October 27, 2015 Dr. Alicia Mignone Chair, Committee on Energy Research and Technology International Energy Agency 9, rue de la Fédération 75739 Paris Cedex 15 France Dear Alicia: On behalf of the U.S. delegation to the Committee on Energy Research and Technology (CERT), and in collaboration with the members of the voluntary working group on updating the Implementing Agreement (IA) Request for Extension (RfE) process, I am pleased to provide our consolidated recommendations on managing IA RfE approvals, and also in establishing a CERT/IA communications framework. The 18 September meeting of International Energy Agency (IEA) leadership, IAs, and the CERT cabinet focused on the importance of enhancing the profile of the Agency s technology initiatives, and brought to the forefront the importance of improving communication across the IEA Energy Technology Network. To meaningfully enhance the external profile of IEA technology initiatives, the IA s must first be internally integrated with Agency activities. While additional steps are necessary to comprehensively address IA management, these proposed changes to the RfE process, and the introduction of an additional communications framework, provide a strong foundation to enhance IA integration with the Agency and support its efforts to elevate the IA external profiles. Although the legal requirements of the International Energy Agency s (IEA) RfE process are distinct from the actions that will be undertaken under a communications framework, the working group prefers to address these two issues in concert given that the respective roles of the IAs and CERT are at the center of both issues. Our recommendations are summarized below: RfE documentation: As part of the written procedure for extending collaboration terms, the IAs shall provide the following: Strategic Work Plan, limited to two pages End of report, limited to five pages Quantitative indicators questionnaire, slightly modified from the original design Qualitative indicators questionnaire As part of the written procedure for extending collaboration terms, the relevant Working Party (WP) shall provide the following: Working Party Ratings Feedback Questionnaire
- 2 - Communications framework: To increase communication between the IAs, the Committee, and the IEA secretariat, the following shall occur: IAs shall be encouraged to provide to CERT, through the Working Parties, annual twopage summaries of work completed and significant outcomes and accomplishments. IAs shall be required to brief the CERT in person on their research activities at least once per five-year term. Compliance with this requirement shall be documented in the RfE process. In certain cases, such as in fusion energy, where some IA subject matters align with or are integrally supportive of others, one representative IA brief may fulfil the requirement of the others. To facilitate IA briefings, the secretariat shall organize a daylong workshop to be held on the margins of a regular CERT meeting, at least once annually. In advance of the formal RfE, IAs shall transmit to the CERT a draft Strategic Work Plan for comment. I hope you ll find these recommendations an effective pathway to improving communications across the Energy Technology Network while reducing the paperwork burden on IAs during the RfE process. The recommendations call for a significant reduction in RfE paper volume, while enhancing transparency and comparability across IEA sanctioned technology collaborations. Documentation for these recommendations is found in the attachments to this letter, with changes from previous versions highlighted in yellow. I look forward to presenting this to the Committee during the November CERT meeting. Thank you for your time and attention. I welcome your response. Sincerely, Attachments: cc: (1) Proposed CERT Review Process (2) Proposed CERT Guidelines for Supporting Documents (3) Proposed CERT Communications Framework (4) Questionnaire Quantitative Indicators (5) Questionnaire Qualitative Indicators (6) Questionnaire WP Ratings Feedback Avi Gopstein Senior Energy Technology Advisor Bureau of Energy Resources Mary Warlick, Jon Elkind, Robert Marlay, Rick Westerdale, Dave Turk, Nathan Hernandez, Rob Sandoli, Steve Lindenberg, Jarad Daniels, Mark Friedrichs, Tom Vanek, Kim Ballou, Maureen Clapper, Jean-Francois Gagne
October 23, 2015 PROPOSED MODIFICATIONS TO CERT REVIEW PROCESS for Implementing Agreement Requests for Extension Each new term is requested for a maximum of five years. The review process for a request for extension begins one year before the date of the end of the current term. This allows time for discussion and drafting by the Executive Committee and to present the required documents to both the Working Party and CERT meetings before the date of the end of term. The Secretariat guides this process and provides relevant information to the Working Party and the CERT. The main steps involved are outlined below. 1. The Executive Committee (ExCo) of the Implementing Agreement (IA): (a) Votes (either by a unanimous or majority vote, as provided in the IA text) to seek an extension for a maximum of five years (or a shorter period if desired). (b) Discusses the accomplishments of the past term and plans for the future (requested) term. The results of these discussions form the basis for the Quantitative Indicators Questionnaire (Quant), Qualitative Indicators Questionnaire (Qual), End-of- report (EoT), and the Strategic Work Plan (SWP) which are drafted in line with the CERT Guidelines for Supporting Documents. (c) Unanimously endorses the Quant, Qual, EoT, and SWP. (d) At least four months prior to the Working Party meeting, submits the SWP to the CERT Secretariat for dissemination to the Committee Delegates and discussion at the next CERT meeting. (e) Makes arrangements for the Working Party designee to present the SWP to the CERT at the Committee meeting described in 1(d) for feedback. (f) Makes arrangements for the ExCo Chair (or his/her designee) to personally present the Request for Extension (RfE) at the Working Party meeting before the end of term date. 2. The Working Party (WP): (a) A WP designee presents the IA SWP from 1(d) to the CERT for review and discussion at a Committee meeting which occurs prior to the Working Party meeting during which the RfE is presented for consideration, per 1(f). (b) Discusses and evaluates the RfE based on the current Quant, Qual, EoT, and SWP, and the associated extension documents, WP recommendation, and CERT decision from the previous RfE, if any. (c) Decides whether to recommend extension and if so, for what duration (which may be for a shorter period than the ExCo requested). (d) Prepares a written recommendation for submission to the CERT, which includes completing the CERT Procedure for an Implementing Agreement Request for Extension document, also known as the Questionnaire WP Ratings Feedback spreadsheet. 1 CERT Review Process Draft Guidelines
3. The CERT: (a) Reviews the SWP presented to the CERT by the WP designee as described in 2(a), providing feedback via oral discussion at the Committee meeting. (b) Reviews the documents that were submitted by the IA to the WP. (c) Considers the IA request for extension and the WP written recommendation by Written Procedure (unless the CERT Chair requests the IA to present the request to the CERT meeting). The Written Procedure will request comments within 21 days (or any longer time as may be decided by the CERT Chair, as appropriate), after which time: i. if no comments are received from CERT delegates, the WP recommendation will be considered approved and is recorded in the minutes of the subsequent CERT meeting; or j. if one or more CERT delegates does not agree with the WP recommendation or asks that the request be considered at the next CERT meeting (for example, if the delegate wants more information from the IA or considers that conditions, other than those suggested by the WP may be required), then the IA request for extension will be considered at the next regular CERT meeting. (d) If necessary, considers the request for extension at the next CERT meeting, if the CERT Chair or another CERT delegate so requests, or if a CERT delegate does not agree with the WP recommendation, and decides whether to approve the request for extension either as recommended by the WP, or subject to other conditions (for example, a shorter term). 4. The Secretariat: (a) Within 14 days of the CERT meeting and discussion described in 3(a), shall provide written feedback to the WP and IA by extracting and transmitting the relevant segment of draft Committee meeting minutes. (b) Sends a letter of notification of the CERT decision to the ExCo Chair and Working Party Chair. (c) Posts to the International Energy Agency internal Delegates and Advisors web pages copies of all RfE documents. 2 CERT Review Process Draft Guidelines
October 23, 2015 PROPOSED MODIFICATIONS TO CERT SUPPORTING DOCUMENTS GUIDELINES for Implementing Agreement Requests for Extension As part of an Implementing Agreement s request for extension, the Implementing Agreement (IA) is required to submit and End-of- report, Strategic Work Plan, Quantitative Indicators Questionnaire, and Qualitative Indicators Questionnaire, initially to the relevant Working Party, and subsequently to the CERT. The Quantitative Indicators Questionnaire (Quant) provides a summary of activities of the term that is coming to a close; The Qualitative Indicators Questionnaire (Qual) provides a summary of achievements of the term that is coming to a close; The End-of- report (EoT) provides a more detailed overview of the achievements of the term that is coming to a close; The Strategic Work Plan (SWP) outlines the planned body of work for the term being requested; The request for extension process is an opportunity for the ExCo to discuss their accomplishments over the past term and to make specific plans for the next term. The Quant, Qual, EoT, and SWP collectively referred to as extension documents are official IEA documents that are posted to the IEA CERT and Working Party delegates web pages. The information gathered may also be used to disseminate the results of the Agreement s work, raise the profile of the Agreement, and attract interest from potential IEA member and IEA non- Member countries. The documents also provide Working Parties (and subsequently the CERT Delegates) with important information on the Agreement s activities and plans. This enables the Working Party members to decide whether to recommend that the term of the Agreement be extended, and further, enables the Working Party and CERT to advise on the strategic directions of the Agreement and help develop linkages and progress the work program. To assist the Working Parties and CERT s assessment of the Agreement, when drafting EoT and SWP documents the following guidelines should be followed: End-of- report: (a) Limited to five (5) pages in length; (b) Expands on the information contained in the Qualitative Indicators Questionnaire, providing an overview of IA successes; (c) Shall highlight the value and relevance of IA activity to the IEA mission; and (d) May include, as appendices, any annual two-page summaries previously submitted to the Working Party and CERT. 1 Supporting Documents Draft Guidelines
Strategic Work Plan: (a) Limited to two (2) pages in length; (b) Provides a high level overview of planned program of work; and (c) Shall highlight the strategic relevance of planned IA activity to the IEA mission; and (d) May include, as an appendix, a single page summary of the CERT feedback deemed most important by the ExCo, and any adjustments made to the final SWP document. It should be noted that the extension documents are not programmatic management documents, and therefore are not intended to replicate the more detailed task and management plans inherent to ExCo and Working Party functional oversight of IAs and Annexes. Instead, the extension documents are intended to facilitate review of Agreement accomplishments and strategic alignment with IEA, CERT, and Energy Technology Network priorities. The EoT and SWP are intentionally unstructured documents, so that the IAs can communicate past successes and forward strategy in a manner most relevant to the specific Agreement. To complement the limited structure and brief nature of the EoT and SWP, standardized Quantitative and Qualitative Indicators Questionnaires are also employed in the extension documents to provide rapid insight into IA work program comprehensiveness, participation, and contributions to the IEA s Energy Technology Network. The CERT notes that the Quant document includes a broad set of questions, not all of which are relevant to each Agreement. Accordingly, IAs shall not be compelled to provide nonzero responses for each of the rows in the Work Programme and Outputs sections of the Quantitative Indicators Questionnaire. 2 Supporting Documents Draft Guidelines
October 23, 2015 PROPOSED NEW CERT COMMUNICATIONS FRAMEWORK for Implementing Agreement Strategic Engagement On 18 September 2015, International Energy Agency (IEA) leadership convened the first ever meeting of all the Agency s Implementing Agreements (IAs), along with members of the Secretariat and Committee for Energy Research and Technology (CERT) cabinet, to discuss opportunities to increase the utility of IEA sanctioned technology activities. With representatives from more than three quarters of IAs participating, a significant majority of the Energy Technology Network was present. Several key themes emerged, and IA requests ranged from increasing and regular engagement with the Secretariat, to IEA assistance for improving IA communications and messaging with the international and policy communities, to improving communications and awareness across the Energy Technology Network. The CERT therefore proposes this communications framework which will: (a) enforce regular communications between IAs and the CERT; (b) provide a means for dialogue on strategic direction with CERT on proposed programs of work; and (c) provide annual opportunities for disparate IAs to convene, thereby increasing cross-network communications. This three-part framework for engagement builds on the updated Request for Extension (RfE) process, and establishes without being burdensome multiple communication periods and mechanisms to maximize awareness of significant developments, strategic direction, priorities, and critical issues at the CERT, Working Party (WP) and IA levels. Minimum obligations are clearly described for the IAs, WPs, CERT, and Secretariat, and referenced to the RfE process and documents where appropriate. This communications framework is not intended to prescribe all future IA engagement. Rather, it is conceived as a starting point from which CERT, Working Party, IA, and Secretariat communications can be molded to enhance the effectiveness of the Energy Technology Network. 1. Annual reporting: The IAs are encouraged, in coordination with the Working Party, to provide annual written year-end summaries of work performed and accomplishments. a. The Implementing Agreement: i. Each January is encouraged, but not required, to submit to CERT through the Working Party a two-page summary of work completed and significant outcomes and accomplishments during the preceding year. ii. These annual summaries may be attached to the End-of- report as annexes, as described in the Proposed CERT Guidelines for Supporting Documents. b. The Working Party: i. Shall agree to and provide a template for these annual short summaries. ii. Shall submit to the Secretariat, in time for dissemination prior to the CERT February meeting, copies of all IA annual summaries received. 1 New CERT Communications Framework Draft Guidance
c. The Secretariat: i. Shall broadly disseminate IA annual reports by posting and archiving them on the IEA public website. 2. In-person IA Status Updates: A Status update is a mid-term, or opportunistic, briefing to CERT, which occurs once per term. It allows an IA to showcase particular successes, or challenges, in executing its research program, and if appropriate solicit strategic feedback from the CERT and Secretariat. The Update will raise awareness of IA activities across the IEA. By annually holding an IA workshop on the margins of a regular CERT meeting, the Secretariat will facilitate communication across the Energy Technology Network. a. The Implementing Agreement: i. Shall brief the CERT in person, at least once per term. ii. The briefing subject shall be selected by the IA, in consultation with the Working Party. The mid-term brief is not intended to be comprehensive of all IA activities. iii. In certain cases, such as in fusion energy, where some IA subject matters align with or are integrally supportive of others, at the discretion of the Working Party one representative IA brief may fulfil the requirement of others. iv. Shall indicate on their RfE Quantitative Indicator Questionnaire the number of CERT briefings given. b. The Working Party: i. Shall determine, per 2(a)(iii) above, those instances when one representative IA brief may fulfil the requirement of others. c. The CERT: i. Delegates shall respond, either orally during the workshop or subsequently through direct communications, to IA requests for strategic guidance. d. The Secretariat: i. Shall organize a daylong IA workshop to be held on the margins of a regular CERT committee meeting, at least once annually. 3. Preliminary Strategic Work Plan (SWP): Prior to submitting a RfE, the IA will draft a preliminary SWP, or list of topics to be addressed in the next 5-year term, and present it to the CERT for feedback and strategic guidance. The process is described in the Proposed Modifications to CERT Review Process 1(d), 1(e), 2(a), 3(a), and 4(a), and extracted below. a. The Implementing Agreement: i. At least four months prior to the Working Party meeting, submits the preliminary SWP to the CERT Secretariat for dissemination to the Committee Delegates and discussion at the next CERT meeting. ii. Makes arrangements for the Working Party designee to present the SWP to the CERT at the Committee meeting described above for feedback. iii. May include, as an appendix to the final SWP, a single page summary of CERT feedback deemed most important by the ExCo, and any adjustments made to the final SWP document. 2 New CERT Communications Framework Draft Guidance
b. The Working Party: i. A WP designee shall present the IA preliminary SWP to the CERT for review and discussion at a Committee meeting which occurs prior to the Working Party meeting during which the RfE is presented by the IA for consideration. c. The CERT: i. Reviews the preliminary SWP presented to the CERT by the WP designee as described above, providing feedback via oral discussion at the Committee meeting. d. The Secretariat: i. Within 14 days of the CERT meeting described above, shall provide written feedback to the WP and IA by extracting and transmitting the relevant segment of draft Committee meeting minutes. 3 New CERT Communications Framework Draft Guidance
CERT PROCEDURE FOR AN IMPLEMENTING AGREEMENT REQUEST FOR EXTENSION IA acronym QUANTITATIVE INFORMATION/INDICATORS 1 DURING THE CURRENT TERM CHANGE DURING PAST TERM ( + / - ) IA COMMENTS Number of studies (annex, task, subtask, survey, other t d ) Number of databases or models WORK PROGRAMME Number of experts' networks Other (please specify) Number of publications OUTPUTS Number of scientific journal articles Number of conferences or workshops orgranised (and participants) Number of executive summaries or policy briefs nn (nnn) Other (please specify) Number of two-pagers or annual reports submitted Number of times CERT briefed IEA Secretariat activities (number of contributions/peer reviews): Energy Technology Perspectives Technology roadmaps Technology Platform events and publications Market trends (gas, oil, renewables, energy efficiency) Energy Technology Initiatives OPEN Bulletin Topical workshops Activities organised with Partner countries Other (please specify) Total number of participants 0 0 Contracting Parties (Iocated in OECD member countries) Contracting Parties (located in OECD non-member countries) Contracting Parties (intergovernmental organisations) Sponsors (located in OECD member countries) Sponsors (located in OECD non-member countries) MEMBERSHIP Funding mechanism (task-shared, cost-shared, mixed) COSTS OF THE COLLABORATION [enter one: cost-shared, task-shared or mixed] Total annual budget (please note currency) Executive Committee support (Secretary, Operating Agent, other) Substantive activities (annex, task, model, network, other) Efforts to raise awareness of your work ExCo fees Contracting Parties Sponsors Special conditions (please specify) Number of full-time equivalent (FTE) employees 1. Information provided in this sheet is for information only. It may be consulted (but not evaluated) by Working Parties as part of the request for extension. It may also be used by the Secretariat to analyse issues across all IAs (taking into consideration resources and capacities). The information will not be published or disseminated further relative to individual IAs.
CERT PROCEDURE FOR AN IMPLEMENTING AGREEMENT REQUEST FOR EXTENSION KEY FINDINGS OR LESSONS LEARNED FROM IA ACTIVITIES IA acronym Study (annex, task, other), model, database, network, other
Name of Implementing Agreement Implementing Agreement Acronym IA acronym Website www. Submitted by (name of Chair) IA Chair Funding [enter one: cost-shared, task-shared or mixed] Date the IA was created mmm-yyyy Date of current term dd-mm-yyyy requested dd-mm-yyyy Working Party: Country: CERT PROCEDURE FOR AN IMPLEMENTING AGREEMENT REQUEST FOR EXTENSION 1 RFE DOCUMENTATION SUMMARY INFORMATION TO BE PROVIDED BY THE IMPLEMENTING AGREEMENT Implementing Agreement for INFORMATION TO BE PROVIDED BY THE WORKING PARTY 2 Delegate: Criteria Meets (M) or Exceeds (E) expectations Ratings of responses to questions in the RfE Report End-of-term report Improvements suggested Serious issue identified N/A Meets (M) or Exceeds (E) expectations Strategic objectives Improvements suggested Serious issue identified N/A Notes Strategic Direction Scope Technology RDD&D Environmental protection Outcomes, successes and best practice Policy relevance Membership Synthesising and disseminating results Totals
Comments relative to supplementary information Indicators Work programme Outputs Membership Costs of collaboration Comments Barriers Work programme Raising awareness Managing the programme Membership Other FEEDBACK RECOMMENDATION Based on the WP ratings and feedback, the [full name of the WP] recommends that the Committee on Energy Research and Technology (CERT) approve the request for extension of the [full name of the IA] for [nn years] from dd-mm-yyyy to dd-mm-yyyy 1. For documents to assist in the planning, preparing, completing and submitting of this questionnaire: www.iea.org/techinitiatives/rfe