-based Climate Solutions, Inc. www.ocean-based.com Santa Fe, NM 87501 505-231-7508 [email protected]

All-Natural Biogeochemical CO2 Sequestration In Deep Ocean.

Summary of Scientific Findings. Pump Design. modeling, testing, data, and efficiency. Upwelling/ Estimated Annual Volumes. Downwelling Mechanics and Efficiencies. Nutrient Conversion and Net Carbon Sequestration From Upwelling. Dissolved Organic Carbon. Optimization: Projected Net CO2 Sequestered For Different Pumping Depths. Microbial Carbon Pump and Redfield Ratio. Safety Strategy. Environmental risk. CO2 Sequestration Estimate, Data Acquisition and Verification. Long-term Impact on Cumulative CO2 and Rise. Phased Installation and Cost Per Ton. Conclusion. References.

Summary of Scientific Findings.

• “…a new study from Woods Hole Oceanographic Institution (WHOI) shows that the efficiency of the ocean's "biological carbon pump" has been drastically underestimated, with implications for future climate assessments. By taking account of the depth of the euphotic, or sunlit zone, the authors found that about twice as much carbon sinks into the ocean per year than previously estimated.” [1]

• Mathematical analysis and fluid dynamic modeling concludes that upwelled deep water quickly mixes and remains in the sunlit zone above the where the nutrients accumulate to trigger a bloom. [2]

• Modeling also demonstrates when the warm, salty surface water is pumped down the tube, it cools and becomes denser below 300m, then sinking by gravity as it mixes into the deeper ocean. [3]

• Deep water contains more nutrients as well as higher levels of dissolved CO2 compared to the surface ocean. Water upwelled from below about 300m contains surplus phosphate, enabling a second phytoplankton bloom that absorbs more CO2 than originally contained in the upwelled . [4]

• “Our models indicate that induced downwelling may be ~3 to 102 times more efficient than bubbling air, and 104 to 106 times more efficient than fountain aerators, at oxygenating hypoxic bottom waters.” [5]

• The upper ocean contains about twice the level of dissolved organic carbon as the mid ocean, suggesting downwelling will directly sequester this excess surface carbon. [6]

• Microbes living in the mid and deep ocean efficiently convert dissolved organic carbon (DOC) into “recalcitrant DOC” – radiocarbon dated at 5,000 years. [7]

• “…BGC-Argo…measure six additional properties in addition to , temperature and measured by Argo, to include oxygen, pH, nitrate, downwelling light, chlorophyll fluorescence and the optical backscattering coefficient. The purpose of this addition is to enable the monitoring of ocean biogeochemistry and health, and in particular, monitor major processes such as ocean deoxygenation, acidification and warming and their effect on phytoplankton, the main source of energy of marine ecosystems.” [8]

Pump Design.

Powered by ocean waves, our upwelling and downwelling pump technology [9] naturally amplifies ocean biogeochemical processes to store more CO2 in the deep ocean and counteract . Each pump upwells nutrient-enriched seawater from 500-m to the sunlit surface, triggering a phytoplankton bloom which absorbs dissolved CO2. This CO2-enriched water is concurrently downwelled below 600-m and sequestered for 1000’s of years.

Fig. 1. Sketch of upwelling/downwelling wave-powered pump and biogeochemical response.

With the long tubes made from extra-strong nylon ripstop fabric spooled onto the and valves, each pump is compact for shipping and deploys automatically when offloaded at .

A 2-ton counterweight attached to the bottom of the downwelling tube provides the gravity-sinking force and keeps the fabric tubes oriented vertically once deployed. This weight (and attached tubes) sinks as the surface buoy slides off a passing wave, closing the top-mounted 1-way valve and efficiently forcing water down the tube. As the buoy rides up the next wave, this downwelled water is released while the 1-way valve at Fig. 2. CEO Philip Kithil with 1/3 scale prototype, December 2018. bottom of the upwelling tube closes, forcing water up the tube where it is released on the next wave cycle.

a b

c

Fig 3. (a) Pump loaded onto deployment vessel, Morro Bay CA. (b) Design sketch of pump. (c) Buoy converted to raft-shape upon deployment.

Upwelling modeling, testing, data, and efficiency.

Mathematical analysis [2] by Professor Atmocean* Pump Efficient In Mixing Horizontal Spread of the “Cold Pool” at Isaac Ginis from the University of Because Water Is Released In Parcels Bottom of From Gravity Rhode Island Graduate School of in 2008 concluded:

1) When more-dense deep cold water R T1 h parcels are pumped into the warmer T3 surface layer, they sink and mix T2 becoming neutrally-buoyant, “piling-up” Confidential Confidential on top of the thermocline. Fig 4. Sketches of upwelling water parcels mixing above thermocline. *Atmocean is parent company. 2) Variations in /period deliver variable flows – mimicking natural ocean upwelling processes.

These conclusions indicate the nutrient-enriched deeper water will accumulate above the thermocline in the sunlit zone, achieving critical nutrient ratios needed to trigger and maintain a bloom.

We documented wave-powered upwelling from 500 feet Test Results 12-11-05 Bermuda: depth in Bermuda in 2005, followed by our 2007 test off Atmocean's Wave-Driven Pump San Diego obtaining data showing one-way valve open- Brings Up Cold Water From 500' Deep close cycles combined with temperature data, which 23.0 3 22.5 gives a flow rate of 4.8 m per minute. 22.0 21.5 21.0 Comparing wave-driven upwelling flow rate to 20.5 20.0 theoretical gives upwelling pump efficiency of 73.3%. C. Degrees, 19.5 19.0 For downwelling, gravity-driven sinking of the heavy 18.5

bottom weight gives estimated efficiency of 94.9%. 18.0

12/11/05… 12/11/05… 12/11/05… 12/11/05… 12/11/05… 12/11/05… 12/11/05… 12/11/05… 12/11/05…

Bottom Temp Inside Tube At Top Outside Tube At Top Surface Temp Fig. 5. Test data showing temperature change at top of upwelling tube – Bermuda Dec 2005.

Fig. 6. Test data showing valve open/close cycle and temperature change at top of upwelling tube – San Diego, March 2007

Upwelling/Downwelling Estimated Annual Volumes

Analysis of data from National Data Buoy Center (www.ndbc.noaa.gov) wave heights and wave periods from their buoy #51001 located 100nm north of Oahu Hawaii allows calculation of nominal annual pumped volumes. In the Atlantic, we use NDBC data from #41049, 300nm SSE of Bermuda. To estimate both upwelling and downwelling volumes, we cutoff waves over 3m height and disregard pumped volume from waves under 0.5m. Pacific waves deliver about 10% more upwelling volume annually than Atlantic waves.

Nominal Pumped Volume (m3) Data Buoy 51001 - Hawaii 2016 2017 2018 Average Efficiency Annual Volume Upwelling 24,428,009 23,055,034 24,283,096 23,922,046 73.3% 17,545,907 Downwelling 24,428,009 23,055,034 24,283,096 23,922,046 94.9% 22,707,561

Table 1. Projected upwelling and downwelling annual volumes based on data from National Data Buoy Center #51001 north of Hawaii.

Applying these estimated upwelling and downwelling volumes to nutrient stoichiometries at depth determines CO2 sequestration (see below).

Downwelling Mechanics and Efficiencies.

In 2017-18, we coordinated computational fluid dynamics downwelling studies by Sandia National Laboratories [3] which found density of downwelled surface water inside a tube became equal to external water density at ~300m depth, due to greater density (by cooling) of the downwelled water combined with its unchanged surface salinity-density.

The mixing model is seen here for outflow at 1,000m depth:

Figure 7. Modeling by Sandia National Laboratories of gravity-induced outflow mixing at 1,000m.

A recent paper by David Koweek et.al. “Evaluating hypoxia alleviation through induced downwelling” [4] verified downwelling efficiency: “Our models indicate that induced downwelling may be ~3 to 102 times more efficient than bubbling air, and 104 to 106 times more efficient than fountain aerators, at oxygenating hypoxic bottom waters.”

Nutrient Conversion and Net Carbon Sequestration From Upwelling

Net C export via a dual bloom was hypothesized by University of Hawaii Professor David Karl et.al. in their iconic 2008 paper “Nitrogen fixation-enhanced carbon sequestration in low-nitrate, low-chlorophyll seascapes” [5]. Table 1 provides estimated volumes sequestered per m-3 upwelled, for depth-measured nutrient concentrations:

Table 2. Copy of table 1 from [4].

Dissolved Organic Carbon.

In 2010 Dennis Hansell et.al. published “Dissolved Organic Matter In The Ocean - A Controversy Stimulates New Insights” [6] suggesting vast ocean reservoirs of dissolved organic carbon (DOC), previously not well characterized, with levels of ~80 mmol/m-3 found in the upper ocean.

Their abstract reads “Containing as much carbon as the atmosphere, marine dissolved organic matter is one of Earth’s major carbon reservoirs. With invigoration of scientific inquiries into the global carbon cycle, our ignorance of its role in ocean biogeochemistry became untenable. Fig. 8. Copy of Fig. 2 from [5]

Rapid mobilization of relevant research two decades ago required the community to overcome early false leads, but subsequent progress in examining the global dynamics of this material has been steady. Continuous improvements in analytical skill coupled with global ocean hydrographic survey opportunities resulted in the generation of thousands of measurements throughout the major ocean basins. Here, observations and model results provide new insights into the large-scale variability of dissolved organic carbon, its contribution to the biological pump, and its deep ocean sinks.”

Their Figure 2 provides estimated quantity of DOC sequestered via downwelling: 80 umol/kg at surface vs 40 umol/kg at 500m (net of 40 umol/kg).

Optimization; Projected Net CO2 Sequestered For Different Pumping Depths.

Combining Karl and Hansell with our estimated annual pumped volumes and converting C to CO2, we Pump Depth Optimization: calculate net sequestration at different depths, and Cost Index vs Depth index this to tube cost – determining that upwelling $600 from 500m and downwelling to 600m is optimum. $550

$500

$450

$400 Cost Index Cost

$350 300 /400 350 /450 400 / 500 450 / 550 500 / 600 550 / 650 750 / 850 Depth

Fig. 9. Upwelling/downwelling pump cost/depth optimum.

Downwelling depth-volume Net C sequestered adjustment factor Up and down Efficiency- Percentage Upwelling Downwelling combined adjusted annual applied to C CO2 CO2 CO2 Amount (mmol pumped downwelling sequestered sequestered sequestered sequestered Direction/depth (m) C per m-3 ) Source volume (m3) volume Source (mmol/m-3) tons/yr tons/year tons/year Downwelling 300 40 Hansell Fig 2 22,707,561 100% Sandia study 10.90 - 40.0 40.0 Upwelling / (downwell depth) 200 / 300 2.0 Karl Table 1 17,545,907 90% 0.38 1.4 36.0 37.4 250 / 350 15.7 Karl Table 1 17,545,907 95% 3.14 11.5 38.0 49.5 300 /400 32.7 Karl Table 1 17,545,907 100% 6.89 25.2 40.0 65.2 350 /450 41.2 Karl Table 1 17,545,907 101% Author 8.76 32.1 40.4 72.5 400 / 500 54.5 Karl Table 1 17,545,907 102% estimate based 11.70 42.9 40.8 83.7 450 / 550 101.1 Karl Table 1 17,545,907 103% on Sandia 21.93 80.4 41.2 121.6 500 / 600 121.8 Karl Table 1 17,545,907 104% study 26.67 97.8 41.6 139.4 550 / 650 125.7 Karl Table 1 17,545,907 105% 27.80 101.9 42.0 143.9

750 / 850 141.5 Karl Table 1 17,545,907 109% 32.47 119.07 43.6 162.6

Table 3. Projected gross export of CO2 for different upwelling/downwelling pump depths.

Microbial Carbon Pump and Redfield Ratio.

In 2015 Jiao et.al. published “Microbial production of recalcitrant dissolved organic matter: long-term carbon storage in the global ocean” [7], outlining the role of the microbial carbon pump which converts DOC into long- lived recalcitrant DOC - radiocarbon dated at over 5,000 years.

The abstract reads “The biological pump is a process whereby CO2 in the upper ocean is fixed by primary producers and transported to the deep ocean as sinking biogenic particles or as dissolved organic matter. The fate of most of this exported material is remineralization to CO2, which accumulates in deep waters until it is eventually ventilated again at the sea surface. However, a proportion of the fixed carbon is not mineralized but is instead stored for millennia as recalcitrant dissolved organic matter. The processes and mechanisms involved in the generation of this large carbon reservoir are poorly understood. Here, we propose the microbial carbon pump as a conceptual framework to address this important, multifaceted biogeochemical problem.”

The paper hypothesizes a dramatic increase in the ratio of C:N:P from the conventional Redfield Ratio of 106:16:1 to recalcitrant DOM ratio of 3,511:202:1 (“Redfield ratio or Redfield stoichiometry is the consistent atomic ratio of carbon, nitrogen and phosphorus found in marine phytoplankton and throughout the deep ” Wikipedia).

Fig. 10. Copy of Fig 2 from [7].

Safety Strategy.

To minimize adverse side effects, our safety strategy is to induce small changes (under 10%/year) over large areas (millions of square kilometers), far from land (beyond the 200nm country boundary), for long time periods (decades). Given the five-year life expectancy of each pump, and recovery capability, in the event we find adverse side effects the program either can terminate slowly (pumps stop working) or quickly (pumps removed, region-by-region).

Environmental risk. Professor Andreas Oschlies writes:

“There is essentially no environmental risk associated with small-scale field trials. For hypothetical large-scale deployment, local oxygenation of subsurface waters by translocation of surface waters and deeper waters will be accompanied with a translocation of nutrients and heat, likely leading to a cooling and enhanced biological productivity of surface waters. Enhanced productivity will eventually be followed by enhanced respiration and oxygen consumption that may to some extent offset the initial oxygen gain. Enhanced biological productivity will likely enhance the productivity of higher trophic levels including fish. There will be shifts in the ecosystem, the valuation of which is difficult, but with higher productivity in normally not over-productive waters, these will most likely be viewed positively. It cannot be ruled out that species of little commercial value or possibly even toxic algae may benefit more than others. Mechanisms of such ecological shifts are poorly understood and based on current knowledge there is little expectation that shifts will differ from natural shifts observed when moving from oligotrophic to more eutrophic conditions, such as usually found further onshore.”

(Andreas Oschlies is Professor of Marine Biogeochemical Modelling at GEOMAR and the University of Kiel, Germany. He leads the Collaborative Research Centre "Climate-Biogeochemistry Interactions in the Tropical Ocean" and the Priority Program “Climate Engineering: Risks, Challenges, Opportunities”).

CO2 Sequestration Estimate, Data Acquisition and Verification.

Estimated annual CO2 sequestration is 139.4 tons per pump, based on projected upwelling/downwelling volumes derived from measured wave heights/periods in the subtropical north Pacific. With a CO2 footprint (from production, assembly, shipping, deployment, maintenance, and business overhead) of about 3.7 tons, and a life expectancy of five years, our efficiency factor (net CO2/gross CO2) is 99.5%.

To measure actual tons sequestered, we will deploy one drifting biogeochemical (BGC) ARGO robotic float centered within every 18 pumps (across nine square kilometers) and a reference BGC ARGO in the region but remote from the array. Programmed to descend 2,000m then resurface each ten days, each BGC-ARGO collects verification data which is uplinked via satellite to the France data center.

1 BCG ARGO per 9 km open ocean (18 units). 1 km

1km

Bloom seen from space.

Animation at https://www.youtube.com/watch?v= BsAUmTPcc7c&feature=youtu.be

Fig. 11. Sketch of BGC ARGO and pump distribution.

According to Dr. Ian Walsh, Senior Oceanographer at Seabird Scientific:

“The [Seabird] NAVIS BGC floats include a sensor package that measures the bulk properties of the most significant oceanic carbon pools that will be affected by the enhanced vertical exchange of water across the thermocline from the pumping technology.

Temperature, salinity and pressure yield the density field and will be used to generate a mixing model of the pumping effect on vertical transport of the quasi conservative heat and salt budgets. This constrains the entire system.

The carbon dynamic response to the vertical exchange is measured by the rest of the sensors. The chlorophyll fluorescence and backscattering sensors measure the particle load of particulate organic carbon (backscattering) and the viable phytoplankton (chlorophyll). The FDOM fluorometer measures the concentration of the fluorescent fraction of the dissolved organic matter pool. The pH sensor measures one component of the pCO2 equilibrium and with the backscattering and FDOM sensors monitors net transfers of carbon between the dissolved and particulate pools through autotrophic and heterotrophic activity. The dissolved oxygen sensor constrains net community production of fixed carbon and the impact of gas exchange kinetics on pCO2, Finally, the nitrate concentration measurement monitors the effectiveness of the exchange of nutrient rich deep water with nutrient depleted surface water through the pumping process and therefore the net increase in autotrophic carbon production potential achieved by the pumps.

The floats will be deployed in a near field/far field manner with one float within the pumping volume and the other deployed outside the pumping volume. The float mission profiles (park depth, profile interval, the rate and ratio between deep and shallow profiles) will be adjusted during the initial trial period and subsequently during roll out to optimize modeling of the effect of the pumps.

As the system scales, a network effect of increasing data from the floats relative to the governing scales across time and space will decrease the carbon flux measurement uncertainty between any pair of near and far field floats, resulting in a measurement system that asymptotically approaches a fixed structural relationship between the pumping and the net sequestration of carbon.”

Geographic Locations and Numbers of Pumps.

Geographic locations will be the “ocean deserts” – low nutrient sunlit surface waters between 45 degrees N-S in the Pacific, Atlantic, and Indian Oceans.

Fig. 12. Carbon sequestered when considering full depth of sunlit zone, from [1].

Long-term Impact on Cumulative CO2 and Temperature Rise.

Our technology can sequester nearly 1,800 gigatons, which together with fossil fuel phase-out can return earth to pre-industrial CO2 of 280 PPM by 2100. Early phase-down of pump deployments can achieve a less aggressive target level of atmospheric CO2 while still benefitting the ocean ecosystem, fisheries, oxygen levels, ocean pH, etc.

Cumulative CO2, PPM, and Temperature 6,000 780 5,750 730 5,500 5,250 680 5,000 4,750 630 4,500 580 4,250

(Gigatons) 2 4,000 530 3,750 PPM 3,500 480 3,250 430 3,000 380 2,750 2,500 330 2,250 Cumulative CO 2,000 280 2020 2030 2040 2050 2060 2070 2080 2090 2100 Gigatons with fossil phase-out, no CO2 removal Gigatons with fossil phase-out and Ocean-based BGC CO2 removal 2 degree C

1.5 degree C Atmospheric cumulative gigatons: do-nothing PPM - do nothing PPM with fossil phase-out and Ocean-based BGC CO2 removal PPM with fossil phase-out, no CO2 removal

Fig. 13. Estimated impact on cumulative CO2 (gigatons), atmospheric parts-per-million, and global temperature increase, 2020-2100.

Phased Installation and Cost Per Ton.

Under an aggressive deployment scenario, we could 2020 to 2100: Planned Operating Pumps & reach maximum pump deployments of just over 200 Cumulative CO2 Removed million by 2042 which will achieve the goal of removing 250,000,000 2,000 about 1,800 cumulative gigatons CO2 by 2100. 1,800 200,000,000 1,600 1,400 Long term cost per ton - current dollars 150,000,000 1,200 1,000

$400.00 (gigatons) Removed 2 100,000,000 800 $350.00

600 Pumpsin operation $300.00 50,000,000 400

200 CO Cumulative $250.00 - 0 2020 2030 2040 2050 2060 2070 2080 2090 2100 $200.00 Cumulative Gigatons removed Total operating

$150.00 Fig. 14. Deployments and tons removed.

Cost Cost removedper ton $100.00 The current-dollar cost declines to $6.30 per ton in $50.00 2044 then gradually increases by inflation to $14.50

$- by 2100.

2025 2029 2033 2049 2052 2068 2072 2088 2092 2041 2045 2056 2060 2064 2076 2080 2084 2096 2100 2037 Figure 15. Cost per ton CO2 removed. Conclusion. Wave-powered upwelling/downwelling pumps leverage known ocean biogeochemistry, with potential to sequester massive tons CO2 in the deep ocean at very low long term cost. References.

[1] Ken O. Buesseler el al., "Metrics that matter for assessing the ocean biological carbon pump," PNAS (2020). www.pnas.org/cgi/doi/10.1073/pnas.1918114117

[2] Professor Isaac Ginis – University of Rhode Island Graduate School of Oceanography - unpublished report ““Investigation Of The Possibility Of Limiting Hurricane Intensity By Locally Reducing The Upper Using Wave-Driven Deep-Ocean Pumps”, 2008.

[3] Sandia National Laboratories unpublished report “Model-based Assessment of ‘Down-welling’ Carbon Relocation Concepts”, 2019.

[4] Koweek, David A, Clara Garcia-Sanchez, Philip G. Brodrick, Parker Gassett, Ken Caldeira “Evaluating hypoxia alleviation through induced downwelling” https://doi.org/10.1016/j.scitotenv.2020.137334

[5] Karl, David M., Ricardo M. Letelier, “Nitrogen fixation-enhanced carbon sequestration in low nitrate, low chlorophyll seascapes” MEPS 364:257-268 (2008) https://doi.org/10.3354/meps07547

[6] Hansell, Dennis A., CA Carlson, DJ Repeta, R Schlitzer “Dissolved organic matter in the ocean: A controversy stimulates new insights” Oceanography, 2009.

[7] Jiao, Nianzhi, Gerhard J. Herndl, Dennis A. Hansell, Ronald Benner, Gerhard Kattner, Steven W. Wilhelm, David L. Kirchman, Markus G. Weinbauer, Tingwei Luo, Feng Chen and Farooq Azam “Microbial production of recalcitrant dissolved organic matter: long-term carbon storage in the global ocean” Nature Reviews | Microbiology Volume 8 | August 2010 doi:10.1038/nrmicro2386

[8] Bittig HC, Maurer TL, Plant JN, Schmechtig C, Wong APS, Claustre H, Trull TW, Udaya Bhaskar TVS, Boss E, Dall’Olmo G, Organelli E, Poteau A, Johnson KS, Hanstein C, Leymarie E, Le Reste S, Riser SC, Rupan AR, Taillandier V, Thierry V and Xing X (2019) A BGC-Argo Guide: Planning, Deployment, Data Handling and Usage. Front. Mar. Sci. 6:502. doi: 10.3389/fmars.2019.00502.

[9] International patent pending PCT/US2019/046292.