Governance through Europeanisation of Regional Administration? - A Network Analysis of Baden-Württemberg s European Strategy

Abstract

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A fourth chapter analyses the two cases and draws some conclusions about the regional

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Key Words

Regional Representation

Baden-Württemberg Network Public Transport Four Motors New Governance

Abbreviations

BW = Baden-Württemberg

CoR = Committee of the Regions

DFI = Deutsch-Französisches Institut (Franco-German Institute)

EMU = European Monetary Union

ERDF = European Regional Development Fund

EUI = European University Institute, Florence

LV = Landesvertretung = Regional Office (only used for the Baden-Württemberg

Office)

MLG = Multi-Level Governance

NRW = Northrhine-Westphalia

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Table of Contents

  INTRODUCTION.............................................................................................................................................1  

1.  REGIONS IN THE NETWORK OF NEW GOVERNANCE 6  

1.1.  POLICY NETWORKS 6  

1.2.  REGIONS IN THE CONTEXT OF GLOBALISATION AND EUROPEANISATION 8  

1.3.  GOVERNING IN NETWORKS: TOWARDS A NEW GOVERNANCE 10  

2.  THE ROLE OF THE REGIONAL OFFICE  15

2.1.  THE HISTORIC REASONS AND EVOLUTION OF REGIONAL OFFICES 16  

2.2.  THE EARLY-WARNING-FUNCTION 19  

2.2.1.  A European human resources strategy by the regions  21

2.2.2.  The Baden-Württemberg approach: A dynamic pool  22

2.2.3.  The early-warning-function as a service-centre  23

2.3.  THE PLATFOR-MFUNCTION 24  

2.3.1.  How to build a platform  24

2.3.2.  Presenting a coalition of interests  25

2.3.3.  A trans-national coalition of interests  27

3.  TWO CASE-STUDIES  29

3.1.  CASE STUDIES AND THE BADEN-WÜRTTEMBERG NETWORK 29  

3.1.1.  Case Studies on regional influence  29

3.1.2.  The Baden-Württemberg Network  30

3.1.3.  Conditions for two appropriate cases  33

3.2.  EARLY WARNING: THE COMMISSION PROPOSAL ON PUBLIC TRANSPORT 34  

3.2.1.  The Proposal on Public Transport  35

3.2.2.  The Proposal seen from the regional office  36

3.2.3.  Analysing and Comparing: The Academic view vs the Practitioners Experience  39

3.3.  PLATFORM: THE 4-MOTORS SEMINAR ON WOMEN IN RURAL SPACE 41  

3.3.1.  An Institutionalised Network: The Four Motors  41

3.3.2.  The Seminar on Women in Rural Space  43

3.3.3.  Analysing the seminar  46

4.  ANALYSING THE REGIONAL PERFORMANCE IN BRUSSELS  51

4.1.  THE EUROPEAN STRATEGY 51  

4.2.  IMPLICATIONS OF THE NETWORK-APPROACH 53  

  CONCLUSION  55

  BIBLIOGRAPHY  57

  ACADEMIC LITERATURE 57  

  ARTICLES (JOURNALS AND REVIEWS) 58  

  WRITTEN SOURCES 60  

  INTERVIEWS..............................................................................................................................................61  

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*

Introduction

The process of European integration leads to a transformation of governance, visible in the different treaty revisions, but occurring more clearly through changes on the institutional level. One of the main features of this transformation is the growing importance of the regional level in European policy-making, with both Europe more involved into matters falling under regional competence and the regions playing a greater

role in decision-making on the European level 1 .

Some scholars have labelled these changes as "New Governance". They see the adaptations made by local and regional administrations to deal with the European Institutions ("europeanisation") as coinciding with a complete transformation of the conception of democracy. No longer is the question of power linked to a territorial legitimacy, but rather to a functional legitimacy, thus questioning the fundamental public

order in Western Europe 2 .

To come to such an evaluation, the evolution of regionalism has to be taken into account, considering the factors that brought about the change of governance. At the same time, the actual "state of the art" must be thoroughly analysed before assessing the term "New Governance".

Evolving from a rather resistant movement, regionalism occurred first in relation to economic restructuring, and is now one of the driving forces behind the emerging multi-

level governance 3 . Two main factors lie behind the emergence of regional power on the

supranational level. On the one hand, the economic change lead to "globalisation". This mainly has consequences on the economic and local development policies of the regions. As the nation-state is only one amongst other actors on the European scene, having lost his monopoly of action on the international scene, a re-emergence of regional economic politics and a competition amongst the regions occur. The outcome of this

evolution is fragmentation, referred to as "Multi-level governance" (MLG) 4 .

* For all the notes, the date in brackets following the author gives the abbreviated quotation. 1 More recently: Beate KOHLER-KOCH (1996b): "Catching up with change: the transformation of governance in the European Union", in: Journal of European Public Policy 3:3 (1996), Michael KEATING (1998b): "Territorial Politics in Europe - A Zero-Sum Game? - The New Regionalism. Territorial Competition and Political Restructuring in Western Europe", in: EUI Working Paper RSC No. 98 / 39 (1998), see also: Francisco ALDECOA, Michael KEATING (ed.) (1999): Special issue on "Paradiplomacy in Action - The Foreign Relations of Subnational Governments", Regional and Federal Studies Vol. 9 (Spring 1999), No. 1.

2 This theme has been developed by Beate Kohler-Koch and the Mannheim Centre of European Social Research. Details in the text, ch. 1.3.

3 Michael KEATING (1998a): The New Regionalism in Western Europe. Territorial Restructuring and Political Change. Cheltenham (UK) / Northampton, MA (US): Edward Elgar Publisher, p. 71.

4 Elizabeth BOMBERG, John PETERSON (1999): Decision-Making in the European Union, London: Macmillan Press for a contemporary debate. On regions and MLG: Arthur BENZ and Burkard

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This evolution towards the interaction of different levels represented the growing importance of European Integration for the regions. Their main interest in Europe in the 1980s was access to the structural and cohesion funds. With the completion of the Single Market and the move towards EMU, regions now face new challenges on the

European level 5 . In reaction to these challenges, one could speak of "europeanisation" of the regions 6 .

If the new regionalism is not contained by t he borders of the nation-state, nevertheless a variety of different national approaches to these new challenges exist. The results of the economic modernisation of a region are shaped by the specific factors that define a region, and one major factor being national tradition. The regions have to find new ways to equilibrate the tension between the global logic of capital, seeking the most profitable locations, and the constraints of territory. In these new ways, interaction with the European level, especially the Commission, becomes crucial. Thus, spatial development becomes more important than ever. However, to solve this question, new approaches are needed, including the much wider participation of social actors in order

to profit form the bringing together of the resources of different regional institutions 7 .

Within the variety of ways to adopt to the new challenges, one can find more or less typical structures for every region. Administrative traditions, but also the outcome of regional identity and the relationship between the citizens and their regions, are

factors in shaping these structures 8 .

One model for the organisation of the three levels is the German case. During the negotiations for the Maastricht Treaty, the regions fought for formal representation in the European game; the compromise that was found - integration of the regions via the second chamber ( Bundesrat) with consultation in federal competencies, definitive decisions in mixed competencies and the possibility to send a regional representative to

EBERLEIN (1998): "Regions in European Governance: The Logic of Multi-Level Interaction", EUI Working Paper RSC No. 98 / 31 (1998). For the concept of MLG: Garry MARKS (1993): "Structural Policy and Multilevel Governance in the EC" pp. 391 -. 410 in: A. CAFRUNY and G. ROSENTHAL (eds.) (1993): The State of the European Community - II: The Maastricht Debates and Beyond. Harlow: Longman 1993. G. MARKS (1996): "An Actor-Centred approach to Multi-Level- Governance", in: Regional and Federal Studies Vol. 6 No. 2 (1996), pp. 20 - 38. Fritz W. SCHARPF (1994): "Community and Autonomy: Multi-Level Policy-Making in the European Union", in: Journal of European Public Policy 1:2 (autumn 1994), pp. 219 - 242.

5 Keating 1998a: 73.

6 Klaus H. GOETZ (ed.) (2000): Special issue on "Europeanised Politics? European Integration and National Political Systems", in: West European Politics Vol. 23 (Oct. 2000) No. 4.

7 Keating 1998a: Introduction 8 Beate KOHLER-KOCH (e.a., eds.) (1998b): Interaktive Politik in Europa – Regionen im Netzwerk der Integration. Opladen: Leske und Budrich. Especially the chapters of Jürgen GROTE and Michèle KNODT investigate this point (see chapter three of the thesis for further references).

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the Council of Minister meetings when it deals with exclusive Länder-competencies - must still prove its effectiveness. While some authors consider the regulation of 1993 as

favorable for the regions 9 , others, mainly practitioners, contest this view 10 .

In any case, it transpired that national representation on its own would - given the above-mentioned challenges of globalisation and European integration - not be enough.

A second channel of influence, still most effective when working closely together with

the national, institutionalised channel of influence, are the regional representations that were opened in Brussels from the mid-80s onwards. They try to close the gap between the system of representation through classical means and decision-making as a process

whis is happening more and more in territorial and societal networks 11

From an academic point of view, these representations are a very interesting case. They fulfil a new role, unforsen in classical patterns of administration. Their role is twofold, acting on the one hand as an interface between their regional capitals and Brussels, channeling the input of multiple actors of the regional society into the Commission-procedure. On the other hand, they are themselves actors in the diverse networks woven around the Commission.

The challenge is to understand their specific role in the decision-making process. This would allow, from a practitioner’s point of view, a more appropriate and effective organisation of the regional representations. From a theoretical point of view, one could come to a better understanding of a new model of decision-making and governance. In using network-analysis as a tool for understanding the role of the Brussels representations, the result could be an insight into the strategies, means, tools and routes that have an impact on influence within the network and, finally, in the decision-making

process 12 .

Realising this aim implies an investigation into several areas. First of all, the constraints of time and space necessitate a concentration on one regional representation. The case of Baden-Württemberg is not only interesting for practical reasons, but also because of its role as a leader on the way to an "Europe of the

9 M. Keating 1998: 167.

10 Charlie Jeffery: "Farewell the Third Level? The German Länder and the European Policy Process", in: Regional and Federal Studies Vol. 6 No. 2 (1996), pp. 56 - 76; Ulla KALBFLEISCH-KOTTSIEPER (1993): “Fortentwicklungen des Föderalismus in Europa - vom Provinzialismus zur stabilen politischen Perspektive? Ein Beitrag zur Rolle der Länder, Regionen und Autonomen Gemeinschaften bei den EG-Regierungskonferenzen und der Ratifizierung des Maastrichter Vertrags” in: Die Öffentliche Verwaltung 46, 13, 541-551; Interview Head of Baden-Württemberg Bureau, 7.03.2001.

11 M. Keating 1998: 75.

12 Helena JOSEFSON (1998-99): The Logic of Lobbying. The Policy Network Approach and Influence on the EU Renewable Energy Policy. Bruges: Masterthesis (supervisor: R. Hrbek), p. 77.

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Regions". Baden-Württemberg was among the first regions t o open an information bureau in Brussels and then to transform it into a regional representation. As an economically strong region, it profits less from the structural and cohesion funds and is therefore more interested in finding new and progressive ways of promoting its interests in Brussels. At the same time, the second mentioned point of identity and tradition speaks in favour for Baden-Württemberg. Within the European context, the German regions (Länder) have been able to develop, because of their position as state-actors within the federal framework, a complex administrative and distinct political culture. An

identification of the citizens with their region can thus be assumed 13 .

In focussing on Baden-Württemberg, the first chapter will consider the theoretical implications of a network-analysis and the transformation of governance. The existence and definition of policy-networks must be clarified, in order to better understand their role within the decision-making process. In linking them to the processes of globalisation and europeanisation, it must be questioned if this necessarily leads to a transformation of the political order into a system of "New Governance".

This leads to the second's chapter consideration of the special role of the regional representation as an interface between the domestic and the Brussels game. The role of

the regional civil servants working in Brussels as "boundary managers" 14 must be

investigated. The paper will distinguish their task between one of "Early-Warning" and one of "Platform-Building", in order to present the region as a state actor on the European scene. State actor is understood as having an institutionalised involvement into decision-making processes and possessing a legitimacy that emanates from a public vote. Within the early-warning function, several innovative measures (leading to "europeanisation"?) are taken into account. In the chapter on platform building, the possibilities of acting in trans-national coalitions as an innovative way of acting in Europe are considered.

Within this framework, a case study concerning two concrete areas of action by a regional representation is introduced in chapter three, giving an insight and an empirical example of "new governance" at work. One case deals with the Early Warning function of the regional office, the second case presents a trans-national network in action.

Finally, by analysing chapters one to three, an assessment of the regional representation illustrates the difference between efficient and less efficient regional

13 See nevertheless the image campaign of Baden-Württemberg, centred especially on the regional

population.

14 A term that was brought up by Brigid LAFFAN in a discussion on "europeanisation" of national

administrations and the COREPER, College of Europe, 25.04.2001.

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interventions on the European stage. While this fourth chapter also theorises the

European strategy of the region, the paper also leads to some practical findings.

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1. Regions in the Network of "New Governance"

With the completion of the Single European Act in 1985 and the Maastricht Treaty in 1992, the old dispute between intergovernmental and neofunctional approachs to studying European Integration have proved to be increasingly obsolete.

To understand the European Union, a new, differentiated approach was needed and new tools had to be found to analyse its decision-making processes. Decision- making power could be observed as being increasingly shared on different levels of

sub-national, national and supranational institutions 15 . In this "Multi-Level Governance",

the different levels were interacting and communicating their respective resources to come to decisions. To better understand these interactions and interdependencies between the different levels of government, a tool appropriate to explain the links between the different actors - at the origin of an outcome - was needed.

In concentrating on the ability of the Commission to take integrative measures against the preferences of national governments, Gary Marks points to the importance of actors within the different sets of institutions. Based on this consideration of institutions as a static set of rules and norms and the individuals as decisive (actor- centred approach), perhaps the best tool to understand this constellation is network-

analysis 16 . If the actors are the only ones able of a goal-oriented action, than the

examination of their activities should constitute the crucial link between the macro

processes and the institutional rules 17 .

1.1. Policy Networks

The literature on networks covers many academic disciplines. Already in the 1970s, the concept of policy networks was influenced by neo-corporatist attitudes. In relation with the study of EU, David Marsh and Rod Rhodes wrote some of the main

academic works on the topic 18 . According to these authors, Policy Networks describe

the interaction between a set of resource-dependent organisations, the basic relationship

15 Marks 1993 and Marks 1996, Ian BACHE (1998): The Politics of European Union Regional Policy - Multi-Level Governance or Flexible Gatekeeping? Sheffield: Sheffield Academic Press, p. 22.

16 Bache 1998: 26 gives an overview about Marks’ theory.

17 Marks 1996: 22 - 23.

18 Ian BACHE, Stephen GEORGE; Rod A.W. RHODES (1996): "Policy Networks and Policy Making in the European Union: A Critical Appraisal", pp. 367 - 387 in: Liesbet HOOGHE (ed.) (1996): Cohesion Policy and European Integration: Building Multi-Level Governance. Oxford: Oxford University Press, refers to all the relevant literature on the topic. For example: Grant JORDAN and Klaus SCHUBERT (1992): "A preliminary ordering of policy networks"; Frans van WAARDEN (1992): "Dimensions and types of policy networks"; David MARSH and Rod A. W. RHODES (1992): "New directions in the study of policy networks", all in: European Journal of Political Research 21 (1992).

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being one of resource exchange, further strengthened by frequent interaction and shared policy values 19 .

Rhodes observes five aspects to building a framework within which to explore the linkages between the actors: constellation of interests, membership, vertical and horizontal interdependence and the distribution of resources 20 . He than defines a

continuum ranging from the highly integrated policy communities to the loosely integrated issue networks. Between the two extremes, different manifestations of networks can be found, e.g. professional networks, intergovernmental networks or producer networks 21 .

At one end of the spectrum, policy communities are characterised by the stability of the relationship, the maintenance of a highly restrictive membership, a vertical interdependence due to the common responsibility to deliver services, and finally the isolation from other networks. They contain a high degree of vertical interdependence and limited horizontal articulation. By contrast, on the other end of the spectrum, issue networks are characterised by the large number of participants and a limited degree of interdependence 22 .

Within these networks, it is crucial to understand the dependency of the different actors on each other. The extent to which an organisation can control and mobilise its resources (financial, informational, political, organisational, constitutional - legal), determines its power in a given situation, when the other actors of the network depend on these resources. They are thus the key variable shaping the policy outcome. Whilst Rhodes sees a process of bargaining between conflicting interests 23 , it is arguable that

sharing resources can also be used strategically to form an alliance before starting a bargain.

However, the network approach has certain explanatory limits. It is an essentially descriptive theoretical tool, which analyses facts and evidence. It stresses the increasing importance of the sub-national level and its multiple connections with other levels and facilitates the understanding of a volatile perception of power: power is no longer stable, but situational. Power that was enjoyed at one time need not be available under different conditions.

19 Rhodes / Bache / George in Hooghe 1996: 370.

20 Rhodes 1998: 77-78, Bache 1998: 26.

21 Bache 1998: 26.

22 ibid., Rhodes in Hooghe 1996: 368.

23 Bache 1998: 27.

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