Chapter 3: A framework of analysis for the study of local electricity systems
3.2. A six-step framework of analysis
The following sections describe the framework of analysis and how insights from the socio-technical systems perspective are represented in details of the framework. The studied dimensions are grouped into six main categories, forming a six-step analytical approach. Each part of the framework includes guiding questions related to the social organization of village-level solar power supply. The six dimensions are shown in the figure below.
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Figure 4. The main dimensions of analysis included in the framework. (Figure originally presented in Ulsrud et al. (2015), made by Debajit Palit).
There are dynamic interactions between the dimensions shown in the figure. The framework is therefore not linear, but can still be seen as different analytical steps. Dimensions D and E are the most important for this analysis, while dimensions A, B and C help understanding them. Dimensions A-E contribute to understanding dimension F. The six dimensions are presented in the following sections, which will refer to previous empirical literature where relevant. Previous studies provide some detail on typical challenges for village-level systems as well as opportunities or “success factors”, both for systems based on solar PV technology and systems based on other renewable energy technologies.
3.2.1. Dimension A: The national and international framework conditions and other external factors
Dimension A of the framework concerns how the village-level electricity systems are influenced by factors that are external to the specific, local systems. These factors include national and international framework conditions such as existing suppliers of technical equipment, existing ways of viewing the technology among policy makers and citizens, regulations in the energy sector, and existing expertise on installation and repair. Factors at the national level are connected with international technology and market trends and actors operating at an international level as explained in Chapter 2. Research on dimension A is based on the following questions: What is the role of the national and international framework conditions and other external factors to the local electricity system for the socio-technical design of the system and the way it has been planned, implemented and followed up?
How do the framework conditions affect the way a local electricity system works in practice, the kind of electricity access it gives and the way it is, or might be, replicated?
According to theories on socio-technical change, factors and actors outside the local level are likely to influence the local projects. Such factors can be related to emerging technologies like the gradually stronger solar PV sector, or to established electricity regimes.
A Framework
conditions
B Local conditions
C Socio technical
design
D Socio technical system in practice
E Access to
services Quality of
services Reliability of
Services
F Replication
of the system
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Broader societal trends not related to electricity supply are also likely to play a role, including historical developments in a region or country.
The quality of available solar PV equipment and the practicalities of purchasing spare parts after implementation are examples of factors related to the national and international solar PV sector that enables use of solar PV technology. Another example is the scale achieved in the national market for solar PV equipment since it influences the cost of importing equipment. As long as it is not possible to import equipment by the container, the cost is often prohibitive, according to practitioners. The existence of companies that devote themselves to this market is therefore very important for affordability of the technology in a specific country. The price level of available technical equipment varies from country to country.11 Furthermore, government institutions supporting the use of solar PV and other renewable energy technologies may gradually emerge.
Framework conditions shaped by the conventional electricity systems include national government policy and regulations, subsidies for conventional energy systems and lack of political priority of alternatives (IEA 2011, Yadoo and Cruickshank 2012). Preconceived ideas on energy supply among national actors are also likely to play a role. The international and national prices of kerosene (paraffin) and diesel are other examples of factors related to established energy regimes. These influence the economic competitiveness of alternative energy sources. Moreover, conventional technologies like kerosene lamps and diesel generators are familiar to a larger number of people than solar PV technology, and easier available. There might also be strong economic interests that promote continued use of oil products.
Ideology of powerful actors as well as strong societal discourses are also a part of this dimension. For instance, some of the literature (and much of the policy discourse) on off-grid power supply emphasizes decentralization and promotion of a market-oriented approach with strong private sector involvement and community driven development (Jacobson 2004, IFC 2012). Private sector investment and profitable business models for decentralized, off-grid renewable electricity supply are seen as necessary for large scale implementation and provision of electricity to all. The key argument is that since achieving universal access to modern energy services will require significantly larger investments than what is possible through other funding sources, governments should be a facilitator for increased private sector investment. In addition, there has been a tendency of glorifying private, individual solutions (like solar home systems) as well as community level solutions as an alternative to government funded public services to the population (Jacobson 2004). However, based on the last decades’ experiences, it has also been suggested that private and public sectors as well as civil society should complement each other in the huge task of providing electricity to all (IEA 2011).
Based on studies in Tanzania and Mozambique, Ahlborg and Hammar (2014) suggest that there is need for public investment and further attention to off-grid electricity provision by national utilities (more staff, better coordination and planning capacity). They found this to be important to encourage bottom-up initiatives (by civil society, private sector and the
11 Solar panels and other equipment for solar systems are often more expensive in African countries than in other parts of the world, including India, according to Indian, Norwegian and Kenyan solar energy experts.
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district level of the public sector) to complement top-down implementation, through provision of capital subsidies (i.e. support for investment costs). Also, donors could provide funding that civil society actors can apply for. However, donors pushing for renewable energy projects without addressing or taking into account the high workload and lack of personnel in governments can represent a problem (Ahlborg and Hammar 2014).
The paragraphs above have provided examples of framework conditions of different kinds likely to influence local, socio-technical designs that actors develop, and thereby the long-term viability of the local systems, the kinds of electricity access they give to the people, and the opportunities for replication of the systems (dimensions C-F). The examples also illustrate interactions between established electricity regimes, emerging niche technologies, and broader societal trends. The examples also point to multiple actors attempting to create new structures, or perhaps maintain existing ones. The actors operate at different geographical levels/levels of governance.
Relevant informants and sources of data on various aspects of this dimension include policy documents, policy makers, experts/consultants, businesses, and NGOs engaged in the field. Other actors with knowledge of the national and international framework conditions or other factors outside the local level can also provide information. Finally, the implementing actors and local operators and project owners will also have good insights in how these factors have influenced their local systems and the way they work.
3.2.2. Dimension B: The local context
Dimension B of the framework of analysis concerns the local, cultural and socio-economic context and geographical characteristics of the area of the electricity system. The research on dimension B is based on the following question: What is the role of the local, socio-cultural context for how the electricity system has been designed, implemented and followed up, for how it works in practice, and for the kind of electricity access the system gives and for whom?
The characteristics of the local context where the electricity system is implemented influences (or should influence) the way the socio-technical design of the electricity system is composed, as well as the actual working and the access to electricity services the system gives (dimensions C, D and E). The potential for replication (or diffusion) in similar contexts is also affected by the context sensitivity of the system. Important characteristics of the local context include population density, settlement patterns and socio-economic conditions (Chaurey and Kandpal 2010). The existence or lack of other economic activities than the electricity system, or activities with an economic bearing managed by community based organizations, can play a role for how the system is designed and for how it works in practice (Kirubi et al. 2009). Existing use of similar technologies is also relevant. Other elements are local power structures, inequities in economic opportunities, and local politics.
Theoretically, this part of the framework represents the specific societal/territorial contexts where technology is to be embedded and integrated in people’s lives and practices in the local socio-cultural context. The local context likely influences the way in which the technology is used. The technology and the way people use it also likely gradually influences
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the context through changes in people’s daily routines, priorities, economic situation and opportunities (Winther 2008, Winther 2014). These aspects have linkages to livelihoods, vulnerability and resilience and other bottom up perspectives to poverty, environment, sustainability and development (Eriksen et al. 2007, Ulsrud et al. 2008, Eriksen et al. 2011).
Such perspectives show the importance of understanding the daily struggles of the people who are the users or potential users of the electricity services and the kinds of hindrances they face for taking advantage of the available electricity services.
A rich description of the geographical area, including political and administrative organization is useful for analyzing village-level energy systems and their replication. Data on socio-economic conditions, literacy, poverty level, people’s livelihoods and agriculture may be available for district or county levels and can be combined with a survey, qualitative interviews and meetings with people in the communities. This helps understanding people’s main challenges and their vulnerability.
3.2.3. Dimension C: The socio-technical design and implementation strategy
Dimension C is about the details of the social and technical design of the energy system as intended by the implementing actors, and why it was designed this way. The implementation strategy it is also important. Research on this dimension is guided by the following questions:
How was the socio-technical design created? What did the project implementers consider as important objectives for the model, and which opportunities and constraints influenced their room for maneuver? Which considerations influenced the model’s configuration and the implementation strategy? Who influenced it and how?
This part concentrates on the socio-technical design of the system the way it has been planned and intended to work. As mentioned the in previous chapters, the elements of a local energy system include the energy services provided, the technical components and their combinations, financing, economic design or “business models”, the staff and their responsibilities, and the rules for how people can use the electricity services. Other elements of the system are the organizational set-up and ownership of the system, and plans for how to prevent over-use of electricity and overloading of the system. Many of the system elements are more or less invisible and intangible, for example arrangements intended to create trust and openness in economic transactions. A village-level electricity system is a complex socio-technical system even at this small scale, as will be seen in the empirical chapters.
Theoretically, developing the socio-technical design and implementation process represent early phases of a socio-technical experiment. It includes the learning processes for the involved actors in such phases. It is about a planned, experimental design of innovative socio-technical systems at a certain geographical level, here at the village-level. It is also a plan for a “local transition” in a place; from an existing local socio-technical system – a system for kerosene lighting for instance – to one that can potentially replace the old one to a large extent.12
12 This is the kind of “transition” thinking that led to the project name Solar Transitions.
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The system design can be influenced by a range of barriers, opportunities, interests and objectives, including those mentioned under dimensions A and B. Strategies for planning and implementation also likely influence the local socio-technical system design. So do also the kinds of actors involved and the negotiations between them, including the role of potential future users in the process. Moreover, the expectations, visions and values of the involved actors, as well as their background experience, influence their considerations, imagination and ability to be innovative.
There are few studies in the field of decentralized electricity provision that analyze actors’ considerations underway in the planning process, including the way contextual factors influence project design and different actors’ opportunities to have an impact. However, several studies suggest procedures for planning and implementation processes, for instance that external experts should involve local actors, including women, sufficiently well in all steps of the project and combine the knowledge of the local agents with external technical expertise, management capacity and financial resources (Alzola et al. 2009, Bellanca et al.
2013).
Data on these different kinds of system elements and why they were chosen can be collected from project implementers and others who have been involved in or observed the planning and implementation. Actors may be able and willing to provide information on the objectives and considerations that have influenced the system design, and how the national and international framework conditions (A) and the local geographical and socio-economic context (B) influenced their considerations. They can also explain how they experienced the constraints that influenced their room for maneuver in the design process. However, it might be impossible for the involved actors to pass on all the relevant information and tacit knowledge about long and comprehensive planning processes.
3.2.4. Dimension D: The way the system works in practice and its long-term viability
Dimension D is the most important part of the framework and the dissertation because it concerns the actual working (or functioning) of the local energy system, and its long-term viability/sustainability. The following dimension (E) on the resulting energy access is of course also important because it is the end goal for the whole activity, but that part depends strongly on how the system functions over time. Both dimensions (D and E) are addressed in the sub-questions of research question 1 presented in Chapter 1.
The actual functioning of socio-technical innovations always differs from what was planned and anticipated, as explained in Chapter 2. A range of factors interact with the socio-technical design in shaping how it works in practice for the involved people and the way it continues to change in a dynamic process. The research on dimension D is guided by the following questions: Seen from different actors’ perspectives, how does the local, socio-technical system function in practice and why? What were the main changes from the planned model and why?
The following aspects of the system’s functioning are important to study:
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x The mutual influence between people’s practices and the functioning of the system x The interaction between the technical and social elements of the system
x How the daily operation and organizational set-up functions and why, including the interaction between the involved actors
x The economic performance and its reasons
x The role of changing framework conditions for the system’s functioning
The actual roles of women and men in the management, operation and use of the services are likely to play a role for several of these five aspects. Other relevant factors are leadership styles in system operations, and the motivation and inspiration of individuals who are responsible for the system’s long-term functioning. Such more or less invisible elements of the system may be decisive.
Theoretically, this dimension concerns the learning process after actual implementation of a technical design, and the differences between the initial socio-technical design and the way it came to work in practice. This relates to the unpredictable, only partly steerable, iterative processes between technical and social elements in efforts to create deliberate socio-technical transformation. These are dynamic processes of influence and change between technology, actors and institutions in socio-technical systems, affected by power relations, social structures and agents’ strategies. These processes strongly influence how the local energy system comes to work in practice. The functioning of the energy systems corresponds with the way the socio-technical experiments work in practice and how they fulfill the initial objectives and visions that guided the involved actors. Changes after implementation are also important parts of the innovation process, and part of the explanation of how the systems function.
Another relevant theoretical aspect is the development of new practices in relation to the system, for all involved people and organizations. A related theoretical field is the topic of users’ innovation and appropriation of technology, showing how users develop ways of using the system and make it “their own” and how this again affects the technology and the system it is part of. The characteristics of emerging, and perhaps surprising practices can significantly influence the practical functioning of the system. If practices develop that seem to affect the system negatively, responsible actors may attempt to alter these practices, which might be difficult to change once they have become established. Emerging practices can give ideas for how the system, or energy model can become better adapted to the users’ needs and thereby be strengthened and improved. Concepts like learning through practice, learning by doing and learning by trying for all involved actors are certainly relevant here (Berkhout et al. 2010).
The actual functioning of the system (dimension D) is influenced by the initial socio-technical design (dimension C) and how it was planned and implemented, as well as how it interacts with its social context at the local level (dimension B), and possibly also by factors and actors at other geographical levels and in other places (dimension A).
Relevant points from energy studies in the South concern challenges for achieving well-functioning practical operation and maintenance, economic sustainability, and general
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viability (or sustainability). Challenges include lack of available spare parts, lack of local expertise to monitor how the systems function, dependence on the expertise of foreign technology providers, and lack of development of local companies and know-how (Alzola et al. 2009, Camblong et al. 2009). A typical difficulty is to cover the costs of operating and maintaining the systems and reach economic sustainability. A mismatch between the users’
needs and the users’ payment capacity is one of the reasons for this (Shrank 2008, Alzola et al.
2009, Camblong et al. 2009). Lack of incentives for local operators or community based groups to maximize profit and need for enterprise based models has also been mentioned, as well as difficulty in achieving cost recovery and profitability (Shrank 2008). A common problem is lack of focus on long term sustainability among project implementers and a narrow focus on technical installation (Kumar et al. 2009). Lack of involvement of local populations has also been found to be a reason for poor functioning of village-level systems (Alzola et al. 2009, Camblong et al. 2009).
Case studies have pointed to “success factors”, meaning features of the energy models that may facilitate well-functioning, useful and viable or sustainable systems. For instance, they suggest that external experts should ensure simplicity in technical installations and maintenance procedures (Alzola et al. 2009, Bellanca et al. 2013). In relation to the challenge of economic sustainability, a situation mentioned as ideal is that supply of electricity might increase people’s capacity to generate an income, and thereby also to pay the electricity tariffs needed in order to cover the costs of operation and maintenance at the power plant (Kirubi et al. 2009, Yadoo and Cruickshank 2012). This can be combined with subsidies on connection fees and electricity tariffs, although this creates a financial burden for project implementers (Ahlborg and Sjöstedt 2015). Another suggestion for achieving good economic performance is that the users of the power plant provide direct contributions to the investment, combined with financial tools such as subsidies and loans sufficient to economically support the project in the long term (Alzola et al. 2009). Others do not find this to be important (Yadoo and Cruickshank 2012). The systems should be modular to facilitate expansions, because the electrification process gradually makes more people interested in becoming connected (Alzola et al. 2009).
Interestingly, literature on community energy projects in Europe shows that community energy projects (as well as other community projects) in the North face many similar challenges as community or village-level energy projects in the South. These projects are based on wind, solar, biomass and heat pump technologies, and the cases mentioned in literature are mostly in the UK, Scotland, the Netherlands and Germany. They include cooperatively run small-scale energy projects started or run by different kinds of civil society groups, including voluntary organisations and cooperatives, sometimes in partnership with social enterprises, schools, businesses, faith groups, local governmental or utility companies.
Economic self-sustenance is not only a challenge for projects in the South but also for projects in the North. Some projects in the North struggle to survive, lacking time and resources for developing the activity. The projects thereby often fail to develop resilience and robustness to various shocks like funding cuts, key people leaving, turnover of volunteers, burnout of activists and conflicts between involved actors. Another challenge seen in projects in the North as well as in the South is micro-politics that make them inclusive to some and
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exclusive to others. Finally, some community members’ values may count more than others (Seyfang and Smith 2007, Romijn et al. 2010, Hargreaves et al. 2013, Seyfang et al. 2013, Avelino et al. 2014).
Factors that contribute to well-functioning projects (for local grassroots innovation projects in general, including power supply) in European projects include participants having different values from the mainstream. Additionally, key individuals and champions, resources, supportive contextual factors and a particular combination of skills are needed in order to get the projects up and running (Seyfang and Smith 2007, Walker and Devine-Wright 2008, Avelino et al. 2014). Advice and support from experts (“intermediaries”) is important in order to initiate community energy projects, and for providing training to participants.
Studies in both South and North point out the importance of using local contextualized knowledge on what works in a certain locality and what matters for local people (Seyfang and Smith 2007, Walker and Devine-Wright 2008, Hargreaves et al. 2013, Avelino et al. 2014).
European projects, for example, show that “despite every best effort to learn from previous experience in the sector, each project faces some very context-specific challenges which will not necessarily be encountered by others or known about in advance” (Seyfang et al. 2013, p.
21).
The central research task on this dimension D of village-level infrastructures is to study the actual functioning of the power supply system by combining the perspectives of those who operate it, those who are using its services, those who are not using the services, the implementing actors, the local leaders and other observers or participants in the system.
People who have developed and implemented pioneering activities for social and technological change often have a very good understanding of why the outcomes are different than expected, and how these experiences led them to adjust the system underway.
Their understanding often came the hard way through practical experiencing. Statistics of economic performance can also be important in order to assess the long-term economic viability as well as the features of the electricity access and how people are using the services and when.
3.2.5. Dimension E: The types of electricity access created, for whom, and why
Dimension E considers the types of electricity access that the implemented electricity system actually provides, for whom, why and when, and what the users and non-users of the system think about it and why. It is important to understand why some people exert the efforts and costs for switching from previous uses of energy, and what is hindering others from doing the same. Other themes of the study are which electricity services people prioritize and why, and how and why the use of electricity changes and varies over time (Ahlborg 2015).
Dimension D described above has a strong impact on this. The guiding questions include the following: What types of electricity access has actually been created, who is able to and interested in using it and at what times, and what are the factors that influence people’s ability to use the electricity services? To what extent has broad access, useful, and affordable services of good quality been achieved?