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1、Issue BriefOctober 2024Fueling Chinas InnovationThe Chinese Academy of Sciences and Its Role in the PRCs S&T EcosystemAuthorsCole McFaulHanna DohmenSam BresnickEmily S.WeinsteinFueling Chinas InnovationThe Chinese Academy of Sciences and Its Role in the PRCs S&T EcosystemAuthorsCole McFaulHanna Dohm

2、enSam BresnickEmily S.Weinstein Center for Security and Emerging Technology|1 1 Executive Summary The Chinese Academy of Sciences is one of the most important scientific research organizations not only in China but also globally.Through its network of research institutes,universities,companies,and t

3、hink tanks,CAS is a core component of Chinas science and technology innovation ecosystem.This brief first traces the organizations historical significance in Chinas S&T development,outlining key reforms that continue to shape the institution today.It then details CASs core functions in advancing S&T

4、 research,fostering commercialization of critical and emerging technologies,and contributing to S&T policymaking.Using scholarly literature,we provide insights into CASs research output in the science,technology,engineering,and mathematics(STEM)fields as well as in certain critical and emerging tech

5、nologies,including artificial intelligence(AI).Our key takeaways are as follows:Research CAS is the top producer of STEM research globally,both in terms of total number of papers and number of highly cited papers.CAS is a hub of top-tier S&T researchers and plays an important role in training the ne

6、xt generation of experts.In 2022,CAS ranked second globally among institutions by number of top-cited researchers,trailing only Harvard University.CASs 115 research institutes work on a diverse range of S&T subjects.CAS institutes publish most frequently in the field of industrial technology,which a

7、ccounted for 35 percent of their published papers in 2021.CAS institutes also advance research in critical and emerging technologies,such as AI.The majority of AI-related research published by CAS is conducted by a narrow subset of institutes.The Institute of Automation,the Shenyang Institute of Aut

8、omation,and the Institute of Computing Technology are top producers of AI-related research within CAS.Center for Security and Emerging Technology|2 2 Commercialization CAS fosters technology transfer from research organizations to industry through various commercialization mechanisms,including makin

9、g investments via asset management companies and venture capital firms,licensing proprietary research,and offering contract research services.CAS provides research,financing,and personnel to support the founding and development of technology companies.Notable companies founded with CAS support inclu

10、de AI company iFLYTEK,PC manufacturer Lenovo,supercomputer company Sugon,AI chip developer Cambricon,and CPU designer Loongson.Policymaking CAS plays a key role in the development and implementation of Chinas S&T policies.CAS has contributed to major S&T policy initiatives such as the founding of th

11、e National Natural Science Foundation of China and to S&T development projects such as the 863 Program and the 973 Program.CAS academicians are among the most important individuals in Chinas S&T ecosystem.They influence resource allocation to S&T projects and often serve in important policymaking ro

12、les.In sum,CAS is a global leader in STEM fields and a pillar of Chinas S&T development ecosystem.It has facilitated the rise of globally competitive technology companies and continues to influence Chinas S&T policy.At the same time,CASs expansive set of responsibilities as a research organization,a

13、 commercial entity,and a bureaucratic actor complicate its mission.Understanding the tensions that may exist among these functions is important,as Beijing continues to commit extensive resources to CAS.The organizations successor lack thereofwill affect Beijings own ability to effectively achieve it

14、s S&T development ambitions.Center for Security and Emerging Technology|3 3 Table of Contents Executive Summary.1 Introduction.4 Methodology.5 History,Development,and Reform.7 The Early Days:Defense S&T and Building on the Soviet Model.7 Reform and Revitalization.8 Examining CASs Core Functions:Rese

15、arch,Commercialization,and Policymaking.10 Advancing S&T Research.10 CAS Research on the Global Stage.13 CAS Institutes.17 Fostering Commercialization of Critical Technologies.22 Case Study:iFLYTEK.23 Case Study:Lenovo.24 Advising S&T Policymaking.25 Conclusion.27 Appendix A:Additional Figures.29 Ap

16、pendix B:List of CAS Institutes.33 Authors.40 Acknowledgments.40 Endnotes42 Center for Security and Emerging Technology|4 4 Introduction The Chinese Academy of Sciences(中國科學院)is a key actor in Chinas science and technology ecosystem.Directly managed by the State Council,CAS plays a critical role in

17、advancing Beijings S&T ambitions and is deeply involved in shaping and implementing national policies.1 As technological innovation is a core aspect of the intensifying competition between the United States and China,it is imperative that U.S.policymakers understand CASs contributions to Chinas S&T

18、development.In this brief,we seek to advance a better understanding of CAS,which is one of the largest and most prolific research bodies in the world and home to many top science,technology,engineering,and mathematics(STEM)researchers.2 CAS oversees hundreds of subsidiary organizations,including 115

19、 research units,*three universities,numerous companies,and several think tanks.Comprising an expansive network of researchers,students,and policymakers,CAS directly contributes to both the design and implementation of Chinese S&T policies.This brief proceeds as follows.First,we describe CASs history

20、 and trace successive reforms to the institution,highlighting its role in Chinas rise as a major S&T power.We then detail CASs core functions in Chinas S&T ecosystem:advancing research,promoting the commercialization of key technologies,and contributing to policymaking.We conclude with an examinatio

21、n of CASs central position in Chinas S&T ecosystem and its implications for U.S.policymakers.*Throughout this piece,we refer to CASs research units(研究單位)as CAS institutes.Center for Security and Emerging Technology|5 5 Methodology Our analysis draws on a variety of publicly available sources,includi

22、ng Chinese government policy documents,annual reports of publicly listed companies,and an array of other primary and secondary sources.Our analysis of CASs research output relies on two distinct data sources to present trends in CASs English-and Chinese-language STEM research.First,we draw from CSET

23、s merged corpus of scholarly literature published between 2010 and 2023,which includes journal articles,also referred to in this brief as papers,from Clarivates Web of Science,Semantic Scholar,the Lens,OpenAlex,arXiv,and Papers With Code.CSETs merged corpus primarily consists of English-language jou

24、rnal articles.We use CSETs fields of study methodology to classify papers by field.3 We focus on CASs STEM research because one of the organizations core responsibilities is advancing Chinas S&T development and self-reliance.*We define STEM publications as papers in the fields of biology,physics,geo

25、logy,mathematics,chemistry,computer science,engineering,environmental science,and materials science.Second,we leverage data from the China National Knowledge Infrastructure,which is largely composed of Chinese-language papers,to analyze CASs STEM publications within Chinas domestic research ecosyste

26、m.For this report,we draw on CNKI papers published between 2010 and 2021.For CNKI papers,we define STEM publications as those in the fields of industrial technology,astronomy and geoscience,agricultural sciences,mathematical sciences and chemistry,environmental science,life sciences,aviation and aer

27、ospace,and transportation.Finally,we use the CNKI dataset to classify AI-related publications in order to better understand CASs contributions to Chinas AI development ecosystem.4 By analyzing both CSETs merged corpus and CNKI,we are able to conduct a more comprehensive analysis of CASs research out

28、put.Using the merged corpus,we assess CASs research output alongside that of other global research institutions.CNKI,on the other hand,includes more detailed paper publication information for each subsidiary *We are also particularly interested in CASs contributions to AI-related research and develo

29、pment,given its strategic importance to Beijing and relevance in U.S.-China tech competition.We are unable to analyze CNKI publication data in 2022 and 2023 due to incomplete data.CNKI employs the Chinese Library Classification system,which categorizes publications by subject field.Every paper in CN

30、KI receives a CLC code that corresponds to a specific field of study.The CLC fields of study are not the same as those used in CSETs merged corpus.Center for Security and Emerging Technology|6 6 organization within CAS,which allows us to analyze the publications of specific entities,such as its 115

31、research institutes.That said,our methodological approach has some limitations.First,our dataset of CAS research is not exhaustive.Within both CSETs merged corpus and CNKI,CAS research is often attributed to the organizations subsidiaries,rather than to CAS itself.As a result,querying the datasets f

32、or publications strictly attributed to CAS would miss a significant portion of CAS-affiliated research.To address this issue,we use two approaches.First,CSETs entity resolution methodology helps to match subsidiaries to their parent organizations in the merged corpus dataset.Second,we use CNKI-provi

33、ded organizational information to carefully identify all the publications of each CAS institute,which is not possible using the merged corpus data.This methodology enables a more comprehensive assessment of CASs research.At the same time,our methodology does not capture all publications of every CAS

34、 subsidiary organization.For example,our analysis of the CAS institutes publications does not account for some CAS-authored research papers published by other CAS subsidiary organizations,such as universities and laboratories.Second,we use several proxies for evaluating research quality,such as high

35、ly cited research publications,top-cited research publications,and number of top-cited researchers.*Although imperfect,these metrics allow us to compare measures of high-impact research and researchers for CAS with those of other international research institutions.Importantly,these metrics do not p

36、rovide insight into the production of highly cited research relative to size,research expenditures,or other relevant factors that may contribute to the output of research institutions.While important to consider,these cross-institutional analyses are largely outside the scope of this report.*We defi

37、ne highly cited papers as papers in at least the 90th percentile of citations in their field in a given year,top-cited papers as papers in the 99th percentile of citations in their field in a given year,and top-cited researchers as in the 99th percentile of individual researchers most frequently cit

38、ed in their field and year.Center for Security and Emerging Technology|7 7 History,Development,and Reform Established in November 1949,CAS has played an instrumental role in laying the foundation for Chinas modern S&T ecosystem.Tracing CASs history of development and reform is essential to understan

39、ding its position in Chinese S&T development today.The Early Days:Defense S&T and Building on the Soviet Model In the 1950s,the Academy of Sciences of the Soviet Union strongly influenced CASs development.5 Collaboration with the Soviet Union helped propel Chinas strategic weapons development progra

40、ms.In February 1953,for example,a delegation of Chinese scientists led by the director of the Institute of Physics of CAS traveled to the Soviet Union to discuss atomic research collaboration.6 In 1957,CAS and the Soviet Academy of Sciences signed joint agreements to construct nuclear reactors in Ch

41、ongqing,Xian,Beijing,and Shenyang.7 CAS played a critical role in Chinas strategic weapons and space technologies development throughout the 1950s and 1960s.At the instruction of Premier Zhou Enlai(周恩來),CAS made significant contributions to Chinas“Nuclear Bombs,Ballistic Missiles,and Earth Satellite

42、s”(兩彈一星)program,which led to the development of the countrys nuclear and space capabilities.8 Another example of CASs success in supporting Chinese military modernization occurred in March 1965,when the Chinese Communist Party tasked CAS with developing a guidance computer for long-range missiles,ca

43、lled Project 156.9 The consortium of six CAS institutes working on the project formed the Xian Microelectronics Technology Institute(also known as the 771 Institute;西安微電子技術研究所)in 1975,which developed into an important supplier of computing and microelectronics products to the Peoples Liberation Army

44、.10 Notably,ZTE(中興通訊股份有限公司),one of the largest telecommunications companies in the world,was spun out of the Xian Microelectronics Technology Institute in the early 1980s.11 Center for Security and Emerging Technology|8 8 Reform and Revitalization In the 1970s and 1980s,CAS suffered from an aging wo

45、rkforce,insufficient research facilities,and outdated research agendas,all of which hampered its ability to advance indigenous innovation and other S&T development priorities.12 During the 1980s,national reforms decreased government funding for research institutions and incentivized the organization

46、 to become more responsive to market competition.These reforms discouraged CAS entities from undertaking large-scale research projects with uncertain commercial outcomes and ultimately led to the underfunding of CASs basic research activities.13 In the late 1990s,responding to Beijings calls to stre

47、ngthen Chinas national research capabilities,CAS initiated a series of efforts to expand its role in Chinas innovation ecosystem.14 The most significant of these efforts was the Knowledge Innovation Program(中國科學院知識創新工程),a set of initiatives and reforms intended to address fundamental issues within C

48、AS and develop it into one of the worlds top scientific research institutions.15 The KIP reduced the number of CAS institutes by converting some into commercial entities and reorganized others to address overlapping research missions.16 The KIP included several initiatives to bolster CASs research w

49、orkforce,such as expanding training for graduate students,introducing stringent evaluation requirements for researchers,and leveraging national-level initiatives like the Hundred Talents Program(百人計劃)to recruit top scientists from abroad.17 Later,the KIP encouraged collaborations between CAS and pro

50、vincial and city governments to support local innovation,leading to the creation of seven new institutes.18 By the end of the 12-year program,CAS reemerged as a hub of basic research and S&T development in China.19 In 2011,CAS unveiled a new initiative called Innovation 2020(創新 2020),which aimed to

51、continue the work of the KIP and further strengthen Chinas S&T ecosystem.Innovation 2020 focused on improving international collaborations,including through deepening scientific partnerships with developed nations and promoting cooperation with developing countries.20 As part of the KIP,CAS played a

52、n active role in Chinas Belt and Road Initiative.For example,between 2013 and 2019,it provided around 268 million USD in funding for BRI S&T projects and initiated collaborative research with over 40 institutions from 14 BRI partner countries.21 CASs 13th Five-Year Plan(20162020)placed greater empha

53、sis on converting basic research into commercial technologies that can help drive economic growth.22 During this period,CAS established joint research and development(R&D)centers with major Center for Security and Emerging Technology|9 9 industry players,set up business incubators for startups,impro

54、ved patenting processes and standards,and further promoted collaboration with local governments.It also reformed its performance assessment systemwhich directly affects resource allocationsto place a greater emphasis on conducting impactful,high-quality research,replacing its previous focus on using

55、 quantitative metrics to evaluate impact.23 Since the 1950s,CAS has been a key driver of S&T development in China.Successive reforms over the past four decades have led to CASs modernization and have better aligned incentive structures to advance domestic S&T innovation.These reforms have also promo

56、ted CASs integration into the international scientific landscape.In the following section,we build on this context to outline CASs contemporary contributions to Chinas S&T ecosystem.Center for Security and Emerging Technology|10 10 Examining CASs Core Functions:Research,Commercialization,and Policym

57、aking In this section,we examine CASs three main functions:advancing research in critical fields,fostering the commercialization and adoption of key technologies,and aiding in the development and implementation of Chinas S&T policy initiatives.In the first section on CASs role in driving research,we

58、 detail the organizations size,funding,and research output in the context of other leading global research institutions.We also include analysis of the CAS institutes research activities by field of study to better understand CASs research output in the context of Chinas STEM ecosystem,paying specia

59、l attention to the institutes AI-related publications.The second section describes CASs role in fostering the commercialization of key technologies and highlights several key case studies of successful CAS spin-off companies.The third section describes CASs role in shaping Chinese S&T policy.Advanci

60、ng S&T Research One of CASs primary responsibilities is to advance Chinas S&T research capabilities in order to strengthen the national innovation ecosystem,boost technological self-reliance,and help China become a global leader in STEM research.24 CAS oversees 115 institutes,which advance research

61、across a wide range of critical fields.CAS also directly manages two universities,the University of Science and Technology of China(USTC)and the University of Chinese Academy of Sciences(UCAS),and co-administers ShanghaiTech University with the Shanghai Municipal Peoples Government.25 Additionally,C

62、AS is an important actor in Chinas State Key Laboratory system,which is composed of hundreds of research facilities tasked with conducting cutting-edge research and fostering cooperation among universities,research institutes,and companies.26 CAS oversees 83(roughly 30 percent)of Chinas government-m

63、anaged SKLs,many of which are co-located with CAS institutes and universities.27 Finally,CAS sponsors 267 academic journals,some of which are published by Springer and Oxford Academic.28 Taken together,these universities,research institutes,and SKLs form a network of research entities that work in c

64、oncert to advance scientific progress and bolster Chinas STEM workforce.CAS universities,for example,work with CAS institutes and CAS SKLs to provide students with opportunities to contribute to research projects.Some scientists at CAS institutes and SKLs serve as part-time department leaders at CAS

65、 universities or otherwise contribute to CASs talent training system.29 According to CAS,it employs around 71,000 individuals,almost 62,000 of whom are professional researchers.Around 79,000 graduate students study at CAS and its universities.30 Center for Security and Emerging Technology|11 11 CAS

66、is an important hub for basic research in China.CAS-affiliated researchers account for 40 percent of all principal investigators overseeing scientific research funded by the National Natural Science Foundation of China(NSFC;國家自然科學基金委員會).31 As of May 2016,CAS oversaw 80 percent of Chinas large-scale

67、science facilities,including the China Spallation Neutron Source in Dongguan,which supports research on physics and materials science,among other fields,and the Experimental Advanced Superconducting Tokamak in Hefei,which facilitates research on nuclear fusion technology.32 Figure 1 shows CASs basic

68、 R&D expenditures between 2012 and 2023,collected from CASs annual budget reports.CASs basic R&D expenditures have nearly quadrupled since 2012 and have grown markedly in the last few years,increasing from 36 billion RMB(5.6 billion USD)in 2021 to 62.8 billion RMB(8.9 billion USD)in 2023.33 Center f

69、or Security and Emerging Technology|12 12 Figure 1.CAS Basic R&D Expenditure and Percent of Chinas Total Basic R&D Expenditure,2012-2023 Source:CAS Budget(20122023),National Bureau of Statistics.34 Figure 1 underscores CASs consequential role in Chinas basic research ecosystem.As shown above,CASs ba

70、sic R&D expenditures accounted for 28 percent of all such spending in China in 2023.While this proportion has declined from its 2014 peak,CAS remains a key actor in Chinas basic research landscape.At the same time,these figures should be understood within the broader context of Chinas R&D environmen

71、t,which continues to favor expenditures on later-stage projects over basic research.Moreover,Chinas proportional spending on basic R&D continues to trail that of other leading S&T countries.According to a 2018 U.S.National Science Foundation study,for example,Chinas basic R&D expenditure accounted f

72、or just 5 percent of total R&D spending,the lowest of any surveyed country.35 In the United States,basic R&D spending accounted for 16 percent of all R&D expenditures in 2018.36 In short,CAS is a major player in Chinas R&D efforts,driving S&T advancements through its vast network of institutes,unive

73、rsities,and SKLs.The organization also contributes to the training of Chinas next generation of scientists,oversees major basic Center for Security and Emerging Technology|13 13 research projects,and manages large-scale scientific facilities.To provide further insight into CASs research contribution

74、s,we examine its research output in STEM fields in the following section.CAS Research on the Global Stage CAS is the worlds top producer of STEM research in terms of volume of papers produced,ahead of the French National Centre for Scientific Research and the University of California system(see Figu

75、re A1 in Appendix A),according to our analysis of CSETs merged corpus data.Since 2012,CAS has also topped the annual Nature Index,which ranks the top five hundred global research institutions based on counts of papers published in top international natural science and health science journals.37 In 2

76、023,UCAS and USTCthe two universities managed by CASranked fifth and seventh on the Nature Index,respectively.38 Even when only accounting for highly cited STEM papers,CAS tops all other global research institutions.*We focus on highly cited papers,as previous bibliometric research has found that ci

77、tations can be an indicator,albeit an imperfect one,of relatively high-impact research.39 As previous research has shown,Chinese researchers are strongly incentivized to write and publish frequently.40 This dynamic has led to a proliferation of low-quality papers published,sometimes by so-called pap

78、er mills that eschew rigorous reviews in favor of charging authors fees in order to publish papers.41 Yet,as shown in Figure 2,CAS researchers are producing an increasing number of highly cited papers relative to other global research institutions.*We define highly cited papers as papers in at least

79、 the 90th percentile of citations in their field in a given year.Center for Security and Emerging Technology|14 14 Figure 2.Top Research Institutions by Highly Cited STEM Publications,20102022 Source:CSET Merged Corpus.Note:See Figure A2 in Appendix A for the top 15 global research organizations for

80、 counts of both total and highly cited STEM papers.Between 2010 and 2022,CASs highly cited STEM research output more than doubled,its growth outpacing other leading global hubs of STEM research.Highly cited STEM papers from the University of California system and Harvard University increased only mo

81、destly over the same period,and yearly publications of highly cited papers from the other four institutions shown in Figure 2 have declined since 2020,likely due in part to the COVID-19 pandemic.In contrast,the number of CASs highly cited STEM research publications has not declined nearly as much.Ac

82、counting only for top-cited STEM papers,our research shows that CAS passed the University of California system,the largest university system in the United States,in 2018.*Figure A3 in Appendix A shows the growth in top-cited STEM papers over time among the leading five producers of top-cited researc

83、h in the world.*We define top-cited papers as papers in the 99th percentile of citations in their field in a given year.Center for Security and Emerging Technology|15 15 Not only is CAS a leading global research institution in terms of highly cited and top-cited STEM research,but individual CAS rese

84、archers are often among the leaders in their fields.Since 2014,Clarivate has published an annual list of top-cited researchers,which tracks the affiliations of individuals that rank within the top 1 percent of the most frequently cited researchers in their field and year.42 Clarivates list of top-ci

85、ted researchers includes both STEM and non-STEM fields.As Figure 3 shows,the number of top-cited researchers affiliated with CAS has increased dramatically over the past decade,growing from 39 in 2014 to 211 in 2023,trailing only the number of those at Harvard University.Center for Security and Emer

86、ging Technology|16 16 Figure 3.Highly Cited Researchers by Institution,20142023 Source:Clarivate.43 Note:In earlier years,highly cited researchers were not aggregated for the University of California system(aggregated after 2018),the National Institutes of Health(aggregated after 2018),and the Max P

87、lanck Society(aggregated after 2015).To be sure,readers should be judicious when drawing conclusions from the above figures,as the featured institutions are not immediately comparable without additional context.Among other differences,the size of these institutions varies,both in terms of research e

88、xpenditures and number of researchers.Harvard University and Stanford University,for example,both spent around 1.3 billion USD on R&D in 2022,compared to CASs more than 15 billion USD.44 As of 2019,Harvard reported 7,579 R&D Center for Security and Emerging Technology|17 17 personnel,much smaller th

89、an the 56,000 reported by CAS.45 On the other hand,in both total operating budget and number of faculty and staff,CAS is smaller than the University of California system.46 In short,while our data allows us to assess measures of STEM research output,we do not offer analysis of leading research insti

90、tutions publications relative to other important factors,including R&D expenditures and number of R&D personnel.Still,the data presented above suggests CAS is publishing not only more STEM research papers but also a growing share of the worlds most highly cited research.Over the last decade,the numb

91、er of highly cited CAS publications and researchers has increased substantially,representing a rise in impactful research.CAS institutes have played an especially important role in fostering CASs growth in high-quality research.We further detail the function and research output of the CAS institutes

92、 below.CAS Institutes CAS institutes are tasked with leading Chinas basic and applied research to solve major strategic and technological challenges,boost Chinas S&T self-reliance efforts,and make Chinas S&T ecosystem more internationally competitive.47 The 115 CAS institutes are spread across 25 pr

93、ovinces and municipalities,with 35 in Beijing,15 in Shanghai,and seven in both Jiangsu and Guangdong(see Appendix B for a complete list of CAS institutes).Below,we turn our attention to the role CAS institutes play in advancing STEM research within Chinas S&T ecosystem and provide some quantitative

94、measures of their research output.We pay particular attention to the institutes research output in critical and emerging technology fields,including in AI,to better understand CASs efforts to advance Chinas capabilities in technologies deemed strategically important by Beijing.While each institute i

95、s responsible for its own research and administration,CAS headquarters oversees the CAS institute system.CAS appoints each institutes leadership,authorizes research strategies,allocates resources,and assesses research output quality and performance.All CAS institutes are expected to adhere to the“On

96、e-Three-Five”guideline,which instructs them to have one R&D direction,to make three major breakthroughs within five to 10 years,and to establish five key line-of-research priorities every five years.48 As a result of this organizational structure,each CAS institute specializes in specific scientific

97、 areas.In addition to their role in advancing S&T research,CAS institutes help develop Chinas S&T workforce by providing graduate students with training and hands-on research opportunities.For example,UCAS offers a“two-stage”(兩段式)program,which Center for Security and Emerging Technology|18 18 allows

98、 graduate students to first take courses at the university and then complete degree-related scientific research at one of the CAS institutes.49 Moreover,some faculty hold joint appointments at a CAS university and a CAS institute,helping to bring additional scientific expertise from practicing scien

99、tists directly into the classroom.50 Several CAS institutes offer graduate degree programs,sometimes in partnership with neighboring universities.51 These mechanisms provide graduate students enrolled at CAS universities with valuable research experience and access to scientific research facilities.

100、Below,we draw on CNKI data to assess the 115 CAS institutes publications by field of study.Each scientific paper in CSETs repository of CNKI data includes information about the authors and their organizational affiliations.Some CAS-affiliated authors may list their affiliation to a certain CAS insti

101、tute but not to CAS itself.By assessing the publications attributed to CAS institutes,we are able to capture a more comprehensive sample of CAS-affiliated research within Chinas S&T research ecosystem.In Figure 4,we present the STEM papers of the CAS institutes alongside those of the top fifteen res

102、earch organizations that appear in CSETs CNKI dataset.Taken together,CAS institutes are the most prolific producers of STEM research in China,demonstrating the importance of CAS-affiliated research organizations in Chinas S&T ecosystem.Although the research institutions in Figure 4 are not directly

103、comparable,as they each vary in size and structure,it is nonetheless noteworthy that the CAS institutes produced more than three times as many STEM publications as the next leading Chinese research institution.The CAS institutes accounted for 178,318 papers published between 2010 and 2021,over 125,0

104、00 more than Tongji University,the second largest producer of STEM research in China.UCASthe largest of the three CAS-managed universitiesranked third.Center for Security and Emerging Technology|19 19 Figure 4.STEM Paper Publications by Top Publishers in China,20102021 Source:CNKI.The research outpu

105、t of the CAS institutes encompasses a wide range of disciplines.Reflecting CASs focus on research in critical and emerging technology fields,CAS institutes published most often in the industrial technology field,which encompasses technologies related to autonomy,information and communication technol

106、ogies,chemical engineering,and more.Industrial technology accounted for 35 percent of CAS institute papers in 2021,followed by astronomy and geoscience,environmental science,and agricultural sciences.See Figure A4 in Appendix A for CAS institute papers over time by field.Figure 5 shows CAS industria

107、l technology papers by subfield.CAS institutes published most frequently in the subfield of automation and computer technology,which includes AI-related research,followed by radio electronics and telecommunications technology and chemical engineering.Center for Security and Emerging Technology|20 20

108、 Figure 5.CAS Institutes Industrial Technology Papers by Subfield,20102021 Source:CNKI.CAS is especially important to Chinas AI research.According to Chinas New Generation Artificial Intelligence Technology Industry Development Report 2022,published by the Chinese Institute of New Generation Artific

109、ial Intelligence Development Strategies,CAS is a key node within Chinas AI innovation network and an important source of basic research for Chinas top AI companies.52 Our analysis of the research output of the CAS institutes further supports CASs role in Chinas AI ecosystem.Between 2010 and 2021,the

110、 CAS institutes published 23,431 AI-related papers in STEM fields,more than twice as many as Wuhan University,the second leading Chinese institution in AI-related publications.See Figure A5 in Appendix A for the top ten publishers of AI-related publications in China.Some CAS institutes are focused o

111、n advancing AI research.The Institute of Automation(自動化研究所),the Shenyang Institute of Automation(沈陽自動化研究所),and the Institute of Computing Technology(計算技術研究所)are among the top producers of AI-related research within CAS.Over half of all papers published by these institutes were AI-related,as shown in

112、 Figure 6.Center for Security and Emerging Technology|21 21 Figure 6.CAS Institutes by Percentage of AI-Related Papers,20102021 Source:CNKI.Note:This figure only includes CAS institutes that published at least one hundred AI-related papers between 2010 and 2021.Notably,a small number of CAS institut

113、es conducted the majority of CASs total published AI-related research.Eight of them accounted for half of all AI-related papers published by CAS institutes between 2010 and 2021.This degree of specialization likely reflects their adherence to the“One-Three-Five”guideline,which encourages CAS institu

114、tes to deepen their expertise in more specialized research fields.As shown above,CAS is a hub for top-tier S&T talent and a leader in STEM research,both on the global stage and within Chinas domestic innovation ecosystem.But CAS is not only a research institution.In the following section,we highligh

115、t CASs efforts to commercialize research in key technology areas.Center for Security and Emerging Technology|22 22 Fostering Commercialization of Critical Technologies A top priority for Beijing,commercializing S&T research is another of CASs core functions.The CAS 13th Five-Year Plan stipulates tha

116、t the organization incubate five thousand“popular entrepreneurship and mass innovation enterprises,strengthen and expand a batch of globally competitive innovative enterprises and hidden champion(隱形冠軍)enterprises,and provide the four technology services(technology development,technology ownership tr

117、ansfer,technology consulting,and technology services)for no less than 20,000 enterprises.”53 Moreover,in recent years CAS has implemented policies urging universities and research institutes to allow academics to work part-time at companies and has added technology transfer metrics to the research i

118、nstitution evaluation system.54 These efforts suggest that CAS is redoubling its efforts to be a bridge between basic and applied research initiatives,as well as to promote technology diffusion and adoption.CAS has various commercialization mechanisms at its disposal to encourage technology transfer

119、 from research institutions to industry.These include offering contract research services,licensing proprietary technology,launching new companies out of CAS institutes,providing industry access to CAS research facilities,and providing financing for companies through investment mechanisms.55 Chinese

120、 Academy of Sciences Holding Co.,Ltd.(中國科學院控股有限公司),for instance,is CASs primary investment arm.Established in 2002,CASH invests in five key sectors:new materials,energy,and environmental protection;technology services and financial technology;publishing and media;high-end equipment;and information t

121、echnology.56 CAS also operates a venture capital investment armCAS Investment Management Co.,Ltd.(中國科技產業投資管理有限公司)which primarily makes early-stage investments in areas such as biotechnology,medical technology,AI,battery technology,semiconductors,and aerospace.57 USTC,one of the universities CAS mana

122、ges,also funds a state-owned asset management company called USTC Holdings Company Limited(中科大資產經營有限責任公司),which is responsible for the commercialization of scientific research and management of university assets.According to its website,USTC Holdings owns stakes in more than 20 companies,including i

123、FLYTEK.58 Center for Security and Emerging Technology|23 23 Commercialization:CAS University Spin-Off Case Study:iFLYTEK In 1999,a group of USTC students founded iFLYTEKan AI company known for voice-recognition technologyusing a prototype of speech synthesis technology first created at a lab at USTC

124、.59 Since the companys founding,iFLYTEK and USTC have maintained close research,workforce,and financial ties.For example,iFLYTEK and USTC jointly built the National Engineering Research Center of Speech and Language Information Processing(語音及語言信息處理國家工程研究中心),and in 2021 together participated in the O

125、pen Automatic Speech Recognition Challenge organized by the U.S.National Institute of Standards and Technology.60 The two entities also maintain workforce-and education-development programs through on-campus training mechanisms and encouraging iFLYTEK employees to serve as part-time doctoral adviser

126、s.61 USTC Holdings is iFLYTEKs fourth largest shareholder,and the chairman and founder of iFLYTEK holds professorial and supervisory positions at USTC and is the chairperson of CASs Artificial Intelligence Industry-University-Research Innovation Alliance(中科院人工智能產學研創新聯盟).62 Notably,iFLYTEK is listed

127、on the U.S.Commerce Departments Bureau of Industry and Securitys(BIS)Entity List for its role in enabling the surveillance of Uyghurs in Xinjiang.63 Some CAS institutes also manage their own investment companies.For example,the Institute of Computing Technologywhich is on the BIS Entity List“for acq

128、uiring and attempting to acquire U.S.-origin items in support of Chinas military modernization”operates Beijing Zhongke Suanyuan Asset Management Co.,Ltd.(北京中科算源資產管理有限公司),a wholly owned asset management company focused on computing technology investments.64 According to its website,the company has h

129、elped the Institute of Computing Technology launch a number of Chinas computing and microelectronics companies,including supercomputing manufacturer Sugon(曙光信息產業股份有限公司),AI chip developer Cambricon(中科寒武紀科技股份有限公司),and CPU designer Loongson(龍芯中科技術股份有限公司),all of which are on the BIS Entity List.65 Conne

130、ctions to CAS institutes afford these spin-off companies access to technical expertise,scientific facilities,increased resources,and other intangible benefits.In turn,successful spin-off companies often invest in and support other promising companies.66 Center for Security and Emerging Technology|24

131、 24 Commercialization:CAS Institute Spin-Off Case Study:Lenovo In 1984,the Institute of Computing Technology provided seed funding to 11 institute researchers to found the New Technology Development Company(中國科學院計算所新技術發展公司),later renamed Lenovo Group(聯想集團),or Lenovo.67 The companys first product was

132、 an extension card,which is a hardware component that enhances a computers functionality.This innovation allowed the company to secure financial backing,partner with firms to establish a manufacturing joint venture,and expand into Hong Kong.68 In 1994,Lenovos parent company,Legend Holdings,transferr

133、ed 65 percent of its shares to CAS.69 CASs backing helped the company expand its operations,enter international markets,and eventually go public.70 By the end of the 1990s,Lenovo held over a quarter of the global PC market.71 Today,Lenovo is one of the worlds largest consumer electronics manufacture

134、rs.72 CAS has since reduced its stake in Legend Holdings,but remains Lenovos largest shareholder today.73 The case studies of iFLYTEK and Lenovo help reveal CASs role in fostering the commercialization of critical technologies.CAS promotes the development of technology companies by providing financi

135、al support and personnel to help found them.Once established,these companies often maintain strong connections with CAS through joint research projects,financial ties,and talent development programs.Still,while these examples provide important insights into how CAS has contributed to Chinas technolo

136、gy commercialization,more work is needed to better understand CASs overall contributions to facilitating tech transfer in China.Center for Security and Emerging Technology|25 25 Advising S&T Policymaking Beyond advancing S&T research and facilitating technological commercialization,CAS is a powerful

137、 player in Chinas S&T policymaking process and has a long history of shaping some of the countrys most important scientific initiatives.For example,CAS recommendations resulted in the creation of the 863 Program(also known as the National High-Tech Development Plan),which fueled progress in supercom

138、puting and aerospace technologies.74 A CAS proposal also led to the development of the 973 Program,which was a key source of funding for basic research in important S&T fields until it was folded into Chinas National Key R&D Program in 2016.75 In addition to being a powerful stakeholder in Chinas S&

139、T bureaucracy,CAS influences the Chinese S&T policymaking process through its academicians(院士)and think tanks.CAS academicians are among the most influential individuals in Chinas S&T ecosystem.They affect the allocation of resources to various research and commercial units,manage significant budget

140、s,and in recent years have featured prominently in Chinas foremost political offices.76 For instance,Yin Hejun(陰和俊),an academician who was previously the vice president of CAS,currently leads the Ministry of Science and Technology.77 A total of 20 CAS academicians are currently in the 205-member 20t

141、h Central Committee,up from 18 in the 19th Central Committee(20172022)and eight in the 18th Central Committee(20122017).78 CAS academicians do not need to hold official government positions to shape S&T policy.For instance,recommendations authored by CAS academicians resulted in the founding of the

142、NSFC and the Chinese Academy of Engineering,both major players in Chinas S&T ecosystem today.79 Academicians also lead the research conducted by major science and technology think tanks such as the Academic Divisions of the Chinese Academy of Sciences(CASAD;中國科學院學部)and the Institutes of Science and

143、Development(CASISD;中國科學院科技戰略咨詢研究院).80 Established in 1955,CASAD advises the State Council and other government agencies on the formation and coordination of S&T policy and is intended to increase communication between researchers and policymakers.81 Starting in 2019,for instance,CASAD conducted join

144、t research with the NSFC to study future development paths of various emerging technologies and scientific fields of research critical to Chinas development.82 The Research on the Development Strategy of Chinese Disciplines and Frontier Fields(中國學科及前沿領域發展戰略研究)project brought together over three thou

145、sand scientists,including four hundred of the roughly eight hundred total CAS academicians,resulting in the publication of 38 books,each of which outlines a development strategy for a scientific discipline or frontier technology field.83 Center for Security and Emerging Technology|26 26 CASISD,found

146、ed in 2016,emerged out of a Chinese government initiative to form twenty-five“New Think Tanks with Chinese Characteristics”(中國特色新型智庫)and a directive from Xi Jinping for CAS to create a“first-class”S&T think tank.84 It is intended to improve Chinas assessment and policymaking capabilities.85 CASISD u

147、ses its ties to CAS to assess progress in Chinas S&T ecosystem and makes S&T policy recommendations for both CAS and China generally.86 According to the CAS 13th Five-Year Plan,CASISD is also tasked with promoting international scientific exchanges.87 Center for Security and Emerging Technology|27 2

148、7 Conclusion The top global producer of STEM papers and home to many of the worlds leading researchers,CAS is one of the most important S&T institutions in the world and plays a pivotal role in advancing Chinas S&T development.Our analysis of CASs research output underscores the institutions key pos

149、ition in Chinas STEM ecosystem.CAS also fosters the commercialization and adoption of important technologies.Moreover,CAS actors,including academicians and think tanks,often help shape Chinese S&T policy.To be sure,CAS has made progress in achieving the organizational goals set out in various policy

150、 documents.88 CAS is a leading producer of impactful research and is the worlds largest producer of highly cited and top-cited STEM publications.Successful tech companies have emerged from CAS research and investments,contributing to Chinas competitiveness in critical and emerging technologies.Natio

151、nal S&T policies are often developed with input from CAS policymakers and academicians.At the same time,CAS continues to face various challenges.While the organization has rapidly climbed global research rankings in recent years,only a handful of researchers from CAS have been awarded the worlds mos

152、t prestigious scientific awards.89 No CAS scientist has ever received the Turing Award or Nobel Prize,for example.In addition,ongoing reforms to Chinas S&T bureaucracy,first announced in March 2023,could affect CASs core functions and responsibilities.Intended to centralize and streamline S&T decisi

153、on-making authorities under the newly announced Central Science and Technology Commission,these reforms will likely impact CASs role in shaping national S&T policy.90 Furthermore,CASs core functionsadvancing research,commercializing technologies,and shaping S&T policymay be in tension with one anoth

154、er.As a basic research organization,CAS is incentivized to meet or exceed its research goals.As a commercial entity,CAS must promote the growth of its spin-off enterprises and prioritize applied research projects that might lead to greater revenues for the organization.As an influential policymaking

155、 actor,CASs leaders are incentivized to increase the organizations relative political power and influence within Chinas S&T bureaucracy.If CAS over-prioritizes its commercial activities,CAS scientists might invest less time in basic research in favor of projects that can be more easily commercialize

156、d.On the other hand,if CAS over-invests in developing its basic R&D programs at the expense of its commercial endeavors,it may negatively affect CASs business interests,which are an essential source of revenue for the organization.CAS is tasked with shaping Chinese S&T policies,but it is also invest

157、ed in protecting its own organizational interests,and therefore it may advocate against policies that threaten to weaken its position in Center for Security and Emerging Technology|28 28 Chinas S&T ecosystem,even if those policies might better advance the countrys S&T development.The tensions among

158、CASs core functions described above could pose challenges to the organizations ability to simultaneously advance all three functions.Moreover,CASs success in certain metricssuch as research output and number of top-cited researchersrelative to other leading STEM research institutions does not necess

159、arily suggest that Chinas model of S&T development is more effective than that of other countries.As shown in this report,Beijing has committed extensive resources to CAS to push forward its S&T development goals.Consequently,CASs success,or lack thereof,will affect Beijings ability to achieve its o

160、wn strategic objectives.Despite these challenges,CASs importance to Beijings S&T ambitions underscores the need for U.S.policymakers to better understand the organization.While this report does not offer an exhaustive account of CASs activities,it provides an important foundation for understanding C

161、AS,which will remain a key driver of Chinas S&T development for the foreseeable future.Center for Security and Emerging Technology|29 29 Appendix A:Additional Figures Figure A1.Annual STEM Publications,Top Publishing Organizations,20102022 Source:CSET Merged Corpus.Center for Security and Emerging T

162、echnology|30 30 Figure A2.Top Publishing Organizations,Total and Highly Cited STEM Papers,20102022 Source:CSET Merged Corpus.Center for Security and Emerging Technology|31 31 Figure A3.Top Publishing Organizations by Top-Cited STEM Papers,20102022 Source:CSET Merged Corpus.Center for Security and Em

163、erging Technology|32 32 Figure A4.CAS Institutes Paper Publications by Fields of Study,20102021 Source:CNKI.Figure A5.AI-Related Papers by Top Publishers in China,STEM Papers,20102021 Source:CNKI.Center for Security and Emerging Technology|33 33 Appendix B:List of CAS Institutes Name(Chinese)Name(En

164、glish)Location U.S.Government Restriction91 數學與系統科學研究院 Academy of Mathematics and Systems Science Beijing None 物理研究所 Institute of Physics Beijing Entity List92 理論物理研究所 Institute of Theoretical Physics Beijing None 高能物理研究所 Institute of High Energy Physics Beijing None 力學研究所 Institute of Mechanics Bei

165、jing None 聲學研究所 Institute of Acoustics Beijing None 理化技術研究所 Technical Institute of Physics and Chemistry Beijing None 化學研究所 Institute of Chemistry Beijing None 國家納米科學中心 National Center for Nanoscience and Technology Beijing None 生態環境研究中心 Research Center for Eco-Environmental Sciences Beijing None 過程

166、工程研究所 Institute of Process Engineering Beijing None 地理科學與資源研究所 Institute of Geographic Sciences and Natural Resources Research Beijing None 國家天文臺 National Astronomical Observatories Beijing None 云南天文臺 Yunnan Observatories93 Kunming None 南京天文光學技術研究所 Nanjing Institute of Astronomical Optics&Technology

167、94 Nanjing Entity List95 新疆天文臺 Xinjiang Astronomical Observatory96 Urumqi None 長春人造衛星觀測站 Changchun Observatory97 Changchun None Center for Security and Emerging Technology|34 34 地質與地球物理研究所(地球科學研究院）Institute of Geology and Geophysics(Innovation Academy for Earth Science)Beijing None 青藏高原研究所 Institute

168、 of Tibetan Plateau Research Lhasa None 古脊椎動物與古人類研究所 Institute of Vertebrate Paleontology and Paleoanthropology Beijing None 大氣物理研究所 Institute of Atmospheric Physics Beijing None 植物研究所 Institute of Botany Beijing None 動物研究所 Institute of Zoology Beijing None 心理研究所 Institute of Psychology Beijing None

169、 微生物研究所 Institute of Microbiology Beijing None 生物物理研究所 Institute of Biophysics Beijing None 遺傳與發育生物學研究所 Institute of Genetics and Developmental Biology(IGDB)98 Shijiazhuang None 農業資源研究中心 Center for Agricultural Resources Research,(IGDB)99 Shijiazhuang None 北京基因組研究所(國家生物信息中心)Beijing Institute of Geno

170、mics(China National Center for Bioinformation)Beijing None 計算技術研究所 Institute of Computing Technology Beijing Entity List100 軟件研究所 Institute of Software Beijing None 半導體研究所 Institute of Semiconductors Beijing None 微電子研究所 Institute of Microelectronics101 Guangzhou None 空天信息創新研究院 Aerospace Information

171、Research Institute Beijing None 自動化研究所 Institute of Automation Beijing None 電工研究所 Institute of Electrical Engineering Beijing None 工程熱物理研究所 Institute of Engineering Thermophysics Beijing None Center for Security and Emerging Technology|35 35 國家空間科學中心 National Space Science Center Beijing None 自然科學史研

172、究所 Institute for the History of Natural Sciences Beijing None 科技戰略咨詢研究院 Institutes of Science and Development Beijing None 信息工程研究所 Institute of Information Engineering Beijing None 數據與通信保護研究教育中心 Data Assurance&Communications Security Center102 Beijing None 空間應用工程與技術中心 Technology and Engineering Cent

173、er for Space Utilization Beijing None 天津工業生物技術研究所 Tianjin Institute of Industrial Biotechnology Tianjin None 大連化學物理研究所 Dalian Institute of Chemical Physics Dalian None 金屬研究所 Institute of Metal Research Shenyang None 沈陽應用生態研究所 Institute of Applied Ecology Shenyang None 沈陽自動化研究所 Shenyang Institute of

174、Automation Shenyang Entity List103 海洋研究所 Institute of Oceanology Qingdao None 青島生物能源與過程研究所 Qingdao Institute of Bioenergy and Bioprocess Technology Qingdao None 煙臺海岸帶研究所 Yantai Institute of Coastal Zone Research Yantai None 長春光學精密機械與物理研究所 Changchun Institute of Optics,Fine Mechanics,and Physics Chan

175、gchun None 長春應用化學研究所 Changchun Institute of Applied Chemistry Changchun None 東北地理與農業生態研究所 Northeast Institute of Geography and Agroecology Changchun None 農業技術中心 Center for Agricultural Technology104 Changchun None Center for Security and Emerging Technology|36 36 上海微系統與信息技術研究所 Shanghai Institute of

176、Microsystem and Information Technology Shanghai Entity List105 上海技術物理研究所 Shanghai Institute of Technical Physics Shanghai None 上海光學精密機械研究所 Shanghai Institute of Optics and Fine Mechanics Shanghai None 上海硅酸鹽研究所 Shanghai Institute of Ceramics Shanghai None 上海有機化學研究所 Shanghai Institute of Organic Chemi

177、stry Shanghai None 上海應用物理研究所 Shanghai Institute of Applied Physics Shanghai Unverified List106 上海天文臺 Shanghai Astronomical Observatory Shanghai None 分子細胞科學卓越創新中心(生物化學與細胞生物學研究所)Center for Excellence in Molecular Cell Science(Shanghai Institute of Biochemistry and Cell Biology)Shanghai None 腦科學與智能技術卓越

178、創新中心(神經科學研究所)Center for Excellence in Brain Science and Intelligence Technology(Institute of Neuroscience)Shanghai None 分子植物科學卓越創新中心(植物生理生態研究所)Center for Excellence in Molecular Plant Sciences(Institute of Plant Physiology and Ecology)Shanghai None 上海營養與健康研究所 Shanghai Institute of Nutrition and Heal

179、th Shanghai None 上海藥物研究所 Shanghai Institute of Materia Medica Shanghai None 上海免疫與感染研究所 Shanghai Institute of Immunity and Infection Shanghai None 上海高等研究院 Shanghai Advanced Research Institute Shanghai None Center for Security and Emerging Technology|37 37 微小衛星創新研究院 Innovation Academy for Microsatelli

180、tes Shanghai None 福建物質結構研究所(海西研究院)Fujian Institute of Research on the Structure of Matter(Haixi Institutes)Fuzhou None 寧波材料技術與工程研究所 Ningbo Institute of Materials Technology&Engineering Ningbo None 城市環境研究所 Institute of Urban Environment Xiamen None 杭州醫學研究所 Hangzhou Institute of Medicine Hangzhou None

181、 南京地質古生物研究所 Nanjing Institute of Geology and Palaeontology Nanjing None 南京土壤研究所 Institute of Soil Science Nanjing None 南京地理與湖泊研究所 Nanjing Institute of Geography&Limnology Nanjing None 紫金山天文臺 Purple Mountain Observatory Nanjing None 蘇州納米技術與納米仿生研究所 Suzhou Institute of Nano-tech and Nano-bionics Suzhou

182、 None 蘇州生物醫學工程技術研究所 Suzhou Institute of Biomedical Engineering and Technology Suzhou None 贛江創新研究院 Ganjiang Innovation Academy Ganzhou None 合肥物質科學研究院 Hefei Institutes of Physical Science Hefei None 武漢巖土力學研究所 Institute of Rock and Soil Mechanics Wuhan None 精密測量科學與技術創新研究院 Innovation Academy for Precisi

183、on Measurement Science and Technology Wuhan None 武漢病毒研究所(生物安全大科學研究中心)Wuhan Institute of Virology(Center for Biosafety Mega-science)Wuhan None 水生生物研究所 Institute of Hydrobiology Wuhan None Center for Security and Emerging Technology|38 38 武漢植物園 Wuhan Botanical Garden Wuhan None 南海海洋研究所 South China Sea

184、 Institute of Oceanology Guangzhou None 華南植物園 South China Botanical Garden Guangzhou None 廣州能源研究所 Guangzhou Institute of Energy Conversion Guangzhou None 廣州地球化學研究所 Guangzhou Institute of Geochemistry Guangzhou None 長沙礦產資源勘查中心 Changsha Center for Mineral Resource Exploration107 Changsha None 廣州生物醫藥與健

185、康研究院 Guangzhou Institutes of Biomedicine and Health Guangzhou None 深圳先進技術研究院 Shenzhen Institute of Advanced Technology Shenzhen None 亞熱帶農業生態研究所 Institute of Subtropical Agriculture Changsha None 深?？茖W與工程研究所 Institute of Deep-Sea Science and Engineering Wuhan None 成都生物研究所 Chengdu Institute of Biology

186、Chengdu None 成都山地災害與環境研究所 Institute of Mountain Hazards and Environment Chengdu None 光電技術研究所 Institute of Optics and Electronics Chengdu None 重慶綠色智能技術研究院 Chongqing Institute of Green and Intelligent Technology Chongqing None 昆明動物研究所 Kunming Institute of Zoology Kunming None 昆明植物研究所 Kunming Institute

187、 of Botany Kunming None 西雙版納熱帶植物園 Xishuangbanna Tropical Botanical Garden Xishuangbanna None 廣州地球化學研究所 Guangzhou Institute of Geochemistry Guangzhou None Center for Security and Emerging Technology|39 39 西安光學精密機械研究所 Xian Institute of Optics and Precision Mechanics Xian None 國家授時中心 National Time Serv

188、ice Center Xian None 地球環境研究所 Institute of Earth Environment Xian None 山西煤炭化學研究所 Institute of Coal Chemistry Taiyuan None 近代物理研究所 Institute of Modern Physics Lanzhou None 蘭州化學物理研究所 Lanzhou Institute of Chemical Physics Lanzhou None 西北生態環境資源研究院 Northwest Institute of Eco-environment and Resources Lanz

189、hou None 青海鹽湖研究所 Qinghai Institute of Salt Lakes Xining None 西北高原生物研究所(三江源國家公園研究院)Northwest Institute of Plateau Biology(Institute of Sanjiangyuan National Park)Xining None 新疆理化技術研究所 Xinjiang Technical Institute of Physics and Chemistry Urumqi None 新疆生態與地理研究所 Xinjiang Institute of Ecology and Geogra

190、phy Urumqi None Source:Chinese Academy of Sciences.Center for Security and Emerging Technology|40 40 Authors Cole McFaul is a research analyst at CSET and a nonresident fellow at the Atlantic Councils Global China Hub.Hanna Dohmen is a research analyst at CSET,a nonresident fellow at the Atlantic Co

191、uncils Global China Hub,and consults for Covington&Burling LLP on semiconductor policy issues.Sam Bresnick is a research fellow at CSET.Emily Weinstein contributed to this report while she was a research fellow at CSET.She is currently detailed to the U.S.Department of Commerce under an Intergovernm

192、ental Personnel Act agreement.Her contributions to this report were completed prior to her service in the Commerce Department.The views expressed herein are those of the authors and do not necessarily reflect those of the U.S.government.Acknowledgments The authors would like to thank Emmy Probasco,M

193、argarita Konaev,Catherine Aiken,Daniel Chou,Ben Murphy,and Ngor Luong for their feedback and assistance.The authors are also grateful for the reviews and suggestions they received from John Chen,Cong Cao,Dakota Cary,Bill Hannas,and Huey-Meei Chang.They also thank Shelton Fitch and Liz Dana for edito

194、rial support,and Jason Ly for help with graphic design.2024 by the Center for Security and Emerging Technology.This work is licensed under a Creative Commons Attribution-Non Commercial 4.0 International License.To view a copy of this license,visit https:/creativecommons.org/licenses/by-nc/4.0/.Docum

195、ent Identifier:doi:10.51593/20220055 Endnotes 1 The State Council(國務院),also known as the Central Peoples Government of the Peoples Republic of China,is the top executive organ of the Chinese government.See:William Hannas,James Mulvenon,and Anna Puglisi,Chinese Industrial Espionage:Technology Acquisi

196、tion and Military Modernisation(New York:Routledge,2013).2“2023 Tables:Institutions,”Nature Index, For more,see:Autumn Toney and James Dunham,“Multi-label Classification of Scientific Research Documents Across Domains and Languages,”Association for Computational Linguistics Proceedings of the Third

197、Workshop on Scholarly Document Processing(October 2022):105114.4 For more on how we classify AI-related research,see:Daniel Chou,“Counting AI Research”(CSET,July 2022),https:/cset.georgetown.edu/wp-content/uploads/CSET-Counting-AI-Research.pdf.5 Hannas,Mulvenon,and Puglisi,Chinese Industrial Espiona

198、ge.6 Paul H.B.Godwin,“Strategic Forces,”in Development of the Chinese Armed Forces(Montgomery,AL:Air University Press,1988),https:/irp.fas.org/dia/product/prc_ch-11.htm.7 Godwin,“Strategic Forces.”8 Liu Yanqiong,“Chinese Academy of Sciences and the Two Bombs and One Satellite Project,”Proceedings of

199、 the Chinese Academy of Sciences 34,no.9(2019):10031013.The Chinese term here,兩彈一星,literally means“two bombs and one satellite.”It refers to Chinas Mao Zedongera accomplishments of building its own nuclear bombs(原子彈),ballistic missiles(導彈),and earth satellites(衛星).The“two bombs”(兩彈)part is often mis

200、construed as“atomic and hydrogen bombs.”See William Hannas and Huey-Meei Chang,“Chinas STI Operations:Monitoring Foreign Science and Technology Through Open Sources”(CSET,January 2021),27,https:/cset.georgetown.edu/publication/chinas-sti-operations.9“Computer 156 156 計算機,”CCF China Computer Historic

201、al Memory,2018,https:/perma.cc/2Y3Q-VWQ3.10 The six institutes were the Institute of Computing Technology,Institute of Electronics,Institute of Physics,Northeast Institute of Physics,Northwest Institute of Computing Technology,and Institute of Applied Chemistry.Today,as part of the China Aerospace S

202、cience and Technology Corporation(CASC),the Xian Microelectronics Technology Institute remains a key Peoples Liberation Army supplier and manages two military-standard integrated circuit foundries.CASC is a state-owned defense and aerospace conglomerate.For more,see Eric Lee and Seamus Boyle,“Chines

203、e Nuclear Missile Guidance Systems:Spotlight on the Xian Institute of Microelectronics Technology”(Project 2049 Institute,September 18,2020),https:/ for Security and Emerging Technology|42 11 Xian Microelectronics Technology Institute still holds 34 percent ownership of ZTE,and financial filings sho

204、w that ZTE maintains close ties to the institute.The institute is the second largest shareholder of ZTE.The company and institute are also tied through shared personnel.The institute in 2022 nominated three of the nine directors on the companys board,and the current chairman and executive director o

205、f ZTE previously held numerous leadership positions at the institute,including deputy head of from 2015 to 2019.In August 2022,the U.S.Department of Commerces Bureau of Industry and Security(BIS)added Xian Microelectronics Technology Institute to the Entity List“for acquiring and attempting to acqui

206、re US-origin items in support of Chinas military modernization efforts.”Lee and Boyle,“Chinese Nuclear Missile Guidance Systems”;“2022 Annual Report”(ZTE Corporation,March 2023),https:/perma.cc/7ZN8-X42W;BIS,“Additions of Entities to the Entity List,”Federal Register 87 FR 51876(August 24,2022),www.

207、federalregister.gov/documents/2022/08/24/2022-18268/additions-of-entities-to-the-entity-list.12 Richard P.Suttmeier,Cong Cao,and Denis Fred Simon,“Chinas Innovation Challenge and the Remaking of the Chinese Academy of Sciences,”Innovations:Technology,Governance,Globalization 1,no.3(Summer 2006):7897

208、,https:/doi.org/10.1162/itgg.2006.1.3.78.13 Suttmeier,Cao,and Simon,“Chinas Innovation Challenge.”14 Suttmeier,Cao,and Simon,“Chinas Innovation Challenge.”15 Richard P.Suttmeier,Cong Cao,and Denis Fred Simon,“Knowledge Innovation and the Chinese Academy of Sciences,”Science 312,no.5770(April 7,2006)

209、:5859.16 Suttmeier,Cao,and Simon,“Knowledge Innovation.”For example,in 2001,the Institute of Genetics and Developmental Biology was formed by merging the Institute of Genetics and the Institute of Developmental Biology.In 2003,the Beijing Genomics Institutenow BGI Groupwas separated from the Institu

210、te of Genetics and Developmental Biology and established as a CAS research institute.“Institute Overview”研究所概況,Institute of Genetics and Developmental Biology,accessed May 9,2024,https:/perma.cc/PMC3-SPX6.17 Suttmeier,Cao,and Simon,“Knowledge Innovation”;Federal Bureau of Investigation Strategic Par

211、tnership Unit,Chinese Talent Programs,Counterintelligence Strategic Partnership Intelligence Note(Washington,DC:FBI,September 2015),https:/ The seven new institutes established were the Guangzhou Institutes of Biomedicine and Health,Institute of Urban Environment(in Xiamen),Yantai Institute of Coast

212、al Zone Research,Suzhou Institute of Nano-tech and Nano-bionics,Qingdao Institute of Bioenergy and Bioprocess Technology,Ningbo Institute of Materials Technology&Engineering,and the Shenzhen Institute of Advanced Technology.Micah Springut,Stephen Schlaikjer,and David Chen,Chinas Program for Science

213、and Technology Modernization:Implications for American Competitiveness(Washington,DC:U.S.-China Economic and Security Review Commission,April 20,2011),www.uscc.gov/sites/default/files/Research/USCC_REPORT_China%27s_Program_forScience_and_Technology_Modernization.pdf.Center for Security and Emerging

214、Technology|43 19 Springut,Schlaikjer,and Chen,Chinas Program for Science and Technology Modernization.20 Jane Qiu,“China Sets 2020 Vision for Science,”Science 470,no.15(February 1,2011),https:/doi.org/10.1038/470015a.21 Yuehui Wu,“Chinese Academy of Sciences Contributes to Belt and Road Construction

215、 through Science Cooperation,”Peoples Daily,April 23,2019,https:/perma.cc/7LYW-J93M.22 CAS,“Outline of the Chinese Academy of Sciences 13th Five-Year Development Plan”中國科學院十三五發展規劃綱要,trans.CSET(CSET,October 20,2022),https:/cset.georgetown.edu/publication/outline-of-the-chinese-academy-of-sciences-13t

216、h-five-year-development-plan/.23 Jane Qiu,“Chinese Academy of Sciences Has Big Plans for Nations Research,”Nature,March 24,2011, CAS,“Chinese Academy of Sciences 2022 Budget”中國科學院 2022 年部門預算,trans.CSET(CSET,June 30,2022),https:/cset.georgetown.edu/publication/chinese-academy-of-sciences-2022-budget/

217、.25 USTC(中國科學技術大學)was founded in 1958 to support Chinas“Nuclear Bombs,Ballistic Missiles,and Earth Satellites”program.USTC houses 32 colleges focusing on cutting-edge science and technology,medicine,and humanities subjects.USTC also has five research institutes:the Suzhou Institute for Advanced Rese

218、arch,the Shanghai Institute for Advanced Studies,Beijing Research Institute,the Institute of Advanced Technology,and the International Institute of Finance.On May 9,2024,USTC was added to the BISs Entity List for acquiring and attempting to acquire U.S.-origin items in support of advancing Chinas qu

219、antum technology capabilities and for being involved in advancing Chinas nuclear program development.UCAS(中國科學院大學)as it is known todaywas established in 2012,but the school has existed since 1978.Formerly known as the Graduate School of the University of Science and Technology of China,it was the fi

220、rst graduate school in China.Since 2014,however,UCAS has enrolled both undergraduate and graduate students.ShanghaiTech University(上?？萍即髮W)was founded in 2013 as a collaboration between the Shanghai Municipal Peoples Government and CAS.The university consists of five schools and three research instit

221、utes.ShanghaiTech claims to be an internationally focused university that aims to cultivate innovative scientists,investors,and entrepreneurs.The majority of classes are taught in both Chinese and English,and the university heavily emphasizes study abroad opportunities at prestigious universities,in

222、cluding Harvard University,the Massachusetts Institute of Technology,and Yale University.According to its website,14 percent of faculty are foreign nationals and almost 25 percent of its graduates pursue postgraduate programs overseas.“School Profile”學校簡介,USTC,January 2024,https:/perma.cc/E643-UF2N;

223、BIS,“Additions of Entities to the Entity List,”Federal Register 89 FR 41886(May 09,2024),www.federalregister.gov/public-inspection/2024-10485/additions-of-entities-to-the-entity-list;“School Center for Security and Emerging Technology|44 Profile”學校簡介,UCAS,accessed April 10,2024,https:/perma.cc/P8BX-

224、Q6ZV;“School Profile”學校簡介,ShanghaiTech University,accessed April 10,2024,https:/perma.cc/QVD4-FJTL.26 Emily Weinstein,Channing Lee,Ryan Fedasiuk,and Anna Puglisi,“Chinas State Key Laboratory System:A View into Chinas Innovation System”(CSET,June 2022),https:/doi.org/10.51593/20210019.27 Weinstein et

225、 al.,“Chinas State Key Laboratory System.”28“About Us,”CAS,accessed May 9,2024,https:/perma.cc/D3MV-GLFX;“Publications,”CAS,accessed May 9,2024,https:/perma.cc/3K5Q-2DKD;“Machine Intelligence Research,”Springer Link,accessed May 9,2024,https:/ of Plant Ecology,”Oxford University Press,accessed May 9

226、,2024,https:/ For example,as of 2020,USTC had signed cooperation agreements with 39 CAS institutes and more than 30 CAS academicians and institute directors serve as part-time department leaders at the university.See“Introduction to All of CAS Helps Run the School and Its Departments Are Combined wi

227、th CAS Institutes”全院辦校、所系結合簡介,USTC,August 2020,https:/archive.ph/xYYBd.30“Introduction to the Chinese Academy of Sciences”中國科學院簡介,CAS,August 2022,https:/perma.cc/UJ86-KP9Q;“Who We Are,”CAS,accessed April 10,2024,https:/perma.cc/CQV5-NZK6.31 The NSFC is a government-run body that oversees and audits

228、Chinese scientific research funds,principally those that support basic research.CAS,“About Us”;“Overview”概況,NSFC,accessed August 19,2024,https:/perma.cc/LGG9-QD2T.32 CAS,“The Chinese Academy of Sciences(CAS),”International Research Collaboration Information Platform,May 27,2016,https:/perma.cc/3RSV-

229、K9U6;David Cyranoski,“China Fires Up Next-Generation Neutron-Science Facility,”Nature 551,no.284(November 16,2017),https:/doi.org/10.1038/nature.2017.22976;“Another World Record for Chinas EAST Tokamak,”Nuclear Engineering International,April 18,2023, of Plasma Physics,“Experimental Advanced Superco

230、nducting Tokamak(EAST),”CAS Large Research Infrastructures User Service Platform,accessed April 16,2024,https:/perma.cc/55SU-NANM.33 USD conversions used average exchange rates for years 2021 and 2023.Currency exchange rates retrieved from“Chinese Yuan to US Dollar Spot Exchange Rates for 2021,”Exch

231、ange Rates UK,accessed April 10,2024,www.exchangerates.org.uk/CNY-USD-spot-exchange-rates-history-2021.html;“Chinese Yuan to US Dollar Spot Exchange Rates for 2023,”Exchange Rates UK,accessed April 10,2024,www.exchangerates.org.uk/CNY-USD-spot-exchange-rates-history-2023.html.34 Figure 1 was created

232、 using data collected from the CAS budgets,which are published annually,and national basic R&D expenditure data published by the National Bureau of Statistics of China.Chinese organizations refer to the Frascati Manual of the Organization for Economic Cooperation and Development to define basic R&D

233、activities.National Bureau of Statistics of China,“Notice on Issuing the Standards for the Statistics of Research and Experimental Development(R&D)Investment(Trial)”Center for Security and Emerging Technology|45 國家統計局關于印發研究與試驗發展（R&D）投入統計規范（試行）的通知,National Bureau of Statistics,no.47(April 19,2019),ht

234、tps:/perma.cc/9J4S-Q76H.35 As of 2023,according to the National Bureau of Statistics of China,Chinese basic R&D expenditure had risen to 6.6 percent of total R&D spending.“Cross-National Comparisons of R&D Performance,”in Science&Engineering Indicators 2018(Washington,DC:National Science Board,Janua

235、ry 2018),www.nsf.gov/statistics/2018/nsb20181/report/sections/research-and-development-u-s-trends-and-international-comparisons/cross-national-comparisons-of-r-d-performance.36“U.S.R&D Expenditures,”in National Patterns of R&D Resources 20212022(Arlington,VA:National Center for Science and Engineeri

236、ng Statistics,January 2024),https:/ncses.nsf.gov/data-collections/national-patterns/2021-2022#data.Both the United States and China use OECDs definitions for basic R&D activities.“Wan Donghua,the Main Responsible Person of the Department of Social,Science,Culture and Health Statistics of the Nationa

237、l Bureau of Statistics,Answers Reporters Questions Regarding the Release of the Standards for Statistics on Research and Experimental Development(R&D)Input(Trial)”國家統計局社科文司主要負責人萬東華就發布研究與試驗發展（R&D）投入統計規范（試行）答記者問,Xinjiang Survey Corps of the National Bureau of Statistics,May 20,2019,https:/perma.cc/BB2

238、4-9384;OECD,“Concepts and Definitions for Identifying R&D,”in Frascati Manual 2015:Guidelines for Collecting and Reporting Data on Research and Experimental Development(Paris:OECD Publishing,October 8,2015),4770,https:/doi.org/10.1787/9789264239012-4-en.37 Nature Index,“2023 Tables:Institutions.”38

239、Nature Index,“2023 Tables:Institutions.”39 See,for example,Dag W.Aksnes,Liv Langfeldt,and Paul Wouters,“Citations,Citation Indicators,and Research Quality:An Overview of Basic Concepts and Theories,”Sage Open 9,no.1(2019),https:/doi.org/10.1177/2158244019829575.40 Ken Hyland,“Enter the Dragon:China

240、and Global Academic Publishing,”Learned Publishing 36,no.3(May 18,2023),https:/doi.org/10.1002/leap.1545.41 Hyland,“Enter the Dragon.”42“Highly Cited Researchers 2023,”Clarivate,accessed April 10,2024,https:/ Clarivate,“Highly Cited Researchers 2023.”44 Anderson,“U.S.R&D Increased by$72 Billion in 2

241、021 to$789 Billion”;“Chinese Academy of Sciences 2022 Department Budget”中國科學院 2022 年部門預算(Beijing:CAS),https:/perma.cc/UFQ5-KWJP.45 National Center for Science and Engineering Statistics,“Harvard U:Headcount of R&D Personnel:202216,”National Science Foundation,accessed August 19,2024,https:/ncsesdata

242、.nsf.gov/profiles/site?method=report&tin=U1300001&id=h4.Center for Security and Emerging Technology|46 46 University of California,“The University of California at a Glance,”March 2024,https:/ucop.edu/institutional-research-academic-planning/_files/uc-facts-at-a-glance.pdf.47 CAS,“Outline of the Chi

243、nese Academy of Sciences 13th Five-Year Development Plan.”48 Fang Xu and Xiaoxuan Li,“The Changing Role of Metrics in Research Institute Evaluations Undertaken by the Chinese Academy of Sciences(CAS),”Palgrave Communications,no.2(October 25,2016),https:/doi.org/10.1057/palcomms.2016.78.49“Yang Chunl

244、i”楊春莉,UCAS,accessed June 18,2024,https:/perma.cc/K4XL-9GYU.50“Introduction to University of Chinese Academy of Sciences(UCAS),”UCAS,accessed June 18,2024,https:/perma.cc/2SZY-CGGN.51 See,for example,Institute of Automation,“Admission Brochure for the Institute of Automation,Chinese Academy of Scienc

245、es,to Recruit Masters Degree Students in 2024”中國科學院自動化研究所2024 年招收攻讀碩士學位研究生招生簡章,CAS,September 22,2023,https:/perma.cc/YE2N-R9CW.52 Liu Gang et al.,Chinas New Generation Artificial Intelligence Technology Industry Development Report 2022 中國新一代人工智能科技產業發展報告 2022(Chinese Institute of New Generation Artif

246、icial Intelligence Development Strategies 中國新一代人工智能發展戰略研究院,June 24,2022),https:/perma.cc/3259-XU3J.53 CAS,“Outline of the Chinese Academy of Sciences 13th Five-Year Development Plan.”“Hidden Champion”(隱形冠軍)enterprises prioritize R&D and focus on developing cutting-edge products in niche markets.Sour

247、ce:https:/perma.cc/T4MH-4CN2.54 Cong Cao and Richard P.Suttmeier,“Challenges of S&T System Reform in China,”Science 355,no.6329(April 10,2017):10192021,https:/doi.org/10.1126/science.aal2515;“Notice of the State Council on Issuing and Implementing Certain Provisions of the Law of the Peoples Republi

248、c of China on Promoting the Transformation of Scientific and Technological Achievements”國務院關于印發實施中華人民共和國促進科技成果轉化法若干規定的通知,State Council,no.16(March 2,2016),https:/cset.georgetown.edu/publication/state-council-notice-on-the-publication-of-certain-regulations-on-implementing-the-law-of-the-peoples-repu

249、blic-of-china-on-promoting-the-conversion-of-scientific-and-technological-achievements/.55 Suttmeier,Cao,and Simon,“Knowledge Innovation”;“Notice of the Chinese Academy of Sciences on the Issuance of the Measures for the Openness and Sharing of Large-Scale Scientific Research Instruments of the Chin

250、ese Academy of Sciences”中國科學院關于印發中國科學院大型科研儀器開放共享管理辦法的通知,CAS,March 25,2022,https:/perma.cc/J2GC-MQZS;State Council,“Opinions of the State Council on the Opening of Major National Scientific Research Infrastructure and Large-Scale Scientific Research Instruments to the Public”國務院關于國家重大科研基礎設施和大型科研儀器向社會

251、開放的意見,Science and Technology Innovation and Development Center,December 31,2014,https:/perma.cc/TUW2-85XR;科技部,發展改革委,and 財政部,“Notice of the Development and Reform Commission of the Ministry of Science and Technology and the Ministry of Finance on the Issuance of Center for Security and Emerging Techn

252、ology|47 the Measures for the Openness and Sharing of National Major Scientific Research Infrastructure and Large Scientific Research Instruments”科技部 發展改革委 財政部關于印發國家重大科研基礎設施和大型科研儀器開放共享管理辦法的通知,中國科學院條件保障與財務局,September 20,2017,國科發基2017289 號 edition,https:/perma.cc/S87C-C88W.56“Corporate Bond Annual Rep

253、ort(2022)”公司債券年度報告(2022 年)(Chinese Academy of Sciences Holdings Co.,Ltd.,April 2023),https:/perma.cc/EG53-K8WD.57“Who Are We?”我們是誰?,CAS Investment Management Co.,Ltd,accessed April 16,2024,https:/perma.cc/3MV3-SQ2B.58“Company Introduction”公司簡介,USTC Holdings Company Limited,accessed April 15,2024,htt

254、ps:/perma.cc/R32R-GVEM.59“We Are Very Proud That iFLYTEK Originated from the University of Science and Technology of China”我們很自豪，訊飛源于中科大!,National Engineering Research Center of Speech and Language Information Processing,February 28,2022,https:/perma.cc/3L6X-2XQT.60“2021 Annual Report”(iFLYTEK Co.,L

255、td.,2021),https:/perma.cc/RD9E-PEQT.61 National Engineering Research Center of Speech and Language Information Processing,“We Are Very Proud.”62 iFLYTEK,“2021 Annual Report.”63 BIS,“Additions of Entities to the Entity List,”Federal Register 87 FR 51876(October 9,2019),www.federalregister.gov/documen

256、ts/2022/08/24/2022-18268/additions-of-entities-to-the-entity-list.64 BIS,“Additions and Revisions to the Entity List and Conforming Removal from the Unverified List,”Federal Register 87 FR 77505(December 16,2022),www.federalregister.gov/documents/2022/12/19/2022-27151/additions-and-revisions-to-the-

257、entity-list-and-conforming-removal-from-the-unverified-list.65“Business Incubation”企業孵化,Institute of Computing Technology,accessed April 15,2024,https:/perma.cc/UZS4-VCL7.66 For example,Lenovo Venture Capital was a seed investor in chip designer Jeejio(中科物棲)in 2018 and Sugon is a 50 percent sharehol

258、der in data intelligence firm Golaxy(中科天璣).“Jeejio”中科物棲,36Krypton Venture Capital Platform,accessed April 16,2024,https:/perma.cc/7928-EWLM;“Golaxy”中科天璣,36Krypton Venture Capital Platform,accessed April 16,2024,https:/perma.cc/QYL3-EKQP.67“History”歷史沿革,Institute of Computing Technology,accessed Apri

259、l 15,2024,https:/perma.cc/3MSH-86F4;“Development Path”發展歷程,Legend Holdings,accessed June 18,2024,https:/perma.cc/GT56-KXRD.Center for Security and Emerging Technology|48 68 Nathaniel Ahrens and Yu Zhou,“Chinas Competitiveness:Myths,Realities,and Lessons for the United States and JapanCase Study:Leno

260、vo”(Center Strategic&International Studies,January 2013),www.csis.org/programs/japan-chair/japan-chair-archives/chinas-competitiveness-myths-realities-and-lessons-united.69 Ahrens and Zhou,“Chinas Competitiveness.”70Ahrens and Zhou,“Chinas Competitiveness”;Institute of Computing Technology,“History”

261、歷史沿革.71 Ahrens and Zhou,“Chinas Competitiveness.”72“2023 Interim Report”(Legend Holdings,2023),https:/perma.cc/N6RH-AUAB.73 Legend Holdings,“2023 Interim Report.”74 Xiaoxuan Li,Kejia Yang,and Xiaoxi Xiao,“Scientific Advice in China:The Changing Role of the Chinese Academy of Sciences,”Nature,July 12

262、,2016, Us”;“About CASAD,”Academic Divisions of the Chinese Academy of Sciences,accessed April 15,2024,https:/archive.ph/8Ze5l.75 CAS,“About Us.”76 Jane Qiu,“Chinese Academies Promise Cleaner Elections,”Nature,August 10,2011, Xin,“The True Cost of Becoming an Academician in China?,”Science,September

263、17,2013,www.science.org/content/article/true-cost-becoming-academician-china.77“Yin Hejun”陰和俊,Ministry of Science and Technology,accessed April 15,2024,https:/perma.cc/P3AQ-UXUT;Jiang Chenglong,“Yin Hejun Appointed as Minister of Science and Technology,”China Daily,October 24,2023,https:/perma.cc/UP

264、3C-A2SG.78 CSET analysis of the Central Committee;Xinhua,“List of Members of 20th CPC Central Committee,”State Council Information Office,October 22,2022,https:/perma.cc/XSV2-3LTU.79 The Chinese Academy of Engineering,often referred to with CAS as the“two academies,”is a parallel organization to CAS

265、 focused on engineering sciences.Although smaller than CAS,CAEs structure and functions are similar,except focused in engineering sciences.“About Us,”CAE,accessed June 17,2024,https:/ The CASAD claims it is comparable to the U.S.National Academy of Sciences.CASAD,“About CASAD.”81 Alex Stone,“Chinas

266、Model of Science:Rationale,Players,Issues”(China Aerospace Studies Institute,2022),www.airuniversity.af.edu/Portals/10/CASI/documents/Research/Infrastructure/2022-02-07%20Model%20of%20Science.pdf.Center for Security and Emerging Technology|49 82“An Overview of Chinas 2035 Development Strategy for Ac

267、ademic Disciplines and Frontier Fields”中國學科及前沿領域 2035 發展戰略總論(NSFC and CAS,March 2023),https:/perma.cc/T9L8-C3KS.83“2035 Development Strategy Series of Chinese Disciplines and Frontier Fields Published”“中國學科及前沿領域 2035 發展戰略叢書”出版(CASAD,May,26,2023,https:/perma.cc/753W-4VDV;“An Overview of Chinas 2035 D

268、evelopment Strategy.”84“National High-End Think Tank Construction Pilot Project”國家高端智庫建設試點,China Development Institute,accessed April 15,2024,https:/perma.cc/JA9N-NUXU;“Review and Research on the First Anniversary of the National High-End Think Tank Construction Pilot Work”國家高端智庫建設試點工作一周年回顧與研究,Chine

269、se Communist Party News Network,Peoples Daily,December 1,2016,https:/perma.cc/K3JS-HRJY.85 China Development Institute,“National High-End Think Tank Construction Pilot Project.”86 Science and Technology Daily,“The First Phase of the Take the Lead Initiative Plan Has Yielded Fruitful Results”【科技日報】“率

270、先行動”計劃第一階段碩果累累,CAS,accessed April 15,2024,https:/archive.ph/VcXb9;“Introduction to the Institute of Science and Technology Strategy Consulting,Chinese Academy of Sciences”中國科學院科技戰略咨詢研究院簡介,Institutes of Science and Development,accessed April 15,2024,https:/perma.cc/9EBR-VMJT.87 CAS,“Outline of the Ch

271、inese Academy of Sciences 13th Five-Year Development Plan.”88 Every five years,CAS publishes a development plan that sets the organizations goals for the period.See,for example,CAS,“Outline of the Chinese Academy of Sciences 13th Five-Year Development Plan.”89 Lokman Meho identified one hundred of t

272、he worlds most prestigious scientific awards.Just 11 of the 3,445 awards in Mehos dataset featured a researcher with a CAS affiliation.Lokman I.Meho,“Highly Prestigious International Academic Awards and Their Impact on University Rankings,”Quantitative Science Studies 1,no.2(2020):824848,https:/doi.

273、org/10.1162/qss_a_00045.Data accessible from:Lokman I.Meho,“Highly Prestigious International Academic Awards and Their Impact on University Rankings(Article and Supporting Data),”American University in Beirut,February 12,2020,https:/scholarworks.aub.edu.lb/handle/10938/21535.90 Barry Naughton,Tai Mi

274、ng Cheung,Siwen Xiao,Yaosheng Xu,and Yujing Yang,“Reorganization of Chinas Science and Technology System”(UC Institute on Global Conflict and Cooperation,July 2023),https:/ucigcc.org/wp-content/uploads/2023/08/Naughton-et-al-Working-Paper-Reorg-v1-8.22.23.pdf.91 We used the International Trade Admin

275、istrations Consolidated Screening List to determine whether a CAS institute faces U.S.government restrictions.This tool checks against BISs Denied Persons List,Unverified List,Entity List,and Military End User List;the Department of State Bureau of International Security and Nonproliferations Nonpro

276、liferation Sanctions;the Department of State Directorate of Defense Trade Controls Arms Export Control Act Debarred List;and the Department of Treasury Office of Foreign Assets Controls Specially Designated Nationals(SDN)List,Foreign Sanctions Evaders List,Sectoral Sanctions Identification List,Corr

277、espondent Account or Payable-Through Account Sanctions Center for Security and Emerging Technology|50 List,Non-SDN Menu-Based Sanctions List,Non-SDN Chinese Military-Industrial Complex Companies,and Palestinian Legislative Council List.92 The Institute of Physics was added to the Entity List on May

278、9,2024,for acquiring and attempting to acquire U.S.-origin items in support of advancing Chinas quantum technology capabilities.BIS,“Additions of Entities to the Entity List,”Federal Register 89 FR 41886(May 9,2024),www.federalregister.gov/public-inspection/2024-10485/additions-of-entities-to-the-en

279、tity-list.93 The Yunnan Observatories are affiliates of the Beijing-based National Astronomical Observatories(國家天文臺),but they are located in Kunming,Yunnan.“Introduction”單位簡介,National Astronomical Observatories,accessed May 9,2024,https:/archive.ph/JEOpB.94 The Nanjing Institute of Astronomical Opti

280、cs and Technology is an affiliate of the Beijing-based National Astronomical Observatories(國家天文臺),but it is located in Nanjing,Jiangsu.National Astronomical Observatories,“Introduction”單位簡介.95 The Nanjing Institute of Astronomical Optics&Technology was added to the Entity List on September 27,2023,f

281、or procuring U.S.-origin items in likely furtherance of Chinese military research.BIS,“Addition of Entities and Revision to Existing Entities on the Entity List;Removal of Existing Entity from the Military End User List,”Federal Register 88 FR 66271(September 27,2023),www.federalregister.gov/documen

282、ts/2023/09/27/2023-21080/addition-of-entities-and-revision-to-existing-entities-on-the-entity-list-removal-of-existing-entity.96 The Xinjiang Astronomical Observatory is an affiliate of the Beijing-based National Astronomical Observatories(國家天文臺),but it is located in Urumqi,Xinjiang.National Astrono

283、mical Observatories,“Introduction”單位簡介.97 The Changchun Observatory(literally,“Changchun Artificial Satellite Observation Station”)is an affiliate of the Beijing-based National Astronomical Observatories(國家天文臺),but it is located in Changchun,Jilin.National Astronomical Observatories,“Introduction”單位

284、簡介.98 The Beijing Genomics Institutenow BGI Groupwas part of the Institute of Genetics and Developmental Biology until 2003,when it was separated into a separate institute.Institute of Genetics and Developmental Biology,“Institute Overview”研究所概況.99 The Center for Agriculture Resources Research is no

285、minally a component of the Beijing-based CAS Institute of Genetics and Developmental Biology(遺傳與發育生物學研究所),but it is located in a different city(Shijiazhuang,Hebei)and is legally a separate entity.“Introduction to the Center”中心簡介,Center for Agricultural Resources Research,accessed May 7,2024,https:/p

286、erma.cc/LR9C-LKVW.100 The Institute of Computing Technology was added to the Entity List on December 16,2022,for acquiring and attempting to acquire U.S.-origin items in support of Chinas military modernization.BIS identifies this entity as a major AI-chip R&D,manufacturing,and sales entity.They als

287、o identify this entity for being,or having close ties to,government organizations that support the Chinese military and the defense industry.BIS,“Additions and Revisions to the Entity List and Conforming Removal from the Unverified List,”Federal Register 87 FR 77505(December 16,2022),Center for Secu

288、rity and Emerging Technology|51 www.federalregister.gov/documents/2022/12/19/2022-27151/additions-and-revisions-to-the-entity-list-and-conforming-removal-from-the-unverified-list.101 The predecessor of the Institute of Microelectronics was the CAS 109 Factory(中科院 109 工廠).In 1958,it established China

289、s first transistor production factory.In 1965,the CAS 109 Factory built the 109B computer,which contributed to the development of the hydrogen bomb.In 1986,the CAS 109 Factory merged with the Institute of Semiconductors and the Institute of Computing Technology to form the Institute of Microelectron

290、ics.Liu“Chinese Academy of Sciences and the Two Bombs and One Satellite Project”;“Institute Overview”研究所概況,Institute of Microelectronics,accessed May 9,2024,https:/perma.cc/9A52-7EX8.102 The Data Assurance&Communications Security Center is one part of the State Key Laboratory of Information Security

291、(信息安全國家重點實驗室).Both the DCS Center and its parent laboratory are components of the CAS Institute of Information Engineering(中國科學院信息工程研究所).“Introduction to the DCS Center”DCS 中心介紹,Data Assurance&Communications Security Center,accessed May 7,2024,https:/perma.cc/JV6V-LGD6.103 The Shenyang Institute of

292、Automation was added to the Entity List on June 8,2022,for acquiring and/or attempting to acquire U.S.-origin items in support of military applications,contrary to the national security or foreign policy interests of the United States.BIS,“Addition of Entities,Revision and Correction of Entries,and

293、Removal of Entities from the Entity List,”Federal Register 87 FR 38920(June 28,2022),www.federalregister.gov/documents/2022/06/30/2022-14069/addition-of-entities-revision-and-correction-of-entries-and-removal-of-entities-from-the-entity-list.104 The Center for Agricultural Technology is a component

294、of the CAS Northeast Institute of Geography and Agroecology(中國科學院東北地理與農業生態研究所).“Homepage”首頁,Center for Agricultural Technology,accessed May 7,2024,https:/perma.cc/NGA6-XWMK.105 The Shanghai Institute of Microsystem and Information Technology was added to the Entity List on May 9,2024,for acquiring a

295、nd attempting to acquire U.S.-origin items in support of advancing Chinas quantum technology capabilities.BIS,“Additions of Entities to the Entity List,”Federal Register 89 FR 41886(May 9,2024),www.federalregister.gov/public-inspection/2024-10485/additions-of-entities-to-the-entity-list.106 The Shan

296、ghai Institute of Applied Physics was added to the Unverified List on April 11,2019,because BIS was unable to verify their bona fides through an end-use check.BIS,“Revisions to the Unverified List(UVL),”Federal Register 84 FR 14608(April 11,2019),www.federalregister.gov/documents/2019/04/11/2019-072

297、11/revisions-to-the-unverified-list-uvl.107 The Changsha Center for Mineral Resource Exploration is a component of the CAS Guangzhou Institute of Geochemistry(廣州地球化學研究所).“Changsha Center for Mineral Resource Exploration”長沙礦產資源中心,Guangzhou Institute of Geochemistry,accessed May 9,2024,https:/perma.cc/ABD8-JMF5.