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Coversheet for Thesis in Sussex Research Online A University of Sussex DPhil thesis Available online via Sussex Research Online: http://sro.sussex.ac.uk/ This thesis is protected by copyright which belongs to the author. This thesis cannot be reproduced or quoted extensively from without first obtaining permission in writing from the Author The content must not be changed in any way or sold commercially in any format or medium without the formal permission of the Author When referring to this work, full bibliographic details including the author, title, awarding institution and date of the thesis must be given Please visit Sussex Research Online for more information and further details The politics of system innovation for emerging technologies: Understanding the uptake of off-grid renewable electricity in rural Chile Jose Opazo A thesis submitted in September 2014 in partial fulfilment of the requirements for the degree of Doctor of Philosophy SPRU - Science Policy Research Unit University of Sussex i I hereby declare that this thesis has not been, and will not be, submitted in whole or in part to another University for the award of any other degree. Signature: ……………………………………… Jose Opazo ii UNIVERSITY OF SUSSEX Jose Opazo DPhil in Science and Technology Policy Studies The politics of system innovation for emerging technologies: understanding the uptake of off-grid renewable electricity in rural Chile Summary Access to sustainable energy in the developing world has become a fundamental challenge in development and environmental policy in the 21st Century, and rural electrification in developing countries constitutes a central element of access to energy goals. However, traditional ways of providing electricity to dispersed rural populations (i.e. through centralised electricity infrastructure or fuel-based on-site generation) is proving to be ineffective, inefficient and less sustainable than the use of renewable energy technologies (RETs) in off-grid settings. Such ‘system innovations’ for sustainable electricity services in rural areas are the focus of this study, which seeks to understand the reasons underlying success or failure in the diffusion of radical innovations. Embracing evolutionary and constructivist theories of socio-technical change and sustainability transitions, the thesis attempts to explain the use and diffusion of PV (photovoltaic) and wind technology in off-grid rural electrification over the last 20 years in Chile, a country where access to rural electricity has increased from 53% to 95%. RETs have contributed to nearly 10% of that increment. By using a framework that combines Strategic Niche Management (SNM), systemic intermediation and power, agency and conflicts in decision making, the thesis analyses the dynamics between the development and adaptation of new technologies and their influence in regime shift through replication, scaling up and translation of new socio-technical practices. The thesis attempts to shed light on processes affecting niche construction and it concludes that internal niche processes are relevant to understanding how radical innovations are structured and stabilised from the aggregation of projects. However, those processes are not only a managerial activity that can be steered but a politically underpinned (and iterative) process between specific (socio-political) settings. The study also highlights the role of systemic intermediaries, government and incumbent actors in the dynamic interaction between emergent niche dynamics and traditional ways of improving electricity access. iii Table of Contents Summary ........................................................................................................................................ ii List of Abbreviations ................................................................................................................... viii Acknowledgements ........................................................................................................................ x 1. Introduction .......................................................................................................................... 1 2. Theoretical Framework ......................................................................................................... 8 2.1 Introduction to the chapter .......................................................................................... 8 2.2 Rationale ....................................................................................................................... 9 2.3 General Discussion of Socio-Technical Change ........................................................... 14 2.4 Managing the emergence of new technologies: the Strategic Niche Management Approach ................................................................................................................................. 20 2.4.1 Articulation of expectations. ............................................................................... 23 2.4.2 Building social networks. .................................................................................... 24 2.4.3 Learning through multiple dimensions. .............................................................. 25 2.4.4 Interaction between niche processes. ................................................................ 27 2.5 Intermediary action in niche construction .................................................................. 29 2.6 Initial Assessment of Gaps in the Theoretical Approximations to Socio-Technical Change and Niche Construction. ............................................................................................ 32 2.6.1 Intermediary Action as Political Activity ............................................................. 32 2.6.2 Niche Regime Interaction.................................................................................... 33 2.6.3 Distributed decision making in the construction of niches and regimes ............ 34 2.7 Additional gaps in the theory: the particular consideration of developing country contexts ................................................................................................................................... 37 2.8 Previous applications of the SNM framework in Developing Countries ..................... 39 2.9 Re-statement of RQ’s .................................................................................................. 41 2.10 Chapter Conclusions ................................................................................................... 41 3. Methodology ....................................................................................................................... 43 3.1 Introduction to the chapter ........................................................................................ 43 3.2 Conceptual Framework ............................................................................................... 44 3.3 Research Design: Operationalising SNM in rural electrification research .................. 51 3.3.1 Strategy and approach ........................................................................................ 51 3.3.2 Case Study Selection ........................................................................................... 53 3.3.3 Case Study Protocol ............................................................................................ 55 iv 3.3.4 Data Coding and Analysis .................................................................................... 64 3.4 Limitations of the methodology.................................................................................. 66 3.5 Collaboration with other projects and engagement in research networks ................ 68 3.6 Chapter conclusions .................................................................................................... 69 4. Rural Electrification Context in Chile .................................................................................. 71 4.1 Introduction to the chapter ........................................................................................ 71 4.2 The Origins of Electricity in Chile ................................................................................ 71 4.3 1980s: Sector Reform and Liberalisation of the Power Market ................................. 74 4.4 Rural Electrification Following Sector Reform ............................................................ 79 4.5 Regime Stabilisation: Chilean Rural Electrification Programme (PER 1994-2010) ..... 82 4.5.1 MIDEPLAN’s project assessment methodology .................................................. 86 4.6 In Search of Alternative Solutions: the Emergence of Off-Grid Rural Electrification and the Dissemination of Renewable Energy Technologies. .................................................. 90 4.7 Chapter conclusions .................................................................................................. 103 5. Solar PV Off-Grid Rural Electrification in Central and Northern Chile .............................. 106 5.1 Introduction to the chapter ...................................................................................... 106 5.2 Uncoordinated flashes: today’s light is tomorrow’s darkness .................................. 107 5.3 Connecting actors, lighting expectations: The Pivotal Role of the Coquimbo PV Project 109 5.4 Replicating success or repeating homogeneous models? The emergence of routines and practices around PV electrification ...............................................................................
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