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Recruitment and representation

Material Information

Title:
Recruitment and representation a study of the social backgrounds and political career patterns of members of the West German Bundestag, 1949-1969
Added title page title:
West German Bundestag, 1949-1969
Creator:
Watson, Gerald Glenn, 1945- ( Dissertant )
McQuown, O. R. ( Thesis advisor )
Dauer, Manning J. ( Reviewer )
Legg, Keith R. ( Reviewer )
Rosenbaum, W. A. ( Reviewer )
Conradt, David P. ( Reviewer )
Paul, Harry W. ( Reviewer )
Place of Publication:
Gainesville, Fla.
Publisher:
University of Florida
Publication Date:
Copyright Date:
1971
Language:
English
Physical Description:
xiii, 203 leaves. : illus. ; 28 cm.

Subjects

Subjects / Keywords:
Ambition ( jstor )
Constituents ( jstor )
Political candidates ( jstor )
Political elections ( jstor )
Political interest groups ( jstor )
Political organizations ( jstor )
Political parties ( jstor )
Political structures ( jstor )
Political systems ( jstor )
Politicians ( jstor )
Dissertations, Academic -- Political Science -- UF ( lcsh )
Political Science thesis Ph. D ( lcsh )
Political parties -- Germany (West) ( lcsh )
Politics and government -- Germany (West) ( lcsh )
Genre:
bibliography ( marcgt )
non-fiction ( marcgt )

Notes

Abstract:
Systematic empirical analysis into the process of leadership selection has made substantial progress since World War II. In recent years there has been a rising interest in model-building and increasing sophistication in the research design and selection of variables. The primary purpose of this thesis is to describe the social backgrounds and career patterns of some 1,161 Members of the West German Federal Parliament, the Bundestag. The analysis includes all Deputies from the two major political parties, the Christian Democratic Union/Christian Social Union (CDU/CSU) and the Social Democratic Party of Germany (SPD) , who have served in the period 1949-1969. The study begins with a survey of the literature on political recruitment and an attempt to conceptualize the process in terms of the interaction between motivations and perceptions of opportunity and risk. This is followed by a discussion of the political setting, with emphasis placed on the historical role of parliaments in Germany, the contemporary governmental structure, the electoral system, the parties, and aspects of political culture. Most important is the central position of the political parties which, through their manipulation of the electoral statutes and organizational control of the House, effectively diminish the role of the electorate and the independence of Deputies. Low levels of political participation, beyond the narrow act of voting, however, suggest that "government for the people" may be a necessity. Deputies are older, better educated, have more prestigious occupations, and are more likely to be male than the general populace. Only in religious affiliation do they even roughly mirror society. Although legislators do not accurately mirror the electorate at large, inter-party differences are, in direction, generally consistent with the parties' contrasting social bases in the electorate. It is evident that people are differentially recruited into the party structures on the basis of their social backgrounds. Given the distribution of their social support in the electorate and, particularly in the CDU, the existence of a number of relatively well organized subgroups within the party, the parties have been forced to give some attention to social criteria and group affiliation as they go about the task of selecting district candidates and balancing the party lists. But social restrictions are exceedingly broad and the parties have been largely successful in setting more specifically political requirements for high elective office, notably a considerable amount of party and public office-holding experience. Political careers are analyzed in terms of a basic four-fold typology of career patterns. This is followed by a more detailed examination of the sequential aspect of public and party office-holding and an attempt to measure the amount of "structure" in political careers. In the public arena opportunities for advancement to Parliament are best for those persons presently serving in a local council, county council, or Landtag. In the parties, local leaders and primary-level executive committee members are most likely to be advanced to the House. We have found that opportunities are structured to a significant degree, that this structure is national in scope and, somewhat paradoxically, transcends the parties at the same time that it is channeled through them. Finally, while the shape of the opportunity structure is undergoing constant incremental change, developments are clearly in the direction of more structure, not less.
Thesis:
Thesis (M.A.) -- University of Florida.
Bibliography:
Bibliography: leaves 191-202.
General Note:
Manuscript copy.
General Note:
Vita.

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University of Florida
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University of Florida
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Copyright [name of dissertation author]. Permission granted to the University of Florida to digitize, archive and distribute this item for non-profit research and educational purposes. Any reuse of this item in excess of fair use or other copyright exemptions requires permission of the copyright holder.
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ADA1678 ( NOTIS )

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Recruitment and Representation: A Study of the Social
Backgrounds and Political Career Patterns of Members
of the West German Bundestag, 1949-1969










By

GERALD GLENN WATSON


A DISSERTATION PRESENTED TO THE GRADUATE COUNCIL OF
THE UNIVERSITY OF FLORIDA IN PARTIAL
FULFILLMENT OF THE REQUIREMENTS FOR THE DEGREE OF
DOCTOR OF PHILOSOPHY


UNIVERSITY OF FLORIDA
1971

































Copyright by
Gerald Glenn Watson
1971






















To Diane and Christy












ACKNOWLEDGEMENTS


The author wishes to express his sincere appreciation

to Dr. Keith R. Legg and Dr. David P. Conradt, whose

guidance and encouragement have been instrumental at every

stage of research and writing. In addition, the Department

of Political Science at the University of Florida has been

most generous in providing the necessary funds for computer

time and for keypunching the biographical data.

The -uthor also wants to thank his wife, Diane, for

her patience with a frequently preoccupied husband. As

critic, booster, companion, and typist she has made the

completion of this work possible.

The constructive criticism and encouragement the author

has received have undoubtedly improved the final product.

Any shortcomings are, of course, the fault of the author..














TABLE OF CONTENTS


Page

ACKNOWLEDGEMENTS................................... iv

LIST OF TABLES..................................... vii

LIST OF FIGURES .................................... x

ABSTRACT.......................................... xi

CHAPTER

1. INTRODUCTION................................ 1
Ambition Theory and the Structure of
Political Opportunities............ 2
The Research Design ...................... 10
Notes.................................... 19

2. POLITICAL RECRUITMENT: DEFINITION AND
CONCEPTUALIZATION ...................... 24
A Definition............................. 24
Political Participation.................. 26
Models of Political Recruitment.......... 32
Factors in the Recruitment Process........ 36
Needs and Perceptions ................. 36
Social Background...................... 38
Party and Constituency................ 42
Recruitment and Representation: Reflec-
tions on Outputs ................... 47
Notes........................ ............ 53

3. THE SETTING................................ 56
The Historical Role of Parliament........ 57
The Founding of the Federal Republic..... 64
The Structure of Government........... 66
The Electoral System.................. 70
The Political Parties................. 74
Political Culture and Political Partic-
pation............................. 79
The Role of the Bundestag and the
Individual Deputy............... 82
Notes....................... ............. 88









TABLE OF CONTENTS (continued)
Page
CHAPTER

4. SOCIAL FACTORS IN RECRUITMENT.............. 92
Variations on a Theme: The Social Struc-
ture of the Parties................. 96
Age...................................* 96
The Role of Women ..................... 100
Religion.............................. o103
Education............................. 104
Occupation............................ 109
A Socio-political Background Typology. 112
Social Factors and Electoral Status...... 118
List versus District Seats............ 118
Safe versus Unsafe List Position...... 121
Constituencies and Social Selection...... 123
Notes.................................... 131

5. THE STRUCTURE OF POLITICAL OPPORTUNITY..... 136
The Size of the Opportunity Structure.... 137
The,Shape of the Opportunity Structure... 140
/Four Background Patterns.............. 140
Base Offices.......................... 144
Public Office Patterns................ 147
Career Indices........................... 159
The Impact on Candidacy.................. 168
District versus List Candidacy........ 168
Safe versus Unsafe List Seats......... 168
District Competitiveness.............. 170
Notes.................... ............... 175

6. CONCLUSION................................... 176
Notes.................................... 187

APPENDIX .......................................... 188

REFERENCES ........................................ 191

BIOGRAPHICAL SKETCH................................ 203














LIST OF TABLES


Page
TABLE

1. OCCUPATIONAL COMPOSITION OF THE FRANKFURT
PARLIAMENT ............................... 61

2. THE LAENDER OF THE FEDERAL REPUBLIC OF
GERMANY................................... 69

3. THE DISTRIBUTION OF BUNDESTAG SEATS BY
PARTY 1949-1969............................ 72

4. THE INITIATION OF LEGISLATION............... 84

5. BASIC SOCIAL CHARACTERISTICS OF DEPUTIES AND
POPULACE................................... 93

6. AGE DISTRIBUTION OF DEPUTIES AND VOTERS BY
PARTY..................................... 97

7. THE PERCENTAGE OF MEN AND WOMEN AMONG
DEPUTIES, PARTY MEMBERS AND VOTERS........ 101

8. THE PROPORTION OF WOMEN AS CANDIDATES AND
DEPUTIES IN THE 1965 BUNDESTAG ELECTION.. 102

9. THE RELIGIOUS AFFILIATION OF DEPUTIES AND
PARTY SUPPORTERS......................... 104

10. THE EDUCATIONAL ATTAINMENT LEVEL OF BUNDESTAG
DEPUTIES ................................. 105

11. EDUCATIONAL OR OCCUPATIONAL TRAINING FIELDS
OF DEPUTIES BY PARTY..................... 107

12. ASSESSED OCCUPATION OF DEPUTIES BY PARTY..... 110

13. SOCIO-POLITICAL BACKGROUND TYPOLOGY BASED
ON ASSESSED OCCUPATION, INTEREST AFFILI-
ATION AND LEVEL OF POLITICAL ACTIVITY
BY PARTY ................................. 114

14. DISTRIBUTION OF PARTY LIST POSITIONS FOR THE
CDU IN NORTH RHINE-WESTPHALIA (1969)..... 116








LIST OF TABLES (continued)


Page
TABLE

15. SOCIAL FACTORS AND THE ELECTORAL STATUS OF
DEPUTIES ................................... 120

16. THE PERCENTAGE OF DEPUTIES ELECTED IN A
DISTRICT BY BACKGROUND TYPE.............. 122

17. RELIGION AS A FACTOR IN THE ELECTION OF
DEPUTIES ................................. 125

18. THE RELATIONSHIP BETWEEN CONSTITUENCY URBAN-
IZATION AND DEPUTY OCCUPATION............. 128

19. BUNDESTAG OPPORTUNITY RATES .................. 138

20. THE MIXTURE OF PUBLIC AND PARTY OFFICEHOLDING
EXPERIENCES IN THE BACKGROUND
DEPUTIES.................................. 141

21. PUBLIC BASE OFFICES............................ 145

22. PARTY BASE OFFICES ....................... .... 146

23. THE DISTRIBUTION OF PUBLIC CAREER PATTERNS
AMONG BUNDESTAG DEPUTIES WITH A PURE
PUBLIC OR MIXED OFFIfEHOLDING BACK-
GROUND..................................... 148

24. THE CUMULATIVE PERCENTAGE OF BUNDESTAG AND
LANDTAG MEMBERS IN THE MOST IMPORTANT
PUBLIC CAREER PATTERNS................... 151

25. THE DISTRIBUTION OF PARTY CAREER PATTERNS
AMONG CDU DEPUTIES WITH A PURE PARTY OR
MIXED OFFICEHOLDING BACKGROUND........... 153

26. THE DISTRIBUTION OF PARTY CAREER PATTERNS
AMONG SPD DEPUTIES WITH A PURE PARTY OR
MIXED OFFICEHOLDING BACKGROUND........... 155

27. POLITICAL BACKGROUND INDICES................. 160

28. TIME TRENDS IN POLITICAL BACKGROUND INDICES
(mean values)............................. 166

29. POLITICAL FACTORS AND CANDIDACY .............. 169


viii









LIST OF TABLES (continued)


Page
TABLE

30. POLITICAL INDICES AND LIST SEAT SECURITY..... 170

31. POLITICAL FACTORS AND CONSTITUENCY COMPET-
ITIVENESS ................................ 172

32. COMPARATIVE POLITICAL INDICATORS FOR INCUM-
BENTS. LOW LEADERS AND HIGH LEADERS...... 179

33. OPPORTUNITY FOR RE-ELECTION. AND LEADER-
SHIP FOR DEPUTIES BY THE LEVEL OF PUBLIC
AND PARTY BACKGROUND EXPERIENCE.......... 183














LIST OF FIGURES

Page
FIGURE

1. THE PROCESS OF CERTIFICATION.................. 33

2. THE PROCESS OF POLITICAL RECRUITMENT.......... 35

3. THE STRUCTURE OF THE POLITICAL PARTIES........ 75








Abstract of Dissertation Presented to the
Graduate Council of the University of Florida in Partial Fulfillment
of the Requirements for the Degree of Doctor of Philosophy

RECRUITMENT AND REPRESENTATION: A STUDY OF THE SOCIAL
BACKGROUNDS AND POLITICAL CAREER PATTERNS OF MEMBERS
OF THE WEST GERMAN BUNDESTAG, 1949-1969

By

Gerald Glenn Watsen

December, 1971

Chairman: 0. Ruth McQuown
Major Department: Political Science

Systematic empirical analysis into the process of

leadership selection has made substantial progress since

World War II. In recent years there has been a rising

interest in model-building and increasing sophistication

in the research design and selection of variables. The

primary purpose of this thesis is to describe the social

backgrounds and career patterns of some 1,161 Members of

the West German Federal Parliament, the Bundestag. The

analysis includes all Deputies from the two major political

parties, the Christian Democratic Union/Christian Social

Union (CDU/CSU) and the Social Democratic Party of Germany

(SPD), who have served in the period 1949-1969.

The study begins with a survey of the literature on

political recruitment and an attempt to conceptualize the

process in terms of the interaction between motivations

and perceptions of opportunity and risk. This is followed

by a discussion of the political setting,with emphasis

placed on the historical role of parliaments in Germany,








the contemporary governmental structure, the electoral

system, the parties, and aspects of political culture.

Most important is the central position of the political

parties which, through their manipulation of the electoral

statutes and organizational control of the House, effec-

tively diminish the role of the electorate and the

independence of Deputies. Low levels of political partici-

pation, beyond the narrow act of voting, however, suggest

that "government for the people" may be a necessity.

DeputLes are older, better educated, have more

prestigious occupations, and are more likely to be male

than the general populace. Only in religious affiliation

do they even roughly mirror society. Although legislators

do not accurately mirror the electorate at large, inter-

party differences are, in direction, generally consistent

with the parties' contrasting social bases in the elector-

ate. It is evident that people are differentially recruited

into the party structures on the basis of their social

backgrounds. Given the distribution of their social support

in the electorate and, particularly in the CDU, .the

existence of a number of relatively well organized subgroups

within the party, the parties have been forced to give some

attention to social criteria and group affiliation as they

go about the task of selecting district candidates and

balancing the party lists. But social restrictions are

exceedingly broad and the parties have been largely








successful in setting more specifically political require-

ments for high elective office, notably a considerable

amount of party and public officeholding experience.

Political careers are analyzed in terms of a basic

four-fold typology of career patterns. This is followed

by a more detailed examination of the sequential aspect

of public and party officeholding and an attempt to

measure the amount of "structure" in political careers.

In the public arena opportunities for advancement to

Parliament are best for those persons presently serving in

a local council, county council, or Landtag. In the

parties, local leaders and primary-level executive

committee members are most likely to be advanced to the

House. We have found that opportunities are structured

to a significant degree, that this structure is national

in scope and, somewhat paradoxically, transcends the parties

at the same time that it is channelled through them.

Finally, while the shape of the opportunity structure is

undergoing constant incremental change, developments are

clearly in the direction of more structure, not less.


xiii













CHAPTER 1


INTRODUCTION


Empirical studies of political recruitment have

been conducted for at least three-quarters of a century

(see Haynes, 1895) and a normative interest in who should

rule can be traced back to Plato. Various writers have

argued that recruitment studies can shed light on such

diverse and important political questions as the nature

of society's dominant values, the degree to which elites

are "representative," the level of systemic integration,

the kinds of change taking place in the power structure,

and the requirements for political success (see Seligman,

1959: 154; Matthews, 1954: 38; Quandt, 1970: 184-189).

The most common studies are concerned with the social

backgrounds of officeholders. Much less attention has

been devoted to "the intramural sorting and screening

processes" which result in election to public office

(Prewitt and Eulau, 1971: 293). As Seligman (1959: 154)

wrote more than a decade ago, "The 'who' has been stressed

to the neglect of the 'how' of recruitment."

The primary purposes of this paper are to describe

the career patterns of some 1,61 Members of the West







German Federal Parliament, the Bundestag, to relate

those patterns to certain constituency characteristics,

and to indicate whether or not these findings are

consistent with hypotheses based on the provocative

thesis on "political ambition" which Joseph Schlesinger

(1966) has developed and applied to the American

political scene. Since the emphasis here is clearly

on the political experiences and strategic positions of

individuals within the structure of political opportunity,

it should serve as a partial corrective to the over-

emphasis on the "who" of recruitment.



Ambition Theory and the Structure of Political Opportunities


Systematic empirical analysis into the process of

leadership selection has made substantial progress since

World War II.1 In recent years there has been a rising

interest in model-building, greater awareness of the need

to relate chosen variables to some kind of theory, and

increasing sophistication in the research design and

selection of variables (see, for example, Jacob, 1962;

Browning, 1968; Schlesinger, 1966; Kornberg and Winsborough,

1968). As one investigator observed recently:

During a relatively short period of
time, research has advanced from
inquiries into the social back-
ground of legislators to more com-
plex studies, in which recruit-
ment has been related to the char-
acteristics of the electorate,
the workings of party organizations,
or the orientations and behavior
of legislators (Czudnowski, 1970: 216).








Despite significant advancement, recruitment studies, the

vast majority of which continue to emphasize social back-

ground factors, have been severely criticized for a

variety of reasons. Perhaps the most important criticism

is that the chosen variables lack significance and do

not improve our ability to predict behavior (see Jacob,

1962: 706; Meynaud, 1961: 525-526; Schlesinger, 1966:

12-13; Edinger and Searing, 1967; Searing, 1969).2 At

the same time, results are reported in such idiosyncratic

fashion that meaningful comparison becomes extremely

difficult, if not impossible (Quandt, 1970: 182).3 In

both cases, particularly the former, the difficulty stems

from the lack of an explicit theoretical framework which

can guide research and promote a needed degree of uniformity.

One of the most suggestive and potentially useful

approaches to the comparative study of political recruitment

has been the development of ambition theory as a viable

alternative to social background analysis (see Schlesinger,

1966; Schlesinger, 1967).4 The concept of political

ambition and the research orientation that stems from it

are admirably suited to meet the criticisms mentioned

above. An ambition theory of politics brings a unique

perspective to the study of political recruitment by

drawing attention to the political experiences and

strategic positions of individuals. If politics is a

game, then ambition theory directs our attention to the

successful strategies for winning, or advancing in








the game. "From the perspective of ambition theory

. such mundane data as the tenure and turnover of

officeholders, office successions, and the ages of elective

officials take on major significance" (Schlesinger, 1966:

15).

Each of us knows what ambition is. We view it in

ourselves as a desirable characteristic, in others some-

what less favorably. It is a word brimming with

connotative meanings; some favorable, many not. It is

manifest .n our distrust of politicians and politics

itself, a dirty game in which self-interest prevails.

Little systematic use, however, has been made of ambition

as a concept of political analysis. Those who have

used it rigorously, such as Downs (1965) and Schlesinger,

have been greatly influenced by economic theory.

Schlesinger (1966: vii), for example, sees politics as

"a series of rational marginal choices made by men compet-

ing for power within a given set of political rules."

Quite obviously, the ambitious politician is an

abstraction, just as is Economic Man. It is, however,

a useful analytic device with a high degree of face

validity. Thus, Schlesinger's (1966: 14) answer to

those who prefer some other cause of action--social,

psychological, or ideological--is straightforward:

these are not "political" explanations, whereas ambition

places a "political perspective on background data."








Ambition gives direction to the competition which

Schlesinger describes and it is crucial for system

stability and responsiveness:

A political system unable to kindle
ambitions for office is as much in
danger of breaking down as one unable
to restrain ambitions. Representative
government, above all, depends on a
supply of men so driven; the desire for
election becomes the electorates'
restraint upon its public officials.
No more irresponsible government is
imaginable than one of high-minded
men unconcerned for their political
futures (1966: 2).

What he means by it is quite clear: it is the overt

goal orientation of the individual political actor.

Self-interest lies at the heart of his theory, but

it is the explicit, personal ambition of the individual

operating within a set of opportunities which he can-

not influence which distinguishes Schlesinger's approach

from that of others.

Ambition theory can be briefly described in terms

of one major theorem and two corollaries. The central

assumption is the deceptively simple idea already

mentioned: "a politician's behavior is a response to

his office goals" (Schlesinger, 1966:6). Closely

related to this are these major corollaries:

(1) "The ambitions of any politician flow from
the expectations which are reasonable for a
man in his position" (Schlesinger, 1966: 9).

(2) "We can bring order to the office ambitions
of politicians only if we can find order in
their chances or opportunities for office"
(Schlesinger, 1966: 11).








The corollaries are interrelated because opportunities

must be structured in order for the investigator to

reasonably assess the direction of ambition for persons

in different locations in the hierarchy of political

office.5 It should also be clear that ambition theory

contains both an undifferentiated motivational component

and an implicit perceptual component, since the individual

must be capable of perceiving that certain actions

taken by himself have a reasonable prospect of maximizing

goal attainment. But perceptions are more usually the

concern of psychologists and social psychologists, and

it is at this point that Schlesinger makes an inferential

leap that has important implications for research.

Schlesinger (1966: 198) assumes that by delineating

the structure of opportunities inferences can be made

about the directions of political ambitions and possible

behavioral consequences. His approach to ambition, then,

is purely inferential since substantive research is

limited to identifying the size and shape of the formal

opportunity structure (1966: 20).6 It is important to

understand that ambition is a theoretical construct

whose empirical referent is the opportunity structure.

Thus, the research orientation which we share with

Schlesinger emphasizes the structure and sequence of politi-

cal experiences in the politician's background. Key

variables are: the opportunity rate, base offices,








Manifest offices, first and penultimate offices,

and the age at which a particular office is attained

(see Schlesinger, 1966: 37-56, 70-118 and 172-193;

Watson, 1969: 38-111). These terms will be discussed

in more detail in the substantive chapters. For

the moment it is sufficient to point out that use of

these key political career variables allowed Schlesinger

(1966: 93) to clearly distinguish Senatorial from

Gubernatorial careers, a further indication of the

importance of taking the office experiences of individuals

into account in any study of leadership selection.

Since its rather sophisticated formulation by

Schlesinger, the notion of political ambition has

been fruitfully applied by several investigators,

including this author. Soule (1969) interviewed

97 of 110 Members of the Michigan House of Repre-

sentatives and identified their ambitions as either

"progressive" or "non-progressive," depending on

whether or not they reported a desire to seek higher

political office. He found that progressive ambitions

were positively related at significant levels to:

(1) early political socialization, (2) certain perscn-

ality traits and (3) a legislator's "representational"

and "areal" role orientations (449-454). Mezey (1970)

has developed a "model" of congressional recruitment

(U. S. House of Representatives) in terms of three








variables: (1) inter-party opportunities for congressional

seats, (2 intra-party opportunities and (3) the past

elective experience of candidates. He found that

successful majority party candidates were more likely

to have held previous political office and had lower

personnel turnover rates than in the minority party (566).

Finally, Watson (1969) has described the career patterns

of the state Parliament, state government and Bundestag

delegation from Lower Saxony, one of the Laender of

the Feder3l Republic of Germany. Careers were found to be

more structured than for U. S. Senators or Governors (107),

and there were two identifiable opportunity structures,

one centered upon the Landtaq and Landesreqierung,

the other on the Bundestag (112).

While all of these investigations lend support to

the notion of political ambition as a useful research

orientation, only one has gone outside the American

context (Watson, 1969), and that largely at a sub-

national level.7 There are a number of problems involved

in generalizing from the American case, not the least

of which is that American politics is widely recognized

to be surprisingly pragmatic, suggesting that ambition

may play a unique role here.8 Czudnowski has outlined

other potential problems stemming from generalizations

based on the rather unique features of "Anglo-American"

political systems in the following statement:








These systems share at least two
characteristics: a plurality-
system of elections in single-
member districts, and a political
infrastructure based essentially on
a two-party system. Thus, two impor-
tant variables in the analysis of
recruitment are held constant, and a
third--the degree of inter-party
competitiveness--is defined in terms
of a two-party setting with single-
member districts (1970: 217 ).

Disregarding for the moment the precise nature of the

differences between the American and West German political

systems, which will be discussed in the third chapter,

it is clear that the utility of ambition theory rests on

the accumulation of readily comparable data for a number

of systems. The ambition perspective may prove to be

no more fruitful than social background analysis, but

the high degree of face validity and preliminary findings

would argue against such an interpretation. At any rate,

such uncertainty as exists does not mitigate against

the collection of data, since any conclusions about the

ultimate utility of political ambition as an organizing

concept must be deferred until such data has been

collected and submitted to rigorous analysis.

The present undertaking, then, although limited to

a single country, was designed to improve our capacity

for making significant comparisons by replicating

aspects of Schlesinger's work in the German context.

By focusing on clearly political variables, the office

experiences of legislators, and by tying these to







a theoretical referent, namely, ambition theory, it is

hoped that most of the objections mentioned it conjunction

with social background analysis can be overcome, or

at least minimized. In addition, the problem of com-

parability should be lessened by the employment of

similarly coded variables. The present research then

can be viewed as a contribution to the requisite data

base, as well as being a case study of parliamentary

recruitment capable of standing on its own merits.

This is particularly the case, since the data has been

filed in readily available form for use in subsequent

research.9



The Research Design


Once it was determined that a study of Bundestag

recruitment was desirable and feasible, given the

availability of information and time, a number of

critical decisions remained.'0 In the following section

six of these critical decisions and their impact on

data collection, reporting, and interpretation will be

discussed. The first four decisions are practical and

involve the need to set definite parameters to the study.

The latter two more clearly involve the kind of data to be

collected and the manner in which it is to be reported.

The first two decisions had a critical impact on

the scope of research because they maximized the number








of cases to be considered. The first decision was not

to sample, but to collect information on an entire

population. The reasoning here was simply that this

maximized reliability of the findings and eliminated

dependence on tests of statistical significance. The

second decision was to collect information on all

Bundestag sessions since the creation of the Federal

Republic in 1949. A structure of opportunity develops

over time, and it was thought desirable to include the

greatest possible span of time in the calculations.1I

A more important consideration was that this approach

would maximize the flexibility of data manipulation,

Since longitudinal, sessional, or aggregate analysis

could be conducted.12

A third decision was made to limit data collection

to Abqeordneten, or Deputies, from the two major parties.

The Christian Democratic Union and its Bavarian

affiliate, the Christian Social Union (CDU/CSU), and the

Social Democratic Party of Germany (SPD) have been

represented in every Bundestag session and have always

been the largest parties, never polling a combined total

of less than 60.2 per cent of the vote (see Plischke,

1969: 71, 163; Conradt, 1970: 343). In the last election

(1969) they polled 87.9 per cent of the vote and

received 94.0 per cent of the Bundestag mandates

(Conradt, 1970: 343). The only other party presently in

the Bundestag, the Free Democratic Party (FDP), has never







gotten more than 12.8 per cent of the vote (1961)

and received less than half that amount (5.8 per cent)

in the 1969 elections (see Conradt 1970: 343). They

have not won a direct seat since 1957. The major reason

for limiting data collection to the major parties is

that most of the minor party delegations have been so

small and unstable (Obermann, 1956: insert following

p. 44) that it would be extremely difficult to establish

meaningful career patterns. One could make a good case

for including the FDP, but since one of the major goals

is to relate career patterns to constituency characteristics,

for which purpose the FDP is obviously unsuited, it was

decided to simplify matters by eliminating that party

from the analysis altogether.

The fourth decision is not an obvious one, but it

was hinted at in the last paragraph: we are studying

Members of Parliament, not candidates. While this is a

hidden decision, it is nonetheless, a particularly crucial

one because it limits the kinds of generalizations that

we can make. Most important, it seriously hinders our

ability to ascertain those background experiences which

improve one's chances for success in politics by making

comparisons between successful and unsuccessful candidates

impossible. Schlesinger (1966), Kornberg and Winsborough

(1968) and Mezey (1970) illustrate the successful use of

this kind of information. The lack of available data

(except for occupation in a few instances) forced this








regrettable limitation. Whenever possible, information

about candidate characteristics derived from secondary

sources (Zeuner, 1970; Loewenberg, 1966; Fishel, 1970)

will be given for comparative purposes.

These four decisions define the universe of subjects,

all major-party Bundestag Deputies serving in the period

1949-1969, but tell nothing about the kinds of information

to be collected on each individual, or the manner in

which it will be reported. To this, one must turn to

the other major decisions mentioned earlier.

The fifth major decision was to collect both social

background and political career data on each subject.

Although initially uncertain as to the use which would

be made of the former information, several considerations

entered into the decision to broaden the data universe

beyond the more strictly political categories. One

factor, for example, was simply the belief that, since

the information was available, it was better to record

it now than to regret the omission at a later point.

A second, and more important consideration, however, was

the desire to have some variables which could be directly

compared with the findings of other German studies. As

we shall see momentarily, major problems of comparability

still exist, but the data has proven helpful, particularly

in the construction of a composite occupational back-

ground variable.





14


The sixth decision could be broken down into several

choices, but the ultimate result was a decision to

emphasize an individual's initial Bundestag recruitment

and only secondarily to collect information on each

subsequent re-election. This is an important decision

because of the interest in the sequence of officeholding

in a person's background. Sequential coding of first

and penultimate offices, therefore, was done only for

a person's initial entry into the Bundestag. For each

subsequent: election only simultaneously held offices were

listed, from which it is impossible to determine sequence.

This decision reinforced a broad, underlying choice to

consider the individual as the unit of analysis, without

regard tc the session in which he served. Each person

is considered only once in determining career sequence,

rather than separately for each session in which he served,

thus eliminating weighted representation of persons

elected to more than one term.13

There were, of course, may other decisions that had

to be made. The way in which variables were coded, for

example, determines to a large extent the kinds of

manipulations possible and the way in which findings are

presented. But these choices are rather specific and

can be discussed more effectively when dealing with

individual variables. It is more relevant at this point

to indicate how this study differs from prior investigations

of Bundestag recruitment and in what sense it may be








considered a significant advance.

The number of German recruitment studies is not

large, but a surprisingly wide range of subject has been

explored. In addition to a number of works on the

Bundestag, general studies of elite recruitment (Edinger,

1960; Zapf, 1965), party leadership selection (Mayntz,

1961; Edinger, 1961), cabinet formation (Knight, 1952;

Loewenberg, 1966: 219-263), and the recruitment of local

and state public officeholders (Mayntz, 1961; Watson, 1969)

have been conducted. Until recently, most research

stemmed from an interest in determining the degree to

which ties with the totalitatian past had been broken

(Kirchheimer, 1950; Edinger, 1960; Edinger, 1961).

But as the German political system has stabilized and

public support for its institutions has grown, this

explicit, somewhat pathological, orientation has

declined.14

Whatever the motivation, most recruitment studies

are largely descriptive and lack a rigorous theoretical

framework (see, for example, Kitzinger, 1960; Obermann,

1956; Kaufmann et al., 1961; Zeuner, 1970). Some

are excellent in their own right (Kitzinger, 1960;

Domes, 1964; Kaufmann et al., 1961), but others

(see, for example, Obermann, 1956) skirt the borders of

insignificance and are clearly the kind of work Matthews

(1954: 59) had in mind when he wrote that "one always








is impressed by the industry, patience, and arithmetical

skill which have gone into constructing these tables,

but not always by their political significance."

The only major study of Bundestag recruitment that

does employ a sophisticated framework is Gerhard

Loewenberg's Parliament in the German Political System

(1966).15 The scope of this book extends far beyond

political recruitment, as the author attempts to survey

the historical role of Farliament, its present position

in the legislative process and its effectiveness in

representation. Loewenberg's chapter on recruitment is

primarily concerned with assessing the relationship between

recruitment, the social and political backgrounds of

Members, and the functions of the Bundestag in the German

political system (1966: 40-130). The analysis is based

on the following explicit hypothesis:

The recruitment of members of parliament
is affected by a number of related
and relatively stable variables.
These include public orientations
toward members of parliament, the
material and psychological rewards and
conditions of the mandate, the
organization and membership structure
of the political parties, their
ideological commitments and their
dependence on related interest
groups, the pattern of inter-party
competition, and the requirements
of the electoral law (Loewenberg, 1966:
40).

Loewenberg's work is excellent in every respect. It

is comprehensive, sophisticated and sensitive. In a word,

it is the indispensable source for an understanding of





17

the role of the Bundestag in the German political system.

But, as a study of political recruitment, it has several

weaknesses which must be mentioned.16 First of all, most

attention is devoted to social background characteristics,

such as education, occupation, and religion, although some

consideration is given to age factors and prior political

experience. More important, however, is the fact that

this is not really a study of recruitment at all, at

least as we have implicitly used that term, but rather a

study of the composition of the house at a particular

moment in time, in this case October 15, 1957, when

the first meeting of the Third Bundestag took place

(Loewenb-rg, 1966: 84). This distinction is not

insignificant, as the reader may first imagine. Rather,

it brings us squarely to a consideration of the ways

in which this undertaking differs from previous research.

The most common type of study and, in the view of

some, the least interesting is "the analysis of a single

political unit at a single point in time" (Quandt,

1970: 182). This clearly separates the present research,

which covers the twenty-year period 1949-1969, from

Loewenberg's work and, indeed, almost all other recruit-

ment studies, whether in Germany or elsewhere.

There are also less crucial distinguishing features

which serve to separate this project from certain other

studies. For example, Fishel (1970) surveyed 173

candidates for the fifth (1965) session, far less than








the total population with which we are concerned.

Other investigators have looked at Parliamentary

recruitment in one or several Laender, either for a

single election (Kaufmann et al., 1961; Watson, 1969) or

for several sessions (Varain, 1961).

This project is a significant advance over previous

research for at least three reasons. First, it is, by

almost any measure, the most comprehensive study of

Bundestag recruitment yet completed. Second, the emphasis

on initial recruitment based on a population covering

a twenty-year time period should serve as a useful

complement to momentary, or sessional, studies. Finally,

because of the manner in which the data has been collected

and stored, and particularly because information has

been obtained on subsequent re-election, a great variety

of data manipulations are possible. It is perfectly possible,

for example, to re-order the data for sessional or true

longitudinal analysis, although this will not be done

for this paper. Finally, although little attempt will

be made here to relate recruitment patterns to political

outputs, the data is readily available for such inves-

tigations in the future.17 It is hoped that it will be

a research tool of continuing utility as this writer and

others explore the implications of recruitment patterns

for behavior.













NOTES


1. Excellent critical surveys of the literature
are contained in Jacob (1962), Meller (1960), Meynaud
(1961). Older, but still useful, is Matthews (1954:
chs. 2-3). The reader may also want to consult the
extensive bibliographies in the following: Beck and
McKechnie (1962); Marvick (1961: 334-343); Edinger (1967:
Introduction and 348-366); LaPalombara and Weiner (1966:
462-464); Quandt (1970: 214-238).

2. For example, Jacob (1962: 706) writes:
As purely information sources these
studies are without equal. Yet
their information is frequently left
unstructured; the absence of a
theoretical framework leaves the
reader wondering about the signifi-
cance of it all.
Even more definitive is Donald Searing's (1969:
490) comment:
Given the present state of knowledge
concerning attitude formation and
change, we can conclude in the strongest
terms possible for discursive social-
science analysis of this nature that
the background taxonomy currently
employed in elite studies is inadequate
for forecasting attitudinal distrib-
utions among elite populations.

3. Although recruitment studies have been-severely
criticized for a variety of reasons, one of the most
telling is simply that data collection and preparation
has not usually been approached with comparative analysis
in mind (Quandt, 1970: 182). Thus, the most common type
of recruitment study focuses on a single body at a unique
moment in time, which makes cross-national or even long-
itudinal comparisons exceedingly difficult, particularly
when one takes into account the highly personalistic
manner in which such variables as occupation are coded.
- As examples of the attempt to cope with the problem of
comparability, the reader should look at Quandt (1970)
and Ralf Dahrendorf's exciting and insightful book,
Society and Democracy in Germany (1969: especially chs.
14-19).







4. This is not to suggest that social background
data is irrelevant to the process of political recruitment.
As will be shown in the next chapter, it plays a legitimate,
if limited role. Critics have wielded their ax too
freely, justified their conclusions by setting up straw
men to be easily toppled, and failed to come to grips
with the real complexity of the relationship between
social class, recruitment, and behavior.

5. Schlesinger suggests that ambitions may take
three directions (1966: 10). If the politician wants
a particular office for a specified period and then plans
to withdraw from public office, his ambitions are "discrete."
If he wishes to make a long-run career out of a particular
position, his ambitions are "static." Finally, if he
wishes to attain an even higher office than he presently
holds or is seeking, his ambitions are "progressive."

6. This is admittedly one of the key weaknesses of
ambitions theory as it is employed by this author and
Schlesinger. There is certainly an element of choice
involved in deciding to analyze aggregate data rather
than conduct in-depth psychological interviews, or, more
superficially, to ask the politician about his ambitions.
Schlesinger (1966: 198) writes: "I am well aware that
I have not demonstrated either that American politicians do
in fact perceive their opportunities as I have described
them or that the opportunity structure affects political
aspirations." There are advantages which may override this
limitation, however, notably that data is more readily
available, the model can be extended to include other
historical epochs, and generalizations may be more meaning-
ful. In addition, there is the practical consideration
that understanding the structure of opportunities is
logically prior to bringing order to ambitions. Thus,
Jacob and Browning (1964) have found upon direct examination
that ambitions are not distributed randomly, but intimately
related to available opportunities.

7. Schlesinger (1967) has also made limited cross-
national career comparisons for the U.S., Canada,
Australia, Great Britain, and France. The depth of
analysis, however, is hardly comparable to his seminal
study of the structure of political opportunities in
the United States.

8. Contrast, for example, Sorauf's (1968: 3)
contention that American parties are unusually pre-
occupied with contesting elections with Kirchheimer's
(1966: 51) view of the German situation where "hankering
for the spoils of government by impatient politicians
is not a major element in political party life, nor
does it force what one may call an electoral style on
political competition."







9. The biographical data for this study and a
detailed codebook are filed with the political science
data lab, Department of Political Science, Universtiy of
Florida.

10. The basic data sources for this study are the
official biographical sketches for each member contained
in the Amtliches Handbuch des deutschen Bundestages,
Wahloeriode II-VI (1953-1969). This information is
supplemented when necessary by consulting Wer ist Wer?
and Who's Who in Germany, standard biographical reference
works. Information on the demographic characteristics
of the 248 elective constituencies has been kindly
provided by Dr. David Conradt, who has gathered the
information from standard statistical publications
of the Federal Republic.

11. A similar-justification has been employed by
Prewitt and Eulau (1971) in their study of the social
bias in Iradership selection. In that study the authors
summed and averaged electoral turnout over a ten-year
period and justified the decision by arguing that
"our purpose here was to neutralize secular trends
precisely because we were more interested in reconstruct-
ing the politician's 'psycho-political life space,'
than in describing 'reality"' (297).

12. An understanding of these terms is essential
for grasping the basic argument advanced later in the
chapter for the uniquity of the project. As we employ
these terms, "longitudinal" analysis means the study of
change over time. "Sessional" analysis, on the other
hand, means the study of a particular political unit
at a given moment in time. Obviously, this can be
employed successively to create a kind of longitudinal
analysis, when the sessions are used as discrete points
along a time continuum. In this paper, however,
we will primarily rely on what is called, for lack of
a better term, "aggregate" analysis. By this we mean
the consideration of information gathered over a period
of time, in this case 1949-1969, as a single population.
There is no attempt made to determine trends over time.

13. The actual method of data recording is as follows.
Three 80-space formats were employed. The first two
formats correspond to card #1 and card #2 each case,
respectively. The first format contains general social
background information, while the second format includes
the variables to be employed in the analysis of initial
recruitment. Together these cards constitute the basic
deck used for most of the analysis reported in the paper.
The third format resembles, in basic form, the second
format and is employed each time a person was re-elected.








Thus, if a person served 4 terms, the appropriate format
would be punched on three separate cards, one for each
re-election. These cards would be numbered three through
five. The number of cards per case, then, may range from
two to as many as seven if a person served in.all six
sessions. A more detailed listing of the individual
variables is available in the author's codebook.

14. Survey research covering the period 1949-1967
indicates a steady rise in public support for the political
institutions of the Federal Republic (see Institut fpr
Demoskopie, 1967: 14-20. 31-37). In a recent elite survey
two-thirds of respondents regarded the present system as
"stable" (see Wildenmann, 1968: 58).

15. See also the more recent works by Kaack (1969)
and Zeuner (1970);

16. This should not be taken as a criticism, given
Loewenberg's basic purpose and the obvious limits which
any investigator must set for himself. Loewenberg's
sensitive portrayal of the relationship between recruitment
patterns and the way in which the Bundestag fulfills its
representative function is clearly indicitive of the
direction in which future career pattern analysis could move.

17. It should, perhaps, be emphasized again that the
author is well aware that the present undertaking is not
directly "behavioral." Wahlke (1962: 174-175) is entirely
correct when he argues that "one variety of study often
erroneously thought to be distinctively 'behavioral'
is that which ascertains certain demographic characteristics
of the membership of particular representative bodies
.. .they tend to be purely descriptive." According to
Wahlke, the case for collecting quantities of such
descriptive information is best argued by W. O. Aydelotte
("A Statistical Analysis of the Parliament of 1841:
some problems of method," (1954) Bulletin of the Institute
of Historical Research, 27: 141) who hopes that "revealing
correlations" may be discovered. Wahlke is also correct,
however, when he argues that more than the possibility
of interesting correlations are needed:
Logically, two sorts of hypotheses
are needed: first, hypotheses concern-
ing the circumstances which lead to
the presence or absence of representa-
tives with certain characteristics;
second, and more important, hypotheses
concerning the consequences of varia-
tions in these characteristics for
the behavior of individual legisla-
tors and, thereby, for the working of
the representative body (1962: 175).





23


This study will certainly attempt to meet the first need,
but because of lack of appropriate data, will be able to
do little that is truly behavioral at this time.














CHAPTER 2


POLITICAL RECRUITMENT: DEFINITION AND CONCEPTUALIZATION


The goal of this chapter is to define the term

"political recruitment," and to conceptualize the process

of political socialization and participation which

culminates in election to public office. As a part of

this discussion, much of the relevant literature will

be reviewed for substantive findings and heuristic concepts.1

It is not our purpose, however, to make explicit use of

most of the framework developed here in the later chapters.

The conceptualization is presented only to help the

reader place the key research variables, social back-

ground and political career experiences, in proper

perspective as regards the total process of political

recruitment.



A Definition


Political recruitment can be defined in a variety

of ways. One can speak of recruitment to politics per se.

initial recruitment, or recruitment to a particular

office structure. The most satisfactory definition for

our purposes is institutionally specific. Kim (1967: 1036),








for example, views recruitment as "the entire process

involved in a person's induction into a position."

Similarly, Almond and Coleman (1960: 32) refer to "the

special political role socialization which occurs in a

society 'on top of' the general political socialization"

and Prewitt and Eulau (1971: 293) speak of "the intramural

sorting and screening processes" which mean "advancing

from being politically active to becoming a candidate for

political office.". From this perspective, to study

recruitmen: is to examine how individuals get into specific

positions of leadership. It has the advantage of being

general in form, but unique to whichever institution or

office structure is being investigated.

These definitions stand in rather sharp contrast

to those that either equate recruitment with high

levels of political activity (Pye, 1962: 45-46) or

seek to limit use of the term to initial recruitment,

preferring the term "political promotion" for all

subsequent office activity (Jacob, 1962: 706; Fishel,

1969: 1214).2 High levels of political activity, what

Milbrath (1965: 18) calls "gladiatorial" activities,

include such things as being and active party member attend-

ing meetings, and contributing time to a political campaign,

as well as being a candidate or officeholder. It is,

thus, too vague and diffuse a category and is not,

in any case, limited to officeholders which are our sole








concern. It is possible, of course, to argue that

most recruitment studies have focused on political

promotion rather than initial election, but this is an

obvious truth and a not very useful distinction, since

it merely seeks to substitute one word for another,

without clarifying the underlying concept.

In this paper we follow the more generally accepted

practice of using the term "recruitment" to refer to

the entire process of selecting Members of the West

German Bundestag, while recognizing that this is, in

actuality, an example of political promotion. In

attempting to understand the nature of that process

it is helpful to think of it as part of the total

process of political socialization and participation.3


Political Participation


Political participation ranges from simply exposing

oneself to stimuli to holding public and party office,

with the most common form being the intermittent act

of voting. Milbrath (1965: 18), who has explored the

subject of participation in a fascinating book, suggests

that people can be grouped into four broad categories

along the continuum of political activity in terms of

the amount of time and energy devoted to politics.4

"Apathetics," those who do not vote and essentially avoid

politics, are the least active. Most people are








"spectators" who participate in the system by voting

and discussing politics. "Transitional" activities,

such as contacting public officials or attending political

meetings, clearly separate the third group from the

relatively passive role of "spectators." Finally,

those who are actively committed to politics, who

contribute time to candidates, or perhaps become candidates

and officeholders themselves, are engaged in what

Milbrath calls "gladiatorial" behavior. The rank-

ordering of political activities is assumed to be

generally valid from one country to the next, since it

is based on time and energy costs (Milbrath, 1965: 19).

This does not.mean, however, that the same proportion

of the population in different political systems will

engage in similar activities. Political culture,

for example, is an important variable affecting the

amount and kind of participation and will be discussed

in the next chapter.

The hierarchy of political involvement is relevant

to an understanding of political recruitment for at

least three reasons. First, involvement tends to be

cumulative, due to the fact that persons who engage

in more costly activities, such as working in a campaign,

are also likely to vote and discuss politics with others.

Secondly, research indicates a positive correlation

between the levels of participation and such socio-

economic variables as income, occupation, education,








age and sex. Thus, voters are more likely to be male,

older, more affluent, better educated, more knowledgeable

and more partisan than nonvoters (Campbell et al., 1964:

250-265; Lane, 1959; Lane, 1970; Milbrath 1965: 110-141).

Similarly, recruitment studies have shown that party

activists and public officeholders are predominantly

drawn from the middle and upper-middle socio-economic

brackets, are more knowledgeable and better educated

than the mass electorate (Matthews, 1954: 32; Matthews,

1961; Meynaud, 1961: 525; Sorauf, 1968: 92-96; Bowman

and Boynton, 1966; Prewitt and Eulau, 1971).

Obviously, many of the variables are interrelated.

For example, Lane (1970) attributed the differential

rates of participation between middle class (high)

and working class (low) to eleven factors, including

education, time and energy available for political activity,

economic security, self-esteem, child-rearing practices,

civic responsibility, and greater cross-pressures on

the working class. Similarly, Berelson and Steiner

(1964: 422-426) think the higher participation rates of

high SES persons is due to three factors: (1) they are

better educated, (2) they are more likely to perceive

that they have a stake in politics, (3) they are more

likely to interact with persons active in politics.

The hierarchy of political involvement is a useful

conceptualization for yet a third reason: it points

to a major turning point in the process of political








participation which can be called the "gladiatorial

threshold." Although the various forms of participation

are hierarchically arranged, the process of transition

is not smooth, but discontinuous:

Occasionally, a spectator jumps into
the political fray. But, by and large,
personality and environmental factors
encourage persons to stay in their
roles. There seems to be a kind of
threshold that must be crossed before
a person changes role; this is especially
characteristic of the transition from
spectator to gladiator. A person needs
a strong push from the environment
(e.g., earnest solicitation from a friend)
or needs to feel very strongly about
an issue or a candidate before he will
cross the threshold and become a politi-
cal combatant. Once the threshold is
crossed and the new team member becomes
integrated in his role, he usually
participates in a wide repertoire of
political acts (Milbrath, 1965: 20-21).

The change in level of activity is not unlike the changes

of state that occur when water is changed into ice or

steam. The idea of a threshold serves to identify the

initial stage of political recruitment and helps to

distinguish it from other forms of political participation.

Merely showing that there are levels of political

activity does not explain why some people get involved

in politics and others do not. But the fact that

activities can be arranged hierarchically and are quite

interdependent leads to the expectation that general

models of participation and recruitment could be developed.

Milbrath (1965: 28-38) has developed a perceptually








oriented model of behavior which relates stimuli,

personal factors, the political setting and social position

to participation.5 It is particularly helpful because

it explains participatory behavior in terms of the

complex, and sometimes circular, interaction of the indi-

vidual's predispositions, experiences, and perceived

environment. The model is a very general one, quite

consistent with Schlesinger's ambition theory which,

the reader may recall, is also implicitly based on

perceptual psychology. For Milbrath, a decision is

basically viewed as a function of physiological and

psychological needs, beliefs, and attitudes, which can

be called predispositions, and stimuli coming from the

environment. Stimuli, however, are modified by "the

selective effect of predispositions upon perceptions"

(Milbrath, 1965: 33). When the concept of selective

perception is combined with the notion of a predisposi-

tional threshold, one gains an understanding of why

some persons participate in politics in certain ways

and others do not. Thus, the individual who votes,

but does not campaign, might find that his predispositions

to political inactivity are reinforced by selective

perceptions that campaigning is part of dirty politics,

thatno one needs or wants his help, or that any such

effort would be largely ineffective anyway. It would

take, as indicated earlier, a particularly strong push









from the environment, in other words, a stimuli that

could not be ignored, or a combination of issues which

might arouse sufficient counter-predispositions, to get

the spectator to cross the gladiatorial threshold.

On the other hand, an ambitious politician, whose predis-

positions favor active involvement, might conclude,

on the basis of selective perception, that a real

opportunity for election existed where such was not the

case. In both examples, behavior feeds back to the

individual, persumably altering his attitudes, needs,

perceptions, and future participatory behavior.

Although a model of the general process of partici-

pation is somewhat helpful, the tendency to emphasize

the individual's perceptual-motivational set means that

the institutional framework within which leadership

selection takes place is largely ignored. Political

structures, such as parties, are defined as part of the

environment, relevant only to the degree that they are

perceived by individuals. While this may be an accurate

picture of the motivational component, it ignores the

active role of parties and other agents in recruiting

leaders. What is needed is a framework of analysis that

encompasses both the individual's psychological and

sociological backgrounds and the several agents of

recruitment.








Models of Political Recruitment


In recent years, there have been several suggestive

attempts to conceptualize the process of leadership

selection. In this regard, the writings of Seligman

(1961, 1964), Sorauf (1963: 81-89), Jacob (1962),

and Browning (1968) come readily to mind. None of these

is entirely satisfactory, but taken together they lead

to the conclusion that any comprehensive model must take

account of at least four sets of variables: (1) the

individual's psychological background, (2) his social

background and career experiences, and the role of

(3) party and (4) constituency in certification and selec-

tion.6 Before discussing the relevant research findings

in each of these areas, it may be helpful to look at

two somewhat different ways in which to visualize the

recruitment process.

No diagrammatic presentation could do complete

justice to the complexities of political recruitment,

but two partial schemes have proven helpful to this

writer. First of all, recruitment can be looked at

from the societal perspective as the successive narrowing

of the relevant population as it passes through a series

of funnels or filters (see Figure 1).7 As shown in Figure 1,

there are at least four selection structures which can

be identified in the modern state system: (1) the formal















U formal
L require- social political opportunity THE ELIGIBLE
A ments structure structure structure









THE PROCESS OF CERTIFICATION

Figure 1


requirements, including the formally enunciated require-

ments for office such as age and citizenship, (2) the

social structure, (3) the political structure, and

(4) the opportunity structure.8

The process of certification, however, is really

not a process at all, at least not as we have used it.

Essentially, all it does is illustrate the idea that

only a fraction of the total population meets the formal

and informal requirements for public office. This is

of course, a very important point. A recent study

stressed the fact that:

Even in the most democratic society,
the electorate does not choose from
among all its members. It chooses
from among a pool of eligibles
disproportionately drawn from the
higher social-status groups in








society; the availability of these
elites as political candidates very
much depends on the intramural
maneuverings within the active
stratum by which some are recruited
to and others eliminated from candidacy
(Prewitt ano Eulau, 1971: 293).

Schlesinger (1966: 12) was even more succinct when he

wrote that "It may be, as some have said, that today

only millionaires can become President; but only those

millionaires in strategic political posts can hope to turn

the trick. In the game of politics the political as

well as the social system determines the players." But

more dynamic perspective is still needed, one that is

process-oriented.

Figure 2, largely self-explanatory, is an attempt

to visualize the sequential structure of political recruit-

ment in terms of the mutual interaction, over a period

of time, of the political environment, the potential

candidate, and relevant political elites.9 The political

environment includes, among other things, the electoral

constituency. The explicit inclusion of the constituency

as a factor in recruitment is frequently neglected, but

crucial to any model, such as this one, that has a concern

for behavior in office, and, thus, for representation.

Preceptually based, like Milbrath's more general model

of participation, it is also consistent with ambition

theory, although it is hardly limited to such an inter-

pretation. It makes clear that candidates can be either

"self-starters," or actively recruited by political












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leadership.10 In either case, acceptance of nomination

depends on the interaction between motivations and

perceptions of opportunity and risk. Cnce elected,

of course, the politician's office behavior has implications

for his subsequent re-election.

A model of this type is probably the most satisfactory

that can be produced at this time, but the skeletal

relationships described above need to be filled in with

substantive findings from relevant political research.

To do this, we will return to the four sets of variables

which were mentioned earlier: psychological background,

social background and career experiences, and the role

of party and constituency in candidate selection.


Factors in the Recruitment Process


Needs and Perceptions

Psychological factors have been largely neglected

in the empirical study of political recruitment. This

is unfortunate because they provide an important moti-

vational component by relating individual needs and

the perception of opportunities. What little research

exists usually emphasizes the role of political office

in fulfilling certain personality needs, such as the

need for Power, Affiliation or Achievement (McConaughy,

1950; Jacob and Browing, 1964; George, 1968).11 The

role of perceptions in molding goals and behavior has








only been indirectly approached in the literature on

political recruitment.12

The interaction of needs and the perception of

opportunities for need satisfaction best explain the

drive for public office. Early investigations of the

drive for power failed to include a perceptual component

and have been partially contradicted by later research.

Weber (1958: 78) and Lasswell (1948: 39, 53), for example,

hypothesized a drive for power as a significant character-

istic of political activists and this thesis has received

some support from a subsequent investigation of power

motivations of South Carolina state legislators, since

legislators had slightly higher dominance scores than

a control group (McConaughy, 1950). But a more recent

study of politicians holding a variety of positions in

two states led to the conclusion that neither power,

affiliative, nor achievement motivation was "peculiarly

characteristic of the total sample of politicians tested"

(Jacob and Browning, 1964: 81).

The apparent discrepancy in findings can be signifi-

cantly reduced by controlling for the ability of a given

political system to satisfy a given need. Thus, in the

two-state study the authors found that men in positions

with high power and achievement potential had higher

motive scores than the nonpolitical control group or

other politicians. Also, because opportunities for power

achievement in politics were lower in Louisiana parishes








than in the eastern city studied, highly motivated persons

were more typical of the latter sample. Significantly,

the authors rejected a role socialization explanation,

which would have suggested that exposure to power and

achievement opportunities had socialized certain office-

holders to high levels of power or achievement motivation,

on the grounds that candidates for such positions had

the same basic motivational characteristics as office-

holders. Their conclusion is succinctly stated in the

following logical hypothesis:

Motivated behavior--for example, the
choice of one activity ever another
less preferred--is the product of (1)
the individual's underlying motivation,
or need for a certain kind of satisfac-
tion, and (2) his expectations or
perception of motive satisfaction in
the alternative activities (Jacob and
Browning, 1964: 82).

This argument is quite consistent with ambition theory

since "ambition" is only a catch-all term used to refer

to a wide range of human wants and needs without making

the investigator specify the wants and needs.of any

particular individual. Individual motivation

mediated by perceptions of the environment propels some

persons toward political candidacy. But other variables,

particularly social background, help to explain why

some individuals rather than others perceive political

activity as a means of satisfying ambitions.

Social Background

Social background factors are operative at several







points in the process of political recruitment. First

of all, background variables such as class, family,

education, and occupation, predispose some persons to very

high levels of political activity in the same way that

they influence more common forms of participation like

voting. A recent study of family relationships in Congress

makes this quite clear (Clubok et al., 1969).13 The

authors, who discovered that a disproportionate number of

congressmen had relatives who had also served in Congress,

attributed this to the fact that they had "grown up in an

environment conducive to the internalization of political

values, awareness, understanding and motivation" (1036).

Secondly social and occupational background can tell

us a good deal about availability and skills. Two

examples should suffice to illustrate the point. It

has been found that British M. P.'s who eventually

attained cabinet office entered politics at an earlier-

than-average age (Buck, 1963). Their clear intention to

make politics a career was probably helped along by

limited family responsibilities and little, if any,

commitment to an alternative occupation. But one's

private occupation may be quite relevant to politics.

The legal profession, particularly in the United States,

is the example par excellence of a convergence of several

factors--occupational flexibility, "brokerage" skills,

and private advantage--which makes public officeholding

both possible and attractive.








Occupational flexibility, which makes it relatively

easy for professional persons, particularly lawyers, to

serve in legislative bodies need not detain us here.

The notion of occupational utility for politics, what

Jacob calls "brokerage" occupations, is perhaps more

significant, since it stands in partial contrast to a

social structure explanation of recruitment. According

to Jacob:

Elected officials will come principally
from brokerage occupations; as such
occupations exist at all levels of the
social hierarchy, elected officials may
come from lower as well as upper status
occupations (1962: 716).

The brokerage concept emphasizes the congruence of skills

in private occupation and politics, particularly those

skills central to the give-and-take of politics. But

two additional points are relevant here. First of all,

the brokerage concept can easily be stretched to include

Schlesinger's idea that complementarity of functions can

serve as a link between political offices (1966: 99).

Even more important, in the German system where admin-

istrative norms seem particularly important, other

skills may be more suitable (see, for example, Kirchheimer,

1966; Loewenberg, 1966: 107-108, 114).

Finally, in terms of occupational utility for politics,

Eulau (1962: 507) has written that "just those individuals

whose private pursuits qualify them for public office may

also derive advantage from political status for their








private occupations." There is considerable evidence to

support this conclusion. For example, Gold (1961) found

that lawyers usually enter state legislatures at an early

age and only stay for two or three terms, just long enough

to derive significant private advantage. Similarly, Barber

(1965: 23-66) speaks of the advertiserr" as one of four

types of Connecticut legislators, characterized by high

levels of activity, but a willingness to return for only

a few sessions.

Jacob (1962) has suggested yet a third way in which

social background is related to recruitment. An integral

part of his model of recruitment is the community esteem of

political office and he suggests that, just as water seeks

its own level, "brokers will initially seek offices whose

esteem corresponds most closely with their own standing in

the community" (716).14 Thus, a Boston Brahmin is unlikely

to run for clerk of the circuit court, but quite likely to

run for the U. S. House of Representatives of the Senate, as

the examples of Lodge, Kennedy and Saltonstall will testify.

A final way in which social background factors enter

the recruitment process is by being considered as relevant

criteria by party and constituency as they go about the job

of nominating and electing representatives. It is only

when we consider these agents of recruitment that predictive

propositions about leadership selection and various kinds

of behavior are possible.








Party and Constituency

It is difficult to separate the operation of party

and constituency in the process of political recruitment.

Certainly the parties, whose concern is for electing

candidates, select persons that will, at least in some

ways, appeal to the voters or the major interests tied

to the party (Loewenberg, 1966: 70-78). On the other hand,

parties also try to pick candidates that meet their own

needs (Sorauf, 1963: 81). This is particularly true

where the party is organizationally strong and/or can

count on victory at the polls (Mezey, 1970; Jacob, 1962:

716). Attempts to relate either party or constituency to

recruitment almost always use traditional social back-

ground data such as prior political experience as dependent

variables (Walker, 1960; Snowiss, 1966; Mezey, 1970).

Since a much greater volume of research has been done on

the role of the party in recruitment, it is to this

literature that we turn first.

Using party competitiveness, variously measured, as

the major independent variable, numerous investigators

have found consistent relationships with three dependent

variables: age, socio-economic status, and prior political

experience. Given the obvious security and lower turn-

over rate of a predominant party, it is not surprising

that parties in safe districts generally select older

nominees than those in more competitive areas, or that








the youngest candidates are put forward by parties in

a hopeless minority position (see Walker, 1960: 24-26;

Snowiss, 1966). Youth is more likely to have the energy

to wage an up-hill, or even a hopeless campaign, and also

is more likely to derive private benefits from political

exposure, regardless of electoral outcome.

Age, quite obviously, is somewhat correlated with

the amount of political experience a person could have.

Several studies would suggest that in dominant parties

youth has to serve a long apprenticeship. Mezey (1970: 566)

has found that successful majority party candidates

are more likely to have held previous political office

than successful minority party candidates. Similarly,

Jacob (1962: 716) argues that where party organizations

control nominations only those "brokers" who have contact

with the machine will enter politics. But in the German

case there was a serious lack of qualified party members

to run for public office in the immediate post-war period.

Until the parties, particularly the CDU, grew organization-

ally stronger even Bundestag seats were assigned to

interest group representatives without a history of party

activity (Heidenheimer, 1966: 71). Prior political

experience, then, is something the parties would like

candidates to have, provided that they are in a position

to choose.

Findings about social status are less consistent.

There seems to be a tendency for long-predominant parties








to have leadership that is heavily biased toward higher

socio-economic groups (Patterson, 1963). This may reflect

a bandwagon tendency on the part of upper-class elements,

as well as the fact that older candidates, who are more

numerous in dominant parties, have had a greater opportunity

to advance socially and economically in their private

lives. Partially counteracting this, however, is a tendency

for parties to choose higher status candidates in competi-

tive districts (Kornberg and Winsborough, 1968: 1242).

Collectively, then, candidates in competitive districts

are likely to be younger, upwardly mobile individuals,

who may or may not be party regulars. The picture for

their counterparts in noncompetetive districts is less

structured: majority party nominees tend to be older

party regulars; minority party candidates may be either

young and inexperienced, or older, respected members of

the community who can be talked into a token candidacy

(see Snowiss, 1966).

Research on the role of the constituency in the

process of political recruitment is exceedingly fragmentary.

The underlying hypothesis for such research has been

well stated by Rosenzweig (1957: 163) who argued that

"it is likely that the characteristics of candidates

for public office are determined in part by the character

of the constituency in which they are running." There would

also seem to be a natural tendency to stress the representa-

tional function at this point, by drawing inferences from








a comparison of the social backgrounds of politicians

and their constituencies on the assumption that "the

dominant values of the community result from its social

characteristics, and these values are in turn imposed on

all who would rise to positions of community leadership'

(Sorauf, 1963: 89).

There is some evidence to support the view that

officeholders do reflect their electorates in certain

key dimensions. Sorauf, for example, found that candidates

for public office in Pennsylvania resembled their constit-

uency in terms of race, religion, and ethnic background

(1963: 89). And Prewitt and Eulau (1971: 304) have found

that the average status of city council members is posi-

tively related to the socio-economic level of the

community, as measured by the median market value of

homes. Similarly, other investigators have found that

social groups supporting a particular party are heavily

represented among that party's officials (Epstein, 1958:

89) or those seeking its nominations (Loewenberg, 1966:

67-68, 75-77; Varain, 1964).

Constituency is also relevant to recruitment in ways

not so easily related to a vague definition of representa-

tion. Kornberg and Winsborough (1968: 1243), for example,

found that relative urbanization and industrialization

affected recruitment patterns by being positively related

to the mean status of candidates. And Wences (1969: 181)





46

suggested that the higher the level of electoral partici-

pation, "the lower the proportion of political leaders

recruited from business and legal occupations, but the

higher the relative number recruited from other professions

and from Labor and Party bureaucracies." These findings

are at least partially explicable in terms of the concen-

tration of wealth and status in areas of high population

and the mobilization of the lower classes. Their

significance, however, is far from evident and more

research is needed to establish them as valid generali-

zations.

The importance of constituencies in political

recruitment may vary with the structure of the electoral

system, the organizational strength of political parties,

and the tendency for constituents to vote for parties

rather than candidates. Conditions in the United

States would seem to maximize the potential impact

of constituents, while those in Britain and Germany

would reduce it. Differences, however, may not be as

great as one might think. Austin Ranney (1968) finds

that considerable localism does exist in British candidate

selection, despite the fact that formal power of the

national political party organizations are impressive.

For Germany it has been pointed out that at least within

the SPD "positions of leadership are widely held to

require more and more the ability to deal with persons








outside the party," implying an increasing role for elec-

toral constituencies (Chalmers, 1964: 160; see also

Loewenberg, 1966: 83).

The role of constituents in political recruitment

certainly deserves more study. By correlating demographic

and electoral data for each Bundestag district with

legislative career patterns we should be able to say

something about the impact of constituencies on leadership

selection. Previous work by this author (1969) would

lead to the hypothesis that constituency candidates

would have significantly different career patterns than

list candidates, the latter probably reflecting interest

group affiliation and state and national party experience.

Similarly, there may be differences between one-party

dominant districts and competitive or semicompetitive

areas. Each of these ideas will be explored in later

chapters.


Recruitment and Representation: Reflections on Outputs


Having looked at some of the ways in which constituency

factors may affect political recruitment, it may be worth-

while to conclude this chapter on a reflective note.

One of the most difficult tasks for this writer has

been to conceptualize political recruitment in a compre-

hensive, yet unambiguous manner. Most of the literature

on recruitment is conceptually inadequate, occasionally








irrelevant, and subject to searching criticism. Having

grappled with this thorny problem for some time, several

thoughts occur which should help to improve our under-

standing of the recruitment process, its possibilities

. . and its limitations.

Not all the research that has been conducted is

irrelevant, or unimportant, despite the critics--far

from it. The literature, taken as a whole, as we have

tried to do in this chapter, provides a reasonably

adequate understanding of the recruitment process. The

difficulty is that only infrequently have scholars tried

to conceptualize the total process. Instead, they have

emphasized small, isolated segments: psychological

factors, social background, or the role of political

parties. Additionally, research has been divided very

unevenly between even these gross categories, with most

works devoted to easily ascertainable social background

characteristics--often without any real thought as to

how these features relate to political recruitment.

Two major problems are apparent upon examination.

First of all, studies of who is recruited need to be

distinguished from investigations of how persons are

selected to fill leadership positions. In reality such

a separation is somewhat artificial, but it helps to

emphasize that those analyses of who is recruited are

often unrelated to theory, being mere compendia of discrete








facts. Facts about who is recruited, usually social

background.material, are important because they stand

for things that predispose people to high levels of

political activity--interest, ability, knowledge, feelings

of efficacy and similar factors. By themselves, how-

ever, they are static and descriptive; hardly an adequate

approach to the dynamic process of getting persons

elected to public office. For our purposes, recruitment

is the study of how people get into positions of leader-

ship. This is done by looking at the sequence of

political officeholding.

A second problem arises because our interest in

recruitment is often prompted by our concern for other

kinds of political behavior; for a variety of outputs

which can, supposedly, be related to who is recruited and

how. Snowiss (1966: 627) stated the thesis simply when he

wrote: "The study of recruitment and the study of

representation are complementary." Complementary they

may be, but identical they are not. Scholars have a

normal desire to study significant objects, but students

of political recruitment sometimes make exaggerated claims

for their subject out of a failure to understand that

"factors operative in political recruitment may not

operate identically in such closely related subject

areas as roll call voting and representation.

When recruitment is taken as an independent variable,

it is then related to some kind of dependent political








output--roll call voting (Atkins and Baer, 1970; Schulz,

1969), participation (Barber, 1965; Loewenberg, 1966;

Hanna, 1965-66), system stability (Legg, 1969a; 1969b;

Watson, 1969), or representational roles and attitudes

(Bell and Price, 1969; Fiellin, 1967; Kochanek, 1968).

But we should not expect to find, nor do we find,

simple relationships between background factors and,

for example, roll call votes, when we cannot even

demonstrate a consistent connection between backgrounds

and attitudes, variables which should be more closely

connected (Edinger and Searing, 1967; Searing, 1969).

Social and psychological backgrounds obviously have some

bearing on political outputs, but they are mediated by

party and constituency and it may .e that apparently

simple relationships are mere artifacts of other variables.

Matthews (1954: 41), for example, indicates this may be

the case for Rice's finding that farmers tended to vote

together regardless of party. He suggests this may be an

artifact of similar constituencies (Matthews, 1954: 41).

The tendency to consider recruitment and representation

as one process is understandable in light of the fact

that many of the same variables are operative: personality,

social backgrounds, party and constituency. But a little

thought should make it clear that they operate in different

ways and in different combinations in what are essentially

two separate processes. For example, the drive for power,








need for achievement and need for affiliation affect

recruitment, but would not seem equally relevant to

many kinds of political output. Certainly these are

not attitudinal variables that should have any recogni-

zable direct impact on roll call voting. Similarly,

higher status individuals are more likely to be recruited

to political activity, but this does not mean that they

represent class interests or vote in a predictable manner.

As Schlesinger (1966: 13) said, "the social or occupational

composition of Congress is no guide to its voting

behavior."l5 Most research emphasizes that party is

the best explanatory variable for voting behavior and

that residual variation can be explained by constituency

factors, such as district "safeness" or typicalityy"

(MacRae, 1952; Froman, 1963: 110-121; Sorauf, 1963:

144-146).

Recruitment patterns can be related to certain kinds

of behavior, but we should expect the more directly

political experiences to have a greater impact. Thus,

James Barber (1965: 237-240) has found that certain

kinds of constituencies are likely to send individuals

with personality needs that have implications for their

level of political activity. For Germany, Loewenberg

(1966: 107-121) has found that occupation is significantly

related to performance in Darliamentary debate. Finally,

Schlesinger (1966: 5) has suggested that career patterns,

which tell us what goals individuals in certain positions








may reasonably pursue, can be related to representative

behavior through a very direct concern for getting one's

self elected. Because the perspective is on careers,

however, he quickly points out that the relevant constituencies

may be different from the formal electoral constituency

of the moment (1966: 5).

In the Bundestag it is not expected that recruitment

patterns will be an important factor in explaining voting

behavior, which is largely determined by party lines,

although they might help explain vote deviancy (see

Reuckert and Crane, 1962).16 Nor is it assumed that

recruitment patterns will be directly related to attitudes.

But other, equally important, if less easily ascertainable

relationships may exist, although they will not be con-

sidered as part of this study. As examples, one could

cite the absolute level of legislative activity, legis-

lative effectiveness,. and representational role orien-

tations. These should be fruitful areas for future

research.













NOTES


1. Many of the examples are taken from the American
context since a large proportion of the work has been
done in this country. It is assumed that basic relation-
ships are generally valid from one country to the next,
although, of course, little reliance should be placed
on precise figures. This is not an uncommon assumption.
See,for example, Milbrath (1965: 19) and Prewitt and
Eulau (1971: 294).

2. 11 must be emphasized that "initial recruitment"
as used by these scholars is quite different from our
decision to look at "initial Bundestag recruitment"
patterns. As they have used it, the term would refer to
the first political candidacy, or office, in an individual's
background, which would normally be at the local or
state-wide level.

3. Prewitt and Eulau (1971: 293) draw a distinction
between "political recruitment' and "leadership selection,"
defining the former as a subset of the latter: "leader-
ship selection refers to tht processes that determine
which few men from any generation will come to hold
political office, and thus includes political sociali-
zation patterns, socio-economic bias, the formation of
the politically active stratum, and the political opportun-
ity structure." In this paper we have used the two terms
interchangeably. What they refer to as "leadership
selection" more closely resembles those processes of
political socialization and participation which will be
discussed in the next section of this chapter.

4. This section is heavily based on Milbrath (1965).
He has managed to draw together in concise, readable form
most of the literature on political participation and
to systematize the findings. This writer was interested
to note that his own attempt to organize the literature on
political recruitment led to an emphasis on a similar set
of factors.

5. See particularly Milbrath's (1965: 28) diagram-
matic representation of the model.







6. The terms "certification" and "selection" are
Seligman's (1961). Certification includes basically those
factors of social screening and political channeling
that Prewitt and Eulau (1971: 293) refer to as "leader-
ship selection." Selection resembles their definition
of "political recruitment."

7. For a somewhat similar scheme see Prewitt's
(1970: 8) "Chinese box puzzle" which is a further attempt
to describe "The successive narrowing of the many who
are governed to the few who govern."

8. A distinction is not always made between the
political structure and the opportunity structure. As used
here, the political structure refers to the structure of
the political parties, the electoral system and similar
factors, while the opportunity structure is concerned
with the number of opportunities, the amount of inter-
and intra-party competition and the extent of multiple-
officeholding.

9. The author is happy to acknowledge the influence
of Seligman (1967: 295), Milbrath (1965: 2) and Browning
(1968: 304) on his visual conceptualization of the recruit-
ment process.

10. Seligman (1961: 86) identifies four patterns of
candidate recruitment: (1) conscription, (2) self-
recruitment, (3) co-optation and (4) agency.

11. A good summary of the personality and politics
literature can be found in Greenstein (1968). The entire
issue of Journal of Social Issues in which Greenstein's
article appears is devoted to the topic. See also foot-
note references in Milbrath (1965: Ch. 3).

12. An exception is Jacob and Browning (1964). Also
relevant are George (1968) and Kingdon (1968).

13. See also Bowman and Boynton (1966), Kornberg and
Thomas (1965) and Wahlke et al. (1962: Ch. 4).

14. A somewhat similar thesis, although applied from
a systemic rather than individual perspective, has been
used by Prewitt and Eulau (1971: 302) who argue that city
council members in the Bay Area are drawn exclusively
from persons above the sixtieth percentile in the social-
status hierarchy of their community, but that the absolute
value of that percentile shifts from one community to
another.


15. For a conflicting interpretation see Donald
Matthews (1954: 40).





55


16. A recent article has explored precisely this
point by relating the voting cohesion of the British
Conservative party to three constraints against deviancy:
potential career vulnerability, career enhancement
aspirations, and feelings of group or party identity. The
second constraint, career enhancement aspirations, appears
to be very similar to Schlesinger's idea of progressive
ambitions. It is operationalized in terms of acquisition
of higher office, the length of Commons membership,
and age, all of which are important career variables.
See Schwarz and Lambert (1971).












CHAPTER 3


THE SETTING


The Federal Republic is a relatively new entity built

upon the ruins of the Third Reich. Its constitution, the

Basic Law, was only adopted May 23, 1949 and it was not

until May 5, 1955 that the last vintages of military occu-

pation, with the continuing exception of Berlin, were

removed.1 It would be a mistake, however, to view the

German political system as essentially a new creation, for

it exhibits striking continuities with the past. Kirch-

heimer (1950) and Edinger (1961) have found significant

similarities in elite recruitment since the Weimar period.

Even more recently, the sociologist Ralf Dahrendorf (1969:

285-296) has criticized the continued predominance of

"private virtues" even "public virtues." And the philoso-

pher Karl Jaspers (1967: 22-28), in a thoughtful polemic

on the possibly totalitarian direction of German politics,

has stressed that the old faults remain: political passiv-

ity and a lack of commitment to individual freedom and

democracy. Perhaps more than most nations, Germany is

clearly the product of its unique historical experiences,

particularly the devastating defeat in two World Wars, the

abortive Weimar experiment in democracy and the excesses of

the Hitlerian era.








The purpose of this chapter is to outline key aspects

of political life in Germany as a foundation for under-

standing parliamentary recruitment. Beginning with a

brief sketch of the development and historical role of

parliaments in Germany, it moves on to consider how the

formative experiences mentioned above have helped to

shape the electoral system, the structure of government and

the political parties. This is followed by a discussion

of certain aspect of contemporary political culture that

are particularly relevant to recruitment. Finally, some

consideration is given to the present role of the

Bundestag which,like other parliamentary bodies, is relatively

less powerful than the executive branch of government.


The Historical Role of Parliament


The Bundestag has a long, but not particularly

distinguished ancestry. The parliamentary tradition can

be traced back to the Imperial Diet or Reichstag of the

Holy Roman Empire which developed during the tenth to

twelfth centuries (Ullmann and King-Hall, 195"4: 19-33)

and to the Estates of the various principalities, such as

Wurttemberg, which began to form throughout Germany during

the fourteenth and fifteenth centuries (Carsten, 1963;

Ullmann and King-Hall, 1954: 33-36).2

The Imperial Diet, which lasted until the time of

Napoleon, was not a true parliamentary body, but rather







"an aristocracy of soverign princes" (Ullmann and King-

Hall, 1954: 27). The relations of Emperor and princes

depended "on the possessions of the family, not on their

rank and status" (Ullmann and King-Hall, 1954: 27).

Although never exercising great influence as an organ-

ization, by the eighteenth century it had deteriorated

still further into a conference of envoys and charges

d'affaires, devoting much time to such questions as the

proper date for celebrating Easter (Ullmann and King-Hall,

1954: 32).

This is in some contrast to the diets of the various

German principalities which were clearly embryonic

legislative institutions. While based on Estates, on

occasion the clergy or nobility were excluded and,some-

what less frequently, the peasants allowed to participate

(Carsten, 1963: 423-424). At times these diets exercised

great influence because of their pivotal role in succession

conflicts and their legal right to grant taxes. "In the

sixteenth century the powers of many German Estates, in the

fields of finance, foreign policy, and military affairs,

were considerably greater than those of the English

Parliament" (Carsten, 1963: 442). By the seventeenth

and eighteenth centuries, however, the issues which led

to the rise of the Estates had declined in importance

with the spread of primogeniture, standing armies, and

long-term taxation privileges granted to the princes.

With these changes came a marked decline in the importance








of the Estates in Hesse, Saxony, Bavaria and the duchies on

the Rhine. Only in Wg'rttemberg were the Estates able to

maintain their position, and this largely because of

the timely death of several dukes (Carsten, 1963: 147).

The impact of these feudal institutions on later

developments is quite diffuse. The provincial diets,

according to Loewenberg (1966: 5),.served as training

grounds for the first generation of German parliamentarians,

the members of the Frankfurt Assembly. Carsten (1963:

444) credits them with preserving "the spirit of consti-

tutional government and liberty in the age of absolute

monarchy." Their relevance to post-war Germany, however,

seems limited to the class-based role orientation found

in public attitudes toward the Eundestag, notably in the

concept of the member as interest representative

(Loewenberg, 1966: 44-46).

In the aftermath of the French Revolution, more

modern constitutions were granted in many German states,

including Saxe Weimar, Brunswick and Hanover (Ullmann and

King-Hall, 1954: 41; Pinson, 1966: 61). Although suffrage

was limited and their powers circumscribed, these bodies

helped to foster the growth of the "national and liberal

spirit" which came to the fore in the revolutionary

atmosphere of 1848 (Ullmann and King-Hall, 1954: 42;

Pinson, 1966: 81). The German Revolution of 1848 and

the Frankfurt Parliament which resulted from it are turning

points in German History. "It remained the starting








point for all subsequent movements to democratize Germany

and it was accepted as the prototype of the Weimar Republic

by the republican leaders of 1918 to 1933" (Pinson, 1966:

81). The failure of the Frankfurt Parliament was also

to foreshadow the failure of the Weimar Republic.

Begun amidst tremendous enthusiasm, the Frankfurt

Assembly perished a year later "like a prostitute in a

tavern" (Ullman and King-Hall, 1954: 57). Sometimes

characterized as a Professorenparlament for its inability

to climb down from the ivory tower; of academia to deal

with the real political issue of German unification, Eyck

(1968: 95-96) shows clearly that it was, above all, "a

lawyers' parliament." Table 1 lists the occupational

composition of the body and clearly shows its upper-middle

class bias. Almost all were members of the professions,

although about 20 per cent rose to these ranks from

comparatively humble origins (Eyck, 1968: 97). There was

not a single member from a working-class background

(Ullmann and King-Hall, 1954: 49).

The Frankfurt Parliament's failure to unify Germany

ended with a counter-revolutionary victory that had serious

implications for the future of democratic institutions.

Despite the lack of success, however, the Assembly marks

the beginning of Germany's genuine parliamentary develop-

ment--developments which can be traced to the modern

Bundestag. Loewenberg (1966: 5) points out, for example,








TABLE 1

OCCUPATIONAL COMPOSITION OF THE FRANKFURT PARLIAMENTa


Percentage of Members
Occupation N=799

Civil Servants 36.5
(includes judiciary &
military)
Lawyers 16.3
University or School Teachers 15.4
Businessmen 9.4
Landowners 8.5
Clergy 5.6
Writers, Journalists 4.5
Medical Practitioners 3.1
Not Yet in Profession 0.2
Not Known 0.5


aAdapted from Eyck, F. (1968). The Frankfurt
Parliament, 1848-1849. London: Macmillan, p. 95.


that it was in the Frankfurt Assembly that embryonic parties

first developed in caucuses among like-minded members; that

fundamentals of parliamentary procedure were hammered out;

and that the first draft of constitutional provisions

for a national parliament based on universal suffrage was

written. Eyck (1968: 395) has correctly concluded that

"the tragedy of the moderate liberals in 1848 was that

they had responsibility without sufficient power"; it could

hardly have been otherwise in a situation where two vital

issues, national unification and the creation of national

representative institutions, had to be solved simultaneously.3

But the real tragedy was Germany's because unification

eventually took place through the auspices of the vigorous

foreign policy of the "Iron Chancellor," Otto von Bismarck,

rather than by orderly, constitutional processes.








After 1871 the Reichstag was placed at the center of

the national stage, but effectively deprived of power in

what Loewenberg (1966: 10) calls the "artfully constructed

chaos which characterized the constitutional system of

the German Empire." The concept of parliamentary respon-

sibility was not established and the Reichstag, torn by

constant bickering and procedural disputes, failed to

distinguish itself. The following description of the

Reichstag in the Bismarchkean era illustrates its role

at that time:

It is not surprising that a Reichstag
of so little weight and with such
limited rights could not win much
prestige, and it was soon nicknamed
"Quasselbude," which may be politely
translated as "chatterbox." Govern-
ment circles derided it at will. In
later years a reactionary landowner
of the Prussian Diet remarked that
the Emperor should be able to disperse
it with the help of a lieutenant and
ten privates. William II called its
members "a bunch of fools" and boasted
after twenty years'rule that he had
never even read the Constitution
(Ullmann and King-Hall, 1954: 72).

Even those few occasions when the Reichstag could reasonably

have asserted itself, as in the Daily Telegraph Affair

and the voting of war credits in 1914, came to naught.

It was only as the First World War was drawing to a close

that a semblance of responsibility was established through

the government's submission of reports on the state of

hostilities to an interparty committee and the elevation

of some members of this committee to ministerial positions

(Loewenberg, 1966: 18).








It is unfortunate that the most democratic system

of government Germany had ever known came into being as

the result of the collapse of the old order in the wake of

military defeat. Throughout its brief life the Weimar

Republic and its major supporters, the center and moderate

left parties, labored under the Dolchstoss myth.4 The

full story of the collapse of the Weimar Republic cannot

be told here, but certainly relevant to the eventual Nazi

take-over were: (1) Allied policy after 1918, (2) economic

conditions in the Reich after 1928, and (3) certain political

deficiencies (see, for example, Black and Helmreich, 1959:

445-446). It is the political deficiencies that are

relevant to the present discussion. Briefly speaking,

the Reichstag of the Weimar Republic was to be the major

legislative organ, exercising control over the government

through parliamentary responsibility. The Reichstag was

directly elected by the people from party lists on a

strictly proportional basis. The result of the electoral

system was a very accurate reflection of the political

fragmentation in the society at large. Consequently, the

number of narrow, ideological parties was large, minimizing

the prospects for political compromise. While it would be

an overstatement to say that the system of proportional

representation caused political fragmentation, it certainly

did nothing to improve the situation. It was extremely

difficult under the circumstances for the Reichstag to

create governments or to carry out its legislative functions.








Loewenberg (1966: 22) calls this syndrome "parliamentary

immobilisme," clearly reflected in the fact that only

eight of the twenty cabinets formed during the Republic

enjoyed majority support. Another important feature of

the Weimar system was the independent election of the

President who enjoyed important emergency powers, notably

the possibility of governing through presidential decrees

under Article 48 of the Constitution. This power was used

extensively after 1930.

Black and Helmreich (1959: 447) point out that it

would be incorrect to overemphasize the importance of

political factors, such as the system of proportional

representation and the emergency powers granted to the

President, in the collapse of the Republic (1959: 447).

But the role of these factors in the deliberations of the

Parlamentarischerat of 1948-49 as it went about the task

of rebuilding the political order can hardly be overestimated.


The Founding of the Federal Republic


Unlike the First World War, Germany was totally

defeated, psychologically and militarily in 1945. Perhaps

most significantly, the administrative apparatus had

collapsed at all levels making possible, and necessary,

a vast restructuring of political life. Reconstruction

proceeded at varying paces and in somewhat different

directions in the three Western zones, due to the conflict-








ing priorities of the Allies (Golay, 1958: 5-17; Merkl, 1963:

7-15). The rift between East and West, which widened after

the Potsdam Conference, initially intensified the tendency

for each power to proceed separately, but eventually led

to the realization that unification of the Western zones was

essential for the economic recovery of Europe and as

a bulwark against Soviet expansion. By September 1946 a

number of agreements between American and British authorities

led to the establishment of a Bizonal Economic Council with

authority over the Laender. It was in this atmosphere that

a conference of the three Western powers and the Benelux

countries meeting in London from February to June, 1948

agreed to establish a West German state. A Parliamentary

Council, the Parlamentarischerat, composed of sixty-five

delegates selected by the Landtage under guidelines

established by the Ministers-President was charged with

drafting a provisional constitution for the new republic.

Meeting from September 1, 1948 until May 8, 1949 the Basic

Law with its numerous compromises was hammered out in the

Parliamentary Council and ratified by the several Landtage

May 16-22, 1949. It was officially proclaimed May 23, 1949.

Such a sketchy introduction, of course, does not do

justice to the complexity of issues involved. It does

suggest the central role of German politicians, however,

in creating the Federal Republic, despite Allied

participation in the deliberations at several important








points.

S. it would be very much amiss to
think that the frail young sprout of
postwar German democracy grew from an
Allied seed . . Owing to these
conditions, democracy and federalism
were a natural German choice long
before the Western Allies chose to
include them in the London Agreements
among the specifications for a West
German constitution (Merkl, 1963: 21).

The validity of this thesis can best be seen by examining

critical aspects of the structure of government, the

electoral system, and the political parties today.

The Structure of Government

Government in Germany is organized at three basic

levels, local, Land and national, with legislative and

executive organs at each. Local government structure

varies considerably from one Land to another, depending upon

tradition and the differing conceptions of the proper form

for local government held by the three Western Allies.

The British, for example, sought to abolish the power of

the BUrqermeister, or mayor, and established a council-

manager system in North Rhine-Westphalia and Lower Saxony,

where administrative powers are centered in a non-political

Gemeindedirektor. The Americans largely accepted the

prevalent council-mayor system in their zone; hence, the

mayor remains the chief administrative official in Bavaria

and Baden-WUirttemberg. In all, Heidenheimer identifies

five types of local government, the most important not

previously mentioned being the collegial systems used







by the city-states of Hamburg, Bremen and West Berlin

(Heidenheimer, 1966: 178-180; see also Hiscocks, 1957:

171-185; Legislative. E
40-41).

Between the Gemeinden and the Laender stand the Land-

kreise, or counties. The larger cities are usually admin-

istered separately from the rural and small town areas

as stadtkreise or Kreise-frei Sth'dte, combining local

and county functions. In the less populous areas, however,

the Kreis and its leading organs, the Kreistag (county council)

and Landrat (county director) form a distinct intermediate

governmental unit. The structure of county government varies

from region to region in roughly the same manner as local

government.

Local and county governments exercise very limited

legislative responsibility bu-, are charged with a major

share of administrative duties. They have proven to be an

extremely important training ground for Land and national

politicians, as we shall see in subsequent chapters.

The political structure of the Laender resembles in

basic form that of the federal government. All except

Bavaria have a unicameral parliament elected by some

variety of proportional representation. In Bavaria there

is a second chamber, the Senat, where interests are

directly represented as in the old Estate-based diets.

The government of each Land is composed of a Minister-

President and a cabinet, usually formed through a coalition








of several parties. Although the policy-making powers of

the Laender are more limited than under the Empire or in

the Weimar Republic, they continue to play an important

role in national politics for at least three reasons.

First, they are an important stepping-stone to national

political office. Second, because the composition of Laender

governments determines the make up of the Bundesrat (the

second chamber of the federal government), coalition

changes can have important implications for national

legislation. Finally, the fact that landtag elections are

staggered throughout the years between Bundestag elections

has tended to make them into continuing referendums on the

performance of the federal government.

It is in the relations between the levels of govern-

ment, particularly in the relations between the central

institutions and the Laender, that one can most clearly

see the indigenous character of the present political

system. According to Article 20 of the Basic Law, the

Federal Republic of Germany is a "democratic and social

federal state" composed of eleven Laender (see Table 2).

Federalism in Germany is one example of the happy coin-

cidence of the interests of the occupation powers in avoid-

ing another unitary and potentially totalitarian state,

the feeling that some of the problems of the Weimar Republic

were due to "the progressive abandoning of the old German

tradition of federalism" (Merkl, 1963: 23), and the vested








interest of Laender governments and parties in preserving

their political position (Golay, 1958: 41-44; Merkl, 1963:

28-50).

TABLE 2

THE LAENDER OF THE FEDERAL REPUBLIC OF GERMANY

Number of
Population Bundesrat
Land (1969)a seats

Baden-W rttemberg 8,822,000 5
Bavaria 10,490,000 5
Bremen 755,000 3
Hamburg 1,819,000 3
Hesse 5,379,000 4
Lower Saxony 7,067,000 5
North Rhine-Westphalia 17,039,000 5
Rhineland-Palatinate 3,659,000 4
Saarland 1,129,000 3
Schleswig-Holstein 2,547,000 4
West Berlin 2,135,000 4

aBased on the 1969 micro-census as reported in Hand-
book of Statistics (1970). Wiesbaden: Federal
Statistical Office, p. 16.


German federalism, however, is considerably different

from the American variety. Merkl (1963) refers to it

as "executive-legislative federalism," while Golay (1958:

44) chooses to call it "functional federalism," since

it tends to preserve the strong role of central institutions

in decision-making while devolving most administrative

functions upon the Laender and local governments. K. C.

Wheare (1953: 136-146), one of the leading students of

federalism, concludes, in contrast, that it is not really

a federal system at all, but an example of a decentralized








unitary state, since the Laender lack a significant

measure of independence (1953: 136-146).5 However one

resolves the semantic issue, it is clear that German

federalism'is an outgrowth of traditional regional senti-

ments, the reaction against the increased centralization

of the preceding century which had twice ended in defeat,

and the vested interests of previously established Land-

level governments and party organizations.6

The federal order of the Basic Law, as
it finally took form, is essentially a
German construction. It follows the
German tradition, with adaptations to
take account of contemporary conditions
and to accommodate varying interests
and political views in Western Germany
today (Golay, 1958: 108).

The Electoral System

The electoral law adopted by the Parliamentary Council

is a modified version of proportional representation which,

in the view of its supporters, was consistent with German

political traditions (Golay, 1958: 139). The basic

features of the law as it presently operates are as follows:7

Every voter casts two separate ballots, one for a constit-

uency candidate, the other for a party list drawn up by

the Land parties. Plurality decides the 248 constituency

contests and an equal number of list seats are filled

from the Land lists by a complex mathematical formula

devised by the nineteenth century Belgian mathematician

d'Hondt. The system is basically proportional because

the total number of seats each party is entitled to is








determined by its share of the second ballot. The number

of direct mandates is subtracted from this total and the

remaining seats distributed between the separate Land

lists on the basis of their contribution to the party's

total vote. There are only two exceptions to the proportion-

ality of the system. The first is a requirement that a

party must receive at least 5 per cent of the vote

in at least one Land, or win three constituency seats in

order to benefit from the proportional distribution of

Bundestag seats. This has tended to eliminate minor parties

who cannot hope to win direct seats or clear the 5 per

cent hurdle (see Table 3). The second exception is that

a party can gain more seats than it is entitled to on the

basis of proportionality, but only by winning a greater

number of direct mandates than its proportional share of

seats in a Land. These extra mandates are added to the

total number of Bundestag seats allotted to the Land and

the distribution recalculated by the d'Hondt system, par-

tially explaining the fluctuation in total seats (see

Table 3).8 This second exception is less important than

the first, there being only thirteen of these "super-

proportional" mandates through 1965, all but two being

won by the CDU (Loewenberg, 1966: 16, note 39).

One can reasonably ask why Germany reverted to

proportional representation, a widely criticized feature

of the Weimar system because it perpetuated a large number

of minority parties. Golay (1958: 138) makes clear that








TABLE 3

THE DISTRIBUTION OF BUNDESTAG SEATS BY PARTY 1949-1969a



Party 1949 1953 1957 1961 1965 1969


Christian Democratic/ 141 250 278 251 251 250
Christian Social Union
Social Democratic Party 136 162 181 203 217 237
Free Democratic Party 53 53 43 67 50 31
German Party 17 15 17
Bavarian Party 17
Communist Party 15
Economic Reconstruction 12
Union
Center Party 10
Refugee Party 27
South Schleswig Voters' Assn. 1
German Rightist Party 5
Others 3 2

Total 410 509 519 521 518 518


aIncludes 8 nonvoting Representatives from Berlin in
1949 and 22 at each successive election.


the answer lies in the vested interests of some political

parties. Basically speaking, the minor parties, the Free

Democrats and the Social Democrats favored a system of

proportional representation since it would maximize their

representation. The CDU/CSU, on the other hand, strongly

favored a straight single-member plurality system which

would clearly have operated to their advantage, given their

overall strength and relatively even distribution through-

out the Laender.

The compromise which resulted from the political process

in the Parliamentary Council strongly favored the weaker








parties. The CDU/CSU had to accept a fifty-fifty distri-

bution of seats between single-member districts and party

lists and there was no provision hindering the smaller

groups. This compromise, however, was modified by the

Ministers-President at the behest of the military governors.

Instead of a fifty-fifty system, the proportion was to be

sixty-forty.9 More important, however, was the Allied

insistence on a 5 per cent "hurdle" to be leaped before

any party could be represented in the Bundestag.10 Clearly

an attempt to limit the fractional-zation of a multi-party

system, it is the most direct example of foreign interven-

tion in the domestic political process.

In fact, the law as it finally took
effect was essentially a military
government enactment, fcr it was
promulgated by the ministers-president,
over widespread party opposition, at
the direct order of the military
governors, relying upon their "supreme
authority" (Golay, 1958: 139).

Although the parties were critical of Allied inter-

vention at the time, they have not sought to modify the

most important change introduced by the military governors,
the 5 per cent clause, except to make it still' more

difficult for minor parties to gain national representation.

There have been numerous attempts to revise the electoral

system, notably by converting to a single-member district

system, but these efforts have been unsuccessful. The

latest series of attempts foundered on the SPD's belief

that its minority position would be perpetuated and the





74

FDP's undoubtedly correct analysis that change would spell

its death-knell, since it has virtually no chance of

winning direct mandates (see Conradt, 1970: 346-348). One

of the conditions for the current SPD/FDP coalition is

maintenance of the present electoral system (see Conradt,

1970: 355). All of which simply points to the fact that

despite initial allied intervention, the electoral system

meets certain domestic needs and is, to that degree, a

product of Germany's political development.

The Political Parties

Schlesinger (1966: 19) has stressed that any analysis

of political opportunities must give attention to the role

of political parties in structuring officeholding: "The

party is, after all, the most conspicuous organization

whose primary purpose is the control of the opportunities

for public office." The purpose of this section is to

briefly examine the organizational structure of the two

major parties on the assumption that parties "do not affect

opportunities primarily by their competitive relations . .

(but rather) by their organization" (Schlesinger, 1966: 119).

Figure 3 outlines the basic structural relationships

in the CDU/CSU and SPD. The CDU/CSU is composed of 397

Kreisverbaende which are the basic units. Below the Kreis

are any number of local organizations called Ortsverbaende,

established at the convenience of the Kreisverbaende. Above

the county unit are 18 Landesverbaende, the highest unit of

importance below the national party organization. The

































Ur)

H





a
H





0
H

o L

w a
L-

H


C-)
:D

H








Landesveboaende do not coincide with the present geographical

boundaries of the states, but tend to follow older, more

traditional boundaries. Thus, in Lower Saxony, there are

three Landesverbaenje, Braunschweig, Hannover and Oldenburg,

corresponding to the old Laender that were lumped into one

state after World War II.

In the SPD the Bezirk, or district, is the major

organizational unit below the national level. There are

22 Landesverbaende and Bezirkverbaende, roughly correspond-

ing to the secondary CDU units, although there is less

tendency to follow traditional geographical boundaries.

The smallest unit of the party is the Ortsverein or, in

the cities, the Stadtteilorganisation. In 1967 there were

9,717 of these local bodies (Jahrbuch der SPD, 196/67, c. 1967:163).

The 'Unterbezirke are intermediate bodies, subordinate to

the Bezirke, but participating with it in the selection of

the Parteitaq, nominally the highest organ in the party.

The central role of the parties in the political life

of Germany is well illustrated by their control of the

Parliamentary Council and its major outputs, the Basic Law

and the electoral statute (Merkl, 1963: 55, 91; Golay,

1958: 138-158). Unlike the American Constitution, political

parties are explicitly mentioned in Article 21 of the Basic

Law, thus achieving a legal, as well as political and

sociological position (Apel, 1969: 114-117).11 The deep

distrust of mass democracy and the common man which was

felt by the small minority of political activists in the








immediate postwar period led to an attempt to "reconstruct

democracy without the demos" (Merkl, 1963: 176). The in-

direct election of a weakened President, the "constructive

vote of no confidence," and the basically proportional

character of the electoral system are clear examples of

this trend.

The German party system and the political parties

themselves bear little resemblance to the situation during

the Imperial or Weimar eras. First of all, the trend is

clearly toward a two-party system 'see Table 3), despite

a proportional electoral law.12 Secondly, the major

parties are moderate, nonideological, interest "aggregators,"

rather than narrow interest articulatorss" (Edinger, 1968:

280-281). The prospects for political compromise and

system stability are enhanced under these conditions, mak-

ing possible, for example, the "Grand Coalition" of CDU/CSU

and SPD which was in power from 1966 to 1969, and the SPD/FDP

coalition since that date.

Stability has been achieved, however, only at the cost

of electoral accountability and intra-party democracy.

This is a harsh charge, but one that is frequently implicit,

if not explicit, in the analysis of the German political

system (see, for example, Edinger 1968: 266; Loewenberg,

1966: 67-70; Apel, 1969: 210; Heidenheimer, 1966: 120;

Dahrendorf, 1969: 252-265).13 As concerns intra-party

democracy, it is not necessary to dissect the cganizational

structure of the two parties in any great detail to





78

discover that both are led by relatively small, overlapping

elites of party and government. Advancement within paty

ranks is usually limited to executive committee members

serving at the next lower level in the party hierarchy

(see, for example, Mayntz, 1961). And in both parties the

executive committee or presidium is largely composed of

federal ministers, Bundestag Deputies, Land ministers, and

Landtag members (Jahrbuch der SPD, 1966/67, c. 1967: 228;

Politisches Jahrbuch der CDU und CSU Deutschlands, 1968,

1968: 2-3:.

As for electoral accountability, it is apparent that

the parties are not instruments of their broad member-

ship, much less the voters, but are tools of leadership.14

The following extensive quotation from Karl Jaspers'

The Future of Germany summarizes the basic arguments with

a power and perceptiveness unequaled by other commentators.

The authors of the Basic Law seem to
have dreaded the people, for the consti-
tution holds the people's power to a
minimum. Every four years they elect
the lower house of parliament, the
Bundestag, from lists of persons pre-
viously chosen by the parties. This
hidden primary election is the real
election, the one that decides not
only who goes on his party's list but
who goes high enough on-it to be assured
of a seat in the Bundestag under our
system of proportional representation.
The process is an involved one, with
nominations for district and state lists
handled in different manners. But it
is always the party organizations that
control this crucial first step, never
the people. To participate in the
primary election, or to be nominated
for it, one must have joined a party.
Party members do not have much
influence on nominations either. The








decisive choices are made by the
party hierarchy and bureaucracy.
In drawing up state lists, a party
member as such has no voice at all.
To be a voter in the full sense
of the word, participating from
nomination to general election, you
must join a party. Unless you do,
you cannot complain if all you get
to vote upon is what the parties hand
you. You elect people who have been
elected already, and your vote affects
only the number of party choices who
will sit in the Bundestag (1967: 3-4).

Heidenheimer (1966: 120) put it more simply when he wrote

"Even convinced democrats have reluctantly come to accept

that the German definition of democracy tends to mean

'government for the people' more than it does 'government by

the people.'"


Political Culture and Political Participation


The political parties were able to gain and maintain

their pivotal position in the political system, in part,

because of traditional attitudes of deference towards

authority and political passivity (see Dahrendorf, 1969:

63-77, 99-112, 314-327). In the aftermath of war it was

understandable that a large proportion of the population,

between 60 and 70 per cent in the years 1947 to 1949

would prefer to leave political affairs to others (see

Merritt and Merritt, 1970: 43-50). More recent public

opinion polls, however, indicate a continuing lack of

interest in politics (see Hartenstein and Schubert, 1961:

18, 22; Almond and Verba, 1965: 79). In 1967, 39 per cent







of survey respondents said they were interested in politics,

while 44 per cent said they were "not especially" interested

in the subject and 17 per cent expressed no interest at all

(Institut fur Demoskopie, 1967: Table 7). Similarly,

78 per cent of respondents in a 1965 survey rejected

personal political activity, while only 15 per cent said

they would like to be active or were already political

participants (Institut fir Demoskopie, 1967: Table 1).

There have been several suggestive attempts to quantify

levels of political participation in Germany and to arrange

them hierarchically in a manner resembling Milbrath's

(1965: 18) diagram (see Edinger, 1968: 168; Hartenstein and

Liepelt, 1962). Their most striking feature is the apparent

void in participation that exists between the act of voting

and what can reasonably be called gladiatorial activities.

It is in the middle-range political activities, such as

initiating political discussions, contacting public officials,

and joining civic-political organizations that German

democracy seems particularly weak.15 In the last Bundestag

elections, for example, 86 per cent of eligible voters

exercised their franchise, while in the preceding Landtag

elections about 77 per cent of the-electorate voted.

These rates are high compared to the United States, but

participation drops off sharply as one climbs the hierarchy

of political involvement. A 1966 survey revealed that

just 11 per cent of respondents had ever written a letter

to the editor (Institut fir Demoskopie, 1967: Table 9)








and Edinger (1968: 168) estimated that only 9 per cent

of the population attends meetings on public affairs,

while just 3 per cent are active in politics (1968: 168).

In comparative terms, Almond and Verba found that only

3 per cent of their German sample but 11 per cent of the

American group were involved in civic-political organizations

(1965: 247).

Political culture is an important variable affecting

the amount and kind of participation. Attitudes toward

political activity continue to fail short of democratic

ideals, particularly as defined by the term "civic culture,"

a qualitative interpretation of democracy that emphasizes

both formal participation and the degree of commitment

and orientation to political objects (Almond and Verba,

1965: 29-30). Americans have a strong sense of civic

duty, high levels of political efficacy, and frequently

take an active role in group affairs (Almond and Verba,

1965: 313). On the other hand, Almond and Verba see the

German system as "subject" rather than "participant"

oriented:

Awareness of politics and political
activity, though substantial, tends
to be passive and formal . norms
favoring active political participa-
tion are not well developed (1965:
312).

The act of voting is carried out from a sense of duty, not

interest, and little satisfaction is attached to it

(see DIVO-Institut, 1962: 131; Almond and Verba, 1965: 193).








Thus, for most Germans, political participation is limited

to the intermittent act of voting, reflecting the continuing

contrast between "private" and "public" virtues (see

Dahrendorf, 1967: 285-296) and foreshadowing the crucial

role played by oligarchic parties in the recruitment process.

Dahrendorf has summarized the situation admirably in the

concluding remarks of his chapter on "the unpolitical

German":

This means that the political sphere
of life remains aliei to people, stuck
on like political education in the
classical grammar school. So far as
the habits of people is concerned, the
area below the ritual act of voting
is empty after all, that is, not filled
with activities of immediate political
relevance experienced as significant
by the individual. The political social-
ization of the German is incomplete. .

. This effect is expressed above all
in the quality of political behavior.
Democratic institutions are accepted;
but they remain external, distant,
ultimately irrelevant (1969: 325-326).

At the very least, contemporary attitudes toward political

activity significantly reduce the number of potential

"gladiators"; at the worst they reflect an underlying

instability in the system. Under these circumstances the

virtual necessity of "government for the people" is

readily apparent.

The Role of the Bundestaq and the Individual Deputy

All of the previously discussed factors--parliamentary

traditions, the totalitarian experience, military defeat

and occupation, political passivity, the electoral system








and the parties--are mutually interactive. Furthermore,

they collectively define the contemporary role of parlia-

mentary institutions in Germany. The Bundestag is definitely

inferior, both in the quality of its average member and

in political power, to the Chancellor and the various

ministries.

The Basic Law formally distributes the
power to initiate, deliberate, and enact
public policy among executive and
parliamentary structures. In practice,
however, the Bundesregierung has con-
sistently been dominant in formulating
policy, the Bundesrat increasingly
influential, and the Bundestag of
diminishing effectiveness (Edinger,
1968: 298).

One indication of the relation between the Govern--

ment and the Lower House of Parliament is given by the

physical layout of the Bundeshaus, where members of the

government are seated in a slightly raised dias, the

Reqierunqsbank, facing the main body of the chamber. This

dias has recently been lowered from a height of 70 cm. above

floor level to just 18.5 cm. above the rest of the chamber,

but continues to reflect the traditional relationship

between Government and Parliament in Germany (see Frank-

furter Allgemeine Zeitunq, August 2, 1969: 3). Another

indicator is the lack of a significant research establish-

ment devoted exclusively to the legislative branch, due

to the prestige of the executive bureaucracy and the

existence of extensive party bureaucracies (Loewenberg,

1966: 54-55). Perhaps the most significant indicator is








the initiating source of legislation. Table 4 shows the

amount of legislation initiated by the government, the

Bundestag, and the Bundesrat in the first five electoral

periods (1949-1969). Most legislation (56.1 per cent)

originated with the executive departments, although the

Bundestag still had the opportunity to revise and refine,

or even reject the proposals. Even more revealing, however,

is the source of bills which eventually became law. In the

fifth session 80.7 per cent of all successful bills

originated in the government (see Statistisches Jahrbuch

fir die Bundesrepublik Deutschland, 1970: 115).

TABLE 4

THE INITIATION OF LEGISLATION


Bundesregie-ung Bundestag Bundesrat Total


First period 486 301 29 816
(1949-1953)a
Second period
Second(13od a 442 414 16 872

Third period 391 207 5 603
(1957-1961)a
Fourth period 3 2 8
(1961-1965)a 373 245 8 26
Fifth period ,
Fifth period 415 225 14 654
(1965-1969)
Total 2,107 1,392 72 3,571

aAs listed in Walper, K. (1966). Frderalismus.
Nos. 22/23, Zur Politik und Zeitgeschichte. Berlin:
Landeszentrale fUr politische Bildungsarbeit Berlin in
verbindung mit dem Otto-Suhr-Institut an der freien.
University Berlin, p. 59.
bAs listed in Statistisches Jahrbuch fir die Bundes-
republik Deutschland (1970). Wiesbaden: Statistisches
Bundesamt, p. 115.










Given the subordinate position of the Bundestag itself

and the existence of strong party organizations with the

power to deny nomination and, thus, election or re-election

to prospective Members, the unenviable position of the

individual Deputy is to be expected. Although the percent-

age of positive responses has risen steadily since the

question was first asked in 1951, 28 per cent of survey

respondents in 1964 still said that it did not take great

ability to become a Bundestag Deputy and another 18 per cent

were undecided (Institut fur Demoskopie, 1967: Table 17).

Similarly, several surveys have indicated that only a very

small percentage of the electorate, between 12 and 17

per cent, is even aware of any activity on the part of the

Representative elected by their district, a further

indication of their lack of individual importance (see

Ras chke, 1965: 50; Noelle and Neumann, 1967: 230). Within

the Bundestag "leadership has increasingly been exercised

by a small group of professional parliamentarians possess-

ing the relevant tactical skills" (Loewenberg, 1966 433).

These leaders make committee assignments, determine who will

speak in favor or against a given bill in the very limited

time granted to debate, and, in general, dominate the

proceedings of Parliament. Loewenberg (1966: 387) found

that in the Third Bundestag three-fifths of the Members

spoke ten times or less during the four-year term and that

fewer than one-fifth of the Members made over two-thirds

of the speeches.







Despite its subordination to the executive branch, the

Bundestag continues to play an important role in the

political life of Germany. But it is not easy to specify

the exact nature of that role (see Carter and Herz, 1967:

423-431). Plischke (1969: 67) has written that "in some

respects it does not appear to enjoy the power and prestige

indicative of certain other democratic systems, but neither

is it comparable to the pseudo-representative agencies of

the nominal or quasi-democracies." In addition to its role

in policy formation, the Bundestag performs at least two

other important functions. First of all, it is almost the

sole source of ministerial recruitment today, in sharp

contrast o -earlier eras (see Knight, 1952). Secondly, it

serves a system-legitimizing role through the performance

of "electoral conversion functions" which "affects the

level of public support for the regime, which in turn

affects regime stability" (Loewenberg, 1971: 187; see also

Raschke, 1968: 13-17).

The Bundestag's system-legitimizing role is intimately

bound up with the induction of new members into the Federal

Republic's primary legislative organ. As Schlesinger

(1966: 2) perceptively observed: "A political system unable

to kindle ambitions for office is as much in danger of

breaking down as one unable to restrain ambitions." Given

the existence of political ambition, system legitimacy and

stability are increased by providing regular and predict-




87



able opportunities for advancement. The examination of

the social and political bases of Bundestag recruitment

in the following chapters should enhance our understanding

of its multi-faceted role in contemporary German politics.




Full Text

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Recruitment and Representation: A Study of the Social Backgrounds and Political Career Patterns of Members of the West German Bundestag, 1949-1969 By GERALD GLENN WATSON A DISSERTATION PRESENTED TO THE GRADUATE COUNCIL OF THE UNIVERSITY OF FLORIDA IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE DEGREE OF DOCTOR OF PHILOSOPHY UNIVERSITY OF FLORIDA 1971

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Copyright by Gerald Glenn Watson 1971

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To Diane and Christy

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ACKNOWLEDGEMENTS The author wishes to express his sincere appreciation to Dr. Keith R. Legg and Dr. David P. Conradt, whose guidance and encouragement have been instrumental at every stage of research and writing. In addition, the Department of Political Science at the University of Florida has been most geneious in providing the necessary funds for computer time and for keypunching the biographical data. The -iuthor also wants to thank his wife, Diane, for her patience with a frequently preoccupied husband. As critic, booster, companion, and typist she has made the completion of this work possible. The constructive criticism and encouragement the author has received have undoubtedly improved the final product. Any shortcomings are, of course, the fault of the author.. IV

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TABLE OF CONTENTS Page ACKNOWLEDGEMENTS i v LIST OF TABLES vii LIST OF FIGURES x ABSTRACT xi CHAPTER 1. INTRODUCTION 1 Ambition Theory and the Structure of Political Opportunities 2 The Research Design 10 Notes 19 2. POLITICAL RECRUITMENT: DEFINITION AND CONCEPTUALIZATION 24 A Definition 24 Political Participate on 26 Models of Political Recruitment 32 Factors in the Recruitment Process 36 Needs and Perceptions 36 Social Background 38 Party and Constituency 42 Recruitment and Representation: Reflections on Outputs 47 Notes 53 3. THE SETTING 56 The Historical Role of Parliament 57 The Founding of the Federal Republic 64 The Structure of Government 66 The Electoral System 70 The Political Parties 74 Political Culture and Political Particpation 7 9 The Role of the Bundestag and the Individual Deputy 82 Notes 88

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TABLE OF CONTENTS (continued) Page CHAPTER 4. SOCIAL FACTORS IN RECRUITMENT 92 Variations on a Theme: The Social Structure of the Parties 96 Age 96 The Role of Women 100 Religion 103 Education 104 Occupation 109 A Socio-political Background Typology. 112 Social Factors and Electoral Status 118 List versus District Seats 118 Safe versus Unsafe List Position 121 Constituencies and Social Selection 123 Notes 13i 5. THE STRUCTURE OF POLITICAL OPPORTUNITY 136 The Size of the Opportunity Structure 137 The Shape of the Opportunity Structure... 140 • Four Background Patterns 140 Base Offices 144 Public Office Patterns 147 Career Indices 159 The Impact on Candidacy 168 District versus List Candidacy 168 Safe versus Unsafe List Seats 168 District Competitiveness 170 Notes i75 6. CONCLUSION 176 Notes I 87 APPENDIX 188 REFERENCES 191 BIOGRAPHICAL SKETCH 203

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TABLE LIST OF TABLES Page 1. OCCUPATIONAL COMPOSITION OF THE FRANKFURT PARLIAMENT 61 2. THE LAENDER OF THE FEDERAL REPUBLIC OF GERMANY 69 3. THE DISTRIBUTION OF BUNDESTAG SEATS BY PARTY 1949-1969 72 4. THE INITIATION OF LEGISLATION 84 5. BASIC SOCIAL CHARACTERISTICS OF DEPUTIES AND POPULACE 93 6. AGE DISTRIBUTION OF DEPUTIES AND VOTERS BY PARTY 97 7. THE PERCENTAGE OF MEN AND WOMEN AMONG DEPUTIES, PARTY MEMBERS AND VOTERS 101 8. THE PROPORTION OF WOMEN AS CANDIDATES AND DEPUTIES IN THE 1965 BUNDESTAG ELECTION.. 102 9. THE RELIGIOUS AFFILIATION OF DEPUTIES AND PARTY SUPPORTERS 104 10. THE EDUCATIONAL ATTAINMENT LEVEL OF BUNDESTAG DEPUTIES 105 11. EDUCATIONAL OR OCCUPATIONAL TRAINING FIELDS OF DEPUTIES BY PARTY 107 12. ASSESSED OCCUPATION OF DEPUTIES BY PARTY 110 13. SOCIO-POLITICAL BACKGROUND TYPOLOGY BASED ON ASSESSED OCCUPATION, INTEREST AFFILIATION AND LEVEL OF POLITICAL ACTIVIT/ BY PARTY 114 14. DISTRIBUTION OF PARTY LIST POSITIONS FOR THE CDU IN NORTH RHINE-WESTPHALIA (1969) 116 vn

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LIST OF TABLES (continued) Page TABLE 15. SOCIAL FACTORS AND THE ELECTORAL STATUS OF DEPUTIES 120 16. THE PERCENTAGE OF DEPUTIES ELECTED IN A DISTRICT BY BACKGROUND TYPE 122 17. RELIGION AS A FACTOR IN THE ELECTION OF DEPUTIES 125 18. THE RELATIONSHIP BETWEEN CONSTITUENCY URBANIZATION AND DEPUTY OCCUPATION 128 19. BUNDESTAG OPPORTUNITY RATES 138 20. THE MIXTURE OF PUBLIC AND PARTY OFFICEHOLDING EXPERIENCES IN THE BACKGROUND DEPUTIES 141 21 . PUBL IC BASE OFFICES 145 22. PARTY BASE OFFICES 146 23. THE DISTRIBUTION OF PUBLIC CAREER PATTERNS AMONG BUNDESTAG DEPUTIES WITH A PURE PUBLIC OR MIXED OFFICEHOLDING BACKGROUND 148 24. THE CUMULATIVE PERCENTAGE OF BUNDESTAG AND LANDTAG MEMBERS IN THE MOST IMPORTANT PUBLIC CAREER PATTERNS 151 25. THE DISTRIBUTION OF PARTY CAREER PATTERNS AMONG CDU DEPUTIES WITH A PURE PARTY OR MIXED OFFICEHOLDING BACKGROUND 153 26. THE DISTRIBUTION OF PARTY CAREER PATTERNS AMONG SPD DEPUTIES WITH A PURE PARTY OR MIXED OFFICEHOLDING BACKGROUND 155 27. POLITICAL BACKGROUND INDICES 160 28. TIME TRENDS IN POLITICAL BACKGROUND INDICES (mean values ) 166 29. POLITICAL FACTORS AND CANDIDACY 169

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LIST OF TABLES (continued) Page TABLE 30. POLITICAL INDICES AND LIST SEAT SECURITY 170 31. POLITICAL FACTORS AND CONSTITUENCY COMPETITIVENESS 172 32. COMPARATIVE POLITICAL INDICATORS FOR INCUMBENTS, LOW LEADERS AND HIGH LEADERS 179 33. OPPORTUNITY FOR RE-ELECTION, AND LEADERSHIP FOR DEPUTIES BY THE LEVEL OF PUBLIC AND PARTY BACKGROUND EXPERIENCE 183 IX

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LIST OF FIGURES Page FIGURE 1. THE PROCESS OF CERTIFICATION 33 2. THE PROCESS OF POLITICAL RECRUITMENT 35 3. THE STRUCTURE OF THE POLITICAL PARTIES 75

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Abstract of Dissertation Presented to the Graduate Council of the University of Florida in Partial Fulfillment of the Requirements for the Degree of Doctor of Philosophy RECRUITMENT AND REPRESENTATION: A STUDY OF THE SOCIAL BACKGROUNDS AND POLITICAL CAREER PATTERNS OF MEMBERS OF THE WEST GERMAN BUNDESTAG, 1949-1969 By Gerald Gl«nn Watstn December, 1971 Chairman: 0. Ruth McQuown Major Department: Political Science Systematic empirical analysis into the process of leadership selection has made substantial progress since World War II. In recent years there has been a rising interest in model-building and increasing sophistication in the research design and selection of variables. The primary purpose of this thesis is to describe the social backgrounds and career patterns of some 1,161 Members of the West German Federal Parliament, the Bundestag. The analysis includes all Deputies from the two major political parties, the Christian Democratic Union/Christian Social Union (CDU/CSU) and the Social Democratic Party of Germany (SPD) , who have served in the period 1949-1969. The study begins with a survey of the literature on political recruitment and an attempt to conceptualize the process in terms of the interaction between motivations and perceptions of opportunity and risk. This is followed by a discussion of the political setting, with emphasis placed on the historical role of parliaments in Germany, XI

PAGE 12

the contemporary governmental structure, the electoral system, the parties, and aspects of political culture. Most important is the central position of the political parties which, through their manipulation of the electoral statutes and organizational control of the House, effectively diminish the role of the electorate and the independence of Deputies. Low levels of political participation, beyond the narrow act of voting, however, suggest that "government f.or the people" may be a necessity. Deputies are older, better educated, have more prestigeous occupations, and are more likely to be male than the general populace. Only in religious affiliation do they even roughly mirror society. Although legislators do not accurately mirror the electorate at large, interparty differences are, in direction, generally consistent with the parties' contrasting social bases in the electorate. It is evident that people are differentially recruited into the party structures on the basis of their social backgrounds. Given the distribution of their social support in the electorate and, particularly in the CDU, .the existence of a number of relatively well organized subgroups within the party, the parties have been forced to give some attention to social criteria and group affiliation as they go about the task of selecting district candidates and balancing the party lists. But social restrictions are exceedingly broad and the parties have been largely XII

PAGE 13

successful in setting more specifically political requirements for high elective office, notably a considerable amount of party and public of ficeholding experience. Political careers are analyzed in terms of a basic four-fold typology of career patterns. This is followed by a more detailed examination of the sequential aspect of public and party of ficeholding and an attempt to measure the amount of "structure" in political careers. In the public arena opportunities for advancement to Parliament are best for those persons presently serving in a local council, county council, or Landtag. In the parties, local leaders and primary-level executive committee members are most likely to be advanced to the House. We have found that opportunities are structured to a significant degree, that this structure is national in scope and, somewhat paradoxically, transcends the parties at the same time that it is channelled through them. Finally, while the shape of the opportunity structure is undergoing constant incremental change, developments are clearly in the direction of more structure, not less. xm

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CHAPTER 1 INTRODUCTION Empirical studies of political recruitment have been conducted for at least three-quarters of a century (see Haynes, 1895) and a normative interest in who should rule can be traced back to Plato. Various writers have argued that recruitment studies can shed light on such diverse and important political questions as the nature of society's dominant values, the degree to which elites are "representative," the level of systemic integration, the kinds of change taking place in the power structure, and the requirements for political success (see Seligman, 1959: 154; Matthews, 1954: 38; Quandt, 1970: 184-189). The most common studies are concerned with the social backgrounds of officeholders. Much less attention has been devoted to "the intramural sorting and screening processes" which result in election to public office (Prewitt and Eulau, 1971: 293). As Seligman (1959: 154) wrote more than a decade ago, "The 'who' has been stressed to the neglect of the 'how' of recruitment." The primary purposes of this paper are to describe the career patterns of some 1J.61 Members of the West

PAGE 15

2 German Federal Parliament, the Bundestag, to relate those patterns to certain constituency characteristics, and to indicate whether or not these findings are consistent with hypotheses based on the provocative thesis on "political ambition" which Joseph Schlesinger (1966) has developed and applied to the American political scene. Since the emphasis here is clearly on the political experiences and strategic positions of individuals within the structure of political opportunity, it should serve as a partial corrective to the overemphasis on the "who" of recruitment. Ambition Theory and the Structure of Political Opportunities Systematic empirical analysis into the process of leadership selection has made substantial progress since World War II. 1 In recent years there has been a rising interest in model-building, greater awareness of the need to relate chosen variables to some kind of theory, and increasing sophistication in the research design and selection of variables (see, for example, Jacob, 1962; Browning, 1968; Schlesinger, 1966; Kornberg and Winsborough, 1968). As one investigator observed recently: During a relatively short period of time, research has advanced from inquiries into the social background of legislators to more complex studies, in which recruitment has been related to the characteristics of the electorate, the workings of party organizations, or the orientations and behavior of legislators (Czudnowski, 1970: 216).

PAGE 16

Despite significant advancement, recruitment studies, the vast majority of which continue to emphasize social background factors, have been severely criticized for a variety of reasons. Perhaps the most important criticism is that the chosen variables lack significance and do not improve our ability to predict behavior (see Jacob, 1962: 706; Meynaud, 1961: 525-526; Schlesinger, 1966: 12-13; Edinger and Searing, 1967; Searing, 1969). At the same time, results are reported in such idiosyncratic fashion that meaningful comparison becomes extremely difficult, if not impossible (Quandt, 1970: 182). In both cases, particularly the former, the difficulty stems from the lack of an explicit theoretical framework which can guide research and promote a needed degree of uniformity. One of the most suggestive and potentially useful approaches to the comparative study of political recruitment has been the development of ambition theory as a viable alternative to social background analysis (see Schlesinger, 1966; Schlesinger, 1967). 4 The concept of political ambition and the research orientation that stems from it are admirably suited to meet the criticisms mentioned above. An ambition theory of politics brings a unique perspective to the study of political recruitment by drawing attention to the political experiences and strategic positions of individuals. If politics is a game, then ambition theory directs our attention to the successful strategies for winning, or advancing in

PAGE 17

the game. "From the perspective of ambition theory . . .such mundane data as the tenure and turnover of officeholders, office successions, and the ages of elective officials take on major significance" (Schlesinger, 1966: 15). Each of us knows what ambition is. We view it in ourselves as a desirable characteristic, in others somewhat less favorably. It is a word brimming with connotative meanings; some favorable, many not. It is manifest .n our distrust of politicians and politics itself, a dirty game in which self-interest prevails. Little systematic use, however, has been made of ambition as a concept of political analysis. Those who have used it rigorously, such as Downs (1965) and Schlesinger, have been greatly influenced by economic theory. Schlesinger (1966: vii) , for example, sees politics as w a series of rational marginal choices made by men competing for power within a given set of political rules." Quite obviously, the ambitious politician is an abstraction, just as is Economic Man. It is, however, a useful analytic device with a high degree of face validity. Thus, Schlesinger' s (1966: 14) answer to those who prefer some other cause of action—social, psychological, or ideological--is straightforward: these are not "political" explanations, whereas ambition places a "political perspective on background data."

PAGE 18

Ambition gives direction to the competition which Schlesinger describes and it is crucial for system stability and responsiveness: A political system unable to kindle ambitions for office is as much in danger of breaking down as one unable to restrain ambitions. Representative government, above all, depends on a supply of men so driven; the desire for election becomes the electorates' restraint upon its public officials. No more irresponsible government is imaginable than one of high-minded men unconcerned for their political futures (1966: 2). What he means by it is quite clear: it is the overt goal orientation of the individual political actor. Self-interest lies at the heart of his theory, but it is the explicit, personal ambition of the individual operating within a set of opportunities w hich he cannot influence which distinguishes Schlesinger' s approach from that of others. Ambition theory can be briefly described in terms of one major theorem and two corollaries. The central assumption is the deceptively simple idea already mentioned: "a politician's behavior is a response to his office goals" (Schlesinger, 1966:6). Closely related to this are these major corollaries: (1) "The ambitions of any politician flow from the expectations which are reasonable for a man in his position" (Schlesinger, 1966: 9). (2) "We can bring order to the office ambitions of politicians only if we can find order in their chances or opportunities for office" (Schlesinger, 1966: 11).

PAGE 19

The corollaries are interrelated because opportunities must be structured in order for the investigator to reasonably assess the direction of ambition for persons in different locations in the hierarchy of political office. 5 It should also be clear that ambition theory contains both an undifferentiated motivational component and an implicit perceptual component, since the individual must be capable of perceiving that certain actions taken by himself have a reasonable prospect of maximizing goal attaunment. But perceptions are more usually the concern of psychologists and social psychologists, and it is at this point that Schlesinger makes an inferential leap that has .important implications for research. Schlesinger (1966: 198) assumes that by delineating the structure of opportunities inferences can be made about the directions of political ambitions and possible behavioral consequences. His approach to ambition, then, is purely inferential since substantive research is limited to identifying the size and shape of the formal opportunity structure (1966: 20). 6 It is important to understand that ambition is a theoretical construct whose empirical referent is the opportunity structure. Thus, the research orientation which we share with Schlesinger emphasizes the structure and sequence of political experiences in the politician's background. Key variables are: the opportunity rate, base offices,

PAGE 20

7 Manifest offices, first and penultimate offices, and the age at which a particular office is attained (see Schlesinger, 1966: 37-56, 70-118 and 172-193; Watson, 1969: 38-111). These terms will be discussed in more detail in the substantive chapters. For the moment it is sufficient to point out that use of these key political career variables allowed Schlesinger (1966: 93) to clearly distinguish Senatorial from Gubernatorial careers, a further indication of the importance of taking the office experiences of individuals into account in any study of leadership selection. Since its rather sophisticated formulation by Schlesinger, the notion of political ambition has been fruitfully applied by several investigators, including this author. Soule (1969) interviewed 97 of 110 Members of the Michigan House of Representatives and identified their ambitions as either "progressive" or "non-progressive," depending on whether or not they reported a desire to seek higher political office. He found that progressive ambitions were positively related at significant levels to: (1) early political socialization, (2) certain personality traits and (3) a legislator's "representational" and "areal" role orientations (449-454). Mezey (1970) has developed a "model" of congressional recruitment (U. S. House of Representatives) in terms of three

PAGE 21

variables: (l) inter-party opportunities for congressional seats, (2) intra-party opportunities and (3) the past elective experience of candidates. He found that successful majority party candidates were more likely to have held previous political office and had lower personnel turnover rates than in the minority party (566). Finally, Watson (1969) has described the career patterns of the state Parliament, state government and Bundestag delegation from Lower Saxony, one of the Laender of the Federal Republic of Germany. Careers were found to be more structured than for U. S. Senators or Governors (107), and there were two identifiable opportunity structures, one centered upon the Landtag and Landesregierung , the other on the Bundestag (112). While all of these investigations lend support to the notion of political ambition as a useful research orientation, only one has gone outside the American context (Watson, 1969), and that largely at a sub7 national level. There are a number of problems involved in generalizing from the American case, not the least of which is that American politics is widely recognized to be surprisingly pragmatic, suggesting that ambition may play a unique role here. 8 Czudnowski has outlined other potential problems stemming from generalizations based on the rather unique features of "Anglo-American" political systems in the following statement:

PAGE 22

These systems share at least two characteristics: a pluralitysystem of elections in singlemember districts, and a political infrastructure based essentially on a two-party system. Thus, two important variables in the analysis of recruitment are held constant, and a third--the degree of inter-party competitiveness — is defined in terms of a two-party setting with singlemember districts (1970: 217 ). Disregarding for the moment the precise nature of the differences between the American and West German political systems, which will be discussed in the third chapter, it is clear that the utility of ambition theory rests on the accumulation of readily comparable data for a number of systems. The ambition perspective may prove to be no more fruitful than social background analysis, but the high degree of face validity and preliminary findings would argue against such an interpretation. At any rate, such uncertainty as exists does not mitigate against the collection of data, since any conclusions about the ultimate utility of political ambition as an organizing concept must be deferred until such data has been collected and submitted to rigorous analysis. The present undertaking, then, although limited to a single country, was designed to improve our capacity for making significant comparisons by replicating aspects of Schlesinger' s work in the German context. By focusing on clearly political variables, the office experiences of legislators, and by tying these to

PAGE 23

10 a theoretical referent, namely, ambition theory, it is hoped that most of the objections mentioned it conjunction with social background analysis can be overcome, or at least minimized. In addition, the problem of comparability should be lessened by the employment of similarly coded variables. The present research then can be viewed as a contribution to the requisite data base, as well as being a case study of parliamentary recruitment capable of standing on its own merits. This is particularly the case, since the data has been filed in readily available form for use in subsequent research. ' The Research Design Once it was determined that a study of Bundestag recruitment was desirable and feasible, given the availability of information and time, a number of critical decisions remained. 10 In the following section six of these critical decisions and their impact on data collection, reporting, and interpretation will be discussed. The first four decisions are practical and involve the need to set definite parameters to the study. The latter two more clearly involve the kind of data to be collected and the manner in which it is to be reported. The first two decisions had a critical impact on the scope of research because they maximized the number

PAGE 24

11 of cases to be considered. The first decision was not to sample, but to collect information on an entire population. The reasoning here was simply that this maximized reliability of the findings and eliminated dependence on tests of statistical significance. The secojnd decision was to collect information on all Bundestag sessions since the creation of the Federal Republic in 1949. A structure of opportunity develops over time, and it was thought desirable to include the greatest possible span of time in the calculations. A more important consideration was that this approach |would maximize the flexibility of data manipulation, since longitudinal, sessional, or aggregate analysis 12 could be conducted. A thir_d decision was made to limit data collection to Abgeordneten , or Deputies, from the two major parties. The Christian Democratic Union and its Bavarian affiliate, the Christian Social Union (CDU/CSU), and the Social Democratic Party of Germany (SPD) have been represented in every Bundestag session and have always been the largest parties, never polling a combined total of less than 60.2 per cent of the vote (see Plischke, 1969: 71, 163; Conradt, 1970: 343). In the last election (1969) they polled 87.9 per cent of the vote and received 94.0 per cent of the Bundestag mandates (Conradt, 1970: 343). The only other party presently in the Bundestag, the Free Democratic Party (FDP), has never

PAGE 25

12 gotten more than 12.8 per cent of the vote (1961) and received less than half that amount (5.8 per cent) in the 1969 elections (see Conradt 1970: 343). They have not won a direct seat since 1957. The major reason for limiting data collection to the major parties is that most of the minor party delegations have been so small and unstable (Obermann, 1956: insert following p. 44) that it would be extremely difficult to establish meaningful career patterns. One could make a good case for including the FDP , but since one of the major goals is to relate career patterns to constituency characteristics, for which purpose the FDP is obviously unsuited, it was decided to simplify matters by eliminating that party from the analysis altogether. The fourth decision is not an obvious one, but it was hinted at in the last paragraph: we are studying Members of Parliament, not candidates. While this is a hidden decision, it is nonetheless, a particularly crucial one because it limits the kinds of generalizations that we can make. Most important, it seriously hinders our ability to ascertain those background experiences which improve one's chances for success in politics by making comparisons between successful and unsuccessful candidates impossible. Schlesinger (1966), Kornberg and Winsborough (1968) and Mezey (1970) illustrate the successful use of this kind of information. The lack of available data (except for occupation in a few instances) forced this

PAGE 26

13 regretable limitation. Whenever possible, information about candidate characteristics derived from secondarysources (Zeuner, 1970; Loewenberg, 1966; Fishel, 1970) will be given for comparative purposes. These four decisions define the universe of subjects, all major-party Bundestag Deputies serving in the period 1949-1969, but tell nothing about the kinds of information to be collected on each individual, or the manner in which it will be reported. To this, one must turn to the other major decisions mentioned earlier. The fifth major decision was to collect both social background and political career data on each subject. Although initially uncertain as to the use which would be made of the former information, several considerations entered into the decision to broaden the data universe beyond the more strictly political categories. One factor, for example, was simply the belief that, since the information was available, it was better to record it now than to regret the omission at a later point. A second, and more important consideration, however, was the desire to have some variables which could be directly compared with the findings of other German studies. As we shall see momentarily, major problems of comparability still exist, but the data has proven helpful, particularly in the construction of a composite occupational background variable.

PAGE 27

14 The sixth decision could be broken down into several choices, but the ultimate result was a decision to emphasize an individual's initial Bundestag recruitment and only secondarily to collect information on each subsequent re-election. This is an important decision because of the interest in the sequence of off iceholding in a person's background. Sequential coding of first and penultimate offices, therefore, was done only for a person's initial entry into the Bundestag. For each subsequen: election only simultaneously held offices were listed, from which it is impossible to determine sequence. This decision reinforced a broad, underlying choice to consider the individual as the unit of analysis, without regard tc the session in which he served. Each person is considered only once in determining career sequence, rather than separately for each session in which he served, thus eliminating weighted representation of persons 13 elected to more than one term. There were, of course, may other decisions that had to be made. The way in which variables were coded, for example, determines to a large extent the kinds of manipulations possible and the way in which findings are presented. But these choices are rather specific and can be discussed more effectively when dealing with individual variables. It is more relevant at this point to indicate how this study differs from prior investigations of Bundestag recruitment and in what sense it may be

PAGE 28

15 considered a significant advance. The number of German recruitment studies is not large, but a surprisingly wide range of subject has been explored. In addition to a number of works on the Bundestag, general studies of elite recruitment (Edinger, 1960; Zapf, 1965), party leadership selection (Mayntz, 1961; Edinger, 1961), cabinet formation (Knight, 1952; Loewenberg, 1966: 219-263), and the recruitment of local and state public officeholders (Mayntz, 1961; Watson, 1969! have been conducted. Until recently, most research stemmed from an interest in determining the degree to which ties with the totalitatian past had been broken (Kirchheimer, 1950; Edinger, 1960; Edinger, 1961). But as the German political system has stabilized and public support for its institutions has grown, this explicit, somewhat pathological, orientation has declined. 1 Whatever the motivation, most recruitment studies are largely descriptive and lack a rigorous theoretical framework (see, for example, Kitzinger, 1960; Obermann, 1956; Kaufmann et al . , 1961; Zeuner, 1970). Some are excellent in their own right (Kitzinger, 1960; Domes, 1964; Kaufmann et al . . 1961), but others (see, for example, Obermann, 1956) skirt the borders of insignificance and are clearly the kind of work Matthews (1954: 59) had in mind when he wrote that "one always

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16 is impressed by the industry, patience, and arithmetical skill which have gone into constructing these tables, but not always by their political significance." The only major study of Bundestag recruitment that does employ a sophisticated framework is Gerhard Loewenberg's Parliament in the German Political System (1966). The scope of this book extends far beyond political recruitment, as the author attempts to survey the historical role of Parliament, its present position in the legislative process and its effectiveness in representation. Loewenberg's chapter on recruitment is primarily concerned with assessing the relationship between recruitment, the social and political backgrounds of Members, and the functions of the Bundestag in the German political system (1966: 40-130). The analysis is based on the following explicit hypothesis: The recruitment of members of parliament is affected by a number of related and relatively stable variables. These include public orientations toward members of parliament, the material and psychological rewards and conditions of the mandate, the organization and membership structure of the political parties, their ideological commitments and their dependence on related interest groups, the pattern of inter-party competition, and the requirements of the electoral law (Loewenberg, 1966: 40). Loewenberg's work is excellent in every respect. It is comprehensive, sophisticated and sensitive. In a word, it is the indispensable source for an understanding of

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17 the role of the Bundestag in the German political system. But, as a study of political recruitment, it has several weaknesses which must be mentioned. 16 First of all, most attention is devoted to social background characteristics, such as education, occupation, and religion, although some consideration is given to age factors and prior political experience. More important, however, is the fact that this is not really a study of recruitment at all, at least as we have implicitly used that term, but rather a study of the composition of the house at a particular moment in time, in this case October 15, 1957, when the first meeting of the Third Bundestag took place (Loewenborg, 1966: 84). This distinction is not insignificant, as the reader may first imagine. Rather, it brings us squarely to a consideration of the ways in which this undertaking differs from previous research. The most common type of study and, in the view of some, the least interesting is "the analysis of a single political unit at a single point in time" (Quandt, 1970: 182). This clearly separates the present research, which covers the twenty-year period 1949-1969,' from Loewenberg's work and, indeed, almost all other recruitment Studies, whether in Germany or elsewhere. There are also less crucial distinguishing features which serve to separate this project from certain other studies. For example, Fishel (1970) surveyed 173 candidates for the fifth (1965) session, far less than

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18 the total population with which we are concerned. Other investigators have looked at Parliamentary recruitment in one or several Laender, either for a single election (Kaufmann et al,, 1961; Watson, 1969) or for several sessions (Varain, 1961) . This project is a significant advance over previous research for at least three reasons. First, it is, by almost any measure, the most comprehensive study of Bundestag recruitment yet completed. Second, the emphasis on initial recruitment based on a population covering a twenty-year time period should serve as a useful complement to momentary, or sessional, studies. Finally, because of the manner in which the data has been collected and stored, and particularly because information has been obtained on subsequent re-election, a great variety of data manipulations are possible. It is perfectly possible, for example, to re-order the data for sessional or true longitudinal analysis, although this will not be done for this paper. Finally, although little attempt will be made here to relate recruitment patterns to political outputs, the data is readily available for such investigations in the future. 17 It is hoped that it will be a research tool of continuing utility as this writer and others explore the implications of recruitment patterns for behavior.

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NOTES 1. Excellent critical surveys of the literature are contained in Jacob (1962), Meller (i960), Meynaud (1961). Older, but still useful, is Matthews (1954: chs. 2-3). The reader may also want to consult the ex+ensive bibliographies in the following: Beck and McKechnie (1962); Marvick (1961: 334-343); Edinger (1967: Introduction and 348-366); LaPalombara and Werner (1966: 462-464); Quandt (1970: 214-238). 2. For example, Jacob (1962: 706) writes: As purely information sources these studies are without equal. Yet their information is frequently left unstructured; the absence of a theoretical framework leaves_the reader wondering about the significance of it all. Even more definitive is Donald Searing's (1969: 490) comment: Given the present state of knowledge concerning attitude formation and change, we can conclude in the strongest terms possible for discursive socialscience analysis of this nature that the background taxonomy currently employed in elite studies is inadequate for forecasting attitudinal distributions among elite populations. 3. Although recruitment studies have been severely criticized for a variety of reasons, one of the most telling is simply that data collection and preparation _ has not usually been approached with comparative analysis in mind (Quandt, 1970: 182). Thus, the most common type of recruitment study focuses on a single body at .a unique moment in time, which makes cross-national or even longitudinal comparisons exceedingly difficult, particularly when one takes into account the highly personalistic manner in which such variables as occupation are coded. As examples of the attempt to cope with the problem of comparability, the reader should look at Quandt (1970J and Ralf Dahrendorf's exciting and insightful book, Society and Democracy in Germany (1969: especially chs. 14-19). 19

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20 4. This is not to suggest that social background data is irrelevant to the process of political recruitment. As will be shown in the next chapter, it plays a legitimate, if limited role. Critics have wielded their ax too freely, justified their conclusions by setting up straw men to be easily toppled, and failed to come to grips with the real complexity of the relationship between social class, recruitment, and behavior. 5. Schlesinger suggests that ambitions may take three directions (1966: 10). If the politician wants a particular office for a specified period and then plans to withdraw from public office, his ambitions are "discrete." If he wishes to make a long-run career out of a particular position, his ambitions are "static." Finally, if he wishes to attain an even higher office than he presently holds or is seeking, his ambitions are "progressive." 6. This is admittedly one of the key weaknesses of ambitions theory as it is employed by this author and Schlesinger. There is certainly an element of choice involved in deciding to analyze aggregate data rather than conduct in-depth psychological interviews, or, more superficially, to ask the politician about his ambitions. Schlesinger (1966: 198) writes: "I am well aware that I have not demonstrated either that American politicians do in fact perceive their opportunities as I have described them or that the opportunity structure affects political aspirations." There are advantages which may override this limitation, however, notably that data is more readily available, the model can be extended to include other historical epochs, and generalizations may be more meaningful. In addition, there is the practical consideration that understanding the structure of opportunities is logically prior to bringing order to ambitions. Thus, Jacob and Browning (1964) have found upon direct examination that ambitions are not distributed randomly, but intimately related to available opportunities. 7. Schlesinger (1967) has also made limited crossnational career comparisons for the U.S., Canada, Australia, Great Britain, and France. The depth of analysis, however, is hardly comparable to his seminal study of the structure of political opportunities in the United States. 8. Contrast, for example, Sorauf's (1968: 3) contention that American parties are unusually preoccupied with contesting elections with Kirchheimer ' s (1966: 51) view of the German situation where "hankering for the spoils of government by impatient politicians is not a major element in political party life, nor does it force what one may call an electoral style on political competition."

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21 9. The biographical data for this study and a detailed codebook are filed with the political science data lab, Department of Political Science, Universtiy of Florida. 10. The basic data sources for this study are the official biographical sketches for each member contained in the Amtliches Handbuch des deutschen Bundestaqes , WahlperTode II-VI (1953-1969). This information is supplemented when necessary by consulting W er ist Wer? and Who's Who in Germany , standard biographical reference works. Information on the demographic characteristics of the 248 elective constituencies has been kindly provided by Dr. David Conradt, who has gathered the information from standard statistical publications of the Federal Republic. 11. A similar -justification has been employed by Prewitt and Eulau (1971) in their study of the social bias in Iradership selection. In that study the authors summed and averaged electoral turnout over a ten-year period and justified the decision by arguing that "our purpose here was to neutralize secular trends precisely because we were more interested in reconstructing the politician's 'psycho-political life space,' . . . than in describing 'reality™ (297). 12. An understanding of these terms is essential for grasping the basic argument advanced later in the chapter for the uniquity of the project. As we employ these terms, "longitudinal" analysis means the study of change over time. "Sessional" analysis, on the other hand, means the study of a particular political unit at a given moment in time. Obviously, this can be_ employed successively to create a kind of longitudinal analysis, when the sessions are used as discrete points along a time continuum. In this paper, however, we will primarily rely on what is called, for lack of a better term, "aggregate" analysis. By this we mean the consideration of information gathered over .a period of time, in this case 1949-1969, as a single population. There is no attempt made to determine trends over time. 13. The actual method of data 'recording is as follows, Three 80-space formats were employed. The first two formats correspond to card #1 and card #2 each case, _ respectively. The first format contains general social background information, while the second format includes the variables to be employed in the analysis of initial recruitment. Together these cards constitute the basic deck used for most of the analysis reported in the paper. The third format resembles, in basic form, the second format and is employed each time a person was re-elected.

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22 Thus, if a person served 4 terms, the appropriate format would be punched on three separate cards, one for each re-election. These cards would be numbered three through five. The number of cards per case, then, may range from two to as many as seven if a person served in. all six sessions. A more detailed listing of the individual variables is available in the author's codebook. 14. Survey research covering the period 1949-1967 indicates a steady rise in public support for the political institutions of the Federal Republic (see Institut fur Demoskopie, 1967: 14-20, 31-37). In a recent elite survey two-thirds of respondents regardedthe present system as "stable" (see Wildenmann, 1968: 58). 15. See also the more recent works by Kaack (1969) and Zeuner (1970) : 16. This should not be taken as a criticism, given Loewenberg's basic purpose and the obvious limits which any investigator must set for himself. Loewenberg's sensitive portrayal of the relationship between recruitment patterns and the way in which the Bundestag fulfills its representative function is clearly indicitive of the direction in which future career pattern analysis could move. 17. It should, perhaps, be emphasized again that the author is well aware that the present undertaking is not directly "behavioral." Wahlke (1962: 174-175) is entirely correct when he argues that "one variety of study often erroneously thought to be distinctively 'behavioral' is that which ascertains certain demographic characteristics of the membership of particular representative bodies . . .they tend to be purely descriptive." According to Wahlke, the case for collecting quantities of such descriptive information is best argued by W. 0. Aydelotte ("A Statistical Analysis of the Parliament of 1841: some problems of method," (1954) Bulletin of the Institute of Historical Research, 27: 141) who hopes that "revealing correlations" may be discovered. Wahlke is also correct, however, when he argues that more than the possibility of interesting correlations are needed: Logically, two sorts of 'hypotheses are needed: first, hypotheses concerning the circumstances which lead to the presence or absence of representatives with certain characteristics; second, and more important, hypotheses concerning the consequences of variations in these characteristics for the behavior of individual legislators and, thereby, for the working of the representative body (1962: 175).

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23 This study will certainly attempt to meet the first need, but because of lack of appropriate data, will be able to do little that is truly behavioral at this time.

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CHAPTER 2 POLITICAL RECRUITMENT: DEFINITION AND CONCEPTUALIZATION The goal of this chapter is to define the term "political recruitment," and to conceptualize the process of political socialization and participation which culminates in election to public cffice. As a part of this discussion, much of the relevant literature will be reviewed for substantive findings and heuristic concepts. 1 It is not our purpose, however, tc make explicit use of most of the framework developed here in the later chapters. The conceptualization is presented only to help the reader place the key research variables, social background and political career experiences, in proper perspective as regards the total process of political recruitment. A Definition Political recruitment can be defined in a variety of ways. One can speak of recruitment to politics per se . initial recruitment, or recruitment to a particular office structure. The most satisfactory definition for our purposes is institutionally specific. Kim (1967: 1036), 24

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25 for example, views recruitment as "the entire process involved in a person's induction into a position." Similarly, Almond and Coleman (i960: 32) refer to "the special political role socialization which occurs in a society 'on top of the general political socialization" and Prewitt and Eulau (1971: 293) speak of "the intramural sorting and screening processes" which mean "advancing from being politically active to becoming a candidate for political office.". From this perspective, to study recruitment is to examine how individuals get into specific positions of leadership. It has the advantage of being general in form, but unique to whichever institution or office structure is being investigated. These definitions stand in rather sharp contrast to those that either equate recruitment with high levels of political activity (Pye, 1962: 45-46) or seek to limit use of the term to initial recruitment, preferring the term "political promotion" for all subsequent office activity (Jacob, 1962: 706; Fishel, 1969: 1214). 2 High levels of political activity, what Milbrath (1965: 18) calls "gladiatorial" activities, include such things as being and active party member attending meetings, and contributing time to a political campaign, as well as being a candidate or officeholder. It is, thus, too vague and diffuse a category and is not, in any case, limited to officeholders which are our sole

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26 concern. It is possible, of course, to argue that most recruitment studies have focused on political promotion rather than initial election, but this is an obvious truth and a not very useful distinction, since it merely seeks to substitute one word for another, without clarifying the underlying concept. In this paper we follow the more generally accepted practice of using the term "recruitment" to refer to the entire process of selecting Members of the West German Bundestag, while recognizing that this is, in actuality, an example of political promotion. In attempting to understand the nature of that process it is helpful to think of it as part of the total process of political socialization and participation. 3 Political Participation Political participation ranges from simply exposing oneself to stimuli to holding public and party office, with the most common form being the intermittent act of voting. Milbrath (1965: 18), who has explored the subject of participation in a fascinating book, suggests that people can be grouped into four broad categories along the continuum of political activity in terms of the amount of time and energy devoted to politics. "Apathetics," those who do not vote and essentially avoid politics, are the least active. Most people are

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27 "spectators" who participate in the system by voting and discussing politics. "Transitional" activities, such as contacting public officials or attending political meetings, clearly separate the third group from the relatively passive role of "spectators." Finally, those who are actively committed to politics, who contribute time to candidates, or perhaps become candidates and officeholders themselves, are engaged in what Milbrath calls "gladiatorial" behavior. The rankordering of political activities is assumed to be generally valid from one country to the next, since it is based on time and energy costs (Milbrath, 1965: 19). This does not mean, however, that the same proportion of the population in different political systems will engage in similar activities. Political culture, for example, is an important variable affecting the amount and kind of participation and will be discussed in the next chapter. The hierarchy of political involvement is relevant to an understanding of political recruitment for at least three reasons. First, involvement tends to be cumulative, due to the fact that persons who engage in more costly activities, such as working in a campaign, are also likely to vote and discuss politics with others. Secondly, research indicates a positive correlation between the levels of participation and such socioeconomic variables as income, occupation, education,

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28 age and sex. Thus, voters are more likely to be male, older, more affluent, better educated, more knowledgeable and more partisan than nonvoters (Campbell et al . , 1964: 250-265; Lane, 1959; Lane, 1970; Milbrath 1965: 110-141). Similarly, recruitment studies have shown that party activists and public officeholders are predominantly drawn from the middle and upper-middle socio-economic brackets, are more knowledgeable and better educated than the mass electorate (Matthews, 1954: 32; Matthews, 1961; Meynaud, 1961: 525; Sorauf, 1968: 92-96; Bowman and Boynton, 1966; Prewitt and Eulau, 1971). Obviously, many of the variables are interrelated. For example, Lane (1970) attributed the differential rates of participation between middle class (high) and working class (low) to eleven factors, including education, time and energy available for political activity, economic security, self-esteem, child-rearing practices, civic responsibility, and greater cross-pressures on the working class. Similarly, Berelson and Steiner (1964: 422-426) think the higher participation rates of high SES persons is due to three factors: (l) they are better educated, (2) they are more likely to perceive that they have a stake in politics, (3) they are more likely to interact with persons active in politics. The hierarchy of political involvement is a useful conceptualization for yet a third reason: it points to a major turning point in the process of political

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29 participation which can be called the "gladiatorial threshold." Although the various forms of participation are hierarchically arranged, the process of transition is not smooth, but discontinuous: Occasionally, a spectator jumps into the political fray. But, by and large, personality and environmental factors encourage persons to stay in their roles. There seems to be a kind of threshold that must be crossed before a person changes role; this is especially characteristic of the transition from spectator to gladiator. A person needs a strong push from the environment (e.g., earnest solicitation from a friend) or needs xo feel very strongly about an issue or a candidate before he will cross the threshold and become a political combatant. Once the threshold is crossed and the new team member becomes integrated in his role, he usually particioates in a wide repertoire of political acts (Milbrath, 1965: 20-21). The change in level of activity is not unlike the changes of state that occur when water is changed into ice or steam. The idea of a threshold serves to identify the initial stage of political recruitment and helps to distinguish it from other forms of political participation. Merely showing that there are levels of political activity does not explain why some people get involved in politics and others do not. But the fact that activities can be arranged hierarchically and are quite interdependent leads to the expectation that general models of participation and recruitment could be developed. Milbrath (1965: 28-38) has developed a perceptually

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30 oriented model of behavior which relates stimuli, personal factors, the political setting and social position to participation. It is particularly helpful because it explains participatory behavior in terms of the complex, and sometimes circular, interaction of the individual's predispositions, experiences, and perceived environment. The model is a very general one, quite consistent with Schlesinger' s ambition theory which, the reader may recall, is also implicitly based on perceptual psychology. For Milbrath, a decision is basically viewed as a function of physiological and psychological needs, beliefs, and attitudes, which can be called predispositions, and stimuli coming from the environment. Stimuli, however, are modified by "the selective effect of predispositions upon perceptions" (Milbrath, 1965: 33). When the concept of selective perception is combined with the notion of a predispositional threshold, one gains an understanding of why some persons participate in politics in certain ways and others do not. Thus, the individual who votes, but does not campaign, might find that his predispositions to political inactivity are reinforced by selective perceptions that campaigning is part of dirty politics, that no one needs or wants his help, or that any such effort would be largely ineffective anyway. It would take, as indicated earlier, a particularly strong push

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31 from the environment, in other words, a stimuli that could not be ignored, or a combination of issues which might arouse sufficient counter-predispositions, to get the spectator to cross the gladiatorial threshold. On the other hand, an ambitious politician, whose predispositions favor active involvement, might conclude, on the basis of selective perception, that a real opportunity for election existed where such was not the case. In both examples, behavior feeds back to the individual, persumably altering his attitudes, needs, perceptions, and future participatory behavior. Although a model of the general process of participation is somewhat helpful, the tendency to emphasize the individual's perceptual-motivational set means that the institutional framework within which leadership selection takes place is largely ignored. Political structures, such as parties, are defined as part of the environment, relevant only to the degree that they are perceived by individuals. While this may be an accurate picture of the motivational component, it ignores the active role of parties and other agents in recruiting leaders. What is needed is a framework of analysis that encompasses both the individual's psychological and sociological backgrounds and the several agents of recruitment. ., .

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32 Models of Political Recruitment In recent years, there have been several suggestive attempts to conceptualize the process of leadership selection. In this regard, the writings of Seligman (1961, 1964), Sorauf (1963: 81-89), Jacob (1962), and Browning (1968) come readily to mind. None of these is entirely satisfactory, but taken together they lead to the conclusion that any comprehensive model must take account of at least four sets of variables: (l) the individual's psychological background, (2) his social background and career experiences, and the role of (3) party and (4) constituency in certification and selection. 6 Before discussing the relevant research findings in each of these areas, it may be helpful to look at two somewhat different ways in which to visualize the recruitment process. No diagrammatic presentation could do complete justice to the complexities of political recruitment, but two partial schemes have proven helpful to this writer. First of all, recruitment can be looked at from the societal perspective as the successive narrowing of the relevant population as it passes through a series of funnels or filters (see Figure l). 7 As shown in Figure 1, there are at least four selection structures which can be identified in the modern state system: (l) the formal

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33 P ? y formal , . -^ _ L requiresocial political opportunity JHE ELIGIBLE *; merits I N structure structure structure THE PROCESS OF CERTIFICATION Figure 1 requirements, including the formally enunciated requirements for office such as age and citizenship, (2) the social structure, (3) the political structure, and (4) the opportunity structure. ° The process of certification, however, is really not a process at all, at least not as we have used it. Essentially, all it does is illustrate the idea that only a fraction of the total population meets the formal and informal requirements for public office. This is of course, a very important point. A recent study stressed the fact that: Even in the most democratic society, the electorate does not choose from among all its members. It chooses from among a pool of eligibles disproportionately drawn from the higher social-status groups in

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34 society; the availability of these elites as political candidates very much depends on the intramural maneuverings within the active stratum by which some are recruited to and ethers eliminated from candidacy, (Prewitt ana Eulau, 1971: 293). Schlesinger (1966: 12) was even more succinct when he wrote that "It may be, as some have said, that today only millionaires can become President; but only those millionaires in strategic political posts can hope to turn the trick. In the game of politics the political as well as the social system determines the players." But more dynamic perspective is still needed, one that is processoriented. Figure 2, largely self-explanatory, is an attempt to visualize the sequential structure of political recruitment in terms of the mutual interaction, over a period of time, of the political environment, the potential candidate, and relevant political elites. 9 The political environment includes, among other things, the electoral constituency. The explicit inclusion of the constituency as a factor in recruitment is frequently neglected, but crucial to any model, such as this one, that has a concern for behavior in office, and, thus, for representation. Preceptually based, like Milbrath's more general model of participation, it is also consistent with ambition theory, although it is hardly limited to such an interpretation. It makes clear that candidates can be either "self-starters," or actively recruited by political

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35 >.

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36 leadership. 10 In either case, acceptance of nomination depends on the interaction between motivations and perceptions of opportunity and risk. Cnce elected, of course, the politician's office behavior has implications for his subsequent re-election. A model of this type is probably the most satisfactory that can be produced at this time, but the skeletal relationships described above need to be filled in with substantive findings from relevant political research. To do this, we will return to the four sets of variables which were mentioned earlier: psychological background, social background and career experiences, and the role of party and constituency in candidate selection. Factors in the Recruitment Process Needs and Perceptions Psychological factors have been largely neglected in the empirical study of political recruitment. This is unfortunate because they provide an important motivational component by relating individual needs and the perception of opportunities. What little research exists usually emphasizes the role of political office in fulfilling certain personality needs, such as the need for Power, Affiliation or Achievement (McConaughy, 1950; Jacob and Browing, 1964; George, 1968). ll The role of perceptions in molding goals and behavior has

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37 only been indirectly approached in the literature on political recruitment. 2 The interaction of needs and the perception of opportunities for need satisfaction best explain the drive for public office. Early investigations of the drive for power failed to include a perceptual component and have been partially contradicted by later research. Weber (1958: 78) and Lasswell (1948: 39, 53), for example, hypothesized a drive for power as a significant characteristic of political activists and this thesis has received some support from a subsequent investigation of power motivations of South Carolina state legislators, since legislators had slightly higher dominance scores than a control group (McConaughy, 1950). But a more recent study of politicians holding a variety of positions in two states led to the conclusion that neither power, affiliative, nor achievement motivation was "peculiarly characteristic of the total sample of politicians tested" (Jacob and Browning, 1964: 81). The apparent discrepancy in findings can be significantly reduced by controlling for the ability of a given political system to satisfy a given need. Thus, in the two-state study the authors found that men in positions with high power and achievement potential had higher motive scores than the nonpolitical control group or other politicians. Also, because opportunities for power achievement in politics were lower in Louisiana parishes

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38 than in the eastern city studied, highly motivated persons were more typical of the latter sample. Significantly, the authors rejected a role socialization explanation, which would have suggested that exposure to power and achievement opportunities had socialized certain officeholders to high levels of power or achievement motivation, on the grounds that candidates for such positions had the same basic motivational characteristics as officeholders. Their conclusion is succinctly stated in the following logical hypothesis: Motivated behavior--for example, the choice of one activity ever another less preferred—is the product of (l) the individual's underlying motivation, or need for a certain kind of satisfaction, and (2) his expectations or perception of motive satisfaction in the alternative activities (Jacob and Browning, 1964: 82). This argument is quite consistent with ambition theory since "ambition" is only a catch-all term used to refer to a wide range of human wants and needs without making the investigator specify the wants and needs, of any particular individual. Individual motivation mediated by perceptions of the environment propels some persons toward political candidacy. But other variables, particularly social background, help to explain why some individuals rather than others perceive political activity as a means of satisfying ambitions. Social Background Social background factors are operative at several

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39 points in the process of political recruitment. First of all, background variables such as class, family, education, and occupation, predispose some persons to very high levels of political activity in the same way that they influence more common forms of participation like voting. A recent study of family relationships in Congress makes this quite clear (Clubok et al . , 1969). 13 The authors, who discovered that a disproportionate number of congressmen had relatives who had also served in Congress, attributed this to the fact that they had "grown up in an environomtnt conducive to the internalization of political values, awareness, understanding and motivation" (1036). Secondly social and occupational background can tell us a good deal about availability and skills. Two examples should suffice to illustrate the point. It has been found that British M. P.'s whc eventually attained cabinet office entered politics at an earlierthan-average age (Buck, 1963). Their clear intention to make politics a career was probably helped along by limited family responsibilities and little, if any, commitment to an alternative occupation. But one's private occupation may be quite relevant to politics. The legal profession, particularly in the United States, is the example par excellence of a convergence of several factors—occupational flexibility, "brokerage" skills, and private advantage—which makes public officeholding both possible and attractive.

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40 Occupational flexibility, which makes it relatively easy for professional persons, particularly lawyers, to serve in legislative bodies need not detain us here. The notion of occupational utility for politics, what Jacob calls "brokerage" occupations, is perhaps more significant, since it stands in partial contrast to a social structure explanation of recruitment. According to Jacob: Elected -officials will come principally from brokerage occupations; as such occupations exist at all levels of the social hierarchy, elected officials may come from lower as well as upper status occupations (1962: 716). The brokerage concept emphasizes the congruence of skills in private occupation and politics, particularly those skills central to the give-and-take of politics. But two additional points are relevant here. First of all, the brokerage concept can easily be stretched to include Schlesinger' s idea that complementarity of functions can serve as a link between political offices (1966: 99). Even more important, in the German system where administrative norms seem particularly important, other skills may be more suitable (see, for example, Kirchheimer, 1966; Loewenberg, 1966: 107-108, 114). Finally, in terms of occupational utility for politics, Eulau (1962: 507) has written that "just those individuals whose private pursuits qualify them for public office may also derive advantage from political status for their

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41 private occupations." There is considerable evidence to support this conclusion. For example, Gold (1961) found that lawyers usually enter state legislatures at an early age and only stay for two or three terms, just long enough to derive significant private advantage. Similarly, Barber (1965: 23-66) speaks of the "advertisor" as one of four types of Connecticut legislators, characterized by high levels of activity, but a willingness to return for only a few sessions. Jacob (1962) has suggested yet a third way in which social background is related to recruitment. An integral part of his model of recruitment is the community esteem of political office and he suggests that, just as water seeks its own level, "brokers will initially seek offices whose esteem corresponds most closely with their own standing in the community" (716). 14 Thus, a Boston Brahmin is unlikely to run for clerk of the circuit court, but quite likely to run for the U. S. House of Representatives of the Senate, as the examples of Lodge, Kennedy and Saltonstall will testify. A final way in which social background factors enter the recruitment process is by being considered as relevant criteria by party and constituency as they go about the job of nominating and electing representatives. It is only when we consider these agents of recruitment that predictive propositions about leadership selection and various kinds of behavior are possible.

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42 Party and Constituency It is difficult to separate the operation of party and constituency in the process of political recruitment. Certainly the parties, whose concern is for electing candidates, select persons that will, at least in some ways, appeal to the voters or the major interests tied to the party (Loewenberg, 1966: 70-78). On the other hand, parties also try to pick candidates that meet their own needs (Sorauf, 1963: 81). This is particularly true where the party is organizationally strong and/or can count on victory at the polls (Mezey, 1970; Jacob, 1962: 716). Attempts to relate either party or constituency to recruitment almost always use traditional social background data such as prior political experience as dependent variables .(Walker, 1960; Snowiss, 1966; Mezey, 1970). Since a much greater volume of research has been done on the role of the party in recruitment, it is to this literature that we turn first. Using party competitiveness, variously measured, as the major independent variable, numerous investigators have found consistent relationships with three dependent variables: age, socio-economic status, and prior political experience. Given the obvious security and lower turnover rate of a predominant party, it is not surprising that parties in safe districts generally select older nominees than those in more competitive areas, or that

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43 the youngest candidates are put forward by parties in a hopeless minority position (see Walker, 1960: 24-26; Snowiss, 1966). Youth is more likely to have the energy to wage an up-hill, or even a hopeless campaign, and also is more likely to derive private benefits from political exposure, regardless of electoral outcome. Age, quite obviously, is somewhat correlated with the amount of political experience a person could have. Several studies would suggest that in dominant parties youth has to serve a long apprenticeship. Mezey (1970: 566) has found that successful majority party candidates are more likely to have held previous political office than successful minority party candidates. Similarly, Jacob (1962: 716) argues that where party organizations control nominations only those "brokers" who have contact with the machine will enter politics. But in the German case there was a serious lack of qualified party members to run for public office in the immediate post-war period. Until the parties, particularly the CDU, grew organizationally stronger even Bundestag seats were assigned to interest group representatives without a history of party activity (Heidenheimer, 1966: 71). Prior political experience, then, is something the parties would like candidates to have, provided that they are in a position to choose. Findings about social status are less consistant. There seems to be a tendency for long-predominant parties

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44 to have leadership that is heavily biased toward higher socio-economic groups (Patterson, 1963). This may reflect a bandwagon tendency on the part of upper-class elements, as well as the fact that older candidates, who are more numerous in dominant parties, have had a greater opportunity to advance socially and economically in their private lives. Partially counteracting this, however, is a tendency for parties to choose higher status candidates in competitive districts (Kornberg and Winsborough, 1968: 1242). Collectively, then, candidates in competitive districts are likely to be younger, upwardly mobile individuals, who may or may not be party regulars. The picture for their counterparts in noncompetetive districts is less structured: majority party nominees tend to be older party regulars; minority party candidates may be either young and inexperienced, or older, respected members of the community who can be talked into a token candidacy (see Snowiss, 1966). Research on the role of the constituency in the process of political recruitment is exceedingly fragmentary. The underlying hypothesis for such research has been well stated by Rosenzweig (1957: 163) who argued that "it is likely that the characteristics of candidates for public office are determined in part by the character of the constituency in which they are running." There would also seem to be a natural tendency to stress the representational function at this point, by drawing inferences from

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45 a comparison of the social backgrounds of politicians and their constituencies on the assumption that "the dominant values of the community result from its social characteristics, and these values are in turn imposed on all who would rise to positions of community leadership' (Sorauf, 1963: 39). There is some evidence to support the view that officeholders do reflect their electorates in certain key dimensions. Sbrauf, for example, found that candidates for public office in Pennsylvania resembled their constituency in terms of race, religion, and ethnic background (1963: 89). And Prewitt and Eulau (1971: 304) have found that the average status of city council members is positively related to the socio-economic level of the community, as measured by the median market value of homes. Similarly, other investigators have found that social groups supporting a particular party are heavily represented among that party's officials (Epstein, 1958: 89) or those seeking its nominations (Loewenberg, 1966: 67-68, 75-77; Varain, 1964). Constituency is also relevant to recruitment in ways not so easily related to a vague definition of representation. Kornberg and Winsborough (1968: 1243), for example, found that relative urbanization and industrialization affected recruitment patterns by being positively related to the mean status of candidates. And Wences (1969: 181)

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40 suggested that the higher the level of electoral participation, "the lower the proportion of political leaders recruited from business and legal occupations, but the higher the relative number recruited from other professions and from Labor and Party bureaucracies." These findings are at least partially explicable in terms of the concentration of wealth and status in areas of high population and the mobilization of the lower classes. Their significance, however, is far from evident and more research is needed to establish them as valid generalizations. The importance of constituencies in political recruitment may vary with the structure of the electoral system, the organizational strength of political parties, and the tendency for constituents to vote for parties rather than candidates. Conditions in the United States would seem to maximize the potential impact of constituents, while those in Britain and Germany would reduce it. Differences, however, may not be as great as one might think. Austin Ranney (1968) finds that considerable localism does exist in British candidate selection, despite the fact that formal power of the national political party organizations are impressive. For Germany it has been pointed out that at least within the SPD "positions of leadership are widely held to require more and more the ability to deal with persons

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47 outside the party," implying an increasing role for electoral constituencies (Chalmers, 1964: 160; see also Loewenberg, 1966: 83). The role of constituents in political recruitment certainly deserves more study. By correlating demographic and electoral data for each Bundestag district with legislative career patterns we should be able to say something about the impact of constituencies on leadership selection. Previous work by this author (1969) would lead to the hypothesis that constituency candidates would have significantly different career patterns than list candidates, the latter probably reflecting interest group affiliation and state and national party experience. Similarly, there may be differences between one-party dominant districts and competetive or semicompetitive areas. Each of these ideas will be explored in later chapters. Recruitment and Representation: Reflections on Outputs Having looked at some of the ways in which constituency factors may affect political recruitment, it may be worthwhile to conclude this chapter on a reflective note. One of the most difficult tasks for this writer has been to conceptualize political recruitment in a comprehensive, yet unambiguous manner. Most of the literature on recruitment is conceptually inadequate, occasionally

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43 irrelevant, and subject to searching criticism. Having grappled with this thorny problem for some time, several thoughts occur which should help to improve our understanding of the recruitment process, its possibilities . . . and its limitations. Not all the research that has been conducted is irrelevant, or unimportant, despite the critics — far from it. The literature, taken as a whole, as we have tried to do in this chapter, provides a reasonably adequate understanding of the recruitment process. The difficulty is that only infrequently have scholars tried to conceptualize the total process. Instead, they have emphasized small, isolated segments: psychological factors, social background, or the role of political parties. Additionally, research has been divided very unevenly between even these gross categories, with most works devoted to easily ascertainable social background characteristics — often without any real thought as to how these features relate to political recruitment. Two major problems are apparent upon examination. First of all, studies of who is recruited need to be distinguished from investigations of how persons are selected to fill leadership positions. In reality such a separation is somewhat artificial, but it helps to emphasize that those analyses of who is recruited are often unrelated to theory, being mere compendia of discrete

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49 facts. Facts about who is recruited, usually social background. material, are important because they stand for things that predispose people to high levels of political activity-interest, ability, knowledge, feelings' of efficacy and similar factors. By themselves, however, they are static and descriptive; hardly an adequate approach to the dynamic process of getting persons elected to public office. For our purposes, recruitment is the study of how people get into positions of leadership. This is done by looking at the sequence of political officeholding. A second problem arises because our interest in recruitment is often prompted by our concern for other kinds of political behavior; for a variety of outputs which can, supposedly, be related to who is recruited and how. Snowiss (1966: 627) stated the thesis simply when he wrote: "The study of recruitment and the study of representation are complementary." Complementary they may be, but identical they are not. Scholars have a normal desire to study significant objects, but students of political recruitment sometimes make exaggerated claims for their subject out of a failure to understand that factors operative in political recruitment may not operate identically in such closely related subject areas as roll call voting and representation. When recruitment is taken as an independent variable, it is then related to some kind of dependent political

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50 output—roll call voting (Atkins and Baer, 1970; Schulz, 1969), participation. ( Barber, 1965; Loewenberg, 1966; Hanna, 1965-66), system stability (Legg, 1969a; 1969b; Watson, 1969), or representational roles and attitudes (Bell and Price, 1969; Fiellin, 1967; Kochanek, 1968). But we should not expect to find, nor do we find, simple relationships between background factors and, for example, roll call votes, when we cannot even demonstrate a consistent connection between backgrounds and attitudes, variables which should be more closely connected (Edinger and Searing, 1967; Searing, 1969). Social and psychological backgrounds obviously have some bearing on political outputs, but they are mediated by party and constituency and it may be that apparently simple relationships are mere artifacts of other variables. Matthews (1954: 41), for example, indicates this may be the case for Rice's finding that farmers tended to vote together regardless of party. He suggests this may be an artifact of similar constituencies (Matthews, 1954: 41). The tendency to consider recruitment and representation as one process is understandable in light of the fact that many of the same variables are operative: personality, social backgrounds, party and constituency. But a little thought should make it clear that they operate in different ways and in different combinations in what are essentially two separate processes. For example, the drive for power,

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51 need for achievement and need for affiliation affect recruitment, but would not seem equally relevant to many kinds of political output. Certainly these are not attitudinal variables that should have any recognizable direct impact on roll call voting. Similarly, higher status individuals are more likely to be recruited to political activity, but this does not mean that they represent class interests or vote in a predictable manner. As Schlesinger (1966: 13) said, "the social or occupational composition of Congress is no guide to its voting behavior." 15 Most research emphasizes that party is the best explanatory variable for voting behavior and that residual variation can be explained by constituency factors, such as district "safeness" or "typicality" (MacRae, 1952; Froman, 1963: 110-121; Sorauf, 1963: 144-146) . Recruitment patterns can be related to certain kinds of behavior, but we should expect the more directly political experiences to have a greater impact. Thus, James Barber (1965: 237-240) has found that certain kinds of constituencies are likely to send individuals with personality needs that have implications for their level of political activity. For Germany, Loewenberg (1966: 107-121) has found that occupation is significantly related to performance in oarliamentary debate. Finally, Schlesinger (1966: 5) has suggested that career patterns, which tell us what goals individuals in certain positions

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52 may reasonably pursue, can be related to representative behavior through a very direct concern for getting one's self elected. Because the perspective is on careers, however, he quickly points out that the relevant constituencies may be differnt from the formal electoral constituency of the moment (1966: 5). In the Bundestag it is not expected that recruitment patterns will be an important factor in explaining voting behavior, which is largely determined by party lines, although they might help explain vote deviancy (see Reuckert and Crane, 1962). 16 Nor is it assummed that . recruitment patterns will be directly related to attitudes. But other, equally important, if less easily ascertainable relationships may exist, although they will not be considered as part of this study. As examples, one could cite the absolute level of legislative activity, legislative effectiveness, and representational role orientations. These should be fruitful areas for future research.

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NOTES 1. Many of the examples are taken from the American context since a large proportion of the work has been done in this country. It is assumed that basic relationships are generally valid from one' country to the next, although, of course, little reliance should be placed on precise figures. This is not an uncommon assumption. See, for example, Milbrath (1965: 19) and Prewitt and Eulau (1971: 294) / 2. H must be emphasized that "initial recruitment" as used by these scholars is quite different from our decision to look at "initial Bundestag recruitment" patterns. As they have used it, the term would refer to the first political candidacy, or office, in an individual's background, which would normally be at the local or state-wide level. 3. Prewitt and Eulau (1971: 293) draw a distinction between "political recruitment" and "leadership selection," defining the former as a subset of the latter: "leadership selection refers to tht processes that determine which few men from any generation will come to hold political office, and thus includes political socialization patterns, socio-economic bias, the formation of the politically active stratum, and the political opportunity structure." In this paper we have used the two terms interchangeably. What they refer to as "leadership selection" more closely resembles those processes of political socialization and participation which will be discussed in the next section of this chapter. 4. This section is heavily based on Milbrath (1965). He has managed to draw together in. concise, readable form most of the literature on political participation and to systematize the findings. This writer was interested to note that his own attempt to organize the literature on political recruitment led to an emphasis on a similar set of factors. 5. See particularly Milbrath' s (1965: 28) diagrammatic representation of the model. 53

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54 6. The terms "certification" and "selection" are Seligman's (1961). Certification includes basically those factors of social screening and political channeling that Prewitt and Eulau (1971: 293) refer to as "leadership selection." Selection resembles their definition of "political recruitment." 7. For a somewhat similar scheme see Prewitt' s (1970: 8) "Chinese box puzzle" which is a further attempt to describe "The successive narrowing of the many who are governed to the few who govern." 8. A distinction is not always made between the political structure and the opportunity structure. As used here, the political structure refers to the structure of the political parties, the electoral system and similar factors, while the opportunity structure is concerned with the number of opportunities, the amount of interand intra-party competition and the extent of multipleoff iceholding. 9. The author is happy to acknowledge the influence of Seligman (1967: 29b), Milbrath (1965: 2) and Browning^ (1968: 304) on his visual conceptualization of the recruitment process. 10. Seligman (1961: 86) identifies four patterns of candidate recruitment: (l) conscription, (2) selfrecruitment, (3) co-optation and (4; agency. 11. A good summary of the personality and politics literature can be found in Greenstein (1968). The entire issue of Journal of Social Issues in which Greenstein' s article appears is devoted to the topic. See also footnote references in Milbrath (1965: Ch. 3). 12. An exception is Jacob and Browning (1964). Also relevant are George (1968) and Kingdon (1968). 13. See also Bowman and Boynton (1966), Kornberg and Thomas (1965) and Wahlke et al. (1962: Ch. 4). 14. A somewhat similar thesis, although applied from a systemic rather than individual perspective, has been used by Prewitt and Eulau (1971: 302) who argue that city council members in the Bay Area are drawn exclusively^ from persons above the sixtieth percentile in the socialstatus hierarchy of their community, but that the absolute value of that percentile shifts from one community to another. 15. For a conflicting interpretation see Donald Matthews (1954: 40).

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55 16. A recent article has explored precisely this point by relating the voting cohesion of the British Conservative party to three constraints against deviancy: potential career vulnerability, career enhancement aspirations, and feelings of group or party identity. The second constraint, career enhancement aspirations, appears to be very similar to Schlesinger' s idea of progressive ambitions. It is operationalized in terms of acquisition of higher office, the length of Commons membership, and age, all of which are important career variables. See Schwarz and Lambert (1971).

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CHAPTER 3 THE SETTING The Federal Republic is a relatively new entity built upon the ruins of the Third Reich. Its constitution, the Basic Law, was only adopted May 23, 1949 and it was not until May 5, 1955 that the last vintages of military occupation, with the continuing exception of Berlin, were removed. 1 It would be a mistake, however, to view the German political system as essentially a new creation, for it exhibits striking continuities with the past. Kirchheimer (1950) and Edinger (1961) have found significant similarities in elite recruitment since the Weimar period. Even more recently, the sociologist Ralf Dahrendorf (1969: 285-296) has criticized the continued predominance of "private virtues" even "public virtues." And the philosopher Karl Jaspers (1967: 22-28), in a thoughtful polemic on the possibly totalitarian direction of German politics, has stressed that the old faults remain: political passivity and a lack of commitment to individual freedom and democracy. Perhaps more than most nations, Germany is clearly the product of its unique historical experiences, particularly the devastating defeat in two World Wars, the abortive Weimar experiment in democracy and the excesses of the Hitlerian era. 56

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57 The purpose of this chapter is to outline key aspects of political life in Germany as a foundation for understanding parliamentary recruitment. Beginning with a brief sketch of the development and historical role of parliaments in Germany, it moves on to consider how the formative experiences mentioned above have helped to shape the electoral system, the structure of government and the political parties. This is followed by a discussion of certain aspects' of contemporary political culture that are particularly relevant to recruitment. Finally, some consideration is given to the present role of the Bundestag which, like other parliamentary bodies, is relatively less powerful than the executive branch of government. The Historical Role of Parliament The Bundestag has a long, but not particularly distinguished ancestry. The parliamentary tradition can be traced back to the Imperial Diet or Reichstag of the Holy Roman Empire which developed during the tenth to twelfth centuries (Ullmann and King-Hall, 1954: 19-33) and to the Estates of the various principalities, such as Wurttemberg, which began to form throughout Germany during the fourteenth and fifteenth centuries (Carsten, 1963; Ullmann and King-Hall, 1954: 33-36). 2 The Imperial Diet, which lasted until the time of Napoleon, was not a true parliamentary body, but rather

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58 "an aristocracy of soverign princes" (Ullmann and KingHall, 1954: 27). The relations of Emperor and princes depended "on the possessions of the family, not on their rank and status" (Ullmann and King-Hall, 1954: 27). Although never exercising great influence as an organization, by the eighteenth century it had deteriorated still further into a conference of envoys and charges d' affaires , devoting much time to such questions as the proper date for celebrating Easter (Ullmann and King-Hall, 1954: 32). This is in some contrast to the diets of the various German principalities which were clearly embryonic legislative institutions. While based on Estates, on occasion the clergy or nobility were excluded and, somewhat less frequently, the peasants allowed to participate (Carsten, 1963: 423-424). At times these diets exercised great influence because of their pivotal role in succession conflicts and their legal right to grant taxes. "In the sixteenth century the powers of many German Estates, in the fields of finance, foreign policy, and military affairs, were considerably greater than those of the English Parliament" (Carsten, 1963: 442). By the seventeenth and eighteenth centuries, however, the issues which led to the rise of the Estates had declined in importance with the spread of primogeniture, standing armies, and long-term taxation privileges granted to the princes. With these changes came a marked decline in the importance

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59 of the Estates in Hesse, Saxony, Bavaria and the duchies on the Rhine. Only in Wurttemberg were the Estates able to maintain their position, and this largely because of the timely death of several dukes (Carsten, 1963: 147). The impact of these feudal institutions on later developments is quite diffuse. The provincial diets, according to Loewenberg (1966: 5), served as training grounds for the first generation of German parliamentarians, the members of the Frankfurt Assembly. Carsten (1963: 444) credits them with preserving "the spirit of constitutional government and liberty in the age of absolute monarchy. r ' Their relevance to post-war Germany, however, seems limited to the class-based role orientation found in public attitudes toward the Eundestag, notably in the concept of the member as interest representative (Loewenberg, 1966: 44-46). In the aftermath of the French Revolution, more modern constitutions were granted in many German states, including Saxe Weimar, Brunswick and Hanover (Ullmann and King-Hall, 1954: 41; Pinson, 1966: 61). Although suffrage was limited and their powers circumscribed, these bodies helped to foster the growth of the "national and liberal spirit" which came to the fore in the revolutionary atmosphere of 1848 (Ullmann and King-Hall, 1954: 42; Pinson, 1966: 81). The German Revolution of 1848 and the Frankfurt Parliament which resulted from it are turning points in German History. "It remained the starting

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60 point for all subsequent movements to democratize Germany and it was accepted as the prototype of the Weimar Republic by the republican leaders of 1918 to 1933" (Pinson, 1966: 81). The failure of the Frankfurt Parliament was also to foreshadow the failure of the Weimar Republic. Begun amidst tremendous enthusiasm, the Frankfurt Assembly perished a year later "like a prostitute in a tavern" (Ulltnan and King-Hall, 1954: 57). Sometimes characterized as a Professorenparlament for its inability to climb down from the ivory towers of academia to deal with the real political issue of German unification, Eyck (1968: 95-96) shows clearly that it was, above all, "a lawyers' parliament." Table 1 lists the occupational composition of the body and clearly shows its upper-middle class bias-. Almost all were members of the professions, although about 20 per cent rose to these ranks from comparatively humble origins (Eyck, 1968: 97). There was not a single member from a working-class background (Ullmann and King-Hall, 1954: 49). The Frankfurt Parliament's failure to unify Germany ended with a counter-revolutionary victory that had serious implications for the future of democratic institutions. Despite the lack of success, however, the Assembly marks the beginning of Germany's genuine parliamentary development—developments which can be traced to the modern Bundestag. Loewenberg (1966: 5) points out, for example,

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61 TABLE 1 OCCUPATIONAL COMPOSITION OF THE FRANKFURT PARLIAMENT 3

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62 After 1871 the Reichstag was placed at the center of the national stage, but effectively deprived of power in what Loewenberg (1966: 10) calls the "artfully constructed chaos which characterized the constitutional system of the German Empire." The concept of parliamentary responsibility was not established and the Reichstag, torn by constant bickering and procedural disputes, failed to distinguish itself. The following description of the Reichstag in the Bismarchkean era illustrates its role at that time: It is not surprising that a Reichstag of so little weight and with such limited rights could not win much prestige, and it was soon nicknamed " Quasselbude ," which may be politely translated as "chatterbox." Government circles derided it at will. In later years a reactionary landowner of the Prussian Diet remarked that the Emperor should be able to disperse it with the help of a lieutenant and ten privates. William II called its members "a bunch of fools" and boasted after twenty years' rule that he had never even read the Constitution (Ullmann and King-Hall, 1954: 72). Even those few occasions when the Reichstag could reasonably have asserted itself, as in the Daily T9legraph Affair and the voting of war credits in 1914, came to naught. It was only as the First World War was drawing to a close that a semblance of responsibility was established through the government's submission of reports on the state of hostilities to an interparty committee and the elevation of some members of this committee to ministerial positions (Loewenberg, 1966: 18).

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63 It is unforturnate that the most democratic system of government Germany had ever known came into being as the result of the collapse of the old order in the wake of military defeat. Throughout its brief life the Weimar Republic and its major supporters, the center and moderate left parties, labored under the Dolchstoss myth. 4 The full story of the collapse of the Weimar Republic cannot be told here, but certainly relevant to the eventual Nazi take-over were: (l) Allied policy after 1918, (2) economic conditions in the Reich after 1928, and (3) certain political deficiencies (see, for example, Black and Helmreich, 1959: 445-446) . It is the political deficiencies that are relevant to the present discussion. Briefly speaking, the Reichstag of the Weimar Republic was to be the major legislative organ, exercising control over the government through parliamentary responsibility. The Reichstag was directly elected by the people from party lists on a strictly proportional basis. The result of the electoral system was a very accurate reflection of the political fragmentation in the society at large. Consequently, the number of narrow, ideological parties was large, minimizing the prospects for political compromise. While it would be an overstatement to say that the system of proportional representation caused political fragmentation, it certainly did nothing to improve the situation. It was extremely difficult under the circumstances for the Reichstag to create governments or to carry out its legislative functions.

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64 Loewenberg (1966: 22) calls this syndrome "parliamentary immobilisme," clearly reflected in the fact that only eight of the twenty cabinets formed during the Republic enjoyed majority support. Another important feature of the Weimar system was the independent election of the President who enjoyed important emergency powers, notably the possibility of governing through presidential decrees under Article 48 of the Constitution. This power was used extensively after 1930. Black and Helmreich (1959: 44"') point out that it would be incorrect to overemphasize the importance of political factors, such as the sys:em of proportional representation and the emergency powers granted to the President, in the collapse of the Republic (1959: 447). But the role of these factors in the deliberations of the Parlamentarischerat of 1948-49 as it went about the task of rebuilding the political order can hardly be overestimated, The Founding of the Federal Republic Unlike the First World War, Germany was totally defeated, psychologically and militarily in 1945. Perhaps most significantly, the administrative apparatus had collapsed at all levels making possible, and necessary, a vast restructuring of political life. Reconstruction proceeded at varying paces and in somewhat different directions in the three Western zones, due to the conflict-

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65 ing priorities of the Allies (Golay, 1958: 5-17; Merkl, 1963: 7-15). The rift between East and West, which widened after the Potsdam Conference, initially intensified the tendency for each power to proceed separately, but eventually led to the realization that unification of the Western zones was essential for the economic recovery of Europe and as a bulwark against Soviet expansion. By September, 1946 a number of agreements between American and British authorities led to the establishment of a Bizonal Economic Council with authority over the Laender. It was in this atmosphere that a conference of the three Western powers and the Benelux countries meeting in London from February to June, 1948 agreed to establish a West German state. A Parliamentary Council, the Parlamentarischerat, composed of sixty-five delegates selected by the Landtage under guidelines established by the Ministers-President was charged with drafting a provisional constitution for the new republic. Meeting from September 1, 1948 until May 8, 1949 the Basic Law with its numerous compromises was hammered out in the Parliamentary Council and ratified by the several Landtage May 16-22, 1949. It was officially proclaimed May 23, 1949. Such a sketchy introduction, of course, does not do justice to the complexity of issues involved. It does suggest the central role of German politicians, however, in creating the Federal Republic, despite Allied participation in the deliberations at several important

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66 points, . . . it would be very much amiss to think that the frail young sprout of postwar German democracy grew from an Allied seed .... Owing to these conditions, democracy and federalism were a natural German choice long before the Western Allies chose to include them in the London Agreements among the specifications for a West German constitution (Merkl, 1963: 21). The validity of this thesis can best be seen by examining critical aspects of the structure of government, the electoral system, and the political parties today. T he Structure of Government Government in Germany is organized at three basic levels, local, Land and national, with legislative and executive organs at each. Local government structure varies considerably from one Land to another, depending upon tradition and the differing conceptions of the proper form for local government held by the three Western Allies. The British, for example, sought to abolish the power of the Burgermeister , or mayor, and established a councilmanager system in North Rhine-Westphalia and. Lower Saxony, where administrative powers are centered in a non-political Gemeindedirektor . The Americans largely accepted the prevalent council -mayor system in their zone; hence, the mayor remains the chief administrative official in Bavaria and Baden-Wurttemberg. In all, Heidenheimer identifies five types of local government, the most important not previously mentioned being the collegial systems used

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67 by the city-states of Hamburg, Bremen and West Berlin (Heidenheimer, 1966: 178-180; see also Hiscocks, 1957: 171-185; Legislative. Exekutive. Rechtsprechunq , 1967: 40-41). Between the Gemelnden and the Laender stand the Landkreise , or counties. The larger cities are usually administered separately from the rural and small town areas as stadtkreise or Kreise-frei Sta'dte , combining local and county functions. In the less populous areas, however, the Kreis and its leading organs, the Kreistag (county coun il) and Landrat (county director) form a distinct intermediate governmental unit. The structure of county government varies from region to region in roughly the same manner as local government. Local and county governments exercise very limited legislative responsibility bu\. are charged with a major share of administrative duties. They have proven to be an extremely important training ground for Land and national politicians, as we shall see in subsequent chapters. The political structure of the Laender resembles in basic form that of the federal government. All except Bavaria have a unicameral parliament elected by some variety of proportional representation. In Bavaria there is a second chamber, the Senat, where interests are directly represented as in the old Estate-based diets. The government of each Land is composed of a MinisterPresident and a cabinet, usually formed through a coalition

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of several parties. Although the policy-making powers of the Laender are more limited than under the Empire or in the Weimar Republic, they continue to play an important role in national politics for at least three reasons. First, they are an important stepping-stone to national political office. Second, because the composition of Laender governments determines the make up of the Bundesrat (the second chamber of the federal government), coalition changes can have important implications for national legislation. Finally, the fact that landtag elections are staggered throughout the years between Bundestag elections has tended to make them into continuing referendums on the performance of the federal government. It is in the relations between the levels of government, particularly in the relations between the central institutions and the Laender, that one can most clearly see the indigenous character of the present political system. According to Article 20 of the Basic Law, the Federal Republic of Germany is a "democratic and social federal state" composed of eleven Laender (see Table 2). Federalism in Germany is one example of the happy coincidence of the interests of the occupation powers in avoiding another unitary and potentially totalitarian state, the feeling that some of the problems of the Weimar Republic were due to "the progressive abandoning of the old German tradition of federalism" (Merkl, 1963: 23), and the vested

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69 interest of Laender governments and parties in preserving their political position (Golay, 1958: 41-44; Merkl , 1963: 28-50). TABLE 2 THE LAENDER OF THE FEDERAL REPUBLIC OF GERMANY "" " ~~~ " Number of Population Bundesrat Land (l969) a seats Baden-Wurttemberg 8,822,000 5 Bavaria 10,490,000 5 Bremen 755,000 3 Hamburg 1,819,000 3 Hesse 5,379,000 4 Lower Saxony 7,067,000 5 North Rhine-Westphalia 17,039,000 5 Rhineland-Palatinate 3,659,000 4 Saarland 1,129,000 3 Schleswig-Holstein 2,547,000 4 West Berlin 2,135,000 4 a Based on the 1969 micro-census as reported in Handbook of Statistics (197C). Wiesbaden: Federal Statistical Office, p. 16. German federalism, however, is considerably different from the American variety. Merkl (1963) refers to it as "executive-legislative federalism," while Golay (1958: 44) chooses to call it "functional federalism," since it tends to preserve the strong role of central institutions in decision-making while devolving most administrative functions upon the Laender and local governments. K. C. Wheare (1953: 136-146), one of the leading students of federalism, concludes, in contrast, that it is not really a federal system at all, but an example of a decentralized

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70 unitary state, since the Laender lack a significant measure of independence (1953: 136-146). 5 However one resolves the semantic issue, it is clear that German federalism 'is an outgrowth of traditional regional sentiments, the reaction against the increased centralization of the preceding century which had twice ended in defeat, and the vested interests of previously established Landlevel governments and party organizations." The federal order of the Basic Law, as it finally took form, is essentially a German construction. It follows the German tradition, with adaptations to take account of contemporary conditions and to accommodate varying interests and political views in Western Germany today (Golay, 1958: 108). The Electoral System The electoral law adopted by the Parliamentary Council is a modified version of proportional representation which, in the view of its supporters, was consistent with German political traditions (Golay, 1958: 139). The basic "7 features of the law as it presently operates are as follows: Every voter casts two separate ballots, one for a constituency candidate, the other for a party list drawn up by the Land parties. Plurality decides the 248 constituency contests and an equal number of list seats are filled from the Land lists by a complex mathematical formula devised by the nineteenth century Belgian mathematician d'Hondt. The system is basically proportional because the total number of seats each party is entitled to is

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71 determined by its share of the second ballot. The number of direct mandates is subtracted from this total and the remaining seats distributed between the separate Land lists on the basis of their contribution to the party's total vote. There are only two exceptions to the proportionality of the system. The first is a requirement that a party must receive at least 5 per cent of the vote in at least one Land, or win three constituency seats in order to benefit from the proportional distribution of Bundestag seats. This has tended to eliminate minor parties who cannot hope to win direct seats or clear the 5 per cent hurdle (see Table 3). The second exception is that a party can gain more seats than it is entitled to on the basis of proportionality, but only by winning a greater number of direct mandates than its proportional share of seats in a Land. These extra mandates are added to the total number of Bundestag seats allotted to the Land and the distribution recalculated by the d'Hondt system, partially explaining the fluctuation in total seats (see Table 3). This second exception is less important than the first, there being only thirteen of these "superproportional" mandates through 1965, all but two being won by the CDU (Loewenberg, 1966: 16, note 39). One can reasonably ask why Germany reverted to proportional representation, a widely criticized feature of the Weimar system because it perpetuated a large number of minority parties. Golay (1958: 138) makes clear that

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72 TABLE 3 THE DISTRIBUTION OF BUNDESTAG SEATS BY PARTY 1949-1969 3 Party 1949 1953 1957 1961 1965 1969 Christian Democratic/ 141 250 278 251 251 250 Christian Social Union Social Democratic Party 136 162 181 203 217 237 Free Democratic Party 53 53 43 67 50 31 German Party 17 15 17 Bavarian Party 17 Communist Party 15 Economic Reconstruction 12 Union Center Party 10 Refugee Party 27 South Schleswig Voters' Assn. 1 German Rightist Party 5 Others 3 2 Total 410 509 519 521 518 518 a Includes 8 nonvoting Representatives from Berlin in 1949 and 22 at each successive election. the answer lies in the vested interests of some political parties. Basically speaking, the minor parties, the Free Democrats and the Social Democrats, favored a system of proportional representation since it would maximize their representation. The CDU/CSU, on the other hand, strongly favored a straight single-member plurality system which would clearly have operated to their advantage, given their overall strength and relatively even distribution throughout the Laender. The compromise which resulted from the political process in the Parliamentary Council strongly favored the weaker

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73 parties. The CDU/CSU had to accept a fifty-fifty distribution of seats between single-member districts and party lists and there was no provision hindering the smaller groups. This compromise, however, was modified by the Ministers-President at the behest of the military governors. Instead of a fifty-fifty system, the proportion was to be sixty-forty. 9 More important, however, was the Allied insistance on a 5 per cent "hurdle" to be leaped before any party could be represented in the Bundestag. 10 Clearly an attempt to limit the fractional-'.zation of a multi-party system, it is the most direct example of foreign intervention in the domestic political process. In fact, the law as it finally took effect was essentially a military government enactment, fcr it was promulgated by the ministers-president, over widespread party opposition, at the direct order of the military governors, relying upon their "supreme authority" (Golay, 1958: 139). Although the parties were critical of Allied intervention at the time, they have not sought to modify the most important change introduced by the military governors, the "5 per cent clause, except to make it 'still", more difficult for minor parties to gain national representation, There have been numerous attempts to revise the electoral system, notably by converting to a single-member district system, but these efforts have been unsuccessful. The latest series of attempts foundered on the SPD' s belief that its minority position would be perpetuated and the

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74 FDP's undoubtedly correct analysis that change would spell its death-knell, since it has virtually no chance of winning direct mandates (see Conradt, 1970: 346-348). One of the conditions for the current SPD/FDP coalition is maintenance of the present electoral system (see Conradt, 1970: 355). All of which simply points to the fact that despite initial allied intervention, the electoral system meets certain domestic needs and is, to that degree, a product of Germany's political development. The Polit i cal Parties Schiesinger (1966: 19) has stressed that any analysis of political opportunities must give attention to the role of political parties in structuring officeholding: "The party is, after all, the most conspicuous organization whose primary purpose is the control of the opportunities for public office." The purpose of this section is to briefly examine the organizational structure of the two major parties on the assumption that parties "do not affect opportunities primarily by their competetive relations . . . (but rather) by their organization" (Schiesinger, 1966: 119). Figure 3 outlines the basic structural relationships in the CDU/CSU and SPD. The CDU/CSU is composed of 397 Kreisverbaende which are the basic units. Below the Kreis are any number of local organizations called Ortsverbaende . established at the convenience of the Kreisverbaende. Above the county unit are 18 Landes verba ende . the highest unit of importance below the national party organization. The

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75 >

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76 Landesvextaer.de do not coincide with the present geographical boundaries of the states, but tend to follow older, more traditional boundaries. Thus, in Lower Saxony, there are three LandesverbaenJe, Braunschweig, Hannover and Oldenburg, corresponding to the old Laender that were lumped into one state after World War II. In the SPD the Bezirk, or district, is the major organizational unit below the national level. There are 22 Landesverbaende and Bezirkverbaende , roughly corresponding to the secondary CDU units, although there is less tendency to follow traditional geographical boundaries. The smallest unit of the party is the Ortsverein or, in the cities, the Stadtteil organisation . In 1967 there were 9,717 of these local bodies ( Jahrbuch der SPD, l%6 / 67, c. 1967:163) The Unterbezlrke are' Intermediate bodies, subordinate to the Bezirke, but participating with it in the selection of the Parteitaq , nominally the highest organ in the party. The central role of the parties in the political life of Germany is well illustrated by their control of the Parliamentary Council and its major outputs, the Basic Law and the electoral statute (Merkl, 1963: 55, 91; Golay, 1958: 138-158). Unlike the American Constitution, political parties are explicitly mentioned in Article 21 of the Basic Law, thus achieving a legal, as well as political and sociological position (Apel, 1969: 114-117). 1X The deep distrust of mass democracy and the common man which was felt by the small minority of political activists in the

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77 immediate postwar period led to an attempt to "reconstruct democracy without the demos " (Merkl, 1963: 176). The indirect election of a weakened President, the "constructive vote of no confidence," and the basically proportional character of the electoral system are clear examples of this trend. The German party system and the political parties themselves bear little resemblance to the situation during the Imperial or Weimar eras. First of all, the trend is clearly toward a two-party system 'see Table 3), despite a proportional electoral law. 12 Secondly, the major parties are moderate, nonideological , interest "aggregators," rather than narrow interest "articulators" (Edinger, 1968: 280-281). The prospects for political compromise and system stability are enhanced under these conditions, making possible, for example, the "Grand Coalition" of CDU/CSU and SPD which was in power from 1966 to 1969, and the SPD/FDP coalition since that date. Stability has been achieved, however, only at the cost of electoral accountability and intra-party democracy. This is a harsh charge, but one that is frequently implicit, if not explicit, in the analysis of the German political system (see, for example, Edinger 1968: 266; Loewenberg, 1966: 67-70; Apel, 1969: 210; Heidenheimer, 1966: 120; Dahrendorf, 1969: 252265). l3 As concerns intra-party democracy, it is not necessary to dissect the organizational structure of the two parties in any great detail to

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78 discover that both are led by relatively small, overlapping elites of party and government. Advancement within party ranks is usually limited to executive committee members serving at the next lower level in the party hierarchy (see, for example, Mayntz, 1961). And in both parties the executive committee or presidium is largely composed of federal ministers, Bundestag Deputies, Land ministers, and Landtag members ( Jahrbuch der SPD. 1966/67 , c 1967: 228; Politisches Jahrbuch der CP U und CSU Deutschlands, 1968, 1968: 2-3:. As for electoral accountability, it is apparent that the parties are not instruments of their broad membership, much less the voters, but are tools of leadership. The following extensive quotation from Karl Jaspers' The Future of Germany summarizes the basic arguments with a power and perceptiveness unequaled by other commentators. The authors of the Basic Law seem to have dreaded the people, for the constitution holds the people's power to a minimum. Every four years they elect the lower house of parliament, the Bundestag, from lists of persons previously chosen by the parties. This hidden primary election is the real election, the one that decides_not only who goes on his party's list but who goes high enough on -it to be assured of a seat in the Bundestag under our system of proportional representation. The process is an involved one, with_ nominations for district and state lists handled in different manners. But it is always the party organizations that control this crucial first step, never the people. To participate in the primary election, or to be nominated for it, one must have joined a party. Party members do not have much influence on nominations either. The

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79 decisive choices are made by the party hierarchy and bureaucracy. In drawing up state lists, a party member as such has no voice at all. To be a voter in the full sense of the word, participating from nomination to general election, you must join a party. Unless you do, you cannot complain if all you get to vote upon is what the parties hand you. You elect people who have been elected already, and your vote affects only the number of party choices who will sit in the Bundestag (1967: 3-4). Heidenheimer (1966: 120) put it more simply when he wrote "Even convinced democrats have reluctantly come to accept that the German definition of democracy tends to mean •government for the people' more than it does 'government by the people.'" Political Culture and Political Participation The political parties were able to gain and maintain their pivotal position in the political system, in part, because of traditional attitudes of deference towards authority and political passivity (see Dahrendorf, 1969: 63-77, 99-112, 314-327). In the aftermath of war it was understandable that a large proportion of the population, between 60 and 70 per cent in the years 1947 to 1949 would prefer to leave political affairs to others (see Merritt and Merritt, 1970: 43-50). More recent public opinion polls, however, indicate a continuing lack of interest in politics (see Hartenstein and Schubert, 1961: 18, 22; Almond and Verba, 1965: 79). In 1967, 39 per cent

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80 of survey respondents said they were interested in politics, while 44 per cent said they were "not especially" interested in the subject and 17 per cent expressed no interest at all (Institut fur Demoskopie, 1967: Table 7). Similarly, 78 per cent of respondents in a 1965 survey rejected personal political activity, while only 15 per cent said they would like to be active or were already political participants (institut fur Demoskopie, 1967: Table l) . There have be.en several suggestive attempts to quantify levels of political participation in Germany and to arrange them hierarchically in a manner resembling Milbrath's (1965: 18) diagram (see Edinger, 1968: 168; Hartenstein and Liepelt, 1962). Their most striking feature is the apparent void in participation that exists between the act of voting and what can reasonably be called gladiatorial activities. It is in the middle-range political activities, such as initiating political discussions, contacting public officials, and joining civic-political organizations that German democracy seems particularly weak. 15 In the last Bundestag elections, for example, 86 per cent of eligible voters exercised their franchise, while in the preceding Landtag elections about 77 per cent of theelectorate voted. These rates are high compared to the United States, but participation drops off sharply as one climbs the hierarchy of political involvement. A 1966 survey revealed that just 11 per cent of respondents had ever written a letter to the editor (institut fur Demoskopie, 1967: Table 9)

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and Edinger (1968: 168) estimated that only 9 per cent of the population attends meetings on public affairs, while just 3 per cent are active in politics (1968: 168). In comparative terms, Almond and Verba found that only 3 per cent of their German sample but 11 per cent of the American group were involved in civic-political organizations (1965: 247). Political culture is an important variable affecting the amount and kind of participation. Attitudes toward political activity continue to fall short of democratic ideals, particularly as defined by the term "civic culture," a qualitative interpretation of democracy that emphasizes both formal participation and the degree of commitment and orientation to political objects (Almond and Verba, 1965: 29-30). Americans have a strong sense of civic duty, high levels of political efficacy, and frequently take an active role in group affairs (Almond and Verba, 1965: 313). On the other hand, Almond and Verba see the German system as "subject" rather than "participant" oriented: Awareness of politics and political activity, though substantial, tends to be passive and formal . . . norms favoring active political participation are not well developed (1965: 312). The act of voting is carried out from a sense of duty, not interest, and little satisfaction is attached to it (see DIVO-Institut, 1962: 131; Almond and Verba, 1965: 193).

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82 Thus, for most Germans, political participation is limited to the intermittent act of voting, reflecting the continuing contrast between "private" and "public" virtues (see Dahrendorf, 1967: 285-296) and foreshadowing the crucial role played by oligarchic parties in the recruitment process, Dahrendorf has summarized the situation admirably in the concluding remarks of his chapter on "the unpolitical German": This mea'ns that the political sphere of life remains alien to people, stuck on like political education in the classical grammar school. So far as the habits of people is concerned, the area below the ritual act of voting is empty after all, that is, not_ filled with activities of immediate political relevance experienced as significant by the individual. The political socialization of the German is incomplete. . . . . . . This effect is expressed above all in the quality of political behavior. Democratic institutions are_ accepted; but they remain external, distant, ultimately irrelevant (1969: 325-326). At the very least, contemporary attitudes toward political activity significantly reduce the number of potential "gladiators"; at the worst they reflect an underlying instability in the system. Under these circumstances the virtual necessity of "government for the people" is readily apparent. The Role of the Bundestag and the Individual Deputy All of the previously discussed f actors—parliamentary traditions, the totalitarian experience, military defeat and occupation, political passivity, the electoral system

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33 and the parties—are mutually interactive. Furthermore, they collectively define the contemporary role of parliamentary institutions in Germany. The Bundestag is definitely inferior, both in the quality of its average member and in political power, to the Chancellor and the various ministries. The Basic Law formally distributes the power to initiate, deliberate, and enact public policy among executive and parliamentary structures. In practice, however, the Bundesregierung has consistently been dominant in formulating policy, the Bundesrat increasingly influential, and the Bundestag of diminishing effectiveness (Edinger, 1968: 298). One indication of the relation between the Government and the Lower House of Parliament is given by the physical layout of the Bundeshaus , where members of the government are seated in a slightly raised dias, the Reg ierunqs bank , facing the main body of the chamber. This dias has recently been lowered from a height of 70 cm. above floor level to just 18.5 cm. above the rest of the chamber, but continues to reflect the traditional relationship between Government and Parliament in Germany (see Frank furter Allgemeine Zeitunq , August 2, 1969: 3). Another indicator is the lack of a significant research establishment devoted exclusively to the legislative branch, due to the prestige of the executive bureaucracy and the existence of extensive party bureaucracies (Loewenberg, 1966: 54-55) . Perhaps the most significant indicator is

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84 the initiating source of legislation. Table 4 shows the amount of legislation initiated by the government, the Bundestag, and the Bundesrat in the first five electoral periods (1949-1969). Most legislation (56.1 per cent) originated with the executive departments, although the Bundestag still had the opportunity to revise and refine, or even reject the proposals. Even more revealing, however, is the source of bills which eventually became law. In the fifth session 80.7 per cent of all successful bills originated in the government (see Statistisches Jahrbuch fur die Bundesrepublik Deutschland , 1970: 115). TABLE 4 THE INITIATION OF LEGISLATION Bundesregie-ung Bundestag Bundesrat Total First period 4 o A qr) , (1949-1953) a 486 301 Second period 442 414 (1953-1957) a 442 414 Third period 1Q1 on 7 (1957-1961) a 391 207 Fourth period o^q o/ir (1961-1965) a 373 245 Fifth period 41 = 99 ,(1965-1969) b 4i5 225 Total 2,107 1,392 a As listed in Walper, K. (1966). Foderalismus . Nos. 22/23, Zur Politik und Zeitgeschichte. Berlin: Landeszentrale fur politische Bildungsarbeit Berlin in verbindung mit dem Otto-Suhr-Institut an der freien. Universitat Berlin, p. 59. ^As listed in Statistisches Jahrbuch fur die Bundesrepublik Deutschland (1970). Wiesbaden: Statistisches Bundesamt, p. 115. 29

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35 Given the subordinate position of the Bundestag itself and the existence of strong party organizations with the power to deny nomination and, thus, election or re-election to prospective Members, the unenviable position of the individual Deputy is to be expected. Although the percentage of positive responses has risen steadily since the question was first asked in 1951, 28 per cent of survey respondents in 1964 still said that it did not take great ability to become a Bundestag Deputy and another 18 per cent were undecided (institut fur Demoskopie, 1967: Table 17). Similarly, several surveys have indicated that only a very small percentage of the electorate, between 12 and 17 per cent, is even aware of any activity on the part of the Representative elected by their district, a further indication of their lack of individual importance (see Raschke, 1965: 50; Noelle and Neumann, 1967: 230). Within the Bundestag "leadership has increasingly been exercised by a small group of professional parliamentarians possessing the relevant tactical skills" (Loewenberg, 1966: 433). These leaders make committee assignments, determine who will speak in favor or against a given bill in the very limited time granted to debate, and, in general, dominate the proceedings of Parliament. Loewenberg (1966: 387) found that in the Third Bundestag three-fifths of the Members spoke ten times or less during the four-year term and that fewer than one-fifth of the Members made over two-thirds of the speeches.

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36 Despite its subordination to the executive branch, the Bundestag continues to play an important role in the political life of Germany. But it is not easy to specify the exact nature of that role (see Carter and Herz, 1967: 423-431). Plischke (1969: 67) has written that "in some respects it does not appear to enjoy the power and prestige indicative of certain other democratic systems, but neither is it comparable to the pseudo-representative agencies of the nominal or quasi-democracies. " In addition to its role in policy formation, the Bundestag performs at least two other important functions. First of all, it is almost the sole source of ministerial recruitment today, in sharp contrast : ;o earlier eras (see Knight, 1952). Secondly, it serves a system-legitimizing role through the performance of "electoral conversion functions" which "affects the level of public support for the regime, which in turn affects regime stability" (Loewenberg, 1971: 187; see also Raschke, 1968: 13-17). The Bundestag's system-legitimizing role is intimately bound up with the induction of new members into the Federal Republic's primary legislative organ. As Schlesinger (1966: 2) perceptively observed: ".A political system unable to kindle ambitions for office is as much in danger of breaking down as one unable to restrain ambitions." Given the existence of political ambition, system legitimacy and stability are increased by providing regular and predict-

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87 able opportunities for advancement. The examination of the social and political bases of Bundestag recruitment in the following chapters should enhance our understanding of its multi-faceted role in contemporary German politics.

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NOTES 1. The founding of the Federal Republic has been the subject of two excellent, complementary books. See Golay (1958) and Merkl (1963). The reader may also want to explore many of the original documents contained in Pollock and Meisel (1947). 2. It could be argued, of course, that a similar situation existed 'in the United States at the time of the Constitutional Convention, but the unifying experience of the Revolutionary War and the existence of an embryonic national framework in the Articles of Confederation make the two cases hardly comparable. 3. The history of the princely Estates has been thoroughly investigated by Carsten (1963), whose work is based laroely on primary sources. A brief, general introduction to the history of parliaments in Germany since the tenth century is Ullmann and King-Hall (1954). The interested reader may want to look at Appendix B in the Ullmann and King-Hall volume which contains suggestions for further reading on the general topic. The author would also like to recommend the excellent study of the Frankfurt Parliament by Eyck (1968). This in-depth study of the short life of an extremely important phenomenon is a welcome addition to German scholarship. The following section is largely based on these works and the more general treatment of the subject in standard texts. 4. Much more attention has been devoted to the Weimar era than to most periods of German history. A useful introduction, with a strong political viewpoint, is Halperin (1946). For additional sources, see the bibliography in Pinson (1966: 613-614). 5. For a somewhat contrasting view of the importance of the states in the federal structure see Pinney' s (1963) excellent study of the Bundesrat, the second chamber of the German legislative system, which is composed of representatives of the Laender governments. 88

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89 6. In retrospect it seems particularly crucial that government was re-established on the local and Land level before a revived national government received serious consideration. The political elites of government and party which developed around these local centers had a vested interest in the maintenance of their positions and were able to influence the shape of German federalism. Another important outcome of the early establishment of the lower levels of government has been the attraction of many able politicians and civil servants to Land-level institutions. Heidenheimer (1966: 176) points out that this concentration of talent has been particularly important in the SPD which for most of the period under consideration was denied access to federal ministerial positions. 7. The electoral law is quite complex. For^more extensive descriptions of its features and operation see Pollock (1955), Kitzinger (1958), Loewenberg (1966: 65), and Ccnradt (1970). 8. The fluctuation in total seats prior to 1957, however, is mainly due to changes in the electoral laws and the addition of the Saar to Germany in 1957. In 1953 it was decided to return to a fifty-fifty system, but to avoid eliminating any constituency seats, the total number of mandates was increased to 506 (including 22 nonvoting delegates from West Berlin). Three "superproportional" mandates brought the total to 509. In 1957 the addition of the Saar to the Federal Republic meant increasing the number of constituencies from 242 to 247, bringing the total number of regular seats up to 516 (494 plus 22 nonvoting delegates from Berlin. In 1965, on the basis of the 1961 census, the number of constituencies was increased from 247 to 248, bringing the new total up to 518. In that year there were no "superproportional" mandates. 9. The sixty-forty ratio was employed in the 1949 election, but the House returned to a fifty-fifty basis in 1953. 10. The provision is actually slightly more complex. In 1949 parties had to obtain at least 5 per cent of _ the valid vote or elect one deputy in an electoral district before they could benefit from the proportional distribution of seats. In 1953 the provision was made even more_ restrictive by requiring parties to win three constituency seats before being eligible for the proportional distribution of seats, unless, of course, they cleared the _ five per cent hurdle. Consequently, the number of parties in the Bundestag declined from 10 in 1949 to only 5 in 1953 and just 4 in 1957. Since 1961 only the CDU/CSU, the SPD, and the FDP have been represented in the Bundestag.

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90 11. According to Edinger (1968: 267-268) this institutionalization of "legitimate" political parties has been justified by party leaders as necessary for_a "smoothly functioning and stable democratic order," since it reconciles traditional German attitudes toward authority with the operation of a competetive party system. 12. Although we have placed some stress on the electoral provisions, Conradt and others have correctly pointed out that it would be misleading to focus on it as a causal factor in determining the structure of the party system, since the parties themselves have had a major role in shaping the electoral system. "The development of this issue would seem to indicate that constitutional engineering. . .will be of lesser importance for the long-run stability of the Bonn democracy than the capability of existing institutions to produce policy outcomes that inhibit electoral f rationalization and anti-system movements" (Conradt, 1970: 356). 13. This should not be taken to imply that the German situation is. in some sense, less"democratic" than elsewhere, the issue is an interesting and debateable one in all political systems, but is not of concern here. 14. A recent commentator on the role of the Bundestag wrote that the function of elections was merely to decide the relative strength of the parties in that body. "Die Wahler kbhnen ihren politischen Willen in den Wahlen nur insoweit ausdrucken, als die Parteien den Willen der Wahler artikulieren"(The voters can express their political will in the elections only insofar as the parties articulate the will of the voters — author' s translation) (Raschke, 1968: 13). Raschke (1968: 17) goes on to write: "Die Wahler entscheiden in der Wahl, welche Kandidaten Abgeordnete werden. Wer entscheidet aber uber die Aufstellung der Kandidaten? Die Antwort heisst: die Parteien" (The voters decide in the election which candidates become Deputies. Who decides, however, on the selection of candidates? The answer is: the parties—author' s translation). The issue need not stop there, of course, for an infinite regression is possible. Deutsch and Edinger (1959: 89), for example, take the next stop by looking at the "parties behind the parties," the powerful nongovernmental interest associations. 15. Dahrendorf reports a study by E. Reigrotzki, Soziale Verpflechtung in der Bundesrepublik (Tubingen, 1956), which sought to fill the void between voting and^ gladiatorial activities by an intensive examination of subsidiary social activities. An index based on the frequency of political conversations, participation in election meetings and interest in political radio commentaries yielded three groups: "higher activity" (22 per cent), "medium activity" (28 per cent), and "low activity" (50 per cent). For more complete discussion and a critique see Dahrendorf (1967: 318).

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91 16. In this regard, Raschke (1968: 13) has aptly written: Wahlsoziologische Untersuchungen zeigen, dass die Wahl des einzelnen Abgeordneten in den Hintergrund tritt gegenuber der Wahl der Parte! (Richtungsbestimmung) und der Entscheidung uber die Spitzenkandidaten. Das bedeutet, dass die soziale position des Kandidaten und seine fachliche Qualifikation als Abgeordneter fur den Wahler untergeordnete Auswahlkriterien sind. Diese Tatsache erholt die Verantwortung der der Parteien bei der Auswahl der Kandidaten.

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CHAPTER 4 SOCIAL FACTORS IN RECRUITMENT In a perceptive article, Snowiss (1966: 627) has argued that "the study of recruitment and the study of representation are complementary." Much of the recruitment literature has explicitly or implicitly concerned itself with this issue and the findings are usually the same: While there are important variations from one political system to another, investigation of the social backgrounds of legislative members almost inevitably reveals the "unrepresentative" character of these bodies with respect to the general populace. As one investigator wrote, "everywhere political advantage reflects social and economic advantages; officeholders are a very unrepresentative sample of the population at large" (Schlesinger, 1966: ll). 1 Table 5 presents comparable social data for the L161 Deputies of this study and the German populace. It clearly shows that Deputies are older, better educated, have more prestigeous occupations, and are more likely to be male than the general population. Only in religious affiliation do they even roughly mirror society, and then only when the extremely large group of non-respondents is discounted. 92

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93 TABLE 5 BASIC SOCIAL CHARACTERISTICS OF DEPUTIES AND POPULACE Characteristic Deputies Populace Sex d male female Religion Catholic Protestant other n. a. Age a 21-29 30-44 45-59 60+ Education primary secondary university other Occupation^ public officials professionals businessmen farmers N=1161 93.2 6.8 N=1161 35.6 31.0 0.2 33.2 N=1161 1.1 37.3 50.1 11.2 N=1095 11.4 24.2 58.0 6.4 N=li48 11.3 20.6 12.1 7.0 white collar employees 2.5 workers 2.5 politicians 25.1 interest group employees 16.9 other 2.0 self-employed and professionals 45.8 54.2 44.1 50.5 6.4 15.3 31.3 25.9 27.5 82.0 10.0 5.0 5.5 18.3 28.8 47.4 a Populace figures are for the electorate, rather tian total population, as presented in "Wahl zum 6. Deutschen Bundestag am 28 September 1969" (1971). Fachserie A, Bevoelkerung und Kultur, Reihe 8. Wiesbaden: Statistisches Bundesamt, pp. 12, 17.

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94 TABLE .5 (continued) b Figures for the populace are from Statistisches Jahrbuch fur die Bundesrepublik Deutschland (1969). Wiesbaden: Statistisches Bundesamt, p. 38. c Figures for populace are approximations derived from Edinger, L. (1968). Politics in Germany. Boston: Little, Brown, pp. 45-46. d As cited in Statistisches Jahrbuch fur die Bundesrepublik Deutschland (1970). Wiesbaden: Statistisches Bundesamt, p. 120.

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95 It is not our purpose, however, to belabor the obvious. Rather, the goal is to demonstrate that certain social factors, notably sex, religion, education, occupation, and interest affiliation, are relevant to political recruitment not only because they predispose some persons to higher levels of political activity, but because they operate differentially to funnel an already much reduced population of "social eligibles" into the established parties where the .complex interaction of the major recruitment party, interest group, and constituency determines candidate selection and ultimate election. 2 An analysis of the social backgrounds of Deputies clearly reveals trie" calculated attempts of both parties, particularly the CDU, co select candidates acceptable to the mass electorate and to respond to pressures from numerous subgroups, within the party itself. The first section of this chapter is devoted to an examination of inter-party variations in basic social background characteristics: age, sex, religion, education, and occupation. The thesis is that although legislators do not accurately mirror the electorate at large, interparty differences are, in direction, generally consistent with the parties' contrasting social bases in the electorate. This is complemented by the construction of a typology of socio-political backgrounds based on occupation, interest affiliation, and levels of political activity. In the next section the impact of social backgrounds on

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96 candidacy is traced in terms of the propensity to be elected in a district or on the party list and, within the latter category, the chances of securing a "safe" position. Finally, the social backgrounds of 193 Deputies initially elected in districts in the period 1961-1969 are briefly re-examined to shed light on the role of religion and occupational social requisites in the selection process. Variations on a Theme: The Social Structure of the Parties Age The mean age of all freshmen Deputies is 47.92 years, which is several years younger than the average age for Members of any particular session because of the reelection Of incumbents. Significantly, however, the initial entry age has been declining in almost every election since 1949. From a high of 50.7 years in 1949 it dropped to around 48.5 years from 1953 to 1961, and took a sharp decline in 1965 when it dropped to 44.4 years. In the latest election the average age of new Deputies was just 43.8, a further indication of the rapid replacement of the first generation of Abaeordneten (see Kaack, 1969: 29-39). Table 6 summarizes the age distribution of all new Members by party and gives comparative figures for their supporters in the last election Although the differences are not overwhelming, it is clear

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97 that the SPD receives a greater share of its support from younger voters, over half of whom are under age 45, and selects a considerably larger proportion of its Deputies from this age group. TABLE 6 AGE DISTRIBUTION OF DEPUTIES AND VOTERS BY PARTY

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older and younger group of Deputies in 1957. Most of the major party Deputies were adults before the republic which they serve was created. Only 195 (16.8 per cent) Members attained their majority after World War II, almost all of these entering in the last two sessions as the older generation has died or been shunted aside. Two hundred fifteen Members (18.5 per cent) reached age 21 under the eld German Empire. An additional 466 Deputies (40.1 per cent) came of age during the Weimar era. Finally, 285 persons (24.5 per cent) grew to adulthood under the Third Reich. This latter group experienced the full fury of war and defeat, often as frontline soldiers and prisoners of war. Generational differences reflect differential opportunity and lead to a consideration of the prior political experiences of the Eaputies, particularly the older generation of Members first elected in 1949 and 1953. On the basis of their personal biographical sketches, 320 persons had definitely been politically involved prior to 1945, either holding public office or being an active party member. These figures, however, undoubtedly underestimate total prewar political activity, especially in the Nazi era, and point to one of the weaknesses of this kind of study. For example, of the 320 persons specifying prewar activities, 300 mentioned the Weimar period and just 29 reveal associations with the Third Reich. 4 Karl Loewenstein, however, determined that at

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99 least 53 Members of the First Bundestag, or 13 per cent of the membership, had been members of the Nazi party (Loewen stein, 195 2: 525). And the Association of Victims of the Nazi Regime found that 111 Members of the forth session, elected in 1961, had served the Nazi state as officials, diplomats, jurists or war economists (see Loewenberg, 1966: 92). 5 Making certain assumptions about the earliest age at which an individual might be politically active leads to the conclusion that an additional 770 persons could have been political participants in the years prior to 1945, while only 71 are logically excluded because of their tender years. 6 This merely sets the maximum parameters, however, and certainly overestimates prewar political experiences. Taking as a dividing line the year 1907, thus separating the Members of the 1957 session into two groups (those under the age 50 and those over age 50), Loewenberg (1966: 91-95) discovered a number of interesting contrasts in prior experience. The younger group, of course, was largely excluded from possible participation in democratic politics until after the Second World War. But, surprisingly, it was the older group that was less familiar with democratic institutions. Older CDU members were particularly likely to have been politically inactive until after the war. And while a greater proportion of SPD Deputies had held public office in the Weimar period or been active in the

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100 party, their participation rate was still lower than that for younger Members. "For the average Member over fifty years of age, elective political experience was crowded into the brief period between 1945 and his entrance into the Bundestag, which came most likely in 1949, or in 1953" (Loewenberg, 1966: 93-94). Two probable results of the acceleration of political careers and the concomitant lack of political expertise on the part of many Members in the first two sessions were the early domination of the body by a small group of parliamentarians, and the rapid rise of younger elements to positions of leadership (Loewenberg, 1966: 94). The Role ofWomen Compared to other legislative bodies in Europe and the United States, women are remarkably well represented in the Bundestag (see Table 7). This is particularly the case when one considers the generally lower level of political activity of women in Germany and the fact that they account for a smaller proportion of party membership than in Great Britain and the United States (see Almond and Verba, 1965: 133, 259; Loewenberg, 1966: 95-99; Bremme, 1956: 147-194 ). 7 Since 1949, 6.8 per cent of major party Deputies have been women (see Table 7) and they have secured from 6.9 per cent to 9.2 per cent of Bundestag seats. They have held more leadership positions than their numbers would suggest, including several committee chairmanships and a Bundestag Vice-Presidency. Two women,

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101 Elizabeth Schwarzhaupt (1961-1966) and Kate Strobel (since 1966} have been in the cabinet, each serving as Minister of Health. TABLE 7 THE PERCENTAGE OF MEN AND WOMEN AMONG DEPUTIES, PARTY MEMBERS AND VOTERS CDU SPD Total Deputies male N=1082 93.8 92.5 93.2 female N=79 6.2 7.5 6.8 Party members 3 male 86.0 82.7 female 14.0 17.3 Voters (I969) b male 40.6 48.9 45.8 female 59.4 51.1 54.2 a CDU figures are from Loewenberg, G. (1966) Parliament in the German Political System . Ithaca, N. Y. : Cornell Univ. Press, P. 97. / For the SPD see Jahrbuch der SPD 1966/67 (c. 1967). Bad Godesberg: Neuer Vorwarts Verlag, p. 157. ^Percentages calculated from absolute vote as listed in "Wahl zum 6. Deutsches Bundestag am 28. September 1969" (1971). Fachserie A, Bevblkerung und Kultur, Reihe 8. Wiesbaden: Statistisches Bundesamt, p. 50. The relatively high proportion of women in the Bundestag is a result of the parties' attention to organized subgroup interests and, particularly within the SPD, to a deliberate effort to improve its weaker appeal to women

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10 2 Q in the electorate. This, along with the socialist party's traditionally greater concern for the civil rights of women, helps to explain why they fare better in that party. The explicit attempt to elect women candidates is evident from the fact that they do much better on party lists than in single-member districts, both as candidates and as elected Deputies (see Table8). Women are usually granted a secure list position and, in some years, have had a better chance of list election, relative to their share of list candidacies, than men (see Bremme, 1956: 144; Zeuner, 1^70: 134; Loewenberg, 1966: 97). 10 In the 1965 election this held true only for the SPD, another indication of their position in the parties. TABLE 8 THE PROPORTION OF WOMEN AS CANDIDATES AND DEPUTIES IN THE 1965 BUNDESTAG ELECTION 3 CDU SPD Total Number of women elected 14 17 31 Percentage of candidacies: in Wahlkreis on party list total

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103 Overall, however, women are clearly underrepresented relative both to their share of the electorate and the strength of their membership in the parties. Not only do they get only a small share of all candidacies, but their chances of being elected are slimmer and, thus, they constitute an even smaller proportion of the total number of elected Deputies. Political participation at the level of the national legislature continues to be largely a perogative of men. Religion At an aggregate level it is difficult to interpret the religious variable because so many SPD Deputies chose not to reveal their religious affiliation (see Table 9). If we ignore, for the moment, those persons not listing any religious affiliation and the two Jewish Deputies, the composition, of the Bundestag roughly mirrors that of society. Within this group, Catholics are somewhat overrepresented (53 per cent) compared to their proportion of the total population (44.1 per cent). This may, however, be an artifact of the unwillingness of SPD Deputies to list their religion. In contrast to the socialists, the CDU makes a strong point of the religious affiliation of candidates since it sees itself as an inter-denominational Christian party (see Politisches Jahrbuch der CDU und CSU. 1968 , 1968: 89). Only 3 per cent of CDU Deputies failed to list their religion,

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104 TABLE 9 THE RELIGIOUS AFFILIATION OF DEPUTIES AMD PARTY SUPPORTERS Catholic Protestant Jewish None Listed 38

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105 advanced industrial country, sparking sharp political controversy in recent years (see Heidenheimer, 1966: 91; Bulletin . January 24, 1970: 105-111). Public universities stand at the apex of a highly elitist educational system that provides 82 per cent of the adult population with only eight years of education, another 10 per cent with a 10 year secondary education and only 5 per cent the esteemed Abitur , a degree granted oy the Gymnasium (a combination high school-junior college), that is a prerequisite to entering the university (Edinger, 1968: 45-46). An Abitur is a vital necessity for success in the business world, while a university degree is a prerequisite to entry into the professions and civil service. Table 10 shows that education is equally important for political success. TABLE 10 THE EDUCATIONAL ATTAINMENT LEVEL OF BUNDESTAG DEPUTIES University Technicalor equivaN Primary Secondary Vocational lent Other CDU 616 7.6 10.4 10.6 66.9 4.5 SPD 479 16.3 Total 1095 11.4 12.3 11.9 58.0 6.4 Unfortunately, the data does not allow us to distinguish between those persons who received the Abitur and those who 10.4

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106 simply attended the shorter, less prestigeous MJ ^tplqchnl.p. At the very least, however, 58 per cent of Bundestag Deputies come from the upper 5 per cent of the populace in terms of education. There are, of course, important variations between the two parties in educational attainment level. These differences are entirely consistent with the idea of the socialist party as the party of the worker and the lower classes. More than twice as many SPD Deputies had only a primary education, almost all of these persons being trained ar. skilled tradesmen and entering politics through union activities. Even in the SPD, however, nearly half the Members have an advanced education. In general, Loewenberg (1966: 103) has found that educational attainment is strongly correlated with participation in debate and advancement to leadership position within the Bundestag and government. Ninety-four per cent of the 1957 cabinet, the pinnacle of political success, had a university education (Loewenberg, 1966: 103) . Education is relevant to recruitment not only as an idicator of achieved status (see Legg, 1969b: 536) , but because it equips the individual with skills suitable for the political areaa. In this regard, the study of law is clearly the foundation of German politics. Dahrendorf (1969: 223) concludes that roughly two-fifths of Germany's political elite is trained in law. As shown in Table 11, legal training is not quite that common in the Bundestag, but almost one-fourth of the Members still have a legal

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107 background. Among the university-educated, 38.1 per cent have legal training. Legal studies do not imply the practice of law since the course of study is regarded as suitable preparation for a wide range of elite positions. Most higher civil servants in the Bundestag and many of the professional politicians, interest group employees and businessmen have legal backgrounds. Thus, although 24.9 per cent of all major party Deputies have studied law at some time in their career, only 8.1 per cent indicate that they were practicing law, whether as members of the judiciary, public prosecutors, or in private practice, at the time of their initial election, and the actual figure may be as low as 5.5 per cent. . TABLE 11 EDUCATIONAL OR OCCUPATIONAL TRAINING FIELDS OF DEPUTIES BY PARTY

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108 The Members of the two parties differ significantly in their educational experiences. Almost twice as many CDU Deputies have studied law, while twice as many SPD members have been drawn from the skilled trades. With the additional exception of agriculture, which is almost totally confined to the Christian Democrats, the other categories are about equally represented in both parties. The conglomerate category of the humanities and social sciences, largely limited to the university-educated, defies analysis, but since the inter-party variations are minimal this is not a matter of great concern. With the exception of legal studies and skilled trades, educational training fields are closely related to the actual occupations of Deputies. The findings here are, therefore, quite consistent with the social bases of the parties. One's area of expertise, like the possession of an advanced education itself, has important implications for participation in the political activities of the Bundestag. Among Members of the Tnird Bundestag, those trained in law and as teachers were over represented in parliamentary leadership positions and in the government itself, while all other groups were under represented. Skilled tradesmen were, not surprisingly, the most poorly represented among leadership groups (Loewenberg, 1966: 105). Participation in debate, while connected to having a position of leadership, is another area in which those trained in law stand out. Nearly half (45.2 per cent) of the "generalists,"

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109 those who spoke frequently on a wide variety of subjects were trained in law (Loewenberg, 1966: 105). Finally, Loewenberg (1966: 106) found that lawyers were concentrated in the busiest and most important committees, particularly Foreign Affairs, Interior Affairs, and Finance. Occupation Occupation is an exceedingly difficult variable to operationalize and its social significance has been seriously questioned (see Meynaud, 1961). Classificatory problems are compounded by major problems of data reliability since there is a definite tendency to use misleading or meaningless occupational designations, such as Anaestellte (employee), Diplom-Volkswirt (an educational, not occupational term), and F.echtsanwalt (lawyer) in order to downplay interest group ties or to appeal to a particular sector of the electorate. A union leader, therefore, may call himself an employee, as may a leading company executive. Hans-Dietrich Genscher, Minister of Interior Affairs and national Vice-Chairman of the Free Democratic Party, listed his occupation at the last election as lawyer despite the fact that he has been a full-time employee of the FDP since 1956. Recognizing these difficulties, Table 12 presents one arrangement of occupations by party affiliation which is helpful in clarifying the social bases of the parties and, more importantly, in making a preliminary assessment of the degree to which political opportunities in Germany are structured through a variety of organizations.

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110 TABLE 12 ASSESSED OCCUPATION OF DEPUTIES BY PARTY 3

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Ill self-employed persons, and farmers favor the Christian Democrats by large margins (see Heidenheimer, 1966: 108). 2 Approximately one-half of the socialist party members are workers, while the same group accounts for only 15 per cent of CDU membership (see Apel, 1969: 126; Jahrbuch der SPD 1966/67 ; c. 1967: 158). l3 Relatively speaking, then, labor is no more under represented in the CDU than in the SPD. The total number of workers who enter Parliament, however, is much less than would be expected from educational data because many of these persons are classified as politicians or interest group employees. Civil servants make up about the same proportion of each party's membership (18.0 per cent for the CDU and about 12 per cent for the SPD) and are equally represented in the Bundestag delegations. As one would expect, self-employed persons, a category that would include most businessmen and farmers, gravitate toward the CDU, accounting for 33.5 per cent of its total membership and a similar share of its parliamentary Deputies. Similarly, the inter-party distribution of interest group employees is entirely predictable. Although both parties have similar proportions of interest employees, almost all of those in the SPD represent labor groups, usually the DGB ( Deutsche Gewerkschaftsbund ) , while in the CDU they are more evenly distributed between labor, business and such other groups as refugees and expellees, indicative of the broader social base of that party.

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n: In general, if occupations are ranked in terms of prestige ratings, a.most difficult task, the CDU clearly emerges as the higher status party, reflective of its middle-class orientation. 15 At least 61.1 per cent of major party Deputies could be considered upper-middle-class, while an additional 36.4 per cent would be middle or lowermiddle-class. Only 2.5 per cent could be Called working, or lower-class. 16 Almost three-fourths (71.1 per cent) of CDU Members fall into the highest group, while less than one-half (48.7 per cent) of SPD Deputies do so. A Socio-political Background Typology The occupational scheme employed up to this point, while helpful,, leaves much to be desired. For one thing, an emphasis on occupation ignores the interest affiliations of Deputies that are not employed by such groups. Thus, a labor union member is not classified as a union employee, but he may still "represent" union interests. 17 Secondly, the scheme fails to deal with the political activities of nonprofessional politicians. Since Fishel (1970: 4-4a), in a recent study of party professionalism and candidate selection in Germany, found that even most political amateurs spent at least 5 to 10 hours per week on party affairs, this should be a matter of some concern. A better understanding of political professionalism and interest affiliation can be gained by combining data about an individual's occupation, his affiliation with certain interest groups, without regard to his actual employment,

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113 and his level of political activity. Utilizing these three dimensions, the importance of which is clearly revealed by their prominent location in a number of classificatory schemes, it is possible to identify eight distinct types of Members of Parliament . *& These types and the strength of their representation in the Bundestag are listed in Table 13. Of the y.48 Deputies that could be classified, 666 (58 per cent) indicated that they held a basically nonpolitical occupation at the time of initial election, 545 (47.5 per cent) were highly active politically, holding at least two public or two party offices, and 521 (45.3 per cent) were affiliated with some organized interest group. Of the latter Deputies, 74 were affiliated with business and industry, 30 with the old middle-class, the Mi ttel stand . 83 with agriculture, 221 with labor, 31 with the churches, 11 with veterans groups, 45 with refugee organizations, and 26 with other, less politically relevant groups, such as the YMCA and Red Cross. Despite the preponderant role of professional politicians within the House itself, a large number of Deputies (39.2 per cent) appear to have been political amateurs at their initial election. The proportion of amateurs is significantly higher in the CDU (44.5 per cent) than in the SPD 32.5 per cent), while there are almost twice as many professional politicians in the SPD (34.7 per cent as

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114 TABLE 13 SOCIO-POLITICAL BACKGROUND TYPOLOGY BASED ON ASSESSED OCCUPATION, INTEREST AFFILIATION AND LEVEL OF POLITICAL ACTIVITY BY PARTY 3 CDU SPD Total N=635 N=513 N=1148 Professional politician: with interest affiliation without interest affiliation Semi-professional politician: with interest affiliation without interest affiliation Amateur politician: with interest affiliation without interest affiliation Interest group employee: with high political activity with low political activity 4.7

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115 compared to 17.3 per cent of CDU Deputies). These findings are consistent with the general view of the SPD as a more highly organized, more throughly professionalized party. Another major difference between the parties is in the number of Members with some kind of explicit tie to an interest group. The broader social base of the CDU has meant that it is more subject to subgroup pressures as it goes about the difficult task of balancing interests (see Domes, 1964: 33-40). An excellent example is in the way the two parties distributee list nominations in North Rhine Westphalia at the last Bundestag election in 1969 (see Per Spiegel , July 9, 1969: 43). Both parties reserved the first few relatively secure, positions for major party leaders such as Gerhard Schroeder (CDU) , Rainier Barzel (CDU), Willy Brandt (SPD) and Karl Schiller (SPD). In the SPD, however, the remaining 39 positions were simply allocated to the four Landesbezirke without regard to their distribution between various interest groups. Not so, however, in the CDU which, after allocating all even-numbered positions to the Landesverband WestfalenLippe and the odd-numbered slots to the Landesverband Rheinland, proceeded to divide the 45 positions between a number of recognizable interests, most with formal organizations within the structure of the party (see Table 14). Over one-half of all CDU Deputies (51.3 per cent) are members or officers of interest associations, while only 38.0 per cent of SPD Deputies have similar af filiations. 1"

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116 TABLE 14 DISTRIBUTION OF PARTY LIST POSITIONS FOR THE CDU IN NORTH RHINE-WESTPHALIA (l969) a Group Number of Positions Business 8 Mittelstand b 6 Labor b 10 Civil Servants (including military.) 3 Women b 6 Protestants 13 3 Catholics 1 Agriculture . 3 Youth b 4 Refugees 1 a As reported in Per Spiegel . July 9, 1969: 43. These demographic groups are represented in the CDU by formal auxiliary organizations called Vereiniqungen . The auxiliary organizations are: Bundesvereinigung der Frauen der CDU, Mittelstandskreis der CDU und CSU, Sozialausschuesse der Christlich-Demokratischen Arbeitnehmerschaft, Junge Union Deutschlands, and Evangeli scher Arbeitskreis der CDU und CSU. The last-mentioned group is not as closely related to the party, in a structural sense, as the others which participate directly in the selection of local party executive committees (see Jahrbuch der CDU und CSU. 1968 . 1968: 110-111). interestingly enough, the contrast in interest affiliations is particularly sharp among amateur politicians, indicative both of the greater role of organizational ties in the CDU and the negative relationship between political professionalism, as measured by the level of activity, and interest affiliation. 20 In general, as the level of political activity increases, interest affiliation declines. Only 32.3 per cent of the

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117 545 Deputies high in political activity had interest group ties, while 68.0 per cent of the 603 Deputies low in political activity were affiliated with such organizations. Thus, party and interest group emerge as clearly identifiable structures of political recruitment which, together, monopolize leadership selection. That they are distinct is confirmed by the fact that only 11.7 per cent of all Deputies are high in political activity and affiliated with organized interests. That they monopolize recruitment is evident from the fact that just 22.4 per cent of all Deputies have neither interest group ties, nor high levels of political activity. And this latter figure is further reduced when we consider that a mere 15.8 per cent of the Deputies indicated no political activity at all. The relative importance of political activities in the process of recruitment is properly the subject for later chapters. It should be pointed out, however, that Fishel (1970 :. 3) has found that large majorities of Bundestag candidates themselves "perceive party as the dominant source of induction for candidacy." In addition, a number of other observers have called attention to the limited and declining role of narrow interest representation in the life of the House (see Loewenberg, 1966: 121-128; Raschke, 1968: 31; Apel, 1969: 86-87; Kaack, 1969: 60-67). The liberals 1 hope for a Parliament of "Notables," a Honoratoren-Parlament . has not been realized. Instead,

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118 a Parliament of politicians, or at least one dominated by politicians, a Beruf spolitiker-Parlament , has become a reality (Apel, 1969: 83; Loewenberg, 1966: 126). Social factors enter the recruitment process at the level of the parties by channelling individuals from a variety of social backgrounds into these political structures at differential rates. Some social criteria are more important than others in distinguishing between the parties. The age and sex distributions, for example, are quite similar, while religion, education, occupation, and interest affiliation show marked party variation. But the role of these variables is not limited to the differential recruitment of persons into the parties. Within each party social factors continue to structure opportunities by helping to define the electoral status of Deputies. Social Factors and Electoral Status List versus District Seats A system of proportional representation lends itself to manipulation by party elites and it is to be expected that social criteria would enter into their calculations. Four social factors--age, religion, sex, and interest affiliation—are related to the electoral status of Bundestag Deputies defined in terms of the type of seat (district or party list) from which a Member is elected. The relationships are not exceedingly strong, except" for"

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119 the sex variable, but they are consistent with the widely held view that party lists are tools utilized by political parties in their quest for electoral success (Loewenberg, 1966: 78-81; Zeuner, 1970: 218-226; Eschenburg, 1956: 528-530). In general, list candidates are younger, more likely to be Protestant, more likely to be female (although still overwhelmingly male), and more likely to have an interest affiliation than persons initially elected in a district (see Table 15). Age differences are minimal, although consistent for both parties, and not readily explicable in social terms. The differences are probably due, at least in part, to the amount of prior political experience in a Deputy's backgound since district candidates aie often required to have a long history of local activity. The religious variable, at an aggregate level, is almost certainly a function of the greater number of district mandates obtained by the largest party, the predominantly Catholic CDU. Within each party, however, the minority religion gets disproportionate list representation. In the SPD 83.7 per cent of Catholic Deputies were elected on the list, while only 63.0 per cent of Protestants and an ever lower 54.0 per cent of those mentioning no religious affiliation were so elected. In the CDU, on the other hand, 51.2 per cent of the Protestant Deputies were elected on the list compared to just 40.7 per cent of the Catholics. The

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120 TABLE 15 SOCIAL FACTORS AND THE ELECTORAL STATUS OF DEPUTIES 3 Mean age (in years) CDU SPD Sex Male Female Religion Catholic Protestant None mentioned Interest Affiliation Interest No interest

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121 status is the presence or absence of interest group ties. Interest group affiliates, being, on the whole, less active politically and, thus, less tied to a local constituency, are most likely to be elected on party lists where the full weight of their organizations at the Land and national level can be brought to bear on the process of candidate selection, The only exceptions to this rule were CDU Deputies active in farm organizations, 69.5 per cent of whom were elected in districts. This can probably be explained by their closer ties to the electoral constituency and the cohesiveness of agricultural associations (see Hirsch-Weber, 1958: 102). In terms of the background typology previously developed, it is interest association, rather than political professionalization, that stands out as a determinant of electoral status. If the eight types of Members are ranked by the percentage of Deputies elected in single-member districts (see Table 16), the five lowest categories all have interest group ties, while the three highest do not. With one exception, the high proportion (45.7 per cent) of SPD interest group representatives with low political activity elected in districts, the relationship holds within the parties. Safe versus Unsafe List Position Certain social factors are also related to the "safeness" of list seats. For our purposes, a "safe" list position is one in the upper two-thirds of successful candidacies, a criteria previously employed by Loewenberg

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122 TABLE 16 THE PERCENTAGE OF DEPUTIES ELECTED IN A DISTRICT BY BACKGROUND TYPE Socio-political Background Type Percentage of Type Interest group employee with high political activity Professional politician with interest affiliation Amateur politician with interest affiliation Interest group employee with low political activity Semi-professional politician with interest affiliation Amateur politician without interest affiliation Semi-professional politician without interest affiliation Professional politician without interest affiliation 30.

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123 leading figures in party and government. The religious variable is of interest because it shows once again the continuing efforts of parties to aggregate subgoup interests by manipulating the electoral system. Within both parties the minority religion gets a slightly larger share (39.3 per cent) of safe positions than the dominant faith (31.8 per cent). 22 Finally, for CDU Members specific group affiliations seem clearly related to seat safeness. Representatives from the most important groups within the party-business, agricultral, labor and religious associations—are much more likely to get a safe seat (47.1 per cent) than Members from other groups (16.9 per cent). This was not the case, however, in the SPD where over three-fourths (79.5 per cent) of labor affiliates elected on the party list, the only important interest group in the party, had insecure positions. Constituencies and Social Selection Sorauf (1963: 81-89) has argued that there are two agencies of recruitment: the party and the constituency. He suggests that the value of social background studies lies in the fact that both party and constituency, as broad systems of political loyalties, try to select legislators who reflect those socially acquired values and loyalties. Parties stamp their mark by the kinds of candidates they select; constituencies define political

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124 acceptablity and availability. The dominant values of the community result from its social characteristics, and these values are in turn imposed on all who would rise to positions of community leadership. The candidates for public office must reflect, at least in basic social affiliations, the constituency if they are to win its confidence and support (Sorauf, 1963: 89). Thus, for Sorauf, legislators are products of the political socialization process of both party and constituency. Utilizing demographic data on the 248 Bundestag electoral districts it was possible to test for relationships between the social composition of districts, in terms of religion and urbanization, and the social backgrounds of the 193 Deputies elected in these areas in the period 1961 to 1969. 23 The constituency variable most clearly related to the social background of Bundestag Members is religion. Of the 193 Deputies, 73 Catholics were elected in districts with populations averaging 62.9 per cent Catholic, while 56 Protestants were elected from districts with an average of only 31.6 per cent Catholics in the population. Significantly, the 64 persons who mentioned no religious affiliation were elected in districts slightly more Catholic (37.5 per cent) than were Protestant Deputies. These relationships are spelled out in even greater clarity in Table 17 where districts have been grouped into three categories on the basis of reli : ;s composition. 24

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125 TABLE 17 RELIGION AS A FACTOR IN THE ELECTION OF DEPUTIES Deputy's Religion Religious Composition of the District Predominantly Predominantly Protestant Mixed Catholic Protestant Catholic None mentioned 30 10 26 19 20 28 7 43 10 Chi Square = 49.27167 4d.f. significance level = .001 Gammn = 0.55163 3 a Gamma is a non-parametric statistic developed by Leo A. Goodman and William H. Kruskal (1954) "Measures of association for cross-classification." Journal of the American Statistical Association 49: 732-764. When the religious affiliation of Deputies and party supporters was discussed earlier in the chapter, it was difficult to assess the role of religion as a factor in political recruitment because of the large number of SPD Deputies who failed to list any such information. Although our conclusions on this point must of necessity be tentative, it would seem that the lack of religious affiliation, or at least the failure to mention it, is intimately bound up with the process of leadership selection. Note particularly that the majority of Deputies elected in Protestant districts are Protestant (54.5 per cent); the majority of Deputies elected in Catholic districts are Catholic (71.6 per cent); and at least a plurality of Deputies elected in ixed districts (41.8 per cent) failed to mention any religious

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126 affiliation. The political lesson is simple: Deputies should belong to the dominant religious group in their district or failing that, particularly when there is no dominant group, they should simply avoid the subject altogether. The relative urbanization of the district also places recognizable, but somewhat less important, restrictions on Deputy selection. Following Kornberg and Winsborough (1968: 1250-1252), who found that urbanization was positively related to the mean occupational status of candidates for the Canadian House of Commons, it was originally hypothesized that constituency urbanization would be positively related to the status of Bundestag Deputies as measured by the occupational status groupings discussed earlier in this chapter (see particularly notes 15 and 16). The cross, tabulation of Deputy status (high, medium and low) with relative urbanization of the district (rural, industrial, and metropolitan), however, proved to be insignificant (chi square = 2.04164 with 4 d.f.J Gamma = 0.06255). Computation of Pearson product-moment correlation coefficient was similarly unproductive (r = 0.1062; significance level = .10 2).. There may be a number of reasons for failure to find a significant relationship. For one thing, we are dealing with Deputies rather than candidates and, generally speaking, successful candidates have higher social status than their unsuccessful opponents, which would tend to submerge any relationship between status and urbanization.

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127 In addition, our measure of Deputy status is admittedly an imperfect one. But the almost total lack of relationship reinforces the conclusion that district urbanization does not create significant status requirements for potential Bundestag Members. Urbanization, however, is significantly related to the occupational distribution of Deputies elected in districts (see Table 18). The relationship is more ambiguous than that between the Deputy's religion and the religious composition of the district, a fact reflected in the lower Gamma coefficient and less significant chi square correlation, and would seem to be largely an artifact of expected residential patterns. Thus, two-thirds of the persons with agricultural occupations, either farmers or farm interest group employees, were elected in rural districts, while 94.7 per cent of labor affiliates were elected from industrial and metropolitan districts. Somewhat unexpectedly, civil servants and white-collar employees are slightly over represented in rural areas, in the sense that 30.8 per cent of that occupational category are elected from rural districts which account for only 24.2 per cent of the constituencies in the sample. This may reflect their higher social standing in less populated areas, relative to the general populace, and would be in line with the thesis advanced by Prewitt and Eulau (1971) wherein Bay-area city councilmen were found to be elected from the upper two-fifths of all occupations within a particular community.

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12S TABLE 18 THE RELATIONSHIP BETWEEN CONSTITUENCY URBANIZATION AND DEPUTY OCCUPATION District rural industrial metropolitan Agriculture 4 Civil servant, white j_2 17 10 collar employee Labor 1 8 10 Professions and business 15 38 26 Chi Square = 21.01733 with 6 d.f. Significance level = .005 Gamma = 0.27741 a Persons with political occupations and interst group employees, other than those affiliated with agricultural, labor, or business groups, are excluded from this table in order to clarify basic relationships. Rather than 193 persons, therefore, the table is based on a total of just 149 cases. Despite the fact that most agricultural affiliates are elected in rural areas, while laborers, professionals and businessmen are likely to be elected in more populous settings, district urbanization does not place severe restrictions on recruitment. In rural areas, for example, 41.7 per cent of the Deputies are from the professions and business, while another 33.3 per cent are civil servants and white-collar workers. Just 22.2 per cent of all rural Deputies had agricultural occupations. In all 3 types of constituencies, professionals and businessmen are the

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129 largest single group, and they form a majority in all but rural areas. This would seem to indicate that only those occupations which are geographically circumscribed, such as agriculture and industrial labor, are limited to particular electoral settings. Since these groups account for only 20.9 per cent of the sample and are not, in any case, totally absent from other settings, it is reasonable to conclude that occupation per se is a minimal factor in the selection of constituency Deputies. What then, can we say in conclusion about the role of social factors in the process of political recruitment? It is evident that people are differently recruited into the party structures, as Members and candidates for elective office, on the basis of their social backgrounds. Given the distribution of their social backing in the electorate and, particularly in the CDU, the existence of a number of relatively well organized subgroups within the party, the parties have been forced to give some attention to social criteria and group affiliation as they go about the business of selecting district candidates and balancing the party lists. But social restrictions are exceedingly broad and the parties have been largely successful in setting more specifically political requirements for high elective office, notably a considerable amount of party and public off iceholding experience. The question to which we turn in the next two chapters is simply: "given the existence of certain broad social limitations on political

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130 recruitment, how does the ambitious person go about structuring his political career in order to maximize his opportunities?"

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NOTES 1. The Bundestag is no exception, although in social composition it perhaps more closely resembles the French Parliament than the U. S. Senate. Meynaud (1961) draws a contrast between Matthews' description of the U. S. Senate and other analyses of French, Italian and Israeli Parliaments in terms of their social status composition. Members of the French chamber, for example, are seen to have a somewhat lower average social status than U. S. Senators. The constrast seems equally valid for Germany. 2. For a more complete discussion of party and constituency as dual agents of recruitment see Sorauf (1963J. 3. The five types, listed in the approximate order of their appearance in Bundestag politics, are idealists, pragmatists, technocrats, fanatics, an political technocrats. 4. Nine persons mentioned both Weimar and Third Reich activities, and are included in both totals. 5. The figures are not strictly comparable to the data of this study since they include the minor parties, mostly rightist, which undoubtedly had a larger proportion of former Nazis in their membership. Using the 1961 figures, however, and subtracting the 67 FDP Members, on the unlikely assumption that all were included in the 111 total cited by the Association of Victims of the Nazi Regime, _ still leaves at least 44 persons in the major parties with ties to the Third Reich. 6. The criteria employed were a minimum age of 21 for public of f iceholding and a minimum age of 17 for party activity. Some persons (N = 48) explicitly mentioned political activity at an earlier age, usually within auxiliary ,„..., , ; ,_., ... ._. ._, ,.,,.. _ .... ___.__, . _ , 1 .on in that era 7. Bremme (1956), while somewhat out of date, is the most complete discussion of the political role of women in Germany, covering their role in the parties and elective office on the local, Land, and national levels. 131

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132 8. This is in sharp constrast to figures cited in Loewenberg (1966: 95-96) for Great Britain, France, Italy and the United States. Women held between 3.7 per cent (1945) and 4.4 per cent (1964) of the seats in the House of Commons; 6.1 per cent (1945) and 1.3 per cent (1958) of the seats in the French Parliament; between 7.0 per cent (1948) and 3.7 per cent (1958) of seats in the Italian house; and between 2.3 per cent (1953) and 2.2 per cent (1965) of the seats in the U. S. House and Senate combined. 9. Loewenberg (1966: 97) found that the CDU included a woman among the too five candidates in 8 of 10 Land lists in 1957, 9 of 10 in 1961. Comparable figures for the SPD are 7 of 10 in 1957 and 6 of 10 in 1961. 10. Comparable rates of election for men and women in 1953 (see Bremme, . 1956: 144) and 1965 (see Zeuner, 1970: 134) show that women had a better chance in 1953, but less opportunity for election than men in 1965. This, of course, conceals the inter-party variations. Despite the fact that the socialists actually nominated fewer women, they succeeded in electing more of them in constituencies and on the party list. The only possible interpretation for this situation is that the SPD nominates women in more secure constituencies and in safer list positions. It should also be pointed out that an individual's absolute position on the list is not always a reliable guide to his election. Because the SPD elects fewer candidates in direct constituencies, it has tended to benefit more from the proportional distribution of seats. Thus, the first five list seats would normally be more secure for the SPD than for the CDU. In 1969 Kaack (1969: 23) estimated that 33 SPD list positions were safe, as opposed to only 25 for the CDU. 11. Compare, for example, the classification schemes employed by Deutsch and Edinger (1959: 68), Dahrendorf (1969: 238), Kirchheimer (1950: 597) and Brauenthal (1965: 154). 12. The interpretation of survey data cited in Heidenheimer is difficult since from 12 per cent to 22 per cent of respondents listed no -preference. Fourtysix per cent of self-employed and professional people preferred the CDU, compared to 18 per cent for the SPD. Farmers gave overwhelming support to the CDU (66 per cent). 13. There is some discrepancy between the figures for the SPD cited by Apel and the SPD publication. Since the latter are more recent, one would tend to rely on them. The major difference between the two tables is a_ sharp decline in the percentage of party members classified as workers, the proportion dropping from 55.5 per cent to 44.5 per cent in 1967.

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133 14. The CDU has always had a labor wing centered around its auxiliary organization, the Sozialausschusse der Christlich-Demokratishen Arbeitnehmarschaf t (see Domes, 1964: 34,35). In 1968, 14 of the top 45 officers of this organization were Bundestag Deputies (see Politisches Jahrbuch der CDU und CSU, 1968 , 1968: 325-327) . 15. The occupational classification is extremely tentative. In so far as possible, it is based on the rankings of representative occupations employed bv Alex Inkeles and Peter Rossi (1956), "National Comparisons of Occupational Prestige," American Journal of Sociology , 61: 329-339. Their study in turn was based on a 1954 survey of 38 occupations conducted by Professor Karl Martin Bolte and reported in Der Spiegel , June 30, 1954. The occupations were divided into five approximately equal grouos and used as a guideline for classifying Bundestag occupations into one of five groups. The greatest difficulty was in assigning interest group representatives to a category and it was eventually decided to place them in the middle fifth of all occupations. The rationale here is debatable, however, since labor union representatives and representatives from business are included in the same category. The result of any change, however, would be simply to further exaggerate inter-party differences and would not affect the general findings. The following table summarizes these differences for 3 groups of Deputies: Low Medium High N=438 N=332 N =355 CDU 41.1 66.3 62.5 SPD 58.1 33.7 37.5 It should be stressed that the designations high, medium and low refer solely to groupings within the Bundestag itself. In the universe of all occupations, ranging from street peddlers to professors, 97.4 per cent of all Deputies fall into the upper three-fifths and 61 per cent into the upper two-fifths.

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134 16. Upper-middle class is defined as having an occupation with a prestige ranking in the upper two-fifths of all occupations. The middle class is identified with the middle fifth, while the bottom two-fifths are considered to be lower class. Included here are skilled and unskilled workers. 17. Brauenthal (1965: 160-161) pcints out the pitfalls of a too narrow definition of interest representation in his study of business interests in the Bundestag. 18. The classification of Members of Parliament into discrete groups is hardly a new idea. Max Weber (1958) drew a distinction between those who live "for" and those who live "off" politics which has been widely echoed through the years. More recently, Wildenmann (1954: 144145) has distinguished between political functionaries, experts, and backbenchers and Sternberger (1955: _ 62-63) has classified Members as professional politicians, interest group functionaries, and political amateurs. Finally, Loewenberg (1966: 121-128) has grouped Members^ into four categories: interest representative, professional politicians, public employees and those practicing a parttime private occupation. 19. The definition of interest group used here does not include the CDU Vereinigungen, which were coded as a separate variable. The major difference between the interests identified in Per Spiegel (see Table 10) and this study would be the absence of specific categories for youth and women in the latter. Presumably, members of the CDU labor wing, or its middle-class auxiliary, would have affiliations with non-party groups. 20. The crosstabulation of interest affiliation with the composite background variable shows that just 23.9 per cent of persons with labor affiliations are classified as amateurs practicing a private occupation. Over one-half (54.1 per cent) are considered to be interest group employees. For all other interest group categories, obviously more closely related to the CDU organization, between 37.5 per cent and 60.0 per cent are political amateurs practicing a private occupation, while only 13.3 per cent to 45.5 per cent are interest group employees. The key occupational difference, then is the much greater propensity for labor affiliates to be employees of their interest organization, an understandable relationship considering the financial inability of most lower-and lower-middle class persons to leave their jobs, for example in a factory, to serve in Parliament.

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135 21. Although two-thirds of all list seats are "safe by definition," safe positions go largely to incumbent Members. Only one-third (35.1 per cent) of Deputies initially elected on the list had safe positions. It should also be kept in mind that the definition employed does not refer to' their absolute location on the party list, but only to their relative location among those elected from the list. Both parties tend to give alternative list nominations to constituency candidates. Those elected in a district are removed from the list and everyone moved up appropriately (see Zeuner, 1970: 149-157). 22. Percentages based on 357 Members elected from party lists who indicated a religious affiliation and for whom district safeness could be determined. Excluded were 202 persons who did not list a religion and/or for whom district safeness was not indicated. 23. Information on 61 demographic variables, social and political, has been collected by Dr. David Conradt, University of Florida. Dr. Conradt has been kind enough to allow its use in this study. 24. The criteria for classification were as follows: 60 per cent Catholic and over-predominantly Catholic; 40 per cent to 60 per cent Catholicmixed; less than 40 per cent Catholic-predomin ntly Protestant. See particularly Conradt (1971) for the suggestive use of this classification in the analysis of aggregate voting data. 25. Classification criteria for the districts were developed by Dr. Conradt on the basis of the occupational composition of the work force. Metropolitan districts were those in which the percentage of civil servants and salaried nonmanual employees exceeded 30 per cent. Industrial districts were those in which manual workers accounted for more than 48 per cent of the work force. Rural districts were those in which the combined percentage of Independent nonmanuals and farmers exceeded 25 per cent. These criteria produced no overlapping constituencies. We have not stressed the occupational aspect in our discussion, preferring to emphasize instead the sharp population differences between the categories. The mean number of inhabitants per square mile are: rural=117.9; industrial 629.5; metropolitan^, 357.

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CHAPTER 5 THE STRUCTURE OF POLITICAL OPPORTUNITY Formal legal requirements for public off iceholding set the outer boundary of recruitment? and social criteria further restrict the eligible population, but the final, crucial filter in the process of Deputy selection is the officeholding requirements imposed by the parties. The importance of political experiences has already been suggested in the last chapter, but the purpose here is to conduct a more detailed examination of the size and shape of the structure of political opportunities since, as Schlesinger (1966: 12) has written, "in the game of politics the political as well as the social system determines the players." 1 Although no attempt will be made to show that individuals actually perceive their opportunities exactly as presented here, it is clear that any case for the utility of political ambition as a conceptual tool must rest upon some perception of a structure of advancement — some notion of how the ambitious individual can get from A to B to C. The fact that opportunities are structured, that there are a limited number of recognizable career paths, lends support to the ambition concept and substantiates our research orientation. 136

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137 The Size of the Opportunity Structure One aspect of the structure of opportunities is its size, the number and kinds of chances for getting ahead in the political world. The total number of political opportunities in Germany is quite large. Hartenstein and Liepelt (1965: sec. 2.125, p. 32), for example, estimated that there are 220,000 members of local and county councils. In addition, in 1969 there were 1,352 Land legislative positions, 102 Land cabinet posts, 518 Bundestag mandates, and 15 federal ministries, including the Chancellorship. The tendency for persons to hold more than one of these offices at a time, however, reduces the number of realistic advancement possibilities by an as yet undetermined factor. A' detailed study of the impact of multiple officeholding has not been conducted and is certainly beyond the scope of this work, but previous research on Lower Saxony did indicate that Landtag members there held a significant proportion of the most important lower public offices, particularly Landrat positions, and seriously restricted the political chances of others (see Watson, 1969: 60-62). For present purposes, the most relevant political opportunity is the chance to be elected to the Bundestag. The average Deputy has served 2.281 terms, or about 9 years. This figure, however, includes over 300 persons who have entered in the last two sessions and therefore certainly underestimates political longevity. For example, 32 of the 301 individuals who entered the Bundestag during the first

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TABLE 19 BUNDESTAG OPPORTUNITY RATES 138 Average no. Total no, of seats of seats t per session (1949-69! C Total no. of persons Opportuelected nity rate (1949-69) (^C/A) a Bundestag (all) BadenWurttemberg Bavaria Bremen Hamburg Hesse Lower Saxony North RhineWestphalia RhinelandPalatinate Saar c SchleswigHol stein West Berlin 499.2 65.5 2,995 393 l,383 b 1.384 178 1.346 84.5 5.3 17.0 43.7 61.7

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139 session (1949-1953) continue to serve in the House. Schlesinger (1966: 39-43) has suggested that a useful measure of opportunity would be the number of times an office becomes available to a new person within a 12-year "political generation." Table 19 summarizes these opportunity rate calculations for the entire House, including minor party Members, and for each Land delegation. Since 1949 there have been 2,995 separate elections (district and list), but just 1,383 persons elected to fill these positions. This means that in a 12-year political generation the average seat is held by an average of 1,383 persons instead of the constitutional maximum (given the four-year term of office) of 3.000. One point that emerges quite clearly from an examination of opportunity rates is that there appears to be a national structure of opportunity that transcends the Laender. Land variation in opportunity rates is insignificant, particularly in comparison to state variation for the U.S. House of Representatives. Opportunity rates for the U.S. House range from a low of 0.90 (Texas) to a high of 4.44 (Delaware) in spite of the fact that the overall rate (1.404) is almost identical to that of the Bundestag (see Schlesinger, 1966: 40-44). In terms of the number, kind and sequence

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140 of political experiences in the background of Deputies, inter-state variations are usually insignificant and always apparently random. This is the case even when the Laender are ranked in the order of opportunity rates, a factor which might reasonably explain state differences (provided that rate differences were significant) since opportunity molds individual ambitions and perceptions of how to go about attaining career goals. The Shape of the Opportunity Structure Four Background Patterns Given the existence of a substantial, but still limited number of chances to enter the Bundestag, what kind of persons, defined in terms of their career experiences, are most likely to reach that body? A preliminary assessment can be made by looking at the mixture of party and public offices in the backgrounds of individual Deputies. Of the 1JL61 Deputies studied 855 (73.6 per cent) had held public offices at some time prior to entering the Bundestag, 569 (49.0 per cent) had held party offices, and 184 (15.8 per cent) apparently had no of ficeholding experience. The statistically "average" Member has held 1.450 public offices and 0.826 party offices. Deputies can be grouped into the following four categories: (l) those who have held only public positions, (2) those who have held only party offices, (3) those who have held both party and public positions,

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141 and (4) those who failed to mention any relevant public or party office experience in their biographical sketches. Table 20 lists the percentage distribution of Deptuties in these categories by party and also provides comparable data for the Lower Saxony Landtag. TABLE 20 THE MIXTURE OF PUBLIC AND PARTY OFFICEHOLDING EXPERIENCES IN THE BACKGROUNDS OF DEPUTIES Pure public Pure party Mixed officeofficeofficeNo office N holders holders holders experience Bundesta

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142 age of all Deputies (10.5 per cent) come from pure party of ficeholding backgrounds. Chalmers (1964: 156) in his study of the Social Democratic Party, concluded that "the successful individual campaigner is gaining recognition at the expense of the party functionary." He went on to argue that "in general, at virtually all levels, positions of leadership are widely held to require more and more the ability to deal with persons outside the party" (1964: 160). Our findings tend to confirm this assessment, particularly when we realize that the increase in party of ficeholding from Landtag to Bundestag is almost totally within that group of persons having both party and public off iceholding experience. Table. 20 also provides evidence for one of our major findings. Unlike social variables which often tend to differentiate the parties, the structure of political opportunities transcends these organizations in the sense that both parties require similar experiences on the part of prospective Abgeordnete. In most of the remaining tables of this chapter, information will be broken down by party to further substantiate this point, but we will usually not attempt to examine the inter-party differences in the text. A somewhat more detailed picture of the opportunity structure can be gained by looking at the most commonly held offices in the Deputies' backgrounds. Before this can be done effectively, however, it is necessary to briefly

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143 explain the office coding scheme used in the collection of data. Since public and party office activities were thought to be relevant to political career advancement, information was gathered on both factors. Public offices were coded into 43 categories, a number too unwieldy for most purposes, but suitable for maximizing manipulatory possibilities in the later stages of research. Certain marginal activities were excluded although they undoubtedly implied an embryonic interest in politics which would later blossom forth in the drive for office. Thus, on the local level, planning boards, advisory commissions and the like were not counted as public offices. Not all of the public office positions were elective. A variety of postwar zonal bodies, as well as judicial and law enforcement offices and a number of appointive political positions, particularly Land and federal state secretariats, were included in determing the public office backgrounds of Bundestag Deputies. Although the original coding scheme is complex, the major analytical distinction used in this paper is between leadership positions and the more numerous council-legislative offices at each level of government. Party offices were similarly grouped into 38 categories for data collection purposes. In general, at each level of party organization! see Figure 3, supra ) the chairman, vicechairman, secretary, manager, executive committee members, chairmen of the major functional subcommittees (usually

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144 also executive committee members), and the heads of the women's and youth organization were counted as party officeholders. Membership in functional committees, except for the chairmanship, was not counted in calculating the party backgrounds of Deputies. In the following analysis offices are grouped into eight categories on the basis of a distinction between leadership and executive committee positions at each party organizational level. In this categorization functional committee chairmen and the heads of women's and youth organizations are included in the executive committee designation. Base Offices Four public offices were held with great frequency by members of both parties (see Table 21). Inter-party differences are not particularly large, although there is a tendency for SPD members to have local council and Landtag experience, while CDU Deputies are more likely to have served in county councils. The most common public office experience was membership in a local council, such as a Gemeinderat or Stadtverordnetenversammlunq . Significantly, the Landtag emerges as another very important base office since over one-fifth of all Deputies had this experience. It is interesting to note that the three local positions were also base offices for the Landtag, which suggests a hierarchy of political opportunity extending from the local level through the Landtag and eventually up to the Bundestag (see Watson, 1969: 95).

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145 TABLE 21 PUBLIC BASE OFFICES 3 CDU SPD Total Office N=644 N=517 N=1161 Local council 33.1 38.8 35.6 Mayor 11.6 11.6 11.6 County council 20.3 16.1 18.4 Landtag (backbench only) 20.3 23.6 21.7 a Base offices are defined as all positions held by mors than 10 per cent of the members of one party. In this case, althougn there are certain party variations, all four positions qualify as base offices for each party. The columns are nonadditive since persons often held more than one office. Three of the four base offices are nonleadership positions that share a certain degree of functional similarity with the Bundestag. The fact that these offices, rather than others, are the most common experiences in the background of Deputies supports Schlesinger' s (1966: 99-100) argument that ambitions are whetted by manifest conditions that link various office structures together. In this regard the legislative function is an obvious manifest link between local and county councils, the Landtag and the Bundestag. Party base offices are less uniform, but this is to be expected in light of their differing organizational structures (see Table 22). The definition of a party base

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146 office is somewhat different than that for public positions because the manner in which data was coded did not permit the ready calculation of individual scores. Base party offices are those accounting for at least 10 per cent of all office experiences in the background of Deputies from one party. Local party leadership positions and membership on intermediate level executive committees are the most frequently mentioned background experiences in both parties. In addition, the CDU appears to place some emphasis on local executive committee experience, while Unterbezirk (secondary level) leaders are well represented in the SPD. TABLE 22 PARTY BASE OFFICES CDU N=536 a Local executive committee" 16.43 Local leaders 24.63 Secondary leaders 4.29 Primary executive committee" 31.72 SPD N=422 C 8.29 30.81 11.37 23.22 Total N=958 a 12.84 27.35 7.41 27.97 a N equals total number of party offices rather than Deputies. Columns do not total to 100.00 per cent because table lists only major categories. b In this and subsequent tables, executive committee designation is broadened to include functional committee chairmen and heads of the women's and youth organizations at each level within the party. c In this and subsequent tables, leaders include the chairman, vice-chairman, secretary, and manager at each level.

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147 Public Office Patterns The base office approach is helpful in probing some of the common experiences of Bundestag Deputies, but it tells us nothing anout the sequential aspect of the individual's career. Schlesinger (1966: 90) suggests that career patterns be examined in terms of the first and "penultimate," or last offices held by a person before he reaches the position being analyzed. This does not, of course, provide a complete picture of the individual's career, but it has the advantage of being manageable and is intellectually justifiable since it helps to answer two questions: (1) How does one get started in politics and, more importantly, (2) where does the ambitious individual need to be, politically speaking, if he is going to jump to the national stage? In Table 23 public offices are grouped into 10 categories with each cell representing a unique first-and-penultimate-of fice career path which culminated in election to Parliament. 3 An examination of the table marginals reveals that 42.7 per cent of Deputies with public or mixed officeholding backgrounds began their public office careers in local councils. This is, of course, not surprising since the local council was by far the most common base office. Almost one-half of these Deputies, however, moved on to higher positions before entering the Bundestag. Local leadership, county council, and Landtag offices were the most common penultimate positions for these individuals.

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148 CO

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149 The Landtag, also a major base office, is another common starting point in public careers. Most persons (55.8 per cent) who began at the state legislative level remained there until joining the Bundestag. Alternatively, they moved upward to leadership positions within the Landtag and Land government or, particularly in the first session, to the Parliamentarischerat and Federal Ministries. The three most common paths to national office are: (1) local council, (2) Landtag (backbench), and (3) local council-Landtag (backbench). The ;lear emergence of these two structures in base and first-penultimate office patterns attests to their central role in the hierarchy of political opportunities. These major pathways are followed by three secondary career sequence patterns: (l) county council, (2) appointive political positions, and (3) local councilcounty council. The remaining public careers are widely dispersed over a large number of possible patterns. As we have previously noted, one prerequisite of ambition theory is that opportunities must be structured since an individual must be able to order his expectations. The degree to which public careers are "static" or "flexible" is one measure of the amount of "structure" in the political system. One of the striking features of public careers is the extent to which office experience has been limited to one post. The first and penultimate positions of 50.96 per cent of the Deputies listed in Table 23 are at the same level, as can be seen from an examination of

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150 the main diagonal element. 4 And if we look only at the first seven offices, which are hierarchically arranged, 53.4 per cent of the Members had essentially static public careers prior to their initial entry to the Bundestag. The importance of static career paths is clearly implied by the fact that four of the six most widely used routes to parliamentary office belong in this category. Not all the Deputies, of course, had static careers. Among persons whose careers can be arranged hierarchically an additional 40.7 per cent were upwardly mobile, while just 5.9 per cent had a penultimate office that was "lower" than their original entry point. Another means of examining the amount of structure in the political opportunity system is to compute the cumulative percentage of all Deputies that followed the most important paths of office. T?ble 24 lists comparable figures for the Bundestag and the Lower Saxony Landtag. Bundestag opportunities are structured since over one-half of all Deputies (51.6 per cent) followed just four paths to the Bundestag and the top twelve paths encompass the careers of 73.7 per cent of all Members. However, Bundestag careers are not as structured as public office backgrounds in the Landtag since the top twelve paths there encompass 85.2 per cent of the careers. At first glance this is disturbing since one of the fundamental assumptions of ambition theory is that opportunities become increasingly focused as one moves up the hierarchy of public offices and, hence, office careers should be increasingly structured. Schlesinger (1966:

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151 TABLE 24 THE CUMULATIVE PERCENTAGE OF BUNDESTAG AND LANDTAG MEMBERS IN THE MOST IMPORTANT PUBLIC CAREER PATTERNS Lower SaxonyLandtag 3 jths=(7x7)N=1161 N=227 Bundestag Landtag 3 paths=( 10x10) +l=101 b paths=(7x7)+l=50 D No prior

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152 national level. The parties are, relatively speaking, more important for aspirants for national office than for those individuals primarily interested in state opportunities. Thus, we found earlier in the chapter that the amount of party of f iceholding was greater in the Bundestag than in the Lower Saxony Landtag. Bundestag public officeholding backgrounds are less structured than at the Land level precisely because the politician who has ambitions for national office can and perhaps must give greater weight to party activities and, consequently, less attention to public activities. When party activity increases in importance, the relative importance of public officeholding and, therefore, the need for structure in that area declines. The party career patterns of CDU and SPD Deputies are distinctive enough to warrent the conclusion that the parties are oriented in decidedly different directions. Tables 25 and 26 contain the evidence for this statement. Some of the differences are attributable to variations in the organizational structure of the two parties. Thus, the fact that very few CDU Deputies are drawn from secondarylevel offices is due to the fact that such positions exist in only four of the Laender (see Figure 3, supra ) . The most significant difference, however, is the much greater tendency for SPD Deputies to be drawn from leadership positions, which confirms the widely held view that the SPD is the more highly professionalized party. Almost three-

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153 TABLE 25 THE DISTRIBUTION OF PARTY CAREER PATTERNS AMONG CDU DEPUTIES WITH A PURE PARTY OR MIXED OFFICEHOLDING BACKGROUND Penultimate office Local Local Secondary Secondary executive leader executive leader First Office committee committee Local executive committee

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154 Table 25 (continued' Primary Primary National National executive leader executive leader committee committee Total 66 96 8 9 84 21 8 2 95 26 29 6 294 a 17

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155 TABLE 26 THE DISTRIBUTION OF PARTY CAREER PATTERNS AMONG SPD DEPUTIES WITH A PURE PARTY OR MIXED OFFICEHOLDING BACKGROUNDS Penultimate office Local Local Secondary Secondaryexecutive leader executive leader First office committee committee Local executive committee 11 5 2 Local leader 59 2 12 Secondary executive committee 1 7 Secondary leader 2-18 2-2 Primary executive committee Primary leader National executive , committee National leader Total 12 69 9 34 a Career sequence indeterminate for 28 SPD Deputies. They are excluded from the table above.

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156 Table 26 (continued] Primary Primary National National executive leader executive leader committee committee Total 1

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157 fourths (70.5 per cent) of SPD Members with a pure party or mixed of ficeholding background began or culminated their pre-Bundestag careers with a leadership position, while only one-half (50.9 per cent) of CDU Deputies did so. These same differences are reflected in the most common office patterns in each party. Although party office careers in both parties are about equally structured (the top four categories account for 59.1 per cent and 54.6 per cent of all career patterns in the CDU and SPD, respectively) , only one of the top four patterns in the CDU involves a leadership office (local leader), while three of the four most important patterns in the SPD (local leader, secondary leader, primary leader) do so. Party career patterns are generally consistent with what one would expect given some knowledge of their organizational structures and the role of professional politicians in each. One unexpected finding, however, is the highly static nature of party careers. Apparently the public office structure is more open to upward movement than the party structure since 68.2 per cent of SPD party careers and 65.2 per cent of CDU party office patterns are static. Only one of the major career patterns in either party (local executive committee -primary executive committee in the CDU) involves a movement between organizational levels and none involves a movement from executive committee to leadership position at any level. There are two possible partial

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158 explanations for this phenomenon. First of all, there may be a tendency for Deputies to give a more complete description of their public office background in their official Handbuch biographies and to mention only their leading party positions. It seems unreasonable, for example, that one-third (33.7 per cent) of SPD Deputies and two-fifths (39.1 per cent) of CDU Members would begin their party careers at the primary level or higher positions which should require years of loyal party service. This did, however, happen at times and leads directly to the second explanation. In the immediate postwar period there was a political vacuum and the parties recruited heavily from elements previously unanvolved in political affairs. Carlo Schmid (SPD) is an excellent example of a major leader who had not been politically active until after the collapse of the Third Reich. Because the number of opportunities was large, relative to the people available to fill these positions, inexperienced politicians were able to advance rapidly. In addition, our coding scheme does not include pre-1945 party" activities in the construction of career patterns although many Deputies in the early sessions had such experiences. At least as far as our model is concerned the political slate was essentially blank in 1945The rapid rise of new elements after 1945 and the failure to consider pre-1945 experiences, coupled with the tenacity with which party elites retain their offices, go a long way toward explaining the static nature of party

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159 career patterns: Those persons who entered the Bundestag in the early sessions and, hence, were likely to have relatively short, simple career lines, are over represented in this category and obscure the more complex relationship that has emerged over time. As Edinger (1968: 187) has noted "upward mobility through the parties is no longer as easy and rapid as in the early years of political reconstruction, but this pattern of recruiting the political elite has become quite firmly institutionalized." This interpretation is further substantiated by the findings that the mean number of party offices in the backgrounds of newly elected Deputies has risen steadily from a low of 0.609 in 1949 to a high of 1,206 in 1969. Career Indices After gaining an initial impression of the interrelationship of public and party off iceholding by grouping Deputies in four categories, we moved on to examine the structure of public and party of ficeholding separately. In an attempt to present career material in a more parsimonious and potentially useful manner, six political background indices have been constructed and scores calculated for each Deputy. Table 27 summarizes these indicators, showing the distribution of values

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160 CO UJ O H Q Z Q r-

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161 Xi .Q-Q

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162 The first index is a summary measure of the total number of public offices in an individual's background prior to his initial election to the House. Our original coding scheme provided space for six possible offices, but no more than five were held by any one individual. The values of this variable therefore range from to 5. The second index measures the number of public offices actually held at the time of initial election to the Bundestag. Included in the index are the penultimate office and up to two additional positions. The values range form to 3. This index is somewhat less reliable than the first because of one weakness in the original data coding scheme: it is assumed, but not proven, that the penultimate office is actually held at the time of election. If the individual has other current public offices, of course, by definition the penultimate office is held at the time of election. The problem exists among those Deputies whose coding sheet did not indicate any other concurrent offices. A few of these persons no longer held the office in question at the time of initial election and are incorrectly counted as having one concurrent public office rather than none. The magnitude of this error, which probably occurred less than a dozen times, is quite small. If 25 cases were misplaced, the mean value of Index 2 would decline from 0.930 to 0.910. The third index is a measure of the highest level of public officeholding where public offices are categorized

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163 on a five-point scale from 1 to 5 in ascending order. Local and county council positions and other nonleadership posts at these levels are grouped into the first stratum. Local and county leaders, basically mayors and county managers, comprise the second level. Membership in the Landtag (backbench), lower state courts, and other nonleadership positions at the Land level are included in the third category, while Land leadership positions, both in the Landtag and in the Land government, are at the fourth level. All national positions are considered to be at the highest level. Included here are Members of the Parlamentaischerat, Federal Ministers who later joined the Bundestag, federal state secretaries, and a few persons who had served in the Bundestag under other party labels, or who re-entered the House after failing to seek or win election at some time. Variable values range from (no office background) to 5. This is strictly an ordinal scale and the calculation of means from such data is potentially misleading. Used with care, however, and keeping in mind the distribution across categories, it has proven to be a helpful measure of career experiences. The last three indices are essentially the same as the first three except that they apply to party office experience. The values for the total number of party offices range from to 5, while the number of concurrent offices ranges from to 4. In determining the highest level of party office-

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164 holding in the Deputies' backgrounds, positions were coded into the same eight categories used throughout this chapter, with a value of 1 corresponding to local executive committee membership and a value of 8 indicating the highest level of national party leadership. The values range from (no office background) to 8. Table 27 confirms the impression gained from previous material that the parties are strikingly similar in the amount and kind of public office experiences that they require of successful candidates. The slight party differences in the mean values of Index ± and Index 2 are consistent with the view that the SPD is the more highly professionalized party. In seeming contradiction to this view is the fact that the mean of Index 3, the highest level of public of f iceholding, is lower in the SPD. This can probably be attributed to the advantage enjoyed by the CDU at the national level since the SPD was denied access to ministerial posts and related offices until 1966. In spite of the fact that the parties tend to draw Deputies from different points within their respective office structures, they exhibit almost identical distributions of the total number of party offices and the number of concurrent party offices. This finding strongly reinforces the thesis that the structure of poltical opportunities transcends the parties in a variety of ways. Opportunities, however, have not remained stable over the 20-year period since the foundation of the Federal

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16b Republic. Table 28 lists the sessional means for each of the six indices, making possible a brief examination of time trends in political background experiences. These patterns are particularly interesting because they clearly show the increasing importance of party experience in gaining entry to the Bundestag. In general, the amount and level of public activity have been stable within relatively narrow ranges of fluctuation. The only major exception to this pattern is the much higher level of public off iceholding exhibited by Members of the First Bundestag. The other public indices for the firstsession are also fairly high, but no consistent trend emerges from them. The higher average level of public office experience among first session Deputies is at least partially attributable to their early monopoly of leading positions in the immediate postwar period, a factor which we have previously discussed with regard to party offices. Specifically, the higher showing is due to thprior membership of many first-session Deputies in the Parlamentarischerat, the national constituent assembly that drew up the Basic Law and electoral statute in 19481949. The Parlamentarischerat is Included in the highest level of the public office hierarchy. Very few individuals after the first session held national office prior to their entry into the Bundestag. At every election since 1949 the three party office indices have shown consistent trends. The total number of

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166 00 n < O PC s < 10 CQ (U < ro u > H H C M 03 -J & o e ex— Q 2 LU cc H H +-> c/3 (/) CD O \0 £ f >H in •H 03 <+2 X CL O +J c CD M in d to CD >U O +-> -H O 03 M-i o a o 03 r-| r-j ^O^ CO -F -H ,3 O CO 4-t ,, fa o A en 03 oo o o o r-

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167 party offices and the number of concurrent party offices in the background of the average newly elected Deputy have approximately doubled in the 20-year period. At the same time, the average level of the highest party office has declined steadily, again probably due to the entrenchment of existing elites. Time trends not only show a steady increase in the absolute number of party offices in the backgrounds of newly elected Deputies, they also expose the altered relationship between the number of public and party offices that is concealed by the means for the twenty-year period. In the 1969 election the total number of party offices in the Deputies' backgrounds very nearly equalled the total number of public positions. And the average number of concurrent party offices exceeded the average number of concurrent public offices for the first time, although there continued to be slightly more Members with public office experience (69.5 per cent) than with party office backgrounds (64.7 per cent). The structure of political opportunity is obviously undergoing incremental change as a new generation of "political technicians," increasingly brought up through the parties, replaces the older "transitional" generation that emerged in the 1950' s (see Kaack, 1969: 57-59; Edinger, 1968: 189).

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168 The Impact on Candidacy Having described in some detail the general outlines of the political opportunity structure as it is revealed in the background experiences of newly elected Deputies, the final portion of this chapter is devoted to an examination of the more specific impact of these background experiences on the selection of Deputies in terms of the type and security of initial candidacy. District versus List Candidacy The impact Of political factors on a Deputy's career begins at the level of his initial candidacy. Table 29 lists the mean values of the six political background indices for all district and list candidates. Although the differences between the two types of candidates are not particularly large, they are consistent with what one would expect to find. Thus, district candidates have more and higher public offices in their backgrounds and fewer and lower party offices, suggesting that they are tied to the public office structure and the local party organization, while list candidates have stronger ties to upper levels of the party. Safe versus Unsafe List Seats In Chapter Three we saw how certain social factors were clearly related to the propensity to be elected from safe list seats. In general, these positions went

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169 TABLE 29 POLITICAL FACTORS AND CANDIDACY Candidacy Index District List Total public offices 1.541 1.356 Concurrent public offices 0.997 0.871 Highest public offices 2.538 2.303 Total party offices 0.706 0.396 Concurrent party offices 0.610 0.767 Highest party office 3 3.984 4.143 a Mean computed only on the b?sis of actual officeholders. to groups that were under represented in district nominations, but important enough to demand consideration at the Land level. In an attempt to see if political backgrounds were equally relevant to seat security, the means of the six political indices were computed for Deputies elected from safe and unsafe list seats. The results are presented in Table 30. As can easily be seen there is no consistent relationship between the indices and the propensity to be elected from a secure list position, although Deputies from safe seats have fewer public and party offices. The most reasonable interpretation of the table is simply that political experience per se is unrelated to seat safeness. We can perhaps explain the failure to find a significant relationship in terms of the fact

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170 TABLE 30 POLITICAL INDICES AND LIST SEAT SECURITY Safe Unsafe Index N=188 N=348 1. Total public offices 1.314 1.388 2. Concurrent public offices 0.782 0.917 3. Highest public office 3 1.627 1.626 4. Total party offices 0.826 0.943 5. Concurrent party offices 0.734 0.807 6. Highest party office 3 2.261 2.112 a Index mean was calculated on the basis of total N rather than just officeholders. This mean is not comparable to figures in previous tables. that lists are used to balance the total party ticket socially, as well as to ensure the election of leading party figures, and are therefore likely to be quite heterogeneous. Results such as these could occur, for example, if safe list seats were assigned to party elites, experts, and representative of major interest groups, while unsafe positions were given to less influential, but highly active party members, with modest public office experience. District Competitiveness Unlike party lists, experience and security, defined as an absence of inter-party competition are closely

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171 related in the districts. The absolute differences in the two-party percentage of the total vote at the last election were used as a measure of political competitiveness and related to the political background characteristics of the 193 Deputies elected in districts since 1961. The results are presented in Table 31. Candidates elected in competitive districts are younger, have fewer public offices and more party offices than any other group. At the same time, they have lower public and party offices. All of these factors suggest that persons elected in competitive districts are primarily young, ambitious party activists. On the other hand, those elected in noncompetitive districts are older, have more public office experience and, significantly, higher public offices in their background. At the same time they have fewer and lower party offices than any other group, a further indication of their strong ties to the public electoral constituency. In general, background factors are related to district competitiveness in the following manner: as the security of the nomination increases, the breadth of public office experience also increases. The theory most consistent with this pattern is one that emphasizes that candidates in noncompetitive areas have to serve a longer and probably more complex political apprenticeship in the public arena because of a low turnover rate in the Bundestag. In competitive districts turnover is likely to be greater.

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17 2 TABLE 31 POLITICAL FACTORS AND CONSTITUENCY COMPETITIVENESS 3 District Competitive Semicompetitive Noncompetitive Index N-55 N=66 N=72 Total public 1>597 offices Concurrent public o<836 ^^ ^ QQ3 oiiices Hi officeE UbliC 1.3-09 1.606 1.806 T °offices tY °' 982 °' 909 °" 819 ^Sfficef ^^ °' 855 °' 864 °' 681 Hi ofliceS artY 1-909 2.242 1.569 A9 en?ry initlal 43 ' 709 45 ' 076 45 ' 458 a Competitiveness is measured by difference between the percentages of total vote going to the major parties in the second ballot (Zweitestimme) at the last election. Competitive, semicompetitive and noncompetitive categories are based on criteria proposed by Heino Kaack (1969: 13). In competitive districts the difference between percentages of vote going to the parties is 5.0 per cent or less of the total vote. Semicompetitive districts range from a vote difference of 5.1 per cent to a maximum difference of 16.0 Der cent. Noncompetitive districts are those in which the difference between the two parties' vote is greater than 16.0 per cent. Interestingly enough, it is competitiveness at the last election tnat distinguishes between officeholders. The same calculations were oerformed on vote totals for the election at which the Deputy was selected, but failed to reveal meaningful relationsnips. Thus, in a very direct sense, past realities seem to have altered the present perceptions of candidates and parties in a manner entirely consistent with our interpretation of political opportunity.

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173 TABLE 31 (continued) Index mean was calculated on the basis of total N rather than just officeholders. It is not comparable to figures in previous tables, with the exception of Table 30.

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174 The nomination there is apparently more open to younger, less experienced politicians precisely because it is less secure and, hence, less desirable. It may be that the only persons willing to exert the effort necessary to win a close election are strong party activists. Having shown that political backgrounds are directly related to the type and security of a Deputy's candidacy, our analysis of the structure of political opportunities is complete. We have seen that advancement opportunities are highly ordered in the political parties and the public office hierarchy. In the public arena opportunities for advancement are best for those persons presently serving in a local council, county council, or Landtag since those positions share a common legislative function with the Bundestag. In the parties, local leaders and primary-level executive committee members are most likely to be advanced to the House. We have also found that the opportunity structure is national in scope and, somewhat paradoxically, transcends the parties at the same time that it is channelled through them. Finally, while the shape of the opportunity structure is undergoing constant incremental change, developments are clearly in the direction of more structure not less. All of these facts point to the possible utility of the concept of political ambition in the German context.

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175 NOTES 1. The terms "size" and "shape" are borrowed from Schlesinger (1966: 20). He defines the size of the opportunity structure as "the number of offices available and the frequency with which new men attain them." The shape_ of the opportunity structure "derives from the ways _ in which men typically advance in politics." Key variables in_ determining the shape of the structure are: base offices, manifest offices, -and first-penultimate office patterns (70-118) . 2. This conclusion is based on a comparison of the percentage of all Deputies and Landtag Members who had party office experience. These figures are obtained by_ adding the percentage of Deputies with pure party and mixed officeholding backgrounds. Thirty-one per cent of Landtag members held party offices while 49% of Bundestag Deputies had this background. 3. Our definition of penultimate office differs from Schlesinger' s (1966: 90) because of the multiple officeholding factor in German politics. Rather than being the last office acquired by an individual, the penultimate office is defined as the last office acquired which is still held at initial election or, if no offices are held < at the time of election, the office that was retained until most recently. 4. The office categories often include several discrete positions so one cannot conclude that these individuals held only one office, just that any movement would have been quite limited. 5. All cells in the first seven columns of the table that are above and to the right of the diagonal element are classified as upwardly mobile. All cells in the first seven columns and first seven rows that are below and to the left of the diagonal element are classified as downwardly mobile. It should be kept in mind, however, that since we are only dealing with the first and last positions acquired by the individual, an intermediate position might have altered his classification, particularly if it were higher than the penultimate office.

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CHAPTER 6 CONCLUSION In this final chapter our goal is to move beyond simple description of the opportunity structure to more speculative fields. It is our intention to make use of a limited amount of data, admittedly imperfect, to suggest several directions in which future research employing the kind of data studied here might prove to be fruitful One question of intrinsic interest is the degree to which political ambitions can be identified from background characteristics. A most worthwhile undertaking supplementing the research here would be an interview-based study of Deputies with the purpose of assessing their ambitions as being discrete, static, or progressive (see Schlesinger, 1966: 10). A comparison could then be made with their career backgrounds to determine the actual correlation between political experiences and ambition. Without interview data, of course, it is impossible to arrive at a definitive answer, but perhaps a tentative assessment can be made by extrapolating from the internal structure of opportunity in the Bundestag. While we can say little about discrete ambitions, it may be possible 176

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177 to identify static and progressive dimensions in the behavior of Deputies. Static ambition is the desire to hold a particular office for a prolonged period. Barber (1965: 19) defines "high willingness to return" to the Connecticut legislature as apositive an-swer to the question "How likely is it that you would be willing to serve three or more terms in the Assembly in the future?" Although he chooses to use this primarily as a measure of group satisfaction, it would appear to be roughly synonymous with static career ambition. Similarly, Schlesinger (1966: 43) defines a "career office" as one typically held for at least 12 years, One possible indicator of this dimension of ambition, then, is the number of times a Deputy has been elected to _the House. At any given session about two-thirds of the Deputies are incumbents who have served at least one additional term. Of the ij.61 Deputies in this study, 688 have served two or more terms and 426 have served in at least three sessions. For purposes of this discussion, we will equate static ambition with serving three or more terms in the Bundestag. Within the House, progressive ambition may be defined in terms of holding a high or low position of leadership. The classification of leaders into high and low categories follows the criteria established by Kaack (1969: 41). High leadership posts include the Federal Ministries, major Fraktion offices, and the Presidency

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178 and Vice-Presidencies of the Bundestag. Low leadership posts include the Bundestag Vorstand , Fraktion Vorstand, Altestenrat, and committee and work group chairmanships. Two hundred fifty persons have held low leadership posts while 104 individuals have held high positions. 1 If political variables are going to be useful in classifying people in terms of their ambition, it is necessary that the hypothesized groups exhibit model characteristics that distinguish them from the general body of Deputies. Table 32 lists :he distribution of values and means for two political indices developed in the last chapter which do discriminate between the thirdterm incumbents, low leaders, and high leaders at an aggregate level (see the means). Unfortunately, however, it is apparent upon examining the categorical distributions that we cannot say very much about incumbents, since they hardly differ from the population of all Members. There are several possible explanations for this failure to find some pattern which would distinguish incumbents from other Deputies. First of all, incumbents, like leaders, are also included in the group of 1*161 Deputies and, hence, the net result is to obscure any inter-group differences. Secondly, our measure of static ambitions may be unreliable since some leaders are also third-term incumbents. Finally, it is always possible that political background factors at initial recruitment are simply unrelated to static ambitions.

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179 TABLE 32 COMPARATIVE POLITICAL INDICATORS FOR INCUMBENTS, LOW LEADERS AND HIGH LEADERS Index Highest public office at initial election Highest party office at initial election Index New members

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TABLE 32 (continued! Value 14.6

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181 Third-term incumbents do exhibit recognizable traits, but these refer to their present situation, not past experiences. 2 Thus, although they did not enter the Bundestag at a notably younger or older age than other persons, they are considerably older than the average new Member while serving their third term. Perhaps all Deputies come to the House with some sense of progressive ambition, only to have it thwarted by the passage of time. Certainly Deputies who are in their third or fourth term without having acquired a leading position are aware that only a handful (22 of 250 low leaders, 17 of 104 high leaders) of Members have advanced after 8 years in the House. This political fact may be much more relevant to fostering static ambitions than the Deputy's pre-Bundestag career pattern. In any case, lacking interview data, we cannot confirm any positive relationship between political career experiences prior to entering the Bundestag and a Deputy's tendency to have static ambitions. For the two leadership categories, however, the picture is considerably different. As might be expected, the most distinctive group is the high leadership echelon in the Bundestag and federal government. In addition to the tendency to have higher public and party offices. high leaders entered the Bundestag at an earlier than average age (44.5 years) compared both to low leaders (45.6 years) and the entire population of new Members

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182 (47.9 years). This is quite remarkable really, when we consider that the total number of high leaders is rather small and the sample includes a number of men like Adenauer, Erhard, and Erwin Schoettle, who entered the Bundestag in their fifties, or in the case of Adenauer, in their seventies. Over one-fourth (26.0 per cent) of all high leaders held a national public office prior to entering the Bundestag in comparison to only 9.8 per cent for all new Members. Similarly, 23.0 per cent of the high leaders held a national party position prior to their entry compared to just 7.6 per cent for all new Members. Low leaders are also fairly distinctive, particularly in terms of the percentage who have had national party experience before joining the Bundestag. Another way to look at the same material is to examine the percentage of Deputies with particular background experiences who reach a position of leadership. Table 33 summarizes this material for low and high Leaders. It is apparent that there is a sharp increase in the probability of getting at least a low leadership position when one holds either a Land-level public leadership post, or a primary-level party leadership office. Thus, 70 per cent of persons who entered the legislature with national party leadership backgrounds became high leaders in the House or federal government. Below this level, however, opportunities decline rapidly and it is not really possible to assign ambitions on the basis of our limited information.

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183 > PQ CO UJ uj M O Sul Cu H u-i cC Q UJ Cu CtX o uj PL, Q Oh g I— I D :ro co cc uj ^ QO Q H << Oh ZQ oz M < H OO UJ M UJ CQ i D uua. en U-, cd o o >> H uj H J o

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184 Within the Bundestag, the opportunity structure is clearly oriented toward younger men with high levels of party and public office experience. It is this group that should exhibit the greatest tendency to have progressive ambitions. A definitive answer, however, will have to wait on survey research. Not only can the study of political backgrounds help us understand the ambitions of politicians, but it may possibly be related to other behavioral dimensions as well. T4>ree areas worth exploring are: role orientations, levels of activity in the House, and vote deviancy. Gunlicks (1969) has examined the role perceptions of local councilors in Lower Saxony with special regard to the "representative" or "delegate" function of an elected official. He found that role orientations varied by party, with the SPD most likely to accept the delegate model. It may be, however, that career experiences and the general inter-party differences in recruitment also condition role orientation. Thus, the tendency for the CDU to explicitly acknowledge the legitimacy of subgroup interests may operate to reinforce this representational role in the Bundestag. An intensive examination of the relationship between Deputy role perceptions and political backgrounds would be of some interest, particularly if it revealed that it was not backgrounds per se, but rather ambitions which were relevant to political behavior.

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185 Still another way in which political backgrounds may be related to behavior is in terms of the amount and kind of activity within the Bundestag. Loewenberg (1966: 107128) briefly probed this dimension when he examined participation in debate, but most of his criteria, the reader will recall, were social variables. Nevertheless, he did find that a group of prof essional parliamentarians dominated debate and leadership in the house, while other participants tended to confine their participation to one or a limited number of topics. If the concept of "manifest" functional relationships between the Bundestag and lower-level legislative chambers has any meaning beyond a simple recruitment function, it should show up in the participation of these Deputies in the life of the House. Finally, backgrounds may be related to the dimension of party loyalty as it is expressed in roll-call voting. This dimension has been explored by Rueckert and Crane (1962) and Dishaw (forthcoming), 3 but again the major emphasis has been on social variables. It is not unreasonable to imagine, however, that Deputies tied to the local public office arena rather than the party might exhibit different patterns of vote deviancy. These suggestions certainly do not exhaust the research possibilities which can be based upon a knowledge of the social and political opportunity structures and the backgrounds of individual Deputies. They do, however, provide some guidelines for further research on a subject with considerable potential.

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186 Our conclusions have been drawn throughout the paper and there is little reason to summarize them in detail here. Starting with a general interest in the bases of recruitment and the possible role played by individual ambition, we went on to develop a model of the recruitment process based on the selective perception of opportunities. Our research on the structure of political opportunity in Germany provides some support for this model since Deputies are differentially recruited on the basis of social and political criteria. It is our belief that opportunities for relevant political advancement in th : Federal Republic are structured to a degree that strongly suggests that .ambitious politicians are capable of understanding their relative position in that structure and can, therefore, act to maximize goal attainment. Under these circumstances ambition can be a meaningful, researchable political variable. The author hopes to make continuing use of the data in the future as he attempts to directly examine that phenomenon which Schlesinger says "lies at the heart of politics " (1966: l) .

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NOTES 1. Membership in the two leadership groups is partially overlapping since some persons held both low and high positions during their career. Persons are assigned only once to a category (when they lust reach that level) and if they hold both high and low positions at the same time they are only included in the higher group. 2. One of the most interesting findings is that 67 2 per cent of third-term incumbents held no public offices at the time of re-election. Only 29. 2 per cent of newly elected Deputies did not have public positions. Similarly, the mean number of public offices dropped from 0.930 per newly elected Member to 0.429 among third-term incumbents. At the same time, incumbent Deputies were likely to retain or increase the number of party offices which they held. The mean number of party offices rose from 0.705 for new _ Members to 0.762 for incumbents. Although the rise is not sharp, 'in contrast to the decline in public officeholding it is certainly significant. It is likely that Deputies regard party activity as more relevant to their future career advancement than continued public officeholding at lower levels. 3 The study by F. H. Dishaw is described in a personal letter to the author dated October 9, 1970. 187

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APPENDIX

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189 OCCUPATIONAL BACKGROUNDS 37

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190 APPENDIX A (continued) Occupation Listed Assessed Business-Commerce and Industry Management and owners of large enterprizes 16 17 Mangers and owners of medium-sized businesses 34 35 Mittelstand (small business, artisanshandworker) 53 50 Other, unspecified 30 37 Labor White-collar employees Skilled labor other, unspecified unskilled labor 45

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192 CARSTEN, F. L. (1963) Princes and Parliaments in Germany: From the Fifteenth to the Eighteenth Century. Oxford: Clarendon Press. CARTER, G. and J. HERZ (1967) Major Foreign Powers (Fifth ed.). New York: Harcourt, Brace & World. CHALMERS, D. A. (1964) The Social Democratic Party of Germany: From Working-class Movement to Modern Political Party. New Haven: Yale University Press. DAHRENDCRF, R. (1969) Society and Democracy in Germany. Anchor Books. Garden City, N. Y. : Doubleday. DEUTSCH, K. W. and L. J. EDINGER (1959) Germany Rejoins_the Powers: Mass Opinion, Interest Groups, and Elites in Contemporary German Foreign Policy. Stanford: Stanford University Press. DOMES, J. (1964) Bundesregierung und Mehrheitsf raktion. Cologne: Westdeutscher Yerlag. DIVO-INSTITUT (1962) Umfragen: Eieignisse und Probleme der Zeit im Urteil der Bevoelkerung. Band 3/4. Frankfurt: Europaische Verlagsanstalt. EDINGER, L. J. (1967) Political Leadership in Industrialized Societies. New York: Wiley. (1968) Politics in Germany. Boston: Little, Brown. EPSTEIN, L. D. (1958) Politics in Wisconsin. Madison: University of Wisconsin Press. ESCHENBURG, T. (1956) Staat und Gesellschaft in Deutschland. Stuttgart: Curt E. Schwab. EYCK, F. (1968) The Frankfurt Parliament, 1848-1849. London: Macmillan. FROMAN, L. A. (1963) Congressmen and Their Constituencies. Chicago: Rand McNally. GOLAY, J. F. (1958) The Founding of the Federal Republic of Germany. Chicago: University of Chicago Press. HALPERIN, S. W. (1946) Germany Tried Democracy: A Political History of the Reich from 1918 to 1933. New York: Thomas Y. Crowell. >.-•

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201 Government Publications Amtliches Handbuch des deutschen Bundestages, Wahlperiode II-VI (1953-1969). Darmstadt: Neue Darmstadter Verlagsanstalt. Bulletin. January 24, 1970. Bonn: Presse und Inf ormationsamt der Bundesregierung. Handbook of Statistics (1970). Wiesbaden: Federal Statistical Office. Legislative, Exekutive, Rechtsprechung (1967). Bonn: Bundeszentrale fur politische Bildung. Statistisches Jahrbuch fur die Bundesrepublik Deutschland (1969, 1970). Wiesbaden: Statistisches Bundesamt; Stuttgart and Mainz: Ver.'.ag W. Kohlhammer GmbH. "Wahl zum 6. Deutschen Bundestag an 28 September 1969" (197J). Fachserie A, Bevoelkerung und Kultur, Reihe 8. Wiesbaden: Statistisches Bundesamt; Stuttgart and Mainz: Verlag W. Kohlhairmer GmbH. Biographical Dictionaries Wer ist Wer? (1948-1969). Vols. 11-16. Berlin: Arani Verlags GmbH. Who's Who in Germany (1956-1964). Editions 1-3. Montreal: International Book and Publishing Co. Ltd. Party Publications Jahrbuch der Sozialdemokratischen Partei Deutschlands (SPD), 1966/67 (c. 1967). Bad Godesberg: Neuer VorwSrts Verlag. Politisches Jahrbuch der CDU und CSU Deutschlands, 1968 (1968). Recklinghausen: Kommunal Verlag Recklinghausen.

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2C2 Other Sources CONRADT D. p. (1971) "Social structure, voting behavior and party politics in West Germany: an ecological analysis of the 1969 federal election." Unpublished manuscript, University of Florida. FTSHEL J (1970) "Party professionalism and its conseFISHEL, J UV/u; cand y d P tes fQr the West German aandestag.Paper prepared for delivery at the September, 1970 convention of the American Political Science Association. Los Angeles. Frankfurter Allgemeine Zeitung. August 2, 1969. QUAMDT W B. (1970) "The comparative study of political " ' elites." Sage Professional Papers in Comparative Politics. Beverly Hills, Calif.: Sage. SCHULZ A T. (1969) "Recruitment and behavior of Iranian ' legislators: the influence of social background. Ph.D. dissertation, Yale. Der Spiegel. July 9, 1969. WATSON G. G. (1969) "Ambition and opportunity in West German state politics: the case of Lower Saxony." Unpublished M.A. thesis, University of Florida. WILDENMANN, R. (1968) "Eliten in der Bundesrepublik. " Unpublished manuscript, Mannheim University.

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2C3 BIOGRAPHICAL SKETCH Gerald Glenn Watson was born August 17, 1945, at Salem, Oregon. In June, 1963, he graduated from North Salem High School. In May, 1967, he received the degree of Bachelor of Arts, magna cum laude, with majors in political science and history from Willamette University. During his final year at Willamette University, he was Senior Scholar of the political science department under Dr. Theodore L. Shay. After graduation he worked briefly as a group life supervisor for MacLaren School for Boys at Woodburn, Oregon.. In September, 1967, he enrolled in the graduate school of the University of Florida under an NDEA IV fellowship. By March 1969 he received his Master of Arts. His thesis was a study of "Ambition and Opportunity in West German State Politics: The Case of Lower Saxony." Since that time he has pursued his work toward the Doctorate of Philosophy. Gerald Glenn Watson is married to the former Diane Lynn Peterson. He is a member of the Political Science Association, Pi Sigma Alpha, Phi Eta Sigma, and Pi Gamma Mu.

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I certify that I have read this study and that in my opinion it conforms to acceptable standards of scholarly presentation and is fully adequate, in scope and quality, as a dissertation for the degree of Doctor of Philosophy. 0. R. McQuown, Chairman Associate Professor of Political Science I certify that I have read this study and that in my opinion it' conforms to acceptable standards of scholarly presentation and is fully adequate, in scope and quality, as a dissertation for the degree of Doctor of Philosophy. CT^^t^v Manning J. \ff.\M Professor or P/litical Science I certify that I have read this study and that in my opinion it conforms to acceptable standards of scholarly presentation and is fully adequate, in scope and quality, as a dissertation for the degree of Doctor of Philosophy. Keilh R. Legg ' w X Associate Professor of Political Science I certify that I have. read this study and that in my opinion it conforms to acceptable standards of scholarly presentation and is fully adequate, in scope and quality, as a dissertation for the degree of Doctor of Philosophy. WT A. Rosenbaum Associate Professor of Political Science

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I certify that I have read this study and that in my opinion it conforms to acceptable standards of scholarly presentation and is fully adequate, in scope and quality, as a dissertation for the degree of Doctor of Philosophy. David P. Conradt Assistant Professor of Political Science I certify that I have read this study and that in my opinion it conforms to acceptable standards of scholarly presentation and is fully adequate, in scope and quality, as a dissertation for the degree of Doctor of Philosophy. Harry W. P&ul Associate Professor of History This dissertation was submitted to the Department of Political Science in the College of Arts and Sciences and to the Graduate Council, and was accepted as partial fulfillment of the requirements for the degree of Doctor of Philosophy. December, 1971 Dean, Graduate School

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UNIVERSITY OF FLORIDA 3 1262 08552 9864