Science & Diplomacy Building Bridges While Accelerating a Clean - - PowerPoint PPT Presentation

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Building Bridges While Accelerating a Clean Energy Revolution

by

• Dr. Robert C. Marlay

Office of International Affairs U.S. Department of Energy Center for Science Diplomacy American Association for the Advancement of Science Washington, D.C. May 5, 2016

Science & Diplomacy

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• In July 1971, Henry Kissinger, President Nixon’s National

Security Advisor, executed one of the most memorable diplomatic maneuvers in history

• Kissinger feigned sickness in Pakistan and flew

under cover of darkness deep into China to open secret discussions

• The People’s Republic of China was a totalitarian

State and represented values profoundly different than those of the United States

• Kissinger and Nixon still saw strategic advantages in
• pening a dialogue with Mao and the Chinese

Regime

• Eight years later, Nixon, Kissinger and Mao were gone,

but seeds they planted led to a normalization of relations

• First manifestation of US-China cooperation was in the

form of a Science & Technology Agreement in 1979

The Power of S&T to Open Doors and Nurture Cooperation

President Nixon meets with China’s Premier, Mao Tze-Tung, February 21, 1972 President Nixon and Kissinger on the south lawn of the White House, August 10, 1971

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• In January 1979, U.S. and China agreed to cooperate on range of S&T

research objectives, including:

• Agriculture, Energy and Space;
• Health and Environment;
• Earth Sciences and Engineering; and
• Educational and Scholarly Exchanges

New Era of S&T Cooperation

• Thus began, a new era of S&T cooperation

that now encompasses dozens of programs, including energy-related activities:

• High Energy Physics, N. Physics and Fusion Energy;
• Oil, Gas, and Coal Technology;
• Nuclear Security and Non-Proliferation;
• 10-year Framework on Energy Efficiency,

Environmental Conservation, and Energy Security

• Beyond China, almost all countries seek innovation in clean energy technology
• This creates an array opportunities for the US government -- with its robust

research enterprise – to open doors, build relationships of trust & friendship, and accelerate the pace of innovation

PRC’s Premier Deng Xiaoping and President Jimmy Carter sign diplomatic agreements between the United States and China, January 31, 1979

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• Today, the U.S. Department of Energy has:
• 400+ S&T agreements, with
• 80+ countries, and
• 8 international organizations.
• DOE is active internationally

in all 4 of its mission areas:

• Energy supply and security
• Basic sciences
• Nuclear non-proliferation
• Environmental clean-up
• Integrating all of the above to advance strategic objectives in energy,

the economy, and the environment, including climate change.

International Cooperative Agreements

DOE Headquarters, Washington, DC

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Countries with International S&T Agreements with DOE

Source: DOE. “IEC Documents.” Accessed May 4, 2016. http://www.energy.gov/ia/iec-documents.

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• CERC Goals:
• Spur Innovation of Clean Energy Techs
• Diversify Sources of Energy Supply
• Improve Energy Efficiency
• Accelerate Transition to Low-Carbon

Future

• Avoid the Worst Consequences of

Climate Change

• Four existing research tracks: Advanced

Coal Technology; Clean Vehicles; Efficient Buildings; and Energy and Water

• New Track on Medium and Heavy Trucks
• Currently $250 M over 5 Years
• Open to Other Areas in the Future

November 2009

In November 2009, President Obama and China’s former President, Hu Jintao launched: Seven Joint Clean Energy

• Initiatives. The Protocol was signed on Nov 9, 2009.

In November 2014, Presidents Obama and Xi Jinping , jointly announced significant National commitments to reduce GHG emissions. CERC was heralded as an exemplar of cooperation between the two countries. U.S.–China Clean Energy Research Center 中美清洁能源研究中心

U.S.-China Clean Energy Research Center

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Tangible Outcomes and Impacts; Relationships Continue to Expand and Deepen; Researchers have Access to Unique Experimental Platforms; Industrial Partners Gain Market Knowledge and Build Relationships; Large-scale Business Ventures Explore Ways to Collaborate with CERC Shared Data Accelerate New Technology Deployment; Additional Private Partners Seek to Join; Other Countries are Taking Notice.

Examples of Research Success

Buildings Energy Efficiency Consortium Test and Evaluation of Advanced Technologies In Remodeled CABR, Beijing, LBNL & MOHURD Clean Vehicles Consortium Simulated Crash‐Tests of Light‐Weight Multi‐Material Car Bodies, Tsinghua and U. Michigan Advanced Coal Technology Consortium Post Combustion Capture Simulation of Huaneng’s Process Applied to Duke’s Gibson–3 Plant

U.S.–China Clean Energy Research Center 中美清洁能源研究中心

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• Work Plans Developed Jointly
• Work Together on Same Projects
• Research Characterized by Division of Labor

Among Participants on Joint Tasks

• Joint R&D Exploits Complementarities
• Relationships Interdependent
• R&D Results Can Arise Jointly
• Benefits are Embedded among Partners and

Extended by Interests in Commercialization

• Guaranteed Right to IP in Other's Territory; IP

Terms & Conditions May be Negotiated

• Potentially More Attractive IP Platform

CERC’s New Model for Enhanced S&T Collaboration

Collaboration (CERC) * Cooperation (Traditional)

• Work Plans Coordinated, but Separate
• Independent Work on Similar Projects
• Interactions Characterized by Research

Visits, Personnel and Student Exchanges

• R&D Focuses on Institutional Strengths
• Relationships Collegial
• R&D Results Shared Externally
• Benefits are Mainly Academic; Transfer of

Knowledge via Technical Papers & Reports

• No guaranteed IP Rights in Other's

Territory; IP Provisions Not Flexible

• Few IP Advantages for R&D Partners

* Jointly Funded Research Projects, as Defined by Mutually Agreed-Upon Technology Management Plans

U.S.–China Clean Energy Research Center 中美清洁能源研究中心

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• Innovative Bi-Lateral Approach to IP

Enabled by CERC Protocol & Annex

• Strengthens protections for IP
• Enables robust research agenda
• Facilitates lawful exploitation of IP in

both territories

• Supports fair resolution of disputes
• Technology Management Plan (TMP)
• Sets rules and expectations before

work begins

• Endorsed by both Governments
• Facilitates collaborative work and

encourages compliance

• Joint IP Conference, Hainan, March 2012
• Joint IP Conference, Palo Alto, Feb 2013
• Published Researcher’s Guide to IP

(English & Chinese), October 2015

Intellectual Property

Two governments sign endorsement letters supporting the jointly agreed upon & signed Technology Management Plans* Observers: Secretary of Energy Steven Chu Minister of Science & Technology WAN Gang Vice Minister QIU Baoxing , MOHURD Signatories: Assistant Secretary David B. Sandalow, DOE Deputy Director General MA Linying, MOST Country Directors of CERC:

• Dr. Robert C. Marlay (for U.S.)

Counselor LIU Zhiming (for China, Not Shown) * TMP, regarding the exploitation of intellectual property rights pursuant to paragraph ILB,2,(d) of Annex I- Intellectual Property (hereinafter "IP Annex") of the CERC Protocol, Beijing, September 23, 2011 U.S.–China Clean Energy Research Center 中美清洁能源研究中心

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Map of Over-Arching Goals to Outcomes

Overarching Goals Approaches Outputs Outcomes

• A. Accelerate Development

and Deployment of Clean Energy Technology

• B. Expand and Strengthen

Bilateral Engagement between U.S .and China

• C. Protect and Encourage

Development of IP and Improve US –China interactions regarding IP

• D. Facilitate Relationship

Building and Market Access to Participating Businesses to Speed Technology Development New Insights and Knowledge/ Technical Breakthroughs New, Productive S&T Partnerships and Business Relationships Formed Improved Energy Security, Efficiency, and Quality of Life Joint Research on Clean Energy Techs in Mutually Beneficial Areas to:

• Accelerate Innovation
• Share Costs and Divide Risks
• Diversify Tasks and Expand Scope
• Harness Complementary Strengths
• Access Unique Experimental Platforms
• Deepen Business Participation

Utilizing an Enhanced Model of Bilateral Collaboration, based on:

• Equality, Mutual Respect, Reciprocity,

Trust & Friendship

• Timely Exchange of Information
• Effective Protection of Intellectual

Property

• Respect of Laws of Each Other’s

Country Reduced Pollution and Avoiding Worst Consequences of Climate Change Strengthened US- China Relations with Spillover Benefits Increased Innovation- led Competitiveness and Business Opportunities

Technological Environmental Diplomatic Economic

U.S.–China Clean Energy Research Center 中美清洁能源研究中心

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Significant Cooperative Bilateral Outcomes of CERC

Indicator 2011 2012 2013 2014 2015

Number of significant cooperative bilateral

• utcomes attributed, in part, to CERC

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• Significant Cooperative Bilateral Outcomes Include:
• US‐China Innovation Dialogue, JIN Xiaoming statement about CERC (May 2013)
• US‐China Summit, Presidents launch 4th CERC track on Energy & Water (Sep. 2014)
• US‐China Joint Announcement on Climate Change (November 2014)
• China’s submission of its Climate Action Plan (June 2015)
• US‐China, Presidents launch 5th CERC track on Heavy Trucks (September 2015)
• China joins US and 18 other countries in Mission Innovation with China’s

participation made possible, in part, by CERC relationships (November 2015)

• Paris Agreement, marking successful climate meeting of 180+ countries, with

greater ambition inspired, in part, by progress in clean energy innovation among emerging economies (December 2015)

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• The U.S. shares common interests and

strategic challenges with many countries

• Many “emerging economies” have matured

and actively seek innovative solutions

• Such solutions are facilitated, indeed,

mobilized by bilateral S&T cooperation

• Importantly, these economies now possess

intellectual capacities and unique research platforms capable of solving BIG problems

Summary

• U.S. motivations for S&T cooperation long ago shifted

from “foreign aid and technical assistance” to strong value propositions that benefit all parties

• Leveraging complementary strengths in S&T can:
• Accelerate innovation,
• Spur economic progress, and
• Improve the quality of life
• Joint research can spur solutions to serious problems

that just can’t wait – better, faster and cheaper.

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• Mutual respect and cooperation in research builds trust and

friendship across cultural divides among influential leaders.

• Trusted relationships and open channels of communication

can afford powerful spillover benefits to help:

• Manage global issues;
• Promote trade and commercial interests;
• Keep open dialogue on sensitive issues
• With China on climate change, witness the Joint Statement of

November 2014 by U.S. and Chinese Presidents. This one announcement, brought China into the negotiations, and:

• Was widely acknowledged as the “key” that unlocked

success a year later during COP-21, known as the Paris Agreement

• The Joint Statement cites the US-China CERC three times

as an exemplar of US-China bilateral cooperation

• Similarly, Mission Innovation would not have been seen as

successful without participation by India and China, facilitated by 5-years of progress under PACE-R and CERC.

But, there is more . . . .

https://www.whitehouse.gov/the-press-office/2014/11/11/us- china-joint-announcement-climate-change

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Accelerating the Clean Energy Revolution – A Leaders’ Initiative

• All on One Stage ‐‐ Leaders of 20 Countries Representing over 80% of Global Clean

Energy R&D Investment Agreed to Support a Joint Statement on Innovation

• Each Country Supported a Doubling of Governmental Clean Energy R&D

Investment over Next Five Years (www.mission‐innovation.net)

• Gov’t Investment was Complemented by a Private Sector Initiative led by Bill Gates,

the Breakthrough Energy Coalition (www.breakthroughenergycoalition.com)

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• International cooperation in S&T is motivated, first and

foremost, by value propositions for research progress.

• Without this, transaction costs can defeat the

endeavor.

• At DOE, we have discovered value on additional fronts:
• Strengthened bilateral engagement between the

parties, with surprising foreign policy effects;

• Protected IP and improved IP interactions; and
• Opened market access for participating businesses.
• If this model works on energy R&D for China and India,

perhaps, it could be extended to:

• Other areas of cooperative research; and
• Other country‐pairs.
• This would seem to be a worthy endeavor:
• For science, and
• For diplomacy.

Conclusion

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Backup Slides

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• Duke Energy, Univ. KY, Huaneng‐CERI,

DOE’s Lawrence Liv. Nat. Lab

• Joint process model:
• Gibson Plant, Unit‐3, Indiana
• Shidongkou Plant, Shanghai
• Technical Results:
• 28% capture penalty, all in
• $30/ton in China confirmed
• $61‐68/ton Gibson retrofit
• Additional operational info
• Commercial Results:
• Huaneng/Duke agreement
• Huaneng FEED study for 400 MW

Early Signs of Research Success: Large-Scale Post-Combustion Capture Retrofit

U.S.–China Clean Energy Research Center 中美清洁能源研究中心

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International R&D Agreements with DOE

*Note: Countries listed have active agreements with DOE. Countries with which DOE only has non-proliferation agreements are not included. Source: DOE. “IEC Documents.” Accessed May 4, 2016. http://www.energy.gov/ia/iec-documents.

Western Europe Eastern Europe America Asia Africa and the Middle East Oceania International Organizations Austria Armenia Argentina Bangladesh Algeria Australia European Organization for Denmark Czech Brazil China Botswana Indonesia Nuclear Research (CERN) European Republic Canada Ghana Equatorial Guinea European Atomic Energy Union Hungary Chile India Iraq Community (EURATOM) Finland Kazakhstan Colombia Japan Israel Global Carbon Capture and France Poland Costa Rica Pakistan Jordan Storage Institute, Ltd. (GCCSI) Germany Romania Jamaica Philippines Morocco Inter-American Development Iceland Russia Mexico Singapore Nigeria Bank (IADB) Ireland Ukraine Trinidad South Korea Qatar International Energy Agency Italy and Tobago Turkey Saudi Arabia (IEA) Norway Venezuela Uzbekistan Senegal International Finance Portugal Vietnam South Africa Corporation (IFC) Spain Tunisia Organization of American Sweden United Arab States (OAS) United Emirates United Nations Environment Kingdom Programme (UNEP)