关于中美两国在清洁能源领域开展合作的建议

1、建立联合能源实验室
中美两国在提高能效、加快可再生能源和先进清洁煤技术应用等方面都有巨大的潜力。建立联合能源实验室，发挥各自所长，进行联合技术研发、政策研究、标准制定和发展规划制定的交流；同时，两国都面临着清洁能源人才——能源审计、可再生能源技术等人才匮乏问题，比如，具有资质和经验的能源审计师能够寻找节能机会，制定商务计划，为银行和其他金融机构投资节能和清洁能源项目提供支持。建立联合能源实验室的具体行动为：

• 中美两国政府共同出资建立研究基金，支持开展政府间合作的优先研究项目，或支持两国大学、研究机构开展合作研究项目，两国联合研发的成果，应按照本合作建议第七项投保知识产权保护险。两国政府官员以及专家应组成指导机构，负责确定联合研发项目的优先顺序，协调共同开展相关创新技术的研究。联合指导机构的工作应该公开透明、严谨可靠；
• 在两国大学和能源研究机构之间建立更多的合作方式，例如，签署合作协议，联合推出课程教育、认证和学位计划，包括扩大访问学者交流、学生交换计划，协调技术创新活动，避免重复，力争取得事半功倍的效果；
• 实施“教员培训”项目，加快可再生能源专业的教师培养，迅速增加有资质的（注册）能源审计专业人才的数量，扩大对商用建筑物及工厂的能效审计，提出节能改进方案； 
• 政府应制定和实施与其各自财税政策并行不悖经济激励政策和方案，以支持清洁能源技术的开发和利用，降低清洁能源项目的开发成本。经济激励方式包括直接补贴、加速折旧、税赋抵扣、上网电价等；
• 实施金融培训项目，培养清洁能源商业化项目的开发和投资技能，提高贷款机构对能源服务公司（ESCOs）、工业和商业建筑能效投资项目以及可再生能源项目进行评估的能力。

2、共享智能电网（包括输电和配电网络）技术和经验
智能电网技术通过应用电网智能化技术，优化输电线路，集成分布式发电和储能设备，提高电网效率、可靠性和灵活性。可行方案为：

• 解决共同面临的城市配电问题，例如可选择北京和纽约进行合作； 
• 安装智能电表系统，为供电公司和电力用户提供更完善的信息，帮助他们优化用电；
• 为解决风电、太阳能发电及负荷低谷期发电等与电力负荷不匹配的发电电源问题，开发和配备分布式“智能”储能系统，使这些电源所发电力能应用于电力负荷高峰时段，替代建设调峰电厂；
• 分享风电、太阳能发电等分布式不稳定电源入网的技术和经验；
• 联合研发和配备“复合式系统”控制软件，实现复杂的含有子系统的电网实时智能控制和管理；
• 分享特高压输电技术和知识，减少输电损耗，提高将电力从边远地区或能源基地输送到人口密集的大城市、电力负荷中心的经济性；
• 研究针对智能电网的配套智能设施的技术标准；
• 分享电动汽车充电相关问题的技术和知识；
• 实现需求侧管理工具的共享，包括技术与行为介入方案。

3、协调开发清洁煤技术,共享碳捕获和碳封存技术
中美两国是世界上最大的煤炭消费国，煤电分别占发电总量的80%和50%，在煤炭清洁、高效利用方面有着共同的目标。双方可以独立地实施并行的开发项目，共同探索清洁煤利用技术，共享经验与成果，降低技术成本，加速清洁煤电厂的开发建设：

• 在两国间协调实施多个并行的研发项目，共同探索清洁煤技术、碳捕获、碳封存技术，提升清洁煤技术,加速其应用；
• 设计并建造4个先进的近零污染、近零排放示范煤电厂，对2个老旧燃煤电厂进行改造（即双方各建设2个新的示范电厂，改造1个老旧电厂）。通过采用多种燃烧技术、不同的环境控制装置、各种运行方式、以不同种类的煤炭为燃料做示范比较分析，寻求合适的技术和运行管理方法.
• 测试碳捕获和碳封存技术，包括利用二氧化碳生产生物液体燃料。

4、 提高太阳能光伏发电、太阳能热利用技术及太阳能热发电技术的使用效率，并大规模推动其市场应用。
中美两国在太阳能技术和制造方面处于世界领先地位，通过强强联合，可使两国大幅度地提高光伏发电、太阳能热利用系统的效率，降低制造成本，从而使太阳能技术成为更具竞争力的一种热力资源：

• 两国分别制定大规模开发与利用太阳能的中长期目标（包括光伏发电、热发电、太阳能热利用等). 
• 共同开展技术研发工作，以提高效率，降低成本；
• 在两国选择合适地点，分别建设百兆瓦级大型并网光伏先进技术示范电站，并建设具有商业规模(例如，50瓩以上级别)的太阳能热发电项目；
• 联合研发太阳能及其他“间断性能源”发电并网技术，分享入网经验；
• 扩大中国太阳能热水器对美国的出口;
• 分享推动太阳能技术应用的政策性尝试的经验与教训，例如，融资、减免税、出口管制豁免、诸如上网电价、加速折旧等经济性激励措施等。

5、推动向油电混合和电动汽车的转型
中美两国是全球最大的汽车市场，并共同面临着石油进口保障和安全等问题。通过迅速推动汽车产业的转型，即从汽油和柴油为主要燃料向油电混合和电动汽车转型，两国在降低对进口石油的依赖度、缓解环境污染、减少二氧化碳排放、增加就业机会等方面，都有着巨大的潜力。

• 各自在若干个城市建立为插电式混合动力车 (PHEV) 和纯电动汽车 (EV) 的充电基础设施，并确定这些城市到2015年要达到不少于10万辆混合动力和/或电动汽车的目标；
• “既合作又竞争”——两国既可以共同合作，也可以相互竞争，获取市场份额；制定通行的标准，扩大其适用范围，最大限度地增加贸易机会；
• 联合开展车用电池技术的研发；
• 分享将智能电网技术应用于电动汽车的经验，即利用电力负荷谷期的富余电力或可再生能源电力对电动汽车进行充电，减少排放；
• 制定适合两国国情的必要政策、激励措施、地方许可等，鼓励油电混合汽车和电动汽车的应用，并分享政策实施的经验。

6、面向航空和海运业发展生物燃料和可持续运输技术
与汽车不同，飞机和轮船无法依靠电池来提供动力，因此就有必要开发既能够减少二氧化碳净排放量又能够提高能效的可持续生物燃料。两国在这一领域有广阔的合作空间：

• 联合研发或进行技术交流，侧重民用航空和海运业，包括港口、机场运营等领域；测试和评估生物燃料原料的可持续供应、质量、稳定性和可靠性；
• 探索建立可持续的生物燃料生产和配送体系；
• 制定相关政策，保证生物燃料得以按照合理的商业规律应用于航空和海运领域；
• 提高两国空中交通管制系统的效率，共享成功经验。

7、利用政策手段消除障碍，加快清洁能源的应用步伐
中美两国都认识到，两国在促进贸易，加快清洁能源技术的利用和创造就业机会方面，有着共同的利益。尽管如此，两国间仍然存在许多政策上的障碍，阻碍双方实现双赢，阻碍我们将美好的愿望付诸实践。有待解决的关键问题包括：

• 尽可能减少乃至消除在清洁能源产品与服务领域的关税和非关税壁垒。两国目前对许多清洁能源技术和产品征收进口关税，双方共同或联合开展相关政策研究，逐步消除障碍；
• 免除对清洁能源技术、软件和服务的出口管制。无论在观念上还是实践上目前存在着一个巨大障碍，就是美国的出口管制制度，它在很大程度上延迟和抑制着美国与他国联合研发新技术。过去，许可证、军民两用性分析、披露终端用户及贸易黑名单等规定，在确保国家安全方面发挥了重要作用。但是，如今这些规定却阻碍了各国间竭诚合作，阻碍了减排技术在各国最大限度的开发与应用。
• 联合实施保护知识产权的举措，由中美双方保险机构共同承保（例如由美国海外民间投资公司 (Overseas Private Investment Corporation) 或类似的官方机构以及中国人民保险公司共同承保），并由双方政府为保单提供全额担保。此举将加强知识产权的地位，并提高双方知识产权持有者的信心，消除对新技术转让或开展合作研发的疑虑和后顾之忧。此外，它还有利于促进加大执法力度，打击知识产权侵权行为。
• 建立清洁能源可持续的长期融资机制，包括适合双方国情的直接融资、贷款和信贷担保等；
• 分享在建立和实施新型能源费率系统、促进需求管理、鼓励清洁能源应用等方面的成功经验。

8、 创建清洁能源特区，促进新政策、新费率体系、税收激励等措施的实施，为其他清洁能源合作项目提供实施平台
中国通过建立经济特区，鼓励创新和集中投资，加快了其经济发展。参照经济特区的模式和经验，中美两国分别建立清洁能源特区，在特区内尝试新观念、新技术和新政策，而无需改变国家级政策，而后者通常需要完成一个极为复杂和耗时的过程。

• “特区”的概念既可是地理意义上的区域，也可以是“虚拟”意义上的区域。在两国间建立“结对”清洁能源特区，例如，在旧金山和上海，实施电动汽车计划；在重庆和西雅图，推广能源服务公司（ESCOs），实施商业及工业建筑物节能项目。也可在现有姊妹城市、州省之间，开展生态伙伴项目；  
• 在两国着重推广可持续的、可复制的政策和技术，推出具有针对性、集中的交流项目，建立互信，并共享成功经验；
• 根据两国的具体情况，创建可持续发展的模范社区，例如大连和硅谷。

 

1.    Establish a Joint Energy Center
China and the US have the potential to improve energy efficiency and to accelerate the development of renewable energy and advanced coal technologies. Both countries would benefit from a joint energy center and joint R&D programs in which the two countries will share their respective experiences and practices in their joint pursuit of energy technology research and development, policy studies, standards setting, and development planning. Additionally, both countries suffer from a shortage of qualified, certified energy auditors who can identify opportunities for energy savings and build business plans to justify the necessary investment to banks and other lenders. The detailed action plans are as follows:

• The two governments should establish a jointly funded research fund to conduct prioritized joint governmental research projects, or joint research by U.S. and Chinese research universities or entities. Such research should be entitled to the protection of the joint intellectual property insurance program recommended in Initiative # 7. An entity comprised of appropriate governmental officials of the two nations and with the participation of non-governmental experts should establish the priorities for and coordinate such research. The work of this entity should be transparent and accountable;
• Establish additional agreements between universities, technical colleges and research institutions specializing in energy technologies to jointly create curricula, certifications, and degree programs, to expand exchange programs for researchers, scholars and students, and to coordinate joint research and development of innovative technologies to maximize impact and minimize duplication;
• Establish a “train the trainers” program to step up training of professional teachers specialized in renewable energies and to greatly increase  qualified (and certified) energy audit experts who can analyze factories and commercial buildings to identify efficiency improvements;
• Each nation shall implement economic incentives consistent with its tax and fiscal policies in the form of direct appropriations, rapid depreciation, tax credits, feed-in tariffs or other incentives to encourage the rapid development and implementation of clean technologies and to reduce the capital costs of clean energy projects;
• Establish finance training programs to develop skills in creating business/investment cases and to improve the lending community’s ability to evaluate efficiency investments from energy service corporations(ESCOs), as well as industrial and commercial building owners.

2. Share knowledge and technologies needed to create smart grids (including transmission and distribution networks).  The smart grid offers the opportunity to improve the efficiency, reliability and flexibility of both countries’ electrical systems by adding intelligence to the network, optimizing transmission and integrating distributed generation and storage technologies.  Action plans are as follows:

• Address urban distribution issues common to, for example, Beijing and New York;
• Install smart meter systems that provide increased information to utilities and to consumers, so each can do a better job of optimizing energy use.
• Develop and deploy distributed “smart” storage systems so that wind, solar and off-peak generation can be utilized during peak periods, instead of building “peaking” plants;
• Share knowledge and technologies necessary to integrate variable and distributed resources, such as wind and solar, into the grid;
• Deploy “system of systems” software that can provide the necessary intelligence to provide real-time management of complex sub-systems;
• Share knowledge on UHV transmission technologies to reduce line loss and provide cost-effective means to bring power generated in remote areas to urban population centers;
• Develop standards for smart appliances that can be tied to the smart grid;
• Share knowledge about issues surrounding recharging of electrical vehicles, and discuss development of compatible standards;
• Share demand side management tools, including technologies and behavioral solutions.

3. Coordinate development of clean coal technologies, including carbon capture and sequestration. China and the US are the world’s largest consumers of coal, which provides 80% and 50%, respectively, of each country’s electrical generation. By working together to develop and deploy advanced coal technologies on a parallel basis, and sharing information on what components and practices work best, both countries can accelerate the development of cleaner coal plants and drive down their cost.

• Create coordinated program, involving multiple projects in both countries, to accelerate deployment and refinement of advance coal technologies.
• Design and construct four to six demonstration-scale advanced near-zero pollution/emission coal-fired power plants and two coal power plant retrofit projects. (Each country would build two to three advanced plants and execute one retrofit project). Utilize multiple combustion technologies, environmental control systems, operating procedures, types of coal to benchmark most promising technologies and operating practices.
• Test carbon capture and sequestration technologies, including use of CO2 to create sustainable bio-fuels.

4.  Increase efficiency, development and commercialization of Solar Photovoltaic, Solar Thermal, and Concentrated Solar technologies.   China and the U.S. are world leaders in solar technology and manufacturing. By combining forces, the two countries can work together to increase efficiency of both photovoltaic and thermal solar technology and lower manufacturing costs so that solar becomes more competitive with thermal generating resources.

• Set ambitious mid- and long-term goals for the development and adoption of solar (PV, concentration and thermal) technologies for both countries;
• Conduct joint research and development aimed at improving efficiency and lowering manufacturing costs;
•  Select proper locations in the two countries respectively to build 100 MW-class large-scale grid connected photovoltaic power plants, and commercial-scale (50+KW) solar PV projects; 
• Conduct joint development of technologies and procedures to facilitate integration of solar and other “variable resources” into the electricity grid;
• Develop programs to increase exports of China’s solar thermal hot water heaters to the US;
• Share information on the effectiveness of policy initiatives which will accelerate deployment of solar technology:

o    Financing
o    Elimination or reduction of tariffs
o    Exemption from export controls
o    Incentives such as feed-in tariffs, accelerated tax depreciation


5.  Power Transformation to Hybrid and Electric Vehicles
China and the US are the world’s largest automobile markets and are therefore faced with the challenges of energy security, due to heavy reliance on petroleum imports.  Both countries have the potential to cut dependence on imported petroleum, reduce pollution and CO2 emissions and create jobs by rapidly transforming vehicles so that they are powered primarily by electricity rather than gasoline and diesel.

• Aggressively roll out infrastructure for several cities in each country to accommodate PHEVs and EVs. Set ambitious goal of at least 100,000 vehicles for each city by 2015.
• “Coopetition”—recognize that we can both cooperate and compete for market share. Establish common standards to facilitate broad adoption and maximum opportunities for trade.
• Conduct joint battery technology Research &Development.
• Share knowledge of how to utilize smart grid technology to assure that vehicles are recharged by using green energy or when there is spare capacity in the grid so that emissions will be minimized.
• Establish necessary policies: incentives, local permitting, etc. appropriate for each country. Share knowledge on effectiveness of such policies.

6.  Develop Bio-fuels And Sustainable Transmission Technology for Aviation and Maritime Industries
Unlike automobiles, airplanes and ships cannot rely on batteries to power them, so there is a great potential and need for the countries to collectively develop sustainable bio-fuels that can reduce net carbon emissions and increase energy efficiency.

• Focus on commercial aviation and maritime, including port and airport operations. Test and evaluate bio-fuels feedstocks in terms of their sustainable supply, quality, stability and reliability.
• Develop sustainable bio-fuels manufacturing and distribution capability.
• Develop policies which ensure that biofuels will be available on a reasonable commercial basis for transportation modes that have no practical alternative to liquid fuel (aviation, maritime).
• Improve efficiency of both countries’ air traffic control system and share best practices.

7.  Utilize Policy Tools to Eliminate Barriers and Accelerate Clean Energy Adoption
Despite our well-recognized common interests in accelerating deployment of clean energy technologies and creating jobs by increasing trade, a number of policy barriers exist that prevent common interests and good intentions from being translated into action. Key actions include:

• Minimize or eliminate tariffs and non-tariff barriers on clean energy goods and services. Both the US and China currently impose tariffs on a wide variety of clean energy technologies. The two countries shall jointly or separately develop policies to eventually eliminate these barriers.
• Eliminate export controls for clean energy technologies, software and services. A substantial barrier in perception and practice is the current US system of export controls which substantially delays and deters efforts for joint research and development of new technologies between the US and other nations.   The combination of license requirements, dual use analyses, end user requirements and non-eligible trader lists served important national security needs in the past but now deter joint efforts to develop and implement multi-country use of best efforts to reduce carbon emissions. 
• Institute a joint intellectual property protection program with insurance jointly written by US and Chinese entities (for example by the US Overseas Private Investment Corporation, Export-Import Bank or similar government program and by People’s Insurance Company of China, Import-Export Bank or similar government program), with the full faith and credit of each government standing behind the policies. This would strengthen property rights on both sides and greatly increase confidence when transferring new technology or undertaking joint research. It would also encourage strong enforcement of laws against infringement of intellectual property rights.
• Institute ongoing and sustainable financing mechanisms for clean energy, including direct financing, loans and loan guarantees that are appropriate for each country’s situation.
• Share best practices on innovative energy rate structures to help manage demand and on incentives to accelerate clean energy deployment.

 
8.  Create Strategic Energy Zones (SEZs) to facilitate innovation in applying new policies, rate structures, tax incentives, etc. so that it will be easier to implement other priorities in the joint clean energy program.
China accelerated its economic development by creating Special Economic Zones, which encouraged innovation and concentrated investment. Building on that model, create zones in each country where new ideas, technologies and policies can be pilot tested without having to change national policies, which is usually more complicated and time consuming.

• Focus investment and activity in geographic or virtual zones. Create “Paired” Special Energy Zones e.g. a San Francisco and Shanghai program on electric vehicles; a Chongqing and Seattle program on utilizing ESCOs to accelerate efficiency programs in industrial and commercial buildings. Build on existing relationships, ecoPartnerships, sister cities and sister states/provinces.
• Emphasize models for broader deployment of policies and technologies in both countries that are sustainable and replicable.  Establish focused and intense exchange programs to build trust, share best practices.
• Create model sustainable communities, appropriate to the conditions of each country, such as in Dalian and Silicon Valley.