The Concept of Solidarity

Studies on the European Union | 18

The Concept of Solidarity

Energy Policy in the European Union

Aline Bartenstein

Studies on the European Union

Series Editor:

Wolfgang WesselsJean Monnet Chair ad personam for Political ScienceCETEUS | Centre for Turkey and European Union StudiesUniversity of Cologne

Volume 18

https://www.nomos-shop.de/isbn/978-3-8487-8419-6

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Energy Policy in the European Union

The Concept of Solidarity

Nomos

Aline Bartenstein



The Deutsche Nationalbibliothek lists this publication in the Deutsche Nationalbibliografie; detailed bibliographic data are available on the Internet at http://dnb.d-nb.de

a.t.: Köln, Univ., Diss., 2021

ISBN 978-3-8487-8419-6 (Print) 978-3-7489-2795-2 (ePDF)

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ISBN 978-3-8487-8419-6 (Print) 978-3-7489-2795-2 (ePDF)

Library of Congress Cataloging-in-Publication DataBartenstein, AlineThe Concept of SolidarityEnergy Policy in the European UnionAline Bartenstein318 pp.Includes bibliographic references.

ISBN 978-3-8487-8419-6 (Print) 978-3-7489-2795-2 (ePDF)

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Acknowledgments

When I drafted the first ideas of my thesis in 2017, I was far from imagin-ing how this rambling path will develop over time. In 2020, – when theCovid-19 health crisis hit hard – I wondered if it was possible to completethe thesis without childcare, without or only limited access to libraries andwithout the possibility to meet in person with my supervisors.

Writing the thesis was certainly an eventful journey which only succeed-ed thanks to the different fellow travellers who accompanied me. I wouldlike to thank my supervisors Prof. Wolfgang Wessels und Prof. André Kaiserwho have both encouraged my work and research angle.

I thank also my colleagues at the Jean Monnet Chair and at CETEUSat the University of Cologne who provided the opportunity to discussmy research in an inspiring and challenging environment. Even moreimportant was the friendly and humorous atmosphere. My thanks go inparticular to Dr. Claudia Hefftler, Dr. Andreas Raspotnik and Leonie Völker.

I am very grateful to have had the moral support of a group of excep-tional and brilliant women who share the pleasure and burden of havingkids in the academic world. I want to thank Mirjam Dickmeis, Dr. UrsulaGießmann and Dr. Nicole Hiekel. Heidi Fritze, Dr. Friederike Strack undSusanne Wolfmaier have been great friends during this time! Thank you somuch for your precious help.

But who am I without my family? Merci, Thierry Albrecht, for all yourunderstanding and support. You always reminded me of my strength andmotivated me in difficult times. Louise and Emile, you brought me backdown to earth, when I was lost in thought. There is nothing more reward-ing than exploring the world together with you.

Thank you, dear sisters, Julia Bartenstein, Hanna Gallus and Liane Leske,for always being there when I need you. Mein größter Dank geht aberan meine Eltern Birgit und Otto Bartenstein. Ihr habt mich immer darinbestärkt meinen eigenen Weg zu gehen, mutig zu sein und das Lebenselbst in die Hand zu nehmen.

Köln, July 2021 Aline Bartenstein

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Table of Contents

List of Figures 11

List of Boxes 13

List of Abbreviations 15

Introduction: European solidarity – a chameleonic term1. 17Research interest1.1. 21Research question1.2. 25Research design1.3. 28Outline of the book1.4. 29

Research framework2. 32

Concept formation2.1. 32The evolution of solidarity over time: reflections ofthe pioneers

2.1.1.35

Sources of solidarity2.1.2. 41Delineation of solidarity from neighbouring terms2.1.3. 55Analysis of the features of solidarity2.1.4. 60Concept formation of solidarity between MemberStates

2.1.5.72

Definition and concept of solidarity2.1.6. 86Results2.1.7. 89

Theoretical framework2.2. 90Drivers for solidarity explained by neofunctionalism2.2.1. 90Variables and Hypotheses2.2.2. 96Operationalisation of variables2.2.3. 99

Methodological framework2.3. 105Case Selection and Analysis2.3.1. 105Data Collection and Analysis2.3.2. 111

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The principle of solidarity as political commitment and legalnorm

3.118

Solidarity is running through the EU's bloodlines3.1. 118From Maastricht to Nice: inclusion of solidarity as alegal principle

3.1.1.121

The new impetus by the Treaty of Lisbon3.1.2. 122Solidarity as legal norm and binding commitment3.1.3. 126European energy policy and the effects of solidarity asa legal principle

3.1.4.128

The different stages of European energy policy3.2. 132Phase I: Energy policy under pressure to reform(2005 – 2008)

3.2.1.133

Phase II: Changing old patterns (2009 – 2013)3.2.2. 143Phase III: The Energy Union (as of 2014)3.2.3. 148Results and discussion3.2.4. 152

Solidarity in secondary law: only cosmetic improvements?4. 154

Case 1: SoS – solidarity in case of emergency4.1. 156Times of crisis – solidarity in crisis4.1.1. 161The stony way to Regulation 2017/19384.1.2. 181Results and discussion4.1.3. 200

Case 2: The integration of the gas market: the pursuit ofsolidarity

4.2.204

Regional solidarity as answer to the gas crisis4.2.1. 204Results and discussion4.2.2. 209Lex Nord Stream 24.2.3. 211

Case 3: Intergovernmental agreements under Europeanscrutiny

4.3.213

Decision (EU)2012/994: solidarity should guide ouractions

4.3.1.214

Solidarity? We are not so sure about it: Decision (EU)2017/684

4.3.2.219

Results and discussion4.3.3. 224Case 4: Making solidarity work: investments ininfrastructure

4.4.226

The TEN-E Regulation: Did pipe dreams come true?4.4.1. 229Results and discussion4.4.2. 236

Table of Contents

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The Court Case: Speaking with one voice? Nord Stream 1 assolidarity quest

4.5.237

The development of Nord Stream 14.5.1. 238The OPAL Case T-883/16 and Case C-848/19 P4.5.2. 243Results and discussion4.5.3. 248

Conclusions5. 251Theoretical reflections on solidarity5.1. 252Synopsis of work: synthesis of findings5.2. 259The solidarity concept and further research avenues5.3. 268

List of Literature 273

Annex 309

Definitions of SolidarityAnnex 1: 309Code Book – Concept of SolidarityAnnex 2: 313List of interviews and personal communicationsAnnex 3: 315Major policy trends in energy policy with a focus onsolidarity

Annex 4:316

Table of Contents

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List of Figures

Figure 1: Values in European Council Conclusions 2004–2019 19

Figure 2: References to solidarity in European Councilconclusions 27

Figure 3: Causal mechanism – functional spillover 110

Figure 4: Causal mechanism – cultivated spillover 111

Figure 5: Frames in Commission Communication on Security ofSupply 2002 157

Figure 6: European Parliament Debate on Security of Gas Supply2010 178

Figure 7: Framing of solidarity by Commission 192

Figure 8: Frames used by European Parliament 260

Figure 9: Frames used by Commission 263

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List of Boxes

Box 1: The Solidarity Discourse 17

Box 2: Research Questions 25

Box 3: Conceptualisation 34

Box 4: Solidarity actors 65

Box 5: Forms of solidarity 67

Box 6: Ensuring Solidarity 71

Box 7: Solidarity actors on the EU level 76

Box 8: Forms of solidarity between EU Member States 81

Box 9: Ensuring solidarity between EU Member States 85

Box 10: Definition of solidarity between EU Member States 86

Box 11: Features of solidarity 87

Box 12: Legislation on gas policy containing references tosolidarity 107

Box 13: Examples of interview questions 117

Box 14: Gas crisis 2006 134

Box 15: Presentation of variance of solidarity 155

Box 16: Solidarity features named by the Commission 184

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List of Abbreviations

ACER Agency for the Cooperation of Energy RegulatorsAFET Committee on Foreign AffairsALDE Alliance of Liberals and Democrats for EuropeBNetzA BundesnetzagenturCEAS Common European Asylum SystemCFSP Common Foreign and Security PolicyCJEU / ECJ Court of Justice of the European UnionCOM European CommissionCouncil Council of the European UnionDG Directorates-GeneralDV Dependent VariableECON Committee on Economic and Monetary AffairsEEAS European External Action ServiceENTSOG European Network of Transmission System Operators for GasEP European ParliamentEPE Energy Policy for EuropeEPP/PPE European People's PartyEU European UnionEUCO European CouncilGCG Gas Coordination GroupHR High Representative of the Union for Foreign Affairs and Securi-

ty PolicyIA Impact AssessmentIEA International Energy AgencyIGA Intergovernmental AgreementINI Own-initiative procedureITRE Committee on Industry, Research and EnergyIV Independent VariableLNG Liquified Natural GasMEP Member of European ParliamentNATO North Atlantic Treaty OrganizationNEL Nordeuropäische ErdgasleitungNS Nord StreamOECD Organisation for Economic Co-operation and DevelopmentOPAL Ostsee-Pipeline-AnbindungsleitungPCI Project of Common InterestPEES Act Protecting Europe’s Energy Security ActPSE Party of European SocialistsPT Process Tracing

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RC Rational ChoiceRQ Research QuestionSEA Single European ActSoS Security of SupplyTEN-E Trans-European Networks for EnergyTEU Treaty on the European UnionTFEU Treaty on the Functioning of the European UnionTPA Third-Party AccessTSO Transmission System OperatorUEN Union for Europe of the NationsUK United KingdomVerts/ALE The Greens/European Free AllianceWP Working Party (Council)

List of Abbreviations

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Documents

The Concept of Solidarity