I have the honour of inviting T HE you to attend the public defence of my doctoral dissertation GRASSROOTS W.D.B. WARBROEK entitled: ENERGY THE GRASSROOTS THE GRASSROOTS ENERGY TRANSITION TRANSITION ENERGY TRANSITION THE SUCCES AND GOVERNANCE In this doctoral thesis I delve into the THE SUCCES AND GOVERNANCE OF OF LOCAL LOW-CARBON reality of citizen-based low-carbon LOCAL LOW-CARBON ENERGY INITIATIVES ENERGY INITIATIVES energy initiatives in the Dutch province of Fryslân and strive to understand their success. In doing so, I focus on the factors in their direct sphere of influence, as well as the dynamics involved when they interact with their localities and the wider range of governance actors. Regarding the latter, I specifcally investigate how subnational governments and intermediary actors respond to the emergence of these grassroots initiatives. UNIVERSITY OF TWENTE THE NETHERLANDS on Friday 6 September 2019 12.45 hours UNIVERSITY OF TWENTE W.D.B. WARBROEK W.D.B. W ARBROE K THE GRASSROOTS ENERGY TRANSITION THE GRASSROOTS ENERGY TRANSITION THE SUCCESS AND GOVERNANCE OF LOCAL LOW-CARBON ENERGY INITIATIVES DISSERTATION to obtain the degree of doctor at the University of Twente, on the authority of the rector magnificus, Prof. dr. T.T.M. Palstra, on account of the decision of the Doctorate Board, to be publicly defended on Friday the 6th of September 2019 at 12.45 hours by Wynzen Douwe Beau Warbroek born on the 2nd of August 1990 in Ede, The Netherlands. 534325-L-bw-Warbroek Processed on: 20-8-2019 PDF page: 1 THE GRASSROOTS ENERGY TRANSITION This dissertation has been approved by: Promotor: Prof. dr. J.T.A. Bressers Co-promotors: Dr. T. Hoppe Dr. F.H.J.M. Coenen Members of the graduation committee: Chair and Secretary: Prof. dr. T.A.J. Toonen University of Twente Supervisors: Prof. dr. J.T.A. Bressers University of Twente Co-supervisors: Dr. T. Hoppe Delft University of Technology Dr. F.H.J.M. Coenen University of Twente Members: Prof. dr. M.D.T. de Jong University of Twente Dr. M.J. Arentsen University of Twente Prof. dr. M.L.P. Groenleer Tilburg University Prof. dr. H.C. Moll University of Groningen Prof. dr. C.F. van den Berg University of Groningen Campus Fryslân This work is part of a research program which is financed by the Province of Fryslân. Department of Governance and Technology for Sustainability (CSTM), Faculty of Behavioural, Management and Social Sciences. Bookcover design: Henk van der Hoeff ISBN: 978-90-365-4842-7 DOI: 10.3990/1.9789036548427 Copyright © Beau Warbroek, 2019, Enschede, The Netherlands All rights reserved. No parts of this thesis may be reproduced, stored in a retrieval system or transmitted in any form or by any means without permission of the author. 534325-L-bw-Warbroek Processed on: 20-8-2019 PDF page: 2 THE GRASSROOTS ENERGY TRANSITION Acknowledgements This PhD research truly has been a journey in many respects. In my search for suitable theoretical frameworks to understand citizen initiatives in the energy transition, I encountered many strands of literature and inspiring authors. There were times that I thought that I finally found the suitable concept or proposition that could effectively grasp the reality of these local low-carbon energy initiatives. The next day, reading back my notes, I was not quite so sure about my ideas that I wrote down the day before. This iterative process characterized my research endeavour, and I believe, characterizes the very essence of conducting sound research. For me, research very much shows resemblance with weightlifting, a sport that I have been practicing before I started my academic career. In weightlifting, this iterative process is found in the continued back and forth between working the weights that your body is used to, and trying to beat your personal record by putting on a little more weight on the barbell. Perhaps this is why my theoretical frameworks that I have developed are quite extensive. Just as weightlifting, writing a PhD thesis can be quite unforgiving. Lifting weights for years can be undone by a regular flu or a period in which there is simply not enough time to visit the gym. Of course, it is a matter of weeks before one is back at his old level. But still, getting back at that old level and also exceeding it requires quite some motivation and discipline. The same goes for writing a dissertation. Without discipline, motivation, and a continuous effort to finalize the job that you started, a PhD thesis will never get to see a public defence. Finishing and defending a PhD thesis and lifting weights are two endeavours that does not come easy. Perhaps this is why I somehow enjoy(ed) both of them so much. Lifting weights and writing a PhD thesis are both very much solitary undertakings. Every barbell that I deadlifted, squatted or bench-pressed, I did so myself. Still, at times that I wanted to beat my personal record (i.e. put a little more weight on the barbell), I asked my gym buddy to assist me while doing the routine. Sometimes, my gym buddy will help just enough so that my momentum during the squat, deadlift or bench-press is maintained. The same principle goes for writing a PhD thesis. I myself searched for useful theoretical frameworks, combined them into a new ones, conceptualized concepts, and analysed my data. But at crucial times, my supervisors provided support. It is therefore here that I would like to express my gratitude to my supervisors Hans Bressers, Thomas Hoppe and Frans Coenen. Here, I would also like to thank my colleagues at CSTM for all the interesting discussions, lunch walks, and coffee moments that we had. My PhD research also has been a journey in a very literal sense. My wife Shayeeda and I moved to Fryslân for my PhD position. It took some time before we felt at home. The people that we met helped us throughout this process. Here, I would like to thank Hilde, Rinske and Maia for such a warm welcome and all the good times that we had in 534325-L-bw-Warbroek Processed on: 20-8-2019 PDF page: 3 THE GRASSROOTS ENERGY TRANSITION Leeuwarden. I would especially like to thank you for looking after Shayeeda by inviting her to all the extra-curricular activities and welcoming her to the office as well. To this day, my wife and I look back with regret in our hearts that we had to leave Fryslân. It is here that I would like to thank you, Shayeeda, for taking the leap to Fryslân and for supporting me all these years. I would also like to express my sincere gratitude to all the people that I interviewed; for their time, hospitality, expertise, and dedication to the Frisian energy transition. I always liked how open, hospitable and enthusiastic the Frisians are. My PhD research also has been a journey in life. Right at the start of my PhD, I was lucky enough to marry the love of my life, Shayeeda. A few months later, the two of us moved to a province where our (great) grandparents (and in my case, my mother as well) came from. This brought us even closer than we already were. Then, at the 31st of October 2017, our love was sealed once again with the birth of our son Noach Valentijn. Valentijn for because our son is born out of love. As a PhD researcher (and at the research group CSTM), I could see Noach growing up in his first year. I was there the first time he flipped on his stomach, pulled himself up, and took his firststeps. Regularly working from home helped me to be the father that I aspire to be: a father that is always there. Here I would like to thank my parents for always being there for me. 534325-L-bw-Warbroek Processed on: 20-8-2019 PDF page: 4 THE GRASSROOTS ENERGY TRANSITION Table of Content 1. Introduction 1 1.1 Background 3 1.1.1 The Role of LLCEIs in the Energy Transition 4 1.1.2 Clash with the Status Quo 5 1.1.3 The Increasing Role of Civil Society 6 1.1.4 Implications for Governance Arrangements 7 1.1.5 Capacities, Resources and Embedding 8 1.2 Problem statement 9 1.3 Research Objectives 10 1.4 Research Questions and Structure of the Thesis 11 1.5 Outline of the Dissertation 14 1.6 References 16 2 Literature review and theory 25 2.1 Analyzing Local Low-carbon Energy Initiatives 27 2.1.1 Defining Local Low-Carbon Energy Initiatives 27 2.1.2 Analytical points of focus 28 2.2 The LLCEI 30 2.3 The LLCEI and the local community 34 2.3.1 Places, spaces and scales 34 2.3.2 The interaction between an LLCEI and its spaces of dependence 35 2.3.3 Social capital 36 2.3.4 Institutions 38 2.3.4.1 The influence of institutions 39 2.3.4.2 Cultural cognitive influences 40 2.3.4.3 Normative influences and embeddedness 41 2.3.5 Community involvement 43 2.3.6 Visibility 44 2.4 LLCEIs and governance 47 2.4.1 Spaces of engagement and linking social capital: ties with government and intermediaries 47 2.4.2 Supportive governance arrangements 49 2.5 Theoretical framework 51 2.6 References 52 3 The success of LLCEIs 63 3.1 The province of Fryslân and its LLCEIs 65 3.1.1 The province of Fryslân 65 3.1.2.