1. UC Berkeleys Research Partnerships University of California, Berkeley Associate Vice Chancellor for Research Robert Price UK-US Higher Education Forum. December 1-2, 2011 London

2. Many research collaborations/partnerships: No single Model Socially Responsible Licensing Energy Bioscience Institute BEARS Examples: Three different partnership models

3. Socially Responsible Licensing Program increase external support for Berkeley research support start-up company development by Berkeley researchers maximize the societal benefit of Berkeleys discoveries affordable access in low income countries to products derived from Berkeley discoveries Program begun in 2003 with Four Core Goals

4. (PDP) Product Development Partnership for Malaria Therapies UC Berkeley Keasling Lab Synthetic Biology startup company Institute for One World Health Not for Profit Funder Big Pharma Royalty free license Technology/synthetic anti-malarial drug (artemisinin) $8M $12M $22.6M sub-license (2009) Begun in 2004 Drug distributed in 2012

5. Government Industry Foundations UC Berkeley International Agencies NGOs Start-ups University is one contributor among many Partnerships forged by Industrial Alliance office (IAO) and Each partner must benefit while sacrificing something Funding agency

6. Each partner trades sacrifices for benefits Benefit Sacrifices Basic ResearchApplied Research Scale Regulation Manufacturing Distribution Research funding Public service Foregoes royalties on sales in low-income countries Early stage funding from philanthropy Profits from licensed technology in biofuels, fragrances, flavors, etc. No Profit from anti-malarial drug Low cost to Developing World No profit from sales of anti- malarial drug Regulatory fast track for drug development Instead of a relay race a single donor makes one grant to fund basic research, translational research, clinical & regulatory activities No gaps (time, expertise, additional transactions) between stages

7. Example #2 Applying bioscience to the global energy challenge Mission: transportation fuel from cellulose Bench to fuel tank

8. Ten Years $500 Million, from BP Two Research Universities (UC Berkeley, Univ. of Illinois, Champagne/Urbana A National Laboratory (Lawrence Berkeley National Laboratory) A global energy company (BP) Public-Private Partnership Timeline October 2006 -- RFP to 5 potential hosts February 1, 2007-- award made to Berkeley, Illinois, and LBNL Spring – Fall 2007-- contract negotiations November 14, 2007-- contract formally signed, operations begin

9. Biomass Depoloymerization Berkeley-BP Partnership Agreement: Unusual Features Industry scientist (BP) work in labs on University campus Co-located with University researchers An Open Component and a Proprietary Component Open Component: academic research in fundamental biosciences; all results area publishable Proprietary Component: private, confidential research; results are sole property of BP. Open and Proprietary components located in adjacent building space Open component– all collaborators can participate, including BP employees (scientists, consultants) Proprietary component– space leased from University; controlled cardkey access to BP employees only.

10. Berkeley-BP Partnership Agreement: Unusual Features Yours - inventions made solely by BP personnel in leased space Mine - inventions made solely by UCB, UIUC or LBNL personnel in their own space Ours - inventions made by at least one inventor for BP and at least one member of UCB, UIUC or LBNL Operating principle with respect to Intellectual Property– yours-mine-ours Miscanthus Growth over a Single Growing Season Illinois

11. Licensing provisions For inventions owned by UCB, UIUC and/or LBNL, or jointly with BP EXCLUSIVE BP has first right to negotiate exclusive license to sole or joint inventions. pre-negotiated capped fees ($100K per year + patent costs) Bonanza clause in case of extraordinary commercial success BP will diligently pursue commercialization NON-EXCLUSIVE BP has access to non-exclusive, royalty free (NERF) license in BPs area of interest (fuels), providing: BP will diligently pursue commercialization of licensed technology BP will underwrite the patent costs

12. BP Receives a Royalty Free Nonexclusive license to BIP If inventors received funding from BP through EBI If available when foreground IP is licensed solely to the extent necessary solely to put into practice licensed, project IP If an inventor has NOT received BP funding License requires inventors consent Up to $20K per year for one patent Up to $50K per year for a bundle (if bundle necessary to practice one invention) Background IP

13. 13 Governance Board UCB/UIUC/LBNL - 4 representatives BP - 4 representatives Executive Committee EBI governance and oversight Strategic Science Advisors Proprietary Research Programs Open Research Programs EBI (UIUC) Deputy Director EBI (UCB) Director EBI (BP) Assoc. Director 6 Program Leaders Advisory Board

14. Research Program Six broad subject matter areas defined in Agreement: e.g., feedstocks, biomass deconstruction/depolymerization, biofuels production, Environmental, social and economic dimensions. Annual Open Call for proposals (Open Component) peer reviewed Executive Committee makes funding decisions Governance Board accepts or declines the full slate of proposals... cannot cherry pick. Program Scale 129 PIs; 126 post-docs, 133 graduate students 60 Inventions disclosures and 20 patents to date 60 research projects and programs supported to date 382 journal publications and 400 presentations or posters

15. Example #3 Berkeley Education Alliance for Research in Singapore (BEARS) A Company Limited by Guarantee in Singapore Owned and Managed by the University of California November 17, 2011

16. BEARS: A Center for Climate and Energy Research Funding Grant of $95M from Singapore governments National Research Foundation $75M for research in Singapore $20M for research in Berkeley Research Programs Building Efficiency and Sustainability in the Tropics Photovoltaics and photoelectrochemical cells Location Downtown Singapore In NRFs new Campus for Research Excellence and Technological Enterprise (CREATE) Rent Free Research Participants Investigators from UCB, LBNL, NUS, and NTU

17. Unusual Features BEARS is a limited Liability Corporation (LLC) Located in Singapore Owned and Managed by Berkeley Receives and Distributes the $95M in NRF funds Singapore residency requirement for Berkeley researchers Director, tenured Berkeley faculty member, resident in Singapore At least 6 Berkeley faculty PIs must spend one year in aggregate (over 5 years) in Singapore one stay of at least 6 months, shorter stays of at least 4 weeks. Intellectual Property Ownership principle: yours, mine, joint All BEARS sponsored IP, whomever the owner, managed by Singapore Technology Licencing Office (TLO)

18. Governance Governing Board 8 Members 4 NRF/4UCB Research Programs (Singapore and Berkeley) Buildings Program Lead: UCB Photovoltaics Program Lead: UCB UCB College of Engineering (Sponsor of BEARS) Director/CEO Berkeley Faculty Member Based in Singapore Executive Director/COO Based in Singapore HQ Staff Based in Singapore Governing Board (by 2/3 rd majority): Appoints Director tin collaboration with UCB COE Provides oversight for BEARS operations Approves disbursement of grant funds Sets priorities and direction for BEARS