Table Of ContentEnergiepolitik und Klimaschutz
Herausgegeben von
PD Dr. Achim Brunnengräber, TU Dresden
PD Dr. Lutz Mez, FU Berlin
Dagmar Sibyl Steuwer
Energy Effi ciency
Governance
The Case of White Certifi cate
Instruments for Energy Effi ciency
in Europe
Dagmar Sibyl Steuwer
Berlin, Germany
Dissertation Freie Universität Berlin, 2012
Gefördert durch das Stipendienprogramm der Deutschen Bundesstift ung Umwelt
ISBN 978-3-658-00680-8 ISBN 978-3-658-00681-5 (eBook)
DOI 10.1007/978-3-658-00681-5
Th e Deutsche Nationalbibliothek lists this publication in the Deutsche Nationalbibliografi e;
detailed bibliographic data are available in the Internet at http://dnb.d-nb.de.
Library of Congress Control Number: 2012954142
Springer VS
© Springer Fachmedien Wiesbaden 2013
Th is work is subject to copyright. All rights are reserved by the Publisher, whether the whole
or part of the material is concerned, specifi cally the rights of translation, reprinting, reuse of
illustrations, recitation, broadcasting, reproduction on microfi lms or in any other physical
way, and transmission or information storage and retrieval, electronic adaptation, computer
soft ware, or by similar or dissimilar methodology now known or hereaft er developed. Ex-
empted from this legal reservation are brief excerpts in connection with reviews or scholarly
analysis or material supplied specifi cally for the purpose of being entered and executed on
a computer system, for exclusive use by the purchaser of the work. Duplication of this pub-
lication or parts thereof is permitted only under the provisions of the Copyright Law of the
Publisher’s location, in its current version, and permission for use must always be obtained
from Springer. Permissions for use may be obtained through RightsLink at the Copyright
Clearance Center. Violations are liable to prosecution under the respective Copyright Law.
Th e use of general descriptive names, registered names, trademarks, service marks, etc. in
this publication does not imply, even in the absence of a specifi c statement, that such names
are exempt from the relevant protective laws and regulations and therefore free for general
use. While the advice and information in this book are believed to be true and accurate at
the date of publication, neither the authors nor the editors nor the publisher can accept any
legal responsibility for any errors or omissions that may be made. Th e publisher makes no
warranty, express or implied, with respect to the material contained herein.
Printed on acid-free paper
Springer VS is a brand of Springer DE.
Springer DE is part of Springer Science+Business Media.
www.springer-vs.de
Acknowledgement
I am especially thankful to my supervisors, PD Dr Lutz Mez and Professor Dr
Miranda A. Schreurs, for their very helpful guidance on this research project.
They alwayshad ideas about how best to proceed with the research.I would like
to thank the Deutsche Bundesstiftung Umwelt and the German Academic Ex-
change Service for their financial support. In addition, I would like to express my
special gratitude to those who reviewed parts, or even the whole, of the manu-
script, or who helped me with translation: (in alphabetical order) Dr Matthias
Adolf, Luca Ballestra, Veit Bürger, Dr Louis-Gaëtan Giraudet, Dr David Jacobs,
Dr Michael James, Dr Nicola Labanca, Dr Benjamin Miethling, Inken Reimer,
Stefan Rother, Daniele Russolillo, Dr Annika Sohre and Dr Kerstin Tews.
Thanks are due also to the members of the Ph.D. colloquium, who regularly
attended my presentations and made valuable contributions to solving research
problems.
Iwould like to thank my familyandmy colleagues from the German Coun-
cil for Sustainable Development, for their patience in supporting my project and
sustaining my morale. Many thanks also to Dr Günther Bachmann for providing
me with the necessary environment for completing the dissertation.
Finally, may I express my appreciation for the support for all those experts
who agreed to be interviewed. This project would not have succeeded without
their cooperation. (The views expressed in the interviews do not necessarily
represent the official policy of any particular company, institution, or agency.
Individuals spoke entirely –and only –on their own behalf.)
Overview of contents
Acknowledgement 5
Overview of contents 7
Detailed table of contents 9
Figures 19
Tables 21
List of Abbreviations 23
1 Introduction 27
2 Theoretical framework 49
3 Methodological Operationalization 101
4 Research on WCIs 115
5 France 167
6 Britain 213
7 Italy 263
8 Comparison 309
9 Conclusions 341
List of References 367
Annex 391
Detailed table of contents
Acknowledgement 5
Overview of contents 7
Detailed table of contents 9
Figures 19
Tables 21
List of Abbreviations 23
1 Introduction 27
1.1 Motivation 27
1.2 Inductive-deductive research process 30
1.3 White Certificate Instruments 31
1.3.1 How do WCIs work? 32
1.3.2 Two sources of WCIs 34
1.3.3 Measurement of savings 36
1.3.4 Design Choices: Determining the WCI’s mode of action 37
1.3.4.1 WCI as hybrid instruments: the quest for functional
equivalents 38
1.3.4.2 Quantity versus price incentives 39
1.3.4.3 Coercion versus flexibility 40
1.3.4.4 Provision of information, enhancing networking and
cooperation 41
1.3.5 Additionality 42
10 Detailed table of contents
1.3.6 WCIs in practice –deriving the research question 42
2 Theoretical framework 49
2.1 Studying WCIs: A policy analysis perspective 49
2.2 Ideas in context –expanding Historical Institutionalism to
Constructivist Institutionalism 52
2.2.1 Strategic action and goals 57
2.2.2 Fostering change: Framing the problem and creating a policy
image 60
2.2.3 Policy entrepreneurs as agents of strategic action 63
2.2.4 Unintended outcomes and prevailing tensions 65
2.3 Policy instruments and change: tools, indicators, or agents? 66
2.3.1 Explaining policy instrument choice and change 66
2.3.2 Implications of a historical-constructivist institutionalism
perspective for models explaining policy instrument choice 70
2.4 Understanding market-based policy instruments 77
2.4.1 MBIs as ‘technical tools’: a variety of categorizations 77
2.4.2 Strategies and misconceptions: Ideas about market and market-
based policy instruments 83
2.4.3 WCI –a hybrid in disguise 87
2.5 Energy efficiency –The complexity challenge 90
2.5.1 Multiple goals 91
2.5.1.1 The liberalization of energy markets 92
2.5.1.2 Security of energy supply 93
2.5.1.3 Climate change 93
2.5.2 Multiple solutions 94
2.5.3 Multiple actors 96
3 Methodological Operationalization 101
Detailed table of contents 11
3.1 Introduction: Two levels of analysis 101
3.2 Process tracing 104
3.2.1 Archival research 104
3.2.2 Semi-structured expert interviews 105
3.3 Perception tracing 106
3.3.1 Qualitative content analysis 107
3.3.1.1 General rules 108
3.3.1.2 Establishing search patterns 109
3.3.2 Participatory observation 111
3.4 Putting the pieces together: multidimensional comparison 111
4 Research on WCIs 115
4.1 Introduction: Analysing the WCI expert community 115
4.2 Identifying and selecting sources for analysis 116
4.3 Delineating and characterizing the expert community 117
4.4 2004–2007: European and international research projects 119
4.4.1 Research Consortia 120
4.4.2 Objectives and research focus 120
4.4.3 Results and design recommendations 122
4.4.4 The three research projects in a nutshell 127
4.5 Major Publications 128
4.5.1 Literature presenting the ‘big picture’ 129
4.5.2 Literature on WCIs and trading 135
4.5.3 Comparing WCIs with other policy instruments 137
4.6 Knowledge development: Preliminary summary of written
material 140
4.7 Conferences 142
12 Detailed table of contents
4.7.1 IEA workshop on WCIs in Milan 143
4.7.2 JRC Workshop on ‘White ertificates, utility and supplier
obligation’ in Brussels 143
4.7.2.1 European harmonization versus national particularities 145
4.7.2.2 Flexibility versus coercion 146
4.7.2.3 WCI in the context of energy-efficiency discourses 148
4.7.3 ECEEE summer study 2009 151
4.7.3.1 Presentation on WCIs in Italy, Britain, and France 153
4.7.3.2 Informational session on recent news on WCIs 155
4.7.4 Exchanging knowledge at conferences: Summary 156
4.8 Concluding analysis 158
4.8.1 Focal issues over time 159
4.8.2 Preliminary conclusions 164
5 France 167
5.1 The French energy structure 167
5.1.1 Energy savings in the 2006 investment plans 169
5.1.2 Energy savings in the 2009 investment plans 170
5.1.3 Slowly liberalizing energy markets 171
5.2 History of White Certificate Instruments in France 172
5.2.1 Existing measures in end-use energy efficiency 173
5.2.2 First period Agenda-setting: Choosing a market-based policy
instrument 175
5.2.2.1 Design choices: regulating the details 177
5.2.2.2 Outcomes 184
5.2.3 Second period 185
5.2.4 Preliminary conclusions on the history of WCI in France 188
