Illustrating the use of concepts from the discipline of policy studies in energy research

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Delft University of Technology

Illustrating the use of concepts from the discipline of policy studies in energy research

An explorative literature review

Hoppe, Thomas; Coenen, Frans; van den Berg, Maya

DOI

10.1016/j.erss.2016.06.006

Publication date

2016

Document Version

Final published version

Published in

Energy Research and Social Science

Citation (APA)

Hoppe, T., Coenen, F., & van den Berg, M. (2016). Illustrating the use of concepts from the discipline of

policy studies in energy research: An explorative literature review. Energy Research and Social Science, 21,

12-32. https://doi.org/10.1016/j.erss.2016.06.006

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ContentslistsavailableatScienceDirect

Energy

Research

&

Social

Science

j ou rn a l h o m epa g e :w w w . e l s e v i e r . c o m / l o c a t e / e r s s

Original

research

article

Illustrating

the

use

of

concepts

from

the

discipline

of

policy

studies

in

energy

research:

An

explorative

literature

review

Thomas

Hoppe

a,∗

_,

_Frans

_Coenen

b

_,

_Maya

_van

_den

_Berg

c

a_Policy,_{Organisation,}_Law_&_Gaming_(POLG),_Department_of_Multi-Actor_Systems_(MAS),_Faculty_of_Technology,_Policy_&_Management_(TPM),_Delft

UniversityofTechnology,Jaffalaan5,2628BXDelft,TheNetherlands

b_Department_of_Governance_and_Technology_for_Sustainable_Development_(CSTM),_Institute_for_Innovation_and_Governance_Studies_(IGS),_Faculty_of

Behavioural,ManagementandSocialSciences(BMS),UniversityofTwente,P.O.Box217,Enschede7500AE,TheNetherlands

c_Department_of_Public_{Administration}_(PA),_Institute_for_Innovation_and_Governance_Studies_(IGS),_Faculty_of_Behavioural,_Management_and_Social_Sciences

(BMS),UniversityofTwente,P.O.Box217,Enschede7500AE,TheNetherlands

a

r

t

i

c

l

e

i

n

f

o

Articlehistory:

Received16September2015 Receivedinrevisedform1June2016 Accepted8June2016

Availableonline11July2016 Keywords: Energy Policystudies Policy Literaturereview

a

b

s

t

r

a

c

t

Withtheincreasingchallengestheenergysectorfaces,energypolicystrategiesandinstrumentsare becomingevermorerelevant.Thedisciplineofpolicystudiesmightofferrelevantconceptstoenrich multidisciplinaryenergyresearch.Themainresearchquestionofthisarticleis:Howcanpolicystudies contributetomultidisciplinaryenergyresearch,andinhowfardoesresearchonenergypolicyactually usetheconceptsofpolicystudies?Thearticlepresentskeytheoreticalconceptsfromthedisciplineof policystudiesandshowshowtheycanbeofuseinmultidisciplinaryenergyresearch.Thisisillustratedby presentingtheresultsofasystematicreviewofacademicliteratureontheuseofpolicystudiesconcepts inacademicliteratureonenergypolicyinTheNetherlands.Resultsrevealthemaintheoreticalconcepts thatwereusedaswellastheidentiﬁcationofmajorresearchclusters.Resultsalsoshowthatmany conceptsfrompolicystudieswereactuallyintegratedintoeclectictheoreticalframeworks.

1. Introduction

Energyisessentialtooursocietyasitisoneofthemaindrivers

ofhumandevelopment[1].Alleconomicsectorsrequireconstant

suppliesofenergy.Peoplecannotanddonotwanttolivewithout

accesstoenergy.Energymustbeavailableatalltimes,itmustbe

affordable,anditmustbeproduced,distributedandconsumedin

sustainable,cleanways.Hence,theenergysupplydeserves

con-stantattentionandcarefromcitizens,business,andgovernment.

InarecentpublicationinNatureBenjaminSovacoolclaimedthat

energyissuesandenergyresearchmorethaneverareinneedof

socialsciencesresearch[2].First,acallwasmadeformoreresearch

intosocialaspectsrelatedtoenergyconsumption,andsecond,for

moreresearchintothedemandsideofenergymarkets.Thetwoare

badlyneeded,becauseenergyissues,thusfar,havebeenresearched

ratherone-sidedly(technicalandeconomicresearchemphasizing

thesupplysideofenergymarkets).Moreover,itistypicallythis

typeofresearchthatispublishedinthemostprominentenergy

journals(e.g.,Energy,AppliedEnergy,EnergyPolicy).Grandsocietal

∗ Correspondingauthor.

E-mailaddress:T.Hoppe@tudelft.nl(T.Hoppe).

energyissues(suchasthetransitiontodecentralizedsustainable

energysystems),however,callforresearchthatalsopaysattention

tothesocialanddemandsiderelatedaspectsofenergymarkets.

Multi-disciplinaryresearchintosocio-technical,behavioural,

insti-tutional,governanceandpolicyaspectsofenergymarketsseems

ofimminentimportance,especiallybecausepolicymakersarein

needofvalidandreliableinformationthatsupportsevidence-based

decisionsinpolicy-makingonenergy(transition)issues.Sovacool

callsformoreattentiontothelatter,whichhementions

‘institu-tionsandenergygovernance’;issuesthatrequestcollectiveaction

intosolvingenergyproblems[3].

Withthegloballyincreasingdemandsforenergy,andtherecent

Paris COP21 climate summit agreement, the policy aspects of

energy are becoming ever more relevant. Where energy

mar-ketsfail,anddonotsolvenegativeexternalities,governmentsare

expectedtointerveneandregulatethemarkets.Allaspectshaving

todo withenergy consumption,energydistributionandenergy

productionaretoalargeextentdeterminedbygovernmentpolicy

[4].Forinstance,insomecountriesenergyconsumptionisheavily

taxed,energydistributionisonlypermittedtogridoperators,and

energyproductionandsupplyaresubjecttosevereenvironmental

policyrequirements.

http://dx.doi.org/10.1016/j.erss.2016.06.006

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T.Hoppeetal./EnergyResearch&SocialScience21(2016)12–32 13

Energypolicycanbedeﬁnedindifferentwaysandenergy

pol-icyvariesbycountry.IntheU.S.energypolicyaddressestheissues

ofenergyproduction,distribution,andconsumption.Energy

poli-ciesarebasicallyformulatedtocombatenergyproblems.TheU.S.

energypolicyActensuresthatthereissecure,affordableand

reli-ableenergyforthefuture.Energypolicymayincludemeasuresand

instrumentslikelegislation,internationaltreaties,subsidies,

incen-tives,taxincentivesandotherpolicyinstruments[5].TheEuropean

Unionusesenergypolicytomakesurethatthreeobjectivesare

met:(i)tosafeguardsecureenergysuppliestoensurereliable

pro-visionofenergy;(ii)toensurethatenergyprovidersoperateina

competitiveenvironmentthatensuresaffordablepricesfor

con-sumers;and(iii)tostimulatesustainableenergyconsumption,and

tolowergreenhousegasemissions,pollutionandfossilfuel

depen-dence[6].InTheNetherlandsenergypolicyisdeﬁnedas“theentire

setofpolicymeasuresandinstrumentstoassurereliable,

afford-ableandcleansupplyofenergycarriers,ontheshortrunandthe

longrun,tospursustainable,economicdevelopmentofeconomies

onboththemacro,mesoandmicrolevel”([4]:17).Someofthe

objectivesofenergypolicyinthethreeexamplesmentionedappear

valuedrivenand maybecontested.Insum, energy policy

con-cernsthesetofpolicyinstrumentsthatareusedtoensurereliable,

affordable,clean energyprovision,and spureconomic

develop-ment.Giventheimportanceenergypolicyhasforthefunctioning

ofeconomiesandsociety,itmightbeexpectedthatenergypolicy

wouldattractconsiderableacademicattention.Foracademic

jour-nalssuchasEnergyPolicythisismostcertainlytrue.However,one

mightwonderwhetherthisalsoappliestosocialsciencedisciplines

studyingtheverygovernmentinterventionsintheenergydomain.

Itisherethatwearguethattheacademicdisciplineofpolicy

studieshasmuchtooffertoenergystudies.Givenrecentacademic

attentiontoissueslikeenergytransition,renewableenergyand

lowcarbonstrategies,scholarsofpolicystudieswouldpotentially

havelotstostudy,analysing(differentformsof)energypolicies

andtheirimplicationsforenergymarkets,andprovidingadvice

topolicy-makersonhowto(re-)designenergypolicies.Insuch

studies,theycanmakeuseoftheabundanttheoriesofthepolicy

process1 _addressing_issues_such_as_{agenda-setting,}_policy

imple-mentation,andcapacitybuilding.Wearguethatthiswouldenrich

interdisciplinaryenergyresearch.Wefeelthatpolicystudiescan

addsomethingnewprovidingadvicetopolicymakersondesigning

energypoliciesandanalysisoftheimpactandeffectsofenergy

poli-ciesthathavebeenimplemented.Inapreliminaryexplorationwe

noticedthatalthoughajournallikeEnergyPolicyindeedincludes

articlesaddressing studies in which theauthors used concepts

relatedtotheoriesofthepolicyprocess(e.g.[7–12]).Inspectionof

thejournal’spublishedarticleshoweversuggeststhatthe

major-ityofarticlespublishedareeconomicinnature,usingquantitative

modelstoestablishtheimpactsofenergypolicies(bothexanteand

expost),withlittleroomfortheuseandelaborationoftheoriesof

thepolicyprocessandtheoriesofgovernance.2

Thisarticleoriginatesfromadebateinanacademicenergy

pol-icyresearchnetwork,3_in_which_the_authors_participate._During_the

debatethequestionwasraisedwhattheoreticalconceptsofthe

policystudies’disciplinecancontributetomultidisciplinaryenergy

research.Inadditiontheideawaslaunchedtoconducta

system-aticliteraturestudytoexplorethewaysinwhichpolicystudies’

1_Here_we_refer_to_a_broad_set_of_theories_relevant_to_{understanding}_the_policy

process.WeibleandSabatier(Eds.)(2014)provideanoverviewofkeytheoriesofthe policyprocess.However,thisisfarfromcomplete.HillandHupe[22]forinstance, showthatstudiesofpolicyimplementationalonealreadycontainanabundanceof theories.

2_See_also_Section_3.3_of_this_article_for_more_evidence_on_this_phenomenon. 3_The _research _colloquium _on _“Energy _and _climate _{governance”} _of _The

NetherlandsInstituteofGovernmentStudies.

conceptsareactuallyusedintheenergyliterature.Intakingupthe

ideathemainresearchquestionofthisarticleis:Howcanpolicy

studiescontributetomultidisciplinaryenergystudies’research,andin

howfardoesresearchonenergypolicyactuallyusetheconceptsof

policystudies?

Inthefollowingsectionweaddressthepotentialofpolicy

stud-iesformultidisciplinaryenergyresearchandarguewhichpolicy

studiesconceptsmightbeusefultoenergyresearch(Section2).In

Section3researchmethodsareaddressed.InSection4theresults

ofanexploratoryliteraturereviewtoillustratetheuseofconcepts

frompolicystudiesinenergyresearchareaddressed.InSection5

theseresultsarediscussed.WeconcludethepaperinSection6,

wherewealsosuggesthowtofurtherthe(international)academic

researchagendaontheuseofpolicystudiesresearchintheenergy

domain.

2. Introductiontopolicystudies

Inordertoexplorethepotentialofpolicystudiesforthe

mul-tidisciplinary study of energy we ﬁrst introduce policy studies

asanacademicﬁeld.Sovacool’sclaimthatsocialsciencerelated

disciplines,methods, concepts,and topics remainunderutilized

and perhaps underappreciated in contemporary energy studies

research[3]mightalsoapplytothedisciplineofpolicystudies.We

thinkthatenergy,andinparticularenergymarkets(asheavily

reg-ulatedsectorsfullwithpolicyincentives),formadomaintowhich

conceptsfrompolicystudiescanbeappliedwithagoodﬁt.The

disciplineisanuntappedsourceforenergyresearch.Inthissection

thebasicprinciplesofthepolicystudiesdisciplinearepresented

togetherwithasetofdisciplinaryconceptsandresearchquestions

thatcouldbeofgreatrelevancewhenappliedtotheenergydomain.

Althoughpolicystudiescoversafewsub-disciplinesitgoesbeyond

thescopeofthisstudytoaddresstheminlength.4

2.1. Theacademicdisciplineofpolicystudies

Policystudiesisanindependentacademicﬁeldofstudywith

academicjournalsandconferencesofitsown.Itaddressesthe

con-tent,processesandeffectsofgovernmentpolicyinitspoliticaland

societalenvironment[13].Thebasisofaneedforpolicystudies

goesbackmanycenturies.Itconcernstheneedpolicymakershave

tobeprovidedwithvalidandreliable(evidence-based)knowledge

onhowtodesignpolicyandhowtodecidewhenonehastochoose

betweenpolicyalternatives.However,itisonlysinceWorldWarII

thatsystematicacademicinterestintoadisciplineofpolicy

stud-ieshasmanifested[13],andabookon‘policysciences’[14]was

published.Thelattercalledforsystematicresearchintothe

pol-icyphenomenon,andprofessionalizationandinstitutionalization

ofpolicysciences.Inthe1950sand1960stheacademicdiscipline

evolved(e.g.,followingtheworkofDahl,LaswellandLindblom).

Duringthisperioditwasgivendifferentnames;e.g.,‘policy

sci-ence’, ‘policyresearch’and‘policyanalysis’.By the1970s three

perspectivesco-existed:policyanalysis(cf.makingthebest

deci-sion whenchoosing betweenpolicy alternatives);mega/master

policy(cf.creatingthe‘right’conditionsandguidelinesthat

pol-icy designs should meet); and meta policy (cf. policy on how

todesign (sectoral)policy;e.g.,basicpolicyrequirementsthata

4_{Sub-disciplines}_within_policy_studies_relate_to:_policy_making_and_policy

pro-cessorientedstudies(explainingpolicychangeortermination),implementation studies(addressingimplementationandeffectivenessofpolicy),governance stud-ies(addressingthewidergovernancecontextinwhichpoliciesareformulatedand implemented).Additionallytheﬁeldisdividedbetweenconstructivistresearchers thatfocusonmeaningsofpolicyphenomenaontheonehandandresearchers focus-ingonquantitativeorientedexplanatorystudiesontheotherhand(e.g.,explaining policyoutputor–outcome).

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givenpolicy–likeenergypolicy–shouldmeet)[15].Basedon

theseperspectivesa cleardistinction wasmadebetweenpolicy

analysisas(a)“analysisFORpolicy”(typicallyeconomicor

econo-metricstudiesinformingpolicymakerswhichpolicyalternativeto

choose,andpolicyanalysisas(b)“analysisOFpolicy”(perceiving

policyitselfasthelocusofresearch;payingmoreattentionto

pol-icyphases,—processes,etcetera[16]).Inthe1970sthediscipline

experiencedincreasedattentiontowards(oftencritical)

empiri-calresearchintohowpoliciesworkinpractice,inparticularwhen

implemented(cf.Wildavsky’s“Speakingtruthtopower”[17]).Asa

consequence,manytheoreticalconceptsandframeworksonpolicy

implementationweredrafted,leadingtoa“cornucopiaof

(indepen-dent)variables”explainingpolicyoutcome[18].

Sincethe1980sand1990sagreatdealoftheoreticalattentionis

awardedtotheories(andtheoreticalframeworks)tryingtoexplain

policychange;forinstancethe‘streamsmodel’[19]whichpredicts

thatthegatheringofproblem-,solution-andpoliticalstreamswill

offer‘windowsofopportunity’whichcanentailbreakthroughsin

policymaking,andresultinpolicychange.Otherwell-known

theo-reticalframeworksintheﬁeldarePunctuatedEquilibrium(which

claimsthat punctuations resultin policychange; [20])and the

AdvocacyCoalitionFramework[21].Inaddition,policy

implemen-tation(inpredictingpolicyoutcomes)hasmanytheoriesofitsown

[22],thatareusefulinunderstandinghowcertainpolicyoutcomes

cameabout,someofthesetheoriesclaimingthatcertainpolicy

net-workconditionsandmanagementofcomplexpolicynetworks(cf.

[23])wouldresultinincreasedpolicymakingqualityandbetter

(supported)policyoutcomes[24].

2.2. Therelevanceofpolicystudiestoenergyresearch

Thereare many policystudies’ conceptsthat might be

use-fultoenergypolicyresearch.Questionsonagenda-setting,policy

making,implementation,monitoringandevaluationarewithout

doubtusefultoenergy studies.A fewexamplesare: What

fac-torsexplainenergypolicychangeor—termination?Whatfactors

explainsuddenchangeinenergypolicydomains?Whattypesof

governancemodelprevailintheenergydomain?Whichsetof

pol-icyandmeasuresissuccessfulinfurtheringadoptionofrenewable

energyinnovations?Whatpublicprivatecollaborationand

net-workconﬁgurationscanbeconsideredwhenstrivingtomanage

energyinfrastructuredifferently?Howtodesignfeasibleenergy

policytaking intoaccount stakeholders’/target groupinterests?

Howispublicservicedeliveryorganizedintheenergydomain?To

whatextentisagovernancesystemsuitabletofosterenergy

tran-sition?Howdopolicystrategiescopewithmulti-actorcomplexity

intheenergydomain?Andtowhatextentdoscientistsinﬂuence

policymakingintheenergydomain(andviceversa)?

Anoverviewofpolicyframeworksthatcanhelpinanalyzing

andansweringthesequestionsispresentedinTable1.Weargue

thattheseframeworkswillsupportenergyresearchinawaythat

goesbeyondtheeconometricandeconomicorientedstudiesthat

aremorecommonlyused.Ascomparedtothelatterthe

frame-worksandconceptspresentedinTable1incorporatethehuman

andinstitutionalfactorsthatareofgreatimportanceifonewants

tounderstandthefeasibilityandeffectivenessofenergypolicy.

2.3. Howcanpolicystudies’conceptscontributeto

multidisciplinaryenergystudiesandthepracticeofenergypolicy?

Policystudiescancontributetoenergystudiesinmanyway,so

weclusterthecontributionsinthreephasesofthepolicyprocess:

i)policymaking;ii)policyimplementation;andiii)monitoringand

evaluation.

2.3.1. Contributionstoenergypolicymakingandstudieson

makingenergypolicy

Whendesigningenergypolicy,policystudiescanofferinsights

intometapolicydesignandheuristicsonhowtodesignpolicies

andprograms.It canhelptodistinguishbetweenenergypolicy

visions,goals,subgoals,policyinstrumentsandincentives.

More-over,itcanhelptodeveloplogicalgoals-meansstructurestoreveal

how certain means (instruments and incentives) contribute to

attainingparticularpolicygoals.Thisisalsoreferredtoasdrafting

what arecalled ‘policytrees’ [16],which is a heuristic usedto

design robustpoliciesandprograms. Inaddition,policystudies

havemanynewanalyticalmethodstoofferthatcanhelppolicy

makerstodesignpolicyalternatives,takingaccountofthe

multi-actor, multi-sectoral, multi-level and multi-disciplinary aspects

of particular energy domains. Examples include constructive

technologyassessment,(c.f[44]),and seriousgaming,in which

policymakersinvolvestakeholderstoengageinteractivelywith

policy,and useadvanced methodologyandanalyticstoidentify

feasible (also in terms of social and political support) policies

that can be considered for implementation. This is important

becauseadministrationsstillencountersocietalresistancewhen

implementingenergypolicy.Forinstance,windenergypolicyis

stillcontestedbecausedecision-makingonthesitingofwindparks

stillexcludeslocalstakeholders(despitethefactthatknowledge

ofthisparticularpolicyfailurehasbeenavailablesincethe1990s;

[7]). Another example is the ﬂawed implementation of smart

metersroll-outinTheNetherlands,inwhichtheindustry

domi-natedpolicymaking,excludingthemaintargetgroupofcitizens,

wholater obstructedpolicyimplementationbyﬁlingsuccessful

legalclaimsbasedonprivacylegislation,anotionthathadbeen

neglectedduringthepolicymakingprocess[45].

Policy studiescanalso assist policymakers bystressingthe

importanceof‘backwardmapping’[34],i.e.stressingthe

impor-tanceoftheparticipationoftargetgroupsandkeystakeholders

in policymakingprocesses, andviewing policyfromtheir

per-spective, not only those of thepolicy makers and economists.

Whenengagingwithparticipantspolicymakers canlearnfrom

policystudies,andusetechniquesfor‘framingdebates’,process

management[46],andnetworkmanagement[23,24]toarriveat

informedandsupportedpolicydesigns.Tocopewithproblemsof

theinvolvementofactorsfromnumeroussectors,‘boundary

span-ners’canbeusedtobridgecross-sectoralmisunderstandingand

facilitatecommunication[43].Lastbutnotleast,policystudiescan

helppolicymakers(andresearcherssupportingthem)touse

avail-ableknowledgeinthebestwaypossible.Conceptson‘boundary

work’[42,47,48]canbedeployedtoseeonhowactorsfromscience

andpolicymakinginstitutescanbestengagewitheachother.In

addition,policymakersaretypicallyinterestedin‘evidencebased

policy’andmightwanttoensuretothatpoliciesthathaveproven

bestelsewheremightalsobeapplicableintheirownjurisdiction.

Policiesonnovelenergytechnologiescanbetailoredaccordingto

theprinciplesofresponsibleinnovationsininnovativepolicy[49].

Whenaddressingenergyinfrastructuresand theinvolvementof

publicandprivateactorstherein,policymakersmightwanttouse

theknowledgeof publicprivatepartnerships(PPPs),which has

beenintensivelystudiedbystudentsofpolicystudies,e.g.[50–52].

2.3.2. Contributionstoimplementationofenergypolicy

In policy studies ‘implementation studies’ comprise a large,

widely divergent ﬁeld [22]. Such studies offer a wide array of

conceptualandanalyticalapproachesthatarerelevanttoenergy

studiesintermsoforganization,managementand

implementa-tion of programs and projects on energy issues. The discipline

offerstechniquesandmethodstomanageandoperatesuch

pro-gramseffectivelyandefﬁciently,whileensuringthatpublicvalues

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T. Hoppe et al. / Energy Research & Social Science 21 (2016) 12–32 15 Table1

Examplesofrelevantresearchquestionstotheenergydomainusingpolicystudies’concepts.

Researchquestion Theoreticalconcept Meaning Keyauthors

Howisenergypolicyformulatedandwhichfactorsareof mostinﬂuencetopolicyformulation?Whatistheroleof leadership/policyentrepreneursinenergypolicy making?

Streamsmodel,Policy entrepreneurs

Entrepreneurswho,fromoutsidetheformalpositionsofgovernment,introduce,translate,and helptoimplementnewideasintopolicymakingandpublicpractice.

Kingdon[19];Mintrom

[25]

Whataretherolesandinﬂuencesof(actor)coalitionsin formulationofenergypolicies?Towhatextentdo advocacycoalitioninﬂuencepolicy-makinginthe energydomain?

Policycoalitions Acoalitioncontains,‘peoplefromavarietyofpositions(electedandagencyofﬁcials,interest groupleaders,researchers)whoshareaparticularbeliefsystem’(advocacycoalitions;Sabatier)or ‘discourse’(discoursecoalition;Hajer),and‘whoshowanon-trivialdegreeofcoordinatedactivity overtime’.

Sabatier[21];Hajer[26]

Whichpolicyinnovationshaveoccurredintheenergy domainandhowweretheyestablishedanddiffused? Whichinnovativepolicymodelscanbeusedinthe energydomain?

Publicpolicyinnovation Publicpolicyinnovationrelateto:inventionofnewformsofpolicy,diffusionofnovelpolicy,and effectsofnovelpolicies.

JordanandHuitema

[27,28]

Whatlevelsofgovernmentareinvolvedintheenergy domain?Whatcanlocal,regionalandsupranational governmentscontributetostategovernmentpolicyin spurringenergytransition?

Multilevelgovernance Multi-level,polycentric,andmulti-layeredgovernanceemphasizethedispersionofdecision makingfromthelocaltothegloballevel.

HoogheandMarks[29]

Whattypesofgovernancesystemsprevailintheenergy domain?Howdoesthegovernancecontextofenergy policylooklikeandwhatimpactdoesithaveonpolicy outcomes?

Governance Publicgovernanceoccurs:throughnetworksinvolvingpublic-privatepartnerships(PPP)orwith thecollaborationofcommunityorganisations;throughtheuseofmarketmechanismswhereby marketprinciplesofcompetitionservetoallocateresourceswhileoperatingundergovernment regulation;andthroughtop-downmethodsthatprimarilyinvolvegovernmentsandthestate bureaucracy.Therearedifferentsetsofgovernancearrangements.

PetersandPierre[30]; Bressersetal.[31,32]

Whatistheroleofpolicynetworksandnetwork governancearrangementsinpolicy-makingand −implementationintheenergydomain?

Policynetworksand networkmanagement

Policynetworksaresetsofformalinstitutionalandinformallinkagesbetweengovernmentaland otheractorsstructuredaroundsharednegotiatedbeliefsandinterestsinpublicpolicymakingand implementation.Networksenhancetheavenuesforcopingwithcomplexproblemsthatrequire cooperationamong(publicandprivate)actors.Managingnetworkscouldincreasethenetwork’s cohesion,whichwouldleadtobetterpolicymakingqualityorimproved(joint)publicservice delivery.

Meierand‘OToole[33]; Kickertetal.[24]

Towhatextentisenergypolicytheresultofbackward mappingandco-creation(takingabottom-up perspectiveonpolicymaking)?Howcanstakeholders contributetopolicymakingonenergyissues?

Backwardmapping; co-creation

Duringpolicy-makingprocessespolicymakersalsopaysufﬁcientattentiontothenormsbeliefs andinterestsofkeystakeholdersandtargetgroups.

Elmore[34]

Whichmodesofstakeholderinvolvementinenergypolicy implementationcanbeused?

Co-production Deliveringpublicservicesormakingpolicyinanequalandreciprocalrelationshipbetween professionalsandcitizens.

BrandsenandPestoff[35]

Howispublicservicedeliveryorganizedintheenergy domainandtowhichextentarenewpublic managementprinciplespracticedindoingso?

Publicmanagementin publicservicedelivery

Managementarrangementsinpublicservicedelivery.Forexample,managementofgovernment agencieslikebusinessﬁrmsemphasizingprofessionalization,optimizationofoperationsand performance,efﬁciency,andcompetitiveness.

Ferlieetal.[36]

Howareenergyproblemsandissuesframedinpolicy debates?

Framing Framingisacognitiveprocessinwhichthemessageaffectshowpolicymakersweighexisting considerations(i.e.,politicalorientationsandrelevantattitudes/beliefs)tomakea

judgment/decision.

Hajer[26]

Howdopolicystrategiescopewithmulti-actorand institutionalcomplexityintheenergydomain?

Multi-actorcomplexityand actor-centered

institutionalism

Anapproachforresearchontheproblemofgovernanceandself-organizationonthelevelof entiresocialfields’,inparticularinfieldsrelatedtostateintervention.Thebasicassumption underlyingactor-centeredinstitutionalismisthatananalysisofstructureswithoutreferenceto actorsisashandicappedasananalysisofactor’sbehaviorwithoutreferencetostructures.Special attentionispaidtoinstitutionalrulesthatinfluencedecision-makinginso-calledactionarenas.

Scharpf[37];Ostrom[38]

Towhichextentareenergypoliciesimplemented effectivelytomeetpre-setpolicytargets?

Evaluationand implementationresearch

Assessmentandexaminationofpolicyimplementationasanexplanationof“whathappens”. “Whathappensbetweenpolicyexpectationsand(perceived)policyresults”(DeLeon,1999).

HillandHupe[22];DeLeon

[39]

Underwhatconditionscanenergypolicybedraftedthat copeswiththeproblemofspanningbetween multi-sectoraldomains,andbridgingthegapbetween scienceandpolicymaking?

Policyintegration; Boundarywork/spanning.

Theintegrationofonepolicydomain’sobjectivesintootherPolicysectors.Thisentailsa fundamentalrecognitionthatonesectoralonewillnotbeabletosecure(e.g.,environmental) objectives,andthateachsectormustthereforetakeonboardintegratedpolicyobjectivesifthese aretobeachieved.Thisalsoentailsthatsectoralandsciencevs.policymakingboundariesmustbe bridged.

Lenschow[40];Lafferty

[41];Hoppe[42];Bressers &Lulofs[43]

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performancemanagement(c.f.[53]),andisapplicabletoenergy

studieswheninformationisneededonhowtobeestablishedon

howtobestmanageandincentivizeenergyservicedelivery

(typi-callyfocussingonorganizations).Inotherapproachesthe

institu-tionalsettingaddressestheareawithinwhichmultipleactorswith

divergingagendasoperate,whiletakingaccountofthe‘rulesofthe

game’andthepolicies,incentivesandregulationsthatapply[38].

Besidesfocusingontraditionalhierarchicalmodesofgovernance

(a government governing a given target group) policy studies’

researchersfocusongovernance coordinationmechanisms that

alsopayattentiontohorizontalmodesofgovernance.Forinstance,

governmentscanincentivizegroupsofcitizenstoengageinpublic

servicedelivery,aswhenproducingenergylocallyfromrenewable

sources(aformof‘co-production’),orbeingenabledtomanagea

decentralizedenergysystemautonomously(e.g.atdistrictlevel).In

policystudiesthereisabodyaboutknowledgeonco-production

asanalternativetothemorecommonlyacceptedformsof

gov-ernmentpolicy.It addressestheprosandconsofthis approach

anddescribestheconditionsunderwhichitcanbeimplemented

effectively.Citizensdeliveringenergyservicescanalsobeviewed

asservice delivery“at arm’slengthfromgovernment” [54–57].

Anotherapproach,commonlyfoundinstudiesonlowcarboncities

andenvironmentalpolicy,involvescapacitybuilding,i.e.creating

conditions regarding budgeting, appointment of staff,

leader-ship,stafftraining,contracting,knowledgemanagement,human

resourcesandnetworking,whichsmoothstheimplementationof

(energy)policyandformsasafeguardforthelongerterm

effec-tivenessofpolicyimplementation[58–60].Finally,policystudies’

researchersconductcomparativeresearchinwhichthe

implemen-tationofpoliciesisanalyzedacrossjurisdictions(e.g.,[56,61]).The

knowledgethatisestablishedduringthisprocessisimperativefor

establishingtheempiricalbasisofevidencebasedpolicythatcan

beusedtoimprovepolicyimplementationprocesseselsewhere.

2.3.3. Contributionstomonitoringandevaluationofenergy

policy

Whenenergypolicyisimplemented,policymakersand

agen-ciesareinterestedin theirprogress,effects and whetherpolicy

implementationis inlinewithachievingpre-setpolicygoals.If

monitoringdatainformthemthatitisnottheywanttoﬁndouthow

tointensifythepolicy.Researchersinpolicystudiesandpolicy

ana-lystscanhelpthemoutonsuchmatters.However,besidesfocusing

onthetypicalmono-dimensionaloutcomevariables,andcollecting

(quantitative)dataonthese(aspolicyanalystsandeconomistdo),

qualitativeissuestypicallyalsomatterwhenexplainingwhether

policyimplementationtrajectoriesareheadingintheright

direc-tion,or when policyimplementation hasfailed. Policy studies’

researchersalsotakepolitical,societal,organisationalconditions

andmacroeventsintoaccountwhenevaluatingpolicies.

More-over,inpracticemonitoringis ofteninhibitedduetobudgetary

constraints.Insuchcasestherearenoquantitativedataavailable

thatcanbeusedtoevaluateofpolicy.Therefore,qualitative

pol-icyevaluationsarecarriedout,forinstanceontheeffectivenessof

policytargetingenergyperformanceimprovementsinindividually

ownedhousing(i.e.[12,61,62]).Moreover,whenseriousbarriers

obstructpolicyimplementation,andproblemsandsolutionsare

notclear,analysisoftheproblem’sstructuringisnecessary.

Fur-ther,problemsthatareratherabstractandhavelongtermgoals

(suchasestablishingalowcarbonenergytransitionby2030)and

might bedifﬁcult to grasp, go beyondtechnical and economic

dimensions,andhavea‘wicked’character,whichrequiresdeeper

problemstructuringandgovernanceassessment(i.e.[32,63,64]).

2.3.4. Contributionstomultidisciplinaryenergystudies

Recently,researchprogramsonenergyhavecomeincreasingly

tofocusontheimplementationofenergyinnovationsorcontribute

toongoingenergypolicies.InprogramslikeHorizon2020bythe

EuropeanUnion,butalsoin nationalenergyresearchprograms

this hasbecome increasinglymanifest. Whereassuchprograms

typicallyfocusoninnovationanddiffusionofpromising energy

technologies(e.g.smartgrids,energystoragetechnologiesor

near-energy-zerohousing),thefocusisnolongerentirelyontechnology

andeconomy.Infact,theprogramsemphasizenichemarket

devel-opmenttofosterthewiderdiffusionofthesetechnologies.Inorder

todoso,onealsoneedstofocusonsettingthepre-conditionsto

makesurethatdiffusionprocessesprosper.Andthismeanscoping

withsocialacceptance,demandcreation,capacitybuilding,

gover-nancemechanisms,andﬁnetuningofinnovationpolicies.Andthis

iswherepolicystudiesbecomerelevanttotheseprograms.Policy

studiesofferconceptsandanalyticaltoolsthatcancontributeto

policymaking(gettingparticularenergyinnovationsonthepolicy

agendasothattheinstitutionalandsocietalconditionsareoffered

thatallowforfurtherinnovationanddiffusion),implementation

ofpolicytosupportinnovationand diffusion(helpingout with

managementandoperationalissuesregardingimplementationof

policytosupportinnovationanddiffusion),and monitoringand

evaluationofpolicytosupportinnovationanddiffusion(offering

insightsintoprogressongoalattainmentandsideeffects,andusing

thesedatatoevaluateenergypoliciesthatareimplemented,and

re-intensifythesepolicies).

Althoughitlookslikepolicystudieshavemuchtoofferto

mul-tidisciplinaryenergyresearchevidenceisrequiredtosupportthis

claim.Inthefollowingsectionsweseektoprovidetheevidenceby

presentinganillustrativecase.

3. Methods

Toexplorethepotentialofpolicystudiesformultidisciplinary

energyresearchanexplorativeliteraturestudywasconducted.The

literaturestudywassub-dividedintotwoparts:apre-analysisof

159articles(whichwecall‘StudyA’)andanin-depthanalysisof42

articlesthatwereconsideredparticularlyrelevantfromtheviewof

analysisofpolicy(whichwecall‘StudyB’).Articleswereconsidered

relevantto‘StudyB’whenthefocusofresearchwaspolicy(or

pol-icyprocesses;“analysisOFpolicy”)andwhenparticulartheoretical

conceptsfromthedisciplineofpolicystudieswereused.

3.1. Caseselection

Theliteraturestudyaddressedjournalarticlesonenergypolicy

inTheNetherlands.Thereareseveralargumentsforselectingthis

country.Albeitsmallinsize,andwithoutanabundanceofenergy

sources(excludingnaturalgas)thecountryusesa relativelarge

amountof energy.TheNetherlandshasarich historyofenergy

policyandenergysub-systemdynamics(see,e.g.[2]).Moreover,

thecountryishometosomeof themainenergy companiesin

theWorld(e.g.,Shell),andisafrontrunneringastechnology.For

a longtime thecountrywasseenas pioneerinsupportingthe

useof renewableenergy (albeitnot anymore).In addition,The

Netherlands experimented with many innovative policies (e.g.

withlongtermmultilateralagreementsstimulatingindustriesto

useenergyinefﬁcientwaysortodecreaseGreenhouseGas

emis-sions[10,65]).Despitesomeofitsuniquecharacteristicsinterms

oftheDutchenergymarkets’proﬁleandenergypoliciesthereare

reasonstobelievetothatTheNetherlandsisnotauniquecaseand

hascharacteristicsincommonwithotherEuropeancountries.For

instance,thecountryissubjectedtosupranationalEUenergypolicy

(andhenceimplementsEUenergydirectives),itsenergymarketis

heavilyregulatedandcloselyconnectedtootherenergymarkets

inEurope[66].Moreover,havinganeconomythatismostlybased

(7)

comparable to many other small and medium-sized countries

havingacomparableeconomicproﬁle.Inthepastenergypolicy

has received plentiful attention in the academic literature, in

particularpoliciessuchastheDutchenergy transitionprogram

(2000–2011;[67–72]). However,at the time (especially during

the1990s) The Netherlands was viewed ashaving progressive

policy,and servedasarole modeltoothercountries.Thesame

appliedroughly toa broaderset ofenvironmental policiesand

programs that were implemented [73]. Since the 1970s a rich

bodyofpoliciesandinstitutionsintheenergydomainhadcome

intoexistence.Notsurprisingly,avastbodyofknowledgeonthe

matteremerged.Thelattercanbeusedforsecondaryanalysisof

thepolicystrategiesandinstrumentsused.Itisforthesereasons

thatwedeemitrighttoselectTheNetherlandsasacasestudyfor

theexplorativeliteraturestudy.

3.2. StudyA:pre-analysisof159articles

Datacollectionforthesystematicliteraturereviewwasdone

bysearchingrelevantrefereedinternationalacademicjournal

arti-cles(inEnglish5₎_available_through_the_online_Scopus _database.

Selection criteria were the presence of a combination of

key-wordscoveringtheﬁeldofenergypolicyinTheNetherlands(see

AppendixC).Inanalysinganarticle’sfocus,arangeofkeywords(e.g.

policy,policies,government,governance,implementation,and

reg-ulationtocover“policy”)werecheckedinthearticle’stitle,abstract

andkeywords.180journalarticlesweregathered.However,

fol-lowinganin-depthcheck21wereexcludedastheydidnotqualify

bymatching ourselection criteria (e.g.using only “policy” and

“Netherlands”and nothaving“energy”inthetitle,abstractand

keywordscombination).Afterthissecondselection,aﬁnaldataset

of159journalarticleswasestablished(SeeAppendixA).Theywere

treatedusingapre-deﬁnedcodingscheme(AppendixD).

Keytextsfromofthejournalarticles(cf.titles,abstracts,key

words)werecodedbasedonatentativelistoftenclusters.The

codescoveredawiderangeofanarticle’scharacteristicstopermit

athoroughanalysistoidentifyphenomenaandtrendsofacademic

interest. The coding wasan iterative process. New codes were

addedduringthecodingphaseandthesewerealsoimplemented

retroactivelyaswealsocheckedhowpreviousjournalarticlesin

thedataset “scored” on thenewly added code. Toanalyse the

assignedcodesadatasetwasestablishedusingMSExcel.Next,the

datasetwasexportedtoallowstatisticalanalysisusingSPSS.This

resultedinabinarydatamatrix(withjournalarticlesinrowsand

codesincolumns).Dataanalysisconsistedofdescriptivestatistics

percodingcluster,inparticularrawandrelativefrequencies.

3.3. StudyB:analysisofthesub-setof42articlesrelevantto

policystudies

Afteranalysingthe159articles,aselectionofarticleswithhigh

relevancetothepolicystudies’literaturewasmade.Formanyof

thearticlesthismeantanalysingthearticlesinextensorto

deter-mineitssuitabilityforthedisciplineofpolicystudies.Ajournal

article was considered “relevant to studies on the analysis OF

policy”whenitsfocusconcernedpolicyandwhenitusedconcepts

fromthe academicdiscipline of policy studies.More generally,

attributingthiscodetoanarticlewasdeemedappropriatewhen

5_Initially,_inclusion_of_Dutch_academic_journal_articles_on_energy_policy_was

alsoenvisaged(withtherestrictionthatonlyacademicjournalarticlesweretobe reviewed).However,notmanywereretrieved.Arelatedproblematicissuewasthat keyDutchacademicarticlesdidnothavetheirrepositoriesavailable(e.g.thejournal of‘Bestuurskunde’).Onlyveryrecentvolumesweremadeavailablewhichrestricted thesearchforarticles.

thearticlecouldbeviewedascontributingtoongoingdebatesin

theacademicdisciplineofpolicystudies.Thisresultedinaﬁnal

selectionof42articlesthatwereconsideredsuitableforfurther

in-depth analysis. Having identiﬁed 42 articles as “relevant to

studies onthe analysis of policy”, this meant that 116journal

articles(73%) wereviewedasstudieswithanotherdisciplinary

background(most of themhaving adisciplinary backgroundin

economics,econometricsorengineering).

42articles(titles,abstracts,keywords,and keyremarks

con-cerningconceptualandmethodologicalcontent) werecoded.In

addition,furtherroomwasneededfor conceptualinsights,and

hencetheadditionofcodestothepre-establishedlisttopermit

a moredetailedcodingof datathantheprocess adoptedin the

ﬁrstpartofourresearch.Inthissenseweusedelementsfromthe

“methodofconstantcomparison”[74]tosupporttheanalysisuntil

a strongtheoretical understanding of the phenomenon “policy

intheenergydomain”hademerged.Comparedtotheﬁrstpart

oftheresearch,contentrelatedissues, theoryandmethodology

wereemphasised.For’studyB’twoclustersofcodeswereadded

originatingfrom thepolicystudies’discipline:(i)“phaseof the

policyprocess”(agenda-setting,policy-making,implementation,

monitoringandevaluation);and(ii)“policyanalysistype”

(“anal-ysisOFpolicy”,and“analysisFORpolicy”).Thelistofcodesused

fortheanalysisofStudyB(aswellasthecodingfrequencies)is

presentedinAnnex2.

Afterthecodingprocessa“mixedmethods”researchapproach

wasusedtosupporttheidentiﬁcationofkeytopical,theoretical

and methodological issues and clusters. QDA Miner4.1.15[75]

wasusedfordataanalysis.Thisincludedcodingfrequenciesand

clusteranalysis. Thesetwo analysesweredeemednecessary to

copewiththecomplexityofanalysingtextsfrom42articles,and

toestablishclustersandpatterns.Codingfrequenciesaddressed

theuseofa givencodepertextﬁle(hencewedidnotanalyse

how oftenparticular codes werementioned in single texts).In

order to identify clusters (topical, theoretical or

methodologi-cal),weanalysedcodeco-occurrences.A“co-occurrence”issaid

to occurwhen two codes appear in thesame document. First,

clusteranalysiswasconductedtoanalysecodeco-occurrenceof

topicalcodesonly.Second,thiswasdoneforbothtopicalcodes

and theoretical codes. Third, this was donefor theoretical and

methodological codes. Finally, this wasdonefor all codes. The

mainreasonforanalysingclustersusingdifferentsubsetsofcodes

wastheambitiontoseekconﬁrmatoryevidence,and hencethe

robustnessofclusters.Besidesanalysingcodeco-occurrence,we

alsoanalysed case similarity,i.e., similarityof articlesin terms

of the distribution of codes that were assigned. ‘Similarity’ is

represented byJaccard’scoefﬁcient, which is calculated froma

fourfoldtableasa/(a+b+c),wherearepresentscaseswhereboth

itemsoccur,andbandcrepresentcaseswhereoneitemisfound

butnottheother.Themoresimilarthetwocasesareintermsof

thedistributionofcodes,thehigherthiscoefﬁcientwillbe[76].

4. Results

Thissection presentstheresultsof thesystematicliterature

reviewofDutchjournalpublicationstoseeinhowfarthemain

trendsintheresearchonenergypolicyactualusesconceptsof

pol-icystudies?Itaddressesinhowfarenergypolicyresearchinenergy

studiesactuallyuseconceptsofpolicystudiesin energystudies

research?

4.1. Resultsofthepre-analysisof159articles(‘StudyA’)

4.1.1. Keycharacteristicsofthesetofarticles

Fig.1showshowthepublicationofjournalarticleshasevolved

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Fig.1.Yearofpublication(inthree-yearintervals).

Fig.2. Overviewoftheoreticalapproaches.

Table2

Academicjournalswithmostfrequentpublication.

Academicjournal Numberofjournalarticles

EnergyPolicy 44

BiomassandBioenergy 6

JournalofCleanerProduction 6

EcologicalEconomics 4

Energy 4

EnergyEconomics 4

InternationalJournalofGreenhouseGasControl 4

wasobserved,inparticularbetween2003and2010.Morerecently, thisincreaseappearstohavestabilised.Publicationspeakedinthe 2007–2010period,with56journalarticlespublished.Thismeans forthecontributionsofpolicystudiestomultidisciplinaryenergy researchthatmuchofthecontributionisrelativelyrecent.

Themajorityofacademicjournalarticlesretrievedthrough Sco-puswerepublishedintheinternationalacademicjournalEnergy Policy(44 of159;28% ofallpublications). Table2presentsthe

Top7mostfrequentlyobservedjournalsofthearticlesthatwere

retrieved.Intotal,the159journalarticleshavebeenpublishedin

68differentjournals.TheimpressionfromTable2isthatEnergy

Pol-icyisthekeyacademicjournalinwhichjournalarticlesonenergy

policyinTheNetherlandshavebeenpublished.Only11articles

werepublishedinacademicjournalsthatcanbeclassiﬁedas

typ-icalpolicyStudiesjournals:EnvironmentalPolitics(3);Journalof

EnvironmentalPolicy&Planning(3);Policy Sciences(2);

Environ-mentandPlanningC:GovernmentandPolicy(1);PolicyandSociety

(1);andPublicAdministration(1).Thismeansthatstudiesonenergy

policyareweaklyvisibleinpolicyspeciﬁcjournals,andarefound

mostlyinmultidisciplinaryjournalsandapplied(energy)journals.

4.1.2. Theoreticalperspectivesused

In50journalarticles(32%ofthetotalsetof159articles)noclear

theoreticalframeworkswereactuallyused.Themostfrequently

usedtheoreticalperspectiveswere:Transition Management(10

counts;6%ofthetotalpopulation)andInnovationSystems(nine

counts;6%).Bothshouldbeseenastheoreticalframeworksfrom

thediscipline of Transition Studies. Apartfrom these

multidis-ciplinaryframeworkscommonlyusedtheoreticalframeworksin

policystudiesorsuchastheAdvocacyCoalitionFramework[21],

InstitutionalAnalysisDesignFramework[38]orPunctuated

Equi-librium[20],werenotobserved.6_All_in_all,_except_for_the_Transition

Studiesframeworks(TransitionManagement,InnovationSystems,

MultilevelPerspective,StrategicNicheManagement),few

theoret-icalframeworkswereusedmorethanonce(Fig.2).

6_In_addition,_political_science_and_legal_sciences_were_hardly_observed_among_the

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Fig.3. Overviewoftopicalfoci.

Fig.4. Overviewofinstrumentalfoci.

4.1.3. Topicalfociused

Anotheraspecthowpolicystudiesconceptsrelatetothepolicy

studies’disciplinearetheissuesthesestudiesfocuson.Thirteen

policyissueswereestablishedonwhichthe159studiesfocused

(see Fig.3).These issues range fromrenewable energy,

decen-tralisation,liberalisation,waste,shalegas,tocarboncaptureand

storage(seeTable2).Mostfrequentlyobservedtopicalissueswere

energyefﬁciency(55counts;35%ofthetotalpopulation),

renew-ableenergy(42counts;27%)andenergytransition(30counts;19%).

Climatechangemitigationwascoveredbyonly10journalarticles

Inmanyofthesepolicyissuesquestionsonagenda-setting,policy

making,implementation,monitoringandevaluationarerelevant.

4.1.4. Instrumentalfociused

Animportantaspectoftheextentthatpolicystudiesconcepts

areactuallyusedinDutchenergystudiesresearchistheroleof

pol-icyinstruments.Thepolicyinstrumentmostfrequentlyaddressed

inthereviewedjournalarticleswaslegalstandards–orregulation

moregenerally–withelevencounts(7%ofthearticlesthatwere

reviewed).Secondarebothcovenants/voluntaryagreementsand

energylabelling.Eachofthetwoinstrumentscategorieshadbeen

addressedin10journalarticles(about6%)(Fig.4).

4.1.5. Outcomeindicators

Anotherimportantaspectonhowpolicystudiesconceptsrelate

tothepolicystudies’disciplineisthefocusoftheresultsofthese

studies.Forinstance,whethertheresultspresentedinofthejournal

articles (potentially) contribute to agenda-setting, policy

mak-ing,implementation,monitoringandevaluation?Theoutcomesin

mostofthereviewedjournalarticlesrelatetopolicymaking;e.g.

manycasesareﬁnalizedbymentioningadviceforpotential

adop-tioninpolicymaking.Themostfrequentlyobservedclassiﬁcation

ofresultsconcerntheeffectsof(agiven)policy(51counts;32%),

attemptstoexplainthedifferencesintheimplementationofa

pol-icyissueinacertaincontext(e.g.regionalornationallevels)(41

counts;26%),ortheadvicefororagainstaparticularpolicy(37

counts;11%).Inthecaseofthedifferencesinimplementation,this

wastypicallydoneusingacomparativeresearchdesign(Fig.5).

4.1.6. Sectoralfociused

Anotheraspecthowpolicystudiesconceptsrelatetothepolicy

studies’disciplinearethesectorsthesestudiesfocuson.Forthis

studybotheconomicsectors(e.g.agriculture,energy,transport),as

wellashouseholds(thisalsoincludestheindividuallevel),andthe

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Fig.5. Overviewoftheoutcomeindicators.

Fig.6.Overviewofsectoralfoci.

Theanalysisrevealedthatthejournalarticlesmostlyfocusedon

industrywhichalsoincludedﬁrmsatthemesolevel(39counts;

25%ofthetotalpopulation),thepublicsector(20counts;13%)and

thebuiltenvironment (17counts;11%).Households(13counts)

however,canalsobecredited tothebuiltenvironment(hence,

builtenvironment accumulatesto30countsor 19%ofthetotal

population).

4.2. Resultsofthein-depthanalysisof42articles(‘StudyB’)

The in-depth study sheds more light at the questions how

thejournalarticlescontributetomultidisciplinaryenergystudies

researchandhowtheyrelatetothepolicystudiesdiscipline.The

resultsarepresentedforcodingfrequencies,codeco-occurrence

clusters,andcase(article)similarityclusters.Thecodesmentioned

mostfrequentlyarepresentedinAppendixB.

Theresultsoftheclusteranalysisforcodingco-occurrencesare

presentedinFig.6.Howdothepolicystudiesrelatetothepolicy

studies’discipline?Theanalysisdiscernedsixclusters(fourlarge

clusters,twosmallclusters):

iClusterI(Bordeauxred)typicallyaddressingpolicy

implemen-tation (with assessment of policy instruments), governance

structures,energyefﬁciencysituatedinthebuiltenvironment

orindustry(e.g.,[77,10,12]);

iiClusterII(yellow)addressingexplorativestudiesonlocaland

regionalstudiesaddressingclimatechangemitigationandissues

ofcapacitybuilding(e.g.,[59]);

iiiClusterIII(green)addressingpolicymakingprocessesinenergy

transition(e.g.[68–70]);

ivCluster IV(darkblue)addressingliberalisation,energy

infras-tructureandgreenelectricity(e.g.,;[78,79]);

vClusterV(purple)addressingsocialacceptanceandinstitutional

structuresthathavetodowiththeconstructionofwindparks

(e.g.,[80,9]);and;

viCluster VI(pink)addressinginterpretativestudiesonframing

or‘boundarywork’asanexusbetweenscienceandpolicy,and

appliedtotheenvironmentaldimensionofenergypolicy,such

asshalegasproduction(e.g.[47,48])(Fig.7).

Informationontheresultsoftheanalysisonstructural

similar-itiesbetweenarticlesispresentedinAppendixE.

4.3. Mainlessonsconcerningtheuseofpolicystudiesconceptsin

energyresearch

Theresultsrevealthatalthoughtherehasbeenanincreasein

energypolicystudiesacrosstheyearsonlyasmallpartconcerns

studiesthatareactuallyanalysingpolicy(cf.meaning“analysisOF

policy”).Surprisingly,itisratherresearchersfromotherdisciplines

–inparticulartransitionstudies,economicmodellersand

environ-mentalscientists–whowereactiveinthisﬁeld.Moreover,theway

inwhichinsightsofthepolicystudiesdisciplinewereused,reveal

abroadvarietyintermsoftheoryand conceptsused.Phasesof

thepolicyprocessmostlyaddressedinthearticleswereconcerned

thepolicymakingandtheimplementationphases.Relativelylittle

attentionwasawardedtoagendasetting.Attentionto

implementa-tionandevaluationofpolicymeantafocusonpolicyinstruments,in

particularregulation,economicincentivesandmultilateral

agree-ments.Roughlyonefourthofthe(entiresetof159)articleshadthe

objectivetoadvisepolicymakersonpolicyalternatives.

Theoreticalframeworksfromthepolicystudiesdisciplinewere

onlysparselyused.TheonesmostusedactuallyderivefromSTS

andtransitionstudies(respectivelyTransitionManagementand

InnovationSystems).Perhapssurprisingly,hardlyanyofthemajor

policystudiestheoreticalframeworkswereused.Someofthe

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Fig.7. Graphicaldisplayofclustersforco-occurrencesusingallcodes(clustersaredistinguishedbycolour).

concern:boundarywork[42],contextualinteractiontheory[31],

thepolicyarrangementsframework[81],policynetworks[24],and

capacitybuilding[82].Manyeclectic—often‘standalone’-

frame-workswerefoundthough,usingoneormoreof thetheoretical

conceptsderivingfrompolicystudies.Someoftheseconcepts,like

‘multilevelgovernance’,appearinstudiesthat havebeen

classi-ﬁedasbelongingtootherdisciplines.Thesegovernanceandpolicy

concepts appear to have been ‘borrowed’ or incorporated into

integratedtheoreticalframeworks,inparticular transition

man-agementframeworks,cf.[83].

Theanalysisrevealedfourmajorresearchclusters,eachhaving

a different focus on conceptual and topical issues: i) a

clus-teraddressingpolicyimplementation(withassessmentofpolicy

instruments),governancestructures,energyefﬁciencysituatedin

thebuiltenvironmentorandindustry;ii)aclusteraddressing

pol-icymakingprocessesonenergytransition;iii)aclusteraddressing

socialacceptanceandinstitutionalstructuresthathavetodowith

windenergy;andiv)aclusterconcerninginterpretativestudieson

framingand‘boundarywork’appliedtotheenvironmental

dimen-sionofenergypolicy.

Finally,only11out of159articleswerepublishedintypical

policyandgovernancejournalsindicatingsomewhatofalackof

disciplinaryinvolvement.Articles weremoreoftenpublishedin

applied(energy)journals.

5. Discussion

Giventheresults,onemaywonderwhypolicystudiesconcepts

areonlyusedtoalimitedextentintheenergydomain.Theremay

bepossiblereasonsforthis‘neglect’byscholarsofpolicystudies.7

Whattheanalysisrevealedwasthatmanyoftheseconceptswere

7_For_instance,_policy_studies’_researchers_might_want_to_stick_with_the_issues_and

domainsinwhichresearchistraditionallyconducted,suchashealth, environmen-talhazards,watergovernance,educationandsafety.Anotherreasonmightbethat scholarofpolicystudiesfeelthattheenergydomaintraditionallyfallsoutsidetheir scopeofresearchastheyperceiveenergymoreasthedomainofeconomistsand naturalscientists.

eventuallyembeddedorintegratedintomoreholistictheoretical

frameworks; on the one hand in eclectic frameworks, and on

the other hand in integrated frameworks originating fromSTS

and transition studies (cf. transition management8 _[67]_, _and

technology speciﬁc innovation studies9_[84]_). _Although _policy

studies’conceptshaveaddedvalue(seeSection2),fromamore

disciplinary standpointonecanwonder whethersuchconcepts

necessarily need to end up integrated into (another) holistic

framework.Thiswouldalsopointtotheissueofwhydisciplinary

conceptsarehardlyeverappliedintheirpure(original)formin

theenergydomain.Wewonderwhythishappenssinceweargue

thatpolicystudiesoffermanynewconceptsfromwhichenergy

research might potentially beneﬁt, even when appliedin pure

form(cf.notmergedorintegratedintoholisticframeworks).

Inansweringthequestion“Howfardoesresearchonenergy

policyactuallyuseconceptsofpolicystudies?”weneedtoconnect

someoftheempiricallyidentiﬁedresearchclusterstotheoretical

conceptsfrompolicystudies.Aﬁrstcluster(clusteriinSection4.2)

focusesmostlyonpolicyimplementation.Researchersinthis

clus-termightwanttoconsiderusingtheoreticalframeworksfromthe

ﬁeldofimplementationstudies.Inaddition,theymightwantto

considerassessingthegovernancesystemssurroundingthe

poli-ciesthatareimplemented.Forinstancebyusingcontextual

interac-tiontheory[31],thegovernanceassessmenttool[32],public

man-agement[36],orexploreotherusefultheoriesinimplementation

studies(cf.[22]).Asecondcluster(clusteriiinSection4.2)presents

researchonpolicymakinginenergytransitionissues.Besides

tran-sition management, one couldalsoconsider using someof the

theoreticalframeworksonpolicymaking(e.g.discoursecoalition

framework, advocacy coalition framework, punctuated

equilib-8_Transition_Management_uses_concepts_from_policy_studies,_e.g.,_the_‘phases

model’ofpolicymaking,‘wickedproblems’,ProcessManagement,Network Man-agement,interactivepolicymaking,multilevelgovernance,multi-actorcomplexity, framingofpolicydebates(authors’ownobservationin[67,12–16]).

9_Negro_et_al._used_and_integrated_notions_from_Sabatier’s_Advocacy_Coalition

FrameworkintheirconceptualframeworkonTechnologySpeciﬁcInnovation Sys-tems(TSIS)[84].

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rium,orAllison’sstreamsmodel).Athirdcluster(clustervinSection

4.2)mightbeneﬁtfromusingtheoriesonbackwardmapping,

co-creationofwindparkprojectpolicyplansandperhapsdiscourse

analysis(inordertomaptheargumentsdifferentactorshavefor

andagainsttheestablishmentofwindparks).Afourthcluster

(clus-terviinSection4.2)mightbeneﬁtfromusingtheoriesexplaining

policymakingprocesses,suchasdiscourseoradvocacycoalitions.

In addition‘boundarywork’ canbeused, stressingtherelation

betweenscientistsandpolicymakers.Insomeofthearticlesthat

arepartofthiscluster,thiswasinfactalreadydone(e.g.[48]).

Thefourclusterspresentwaysinwhichpolicystudies’concepts

havebeenused,butcouldalsobeofuseinmultidisciplinaryenergy

research.Theseconceptswereusedtofurtherourunderstanding

of:policymaking in energy transitionissues on both thelocal

and national level (also addressing the relationship between

knowledgeinstitutesandpolicymakers);andmanagerialissues

andevaluationofenergypolicyimplementation.Thisisimportant

toaddressthesocietalandinstitutionalreasonswhy(oftenoverly

ambitious)energypoliciesfail,andidentifytheparticularreasons

whythis happened in particularways. Based on theseinsights

newmultidisciplinary researchagendasontheimplementation

and‘rollout’ofenergyinnovationscanbedeveloped,beneﬁtting

fromtheinsightsfrompolicystudies,topreventandlearnfrom

shortcomings that were experienced in the past. Experience,

however,showsthatthisstilldoesnothappen,asillustratedby

thecurrentNIMBY-problemsfaced bytheDutchon-shore wind

energypolicy,indicatingthatpolicymakersdidnotlearnfromthe

failed(butwelldocumented)approachesinthe1990s(cf.[7]).

6. Conclusion

InfollowingSovacool’scalltousemoresocialsciencestudies

inenergyresearch[2,3],thisarticlesetouttoexplorethe

poten-tialaddedvalueofthepolicystudiesdisciplinetomultidisciplinary

energyresearch.Thecentralresearchquestionwas:Howcan

pol-icystudiescontributetomultidisciplinaryenergystudiesresearch,

andinwhichwayshasthisbeendonethusfar?

The discipline of policy studies offers a wide array of

con-cepts,heuristicsandmethodsthatcanbeofhelptoassistenergy

researchersandenergypolicymakersin theirendeavours.

Cur-rently,an increasingnumber of energystudies nolongerfocus

only on energy technology and energy economy but also on

issuesliketheimplementationofenergyinnovationsinsocietyor

establishingan‘energytransition’inacertainjurisdiction.Given

theimportance of energy as a resource, and the geographical,

socialandinstitutionalconditionstowhichenergyvaluechains

aresubjected,decision-andpolicymakingonenergyissuesare

typicallyhighlypoliticized.Political,socialandinstitutional

con-ditionmustalsobetakenintoaccountifoneistounderstandthe

impactandsideeffectsofenergypolicy.Inthesamevein,inenergy

policymaking—which is traditionally thedomain of engineers,

economistsandpolicyanalysts,knowledgeoftheseissuesisalso

increasinglyrequired,sincethesocietyinwhichenergypolicies

aretobeimplementedbecomesevermorecomplex,andenergy

policyhastoacknowledgetheinterestsandagendasofmultiple

stakeholders in society, and safeguard public interests. Energy

researchersand policymakersarelookingformodelsandmeta

policiesthatprovideguidelinesonhowtodothis.Andthisiswhere

policystudiesare relevant for multidisciplinaryenergy studies.

Anotherrelevantissueforenergyresearchersisthediffusionand

scalingofenergy innovations,which typicallycallforparticular

workable governance modes, programs and policies that are

requiredtoimplementthoseinnovationssuccessfullyinsociety.

Policy studies, in that regard, have a lot to offer, in particular

regardingknowledge(andresearchagendas)onpolicydiffusion,

evidence-basedpolicy,andresponsibleinnovationpolicy.In

addi-tion,ithasalottoofferintermsofmethods,conceptsandtools

thatcanbeusedtoorchestrate,frame,andsupportpolicymaking

processes.Table1presentsresearchquestionsthatresearchersand

practitionersofenergypolicymightconsiderrelevant,andwhere

the discipline of policy studies offerstheoretical concepts that

canhelpanswerthoseresearchquestions.Moregenerally,these

questionsaddressissueslikethedesignoffeasiblepolicy,analysis

oftheimpactandeffectsofpolicy,co-creationwithstakeholders

inenergypolicymaking,therelationbetweenscienceandpolicy

inpolicymaking,andanalysisofgovernancemodelsandsetsof

policymeasuresin theenergy domain(also inaddressingwhat

workswhereandhow?).

Therelevanceofconceptsfromthedisciplineofpolicystudiesto

(multidisciplinary)energystudieswasillustratedbytheresultsof

aliteraturestudyoftheuseofpolicystudiesconceptsinthecaseof

energypolicyresearchinTheNetherlands.First,onlyasmallpart

oftheresearchonenergypolicy(27%)wasidentiﬁed asstudies

fromthedisciplineof policystudies(orrather:analysisof

pol-icy).Second,awidearrayofempiricalandtheoreticalapproaches

wereused.Attentionwasonbothpolicymaking,implementation

andtheevaluationofpolicies,andinvolvedabroadsetofpolicy

instrumentsandstrategies.Theoreticalframeworksfromthepolicy

studiesdisciplinewere,however,onlysparselyusedina

mono-theoreticalsense.Manyeclecticmodelsandintegratedframeworks

(alsofallingunderthescopeoftransitionstudies)wereretrieved,

usingoneormoreofthetheoreticalconceptsoriginallyderived

frompolicystudies.Theanalysisalsorevealedfourmajorclusters

onanalysisofpolicy:i)aclusteraddressingpolicy

implementa-tion(withassessmentofinstrumentsinenergypolicy),governance

structures,focusingonenergyefﬁciencyinthebuiltenvironment

andindustry;ii)aclusteraddressingpolicymakingprocesseson

energytransitionatstatelevel;iii)aclusteronsocialacceptance

andinstitutionalstructuresthathavetodowithwindenergy;and

iv)aclusterofinterpretativestudiesonframingor‘boundarywork’

appliedtotheenvironmentaldimensionofenergypolicy.

Finally,ascomparedtootherdisciplinesinthesocialsciences,

likeeconomicsandtransitionstudies,itappearsthatpolicystudies

researchershavefailedtopayattentioninempiricalworktothe

domainofenergyascomparedtootherdomains(suchashealth

care).Wefeelthatthereismorepotentialinthisregard.Theresults

providespaceforadebateamongresearchersofenergypolicyon

howanagendaforfutureresearchonpolicyaspectsofenergy

sys-temscanbedevelopedfurther.Giventheresultsoftheanalysis,it

canbearguedthatalthoughinterestingdisciplinarycontributions

werefound,moreattentiontothedomainofenergypolicywould

bewelcomefromtheacademicdisciplineofpolicystudies.

Forreasonsofitseconomic,geopoliticalproﬁle,itsexperience

withinnovationsinenergypolicy(i.e.,energytransition),aswell

as theavailability of a body of literatureon energypolicy and

thepresenceofenergypolicyresearchers,wearguethatlessons

fromtheDutchcase arealsoimportanttoresearchagendason

energypolicyinothercountries.Toconclude,wewanttostress

that conducting systematic literature reviews, suchas the one

presented here,would alsobeusefulwhen conducted inother

countries.Besideslearningfromtheresultswithinagivencountry,

this would have the beneﬁt of buildinga data set that would

permitcomparativestudiestobeconductedandﬁndoutwhether

thepatternsandconceptsdiscernedintheanalysisoftheDutch

casealsoappearinothercountries.

Acknowledgments

WeliketothankthemembersoftheNIGresearchcolloquium

on“Energyandclimategovernance”,ProfessorLarryO’Toole,and

fourindependentreviewersfortheirvaluedcommentstoprevious

(13)

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