Study Design and Research Framework 75 While for LEADER the preparatory phase finally switched over in the main implementation phase of at least one LEADER measure in 2010, the NRN activities had not started at the point of the second assessment. The perspective of the administration was additionally assessed by means of expert interviews and participatory observation in 2009 and 2010 (Research activities B1 and B2).
This study does not rely on one method of analysis. Instead, it addresses the research interests with a set of methods and theories, noteworthy are the underlying concept of governance and network theory, as well as Social Network Analysis (SNA), Multiple Criteria Decision Analysis (MCDA) and an adapted Standard Cost Model for calculating administrative costs.
The choice of the methods and their advantages and disadvantages for approaching the focal points of networking and governance structures are discussed in each section in the context of each concrete questions addressed. At this point, some overarching issues of the methodological conceptualisation of this study are discussed. During the process of conceptualisation, it was important to assess the dynamics underlying the formation of social capital and governance processes quantitatively without neglecting the normative, cognitive and behavioural dimensions, and without suffering from the disadvantage of qualitative approaches. Furthermore, the practical relevance of methods for enhancing the instruments’
implementation was an issue of great importance. Thus, for instance, when investigating tools to evaluate LEADER, the development of LAGs’ governance structures was initially assessed by means of SNA, while means of participatory observation for investigating governance processes was tested in the second case study (Research activities A3 and C). Generating practical recommendations was also one major reason for using MCDA in the elaboration process of an RDC functioning as an analytical instrument for tracing the outcomes of governance processes and proofing endogenous development, while at the same time being tested as a tool for participatory integrated planning approaches.
Further comments on the selection of research activities and methods or single elements thereof have to be made: Bearing in mind the possible influence that the historico-cultural context can have on the formation of partnerships and the development of governance structures, the first case study was conducted in the culturally Hungarian-marked part of Romania, and the second took place in a Romanian cultural area in the country. The potential relevance of cultural relations was also one reason for choosing Hungary as a country for examining the external relations of potential Romanian LAGs (Research activity A4), as will be discussed in Chapters 5 and 9.
Additionally, experts were consulted. At this early stage, investigations on administrative problems, as well as on experiences with administering the two policy instruments were less relevant, because in Romania, the implementation process had not yet started, and the non-Romanian actors were still confronted with the LEADER guidelines from the former funding period, or were just starting to become familiar with the new ones; and in Hungary and Germany the NRNs were in the process of being established.
A1: Survey among the potential Romanian LAGs
The sample of potential LAGs addressed within an email-survey was generated from the list of potential LEADER regions, from which representatives had participated in LEADER trainings organised by the MARD at the end of 2006/early 2007 (cp. Section 3.5) and from complementary information received from the DARDs. The questionnaires in the Romanian language dealt with: previous knowledge about and experiences with LEADER; education/
trainings on LEADER; the implementation of LEADER in Romania and the assessment of involved and/or interested stakeholder groups in the regions; fulfilling the requirements for participating in LEADER (e.g. establishing of capacities, elaborating an RDC); relations between potential beneficiaries and the programme agencies (MARD and DARDs); contacts to and partnerships with other organisations; and the establishment of the NRN. The questionnaire was designed in such a way that issues raised were also fielded from the perspective of the county programme agencies (DARDs). At the time of the survey, 105 Romanian LAGs were active. Of these, 37.1% (39 LAGs) were surveyed.
A2: Survey among the Romanian Directorates for Agriculture and Rural Development
The questionnaire in English that was directed to the 42 DARDs via e-mail was in its content very similar to that directed to the potential LAGs (see Research activity A1), and included an additional block of questions on administering LEADER. To investigate whether a particular challenge is seen with the implementation of LEADER, questions concerning the implementation of other rural development measures were also raised. A total of 33 questionnaires were returned, which equals a return quota of 78.6%.
A3: Case study on the formation process of potential LAGs
A case study on the formation of two potential LAGs in Hargita County was conducted in March/April 2008 to investigate the development process of potential LAGs in greater detail.
Besides the issues dealt with in the surveys among the potential LAGs and among the DARDs (Research activities A1 and A2), in the case study governance structures and the relevance of social networks within and around the potential LAGs were analysed quantitatively by the application of Social Network Analysis (SNA), which is described in Chapter 5. By means of open questions, the surveys among potential LAGs and DARDs, which preceded the fieldwork, identified stakeholder groups directly or indirectly involved in the implementation of LEADER in Romania. These stakeholders were the starting point for a snowball sampling (Hannemann 2001; Scott 2001) that drew up the actor networks of the two potential LAGs.
Within the case study, semi-structured interviews with 52 actors of the two potential LAGs and 13 organisations were conducted. The results of the two Romanian-wide surveys allowed case study findings to be discussed in a broader context.
A4: Survey among Hungarian and German LAGs
For investigating international relations of potential Romanian LAGs from an external perspective, as well as partnerships and networking activities of actors involved in LEADER, LAGs funded under LEADER+ were surveyed. The questionnaires sent to the 70 Hungarian and 148 German LAGs via e-mail86 included questions on existing relations to Romanian
86 The questionnaires directed to the Hungarian LAGs were also distributed by the Hungarian LEADER Network Unit during one LAG meeting.
Study Design and Research Framework 77 actors, the potential for (further) partnerships with Romanian actors and reasons for not establishing such partnership(s). For reference, these issues were also examined for national or other international (non-Romanian) partnerships. The questionnaires were also in the Hungarian and German languages. The quota of return was 38.6% (27 LAGs) for Hungary and 25.7% (38 LAGs) for Germany.
A5: Expert consultation
Within this research bloc further experts were consulted with a semi-structured questionnaire.
The questionnaire primarily focussed on the implementation of LEADER in Romania and relations between actors engaged in LEADER activities in general, whereupon the questions were adapted to the field of activity of each expert. The selection of experts was based on plausibility reasons; this applies, for instance, to the German and Hungarian LEADER+
Networking Unit and the Romanian Managing Authority. Or actors turned out to be crucial for the implementation of LEADER in Romania within the Research activities A1-A4.
Research activity B Operation Analyses of the Romanian agricultural administration A deeper assessment of the framing conditions of the policy-delivery process of/around both instruments was facilitated through the author’s participation in two Operation Analyses of the Romanian agricultural administration. Participation in those analyses, which formed parts of World Bank projects, enabled the author to gain decisive insight into CAP-related administrative processes, their drivers and problems, as well as the administrative culture, governance structures and the political context in Romania. Within this work, findings of the Operation Analyses have primarily been integrated into Chapter 7 on policy-making around LEADER and the NRN in Romania.
B1: 1. Short-term Operation Analysis
The first Operation Analysis87 took place from December 2008 to February 2009. Aimed at improving the service delivered by the agricultural administration, particularly the service quality provided to Romanian farmers within the CAP, the quality of the administration’s support to policy-makers, as well as the quality and client orientation of advisory and extension services were assessed. Central elements of the analysis were a farmers’ survey and a bloc of interviews. A total of 26 personal expert interviews with members of the agricultural administration at the national and county levels, as well as with other key persons, were conducted in January/February 2009.
Although the implementation of LEADER and the NRN was in a period of deadlock at that time (Table 4.2) and no specific investigations in this regard were undertaken, both interviews and the survey offered a comprehensive overview of internal and external information channels and communication flows of the agricultural administration; they also highlighted general and measure-specific problems with implementing the CAP.
B2: Long-term Operation Analysis
The second Operation Analysis of the Romanian agricultural administration, which lasted from spring to autumn 2010, should contribute to achieving the aim of the Romanian government to modernise and improve the administration’s ability to fulfil its external commitments.88 This analysis included longer-term in-depth investigations of the agricultural
87 Review of Public Service Delivery in Agriculture for Bulgaria and Romania, registered by the World Bank under the code KP-P111199-KMPD-BB. Main results of the study can be found in Labar et al. (2009) and Marquardt et al. (2009a).
88 Concretely, the operation analysis examined the strategic management in its political and administrative dimension. In addition, factors promoting and/or limiting the efficiency and effectiveness of the agricultural and rural policy delivery in Romania were analysed.
administration and related organisations. All activities took place between early April and the end of July 2010. Among others, expert and group interviews with MARD-internal and external key actors from all administrative levels were conducted; working groups and discussions were arranged. Furthermore, the operation analysis included a survey among subordinated organisations from the Managing Authority, the Paying Agency for Rural Development and Fisheries (PARDF) and the Paying and Intervention Agency for Agriculture (PIAA). A total of 134 regional and county-level offices were surveyed with a main focus on the implementation of CAP measures, administrative burdens and costs, administrative capacities and inter-organisational relations. The quota of return was nearly 100%. Completed questionnaires were received from all 42 PIAA offices, from all 42 DARDs, from 37 of 42 county PARDF offices, and from 7 of 8 Regional PARDF offices. Complementary case studies on the listed topics were conducted in three counties.89
For this study, participation in the operation analysis contributed additional background information on the implementation of LEADER and the NRN, and on related administrative and political burdens, as well as on governance structures. Although the NRN had still not been in place (Table 4.2), the administrative problems causing this circumstance could be investigated. As the preparatory LEADER Measure 43.1 was running during that time (Table 4.2), it was considered in the survey among sub-ordinated organisations, thereby allowing systematic data collection among a representative number of stakeholders. The longer-term orientation of the operation analysis, the several visits of the agricultural administration’s organisations and of relevant events, and tracing decision-making processes, allowed the author to perform participatory observation, which was particularly relevant for examining governance processes. Information on the application of participatory observation is provided in Chapter 6. Observations were complemented by Policy Mapping of the influence of stakeholders in the policy-making process, which will be subject of Chapter 7.90
Research activity C Case study on potential Romanian LAG preparing a Regional Development Concept
A case study on the elaboration process of a potential LAG’s Regional Development Concept (RDC) conducted in 2010 has multiple functions in the study’s conceptual framework. First, from a programme-technical point of view, the implementation of the preparatory LEADER measure was examined from the perspective of the potential beneficiaries. In this function it complements observations of the Operation Analysis (Research activity B2), where the implementation of this measure was analysed in parallel (Table 4.2) from an administrative point of view. Second, in this advanced stage of the implementation process, it was possible to investigate how far the Romanian LEADER programme is likely to support key features of LEADER, namely integrated endogenous regional development and the objective of improving governance. In this context the policy instrument’s design could be analysed in a broader context and also comparison to LEADER in other Member States in the running funding period could be made. Third, by applying participatory observation a second approach to investigating governance structures at the local level could be tested by the author. Fourth, by applying MCDA, a tool for facilitating the realisation of an integrated approach with broad public participation, and for bringing evidence that an integrated approach was followed, could be given a trial.
89 The results and policy recommendations of the Operation Analysis are documented in an unpublished report (World Bank 2010); they are also reflected in the monthly Country Reports of the Economist Intelligence Unit (see, e.g. EIU 2010, 2011).
90 As the author’s research activities went beyond the scope of the World Bank project, results presented in this book are not documented in the World Bank report, and this work does not necessarily reflect the World Bank’s opinion or that of other actors involved in the project.
Study Design and Research Framework 79 Within this case study, no particular attention was paid to network relations among actors involved in LEADER. The design of the case study is detailed in Chapter 6.
Research activity D Survey among the National Network Units across the EU-27
For a reference point on how NRNs work in practice, data was collected among the NRNs across the EU in 2010. At that point most of the NRNs had been working for two years, and thus had had some experience. A survey among the NNUs of the NRNs was conducted in April/May 2010. Questionnaires were distributed via e-mail, and contained four parts: A) Activities of the Network Unit; B) Countrywide and Europe-wide Networking; C) Evaluation;
and D) mixed questions on, for instance, the networks’ impact on governance structures. The questionnaire deliberately included many open-ended questions in order to gather in-depth information for closing the gap of literature on the NRNs. In this survey, an increased focus on open-ended questions was possible due to the small target group (known to be experts in this field). Out of 32 network units approached,91 12 questionnaires were returned, but the responses of one NNU had to be excluded from the data analysis. The modest ratio of questionnaires returned – one third (34.4%, or 37.5% respectively) – can be explained by the fact that the ENRD Contact Point was conducting a parallel survey among the NNUs on the issue of evaluation. Furthermore, three of the networks only had a provisional network unit in place, or none at all. Survey results are laid down in Marquardt (2011).
Research activity E Survey among the members of the Romanian NRN
To identify the status quo and the development potential of the Romanian NRN after two years of abeyance during which the network only existed on paper (cp. Table 4.2), an e-mail survey among members and potential members was carried out in the summer of 2010. The sampling frame was the official list of 586 NRN members published on the MARD website.
The questionnaire was sent out to the 398 members registered with an email address. In addition, the questionnaire was distributed to 69 potential LAGs, which had not been enlisted as NRN members. Due to missing email-addresses and not working email-accounts, the questionnaire reached 381 actors. The - at 16.3% - modest rate of return is discussed in Chapter 8. Questionnaire design was based upon the findings of the survey among the NNUs across the EU (Research activity D). The questionnaire in the Romanian language was structured into five main parts concerning the membership in the NRN, the development of the network, members’ expectations of the network, a short part on evaluation, and finally a bloc of mixed questions addressing, among others, the topic of governance. Survey results also reflect the implementation process of rural development measures, which should theoretically have been supported through NRN activities.
91 The questionnaires were sent to the 32 national and regional network units listed on the “Contact list of National Rural Networks” on the ENRD website (www.enrd.eu, accessed 01.04.2010). For simplification, regional network units are also referred to as “NNUs”.
Table 4.2: Research activities in the context of the planned and realised schedule of programming and implementing LEADER and the National Rural Network in Romania
Note: LAG = Local Action Group OA = Operation Analysis NNU = National Network Unit NRDP = National Rural Development Programme NRN = National Rural Network RA = Research activity
a Within this project Hungarian, French and German actors supported the Romanian Agricultural Ministry with the preparations for implementing LEADER.
b The registered period shows the duration of the dissertation project.
Study Design and Research Framework 81 Other research activities
To obtain a better overview of the implementation of both instruments across the EU in the current funding period, the participation in events, such as a LEADER Cooperation Fair in Scotland in 2010, events organised by the German NRN, or a meeting of the NNUs in 2010,92 was very helpful. These undertakings were particularly relevant for assessing the functioning of the NRNs, about whose running hardly any reports had/have been published.