811 Altena

ROTTERDAM SCHOOL OF MANAGEMENT, ERASMUS UNIVERSITY ROTTERDAM
Stimulating the transition to LED

lighting in Asia
How do standards for LED lighting emerge in developing countries in Asia?
Master Thesis
24-11-2011
Author: Welmoed Altena – 336943
MScBA Chinese Economy & Business
Coach: Mark Greeven
Co-reader: Peter van Baalen
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Stimulating the transition to LED lighting in Asia
Master Thesis
Preface
The copyright of the Master thesis rests with the author. The author is responsible for its contents.
RSM is only responsible for the educational coaching and cannot be held liable for the content.
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Acknowledgement
This thesis is written as the final work of my MScBA Chinese Economy and Business at the Rotterdam
School of Management, Erasmus University Rotterdam.
I would like to thank my coach Mark Greeven for his everlasting enthusiasm, profound support and
valuable guidance during the entire thesis process and my co-reader Peter van Baalen of RSM
Erasmus University.
Furthermore, I would like to thank Piet Derks, General Manager Lighting R&D China, Philips
Innovations Campus Shanghai for giving me the opportunity to do my internship at Philips Shanghai,
China as well as the HR-department of Philips Singapore for their support and cooperation. I would
also like to thank Jag Arora, Managing Director of the Asia Lighting Compact (ALC) for sharing her
expertise and her invaluable support.
In addition my thanks go out to Frank Altena, who introduced me to Philips Shanghai and helped me
to arrange the internship.
Moreover I thank the interviewees Mr. Roberto C. Cristobal, Ms. Raquel S. Huliganga, Ms. Napaporn
Phumaraphand, Mr. Luong Van Phan, Mr. My K. Ton, Mr. Stuart Jeffcott, Ms. Kathryn M. Conway, Mr.
T. Sujendan, and Mr. Jürgen Sturm for offering their time and sharing valuable insights.
Finally I would like to thank my parents who encouraged and supported me all the time.
Rotterdam, 24 November 2011
Welmoed Altena
Master Thesis
Executive Summary
Nowadays it is widely acknowledged that climate change is a severe threat to global development
and top priority on the international agenda. In order to fight climate change, reducing greenhouse
gas emission is essential. Taking into account that energy consumption is the main cause of
greenhouse gas emission, energy efficiency plays an important role within the international debate
on climate change. Within this context, LED lighting, as one of the existing energy-efficient
technologies, provides a lighting solution which uses less energy than most other types of lamps.
Considering that developing economies account for 51 percent of the global energy demand, they
play a major role in reducing greenhouse gas emissions. In many countries in South Asia the demand
for energy is even dominated by lighting. In other words, stimulation of the transitions towards the
adoption of LED lighting across developing countries in Asia, can contribute to reduce greenhouse
gas emissions. Research shows that standard setting is essential to achieve significant improvements
in energy efficiency. However, currently regional standards for lighting quality for LED do not exist in
developing countries in Asia. In order to stimulate the transition to LED lighting, international
organizations and regional associations can be instrumental to set standards within the Asian region.
Numerous organizations and associations are involved in the standard setting procedures and
influence each other, which makes this process complex. Moreover, the great differences between
the countries involved in terms of local conditions make it difficult to develop one overall standard
that can be applied to these countries.
The question arises what how standards for LED emerge in developing countries in Asia and what
stakeholders are involved in this process. In this research paper, both theory on standardization
processes, institutional theory and stakeholder theory will be applied to answer this research
question and analyze which actors influence the standardization of LED lighting in developing
countries in Asia. The scope of this project is developing countries in Asia, including Philippines,
Thailand, Vietnam, Indonesia, and China. The analysis of transnational standard setting of LED in
developing countries in Asia gives us insight into the process of standardization and fits into a
growing academic interest in standardization processes. This study contributes to the existing
literature on standardization theory. Standardization theory is often applied on a technical level, but
research in the field of business is still very limited. In addition, it provides insight into the
institutional and industrial actors that influence the standard setting process of LED lighting in
developing countries in Asia. Especially in this geographical area research in the field of
standardization is limited.
From the case studies we find evidence that diverging institutional environments in developing
countries in Asia have resulted in different perceptions of the relevance, validity and acceptance of
various stakeholders into the standardization process of LED in this region. Institutional variation
influences the effectiveness of specific stakeholders within a particular institutional context. In
conclusion both the context and the role of each stakeholder within the standardization process
affect how standards for LED emerge and what the most important drivers for the standardization
process are.
The countries involved all have to deal with challenges related to the standardization of LED. In China
it is of major importance that small manufacturers gain more knowledge on LED, buy equipment so
Master Thesis
they are able to test LED, and train their employees so they can reach the international level of
quality control. Another challenge is that China has different regional requirements, especially for
outdoor lighting, given the country’s size and temperature differences between different regions.
Moreover, the patent issue and new industries moving into the lighting market slow down the
standardization process of LEDs. For the Philippines major challenges are related to time and
technical competence. In Thailand, Vietnam and Indonesia lack of testing facilities is the main
challenge. Another challenge in Indonesia is the lack of resources applied to lamps. For all countries
involved it will be a challenge that even if a country adopts the IEC standard for LED, that particular
product that can meet the IEC standards might be too expensive for the local market. Especially for
Indonesia this will be a big challenge.
This study has several practical implications. First of all organizations involved in the standardization
process of LED in Asia should be aware of the developmental nature of the countries which might be
more complex and has its own specific institutional challenges and barriers related to the
standardization process. Moreover, it implies that harmonization of performance standards of LED
lighting across the Asian region is needed to enhance the adoption of quality LEDs in Asia. Since this
study gives insight into the dynamics of standard setting in developing countries and the main
stakeholders involved, it provides a road map what stakeholder to approach and involve in this
harmonization process. In order to achieve harmonization of LED standards regional institutions play
a major role, especially Asia Lighting Compact (ALC), Lites.Asia, En.Lighten and the Regional Centre
for Lighting (RCL). It is important that these organizations cooperate and complement each other.
While Lites.Asia and En.Lighten are more focused on policymakers, ALC is involved with a wider range
of stakeholders, such as the industry, lighting associations and testing laboratories. Since regulation
and standardization go hand in hand, it is important to create a platform to link industry and
government to stimulate discussion between them, for instance about the parameters and levels of
the performance standards. In this way stakeholders involved can build on feedback to give an Asian
perspective on the standardization of LED. Based on this study, it is recommended to first focus on
the standardization of the general lighting segment of LED. However, more research is needed to
analyze what the focus areas are in other Asian countries. Lastly, given the fact that conditions and
needs in developing countries in Asia are different from the developing world, the use of a tier
system (such as the one developed by ALC), will be beneficial. Reason for this is that this takes
minimum performance standards into account, while at the same time it is able to meet specific
needs of Asian countries. In this way good enough will be the way forward for better in the future.
Key words: standardization, LED, energy efficient lighting, climate change, stakeholder theory, Asia,
institutions
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Table of contents
1 Introduction .......................................................................................................................................... 1
1.1 The international debate on global climate change...................................................................... 1
1.1.1 Energy efficiency and LED lighting.......................................................................................... 1
1.1.2 The role of developing countries............................................................................................ 2
1.1.3 The role of international organizations and regional associations ........................................ 2
1.2 Research objective and scope ....................................................................................................... 3
1.3 Thesis outline................................................................................................................................. 3
2 Literature review .................................................................................................................................. 4
2.1 Standardization ............................................................................................................................. 4
2.1.1 Definition ................................................................................................................................ 4
2.1.2 Types of standards ................................................................................................................. 4
2.1.3 The standardization process................................................................................................... 5
2.1.4 Standardization regimes......................................................................................................... 8
2.2 Stakeholder theory ...................................................................................................................... 10
2.2.1 Typologies of stakeholder theory ......................................................................................... 10
2.2.2 Identification and classification of stakeholders .................................................................. 11
2.2.3 The Stakeholder Salience Model: stakeholder attributes .................................................... 13
2.2.4 The Stakeholder Salience Model: the degree of salience .................................................... 14
2.2.5 Summary stakeholder theory ............................................................................................... 17
2.3 Problem statement and research question................................................................................. 18
3 Methodology ...................................................................................................................................... 19
3.1 Research method and data collection ......................................................................................... 19
3.2 Case selection .............................................................................................................................. 20
4 Results ................................................................................................................................................ 22
4.1 International and regional stakeholders ..................................................................................... 22
4.1.1 Stakeholder identification .................................................................................................... 22
4.1.2 Stakeholder analysis ............................................................................................................. 27
4.1.3 Discussion ............................................................................................................................. 28
4.2 China ............................................................................................................................................ 29
4.2.1 Institutional overview........................................................................................................... 29
4.2.2 Stakeholder identification China .......................................................................................... 31
4.2.4 Discussion ............................................................................................................................. 36
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4.2.5 Standardization regime ........................................................................................................ 38

4.3 The Philippines ............................................................................................................................ 39
4.3.4 Discussion ............................................................................................................................. 42
4.4 Thailand ....................................................................................................................................... 45
4.4.3 Stakeholder Analysis............................................................................................................. 47
4.4.4Discussion .............................................................................................................................. 48
4.5 Vietnam ....................................................................................................................................... 50
4.5.3 Stakeholder Analysis............................................................................................................. 52
4.5.4 Discussion ............................................................................................................................. 53
4.6 Indonesia ..................................................................................................................................... 55
4.6.2 Stakeholder identification Indonesia ................................................................................... 56
4.6.4 Discussion ............................................................................................................................. 58
4.7 Comparative discussion ............................................................................................................... 60
4.7.1 Comparative discussion across countries............................................................................. 60
4.7.2 Comparative analysis standardization regimes .................................................................... 61
5 Conclusion and recommendations ..................................................................................................... 64
5.1 Conclusion ................................................................................................................................... 64
5.2 Limitations and recommendations ............................................................................................. 65
References ............................................................................................................................................. 66
Interviews .......................................................................................................................................... 66
The Philippines .............................................................................................................................. 66
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Thailand ......................................................................................................................................... 66
Vietnam ......................................................................................................................................... 66
Indonesia ....................................................................................................................................... 66
China .............................................................................................................................................. 66
International & regional ................................................................................................................ 66
Articles ............................................................................................................................................... 66
Books ................................................................................................................................................. 73
Websites ............................................................................................................................................ 73
Appendices ............................................................................................................................................ 78
Appendix 1: Stakeholder questionnaire and basis of questions ....................................................... 78
Appendix 2: Singapore Lighting Energy Efficiency Week .................................................................. 81
Appendix 3: List of laboratories ........................................................................................................ 87
Appendix 4: Existing standards for LED in China ............................................................................... 91
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1 Introduction
1.1 The international debate on global climate change
The 16th Conference of the Parties (COP-16) to the United Nations Framework Convention on Climate
Change (FCCC), held on November 29 to December 10, 2010 in Cancun, Mexico, emphasized the
need to urgently address climate change and stressed that climate change is currently one of the
greatest challenges to human development (COP-16, 2011). Today it is widely acknowledged that
climate change is a severe threat to global development. As a result of the growing evidence of the
importance of climate change action, the debate on climate change and the role of greenhouse gas
emissions attracts increasing international concern and is top priority on the international agenda
(WBCSD, 2008). The threat of global climate change has triggered the transition towards emissions
reduction and to global low carbon (CCICED, 2009). The major cause of climate change is greenhouse
gas emission, which is mainly a result of energy consumption. During the Climate Change Conference
in Mexico, the importance of energy efficient lighting solutions to save energy and reduce emissions
has been underlined (ESA, 2010).
1.1.1 Energy efficiency and LED lighting

A report of the McKinsey Global Institute (2008) stresses the importance of capturing the energy
efficiency opportunity as one of the main issues to address in order to drive abatement. So energy
demand can be worldwide reduced by using energy more efficiently. Reducing energy consumption
can be achieved by the adoption of already existing energy-efficient technologies. Taking into
account that these technologies pay for themselves in future energy savings, energy efficiency can be
regarded as the cheapest form of new energy (MGI, 2008a). According to another report of the
McKinsey Global Institute, which specifically focuses on developing countries, the application of
energy-efficient technologies can reduce growth in energy demand in developing countries by more
than half in the period 2008-2020, from 3.4 to 1.4 percent per year (MGI, 2008b). LED (Light Emitting
Diodes) lighting is one of these existing energy-efficient technologies that provides a lighting solution
which uses less energy than most other types of lamps. The main advantages of LED are its increased
luminous efficacy, long lifetime, and low power requirements (Bhusal et al., 2007). Especially in Asian
countries, where local grids are not always reliable, the ability of LED to endure fluctuating power
conditions is beneficial (RCL, 2011). Moreover, LED lighting is one of the very high-return
opportunities in energy-efficient appliances and potentially one of the most cost effective
approaches to abate global climate change by using existing technologies (MGI, 2008b). Hence,
stimulation of the transitions towards the adoption of LED lighting across developing countries and
Asia, can contribute to reduce greenhouse gas emissions and enormously reduce energy
consumption. Important to avoid is that LED will the follow the same path as compact fluorescent
lighting (CFLs), which suffered from poor product quality and lack of a regionally agreed-upon quality
standards. These low quality lighting products with low efficiency levels drastically undermine
energy-efficiency policies. So in order to assure that LED is able to achieve its energy efficiency
potential, clear standards for LED has to be developed and adopted. Currently this can be regarded
as one of the major limitations for the implementation of LED technologies (USAID, 2011).
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1.1.2 The role of developing countries

A Harvard Project on International Climate Agreements points out that energy-related carbon dioxide
emissions in the developing world, especially in China, have recently increased even more than
expected (Aldy & Stavins, 2007). Moreover, research of McKinsey emphasizes the important role of
developing economies in reducing greenhouse gas emissions by pointing out that developing
economies account for 51 percent of global energy demand. Along with the rapid economic growth
in this region, developing countries will be responsible for 60 percent of total global energy
consumption in 2020 if current political conditions would not change (MGI, 2008b). In other words,
they have an enormous abatement potential (Enkvist et al., 2007). While developing economies start
from a much lower base, they grow much faster than developed economies. Hence, they can adopt
the most recent technologies at lower cost (MGI, 2007). So although the opportunity to reduce
energy demand by the application of more energy-efficient technologies exists across the world,
especially developing countries have an exceptional opportunity to leapfrog to these energy-efficient
solutions. However, action is needed in order to seize this potential (MGI, 2008b). Also in terms of
constraining economic growth in developing countries, increasing energy demand and insufficient
energy supplies have become a major concern in this region. Energy efficiency will enhance
developing economies to make progress in terms of both energy security and sustained economic
growth (MGI, 2008b). In many countries in South Asia the demand for energy is even dominated by
lighting (RCL, 2011).
1.1.3 The role of international organizations and regional associations

Within the context of the international debate on global climate change, research shows that
governmental institutions play an important role in achieving significant improvements in energy
efficiency by creating the right policy environment that rewards energy-efficient choices and by
setting standards to achieve significant improvements in energy efficiency. Setting government
standards for appliances such as lighting products, is an effective, low-cost way to stimulate a
transition towards more energy efficiency (MGI, 2008b). Currently standards of many countries are
mainly focused on energy efficiency and energy performance, but do not include minimum quality
criteria such as energy, light output and lifetime performance for LED lighting. The incorporation of
quality criteria that are uniform throughout the region would streamline the harmonization process
(USAID, 2011). Besides stimulating the transition to LED lighting, developing performance standards
also enhances quality assurance of the lighting products sold and ensures that the product saves in
fact energy (RCL, 2011). However, currently these standards for LED lighting do not exist in
developing countries and Asia. In order to stimulate the transition to LED lighting, international
organizations and regional associations can be instrumental to set standards within the Asian region.
Numerous organizations and associations are currently involved in the standard setting procedures
and influence each other, which makes the standard setting process rather complex. Moreover, the
great differences between the countries involved in terms of local conditions make it difficult to
develop one overall standard that can be applied to these countries. Thus standard setting and
harmonization of these performance standards of LED lighting across the region are of paramount
importance to enhance the adoption of quality LEDs in Asia. Important to note is that setting
standards on paper requires a country to be able to test for actual compliance and verification
against standards. However, currently adequate testing facilities are often not available in the Asian
region.
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1.2 Research objective and scope

The question arises how standards for LED lighting emerge in developing countries in Asia and what
stakeholders are involved in this standardization process. In this research paper, both theory on
standardization processes, institutional theory and stakeholder theory will be applied to analyze how
these standards emerge and which actors influence the standardization of LED lighting in developing
countries in Asia. Stakeholder support is needed to ensure the long-term viability of organizations,
policies, plans and programs (Bryson, 2003). If key stakeholders are not satisfied at least minimally,
organizations will fail. Taking into account that the world has become increasingly interconnected
and that the transition to LED lighting in developing countries affects many individuals, groups and
organizations, stakeholder analysis provides valuable insight in this process. The focus will be on the
industrial and institutional level of stakeholders. In this way, a strategic view of the institutional and
industrial landscape will be developed. Based on this research, implications and recommendations
for the standardization process will be developed.
The analysis of transnational standard setting of LED in developing countries in Asia gives us insight
into the process of standardization and fits into a growing academic interest in standardization
processes. The purpose of this study is twofold. Firstly it contributes to the existing literature on
standardization theory by introducing the concept of standardization regime. Moreover,
standardization theory is often applied on a technical level, but research in the field of business is still
very limited. Secondly, it provides insight into the institutional and industrial actors that influence the
standard setting process of LED lighting in developing countries in Asia. Especially in this geographical
area research in the field of standardization is limited.
Based on the purpose of this research paper, the following research question is proposed:
The scope of this project is developing countries in Asia, including Philippines, Thailand, Vietnam,
Indonesia, and China. China is an example of a country that is far ahead in terms of the
standardization of LED and has a lot of manufacturing interest. Thailand and the Philippines are
examples of countries where the government is driving the standardization process and where a
number of efforts for the standardization of LED are going on. Indonesia and Vietnam are examples
of countries which are far behind. The focus is on the standardization process of LED in this region.
The level of analysis will be institutional and industrial, including international organizations and
regional associations, regulated, governmental and semi-governmental bodies. The specific
stakeholders to focus on include national utility, lighting associations, standard setting institutes, the
industry, and energy efficiency bodies.
1.3 Thesis outline

The study is organized as follows. Chapter 2 provides a literature review and theoretical background.
Important concepts such as institutional theory, standardization theory and stakeholder theory will
be reviewed. Next, in chapter 3 the methodology will be introduced. Chapter 4 presents the results,
discussion and comparative analysis. Finally, chapter 5 states the conclusions, limitations and
recommendations.
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2 Literature review
This chapter consists of theoretical background and a literature review of major relevant academic
contributions. It introduces theory on standardization processes, institutional theory, and
stakeholder theory. Furthermore, this chapter indicates the research gap and how this study
contributes to existing academic research.
2.1 Standardization
There is a growing academic interest in standardization processes (Hommels et al., 2008). Over the
past few decades, research on standardization has been conducted by academics from a variety of
disciplinary backgrounds, including engineering, economics, business, technology management and
education (De Vries, 2011). While research on standardization was originally mainly based on
technological considerations, it now takes into account that standardization processes are also
characterized by economic and political interests (Egyedi, 2008). However, a lot of research has been
focused on telecommunications and information technology, especially in relation with technological
innovation processes (Cowhey, 1990; Werle, 2001b; David & Steinmueller, 1996; Williams et al.,
2004). Moreover, limited research has been done on the lighting industry (Conway, 2011). So far,
most of the research has focused on the identification of factors that influence the outcome of a
technology battle, including technological superiority, firm resources and the role of institutions
(Suarez, 2004). Furthermore, research on standardization has been mainly focused on developed
countries and not so much on developing countries (Shapiro & Varian, 1999). Currently the field of
standardization studies is still in an early phase of professionalization (Egyedi, 2008).
2.1.1 Definition
Several definitions of standards exist. David & Greenstein (1990) define standards as ‘a set of
technical specifications adhered to by a producer, either tacitly or as a result of a formal agreement’.
Technical standards can be defined as ‘a means to achieve control and to regulate and coordinate the
production and uses of technology’ (Hommels et al., 2008). The official international definition by ISO
and the IEC of a standard is a ‘document, established by consensus and approved by a recognized
body, that provides, for common and repeated use, rules guidelines or characteristics for activities or
their results, aimed at the achievement of the optimum degree of order in a given context’ (IEC, 2011).
So standards yield specifications.
Standardization takes place at different scales. Besides the development of standards at a company
level and an inter-organizational level, standardization has become increasingly important at an
international scale. Especially the regional level is becoming more important (De Vries, 2008), for
instance Europe or Asia.
2.1.2 Types of standards

Standards can be categorized in reference, minimum quality, and interface or compatibility standards
(David & Greenstein, 1990). Reference and minimum quality standards aim to indicate that a product
has reached a certain quality or characteristic. Interface standards are needed to incorporate an
intermediate product or component in a larger technological system, so entities are able to function
together. In order to stimulate the transition to LED lighting, performance and quality standards are
needed, which should focus on energy efficiency, performance and life time of LED lighting (Ton,
2011b).
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Standards can be the outcome of committee-based and market-based standardization (Farrell &
Saloner, 1988). In other words, standards can be established through market forces, or through
official standardization institutes. When standards are established by market forces, they are called
de facto standards, and are the outcome of market-mediated processes. De jure standards are
defined by standardization institutes, including government regulations, industry committees and
associations, and approved by authoritative national or international bodies before market adoption
(David & Greenstein, 1990). While earlier research (1980s) is mainly focused on de facto standards,
later on (1990s – early 2000s) the emphasis of research has shifted towards committee standards,
especially committee standards of the formal standards bodies and consortia (Egyedi, 2008). In this
study I will focus on de jure standards. So the analysis will be on the level of organized
standardization, defined as organizational bodies in which committees negotiate and adopt
standards (Werle, 2001a). However, in reality the distinction between de facto en de jure standards
is not always so clear, since many standards are the outcome of a standard battle or originate from a
dominant firm.
De facto standards can be further categorized in sponsored and unsponsored standards, while de
jure standards can be divided in voluntary and mandated standards. Unsponsored standards are a set
of specifications without an identified originator that holds a proprietary interest or without any
sponsor, but they do exist in the public domain. In sponsored standards at the other hand,
sponsoring agencies do have a direct or indirect proprietary interest. These standards stimulate
other firms to accept a set of specifications. Voluntary standards are the outcome of voluntary
standards-writing organizations. These standards, also called coordinative standards, are adopted by
standard organizations, private consortiums, and forums (Werle, 2001a). Finally, mandated
standards, also called regulations, are set by regulatory authorizes, such as governmental agencies.
Only mandated standards can be enforced by law (David & Greenstein, 1990). This research will
focus on voluntary standards.
2.1.3 The standardization process

Standardization processes are characterized by a high degree of complexity, which is caused by the
intertwined technical, economic and political interests of the parties involved. Involvement of several
stakeholders such as engineers, politicians, industrialists, international standardization bodies in the
negotiation of norms and standards, makes the standardization processes difficult to achieve
(Hommels et al., 2008).
Theoretical frameworks in the standardization literature provide useful insight into these complex
standardization processes and the factors that play a role. Van de Kaa et al. (2007) proposes a
framework which consists of 31 factors grouped under five categories that help to explain the
outcome of standard battles. The five categories are: superior design, mechanisms, stakeholders,
dominant agent and strategy (see figure 2.1). The role of a regulator, part of the stakeholder
category, is to prescribe certain standards in the market (Van de Kaa et al., 2007).
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Figure 2.1: Framework for standard dominance
Source: Van de Kaa et al., 2007.
Research of Tushman and Rosenkopf (1992) suggests regarding the idea of technology as ‘systems in
context, linking characteristics of systems and contexts to socio-political dynamics’. They emphasize
the role of social, political economic and organizational factors on technical progress and the
emergence of a dominant design: ‘a negotiated logic enlivened by actors with interest in competing
technical regimes’.
Research of Lee et al. (1995) analyses the process of emergence of dominant designs from a strategic
perspective and views the process as a black box process in which external conditions, non-
technological forces, technological forces and complementary assets interact. Within their
framework, economic, technological, organization, and socio-political driving forces are integrated. 6
primary and 11 secondary factors are proposed of which socio-political forces are the least
predictable or controllable. They argue that governments play an influential role by supporting or
opposing a move to standardization and underline the role of industry committees, government
regulation and international standardization commissions in the standardization process (Lee et al.,
1995).
The framework of Schilling (1998) proposes 5 primary and 11 secondary factors that influence the
dominance of a design. One of those factors is government intervention in the standards by
regulation, which is explained as ‘a legally induced adherence to a dominant design’ (Schilling, 1998).
Research of Suarez (2004) focuses on the process of standard dominance and proposes five battle
milestones, which determine five different key phases of a dominance battle (see figure 2.2). Success
in each phase of the battle is based on different firm- and environmental level factors. In total the
framework proposes 11 primary and 9 secondary factors.
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Figure 2.2: Key factors of success at each stage of the dominance process.
Source: Suarez, 2004.
Two broad groups of factors influence the outcome of a dominance battle: firm-level factors and
environmental factors. Environmental factors can also influence firm-level factors (Suarez, 2004).
Since I will approach the standard setting process from an institutional theory perspective in this
research, I will discuss the environmental level, especially the regulation part in more detail now.
Regulation plays a major role in phase II, ‘when the leading technological trajectories have proved
their feasibility but have not yet or only just reached the market that regulators intervene’ (Suarez,
2004). Since industry regulation and institutional intervention have the power to mandate the use of
a particular technology and to enforce a standard, and thus define a dominant design (Suarez &
Utterback, 1995), they play an important role in the standardization process. In fact, technology is
embedded in the institutional environment that shapes it (Garud et al., 2002). Besides regulation,
private institutions, such as industry associations or standard making bodies can also affect the
standard setting process (Suarez, 2004). However, next to regulations, governments can also play
other roles in the emergence of a dominant design. They can for instance stimulate that a design
becomes dominant by purchasing a product in the early stages of an industry (Suarez & Utterback,
1995).
So the literature on standardization provides us with several frameworks to gain insight in the
standardization processes. They underline the importance of standardization institutes such as
government regulation, industry committees, and international standardization commissions.
However, the literature does not deal with how standards emerge and the specific role the
stakeholders play within the standardization process, especially in developing countries where a lot
of uncertainty exists. Moreover, the literature does not deal with how the stakeholders influence the
standardization processes and each other. Within the standards process coordinated by committees,
such as formal standard bodies, consortia, and government agencies, negotiation of standards is a
key area, since it directly affects what interests, values and norms will be included in the standard
(Egyedi, 2008). Negotiations are based on conflicting interests and aim to reach a consensus among
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various stakeholders (Pfetch, 2008). In reality this consensus is often based on a balance between
technical excellence and acceptability (Dijkstra, 2008). In order to reach consensus it is useful to
identify which interests play a role. To identify and prioritize the stakeholders that are part of the
institutional environment for standardization in developing countries, stakeholder theory will be
applied, which is introduced in section 2.2.
2.1.4 Standardization regimes

The idea that institutions matter comes from new institutional economists such as Douglass North.
They argue that institutional frameworks create incentives for behavior, leading to different
outcomes (Prado & Trebilcock, 2009). According to North, institutions consist of both informal
constraints (sanctions, taboos, customs, traditions, codes of conduct) and formal rules (constitutions,
laws, property rights) that shape the incentive structure and direction of an economy (North, 1991).
Institutional legacies reflect the culture, history, and polity of a particular country or region. Within
any institutional setting, organizations are established to represent collective interests, frequently
with the aim to codify these interests as informal practices or formal rules (Doh & Guay, 2006).
Section 2.1.3 shows that governments, industry committees, government regulation and
international standardization commissions are all part of the institutional environment of a
standardization process. However, different societies structure institutions in a different way
resulting in diverging institutional environments; this diversity in economic organization leads to
different economic outcomes (Whitley, 2003). Moreover, institutional variation originates from
differences in social, political and economic situation within a geographic area (Doh & Guay, 2006).
According to research of Hoskisson et al. (2000), institutional theory is one of the most insightful
theories for analyzing emerging economies. Institutional theory ‘emphasizes the influences of the
systems surrounding organizations that shape social and organizational behavior’ (Hoskisson et al.
2000). He further argues that institutional forces influence organizations’ processes and decision
making. Moreover, research shows that institutions influence the standardization process, for
instance Montealegre’s study (1999), which indicates that institutions such as the government,
private sector and international organizations influence the standard setting process (Montealegre,
1999). Other studies highlight the importance of industry and trade associations within the
standardization process (Steinfield et al., 2005). Key institutions for the standardization process
include national utility, lighting associations, standard setting institutes, and energy efficiency bodies
at the supranational and national level.
Within the Asian region, major differences exist between the countries in terms of local conditions
and the environment, which makes it difficult to develop one overall standard that can be applied to
all the countries involved. Therefore it can be useful to categorize each country by looking at its
standardization regime. Krasner (1982) defines a regime as ‘principles, norms, rules, and decision
making procedures around which actor expectations converge in a given issue-area’. This broad
definition includes human interaction ranging from formal organizations to informal groups. The
landscape of the standardization regime is shaped by political, professional and business interests,
which are represented by the stakeholders involved in the standardization process. Research shows
that institutions of emerging economies significantly differ from those in developed economies (Peng
et al., 2007). Moreover, emerging economies are not homogeneous, and show a rich variety of
institutional contexts (Narayan & Fahey, 2005). The aim of this research is to gain a deeper
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understanding of the complex standardization process of LED in the countries involved by paying
more attention to these differences.
This research takes into account the influence of the environment on the standardization process of
LED in developing countries by applying institutional theory and by analyzing how institutions matter
within the standardization process. I will restrict the discussion of the institutional context in the
countries involved to the development of the policy and regulatory institutions related to the energy
sector, especially focused on energy efficiency and lighting. After analyzing both the institutional
context and the stakeholder analysis, a standardization regime will be developed by analyzing who
are the most important drivers of the standardization process of LED in that particular country: the
industry, the government, or international organizations. This integration of institutional theory and
stakeholder perspectives provides valuable insight for evaluation of interactions among the different
stakeholders involved in the standardization process of LED. I this research I will suggest that
diverging institutional environments in developing countries in Asia have resulted in different
perceptions of the relevance, validity and acceptance of various stakeholders into the
standardization process of LED in this region. Institutional variation influences the effectiveness of
specific stakeholders within a particular institutional context. In other words, both the context and
the role of each stakeholder within the standardization process affect how standards emerge. Figure
2.3 shows a simplification of these relationships. In order to take into account the role of the
stakeholders within this process, stakeholder theory is valuable, which will be introduced in section
2.2.
Figure 2.3: Institutions, stakeholder and the standardization process of LED lighting
Institutional
variation
Standardization process
of LED lighting
Social, political, and
cultural legacies
Stakeholder legitimacy
and influence
Source: Derived and adapted from Doh & Guay, 2006.
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2.2 Stakeholder theory

This section discusses stakeholder theory and introduces different frameworks to identify, group and
prioritize different stakeholder groups. Stakeholder theory deals with the identification of
stakeholder groups that require attention from an organization. It provides a framework to separate
stakeholders from non-stakeholders and to understand an organization and its increasingly
unpredictable external environment (Mitchell et al., 1997). Stakeholder management facilitates the
ability of an organization to manage this environment and to align its priorities and actions with the
needs of its stakeholders. This will result in a good fit between the organization and it environment,
which will enhance the success of an organization (Wolfe & Putler, 2002). Moreover, developing
strong, sustainable relationships with various stakeholders will result in long-term value creation for
an organization (Buono, 2002).
Since defining stakeholders directly affects who and what counts, it is essential to first define a
stakeholder (Bryson, 2003). Although disagreement exists among scholar about the exact definition
of a stakeholder (Jones et al., 2002, p. 19), the definition most often used comes from Freeman.
Freeman’s book, Strategic Management: A Stakeholder Approach (1984) is a landmark for
stakeholder theory. After publishing this book, the concept of stakeholders became embedded in
both management literature and in managers’ thinking (Mitchell et al., 1997). According to
Freeman’s now classic definition of stakeholders, widely cited in the literature, a stakeholder is ‘any
group or individual who can affect or is affected by the achievement of the organization’s objectives’
(Freeman, 1984). The definition by Freeman provides a broad definition of stakeholders, so virtually
anyone can be included. In order to avoid exclusion of important stakeholders, a broad definition is a
good starting point to begin a stakeholder analysis (Bryson, 2003). Stakeholders can be persons,
groups, organizations, institutions, societies, neighborhoods and even the natural environment
(Mitchell et al., 1997).
Development of stakeholder theory has focused on stakeholder analysis, which is the classification of
stakeholders into useful categories that gives insight into how stakeholder groups influence an
organization (Rowley, 1997). In the literature, agreement exists about the main steps that are part of
a stakeholder analysis. It begins with the identification of stakeholder groups. The seconds step is to
determine the relevant interests, also called the stakes, of the stakeholders. The final step involves
the evaluation of the type and level of stakeholder power or salience (Wolfe & Putler, 2002).
2.2.1 Typologies of stakeholder theory

Based on the nature and purpose, stakeholder theory can be divided into three main typologies:
descriptive/empirical, instrumental, and normative stakeholder theories (Donaldson & Preston,
1995). Descriptive theory aims to describe and explain specific characteristics and actual behaviors of
an organization. It describes for instance the nature of a firm. This type of stakeholder theory reflects
past, present and future state of affairs of an organization and its stakeholders. Instrumental
stakeholder theory refers to theory that identifies connections between stakeholder management
and the reach of corporate performance objectives, for instance profitability. So this type of
stakeholder theory suggests that by following principles and practices to manage stakeholders,
corporate objectives will be achieved. It explores links between cause and effect in detail and is
hypothetical in essence. It says: ‘If you want to achieve (avoid) results X, Y, or Z, then adopt (don't
adopt) principles and practices A, B, or C’ (Donaldson & Preston, 1995). Normative stakeholder
theory interprets the function of an organization in moral and philosophical terms. In other words, it
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looks whether an organization is able to fulfill its moral duties. It is saying: ‘Do (Don't do) this because
it is the right (wrong) thing to do’ (Donaldson & Preston, 1995). Although the three theories are very
different in terms of purpose and implications, they are mutually supportive. Donaldson & Preston
regard normative stakeholder theory as foundation of all stakeholder theory.
In response to Donaldson and Preston (1995), Jones & Wicks (1999) argue that stakeholder theory
can be divided in two broad categories: the social science based theory, which includes both
instrumental and descriptive/empirical stakeholder theory, and ethics based theory, which focuses
on normative theory. They propose convergent stakeholder theory, which combines both ideas from
instrumental and normative stakeholder theories and suggests managing business in a morally sound
way. However, at the same time the organization should be able to remain economically viable
(Jones & Wicks, 1999).
In response to convergent stakeholder theory, Freeman (1999) proposes a divergent stakeholder

theory which emphasizes instrumental stakeholder theory. According to Freeman, normative theory
is not needed, since it does not relate to the actual world we live in. He argues that it is impossible to
connect a normative claim to real firms and real stakeholders without the support of an instrumental
claim (Freeman, 1999).
2.2.2 Identification and classification of stakeholders

The broad definition of stakeholders will result in an unmanageable number of stakeholder groups.
In order to enhance cooperation with different stakeholder groups, stakeholders need to be
prioritized or classified. Research of many scholars is focused on theories to group and prioritize
stakeholder groups, which will be first introduced.
A common way to classify stakeholders is to divide stakeholders into primary and secondary
stakeholders. Primary stakeholders have a direct interest in an organization and have an economic
impact on the organization, such as employees, customers, suppliers, communities and the natural
environment (Hillman & Keim, 2001). Without the participation of an organization’s primary
stakeholders it cannot survive, sot the level of interdependence is high (Clarkson, 1995). Primary
stakeholders have formal, official, or contractual relationship with an organization (Savage et al.,
1991). Secondary stakeholders are diverse and neither have direct stakes, nor direct contact with the
economic activities of an organization, such the media and special interest groups. However,
secondary stakeholders are able to influence an organization, for instance by mobilizing public
opinion in favor or against an organization’s behavior (Savage et al., 1991). So although an
organization is not dependent on its secondary stakeholders for survival, this group can bring
damage to an organization (Clarkson, 1995).
Dividing stakeholders into internal and external, and interface stakeholders is another method to
categorize stakeholders (Savage et al., 1991). Internal stakeholders of an organization are for
instance employees. External stakeholders are for example competitors and the government. An
example of interface stakeholders is the board of directors, because they are neither internal, nor
external.
Another way to group stakeholders is to categorize them based on which role they play, for instance
customers, suppliers and investors etc. However, research shows that by classifying large stakeholder
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groups based on the role they play, significant differences within stakeholders groups are ignored. In
other words, this method is not fine-grained (Harrison & Freeman, 1999).
In addition, stakeholder can be classified into market and non-market stakeholders (Stevens et al.,
2005). Market stakeholders directly interact with an organization through economic transaction and
influence its competitive environment, such as customers, suppliers, competing firms and
shareholders. Market stakeholders have a high degree of salience. Non-market stakeholders also
interact with a firm, but on a non-economic basis. Public institutions, such as regulatory agencies,
government bodies, the court system, and special interest groups are part of the non-market
stakeholder group. This group of stakeholders has a legitimate claim on an organization, and is able
to use coercive power. However, they do not have economic power to influence an organization
(Stevens et al., 2005).
So it can be concluded that there are various ways to determine stakeholder groups, each with its
advantages and disadvantages. De Vries (2003) proposes a method for stakeholder identification and
classification especially for standardization processes. This useful tool for the systematic
identification of stakeholders and the determination of their positions takes into account that
standardization organization is different from a firm, which results in a different stakeholder
approach. This approach takes a broad perspective by including all parties that may affect and that
may be affected by the standardization process, which represents the open character of
standardization. In addition, the identity of the stakeholder groups influenced by standards varies
significantly and depends on the kind of the standardization process. While some standards mainly
affect employees, others mainly affect certification institutes.
The two-step stakeholder analysis results in a balanced stakeholder representation. The first step
consists of the identification of all potential stakeholders in a standardization process. Nine
directions to identify stakeholders are proposed, based on the diverse ways in which a standard can
be important to stakeholders. However, some directions can be more relevant for a standardization
process than others. In other words, they serve as search heuristic in order to avoid overlooking
some stakeholder groups. The nine categories are (De Vries 2003):
• Product chain: ‘all firms in the production chain of the product that the standard relates to’,
such as suppliers, transporters, and trade companies.
• End users and related organizations: for instance large companies, small-and medium sized
enterprises, public organizations and individual employees.
• Designers: designers of the product the standards relates to, such as specialized companies
(in case production and design do not come in one hand).
• Physical system: analysis of physical interactions with other technical systems and
compatibility will result in stakeholders involved in the development and production of
elements of the surrounding system.
• Inspection agencies: for instance dedicated organizations, certification bodies, testing
laboratories, or government enforcement agencies.
• Regulators: Standards are often related to government regulation. Standards should act in
accordance with already existing regulations. Moreover, reference in government regulation
is beneficial for the status and adoption of the standard.
• Research and consultancy: for instance universities, research institutes and consultants.
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• Education: such as educational programs for students and professionals. These organizations
can contribute to the standard’s diffusion.
• Representative organizations: these organizations represent the interests of their members,
such as professional organizations and consumer organizations.
This first step of the stakeholder analysis results in a long list of stakeholders. The second step of the
analysis proposed by De Vries (2003) deals with this and aims to involve the stakeholders in the
standardization process and is based on the Stakeholder Salience Model of Mitchell et al. (1997). The
Stakeholder Salience Model has become one of the main classification models in literature on
stakeholder theory (Wolfe & Putler, 2002; Scholl, 2004; Vos & Achtenkamp, 2006) and is verified by
research of Agle et al. (1999). This model will be discussed in more detail in the next section and will
provide the basis of the stakeholder analysis.
2.2.3 The Stakeholder Salience Model: stakeholder attributes

The salience model is based on stakeholder attributes and provides a useful theoretical framework to
identify and categorize stakeholders and to explain why certain groups of stakeholders should be
given attention (Vos & Achtenkamp, 2006). According to this model, stakeholders possess one or
more of the three key attributes: power, legitimacy, and urgency (Mitchell et al., 1997). These key
stakeholder attributes provide the basis of a theory categorize classes of stakeholders, and make a
distinction between essential stakeholders in the standardization process and less important
stakeholders. Moreover, the stakeholder salience model provides insight into the probable roles
stakeholders can play and how to involve various stakeholders in the standardization process (De
Vries, 2003).
The stakeholder attribute of power refers to the power of a stakeholder to influence a firm (or in this
case, the standardization process or the success of the resulting standard (De Vries, 2003)). Within
the context of standard setting processes, power is established by using resources to influence the
standardization process. Resources that should be taken into account include time available, financial
position, technical expertise and the position on the network of rims and organizations to which the
standard applies (De Vries, 2003). The power of a stakeholder depends on whether a stakeholder can
gain access to these means to influence the standardization process. However, access to these
means is not a steady state. So power can be acquired, but also be lost. In other words, power is
transitory (Mitchell et al., 1997).
Legitimacy refers to the legitimacy of a stakeholder within the standardization process. Legitimacy
refers to socially accepted and expected structures or behaviors (Mitchell et al., 1997), and can be
defined as ‘a generalized perception or assumption that the actions of an entity are desirable, proper,
or appropriate within some socially constructed system of norms, values, beliefs, and definitions’
(Suchman, 1995). If, for instance, an organization uses its power in a way which society evaluates as
irresponsible, it will lose its legitimacy. Legitimacy can be divided in formal legitimacy and perceived
legitimacy. Formal legitimacy looks whether ‘the stakeholder is formally entitled to participate in the
process’, while perceived legitimacy asks ‘do the other stakeholders accept or support the
participation of this stakeholder in the process?’ (De Vries, 2003). De Vries (2003) points out that
almost every stakeholder is formally legitimate, but that the ‘significance of the stakeholder’s
participation largely depends on his perceived legitimacy’.
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Master Thesis
Urgency refers to the urgency of the stakeholder’s claim. In other words, it clarifies to what extent a
stakeholder demands for immediate attention. The degree of urgency of a stakeholder can be
determined by analyzing its recent action: ‘has the stakeholder been active in pursuing his goals
regarding this standardization issue?’ (De Vries, 2003). By adding the attribute of urgency the
stakeholder model is able to capture the dynamics that arise as a result of interactions between
stakeholders and an organization. The stakeholder attribute of urgency is based on time-sensitivity
and importance or criticality of a relationship or claim. Time sensitivity is further defined as ‘the
degree to which managerial delay in attending to the claim or relationship is unacceptable to the
stakeholder’ (Mitchell and al, 1997). Criticality refers to the degree of importance of the relationship
or claim to the stakeholder. Important to note here is that urgency is a perception. Hence, the
possibility exists that a stakeholder regards its claim as urgent, but in fact the claim is not.
2.2.4 The Stakeholder Salience Model: the degree of salience

Based on the three attributes power, legitimacy and urgency, the degree of salience of a stakeholder
can be determined. The more attributes a stakeholder possesses, the higher the degree of salience.
Salience is defined as ‘the degree to which managers give priority to competing stakeholder claims’
(Mitchell et al., 1997). In other words, the more salient, the more important a stakeholder is. Three
categories can be identified: latent stakeholders, expectant stakeholder, and highly salient
stakeholders. These categories consist of eight classes of stakeholders (see figure 2.4) (Mitchell et al.,
1997). For each type of stakeholder, De Vries (2003) has analyzed the appropriate level of
participation of each class of stakeholder in the standardization process, and what should be done to
involve the stakeholders in this process (De Vries, 2003). The most important stakeholders possess all
three stakeholder attributes. However, important to note is that the possession of these attributes is
not static, but dynamic in nature. So it can change over time and vary per situation. As a
consequence, a stakeholder map can only give insight into a certain situation at a particular point of
time.
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Master Thesis
Figure 2.4: Stakeholder typology: one, two, or three attributes present
Source: Mitchell et al., 1997.
Latent stakeholders
The category of latent stakeholders consists of dormant stakeholders, discretionary stakeholders,

and demanding stakeholders (Mitchell et al., 1997). Latent stakeholders possess only one attribute
and are perceived to have a low degree of salience.
Dormant stakeholders possess power to influence the standardization process (De Vries, 2003). Since
these stakeholders do not possess the attributes of legitimacy or urgency, they are not able to use
this power. Usually there is no participation or interaction between dormant stakeholders and the
standardization process. However, Mitchell et al. (1997) suggest that managers should be aware that
if dormant stakeholders acquire either urgency or legitimacy, they will become more salient. The
dynamic nature of the stakeholder model makes this possible. Therefore they should be monitored
(De Vries, 2003).
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Discretionary stakeholders possess legitimacy, but they lack the power to influence a standardization
process (De Vries, 2003) and their claims are not urgent. Due to lack of power and urgency of this
group of stakeholders, there is no direct pressure for them to participate. Although they lack urgency,
it might be useful to involve discretionary stakeholders, since their legitimate role in the
standardization process is acknowledged by other participants or potential buyers of the standard
(De Vries, 2003).
Demanding stakeholders possess the attribute of urgency. Although this group has an urgent claim,
they do not have the power or legitimacy to move their claim. This group is irritating, but not
dangerous. As long as demanding stakeholders do no acquire power or legitimacy, the stakeholder’s
claim remains latent and largely unconsidered (Mitchell et al., 1997).
Expectant stakeholders
The category of expectant stakeholders consists of dominant stakeholders, dependent stakeholders,

and dangerous stakeholders. Expectant stakeholders possess two attributes and have moderate
salience (Mitchell et al., 1997).
Dominant stakeholders possess both power and legitimacy, but due to lack of urgency this group has
no urgent need to participate in the standardization process. However, for the standardization
process participation would be desirable. Since this group has legitimate claims as well as the power
to act on these claims, they can possibly have a lot of influence on the standardization process. As a
consequence, efforts should be made to involve this group of stakeholders (De Vries, 2003). In other
words, this is a class of stakeholders that is important to managers and should receive much of
attention. This group of stakeholders can be involved by relating the standardization process to other
matters that are relevant for them, such as combining the development of one standard with the
development of related standards that are urgent for this group. Governmental organizations are
often dominant stakeholders (De Vries, 2003)
Dependent stakeholders possess legitimacy and urgency, but lack power. This group is called
dependent, because in order to impose their will, they depend on others for power. Important to
note is that a dependent stakeholder can become part of the most salient stakeholder class if
dominant stakeholders adopt its claims, for instance through guardianship of other stakeholders
(Mitchell et al., 1997). This group of stakeholders is relevant for the support of a standard and their
participation is needed. However, this group often does not have access to resources needed to
participate in the standardization process. Involving these stakeholders in the standardization
process is usually not so difficult and can be done for instance by financial support and access to
technical expertise. (De Vries, 2003).
Dangerous stakeholders possess urgency and power, but lack legitimacy. Since this stakeholder group
will be coercive and possibly violent, it can be of danger to an organization. Examples are sabotage,
strikes and terrorism (Mitchell et al., 1997). Although this group of stakeholders have no formal place
in the standardization process, their strategies should be taken into account during the process (De
Vries, 2003).
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Master Thesis
Definitive stakeholders
Definitive stakeholders are highly salient stakeholders and possess all three attributes. So they have
the power to influence the standardization process, the standard is important for them, and their
involvement is undeniable (De Vries, 2003). By acquiring one of the missing attributes, an expectant
stakeholder can become definitive. The most common way of stakeholders to become definitive, is
first be a dominant stakeholder and then move into the definitive category. So when a stakeholder
possesses power and legitimacy, and its claim becomes urgent, high priority should be given to this
stakeholder. In short, a high degree of salience of a stakeholder requires acknowledgement and
action (Mitchell et al., 1997). Often this group of stakeholders is in fact the driving force behind the
standardization process and they are already highly committed to standardization activities (De Vries,
2003).
Stakeholders without any attributes are not taken into account by this framework and are regarded
as non-stakeholders (Mitchell et al., 1997).
2.2.5 Summary stakeholder theory

This summarizing section aims to highlight the main points of the literature review in section 2.2 and
underlines which parts are especially important for this study. In the section above stakeholder
theory is introduced and its importance for organizations is discussed. For this study I will use the
broad definition of a stakeholder by Freeman to start the stakeholder analysis to avoid exclusion of
important stakeholders. Furthermore, three main typologies of stakeholder theory:
descriptive/empirical, instrumental, and normative stakeholder theories are discussed in this section.
Development of stakeholder theory has focused on stakeholder analysis, which is the classification of
stakeholders into useful categories that give insight into how stakeholder groups influence an
organization. Stakeholder analysis starts with the identification of stakeholder groups. The seconds
step is to determine the relevant interests, also called the stakes, of the stakeholders. The final step
involves the evaluation of the type and level of stakeholder power or salience.
Different frameworks to identify, group and prioritize different stakeholder groups has been
introduced, including primary and secondary stakeholders, internal and external stakeholders,
categorization of stakeholders based on the role they play, and market and non-market stakeholders.
For this study the stakeholder identification and classification method of De Vries (2003) will be
applied, since it is especially applicable for standardization processes and takes into account that
standardization organization is different from a firm, which results in a different stakeholder
approach. The two-step stakeholder analysis results in a balanced stakeholder representation.
The first step consists of the identification of all potential stakeholders in a standardization process
according to the nine directions to identify stakeholders: product chain, end users and related
organizations, designers, physical system, inspection agencies, regulators, research and consultancy,
education, and representative organizations. However, some directions can be more relevant for a
standardization process than others. This first step of the stakeholder analysis results in a long list of
stakeholders. The second step deals with this and aims to involve the stakeholders in the
standardization process and is based on the Stakeholder Salience Model of Mitchell et al. (1997). The
Stakeholder Salience Model has become one of the main classification models in literature on
stakeholder theory and will provide the basis of the stakeholder analysis. According to this model,
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Master Thesis
stakeholders possess one or more of the three key attributes: power, legitimacy, and urgency. Based
on the three attributes power, legitimacy and urgency, the degree of salience of a stakeholder can be
determined. The more attributes a stakeholder possesses, the higher the degree of salience. Three
categories can be identified: latent stakeholders, expectant stakeholder, and highly salient
stakeholders. These categories consist of and eight classes of stakeholders: dormant stakeholders,
discretionary stakeholders, demanding stakeholders, dominant stakeholders, dependent
stakeholders, dangerous stakeholders, definitive stakeholders and non-stakeholders. This
stakeholder salience model provides insight into the probable roles stakeholders can play and how to
involve various stakeholders in the standardization process.
In conclusion, the framework discussed provides a roadmap for:
• The identification of stakeholders

• The determination of stakeholder interests and influence (stakes)
• The classification and prioritization of stakeholders based on stakeholder salience
• Stakeholder mapping
2.3 Problem statement and research question

The literature review leads to the following problem statement of this research paper:
In order to answer this research question the following questions will be answered:
• What stakeholders influence the standardization process for LED lighting in developing
countries and Asia?
o What are the relevant stakeholder groups in the countries involved?
o What are the stakes and importance of each stakeholder group?
o Where does the balance of influence lie within these various stakeholders in each
country?
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Master Thesis
3 Methodology
In this chapter, the methodology used for this research will be introduced. Research purpose,
research approach, strategy, research design, case selection, and data collection methods will be
discussed and methodological choices will be justified.
3.1 Research method and data collection

Within the context of the international debate on global climate change, research shows that
standard setting is essential to achieve significant improvements in energy efficiency. However,
currently performance standards do not exist for LED lighting in developing countries in Asia. The
question arises how standards for LED lighting emerge in developing countries in Asia and what
stakeholders influence the standardization process. On standardization in developing countries as
well as on the lighting industry, limited research has been conducted. The purpose of this study is to
gain a better understanding of standard setting for LED lighting in developing countries in Asia and to
gain insight in the exact role the stakeholders involved play.
The study is characterized by a multiple case study strategy, since this provides insight into ‘a
contemporary phenomenon within its real life context, especially when the boundaries between a
phenomenon and the context are not clearly evident’. Moreover, multiple case study is particularly
suitable to answer how and why research questions (Yin, 1994). Taking into account that
standardization is a complex process, in which numerous organizations and associations are involved
and influence each other, and which also differs per country, multiple case study is an appropriate
approach. Moreover, case study research is especially applicable in new topic areas and focuses on
‘understanding the dynamics present within single settings’ (Eisenhardt, 1989). Hence, by a multiple
case study a better understanding of the standardization processes in developing countries can be
gained. This research paper is exploratory in nature and characterized by a qualitative research
approach. Qualitative research offers understanding of complex issues in which various stakeholders
with different interests and perceptions are involved (Skinner et al., 2000).
A few developing countries in Asia which are expected to be different in terms of standardization
regime serve as case study and will be analyzed in depth, including China, Thailand, the Philippines,
Vietnam and Indonesia. First the institutional context in the countries involved will be briefly
discussed, mainly focused on the policy and regulatory institutions related to energy efficiency and
lighting. The institutional overview on a country level will be followed by a stakeholder analysis to
analyze the institutional and industry actors that influence the standardization process of LED lighting
in developing countries and Asia. After analyzing both the institutional context and the results of
the stakeholder analysis, a standardization regime will be developed by analyzing what the most
important drivers are of the standardization process of LED in that particular country: the
industry, the government, or international organizations.
The stakeholder analysis will be done according to stakeholder theory of De Vries (2003). In order to
evaluate the power, legitimacy and urgency of each stakeholder, first desk research will be
conducted. Websites, news articles, events, conferences, forums and platforms will be analyzed to
gain insight in the role of each stakeholder and to look how they interact with each other. To
evaluate the three attributes, questions derived from research of De Vries (2003) will be used. In
order to evaluate power, the question “Has the stakeholder the resources to affect the
standardization process or the success of the resulting standards?” is relevant. Resources include
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Master Thesis
time available, financial position, technical expertise and/or the position in network of firms and
organizations to which the standard applies. Since almost every stakeholder is formally legitimate,
only perceived legitimacy will be taken into account. The question “do the other stakeholders accept
or support the participation of this stakeholder in the process?” is relevant here. To evaluate urgency
the answer to the question “Has the stakeholder been active in pursuing his goals regarding this
standardization issue?” is relevant. This desk research was complemented with interviews with key
stakeholders in August and September 2011 during my internship at Philips Singapore.
In terms of the generalizability of this study, the case study approach makes it rather difficult to
generalize the findings to different contexts. However, according to Yin (2003) research findings
should not be generalized to other case examples, but to theory. With respect of the validity of the
results it is important to rely on triangulation by applying more than one method of data collection
during the research (Barbour, 2001). This research paper uses multiple sources within one
methodological approach, which is also called within-method triangulation (Hurmerinta-Peltomäki &
Nummela, 2004).
Case studies typically combine several data collection methods (Eisenhardt, 1989). This research
consists of both primary and secondary data. Secondary data were gathered from academic
publications, books, reports and websites. The literature review and desk research are
complemented with in-depth interviews with relevant stakeholders in the countries involved, as
interviews are a highly efficient way to collect rich, empirical data (Eisenhardt & Graebner, 2007). My
internship at Philips Shanghai and Singapore provided me with the opportunity to collect these
primary data. The interviews were semi-structured and were conducted mainly via telephone (see
appendix 1). The questions for the interviews are based on stakeholder theory of de Vries (2003) and
aim to complement the desk research. The interviews contribute to the analysis of the power,
legitimacy and urgency of each stakeholder. The questionnaire addressed such questions as: What
are the current activities of your organization related to the standardization of LED? What are the
most important organizations involved in developing standards for LED in your country? Does your
organization control resources needed for the standardization process (time, financial, technical,
position in network)? For further elaboration on the basis for each specific question see appendix 1.
In total 9 stakeholders were interviewed, representing various perspectives and areas of expertise in
the field of the standardization process of LED.
Besides the primary data collected from the interviews, attending the Singapore Lighting Energy
Efficiency Week held from November 1 until November 4 in Singapore, gave me the opportunity to
gather more primary data and fine-tune my thesis. During this event, sponsored by APEC and the
Australian Government and supported by Asia Lighting Compact, a wide range of stakeholders from
all over the world came to Singapore to discuss the latest issues on the standardization of LED
lighting in the Asian region (see appendix 2 for the program). It was a unique opportunity to meet
most of the stakeholders I had interviewed over the telephone.
3.2 Case selection

Based on the theory of standardization regimes, cases have been selected for this study. A few
developing countries in Asia which are expected to be different in terms of standardization regime
serve as case study and will be analyzed in depth, including China, Thailand, the Philippines, Vietnam
and Indonesia. China is an example of a single-party state governed by the Communist Party of China
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Master Thesis
and far ahead in terms of the standardization of LED. It has a lot of manufacturing interest. Vietnam
is a single-party socialist state led by the Communist Party of Vietnam, but it is far behind in terms of
standardization of LED. Thailand is an example of a country in which international organizations are
driving the standardization process, while in the Philippines the government is the main driver. In
both countries a number of efforts for the standardization of LED are going on. Thailand and the
Philippines both made the transition to democratic rule, but remain unstable in terms of democracy.
The Philippines is suffering from state weakness. Indonesia is far behind in terms of standard setting.
Indonesia also made the transition to democratic rule and is an example of a relatively stable
democracy with a decentralized and autonomous system of local government (Haggard, 2004).
21
Master Thesis
4 Results
In this chapter the research findings will be presented. Before discussing the stakeholders in China,
the Philippines, Indonesia, Vietnam and Thailand, international and regional stakeholders will be
identified to show their involvement in the standardization of LED in Asia. The literature review in
section 2.1 showed that standardization has become increasingly important at an international scale.
Especially the regional level is becoming more important (De Vries, 2008), for instance Europe or Asia.
Therefore, in section 4.1 first the international and regional stakeholders will be discussed separately
on a more general level for the Asian region, meaning that these organizations all play a role in the
countries involved in this research. However, instead of mentioning each organization repetitively in
each section on a country level, all organizations will be introduced together in section 4.1. The
involvement of international organizations per country will follow in the sections on a country level.
4.1 International and regional stakeholders

4.1.1 Stakeholder identification
The identification of the stakeholders of the standardization of LED will be done according to the
method for stakeholder identification and classification for standardization processes of De Vries
(2003) as introduced in chapter 2 and 3. Important to note is that the analysis will be on an
institutional and industry level. Hence, some stakeholder groups are excluded from the analysis.
Production chain
Within the product chain of LED, distributors, manufacturers, and large purchasers are the main
stakeholders. Countries in which LED is manufactured include China, Korea, Taiwan, Singapore, and
Japan. Big global companies such as Philips, GE and Osram, quality regional manufacturers and small
scale workshops are major stakeholders. Large purchasers include major retailers such as Tesco,
Walmart, Ikea and Carrefour. The product chain will be further discussed in section 4.2 about China.
End users
Regarding the standard for LED lighting, end users are stakeholders that are involved in the
implementation and use of the specifications of the standard. On an international and global level
relevant stakeholders include international standard setting institutes.
Table 4.1: International standard setting institutes
Stakeholder Type Aim Size Since Members Financial Interaction Extra info
sources
The non- To develop leading 1906 81 National Funded by With national Has developed IEC
International profit, International global Committees members standardization LED standards;
Electrotechni non- Standards organi hip fees, bodies around the
governm and operate zation income world IEC opened its
cal
ental conformity in its from new Asia Pacific
Commission internati assessment field sales, Regional Centre in
(IEC) onal systems in income Singapore in
standard the fields of from 2002, which
s electro certificatio received strong
organizat technology. n activities support from the
ion WTO.
Sources: IEC, 2011.
22
Master Thesis
Regulators
For the standardization of LED, policy makers on both international and global level play a role.
International and regional institutions are important stakeholders who influence the standardization
process.
Table 4.2: International and regional institutions and related organizations
Stakeholder Type Aim Size Since Financial Interaction Extra info

sources
World Bank International offer financial owned by 187 1944 selling bonds, works o.a. with the The Energy Sector
financial and technical member loans Asian Development Management
institution support to countries Bank, USAID Assistance
developing Programme (ESMAP)
countries and is a global knowledge
aims to reduce and technical
poverty and assistance program
help people by part of the World
providing Bank, which aims to
resources, support developing
sharing countries to enhance
knowledge, knowledge and
building institutional capacity
capacity and to achieve
establishing environmentally
partnerships in sustainable solutions
the public and for poverty
private sectors. reduction and
economic growth. It
offers special
programs on energy
efficient lighting.
Asian multilateral fight poverty in 67 members - 1966 bond issues, It's 'Lighting for all' Has funded energy
Development development Asia and the of which 48 are members' program is in efficient lighting
Bank bank Pacific region; from within contributions, cooperation with project in the
focus on Asia and the retained o.a. Philips Philippines (CFL).
inclusive Pacific and 19 earnings from Lighting;
economic outside. our lending partnership with 'Lighting for all
growth, operations, The Clean Energy initiative': aimed at
environmentally and the Financing providing clean,
sustainable repayment of Partnership Facility affordable, and
growth, and loan (CEFPF) for e.g. reliable lighting
regional energy efficient solutions for 50
integration street lighting million people across
the Asia and the
Pacific region by
2015.
Asia Lighting Independent, To mitigate 19 members: 2009 Major source Current members: Already worked on
Compact non-profit climate change National of funding Amka Lighting; harmonization of CFL
(ALC) by improving lighting comes from APERLINDO in Asia;
the quality of associations in sponsors (Indonesian
lighting Asia, lighting Express Delivery Now working on the
products and manufacturers Companies' standardization and
encouraging the worldwide, and Association); harmonization of
adoption of government Bureau of Energy LED in Asia;
energy-efficient agencies; Efficiency India;
lighting in Asia members from Bureau of Indian Has a LED workgroup
Indonesia, Standards, India;
Australia, India, Council of
Thailand, Engineers,
China, Pakistan; Carbon
Singapore, Futures; CE
Philippines Lighting; DCCEE
(Department of
Energy Efficiency
and Climate
Control Australia);
Danson Electronics;
23
Master Thesis
Department of
Energy, Philippines;
ELCOMA (Electric
Lamp and
Component
Manufacturers
Association of
India); Electricity
Generating
Authority of
Thailand, Thailand;
General Electric; In
Consultants; NVC
Lighting
Technology
Corporation;
Philips; PLIA
(Philippines
Lighting Industry
Association); UL
(Underwriters
Laboratories);
Zhejiang Yankon
Group Co., Ltd.
En.lighten partnership to assist partnership 2009 Funding partnership under guidance of
initiative of /program interested between UNEP, comes from UNDP, UNIDO, the
United developing and OSRAM GmbH the United World Bank
emerging and Philips Nations
Nations
countries to Lighting, with
Environment initiate and the support of
Programme implement the Global
(UNEP) effectively their Environment
own market Facility (GEF)
transformation Earth Fund.
programmes
towards
efficient
lighting.
Sources: World Bank, 2011; ADB, 2011; ALC, 2011; En.lighten, 2011
Representative organizations
Relevant organizations for LED that serve the interests of their members include international
lighting associations.
Table 4.3: International and regional lighting associations and related organizations
sources
Global forum of Promoting the represe 2007 represente Unknown Represented by: Developed LED
Lighting peak use of nting d in various Abilux (Brazil); China standards for LED in
Forum (GLF) industry sustainable, over regions by Association of Lighting Europe;
lighting energy efficient 5,000 the Industry – CALI;
organisati lighting solutions lighting regional Electric Lamp and LED working group is
ons from while manufa association Component part of GLF;
around maintaining and cturers s Manufacturers
the world improving the Association – ELCOMA GLF assists with
quality of (India); European international
lighting. Uniting Lamp Companies standards
leading national Federation – ELC; development and
and regional Japan Electric Lamp encourages the
industry Manufacturers harmonisation of
associations for Association – JELMA; standards in different
lighting Japan Luminaires regions of the world.
technology. Association – JLA;
24
Master Thesis
Lighting Council
Australia – LCA;
National Electrical
Manufacturers
Association – NEMA
(US); Taiwan Lighting
Fixture Export
Association – TLFEA;
CELMA (Europe) –
observer
Internationa not-for- Promote the 5 initial 2010 found by 5 unknown Initial members -
l Solid State profit development membe initial consist of China Solid
Lighting Non- and application rs members State Lighting Alliance
Governm of the global (CSA), Korea
Alliance
ent solid lighting Association for
(ISA) Organizati industry. Photonics Industry
on Development (KAPID),
Illuminating
Engineering Society of
Australia and New
Zealand (IESANZ),
Optoelectronics
Industry Development
(OIDA) Association,
and Taiwan
Optoelectronics
Semiconductor
Industry Association
(TOSIA)
Lux Pacifica associatio a quadrennial 12 1989 lighting Unknown with all the lighting -
n of conference lighting societies of associations involved
lighting supported by the societie India,
societies national lighting s China,
societies, Japan,
characterized by Thailand,
a conscious Russia,
effort to Australia,
promote good New
lighting design, Zealand,
as well as the Canada,
development USA, South
and Africa,
improvement of Mexico and
lighting Hong Kong
technologies.
Internationa volunteer represents 11- 1969 independe volunteer Lighting Industry IALD's energy &
l Association associatio independent, membe nt, association Resource Council sustainability
of Lighting n professional r board professiona (LIRC) is affiliate of committee addresses
lighting of l lighting IALD lighting-related
Designers
designers; strives directo designers aspects of sustainable
(IALD) to set the global rs; over design and operations
standard for 700 of the built
lighting design lighting environment.
excellence by designe
promoting the rs
advancement around
and recognition the
of professional world
lighting
designers.
Professional voluntary increase the 3 1994 lighting sponsored sponsored by o.a. Supported the
Lighting federatio reputation of the interna designers Philips Philippine Lighting
Designers' n of profession and tional Conference (PLC), a
lighting to establish the offices nationwide
Association
designers profession as around conference which is
(PLDA) and such in its own the focused on
lighting right world; responsible lighting
consultan over design practice,
ts who 600 products, and,
25
Master Thesis
are active membe standards.

on an rs The mission of PLC is
internatio worldw to link the local
nal scale ide lighting industry
together and create a
theoretical and
practical thinking
platform of lighting
standards in the
Philippines.
Efficient non-profit transparent and has 2000 key clients originally collaborated with the currently promoting
Lighting organizati simple large including funded by Philippines voluntary technical
Initiative on mechanism for testing utilities, the Global Department of Energy specifications for LED
certifying the networ governmen Environme (DOE) and the Products
(ELI)
quality and k t agencies, nt Facility Development Bank of
efficiency of worldw bulk (GEF), and the Philippines (DBP);
lighting products ide purchasers administer
sold worldwide ed by the
Internation
al Finance
Corporatio
n (IFC)
Lites.Asia forum/ne Lighting unkno 2009 Representa Supported Department of series of lighting
twork Information and wn tives from by the Climate Change and meetings in Asia
Technical Australia, governmen Energy Efficiency
Exchange for China, ts of Australia, EcoAsia,
Standards: India, Australia Lighting Council
initiative to Indonesia, and the Australia, National
enhance the Philippines, United Measurement
involvement of Sri Lanka, States of Institute Australia,
Asian/APEC Thailand America as Asia
countries to and part of the Pacific
adopt IEC Vietnam APP (Asia- Laboratory
standards. Pacific Accreditation
Partnership Cooperation
) on Clean
Developme
nt and
Climate.
SEMI global serves the engage 1970 manufactur membershi mainly within the Primary activities
industry manufacturing d in ers of p fees, manufacturing supply include o.a. SEMI
associatio supply chain for major semicondu selling chain International
n micro- and nano- manufa ctor standards, Standards program;
electronics, such cturing devices training,
as LED region events has high-brightness
o.a. (HB) LED Standards
China, Committee for
India, developing
Singap manufacturing
ore standards;
organizes SEMI LED

Events
Regional Regional Advancing unkno 2010 Funded by established recently Established first LED
Centre for Centre for sustainable wn USAID within the Sri Lanka testing lab in South
Lighting Lighting lighting and Sustainable Energy Asia
making it Authority (SLSEA) with
(RCL)
affordable in assistance from
South Asia to the South Asia
improve the Regional Initiative for
wellbeing of Energy, funded by
citizens and the USAID. The knowledge
countries within partner is Lighting
the region Research Centre (LRC),
which is a part
of Rensselaer
Polytechnic
26
Master Thesis
Institute of USA.
Sources: GLF, 2011; Lux Pacifica, 2011; IALD, 2011; PLDA, 2011; ELI, 2011; Lites.Asia, 2011; En.Lighten, 2011;
SEMI, 2011; RCL, 2011.
4.1.2 Stakeholder analysis

After the identification of the stakeholders in section 4.1.1, now the relevant stakeholders will be
classified according to the method for stakeholder identification and classification for standardization
processes of De Vries (2003) as introduced in chapter 2.
Table 4.4: Stakeholder analysis international and regional level
Stakeholder Power Legitimacy Urgency Classification

Time Financial Technical Position in Total
available position expertise network (%)
The Y Y Y Y 100%: P L U Definitive
International
Electrotechnical
Commission
(IEC)
World Bank Y Y - Y 75%: P L - Dominant
Asian Y Y - Y 75%: P L - Dominant

Development
Bank
Asia Lighting Y - Y Y 75%: P L U Definitive

Compact (ALC)
En.lighten Y Y Y Y 100%: P L U Definitive
Global Lighting Y Y Y Y 100%: P L U Definitive

Forum (GLF)
International - - Y Y 50%:- L - Discretionary

Solid State
Lighting
Alliance (ISA)
Lux Pacifica - - Y Y 50%: - L - Discretionary
International - - Y - 25%: - L - Discretionary

Association of
Lighting
Designers
(IALD)
Professional Y - Y - 50%:- L - Discretionary

Lighting
Designers'
Association
(PLDA)
Efficient Y - Y Y 75%: P L U Definitive

Lighting
Initiative (ELI)
Lites.Asia Y Y Y Y 100%: P L U Definitive
27
Master Thesis
SEMI - - Y Y 50%: - L - Discretionary
Regional Centre Y Y Y Y 100%: P L U Definitive

for Lighting
(RCL)
4.1.3 Discussion
The International Electrotechnical Commission (IEC) is the main international standard setting
institute involved in developing International Standards for LED lighting products. Standards for LEDs
are developed based on existing IEC standards by the national standard setting institutions in the
Asian countries involved. So relevant parts of the IEC standards are selected and used as national
standard. The IEC opened its new Asia Pacific Regional Centre in Singapore in 2002, which shows the
involvement and interest of IEC in the Asian region (IEC, 2011).
Another major stakeholder on an international level is the Global Lighting Forum (GLF). GLF, a forum
of peak industry lighting organizations from around the world representing over 5,000 lighting
manufacturers, assists with the development of international standards and encourages the
harmonization of standards in different regions of the world. Lighting associations from China, India
and Japan are for instance member of GLF (GLF, 2011). Mr. Jürgen Sturm, Secretary General of the
Global Lighting Forum, and Secretary General of European Lamp Companies Federation explains that
the main focus of the GLF is to serve as a forum for information exchange where the stakeholders
involved update each other on standardization processes in different regions. Its LED working group,
which consists of representatives from lamp associations, industry and manufacturers, is involved in
aligning regional activities related to the standardization of LED and collecting information. They are
now working on a recommendation towards standardization bodies regarding the need of the
industry for additional standards, which will be finalized at the end of 2011. This group has an
observer role and is not involved in developing standards (Sturm, 2011).
Mr. Sturm emphasizes that close cooperation between standardization bodies is needed to align
their scientific and technical expertise to GLF’s market expertise and consumer relation expertise.
This would be a step forward in terms of coming to standardization with added value. However, this
should be rapidly done, because especially the LED development can be so accelerating that the GLF
expects difficulties if the standardization process is not after that speed. Mr. Sturm also states that
the GLF is sensitive to initiatives which would result in local or regional standardization, because
according to the GLF standardization should be globalized since the business and the market are
global (Sturm, 2011).
Within the Asian region Asia Lighting Compact (ALC), Lites.Asia, the En.lighten initiative of the United
Nations Environment Programme (UNEP), the Efficient Lighting Initiative (ELI), and the Regional
Centre for Lighting (RCL) are main organizations to enhance the standardization of LED and its
harmonization within the Asian region. ALC is currently working on the standardization and
harmonization of quality and energy-efficiency standards of LED in the Asian region. ALC’s LED
committee consists of members of various energy efficiency regulatory bodies within Asia. ALC aims
to develop a suitable 3 tier quality system for LED’s (good, better and best) along the same lines as
they did for CFL’s. This tier system ensures that minimum performance standards are taken into
account. Since not all Asian countries have the same needs in terms of quality and have the same
price sensitivity, this system enables that Asian countries can opt for standards that meet their
specific requirements. In addition, ALC is working on LED product registry to report and track LED’s
28
Master Thesis
that have been verified to meet guidelines for quality and efficiency. ALC is involved with a wide
range of stakeholders such as governmental agencies, manufacturers, standardization bodies and
lighting association (ALC, 2011). Lites.Asia, an initiative to enhance the involvement of Asian
countries to adopt IEC standards, organizes lighting meetings in Asia to exchange lighting information
and technical exchange for standards (Lites.Asia, 2011). The En.lighten initiative aims to support
developing and emerging countries to accelerate market transformation towards efficient lighting
technologies. It is developing guidelines for harmonization efforts on global quality, performance-
based standards and certification procedures for energy-efficient lighting products. Both En.lighten
and Lites.Asia are mainly influencing the standard setting process from a political perspective and
targeting governmental agencies (En.lighten, 2011). ELI, an international program for certifying the
quality and efficiency of lighting products is currently promoting voluntary technical specifications for
LED Products. ELI has been active in the Philippines for example (ELI, 2011). RCL aims to increase the
awareness of energy efficient lighting and to make it more affordable for citizens. In addition, it is
establishing the first LED testing lab in South Asia (RCL, 2011).
One of the major obstacles for the standardization of LED in Asia is the lack of LED testing
laboratories. Of the five countries involved, only China is able to test LED lighting products. Currently
China has five well-equipped LED testing labs and four more testing laboratories will be established
in the near future (see appendix 3).
Both the Asian Development Bank and the World Bank play a role by providing funding for energy
efficient lighting projects in the Asian Region. In the past they sponsored for instance rural
electrification projects.
4.2 China
Each country level analysis will consist of a brief institutional overview in which the institutional
context in the countries involved in terms of the development of the policy and regulatory
institutions related to the energy sector will be discussed, especially focused on energy efficiency
and lighting. Criteria for this section include form of government, policy and regulatory framework
for energy efficiency and energy efficient lighting, governmental agencies in the energy sector, major
institutional barriers for policies regulation and standardization, and governmental Initiatives and
projects to promote energy efficient lighting. After the institutional overview stakeholder
identification and analysis will be done according to the stakeholder method of De Vries (2003),
which will be followed by a discussion in which the role and influence of the stakeholders will be
further discussed. The country level analysis will be concluded with a standardization regime.
This regime will be developed by analyzing who the most important drivers of the
standardization process of LED in that particular country are: the industry, the government, or
international organizations. Moreover, main findings of the institutional overview will be linked
with the regime. In this way institutional theory and stakeholder theory will be integrated to
provide insight in the main drivers of the standardization process of LED. The findings on a
country level will be followed by a comparative discussion and a comparative analysis of the
standardization regimes across countries.
4.2.1 Institutional overview

As a result of Asia’s strong economic growth, Asia has already become the largest market in both the
total general lighting market and LED general lighting market. Within Asia, China is taking the lead
29
Master Thesis
with an estimated general lighting market of EUR 13 billion by 2016 and a LED general lighting
market of EUR 11 billion by 2020. Due to its large economic size and rapid economic growth China
plays a significant role in Asia (McKinsey & Company, 2011).
Along with China’s rapid economic growth of the past decades and its evolving into an industrial
power, China is facing a continuously increasing energy demand and environmental deterioration.
The Chinese government has realized that environmental protection industries are essential to
achieve rapid development of its economy (USAID, 2011). China has huge potential for clean energy
development en energy efficiency. China’s 12th Five Year Plan for 2011-2015 is focused on the
development of energy-saving and environmental industries, thereby addressing both economic
growth and energy consumption. Taking into account that China’s LED industry is still in its initial
phase of development, this will considerably boost China’s LED industry, one of China’s strategic
emerging industries (Lin, 2011).
Being a single-party state governed by the Communist Party of China, the government plays a
powerful role in China’s economy and strongly controls China’s strategic industries. Comprehensive
commissions are responsible for overseeing the economy, which shows China’s party-state control
over the economy. The National Development and Reform Commission (NDRC), one of China’s
comprehensive commissions, makes basic decisions as to which industries should receive major
investment from the government (Pearson, 2005). The NDRC is the leading governmental agency in
the energy sector in China and is responsible for the formulation of China’s national energy policy
and the development of strategies and policies related to energy conservation and climate change.
However, lack of enforcement of policies and regulations is currently a major barrier, resulting in
ineffective compulsory energy saving standards and other regulations. Enforcing energy policies and
laws requires technical standards that are formulated and implemented. In addition, at both the local
and the national levels, the Chinese government needs substantial training assistance in terms of
capacity building in for example renewable energy technologies and policy consultancy (USAID,
2007d).
Policies on both national and local government level are in place to promote the LED industry to
secure its healthy development, such as ‘Advises on the Development of Semiconductor Illumination
Industry’ published on 12 October 2009, and ‘Notices for Applying Demo Projects of Semiconductor
Lighting Products’ issued in 2010 (USAID, 2011). These policies promote the development of the
semiconductor industry and green lighting projects. The Chinese government strongly supports the
installation of outdoor LED lighting in particular (McKinsey & Company, 2011). Local governments
have also established several policies to promote the illumination industry, varying from financial
support for technical research, subsidies for essential equipment, and subsidies for application of the
products (USAID, 2011). However, local governments still intensely support CFL, which is lower
priced than LED (McKinsey & Company, 2011). Important to note is that significant differences exist
between local governments in terms of policy implementation. In areas with capable energy
efficiency agencies that promote energy efficient lighting, major achievements have been made.
However, other local governments, especially in local areas, lack capacity to promote energy efficient
lighting and do not have specially trained staff (UNDP/GEF, 2009). In addition, support is needed for
compliance activities with local governments who have the mandate but lack the capacity to
collaborate with manufacturers and relevant stakeholders to develop new standards and test
procedures (USAID, 2007d).
30
Master Thesis
The most prominent initiative to promote energy efficient lighting is the ‘Phasing-out of Incandescent
Lamps and Energy Saving Lamp Promotion Project’ (PILESLAMP) project (2008-2012) (En. Lighten,
2011). The Chinese government, in collaboration with UNDP and GEF, launched the PILESLAMP
project, which aims to enable the phase-out of the production and use of inefficient lighting in China
and the promotion of energy efficient light sources (PILESLAMP, 2011).
According to Mr. My K. Ton - Team Leader, Energy Efficient Lighting, for the ECO-Asia Clean
Development and Climate Program (ECO-Asia CDCP) China has a good standardization process,
including market testing and market surveillance, for which they go out and collect products from
manufacturers and test them to establish the baseline. After that they chart them, and calculate the
national average. However, although the Chinese process is a good idea in principle, it is flawed in its
execution. They sometimes collect the product and let the manufacturers know that they are on
their way to collect the product, which allows the manufacturers some warning that they know their
products are being collected and tested (Ton, 2011).
4.2.2 Stakeholder identification China

The identification of the stakeholders of the standardization of LED will now be conducted per
country following the relevant stakeholder groups already identified in section 4.1.
Production chain
The global LED industry can be divided into three bases: Asia, North America, and Europe. LED
manufacturing is dominated by Asian countries, with already 90% of the capacity located in Taiwan,
Korea, China and Japan (Salis, 2011). Since 2002, when China was still importing all of its LED chips,
China has shown a dramatic increase of its LED production (Stevenson, 2009). As a result of the rapid
growth of China’s LED market driven by the Chinese government, China has now already become the
biggest export and production country of solar LED and landscape lights and is the leading
manufacturing country of lighting products in the world. Currently there are about 4000 enterprises
working in China’s LED industry, which is scaling up rapidly in terms of size. LEDs are extensively used
across China for road lighting and indoor lighting (USAID, 2011). A variety of manufacturing
categories exists, such as LED chip manufacturers (around 10), LED driver manufacturers,
manufacturers focused on assembling, and packaging plants (Sujendan, 2011). There are about 1,000
packaging plants in China.
LED manufacturers can be divided into big global manufacturers, quality regional manufacturers and
small scale workshops. The big global manufacturers are represented by global giants from Japan,
Europe and the U.S. such as NICHIA, TOYODA GOSEI, LUMILEDS, CREE, and OSRAM. These leading
global enterprises manufacture high-class LEDs, own core technology patents, and have many years
of experience in the LED industry (Salis, 2011). They mainly focus on the high-end market (USAID,
2011).
An example of a quality regional manufacturer in China is Danson Electronics, a multimillion dollar

company that is producing high quality lamps, such as LED and CFLs, mainly for the Australian market.
The company holds several patents and is focused on product quality and reliability (Danson, 2011).
The company shares its technical knowledge with international organizations such as Asia Lighting
Compact (ALC) and Lites.Asia, thereby showing its commitment to promote energy efficient lighting
in Asia. According to Mr. T. Sujendan, Managing Director of Danson Electronics PTY LTD, most of the
31
Master Thesis
manufacturers in China are very interested in the standardization process of LEDs. Nonetheless, not
many of them are engaged in this process, because they are not always aware of the standards.
Hence, they manufacture inferior quality products. However, not only small manufacturers produce
inferior quality lamps, even the big companies do, which came to light after collecting and testing
lamps from the market (Sujendan, 2011).
The small scale workshops are scattered and generally of low level technology. The LEDs
manufactured possess backward technology and are mainly used for outdoor landscape, decoration
and advertisement (Salis, 2011). These manufacturers are competitive in red, green and blue color
LED chips, and lack competence in the production of white-LED components (Goldman Sachs, 2011).
The performance of these LED products still lags behind that of the leading global manufacturers
(Stevenson, 2009). Reason is that Chinese LED packaging companies are very limited in terms of
capacity on research and development (USAID, 2011). Competition among the local players is fierce
within the China market (GIA, 2011). These enterprises compete in the middle and lower-middle end
markets (USAID, 2011).
According to Stuart Jeffcott, independent consultant, the industry is playing a self-interest role.
Everyone is pushing their own technology and performance criteria constantly, and there is no real
strong independent group yet. The process is not driven by what is the best way to move forward
now, but by whoever is involved in their technology (Jeffcott, 2011).
National standard Setting Institute
Table 4.5: National Standard Setting Institute

sources
Standardiza Chinese takes part Consists of 2001 Funded by Represents China for the member of IEC technical
tion National in several various the IEC; administrated by commission lamps and
Administrati Standard standards- department government the General related equipment (34
Body related s; most Administration of 34A), involved in preparing
on of the
activities relevant Quality Supervision, international standards
P.R.C. (SAC) one: Inspection and regarding specifications for
Department Quarantine (AQSIQ) o.a. lamps (including
of Service LED's).
Industry
Standards National Technical
(responsible Committee 224 on Lighting
for light
industry)
China non-profit provide all- Covers 1990 Funded by Affiliated with AQSIQ Has developed energy
National national round various the efficiency standards for CFL
Institute of research support in research government and is planning to develop
body standardiza areas standards for LED lamps.
Standardiza
engaging in tion;
tion (CNIS) standardizat responsible
ion research for national
energy
efficiency
standards
developme
nt,
primarily
for
products.
China Quasi- Energy and 52 fulltime 1988 Funded by Subordinate of CNIS; Participated in
Standard government environme staff; 6 the Responsible for ELI, International CFL
Certification al agency: nt research branches in government global labeling program Harmonization Initiative;
founded different for lighting products
32
Master Thesis
Center and owned provinces Operates ELI Quality

by the Chinese executive body Certification Institute
government for the Barrier Removal which promotes voluntary
, but acts as To The Cost-Effective technical specifications for
a non-profit Development And energy efficient lighting,
independen Implementation Of including LED
t third party Energy Efficiency
certification Standards And Labeling
body Project In Asia (BRESL)
project
Source: SAC, 2011; CNIS, 2011; SCS, 2011.
National Utility
Table 4.6: National utility

sources
State Grid Government- provide safe, the largest utility in 2002 SOE Sino-Philippine Has DSM programs for
Corporation owned economical, the world; service area power energy efficient lighting
of China enterprise clean and represents 88% of the cooperation for technology
sustainable national territory, power grid
electric power supported by more development in
for social and than 1,500,000 the Philippines
economic employees to serve a
development population of over one
billion
China Government- Power Supplies the other 22% 2002 SOE Has DSM programs for
Southern owned generation of China energy efficient lighting
Power Grid enterprise electricity technology
distribution
Sources: SGCC, 2011; CSG, 2011.
Regulators
Table 4.7: Energy efficiency body
sources
National Manage study and Consists of 26 2003 Funded by green lighting Provides subsidies for end-
Developme ment formulate functional the program has won users to purchase energy
nt Reform agency policies for departments/b government support from the efficient CFLs.
under economic and ureaus/offices; United Nation's
Commission
the social Most relevant Development NDRC launched a LED
(NDRC) Chinese development, departments: Program and luminaire development
State maintain the Department of Global program in the second half of
Council balance of Environment Environment 2010 for which they will
economic and Resource Facility (GEF) support 20 demonstrative
development, Conservation projects for indoor lighting
and to guide and applications and 15 each for
restructuring of Department of street lamps and tunnel
China's Climate Change, lamps across the country.
economic and the Energy
system Research
Institute
China Ministry drawing up Consists of 12 1998 Funded by Initiated the program of ten
Ministry of which Science and departments the cities with 10,000 lights
Science and coordinat Technology and offices government separately for which the
es development ministry chose 10 cities to
Technology
science plans and spread the application of
(MOST) and policies, over 10,000 LED functional
technolo drafting related lights in each city.
gy laws,
activities regulations and Encouraging the growth of
in the department the LED market
country. rules, and
guaranteeing Operates testing lab for LED
33
Master Thesis
the
implementation
.
Ministry of State formulate Consists of 2008 Funded by Established a Technical
Industry agency development various the Standard Working Group on
and strategies, departments government Semiconductor Lighting.
guidelines,
Information
policies and
Technology overall plans of
(MIIT) the information
industry with a
view to
invigorating the
manufacturing
industry of
electronic and
IT products
Sources: NDRC, 2011; China Daily, 2009; MOST, 2011; USAID, 2011; MIIT, 2011.
Table 4.8: Lighting associations and other relevant representative organizations
sources
China Regional Communicate CALI 1989 More than Membershi One of the Directly influences China’s
Association association; between has 1000 p fees, regional national standards (GB)
of Lighting voluntary enterprises, seven members sponsors associations of
community industries, profess GLF. Involved in the Phasing-
Industries
group enterprises and ional out of Incandescent Lamps
(CALI) composed government’s commi Cooperates with and
of lighting relations, ttees NDRC, UNDP, GEF Energy Saving Lamp
industry coordinate Promotion Project
enterprises lighting (PILESLAMP) project
and industry’s
institutions interests,
. safeguard the
legitimate
rights and
interests of its
members, and
protect the
industry’s
overall
interests.
China official aims at uniting Under 1987 has 404 Membershi CIES joined the
Illuminating lighting and organizing CIES organizatio p fees, CIE
Engineering industry its members there n members sponsors
association and numerous are 6
Society,
for China experts and workin
(CIES) professionals of g
lighting science commi
and technology ttees
to unfold an and 11
active academic speciali
exchanges, zed
taking care of divisio
and ns
safeguarding
their lawful
rights and
interests, and
making
contributions to
prosperity and
development of
China’s lighting
cause
34
Master Thesis
China Solid membershi developing 3 2004 currently Membershi plays a leading CSA also provides
State Lighting p society of technology and perma has 117 p fees, role of building up assistances for foundation
Alliance solid state industrialization nent members sponsors a channel of standards, assessments
lighting of China SSL workin from across between and quality testing
(CSA)
industry through g Hong Kong government systems, helping its
“collaboration, groups and Main- departments and members in self-value
win-win, includi land China the industry realization therefore
innovation and ng upgrading the
development” Standa competitiveness of the
rdizatio whole Chinese SSL industry
n, IP
Pools
and
Cross-
Strait
Sources: CALI, 2011; CIES, 2011; CSA, 2011; LEDs Magazine, 2010.

After the identification of the stakeholders, now the relevant stakeholders will be classified.
Table 4.9: Stakeholder analysis China

Standardization Y Y Y Y 100%: L U Definitive
Administration P
of the P.R.C.
(SAC)
China National Y Y Y Y 100%: L U Definitive
Institute of P
Standardization
(CNIS)
China Standard Y Y Y Y 100%: L U Definitive
Certification P
Center
State Grid - Y - Y 50%: - L - Discretionary
Corporation of
China
China Southern - Y - Y 50%: - L - Discretionary

Power Grid
National Y Y Y Y 100%: L U Definitive
Development P
Reform
Commission
(NDRC)
China Ministry Y Y Y Y 100%: L U Definitive
of Science and P
Technology
(MOST)
Ministry of Y Y Y Y 100%: L U Definitive
Industry and P
Information
Technology
China Y Y Y Y 100%: L U Definitive
Association of P
Lighting
Industries
(CALI)
China Y - Y Y 75%: P L - Dominant

Illuminating
35
Master Thesis
Engineering
Society
(CIES)
China Solid Y - Y Y 75%: P L U Definitive

State Lighting
Alliance (CSA)
4.2.4 Discussion
According to Mr. Ton China is very far ahead in terms of its standardization of LED and has spent a lot
of effort and time in it. Up to a few years ago China was mainly focused on assembly, meaning that
they buy products and assemble it in China. Now they move to more advanced production where
they try to make the LED chips themselves. During this process they realized that they need to
improve their standardization efforts. By now China is one of the few countries that is spending
significant resources on standards development (Ton, 2011).
The Standardization Administration of China (SAC), the Chinese National Standard Body, is in charge
of standardization activities across china. National Technical Committee 224 on Lighting, part of SAC,
is responsible for research on standardization of lighting sources and related equipment, and for
developing national and industrial standards. The committee consists of four sub-committees
including one for lighting sources and devices, luminaries, testing and illuminations basis (USAID,
2011). Between 2008 and 2010 TC 224 issued eleven LED lighting standards and one industrial
standard. Existing standards for LED are focused on general lighting, road lighting and decorative
lighting and mainly include safety specifications, performance specifications and performance
requirements (see appendix 4). In addition, the technical committee is currently developing one LED
national standard. It will most likely adopt the IEC standard (USAID, 2011). Mr. Sujendan expects that
China will issue the mandatory standards for LED in 2012. Although several standards for LED already
exist, Stuart Jeffcott, independent consultant, questions how good these standards are. Since they
were developed some time ago, and the technology has moved on significantly since then. He points
out that current performance specifications for LEDs are used by the government for procurement.
The Chinese government has spent hundreds of millions of dollars over the last few years supporting
procurement activities. LED got their first subsidy in 2008/2009 in very small numbers. Last year they
received about 30 million dollars from the National Development Reform Commission (NDRC) and
they also received huge subsidies from the Ministry of Science and Technology (MOST) (Jeffcott,
2011).
Besides SAC, China National Institute of Standardization (CNIS) and China Standard Certification
Center (CSC) are important institutions involved in creating standards for end-use equipment. CNIS is
responsible for the development of national energy efficiency standards. It developed energy
efficiency standards for CFL and is planning to develop standards for LED lamps as well (CNIS, 2011).
China Standard Certification Center is in charge of the ELI Quality Certification Institute which
promotes voluntary technical specifications for energy efficient lighting, including LED (SCS, 2011).
The leading government agency involved in the standardization of LED is the National Development
Reform Commission (NDRC). Other important governmental agencies are China Ministry of Science
and Technology (MOST) and the Ministry of Industry and Information Technology (MIIT). In 2010,
NDRC initiated a LED luminaire development program which consisted of 20 demonstrative projects
36
Master Thesis
for indoor lighting applications and 15 projects for street lamps and tunnel lamps across China (NDRC,
2011). MOST launched the program of ten cities with 10,000 lights for which the ministry supported
the spread of over 10,000 LED lights in each city, thereby encouraging the growth of the LED market
in China. Ms. Kathryn M. Conway – Independent consultant, LED Consulting / Conway & Silver,
Energy Associates LLC, points out that there has been discussion whether this program started too
early, because manufacturers could not meet the demand created by this project. Promotional
programs on LED exist for outdoor lighting, and are mainly aimed at commercial and government
buyers, since residential buyers usually cannot afford expensive technology. The middle class is
growing but has probably still other priorities (Conway, 2011). In addition, MOST operates a testing
laboratory for LED (MOST, 2011). The Ministry of Industry and Information Technology (MIIT) is
another important governmental agency. As a result of China’s rapidly developing LED industry, the
MIIT set up a Technical Standard Working Group on Semiconductor Lighting (MIIT, 2011). This
working group is involved with the development of industrial standards on semiconductor lighting
(USAID, 2011).
LED testing laboratories are other key stakeholders for the standardization process of LED. Currently
there are five laboratories able to test LED lighting products: National Lighting Test Center (Beijing),
National Center of Supervision & Inspection on Electric Light Source Quality (Shanghai), China
National Lighting Fitting Quality Supervision Testing Centre (CLTC) (Shanghai), China National Lighting
Fitting Product Supervision Testing Center (Zhongshan) and China National Center for Quality
Supervision and Test of semiconductor devices (Shijiazhuang). Besides, four more testing laboratories
will be established to test LED (USAID, 2011).
China’s national utility consists of two main enterprises: State Grid Corporation of China and China
Southern Power Grid are both involved in DSM programs, but currently do not seem to play a major
role in the standardization of LED (SGCC, 2011; CSG, 2011).
Of the three main lighting associations in China, China Association of Lighting Industries (CALI), China
Solid State Lighting Alliance (CSA), and China Illuminating Engineering Society (CIES), CALI and CSA
play the most important role for the standardization process of LED. CALI, one of the regional
associations of the Global Lighting Forum (GLF), directly influences China’s national standards (GB) by
participating in de development of product standards and test procedures for Chinese lighting
products (CALI, 2011). Mr. Sujendan points out that CALI is mainly involved in the standardization of
state lighting and some other areas only, but still not in indoor lighting (Sujendan, 2011). CSA assists
standards development in terms of foundation, assessments and quality testing systems in order to
enhance the competitiveness of China’s Solid State Lighting industry (CSA, 2011).
According to Ms. Conway international organizations do not especially play a role for the
standardization of LED in China in terms of promoting standards. The standardization process is
usually started at either regional or national level (Conway, 2011). Both Mr. Jeffcott and Mr.
Sujendan note that IEC is pushing to develop international standards. Besides, the En.Lighten
Initiative plays a role (Jeffcott, 2011)
Ms. Conway points out that one of the main challenges is that LED is a relatively new technology
being manufactured in China, because until recently China imported its LED. China has less
knowledge and experience with LED compared to countries like Japan, Korea and Taiwan. Now that
LED is made in China, the challenge is to enable small manufacturer to gain more knowledge on LED,
37
Master Thesis
to buy equipment that will help them to test LED, and to train their workers to reach the
international level of quality control. In addition, given China’s size and temperature differences
between the south and north, China has some regional requirements, especially for outdoor lighting.
These different local requirements need coordination and centralized authority (Conway, 2011).
According to Mr. Jeffcott, the patent issue and new industries moving into the lighting market slow
down the standardization process of LEDs in China. LED chip making is driven by patent technology
rather than standard. So the people that really got control are the patent owners, since they can
decide what to build and how to build it rather than standards coming along that prescribe how to
build it. Most of the patents are being held by the Japanese, the Americans, and a bit by the
Taiwanese and the Koreans. Furthermore, because LEDs are a new technology that is fundamentally
a computer screen, other businesses from outside the lighting industry enter the market, such as the
telephone business and the electronic industry. However, the electronic industry makes standards
differently from the lighting industry, since these standards are about functionality, not performance.
For LED packages nobody is being in charge, which makes the standardization process rather difficult
(Jeffcott, 2011).
4.2.5 Standardization regime

China has spent significant resources on standards development and has already developed
standards for LED, mainly safety specifications, performance specifications and performance
requirements. Segments include general lighting, road lighting and decorative lighting.
Mr. Jeffcott points out that currently there is a big war going on with LEDs in China, comparable with
the VHS vs. Betamax war, but then even bigger. Trying to come up with one generic standard is
challenging, certainly on a chip level. It is easier on the package level (Jeffcott, 2011).
According to Ms. Conway, manufacturers are the main drivers for the standardization process of LED.
Chinese government agencies are very responsive and wanting to help the manufacturers (Conway,
2011). Mr. Jeffcott also emphasizes that the industry is playing the most important role, together
with the test centers, while the government is a bit lost. The Chinese government is the driver in a
way that it is trying to sort out the industry, because it is subsidizing it and wants to know who to
subsidize. In addition, because they want to subsidize applications to get the technology adopted in
households, standards need to be developed. So the government is driving the standardization
process in terms of the need for standards to be there for their political agenda, but in terms of
content it is definitely the industry playing the main role. Nobody else has a clue, because the
technology moves so quickly. So the government is putting pressure to come up with one most
acceptable to the big players: the manufacturers and the test centers (Jeffcott, 2011). Mr. Ton notes
that the manufacturers are pushing the Chinese government to have standards for LED. International
organizations are mainly used by China as an informational resource (Ton, 2011).
In conclusion, the fact that China has already become the leading manufacturing country of lighting
products in the world is reflected in the key role the LED industry is playing in the standardization
process of LED. However, as a single-party state governed by the Communist Party of China, the
government plays a powerful role in China’s economy and strongly controls China’s strategic
industries. In order to deal with China’s increasing energy demand and environmental deterioration,
the Chinese government sees the importance of environmental protection industries. By boosting
the LED industry, as one of China’s strategic emerging industries, the Chinese government addresses
38
Master Thesis
both economic growth and energy consumption. So the Chinese government is pushing the
standardization process to support China’s rapidly developing LED industry. This is also in accordance
with prominent governmental initiatives to promote energy efficient lighting and LED.
4.3 The Philippines

The Philippines is an example of a country that made the transition to democratic rule. Although the
country has a lot of experience with democratic institutions, it suffers from unstable democracy. The
country is facing institutional deficiencies resulting in an overall lack of responsiveness to the needs
of the majority of the population (Hutchcroft & Rocamora, 2003). State weakness is reflected in the
inability of the state to provide basic services, ensure peace and order, and foster economic
development (Abinales & Amoroso, 2005).
As a result of the growing impact of energy use on climate change and in order to be able to support
the energy requirements of its economic and social development goals, the Philippines is currently
facing the challenge to search for clean energy solutions and energy efficiency. The policy and
regulatory framework for energy efficiency in the Philippines consists of various policy and regulatory
instruments which are responsible for the creation of regulatory authorities, the provision of
incentives and the development of technical, safety and product standards. Within the energy sector,
the government plays a key role both in terms of participation and regulation (USAID, 2007a). The
main governmental agency in the energy sector is the Department of Energy. This agency introduced
in 2005 the Philippine Efficient Lighting Market Transformation Project (PELMATP) to stimulate
efficient lighting solutions by integrating several energy efficient lighting programs into standards,
labeling program and promotional events. As a result of this project, the President of the Philippines
has called for a ban of incandescent lamps by 2010, which makes the Philippines one of the first
Asian countries that bans incandescent lamps. PELMATP has been succeeded by the Philippine
Energy Efficiency Project (PEEP) in 2009 (En.Lighten, 2011). However, institutional barriers to the
effective implementation of policies and programs still exist. Firstly, energy agencies are not enough
involved with other departments and institutions and too much focused on their own department.
Secondly, besides weak implementation of laws, verification and enforcement of standards are also
lacking. In addition, regulators and manufacturers do not have enough capacity to harmonize energy
efficiency standards. Government agencies for example lack adequate institutional capability as they
have not enough manpower. Moreover, current regulation does not provide incentives to utilities to
implement demand-side management projects (USAID, 2007a).

On a country level national standard setting institutes are relevant stakeholders.

sources
The Governmenta Develop, About 97, 1964 Funded by Strategic alliances BPS is member of IEC technical
Department l agency impleme administrat the national with: commission lamps and related
of Trade under the nt, and ive and government - International equipment (34 34A) (out of total
Department coordinat technical Electro technical of 3 TC they are member of!)
and
of Trade and e staff Commission (IEC), involved in preparing international
39
Master Thesis
Industry - Industry standardi - Asia Pacific standards regarding specifications

Bureau of (DTI); zation Economic for o.a. lamps (including LED's).
Product activities Cooperation
National in the (APEC), The scope of related existing
Standards
Standards Philippin - The ASEAN Philippine National standards does
(DTI-BPS) Body es Consultative not include LED.
Committee for
Standards and TC of DTI-BPS is composed of
Quality (ACCSQ); representatives from BPS, DOE,
stakeholders, and PELMATP.
Cooperates with TC is working on the development
USAID of a national
standard for safety specifications
for LED modules for general
lighting and a
national standard for performance
requirements for self-ballasted
LED lamps
for general lighting services.
The proposed national standards

shall cover LEDs for general
lighting applications
as well as Christmas lights using
LEDs.
Source: DTI, 2011; USAID, 2011.
National Utility
National utilities are significant stakeholders, since they can directly benefit from the use of energy-
efficient lighting and have influence on regulators.

sources
CEPALCO electric power 3rd largest 1952 electric Cooperated with DOE on In 2002 involved in
utility distribution electric revenues energy efficient lighting CFL distribution
distribution system; program
company in the Cooperated with ELI on
Philippines CFL program
VECO electric power 2nd largest 1905 electric Cooperated with DOE on Involved in
utility distribution revenues efficient lighting program distribution of CFL's in
in 2009 2009
MERALCO electric distributor of Philippines' 1903 electric Cooperated with ELI on Launched CFL
utility electrical power largest distributor revenues CFL program program in 2002
of electrical
power
Sources: CEPALCO, 2011; VECO, 20110; MERALCO, 2011; CDO, 2008; ELI, 2011.
Regulators
For the standardization of LED, policy makers on local, national, international and global level play a
role. However, since the focus will be on the transition on LED in developing countries and Asia,
where current standards often do not even exist, local policy makers will not be taken into account.
Instead, the focus will be on national policy makers.
40
Master Thesis

sources
Philippine Governm Formulating Consists of 1977 Funded by Energy DOE pushes use of LED lighting
Department ental and various units the cooperation system: Boni Tunnel Efficient Lighting
of Energy departm implementing and bureaus; national programs of System, involves the installation of the
ent policies and most relevant governmen various first energy efficient light emitting
(DOE)
programs to one is: Energy t international diode (LED) powered by solar energy.
ensure Efficiency and organizations The success of this project, particularly
sustainable, Conservation such as the use of energy efficient lighting, is
stable, secure, Division, part ASEAN, APEC expected to create a template for
sufficient, of Energy and ACD. replication in other similar site
accessible and Utilization applications and is seen to
reasonably- Management revolutionize the country’s major
priced energy. Bureau and roadways.
Energy
Research and Also: national energy efficiency and
Testing conservation program (NEECP) to
Laboratory promote the judicious conservation
Services and efficient utilization of energy
(ERTLS) resources through adoption of the
cost-effective options toward the
efficient use of energy to minimize
environmental impact. NEECP
published e.g. list of certified CFL
lamps on its website. LED is not
included so far.
Implemented the Philippine Efficient

Lighting Market Transformation
Project (PELMATP)
Involved in The Philippines Energy

Efficiency Project (PEEP), which
includes the Efficient Lighting
Initiative.
Sources: DOE, 2011; NEECP, 2011; PhilStar, 2011; PEEP, 2011.
Relevant organizations for LED that serve the interests of their members are lighting associations.
sources
Philippine Industry promoting About 2001 importers, unknown partner of In the board of
Lighting Associati the interests 20 manufacturer PELMATP ALC
Industry on of the memb s,
Philippine ers distributors,
Association
lighting suppliers,
Inc. (PLIA) industry consultants
consistent
with
consumer
welfare
Sources: Aemas, 2011; PELMATP, 2009.
41
Master Thesis

Table 4.14: Stakeholder analysis Philippines

The Y Y Y Y 100%: L U Definitive
Department P
of Trade and
Industry -
Bureau of
Product
Standards
(DTI-BPS)
CEPALCO - Y - Y 50%: - L - Discretionary

VECO - Y - Y 50%: - L - Discretionary
MERALCO - Y - Y 50%: - L - Discretionary
Philippine Y Y Y Y 100%: L U Definitive
Department P
of Energy
(DOE)
Philippine Y - Y Y 75%: P L U Definitive

Lighting
Industry
Association
Inc. (PLIA)
4.3.4 Discussion
Currently standards for LED do not exist yet in the Philippines. The Philippines are in the initial stage
of standards development for LED, led by the Bureau of Product Standards (BPS) under the
Department of Trade and Industry (DTI). Energy standards and labeling are developed by DTI-BPS and
the Energy Research and Testing Laboratory Services (ERTLS) under the Department of Energy (DOE)
together by the formation of a Technical Committee for lamps and related equipment, which consist
of representatives from BPS, DOE, the Philippine Electric Market Transformation Project (PELMATP),
the private sector and the lighting industry. The Technical Committee, part of the DTI-BPS, is now
reviewing existent IEC standards for lamps and related equipment, of which one or two are for LED
(Cristobal, 2011). The TC is developing national standards for safety specifications for LED modules
for general lighting applications and a national standard for performance requirements for self-
ballasted LED lamps for general lighting services. These national standards will be applied for general
lighting and for Christmas lights using LEDs (USAID, 2011). Roberto C. Cristobal, President of
Philippine National Committee of the IEC, Department of Trade and Industry (DTI), Bureau of Product
Standards (BPS), and Chairman of the Technical Committee for Lamps (TC04), stresses that the
priority is to establish safety standards, but that the TC is working on performance standards as well.
He explains that developing standards for decorative lighting and Christmas lighting is very important
since they are used extensively in the Philippines. During some severe accidents with decorative
lighting in the past some people even died, so it is of major significance to develop these standards.
The TC started working on this particular standard for decorative and Christmas lighting mid-2010.
The working group has just completed the first draft, which will be presented to the TC soon
42
Master Thesis
(Christobal, 2011). Raquel S. Huliganga, Director of the Energy Research & Testing Laboratory
Services of the Department of Energy, emphasizes that DOE would like to see standards for outdoor
applications and street lighting. The Philippines is for instance also using LEDs for solar projects in off
grid areas for electrification (Huliganga, 2011).
According to Mr. Cristobal, the major challenges for the standardization of LED are in terms of time
and technical competence. Since there are other standards for lamps being developed at the same
time, time to develop LED standards is limited. Another challenge is the availability of technical
competence and the level of funding to be able to acquire the technical competence by participating
in training and workshops to get more advanced knowledge of LED. In order to deal with these
challenges the TC gets involved with people from the semiconductor industry to get more
information about LED. Furthermore, they participate in organizations that can provide technical
information, such as lighting manufacturers and R&D groups and ask for assistance of governmental
organizations such as ASEAN and APEC (Cristobal, 2011). Ms. Huliganga also emphasizes that DOE
currently does not have the expertise to determine what the best parameters are, so they seek
support of ALC and Lites.Asia and try to learn from leading standards around the world and see what
best fits the needs of the Philippines (Huliganga, 2011).
The Philippine Department of Energy (DOE) plays a major role in the standardization of LED,
especially the Energy Research and Testing Laboratory Services (ERTLS), and the Energy Efficiency
and Conservation Division, part of Energy Utilization Management Bureau. ERTLS is the only
governmental agency that tests for lighting, particularly energy performance, and is responsible for
the drafting implementing rules and regulations of the standards. The Energy Efficiency and
Conservation Division is mainly involved with managing the efficiency of energy consuming devices,
such as air-conditioning and lighting and is more active on the application side (Huliganga, 2011).
DOE implemented the Philippine Efficient Lighting Market Transformation Project (PELMATP), a
program that strived to address the barriers on the widespread use of energy efficient lighting
systems in the Philippines and the reduction of greenhouse gas emissions in 2005-2011. DOE worked
together on this project with the Global Environment Facility, and The United Nations Development
Programme (UNDP). However, this program was mainly focused on compact fluorescent lamps (CFLs),
slim linear fluorescent lamps and better luminaires. LEDs were not yet part of the project (PELMATP,
2009).
Another relevant project which will be implemented by DOE is The Philippines Energy Efficiency
Project (PEEP), which will continue many activities initiated by PELMATP. One of the three
components of PEEP is the Efficient Lighting Initiative, which both includes the promotion of CFL’s
and LEDs and consists of various different programs. The Public Lighting Program, part of the Efficient
Lighting Initiative, includes for instance the replacement of Incandescent Bulbs in existing traffic
lights with LEDs. The Nation Wide Residential Lighting Program includes the procurement of various
LEDs for general lighting, distribution through identified channels, the conduction of customer
satisfaction surveys and reporting. Noting that the Philippines currently have inadequate testing
facilities to test LED, the program also aims to improve the equipment of testing facilities (PEEP,
2011).
Besides this project DOE is promoting the use of LED lighting systems with its Boni Tunnel Efficient
Lighting System project, for which the first energy efficient LED lighting powered by solar energy has
been installed. The successful use of energy efficient lighting for this project is expected to serve as
43
Master Thesis
example for other similar site applications and is even supposed to revolutionize the major roadways
of the Philippines according to DOE (Philstar, 2011).
The national utility of the Philippines, mainly formed by the three largest distributors of electrical
power in the Philippines MERALCO, VECO, and CEPALCO have been involved in various distribution
programs of CFL’s in the past, but are not yet launching any programs on LEDs. CEPALCO is also
involved in the the Philippines Energy Efficiency Project (Huliganga, 2011) A major challenge for the
national utility is how to cope with the poor quality of power supply. Currently the Philippines is
facing several problems related to electrical power, including access to electricity, expensive
electricity costs, and an inadequacy of power supply. Series of power blackouts and outages are not
uncommon (FDC, 2011). The national utility is currently not playing a role in the standardization
process of LED. However, once the standards are available, they will also be involved (Cristobal,
2011).
The main association involved in the standardization of LED in the Philippines is the Philippine
Lighting Industry Association Inc. (PLIA) and is one of the most important stakeholders (Cristobal,
2011). PLIA is a partner of PELMATP and currently a board member of Asia Lighting Compact (ALC).
PLIA contributes to the standardization of LED in terms of technical know-how and are a source of
information. Moreover, they are also the one who are willing to conform to the standards that would
be adapted (Cristobal, 2011). The members of PLIA are mostly lamp manufactures and lamp
importers. Important to note here is that the Philippines is importing all their lighting products, of
which about 95% comes from China (Huliganga, 2011). The most important members of PLIA are the
bigger lamp manufacturers, the big international firms (Cristobal, 2011). Moreover, PLIA is working
closely with DOE and ELI as will be explained in the next paragraph on the role of international
organizations and regional associations.
International organizations play a role in the standardization process of LED in terms of providing
knowledge and expertise. The main international organizations involved are IEC, ASEAN, APEC, ALC,
the En.lighten Initiative of UNEP, and Lites.Asia. In this way the Philippines wants to learn from other
countries. In the past ELI has played a big role in the Philippines by establishing a testing laboratory
for ELI products, but at this point ELI is not playing a significant role anymore (Huliganga, 2011).
In addition, the Professional Lighting Designers' Association (PLDA) has played a role by supporting
the Philippine Lighting Conference (PLC), which aims to link the local lighting industry of the
Philippines together and create a platform for lighting standards in the Philippines. The conference is
focused on responsible lighting design practice, products, and standards (PLDA, 2011).

Currently standards for LED do not exist yet in the Philippines. Currently standards for safety
specifications and performance requirements are being developed. Segments include general lighting,
decorative and Christmas lighting.
Mr. Cristobal and Ms. Huliganga both agree that the government is the main driver of the
standardization process of LED in the Philippines. Ms. Huliganga points out that DOE is pushing for
standards development of appliances and lighting products when they see the popularity of use of
these products, since they use a lot of electricity. In addition, since LED products from the market can
44
Master Thesis
range from very bad to the best, DOE is pushing for standards development (Huliganga, 2011). Mr.
Cristobal explains that the government needs to be able to come up with regulation, and in order to
be able to come up with regulation, you need standards. So everything stands with standardization
(Christobal, 2011). The key stakeholders are the Bureau of Product Standards and its TC for lamps,
since they are the government agency that is mandated to promulgate standards, and DOE,
responsible for the energy side of LED. In terms of the performance aspects of the standard PLIA
plays an important role. However, since there is no manufacturing of LED taking place in the
Philippines, nobody is pushing from that perspective (Ton, 2011). International organizations play a
role in the standardization process of LED in terms of providing knowledge and expertise.
In conclusion, the government is the main driver of the standardization process of LED. This is in
accordance with the government’s need to search for clean energy solutions and energy efficiency as
a response on the Philippines energy requirements of its economic and social development goals and
with the key role the governments plays within the energy sector in terms of participation and
regulation. Moreover, it reflects the President’s call for a ban of incandescent lamps by 2010 and
major governmental initiatives such as the Philippine Energy Efficiency Project (PEEP).
4.4 Thailand
Thailand is an example of an Asian country that has become democratic. However, the coup of 2006
during which the Royal Thai Army overthrew the government of elected Prime Minister Thaksin
Shinawatra shows the unstable character of Thailand’s struggling democracy (Pongsudhirak, 2008). In
Thailand the monarchy plays an important role, which is reflected in great respect toward the King
and members of the royal family. Thailand’s political system is dominated by key power holders
including high-level government politicians, the Thai owners or major Thai shareholders of large
domestic corporations, and high-ranking military leaders (Stern, 2007).
As a result of the economic growth since the mid of the 1980s, energy consumption in Thailand is
increasing rapidly. In order to secure energy supply and sustain Thailand’s economic development,
the Thai Government took several efforts to improve energy efficiency and energy conservation,
which are the main focus of Thailand’s energy policy. The main government energy agency is the
Ministry of Energy (MOEN), which consists of six offices and departments involved in energy-related
activities. Since 1992, various laws and decrees to promote energy-efficiency and renewable energy
programs have been issued, of which the ENCON Act is the most significant one. Following the
ENCON Act, the Thai Government established the Energy Conservation Promotion Fund (ENCON
Fund) to provide financial support to governmental agencies, state enterprises, NGO’s, businesses
and individuals involved in energy efficiency. The Fund has financially approved several energy
efficiency activities and programs, o.a. projects on lighting devices (APEC, 2010). The EGAT Demand
Side Management Program is an example of one of the successful programs. This program was
mainly focused on energy efficiency labeling schemes for o.a. CFLs. However, although successful
energy efficiency programs have been implemented, many government programs were not cost-
effective or unsuccessful. Other barriers exist regarding implementation, monitoring and evaluation.
While Thailand has adequate regulations related to energy efficiency, these regulations are not
effectively enforced. Another barrier is that, although all energy related activities are consolidated
45
Master Thesis
under one ministry, there is still lack of policy coordination among agencies. Furthermore, there is
lack of effective incentives programs to encourage saving energy (USAID, 2007b).
National standard setting institute
Table 4.15: National Standard setting institute Thailand

sources
Thai Governmen Undertak Consists of 1966 funded by the Cooperates with IEC Member of IEC technical
Industrial tal agency e several national Cooperates with commission lamps and related
Standard under the standardi bureaus, government Department of equipment (34 34A) involved in
Ministry of zation councils, Alternative Energy preparing international standards
Institute
Industry; activities advisory Development and regarding specifications for o.a.
(TISI) National groups etc. Efficiency (DEDE) lamps (including LED's).
Standards and Energy Policy &
Body Planning Office Currently developing standard for
(EPPO) LED modules for general lighting
(Safety)
Source: TISI, 2011.
National Utility
Table 4.16: National utility Thailand
Stakeholder Type Aim Size Since Financial Interactio Extra info

sources n
Electricity State Manages the Owns and operates 1969 State With DEDE, EGAT has a unit called DSM
Generating owned majority of various types of owned EPPO, TISI, Office to promote energy
Authority of enterpr Thailand's power generating and PEA conservation, especially in
ise electricity plants located in 38 electrical appliances through
Thailand
generation sites, together with standard and labeling scheme;
(EGAT), part capacity, as well transmission and supported by World Bank and
of Ministry as the nation's main distribution GEF.
of Energy transmission systems nationwide
network
Provincial govern electricity all areas covered 73 1960 State With EGAT Was involved in an Energy
Electricity ment supply provinces, owned Saving Project for Street Lighting
Authority of enterpr approximately in 2006
ise 510,000 km2,
Thailand
accounting for 99%
(PEA), of the country’s
under the total area
Ministry of
Internal
Affair
Source: EGAT, 2011; PEA, 2011.
Regulators
Table 4.17: Energy efficiency body Thailand

sources
Ministry of govern sustainable Various 2001 funded by with TISI, In the period 2003-2006 minimum
Energy mental energy bureaus, the EGAT energy performance standards for o.a
(MOEN) management offices and governmen compact fluorescent lights, and
for sufficient sub t fluorescent tubes were implemented
energy for the departments; by the Department of Alternative
46
Master Thesis
nation and o.a. Energy Development and Efficiency

citizens of Department and the Energy Policy and Planning
Thailand of Alternative Office (EPPO) of the Ministry of
Energy Energy, with the support of the
Development Thailand Industrial Standards Institute
and Efficiency (TISI).
(DEDE);
Energy Policy DEDE established a working
& Planning committee for energy efficiency
Office (EPPO) standards and labeling consisting of
DEDE, EGAT, EPPO, the Consumer
Protection Bureau, and TISI. EGAT and
DEDE worked together to set up
standards and testing procedures.
Source: MOEN, 2011; World Bank, 2006.
Table 4.18: Lighting associations in Thailand
sources
Illuminating associa aims to increase unkn unkno Lighting Sponsored In collaboration TIEA’s focus is
Engineering tion knowledge about own wn engineers by o.a with international on energy-
Association the science, and Philips, organizations it has efficient
technology and designers Toshiba established lighting lighting and
of Thailand
design of lighting in standards and urban lighting.
(TIEA) Thailand. It also designed
aims to raise the recommendations
professional to ensure the
standards of lighting quality and
engineers and sustainability of
designers and to lighting in Thailand
promote the Thai
lighting industry in
the context of an
increasingly
competitive market.
Sources: TIES, 2011; Luxpacifica, 2011.
4.4.3 Stakeholder Analysis

Table 4.19: Stakeholder analysis Thailand

Thai Y Y Y Y 100%: L U Definitive
Industrial P
Standard
Institute
(TISI)
Electricity Y Y Y Y 100%: L U Definitive

Generating P
Authority of
Thailand
(EGAT), part
of Ministry of
Energy
Provincial Y Y Y Y 100%: L - Dominant

Electricity P
47
Master Thesis
Authority of
Thailand
(PEA), under
the Ministry
of Internal
Affair
Ministry of Y Y Y Y 100%: L U Definitive
Energy P
(MOEN)
Illuminating Y N Y Y 75%:P L U Definitive

Engineering
Association
of Thailand
(TIEA)
4.4.4Discussion
LED standards are currently under development in Thailand, mainly focused on safety specifications
for LED modules for general lighting. Thai Industrial Standard Institute (TISI) and Alternative Energy
Development and Efficiency (DEDE) part of the Ministry of Energy take the lead in developing
standards in Thailand. While TISI is responsible for safety and performance standards, DEDE is
responsible for energy efficiency Standards (USAID, 2011). During the development process of
standards Thailand is looking at Western examples of standards and then looks what to adapt (Ton,
2011). Currently there are no special programs to promote LED in Thailand (USAID, 2011).
The Ministry of Energy, especially the Department of Alternative Energy Development and Efficiency
(DEDE) and the Energy Policy & Planning Office (EPPO) are important stakeholders. In the period
2003-2006 Thailand began to develop minimum energy performance standards for compact
fluorescent lights, after which DEDE and EPPO implemented these standards with the support of TISI.
In addition, DEDE set up a working committee for energy efficiency standards and labeling consisting
of representatives of DEDE, Electricity Generating Authority of Thailand (EGAT), EPPO, the Consumer
Protection Bureau, and TISI. EGAT and DEDE cooperated to develop standards and testing
procedures (World Bank, 2006).
The Electricity Generating Authority of Thailand (EGAT), also part of the Ministry of Energy is another
major stakeholder. Its DSM Office stimulates energy conservation through standard setting and
labeling, especially in electrical appliances (EGAT, 2011). Mrs. Napaporn Phumaraphand, Director of
the Demand Side Management & Planning Division, Electricity Generating Authority of Thailand
explains that the DSM office is reviewing LED standards, testing, and specifications developed and
used in many countries such as ELCOMA (India) and NLTC (China). In Thailand, there are two major
mechanisms in standardization development and employment. The first one uses a mandatory
scheme, the second one focuses on voluntary/market-based mechanism. EGAT’s DSM exercises
voluntary/market-based mechanism to remove the barriers for development of high efficiency
electrical appliances into the market. Therefore, their role in standardization of LED or any other
electrical appliances is not to set the (mandatory) standard or related criteria directly, but to push
the demand for higher efficiency appliances and support the employment of more advanced
technology of manufacturers. This includes promoting the standard shifting of the market through
(voluntary) standard and labeling programs and other attitude creation and campaigns. The EGAT
DSM office has been promoting the use of high efficiency lighting since 1993. The High Energy
48
Master Thesis
Performance Standard and Labeling Program (HEPS) is a voluntary energy labeling program which
has enhanced the market transformation of appliances and equipment into energy efficient. Under
this program the EGAT DSM office implemented the labeling scheme for CFL and T5 (linear
fluorescent lamp) in 2008 and 2010 respectively to remove the barriers to replace existing low
efficiency lighting devices with energy efficient lighting. In terms of LED, the DSM office is
formulating an action plan for a LED labeling scheme and expects to agree with LED vendors and
suppliers on criteria for its efficiency performance and testing standards. However, one of the major
obstacles for the standardization of LED is in terms of testing facilities, especially life time testing
(Phumaraphand, 2011). EGAT is member of ALC.
The Illuminating Engineering Association of Thailand (TIEA) is a relevant lighting association which
has developed lighting standards to ensure the quality and sustainability of lighting in Thailand (TIEA,
2011). Mrs. Phumaraphand underlines that TIEA plays a major role in the standardization of LED,
mainly through academic forums, dissemination of international standards and trends, training
programs, and network activities for stakeholders (Phumaraphand, 2011). Moreover, TIEA is
represented in the board of Lux Pacifica. The Lux Pacifica is the lighting conference of various lighting
societies including these of India, China, Japan, Thailand, Russia, Australia, New Zealand, Canada,
USA, South Africa, Mexico and Hong Kong. Thailand hosted the conference in 1993 and 2009. The
next conference, which will be held in 2013, will be hosted in Thailand as well (Lux Pacifica, 2011).
In terms of international organizations as stakeholders for the standardization process of LED, Mrs.
Phumaraphand points out that TISI standards follow IEC and EN standards (European Standards) as
guidelines. Non-profit international agencies, such as Lite.asia and UNDP play a supportive role for
LED standardization in Thailand through encouragement, capacity building and knowledge transfer
(Phumaraphand, 2011).

LED standards are currently under development in Thailand, mainly focused on safety specifications
for LED modules for general lighting. According to Mrs. Phumaraphand international organizations,
especially the IEC are the main driver of the standardization of LED in Thailand. During the
development process of standards Thailand is looking at Western examples of standards and then
looks what to adapt. Through encouragement, capacity building and knowledge transfer
international organizations play a role.
Besides international organizations, the Thai government is driving the standardization process. This
is in accordance with the government’s effort to improve energy efficiency and energy conservation,
the main focus of Thailand’s energy policy. Especially the Electricity Generating Authority of Thailand
(EGAT), part of the Ministry of Energy, plays an active role. EGAT’s DSM exercises voluntary/market-
based mechanism to remove the barriers for development of high efficiency electrical appliances into
the market. However, currently there are no special governmental programs to promote LED in
Thailand.
49
Master Thesis
4.5 Vietnam
Vietnam is an example of a single-party socialist state led by the Communist Party of Vietnam.
Although Vietnam started a gradual path of reform in 1986, the communist party is still firmly in
power. Authorities of the government directly interfere with many aspects of Vietnam’s economy
(Meyer & Nguyen, 2005).
Currently, Vietnam is rapidly developing its infrastructure, economic zones, industrial parks, tourism
resorts, and commercial and residential buildings, which has led to the creation of a big market for
street lighting, commercial and residential lighting in Vietnam. In fact the Vietnam Lighting Market is
primarily driven by the building and construction industry. Lighting currently accounts for 25.3% of
total energy consumption in Vietnam. Energy has been a key component of Vietnam’s rapid
economic growth over the last decade. Meeting the growing power demand is a great challenge for
the government. In order to sustain economic development and reduce adverse environmental
impact, the government of Vietnam stresses the importance of energy conservation and energy
efficiency in its National Energy Policy (VEEPL, 2011). Vietnam’s National Energy Policy encourages
for instance energy efficiency by stimulating to replace low-efficient equipment and facilities. Several
government decrees and decisions emphasize energy efficiency and conservation. The most
important one is the Decree on Energy Saving and Efficient Use of Energy, issued on 3 September
2003, which addresses the roles and responsibilities for both government and society related to
energy efficiency and conservation (USAID, 2007c). In 2010, a new law on Energy Conservation and
Efficiency came into effect, which underlines the government’s efforts to encourage energy saving.
According to this law energy efficient products have to be labeled to stimulate the production of
these products and to substitute outdated equipment with low energy efficiency. However, as a
result of the complexity of the law and its high technical specialization, the implementation of the
law is expected to face certain problems (VNEEP, 2010).
The Ministry of Industry and Trade (MOIT), overall responsible for managing the energy sector and
for the energy efficiency agenda in Vietnam, approved the ‘National Strategic Program on Energy
Saving and Effective Use’ in 2005, which set ambitious energy saving targets for Vietnam by aiming
savings from 3% to 5% in total energy consumption in 2006 - 2010 and from 5% to 8% in 2011 - 2015.
Besides the MOIT, the Ministry of Science and Technology (MOST), has several responsibilities in
terms of energy conservation, such as issuing national standards for the energy efficiency of end-use
devices and appliance, including lighting products (USAID, 2007c). However, although energy
efficiency laws and decrees do exist, implementation is still a major issue due to lack of capacity,
technical knowledge and resources. So stable and sufficient human and financial resources are
needed to implement the energy efficiency laws and policies in the long term are needed (APEC,
2009). In addition, capacity building is needed for standards, labeling and testing regimes (USAID,
2007c).
Besides laws and decrees, important programs on energy efficiency have been launched over the
past years. The UNDP and GEF launched for instance the ‘Energy Efficiency Public Lighting’ (VEEPL)
project to enhance the transition to more energy efficient lighting by providing technical and policy
support. In addition, in 2010 the UNEP and GEF supported Vietnam to promote a large scale market
transformation towards efficient lighting and the phasing-out of incandescent lamps, also called the
50
Master Thesis
En.lighten Initiative (En.lighten, 2011). Part of this project is to strengthen and harmonize quality and
performance-based standards and procedures in Vietnam.

National standard setting institute
Table 4.20: National Standard setting institute Vietnam

sources
Directorate National responsible for consists of 1962 funded by Established Has issued technical
for Standards national standard various the relationships with standards for
Standards, Body; development departmen governmen relevant domestic determination of energy
Metrology under through the ts and t ministries/agencie efficiency and Minimum
and Quality Ministry of Vietnam Standards centers; s, as well as Energy Performance
(STAMEQ) Science and and Quality Center most international and Standards (MEPS) for a
Technology (VSQC), product relevant regional few products including
testing and one: standardization lighting products (FTLs,
certification through Vietnam organizations in CFLs and ballast); Not
testing and Standards terms of participating in any IEC
certification centers, and Quality standards Technical Commission.
and laboratory Centre development
accreditation (VSQC)
through Bureau of
Accreditation (BoA).
Sources: STAMEQ, 2011.
National Utility
Table 4.21: National Utility of Vietnam

sources
Electricity of state owned generation, the largest 2006 governmen has joined forces with implemented a national
Vietnam corporation; transmission, power tal the World Bank to program to distribute
(EVN) operated by distribution company in promote a new compact fluorescent
the Prime and sales of Vietnam energy-efficient form lamps and thin-tube
Minister’s electric of lighting that will cut fluorescent lamps in
Office and power demand at peak 2004-2009 in cooperation
Ministry of times, slashing its with the World Bank and
Industry and short-term investment GEF; DSM program on
Trade needs energy conservation
Sources: EVN, 2011; VEEPL, 2011.
Regulators
Table 4.22: Energy efficiency body of Vietnam

sources
Vietnamese Govern provide scientific about 2500 1975 funded by the operates 4 executing agency of the project
Academy of mental ground for scientific permanent government VAST key "Vietnam Energy Efficient
Science and Agency and technological staff laboratories Public Lighting" (VEEPL), co-
Technology management, for the funded by the Vietnamese
(VAST) building of policies, government, and the Global
strategies, planning Environment Facility (GEF)
Ministry of govern Overall responsibility consists of 1951 funded by the World Bank In 2005, the Vietnamese
Industry and mental for the energy sector various government supported Government (Ministry of
Trade (MOIT) departmen MoIT in the Industry and Trade—MOIT)
ts; most commercializ released the National Strategic
51
Master Thesis
relevant ation of CFLs Program on Energy Savings and

one: Energy and Effective Use (Vietnam National
Efficiency & fluorescent Energy Efficiency Program,
Conservatio tube lamps. VNEEP) for the period 2006–
n Office 2015.; also involved in the
(ECCO) Vietnam Energy Efficient Public
Lighting program; in November
2006 MOIT issued a Guideline
for Energy Efficiency Standard
and Labeling in order to assist
on the implementation of
energy efficiency standards and
labeling in appliances.
Sources: VAST, 2011; Trust, 2011; IEEJ, 2010; MOIT, 2011
Table 4.23: Lighting associations in Vietnam
Stakeholder Type Aim Size Since Members Financial sources Interaction Extra info
Vietnam Urban NGO, providing Un- 2003 formed by a supported by The Public Involved in
Lighting professional advices on kno group of Ministry of Lighting VEEPL project
Association organization various issues wn municipal Construction; but Information
(VULA) under the relating to EE lighting capacity in terms of Center (PLIC)
Vietnamese lighting system companies; staff and finance is is attached to
Construction management, association of not stable VULA
Association policy, science lighting
and technology manufacturers
to Ministry of and
Construction as government
well as representatives
collecting and
providing
information on
nationwide
lighting system.
Source: UNDP/GEF, 2008.
4.5.3 Stakeholder Analysis

Table 4.24: Stakeholder analysis Vietnam

Directorate Y Y Y Y 100%: L U Definitive
for P
Standards,
Metrology
and Quality
(STAMEQ)
Electricity of N Y N Y 50%: - L - Discretionary

Vietnam
(EVN)
Vietnamese Y Y Y Y 100%: L - Dominant

Academy of P
Science and
Technology
(VAST)
52
Master Thesis
Ministry of Y Y Y Y 100%: L - Dominant

Industry and P
Trade (MOIT)
Vietnam Y N Y Y 75%: P L - Dominant

Urban
Lighting
Association
(VULA)
4.5.4 Discussion
Currently standards for LED do not exist in Vietnam. Mr. Luong Van Phan, Deputy Director of
Directorate for Standards and Quality, Vietnam Standards and Quality Institute (VSQI), emphasizes
that the Vietnam Standards and Quality Institute will start to develop safety and performance
standards for LED this year. It will first adopt the international standard from IEC, mainly focused on
general lighting. VSQI strives to harmonize their national standard with the international IEC standard.
It plans to release the standard in December 2011 (Luong, 2011).
The Vietnam Standards and Quality Institute is the major organization responsible for standard
development. In terms of LED, the technical committee responsible for lighting equipment plays a
major role, especially the subcommittee for LED. Stakeholders participating in this committee come
from the bureau of standards, testing laboratories, the government, the lighting association, the
private sector, academic institutions and consumer associations, led by the VSQI, which serves as
secretary for the technical committee (Luong, 2011). Vietnam is currently not involved in any
programs to promote LED, but is considering starting one, which is in accordance with the national
objective program on saving and conservation energy (USAID, 2011).
The national utility of Vietnam, Electricity of Vietnam (EVN), implemented from 2004-2009 a national
program to distribute CFL’s and thin-tube fluorescent lamps together with the World Bank and GEF.
Besides, they have a Demand-Side Management and Energy Efficiency Project. However, they are
currently not involved in any projects regarding the promotion of LED. A major drawback of the
national utility is that its generation and distribution capacity has been inadequate to meet peak
demand. Hence, improving the efficiency of public lighting will support the availability of more power
at peak demand for other purposes (VEEPL, 2011). According to Mr. Luong Van Phan, the EVN is
currently not playing any role in the standardization of LED.
The Vietnamese Academy of Science and Technology (VAST) is an important governmental agency,
operating 4 VAST key laboratories in Vietnam. The government is investing a lot of money in
laboratory testing (Ton, 2011). VAST is the executing agency of the project ‘Vietnam Energy Efficient
Public Lighting’ (VEEPL), part of the ‘Barrier Removal to the Cost -Effective Development and
Implementation of Energy Efficiency Standards and Labeling’ (BRESL) project, supported by the
Vietnamese government and the Global Environment Facility (GEF) (Trust, 2011). This national
project was developed to help to remove barriers to energy efficient public lighting over the past 5
years and to enhance the penetration of energy-efficient public lighting. The project aims for
instance that by 2025, 100% of the streets and neighborhoods have a lighting system. In addition,
100% of public transport projects and advertising in urban areas will use high-performance lighting
products (VEEPL, 2011). Another objective of the project is that by 2015, 60% of the urban lighting
development in Vietnam must be replaced by lighting products of high performance and
conservation, including existing traffic, public space and advertising in urban areas. Moreover, for
53
Master Thesis
new projects, 100% new lighting systems with energy efficiency technology should be applied (VEEPL,
2011). However, LED is not included in the project (Luong, 2011).
A major obstacle for the development of the standardization of LED in Vietnam is the lack of
internationally recognized laboratories for testing, research, and the assessment and certification of
the lighting product quality and labeling. Moreover, laboratory facilities lack qualified staff for testing
and certifying the quality of energy efficient lighting products (IIEC, 2009).
The Ministry of Industry and Trade (MOIT), especially the Energy Efficiency & Conservation Office
(ECCO) is another stakeholder, which is mainly responsible for policymaking and the development of
law and regulation. The MOIT released in 2005 the National Strategic Program on Energy Savings and
Effective Use (Vietnam National Energy Efficiency Program, VNEEP) for the period 2006-2015. In
addition, MOIT was also involved in the Vietnam Energy Efficient Public Lighting program (VEEPL)
(IEEJ, 2010).
Another important stakeholder is the Vietnam Urban Lighting Association (VULA), which was also
involved in the VEEPL program (UNDP/GEF, 2008). In addition, it participates in the technical
committee for lamps. Important to note is that Vietnam is importing LED, mostly from China. Some
companies in Vietnam are involved in assembling lamps (Luong, 2011). In fact, Vietnam traditionally
has been an electronic assembly place (Ton, 2011).
On an international level the En.lighten Initiative and Lites.Asia are important organizations for the
standardization of LEDs in Vietnam. Part of the En.lighten Initiative is focused on the strengthening
and harmonization of quality and performance-based standards and procedures in Vietnam
(En.lighten, 2011). In addition, Vietnam is currently a member of Lites.Asia (Luong, 2011)

Currently standards for LED do not exist in Vietnam. Vietnam will start to develop safety and
performance standards for LED this year, mainly focused on general lighting. The national standards
body and the government are the main drivers of the standardization process of LED in Vietnam. By
law, Vietnam has to develop some energy standards, so they are currently working on that, but so far
it is not finalized. Vietnam is far behind in terms of the standardization of LED compared to the China,
Thailand and the Philippines (Ton, 2011).
In order to sustain economic development, meet the growing power demand and reduce adverse
environmental impact, the government of Vietnam stresses the importance of energy conservation
and energy efficiency in its National Energy Policy. However, although energy efficiency laws and
decrees do exist, implementation is still a major issue due to lack of capacity, technical knowledge
and resources. Since capacity building is also needed for standards, labeling and testing regimes, this
is possibly a reason for the fact that Vietnam is behind in terms of standard setting. Vietnam is
currently not involved in any programs to promote LED. Since Vietnam is importing most of its LED,
mainly from China, nobody is driving the standardization process from the manufacturing side.
International organizations play a role in terms of knowledge transfer. International standards from
IEC are adopted and Vietnam’s national standards will be harmonized with the international IEC
standard. Other international organizations such as En.lighten and Lites.Asia play a supportive role by
strengthening and harmonizing quality and performance-based standards and procedures in Vietnam.
54
Master Thesis
4.6 Indonesia
Indonesia is an example of a relatively stable democracy with a decentralized and autonomous
system of local government. However, the transition from years of tight central control in the past to
a decentralized system has resulted in increasingly complex coordination of national policies and
confusion about the distribution of power and authority between different levels of government
(Hadiz, 2004). As a consequence of the large scale decentralization during which considerable power
and resources has been given to local authorities, the capacity of Indonesia’s central government has
weakened. Moreover, decentralization has resulted in difficulties in terms of implementation of
regulations and policies (ODI, 2011).
Indonesia has great potential to apply energy efficient technologies, since it is expanding rapidly, and
it does not have that much capacity, while the energy demand is growing at the same time. If
Indonesia will not manage the energy demand, it will be a challenge for everybody. However, over
the past few years Indonesia has not shown major progress (Ton, 2011). Reason is that the
Indonesian government has given relatively little attention to energy-efficiency opportunities and
past policies did not stimulate efficient energy use. As a result of subsidized energy prices investing in
energy-efficiency has been unattractive. Moreover, due to low domestic prices for electricity and oil,
Indonesia is facing high energy intensity, which is a major burden on the government budget.
Recently, the Indonesian government is moving away from subsidies, which led to higher prices for
electricity and fuels. Hence, more energy efficient energy has become more attractive for consumers.
However, one of the major institutional challenges for Indonesia is to generate sufficient support to
overcome inertia in terms of clean energy and energy efficiency (USAID, 2007). Other main
challenges are the still relatively low cost of electricity and the limited buying power of the majority
of energy consumers.
Although investing in energy-efficiency has been unattractive, Indonesia launched several demand
side management programs with some success, for instance the introduction and promotion of CFLs.
Although the government of Indonesia is currently strengthening existing major CFL promotional
programs, no promotional programs on LED exist (En.Lighten, 2011). Furthermore, Indonesia
established testing laboratories. These testing labs have not sought international accreditation yet.
Indonesia is also involved in the Barrier Removal to the Cost-Effective Development and
Implementation of Energy Efficiency Standards and Labeling (BRESL) project, supported by UNDP and
GEF (BRESL, 2011).
In order to be able to meet projected energy demand, setting energy performance standards is the
most cost-effective market intervention, which will lead to increased market penetration of energy
efficient technologies (USAID, 2011). Specific institutional challenges related to standard setting in
Indonesia include transparency during the preparation of technical regulations and the coordination
among concerned ministries. In addition, limited availability of accredited product certification
bodies and inspection bodies are a major obstacle (Lites.Asia, 2009).
55
Master Thesis
4.6.2 Stakeholder identification Indonesia


sources
National National develop and consists of 1997 governmental with IEC member of IEC technical
Standardiza Standards conduct various commission lamps and related
tion Agency Body; non- standardizati bureaus and equipment (34 34A) (out of total
departmen on activities centers of 3 TC they are member of!),
of
tal in Indonesia involved in preparing
Indonesia governmen international standards
t institution regarding specifications for o.a.
lamps (including LED's).
Developing standards for LEDs

solar homes
Source: BSN, 2011; USAID, 2011.
National Utility

sources
Perusahaan state- electricity biggest producer 1972 state-owned Supports R&D - promotes energy
Listrik owned distribution of Indonesia Centre conservation in electricity use;
Negara electricity
company -Lighting Program: the Caring
(PLN)
Program: provide subsidized,
and in certain cases, free CFLs
to eligible households.
Sources: APERC, 2010.
Regulators

sources
Agency for non- Support unknown unkno funded by unknown promotes awareness in energy
Assessment departmen technology wn the conservation;
and tal assessment for governmen
governmen the t Major Laboratory for Energy
Application
t agency Government of Technology (B2TE-BPPT)
of under the Indonesia; conducts
Technology coordinatio Manage clean performance test of LED for
(BPPT) n of the energy research Solar Home System application.
Ministry of laboratories The test is done based on
Research and testing standard testing for general
and facilities lamps
Technology
Ministry of governmen National policy consists of 2000 funded by involved with the The ‘National Energy Efficiency
Energy and tal agency formulation, various the 'Barrier Removal Movement’ implemented by
Mineral policy departmen governmen to the cost- the Ministry of Energy and
implementation ts; most t effective Mineral Resources promotes
Resources
and technical relevant development and energy conservation awareness
(MEMR) policy in the one: implementation through seminars and
field of energy Directorate of Energy workshops, talk shows, public
and mineral General of efficiency advertisements, brochures and
resources; Electricity Standards and leaflets; it is directed to
56
Master Thesis
and Energy Labeling Project households, specific industries

Utilization (BRESL) supported and transport.
(DGEEU). by UNDP and GEF;
target products
include CFL.
Sources: USAID, 2007; BRESL, 2011; ESDM, 2011; USAID, 2011.
sources
Asosiasi Indonesia To assist the 26 1980 26 different unknown Member of ALC; cooperates with
Industri Electrical lighting members companies in involved in the ministry of
Perlampuan Lighting industry to Indonesia Lites.Asia; Trade, the
Industry remain comp adopting the Ministry of
Listrik
Associati etitive and to IEC Industry, and the
Indonesia on meet all international Ministry of Energy
(APERLINDO) standards standard and Mineral
and Resources
specifications
and
constantly
adjust to
development
s and
advances in
technology.
Clinton nongover fight against the 2002 - Donations With the CCI helps cities
Climate nmental climate Foundati and givings municipal around the world
Initiative, organizat change in on has government improve the
ion practical, staff and energy efficiency
Clinton
measurable volunteer of street and
Foundation and s around traffic light
significant the world systems by
ways, by working building the
working with to business case for
40 of the improve retrofit projects;
world's lives conversion to LED
largest cities through lights is part of the
to reduce several initiative.
their initiatives
greenhouse
gas
emissions.
Deutsche German support operates 2011 - Federal Cooperates expressed interest
Gesellschaft aid people and in more enterprise with Asian in converting
für agency societies than 130 Development outdoor and
worldwide in countries Bank, USAID, street lighting to
International
creating worldwid World Bank, LEDs
e sustainable e ASEAN
Zusammenar living
beit (GIZ) conditions
and building
better futures
Sources: APERLINDO, 2011; Clinton Foundation 2011; GIZ, 2011.
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Table 4.29: Stakeholder analysis Indonesia

National Y Y Y Y 100%: L U Definitive
Standardization P
Agency of
Indonesia
Perusahaan N Y N Y 50%: - L - Discretionary

Listrik Negara
(PLN)
Agency for Y Y Y Y 100%: L U Definitive

Assessment and P
Application of
Technology
(BPPT)
Ministry of N Y Y Y 75%:P L - Dominant

Energy and
Mineral
Resources
(MEMR)
Asosiasi Industri Y N N Y 50%: - L U Dependent

Perlampuan
Listrik Indonesia
(APERLINDO)
Clinton Climate Y Y N Y 75%:P L U Definitive

Initiative,
Clinton
Foundation
Deutsche Y Y N Y 75%:P L - Dominant
Gesellschaft für
Internationale
Zusammenarbeit
(GIZ)
4.6.4 Discussion
According to Mr. My K. Ton, Team Leader - Energy Efficient Lighting, for the ECO-Asia Clean
Development and Climate Program (ECO-Asia CDCP), Indonesia historically has been quite behind in
terms of standards. Indonesia is mainly focused on safety standards, which they adopt from the IEC.
So the only requirement for products that are imported into Indonesia is that they have to be
registered with the SNI. Basically as long as they do not electrocute the user, they are allowed to sell
products in Indonesia. In terms of energy efficiency, lifespan, and quality of the color Indonesia has
no standards. The Bureau of Natural resources attempted to set up voluntary labeling standards, but
in terms of enforceable national standards Indonesia does not have any. Reason for this is that the
Indonesian government does not have a lot of resources available to develop standards for LED or
any increased interest in LED. Currently standard development for LED is not a high priority of the
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Master Thesis
government. This might change in the future, because there is a lot of interest of the World Bank and
other multilateral lending institutions who want to loan money to Indonesia to operate their lighting
(Ton, 2011).
Indonesia is currently developing testing standards for LED. The Laboratory for Energy Technology
(B2TE-BPPT) is involved in performance testing of LEDs for Solar Home System application. This test is
conducted based on standard testing for general lamps. Standards development is mainly focused on
the application of LED for Solar Home System (mainly indoor lighting) and street lighting application
using photovoltaic as power source (USAID, 2011). Currently no mandatory performance standards
for LED or other lamp types exist (En.Lighten, 2011). Since the IEC standard for LED is almost
complete now, Indonesia will probably start standard development for LED this year. More than
likely Indonesia will first start with the safety standards, because that is what they have done for
other lighting products. Indonesia might develop energy efficiency and performance standards if the
IEC and other countries in Asia do it. If there is a good standard model to adapt they might follow,
but they will not be developing anything on their own. Standard development will most likely be
focused on outdoor and general lighting. A reason for this is that LEDs incandescent household
replacement will be quite expensive for the average Indonesian (Ton, 2011).
The National Standardization Agency of Indonesia is the major agency responsible for standard
development in Indonesia. The Technical Committee for lighting is responsible for developing
national standards based on IEC standards. Other leading organizations include the Indonesian
Directorate General of Electricity and Energy Utilization and the Agency for Assessment and
Application of Technology (BPPT). The Ministry of Energy and Mineral Resources (MEMR), especially
The Indonesian Directorate General of Electricity and Energy Utilization, is an important stakeholder
for the standardization process. MEMR has been involved with the `Barrier Removal to the cost-
effective development and implementation of Energy efficiency Standards and Labeling Project´
(BRESL) supported by UNDP and GEF (BRESL, 2011). However, although LED is already introduced in
the market, the Indonesian Government has no specific programs on LED yet. The Agency for
Assessment and Application of Technology (BPPT) operates a major laboratory for Energy Technology
(B2TE-BPPT) (USAID, 2011).
Indonesia’s national utility, Perusahaan Listrik Negara (PLN) promotes energy conservation in
electricity use and launched a special lighting program focused on providing subsidized or free CFLs
to households (APERC, 2010). They are not involved in a program for LED yet. In fact national utility
has a peripheral role and is not driving the standardization process of LED (Ton, 2011).
APERLINDO, the lighting association of Indonesia, is quite active for lighting in general, for which they
have been involved in some standard setting process. APERLINDO is a member of ALC and also
involved in Lites.Asia. However they are not technically strong, especially in terms of LED (Ton, 2011).
Besides these organizations, there are two other organizations working in Indonesia that might push
the standards development of LED: the Clinton Foundation and the German Aid Agency, GTZ. The
Clinton Climate Initiative, part of the Clinton Foundation is cooperating with a number of Indonesian
cities to install outdoor LED lighting (Clinton Foundation, 2011). The Clinton Foundation surveys
different countries and searches for the best usable standards. They bring them into the countries to
encourage people to purchase products of good standards, not necessarily for the standards agency
to use. So in fact that is a sort of de facto standard that exists and might encourage SNI to adapt it.
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Master Thesis
Both the Clinton Foundation and GTZ have expressed interest in converting outdoor and street
lighting to LEDs (Ton, 2011).
Mr. My K. Ton point out that one of the main challenges related to the standardization of LED is the
lack of resources applied to lamps. Another major challenge is that the government is not enforcing
any of the standards. So even if they have standards, they might not apply to the products that are
available in the country. Moreover, in Indonesia they lack the basic testing capacity. So even if
Indonesia has standards, it is impossible to test them. In addition, even if there is some international
standards that can be adapted by Indonesia, the product still ends up more expensive than the
average Indonesian can afford. For instance, if they adopt the IEC standard for LED, that particular
product that can meet the IEC standards might be too expensive for the Indonesian market.
Generally that is also true for the other countries involved, but somehow it is more of a challenge for
Indonesia (Ton, 2011).

Currently Indonesia does not have standards for LED. Indonesia is developing testing standards and
will most likely develop safety standards for outdoor and general lighting. Unfortunately for
Indonesia nobody is driving the standardization process of LED. Even under the best circumstances
standard setting process is quite slow, since it has to go through committees and revisions. But if
nobody is driving the process it is even worse, which is happening now in Indonesia (Ton, 2011). This
is accordance with Indonesia’s major institutional challenge to generate sufficient support to
overcome inertia in the field of energy efficiency. This inertia is possibly a result of the decentralized
system which has resulted in an increasingly complex coordination of national policies and confusion
about the distribution of power and authority between different levels of government.
The finding that nobody is driving the standardization process is in accordance with the relatively
little attention of the Indonesian government to energy-efficiency opportunities and past policies and
lack of stimulation of efficient energy use. The Indonesian government lacks resources to develop
standards for LED and does not have any increased interest in LED. Fact is that standard development
for LED is currently not a high priority of the government, but this might change in the future. Reason
for this is that there is a lot of interest of the World Bank and other multilateral lending institutions
who want to loan money to Indonesia to operate their lighting.
4.7 Comparative discussion

In this section a comparative discussion and a comparative analysis of the standardization
regimes across countries will be given.
4.7.1 Comparative discussion across countries

All the five countries involved in this study have shown rapid economic growth over the past years
with energy being a key component of this growth. Currently they are facing the challenge to search
for energy conservation and energy efficiency to meet the increasing energy demand and sustain
economic development in the coming future. All countries show great potential for clean energy
development and energy efficiency. To secure energy supply, most countries involved have a policy
and regulatory framework for energy efficiency in place, which can take different forms. For China
this is for instance China’s 12th Five Year Plan for 2011-2015, while for Thailand the most significant
decree to promote energy-efficiency and renewable energy programs is the ENCON Act. Taking into
account that the majority of LED is manufactured in China, China’s focus compared to the other
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Master Thesis
countries is slightly different. China’s policies are for instance also focused on the development and
promotion of the emerging energy-saving and environmental industries to secure their healthy
development. An exception to the countries which have a policy and regulatory framework for
energy efficiency in place is Indonesia. Indonesia has given relatively little attention to energy-
efficiency opportunities. Moreover, past policies of the Indonesian government did not stimulate
efficient energy use.
Within the energy sector, the government plays a key role in the countries involved. Governmental
agencies are in place to manage the energy sector and formulate policies related to energy efficiency
and climate change, such as the Department of Energy in the Philippines, the Ministry of Energy in
Thailand and the Ministry of Industry and Trade in Vietnam.
However, although in most countries an adequate policy and regulatory framework for energy
efficiency is in place, there are major institutional barriers for policies, laws, regulations and
standardization. Common barriers are lack of enforcement and implementation of policies,
regulations and standards. As a result, energy saving standards and regulations are ineffective. In
addition, capacity building is needed in terms of training, technical knowledge and human and
financial resources. Both in the Philippines, Indonesia and Thailand there is lack of policy
coordination among governmental agencies, which makes the standardization process even more
complex. A specific challenge for the standardization process of LED in China is that sometimes
manufacturers are warned in advance that their products will be collected and tested. A specific
institutional challenge for Indonesia is to generate sufficient support to overcome inertia related to
clean energy and energy efficiency. Another major obstacle across the countries involved is the
limited availability of established LED testing laboratories. Of the countries involved in this study, so
far only China has the capacity to test LEDs and verify standards.
In terms of governmental initiatives and projects to promote energy efficient lighting China and the
Philippines take the lead. These countries both have initiatives going on to phases out incandescent
lamps. The other three countries launched successful programs as well, such as the Energy Efficiency
Public Lighting project in Vietnam. Both Thailand and Indonesia had successful Demand Side Projects,
mainly focused on CFL’s.
4.7.2 Comparative analysis standardization regimes
Table 4.30: Standardization regimes
Form of Main driver of Existing LED Segment Programs to

government standardization standards promote LED
China single-party state manufacturers safety general lighting, yes
governed by the specifications, road lighting
Communist Party performance and decorative
of China specifications lighting
and
performance
requirements
Philippines unstable government No; developing general lighting, yes
democracy standards for decorative and
safety Christmas
specifications lighting
and
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Master Thesis
performance
requirements
Thailand unstable international No; developing general lighting no
democracy organizations safety
specifications
Vietnam single-party government No; will start to general lighting no, but
socialist state led develop safety considering
by the Communist and starting one
Party of Vietnam performance
standards for
LED this year
Indonesia relatively stable none No; developing most likely no
democracy testing outdoor and
standards and general lighting
will most likely
develop safety
standards
China is very far ahead in terms of its standardization of LED compared to the Philippines, Thailand,
Vietnam and Indonesia. China has spent significant resources on standards development and is the
only country which has already developed standards for LED. In the other four countries currently no
standards for LED exist. According to Mr. Jeffcott China will be leading the developing countries as it
is in their interest (Jeffcott, 2011). Mr. Ton also agrees that China might be an example that other
countries will follow (Ton, 2011). Both Thailand and the Philippines have a number of efforts going
on. Thailand is trying to come up with standards by looking at the western example and looking what
they can adapt. They take the IEC standards and select the parts they think that are relevant and
make it to their national standards. The Philippines is also working on standard development and has
a number of efforts going on. Moreover, the Department of Energy is quite active. Vietnam and
Indonesia are struggling in the dark and far behind. Regarding the segment for which LED standards
are currently being developed, general lighting is the most common one.
While in China the main driver of the standardization process of LED is the industry, in the Philippines
and Vietnam the government is the major driving force. In Thailand this process is mainly driven by
international organization. In Indonesia nobody is driving the standardization process. Currently only
China and the Philippines have special programs to promote LED. In China this is for instance the 10
cities 10,000 lights project. The Philippines is involved in the Philippine Energy Efficiency Project,
which also includes LED lighting projects.
The countries involved all have to deal with challenges related to the standardization of LED. In China
it is of major importance that small manufacturers gain more knowledge on LED, buy equipment so
they are able to test LED, and train their employees so they can reach the international level of
quality control. Another challenge is that China has different regional requirements, especially for
outdoor lighting, given the country’s size and temperature differences between different regions.
Moreover, the patent issue and new industries moving into the lighting market slow down the
standardization process of LEDs. For the Philippines major challenges are related to time and
technical competence. In Thailand, Vietnam and Indonesia lack of testing facilities is the main
challenge. Another challenge in Indonesia is the lack of resources applied to lamps. For all countries
involved it will be a challenge that even if a country adopts the IEC standard for LED, that particular
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product that can meet the IEC standards might be too expensive for the local market. Especially for
Indonesia this will be a big challenge.
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5 Conclusion and recommendations

This chapter presents the conclusion of this study as well as the limitations and recommendations for
future research.
5.1 Conclusion
Within the context of the international debate on climate change, energy efficiency plays an
important role. Considering that meeting the energy demand to sustain economic growth is a major
challenge for developing countries in Asia, these countries all have great potential for energy
efficiency. In order to assure that LED is able to achieve its energy efficiency potential, clear
standards for LED has to be developed and adopted.
This study analyzed how standards for LED lighting emerge in developing countries in Asia and which
stakeholders influence the standardization process in this area, including in China, the Philippines,
Thailand, Vietnam and Indonesia. It has taken the influence of the environment on the
standardization process of LED in developing countries into account by applying institutional theory
and by analyzing how institutions matter within the standardization process. From the case studies
we find evidence that diverging institutional environments in developing countries in Asia have
resulted in different perceptions of the relevance, validity and acceptance of various stakeholders
into the standardization process of LED in this region. Institutional variation influences the
effectiveness of specific stakeholders within a particular institutional context. In conclusion both the
context and the role of each stakeholder within the standardization process affect how standards for
LED emerge and what the most important drivers for the standardization process are. This study
contributed to existing literature on standardization by analyzing how standards for LED lighting
emerge and which stakeholders influence the standardization process in developing countries in Asia.
It provides insight into the institutional and industrial actors that influence the standard setting
process of LED lighting in developing countries in Asia. Especially in this geographical area research in
the field of standardization is limited. Moreover, it introduces the concept of standardization regime
thereby contributing to theory on standardization.
This study has several practical implications. First of all organizations involved in the standardization
process of LED in Asia should be aware of the developmental nature of the countries which might be
more complex and has its own specific institutional challenges and barriers related to the
standardization process. Moreover, it implies that harmonization of performance standards of LED
lighting across the Asian region is needed to enhance the adoption of quality LEDs in Asia. Since this
study gives insight into the dynamics of standard setting in developing countries and the main
stakeholders involved, it provides a road map what stakeholder to approach and involve in this
harmonization process. In order to achieve harmonization of LED standards regional institutions play
a major role, especially ALC, Lites.Asia, En.Lighten and RCL. It is important that these organizations
cooperate and complement each other. While Lites.Asia and En.Lighten are more focused on
policymakers, ALC is involved with a wider range of stakeholders, such as the industry, lighting
associations and testing laboratories. Since regulation and standardization go hand in hand, it is
important to create a platform to link industry and government to stimulate discussion between
them for instance about the parameters and levels of the performance standards. In this way
stakeholders involved can build on feedback to give an Asian perspective on the standardization of
LED. Based on this study, it is recommended to first focus on the standardization of the general
lighting segment of LED. However, more research is needed to analyze what the focus areas are in
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other Asian countries. Lastly, given the fact that conditions and needs in developing countries in Asia
are different from the developing world, the use of a tier system (such as the one developed by ALC),
will be beneficial. Reason for this is that this takes minimum performance standards into account,
while at the same time it is able to meet specific need of Asian countries. In this way good enough
will be the way forward for better in the future.
5.2 Limitations and recommendations

This research is subject to some important limitations. One of the major limitations of this
research is that only five Asian countries are involved in the research. Hence, the results are not
generalizable. However, since the purpose of this study is theory building rather than theory testing
this approach is suitable. Future research should be conducted to verify the ideas of this study.
Moreover, in order to harmonize standards within the Asian region, further research is needed on
other Asian countries, such as India, Sri Lanka, Malaysia, Pakistan, Bangladesh, and Nepal. This would
provide valuable insight into the dynamics of standardization in developing countries. Another
limitation is the relatively small number of in depth interviews. Especially for Indonesia it was difficult
to get a response from relevant stakeholders. However, for each country involved at least one
stakeholder interview has been conducted to gain insight in the standardization process of LED in the
countries involved. In addition, data gathered from interviews might be biased, caused by image-
conscious informants (Eisenhardt & Graebner, 2007). In order to limit this bias, I have tried to
interview as many highly knowledgeable stakeholders who view the standardization process of LED
from different perspectives. Another limitation of this study is that the standardization process of
LED is currently ongoing and far from finished which results in an incomplete overview of the process
and gives only insight in the beginning of this process. As conditions can quickly change, it is not
possible to predict how the role of the stakeholders will be in the future.
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References
Interviews
The Philippines
Mr. Roberto C. Cristobal - President, Philippine National Committee of the IEC, Department of Trade
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Ms. Raquel S. Huliganga - Director, Energy Research and Testing Laboratory Services of the
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Mr. My K. Ton - Team Leader, Energy Efficient Lighting, for the ECO-Asia Clean Development and
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Appendices
Appendix 1: Stakeholder questionnaire and basis of questions

1. Could you briefly introduce yourself and your organization?
This question is intended to learn more about the respondent and the organization from
their perspective. The data from question 1 help to determine the legitimacy of both the
organization and the respondent.
2. What are the current activities of your organization related to the standardization of LED?
If any, what other stakeholders are involved in these activities?
Question 2 aims to assess the urgency of the stakeholder. The question is based on the
stakeholder method of De Vries (2003) which states that in order to evaluate urgency the
answer to the question “Has the stakeholder been active in pursuing his goals regarding this
standardization issue?” is relevant.
The sub question “If any, what other stakeholders are involved in these activities?” is
intended to find out which other stakeholders are involved in the standardization process
and with which stakeholders the organization cooperates. This helps to assess which
stakeholder are perceived as legitimate within the standardization process. According to the
stakeholder method of De Vries (2003) perceived legitimacy can be evaluated by the
question “do the other stakeholders accept or support the participation of this stakeholder in
the process?”.
3. Could you tell me more about the standardization in terms of timing? When did it start?
When will it be released?
Even under the best circumstances standard setting is very time consuming and a slow
process. In developing countries this process often takes even longer. In order to determine
the level of urgency and to get more insight in terms of timing of question 3 is posed.
4. What types of standards are currently developed for LED (e.g. performance, safety, energy
efficiency)?
Since a lot of different standards exist for LED, it is important to make sure about what type
of standard the respondent is talking. It can for example be the case that a particular country
does have testing standards, but lacks performance standards for LEDs.
5. For what LED segment are standards developed (e.g. outdoor, general etc.)?
This question is intended to learn more about for which LED segments the standards are
developed. This is important to determine, since the LED segment for which standards are
being developed often reflects the focus of the government.
6. What are the most important organizations involved in developing standards for LED in your
country?
This question aims to find out which stakeholders are regarded as most important for the
standardization process. This helps to assess which stakeholder are perceived as legitimate
within the process. According to the stakeholder method of De Vries (2003) perceived
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legitimacy can be evaluated by the question “do the other stakeholders accept or support the
participation of this stakeholder in the process?”.
7. Does your organization control resources needed for the standardization process (time,
financial, technical, position in network)?
According to the stakeholder method of De Vries (2003) to evaluate power, the question
“Has the stakeholder the resources to affect the standardization process or the success of the
resulting standards?” is relevant. Resources include time available, financial position,
technical expertise and/or the position in network of firms and organizations to which the
standard applies.
8. What challenges/obstacles are your organization facing related to standardization of LED?

Question 8 aims to gain more insight in the problems, concerns, and issues facing a
stakeholder related to the standardization process of LED. Data from this question were used
to determine stakeholder claims and the attribute of legitimacy.
9. What other organizations, agencies and associations in your country play an important role
for the standardization of LED?
This question aims to find out which other stakeholders are involved in the standardization
process besides the most important ones resulting from question 6. This helps to assess
which other stakeholder are perceived as legitimate within the process. According to the
stakeholder method of De Vries (2003) perceived legitimacy can be evaluated by the
question “do the other stakeholders accept or support the participation of this stakeholder in
the process?”.
10. Do lighting associations play a major role? If yes, which ones and how?
During the desk research it was often difficult to find enough information about the lighting
associations. A lot of these organizations do not have a website or the website is in the local
language. The interview gave me the opportunity to get a better understanding about these
associations.
11. What role are international organizations playing for the standardization of LED?
This question is based on theory on standardization regimes and aims to find out what role
international organizations are playing in order to assess whether standardization of LED is
mainly driven by international organizations, the industry or governmental organizations.
12. What role is the industry playing for the standardization of LED?
This question is based on theory on standardization regimes and is intended to learn more
about the role of the industry in order to evaluate whether standardization of LED is mainly
driven by international organizations, the industry or governmental organizations.
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13. Is standardization of LED mainly driven by governmental organizations, international

organizations or the industry?
This question is based on theory on standardization regimes and aims to gain more insight
whether standardization of LED is mainly driven by international organizations, the industry
or governmental organizations.
14. For (country) I found that the following organizations play a role for the standardization of
LED:
a) Are any organizations missing on this list? If yes, which ones?

b) Could you indicate for each organization its level of involvement in the standardization of
LED?
c) Could you give me a contact person for each organization?
Question 14a aims to check whether any organizations are missing on the list resulting from
the desk research. Question 14b helps to determine perceived legitimacy. Question 14c gives
the opportunity to get in touch with other organizations to invite them for an interview.
15. Are there any campaigns/ consumer education /national advertisements about LEDs to teach
ordinary consumers how to choose LEDs or any other programs to promote the use of LED in
your country?
Question 15 is intended to get a deeper understanding of existent governmental programs to
promote LED in a particular country.
16. Is there any additional information about your organization that you want to include in this
interview?
Question 16 provides the respondent with the opportunity to address any topic which was
not covered by the interview, but relevant for this study.
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Appendix 2: Singapore Lighting Energy Efficiency Week
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Appendix 3: List of laboratories

Country Name Description Type of Test Test How well Certification Contact
lighting CFLS LEDs equipped?
products
capable to
test
China National laboratory CFLs, yes yes a set of testing accredited by http://www.nltc.cn/en/i
lighting Test specialized Residential equipment Energy Saving ndex.html
Center in testing Lighting that is among Trust (EST);
(NLTC), energy- Fixtures, the most qualified lab huasm@nltc.cn
Beijing efficient Mercury advanced for ENERGY
lighting testing in domestically STAR® Phone:
products, fluorescent and of the first certification +86.10.67708989-4000
established lamps, lamps, rank
in 1975 luminaires, internationally
ballasts and
lighting
accessories
National professional general yes yes 1948 accredited http://www.saltnet.com
2
Center of testing lab lighting and m laboratory Lab of China .cn/
Supervision for lighting accessories, area; National
& Inspection equipment, marine lights, 12040,000 Accreditation salt@saltnet.com.cn
on Electric subordinate airport RMB of capital Service for
Light Source to Shanghai lighting, assets of Conformity Tel:+86-21 51097935
Quality, Institute of lamps, testing Assessment
Shanghai Quality ballasts and equipment (CNAS), and
Inspection transformers including 42 the China
and and other apparatus Compulsory
Technical light control valued more Certification
Research devices than (CCC) Testing
(SQI), 50,000RMB Body
authorized each appointed by
by AQSIQ in Certification
1992 and
Accreditation
Administratio
n of the
People’s
Republic of
China
China professional luminaries for yes yes 1948 accredited http://www.saltnet.com
2
National testing lab general m laboratory Lab of China .cn/
Lighting for lighting, lighting, area, National National
Fitting subordinate special Center of Accreditation salt@saltnet.com.cn
Quality to Shanghai function Supervision & Service for
Supervision Institute of lighting, such Inspection on Conformity Tel:+86-21 51097935
Testing Quality as explosion- Electric Light Assessment
Centre Inspection proof Source Quality (CNAS), and
(CLTC), and luminaires, (Shanghai) has the China
Shanghai Technical luminaires for 12040,000 Compulsory
Research emergency RMB of capital Certification
(SQI), lighting, assets of (CCC) Testing
authorized marine and testing Body
by AQSIQ in submerge equipment appointed by
1992 lighting including 42 Certification
equipment apparatus and
and valued more Accreditation
aerodrome than Administratio
luminaries 50,000RMB n of the
each People’s
Republic of
China
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China lighting test unknown yes yes international unknown

National laboratory advanced level
Lighting
Fitting
Product
Supervision
Testing
Center,
Zhongshan
China lighting test unknown yes yes international unknown
National laboratory advanced level
Center for
Quality
Supervision
and Test of
semiconduct
or devices,
Shijiazhuang
Philippines Lighting and Appliance Compact yes no Electrical and Yes, ISO/IEC http://www.doe.gov.ph/
appliance testing Fluorescent performance 17025: 2005 ertls/LATL.htm
testing laboratory Lamps (CFLs); testing by Philippine
laboratory division, part facilities Accreditation
(LATL) of Energy Tubular Office, doefatl@globenet.com.p
Research Fluorescent Department h
Testing & Lamps of Trade and
Laboratory Industry mrcampanano@yahoo.c
Services of om
Fluorescent
DOE; since
Lamp Ballasts
1997
(632) 929-5443
Energy
Saving
Equipment
and Devices
DTI-Bureau Lighting Tubular no no Safety No http://www.bps.dti.gov.

of Product testing fluorescent requirements ph/content/category/12
Standards division; lamps, self testing /159/388/lang,en/
Testing since 1995 ballasted facilities
Center lamps,
magnetic
ballast,
luminaires,
lighting sets,
incandescent
lamps,
electronic
ballast
Scientific Private; unknown yes no Performance No http://www.efficientligh
Environment since 2006 Tests ting.net/doc/20071114%
al (electrical and 2814%29.pdf
and Photometric
Analytical requirements)
Laboratory
and Services
(SEALS)
Institute of Part of the Testing yes no Life Test No http://www.iiee.org.ph/
Integrated National laboratory for home/index.php/cfl-
Electrical Engineering compact test-lab
Engineers of Center (NEC) fluorescent
the of the lamps (CFLs)
Philippines University of
88
Master Thesis
Inc. (IIEE) the

Philippines;
since 2007
Thailand Electrical Industry Luminaires, yes no Testing yes, Thai http://www.thaieei.com
and specific lamps services Laboratory /eei2009/en/index.aspx
Electronics institute (Tungsten, include Accreditation
Institute under the fluorescent, performance Scheme marketing@thaieei.com,
supervision compact requirements, (TLAS) light@thaieei.com
of the fluorescent), safety
Ministry of lighting requirements, (662)709-4860-8
Industry. accessories. degrees of ext.126, 130
protection
provided by
enclosures (IP
Code), and
photometric
measurements
Vietnam Quality Supported CFL, FTL, HID, Yes No Measuring recognized by http://www.quatest1.co
Assurance by Ministry Magnetic equipment and MOIT’s m.vn/index.php?lang=en
and Testing of Science Ballast, instrument for standards and
Center and Luminaire light source, labeling Tel: 04-38361399
(QUATEST) 1 Technology control gear guidelines; E-mail:
and luminaire accredited by contact@quatest1.com.
BoA vn
per ISO/IEC
17025
requirements
QUATEST 3 Supported CFL, FTL, HID, Yes No Measuring recognized by http://www.quatest3.co
by Ministry Magnetic equipment and MOIT’s m.vn/default.aspx?globa
of Science Ballast, instrument for standards and l=1
and Luminaire light source, labeling Tel: 84–8–38 294 274
Technology control gear guidelines E-mail:
and luminaire info@quatest3.com.vn
Hanoi Supported CFL, FTL, HID Yes No Measuring No
University of by Ministry equipment and
Technology of Education instrument for
light source
and luminaire
Institute of Supported CFL, FTL, HID Yes No Measuring No http://www.ims.vast.ac.
Materials by VAST equipment and vn
Science instrument for Tel: 84.4.37564129
light source E-mail:
office@ims.vast.ac.vn
Indonesia Center of Supported CFL Yes No unknown unknown -
R&D on by Ministry
Electricity of Energy
and and Mineral
Renewable Resources
Energy (MEMR)
(P3TEK)
Energy Supported CFL, ballast Yes No Unknown unknown http://b2te.bppt.go.id/hi
Technology by Agency story.html
Centre for
(B2TE), Assessment Tel: 021 - 756 0550, 756
Agency of and 0092
Assessment Application
& of Email:
Appliances Technology info_b2te@webmail.bpp
of (BPPT) t.go.id
Technology
PT. CFL, ballast Yes No unknown fully complies -
89
Master Thesis
Sucofindo with the

requirements
of ISO/IEC
17025: 2005-
05, The Basic
Rules, IECEE
01: 2008-11
and
Rules of
Procedure
IECEE 02:
2008-10, and
the relevant
IECEE CB-
Scheme
Operational
Documents
R&D Centre Supported CFL, ballast Yes No unknown unknown -
of State Own by PLN
Electricity
Enterprise
B4T Supported CFL, ballast Yes No unknown unknown -
by Ministry
of Industry
Internation Underwriter international Regarding Yes Yes Affiliates in UL uses IEC http://www.ul.com/
al s ly LED UL offers o.a.: Australia, standards
Laboratories recognized a wide variety China, India,
Inc. independent of services, Malaysia,
product such as safety Singapore,
safety certification Thailand
testing and and
certification compliance
organization services for
manufacturer
s,
qualification
testing and
photo
biological
evaluations to
determine
risk of LED
90
Master Thesis
Appendix 4: Existing standards for LED in China

Name Segment Type
GB 19651.3-2008 Miscellaneous lamp holders Part 2-2: Particular requirements -
Connectors for LED modules (IEC
60838-2-2:2006, IDT)
GB 19510.14-2009 Lamp control gear Part 14: Particular requirements for
d.c. or a.c. supplied electronic control
gear for LED modules (IEC 61347-2-
13:2006, IDT)
GB 24819-2009 LED modules for general lighting Safety specifications (IEC 62031:2008,
IDT)
GB/T 24823-2009 LED modules for general lighting Performance requirements
GB/T 24824-2009 Measurement methods of LED (CIE 127-2007，NEQ)
modules for general lighting
GB/T 24825-2009 D.C. or A.C. supplied electronic control Performance requirements (IEC
gear for LED modules 62384:2006, MOD)
GB/T 24826-2009 Terms and definitions of LEDs and LED (IEC 62504:2008 NEQ)
modules for general lighting
GB 24906-2010 Self-ballasted LED-lamps for general safety specifications (IEC 62560, IDT)
lighting services>50V
GB/T 24908-2010 LED for general lighting services Performance requirements
GB/T 24907-2010 LED-lamps for road lighting Performance specifications
GB/T 24909-2010 LED lamps for decorative lighting
QB/T 4057-2010 LEDs for general lighting Performance requirements
Source: USAID, 2011
91

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ROTTERDAM SCHOOL OF MANAGEMENT, ERASMUS UNIVERSITY ROTTERDAM

Stimulating the transition to LED

Author: Welmoed Altena – 336943

MScBA Chinese Economy & Business

Coach: Mark Greeven

Co-reader: Peter van Baalen

Rotterdam, 24 November 2011

4.2.5 Standardization regime ........................................................................................................ 38

1.1.1 Energy efficiency and LED lighting

1.1.2 The role of developing countries

1.1.3 The role of international organizations and regional associations

1.2 Research objective and scope

How do standards for LED lighting emerge in developing countries in Asia?

1.3 Thesis outline

2.1.2 Types of standards

2.1.3 The standardization process

Figure 2.1: Framework for standard dominance

Source: Van de Kaa et al., 2007.

Source: Suarez, 2004.

2.1.4 Standardization regimes

Source: Derived and adapted from Doh & Guay, 2006.

2.2 Stakeholder theory

2.2.1 Typologies of stakeholder theory

In response to convergent stakeholder theory, Freeman (1999) proposes a divergent stakeholder

2.2.2 Identification and classification of stakeholders

2.2.3 The Stakeholder Salience Model: stakeholder attributes

2.2.4 The Stakeholder Salience Model: the degree of salience

Figure 2.4: Stakeholder typology: one, two, or three attributes present

Source: Mitchell et al., 1997.

The category of latent stakeholders consists of dormant stakeholders, discretionary stakeholders,

The category of expectant stakeholders consists of dominant stakeholders, dependent stakeholders,

2.2.5 Summary stakeholder theory

In conclusion, the framework discussed provides a roadmap for:

• The identification of stakeholders

2.3 Problem statement and research question

How do standards for LED lighting emerge in developing countries in Asia?

3.1 Research method and data collection

3.2 Case selection

4.1 International and regional stakeholders

Table 4.1: International standard setting institutes

Sources: IEC, 2011.

Table 4.2: International and regional institutions and related organizations

Stakeholder Type Aim Size Since Financial Interaction Extra info

are active membe standards.

organizes SEMI LED

4.1.2 Stakeholder analysis

Table 4.4: Stakeholder analysis international and regional level

Stakeholder Power Legitimacy Urgency Classification

World Bank Y Y - Y 75%: P L - Dominant

Asian Y Y - Y 75%: P L - Dominant

Asia Lighting Y - Y Y 75%: P L U Definitive

En.lighten Y Y Y Y 100%: P L U Definitive

Global Lighting Y Y Y Y 100%: P L U Definitive

International - - Y Y 50%:- L - Discretionary

International - - Y - 25%: - L - Discretionary

Professional Y - Y - 50%:- L - Discretionary

Efficient Y - Y Y 75%: P L U Definitive

Lites.Asia Y Y Y Y 100%: P L U Definitive

SEMI - - Y Y 50%: - L - Discretionary

Regional Centre Y Y Y Y 100%: P L U Definitive

4.2.1 Institutional overview

4.2.2 Stakeholder identification China

An example of a quality regional manufacturer in China is Danson Electronics, a multimillion dollar

National standard Setting Institute