This Thesis Has Been Submitted in Fulfilment of the Requirements for a Postgraduate Degree (E.G. Phd, Mphil, Dclinpsychol) at the University of Edinburgh
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This thesis has been submitted in fulfilment of the requirements for a postgraduate degree (e.g. PhD, MPhil, DClinPsychol) at the University of Edinburgh. Please note the following terms and conditions of use: This work is protected by copyright and other intellectual property rights, which are retained by the thesis author, unless otherwise stated. A copy can be downloaded for personal non-commercial research or study, without prior permission or charge. 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. Local Governance of Energy Initiatives: Struggles in Assembling Value Margaret Tingey Doctor of Philosophy The University of Edinburgh 2020 Abstract Local Authorities are increasingly expected to meet UK 2050 net zero climate goals. However, they struggle to assemble investment for local energy and carbon saving projects. In this thesis I examine how valuation devices that local authorities use to support decision making, shape the development of energy projects. I first develop a conceptual model bridging economic sociology of valuation and programmes of governing. I then use this model to examine valuation practices in local energy across 40 local authority case studies. I demonstrate that the value of local energy initiatives is not pre- determined, but is assembled through processes of ‘value-in-the-making’. Local authorities are required to follow formal processes at key junctures in project development. I analyse three such formal valuation processes through my conceptual model: Best Value, the business case model and public procurement. Although governments advise that all three valuation processes provide a balanced evaluation of local investment options, in practice this proves more difficult to achieve, at least for energy projects. I found that energy projects were subjected to diverse processes of economisation which marginalised social value and public goods. It was during the application of these formal valuation devices that the parameters of value shifted. Each device was customised to circumstances and susceptible to different interpretations by officers from across the council throughout project development. This sometimes opens up discrete spheres of influence. Thus, interpretative flexibility, negotiation and contestation ultimately shape the success, scale and scope of energy initiatives. I conclude that the current structures governing valuation practices in local authority energy projects constrains their systematic contribution to a clean energy society. i Lay Summary Local Authorities are increasingly expected to meet UK 2050 net zero climate goals. However, with no direct powers and resources for local energy planning and investment, they struggle to assemble investment for local energy and carbon saving projects. In this thesis I examine how tools and procedures that local authorities use to support decision making, shape the development of energy projects. The theoretical approach used draws from economic sociology of valuation and programmes of governing. This perspective considers that value is not inherent, but is put together, or assembled, through a whole number of different ways of calculating and evaluating. Importantly, using this perspective draws attention to the idea that value is assembled through processes of ‘value-in-the-making’, i.e. it involves a variety of practices and activities. However, we have little evidence about how these processes unfold in local authority energy projects. I therefore applied this theoretical perspective to consider what happens to local energy when different tools and procedures are used across project development. I examined three formal processes across key junctures in project development: Best Value, the business case model and public procurement. I gathered and analysed data about how these formal tools were intended to be used; and using 40 local authority case studies, found out what actually happened during their application. Although governments advise that all three can provide a balanced evaluation of local investment options, in practice this proves more difficult to achieve, at least for energy projects. I found that energy projects were ii subjected to diverse processes which prioritised cost saving and income generation, and marginalised energy and carbon saving and public goods. It was during the application of these formal tools and procedures that the parameters of value shifted. Each set of procedures was customised to circumstances and susceptible to different interpretations by officers from across the council throughout project development. This sometimes opens up discrete spheres of influence. Thus, how tools and procedures are interpreted, negotiated and contested ultimately shapes the success, scale and scope of energy initiatives. I conclude that the current organisation of assessing local investment options in local authority energy projects constrains their systematic contribution to a clean energy society. iii Publications arising Tingey, M., Hawkey, D., & Webb, J. (2016). Assessing local government engagement in energy systems development in the UK and its likely trajectories. In Sustainable Urban Energy Policy: heat and the city (pp. 157–182). Abingdon: Routledge. Webb, J., Tingey, M., & Hawkey, D. (2017). What We Know about Local Authority Engagement in UK Energy Systems: Ambitions, Activities, Business Structures & Ways Forward. London and Loughborough: UKERC and ETI. Tingey, M., & Webb, J. (2020). Governance institutions and prospects for local energy innovation: laggards and leaders among UK local authorities. Energy Policy, 138, 111211. iv Acknowledgements A lot of people have supported me in producing this thesis. I am extremely grateful to my supervisors who have provided continual support, intellectual and practical guidance, and patience. Jan Webb, who encouraged me to register, and has provided intellectual explorations, a calm and reassuring voice throughout, an endless willingness to comment on countless drafts of material, and a belief that I could finish this thesis. Dave Hawkey, who helped me in innumerable ways, including explaining (often over coffee) the intricacies of economic sociology, energy policy, bits of energy tech and kit, and how to organise data. You also both introduced me to a large group of practitioners from whom I have learnt a lot. Your inclusive approach has enabled my personal development, and made this thesis fun. Faye Wade, who was willing to join as a supervisor during my writing up, and provided invaluable insight and contribution, including helping me to clarify and simplify my thoughts and get them on the page. I am indebted to each of you. I am very grateful to the local authority officers who gave up their time to participate and were willing to share their knowledge and insights with me. Michael King, who generously provided expert tuition on all things local authorities, district heating and heat policy, and introduced me to contacts in practitioner networks. And to the members of the UK District Energy Vanguards Network, and the Scottish Heat Network Partnership Practitioner Group for sharing their experiences. Special thanks to David McCrone who has always encouraged me to keep going, offered much laughter en route, and provided amazing vegetables. Ruth Bush who whether in the same office, or the other side of the world, has always managed to provide the insight and nugget of support that I needed. I am also very grateful to Anita Engels for hosting me at the University of Hamburg in 2018, and welcoming me into the sociology colloquium for climate research. Angela Pohlmann and Kerstin Walz, for sharing your work and for your friendship. And the Energy Technology Partnership who awarded me an international exchange grant which provided financial support. Thanks to the RIPPLES network who have encouraged me to stick at it and introduced me to new ways of thinking. Particular thanks to Emily Creamer, Bregje van Veelen, Tim Braunholtz-Speight and Will Eadson. And to Rowena Purrett for help with proofreading when I was not being as coordinated as I could be. Finally to my family, whose cheering on has seen me through, and to Roman, you know that without your support I would never have gotten this far. v Contents Abstract i Lay Summary ii Publications arising iv Acknowledgements v List of Figures and Tables viii Abbreviations ix 1 Introduction 2 1.1 Rationale for studying local governance of energy and valuation practices 3 1.2 Research objective and focus 6 1.3 Overview of Chapters 8 2 UK Local Governance and Energy 12 2.1 Introduction 12 2.2 Local Authority Engagement with Energy 14 2.3 Institutional capacities, competition and efficiency in local public services 21 2.4 Research scope of this thesis 33 3 An Economic Sociology Perspective on Valuation of Local Energy 36 3.1 Introduction 36 3.2 Economic sociology perspective on value 40 3.3 Conceptualising making of value from local energy initiatives 46 3.4 Establishing a research question to investigate value-in-the-making of local energy initiatives 60 4 Methodology and Research Design 68 4.1 Methodology 68 4.2 A multiple-case study approach 74 4.3 Selecting a strategic sample