Imitation of Western Higher Ed.
From Soviet-style model to comprehensive universities
Increased focus on research outcomes Technology transfer, spinoffs and startups University science parks Formal collaboration with corporations
1980's Policy Steps
1984 MOST initiatives—National Key Laboratories Development, Key Science Projects, research center development
National Natural Science Foundation—1986--encourage basic and applied research
1990's Policy Steps
211 Program—MOE 1995—institutional capacity building for research
985 Program—MOE 1998—make China's top universities “world class” in research
973 Program—MOST 1997—enhance basic research in agriculture, energy, information, resources, environment, population and health, and materials
2000's Policy Steps
2001—National Technology Transfer Centers created at 6 key universities (MOE)
2001—“University enterprise reform”--ownership and management reform of university affiliated enterprises
Obstacles to Commercialization
Corruption Poor patent protection Weak incentives for research/disclosure Geographic disparity Inconsistent licensing policies between and
within universities Lack of full-scope tech transfer offices
Unique Institutional Characteristics
University affiliated enterprises—Lenovo, Founder, Ziguang
Holdings companies to manage patents and spinoffs
Strong role for S&T offices
Role of S&T Offices
The primary institutional apparatus for licensing, sponsored research, and commercialization
Serves the function of a western TTO but lacks: Access to incubation programs Access to investors and VC Legal expertise in licensing Industry connections for matchmaking Personnel
Universities as Enablers of Industry: Shuangliu County
New Energy Industrial Cluster approved in 2010 by NDRC
PV development since 2004 PV, wind, nuclear, solar thermal 30bn output by end of 2012; 100bn by 2017 26 new energy projects; 63.5bn yuan
Shuangliu's Key Advantages
Transportation: adjacent to airport, Chengdu-Kunming railway, three highways
Central, provincial and county-level support for development of new energy cluster; 400m RMB in local investment
30 research institutions and 7 universities
Sichuan University Institute of CSP Technology
Started in 2005 to aid the Kangda company in CSP research
5 patents developed; 2 pending 10+ professors directly affiliated, 17-18 others
indirectly collaborate Focuses on development of CSP coatings and
collector tube technology
Connections to Industry
Chengdu Xi Guang Dianzi—vacuum tube company situated in Xindu
Glass tube coating Steel pipe coating
4 former partnerships—automatic control systems and PT design
Zhongguo Hangkong Keji Jituan 7111 factory in Wen Zhang biggest collaboration to date
P&L Sharing
Negotiated on a case-by-case basis according to project inputs, difficulty, and risks
Kangda almost wholly owns patent—university provided people, equipment, and tech support
SCU wholly owns patent for 7111 affiliated project; SCU invested more
1-2% of patents directly reinvested into the institute
Internal and External Obstacles
S&T Department as ineffective intermediary Lack of legal expertise Lack of resources due to geographic disparity Inability to apply for funds from national
foundations due to publication requirements Industrial barriers to commercialization
Dongfang Electric Corporation
One of China's largest producers of power generators
Based in Chengdu, Sichuan 28,000+ employees State-owned enterprise Last year $4.8bn sales
Overview of DEC-Uni Collaboration
Nearly 40 partnerships around China Usually partnerships for basic research; applied
research capacities in-house Cleantech-related collaborations include:
chemistry, computer and materials sciences; automatic control systems; energy storage systems; fuel cells; biomass; PV; CSP
How Collaboration Starts
Many DEC employees are graduates of SCU—providing informal links to professors, administration, and graduate students
DEC engineers issue calls for proposal Well-known scientists formally sought out for
contract research or employment Professors are not sought out “randomly”
because DEC is SOE, has stakeholders and excellent in-house abilities
Process of Creating Partnerships
Assess mutual interest, quality of communication, and ability to negotiate to assess partnership suitability
Inside and outside consultants evaluate professor based on standard criteria based on project size and ability of professor
Results of a standardized “vertical report” determine whether partnership goes forward
DEC abilities are low but interest is high
DEC Investment Criteria
Project is commercializable within 5 years; if not, DEC follows research to wait for opening
Once DEC chooses to invest, it will pay 10k-300k RMB for a single report
At SCU, all projects are based on a 5 year commercialization timeline; demos must be possible within 3 years
DEC P&L Guidelines
Negotiated either before or after the project New research allows greater flexibility
“Old” research: DEC will wholly own patent New projects: professor/uni will own shares of
new company but not the patent If prof/uni owns patent before partnership, DEC
will purchase in exchange for shares Or, the patent-owning professor is hired outright