1 Introduction and background in:

Lilija Wiebe

Rethinking Social Integration, page 1 - 14

Comparing Martha Nussbaum's Capabilities Approach and Friedrich Heckmann's Theory of Integration for the Context of Refugees

1. Edition 2020, ISBN print: 978-3-8288-4434-6, ISBN online: 978-3-8288-7448-0,

Series: Wissenschaftliche Beiträge aus dem Tectum Verlag: Sozialwissenschaften, vol. 93

Tectum, Baden-Baden
Bibliographic information
1 1 Introduction and background 1.1 Introduction Two weeks before the recent election for the German federal parliament (Bundestag) in September 2017 immigration was the most important issue for Germans to be taken care of by the new government (infratest dimap 2017:n.p.). 44% of respondents mentioned the topic as an answer to the question: “What do you think are the most important political problems in Germany that need to be resolved urgently?” In comparison, only 5% of respondents mentioned the topic as important in the year 2013 (Pätzold u.a. 18.09.2017:n.p.). At least since the “refugeecrisis”2 in mid-2015 the topics of immigration and integration are important and urgent topics in German politics, civil society and also in science. This study takes up two recommendations of experts. Firstly, as a measure for sustainable refugee and integration policies, it is recommended to use experience and approaches from development work (Erler & Gottstein 2017:164). Secondly, it is repeatedly pointed out that integration work should focus on the capabilities, potentials and opportunities of refugees (Mülich, Bungardt & Meineke 2003:68; Slaughter & Leeson 2017:6; Younso & Borkowski 2016:275; Worbs, Bund & Böhm 2016:311; Bröse 2015). These two recommendations from the academic community are implemented in this study for the integration of refugees. This study focuses on refugees because on the one hand, it is, as described earlier, a very urgent and important topic in Germany at this time and on the other hand, refugees are the most vulnerable migrants. Refugees belong to the group of “Humanitarian migrants”3, who are especially vulnerable in the integration process (Konle-Seidl 2016:20). The aim of this study is to find out whether a combined theory of an approach from the development work −the Capabilities Approach according to Martha Nussbaum– and Heckmann’s Integration Theory is able to direct the focus of integration theories away from the weaknesses and towards the capabilities of the refugees. The fact that the focus of this study is on refugees does not mean that it would not be applicable to the integration process of other migrants as well. 2 The event, starting in mid-2015, that an unusually high number of refugees entered Germany and applied for asylum was called the “refugee-crisis”. 3 For a detailed description about migrants see 1.9 Clarification of key terms. 2 Because refugees are a group of migrants, and since the existing literature on migration and integration often does not differentiate between the diverse groups of migrants, this research study includes “refugee” in the term “migrant”. Every time the term “migrant” or “immigrant” is used, the meaning “refugee” is included. After the background and overview on this study have been given in the first chapter, the second chapter presents the situation of migration worldwide and in Germany. The two theoretical frameworks and the method of this work are discussed in detail in chapters three and four. The fifth and sixth chapters describe the two theories and their relation to the respective core elements of the other theory. In the last chapter, the interconnection of the two theories takes place. This chapter, chapter one, presents the background and an overview of the study. To illustrate in which framework this study takes place, the background to the research problem is presented first. Then the research problem is formulated and the research objectives are determined. The scope and the limitations of the study show the range of the study. The reasons why this research is meaningful can be seen under the importance of the study in 1.6. below. After the chosen method is briefly described, the ethical considerations regarding this study are reported. At the end of this chapter the key terms are clarified and the chapters are outlined in detail. 1.2 Background to the research problem In 2015 the number of forcibly displaced individuals worldwide has reached record high numbers. 63.5 million people were displaced, which is 5.8 million more than in 2014 (UNHCR 2016:2–3). Poverty, underdevelopment, lack of opportunities, poor governance and environmental factors are the main causes of flight (United Nations 2016:23). In Germany the year 2015 is called: “The Year of Refugees”. In the same year Germany received the world´s most applications for asylum. Although foreigners have been coming to Germany for a long time, the German Government refused for years to acknowledge the fact that Germany was an immigration country (Woellert u.a. 2009:12). The effect was that integration and integration efforts were seen as irrelevant. This view has only started to change since 2007, when the German Government launched the “National Plan for Integration” (Hessisches Ministerium für Soziales und Integration 2015:10). Klaus Bade sees in the long-standing rejection of these themes the reason for the integration 3 deficits4 of migrants in Germany. He pleads for a “Rectifying Integration politic” (Bade 2007b:34). At present the German Government and its civil society are not ignoring the challenge to actively integrate so many people from different cultures and backgrounds. Instead they are at a point of rethinking and redefining rights and duties of the asylum seekers. Scientists define Germany as a “post-migration”5 country and urge for a change in the social structures (Foroutan 27.08.2016:11–13). Besides that, in 2016 the German parliament released a new law (Integrationsgesetz), which is meant to organize the integration process in the future. The aim is to assess the different skills and prospects of asylum seekers and to offer them appropriate measures and services. Beyond this, the law intends to support, as well as to demand, integration efforts in order to achieve a rapid and sustainable integration. (Bundesregierung Deutschland 2016b:1; Bundestag 2016). Clearly, integration is the goal, but the current question is: “How can integration be achieved?” This study contributes to this discussion. Internationally the needs of refugees, internally displaced persons and migrants are recognized by the United Nations (UN) in the agenda of the Sustainable Development Goals (SDGs), (United Nations 2016:4). The Sustainable Development Goals 2030 launched by the UN in 2015 are: to end poverty, protect the planet, and ensure prosperity for all. “Facilitate orderly, safe, regular and responsible migration and mobility of people, including through the implementation of planned and well-managed migration policies” (United Nations 2015:21) are contents of the SDG 10 “Reduce inequality within and among countries”. Likewise, the resolution demands to “[…] cooperate internationally to ensure safe, orderly and regular migration involving full respect for human rights and the humane treatment of migrants regardless of migration status, of refugees and of displaced persons” (:8). For the goals to be reached the SDGs put, in contrast to the Millennium Development Goals (MDGs), every human being in charge of contributing to its fulfilment. Since my background is in Development Studies, my ultimate 4 Integration deficits are conditions, in which the goals of integration (see 1.9 Clarification of key terms) are not/not yet reached. Such integration deficits would be: stagnant or declining integration of migrants in the labour market and in education; and, an increase in dependence on welfare benefits for immigrants (Heckmann u.a. 2000:20). These deficits can originate from the migrants themselves or have their origin in the host society (Woellert u.a. 2009:81). 5 For a detailed definition of the term see 1.9 Clarification of key terms and 3.2 Integration. 4 goal, with this proposed study, is congruent with that of human development: “Human development is about enlarging human choices−focusing on the richness of human lives rather than simply the richness of economies (Jāhāna 2015:1)“. All human beings should have a choice to live a long and healthy life, to obtain knowledge and to have access to the resources required for a decent standard of living (OECD 2008:368). Especially the most vulnerable ones in society need empowerment to be able to reach a life which they themselves value. This is why one of the theoretical frameworks of this study is the Empowerment Approach. The second theoretical framework is that of integration. According to the Federal Office for Migration and Refugees (BAMF) integration is about integrating migrants and refugees in order that they become full and equal participants in all areas of society (BAMF 2014b:2). Notable overlaps occur when the objectives of the Capabilities Approach are added. The main question of the Capabilities Approach is: “What is each person able to do and to be?” (Nussbaum 2013:18). One important foundation of the approach is that each person is an end in him- or herself (:18,35) and that every individual is seen worthy of respect and regard (:35). From this very short outline of the Capabilities Approach and integration it is obvious that they are mutually dependent. To become a full and equal participant in all areas of society (integration), one needs to have the choice and be enabled to do so (Empowerment and Capabilities Approach). Conversely, getting the choices and enablement to choose a life worthy of human dignity (Empowerment and Capabilities Approach) empowers the migrants to become full and equal participants in all areas of society (integration). Both frameworks are outlined in the third chapter. The Capabilities Approach is considered as a useful theoretical approach to bring migration and development together (Dodd, Preibich & Su 2014:2–3; EKD 2015:57). Moreover, the approach has already been used in refugee-supporting-situations (Clarke 2013; Kyunghwan 2012) but, according to my research, not yet in the German context. Another reason that speaks for combining the Capabilities Approach with integration theory is that, as mentioned earlier, German scientific literature calls for integration programmes to focus more on the skills and abilities of the refugees than on their weaknesses (Mülich, Bungardt & Meineke 2003; Bröse 2015; Younso & Borkowski 2016; Slaughter & Leeson 2017; Worbs, Bund & Böhm 2016). The question is therefore how the Capabilities Approach and integration can be brought together for optimal purpose. The theory that would be complemented by the 5 Capabilities Approach is Friedrich Heckmann’s Integration Theory. Friedrich Heckmann developed a “Theory of Successful Integration” for the German context (Heckmann 2015:289). Both theories and the corresponding literature are reviewed in detail in the chapters five and six. 1.3 Problem statement As shown above the German society is presently challenged to rethink and perhaps redefine integration and social opening. Since the German integration discourse does not have an integration theory with the emphasis on the capabilities of the immigrants, most of the integration initiatives launched focus on the weaknesses and perceived needs of the refugees rather than their capabilities (Mülich, Bungardt & Meineke 2003:65). This leads to the question: Can Heckmann’s theory, developed for the German context, be complemented by the Capabilities Approach – according to Martha Nussbaum − to change the focus to the capabilities of the refugees? 1.4 Research Objectives The goal of this study is to compare the Capabilities Approach –according to Nussbaum− and Heckmann’s Theory of Integration by means of a complementation in order to direct the focus of integration theories away from the weaknesses so that the capabilities of the refugees in Germany are realised. Secondary objectives are: (a) Outline the challenges for the integration of refugees in Germany. (b) Discuss Heckmann`s Theory of Integration. (c) Characterize the Capabilities Approach in terms of an application to refugees. (d) Explore ways of interlinking both theories to foster the integration of refugees in German society. 1.5 Scope and limitations of the study National and provincial governments have recognised that refugees and immigrants do have capabilities and that it would be wise for the integration process to unlock these potentials (Bundesregierung Deutschland 2016b:1) Furthermore, German scientific literature calls for a focus on the skills and abilities of the refugees. In spite of this, the German integration discourse still does not have an integration theory which 6 emphasises the capabilities of the immigrants. This study intends to change this by consolidating the Capabilities Approach with an integration theory. The result may give Non-Governmental Organisations (NGOs) and government agencies in Germany an orientation and direction for their future integration assistance- and aid-programming. It would not be possible to consider all German theories of integration at this point. My choice fell on Friedrich Heckmann`s theory since it is already used in practice as the basis for integration concepts, for example in the integration management and monitoring plans of the Federal State of Hessen (Hessisches Ministerium für Soziales und Integration 2015:10) and the city of Kassel (Stadt Kassel 2012:5). Furthermore, this research study will focus on Marta Nussbaum’s Capabilities Approach and will not, in this context, debate other development approaches. 1.6 Importance of the study The importance of this study becomes evident in the following three reasons: The first reason is the need for increased focus on the capabilities of refugees in the integration process. As already indicated above, German scientific literature calls for stronger focus on the skills and abilities of refugees in the integration process. An example that represents this need is contained in the recommendations of the Refugees Study Centre that asks for livelihood aid programming to shift towards considering values and capabilities of refugees. In this context, “values and capabilities“ mean that a person must have real opportunities to achieve the kind of life that the person values (Refugee Studies Center 2017:6; Slaughter & Leeson 2017:6). The need for an increase in focus on “capabilities” is also visible in a statement of the German Government that integration can be successful if the policies of a country awaken and build on the potentials of the immigrants. Successful integration actively involves and supports the migrant in a participatory process. (Die Bundesregierung 2007:13). The second reason for the importance of this study relates to missing structures. In a report by the Heinrich Böll Foundation on the topic of “Immigration Country Germany − Perspectives for a forward-looking 7 and sustainable refugee and immigration policy”6 the authors Erler and Gottstein point out that there is not only insufficient focus on the resources of the refugees but there are also no structures that enable activation of the potentials of the refugees (Erler & Gottstein 2017:165). The combined theory as it is developed in this study aims to be a basis for structures, aid programming and integration assistance that build on the capabilities of the refugees. The third reason arises from the recommendation, of Erler and Gottstein, for action. The two authors recommend that integration assistance should be built on the experience of migrant organisations, diaspora and development work (:165). This recommendation demonstrates the importance of this study, which is based on an approach that originated in development work. 1.7 Research methodology Based on comparative analysis I will bring into relation the Theory of Successful Integration by Heckmann and the Capabilities Approach by Nussbaum by interlinking both theories. The aim is to investigate in which way(s) the Capabilities Approach can complement the Theory of Successful Integration. As method the “Coordinated Theory Comparison” according to Schneider is indicated (Schneider 1999:290). The Coordinated Theory Analysis means to identify problem areas in the respective theories. It aims to find out whether the two theories may complement each other. The aim is not, as in the conventional way of theory comparison, to compare main concepts of theories in order to interrelate them (Greshoff 1999a:16). During the course of this study the strengths and limitations as well as the likeness and contradictions of the two theories will be explored. Additionally, the connection between the respective core elements of the theories will be demonstrated. Thereafter the interpretation and explanation potential and possibilities of supplementation of the Capabilities Approach to Heckmann’s Integration Theory will be elaborated on. This way of comparing two theories makes it possible to fill in any gaps in either one or both of the two comparative theories (Schneider 1999:290). 6 Translation by the author. Original: “Einwanderungsland Deutschland. Perspektiven für eine zukunftsgerichtete und nachhaltige Flüchtlings- und Einwanderungspolitik. 8 1.8 Ethical considerations In a theoretical work, there are not many ethical concerns to consider. Despite this, the basic condition remains that no one should be harmed by this work. Moreover, I respect and do not abuse the intellectual property of the authors quoted in this research study. Further ethical considerations are listed under 4.4. 1.9 Clarification of key terms Refugee According to the “Convention relating to the Status of Refugees” adopted on 28 July 1951 in Geneva, a refugee is person who has a “ [...] 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; or who, not having a nationality and being outside the country of his former habitual residence as a result of such events, is unable or, owing to such fear, is unwilling to return to it” (United Nations Conference 1951:2). It must be noted that people are leaving their homes for more reasons than listed in this convention, such as insecurity because of war, hopeless economic situations and ecological changes in their regions. To fill this conceptual gap Alexander Betts developed the concept of the ‘survival migrant”. By his definition, survival migrants are “[...] persons who are outside their country of origin because of an existential threat for which they have no access to a domestic remedy or resolution” (Betts 2013:23). Asylum Article 16a of the Constitution of the Federal Republic of Germany (Grundgesetz) grants politically persecuted people asylum in Germany. In addition, people who need refugee protection for reasons listed in the 1951 Geneva Refugee Convention enjoy these rights as well (BAMF 2014a:30). Subsidiary protection In case it is not possible for a person to be accepted as described above, it is still possible to avoid deportation and to gain the right of residence. If a person, in the event of a deportation, will come under the threat of serious harm or other severe dangers to freedom, life and limb in the 9 destination country, he/she might receive protection from these dangers, which is titled as subsidiary protection (Parusel 2010:21). Migrant/Migration In this study migration is defined and used as in the official definition of the German Federal Office for Migration and Refugees: “Migration is when a person spatially moves his/her centre of life. International migration is when this happens across state boundaries”7 (BAMF & BMI 2015:30). Accordingly, migrants are people that have left, either for a short time or forever, their previous centre of life. In this sense refugees are migrants as well. For this reason refugees, people with subsidiary protection or other protection status as well as resettled refugees are referred to as “Humanitarian migrants” (Konle-Seidl 2016:20) or ‘survival migrants” (Betts 2013:23). Even so refugees vary from other migrant groups (e.g. EU free-mobility zone, labour migrants and family migrants) (Konle-Seidl 2016:20), nevertheless, they migrate as defined. As already described in the introduction of this work, the term migrant or immigrant also includes the refugee. The United Nations distinguish migrants as long-term immigrants (or emigrants), short-term immigrants (or emigrants), residents returning after (or leaving for) a period working abroad and nomads (OECD 2008:484). In general, there are several ways to migrate into Germany. For example: ― free movement of EU nationals (BMI n.d.) ― residence permit for qualified professionals and as trainee (BAMF 2014c:27) ― resettlement of ethnic Germans8 (:27) ― family reunification (BAMF 2013b) People with a migration background There is a group of people in Germany, that is called “people with migration background”. They are people, either foreigners or Germans, who themselves, their mother or father, or both, immigrated to Germany 7 Translation by the author. Original: “Von Migration spricht man, wenn eine Person ihren Lebensmittelpunkt räumlich verlegt, von internationaler Migration, wenn dies über Staatsgrenzen hinweg geschieht.“ 8 People who are ethnic Germans from the successor states of the former Soviet Union and from other Eastern European states are referred to as Ethnic German resettlers (BAMF n.d.). 10 after 1949 (Hessisches Ministerium für Soziales und Integration 2015:7). Internally displaced people Internally displaced people are people that are displaced within the borders of their own countries due to armed conflict, generalized violence, and human rights violations (UNHCR 2016:29). Integration Integration is about preserving the traditional culture of origin and simultaneously adopting the new majority culture (Findte 2011:27). The word is derived from the Latin “Integrare”, meaning “to include and incorporate”. Therefore, integration means both “inclusion” and “restore to a whole”. In politics integration also refers to maintaining the social cohesion (Hessisches Ministerium für Soziales und Integration 2015:7). This will be further expanded in chapters 2 and 3. Integration indicators In order to reach improved comparability among EU Member States, the 2010 Zaragoza Declaration decided on a set of integration indicators that are measured in terms of employment, health, education, social inclusion and active citizenship in the hosting country (Eurostat 2015:1). Processes of integration happen and can be measured at the individual, organizational, and institutional level (Penninx & Garcés-Mascareñas 2016:17–18). Both larger and smaller German cities develop and test their own indicators. This leads to a variety and differences in details concerning the design and implementation of local monitoring systems (Bundeszentrale für politische Bildung 2010:1). Post-Migration Those societies, where immigration and emigration are recognised as a phenomenon that characterizes the country as a whole can be described as “post-migration”. The fact of migration can be discussed, regulated, and negotiated, but it is irreversible. Furthermore, the social change in the basic structure of a heterogeneous society is politically recognized (“Germany is an immigration country”), regardless of whether this transformation is evaluated positively or negatively. Naika Foroutan calls post-migration societies “negotiation-societies”. In her opinion, the established cultural, ethnic, religious and national elites need to learn that positions, access, resources and standards are renegotiated. A society which accepts that it is a “post-migration” society would mirror 11 the actual percentage of migrants in all aspects of life, for example, in migrant’s representation in leading positions. Such a society would naturally adapt structures, institutions, and political cultures to the approved migration reality. This would bring more permeability in society. In a “post-migration” society, the structures, inter alia, would enable migrants to gain promotion in any area of life. Changes of this nature would also give rise to defensive reactions and distribution battles inside the society (Foroutan 2016:11–12). Assimilation Friedrich Heckmann describes assimilation as a one-sided process, in which immigrants and their descendants abandon their culture and take on that of the immigration country. Looking at that aspect from the view of European history, assimilation was used as a concept and a policy for attempting to create culturally homogeneous nations (Heckmann 2015:75). Inclusion Inclusion is a unconditional allegiance of all (Schröer 2013:252). The concept of inclusion is measured by the success or failure to enable equal participation of migrants in all parts of social society (Bade & Bommes 2004:9). The difference between integration and inclusion and the arguments for and against the two terms are explained in more detail in 3.2. Capabilities Capabilities are “[…] not just abilities residing inside a person but also freedoms and opportunities created by a combination of personal abilities and the political, social, and economic environment” (Nussbaum 2011:20). Amartya Sen defines capabilities as “ […] the substantive freedoms he or she enjoys to lead the kind of life he or she has reason to value” (Sen 1999:87). Human Development The Human Development concept sees people as the real wealth of nations, and focuses on enlarging people’s choices (UNDP 2015:1). Its two main objectives are: (1) directly enhancing human capabilities through long and healthy lives, knowledge and decent standard of living; and (2) creating conditions for human development by fostering political and community participation, environmental sustainability, 12 human security and human rights as well as promoting equality and social justice (:xii). 1.10 Chapter layout Chapter 1: Introduction and Background This chapter introduces the study and outlines the background, problem statement, research objectives, limitations and scope of the study. The chapter also describes the importance of the study, defines key terms, and presents ethical considerations and the chapter layout. Chapter 2: Migration in Germany and worldwide The second chapter gives a historic overview of Migration in Germany and worldwide, as well as a description of the current refugee situation. Thereby statistics and descriptions of the political situation are taken into account. Chapter 3: Theoretical Framework This chapter presents the two theoretical frameworks this study is placed in. These are: Integration and the Empowerment Approach. The theoretical frameworks are derived from the two theories that are to be combined in this study. Chapter 4: Methodology The fourth chapter introduces the methodology of this study in two parts: firstly, this chapter presents the method of comparative theory analysis in general; and, secondly, it discusses the procedure, the type, as well as the function of the Coordinated Theory Analysis, which is the chosen method for this study. Chapter 5: Friedrich Heckmann’s Integration Theory This chapter discusses Heckmann´s Theory of Successful Integration, by showing the strengths and limitations, equality and alternativity of the theory. Furthermore, the connections between his theory and the capabilities of refugees will be considered. Besides that, a practical implementation of Heckmann’s theory is presented. The chapters end with first results and analyses. Chapter 6: Capabilities Approach according to Martha Nussbaum In Chapter 6 the Capabilities Approach according to Martha Nussbaum is outlined by addressing the strengths and limitations, equality and alternativity of the theory. Thereafter, the application of the approach on 13 the refugee situation will be discussed by reviewing relevant literature and completed research of the topic. Throughout this chapter the connections among the ten central capabilities and integration is made known. Finally, first results are analysed and recorded. Chapter 7: Interconnections of the theories In this chapter a combination of both theories is explored. This will happen on the basis of the Coordinated Theory Analysis according to Schneider (Schneider 1999:290). In addition, the basis and the framework of the interconnection is described. Following this, the combined theory is interpreted and positioned in Development and Migration Studies. A possible implementation of the combined theory is suggested under the recommendations towards the end of this chapter. The chapter closes with a summary of the research.

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This book is a reaction to the “refugee-crisis” in 2015 and the ensuing demand of science and practice for a stronger focus on the potentials and abilities of refugees in the integration process. To direct the focus of integration theories away from the weaknesses and towards the capabilities of the refugees, Heckmann’s Integration Theory – based on a comparative analysis – is related to Nussbaum’s Capabilities Approach via interlinking both theories. The results show that an integration theory with the focus on the capabilities of the refugees empowers the individual immigrant to become a valued and active participant in the integration process. This study was researched using the situation in Germany as an example, but the results are transferable to social integration contexts in other countries as well and may give non-governmental organisations, social workers and government agencies an orientation for their future aid programming.