Institutionalism Theories and Hegemonic Practices in Global Polity Formation

Institutionalistische Theorien und hegemoniale Praktiken Globaler Politikgestaltung. Eine neue Beleuchtung der Prämissen Liberaler Demokratischer National-Staatlicher Ordnungen. Deutsche Zusammenfassung: Moderne Sozialwissenschaften, seien es Metatheorien der Internationalen Beziehungen, die Geschichte politischer Ökonomie oder Institutionentheorien, zeigen eine klare Dreiteilung von Weltanschauungen bzw. Paradigmen auf, die sich in allen „großen Debatten“ nachvollziehen lassen: Realismus, Liberalismus und Historischer Materialismus. Diese Grund legend unterschiedlichen Paradigmen lassen sich auch in aktuellen Ansätzen des Institutionalismus aufzeigen, liegen aber quer zu den von anderen Wissenschaftlern (Meyer, Rittberger, Hasenclever, Peters, Zangl) vorgenommenen Kategorisierungen der Institutionalismusschulen, die systemkritische Perspektiven in der Regel ignorieren oder vergleichsweise rudimentär diskutieren. Deshalb entwickelt diese Arbeit einen Vergleich von Institutionalismusschulen entlang der oben skizzierten Weltanschauungen. Das Ziel ist es, fundamentale Unterschiede zwischen den drei Paradigmen zu verdeutlichen und zu zeigen, wie ihre jeweiligen ontologischen und epistemologischen Prämissen die Forschungsdesigns und Methodologien der Institutionalismusschulen beeinflussen. In Teil I arbeite ich deshalb die Grund legenden Prämissen der jeweiligen Paradigmen heraus und entwickle in Teil II und III diesen Prämissen entsprechende Institutionalismus-Schulen, die Kooperation primär als Organisation von unüberwindbarer Rivalität, als Ergebnis zunehmender Konvergenz, oder als Ergebnis und Weiterentwicklung von Prozeduren der Interaktion versteht. Hier greife ich auf zeitgenössische Arbeiten anderer Autoren zurück und liefere damit einen Vergleich des aktuellen Forschungsstandes in allen drei Denktraditionen. Teil II diskutiert die zwei dominanten Institutionalismusschulen und Teil III entwickelt einen eigenen Gramscianischen Ansatz zur Erklärung von internationaler Kooperation und Institutionalisierung. Die übergeordnete These dieser Arbeit lautet, dass die Methodologien der dominanten Institutionalismusschulen teleologische Effekte haben, die aus dem Anspruch auf universell anwendbare, abstrahiert Konzepte resultieren und die Interpretation von Beobachtungen limitieren. Prämissen eines rational handelnden Individuums - entweder Konsequenzen kalkulierend oder Angemessenheit reflektierend – führen dazu, dass Kooperation und Institutionalisierung notwendiger Weise als die beste Lösung für alle Beteiligten in dieser Situation gelten müssen: Institutionen würden nicht bestehen, wenn sie nicht in der Summe allen Mitgliedern (egoistisch oder kooperativ motiviert) nützten. Durch diese interpretative „Brille“ finden wichtige strukturelle Gründe für die Verabschiedung internationaler Abkommen und Teile ihrer Effekte keine Berücksichtigung. Folglich können auch Abweichungen von erwarteten Ergebnissen nicht hinreichend erklärt werden. Meine entsprechende Hypothese lautet, dass systemkritische Kooperation konsistenter erklären können, da sie Akteure, Strukturen und die sie umgebenden Weltanschauungen selbst als analytische Kriterien berücksichtigen. Institutionalisierung wird dann als ein gradueller Prozess politischer Entscheidungsfindung, –umsetzung und –verankerung verstanden, der durch die vorherrschenden Institutionen und Interpretationen von „Realität“ beeinflusst wird. Jede politische Organisation wird als zeitlich-geographisch markierter Staatsraum (state space) verstanden, dessen Mandat die Festlegung von Prozeduren der Interaktion für gesellschaftliche Entwicklung ist. Politische Akteure handeln in Referenz auf diese offiziellen Prozeduren und reproduzieren und/oder verändern sie damit kontinuierlich. Institutionen werden damit als integraler Bestandteil gesellschaftlicher Entwicklungsprozesse verstanden und die Wirkungsmacht von Weltanschauungen – inklusive theoretischer Konzepte - berücksichtigt. Letztere leiten die Wahrnehmung und Interpretation von festgeschriebenen Regeln an und beeinflussen damit ihre empfundene Legitimation und Akzeptanz. Dieser Effekt wurde als „Staatsgeist“ („State Spirit“) von Montesquieu und Hegel diskutiert und von Antonio Gramsci in seiner Hegemonialtheorie aufgegriffen. Seine Berücksichtigung erlaubt eine konsistente Erklärung scheinbar irrationalen oder unangemessenen individuellen Entscheidens, sowie negativer Effekte konsensualer Abkommen. Zur Veranschaulichung der neu entwickelten Konzepte werden in Teil II existierende Fallstudien zur Welthandelsorganisation analysiert und herausgearbeitet, wie Weltanschauungen oder Paradigmen zu unterschiedlichen Erklärungen der Praxis führen. Während Teil II besonderes Augenmerk auf die nicht erklärten und innerhalb der dominanten Paradigmen nicht erklärbaren Beobachtungen legt, wendet Teil III die Gramscianischen Konzepte auf eben diese blinden Stellen an und liefert neue Einsichten. Im Ausblick wird problematisiert, dass scheinbar „neutrale“ wissenschaftliche Studien politische Positionen und Forderungen legitimieren und verdeutlicht im Sinne der gramscianischen Theorie, dass Wissenschaft selbst Teil politischer Auseinandersetzungen ist.

Profile simulations of gas chopping etching processes : model development and comparison with experiments

The progress in microsystem technology or nano technology places extended requirements to the fabrication processes. The trend is moving towards structuring within the nanometer scale on the one hand, and towards fabrication of structures with high aspect ratio (ratio of vertical vs. lateral dimensions) and large depths in the 100 µm scale on the other hand. Current procedures for the microstructuring of silicon are wet chemical etching and dry or plasma etching. A modern plasma etching technique for the structuring of silicon is the so-called "gas chopping" etching technique (also called "time-multiplexed etching"). In this etching technique, passivation cycles, which prevent lateral underetching of sidewalls, and etching cycles, which etch preferably in the vertical direction because of the sidewall passivation, are constantly alternated during the complete etching process. To do this, a CHF3/CH4 plasma, which generates CF monomeres is employed during the passivation cycle, and a SF6/Ar, which generates fluorine radicals and ions plasma is employed during the etching cycle. Depending on the requirements on the etched profile, the durations of the individual passivation and etching cycles are in the range of a few seconds up to several minutes. The profiles achieved with this etching process crucially depend on the flow of reactants, i.e. CF monomeres during the passivation cycle, and ions and fluorine radicals during the etching cycle, to the bottom of the profile, especially for profiles with high aspect ratio. With regard to the predictability of the etching processes, knowledge of the fundamental effects taking place during a gas chopping etching process, and their impact onto the resulting profile is required. For this purpose in the context of this work, a model for the description of the profile evolution of such etching processes is proposed, which considers the reactions (etching or deposition) at the sample surface on a phenomenological basis. Furthermore, the reactant transport inside the etching trench is modelled, based on angular distribution functions and on absorption probabilities at the sidewalls and bottom of the trench. A comparison of the simulated profiles with corresponding experimental profiles reveals that the proposed model reproduces the experimental profiles, if the angular distribution functions and absorption probabilities employed in the model is in agreement with data found in the literature. Therefor the model developed in the context of this work is an adequate description of the effects taking place during a gas chopping plasma etching process.

Continuation and discontinuation of local institution in community based natural resource management

Currently the push toward frontier areas, which until twenty years ago were still largely untouched by commercial agriculture, is taking place on a massive scale. This push is being driven not the least by global economic developments, such as the price increase of agriculture commodities like coffee and cocoa. In most cases the indigenous communities become trapped between the state monopoly in natural resource management and the competition for resources by external actors. In this processes the indigenous communities start to lose their access to resources. Another victim in this process is the environment where the natural resources are imbedded. International and national organizations working to conserve environment have became conscious of the important role that indigenous people could fulfill as partners in this endeavour. This partnership in struggle has produced a new discourse on the relationship between indigenous people and their environment. As a further consequence, programs were set up to develop what became known as Community Based Natural Resource Management (CBNRM) with its numerous variations. Based on a case study in a village on the eastern border of the Lore Lindu National Park in Central Sulawesi, this study questioned the basic assumption behind the concept of Community Based Natural Resource Management (CBNRM). Namely the assumption that communities living at the margin of forest are socially and culturally homogenous, still more or less egalitarian, and basically living in harmony with their natural environment. This study was inspired by the persistent critique – although still a minority – on the basic assumption the CBNRM from academicians and practitioners working through the Entitlement perspective. Another inspiration was the mounting critique toward the participatory approach. In its effort the study explore further the usefulness of certain approaches. One of the approach much relied on in this study was the local history of the community studied, through exerting oral and local written documents on local history, legends and local stories. These sources proofed quite capable in bringing the local history into the light. Another was the actor oriented approach, which later came to be supported by the concept of Social Pool Resources. The latter concept proofed to be useful as analytical instrument to integrate social institutions and the common pool resources, as a field of action for the different actors as human agencies.

Institutions, Behavior and Evolution

The three articles constituting this thesis are for reasons of content or method related to the following three fields in economics: Behavioral Economics, Evolutionary Game Theory and Formal Institutional Economics. A core element of these fields is the concept of individual preferences. Preferences are of central importance for the conceptional framework to analyze human behavior. They form the foundation for the theory of rational choice which is defined by the determination of the choice set and the selection of the most preferred alternative according to some consistency requirements. The theory of rational choice is based on a very simplified description of the problem of choice (object function and constraints). However, that choices depend on many more factors is for instance propagated by psychological theories and is supported by many empirical and experimental studies. This thesis adds to a better understanding of individual behavior to the extent that the evolution of certain characteristics of preferences and their consequences on human behavior forms the overarching theme of the dissertation. The long-term effect of evolutionary forces on a particular characteristic of importance in the theoretical, empirical and experimental economic literature, the concept of inequality aversion, is subject of the article “The evolution of inequality aversion in a simplified game of life” (Chapter 4). The contribution of the article is the overcoming of a restriction of former approaches to analyze the evolution of preferences in very simple environments. By classifying human interaction into three central economic games, the article provides a first step towards a simplified and sufficiently complete description of the interaction environment. Within such an environment the article characterizes the evolutionary stable preference distribution. One result shows, that the interaction of the aforementioned three classes can stabilize a preference of inequality aversion in the subpopulation which is favored in the problem of redistribution. The two remaining articles are concerned with social norms, which dissemination is determined by medium-run forces of cultural evolution. The article “The impact of market innovations on the evolution of social norms: the sustainability case.“ (Chapter 2) studies the interrelation between product innovations which are relevant from a sustainability perspective and an according social norm in consumption. This relation is based on a conformity bias in consumption and the attempt to avoid cognitive dissonances resulting from non-compliant consumption. Among others, it is shown that a conformity bias on the consumption side can lead to multiple equilibria on the side of norm adoption. The article “Evolution of cooperation in social dilemmas: signaling internalized norms.” (Chapter 3) studies the emergence of cooperation in social dilemmas based on the signaling of social norms. The article provides a potential explanation of cooperative behavior, which does not rely on the assumption of structured populations or on the unmotivated ability of social norms to restrict individual actions or strategy spaces. A comprehensive result of the single articles is the explanation of the phenomenon of partial norm adaption or dissemination of preferences. The plurality of the applied approaches with respect to the proximity to the rational choice approach and regarding the underlying evolutionary mechanics is a particular strength of the thesis. It shows the equality of these approaches in their potential to explain the phenomenon of cooperation in environments that provide material incentives for defective behavior. This also points to the need of a unified framework considering the biological and cultural coevolution of preference patterns.