EVALUATION OF THE MAIN ACHIEVEMENTS OF COHESION POLICY PROGRAMMES OVER THE LONGER TERM IN 15 SELECTED REGIONS (FROM 1989-1993 PROGRAMMING PERIOD TO THE PRESENT) (2011.CE.16.B.AT.015) Case Study Sachsen-Anhalt Marina Gruševaja Gerhard Heimpold Oliver Schwab* Kristin Schwarze* 10 July 2013 * IfS (Institut für Stadtforschung und Strukturpolitik) GmbH European Policies Research Centre University of Strathclyde Graham Hills Building 40 George Street Glasgow G1 1QE United Kingdom Tel: +44-141-548 3339 Fax: +44-141-548 4898 E-mail: [email protected] [email protected] http://www.eprc.strath.ac.uk/eprc/ The University of Strathclyde is a charitable body, registered in Scotland, number SC01526 Evaluation of the main achievements of Cohesion policy programmes and projects over the longer term in 15 selected regions: Sachsen-Anhalt Case Study PREFACE This report presents the case study for Sachsen-Anhalt as part of the study ‘Evaluation of the Main Achievements of Cohesion Policy Programmes over the Longer Term in 15 Selected Regions (from 1989-1993 Programming Period to the Present)’, managed by the European Policies Research Centre and London School of Economics. The research in Sachsen-Anhalt was conducted over the period May to December 2012. The case study was initially drafted by Marina Gruševaja and Gerhard Heimpold, Halle Institute for Economic Research (IWH), and supported in the final stage by Oliver Schwab and Kristin Schwarze, Institute for Urban Research and Structural Policy. The authors express their gratitude to the EPRC and LSE team for their support in the elaboration of this case study. The authors are also grateful to the EU Managing Authority (MA) of Sachsen-Anhalt, the Sachsen-Anhalt Investment Bank, the Federal Ministry of Transport, Building and Urban Development and the Ministry of Spatial Planning and Transport of the Federal State of Sachsen-Anhalt for their valuable support in providing documents and data. Moreover, the authors thank the numerous stakeholders of ERDF support in Sachsen-Anhalt who participated in interviews and the Online Survey, and who provided valuable insights on programming, implementation and effects of ERDF support in Sachsen-Anhalt. The complete list of interviewees is displayed in Annex IV at the end of the report. Finally, the authors are grateful to the following for their valuable research assistance: Jacqueline Buczior (Martin Luther University Halle), Tom Exnowski (Helmut Schmidt University/University of the Federal Armed Forces Hamburg), Maria Theißen (University of Kassel) Margit Gröbke (previously IWH), Simone Lösel (IWH) Clemens Fuhrmeister, Kristin Geyer, Anne-Katrin Helbig and Natasa Randelovic (Martin Luther University Halle). LSE i EPRC Evaluation of the main achievements of Cohesion policy programmes and projects over the longer term in 15 selected regions: Sachsen-Anhalt Case Study LSE ii EPRC Evaluation of the main achievements of Cohesion policy programmes and projects over the longer term in 15 selected regions: Sachsen-Anhalt Case Study Contents EXECUTIVE SUMMARY ................................................................................................. 1 1. Introduction .............................................................................................. 5 2. Regional Context and analysis of needs ............................................................. 8 3. Programme evolution and relevance ................................................................ 24 3.1 Explicit and implicit strategies and their evolution ................................................. 24 3.1.1 1991-93 .................................................................................................. 25 3.1.2 1994-99 .................................................................................................. 27 3.1.3 2000-2006 ............................................................................................... 30 3.1.4 2007-2013 ............................................................................................... 32 3.2 Relevance of programmes to regional needs ......................................................... 33 4. Expenditure analysis ................................................................................... 38 4.1 Financial allocations ...................................................................................... 38 4.2 Expenditure compared with allocations ............................................................... 40 5. Achievements Analysis ................................................................................. 43 5.1 Reported & actual achievements ....................................................................... 43 5.1.1 Programme-level achievements .................................................................... 43 5.1.2 Analysis by theme ..................................................................................... 51 5.1.3 Institutional factors affecting achievements .................................................... 74 5.2 Complementarities and synergies ...................................................................... 76 5.2.1 Complementarity between EU-funded programmes ................................................ 76 5.2.2 Complementarity with domestic regional policy .................................................... 78 6. Assessment of achievements against objectives and needs (effectiveness and utility) ... 80 6.1 Overall achievements of ERDF programmes measured against programme objectives (effectiveness) .......................................................................................... 80 6.2 Overall contribution of ERDF programmes to regional development (utility) .................. 85 6.3 Key elements of success and failure ................................................................... 88 6.3.1 Good practices and successes ....................................................................... 88 6.3.2 Bad practices and failings............................................................................ 89 7. Conclusions .............................................................................................. 91 7.1 EQ1: To what extent did the programmes address regional needs and problems over time?91 7.2 EQ2: To what extent do ERDF achievements meet regional objectives and needs in each programming period and across all periods? ...................................................... 96 7.3 EQ3: What are the main lessons learnt on the effectiveness and utility of ERDF interventions? ......................................................................................... 102 8. Annex I – Analysis of project samples ............................................................. 105 8.1 Project: Community Initiative URBAN Halle (Saale) .............................................. 105 8.2 Project: Technology and Incubator Centre Halle .................................................. 107 8.3 Project Zellstoff Stendal GmbH ...................................................................... 109 9. Annex II – Structure of programmes 1991-2013 in Sachsen-Anhalt .......................... 112 10. Annex III: Reported achievements ................................................................. 114 10.1 1994-99 Regional Operational Programme .......................................................... 114 10.2 2000-2006 Regional Operational Programme ....................................................... 116 10.3 2007-2013 Regional Operational Programme (thus far) .......................................... 121 11. Annex IV: List of interviewees and workshop participants .................................... 125 LSE iii EPRC Evaluation of the main achievements of Cohesion policy programmes and projects over the longer term in 15 selected regions: Sachsen-Anhalt Case Study 12. Annex V: Overview of sources used for the case study ........................................ 129 13. Annex VI: References ................................................................................ 130 14. Annex VII: Summary of survey results ............................................................. 140 LSE iv EPRC Evaluation of the main achievements of Cohesion policy programmes and projects over the longer term in 15 selected regions: Sachsen-Anhalt Case Study List of Figures Figure 1: GDP per capita ............................................................................................ 8 Figure 2: Employees per enterprise in mining and manufacturing .......................................... 9 Figure 3: Share of exports in total turnover in mining and manufacturing ............................... 10 Figure 4: GVA per employee and share of manufacturing in total GVA ................................... 12 Figure 5: Relative gross fixed assets per employee and relative up-to-dateness of equipment (Germany = 100%) ................................................................................................... 13 Figure 6: Share of R&D expenditure in GDP, percent ......................................................... 14 Figure 7: Unemployment rates (percent) in Sachsen-Anhalt and relative position (Germany = 100 percent) ............................................................................................................... 17 Figure 8: Unemployment rate ..................................................................................... 18 Figure 9: Allocation and expenditure by periods and total (in million Euros, 2000