Illustrating the use of concepts from the discipline of policy studies in energy research: An explorative literature review

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Contents lists available atScienceDirect

Energy

Research

&

Social

Science

j o u r n a l h o m e p a g e :w w w . e l s e v i e r . c o m / l o c a t e / e r s s

Original

research

article

Illustrating

the

use

of

concepts

from

the

discipline

of

policy

studies

in

energy

research:

An

explorative

literature

review

Thomas

Hoppe

a,∗

_,

_Frans

_Coenen

b

_,

_Maya

_van

_den

_Berg

c

a_Policy,_{Organisation,}_Law_&_Gaming_(POLG),_Department_of_Multi-Actor_Systems_(MAS),_Faculty_of_Technology,_Policy_&_Management_(TPM),_Delft

UniversityofTechnology,Jaffalaan5,2628BXDelft,TheNetherlands

b_Department_of_Governance_and_Technology_for_Sustainable_Development_(CSTM),_Institute_for_Innovation_and_Governance_Studies_(IGS),_Faculty_of

Behavioural,ManagementandSocialSciences(BMS),UniversityofTwente,P.O.Box217,Enschede7500AE,TheNetherlands

c_Department_of_Public_{Administration}_(PA),_Institute_for_Innovation_and_Governance_Studies_(IGS),_Faculty_of_Behavioural,_Management_and_Social_Sciences

(BMS),UniversityofTwente,P.O.Box217,Enschede7500AE,TheNetherlands

a

r

t

i

c

l

e

i

n

f

o

Articlehistory:

Received16September2015 Receivedinrevisedform1June2016 Accepted8June2016 Keywords: Energy Policystudies Policy Literaturereview

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Withtheincreasingchallengestheenergysectorfaces,energypolicystrategiesandinstrumentsare becomingevermorerelevant.Thedisciplineofpolicystudiesmightofferrelevantconceptstoenrich multidisciplinaryenergyresearch.Themainresearchquestionofthisarticleis:Howcanpolicystudies contributetomultidisciplinaryenergyresearch,andinhowfardoesresearchonenergypolicyactually usetheconceptsofpolicystudies?Thearticlepresentskeytheoreticalconceptsfromthedisciplineof policystudiesandshowshowtheycanbeofuseinmultidisciplinaryenergyresearch.Thisisillustratedby presentingtheresultsofasystematicreviewofacademicliteratureontheuseofpolicystudiesconcepts inacademicliteratureonenergypolicyinTheNetherlands.Resultsrevealthemaintheoreticalconcepts thatwereusedaswellastheidentiﬁcationofmajorresearchclusters.Resultsalsoshowthatmany conceptsfrompolicystudieswereactuallyintegratedintoeclectictheoreticalframeworks.

1. Introduction

Energyisessentialtooursocietyasitisoneofthemaindrivers ofhumandevelopment[1].Alleconomicsectorsrequireconstant suppliesofenergy.Peoplecannotanddonotwanttolivewithout accesstoenergy.Energymustbeavailableatalltimes,itmustbe affordable,anditmustbeproduced,distributedandconsumedin sustainable,cleanways.Hence,theenergysupplydeserves con-stantattentionandcarefromcitizens,business,andgovernment.

InarecentpublicationinNatureBenjaminSovacoolclaimedthat energyissuesandenergyresearchmorethaneverareinneedof socialsciencesresearch[2].First,acallwasmadeformoreresearch intosocialaspectsrelatedtoenergyconsumption,andsecond,for moreresearchintothedemandsideofenergymarkets.Thetwoare badlyneeded,becauseenergyissues,thusfar,havebeenresearched ratherone-sidedly(technicalandeconomicresearchemphasizing thesupplysideofenergymarkets).Moreover,itistypicallythis typeofresearchthatispublishedinthemostprominentenergy journals(e.g.,Energy,AppliedEnergy,EnergyPolicy).Grandsocietal

∗ Correspondingauthor.

E-mailaddress:T.Hoppe@tudelft.nl(T.Hoppe).

energyissues(suchasthetransitiontodecentralizedsustainable energysystems),however,callforresearchthatalsopaysattention tothesocialanddemandsiderelatedaspectsofenergymarkets. Multi-disciplinaryresearchintosocio-technical,behavioural, insti-tutional,governanceandpolicyaspectsofenergymarketsseems ofimminentimportance,especiallybecausepolicymakersarein needofvalidandreliableinformationthatsupportsevidence-based decisionsinpolicy-makingonenergy(transition)issues.Sovacool callsformoreattentiontothelatter,whichhementions ‘institu-tionsandenergygovernance’;issuesthatrequestcollectiveaction intosolvingenergyproblems[3].

Withthegloballyincreasingdemandsforenergy,andtherecent Paris COP21 climate summit agreement, the policy aspects of energy are becoming ever more relevant. Where energy mar-ketsfail,anddonotsolvenegativeexternalities,governmentsare expectedtointerveneandregulatethemarkets.Allaspectshaving todo withenergy consumption,energydistributionandenergy productionaretoalargeextentdeterminedbygovernmentpolicy [4].Forinstance,insomecountriesenergyconsumptionisheavily taxed,energydistributionisonlypermittedtogridoperators,and energyproductionandsupplyaresubjecttosevereenvironmental policyrequirements.

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Energypolicycanbedeﬁnedindifferentwaysandenergy pol-icyvariesbycountry.IntheU.S.energypolicyaddressestheissues ofenergyproduction,distribution,andconsumption.Energy poli-ciesarebasicallyformulatedtocombatenergyproblems.TheU.S. energypolicyActensuresthatthereissecure,affordableand reli-ableenergyforthefuture.Energypolicymayincludemeasuresand instrumentslikelegislation,internationaltreaties,subsidies, incen-tives,taxincentivesandotherpolicyinstruments[5].TheEuropean Unionusesenergypolicytomakesurethatthreeobjectivesare met:(i)tosafeguardsecureenergysuppliestoensurereliable pro-visionofenergy;(ii)toensurethatenergyprovidersoperateina competitiveenvironmentthatensuresaffordablepricesfor con-sumers;and(iii)tostimulatesustainableenergyconsumption,and tolowergreenhousegasemissions,pollutionandfossilfuel depen-dence[6].InTheNetherlandsenergypolicyisdeﬁnedas“theentire setofpolicymeasuresandinstrumentstoassurereliable, afford-ableandcleansupplyofenergycarriers,ontheshortrunandthe longrun,tospursustainable,economicdevelopmentofeconomies onboththemacro,mesoandmicrolevel”([4]:17).Someofthe objectivesofenergypolicyinthethreeexamplesmentionedappear valuedrivenand maybecontested.Insum, energy policy con-cernsthesetofpolicyinstrumentsthatareusedtoensurereliable, affordable,clean energyprovision,and spureconomic develop-ment.Giventheimportanceenergypolicyhasforthefunctioning ofeconomiesandsociety,itmightbeexpectedthatenergypolicy wouldattractconsiderableacademicattention.Foracademic jour-nalssuchasEnergyPolicythisismostcertainlytrue.However,one mightwonderwhetherthisalsoappliestosocialsciencedisciplines studyingtheverygovernmentinterventionsintheenergydomain. Itisherethatwearguethattheacademicdisciplineofpolicy studieshasmuchtooffertoenergystudies.Givenrecentacademic attentiontoissueslikeenergytransition,renewableenergyand lowcarbonstrategies,scholarsofpolicystudieswouldpotentially havelotstostudy,analysing(differentformsof)energypolicies andtheirimplicationsforenergymarkets,andprovidingadvice topolicy-makersonhowto(re-)designenergypolicies.Insuch studies,theycanmakeuseoftheabundanttheoriesofthepolicy process1 _addressing_issues_such_as_{agenda-setting,}_policy imple-mentation,andcapacitybuilding.Wearguethatthiswouldenrich interdisciplinaryenergyresearch.Wefeelthatpolicystudiescan addsomethingnewprovidingadvicetopolicymakersondesigning energypoliciesandanalysisoftheimpactandeffectsofenergy poli-ciesthathavebeenimplemented.Inapreliminaryexplorationwe noticedthatalthoughajournallikeEnergyPolicyindeedincludes articlesaddressing studies in which theauthors used concepts relatedtotheoriesofthepolicyprocess(e.g.[7–12]).Inspectionof thejournal’spublishedarticleshoweversuggeststhatthe major-ityofarticlespublishedareeconomicinnature,usingquantitative modelstoestablishtheimpactsofenergypolicies(bothexanteand expost),withlittleroomfortheuseandelaborationoftheoriesof thepolicyprocessandtheoriesofgovernance.2

Thisarticleoriginatesfromadebateinanacademicenergy pol-icyresearchnetwork,3_in_which_the_authors_participate._During_the debatethequestionwasraisedwhattheoreticalconceptsofthe policystudies’disciplinecancontributetomultidisciplinaryenergy research.Inadditiontheideawaslaunchedtoconducta system-aticliteraturestudytoexplorethewaysinwhichpolicystudies’

1_Here_we_refer_to_a_broad_set_of_theories_relevant_to_{understanding}_the_policy

process.WeibleandSabatier(Eds.)(2014)provideanoverviewofkeytheoriesofthe policyprocess.However,thisisfarfromcomplete.HillandHupe[22]forinstance, showthatstudiesofpolicyimplementationalonealreadycontainanabundanceof theories.

2_See_also_Section_3.3_of_this_article_for_more_evidence_on_this_phenomenon. 3_The _research _colloquium _on _“Energy _and _climate _{governance”} _of _The

NetherlandsInstituteofGovernmentStudies.

conceptsareactuallyusedintheenergyliterature.Intakingupthe ideathemainresearchquestionofthisarticleis:Howcanpolicy studiescontributetomultidisciplinaryenergystudies’research,andin howfardoesresearchonenergypolicyactuallyusetheconceptsof policystudies?

Inthefollowingsectionweaddressthepotentialofpolicy stud-iesformultidisciplinaryenergyresearchandarguewhichpolicy studiesconceptsmightbeusefultoenergyresearch(Section2).In Section3researchmethodsareaddressed.InSection4theresults ofanexploratoryliteraturereviewtoillustratetheuseofconcepts frompolicystudiesinenergyresearchareaddressed.InSection5 theseresultsarediscussed.WeconcludethepaperinSection6, wherewealsosuggesthowtofurtherthe(international)academic researchagendaontheuseofpolicystudiesresearchintheenergy domain.

2. Introductiontopolicystudies

Inordertoexplorethepotentialofpolicystudiesforthe mul-tidisciplinary study of energy we first introduce policy studies asanacademicfield.Sovacool’sclaimthatsocialsciencerelated disciplines,methods, concepts,and topics remainunderutilized and perhaps underappreciated in contemporary energy studies research[3]mightalsoapplytothedisciplineofpolicystudies.We thinkthatenergy,andinparticularenergymarkets(asheavily reg-ulatedsectorsfullwithpolicyincentives),formadomaintowhich conceptsfrompolicystudiescanbeappliedwithagoodfit.The disciplineisanuntappedsourceforenergyresearch.Inthissection thebasicprinciplesofthepolicystudiesdisciplinearepresented togetherwithasetofdisciplinaryconceptsandresearchquestions thatcouldbeofgreatrelevancewhenappliedtotheenergydomain. Althoughpolicystudiescoversafewsub-disciplinesitgoesbeyond thescopeofthisstudytoaddresstheminlength.4

2.1. Theacademicdisciplineofpolicystudies

Policystudiesisanindependentacademicﬁeldofstudywith academicjournalsandconferencesofitsown.Itaddressesthe con-tent,processesandeffectsofgovernmentpolicyinitspoliticaland societalenvironment[13].Thebasisofaneedforpolicystudies goesbackmanycenturies.Itconcernstheneedpolicymakershave tobeprovidedwithvalidandreliable(evidence-based)knowledge onhowtodesignpolicyandhowtodecidewhenonehastochoose betweenpolicyalternatives.However,itisonlysinceWorldWarII thatsystematicacademicinterestintoadisciplineofpolicy stud-ieshasmanifested[13],andabookon‘policysciences’[14]was published.Thelattercalledforsystematicresearchintothe pol-icyphenomenon,andprofessionalizationandinstitutionalization ofpolicysciences.Inthe1950sand1960stheacademicdiscipline evolved(e.g.,followingtheworkofDahl,LaswellandLindblom). Duringthisperioditwasgivendifferentnames;e.g.,‘policy sci-ence’, ‘policyresearch’and‘policyanalysis’.By the1970s three perspectivesco-existed:policyanalysis(cf.makingthebest deci-sion whenchoosing betweenpolicy alternatives);mega/master policy(cf.creatingthe‘right’conditionsandguidelinesthat pol-icy designs should meet); and meta policy (cf. policy on how todesign (sectoral)policy;e.g.,basicpolicyrequirementsthata

4_{Sub-disciplines}_within_policy_studies_relate_to:_policy_making_and_policy

pro-cessorientedstudies(explainingpolicychangeortermination),implementation studies(addressingimplementationandeffectivenessofpolicy),governance stud-ies(addressingthewidergovernancecontextinwhichpoliciesareformulatedand implemented).Additionallytheﬁeldisdividedbetweenconstructivistresearchers thatfocusonmeaningsofpolicyphenomenaontheonehandandresearchers focus-ingonquantitativeorientedexplanatorystudiesontheotherhand(e.g.,explaining policyoutputor–outcome).

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givenpolicy–likeenergypolicy–shouldmeet)[15].Basedon theseperspectivesa cleardistinction wasmadebetweenpolicy analysisas(a)“analysisFORpolicy”(typicallyeconomicor econo-metricstudiesinformingpolicymakerswhichpolicyalternativeto choose,andpolicyanalysisas(b)“analysisOFpolicy”(perceiving policyitselfasthelocusofresearch;payingmoreattentionto pol-icyphases,—processes,etcetera[16]).Inthe1970sthediscipline experiencedincreasedattentiontowards(oftencritical) empiri-calresearchintohowpoliciesworkinpractice,inparticularwhen implemented(cf.Wildavsky’s“Speakingtruthtopower”[17]).Asa consequence,manytheoreticalconceptsandframeworksonpolicy implementationweredrafted,leadingtoa“cornucopiaof (indepen-dent)variables”explainingpolicyoutcome[18].

Sincethe1980sand1990sagreatdealoftheoreticalattentionis awardedtotheories(andtheoreticalframeworks)tryingtoexplain policychange;forinstancethe‘streamsmodel’[19]whichpredicts thatthegatheringofproblem-,solution-andpoliticalstreamswill offer‘windowsofopportunity’whichcanentailbreakthroughsin policymaking,andresultinpolicychange.Otherwell-known theo-reticalframeworksintheﬁeldarePunctuatedEquilibrium(which claimsthat punctuations resultin policychange; [20])and the AdvocacyCoalitionFramework[21].Inaddition,policy implemen-tation(inpredictingpolicyoutcomes)hasmanytheoriesofitsown [22],thatareusefulinunderstandinghowcertainpolicyoutcomes cameabout,someofthesetheoriesclaimingthatcertainpolicy net-workconditionsandmanagementofcomplexpolicynetworks(cf. [23])wouldresultinincreasedpolicymakingqualityandbetter (supported)policyoutcomes[24].

2.2. Therelevanceofpolicystudiestoenergyresearch

Thereare many policystudies’ conceptsthat might be use-fultoenergypolicyresearch.Questionsonagenda-setting,policy making,implementation,monitoringandevaluationarewithout doubtusefultoenergy studies.A fewexamplesare: What fac-torsexplainenergypolicychangeor—termination?Whatfactors explainsuddenchangeinenergypolicydomains?Whattypesof governancemodelprevailintheenergydomain?Whichsetof pol-icyandmeasuresissuccessfulinfurtheringadoptionofrenewable energyinnovations?Whatpublicprivatecollaborationand net-workconﬁgurationscanbeconsideredwhenstrivingtomanage energyinfrastructuredifferently?Howtodesignfeasibleenergy policytaking intoaccount stakeholders’/target groupinterests? Howispublicservicedeliveryorganizedintheenergydomain?To whatextentisagovernancesystemsuitabletofosterenergy tran-sition?Howdopolicystrategiescopewithmulti-actorcomplexity intheenergydomain?Andtowhatextentdoscientistsinﬂuence policymakingintheenergydomain(andviceversa)?

Anoverviewofpolicyframeworksthatcanhelpinanalyzing andansweringthesequestionsispresentedinTable1.Weargue thattheseframeworkswillsupportenergyresearchinawaythat goesbeyondtheeconometricandeconomicorientedstudiesthat aremorecommonlyused.Ascomparedtothelatterthe frame-worksandconceptspresentedinTable1incorporatethehuman andinstitutionalfactorsthatareofgreatimportanceifonewants tounderstandthefeasibilityandeffectivenessofenergypolicy.

2.3. Howcanpolicystudies’conceptscontributeto

multidisciplinaryenergystudiesandthepracticeofenergypolicy? Policystudiescancontributetoenergystudiesinmanyway,so weclusterthecontributionsinthreephasesofthepolicyprocess: i)policymaking;ii)policyimplementation;andiii)monitoringand evaluation.

2.3.1. Contributionstoenergypolicymakingandstudieson makingenergypolicy

Whendesigningenergypolicy,policystudiescanofferinsights intometapolicydesignandheuristicsonhowtodesignpolicies andprograms.It canhelptodistinguishbetweenenergypolicy visions,goals,subgoals,policyinstrumentsandincentives. More-over,itcanhelptodeveloplogicalgoals-meansstructurestoreveal how certain means (instruments and incentives) contribute to attainingparticularpolicygoals.Thisisalsoreferredtoasdrafting what arecalled ‘policytrees’ [16],which is a heuristic usedto design robustpoliciesandprograms. Inaddition,policystudies havemanynewanalyticalmethodstoofferthatcanhelppolicy makerstodesignpolicyalternatives,takingaccountofthe multi-actor, multi-sectoral, multi-level and multi-disciplinary aspects of particular energy domains. Examples include constructive technologyassessment,(c.f[44]),and seriousgaming,in which policymakersinvolvestakeholderstoengageinteractivelywith policy,and useadvanced methodologyandanalyticstoidentify feasible (also in terms of social and political support) policies that can be considered for implementation. This is important becauseadministrationsstillencountersocietalresistancewhen implementingenergypolicy.Forinstance,windenergypolicyis stillcontestedbecausedecision-makingonthesitingofwindparks stillexcludeslocalstakeholders(despitethefactthatknowledge ofthisparticularpolicyfailurehasbeenavailablesincethe1990s; [7]). Another example is the ﬂawed implementation of smart metersroll-outinTheNetherlands,inwhichtheindustry domi-natedpolicymaking,excludingthemaintargetgroupofcitizens, wholater obstructedpolicyimplementationbyﬁlingsuccessful legalclaimsbasedonprivacylegislation,anotionthathadbeen neglectedduringthepolicymakingprocess[45].

Policy studiescanalso assist policymakers bystressingthe importanceof‘backwardmapping’[34],i.e.stressingthe impor-tanceoftheparticipationoftargetgroupsandkeystakeholders in policymakingprocesses, andviewing policyfromtheir per-spective, not only those of thepolicy makers and economists. Whenengagingwithparticipantspolicymakers canlearnfrom policystudies,andusetechniquesfor‘framingdebates’,process management[46],andnetworkmanagement[23,24]toarriveat informedandsupportedpolicydesigns.Tocopewithproblemsof theinvolvementofactorsfromnumeroussectors,‘boundary span-ners’canbeusedtobridgecross-sectoralmisunderstandingand facilitatecommunication[43].Lastbutnotleast,policystudiescan helppolicymakers(andresearcherssupportingthem)touse avail-ableknowledgeinthebestwaypossible.Conceptson‘boundary work’[42,47,48]canbedeployedtoseeonhowactorsfromscience andpolicymakinginstitutescanbestengagewitheachother.In addition,policymakersaretypicallyinterestedin‘evidencebased policy’andmightwanttoensuretothatpoliciesthathaveproven bestelsewheremightalsobeapplicableintheirownjurisdiction. Policiesonnovelenergytechnologiescanbetailoredaccordingto theprinciplesofresponsibleinnovationsininnovativepolicy[49]. Whenaddressingenergyinfrastructuresand theinvolvementof publicandprivateactorstherein,policymakersmightwanttouse theknowledgeof publicprivatepartnerships(PPPs),which has beenintensivelystudiedbystudentsofpolicystudies,e.g.[50–52]. 2.3.2. Contributionstoimplementationofenergypolicy

In policy studies ‘implementation studies’ comprise a large, widely divergent ﬁeld [22]. Such studies offer a wide array of conceptualandanalyticalapproachesthatarerelevanttoenergy studiesintermsoforganization,managementand implementa-tion of programs and projects on energy issues. The discipline offerstechniquesandmethodstomanageandoperatesuch pro-gramseffectivelyandefﬁciently,whileensuringthatpublicvalues aresafeguarded.Abranchofimplementationstudiesfocuseson

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T. Hoppe et al. / Energy Research & Social Science 21 (2016) 12–32 15

Examplesofrelevantresearchquestionstotheenergydomainusingpolicystudies’concepts.

Researchquestion Theoreticalconcept Meaning Keyauthors

Howisenergypolicyformulatedandwhichfactorsareof mostinﬂuencetopolicyformulation?Whatistheroleof leadership/policyentrepreneursinenergypolicy making?

Streamsmodel,Policy entrepreneurs

Entrepreneurswho,fromoutsidetheformalpositionsofgovernment,introduce,translate,and helptoimplementnewideasintopolicymakingandpublicpractice.

Kingdon[19];Mintrom

[25]

Whataretherolesandinﬂuencesof(actor)coalitionsin formulationofenergypolicies?Towhatextentdo advocacycoalitioninﬂuencepolicy-makinginthe energydomain?

Policycoalitions Acoalitioncontains,‘peoplefromavarietyofpositions(electedandagencyofﬁcials,interest groupleaders,researchers)whoshareaparticularbeliefsystem’(advocacycoalitions;Sabatier)or ‘discourse’(discoursecoalition;Hajer),and‘whoshowanon-trivialdegreeofcoordinatedactivity overtime’.

Sabatier[21];Hajer[26]

Whichpolicyinnovationshaveoccurredintheenergy domainandhowweretheyestablishedanddiffused? Whichinnovativepolicymodelscanbeusedinthe energydomain?

Publicpolicyinnovation Publicpolicyinnovationrelateto:inventionofnewformsofpolicy,diffusionofnovelpolicy,and effectsofnovelpolicies.

JordanandHuitema

[27,28]

Whatlevelsofgovernmentareinvolvedintheenergy domain?Whatcanlocal,regionalandsupranational governmentscontributetostategovernmentpolicyin spurringenergytransition?

Multilevelgovernance Multi-level,polycentric,andmulti-layeredgovernanceemphasizethedispersionofdecision makingfromthelocaltothegloballevel.

HoogheandMarks[29]

Whattypesofgovernancesystemsprevailintheenergy domain?Howdoesthegovernancecontextofenergy policylooklikeandwhatimpactdoesithaveonpolicy outcomes?

Governance Publicgovernanceoccurs:throughnetworksinvolvingpublic-privatepartnerships(PPP)orwith thecollaborationofcommunityorganisations;throughtheuseofmarketmechanismswhereby marketprinciplesofcompetitionservetoallocateresourceswhileoperatingundergovernment regulation;andthroughtop-downmethodsthatprimarilyinvolvegovernmentsandthestate bureaucracy.Therearedifferentsetsofgovernancearrangements.

PetersandPierre[30]; Bressersetal.[31,32]

Whatistheroleofpolicynetworksandnetwork governancearrangementsinpolicy-makingand −implementationintheenergydomain?

Policynetworksand networkmanagement

Policynetworksaresetsofformalinstitutionalandinformallinkagesbetweengovernmentaland otheractorsstructuredaroundsharednegotiatedbeliefsandinterestsinpublicpolicymakingand implementation.Networksenhancetheavenuesforcopingwithcomplexproblemsthatrequire cooperationamong(publicandprivate)actors.Managingnetworkscouldincreasethenetwork’s cohesion,whichwouldleadtobetterpolicymakingqualityorimproved(joint)publicservice delivery.

Meierand‘OToole[33]; Kickertetal.[24]

Towhatextentisenergypolicytheresultofbackward mappingandco-creation(takingabottom-up perspectiveonpolicymaking)?Howcanstakeholders contributetopolicymakingonenergyissues?

Backwardmapping; co-creation

Duringpolicy-makingprocessespolicymakersalsopaysufﬁcientattentiontothenormsbeliefs andinterestsofkeystakeholdersandtargetgroups.

Elmore[34]

Whichmodesofstakeholderinvolvementinenergypolicy implementationcanbeused?

Co-production Deliveringpublicservicesormakingpolicyinanequalandreciprocalrelationshipbetween professionalsandcitizens.

BrandsenandPestoff[35]

Howispublicservicedeliveryorganizedintheenergy domainandtowhichextentarenewpublic managementprinciplespracticedindoingso?

Publicmanagementin publicservicedelivery

Managementarrangementsinpublicservicedelivery.Forexample,managementofgovernment agencieslikebusinessﬁrmsemphasizingprofessionalization,optimizationofoperationsand performance,efﬁciency,andcompetitiveness.

Ferlieetal.[36]

Howareenergyproblemsandissuesframedinpolicy debates?

Framing Framingisacognitiveprocessinwhichthemessageaffectshowpolicymakersweighexisting considerations(i.e.,politicalorientationsandrelevantattitudes/beliefs)tomakea

judgment/decision.

Hajer[26]

Howdopolicystrategiescopewithmulti-actorand institutionalcomplexityintheenergydomain?

Multi-actorcomplexityand actor-centered

institutionalism

Anapproachforresearchontheproblemofgovernanceandself-organizationonthelevelof entiresocialfields’,inparticularinfieldsrelatedtostateintervention.Thebasicassumption underlyingactor-centeredinstitutionalismisthatananalysisofstructureswithoutreferenceto actorsisashandicappedasananalysisofactor’sbehaviorwithoutreferencetostructures.Special attentionispaidtoinstitutionalrulesthatinfluencedecision-makinginso-calledactionarenas.

Scharpf[37];Ostrom[38]

Towhichextentareenergypoliciesimplemented effectivelytomeetpre-setpolicytargets?

Evaluationand implementationresearch

Assessmentandexaminationofpolicyimplementationasanexplanationof“whathappens”. “Whathappensbetweenpolicyexpectationsand(perceived)policyresults”(DeLeon,1999).

HillandHupe[22];DeLeon

[39]

Underwhatconditionscanenergypolicybedraftedthat copeswiththeproblemofspanningbetween multi-sectoraldomains,andbridgingthegapbetween scienceandpolicymaking?

Policyintegration; Boundarywork/spanning.

Theintegrationofonepolicydomain’sobjectivesintootherPolicysectors.Thisentailsa fundamentalrecognitionthatonesectoralonewillnotbeabletosecure(e.g.,environmental) objectives,andthateachsectormustthereforetakeonboardintegratedpolicyobjectivesifthese aretobeachieved.Thisalsoentailsthatsectoralandsciencevs.policymakingboundariesmustbe bridged.

Lenschow[40];Lafferty

[41];Hoppe[42];Bressers &Lulofs[43]

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performancemanagement(c.f.[53]),andisapplicabletoenergy studieswheninformationisneededonhowtobeestablishedon howtobestmanageandincentivizeenergyservicedelivery (typi-callyfocussingonorganizations).Inotherapproachesthe institu-tionalsettingaddressestheareawithinwhichmultipleactorswith divergingagendasoperate,whiletakingaccountofthe‘rulesofthe game’andthepolicies,incentivesandregulationsthatapply[38]. Besidesfocusingontraditionalhierarchicalmodesofgovernance (a government governing a given target group) policy studies’ researchersfocusongovernance coordinationmechanisms that alsopayattentiontohorizontalmodesofgovernance.Forinstance, governmentscanincentivizegroupsofcitizenstoengageinpublic servicedelivery,aswhenproducingenergylocallyfromrenewable sources(aformof‘co-production’),orbeingenabledtomanagea decentralizedenergysystemautonomously(e.g.atdistrictlevel).In policystudiesthereisabodyaboutknowledgeonco-production asanalternativetothemorecommonlyacceptedformsof gov-ernmentpolicy.It addressestheprosandconsofthis approach anddescribestheconditionsunderwhichitcanbeimplemented effectively.Citizensdeliveringenergyservicescanalsobeviewed asservice delivery“at arm’slengthfromgovernment” [54–57]. Anotherapproach,commonlyfoundinstudiesonlowcarboncities andenvironmentalpolicy,involvescapacitybuilding,i.e.creating conditions regarding budgeting, appointment of staff, leader-ship,stafftraining,contracting,knowledgemanagement,human resourcesandnetworking,whichsmoothstheimplementationof (energy)policyandformsasafeguardforthelongerterm effec-tivenessofpolicyimplementation[58–60].Finally,policystudies’ researchersconductcomparativeresearchinwhichthe implemen-tationofpoliciesisanalyzedacrossjurisdictions(e.g.,[56,61]).The knowledgethatisestablishedduringthisprocessisimperativefor establishingtheempiricalbasisofevidencebasedpolicythatcan beusedtoimprovepolicyimplementationprocesseselsewhere. 2.3.3. Contributionstomonitoringandevaluationofenergy policy

Whenenergypolicyisimplemented,policymakersand agen-ciesareinterestedin theirprogress,effects and whetherpolicy implementationis inlinewithachievingpre-setpolicygoals.If monitoringdatainformthemthatitisnottheywanttoﬁndouthow tointensifythepolicy.Researchersinpolicystudiesandpolicy ana-lystscanhelpthemoutonsuchmatters.However,besidesfocusing onthetypicalmono-dimensionaloutcomevariables,andcollecting (quantitative)dataonthese(aspolicyanalystsandeconomistdo), qualitativeissuestypicallyalsomatterwhenexplainingwhether policyimplementationtrajectoriesareheadingintheright direc-tion,or when policyimplementation hasfailed. Policy studies’ researchersalsotakepolitical,societal,organisationalconditions andmacroeventsintoaccountwhenevaluatingpolicies. More-over,inpracticemonitoringis ofteninhibitedduetobudgetary constraints.Insuchcasestherearenoquantitativedataavailable thatcanbeusedtoevaluateofpolicy.Therefore,qualitative pol-icyevaluationsarecarriedout,forinstanceontheeffectivenessof policytargetingenergyperformanceimprovementsinindividually ownedhousing(i.e.[12,61,62]).Moreover,whenseriousbarriers obstructpolicyimplementation,andproblemsandsolutionsare notclear,analysisoftheproblem’sstructuringisnecessary. Fur-ther,problemsthatareratherabstractandhavelongtermgoals (suchasestablishingalowcarbonenergytransitionby2030)and might bedifﬁcult to grasp, go beyondtechnical and economic dimensions,andhavea‘wicked’character,whichrequiresdeeper problemstructuringandgovernanceassessment(i.e.[32,63,64]). 2.3.4. Contributionstomultidisciplinaryenergystudies

Recently,researchprogramsonenergyhavecomeincreasingly tofocusontheimplementationofenergyinnovationsorcontribute

toongoingenergypolicies.InprogramslikeHorizon2020bythe EuropeanUnion,butalsoin nationalenergyresearchprograms this hasbecome increasinglymanifest. Whereassuchprograms typicallyfocusoninnovationanddiffusionofpromising energy technologies(e.g.smartgrids,energystoragetechnologiesor near-energy-zerohousing),thefocusisnolongerentirelyontechnology andeconomy.Infact,theprogramsemphasizenichemarket devel-opmenttofosterthewiderdiffusionofthesetechnologies.Inorder todoso,onealsoneedstofocusonsettingthepre-conditionsto makesurethatdiffusionprocessesprosper.Andthismeanscoping withsocialacceptance,demandcreation,capacitybuilding, gover-nancemechanisms,andﬁnetuningofinnovationpolicies.Andthis iswherepolicystudiesbecomerelevanttotheseprograms.Policy studiesofferconceptsandanalyticaltoolsthatcancontributeto policymaking(gettingparticularenergyinnovationsonthepolicy agendasothattheinstitutionalandsocietalconditionsareoffered thatallowforfurtherinnovationanddiffusion),implementation ofpolicytosupportinnovationand diffusion(helpingout with managementandoperationalissuesregardingimplementationof policytosupportinnovationanddiffusion),and monitoringand evaluationofpolicytosupportinnovationanddiffusion(offering insightsintoprogressongoalattainmentandsideeffects,andusing thesedatatoevaluateenergypoliciesthatareimplemented,and re-intensifythesepolicies).

Althoughitlookslikepolicystudieshavemuchtoofferto mul-tidisciplinaryenergyresearchevidenceisrequiredtosupportthis claim.Inthefollowingsectionsweseektoprovidetheevidenceby presentinganillustrativecase.

3. Methods

Toexplorethepotentialofpolicystudiesformultidisciplinary energyresearchanexplorativeliteraturestudywasconducted.The literaturestudywassub-dividedintotwoparts:apre-analysisof 159articles(whichwecall‘StudyA’)andanin-depthanalysisof42 articlesthatwereconsideredparticularlyrelevantfromtheviewof analysisofpolicy(whichwecall‘StudyB’).Articleswereconsidered relevantto‘StudyB’whenthefocusofresearchwaspolicy(or pol-icyprocesses;“analysisOFpolicy”)andwhenparticulartheoretical conceptsfromthedisciplineofpolicystudieswereused.

3.1. Caseselection

Theliteraturestudyaddressedjournalarticlesonenergypolicy inTheNetherlands.Thereareseveralargumentsforselectingthis country.Albeitsmallinsize,andwithoutanabundanceofenergy sources(excludingnaturalgas)thecountryusesa relativelarge amountof energy.TheNetherlandshasarich historyofenergy policyandenergysub-systemdynamics(see,e.g.[2]).Moreover, thecountryishometosomeof themainenergy companiesin theWorld(e.g.,Shell),andisafrontrunneringastechnology.For a longtime thecountrywasseenas pioneerinsupportingthe useof renewableenergy (albeitnot anymore).In addition,The Netherlands experimented with many innovative policies (e.g. withlongtermmultilateralagreementsstimulatingindustriesto useenergyinefﬁcientwaysortodecreaseGreenhouseGas emis-sions[10,65]).Despitesomeofitsuniquecharacteristicsinterms oftheDutchenergymarkets’proﬁleandenergypoliciesthereare reasonstobelievetothatTheNetherlandsisnotauniquecaseand hascharacteristicsincommonwithotherEuropeancountries.For instance,thecountryissubjectedtosupranationalEUenergypolicy (andhenceimplementsEUenergydirectives),itsenergymarketis heavilyregulatedandcloselyconnectedtootherenergymarkets inEurope[66].Moreover,havinganeconomythatismostlybased on Post-industrial service markets The Netherlands is relative

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comparable to many other small and medium-sized countries havingacomparableeconomicproﬁle.Inthepastenergypolicy has received plentiful attention in the academic literature, in particularpoliciessuchastheDutchenergy transitionprogram (2000–2011;[67–72]). However,at the time (especially during the1990s) The Netherlands was viewed ashaving progressive policy,and servedasarole modeltoothercountries.Thesame appliedroughly toa broaderset ofenvironmental policiesand programs that were implemented [73]. Since the 1970s a rich bodyofpoliciesandinstitutionsintheenergydomainhadcome intoexistence.Notsurprisingly,avastbodyofknowledgeonthe matteremerged.Thelattercanbeusedforsecondaryanalysisof thepolicystrategiesandinstrumentsused.Itisforthesereasons thatwedeemitrighttoselectTheNetherlandsasacasestudyfor theexplorativeliteraturestudy.

3.2. StudyA:pre-analysisof159articles

Datacollectionforthesystematicliteraturereviewwasdone bysearchingrelevantrefereedinternationalacademicjournal arti-cles(inEnglish5₎_available_through_the_online_Scopus _database. Selection criteria were the presence of a combination of key-wordscoveringthefieldofenergypolicyinTheNetherlands(see AppendixC).Inanalysinganarticle’sfocus,arangeofkeywords(e.g. policy,policies,government,governance,implementation,and reg-ulationtocover“policy”)werecheckedinthearticle’stitle,abstract andkeywords.180journalarticlesweregathered.However, fol-lowinganin-depthcheck21wereexcludedastheydidnotqualify bymatching ourselection criteria (e.g.using only “policy” and “Netherlands”and nothaving“energy”inthetitle,abstractand keywordscombination).Afterthissecondselection,afinaldataset of159journalarticleswasestablished(SeeAppendixA).Theywere treatedusingapre-definedcodingscheme(AppendixD).

Keytextsfromofthejournalarticles(cf.titles,abstracts,key words)werecodedbasedonatentativelistoftenclusters.The codescoveredawiderangeofanarticle’scharacteristicstopermit athoroughanalysistoidentifyphenomenaandtrendsofacademic interest. The coding wasan iterative process. New codes were addedduringthecodingphaseandthesewerealsoimplemented retroactivelyaswealsocheckedhowpreviousjournalarticlesin thedataset “scored” on thenewly added code. Toanalyse the assignedcodesadatasetwasestablishedusingMSExcel.Next,the datasetwasexportedtoallowstatisticalanalysisusingSPSS.This resultedinabinarydatamatrix(withjournalarticlesinrowsand codesincolumns).Dataanalysisconsistedofdescriptivestatistics percodingcluster,inparticularrawandrelativefrequencies. 3.3. StudyB:analysisofthesub-setof42articlesrelevantto policystudies

Afteranalysingthe159articles,aselectionofarticleswithhigh relevancetothepolicystudies’literaturewasmade.Formanyof thearticlesthismeantanalysingthearticlesinextensorto deter-mineitssuitabilityforthedisciplineofpolicystudies.Ajournal article was considered “relevant to studies on the analysis OF policy”whenitsfocusconcernedpolicyandwhenitusedconcepts fromthe academicdiscipline of policy studies.More generally, attributingthiscodetoanarticlewasdeemedappropriatewhen

5_Initially,_inclusion_of_Dutch_academic_journal_articles_on_energy_policy_was

alsoenvisaged(withtherestrictionthatonlyacademicjournalarticlesweretobe reviewed).However,notmanywereretrieved.Arelatedproblematicissuewasthat keyDutchacademicarticlesdidnothavetheirrepositoriesavailable(e.g.thejournal of‘Bestuurskunde’).Onlyveryrecentvolumesweremadeavailablewhichrestricted thesearchforarticles.

thearticlecouldbeviewedascontributingtoongoingdebatesin theacademicdisciplineofpolicystudies.Thisresultedinaﬁnal selectionof42articlesthatwereconsideredsuitableforfurther in-depth analysis. Having identiﬁed 42 articles as “relevant to studies onthe analysis of policy”, this meant that 116journal articles(73%) wereviewedasstudieswithanotherdisciplinary background(most of themhaving adisciplinary backgroundin economics,econometricsorengineering).

42articles(titles,abstracts,keywords,and keyremarks con-cerningconceptualandmethodologicalcontent) werecoded.In addition,furtherroomwasneededfor conceptualinsights,and hencetheadditionofcodestothepre-establishedlisttopermit a moredetailedcodingof datathantheprocess adoptedin the ﬁrstpartofourresearch.Inthissenseweusedelementsfromthe “methodofconstantcomparison”[74]tosupporttheanalysisuntil a strongtheoretical understanding of the phenomenon “policy intheenergydomain”hademerged.Comparedtotheﬁrstpart oftheresearch,contentrelatedissues, theoryandmethodology wereemphasised.For’studyB’twoclustersofcodeswereadded originatingfrom thepolicystudies’discipline:(i)“phaseof the policyprocess”(agenda-setting,policy-making,implementation, monitoringandevaluation);and(ii)“policyanalysistype” (“anal-ysisOFpolicy”,and“analysisFORpolicy”).Thelistofcodesused fortheanalysisofStudyB(aswellasthecodingfrequencies)is presentedinAnnex2.

Afterthecodingprocessa“mixedmethods”researchapproach wasusedtosupporttheidentificationofkeytopical,theoretical and methodological issues and clusters. QDA Miner4.1.15[75] wasusedfordataanalysis.Thisincludedcodingfrequenciesand clusteranalysis. Thesetwo analysesweredeemednecessary to copewiththecomplexityofanalysingtextsfrom42articles,and toestablishclustersandpatterns.Codingfrequenciesaddressed theuseofa givencodepertextfile(hencewedidnotanalyse how oftenparticular codes werementioned in single texts).In order to identify clusters (topical, theoretical or methodologi-cal),weanalysedcodeco-occurrences.A“co-occurrence”issaid to occurwhen two codes appear in thesame document. First, clusteranalysiswasconductedtoanalysecodeco-occurrenceof topicalcodesonly.Second,thiswasdoneforbothtopicalcodes and theoretical codes. Third, this was donefor theoretical and methodological codes. Finally, this wasdonefor all codes. The mainreasonforanalysingclustersusingdifferentsubsetsofcodes wastheambitiontoseekconfirmatoryevidence,and hencethe robustnessofclusters.Besidesanalysingcodeco-occurrence,we alsoanalysed case similarity,i.e., similarityof articlesin terms of the distribution of codes that were assigned. ‘Similarity’ is represented byJaccard’scoefficient, which is calculated froma fourfoldtableasa/(a+b+c),wherearepresentscaseswhereboth itemsoccur,andbandcrepresentcaseswhereoneitemisfound butnottheother.Themoresimilarthetwocasesareintermsof thedistributionofcodes,thehigherthiscoefficientwillbe[76]. 4. Results

Thissection presentstheresultsof thesystematicliterature reviewofDutchjournalpublicationstoseeinhowfarthemain trendsintheresearchonenergypolicyactualusesconceptsof pol-icystudies?Itaddressesinhowfarenergypolicyresearchinenergy studiesactuallyuseconceptsofpolicystudiesin energystudies research?

4.1. Resultsofthepre-analysisof159articles(‘StudyA’) 4.1.1. Keycharacteristicsofthesetofarticles

Fig.1showshowthepublicationofjournalarticleshasevolved overtime.Asteepincreasebetweenthelate1990sandthe2010s

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Fig.1.Yearofpublication(inthree-yearintervals).

Fig.2. Overviewoftheoreticalapproaches.

Table2

Academicjournalswithmostfrequentpublication.

Academicjournal Numberofjournalarticles

EnergyPolicy 44

BiomassandBioenergy 6

JournalofCleanerProduction 6

EcologicalEconomics 4

Energy 4

EnergyEconomics 4

InternationalJournalofGreenhouseGasControl 4

wasobserved,inparticularbetween2003and2010.Morerecently, thisincreaseappearstohavestabilised.Publicationspeakedinthe 2007–2010period,with56journalarticlespublished.Thismeans forthecontributionsofpolicystudiestomultidisciplinaryenergy researchthatmuchofthecontributionisrelativelyrecent.

Themajorityofacademicjournalarticlesretrievedthrough Sco-puswerepublishedintheinternationalacademicjournalEnergy Policy(44 of159;28% ofallpublications). Table2presentsthe Top7mostfrequentlyobservedjournalsofthearticlesthatwere retrieved.Intotal,the159journalarticleshavebeenpublishedin 68differentjournals.TheimpressionfromTable2isthatEnergy Pol-icyisthekeyacademicjournalinwhichjournalarticlesonenergy policyinTheNetherlandshavebeenpublished.Only11articles werepublishedinacademicjournalsthatcanbeclassiﬁedas typ-icalpolicyStudiesjournals:EnvironmentalPolitics(3);Journalof

EnvironmentalPolicy&Planning(3);Policy Sciences(2); Environ-mentandPlanningC:GovernmentandPolicy(1);PolicyandSociety (1);andPublicAdministration(1).Thismeansthatstudiesonenergy policyareweaklyvisibleinpolicyspeciﬁcjournals,andarefound mostlyinmultidisciplinaryjournalsandapplied(energy)journals.

4.1.2. Theoreticalperspectivesused

In50journalarticles(32%ofthetotalsetof159articles)noclear theoreticalframeworkswereactuallyused.Themostfrequently usedtheoreticalperspectiveswere:Transition Management(10 counts;6%ofthetotalpopulation)andInnovationSystems(nine counts;6%).Bothshouldbeseenastheoreticalframeworksfrom thediscipline of Transition Studies. Apartfrom these multidis-ciplinaryframeworkscommonlyusedtheoreticalframeworksin policystudiesorsuchastheAdvocacyCoalitionFramework[21], InstitutionalAnalysisDesignFramework[38]orPunctuated Equi-librium[20],werenotobserved.6_All_in_all,_except_for_the_Transition Studiesframeworks(TransitionManagement,InnovationSystems, MultilevelPerspective,StrategicNicheManagement),few theoret-icalframeworkswereusedmorethanonce(Fig.2).

6_In_addition,_political_science_and_legal_sciences_were_hardly_observed_among_the

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Fig.3. Overviewoftopicalfoci.

Fig.4. Overviewofinstrumentalfoci.

4.1.3. Topicalfociused

Anotheraspecthowpolicystudiesconceptsrelatetothepolicy studies’disciplinearetheissuesthesestudiesfocuson.Thirteen policyissueswereestablishedonwhichthe159studiesfocused (see Fig.3).These issues range fromrenewable energy, decen-tralisation,liberalisation,waste,shalegas,tocarboncaptureand storage(seeTable2).Mostfrequentlyobservedtopicalissueswere energyefﬁciency(55counts;35%ofthetotalpopulation), renew-ableenergy(42counts;27%)andenergytransition(30counts;19%). Climatechangemitigationwascoveredbyonly10journalarticles Inmanyofthesepolicyissuesquestionsonagenda-setting,policy making,implementation,monitoringandevaluationarerelevant. 4.1.4. Instrumentalfociused

Animportantaspectoftheextentthatpolicystudiesconcepts areactuallyusedinDutchenergystudiesresearchistheroleof pol-icyinstruments.Thepolicyinstrumentmostfrequentlyaddressed inthereviewedjournalarticleswaslegalstandards–orregulation moregenerally–withelevencounts(7%ofthearticlesthatwere reviewed).Secondarebothcovenants/voluntaryagreementsand energylabelling.Eachofthetwoinstrumentscategorieshadbeen addressedin10journalarticles(about6%)(Fig.4).

4.1.5. Outcomeindicators

Anotherimportantaspectonhowpolicystudiesconceptsrelate tothepolicystudies’disciplineisthefocusoftheresultsofthese studies.Forinstance,whethertheresultspresentedinofthejournal articles (potentially) contribute to agenda-setting, policy mak-ing,implementation,monitoringandevaluation?Theoutcomesin mostofthereviewedjournalarticlesrelatetopolicymaking;e.g. manycasesareﬁnalizedbymentioningadviceforpotential adop-tioninpolicymaking.Themostfrequentlyobservedclassiﬁcation ofresultsconcerntheeffectsof(agiven)policy(51counts;32%), attemptstoexplainthedifferencesintheimplementationofa pol-icyissueinacertaincontext(e.g.regionalornationallevels)(41 counts;26%),ortheadvicefororagainstaparticularpolicy(37 counts;11%).Inthecaseofthedifferencesinimplementation,this wastypicallydoneusingacomparativeresearchdesign(Fig.5). 4.1.6. Sectoralfociused

Anotheraspecthowpolicystudiesconceptsrelatetothepolicy studies’disciplinearethesectorsthesestudiesfocuson.Forthis studybotheconomicsectors(e.g.agriculture,energy,transport),as wellashouseholds(thisalsoincludestheindividuallevel),andthe publicsectoror“government”wereaddressed(seealsoTable2).

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Fig.5. Overviewoftheoutcomeindicators.

Fig.6.Overviewofsectoralfoci.

Theanalysisrevealedthatthejournalarticlesmostlyfocusedon industrywhichalsoincludedﬁrmsatthemesolevel(39counts; 25%ofthetotalpopulation),thepublicsector(20counts;13%)and thebuiltenvironment (17counts;11%).Households(13counts) however,canalsobecredited tothebuiltenvironment(hence, builtenvironment accumulatesto30countsor 19%ofthetotal population).

4.2. Resultsofthein-depthanalysisof42articles(‘StudyB’) The in-depth study sheds more light at the questions how thejournalarticlescontributetomultidisciplinaryenergystudies researchandhowtheyrelatetothepolicystudiesdiscipline.The resultsarepresentedforcodingfrequencies,codeco-occurrence clusters,andcase(article)similarityclusters.Thecodesmentioned mostfrequentlyarepresentedinAppendixB.

Theresultsoftheclusteranalysisforcodingco-occurrencesare presentedinFig.6.Howdothepolicystudiesrelatetothepolicy studies’discipline?Theanalysisdiscernedsixclusters(fourlarge clusters,twosmallclusters):

iClusterI(Bordeauxred)typicallyaddressingpolicy implemen-tation (with assessment of policy instruments), governance structures,energyefﬁciencysituatedinthebuiltenvironment orindustry(e.g.,[77,10,12]);

iiClusterII(yellow)addressingexplorativestudiesonlocaland regionalstudiesaddressingclimatechangemitigationandissues ofcapacitybuilding(e.g.,[59]);

iiiClusterIII(green)addressingpolicymakingprocessesinenergy transition(e.g.[68–70]);

ivCluster IV(darkblue)addressingliberalisation,energy infras-tructureandgreenelectricity(e.g.,;[78,79]);

vClusterV(purple)addressingsocialacceptanceandinstitutional structuresthathavetodowiththeconstructionofwindparks (e.g.,[80,9]);and;

viCluster VI(pink)addressinginterpretativestudiesonframing or‘boundarywork’asanexusbetweenscienceandpolicy,and appliedtotheenvironmentaldimensionofenergypolicy,such asshalegasproduction(e.g.[47,48])(Fig.7).

Informationontheresultsoftheanalysisonstructural similar-itiesbetweenarticlesispresentedinAppendixE.

4.3. Mainlessonsconcerningtheuseofpolicystudiesconceptsin energyresearch

Theresultsrevealthatalthoughtherehasbeenanincreasein energypolicystudiesacrosstheyearsonlyasmallpartconcerns studiesthatareactuallyanalysingpolicy(cf.meaning“analysisOF policy”).Surprisingly,itisratherresearchersfromotherdisciplines –inparticulartransitionstudies,economicmodellersand environ-mentalscientists–whowereactiveinthisﬁeld.Moreover,theway inwhichinsightsofthepolicystudiesdisciplinewereused,reveal abroadvarietyintermsoftheoryand conceptsused.Phasesof thepolicyprocessmostlyaddressedinthearticleswereconcerned thepolicymakingandtheimplementationphases.Relativelylittle attentionwasawardedtoagendasetting.Attentionto implementa-tionandevaluationofpolicymeantafocusonpolicyinstruments,in particularregulation,economicincentivesandmultilateral agree-ments.Roughlyonefourthofthe(entiresetof159)articleshadthe objectivetoadvisepolicymakersonpolicyalternatives.

Theoreticalframeworksfromthepolicystudiesdisciplinewere onlysparselyused.TheonesmostusedactuallyderivefromSTS andtransitionstudies(respectivelyTransitionManagementand InnovationSystems).Perhapssurprisingly,hardlyanyofthemajor policystudiestheoreticalframeworkswereused.Someofthe the-oretical policy frameworks that were used (but only sparsely)

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Fig.7. Graphicaldisplayofclustersforco-occurrencesusingallcodes(clustersaredistinguishedbycolour).

concern:boundarywork[42],contextualinteractiontheory[31], thepolicyarrangementsframework[81],policynetworks[24],and capacitybuilding[82].Manyeclectic—often‘standalone’- frame-workswerefoundthough,usingoneormoreof thetheoretical conceptsderivingfrompolicystudies.Someoftheseconcepts,like ‘multilevelgovernance’,appearinstudiesthat havebeen classi-ﬁedasbelongingtootherdisciplines.Thesegovernanceandpolicy concepts appear to have been ‘borrowed’ or incorporated into integratedtheoreticalframeworks,inparticular transition man-agementframeworks,cf.[83].

Theanalysisrevealedfourmajorresearchclusters,eachhaving a different focus on conceptual and topical issues: i) a clus-teraddressingpolicyimplementation(withassessmentofpolicy instruments),governancestructures,energyefﬁciencysituatedin thebuiltenvironmentorandindustry;ii)aclusteraddressing pol-icymakingprocessesonenergytransition;iii)aclusteraddressing socialacceptanceandinstitutionalstructuresthathavetodowith windenergy;andiv)aclusterconcerninginterpretativestudieson framingand‘boundarywork’appliedtotheenvironmental dimen-sionofenergypolicy.

Finally,only11out of159articleswerepublishedintypical policyandgovernancejournalsindicatingsomewhatofalackof disciplinaryinvolvement.Articles weremoreoftenpublishedin applied(energy)journals.

5. Discussion

Giventheresults,onemaywonderwhypolicystudiesconcepts areonlyusedtoalimitedextentintheenergydomain.Theremay bepossiblereasonsforthis‘neglect’byscholarsofpolicystudies.7 Whattheanalysisrevealedwasthatmanyoftheseconceptswere

7_For_instance,_policy_studies’_researchers_might_want_to_stick_with_the_issues_and

domainsinwhichresearchistraditionallyconducted,suchashealth, environmen-talhazards,watergovernance,educationandsafety.Anotherreasonmightbethat scholarofpolicystudiesfeelthattheenergydomaintraditionallyfallsoutsidetheir scopeofresearchastheyperceiveenergymoreasthedomainofeconomistsand naturalscientists.

eventuallyembeddedorintegratedintomoreholistictheoretical frameworks; on the one hand in eclectic frameworks, and on the other hand in integrated frameworks originating fromSTS and transition studies (cf. transition management8 _[67]_, _and technology speciﬁc innovation studies9_[84]_). _Although _policy studies’conceptshaveaddedvalue(seeSection2),fromamore disciplinary standpointonecanwonder whethersuchconcepts necessarily need to end up integrated into (another) holistic framework.Thiswouldalsopointtotheissueofwhydisciplinary conceptsarehardlyeverappliedintheirpure(original)formin theenergydomain.Wewonderwhythishappenssinceweargue thatpolicystudiesoffermanynewconceptsfromwhichenergy research might potentially beneﬁt, even when appliedin pure form(cf.notmergedorintegratedintoholisticframeworks).

Inansweringthequestion“Howfardoesresearchonenergy policyactuallyuseconceptsofpolicystudies?”weneedtoconnect someoftheempiricallyidentifiedresearchclusterstotheoretical conceptsfrompolicystudies.Afirstcluster(clusteriinSection4.2) focusesmostlyonpolicyimplementation.Researchersinthis clus-termightwanttoconsiderusingtheoreticalframeworksfromthe fieldofimplementationstudies.Inaddition,theymightwantto considerassessingthegovernancesystemssurroundingthe poli-ciesthatareimplemented.Forinstancebyusingcontextual interac-tiontheory[31],thegovernanceassessmenttool[32],public man-agement[36],orexploreotherusefultheoriesinimplementation studies(cf.[22]).Asecondcluster(clusteriiinSection4.2)presents researchonpolicymakinginenergytransitionissues.Besides tran-sition management, one couldalsoconsider using someof the theoreticalframeworksonpolicymaking(e.g.discoursecoalition framework, advocacy coalition framework, punctuated

equilib-8_Transition_Management_uses_concepts_from_policy_studies,_e.g.,_the_‘phases

model’ofpolicymaking,‘wickedproblems’,ProcessManagement,Network Man-agement,interactivepolicymaking,multilevelgovernance,multi-actorcomplexity, framingofpolicydebates(authors’ownobservationin[67,12–16]).

9_Negro_et_al._used_and_integrated_notions_from_Sabatier’s_Advocacy_Coalition

FrameworkintheirconceptualframeworkonTechnologySpeciﬁcInnovation Sys-tems(TSIS)[84].

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rium,orAllison’sstreamsmodel).Athirdcluster(clustervinSection 4.2)mightbeneﬁtfromusingtheoriesonbackwardmapping, co-creationofwindparkprojectpolicyplansandperhapsdiscourse analysis(inordertomaptheargumentsdifferentactorshavefor andagainsttheestablishmentofwindparks).Afourthcluster (clus-terviinSection4.2)mightbeneﬁtfromusingtheoriesexplaining policymakingprocesses,suchasdiscourseoradvocacycoalitions. In addition‘boundarywork’ canbeused, stressingtherelation betweenscientistsandpolicymakers.Insomeofthearticlesthat arepartofthiscluster,thiswasinfactalreadydone(e.g.[48]).

Thefourclusterspresentwaysinwhichpolicystudies’concepts havebeenused,butcouldalsobeofuseinmultidisciplinaryenergy research.Theseconceptswereusedtofurtherourunderstanding of:policymaking in energy transitionissues on both thelocal and national level (also addressing the relationship between knowledgeinstitutesandpolicymakers);andmanagerialissues andevaluationofenergypolicyimplementation.Thisisimportant toaddressthesocietalandinstitutionalreasonswhy(oftenoverly ambitious)energypoliciesfail,andidentifytheparticularreasons whythis happened in particularways. Based on theseinsights newmultidisciplinary researchagendasontheimplementation and‘rollout’ofenergyinnovationscanbedeveloped,beneﬁtting fromtheinsightsfrompolicystudies,topreventandlearnfrom shortcomings that were experienced in the past. Experience, however,showsthatthisstilldoesnothappen,asillustratedby thecurrentNIMBY-problemsfaced bytheDutchon-shore wind energypolicy,indicatingthatpolicymakersdidnotlearnfromthe failed(butwelldocumented)approachesinthe1990s(cf.[7]). 6. Conclusion

InfollowingSovacool’scalltousemoresocialsciencestudies inenergyresearch[2,3],thisarticlesetouttoexplorethe poten-tialaddedvalueofthepolicystudiesdisciplinetomultidisciplinary energyresearch.Thecentralresearchquestionwas:Howcan pol-icystudiescontributetomultidisciplinaryenergystudiesresearch, andinwhichwayshasthisbeendonethusfar?

The discipline of policy studies offers a wide array of con-cepts,heuristicsandmethodsthatcanbeofhelptoassistenergy researchersandenergypolicymakersin theirendeavours. Cur-rently,an increasingnumber of energystudies nolongerfocus only on energy technology and energy economy but also on issuesliketheimplementationofenergyinnovationsinsocietyor establishingan‘energytransition’inacertainjurisdiction.Given theimportance of energy as a resource, and the geographical, socialandinstitutionalconditionstowhichenergyvaluechains aresubjected,decision-andpolicymakingonenergyissuesare typicallyhighlypoliticized.Political,socialandinstitutional con-ditionmustalsobetakenintoaccountifoneistounderstandthe impactandsideeffectsofenergypolicy.Inthesamevein,inenergy policymaking—which is traditionally thedomain of engineers, economistsandpolicyanalysts,knowledgeoftheseissuesisalso increasinglyrequired,sincethesocietyinwhichenergypolicies aretobeimplementedbecomesevermorecomplex,andenergy policyhastoacknowledgetheinterestsandagendasofmultiple stakeholders in society, and safeguard public interests. Energy researchersand policymakersarelookingformodelsandmeta policiesthatprovideguidelinesonhowtodothis.Andthisiswhere policystudiesare relevant for multidisciplinaryenergy studies. Anotherrelevantissueforenergyresearchersisthediffusionand scalingofenergy innovations,which typicallycallforparticular workable governance modes, programs and policies that are requiredtoimplementthoseinnovationssuccessfullyinsociety. Policy studies, in that regard, have a lot to offer, in particular regardingknowledge(andresearchagendas)onpolicydiffusion, evidence-basedpolicy,andresponsibleinnovationpolicy.In

addi-tion,ithasalottoofferintermsofmethods,conceptsandtools thatcanbeusedtoorchestrate,frame,andsupportpolicymaking processes.Table1presentsresearchquestionsthatresearchersand practitionersofenergypolicymightconsiderrelevant,andwhere the discipline of policy studies offerstheoretical concepts that canhelpanswerthoseresearchquestions.Moregenerally,these questionsaddressissueslikethedesignoffeasiblepolicy,analysis oftheimpactandeffectsofpolicy,co-creationwithstakeholders inenergypolicymaking,therelationbetweenscienceandpolicy inpolicymaking,andanalysisofgovernancemodelsandsetsof policymeasuresin theenergy domain(also inaddressingwhat workswhereandhow?).

Therelevanceofconceptsfromthedisciplineofpolicystudiesto (multidisciplinary)energystudieswasillustratedbytheresultsof aliteraturestudyoftheuseofpolicystudiesconceptsinthecaseof energypolicyresearchinTheNetherlands.First,onlyasmallpart oftheresearchonenergypolicy(27%)wasidentiﬁed asstudies fromthedisciplineof policystudies(orrather:analysisof pol-icy).Second,awidearrayofempiricalandtheoreticalapproaches wereused.Attentionwasonbothpolicymaking,implementation andtheevaluationofpolicies,andinvolvedabroadsetofpolicy instrumentsandstrategies.Theoreticalframeworksfromthepolicy studiesdisciplinewere,however,onlysparselyusedina mono-theoreticalsense.Manyeclecticmodelsandintegratedframeworks (alsofallingunderthescopeoftransitionstudies)wereretrieved, usingoneormoreofthetheoreticalconceptsoriginallyderived frompolicystudies.Theanalysisalsorevealedfourmajorclusters onanalysisofpolicy:i)aclusteraddressingpolicy implementa-tion(withassessmentofinstrumentsinenergypolicy),governance structures,focusingonenergyefﬁciencyinthebuiltenvironment andindustry;ii)aclusteraddressingpolicymakingprocesseson energytransitionatstatelevel;iii)aclusteronsocialacceptance andinstitutionalstructuresthathavetodowithwindenergy;and iv)aclusterofinterpretativestudiesonframingor‘boundarywork’ appliedtotheenvironmentaldimensionofenergypolicy.

Finally,ascomparedtootherdisciplinesinthesocialsciences, likeeconomicsandtransitionstudies,itappearsthatpolicystudies researchershavefailedtopayattentioninempiricalworktothe domainofenergyascomparedtootherdomains(suchashealth care).Wefeelthatthereismorepotentialinthisregard.Theresults providespaceforadebateamongresearchersofenergypolicyon howanagendaforfutureresearchonpolicyaspectsofenergy sys-temscanbedevelopedfurther.Giventheresultsoftheanalysis,it canbearguedthatalthoughinterestingdisciplinarycontributions werefound,moreattentiontothedomainofenergypolicywould bewelcomefromtheacademicdisciplineofpolicystudies.

Forreasonsofitseconomic,geopoliticalprofile,itsexperience withinnovationsinenergypolicy(i.e.,energytransition),aswell as theavailability of a body of literatureon energypolicy and thepresenceofenergypolicyresearchers,wearguethatlessons fromtheDutchcase arealsoimportanttoresearchagendason energypolicyinothercountries.Toconclude,wewanttostress that conducting systematic literature reviews, suchas the one presented here,would alsobeusefulwhen conducted inother countries.Besideslearningfromtheresultswithinagivencountry, this would have the benefit of buildinga data set that would permitcomparativestudiestobeconductedandfindoutwhether thepatternsandconceptsdiscernedintheanalysisoftheDutch casealsoappearinothercountries.

Acknowledgments

WeliketothankthemembersoftheNIGresearchcolloquium on“Energyandclimategovernance”,ProfessorLarryO’Toole,and fourindependentreviewersfortheirvaluedcommentstoprevious versionsofthisarticle.

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AppendixA. Overviewofthereviewedliterature

1.Abeelen,C.,Harmsen,R.,&Worrell,E.(2013).Implementation ofenergyefﬁciencyprojectsbyDutchindustry.EnergyPolicy,63, 408–418.http://dx.doi.org/10.1016/j.enpol.2013.09.048

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