The governance of urban energy transition in India : solar developments in Gurgaon

The Governance of Urban Energy Transition in India:

Solar Developments in Gurgaon

Thesis, M.Sc. International Development Studies

Daniel Petrovics daniel.petrovics1@gmail.com (11250844) Supervisor: Dr. Francesca Pilo’ Second Reader: Dr. Eric Chu June 22nd, 2017 M.Sc. International Development Studies

Abstract

This thesis explores the governance of urban energy transition in the Indian city of Gurgaon with a focus on rooftop solar PV installations specifically. The research is grounded in India’s growingly proactive role in striking the Paris Agreement, which has been accompanied by ambitious national target setting for installed renewable energy capacity. Nevertheless it is necessary to examine on what level these policies are to be implemented, and how related processes are governed. In this context the existing literature does not explicitly address how the urban level fits into a multi-level governance framework in terms of socio-technical transitions in the energy sector of India. For this reason this thesis asks the question: How does the current

multi-level governance framework of renewable energy affect urban energy transition in India? In

order to answer this question, the research draws on a qualitative design involving 25 key-informant interviews with prominent governance actors from all four studied levels – international, national, state level, and urban level.

The research argues firstly that the marriage of policy tools, technological solutions, and market instruments has created a push for the solar PV industry in India. Due to this, secondly, the governance of renewable energy is embedded in the formalized legal and regulatory structure of the power sector. Next to this, issue specific legal instruments and financial mechanisms have been introduced in order to target the expansion of rooftop solar PV solutions at the urban scale specifically. These mechanisms are summarized in a sticks and carrots framework. Nevertheless, tensions arise between the formalized governance framework of the power sector and the issue specific arrangements targeting renewable energy solutions, which result in lax implementation of the sticks and carrots framework. Furthermore, it is argued that private sector implementation lies at the core of the existing implementation activities in terms of urban energy transition; however the contextual specifics that the neoliberal urban development process of Gurgaon has witnessed resulted in a set of factors that negatively affect urban energy transition. It is concluded that the elements of the sticks and carrots framework carry procedural and organizational deficiencies that hinder urban energy transition, however have the potential to inform and shape future policymaking. For this reason the thesis concludes in a set of policy recommendations, aimed at 1.) establishing sector specific legislation; 2.) introducing monitoring and penalizing elements for non-compliance with renewable energy related legal obligations; 3.) disseminating information in order to build trust at the user-level; and 4.) incorporating inclusive practices in all renewable energy support schemes.

Keywords – urban; energy transition; multi-level governance; Gurgaon; solar PV; renewable energy.

Table of contents

Abstract ... ii Table of contents ... iii Acknowledgments ... v Additional Notes ... vi List of Acronyms ... vii Illustrations ... viii List of Figures ... viii List of Tables ... viii 1. Introduction ... 1. 2. Debates and Theoretical Background: Searching for Urban Energy Transition ... 4. 2.1. Cities and Energy Transition: The Emergence of Multi-Level Governance ... 4. 2.2. Energy Transition as a Socio-Technical Transition: A Multi-Level Perspective and Its Critique ... 6. 2.3. Concluding Remarks: Gap in the Literature and Key Points Brought to the Discussion ... 9. 3. Research Questions ... 11. 4. Conceptual Scheme ... 13. 5. Methodology ... 15. 5.3. Epistemological Considerations ... 15. 5.4. Qualitative Design ... 16. 5.5. Methods and Sampling ... 16. 5.5.1. Sampling ... 16. 5.5.2. Key Informants and Interviews ... 17. 5.5.3. Site Visits ... 18. 5.5.4. Document Analysis ... 19. 5.6. Data Analysis ... 19. 5.7. Ethical Considerations ... 20. 5.8. Reflection on Methodological Limitations ... 21. 5.8.1. Assessing the Quality of the Research ... 22. 6. Research Context: The Pertinence of Studying Climate Mitigation in Urban India and the Historic Development of Gurgaon and its Energy Infrastructure ... 24. 6.1. The Pertinence of Studying Climate Mitigation Solutions in Urban India ... 24. 6.1.1. Why India? Growing Engagement in the Field of Climate Mitigation ... 24. 6.1.2. The Importance of the Urban Environment for Climate Mitigation Solutions in India ... 26. 6.1.3. Why Solar PV? ... 28. 6.1.4. Why Gurgaon? Neoliberal Urban Development and Solar PV Technology ... 28. 6.2. The Development History of Gurgaon ... 30. 6.2.1. The Story of A ‘Private City’ Resulting in Administrative Fragmentation ... 31. 6.2.2. Gurgaon’s Electricity Infrastructure: A Young Grid With Limited Reach ... 33.

6.3. Concluding Remarks ... 34. 7. A Renewable Energy Governance System at the Cross-Section of National Level Guidelines and State Level Mandates ... 35. 7.1. A National Level Push for Solar Power ... 35. 7.2. Legislation Governing Renewable Energy: the Establishment of a State Level Mandate ... 37. 7.3. The Governance of Renewable Energy and Related Policies In Haryana: A Comprehensive and Enabling Framework ... 39. 7.3.1. Policy Documents and Emerging Targets ... 39. 7.3.2. Financial Incentivizing Instruments for Rooftop Solar PV ... 42. 7.3.3. Procedural Problems ... 47. 7.4. Sticks and Carrots: Tying Together Policy, Implementers, and Incentivizing Instruments ... 49. 7.5. Concluding Remarks ... 51. 8. Urban Energy Transition in Gurgaon: The Development of a Niche Regime and its Strains ... 54. 8.1. An Assessment of the Sticks and Carrots Mechanism ... 54. 8.1.1. The Notification and Lacking Institutional Arrangements ... 55. 8.1.2. The Financial Incentivizers ... 56. 8.1.3. RPOs ... 59. 8.1.4. Limits of the Sticks and Carrots Framework, and Subsequent Responses ... 59. 8.2. Solar PV as a Technology of Financial Leverage and Privilege ... 60. 8.2.1. Civil Society, the Private Sector and CSR Obligations ... 61. 8.2.2. Discourses of Middle-class Environmentalism in Gurgaon ... 62. 8.2.3. The Role of Large-Scale Wealth Transfers ... 63. 8.3. Further Obstacles to the Expansion of Solar Energy ... 64. 8.3.1. Issues of Information and Trust ... 64. 8.3.2. Technical Issues in Gurgaon: Blocking Elements for Further Expansion And Implementation ... 65. 8.4. Concluding Remarks: The Lack of Urban Level Public Implementation and the Underlying Dynamics ... 66. 9. Conclusion ... 68. 10. Policy Recommendations ... 72. Bibliography ... 73. Annex I. – List of Interviewees ... 80. Annex II. – Sample Interview Guides ... 82.

Acknowledgments

First of all I would like to thank my supervisor, Francesca Pilo’ for the close attention she has paid to my project from our initial conversations to the last stretch of the writing period. Her critical insight and careful guidance has had a great impact on my work. Next to this I owe immense gratitude to Marie-Hélène Zérah for guiding me in the field and for hosting me at the Centre for Policy Research (CPR) in Delhi, India. Her knowledge of the field has provided me with the necessary impetus to successfully complete the fieldwork in the short time frame that was available. Moreover I have to thank all the brilliant minds working at CPR. I have never before been exposed to such an intellectually inspiring and vibrant environment. All the workshops, conferences, personal interactions, and lunch-break conversations have provided me with the necessary inspiration to dig deeper and look for the answers to the questions that came up during and after the fieldwork. I would furthermore like to thank Eric Chu for accepting to be my second reader, as well as for providing the stimulus throughout the academic year for my engagement with topics related to urban governance.

I would also like to thank all the interviewees who have taken their precious time and answered my questions. Their input forms the backbone of this research, and for this reason I owe them the principal acknowledgments.

Next to this I have to thank my parents for everything they have done for me – my mother for sparking my creative interests, and my father for fueling my intellectual desires. The unconditional support and interest they have continuously provided me with has made me truly believe in the causes I am engaged with. Last but not least I would like to thank all my friends who have affected my intellectual and personal development and through this have had a direct

Additional Notes

The Indian Numbering System The Indian numbering system uses two terms – lakh, and crore (cr) – to describe large numbers. As policy documents as well as accounts of interviewees referred to large numbers regularly with these terms it is necessary to provide an explanation for them. 1 lakh equals 100,000, while 1 cr equals 10,000,000 in the international numbering system. The Gurugram – Gurgaon Name

The official name of the case study location is Gurugram since 2016, nevertheless in common language the city is referred to as Gurgaon. For this reason this thesis follows suit and refers to the city as Gurgaon as well. The Cover Photo The cover photo shows the 100 KW solar PV installation at the final stop – HUDA City Centre – of the yellow line of the Delhi Metro in Gurgaon. This line connects the two cities and is used daily by commuters. (source: author)

List of Acronyms

ADC ... Additional Deputy Commissioner CAPEX ... Capital Expenditure CERC ... Central Electricity Commission CPR ... Centre for Policy Research CPSU ... Central Public Sector Undertaking CSE ... Centre for Science and Environment CSR ... Corporate Social Responsibility DDA ... Delhi Development Authority DHBVN ... Dakshin Haryana Bijli Vitran Nigam DISCOM ... Distrbution Company DLF ... Delhi Land & Finance FAR ... Floor to Area Ratio GHG ... Green House Gas GMDA ... Gurgaon Metropolitan Development Authority GoI ... Government of India GW ... Gigawatt HAPCC ... Haryana Action Plan on Climate Change HAREDA ... Renewable Energy Department of the Government of Haryana HERC ... Haryana Electricity Regulatory Commission HSIIDC ... Haryana State Infrastructure & Industrial Development Corporation HSPP ... Haryana Solar Power Policy HUDA ... Haryana Urban Development Authority IREDA ... Indian Renewable Energy Development Authority JNNSM ... Jawaharlal Nehru National Solar Mission KW ... Kilowatt KWh ... Kilowatt-hour MCG ... Municipal Corporation Gurgaon MERC ... Maharashtra Electricity Regulatory Commission MNRE ... Ministry of New and Renewable Energy MoEFCC ... Ministry of Environment, Forests, and Climate Change MoU ... Memorandum of Understanding MoUD ... Ministry of Urban Development MW ... Megawatt NAPCC ... National Action Plan on Climate Change NCR ... National Capital Region NGO ... Non-Governmental Organization NISE ... National Institute for Solar Energy PPA ... Power Purchase Agreement PPP ... Public-Private Partnership PV ... Photo Voltaic PWD ... Public Works Department R&D ... Research & Development RESCO ... Renewable Energy Service Company RPO ... Renewable Purchase Obligation RWA ... Resident Welfare Association SECI ... Solar Energy Corporation of India SERC ... State Electricity Regulatory Commission SEZ ... Special Economic Zone TERI ... The Energy Resources Institute ULB ... Urban Local Body UN ... United Nations UNFCCCC ... United Nations Framework Convention on Climate Change

Illustrations

List of Figures Figure 2.1. Multi-Level Perspective ... 7. Figure 4.1. Conceptual Scheme: The Governance of Urban Energy Transition ... 13. Figure 5.1. 10 KW Solar PV Installation at the Rajiv Gandhi Renewable Energy Park ... 18. Figure 6.1. The Location of Gurgaon ... 29. Figure 6.2. Map of Gurgaon ... 29. Figure 7.1. Sticks and Carrots Framework for Enabling Solar PV Installations ... 50. Figure 8.1. Construction of a 10 KW Rooftop Installation ... 57. List of Tables Table 2.1. Type I and Type II Multi-Level Governance Arrangements ... 6. Table 7.1. Time Line of Legislation Affecting the Development of the Solar PV Field in India and Haryana ... 37. Table 7.2. Government of Haryana Notification on Mandatory Solar PV Rooftop Installations ... 41. Table 7.3. Summary of the Financial Incentivizers and Legal Instruments Aimed at Expanding the Rooftop PV Field ... 45.

$

1.!Introduction!

$

Climate$change$is$one$of$the$most$pertinent$political$and$social$problems$of$our$era.$It$is$not$ only$a$global$problem$that$could$result$in$unconceivable$natural$as$well$as$social,$political$ and$economic$consequences,$but$also$one,$which$highlights$certain$systemic$and$structural$ flaws$in$the$way$the$governance$of$global$issues$is$conducted.$With$scientific$consensus$over$ the$ ‘what’$ of$ the$ problem,$ future$ academic$ and$ scientific$ endeavors$ need$ to$ address$ the$ ‘how’$of$tackling$climate$change$and$through$this$address$issues$of$governance.$

The$main$cause$of$climate$change$is$the$growing$emissions$of$Green$House$Gases$(GHGs).$ With$the$proliferation$of$fossil$fuel$powered$energy$sectors,$these$gases$are$emitted$into$the$ Earth’s$atmosphere$and$block$heat$from$radiating$off$of$the$Earth’s$surface.$Through$this$the$ planet$gradually$warms$and$results$in$a$myriad$of$environmental,$social,$economic,$as$well$ as$ political$ consequences.$ A$ potential$ solution$ is$ to$ mitigate$ GHG$ emissions$ through$ the$ introduction$of$renewable$energy$sources.$Nonetheless$the$question$of$who$should$take$on$ this$responsibility,$and$where$it$should$be$implemented$is$a$key$question.$

As$ humanity$ is$ entering$ what$ is$ referred$ to$ as$ the$ anthropocene$ by$ many$ (Haff,$ 2014;$ Rockström$ et$ al.,$ 2009;$ Biermann,$ 2012;$ Gupta,$ 2016),$ it$ is$ becoming$ more$ and$ more$ evident$that$states$traditionally$inactive$with$regards$to$climate$mitigation$are$pressured$to$ take$on$a$more$active$role$in$the$future.$Hence$due$to$various$reasons$outlined$below,$the$ process$ through$ which$ transitional$ economies$ emerge$ as$ leading$ entities$ in$ the$ field$ of$ renewable$ energy$ is$ more$ and$ more$ commonplace.$ The$ two$ primary$ examples$ for$ this$ process$ involve$ India$ and$ China.$ In$ 2015$ both$ of$ these$ countries$ ranked$ among$ the$ top$ 5$ with$ regards$ to$ new$ investments$ in$ renewables,$ as$ well$ as$ asset$ financing$ of$ renewables$ (Frankfurt$School,$2016).$Furthermore$both$countries$have$taken$leading$roles$in$striking$the$ Paris$ Agreement$ in$ 2015,$ hence$ emerging$ as$ leaders$ of$ international$ climate$ talks.$ This$ contrasts$with$the$near$nonWexistent$participation$in$drafting$the$Kyoto$Protocol,$however$ this$ can$ also$ be$ due$ to$ the$ general$ structure$ of$ that$ agreement.1$These$ factors$ are$ ever$ more$relevant$with$the$recent$news$of$the$United$States$potentially$withdrawing$from$the$ Paris$Agreement$(Shear,$2017).$ India$is$one$of$the$largest$emitters$of$GHG$gases$in$gross$terms,$however$it$is$well$bellow$the$ global$average$in$terms$of$per$capita$output$(Dubash,$2011b).$In$this$understanding$it$can$be$ seen$that$India$as$a$country$is$central$to$climate$mitigation.$However$this$contrasts$with$its$ developmental$objectives,$as$the$country$is$still$in$the$beginning$of$a$phase$that$will$produce$ rapid$industrialization$and$development.$This$entails$a$growing$demand$for$energy$and$for$ this$reason$it$is$highly$relevant$to$see$what$potential$there$is$for$technological$leapfrogging$ in$this$field,$and$consequentially$the$mitigation$of$climatic$changes.$Hence$it$is$also$relevant$ to$look$at$how$and$why$India’s$stance$has$changed$with$regards$to$climate$change.$

With$ climate$ change$ negotiations$ receiving$ greater$ and$ greater$ publicity$ it$ can$ seem$ that$ those$at$the$forefront$of$solving$the$problem$are$nation$states.$In$this$framework$the$nation$

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

$

state$ is$ treated$ as$ a$ unitary$ actor,$ which$ interacts$ with$ other$ units$ in$ a$ system$ of$ global$ anarchy,$as$is$suggested$by$basic$realist$International$Relations$theories$(Waltz,$1979).2_$This$

system$of$global$anarchy$is$also$what$necessitates$international$negotiations$and$voluntary$ cooperation.$ Nevertheless$ when$ one$ looks$ at$ the$ implementation$ of$ international$ agreements$it$becomes$clear$that$various$subWnational$units$–$such$as$states$and$cities$–$play$ a$ great$ role$ in$ acting$ out$ the$ desired$ changes.$ A$ growing$ body$ of$ literature$ has$ been$ focusing$ on$ the$ role$ of$ these$ subWnational$ units$ in$ climate$ action$ (Jörgensen$ et$ al.,$ 2015;$ Betsil$and$Rabe,$2009;$Gupta,$2007;$Engel,$2006).$Next$to$this$it$has$been$argued$that$from$a$ climate$change$perspective,$the$most$pertinent$subWnational$unit$is$the$urban$(Kousky$and$ Schneider,$2003;$Bulkeley$et$al.,$2015)$as$it$is$not$only$the$stage$for$highWconsumption$and$ high$ wasteWgenerating$ lifestyles,$ but$ also$ one$ where$ local$ authorities$ can$ take$ lead$ in$ implementing$national$policies$with$local$contexts$in$mind.$

Furthermore,$the$majority$of$the$world$now$lives$in$an$urban$environment$(UN,$2014).$The$ migratory$ flows$ from$ rural$ to$ urban$ entail$ that$ one$ of$ the$ key$ future$ playing$ grounds$ for$ climate$mitigation$as$well$as$adaptation$will$be$in$cities.$Next$to$this,$focus$has$to$be$directed$ towards$emerging$urban$areas$in$the$global$South$primarily,$as$the$migratory$pressures$and$ resulting$ urbanization$ will$ be$ more$ prominent$ in$ these$ areas$ in$ the$ future$ (UN$ Habitat,$ 2016;$Parnell$and$Robinson,$2012).$Next$to$this,$opportunities$for$climate$mitigation$will$also$ be$concentrated$in$the$cities$of$Asia,$as$is$outlined$by$Mukhopadhyay$and$Revi$(2011).$ For$ these$ reasons,$ this$ research$ places$ itself$ at$ the$ cross$ section$ of$ analyzing$ how$ the$ ‘urban’$level$is$considered$in$a$multiWlevel$governance$framework$when$it$comes$to$energy$ transition$in$India$on$the$one$hand;$and$how$conversely$the$urban$can$be$understood$as$a$ context$and$playing$ground$for$energy$transition$related$change$on$the$other.$Therefore$a$ relevant$question$of$research$is$to$examine$how$the$‘urban’$level$fits$into$a$framework$of$ energy$ transition$ in$ developing$ countries,$ such$ as$ India,$ and$ how$ this$ relates$ to$ activities$ happening$ in$ the$ given$ urban$ setting$ simultaneously.$ In$ order$ to$ explain$ this$ dialectic$ process,$a$theoretical$framework$is$constructed$based$on$two$broad$theoretical$families$–$ those$related$to$multiWlevel$governance,$and$those$to$urban$energy$transition.$

Considering$ this$ research$ aims$ at$ examining$ where$ the$ governance$ of$ urban$ energy$ transition$ stands$ in$ India$ today,$ a$ medium$ size$ city$ in$ the$ Indian$ state$ of$ Haryana$ is$ examined$in$the$case$study$section.$This$city$is$the$city$of$Gurgaon.$Hence$the$main$research$ question$ the$ thesis$ asks$ is:$ How$ does$ the$ current$ multi1level$ governance$ framework$ of$

renewable$energy$affect$urban$energy$transition$in$India?$In$order$to$answer$this$research$

question$the$following$subWquestions$were$developed:$How$is$the$urban$level$assessed$and$

engaged$with$in$the$current$multi1level$governance$framework$of$renewable$energy$in$India?$ How$has$the$urban$development$process$of$Gurgaon$affected$the$way$public$municipal$level$ actors$ engage$ with$ renewable$ energy$ related$ initiatives?$ What$ actors$ and$ institutions$ partake$in$the$process$of$urban$energy$transition$in$Gurgaon?$What$socio1technical$factors$ enable$and$block$the$introduction$of$renewable$energy$in$Gurgaon?$

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

2_{$Such$a$global$system$of$anarchy$between$nation$states$has$its$roots$in$Westphalian$sovereignty,$in$which$every$} state$has$individual$territorial$and$legal$sovereignty.$For$this$reason$there$is$no$true$global$organizing$entity$that$ can$coordinate$solutions$to$the$problems$of$the$commons.$

$

Through$ answering$ these$ questions$ what$ arises$ is$ an$ urban$ context$ for$ renewable$ energy$ governed$ by$ the$ legal$ framework$ of$ the$ power$ sector,$ which$ is$ mandated$ at$ the$ crossW section$of$the$national$and$state$levels.$Nonetheless$three$key$arguments$emerge$from$the$ discussion.$ Firstly,$ it$ is$ argued$ that$ a$ solar$ PV$ market$ is$ emerging$ in$ India$ due$ to$ the$ marriage$ of$ policy$ tools,$ technological$ solutions,$ and$ market$ instruments,$ all$ aimed$ at$ supporting$the$development$of$this$industry.$Secondly,$and$closely$related,$a$comprehensive$ framework$of$incentivizers$applicable$specifically$to$the$urban$environment$emerges,$which$ in$ effect$ pushes$ implementation$ responsibilities$ on$ endWusers$ through$ the$ creation$ of$ financial$incentives.$Finally,$it$is$also$argued$that$the$true$implementers$of$renewable$energy$ related$initiatives$on$all$scales$are$to$be$found$in$the$private$sector.$Nonetheless$all$three$ points$ should$ be$ assessed$ in$ the$ light$ of$ temporality,$ as$ the$ field$ of$ solar$ PV$ in$ India$ is$ constantly$ evolving,$ and$ hence$ the$ introduced$ policy$ tools$ along$ side$ the$ market$ instruments$should$be$assessed$as$recent$developments.$

The$ thesis$ is$ structured$ as$ follows:$ Chapter$ 2$ provides$ an$ outline$ of$ the$ two$ theoretical$ families$ of$ urban$ energy$ transition$ and$ multiWlevel$ governance.$ Through$ this$ a$ theoretical$ framework$ is$ constructed$ appropriate$ for$ the$ study$ of$ the$ governance$ of$ urban$ energy$ transition.$Chapter$3$outlines$the$research$questions,$chapter$4$draws$a$conceptual$scheme$ based$ on$ the$ theoretical$ framework$ and$ the$ research$ questions,$ chapter$ 5$ outlines$ the$ utilized$methodology$–$including$the$research$design,$methods$and$sampling,$data$analysis,$ ethical$ considerations,$ and$ a$ reflection$ on$ the$ research$ process.$ Following$ this$ Chapter$ 6$ provides$a$contextual$understanding$of$climate$mitigation$in$urban$India,$and$of$Gurgaon$as$ a$research$location.$Chapter$7$outlines$the$governance$framework$of$renewable$energy$with$ an$ urban$ focus$ and$ constructs$ a$ sticks$ and$ carrots$ framework$ for$ understanding$ how$ financial$ incentivizers$ and$ legal$ obligations$ affect$ the$ governance$ of$ this$ field.$ Chapter$ 8$ analyzes$this$framework$and$the$general$means$for$the$governance$of$renewable$energy$in$ the$context$of$Gurgaon.$Finally,$chapter$9$draws$conclusions$and$chapter$10$provides$policy$ recommendations.$

2. Debates and Theoretical Background: Searching for Urban Energy

Transition

For the sake of this research two broad families of theory have to be discussed. On the one hand a discussion on multi-level governance frameworks is outlined in order to understand how the actors and processes, which govern urban climate mitigation relate to each other and hence govern this process. On the other hand socio-technical transitions and sustainability transitions are considered to provide a framework for understanding the process through which renewable energy is introduced into the energy mix of India. Consequently, this chapter is divided along these lines.

2.1. Cities and Energy Transition: The Emergence of Multi-Level Governance

Cities are at the core of climate change. It is not only carbon-intense lifestyles, which produce GHG emissions that lie at the heart of this problem, but it is the political and economic processes, which precede this dynamic that can be found at the centre. The concentration of energy intense lifestyles along with rapid rates of planetary urbanization establishes the urban as one of the key platforms for addressing climate change through mitigation activities, such as renewable energy solutions. Hence responding to the risks climate change poses in terms of adaptation as well as mitigation requires engagement on all levels – from the international to the local (Bulkeley et al., 2015).

For this reason a multi-level governance framework emerges as a suitable theory for explaining how a transition involving different governance levels takes place. This family of theory is best understood as stemming from studies on the process of European integration. Traditional theories of governance3 _{did not provide and explanation of how socio-political}

processes were governed and made studies concentrating solely on the central state as a governing entity incomplete in their explanatory power. As Marks (1992) outlined for the first time, through studying European integration, the studying of sub-national units, as well as extra-state actors, and the networks between them became relevant. Hence these theories concentrate on how power, decision-making processes, and legislative authority are disseminated vertically (international, national, state level, urban level, and local level) – as well as horizontally (state to state, city to city, or actor to actor for example) – creating multiple levels for governance.

The unprecedented nature of climate change has required governance as well as scholarship to focus on how processes on different levels affect other levels, and how through this tasks and responsibilities are allocated to actors on sub-national or local levels in a climate governance context (Gupta, 2007). In this sense processes of reform and resulting decentralization allocate responsibility in a manner that allows for the implementation of

3 _{For an elaborate outline on approaches to governance (theories) refer to The Oxford Handbook of Governance,} edited by David Levi-Faur (2012).

policy according to local needs and contexts (Ibid.) Next to this, actors on various (seemingly hierarchically ordered) levels can bypass each other. Hence a policy field initially conceived to take place at the intersection of national politics and international agreements – such as that of climate governance – can now be understood in more detail when one looks at local initiatives and implementation simultaneously. Smith (2007) outlines in great detail how regional actors interact with legal and institutional frameworks and through this carry the potential to lead the process of introducing renewable energy solutions. In this sense an urban area can also bypass the nation state in leading socio-technical transitions (Hodson and Marvin, 2010).

Furthermore, Betsil and Rabe (2009) have outlined three phases, which illustrate how multi-level climate governance has developed in the past. In this framework “epoch one” entails the time when academia and policy focused on national and international policy primarily; “epoch two” covers the period, where focus was placed on local initiatives as well; and “epoch three” describes the past decade where the processes and interplay between these levels have been in focus (Betsil and Rabe, 2009, p. 211.). For the sake of this research epoch three literature is considered as the centre piece of multi-level governance theories, due to it’s explanatory power of the linkages between all levels – from local to international.

Moreover with regards to multi-level governance, reforms resulting in decentralization have to be discussed. In this sense decentralization can be seen as a process of shortening the distance between the government and the governed, and hence resulting in positive and inclusive effects with regards to wider societal participation and inclusion (Baud and de Wit, 2008). Nevertheless the introduction of governance actors closer to the citizen, does not necessarily entail uniform systems of multi-level governance.

Hooghe and Marks (2003) differentiate between two broad types of multi-level governance, which differ substantially despite the above-mentioned subsidiarity principle. According to their argumentation Type I entails the qualities of general-purpose jurisdictions, nonintersecting memberships; jurisdictions at a limited number of levels; and a system wide architecture. Type II can be seen as creating task-specific jurisdictions; intersecting memberships; no limits to the number of jurisdictional levels; and a flexible design. Smith (2007) builds on this differentiation and distinguishes between ordered (Type I) and messy (Type II) multi-level governance in his study on multi-level governance of renewable energy solutions in England. This differentiation is outlined in Table 2.1. Nevertheless this type of demarcation should not be treated as dichotomous or exclusive, and should be understood to provide perspectives on how best to explain governance. In this sense the distinctive elements from the different types of multi-level governance arrangements can be present simultaneously and can hence explain different factors and dynamics in the process of energy governance.

Type I Type II Well-ordered, nested responsibilities distributed across multi-functional agencies. Clear demarcations and lines of accountability. Analogous to ordered regionalism: clearly defined territorial tier. Fluid, sector specific networks with memberships intersecting across levels. Accountabilities less clear, but dynamism permits problem-led experimentation. Analogous to networked regionalism: problem-focused governance for region. Regional activities to promote renewable energy business and innovation that draw upon formal hierarchies and resources but operate through networks. Table 2.2. Type I and Type II Multi-Level Governance Arrangements (based on Smith, 2007, p. 6268.) Finally, it has to be pointed out that multi-level governance theories do not solely engage with the structuring of state power and government activities. Despite the focus on how public authority is disseminated on different levels, as Stoker outlines “governance refers to a set of institutions and actors that draw from but also beyond government” (Stoker, 1998, p. 18). In this understanding coalitions form around issue areas in the city, which involve a wide array of actors ranging from economic actors to universities for example (Hodson and Marvin, 2010). Hence if one takes a closer look at the reforms of the early ‘90s and the resulting privatization and to a lesser extent the political decentralizing tendency in India, it is clear that private as well as civil society actors and interests have to be taken into account when studying urban energy transition.

2.2. Energy Transition as a Socio-Technical Transition: A Multi-Level Perspective and Its Critique

For the sake of this research energy transition is understood in broad terms as a socio-technical transition (Hodson and Marvin, 2010; Geels, 2011; Rutherford and Jaglin, 2015; Bridge et al., 2013; Smith et al., 2005). This entails the wider systemic transfer of structures, which contain social as well as technological elements. In this sense the development and emergence of new technical systems – such as renewable energy solutions – can pave the way to alter already dominant technical systems – such as the fossil fuel intense energy system – that are already in place. Nonetheless the key point is that these technical changes are embedded in political and social processes.

In broad terms transition theories of socio-technical transitions can be built on what Geels (2002; 2011) outlines as the multi-level perspective. The multi-level perspective entails a framework for understanding transitions through non-linear and heterogeneous processes happening on three nested levels: landscape, regime, and niches (Geels, 2011). Hence, a socio-technical regime entails a multiplicity of factors and processes, which comprise a relatively stable system based on established practices and associated rules (Ibid.). As already mentioned an example for such a regime is the fossil fuel based energy sector, which

came to be in the past century due to a growing need for transportation and automation, resulting in the growth of energy intensity and systems dependent on fossil fuels. Nevertheless these regimes are embedded in a broader exogenous context, the landscape, which creates certain pressures and limitations, and through this opens up opportunities for regime change (Ibid.). The final element of the multi-level perspective is that of niche innovations. These innovations can be inventions, actors, or processes, which are external to the regime. In this understanding small scale advances, accompanied by related networks and processes can disrupt the socio-technical regime, and create a new constellation of networks, processes, and ultimately configure a new socio-technical regime. For illustration Figure 2.1. outlines these processes and relations.

Nevertheless multiple authors for various reasons have criticized this framework. First of all it is important to reflect on how the niche level is conceived of. As already mentioned, Geels conceives of niches as a set of autonomous processes, which have disruptive potential. Nevertheless, Rotmans and Loorbach argue that the niche should be understood as an emergent structure or regime in itself, capable of growing to the point that it breaks down the dominant regime and replaces it (Rotmans and Loorbach, 2009). This is a key point as it allows for identifying the networks and processes, which connect separate innovations, and through this create an emergent structure (Ibid.). Next to this it is also necessary to reflect on the role of agency and actors in these processes. Smith et al. (2005) have suggested that Figure 2.1. Multi-Level Perspective (Geels, 2011, p. 28.)

actors need to be discussed and taken into consideration explicitly when talking about transition dynamics.

However, all these authors think of transitions in macro terms and do not explicitly discuss the urban dimension as a specific site of energy transition and socio-technical transformations. Hence, introducing the urban dimension of energy transition, other scholars point out the limits of the multi-level perspective when considering its spatial dimension. In this sense the work of authors focusing specifically on the spatial limitation the ‘urban’ sets in terms of energy transitions has to be discussed. In the context of urban energy transition the work of Hodson and Marvin (2010) is highly relevant, as they explicitly highlight the fact that the multi-level perspective does not pinpoint the spatial aspect of regime change. In this understanding the scale and role of the city becomes the centerpiece in studying the socio-technical regime change of energy transition.

A slender, yet substantial body of literature exists on energy transition specifically discussing this socio-technical transition on the urban scale (Rutherford and Coutard 2014; Rutherford and Jaglin 2015; Zérah and Kohler 2013). As Rutherford and Coutard (2014) argue it is essential to include the urban spatial component when studying these processes, as

“energy transitions always work at least partly through urban processes, urban practices and urban change, and that, concomitantly, the urban experience and condition (in their inherent diversity) are constantly reconfigured by energy and by the evolving and contested ways in which they are connected.” (p. 1354.)

Hence the urban governance of energy cannot only be done at specific sites, but it is also conducted in connection to different types of strategic actions and interventions. This is due to overlapping mandates in various policy fields such as housing, land use, and transport to mention a few (Rutherford and Jaglin 2015). For these reasons, cities and urban spaces should be understood as “particular contexts, constituents and consequences of energy system change” (Ibid., p. 174.).

Rutherford and Jaglin (2015) further outline different ways in which the urban can take an active and leading role in the field of energy governance and through this establish systemic change. According to their framework, three broader themes can be identified. Firstly, all energy governance issues are translated into the context of local needs, structures, and actors. Through this the urban implementation of broader energy policy takes on a localized dimension and is hence embedded in localized dynamics. Secondly, capacity building constitutes an important element of urban energy governance. In this understanding the processes through which actors interact, make decisions, allocate resources, and hence build and manage capacity and capability is in focus. Finally, the element of urban politicization is highlighted, which constitutes the political in the urban. In this understanding, often time contrasting political values and incentives are highlighted. This in effect creates an active political arena, which carries potential for; or can block systemic social transformations such as energy transition.

Next to this, wider societal perceptions and attitudes towards desired socio-technical transitions also have to be kept in mind, as is discussed by Zérah and Kohler (2013). In this

understanding the defiance and mistrust of society can hinder any type of push for the deployment of renewable energy systems.

2.3. Concluding Remarks: Gap in the Literature and Key Points Brought to the Discussion

All in all the gap that emerges in the literature, which this thesis aims at addressing arises at the cross-section of multi-level governance theories and literature addressing energy transition in the urban context. Although there is a growing body of literature on the importance of cities in relation to climate policy – among them those outlined above (Jörgensen et al., 2015; Bulkeley, H., et al., 2015; Betsil and Rabe, 2009; Gupta, 2007; Engel, 2006; Kousky and Schneider, 2003) the literature is divided as to what extent the urban level takes on an active role in energy transition in a multi-level governance framework. As urban level experimentation with climate mitigation as well as adaptation solutions is a relatively young field it is imperative to understand how this unit of analysis relates to the governance framework in which it is embedded. Next to this understanding the contextual specifities of the given urban environment is similarly essential. In this sense conceiving of the governance of urban energy transition as guided by the interrelation of international and national level policies solely can be misleading. The position this thesis takes is that the contextual specifities of the governance environment affecting cities has to be kept in mind, while in turn the way the urban environment affects this governance framework as well has to be assessed. Among the existing literature, the conception closest to this point is outlined by Rutherford and Jaglin (2015) who base their argumentation on a critique of the skewed view studies focusing on energy governance at the cross-section of the national and international levels carry. They address the shortcomings of discarding lower levels (regional, local, and urban) in multi-level governance terms, however they go to the other end of the spectrum as their conception focuses primarily on the context the urban environment creates for energy governance, and hence fail to account for how exactly macro level conceptions of international and national dynamics specifically interact with regional, local, and ultimately urban dynamics.

In order to fill this gap it is important to point out what elements of these theoretical families are taken on to the discussion. As mentioned before the two families of theories can explain different aspects of urban energy transition. On the one hand transition literature allows for understanding the specific process through which the incumbent regime of fossil fuel intense energy production gives way to that of renewable energy at the urban level; while on the other hand multi-level governance theories allow for understanding the relations between specific levels and actors along with the political and social processes that take place at the urban scale through which they interact and make this transition possible. Nevertheless it is essential to point out that energy transition is not understood in macro terms, as much of the transition literature treats it. In this sense the specific context of the urban environment is in focus, along with the technological solution this environment carries in terms of renewable energy solutions resulting in a focus on solar PV technology. In

this sense solar PV solutions and the surrounding governance environment are considered to form a potential niche that could affect regime change.

Nonetheless in order to understand how the process of creating, enhancing, and supporting such a socio-technological niche is possible, a multi-level governance framework is utilized. In this sense the Type I and Type II categorization of Hooghe and Marks (2003); and the similar ‘ordered’ and ‘messy’ governance frameworks of Smith (2007) are taken on to the discussion. It is hypothesized that this can allow for a better understanding of how policy formulated at the international, central, state, and ultimately municipal level allocates responsibilities, while it also allows for a better understanding of how actors on these levels interact, and ultimately effect the process of urban energy transition.

3. Research Questions

In order to better understand the governance structure and processes of renewable energy developments in the context of the urban environment the following main research question was developed: How does the current multi-level governance framework of renewable energy affect urban energy transition in India? In order to answer the main research question the following sub questions are outlined: SQ1: How is the urban level assessed and engaged with in the current multi-level governance framework of renewable energy in India? This questions builds on the theoretical framework of multi-level governance. In this sense it studies how the urban level fits in a vertical framework and how it interacts with the federal government, the state government, district authorities, and finally the international level. Through this, firstly, the governance framework of renewable energy in India can be better understood, and secondly, legal and regulatory considerations of the urban space in this context can also be explored. SQ2: How has the urban development process of Gurgaon affected the way public municipal level actors engage with renewable energy related initiatives?

Considering the importance of urban development in understanding renewable energy solutions it is essential to outline how the case study location developed in the past. For this reason this question aims at outlining the development history of Gurgaon in the context of infrastructure provisions, and to explain what type of difficulties persist in the public sector, which in effect influence the coordinated deployment of infrastructure provisions. SQ3: What actors and institutions partake in the process of urban energy transition in Gurgaon? This question aims at outlining what actors and institutions are actively involved in deploying renewable energy solutions in Gurgaon, and how they do so. The legal and regulatory framework along with the outlined policy documents only establish a structure in which actors operate. However they do not shed light on the role of agency, and on what linkages or tensions arise between these actors. For this reason this question aims at understanding the relations between the various urban level actors.

SQ4: What socio-technical factors enable and block the introduction of renewable energy in Gurgaon? Finally, this question aims at examining the ground reality of renewable energy in Gurgaon from a transitions perspective. In this sense it outlines the specific socio-technical factors present in the city and describes how this effects processes of urban energy transition.

4. Conceptual Scheme

Drawing on the theoretical discussion outlined above, this section discusses the main theoretical concepts, their relation to each other, and the main underlying assumptions for the sake of this research. Hence the two main concepts analyzed here are urban energy

transition, and multi-level governance.

The main assumption embedded in this scheme is that a multi-level governance framework influences energy transition related developments at the urban level. As can be seen in Figure 4.1., the conceptual scheme builds primarily on a multi-level governance framework. The main conceptions of the multi-level governance framework are assumed to be on the lines of the Type I and Type II differentiation of Hooghe and Marks (2003). In this sense the devolution of political authority from central governments to different levels and actors has created jurisdictions that can be understood in two different ways. As was outlined in the theoretical discussion, a Type I multi-level governance framework entails jurisdictions organized around specific communities, which bundle differing competencies, function on a limited number of levels, and carry a system wide architecture. Type II however entails jurisdictions organized around a general policy problem, which requires specific competencies, with no limit on jurisdictional levels, and carries a flexible design. What is crucial to point out at this point is that the two categorizations are not conceived as mutually exclusive, and are assumed to carry explanatory power through functioning as theoretical lenses, rather than stand-alone categories of multi-level governance.

For this reason four different levels are outlined, which denote activities primarily present in the public sphere on the international, national, state, and municipal levels. In this framework the international level can be best understood as establishing broader trends and regimes that affect the national stance of countries on policy issues such as climate change. In this sense the interaction between international level actors and the highest levels of national government creates certain pressures and hence influences national policy. Therefore broader dynamics on the first two levels establish a framework for understanding why renewable energy related policy is formulated. Next to this, due to the fact that India is a federation, a differentiation between national and state level government is included in order to better understand the relations between these levels as well. Finally, the municipal level entails the level of public authority present at the urban level. As mentioned before, this multi-level governance framework is assumed to affect processes related to energy transition in the urban environment. This way on the one hand the urban level can be positioned as a unit of analysis in a multi-level governance framework, while on the other hand the black box of this unit can be opened up, and hence can also be understood to constitute the context of study. In order to understand how exactly this framework affects urban level dynamics, the three broad themes Rutherford and Jaglin (2015) outline as carrying the potential to affect energy governance on the urban level are outlined. Through looking at the specific context, it is possible to understand what type of limitations or opportunities specific forms of urbanization and climatic conditions create for the deployment of renewable energy solutions. Capacity building activities are understood as a set of activities, which entail interactions that create linkages between actors. These can best be understood to take place through tendering and the establishment of Public-Private Partnerships (PPPs). The last theme, politicization,4 _{is best understood to constitute}

interactions between actors and society, which result in tensions, and ultimately power struggles.

Next to understanding what constitutes dynamics in the urban environment, it is important to understand how actors in this context relate to other actors on the different levels. For this reason the differentiation between horizontal and vertical linkages is crucial. In terms of vertical linkages, actors on the urban level can not only relate to actors on the state level in a hierarchical manner, but they can also bypass the state level and access national or international level actors directly. In terms of horizontal linkages various actors on the same level can also interact in terms of governance.

4 _{The final theme, politicization, is analyzed to a lesser extent due to limitations of the data collection period.} Access to political actors was limited, and for this reason in-depth understanding of the political processes related to urban energy governance are lax.

5. Methodology

The aim of this section is to outline the methodology of this thesis. Hence it discusses the epistemological considerations; the utilized qualitative design; methods and sampling; modes of data analysis; ethical considerations; and a methodological reflection.

5.3. Epistemological Considerations

When conducting research, it is essential to reflect on the researcher’s epistemological stance (Alexander et al., 2008). First of all certain assumptions related to the role of the researcher have to be accounted for. In the case of this research the science that describes climate change is treated as an objective, independent reality, existent outside of the researcher. Nevertheless the social, political, and technical responses to these phenomena are considered to be constructed by those dealing with these processes. Hence, any type of research studying these phenomena is primarily based on interpretivism, and social constructivism. In this understanding rendering social phenomena independent from the researcher is virtually impossible. The mere presence of a researcher during data collection affects the types of responses and results produced by the interviewed actors. For this reason the studying of social realities is seen as relational, where the process of research influences the types of reactions and findings, along side with the perception and interpretation of these findings.

Secondly, the ways in which the above outlined theoretical framework and conceptual scheme informs and affects data collection and specific methods has to be accounted for. On the one hand the studying of a socio-technical transformation resulted in the gathering of data on social, political, and material aspects of energy provision and governance. Next to this, the framing of the transition theories also served as a guiding framework for understanding what elements of urban energy transition qualify as niche innovations, and what components constitute the broader socio-technical landscape. Hence the questions of the interviews were primarily shaped by these factors. Moreover, the three broad themes of Rutherford and Jaglin (2015) – context, capacity building, and politicization further affected the framing of the data collection. Finally, theories of multi-level governance informed the categorization of actors into four broad mutually non-exclusive groups – international, national level, state level, and urban level.

5.4. Qualitative Design

A design relying on qualitative methods heavily has been chosen for this research. This is primarily due to the fact that a study on governance necessitates an in-depth analysis of the governance actors’ perceptions and accounts of the existing governance framework. Through these accounts a more delicate understanding can be constructed, and can hence highlight strengths and shortcomings of the given governance framework. Moreover perceiving actors in action also allows for a more delicate understanding of contextual factors that can affect the actors’ activities and ultimately the governance framework. Next to this a qualitative design allows for a better understanding of social phenomena by looking through the perspective of actors, and through this firstly allows for a contextual understanding of social phenomena, secondly permits the nuanced understanding of complex concepts and realities, and finally acknowledges the role of the researcher in the process of data collection and interpretation (Bryman, 2012). 5.5. Methods and Sampling The primary method for studying the multi-level governance framework, the perspective of different actors, and their conceptions of how they effect urban energy transition has been through semi-structured, key informant interviews. In total 25 have been conducted. Next to this, three site visits, 30 pages of field notes based on observations, and numerous informal conversations served as supporting material. Finally, the analysis of legal documents, policy papers, and official reports has supported data collection. 5.5.1. Sampling

The actors chosen for the interviews were selected based on the main policy documents suggested for study.5 _{On this basis the most important public actors on the various levels}

have been identified and categorized into the aforementioned four levels – international, national level, state level, and urban level. Next to interviewing actors from all levels, specific attention was also paid to the sampling of actors from all sectors present in the governance of energy in the urban setting of Gurgaon. For this reason along-side public actors, civil society organizations, and private sector actors were also interviewed.

In total, 11 public sector actors, two civil society organizations, two international organizations, two real-estate developers, six knowledge generation actors (university staff, think tanks, and consultants), one solar panel installation company, and one journalist working on renewable energy and electricity infrastructure were interviewed. A list of the actors interviewed – including their positions and organizations – is included in Annex I.

5 _{Those being the Jawaharlal Nehru National Solar Mission (JNNSM); the National Action Plan on Climate Change} (NAPCC); the Haryana Solar Power Policy (HSPP); the Haryana Action Plan on Climate Change (HAPCC); the Haryana Government Notification on Mandatory Rooftop Installations; and the Gurgaon Solar City Master Plan.

Next to the identification of the various actors relevant for this research, it is important to point out that specific criteria were set with regards to what level bureaucrat, administrator, officer, clerk, or member was interviewed at these specific organization. The interviewees were generally directors and leading figures in the given organizations, with comprehensive overviews of the decision-making processes along with the way in which the bodies interact and relate to each other. This is essential, as lower level administrators do not necessarily have a comprehensive overview of what role the organization fulfills in the urban governance of energy transition.

Furthermore, with regards to the specific process of sampling, based on the information that arose from the initial interviews, further actors were approached. This was necessary in order to gain a comprehensive overview of the governance system to its fullest extent, and not just base the sampling on the abovementioned documents. This type of emergent sampling was especially useful when municipal level actors were studied, as there was lax information available on these actors in the existent literature.

5.5.2. Key Informants and Interviews

The semi-structured interviews with the aforementioned key informants were structured on differing lines. Examples of interview guides are outlined in Annex II. Nonetheless, interviews with public actors – such as the Municipal Corporation of Gurgaon (MCG) and the Ministry of New and Renewable Energy (MNRE) – allowed for insight into the structuring of the public wing of the renewable energy sector, along with the intra-governmental power structures. Questions regarding their engagement, their perception of other actors, along side their assessment of the aforementioned policy documents were addressed to them. Furthermore these interviews allowed for a better understanding of how private sector participation is envisioned from a public perspective.

Interviews with private sector actors – such as solar rooftop installation companies, and real estate developers – are limited in number, however were aimed at understanding how these actors perceive themselves in the multi-level governance framework of urban energy transition; what specific steps they have taken to enhance or hinder this process and why; and finally to see how the dialectic process of them engaging with the renewable energy governance framework has shaped their activities, and in effect formed the governance structure of this field per se.

Next to this interviews with civil society actors – such as Gurgaonfirst and Iamgurgaon – allowed for a critical assessment of the public authorities’ work, and through this to understand how various third party actors perceive and fit in the governance framework. Furthermore, interviews with actors from the knowledge generation field (university staff, consultants, think tank staff) allowed for an external assessment of public and private sector activities.

5.5.3. Site Visits Three site visits formed a part of the data collection period. Through these site visits it was possible to observe actors in action. The first visit was to the Rajiv Gandhi Renewable Energy Park, an institution established for raising awareness alongside providing free trainings for solar PV technicians. Through a small tour over the grounds it became apparent how the NGO running the park works specifically. Next to this a demonstration installation of a 10 KW solar PV installation can be seen in the park, as can be seen in Figure 5.1. The second visit was to a residential house, where a 10 KW rooftop solar PV installation was taking place. This visit showed how a small firm works with solar rooftop installations. The final visit was to the “net zero electricity consuming campus,” (NISE, 2015) of the National Institute for Solar Energy (NISE). All site visits were accompanied by an interview, with the president of the park, a partner of the solar installation company, and the head if NISE respectively; and hence allowed for the interviewee to describe and elaborate on the site itself. Figure 5.1. 10 KW Solar PV Installation at the Rajiv Gandhi Renewable Energy Park (source: author)

5.5.4. Document Analysis

As outlined above, document analysis served as a central method to aid the sampling for the interviews on the one hand, but also to allow for the triangulation of information gathered from the interviews. In this sense the documents serve as a central tool for analyzing governance, and were hence categorized similarly on the various levels they were aimed to take effect on. The National Action Plan on Climate Change (NAPCC) and the Jawaharlal Nehru National Solar Mission (JNNSM) on the national level; the Haryana Solar Power Policy (HSPP) and the Haryana Action Plan on Climate Change (HAPCC), the Haryana Government Notification on Mandatory Rooftop Installations on the state level, and the Gurgaon Solar City Master Plan6 _{on the urban level. In this sense specific interventions outlined in the}

documents in the framing of the given levels could be identified.

5.6. Data Analysis

All interviews spanned 20-90 minutes and were conducted in English. Therefore the use of an interpreter or translator was not necessary. Next to this, recordings and transcriptions are available for 18 interviews, as these interviewees agreed to recording. The remaining 7 did not consent to recordings, and hence only detailed notes, along with a summary are available for these interviews. In order to ensure the reliability of these summaries they were produced with-in 24 hours following the interviews.

Nonetheless the interviews with recordings and transcriptions were analyzed as follows. As outlined above, basic concepts and ideas were already present during the initial data collection (governance levels, contextual specifities, and basic relationships between certain actors). These ideas formed the guidelines for interview questions and were based on previous theoretical literature (on multi-level governance and urban energy transition) along-side policy documents delineating targets, responsibilities, and implementation mechanisms. Hence the open coding of the first interviews allowed for the breaking down of data into first level concepts and categories from the key informants perspectives. The identification of these first key concepts, in effect allowed for the refining of the preconceived ideas. This way the second set of interviews was analyzed through a process of (axial) coding, which allowed for the refining of the core concepts and ideas. This was possible through drawing basic relationships between the different codes, and hence categorizing them and limiting their amount. At this point basic relationships between the emerging core concepts also started to take shape. Following the final phase of semi-structured interviews selective coding allowed for the final categorization of the most

6 _{Nevertheless the Solar City Master Plan is not taken on to the discussion in detail, as it is solely a descriptive} document mapping renewable energy potential for the city, rather than outlining a specific step-by-step guideline for urban energy transition.

essential concepts and ideas. This way once again limiting themes and adjusting the preconceived ideas to the data allowed for the creation of the final set of codes.7

Finally, as already mentioned, the interviews were supported by document analysis, site visits, and extensive field notes, which allowed for the cross-referencing of data. Through the triangulation of the interviews with these other forms of data allowed for a more in-depth understanding of the various processes and dynamics underlying urban energy transition. 5.7. Ethical Considerations “Research involving human participants starts from a position of ethical tension. In the great majority of cases, research involving humans is a process of asking people to take part in, or undergo, procedures that they have not actively sought out or requested, and that are not intended solely or even primarily for their direct benefit.” (Guillemin and Gillam, 2004, p. 271.)

As Guillemin and Gillam (Ibid.) outline, when conducting qualitative research two broad forms of ethics can be delineated: 1.) procedural ethics, which normally focuses on receiving the ethical clearance of an ethics committee; and 2.) ethics in practice, which involves an ethical way of conducting research. This section aims at reflecting on these principles in the context of this research.

As per department requirements a form of personal declaration of responsibility was submitted to the University of Amsterdam. This declaration entailed subscription to the following principles when conducting research: voluntary participation, informed consent,

safety in participation, privacy, and trust. Nonetheless, the subscription to formalized ethical

principles, and hence a form of procedural ethics still leaves space to ask: what has this form of ethical clearance entailed in practice for this research?

First of all, all interviewees were made aware at the beginning of the interview what the purpose of the conversation was, and that it serves the data collection of this thesis. Absolute clarity on the purpose and content of the research was provided before the interviews. Through this voluntary participation and informed consent were ensured. With regards to recordings, permission was asked for this before each interview, and when refused note taking was used as an alternative means for recording responses. Next to this in order to ensure safety in participation, the interviews were conducted in an environment chosen by the interviewee, with the majority being set in closed (office) perimeters, to

7 _{This process also significantly affected the initial conceptual scheme. The refining of core concepts on the lines} of the three themes outlined by Rutherford and Jaglin (2015) became a central part of the utilized theoretical lens.

ensure the comfort of the participants. Moreover privacy was ensured by the exclusion of the names of the participants in any form of public documentation – be that the thesis or the transcriptions. For this reason only information on represented organization and designation are included. Next to this, documents containing sensitive information such as names and contact details have been encrypted and protected by a password and are only accessible to the researcher. Next to this all recordings and transcriptions are similarly stored on an encrypted partition.

5.8. Reflection on Methodological Limitations

This section aims at outlining the major limitations of the research due to the chosen research design and the ground reality of the research context. In this sense the first limitation of the research is the lack of available secondary quantitative data on the renewable energy sector in Gurgaon. No official data set exists on solar PV installations and hence drawing any type of conclusions or forecasts with regards to how this sector is changing is difficult. Nonetheless basic data on the various mechanisms targeting the expansion of solar PV technology, such as netmetering connections, and capacity for which a capital subsidy has been released were extracted from the interviews. Despite this, these numbers only provide a partial insight into this field and hence drawing general conclusions is problematic if not impossible. Furthermore, it is worth reflecting on the discrepancy between initially conceived sampling and the ground reality of conducting fieldwork. The initial Research Proposal outlined actors, which were selected based on the main policy documents suggested for study, as well as on the basis of the other literature that was outlined in the literature review of the Research Proposal. This process resulted in an initial conception of 40+ potential interviewees. However, whilst in Delhi and Gurgaon, the list changed to some extent due to lack of reachability, and availability of respondents. Moreover a snowballing process was also adopted, as it soon became apparent that those working in the circles of renewable energy, and especially in positions that can affect governance processes generally are connected. Hence contact many times was taken up through these types of informal connections and introductions. Next to this the resources of the host institution, the Centre for Policy Research (CPR) were also employed. The assistance of the staff of CPR allowed for a more nuanced and locally grounded perspective to be formed with regards to the research location. Considering the limited amount of literature available on Gurgaon in the context of infrastructure provisions and electrification, the accounts of senior staff who either conducted research on the city, or reside in the city proved immensely useful. These perspectives allowed for a more refined understanding of the ground reality present in the city.