Delivering urban energy infrastructure: the capacity of planning and governance networks in the cases of Barcelona, Burlington, Lerwick, London, and Toronto Sarah E Cary University College London Research Degree: PhD, the Bartlett School of Planning 1 Declaration I, Sarah E Cary, confirm that the work presented in this thesis is my own. Where information has been derived from other sources, I confirm that this has been indicated in the thesis. 2 Abstract District heating and cooling (DHC) systems are a sound solution to environmental, energy security, climate change, and fuel poverty concerns in cities. As an environmental policy goal not fully controlled by government and subject to complex multi-actor negotiations, building DHC can be understood as requiring network governance patterns of behaviour. This thesis investigates the role of planning in delivering DHC, employing a conceptual framework of Actor-Centered Institutionalism to unravel the relationships between industry, government, and citizen organizations in governance networks. It contributes to a growing area of study on the intersection of urban development, energy infrastructure, and environmental policy goals. It responds to calls for further practical research on governance patterns of behaviour, applying a recognised network governance approach to the analysis of five international case studies. It also investigates the weight of institutional context and the purported connection between network interaction characteristics and policy outcomes. The research categorises a range of potential roles for planning organisations and planning interventions in governance networks for DHC. The comparative analysis suggests that planning organisations rarely negotiate for DHC but that planning interventions are regularly used to initiate governance networks for DHC and to shape negotiations by other actors. The findings outline a number of specific institutional factors, actor orientations and capabilities as well as qualities of interaction which affect the capability of governance networks to deliver DHC. The research contributes to the explanatory ambitions of network governance research and expanded understanding of the capacity of planning in building and managing urban energy infrastructure. The findings can potentially be extended to other urban utility infrastructure and environmental policy goals. 3 Acknowledgements To my friends and family for their support and patience. Special thanks are due to Tom, Paul, and Josephine. To my supervisors, Dr Joanna Williams and Professor Yvonne Rydin, for their continuing guidance over the years. My gratitude is also extended to my employer during this research, The British Land Company, for their assistance and understanding. Supervisors Dr Joanna Williams, The Bartlett School of Planning Professor Yvonne Rydin, The Bartlett School of Planning 4 Table of Contents Chapter 1. Introduction ................................................................................................................... 9 1.1 Urban Energy Infrastructure: District Heating and Cooling ............................................... 10 1.2 Why is Planning Relevant for DHC? ................................................................................. 16 1.3 Research Aims and Thesis Structure .............................................................................. 21 Chapter 2. Planning for DHC in Governance Networks ............................................................... 24 2.1 Introducing Governance .................................................................................................... 24 2.2 DHC Requires Governance Networks .............................................................................. 29 2.3 Planning for DHC in governance networks ....................................................................... 33 2.4 Implications for the Research Questions .......................................................................... 37 Chapter 3 Institutional Dimensions of Planning for DHC ............................................................. 41 3.1 Introducing Institutionalism ............................................................................................... 41 3.2 The Institutional Context of Planning ................................................................................ 42 3.3 The Institutions of Urban Energy Infrastructure ................................................................ 44 3.4 The Institutional Context of DHC ...................................................................................... 47 3.5 Implications for the Research Questions .......................................................................... 49 Chapter 4. Bringing Institutions and Governance Networks Together to Understand DHC ........ 51 4.1 Revisiting the Research Questions ................................................................................... 51 4.2 Actor-Centered Institutionalism: A Conceptual Framework for the Research Questions . 53 4.3 Applying ACI to the Research Questions ......................................................................... 57 4.4 Summary of Research Approach and Potential Contribution to Knowledge .................... 59 Chapter 5. Research Methodology .............................................................................................. 62 5.1 Comparative Research ..................................................................................................... 62 5.2 Methods of Case Study Selection using ACI .................................................................... 64 5.3 ACI Structures the Methods of Data Collection and Analysis ........................................... 68 5.4 Analysis Methods .............................................................................................................. 76 5.5 Research Design: In Summary ......................................................................................... 80 Chapter 6. Barcelona, Districlima in 22@: Extending Urbanisme ............................................... 82 6.1 The Actors ......................................................................................................................... 84 6.2 Analysis of the Actors and Actor Constellation ................................................................. 89 6.3 Interactions: Positive Coordination Negotiations .............................................................. 95 6.4 Conclusions: Urbanisme Delivers ..................................................................................... 96 Chapter 7. Burlington: The Challenge of Moving from Talking to Negotiating ............................. 99 7.1 The Actors, and the Absent Actors ................................................................................. 101 7.2 Analysis of Actors and the Actor Constellation ............................................................... 105 7.3 Mode of Interaction: Talking not Negotiating .................................................................. 110 7.4 Conclusions: the Challenge of Finding Power ................................................................ 111 Chapter 8. Lerwick: Where Actors Wear Many Hats ................................................................. 113 8.1 The Actors ....................................................................................................................... 114 8.2 Analysis of the Actors and Actor Constellation ............................................................... 117 5 8.3 Interactions and Negotiations: Problem Solving not Positive Coordination .................... 122 8.4 Conclusions: Tight Networks for Public Benefit............................................................... 123 Chapter 9. London, Elephant and Castle: Policy Entrepreneurs Amidst Conflict and Change . 125 9.1 The Actors ....................................................................................................................... 127 9.2 Analysis of the Actors and the Actor Constellation ......................................................... 130 9.3 Interactions: Formal Negotiations and Unstable Networks ............................................. 136 9.4 Conclusions: The Challenge of Changing Conditions ..................................................... 137 Chapter 10. Toronto’s Deep Lake Water Cooling: Hierarchy in the Shadow of the Network .... 140 10.1 The Actors ..................................................................................................................... 142 10.2 Analysis of the Actors and Actor Constellation ............................................................. 146 10.3 Interactions: Hierarchical Direction to Positive Coordination ........................................ 152 10.4 Conclusions: Hierarchy in the Shadow of the Network ................................................. 153 Chapter 11. Comparative Analysis ............................................................................................ 156 11.1 How do Governance Networks Support DHC? ............................................................. 157 11.2 How does the Institutional Setting Influence the Delivery of DHC? .............................. 166 11.3 What is the Role of Planning in Delivering DHC? ......................................................... 176 Chapter 12. Research Contribution: Conclusions and Reflections ........................................... 184 12.1 Summary of the Empirical