Olga Johnson E-Thesis.Pdf
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The Concept of Energy Security: Implications of EU-Russia Energy Relations, 2004-2012 Olga Johnson Submitted in accordance with the requirements for the degree of Doctor of Philosophy The University of Leeds School of Politics and International Studies August 2016 The candidate confirms that the work submitted is her own and that appropriate credit has been given where reference has been made to the work of others. This copy has been supplied on the understanding that it is copyright material and that no quotation from the thesis may be published without proper acknowledgement. © 2016 The University of Leeds and Olga Johnson The right of Olga Johnson to be identified as Author of this work has been asserted by her in accordance with the Copyright, Designs and Patents Act 1988. 2 Acknowledgements I would like to express my special appreciation and massive thanks to many people, who at different stages of my PhD research were an important part of my life and generously contributed to the work presented in this thesis. First and foremost my profound gratitude goes to my invaluable and truly dedicated supervisors Dr. Hugh Dyer, Dr. Neil Winn and my former research supervisor Dr. Charlotte Burns. All of you have been amazing mentors for me who encouraged, guided and challenged my research, providing me with the opportunity to develop as a research scientist. Your advice regarding my research, academic career and general life circumstances have been much appreciated and acted upon. Your approach to supervision of this thesis, with a sense of humour, a ‘pinch of salt’ and constructive criticism, has undoubtedly strengthened my thesis. I am very grateful to the POLIS department for believing in me and granting a scholarship to pursue this PhD and the Open Society Institute that provided the necessary financial support required for me to complete my fieldwork. Thanks to their funds and support this research project was possible. I would like to extend thanks to energy specialists and those I interviewed in Brussels, Warsaw and Berlin, who agreed to contribute to my work with their knowledge, expertise and time. Without them my research would be incomplete and unsustainable. Finally, but by no means least, I am very grateful to my immediate and extended family. Words cannot express what their understanding, support and kind attitude has meant to me along this academic journey. I would also like to thank all of my friends and PhD colleagues who supported me in thinking, writing, and encouraging me to finish this research project. 3 Abstract This research project presents a novel and fundamental understanding of energy security and threat perceptions by analysing the EU-Russia energy relationship concerning gas supply during the period 2004-2012. The ultimate goal of this thesis is to address the two-fold research question of why differences exist in the threat perceptions and understandings of energy security among member states of the EU, and how they affect EU’s energy stance and its gas relations with Russia. Encountering endemic problems with the coherence of EU energy policy towards Russia, the research focuses on two case studies, those of Poland and Germany, based on identifying their energy interests and identities and the previous patterns of energy interactions with Russia as an explanatory basis for the construction of threat perceptions. 4 Table of Contents Acknowledgements 3 Abstract 4 Table of Contents 5 Acronyms and Abbreviations 9 List of Figures (7) and Tables (2) 11 Chapter 1. Introduction 12 1.1. General Context of the EU-Russia Energy Relations 14 1.2. Importance of the Research 17 1.2.1. Why the EU-Russia Energy Security and Threat Perceptions? 17 1.2.2. Gas as a Source of Energy Conflicts 19 1.2.3. The Benefits of Constructivism 21 1.2.4. The EU and its Member States as Units of Analysis 24 1.2.5. The Significance of the Time Frame 25 1.3. Novelty and Originality of the Research 26 1.4. Research Objectives and Positioning of the Research Questions 28 Chapter 2. Theoretical Foundations 32 2.1. Realism as a Limited Attempt to Analyse EU-Russia Energy Relations 36 2.2. Constructivism in IR 40 2.2.1. Constructivist Account of Identity and Interests: Implications for 44 the EU-Russia Threat Perceptions 50 2.2.2. The EU’s Identity as an Energy Actor 2.2.2.1. EU’s Identity in IR and EU Studies 50 2.2.2.2. Conceptualisation of the EU Energy Actorness 53 2.3. Copenhagen School of Security Studies: Beyond the Constructivist 59 Boundaries 2.4. Conclusion 66 Chapter 3. Analytical Approach to Energy Security and Threats 68 3.1. Conceptual Definition of ‘Energy Security’ 71 3.2. Understanding the Basis of a ‘Threat’ 73 3.3. Understanding of Energy Security and Threats in the EU-Russia Nexus 76 78 3.4. Categories of Energy Sensitivity and Vulnerability 3.5. Conclusion 81 5 Chapter 4. Methodology and Methods 84 4.1. The Case Studies Research Design 85 4.1.1. Why Case Studies? 85 4.1.2. What are the Cases of? 88 4.2. Data Collection Methods 90 4.2.1. Elite Interviewing 91 4.2.2. Documents and Secondary Data 93 4.3. Data Analysis 94 4.4. Limits, Limitations and Ethics of the Research 96 4.5. Conclusion 101 Chapter 5. The Peculiarities of EU-Russia Energy Relations 103 5.1. Multilateral and Bilateral Platforms for the EU-Russia Energy Interplays 105 5.2. Russia as an International Energy Player 112 5.2.1. The Development of Russia’s Energy Foreign Policy Identity 112 5.2.2. Gazprom as a Consolidator of Russian Energy Interests 116 5.2.3. Russia’s Energy Conflicts with the Transiting States: Implications 121 for the EU 5.3. The Formation of European Energy Security Interests and Identity 127 between 2004 and 2012 5.3.1. Solidarity as a Precondition to European Energy Security 128 5.3.2. The Analysis of the EU Energy Actorness 132 5.4. The EU-Russia Energy Stress Points: Grounds for Mutual Misperceptions 140 5.4.1. Contradicting Views on Energy Interdependence 141 5.4.2. Different EU-Russia Accounts on Understanding of Energy 147 Security 5.4.3. Conflicting Approaches to Energy Diversification Policies 154 5.4.4. Differences in Regulatory Energy Approaches: Market 158 Liberalisation Principles 5.5. Conclusion 161 Chapter 6. Case Study: Polish Energy Security between 2004 and 2012 164 6.1. Poland’s Energy Policy 167 6.1.1. Structure of Polish Energy Market 167 6.1.2. Main Energy Players 169 6 6.1.3. National Energy Diversification Priorities 174 6.1.3.1. Diversification of Energy Types 174 6.1.3.2. Diversification of External Gas Routes and Country 177 Sources 6.2. Polish Attitudes towards EU Energy Policy 178 6.2.1. Poland’s View on European Energy Solidarity: the Nord Stream 179 Example 6.2.2. Polish Attitude towards the EU Liberalisation 183 6.3. Understanding of Polish-Russian Energy Relations 186 6.3.1. The Nature of Polish-Russian Energy Interplays 186 6.3.2. Poland’s Understanding of Energy Security: The Role of Russia’s 194 ‘Phantom’ in the Construction of Energy Threats 6.4. Polish Energy Identity in the EU: A Victim or Solidarity Agitator? 201 6.5. Conclusion 207 Chapter 7. Case Study: German Energy Security between 2004 and 2012 212 7.1. Germany’s Energy Policy 215 7.1.1. Structure of German Energy Market 215 7.1.2. Key Energy Players 217 7.1.3. National Energy Diversification Priorities: Diversification of 221 Energy Types 7.2. German Attitudes towards EU Energy Security Policy 229 7.2.1. German Stand on the EU Gas Market Liberalisation 229 7.2.2. German Approach to Energy Solidarity in the EU: The Nord 232 Stream Project 7.3. Understanding of German-Russian Energy Relationships 235 7.3.1. The Nature of German-Russia ‘Strategic Partnership’ 236 7.3.2. Germany’s National Strategy and Country’s Perceptions of the 245 Russian Energy Threat 7.4. German Energy Identity: ‘German’ Europe or ‘European’ Germany? 249 7.5. Conclusion 256 Chapter 8. Conclusions 260 8.1. Key Research Findings and Revisiting the Research Questions 260 8.2. Original Contribution of the Research 267 7 8.2.1. Empirical Contribution to Conceptual Approaches of Energy 267 Security and Threat Perceptions 8.2.2. Methodological Impact on Understanding the EU Energy Security 270 Politicisation 8.3. The Future Research Agenda 272 Bibliography 276 Appendix: List of Interviews 297 8 Acronyms and Abbreviations AER The Agency for Renewable Energies in Germany Auswaertiges-amt German Federal Foreign Office AWS–UW Poland's Solidarity Election Action and Union of Freedom coalition bcm Billion Cubic Meters BKartA Bundeskartellamt (German anti-trust authority) BMBF The Federal Ministry of Education and Research in Germany BMU The Federal Ministry of Environment, Natural Conservation and Nuclear Safety in Germany BMWi Bundesministerium für Wirtschaft und Energie (The Federal Ministry of Economics and Technology, later renamed into the Federal Ministry for Economic Affairs and Energy) BNetzA Bundesnetzagentur (The Federal Network Agency in Germany) Bundesnetzagentur The Federal Network Agency in Germany CDU Christian Democratic Union of Germany CEE Central and Easter European CFSP Common Foreign and Security Policy of the EU Copenhagen The Copenhagen School of Security Studies School DENA Deutsche Energie-Agentur GmbH (The German Energy Agency) DG Directorate General DGAP Die Deutsche Gesellschaft für Auswärtige Politik (The German Council on Foreign Relations) ECT The Energy Charter Treaty EEAS European External Action Service EGG Erneuerbare-Energien-Gesetz (German Renewable Energy Act) EnWG Energiewirtschaftsgesetz (German Energy Industry Act) EU European Union EU