Conference Name Havana, Cuba, 12/12/2013 中国大学在建设创新型国家的担当 University’s Role in Accelerating Nation’s Innovation Development in China Qifeng Zhou Peking University qfzhou@pku.edu.cn 12／12／2013

University’s Role in Accelerating Nation’s Innovation Development in China Outline Brief Introduction of Peking University National Innovation Strategy in China Role of Research Intensive Universities: Challenges and Opportunities

University’s Role in Accelerating Nation’s Innovation Development in China Outline Brief Introduction of Peking University National Innovation Strategy in China Role of Research Intensive Universities: Challenges and Opportunities

50 Schools/Colleges/Departments International Students: 2,579 1898－2013 5 Faculties 50 Schools/Colleges/Departments Medical & Health Sciences Social IT & Engineering Humanities Science Engineering Medicine Law Literature Philosophy Economics Education History Management Arts Hospitals More Facts: Main Campus – 2.8M Square Meters; Laboratories – 2.2M square Meters; Library – 9.5M books; Research budget ~ 3 billion RMB or 500M USD, 10% from corporate sponsors; Students: 38,894 Undergraduates: 15,718 Master : 14,714 / Ph.D. : 8,462 Faculty: 6,252 International Students: 2,579 104 countries Postdoctoral: 970

2013 QS Ranking - #45 worldwide, #5 in Asia In 2012, PKU has 18 disciplines ranked among the top 1% worldwide from the Essential Science Indicators（ESI） 2002 （4 Disciplines） 2012 （18 Disciplines） Chemistry, Physics, Material Science, Engineering Science　　　 Economics & Business, Chemistry, Mathematics, Physics, Biology&Biochemistry, Engineering Science, Material Science, Plant and Animal Science, Earth Science, Environmental Science and Ecology, Clinical Medicine, Pharmacy and Toxicology, Computer Science, Neural and behavioral Sciences, General Social Science, Molecular Biology and Genetics, Neuroscience and Psychology, Social Science PKU ranking

University’s Role in Accelerating Nation’s Innovation Development in China Outline Brief Introduction of Peking University National Innovation Strategy in China Role of Research Intensive Universities: Challenges and Opportunities

中共十八大制定的宏伟目标 China’s Ambition set by the 18th Communist Party Congress 到2020年，实现国内生产总值和城乡居民人均收入比2010年翻一番. By 2020 China’s GDP and Per Capita Income shall double from 2010. In 2012, Chinese Communist Party Congress set an ambitious goal: National GDP and Per Capita Income shall double by 2020 from 2010 level;

2010 Top10 GDP World Wide 2010年全球GDP前10个国家 USD US Germany China Japan French British Brazil Italy India Canada China’s GDP target in 2020 ~12,000,000,000,000USD China has enjoyed remarkable grow over more than two decades and in 2010 China surpassed Japan to become the world second largest economy; approximately 6 Trillion USD, compared to US of 14.6 Trillion $; If China maintain a 7-8% growth, by 2020 China shall double its GDP, reaching 12-13Trillion $, approximately 75% of US GDP in 2020 (US current growth rate is 2.5%) 7－8％ Annual GDP Growth in 7 years

By 2020, China shall become one of the leading nations in innovation. 国家科技创新大会 China National Sci. Tech Innovation Conference Beijing, July 6-7, 2012 A national Strategy: Innovation Drives Growth 胡锦涛指出，到2020年，基本建成适应社会主义市场经济体制、符合科技发展规律的中国特色国家创新体系，原始创新能力明显提高，集成创新、引进消化吸收再创新能力大幅增强，关键领域科学研究实现原创性重大突破，战略性高技术领域技术研发实现跨越式发展，若干领域创新成果进入世界前列；创新环境更加优化，创新效益大幅提高，创新人才竞相涌现，全民科学素质普遍提高，科技支撑引领经济社会发展能力大幅提升，进入创新型国家行列。 Chinese Central Government has made an major effort emphasizing INNOVATION as the key driving force for the next phase of economic growth; Accelerating the development of National innovation infrastructure, including Policy change; building of R&D capability in industrial sectors across broad; closer academic institution-private sector partnership; substantial increase in R&D funding; etc. Preceding to the Communist Party Congress, in July 2012, Central Government held a very high profile meeting: China National Sci. Tech Innovation Conference in which it sets the goal to become a world leading nation in Innovation by 2020; In this excerpt of the then Party General’s speech during the conference, it mentioned the word – innovation (in red) 9 times; just to illustrate the focal point of the meeting; By 2020, China shall become one of the leading nations in innovation. 2020年，中国将进入世界创新型国家的前列

Favorable Government Policy In 1996, China introduced “Promoting Technology Transfer Law” encourages technology transfer, protects the right and financial reward of inventors; Under revision this year to further reduce government interference with less approval procedures; In 2009 China introduced the patent Law and Patent filing system. Government reimburses a significant portion of the IP application fee; Most university provide cash prize to the inventors; Beijing and other municipal government call for University to set policy to protect, value and even promote based on faculty’s active participation in technology transfer activities. PKU adopt the policy that University–Department–faculty equally share the Proceeds from patent licensing or technology transfer;

Worldwide investment in innovation system as % of GDP China：education 4％，R&D 2% But as 5 GDP, China is still behind many countries;

China Projected Annual R&D Expenditure by 2020 2020中国年度R&D 总投入预测 How to get there? Substantial increase in R&D funding >300b USD/year 2012 reached 2%GDP China has increase the R&D investment to 2% GDP in 2012; 2nd largest in the world; it will reach 2.5% GDP by 2020, total >300billion, very close to US; 30% from Government; 70% from Corporations; In next 7 years, China will invest > 1Trillion US$ into its innovation system! 未来7年内，中国R&D总投入》1万亿美元

Increasing R&D spending drives the export of technology products 技术产品出口增长率 The increase in R&D investment led to rapid increase in technology product export from Chinese companies;

2013 年 全球创新指数 – TOP 10 China 2020 Goal …… …… 世界知识产权组织 2013 年 全球创新指数 – TOP 10 Switzerland (1 – 2012 ranking) Sweden (2) United Kingdom (5) Netherlands (6) United States of America (10) Finland (4) Hong Kong (China) (8) Singapore (3) Denmark (7) Ireland (9) … … 35. China (34) China 2020 Goal United Nation Intellectual property organization – WIPO has been conducting the “Global Innovation Index Research” GII with INSEAD and Cornell’s John School of Management in past 7 years; Peking University will join WIPO to start GII research in China starting 2013; Global Innovation Index composed of 7 input category and 2 output category with total of 84 data entries for each country; It is a comprehensive measure of nation’s Innovation system; In next 7 year, China needs to make rapid progress in order to meet the national goal to become a Innovation Country, or become in the top 10 list of the WIPO GII list! …… …… #34 China (中国）

University’s Role in Accelerating Nation’s Innovation Development in China Outline Brief Introduction of Peking University National Innovation Strategy in China Role of Research Intensive Universities: Challenges and Opportunities

Office of Science & Technology Development School of Innovation and Entrepreneurship OSTD is a university legal representation managing all non-academic business & contractual relationships: Approval of academic-industrial partnership/contracts； Entrepreneurship education, technology licensing and commercialization； Establish spin-offs, and off-campus’ Innovation Centers and Incubators across the country； Office of Executive VP 常务副長办公室 Board of Director 理事會 School of Innovation & Entrepreneurship/ Office of Science & Technology Development 北大產業技術研究院／北大科技開發部 School of Innovation and Entrepreneurship (SIE) was established in Apr 2011, complement the Office of Technology and Development (OSTD).

PKU Innovation Platform PKU Innovation Platforms Innovation/Entrepreneur Research & Education Innovation parks Incubators IP Licensing Technology Transfer Industrial-University Open Innovation 高 端 產 业 Impactful Technology

PKU Entrepreneurship Education Introduction to Entrepreneurship Elective courses Open to BS, MS, PhD Hands on Entrepreneurship Open to students’ startup project teams Presented to Venture Capitals Community Entrepreneurship Open to off campus entrepreneurs Partner with alumni business executive club

Sci. & Tech Development at PKU Annual patent applicati on: ~500 Annual patent issuance : ~350; Annual IP licensing : ~ 30, 1 rmb/pat ent Annual Spin-off : ~ 5 companies Annual contracts: 600; Annual income: 350M rmb, 10% total R&D budget; IP Spin-off Industry sponsored research

Top 30 PCT application: Universities 大学国际专利申请 WIPO report

PKU 2006－2011 合作合同统计 Corporate sponsored research PKU – Gov sponsored Research budget ~ 2.7billion RMB Industrial sponsored Research is ~ 10% Stanford – Gov sponsored research budget ~ 1.13Billion USD; Industrial spnsored research 217M, ~ 20% 北京大学2006—2011年技术合同额（万元）

Revenue from PKU, Tsinghua and other Universities SPIN-OFFs 北大,清华及全国高校产业产值 Revenue from PKU, Tsinghua and other Universities SPIN-OFFs 全国高校产业2008年-2012年产值统计表 单位：亿元 年份 全国高校 北大 占全国的比例 清华 2008 1,233.37 466.84 37.9% 271.03 22.0% 2009 1,412.29 530.95 37.6% 308.63 21.9% 2010 1,671.83 626.95 37.5% 350.33 21.0% 2011 1,868.00 679.00 36.4% 372.00 19.9% 2012 1,806.00 700.00 38.8% 437.00 24.2% Statistics on Revenue from Businesses Co-owned by Domestic Universities Unit: ¥100 mil Year Higher Education PKU National % Tsinghua National % PKU ~ 38%, Tsinghua ~ 24%;’

Professional management PKU Enterprise – 1988 1992 1995 2003 2009 -2011 2012 1986 32.4B 60M 150X 540X Based on the technology of digital type-setting for Asia font invented by a PKU professor; Grow into a 5 major business units - IT, health, real estate, financial services, commodity trade; 32.4 billion asset after 26 years; 40,000 employees; Spin off 1st printing product Professional management Business expansion 5 Business units

PKU Spinoff – Pioneer Technology Co. A clean Tech from School of Chemistry & Molecular Engineering – extraction of high purity CO or O2 from waste gas from Steel plant and industrial plants. This spinoff of 2000 today generates more than 300M rmb revenue in 2013 Revenue 北大先锋目前主要业务： 1、变压吸附分离CO装置——从各种含CO的工业混合气中分离高纯度CO，为羰基合成（例如乙二醇、醋酐、TDI、MDI等）提供高品质CO原料，市场占有率国内领先。 2、变压吸附空气分离制氧装置——从空气中低成本分离高浓度O2，用于有色金属富氧冶炼、高炉富氧炼铁、污水处理等，市场占有率国内领先。 3、变压吸附分离H2装置——从各种含H2的工业混合气中分离高纯度H2，为化工合成装置提供H2原料。 4、高效吸附剂和催化剂——铜基CO专用吸附剂、高效锂基制氧吸附剂、CO低温氧化催化剂、黄磷尾气高效脱磷催化剂等。 正在推广的新业务： 1、钢铁厂高炉煤气浓缩和提纯CO技术——将富含CO2（～18%）和N2（～55%）的高炉煤气浓缩为高浓度（50～99%）的CO产品气，用作化工合成的原料或优质燃料；该技术解决了高炉煤气难以 低成本提纯的国际性难题，可以有效促进高炉煤气的高效资源化利用，对钢铁行业节能减排有重大意义；现已建立了世界上首套样板工程，效果良好，并得到日韩等国用户和同行的关注， 有望成为未来较长时期内公司的主要业务之一。 2、黄磷尾气高效脱磷净化成套技术——实现了黄磷尾气中磷杂质的低成本连续催化脱除，解决了黄磷尾气中磷杂质难以脱除的行业性难题，对黄磷尾气的资源化利用、显著提高黄磷厂效益、 降低环境污染等有非常积极的意义。 正在研发的新产品/新技术： 1、LDNM-1新材料——与北大化学院的合作项目，军事用途，得到了军方的高度关注，应用前景良好；现各项工作正在推进中，军方各项试验正在进行中，并基本形成了低成本生产的工艺流程。 2、其它——草酸二甲酯加氢制乙二醇催化剂、氮/甲烷分离吸附剂等。 Profit

What can RIU do better University-University Partnership;

IP Pooling of IARU IARU科研大学联盟技术交易平台 IARU Technology Exchange Platform 全球十所顶级科研型高校的联盟 整合十所高校的科研成果和知识产权，加强信息共享与交流 促进技术交易，研发合作，投资和技术授权 Alliance of 10 top-notch research universities Showcase technologies and IP from member universities. Promote technology transfer, collaborative research, technology licensing and investment IP Pooling of IARU

IP Pooling － IARU pilot program Technology sector －A Technology Sector －B ... , ... Family－X University－N IP University-B IP University-A IP IP pool virtual Licensing

Collaborative Technology Transfer Through member’s IP licensing Office, patent pool can access to a greater client pool client Family －A Family－B ... , ... Family－X Member IP Licensing Office School -A School - B School – C client Client client

What can RIU do better University-University partnership; University-Industrial partnership;

The share of joint university-firm patent applications under the PCT is increasing rapidly

校企协同创新平台 Industrial-University Open Innovation Lab. Corporate sponsor projects 灵图 方正 … … Byer 中国安防 Chemistry Multi Disciplinary Molecular medicine Life Science … … Open Innovation Laboratories Program manager Corporations Peking University Incubators or licensing to 3rd party Outcome Sponsor has first refusal right

Impact of Corporate sponsored Research 10 year partnership with a medical equipment company; Developed the key technology for magnet, pickup coil and automation; Brought in total research grant of 20M rmb; Generate 6 patents, 600M Revenue; Product export to US, Russia, Brazil etc; Contract(10k rmb) Actual (10k rmb) 华润万东医疗装备股份有限公司是我国医疗影像设备制造骨干企业，1997年上市。 2004年成立“北京大学信息学院—万东医疗核磁共振成像联合实验室”，共同开发医用MRI设备和技术。 华润万东累计向北京大学投入研发资金2000多万元。研究获得授权发明专利6 项。 北大承担了MRI设备中的核心技术研发：核磁共振磁体设计，射频线圈设计，谱仪设计，脉冲序列设计，医疗影像软件开发等。 研制了具有自主知识产权的0.36T、0.4T、0.5T 永磁医用MRI 设备和1.5T超导医用MRI设备，通过了美国FDA 、欧盟的CE 和中国CFDA认证，并被评为北京市自主创新产品。 MRI系列产品受到国内外用户的好评，累计销售超过200百套，出口到美国、俄罗斯、乌克兰、巴西、沙特阿拉伯等国家，累计产值超过6亿元人民币。 0.35T MRI 0.40T MRI 0.50T MRI

What can RIU do better University-University partnership; University-Industrial partnership; University-Government partnership;

北京大學校地区合作佈局 PKU off campus Innovation parks Partner with Gov. seed funding per site ~ 15M-30M US$; Need to become self-sustainable in 3-5 year; Mission： Local Government think-tank； Education program； R&D and incubation PKU Ctr for Innovation and Entrepreneurship 秦皇岛（Medical health - Park） Nanjing Drug Innovation Ctr. 张家港 Environmental Tech Ctr. Suzhou Global Tech Transfer Ctr. Shengzhen Incubator Guang Zhou Regenerative Medicine R&D Ctr. Dongguan Photonic Ctr.

北京大学南京新药创新中心 PKU Nanjing New Drug Innovation Ctr. Designated to be Nanjing’s Drug R&D and Manufacturing Ctr.; Currently 153 drug companies in the zone, 2011 revenue reach 3.2b RMB, 40% YoY growth; CRO – Toxicity Lab, Animal Lab, Clinical Trial Service, … ; Incubators and Accelerators, 10k SQF space; GMP Lab and public R&D facilities(15MUS$) ; Ample university graduates including Nanjing Pharmacy College in the region; 综合服务中心Service Ctr. 会展中心 Conf. & Exhibit Hall Bio-tech Plaza phase I Bio-tech Incubator &Accelerator

北京大学东莞光电研究院落户美丽的松山湖 PKU Photonic Center at Dongguan Songshan Lake 东莞是中国最具经济活力的制造业名城, 综合实力连续多年位居全国大中城市第十二位、地级市第一位。进入新世纪, 东莞致力于发展模式创新, 推进结构调整和产业升级,  松山湖高新区因此顺势而生。自2001年开发建设以来, 松山湖按照成为“东莞乃至珠三角科学发展示范区、转型升级引领区”的发展目标，努力打造“科技创新高地、人才聚集高地”，快速推进各项事业, 招商引资、招才引智成效显著, 产业聚集水平、自主创新能力不断提高, 逐步发挥出产业龙头和研发龙头的双带动作用, 已成为东莞乃至珠三角高水平崛起的强大引擎。 　　今日之松山湖, 科技共山水一色, 人才与产业齐飞, 生态与开发共荣。今日之松山湖, 已成为东莞自主创新的旗帜、转型升级的先锋、创新创业者实现梦想的乐园.

An Integrated Pharmaceutical and Healthcare Industry Group State of the Art Research Facility Providing competitive drug R&D Portfolio PKU International Hospital The most advanced hospital with 1800 beds

An Integrated Pharmaceutical and Healthcare Industry Group One of the most advanced hospitals in China China’s strongest medical service network Matured healthcare industry chain Pharmaceutical Leading pharmaceutical R&D Large-scale cGMP pharmaceutical manufacturing base Strong distribution, sales, and import/export platform

What can RIU do better University-University partnership; University-Industrial partnership; University-Government partnership; Globalization in technology transfer

Open Sourcing of Global Technologies PKU Internal IP PKU Incubator Nanjing PKU Globalized Technology Transfer Centers Beijing/Suzhou PKU Alumni IP & International PKU Incubator Guangdong PKU International partners’ IP PKU Incubator Qinhuangdao Global Technology Sourcing Global Distribution to PKU incubators

Role of PKU Incubators Much more than plug-in & Play Seed Funding; IP Protection; Finding reliable Industrial/business partners and strategic investors; Startup mentors/advisors University research collaborations; Competing local and National R&D grand; Sourcing critical talents

PKU Globalized Tech Transfer Ctrs. PKU Beijing Office PKU Suzhou Office Beijing International Technology Transfer Tower Suzhou Science and Technology Plaza

PKU Globalized Technology Transfer Ctr. Partners Stanford OTL Uppsala Innovation Ctr. Bradford Innovation Ctr. HongKong Sci & Tech University TTC Singapore NTU Innovation Ctr. Singapore Astar – ELPT/IPI Malaysia IPO Partner Under Discussion: Wa Toronto Univ. Forest Inst Hong Kong PolyTech Wisconsin Yale Indiana Purdue Technologies: Medical devices, Desalination, Blue laser, Fruit plants, Environmental, Battery, New drug, Synthetic materials, ……

Summary RIU can play a significant role in the Innovation of a developing country; RIU’s knowledge transfer can best achieved though partnership with industry, government and collaboration with other Academics; PKU is promoting international collaborations and globalization in technology transfer

Thank you for your attension! Conference Name Havana, Cuba, 12/12/2013 Thank you for your attension! Qifeng Zhou Peking University qfzhou@pku.edu.cn 12／12／2013