Renewable and Sustainable Energy Reviews 59 (2016) 1493–1503

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Renewable and Sustainable Energy Reviews

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Small-scale hydropower in the : Problems and strategies of system builders

Tanja N. Manders n, Johanna I. Höffken, Erik B.A. van der Vleuten

School of Innovation Sciences Technology Innovation, Society, Eindhoven University of Technology, De Zaale, 5612 AJ Eindhoven, The Netherlands article info abstract

Article history: Small-scale hydroelectricity (hydel) currently receives worldwide attention as a clean, green, and socially Received 7 May 2015 just energy technology. People generally assume that downsizing hydel plants reduces harmful impacts. Received in revised form However, recent debates call for careful circumspection of small hydel’s environmental, social, and 11 December 2015 economic sustainability, if we are to avoid conflicts, costly setbacks, and hype-disappointment cycles. Accepted 17 December 2015 This paper provides such a circumspect case for the Netherlands, an interesting country thanks to its highly institutionalized water sector. We highlight the importance of studying hydel power as part of a Keywords: larger, interconnected Large Technical System. For selected cases, we identify what tensions small hydel Small-scale hydropower ‘system builders’ are facing and discuss which strategies they use to address these problems. We dis- Sustainable energy tinguish ‘yield to fitin’, ‘confirmative policy focus’, and ‘hydel legitimation’ strategies for the develop- Large technical systems ment of small-scale hydropower in the Dutch highly-institutionalized wet network. Social aspects of sustainable energy & Sustainability transitions 2016 Elsevier Ltd. All rights reserved.

Contents

1. Introduction...... 1494 2. Theory and approach...... 1495 3. Small-scale hydel sustainability vision and case selection ...... 1496 4. Hydropower problems in The Netherlands ...... 1497 4.1. The logics of location...... 1497 4.1.1. Roeven-Nederweert ...... 1497 4.1.2. Hagestein...... 1497 4.1.3. Borgharen...... 1497 4.1.4. Bosscherveld ...... 1497 4.1.5. Synthesis ...... 1498 4.2. Problems related to fish...... 1498 4.2.1. Traveling fish...... 1498 4.2.2. An acceptable fish damage benchmark...... 1498 4.2.3. Catering to the interests of stakeholders ...... 1499 4.2.4. Synthesis ...... 1499 4.3. The lack of momentum for developing hydropower ...... 1499 4.3.1. Synthesis ...... 1499 5. System builder strategies: addressing the problems ...... 1499 5.1. Yield to fitin...... 1500 5.2. Confirmative policy focus ...... 1500 5.3. Hydel legitimation ...... 1500 5.3.1. Legitimation through emphasizing architectural value ...... 1500 5.3.2. Legitimation through involving people...... 1500

n Corresponding author. Tel.: þ31 40 247 2349. E-mail address: [email protected] (T.N. Manders). http://dx.doi.org/10.1016/j.rser.2015.12.100 1364-0321/& 2016 Elsevier Ltd. All rights reserved. 1494 T.N. Manders et al. / Renewable and Sustainable Energy Reviews 59 (2016) 1493–1503

5.3.3. Legitimation through emphasizing comparative green advantages...... 1500 5.3.4. Legitimation through establishing best practice design...... 1501 6. Discussion and conclusions...... 1501 References...... 1502

1. Introduction studies of village-scale hydel in India reveal local conflicts and power struggles that tend to escape the attention of regional and Small-scale hydroelectricity (hydel) is currently attracting national policy makers and scholars. In fact, it took meticulous on- worldwide attention as a clean, green, and socially just energy site ethnographic research to uncover such conflicts [17]. These technology. Already favored for some time as an option for elec- authors conclude that small-scale hydel’s environmental, social, tricity generation in emerging economies, more recently, small- and economic sustainability needs careful evaluation and cir- scale hydel has also made headway in industrialized economies. cumspection. If we proactively identify, rather than ignore, sus- For example, in its 2009–2012 Small Hydropower Roadmap, the tainability problems, we may be able to anticipate or remedy European Small Hydropower Association (ESHA) proposes that these, and perhaps avoid the costly setbacks, hype-disillusionment small-scale hydel, defined as systems with a power output up to cycles, and tensions that sustainable energy analysts have 10 MW, can contribute significantly to the European Union's observed for biofuels, wind, energy, fuel cells and hydrogen, and renewable energy and greenhouse gas reduction targets. In 2010, PV systems [18–21]. some 21,800 small-scale hydel plants made up about 8 percent of This paper scrutinizes small-scale hydro from a sustainable the EU’s renewable energy mix, and there are prospects for further energy policy and innovation sciences – the social science of growth: over half of the EU’s economically feasible small-scale (sustainable) innovation – perspective and makes three contribu- hydel potential remains untapped [1]. Even in a flat country such tions. First, it provides the required circumspection of small-scale as the Netherlands, at the very bottom of the list of EU countries hydel. We identify the problems faced by small-scale hydropower with small–scale hydel systems, new plants are currently being practitioners in the Netherlands and their coping strategies. Others proposed by pioneers. should pose this question about other countries. As for the Neth- This renewed policy and practitioner interest in small-scale erlands, scholarly studies of Dutch small hydel are rare, and as hydel is underpinned by promises of sustainability, climate change noted, the country is lagging behind in EU small-scale hydel mitigation, and avoidance of the problems of large-scale hydro- development. Yet even here, small-scale hydel’s promise of “cheap, power [2–4]. Especially in emerging economies, the environ- renewable and endless” energy that can “be developed without mental, social, economic, and technical sustainability of large-scale significant impact on the existing surroundings” (p.1459) [22] is hydropower has been severely criticized [5–8]. Proponents of mini, alive and kicking, and new plants are currently being erected [23]. micro, and pico hydel systems usually present small-scale hydel as Moreover, the Netherlands makes for an interesting case study a more sustainable alternative to large dam projects [3,9–12].1 In because of its highly developed and institutionalized water sector. Europe, an additional problem of large-scale hydropower is that This country lies in the common delta of the rivers Rhine, , most suitable sites have already been exploited. Here small-scale and Scheldt, and over two-thirds of its land territory would be hydel promises to generate electricity at low-head sites in a sus- subject to regular flooding without its elaborate flood protection tainable way [13]. For example, the above-mentioned ESHA infrastructure. Inland shipping as well as land reclamation have roadmap emphasizes that small-scale hydel systems produce a been policy priorities for centuries. Intensive urbanization and steady flow of green energy, “are mainly run-of-river with little or agriculture further challenged and propelled the institutionaliza- no reservoir impoundment”, that “blend in with [their] sur- tion of Dutch water management, and the country’s wet infra- roundings with no environmental impacts”. Next to environ- structure became comparatively tightly-coupled [24,25]. Höffken mental sustainability, the roadmap promises economic sustain- found that sustainability tensions of small-scale hydel plants in ability: small-scale hydel features “incomparable high efficiency India were often related to competing water uses, rather than …, time availability of the resource, long life time (up to 100 energy [17]. We will show whether and how such tensions play years), higher unit power investment”, and indirect benefits such out in the tightly-coupled, highly institutionalized Dutch water as power grid stability and enhanced water resource management sector, and the implications for Dutch small-scale hydel [14]. If policy makers create “regulatory stability” and “fair market development. rules”, the roadmap argues, small-scale hydel will be a promising Our second contribution is to propose a Large Technical Sys- sustainable energy option for Europe. tems perspective for identifying small-scale hydel sustainability Across the board, people assume that downsizing hydel plants problems. This perspective provides an actor-centered and will reduce harmful effects. Their green, clean, socially just, and problem-centered systems approach to studying the dynamics of small-scale features make small-scale hydel a rather uncontested complex infrastructure. It has previously examined how poten- technology in the sustainable energy literature. Its revival echoes tially conflicting uses of water, as well as transnational (inter) familiar discourses on “small is beautiful” [15]. However, several dependencies, were negotiated, accommodated, and integrated in authors warn against an “ideological” or “politically correct” wet infrastructure [26–28]. The next section will elaborate on this approach to sustainability that takes such promises at face value perspective and its methodological implications before we pro- [16]. They argue, for instance, that the per kilowatt adverse ceed to the empirical analysis and broader discussion of Dutch environmental impact of certain small-scale hydel schemes is small-scale hydel development issues. similar to those of large dams [2]. As for social sustainability, case Finally, a third contribution reflects on the wider debate about scale and sustainability. Some argue that (environmental) sus- tainability “is fundamentally a question of scale” [29–32]. Many 1 The classification of hydropower is still rather ambiguous in the literature. small emissions add up to large-scale environmental problems. The EU distinguishes small (o10 MW) and large (410 MW) hydropower [13]. Here we discuss micro to small hydropower in the Netherlands, so 10 kW to 10 MW Policy makers and practitioners try to upscale small-scale sus- plants are considered ‘small-scale’. tainability successes. Some plead for downsizing harmful large- T.N. Manders et al. / Renewable and Sustainable Energy Reviews 59 (2016) 1493–1503 1495 scale technologies, as in the case of hydroelectricity. Others won- in upstream flood prevention causing downstream floods, or der how to link large-scale and small-scale approaches to sus- upstream pollution causing downstream contamination of drink- tainable innovation. Some scholars argue that these notions of ing water. Such systemic interdependencies exist on local, regio- large and small scale are problematic, and that the issue of scale nal, national, and continental scales [28,44–46]. and sustainability needs to be conceptually and empirically re- A second category of problems stems from the multiple, examined [32–34]. This paper tries to draw lessons from the case potentially conflicting, uses or functions of LTS. Large Technical of small hydel for this ongoing debate. Systems were originally defined by their functionality, as func- tional systems. However, LTS studies of wet infrastructure have shown the multi-functionality of water systems. Wet system 2. Theory and approach -builders typically struggled to integrate the diverse functions that different stakeholders projected on the same waters or water In order to identify relevant problems of small-scale hydel in works. Hydroelectricity production could converge or conflict with the Netherlands, regardless of the disciplinary nature of these functions such as shipping, flood protection, drinking water sup- problems (e.g. technical, financial, legal, or environmental), we ply, agricultural irrigation and drainage, ecological functions, and need a transdisciplinary and holistic approach. For this purpose, so on [26,47,48]. we draw on the Large Technical Systems (LTS) framework of A third source of tension, finally, opposes new sociotechnical analysis. Like other systems theories in technology policy and systems to old, mature ones. In energy production, the well- innovation studies, LTS theory was originally developed to shift known challenge is to introduce nascent sustainable energy sys- the analytical focus from highly visible artefacts (e.g. nuclear tems into mature electricity systems, which over the past century reactors or hydroelectric dams), to sociotechnical systems (e.g. the have been built around fossil fuels (and in some countries also electricity supply system), encompassing a wide range of inter- around nuclear and large-scale hydro facilities). The new and acting technical, social, and environmental elements. LTS authors vulnerable sociotechnical systems (e.g. solar or small-scale hydel argued that the dynamics of such systems, not their most visible cooperatives today), often studied as sustainable energy ‘niches’, elements, constitute the locus of technological, social and envir- come with different technologies, stakeholders, and values than onmental change, and should be the unit of scholarly analysis [35– the incumbent system, often studied as sociotechnical ‘regimes’ 38]; for a review see [39,40]. Studying small-scale hydel schemes that tend to resist radical change [49–53]. In wet infrastructure, we as sociotechnical systems allows us to link technological devel- might see similar dominant systems or regimes that counteract opments to a wide range of social and environmental issues as radical change, thus frustrating the development of new niche well as stakeholders. systems. Niches with more momentum stand a better chance of Moreover, and here this perspective differs from many other challenging such regimes. systems theories, LTS theory suggests a research approach that is Existing LTS studies of wet infrastructure illustrate the latter informal, actor-centered, and problem-centered. LTS scholarship two tensions for our case. The construction of a Dutch national tends to be informal and actor-centered because it uses qualitative water management system (ca. 1940–1970) is illustrative and methodologies to follow centrally positioned actors, so-called important to our study. The lead system builder – the national system-builders, as they envision, build and change socio- government’s civil engineering agency Rijkswaterstaat – identified technical systems. Studying individuals or organizations who work many competing uses of Rhine water that entered the country in on the scale of the overall system, LTS theory has long been known the east. Western cities and intensive agriculture craved fresh for “humanizing systems theory” [41]. The approach is problem- water for drinking water, irrigation, and the discharge of sewage centered because it follows these system-builders as they identify, and saline ground water. Northern cities (including Amsterdam), articulate, and solve technical as well as non-technical ‘critical agriculture, shipping interests (haunted by summer droughts), and problems’–problematic or lagging elements that hamper overall fisheries desired the construction of weirs to divert the same system growth and the realization of their vision. It is by identi- water northwards. Meanwhile, flood protection was a national fying and solving such bottlenecks that system-builders forge a priority. In the early 1940s, Rijkswaterstaat engineers identified broad variety of elements into a sociotechnical system that works about twenty key aspects of national water circulation, then in the real world [35,42]. Later research has shown that system- weighed and incorporated these in a national water management building is a complex and multi-actor game, but the crucial point system controlled by strategically situated weirs and dams. By the remains: Centrally positioned key actors observe and articulate 1970 s, the result was a tightly-coupled, multi-purpose, and highly key problems relevant to overall system development, regardless institutionalized wet infrastructure [25,27]. Given the entrench- of the disciplinary (technical or non-technical) nature of these ment and momentum of the incumbent system, the subsequent problems [43]. Studying these system-builders is therefore a integration of yet another competing use of water – biodiversity valuable research entry for identifying problems, conflicts, and preservation ‒ became a major challenge for system builders. It strategies in sustainable innovation processes. In this study, we took lots of societal and political pressure, a Rijkswaterstaat crisis, follow hydel system builders (the practitioners who manage a and an influx of ecologists and biologists, before this new concern hydel project) to track their identification and solutions to small- became technologically and institutionally accommodated in the scale hydel’s sustainability problems. sociotechnical system design [54]. In a similar way we expect Past research indicates tensions and conflicts that could be small-scale hydel projects, as new ‘niche’ systems, will run into relevant to our inquiry, and which the researcher has to bear in agricultural, navigation, water supply, and other ‘regime’ interests mind. We distinguish three possible sources of problems relevant that are deeply entrenched in the existing water management to small-scale hydel development. First, LTS studies of wet infra- system. structure have emphasized tensions and conflicts relating to geo- These insights from the LTS literature inform our methodology. graphical interdependencies along river systems. Sometimes sta- To identify potential small-scale hydel problems in the Nether- keholders find these interdependencies mutually beneficial. For lands, we took hydel system builders as our starting point and instance, Rotterdam harbor stakeholders and upstream commer- sought their identification and articulation of critical problems. cial interests from Duisburg to Strasbourg and Basel jointly made Since we were interested in any critical problem, irrespective of its the River Rhine a pivotal economic artery, to their joint benefit. In status in the sociotechnical system or its disciplinary nature, we other cases, river interdependencies entail a conflict of interest, as investigated local system-builder experiences in depth. To insure 1496 T.N. Manders et al. / Renewable and Sustainable Energy Reviews 59 (2016) 1493–1503 this explorative and qualitative study was feasible, we selected and climate change mitigation—even though these still obviously four cases (of fewer than twenty existing or projected hydel plants need a viable business model [23]. in the Netherlands). For each case, we conducted semi-structured Our first case is on the Rhine River System and situated at the interviews and document analysis, focusing on the problems and Hagestein weir in the River Lek. The weir, owned by Rijkswater- solutions identified and prioritized by system builders. We used staat, regulates upstream water levels for commercial shipping. Its the problem typology introduced above as a heuristic device. If 1.8 MW hydel plant was established in 1958, but has been idle system builders pointed at other stakeholders as ‘problematic’,we since 2005. A newly founded energy cooperative, ADEM Houten, is performed follow-up interviews and document analysis in order to attempting to renovate and restart it to provide green electricity to grasp the opposing party’s views. about 1200 households, because they believe the plant can play an important role in their aim to achieve local sustainable energy ambitions. 3. Small-scale hydel sustainability vision and case selection The remaining three cases are situated in the Meuse River and canal system. The Meuse enters the country south of , As mentioned above, hydropower is internationally envisioned and its domestic drop in elevation of some 44 m, though minor in as a green and reliable technology that does not disturb much of international terms, can be exploited for hydel generation. Our its surroundings. Although hydropower’s potential is inter- second case is a 1 MW projected hydel plant near Maastricht, at nationally acknowledged, the public interest in hydropower as a the Bosscherveld sluice. Rijkswaterstaat currently seeks to expand renewable energy source is not widespread in the Netherlands. the feeder capacity, and a local entrepreneur has added a hydel Compared to alternative (renewable) energy sources, hydro- plant to make strategic use of the regulated water flow. The plant power’s potential is quite low in the Netherlands ‒ in 2011 will serve about 1000 households. hydropower only contributed to 0.02 percent of the total energy Slightly further downstream, our third case is an 11 MW plant mix [55]; some policy makers expect this percentage to stay low (a planned near the weir at Borgharen. Energy company Essent con- perception problem that small-scale hydel entrepreneurs have to sidered a hydel plant here, but abandoned that idea in 2003. Pri- handle). As a Rijkswaterstaat officer explains: “there are still a vate investor WKC Borgharen B.V. took over. Funded by a hydro couple of big locations on the Meuse, so the total hydropower project developer, green investors, and green energy company capacity can be increased by around 20 to 50 MW.[…] So there are Greenchoice, the scheme aims to provide green energy to 13,000 quite a few locations where plants can be established, but I believe Maastricht households. The practitioner wants to demonstrate this will be a maximum of four to five plants and some smaller hydropower’s significant share in renewable energy generation. ones scattered around. That will be about it.” [56,23]. In the Finally, following the Zuid Willemsvaart Canal northwards, we Netherlands, the greatest (technical) potential for hydropower lies include the small 36 kW hydel plant at Sluice 15 in Nederweert. within the national waterways under Rijkswaterstaat jurisdiction The sluice was established by Rijkswaterstaat in 1917 to adjust ’ [56]. Hydropower, however, is not this agency s core mandate, water levels when the canal was connected to two other canals. which leaves it up to market actors [56]. Clearly, Rijkswaterstaat The hydel plant, dating from around 1920, exploited the elevation assigns lower techno-economic potential to hydropower and is difference between two connected canals. It was abandoned in thus less interested in developing targeted policies to further its 1949, but renovated to provide green energy by a private party in deployment. Compared to other renewable energy options, espe- 1993. The renovation was funded by Rijkswaterstaat, the cially off-shore wind, hydropower’s potential is deemed less pro- mising [57]. Though incumbent actors such as Rijkswaterstaat find hydro- power development in the Dutch institutional “water-scape” challenging, enthusiastic practitioners do believe in and strive to develop hydropower there. As we will show, these hydel system builders relate the development of hydropower to an overall vision of renewable energy, sustainability, and climate change mitigation. They aim to establish their plants within a wet system in which small hydel generation can flourish and benefit from the ‘freely’ flowing water at locations where a difference in head has already been created. In their view, small hydel plants form a valuable addition to the renewable energy mix. Through their develop- ments, the system builders are able to identify which problems are hampering the realization of their vision and seek strategies to overcome these barriers. For this paper, we draw broader lessons from in-depth empirical research on four micro-hydel projects. Partly for prac- tical reasons, we chose ‘run-of-river’ hydel case studies with dif- ferent dimensions, organizational setup, and business models. When studying the motivations and sustainability visions of the system builders involved, we should bear in mind that the concept of small-scale hydel did not always evolve around sustainability. For instance, a number of 1980 s hydel initiatives promised busi- ness opportunities amid high oil prices and the neoliberal turn. However, these initiatives became problematic when oil prices plummeted [58,59], and such ‘business opportunity’ visions for small hydel faded. Our cases illustrate that the current hydel comeback is especially thriving on the promises of sustainability Fig. 1. Location of the hydel plants, own drawing derived from [87]. T.N. Manders et al. / Renewable and Sustainable Energy Reviews 59 (2016) 1493–1503 1497 municipality, the provincial government, and the Dutch govern- Amerongen-Driel’ that balances the distribution of water between ment’s cultural heritage agency. As one of the country’s oldest the Waal, Ijssel, and Nederrijn rivers. The three-weir construction hydel plants, it has a protected heritage status. Fig. 1 gives an Hagestein-Amerongen-Driel has to maintain the water at a certain overview of the plants studied in this paper. level, mainly for navigational and drinking water purposes and to prevent the formation of brackish water. The difference in height that emerged with the construction of the weir was a coincidence 4. Hydropower problems in The Netherlands that made the location suitable for harnessing hydropower. Yet the weir’s water balancing function has priority over the generation of Our starting point is the system builders as the starting point in hydropower [63]. For Hagestein, this meant that in practice, the order to identify problems these practitioners distinguish in the hydel plant is not able to operate approximately 50 percent of the context of small-scale hydel development in The Netherlands – time since the weir is then entirely open. The fluctuating water problems that they face in realizing their vision of sustainability. levels at other times due to rainfall patterns affect the weir’s Our findings are structured in three different sections. We start by operation and consequently the water flowing through the tur- outlining the essential role that location characteristics play in bines. Thus the plant is not able to generate electricity during hydropower development, before detailing the two major issues, these periods. The hydel plant has not been operating since 2005. namely fish interests and the lack of momentum for developing However, a local sustainable energy company is one of the parties hydropower. seriously interested in re-establishing the plant in order to ‘use’ the energy generated by the Hagestein hydel plant [67]. Their 4.1. The logics of location vision is to realize locally produced and used electricity; moreover, the plant will harness the power of water that would otherwise The specific location of a hydel site produces barriers and flow ‘unused’ down the river. opportunities for hydel plants and the space for system builders to develop their envisioned systems. Interestingly, the system 4.1.3. Borgharen builders in this study do not mention these location characteristics Borgharen is one of the small series of possible locations on the in relation to conflicts. This is surprising since other socio- Meuse for relatively large-sized hydel plants. Initiatives to develop technical hydel studies have identified location-related issues as the Borgharen plant originate from 1989, but they experienced significantly contested (e.g. [17]). Furthermore, and this could many difficulties such as lengthy procedures to obtain licenses and partly explain the absence of societal protests, other interests’ lack of a profitable business case. In 2003 a private investor took priorities (e.g. agricultural, navigational, safety) are institutionally over. This practitioner envisions a hydel plant that will showcase well-protected and publicly accepted [56,60–63]. Yet, despite not the efforts to reduce CO2-emissions in the Netherlands and being a contested issue, location characteristics remain essential to demonstrate hydropower’s potential as a renewable source com- study so that we can understand other system-building dynamics. pared to other sources such as wind and solar [68]. The planned Perhaps more importantly, location demonstrates the balance of maximum capacity of the plant is 13.5 MW, with an annual pro- interests in the incumbent system. We will describe per case study duction of approximately 42 GWh. The electricity will be provided how system builders deal with the characteristics of location and to the city of Maastricht’s 120 thousand inhabitants [69] and is other involved interests. expected to cover 30 to 35 percent of the household demand. The hydel plant will be situated next to the Borgharen weir. This weir’s 4.1.1. Roeven-Nederweert operation is tailored to feed the canal “Julianakanaal” and enable The Roeven-Nederweert hydel plant, situated in Nederweert at navigational use. The head created by the weir is a welcome the junction of three waterways, is one of the oldest hydel plants knock-on effect that makes this location suitable for hydropower, in the Netherlands. It has been in intermittent operation from but the weir will not be operated to fully benefit the hydel plant. approximately 1920 to 1949 [64]. The plant in its current form was According to the system builder: “Well, look, the weir has been built established in 1993 after a thorough restoration and renovation by to benefit the , so it is hard to say we believe hydropower a company specialized in adapting old technologies [60]. Initially, is suddenly more important. Of course, navigation is more important the hydel plant was meant to provide electricity for a new sluice, than an electricity plant of this size. […] From here on you can Sluice 15, constructed around 1920 and for the Noordervaart sluice navigate all the way to Liège, so that is quite important, that has [65]. This new water construction required a feeding canal, along priority” [61]. which the Roeven-Nederweert hydel plant is situated. Although Besides priority being given to navigation, fluctuating water the Noordervaart is still fed by this feeding canal, it is no longer tables also impact the operation of the Borgharen plant. Never- used for shipping purposes. It has become a dead end canal [65]. theless, the system builder chose this location since it enables The canal’s function has changed from enabling navigation to them to establish a plant with a relatively high generation balancing water levels. At some times of the year, there are smaller capacity. differences in head at the hydel plant’s location, thus minimizing the electricity generation potential. Furthermore, the generation 4.1.4. Bosscherveld potential suffers during warm summers from the extensive growth The hydel plant at Bosscherveld will be built next to the Bos- of water plants which jam the hydel plant’s grid. In Roeven- scherveld sluice, near the Zuid Willemsvaart canal. Currently, the Nederweert, the combination of natural factors and the manage- feeding function is still the primary role of the construction ment of the wet network, affect the suitability for electricity around the Bosscherveld sluice and the hydel plant will be located generation. This, however, did not deter the system builder. By alongside this feeding canal. Besides for navigation, water is also building this plant, they are making a stand for renewable energy directed through the feeding canal to serve agricultural uses, nature generation and its contribution to the sustainable energy debate. conservation, and industry, especially for the Kempen region in . As acknowledged by the system builder: “This means, the 4.1.2. Hagestein water feeding function still holds an important position” [62].On The Hagestein plant, dating from 1958 [66], is also one of the account of agreements with Belgium to improve water availability, oldest original hydel plants in the Netherlands. It is located on the some adaptations were required. Currently the Bosscherveld sluice Hagestein weir, which is part of the ‘weir combination Hagestein- does not function accurately enough for water feeding purposes. 1498 T.N. Manders et al. / Renewable and Sustainable Energy Reviews 59 (2016) 1493–1503

That is why Rijkswaterstaat plans to construct a bypass around the management of a weir [71]. However, smaller fish might find it sluice that could handle a greater capacity to meet the water difficult to pass through and this management interferes with demand. As explained by the practitioner: “feeding is demand-dri- many other water functions, like balancing water levels. ven, so the amount of water that is required is the amount of water There are appalling pictures showing fish shattered by a hydel which is supplied” [62]. This allows the practitioner to determine plant’s turbines. These turbines can be deadly or damaging for with quite a high degree of certainty how much water will be downstream swimming fish, hit either by the rotating blades or available for electricity generation in the bypass. the pressure difference [23].Afish passage is a technology which Climate change might alter some water patterns, resulting for prevents fish from passing through the turbines by trying to make example in drier summers and increasingly wet winters. This them follow the flow in the fish passage. However, as is the case would consequently reduce the operating potential and therefore for fish stairs, different fish respond differently to these technol- the economic returns for a hydel plant. The system builder expli- ogies, and changing water flows make it difficult to design a citly went for Bosscherveld, where he is assured of a certain solution that works optimally in every situation [72]. Another minimum amount of water availability for approximately 95 per- option is a fish-friendly turbine design, with different shapes of cent of the time. blades [72,74]. An additional fish-friendly management method is to adapt the turbine’s operating period to suit the fish [71].Yet 4.1.5. Synthesis from the hydel-practitioner’s perspective, these methods will All the system builders deliberately chose locations that in their probably result in lower economic returns, and might not always opinion have potential: either where the existing infrastructure be possible due to other stakeholders’ water management [71,1]. can be used and upgraded (Roeven–Nederweert and Hagestein), We will now focus on the fish-related problems that arise at suitable for a considerable size of plant (Borgharen), or where the the Borgharen and Bosscherveld hydel sites. Still in the develop- water flow is stable (Bosscherveld). Although changing weather ment phase, these two cases are particularly significant. Because circumstances and other uncertainties in the wet network could their practitioners also deal with the problems relating to fish threaten the energy generation potential, the practitioners do not quite differently, we use these two cases to demonstrate the issues identify these issues as deterring the realization of their hydel in more detail. Generally speaking, fish problems emerge con- plants. Rather, they articulate these issues as typical characteristics cerning: agreeing on and handling an acceptable fish damage of the wet network that hydel plant developers should consider. benchmark; and aligning and catering to the interests of other ‘fi ’ Yet, one topic they do identify as problematic is sh . systems’ stakeholders.

fi 4.2. Problems related to sh 4.2.2. An acceptable fish damage benchmark There is no question that hydel plants hinder the free movement All the practitioners seem to be very much aware of problems of fish to some extent. The grounds for argument, however, are: fi fi with sh, or sh interest organizations. Either the practitioners try how severe is this hindrance. The following incident illustrates this: fi fi to avoid sh problems by aiming for sh-friendly hydel plants, or Fish interest organizations ‘Visstandverbetering Maas’ and ‘Sport- fi they struggle with strongly coordinated sh interest organizations. visserij Nederland’ (also an anglers’ sport-fishing association) ‘fi ’ In any event, sh is a critical subject when talking about hydel in appealed against the granting of two licenses to establish the Bor- fi the Netherlands. Before detailing the sh problems as they emerge gharen hydel plant. These licenses confirmed that the project would fl fi in the case studies, we will brie y describe the Dutch sh interest be in line with both a nature conservation and a water act (‘Nat- fi organizations and their concerns about traveling sh. uurbeschermingswet’ and ‘Waterwet’). Following this appeal, the State Council (‘Raad van State’) invalidated the two licenses pre- 4.2.1. Traveling fish viously granted to the Borgharen hydel plant [75,76] issued on Dutch fish interest organizations present themselves as critical September 14, 2011 and February 8, 2012. A deciding factor in the guardians of the ecological habitats of fish and the fish migration appeal was that the granting of the licenses was not based on network. Accordingly, they intend to be highly involved in the proper research. In the view of the fish interest organizations, the development of hydel projects. Generally, the organizations are licenses disregarded the fact that migrating fish on their route suspicious of hydropower due to the obstacles that hydel plants towards the future Borgharen plant are already exposed to severe and turbines can create. Problems occur when fish have to pass stress, since they have to pass through two other existing hydel through the hydro plants on their way upstream or downstream. plants situated on the Meuse, in Alphen/Lith and Linne [75–77]. Every weir, sluice, or hydel plant is an obstacle, not just for According to a maximum fish damage benchmark, the cumulative migrating species, but also non-migrating species are hampered damage of all (existing and new) hydel plants may not exceed ten when traveling for other survival reasons (e.g. food). Furthermore, percent to prioritized fish species, which include eel and salmon even when they are able to swim through the obstacles, the fish [78]. Since the two existing plants at Alphen/Lith and Linne already can still be affected due to delays or energy loss [70]. Conse- exceed this norm, the fish interest organizations claim there is no quently, fish are more vulnerable to predators or not able to reach option for a third hydel plant. Furthermore, the Borgharen hydel spawning grounds in time. plant will be in a critically ecological Natura 2000 location [79].2 Fish traveling upstream will have to overcome the height dif- Stressing the ecological importance of this location, the fish interest ference caused for example by the weir where the hydel plant is organizations insist on insuring that if the hydel plant is built, it located. Fish interest organizations demand that every different must not cause any additional damage to fish. type of fish must be able to manage the height difference under all While the fish organizations take the fish damage benchmark circumstances [71]. Yet, in practice this is often very challenging: as a starting point for their arguments and actions, the Borgharen the behavior and other characteristics of various fish are difficult to grasp; some plant designs might be adequate for smaller fish, system builder fundamentally questions the empirical validity of but not for larger species [72]. Even if fish stairs resemble a natural this benchmark. The ten percent benchmark, based on expert river as much as possible, the fish might find orientation difficult judgments from the task force established by Rijkswaterstaat and [71–73]. Additionally, well-functioning fish ladders are costly and

’ 2 have a negative impact on a hydel plant s economic returns. Natura 2000 is a network of protected nature areas within the European Another option to benefit migrating fish is the fish-friendly Union for the conservation and recovery of biodiversity. T.N. Manders et al. / Renewable and Sustainable Energy Reviews 59 (2016) 1493–1503 1499 the Ministries of Agriculture, Nature, Nutrition, and Economic various endeavors to achieve a more sustainable society, the one Affairs, serves as a rule of thumb to define policy for hydel plants group emphasizing renewable energy production, the other [78]. The task force itself emphasizes that this benchmark is not stressing the need to protect the natural habitat. empirically grounded: In their habitat report [80], the authors use this benchmark, but also state that it is not based on empiric fish 4.3. The lack of momentum for developing hydropower population research. For this reason, the system builder claims it cannot form a guideline for granting a license [61]. He actually The second problem in the context of hydropower develop- believes it might even be possible to increase the maximum ment in the Netherlands is the challenge of having to gain public threshold value without endangering the survival of the species. support for hydro projects. The public’s perception of hydropower Besides this, he claims that the two existing hydel plants should and renewable energy promises seems to be that they are gen- not restrict establishing a third hydel plant. In his view, every plant erally ‘not enough’ to generate public support for hydel projects. should be treated equally, so all three plants should comply with Practitioners struggle with the general notion that hydropower the same fish mortality percentage. The conflict about the validity has too little potential in the Netherlands to compensate for the of the benchmark is still unresolved – and the development of the negative impact on fish. As shown before, Rijkswaterstaat under- plant is pending. lines that currently, ecological interests outweigh renewable energy interests: “Finally we are noticing in discussions about the 4.2.3. Catering to the interests of stakeholders public interest in hydropower, that ecology is winning from sustain- Another major issue affecting the development of hydel in the able energy generation interests. […] We prioritize the ecological Netherlands relates to the problem of aligning and catering to the aspects and regulations because we see these as more important since interests of the various stakeholders involved. This is especially there are alternatives to hydropower” [56]. This is in line with ESHA apparent when we compare the Borgharen and Bosscherveld evaluations [1] which argue that the government “remains under cases. The system builder in Borgharen, Rijkswaterstaat, and the the strong influence of the ‘pro-ecological’ lobby” (p.23). Conse- fish interest organizations are uncompromising, as illustrated quently, system builders feel the need to legitimate their efforts in above by the contested fish damage benchmark. The parties in hydro development to make it a publicly accepted option for Bosscherveld cooperate more closely. An important aspect of this renewable energy generation. cooperation is creating shared value: the Bosscherveld practitioner Looking at all the system builders, it is interesting to see that proposed to share the cost of constructing a bypass with Rijks- making a case for small hydro in the Netherlands is directly related waterstaat [62]. Both Rijkswaterstaat and the practitioner will to adopting an initiating role. This seems to be triggered by the benefit from this cooperation. They create a win–win situation in inaction of other stakeholders. The Borgharen practitioner felt he which they share construction costs. In doing so, the system should insure the continuation of the project, since the govern- builder was able to incorporate Rijkswaterstaat’s interests in his ment and energy suppliers quit and withdrew: “In 2003, they said, project. Furthermore, there is willingness on both sides (system we have tried for so long now, we quit. Then I said, I think that’sa builder and fish organizations) to cooperate in finding acceptable shame. If our government will not generate sustainable energy, nor conditions whereby hydropower will also look after fish interests our utility companies, then who will?” [61]. In Bosscheveld the lack [56]. The system builder in Bosscherveld made a serious effort to of mandate by Rijkswaterstaat to promote hydropower is the understand the skeptical fish interest organizations. “If you do not reason the practitioner took the initiative. The Hagestein practi- take other interests seriously, then you will get nowhere […] You have tioner was initially not interested in exploiting the hydel plant; to listen, what are their issues, can I develop a solution for these” [62]. nevertheless they have currently taken the initiative, since seeing Supported by the results from the research conducted on the and leaving the plant idle was not an option for them. In Roeven- operation of the system’s auger turbine, the practitioner was able Nederweert, the practitioner also felt that someone should take to convince the fish organizations that the turbine will not cause responsibility for the hydel plant: If Rijkswaterstaat, the owner, fish mortality. “We succeeded, partly because we aimed for a fish- would not undertake the necessary renovation of the plant, safe system. What’s more, we don’t go against them. So, if you do not someone else had to do it. talk to interest groups, they will oppose your plans and this will show in your results” [62]. In the practitioner’s strategy to develop the 4.3.1. Synthesis hydel plant, considering others’ interests played a pivotal role. In the Netherlands, system builders face the problem of having to legitimize hydropower, since public support is lacking and 4.2.4. Synthesis hydro development is not backed by a clear public mandate. The findings around the problems of fish underline that what is Consequently, practitioners take the initiative to develop and considered “sustainability” depends on various parties’ under- make a case for hydropower. By setting an example with their standing. Ecological interests and hydro energy interests are projects, they hope to contribute to hydropower’s momentum. potentially conflicting. Practitioners present hydropower as a Besides the lack of momentum, we also identified the various green technology. However, precisely this claim is contested by issues concerning fish that practitioners encounter in their hydel those who question hydropower’s supposedly environmental development efforts. Although location characteristics, especially friendliness: “The main tension we see when it comes to hydel in the existing water infrastructure and functions, significantly influence Netherlands, is between ecological goals and energy generation the development and performance of hydel plants in the Nether- policies” [56]. This comes to the fore in the Borgharen and Bos- lands, the practitioners do not articulate these factors as problems. scherveld cases. Particularly fish interest organizations strongly They prefer to place these issues and their hydel plants under a question hydropower as a sustainable energy technology [81]. greater understanding of the Dutch water system, which we will However, by aligning and catering to the interests of key stake- turn to now. holders, the Bosscherveld system builder was relatively successful in avoiding conflicts with fish interest organizations. This was not the case in Borgharen, where the problem of agreeing to an 5. System builder strategies: addressing the problems acceptable fish damage benchmark shows the tension between hydropower and fish interests that stakeholders find difficult to We will distinguish three strategies that system builders adopt ease. At the core of the conflict lies the tension between the in order to overcome the problems they face when trying to 1500 T.N. Manders et al. / Renewable and Sustainable Energy Reviews 59 (2016) 1493–1503 realize their hydel plant visions. As will become clear, the devel- special license is required whenever there is a risk that certain opment of hydropower – and its problems – can only be under- activities could harm a protected nature area. Other legislation stood within the larger context of the Dutch water system. In their includes the Habitats Directive, the Benelux verdict for Free Fish efforts to develop hydropower, practitioners also strive to become migration, and the European Eel regulation [70]. Under the Ben- part of this larger system. Their strategies reveal that the problems elux verdict, parties agreed that they will put effort into stimu- are embedded within the typical dynamics of the broader wet lating free upstream migration in the Meuse. These European and system in the Netherlands. national regulatory frameworks determine the issuance of licenses required to establish a hydel plant. 5.1. Yield to fitin A Rijkswaterstaat officer describes the resulting tension: “On the one hand we want and have to increase this percentage of sus- Due to the infrastructure-related water flow dynamics of Dutch tainable energy generation; on the other hand, we have to comply rivers, hydel initiatives are more likely to be profitable around with signed international agreements in order to ensure free migra- existing constructions. Indeed, existing constructions such as tion of fish through the rivers, so that fish are not hindered by weirs create opportunities for hydel projects, since they increase obstacles or exposed to mortal damage from obstacles” [56]. the water availability and control the water flow. However, all four Obviously, due to this regulatory ambiguity, the potential conflict case studies clearly showed that hydel plants often have to con- between fish and hydel interests lingers on. Hydel practitioners form to the conditions created by other water management and fish interest organizations alike exploit this situation by infrastructures; in other words hydel plants have to make use of focusing on those regulations that favor their own interests. the ‘remaining water flow’, since other water functions get prior- ity. Balancing water levels, water feeding function and navigation 5.3. Hydel legitimation are often mentioned in the case studies as being more important than hydel. Additional tensions arise due to natural circumstances System builders need to build momentum for Dutch hydro- that affect the water flow and differences in the location’s head. power development. Inaction of other stakeholders prompts them Heavy rainfall for example causes high water levels, for which to take the initiative to legitimize their projects, thereby making a weirs have to be opened completely. case for hydropower in general. As we will show below, legit- The case studies reveal that due to water-weather dynamics imizing small hydropower, labeled as a renewable and sustainable and seasonally fluctuating water tables, the ‘remaining water flow’ energy technology, is only the starting point for increasing public that hydel plants are eager to use is not stable. Plants, having to support. We identified four different legitimation approaches. adjust to these circumstances, are designed with a focus on minimum flow, since damming and thereby artificially increasing 5.3.1. Legitimation through emphasizing architectural value and controlling the water flow is no option in the highly indus- The plant in Roeven-Nederweert displays architectural features trialized wet network of the Netherlands. Conflicts with other in the ‘Amsterdam style’. The practitioners drew on these archi- water uses are only avoided because the hydel plant mainly tectural features and the promises of green energy to garner adjusts to the existing functions’ water requirement. The plant support for the renovation and restoration of the WKC Roeven- only uses the ‘residual’ water after other interests are met. Con- sequently, for system builders, “yield to fitin” seems to be the Nederweert [60]. By linking aesthetical and sustainability aspects, motto and a sound strategy for developing hydropower in the the practitioner was able to realize the plant. However, every year Netherlands. it is a constant struggle to maintain public support and survive economically. The need to adjust to other water management 5.2. Confirmative policy focus priorities and changes in the suitability of water tables regularly force the plant to close. A second strategy emerges when we analyze the role hydel plays in the regulatory context. It is interesting that we see the 5.3.2. Legitimation through involving people tension between hydropower and fish interests not only on the In Hagestein it is the involvement of local people that plays a ground but also in the national and European regulatory systems crucial role in the legitimation of the plant. Though the amount of [1,82,83]. In the EU, the Renewable Energy Directive aims to sti- generated electricity might be small on a nation scale, its con- fi mulate renewable energy sources and sustainable generation, tribution at the local level is signi cant. By providing local sus- ’ including the promotion of hydropower. The Water Framework tainable energy to and from the municipality of Houten, the plant s Directive, however, does not advance small hydropower, but even management involves the local residents and makes the hydel imposes restrictions on its development [1,82,83]. plant visible and important to them. The corporation uses the Dutch legislation regarding the promotion of renewable energy support of the residents involved for campaigns, events, and and the protection of biodiversity form the main regulatory sus- petitions to get the Hagestein hydel plant working again. Members tainability framework, within which small hydropower is devel- of the corporation can actively participate in decisions on the re- oped. Also here the regulations are ambiguous and indecisive start of the plant [63]. about how to prioritize or balance hydropower and fish interests. The legislation anticipates that by 2020, 14 percent of the Neth- 5.3.3. Legitimation through emphasizing comparative green erlands’ total energy demand has to come from renewable energy advantages [84]. In line with institutional regulations for EU and United In Borgharen the practitioner justifies the project by showing Nations directives, the Dutch government is also aiming to protect the benefits of hydropower compared to other (renewable) energy biodiversity. In 2011 the EU agreed to the Biodiversity Strategy, alternatives. He mentions the high efficiency, reliability, and the which relates to the Covenant on Biodiversity [70]. One of this absence of visual pollution, noise, and gas emissions as positive strategy’s aims is the conservation of Natura 2000, a network of characteristics of hydropower compared to other (even other protected nature areas in the EU which will insure the survival of sustainable) forms of energy generation [61]. Despite the fish essential flora and fauna. Important legislations to protect biodi- organizations’ critique that hydropower hinders and kills fish, for versity are the Flora- and Fauna law and specifically for Natura the practitioner, hydropower is ‘green enough’ to be considered 2000 areas, the protection act ‘Natuurbeschermingswet 1998’.A environmentally friendly. T.N. Manders et al. / Renewable and Sustainable Energy Reviews 59 (2016) 1493–1503 1501

5.3.4. Legitimation through establishing best practice design water system. Consequently, small-scale hydropower’s potential in In Bosscherveld the practitioner stresses the innovativeness the Netherlands depends on how easily these plants will fit into and the export value of hydropower when realized in a best the existing water system with its functions, connections and practice design. With his plant he aims to showcase the compat- natural characteristics. Different to what a common understanding ibility of fish and hydropower interests [62]. The practitioner was might suggest, small hydropower technology is not by definition able to integrate the hydel project plans in the existing water sustainable and uncontested. These claims seem to be based on an management system, avoiding a conflict between ecological fish off-the-shelf concept of the technology, in which it is viewed in interests and hydropower interests. Moreover, he argues that the isolation from its socio-environmental context. As the case studies innovative turbine’s fish and ecologically-friendly design could show, for small hydropower to be successful, it has to negotiate its serve as an example for future projects. It could potentially sti- place within the dynamics of the existing water system. mulate a trajectory of more ecological and fish-friendly hydel Our second contribution relates to the use of the LTS frame- plants by changing the skeptical attitude of the fish interest work of analysis. The LTS approach urges us to transcend dis- organizations and encouraging fish-friendly technological solu- ciplinary analysis, whether executed from technical or social sci- tions. Furthermore, the practitioner argues that as the system is ences, and to study sustainable innovation from a transdisci- feasible and easy to understand, it has therefore great export plinary, sociotechnical-systems perspective. In addition, its focus potential. on system builders articulating sustainability visions, problems, The various legitimation approaches show that in order to and solutions allows us to track real-life hydel tensions and con- increase public support, practitioners not only employ the sus- flicts in a much broader context. Among the tensions known from tainable features of small hydropower, but link the establishment previous LTS studies, we found that the multi-functionality of of their plants to other societal issues. The legitimation approa- water infrastructure was a particularly important issue. The Dutch ches, the ‘yield to fitin’ strategy and the focus on favorable reg- wet system fulfills multiple functions, including water balancing, ulations are all part of the system builders’ efforts to make navigation and ecological (preserve the fish) resources that played hydropower part of the larger Dutch water system. an important role in the cases we analyzed. As we have shown, the hydro system builders’ efforts to develop their projects are simultaneously directed at making hydropower part of the wet 6. Discussion and conclusions system. Yet, other actors in the Dutch wet system do not seem to leave much space for small hydropower practitioners. This is why In this paper we respond to recent requests for circumspection system builders chose to ‘yield to fitin’. of the taken-for-granted social and environmental sustainability of Our analysis revealed another source of tension, namely the small-scale hydel. Scrutinizing, rather than ignoring small hydel opposition of new sociotechnical systems to mature ones. System sustainability problems may help to anticipate setbacks, hype and builders seek to create space for hydro projects within a wet disappointment cycles, and conflicts. We provide such a circum- infrastructure that is already tightly-coupled, highly institutiona- spect case for the Netherlands, with its tightly-coupled and highly- lized, and accommodates multiple functions. These factors make institutionalized water sector. We ask what sustainable innovation the subsequent integration of yet another water use ‒ generating problems and strategies emerge in such a context. hydroelectricity ‒ highly challenging. When conceptualized as a To do so, we tapped into the Large Technical Systems frame- ‘niche’, small hydropower challenges the interests of incumbent work of analysis that provides a holistic and transdisciplinary actors who dominate the water sector. Rijkswaterstaat and fish perspective on sustainable innovation. Moreover, we took a qua- interest organizations are examples of incumbent actors who litative approach and studied small hydel entrepreneurs as “sys- counteract the sustainable innovation under study. Rijkswaterstaat tem builders”. Instead of a priori defining objectives, problems and keeps a low profile and does not pro-actively position itself in the solutions, we followed these agents as they articulated particular hydropower development discourse; fish interest organizations sustainability visions, stumbled upon problems impeding these are outspokenly skeptical about hydropower. The problems that visions, and invented innovation strategies by way of problem system builders encounter related to fish and having to legitimate solution. hydropower mirror the dynamics and interests in the incumbent Our first set of findings relates to the call for circumspection. system. Phrased differently, history matters: Sustainable energy We found that since the 1980s, system builder visions switched practitioners do not start with a clean slate—they have to deal with from emphasizing business opportunities to sustainability gains. a tightly coupled and highly institutionalized water system that Even in the case of small scale systems with minor outputs, they has evolved over centuries. stress the need to proceed, arguing that using too little ‘freely’ Third, we contribute to the scale and sustainability debates. flowing water for sustainable energy production would be a These debates seem to uncritically relate being small-scale to societal waste and missed opportunity. being sustainable, without questioning this linear relationship. Moreover, when we examine the articulation of problems that Höffken [85] explored this with micro-hydel plants in India. Her system builders feel impede their visions, fish issues were espe- case studies showed that downscaling large hydropower tech- cially salient. They struggle with finding an acceptable fish damage nology does not necessarily prevent harmful effects. Furthermore, benchmark, and relating to the interests of other stakeholders. even ‘small’ technologies are part of a ‘bigger whole’. Scale is Another problematic theme is the lack of momentum for hydel relational and needs to be contextualized. So ‘small’ in itself does projects. not mean anything when speaking of sustainability; rather it is We also found different types of strategies that system builders about how a technology could ‘fitin’ a broader system, which have developed to address the problems. These include yielding to might be easier if a technology is smaller, but it is not a reason in other water uses (‘yield to fitin’), sticking to favorable regulatory itself. frameworks (‘confirmative policy focus’), and linking the legit- Based on these contributions, we present the three following imation of hydropower to other socially relevant issues (‘hydel concluding points: legitimation’). Importantly, we showed that the system builders Yielding to other water uses might have fulfilled hydropower’s apply these different strategies to make hydropower part of the pledge as a friendly renewable energy technology that fits Dutch water management system. The problems are embedded – smoothly into the water system. However, adjusting hydel plants and should be understood ‒ within the dynamics of that broader to other water uses results in a relatively small autonomy for the 1502 T.N. Manders et al. / Renewable and Sustainable Energy Reviews 59 (2016) 1493–1503 hydel system. 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