T-I JOURNAL19-3

ISSN 1949-8241 • E-ISSN 1949-825X Volume 19, Number 3



















































THE CONFERENCE ISSUE:
Recognizing Pillars of Academic Innovation






Reining in Online Abuses 593

Entrepreneurship and Commercialization at Universities 601

Building Impactful NAI Chapters 631

EDITORS-IN-CHIEF

PAUL R. SANBERG ERIC R. FOSSUM
University of South Florida Dartmouth College
Tampa, FL Hanover, NH

SENIOR EDITORS

HOWARD J. FEDEROFF NASSER ARSHADI
University of California, Irvine University of Missouri – Saint Louis
Irvine, CA St. Louis, MO
EDITORIAL STAFF

Kimberly Macuare, Associate Editor

EDITORIAL BOARD


Sethuraman Panchanathan, Arizona State University Christopher Fasel, Idaho State University
Mary Albertson, Association of University Technology Sharon Heise, Institute for Human & Machine Cognition
Managers
Kamal S. Ali, Jackson State University
John M. Mason, Jr., Auburn University
Christy Wyskiel, Johns Hopkins University
Mark Rudin, Boise State University
Solomon H. Snyder, Johns Hopkins University
Gloria Waters, Boston University
Beth A. Montelone, Kansas State University
Farnam Jahanian, Carnegie Mellon University Norman R. Augustine, Lockheed Martin Corporation
Joseph Jankowski, Case Western Reserve University Kalliat T. Valsaraj, Louisiana State University
Todd Headley, Colorado State University Richard Kordal, Louisiana Tech University
Scot Hamilton, Columbia University Robert S. Langer, Massachusetts Institute of Technology
Alice Li, Cornell University Mariesa L. Crow, Missouri University of Science and

Robert McGrath, Drexel University Technology
Marti Van Scott, East Carolina University Rebecca Mahurin, Montana State University
Todd Sherer, Emory University Vimal Chaitanya, New Mexico State University
Daniel C. Flynn, Florida Atlantic University Henry C. Foley, New York Institute of Technology
Tachung (T.C.) Yih, Florida Gulf Coast University Kurt H. Becker, New York University
T. Dwayne McCay, Florida Institute of Technology Gerald Blazey, Northern Illinois University
Andres G. Gil, Florida International University James G. Conley, Northwestern University
Arlene A. Garrison, Oak Ridge Associated Universities
Lawrence O. Gostin, Georgetown University Law Center
Lonnie G. Thompson, The Ohio State University
Steven J. Kubisen, The George Washington University
John J. Kopchick, Ohio University
Jarett Rieger, H. Lee Moffitt Cancer Center & Research
Institute Steven Price, Oklahoma State University
Shinn-Zong (John) Lin, Hualien Tzu Chi Hospital Neil A. Sharkey, The Pennsylvania State University

Steven Price, Oklahoma State University Karen J.L. Burg, University of Georgia
Neil A. Sharkey, The Pennsylvania State University Derek E. Eberhart, University of Georgia

Curtis R. Carlson, The Practice of Innovation Amr Elnashai, University of Houston
Kenneth J. Blank, Rowan University Nathan Hoffmann, University of Illinois at
Urbana-Champaign
S. David Kimball, Rutgers, The State University of
New Jersey Taunya Phillips Walker, University of Kentucky
Kenneth A. Olliff, Saint Louis University Mary Shire, University of Limerick, Ireland
Arthur Daemmrich, Smithsonian Lemelson Center William M. Pierce, Jr., University of Louisville

Arthur Molella, Smithsonian Lemelson Center Amitabh Varshney, University of Maryland
Arthur J. Tipton, Southern Research Institute Robert S. MacWright, University of Massachusetts –
Christos Christodoulatos, Stevens Institute of Technology Amherst
Robert V. Duncan, Texas Tech University James P. McNamara, University of Massachusetts Medical
School
Stephen Klasko, Thomas Jefferson University
Kenneth J. Nisbet, University of Michigan
Richard A. Houghten, Torrey Pines Institute for Molecular
Studies Alexander N. Cartwright, University of Missouri – Columbia

Woody Maggard, University at Buffalo – State University of Lawrence Dreyfus, University of Missouri – Kansas City
New York
Steve Goddard, University of Nebraska-Lincoln
Stephen Z. Cheng, The University of Akron
Zachary Miles, The University of Nevada, Las Vegas
Richard P. Swatloski, The University of Alabama
Kumi Nagamoto-Combs, The University of North Dakota
Kathy M. Nugent, The University of Alabama at
Birmingham John Kantner, University of North Florida

Frederic Zenhausern, The University of Arizona Thomas McCoy, University of North Texas
Jim Rankin, University of Arkansas James H. Bratton, The University of Oklahoma
Gloria D. Hayes, University of California, Davis Lynne U. Chronister, The University of South Alabama

Tom O’Neal, University of Central Florida Judy Genshaft, University of South Florida
Patrick A. Limbach, University of Cincinnati Gordon C. Cannon, University of Southern Mississippi
Kimberly Muller, University of Colorado – Denver/AMC T. Taylor Eighmy, The University of Tennessee, Knoxville
Jeff Seemann, University of Connecticut Cynthia M. Furse, The University of Utah

Mathew Willenbrink, University of Dayton John Biondi, University of Wisconsin – Madison
David S. Weir, University of Delaware H. Holden Thorp, Washington University in St. Louis
Paula Heldt, University of Evansville Anthony J. Vizzini, Wichita State University

David P. Norton, University of Florida T. Kyle Vanderlick, Yale University


National Academy of Inventors. Technology and Innovation, University of South Florida Research Park, 3702 Spectrum Blvd.,
Suite 165, Tampa, FL 33612-9445 USA. Tel: +1-813-974-1347; Fax: +1-813-974-4962; [email protected];
www.academyofinventors.org.

PUBLISHING INFORMATION

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Copyright © 2018 National Academy of Inventors®
Printed in the USA


Cover Illustration: Jerry Hopman | iStock

ISSN 1949-8241
Volume 19, Number 3, 2018 Pages 567-654 E-ISSN 1949-825X


SPECIAL TOPIC ISSUE:
PROCEEDINGS OF THE 6 ANNUAL CONFERENCE
TH
NATIONAL ACADEMY OF INVENTORS

Pillars of Academic Innovation: The Sixth Annual Conference of the NAI 567
Todd Keiller and Edith Mathiowitz
Highlights from the Sixth Annual Conference of the National Academy of Inventors 569
Kimberly A. Macuare, Todd Keiller, and Paul R. Sanberg

LA-STEM Research Scholars Program: A Model for Broadening Diversity in STEM Education 577
Melissa B. Crawford, Zakiya S. Wilson-Kennedy, Gloria A. Thomas, Samuel D. Gilman,
and Isiah M. Warner
Reining in Online Abuses 593
Hany Farid
Entrepreneurship and Commercialization at Universities: A Faculty Perspective 601
Amy Phillips, Paul Tumarkin, and Nasser Peyghambarian
Retinal Prostheses: The Argus System 605
Tai-Chi Lin, Lan Yue, and Mark S. Humayun
Ultra-Stretchable Conductive Iono-Elastomer and Motion Strain Sensor System Developed
Therefrom 613
Ru Xie, Yunsong Xie, Carlos R. Lόpez-Barrόn, Kai-Shong Gao, Norman J. Wagner

Abstracts from the Student Innovation Showcase Finalists at the Sixth Annual Conference
of the NAI 627

Building Impactful National Academy of Inventors (NAI) Chapters 631
Karen J.L. Burg


NAI Chapter Spotlight: Institut Pasteur 635

From the USPTO: USPTO Partnership with The National Inventors Hall of Fame 639
Philippa Olsen and Linda Hosler

The NAI Fellow Profile: An Interview with Dr. Frances Ligler 645
Frances S. Ligler and Kimberly A. Macuare

Innovation in Action 653


Aims and Scopes i
Preparation of Manuscripts i
Ethics Statement ii
www.technologyandinnovation.org



Technology and Innovation, Vol. 19, pp. 567-568, 2018 ISSN 1949-8241 • E-ISSN 1949-825X
Printed in the USA. All rights reserved. http://dx.doi.org/10.21300/19.3.2018.567
Copyright © 2018 National Academy of Inventors. www.technologyandinnovation.org









PILLARS OF ACADEMIC INNOVATION:
THE SIXTH ANNUAL CONFERENCE OF THE NAI




1
Todd Keiller , Edith Mathiowitz 2
1 Intellectual Property and Innovation, Worcester Polytechnic Institute, Worcester, MA, USA
2 Department of Molecular Pharmacology, Physiology and Biotechnology, Brown University, Providence, RI, USA


The sixth annual conference of the National Acad- and its ability to restore vision to patients
emy of Inventors (NAI) focused on the pillars of through the electrical stimulation of the retina
academic innovation: public policy and industry • Dr. Isiah M. Warner et al. describe the great
partnerships, the recognition of entrepreneurial results in improving retention and graduation
faculty, and the mentoring of the next generation of for STEM majors achieved by the Louisiana
academic inventors. To that end, conference events Science, Technology, Engineering, and Mathe-
focused on an impressive slate of speakers and pan- matics (LA-STEM) Research Scholars Program
elists who explored these topics, a gala at the John F. at Louisiana State University
Kennedy Presidential Library & Museum to recognize • Dr. Nasser Peyghambarian and his co-authors
and honor new Fellows, and the first-ever Student review his significant experience with com-
Innovation Showcase. mercialization of his inventions within the
The issue kicks off with an article summarizing university and offer lessons that can be drawn
the highlights from the conference written by Dr. from that experience
Kimberly Macuare of the NAI, Mr. Todd Keiller of • Ru Xie et al., participants in the first Student
Worcester Polytechnic Institute, and Dr. Paul Sanberg Showcase, discuss their work in creating
of the NAI. Following, we have six invited papers that ultra-stretchable conductive materials for
highlight some of the top-notch conference presen- wearable technologies. Following this paper,
tations from this year’s meeting. you can read all of the abstracts from this year’s
Student Innovation Showcase
• Dr. Hany Farid examines how to rein in online • Dr. Karen Burg provides an introductory arti-
abuses, such as radicalization propaganda and cle on NAI chapters as a prologue to a new
child pornography T&I feature: The NAI Chapter Spotlight. In
• Dr. Mark S. Humayun and his co-authors from the first spotlight, Nicolas Torno discusses the
the University of Southern California’s Roski importance of recognizing academic inventors
Eye Institute discuss the Argus vision system through the chapter mechanism and how their
_____________________
Accepted: October 15, 2017.
Address correspondence to Edith Mathiowitz, Ph.D., Professor of Medical Science and Engineering, Center for Biomedical Engineering, Trainer in the
Biotechnology and BEM graduate programs, Department of Molecular Pharmacology, Physiology and Biotechnology, Box G-B393, Brown University,
Providence, RI 02912. USA. Tel: +1 (401) 863-1358; Fax: +1 (401) 863-1753. E-mail: [email protected]


567

568 KEILLER & MATHIOWITZ



chapter has helped them build on their vibrant partnership with the National Inventors Hall of Fame,
innovation community the NAI Fellow Profile gives an inside look into the
world of renowned scientist and inventor Dr. Frances
This issue also includes three regular Technology and Ligler, and the Innovation in Action feature highlights
Innovation (T&I) features. In regular T&I features, innovation at the University of South Florida in the
the USPTO commentary discusses their important drug development and waste disposal arenas.

Technology and Innovation, Vol. 19, pp. 569-576, 2018 ISSN 1949-8241 • E-ISSN 1949-825X
Printed in the USA. All rights reserved. http://dx.doi.org/10.21300/19.3.2018.569
Copyright © 2018 National Academy of Inventors. www.technologyandinnovation.org





HIGHLIGHTS FROM THE SIXTH ANNUAL CONFERENCE
OF THE NATIONAL ACADEMY OF INVENTORS


Kimberly A. Macuare , Todd Keiller , and Paul R. Sanberg 1,3
1
2
1 National Academy of Inventors, Tampa, FL, USA
2 Intellectual Property and Innovation, Worcester Polytechnic Institute, Worcester, MA, USA
3 University of South Florida, Tampa, FL, USA

This article presents highlights from the Sixth Annual Conference of the National Academy
of Inventors (NAI), which was held April 5 to 7, 2017, in Boston, MA. The NAI conference
provides an annual forum for celebrating academic invention and inventors, recognizing and
encouraging invention, and enhancing the visibility of university and non-profit research.
This year’s conference, “Recognizing Pillars of Academic Innovation,” focused on key areas
of innovation support, including public policy, industry-university partnerships, recognizing
entrepreneurial faculty, and mentoring the next generation of innovators.





INTRODUCTION off the opening session with ideas on how to catalyze
The Sixth Annual Conference of the National innovation. In her talk, Boyan focused on sparking
Academy of Inventors was held April 5 to 7, 2017, and supporting student entrepreneurship. Noting
at the Boston Marriott Long Wharf in Boston, MA. that 50% of VCU students want to be entrepreneurs,
The NAI conference provides an annual forum for she outlined several dynamic VCU initiatives that
celebrating academic invention and inventors, recog- allow students to fulfill that dream, including the da
nizing and encouraging invention, and enhancing the Vinci Center, which offers students the opportunity to
visibility of university and non-profit research. This work with corporate partners to produce real-world
products and solutions; VCU’s Innovation Gateway,
year’s conference, “Recognizing Pillars of Academic which helps students and faculty commercialize their
Innovation,” focused on key areas of innovation sup- inventions; and the senior capstone design course,
port, including public policy, industry-university which builds innovation opportunities into VCU’s
partnerships, recognizing entrepreneurial faculty, curriculum. The results have been noteworthy, with
and mentoring the next generation of innovators. VCU students developing profitable new technolo-
gies, forming start-ups, and winning major funding
SESSION A: CHANGING THE ACADEMIC awards. Brown’s talk tackled a different but equally
INNOVATION LANDSCAPE important area for innovation stimulus: funding.
On Wednesday, April 5, 2017, Barbara D. Boyan of Specifically, he outlined new models being employed
Virginia Commonwealth University (VCU) and Mil- at Inova Schar Cancer Institute to promote innovation
ton L. Brown of Inova Schar Cancer Institute kicked in drug development by overcoming the funding gap

_____________________
Accepted: October 15, 2017.
®
Address correspondence to Kimberly A. Macuare, Ph.D., Associate Editor, Technology and Innovation, Journal of the National Academy of Inventors at the
USF Research Park, 3702 Spectrum Boulevard, Suite 165, Tampa, FL 33612, USA. Tel: +1 (813) 974-1347. E-mail: [email protected]

569

570 MACUARE ET AL.



between basic research and clinical trials, a gap that new hot topics in academia: industry-university
limits innovation and results in fewer therapeutic partnerships and engagement. Carbonell focused
options for patients. Brown focused on two innova- on how industry-university partnerships can be used
tive solutions to this problem: focused philanthropy to inspire the next generation of inventors. As he
and corporate crowd funding. Focused philanthropy notes, young innovators are driven by important
takes advantage of the $99 billion philanthropy-based problems and inspired by key role models and men-
funding that is available—five times the amount tors. Industry-university partnerships fulfill these
offered through NIH grants—to gather academic needs, Carbonell argues, by providing students both
and corporate partners around a specific disease focus with real-life problems to solve through their own
to accelerate drug discovery to help patients. In cor- innovative activity and with mentors who can guide
porate crowd funding, a variety of businesses, large them in their development and careers. In turn, this
and small, are invited to pool their money around a benefits universities by creating an entrepreneurial
specific disease focus, once again to spur innovation culture, something that has been proven in the case
and move discoveries across the funding gap. These of Carbonell’s own NC State, which is ranked ninth
efforts are bearing fruit, with an expected $150 mil- in the U.S. for licenses to industry and third in start-
lion to be raised over five years to develop a range of ups launched. Duerk took a more longue durée view,
drugs for treating cancer, high blood pressure, and offering a synopsis of the historical development
drug and alcohol addiction, among other ailments. of industry-university engagement, including new,
The day’s first panel discussion, a governmental emerging models. Duerk notes that such engagement
relations information session, took on the import- began as philanthropy from industry leaders who
ant and topical question of how we as academic had developed personal relationships with univer-
innovators can effectively communicate the value sity presidents, and, while certainly beneficial for
of innovation in the new political climate. Led by universities, this model was decidedly one-sided. In
Elizabeth Dougherty of the United States Patent and the 1980s, spurred by the Bayh-Dole act and industry
Trademark Office, panelists Dana R. Colarulli, Robert divestment of research infrastructure, these relation-
V. Duncan, Jessica A. Sebeok, and Michael A. Waring ships became true partnerships as industry found
had a spirited discussion on what, if any, changes research collaborators at universities and universities
were needed during this political transition period found licensing homes for many inventions that had
to effectively keep innovation and invention at the been waiting in the wings. Starting in 2000, the lim-
forefront as new policies and budgets are considered. itations of the Bayh-Dole era of industry-university
Citing a political climate that has become increas- collaboration became apparent, and new models have
ingly polarized, all of the panelists highlighted the emerged, with the single focus of technology transfer
centrality of overcoming partisanship to the success having been replaced by a broader and more holis-
of innovation initiatives and endeavors. Specifically, tic corporate partnership scheme—one involving
they argued that education and communication are at educational opportunities, internships, and talent
the heart of increasing bipartisanship and promoting pipeline improvements—which has greatly improved
innovation activity in any administration. The more the quantity and quality of industry-university part-
effectively we can tell stories of innovation and its nerships for both sides. The future looks bright as
positive impacts on health care, the economy, and we see new developments on the horizon, includ-
myriad other areas, the more we will gain buy-in and ing interdisciplinary, multi-investigator teams and
support from our government officials in promoting multi-university collaborations, which will enable
an invention and innovation agenda that will benefit us to tackle ever-greater challenges and problems.
society as a whole. Continuing with the topic of academic and cor-
Ruben G. Carbonell of North Carolina State porate partnerships, the second panel discussion for
University and Jeffrey L. Duerk of Case Western the session, “Innovative Approaches to University-In-
Reserve University took up the theme of the chang- dustry Collaboration,” focused on the importance of
ing innovation landscape by focusing on one of the these relationships in the face of dwindling federal

NAI CONFERENCE HIGHLIGHTS 571



funding for research and outlined best practices support them in their development. It was clear that
for ensuring the success of both the industry and this process cannot be piecemeal, as one of the key
academic partners. Joining the moderator, Sethu- takeaways from the session was the importance of
raman Panchanathan of Arizona State University, a seamless integration of what students learn in the
were Gary B. Bronner, Andrew D. Hamilton, Terry classroom and what happens outside the classroom in
McGuire, and H. Keith Moo-Young. The panelists, making entrepreneurship a reality. That is, invention
who represented both industry and academia, noted has to be an embedded activity, one that connects
the great economic benefits generated by these part- their coursework and their out of class activities.
nerships, which go beyond the research funding for Of course, programs like these come at a cost, and
the academic institution or the profits for the cor- the panelists ended with a call for universities—in
poration and include job creation and the greater addition to curricular initiatives and extracurricular
economic impact on the region. Beyond economics, programs—to provide substantive financial support
panelists noted myriad additional benefits, includ- to encourage students to take on the challenge of
ing research and development (R&D) support for commercializing technology. The rewards will be well
industry, increased philanthropy for academic insti- worth it, as we will sustain our nation’s innovation
tutions, a better pipeline for students to move into capacity by developing the next wave of inventors.
the workforce, and educational opportunities for One key part of spurring innovation and inven-
industry executives, among others. The industry rep- tion is equipping students with the skills they need
resentatives saw a clear need to leverage the research to succeed in STEM majors and supporting them
power of universities in ways that fit both the compa- though graduation. In the session’s first presenta-
nies’ interests and the higher level of reproducibility tion, Isaiah M. Warner of Louisiana State University
required to translate a technology for customer use. (LSU) shared how LSU is supporting student learning
The university panelists saw these partnerships as through a combination of mentoring, education,
being beneficial to both students and faculty, as they and research through their Louisiana Science, Tech-
offer the opportunity to work on real-life problems, nology, Engineering, & Mathematics (LA-STEM)
create new models such as open innovation, and Research Scholars Program. In this program, students
better serve students, most of whom will move into learn study, metacognitive, group interaction, and
industry. Overall, both sides view these partnerships other skills, all of which have helped the program
as vital to the growth of industry and academic R&D. achieve impressive results in terms of graduation
rates and post-baccalaureate acceptances. Moreover,
SESSION B: ISSUES RELATING TO PUBLIC the program has enabled LSU to achieve success in
POLICY broadening diversity in STEM majors, a fact evi-
The second session began with a panel discussion dent in LSU’s first place ranking in the percentage of
on impacting society through invention and entre- chemistry doctorates awarded to women and under-
preneurship, hosted by AAAS-Lemelson Invention represented minorities.
Ambassadors. The moderator, Michael A. Smith John T. Schiller of the National Institutes of Health
of Intel Corporation, led a discussion with notable (NIH) shifted the conversation on invention beyond
inventors Karen J.L. Burg, Eric R. Fossum, and Ben- the halls of academia and corporate boardrooms
jamin S. Hsiao on how we can encourage students to include the government sector and showed how
to become inventors and tackle the many serious patenting works from the perspective of an NIH
real-life problems awaiting solutions. The panelists inventor. Focusing on his own work in the area of
opened by touching on the importance of providing vaccines to prevent human papillomavirus (HPV)
inspiration, experiential learning opportunities, and and other diseases, Schiller noted that NIH scien-
mentorship to effectively support students in the tists are not simply encouraged to patent but have
invention process. To become inventors, students a mandate to do so. All of NIH’s patents are based
need to see invention in action, have hands-on oppor- on a single criterion: Is it in the public health inter-
tunities to invent themselves, and have a guide to est? Given that patents are essential for getting their

572 MACUARE ET AL.



work into the hands of companies and thus into the Nadine N. Aubry and panelists Kenneth G. Furton,
hands of patients, NIH scientists have developed Paul R. Sanberg, and Tobin L. Smith all agreed that
clear workflow patterns and procedural paradigms tremendous progress has been made, but they also
for doing so efficiently. Because the NIH is not a all acknowledged that we still have a long way to go
company, they depend on licensing their technol- before technology transfer activities are equally val-
ogies and therapeutics or establishing Cooperative ued with traditional scholarly pursuits. Vital to that
Research and Development Agreements (CRADAs) change will be increasing the visibility of academic
that allow them to partner with industry and/or aca- innovation, getting support from key organizations
demia to move the research and commercialization such as the Association for American Universities
of products forward. These processes have paid off, (AAU) and the Association of Public and Land-
as the National Cancer Institute—just one of the 27 grant Universities (APLU), and communicating the
institutes and centers making up NIH—had 62 new importance of the technology transfer office beyond
patents, 54 new CRADAs, and 132 new licenses in a profit motive. As they noted, through these activ-
2016 alone. ities, we can educate university leadership, faculty,
The session’s final panel “Honoring Innovators and community stakeholders on the importance of
through Local NAI Chapters,” featured Karen J.L. technology transfer activities, especially as regards
Burg, University of Georgia faculty member and NAI their impact on the economy and their importance
Board of Directors member, moderating a discussion for motivating students to join the next generation
on the unique ways in which local NAI chapters are of innovators.
carrying out the important mission of honoring aca- In keeping with the theme of bettering society
demic invention and thus changing the culture of through invention, the third session’s oral presenta-
academia. Panelists Vikki Hazelwood, Todd S. Keiller, tions centered on impactful technologies developed
Stephen D. Russell, and Jan D. Thornton each shared by two NAI fellows: Mark S. Humayun of the Uni-
what their institutions are doing to support invention versity of Southern California and Hany Farid of
through the vehicle of their NAI chapters, including Dartmouth College. Humayun’s talk focused on his
offering annual ceremonies and special recognitions work on advanced implants for ophthalmology, spe-
to honor inventors, changing faculty evaluation for- cifically his Argus II system. In many blind patients,
mats to include patenting and licensing activities, and their photoreceptors are damaged, so the Argus II
getting students involved in chapter events. Burg’s system uses special glasses outfitted with a camera to
follow-up article in this issue serves as both a précis capture images and transmit them as electrical pulses.
of the panel discussion and an introduction to a new Those pulses then stimulate the retina’s remaining
T&I feature, the NAI Chapter Spotlight, which will nerve cells to send perceptions of patterns of light to
highlight best practices in the establishment and the brain to allow the patient to see. Humayun and
running of these critical innovation engines. his research team are still working on improving
the acuity of vision possible with the device as well
SESSION C: HIGHLIGHTING THE SIGNIFICANT as color information and have even started work-
IMPACT NAI FELLOWS AND MEMBERS HAVE ing on implants to deliver drugs to the eye. Farid’s
CONTRIBUTED TO THE BETTERMENT OF talk chronicled his uses of technology to battle the
SOCIETY internet scourges of child pornography (CP) and
On Thursday, April 6, 2017, the second day of the radicalization materials. In the case of CP, a large part
conference opened with a thoughtful retrospective of the problem of combating these images is iden-
on how far we have come in having entrepreneurial tifying them correctly among the billions of images
activities equally valued with the traditional research, uploaded. To overcome this problem, Farid and his
teaching, and service performed by faculty for tenure team figured out how to identify images on the inter-
and promotion, something that has been champi- net as CP by using a technique called robust image
oned by the NAI and chronicled in articles in PNAS hashing, which allows the identification of the unique
(1) and Technology and Innovation (2). Moderator digital signatures of images despite any modifications.

NAI CONFERENCE HIGHLIGHTS 573



These tagged images are then compared to images Rounding out the Thursday morning session,
in the National Center for Missing and Exploited Dr. Paul Sanberg’s State of the Academy Address
Children database of known CP images, a process spotlighted the significant accomplishments that
that enabled the removal of 10,000,000 CP images the Academy had made during the year and under-
last year alone. He and his team have now turned scored how the NAI has changed and continues to
to next generation technologies for improving and lead the national conversation on innovation. In
expanding their capabilities to identify audio and terms of growth, the Academy had expanded to 212
video images and to combat other internet abuses, member institutions by April 2017, including new
such as extremist propaganda. international affiliates in China, Taiwan, and Saudi
In the sixth panel of the conference, hosted by The Arabia, among others. The number of NAI chapters
Lemelson Foundation, moderator David Coronado had grown to 38, with over 1,700 inventors having
and panelists Stephanie Couch, Aaron M. Kyle, Doug been inducted into these local chapters. The society,
Scott, and Phil Weilerstein tackled the issue of how in welcoming the class of 2016, grew to include 757
we can use invention education to promote innova- Fellows, representing 229 universities and govern-
tion and develop the next generation of inventors, mental and non-profit research institutes. Among
which all agreed is a critical task. On the high school them, this impressive group holds over 26,000 U.S.
side, there was agreement that in order to broaden patents, includes over 90 university presidents and
innovation and invention education to include more senior leaders, and 28 Nobel Laureates. In considering
the NAI’s innovation outreach and impact, Sanberg
students, especially women and underrepresented
minorities, we need to move beyond teaching sci- noted the NAI’s seminal work on the role of invention
in tenure and advancement (1,2), the congressional
ence and math and into showing how subjects are charter in process (3), and the official memorandum
related and how they can have an impact in solving of agreement with the USPTO. Moreover, the NAI
real-world problems through the invention process. has taken the lead in directing the conversation on
In this way, invention can be a gateway even for stu- innovation activity with its publications, including
dents who do not see themselves as “STEM students.” its first-ever activity report highlighting NAI Fellow
Once students get to college, the panelists felt that research activity and NAI programs, the Technology
universities have a mandate to provide innovative and Innovation journal, and the Top 100 report on
educational opportunities early on that allow stu- U.S. utility patents granted (4), which is published in
dents to do hands-on invention projects. Design conjunction with the Intellectual Property Owners
courses, makerspaces, internships, and I-Corps are Association.
all ways that universities can further the invention
education mission. In addition, universities have SESSION D: ENTREPRENEURSHIP AND
an obligation to reach out to high school students COMMERCIALIZATION DRIVE THE FUTURE
and teachers to create meaningful connections and OF INNOVATION
networks to ensure that students enter and stay in Session D focused on a broad swathe of entrepre-
the pipeline. In the cases of both high school and neurship and commercialization efforts at universities
college students, the benefits are not just for students at both the faculty and student levels. In the session’s
who become inventors, as the problem solving skills first presentation, Frances S. Ligler of North Carolina
students learn are key in almost any field a student State University focused on the licensing path, noting
pursues. By creating these on-ramps and pathways, that for many faculty members, especially women,
as well as recognizing and supporting the faculty who licensing is a viable alternative to starting your own
make these education efforts happen, we can truly company, one that allows a better work-life balance
impact the innovation student pipeline, broaden the and permits you to find the best possible partner—
pool of potential inventors, and position ourselves one with both the interest and skill to bring your
to not only maintain but even increase our national product to market. More important than the path for
innovative output. Ligler, however, is the process. Using her chip in a lab

574 MACUARE ET AL.



technology as an example, she focused the bulk of her rewards of running your own company provide a
talk on the invention roadmap, which, she argued, balance, and his story has had a happy conclusion, as
must always start from problem awareness. In the case he is back at the helm of NP Photonics and running
of chip in a lab, traditional microfluidic systems have it as a successful company.
problems ranging from reliability and reusability to Jennifer L. West of Duke University addressed
cost and size. To get this technology into the hands of the foundations of innovation, noting that all inno-
user, Ligler’s team created an inexpensive, program- vations will become obsolete, the only thing eternal
mable disposable paper pump, which can be used being the need to replenish the stream of inventive
for various types of diagnostic and environmental minds. With that in mind, her talk centered on how
testing. To realize this vision, they followed a few to foster innovation in STEM students. West notes
simple rules: Have a vision, identify what you need to that we know the characteristics that we want to instill
know, find the people who know those things, share in our students: creativity, technical competency,
your vision and excite your team, and proceed to the courage, risk-taking, resilience, reflection, and col-
goal. laboration. How to do that effectively has always been
Nasser Peyghambarian of the University of Ari- the question, and West offers some potential answers.
zona brought balance to the commercialization First, mentors make a difference. For West herself,
conversation by bringing to the forefront some of Robert Langer and Jeffrey Hubbell were key in her
the negative aspects of the commercialization process. development as an innovator, the former helping her
While commercialization has value in its abilities to develop technical skills and find her path and the lat-
get ideas out to people, create money for the univer- ter providing her and other students with the freedom
sity, and energize the local economy, it also has its to try new and crazy ideas, understand that failure
downsides. Focusing on his own personal journey is ok, and learn that the benefit to society should be
with NP Photonics, Inc., Peyghambarian outlined an innovator’s main priority. Now, she is paying it
some of the challenges in bringing your technology forward by mentoring her own students, who have
to market as a university-affiliated entrepreneur. First, accumulated over 100 patents and eight start-ups.
funding poses a problem for start-ups. As he notes, Many of them have even become faculty members
“Cash is king,” but the amount and type of funding themselves and have joined West in training another
sought has wide-reaching implications. While not generation of innovators. In addition to mentorship,
raising enough money obviously inhibits growth West commends programs like the freshman design
opportunities, raising too much money brings its program at Rice, which engages students in solving
own ills. For example, if you go the route of angel real-world problems, models problem-solving tech-
investors and venture capital, your company is able niques, and emphasizes collaboration techniques.
to get started quickly, but it also becomes diluted, and Student spaces, such as the Foundry at Duke, foster
you lose control, something he faced with NP Pho- collaboration and arm students with the creative
tonics. Beyond funding challenges, entrepreneurship tools they need to take on real-world projects. Finally,
at universities can engender many conflicts of inter- funding, such as the Melissa & Doug Entrepreneurs
est, including financial conflicts with the university, program, helps students move those ideas and proto-
conflicts about student involvement in companies, types created through design classes or in university
and conflicts over equipment usage, among others. makerspaces into entrepreneurship opportunities for
Perhaps the greatest conflict for the entrepreneurial students.
faculty member is conflict of commitment, as starting In his keynote address, “A Random Walk into
a company takes time away from your teaching and Biotech,” H. Robert Horvitz of the Massachusetts
service obligations. Even the processes for dealing Institute of Technology (MIT) chronicled his jour-
with conflicts, such as management plans and conflict ney from being a pure basic research scientist to
of interest committees, can be time-consuming and becoming involved in the biotech entrepreneurial
cumbersome. Despite the hardships, Peyghambarian world and shared the important lessons he has drawn
notes that the excitement, energy, and potential from his extraordinary journey. Lesson 1: Don’t be

NAI CONFERENCE HIGHLIGHTS 575



afraid to change and do something new and Lesson he started a biotech company, Idun Pharmaceuticals,
2: Have fun. Studying at MIT and interning at IBM to create compounds to stop programmed cell death
prepared him for what he expected would be a career where it was too great, such as liver disease, and to
in computers with IBM; however, a chance remark accelerate the process where it was too little, such as
by a college roommate in his senior year found Hor- cancer. In the former case, they hit on the liver as a
vitz signing up for an introductory biology class. Six target because ingested compounds in mammals usu-
weeks later, Horvitz, a math and economics major, ally go to the liver. Given that physiological fact, they
found himself asking his biology professor about the decided to take advantage of that opportunity and
possibility of pursuing a graduate degree in biology. create Emricasan. Lesson 6: Pros help and Lesson 7:
Encouraged by his professor, Horvitz did just that. It’s all about the people. Along this entrepreneurial
As a biologist, he found that he loved designing and journey, Horvitz learned that the right team is essen-
executing experiments and coming up with new tech- tial to success. Good people with the right training
niques. Lesson 3: Learn from rather than regret can take any concept and figure out how to make it
past errors. Beginning his career at MIT, he happily work. Lesson 8: Entrepreneurs must be resilient.
threw himself into his studies on the nervous sys- As opposed to academia, the start-up world is an
tem of a microscopic worm. Later, as a result of his uncertain one, with brusque changes in direction
work, he was invited to join the boards of two biotech and personnel, as he learned when Idun’s co-founder
companies. He considered turning them down, but Larry Fritz was abruptly let go by a new CEO. Lesson
a colleague asked him if he really didn’t want to do 9: Listen to and learn from others. Subsequently to
something useful, so he joined the local board. As a Idun, he has joined many other commercial involve-
result of taking that chance, Horvitz got hooked on ments, such as MPM Capital. On the other side of the
how to apply biology research to real-life problems table as part of a venture capital team, he learned a
in medicine, and he has never looked back. Lesson lot from the smart people in the other areas around
4: Basic research is the driver. Backtracking, Horvitz him. Lesson 10: Pioneers innovate. Recently, he has
went on to explain why biotech companies were so become involved with Puretech, a company with a
interested in him in the first place. The answer was very different model from most companies. Essen-
both simple and complex: the C. elegans. In short, his tially, they get people together who have never met
studies of the cell lineage of this microscopic worm and get them to “blue sky” concepts and test ideas
led to discoveries in the areas of cell signaling and cell to see if they are worth pursuing, such as Gelesis,
death that reaped a Nobel Prize and abundant biotech a polymer that you swallow that swells and curbs
start-up interest. In short, Horvitz discovered that for appetite for use in obesity treatment. Lesson 11: One
cells to develop properly, they have to talk to each size doesn’t fit all. Because all of his companies have
other (signaling), as happens in the development of had very different business models and very different
the vulva of the worm, which is induced by a signal funding schemes, he has learned the importance of
from the gonad. Along with studies of mammalian fit. Lesson 12: Pay attention—details can matter.
cells and fly eyes, this study laid the groundwork Finally, from that very first experience as a biotech
for understanding the development of human can- consultant to now, he has learned that consulting
cer, specifically how Ras proteins get activated. This with industry is complex, and academics need advice
discovery has led to the development of therapies to because myriad things can go wrong. To that end, he
inhibit the activation of Ras and control cancer. Hor- has authored an article and a book that goes into the
vitz had no idea that the basic research he did would complexities of this process.
have this impact or translation aspect. Lesson 5: Be
opportunistic. Knowing the norm for the C. elegans SESSION E: MENTORING THE NEXT
in terms of programmed cell death, they looked for GENERATION OF INNOVATORS
mutated worms that had a higher rate or a lower rate The final session of the conference on April 7, 2017,
of cell death. In this way, they identified four genes featured the first-ever Student Innovation Show-
involved in the killing process. Based on this research, case. This event, along with recent publications on

576 MACUARE ET AL. Technology and Innovation, Vol. 19, pp. 577-592, 2018 ISSN 1949-8241 • E-ISSN 1949-825X
Printed in the USA. All rights reserved. http://dx.doi.org/10.21300/19.3.2018.577
Copyright © 2018 National Academy of Inventors. www.technologyandinnovation.org
innovation and entrepreneurship pedagogy efforts in of the presentations and technologies were worthy
Technology and Innovation (5,6), marked an import- of consideration, Arizona State University’s Patrick
ant step in the NAI’s mission to “educate and mentor McFarland and his team took the 2017 prize with
innovative students” (7). The day’s events started with Korwave, a wearable, easy to use device that monitors
a keynote address from Lisa Seacat DeLuca, IBM’s brain activity for seizures in patients with epilepsy. LA-STEM RESEARCH SCHOLARS PROGRAM: A MODEL FOR
most prolific female inventor. In her talk, entitled Abstracts for Korwave and all of the student entries
“What Does an Inventor Look Like?,” DeLuca shared are included in this issue as well as the follow-on BROADENING DIVERSITY IN STEM EDUCATION
that her early ideas about invention were shaped by paper by Ru Xie et al. of the University of Delaware on
school, which foregrounded figures such as Edison, Melissa B. Crawford , Zakiya S. Wilson-Kennedy , Gloria A. Thomas , Samuel D. Gilman ,
2,3
1
2
2,4
Bell, and Franklin, and by popular culture, specifi- ultra-stretchable conductive polymers for wearable and Isiah M. Warner 1,2
cally the 1989 film Honey, I Shrunk the Kids. Given electrics and sensors.
these exemplars, it is perhaps unsurprising that she 1 Office of Strategic Initiatives, Louisiana State University, Baton Rouge, LA, USA
never pictured herself as an inventor. However, after REFERENCES 2 Department of Chemistry, Louisiana State University, Baton Rouge, LA, USA
graduating from Carnegie Mellon, she went to work 1. Sanberg PR, Gharib M, Harker PT, Kaler EW, 3 College of Science, Louisiana State University, Baton Rouge, LA, USA
as a computer software engineer for IBM, where she Marchase RB, Sands TD, Arshadi N, Sarkar S. 4 Center for Academic Success, Louisiana State University, Baton Rouge, LA, USA
had previously completed an internship. It was at IBM Changing the academic culture: valuing patents
that her worldview on invention began to change. and commercialization toward tenure and career In the U.S., less than half of the students who enter into a science, technology, engineering,
and mathematics (STEM) undergraduate curriculum as freshmen will graduate with a STEM
Early on, the number of colleagues who had patents advancement. PNAS. 2014;111(18):6542-6547. degree. An increased need exists for innovative initiatives that promote undergraduate reten-
impressed her, and after walking around and see- 2. Genshaft J, Wickert J, Gray-Little B, Hanson tion and achievement within STEM. The Louisiana Science, Technology, Engineering, and
ing patents displayed on the office walls, invention K, Marchase R, Schiffer PE, Tanner RM. Con- Mathematics (LA-STEM) Research Scholars Program at Louisiana State University, within the
became normalized for her. Almost immediately, sideration of technology transfer in tenure and Office of Strategic Initiatives, is an excellent model for increasing persistence and achievement
DeLuca decided that she too was going to become promotion. Technol Innov. 2016;17(4):197-204. within the STEM disciplines. For more than a decade, LA-STEM has holistically provided
quality mentoring, effective learning strategies, unique undergraduate research opportunities,
an inventor and came up with her first invention—a leadership and professional development, and intensive graduate school preparation to a diverse
way to send stylized messages that announce when 3. To grant a Federal charter to the National Acad- population of STEM undergraduates. Program success has included an 89% overall graduation
st
th
code is being executed—with the help of her mentor, emy of Inventors, H.R. 976, 115 Cong., 1 Sess. rate in STEM, considerable national award and fellowship recognition, high matriculation of
Sam Adams, a Distinguished IBM Engineer. Since (2017). students into post-graduate programs, as well as a notable reduction in the achievement gap
then, DeLuca has racked up over 300 patents and 4. National Academy of Inventors, Intellectual between underrepresented and female participants in comparison to majority males.
has an equal number filed and waiting. Through her Property Owners Association. Top 100 world- Key words: STEM; Retention; Diversity; Mentoring; Persistence; Underrepresented
own work and her participation in programs such as wide universities granted U.S. utility patents
AAAS-Lemelson Invention Ambassadors, she has 2016. Tampa (FL): National Academy of Inven-
discovered that inventors are a diverse group, includ- tors, 2017.
ing academics, industry employees, celebrities, and 5. Technology and Innovation. Tampa (FL): INTRODUCTION and first-generation college students, all of whom
even children. Answering her own opening question, National Academy of Inventors. Vol. 19, Issue Across the nation, many institutions of higher graduate at nearly half the overall rate (4-6). These
DeLuca concluded that an inventor can look like and 1, 2017. Special topic issue: Fostering Innovation groups have historically been and continue to be
be anyone, including the students taking part in the and Entrepreneurship. learning are grappling with high attrition rates in underrepresented in STEM fields. This loss of talent
innovation showcase. 6. Technology and Innovation. Tampa (FL): science, technology, engineering, and mathematics continues at the graduate level in STEM doctoral
The NAI’s first Student Innovation Showcase National Academy of Inventors. Vol. 19, Issue (STEM) academic programs. For example, at the programs, particularly among students from the
brought together six student teams who came to undergraduate level, less than half of the students aforementioned underrepresented groups (7,8).
Boston to compete against one another and pitch 2, 2017. Special topic issue: Technology and who enter into STEM curricula at the freshmen level Notably, high attrition rates have contributed to
their technologies to an expert panel. Student teams Innovation Curricula. will complete degrees in these areas (1-3). This star- the lowering of the U.S.’s international ranking with
represented the University of Delaware, Dartmouth 7. Mission and goals of the NAI. Tampa (FL): tling statistic is even more dire for minority groups regard to the production of STEM professionals, and
College, Worcester Polytechnic Institute, Arizona National Academy of Inventors; c2017 [accessed (especially African Americans, Latinos, and Native many political and other leaders are questioning the
State University, the University of Massachusetts 15 Nov 2017]. http://www.academyofinventors. Americans), students from low-income backgrounds, future health of our economy. These leaders directly
Amherst, and the University of Florida. While all org/about.asp#mission. _____________________

Accepted: October 15, 2017.
Address correspondence to Isiah M. Warner, Louisiana State University, 434 Choppin Hall, Baton Rouge, LA 70803, USA. Tel: +1 (225) 578-2829;
Fax: +1 (225) 578-3971. E-mail: [email protected]


577

Technology and Innovation, Vol. 19, pp. 577-592, 2018 ISSN 1949-8241 • E-ISSN 1949-825X
Printed in the USA. All rights reserved. http://dx.doi.org/10.21300/19.3.2018.577
Copyright © 2018 National Academy of Inventors. www.technologyandinnovation.org






LA-STEM RESEARCH SCHOLARS PROGRAM: A MODEL FOR
BROADENING DIVERSITY IN STEM EDUCATION


Melissa B. Crawford , Zakiya S. Wilson-Kennedy , Gloria A. Thomas , Samuel D. Gilman ,
1
2
2,4
2,3
and Isiah M. Warner 1,2
1 Office of Strategic Initiatives, Louisiana State University, Baton Rouge, LA, USA
2 Department of Chemistry, Louisiana State University, Baton Rouge, LA, USA
3 College of Science, Louisiana State University, Baton Rouge, LA, USA
4 Center for Academic Success, Louisiana State University, Baton Rouge, LA, USA

In the U.S., less than half of the students who enter into a science, technology, engineering,
and mathematics (STEM) undergraduate curriculum as freshmen will graduate with a STEM
degree. An increased need exists for innovative initiatives that promote undergraduate reten-
tion and achievement within STEM. The Louisiana Science, Technology, Engineering, and
Mathematics (LA-STEM) Research Scholars Program at Louisiana State University, within the
Office of Strategic Initiatives, is an excellent model for increasing persistence and achievement
within the STEM disciplines. For more than a decade, LA-STEM has holistically provided
quality mentoring, effective learning strategies, unique undergraduate research opportunities,
leadership and professional development, and intensive graduate school preparation to a diverse
population of STEM undergraduates. Program success has included an 89% overall graduation
rate in STEM, considerable national award and fellowship recognition, high matriculation of
students into post-graduate programs, as well as a notable reduction in the achievement gap
between underrepresented and female participants in comparison to majority males.
Key words: STEM; Retention; Diversity; Mentoring; Persistence; Underrepresented




INTRODUCTION and first-generation college students, all of whom
Across the nation, many institutions of higher graduate at nearly half the overall rate (4-6). These
learning are grappling with high attrition rates in groups have historically been and continue to be
science, technology, engineering, and mathematics underrepresented in STEM fields. This loss of talent
continues at the graduate level in STEM doctoral
(STEM) academic programs. For example, at the programs, particularly among students from the
undergraduate level, less than half of the students aforementioned underrepresented groups (7,8).
who enter into STEM curricula at the freshmen level Notably, high attrition rates have contributed to
will complete degrees in these areas (1-3). This star- the lowering of the U.S.’s international ranking with
tling statistic is even more dire for minority groups regard to the production of STEM professionals, and
(especially African Americans, Latinos, and Native many political and other leaders are questioning the
Americans), students from low-income backgrounds, future health of our economy. These leaders directly
_____________________
Accepted: October 15, 2017.
Address correspondence to Isiah M. Warner, Louisiana State University, 434 Choppin Hall, Baton Rouge, LA 70803, USA. Tel: +1 (225) 578-2829;
Fax: +1 (225) 578-3971. E-mail: [email protected]


577

578 CRAWFORD ET AL.



link the quantity and quality of its STEM graduates As an innovator in STEM education programs, The
to the U.S. economy’s future health. If STEM attri- Louisiana State University (LSU) Office of Strategic
tion is not addressed, many fear that this continued Initiatives (OSI) was established in 2001 as an incu-
downslide in STEM disciplines will threaten the bator designed to, among other charges, dramatically
nation’s economic dominance in the global market- improve the STEM persistence rates of economically
place (9-11). To promote and ensure our continued disadvantaged, underrepresented minority (African
global competiveness, U.S. universities and colleges American, American Indian, Alaskan Native, Latino,
must seek and devise innovative solutions to cultivate and Native Pacific Islander), first-generation, and
our human resources and meet the needs of students women students (5,6,16-20), hereafter referred to as
who have historically been vulnerable in our educa- underrepresented (UR). Accordingly, the OSI men-
tion system (12-14). toring approach will provide other universities with
Undergraduate education is the primary access strategies that can be adopted and adapted for their
point for a large number of STEM professionals. own institutional contexts. One primary research
However, many obstacles, e.g., socioeconomic bar- question guides this inquiry: How can institutions
riers, have deterred numerous U.S. citizens from build effective systems for improving the success
achieving their goal of obtaining an undergraduate of students from underrepresented backgrounds in
education. Consequently, it comes as no surprise that STEM curricula at the undergraduate and graduate
state and federal policy makers have increased their levels?
scrutiny of undergraduate education. More specifi- While the OSI model’s impact on improving suc-
cally, graduation rates have begun to play an increased cess of UR groups in STEM has been thoroughly
role in state funding models for higher education examined through several external evaluations and
(15), even as the federal government has provided a propensity study of the most comprehensive pro-
incentives and funding for innovative education gram (21-23), this paper provides a brief overview
models through initiatives and legislation such as the of its efficacy in advancing understanding about an
American Competitiveness Initiative, the America important phenomenon in STEM education, namely
COMPETES Act, and the American Recovery and broadening the participation of UR groups (24,25).
Reinvestment Act. With the increased examination For this study, the evidence includes (a) an obser-
of undergraduate student persistence, colleges and vational study of OSI’s signature program, (b) an
universities are feeling greater pressure to improve analysis of student outcomes for participants in the
graduation rates. While this task may seem daunting, signature program, and (c) a brief summary of exter-
it is quite doable. nal evaluation outcomes.



LSU OFFICE OF STRATEGIC INITIATIVES

MISSION: OSI assists in raising LSU’s standing among its peers, and enhances the diversity of the
student body (particularly at the graduate level) and the faculty (particularly in STEM).
HIGH COMM. UNDERGRADUATE GRAD
SCHOOL COLLEGE

NSF
DoED NIH NSF NSF NSF
LASAMP
Upward Bridges to the S-STEM LASAMP SMART REU Bridge to the
Bound BS Doctorate
Legacy Programs: HHMI Professors and NSF LA-STEM
Special Projects: ACT Prep Academy & Undergraduate Research Conference
Figure 1. The programs of the LSU Office of Strategic Initiatives.

LA-STEM PROGRAM: STEM SUCCESS MODEL 579



A MULTI-FACETED TRAINING MODEL TO of whom are traditionally underestimated for their
ADDRESS PERSISTENCE potential as exemplary future research profession-
OSI provides an intriguing institutional model als and leaders, have realized completion of STEM
for promoting the success of UR groups in STEM degrees, achievement of numerous national awards
degree areas. Further, the cohesion within OSI pro- and honors, and fulfillment of post-baccalaureate
grams and the institutional collaborations between degrees at significantly higher rates than their peers.
the office and STEM academic units provide some Having employed this model with various subsets
insight into the efficacy of the model in advancing the of undergraduate populations, e.g., high-achieving,
success of participants who were integrated into the under-achieving, and economically-disadvantaged,
model. The formation of OSI grew out of success in OSI has been able to demonstrate the efficacy of its
the recruitment, retention, and graduation of African methods (Figure 1). These results offer insight into
Americans in the LSU doctoral chemistry program how similar initiatives may be developed and adapted
(7,26,27). Prior to 1992, the LSU department of chem- for other institutions of higher education.
istry had achieved a total of six doctoral graduates Recognizing that academic performance in course-
with a maximum of three African American students work, self-image, pre-college background, academic
enrolled in its graduate program at any given time, advising, financial support, and social integration
and the first African American graduated with a in the STEM culture are all factors that have been
chemistry doctorate in 1971. After 1992, beginning found to significantly impact student persistence (28-
with the arrival of Professor Isiah M. Warner, OSI 33), the OSI Training Model was designed with the
vice president and System Boyd Professor of Chem- central hypothesis that comprehensive approaches
istry, these numbers began to increase dramatically, must be employed to address the multi-faceted chal-
such that the ten-year average of African American lenges impacting student attrition (Figure 2). For a
students enrolled at any given time increased to more decade, this hypothesis has been tested with cohorts
than thirty. As a result, LSU has been cited as rank- of students mentored across several funding sup-
ing first in the nation in the production of African port mechanisms using four specific approaches: 1)
Americans with doctorates in chemistry and also first cohort-building through structured introduction to
in the percentage of its doctoral graduates who are college study within a summer bridge experience; 2) a
women (27). From 1997 to May 2017, LSU produced curricular approach that integrates metacognitive and
a total of 412 doctoral chemistry graduates, of which active learning strategies as well as early interventions
82 (19.7%) were African American. and career opportunities into a series of professional
Since its inception, OSI has worked to expand development courses; 3) individualized faculty, staff,
these successes throughout the LSU campus commu- and peer mentoring; and 4) domestic and interna-
nity at both the undergraduate and graduate levels tional undergraduate research opportunities. These
and to other STEM departments beyond chemistry. four approaches have been implemented through
This has contributed substantially towards the success employing six elements outlined in Figure 2.
of UR members in STEM academic pathways at LSU. Within the OSI Training Model, undergraduate
The vision of OSI is to create, leverage, and centralize participants were taught the fundamental principles
most STEM education and mentoring programs at of positive mindset development, mentoring, meta-
LSU. Its mission is to raise students’ academic perfor- cognitive learning, and research through training
mances as well as to create and implement programs classes and interactions with their peers, graduate
that enhance the overall diversity of LSU’s student students, high school students, program staff, and
body. faculty at the college, high school, and elementary
Employing the OSI Multi-Faceted Training Model school levels. Using this mentoring approach, men-
(OSI Training Model), which is rooted in a holistic tees are guided in developing the metacognitive tools
mentoring approach, OSI programs cultivated prom- and strategies that propel them up the hierarchy of
ising scholar-leaders through research, service, and learning levels on Bloom’s Taxonomy (34). This
academic training. OSI-mentored students, many higher level learning allowed students to appreciate

curricular approach that integrates metacognitive and active learning strategies as well as
early interventions and career opportunities into a series of professional development
courses ; 3) individualized faculty, staff, and peer mentoring; and 4) domestic and international
undergraduate research opportunities. These four approaches have been implemented through
employing six elements outlined in Figure 2.
580 CRAWFORD ET AL.































Figure 2. Elements of the OSI Multi-Faceted Training Model.
Figure 2. Elements of the OSI Multi-Faceted Training Model.
and understand science more completely, aiding in key programmatic initiatives through peer support

their success in undergraduate coursework and their and motivation.
preparation as researchers at the undergraduate and
Within the OSI Training Model, undergraduate participants were taught the fundamental
graduate levels. Through these experiences, budding While all OSI programs have been effective in prepar-
scientists are engaged in meaningful learning that ing and developing students, the signature LA-STEM
principles of positive mindset development, mentoring, metacognitive learning, and research
transcends what is being taught in the classroom to Research Scholars Program has received the greatest
applications of relevancy to real-world challenges. amount of funding and provides the most compre-
through training classes and interactions with their peers, graduate students, high school students,
They developed communities of learning that ease hensive example of all the initiatives employed by the
students’ transition to college and prepare them for model (Figure 3). This program also served the largest
program staff, and faculty at the college, high school, and elementary school levels. Using this
long-term careers in the sciences. number of undergraduate students within OSI. Figure
3 provides a comparison of key OSI programmatic
mentoring approach, mentees are guided in developing the metacognitive tools and strategies
OSI COLLEGIATE PROGRAMS elements, illustrating the types of students served and
OSI has successfully managed eight key programs areas of student focus. The signature program and
serving students from the high school through doc- summary of its outcomes are described in detail; how-
toral levels. These students have diverse backgrounds ever, the remaining programs are briefly summarized.
in terms of ethnicity, gender, socio-economic sta- While there are some distinct aspects of each
tus, and urbanization. Additionally, the participants program, various levels of the eight key facets are
identified as members of a broad range of affinity prevalent in multiple programs:
groups, including degree discipline, religious affilia- 1. Mentoring and Advising – Students received
tions, and sexual orientation. As a result, cultivation ongoing individualized mentoring (formally
of an inclusive community provided opportunities through personal mentoring meetings), pri-
for interdisciplinary collaboration, interpersonal marily from program management staff and
communication skill expansion, and life-long friend- peers. These sessions occurred a minimum of
ship development. These rich learning communities twice per semester.
served as catalysts to the overall implementation of 2. Professional Development – The depth of

LA-STEM PROGRAM: STEM SUCCESS MODEL 581




Professional Development
Academic Year Research
Summer Bridge
Cohort-Based
Program Level Students of Focus Mentoring and Advising Summer Research IDP or IEP Counseling




LA-STEM UG High Achieving
HHMI
Professors CC, UG High Potential
Upward HS Low Income and/or Potential
Bound First Generation
Underrepresented, disabled,
Bridges CC
disadvantaged
LSAMP UG UR Racial/Ethnic Groups

S-STEM UG Financial Need
CCs, Minority Serving
Smart REU UG
Institutions
Bridge to
Doctorate Grad UR Racial/Ethnic Groups
HS = High School, UG = Undergraduate, CC = Community College, Grad = Graduate Students
UR = Underrepresented
Figure 3. A comparison of OSI programmatic elements.


this component varies across programs from honors thesis, OSI managed an OSI Research
monthly workshops and seminars (Louis Stokes Experience for Undergraduates (REU) Pro-
Louisiana Alliance for Minority Participation gram specifically for LA-STEM and HHMI
(LS-LAMP); Science, Mathematics, and Tech- participants. This REU provided participants
nology Scholars – Increasing Diversity through with invaluable experience, thereby increasing
Mentoring (S-STEM); Bridge to Doctorate; and their competitiveness for applying to subse-
Bridges to the Baccalaureate Programs) to a quent domestic and international summer
comprehensive four-year required academic research programs.
year Success Course (LA-STEM and Howard 5. Summer Bridge Program – Participants
Hughes Medical Institute (HHMI) Professors completed a comprehensive and rigorous
Programs). eight-week bridge program prior to their first
3. Academic Year Research – Students engaged in semester of college, which included enroll-
a minimum of 10 hours of research per week ing in up to two courses, exposure to campus
under the guidance of a faculty member. This resources, introduction to effective learning
research is tracked through the completion of strategies, tutoring, and professional develop-
signed timesheets. ment. A small number of incoming second and
4. Summer Research – Participants were required third year students, who were current LSU stu-
to complete a minimum of two structured dents, also participated in the bridge program.
undergraduate summer research programs 6. IDP or IEP – Students were required to create
(preferably externally). In an effort to enhance and complete Individual Development Plans
the academic year research of first-year stu- (IDPs) during the academic year. Upward
dents or rising seniors who were completing an Bound students completed Individualized

582 CRAWFORD ET AL.



Education Programs (IEPs). These allowed disciplines in an effort to aid in their smooth tran-
students to set ambitious goals and to sition into a baccalaureate degree program. The
develop a sense of ownership in their personal program is designed to help students complete an
development. associate’s degree in biological sciences or general
7. Cohort-Based – Participants entered and science with a biomedical or natural sciences concen-
progressed as a group. Cohorts are generally tration, then complete a Bachelor of Science degree
maintained; however, in the Upward Bound in a biomedically-related or behavioral sciences field
program, a small number of additional students at LSU.
have been added to maintain the student quota
as required by the funding agency. HHMI Professors Program
8. Counseling – Students facing mental health The HHMI Professors Program was designed
issues, critical junctures, or challenges received to promote diversity in the STEM disciplines by
counseling from a licensed social worker, who increasing the performance of underperforming,
either worked with them intensely or referred non-traditional students seeking terminal degrees
more advanced cases to the LSU Student Health (doctoral degrees). This program provided interven-
Center. tion and comprehensive support for undergraduates
who demonstrated great promise as high school stu-
SUMMARY OF OSI PROGRAMS dents but faced challenges as incoming first-year
The signature program is emphasized for this students. These students, typically sophomores and
study; however, the OSI Training Model has been juniors in the undergraduate GPA range of 2.5 to
successfully applied to additional programs with stu- 3.25, were often overlooked as potential scientists
dents from diverse backgrounds and educational who could benefit from academic interventions
levels. These programs include: and systematic mentoring. Many of the activities
implemented by the HHMI Professors and LA-STEM
Upward Bound Program Programs were executed in conjunction, creating
Funded by the Department of Education, the LSU great synergy between the high-achieving and under-
Upward Bound Program is a college preparatory performing but high-potential participants.
program that targets participants who are potential
first-generation college students from low-income S-STEM Program
backgrounds. Participants attended an academic year The S-STEM Program, funded by the National
Saturday Academy and a six-week Summer Academy Science Foundation (NSF), aimed to increase the
that featured dynamic group activities, experien- educational and career opportunities for academically
tial learning, individual education plans, field trips, talented but financially disadvantaged students who
mentoring, and test preparation. They also received are pursuing degrees in basic sciences or mathemat-
academic advising and instruction, tutoring, college ics. In addition to monetary support, participants also
and career counseling, social and cultural enrich- engaged in academic and professional development
ment, opportunities to visit college campuses, and workshops and received individualized mentoring
the ability to earn college credit. support.

National Institutes of Health Bridges to the LS-LAMP Program
Baccalaureate Program The LS-LAMP Program is a comprehensive,
Funded by the National Institutes of Health, the statewide, coordinated program aimed at substan-
Bridges to the Baccalaureate Program (Bridges) sup- tially increasing the number and quality of minority
ports disadvantaged (underrepresented, disabled, students enrolling in and completing baccalaureate
first-generation college student, and/or financially degrees in STEM and subsequently going on to pur-
needy) Baton Rouge Community College students sue graduate studies in STEM disciplines. LS-LAMP
in biomedically-related and behavioral science students conducted undergraduate research, engaged

LA-STEM PROGRAM: STEM SUCCESS MODEL 583



in individualized mentoring, and participated in aca- (through inspiration of the UMBC Meyerhoff Schol-
demic and professional development workshops. The ars Program) to increase student access and success in
LS-LAMP and S-STEM program worked in conjunc- STEM undergraduate degree programs with the goals
tion in terms of implementation of program activities. of developing leaders and researchers, promoting
diversity in STEM, and supporting student achieve-
Smart Polymer Composite Materials and ment. LA-STEM provided multi-faceted training and
Structures Research Experience for employed a holistic developmental learning approach
Undergraduates (SMART REU) to create high-quality students who greatly contrib-
The SMART REU is an interdisciplinary project ute to the STEM community. The model entailed
across science and engineering. The research focuses recruitment of high ability students (GPAs = 3.5 or
on a theme of smart polymer composite materials greater, ACT composite minimum= 24) and selection
and structures. The goals for the SMART project of the top candidates through a rigorous selection
are to provide exceptional research experiences for process. It is important to convey that the LA-STEM
diverse undergraduates at the interface of materi- selection committee does not necessarily recruit
als and structures and to prepare those participants only “the best and the brightest”; rather, emphasis
for advanced study and research careers. Eight is focused on recruiting talented students with tre-
REU participants, as rising juniors and seniors, are mendous potential. Many of these students might not
meaningfully engaged in research and professional otherwise have had the motivation, confidence, or
development. guidance, to pursue a rigorous STEM undergraduate
degree. Ultimately, the selection of students for the
Bridge to the Doctorate LA-STEM program is in line with OSI’s mission to
Since 2005, LSU OSI has been home to eight recruit highly promising students who exemplify
cohorts of Bridge to the Doctorate (BD) Fellows. academic prowess, willingness to engage with others,
Funded through an activity of the NSF’s Louis Stokes motivation for research, commitment to diversity,
Alliances for Minority Participation (LSAMP) pro- and passion for outreach, rather than targeting only
gram, the overarching goal of BD is to provide the academically exceptional students. In fact, in some
necessary academic and research skills to enable instances, students with superior credentials were
Fellows to successfully earn STEM doctoral degrees denied admission to the program because they were
and transition into the professoriate and/or STEM deemed not to fit well with the collaborative model
workforce. The overall effort at LSU, Louisiana Broad- of the program.
ening Resources for Increasing Diversity in Graduate Scholars selected for the program participate as
Education (LA-BRIDGE), represents a strategic insti- cohorts and are integrated into research and commu-
tutional approach as a model for the production of nity outreach early. They engaged in comprehensive
underrepresented scientists and engineers with doc- training and mentoring designed to prepare them
toral degrees in STEM. To be eligible for the two-year for STEM doctoral programs as well as their future
full fellowship, students must have earned a bache- careers. The LA-STEM Program served a total of 249
lor’s degree from an LSAMP institution, have prior students from 2003 to 2014. Fifty-three percent of all
LSAMP involvement, have not received a master’s LA-STEM participants served were women, and 44%
degree, and be from an NSF-designated underrep- were underrepresented by race (Figure 4).
resented group. Hereafter, with the exception of the six-year STEM
graduation rate and post-baccalaureate placement,
LA-STEM RESEARCH SCHOLARS PROGRAM: all outcomes reported in this study are of “LA-STEM
NATIONAL MODEL FOR IMPACTING Graduates,” those who persisted in the LA-STEM pro-
PERSISTENCE gram by fulfilling the program requirements through
In 2003, supported by NSF, the Louisiana Board graduation (160 students to date). The general term
of Regents, LSU, and Research Corporation, the “LA-STEM Scholar(s)” refers to those students who
LA-STEM Research Scholars Program was designed are currently still pursuing undergraduate degrees or

584 CRAWFORD ET AL.



30%


25%


20%


15%


10%

5%


0%
White African American Asian Hispanic American Indian
Women Men

Figure 4. LA-STEM Research Scholars Programs participants by gender and race.

those who participated in the program for varying 4.0 cumulative grade point averages; seventeen as
durations but did not graduate as participants in LSU Distinguished Communicators, for completing
LA-STEM due to termination from the program, the required academic excellence program where
transition to a non-STEM major, or resignation. Evi- students develop and refine communication skills,
dence shows that the persistence in STEM within this demonstrating proficiency in verbal, spoken, visual,
group is also remarkable. and technological communication; and seven as LSU
LA-STEM Graduates have garnered a plethora of Tiger Twelve Recipients, which annually recognizes
national honors, including: twelve outstanding seniors for their contributions to
campus life and the surrounding community. Thirty-
• Barry M. Goldwater Scholarships - 8 two LA-STEM Graduates finished with Upper Divi-
• NSF Graduate Research Fellowships - 18 sion College Honors and are among the thirty-six
• Fulbright Fellowships - 2 who completed a senior honors thesis within the
• HHMI Exceptional Research Opportunities LSU Ogden Honors College.
Program (EXROP) Scholarships - 18
• National Defense Science and Engineering Forty-three percent of all LA-STEM gradu-
ates complete their undergraduate degrees with a
Graduate Fellowship - 1 3.7 cumulative GPA or higher, thereby achieving
• HHMI Gilliam Fellowship - 1 Latin honors (summa, magna, or cum laude). The
• Morris K. Udall Scholarships (the first and LA-STEM program has boasted an overall 89% six-
second in LSU’s history)
• Gates-Cambridge Scholarship (the first in LSU’s year graduation rate in STEM. Even more remarkably,
this program has been able to level the playing field.
history)
The achievement gap has been eliminated for women
At the university level, LA-STEM Graduates were (90%), and for all minorities, the STEM graduation
truly among the top students at LSU and have been rate is within 2% of all students. For African Amer-
honored for their academic success and leadership. ican students, the STEM graduation rate is within
Fourteen LA-STEM Graduates received recognition 5% of all students. LA-STEM has been successful in
as University Medalists, for graduating with perfect regard to achievements of minority students. In fact,

LA-STEM PROGRAM: STEM SUCCESS MODEL 585



100%
90%

80%
70%
60%
50%

40%
30%
20%
10%

0%
LA-STEM Highly Selective Institutions Selective Institutions Moderately Selective Institutions
All Women Men African Americans

Figure 5. LA-STEM Research Scholars Programs six-year STEM graduation rate comparison.

one can reconcile the small difference in performance Georgia Institute of Technology, Harvard Univer-
of minority students as attributable to attendance at sity, Rice University, Rochester University, Stanford
less rigorous high schools than their majority con- University, The Ohio State University, Tulane Uni-
temporaries. Figure 5 compares the six-year STEM versity, University of California-Davis, University of
graduation rates of the LA-STEM Program with Michigan, University of Wisconsin-Madison, Wake
that of highly selective, selective, and moderately Forest University, Washington University, and the
selective institutions, as reported by the Center for University of Washington, to name a few (full list
the Institutional Data Exchange and Analysis at the provided in Table 2). Table 1 summarizes the cur-
University of Oklahoma (35). It is important to note rent placement of those students who graduated as
that the six-year STEM graduation rate does not LA-STEM Graduates, having successfully maintained
exclude those students who did not complete their the program requirements. Seventy-six percent of all
degrees as LA-STEM Graduates, which indicates that LA-STEM Graduates have completed or are pursuing
integration into the model at varying levels positively post-baccalaureate degrees. In this table, the current
impacts persistence significantly. We believe that the placement of those students who are still pursuing
Summer Bridge component and the first and second undergraduate degrees or those who participated
year Success Course experiences are important con- in the program for varying durations but did not
tributors to this phenomenon. graduate as LA-STEM scholars due to termination,
Since 2002, the LA-STEM Program has produced transition to a non-STEM major, or resignation is
23 total scholars (8 of whom are underrepresented also provided.
minorities and 13 are women) with doctorates. In
addition, 46 Scholars (including 12 underrepresented Why the Model Works
minorities and 19 women) are pursuing doctorate The LA-STEM Program has been very instrumen-
degrees in research-intensive graduate programs tal in increasing persistence in STEM and developing
across the country. Two are pursuing doctoral degrees students for post-baccalaureate degrees. Quantitative
(Table 1). These scholars are completing graduate and qualitative evaluation (21-23) results identify a
programs at institutions such as Columbia University, number of key reasons for these outcomes; however,

University, Washington University, and the University of Washington, to name a few (full list
provided in Table 2). Table 1 summarizes the current placement of those students who graduated
as LA-STEM Graduates, having successfully maintained the program requirements. Seventy-six
(76%) of all LA-STEM Graduates have completed or are pursuing post-baccalaureate degrees. In
this table, the current placement of those students who are still pursuing undergraduate degrees
or those who participated in the program for varying durations but did not graduate as LA-STEM
scholars due to termination, transition to a non-STEM major, or resignation is also provided.
586 CRAWFORD ET AL.

Table 1. Current Placement of LA-STEM Scholars
Table 1. Current Placement of LA-STEM Scholars
LA-STEM Graduates Other LA-STEM
(160) Participants (90)

Count % Count %
Completed PhD (19 in STEM) 20 12% 1 1%

Completed STEM MS 18 11% 5 5%

Completed non-STEM MS 7 4% 6 6%
Completed MD, DDS, DVM, PharmD, or JD 21 13% 4 4%

Currently Enrolled in STEM PhD 42 26% 5 5%

Currently Enrolled in STEM MS 4 2% 2 2%
Currently Enrolled in MD or DDS 8 5% -- --

Currently Enrolled in MD/PhD 2 1% -- --
Employed or Year off prior to PhD 38 24% 64 71%

Current Undergraduate -- -- 3 3%

for the purposes of this study, the following will Summer Bridge as a whole was a great learning

be discussed: Summer Bridge Program; academic experience for me. Through this program I’ve
enrichment; peer mentoring; strong staff support; learned much about research, college life, group
Table 2. Post-Baccalaureate School Placement of LA-STEM Research Scholars
and integration into research. work, campus resources, and long-term planning.
I’ve also met a lot of hardworking, talented peers
Summer Bridge Program who have very similar interests and goals as I have,
Participants cited Summer Bridge as “the best” and they have motivated me greatly and given me
aspect of the LA-STEM model, as it provided them much confidence.
with meaningful peer interactions through the sense – Obtained anonymously through 2012 Summer
of community that was fostered by the program. In Bridge survey
many instances, participants formed life-long friend-
ships, often with peers of different backgrounds, The detailed explanations about what a PhD is
typically as a result of strategic roommate pairings and why it is something to strive for have had the
most impact on my academic and career goals.
and team-building activities. Some of the greatest Before Summer Bridge, I had little to no interest
gains reported were in their enthusiasm, confidence, in attending graduate school, primarily because
and comfort with LSU. They also demonstrated strong I had little to no knowledge on the subject. Due
gains in their understanding of professionalism, eth- to Summer Bridge, I now have an active goal to
ics, and their majors (23). Similar bridge programs strive for during my undergraduate years as well as
have been shown to contribute to student success plans for the future that involve pathways I never
through building friendships and cultivating a sense could have dreamed of before this experience.
of belonging within a community of like-minded
learners (36-38). – Obtained anonymously through 2012 Summer
Bridge survey

LA-STEM PROGRAM: STEM SUCCESS MODEL 587



Table 2. Post-Baccalaureate School Placement of LA-STEM Research Scholars

American Museum of Natural History The Ohio State University
Baylor School of Medicine Tulane University
California State University, Long Beach Tulane University Medical School
Columbia University University of Alabama, Birmingham
Concordia University, Montreal University of California, Davis
Cornell University University of California, Los Angeles
Duke University Medical School University of Delaware
Emory University University of Detroit Mercy School of Dentistry
Florida International University University of Illinois, Urbana-Champaign
George Mason University University of Kentucky
Georgia Institute of Technology University of Louisville
Harvard University University of Maryland, Baltimore County
Louisiana State University University of Maryland, College Park
LSU Health Sciences Center School of Dentistry University of Michigan
LSU Health Sciences School of Medicine University of Michigan Medical School
LSU School of Veterinary Medicine University of New Orleans
University of Texas/M.D. Anderson Cancer Center University of North Carolina, Chapel Hill
Massachusetts Institute of Technology University of North Texas
Medical University of South Carolina University of Notre Dame
Michigan State University University of Rochester
Mississippi State University University of Southern California
Mount Sinai School of Medicine University of Strathclyde, Scotland
Nova Southeastern University University of Tennessee
Our Lady of the Lake College University of Texas, Arlington
Pierre and Marie Curie University (Paris, France) University of Texas, Houston
Purdue University University of Washington
Rice University University of Wisconsin-Madison
San Diego State University Vanderbilt University
Southeastern Louisiana University Wake Forest University
St. Joseph’s University Washington University School of Medicine
Stanford University Weill Cornell/Rockefeller/Sloan-Kettering
Texas A&M University Tri-Institutional M.D.-Ph.D. Program

Academic Enrichment – LA-STEM Graduate, LSU Class of 2011, Com-
Students generally reported gains in time manage- pleted Ph.D. in soil and water sciences at the
ment, study skills, and in working collaboratively as University of Florida (2017)
a group through the required Success Course. They
also indicated that the classes offered professional Peer Mentoring
development, GRE preparation, and guidance for Students indicated that the peer mentoring com-
selecting and applying to graduate school. Academic ponent reinforced group connectivity and provided
support and enrichment have been viewed as critical positive leadership opportunities. Both the mentors
programmatic elements by similar programs (39-41). and mentees cited personal gains from their peer
I could not imagine my college experience without mentoring interactions. The contribution of peer
LA-STEM. Every aspect of my collegiate career— mentoring to student retention and persistence has
degree plan, research, campus involvement, and also been examined by others (42-45).
close friends–was influenced by the LA-STEM LA-STEM helped me learn how to work and
program interact with people from various nationalities.

588 CRAWFORD ET AL.



I have been guided by several mentors, by way contribute to science, identified increased confidence
of LA-STEM, and this has inspired me to be a in their ability to navigate as researchers, and gained
mentor for others. My ultimate goal is to become self-assurance in their ability to obtain acceptance
a professor of industrial engineering at a major into doctorate programs. Similar findings docu-
research institution, and the LA-STEM program mented gains in research contributing to student’s
has truly been a guiding factor in helping define success (37,47-54).
my career goals.
I always knew that I wanted to go to graduate
– LA-STEM Graduate, LSU Class of 2011, Com- school, but I did not know what that entailed.
pleted Ph.D. in industrial engineering at the LA-STEM focused me [and] gave me all the tools
University of Michigan (2016), Currently an to prepare for school, get used to conducting
Assistant Professor research, and I soared because of it. This pro-
gram surrounded me with people with similar
Strong Staff Support goals and is the reason why I am a PhD graduate
Having strong staff support was cited as important today. LA-STEM is a program that trains students
to the participants’ success. Students described staff to get [into] grad school, but along the way we
as family, which encouraged their strong sense of were shown how to approach obstacles in school
belonging to a community. Evidence also suggests with vigor and determination.
that the program and its staff greatly influenced stu- – LA-STEM Graduate, LSU Class of 2009, Com-
dents’ persistence in STEM and the decision to pursue pleted Ph.D. in electrical engineering from The
graduate degrees. Many indicated that staff support Ohio State University (2016)
was of great importance to their ability to persist as
STEM majors, particularly during academic chal- A REPLICABLE MODEL
lenges and personal difficulties. Some participants While the OSI Training Model contains elements
stated they might not have been able to do so without of the Meyerhoff Research Scholars Program (40,55),
support from the program staff. This critical support it is also very distinct in that modifications have
has been shown to contribute to student retention been incorporated with respect to the institutional
and persistence in similar programs (39-41,44,46). context within LSU, the overall preparedness of the
The LA-STEM program has provided me with participants served, and the desire to identify and
everything a student needs for success—here cultivate potential in promising students who are
at LSU and beyond. I have been molded with often overlooked in STEM. All of the OSI Programs
care by experienced mentors whose faith in my have successfully accomplished the overall mission,
abilities [has] driven me past my own capacity. I often exceeding the initial program goals; however,
have developed into a scholar, a leader, and most the LA-STEM Research Scholars Program is a shining
importantly, into a researcher with the intellectual example of a replicable holistic student development
merit and focus on broader impacts to influence program. Through the implementation of the key
the world beyond the realm of science. elements of 1) recruitment of motivated students; 2)
utilization of academic support systems; 3) a cohort-
– LA-STEM Graduate, LSU Class of 2013, Pursu- based approach; 4) early exposure to research; 5)
ing Ph.D. in epidemiology at Harvard University effective mentoring practices; and 6) counseling and
advising at critical junctures, with modifications,
Integration into Research the model can be implemented at any institution for
Participants indicated that their research expe- students within any discipline. Additional studies
riences helped to solidify their interest in going to on the LA-STEM model have been conducted, and
graduate or medical school. Participants gained publications on the detailed aspects of the program
an expanded outlook regarding their potential to are forthcoming.

LA-STEM PROGRAM: STEM SUCCESS MODEL 589



CONCLUSION ACKNOWLEDGMENTS
Although the last cohort of LA-STEM Scholars The authors would like to acknowledge the 249
began in 2012 and monetary support concluded in LA-STEM Participants for their commitment to
2014, the successes of the program are still being changing the faces of STEM and serving as role
realized, as former LA-STEM participants have been models to future generations of aspiring STEM
completing advanced degrees and are establishing leaders. It is on your shoulders that they will stand.
successful careers. LA-STEM has served as a great We would also like to thank the National Science
equalizer, leveling the STEM playing field for Loui- Foundation, Research Corporation, the Louisiana
siana natives (constituting 90% of the participants), Board of Regents, and LSU (administration, faculty,
who have been able to compete globally and emerge and staff) for generously supporting this project.
as STEM leaders within industry, academia, and
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Technology and Innovation, Vol. 19, pp. 593-599, 2018 ISSN 1949-8241 • E-ISSN 1949-825X
Printed in the USA. All rights reserved. http://dx.doi.org/10.21300/19.3.2018.593
Copyright © 2018 National Academy of Inventors. www.technologyandinnovation.org








REINING IN ONLINE ABUSES


Hany Farid
Dartmouth College, Hanover, NH, USA


Online platforms today are being used in deplorably diverse ways: recruiting and radicalizing
terrorists; exploiting children; buying and selling illegal weapons and underage prostitutes;
bullying, stalking, and trolling on social media; distributing revenge porn; stealing personal
and financial data; propagating fake and hateful news; and more. Technology companies have
been and continue to be frustratingly slow in responding to these real threats with real conse-
quences. I advocate for the development and deployment of new technologies that allow for
the free flow of ideas while reining in abuses. As a case study, I will describe the development
and deployment of two such technologies—photoDNA and eGlyph—that are currently being
used in the global fight against child exploitation and extremism.
Key words: Social media; Child protection; Counter-extremism





INTRODUCTION number of CP reports. In the early 1980s, it was
Here are some sobering statistics: In 2016, the illegal in New York State for an individual to “pro-
National Center for Missing and Exploited Children mote any performance which includes sexual conduct
(NCMEC) received 8,000,000 reports of child por- by a child less than sixteen years of age.” In 1982,
nography (CP), 460,000 reports of missing children, Paul Ferber was charged under this law with selling
and 220,000 reports of sexual exploitation. Moreover, material that depicted underage children involved
in sexual acts. After having been found guilty under
NCMEC reports a 1000% increase in sex trafficking the New York State obscenity laws, Ferber appealed
over the past five years, and 12 is the average age of and the New York Court of Appeals overturned the
a child involved in sex trafficking and CP. These are conviction, finding that the obscenity law violated
deeply troubling numbers particularly when you the First Amendment of the U.S. Constitution. The
consider that these are primarily U.S.-based statis- U.S. Supreme Court, however, reversed the appeal,
tics and the U.S. accounts for only 5% of the world’s finding that the New York State obscenity law was
population. While all of these numbers are troubling, constitutional (1). Among several reasons for their
I would like to focus on the 8,000,000 reports of CP ruling, the Supreme Court found that the govern-
that NCMEC received last year. ment has a compelling interest in preventing the
It is helpful to look at the historical record to sexual exploitation of children and that this interest
understand how we arrived at such a staggering outweighs any speech protections.

_____________________
Accepted: October 15, 2017.
Address correspondence to Hany Farid, 6211 Sudikoff Lab, Dartmouth College, Hanover, NH 03755, USA. Tel: +1 (603) 646-2761. E-mail: farid@
dartmouth.edu


593

594 FARID



The landmark case of New York v. Ferber made it were lawyers. More than half of the remaining hands
illegal to create, distribute, or possess CP. The result shot up. I don’t recall if I said this out loud or not,
of this ruling, along with significant law enforcement but I certainly thought, “Well, there is at least part of
efforts, was effective, and by the mid-1990s, child your problem. It is difficult to get things done when
pornography was, according to NCMEC, largely a the lawyers outnumber the scientists and engineers.”
“solved problem.” By the early 2000s, the rise of the Throughout the day of that first meeting, I
internet brought with it an explosion in the global repeatedly heard that it is incredibly difficult to
distribution of CP. Alarmed by this growth, in 2003, automatically and efficiently scrub CP from online
Attorney General Ashcroft convened executives from platforms without interfering with the business inter-
the top technology firms to ask them to propose a ests of the titans of tech represented in the room.
solution to eliminate this harmful content from their Among several challenges, managing the massive
networks. Between 2003 and 2008, despite contin- volume of data uploaded every day to social media
ued pressure from the attorney general’s office, these platforms was of particular concern. My second ques-
technology companies did nothing to address the tion to the group was, therefore, “Specifically, how
ever-growing problem of their online platforms being hard is the problem?” Here are the numbers that all
used to distribute a staggering amount of CP with the attendees agreed upon. Any technology must
increasingly violent acts on increasingly younger satisfy the following requirements:
children (as young, in some cases, as a only a few
months old). 1. Analyze an image in under two milliseconds
In 2008, Microsoft and NCMEC invited me to (500 images/second)
attend a yearly meeting of a dozen or so technology 2. Misclassify an image as CP at a rate of no more
companies to provide insight into why, after five years, than one in 50 billion
there was no solution to the growing and troubling 3. Correctly classify an image as CP at a rate of
spread of CP online. This meeting led me on a nearly no less than 99%
decade-long journey to develop and deploy technol- 4. Do not extract or share any identifiable image
ogy to curb harmful online speech. Along the way, content (because of the sensitive nature of CP)
I learned many lessons about how to develop and Developing a fully automatic algorithm to distin-
deploy technology at internet scale, as well as learning guish CP from other content with these engineering
about public and media relations, corporate indif- demands was, in my opinion, not feasible. It was not
ference, and the horrific things that are being done feasible in 2008 when we started to work on this
online and offline to some of the most vulnerable in problem, and I would argue that it is not feasible
our society. I will share some of these insights along today despite all of the advances in machine learning
with some technical details of the technology that and computer vision in the intervening years.
we developed. I was ready to concede that a solution was not
possible until I heard NCMEC’s then-CEO Ernie
COUNTERING CHILD EXPLOITATION Allen mention two interesting facts: 1) NCMEC is
At the first of what would be many meetings on home to millions of known CP images that have
this topic, I listened to several hours of discussion been manually reviewed and determined to contain
on the scope and scale of the problem of online child explicit sexual contact with a minor (in many cases,
exploitation. I heard why various technological solu- under the age of 12) and 2) These same images are
tions did not or would not work, and I heard many continually distributed for years and even decades
lawyers talk about liability, profits, and user privacy. after they are first reported to NCMEC. I thought that
Around midday, I was asked to share my thoughts. I even if we did not have the technological innovation
started with a simple question: Just out of curiosity, to fully distinguish CP from other content, we could
how many of you are engineers, mathematicians, or perhaps stop the redistribution of known CP content
computer scientists? One or two hands shot up, out instead. While this would not address the problem
of a room of 60 or so people. I then asked how many in its entirety, surely it would, given what we know,

REINING IN ONLINE ABUSES 595

































Figure 1. The MD5 hash of this image is 78ba217bccd6e6b4d032e54213006928.


be a first step to disrupting the global distribution At a conceptual level, however, hashing has many
of CP. desirable properties: A signature is computation-
In collaboration with NCMEC and researchers ally efficient to extract; the signature is unique and
at Microsoft, we set out to develop technology that compact; and hashing completely sidesteps the diffi-
could quickly and reliably identify images from the cult task of content-based image analysis that would
NCMEC database of known CP images. At first be needed to recognize the presence of a person,
glance, this may seem like an easy problem to solve. determine the person’s age, and recognize the diffi-
Hard-hashing algorithms such as MD5 or SHA-1 cult-to-define concept of sexually explicit. Building
(2,3) can be used to extract from an image a unique on the basic framework of hard hashing, we sought to
compact alphanumeric signature (Figure 1). This develop a robust hashing algorithm that generates a
signature can then be compared against all uploads compact and distinct signature that is stable to simple
to an online service like Facebook or Twitter. In prac- modifications to an image, such as re-compression,
tice, however, this type of hard hash would not work resizing, color changes, and annotated text.
because most online services automatically modify Although I will not go into too much detail on the
all uploaded images. Facebook, for example, resizes, algorithmic specifics, I will provide a broad overview
recompresses, and strips metadata from every image. of the robust hashing algorithm—named Pho-
The result of these and similar modifications is that, toDNA—that we developed (see also (4,5)). Shown in
although the original and modified images are per- Figure 2 is an overview of the basic steps involved in
ceptually similar, the signature (hash) is completely extracting a robust hash. First, a full-resolution color
different. The reason is that hard hashing is designed image is converted to grayscale and downsized to a
to yield distinct signatures in light of any modification lower and fixed resolution of 400 × 400 pixels. This
to the underlying image. Hard hashing, therefore, is step reduces the processing complexity in subsequent
ineffective at matching images that are modified in steps, makes the robust hash invariant to image reso-
any way at the time of upload. lution, and eliminates high-frequency differences that

596 FARID














































Figure 2. The three basic processing steps of photoDNA: 1) convert a full-resolution color image (top) to grayscale and lower reso-
lution (bottom left); 2) use a high-pass filter to highlight salient image features (bottom center); and 3) partition the high-pass image
into quadrants from which basic statistical measurements are extracted to form the photoDNA hash (bottom right).

may result from compression artifacts. Next, a high- deployed photoDNA on their entire network. In 2011,
pass filter is applied to the reduced resolution image Twitter followed suit, while Google waited until 2016
to highlight the most informative parts of the image. to deploy. In addition to these titans of technology,
Then, the image is partitioned into non-overlapping photoDNA is now in worldwide deployment. In
quadrants from which basic statistical measurements 2016, with an NCMEC-supplied database of approx-
of the underlying content are extracted and packed imately 80,000 images, photoDNA was responsible
into a feature vector. Finally, we compute the similar- for removing over 10,000,000 CP images, without
ity of two hashes as the Euclidean distance between any disputed take-downs. This database could just as
two feature vectors, with distances below a specified easily be three orders of magnitude bigger, giving you
threshold qualifying as a match. Despite its simplicity, a sense of the massive scale of the global production
this robust-hashing algorithm has proved to be highly and distribution of CP.
accurate and computationally efficient to calculate. Child exploitation is, of course, not the only harm-
After a year and a half of development and test- ful content online. The internet has been a boon for
ing, photoDNA was launched in 2009 on Microsoft’s extremist groups, cybercriminals, and trolls. Since
SkyDrive and search engine Bing. In 2010, Facebook 2015, I have been thinking about how technology

REINING IN ONLINE ABUSES 597



like photoDNA can be deployed to mitigate some of There are, however, typically only small changes
the damage caused by these individuals and groups. between successive frames of a video leading to a
large amount of information redundancy in a video.
COUNTERING ONLINE EXTREMISM We can, therefore, reduce the complexity of analyzing
Over the past few years, our world leaders have a video by first reducing this redundancy.
expressed grave concern about how extremist groups We, conveniently, just described a mechanism
have harnessed the power of the internet to spread for measuring the similarity between two images—
hate and violence. In 2015, President Obama said, photoDNA. In addition to finding nearly identical
“The high-quality videos, the online magazines, the images, robust hashing can be used to find similar
use of social media, terrorist Twitter accounts—it’s images by controlling the threshold on the Euclidean
all designed to target today’s young people online, in metric for image similarity (as described in the previ-
cyberspace.” ous section). We start a video analysis by using robust
And in 2017, Prime Minister May’s office said, image hashing to eliminate redundant video frames
“The fight against terrorism and hate speech has to (this variant is a modified version of photoDNA that
be a joint one. The government and security services is slightly more computationally efficient and yields
are doing everything they can and it is clear that social slightly more compact hashes). This elimination of
media companies can and must do more.” redundant frames typically reduces the length of a
Since 2015, I have been working with the Counter video by approximately 75%. The image hash is then
Extremism Project (a non-governmental organiza- extracted from each of the remaining frames and
tion) to develop the next generation of robust hashing concatenated to yield a final video hash. Unlike the
technologies with the goal of eliminating the worst- image-based hashing that yields a fixed length hash,
of-the-worst extremism-related content, including a video hash can be of arbitrary length. This presents
content with explicit violence, explicit calls to vio- both a challenge and an opportunity for comparing
lence, and glorification of violence (each of which are two hashes.
violations of most terms of service—more on this in A Euclidean distance cannot, of course, be used to
the next section). compare two hashes of arbitrary length. Instead, we
Conceptually, eliminating extremism-related utilize the longest common substring (LCS) (not to
material can follow a similar model as eliminating CP: be confused with the longest common sub-sequence
Build a database of known harmful content, extract a algorithm) (6). By way of intuition, the LCS of the two
hash from each piece of material, and automatically strings “ABABACABBC” and “ABACABACBBCA”
screen all uploaded material against a database of is six because the longest common string shared by
hashes. Because extremism-related material tends to these strings is “ABACAB.” Note that these strings
come in the form of audio and video recordings, we also have the substring “BBC” in common, but this
had to generalize the image-based robust hashing to is shorter than the substring of length six. Given
be applicable to videos and audios. Although I will two strings of length m and n, the LCS can be found
not go into too much detail on the algorithmic specif- efficiently using dynamic programming with a run-
ics, I will provide a broad overview of the multimedia time complexity of O(mn). The advantage of using
robust hashing algorithm—named eGlyph—that we LCS to compare two hashes is that it allows us to find
have developed. not just matching videos but also video segments
The largest challenge with analyzing video is the that are extracted or video segments that are embed-
massive amount of data in even a short video: At 24 ded within a larger video (e.g., a video compilation).
frames per second, a three-minute video contains Running on a standard Linux machine, a Java-based
4,320 still images. At even a modest resolution of implementation of this robust video hashing requires
640 × 480 pixels per frame, a three-minute video approximately 10 ms to process a single video frame
contains over 1.3 billion pixels. The complexity of and approximately 2.5 ms to compare two hashes.
hashing a video, as compared to analyzing a single To improve the efficiency, we have implemented a
image, is at least three orders of magnitude larger. multi-core version of this algorithm that allows for

598 FARID



a video to be partitioned into an arbitrary number of Title 18, United States Code, defines child pornog-
short segments, each of which can be analyzed on a raphy as any visual depiction of sexually explicit
separate computer core. The individual results from conduct involving a minor (someone under 18
each segment are then combined to create a single years of age).
hash. With this approach, the rate-limiting step to While a person’s age is generally straightforward to
analyze any video is simply the number of computing determine, this determination is less straightforward
cores that are available. if that determination is based on a single image. The
definition of “sexually explicit” is also open to inter-
DISCUSSION pretation. When deploying photoDNA, we avoid the
The First Amendment of the U.S. Constitution complexity of classifying content whose legality might
reads as follows: “Congress shall make no law respect- be disputed by only adding content to the database
ing an establishment of religion, or prohibiting the that contains images of children under the age of 12
free exercise thereof; or abridging the freedom of involved in an explicit sexual act. Because children
speech, or of the press; or the right of the people under the age of 12 are typically prepubescent, there
peaceably to assemble, and to petition the Govern- is no disagreement that the child is under the age
ment for a redress of grievances.” of 18. And, because the images contain an explicit
Facebook’s terms of service, which all users agree sexual act, there is no disagreement of the legal stat-
to, reads in part: “You will not post content that: is ute of “sexually explicit.” This content—termed the
hate speech, threatening, or pornographic; incites worst-of-the-worst by former NCMEC CEO Ernie
violence; or contains nudity or graphic or gratuitous Allen—eliminates any ambiguity in the interpretation
violence. We can remove any content or information of the federal statute and ensures that photoDNA
you post on Facebook if we believe that it violates this eliminates only clearly illegal content.
Statement or our policies.” In the counter-extremism space, eGlyph faces
Because the First Amendment states that Congress similar challenges in classifying material. In building
“shall make no law…,” the restrictions imposed by a database of extremism-related content, we want to
Facebook (and virtually all online services) are not avoid any content that might be considered political
at odds with our Constitution. This does not mean, dissent or commentary or otherwise protected under
however, that we should not discuss the implications a company’s terms of service. Fortunately, Facebook,
of technology like photoDNA and eGlyph in the and most other internet-based terms of service,
context of encouraging and supporting an open and clearly specify that explicit violence or explicit calls
free internet. to violence are forbidden. Following the model of
The most common question that we have received eliminating the worst-of-the-worst, we populate the
during the development and deployment of pho- extremism-related database only with content that
toDNA and eGlyph is, “Who will decide what is and clearly and unambiguously falls into the categories
what is not CP and extremism-related material?,” of explicit violence or explicit calls to violence.
while the most common criticism has been, “This I take solace from the fact that some have argued
technology will eventually be misused to restrict pro- that this conservative approach to defining CP and
tected speech, political dissent, or unpopular ideas.” extremism-related content is not aggressive enough,
These are legitimate questions and concerns worthy while others have argued that it is too aggressive. We
of debate. should work to ensure an open and free internet that
Although it may seem that the definition of CP allows for an open exchange of ideas and for vigor-
should be straightforward, the federal statute is any- ous debate. At the same time, we must acknowledge
thing but (7): the real harm that is resulting from certain types of
content and do everything we can to eliminate this
Images of child pornography are not protected type of content from our online platforms.
under First Amendment rights, and are illegal It is important to understand that any tech-
contraband under federal law. Section 2256 of nology such as that which we have developed and

REINING IN ONLINE ABUSES 599



deployed can be misused. The underlying technology REFERENCES
is agnostic as to what it searches for and removes. 1. New York v. Ferber. (U.S. Supreme Ct. 458 U.S.
When deploying photoDNA and eGlyph, we have 747, 1982).
been exceedingly cautious to control its distribution 2. Rivest R. The MD5 message-digest algorithm.
through strict licensing arrangements. It is my hope Internet RFC 1321; 1992. http://people.csail.mit.
and expectation that this technology will not be used edu/rivest/Rivest-MD5.txt
to impinge on an open and free internet but to elim- 3. Eastlake DE, Jones PE. US Secure Hash Algo-
inate some of the worst and most heinous content rithm 1 (SHA1). Internet RFC 3174; 2001.
online. 4. Venkatesan R, Koon SM, Jakubowski MH,
Moulin P. Robust image hashing. In: Proceed-
ACKNOWLEDGMENTS ings 2000 International Conference on Image
Processing. International Conference on Image
Hany Farid is the Albert Bradley 1915 Third Processing 2000; 2000 Sep 10-13; Vancouver.
Century Professor and chair of computer science at IEEE; 2000. 3:664–666.
Dartmouth College. His research focuses on digital 5. Swaminathan A, Mao Y, Wu, M. Robust and
forensics, image analysis, and human perception. secure image hashing. IEEE Trans Inf Forensic
He is the chief technology officer and co-founder Secur. 2006;1(2):215–230.
of Fourandsix Technologies and a senior adviser to 6. Gusfield D. Algorithms on strings, trees and
the Counter Extremism Project. This work was sup- sequences: computer science and computational
ported by funding from Microsoft Corporation and biology. New York (NY): Cambridge University
the Counter Extremism Project. Press; 1997.
7. Sexual Exploitation and Other Abuse Of Chil-
dren Definitions for Chapter, Section 2256 of
Title 18, United States Code.



Technology and Innovation, Vol. 19, pp. 601-603, 2018 ISSN 1949-8241 • E-ISSN 1949-825X
Printed in the USA. All rights reserved. http://dx.doi.org/10.21300/19.3.2018.601
Copyright © 2018 National Academy of Inventors. www.technologyandinnovation.org









ENTREPRENEURSHIP AND COMMERCIALIZATION
AT UNIVERSITIES: A FACULTY PERSPECTIVE



Amy Phillips , Paul Tumarkin , and Nasser Peyghambarian
2
1
1,2
1 Tech Launch Arizona, University of Arizona, Tucson, AZ, USA
2 College of Optical Sciences, University of Arizona, Tucson, AZ, USA
This paper discusses entrepreneurial and commercialization activities at universities from
the personal experience of Nasser Peyghambarian, an inventor on 32 patents and founder
of two start-up companies. In his twenty years leading start-ups, he has experienced both
the challenges and the rewards of working through the technology transfer process within a
university environment, beginning in the 1990s when universities had just begun engaging in
commercializing inventions stemming from research.
Key words: Entrepreneurship; Commercialization; Technology transfer; Venture capital;
Universities





As a named inventor on 32 patents and the founder UNIVERSITY ENTREPRENEURSHIP AND
of two high-tech companies, I have fully experienced COMMERCIALIZATION: THE POSITIVE
the challenges of technology transfer of research- University research is crucial for solving real-
based inventions into commercial products. On world problems. To test new drugs and treatments for
the one hand, it is a fantastic feeling to create value efficacy or new scientific hypotheses for validation,
beyond the initial university research, leading to the researchers continually devise novel instruments,
development of new products or services to improve software, and processes. In doing so, they often find
people’s lives. On the other hand, the process can be that their inventions have far broader applications
significantly challenging to the point of disappoint- than the particular problem they would like to
ment and a desire to simply quit. Although this is solve. Technology transfer allows the researcher to
only one person’s experience at the beginning of tech- move these inventions into real world applications
nology transfer efforts in a university environment, by assessing the true novelty of the work regarding
nonetheless, it can be instructive to other inventors patentability, evaluating the commercial potential for
who are just starting their journeys. the work, and finding the right business partner to



_____________________
Accepted: October 15, 2017.
Address correspondence to Amy Phillips, College of Optical Sciences, 1630 E. University Blvd., Tucson, AZ 85721, USA. Tel: +1 (520) 626-1698.
E-mail: [email protected]


601

602 PHILLIPS ET AL.



license the work and take it into production for the patents we had received. The licensing process at
benefit of the public. UA at that time was not very friendly, and it took
Technology transfer at universities is an effective many meetings and negotiations to come up with
mechanism to transfer university research to the an agreement. We were lucky that we had a great
outside world where it can generate wealth. But the vice president of research who understood the spirit
deeper goal for a university is to fuel the economy and of entrepreneurship and its value for the university.
turn innovative research outcomes into a benefit for He was instrumental in addressing some of the
the public. In fact, small businesses are responsible remaining issues that finally resulted in the licensing
for approximately 45% of the non-farm gross domes- agreement.
tic product, resulting in job creation and reduced The telecom market was very active at that time,
unemployment. I very much wanted to be a part of and several angel investors expressed interest in
that positive effort. funding our project. For the first two years, with the
My commercialization journey started in 1982 support of their funding and some government sup-
when I moved to Tucson, Arizona, and began work- port (SBIR, STTR), we selected the fiber technology.
ing as a postdoc at the University of Arizona (UA). As is typical, after our funding through angel sources
By 1985, I was working on a project related to opti- ran out, we approached venture capital (VC) firms
cal switching, and I wanted to start a company to who were interested in the fiber amplifiers – a hot
commercialize it. Back in 1985, I arranged to meet field at the time. We received six term sheets from
the university provost and get permission for my prospective VC firms, a sign of serious interest. Series
start-up plan. He was not positive and said, “You have A funding came in December 2000 at $22.5 million,
to decide whether you want to be a professor or have and the subsequent Series B in 2002 at $9 million.
a start-up company.” This was just a few years after I started at 100% ownership, and in 5 years, I was
the Bayh-Dole act of 1980, and UA was not yet fully down to less than 5%. NPP’s focus was on making
supportive of technology transfer for faculty-based very small size amplifiers with a few centimeters of
start-ups. So, I abandoned the idea and went back fiber. At the time, comparable products on the market
to the lab. required a few hundred meters of fiber for the same
Fast-forward 13 years later: There was a new amount of amplification. Our product worked with
provost, and the attitude of the universities and the less fiber because of our new glass-making invention.
legislators was changing due to the great commercial We agreed with a large laser company (Spectra Phys-
and economic success of the Bay Area and Route ics) for them to provide the pump diodes and for NPP
128 in Boston. I planned to create a small credit to make the glass and fibers. This effort resulted in
card-sized amplifier for telecommunications (tele- the creation of a credit card-sized optical amplifier.
com) use. We were pursuing two approaches, one However, the telecom market crashed in 2001, and
with fiber technology and the other with integrated overnight the company had to change and become
optics technology, and for each approach, we had a fiber laser company.
patent protection. So I tried again, and this time the I left the company management team in 2002 and
university was fully supportive. The process was in went back to UA after hiring several professionals
place, and the paperwork was starting to flow. My to run the business. These were people with many
application went all the way to the Arizona Board years of experience running laser companies such as
of Regents, who gave NP Photonics, Inc. (NPP), Coherent and Spectra Physics. The company went
approval to license the indicated UA technologies through several years of product manufacturing and
and permitted me to have a start-up while also being started to build a product portfolio during those
a faculty member. years. I served as a scientific advisor for the company
Subsequently, I got together with three of my and chairman of the board during this period. In
friends and co-workers and established our first 2011, I resigned as the chairman of the board and
start-up company. We asked the university to allow scientific advisor due to a disagreement with the new
our company to license the technology based on CEO.

ENTREPRENEURSHIP & COMMERCIALIZATION AT UNIVERSITIES 603



ENTREPRENEURSHIP AT UNIVERSITIES: don’t seem aligned. These issues make the process
THE NEGATIVE frustrating and can lead to a contentious relation-
Although UA has become much more supportive ship with COI staff, so these conflicts also need to
of technology transfer and UA start-up companies, be managed. All of this can lead you to question if
the challenge remains of dealing with the con- starting your own company is worthwhile, which is
flict-of-interest (COI) protocols. Ultimately, a UA unfortunate.
employee must file for permission to start a com- To UA’s credit, they are listening to people like
pany that licenses the employee’s work. Of course, the me and trying to streamline the process to the extent
license is a must to secure funding from investors, possible. The promise at the moment is to allow var-
which is a crucial step. The university wants to know ious electronic forms to update each other online
as new technologies are licensed or new research
all the possible ways in which the licensing might grants are awarded. In the meantime, UA converted
present a conflict with faculty obligations. its traditional technology transfer office into Tech
UA has multiple ways of identifying and managing Launch Arizona (TLA), greatly expanding its scope of
COI between an employee’s university responsibilities services and vision for creating social and economic
and company responsibilities. The touch points are impact from technology commercialization. As a
financial interests, use of students or postdocs in the result, I am preparing to license more UA inventions
company, sharing or loaning of equipment and space, to my second company, TIPD, LLC to pursue research
and management of projects that may be contracted and development of augmented reality and virtual
from the company to the UA or vice versa. Mostly, reality devices and systems.
they want to help faculty manage the conflicts of Is it worth it in the end? No matter who is helping
commitment of time and effort to non-university with the start-up, there is no way around the fact that
activities that may adversely affect university-re- it is hard work, requiring lots of late nights, weekends
lated obligations by understanding the distribution working and traveling, with not much time left for
of faculty effort among research, teaching, committee the family. But I have found the excitement of cre-
responsibilities, and outside consulting or start-up ating and placing my products into the marketplace
work. It is difficult to do both jobs well when both to be very energizing. Within the College of Optical
require a full-time effort. This is why I took a leave Science at UA, we have also seen several examples
of absence early on to establish the start-up. of faculty and students who have become successful
UA developed its COI management plan with multimillionaires through their start-up activities.
my input as well as that of its staff and the institu- Although I stepped away from NPP in 2011, my
tional review board. It takes time and effort, lots of passion for the company never waned, and I have
forms, and many meetings, so the process is very since purchased back the company. Today, I am lead-
cumbersome and slow. The time and effort it takes ing its resurgence with a broader range of products.
to manage COI means you have less time to focus on The company now has several thousand lasers in the
other important issues, such as research. The process field. To succeed, I have devised cash and product
of working with COI and technology transfer can management plans with an eye on the market size
feel redundant, and their goals and ours sometimes and demand.



Technology and Innovation, Vol. 19, pp. 605-611, 2018 ISSN 1949-8241 • E-ISSN 1949-825X
Printed in the USA. All rights reserved. http://dx.doi.org/10.21300/19.3.2018.605
Copyright © 2018 National Academy of Inventors. www.technologyandinnovation.org






RETINAL PROSTHESES: THE ARGUS SYSTEM


Tai-Chi Lin 1,2,3,4 , Lan Yue , and Mark S. Humayun 1,2
1,2
1 Department of Ophthalmology, USC Roski Eye Institute, University of Southern California, Los Angeles, CA, USA
USC Institute for Biomedical Therapeutics, University of Southern California, Los Angeles, CA, USA
2
3 Department of Ophthalmology, Taipei Veterans General Hospital, Taipei, Taiwan, Republic of China
4 Institute of Clinical Medicine, National Yang-Ming University, Taipei, Taiwan, Republic of China

In the late 1990s, Humayun et al. demonstrated intraoperative retinal stimulations from a
multi-electrode array in blind volunteers with little or no light perception. The participants
reported electrically-elicited visual perception in the visual field that corresponded well to
the retinotopic area of stimulation. The subjects exhibited ability to discriminate two separate
stimulation sites and to track perception as the electrode moved across the retina. In another
proof-of-concept trial, Rizzo et al. demonstrated reproducible visual perception with electrical
stimulations of retina in retinitis pigmentosa (RP) patients. With these and other important
pilot studies, two generations of the Argus epiretinal prostheses (Argus I and Argus II), which
function by stimulating the remaining inner retinal neurons in patients with advanced retinal
degeneration, were developed. The basic operations of the Argus series systems are similar,
both consisting of a miniature camera, an external video processing unit, extraocular electron-
ics, and an intraocular electrode array implant. Visual information gathered by the camera is
transformed into controlled patterns of electrical pulses, which are delivered to the surviving
retinal neurons by the electrode array. Results from clinical studies showed that Argus systems
offer opportunities to restore meaningful vision to the patients. In the review, we will focus
on the technical and operational features as well as functional outcomes of the Argus system.

Key words: Argus; Retinal prosthesis; Epiretinal prosthesis; Retinitis pigmentosa



Artificial sight is restoring sight by electrical stim- complex visual processing that occurs downstream
ulation of the visual system. Ancient Greeks were of the retina. As such, the development of cortical
aware of the light perception that is elicited, in the visual prosthesis has been slow to gain more momen-
absence of visual input, by applying mechanical pres- tum. Rather, recent efforts have been largely focused
sure on the eyeball (1). In 1960s, Brindley and Lewin on the development of implants that are placed in
implanted an array of radio receivers connected to proximity of the retina for easier accessibility, lower
electrodes onto the visual cortex of a blind person and surgical risks, well-preserved retinotopic mapping,
showed that short electrical pulses induced sensations and the ability to make use of the remaining retinal
of light in the form of points, spots, and bars of light circuitry for signal processing (3).
(2). However, surgical implantation in the cortex is Although the idea of retinal stimulation was pat-
challenging, and it is difficult to map the visual input ented as early as 1956 (4), it was not until the early
directly to electrical output of the visual cortex due to studies (5,6) demonstrating the feasibility of using
_____________________
Accepted: October 15, 2017.
Address correspondence to Mark S. Humayun, M.D., Ph.D., University of Southern California, 1450 San Pablo Street, Room 6545B, Los Angeles,
California 90033, USA. Tel: +1 (323) 865-3092; Fax: +1 (323) 865-0858. Email: [email protected]


605

606 LIN ET AL.



a multi-electrode array placed adjacent to the ret- the diffused and/or distorted visual percepts due to
ina to elicit visual percepts that the field of retinal undesired activation of the axons of passage (7). As
prostheses started to advance rapidly (7). Different an epiretinal implant, both Argus I and II require
retinal prostheses products and prototypes have surgical fixation of an electrode array to the retinal
since been developed and tested in humans, among surface with a retinal tack. The array is designed
which two devices have received regulatory approval to conform to the curvature of the inner retina to
for clinical use. Argus II epiretinal implant (Second maintain a consistent distance between the electrodes
Sight Medical Products, Sylmar, California) received and the retina for optimized stimulation.
both European Union approval (CE mark) and the The Argus systems contain a miniature camera
US Food and Drug Administration (FDA) market mounted on a pair of glasses, an external video pro-
approval in 2011 and 2013, respectively. Alpha-IMS cessing unit (VPU) worn by the user (Figure1), and
(Retina Implant AG, Germany) received CE mark extraocular electronics and an intraocular electrode
approval in 2013. array that are interconnected via a transscleral cable
Retinal degeneration that involves progressive (Figure 2). The camera captures visual scenes and
deterioration and loss of function of photorecep- sends the information to the VPU for advanced pix-
tors is a major cause of permanent vision loss (8,9). ilation and processing. The extraocular electronics,
Age-related macular degeneration (AMD) and RP are along with the receiver coil, converts the radio fre-
two of the more prevalent forms (10). AMD affects quency signals it receives wirelessly from the VPU to
30 to 50 million people globally and more than two the electrical pulses. Stimulation pulses proportional
million in the United States (11,12), and RP is esti- to the luminance of the pixelated images are subse-
mated to affect 1.5 million people in the world (13). quently delivered to the intraocular electrode array,
The etiology of AMD begins by primarily affecting which is attached to the retina.
cone photoreceptors in the macula. RP begins with
progressive degeneration of rod photoreceptors in the
peripheral retina. Preservation of the inner retina in
these photoreceptor degenerative diseases has been
widely reported (14,15), supporting the possibility
of vision restoration by establishing a stimulation
mechanism that bypasses the damaged photoreceptor
layer and interfaces with the surviving inner retinal
neurons that remain capable of neural signaling (7).
Retinal implants interface with the retina at dif-
ferent positions (16). For example, Argus I and II are Figure 1. External part of the Argus system (Image courtesy of
implanted epiretinally and alpha-IMS subretinally. Second Sight Medical Products, Inc.)
Epiretinal implantation has the following advantages.
First, the prosthesis contacts the retina on the inner
surface that is accessible from the vitreous cavity,
which reduces the risk of mechanical damage to the
retina. Second, besides choroidal perfusion, fluid in
the vitreous cavity serves as an additional heat sink
that enhances the removal of the heat generated by
the implant. Finally, the device directly stimulates
ganglion cells, thus being potentially useful in cases
of extended retinal degeneration where inner retina
circuitry is altered. The disadvantages of the epiretinal
prostheses include the difficulty of fixating the elec- Figure 2. Implant part of the Argus system (Image courtesy of
trode array uniformly onto the retina and potentially Second Sight Medical Products, Inc.)

ARGUS SYSTEM 607



Argus I was the first-generation epiretinal pros- NCT00407602). They ranged from 28 to 77 years old,
thesis approved for an investigational clinical trial and all had little to no light perception in both eyes.
by the FDA. The Argus I had a microarray of 16 Twenty-nine patients had a diagnosis of RP, and one
electrodes in a 4 x 4 arrangement (Figure 3) and was was diagnosed with choroideremia. Among these
implanted by one of us (MSH) in six subjects blinded 30 devices, 29 remain implanted and functional to
by RP. All subjects perceived light when the device date, while only one was explanted, with the latter
was activated, and they could perform visual spatial being due to recurrent conjunctival erosion rather
and motion tasks after a short period of training. than device failure. All subjects were able to perceive
The long term safety and effectiveness of Argus I light during electrical stimulation. Serious adverse
was observed, and ophthalmic images showed a sta- events (SAEs) were reported in 11 patients during
ble physical retina-implant interface after long-term the first three years and in only one patient between
stimulation up to a decade despite the formation of years three and five. The most common SAEs were
some fibrotic tissues around the tack in the early hypotony, conjunctival dehiscence, erosion over the
months after the surgery (17). The results of Argus extraocular portion of the implant, and presumable
I motivated the development of the more advanced endophthalmitis (culture negative). Most SAEs (61%)
Argus II system. occurred within six months of implantation, and
three patients accounted for over 55% of SAEs at year
three. Two patients needed retacking of the array to
the retina one week after implantation (20).















Figure 3. Electrode array of the Argus I implant (Image reprinted
from Caspi et al.)(18).
The Argus II implant consists of an array of 60 Figure 4. Electrode array of the Argus II implant (Image courtesy
electrodes arranged in a 6 x 10 grid (Figure 4), cov- of Second Sight Medical Products, Inc.)
ering a visual angle of approximately 20 (18,19).
o
The procedure of Argus II implantation requires a Since the camera of Argus II is mounted at the
360 limbal conjunctival peritomy and placement center of the glasses frame, but not in the eye, the
o
of an encircling scleral band, which secures the association between the visual scene and the eye
hermetic electronics enclosure and the episcleral movement as in normally sighted people no longer
radio frequency antenna. After performing pars exists. To compensate, the subjects were trained to
plana vitrectomy, including shaving of the vitreous keep the gaze ahead and use head movement to scan
base to allow insertion of the electrode array with- the visual scene. All subjects adapted after a short
out vitreous traction, the electrode array is inserted period of training (21). Vision restoration of Argus II
and fixed onto the inner retinal surface with a single was assessed by the patients’ performance in visually
retinal tack. The extraocular portion of the cable is guided tasks when the system was turned on ver-
anchored to the sclera with sutures. Between 2007 sus off. The standard clinical visual function tests of
and 2009, 30 subjects received the Argus II implant Argus II include high contrast computer-based target
in both the U.S. and Europe (www.clinicaltrials.gov- localization, motion detection, and grating visual

608 LIN ET AL.



acuity. At year three, with the facilitation of the Argus the visual experience of the patients, enabling faster
II system, 25 of 28 patients (89.3%) performed better and more accurate object identification and visual
in square localization, 15 of 27 patients performed scene segmentation. Therefore, it is of tremendous
better in the detection of the direction of motion, and interest to further understand the electrically-elicited
one-third of the patients had the grating visual acuity color perception in Argus II patients in pursuit of the
measured at 2.9 LogMAR or better, averaging at 2.5 goal to restore color vision in the blind.
LogMAR (21). LogMAR, as a measure of the subject’s In 2015, surgery of Argus II implantation was
ability to resolve details as small as one minute of performed for the first time in a dry AMD patient
visual angle, can be calculated by taking the base-10 in Manchester, UK. This phase I clinical trial aimed
logarithm of the reversal of Snellen acuity; for exam- to evaluate the safety and efficacy of Argus II in
ple, a 20/20 vision corresponds to 0 LogMAR and a late-stage AMD. The implant partially restored the
20/200 vision to 1 LogMAR. To put these visual acuity patient’s central vision, enabling him to “see the
measurements into perspective, it’s worth noting that outline of people and objects” and “walk around
a person able to count fingers at two feet is considered and see things.” This study, despite being at an early
to have 20/2000 vision or 2.0 LogMAR. One patient phase, suggests that the central vision restored by
achieved a grating acuity of 20/1,262 (1.8 LogMAR), the Argus II and similar prostheses may integrate
roughly matching the acuity theoretically achievable with the patient’s remnant peripheral vision and act
at the Argus II electrode density (19). Additionally, synergistically to enhance the visual experience of
the implant provides functional vision and long-term the advanced AMD patients (7).
benefits to the orientation and mobility of the patients Overall, as the first retinal implant with regulatory
in more real-life-like settings, such as finding a door approval, Argus II offers exciting opportunities to
and following a line on the floor (7). study prosthetic vision in a relatively large cohort of
In addition to standard clinical tests, laborato- patients. Results from clinical studies provide strong
ry-based exploration of Argus II-produced prosthetic evidence that this epiretinal electronic implant is
vision was carried out in subsets of the subjects. In effective in restoring meaningful vision to patients
a study, eleven subjects demonstrated the ability to blinded by photoreceptor degeneration. To date,
identify high contrast shapes (22). In another study, nearly 300 patients have been implanted with Argus
letter recognition was evaluated. The results showed II worldwide.
that 70% of the patients were able to recognize letters Despite the encouraging results summarized
with horizontal and/or vertical components only. Half above, the Argus II implant, containing only 60
of the subjects could recognize letters that had oblique electrodes (i.e., 60 pixels), is not able to restore high
or curved components (23). Luo et al. conducted acuity vision. Further improvement in the spatial
studies to evaluate the ability to identify common resolution demands advanced microelectronic and
objects from 2D to 3D under high contrast settings hermetic packaging technologies that would allow for
in seven subjects (24,25). Overall, subjects with the a higher electrode density on the chip. Furthermore,
implant activated exhibited improved performance, improvement in the power and data management is
and the improvement is largely dependent on the con- needed to permit sufficient power supply and rapid
trast at the edge. Recently, it has been reported that data transmission to the implant while keeping heat
up to nine different colors can be elicited depending generation under check. Finally, novel design and
on the stimulation parameters. The most prominent implantation techniques that can hold the electrode
colors are white, yellow, and blue (26). Perception of array in closer proximity to the retina are desirable
different colors could be elicited from the same retinal for increased stimulation efficiency (3).
area with different parameters, and the subjects could The past decade has witnessed the rapid growth in
simultaneously perceive two distinct colors at two retinal prostheses. It should be noted that, in addition
retinal locations (27). Color information, if success- to Argus II and other epiretinal implants, subret-
fully integrated into the prosthetic vision by being inal and suprachoroidal implants have also made
encoded in electrical pulses, will significantly enhance tremendous progress. Among others, Alpha-IMS,

ARGUS SYSTEM 609



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