Collaborative Research Program Research Articles

Environmental, social, and governance performance: The role of Chinese employee stock ownership plans

The challenges of global warming, resource depletion, and environmental protection require immediate action from corporations, governments, and communities globally. Implementing environmental, social, and governance (ESG) measures represents a key strategy for corporations in addressing sustainability concerns. This study investigates how the ESG performance of publicly listed companies in China is influenced by employee stock ownership plans (ESOPs). Utilizing a dataset covering 4,464 publicly listed Chinese corporations from 2009 to 2022, this analysis employs fixed-effects regressions to reveal the beneficial impact of ESOPs on corporate ESG ratings. A firm’s transition from non-ESOP to ESOP status raises ESG ratings by 1.213, representing 22% of the ESG score’s standard deviation. The findings indicate that greater involvement of the top management team in an ESOP weakens the positive impact of the ESOP on corporate ESG performance. The positive impact of ESOPs on ESG performance is insignificant in the agriculture sector but more pronounced in the manufacturing and service sectors, where the transition to ESOP status results in ESG score increases of 1.122 and 1.500, respectively. The issue of endogeneity is addressed by utilizing a lagged ESOP independent variable and applying two-stage least squares regression with the average ESOP serving as the instrumental variable. The findings confirm that causality runs from ESOP to ESG rather than ESG influencing ESOP. AcknowledgmentThis study was supported by the Department of Education of Zhejiang Province – General Program (Y202249981, Y202353438), the Wenzhou Association for Science and Technology – Service and Technology Innovation Program (jczc0254), the Wenzhou-Kean University Student Partnering with Faculty Research Program (WKUSPF202404, WKUSPF202411), the Wenzhou-Kean University International Collaborative Research Program (ICRP2023002, ICRP2023004), and the Wenzhou-Kean University Internal Research Support Program (IRSPG202205, IRSPG202206).

Cognitive Dysfunction in the Addictions (CDiA): A Neuron to Neighbourhood Collaborative Research Program on Executive Dysfunction and Functional Outcomes in Outpatients Seeking Treatment for Addiction.

Substance use disorders (SUDs) are pressing global public health problems. Executive functions (EFs) are prominently featured in mechanistic models of addiction. However, there remain significant gaps in our understanding of EFs in SUDs, including the dimensional relationships of EFs to underlying neural circuits, molecular biomarkers, disorder heterogeneity, and functional ability. To improve health outcomes for people with SUDs, interdisciplinary clinical, preclinical and health services research is needed to inform policies and interventions aligned with biopsychosocial models of addiction. Here, we introduce Cognitive Dysfunction in the Addictions (CDiA), an integrative team-science and translational research program, which aims to fill these knowledge gaps and facilitate research discoveries to enhance treatments for people living with SUDs. The CDiA Program comprises seven complementary interdisciplinary projects that aim to progress understanding of EF in SUDs and investigate new biological treatment approaches. The projects draw on a diverse sample of adults aged 18-60 (target N=400) seeking treatment for addiction, who are followed prospectively over one year to identify EF domains crucial to recovery. Projects 1-3 investigate SUD symptoms, brain circuits, and blood biomarkers and their associations with both EF domains (inhibition, working memory, and set-shifting) and functional outcomes (disability, quality of life). Projects 4 and 5 evaluate interventions for addiction and their impacts on EF: a clinical trial of repetitive transcranial magnetic stimulation and a preclinical study of potential new pharmacological treatments in rodents. Project 6 links EF to healthcare utilization and is supplemented with a qualitative investigation of EF-related barriers to treatment engagement for those with substance use concerns. Project 7 uses innovative whole-person modeling to integrate the multi-modal data generated across projects, applying clustering and deep learning methods to identify patient subtypes and drive future cross-disciplinary initiatives. The CDiA program has promise to bring scientific domains together to uncover the diverse ways in which EFs are linked to SUD severity and functional recovery. These findings, supported by emerging clinical, preclinical, health service, and whole-person modeling investigations, will facilitate future discoveries about cognitive dysfunction in addiction and could enhance the future clinical care of individuals seeking treatment for SUDs.

Collaborative fire research program using donated human remains

Collaborative fire research program using donated human remains

Real-life efficacy of immunotherapy for Sézary syndrome: a multicenter observational cohort study

Sézary syndrome is an extremely rare and fatal cutaneous T-cell lymphoma (CTCL). Mogamulizumab, an anti-CCR4 monoclonal antibody, has recently been associated with increased progression-free survival in a randomized clinical trial in CTCL. We aimed to evaluate OS and prognostic factors in Sézary syndrome, including treatment with mogamulizumab, in a real-life setting. Data from patients with Sézary (ISCL/EORTC stage IV) and pre-Sézary (stage IIIB) syndrome diagnosed from 2000 to 2020 were obtained from 24 centers in Europe. Age, disease stage, plasma lactate dehydrogenases levels, blood eosinophilia at diagnosis, large-cell transformation and treatment received were analyzed in a multivariable Cox proportional hazard ratio model. This study has been registered in ClinicalTrials (SURPASSe01 study: NCT05206045). Three hundred and thirty-nine patients were included (58% men, median age at diagnosis of 70 years, Q1-Q3, 61-79): 33 pre-Sézary (9.7% of 339), 296Sézary syndrome (87.3%), of whom 10 (2.9%) had large-cell transformation. One hundred and ten patients received mogamulizumab. Median follow-up was 58 months (95% confidence interval [CI], 53-68). OS was 46.5% (95% CI, 40.6%-53.3%) at 5 years. Multivariable analysis showed that age ≥ 80 versus <50 (HR: 4.9, 95% CI, 2.1-11.2, p=0.001), and large-cell transformation (HR: 2.8, 95% CI, 1.6-5.1, p=0.001) were independent and significant factors associated with reduced OS. Mogamulizumab treatment was significantly associated with decreased mortality (HR: 0.34, 95% CI, 0.15-0.80, p=0.013). Treatment with mogamulizumab was significantly and independently associated with decreased mortality in Sézary syndrome. French Society of Dermatology, Swiss National Science Foundation (IZLIZ3_200253/1) and SKINTEGRITY.CH collaborative research program.

Puzzling parrotfishes: Radiocarbon age validation and updated longevity estimates for western Atlantic species in support of sustainable fisheries management

For management efforts to succeed in Caribbean fisheries, local fishers must support and be willing to comply with fishing regulations. This is more likely when fishers are included in a stock assessment process that utilizes robust scientific evidence, collected in collaboration with fishers, to evaluate the health of fish stocks. Caribbean parrotfishes are important contributors to coral reef ecosystem health while also contributing to local fisheries. Scientifically robust stock assessments require regional species-specific information on age-based key life history parameters, derived from fish age estimates. Evaluation of the accuracy of age estimation methods for fish species is a critical initial step in managing species for long-term sustainable harvest. The current study resulted from a collaborative research program between fish biologists and local fishers investigating age, growth, and reproductive biology of the seven parrotfish species landed in U.S. Caribbean fisheries; specifically, we validated age estimation for stoplight parrotfish Sparisoma viride and queen parrotfish Scarus vetula. This is the first study to directly validate age estimation for any parrotfish species through analysis of Δ14C from eye lens cores. Our age estimation validation results show that enumeration of opaque zones from thin sections of sagittal otoliths for a Sparisoma and a Scarus species provides accurate age estimates. The oldest stoplight parrotfish and queen parrotfish in the Δ14C age estimation validation series were 14 y and 16 y; while the oldest stoplight parrotfish and queen parrotfish we aged to-date using the Δ14C validated age estimation method were 20 y and 21 y, respectively. Fish longevity (maximum age attained/life span) is a key life history parameter used for estimation of natural mortality, survivorship, and lifetime reproductive output. Past reviews on parrotfishes from the Pacific and Atlantic concluded that most Caribbean/western Atlantic parrotfish species are relatively short-lived with estimated maximum ages ranging from 3–9 y. However, information from our collaborative research in the U.S. Caribbean combined with recently published age estimates for Brazilian parrotfish species indicate that many western Atlantic parrotfishes are relatively long-lived with several species attaining maximum ages in excess of 20 y.

The impact of investor sentiment on stock liquidity of listed companies in China

Researchers have scrutinized the link between investor sentiment and stock market liquidity globally, yet few have delved into this dynamic in emerging markets, especially China. Utilizing a sample of 1,839 publicly listed companies in China from 2010 to 2019, this study applies firm- and year-fixed-effects models to explore the nexus between investor sentiment and stock illiquidity, employing the Amihud measure for stock illiquidity assessment. The outcomes of these fixed-effect regressions illustrate a significantly positive relationship between investor sentiment and stock liquidity in the Chinese market. The positive link is more evident in scenarios characterized by high firm leverage, rapid revenue growth, larger corporations, greater institutional ownership, higher stock volatility, and lower book-to-market ratios. Intriguingly, this analysis incorporates the quadratic term of investor sentiment to examine the potential for a nonlinear dynamic between stock illiquidity and investor sentiment. The findings elucidate that the effect of investor sentiment on stock liquidity diminishes at elevated levels of sentiment, revealing a nonlinear inverse U-shaped relationship. The positive correlation between investor sentiment and stock liquidity persists across the three divisions of the Chinese Shenzhen Stock Exchange and remains robust using alternative liquidity measures, such as Roll’s impact and zeros impact. Addressing causality concerns, current investor sentiment appears to influence subsequent liquidity levels. These results provide valuable perspectives for policymakers, business executives, and investors in the stock market. Acknowledgment This research was funded by the Department of Education of Zhejiang Province General Program [Y202353438], the Wenzhou Association for Science and Technology—Service and Technology Innovation Program [jczc0254], the Wenzhou-Kean University Student Partnering with Faculty Research Program [WKUSPF2023004], and the Wenzhou-Kean University International Collaborative Research Program [ICRP2023002].

Participation in collaborative fisheries research improves the perceptions of recreational anglers towards marine protected areas

Collaborative fisheries research programs engage stakeholders in data collection efforts, often with the benefit of increasing transparency about the status and management of natural resources. These programs are particularly important in marine systems, where management of recreational and commercial fisheries have historically been contentious. One such program is the California Collaborative Fisheries Research Program (CCFRP), which was designed in 2006 to engage recreational anglers in the scientific process and evaluate the efficacy of California’s network of marine protected areas. CCFRP began on the Central Coast of California and expanded statewide in 2017 to include six partner institutions in three regions: Northern, Central, and Southern California. To date, over 2,000 volunteer anglers have participated in the program, with many anglers volunteering for multiple years. However, the impacts of outreach, education, and collaborative research on those anglers at the statewide scale are currently unknown. Thus, the objective of the current study was to survey the statewide pool of volunteer anglers to assess the degree to which participation in CCFRP has influenced angler perceptions of MPAs, fisheries management, and conservation. We received 259 completed surveys out of a pool of 1,386 active anglers, equating to an 18.7% response rate. Participation in CCFRP resulted in a significant, positive impact on anglers’ attitudes towards MPAs in California across all regions. Anglers who participated in six or more CCFRP fishing trips had a more positive perception of MPAs than those who participated in fewer trips. Volunteer anglers across all regions perceived that they caught larger fishes, a higher abundance of fishes, and a greater diversity of species inside MPAs, consistent with the ecological findings of the program. These results highlight the benefits of involving community members in collaborative scientific research. Collaboration between researchers and the broader community increases transparency and trust between stakeholders, and results in greater understanding of natural resource dynamics, ultimately producing better management outcomes.

ESG ratings and stock performance in the internet industry

Amidst the escalating emphasis on sustainable development, numerous corporations and organizations have intensified their environmental, social, and governance (ESG) efforts. The internet sector, intrinsically linked to the ESG domain, has consequently garnered amplified scrutiny. This study delves into the correlation between ESG ratings and the stock performance of publicly listed Chinese companies in the internet sector from 2016 to 2020. The findings reveal that initiatives in the ESG sphere significantly and negatively influence stock performance in these firms, assessed through raw stock returns, stock excess returns relative to the market index, Jensen’s one-factor alpha, and the Fama-French three-factor alpha. This inverse correlation between ESG ratings and stock performance is nonlinear and convex, indicating a lessening negative impact at elevated ESG levels. Moreover, this adverse effect is more pronounced in value stocks compared to growth stocks. Predominantly manifesting before 2018, this negative trend diminishes amidst the COVID-19 period. The reverse causality analysis employing lagged ESG ratings suggests that higher ESG ratings precipitate reduced stock performance, as opposed to vice versa. This study bridges a gap in the existing literature concerning ESG and stock performance specific to the Chinese internet industry and proposes recommendations for its sustainable evolution. AcknowledgmentThis research was supported by the Department of Education of Zhejiang Province General Program (Y202249981, Y202353438), the Wenzhou Association for Science and Technology – Service and Technology Innovation Program (jczc0254), the Wenzhou-Kean University Student Partnering with Faculty Research Program (WKUSPF2023004), the Wenzhou-Kean University International Collaborative Research Program (ICRP2023002, ICRP2023004), and the Wenzhou-Kean University Internal Research Support Program (IRSPG202205, IRSPG202206).

Regional differences in fishing behavior determine whether a marine reserve network enhances fishery yield

A network of marine reserves can enhance yield in depleted fisheries by protecting populations, particularly large, old spawners that supply larvae for interspersed fishing grounds. The ability of marine reserves to enhance sustainable fisheries is much less evident. We report empirical evidence of a marine reserve network improving yield regionally for a sustainable spiny lobster fishery, apparently through the spillover of adult lobsters and behavioral adaptation by the fishing fleet. Results of a Before-After, Control-Impact analysis found catch, effort, and Catch-Per-Unit Effort increased after the establishment of marine reserves in the northern region of the fishery where fishers responded by fishing intensively at reserve borders, but declined in the southern region where they vacated once productive fishing grounds. The adaptation of the northern region of the fishery may have been aided by a history of collaboration between fishers, scientists, and managers, highlighting the value of collaborative research and education programs for preparing fisheries to operate productively within a seascape that includes a large marine reserve network.

Collaborative fisheries research reveals reserve size and age determine efficacy across a network of marine protected areas

AbstractA variety of criteria may influence the efficacy of networks of marine protected areas (MPA) designed to enhance biodiversity conservation and provide fisheries benefits. Meta‐analyses have evaluated the influence of MPA attributes on abundance, biomass, and size structure of harvested species, reporting that MPA size, age, depth, and connectivity influence the strength of MPA responses. However, few empirical MPA evaluation studies have used consistent sampling methodology across multiple MPAs and years. Our collaborative fisheries research program systematically sampled 12 no‐take or highly protective limited‐take MPAs and paired fished reference areas across a network spanning 1100 km of coastline to evaluate the factors driving MPA efficacy across a large geographic region. We found that increased size and age consistently contributed to increased fish catch, biomass, and positive species responses inside MPAs, while accounting for factors such as latitude, primary productivity, and distance to the nearest MPA. Our study provides a model framework to collaboratively engage diverse stakeholders in fisheries research and provide high‐quality data to assess the success of conservation strategies.

(Invited) Correlation of Exciton and Charge Carrier Dynamics with the Performance of Metal Halide Perovskite Solar Cells

Perovskite solar cells have been recognized as a newly emerging solar cell with the potential of achieving high efficiency with a low cost fabrication process. In particular, facile solution processed cell fabrication facilitated rapid development of optimum cell structure and composition. Over the last few years, the cell efficiency has exceeded 25%.Highly efficient charge transfer reactions in addition to high charge separation efficiency and swift charge transport with minimum charge recombination are required to improve solar cell performance. Intensive studies have been focused on monitoring photo-induced exciton formation and charge dissociation, charge transport and interfacial charge transfer dynamics including interfacial charge recombination in perovskite solar cells.[1-5] Several parameters have been identified to influence these charge carrier dynamics, and therefore the solar cell performance.[1-5] Clarifying these parameters is extremely important to understand the charge transfer mechanisms to further improve solar cell performance.In this presentation, we will present parameters controlling charge dissociation in metal halide perovskites and their charge separation and recombination dynamics at the perovskite interfaces employing a series of transient absorption and emission spectroscopies. Correlation of the key parameters controlling the exciton and charge carrier dynamics with the solar cell performance will be discussed [1-5].This work was partly supported by JSPS KAKENHI Grant (19H02813) and (22H02182), and the Collaborative Research Program of Institute for Chemical Research, Kyoto University (grant number 2023-45 and 2022-99), Japan. We would like to acknowledge supports from the Australia-Japan Foundation for the international collaborative project. We also acknowledge supports from ARC LIEF fund (LE200100051 and LE170100235), Australia and School of Engineering in RMIT University, and Forefront Research Center, Faculty of Science at Osaka University.

Photo-Generated Charge Carrier Dynamics in Metal Oxide Photocatalysts

Solar water splitting is one of the most attractive energy carrier generation processes to utilize solar energy. Light generated hydrogen is a clean energy carrier, since their consumption for energy generation produces only water. Moreover, generated hydrogen can be stored and used whenever required. Hydrogen is mostly used as a feedstock in the chemical and petrochemical industries, e.g. production of ammonia, methanol and fertilisers.[1]The photocatalytic solar water splitting process has been studied extensively over the last half century. However, despite the efforts, no ideal photocatalyst has yet been identified to meet three main requirements for commercialisation: (1) low cost, (2) high solar to hydrogen (STH) efficiency and (3) durability. Over the last two decades, considerable efforts have focused on developing visible light active photocatalysts, and some promising photocatalysts with relatively high water splitting efficiency were discovered.[2] In contrast to search of appropriate photocatalyst (nano)materials, mechanisms of photocatalytic water splitting reactions, in particular charge carrier dynamics of photocatalysts, were little studied. Understanding charge carrier dynamics in photocatalysts will certainly provide an opportunity to design high efficiency photocatalysts.In this presentation, we will show dynamics of photo-generated charge carries in metal oxide photocatalyst by employing a series of transient absorption spectroscopies covering from 150 fs to 100 s over UV-VIS-NIR wavelength ranges.[2] Correlation of the charge carrier dynamics with photocatalysis reactions will be discussed.This work was partly supported by ARC DP fund (DP180103815) and ARC LIEF funds (LE170100235 and LE200100051), Australia, and the Collaborative Research Program of Institute for Chemical Research, Kyoto University (grant number 2023-45 and 2022-99), Japan. We also acknowledge supports from School of Engineering, RMIT University, and Forefront Research Center, Faculty of Science, Osaka University.

Bio-Waste Derived Hard Carbon: Effect of Treatment Conditions on Electrochemical Performance

There is a great deal of demand for rechargeable Li-ion batteries due to their high energy and power density compared to other rechargeable batteries. Despite the concern about limited lithium resources, scientists have re-examined sodium-ion batteries, since sodium is below lithium on the periodic table, and the two metals have many similar properties. As a result of its low cost, good cycle life, and reversible capacity, hard carbon (HC) is considered to be the most attractive negative electrode material for sodium-ion batteries. Nevertheless, the practical application of HC remains challenging due to its low capacity and initial Coulombic efficiency (ICE). We investigated how pre-treatment conditions affected the graphitization degree in order to overcome these issues. In addition, we observed a strong correlation between pre-oxidation and electrochemical performance when the carbonization temperature was increased. The observed results will be presented during the presentation. Acknowledgments This work was funded by the Ministry of Education and Science of the Republic of Kazakhstan Grant (AP09259165) and by Nazarbayev University under Collaborative Research Program Grant № 20122022P1611, AK.

Developing inclusive and equitable education systems: some lessons from Uruguay

ABSTRACT This paper addresses one of the greatest challenges facing education systems globally, that of making progress in relation to inclusion and equity in schools. Building on the findings of a programme of international collaborative action research carried out over the last twenty years, it reports on a pilot study carried out in Uruguay using professional learning materials developed by UNESCO. This points to the potential of a strategy for moving thinking and practice forward based on a collaborative action research approach. At the same time if shows how attempts to introduce the strategy have thrown light on local cultural and structural barriers that limited its implementation. Drawing on this analysis, the paper makes recommendations for future developments in Uruguay. It then concludes by arguing that the strategy could be used in other countries to identify factors that are limiting progress in order to develop more effective interventions.

Adversarial Resilient Cyber Effects for Decision Dominance Collaborative Research Program (DOD)

Adversarial Resilient Cyber Effects for Decision Dominance Collaborative Research Program (DOD)

(Digital Presentation) P-n Heterostructured Mos for NOx Gas Sensing

The significant air pollution caused mainly by exhaust and factory emissions has become a considerable hazard to human survival and development [1]. Nitrogen oxides (NOx) are a family of poisonous and highly reactive gases which forming at fuel high temperatures burn [2]. As an industrial source, such as power plants, industrial boilers, cement kilns, and turbines, NOx pollution is emitted by automobiles, trucks and various non-road vehicles (e.g., construction equipment, boats, etc.) [3]. Hazardous compounds such as NOx with negative environmental and human health consequences, must be controlled to avoid ecological disasters [4]. Metal-oxide-semiconductors (MOSs) as a class of chemoresistive sensors have attracted great attention in environmental monitoring, automotive emission monitoring and food safety testing, due to their low production cost, high sensitivity, simplicity of use and their ability to detect various gases [5].Due to its inherent advantages in charge carrier mobility, chemical activity, and redox potential, TiO2 (n-type) is a widely used and extensively researched MOSs. At the same time, CuO is also known to be an active transition-metal based semiconductor (p-type) having a lower electrical resistance value as well as a narrow band gap. A promising strategy for improving the gas sensitivity at room temperature (RT) is to apply p-n heterostructures to modulate resistance more strongly. The active surface area and nanoarchitecture affect the gas sensors' sensitivity. The provision of porous MOSs nanostructures to improve the diffusion channel and increase the adsorption of target gas molecules is the most promising means of achieving enhanced sensitivity [6-7]. The mentioned structures may be created using the glancing angle deposition (GLAD) reactive magnetron sputtering method. The TiO2/CuO heterostructure gas sensors were synthesized by reactive magnetron sputtering using the GLAD. The application CuO layer improves the gas sensor device's sensitivity due to electron-hole pair recombination and a reduction in the concentration of charge carriers in the TiO2 and CuO layers. The identical circumstances of 10 ppm and RT were used for each gas selectivity test. It demonstrates the potential of using heterostructured CuO/TiO2 nanorods as N2O gas sensors. Dynamic gas response analysis shows that the response time is only 47s, whereas the recovery time is 80s. The dynamic gas sensing measurements at various N2O gas concentrations exhibit excellent linearity at 50 ppb to 5 ppm range. The sensor's gas response was 2% at a very low N2O concentration (50 ppb) and 9.8% at 5 ppm. Thus, the research findings indicate that the p-n heterostructured CuO/TiO2 nanorods synthesized by reactive magnetron sputtering using the glancing angle deposition show fast response and recovery times in ultra-low N2O gas concentration in RT. It can be used as excellent N2O gas sensors for quickly monitoring air pollution. Acknowledgements. This research has been funded by the Science Committee of the Ministry of Education and Science of the Republic of Kazakhstan (Grant No. AP13067814) and Nazarbayev University under the Collaborative Research Program (Grant No. 021220CRP0122). References Zhu, L., Zeng, W. Room-temperature gas sensing of ZnO-based gas sensor: A review // Sensors and Actuators A: Physical. – 2017. №267. –P. 242-261. https://doi.org/10.1016/j.sna.2017.10.021.Bhati, V., Hojamberdiev, M., & Kumar, M. The enhanced sensing performance of ZnO nanostructures-based gas sensors: A review // Energy Reports – 2019. №6. P. – 46-62. https://doi.org/10.1016/j.egyr.2019.08.070.Daryakenari, A., Apostoluk, A., & Delaunay, J. Effect of Pt decoration on the gas response of ZnO nanoparticles // Physica Status Solidi (C). – 2012. №10(10). P. – 1297-1300. https://doi.org/10.1002/pssc.201200937H.B. Kim, S.P. Eckel, J.H. Kim, F.D. Gilliland, Exhaled NO: determinants and clinical application in children with allergic airway disease Allergy Asthma Immunol Res, 8 (2016), pp. 12-21Dae-Sik Lee, Jun-Woo Lim, Sang-Mun Lee, Jeung-Soo Huh, Duk-Dong Lee, Fabrication and characterization of micro-gas sensor for nitrogen oxides gas detection, Sensors and Actuators B: Chemical, Volume 64, Issues 1–3, 10 June 2000, Pages 31-36M. Chen, Z. Wang, D. Han, F. Gu, G. Guo, Porous ZnO Polygonal Nanoflakes: Synthesis, Use in High-Sensitivity NO 2 Gas Sensor, and Proposed Mechanism of Gas Sensing, J. Phys. Chem. C. 115 (2011) 12763–12773. https://doi.org/10.1021/jp201816d.L. Van Duy, N. Van Duy, C.M. Hung, N.D. Hoa, N.Q. Dich, Urea mediated synthesis and acetone-sensing properties of ultrathin porous ZnO nanoplates, Mater. Today Commun. 25 (2020) 101445. https://doi.org/10.1016/j.mtcomm.2020.101445.

Examining Leucine As an Environmentally Friendly Corrosion Inhibitor for Cu and Co Chemical-Mechanical Planarization (CMP)

Metal chemical-mechanical planarization (CMP) is a key step in semiconductor processing of microchips and devices. The slurries used in CMP contain abrasives, oxidizers, chelating agents, and corrosion inhibitors. Despite the desired removal of metal, corrosion inhibitors are used to protect the underlying metal features from aggressive corrosion, and to this end, azoles, such as benzotriazole (BTA), are the most commonly used corrosion inhibitor in Cu CMP,1-3 and Co CMP4-5 slurries, although it was recently found that the surface interaction between BTA and Co is weaker than BTA and Cu.6 When Co is used as a barrier layer with Cu interconnects the addition of benzotriazole (BTA) has been shown to eliminate galvanic corrosion between Cu and Co.1,7 Spent slurries, however, pose an environmental hazard as the azole corrosion inhibitors do not readily degrade in conventional wastewater treatment processes.8 Thus, amino acids, such as leucine, is examined as a possible BTA substitute, being likely to readily biodegrade. Leucine is a known corrosion inhibitor of steel, nickel, nickel-copper, copper and cobalt in acid,9 and is examined here under typical CMP alkaline conditions.Linear sweep voltammetry with ohmic corrosion was used to assess the corrosion current density, icorr, and the corrosion potential, Ecorr, of Cu and Co, as well as the galvanic corrosion between Co and Cu, using a rotating disk electrode. Varying amounts of L-leucine (5- 40 mM) in a pH 8 and 10 KOH electrolyte containing H2O2 as the oxidant, with and without arginine as the complexant, was used as a representative model polishing slurry without abrasive particles. Leucine was an effective inhibitor of Cu at pH 8. At a pH of 10 the icorr of Cu was higher, compared to the pH 8 electrolyte, indicating the importance of the protonation of the amine group of leucine on corrosion inhibition, where the pH < pKa. Leucine was less beneficial for the Co corrosion inhibition. When arginine was present there was a larger difference in the corrosion potential between Co and Cu, making cobalt prone to galvanic corrosion, compared to a case when arginine was not present. Eliminating arginine, in an excess of leucine, favorably inhibited copper and reduced the galvanic corrosion of cobalt, but enhanced the corrosion of Co alone. The adsorption energy was determined for Cu by varying the amount of leucine in the electrolyte and found to be predominately physisorbed compared to chemisorbed.Acknowledgement: This work was supported by the Semiconductor Research Corporation grant (Task 3100.001) under the Global Research Collaboration program. References B. Peethala, H. Amanapu,U. Lagudu and S. Babu, J. Electrochem. Soc. 159 H582 (2012).S. Choi, S. Tripathi, D.A. Dornfeld, F.M. Doyle, J. Electrochem. Soc. 157 1153 (2010).Q. Luo, S. Ramarajan, and S. V. Babu, Thin Solid Films, 335, 160 (1998).D. Gallant, M. Pézolet, S. Simard, Electrochim. Acta, 52, 4927 (2007).H.-Y. Ryu, C.-H. Lee, J.-K. Hwang, H.-W. Cho, N.Y. Prasad, T.-G. Kim, S. Hamada, J.-G. Park, ECS J. Solid State Sci. Technol. 9 064005 (2020).H.-Y Ry, C. H. Lee, S. U. Lee, S. Hamada, N. P. Yerriboina, J.-G.Park Microelectron. Eng. 262 111833 (2022).S. Bilouk, L. Broussous, R.P. Nogueira, V. Ivanova, C. Pernel, Microelectron. Eng. 86 2038 (2009).Y.-M. Lee, K.-D. Zoh, Chem. Eng. J. 359, 1502 (2019).L. Hamadi, S. Mansouri, K. Oulmi, A. Kareche, Egypt. J. Pet., 27, 1157 (2018).

Environmentally Friendly Amino Acid-Based Polishing Slurry with Reduced Galvanic Corrosion at Copper/Cobalt Interface for Advanced Cu Interconnect Applications

Chemical mechanical planarization (CMP) is an integral part in semiconductor processing including the back-end-of-line (BEOL) step. A goal of CMP is to uniformly polish the metal interconnects and the liner/barrier materials while minimizing CMP-related defects such as pitting, dissolution, and galvanic corrosion. A variety of azoles are used as corrosion inhibitors such as benzotriazole (BTA) to prevent corrosion defects during polishing. [1,2] These azoles work together with particles in the slurries to polish the overplated metal forming the interconnects. However, azoles are very poorly biodegradable during wastewater treatment and highly toxic to the nitrification process, which requires expensive wastewater treatment challenges.[3,4] Also, it is known that the use of BTA leads to contamination of Cu films by forming undesirable hydrophobic organic residues (e.g., BTA and Cu-BTA complexes),[5] making their removal very difficult during cleaning. To address these challenges aliphatic amino acids were examined as potential corrosion inhibitors to replace problematic azoles in CMP slurries.Three amino acids were considered in a model CMP slurry. These three were chosen for their unique functional groups: methionine, containing a sulfur group, glutamic acid, having an extra carboxylic acid group, and leucine, having a branched hydrocarbon chain. A representative polishing slurry with 35 nm colloidal silica abrasives, 1 wt% hydrogen peroxide as an oxidizer, 0.5wt% arginine as a complexing agent, at pH 8 was used. Three experimental aims were considered (1) corrosion characterization of the three amino acid and BTA electrolytes with linear sweep voltammetry; (2) comparison of the Co and Cu metal removal rate (MRR) in polishing experiments with a proto-type CMP polisher with 8” wafers, and (3) oxidation of the amino acids and BTA in a Fenton assisted electrooxidation reaction. Methionine was most effective in controlling the galvanic corrosion of the Cu-Co couple. The Co and Cu MRR decreased in the presence of three amino acids and showed comparable removal selectivity. The forced degradation of the amino acids under the Fenton-assisted electrooxidation confirmed that they were more readily degraded compared to BTA. Acknowledgments: This work was supported by the Semiconductor Research Corporation grant (Task 3100.001) under the Global Research Collaboration program. References Seo, J., A review on chemical and mechanical phenomena at the wafer interface during chemical mechanical planarization. Journal of Materials Research 2021, 1-23.C. Peethala, H. P. Amanapu, U. Lagudu, and S.V. Babu, J. Electrochem. Soc, 159(6), H582-H588, 2012.D.E. Speed, Chapter 11, Advances in chemical mechanical planarization (CMP) 2nd edition, Babu, S. V., Ed. 2021.G. Li et al. / Chemosphere 241 (2020) 1249932.Seo, J.; Vegi, S. S. R. K. H.; Babu, S.V. ECS Journal of Solid State Science and Technology 2019, 8 (8), P379–P387.

O08 Mesenchymal stromal cells infusions in children with recessive dystrophic epidermolysis bullosa (MissionEB): a randomized controlled trial

Abstract Recessive dystrophic epidermolysis bullosa (RDEB) is one of the most severe forms of epidermolysis bullosa caused by loss-of-function mutations in the type VII collagen gene (COL7A1) leading to extensive skin and mucosal fragility and systemic complications. No active treatment is currently available. This study assesses whether repeated infusions of allogeneic umbilical cord-derived mesenchymal stromal cells are safe and can benefit children with RDEB. This is a double-blinded, randomized (1 : 1), placebo-controlled crossover trial with an internal dose de-escalation trial for safety and a further 12-month open-label study following review of the data. Around 36 participants with RDEB who are older than 6 months and younger than 16 years are being recruited at Great Ormond Street Hospital and Birmingham Children's Hospital. Participants will receive two intravenous infusions (days 0 and 14), at a dose of 2–3 × 106 cells kg–1 that could be adjusted to 1–1.5 × 106 cells kg–1 based on observed toxicities. Outcomes assessed at 3 and 6 months from day 0 in each crossover period include changes in EBDASI, iscorEB, pain, itch and quality of life scores. This is the largest cell-therapy study in children with RDEB. Previous nonrandomized trials have suggested that intravenous mesenchymal stromal cells are safe in children with RDEB and indicated early evidence of benefit. There was a need for a robust controlled study to validate these findings. The study is funded by the National Research Collaboration Programme (NIHR127963), an NHS England and NHS Improvement and National Institute for Health Research partnership, and Cure EB. ISRCTN registry (ISRCTN14409785).

The Adaptive Systemic Approach: Catalysing more just and sustainable outcomes from sustainability and natural resources development research

AbstractIt has become increasingly common to include participatory processes, several academic disciplines, and additional wide‐ranging ways of knowing, in using research to tackle the escalating environmental problems of the 21st Century. There are barriers to the success of these efforts. In this paper we present the Adaptive Systemic Approach (ASA). The ASA is designed to provide a clear pathway for research related to sustainability issues, river basin problems and natural resource development, and to deliver change towards improved ecological health and social justice outcomes. The design of the ASA rests on three key concepts: complex social‐ecological systems, transdisciplinarity, and transformative social learning, together with Strategic Adaptive Management as the theoretically consistent operational process. We identify logical connections between the concepts and Strategic Adaptive Management so that the ASA emerges as a coherent and practical research and praxis pathway. The ASA process is then outlined to support uptake and wider application. We present findings from ASA praxis in a collaborative African research program considering river basin problems in seven countries, where key contextual learnings led to the recognition of five barriers to effective research impact outcomes: (1) Lack of an integrative conceptual grounding. (2) Participatory stakeholder engagement flawed by epistemic injustice. (3) Inadequate transdisciplinary team building. (4) Insufficient inclusion of learning, reflection, and systemic adaptation. (5) Inflated claims of probable impact in terms of creating change towards improved ecological health and social justice. We reflect on the ways the ASA contributes to breaching these barriers. Early key learnings from ASA praxis leads us to suggest that the ASA has practical value for policy makers, practitioners and researchers seeking pathways for fair and sustainable river management, and more broadly in natural resource development.