Methods

As a part of the ethical aspects of doing research, the researcher adhered to the code of conduct of the employed institute: The Research Centre for Eastern European Studies at the University of Bremen19. The researcher developed an information guide on the nature of research conducted and consent forms for interviews and participant observation. The researcher also took time with each targeted participant to explain the nature of the research and the reasons for engaging with different stakeholders. Confidentiality and anonymity were guaranteed upon the consent of participants.

Data Sources

To do my analysis, I used different sources based on secondary and primary data on global governance, authoritarian regimes as well as documents and reports which were mentioned to me by participants during my interviews and by my colleagues. This enabled me to assess different aspects of the research question. Therefore, my empirical study is based on a wide variety of sources and include interviews, document analysis (official reports, policy reports of international organisations and statements, legal policy documents) as well as the existing academic literature, participant observations and

survey analysis. Each of these sources and the respective data collection methods employed enabled me to draw a full picture to answer my central research question and its sub-questions. In addition, it is important to emphasise that because my study delves into often informal practices and organisations of involved actors, comprehensive and detailed written information on such topics is scarce and quantitative data on such practices is hardly available. Therefore, I relied primarily on qualitative sources, such as interviews and participant observations, to obtain such information. The following sections provide a detailed examination of the specific methods of data collection used. Interviews

Andrew Benett and Jeffrey Checkel (2014) note that interviews are important ways to measure causal mechanisms. The authors further argue that the respondents’ behaviour (jokes, laugh, gestures and silences) during the interview process should be considered as valuable data in its own right, as it provides information on how the socio-political landscape shapes what people are willing to say (Bennet and Checkel, 2014, p. 24). Similarly, Tansey (2007) observes that interviews, in particular elite interviews, play an important supportive role in process tracing analysis and more attention should be devoted to such methods of data collection. Elite interviews are particularly important as they enable one to reconstruct events and shed light on hidden political actions and meanings. In this sense, they form an important source of information about the topic of interest. Further, the advantage of using such an interview method is that it is not static but enables direct interaction with the subjects and probes for questions which go beyond describing events or episodes, gathering information about the underlying context or the motives of the actors involved (Tansey, 2007).

In-depth interviews and open-ended questions were used as interview strategy in this dissertation. The in-depth interview and open-ended format enables a deeper and fuller understanding of participants’ meaning-giving by allowing the respondents to express their opinion, knowledge as well as their beliefs, feelings and reasons in their own way and manners (Legard et al., 2003, p. 141; Aberbach and Rockman, 2002).

To conduct my interviews and with the purpose to answer the main research question of the thesis, I have elaborated a topic guide20_{with questions and themes to be covered. I}

have adjusted the guide according to my interview contexts. In-depth and open-ended elite interviews were conducted with state officials and non-governmental actors in order

to capture the underlying value configuration unique to individual cases, reconstruct an event or set of events, explore possible divergent views among partners as well as the cost and benefits of EITI association, and draw larger inferences from the more general relationship between the EITI and policy outcomes. The interviews included key stakeholders, such as EITI Board members, members and executives of extractive industries, public officials and civil society actors.

Interviewing was based on purposive sample of participants taking part in the EITI MSG group. The full names and their contacts were provided by the EITI International Secretariat in Norway. The interviews in Kyrgyzstan were conducted in the cities of Bishkek and Osh from October till December 2014. In Kazakhstan, the interviews were conducted in the cities of Astana and Almaty from end of May to June 201521. Additional data for conducting my interviews were also provided through to conferences and events related to my research as well as snowballing technique. I therefore used this snowballing technique to gain access to their close friends and official whose expertise was relevant to my research purposes.

The interviews in both countries were conducted in Russian and English. In total 27 interviews were conducted in Kyrgyzstan: 23 were tape-recorded and four of them were not. In Kazakhstan 11 interviews were conducted, among them 10 were tape recorded and one was not. In addition, many unofficial discussions were held with key stakeholders involved in the EITI coalition. Moreover, additional primary data on the EITI was supplemented during the conference on ‘Insights into Regional Development’ held in Almaty (2-3 June 2015), where a panel on the EITI was presented.

The interviewees were guaranteed confidentiality. In addition, I had obtained individuals’ consent to publicise their opinion. Interviews were transcribed and translated into English. On average the duration of each interview was 45 minutes22_{. To analyse data}

from my interviews I have used coding categories. To analyse data interviews from Kyrgyzstan I have applied a manual coding while for Kazakhstan I have used the NviVo Software tool.

21_{See Appendix 2: Topic Guide} 22_{See Appendix 6: Interview List}

Document Analyses

In this study, document analyses are considered to be a valuable source of information, as they help to contextualise, trace and provide historical insight on the events studied. In this study, document analysis was used as a systematic procedure for reviewing and evaluating documents in both printed and electronic formats (Bowen, 2009). Document analysis focused on EITI reports and formal communications and included case reports, legislation reforms, media articles and reports from newspapers as well as official statements and policy documents. To collect these data, the research also relied on the LexisNexis database.

Participant Observations

Participant observation, as defined by Atkinson and Hammersley (2007), is when the researcher plays an established participant role in the scene studied. As noticed by Schensul et al. (1999), it is “the process of learning through exposure or involvement”. Using such a technique allows penetration of phenomena, which are obscured from the outside. In doing so, the method of participant observation provides a window into interactions, perceptions and meanings, as experienced from the standpoint of insiders (Kawulich, 2005; Jorgensen, 1989).

Participant observation was used during an EITI workshop ‘EITI implementation problems within the EITI Standard: Kyrgyzstan’s case’ held in Bishkek on the 9 December 2014,

The workshop brought together all members of the MSG participating in the EITI process. The utility of using such a technique is that it allows deeper penetration of the studied phenomenon, which would otherwise be obscured externally. Participant observation can be conducted with or without revealing research purpose and research identity to those researched (Li, 2008). However, as Dewalt et al. (1998) suggest, it is advisable for researchers to be transparent about collecting data for research purposes. In this sense, participants in the EITI workshop were informed about my presence, the purpose of my research and could raise questions related to my project. Actions of the participant observations were recorded in notes in my field work journal, via photography and documentation received during the workshop23_.

One of the ethical concerns related to participant observation is the preservation of anonymity of the participants in the writing up of the analysis. It is important to note here that prior to the workshop most of my participants were already interviewed,24 _{hence, I}

cannot fully guarantee full anonymity; it can only be guaranteed for those participants who were not interviewed but were present in the workshop.

In Kazakhstan, I had an opportunity to conduct such analysis during a meeting held in Astana on the 8 June 2015, however as I could not obtain the security clearing form from Kazakh authorities, this method of analysis was not used in this case.

Survey methods

Survey methods are a particularly useful method of analysis to discover relationships common across organisations and, hence, to provide generalizable statements about the object of study at a certain point in time (Barnett, 2002; Gable, 1994). As Gable further states, survey methods are used as a tool of verification rather than discovery, as they fall short of providing information on the underlying meaning of data. Therefore, surveys in my study are used as a technique to corroborate my findings. The survey data collection process in this study relied on national public-opinion polls based on face-to-face interviewing. The advantage of using opinion polls is that they provide personal views or preferences about a given topic. In my research, it enabled me to quantify, map and assess national public opinion about the EITI and transparency.

The opinion poll survey in Kyrgyzstan was conducted by SIAR, a marketing research consultancy firm based in Bishkek. The survey was based on face-to-face structured interviews and was conducted in the seven regions and the two cities of Kyrgyzstan (City of Bishkek, Batken, Chuy, Jalal-Abad, Naryn, Osh, Talas, Issyk-Kul, Osh City), in October 2014. The sample of the survey consisted of all member of 1,000 households over 18 years of age. The survey was conducted in both urban and rural settings in the Russian and Kyrgyz languages from 24 October to 18 November 2014_{. The results have a}

margin of error of ±3.1 percentage points at a 95 per cent confidence level. The analysis of the survey data was based on statistical correlation and frequency techniques.

Additionally, I also conducted an opinion survey in Kazakhstan with a local social research based organisation called ‘Public Opinion’ in October-November 2015. The survey was administered in the 14 provinces of Kazakhstan and the cities of Astana and

Almaty. The sample of the survey consisted of all members of 2000 households over 18 years of age. The margin of error consisted of ±1.99 per cent.

However, it is important to note that because I was not able to administer the survey myself, the survey responses need to be considered carefully. I therefore use the survey responses as an indicative tool25_.

The questions addressed in the survey in both Kyrgyzstan and Kazakhstan were the following26_:

1. Did you hear about the EITI (The Extractive Industries Transparency Initiative) Yes

No

2. Are you receiving enough information about the extractive resource sector in your country?

Yes No

3. From whom did you receive the information? Civil Society Sector Government

Companies Others

Conclusion

The research design chapter demonstrates that conducing field research in authoritarian setting is challenging and affects the research design and the methods used in data collection. In the case of Kazakhstan and Kyrgyzstan, the degree of authoritarianism had a significant impact on the methods used as well as the amount of data collected. The study further used a variety of data sources to make up for missing data and corroborate findings from the interviews. As the research design demonstrates, cultural and contextual

25_{For more information on the results of the surveys see Appendix 4}

26_{For Kyrgyzstan I have received the full questionnaire of the survey administered by SIAR team}

however for Kazakhstan due to client confidentiality I could only obtain the questions on EITI that I have asked to be included in the survey.

factors are important and significantly affect the conduct of the field work, which, as a result, demanded greater flexibility in research design and methods applied in this study.

Chapter 5. Case Study One: Kyrgyzstan and the