss to others in Post War Britain had little understanding of how everyday politics of identity (such as sexuality and/or disability) or green issues such as ‗smog‘, river pollution, water as a scare and increasingly privatised resource and ‗global warming‘ impact upon social and economic policy and upon citizenship. How will social rights under conditions of fluid and mixing cultural diversity in Australia be delivered and exercised? For example, refugee and multicultural youth in general need integrative social programs such as organised sporting activities. This may require sporting facilities or equipment, or assistance with funding coaching and this can help refugee youth for example to settle in Australia. Such strategies involve what appear to be relatively simple strategies such as ‗embedding inclusive practices in state sporting associations‘ (Oliff 2008: 59). However, redirecting sports funding and changing entrenched sporting associations cultures may be much more difficult in practice than in principle. According to new democratic and inclusive theories of citizenship all citizens should have access to clean air, to free water, to public and private buildings, to their chosen and identified sexual identity and so on. How free are people to become such citizens in a postwelfare state? How can social rights be re-defined in terms of citizenship theory and social policy today? Basok et al, (2006: 267) have argued that human rights (discourses institutionalised through the UN since 1948, and made international and universal ie unbounded by membership) are different to citizenship rights, Social justice (or the fair and equitable distribution of resources) helps to shape both human rights and citizenship. However, human rights and citizenship are inter-related (p 268). Both set of authors argue that there are ‗natural rights as inalienable rights of man‘ elaborated by Western enlightenment philosophy. ‗Human rights norms have exerted a certain degree of influence upon natural citizenship rights‘, ‗struggles for the expansion of citizenship rights has provided an inspiration to international human rights regimes to entertain new domains of rights‘. Global forces have destabilized the link between citizenship and nation states where the discourse of ‗global citizen‘ enables this de-stabilisation. Evans and Eyers (2006) take this further by arguing that the push for international citizenship through (neo)liberal rights is integral to the emerging neoliberal constitution ie UN declaration of Human Rights thus eventually supports the property rights of trans and multinational companies and their owners and thereby legitimates the neoliberal agendas of

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global capitalism. So that the World Trade Organisation (WTO) via NAFTA, GATT and other agreements have cemeted a neoliberal consensus in the global order that means ‗the capacity for people to participate in defining a political agenda that expresses a genuine concern for human dignity declines‘. The strengthening the global security state is a direct result of new forms of imperialism -‗neoliberal globalisation‘- that re-embeds capitalism across the world and uses neoliberal ideology to ‗close out‘ the anti-capitalist protests. These protest derive from organised labour in the North, dissent in postcolonial states in the South and global advocacy networks that have challenged inequalities of wealth and power (Radice 2005: 98, Connell 2007). The most important macro social and political strategy that mitigates against the rise of new forms of racism and prejudice in Australia and elsewhere is to argue for and bring about greater social equality (Wilkinson and Pickett 2007). Dorling‘s (2009) scathing criticism of inequality perpetuated by dominant countries including the UK, USA and China rings true for injustice and social exclusion in Australia: Just as elitism is integral to all the other forms of injustice, so is exclusion. The exclusion that arises with elitism makes the poor appear different, exacerbates inequalities between ethnic groups and literally causes racial differences. Rising greed could not be satisfied without the exclusion of so many, and so many would not be excluded now where it not for greed

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CONCLUSION In these post-welfare and global security arrangements what happens to citizenship? Who are citizens and who is a semi-citizens and who are non-citizens? Who are defined out of or excluded from full social, economic and political citizenship? This leads to an equally vexed micro-social question as to who has access to political, economic and social rights? The post welfare state has shown that none of these rights are guaranteed especially for the working class, ethnic minorities and disadvantaged communities (Byrne 1999, Wearing 2004). Social activism and political networking is part of the strategic requirement to ensure that such vulnerable and disadvantaged groupings have ‗voices‘ in the policy making process especially in the benefits of social policy. Few could argue with the need to protect and support the rights of children in detention and this has spread through the work of Chilout and other social activism to the adult populations of asylum seekers and refuges (Mares and Newman 2007). A major local struggle is to embed in civil society as an anti-racist ‗consciousness‘ movement as a new understanding from such activism requires a ‗compassion shift‘ of significant magnitude amongst the Australian population and in the political culture. It also requires considerable learning of political and policy processes in this culture so that activism and advocacy can involve networks of stakeholders and disenfranshised voices in policy processes and the creation of greater equality.

ABOUT THE AUTHOR Biography: Dr Michael Wearing is a Senior Lecturer in the Social Work Program, School of Social Sciences and International Studies, University of New South Wales. His research

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interests are in mental health, social work practice (particularly with youth and families, and organisational practice), youth studies, organisational studies and comparative social policy. His most recent book is co-authored with Associate Professor Mark Hughes (Southern Cross University, Australia) Organisations and Management in Social Work (Sage, London).

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Dorling, D. (2009) Injustice: why social inequality persists, Bristol: The Policy Press. Dyer, Richard. (1997) White, London, Routledge. Elder, C. (2007), Being Australian: narratives of national identity, Sydney, Allen and Unwin Elliott, A., & Lemert, C. (2009). The new individualism: The emotional costs of globalization, London, Roman and Littlefield Essed, P. (1991) Understanding Everyday Racism Newbury Park, California: Sage. Evans, T. and Ayers, A. J. (2006) ‗In the service of power: the global political economy of citizenship and human rights‘ Citizenship Studies, 10, 3: 289-308 Fanon, F. (1986), Black Skin, White Masks, London, Pluto. Frankenberg, R. (1997) Displacing Whiteness: Essays in Social and Cultural Criticism. Durham and London: Duke University Press. Frankenburg, R. (1993) White Women, Race Matters: The Social Construction of Whiteness. Minneapolis: Jonathan Ball. Fraser, N. (2009) Scales of Justice: reimagining political spaces in a globalizing world, Columbia University Press. Gibney, M.J. (2004) The Ethics and Politics of Asylum: liberal democracy and the response to refugees, Cambridge, Cambridge University Press. Giddens, A. (1991), Modernity and self-identity: Self and society in the late modern age. Stanford, CA: Stanford University Press. Gilroy, P (1997), Diaspora and the Detours of Identity in Woodwards, K. (ed) Identity and Difference (pp. 299-346), London: Sage. Giroux, H.A. (1997), Racial Politics and the Pedagogy of Whiteness in Hill, M. (Ed) Whiteness: a critical reader, (pp.294-315) New York, New York University Press. Guney, U. (2010) ‗We see our people suffering‘: the war, the mass media and the reproduction of Muslim identity among youth Media, War and Conflict, 3: 168-181 Hage, G. (1998) White nation: fantasies of White supremacy in a multicultural society, Annandale, Pluto Press. Human Rights and Equal Opportunity Commission (HREOC) (1991) Racist Violence: Report of the National Inquiry into Racist Violence in Australia Australian Government Publishing Service, Canberra. Jamrozik, A. (2004) The Chains of Colonial Inheritance: Searching for Identity in a Subservient Nation, Kensington, UNSW Press. Jamrozik, A. (2009) Social Policy in the Post-welfare State, Third Ed, Melbourne, Pearson Education. Jamrozik, A. Boland, C and Urquhart, R (1995) Social Change and Cultural Transformation in Australia, Melbourne, Cambridge University Press. Jensen , R. (2005), The Heart of Whiteness: confronting race, racism and white privilege, San Francisco: City Lights publishers. Jupp, J. (2004) From White Australia to Woomera: the story of Australian immigration, Melbourne, Cambridge |university Press Jupp, J. (2002) The English in Australia, Melbourne, Cambridge University Press. Kaldo, M. (2003), Global Civil Society: an answer to war, Polity: Cambridge. Keck, M.E and Sikkink, K. (1999) ‗Trans-national advocacy networks in international and regional politics‘ International Social Science Journal, 51, 1 (150): 89, 94-101./

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King, D. (2005) Facing the Future: America's Postmulticulturalist Trajectory Social Policy & Administration 39, 2:116-129. Kisson, P. (2010) From Persecution to Destitution: a snapshot of Asylum Seekers‘ Housing and Settlement Experiences in Canada and the United Kingdom, Journal of Immigration & Refugee Studies 8: 4-31 Klocker, N. and Dunn, K. (2003) ‗Who‘s Driving the Asylum Debate?‘ Media International Australia 109: 71-92. Kothari, U. (2002), ― Feminist and Postcolonial Challenges to Development―in Kothari, U. and Minogue, M. (eds) Development Theory and Practice: critical perspectives, (pp.3551), Basingstoke: Palgrave. Lee , M. (2011) Human Trafficking and Crime Control, London, Sage Malseveric, S. (2006) Identity as Ideology, New York, Palgrave. Mares, P. (2002) Borderline, 2nd Ed. Kensington, UNSW. Mares, S. (2007) ‗First, do no harm‘ in Mares, S. and Newman, L. (Eds) Acting from the Heart: Australian advocates for asylum seekers tell their stories, Sydney, Finch Publishing Mares, S. and Newman, L. (Eds) (2007) Acting from the Heart: Australian advocates for asylum seekers tell their stories, Sydney, Finch Publishing McLeod, J. (2010), Beginning Postcolonialism, Manchester, Manchester University Press Mishra R, (2000) Globalisation and the Welfare State, London, Wheatsheaf Harvester. Muller, B.J. (2009) Borders, Risks, Exclusions Studies in Social Justice 3, 1: 67-78. Neuman, K. (2004). Refugee Australia, Sydney: University of New South Wales Press. Olliff, L. (2008). Playing for the future: the role of sport and refugee young people to settle well in Australia. Youth Studies Australia, 27(1), 52-60. Ong, J. (2007) ‗Chilout as an Refugee Advocacy Group‘ in Mares, S. and Newman, L. (Eds) Acting from the Heart: Australian advocates for asylum seekers tell their stories, Sydney Finch Publishing Pakulski, J. (2004), Globalising Inequalities, Sydney: Allen and Unwin. Preston, J. (2009) Preparing for emergencies: citizen education, ‗whiteness‘ and pedagogies of security Citizenship Studies, 13, 2: 187-200. Radice, H. (2005) Neoliberal Globalisation: imperialism without empires? In Saad-Filho, A. & Johnston, D. (Eds) Neoliberalism: a critical reader, London, Pluto Press. Reynolds, R. 2006 The Other Side of the Frontier: Aboriginal Resistance to the European invasion of Australia Kensington, University of NSW Press Said, E. (1995), Orientalism, (Second Edition) London: Penguin Sarup, M. (1996), Identity, culture and the postmodern world, Edinburgh, Edinburgh University Press Schierup, C.-U., Hansen, P. and Castles, S. 2006. Migration, Citizenship and the European Welfare State: A European Dilemma. Oxford: Oxford University Press. Smyth,P. and Wearing, M. (2003) ‗After the Welfare State? Welfare Governance and the Communitarian Revival‘ Bell, S. (ed) Economic Governance and institutional Dynamics, Melbourne, Oxford University Press. Tariq, A. (ed) (2002) Clash of Fundamentalisms: crusade, jihad and modernity, London: Verso. Taylor, G. (2010a) The New Political Sociology, Houndsmill, Palgrave.

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Taylor, Y. (2010b) Introduction: classed intersections, spaces, selves, knowledges in Taylor, Y (Ed) Classed intersections, spaces, selves, knowledges, Farnham: Ashgate Thompson, K. (2003). Forms of resistance: Foucault on tactical reversal and self-formation. Continental Philosophy Review, 36: 113–138. Tilly, C. (2005) Identities, boundaries and social ties, Boulder, CO and London: Paradigm Publishers Tilly, C. and Taylor, S. (2006) Contentious Politics, Boulder, CO and London: Paradigm Publishers. Twine, F. W. and Gallagher, C. (2008) Introduction- the future of whiteness: a map of the ‗third wave‘ Ethnic and Racial Studies 31, 1: 2-24 Wearing, M. (2011). Strengthening youth citizenship and social inclusion practice – the Australian case. Child and Youth Services Review, 41(4), 15 -21. Wearing, M. (1994) Reclaiming Citizenship: social justice, social rights and welfare in the 1990s‘ in Wearing, M & Berreen, R. (eds), Welfare and Social Policy In Australia, Sydney, Harcourt Brace. Wilkinson, R.G. and Pickett, K. (2009) The Spirit Level: why more equal societies almost always do better, London: Allen Lane. Woodward, K. (Ed.), (2004) Questions of Identity, London, Routledge. United Nations High Commission on Human Rights (2010) 2009 Global Trends: refugees, asylum-seekers, returnees, internally displaced and Stateless persons. Geneva, UNHCR

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Chapter 3

CHALLENGES AT THE PERIPHERY OF US CITIZENSHIP: BIRTHRIGHT CITIZENSHIP OF UNDOCUMENTED IMMIGRANTS AND THE DREAM ACT Carol Schmid Department of Sociology, Guilford Technical Community College, Jamestown, NC, US

ABSTRACT

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Somers (2008) in Genealogies of Citizenship defines citizenship as the right to have equal rights and social exclusion as the demise of citizenship and the promise of universal and equal citizenship. This paper analyzes two instances at the periphery of citizenship that raise significant challenges to democratic citizenship in the United States. The demise of citizenship is related to the repeal of the birthright of individuals born on American soil. One large battle on the intersection of citizenship and immigration relates to undocumented immigrants‘ offspring, who are promised automatic citizenship under the 14th Amendment of the Constitution. Recently debate over ending the grant of birthright to US born children of unauthorized immigrants has been raised by antiimmigrant groups and potential Republican presidential contenders as a means of reducing illegal immigration. What are the impacts of repealing birthright citizenship? The second issue at the intersection of immigration and citizenship is related to the Dream Act (Development, Relief and Education for Alien Minors). This legislation first introduced in the Senate on August 1, 2001 and most recently re-introduced in the US Senate in May 2011 would provide conditional permanent residency to certain illegal alien students and a potential pathway to US citizenship. The Dream Act has also been criticized as extending the rights of illegal immigrants by granting legal status and extending amnesty to illegal aliens. The article provides an in-depth analysis of these two movements. The first section documents the background and description of the Birthright and Dream Act legislative and popular movements. The second section analyzes who and how many individuals would be affected in denying or extending citizenship and permanent status rights to 

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Carol Schmid respective minors. This section also examines public opinion related to Birthright Citizenship and undocumented immigrants and extending the Dream Act to individuals who arrived as children illegally with their parents in the United States. The third section describes how repealing Birthright Citizenship and extending the Dream Act are related to broader conceptions of citizenship rights in the United States.

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INTRODUCTION Somers (2008) in Genealogies of Citizenship (2008) defines citizenship as the right to have equal rights and social exclusion as the demise of citizenship and the promise of universal and equal citizenship. ― Citizenship at its most basic is a mechanism for inclusion and exclusion and thus a means of establishing or prohibiting membership…‖ (Somers, 2008:21). This paper analyses two instances at the periphery of citizenship that raise significant challenges to democratic citizenship in the United States. The demise of citizenship is related to the repeal of the birthright of individuals born on American soil. One large battle on the intersection of citizenship and immigration relates to undocumented immigrants‘ offspring born on American soil, who are promised automatic citizenship under the 14th Amendment of the Constitution. The second issue at the intersection of immigration and citizenship is related to the Dream Act (Development, Relief and Education for Alien Minors). This legislation was first introduced in the Senate on August 1, 2001 and most recently re-introduced in the US Senate in May 2011. The act would provide conditional permanent residency to certain illegal alien students and a potential pathway to US citizenship. The Dream Act has also been criticized as extending the rights of illegal immigrants by granting legal status and extending amnesty to illegal aliens. The article provides an in-depth analysis of these two movements. The first section documents the background and description of the Birthright and Dream Act legislative and popular movements. The second section analyzes who and how many individuals would be affected in denying or extending citizenship and permanent status rights to respective minors. This section also examines public opinion related to Birthright Citizenship and undocumented immigrants and extending the Dream Act to individuals who arrived as children illegally with their parents in the United States. The third section describes how repealing Birthright Citizenship and extending the Dream Act are related to broader conceptions of citizenship rights in the United States.

THE US BIRTHRIGHT AND ITS CHALLENGERS Birthright citizenship in the United States refers to the principle of jus soli or a person‘s acquisition of citizenship by being born on American soil. Under United States law, any individual born within the United States, including the territories of Puerto Rico, Guam, the U.S. Virgin Island, and the Northern Mariana Island and subject to its jurisdiction is automatically granted U.S. citizenship. As of 2006 there are also nine other categories of persons who acquire United States citizenship from birth (Birthright Act, 2006).

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Citizenship in the United States is under federal jurisdiction and governed by the U.S. Constitution and federal law. The Fourteenth Amendment to the constitution adopted on July 9, 1868 controls citizenship. The Citizenship clause states: ― All persons born or naturalized in the United States, and subject to the jurisdiction thereof, are citizens of the United States and of the State wherein they reside‖ (14th Amendment of the U.S. Constitution).

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The recent dispute over children born in the United States from illegal immigrants began in the late 1990s and has spilled over to the first decade of the 21st century. It concerns the practice of granting automatic citizenship to children born on U.S. soil independent of the parents‘ legal status. This issue is termed the ‗anchor baby‘ issue by opponents of birthright citizenship. The Federation for American Immigration Reform (Fair) and conservative legislators and groups contend that these children are able to sponsor extended family members for legal immigration status. ―A n anchor baby is defined as an offspring of an illegal immigrant or other non-citizen, who under current legal interpretation becomes a United States citizen at birth‖ (Fair, 2010a). The 14th Amendment was promulgated in 1868 to ensure the rights of African Americans who had been freed from slavery after the Civil War. The citizenship clause of the 14th Amendment granted citizenship to former slaves, reversing the 1857 Dred Scott decision by the Supreme Court, which held that persons of African descent were not and could not become citizens of the United States. Taney's opinion stated that Negroes, even free Negroes, were not citizens of the United States, and that therefore Scott, as a Negro, did not have the privilege of being able to sue in a federal court (Dred Scott v. Sandford, 1857). In a second Supreme Court ruling in 1898, United States v. Wong Kim Ark, the Court affirmed that the 14th Amendment applied to children born on US soil of non-citizen parents. A child born in the United States, of parents of Chinese descent, who, at the time of his birth, are subjects of the Emperor of China, but have a permanent domicile and residence in the United States, and are there carrying on business, and are not employed in any diplomatic or official capacity under the Emperor of China, becomes at the time of his birth a citizen of the United States, by virtue of the first clause of the Fourteenth Amendment of the Constitution (United States v. Wang Kim Ark, 1898:169).

This ruling by the Supreme Court would appear to settle the issue of children born to undocumented immigrants and citizenship. However in the last decade the debate has resurfaced with increased illegal immigration in the United States (Van Hook and Fix, 2010). The debate has primarily turned on the meaning and intent of ― subject to the jurisdiction‖ of the United States. In 2009 the Birthright Citizenship Act was introduced in the House of Representatives (Birthright Citizenship Act of 2009, HR 1868). It would deny citizenship to US-born children when both parents are unauthorized immigrants or impermanent residents. In 2010 the New York Times observed the ‗Birthright Citizenship Looms as the Next Immigration Battle‖ (Lacey, 2100). Many anti-immigration organizations and politicians have proposed restricting birthright citizenship. In 1995 the House of Representatives considered five proposed constitutional amendments to deny citizenship to children born to undocumented immigrants. A hearing on the restriction of birthright citizenship was also held

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in 1997. As we have seen restrictionist groups have continued to question the applicability of the 14th Amendment to children of undocumented immigrants. Jacobson observes that out of eleven national immigration restriction groups, nine currently propose to limit birthright citizenship (Jacobson, 2006:645).1 Fair (2010a) an organization that promotes immigration reduction observes that since their native country has a claim of allegiance on the child of illegal aliens the phrase ― subject to the jurisdiction thereof‖ was intended to exclude from automatic citizenship these children of undocumented immigrants. One of their major arguments against birthright citizenship as applied to these immigrants is the high cost to local and state governments, ― a virtual tax on U.S. citizens to subsidize illegal aliens‖ (Fair, 2010a). This argument was also repeated by David Vitter (2011), a Republican from Louisiana and Rand Paul, a Republican from Kentucky (2006) who have introduced a proposal to amend the Constitution ― so that children born in the United States are only considered automatic citizens if one parent is a U.S. citizen, one parent is a legal immigrant, or one parent is an active member of the Armed Forces‖ (Rubin, 2011). Several bills have been introduced in Congress to declare U.S. born children of illegal immigrants not be subject to the ‗jurisdiction‘ of the United States. However, thus far no bills limiting birthright citizenship to children born on US soil to undocumented immigrants have been approved by Congress. A constitutional amendment may be required to change automatic U.S. citizenship for these children born on American soil. This would face a very tough hurdle since it would require a vote of two-thirds of both houses of Congress to propose an amendment, and three-fourths of the state legislatures to approve it. To avoid this process in Congress, conservative legislators from five states (Arizona, Georgia, Oklahoma, Pennsylvania and South Carolina) opened a national campaign in January 2011 to end automatic granting of American citizenship to children born in the United States to illegal immigrants. One measure the lawmakers presented was a bill creating a new definition of state citizenship, as opposed to national citizenship. State citizenship would exclude babies born in the state with two illegal immigrant parents. The second measure was a compact between states. In the new legislation they would agree to issue distinctive birth certificates to babies whose parents could not show legal immigration status. The state bills would also deny citizenship to children born in the United States on temporary visas (Preston, 2011). The legislators acknowledged that the state bills were not likely to have a practical effect since they will be challenged as unconstitutional. However, the conservative legislators hope that the state bills will end with a Supreme Court decision on birthright citizenship and spur legislation in the U.S. Congress (Preston, 2011). In Alabama, Governor Bentley signed a law requiring public schools to report the status of each student to the state department of education. Different student codes are given to legal and undocumented students (Zehr, 2011). These moves are examples of states testing the boundaries of federal control over citizenship and immigration. The intent is also certainly political to shore up the conservative political base in difficult economic times. 1

The organizations that Jacobson (2006:645) analyzed were the Federation for Immigration Reform (FAIR), Vdare, Americans for Immigration Control, American Patrol, United to Secure America, Numbers USA, Project USA, Friends of Immigration Law Enforcers, Diversity Alliance for a Sustainable America and the United States Border Control.

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THE DREAM ACT AND ITS PROPONENTS AND CHALLENGERS By 2010 immigrant rights and public education had become two of the most contentious areas of national debate and disagreement. ‗Illegal and ‗undocumented‘ are recent designations. They are primarily racial/ethnic designations. They were not used for immigrants without legal documentation for the large immigration from Ireland and Eastern and Southern Europe who were predominantly white. The majority of those lacking legal papers are Latino, often poor and with little formal education (Glenn, 2010). The Dream act has generated very different opinions of legislators and organized groups. Latino groups and immigrant lobbies as well as students have strongly favored the Dream Act. Legislators such as House of Representative Louis Gutierrez observed that ― They are American in everything but a piece of paper‖ (Preston 2010). Supporters maintain that children are not responsible for the acts of their parents. Republican opponents believe that the bill is an amnesty for lawbreakers that would lead to a new wave of illegal immigration. Lamar Smith, a House Representative from Texas said the Dream Act ― encourages fraud and more illegal immigration on a massive scale‖ (Preston, 2010). Both backers and foes see the legislation in terms of a broader legislative fight over federal immigration laws and the legal rights of children of the large undocumented population in the United States. The same restrictionists organizations that are against 2 Birthright Citizenship tend to be against the Dream Act. Education is not a federal right under the U.S. Constitution. This was made clear by Justice Brennan in Plyler v. Doe. Education and its enforcement are delegated to the individual states. The Plyler decision held that undocumented students were covered by the 14th Amendment equal protection clause and could not be excluded from public schools. ― If the State is to deny a discrete group of innocent children the free public education that it offers to other children residing within its borders, that denial must be justified by a showing that it furthers some substantial state interest‖ (Plyler v. Doe, 1982). States cannot deny public education to undocumented children attending public primary and secondary schools. The Plyler decision did not address postsecondary educational opportunities of undocumented students. The Dream Act (Development, Relief and Education for Alien Minors) is a Congressional bill that would give undocumented immigrants who came to the United States as children a path toward legal status. Under the 2010 version of the Senate bill (Dream Act, 2010 S. 3992) beneficiaries must present proof of arriving in the United States before the age of 16 and be between the ages of 12 and 30 at the time of the enactment of the bill. They must also prove that they have lived in the United States for at least five consecutive years since arrival in the U.S. To be eligible for legal status they must have graduated from an American high school, obtained a GED, or have been admitted to an institution of higher learning. Finally they must be of good moral character (Dream Act, 2010 S. 3992). Eligible students must meet one of two conditions. The alien must either acquire ― a degree from an institution of higher education in the United States or (have) completed at 2

I analyzed the same organizations that were previous surveyed by Jacobson (2006) with respect to opposition to the Dream Act or their stance against illegal immigrants and higher education. The organizations that were against Birthright Citizenship for the children of undocumented immigrants were also against the Dream Act or conditional permanent residency to illegal alien students who were brought to the United States as children.

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least 2 years, in good standing in a program for a bachelor‘s degree or higher degree in the United States‖ or have ― served in the Armed Forces for at least 2 years and, if discharged, have received an honorable discharge‖ (Dream Act, 2010 S. 3992: Sec. 6, (d) D (i) (ii)). An alien who is granted conditional immigration status is not eligible for federal Pell grants based on financial need. Members of Congress have introduced several forms of the Dream Act since 2001. The earliest versions were introduced in the Senate, but were not brought to a vote. In 2006 the Dream Act was included in a bipartisan comprehensive immigration reform act that also failed to win Congressional support (Glenn, 2010). The bill had the best chance of passing in 2010. The Dream Act (HR 5281, 2010) passed the majority Democrat House of Representatives by a vote of 216 to 198. The measure was primarily supported by Democrats in the final days of the Congressional 2010 session before Republicans become a majority in 2011. The measure was also supported by eight Republicans, including three CubanAmericans from Florida. The Senate, however, blocked the bill by a vote of 55-41. The Dream Act measure (Dream Act, 2010 S 3992) needed the support of 60 senators to cut off a filibuster and bring it to the floor for a vote. Five Democrats joined Republicans in opposing the bill and three Republicans joined primarily Democrats in favor of the bill (Herszenhorn, 2010). The Dream Act was reintroduced in the in the 112th Congress - Senate (Dream Act, S. 952, 2011) and in the House of Representatives (Dream Act, HR 1842, 2011) on May 11, 2011 by Democrats. With a majority of Republicans in the House and a smaller majority in the Senate the Dream Act in 2011 occupies a dwindling area of political common ground within the Congress. The Dream Act is a legislative remedy for undocumented students who were brought to the United States as minors and have attended elementary and secondary school in the US. The Supreme Court held in Plyler v. Doe (1982) that undocumented students are not held liable for their immigration status and are therefore entitled to public elementary and secondary education in the United States. Current law, however, does not provide a pathway for citizenship or higher education for undocumented students following high school graduation. Approximately 65,000 undocumented students graduate from high school each year (Passel, 2003, 2010). They belong to the 1.5 generation who were largely raised in the United States. Because of barriers to their continued education, including poverty (almost 40 percent of undocumented families live in poverty) they are excluded from legal employment and often discouraged from attending college (Immigration Policy Center, 2011). As of January 2010 thirty-two states have considered legislation to allow undocumented students to pay in-state tuition if they graduated from high school in the state and met all the qualifications of the institution. Only 13 states, however, passed laws to actually allow undocumented students to pay in-state tuition. Several states have barred undocumented students from paying in-state tuition (National Conference of State Legislators, 2011). Therefore there is no universal right to pay instate tuition at institutions of public colleges and universities or even attend higher education for undocumented students. This has severely limited what Marshall (1950) calls social citizenship (access to education and social services) past compulsory education. Lacking a comprehensive federal Dream Act, states have widely varied interpretations of the educational rights of undocumented students and higher education.

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BIRTHRIGHT CITIZENSHIP AND CHILDREN OF UNDOCUMENTED IMMIGRANTS: NUMBERS AND PUBLIC OPINION According to projections of the Migration Policy Institute the elimination of birthright citizenship for the children of unauthorized immigrants would likely increase the undocumented population significantly. An estimated 11 million unauthorized immigrants lived in the United States in 2009. Since the average undocumented immigrant is young, many give birth in the United States. Children of undocumented immigrants grow up to have children of their own. If birthright citizenship was repealed either under Constitutional amendment or the proposed Birthright Citizenship Act of 2009 the U.S. born descendants of undocumented immigrants would also be denied legal US status (Van Hook and Fix, 2010). If both the mother and father are unauthorized immigrants, the Migration Policy Institute estimated the impact on the denial of citizenship for their children. Under their estimates the unauthorized population would remain constant at around 11 million (this assumes that the undocumented population would neither increase nor decrease). If both parents are unauthorized approximately 16 million children would be denied citizenship. This is a 44 percent increase than would occur under current law. The estimates assume that automatic citizenship is not given to individuals born on US soil if both parents are undocumented immigrants (Van Hook and Fix, 2010). Unauthorized immigrants comprise slightly more than 4 percent of the adult population, however because they are young and have higher birthrates, their children make up 8 percent of the newborn population. Of the 5.1 million children younger than 18 of unauthorized immigrants nearly four in five (79 percent) were born in the United States (Passel and Taylor, 2010). The Hispanic population would be disproportionately affected by a change in citizenship law. This is particularly troubling since they are projected to make up about a quarter of the population in 2050. About three fourths of the undocumented immigrants in the United States are Hispanic. Contrary to arguments that the repeal of birthright citizenship would shrink the size of the unauthorized population, by restricting citizenship to the children of unauthorized immigrants it would almost certainly increase the number. The exclusion of children of undocumented children born on US soil from citizenship would also set in motion a class lacking citizenship for generations to come (Van Hook and Fix, 2010). Americans are ambivalent about immigration. Looking back we admire the previous wave of immigrants who braved the travails and triumphs to achieve the American dream. The public is less forgiving to recent immigrants who reach American soil without legal papers. Depending how the question is asked, the American public is very split on birthright citizenship granted by the 14th Amendment. The Pew Research Center, a non-aligned polling organization, asked a representative sample of Americans in 2011 if legislators should change the Constitution to stop granting U.S. citizenship to children born to illegal immigrants. Fiftyseven percent opposed changing the Constitution for this purpose, a figure that has changed little since 2006 (Pew Research Center, 2011). Opposition to a constitutional amendment from the Pew poll was strongest among Hispanics, 73 percent. People under 30 also opposed changing the Constitution, by 73 percent. About half of whites (52 percent) oppose such a change in comparison to 43 percent who favor it. Blacks are more likely to oppose an Amendment than whites, 59 percent in

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comparison to 39 percent who favor an Amendment. Those 65 and over are divided with 45 percent in favor and 48 percent opposed. A significant split is seen between individuals identifying as Republicans or Democrats. Republicans are 47 percent in favor and 49 percent opposed in comparison to Democrats who are mostly opposed to an Amendment, 66 percent versus 32 percent in favor. The strongest level of support for amending the Constitution is among the Tea Party supporters, 57 percent favor changing the Constitution to eliminate birthright citizenship in comparison to 38 percent who oppose such a change (Pew Research Center, 2011). In 2010 a representative sample of registered voters found a slightly more negative response. When asked ― Would you favor or oppose a Constitutional Amendment to prevent children born here from becoming U.S. citizens unless their parents are also U.S. citizens,‖ Americans were almost equally split. Fifty-one percent opposed the Amendment, 49 percent favored it with 1 percent having no opinion (CNN Opinion Poll, 2010). The most negative results came from a Rasmussen national telephone survey of likely voters, commissioned by the Republican Congressional Committee. It found that 61 percent of potential voters believe that a child born in the United States who is here illegally should not automatically become a U.S. citizen. Twenty-eight percent disagreed, with 11 percent undecided (Rasmussen Reports, 2011). The American people are deeply divided on whether to exclude children born on American soil to undocumented immigrants to automatic American citizenship. If birthright citizenship was repealed and the number of undocumented immigrants was held constant it would affect between 16 million if both parents were without legal papers to 24 million if either the mother or father was undocumented between 2010 and 2050 (Migration Policy Institute, 2010). Rather than reducing the number of undocumented immigrants the restriction of birthright citizenship would actually increase the number of illegal immigrants significantly. It would disproportionately affect the Hispanic population. About four in five of the nation‘s 11 million unauthorized immigrants are of Hispanic origin (Lopez, 2010).

DREAM ACT AND STUDENTS OF UNDOCUMENTED IMMIGRANTS: NUMBERS AND PUBLIC OPINION There are slightly more than 2.1 million unauthorized youth and young adults that meet the federal guidelines for the Dream Act according to age, duration of US residency, and age at arrival requirements. Not all however meet the education requirements. Among those who would qualify with at least 5 years of residency in the United States who arrived before the age of 16, about 5 percent are young adults, from 18 to 34 years old. Another group of adults are 35 years old or older with at least an associate‘s degree. Together these two groups number about 114,000 (Batalova and McHugh, 2010). Among those with at least an Associate degree, almost 66,000 have a Bachelor‘s degree or higher. Another 612,000 have completed a High School Diploma or GED or are currently working on college coursework. The largest group of potential beneficiaries is the 934,000 students under 18 who currently have not yet completed a high school diploma or obtained a GED (Batalova and McHugh, 2010). Since the Dream Act failed to pass at the federal

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level all undocumented students are dependent on state Dream Acts that vary significantly from state to state. Thirteen states grant in-state tuition eligibility to illegal immigrants based on attendance and graduation from a state high school (California, Connecticut, Illinois, Kansas, Maryland, Nebraska, New Mexico, New York, Oklahoma, Texas, Utah, Washington and Wisconsin). In 2008, Oklahoma ended its support for in-state tuition for undocumented students in the state. States that have also barred unauthorized immigrant students from in-state tuition include Arizona, Colorado, Georgia, South Carolina, and Indiana (National Conference of State Legislators, 2011). Thirty-two states have yet to pass legislation on unauthorized students. Texas was the first state to pass legislation to allow undocumented students in-state tuition in 2001. It was followed by California, Utah and New York in 2001-2002. The next states were Washington, Oklahoma and Illinois in 2003, Kansas in 2004, New Mexico in 2005, Nebraska in 2006, Wisconsin in 2009 and Maryland and Connecticut in 2011 (National Conference of State Legislators, 2011). All the states that have relevant laws permit undocumented students to become eligible for in-state tuition if they graduate from state high schools, have two to three years of state residence and are accepted by an institution of higher education. About 1 percent of Texas college students have benefited from the state law granting instate tuition to illegal students. The Texas law, which also provides state aid to undocumented immigrants, who are not U.S. citizens or permanent residents, does not specifically identify illegal students. It does require that an undocumented student graduate from a Texas high school or receive a GED in Texas, live in Texas for three years leading up to graduation and provide colleges and universities with a signed affidavit indicating an intent to apply for permanent status as soon as they are able to do so. Gov. Perry, a Republican Presidential contender has been criticized for being soft on illegal immigration by passing this legislation. In 2011, Governor Jerry Brown, a Democrat, signed the first part of the California Dream Act, AB 130 that guarantees undocumented students access to privately financed state scholarships. Its companion bill AB 131 was signed into law in October 2011. AB 131 allows qualified California undocumented students the same state-funded tuition aid as US citizens and legal resident students, such as CalGrants (New York Times, October 8, 2011). The law requires that illegal immigrants and out-of –state students to attend California high schools for three years or more to apply for state financial aid. Students are not eligible for federal Pell grants, which are based on family income. The legislation is expected to cost about 40 million dollars, about one percent of the state‘s total budget of 3.5 billion dollars for higher education in California (Medina, 2011). Neither the California law nor the Texas law would provide a path to citizenship for illegal immigrants although they do provide undocumented students with more education benefits. Currently there is a very varied patchwork of state laws that contradict one another and provide a narrow band of education benefits, primarily in-state tuition in twelve states. Similar to birthright citizenship opinion polls of the American people vary significantly depending on the question asked and the polling organization. A national probability sample conducted by Opinion Research Corporation for First Focus in June 2010 found that 70 percent of Americans favor the Dream Act. When asked if the respondent would strongly favor, not so strongly favor or strongly oppose or not so strongly oppose the federal Dream Act, 51 percent strongly favored and 18 percent not so strongly favored the legislation in comparison to 19 percent who strongly opposed the measure and 6 percent who not so

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strongly opposed the federal Dream Act. Both Republicans and Democrats supported the Dream Act; however, there was a margin of 20 percent difference (60 percent among Republicans versus 80 percent among Democrats). In a second question most respondents (69 percent) believed that states rather than the federal government should have the ability to determine whether or not to provide in-state tuition to illegal immigrant students residing in their state; Republicans (75 percent) were more likely to agree with this statement than Democrats (66 percent) (First Focus, 2010). When respondents were asked a very different set of questions financed by Fair, an organization to limit immigration, by Pulse Opinion Research the results were very different. When the November 2010 poll of likely voters were asked whether the lame duck Congress should limit its activities to completing work on the budget and leave social policies such as the Dream Act that are too difficult to deal with, 59 percent of voters believed that the Congress should limit its activities to the budget and taxes. Another question was framed in a way that appeared to channel the response of likely voters. ― In addition to legalization, the Dream act would entitle newly legalized illegal immigrants to benefit from subsidized tuition rates at all state colleges and universities, and qualify for low interest government educational loans.‖ Based on this information 18 percent were more likely to support the dream act, 16 percent ‗somewhat more likely‘ to support it, 18 percent ‗somewhat more likely to oppose‘ the Dream Act and 43 percent to oppose the legislation with 5 percent undecided (Fair, 2010b). From a sociological perspective these questions appear to solicit certain responses. However as the next Gallup poll shows Americans continue to be divided on the Dream Act and granting legal status to illegal immigrants brought to the US as children. A Gallup poll in December 2010 of a random sample of adults 18 and older found that 54 percent of Americans would vote for a law that would allow illegal immigrants brought to the US as children to gain legal resident status if they joined the military or attended college. Forty-two percent of the sample would vote against the Dream Act and 4 percent were undecided (Gallup, 2010). A demographic breakdown found a significant difference between support of Democrats (66 percent) and Republicans (34 percent). Non-Hispanic whites were almost equally for (47 percent) and against (49 percent) the Dream Act. Nonwhites were much more supportive of the legislation (69 percent). In general younger individuals and the more highly educated were more likely to support the Dream Act (Gallup, 2010). A final survey polled only Hispanic voters. The poll conducted in June 2011 asked whether respondents strongly approved, somewhat approved, somewhat disapproved or strongly disapproved of allowing undocumented immigrants children who graduate from high school to qualify for in-state tuition rates if they attend college. Seventy-eight percent of Latinos supported this statement. Support rates were all positive but varied from 78 percent for Democrats, 74 percent for foreign born to 63 percent for Latino Republicans. In general there was support across the age, income, education and geographical spectrum. A second question asked Latino respondents if they agreed or disagreed with blocking undocumented immigrant children who graduate from public high schools from attending state colleges or universities. Seventy percent of Latino voters disapproved or strongly disapproved of limiting college attendance to undocumented students who graduated from high school. Of significance is the fact that 51 percent of Latino voters consider the immigration issue as the most important currently facing their community. If Congress does not pass immigration reform, Latino voters support having the President use his executive powers to stop the deportation of undocumented immigrants who are minors or of college age and have a clean,

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crime-free record. The support of Latinos is consistent across all ideologies, origins and political affiliations including 54 percent of Republicans (Latino Decision, 2011, Latino Decisions Poll Results, 2011). Lacking the ability to pass the Dream Act or other immigration reform, it appears that the Obama administration has heeded the Latino attitude toward undocumented students. In August 2011, the Obama administration announced that it would suspend deportation proceedings against illegal immigrants who did not pose a threat to national security or public safety. The policy is expected to help illegal immigrants who came to the United States as young children, graduated from high school and want to go to college or serve in the military. This new policy was taken through administrative action approximately eight months after the federal Dream Act was turned down in Congress. The policy has been denounced by Republicans as a ‗backdoor amnesty to illegal immigrants‘ (Pear, 2011).

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ON THE PERIPHERY OF CITIZENSHIP: UNDOCUMENTED IMMIGRANTS, BIRTHRIGHT CITIZENSHIP AND THE DREAM ACT Marshall (1950) in his well-known elaboration of citizenship analyzed the frequent disjuncture between formal citizenship and substantive citizenship. He provided an evolutionary account of the emergence of civil, political and social rights to the British working class. Marshall (1950: 10-11) argued that the first and most fundamental of these elements is civil rights which is ― composed of the rights necessary for individual freedomliberty of the person, freedom of speech, thought and faith, the right to own property and to conclude valid contracts and the right to justice.‖ The second condition of citizenship is political rights. By this Marshal meant ― the right to participate in the exercise of political power, as a member of a body vested with political authority‖ and the right to vote. Finally, social citizenship refers to ― the range from the right to a modicum of economic welfare and security to the right to share to the full in the social heritage and live the life of a civilized being according to the standards prevailing in the society‖. The institutions most closely connected to social rights are education and social services. Marshall (1950) believed that there was a progression of rights from civil to political and finally social. As Glenn (2011) has pointed out this evolution of rights does not hold up for blacks in the United States or women. The disjuncture is particularly dramatic for undocumented students who meet the qualifications for the Dream Act. They are often restricted in their ability to work legally and do not possess the rights of formal citizenship. They also do not have the political rights to vote or stand for office. Social rights under Plyler allow them a minimum of a K-12 public education, a social right. Once they have graduated from high school there is no federal right to in-state higher education or federal financial aid. Undocumented students are at the mercy of the state where they have graduated from high school. None of the state Dream Acts provides a legal channel to citizenship. Somers (2008) defines citizenship as the right to have equal rights and social exclusion as the demise of citizenship and the promise of universal and equal citizenship. Analyzing birthright citizenship there is an attempt by conservative groups and legislators to downsize citizenship rights of children born to undocumented immigrants. Attempts to expand rights, even for individuals who were brought young to the United States and have attended

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American schools have been blocked at the federal level. The lack of federal law has left the states to offer their own solutions which are contradictory, conflicting and open to many interpretations. Even the most generous Dream Acts in California and Texas do not open the possibility for conditional permanent residency for students who complete college. There is a tension between universal inclusion and particularistic exclusion (Joppke, 2008). Birthright citizenship provides a compelling example of this tension. Immigration restrictionist organizations have advocated for congressional legislation denying birthright citizenship to children of undocumented immigrants, or for a constitutional amendment. Beginning in 1993 and in every congressional session up to the present, legislation and/ or amendments have been introduced in Congress to restrict birthright citizenship to undocumented children from automatic citizenship (Smith, 2009). Although Americans are ambiguous about birthright citizenship according to the polls, restriction of birthright citizenship appears to be engrained in the US Constitution and restrictionists have not come close to winning congressional approval. Joppke (2007) makes a distinction between three dimensions of citizenship. The first is citizenship as status ― formal state membership and rule of access to it‖ (Joppke, 207:38). The second dimension is citizenship as rights ― formal capacities and immunities with such status‖ (Joppke, 2007:38). The third dimension is citizenship as identity which ― refers to behavior aspects of individuals and conceiving as members of a collectivity, classically the nation.‖ Children of undocumented immigrants born on American soil possess the formal status of citizenship. Although they are permanent citizens the status of full citizenship in terms of equal rights remains available in less than complete form. Contrary to the ‗anchor baby theory‘ that children born to undocumented immigrants can immediately sponsor their parents for legal residency, the individual has to be over 21 before he or she can pursue citizenship for the parents. The parents must return to their home country for 10 years before their papers can be processed (Nissen, 2010). Undocumented parents can be deported despite having 3 American children. Massey (1997, 2005) observes that the frequency of immigration is largely related to the job market in the immigrant and receiving country and not related to birthright citizenship benefits. Therefore while they possess the status of citizens and the identity of citizens they do not possess all the rights of citizens. For undocumented students who meet the state Dream qualifications the picture is even more complex. Since the federal Dream Act failed and is not likely to be passed in the 112th Congress they do not quality for any federal aid. They have very limited citizenship rights under Plyler to attend elementary and public education. Depending on the state undocumented students reside in they may have the right to in-state tuition rates. They are denied formal state membership or citizenship as status and most citizenship rights according to Joppke‘s analysis. The majority of undocumented students, who came to the United States at a young age, identify as Americans –their mannerisms, interests and aspirations are identical to those of their American-born peers (Gonzales, 2009). They possess citizenship as identity despite their inability to participate in the full spectrum of the status and rights of American citizens. 3

The Mexican Migration Project (1998) finds that the longer Mexicans stay in the United States regardless of immigration status, the more they become integrated in the US. As migrants spend more time in the US they are more likely to learn English, earn higher wages, obtain better jobs, pay more taxes and establish stronger links with US citizens and US institutions.

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As we have seen citizen rights are contested rights in the United States for undocumented immigrants and their children. Few theories of citizenship adequately explain their situation. Particularly children who lack legal status have their lives on hold. After compulsory public education undocumented students‘ lives are at the mercy of state and federal administration policies. The results presented in this paper point to the need for universal policies that will effectively ensure that children and young adults will have the critical resources and associated rights. As Latinos become a large proportion of the US population barriers to their continued education will impose significant economic and personal costs for individuals who have ‗identity without citizenship.‘

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REFERENCES 14th Amendment to the U.S. Constitution. (2011) (orig. 1868). Retrieved August 1, 2011. http://caselaw.lp.findlaw.com/data/constitution/amendment14/. Batalova, J. and M. McHugh. (2010). ― Dream vs. Reality: An Analysis of Potential Dream Act Beneficiaries.‖ Migration Policy Institute. National Center on Immigration Integration Policy. Retrieved September 4, 2011. http://www.migrationpolicy.org/pubs/ DREAM-Insight-July2010.pdf. Birthright Act. (2006). 8 U.S.C. § 1401: US Code –Section 1401: Nationals and citizens of the United States at birth. Retrieved August 3, 2011. http://www.law.cornell.edu/uscode/ 8/1401.html. Birthright Act of 2009 (2009). HR 1868. Accessed August 18, 2011. http://thomas.loc.gov/cgi-bin/query/C?c111:./temp/~c111sqiTEx. CNN Opinion Research. (2010). Poll April 6-10. Retrieved August 3, 2011. http://i2.cdn.turner.com/cnn/2010/images/08/11/rel11a.pdf. Dream Act. HR 5281 (2010). Development, Relief, and Education for Minors Act of 2010. Retrieved August 3, 2011. http://thomas.loc.gov/cgi-bin/query/D?c111:5:./temp/ ~c111u95EKh. Dream Act. S. 3992 (2010). Development, Relief, and Education for Minors Act of 2010. Retrieved August 3, 2011. http://thomas.loc.gov/cgi-bin/query/C?c111:./temp/ ~c1114TPF2t. Dream Act. HR 1842. (2011). Development, Relief, and Education for Minors of 2011. Retrieved August 15, 2011. http://www.gpo.gov/fdsys/pkg/BILLS-112hr1842ih/pdf/ BILLS-112hr1842ih.pdf. Dream Act. S 953. (2011). Development, Relief, and Education for Minors of 2011. Retrieved August 15, 2011. http://www.gpo.gov/fdsys/pkg/BILLS-112s952is/pdf/BILLS112s952is.pdf Dred Scott v. Sandford, (1857). 60 U.S. 393. Retrieved August 30, 2011. http:// caselaw.lp.findlaw.com/scripts/getcase.pl?court=USandvol=60andinvol=393. Fair. (2010a). Federation for American Immigration Reform. ― Birthright Citizenship.‖ August. Retrieved August 4, 2011. http://www.fairus.org/site/News2?page=News Articleandid=16535andsecurity=1601andnews_iv_ctrl=1007.

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Fair. (2010b).‖Federation for Immigration Reform.‖ Dream Act Poll.‖ November 22. Retrieved September 6, 2011. http://www.fairus.org/site/DocServer/DREAM_Act_Poll_ Results_nov292010.pdf?docID=5401. First Focus. (2010). ― Public Support for the Dream Act.‖ June. Retrieved August 5, 2011. http:/ www.firstfocus. net/ sites/ default/files /dreampollbreakdown_ 0.pdf Gallup Poll. (2010). ― Slim Majority of Americans would Vote for Dream Act.‖ December 10. Retrieved September 6, 2011. http://www.gallup.com/poll/145136/slim-majorityamericans-vote-dream-act-law.aspx. Glenn, E. N. (2010). Constructing Citizenship: Exclusion, Subordination, and Resistance.‖ American Sociological Review 76: 1-24. Gonzales, R.G. (2009). ― Young Lives on Hold: The College Dreams of Undocumented Students. College Board. April. Retrieved September 13, 2009. http:// professionals.collegeboard.com/profdownload/young-lives-on-hold-college-board.pdf. Herszenhorn, D.M. (2010). ― Senate Bill for Young Illegal Immigrants.‖ New York Times. December 18. Immigration Policy Center. (2011). ― The Dream Act.‖ American Immigration Council. Retrieved August 15, 2011. http://www.immigrationpolicy.org /just-facts/dream-act# supports Jacobson, R. (2006). ― Characterizing Consent: Race, Citizenship, and the New Restrictionists.‖ Political Research Quarterly, vol. 59, no. 4: 645-654. Joppke, C. (2007). ― Transformation of Citizenship: Status, Rights, Identity.‖ Citizenship Studies. Vol. 11, no. 1:37-48. Joppke, C. (2008). ― Immigration and the Identity of Citizenship: The Paradox of Universalism. Citizenship Studies. Vol. 12, no. 6: 533-546. Lacey, M. (2011). ― Birthright Citizenship Looms as Next Immigration Battle.‖ New York Times. January 4. Latino Decisions. (2011). ― June Tracking Poll: Immigration is a Critical Issue for Voters.‖ June 10. Retrieved September 6, 2011. http://latinodecisions.wordpress.com/2011/ 06/10/june-tracking-poll-immigration-is-a-critical-issue-for-voters/. Latino Decisions Poll Results. (2011). June. Retrieved September 6, 2011. http:// faculty.washington.edu/mbarreto/ld/June_banners.html. Lopez, M.H., P. Taylor, and R. Morin (2011). ― Illegal Immigration Backlash Worries, Divides Latinos.‖ Pew Research Center Publications. October 28. Retrieved September 2, 2011. http://pewhispanic.org/files/ reports/128.pdf Marshall, T. H. (1950). Citizenship, and Social Class and Other Essays. London: Oxford University Press. Massey, D. and K. Espinosa. (1997). ― What‘s Driving Mexico-US Migration? A Theoretical, Empirical, and Policy Analysis‖ American Journal of Sociology.102 (January): 939-99. Massey, D. (2005). ― Beyond the Border Buildup: Toward a New Approach to Mexico-U.S. Migration.‖ September .Washington, DC: Immigration Policy Center. Medina, J. (2011). ― Legislature in California Set to Pass a Dream Act.‖ New York Times. August 31. Mexican Migration Policy. (1998). ― Mexican Migration Project.‖ Retrieved September 18, 2011. http://migration.ucdavis.edu /mn/more.php? id=1496_0_2_0. Nissen, J. (2010). ― New Attacks on Birthright Citizenship: ― Anchor Babies‘ and the 14th Amendment.‖ Council on Hemispheric Affairs. August 24. Retrieved August 2, 2011.

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http://www.coha.org/new-attacks-on-birthright-citizenship-%E2%80%9Canchorbabies%E2%80%9D-and-the-14th-amendment. National Conference of State Legislatures. (2011). ― In-State Tuition and Unauthorized Immigrant Students. July 8. Retrieved September 4, 2011. http://www.ncsl.org/ default.aspx?tabid=13100. New York Times. (2011). ―D ream Act becomes Law in California.‖ October 8. Passel, J.S. (2003). ― Further Democratic Information Relating to the Dream Act.‖ Washington, D.C. The Urban Institute. Retrieved August 30, 2011. http://www.nilc.org/ immlawpolicy/dream/dream_demographics.pdf. Passel, J.S, (2010). ― Unauthorized Immigrants and their U.S.-Born Children.‖ Pew Hispanic Center. August 11. Retrieved August 3, 2011. http://pewhispanic.org/files/reports/ 125.pdf. Paul, Ron. (2006). ― Rethinking Birthright Citizenship.‖ LewRockwell.com. Retrieved August 1, 2011. http:// www.lewrockwell. com/ paul/paul346.html. Pear, R. (2011). ―F ewer Youths to be deported in New Policy.‖ New York Times. August 18. Pew Research Center. (2011). ― Public Favors Tougher Border Controls and Path to Citizenship.‖ February 24. Retrieved August 31, 2011. http://pewresearch.org/pubs/1904/ poll-illegal-immigration-border-security-path-to-citizenship--birthright-citizenshiparizona-law. Preston, J. (2010). ― House backs Legal Status for many Young Immigrants.‖ New York Times. December 8. Preston, J. (2011). ― State Lawmakers outline Plans to End Birthright Citizenship, Drawing Outcry.‖ New York Times. December 10. Plyler v. Doe. (1982). 457 U.S. 202. Retrieved August 30, 2011. http://www.law.cornell.edu/ supct/html/historics/USSC_CR_0457_0202_ZO.html Rasmussen Reports. (2011). ― 61% Oppose U.S. Citizenship for Children Born to Illegal Immigrants.‖ April 19. Retrieved August 3, 2011. http://www.rasmussenreports.com/ public_content/politics/current_events/immigration/61_oppose_u_s_citizenship_for_chil dren_born_to_illegal_immigrants. Rubin, J. (2011). ―Birth right Citizenship.‖ Washington Post. January 1. Smith, R.M. (2008). ― Birthright Citizenship and the Fourteenth Amendment in 1868 and 2008.‖ Journal of Constitutional Law. Vol. 11 no. 5: 1329-1335. Somers, M.R. Genealogies of Citizenship: Markets, Statelessness and the Right to Have Rights. (2008). New York: Cambridge University Press. United States v. Wang Kim Ark. (1898). 169 U.S. 649. Retrieved August 30, 2011. http://www.law.cornell.edu/supct/html/historics/USSC_CR_0169_0649_ZS.html. Van Hook, J. and Fix, M. (2010). ― The Demographic Impacts of Repealing Birthright Citizenship.‖ Migration Policy Institute. National Center on Immigrant Integration Policy. September. Retrieved August 3, 2011. http://www.migrationpolicy.org/pubs/ BirthrightInsight-2010.pdf. Vitter, D. 2011. ― Close the ‗birthright citizenship‘ loophole.‖ February 15. CNN. Accessed August 10, 2011. http://articles.cnn.com/2011-02-15/opinion/vitter.birthright.bill_1_ birthright-citizenship-illegal-immigrants-gain-citizenship?_s=PM:OPINION. Zehr, M.A. and Rice, A.(2011). ― Student Immigrant Status to be coded with ‗0‘ or ‗1‘ in Alabama.‖ Education Week. August 3.

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Chapter 4

PATH TO CITIZENSHIP FOR NEW IMMIGRANTS Steven G. Koven Department of Urban and Public Affairs, University of Louisville, Louisville, Kentucky, US

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ABSTRACT Former president Ronald Reagan noted that America was different from countries such as Turkey or Japan where you can live in the nation but never become Turkish or Japanese. The United States also is known to differ from nations such as Germany where you were invited to work in times of need but then encouraged to leave for your home country. Relatively open immigration with a clear path to citizenship is a hallmark and strength of the United States. In the United States citizenship and assimilation is expected. Immigrants such as Alexander Hamilton, Henry Kissinger, Arnold Schwarzenegger, Madeleine Albright, Albert Einstein, An Wang, Irving Berlin, Levi Strauss, Andrew Grove, George Soros, Jerry Yang, Andrew Carnegie and Sergey Brin have greatly contributed to the economic and cultural vitality of the nation. The development of major corporations such as Intel, Levi Strauss, Yahoo and Google are testament to the ability of immigrants to contribute to the economic development of the nation. The United States historically has stood as a beacon of opportunity for oppressed of other lands wishing to make a better life for themselves and their children. Today the challenge facing the United States is the integration and assimilation of new immigrants from Mexico and other parts of the world. Access to citizenship for these new immigrants remains controversial with some Americans denouncing the perceived ―i nvasion‖ of foreigners and others advocating fewer restrictions on immigration. Immigration is both supported as a means to propel economic growth and castigated for its impact on wages of American born workers. This chapter reviews historical as well as contemporary attitudes toward immigrants, immigration legislation, and characteristics of immigrants. Census data is used to identify nationality based differences in regard to various characteristics. Individual contributions of select immigrants illustrate the potential immigration holds for enriching the nation.

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INTRODUCTION America has attracted immigrants from the time of the first colonial settlements. In its earliest period, the identity and culture of the United States was formulated through four major English based migrations (Fischer 1989, 6). The first wave is linked to the exodus of Puritans from the east of England to Massachusetts between 1629 and 1640. The second wave refers to the migration of a small royalist elite and larger numbers of indentured servants from the south of England to Virginia between 1642 and 1675. In contrast, later waves are associated with the movement from the North Midlands of England and Wales to the Delaware Valley between 1675 and 1725 as well as the flow of English speaking people from the borders of northern Britain and northern Ireland to the Appalachian backcountry between 1718 and 1775. In the latter part of the nineteenth and early twentieth century large numbers of immigrants flocked to the United States from Eastern and Southern Europe. During the period 1890-1910 a majority of immigrants came from nations such as: Austria, Hungary, Italy, and Russia. According to the U.S. Census Bureau more legal immigrants (from ten and eleven million) were admitted to the United States in the decade between 1991 to 2000 than in any previous decade. The Census Bureau also reported that in 2009, there were 307 million people living in the United States, including 38.5 million foreign born. Between 2000 and 2009, the foreign-born population increased by 7.4 million persons, or by about 24 percent. Over half (53 percent) of these foreign born were from Latin America, 28 percent were from Asia and 13 percent from Europe (U.S. Census Bureau 2010). In recent decades, the foreign-born population of the United States increased in size and as a percent of the total population: from 9.6 million (4.7 percent of total population) in 1970, to 14.1 million (6.2 percent of total population) in 1980, 19.8 million (7.9 percent of total population) in 1990, and 31.1 million (11.1 percent of total population) in 2000. In 2009, there were 38.5 million foreign-born residents, representing 12.5 percent of the total population. The absolute number of foreign born in 2009 represented a historical high, however, the foreign born proportion of the total population was lower than during the migration of the late 1800s and early 1900s, when it fluctuated between 13 and 15 percent. The change in composition of the foreign born is notable. In 1960, 75 percent of the foreign born emigrated from countries in Europe. By 2009, over 80 percent of the foreign born emigrated from countries in Latin America and Asia. In 2009, Mexico was the largest foreign born country of birth group with 11.5 million foreign U.S. residents, representing 30 percent of the total foreign-born population in the country (U.S. Census Bureau 2010). The growth of the foreign born population in the United States as well as the nonEuropean composition of that population crystallized anti-immigrant sentiments which replicated behavior of earlier eras. For example, during the 1840‘s and 1850‘s the American Party also known as the ― Know Nothing‖ Party attempted to drastically curtain immigration and the granting of citizenship. Supporters of the American Party feared that the country was being overwhelmed by German and Irish Catholic immigrants, who were regarded as hostile to Anglo-Saxon values and controlled by the Pope in Rome. Violence against Catholics was recorded in Philadelphia, Louisville, Kentucky and Baltimore, Maryland (Koven and Götzke 2010, 29).

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The anti-immigrant perceptions of middle nineteenth century reappeared in the late nineteenth century and early twentieth century as waves of Eastern European immigrants migrated to American. Legislation was introduced in the late 1800s to exclude immigrants who were not literate and could not read at least five lines from the U.S. Constitution. The notion of some sort of literacy test was also supported by President Theodore Roosevelt in 1901. Popular authors maintained that new immigrants were vulgarizing American social, moral, and political life. The acclaimed author Madison Grant contended that the expansion of non-Nordic race types would lead to the subjection of Nordics to inferior races. He provided statistics that were used in promulgating the Immigration Act of 1924. By 1937 Grant‘s book The Passing of the Great Race had sold 1.6 million copies in the United States alone (Madison Grant 2008). Theology professor Dr. Sydney Gulick, testifying before Congress in 1914, argued that the capacity for Americanization should be the basis for immigration. He concluded that immigrants had to share "ideas and ideals" of native born Americans before becoming U.S. citizens. Gulick believed that the United States should only accept as many immigrant as American society could ― Americanize.‖ It would be the responsibility of the government to give immigrants the means to achieve assimilation. Means of assimilation included free classes and examinations that prepared immigrants for naturalization (The Free Library 2010).With input from leaders such as Grant and Gulick assignment of the number of immigrants based on nationality became accepted policy. The Quota Act of 1921 set strict limits on future immigration. The quota system as a basis for immigration was abandoned with passage of the Immigration and Nationality Act of 1965. In recent years, however, concern has grown regarding the size and more specifically the composition of immigrants. Harvard Professor Stanley Huntington expressed alarm about the influence of new immigrants on American culture and politics. Huntington posited that in the midtwentieth century America was a multiethnic, multiracial society with an AngloProtestant mainstream culture and a common political Creed. By the end of the century, however, it appeared to Huntington that America could evolve into a culturally bifurcated Anglo-Hispanic society (Huntington 2004, 221). Huntington‘s concerns about the effect of immigrants on American culture were also expressed at the turn of the twentieth century when ―m achine‖ politicians supported by immigrant voters began to threaten Yankee Protestant political traditions such as government apart from personal needs (Koven 2008, 72). Recent critics of immigration (Borjas 1990; Brimelow 1995; Camarota 2007; Geyer 1996; Lamm and Imhoff 1985) question whether the newest wave of immigrants will be able become productive and politically responsible citizens of the American nation. Willingness and ability of immigrants to become U.S. citizens is a matter of great concern to Americans who fear that the newest strain of immigrant will become ― indigestible.‖ In an effort to highlight the challenges new immigrants pose to the political cohesion of the nation this chapter reviews prior immigration debates and identifies characteristics of major nationality groups.

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ATTITUDES TOWARD IMMIGRATION Attitudes in the United States toward new immigrants have vacillated over time from periodical expressions of hysterical xenophobia to demonstrations of warm embrace. The nation‘s first president, George Washington, felt that America should be open not only to the wealthy but to the oppressed and persecuted of all nations. Washington welcomed Catholics from Quebec; however, he did not welcome all. The country‘s first president discouraged entry of persons that were perceived as threats to liberty. Decency and propriety of conduct were viewed as critical for admission. The cultural ― fit‖ with native born Americans and the potential to become good citizens were also considered. For example, Washington encouraged Dutch Mennonites to settle in the United States because they were considered to be ―s ober, industrious, and virtuous‖ as well as ― friends to the rights of mankind‖ (West 2007, 85-86). Benjamin Franklin adopted a slightly more critical view of immigrants. He decried British efforts to banish undesirables to America and wished to increase the number of whites in the colonies. Franklin distrusted the newly arriving German immigrants, expressing grave concern about their impact on the political stability of the new nation. Policy recommendations made by Franklin included: sending German immigrants to colonies away from Pennsylvania, mixing the German immigrants with the English, establishing more English schools and simply discouraging German immigration. For Franklin, assimilation would be enhanced by promoting the English language, promoting the Protestant religion, and promoting the philosophy of democracy (Zolberg 2006, 56). While Washington welcomed the sober and industrious, not all early colonists were as accepting. Religion and self sufficiency were used as rationales for restricting foreigners. Irish Catholics were required to take an oath forcing them to break their religious vows. Quakers were driven out of Massachusetts. Massachusetts excluded the sick and poor. Virginia and Pennsylvania prohibited the entry of felons. The Alien and Sedition Acts of 1798 increased the amount of time necessary for immigrants to wait to become citizens from five to fourteen years. The legislation authorized the President of the United States to deport aliens who were viewed as dangerous to the safety of the nation, and permitted the wartime arrest of aliens if their home countries were at war with the United States. The Acts, however, were considered extreme by many early Americans and after the election of Thomas Jefferson in 1800 provisions of the Act were either repealed or allowed to expire (Koven and Götzke 2010, 9). The negative impact of immigrants on salaries and wages of native born Americans has been a recurring theme throughout American history. On the West Coast of the United States anti-Chinese sentiment was rampant. In 1876 the leader of the Workingman‘s Party in California pronounced that to an American death was preferable to life on par with a Chinaman. California Supreme Court Justice (and later U.S. Supreme Court Justice) Stephen Field stated that Chinese laborers were generally industrious and frugal. He claimed, however, that they remained strangers, adhering to the customs of their home country. Field overrun‖ unless Chinese asserted that the people of the U.S. west coast would feel ― immigration was restricted (Aleinikoff and Martin 1991, 2). Anti-Chinese sentiments at times produced violence. In 1871, 21 Chinese were killed in a Los Angeles riot. In the 1880s, mobs

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drove Chinese immigrants from their homes in Denver, Tacoma and Seattle. In 1885 a mob in Wyoming killed 28 Chinese and drove them from their homes. Unionized workers in particular fomented of anti-Chinese violence (LeMay 1987, 54). More recently, public opinion polls indicate a substantial degree of negative sentiment directed toward immigrants. Some of these polls are summarized below: 

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May 2011, Rasmussen Poll: 59 percent of likely U.S. voters favor cutting off federal funds to sanctuary cities (prohibit police officers from inquiring about an individual‘s immigration status) April 2011, Rasmussen Poll: 61 percent of American adults believe that there would be less poverty in the United States if immigration laws were enforce April 2011, Rasmussen Poll: 61 percent of likely U.S. voters believed that a child born in the United States to a woman who is here illegally should not automatically become a U.S. citizen March 2011, Rasmussen Poll: 63 percent of likely U.S. voters thought border control was more important than legalizing the status of undocumented workers March 2011, Rasmussen Poll: 66 percent of likely U.S. voters supported stricter sanctions on employers who hire illegal immigrants September 2010, Quinnipiac Poll: 68 percent of U.S. registered voters supported stricter enforcement of immigration law over integrating illegal immigrants into American society (Federation for American Immigration Reform 2011).

Given the anti-immigrant sentiment expressed in 2010 and 2011 it is likely that policymakers will feel pressured to control the flow of immigrants, facilitate assimilation to American cultural norms, and encourage the seeking of citizenship. In the past, policy makers have responded to anti-immigrant sentiment by restricting inflows and engaging in programs to foster Americanization. Since colonial times legislation has attempted to control the various ebbs and flows of migration. A review of this legislation is instructive.

IMMIGRATION LEGISLATION Soon after becoming a republic, the United States passed the restrictive Alien and Sedition Acts. These 1798 Acts generally sought to limit foreign influences on the United States and to shield Americans from the political views of supporters of the French Revolution. Anxiety over French sympathizers and radical revolutionaries increased the police power of the national government and made it more difficult for immigrants to acquire citizenship. This legislation restricted voting rights of the recently arriving French refugees who disproportionately supporter the political party headed by Thomas Jefferson and opposed the ruling Federalist Party. Despite the xenophobia that produced the Alien and Sedition Act, for most of the early years of the republic America remained relatively open to immigration. Labor groups, however, continuously opposed competition from cheap foreign laborers and were active in lobbying Congress to end Chinese immigration. With the completion of the transcontinental

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railroad in 1869 and the economic downturns of 1873 and 1877 Congress finally responded to the demands of labor groups. The Chinese Exclusion Act of 1882 suspended immigration from China for ten years while the Chinese Exclusion Act of 1892 extended the suspension of Chinese immigration for another ten years. The 1992 Act authorized the deportation of any Chinese alien who was not lawfully living in the United States and required all Chinese laborers living in the United States to acquire a certificate of residence. Chinese laborers who failed to obtain this certificate could be arrested and deported (Koven and Götzke 2010, 128). Anti-immigrant legislation was also passed at the state local level. For example, in 1879 and 1880 San Francisco place taxes on small laundries (predominantly owned by Chinese) and on pigtails (Queu Tax), a hair style worn by Chinese at the time. During the 1850s the California legislature imposed a tax aimed at preventing Chinese immigrants from working in mines. Chinese immigrants also were precluded from public schools, denied the right to testify against whites, and forbidden to marry whites (LeMay 1987, 53). The Immigration Act of 1917 instituted a literacy test. The 1917 Act also added chronic alcoholics, vagrants, and those suffering from psychopathic inferiority to the list of those who were denied entry in to the United States. The Quota Act of 1921 further restricted immigration by setting a cap on immigration of specific nationality groups. This cap was set in 1921 at three percent of the number of foreign born for each nationality group who were living in the United States at the time of the 1910 Census. The Immigration Act of 1924 set the cap (i.e. quota) at two percent of the total number of foreign born per nationality group as of the 1890 Census. The Act firmly codified the national origins quota system as the law of the land. The American Federation of Labor and Ku Klux Klan strongly supported the 1924 bill (LeMay 2006, 123). The legislation was passed despite opposition from business groups such as the National Association of Manufacturers and the Chamber of Commerce. Others opposing the quota system included farm organizations and representative of ethnic groups (LeMay 2006, 118). In 1951 Congress passed Public Law 78 which along with the Migrant Labor Agreement with Mexico established guidelines for the hiring of Mexican workers in the Bracero Program. The Bracero Program filled a need for low wage workers in agriculture and the railroads. The Migrant Labor Agreement mandated that Mexican contract workers could not replace domestic workers or reduce American farm wages. Mexican workers were guaranteed transportation, housing, food, and repatriation. Under Public Law 78 wages for Bracero workers were set at the American prevailing wage. The federal government accepted the role of contractor and was responsible for delivering workers to U.S. employers. Despite enactment of the legislation, many of the provisions of the Bracero legislation were blatantly ignored and the government rarely punished employers who underpaid Bracero workers (Ngai 2004, 143-144). The Immigration and Naturalization Act of 1952 provided greater access to those with special skills and relatives of U.S. immigrants. It allowed the government to deport immigrants or naturalized citizens who were engaged in subversive activities. The legislation barred suspected subversives such as members and former members of the Communist Party. The 1952 Act also created symbolic opportunities for Asians by allotting each Asian nation a minimum quota of 100 visas each year (Koven and Götzke 2010, 135). The Immigration Act of 1965 replaced the National Origins Quota system with a preference system. In a display of symbolism, the 1965 bill was signed by President Lyndon

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Johnson in a ceremony at the foot of the Statue of Liberty. Johnson praised the 1965 Act for rewarding merit as the basis for admission. He asserted that the Quota System had violated a basic principle of American democracy by not considering merit. Johnson stated that while the days of unlimited immigration were over, those who immigrate in the future will come because of what they are, and not because of the land from which they spring (LeMay 2006, 159). From 1965 onward changes occurred in the size and composition of immigration. Following 1965, the aggregate number of immigrants increased; European immigration declined while immigration from Latin America, the West Indies, Asia, and Africa increased (Zolberg 2006, 336). The intent of the Immigration Reform and Control Act of 1986 (IRCA) was to remove illegal aliens from the U.S. labor market. This was to be accomplished by granting legal status (amnesty) for certain illegal aliens and imposing penalties (employer sanctions) against employers who knowingly hired illegal aliens. Important features of the 1986 Act included: 1) making it illegal to hire undocumented workers, 2) preventing discrimination again foreign looking citizens, 3) legalizing aliens who resided in the United States since 1982, 4) legalizing aliens who worked in agriculture through 1986, 5) allowing for additional immigration for agricultural work, if needed, 5) paying states for the cost of legalization, 6) checking on eligibility of noncitizens to receive welfare benefits, and 7) authorizing more funds for the U.S. Immigration and Naturalization Service (INS) (Bean, Vernez and Keely 1989, 25-26). Critics of IRCA contended that the law did not set up a database to check on the validity of citizenship, helped establish a cottage industry for false documents, did not increase staffing for the Border Patrol, and did not stem the flow of undocumented workers (LeMay 2006, 185). California‘s Proposition 187 (1994) was directed against the influx of illegal immigrants from Mexico. Major features of Proposition 187 included: 1) requiring state and local agencies to report persons suspected of being in the country illegally, 2) preventing illegal aliens from receiving public services in the state of California, 3) preventing children of illegal aliens from attending public schools, 4) increasing the punishment for the manufacture of false documents, 5) making it a crime to use false documents, 6) excluding illegal aliens from postsecondary education and 7) increasing the penalty for smuggling illegal aliens. In 1995 a U.S. District Judge threw out most of the provisions of Proposition 187 but some of the provisions of the provisions were incorporated into future legislation such as the Illegal Immigration Reform and Immigration Responsibility Act of 1996 (IIRIRA).This Act increased penalties for smuggling aliens, required proof of citizenship for receipt of federal benefits, and obligated educational institutions to provide immigration information to the federal government (Magana 2003, 83-84). In 2010 Arizona adopted SB 1070, a bill thought to be the nation‘s toughest on immigration. The intent of SB 1070 was to identify, prosecute and deport illegal immigrants. It required police officers to detain people they reasonably suspected were in the country illegally and to verify their status with federal officials. The 2010 law also made it a state crime if one did not carry immigration papers. In addition, SB 1070 allowed people to sue local government or agencies if they believe federal or state immigration law was not being enforced. Supporters of the legislation claimed that the new law provided police with an indispensable tool in a state that was a magnet for illegal immigrants (Archibold 2010). In July of 2010 a Federal District Court judge blocked parts of the bill. The judge ruled that the state legislation was preempted by federal law.

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In 2011, Alabama passed legislation that went beyond the Arizona‘s SB 1070. The Alabama bill: 1) required public schools to determine the immigration status of all immigrants starting in kindergarten, 2) made it a crime to knowingly give a ride in a vehicle to an illegal immigrant, 3) required police officers to inquire about the status of anyone they stopped if they suspected the person of being an illegal immigrant, 4) imposed penalties on businesses that knowingly employed someone without legal resident status, and 5) required businesses to use a database (E-Verify) to confirm an immigrant‘s status. Immigrant advocates characterized the law as draconian and vowed to challenge it in the courts (Gargis 2011). This review of legislation is instructive in noting the challenges immigrants face as they seek a better life in the twenty-first century. The recession of 2007-2009 appears to have once again stimulated debate regarding the value of immigration. States such as Arizona, Alabama, Utah, Indiana and Georgia have been in the forefront in passing anti-immigration legislation. In this environment information about the characteristics of immigrants as a whole and the characteristics of specific immigrant groups is particularly insightful.

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CHARACTERISTICS OF RECENT IMMIGRANTS IMPLICATIONS FOR CITIZENSHIP The U.S. Bureau of the Census provides a multitude of data regarding the behavior of American born as well as foreign born residents. This data is used to describe the ― fit‖ between native born and specific groups of foreign born residents in terms of cultural characteristics. Information about the correspondence in turn, is useful when making inferences about assimilation and citizenship. It is assumed that the closer the cultural fit between American born and foreign born the easier the transition to citizenship. It is also evident that not all groups will possess the same willingness and ability to achieve citizenship. Data accessed from the 2007 American Community Survey (ACS), a yearly one percent sample of the U.S. population, indicates dramatic differences in naturalization rates between the twenty largest nationality groups in the United States. When the twenty largest foreign born nationality groups1 residing in the United States in 2007 were considered, the naturalization rates for the five countries with the highest naturalization rates (Vietnam 76.7%, Taiwan 71.2%, Germany 66.6%, Philippines 65.0%, and Poland 64.5%) diverged greatly from the rates of the five countries (Mexico 25.1%, Honduras 25.8%, Guatemala 27.6%, El Salvador and Peru 42.7%) with the lowest likelihood for naturalization (Koven and Götzke 2010, 106). Reasons for the difference in naturalization rates are open to speculation. Relatively low naturalization rates may arise from factors such as low educational attainment and poor ability to speak the English language. These factors would tend to constrain the foreign born in terms of ability to acquire the necessary background information for citizenship. The 2007 ACS data indicates that many foreign born U.S. resident possessed both low educational attainment and a low ability to speak the English language. The percentage of residents who 1

Largest groups in descending order are Mexico, Philippines, India, China, Vietnam, Korea, Canada, Cuba, El Salvador, Germany, Dominican Republic, Colombia, Guatemala, Jamaica, Poland , Italy, England, Haiti, Taiwan and USSR/Russia.

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did not have a high school diploma from Mexico (54.9%), Guatemala (53.5%), El Salvador (49.8%), and Honduras (48.2%) was particularly high. In contrast, only 2.7% of foreign born from Taiwan, 4.6% of foreign born from India, 5.2% from Korea and 5.2% from the Philippines did not possess a high school diploma (Koven and Götzke 2010, 66). Inability to speak English also presents an impediment to citizenship. In 2007, 50.8% of foreign born from Mexico, 49.3% of foreign born from Guatemala, 48.4% of foreign born from Honduras, 45.5% of foreign born from El Salvador, and 43.3% of foreign born from the Dominican Republic declared in the ACS survey that they did not speak English ― well‖ or ― not at all.‖ This contrasted with 0.4% for foreign born from England, 0.5% for foreign born from Jamaica, 1.1% for foreign born from Germany, 1.25 for foreign born from Canada and 6.6% of foreign born from the Philippines (Koven and Götzke 2010, 107). Some patterns can be discerned. Foreign born American residents from countries where naturalization rates were low (Mexico, Honduras, Guatemala, El Salvador) also had low educational attainment and a poor ability to speak the English language. Foreign born American residents from countries with high rates of naturalization (Taiwan, Germany and Philippines) had much less difficulty speaking the English language. Given the data, greater outreach and educational opportunities (as occurred in the early 1900s) may be necessary to help those from Mexico and Central America with poor educations and language skills. Such efforts should benefit both the individuals and the United States as a whole. The aggregate data paints one picture of immigration and citizenship. This picture can be supplemented by narratives of individual immigrants who contributed greatly to the cultural as well as economic development of America. The narratives of two naturalized citizens are described below. Through his music Irving Berlin illustrated that foreign born citizens can portray love for America. Through his scientific genius An Wang reminded the native born Americans that naturalized citizens can add greatly to the economic and technological prowess of the United States.

CONTRIBUTIONS OF SELECT IMMIGRANTS Irving Berlin represents just one of many immigrants that enriched American culture. Born in Russia, Berlin moved to the United States as a child. Beginning at the age of 13 he began to sing in bars and on the streets of New York. At the age of 16 Berlin worked as a singing waiter at a dance hall and at 19 he became a songwriter. Due to the popularity of his songs he was employed as a lyricist and eventually wrote the lyrics for Broadway shows. The song Alexander‘s Ragtime Band (music and lyrics by Berlin) sold over two million copies in 1911 and at a young age Berlin was making a large amount of money in royalties (Freedland 1974, 39). Berlin‘s song ― White Christmas‖ was introduced in 1942 and sold more than 30 million copies. ― White Christmas‖ sung by Bing Crosby was the best-selling single in any music category for more than 50 years (Koven and Götzke 2010, 113). Berlin is also known for his patriotism. During World War I he served as a Sergeant in the U.S. Army. In 1918 he became a naturalized citizen, renouncing his allegiance to the Emperor of Russia. During World War II Berlin produced a Broadway show with the box office proceeds and record royalties dedicated to the Army Emergency Relief Fund. Berlin appeared in the show and sang his 1917 popular song, ― Oh How I Hate to Get Up in the

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Morning.‖ He wrote ― God Bless America‖ in 1918 (revised in 1938) and dedicated all the royalties from the song to the Boy Scouts and Girl Scouts of America. In 1968 to honor his 80th birthday, Berlin was given a tribute with President Lyndon Johnson taping a personal statement. In 1986 Berlin was selected to receive a Medal of Liberty Award from President Reagan. In honor of his 100th birthday former CBS anchor Walter Cronkite stated that ― Irving Berlin has written over 1,500 songs, and it is there we find our history, our holiday, our homes and our hearts‖ (Koven and Götzke 2010, 116). An Wang‘s contribution to America was in the areas of business and science. Born in Shanghai, China Wang was able to migrate to America in 1945 as part of a program that sent Chinese engineers to the United States. He applied to study at Harvard University and was accepted based on the reputation of the university he attended in China. Wang worked under the direction of two Nobel laureates and completed the requirements for a master‘s degree in applied physics in two semesters. It took Wang16 additional months to complete the requirements for a Ph.D. in applied physics (Koven and Götzke 2010, 85). After graduation from Harvard University, Wang was employed at the school‘s Computational Laboratory, builder of one of the world‘s first digital computers. While at the Harvard University Computational Lab, Wang patented an important invention for storing and retrieving data. This invention became a basic part of computers in the 1970s. After a lengthy patent dispute he sold the rights to the patent to IBM for $400,000 (Pugh 1984). In 1951, six years after coming to the United States Wang started his own business, drawing down on his savings of a few hundred dollars. Wang was committed to succeeding as an entrepreneur and did not wish to follow the academic route of working in universities followed by many Chinese immigrants. In his new business, Wang established contacts with government officials as well as industrial research labs. When Wang sold his patent in 1956 the annual income from Wang Labs was earning about $10,000. In 1955 he and his wife became naturalized American citizens. By 1964 sales at Wang Labs exceeded one million dollars. When Wang Lab went public in 1967 it had a market capitalization of about 70 million dollars. By 1982 Wang Labs had sales of more than a billion dollars. As the company grew it entered the Fortune 500 (Koven and Götzke 2010, 86). Wang resisted suggestions to change the name of his company noting that Du Pont and Levi Strauss had succeeded in the United States with French and Jewish names. When he died in 1990 he left behind an impressive legacy of scientific and business achievement. In 1986 he was awarded the United States Medal of Freedom. In 1988 he was inducted into the National Inventors Hall of Fame. During the 1980s Wang Labs had annual revenues of $3 billion and employed over 40,000 people. In his autobiography Wang claimed that America was a nation that did not always live up to its ideals but had structures that allowed it to correct for wrongs by means short of revolution. This allowed Americans to have the ― best system‖ (Wang 1986, 83).

CONCLUSIONS A key question is how the ethnic composition of future America will reify or remold the cultural and political landscape. Huntington (2004) speculated that the recent wave of

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immigration may fundamentally alter the moorings of a nation based upon Protestant ideals and a coherent Creed. Others share Huntington‘s concerns. For example, former Colorado Governor Richard Lamm asserted that today‘s immigration inflows are different because: 1) immigrants today are not evenly dispersed throughout the country; 2) immigration in the past was curtailed but continues today; 3) earlier waves of immigrants were not dominated by a single group or single language; and 4) today‘s immigrants are coming after the death of the melting pot ideal (Lamm and Imhoff 1985, 77). Whether or not the newest wave of immigration will alter the political character of the United States is an open question. What we know from history is that concerns have been raised previously and are likely to resurface in the future. This chapter denotes that the backgrounds of recent immigrants differ on various characteristics that may impact predisposition for citizenship. The data indicates that educational and language differences represent a challenge for the country as it seeks to integrate new migrants. Citizenship in turn is vital for avoiding fragmentation and balkanization. Citizenship will help bind disparate groups into a common history and a common set of political principles. The road from immigration to citizenship should be a journey that strengthens both the individual (through identity with the collective) and the collective itself through the contributions of new migrants. Native born American fear of immigrants may persist but can abate when immigrant contributions are perceived as outweighing their costs. Moving immigrants into citizenship through education about America and American values is an important component of this process. Policy makers of today should look at the Americanization movement that was popular between 1890 and 1920. Some preliminary steps have already been taken in regard to instilling American political values. In 2003 President George W. Bush and Congressional leaders created the Office of Citizenship within the U.S. Department of Homeland Security. This office provided outreach by developing educational material for teachers and volunteers who taught history and government to immigrants. In 2006 President George Bush formed a Task Force on New Americans to instruct new immigrants about the United States and to learn English. The Task Force reaffirmed two fundamental notions about integration in the United States. First, it noted that America‘s unifying civic identity does not use individual traditions to identify the political community. American identity was viewed by the task force as defined by: 1) embracing principles of American democracy, 2) identifying with U.S. history and 3) communicating in English. Citizenship was viewed as an identity and not simply a benefit (Task Force on New Americans 2008, 44). In his 2001 Inaugural Address George W. Bush stated that America has never been united by blood or birth or soil. Rather, Americans were ― bound by ideals that move us beyond our backgrounds and teaches us what it means to be citizens.‖ To live up to this ideal more will have to be done to implement recommendations of the 2006 Task Force including strengthening civics and history education, promoting shared political principles, and enhancing the celebration of citizenship. The challenge posed by the new wave of immigration should be embraced as an opportunity to inculcate a new generation of Americans with the values and traditions that have supported the nation for more than two hundred years.

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REFERENCES Archibold, R.C. (2010, April 23). Arizona Enacts Stringent Law on Immigration. New York Times, www.nytimes.com/2010/24/us/politics/24immig.html?ref=us. Aleinikoff, T. and Martin, D. (1991). Immigration: Process and Policy. St. Paul, MN: West Publishing Company. Bean, F.D. Vernez, G. and Keely, C. (1989). Opening and Closing the Doors: Evaluating Immigration Reform and Control. Santa Monica, CA: Rand Corporation. Borjas, G. (1990). Friends or Strangers: The Impact of Immigration on the U.S. Economy. New York: Basic Books. Brimelow, P. (1995). Alien Nation: Common Sense about America‟s Immigration Disaster. New York: Random House. Camarota, S. (2007). Immigration Employment Gains and Native Losses, 2000-2004. (pp. 139-156) In Swain C. (ed), Debating Immigration. New York: Cambridge University Press. Federation for American Immigration Reform. (2011). Public Opinion Polls on Immigration. http://www.fairus.org/site/PageNavigator/facts/public_opinion/. Fischer, D. H. (1989). Albion‟s Seed: Four British Folkways in America. New York: Oxford University Press. Freedland, M. (1974). Irving Berlin. New York: Stein and Day. Gargis. P. (2011) Alabama Sets Nation‘s Toughest Immigration Law. Reuters, www.reuters.com/assets/print? Geyer, G. A. (1996). Americans No More. New York: The Atlantic Monthly Press. Huntington, S. P. (2004).Who Are We? The Challenges to America‟s National Identity. New York: Simon and Schuster. Koven, S. G. and Götzke, F. (2010). American Immigration Policy: Confronting the Nation‟s Challenges. New York: Springer. Koven, S. (2008). Responsible Governance: A Case Study Approach. New York: M.E. Sharpe. Lamm, R.D. and Imhoff, G. (1985). The Immigration Time Bomb: The Fragmenting of America. New York: The Truman Talley Books. LeMay, M.C. (1987). From Open Door to Dutch Door: An Analysis of U.S. Immigration Policy Since 1820. New York: Praeger Publishers. Madison Grant. (2008). http://en.wikipedia.org/wiki/Madison_Grant. Magana, L. (2003). Straddling the Border: Immigration Policy and the INS. Austin, TX: University of Texas Press. Ngai, M.M. (2006). Impossible Subjects: Illegal Aliens and the Making of Modern America. New York: Princeton University Press. Pugh, E.W. (1984). Memories that Shaped an Industry: Decisions Leading to IBM System/360. Cambridge, MA: MIT Press. Task Force on New Americans. (2008). Building an American Movement for the Twenty-first Century: A Report to the President of the United States from the Task Force on New Americans. Washington, D.C.: U. S. Government Printing Office. The Free Library. (2010). The antiracist origin of the quota system, http://www.thefreelibrary.com.

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U.S. Census Bureau. (2010). Place of Birth of the Foreign-Born Population: 2009, http://www.census.gov/prod/2010pubs/ccsbr09-15.pdf. Wang, A. (1986). Lessons: An Autobiography. Reading, MA: Addison-Wesley Publishing Company. West, TG. (2007). Immigration: The Founders‘ View and Today‘s Challenge. (pp. 75-113) In Erler, E., West, T., and Marini, J. (eds), The Founders on Citizenship and Immigration: Principles and Challenges in America. Lanham, MD: Rowman and Littlefield. Zolberg, A.D. (2006). A Nation by Design: Immigration Policy in the Fashioning of America. New York: Russell Sage Foundation.

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Chapter 5

CITIZENSHIP AND THE POLITICS OF CIVIC DRIVEN CHANGE Alan Fowler and Kees Biekart1 International Institute of Social Studies (ISS), Erasmus University Rotterdam, Netherlands

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ABSTRACT Nation states are premised on the legitimizing presence of a polity comprised of citizens. The politics of this relationship is central to discourse on how societies evolve. Yet in the discipline of international development studies the topic remains peripheral. Reasons can be found in conceptual confusion, in selectivity in donor thinking and policies towards civil society and in the growth-driven political economy of NGO-ism. Remedies for the political lacunae are being sought through a concerted focus on people‘s rights, citizenship and qualities of leadership, which all show valuable progress. This chapter will examine a comprehensive complement to such efforts referred to as civic driven change (CDC). Originating in a grounded empirical approach, the constituent principles and elements of CDC offer a lens that can both sharpen and deepen insights and advance analysis of civic agency in socio-political processes. As an ontologically grounded normative proposition, CDC allows exposure and examination of ‗uncivil‘ forces stemming from contending claims on citizenship. These factors are typically ignored or denied in an historical harmony model of societal change. A CDC narrative is illustrated by reference to contemporary examples of citizen action that play out at multiple sites of governance.

INTRODUCTION For many people in the world ‗citizenship‘ is an aspiration, a ‗work in progress‘. Rooted in distinct histories, citizenship‘s meanings, rights and obligations towards a state and 1Dr. Alan Fowler is affiliate Professor and Dr. Kees Biekart is Associate Professor at the International Institute of Social Studies (ISS), Erasmus University Rotterdam. [email protected] and [email protected]

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towards others in society are continually evolving. Citizenship everywhere exhibits varying degrees of emergence, consolidation and stability. As a political concept and category, a polity premised on citizenship is seldom challenged as a normative legitimizing condition for recognition as a state within the global family of nations. Be that as it may, in interpretation and practice, citizenship does not enjoy an unequivocal place in a society‘s functioning and configurations of accountability and power relations between rulers and the ruled. Informed by the setting and perspectives of international aid and development cooperation, dedicated research across the world has helped to expose substantial variation in how citizenship is understood and gained, more through collective effort than legal statute. In fact, the substance of citizenship everywhere is more something that has to be actively claimed and vigilantly protected than assuredly gained as and ascribed status at birth.2 Results of such studies on citizenship indicate that successful engagement in public affairs and governance must contend with six challenging factors: existing capabilities; the institutional and political context; the strength of internal champions; the history and style of engagement; the location of power and decision making; and the nature of the issue at hand (DRC, 2010). This groundwork invites a broader view that is not premised on international relations with its concerns for security, poverty reduction, inequality and similar agendas. This chapter therefore extends this rich body of knowledge in two ways. As a first step, the following section delves deeper into a more fundamental aspect of politics that citizenship relies on: this is the concept of civic agency. The third section reports on a novel comprehensive lens – civic driven change (CDC) - through which the social-political processes expressions and challenges of citizenship can be better understood as grounds for activism, development practice, strategy and policy making. A concluding section is reflective in considering where, as a work in progress, the notion of civic driven change needs more effort.

FROM CITIZENSHIP TO CIVIC AGENCY Citizenship is a long term outcome of path-dependent historical processes that never come to closure: the politics of a society‘s structuration is an open process and enduring force through which - often in fits and starts - relations between governed and governors continue to evolve. Further, identity as a citizen is part of a complex mosaic of self-realisation and ascription by others. Consequently, a legal-political label is too narrow a view of what makes citizenship real, as is the notion that spaces for engagement between citizens and states are simply defined by those with power (Gaventa, 2010). Deepening the concept calls for a review of its location within a family of foundational theories of human pre-disposition expressed through sociological and political agency. From here, a body of theories connect challenges of citizenship with the notion of civic agency and civic energy. That is, the driver‘s of people‘s efforts to change the world they live in, for example, an imagined future personal of collective condition worth striving for. Two ‗families‘ of theory – foundational and actionable - are particularly relevant.

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Foundational Theories Human agency: In a comprehensive treatment of the topic, Emirbayer and Mische (1998:963) argue that, in sociology, human agency has not been adequately addressed as an analytic category in its own right. This shortcoming is attributed to theorists‘ preoccupation to demonstrate and explain the interpenetration of structure and agency. Their analysis to redress this lacuna posits an iterative, temporal process of reflection through which people gain and apply a responsive capacity to (problematic) situations as they arise. In their view, agency is an interplay between: (1) past routine, experience and learning, energised by (2) images of a desired future situation, which is then (3) situationally-judged for achievability and risk, from which action may or may not be taken. The recent political upheavals of the Arab Spring in North Africa show how people‘s risk calculus can change quickly and radically. In this reflexive sense, inaction is also an action. Results of (in)action feed into capabilities and future decision processes leading to a constantly self-developing and updated condition of capability, appraisal and decision choice. At a given moment, any one of the three elements determining agency dominate, but all are present in agentic processes. For these authors, agency is thus defined as:

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― …the temporally constructed engagement by actors of different structural environments – the temporal-relational contexts of action – which, through the interplay of habit, imagination, and judgment both reproduces and transforms those structures in interactive response to the problems posed by changing historical situations‖. (Emirbayer and Mishe 1998:970)

Thus, agency is one category in a total repertoire of human behaviour. It is co-defined by orientation of personal or group action towards the stabilizing, enabling and constraining forces of social norms and values embedded in institutions (Walker and Ostrom, 2007). Agency can thus be interpreted as an investment in a future that people care about. Human development relates directly to the energising property of agency towards a future that can only be ‗imagined‘. This is an appreciative position in terms of solving problems (Srivasta and Cooperrider, 1999). However, agency itself is subject to human pre-dispositions towards others, themselves moderated by theories of the person. In terms of the former, an ontology of ‗civicness‘ is described in the essay by Evelina Dagnino (Fowler and Biekart, 2008:28). ― … a critical task would be ― to interrogate the ontological essence of civicness in relation to contending political projects, their actors and the material base from which they emerge and subsist. This assumes that there is an ontological essence of civicness. One challenge here is to think about what ideas could deserve this position without incurring in the reductive risks pointed out above. One possibility is to resort to ideas that share a conception of a basis for life in society. They run from Hannah Arendt‘s common world, to Marshall‘s ― participation in the social heritage‖; ― a sort of basic human equality‖; ― the claim for recognition as full members of society‖. They may include Patrick Pharo‘s notion of an ― ordinary civility‖, a set of rules (formalized or not, written or not) that make social relations and life in society possible: rules for co-existence, built-in in the intersubjective dimensions of social life, that only exist to the extent in which they are mutually recognized. What seems to be common in these views is a sort of a first basic preliminary layer of meaning in the civic:

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Alan Fowler and Kees Biekart a disposition to live together in society, which sounds reasonable, largely shared and thus 3 difficult to dismiss.‖

She goes on to caution against any homogenous view on what this means (ibid:29): ― Nevertheless, while equality establishes a connection between civicness, social justice, 4 citizenship and democracy, it introduces grounds for differentiation and divergence. Thus, different understandings of these ideas, associated to different political projects, imply different directions to civic agency. It should be clear that this connection is one possibility among many others (such as religion, for instance). But all these different links - historically and contextually produced - shape the meanings of civic and civic agency: its contents, its subjects, its concrete forms, its locations. Recognizing this diversity, and the dispute that pervades it, is a crucial preliminary task.‖

The inter-subjectivity she speaks of in social relations is interpreted in terms of a ‗culturalist‘ paradigm of the person. This is counterpoised to a dominant paradigm of the person:

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― … which infuses public policy, politics, institutional practice, and much of civic and democratic theory and civic action is largely derived from positivist social science and science, conceiving the human person in relatively static fashion as an aggregation of consumer needs, wants, and appetites. ….― The contending culturalist framework conceives of the person in narrative terms, as immensely complex, dynamic, generative and ― emergent,‖ full of differing and often contested impulses and interests. It is attentive to civic capacity building, cultivation of skills, habits, orientations, and environments which enhance people‘s abilities for co-creation, or the ability to address common differences and to shape their 5 circumstances across lines of bitter difference.‖

Of particular concern is what it means to be ‗civic‘ within theories of citizenship and governance. We start with a brief review of citizenship. Citizenship: Historical analysis shows citizenship transforming from exclusive power with normative prescriptions of virtue and probity towards a legal status. Today, state legitimacy requires recognition of a polity as citizens. This legal identity is both individual and collective. Sovereign statehood as the unit of geo-political organisation established a precondition from which arose a formalised link between citizenship and rights (Codified by the United Nations in 1948). ― And so we come to citizenship. This defines the relationship between an individual not to another individual (as is the case with feudal, monarchical and tyrannical systems) or a group (as with nationhood), but essentially to the idea of the state. The civic identity is enshrined in the rights conveyed by the state and the duties performed by individual citizens, who are all autonomous persons, equal in status. Good citizens are those who feel allegiance

3This underlies an increasingly recurrent category in Brazil and other countries: the distinction between a civil and a non-civil society, referring, for instance, to drugs trafficking and criminal organized groups for whom the physical elimination of others is seen as a current element of social life. 4Differentiation and divergence may also be present in the definition of equality itself. 5Clarificatory contribution of Harry Boyte to a review of a CDC research proposal, 10, May 2010, mimeo.

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to the state and have a sense of responsibility in discharging their duties. As a consequence they need the skills appropriate for this civic participation.‖ (Heater, 2004: 1)

The interface between citizens to each other and towards the state plays out through political systems and the instruments of public administration. The former have been categorised in many ways, for example as authoritarian, semi-democratic or democratic, or full, hybrid or flawed (EIU, 2010). Each case incorporates an implicit statement about relations between the governed and those who govern. Such interaction is itself formative in terms of identity, self awareness and strength as a citizen confirmed by IDS studies (e.g., DRC, 2010).

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― For many democratic theorists, such as Mansbridge (1997) and Pateman (1970), one important function of citizen participation is that it helps to create and strengthen citizens themselves, increasing their feelings of political efficacy and their political knowledge. In turn, the assumption is that more informed and efficacious citizens will ‗ultimately benefit the larger society by anchoring it in a citizenry clearer about its interests and responsive to the claims of justice and the common weal‘ (Mansbridge 1997: 423, cited in Merrifield 2001: 10).

The notion of co-production of socio-political outcomes implied in this quotation connects citizenship and civic agency. Civic agency: Adopting a geo-historical reading locates the notion of ‗civic‘ as a statusbound normative behaviour tied to the rights and responsibilities of those governing city states. In Heater‘s account (2004) the earliest references to ‗civic‘ are allied to the concept of citizenship associated with a socio-political status accorded within Spartan communities and the governance of Athens. The corresponding tasks, authority and accountability of citizenship were accorded to selected individuals – propertied elites exhibiting valour, virtue and commanding influence. Women, slaves, labourers and craftsmen were excluded from this rank. Exclusion was the norm and remains so in many authoritarian-ruled societies. Citizens were recognised as political beings with rights to wield the power required to protect and ‗justly‘ oversee and govern the affairs of rural communities and of urban citystates. There was stringent attention to citizens properly discharging their mutual duties which called for particular ‗civil‘ behaviour in terms of constrained self-interest for the overall good. That which emerged as ‗civic‘ – a normative property of citizenship - included responsibility for the proper servicing and management of public areas and of investments and resources derived from the functioning of the whole populace. With an intervening history of western universalism, Hauguaard is at pains to remind us that ‗civic‘ conceived as a - concern for the whole and respect for difference - is not to be confused by or conflated with ‗civilisation‘. He cautions against comparing ‗civilised‘ and ‗uncivilised‘ societies because of the impossibility of appreciating the constraints under which they operate over time (Haugaard, 1997:200). From a socio-psychological angle, being civic implies a state of self-awareness or mindfulness about humanity and its place in nature. This condition may involve spirituality, theology, rationality and other frames of reference in a habitus of schemata and dispositions which co-inform attitudes towards others and towards power (Mwaura, 2008). For example, taking to heart the idea of being a global citizen with corresponding responsibilities:

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Alan Fowler and Kees Biekart ― … this could encompass a global citizenship outlook, which can be translated into civic actions such as ethical consumerism (consume less, buy fair trade, biological, seasonal and local produce), ethical producer-ism (corporate social responsibility and social business approaches), active citizenship (vote, be involved and engaged), ethical employee-ism (relate, take up responsibility).‖ (Berkhout, et al, 2011:14)

While this quotation is global in perspective, it actually involves civic agency confronted by many places where power within and over socio-political change plays out and need to be mediated and governed in one way or another. As described later, civic driven change CDC as conceived is sensitive to this dimension of societal change and the distribution of power and authority across institutional actors found in state, market and civil society. Power: The IDS programme researching citizenship provides an accessible categorization and analytic entry point to power (Gaventa, 2007:2).

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“Power „within‟ often refers to gaining the sense of self-identity, confidence and awareness that is a pre-condition for action. Power „with‟ refers to the synergy which can emerge through partnerships and collaboration with others, or through processes of collective action and alliance building. Power „over‟ refers to the ability of the powerful to affect the actions and thought of the powerless. The power „to‟ is important for the exercise of civic agency and to realise the potential of rights, citizenship or voice.‖

From a civic agency point of view, this formulation is helpful but incomplete. Applying a power lens to socio-political processes needs to include theory that interrogates power as both individually socialised and embedded and actively constructed by interaction. This type of analysis spans from covert or hidden power to its more overt, institutionalised and transactional dimensions. For example, Bourdieu exposes power deeply hidden with acculturated world views and resulting predispositions towards and interpretations of identity and life‘s experiences (Navarro, 2007). The work of Lukes (2005) and others point to additional, progressively overt, expressions of power. One is the function of language to define the parameters of thought and nature of knowledge. Language also dictates public and private discussion, communications and messages, typically favouring existing systems of dominance. A further influence of language is to label ‗reality‘ in ways that manipulate or mislead peoples‘ predispositions or cause them to misrecognise their ‗objective‘ interests (Lukes, 2005:149). Further, Haugaard (1997) demonstrates how structuration of power codetermines processes of (political) inclusion and exclusion and the rules of the game in sociopolitical arrangements and engagement. Finally, many authors treat physical coercion and force as, often, the most visible manifestation of power upon which – in the Weberian sense – states enjoy a defining monopoly.

Action Theories From a civic agency perspective, action theories tend to cluster around empowerment and its interface with public and private demands on political society. Empowerment: Drawing on the renewed interest for empowerment by liberation theology and feminism in the 1970s, CDC has been inspired by the work of Friedmann (1992) who has criticised the neo-liberal use of empowerment. He theorised poverty as the lack of access to

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social power, and pointed out that constraints were put on collective self-empowerment by tendencies to personalise empowerment strategies and reduce the attention for tackling structural conditions causing poverty. Despite this weakened use of ‗empowerment‘, the concept remains very relevant, especially when the meaning of power is further unpacked in ways described above. The central idea is to counter the disempowering effect of ‗internalised powerlessness‘, which had been flagged by Fanon (1986), Foucault (1989), and Freire‘s (1972) ‗critical consciousness‘, as well as several feminist authors (Rowlands, 1995; Mies,1999). They point at the danger of stripping power from its transformative quality. Indeed, (civic) agency is a tool for targeting disempowering structures. In this vein, a CDC narrative combines toward a theory of empowerment beyond ‗participation‘ to a developmental democracy emerging though active engagement of the polity which reinforces both citizenship and the state as an accountable and effective bearer of legitimate authority. Collective action: public and private goods and benefits: In civic agency, theories of collective action (Olson, Tilley) are important. A particularly critical theoretical angle signalled in Chapter 10 of the CDC book (Fowler and Biekart, 2008:177) - is a potential guiding philosophy of co-responsibility for the world as a global commons. Here the work of Eleanor Ostrom on the complexity of public action theory (Ostrom, 2005) and the contrary historical lessons for collective versus private ownership (Harvey, 2011) are likely to be pertinent to approaching wicked problems that often appear as social dilemmas:

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― The term ― social dilemma‖ refers to a setting in which individuals choose actions in an interdependent situation. If each individual in such situations selects strategies based on a calculus that maximizes short-term benefits to self, individuals will take actions that generate lower joint outcomes than could have been achieved.‖ (Ostrom, 2005:4) ― …. until we gain a better conception of the individual actor within these settings, which is likely to be a much more complex theory of the individual, we cannot move ahead as rapidly as we need to. The entire theoretical structure is likely to be one of complexity starting with complex models of individual behavior through complex models of structural interaction.‖ (ibid:2)

A potentially strong theoretical link of her work is to the normative proposition of civic as opposed to uncivil agency. In particular are empirical findings that pro-social behaviours can generate positive collective outcomes. And, when more individuals use reciprocity, gaining a reputation for being trustworthy is a good investment as well as an intrinsic value. Thus, reputations for being trustworthy, levels of trust, and reciprocity are positively re-enforcing. This also means that a decrease in any one of these can generate a downward cascade leading to little or no cooperation. (ibid:29)

Olson‘s proposition that individuals will act collectively to provide private goods, but not if it concerns public goods, was elaborated by zooming in on the community level, where these differences are less articulated (Boyte, 2008). The private role of citizens often seems to be linked to economic roles when it also can be broadened to include social and political ‗responsibility‘. This in itself is an important debate about the line between ‗civic-driven‘ and ‗profit-driven‘, which relates to interfaces between civil society and markets. Such a

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discussion is also linked to the problematic use of the notion ‗of ‗social capital‘ in relation to empowerment (Harriss, 2002; Fine, 1999) which can shed light on the subtle shift in interpretation of ‗private‘ and ‗public‘ to focus on the real meanings of what ‗civic‘ and ‗civic agency‘ can imply for political change. This would include discussions about personal ‗risk‘, strategies in the form of ‗political projects‘ and public service-delivery aimed at ‗coproduction‘ at the local level in order to stimulate citizens‘ capacity to engage. In a connected strand, civic agency has the potential to understand and appraise power games of public and private logics in social structuration. These dynamics are seen in the emergence of mega-philanthropy as well as social entrepreneurship and social enterprise illustrated previously. The general point is that CDC provides a potential connection between institutional forms and logics while, in applying civic agency theory, not having to subscribe to any of them. This being said, to defend and enhance their positions, institutions engage with political society. CDC needs to have a theoretical angle into this interplay. The political interface: As argued earlier, civic-driven change can be analysed at various socio-political levels, from local to global. However, it is the local level where civic agency generally manifests itself most clearly and apparently least complex. It is this level where individuals, as citizens, consumers, clients, or co-producers take initiatives with public aims which shapes civic action. Goldfarb (2006) describes such processes as the ‗politics of small things‘ that is routine, mundane practices led by ground-level social actors. When combined, aligned and energised, micro-politics can act as a fundamental political force which redefines the situation against prevailing interpretations championed by the powerful. The tenacity of protestors from all walks of life to recast and politically redefine Tunisia and Egypt is a potent example. Micro initiatives can be of a very different nature, from engaging in a debate on climate change around the kitchen-table, to putting a smart phone-filmed video of a Teheran oppositional demonstration on You tube, to actually taking risk as a civic actor on the streets. Benford and Snow (2000) have argued how ‗collective action frames‘ are generated when these initiatives come together and merge towards becoming movements with shared understandings of what needs to be changed. These are serious negotiations, often without mediation of formal groups or political parties. It is this breeding ground of negotiated civic action which needs more concrete underpinning.

CIVIC DRIVEN CHANGE In deepening an understanding of citizenship through civic agency in action, what has emerged as a Civic Driven Change narrative is the product of discussions with leading members of a number of Dutch development NGOs. The debate was driven by a shared frustration at the lack of a self-determined and robust story with which to proactively shape how the Netherlands‘ government was shifting its policy and practice of funding towards these private aid agencies. Over several political cycles Dutch NGOs, working for 75 per cent or more with government subsidies, had come to question the state-crafted understandings and positions on what was proposed as funding priorities, criteria and measures. This was generally based on the prevailing regime‘s and the ministry‘s sector-informed view of NGO identity and functions in a society. Investing in the search for a NGO/CSO narrative that

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would stand in its own right with its own ontology would be a valuable but risky effort. The method employed relied on grounded approach to multi-disciplinary empirical enquiry. This section of the chapter takes the theoretical discussion into CDC as an analytic lens.

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The Substance The previous discussion illuminates civic driven change as a composite of pre-existing ideas and theories that have been connected in a novel way. To fill in the substance, CDC first needs to be described in terms of major propositions which translate into core elements. In order to reduce the possibility of misunderstanding and misappropriation of meaning at this stage of exploration we try to avoid using vocabulary commonly deployed in aideddevelopment discourse. For example, in CDC terms, a participant is a citizen; participation is understood as civic agency; partnership is understood as a type of collaboration; and a project is treated as a case of civic agency. Bearing language in mind, the essence of CDC can be summarised in four basic propositions and eight elements that form a composite lens that can be applied to illuminate and understand processes of socio-political change. CDC propositions and constituent elements: The individual and comparative case analysis underpinning CDC pointed towards four critical perspectives on how society can be conceived and its trajectories understood within the framework provided by a nation state and its foundation on the concepts of citizenship and rights – both of which have been problematized. For CDC, the first proposition is that societies are regarded as ‗political projects‘ where all walks of life contain power, political forces and players. All people act politically in what they do or don‘t do with their lives. Second, civic agency is the principle, normative unit of concern where history, context and power to define the situation matter. Being ‗civic‘ is understood to mean pro-social behaviours that respect difference between people and show concern for the whole of society and not just for self. Uncivil behaviour – intolerance, discrimination, exploitation - is part and parcel of social processes and struggles. A third proposition of CDC advances an appreciative position on social realities and (wicked) problems which are understood as the unfulfilled imagination of a preferred situation. Living together inevitably generates dilemmas of collective action. Solutions call for imagination which co-defines a desired future situation attracting action – for example a sustainable ecology or a world without hunger. Fourthly, development is an uncertain, indeterminate process involving societal co-production for good or ill which involves contention as well as collaboration. Change in society is driven by both civic and uncivil agency. These propositions translate into a set of elements that are connected in different ways by existing bodies of theory and practice discussed in subsequent sections. The constituent elements of civic driven change have the following eight characteristics. In a sense they compositely ‗define‘ what can be understood as civic driven change in their combination rather than in their singularities. i.

CDC relies on a rights-based understanding of political agency tied to citizenship that is simultaneously an individual and a collective identity. It is a defining relationship between a state and the polity. Legitimacy of the former calls for

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ii.

iii.

iv. v. vi.

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vii.

viii.

active, informed involvement by the latter. Where citizenship is not in play and the right to have rights is not honoured by a state - and there are quite a number of such situations - this latter condition needs first to be fulfilled. CDC is not sector-bound. A CDC lens focuses on civic action for good or ill throughout all realms of society rather than a pre-occupation with civil society that has been uncritically conceived as only working for public benefit. Put another way, CDC is not located in institutionally specific ways – it does not ‗belong‘ to civil society. CDC is open and scalable. Civic agency can be observed at any (aggregate) level of socio-political arrangements as well as horizontally through, for example, self-organised network relationships. It incorporates links from local to global change and back again as an iterative process. CDC takes as a maxim the requirement for equity of political agency rather than equity of economic opportunity that informs dominant sector-based theories of change. Equity of political agency exhibits strong gender differences. CDC looks beyond political structures and mechanisms, such as voting, to the historical processes and fundamentals of power accumulation and reproduction in a country and internationally. CDC is sensitive to contention between endogenous and exogenous values, measures and processes. It distinguishes between aided and unaided change in society which heightens attention to the role and power of outsiders in influencing socio-political and other processes, including how risks are distributed. CDC recognises multiple knowledges, with information sources and communication routes that inform agency. It places trust in people‘s own sites of knowledge-making which does not necessarily make them right, but is the wellspring for learning and self-capacitation. CDC recognises multiple types and locations of authority and governance and reactions to them.

For any given context and socio-political process each of these elements has its own scales, time lines, metrics and relative weights that are not static or immutable. Illustrations are shown below. Crudely framed, the CDC narrative is about the politics of people moving From Clients to Citizens (Mathie and Cunningham, 2008). CDC relies on the concept of socio-political domain centred on an imagined future of a ‗solved‘ wicked problem. This concept has a strong affinity with Bourdieu‘s (1977) concept of ‗social field‘. These are understood as social arenas governed by distinctive values and approaches which emphasise their contested nature and the role of power in resolving contests, which are inherent to solving wicked problems and social dilemmas. The significance of social fields is their detachment from any particular actor because they also exist as internalised mental elements or frames of reference or norms and cultural rules that co-inhabit a person‘s psycho-social construct, their habitus. Prejudice against non-heterosexual predispositions in the case below illustrates the ubiquity of such mental constructs. In practical terms, a domain can be viewed as a substantive theme or desired future condition which holds society‘s attention and attracts civic agency from any quarter.

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Figure 1. Illustrates the centrality of civic agency in the CDC narrative, the notion of domains that super cede sectors and recognition of transnationalism, particularly accelerated by the internet, cell phone technology as well as social networks and media. There are many ways of discerning and empirically exploring socio-political processes. Mathie and Cunningham (2008) examine cases that reflect many characteristics of CDC but are not expressed directly in these terms. To help do so, as brief illustrations, we select diverse examples of a CDC take on socio-politics through four contextualised domains of change. These are: the recent political upheavals in countries of North Africa; political engagement of social movements in Central America; gaining rights for gays and lesbians; and the phenomenon of mega-philanthropy alongside a ‗shared value‘ business proposition. They manifest various combinations of a composite CDC lens.

Figure 1. CDC: Illustrative domains of change.

A first example is the unanticipated success of citizen‘s to change their regimes in Tunisia, Egypt, and Libya, which can be interpreted as an accumulation of individual microgrievances described in a novel by Egyptian writer Alaa Al Aswany (2004). A trigger of selfimmolation in Tunisia and its knock-on effects in other countries spur a spontaneous, selforganised demand for political equity to redress economic inequity, corruption and authoritarianism that looked set to follow a dynastic path of father to son. Decades of political disaffection and micro-discontents scaled dramatically in a short time frame with outcomes

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still uncertain in terms of the new eventual dispensation. Peoples‘ risk calculus underwent a dramatic shift. Internal forces for change paid little heed to the warnings of regional conflagration due to the Israeli factor or an al Qu‘aida take over through the Muslim brotherhood. Endogenous historical self-regard and rejection of ‗pharaoh-ism‘ in an imagined future proved more powerful as a compelling metaphor and psycho-social driver of being Egyptian in a regional order that takes social justice and democracy seriously. The power of ‗leaderless‘ self-organisation reflected in CDC stands out, even when internet and cell phone services were cut. What also stands out is the urban, middle class nature of the revolt. This was not a mass upheaval of the poor and marginalised, but one of a sophisticated and educated polity both employed and unemployed. A ‗sectored‘ civil society labelling of mass action misses the crux of collective civic agency towards a newly imagined Egypt as the driver for people‘s energy and risk-taking. A second example in which CDC has been useful as a framework for analysis is the struggle of indigenous movements in Guatemala and Mexico against mining companies and against efforts to undermine their local livelihoods. This struggle was preceded by decades of denial of citizenship rights, providing also a political dimension to this resistance that predominantly operated at a local level. The Zapatista communities in Southern Mexico introduced a system of autonomous self-government in their ‗caracoles‘ (snail houses) (Olesen, 2005). These were developed as a result of resistance by indigenous communities against neo-liberal free-trade agreements, which, it was feared, would endanger their local governance autonomy as well as directly affect the rich biodiversity of the Lacondo forest, the livelihood of the Zapatista communities. The Guatemalan communities were confronted by the invasion of Canadian mining companies that had been allowed access to communal lands due to free-trade agreements. What the two contexts had in common was the absent articulation of their struggle in political society, as political parties were either corrupt or simply not interested. Instead, virtual networks were used to transmit and articulate their community demands towards national and global levels. This multi-level struggle combined with non-partisan politics transcends regular civil society frameworks: a CDC lens is helpful to zooming in on the various dimensions of these struggles, building on dynamic setting of political society (Chatterjee, 2004). In addition, an interesting feature is the largely non-aided character of the Zapatista struggle, versus a predominantly ‗aided‘ process in Guatemala. A third example is the struggle for the recognition of sexual diversity rights. The assertions of gay, lesbian, bi-sexual, and transsexual (LGBT) citizens to gain recognition of their rights on a par with heterosexuals no doubt belong to the realm of civic activism. Gay parades are the more visible assertions of civic agency towards ‗excluding‘ norms embedded in legislation and manifest in intolerant social behaviour to those who are different. But the more invisible networking among and within LGBT groups point at innovative and very dynamic forms of civic action, which is reshaping the traditional perception of how social movements are generally organised. One of the particular features is that LGBT groups by definition operate in private as well as public spheres simultaneously, but in addition transcend several traditional sectors. This is for example apparent in the emergence activism for sexual diversity rights at ministries and governmental institutions as well as in the business community. After all, prejudicial cultures and mindsets are independent from sectoral boundaries and therefore there is a typical ‗domain‘ dimension emerging. Hivos is now supporting ― … the Company Pride Platform, a global network of LGBT communities within large multinationals, including Shell, Cisco ABN AMRO and IBM working towards

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better environments for LGBTs. This is a clear example of civic action in corporate environments.‖ (Berkhout, et al, 2011:10). A fourth example is related to philanthropy and „shared value‟ business. A ‗new‘ sociopolitical domain has opened in many societies, christened by the term ‗philanthro-capitalism‘ (Bishop and Green, 2008). Its characteristics speak to the emergence of more than an efficient ‗blend‘ of self-serving business and pro-social logics of ‗gifting‘ and generosity. The unprecedented scale of private accumulation of capital has a living owner who decides to redistribute personal wealth to solve social dilemmas, or for other purposes that typically attract tax relief. A CDC angle into this domain focuses on: issues associated with individualised expressions of civic agency which can distort social policy premised on equity in public decision making; the ambiguity in moral philosophy and accumulation of power involved in remedying the effects of corporate externalisation of costs that cause social dysfunctions; the ability of governance to actually oversee and regulate this concessional financial arrangement (Edwards, 2008, 2009). CDC would include in this domain the emergence of arguments for significant revision in capitalist performance metrics towards ‗shared value‘ between corporations and society (Porter and Kramer, 2006). This amounts to a plaidoyer for a ‗deep‘ form of corporate social responsibility that, by its very nature, simultaneously generates economic and social returns at all locations in a value chain. This arrangement would, in theory, render philanthro-capitalism unnecessary. This expression of CDC exhibits a very different moral and practical take on fixing wicked problems: one which problematizes and surpasses a sector analysis. Together, these illustrations point towards the potential value that a CDC lens has to offer, with the primacy of imagination and socio-political processes before examining citizens as actors among many others.

CONCLUSION Citizenship is far from a problem-free topic. This chapter argues that understanding why this is the case and what can be done about will benefit from deepening by taking a more ontological perspective on the relationship between human agency and the politics of power. Civic driven change is one way of doing so. As a work in progress, more effort will be needed to delineate where a CDC perspective provides a worthwhile complement or alternative to existing analytic frameworks applied to citizenship. This would, for example, involve re-interpreting existing cases of citizen action and applying CDC analysis to current and future examples that offer the potential for testing proposition that arise as more empirical evidence is gathered.

REFERENCES Berkhout, R., et al., 2011, Civic Driven Change: synthesis implications for policy and practice, Context International Cooperation, Utrecht. Benford, R.D. & Snow, D.A., 2000, “Framing Process and Social Movements: An Overview and Assessment. Annual Review of Sociology, 26, pp. 611-639.

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Bourdieu, P., 1997, Outline of a Theory of Practice, Cambridge University Press, Cambridge. Boyte, H., 2008, "Civic Driven Change: Organizing Civic Action", ISS-CDC Policy Brief, No. 3, Institute of Social Studies, the Hague. DRC, 2010, Blurring the Boundaries: Citizen Action Across States and Societies, Development Research Centre, Institute for Development Studies, University of Sussex, Brighton. Emirbayer, M. and Mische, A., 1998, "What is Agency?", The American Journal of Sociology, Vol. 103, No. 4, pp. 962-1023. http://www.jstor.org/stable/2782934 EIU, 2010, Democracy Index 2010, Economist Intelligence Unit, London. http:// graphics.eiu.com/PDF/Democracy_Index_2010_web.pdf Fanon, F., 1986. Black skin, white masks, Pluto Press, London. Fine, B., 1999, “The developmental state is dead: Long live social capital?”, Development and Change, Vol. 30, No. 1 pp. 1-19. Foucault, M., 1989, The Archaeology of Knowledge, Oxon, Routledge. Freire, P., 1972, Pedagogy of the Oppressed, Sheed and Ward, London. Friedman, J. (1992) Empowerment: The Politics of Alternative Development, Blackwell, Cambridge. Fowler, A. and Biekart, K. (eds), 2008, Civic Driven Change: Citizen's Imagination in Action, Institute of Social Studies, The Hague. Gaventa, J., 2010, "Seeing Like a Citizen; Reclaiming Citizenship in a Neo-Liberal World", in Fowler, A. and Malunga, C. (eds), The Earthscan Companion in NGO Management, pp. 59-69, Earthscan, London. Harriss, J., 2002, Depoliticising development: Social Capital and the World Bank, Anthem Press, Wimbledon. Harvey, D., 2003, The New Imperialism, Oxford University Press, Oxford. Haugaard, M., 1997, The Constitution of Power: A theoretical analysis of power, knowledge and structure, Manchester University Press, Manchester. Heater, D., 2004, Citizenship, Manchester University Press, Manchester. Lukes, S., 2005, Power: A Radical View, 2nd Edition, Palgrave, Basingstoke. Mies, M., 1999, Patriarchy and Accumulation on a World Scale: Women in the International Division of Labour, London, Zed Books. Mwaura, P., 2008, "Civic Driven Change: Spirituality, Religion and Faith", in Fowler, A. and Biekart, K, (eds), Civic Driven Change: Citizen's Imagination in Action, pp. 51-66, Institute of Social Studies, The Hague. Navarro, Z., 2007, “In Search of a Cultural Interpretation of Power: The Contribution of Pierre Bourdieu”, IDS Bulletin, Vol, 37, No. 6, pp. 11-22, Institute of Development Studies, University of Sussex. Ostrom, M., 2005, "The Complexity of Collective Action Theory", paper presented at a Workshop on Analyzing Problems of Polycentric Governance in the Growing EU, Humboldt University, Berlin, June 16-17. Rowlands, J. (1995) „Empowerment Examined‟, Development in Practice 5 (2): 101-7. Srivasta, S. and Cooperrider, D. (eds.), 1999, Appreciative Management and Leadership: The Power of Positive Thought and Action in Organisations, Williams, Edison, Oh. Walker, J. and Ostrom, E., 2007, “Trust and Reciprocity as Foundations for Cooperation: Individuals, Institutions, and Context”, Paper presented at the Capstone Meeting of the RSF Trust Initiative at the Russell Sage Foundation in May.

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Chapter 6

ASSESSMENT AND PREDICTION OF CLIENT-TARGETED CITIZENSHIP BEHAVIORS AMONG CIVIL SERVANTS Pablo Zoghbi-Manrique-de-Lara, Jorge E. Araña and Daniel F. Celis-Sosa Institute of Tourism and Sustainable Development Institute (TIDES) University of Las Palmas de Gran Canaria, Spain

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ABSTRACT Despite the rich body of empirical research on organizational citizenship behavior (OCB) and job attitude, little is known about citizenship targeted at clients and its attitudinal predictors. Drawing on customer-oriented behaviors (COBs) and conventional citizenship directed at individuals (OCB-I), this article first elaborates on the idea of client-targeted citizenship behaviors (CTCBs) among civil servants and proposes their assessment. Using holistic contexts in terms of organizational climate, the article then tests the relative effects of job attitudes on client-targeted citizenship (CTCBs), contrasting the results with the prior literature on conventional OCB. Data were collected from 84 of the 198 (42.4%) civil servants of a Spanish Social Security agency. Exploratory factor analysis (EFA) results suggested two factors of client-targeted citizenship (CTCBs) and five of organizational climate. Unable to be considered discretionary citizenship, one of the two CTCB factors was instead interpreted as ‗in-role behavior providing an outstanding service.‘ SEM results supported ‗leader, facilitation and support‘ and ‗job variety, challenge and autonomy‘ as significant climate factors for predicting client-targeted citizenship (CTCBs), and they showed that predictors of CTCBs and ‗in-role behavior providing outstanding service‘ differ considerably. The findings appear to suggest that managerial patterns to successfully foster conventional OCB, service quality and CTCBs are different, and they propose the creation of the best attitudinal profile for promoting CTCBs at work that can be made available to managers.

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Keywords: Organizational Citizenship Behavior (OCB); Customer-oriented behaviors; COBs; Organizational climate; Job attitudes; Civil servants

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INTRODUCTION Organizational citizenship behavior (OCB), which comprises prevalent and beneficial employee behavior, has received considerable attention recently in public organizations (Pandey et al., 2008; Kim, 2005; Ehigie and Otukoya, 2005). Throughout its history, in addition to its prominence, OCB has figured as a dynamic and vital construct in the management literature. Originally, for example, Dennis Organ (1988) defined OCB as voluntary and discretionary individual behavior that is expected to promote overall organizational effectiveness. However, in 1997, in congruence with Borman and Motowidlo‘s (1993) concept of contextual performance, Organ (1997:95) changed his definition to say that OCB is ― performance that supports the social and psychological environment in which task performance takes place.‖ Furthermore, concerning its multidimensional nature, numerous delineations have identified multiple facets of the OCB construct. For example, Organ (1988) identified conscientiousness, sportsmanship, civic virtue, courtesy and altruism as five wellestablished dimensions of OCB. A few years later, however, Williams and Anderson (1991) divided OCB into only two types: behavior directed mainly at individuals within the organization (OCB-I), and behavior that is more concerned with helping the organization as a whole (OCB-O). Examples of this citizenship behavior directed at the organization (OCB-O) would include defending the organization when other employees criticize it, and in the case of interpersonal citizenship behavior (OCB-I), assisting co-workers with their duties. Despite these important movements regarding the OCB concept and its facets, few studies have dealt with the boundaries of conventional OCB when the possibility is raised of its targets existing outside the organization. Thus, to date, only Podsakoff and MacKenzie (1997) and Podsakoff, MacKenzie et al. (2000) have suggested the idea of an OCB not aimed at people within organizations or, as they labeled them, customer-oriented behaviors (COBs). Although these customer-oriented behaviors (COBs) were suggested more than a decade ago, the number of studies currently conducted to assess and examine the causes and effects of customer-oriented behaviors (COBs) is surprisingly limited (e.g., Dimitriades, 2007). Since conventional citizenship and customer-oriented behaviors (COBs) share the same starting point, one reason for this lack of attention could stem from the assumption that both perform and occur following similar patterns (Podsakoff and MacKenzie, 1997). Although this assumption may be comprehensible, this study considers it speculative and risky, and thus aims to elaborate on the idea of customer-oriented behaviors (COBs). Research on customer-oriented behaviors (COBs) appears even more neglected if we consider public organizations. Indeed, customer-oriented behaviors (COBs) are assumed to be performed by salesmen or front-line industry employees, and they appear to focus on clients as ― customers‖ rather than ― citizens.‖ Given that clients of the public and private sectors have different expectations and are involved in organizations with different cultures and aims, the nature and causes of citizenship performed by civil servants and directed at clients could have specific characteristics (Fountain, 2001). Indeed, the characteristics typical of public organizations may confer specific traits to this citizenship performed by civil servants, and the

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existing literatures on conventional OCB and customer-oriented behaviors (COBs) may not be directly applicable here. Thus, prior literature has found differences between the motivational reasons employees display citizenship targeted at ― citizens‖ and ― customers‖ (in industry contexts) (see for a review, e.g., Pandey et al., 2008), and these differences seem to suggest that their antecedents could vary. All of this leads us to believe that ‗customeroriented behaviors (COBs)‘ do not appear to represent OCB directed at clients within public contexts; therefore, we consider it more accurate to label them as client-targeted citizenship behaviors (CTCBs) instead. This study attempts to provide a preliminary exploration of the assessment of these client-targeted citizenship behaviors (hereinafter, CTCBs), and then explore their causes. As mentioned earlier, the reasons industry employees and civil servants engage in conventional citizenship may differ (Pandey et al., 2008). In contrast to civil servants, employee behavior in the service industry is linked to extrinsic motivational models of human behavior to a greater extent (Buelens and Van den Broeck, 2007). Employees frequently view clients as customers providing extrinsic (rather than intrinsic) returns for services rendered, and they are more interested in the tangible outcome of the service. In contrast, within the culture typical of public organizations, civil servants‘ performance tends to be more linked to intrinsic motivational models of human behavior and intangible service outcomes. Therefore, it would be likely for civil servants to encounter the source of motivation to behave in a certain way in the returns provided by the characteristics and elements of the work environment (Fountain, 2001), at least in a first stage. These characteristics and elements in the workplace (as perceived and evaluated by civil servants) are frequently studied by examining job attitudes; consequently, this paper focuses on job attitudes in examining the causes of CTCBs. Although there is a rich body of empirical research supporting job attitudes as robust predictors of conventional OCB (see meta-analytic reviews such as Podsakoff et al., 2000; LePine et al., 2002; Podsakoff et al., 2009), previous studies suggest that the effect of job attitudes on citizenship may follow different patterns when acting concurrently. Thus, for instance, Schappe (1998) found that organizational commitment only accounted for a unique amount of variance in OCB when it was considered together with fairness and satisfaction. When acting concurrently, hence, positive feelings about the job could perform differently in predicting CTCBs, thus indicating the need for an integrative approach. Dennis Organ (1997:94) discussed this idea by suggesting an underlying criterion that can shed light on this issue, i.e., a statement of antecedents of OCB based on ― attitudes indicative of or derived from a general state of morale in the workplace.‖ Thus, Organ (1997) noted that there is an empirical tendency for all kinds of positive or negative attitudes to go together—e.g., workers who are more satisfied with their jobs also tend to feel better about their coworkers and organization. Even if it is possible to distinguish among more narrowly defined constructs, Organ (1997) considered it reasonable to think of a general factor underlying all of them. Drawing on Organ‘s (1997) suggestion, this paper considers that describing holistic contexts in terms of organizational climate is an appropriate strategy for testing the large set of job attitudes that may cause CTCBs. Indeed, the organizational climate approach constitutes an integrative term for positive feelings about the job, which not only enables comparisons among types of job attitudes affecting CTCBs, but also aids in the discovery of new contexts for predicting CTCBs. As such, this study intends to assess the organizational climate of 84 of the 198 (42.4%) civil servants of a provincial Spanish Social Security

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agency. As far as we know, this is the first empirical study aimed at exploring the assessment and causes of citizenship targeted at clients in the context of civil servants (CTCBs), and— because it uses a holistic approach in terms of organizational climate—the one conducted on a form of citizenship concurrently examining the largest number of work attitudes.

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THEORETICAL BACKGROUND AND HYPOTHESIS A social exchange explanation (Blau, 1964) is usually proposed by researchers to explain why employees perform conventional OCB. To the extent that employees perceive their organization as a fair place to work, social exchange leads them to develop feelings of personal obligation, gratitude and trust. These feelings move employees toward dynamics of social exchanges which, if positive, may lead them to reciprocate by engaging in increased OCB. Given that previous research has generally confirmed the impact of conventional OCB on positive measures of organizational effectiveness (Dunlop and Lee, 2004; Ehrhart et al., 2006; Koys, 2001; Podsakoff et al., 1997; Podsakoff and MacKenzie, 1994; Walz and Niehoff, 2000), a large number of studies have focused on identifying the causes of these behaviors. Meta-analytic reviews (Podsakoff et al., 2000; LePine et al., 2002; Podsakoff et al., 2009) of prior studies confirmed a set of job attitudes as robust predictors of conventional OCB. Based on the above-mentioned social exchange framework, the more employees perceive a positive workplace, the more they reciprocate in favor of the organization by performing increased citizenship. Indeed, organizational and group commitment, leader supportiveness, organizational justice, and group cohesiveness, to name just a few job attitudes, have been found to be significant predictors of conventional OCB. The main difference between organizational climate (hereinafter, climate) and a mere set of job attitudes is the fact that climate tries to describe the holistic nature of social contexts in organizations. Climate is a ― shared perception‖ or a ― shared set of conditions‖ that portray organizational environments as being rooted in the organization‘s culture (Patterson et al., 2005). Furthermore, in contrast to organizational culture, climate tends to present these social environments in relatively dynamic or temporary terms. It is subject to direct control (Rogg et al., 2001) as well, and largely limited to those aspects of the social environment that are consciously perceived by organizational members (Field and Abelson, 1982). Climate is also considered powerful in influencing employee behavior, and by describing it in terms of a set of dimensions, in uncovering the specific causes of this behavior (Denison, 1996). As job attitudes, a positive climate could significantly predict conventional OCB. How would climate lead employees to engage in increased citizenship? There is a broad consensus among organizational and work psychologists that the occurrence of a desirable human behavior in organizations depends on two important determinants, the individual motivation and the means and opportunity the work context provides to act in this particular manner. According to these two determining factors, a positive climate may be influential in OCB in that: (a) it provides employees with motivation to engage in OCB; and (b) it facilitates means for employees to behave in this way. The nature of the target (c) toward which the OCB is directed could also explain when and why positive climate may be

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influential in OCB. Since different targets can add distinct features to the same type of citizenship behaviors, the target may make it possible for employees to identify each OCB as different, as well as its potential impact. Given that the target enables employees (who reciprocate in gratitude) to reward each of the specific sources that produces a positive climate, within a dynamic of social exchanges, the target would play a role in allowing a positive climate to lead employees to engage in increased OCB. However, how are these circumstances expected to occur in the case of CTCBs? First, although in exhibiting conventional OCB the primary social exchanges that employees develop at work are with the organization (Williams and Anderson, 1991), the supervisor and co-workers, and indirectly the clients, could be present in these exchanges later. Although one would expect the target of OCB to be related to the person who is reciprocated (the one to whom the OCB is directed), the two (target and person) ultimately need not be the same. Indeed, research on organizational behavior suggests that targets of help and entities helped may diverge for at least two reasons (Ambrose et al., 2002; O‘LearlyKelly et al., 1996). Employees (a) may displace their OCB. For example, they may feel fairly treated by their boss but unable to reciprocate in favor of him or her; therefore, they might turn their gratitude toward a client by engaging in CTCBs. Moreover, employees (b) may perform behavior that, in helping the source of the favorable climate, helps others as well. For example, civil servants may feel that a leader strongly facilitates and supports them, so that they are motivated to work hard. However, in the end, they may also display specific CTCBs, and these CTCBs (i.e., targeted at clients) may be even greater than the OCB directed toward the leader/organization. Second, research has suggested that climate dimensions comprise a variety of important outcomes at the individual, group and organizational levels (Patterson et al., 2005). If a civil servant experiences friendly treatment by the work group in which he or she encounters cooperation and a warm climate, he or she feels motivated to reciprocate in kind. As noted earlier, through displacement to clients or in an attempt to help the group members, CTCBs may be performed as well. As such, civil servants may show OCB in favor of the clients as a way to help the organization or other individuals. For instance, civil servants who share feelings of professional and organizational esprit d‘ corps (team spirit, morale) may feel motivated to reciprocate in favor of their organization with OCB. However, although the primary motivation may lead them to target the organization as a whole, the variety of outcomes at different levels of climate dimensions (Patterson et al., 2005) may make easier that, in engaging in CTCBs, civil servants find a secondary way of expressing their gratitude toward the organization. In sum, positive climate dimensions comprise conditions that make it easier for civil servants to engage in CTCBs. If there is no conflict and ambiguity on the job, and job standards are properly implemented, for instance, it is reasonable to predict that a favorable climate will pave the road to CTCBs‘ appearance by providing motivation, means and opportunity to behave in this way. In the end, in an attempt to favor the organization as responsible for the positive climate in the workplace, civil servants could consider reciprocating toward the organization with increased OCB aimed at clients. Hypothesis: Positive perceptions of climate among civil servants will be positively associated with higher levels of CTCBs.

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METHOD Procedure and Sample Characteristics Data were collected by e-mail from 84 (42.4%) of the 198 civil servants at a provincial agency of the Spanish Social Security system. A questionnaire was posted on the Intranet and could be accessed by clicking on a link in the e-mails. Eventually, there were 84 valid responses after 12 were rejected due to incorrect completion or incoherent information. Accessibility to individual e-mail was similar for all civil servants. The sample was comprised of 47.3% males and 52.7% females. Regarding age, 75.7% were 50 years old or younger, while the remaining 24.3% were older than 50. Most (75.7%) civil servants from the sample worked at the head office, while the remainder (24.3%) served at branches. The sample‘s descriptive structures are quite similar to the general population data. Overall, 51 (27.9%) of the employees came from the branches, while the remaining 132 (72.1%) worked in the head office. By age, 126 (68.9%) were 50 years old or younger, and 57 (31.2%) were older than 50. By gender, (76) 41.5% were male and (107) 58.5% female.

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Measures All items in this study were scored on a 7-point Likert scale ranging from (1) Strongly Disagree to (7) Strongly Agree— and on CTCBs from (1) Never to (7) Constantly. Reliability was established by means of Cronbach‘s alphas, which are shown on the main diagonal of the correlations table (Table 1). Organizational climate. We used the 70-item Davidson et al. (2001) shortened version of the 145-item organizational climate questionnaire developed by Ryder and Southey (1990), which is, in turn, a later adaptation for public service of Jones and James‘ (1979) original version. This shortened version consisted of 70 items for the 35 a priori scales drawn from the literature. These scales include different job and role attributes, perceptions about supervisors, managers and the organization as a whole, and various issues concerning work group performance. Thus, examples of scales include ‗job feedback,‘ ‗interaction facilitation,‘ ‗organizational esprit de corps,‘ ‗interdepartmental cooperation,‘ ‗confidence and trust,‘ and ‗openness of expression,‘ among others. Items include ‗Your supervisor is friendly and easy to approach,‘ ‗Dealing with other people is part of your job,‘ ‗Procedures are designed so that resources (equipment, people, time, etc.) are used efficiently,‘ ‗The organization gives a good image to outsiders,‘ and ‗Discipline in this organization is maintained consistently.‘ Scores on negatively worded items were inverted before being entered in the analysis. Client-targeted citizenship behavior (CTCBs). We measured CTCBs using a 6-item scale constructed by the author on the basis of the one used by Lee and Allen (2002) to assess interpersonal citizenship behavior (OCB-I). Since Lee and Allen (2002) studied OCB-I directed at coworkers, we first reworded some items by just changing ‗coworkers‘ to ‗clients.‘ For example, ‗Willingly give your time to help clients who have personal problems.‘ Others, however, were more difficult to adapt by merely changing the target. Drawing on Lee and Allen‘s (2002) OCBI-scale as well, we generated new items such as ‗Show a polite and sincere interest in clients even when they are complaining about something‘ and ‗Go out of

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your way to help clients who are lost in corridors.‘ Remaining items on the scale will be shown below. Given that confirmatory factor analysis (CFA) cannot be recommended here because there is no strong theory or empirical base available to confirm a priori climate factors, we planned to conduct an exploratory factor analysis (EFA) to examine the factor structure of all 70 items used to assess climate. Furthermore, since the items on the scale used to assess CTCBs include 6 items generated and adapted from another scale (Lee and Allen, 2002), we also planned to enter these 6 items, together with the 70 climate ones, in the aforementioned EFA. After all items in this study are factor analyzed (EFA) together, we plan to average those that load sufficiently and form part of interpretable components. Finally, we plan, by using these calculated variables and structural equation modeling (SEM), to examine the paths postulated in this study. The indices we plan to use include comparative-fit (CFI), normed-fit (NFI), Tucker-Lewis (TLI), incremental-fit (IFI), and root mean square error of approximation (RMSEA).

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RESULTS The EFA followed by Varimax Rotation extracted 17 components with eigenvalues greater than 1, which accounted for 83.9% of the total variance. The cutoff for inclusion of items in each factor was established as a loading of .20. Of the 17 components extracted, 5 climate components and 2 concerning CTCBs—3 items each—were found to be interpretable and in general related to previous climate literature (Davidson et al., 2001; Organ, 1988, 1997; Ryder and Southey, 1990; Williams and Anderson, 1991). The remaining 10 components were rejected and, consequently, dropped. Concerning CTCBs, the first of these 2 components was interpreted as truly assessing extra-role performance (i.e., ‗Adjust your schedule to accommodate clients‘ requests for time off,‘ ‗Go out of your way to help clients who are lost in corridors,‘ and ‗Willingly give your time to help clients who have personal problems‘). The other one, however, could not be interpreted as strictly OCB, but rather behavior involved in providing an outstanding service. This second component includes the items ‗Do your best not to make clients wait,‘ ‗Help clients feel at home in the organization,‘ and ‗Show a polite and sincere interest in clients, even when they are complaining about something.‘ We then conducted a second EFA with these 6 CTCB items alone to confirm this extreme. Indeed, 2 CTCB factors were confirmed, and accounted for 81.5% of total variance. KaiserMeyer-Olkin (KMO) in this new EFA was .719, and Bartlett‘s Sphere Test revealed a ChiSquared of 334.444, 28 degrees of freedom (df), and significance (p < .0001). Concerning the 5 climate factors, factor 1 accounted for 15.6% of variance, included 14 items, and was labeled ‗Professional and organizational esprit d‘ corps (F1)‘; factor 2 accounted for 12.8% of variance, included 10 items, and was labeled ‗Leader, facilitation, and support (F2);‘ factor 3 accounted for 8.7% of variance, included 7 items, and was labeled ‗Job variety, challenge, and autonomy (F3);‘ and factor 4 accounted for 4.9% of variance, included 5 items, and was labeled ‗Work group co-operation, friendliness, and warmth (F4).‘ Finally, factor 5 accounted for 4.7% of variance, included 4 items, and was labeled ‗Job standards (F5).‘

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Table 1 shows the scale means, standard deviations, reliabilities and correlations (r). As mentioned above, we took an average of the accepted items for each variable/dimension. Results of the correlation analysis suggest that the CTCBs interpreted as extra-role performance and those defined as just outstanding service do not seem to be sensitive to similar climate antecedents. SEM was used to test our predictions, as it is a powerful tool for analyzing causal relationships in non-experimental studies. Figure 1 is a path diagram that shows relationships among the observed variables (survey answers, in rectangles). The items that loaded sufficiently, as provided by EFA, define the variables of the hypothesized model shown in Figure 1. The various indices used (see Figure 1) show a poor fit of this model. Support for our expectations, however, is shown (see Figure 1) by the significant links between the different climate factors and the CTCBs interpreted as extra-role performance and outstanding service. Specifically, the CTCBs interpreted as extra-role are significantly and positively associated with ‗Leader, facilitation, and support (F2)‘ (B = .28; p < .05) and ‗Job variety, challenge, and autonomy (F3)‘ (B = .34; p < .01). Concerning the CTCBs interpreted as service, they are significantly and positively associated with ‗Job variety, challenge, and autonomy (F3)‘ (B = .56; p < .001) and ‗Job standards (F5) (B = .26; p < .05). However, ‗Professional and organizational esprit d‘ corps (F1)‘ is significantly but negatively related to CTCBs (B = –.32; p < .01). Finally, ‗Work group co-operation, friendliness, and warmth (F4)‘ showed no significant paths. Table 1. Means, Standard Deviations, Correlations and Reliabilities

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Variables 1. Professional and organizational esprit (F1) 2. Leader, facilitation, and support (F2) 3. Job variety, challenge, and autonomy (F3) 4. Work group cooperation, friendliness, and warmth (F4) 5. Job standards (F5) 6. CTCBs interpreted as extra-role 7. CTCBs interpreted as outstanding service

M

SD

1

2

3

4

5

6

7

3.23 1.36 (.940) 4.41 1.74 .496*** (.947)

5.60 1.23 .361**

.140

(.857)

4.85 1.62 .256* 4.94 1.37 .279*

.480*** .172 .268* .147

5.43 1.21 .323**

.323** .396*** .129

.111 (.802)

6.31 .95 –.020

.025

.160 .472*** (.947)

(.865) .407*** (.803)

.484*** .054

Note. The numbers in parentheses on the diagonal are coefficient alphas. N = 84. * p < .05; ** p < .01; *** p < .001.

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Note: * p < .05; ** p < .01; *** p < .001 N = 84; Cmin = 11,344; df = 1; p = .001; CFI = .88; IFI = .91; NFI = .90; TLI = .91; RMSEA = .172 Figure 1. SEM Model of Climate factors and Organizational Citizenship Behavior directed at Clients.

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DISCUSSION The aim of this research was to elaborate on the idea of CTCBs, assessing and seeking specific predictors of this particular form of citizenship. Toward that aim, we tested the usefulness of organizational climate (assessed by using the Davidson et al. (2001) 70-item climate scale) to examine the relative effects of job attitudes on CTCBs when they are considered concurrently. The results seem to be fruitful, in that they significantly support climate factors affecting CTCBs, but these results also appear to warrant further discussion since, contrary to expectations, the EFA conducted suggested that CTCBs load in two distinct factors, and each factor relates to climate factors following different patterns. These two distinct factors (i.e., CTCBs interpreted as citizenship in contrast to those merely providing an outstanding service) can help to better understand the boundaries of CTCBs, and suggest that CTCBs and quality service could be related. Although outstanding service by civil servants should not be considered CTCBs, since it is really in-role performance, for discussion purposes in this paper we will refer to this behavior as ‗service CTCBs.‘ Thus, we will differentiate between extra-role CTCBs and service CTCBs. As noted earlier, the shared job attitudes of civil servants included in the climate dimensions, and grouped by the EFA (exploratory factor analysis) conducted, performed very differently when predicting the two CTCB factors. This would mean that civil servants are successfully motivated by climate factors to engage in either extra-role CTCBs or service CTCBs, but for different reasons. Thus, civil servants who perceive the climate factors

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‗Leader, facilitation, and support (F2)‘ and ‗Job variety, challenge, and autonomy (F3)‘ as favorable are more likely to perform extra-role CTCBs, which agrees with prior research on conventional OCB. Specifically, in meta-analyses, Podasakoff et al. (1996) reported that intrinsically satisfying tasks, as well as other task characteristics, are broadly correlated with OCB, whereas Podsakoff et al. (2000:532) established that ― various types of leader behaviors appear to be more strongly related to OCBs than other antecedents.‖ In contrast to extra-role CTCBs, service CTCBs were significantly related to climate dimensions such as ‗Job standards (F5)‘ and ‗Job variety, challenge, and autonomy (F3).‘ The significant differences of these climate factors in affecting the two CTCBs may somewhat respond to a recent call for research by Organ et al (2006), suggesting the need to focus on more clearly articulating the difference between COBs (i.e., customer-oriented behaviors) and sales/service-oriented behavior. According to the results of the present study, extrarole CTCBs (and by extension, COBs) appear to function differently from service CTCBs (sales/service-oriented behavior), in that the former are more sensitive to work issues related to the supervisor, while the latter are more related to satisfaction with job standards. ‗Job variety, challenge, and autonomy (F3)‘, however, showed no significant differences in this regard. Workgroup-related antecedents are described in the literature on conventional OCB as being very influential (LePine et al., 2002; Podsakoff et al., 2000; Podsakoff et al., 2009). Thus, for instance, group cohesiveness acts as a variable strongly related to OCB (see, e.g., Kidweel et al., 1997) and, therefore, specifically focuses on co-worker perceptions as a contributor in eliciting OCB. However, the results suggest that this is not the case when we refer to CTCBs. Thus, the ‗Work group co-operation, friendliness, and warmth (F4)‘ factor did not show significant effects on either of the two CTCBs factors, a finding that is inconsistent with prior literature on conventional OCB. One more reason for these results could be found in the climate approach used. When using holistic contexts in terms of organizational climate, workgroup-related antecedents may not be as relevant (even in predicting conventional OCB) as they should be because they are examined acting collectively with other job attitudes. This idea is consistent with Schappe‘s (1998) prior work. Although when they act alone, organizational commitment, fairness and job satisfaction are considered significant antecedents in the literature on conventional OCB, Schappe (1998) found that (considered concurrently) only organizational commitment accounted for a unique amount of variance in conventional OCB. This performance of fairness, organizational commitment, and satisfaction in Schappe‘s (1998) work appears to be very similar to the ‗Work group co-operation, friendliness, and warmth (F4)‘ factor displayed in our study, thus confirming that the climate approach constitutes an integrative term for positive feelings about the job that deserves more attention in future research. Contrary to our expectations, ‗Professional and organizational esprit d‘ corps (F1)‘ showed a significant negative association with service CTCBs. In addition to service CTCBs actually being in-role performance (rather than citizenship), another reason for this result could be found in the ‗interpersonal‘ or ‗relational‘ nature that service CTCBs seem to have given civil servant interactions with clients. We suggest, hence, that ‗Professional and organizational esprit d‘ corps (F1)‘ and service CTCB could have different foci and perform at different levels, i.e., the former at the organizational level and CTCBs at the individual level. If service CTCBs have an interactional/relational nature, perhaps they

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should not be suggested in our model as an outcome of ‗Professional and organizational esprit d‘ corps (F1).‘ Because they are at different levels and have different foci (organizational versus relational), the proposed link inappropriately mixed two levels of analysis. Instead, ‗Professional and organizational esprit d‘ corps (F1)‘ appears to be a potential predictor of other more organizational forms of behavior, such as the OCB directed at the organization as a whole (OCB-O). Based on the study results, we believe it is clear that promoting certain job attitudes is a useful strategy for strengthening healthy civil servant reciprocations like CTCBs. However, the results seem to suggest that this strategy cannot be shaped by using prior research on conventional OCB. The inconsistencies seen in the antecedents in the prior literature on conventional OCB and CTCBs seem to support this suggestion. In addition, the results also suggest that using holistic strategies in terms of job attitudes may avoid ― spurious benefits‖, since it is not clear whether the influence of job attitudes is the same when they act concurrently. Since organizational managers are mainly responsible for employee satisfaction and motivation, the findings recommend that they combine and integrate job attitudes in order to shape optimal strategies in promoting CTCBs. Furthermore, the fact that two factors emerged from CTCBs suggests that in improving strategies, further issues must be taken into account. Given that job attitudes showed different significant associations with extra-role and service CTCBs, the job attitudes that are specifically advisable for promoting extra-role CTCBs may not be the best ones for fomenting service CTCBs. Thus, satisfaction with ‗Job standards (F5)‘ is only related to service CTCBs, and ‗Leader, facilitation, and support (F2)‘ to extra-role CTCBs. An alternative strategy is needed here. Addressing questions raised but not responded to in our study could certainly be a basis for future research. Depending on the impact that the two (extra-role and service) CTCB factors have on organizational effectiveness, interest in the elicitation of each of the two types of civil servant behaviors varies for organizations. Prior research in the service and sales industries seems to identify conventional OCB as a useful variable to achieve clients‘ service satisfaction. Some arguments appear to support this linkage. One is based on the expected favorable perceptions that front-line employees‘ conventional OCBs may produce in clients (see, e.g., Bell and Mengüç, 2002). Interestingly, just as occurred with conventional OCBs, extra-role CTCBs could have effects on service CTCBs as a measure of clients‘ service satisfaction. The inter-correlation between extra-role and service CTCBs appears to suggest this. However, it falls outside the scope of this study, and the impact that CTCBs can have on quality service should be studied in future research. Finally, we acknowledge that this study has several weaknesses. First, we used a cross-sectional methodology, increasing the likelihood that the study could suffer from mono-method/source bias. Next, the employees in the study have certain job conditions and norms that are often inherent to the peculiarities of workers in the public sector. Consequently, the performances of the constructs used in our study, as well as their implications, could vary in other contexts. In conclusion, the results suggest that the characteristics of work climate are important in predicting client-targeted citizenship behaviors among civil servants (CTCBs). By describing the holistic nature of social contexts in organizations, organizational climate seems to constitute a useful integrative term to increase the relative effects of positive feelings about the job on CTCBs when they act collectively. Our results show that the job attitudes included in the climate dimensions performed differently in predicting the two different factors of CTCBs identified and assessed in this paper, and they even appear to somehow challenge the

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existing antecedents from the prior literature on conventional OCB. Based on the supported predictors as significantly leading civil servants to engage either in extra-role CTCBs or service CTCBs, as well as the inconsistencies with the prior literature on conventional OCB, the paper finally suggests that shaping a specific attitudinal profile could be advisable in successfully promoting CTCBs at work.

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REFERENCES Ambrose, M.L., Mark A.S., and Marshall S. (2002), ― Sabotage in the workplace: the role of organizational injustice‖, Organizational Behavior and Human Decision Processes, Vol. 91 No.2, pp. 947-965. Bell, S.J., and Mengüç, B. (2002). ― The employee-organization relationship, organizational citizenship behaviors, and superior service quality‖, Journal of Retailing, Vol. 78, pp. 131-46. Blau, P.M. (1964). Exchange and Power in Social Life, John Wiley and Sons. Borman, W.C., and Motowidlo, S.J. (1993). ― Expanding the criterion domain to include elements of contextual performance‖. In Personnel Selection in Organizations, Schmitt, N., Borman, W.C. (eds). Jossey-Bass: San Francisco; 71-9. Buelens, M. and Van den Broeck, H. (2007). ― An analysis of differences in work motivation between public and private sector organizations‖. Public administration review, Vol. 67 No. 1, pp 65 -74. Davidson, M.C.G., Manning, M. L., Timo, N., and Ryder, P. A. (2001). ― The dimensions of organizational climate in four and five star Australian hotels‖, Journal of Hospitality and Tourism Research, Vol. 25 No. 4, pp. 444-461. Denison, D.R. (1996). ― What is the difference between organisational culture and organizational climate? A native‘s point of view on a decade of paradigm war‖, Academy of Management Review, Vol. 21 No. 3, pp. 619-654. Dimitriades, Z.S. (2007) ― The influence of service climate and job involvement on customeroriented organizational citizenship behavior in Greek service organizations: a survey‖, Employee Relations, Vol. 29 No. 5, pp. 469- 491 Dunlop, P.D., and Lee, K. (2004). ― Workplace deviance, organizational citizenship behavior, and business unit performance: the bad apples do spoil the whole barrel‖, Journal of Organizational Behavior, Vol. 25, pp. 67-8. Ehigie, B. and Otukoya, O. (2005). ― Antecedents of organizational citizenship behaviour in a government-owned enterprise in Nigeria‖. European Journal of Work and Organizational Psychology, Vol. 14 No. 4, pp. 389-399. Ehrhart, M.G., Bliese, P.D. and Thomas, J.L. (2006), ― Unit level organizational citizenship behavior and unit effectiveness: examining the incremental effects of helping behavior‖, Human Performance, Vol. 19 No. 2, pp. 159-173. Field, R.H., and Abelson, M.A. (1982), ― Climate: A re-conceptualization and proposed model‖. Human Relations, Vol. 35 No. 3, pp. 181-201. Fountain, J.E. (2001). ― Paradoxes of Public Sector Customer Service‖. Governance An International Journal of Policy and Administration, Vol. 14 No. 1, pp. 55-73.

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Jones, A.P., and James, L.R. (1979). ― Psychological climate: Dimensions and relationships of individual and aggregated work environment perceptions‖. Organizational Behaviour and Human Performance, Vol. 23, pp. 201-250. Kidwell, Jr., R.E., Mossholder, K.M., and Bennett, N. (1997). ― Cohesiveness and Organizational Citizenship Behavior: A Multilevel Analysis Using Work Groups and Individuals‖. Journal of Management, 23, 775-793. Koys, D.J. (2001), ― The effects of employee satisfaction, organizational citizenship behavior, and turnover on organizational effectiveness: a unit-level, longitudinal study‖, Personnel Psychology, Vol. 54 No. 1, pp. 101-114. Kim, S. (2005). ― Individual-level factors and organisational performance in government organisation‖. Journal of Public Administration Research and Theory, Vol. 15 No. 2, 245-261. Lee, K., and Allen, N.J. (2002), ― Organizational citizenship behavior and workplace deviance: The role of affect and cognitions‖, Journal of Applied Psychology, Vol. 87, pp. 131-142. LePine, J.A., Erez, A., and Johnson, D.E. (2002). ― The nature and dimensionality of organisational citizenship behaviour: A critical review and meta-analysis‖. Journal of Applied Psychology, Vol. 87 No. 1, pp. 52-75. O‘Leary-Kelly, A.M., Griffin, R.W., and Glew, D.J. (1996), ― Organization-motivated aggression: a research framework‖, Academy of Management Review, Vol.21, pp. 225-253. Organ, D.W., Podsakoff, P.M., and MacKenzie, S.B. (2006). Organizational Citizenship Behavior: Its Nature, Antecedents and Consequences. Beverly Hills, CA: Sage. Organ, D.W. (1988). Organizational Citizenship Behavior: The Good Soldier Syndrome. Published January, by Lexington Books. Organ, D.W. (1990). ― The motivational basis of organizational citizenship behavior‖, Research in Organizational Behavior, 12, 43-72. Organ, D.W. (1997). ― Organizational citizenship behavior: It‘s construct cleanup time‖. Human Performance, 10(2), 85-97. Pandey, S.K., Bradley E.W., and Moynihan, D.P. (2008). ― Public Service Motivation and Interpersonal Citizenship Behavior: Testing a Preliminary Model.‖ International Public Management Journal, 11(1): 89-108. Patterson, M.G., West, M.A., Shackleton, V.J., Dawson, J.F., Lawthom, R., Maitlis, S., et al. (2005). ― Validating the organisational climate measure: Links to managerial practices, productivity and innovation‖, Journal of Organisational Behaviour, 26(4), 379–408. Podsakoff, P.M., Mackenzie, S.B., Paine, J.B., and Bacharach, G.D. (2000). ― Organisational citizenship behaviours: A critical review of the theoretical and empirical literature and suggestions for future research‖. Journal of Management, 26(3), 513–563. Podsakoff, N. P., Whiting, S. W., Podsakoff, P. M. and Blume, B. D. (2009), ― Individual-and Organizational-Level Consequences of Organizational Citizenship Behaviors: A MetaAnalysis‖, Journal of Applied Psychology, Vol. 94 No. 1, pp. 122-141. Podsakoff, P.M., Ahearne, M. and MacKenzie, S.B. (1997), ― Organizational citizenship behavior and the quantity and quality of work group performance‖, Journal of Applied Psychology, Vol. 82 No. 2, pp. 262-270.

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Podsakoff, P.M., MacKenzie, S.B., and Bommer, W.H. (1996). ― Transformational leader behaviors and substitutes for leadership as determinants of employee satisfaction, commitment, trust, and organizational citizenship behaviors‖. Journal of Management, 22, 259-298. Podsakoff, P.M. and MacKenzie, S.B. (1994), ―O rganizational citizenship behaviors and sales unit effectiveness‖, Journal of Marketing Research, Vol. 31 No. 3, pp. 351-363. Rogg, K.L., Schmidt, D.B., Shull, C., and Schmitt, N. (2001). ― Human resource practices, organizational climate, and customer satisfaction‖. Journal of Management, 27(4), 431-449. Ryder, P. A., and Southey, G. N. (1990). ―Anexploratory study of the Jones and James organizational climate scales‖. Asia Pacific Human Resource Management, 45–52. Schappe, S. P. (1998). ― The influence of job satisfaction, organizational commitment and fairness perceptions on organizational citizenship behavior‖. The Journal of Psychology, 132(3), 277-290. Walz, S. and Niehoff, B.P. (2000), ― Organizational citizenship behaviors: their relationship to organizational effectiveness‖, Journal of Hospitality and Tourism Research, Vol. 24 No. 3, pp. 301-319. Williams, L. J. and Anderson, S. E. (1991), ― Job satisfaction and organizational commitment as predictors of organizational citizenship and in-role behaviors‖, Journal of Management, Vol. 17 No. 3, pp. 601-617.

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In: Citizenship: Practices, Types and Challenges Editors: Dexter Petty and Clay MacFarland

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Chapter 7

CITIZENSHIP AND OLDER PEOPLE Amanda Phelan* School of Nursing, Midwifery & Health Systems, University College Dublin, Ireland National Centre for the Protection of Older People, University College Dublin, Ireland

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ABSTRACT Citizenship is a concept which is commonly used in contemporary discourse; however, its precise meaning, implication, duties and responsibilities are not always articulated. This chapter reviews citizenship in relation to its historical development and emergence and its relationship with human rights. Modern challenges to citizenship will be contextualised with regard to the position older people hold in society. The chapter will argue that older people are often rhetorically positioned as equal citizens but when this is examined through various lenses such as finance, economics, health and participation, inequalities are apparent.

INTRODUCTION The concept of citizenship has become a normative yet abstract ideal in contemporary socio-political discourses (Robbins et al, 2008). The meaning of citizenship is complex and has engendered particular understandings of what precisely it means to be a citizen in everyday life. Citizenship allows individuals a particular social identity and belonging and is therefore a defining concept in the relationship between the state and the individual. However, caution should be observed in that the meaning of citizen can vary within different nation states and is predominantly dependent on historical context. Consequently, citizenship should be viewed as a process (Turner 1997) which is subject to change as social, political, economic and legal dynamics change within national and international understandings. Giddens (2006) contextualizes citizenship as denoting legitimate rights and duties expected from and by both the state and the citizen. Further revisions of citizenship have been observed with a discrete and possibly economically motivated shift in some countries ‗from rights to *

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entitlements, and from unconditional and universal rights to those that are more conditional and selective‘ (Wong and Wong 2005:19). These rights and duties generally transcend the political, social and legal domains of everyday life and impose a particular social order within nation states based on equality. However, the level of equality is questioned by McDonald (2010) who argues that a reduction of a full rights based approach has consequences for the citizenship status of groups such as older people. In examining the relationship between older people and their citizenship status, a critical review of ‗the (mis)use of power‘ (Bartlett & O‘ Connor 2007: 111) is generated which challenges the traditional notion that all citizens are equal in the eyes of the state. Power must be recognized as fundamental in citizenship relations, but the focus should be on constructing power as a compatible element in citizenship practices rather than an oppressive, elitist force (Robbins et al. 2008). Consequently, this chapter argues that marginalized groups, such as older people, may be situated within the context of tokenistic citizenship as particular structures within the social order of nation states can restrict or even prohibit the enjoyment of citizenship.

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TRACING THE EMERGENCE OF CITIZENSHIP Although the concept of citizenship has been present in antiquity, current understandings differ in terms of its focus with Isin and Turner (2002: 1) seeing this journey as a feature of ‗democratic and democratizing polities‘. The concept of ‗citizen‘ originally distinguished the individual who lived in the city (and was interpreted as cultured) and the pagan (uncultured) of the countryside. However, with the emergence of nation states, early understandings of citizenship centred on a civil republican stance which stressed duties of the individual to the state. Understandings of citizenship in liberal democracies focus more on the rights of the individual (Ignatieff 1989) rather than the collective. These rights can be mediated through the activities of differing rights lobby groups with a state (Mann 1987). Ideologies of contemporary liberal citizenship can be traced to the egalitarian principles enshrined in the British, French and American revolutions (Heater 1999). The modern (and commonly acknowledged) theoretical framework of citizenship was first articulated by Marshall in the 1940s as a way of understanding political, legal and social rights of being a citizen. Although Marshall (1949) acknowledges that the principle of equality could be identified in medieval townships, the citizenship of modernity is focused on standardized rights within a nation state. The formal emergence of these rights commenced from the end of the nineteenth century and could be categorized as civil rights, political rights and social rights. Civil rights encompassed fundamental rights of liberty such as freedom of speech and movement, the right to justice, the right to own property while political rights centre on the right to vote and participate in politics. Social rights are considered by Marshall (1949) as having the right to economic income (albeit modest) and the right to participate in social life. The enforcement and facilitation of these rights can be expressed through particular state institutions, such as the courts of justice, government and other state bodies (Turner 2001). Although Marshall‘s (1949) theory does have some merit in terms of approaching cogent understandings of citizenship, there are some limitations. For example, Marshall fails to provide an adequate theory of citizenship in terms of its lack of clarification of the rights and duties of citizenship; it also fails to demonstrate how these rights and duties are balanced and

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there is an absence of macro and micro development of citizenship (Janoski 1998, Turner 2001). Marshall‘s original concept of citizenship has been considered eroded due to progressive changes in economics and technology (Turner 2002). Furthermore, many liberal democracies in contemporary societies have extended citizenship rights to non-citizens, which blurs the boundaries of previously easily identifiable communities (Howard 2006, Levanon & Lewin-Epstein 2010), whilst neglecting the heterogeneous nature of modern societies (Turner 2001). Consequently, new perspectives have emerged which have attempted to articulate citizenship within modern experiences (Wheelock et al 2009). Contemporary understandings of citizenship transcend content (rights and duties) and consist of more complex understandings which examine ‗extent‘, that is, who is included and excluded, and depth of citizenship (Isin and Turner 2002). Moreover, Powell and Edwards (2002:3) observe a discrete change in citizenship orientation (departing from Marshall‘s propositions) in countries such as the United Kingdom from ‗‘rights holder‘ to ‗responsible consumer‘‘, who is obliged to contribute through fiscal and individual effort towards being a ‗good‘, citizen. Furthermore, some commentators have argued that citizenship can be used as a form of ideological control (Dwyer 2004) over populations by powerful groups within the state. Despite such critiques, many studies have used the concept of citizenship to develop issues of marginalization and highlight the discrete and often taken for granted ways social inequality can prevail (Turner 2001, Isin & Turner 2002, Burr et al. 2002, Jönson & Larsson 2009, Chen 2011). Indeed, using a citizenship lens has facilitated understandings of inequalities within the sphere of disability (Beckett, Carey 2009) and older people (McDaniel 2002, Craig 2004, Baldwin 2008).

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HUMAN RIGHTS AND THEIR ASSOCIATION WITH CITIZENSHIP The creation of a rights based code can be traced back as far as the Babylonian tablets of Hammurabi, approximately 4,000 years ago. This consisted in 284 ― righteous rulings‖ (dinat misharin) which provided a rudimentary form of judicial guidance. Contemporary understandings emerged in the twentieth century, chiefly in Western society. Human rights are intricately tied to particular ideals and are often enshrined in laws, customs and practices. From the mid-seventeenth century, modes of thinking centred on a humanist, egalitarian paradigm of knowledge, particularly, after the Second World War (Shiman 1993). Thus, citizenship is a concept which is closely related to human rights; however, human rights have been positioned as uniform international principles which transcend citizenship. Thus, standard human rights are accepted by many nations regardless of nationality, religion, class, gender or ethnic origin. Like citizenship, human rights have universal foci in the social, political and civil domains and Turner (2001) suggests that human rights can provide a catalyst to augment the social rights component of citizenship (Turner 2001). However, some commentators have noted that social rights within a citizenship perspective have occupied a subordinated status due to the lack legislative ‗teeth‘ in comparison to civil or political rights (Dean 1996, Brown 2010). Human rights provide a uniform standard against which government activities may be judged but a decision to adopt any, selected, or all human rights is discretionary. Currently, more than 100 countries, including Ireland, the United Kingdom and the United States

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provide constitutional and/or legal protection to the fundamental principles of human rights (Robinson 2007). Therefore, human rights may be adopted as ideals for citizens. For example, in Ireland, the European Convention on Human Rights Act (Government of Ireland 2003) guarantees certain privileges for citizens of the Irish state. Furthermore, the idea of rights (albeit social rights) was pivotal to discourses on social exclusion within Europe (Saloojee nd). However, the relevance of political discourses on social exclusion in relation to older people has been considered ‗ambiguous‘ by Craig (2004). A human rights agenda is not without critique, with claims of Western moral imperialism (Ignatieff 2001; Ife 2001). For instance, the historical trajectory in Asian cultures has led to precedence being given to the rights of the collective even if such decisions militate against individual rights (Ignatieff 2001). Moreover, human rights may appear to be an international attack on particular nations who are considered to be deficit in their obligation to protect populations, especially those who do not enjoy citizenship status or those in opposition to state rule (Isin & Turner 2002). Certainly, the approaches of citizenship rights and human rights have different legitimacy sources (constitutions versus treaties/conventions) and human rights focus on protection afforded by a state through rights rather than rights and obligations of the state‘s citizens (Heater 1999). Despite these distinctions, human rights and citizenship rights have many comparable central, egalitarian principles which complement rather than oppose each other.

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OLDER PEOPLE Although there are many ways to classify a nation‘s population, a popular method is to use age classifications. The human life cycle has become increasingly demarcated in terms of age related components wherein an individual is categorized (Boyd & Bee 2004). For example, in Ireland, the Child Care Act (Government of Ireland 1991), specifically extended ‗childhood‘ from sixteen to eighteen years of age. Equally, old age exists as a definite chronological life stage; however, the precise chronological demarcation and connotation of old age can be interpreted differently (Posner 1996; Katz 1996). Consequently, although, chronology can be the primary reference for old age (Central Statistics Office (C.S.O.) 2005), ageing theories are also influential when considering the ageing process (World Health Organisation (WHO) 2002; United Nations (U.N.) 2004). The modern classification of older people has reflected Otto von Bismarck‘s (1815-1898) differentiation of ‗the elderly‘ from the general population (Carp 2000), by introducing rudimentary pensions for those over 65 years of age which occurred as a consequence of a rising interest in socialism. Following on from the introduction of pensions by Bismarck, ‗over 65 years‘ became acknowledged in many Western countries, as the demarcation of the category ‗older person‘. For example, 65 years of age is used by many official bodies (see www.cso.ie) to determine the status of an older person‘ and is frequently used as the age of retirement. Nevertheless, other age references must be acknowledged, for example, Age and Opportunity, Ireland, consider old age beginning at 55 years of age. The WHO (2002) and the UN (2004) use the standard of 60 years to describe ‗older people‘. The WHO (2002) argues that, although this marker of sixty years may appear young, in the developed world and in the developing world, this chronological age marker is not a precise indicator of the changes that

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accompany ageing. Other critiques of the chronological approach have focused on revisions of age norms in favour of more flexible life trajectories, which departs from stereotypical agerole expectations (Berleen 2004). Older age has become more complex with Neugarten (1974) describing classifications of old age: the young old (55 years to 65 years), the old (66 years to 85 years) and the older old (85 years and above. The UN (2004) estimates that the older old constitute eleven percent of the global population over 60 years of age. Moreover, projected population statistics suggest an ageing Europe, where the old age dependency ratio is expected to approximately double in the next forty years (Lanzieri 2006). Such increases in age are not confined to developed countries as global ageing is a familiar trend in most of the world‘s countries although age ratios differ widely between countries (UN 2010, UN 2011). Developing countries are ageing at a more rapid pace than the developed countries and population estimates indicate that more than three quarters of the world‘s net gain of older people in the period 1999-2000 occurred in still developing countries (United States Census Bureau 2004). The developed world has spearheaded the era of modernity, which has resulted in a demographic transition. This is characteristic of the economic development of a country from a pre industrial to post industrial economy. Countries undergoing this process initially experience a general increase in the population whilst then experiencing a static or shrinking volume of citizens. Thus, as ageing occurs as a more prominent force in a national population, the issue of older person citizenship becomes one which demands additional scrutiny.

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CITIZENSHIP AND OLDER PEOPLE Despite some debates on the question of citizenship and older people, Bartlett and O‘Connor (2006) identify citizenship as a useful way to promote the status of marginalised groups such as older people. Viewing older people within a lens of citizenship has become popular within political statements (European Commission 2009). However, the citizenship status of older people is questionable (Davis 2004) as the structures within societies can be opposed to the common attributes of citizenship. Social policy which privileges the identification of future ‗high risk‘ older people at the expense of service provision to older people with low-level needs has been suggested as a threat to citizenship (Tanner 2003). Moreover, the generalist, homogenous perspective of collective equality has been viewed as problematic in the context of appreciating the multiple realities of older people‘s lives (Bartlett & O‘Connor 2007). The issue of social exclusion of older people has been queried with regard to disability rights (Jönson & Larsson 2009), healthcare interventions (Kane & Kane 2005) dementia (Kitwood 1997) and a predominant fatalistic attitude towards positive health interventions for older people (Nolan 2003; Penson et al. 2004). Moreover, the process of ageing is in itself used as justifying a lack of intervention as functional and cognitive decline are constructed as inevitable. In the sense of using theoretical lens to consider the ageing process, one particular functionalist theory promotes the dilution of citizenship of older people. The disengagement theory (Cumming & Henry 1961) posits that ageing involves a gradual withdrawal from society. One of the obvious modes of disengagement is retirement, which represents the tacit withdrawal of the older person from paid employment. The disengagement theory argues that older people accept this withdrawal and society expects this withdrawal. Retirement

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represents a fundamental aspect of such withdrawal and is taken for granted as a life event within society. As ageing progresses, the older person interacts less with the social system with the final disengagement being death. Disengagement is therefore a mutual withdrawal, a tacit agreement that the older person withdraws from society and society withdraws from the older person (Powell 2001). Furthermore, implicit economic values are evident in the reinforcement of employment as an activity related to the productivity of youth (Phelan 2008) as jobs are freed up for younger generations. Thus, rather than being active citizens, it is suggested that older people fade into obscurity.

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ACTIVE CITIZENS? Modern social policy expositions of citizenship advocate active citizenship, where people are transformed from passivity to ‗rights bearing ‗active citizens‘‘ (Robins et al 2008: 1071). Such discourses have become immersed in a revised integration of citizenship and its meaning for older people (Powell & Edwards 2002). Nevertheless, the concept of the active citizen has been subject to normative convictions and Robins and colleagues argue for citizenship to be embedded in experience of contextual understandings which emanate from ‗the politics of everyday life (Robins et al. 2008:1085). Certainly, for older people the issue of ‗active citizenship‘ implies a proactive engagement by the older person to foster social inclusion (Gilbert & Powell 2005, McDonald 2010) as well as a moral duty to promote the ethos of being a citizen (Powell & Edwards 2002). However, inherent structural barriers can prevent the engagement of older people as citizens (Walsh & Harvey 2011). These structures are embedded in legal parameters, social norms and taken for granted assumptions of the lives older people (should) lead. As previously discussed, the idea of retirement is a socially constructed phenomenon related to particular age norms (Jönson & Larsson 2009). Many western countries have adopted the age of retirement as 65 years, although one of the methods to address contemporary economic challenges has been the increase of the age of public pension eligibility (European Commission 2009). For example, in 2010, the Irish National Pensions Framework revised retirement ages where eligibility to a State pension rises to 66 in 2014, to 67 in 2021 and 68 in 2028 (Department of Social and Family Affairs 2010). Older people‘s income, and thus the risk of poverty is heavily determined by a state‘s social policy (Hoff 2008). While modest improvements in pensions for older people have been observed, social inclusiveness, which is a fundamental principle of active citizenship, can be affected by a lack of financial resources (Craig 2004). Within the concept of active citizenship, the European Commission (2009:17) states that ‗Being active, healthy and participative well into old age is now a realistic prospect for very large numbers of citizens for the first time in European history‘. The focus on ‗active‘ engagement as a pre-requisite to citizenship is also noted by Craig (2004) in relation to policies in the New Labour Government in the United Kingdom. Being ‘active‘ is embedded in an emphasis on paid work as an important pre-requisite to citizenship. Such ideologies can be traced to the emphasis on paid employment within the domain of social citizenship (Turner 2001). Although adequate finance is fundamental to the ability to participate in social citizenship (Pillemer et al 2001, Craig 2004, Walsh & Harvey 2011), Estes et al (2003) highlight that there are many structural (government policy, legislation) and biological threats

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(loss of social networks through bereavement) to social participation. For example, in Ireland the recent tightening of drink driving legislation has been posited as preventing older people‘s social contact in public houses in rural areas (Walsh & Harvey 2011). Other areas include the reduction of post offices and the demise of small shops, which previously promoted community and where informal social meetings commonly occurred. The impetus in policy is to acknowledge such challenges in obtaining citizenship through social participation and develop strategies to ensure equality within intergenerational contexts (Estes et al. 2003, McDonald 2010). Other normative assumptions can also impinge on the citizenship status of older people. The construction of age dependency ratios fundamentally serve to position older people as ‗lesser citizens‘ within an ageist lens (Phelan 2008). Total age dependency ratios are based on those persons in economically productive age groups. In general, ages 0-14 and ages 65 and above are classed as ‗dependent‘. This implies that economic productivity is negligible above the age of 65 years and older people are positioned as economic burdens due to issues of pensions and also being a higher consumer of health care costs (see for example McCreevy 2003, EU 2009). McDonald (2010) proposes that such discourses see older people as a demographic problem that requires a solution rather an issue of how older people‘s needs, as citizens with particular rights, can be met. It is estimated that the age dependency ratio in relation to older people is projected to double from 25.4 percent to 53.5 percent by 2060, with the steepest rise in the years 2015-2035(Giannakouris 2008). Such demographic projections feed into a political panic regarding finance to support ‗burden‘ of an ageing population. It is of note that although children (0-14 years) are also calculated as ‗dependent‘, political discourses focus on the potential of employment and thus becoming a future economic resource for the state. Children are constructed as ‗the paid work force and future orientated model of citizenship‘ (Lister 2006: 316), thus projecting the 0-14 years as an investment in the state in terms of impending employability. In terms of finances in later life, it has been observed that citizens may be expected to provide for income in old age through investments and saving in earlier life as a pension crisis appears unavoidable due to demographic changes (Gilleard & Higgs 2005). The risk of poverty is seen as high following rapid economic growth in liberal countries such as Ireland, which was unable to sustain pension rates in line with increases in the average industrial wages (Hoff 2008). This contrasts with Nordic countries, which have (slightly) lower risk of income poverty and the so called conservative-corporatist countries (Netherlands, Germany Austria) which have relatively moderate to low levels of income poverty for older people (Hoff 2008). Within the European Union, for example, the at risk of poverty rate within the 27 member states has remained at 19 percent for the period 2005- 2007, although there is some variation between member states (Eurostat 2009). Poverty risk has decreased in some states as factors such as pension increases and the economic recession have occurred. For instance in countries such as Ireland, at risk rates for poverty for older people reduced from 27 percent in 2004 to 16 percent in 2007 (ESRI 2010). However, data from 2008 records that the ‗at risk of poverty‘ in Europe can vary between a high of 51 percent for older people in Latvia to 4 percent for older people in Hungary (Zaidi 2010). The importance of viewing citizenship using at risk poverty is emphasied by Craig (20004), who argues that financial restrictions can impede social participation and promote exclusion, thus aggravating an existing tenuous potential to enjoy full citizenship status. Certainly, this was an observation in

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a recent Irish study (Walsh & Harvey 2011), although the sufficiency of pensions was also cited by some of the study‘s participants. It must be acknowledged that older people can and do enthusiastically engage in activre citizenship participatory activities (Katz 2000), for example in the area of volunteering (Burr et al 2002, Joseph Rowntree Foundation 2004, Wheelock et al 2009). Such activities are fundamental to the concept of social capital (Putnam 1993, Turner 2001). However, it has been argued that the social democratic thrust in government policy, particularly in the United Kingdom, represents a covert management of the risk older people by transforming citizenship into active citizens rather than a potential burden on society (Powell & Edwards 2002). Powell and Edwards (2002) argue that this reorientation has implicit economic motives which are embedded in a concern regarding demographic transitions as the percentage volume of older people rises in populations. Thus as economic challenges prevail, the lure of reorienting political policies to encourage older people‘s active engagement through volunteering, is an attractive solution to demographic realities.

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LEGISLATIVE STRUCTURES AS BARRIERS TO CITIZENSHIP Legislation can also create obstacles to citizenship. In Ireland, a particular barrier to citizenship rights is the archaic legislation which (Government of Ireland 1871) wherein mental capacity is absolute, effectively rendering the older person with cognitive impairment voiceless. The literature has shown that conditions such as dementia can imbue a ‗social death‘ (Sweetman & Gilhooly 1997; George 2010) as the individual is rendered invisible by societal and medical structures and is therefore unable to partake in active citizenship. Some advance to this may occur with the revisions in Irish legislation related to mental capacity (consultation phase August 2011) and, similar to the United Kingdom Mental Capacity Act (2005) may reframe those with mental capacity challenges within a framework of engagement rights (Baldwin 2008). Older people who have some form of mental incapacity and those who reside in long term care facilities have no less right to participation, through advocacy and empowerment frameworks for example, than their capacitated fellow citizens of any age group (Scourfield 2007, McDonald 2010).

OLDER PEOPLE: A POLITICAL FORCE? One prominent form of exercising political rights is participation in voting. Older people are recognized as being more likely to vote than their younger counterparts (CARDI 2011). In the United Kingdom 2005 election, three-quarters of older people voted, compared other age groups, particularly those under 35 years of age (British Geriatrics Society 2010). Similar figures are evident in the Republic of Ireland with a reported 88 percent for the 2007 election (Euofound 2007). However, there can be a mismatch of policitcal awareness of older people‘s expressed needs as opposed to political imperatives in election manifestos (CARDI 2011). This may be partially explained through the fact that whilst voting patterns for older people are robust, the action of joining a political party to further older people‘s interests is low (Walker 1993 as cited in Walker 2009). Furthermore, the ‗grey vote‘ is not as cohesive as

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other lobby groups, such as ethnic or class based groups (Manza & Brooks 1999). Older people also exercise choice in the political party they support, which can fragment a cohesive and powerful vote and lessen the impact of an older people agenda. In addition, older people may also demonstrate lifelong political allegiance to a particular political party and may be unwilling to consider alternatives (Timonen 2008). Consequently, older people may be viewed as a passive political force by political parties, however one notable example of the engagement in active citizenship occurred in Ireland in 2008 when the Irish government threatened to remove automatic entitlements for a free medical care for older people over 70 years of age. This resulted in over 10,000 people (predominantly older people) marching in protest outside the Irish lower House of Parliament (Dail Eireann). The impact of this protest rendered government plans untenable and access to medical cards at 70 years remained an automatic entitlement.

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CONCLUSION Society cannot neglect its responsibility to recognise older people as citizens (Powell & Edwards 2002) particularly as the percentage of older people in the general population is rising globally. Citizenship may be articulated as the metaphorical ‗holy grail‘ to ensure each person, regardless of age or background, can be treated in an equitable way. However, much needs to be considered. When the structures and processes in a society are examined in the context of limitation of citizenship status, difficulties prevail. This chapter has presented some ways in which older people are hindered in their ability to fulfil ‗taken for granted‘ citizenship rights. Older people are immersed in, but cannot be extricated from the political, cultural and social context of a state (Isin & Turner 2002). As citizenship embodies notions of ability to individually and actively engage in particular practices, older people may experience an absence or partial enjoyment of citizenship rights due to challenges in health, finance or culture (Brown 2010). What is therefore required is a reconceptualization of the context of citizenship to allow flexibility, diversity and choice for older people within dynamic, contemporary expectations of citizenship. This will not be an easy task as it challenges well-established norms and central understandings of societal functions as well as hegemonic relations of power. This will demand individual action, political will, and legislative revision and, most importantly, continued active engagement and participation of older people in all phases of transformation.

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Gilbert T. and Powell J.L. 2005. Family, caring and ageing in the United Kingdom. Scandinavian Journal of Caring Sciences 19: 53-57. Gilleard C. & Higgs P. (2005) Contexts of Ageing: Class cohort and community. Polity Press, Cambridge. Government of Ireland (1991) Child Care Act. Stationery Office, Dublin. Government of Ireland (2003) European Convention on Human Rights Act, Stationery Office, Dublin. Government of Great Britain and Ireland (1871) Lunacy Regulation Act. Access http://www.legislation.gov.uk/ukpga/1871/22/contents/enacted Heater D. (1999) What is citizenship? Polity Press, Cambridge. Hoff, A. (2008): Tackling Poverty and Social Exclusion of Older People- Lessons from Europe.: Oxford Institute of Ageing Working Paper No. 308., Oxford. Howard M.M. (2006) Comparative citizenship: An agenda for cross national perspectives, Perspectives on Politics, 4(3), 443-455. Ife J. 2001.Human rights and Social Work: Towards Rights –based Practice. Cambridge University Press, Cambridge. Ignatieff M. (1989) Citizenship and moral narcissism. The Political Quarterly, 60, 63-74. Ignatieff M. (2001) The attack on human rights. Foreign Affairs, 80(6), 102-16. Isin E.F. & Turner B.S. (2002) Citizenship studies: An introduction. In Handbook of citizen studies, Sage Publications, London. Jönson & Larsson (2009) The exclusion of older people in disability activism and policies- A case of inadvertant ageism? Journal of Aging Studies, 23, 69-77. Kane R.L. & Kane R.A. (2005) Ageism in healthcare and long term care. Generations, 29(3), 49-54. Katz S. (1996) Disciplining Old Age; The Formation of Gerontological Knowledge. University Press of Virginia, Charlottesville, VA. Kitwood T. (1997) The experience of dementia. Ageing and Mental Health, 1(1), 13-22. Levanon A. & Lewin Epstein N. (2010) Grounds for citizenship: Public attitudes in comparative perspective. Social Science Research, 39, 419-431. Lister R. (2006) Children (but not women) first: New Labour, child welfare and gender. Critical Social Policy, 26(2), 3315-335. Mann M. (1987) Ruling class strategies and citizenship. Sociology 21(3): 339–354. Manza J. & Brooks C. (1999) Social cleavages and political change: Voter alignments and U.S. party coalitions. Oxford University Press, New York. Marshall T.H. (1949) Citizenship and social class. In Citizenship and social class (Marshall T.H. & Bottomore T. eds.) Pluto Press, London, pp. 3-51. McCreevy C. (2003) Address by Mr Charlie McCreevy, TD, Minister for Finance at Pensions Everybody‟s Business. Irish Congress & Trade Union Conference, 23.5.03 Dublin McDaniel (2002) Women‘s changing relations to the state and citizenship: Caring and intergenerational relations in globalising western democracies. Canadian Review of Sociology & Anthropology, 39, 1-26. McDonald A. (2010) Social work with older people. Polity Press, Cambridge. Neugarten B.L. (1974) Age groups in American society and the rise of the young old. Annals of the American Academy of Political and Social Science 415, 187–198. Nolan M. (2003) Ageism: What‘s in a word? Journal of Advanced Nursing, 41(1), 8-9. Parsons T (1971) The System of Modern Societies. Englewood Cliffs, NJ: Prentice-Hall.

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Phelan A. (2008) Elder abuse, ageism, human rights and citizenship: implications for nursing discourse. Nursing Inquiry, 15(4), 320-329. Pillemer K., Moen P., Wethington E. & Glasgow N (2001) Social integration in the second half of life. John Hopkins University Press, Baltimore, MD. Powell J. (2001) Theorizing gerontology: The case of old age, professional power, and social policy in the United Kingdom, Journal of Aging and Identity, 6(3), 117-135. Powell J.L. & Edwards M.M. (2002) Policy narratives of ageing: The right way, the third way or the wrong way? Electronic Journal of Sociology, Access on http://www.sociology.org/ content/vol006.001/powell-edwards.html Putnam R. (1993) The Prosperous Community: Social Capital and Public Life. The American Prospect, 13, 35-42. Tanner D. (2003) Older people and access to care. British Journal of Social Work, 33, 499-515. Turner B. (1997) Citizenship Studies: A general theory, Citizenship Studies, 1(1), 5-18. Turner (2001) The erosion of citizenship. British Journal of Sociology, 52(2), 189-209. Posner R.A. (1996) Ageing and Old Age. University of Chicago Press, Chicago. Robins S., Cornwall A. & Von Lieres B. (2008) Rethinking ‗Citizenship‘ in the post-colony. Third World Quarterly, 29(6), 1069-1086. Robinson M. (2007) The value of a human rights perspective in health and foreign policy. Bulletin of the World Health Organisation, March, 85(3), 241-242. Saloojee A. (nd) Social inclusion, citizenship and diversity. Access on line www.ccsd.ca/ subsites/inclusion/bp/as.htm Scourfield P. (2007) Helping people in residential care remain full citizens. British Journal of Social Work, 37, 1135-1152. Shiman D. (1993) Teaching Human Rights. Center for Teaching International Relations Publications, University of Denver, Colorado. Sweetman H. & Gilhooly M. (1997) Dementia and the phenomenon of social death. Sociology of Health & Illness, 19(1), 93-117. Timonen V. (2008) Ageing societies: A comparitative introduction, McGraw Hill, Berkshire. United Nations (2004) Modalities for the review and appraisal of the Madrid International Plan of Action on Ageing, 2002. Economic & Social Council: Commission for Social Development, New York. United Nations (2010) World population ageing 2009. Department of Economic & Social Affairs: Population Division, UN, New York. United Nations (2011) World population prospects: The 2010 revision. Department of Economic & Social Affairs: Population Division, UN, New York. Walsh K. & Harvey B. (2011) Older people- experiences and issues. Society of St. Vincent de Paul: Report of the Commission of Older People. St. Vincent de Paul, Dublin. Walker A. (1993) Proportion of older people saying they would or would not join a political party formed mainly to further the interests of older people (EC12). Cited in The Politics of Ageing in Europe (Walker A.) Access http://www.ageingwell.edu.au/download/The_ %20politics_of_ageing_in_Europe.pdf Wheelock J., Lie M. & Baines S. (2009) Citizenship, volunteering and active ageing. Social Policy & Administration, 43(7), 702-718.

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Wong C. and Wong K. 2005. Expectations and Practice in Social Citizenship: Some Insights from an attitude survey in a Chinese Society. Social Policy and Administration 39(1):19-34. World Health Organisation (2002) Active Ageing: A policy framework. http:// whqlibdoc.who.int/hq/2002/WHO_NMH_NPH_02.8.pdf (Accessed 30 August 2007) via the Internet. Zaidi A. (2010) Poverty risk for older people in EU countries-An update. European Centre for Social Policy & Research, Vienna.

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Chapter 8

DIGITAL INCLUSION, GEOINFORMATION AND ACTIONS FOR CITIZENSHIP Angelica Carvalho Di Maio* and Victor Hugo Duba Universidade Federal Fluminense, Instituto de Geociências, Rio de Janeiro, Brazil

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ABSTRACT For educational purposes, with regard to citizenship, there is no doubt that geoinformation use has acquired a differentiated and highlighted meaning today. This is based on the premise that spatial knowledge is fundamental for the exercise of all citizens‘ rights and to bring into discussion the geographical knowledge in societies‘ formation for a possible social emancipation. The school is an environment for learning, where students acquire skills to facilitate learning and to encourage them to understand, interfere and be critical about the transformation processes that occur in the world. The focus of this chapter is to present a discussion and some applications on the socialization of geoinformation for teaching purposes and promotion of citizenship. Some projects aim to facilitate the integration, use and appropriation of a technology approach in education through geoinformation. This integration intends to facilitate operational projects for public schools systems. The educational site GEODEN and the CD ROM GEOIDEA have been used as educational resources and as a means of assessing the role of new technologies in the school environment, especially by using a free specialized version of a Geographic Information System called EDUSPRING. Another project, based on free software, called RIsO, was developed as an interactive map of social actions on the web.The map proposes the promotion of projects that provide free activities related to education, sport and culture, in short, activities that help knowledge democratization.

Keywords: Geotechnologies in education, GIS and spatial knowledge, citizenship and geoinformation

*

E-mail: [email protected]

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INTRODUCTION Digital inclusion should encourage the appropriation of technology in a conscious way, making people able to decide when, how and for what use it (Cruz, 2004). For this, social technology must use simple techniques and methods, easy to apply and low cost, enabling the solution of problems in different areas. It is known that access to education is the sine qua non condition for effective participation in modern world life at all levels (Tristão, 2008). For Hasse (1999), all of this revolution in communication allows much more than information dissemination and socialization among men, since the knowledge that man possesses, not just about what happens where he lives, increases his chances of understanding the world and interfere in it. That is why, besides to communicate, man starts to change himself and transform history. Two decades ago, Schaff (1990) pointed out a new division of classes between those who possess relevant information on various spheres of social life and those whom access to such information would be denied. So the importance of the appropriation and use of the computer derives not only from the fact that man equips himself with the necessary knowledge for handling a device to meet job market changing needs, but also the development of citizenship. In this respect, computer can be, through educational purposes, a means to reduce the hegemony of the ruling class (Hasse, 1999). And about this, Perrenoud (2005) emphasizes that pedagogical issues are not solved only by educational sciences. The author believes that there are three utopias to where evolution follows: 1. Equality: skills for all; 2. Citizenship: solidarity of all with all 3. Effectiveness: act giving full effort. Geoinformation is the spatial information and its geographical location, it means that it has an address; it is geographic information and carries the coordinates (longitude and latitude) of the place of a phenomenon occurrence. Geoinformation is usually created by the manipulation of geographical data in a computer system as in a geographic information system (GIS). This can show how society changes, creating new expectations, especially for school innovations, and how it can contribute to education for citizenship. In this perspective, cartography as a visual communication language has an important role with regard to the understanding of geographical space; it is the real world comprehension by the paper world and now also through the digital world. This world is our space of living and it can be understood by the recognition of elements at different scales of analysis or by different spatial clippings. Into geographical space is inserted all forms of social reproduction and society‘s ills. The knowledge of space is fundamental to the full exercise of all rights of a citizen, making necessary the effort to bring to discussion the role of geographical knowledge in our society, and its contribution for a possible social emancipation, seeking to solve the problems pertaining to the tragic reality, unfair and inequitable that afflicts many poor countries. According to Santos (2007), a citizen is one who knows the space in which he is inserted. Knowing not only the geometric space, but also its social, political and economical organization and its institutions, we can have a minimum knowledge to criticize it and thus have a voice in the political struggle to influence and change its structure, at first, shaped to the interests of a minority. The author defended the idea that education is a key point for emancipation, therefore has its purposes less and less searched and reached, which is to make individuals able to correctly place themselves and influence in the world for a better human

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society as a whole. Education, as a luxury good, creates and amplifies inequalities which does not uproot the evils of ignorance. Education only for the production sector, professional education and consumer education, creates, after all, uneducated people. In reference to the enhanced diffusion, access and use of geoinformation, which occurred in the last two decades, mainly by network resources, free and open source softwares and multimedia systems, some applications of interest, throughout the text, can exemplify the general relations between the socialization of information and knowledge, citizenship and social participation.

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CARTOGRAPHY AND CITIZENSHIP The history of Cartography proved that it is a conservative science, designed, created and crafted by the social strata that possess the knowledge and power. As a tool, it was used by governments for various purposes such as territorial defense strategies, and even for the control of their own people. Maps, often sponsored by the state, were made from a technical perspective without critical, social or cultural content, with a language not accessible to poor and marginalized populations. The mapping products, for example, topographic maps, have a language that needs to be decoded, and therefore, require at least the knowledge of basic concepts of cartography. This shows the importance of cartographic literacy, the basis for geoinformation. According to Lacoste (1988), the ones who know how to interpret a map are able to act on the ground; it can orient them to interfere in it. The author states that maps, for those who never learned to read them and use them, have no effect, as would not have a written page for those who never learned to read. For Di Maio (2004), a world reading requires basic tools for understanding geographic space organization. Cartographic learning offers an approach to the subject of study and provides access to knowledge and skills for citizenship, because as stated by Oliveira (1977), the map is the chance to bring the world to us. Over time, the maturing of cartographic science has expanded and diversified its methodological framework allowing the emergence of a new category, the social cartography, which has a basis community participation in the mapping process. The construction of a participatory map with conceptual support from social cartography, which for Cháves (2001) is a method to promote and facilitate the processes of communities participatory planning and management in the process of territories‘ development, is important for instigating the spatial representation and show the symbolic and cultural characteristics involved in the vision of the inhabitants of any community, indigenous, maroon, or even a low-income population. The social cartography can be an effective instrument of awareness and political organization that allows communities to ensure their rights of access to the exercise of full citizenship. So it becomes a matter of political interest. Social cartography efforts are focused largely on social groups that carry with them an ancient cultural background and now, due to the spread of capital logic, are on the margins of society, excluded from the political, economic and social development. As elsewhere in Latin America, social exclusion is a registered trademark of Brazil‘s history, which has as its main characters, blacks and indigenous who later rallied to resist the colonial cultural slaughter. In our

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reality, over the years, acculturation and blending of different races and ethnicities formed a single people, which continue to suffer from social ills and inequality. As the spatial concepts must be presented to decision makers, citizens and the general public, so that the transmission of ideas from the expert to the layman is easier and efficient, the geographical concepts should be displayed in a format that can be easily understood. The presentation can be worked by attributes related to the ease of perception and general understanding of the concepts developed and presented. Cartography is a key resource for teaching and research. The cartographic products attributes determine how space is perceived and understood mentally. So, how concepts are developed should facilitate the spatial understanding, that is, it should result in a user interacting with a cartographic document, and a practical interactive actions potentiates that result in knowledge (Silva, 2008). How to create, store and share Geoinformation, has changed in the last 10 years and the dissemination of spatial data on the Web has shown significant growth, mainly through the emergence of a new era of geographic information systems - GIS, with oriented architectures for the Internet. It is important to highlight the use of open technologies, programs with an open source code, which represents a great advantage in developing a web GIS application; it can reduce the final cost of the application and further dissemination of spatial information. The dissemination of geographic data via the Internet through a Web GIS provides greater interactivity for a large number of users. Making spatial information available through the Web is a trend of democratization achieved in the context of cartography, and the representation of spatial phenomena is a strong ally in the formation of ideas and also a basis for comparing ideas. In this context, the visualization of spatial information needs to support the establishment and efficient exploitation of new ideas and knowledge. Technological innovations such as interactivity, multimedia, animation or virtual reality and web GIS offer new tools and presentation of cartographic products, which enhance the spectrum of (geo)information transmission. These improvements are primarily a matter of data and products distribution and presentations that promote the spread of concepts and plans to contribute not only to decision makers but also to increase public participation in decision-making, for example, integrating the community organizations knowledge. The apprehension of geographic space knowledge is a matter of education and citizenship, and as stated by Damiani (1999), the notion of citizenship is linked to the sense that each person has from the appropriated place as the materialization of social relations. That is, a space is realized as social when it is actually appropriated, where the citizen recognizes his production and is also recognized on it. For the author, it is possible to carry out educational work in order to clarify the individuals about their status as citizens when they appropriate the world, country, city, and house. It is important not to forget that we save what we love, we love what we understand and we understand what have been taught1 (Baba Dioum). From the earliest stages of schooling, geography teaching can and should aim to show the students that citizenship is also the feeling of belonging to a reality in which relations between society and nature form an integrated whole - constantly changing – from which he is part and therefore needs to know and feel as a member participant, emotionally connected, historically responsible and committed (MEC, 1999). 1

The transcript of quote itself is derived from a 1968 speech made in New Delhi, India by the Senegalese environmentalist, Baba Dioum, to the general assembly of the International Union for Conservation of Nature.

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Geography and cartography teaching can lead students to understand the reality more widely, allowing them to interfere in it in a more conscious and purposeful way. In this sense, spatial analysis should focus on the dynamics of its transformations and not on the description and study of a static world. Understanding these dynamics requires constant movement between social processes and the physical and biological agents. The primary concern is to cover the means to produce, to exist and to perceive the different geographical areas, therefore, it is necessary to observe, seek explanations for spatial changes (MEC, 1999). Maps enable spatial domain and facilitate the understanding of the synthesis of phenomena that occur in a given space, for this reason, cartography and geography learnings encourage people to better understand their fundamental role in society. The use of technology, as a facilitator of the research and participation processes in constructing maps, reinforces the idea of citizenship, in this respect, a virtual map would serve as a catalyst for a civic education by providing a free and easy way to a more democratic spatial representation. As stated by Gohn (2007), participation and citizenship go hand in hand toward the construction of the democratic process through the division of responsibilities for all in society. It is from people‘s virtual participation that is possible to create an approximation to the social cartography and to contribute to the pursuit of a civic education. As a fundamental tool, participatory mapping methodology is important for the construction of a work related to social cartography, where people are encouraged to learn, transform and participate in society, changing their roles, becoming protagonists and leaving out the supporting roles. What makes participation and making maps an instrument of easy access is the diffusion of technology in public space. Internet access, which can be made from different places today, allows a larger proportion of people to be included in the access to information. It is important to note that the map made and shared on the Internet does not necessarily need mediators with high cartographic knowledge; it can be done by the user, which absorbs the contents of the interface that contains notions of cartography. For example, Google Maps for Web Map construction offers facilities, tools and videos that explain how to create an account, a point or vector, entering informations, save, plot a route, find a public transport and the time required to reach the desired destination, view photos and so on. This facilitates the work with people who are completely inserted into the cities‘ culture. Indeed, the Internet increasingly becomes more belonging to the cultural reality of the cities, unlike the cultures that preserve their ancestral traditions, such as indigenous, for these groups, Acselrad (2008) says that the main contradiction of participatory mapping is the dependency of the professionals who have the technical and cartographic concepts.

GIS, WEB (GIS) AND EDUCATION Geoinformation appears as a fascinating new possibility for information provision and raises a challenge that is about the efficiency of spatialinformation transmission. In this point, the advent of GIS technology turned more dynamic and accessible the task of updating cartographic databases and the association of information from different sources, scales and themes. And in the association to the creation and evolution of the World Wide Web, geographic information systems have been adapted to a new reality, sharing digital libraries (database), multimedia information between text, photos, images, audio and video to Internet

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users. According to Aragon et al. (2008), the Web GIS, in general, is characterized by an easy and intuitive interface for the presentation of thematic maps; to this feature some basic functionality for manipulation and control of the content displayed on the map will be added. The easy use by the non-specialist public in conjunction with the power of cartographic communication, constitute major factors in the popularization of these systems. Goodchild (1998) stated that the decisions made by someone better informed and betterprepared in the use of GIS will be, in a long term, better than the others‘. In this perspective, Geography holds a special position in the context of current and future society, contributing with a new focus on conceiving, as stated by Julião (1999), the Geocitizen. The GIS has been developed with the primary purpose of performing analysis and spatial representation. For Silva et al. (1996), the ways to achieve this goal can be tailored to the goals of the school curricula for Geography, creating advantages in comprehensive and multidisciplinary educational process, such as: 





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



The GIS enables knowledge developments because it allows file management, databases manipulation, multimedia use and integration of other technologies such as remote sensing and GPS (global positioning system). The use of GIS provides practice in the process of data acquisition, storage, analysis and information representation, data that constitutes a learning tool for the discovery and personal experience, as well as solving real problems, for example, of urban, regional and environmental planning. It allows an interaction with the community through geographic information knowledge and exploitation, and also integrating information from different sources and reinforcing the connection between school-environment. It can contribute to the development of analytical, concise and logical-mathematical reasoning, to the extent that the user searches for new possible responses, analyzing and summarizing information in accordance with the problems presented. It contributes to the development of knowledge in geography and graphics capabilities, as it enables the location of geographic features, the perception of scale changes and the considerations about a problem through multiple spatial phenomena representations.

Today, it is possible to access, through the Internet, different types of media for information and several of them allow immediate user interactions. The popularization of Internet access in the end of the twentieth century, the supply of broadband providers in the early twenty-first century, and the enhancement of hardware and software technologies, including improvement in data compression algorithms, substantially transformed the way we inform and communicate in the world, like social networks and the web maps. It is possible to compare a standard connection from the end of the 1990s, from 64 Kbit/s per second to a common current connection that can offers 1024 Kbit/s; this is equivalent to 16 times the connection that was common in many countries at the end of the last century. Moreover, the popularization and cheaper technologies have enabled more users to access the Internet from different locations. With this new moment in technological history, the apparatus linked to geotechnologies accompanied the popularizing and cheapening process. The cost of a satellite image and a

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GPS has become smaller over time and more accessible, as a result, companies invested to build interactive maps; one of these is Google Inc. Google took its business in the logic of offering free services, primarily for home users and non-profit institutions. Most of its financial profits come from advertising. Any user can access the Google websites and use most of their products for free, including those related to social inclusion and development of a database or a website. The Volunteered Geographic Information (VGI), a term coined by Goodchild (2007), refers to the participation of users in the creation and dissemination of geographic information. The rise of several services that offer this type of map as Wikimapia, MapTubes, Google Maps, Open StreetMaps characterize a process of free distribution of geographic information and was possible with the advent of Web 2.0. To the author, the phenomenon of low-cost production of geographic information has the potential to redefine the role of traditional companies and mapping agencies, and even the role traditionally assigned to the specialist responsible for creating maps, that is, the VGI leads the web to a democratic environment for spatial information. The Open StreetMap service, available at openstreetmap.org, is another example of participatory SIG WEB which aims to develop maps with a variety of information from a single base. Any user can add a street, church, hotel, river, bridge from anywhere in the world. A street, for example, can be classified as main, secondary, one-way, double and so on. In addition, the user can add information acquired from a GPS, contributing to the addition of uncharted roads and trails. What makes the service even more interesting is that the user can print, copy, edit and freely disseminate the map in an API (application programming interface) format. What reinforces the democratic argument of this type of service is that free mapping tools available on the Internet gave rise to the birth of the so-called neogeographers communities (Goodchild, 2007). These neogeographers are practitioners of citizenship exercise with regard to the spatial knowledge and participation in development of its representation. The software provides the basis for cartographic knowledge, what make possible the creation of a community interested in maps. It is probably that thes people had never stopped before to think about the spatial organization of their own neighborhood. Today, most lay users research about their locations, plan trips, look for private and public services, view traffic conditions, contribute with pictures and so on. These users participate on forums online, exchange experiences in the construction of maps, create blogs that provide the promotion and discussion of the theme, and with all that, absorb cartographic contents that slowly become more ordinary in the lives of each user.

ACTIONS FOR SPATIAL EDUCATION AND DIGITAL INCLUSION An action to consolidate the social use of geoinformation, is exemplified in the RIsO (Supportive Information Network for Rio de Janeiro) Project, a website with georeferenced information related to available free educational, cultural and sports activities in Rio de Janeiro metropolitan area. RisO project (Duba, 2011, Di Maio et al., 2011) can be accessed in sites.google.com/site/risouff. These activities composed a map of social action for youths, based on social cartography concepts and Google‘s tools. The goal is to contribute with

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operational actions to consolidate the social use of GIS technology and help knowledge integration and democratization. The Web Map created by Google Maps tools is embedded in the context of VGI and uses the logic of participation. With the map view and their points associated to social projects, the user can know in which neighborhood and address is the desired activity. If it is near or far, how many miles, if there is public transportation, what bus or even check pictures from the place. The spatial knowledge may also bring questions and raise the demand for services and infrastructure in poor neighborhoods for the public institutions responsible for offering them. Other projects involved a free GIS for school called EduSPRING (SPRING for Education).Within the proposal to develop a geographic information system that meets 2 specific requirements of application in basic education, this specialized version of SPRING (Georeferenced Information Processing System) GIS (Câmara et al., 1986) was developed under the projects GEODEN (Digital Geotechnologies in Education) and GEOIDEA (Geotechnology as a tool for Digital Inclusion and Environmental Education). The original program was optimized with a reduction of approximately 70% of its original size through the loss of some advanced features, without direct application in primary and secondary education activities. GEODEN (Di Maio, 2004, 2007), accessed at www.uff.br/geoden, and GEOIDEA (Di Maio et al., 2009)3, accessed from an interactive multimedia CD-ROM, aimed at spreading the use of geotechnologies in education and in teachers training in order to help changing the situation of education and digital inclusion in elementary and secondary public schools in Brazil and portuguese-speaking countries in Africa (Nosoline, 2011). Their scientific, social and educational importance is based on the availability of new knowledge and teaching techniques in the studies of spatial perception, cartography, remote sensing and environmental issues focusing on biomes, watersheds and protected natural areas, with updates on different scales; an introduction to mapping through GIS. The results showed that, besides the satisfactory result in learning, the contribution also goes by the increased self-esteem of teachers and students. The material produced in the projects has been freely distributed in courses, events and forums for teachers, which has been led to the spread of its use. Evaluations of the results, with teachers and students in public schools, have pointed to a positive outlook regarding the introduction of new computer technology as a contribution to the improvement of basic education, encouragement of learning about spatial issues and digital inclusion.

CONCLUSIONS These small initiatives are in line with the use of GIS and cartography in order to inform society, produce content and services, support and encourage civic participation in decisionmaking processes and thus contribute to the strengthening of citizenship and sharing of spatial information. Santos (2007), about the socialization of information, warns that today modern man is, perhaps, more helpless because he lives in an information society that denies him the right to be informed. 2 3

GIS SPRING is a product of Brazil's National Institute for Space Research (INPE). Projects supported by FAPERJ and FAPESP.

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The school is a privileged environment for learning. It is essential that students acquire skills that facilitate learning and encourage them to understand, manipulate, interfere and be critical of the transformation processes that occur around them. Innovations in school environments bring positive impacts to the processes of teaching and learning and this would be enough to justify the inclusion of new features such as geotechnologies in school curricula, besides this, science and technology advancement also correspond to people‘s cognitive advances in their research strategies (Almeida and Fonseca Junior, 2000). The cartographic language and spatial perception are crucial in the evolution of cognitive structures and intellectual growth of young people. Di Maio (2004) found that students from a more direct contact with reality materialize spatial knowledge, often abstract to them. This leads to the inference that the interactive environment in which learning is developed is strongly related to learning, so it is possible to say that this type of environment facilitates teaching practices. And it is precisely here, in the bridge between what is taught, learned and perceived and the real world, which is one of the greatest contributions of technology in the learning process and, consequently, in the social changes coming from the participation of people in society issues. GIS is about to consider the analysis and interactive processes in which people add information to the flow of information, which reaches out to a social and interactive cartography (Van der Schans, 1990). People do measurements, interpretations, and understand the visual representations involved in the analysis. And as reaffirmed by Peuquet (1994), geography studies processes involve space and time, and in recent decades, a growing need for analysis in changes of natural environments in terms of social processes is observed, for example, urban growth. In this respect, the databases are being used as tools for analysis in dynamic studies of ecological and climate phenomena, water quality monitoring, changes in animal habitats and global warming. These are current issues of students‘ interest, which are easily addressed with the help of computer tools that helps the understanding of the phenomena spatiality in the present and in the past, comparing them through their overlapping enables to understand or predict future scenarios. Today, teachers have opportunities to participate in an innovative work in schools. Finally, teachers have computer tools directly related to their field of education available for free, especially the Internet. There are endless possibilities in the combination of GPS, GIS, remote sensing and digital cartography as tools for recording and analyzing geographical space dynamics and physiognomy and also the contemporary social and environmental issues. This is critical as it contributes to neutralizing people‘s feeling of not belonging to the place of living as a consequence of the distance imposed on society due to social and economic differences. This way, understanding that education is a practice that prepares for the world, the school must consider the use of technologies as resources that motivate and assist in the learning process. To have opportunities in life does not mean to be at the peak of an achievement, but being able to realize it. The utopian issues referred by Perrenoud (2005), in particular, solidarity as a means of achieving citizenship is a way for people to become aware of their rights and duties and also of their political power to awaken to the search for a better life. The seed of citizenship, once planted, germinates and bears fruit.

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REFERENCES Acselrad, H. (2008). Cartografia Social e Território. Rio de Janeiro, Brasil: IPPUR/UFRJ. Almeida, F.J.and Fonseca Jr., F.M. (2000). ProInfo: Projetos e Ambientes Inovadores. Brasília, Brasil: Parma. Aragão, H. G. and Campos, J. (2008). SIG Web Builder: Uma Ferramenta Visual para Desenvolvimento de SIG Webs. In: V Conferência Latino-Americana de Software Livre. Foz do Iguaçú, Brasil. Available in: http://www.geoinfo.info/geoinfo2008/papers/ p22.pdf. Câmara G, Souza RCM, Freitas UM, and Garrido J. (1996). SPRING: Integrating remote sensing and GIS by object-oriented data modeling. Computers and Graphics, 20 (3), 395-403. Chávez, N.J.L. (2001). La Cartografía social: un procedimiento para la planeación participativa en el nivel local, Santiago de Cáli, Colombia: CVC. Cruz, R. (2004). O que as empresas podem fazer pela inclusão digital. São Paulo, Brasil: Instituto Ethos. Damiani, A.L.(1999). A Geografia e a Construção da Cidadania. In: Carlos, A.F.A.. (Org.), A Geografia da Sala de Aula (pp.50-61).São Paulo, Brasil: Contexto. Di Maio, A. C. (2004). Geotecnologias Digitais do Ensino Médio: Avaliação Prática de seu potencial. Thesis. UNESP. Rio Claro. Di Maio, A. C. (2007). GEODEN: geotecnologias digitais no ensino básico por meio da Internet. In: XIII Simpósio Brasileiro de Sensoriamento Remoto (SBSR) Proceedings. São José dos Campos, Brasil: INPE. p.1457 -1464. Di Maio, A. C. ; Francisco, C.N. ; Levy, C. H. ; Pinto, C.A.L. ; Nunes, E.A. ; Carvalho, M. V. A. and Dornelas, T.S. (2009). GEOIDEA - Geotecnologia como instrumento da inclusão digital e educação ambiental. In: XIV Simpósio Brasileiro de Sensoriamento Remoto Proceedings. São José dos Campos, Brasil: INPE. v. 1. p. 2397-2404. Di Maio, A.C.; Gomes, C. and Kurkdjian, M.L.N.de O. (2011). Geoinformation: a social issue. Advances in Cartography and GIScience. Ed. Springer, vol.2, pp. 35-48. Duba, V.H.C. (2011). Geotecnlogias e Rede de Informações: um mapa social para Região Metropolitana do Rio de Janeiro. Monograph. Universidade Federal Fluminense, Niterói, Brasil. Gohn, M. da G. (2007). Conselhos Gestores e participação sociopolítica (3rd edition). São Paulo, Brasil: Cortez. Goodchild, M. F. (1998). Rediscoveing the World Through GIS - Prospects for a Second Age of Geographical Discovery, In: GIS PlaNET'98 Proceedings, Lisbon, Portugal. Goodchild, M. F. (2007). Citizens as sensors: the world of volunteered geography. GeoJournal, v. 69, n. 4, p. 211-221. Hasse, S.H. (1999). A Informática na Educação: Mito ou Realidade. In: Lombardi, J.C. (Org.), Pesquisa em Educação, História, Filosofia e Temas Transversais (pp.123-130). Campinas, Brasil: Autores Associados: HISTEDBR. Julião, R. P. (1999). Geografia, Informação e Sociedade. GEOINOVA - Revista do Departamento de Geografia e Planejamento Regional, nº 0, pp.95-108. MEC. Ministério da Educação. (1999). Parâmetros Curriculares Nacionais: História e Geografia (Ensino Fundamental), v. 5, Brasília, Brasil: SEF.

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Lacoste, Y. (1988). Geografia: Isso Serve, em Primeiro Lugar, para Fazer a Guerra. Rio de Janeiro, Brasil: Papirus. Nosoline, I.M. (2011) O Uso das Geotecnologias como Recurso Didático nas Aulas de Geografia. Thesis. Universidade Federal de Viçosa. Viçosa. Oliveira, L de. (1977). Estudo Metodológico e Cognitivo do Mapa. Thesis. Instituto de Geociências e Ciências Exatas, UNESP. São Paulo. Perrenoud, F. (2005). Escola e Cidadania: o papel da escola na formação para a democracia. Porto Alegre, Brasil: Artmed. Peuquet, D.J. (1994). It's about time: a conceptual framework for the representation of temporal dynamics in geographic information systems. Annals of the Association of American Geographers, 84 (3):441-461. Santos, M. (2007). O Espaço do Cidadão. São Paulo, Brasil: Edusp. Schaff, A. (1990). A Sociedade Informática. São Paulo, Brasil: Unesp/Brasiliense. Silva, M. (2008). Os professores e o desafio comunicacional da cibercultura. In: Freire, W. (Org.). Tecnologia e educação: as mídias na prática docente. Rio de Janeiro, Brasil: Wak. Silva, R.; Antunes, P. and Painho, M. (1996). Utilizando os Sistemas de Informação Geográfica no Ensino da Geografia ao Nível de Ensino Básico e Secundário. In: I Simpósio sobre Investigação e Desenvolvimento de Software Educativo Proceedings. Costa da Caparica, Portugal. Tristão, M. (2008). A Educação Ambiental na Formação de Professores: redes e saberes. São Paulo, Brasil:Annablume. Van der Schans, R. (1990). The WDGM model: a formal system view on GIS. International Journal of Geographical Information Systems, 4(3):225-239.

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In: Citizenship: Practices, Types and Challenges Editors: Dexter Petty and Clay MacFarland

ISBN: 978-1-61942-440-1 © 2012 Nova Science Publishers, Inc.

Chapter 9

MULTIETHNIC SOCIETIES, CITIZENSHIP/CITIZENSHIPS AND INTERCULTURAL EDUCATION Rina Manuela Contini* and Antonio Maturo† Department of Social Sciences, University of Chieti-Pescara, Italy

ABSTRACT

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The experience of citizenship and its formal asset have undergone changes, because of the movement of people and because of the progressive multiculturality of cotemporary societies. It is evident that there is a pluralisation of citizenship forms both as a structural data - coexistence of different citizenships within the same territory - and as multiple expression in the individual (micro) and social (macro) experience. Citizenship is a manifold concept bound to society and to the culture in which it expresses itself. It is bound to the dimension of individual rights and freedom, but also to the processes of recognising a full dignity of each person and the right of difference and diversity (Marshall, 1950; Kymlicka, 1995; Council of Europe, 2008). Citizenship has always been at the heart of education and of the development of educational systems, both as a social task that modern society reverses on the school (form the citizen with rights and duties) and as a concept that summarises the question of equal opportunities before education (Nesse Network, 2008; Commission of the European Communities, 2008). In the paper - through the analysis of the results of a statistical investigation carried out on a sample of 1314 Italian and foreign preadolescents attending secondary school in the Abruzzo Region (Italy) - the following topics have been considered: the question of the changing idea of citizenship and the necessity to reconsider citizenship with an expression of the universal applications of human rights with particular ones of single national facts and of single groups or people; the question of the right to be education and of the interventions that allow the full implementation of such a right (invest in the intercultural curriculum, welcoming practices, intensive curse for students just arrived finalize at favouring the acquisition of the language of the destination country, certifying * †

E-mail: [email protected]. E-mail: [email protected].

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Rina Manuela Contini and Antonio Maturo linguistic competences, forming teachers, valorising plurilinguism, orienteering). In this context, the concept of human capital is reconsidered considering two other key concepts, those of social capital and cultural capital (Bourdieu, 1980; Coleman, 1988; Portes, Rumbaut, 2001). Citizenship dimension emerges as a wide program to realize new forms of inclusion, belonging, integration at a political-juridical, economic and social level.

Keywords: Plural Society; Citizenship; Educational Policies; Equality of Opportunities

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1. YOUNG GENERATIONS, CITIZENSHIP AND INTERCULTURAL SCHOOL Globalization processes, international migration fluxes and the progressive presence of a plurality of cultures and citizenship on the same territory change western society from the bottom (Bauman, 1998; Cesareo, 2004). The growth of a young generation of immigrant origin leads to matters of equality of opportunities in social promotion and sets a series of challenges in order to redefine social life in the welcoming countries (Ambrosini, Molina, 2004; Ambrosini, Berti, 2009; Besozzi et al., 2009). In a scenery of progressive consolidation of a plural social reality the question of belonging and of identity is set in a new way. E. Besozzi (2006) talks about a cultural identity "as a mosaic" and of a multiple and discursive personal identity. The condition that seems to be more suitable to describe multicultural societies of our globalized world, underlines T. Mancini (2006), is the one of multiple belonging. In such a context, the possibility to discuss new hypothesis of citizenship is outlined - that go beyond the modern concept of citizenship (Costa, 2005) - and to reconsider citizenship according to a multiple and different dimension (Beck, 2003). Today Citizenship is considered always plural, in the light of processes that outline current societies in a multiethnic and multicultural way; but plurality is also given from different and heterogeneous dimensions of the experience of citizenship (Baglioni, 2009). In today's society it is possible to reconsider citizenship as a cosmopolite concept, with an articulation of universalist claims of human rights with the particular ones not only of single national realities but also of single groups or people. Today citizenship is defined as a multiform concept on the individual and social level (Kymlicka, 1995). It is closely connected to the dimension of rights and individual liberty (Marshall, 1950), but currently it is underlined the importance of the recognition processes of full dignity of each person and the right to diversity and difference. The essential point of citizenship is formed by rights, to sum up in the expression: equality of opportunities in accessing social and cultural resources. It is evident at this point the great relevance that citizenship education acquires and, more generally formation policies that allow to create belonging needs and self realization of every single subject, placed in the wide and multiple context of active and responsible participation. The idea of citizenship is set at the heart of education and of the development of educational systems and is placed at the basis of the realization of social policies, in the specific educational policies. In such a context there is a relevant perspective of intercultural teaching, that is considered central within European orientation and Italian regulation.School is a privileged place where to develop intercultural competences, that is to say the ability to

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know and respect cultural diversity and, at the same time «the research of social cohesion, in anew vision of citizenship adapt to current pluralism in which particular attention is given to the construction of a convergence towards common values» (Mpi, 2007: 9). Intercultural education is defined as an education to citizenship for living together in a plural society, that is to say a citizenship that implies at the same time the recognition of individual rights and universal values (Giovannini, 2008). Migrations can be a resource on a cultural and educational level only if integrated in an intercultural dialogue. According to the definition of the European Council (2008: 18): "intercultural dialogue is understood as a process that comprises an open and respectful exchange of views between individuals and groups with different ethnic, cultural, religious and linguistic backgrounds and heritage, on the basis of mutual understanding and respect. Intercultural dialogue contributes to political, social, cultural and economic integration and the cohesion of culturally diverse societies. It fosters equality, human dignity and a sense of common purpose. It aims to develop a deeper understanding of diverse world views and practices, to increase co-operation and participation, to allow personal growth and transformation, and to promote tolerance and respect for the other."

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2. INTERCULTURAL RELATIONS AND PERSPECTIVES IN SCHOOL: THE RESULTS OF AN EMPIRIC RESEARCH The question of the contribution of school and intercultural education to the development of plural and shared citizenship and of living together in a multiple society has been questioned through the analysis of scholastic experience of 1314 preadolescents (of whom 881 Italians, 317 non Italians and 116 students with one parent of non Italian origin), interviewed within the research carried out- through the administration of a questionnaireamong students attending second and third year of first degree secondary school in Abruzzo with the highest levels of immigrant students. Aspects regarding scholastic success, intercultural relations, the concept of citizenship, intercultural exchanges, multiple belonging have been analysed. Citizenship (Italians, non Italians and children of mixed couples), the gender, parents' degree of education and, as for foreigners, the age of migration and the macroarea of provenience have been considered for the aims of the investigation. From the examination of the scholastic experience of preadolescents a mixed picture is evident.

2.1. Scholastic Success The studies on the theme have underlined how scholastic success is a factor able to strongly influence the next step in formative and working path and the process of integration of ‗new generations‘ (Zhou, 1997; Portes, Rumbaut, 2001). In order to investigate scholastic success the following aspects have been taken into consideration: regular school attendance; commitment to scholastic work; self-evaluation of scholastic performances; performance in different subjects; formative aspirations.

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A particular relevant data is that the Italian and children of mixed couples students are more committed in studying, have better scholastic success and obtain in all scholastic subjects higher scholastic results than those of non Italian students. There is significant gap between Italians and foreigners also in the delay of the formative process. The delay is due to both the failure in scholastic years- very high among the foreigners- and the practise of new immigrant students in classes that do not correspond to their age group. The time spent in Italy is a factor that acts in favour of a better scholastic success, to confirm what was noticed within the studies on the theme (Barbagli, 2006; Dalla Zuanna et al., 2009), it is not an element able to grant a performance equal to Italians. From the analysis it is evident that a major inclination of Italian students and children of mixed couples to want to carry on with their studies going to grammar schools and then to attend university, while the choices of non Italian students are focused on a professional school and a rapid entry into the world of work. Scholastic delay is one of the factors that can influence the choice of a less strenuous formative path, mostly oriented towards a professional path and the access to work that difficultly will lead to high and prestigious social positions. Therefore the necessity to reconsider critically the fact of inserting newly immigrant students in classes inferior to their age group and to promote strategies such as teaching Italian as a second language, the welcoming practises and of scholastic integration, the promotion of multilinguism and orienteering, that can give all students the resources for the right to study, equality in education paths and full participation to scholastic and non scholastic community (Commissione europea, 2010b; Nesse network, 2008). It is evident from the research that gender is a key factor that influences scholastic success - girls have better scholastic paths than their male peers -, nevertheless the degree of education of the parents, the help received from the family - in terms of help received by preadolescents with homework, that can be considered as a sort internal familiar social capital (Coleman, 1988) - and the interest of parents in the scholastic results of the children. The children with parents with a high school or university degree obtain higher scholastic results, and are mainly inclined at choosing a grammar school and then university. Preadolescents that get help at home, and that have parents involved in their scholastic life are the ones that declare to perform well at school, are committed to their work, obtain better scholastic results, and are more determined to attend a grammar school and continue with university. If we consider citizenship, it is evident that Italian parents are interested in the scholastic results of the children and help them with their homework with a higher frequency than foreigners. Besides, to confirm what is evident in other researches (Bourdieu, 1980; Kao, 2004), the help at home and the parents‘ interest increase with the increase of the parents' degree of education.

2.2. Intercultural Relations The dimension of the school as a space where to build intercultural relations has been explored considering the opinion of preadolescents on: the teaching of history and Italian and European culture, or an education open to an exchange with the history and culture of extraEuropean populations; the studying of the Italian Constitution of all students, that is to say the

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fundamental Principles that are at the basis of the civil living together; the teaching of religion and the exposition of religious symbols in the public school (C.M. 73/1994; Mpi, 2007; EriCarts, 2008). The answers show a strong inclination of students (76,8%) towards the idea that school is a place of learning the history of Europe and extra-European countries too, nevertheless an orientation towards a multicultural teaching (72,5%). At the same time most of the students interviewed (87,9% of Italians, 84,5% of foreigners and 86,2% of children of mixed couples) think that all students, independently from their citizenship of origin, should study the Italian Constitution. In the multiethnic class, together with students of different religious backgrounds there are also different religious practises and symbols. As for the theme of teaching religion and the exposition of religious symbols in the state school the opinions of the preadolescents are different. Only 39,6% of the interviewed thinks that the scholastic institutions can be a place where to learn multi -religions, while 47,5% of the students thinks that in the Italian school only the Catholic religion should be taught. The Italians are more inclined towards the teaching of only the catholic religion (52%), while the foreigners register higher values in considering the teaching of all the religions (48,1%). As for the matter of exposing religious symbols, almost more than half (53,5%) of the interviewed thinks that in the Italian school only Catholic symbols should be exposed, almost a quarter (24,6%) consider the exposition of symbols of all religions and little more than one fifth (22,1%) consider that no symbols should be exposed. Considering the opinions of the three subgroups, in the case of the exposition of religious symbols there are more evident differences compared to the teaching of religion: the Italians are more inclined towards the exposition of only catholic symbols (60,2%), while the opinion of non Italian preadolescents are distributed around three possibilities, with a higher inclination towards the exposition of all religious symbols (38,5%) and following only catholic symbols (33,7%) and no symbols (27,8%). If we split the data relative to the foreigners considering the macroarea of provenience, we notice that nationality influences the preadolescents' ideas. The students from African countries are more inclined than other nationalities towards a multiple religious teaching (63,9%) and the exposition of symbols of all religions (43,4%). At the other end are the students from Asian countries that in higher percentages compared to the other subgroups, think that no religion should be taught within the Italian school (39,1%) and that no religious symbol should be exposed (46%). The different positions among the students of different nationalities can be explained also considering the importance religion and religious references have in the country of provenience: the preadolescents from Africa mostly come from countries where religious reference occupy a central position, while those from Asia, above all from China, a country where religious reference is weak (Hirschman, 2004; Levitt, 2007). As for this, the question is set on the interreligious dialogue as an educational resource for the intercultural school (Mentasti, Ottaviano, 2008; Besozzi, 2008). Considering the cultural level of the family (Bourdieu, 2001), it is evident how a high education degree of the parents has a positive influence in the formation in the children of the concept of school as a place where there is an multicultural and multireligious teaching, and at the same time, as a place where to learn the Constitution. The percentage of students

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inclined towards the teaching of the history of the European populations but also extraEuropean increases from 75% in the students coming from low cultural background to 84% among the children of parents with a degree. In the same way, 48% of children with parents with a high degree of education think that all religions should be taught at school, compared to 37% of students with parents who have a secondary school degree or have just attended compulsory school. At the same time, the amount of preadolescents inclined to studying the Constitution by all students rises from 82% of students with a low cultural background to 88% of those with a secondary school degree to 90% of those with parents with a university degree. Observing the impact of gender belonging on the formation of intercultural relations in school, it is evident that this factor influences on the opinion relative to the teaching of the Constitution and, even is in an inferior measure, of culture, in the sense that girls are more inclined than boys to the idea that in school everybody should study the constitution (90% of girls, compared to 84% of boys) and that European and extra-European cultures should be taught.

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2.3. Intercultural Exchange In the ambit of the Italian scholastic regulation it has been remarked how intercultural education includes two complementary dimensions: the cognitive one and the relational one. Communication, the exchange of experiences in scholastic and extrascholastic relations and the cooperation in class promote interculturality (C.M. 73/1994; Mpi, 2007). Adolescence and preadolescence are crucial moments in the formation of individual and social identity, because during this age group you are more influenced, in the creation of the self, by relations with the others (Besozzi, 2009). The relational dimension has been examined taking into consideration the behaviour and intercultural exchanges in relations at school and with group of extrascholastic friends (Dubet, Martuccelli, 1996; Giovannini, Queirolo Palmas, 2002). From the analysis of the data we notice that a significant amount of preadolescents shows independence towards the group: 49% of students ‗often‘ express their opinions even when they contrast with the ones of their peers and 66% of the interviewed does not look to violence to express their ideas. Besides, on a whole Italian, foreign and children of mixed couples students do not perceive attitudes of discrimination towards foreigners neither from their Italian classmates nor their teachers. Furthermore, contained is the percentage of students that carry out behaviour open to intercultural exchange: only 27,2% of the interviewed ‗often‘ help one another in class during the execution of homework, while 60,2% rarely help one another; students exchange games with their classmates only occasionally (20,8% often, 46,2% sometimes and 33,1% never); in the classroom the peers are marginalized with higher frequency (40,4% of the interviewed answered often) compared to what happens in extrascholastic groups of friends (24,2% declared that in the groups they attend ‗often‘ there are events of discrimination). The amount of preadolescents that "often" stand up for their classmates when they are excluded from the group is low too (22,3%). There are differences among Italians and non Italians. The Italians show more independence towards the group, they exchange games with the classmates more frequently

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than foreigners, while the latter exchange games more frequently with friends outside the scholastic environment. Furthermore with the increase in the time spent in Italy the inclination of foreigners to develop favourable behaviour to intercultural exchanges grows, that is to say they express their ideas even if the group does not agree, to cooperate and exchange experiences with their classmates. School can play a very important function in promoting cooperation behaviour and sharing experiences. A high level of education on behalf of the parents is a factor able to favour in the children independence towards the group, sharing experiences with classmates and other friends and solidarity towards weaker classmates. As regards gender differences, girls show more than boys attitudes towards intercultural exchange in relations inside and outside the school. Among female students there is an inferior conformity, an accentuated inclination to cooperation and solidarity, a higher sensibility in perceiving exclusion phenomena among classmates.

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2.4. Multiple Belonging As regards the creation of a national sense of belonging and a multiple belonging in preadolescents that make experiences in a society and a school characterized by a multiple living together, the data show an articulated picture. 70,6% of the students interviewed feel ‗Italian‘ and 66,4% feel ‗abruzzese‘. Naturally there are differences between Italians and foreigners. 80,7% of the Italians interviewed have gained a sense of national belonging and 78,8 a regional one. At the same time an interesting percentage is registered in foreign preadolescents that feel ‗Italian‘ (36,8%). To confirm the outcome of the Cils research carried out by Portes on second generations in the schools of San Diego and Miami (Portes, Rumbaut, 2006), the inclination to feeling the belonging to the welcoming country increases as time spent in the destination country increases: the percentage of foreigners that declared to feel ‗Italian‘ goes from 25,8% among the preadolescents living in Italy since the age of six to 55,7% among the students born in Italy or that arrived in their first years of life. In such a vision, school can play an important role in the creation of social bonds and inclusive and flexible belonging, in the sense that the intercultural class can be seen as a place where to build all students identity and to create plural citizenship. As regards the development of overnational identity (Kymlicka, 1995; Ambrosini, 2008; Bloemraad, 2009), we observe that on a whole 38% of preadolescents feel citizen of the world and 39,4% a European citizen. These are still contained numbers, that show an initial path that can be helped within intercultural teaching. Citizenship influences the creation of wider identities compared to a national one: the percentage of foreigners (27,6%) that has declared a cosmopolitan feeling is clearly inferior to the Italian one (41,4%) or of children with mixed parents (40%). Only 20,9% of foreigners declared to feel European (compared to 45,2% of Italians): such a percentage decreases to 4,7% among the Chinese and 19,4% among the Africans, but is small also among the preadolescents from European countries (29,1%). The outlining of a feeling of belonging to

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Europe is interpreted within the matter of creating a European identity. It is evident that there is the necessity to teach European values at school, that represent the basis of the European citizenship. If we consider the influence of the parents' degree of education on the creation of multiple belonging, we notice a higher inclination of the children with parents with a secondary school or university degree to develop a feeling of multiple belonging and wider ways of belonging than the national ones, like the European one (44,5% of children with parents with a secondary school degree and 46,3% with a university degree declared to feel ‗European‘, compared to 31% of children that just attended compulsory school) and cosmopolitan (43,9% of children with parents with a secondary school degree and 42,5% with a university degree declared to feel ‗citizen of the world‘, compared to 31% of children with parents who attended compulsory school).

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3. CONCLUSION From the examination of Italian, foreign students and children of mixed couples scholastic experience in a school subject to transformation it is evident how among the preadolescents that live and interact in a multiple social and scholastic context start to build intercultural relations, intercultural exchanges and forms of multiple belonging. Above all it is also clear that the study is in an initial phase and it must be helped. In such a vision school can play an important role. Besides, we noticed that foreign students, even the ones born in Italy, have lower scholastic results, lower percentage of success, they leave school and attend professional schools with a higher frequency compared to Italians. In line with the studies on the theme (Bourdieu, 2001; Coleman, 1968; 2005; Dalla Zuanna et al., 2009), also the transversality of positive action of parents with a high degree of education, the help with homework and interest for the scholastic career of the children are evident in influencing scholastic success in preadolescents. It seems therefore that school has to carry on working in this direction to grant all students equality in the formative paths. The question of equality of opportunities is set at the core of citizenship and becomes central in relation to a scholastic population that has changed over time, heterogeneous in social, cultural provenience as for learning motivations, expectations and requirements. Citizenship is defined as an experience full of bonds and resources both cultural and material. Nowadays, treating educational policies in relation to citizenship means to reconsider the theme of the right to education and its full realization (Scanagatta, Maccarini, 2009). L. Benadusi (2006) underlines how the concept of equality of opportunities, that is progressively defined as analysis of the quality of the school and teaching/learning processes have changed. The presence of foreign students in Italian schools has resuggested in an evident way the matter of equality of opportunities and equity, but recent political decisions do not seem able to go beyond sectorial regulations. This new presence and citizenship appeals that it expresses reveal a general lack still noticeable in educational policies of our country, that of paying little attention to the building of an interdependency relation with the contexts and actors of the educational practises.

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More generally, today school finds itself dealing with the difficult challenge to create a convergence towards a common reference framework in terms of values, rules and rights in the ambit of respect and valorising diversity, in order to promote living together in a multietnic society (Nesse network, 2008; Clementi, 2008; Cesareo, 2008). Scholastic subjects are a resource, because they are an opportunity of intercultural formation. In the field of teaching history it is necessary to conceptualize the link history-citizenship, overcome an eurocentered proposal, prospect problems of a peaceful living together among populations and face the theme of racism in its ideas and manifestations. Geography can help to widen the vision of students from a local reality to a national one, from a European context to a worldwide one and it can promote the creation of a worldwide conscience. In the ambit of teaching Italian an intercultural consideration of language events, a European and extraeuropean approach and the reflection upon their relations are privileged. In the same way artistic and musical education allow to close the gap between cultures. Scientific-mathemathic subjects promote the ability of coherent reasoning, critical attitude, appreciation of the exchange of ideas. At the same time, learning foreign languages offers communication instruments and accosts to culture that is expressed in each language (C.M. 73/1994; Council of Europe, 2008). Religious pluralism, that characterized educational institutions and European societies, brings the matter of the importance of the religious dimension in an intercultural ambit. Multi-religiosity, that is evident in scholastic classmates, is an opportunity to learn about different religious practises and signs and can be valorised through the adoption of knowledge praxis and a dialogic comparison, intended to underline common meanings and favouring the development of attitudes like respect, recognition and reciprocity in exploring the self (Mpi, 2007; Mentasti, Ottaviano, 2008). Furthermore, there are no curricular programmes on the ‗religious matter‘ in its different historic and cultural manifestations. Besides, the idea of an intercultural education as a specific curricular space that defines itself as a new education to citizenship aimed at favouring equality and social cohesion (Kymlicka, 1995; Zanfrini, 2007). The lessens of civic education allow to present the Principles of the Constitution, the Universal Declaration of Human rights and of communitarian and international Institutions. The European Commission declared 2008 ‗European year of intercultural dialogue‘ (Decision n. 1983/2006/EC) with the objective of promoting a deep dialogue between cultures that gives necessary competences to develop an active European citizenship and open to the world, respectful of cultural diversity and based on common values in Europe. Educational challenge is considered in a wider context of social cohesion: in fact, the failure in the scholastic path of "new generations" can generate failure in social integration and can impede the development of social bonds and feelings of belonging.

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Ambrosini, M. e Molina S. (Eds.) (2004), Seconde generazioni, Torino, Fondazione Giovanni Agnelli. Baglioni, L.G. (2009), Sociologia della cittadinanza, Soveria Mannelli, Rubbettino. Barbagli, M. (2006). L‘integrazione scolastica delle seconde generazioni di stranieri nelle scuole secondarie di primo grado della Regione Emilia Romagna. Bologna: Osservatorio sulle differenze, Comune Bologna. Bauman, Z. (1998), Globalization. The Human Consequences, Cambridge-Oxford, Polity Press, Blackwell. Beck, U. (2003), Lo sguardo cosmopolita. Prospettive dell‟epoca postnazionale, Bologna, Il Mulino. Benadusi, L. (2006), «Dall‘uguaglianza all‘equità» in N. Bottani e L. Benadusi (a cura di), Uguaglianza ed equità nella scuola, Trento, Erickson. Besozzi, E. (2006), Società, cultura, educazione, Roma, Carocci. Besozzi, E. (2008), «Culture in gioco e modelli di integrazione nella scuola italiana» in M. Clementi (Ed.), La scuola e il dialogo interculturale, Quaderni Ismu, 2/2008. Besozzi, E. (Ed.) (2009), Tra sogni e realtà. Gli adolescenti e la transizione alla vita adulta, Roma, Carocci. Besozzi, E., Colombo, M. e Santagati M. (2009), Giovani stranieri, nuovi cittadini. Le strategie di una generazione ponte, Milano, Franco Angeli. Bloemraad, I. (2009), «Cittadinanza e immigrazione: una rassegna contemporanea» in M. Ambrosini e E. Abbatecola (Eds.), Migrazioni e società. Una rassegna di studi internazionali, Milano, F. Angeli. Bourdieu, P. (1980), «Le capital social. Notessoires», Actes de la Recherche en Sciences Sociales, n. 3,31. Bourdieu, P. (2001), La distinzione. Critica sociale del gusto, Bologna, Il Mulino. Cesareo, V. (Ed.) (2004), L‟Altro. Identità, dialogo e conflitto nella società plurale, Milano, Vita e Pensiero. Cesareo, V. (2008), «Presentazione a La scuola e il dialogo interculturale» in M. Clementi (a cura di), La scuola e il dialogo interculturale, Quaderni Ismu, 2/2008. Clementi, M. (Ed.) (2008), La scuola e il dialogo interculturale, Quaderni Ismu, 2/2008. C.M. (Circolare Ministeriale) 73/1994. Oggetto: Dialogo interculturale e convivenza democratica: l'impegno progettuale della scuola, http://www.edscuola.it/archivio/norme/ circolari/cm073_94.html. Coleman, J.S. (1968), «The Concept of Equality of Educational Opportunity» Harvard Educational Review, XXXVIII, 1. Coleman, J.S. (1988), «Social Capital in the Creation of Human Capital», American Journal of Sociology, vol. 94, suppl., 95-121. Coleman, J.S. (2005), Fondamenti di teoria sociale, Bologna, Il Mulino. Commission of the European Communities (2008), Green Paper. Migration & mobility: challenges and opportunities for EU education systems. Bruxelles. http:// eurlex.europa.eu/. Commissione Europea (2010a), EUROPA 2020. Una strategia per una crescita intelligente, sostenibile e inclusiva, Bruxelles, 3.3.2010, http://ec.europa.eu/. Commissione Europea (2010b), Un nuovo slancio per la cooperazione europea in materia di Istruzione e Formazione professionale a sostegno della strategia EUROPA 2020, Bruxelles, 9.6.2010, http://ec.europa.eu/.

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Council of Europe (2008), White Paper on Intercultural Dialogue. Living Together s Equals in Dignity, Strasburgo. www.coe.int/dialogue. Costa, P. (2005), Cittadinanza, Bari, Laterza. Dalla Zuanna, G. Farina, P. e Strozza S. (2009), Nuovi italiani. I giovani immigrati cambieranno il nostro paese?, Bologna, Il Mulino. Dubet, F. e Martuccelli D. (1996), A l‟école. Sociologie de l‟expérience scolaire, Paris, Seuil. EriCarts (2008), Sharing Diversity. National approaches to intercultural dialogue in Europe. Rapporto di ricerca commissionato dalla DG Educazione e Cultura della Commissione Europea, http://www.interculturadialogue.eu. Giovannini, G. (2008). «La scuola» in Fondazione ISMU, Tredicesimo rapporto sulle migrazioni 2007, Milano, F. Angeli. Giovannini, G. e Queirolo Palmas L. (a cura di) (2002), Una scuola in comune. Esperienze scolastiche in contesti multietnici italiani, Torino, Edizioni Fondazione Giovanni Agnelli. Hirschman, C. (2004), «The role of religion in the origin and adaptation of immegrant group in the United States», International Migration Rewiew, vol. 38, n. 3 (Fall), 1206-1233. Kao, G. (2004), «Parental influences on the educational outcomes of immigrant youth», International Migration Rewiew, n. 38, 2, 427-449. Kymlicka W. (1995), Multicultural citizenship, Oxford, Oxford University Press. Levitt, P. (2007), God needs no passport. Immigrants and the changing religious landscape, New York-London, The New Press. Mancini T. (2006), Psicologia dell‟identità etnica, Roma, Carocci. Marshall, T. H. (1950). Citizenship and social class and other essays. Cambridge: CUP. Mentasti, L. e Ottaviano C. (2008), Cento cieli in classe, Milano, Unicopoli. Mpi (Ministero della Pubblica Istruzione) (2007), La via italiana per la scuola interculturale e l‟integrazione degli alunni stranieri, http://www.pubblica.istruzione.it. Nesse Network (2008), Education and Migration. Strategies for integrating migrant children in European schools and societies, Brusselles, Education&Culture DG, http:// www.nesse.fr. Portes, A. e Rumbaut R.G (2001), Legacies. The story of the migrant second generation, Berkeley-New York, University of California Press-Russel Sage Foundation. Portes, A. e Rumbaut R.G. (2006), Immigrant America. A portrait, Berkeley and Los Angeles, University of California Press (third edition). Scanagatta, S. e Maccarini A.M. (2009), L‟educazione come capitale sociale. Culture civili e percorsi educativi in Italia, Milano, FrancoAngeli. Withol de Wenden, C. (2001), L‟Europe des migrantions, Paris, ADRI, La Documentation Française. Zanfrini, L. (2007), Cittadinanza. Appartenenza e diritti nella società dell‟immigrazione, Bari, Laterza. Zhou, M. (1997), «Segmented assimilation: controversies, and recent research on the new second generation», International Migration Review, vol. 31, 4, 975-1008.

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In: Citizenship: Practices, Types and Challenges Editors: Dexter Petty and Clay MacFarland

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Chapter 10

CRIME, CITIZENSHIP AND THE WELFARE STATE IN THE UK Tim Owen University of Central Lancashire, UK

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ABSTRACT This brief commentary presents an updated overview of the current ‗state of play‘ and recent trends in the Criminal Justice System of England and Wales in the context of developments associated with the so-called ‗post-industrial society‘ [Bell, 1973] and the impact of the processes known as ‗globalization‘ in terms of crime, citizenship, the welfare state, and challenges to the nation-state originally explored in the work of Owen [2009a]. It remains the contention here that whilst there is little doubt that the Criminal Justice System of England and Wales, and for that matter the individual nation-state of the United Kingdom, is being challenged by global and technological processes in the socalled ‗post-industrial‘ age, we need to avoid reductionist and essentialist theoretical accounts which rely upon unitary explanations for complex social phenomena, and which serve to exaggerate the scale and/or the intensity of ‗globalization‘, underplaying the uneven impact of ‗globalizing‘ tendencies. It is contended here that the social world is contingent and not determined by macrostructural motor forces. Drawing upon the antireductionist theories of Sibeon [1996, 2004] and Owen [ 2009a, 2009b, 2012 forthcoming], it is suggested that it is extremely doubtful that a reliance upon unitary explanations of the sort associated with ‗crude‘ globalization and post-industrialism theses will ever be capable of providing an adequate account of policy reproductive processes, trends, and developments within the Criminal Justice System of England and Wales.

INTRODUCTION The intention here, to reiterate, is to examine the current ‗state of play‘ and recent trends in the Criminal Justice System of England and Wales in relation to crime, citizenship and the welfare state. It is necessary to update Owen‘s [2009a] overview to include reference to the

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recent coming-to-power of the Conservative-Liberal Democrat coalition government. The Conservative-Liberal Democrat coalition agreement was drawn up after the 2010 general election in the UK. The election resulted in a hung parliament with neither the Conservatives nor Lib Dems emerging with an overall majority in the House of Commons. The Cameron Ministry have reached agreement to abandon the National Identity Card and biometric passports. The United Kingdom National DNA Database, originally pioneered in Scotland, is to be extended to the whole of the UK [time of writing is June 2011], as is the Freedom of Information Act. A range of other repeals, reinforcements and reviews are to take place, pertaining to the right to trial by jury, the right to non-violent protest, libel law, freedom of speech, anti-terrorist legislation, regulation of CCTV and storage of internet and email records. In the United Kingdom, a certain way of ‗thinking about the relationship between the citizen and the state‘ lasted until the decade of the 1970s [Walklate, 2007: 107]. This was a view in which the citizen had ‗social rights and the state had obligations to fulfil those rights provided the contract between the citizen and the state had been fulfilled‘ [ibid]. Here it is possible to identify the key principle of the welfare state in the UK in terms of contractual obligations between the citizen and the state and notions of less eligibility. Even within the Beveridge ideal, there were exceptions as to who was included as a full social citizen, with the ‗undeserving‘ excluded from full social citizenship. As Cook [2006: 33] cogently suggests, from the ‗dangerous classes‘ of Victorian Britain to the ‗Underclass‘ of the late twentieth/early twenty-first century, ‗the poor have been portrayed as crimogenic in essence, posing distinct threats to law and order. At the dawn of Bell‘s [1973] ‗post-industrial‘ age, the Labour government of the United Kingdom ‗presided over high rates of inflation that set the economic framework in which changes in public policy were likely to take place‘ [Walklate, ibid: 108]. By the time of the international recession of the mid-1970s, time was ripe for changes in the political climate, both in terms of social policy and in terms of what was regarded as the appropriate relationship between the citizen and the state. As Walklate [ibid] shows, public expenditure was viewed as being at the center of the economic difficulties being experienced and the plan for reducing the inflation rate by restoring incentives included removing what Margaret Thatcher referred to as ‗the nanny state‘. Arguably, Thatcher‘s [1977: 97] belief in selfreliance, property ownership, ‗paying one‘s way‘, and ‗playing a role within the family‘ as being ‗all part of the spiritual ballast which maintains responsible citizenship‘ is the embryo of the political ideas that changed the direction of the relationship between the citizen and the state in the United Kingdom throughout the 1980s and 1990s [Walklate, ibid]. The civil disturbances of 1981 and the concerns they generated [repeated and reiterated in the 1990s] ‗marks that continuing preoccupation with the undeserving; those dangerous classes who live in dangerous places‘ [ibid]. The riots and disturbances varied in their ‗causes‘, and arguably marked the beginning of a decade in which the criminal justice system of England and Wales was severely tested. In simple terms, changes in direction in the relationship between the citizen and the state were ‗primarily about reducing the obligations of the state to provide and increasing the obligations [as opposed to rights] of the citizen to contribute to society and provide for themselves‘ [Walklate, ibid: 109]. This view appears to be situated within a wider belief in the free reign of market forces and their ability to increase competition, expand

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consumer choice, and provide a route out of economic problems. As Walklate suggests, in the UK context, for the individual, such expectations were encapsulated by ‗active citizenship‘. Individual citizens ‗no longer fulfilled their obligations to the state through the payment of their taxes or national insurance contributions‘ [ibid]. In these particular economic circumstances, it is ‗the welfare of the state, as opposed to the welfare of the individual‘ [ibid] which demanded more of them. This view of citizenship appears to have taken strong roots in the contemporary political landscape of the United Kingdom, is enshrined in a range of policy initiatives, and is clearly ‗present within the world of the criminal justice system‘ of England and Wales [Walklate, ibid]. For example, there has been a rapid growth of Neighbourhood Watch schemes in which active ‗good citizens‘ become the ‗eyes‘ and the ‗ears‘ of the police; in Victim Support as a voluntary organization and ‗the increasing importance of the symbolism of the victim politically‘; and in the generation of ‗consumer charters and concerns with consumer satisfaction within policing‘ [ibid]. A key feature of all of these recent developments is the likelihood that the poor or ‗socially-excluded‘ are the most likely to be the objects of this active citizenship, rather than its subjects because they do not possess the power to pay or to make claims count. As Walklate [ibid] observes, ‗some would describe this as a rearticulation of the principle of less eligibility. Others would say that principle never disappeared‘. Hutton [1995] has made the observation that there has been a dramatic , overwhelming increase in the gap between the rich and the poor since 1979, leading him to talk of the ‘ 30-30-40 society‘, which emphasizes not only the gap between the ‗well-off‘ and secure and those who are not, but also the increasing numbers who are economically vulnerable. The impact of this growing economic vulnerability for an increasing number of people has been felt ‗nowhere less than in the criminal justice system‘ [Walklate, ibid: 111]. This view is also supported by Carlen [1988]. Put simply, there appears to be a relationship between an increase in the number of those deemed ‗the dangerous classes‘ and the levels of work faced by criminal justice agencies in England and Wales. As Walklate [ibid: 12] observes, ‗While the nature of this relationship has been strongly contested [and denied] politically, it nevertheless points up the interconnection between the distribution of social justice and the likelihood of being subjected to the criminal justice system‘. For example, as the prison population grows, so does the preoccupation with security. The relationship, as Walklate [ibid] observes, also points to another problem; if the people who come before the criminal justice system are increasingly likely to be from the ‗dangerous classes‘- the poor, the unemployed, the unemployable, the homeless, the physically ill, and the mentally disturbed- ‗then how might such people be treated justly by it?‘. The author poses a further poignant question: ‗What does a socially just punishment for a mentally disturbed offender look like who becomes homeless following the implementation of policies designed to provide care in the community and what resources do they have as individuals to manage how they are being dealt with?‘ [ibid]. Nevertheless, there appears to be very little support amongst the general population of the UK for British neo-abolitionism of the sort associated with Box-Grainger, Hudson and Sim where ‗abolition‘ refers to ‗the attempt to do away with punitive responses to criminalized problems‘ [van Swaaingen, 2007: 2].

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SOME TRENDS AND DEVELOPMENTS AS CLUES TO THE FUTURE It appears to be the case that no agency or aspect of the criminal justice system of England and Wales has been left untouched by ‗the frenetic pace of reform‘ [Davies et al., 2005] since 1997. In England and Wales, it is the case that crime policy has become a central part of the political debates, ‗partly in response to rising crime and partly as a result of the reform era of the 1960s and 1970s‘ [ibid: 416]. Rapid social change in this period has serve to shift the sociocultural roots and arrangements of the population in terms of everyday homebased activities, communities, and the workplace. As Davies et al [ibid] make clear, ‗change and consequent uncertainty‘ was very apparent in the debates about the causes of crime and the role of criminal justice agencies in the 1970s, in the dawning of so-called PostIndustrialism. In the 1990s, data protection legislation and human rights reforms caused greater levels of uncertainty, ‗with tragic consequences in the case of the latter when the Humberside police did not keep effective records about allegations of sexual offences by Ian Huntley‘ [ibid], the murderer of Holly Wells and Jessica Chapman in Soham in 2003. Very few of the traditional institutions and agencies of criminal justice in England and Wales have remained untouched, as new laws provided new rights and ‗intervened into spheres previously regarded as private, such as the home‘ [ibid]. There was also some polarization in terms of the pre-1950s consensus on crime, as reforms imposed changes that are arguably unpopular with the majority of the population, the abolition of the death penalty for murder being one such example. The so-called ‗post-industrial society‘ is one in which uncertainty appears to be rife in many aspects of life, and this includes crime policy. Under the New Labour administration, there was an increasing emphasis upon cost-effectiveness, which conflicted with other influences in penal policy. Governments face a distinct dilemma in the pursuit of crime strategies which emphasize the politically desirable ‗tough on crime‘ approach, whilst at the same time taking account of economic issues. In the ‗post-industrial‘ landscape, the increasingly tougher and more punitive policies which have characterized the criminal justice system in England and Wales under the New Labour administrations of Tony Blair and Gordon Brown, and continue to characterize the situation under the Conservative-Lib Dem coalition, may lead to higher prosecution costs and the increasing use of imprisonment as punishment. This appears to have led to a ‗tendency towards bifurcation‘, whereby the harsher penalties are reserved for the most serious offences/offenders, while ‗others are diverted from the system at various stages‘ [Davies et al, ibid: 417]. Increasingly, the use of caution and victim-offender mediation schemes play a part here. This can conflict quite obviously with notions of ‗just deserts‘ and denunciation., and with the interests of victims who may see their offenders escaping punishment. Many of the strategies employed by the New Labour administration to ensure that the criminal justice system ran more effectively involved new technologies for both the management of systems and the control of offenders. In theory, offenders can be kept out of the penal system if they are subject to monitoring by electronic tagging, with many towns and city centers in the UK subject to increasing levels of CCTV surveillance. Additionally, there has been an expansion of private policing. Increasingly, local authorities in England and

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Wales employ security companies and sometimes have their own municipal version, which they extend to housing estates, council property, and public spaces. A desire to ‗include the community‘ in both policy and crime prevention is also very apparent, with a growth in both auxiliary police and community wardens [Davies et al, ibid]. Diversionary strategies, such as those referred to above, can ‗increase efficiency in the court process but can lead to public disquiet‘ [ibid] on the grounds that offenders may be seen as being let off too lightly, and denunciationists might argue for public trials. Additionally, the diversionary policies of both the previous New Labour and present Conservative-Lib-Dem coalition administrations raise important issues of due process and justice, in that decisions concerning such offenders are made in private and are thus less accountable. Such divergence may also possibly disadvantage those who decide to contest their guilt and are viewed as taking up officials‘ time unnecessarily, and who may possibly receive a harsher sentence as a result. Arguably, the diversionary crime policies also raise the question of the degree to which some minor offences ‗may in effect be decriminalized‘ [ibid]. For example, the downgrading of cannabis from a Class B to a Class C drug, ‗thus carrying lower penalties and symbolically allowing the police to treat possession of the drug more lightly‘ [ibid]. The ‗what works‘ debate has dominated the agenda about prisons in the UK. ‗Prison reductionist‘ arguments concerning the relatively high costs of prisons and doubts about the rehabilitation potential of prisons raise important questions for the prison system of England and Wales, pertaining to whether the steady increase in the prison population should be accepted or whether there should be moves to reduce the number of offenders in prison. If prisons are to be utilised for the incarceration of the most serious offenders, ‗how should regimes be organized and what should they aim for?‘ [ibid]. Since the election of New Labour in 1997, legislative reforms have proceeded rapidly with the most all-encompassing being the Criminal Justice Act of 2003. The Act builds on the Auld and Halliday reports and could be said to be extremely far-reaching in its impact. This impact relates to issues of bail, police conduct, the composition of juries, conduct in criminal trials, rules of evidence, sentences, appeals, prison, and probation. Rapid reforms such as this, alongside many ‗initiatives‘ launched under New Labour since 1997, indicate an allencompassing approach towards modernization and change. Thirty eight years since the publication of Bell‘s [1973] post-industrial thesis, it appears to be the case that the criminal justice system of England and Wales faces further changes and continuing dilemmas, particularly those pertaining to the right to non-violent protest and anti-terrorist legislation under the Conservative-Liberal Democrat coalition. It seems increasingly clear that criminal justice policy and agencies must be seen ‗in wider, social, cultural, economic, national and international context‘ [Davies et al, ibid: 418]. Membership of the European Union has rapidly transformed the nature of British sovereignty, though it is contended here that this is not to say that individual nation-states and variations between them are unimportant. New rules, regulations and institutions are forthcoming, and new crimes have to be defined in Brussels and Strasbourg, with new cross- European arrangements introduced. If the UK remains within the European Union, this is likely to provide the main source of change to the criminal justice system in the future.

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CONCLUDING OBSERVATION Concepts such as post-industrialism and globalization may refer to important economic trends over the past 38 years, but they are limited analytical tools with which to analyze developments within the criminal justice system of England and Wales. In order to conceptualize the complex social processes which have impacted upon criminal justice agencies, it is necessary to reject crude, reductionist and unitary explanations such as those offered by Bell [1973], which effectively reduce the great complexity of social life to a single, substantive explanatory principle such as the post-industrial society. Whilst there may be a case for arguing that globalization carries with it transformations which are relevant to the study of criminal justice systems [Muncie, 2007], in terms of a degree of convergence regarding policies, the adoption of similar economic, social, and criminal justice policies by governments does not necessarily equate to uniformity and homogeneity [Cavadino and Dignan, 2006]. There is some evidence to suggest that there is a greater cross-jurisdictional awareness among governments of the urgent need for cooperation in order to deal with crime problems that are not restricted by national boundaries. For example, the UK/USA Drugs Agreement of 1988. In the aftermath of 9/11, it appears to be the case that international cooperation is on the increase among member countries of Interpol. It also appears that there have been distinct shifts in the nature of citizenship, and that views on ‗active citizenship‘ [Walklate, 2007] have taken strong roots in the contemporary political landscape of the UK, and are enshrined in the criminal justice system. However, the determinist meta-narratives of ‗the logic of post-industrialism‘ and ‗globalization‘ are highly contestable. A more sensible and realistic model of social change would recognise that the impact of macrosocial processes pertaining to notions of globalization and post-industrialism are likely to be highly variable and differentially shaped by a wide variety of cultural, economic, and political factors at the national, sub-national and trans-national levels of social process [Sibeon, 1996, 2004]. In an analysis of the criminal justice system of England and Wales, we should avoid accounts which make exaggerated claims that the nation-state is no longer a significant political entity. As Anderson [1991] has suggested, nation-ness remains a universally legitimate value in contemporary political life. An analysis of the current ‗state of play‘ in the criminal justice system in the so-called post-industrial age must also recognise the role played by agency: patterns of social life and the reproduction of social change are, in varied ways, influenced by human social actors whose ways of thinking and formulations of interests and purposes are not structurally predetermined nor guided by inexorable motor-forces of change.

REFERENCES Anderson, B. [1991] Imagined Communities: Reflections on the origins and spread of nationalism. London: Verso. Bell, D. [1973] The Coming of Post-Industrial Society. London: Heinemann. Carlen, P. [1988] Women, Crime and Poverty. Milton Keynes: Open University Press. Cavadino, M. and Dignan, J. [2006] Penal Systems: A Comprehensive Approach. London: Sage. Cook, D. [2006] Criminal and Social Justice. London: Sage.

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Davies, M. et al [2005] Criminal Justice: An Introduction to the Criminal Justice System in England and Wales. London: Pearson Longman. Hutton, W. [1995] The State We‘re In. London: Random House. Muncie, J. [2007] ‗Globalization‘, in E. McLaughlin and J.Muncie [eds.] The Sage Dictionary of Criminology. London: Sage. Owen, T. [2009a] ‗England and Wales: the criminal justice system in ‗post-industrial society‘‘, in J. L. Powell and J. Hendricks [eds.] The Welfare State in Post-Industrial Society: A Global Perspective. New York: Springer. Owen, T. [2009b] Social Theory and Human Biotechnology. New York: Nova Science Publishers. Owen, T. [2012, forthcoming] Criminological Theory: Beyond Postmodernism. London: Palgrave MacMillan. Sibeon, R. [1996] Contemporary Sociology and Policy Analysis: the New Sociology of Public Policy. London: Kogan Page and Tudor. Sibeon, R. [2004] Rethinking Social Theory. London: Sage. Van Swaaningen, R. [2007] ‗Abolition‘, in E.McLaughlin and J.Muncie [eds.] The Sage Dictionary of Criminology. London: Sage. Walklate, S. [2007] Understanding Criminology: Current Theoretical Debates. Maidenhead: Mc Graw Hill/Open University Press.

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INDEX

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A abolition, 145, 146 accessibility, 20 acculturation, 122 activism, 34, 40, 41, 78, 88, 115 adults, 54, 56, 59, 67, 114 advocacy, 34, 35, 41, 43, 112 Africa, 33, 69, 79, 87, 126, 135 African Americans, 30, 49 ageing population, 111 agencies, 4, 5, 35, 69, 84, 125, 145, 146, 147, 148 aggression, 32, 103 agriculture, 35, 68, 69 American culture, 30, 65, 71 articulation, 88, 132, 145 Asia, 27, 33, 37, 64, 69, 104, 135 Asian countries, 135 assimilation, ix, 35, 63, 65, 66, 67, 70, 141 asylum, vii, 25, 27, 31, 33, 34, 35, 36, 37, 41, 44, 45 attitudes, ix, 26, 36, 38, 63, 81, 91, 92, 93, 94, 99, 100, 101, 115, 136, 137, 139 Austria, 7, 64, 111 authenticity, 13, 28 authoritarianism, 87 authority, 7, 12, 13, 15, 57, 81, 82, 83, 86, 146 autonomy, x, 14, 29, 88, 91, 97, 98, 100 awareness, 11, 81, 82, 112, 121, 148

B barriers, 38, 52, 59, 110 basic education, 126 behaviors, vii, ix, 91, 92, 94, 95, 100, 101, 102, 104 beneficiaries, 13, 51, 54 benefits, viii, 8, 23, 25, 35, 41, 55, 58, 69, 83, 101 birthright citizenship, vii, viii, 47, 49, 50, 53, 54, 55, 57, 58, 61

bonds, 137, 138, 139 border control, 35, 67 Border Patrol, 69 border security, 31 Brazil, 80, 119, 121, 126 Britain, viii, 25, 32, 33, 36, 40, 64, 115, 144 Burma, 37

C Cambodia, 37 capitalism, 27, 28, 41, 89 catalyst, 31, 107, 123 Catholics, 64, 66 CBS, 72 Census, ix, 63, 64, 68, 70, 75, 109 CFI, 97, 99 challenges, iv, vii, viii, x, xi, 47, 48, 65, 70, 78, 105, 106, 110, 111, 112, 113, 132, 140, 143 Chamber of Commerce, 68 Chicago, 116 children, viii, ix, 30, 41, 47, 48, 49, 50, 51, 53, 54, 56, 57, 58, 59, 61, 63, 69, 111, 133, 134, 135, 136, 137, 138, 141 China, 34, 37, 41, 49, 68, 70, 72, 135 civic driven change (CDC), ix, 77, 78, 80, 82, 83, 84, 85, 86, 87, 88, 89, 90 civil rights, 26, 28, 30, 57, 106, 114 civil servants, vii, ix, 91, 92, 93, 95, 96, 99, 101 civil society, ix, 5, 6, 7, 28, 41, 77, 80, 82, 83, 86, 88 client-targeted citizenship behaviors (CTCBs), ix, 91, 93 climate, ix, 34, 84, 91, 92, 93, 94, 95, 96, 97, 98, 99, 100, 101, 102, 103, 104, 127, 144 CNN, 54, 59, 61 college students, 55 colleges, 52, 55, 56 Colombia, 70, 128

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Index

Common Foreign and Security Policy (CFSP), 8, 17 Common Market, 21, 22 communication, 19, 86, 120, 124, 139 Communist Party, 68 communitarianism, 36, 37 communities, viii, 25, 26, 30, 31, 32, 36, 38, 39, 41, 81, 88, 107, 114, 121, 125, 146 community, 29, 31, 32, 33, 34, 39, 40, 56, 73, 83, 88, 111, 114, 115, 121, 122, 124, 125, 134, 145, 147 composition, 11, 64, 65, 69, 72, 147 compulsory education, 52 computer, 120, 126, 127 Congress, 12, 50, 52, 56, 57, 58, 65, 67, 68, 115 consensus, 37, 38, 41, 94, 146 Constitution, viii, 3, 6, 7, 8, 9, 14, 15, 16, 21, 22, 23, 47, 48, 49, 50, 51, 53, 58, 59, 65, 90, 134, 135, 136, 139 constitutional amendment, 49, 50, 53, 58 construction, 26, 31, 111, 114, 121, 123, 125, 133 cooperation, 6, 8, 19, 78, 83, 95, 96, 136, 137, 148 correlation, 96, 98, 101 cost, 50, 55, 69, 120, 122, 124, 125, 146 Council of Europe, x, 131, 139, 141 Council of the European Union, 2 country of origin, 38 criminal justice system, 144, 145, 146, 147, 148, 149 cultural differences, 32 cultural identities, 28 cultural norms, 67 cultural practices, 38 cultural transformation, 37 customer-oriented behaviors (COBs), ix, 91, 92

D deficit, vii, 1, 2, 18, 19, 108 dementia, 109, 112, 113, 114, 115 democracy, vii, viii, 1, 2, 4, 5, 6, 7, 8, 11, 20, 22, 23, 25, 32, 43, 66, 69, 73, 80, 83, 88 Democrat, 52, 55, 144, 147 democratization, x, 2, 119, 122, 126 demographic change, 111 demographic transition, 109, 112 Department of Homeland Security, 73 dependency ratio, 109, 111 detention, 27, 33, 34, 35, 36, 41 developed countries, 35, 109 developed nations, 37 developing countries, 26, 33, 109 dignity, x, 41, 131, 132, 133 direct democracy, vii, 1, 5, 20 disability, 29, 30, 40, 107, 109, 113, 114, 115

discrimination, 11, 26, 27, 28, 30, 31, 33, 35, 69, 85, 136 distribution, viii, 14, 15, 25, 27, 40, 82, 122, 125, 145 diversity, x, 29, 32, 36, 38, 40, 80, 88, 113, 116, 131, 132, 133, 139 dominance, 22, 38, 82 Dominican Republic, 70, 71 Dream Act, vii, viii, 47, 48, 51, 52, 54, 55, 56, 57, 58, 59, 60, 61

E East Asia, 33 East Timor, 37 Eastern Europe, 65 economic development, ix, 37, 63, 71, 109 economic growth, ix, 37, 63, 111 economics, x, 105, 107 education, x, xi, 31, 38, 39, 44, 50, 51, 52, 54, 55, 56, 57, 58, 59, 69, 73, 119, 120, 122, 123, 126, 127, 131, 132, 133, 134, 135, 136, 137, 138, 139, 140 educational attainment, 70, 71 educational institutions, 69, 139 educational opportunities, 51, 71 educational system, x, 131, 132 Egypt, 84, 87 El Salvador, 70, 71 elderly population, 113 election, 4, 34, 66, 112, 144, 147 employees, 92, 93, 94, 95, 96, 101 employers, 67, 68, 69 employment, 31, 40, 52, 109, 110, 111 empowerment, 82, 83, 84, 112 enforcement, vii, 1, 51, 67, 106 England, xi, 32, 64, 70, 71, 143, 144, 145, 146, 147, 148, 149 environment, x, 70, 79, 80, 89, 92, 93, 94, 103, 119, 124, 125, 127, 137 equality, 4, 20, 35, 39, 41, 79, 80, 106, 109, 111, 132, 133, 134, 138, 139 equity, 86, 87, 89, 138 ethnic diversity, 36, 40 ethnic groups, 41, 68 Europe, x, 2, 6, 7, 8, 14, 21, 22, 23, 51, 64, 108, 109, 111, 115, 116, 131, 135, 138, 139, 141 European Central Bank, 8 European Citizens‘ Initiative, vii, 1, 6, 7, 10, 11, 20, 21 European Commission, 2, 5, 6, 10, 11, 13, 19, 20, 109, 110, 114, 139 European Court of Justice, 6, 22

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Index European Parliament, 2, 4, 5, 6, 7, 9, 10, 11, 12, 13, 17, 19, 21, 22 European Union (EU), vii, 1, 2, 3, 4, 5, 6, 7, 9, 10, 11, 12, 13, 14, 15, 16, 17, 18, 19, 20, 21, 22, 23, 90, 111, 114, 117, 140, 147 European Union (EU) citizens, vii, 1, 2, 4, 5, 9, 10, 11, 13, 14, 15, 16, 17 exclusion, vii, viii, 11, 25, 26, 27, 31, 37, 38, 39, 41, 47, 48, 53, 57, 58, 82, 108, 109, 111, 114, 115, 121, 137 exercise, x, 20, 57, 82, 113, 119, 120, 121, 125 exploitation, 35, 85, 122, 124

F

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fairness, 93, 100, 104 families, 30, 42, 52, 78 fear, viii, 9, 25, 28, 34, 65, 73 federal aid, 58 federal funds, 67 federal government, 34, 56, 68, 69 federal law, 49, 58, 69 financial, 12, 52, 55, 57, 89, 110, 111, 125 force, 7, 10, 15, 16, 18, 20, 73, 78, 82, 84, 106, 109, 111, 113 forced migration, 31, 35 Fourteenth Amendment, 49, 61 France, 1, 33 freedom, x, 39, 57, 97, 106, 131, 144 full employment, 40

G Gallup Poll, 60 GATT, 41 gender differences, 86, 137 Geographic Information System (GIS), x, 119, 120, 122, 123, 124, 126, 127, 128, 129 geography, 122, 123, 124, 127, 128 Georgia, 50, 55, 70 Germany, viii, 7, 19, 63, 70, 71, 111 global security, 33, 34, 36, 41 globalization, xi, 43, 143, 148 government policy, 37, 110, 112 governments, 16, 33, 35, 37, 50, 121, 148 GPS, 124, 125, 127 Great Britain, 115 growth, ix, 27, 37, 63, 64, 77, 111, 122, 127, 132, 133, 145, 147 Guatemala, 70, 71, 88 Guinea, 32

153

H Haiti, 70 health, x, 38, 42, 105, 109, 111, 113, 114, 116 health care costs, 111 hegemony, 35, 37, 120 high school, 51, 52, 54, 55, 56, 57, 71, 134 high school diploma, 54, 71 higher education, 51, 52, 55, 57 Hispanic population, 53, 54 homework, 134, 136, 138 homogeneity, 148 Honduras, 70, 71 House of Representatives, 49, 52 human agency, 79, 89 human behavior, 93, 94 human capital, xi, 38, 132 human dignity, 41, 133 Human Resource Management, 104 human right, x, xi, 26, 27, 34, 35, 37, 40, 42, 43, 105, 107, 108, 114, 115, 116, 131, 132, 146 Hungary, 7, 64, 111

I identification, 12, 109 identity, 19, 26, 28, 29, 30, 32, 34, 36, 37, 40, 43, 58, 59, 64, 73, 78, 80, 81, 82, 84, 85, 105, 132, 136, 137, 138 illegal aliens, viii, 47, 48, 50, 69 Illegal Immigration Reform and Immigration Responsibility Act, 69 immigrants, vii, viii, ix, 47, 48, 49, 50, 51, 53, 54, 55, 56, 57, 58, 59, 61, 63, 64, 65, 66, 67, 68, 69, 70, 71, 72, 73 immigration, viii, ix, 34, 35, 36, 37, 42, 43, 47, 48, 49, 50, 51, 52, 53, 55, 56, 57, 58, 60, 61, 63, 64, 65, 66, 67, 68, 69, 70, 71, 73 Immigration Act, 65, 68 Immigration and Nationality Act, 65 imperialism, 41, 44, 108 indentured servant, 64 independence, 37, 136, 137 India, 70, 71, 122 individual action, 113 individual rights, x, 20, 108, 131, 133 Indonesia, 33, 37 INS, 69, 74 institutions, vii, 1, 2, 3, 4, 5, 7, 8, 9, 10, 11, 12, 16, 17, 18, 19, 37, 39, 52, 57, 58, 69, 79, 84, 88, 106, 120, 125, 126, 135, 139, 146, 147

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Index

integration, ix, x, xi, 2, 63, 73, 110, 116, 119, 124, 126, 132, 133, 134, 139 Ireland, 51, 64, 105, 107, 108, 111, 112, 114, 115 Islam, 26 Italy, xi, 1, 3, 7, 14, 15, 64, 70, 131, 134, 137, 138

J Jamaica, 70, 71 Jamestown, 47 Japan, viii, 63 jihad, 44 job satisfaction, 100, 104 juries, 147 jurisdiction, 48, 49, 50 just society, 27 justification, 9

K Keynes, 148 kindergarten, 70 kinship, 28 Korea, 37, 70, 71

N

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L labor market, 38, 69 Laos, 37 Latin America, 64, 69, 121 Latinos, 56, 59, 60 Latvia, 7, 111 laws, 8, 16, 35, 51, 52, 55, 67, 107, 146 leadership, ix, 77, 104 learning, x, 41, 51, 79, 86, 119, 121, 124, 126, 127, 135, 138, 139 legal protection, 108 legislation, viii, ix, 2, 4, 9, 13, 27, 33, 34, 38, 47, 48, 50, 51, 52, 55, 56, 58, 63, 66, 67, 68, 69, 70, 88, 110, 112, 115, 144, 146, 147 Lithuania, 7, 14 local authorities, 146 local government, 69 Louisiana, 50 Luxemburg, 114

M Maastricht Treaty, 2 Malaysia, 32 man, 40, 120, 126

management, 31, 33, 81, 92, 112, 121, 124, 146 Maryland, 55, 64 mass media, 26, 43 media, viii, 25, 26, 31, 33, 34, 37, 43, 87, 124 mediation, 8, 84, 146 medical, 112, 113 Mexico, ix, 55, 60, 63, 64, 68, 69, 70, 71, 88 Miami, 137 middle class, 26, 37, 88 Middle East, 26, 32 migrants, vii, 25, 26, 27, 31, 33, 36, 38, 58, 73 Minneapolis, 43 minorities, 37, 38, 39, 41 modern society, x, 131 modernity, 29, 44, 106, 109 modernization, 147 motivation, 17, 93, 94, 95, 101, 102 multiculturalism, 31, 34, 36, 37, 38 multimedia, 121, 122, 123, 124, 126 multinational companies, 27, 40 Muslims, 26, 29

NAFTA, 41 narratives, 43, 71, 116, 148 nation states, 36, 40, 105, 106 National Association of Manufacturers, 68 national origin, 14, 68 national security, 57 nationalism, 28, 29, 148 nationality, ix, 14, 15, 28, 63, 65, 68, 70, 107, 135 Nauru, 32 Netherlands, 7, 77, 84, 111 New South Wales, 25, 41, 44 NFI, 97, 99 NGOs, 12, 84 Nigeria, 26, 102 noncitizens, 39, 41, 69, 107 North Africa, 79, 87

O Obama, 57 OECD, viii, 25 old age, 108, 110, 111, 116 opinion polls, 55, 67 opportunities, xi, 51, 68, 71, 127, 131, 132, 138, 140 organizational behavior, 95 organizational citizenship behavior (OCB), ix, 91 organizational culture, 94

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P Pacific, 37, 104 parents, viii, 48, 49, 50, 51, 53, 54, 58, 133, 134, 135, 137, 138 Parliament, 2, 3, 4, 5, 6, 7, 9, 10, 11, 12, 13, 17, 19, 21, 22, 113 participants, 112 participatory democracy, 4, 5, 6, 11, 23 patriotism, 71 penalties, 34, 69, 70, 146, 147 Peru, 70 Philadelphia, 64, 114 Philippines, 37, 70, 71 pluralism, 36, 133, 139 Poland, 7, 16, 70 police, 8, 28, 67, 69, 70, 145, 146, 147 policy choice, 5 policy initiative, 145 policy makers, 67 policy making, 37, 41, 78 political force, 84, 85, 113 political participation, 13 political party, 67, 84, 88, 112, 113, 116 political system, 3, 81 politics, viii, ix, 25, 28, 29, 33, 34, 35, 39, 40, 43, 61, 65, 74, 77, 78, 80, 84, 86, 87, 88, 89, 106, 110 polling, 53, 55 population, 27, 33, 35, 41, 51, 53, 54, 59, 64, 70, 96, 108, 111, 113, 116, 121, 138, 145, 146, 147 Portugal, 7, 128, 129 post-industrial society, xi, 31, 143, 146, 148, 149 poststructuralism, 29 poverty, 31, 35, 52, 67, 78, 82, 110, 111 prejudice, 27, 36, 38, 39, 41 president, 20, 56, 63, 65, 66, 68, 72, 73, 74 principles, ix, 3, 4, 27, 73, 77, 106, 107, 108 project, x, 11, 85, 119, 125 property rights, 27, 40 proposition, ix, 77, 83, 85, 87, 89 protection, 12, 15, 27, 51, 108, 146 public education, 51, 57, 58, 59 public opinion, viii, 3, 4, 5, 12, 16, 37, 48, 67 public policy, viii, 25, 80, 144 public schools, x, 50, 51, 68, 69, 70, 119, 126 public service, 69, 84, 96, 125 public support, viii, 25, 33 Puerto Rico, 48

Q Quakers, 66

155

qualifications, 52, 57, 58 questionnaire, 96, 133

R race, 27, 28, 29, 30, 31, 32, 33, 40, 42, 43, 65 racial differences, 41 racial typing, viii, 25 racism, vii, viii, 25, 26, 27, 28, 29, 30, 31, 33, 35, 37, 38, 39, 41, 43, 139 racist White Australia policy, vii, 25 reality, 82, 120, 122, 123, 127, 132, 139 reasoning, 8, 18, 124, 139 recession, 70, 111, 144 recognition, 15, 34, 78, 79, 80, 87, 88, 120, 132, 133, 139 reform, vii, 1, 3, 21, 22, 32, 36, 49, 50, 52, 56, 57, 59, 60, 67, 69, 74, 146, 147 refugees, viii, 25, 26, 27, 28, 31, 33, 34, 36, 37, 42, 43, 45, 67 religion, 28, 66, 80, 107, 135, 141 religiosity, 139 reproduction, viii, 25, 43, 86, 120, 148 resources, viii, x, 25, 27, 36, 40, 59, 81, 96, 110, 119, 121, 127, 132, 134, 138, 145 restrictions, viii, ix, 16, 25, 35, 63, 111 retirement, 108, 109, 110 RMSEA, 97, 99 Romania, 7, 14 roots, 2, 145, 146, 148 rule of law, 13, 17 rules, vii, 1, 3, 10, 11, 12, 13, 18, 20, 38, 79, 82, 86, 139, 147 rural areas, 111 Russia, 64, 70, 71

S safe haven, 27 safety, 34, 57, 66 sanctions, 35, 67, 69 school, x, xi, 50, 51, 52, 54, 55, 56, 57, 58, 66, 68, 69, 70, 71, 72, 119, 120, 124, 126, 127, 131, 133, 134, 135, 136, 137, 138, 139, 141 second generation, 38, 137, 141 second language, 134 Second World, 28, 37, 107 secondary education, 52, 126 security, viii, 12, 25, 26, 28, 31, 32, 33, 34, 35, 36, 37, 39, 41, 44, 57, 61, 78, 145, 147 segregationist discourse, viii, 25 Senate, viii, 47, 48, 51, 52, 60

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156 sensing, 124, 126, 127, 128 September 11, 34 service quality, x, 91, 102 services, iv, 39, 52, 57, 69, 88, 93, 125, 126 sexual identity, 40 shape, vii, 1, 27, 40, 80, 84, 101 Singapore, 37 Single European Act, 9 skin, 30, 90 slavery, 49 slaves, 49, 81 Slovakia, 7 smuggling, 33, 69 soccer, 34, 38 social behaviour, 83, 85, 88 social capital, xi, 38, 84, 90, 112, 132, 134 social change, 40, 127, 146, 148 social class, 39, 115, 141 social context, 26, 28, 94, 101, 113 social exclusion, vii, viii, 26, 27, 31, 38, 41, 47, 48, 57, 108, 109, 121 social expenditure, 36 social group, 28, 29, 39, 121 social identity, 28, 105, 136 social inequalities, viii, 25, 26 social justice, 27, 37, 45, 80, 88, 145 social life, 79, 80, 106, 120, 132, 148 social order, viii, 25, 30, 34, 106 social participation, 111, 121 social policy, 34, 39, 40, 41, 42, 89, 110, 114, 116, 144 social relations, 28, 29, 79, 80, 122 social responsibility, 82, 89 social services, 39, 52, 57 social welfare, 27, 32, 37 socialization, vii, x, 119, 120, 121, 126 sociology, 40, 79, 116 software, x, 119, 124, 125 solidarity, 2, 38, 120, 127, 137 South Africa, 33 South Korea, 37 sovereign state, 19 Spain, 7, 91 spatial information, 120, 122, 125, 126 stakeholders, 5, 10, 41 standard deviation, 98 standard of living, 39 state control, viii, 25 state laws, 55 state legislatures, 50 statehood, 80 structural barriers, 110 structural equation modeling, 97

Index structure, 29, 30, 79, 83, 90, 97, 120 subjectivity, 29, 30, 80 substantially transformed, 124 supervisor, 95, 96, 100 Supreme Court, 49, 50, 52, 66 sustainable development, 91, 114 Sweden, 113 Switzerland, 15

T Taiwan, 70, 71 Task Force, 73, 74 taxes, 7, 16, 56, 58, 68, 145 teachers, xi, 73, 126, 127, 132, 136 teaching/learning process, 138 technology, x, 87, 107, 119, 120, 123, 124, 126, 127, 146 territorial, 6, 14, 15, 121 territory, x, 2, 15, 131, 132 terrorism, viii, 25, 34, 37, 42 third dimension, 58 Third World, 29, 116 threats, 66, 110, 144 trade, 35, 36, 82, 88 trafficking, 31, 34, 35, 80 transformation processes, x, 119, 127 transport, 39, 123 transportation, 68, 126 Treaty of Amsterdam, 7, 22 Treaty on European Union, 10 tuition, 52, 55, 56, 58

U U.S. District Judge, 69 U.S. history, 73 U.S. labor market, 69 UNHCR, 33, 45 United Kingdom (UK), xi, 41, 44, 107, 110, 112, 115, 116, 143, 144, 145, 146, 147, 148 United Nations (UN), 27, 35, 40, 45, 80, 108, 116 United States (USA), viii, ix, 7, 25, 28, 30, 33, 34, 41, 42, 47, 48, 49, 50, 51, 52, 53, 54, 57, 58, 59, 61, 63, 64, 65, 66, 67, 68, 69, 70, 71, 72, 73, 74, 107, 109, 141, 148 universities, 52, 55, 56, 72 upward mobility, 31 urban, 32, 38, 81, 88, 124, 127 Urban Institute, 61 Uruguay, 11, 20 USSR, 70

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Index

V victims, 15, 35, 146 Vietnam, 37, 70 violence, 28, 31, 32, 66, 67, 136 violent crime, 15 vote, 3, 4, 7, 15, 16, 33, 39, 50, 52, 56, 57, 60, 82, 106, 112 voters, vii, 1, 3, 7, 14, 54, 56, 60, 65, 67 voting, 5, 14, 67, 86, 112, 114 vulnerability, 113, 145

W

West Indies, 69 Western countries, 28, 108 White Paper, vii, 1, 5, 141 Wisconsin, 55 work climate, 101 work environment, 93, 103 workers, ix, 26, 63, 67, 68, 69, 92, 93, 95, 101 working class, 26, 30, 31, 32, 39, 41, 57 working conditions, 35 workplace, 35, 93, 94, 95, 102, 103, 146 World Bank, 90 World Health Organisation (WHO), 108, 116, 117 World War I, 71 WTO, 41

X xenophobia, 66, 67

Y young adults, 54, 59 young people, 32, 44, 127 young women, 32 youth studies, 42

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wages, ix, 58, 63, 66, 68, 111 Wales, xi, 25, 41, 44, 64, 143, 144, 145, 146, 147, 148, 149 war, 26, 28, 37, 42, 43, 66, 102 Washington, 20, 55, 60, 61, 66, 74 waste, 28, 38 water, 40, 127 wealth, 31, 34, 41, 89 web, x, 2, 15, 90, 119, 122, 124, 125 welfare, viii, xi, 25, 26, 27, 31, 32, 36, 37, 39, 40, 41, 43, 45, 57, 69, 115, 143, 144, 145

157

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