Le projet de recherche initial

« Où dois-je aller ? » demanda Alice au chat du Cheshire. « Cela dépend de la direction que vous voulez prendre » répondit le chat. » Lewis Caroll.

Dans une approche pragmatique, le point de départ de la recherche revêt une attention déterminante (Rorty, 1993). Il oriente le travail du chercheur sans pour autant le contraindre (Whyte, 1984 ; Dumez, 2013a) et sert de point de repère à l’exploration. Dans cette optique, nous présentons ci-dessous la proposition de recherche initiale, telle que transmise à l’Ecole

84

polytechnique en juin 2008, pour l’obtention de la bourse de thèse. Rédigée en anglais, elle

décrit dans un premier temps le contexte initial de l’étude, puis les perspectives de recherche

et propose enfin l’approche théorique envisagée. Elle constitue le point de départ de la

recherche, à partir duquel découleront les choix méthodologiques qui sous-tendent l’analyse.

The dynamics of European infrastructure network and regional regulation: Developing a cognitive framework

(Research Study Proposal)

Benjamin Lehiany

June 2008

1.1.1. Context and aim of the research

Since the 1990s, utilities liberalisation has gained momentum in Europe, building upon national and Commission reforms initiatives.

To Member States, it has meant introducing separation between service provision and regulation together with isolating network infrastructure components in specific sectors, such as rail and electricity, from a national perspective (see Henry, Matheu, Jeunemaître, 2001).

Overall, European networks integration has been achieved by means of fostering interoperability, interconnection, and regulatory coordination (club of national regulators, European association of infrastructure managers). Although the dynamics has introduced significant improvements, the European integration framework has proved reaching its limits (breakouts in electricity supply; sustained delays in Air Traffic Control; difficulty in creating European rail routes, fragmentation of Telecoms networks). Besides, modernisation of infrastructure and increases in capacity to meet expected growth require concerted investments on an unprecedented scale.

In that respect, the national framework both in terms of infrastructure management and regulation appears reaching its limits. The new framework, which shows signs of emergence,

85 requires a regional (grouping of countries or cross-border initiatives encompassing large parts of the internal market) and development of a European coordination perspective.

The new regulatory framework in which European infrastructure investments have to develop raises issues on three dimensions:

 Arrangements involving an increasing role of the industry  Cross border regulatory schemes

 Institutional governance

Industry

Flexible bilateral coordination procedures by means of interoperability or interconnection appear of too little prospect to rise to the challenges. New arrangements are needed, in particular an increased involvement of the industry through joint ventures, strategic alliances, European Public Private Partnerships, in the investment of network infrastructure capacity. The industry involvement will have to be thought according to a convergent European system that will allow reducing fragmentation, alongside with the unbundling and liberalisation of services.

Regulation

The issue of technically regulating the new arrangements in infrastructure investments will have to be addressed. It will mean dealing with the remuneration of the involved parties, safeguarding the competitive conditions of access, defining obligations and risk sharing schemes. It will also introduce an increased focus on economic regulation and incentives and management planning. Rather than static regulation, restructuring regulation will have to be designed supported by dynamic pathways.

Governance

Beyond the technicalities, the new developments will mean at the same time increase in independent ownership structures integrating private and public perspectives, and a shift from a national to a European or regional level. The governance of new regional arrangement has so far not yet been subject to concise definition and investigation. It raises the issue of international Meta-organisations and institutional governance. It will certainly entail a

86 reshuffling of the existing framework and possibly the creation of new governing bodies together with agreement on remit and settlement of disputes procedures.

The aim of the study is therefore to investigate these three issues – industry, regulation, governance - in developing a cognitive framework, which will work in consideration of the European Commission policies.

1.1.2. Perspective

The perspective will concentrate on making emerge European competing models of utilities infrastructure investments. It will be based on cross-fertilisation from the study of European relevant initiatives in the different utility industries. A particular stress will be placed on two utilities sectors, Electricity –with the support of EDF Energy, and Air Traffic Control –with the support of the Eurocontrol Experimental Centre. In these two utilities, it is scheduled a review of existing cross-border initiatives, in particular Trans European cable projects and Trans European Functional Airspace Blocks.

It is planned field work (meetings with stakeholders –i.e. European Commission, Regulators and Infrastructure Managers), bibliography review, and documents analysis pursuing the objective of scenarios building.

1.1.3. Theoretical approaches

Different theoretical streams will contribute to analysing the prospects of regional regulation and the dynamics of network infrastructure. It ranges from economics of law –in which might be included the design of institutions and contractual arrangements from a legal perspective14, work from industrial organization and economic regulation15 as well as Organization theory16.

14

See for example, as general references, Mercuro N. Medema S. (1997), Economics and the law : from Posner to Post-Modernism, Princeton, Princeton University Press; Veljanovski C. (2007), Economic Principles of Law, Cambridge, Cambridge University Press.

15 _{See for example, Laffont J.J. & Tirole J. (1993) A theory of incentives and procurement, MIT Press; David}

Newbery (2000) Privatization, Restructuring and Regulation of Network Utilities, MIT Press, 2000.

87 It will also be based on studies on network utilities carried out by the European Commission17.

Although, the doctoral research student will work on the premises of the Ecole polytechnique, he will also benefit from a Recognised Doctoral Studentship at the University of Oxford, his stays at the Department of Economics and Socio Legal Studies and travel expenses for thesis completion being covered by a grant from EDF-Energy.

1.1.4. Le point de départ de la thèse

Nous voyons, au travers de ce projet de recherché initial, se dessiner les premiers contours de la thèse : une approche dynamique du processus d’intégration des industries de réseaux en Europe, qui articule les trois dimensions régulation/gouvernance/industrie pour la

construction d’un cadre intégrateur. Les perspectives théoriques, très générales, combinent les apports de l’économie industrielle, des sciences de gestion et des sciences politiques pour

orienter la recherche (orienting theory, Whyte, 1984 ; Dumez, 2013) sans pour autant poser

de question précise. A ce stade, plusieurs terrains d’étude sont d’ores et déjà identifiés : parmi

les industries de réseaux européennes, une attention particulière est portée sur le secteur de

l’électricité, avec le soutien d’EDF-Energy, et sur le transport aérien, avec le soutien d’Eurocontrol. Au sein de ces deux secteurs, l’étude s’oriente sur les projets transfrontaliers et

les initiatives de dimension supranationales (régionales et européennes).