Packard Fellowships for Science & Engineering 1989 Fellows (Nominee Write-ups)

DAVID and LUCILE PACKA1RD FELLOWSHIPS 1989 3 FOR SCIENCE AND ENGINEERING Statement by Nominee Name of Nominee Spon...

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DAVID and LUCILE

PACKA1RD FELLOWSHIPS

1989

3

FOR SCIENCE AND ENGINEERING

Statement by Nominee Name of Nominee Sponsoring lnshfturon

Elser.

Ve-it last/first/middle Intal

~R

(1Q79)

Ph- I4LqR4)

degrees

Cornell University name

My first impulse, when Cornell asked me to fill out the Nominee's form was to declare: 'Yes, I still own my Hewlett-Packard 35." I still recall the excitement I felt as a high school student when a friend phoned to tell me that his father had brought one of these now classic pocket calculators home from work. I hope I am not straining an analogy when I compare the excitement elicited by that calculator with the excitement experienced by a new assistant professor confronted with the potentially limitless research possibilities at Cornell. The two are really very similar. With the calculator, a whole class of strange functions (such as xx) could suddenly be graphed! At Cornell, with its vast numbers of talented and enthusiastic graduate students, research projects that would have overwhelmed me as a sole investigator at Bell Labs are now within reach. This analogy unfortunately crumbles when the financial dimension is included. Graduate students, postdocs and computer terminals are expensive. This application for a Packard fellowship could significantly expand my present rather limited resources (Sloan and PYI). Since this financial situation probably does not distinguish my application from most others, I will use the rest of this statement to outline the research program that a Packard fellowship would help me pursue. I. Structure of Quasicrystals. Quasicrystals are unique among solid forms of matter. They are highly ordered and yet not periodic. Although there have been numerous theoretical studies of their general properties, almost nothing is known about their atomic structure. The problem of determining quasicrystal structure is in some ways similar to that of determining the structure of complex proteins: a set of building blocks has to be identified which can be assembled into a three dimensional structure in a limited number of ways. A small step toward solving the structure of quasicrystals was made by Guyot and Audier at Grenoble and also by Chris Henley (who will be joining the Cornell faculty next year) and myself in 1985. It was discovered that certain complex but periodic crystals seem to fit the role of "Rosetta stones": translational aids between the unknown structure of quasicrystals and the known but apparently related structure of specific periodic crystals. There are now several candidates for the building blocks of quasicrystals but a serious effort to model the full three dimensional structure has not yet been attempted. Recent advances in the quality of laboratory samples and the quality of diffraction data now make it appear that a solution of the structure problem may be within reach. Two or three graduate students and a postdoc is the sort of personpower that could be expected to produce results within a three-year period. A color graphics terminal would be a great asset to the modeling process. The hope is that the successful determination of a quasicrystal structure will be rewarded by an answer to the question: 'Why do certain intermetallic compounds choose this strange form of solid order?" II. Many Fermilon Ground States. Condensed matter physicists frequently resort to simulations when it is impossible otherwise to calculate the behavior of many interacting particles. In the case of many fermions, however, simulations have proven to be extremely difficult, because of the fermionic minus sign. This manifests itself in most quantum simulation techniques as follows: Two ensembles having opposite permutation parity are independently simulated and a physical observable emerges as the difference of

TIIEDAVIDANDLUCILEPACKARDFOUNDATION

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DAVID and LUCILE

PACKARD FELLOWSHIPS

1989

3a

FOR SCIENCE AND ENGINEERING

Statement by Nominee Name of Nominee

Elser.

Veit

ilst/first/middle inmal

measurements performed on the two ensembles. This 'subtraction problem" is especially serious for the ground state since the desired difference is known to vanish exponentially at low temperatures. The inability to simulate with minus signs explains to some extent our very poor understanding of the simplest of all models of correlated electrons, the Hubbard model. It is believed that for suitable values of its parameters the Hubbard model exhibits antiferromagnetism, itinerant ferromagnetism and even superconductivity. I propose a two-pronged attack on the problem of fermionic minus signs. One can either hope to beat them or if need be, learn to live with them intelligently. The former attitude is addressed in a paper I wrote in 1986 where I describe a simulation technique that avoids the subtraction problem. Critics may contend that a new difficulty encountered by my method, namely that of enforcing the condition of uniform permutation parity on my particle configurations, makes my method ultimately as difficult as the subtraction approach. However, difficulty in the abstract and in terms of efficiency of implementation on digital computers can be two different things. I am eager to apply the new method, originally formulated for continuum problems, to the Hubbard model. The second approach, learning to live with minus signs, is already being practiced by my first graduate student Anthony Basile. Our goal is to put together a reasonable representation of the ground state wavefunction of the infinite-U Hubbard model. This is a minus sign problem in its purest form where success is measured by our ability to predict just the sign of the wavefunction. We hope to learn minus sign "strategies" from computer studies of small systems and use these to write down an accurate variational wavefunction. Helium Physics. With the exception of quasicrystals, the area of experimental physics I find most stimulating is low temperature helium physics. In the last two years I have been interested in the spectroscopy of impurities in superfluid 4He. Because of the low density of excitations at low temperatures an impurity in 4He behaves in many ways like a molecule in free space. The new effects can be obvious (deexcitation of excited states by emission of phonons) or subtle (rotational-translational coupling by the superfluid). My most recent activity in this area, stimulated by experimentalists here at Cornell, has been to calculate the luminescence properties of electron bubbles in 'He. Another area of helium physics that has very recently excited me is the structure and nuclear magnetism of low coverage 3 He films. Greywall at Bell Labs has obtained evidence of a second layer solid phase which displays unusual nuclear spin ordering behavior at low millikelvin temperatures. Earlier this year I proposed a Vd x /7 structure and an exchange Hamiltonian for the second layer which appear to be able to explain the strange nuclear magnetism. Another student, Qing Sheng, is extending my studies of the exchange Hamiltonian to make predictions about a new, as yet unexplored magnetic phase at even lower temperatures.

mI.

Signature

name

THEDAVIDANDLUCILEPACKARDFOUNDATION

May 23. 198g date

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DAVID and LUCILE

PACKARD FELLOWSHIPS

1989

4

FOR SCIENCE AND ENGINEERING

Curriculum Vitae of the Nominee Name of Nominee Department Sponsoring Institution Address

lost/first/middle Initial

(607)295-234n

Elser, Veit

telephone (Include area code)

name

U Corne11 lnierscity

-

-

name

Laboratory of Atomic and Solid State Physics number and street

Ithaca, New York 14853-2501

5?4 Clnrk Hn11 city and state/zip code

Date and place of birth Education (begin with baccalaureate).

08/15/57

West Germany

Stuttgart

month/doy/year

state

city

Institution

California Institute of Technology field

degree and year conferred

B.S.

Phvsics

(1979)

Institution

University of California, Berkeley field

degree and year conferred

Ph.D.

Phvqicr'

(1984)

Institution field

degree and year conferred

Positions held (begin with present position). employer

Department of Physics address

July 1988 - present

Cornell University

dates

title

Asic-tunrt Prnfqoqnr employer

AT&T Bell Laboratories address

600 Mountain Avenue. Murr;y A1ill, N.T

title

Member of Terhnirnl

das

dates

7IR

Rtnff

employer

AT&T Bell Laboratories address

600 Mountain Avenue,

Murray Hill,

N.T

lI

Ldat dates

title

Postdoctoral Member of Technical Staff TIIEDAVIDANDLUCILEPACKARDFOUNDATION

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DAVID and LUCILE

PACKARD FEALLOWVSHIPS FOR SCIENCE AND ENGINEERING

1989

4a

Curriculum Vitae (continued) Name of Nominee

Elser, Veit losti/first/middle Iniiial

Other

Honors

Sloan Foundation Fellowship (1989) Presidential Young Investigator Award (1989) William L. McMillan Prize (1988) Tau Beta Pi Caltech Prize Scholarships (1q77 and 1q78) Thomas J. Watson Scholarship (1975) National Merit Finalist (1975)

TliEDAVIDANDLUCILEPACKARDFOUNDATION

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DAVID and LUCILE

PACKAR D FELLOWVSHIPS

:1989

FOR SCIENCE AND ENGINEERING

4b

List of Publications Nome of Nominee

Publications Instructions

Elser, Veit last/first/middle Intial Ust only complete articles published or In press. Do not list presentations or abstracts. Use addilional sheets If necessary.

1. "A Model for the Pseudorotation of Cycloheptane," H. L. Strauss and V. Elser, Chem. Phys. Lett. 96, 276 (1983). 2. 'Solution of the Dimer Problem on a Hexagonal Lattice, with Boundary," J. Phys. A 17, 1509 (1984). 3. 'Gaussian-Cluster Models of Percolation and Self-Avoiding Walks," J. Phys. A 17, 1515 (1984). 4. "The Equilibrium Shape of Crystal Edges," J. Phys. A 18, 857 (1985). 5. 'Comment on 'Quasicrystals: A New Class of Ordered Structures'," Phys. Rev. Lett. 54, 1730 (1985). 6. "Indexing Problems in Quasicrystal Diffraction," Phys. Rev. B 32, 4892 (1985). 7. "Crystal and Quasicrystal Structures in Al-Mn-Si Alloys," C. L. Henley and V. Elser, Phys. Rev. Lett. 55, 2883 (1985). 8. "The Diffraction Pattern of Projected Structures," Acta Cryst. A 42, 36-43 (1986). 9. "Quasicrystal Structure of (Al,Zn)4 9Mg 3 2 , C. L. Henley and V. Elser, Philos. Mag. B 53, L59-L66 (1986). 10. "Eliminating the Minus-Sign in Monte Carlo Simulations in Fermions, Phys. Rev. A 34, 2293 (1986). 11. T 2 -AlLiCu: A Stable Icosahedral Phase?," M. A. Marcus and V. Elser, Philos. Mag. B 54, L101-104 (1986). 12. "Icosahedral C60 : An Aromatic Molecule with a Vanishingly Small Ring Current Magnetic i

i 1

susceptibility," V. hiser an(I It. U. tia(lclon, INature zzb, 'IV:&-'1V4 (M51).

13. "The Magnetic Behavior of Icosahedral C60 ," V. Elser and R. C. Haddon, Phys. Rev. A 36, 4579 (1987).

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14. 'The Growth of Quasicrystals," in Proceedings of XV International Colloquium on Group Theoretical Methods in Physics, Vol. 1, R. Gilmore and D. H. Feng, eds. (World Scientific Press, Singapore, 1987). 15. 'X-ray Diffraction Study of Phason Strain Field in Oriented Icosahedral Al-Mn," J. D. Budai, J. Z. Tischler, A. Habenschuss, G. E. Ice and V. Elser, Phys. Rev. Lett. 58, 2304 (1987). 16. "A Highly Symmetric Four-Dimensional Quasicrystal," N.J.A. Sloane and V. Elser, J. Phys. A 2016161 (1987). 17. "Spinning 'Snowballs' in Superfluid 61, 177 (1988).

4 He,"

V. Elser and P. M. Platzman, Phys. Rev. Lett.

18. "Simple Variational Wave Functions for Two-Dimensional Heisenberg Spin-21 Antiferromagnets," D. A. Huse and V. Elser, Phys. Rev. Lett. 60, 2531 (1988). 19. "Strain Accumulation in Quasicrystalline Solids,' F. Noir, M. Ronchetti and V. Elser, Phys. Rev. Lett. 61, 2774 (1988).

20. "The Growth of Icosahedral Phase," in Aperiodicity and Order 3: Icosahedral Structures (Academic Press, Inc., 1989), p. 105.

21. 'The Growth of Icosahedral Phase," in Fractals, Quasicrystals, Chaos, Knots and Algebraic Quantum Mechanics, A. Amann, L. Cederbaum and W. Gans, ed. (Kluwer Academic Publishers, 1988), 121-138. 22- "Nuclear Antiferromagnetism in a Registered 3He Solid," Phys. Rev. Lett. 62, 2405 (1989).

DAVID and LUCILE

PACKAR D FELLOWSHIPS

:1989

3

FOR SCIENCE AND ENGINEERING

I

Statement by Nominee Name of Nominee

Arnold,

Frances H.

last/first/mIddle Initial

B.S., Mechanical Engineering Ph.D., Chemical Engineering degrees

California Institute of Technology Sponsoringinshtu'ton

name

The impressive array of exquisitely selective catalysts developed by living systems are the envy of chemists and the chemical industry. However, those who wish to use biological systems to these materials devise clean alternatives to conventional chemistry face a significant barrier: have evolved for the survival benefit of the organism and often do not exhibit the features The I believe this barrier can be overcome. essential to an effective industrial process. code and alter the genetic revolution in molecular biology has given us the ability to re-program evolution molecular the directing are we engineering, With genetic the compositions of proteins. technology. of requirements the of proteins away from survival and towards My motivation for applying these techniques to problems in chemical engineering arises from three considerations: 1) the protein properties important in biotechnology (separations, biocatalysis, molecular recognition, stability, etc.) are dictated by the protein's amino acid sequence, 2) techniques for altering amino acid sequence at the genetic level are well-developed, and 3) nature has not paid much heed to engineering requirements--mutations have been tested This third point is extremely important. for survival benefit, not for process requirements. on properties which proteins have evolved improve to difficult it is that shown has Experience have already reached "perfection" in enzymes many example, For pressure. selective under Unfortunately, this activity is often lost under catalytic potential in their natural environments. conditions experienced during processing and utilization in vitro. I am convinced that a solution to this dilemma can be found through protein engineering-This is feasible the molecular re-design of proteins to reflect the demands of biotechnology. because the amino acids implicated in biological activity are often different from the ones that stabilize folded, active structures and determine how a protein will behave when used outside the We know there is considerable flexibility in substituting non-essential natural environment. amino acids in proteins and, therefore, that proteins can be engineered to exhibit improved stability or new and useful physical properties, in addition to their attractive natural functions. A significant part of my research is focused on the design of synthetic metal-binding The proteins and new techniques for utilizing metals in recognition and purification of proteins. As a surface properties of proteins determine their behavior during separation and purification. result, the challenges faced in purifying complex protein mixtures can be addressed by using For example, simple amino protein engineering methods to alter surface amino acid composition. acid configurations, such as His-X-X-X-His in an alpha helix, are known to provide strong binding We have engineered this particular arrangement into the sites for divalent transition metals. The resulting engineered molecule indeed exhibits a strong affinity foi surface of a yeast protein. We hope to metals and for the metal chelates we are constructing for protein purifications. demonstrate the wide applicability of these synthetic metal-binding functions in simple, efficient Eventually we would like to use protein purification schemes for recombinant proteins. engineering to build protein-based recognition agents for metal detection and recovery. As a complement to the engineering of proteins, my group has synthesized a variety of metal-chelating polymers that are effective in the recognition and isolation of proteins with Based on the ability of these materials to bind particular proteins metal-coordinating amino acids. selectively, we have developed two new purification schemes, metal affinity aqueous two-phase

TIIEDAVIDANDLUCILEPACKARDFOUNDATION

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94022 . 415-948-7658

DAVID and LUCILE

PACKARD FELLOWJSHIPS

1989

3a

FOR SCIENCE AND ENGINEERING

Statement by Nominee Name of Nominee

Arnold, Frances H. lost/first/middle InitalI

The extraction process utilizes the tendency for an extraction and metal affinity precipitation. Proteins will partition aqueous solution of two incompatible polymers to separate into two phases. By between the two phases depending on their interactions with the phase-forming polymers. substituting one of the polymers with metal chelates, we have been able to selectively enhance the partitioning of proteins that contain surface electron-donating amino acids and synthetic Bis-metal chelates will cross-link and precipitate proteins which exhibit metal binding sites. these electron-rich amino acids, in a reaction analogous to antigen-antibody precipitin reactions. In recent months we have begun to investigate the possibility of using this concept of We protein-metal-chelate binding to construct "synthetic antibodies" for molecular recognition. in histidines between discriminate able to have synthesized a series of metal chelates which are Lmade from chelate chiral a For example, different environments on the protein surface. methionine and Cu(II) binds horse heart myoglobin preferentially over sperm whale myoglobin. On the other hand, a Cu(II) chelate made from iminodiacetic acid (achiral, neutral) prefers the Differences in binding affinities can be manipulated through the molecular whale protein. Such of the metal chelate and its complementarity to regions of the protein surface. architecture specific protein recognition agents will have applications in protein detection, selective modifications of proteins, identification of surface structures, as well as in protein purification. A second area of research is the design of proteins stable and functional in polar organic solvents. The ability to use enzymes in nonaqueous solvents offers a tantalizing array of synthetic Unfortunately, nature has not reactions that are impractical or impossible to carry out in water. designed most enzymes to function in a nonaqueous medium, and, as a result, many are destabilized I have studied protein-water interactions and natural proteins that are by organic solvents. resistant to denaturation by organic solvents in order to develop "design rules" for protein We are now applying these design rules to engineer enzymes for stability in nonaqueous media. stability and catalytic activity in organic solvents. We have begun to modify two bacterial In the absence of proteases, enzymes which catalyze the selective hydrolysis of peptide bonds. water, these engineered enzymes would be able to synthesize new peptide bonds (in the reverse of the proteases' natural hydrolytic reactions) and would be invaluable in specific peptide and protein synthesis. Eventually, other engineered hydrolytic enzymes could be used to synthesize a variety of new polymers from biological materials. My own educational background is reflected in the multidisciplinary nature of this I have made a conscious effort to maintain and add to this diversity of training and research. scientific philosophy by recruiting students and post-doctoral researchers from outside of An award from the Packard Foundation would give me the support I must chemical engineering. have to attract and support top students and post-doctoral fellows from Chemistry and Biology, individuals who will bring to my research group the methodologies in polymer synthesis and molecular biology critical to the success of this work.

Signature

nam

ncrne

THIEDAVIDANDLUCILEPACKARDFOUNDATION

d te cte

- 300 SECOND STREET, SUITE 200 * LOS ALTOS, CA 94022

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DAVID and LUCILE

PACKARD FELLOWSHIPS

1989

4

FOR SCIENCE AND ENGINEERING

Curriculum Vitae of the Nominee Arnnlr1 11W w -

hi

Name of Nominee Department Sponsoring institution Address

,

Prancpq I X cLl^vus

H. XA .

last/first/middle Initial

356-4162

(818)

Chemical Engineering

telephone includee area code)

name

California Institute of Technology name

1201 E. California Blvd. number and street

Pasadena, California 91125 city and state/zip code

Date and place of birth

7/25/56

Pittsburgh

month/doy/year

city

Pennsylvania state

Princeton University Education (begin with baccalaureate).

Institution

B.S.

Mechanical Engineering

1979

field

degree and year conferred

University of California, Berkeley institution

Ph.D.

Chemical Engineering

1985

field

degree and year conferred institution

field

degree and year conferred

Positions held (begin with present position).

California Institute of Technology employer

1201 E. California Blvd., Pasadena, California 91125 address

Assistant Professor of Chemical Engineering

1/1/87

-

dates

title

California Institute of Technology employer

1201 E. California Blvd.,

Pasadena,

California 91125

address

5/1986

Visiting Associate in Chemistry

I

i1 I

title

I1 ii

employer

I

-

1/1987

dates

University of California, Berkeley Berkeley, California 94720-9989 address

Postdoctoral Researcher title T1lF DAVID AND LUCILE PACKARDFOUNDATION

5/1985 - 5/1986 dotes

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94022 . 415 948-76CS

DAVID and LUCILE

PACKAIRD

lELLOWSHIPS

1989

4a

FOR SCIENCE AND ENGINEERING

Curriculum Vitae (continued) Name of Nominee

Other

Arnold, Frances H. last/first/middle intial

University of Cali fornia, Berkeley, Research Assistant, 1/1981 5/1985;

Engenics, Inc., Menlo Park, CA, Consulting engineer,

summer 1982;

Solar Energy Research Institute, Golden, CO,

Research engineer, 9/1979 - 1/1981; University of Sao Paulo, Sao Paulo, Brazil, summer 1979; Polytechnic of Milan, Milan,, Italy, summer 1978; Breda Thermomeccanica, Milan, Italy, 9/1976 - 6/1977; Westinghouse Nuclear, Madrid, Spain, summer 1976.

Honors

1979

Phi Beta Kappa, Tau Beta Pi

1988

Office of Naval Research Young Investigator Award (Molecular Biology)

1989

TIIEDAVIDANDLUCILEPACKARDFOJNDATION

NSF Presidential- Young Investigator Award

* 300 SECOND STREET, SUITE 200 . LOS ALTOS, CA 94022

e

415-948-7658

DAVID and LUCILE

PACKARD FELALOWSHIPS I FOR

:1989 4b

SCIENCE AND ENGINEERING

List of Publications ll

NameofNomne

Publications

kIstructions

I

Arnold, Frances H. kis/t1Asrrbddke hofd

Ust only complete articles published or In press. Do not list presentations or abstracts, Use additional sheets if necessary,

1. "An Analysis of Open-Cycle Cooling Systems and Materials," R. K. Collier, R. Barlow, and F. H. Arnold, J. Solar Energy Eng., 104, 28 (1982). 2. "A Rational Approach to the Scale-Up of Affinity Chromatography," F. H. Arnold, J. J. Chalmers, M. S. Saunders, M. S. Croughan, H. W. Blanch, and C. R. Wilke, ACS Symposium Series, 271, 113 (1984).

I

"Mas Transfer Effects in Affinity ChromatograDhv," F. H. Arnold and H. W. Blanch, Proceedings of the Third European Congress on Biotechnology, Munich, September 10-14, 1984.

I

4. "A Note on Liquid Chromatography Plate Height Equations," F. H. Arnold, H. W. Blanch, and C. R. Wilke, J. Chromatography,330, 159 (1985).

3

I

5. "Analysis of Affinity Separations I. Predicting the Performance of Large-Scale Separations," F. H. Arnold, H. W. Blanch, and C. R. Wilke, Chem. Eng. J., 230, B1 (1985). 6. "Analysis of Affinity Separations H. The Characterization of Affinity Packings by Pulse Techniques," F. H. Arnold, H. W. Blanch, and C. R. Wilke, Chem. Eng. J., 230, B25 (1985).

I

.1 I I

I I

7. "Analytical Affinity Chromatography I. Local Equilibrium Theory and the Measurement of Association and Inhibition Constants," F. H. Arnold, S. A. Schofield, and H. W. Blanch, J. Chromatography, 355, 1 (1986). 8. "Analytical Affinity Chromatography II. Rate Theory and the Measurement of Biological Binding Kinetics," F. H. Arnold and H. W. Blanch, J. Chromatography,355, 13 (1986). 9. "Structure, Dynamics and Thermodynamics of Mismatched DNA Oligonucleotide Duplexes d(CCCAGGG)2 and d(CCCTGGG)2," F. H. Arnold, S. Wolk, P. Cruz, and I. Tinoco, Jr., Biochemistry, 26, 4068 (1987). 10. "Structure and Function in Nucleic Acids: Mutagenesis," I. Tinoco, Jr., S. WoWl, F. H. Arnold and F. Aboul-ela, In Structure and Dynamics of Biopolymers, C. Nicolini, Ed., Martinuis Nijhoff, pp. 99-111 (1987). 11. "Protein Design for Nonaqueous Solvents," F. H. Arnold, Protein Engineering, 2, 21-25 (1988). 12. "NMR Studies of Crambin Structure and Unfolding in Nonaqueous Solvents," F. H. Arnold, Ann. N.Y. Acad. Sci., 542, 30-36 (1988). 13. "Nuclear Magnetic Relaxation Study of Hindered Rotational Diffusion in Gels," I. L. Claeys and F. H. Arnold, AIChE Journal, 35, 335-338 (1989). THEDAVIDANDLUCILEPACKARDFOUNDATION - 300 SECOND STREET, SUITE 200

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4b continued 14. "Aqueous Two-Phase Affinity Extraction of Heme Proteins," G. E. Wuenschell, E. Naranjo and F. H. Arnold, submitted for publication. 15. "Metal Affinity Precipitation of Proteins," M. Van Dam, G. E. Wuenschell and F. H. Arnold, submitted for publication. 16. "A Mathematical Model for Metal Affinity Partitioning," S.-S. Suh and F. H. Arnold, submitted for publication. Invited Paper 1. "A Global Overview of Renewable Energy Resources, Technologies and Applications," F. H. Arnold and F. Kreith, an Invited Issue Paper presented to the United Nations Conference on Renewable Energy, Nairobi, 1981.

DAVID and LUCILE

PACKARD FELLOWSHIPS I

1989

3

FOR SCIENCE AND ENGINEERING

Statement by Nominee Name of Nominee

Gellman, Andrew J. last/first/middle InTHal

B.Sc., Ph.D. degrees

University of Illinois Sponsoring institution

name

The primary goal of my research program is an understanding of the fundamental forces that determine interfacial mechanical properties such as adhesion and friction. From my perspective, which is derived from a background in surface chemistry, the field is one of enormous opportunity. Scientifically the study of interfacial forces has become extremely exciting because it is only recently that it has become possible to make direct measurement of surface forces at an atomic level. Furthermore, it is clear that the understanding of these forces will have deep impact on all technologies related to tribology. The difficulties associated with the study of interfacial forces lie both in surface characterization and in the measurement of forces between surfaces. We use ultra-high vacuum methods to allow preparation and characterization of ideally clean surfaces of many materials or surfaces that have been modified by single molecular layer films of adsorbed species. A wide range of spectroscopic techniques have been developed over the past two decades for the study of surface catalyzed chemistry. We have begun to use such approaches for the study of interfacial mechanics. Equally important to my interests is the adaptation of scanning tunneling microscope (STM) technology to the development of atomic force microscopy (AFM). The AFM allows measurement of forces between a tip of atomic dimensions and a surface. The first reports of these types of instruments have appeared in the past couple of years and have been aimed at imaging surfaces via spatial resolution of force contours. It has been possible for instance to measure variations of frictional forces between a tip and a surface with atomic resolution. I believe that this technology can have its greatest impact not from its imaging capability but from that fact that it allows direct study of surface interactions on a scale that has been hitherto inaccessible. In its current stage my group is using several methods for fundamental investigation of the mechanical properties of interfaces. In the lab we are able to prepare perfectly clean surfaces of crystalline metals under ultra-high vacuum conditions If so desired we can then modify these surfaces by adsorption of (<10 10 torr). atomic or molecular species to form surface films which range from less than one molecular layer thick to multilayer thicknesses. By preparing pairs of such surfaces we are able to form interfaces by bringing them into contact and then make measurements of frictional properties. The instrumentation for making these measurements has been built in my laboratory and allows us to perform all these procedures within the pristine environment of our ultra-high vacuum chamber. At present these measurements are made in the range 0.01 - 10 gm-force. These forces are macroscopic when

T11EDAVIDANDLUCILEPACKARDFOUNDATION

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FOR SCIENCE AND ENGINEERING

Statement by Nominee Name of Nominee

Gellman, Andrew J. .Iast/flrst/mIddle Iniflol

ofnNomine Names

compared to the forces necessary to break single atom-atom bonds (10-6 gm-force). Nonetheless it is possible to observe effects of ultra-thin surface films on interfacial friction. We also use a number of methods to study the surface chemistry of species which form our molecular films. At present we are using long chain alcohols. In addition to observing the formation of molecular films we have observed surface reactions in which these molecules are deprotonated to form alkoxide films and dehydration reactions which lead to alkenes. The second stage of the program involves the use of an atomic force microscope (AFM) to study surface mechanical properties. The design of this instrument has been completed and it is currently under construction. The device uses piezo-electric ceramics to position a tungsten tip within a couple of angstroms of a sample surface. As the sample is moved forces acting on the tip will cause deflection of the tip which can be measured using either tunneling or interferometry. In this fashion it is possible to map the forces between tip and surface with atomic spatial resolution. The marriage of our ability to prepare highly ideal surfaces with the ability to make atomic scale force measurements will allow truly fundamental study of interfacial mechanical properties. We envision making a measurement in which a field ion microscope tip of known diameter is brought up to a crystalline tungsten surface and forces between the two are measured as a function of separation and orientation, in effect mapping out the interaction potential space. At this point the first stage of our research program (macroscopic measurements of forces at well characterized surfaces) is well supported. In addition, we have been able to begin construction of the atomic force microscopic and the salary of the postdoc working on this project is covered by an NSF fellowship. We do not, as yet, have any commitment of long term support for these atomic force measurements. The primary needs of the project are for instrumentation and for support of postdoctoral assistance of the high caliber needed for these types of experiments. The most exciting aspect of the field of interfacial mechanics is the fact that one can now envision making measurements that until now have been performed only in gedanken experiments. In the coming decade we can expect to see a level of understanding reached in which one is able to discuss interfacial friction or adhesion in terms of interaction potentials and lubrication in terms of the modification of such potentials.

Signature

i

'

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-t*

name

THiEDAVIDANDLUCILEPACKARDFOL'NDATION

date

. 300 SECOND STREET, SUITE 200 . LOS ALTOS, CA 94022 . 415.948-7658

L

* DAVID and LUCILE

PACKARD FELLOWSHIPS

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4

FOR SCIENCE AND ENGINEERING

Curriculum Vitae of the Nominee Gellmnan, Andrew J. Name of Nominee Department Sponsoring Institution Address

lost/first/middle Inital

(217)244-5810

Department of Chemistry

telephone includee area code)

name

University of Illinois name

505 South Mathews Avenue number and street

Urbana, IL

61801

city and state/zip code Date and place of birth

Manitoba

Winnipeg

01/22/60 month/doy/year

state

city

California Institute of Technology Education (begin with baccalaureate).

institution

B.Sc.

Chemistry

1981

field

degree and year conferred

University of California at Berkeley Instituton

Ph.D.

Physical Chemistry

1985

field

degree and year conferred Institution

field

degree and year conferred Positions held (begin with present position).

Department of Chemistry, University of Illinois employer

505 South Mathews Avenue, Urbana, IL

61801

address Assistant Professor title

08/86-Present dates

Department of Physical Chemistry, Cambridge University employer

Lensfield Rd., Cambridge, U.K.

CB2 lEP

address

ICI Postdoctoral Fellow title

08/85 - 07/86 dates

employer address title

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DAVID and LUCILE

PACKARD FELLOWSHIPS

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r

4a

FOR SCIENCE AND ENGINEERING

Curriculum Vitae (continued) Name of Nominee

Gellman,

!:

Andrew J.

lost/first/mIddle initial Other

Professional Activities: Chairman - National Science Foundation Workshop on Specifications of a General Purpose Scanning Tunneling Microscope, Urbana, IL-199,§`

Co-Chairman - Material Research Society Symposium on Interfaces Between Polymers, Metals and Ceramics, San Diego, CA - 1989

Secretary - University of Illinois Chapter, American Chemical Society, 1988-89

Honors

Beckman Fellow - Center for Advanced Study, University of Illinois, 1989 Distinguished New Faculty in Chemistry Award, Dreyfus Foundation, 1986 Arnold 0. Beckman Research Award, University of Illinois, 1986 ICI Postdoctoral Fellow, University of Cambridge, 1985-86 Earle C. Anthony Fellowship, University of California, Berkeley 1982-83 Ephriam Weiss Fellowship, University of California, Berkeley, 1981-8 Fredric W. Hinrichs, Jr., Memorial Award, California Institute of Technology, 1981

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[ {

DAVID and LUCILE

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1989

I FOR SCIENCE AND ENGINEERING I

4b

List of Publications Name of Nominee

I

Publications Instructions

Gellman, Andrew J. last/flrst/middle Intfl Ust only complete articles published or In press. Do not list presentations or abstracts. Use addItional sheets If necessary.

I

1.

Contributions to: A Companion to the Life Sciences, van Nostrand Reinhold, New York, 1979, ed. S. B. Day.

I

2.

A. J. Gellman, M. H. Farias, M. Salmeron, and G. A. Somorjai, "A TDS Study of Thiophene Adsorbed on the Clean and Sulfided Mo(100) Crystal Surface", Surf. Sci. 136, 217 (1984).

3.

M. H. Farias, A. J. Gellman, G. A. Somorjai, R. R. Chianelli, and K. S. Liang, "The Coadsorption and Reactions of Sulfur, Hydrogen, and Oxygen on the Clean and Sulfided Mo(100) and MoS2 (0001) Crystal Faces", Surf. Sci. 140, 181 (1984).

4.

A. J. Gellman, M. H. Farias, and G. A. Somorjai, "The Catalytic Hydrodesulfurization of Thiophene on the Mo(100) Crystal Face", J. Catal. 88, 546 (1984).

5.

R. C. Yeates, J. E. Turner, A. J. Gellman, and G. A. Somorjai, "The Oscillatory Behaviour of the CO Oxidation Reaction at Atmospheric Pressure on Pt Single Crystals: Surface Analysis and Pressure Dependent Mechanisms", Surf. Sci. 149, 175 (1985).

6.

C. S. Zhang, A. J. Gellman, M. H. Farias, and G. A. Somorjai, "The Adsorbate Induced Facetting of the Mo(lll) Crystal Face", Mater. Res. Bull. 20, 11293 (1985).

7.

M. A. Logan, A. J. Gellman, and G. A. Somorjai, "The Hydrogenation of Carbon Monoxide on Mo Foils and Single Crystal Surfaces", J. Catal. 94, 60 (1985).

8.

A. J. Gellman, M. Asscher, and G. A. Somorjai, "Studies of the Kinetics and Mechanisms of Ammonia Synthesis and Hydrodesulfurization on Metal Single Crystal Surfaces", Catalyst Characterization Science, ACS Symposium Series 288, ed. M. L. Deviney and J. L. Gland (1985).

9.

C. S. Zhang, A. J. Gellman, G. J. Wang, and G. A. Somorjai, "The Influence of Steps in the Oxidation of Molybdenum Single Crystal Surfaces", Surf. Sci. 164, L835 (1985).

I I I I I

10. I

A. J. Gellman, "Surface Science and High Pressure Catalytic Studies of the Hydrodesulfurization of Thiophene over Mo Single Crystal Surfaces", Ph.D. Thesis. University of California. Berkeley (1985).

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Gellman, Andrew J.

11.

F. Zaera, A. J. Gellman, and G. A. Somorjai, "Surface Science Studies of Catalysis: Classification of Reactions", Acc. Chem. Res. 19, 24 (1986).

12.

A. J. Gellman, D. Neiman, and G. A. Somorjai, "Catalytic Hydrodesulfurization Kinetics and Overall Mechanism", J. over the Mo(100) Single Crystal Surface I:

Catal. 106, 92 (1987). 13.

A. J. Gellman, M. E. Bussell, and G. A. Somorjai, "Catalytic Hydrodesulfurization over the Mo(100) Single Crystal Surface II: The Role of Adsorbed Sulfur and Mechanism of the Desulfurization Step", J. Catal. 106, 103 (1987).

14.

A. J. Gellman, W. T. Tysoe, F. Zaera, and G. A. Somorjai, "The Structure of the Sulfided Mo(100) Surface: an XPS and UPS Study", Surf. Sci., 191, 271 (1987)

15.

A. J. Gellman, W. T. Tysoe, and G. A. Somorjai, "Photoelectron Spectroscopy Studies of Thiophene Chemisorption and Decomposition on the Mo(100) Surface", press, Surf. Sci.

16.

L

r

in

J.P.S. Badyal, A. J. Gellman, R. M. Lambert, "The Origin of Certain Features in Impurities, Auger Transitions or Diffraction the Auger Spectrum of Ru(0001):

Effects", Surf. Sci. 188,

557 (1987).

17.

M. E. Bussell, A. J. Gellman, G. A. Somorjai, "The Influence of Surface Structure on the Hydrodesulfurization Activity of Molybdenum and Rhenium Single Crystal Surfaces", J. Catal. 110, 423 (1988).

18.

J.P.S. Badyal, A. J. Gellman, and R. M. Lambert, "Model Studies of the SMSI Phenomenon I: CO and Hydrogen Chemistry at the Ru/Ti Interface," J. Catal. 111,

383 (1988). 19.

P. Y. Timbrell, A. J. Gellman, R. M. Lambert, R. F. Willis, "Negative Ion Resonance Selective Mode Enhancement in the HREEL Spectrum of C 2 H 2 on Pd(111)", Surf. Sci. 206, 339 (1988).

20.

D. Jaffey, A. J. Gellman, and R. M. Lambert, "Overlayer and Intermetallic Compound Surface Phases in the Sm/Cu(111) System," in press, Surf. Sci.

L

21.

J.P.S. Badyal, A. J. Gellman, R. W. Judd, and R. M. Lambert, "Single Crystal Modelling of the SMSI Phenomenon: Structure, Composition, Electronic Effects and CO Chemisorption at the Ru(0001)/TiO Interface," Catal. Lett. 1, 41 (1988).

I

x

22.

D. G. Kelley, A. J. Gellman, M. Salmeron, G. A. Somorjai, V. Maurice, M. Huber, J. Oudar, "The Adsorption and Coadsorption of Sulfur and Carbon Monoxide on Rhenium Single Crystal Surfaces," Surf. Sci. 204, 1 (1988).

23.

M. E. Bussell, A. J. Gellman, G. A. Somorjai, "The Role of Adsorbate Overlayers in Thiophene Hydrodesulfurization over Molybdenum and Rhenium Single Cyrstals,"t Catal. Lett. 1, 195 (1988).

24.

C. H. Patterson, J. H. Mundenar, P. Y. Timbrell, A. J. Gellman, R. M. Lambert, "Molecular Pathways in the Cyclotrimerisation of Acetylene: Vibrational Spectra of the C 4H 4 Intermediate and Its Thermal Decomposition

Products," Surface Science 208

(1989)

93.

Gellman,

Andrew J.

4d

25.

C. T. Tsai, K. P. Walley, and A. J. Gellman, "Surface Synthesis of Thiophene,"1 Catal. Lett. 2 (1988) 19.

26.

A. J. Gellman, B. M. Naasz, R. G. Schmidt, M. R. Chaudhury, and T. M. Gentle, "Secondary Neutral Mass Spectrometry Studies of Metal (Semi-metal)/Polymer Interfaces," submitted to J. Adh. Sci. Tech.

27.

A. J. Gellman, R. Hamers, J. Lyding, G. McClelland, M. Salmeron, and B. Schardt, "Specifications for a General Purpose Scanning Tunneling Microscope", NSF Workshop Report.

28.

K. P. Walley, A. J. Gellman, "Mechanical Properties of Metallic Interfaces," Mater. Res. Sol. Proc. 153, Pittsburgh, PA, 1989, in press.

29.

B. M. DeKoven, A. J. Gellman, and R. Rosenberg (Eds.) Interfaces Between Polymers Metals and Ceramics, Mater. Res. Soc. Proc. 153, Pittsburgh, PA, 1989, in press.

DAVID and LUCILE

PACKARD FlELLOWSHIPS

1989

3

FOR SCIENCE AND ENGINEERING

Statement by Nominee Name of Nominee Sponsoring institution

Hamer,

John E.

last/first/middle Irdtal

B.

M.Sc.

Ph.De

degrees

Purdue University name

Investigation of the Host-Parasite Interaction in Rice Blast Disease. Fungi are the most destructive plant pathogenic microorganisms, yet the genetic and biochemical components of fungal parasitism remain largely unknown. In contrast, research on bacterial/plant interactions has progressed, with the application of molecular genetic techniques that were first developed in enteric bacteria. My research goal is to exploit recent advances in fungal and plant molecular genetics to investigate rice blast disease; an interaction between a fungal plant pathogen called Magnaporthe grisea, and its host the rice plant O;ryza sativa. As I will outline below, this fungal/plant interaction is not only of paramount importance to world agriculture but is also highly tractable for fundamental studies of fungal parasitism. To study this host/parasite interaction, highly fertile and virulent laboratory strains of M. grisea have been developed for genetic analysis (1, 2, 3). In addition, the genetic transformation of these strains with recombinant DNA molecules has also been achieved (4). This filamentous fungus exhibits a variety of pathogenic mechanisms that are similar to many other plant pathogenic fungi. Individual M. grisea isolates exhibit host species specificity by infecting only one or two host plants from over 20 different grasses, including rice. 1M. grisea isolates that cause rice blast disease are subdivided into biological races (pathotypes) according to the spectrum of rice cultivars they can infect (5). To infect plants, the fungus produces a variety of cellular structures for attaching to and penetrating plant surfaces (6). Inside the plant, M. grisea may employ a number of mechanisms for exploiting the plant cell environment. The investigation of these processes by genetic analysis will allow' us to identify and characterize genes in M. grisea that control various aspects of fungal pathogenesis. It is likely that mechanisms employed by M. grisea to infect rice will be shared by other important fungal pathogens. A major reason for choosing to study this interaction is that rice blast disease is one of the most widespread and economically devastating crop diseases in the world. Rice is a major food source for a third of the world's population. Consequently our knowledge of the genetics and molecular biology of rice is continuing to improve. For example, genetic transformation of rice has recently been reported (7). However the effective deployment of blast disease resistant rice plants has been hindered by the wide array of M. grisea pathotypes that are believed to exist in rice growing areas. As a result, blast disease epidemics continue to threaten the agricultural productivity of many rice growing nations. A long range goal of my research is to provide new information on the genetic and molecular basis of fungal parasitism and host recognition that may suggest new ways of controlling an important plant disease. Over the next five years my research will investigate the mechanism of fungal parasitism of rice. I will identify genes in M. grisea that are necessary for rice plant infection, characterize the products they encode, and through the use of mutational analysis, understand how they contribute to host recognition and the establishment of disease. Initially I will obtain a well characterized collection of mutants of M. grisea that are altered in pathogenicity towards rice. These mutations could affect attachment, penetration, lesion formation, in planta proliferation, rice cultivar or host species recognition. These mutants will be a resource for detailed cytological, molecular and biochemical investigations of fungal pathogenicity. Secondly, I will investigate the genetic basis for the widespread diversity and variation that is observed in the rice blast pathotypes. There are conflicting reports on the stability and number of pathotypes of M. grisea that exist in rice growing areas, and there are few reliable epidemiological studies on blast disease. A description of my progress in these two research areas is described in the following paragraphs. TIIEDAVIDANDLUCILEPACKARDFOUNDATION

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Statement by Nominee Name of Nominee

Hamer,

John E.

last/first/middle Intial

Genetic analysis with M. grisea has demonstrated that numerous genetic loci are required for infecting rice plants. Using a mutational approach, I identified a genetic locus in M. grisea that affects pathogenicity on rice by altering the shape of various fungal cells necessary for infection (3). I am currently using DNA transformation vectors developed for M. grisea to clone the mutant locus by functional complementation. Because fungal pathogenicity appears to involve many genetic loci, I have initiated a search for additional pathogenic:ity mutants by identifying fungal genes that are expressed during infection of rice leaf cells. A cDNA library prepared from infected rice leaves has been used to obtain cDNA clones that correspond to fungal genes that are expressed during rice leaf infestation. These cDNA clones will be used to construct gene disruptions in the M. grisea genome. Strains containing gene disruptions will be screened for pathogenicity defects on a collection of near isogenic rice plants carrying different blast resistance genes. Genes containing mutations that affect pathogenicity will be identified and we will undertake an investigation of their role in the disease process. These studies will provide new and potentially valuable information on the genetic and biochemical basis of fungal host recognition and virulence. To examine the nature of diversity in this fungal pathogen, I have isolated DNA probes that can distinguish individual M. grisea isolates (8). The DNA probes identify a family of dispersed middle repetitive DNAs (called MGR sequences) that are conserved in rice-specific pathotypes of M. grisea. Using Southern blot hybridization analysis, a unique MGR "fingerprint" has been detected in every M. grisea isolate examined. MGR probes do not hybridize extensively to the genome of M. grisea isolates that do not infect rice. Thus, MGR sequences appear to mark the ancestral population(s) of M. grisea that led to the evolution of rice-specific pathogen genotypes. The MGR probes have the potential to rapidly and unambiguously index genotypic variation among pathogen isolates and could be employed to track and monitor blast epidemics on local, regional and global scales. In collaboration with population geneticists at Purdue I will use MGR fingerprinting to initiate studies on the nature and extent of genetic variation in the rice blast pathogen. In addition, the ability to follow MGR segregation in genetic crosses will aid in developing a genetic map and improving gene cloning strategies for field isolates of M. grisea.

4

This research has the advantage of being undertaken in the Department of Biological Sciences at Purdue University. Here I can interact with a diversified group of molecular and cellular biologists who work in more traditional areas of biological research. I hope to use funds from the Packard Fellowship to attract graduate students and post-doctoral researchers, with interests and training in bacterial genetics and developmental biology, to consider joining my laboratory in this new area for molecular genetic investigations. I will also use funds to purchase plant growth chambers and a research microscope. Finally, these funds will be used to initiate parallel investigations on the molecular biology of rice disease resistance and susceptibility. References 1. Crawford et. al. 1986 Genetics 114: 111-1129. H. Williams. 1987. Can. J. Bot. 65: 112-123. 2. Leung, 3. Hamer

a ., 1989. Genekian press.

A'1 -.

,

/
7

date

4. Parsons et. al. 1987. 'roc. Natl. Acad. Sci. U.S.A. 84: 4161-4165. 5. Ou, S. H. 1985. Rice Diseases. (Commonwealth Agricultural Bureaux, U.K.). p 380. TIIEDAVIDANDLUCILEPACKARDFOUNDATION

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I Curriculum Vitae of the Nominee Name of Nominee Department Sponsoring insstit tion Address

last/first/mIddle Initial

John E.

Hamer,

telephone (nclude area code)

name

(317) 494-4944

Department of Biological Sciences name

Purdue University number and street

Lilly Hall of Life Sciences

Room B-322

city and state/zip code Date and place of birth

I

West Lafayette, IN

state

Atikokan,

12/18/57 Education (begin w4th baccalaureate).

47907

city

month/day/year

Ontario

Canada

Institution

University of Windsor, Canada field

degree and year conferred

Biology

B.Sc. 6/79 InstItution

University of Windsor, Canada field

degree and year conferred

Biology

M.Sc. 6/82 Institution

University of California, Davis field

degree and year conferred Positions held (begin |with present position).

Ph.D.

Microbiology

4/87

employer

Purdue University address

West Lafayette,

IN

47907 dates

title

9/88 - Present

Assistant Professor employer

Dupont Company

CR&DD

address

Dupont Experimental Station

Box 80402

title

Wilmington,

DE

19880-0402

dates

Post-doctoral/Visiting Scientist

9/86 - 9/88

employer

University of California, Davis

!

address

l

Davis, CA

95616

title

dates

Research Assistant !1

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I

Curriculum Vitae (continued) Name of Noi ninee

Hamer,

John E.

last/flrst/mIddle In/tal Other

U.S.

Patent No.

4,816,405 for Vectors

With M.M. Yelton and W.E.

Timberlake

for Transformation of Ascomycete-* 3/28/89

I Honors

Distinguished Scholar Tuition Waiver Fellowship, University of California, Davis 1984-1986 The Mycological Society of America Graduate Fellowship, University of California, Davis 1984 Member of the Honor Society of Phi Kappa Phi, University of Celifornia, Davis Chapter 1984 1986 Jastro-Shields Research Scholarship, TTniuerq<;ty of rCa1ifornin Davis J9A5-19A6 U.S.D.A. Competitive Grants Program Award, Molecular Genetic Investigations of Fungal Pathogenesis in Rice Blast Disease. 1989-1991

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List of Publications Hamer, John E. Name of Nominee

Publications itructions

I II I I

I I I I I I I Ii I

I

last/lfst/middle Iitial

Ust only complete articles published or In press. Do not list presentations or abstracts. Use additional sheets If necessary.

Hamer, J.E. and D.A. Cotter, 1982. Ultraviolet-light induced termination of RNA synthesis during Dictyostelium discoideum spore germination. Exp. 353-363. Mycol. 6: Hamer, J.E. and D.A. Cotter, 1983. The timing of ribonucleic acid synthesis during the germination 6f heat-activated Dictyostelium discoideum 1390-1398. spores. Can. J. Microbiol. 29: Hamer, J.E., D.A. Cotter and I.H. Demsar, 1983. The stage specific inhibition of Dictyostelium discoideum spore germination by the mutagen 1-14. 4-nitroquinoling 1-oxide. Chemico-Biol. Interact. 48: Yelton, M.M., J.E. Hamer, E.R. deSouza, E.J. Mullaney and W.E. Timberlake, 1983. Developmental regulation of the Aspergillus nidulans trpC gene. Proc. Natl. Acad. Sci. USA 80: 7576-7580. Timberlake, W.E., D.I. Gwynne, J.E. Hamer, B.L. Miller, K.Y. Miller, E.J. Mullaney, E.R. deSouza, M.M. Yelton and C.R. Zimmerman, 1983. Gene regulation during conidiation in Aspergillus nidulans. In: "Plant Molecular Biology" (ed. Robert B. Goldberg). Alan R. Liss, Inc., New York, pp. 179-199. Yelton, M.M., J.E. Hamer and W.E. Timberlake, 1984. Transformation of Aspergillus nidulans using a trpC plasmid. Proc. Natl. Acad. Sci. USA 1470-1474. 81: Mullaney, E.J., J.E. Hamer, K.A. Roberti, M.M. Yelton and W.E. Timberlake, 1985. Primary structure of the trpC gene from Aspergillus nidulans. Mole. Gen. Genet. 199: 37-45. vanGorcom, R.F.M., P.H. Pouwels, T. Goosen, J. Visser, H.W.J. van den Broek, J.E. Hamer, W.E. Timberlake and C.A.M.J.J. van den Hondel, 1985. Expression of the Escherichia coli beta-galactosidase fusion gene in 99-106. Aspergillus nidulans. Gene 40: Regulation of gene activity during 1986. Hamer, J.E. Timberlake, W.E. and "Genetic In: nidulans. Aspergillus in conidiophore development Plenum Hollaender). A. and Setlow J. (eds. VIII. vol. Engineering", Press, pp. 1-29. Hamer, J.E. and W.E. Timberlake, 1987. Functional organization of the 2352-2359. Aspergillus nidulans trpC promoter. Mol. Cell. Biol. 7: mechanism for A 1988. Valent, B. and Chumley F.G. Howard, Hamer, J.E., R.J. Science fungus. pathogenic plant a of spores in surface attachment 288-290. 239: Hamer, J.E., B. Valent and F.G. Chumley, 1989. Mutations at the SMO genetic locus affect the shape of diverse cell types in the rice blast fungus. Genetics (in press).

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I Statement by Nominee I

Vame of Nominee

Sponsoring Institufion

Harris, Jerry M. lIst/flrst/middle inrial Stanford University name

Ph.D. degrees

SEISMIC GEOTOMOGRAPHY Tomography, in which the shapes of heterogeneities inside a medium are constructed from remotely sensed data, has become a major high quality imaging tool for scientists. The most spectacular success for tomography thus far has been in diagnostic medical x-ray imaging. Similarly, high resolution satellite imagery is affecting geology, the management of earth resources, and weather prediction. These successes have increased research interest in seismic tomography or geotomography, which uses seismic waves in the earth to delineate poorly known geological heterogenities in hydrocarbon and geothermal reservoirs, ground water aquifers, and waste storage sites. The development of seismic tomography may dramatically improve the recovery and management of natural resources, and may very well have the greatest impact in the near future on our understanding of the Earth's internal structure. My research focuses on two aspects of seismic tomography: (1) high resolution imaging for hydrocarbon reservoirs, aquifers, and waste disposal; and (2) measurement of in situ geological rock properties.. The approach is to utilize wells as the site for seismic instrumentation, thus permitting measurements under in situ geological conditions close to the heterogeneities of interest. 1) Imaging Hydrocarbon Reservors. Although nearly 500 billion barrels of oil have been discovered in the U.S. over the past century, only 144 billion barrels have been recovered. It is estimated that over 325 billion barrels (64%) will remain trapped in existing reservoirs after conventional recovery methods have been exhausted. In addition, more than 450 trillion cubic feet of natural gas resources may go unrecovered from fields already discovered. The consensus among reservoir geoscientists is that heterogeneity is the main cause of the low rate of oil and gas recovery. The purpose of reservoir seismic geotomography is thus to identify the heterogeneities which affect the storage of hydrocarbons and their flow to producing wells. My experimental approach is known as cross-well seismic geotomography, where high frequency (1000 Hz) sources of seismic energy are placed in one borehole and receivers in a nearby borehole. The immediate objective is to produce high resolution (to ± 1 meter) images of seismic wave velocity and attenuation, quantities which are directly related to reservoir geometry, lithology, and compartments for fluid storage. A longer term objective is to convert these seismic images into maps of reservoir properties needed to describe fluid flow, namely porosity, fluid saturation, and permeability. A breathrough in downhole instrumentation was recently achieved by my group (Harris, 1988) permitting significantly improved measurements, thus encouraging new research in these problem areas. 2) Measurement of in situ Geolo-ical Rock Properties. Seismology relies on the interaction of seismic waves with geological rock properties, such as bulk density, compressional and shear wave velocities, and compressional and shear wave energy dissipation. In natural geological media, the rock parameters vary with position, and depend on in situ stress conditions, temperature, lithology, and the fluids filling the rock's pore space. Much of our present understanding of properties is learned from laboratory measurements on core samples taken from drillholes. For seismology to be effective in such areas as

TIIEDAVIDANDLUCILEPACKARDFOUNDATION

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FOR SCIENCE AND ENGINEERING

r

Statement by Nominee Name of Nominee

Harris,

Jerry M.

last/nfrst/middle Inral

earthquake prediction and the exploration or development of natural resources, the in situ seismic rock properties must be determined. For this purpose, I propose to carry out two kinds of studies using crosswell techniques: (1) study wave propagation over a very broad band of seismic frequencies (from a few hertz to several kilohertz); (2) quantify or monitor the changes in rock properties induced by changes in stress, temperature, or fluid saturation associated with hydrocarbons. Such seismic monitoring could ultimately be performed during enhanced oil recovery processes such as water, steam or miscible gas injection, cleaning of contaminated ground water sites, or across tectonically active zones such as the San Andreas fault. My research plan includes data acquisition, analysis and interpretation, and a huge amount of computerintensive data processing and modelling. The proposed program will bridge a gap not only in experimental seismic methods, but also in the teaching and research curricula within the Department of Geophysics. It therefore requires a team of students and advanced researchers. The core of this team, two faculty members and two graduate students, is already in place. We expect to expand the effort over the next five years to include eight graduate students, two post-doctoral researchers, and a laboratory-field technician. The Packard Fellowship funds will be used partially for graduate students and researcher's salaries. Also during the first three years, some monies will be used to purchase 3-D computer workstations for the Geotomography Laboratory. The Packard Fellowship will be an extremely valuable source of startup funding, leading to eventual major support for field experiments from government and private industrial sources.

I

LI

Signature name

/

THEDAVIDANDLUCILEPACKARDFOUNDATION

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i

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May 9, 1989 .

I

date

. 300 SECOND STREET, SUITE 200 - LOS ALTOS, CA 94022 . 41 5.948 -7658

'DAVID and LUCILE

PACKARD FELLOWSHIPS

1989

4

FOR SCIENCE AND ENGINEERING

Curriculum Vitae of the Nominee k-

Name of Nominee Department Sponsoring institution Address

L -0

-41r ,

c

tJ :

L~Y

XY9TM r .

last/first/middle initial

Geophysics

(415) 723-0496

name

telephone (include areo code)

Stanford University name

Mitchell Building, Rm 321 number and street

Stanford. CA 94305-2215 city and state/zip code

Date and place of birth Education (begin with baccalaureate).

08/27/51

Sardis

month/day/year

Mississippi

city

state

InstIt ullon

University of Mississippi degree and year conferred

B.S.

field

1973

Electrical Engineering

Institution

California Institute of Technology degree and year conferred

M4.S.

field

1974

Electrical Engineering

Institution

California Institute of Technology degree and year conferred

Positions held (begin with present position).

field

Ph.D. 1980

Electrical Engineerin

employer

Stanford University address

Mitchell Building, Room 321, Stanford, CA 94305-2215 title

dates

Associate Professor of Geophysics

1988-present

employer

Standard Oil Production Company (BP America)

I

address

5151 San Filipe, Houston, TX

IiI

title

i

Staff Geophysicist I

*I

77210 dates

1984-1988

employer

Exxon Production Research Company address

P.O. Box 2189, Houston, TX title

dates

Research Specialist TIIE"DAVIDANDLUCILEpACKARDFOUNDATION

77252 1980-1984

. 300 SECOND STREET, SUITE 200 * LOS ALTOS, CA 94022 . 41 5 948-76S8

DAVID and LUCILE

PACKAR D FELLOWSHIPS

1989

4a

FOR SCIENCE AND ENGINEERING

Curriculum Vitae (continued) Name of Nominee

Other

Harris, Jerry M. last/first/middle Inital Professional Activity: Member, Society of Exploration Geophysics Member, Institute of Electrical and Electronics Engineers Member, Society of Petroleum Engineers U.S. Delegate, International Consultative Committee on Radio (CCTR), Geneva, 1976

rC

Honnors

Corning Fellow,

CalTech,

1974

I Academic Reward for College Scientists, CalTech, 1978

f

Hughes Fellow, Caltech, 1979-80 Member, Engineering Honor Society, Eta Kappa Nu & Tau Beta Pi Outstanding Graduate Achievement Award, Univ. of Mississippi, 1982

THEDAVIDANDLUCILEPACKARDFOUNDATION

. 300 SECOND STREET, SUITE 200

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{

DAVID and LUCILE

PACKARD FELLOWSHIPS F FOR

L989

4b

SCIENCE AND ENGINEERING

List of Publications Name of Nominee

Harris, Jerry M. last/first/middle Initial

Pub fcations

Ust only complete articles published or In press Do not list presentations or abstracts. Use additional sheets If necessary.

Instructions

D. J. Fang and J. M. Harris, 1976. New Method of Estimating Microwave Attenuation Using; Rain Gauge Data, IEEE Trans. Antennas Prop., vol. AP-24, June 1976, pp. 318-384. J. M. Harris, 1977. Preliminary Results of Comstar 19/29-GHz Beacon Measurements at Clarksburg, MD, COMSAT Technical Review, vol. 7, no. 2, Fall 1977, pp. 599-624. D. J. Fang and J. M. Harris, 1979. Precipitation Attenuation Studies Based on Measurements of the ATS-6 20/30 GHz Beacons at Clarksburg, MD, IEEE Trans. Antennas Prop., vol. AP-27, January 1979, pp. 1-11. W. Wells and J. M. Harris, 1981. Multiple Scattering of Collimated Irradiance, J. Optical Society of America, vol. 71, no. 3, March 1981, pp. 243-249. J. M. Harris, 1981. The Propagation of Elastic Waves in Random Media, SEG Extended Abstract, Annual Convention, Los Angeles. L. J. Baker and J. M. Harris, 1984. Cross-Borehole Seismic Imaging, 1984 Conference Proceedings, SEG Extended Abstract Annual Convention, Atlanta. J. M. Harris, 1987. Diffraction tomography with discrete arrays of sources and receivers, IEEE Trans. Geoscience and Remote Sensing, vol. GE-25, no. 4, pp. 448-455. G. A. McMechan, J. M. Harris, and L. Anderson, 1987. Cross-well tomography for strongly variable media with application to scale model data, Bulletin, Seismological Society of America, vol. 77, no. 6, pp. 145-1960. J. M. Harris and A. G. Ramnm, 1988. Two Dimensional Inversion of Well-to-Well Data, Appl. Math. Lett., vol. 1, no. 2, pp. 127-131. L. Z. Hu, G. A. McMechan, and J. M. Harris, 1988. Acoustical pre-stack migration of cross-well data. Geophysics, vol. 53, no. 8, pp. 1015-1023. J. M. Harris, 1988. High frequency cross-well seismic measurements in sedimentary rocks., 1988 Extended Abstract Conference Proceedings, SEG Annual Convention, Anaheim, pp. 147-150.

I

I I

J. M. Harris, 1989. Point-to-Point Born inversion of spherical wave data, in press, Geophysics. *SEG extended abstracts are regular papers 4-6 pages in length (with figures) and are subject to peer review and approval. These publications are referred to by others on regular papers. nTilpEAVTflA kn

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DAVID and LUCILE

PACKARD FELLOWSHIPS

1989

3

FOR SCIENCE AND ENGINEERING

Statement by Nominee Name of Nominee

Hofmeister, Anne M. last/flrst/middce Initial

PhD.

M.S. degrees

University of California, Davis Sponsoring instItution

name

Importance of Research. My research focuses on the composition and thermodynamic state of the Earth's interior, as well as on basic properties of materials. My studies entail spectroscopic measurements on microsamples maintained at high pressures with a megabar diamond anvil cell. With this device, pressures of up to 1x10 6 atm are almost routinely attained, and pressures in excess of those at the Earth's core (3x10 6 ) have been reached within the last few years: also, simultaneous laser heating allows concurrent duplication of Earth's high internal temperatures. The utility of the diamond anvil lies in its transparency to electromagnetic radiation: almost all spectroscopic techniques are possible, allowing in situ probing of a large number of physical properties of materials: this feature offsets the delicate handling required and the limitation to microsamples. My particular expertise is in measuring far- and mid-infrared spectroscopy (and secondarily, Raman, visible, and x-ray crystallography) as a function of pressure. I have pioneered techniques that permit measurement far-IR spectra of single crystals of complex solids at pressures of up to 5x10 5 atm. My data on common rock-forming minerals and candidates for Earth's interior provide information on bonding and structure, and for calculations of thermodynamic and elastic properties as functions of pressure and temperature. The data directly apply towards understanding the behavior of solids, volatiles, and magmas under pressure. By comparing laboratory derived measurements to seismic determinations of Earth's interior, mantle composition can be inferred. Although this may be deduced by several approaches, establishing Earth's thermal state can only be achieved through calculation of heat capacity at pressure from vibrational spectra at pressure. I use pressure as an independent variable to investigate physical properties of solids: the advantage is that pressure does not drastically affect the population of the vibrational levels as does temperature. The pressure dependence of vibrational frequencies gives information on the anharmonicity of the compound as well as on phase transitions, and can be used to refine models of interatomic potentials, and hence to improve their predictive capabilities of macroscopic properties. General goals set for next 5 years 1) I am collecting complete single-crystal mid- and far-IR absorption and reflectance spectra of a large number of geophysically important minerals at 1 atm. Accurate ambient spectra not only form an essential data base for high-pressure studies, but are also critical in calculating compressibility using the model I've recently developed, and heat capacity and entropy from Kieffer's model (Rev. Geophys, 1980). My recent improvements in the models' accuracies should lead to prediction of macroscopic properties of mantle phases THEDAVIDANDLUCILEPACKARDFOUN'DATION . 300 SECOND STREET, SUITE 200 . LOS ALTOS, CA 94022 . 415-948-7658

DAVID and LUCILE

PACKARD FELLOWSHIPS

1989

;

3a

FOR SCIENCE AND ENGINEERING

Statement by Nominee Name of Nominee

Hofmeister, Anne M. last/flrst/mIddle Initiall

I

from vibration 1 data. 2) I am measuring vibrational spectra of 180 substituded phases in order to calculate isotopic fractionation factors. Such data are difficult to measure directly because of impossibility of attaining equilbrium in the experiments. 3) My main focus is on high pressure IR spectroscopy of crystalline solids and glasses relevant to mantle petrology. I intend to quadruple the pressure range of far-IR measurements to 2 Mbar, which will duplicate mantle conditions. So far, my experiments on olivine, spinel, alkali halide and Mg-Si-O perovskite have shown that this approach is a valid means of determining the thermodynamic properties as a function of pressure and hence the adiabatic gradient inside the mantle, and have revealed structural changes too subtle for x-ray crystallography. My goal is to extend the studies to all of the major phases thought to be present in the mantle in order to constrain its temperature profile. I will also pursue very high pressure studies of alkali halides to constrain theoretical models of the B2 phase. 4) I plan to expand my work to temperature dependent IR spectroscopy not only to complement high-pressure studies, but also to obtain information on structure and bonding of the material while it is subjected to geological conditions. 5) I intend to develop techniques for measuring emission spectra at very high temperatures in order to directly study the vibrational spectra of melts. This data is essential to establish if glasses are reasonable models for melt structure. 6) I want to measure the kinetics of phase transitions by collecting IR spectra as a function of time as a pressurized sample is heated. The data should also reveal mechanisms. Feasiblity studies would be preformed on simple systems like alkali halides and better known transitions like fayalite-to-spinel, the goal being to progress towards more complicated experiments on poorly understood perovskite. General use of funds. The University and NSF have funded my basic laboratory (FTIR spectrometer, 2 diamond anvil cells, and ruby-fluorescence spectrometer to measure pressure). Each year approximately $32,000 would be used for summer and student salaries, $13000 for travel, publication costs, liquid helium, liquid N2, and supplies. This leaves $45,000/year for equipment: three more complete diamond anvil cells, eight replacement diamonds (lifetime 2 yrs.) a heater, cryostat, and controller for temperaturedependent DAC experiments, improvement of the pressure calibration spectrometer, expansion of the FTIR's wavelenght range, an FT-Raman accessory, photographic equipment, a microscope, and a laser printer. If NSF funding continues for topics 1-3 above, then I will use the Packard Fellowship for the exploratory studies in topics 4-6. Signature

-9

name

THEDAVIDANDLUCILEpACKARDFOUNDATION

1,A date

- 300 SECOND STREET, SUITE 200

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-

415-948-7658

L I

DAVID and LUCILE

PACKARKD FELLOWS HIPS

1989

4

FOR SCIENCE AND ENGINEERING

Curriculum Vitae of the Nominee Name of Nominee

last/first/middle Initial

Hofmeister, Anne M.

Department

(916)752-8580

name

telephone (include area code)

Department of Geology

Sponsoring Institution

name

University

Address

of California, Davis

number and street

Davis, CA

95616

city and stote/zip code

3/26/54

Date and place of birth

Toledo

month/day/year

Education (begin with baccalaureate).

Ohio

city

state

Institution

Harvey Mudd College, California

91711

degree and year conferred

field

B.S. with Highest Honors, 1976

Physics and Literature

Institution

University dree

of Illinois, Urbana, Illinois

on year conferred

V.S.,

61801 field

IY98

Physics

Institution

California Institute of Technology, Pasadena, decree and year conferred

Fh.D., 1984;

Positions held (begin with present position).

California

91125

field

M.S. 1981

Geology

employer

U. C. Davis, Davis,

CA

95616

address

Geology Department, Davis, CA

95616

title

Assistant Professor, Dept. of Geology

dates

July 1988-present

employer

Geophysical Laboratory, Carnegie Institution of Washington I

I

address

2801 Upton St., N.W.,

tItlPostdoctoral Fellow/Research Associate

II

!I I1

Planetary sciences

address

I I 1

i

Ii

9'i-Oct. 1987

Cal ifornia Institute of Technology, Division of Geological and

j! I I

20008

employer

1i I

Washington D.C.

L

Pasadena,

California,

91125

tttle

dotes

Graduate Research Assistant TIHEDAVIDANDLUCILEPACKARDFOLTNDATION

1 979-1 983

-300 SECOND STREET, SUITE 200 - LOS ALTOS, CA 94022 * 41 5 94g8-

6

DAVID and LUCILE

PACKARD FELLOWSHIPS

1989

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Curriculum Vitae (continued) Hofmeister, Anne M.

Name of Nominee

last/first/middle Inffial

1978-1979

Graduate Fellow in Applied Physics,

Cal Tech., Pasadena CA

Other

Summer, 1979 Physicist at Hughes Aircraft Research Ctr., Malibu, CA Fall, 1977

Graduate Research Assistant at Univ. of Illinois, Urbana Illinois, 61801 __ ------ __

GRANTS AWARDED: 1989-1 990 "Spec troscopic determination of the thermodynamic properties [i-norn; F.; :i frnr-+inn n-f nripqeirp" NSFr IRA Q21 of mr 1989 "Acqu isition of a Fourier Transform Infrared Spectrometer" MQ t7o 97.9 ^,

o

A/

&

19239

"Acquisition of a mini-computer"

19E3

. "New faculty research grant" University.of Calif.,Davis, $1000.

1 9235-1987

University of Calif. Davis,$l

"Spectroscopic determination of the thermochemical properties of mantle-minerals as a function of pressure" NSF $73,000.

Honors

1984-1985-H. 0. Wood Postdoctoral Fellowship at the Geophysical Laborato,, 1984 - Honorable mention, Geological Society of Washington's best paper competi tion. 1978-1979 - Fellowship in Applied Physics at Cal Tech. 1976 - Graduated from Harvey Mudd:College with Highest Honors. 1972 - Bauch and Lomb Honorary Science Award

I

THIEDAVIDANDLUCILEPACKARDFOUNDATION

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BIBLIOGRAPHY: PAPERS

Hofmeister, Anne M.

Hofmeister, A. M. (1983) Effect of a Hadean terrestrial magma ocean on crust and mantle evolution. Jour. Geophysical Res. 88, p. 4963-4983. Hofmeister, A. M. and G.R. Rossman (1983) Color in Feldspar, in Feldspar Mineralogy, 2nd Edition, Reviews of Mineralogy Vol 2, P.H. Ribbe, Ed. (Min. Soc. Amer.), p. 271-280. Hofmeister, A. M. and G.R. Rossman (1984) Determination of Fe 3 + and Fe 2 + concentrations in feldsapr by optical and EPR spectroscopy. Physics and Chemistry Miner. 11, p. 213-224. Hofmeister, A. M. and G.R. Rossman (1985) A spectroscopic study of irradiative coloring of Amazonite: structurally hydrous, Pb-bearing feldspar. Amer. Mineral. 70, p. 794-804. Hofmeister, A. M. and G.R. Rossman (1985) Exsolution of metallic copper from Lake County Laboradorite. Geology 13, p., 644-647. Hofmeister, A. M. and G.R. Rossman (1985) The inhibiting role of water in irradiative coloring of smoky feldspar, Phys. Chem. Mineral 12, p. 324-332. Hofmeister, A. M. and G.R Rossman (1986) A spectroscopic study of blue radiation coloring in plagioclase. Amer. Mineral. 71, p. 95-98. Finger, L.W., R. M. Hazen, and A. M. Hofmeister (1986) High-pressure crystal chemistry of spinel (MgAl204) and magnetite (Fe3O4): comparisons with silicate spinels. Phys. Chem. Minerals 13, p. 215-220. Hofmeister, A. M., T.C. Hoering, and D. Virgo (1987) Vibrational spectroscopy of beryllium aluminosilicates: heat capacity calculations from band assignments. Phys. Chem. Minerals 14, p. 205-224. Hofmeister, A. M. (1987) Review of Chemical bonding and spectroscopy in mineral chemistry by F.J. Berry and D.J. Vaughan (eds.) Chemical Geology 63, p. 355-356. Hofmeister, A. M. (1987) Single-crystal absorption and relfection infrared spectroscopy of forsterite and fayalite. Phys. Chem. Mineral 14, p. 499-513. Hazen, R.M., T. C. Hoering, and A.M. Hofmeister (1987) Compressibility and highpressure phase transition of a metalloporphyrin: (5,10,15,20- tetraphenyl-21H, 23H-porphinato) Cobalt (II). J. Phys. Chem. 91, p. 5042-5045. McMillan, P. and A. M. Hofmeister (1988) Infrared and Raman spectroscopy of minerals, in Spectroscopy in Mineralogy and Geology, Reviews of Mineralogy Vol. 18, P.H. Ribbbe, Editor, (Min. Soc. Amer.) p. 99-159. Hofmeister, A. M., J. Xu, H. K. Mao, P. M. Bell, and T. C. Hoering (1989) Thermodynamics of Fe-Mg olivines at mantle pressures: part I. Mid- and farinfrared spectroscopy at pressure. Amer. Mineral. 74, p. 281-306. Hofmeister, A. M. ( in review) Calculation of bulk moduli and their pressure derivatives from vibrational frequencies and mode Gruneisen parameters: Solids with high symmetry or one nearest-neighbor distance. Phys. Rev. Kubiki, J., R.J. Hemley, and A.M. Hofmeister (in review) Spectroscopic studies of pressure-induced structural transformation in silicate glasses. Jour. Geophys. Res.

DAVID and LUCILE

PACKAR D FELLOW SHIPS

1989

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FOR SCIENCE AND ENGINEERING

Statement by Nominee Name of Nominee Sponsoring inslitufion

Jacob clsr/frst/mlddie Initial

Daniel

J.

Ph.D. degrees

Harvard Uhlvorgi ty

name

The goal of my research is to understand the effects of human activity on the chemical composition of the atmosphere. Increases in fossil fuel combustion over the past century have led to deterioration of air quality in urban areas, and have fostered air pollution problems on regional and continental scales (tropospheric ozone, acid rain). Human activities are perturbing the chemical composition of the global atmosphere, as documented by the increases in the concentrations of greenhouse gases and the depletion of stratospheric ozone. These perturbations may have serious consequences on climate and on life on Earth (global warming, increased UV radiation). Design of environmental policies to protect the atmosphere requires knowledge of the mechanisms by which pollutants are produced, transported, transformed, and ultimately removed from the atmosphere. My work focuses on conceptual and mathematical models to elucidate these mechanisms. A major challenge is to describe interactions between processes occurring over a wide range of spatial scales, and involving chemical species with lifetimes ranging from milliseconds to many years. Simulation of tropospheric ozone is a case in point. Ozone is a pollutant of serious concern in the troposphere, produced by complex photochemical interactions of nitrogen oxides and hydrocarbons emanating from both anthropogenic and biogenic sources. Observations from the past decade indicate that ozone levels at northern mid-latitudes and over the Arctic are increasing. Some scientists argue that the current strategy for abating ozone levels in cities (reduction of hydrocarbon emissions) may have led to large-scale enhancements of ozone due to transport of nitrogen oxides from urban to rural areas, followed by reaction of nitrogen oxides with hydrocarbons emitted by vegetation. Other scientists argue that the observed increase in ozone may be due to nitrogen oxide emissions from dispersed (rural) sources, or to large-scale diffusion of plumes of urban ozone. Properly designed models would allow evaluation of these various hypotheses, and greatly assist in the shaping of air pollution control policy. However, the development of such models has been hampered so far by the computational difficulty of simulating the chemistry of ozone and its precursors as they are transported from urban to rural areas, and eventually mixed on the global scale. Use of general circulation models holds great promise for improving our ability to simulate atmospheric chemistry in the near future. General circulation models (GCMs) are 3-dimensional meteorological models for the Earth's atmosphere based on solution to the fundamental equations that govern air motions. They have been used extensively for climate studies, in particular to simulate the global warming associated with increased concentrations of greenhouse gases. There has been, however, little effort so far to apply GCMs to describe the transport and chemistry of air pollutants. I have conducted with my collaborators several GCM simulations of radioactive chemical tracers, which allow us to be certain that the GCM can resolve transport on both global and regional scales. Current efforts involve the development of software to describe photochemistry, deposition,

TMIEDAVIDANDLUCILEPACKARDFOUNDATION

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DAVID and LUCILE

PACKARD FELLOWVSHIPS

1989

3a

FOR SCIENCE AND ENGINEERING

Statement by Nominee Name of Nominee

Jacob last/firstlmidde I-dfal

Daniel

J

and subgrid-scale features (cities) within the framework of the GM1. These efforts will be followed by simulations of species with increasingly complex chemistry. Issues such as tropospheric ozone and acid rain involve a high degree of chemical complexity, and constitute objectives for the next five years. A particularly attractive feature of GCMs is the opportunity to study the effects of climate perturbations on atmospheric chemistry, and to identify possible feedbacks of atmospheric chemistry on climate. In particular, global warming and increased U radiation will likely enhance the photochemical activity of the atmosphere, leading to higher levels of tropospheric ozone; these higher levels will constitute a positive feedback to global warming since tropospheric ozone is a greenhouse gas. However, enhanced photochemical activity will also lead to faster oxidation of methane, thus depleting another important greenhouse gas and providing a negative feedback to global warming. In parallel to the GCM work, I plan to pursue the development of smaller-scale models allowing detailed studies of fundamental chemical processes. One of my interests is

the development of cloud models to examine the role of aqueous-phase chemistry in the atmosphere; there is strong evidence that reactions in cloud droplets play an important role in the production of atmospheric acids, but the nature of these reactions is not well understood. Another of my interests is the study of biosphere-atmosphere interactions, focusing on the role of vegetation as a source (emission) and a sink (deposition' of atmospheric species. A particular concern is to assess the effects of tropical deTo date I have examined compreforestation on the global composition of the atmosphere. hensive data sets from several field experiments undertaken by my colleagues at Harvard; a number of surprising results have emerged, challenging accepted ideas about the chemical reactivity of the atmosphere in remote environments. My efforts in coming years will involve increasing collaborations with experimental scientists to design field studies and to interpret observations. The research objectives that I have laid out for the next five years make great Computational constraints demands on computational capacity and on research personnel. have eased somewhat in recent years, thanks to increased access to remote supercomputers. However, I need to make major improvements in my local computing environment at Harvard, both for model development and for analyzing model results. I expect to use 25% of the funds from the Packard Foundation to purchase work stations and to upgrade graphics capabilities. The balance will be used to support graduate students and a post-doctoral fellow.

Signature

name

THEDAVIDANDLUCILEPACKARDFOUNDATION

date

* 300 SECOND STREET, SUITE 200 * LOS ALTOS, CA 94022 * 415-948-7658

DAVID and LUCILE

1989

PACKARD FELLOWSHIPS

4

FOR SCIENCE AND ENGINEERING

Curriculum Vitae of the Nominee Name of Nominee Department Sponsoring frtitution Address

Date and place of birth Education (begin with baccalaureate).

Jacob

Daniel

J.

last/first/middle Initial

Division of Applied Sciences name

(617)495-1794 telephone (include area code)

Harvard University name 29 Oxford St. number and street Cambridge, MA 02138 city and state/zip code 6/14/58 month/day/year

East Patchogue city

Ecole sunpriellre dp Pbvqjn,,P

NY state Pt

rkimip

rlct~ia

Institution Engineer s degree (1980)

ChPM--ng

degree and year conferred

E nginering

field

California Institute of Technology Institution C M -*I* c

00l \'I' (1 (>-| 70

V-4

Ti1

degree and year conferred

field

-I --

L'--r

--

JL.LMLl

California Institute of Technology Institution P'h - T)-

Environmental Engineering Scienc

(1 QRI;

field

degree and year conferred

Positions held (begin with present position).

Harvard University employer

Pierce Hall, 29 Oxford St.,

Cambridge, MA

02138

address

Asst. Professor of Atmospheric Chemistry (7/87-present) title

dates

Harvard University employer

Pierce Hall, 29 Oxford St.,

Cambridge, MA

02138

address

Research Fellow in Atmospheric Chemistry (2/85-7/87) dates

ttife

California Institute of Technoloev employer

W.M. Keck Engineering Labs, Pasadena, CA

91125

address

Graduate Research Assistant title THEDAVIDANDLUCILEPACKARDFOUNDATION

(9/80-2/85) dates

. 300 SECOND STREET, SUITE 200 * LOS ALTOS, CA 94022 * 415-948-7658

DAVID and LUCILE

PACKARD FELLOWSHIPS

1989

4a

FOR SCIENCE AND ENGINEERING

Curriculum Vitae (continued) Name of Nominee

Jacob

Daniel

J.

lastlfirstlmidde INHol

Other

Honors

Presidential Young Investigator (1988)

THEDAVIDANDLUCILEPACKARDFOUNDATION

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:AVID and LUCILE

DACKAR-D FELLOWSHIPS

1989

4b

FOR SCIENCE AND ENGINEERING

List of Publications Name of Nominee

Daniel

Jacob

J.

lost/st/middle Irniial Ust only complete articles published or In press. Do not list presentalions or abstracts.

Publications

-zslructlons

I

Use additional sheets If necessary.

Waldman, J. M., Munger, J.W., Jacob, D. J., Flagan, R. C., Morgan, J. J., and Hoffmann, M. R., Chemrical composition of acid fog, Science, 218, 677-680, 1982. Munger, J. W., Jacob, D. J., Waldman, J. M., and Hoffmann, M. R., Fogwater chemistry in an urban atmosphere, J. Geophys. Res., 88, 5109-5123, 1983. Jacob, D. J., and Hoffmann, M. R., A dynamic model for the production of I-I, NO3, and So2- in urban fog, J. Geophys. Res., 88, 6611-6621, 1983. Jacob, D. J., and M. R. Hoffmann, The chemistry of nighttime urban fogs, in Precipitation,Dry Scavenging, and Deposition (Pruppacher, H. R., et al., eds.), Elsevier, Amsterdam, 149-159, 1983. I

Waldman, J. M., J. W. Munger, D. J. Jacob, and M. R. Hoffmann, Fogwater composition in Southern California, in Precipitation,Dry Scavenging, and Deposition (Pruppacher, H. R., et al., eds.), Elsevier, Amsterdam, 137-148, 1983. Jacob, D. J., R. C. Flagan, J. M. Waldman, and M. R. Hoffmann, Design and calibration of a rotating arm collector for ambient fog sampling, in Precipitation,Dry Scavenging, and Deposition (Pruppacher, H. R., et al., eds.), Elsevier, Amsterdam, 125-136, 1983. Munger, J. W., J. M. Waldman, D. J. Jacob, and M. R. Hoffman, Vertical variability and short-term temporal trends in precipitation chemistry, in Precipitation,Dry Scavenging, and Deposition (Pruppacher, H. R., et al., eds.) Elsevier, Amsterdam, 275-281, 1983. Munger, J. W., Jacob, D. J., and Hoffmann, M. R., The occurrence of bisulfite-aldehyde addition products in fog- and cloudwater, J. Atmos. Chem., 1, 335-350, 1984. Jacob, D. J., Wang, R.-F. T., and Flagan, R. C., Fogwater collector design and characterization, Environ. Sci. Technol., 18, 827-833, 1984. Jacob, D. J., Waldman, J. M., Munger, J. W., and Hoffmann, M. R., A field investigation of physical and chemical mechanisms affecting pollutant concentrations in fog droplets, Tellus, 36B, 272-285, 1984.

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- 2Hoffmann, M. R. and Jacob, D. J., Kinetics and mechanisms of the catalytic oxidation of dissolved sulfur dioxide in aqueous solution: an application to nighttime fog water chemistry. in SO 2 , NO, and NO 2 OxidationMechanisms: Atmospheric Considerations. Calvert, J. G., Ed., Butterworth, Boston, pp., 101-17 1, 1984. Waldman, J. M., Munger, J. W., Jacob, D. J., and Hoffmann, M. R., Chemical characterization of stratus cloudwater and its role as a vector for pollutant deposition in a Los Angeles pine forest, Tellus, 37B, 91108, 1985. Jacob, D. J., Waldman, J. M., Munger, J. W., and Hoffmann, M. R., Chemical composition of fogwater collected along the California coast, Environ. Sci. Technol., 19, 730-736, 1985. Jacob, D. J., Waldman, J. M., Haghi, M., Hoffmann, M. R., and Flagan, R. C., Instrument to collect fogwater for chemical analysis, Rev. Sci. Instrun., 56, 1291-1293, 1985. Jacob, D. J., Munger, J. W., Waldman, J. M., and Hoffmann, M. R., The H2 SO4 - HNO3 - N}13 system at high humidities and in fogs. 1. Spatial and temporal patterns in the San Joaquin Valley of California, J. Geophys. Res., 91, 1073-1088, 1986.

Jacob, D. J., Waldman, J. M., Munger, J. W., and Hoffmann, M. R., The H 2 S0 4 - HNO 3 - NMH 3 system at high humidities and in fogs. 2. Comparison of field data with thermodynamic calculations, J. Geophys. Res. 91, 1089-1096, 1986. Jacob, D. J., The chemistry of OH in remote clouds and its role in the production of formic acid and peroxymonosulfate, J. Geophys. Res., 91, 9807-9826, 1986. Hoffmann, M.R., J.M. Waldman, J.W. Munger, and D.J. Jacob, The chemistry and physics of acid fogs, clouds, and aerosols, in Aerosols: Research, Risk Assessment and Control Strategies, S.D. Lee et al., eds,

Lewis Publishers, Chelsea, Ml, 1986. Jacob, D. J., Shair, F.H., Waldman, J.M., Munger, J.W., and Hoffmann, M.R., Transport and oxidation of SO 2 in a stagnant foggy valley, Atmos. Environ, 21, 1305-1313, 1987. Jacob, D. J., M. J. Prather, S. C. Wofsy, and M. B. McElroy, Atmospheric distribution of 85Kr simulated with a general circulation model, J. Geophys. Res., 92, 6614-6626, 1987. Waldman, J.M., D.J. Jacob, J.W. Munger, and M.R. Hoffmann, Pollutant deposition in radiation fog, in The Chemistry of Acid Rain, (Johnson, R.W., ed.), ACS Symp. Ser., 349, 250-257, 1987. Jacob, D. J., and S. C. Wofsy, Photochemistry of biogenic emissions over the Amazon forest, J. Geophys. Res., 93, 1477-1486, 1988. Andreae, M. O., E. V. Browell, G. L. Gregory, D. J. Jacob, R. C. Harriss, G. W. Sachse, R. W. Talbot, P. L. S. Dias, M. Garstang, M. C. Pereira, A. W. Setzer, A. L. Torres, and S. C. Wofsy, Biomass burning

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L

and associated haze layers over Amazonia, J. Geophys. Res., 93, 1509-1527, 1988. Jacob, D. J., and S. C. Wofsy, Photochemical production of carboxylic acids in a remote continental atmosphere, in Acid Deposition at High Elevation Sites, edited by M.H. Unsworth and D. Fowler, Kluwer Academic Publishers, Dordrecht, Netherlands, 1988. Jacob, D. J., S. Sillman, J. A. Logan, and S. C. Wofsy, Least-independent-variables method for simulations of tropospheric ozone, J. Geophys. Res. (in press) Jacob, D.J., E.W. Gottlieb, and Michael J. Prather, Chemistry of a polluted cloudy boundary layer, J. Geophys. Res. (in press) Jacob, D.J., and M.J. Prather, Radon-222 as a test of convection in a general circulation model,, Tellus (in press) Balkanski, Y.J., and D.J. Jacob, Transport of continental air to the subantarctic Indian Ocean, Tellus (in press) Pierotti, D., S. C. Wofsy, D. J. Jacob, and R. A. Rasmussen, Isoprene and its oxidation products, methacrolein and methylvinylketone, J. Geophys. Res. (in press)

DAVID and LUCILE

PACKARD FELLOWSHIPS

19L89

3

iFOR SCIENCE AND ENGINEERING

| Statement by Nominee i. Name of Nominee

|~ i

I

I

?1 T.

Jaffe, DaniE last/flt/middle irtHtiO

Ph.D. degrees

Astronomv

SPoonsorIng instLtuLionf

name I

I

Studies of the Dense Interstellar Medium in Galaxies:An Experimental Approach In both the Milky Way and in other spiral galaxies, the densest component of the interstellar medium plays a significant role in the evolution, energetics and appearance of the galaxies as a whole. All new stars (and planetary systems) form out of this dense gas. The interstellar dust and gas hide much of the galactic disk from view by absorbing the optical and ultraviolet radiation emitted by stars. They then re-emit the absorbed energy in the infrared and submillimeter. In the extreme case of starburst galaxies, the dense interstellar medium absorbs and then re-emits over 90% of the luminosity. The composition of the interstellar medium evolves as aging stars lose mass enriched in heavy elements through their stellar winds and through supernova explosions. This composition change alters cloud chemistry, star formation rates, and the type of stars formed. While centimeter and millimeter wave techniques can map out the dense interstellar gas, it is only recently that far-infrared and submillimeter (100 pm to 1000 Fum) spectroscopy has advanced to the point that we can investigate the physics of this dense gas in detail. The dense gas consists of both atomic and molecular material. The modest temperatures (20-500 K) and densities (103-107 cm- 3 ) seen in clouds currently forming stars excite the atoms and molecules only to levels radiating in the millimeter, submillimeter, and far-infrared. By studying lines from different levels in various atoms and molecules and constructing excitation and radiative transfer models, we can derive important physical parameters such as temperature, density, mass, and abundance. Studies in the submillimeter (300 glm - 1000 plm) are crucial since the molecular transitions in this band are the most sensitive to excitation variations. The major issues these studies will address include: (1) How do stars form? What is the structure of the clouds? Are clouds all clumpy and supported by turbulent motions? Can we find dense cores actually in the process of collapsing to form new stars? (2) Do planetary systems accompany other stars? Submillimeter spectroscopy can be used effectively to search for disks of gas around newly formed stars since some transitions in this range need much higher densities to be excited than millimeter lines do, yet do not require the high temperatures needed to excite infrared emission. (3) Why are some galaxies currently forming enough hot, massive stars to make the galactic luminosity as high as the extraordinary power output of quasars while galaxies like the Milky Way are much more quiescent? We can attack this problem by investigating the global interstellar excitation and star formation rate in many types of galaxies. (4) Heating and cooling: What are the physical mechanisms governing the processing of energy by the clouds? Since coming to UT, I have begun to attack these questions by constructing a heterodyne spectrometer for the subinillimeter (600-900 GHz) using a laser local oscillator and Schottky diode open-structure mixer, by doing observational work on the structure of dense regions, the nature of THEDAVIDANDLUCILEPACKARDFOLNDATION .300 SECOND STREET, SUITE 200 * LOS ALTOS, CA 94022 - 415-940-7658

DAVID and LUCILE

PACKARD FELLOWSHIPS

1989

3a

FOR SCIENCE AND ENGINEERING

Statement by Nominee Name of Nominee

I I

i i

ii I

Ii

2

Jaffe, Daniel T. lasl/frst/middae irnMalo

star forming cores, and on the global interstellar medium in galaxies, and by beginning to develop radiative transfer and excitation models to deal with these data. I would use the Packard Fellowship to build a group to pursue more vigorously an experimental physics approach to astronomy. This approach would incorporate device development, instrumentation, observational work both with instruments built by the group and with facility devices, and detailed data analysis, within a single group. This approach maximizes the chance to make significant and original contributions to the field and has the added benefit of giving graduate students the broadest possible technical experience as well as solid training in astronomy. The expansion in the scale of the group made possible with funds from the Packard Fellowship would have a synergetic effect since, in addition to tackling new areas of research, a larger group would be able to make more extensive use of the observational and theoretical tools we have already developed. Funds would be used to expand the number of graduate students involved in the work (currently two), to develop spectroscopic instrumentation, and to undertake a more ambitious program of observations and modelling. Specific programs to be carried out with the Fellowship would include: (1) Studies of cloud structure and density at high spatial resolution using the CO J=7-6 transition and the Co 3 P2 -3 P1 transitions in the 350 gtm atmospheric window. We would observe them with the spectrometer we have built at UT and model the results to study the ( penetration of U radiation into the clouds and the heating and cooling of the gas. (2) Studies of protostellar environs: We will investigate the natal remnants around protostars and search for protoplanetary disks using transitions of abundant molecules which are selectively sensitive to the densest interstellar gas (e.g. CS J=18-17 and HCN J=9-8). (3) Galactic energetics: We will study the excitation of the dense interstellar medium in normal spiral galaxies using several transitions of the rare isotopic version of the common carbon monoxide molecule 1 3Co. We will build radiative transfer models to evaluate the excitation as a function of distance from the center of the galaxy and in and out of the spiral arms. (4) Advanced instrumentation: Construction of a rugged optically-pumped far-infrared laser local oscillator system. Our goal will be to provide a more versatile high-power monochromatic source without sacrificing portability. The Packard Fellowship will also provide flexibility for pursuing targets of opportunity and for following up successful investigations promptly. Possible uses for the funding include beginning a collaborative effort on a new generation of instrumentation together with our (wellfunded) friendly competition in West Germany, and starting new instrumentation efforts of our own based on the outcome of development work we are now doing. On the astronomical side, the recent detection of the J=9-8 transition of HCO+ (Jaffe et al., in prep.) may lead us into a study of shock chemistry in protostellar winds.

Signature

name name

May 11, 1989 date

.I lF

THEDAflDANDLU~lLEPACKARDFOL'NDAT1ON

. 300 SECOND STREET, SUITE 200 * I.OS ALTOS, CA 94022 * 415 948-2658

DAVID and LUCILE

1989

PACKARD FELLOWVSHIPS -

4

FOR SCIENCE AND ENGINEERING

Curriculum Vitae of the Nominee Name of Nominee Department Sponsoring Institution Address

Jaffe, Daniel T. last/first/middle InitIal (512) 471-3425 telephone (include area code)

Astronomy name The University of Texas at Austin name R. L. Moore Hall number and street Austin, Texas 78712 city and state/zip code

Dote and place of birth Education (begin with baccalaureate).

6/13/53 month/day/year

New York state

New York city

Harvard College Institution Astronomy field

B.S. 1975 degree and year conferred Harvard tniversitv Institution

Astronomy field

M.A. 1978 degree and year conferred Harvard University Institution

Astronomv field

Ph.D. 1981 degree and year conferred Positions held (begin with present position).

The University of Texas at Austin employer Department of Astronomy, Austin, Texas address Assistant Professor title

78712 -

dates

PrPgpnt

University of California employer Space Sciences Laboratory, Berkeley, CA address

94720 9/82 - 8/86 dates

Assistant Research Physicist

mie University of Chicago employer Enrico Fermi Institute address

5640 Ellis Ave.

.300 SECOND STREET, SUITE 200

60637

10/80 - 8/82 dates

Enrico Fermi Fellow title TIHEDAVIDANDLUCILEPACKARDFOUNDATION

Chicago, IL

*

LOS ALTOS, CA 94022 * 415-94R-7CSZ

DAVID and LUCILE

PACKAR D F1EELLOWVSHIPS

1989

4a

FOR SCIENCE AND ENGINEERING

Curriculum Vitae (continued) Name of Nominee

Other

Jaffe, Daniel T. la/first/middle Inhal

Member, American Astronomical Society Member, International Astronomical Union Director's Committee, Caltech Submillimeter Observatory 1988Telescope time allocation referee, National Radio Astronomy Observatory

Honors

1988-90

Deutscher Akademischer Austauschdienst Fellowship

(1975-76)

Max-Planck-Institut fur Radioastronomie Smithsonian Predoctoral Fellow Enrico Fermi Fellow, U. Chicago

(1978-79) (1980-82)

Bok Price, Harvard University (1986)

I

TiiEDAVIDANDLUCILEPACKARDFOUNDATION

.300 SECOND STREET, SUITE 200 . LOS ALTOS, CA 94022 * 415-94S-7658

L DAVID and LUCILE

PACKA1RD FELLOWVSHIPS II

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I List of Publications Jaffe, Daniel T. lost/first/middle Inid

Name of Nominee

I I I I

Ust only complete articles published or In press. Do not list presentations or abstracts. Use additional sheets If necessary.

Pubtications Instructlons

Refereed Publications EUV TRANSIENTS OBSERVED AT THE SOLAR POLE, G.L. Withbroe, D.T. Jaffe, P.V. Foukal, M.C.E Huber, R.W. Noyes, E.M. Reeves, E.J. Schmahl, J.G. Timothy, and J.E. Vernazza, Ap. J., 203, 528, (1976). RECOMBINATION-LINE OBSERVATIONS OF W3(OH), D.T. Jaffe, T.L. Wilson, and P. Thomasson, Ap. J.(Letters), 223, L123, (1978). THE STRUCTURE OF THE ORION NEBULA, THE PARTIALLY IONIZED GAS, D.T. Jaffe and V.L. Pankonin, Ap. J., 226, 869, (1978). A COMPARISON OF HIGH RESOLUTION RADIO AND FAR INFRARED MAPS OF M17, T.L. Wilson, G.G. Fazio, D. Jaffe, D. Kleinmann, E.L. Wright, and F.J. Low, Astr. and Ap., 76, 86, (1979). ON THE NATURE OF MWC 349, L. Hartmann, D. Jaffe, and J. Huchra, Ap. J., 239, 905, (1980). OBSERVATIONS OF THE 212-111 LINE OF H2 CO, T.L. Wilson and D.T. Jaffe, Ap. J., 245, 866, (1981). THE PARTIALLY IONIZED GAS IN THE W3 COMPLEX, C90a OBSERVATIONS, D.T. Tnffe.

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NEW H20 MASERS ASSOCIATED WITH FAR-INFRARED SOURCES, D. Jaffe, R. Guesten, and D. Downes, Ap. J., 250, 621, (1981). A HIGH RESOLUTION FAR-INFRARED SURVEY OF A SECTION OF THE GALACTIC PLANE: I - THE NATURE OF THE SOURCES, D.T. Jaffe, M.T. Stier, and G.G. Fazio, Ap. J., 252, 601, (1982). A HIGH RESOLUTION FAR-INFRARED SURVEY OF A SECTION OF THE GALACTIC PLANE: II - FAR-IR, CO, AND RADIO CONTINUUM RESULTS, M.T. Stier, D.T. Jaffe, G.G. Fazio, W.G. Roberge, C. Thum, and T.L. Wilson, Ap. J. (Suppl.), 48, 127, (1982). See next page

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. 300 SECOND STREET, SUITE 200

- LOS ALTOS, CA 94022

*

415-940-7658

L4( Jaffe, Daniel T. LIST OF PUBLICATIONS (CONTINUED) Refereed Publications A HIGH RESOLUTION FAR-INFRARED MAP OF THE EVOLVED HII REGION Ml 6, B. McBreen, G.G. Fazio, and D.T. Jaffe, Ap. J., 254, 126, (1982). INFRARED AND RADIO OBSERVATIONS OF W5 1: ANOTHER ORION-KL AT A DISTANCE OF 7 KPC?, R. Genzel, E.E. Becklin, C.G. Wynn-Williams, J.M. Moran, M.J. Reid, D.T. Jaffe, and D. Downes, Ap. J., 255, 527, (1982). STAR FORMATION IN THE M17SW GIANT MOLECULAR CLOUD, D.T. Jaffe and G.G. Fazio, Ap. J. (Letters), 257, L77, (1982). FAR-INFRARED AND CO OBSERVATIONS OF NGC 6357 AND REGIONS SURROUNDING NGC 6357 AND NGC 6334, B. McBreen, D.T. Jaffe, and G.G. Fazi~o, Astron. J., 88, 835, (1983). SUBMILLIMETER OBSERVATIONS OF W3, D.T. Jaffe, R. H. Hildebrand, J. Keene, and S.E. Whitcomb, Ap. J. (Letters), 273, L89, (1983). FAR-INFRARED DETECTION OF LOW LUMINOSITY STAR FORMATION IN THE BOK GLOBULE B335, J. Keene, J. Davidson, D.A. Harper, R.H. Hildebrand, D.T. Jaffe, R.F. Loewenstein, F.J. Low, and R. Pernic, Ap. J. (Letters), 274, L43, (1983). FAR-IR AND SUBMILLMETER OBSERVATIONS OF THE LOW LUMINOSITY PROTOSTARS L1455-FIR AND L1551-IRS5: THE CONFINEMENT OF BIPOLAR OUTFLOWS, J.A. Davidson and D.T. Jaffe, Ap. J. (Letters), 277, L13, (1984). THE MASSIVE CORE OF W51, D.T. Jaffe, E.E. Becklin, and R.H. Hildebrand, Ap. J. (Letters), 279, L51, (1984). FAR-IR SELECTED STAR FORMATION REGIONS, D.T. Jaffe, R.H. Hildebrand, J. Keene, D.A. Harper, R.F. Loewenstein, and J.M. Moran, Ap. J., 281, 225, (1984). FAR-INFRARED AND CO OBSERVATIONS OF THE W33 COMPLEX, M.T. Stier, D.T. Jaffe, T.N. Rengarajan, G.G. Fazio, C.W. Maxson, B. McBreen, L. Loughran, S. Serio, and S. Sciortino, Ap. J., 283, 573, (1984). FAR-IR AND SUBMILLIMETER OBSERVATIONS OF THE MULTIPLE CORES IN S255, W3, AND OMC 1: EVIDENCE FOR FRAGMENTATION? D.T. Jaffe, J.A. Davidson, M. Dragovan, and R.H. Hildebrand, Ap. J., 284, 637, (1984). SUBMILLIIMETER OBSERVATIONS OF M82, D.T. Jaffe, E.E. Becklin, and R.H. Hildebrand, Ap. J. (Letters), 285, L31, (1984). DETECTION OF THE 370.m 3 P2 -*3 P1 FINE STRUCTURE LINE OF [CI], D.T. Jaffe, A. Harris, M. Silber, R. Genzel, and A. Betz, Ap. J. (Letters), 290,L59, (1985). CO 7-46 SUBMILLIMETER EMISSION FROM THE GALACTIC CENTER: WARM MOLECULAR GAS AND THE ROTATION CURVE IN THE CENTRAL 10 PC, A.I. Harris, D.T. Jaffe, M. Silber, and R. Genzel, Ap. J. (Letters), 294, L93, (1985). See next page

LAd

Jaffe, Daniel T. LIST OF PUBLICATIONS (CONTINUED) Refereed Publications SUBMILLIMETER OBSERVATIONS OF EVOLVED STARS, R.J. Sopka, R.H. Hildebrand, D.T. Jaffe, I. Gatley, T. Roellig, M.W. Werner, M. Jura, and B. Zuckerman, Ap. J., 224, 242, (1985). NEW EVIDENCE ON THE MASS DISTRIBUTION IN THE GALACTIC CENTER, M.K. Crawford, R. Genzel, A.I. Harris, D.T. Jaffe, J.H. Lacy, J.B. Lugten, E. Serabyn, and C.H. Townes, Nature, 315, 467, (1985). WARM DENSE GAS IN LUMINOUS PROTOSTELLAR REGIONS: A SUBMILLIMETER AND FAR-IR CO LINE STUDY, D. T. Jaffe, A. I. Harris, and R. Genzel, Ap. J., 316, 231 (1987). APERTURE SYNTHESIS OBSERVATIONS OF THE MOLECULAR RING IN THE GALACTIC CENTER, R. Giisten, R. Genzel, M. C. H. Wright, D. T. Jaffe, J. Stutzki, and A. I. Harris, Ap. J., 318, 124, (1987). SUBMILLIMETER AND FAR-INFRARED SPECTROSCOPY OF M17 AND S106: UVHEATED, QUIESCENT MOLECULAR GAS?, A. I. Harris, J. Stutzki, R. Genzel, J. B. Lugten, G. J. Stacey, and D. T. Jaffe, Ap. J. (Letters), 322, L49 (1987). THE UCB/MPE CASSEGRAIN SUB MILLIMETER HETERODYNE SPECTROMETER, A.I.Harris, D. T. Jaffe, J. Stutzki, and R. Genzel, Int. Journ. IR and MM Waves, 8, 857 (1987). FIRST DETECTION OF HCN 9 -e 8 (797 GHZ) LINE EMISSION: VERY HIGH DENSITIES IN THE ORION CORE, J. Stutzki, R. Genzel, A.I. Harris, J. Herman, and D.T. Jaffe, Ap. J. (Letters), 330, L125 (1988). SUBMILLIMETER AND FAR-INFRARED LINE OBSERVATIONS OF M17SW: A CLUMPY MOLECULAR CLOUD PENETERATED BY UV RADIATION, J. Stutzki, G. J. Stacey, R. Genzel, A. I. Harris, D.T. Jaffe, and J.B. Lugten, Ap. J., 332, 379 (1988). HIGH SPATIAL RESOLUTION OBSERVATIONS OF NEUTRAL ATOMIC CARBON IN THE MOLECULAR CLOUDS M17 AND W51, R. Genzel, A. I. Harris, D.T. Jaffe, and J. Stutzki, Ap. J., 332, 1049 (1988). FIRST DETECTION OF S02 AND CH3 0H EMISSION AND ONE UNIDENTIFIED LINE NEAR 800 GHz: THE ORION PLATEAU EMISSION AS THE DOMINANT COMPONENT IN VERY HIGH EXCITATION TRANSITIONS, J. Stutzki, R. Genzel, U. U. Graf, A. I. Harris, and D. T. Jaffe, Ap. J. (Letters), 340, L37 (1989). STRONG, SPATIALLY EXTENDED CO 7 -e 6 EMISSION FROM LUMINOUS CLOUD CORES: W51 AND DR21, D. T. Jaffe, R. Genzel, A. I. Harris, J. B. Lugten, G. J. Stacey, and J. Stutzki, Ap. J., in press (1989). WARM GAS AND SPATIAL VARIATIONS OF MOLECULAR EXCITATION IN THE NUCLEAR REGION OF IC 342, A. Eckart, D. Downes, R. Genzel, A. I. Harris, D. T. Jaffe, and W. Wild, Ap. J., in press (1989). See next page

L4 e Jaffe, Daniel T. LIST OF PUBLICATIONS (CONTINUED) Recent Conference Publications 86 GHz APERTURE SYNTHESIS OBSERVATIONS OF THE GALACTIC CENTER, M.C.H. Wright, R. Genzel, R. Gisten, and D.T. Jaffe, Proceedings of the C. H. Townes Symposium on the Galactic Center, D.C. Backer, ed. (New York: AIP) (1987). HAT CREEK APERTURE SYNTHESIS OBSERVATIONS OF THE CIRCUMNUCLEAR RING IN THE GALACTIC CENTER, R. Guesten, R. Genzel, M.C.H. Wright, D.T. Jaffe, J. Stutzki, and A.I. Harris, Proceedings of the C.H. Townes Symposium on the Galactic Center, D.C. Backer, ed. (New York: AIP) (1987). INTERSTELLAR MATERIAL NEAR THE GALACTIC CENTER, D.T. Jaffe, Proceedings of the 13th Texas Symposium on Relativistic Astrophysics, M. Ulmer, ed. (World Scientific) 1987, p. 366. HOT QUIESCENT GAS IN PHOTODISSOCIATION REGIONS:- CO AND C+ OBSERVATIONS OF NGC 2023, D.T. Jaffe, J.E. Howe, R. Genzel, A.I. Harris, J. Stutzki, and G.J. Stacey, Proceedingsof the InternationalSymposium On Submillimetre andMillimetre Astronomy, ed. A.S. Webster (Dordrecht: Kluwer) in press (1989) [hereafter referred to as ISSMA]. CO 3-2 OBSERVATIONS OF NGC 253, F.N. Bash, J.H. Davis, D.T. Jaffe, W.F. Wall, and E.C. Sutton, ISSMA, (1989). HCN J = 9-8 EMISSION IN THE ORION CORE AND W49, A.I. Harris, R. Genzel, U.U. Graf, D.T. Jaffe, and J. Stutzki, ISSMA, (1989). EXTENSIVE C+ 158 pgm LINE MAPPING OF W3 AND NGC 1977, J.E. Howe, N. Geis, R. Genzel, D.T. Jaffe, A. Poglitsch and G.J. Stacey, ISSMA, (1989). PHYSICAL CONDITIONS IN MOLECULAR CLOUDS DERIVED FROM SUB-MM AND FAR-IR SPECTROSCOPIC OBSERVATIONS, J. Stutzki, G.J. Stacey, R. Genzel, U.U. Graf, A.I. Harris, D.T. Jaffe, J.B. Lugten, and A. Poglitsch, ISSMA, (1989). OBSERVATIONS OF MOLECULAR AND ATOMIC GAS IN PHOTODISSOCIATION REGIONS, D.T. Jaffe and J.E. Howe in Proceedingsof the 2nd Texas-Mexico Conference on Astrophysics, S. Torres-Peimbert and J. Fierro eds. (1989).

)AVID and LUCILE

?ACKARD FELLOWVSHIPS

19839

3

FOR SCIENCE AND ENGINEERING

Statement by Nominee nrf Mmmom

.

Nhmfrk4

A.B., Ph.D.

Kaner, Richard B.

I

degrees

i.st/first/modde IHnIal

-

University of California, Los Angeles name

Sponsoring Institution

From doped seniconductors in computer chips to phosphors in color television, materials form the heart of modem technology. The exploration and synthesis of new materials is the key to our future technological progress. My solid state chemistry research group concentrates on the synthesis and characterization of new materials. Two important research areas are targeted first, the low temperature synthesis of high temperature materials and second, the development of polymers or plastics which can conduct electricity. Low temperature synthesis of materials which are normally made at high temperatures (-500-1500 0C) will not only, lead to improvements in the preparation of known materials, but may facilitate the synthesis of new kinetically stable materials which are unobtainable by high temperature routes. Traditional high temperature reactions between elements are slow and the products are generally limited to only the most thermodynamically stable phase. Yet many important materials, such as diamonds, are only kinetically stable under ambient conditions. My research group is developing precursor routes to enable the low temperature synthesis of materials. For example, nickel disulfide is normally made by heating its constituent elements or the monosulfide and sulfur at greater than 600'C for several days. Intermittent grinding and reheating is usually needed in this traditional type of solid state synthesis. On the other hand, we have developed a precursor route which yields pure crystalline nickel disulfide in only minutes at 60'C. The key is using a high oxidation state nickel salt, potassium hexafluoronickelate (IV) and an alkali metal sulfiding agent, sodium pentasulfide. The product is then isolated by simply washing away the sodium fluoride and potassium fluoride byproducts. We have recently extended this synthetic method to the preparation of molybdenum disulfide, MoS2. MoS2 is an important material used primarly as a lubricant in aerospace applications, as a cathode for rechargeable batteries and as a hydrodesulfurization catalyst. It is normally prepared by heating the elements to 1000TC for many days. Our newly discovered technique produces pure crystalline MoS2 in a room temperature activated reaction in just seconds. My research group is currently expanding the list of transition metal sulfides which can be produced rapidly from low temperatures to include the disulfides of tungsten, niobium, tantalum and rhenium. In addition, we can synthesize transition metal selenides, such as molybdenum, tungsten, tantalum or niobium diselenide and phosphides, such as molybdenum monophosphide, rapidly at low temperatures by analogous precursor routes. Mixed metal and mixed anion solid solutions, such as MoO.8NbO.2Se2 and MoSSe, have been successfully synthesized by this method. Over the term of the Packard Fellowship, I intend to develop a systematic approach to the low temperature synthesis of transition metal chalcogenides (S, Se and Te), oxides and pnictides (N, P, As and Sb). A range of solid solutions will be explored including novel substitutions involving rare earth metals. The precursor synthetic route not only produces a wide variety of important materials but also allows control over the particle size of the crystallites formed. In the presence of large amounts of nonaqueous solvents, this same synthetic technique can produce ultrafine particles. These ultrafine particles will be tested by our collaborators in the materials science department for possible rapid densification into tough ceram-Lics. At the other extreme, it appears that single crystals can be grown at low temperatures by slowing the diffusion rates of the reacting species. Single crystals will allow precise measurements of structure and physical properties to be made. Crystal growth experiments using the precursors in gels and molten salts are in progress. A c....A

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DAVID and LUCILE

PACKARD FELLOWSHIPS

1989

3a

FOR SCIENCE AND ENGINEERING

Statement by Nominee Kaner, Richard B. Name of Nominee

last/first/mIddle Inital

the syntheses of known conducting polymers and developing completely new conducting polymer systems. In the area of new dopants, we have developed chemical methods for incorporating divalent dopant cations into the polymers polyacetylene and polyparaphenylene. Previously, only monovalent dopants were known. These new doped polymeric materials are metallic conductors and are shedding light not only on the interactions which allow conductivity along a polymer chain, but also on electron movement from one chain to another. We have found that when polyacetylene is partially reduced and doped with the new dopant cations calcium, strontium, barium or europum in their +2 oxidation state, the electrons added to the pi system of the polymer are spin paired, as shown by magnetic resonance experiments. The dopant induced changes in the infrared and optical spectra are consistent with most dopants bridging two chains, leading to the formation of solitons. However, a few dopants donate both electrons to a single chain giving rise to what are termed bipolaron states. This is the first evidence for bipolaron states in polyacetylene. By expanding this research to include even more highly charged dopant ions and by studying the resulting structural, electronic, magnetic and optical properties, we can obtain a better understanding of the mechanism responsible for conductivity in these novel doped conducting polymers. In addition, we are exploring electrochemical methods for introducing highly charged dopants into conducting polymers. This research will demonstrate whether these materials can be used as charge storage electrodes. We are also developing ion exchange reactions, making use of our new highly charged dopant ions, to incorporate new dopants into conducting polymers which cannot be introduced by classical methods. Doping of conducting polymers with anions or cations normally requires an oxidizing or reducing agent of sufficient strength and the presence of a suitable counterion. Dopant ions which are more readily oxidized or reduced than the polymer are therefore excluded. Ion exchange, however, may allow substitution of one dopant for another without redox chemistry, since the polymer will already be partially oxidized or reduced. Ion exchange reactions with highly charged dopant ions could lead to unusual counterion/polymer systems with exciting properties such as photoconductivity. Currently, the hallmark of conducting polymers is their conjugated carbon backbone. In our search for new materials we are working on the synthesis of boron-nitrogen conducting polymers. My idea is to replace the carbon-carbon bonds with isoelectronic boron-nitrogen units. This will give rise to a new family of carbon-free conducting polymers. Conducting polymers, discovered only twelve years ago, form a relatively new class of materials. Our research focuses on three fundamental aspects of conducting polymers: the mechanism responsible for conductivity, the dcpants which give rise to conductivity and new structures which can support electrical conduction. The Packard Fellowship will enable my group to delve into the synthesis and characterization of new materials. The Fellowship will be used primarily to support graduate students, a postdoctoral fellow and provide their needed chemicals, glassware and supplies. The funds also will support our newly established facilities (dryboxes, vacuum lines, electrochemical equipment and a fluorine reactor) and maintain instrumentation used in a modern solid state chemistry laboratory (X-ray diffraction, thermal analysis, UV-vis and IR spectroscopy, NMR, EPR, etc). The Packard Fellowship will be used to advance our understanding of conducting polymers and to develop our low temperature synthesis and characterization of materials. Today's basic research into materials will lead to tomorrow's technology. Signature

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Curriculum Vitae of the Nominee Kaner. Richard B.

Name of Nominee

last/first/middle Inrtal

Department of Chemistry and Biochemistry

Department

(213) 825-5346 telephone (include area code)

name

University of California. Los Angeles

Sponsoring Institution

name

405 Hilgard Avenue

Address

number and street

Los Angeles, CA 90024-1569 city and state/zip code

June 20, 1958

Date and place of birth

month/day/year

Two Rivers

Wisconsin state

clty

Brown University

Education (begin with baccalaureate).

Institution

A.B. with honors

1980

degree and year conferred

Chemistry field

University of Pennsylvania Institution

PhD

1984

degree and year conferred

Inorganic Chemistry field

Institution degree and year conferred Positions held (begin with present position).

I

field

University of California, Department of Chemistry and Biochemistry employer

405 Hilgard Avenue, Los Angeles, CA 90024-1569 address

Assistant Professor title

1987-present dates

University of California, Berkeley, Department of Chemistry employer Berkeley,

CA 94720

address

Postdoctoral Fellow

1984-1986 dates

title

University of Pennsylvania. Department of Chemistry employer

Philadelphia, PA 19104 address

Graduate Research Fellow

THEDANIDAND LUCILEPACKARDFOUNDATION

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DAVID and LUCILE

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1989

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4b

List of Publications Kaner, Richard B. Name of Nominee

Publications Instructions

last/first/mlddle Inrifal

Ust only complete articles published or h press. Do not list presentations or abstracts. Use additional sheets If necessary.

1. R.B. Kaner, C.A. Castro, R.P. Grusko and A. Wold. "Preparation and characterization of the platinum metal phosphides RuP 2 and IrP2." Mat. Res. Bull., 12, 1143 (1977). 2. R. Collins, R.B. Kaner, P. Russo, A. Wold and D. Avignant. "High pressure phase transformation of platinum sulfide." Inorg. Chem., 18, 727 (1979). 3. J.D. Passaretti, R.B. Kaner, R. Kershaw and A. Wold. "Synthesis of poorly crystallized platinum metal dichalcogenides." Inorg. Chem., 20, 501 (1981).

4. J.H. Kaufman, J.W. Kaufer, A.J. Heeger, R.B. Kaner and A.G. MacDiarmid. "Electrochemical voltage spectroscopy of trans-(CH)x." Phys. Rev. B , 26, 2327 (1982). 5. J.H. Kaufman, E.J. Mele, A.J. Heeger, R.B. Kaner and A.G. MacDiarmid. "Electric field enhanced diffusion in trans-(CH)x."J. Electrochem. Soc., 130, 571 (1983). 6. A.G. MacDiarmid, R.B. Kaner, M. Maxfield, D.P. Naimns, P.J. Nigrey and A.J. Heeger. "Lightweight rechargeable batteries using polyacetylene, (CH),, as the cathode- and/or anode-active material," in Energy Technology X, A Decade of Progress,R.F. Hill, ed. (Government Institutes, Inc., 1983) p. 675 . 7. A.G. MacDiarmid, R.B. Kaner, R.J. Mamnone and A.J. Heeger: "The aqueous and non-aqueous electrochemistry of polyacetylene: Application in high power density rechargeable batteries." J. de Physique, 44, C3-543 (1983). 8. J.H. Kaufman, A.J. Heeger, R.B. Kaner, E.J. Mel6 and A.G. MacDiarmid. "Electric field enhanced diffusion in polyacetylene." J. de Physique, 44, C3-577 (1983). 9. R.B. Kaner, A.G. MacDiarm-id and R.J. Mamrnmone. "Polyacetylene, (CH)x:An electrode-active material in aqueous and non-aqueous electrolytes," in Polymers in Electronics, T. Davidson, ed. (Amer. Chem. Soc., 1984) p. 575. 10. R.B. Kaner and A.G. MacDiarmid. "Electrochemistry of polyacetylene, (CH)x: Characteristics of the reduced polyacetylene electrode." J. Chem . Soc., FaradayTrans. I, 80, 2109 (1984). 11. S. Lefrant, P. Bernier and R.B. Kaner. "An in situ Raman study after n-doping of a cis-rich polyacetylene electrode in an electrochemical cell." Jpn. J. Appl. Phys., 23, L883 (1984). 12. J. Caja, R.B. Kaner and A.G. MacDiarmid. "A rechargeable battery employing a reduced polyacetylene anode and a titanium disulfide cathode." J. Electrochem. Soc., 131, 2744 (1984). THiEDAVIDANDLUCILEPACKARDFOUNDATION

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Kaner, Richard B. 13. A.G. MacDiarmid, R.J. Mammone, R.B. Kaner and S.J. Porter. "The concept of 'doping' of conducting polymers: The role of reduction potentials." Phil. Trans. R. Soc. Lond. A., 314, 3 (1985). 14. S. Lefrant, P. Bernier, R.B. Kaner and A.G. MacDiarmid. "In situ Raman and EPR investigation of a cis-(CH)x electrode." Mol. Cryst. Liq. Cryst., 121, 233 (1985). 15. A.G. MacDiarmid and R.B. Kaner. "Electrochemistry of polyacetylene: Application to rechargeable batteries," in Handbook of ConductingPolymers, T. Skotheim, ed. (Marcel Dekker, Inc., 1986) p. 689. 16. R.B. Kaner and A.G. MacDiarmid. "Reversible electrochemical reduction of polyacetylene, (CH)x." Synth. Met., 14, 3 (1986). 17. R.B. Kaner, J. Kouvetakis and S.G. Mayorga. "Structure of chloro(rl 5 -pentamethylcyclopentadienyl)bis(trimethylphosphine)iridium(U1) hexafluorophosphate." Acta Cryst., C42, 500 (1986). 18. R.B. Kaner, S.J. Porter and A.G. MacDiarmid. "The electrochemical reduction of polyacetylene with selected reducing agents." J. Chem. Soc., FaradayTrans. I, 82, 2323 (1986). 19. J. Kouvetakis, R.B. Kaner, M.L. Sattler and N. Bartlett. "A novel graphite-like material of composition BC 3 and nitrogen-carbon graphites." J. Chem. Soc., Chem. Commun., 1758 (1986). 20. R.B. Kaner, J. Kouvetakis, C.E. Warble, M.L. Sattler and N. Bartlett. "Boron-carbonnitrogen materials of graphite-like structure." Mat. Res. Bull., 22, 399 (1987). 21. R.B. Kaner. "The electrochemistry of reduced polyacetylene," in Electronic Materials and Processes, N.H. Kordsmeier, Jr., C.A. Harper and S.M. Lee, eds. (Society for the Advancement of Material and Process Engineering, 1987) p. 188. 22. R.B. Kaner and A.G. MacDiarmid. "Plastics That Conduct Electricity." Sci. Am., 258, 106 (1988). 23. R.B. Kaner, S.-M. Huang, C.-H. Lin and J.H. Kaufman. "Chemical reduction of polyacetylene with incorporation of divalent dopant cations." Syn. Met., 28, DI 15 (1989). 24. R.B. Kaner, S.J. Porter, D.P. Nairns and A.G. MacDiarmid. "The application of electrochemistry to the measurement of selected intrinsic physical properties of polyacetylene." J.Chem. Phys., 90, 5102 (1989). 25. S.-M. Huang and R.B. Kaner. "Divalent dopant ions for conducting polymers."Sol. St. Ionics, 33, 000 (1989). 26. J.H. Kaufman, S.-M. Huang, R.K. Shibao and R.B. Kaner. "Evidence for bipolaron formation in divalent doped polyacetylene." Solid St. Commun. (in press). 27. P.R. Bonneau, R.K. Shibao and R.B. Kaner. "Low temperature initiated precursor synthesis of crystalline NiS 2 ." Inorg. Chem. (in press).

iDAVID and LUCILE

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Statement by Nominee Name of Nominee

Cynthia J. Kenyon last/first/middle Initial

Ph-T). degrees

University of California, San Francisco Sponsoring Instiftiion

name

Our laboratory is studying the fundamental problem of biological pattern formation, using the nematode Caenorhabditis elegans as an experimental organism. We have been studying a regulatory system that generates complex antero-posterior body patterns fairly late in development, after the animal hatches. One of the genes we are studying, called mab-5 (for male abnormal), is required for one posterior body region to acquire its characteristic identity, and to develop a variety of mating structures and sensilla (1). Recently, we have found that mab-5 RNA is localized in the posterior region of early embryos, long before the animal hatches and gene function is observed (2). mab-5 product is one of the few position-specific markers identified so far in C. elegans embryos. Now, by asking how mab-5 RNA is localized, we can address an important question in pattern formation: How is information that is required for positioning body structures correctly late in development stored and processed in the early embryo? How might mab-5 RNA be localized in the C. elegans embryo? Two basic processes, intercellular interactions and the asymmetric segregation of regulatory factors at cell division, are likely to be involved. As in many organisms, both processes appear to be important in establishing the basic body plan of C. elegans (for review, and specific references, see 3). For example, during the first cell divisions, germ line-specific granules can be seen to segregate into posterior daughter cells. The segregation of these and other substances appears to require filamentous actin, and the products of at least five par (for partitioning) genes. In addition, J. Priess has recently shown that embryonic cell interactions are required for the specification of nearly all the ectodermal cells and some mesodermal cells in the animal. A gene similar to epidermal growth factor precursor functions in some of these interactions (Greenwald, I.; Kimble, J., pers. comm.). The cells that express mab-5 are related by position but not by lineage. Therefore, we might expect localized positional information to lead to mab-5 RNA accumulation. Regulatory factors located within specific cells could affect mab-5 expression via cell-cell communication, or, if they can cross cell membranes (for example, if they are steroids such as retinoic acid), they could influence mab-5 more directly. J. Priess has shown that cell-cell interactions are required for the correct development of several cells that express mab-5; therefore, mab-5 localization is unlikely to occur strictly by the asymmetric segregation of regulators through the lineage. However, it is possible that factors that cause cells to induce mab-5 expression in neighboring cells could be segregated asymmetrically during the first few divisions. Such a process seems likely to control muscle development in the pharynx of C. elegans.

Our major experimental approach will be to use genetics to identify genes required to localize mab-5 RNA. We will examine existing mutants, and also screen for new (maternal and zygotic) mutants with altered mab-5 distribution (using mab-5-specific antibodies or a mab-5-reporter gene fusion). During this funding period, we plan to identify and characterize a number of regulatory genes genetically, and to initiate a molecular analysis of genes that seem particularly interesting by molecular cloning and DNA sequencing. We are especially interested in learning whether there are genes that affect mab-5 localization fairly specifically; that is, without affecting all other aspects of embryonic asymmetry. In the long run, analyzing these regulatory genes should give us a wealth of information about how mab-5 product is localized, and thus how future antero-posterior patterning is pre-programmed within the embryo. For example, finding that certain gene products segregate asymmetrically at cell division will

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Statement by Nominee Name of Norrmnee

Kenyon, Cynthia J. last/nrst/mlddie imal

show directly that asymmetric segregation is involved in mab-5 localization, and provide us with an entry point for studying this process. We may find that these gene products interact physically with actin, or with the par gene products. Or, for example, finding that certain genes resemble known signal transduction genes, or function cell nonautonomously in genetic mosaic animals, will indicate that they function in cell interactions, and allow us to design experiments to analyze these interactions at the molecular level. We will also use physical manipulations to study the roles of intercellular signalling and asymmetric segregation in mab-5 localization. For example, to learn whether an actin-based segregation mechanism could play a role in mab5 localization, we will pulse embryos with drugs that depolymerize actin. This treatment abolishes many manifestations of early embryonic asymmetry, such as the segregation of germ-line granules. However, if a different mechanism leads to mab-5 localization (for example, one possibility is an actin-independent asymmetry established -* by the sperm centrosome), disruption of actin may not affect mab-5 distribution. To learn how cell-cell interactions influence mab-5 localization, we will extrude early blastomeres through a small hole in the embryo, and ask whether (and if so, how) mab-5 expression is altered. This procedure was used by Priess to identify cell interactions affecting j musde development. These manipulations should complement our genetic studies, and help us to infer the functions of genes we identify; for example, we may find mutants in which cells develop as if their neighbors are missing, suggesting that the disrupted genes function in specific cell-cell interactions. Studying this problem using the mab-5 gene is particularly interesting because mab-5 has several features in common with the homeotic genes of Drosophila,which also function to give specific body regions their identities. In particular, mab-5 contains a sequence known as a homeobox (a conserved DNA binding motif) that is quite similar (about 75% identical) to homeoboxes of the DrosophilaAntennapedia and Ultrabithoraxgenes (2). [Certain genes containing this type of homeobox may also regulate pattern formation in vertebrates (see 4).] The regulatory circuitry that localizes Drosophila homeotic gene function has now been outlined in some detail (see 5). However, it is not clear what aspects of this regulation have been conserved during evolution, especially since the Drosophila embryo develops in a very unusual, syncytial fashion, in which cell boundaries are absent C. elegans is currently the only organism other than Drosophila in which sophisticated genetic and molecular analysis can be used to study pattern formation. Furthermore, in C. elegans, unlike any other organism, cell growth and differentiation can be observed with single cell resolution throughout development. Thus, this approach provides a unique opportunity to learn how the positioning of homeotic gene activities can take place in an organism with a cellular embryo, and then to compare in detail how an apparently conserved patterning system is set up in two very different types of embryos. References 1. Kenyon, C. (1986)Cell 46: 477-487. 2. Costa, M., Weir, M., Coulson, A., Sulston, J. and Kenyon, C. (1988) Cell 55: 747-756. 3. Wood, W.B. (1989) in The Nemnatode Caenorhabditis elegans (W.B. Wood, ed.) Cold Spring Harbor Laboratory, Cold Spring Harbor, New York. 4. Graham A., Papalopulu, N., and Krumlauf, R. (1989) Cell 57: 367-378; Harvey, R.P., and Melton, D. A. (1988) Cell 53: 687-697. 5. Ingham, P.W. (1988) Nature 335: 25-34.

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II FOR SCIENCE AND ENGINEERING

Curriculum Vitae of the Nominee Name of Nominee Department Sponsoring Institution Address

last/first/middle InWtial Kenyon, Cynthia J. name Biochemistry and Biophysics name University of California, San Francisco

(415) 476-9250 telephone (include area code)

number and street 513 Parnassus Avenue, HSE 1556 city and state/zip code

Date and place of birth Education (begin with baccalaureate).

San Francisco, California 94143-0554 month/day/year city 02/21/54 Chicago, Illinois

state

Institution University of Georgia, Athens, GA degree and year conferred B.S. 1976 Institutfon Massachusetts Institute of Technology

field Biochemistry/Chemistry (under Prof. Graham Walker)

degree and year conferred Ph.D. 1981

field Biology

Institution degree and year conferred

field

Positions held (begin with present position). employer University of California, San Francisco address Department of Biochemistry, title Assistant Professor

Box 0554, y

San Francisco,

|l1986 -

CA

94143

dates Present

employer Medical Research

Council Laboratory

of Molecular Biology

address Cambridge, England

(under Dr.

Sydney Brenner)

titledae Postdoctoral Fellow

19 8 2

-1 9

8 6 dates

employer address title THEDAN'IDANDLUCILEPACKARDFOL'NDATION

dantes * 300 SECOND STREET,

SUITE 200

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Curriculum Vitae (continued) Name of Nominee

Other

Kenyon, Cynthia J. last/firstlmiddle Irihffa Since 1987, I have been invited to give seminars at the following institutions:

UC Berkeley, University of Utah, University of Chicago.

Stanford University, CalTech, MIT, Columbia University and

Oregon University. I have also been invited to give presentations at a numrber of scientific neetings, including Gordon CortEerences (Molecular Genetics, 1988, Biological Regulatory Mechanisns, 1989 -session chair-Development,

1989). Session chair, UCIA syrposiun ol

development (1990). International conferences of Genetics, Cell Biology & Biochemistry, Honors

(1988), An

(1989).

University of Georgia Valedictorian, 1976 National Science Foundation Graduate Fellow, 1976-1979 Massachusetts Institute of Technology Fellow, 1981 Jane Coffin Childs Fellow, 1982-1985. Searle Scholarship, 1986-1989 UCSF Graduate Student Research Award to David Waring (graduate student of Cynthia Kenyon), 1989

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I List of Publications Name of Nominee

Publications

i;I

i

L

Instructions

Ust only complete articles published or in press. Do not list presentations or abstracts. Use additional sheets If necessary.

1.

Kenyon, C.J. and Walker, G.C. (1980) DNA-damaging agents stimulate gene expression at specific loci in Escherichia coli. Proc. Natl. Acad. Sci. 77: 2819-2823.

2.

Kenyon, C.J. and Walker, G.C. (1981) Expression of the uvrA gene is inducible. Nature 289: 808810.

3.

Bagg, A., Kenyon, C.J. and Walker, G.C. (1981) Inducibility of a gene product required for UV and chemical mutagenesis in Escherichiacoli. Proc. Natl. Acad. Sci. USA 78: 5749-5753.

4.

Kenyon, C.J., Brent, R., Ptashne, M., and Walker, G.C. (1982) Regulation of damageinducible genes in E. coli. J. Mol. Biol. 160: 445457.

5.

Kenyon, C.J. (1983) The bacterial response to DNA damage. Trends in Biochernical Sciences 8: 84-87.

6.

Kenyon, C.J. (1983) Pattern, symmetry, and surprises in the development of Caenorhabditis elegans. Trends in Biochemical Sciences 8: 349-352.

7.

Kenyon, C.J. (1985) Heterochronic mutants in Caenorhabditiselegans, their developmental and biological significance. Trends in Genetics 1: 2-3.

8.

Kenyon, C.J. (1985) Cell lineage and the control of Caenorhabditiselegans development. Phil. Trans. R. Soc. Lond. B 312. In: Cell Lineages in Development (P. Lawrence and R. Gardener, eds.) The Royal Society, London, p. 21-38.

9.

Kenyon, C. (1986) A gene involved in the development of the posterior body region of C. elegans. Cell, 46: 477-487.

10.

Kenyon, C. (1988) The nematode Caenorhabditiselegans. Science 240: 1448-1453. (Review article)

12.

Costa, M., Weir, M., Coulson, A., Sulston, J., and Kenyon, C. (1988) Posterior pattern formation in C. elegans involves position-specific expression of a gene containing a homeobox. Cell 55, 747-756.

13.

Waring, D., and Kenyon, C. (1989) Selective silencing of cell communication generates anteroposterior body pattern in C. elegans. Cell, in press.

14.

Kamb, A., Weir, M., Rudy, B., Varmus, H., and Kenyon, C. (1989) Identification of genes from pattern formation, tyrosine kinase and potassium channel families. Proc. NaMl. Acad. Sci., USA, in press.

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Kenyon, Cynthia J. iast/first/mlddce Inrod

Li

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15.

Rine, J. and Kenyon, C. (1989) The Nematode Caenorhabditiselegans. Science 244, p. 235 (book review).

16.

Kenyon, C. (1989) Cell interactions in pattern formation. Cell (invited minireview, in preparation).

Summary of Research Accomplishments During the Lab's First 2.5 Years We have been studying the mechanisms by which patterns of cell types and body structures form along the antero-posterior body axis of the nematode C. elegans after the animal hatches. Our major (published) findings are summarized here. We have begun a molecular analysis of the gene mab-5, which I had previously shown to specify many posterior-specific patterns in the animal (Kenyon, 1986). We have found that the gene contains a homeodomain closely related to those of Drosophila homeotic genes within the Antennapedia and bithorax complexes. Because Drosophilahomeotic genes also give specific body regions their identities, this finding suggests that fly and nematode patterning systems may be related evolutionarily. In addition, we have developed RNA in situ hybridization methods for nematodes, and found that mab-5 RNA is localized in the posterior body region, where gene function is observed. This analysis suggests that mab-5 specifies posterior patterns by regulating gene expression, and that its activity is in turn regulated at the RNA level (Costa et al., 1988). We have begun to ask whether genes that interact with Drosophila homeotic genes may have homologs in nematodes that interact in a similar fashion with mab-5. We have developed a rapid method for identifying gene family members using the polymerase chain reaction (Kamb et al., 1989). Using this technique, we have shown that C. elegans contains DNA sequences closely related to those found within Drosophila patterning genes engrailed, paired, Antennapedia and wingless. We are now developing procedures to identify mutants carrying DNA rearrangements in these genes using the polymerase chain reaction. In addition, using a combination of laser microsurgery and genetics, we have discovered that mab-5, plus a second gene, lin-22, function as a "switch" that determines whether certain cells generate epidermal structures or neuronal lineages. This switch is regulated by local cell-cell interactions. Intercellular signals promote the activity of lin-22 in anterior cells, and thus specify epidermal structures; in contrast, in posterior cells, another gene, pal-l, inhibits or overrides these interactions. This prevents lin-22 from acting, and instead allows mab-5 to initiate neuronal cell lineages (Waring and Kenyon, 1989). We have also shown that a similar system of regulated cell signalling operates in the same tissue at another stage in development (Waring and Kenyon, in preparation). These results are significant, because they demonstrate that biological patterns can be specified by preventing cells from communicating with one another.

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9.

I

Statement by Nominee Name of onofnee

KIRKEGAARD,

KARLA

Ph.D.

I

Spong Iislttull

I

i J

I

UNIVERSITY OF COLORADO AT BOULDER

For hundreds of viruses and other subcellular parasites, RNA, not DNA, is the molecule used for storage and transmission of genetic information. While RNA is biochemically less stable than DNA, it is also more reactive, and has even been shown to act as an enzyme both in test tubes and in living cells. I am interested in the genetic and biochemical consequences of having an RNA genome, and in any mechanistic similarities or differences in genetic processes such as transmission, recombination, mutation and evolution between organisms with RNA and DNA genomes. For example, the mutation rate of genetic RNA molecules can be staggeringly high. The intrinsic error rates of the RNA polymerases that replicate RNA are 6 orders of magnitude greater than those of the enzymes that copy DNA chromosomes. I have shown that RNA recombination, another source of genetic variation, also occurs at a sufficiently high frequency that 1 out of every 25 RNA genomes is a recombinant. In contrast to the mechanism of DNA recombination, which occurs by breaking and rejoining of preformed DNA molecules, RNA recombination occurs during RNA replication, and results from the viral RNA polymerase's switching RNA templates. The high frequencies of both mutation and recombination in RNA genomes are surely responsible for the bewildering variety of RNA viruses, their rapid rate of evolution, and the frequent generation of new viruses and subcellular RNA parasites. Using a combination of biochemical and genetic analyses, I plan to explore further the mechanisms of RNA genome propagation and expression in poliovirus, certain other RNA viruses, and the intracellular double-stranded RNA plasmids of yeast. My laboratory has four general goals. To construct and characterize well-defined mutants of poliovirus. I have used a method to introduce random small deletions into a double-stranded DNA copy of the viral RNA genome. Subsequently, viruses have been selected that cannot revert to a precisely wild-type sequence, and are genetically quite stable. Thus far, several mutants have been characterized. Two of these mutants have pointed out a region of the viral capsid that is involved in RNA encapsidation and uncoating. Such defined viral mutants not only identify functions for viral proteins, but also provide tools fo:r genetic analysis of the RNA genome itself. To understand the mechanism and prevalence of RNA recombination. We are establishing an in vitro RNA recombination system, using purified RNA polymerase and specially designed RNA templates to ask more detailed questions about template switching. Can the RNA polymerase itself switch strands or are other proteins THEDAMVDANDLUCLXAC`RDFOUNDATON

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|

KIRKEGAARD,

KARLA

required? What is the mechanism of homologous pairing between two single-stranded RNA genomes? Does the RNA polymerase switch templates via a processive mechanism or is a broken RNA intermediate involved? Does RNA recombination occur among other RNA genomes? Although some reports in the literature say no, we plan to use a sensitive new assay, the "polymerase chain reaction", to look for the physical presence of recombinant RNA molecules in the midst of vast excesses of parental genomes. Thus we can ask if RNA recombination occurs in a wide variety of viruses, phage and parasites. To characterize RNA modification and unwinding activities in human cells that may interact with the poliovirus RNA genome. RNA viruses and parasites require a great deal of metabolic and enzymatic assistance from their host cells. Quite recently, we have detected two distinct protein activities in human cells, one that covalently modifies double-stranded RNA, and one that physically unwinds RNA duplexes. We are currently investigating the relationship between these host cell activities and the structure and expression of the poliovirus RNA genome. To extend the study of RNA genetics to yeast. Double-stranded RNA plasmids replicate in the cytoplasm of yeast cells in large numbers. Several genes of the yeast host have been implicated in the replication and maintenance of these RNA parasites, but the biochemical basis of this interaction remains obscure. We plan to construct DNA replicas of the RNA plasmids and to develop techniques by which these DNA molecules, or their RNA transcripts, can be used to infect yeast cells. In this system, both the RNA parasite and the host cell will be amenable to genetic analysis. Thus, contributions from the host cell to RNA unwinding, replication or recombination will be much easier to identify and characterize. A long-term goal is to determine how any host cell activity initially detected by its interaction with an infecting RNA genome contributes to host cell processes involving RNA. These studies require a mixture of techniques and ideas from virology, physical biochemistry, molecular biology and classical genetics. I am aided in this work by the two very different fields in which I trained, the diversity and expertise of my new colleagues in Boulder, and a group of challenging and hard-working graduate students. This funding, should it be received, will be used to support students and postdoctoral fellows and to establish the new areas of research proposed here.

Slgnatire

date

THE DAVIDANDLUCILEPACADFUNDATION

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1989 l

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PACKARD FELLOWSHIPS i I

1989

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FOR SCIENCE AND ENGINEERING

List of Publications Name o* or Nore

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Pub~cafln

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Kirkegaard, K. and J.C. Wang (1978) Escherichia coli topoisomerase I--catalyzed linking of single-stranded rings of complementary base sequences. Nucl Acids Res. 5:3811-3820. Tse, Y.-C., K. Kirkegaard and J.C. Wang (1980) Covalent bonds between protein and DNA. J. Biol. Chem. 255:5560-5565. Wang, J.C., R.I. Gumport, K.J. Javaherian, KY Kirkegaard, L. Klevan, M.L. Kotewicz and Y.-C. Tse (1980) DNA topoisomerases. In Mechanistic Studies of DNA Replication and Genetic Recombination, ICN-UCLA Symposium on Molecular and Cellular Biology 19 (B.M. Alberts and D.F. Fox, eds.), Academic Press, New York, NY, pp. 769-784. Wang, J.C. and K Kirkegaard (1981) DNA topoisomerases. In Gene Amplification and Analysis II: StructuralAnalysis of Nucleic Acids (J.G. Chirikjian and T.S. Papas, eds.), Elsevier/North-Holland, New York, NY, pp. 456-473. Kirkegaard, K. and J.C. Wang (1981) Mapping of the topography of DNA wrapped around gyrase by nucleolytic and chemical probing of complexes of unique DNA sequences. Cell 23:721-729. Kirkegaard, K, A. Spassky, H. Buc and J.C. Wang (1983) Mapping of single-stranded regions in duplex DNA at the sequence level: single-strand-specific cytosine methylation in RNA polymerase-promoter complexes. Proc. Natd. Acad. Sci. USA 80:2544-2548. Kirkegaard, K. (1983) Mechanistic studies of DNA topoisomerases. Ph.D. thesis, Harvard University. Kirkegaard, K, G.O. Pflugfelder and J.C. Wang (1984) The cleavage of DNA by type I DNA topoisomerases. Cold Spring Harbor Symp. Quant. Biol. 49:411-419. Spassky, A., K. Kirkegaard and H. Buc (1985) Changes in the DNA structure of the lac UV5 promoter during formation of an open complex with Escherichiacoli RNA polymerase. Biochemistry 24:2723-2731. Kirkegaard, K. and J.C. Wang (1985) Bacterial DNA topoisomerase I can relax positively supercoiled DNA containing a single-stranded loop. J. Mol. Biol. 185:625-637. Kirikegaard, K. and D. Baltimore (1986) The mechanism of RNA recombination in poliovirus. Cell 47:433-443. Kirkegaard, K. (1989) Conditional poliovirus mutants made by random deletion mutagenesis of infectious cDNA. Submitted. Kirkegaard, K. and B. Nelsen (1989) Mutations in VPI of poliovirus affect both encapsidation and uncoating of viral RNA. Submitted. Compton, S.E., B. Nelsen and K. Kirkegaard (1989) A temperature-sensitive poliovirus mutant defective in VPO autoproteolysis. In preparation.

,,

THZDAVIDANDlZJcllJAcL&3.DVOIJ!A^TJ

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Statement by Nominee NameofNominee Sponsoring instItution

B.S., M.S., Ph.D Kummel, Andrew C. degrees Iast/lfrstmiddie InMal San Diego California, of Dept. Chemistry, University namoe

Although, there has been much research upon reaction dynamics on metal surfaces and gas phase metal clusters, reaction dynamics on small metal clusters (2-15 atoms) bound to oxide surfaces (supported) is not well understood. Chemisorption sites on small supported metal clusters are distinct from those on single crystals and gas phase clusters. For these very small dusters, the chemisorption sites differ from those on metal surfaces because few duster sites are fully coordinated and they are adjacent the support atoms. In the gas phase, metal clusters may often have structures similar to three dimensional bulk metals, but small surface dusters are likely to be wetted to the surface and thus have a structure that is mostly two-dimensional. It we can control the electronic structure and geometry of these unique small cluster sites, we may be able to manipulate chemisorption on a molecular level. By controlling the chemisorption of the different molecules in a chemical reaction, we can control not just the reactivity but also the selectivity. In order to have better understanding of the factors determining both reactivity and selectivity, we want to study bimetallic supported dusters because altering the composition of a cluster can provide an additional dimension to the molecular engineering. For small bimetallic clusters, we can alter the electronic structure and geometry of the chemisorption sites. Large bimetallic catalysts are currently used for hydrocarbon reforming (Pt-lr), and there Is a great desire to use them in many other processes; consequently there have been many catalysis studies upon large bimetallic clusters supported on high surface area materials (zeolites, silica, etc). Large bimetallic clusters are rarely more reactive than monometallic ones, but they can be much more selective. By diluting a very reactive metal (Pt) with a second metal (Ir), the number of sites with substantial numbers of contiguous very reactive atoms is greatly reduced while the number of sites with just a few contiguous very reactive atoms is nearly the same. Hence, reaction pathways which only require simple sites can dominate in a bimetallic as opposed to a monometallic duster. In contrast, the studies upon small monometallic gas-phase clusters show dramatic changes in reactivity due to electronic structure effects as seen in sharp changes of reactivity between clusters only differing in composition by a single atom. Often a duster with a closed-shell electronic structure has a very high ionization potential and a correspondingly low reactivity for the chemisorption of small molecules (H2/Fen)* There are also some startling results where a gas phase duster of a given size is reactive while the atoms and bulk metal have no reactivity (D2/AI 6 ). These changes in reactivity for small gas-phase clusters are usually ascribed to electronic effects. The study of small supported bimetallic clusters Is an extremely exciting area because you may be able combine the geometric selectivity of large bimetallic catalysts with the reactivity effects of very small metal clusters. To really differentiate the roles of geometric versus electronic effects on small supported bimetallic clusters, first we need to study small supported clusters of uniform size and composition (atomic and isomeric). This can be done by depositing size selected ion clusters on an ordered single crystal surface and determining the cluster structures with scanning tunneling microscopy (STM). Second, we need to determine how activation barriers for chemisorption are affected by cluster size, composition, and structure. This will be accomplished by measuring the chemisorption probability on size selected clusters as a function of the translational energy and incident angles of the gas molecules and the temperature of the clusters. Finally, using STM, we hope to be able to differentiate between the reactivity of clusters of

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Name of Nominee

different isomeric structure. The first system we will examine is the Pt-jr duster. Pt(111) has known barriers for H2 0,° and N2 The absorption of 02 is quite interesting because there are two channels: direct dissociative chemisorption. chemisorption at high energy and indirect chemisorption at low translational energy. It would be interesting to see the relative effects of geometric versus electronic structure on these two channels. Our first experiments will employ Au(111) supports because a conducting support is required for STM of cluster structure (later conductive oxide supports A metal support is advantageous because the clusters must be tightly bound to the support so that will be employed). they cannot diffuse and agglomerate in the period between deposition and microscopy or chemisorption. A mixture of 0.8 torr of metal vapor In 64 torr of Argon will be expanded through a 1 mm diameter electron bombardment heated nozzle at 2600 K. An electron gun will ionize the clusters, and the ions will be separated in a large For a coverage of quadrupole mass spectrometer and focussed onto a 1 mm spot. (I = 30 pA, F = 2x10 9 ions/cm 2 -sec). cluster of a few atoms strengths in a Pt metal-metal bond Since the 1%, a dosing time of -6 minutes will be required. should be at least 1 eV, the energy of impact (-5 eV) can be absorbed into the internal modes of the duster and the support lattice without a high probability of fragmentation. The ion source is the only piece of equipment which will need to be constructed for this experiment. Our molecular beam/STM apparatus allows samples in ultra high vacuum (UHV) to react with a molecular beam and then be transferred to a separate UHV chamber for STM. The deposited bimetallic clusters will be examined with STM to determine the structure of the dusters. Using the current imaging tunneling spectroscopy technique (CITS) we hope to examine several structural questions: (a) Do the dusters have hexagonal dose packed symmetry? (b) Are the different species mixed or segregated in the cluster? (c) Are the dusters completely wetted to the surface or do they have a 3 dimensional structure? To determine the chemisorption, immediately following cluster deposition, the sample will be bombarded with a molecular beam at a single translational energy and incident angle. Afterwards, the surface will be slowly heated to remove the molecularly adsorbed species and then the 1 mm spot will be rapidly heated with a laser pulse and the desorbing flux with be measured with a resonantly enhanced multiphoton ionization (REMPI). This laser technique will provide a much greater sensitivity (10-4 monolayer) than conventional flash desorption. The relative sticking probabilities determined by laser desorption will be calibrated with a measurement of absolute sticking probability using the reflection technique on a surface with a high coverage of clusters. For systems in which the chemisorbed species are very tightly bound to the duster atoms, we will examine the chemisorbed species with an STM. From these measurements, we hope to determine which isomers are most likely to be the sites for chemisorption at high and low translational energies. In some cases, we might even be able to determine to atomic composition of the absorption site on a bimetallic cluster or observe the reconstruction of clusters as a result of chemisorption.

Signature

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Curriculum Vitae of the Nominee Name of Nominee Department Sponsoring Institution Address

last/first/middle Initial Kummel, name

td telephone Cnclude area code)

Andriw

619-534-3368

Department of Chemistry name University of California,

San Diego

number and street

B-032 city and state/zip code

Date and place of birth Education (begin vith baccalaureate).

La Jolla, month/day/year

CA

920oq city New

2/17/59

state New

York

York

Institution

Engineering and Applied Scienc(

Yale University degree and year conferred

B.S.(intensive),

field

Chemical

1981

Engineering

Institution

Stanford University field

degree and year conferred

M.S.

1q84

Fn i nmering

flhem4isI

Institution

Stanford University field

degree and year conferred

Positions held (begin w4th present position).

Ph.D.

Chemistry

1988

employer

University of California,

San Diego

(Chemistry Dept.)

address

Dept.

Chemistry B-032, UCSD,

La Jolla,

CA 92093

dates

title

Assistant

Professor

1988-present

employer

Cornell

University

address

Dept. title

Chemistry,

Baker Lab.,

Ithaca, N.Y. dates

14853

1988

Postdoctoral Fellow employer

Stiching voor Fundamental Onderzoek address F0M!-AM0LF, -The Kuisland, Amsterdam, title

The Netherlands dates

Predoctoral Associate TIIEDAVIDANDLUCILE PACKARDFOUNDATION

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Curriculum Vitae (continued) Name of Nominee

Other

Kummel, Andrew C.

last/ffist/mlddle Indal--

Undergraduate Research Advisor: Prof. John Fenn (Yale) Prpeip+tor1

Reserrch

Advisor- Dr.

Graduate Research Advisor: Postdoctoral Supervisor:

Dolf do Yrios

(1Efl-NAM-IM

Prof. Richard Zare (Stanford) Prof. Paul Houston (Cornell)

Summer Undergraduate Research: Dept. Physiology and Biophysics, New York University N.Y., N.Y.

Honors

(Membrane Biophysics); 1981 &1982

Tnvited Talks (1989 only) British Petroleum (London England) Int. Conf. on Surface Science (Liverpool, England) California State University, Long Beach University of California, Riverside Batelle Northwest Laboratories. MSRC American Inst. of Chem. Eng (AIChE),

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of Publications

Name of Nominee

Publications Instructions

11

1989

Kummel, Andrew C. last/first/mIddle Initial Ust only complete articles published or In press. Do not list presentations or abstracts. Use additional sheets If necessary.

1.

R. A. Haring, A. Haring, F. S. Klein, A. C. Kummel, and A. E. De Vries, 'Reactive Sputtering of Simple Condensed Gases By KeV Heavy Ion Bombardment.' Nuclear Instruments and Methods 211 529, (1983).

2.

A. C. Kummel, R. A. Haring, A. Haring, and A. E. De Vries, 'Mass Spectra of Nozzle Produced Small Molecular Clusters of Water, Ammonia, Carbon Monoxide, and Methane.' International Journal of Mass Spectroscopy and Ion Processe, it(l), 97, (1984).

3.

A. C. Kummel, G. 0. Sitz, and R. N. Zare, 'Determination of Population and Alignment of the Grounc State Using Two-Photon Nonresonant Excitation.' J. Chem. Phys. EL, 6874, (1986).

4.

G. 0. Sitz, A. C. Kummel, and R. N. Zare, 'Populations and Alignment of N2 Scattered from Ag(111) J. Vac. Sci. Technol.A, i 513, (1987).

5.

G. 0. Sitz, A. C. Kummel, and R. N. Zare, * Alignment and Orientation of N2 Scattered from Ag(111).' J. Chem. Phys. 8Z, 3247, (1987).

6.

A. C. Kummel, G. 0. Sitz, and R. N. Zare, 'Determination of Orientation of the Ground State Using TwoPhoton Nonresonant Excitation.' J. Chem. Phys. 88, 6707, (1988).

7.

A. C. Kummel, G. 0. Sitz, and R. N. Zare, 'Determination of Population, Alignment, and Orientation Using Laser Induced Fluorescence with Unresolved Emission' J. Chem. Phys. 8, 7357, (1988).

8.

G. 0. Sitz, A. C. Kummel, and R. N. Zare, 'Direct Inelastic Scattering of N2 from Ag(111), I: Rotational Populations and Alignment.' J. Chem. Phys. 8, 2558, (1988).

9.

G. 0. Sitz, A. C. Kummel, R. N. Zare, and J. C. Tully, 'Direct inelastic Scattering of N2 from Ag(l11), II: Orientation.' J. Chem. Phys. Q.j, 2572, (1988).

10.

G. 0. Sitz, A. C. Kummel, R. N. Zare, and J. C. Tully, 'Direct Inelastic Scattering of N2 from Ag(111), III: Normal Incident N2.- J. Chem. Phys. X, 6947, (1988).

11.

J. R. Waldeck, A. C. Kummel, and R. N. Zare, 'Determination of Population, Alignment, and Orientation of the Ground State Using Laser Induced Fluorescence with unresolved emission. II" J. Chem. Phys. Q. 4112, (1989).

12.

G. 0. Sitz, A. C. Kummel, R. N. Zare, and J. C. Tully, 'Direct Inelastic Scattering of N2 from Ag(i11), IV: Scattering at High Surface Temperatures.' J. Chem. Phys. (Submitted).

I

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I Statement by Nominee I NameofNominee

Lange, Andrew E.

B.A., Ph.D.

lost/firstk/mldce VIlatl

degrees

University of California at Berkeley Sponsoring

hfrwtitufon

name

My major research interests are in observational cosmology, specifically in two fundamental and related problems: how galaxies formed and what constitutes the dark matter, the non-luminous matter that is apparent only through its gravitational interaction with luminous matter. Most matter is dark. Constraints from observational cosmology suggest that the dark matter may be non-baryonic. The theory of primordial nucleosynthesis and the observed relative abundance of the light elements set an upper limit on the density of baryons of 02 z 0.1 (in units of the critical density necessary to halt the expansion of the Universe). The surprising isotropy observed in the cosmic microwave background (CMB), on the other hand, requires that the total mass-energy density be 1P0.3 in order to reconcile the homogeneity of the matter density in the early universe with the amplitude of the inhomogeneity that exists today. Big bang cosmology requires that D-1 in order to avoid fine-tuning of the initial conditions. Finally, grand unified field theories predict the existence of non-baryonic particles in the early universe that, if stable, would remain today as a relict of the big bang and could account for >90% of the density of the universe. The situation is both exciting and unsatisfactory. The resolution of the dark matter problem may have profound implications for fundamental physics, but more observational evidence is badly needed. My research is focused on three types of experiment that promise to shed light on the dark matter problem: measurements of the isotropy of the CMB, measurements of the spectrum and isotropy of the cosmic submillimeter background (CSB), and-attempts to detect dark matter directly. The CMB is our only probe of the initial matter distribution. A ten-fold improvement in instrument sensitivity will be necessary to detect and map the anisotropy predicted by dark matter models. I am developing new technologies in bolometric detection and multi-mode optics, with the goal of mapping the morphology of CMB anisotropy. These observations will be conducted from ground-based telescopes, and from a balloon-borne telescope supported by the NSF Center for Particle Astrophysics. The CSB offers a window on a later epoch in the Universe--the epoch during which matter first became luminous. In collaboration with Prof. P.L. Richards and Japanese astronomers, I made the first measurement of the CSB in 1987. Our observation produced a surprising result. The spectrum of the CSB deviates substantially from a Planck spectrum at X<1 mm, exhibiting a large excess peaked at A-600 -pm. The spectrum of the excess suggests that it was produced by a very large energy release in the early universe. It may be a relict of the first generation of stars. I am now working on several new experiments to measure the spectrum and isotropy of the CSB in more detail. The goal of the CSB experiments is to understand the connection between the submillimeter background and galaxy formation. A probe of the matter distribution at

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Lange, Andrew E. last/flrst/middle Inraffa

the time of galaxy formation would provide a powerful constraint on the properties of the dark matter. There is speculation that the dark matter is in the form of weakly interacting massive particles (WIMPs). If so, there is hope that it can be detected directly in the laboratory. If WIMPs make up the bulk of the dark matter, then they would deposit on order of 100 eV into a detector at a rate of a few events/Kg/day through nuclear recoil. No detector now exists that has a low enough threshold or background rate to detect this, but cryogenic detectors which operate on the same principles as the bolometric detectors that I am developing for the CMB and CSB experiments should be able to achieve the necessary sensitivity if cooled to T1220 mK. I am currently working with Prof. B. Sadoulet and others at Berkeley to develop such a detector. Our goal is to build a detector large enough and with low enough threshold to make a conclusive test for dark matter in the form of WIMPs. The experiments that I have described are difficult, and require a long-term commitment to building up the technology necessary to carry them out. My experience has been that this approach pays off. By tackling difficult problems head-on in a university setting, fundamental new discoveries are made and a new generation of instrument-builders are trained. .J

Progress in developing new detectors can be slow, and is often jeopardized by the inadequate level of and the uncertainty in funding from federal agencies. New ideas are particularly difficult to find support for. The bulk of my support comes from NASA, and is tied to building instrumentation for specific missions. There is little support for developing the new technologies that will be necessary for the future. There are many new ideas in cryogenic detectors that I would like to explore if the resources existed, and I would intend to use the Packard Fellowship for this purpose. Superconducting thin films can efficiently transduce low energy phonons into electrical signals, and should have important applications in IR, X-ray, and dark-matter detectors. They have an important advantage over the semiconductor thermistors that we are now using, they can be easily multiplexed, providing the possibility of large arrays of detectors. Much development work is needed. I would use the Packard Fellowship to support a graduate student and a postdoc in this research, and to purchase equipment (a dilution refrigerator, spectrum analyzers and vacuum deposition systems). In the first three years, a portion ($37.5K/year) of the Packard Fellowship would be matched by the NSF through my PYI award, making the Packard Fellowship even more valuable to my research effort. Signature

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i DAVID and LUCILE

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iI I

Curriculum Vitae of the Nominee

.1

Name of Nominee Department Sponsoring Institution Address

Date and place of birth Education (begin wMth baccalaureate).

lost/first/mIddle initial

Lange, Andrew E.

(415) 642-6577

name

telephone (include area code)

Department of Physics name University of California at Berkeley number and street

Berkeley, California 94720 city and state/zip code Urbana, Illinois July 23, 1957

II

a-u

Uf I I/ LX.y/ya YbnyJ

Institution

University of California at Berkeley degree and year conferred

B.A.

field

(summa cum laude), 1980

Physics

Instottrton

University of California at Berkeley degree and year conferred

Ph.D.,

field

1987

Physics

Institution degree and year conferred

field

Positions held (begin with present position). employer

University of California at Berkeley address

Department of Physics, 366 Le Conte Hall, Berkeley, CA 94720 title

dates

July 1987 - present

Assistant Professor of Physics employer

University of California at Berkeley address

Department of Physics, 366 Le Conte Hall, Berkeley, CA 94720 dates

title

Postdoctoral Fellow

January, 1987 - June, 1987

employer address title THEDAVID ANDtLUCILFPACKARDFOUNDATION

dates . 300 SECOND STREET, SUITE 200 . LOS ALTOS, CA 94022

* 415

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Curriculum Vitae (continued) Name of Nominee

Lange, Andrew E. last/first/middle Inmal

Other

Honors

Member, NASA Management Operations Working Group for Airborne

President's Australian Science Scholar, NSF, 1975 Allen G. Shenstone Prize, Princeton University, 1980 Space Sciences Fellow, University of California at Berkeley, 1981 Shell Oil Fellow, University of California at Berkeley, 1983 Alfred P. Sloan Fellow, 1988 NSF Presidential Young Investigator Award, 1988

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List of Publications Name of Nominee

Publications Instructions

Lange, Andrew E. last/fts/midde Iniial Ust only complete artickes published or In press. Do not list presentations or abstracts. Use additional sheets if rnecessary.

A. E. Lange, E. Kreysa, S. E. McBride, P. L. Richards, and E. E. Haller, Improved Fabrication Techniques for Infrared Bolometers, Int. J. Infrared and Millimeter Waves 4, 689 (1983). D. D. Nolte, A. E. Lange, and P. L. Richards, Far-Infrared Dichroic Band-Pass Filters, Appl. Opt. 24, 1541 (1985). A. E. Lange, S. Hayakawa, T. Matsumoto, H. Matsuo, H. Murakami, P. L. Richards, and S. Sato, A Rocket-Borne Submillimeter Radiometer, Appl. Opt. 26, 401 (1987). S. Sato, S. Hayakawa, A. E. Lange, T. Matsumoto, H. Matsuo, H. Murakami, and P. L. Richards, Horn Antenna with Low Sidelobe Response for Observations of Diffuse Celestial Radiation, Appl. Opt. 26, 410 (1987). N. Wang, B. Sadoulet, T. Shutt, J. Beeman, E.E. Haller, A. Lange, I. Park, R. Ross, C. Stanton, and H.- Steiner, A 2OmK Temperature Sensor, IEEE Trans. Nuclear Science 35, 55 (1988). S. Hayakawa, T. Matsumoto, H. Matsuo, H. Murakami, S. Sato, A. E. Lange, and P. L. Richards, Cosmological Implication of a New Measurement of the Submillimeter Background, Publ. Astron. Soc. Japan 39, 941 (1987). T. Matsumoto, S. Hayakawa, H. Matsuo, H. Murakami, S. Sato, A. E. Lange, and P.L. Richards, The Submillimeter Spectrum of the Cosmic Background Radiation, Astrophys. J. 329, 567 (1988). A.E. Lange, D. Alsop, S. Hayakawa, T. Matsumoto, H. Matsuo, H. Murakami, P.1. Richards, and S. Sato, A Rocket-Borne Measurement of Interstellar Dust Emission at High Galactic Latitude, IAU Symposium 135 Interstellar Dust (in press). S. Sato, S. Hayakawa, T. Matsumoto, H. Matsuo, H. Murakami, K. Sakai, A.E. Lange, and P.L. Richards, Submillimeter-Wave Low-Pass Filters Made of Glass Beads, Applied Optics (in press). T. Matsumoto, S. Hayakawa, H. Matsuo, H. Murakami, S. Sato, A.E. Lange, and P.L. Richards, Cosmic Background Radiation in the Submillimeter Range Big Bang, Active Galactic Nuclei and Supernovae, Proc. Yamada Conf. XX, pp. 213-225, Universal Academy Press, Inc., Tokyo, Japan, 1989. (to be continued) TIIEDAVIDANDLUCILEPACKARDFOUNDATION

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LIST OF PUBLICATIONS (continued) Lange, Andrew E.

F.M. Rieke, A.E. Lange, J.W. Beeman, and E.E. Haller, An AC Bridge Readout for Bolometric Detectors, IEEE Trans. Nuclear Science 36, 946 (1989). N. Wang, J. Beeman, A.N. Cleland, A. Cummings, E.E. Haller, A. Lange, R. Ross, B. Sadoulet, H. Steiner, T. Shutt, and F.C. Wellstood, Particle Detection with Semiconductor Thermistors at Low Temperatures, IEEE Trans. Nuclear Science 36, 852 (1989).

DAVID and LUCILE

PACKARD FE1LLW0NVSHIPS I.FOR SCIENCE AND ENGINEERING

1989

3

Statement by Nominee Name of NomrnnEre Sponsodng irsitutic N

Lehmann

ph To

Ruth

lost/fIst/midde Infitd MnsqsarhisPtt

aDNme

degrees Tngritiite of Technology

GENt TIC AND MOLECULAR CHARACTERIZATION OF THIE POSTERIOR POLE PLASM IN THE DROSOPHILA EMBRYO Although the union of egg and sperm determines the onset of development, essential information to form the basic body plan of the final organism is already stored in the eggs of a many different species such as Drosophila melanogaster, Coenorhabditis elegans and Xenopus. This information is supplied to the egg cell during its

maturation in the mother, and defects in the genes that supply this information are expressed as maternal defects and the genes are called maternal effect genes. Because such genes are central to the developmental process, I have focussed my attention on the identification and characterization of these genes in Drosophila. The basic information for the development of the normal segmental pattern is provided by three groups of genes: 'the anterior group" that affect the development of head and thorax, "the posterior group" that affect the abdomen and 'the terminal group" that affect the most anterior (acron) and posterior (telson) structures. We have concentrated our efforts on the posterior group of genes (nanos, pumilio, oskar, vasa, tudor, valois,

staufen). Studying these genes we have demonstrated that the maternal information provided by the posterior group genes is required for the formation of a specialized structure at the posterior pole, which has a dual function for somatic and germ line development. All seven genes affect the establishment of posterior segmentation and in addition five of these genes - abbreviated osk, vas, tud, vat, srau- show an effect on germ cell formation: mutant embryos do not form the specialized pole plasm and hence lack pole cells, the precursor cells for the germ line of the next generation. We have attempted to dissect the pathway leading to the normal posterior segmentation pattern through genetic experiments as well as cytoplasmic transfers between wildtype and mutant embryos. The abdominal defect of the posterior group mutants can be rescued by transplantation of wildtype cytoplasm into the prospective abdominal region of mutant embryos. Only posterior pole plasm is active while cytoplasm from more anterior regions, including the abdominal region are ineffective. These experiments lead to the hypothesis that the posterior pole is a source of an activity (signal) which is required in the abdominal region. Since reciprocal transplantations of cytoplasm between different mutants are not effective in rescuing the mutant phenotype, it is likely that all mutants affect the same developmental pathway and that they are deficient either in the synthesis, storage or transport of the same signal. The signal is synthesized during oogenesis and rescuing activity can be recovered from wildtype females. The nos gene product can be singled out to be essential for the synthesis of the signal, because no activity can be recovered in mutant nos oocytes. In contrast, females mutant for five of the posterior group genes (osk, vas, vat, tud, stau) synthesize the signal and normal rescue activity is found in their oocytes. These gene products seem thus not to be involved in the synthesis of the signal but rather required for the correct anchoring of the signal in the posterior pole plasm of the egg, as their pole plasm phenotype may suggest. We have started a molecular analysis of the posterior group genes and have cloned the nos gene. The nos gene codes for a single transcript that is synthesized exclusively in the female germ line and persists during early stages of embryogenesis. The nos RNA is localized strictly to the pole plasm region. The distribution of nos transcript is identical to the spatial profile of the abdominal rescue activity revealed by our previous transplantation experiments. It is thus very likely that the rescuing principle is in fact the nos RNA. The mechanism controlling the storage of the nos transcript in the posterior pole plasm is an intriguing and novel question, since most of Drosophila development has been viewed as a result of the region-specific TnIEDAVIDANDLUCILEPACKARDFOUNDATION

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expression of transcription factors. The posterior group genes reveal a new principle, where region-specific function of the maternal product is achieved not by regionally confined transcription but rather by the localization of the transcript to a position distant from the site of synthesis. For the localization of the nos transcript, the normal structure of the pole plasm is essential. Consistent with this idea, we find that nos RNA is not concentrated in the posterior region in embryos derived from females mutant in one of the five genes which

affect the structure of the pole plasm. Thus, the study of the molecular nature of the posterior pole plasm should allow us to identify the factors involved in the localization of the signal. We will use a biochemical approach to identify components of the posterior pole plasm. In this approach we will use immuno-affinity methods to isolate components of the posterior pole plasm and identify additional pole plasm components by copurification. In a genetic approach we will use a mutagenesis screen designed to specifically identify gene products required for the localization of nos. Our strategy to identify components specific for the posterior pole plasm biochemically requires that the different components be associated in a complex. Whereas several other posterior group genes have a more pleiotropic effect, osk shows a high specificity for the abdominal and the pole plasm defect (see attached reprint). Thus, the osk protein is likely to be an essential component of the pole plasm. During the next few years we will clone the osk gene and generate antibodies against its protein product After an initial characterization of the osk product we will analyze possible associations between osk and macromolecular components of the posterior pole plasm. nos RNA and the vasa protein are two components of the posterior pole plasm and might thus be associate"

in a complex with the osk gene product. We would therefore expect to copurify nos RNA and vasa protein with osk isolated by immuno-affinity techniques. Using this assay, we will determine whether additional polypeptides copurify with osk and vas proteins and/or nor RNA. Our genetic approach consists of a functional screen which should allow the selective identification of genes required for the localization of nos activity. In this screen we make use of the gain of function mutations in the Bicaudal-D locus. Embryos derived from heterozygous Bic-DD females form two posterior abdomens in mirror

image at the expense of head and thoracic segments. This phenotype is completely suppresied in the progeny of females producing half the dose of gene products essential for the proper localization of nos, e.g. in females heterozygous for osk and vas. With this screen localization of nor RNA and the formation of the alleles. Analysis of the genes identified in this products interacting with the osk protein and/or

we should be able to identify new genes that are involved in the pole plasm as well as more alleles of known genes, e.g. osk and vagenetic screen will complement the biochemical analysis of nor RNA.

In many organisms, throughout the phylogenetic kingdom structures similar to those found in the pole plasm of Drosophila have been described (e.g. P-granules in nematodes, germinal plasm in amphibians and nuage in mammals). Despite the fact that in all cases described, a link between these structures and germ cell determination has been made, their molecular nature and function have remained obscure. Molecular and genetic techniques in Drosophila provide a unique opportunity for the analysis of the structure and function of the pole plasm in insects. Similar to the comparative phylogenetic analysis of homeobox proteins, this analysis may proof successful for studying structures functionally homologous to the posterior pole plasm in higher organisms. Signature

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name

A-

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IDAVID

and LUCILE

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1989

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4

FOR SCIENCE AND ENGINEERING

Curriculum Vitae of the Nominee Lehmann Name of Nominee Department Sponsoring Institution Address

Ruth

last/first/middle Initial Biology

(617)

name

telephone (include area code)

258-5250

Massachusetts Institute of Technology name

77 Massachusetts Avenue number and street

Cambridge, MA

02139

city and state/zip code Dale and place of birth

8/13/55

Cologne

month/doy/yeor

West Germany state

city

University of Tubingen, FRC Education (begin with baccalaureate).

1976

InstItution

Prediploma (equivalent to Bachelor's Degree)

Biology

field

degree and year conferred

University of Freiburg, FRG Institution

Diploma (equiv. to Master's Degree), 1981 degree and year conferred

Biology field

University of Tubingen and Max Planck Institute Institution

Ph.D., 1985

Biology

degree and year conferred Positions held (begin with present position).

Whitehead Institute

field

and Biology Department, MIT

employer

Nine Cambridge Center,

Cambridge,

MA

02142

address

1988

Associate Member, W.I.; Assistant Professor, MIT title

-

Presently

dates

Medical Research Council (and Max Planck Society) employer

MRC LMB Hills Road;

Cambridge, England

address

Postdoctoral Associate

1987

-

1988

-

1987

dates

ttine

Max Planck Institute for Developmental Biology employer

Spemannstr. 37;

Tubingen, FRG

address

Research Associate

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Curriculum Vitae (continued) Name of Nominee

Lehmann Ruth lost/lfrst/mlddle IrViloI

Other

Honors

1975

Scholarship of the Studienstiftung des Deutschen Volkes

1977

Fulbright Scholarship for one-year stay at U. of Wash., Seattle.

1985

EMBO short-term fellowship for collaborative project with R. White at the Medical Research Council, Cambridge, England

1985

Otto Hahn Medal of the Max Planck Society

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I FOR SCIENCE AND ENGINEERING List of Publications Name of Nominee

Publications kistructions

Lehmann

Ruth

lost/frst/midde Irital

Ust only complete articles published or In press. Do not list presentations or abstracts. Use addilional sheets If necessary.

Lehmann, R., Dietrich, U., Jimenez, F., Campos-Ortega, J.A. (1981): Mutations of early neurogenesis in Drosophila. Wilh. RouxArch. 190, 225-229. Lehmann, R., Jimenez, F., Dietrich, U., Campos-Ortega, J.A. (1983): On the phenotype and development of mutants of early neurogenesis in Drosophila melanogaster. Wilh. Roux'Arch 192, 62-74. Campos-Ortega, J.A., Lehmmann, R., Jimenez, F., Dietrich, U. (1984): A genetic analysis of early neurogenesis in Drosophila. In: Sharma (ed.): Organizing principles of neural development, Plenum Press, New York, 129-144. Lehmann, R. (1985):

Dissertation, Universitat TObingen.

JackIe, H., Rosenberg, U.B., Preiss, A. Seifert, E., Knipple, D., Kienlin, A., Lehmann, R. (1985): Molecular Analysis of Drosophila melanogaster. Cold Springs Harbor Symp. 50, 465-473. JOrgens, G., Lehmann, R., Schardin, M., Nusslein-Volhard, C. (1986): Segmental Organization of the head in the embryo of Drosophila melanogaster. A blastoderm fate map of the cuticle structures of the larval head. Wilh. Roux'Arch. 195, 359-377. Frohnhbfer, H.G., Lehmann, R., NOsslein-Volhard, C. (1986): Manipulating the anteroposterior pattern of the Drosophila embryo. J. Embryol. Exp. Morph. 97, Suppl. 169178. Lehmann, R. and NOsslein-Volhard, C. (1986): Abdominal segmentation, pole cell formation, and embryonic polarity require the localized activity of oskar, a maternal gene in Drosophila. Cell 47, 311-321. White, R. and Lehmann, R. (1986): A gap gene, hunchback, regulates the spatial expression of Ultrabithorax. Cell 47, 141-152.

JackIe, H., Tautz, D., Schuh, R., Seifert, E., Lehmann, R. (1986): Cross-regulatory interactions among gap genes of Drosophila. Nature 324, 668-670. Lehmann, R. and NOsslein-Volhard, C. (1987): Hunchback, a gene required for segmentation of an anterior and posterior region of the Drosophila embryo. Dev. Biol. 119, 402-417.

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4c

List of Publications Name of Norninee

Lehmann Ruth Icltost/wmidde mc

Tautz, D., Lehmann, R., Schnurch, H., Schuh, R., Seiffert, E., Kienlin, A., Jones, K., Jackle, H. (1987): Finger protein of novel structure encoded by hunchback, a second member of . the gap class of Drosophila segmentation genes. Nature 327, 383-389. Lehmann, R. and NOsslein-Volhard, C. (1987): Involvement of the pumilo gene in the transport of an abdominal signal in the Drosophila embryo. Nature 329, 167-170. Nusslein-Volhard, C., Frohnhofer, H.G., Lehmann, R. (1987): Determination of anteroposterior polarity in the Drosophila embryo. Science 238, 1675-1681. Sander, K. and Lehmann, R. (1988): Drosophila nurse cells produce a posterior signal required for embryonic segmentation and polarity. Nature 335, 68-70. Lehmann, R. (1988): Phenotypic comparison between maternal and zygotic genes controlling the segmental pattern of the Drosophila embryo. Development 104 Supplement, 17-27. Leptin, M., Bogaert, T., Lehmann, R., Wilcox, M. (1989): The function of PS integrins during Drosophila embryogenesis. Cell 56:401-408. Irish, V., Lehmann, R., Akam, M. (1989): The Drosophila posterior group gene nanos functions by repressing hunchback activity. Nature, in press.

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Statement by Nominee I11

Name of Nominee

Myers, Andrew G.

last/first/middle Inital Sponsoring institLftion ,

,

Dj r I

,II

Ph.D.

degrees

California Institute of Technology

name

Funds from a Packard Fellowship would allow us to pursue important new directions in a program of research which has evolved in our laboratories during the past two years. The long-term goals of this program are to elucidate, at the molecular level, the precise sequence of events by which a new class of antitumor agents target and damage double-stranded DNA and to utilize this knowledge in the design and synthesis of related structures. We believe that our program has the potential to provide new and fundamental knowledge in important areas of chemical synthesis and modern biology.

Our approach to this problem has been to bring to bear the full range of techniques of physical organic chemistry, spectroscopy, and chemical synthesis. Despite considerable insight gained from our I preliminary studies, many more questions have been raised than our present resources will allow us to address. Our initial work, focusing on the chemical reactivity of the antibiotic neocarzinostatin, has revealed that this molecule undergoes a fascinating and unprecedented chemical reaction which produces a carbon-centered biradical. This reactivity is believed to form the basis for the antitumor activity of this drug. In a departure from our current program, we would like to expand our focus and explore the much more complicated interactions of the drug with DNA. An exciting hypothesis we have developed suggests that the DNA helix may catalyze its own destruction upon binding of the antibiotic. If this theory could be supported experimentally, it would provide a strategy for the development of a series of conceptually related molecules.

Iit II

A II Iij 'I

' i

jI

We would like to study other members of this class of antibiotics, compounds whose structures have not yet been determined. In the initial phases, this work will require the isolation and characterization of highly unstable natural products. Subsequent studies will focus on chemical reactivity and DNA interactions. Consideration of the mode of action of neocarzinostatin has led us to conceive of a series of molecules which we propose will serve as biradical precursors. In many cases, these proposed transformations represent unprecedented organic reactions. This aspect of our research is quite basic: the invention of fundamentally new chemical reactions. Our goal is then to apply these reactions

TInEDAVIDANDLUCILEPACKARDFOUNDATION

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Statement by Nominee Name of Nominee

Myers. Andrew G.

last/first/midde Inmal

in designing molecules to mimic the class of antibiotics we describe. Our research is manpower intensive. The generous allocations of a Packard Fellowship would fund three, or possibly four, graduate or postdoctoral co-workers. I envision at least three new directions of study which would be pursued with these collaborators: (1) drug-DNA interactions, (2) study of new antibiotic structures and reactivity, and (3) fundamental research in the discovery of new biradical-forming reactions with application to synthetic drug-mimics.

li

Signature name

THEDAVIDANDLUCILEPACKARDFOUNDATION

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a DAVID and LUCILE

PACKARD FELELLOWVSHIPS a,

1989

4-

4

FOR SCIENCE AND ENGINEERING

Curriculum Vitae of the Nominee Name of Nominee Departrnent Sponsoring Institution Address

last/first/middle Inia/ti

Myers, Andrew G.

telephone (Include area code)

name

Division of Chemistry & Chemical Engineering

(818) 356-6044

name

California Institute of Technology number and street

1201 East California Boulevard cIty and state/zip code Date and place of birth

Pasadena, California 91125 month/day/year

08/1 4/59 Education (begin with baccalaureate).

state

city

Fayetteville, North Carolina

Institution

Massachusetts Institute of Technology degree and year conferred

field

Chemistry

S. B., 1981 institution

Harvard University field

degree and year conferred

Chemistry

Ph.D., 1985 Institution degree and year conferred

field

Positions held (begin with present position). employer

California Institute of Technology address

1201 FAst Cnlifornin Boilevsrd

PiariP(n;, C-1iforrn;i

9119!5

dates

title

July, 1986 to present

Assistant Professor of Chemistry employer address

dates

title employer address title TIHEDAVIDANDLUCILEPACKARDFOUNDATION

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Andrew G. Myers Divison of Chemistry and Ceremical Engineering, 164-30 California Institute of Technology Pasadena, California 91125 (818) 356-6044

Personal Age: 29; Single; U. S. Citizen. Education PRhD Chemistry, November, 1985. Harvard University. Thesis: The Total Synthesis of Antheridium-Inducing Factor, A Stereochemical Rcison. Thesis advisior: Professor E. J. Corey. S. B. Chemistry, February, 1981. Massachusetts Institute of Technology. Summary of Research Experience July, 1986-Present

California Institute of Technology. Assistant Professor of Chemistry

September, 1985-AUgust, 1986

Postdoctoral research under the direction of Professor E. J. Corey. Synthesis of limonoid natural products.

September, 1981-August, 1985

Thesis research under the direction of Professor E. J. Corey culminating in the total synthesis of the antheridium-inducing factor of the fern Anemia phyllitidis. Synthetic work led to reassignment of stereochemistry of the natural product, confirmed by synthesis.

January, 1981-August, 1981

Shell Development Company. Professional in the Elastomers Division, Westhollow Research Center, Houston, TX. Basic research in the use of transition metal catalysts for the preparation of novel polymeric materials.

January, 1979-December, 1980

Massachusetts Institute of Technology. Undergraduate research under the direction of Professor William R. Roush resulting in the total synthesis of the right-hand portion of antibiotic X- 14547A (indanomycin). -

Awards 1986 1 989

Camille and Henry Dreyfus Foundation Distinguished New Faculty Award. NSF Presidential Young Investigator Award

&DAVIDand LUCILE

PACKARD FELELOWVSHIPS

1989

4a

FOR SCIENCE AND ENGINEERING

Curriculum Vitae (continued) Name of Nominee

Myers, Andrew G. iast/firstI/mIdie IrJin.'l

Other

Honors

1986

Camille and Henry Dreyfus Foundation Distinguished New Faculty Award

1989

National Science Foundation Presidential Young Investigator Award

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Andrew G. Myers Research Publications 1.

Antibiotic X-14547A: Total Synthesis of the Right-Hand Half. William R. Roush and Andrew G. Myers. J. Org. Chem., 1981,46, 1509.

2.

Efficient Synthesis and Intramolecular Cyclopropanation of Unsaturated Diazoacetic Esters. E. J. Corey and Andrew G. Myers. TetrahedronLett., 1984,25,3559.

3.

In Vivo Distribution and Activity of Aphidicolin on Dividing and Quiescent Cells. S. Spadari, F. Focher, C. Kuenzle, E. J. Corey, A. G. Myers, N. Hardt, A. Rebuzzini. Antiviral Research, 1985, 5, 93.

4.

Total Synthesis of ( ± )-Antheridium-Inducing Factor of the Fern Anemia phyllitidis. Clarification of Stereochemistry. E. J. Corey and Andrew G. Myers. J. Am. Chem. Soc., 1985,107, 5574.

5.

Constitution of Antheridium-Inducing Factor of Anemia Phyllitidis. E. J. Corey and Andrew G. Myers, Nobutaka Takahashi, Hisakazu Yamane and Helmut Schraudolf, TetrahedronLett., 1986, 27, 5083.

6.

Simple Synthetic Route to the Limonoid System. E.J. Corey, J. Gregory Reid, Andrew G. Myers and Robert W. Hahl. J. Am. Chem. Soc., 1986, 109, 918.

7.

Proposed Structure of the Neocarzinostatin Chromophore-Methyl Thioglycolate Adduct; A Mechanism for the Nucleophilic Activation of Neocarzinostatin. Andrew G. Myers. TetrahedronLett., 1987,28,4493.

8.

Stereochemical Assignment of Neocarzinostatin Chromophore. Structures of Neocarzinostatin Chromophore-Methyl Thioglycolate Adducts. Andrew G. Myers, Philip J. Proteau, Tracy M. Handel. J. Am. Chem. Soc., 1988, 110, 7212.

9.

Mild Conditions for the Removal of Acid-Labile Protective Groups. Andrew G. Myers, Mary Ann M. Fundy, Peter A. Lindstrom, Jr. TetrahedronLett., 1988,29, 5609.

10.

Direct Transformation of 2,3-Epoxy Alcohols into Hydroxy Carbonates Under Mildly Basic Conditions. Andrew G. Myers, Katherine L. Widdowson, TetrahedronLett., 1988,29, 6389.

11.

Evidence for Spontaneous, Low-Temperature Biradical Formation from a Highly Reactive Neocarzinostatin Chromophore-Thiol Conjugate. Andrew G. Myers, Philip J. Proteau, J. Am. Chem. Soc., 1989, 111,1146.

12.

Thermal Generation of 3,7-Dehydrotoluene from Z-1,2,4-Heptatrien-6-yne. Andrew G. Myers and Elaine Y. Kuo, manuscript in preparation.

13.

Design, Synthesis and Reaction Dynamics of a Chemically-Activated Biradical Precursor. Andrew G. Myers and Peter S. Dragovich, manuscript in preparation.

DAVID and LUCILE

PACKARD FELULOWSHIPS

1989

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FOR SCIENCE AND ENGINEERING

Statement by Nominee Name of Nominee

Sponsoring Inshtution

Olvera de la Cruz, Monica last/first/middle inillal Northwestern University name

Ph.D. degrees

I am presently concerned with two areas of research in polymer physics: (1) the dynamics of long polymer chains in topologically restricted environments and(2) the statistics of polymer blends and solutions. (1) Gel electrophoresis is an important experimental technique widely used in modern The simplest form of the molecular biology for separating molecules according to size. technique consists of applying a constant electric field to a gel that contains the For very long chains, however, the mobility of the charged molecules of interest. chains becomes molecular weight independent. More sophisticated approaches such as reversing or rotating pulsed fields were recently developed to separate long chains. DesWe pite its importance, the technique has been developed solely on an empirical basis. have thus investigated the chain dynamics in gels by a detailed off-lattice computer simulation of the process. We found that in the presence of a driving force, the diffusion of long polymers is not described by the tube reptation model extensively used by The chain radius of gyration undergoes large periodic oscilthe polymer community. lations from contracted-to-stretched conformations which are molecular weight and field The mobility, however, was found to be a constant, independent of strength dependent. molecular size and field strength. Our results explain the separation by pulsed fields, A future study will use the simulation and are in excellent agreement with experiments. to help determine the appropriate applied field conditions for optimal separation. Gel electrophoresis of circular molecules with various topologies, whose statistics and dynamics are not understood, will also be studied. Our research may lead to new methods for characterizing and separating polymers of various topological configurations such as those observed in closed circular DNA. More recently we have been investigating the statistics and dynamics of polymer Our preliminary results indicate that in a solutions in frozen random environments. These disordered medium there are large fluctuations in the chain radius of gyration. In two dimensions, for exsystems are fascinating from a theoretical point of view. ample, the chains are multifractal objects; i.e., a hierarchy of exponents is required Their dynamics, which are relevant to membrane separto describe the chain statistics. ation, filtration, and gel permeation chromatography, will be studied in the near future. (2) I also have a strong interest in phase equilibria in polymer blends and solutions. In the past, polymer science has turned to synthetic chemistry to create new materials. More recently, cost limitations have rechanneled efforts into developing polymer alloys Since polymer blends tend to be strongly incomto meet materials design requirements. patible, polymer alloys are often produced by chemically bonding incompatible A and B Block copolymer melts have unique morphopolymer chains to form A-B block copolymers. logical features, arranging in periodic ordered structures of A and B domains, termed microphases, upon cooling. Microphase separation results in materials with valuable technological applications, such as adhesives and thermoplastic elastomers.

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Statement by Nominee Olvera de la Cruz, Monica last/t/middle Intai We are The microphase morphology has profound influence on mechanical properties. investigating analytically the effects of altering the block copolymer molecular archiWe find that the phase diagram for the equilitecture on the equilibrium morphologies. brium microphases is strongly dependent on the architecture, even when the microphase We have shown that the phase diagrams obtained by weak transition is nearly continuous. Block copolymer melts are model systems to crystallization theories are not universal. test weak crystallization theories because the higher order correlation functions inWe are volve-din the Landau free energy expansion can be computed for all morphologies. currently extending the density functional theories of freezing to study strongly first This theoretical work will provide the guidelines necesorder microphase transitions. As such, sary for a first principles approach to the design of microphase morphologies. our work has many technological applications; for example, it can be applied to improve the mechanical properties of ionically conducting polymers, which require a continuous rubbery matrix. In strongly incompatible block copolymer melts, the equilibrium microphases are I have developed a description of the microphase tranusually prepared from solution. The concentration of the block copolymer at the transolvents. sition in non-selective sition point and the equilibrium microphases were found as a function of block copolymer We are currently synthesizing deuterated polystyrenemolecular weight and composition. polyisoprene diblock copolymers to test the theoretical predictions by small angle neutron scattering experiments in toluene. In the future we will analyze randomly crosslinked networks of A and B polymer The dimension of the segrechains that form segregated domains of random orientation. gated structure as a function of composition and crosslink density will be studied theoThe theoretical formalism we are developing will also be retically and experimentally. These systems have compliextended to study blends of block copolymer and homopolymer. Transitions cated equilibrium phase diagram of scientific and technological importance. from spherical to cylindrical micelles in block copolymer/homopolymer blends, for example, have been commercially exploited to enhance the high impact resistance of polymers . We Finally, I am interested in homopolymer blend statistics and thermodynamics. thermodynamics on the correlations monomer the of effects the have recently investigated We showed that these corrections modify the regular solution mean field preof blends. In the future, I dictions, enhancing the instability of the homogeneously mixed state. will work-in polymer blends phase separation dynamics. In.order to complete the abovementioned studies support for three Ph.D. students is Support for computer maintenance and upgrading is addirequested ($60,000 per year). For our experimental studies, including polymer tionally needed ($10,000 per year). synthesis and equipment/service charges, $30,000 per year is required. Name of Nomrnee

Signature

|5 S

name

date

/

THEDAVIDANDLUCILE PACKARDFOUNDATION . 300 SECOND STREET, SUITE 200 . LOS ALTOS, CA 94022 * 415 -948-7658

X

-a

i.DAVID and LUCILE

,PACKARD FELLOWVSHIPS

1989

-r

4

FOR SCIENCE AND ENGINEERING

Curriculum Vitae of the Nominee Olvera de la Cruz, Monica last/first/middle Initial Materials Science & Engineering name

Name of Nominee Department

Northwestern name

Sponsoring Institution

(312) 491-7801 telephone (include area code)

University

2145 Sheridan Road number and street

Address

Evanston,

6O0208

Tllinois

cIty and state/zip code 7/ 22 / 58 month/day/year

Date and place of birth

Mexico,D.F. city

Universidad Naciona] Institution

Education (begin with baccalaureate).

Autononm

Mexico state

DA Mpyicn

B.A. 1981 degree and year conferred Cambridge University Institution

Physirs field

Ph.D. 1985 degree and year conferred

Physijrfield

Institution degree and year conferred Positions held (begin with present position).

field

Northwestern University employer Evanston address

Illinois 60208

Assistant Professor

Sep*

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Tncstitfi:t

nf

sftaneirrlic

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1gR dates it-4:-l

T-f-nnr-,

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A. cn

Gaithersburg address

MD 20899

Guest Scientist tItle

Nov. 1984 dates

University of Massachusetts employer Amherst MA 01003 address II I II

T

ArOie

Post-doctoral Research Associate

e--A-N 5,

employer

-Nov.

1984

dates

THlEDAVID AND LUCILE PACKARD FONDATION . 300 SEC ON DST REET, SUITE 200 * LOS ALTOS, CA 94022 * 415-948-7658

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Curriculum Vitae (continued) Name of Nominee

Other

Olvera de la Cruz, Monica lost/firstImiddle Initial

Mv current research Droaram involves three graduate students for the Ph.D. degree.

I have graduated one student at the M.S. level.

My students and I have given over twenty-seven presentations of our research including twenty-two invited presentations,

Honors

Tnqtitittp nf Hf4lth

Firct Award (155)

1g88-g3

Ngtinnal

1981-82

Trinity College

1981-84

UNAM Scholarship Award (Mexico) held in Cambridge University

1982-83

Overseas Research Scholarship Award (U.K.)

1979-81

Conacyt - UNAM Scholarship

THEDAVIDANDLUCILEPACKARDFOUNDATION

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SECOND STREET, SUITE 200 . LOS ALTOS, CA 94022 * 415.948-7658

.I

" DAVID and LUCILE

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FELLEOWVSHIPS

1989

.-

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FOR SCIENCE AND ENGINEERING k

List of Publications iI

Name of Nominee

I

Olvera de 1n Crin7 last/st/middle Initial

Mnnirn

I Il

Publications

Ust onty complete articles published or In press. Do not list presentalions or abstracts. Use addlflonda shets If necessary.

Instructions

M.

Olvera

J. Chem. A.M.

de la

Mayes

and

Eutectis ", E.O.

22, M.

Cruz, 90,

Phys.,

M.

Act.

Shaffer

I

Iheory

of

Microphase

Separation

in

Effects

the

Block

Copolymer

Solutions',

1995 (1989). Olvera

Met.,

and M.

de

37,

Olvera

la 615 de

Cruz,

"Strain

in

Thermal

Stability of

Rod

(1989). la

Cruz,

'Dynamics

of

Gel

Electrophoresis',

Macromolecules

1351 (1989). Olvera Blends

mer

de

la

Cruz, S.F. Edwards, I.C. Sanchez, 'Concentration Thermodynamics", J. Chem. Phys., 89, 1704 (1988).

A.M. Mayes and M. Olvera de la in Block Copolymer/Homopolymer

Fluctuations in

Cruz, *Cylindrical versus Spherical Micelle Blends", Macromolecules, 21, 2543 (1988).

M. Olvera de la Cruz and I.C. Sanchez, "Microphase polymer Blends", Macromolecules, 20, 440 (1987).

Separation

in

Block

Poly-

Formation

Copolymer/Homo-

S.F. Edwards and M. Olvera de la Cruz, 'Xuantum Field Theory Methods in Polymer Blends", in Quantum Field Theory and Quantum Statistics; eds. I.A. Batalin, C.J. Isham and G.A. Vikovisky; Taylor and Francis, Vol. 1 page 371 (1987). M.

Olvera

Star M.

de la Cruz and I.C. Sanchez, 'Theory of Microphase Copolymers", Macr'omolecules, 19, 2501 (1986).

Olvera

Phys. Rev. I h

de

la Cruz,

A, 33,

D.M.

Deutsch

and

S.F.

Edwards,

Separation

*Electrophoresis

in

in

Graft and

Strong

Fields',

2047 (1986).

P R E S S

A.M. Mayes and M. tion' (subm. to

Olvera de la Cruz, wHolecular Phys. Rev. Lett., 1989).

Structure

M. Olvera de la Cruz, D. Gersappe and E.O. Shaffer, Gel Electrophoresis' (subm. to Nature, 1989).

THEDAVIDANDLUCILEPACKARDFOUNDATION

Effects on

Weak

Dynamics of DhA during

Crystalliza-

Pulsed

Field

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Statement by Nominee Ncme of Nominee

.ramkarishnan,

Rajhu

B. Tech., Ph.D.

lost/firstlmiddle Inild T.,

Sponsoring hstitson

,"I

ti 1

I-I

II

i

;

I

degrees

University of Wiisconsin -

name

t*adison

Modern database systems, such as IBM's System R, are based upon the relational model of data. Data is organized into tables (relations), which are sets of objects that have a common structure. The language in which the user poses questions about the data, called the query language, is based upon a formal language called relational algebra. Logic programs generalize relational algebra, supporting the use of recursion and structured data. It has been recognized that this extra power is necessary for the increasingly sophisticated new applications that require database support. These applications include computer-aided design, bill-of-material and inventory applications, and genetic databases in the genome project for DNA sequence analysis. The cost of writing and maintaining software already dominates most computer applications, and is likely to become critical as users who are primarily specialists in other fields use computers to support their research, as in the genome project. Logic programming offers a paradigm in which a user can write concise, high-level programs in logic, a language that is familiar to most technical users. Programs have a precise meaning, and the responsibility for efficient execution is transferred to the implementation of the language. The result is a much needed gain in ease of programming, modularity, and software re-usability. Another attraction of logic programs is that they readily lend themselves to parallelization. Compilers have been developed to support automatic parallelization of code for numeric computations, such as matrix manipulation. However, parallelizing code in traditional languages like Fortran for "symbolic" manipulation, such as list-processing or searching, is harder. As parallel machines become common, logic programs could provide the key to exploiting their potential. Logic programming is based on the idea that a set of clauses in logic of a restricted form may be viewed as a computer program. Programs are declarative- the meaning of a program can be understood independently of how it is to be executed. The user essentially states what is to be computed, rather than how the computation is to be effected, in the abstract and concise language of mathematical logic. This differs radically from traditional programming languages such as Fortran and C. These languages provide powerful operational constructs such as assignment and sequencing, and consequently the semantics can only be understood in terms of a program state and the effect of program statements on this state, and depends on the exact order in which the statements in the program are executed. The overall goal of my research is to support a programming paradigm-in which operational constructs are used sparingly, and the bulk of the code can be understood declaratively. First, we must develop implementation techniques for logic programs that are theoretically sound and efficient in practice. Second, we must understand the role of logic programming with respect to general purpose programming languages. This includes a theoretical study of the expressiveness and complexity of logic programs, and the development of a programming methodology that allows us, when needed, to combine logic programs with operational constructs. The current standard for logic programming languages is Prolog, but the implementation suffers from theoretical and practical deficiencies. Some solutions that are implied by reading the program clauses as statements in logic may not be computed. Also, Prolog's fact-at-a-time processing is unacceptably slow for database applications, where set-oriented operations on data are crucial to achieving efficiency. A fundamentally different alternative to Prolog-style evaluation is to refine the source program by

nTHEDAVIDANDLUC1LEPACKARDFOTNDATION

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Statement by Nominee Name of Nominee

Ranamkrishnan, Raghu last/fls/m/dde Inrtal

applying optimizing transformations, and to then compute the solutions by an iterative evaluation of the optimized program. This permits the utilization of the set-oriented operators of relational algebra and ensures that all solutions are computed. The principal difficulty in this approach is that such a computation, which proceeds "bottom-up" from the facts in the program rather than the given query, may compute (the potentially large set of) logical consequences of the program that are not relevant to the query. I recently presented a program transformation that solves this difficulty, the Magic Templates algorithm. It can be used to achieve the same restriction of computation that is provided by the resolutionbased strategy of Prolog (and several similar computation strategies) - nothing computed by the iterative evaluation of the transformed program is irrelevant. This result, which generalizes and draws upon related work in the area, demonstrates for the first time that bottom-up methods provide a viable computation strategy for unrestricted logic programs. My proposed research over the next five years is outlined below. A new language, Conlog, is currently being designed and implemented, and will serve as a vehicle for these investigations. 1. An important objective is to place the program transformation approach to logic program implementation on a sound theoretical basis, and to use it to build an efficient system. This involves a major effort in several directions. We must develop a theory of optimizing transformations for logic programs, develop program analysis techniques and a framework for a-pplying them systematically, refine the iterative evaluation of logic programs, develop techniques to estimate the cost of evaluating a query, and finally, conduct performance evaluation studies. In particular, the transformation based approach appears to be particularly amenable to parallelization, and this potential must be explored at each step. 2. Several extensions to the logic programming paradigm such as object-oriented logics, constraint logic programs and intelligent query answering systems have been proposed. In addition, aggregate functions, semantics for duplicates, negation, and the ability to optionally specify information about the order of evaluation are capabilities that could enhance the power of the logic programming paradigm significantly. I propose to study these issues, which are central to a full understanding of the role of logic programs in the context of traditional programming languages, and of the direction in which the field must evolve. Funds from the Packard Foundation would be used for graduate student support, colleagues visiting during summer, summer salary, time released from teaching, travel, and to hire a full-time programmer.

Signature

nMay 9,

THEDAVIDANDLUCILEPACKARDFOUNDATION

1939

date

name

.300

SECOND STREET, SUITE 200 . LOS ALTOS, CA 94022 * 415.94S-7658

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-

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Curriculum Vitae of the Nominee Name of Nominee Deportment Sponsoring Institution

last/first/middle Initial

Ramakrishnan, Raghu name

telephone (include area code)

Computer Sciences Department

608-262-1204

name

University of Wisconsin - Madison Address

number and street

1210 West Dayton Street city and state/zip code

Date and place of birth Education (begin with baccalaureate).

Madison, Wisconsin month/day/year

53706

city

12/02/61

state

Pudukkottai

India

Institution

Indian Institute of Technology, Madras degree and year conferred

B. Tech.,

field

1983

Electrical Engineering

InstItutton

University of Texas, Austin

Computer Sciences

degree and year conferred

Ph.D.,

field

1987

Institution degree and year conferred

field

Positions held (begin with present position). employer

Computer Sciences Department,

University of Wisconsin - Madison

address

1210 West Dayton Street, Madison, Wisconsin 53706 title

dates

Assistant Professor

June 1987 - Present

employer

IBM Almaden Research Center address

650 Harry Road, San Jose, California

95120-6099

Visiting Faculty Member

Summer 1988

title

dates

employer

Computer Sciences Department, University of Texas - Austin address

Taylor

Hall, Austin, Texas

78712

Ititle

raten

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DAVID and LUCILE

PACKAR D FELLOW S HIPS

1989

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FOR SCIENCE AND ENGINEERING

Curriculum Vitae (continued) Name of Nominee

Ramakrishnan, Raghu lost/fist/mIddle Inftial

0ther

Editorial

Board:

Journal of

Program Cormmittee Member: Programming,

1989;

Technology,

1990.

Logic Programming

North American Conference on Logic

International Conference on Extending Database

Member of Panel on "Logic Programning, Deductive Databases and Expert Database Systems" at the ACM International Conference on Management of Data, 1988. Has given over 15 invited talks in addition to conference presentatir

Honors

IBM Faculty Development Award, 1988. IBM Graduate Fellowship, 1986-1987. MCD Graduate Fellowship, 1984-1985. University of Texas Graduate Fellowship, 1983-1984. Government of India National Talent Search Scholarship, 1977-1983.

THEDAVIDANDLUC1LEPACKARDFOUNDATION .300

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List of Publications PRamakrishnan, Raghu

Name of Nominee

loast/f/mIddle Intilal Ust only complete articles published or In press. Do not list presentations or abstracts. Use addlilonal sheets If necessary.

Publications instructions Journal Publications [Ra88]

"Magic Templates: A Spellbinding Approach to Logic Programs," R. Rarnakrishnan.

To appear,Journalof Logic Programming. [BKBR87] "Bounds on the Propagation of Selection into Logic Programs," C. Beeri, P. Kanellakis, F. Bancilhon and R. Ramakrishnan.

To appear, Journalof Computer and System Sciences. [BeR87I

"On the Power of Magic," C. Beeri and R. Rarnakrishnan.

To appearin a special issue of Journalof Logic Programming. Book Chapters [BR88] "Performance Evaluation of Data Intensive Logic Programs," F. Bancilhon and R. Ramakrishnan.

In "Foundationsof Deductive Databasesand Logic Programming," Ed.J. Minker, 1988, pp. 439-517. Invited Papers [BR871

"An Amateur's Introduction to Recursive Query Processing Strategies," F. Bancilhon and R. Ramakrishnan.

Proceedings of the ACM SIGMOD InternationalConference on Management of Data, Washington, D.C., 1986, invited paper, pp. 16-53. Reprinted in "Readings in DatabaseSystems," Ed.M. Stonebraker, 1988, pp.,507-555. Revised and reprintedin "Readings in Al and Databases," Eds. M. Brodie and J. Mylopoulos, 1988, pp. 376-430. Refereed Conference Publications [NRSU89] "Factoring Can Reduce Arguments," JF. Naughton, R. Ramakrishnan, JD. Ulilman and Y. Sagiv.

To appear, Proceedings of the InternationalConference on Very Large Data Bases, Amsterdam, Holland, 1989, approx. i5 pages. [NRSU89a] "Efficient Evaluation of Right- Left- and Combined Linear Recursions," J.F. Naughton, R. Ramakrishnan, J.D. Ullman and Y. Sagiv.

To appear, Proceedingsof the ACM SIGMOD InternationalConference on Management of Data, Portland, Oregon,1989, approx. i5 pages.

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4c [RSUV89] "Proof-Tree Transformation Theorems and their Applications," R. Ramakrishnan, Y. Sagiv, JD. Ullman and M. Vardi.

Proceedings of the ACM Symposium on Principles of Database Systems, Philadelphia, Pennsylvania, 1989, pp. 172-182. Invitedfor submission to a special issue of Journalof Computer and System Sciences. [IR88]

"Efficient Transitive Closure Algorithms," Y. loannidis and R. Ramakrishnan.

Proceedings of the InternationalConference on Very Large Data Bases, Los Angeles, California, 1988, pp. 382-395. [Ra88J

"Magic Templates: A Spellbinding Approach to Logic Programs," R. Ramakrishnan.

Proceedingsof the Joint InternationalConference on Logic Programmingand the Symposium on Logic Programming,Seattle, Washington, 1988, pp. 140-160. [KRS88]

"A Framework for Testing Safety and Effective Computability of Extended Datalog," R. Krishnamurthy, R. Ramakrishnan and 0. Shmueli.

Proceedings of the ACM SIGMOD International Conference on Management of Data, Chicago, Illinois, 1988, pp. 154-164. [RBK88]

"Optimizing Existential Datalog Queries," R. Ramakrishnan, C. Beeri and R. Krishnamurthy.

Proceedingsof the ACM Symposium on Principles of Database Systems, Austin, Texas, 1988, pp. 89-102. [KRS88]

"An Axiomatic Approach to Deciding Query Safety in Deductive Databases," M. Kifer, R. Rarnakrishnan and A. Silberschatz.

Proceedingsof the ACM Symposium on Principlesof Database Systems, Austin, Texas, 1988, pp. 172-182. [BNRST87] "Sets and Negation in a Logic Database Language (LDL1)," C. Beeri, S. Naqvi, R. Ramakrishnan, 0. Shmueli and S. Tsur.

Proceedings of the ACM Symposium on Principles of DatabaseSystems, San Diego, California, 1987, pp. 21-38. [BKBR87] "Bounds on the Propagation of Selection into Logic Programs," C. Beeri, P. Kanellakis, F. Bancilhon and R. Ramakrishnan.

Proceedings of the ACM Symposium on Principlesof Database Systems, San Diego, CalWornia, 1987, pp. 214-22 7.

[RBS87]

"Safety of Horn Clauses with Infinite Relations," R. Rarnakrishnan, F. Bancilhon and A. Silberschatz.

Proceedings of the ACM Symposium on Principlesof DatabaseSystems, San Diego, California, 1987, pp. 328-340. [BeR87]

"On the Power of Magic," C. Beeri and R. Ramakrishnan.

Proceedings of the ACM Symposium on Principlesof DatabaseSystems, San Diego, California, 1987, pp. 269-284. [RS861

"Annotations for Distributed Programming in Logic," R. Ramakrishnan and A. Silberschatz.

Proceedings of the ACM Symposium on Principles of Programming Languages, St. Petersburg, Florida,1986, pp. 255-262. [RS85]

"The MR Diagram - A Model for Conceptual Database Design," R. Ramakrishnan and A. Silberschatz.

Proceedings of the International Conference on Very Large Data Bases, Stockholm, Sweden, 1985, pp. 376-393.

I

DAVID and LUCILE

, PACKAR D FE:LLOOWSHIPS .-

I I

1989

3

FOR SCIENCE AND ENGINEERING I& L

i 1-1, I

i

j

-

Statement by Nominee

I

. j

I

Name of Nominee

I I i! I I

Sponsoring Institution

Sereno, Paul C. kistI/middle Iniklo University of Chicago name

M.A.,

M. Phil., Ph.D. degrees

J

I71

I

While the ancient supercontinent Pangaea was fragmenting and drifting apart as continent-sized slabs, dinosaurs dominated all terrestrial habitats and evolved into an extraordinary array of land and aerial forms. This mobile, creative episode in earth history has long furnished a unique model system to understand the fundamental interaction of geology and biology --the coevolution of the land and its inhabitants. But no scientist has yet seized the opportunity to explore this synthetic model system on a global scale with fine resolution. In part, this neglect is due to uneven and imprecise information; fossil skeletons from each continent and accurate stage-level geologic, paleogeographic, and paleoclimatic data for the Mesozoic have only matured in the last decade. The assembly and analysis of a comprehensive database, however, is the more formidable obstacle and will only be overcome by an adventurous researcher adept at securing and integrating extensive data from widespread fossil collections and global geologic compilations. Efficient computerbased techniques capable of analyzing a problem of this magnitude have only just become available. I have dedicated the last five years of my life to this large-scale enterprise and have been successful in gaining access to a wealth of new material sequestered in small, remote museums, in uncovering new skeletal material from critical time horizons, and in opening a new window on the biogeographic events of the Mesozoic. This work has significant ramifications for biologists studying the evolution of animal form, paleobiologists interested in the waxing and waning of life's diversity, biogeographers comparing the evolutionary histories of isolated land faunas, ecologists assessing plant-animal and predator-prey interactions, geologists seeking evidence of intermittent land connections and, not least, visitors to the museums of the world. A project of this breadth is problematic for orthodox funding agencies, which are constrained by short-term concerns. Struggling for sequential shortterm grants to assemble sufficient data and technical support for a large-scale synthesis is not a practical or intelligent approach. Long-term funding of the sort provided by the Packard Foundation is essential to catalyze this research program. The current geopolitical climate also offers an opportune moment to realize a crossdisciplinary, international project of this scope. The objectives of the research are specified below. My doctoral and subsequent research has demonstrated the practicality of each phase of the proposal, which includes global data collection, computer-assisted phylogenetic and biogeographic analysis, and contributions from well-planned field work.

THEDAV1DANDLUCILEPACKARDFOUNDATION

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Statement by Nominee Name of Nominee

Sereno. Paul C. last/st/middle kvlaI

Evolutionary historv of the dinosaurs. The branching pattern and sequence of anatomical transformations will be established by computer-assisted cladistic analysis of an extensive character/taxon database with the aim of providing a unified theory of dinosaur evolution. The database will be constructed from first-hand observation of skeletal material; importantly, it will extend to the generic or species level. Minimum divergence times will be plotted for adjacent clades. Questions to be addressed include: What is; the evolutionary branching pattern and when did major speciation events occur? How complete is the fossil record?

-'

Continental break-up and the evolution of dinosaur faunas. The effect of plate fragmentation and collision on the divergence and differentiation of dinosaur faunas during the Mesozoic will be investigated by computer-assisted biogeographic analysis of an area/taxon database. Vicariant and dispersal events identified in the analysis will be compared to concurrent plate dynamics (paleogeographic reconstructions and climatic data). The ongoing Paleogeographic Mapping Project at the University of Chicago will provide access to important geologic, paleogeographic and climatic data. Questions to be addressed include: Are plate dynamics related to evolutionary diversification? How did evolving faunas on isolated land masses differ? Where and when did intercontinental land connections permit dinosaur dispersal? How did climate affect evolutionary diversification? Dinosaur-bird transition. Birds are the living descendants of theropod dinosaurs. Transitional stages in the evolution of birds, unlike all other flying organisms, are preserved as fossils. The dinosaur-bird transformation will be reassessed in the light of an important new fossil bird from the Jurassic-Cretaceous boundary in China. Field exploration. During each of the five years of the project, I will lead a cooperative field team to explore for new evidence to illuminate three poorly known stages in the evolutionary history of dinosaurs: a) Skeletal remains of the most ancient dinosaurs will be pursued in Triassic beds of northwestern Argentina (Ischigualasto and Ischichuca Formations; 2 seasons) b) Skeletal remains of the unique Middle Jurassic dinosaur fauna that flourished prior to continental break-up will be collected in the Sichuan Basin of central China (Xiashaximiao Formation; 2 seasons). c) Additional remains of the world's second oldest fossil bird will be pursued at a new locality in northeastern China (Jiu Fe Tang Formation; I season). Open invitations from Argentine and Chinese institutions and offers from collaborators to work in all three areas practically guarantees success in the field. Technical illustration, fossil Funds will be used in several principal areas: These are the most preparation, and travel support for museum research and field work. Other expenditures include graduate student support, light critical, and underfunded, areas. field equipment and computer hardware. Signature

nahe

THEDAVIDANDLUCILEPACKARDFOUNDATION

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Curriculum Vitae of the Nominee I------

p

.)tJ.~IOrdlU±,

Name of Nominee Department Sponsoring Institution Address

-.

I. LU.

last/frst/midd~e Infltat

Department of Organismal Biology and Anatomy name

(312) 702-8087

telephone (nclude area code)

University of Chicago

name

1025 East 57th Street number and street

Chicago, Illinois

60637

city and state/zip code

Date and place of birth Education (begin with baccalaureate).

10-11-57

Aurora

month/day/year

Illinois

city

state

Northern Illinois University Institution

B. S., 1979

Biological Sciences

degree and year conferred

field

Columbia University institution

M. A.,

M. Phil.,

1981

Geological Sciences

degree and year conferred

field

Columbia University InstitutIon

Ph. D., Positions held (begin %o~thpresent position).

1987

Geological Sciences

degree and year conferred

field

University of Chicago employer

1025 East 57th Street, Chicago,

Illinois

60637

address

Assistant Professor title

1187 to present dates

employer address title

dates

employer address title THEDAVIDANDLUCILEPACKARDFOUNDATION

dotes . 300 SECOND STREET, SUITE 200-

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Curriculum Vitae (continued) Name of Nominee

Sereno, Paul C. last/firstmiddle inf'ia

Other

Research Grants

s1983, Sigma Xi Research Grant (American

Museum), Weatherhead Fund Research Grant (American Museum), National Geographic Society Research Grant, Walker Johnson Research Grant. Museum). Museum).

1985, Walker Johnson Research Grant (American 1983-1985, National Science Foundation Dissertation

Improvement Grant.

Honors

1984, Walker Johnson Research Grant (American

1988, National Science Foundation Grant.

National Science Foundation Graduate Fellowship, 1979-1982 Columbia University Faculty Fellowship, 1979-1986 Columbia Graduate Faculties Alumni Fellow, 1984-1986 Doctoral Training Fellowship. American Museum, 1986

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4b

FOR SCIENCE AND ENGINEERING

List of Publications rai

Name of Nominee

Publications kbsfructions -

Sereno, Paul C. lastirstI/midde Initam

Ust only complete ariles published or Inpress. Do not list presentations or abstracts. Use additlonal sheets If necessary.

1

I. I

II ' 11

1982a. (D. R. Prothero and P. C. Sereno). Allometry and paleoecology of Medial Miocene dwarf rhinoceroses from the Texas gulf coastal plain. Paleobiology 8(l):16-30. 1982b. An Early Eocene sirenian from Patagonia (Mammalia, Sirenia). Museum Novitates, no. 2729, pp. 1-10.

American

1984. The Phylogeny of the Order Ornithischia: a reappraisal. Third Symposium of Mesozoic Terrestrial Ecosystems, Short Papers. W.-E. Reif and F. Wesphal (eds.), Tubingen, Attempto Verlag, pp. 219-226. r

I

1986. Phylogeny of the bird-hipped dinosaurs. 2(2):234-256.

National Geographic Research,

1988. (P. C. Sereno and Zhao S.). Psittacosaurus xinjiangensis (Ornithischia: Ceratopsia), a new psittacosaur from the Lower Cretaceous of northwestern China. Journal of Vertebrate Paleontology, 8(4):353-365. 1988. (P. C. Sereno, Zhao S., Cheng Z., and Rao C.). Psittacosaurus meileyingensis (Ornithischia: Ceratopsia), a new psittacosaur from the Lower Cretaceous of northeastern China. Journal of Vertebrate Paleontology, 8(4):366-377. 1989. Psittacosauridae. In The Dinosauria, Weishampel, D., P. Dodson, and H. Osmolska (eds.), University of California Press, 30 pp. In press. New data on parrot-beaked dinosaurs (Psittacosaurus). In Dinosaur Systematics Symposium, Currie, P. J. and K. Carpenter (eds.), University of Cambridge Press, 13 pp.

Al

In press. Approaches to ornithischian systematics. In Dinosaur Systematics Symposium, University of Cambridge Press, 39 pp.

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FOR SCIENCE AND ENGINEERING I i

Statement by Nominee

1

11

-.

Name of Nominee

Uernura, Yasutiom J. Colurbia University in

Sponsoring Inrstutiton I

-1 i

I

A I

D. Sc.

last/first/middle nitol

i

degrees

the City of New York

name

Muon Spin Relaxation Studies of High-T, Superconductors With the support from the Packard Fellowship, we would like to perform muon spin relaxation (.zSR) and other measurements on high-T, superconductors and related systems. In kiSR experiments, a spin polarized positive muon beam is stopped in a specimen, and time histograms of muon decay positrons are collected. One can directly measure the time evolution of muon spin polarization via the angular asymmetry in the positron counting rate. The ASR technique has been extensively applied to study magnetism and superconductivity of high-T, systems. The high sensitivity of ySR to static magnetic order has enabled discoveries of static magnetic order in many family systems of cuprate superconductors; additionally, the magnetic field penetration depth A in superconductors can be directly determined from the muon spin relaxation rate c. The nominee and his group from Columbia University have carried out extensive uSR measurements on high-T, systems, mainly using the muon facility at TRIUMF (Vancouver). and have pioneered the application of the 1 iSR technique for the study of family magnetic compounds of high-T, superconductors. W;e have determined magnetic phase diagrams and elucidated detailed aspects of static magnetic order in La 2 CuO4-,, La 2 - SrCuO4 , YBa 2 Cu30,. Bi2 Sr 3 _r3'-Cu 2Os as well as in Nd2 _.,CeCuO4 . In contrast to these planer cuprate systems, no signature of static magnetic order was found by pSR in the family system of the three dimensional perovskite superconductor (Ba.K)BiO3. In superconducting systems, our ISR measurements on the tempeature dependence of the penetration depth A in a c-axis oriented specimen of YBa 2 Cu3 07 have demonstrated that the superconducting energy gap is predominantly finite. Based on the ISR results on more than 15 different specimens. we have found universal correlations between T, and n,/m' (carrier density / effective mass; c.f., a O 1/A 2 cx n 5 /m) in the various cuprate high-T. superconductors. With initial doping of carriers, we find that T, increases, following a linear relation with n 5 /m'. Subsequently, T, shows saturation and finally suppression in the heavily doped region. These results have provided detailed information to be explained by any successful theory for high-T, superconductivity. As shown in the attached publication list, the nominee has published more than 12 papers to date on these ASR studies on high-T, systems, including 3 papers in Phys. Rev. Lett. (Y.J. Uernura et al.: Phys. Rev. Lett. 59, 1045 (1987); ibid. 62 (May 8, 1989), in press; J.lH. Brewer et al., ibid. 60, 1073 (1988)) and 2 papers in Nature (Y.J. Uemura et al., Nature S35, 151 (1988); G.M. Luke et al., ibid. 38, 49 (1989)). The importance of these uSR studies and the leading role of the nominee have been recognized by high-T, researchers: the nominee has presented (or will present) invited talks on this subject at numerous international and national conferences, including the ICM88 (Paris, 1988); MAIM/Intermag (Vancouver, 1988); APS March Mtg. (New Orleans, 1988); First Gordon Conference on Superconductivity (Ventura, 1989); M'-S-HTSC Conference (Stanford, July 1989); .BHTSC (Beijing, September, 1989). Encouraged by our success to date, we wish to extend our program of vSR measurements on high-T, systems. We propose IuSR experiments focussing on: (1) Measurements of the penetration depth to further THEDAVIDANDLUCILEPACKARDFOUNDATlON

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3a

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Statement by Nominee Name of Nominee

i

1ura, YasutTo last/flst/middie Inital

J.

study details of the relation between T, and n,/m* in various superconducting systems; (2) Study of the flux depinning phenomena; and (3) Magnetic order and magnetic phase diagram determination of newly discovered electron superconductors. We have recently obtained promising preliminary jSR results on the flux trapping in Bi2 Sr2 CaCu2 08 . The study of flux vortex motion is important not only from the theoretical view point but also for the fabrication of high-T, superconductors with high critical current density. It is highly likely that discoveries of new superconducting materials with interesting characteristics, such as the electron-doped system Nd 2 -,CeCuO4 , will continue in the future. jLSR studies will be verN useful in the determination of detailed magnetic and superconducting properties of new systems. The experimental results on new systems, combined with our previous data, will be indispensible for testing new theoretical ideas on the physics of high-T, superconductivity. In addition to the pSR studies, the nominee's group is actively involved in neutron scattering imeasurements on high-T, systems (at BNL) as well as in installation of a SQUID magnetometer and a rotatinganode X-ray facility on Columbia Campus. When static magntic order is found by pSR, it is the task of neutron scattering to determine the spatial spin structure. Bull magnetic susceptibility measurment using SQUID magnetometer and crystal structure analysis with X-rays are very important for better characterization of specimens used in the muon and neutron experiments. In order to discuss physics based on complementary experimental results from different techniques, we will carry out the ;LSR studies in combination with these other activities. The specimens of high-T, systems have been supplied by several leading groups which have contributed to major discoveries in the field. They include Prof. S. Uchida (Univ. of Tokyo), Dr. A."'. Sleight (Du Pont), Prof. M.K. WNu (Columbia Univ.), Dr. Y. HidaIka (NTT), and their groups. The nominee has been collaborating with Prof. J.H. Brewer (U.B.C.) and his 1LSR group at TRIUMF and with the neutron scattering group of Do. G. Shirane at BNL for more than five years. These collaborations will be continued during the course of the proposed project. The experimental studies will be carried out with active interaction with eminent theoretical physicists at Columbia University, Profs. T.D. Lee and R. Friedberg. The nominee joined the Physics Department of Columbia University as an Associate Professor in July. 1988, under the Department's initiative to establish a strong program of experimental condensed matte: physics. The University has supplied S 300 K start-up research support to the group of nominee in addition to the renovation of laboratory space. The federal funding for neutron scattering and iSR experiments has so far been provided mainly to the reactor and accelerator facilities: not much support has been given; to groups of outside users from universities. In this situation, the present fellowship will be quite helpful in bridging a gap in federal funding. Should the fellowship be awarded, approximately half of the support will be directed towards personnel and operating costs for our tSR and neutron experiments, while the rest will be used to develop the SQUID and X-ray laboratory on Columbia Campus. Signature

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THEDAVIDANDLUCILEPACKARDFOLNDATION

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M

- LOS ALTOS, CA

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DAVID and LUCILE

t

- PACKARD

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1989

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4

FOR SCIENCE AND ENGINEERING

Curriculum Vitae of the Nominee Name of Nominee Department Sponsoring institution Address

UE MURA. YAe'T(cM last/first/middle Initial

J

(212) 854-3308/8.370

Physics Department

telephone (include area code)

name

Columbia University in the City of New York name

538 W. 120th Street number and street

New York, NY

10027

city and state/zip code

Date and place of birth Education (begin with baccalaureate).

11/22/53 month/day/year

TIkyo

Japan

city

state

University of Tokyo Institution

Phy ci r.c;

B.1c., 1977 degree and year conferred

flerd

University of Tokyo Institution

Physics

M.Sc., 1979 I

degree and year conferred

i

field

University of Tokyo

I JI

Institution i I i -1I I

D.Sc.,

Physics

1982

degree and year conferred

Positions held (begin with present position).

field

Columbia University in the City of New York employer

538 W. 120th Street, New York, NY

kI

10027

address

Associate Professor of Physics I I

July 1988

-

to date

-

June 1988

dates

title

Brookhaven National Laboratory i

I

I

employer

Department of Physics, BNL, Upton, New York

11973

address

Associate Physicist mtle

Feb. 1985 dates

Japan Society for Promotion of Science / Brookhaven National Lab.

I

1.I i ! 11 .

I i

I 4 j I , I ,

employer

(Staying at) Brookhaven National Lab.,

JSPS Special Fellow/BNL Research Collaborator

; I

title

1

Upton, New York

11973

address

TIIEDAVIDANDLUICLEPACKARDFOIENDATION

2/198:3 - 2/1985

dates . 300 SECOND STREET, SUITE 200 - LOS ALTOS, CA

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1989

4a

FOR SCIENCE AND ENGINEERING

Curriculum Vitae (continued) Name of Nominee

Uernura, Yasutar

J.

last/first/middle Intial Other

Honors

Inoue Science Foundation Award for Distinguished D.Sc. Thesis, January 1985 (Japan)

j THEDAVIDANDLUCILEpACKARDFOUNDATIloN .300 SECOND STREET, SUITE200 . LOS ALTOS, CA 94022 .415-948-7658

L DAVID and LUCILLE

PACKARD FELLOWSHIPS

1989 4b

FOR SCIENCE AND ENGINEERING

List of Publications Name of Nominee

Publiccllons instructions

Ueirura, Yasutrow J. last/first/midde Inhtlal

Ust only complete articles published or In press. Do not list presentations or abstracts. Use addilional sheets If necessary.

Publications:

77 papers to date, including 10 papers in Physical Review Letters, 2 papers in Nature 16 papers in Physical Rev. B. See attached list.

Presentations:

10 invited talks at various international and national conferences, including International Conference on Magnetism (ICM 88, Paris, 1988), and International Conference on Low Temperature Physics (LT-16, Los Angeles, 1981). Also, invited to present talk in plenary symposia at the International Conference on High-Temperature Superconductors, Stanford, July 1989.

Detailed list of publications is attached.

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Publications

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Y.J. Uemura

1. '.J. Uemura, T. Kuno, H. Koyama, T. Yamazaki and P. Kienle. A New Way Way of Determining Element Concentrations in P.I.X.E. Trace Element Analysis. Nucl. Instr. & Methods 153, 573-579 (1978). 2. R.S. Bayano, Y.J. Uemura, J. Imazato, N. Nishida, K. Nagamine, T. Yamazaki and E. Yasuoka. Longitudinal Spin Relaxation of pj in Paramagnetic MnO. Phys. Rev. Lett. 41, 421-424 (1978). 3. R.S. Hayano, Y.J. Uemura, J. Imazato, N. Nishida, T. Yamazaki, H. Yasuoka and Y. Ishikawa. Observation of the T/(T-Tc) Divergence of the p Spin-Lattice Relaxation Rate in MnSi near Tc. Phys. Rev. Lett. 41, 1743-1746 (1978). 4. Y.J. Uemura, R.S. Hayano, J. Imazato, N. Nishida and T. Yamazaki. Non-Secular Part of Nuclear Dipolar Broadening Detected by Zero-Field Spin

Relaxation of Positive Muon.

Solid State Commun. 31, 731-734 (1979).

5. Y.J. Uemura, R.S. Hayano, J. Imazato, N. Nishida, R. Nagamine, T. Yamazaki and IE.Yasuoka. Spin Relaxation of Positive ]quon in Paramagnetic MnO. Hyperfine Interactions 6, 127-130 (1979). 6. Y.J. Uemura. Spin Relaxation of Positive Muon in ZrH 2 and MnO. Master Thesis, University of Tokyo (1979). 7. R.S. Bayano, 7.J. Uemura, J. Imazato, N. Nishida, T. Yamazaki and E. Yasuoka. Spin Fluctuation of Itinerant Electrons in MnSi Probed by v*. Eyperfine Interactions 6, 137-141 (1979). S. R.S. Eayano, T.J. Uemura, J. Imazato, N. Nishida, T. Yamazaki and E. Yasuoka. Zero- and Low-Field v1 Snin Relaxation Behavior in MnSi. Eyperfine Interactions 6, 133-136 (1979). 9. N. Nishida, K. Nagamine, R.S. Hayano, Y.J. Uemura, J. Imazato, I. Yamazaki, D.G. Fleming, J.E. Brewer, H. Miyajima and S. Chikazumi. Byperfine Fields on v in Ferromagnetic NiCr and FeSi Arroys. Byperfine Interactions 6, S7-91 (1979). 10. R.S. Hayano, 7.J. Uemura, J. Imazato, N. Nishida, T. Yamazaki and R. Rubo. Zero- and Low-Field Spin Relaxation Studied by Positive Muon. Phys. Rev. B20, 850-859 (1979). 11. M. Doyama, R. Nakai, B. Fukushima, N. Nishida, Y.J. Uemura and T. Yamazaki. Trapping of Positive Muons by Vacancies in Non-Stoichiometric Intermetallic Compounds. Byperfine Interactions 6, 341-344 (1979). 12. N. Nishida, R.S. Eayano, Y.J. fUemura, J. Imazato, R. Nagamine, T. Yamazaki, E. Miyajima W.S. Chan and S. Chikazumi. Muon Diffusion and Location in Iron Alloys. Proc. of the 5th Int. Conf. on Positron Annihilation, ed. by R. Hashiguchi and K. Fujiwara, The Japan Institute of Metals, Sendai, p.p. 759-762 (1979). - 2 -

13. Y.J. Uesura, T. Yamazaki, R.S. Hayano, R. Naka-i and C.T. Huang. Zero-Field Spin Relaxation of v as a Probe of the Spin Dynamics cf AuFe and CuMn Spin Glasses. Phys. Rev. Lett. 45, 583-587 (1980). 14. M. Takigawa, H. Yasuoka, Y.J. Uemura, R.S. Hayano, T. lamazaki and Y. Ishikawa. Posi-ive Muon Spin Rotation and Relaxation in the Belically Ordered State of M=-Si. J. Phys. Soc. Japan 49, 1760-1767 (1980). 15. R.S. H2-rano, Y.J. Uemura, J. Imazato, N. Nishida, K. 3Xazamine, T. Yamazaki, Y. Isbikawa and H. Yasuoka. Spin Fluctuations of I-inerant Electrons in MnSi Studied by Muon Spin Rotation and Relaxation. J. Phys. Soc. Japan 49, 1773-178- (1980). 16. J. Imazato, Y.J. Uemura, N. Nishida, R.S. Hayano, K. Nagamine and T. Yamazaki. Positive Muon Knight Shift in Metallic Pd. J. Phs. Soc. Japan 48, 1153-1155 (198C). 17. Spin Glass.

Y.J. Uemura. Zero-Field Muon Spin Relaxation Reflecming Dynamics of Solid State Commun. 36, 369-372 (1980).

18. T.J. Uemura, C.Y. Huang, C.W. Clawson, J.H. Brewer, F-P. Kiefl, D.P. Spencer and A-Y. de Graaf. Zero-Field vSR in an Insulator Spin Glass (coo)4 0 (Al 2 03 ) 1 0 (SiD2) 5 0 . Byperfine Interactions 8, 757-761 (1931). 19. Y.J. Uesura. Byperfine Interactinns 8,

Probing Spin Glasses vith Zero-Field uSR 739-748 (1981).

(invmted).

20. Y.J. Uemura, K. Nishiyama, T. Yamazaki and R. Nakai. Muon Spin Relaxation in a Spiz- Glass CuŽn Observed in Finite Longitudinal Miagnetic Fields. Solid State Commun. 39, 461-465 (1981). 21. Y.J. U3era, J. Imazatc, N. Nishida, R.S. Rayano, M. akigawa and T. Yamazaki. Par-magnetic Shift of >t in MnO and Its Iime Depen.Lence. Byperfine Interactinns 8, 725-728 (1981). 22. Y.J. Uenura, N. Nishida, J. Imazato, R.S. Eayano, M. -akagawa and T. Yamazaki. Longtiudinal Spin Relaxation of pv in MnO around N-el Temperature. Byperfine Interactions 8, 771-772 (1981). 23. M. Doyo-, R. Nakai, R. Yamanmoto, Y.J. Demura, T. Yamazaki, T. Fukai and T. Suzzki. Behavior of Positive Muons in Zirconiut and Vanadium

Bydrides.

Byperfi-e Interactions 8, 711-715 (1981).

24. R. Naka-, Y. Doyana, R. Yamamoto, Y.J. Uemura, T. Yanazaki and J.E. Brewer. Studv of Diffusion and Irapping of Positive Muons i- Quenched Aluminun by the Tr=-ping Model. Byperfine Interactions 8, 717-720 (1981). 25. S. Takai, E. Yasuoka, Y. Kuno, Y.J. Uemura, T.A. Shibata, R.S. Eayano, T.2 am.zaki, Y. Ishikawa, S.E. Kohn, C.Y. Huang and -.E. Wernick. -SR and Doped Al XMR Studies of FeSi. Eyperfine Interactions 8, 499-502 (1981).

26. Y.J. Uemura and T. Yamazaki. Dynamics of Spin Glasses Detected Physica 109&110B, 1915-1923 (1982). by Muon Spin Relaxation (invited). 27. Y.J. Uemura. Dynam;ical Properties of Spin Glasses Studied by Muon Spin Relaxation. D. Sc. Thesis, University of Tokyo (1982). 28. Y. Kitaoka, M. Takigawa, E. Yasuoka, H. Itoh, S. Takagi, T. Kuno, K. Nishiyama, R.S. Havano, Y.J. Uemura, J. I5naato, E. Nakayama, K. Nagamine and T. Yamazaki. Muon Spin Resonance by Strong Pulsed R.F. Field with Pulsed Muons. Hyperfine Interactions 12, 51-57 (1982). 29. Y.J. Uemura and T. Ya=nazaki. Studying Random Static Polarization of Dilute-Alloy Spin Glasses by Muon Spin Relaxation. J. Mag. hag. Matrs. 31-34, 1379-1380 (1983). 30. Y.J. Uemura, K. Nishivama, R. Kadono, J. Imazato, Y. Kuno, R. Nagamine, T. Yamazaki and Y. Ishikawa. Dynamics of Disordered Spin System Studied by Zerc- and Longitudinal-Field uSR: 1. (FeTiO 3 )8 8(Fe2 03 )1 2 . J. hag. Mag. Matrs. 31-34, 1379-1380 (1983). 31. Y.J. Uemura, C. Shirane, 0. Steinsvoll and J. Wicksted. Explanation of the Spin-Wave-Like Excitations in Ni above T Pnys. Rev. Lett. 51, 2322-2325 (1983). C

New

32. Y.J. Uemura, C.F. Majkrzak, C. Shirane and Y. Ishikawa. Neutron Scattering Study of MnSi Proving no "Exchange Hole". J. Appl. Phys. 55, 1898-1899 (1984). 33. G. Shirane 0. Steinsvoll, 7.J. Uemura and J. W:icksted. Dynamics of Itinerant Ferromagnets above T (invited). J. Appl. Phys. 55, 1887-1892 (1984). c 34. T.3. Uemura. Interplays of vSR, Susceptibility.and Neutron Studies Byperfine lnteractions 17-1°, 447-452 (1984). on Dilute-Alloy Spin Glasses. 35. 7.J. Demura, T. Yamazaki, D.R. Earshman, M. Senba, J.E. Brewer, E.J. Ansaldo and R. Keitel. Zero-Field vSR in a Spin Glass CuŽ-n (1.1 at.;); Precise Measurement of Static and Dynamic Effects Below T . hEperfine Interactions 17-19, 453-456 (1984). g 36. Y.J. Uemura, T. Yamazaki, 7. Kitaoka, M. Takigawa and E. Yasuoka. Positive Muon Spin Precession in Magnetic Oxides MnO and V 0 ; Local Fields and Phase Transition. Hyperfine Interactions 17-19, 339-344 i1 84). 37. T. Eatano, Y. Suzuki, X. Doyama, T.J. Uemura, 'I. Tamazali and Diffusion, Trapping and Detrapping of Positive Maon in J.1E. Brewer. Byperfine Interactions 17-19, 211-218 (1984). Al-0.0472Mg. 38. 'M. Doyama, T. Hatano, T. Natsui, T. Suzuki, Y.J. Uemura, T. Yamazaki J.H. Brewer and C.M. Krowe. Positive Muon Spin Depolarization in Quenched Alluminum Dilute Alloys. Hyperfine Interactions 17-19, 225-230 (1984).

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39. K. Doyama, T. Hatano, Y. Suzuki, R. Nakai, R. Yamamoto, Y.J. Uemura Positive Muon Behavior in KC1 with and without F Centers. and J.E. Brewer. Hyperfine Interactions 17-19, 273-276 (1984). Spin Dynamics near the 40. C. Aeppli, H. Guggenheim and Y.J. Uemura. Phys. Rev. Lett. 52, 942--945 (1984). Mpgnetic Percolation Threshold. Magnetic Excitations in Transition-Metal Ferromagnets 41. Y.J. Uemura. Proc. of High Energy Excitations in Condensed Matter Workshop, (invited). Los Alamos National Lab. (1984), ec. by R.N. Silver, Los Alamos National Lab. LA-10227-C, p.p. 264-290 (1984). 42. Y.J. Uemura, D.R. Harshman, M. Senba, E.J. Ansaldo and A.P. Murani. Zero-Field Muon Spin Relaxation in CuMn Spin Glasses Compared with Neutron and Phys. Rev. B30, 1606-1608 (1984). Susceptibility Experiments. 43. Y.J. Uemura, T. Yaazaki, D.R. Barshman, M. Senba and E.J. Ansaldo. Muon Spin Relaxation in AuFe and CuMn Spin Glasses. Phys. Rev. B31, 546-563 (19E5). 44. G. Shirane, Y.J. Uemura, J.P. Wicksted, Y. Endo and Y. Ishikawa. Paramagnetic Scattering from a Cubic Ferromagnet Pd2MnSn. Phys. Rev. B31, 1227-1232 (1985). 45. G. Aeppli, J.J. Hauser, C. Shirane and Y.J. Uemura. Spin Correlations in a Concentrated Metallic Spin Glass. Phys. Rev. Lett. 54, 843-846 (1985). 46. Y. Ishikawa, T. Noda, Y.J. Vemura, C.F. Majkrzak and G. Shrane. Paramagnetic Spin Fluctuations in the Weak Itinerant Ferromagnet MnSi. Phys. Rev. B31, 5884-5893 (1985). Spatial and Dynamic Spin 47. Y.J. Uemura, S.M. Shapiro and L.E. Wenger. J. Appl. Phys. 57,, 3401-3403 (1i5). Correlation of CuMn (5 at.%) Spin Glass. 48. G. Aeppli, E. Guggenheim and Y.J. Vemura. Spin Dynamics of Percolating Networks. Proc. of Nato Advanced Study institute "Scaling Pnenomena in Disordered Systems", Gailo, Norvay, 1985, ed. by R. Pynn and A. Skjeltorp, p.p. 461-464, Plenum, New York (1985). 49. C. Stassis, B. Batlogg, J.P. Remeika, J.D. Axe, G. Shirane and Y.J. Uemura. Polarized Neutron Study of the Paramagnetic Scattering from CeCu2 Si2 Phys. Rev. B33, 1680-1683 (1986). 50. Y.J. Uemura, C.F. Ma jkzak, G. Shirane, C. Stassis, G. Aeppli, Po'arized Neutron Scattering from CeCu Si, in B. Batlogg and J.P. Remeika. Phys. Rev. B33, 6506-,6511 (1986). Applied Magnetic Fields. 51. P.W. Mitchell, R.A. Cowley, B. Yoshizawa, P. Boni, Y.J. Demura and R.J. Birgeneau, Critical Behavior of the Three Dimensional Site-Random Ising Phys. Rev. B34, 4719-4726 (1986). Magnet: nZn 1-xF.

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52. Y.J. Uemura and R.J. Birgeneau. Cross-over froc Spin Waves to Quasi-Localized Excitations in the Diluted Artiferromagnet (hn0.5 Zn0 5)P 2 Phys. Rev. Lett. 57, 1947-1950 (1986). 53. Y.J. Uemura, W.J. Kossler, B. Hitti, J.R. Kempton, E.E. Schone, X.H. Yu, C.E. Stronach, W.F. Lankford, D.R. Noakes, R. Keitel, M.. Senba, J.H. Brewer, E.J. Ansaldo, Y. Oonuki, T. Komatsubara, G. Aeppli, E. Bucher and J.E. Crow. Muon Spin Relaxation in CeCu 2 Si2 and Muon Knight Shift in Various Hyperfine Interactions 31, 413-416 (1986). Heavy-Fermion Systems. 54. T.J. IUemura, R. Keitel, Y,. Senba, R.F. Kiefl, S.R. Kreitzman, D.R. Noakes, J.H. Brewer, D.R. Harshean, E.J. Ansaldo, K.M. Crowe, A.11. Portis )F V SR Studies on Pure MnF and Site-diluted (hk0n 2In and V. Jaccarino. 0.5 0.5 2' 2 ibid. 31, 313-318 (1986). + 55. J.H. Brewer, D.P. Spencer, C.Y. Huang, Y.J. Uemura and H.S. Chen. V SR in Amorphous Spin Class Pd75Fe5Si20 and Pd 75Fe5P20' ibid 31, 361-367 0 (1986). P 7 07 56. G.M. Luke, R.F. Kiefl, S.R. Kreitzman, J.E. Brewer, D.R. Noakes, Observation M. Celio, R. Keitel, Y.J. Uemura, D.R. Harshman and V. Jaccarino. of Muon Level-crossing Resonance in Antiferromagnetic MnF 2 . ibic. 31, 29-34 (1986). 57. R.F. Kiefl, G.M. Luke, S.R. Kreitzman, M. Celio, R. Keitel, Muon J.E. Brewer, D.R. Noakes, Y.J. Uemura, A.Y4. Portis and V. Jaccarino. Phys. Rev. B35, 2079-2082 Level-crossing Resonance in Antiferromagnetic MnF 2 . (1987). 58. W.J. Kossler, J.R. Kempton, X.E. Yu, E.E. Schone, Y.J. Uemura, A.R. Moodenbaugh, Ii. Suenaga and C.E. Stronach. Xagnetic-field penetration depth of La1 85 Sr0 15 Cu04 measured b3 muon spin relaxation. Phys. Rev. h35, 7133 (1987). 59. R. Katsumata, J. Tuchendler, Y.J. Uemura and H. Yoshizawa. Phase Iransitions -in a Quasi-two-dirensional XT Random hagnetic System. -Phys. Rev. B37, 356-369 (1988). 60. T.J. Demura and R.J. Birgeneau. Magnons and Fractons in the 2. Phys. Rev. E36, 7024-i3.5 (1967). Diluted Antiferromagnet hn Zn

61. T.J. Uemura, W.J.-Kossler, X.H. Yu, j.R. Kempton, E. Schone, D. Opie, C.E. Stronach, D.C. johnsto-, K.S. Alvarez and D.P. Goshorn. Studied by Muon Spin Rotation. Antiferromagnetism of La2 CuC Phys. Rev. Lett. 59, 1045-10i83(1987). ILagnetic-field Penetration Depth of Bign-T 62. T.J. Uemura. Bull. AmC. Phys. Sunerconductors Studied by Muon Spin Relaxation (invited).

Soc. 33, 337-338 (1988).

63. L. Dobrzynski, A. Wisiniewski, Y.J. bemura, 5.1.. Inelastic Neutron Scattering from Sendust. 3.P. Wicksted. 7175-7181 (1988).

Shapiro anc Pnys. Rev.

ho7,

64. Y.J. Uemura, V.J. Emery, A.R. Moodenbaugh, h. Suenaga, D.C. Johnston, .L.J. Jacobson, J.T. Lewandowski, J.1. Brewer, R.F. Kiefl, S.R. Kreitzman, G.M. Luke, T. Riseman, C.E. Stronach, W.J. Kossler, J.R. Kempton, X.E. Yu, Systematic Variation of hlagneti±.-field Penetration Depth D. Opie and E. Schone. Phys. Rev. B36, in 1ligh-TC Superconductors Studied by Muon Spin Relaxation. 909-912 (1988). 65. J.H. Brewer, E.J. Ansaldo, J.F. Carolan, A.C.D. Cnaklader, W.N. Haroy, ene.tal, J. Kempton, ..R. Harchman, M.E. Hayden, M. lshikawa, N. Kaplan, R. G.K. Luke, Kuno, 'Y. Kupla, A. R.F. Kiefl, W.J. Kossler, S.R. Kreitzman, S. Ohkuma, Nisshiyama, K. Nishida, N. E. Miyatake, K. Nagamine, Y. Nakazawa, T. Takabatake, Stronach, C.E. Shimada, D. Schleger, P. .14. Riseman, G. Roehmer, Yang. B. and Yamazaki T. Williams, D.Ll. Watanabe, Y. Uemura, T.J. Antiferromagnetism and Superconductivity in Oxygen-Deficient YBa.CuOX. Pnys. Rev. Lett. 60, 1073-1075 (1988). 66. Y.J. Demura, W.J. Kossler, X.E. lu, f.E. Schone, J.R. Kempton, C.E. Stronach, S. Barth, F.N. Gygax, B. Hitti, A. Schenck,, C. Baines, W.F. Lankford, Coexisting Static hagnetitic Order and Superconductivity '. Onuki, T. Komatsubara. Phys. Rev. B39, 4726-4729 in CeCu 2 .1 2 Found by Mluon Spin Relaxation. (1989). 67. Y.J. Uemura, W.J. Kossler, J.R. Rempton, X.E. Yu, E.E. Schone, D. Opie, C.E. Stronach, J.f. Brewer, R.F. Kiefil, S.R. Kreitzman, G.M. LuKe, T. Riseman, D.Ll. Williams, E.J. Ansaldo, Y. Endo, Y. Krao, K. Yamaaa, D.C. Johnston, X. Alvarez, D.P. Goshorn, Y. idaaka, P. Cia, Y. inomoto, Comparison between Muon Spin Rotation and Neutron ''.Suzuki and T. Murakami. Scattering Studies on the 3-Dimensional Magnetic Ordering of LaCuO4 ?nysica C153 -155, 769-770 (1988). 68. Y.J. Uemura, W.J. Kossler, X.H. Yu, E. Shoene, J.R. Kempton, C.E. Stronach, S. Barth, F.N. Gygax, B. Eitt.-i, A. Schenc1,C. Baines, W.F. LanYfor6, Static Magnetic Ordering of CeCu2 1 Si2 Found . Onuki and T. Komatsubara. Physica C153-155, 455-456 (1988). by hMon Spin Relaxation. 69. G.M. Luke, R.F. Kiefl, J.11. Brewer, I. Rise-an, D.L1. Williams, J. Kempton, S.R. Kreitzman, E.J. Ansaldo, N. Raplan, Y.-. Demura, W.N. Hardy, Antiferromagmezism and SuperJ.F. Carolan, M.E. Haydenand and B. Yang. Physica C153-155, 759-760 (1988). conductivity in YBa2Cu306.95Muon Spin Relaxation Studies on Eigh-Tc Supercondcutorsi Y.J. Uemura, 70. 64, 6087-6091 (1988). J. Appl. Phys. and Related Antiferromagnets (invited),

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71. Y.J. Uemura, B.J. Sternlieb, D.E. Cox, V.J. Emery, A. Moodenbaugh M..Suenaga, J.H. Brewer, J.F. Carolan, W. Hardy, R. Kadono, J.R. Kempton, R.F. Kiefl, S.R. Kreitzman, G.M. Luke, P. Mulhern, T. Riseman, D.L1. Williams, B.X. Yang, W.J. Kossler, X.H.`u, H. Schone, C.E. Stronach, J. Gopalakrishnan, M.A. Subramanian, A.W. Sleight, H. Hart, K.W. Ley, H. Takagi, S. Uchida, Y. Hidaka, T. Murakami, S. Etemad, P. Barboux, D. Keane, V. Lee and D.C. Johnston, iSR Studies on High-Tc Superconductivity (in'rited), J. Physique (Paris) Colloque, (1989), in press. 72. Y.J. Uemura, Combination of Muon Spin Relaxation and Neutron Scattering Studies on Magnetism (invited), Byperfine Interacts. (1989), in press. 73. Y.J. Uemura, B.J. Sternlieb, D.E. Cox, J.E. Brewer, R. Kadono, J.R. Kempton, R.F. Kiefl, S.R. Kreitzman, G.M. Luke, P. Mulhern, T. Riseman D.L. Williams, V.J. Kossler, I.E. Yu, C.E. Stronach, M.A. Subramanian, J. Gopalakrishnan and A.W. Sleight, Absence of Magnetic Order in (Ba,K)BiO 3 , Nature, 335, 151-152 (1988) 74. B.X. Yang, R.F. Kiefl, J.H. Brewer, J.F. Carolan, V'.N. Hardy, R. Kadono, J.R. Kempton, S.R. Kreitzman, G.M. Luke, T. Riseman, D.L1. Williams, Y.J. Uemura, B.J. Sternlieb, X.A. Subramanian, A.R. Strzelecki, J. Gopalakrishnan and A.W. Sleight, Static Magnetic Order in Bi2 Sr2 YCu2 0, and Spin Freezing in Bi2 SrYCaCu2 O, Detected by huon spin Rotation, Phys. Rev. E39, 847-850 (1989). 75. G.M. Luke, B.J. Sternlieb, Y.J. Uemura, J.H. Brewer, R. Kadono, R.F. Kiefl, S.R. Kreitaman, T.M. Riseman, J. Gopalakrishnan, 'L.V. Sleight, M.A. Subrananian, S. Uchida, E. Takagi and Y. Tokura, Studies of Static Magnetic Order in Electron-Superconductors and Their Parent Compounds; Nature 338, 49-51 (1998 76. B.J. Sternlieb, G.Y. Luke, Y.J. Demura, J.E. Brewer, R. Kadono, J.R. Remton, R.F. Kiefl, S.B- Kreitzman, T.M. Riseman, D.L1. Villiams, J. Gopalakrishnan, A.W. Sleight, A.R. Strzelecki and M.A. Subramanian, The Magnetic and Superconducting Phase Diagram of Bi 2Sr 3 -x'r Cu2708 as Determined by Muon Spin Rotation, submitted to Phys. Rev. B (1989).

V.N. T.M. A.W. B.W. (May

77. Y.J. Uemura, G.Y.. Luke, B.J. Sternlieb, I.E. Brewer, J.F. Carolan, Eardy, R. Kadono, J.R. Kempton, R.F. Kiefl, S.R. Kreitzman, F. Mulhern, Riseman, D.L1. Williams, B.X. Yang, S. Uchida, E. Takagi, J. Gopalakrishnan, Sleight, Y.A. Subramanian, C.L. Chien, Y.Z. Cieplak, Gang Xiao, V.T. Lee, Statt, C.E. Stronach, W4.J. Kossler and X.E. Yu, Phys. Rer. Lett. 62, 8, 1989), in press.

- 8 -

i DAVID and LUCILE

PACKARD FELLOWSHIPS

1989

j]

3

FOR SCIENCE AND ENGINEERING

I

IiIStatement by Nominee

B.';.

VAFA, Cumrun Name of NorNnee

Sponsordng hslltuton

losft/middde

~

Physics

1981

B.',. Mathematics 1981 -h

Harvard University noe

(at Mass. Insti. of Tech.) D. Phyic6 1 985 (at 9'nceton Univ.)

I have been working on string theory for the past five years. It has been a very active period for string theory, and I have had the pleasure of participating in this development. Today we are at a critical point in the history of particle physics. String theory poses a great challenge to the mind of theoretical physicists mainly

because we are still in search of the fundamentals of the subject. With no strong experimental clues to guide us in our search, we will have to study carefully the solutions to string vacua which have already been discovered, and use them to get some insight into the fundamentals of strings. Aside from this very challenging search for the abstract principles, physicists have also considered another approach: Since string theory appears to be the first consistent theory of quantum gravity one could try answering some concrete questions which were left unanswered in the past due to a lack of a quantum theory of gravity. These questions include unresolved issues in the high temperature regime in thermodynamics, high energy limits of scattering amplitudes, singularities of the standard cosmology, and singularities of black holes. My research in string theory is going to continue along these two basic lines: On the one hand I will try to ask questions which need to be straightened out before we can have a more fundamental understanding of strings. This approach is combined with a careful study of existing string vacua, as well as constructing new ones. For instance, we have recently been able to connect the classification of the most promising string vacua to the classification of catastrophes or singularities. This unexpected connection might shed some light on the general structure of string theory. On the other hand, I will continue thinking about many puzzles of gravity which were left unanswered in the theory of point particles. For instance, I am continuing my research to understand how string theory modifies the standard cosmological scenario, and how strings could predict the dimensionality of space-time. In particular it has been discovered that in the context of string theory there is a possibility of having a universe without a beginning, thus drastically changing our view of cosmology. continued ... THEDAVIDANDLUCILEPACKARD FOUNDATION . 300 SECOND STREET, SUITE 200

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DAVID and LUCILE

PACKARD FELLOWSHIPS

1989 -I __J I - I

I believe that the string theory has a long way to go to be the unifying theory of everything. The progress that this subject has seen in in the past five years of intensive investigation has been the result of many joint collaborations. These collaborations have been very effective in unraveling some of the secrets of strings. It was in view of the importance of such exchange of ideas between string theorists that I initiated a weekly string seminar in the Boston area (Harvard-MIT-BU) which has contributed to making Boston a more active area of research in string theory. If I were granted the fellowship, I would use the grant in the main part to make Boston a far more active center of research for string theory. In particular by creating post-doctoral positions supported by the grant, as well as, inviting leading string theorists to spend some time in the area in order to collaborate with the physicists here, there would be a stimulating atmosphere for exchange of ideas which I believe could greatly contribute to the advancement of string theory in the next five years. Clearly string theory has a long road ahead. In the absence of experimental input which has traditionally played an important role in the development of physical theories, we have to develop our sense of aesthetics of the subject, while not losing sight of our eventual goal: the understanding of fundamentals of nature using as few principles as possible.

Signature

i1\t:a/ name

TIIEDAVIDANDLUCILEPACKARDFOUNDATION

| 0) date

. 300 SECOND STREET, SUITE 200 . LOS ALTOS, CA 94022

)I s'* 415-948-7658

DAVID and LUCILE

PACKARD FELLOWSHIPS

1989

4

FOR SCIENCE AND ENGINEERING

Curriculum Vitae of the Nominee VAFA,

Name of Nominee

Cumrun

last/fzrst/midde Inthfa

Department of Physics Departrnent

(617)

name

495-4349

telephone (Include area code)

Harvard University

Sponsoring kustlutlon

name

Jefferson Physical Laboratories, 9 Oxford, Rear

Address

number and street

Cambridge,

Massachusetts 02138

city and state/zip code

August 1, 1960

Dote and place of birth

month/day/year

Tehran, Iran

Education (begin with baccalaureate).

stale

ciy

Massachusetts Institute

of Technology

B.S., 1981

Physics

degree and year conferred

Massachusetts Institute

fied

of Technology

Instflutlon

B.S.,

1981

Mathematics

degree and year conferred

fled

Princeton University InstIluton

Ph.D.,

1985

Physics

degree and year conferred

Positions held (begin with present position).

field

Harvard University employer

Department of Physics, ssoiat

Cambridge,

MA 02138

Po

Associate Professor of Physics

July 1,

1988 to presen

dates

tite

employer address ftle

I i

I

dates

employer address dates

TIT/e

THEDAVIDANDLUCILEPACKARDFOU\DATION

.300 SECOND STREET, SUITE200

* LOS ALTOS, CA

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DAVID and LUCILE

PACKARD FELLOWSHIPS

1989

4a

FOR SCIENCE AND ENGINEERING

Curriculum Vitae (continued) Name of Nominee

VAFA, Cumrun kIst/tft/mridde Inffid

Of-er

Joseph Henry prize for academic year 1981-82, Princeton Honors

Society of Fellows, Harvard University, 1985-88

TTIEDAVIDANDLUCILEPACKARDFOUNDATION

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*

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-

DAVID and LUCILE

PACKARD FELLOWSHIPS

1989

4b

FOR SCIENCE AND ENGINEERING

List of Publications Name of No

e

VAFA,

Cunrun

ktst/l/midde Wdci

Publcafions hslrucfions

List only complete articles published or h press. Do not list presentation or abstracts. Use oddlitonal sheets Ifnecessary.

1. Restrictions on Symmetry Breaking in Vector-like Gauge Theories, (with E. Witten), Nuci. Phys. E23A (1984) 173. 2. Eigenvalue Inequalities for Fermions in Gauge Theories, (with E. Witten), Comm. Math. Phys. 95 (1984) 257. 3. Parity Conservation in Quantum Chromodynarnics, (with E. Witten), Phys. Rev. Lett. 53 (1984) 535. 4. Bosonic String Algebras, (with E. Witten), Phys. Lett. 159B (1985) 265. 5. Strings on Orbifolds [1], (with L. Dixon, J. Harvey, and.E. Witten), Nuci. Phys. B261 (1985) 678. 6. Strings on Orbifolds [2], (with L. Dixon, J. Harvey, and E. Witten), Nuci. Phys. B274 (1986) 285. 7. Modular Invariance and Discrete Torsion on Orbifolds, Nuci. Phys. 3273 (1986) 592. 8. Theta Functions, Modular Invariance, and Strings, (with L. Alvarez-Gaumn Moore), Comm. Math. Phys. 106 (1986) 1.

and G.

9. An 0(16) x 0(16) Heterotic String, (with L. Alvarez-Gaum6, G. Moore, and P. Ginsparg), Phys. Lett. B171 (1986) 155. 10. Interactions on Orbifolds, (with S. Hamidi), Nud. Phys. B279 (1987) 465. 11. Bosonization in Arbitrary Genus, (with L. Alvarez-Gaume, J. B. Bost, G. Moore, and P. Nelson), Phys. Lett. B178 (1986) 41. 12. Toroidal Compactification of Non-Supersymmetric Heterotic Strings, (with P. Ginsparg), Phys. Lett. B178 (1987) 414. 13. Asymmetric Orbifolds, (with K. S. Narian and M. H. Sarmadi), Nuci. Phys. B288 (1987) 551. THEDAVIDANDLUCILEPACKARDFOUNDATION

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continued

14. Global Anomalies on Orbifolds, (with D. Freed), Comm. Math. Phys. 110 ("987) 349. 15. Operator Formulation on Riemann Surfaces, Phys. Lett. B190 (1987) 47. 16. On Four-Dimensional Gauge Theories from Type II Superstrings, (with L. J. Dixon and V. Kaplunovsky), Nucl. Phys. B294 (1987) 43. 17. Conformal Theories and Punctured Sufraces, PAys. Lett. BI92 (1987) 195. 18. Quasicrystalline Compactification, (with J. Harvey and G. Moore), Nucl. Phys. B304 (1988) 269. 19. Strings in the Operator Formalism, (with L. Alvarez-Gaume, C. Gomez, and G. Moore), Nucl. Phys. E30 (1988) 455. 20. Toward Classification of Conformal Theories, Phys. Lett. 206B (1988) 421. 21. c-Theorem and the Topology of 2-d QFT's, Phys. Lett. B212 (1988) 28. 22. Superstrings in the Early Universe, (with R. Brandenberger) Harvard preprint HUTPS8/A035. 23. Catastrophes and the Classification of Conformal Theories (with N. Warner), Phys. Lett. B218 (1989) 51. 24. Calabi-Yau Manifolds and Renormalization Group Flows, (with B. Greene and N. Warner), Harvard preprint HUTP-88/A049. 25. The Operator Algebra of Orbifold Models, (with R. Dijkgraaf, E. Verlinde, and H. Verlinde), Harvard preprint HUTP-88/A052. 26. Conformal Algebra of Riemann Surfaces, Lectures presented at the Theoretical Advanced Study Institute, Brown University, Harvard preprint HUTP-88/A053. 27. Chiral Rings in N=2 Superconformal Theories (with W. Lerche and N. Warner), Harvard preprint HUTP-88/A065. 2S. String Vacua and Orbifoldized LG Models, Harvard preprint HUTP-89/A018. 29. Quantum Symmetries of String Vacua, Harvard preprint HUTP-89/A021.

DAVID and LUCILE

PAC'KARD FELLOWSHIPS

1991 3

FOR SCIENCE AND ENGINEERING

Statement by Nominee Nome of Nominee

Adams, Eldridge S.

icst/first/middle initial

University of Rochester Sponsoring institution

name

The study of insect population dynamics has been central to the development of ecology since its emergence as a quantitativezecience. Research on insect populations has been pivotal both in pure biology (e.g., in understanding the causes of fluctuations in abundance) and in applied biology (e.g., in the design of integrated pest management). To date, the vast majority of research on insect population ecology has concerned solitary insects. Comparatively little work, either theoretical or empirical, has been directed towards the population dynamics of social insects (ants, termites, some bees andwasps). These insects, which live in colonies and show reproductive division of labor, are among the most numerous and ecologically important organisms in terrestrial habitats. Ecologists currently lack a conceptual framework suitable for guiding population-level research on these insect groups. The goals of my research over the next several years are to develop conceptual models for social insect population dynamics and to test these models rigorously with controlled field and laboratory experiments. These studies will address all phases of the life cycle, including the initiation of colonies by newly mated queens and interactions within mature populations. The experiments are designed to reveal the features of the population and its environment that affect the rates of birth, growth, reproduction, migration, and mortality of colonies. Since many of these

nrocesses invn1ve

social

hphavinrs.

fipld

and9

lahnratnrv

experiments will explore the behavioral mechanisms underlying population change. The proposed work will concentrate first on two aspects of social insect populations that are ecologically important but poorly understood. The first of these is variation in colony size. Within a single species, reproductively mature colonies may differ enormously in the number of workers, spanning four or more orders of magnitude. The size of a colony affects its survivorship and reproduction; furthermore, variation in colony size shapes the course of competition among colonies. Unfortunately, worker population sizes are often difficult to measure and few investigators have monitored this important variable. My current experiments are the first to evaluate experimentally how competitive interactions among colonieslter the size distribution of surviving colonies. A second focus will be on the limited mobility of colonies and its consequences for population change. Because colonies move infrequently, competitive interactions occur within local neighborhoods. By perturbing single colonies or local assemblages of colonies, I am I

TIE DAVID ANDLUCILEPACKARD FOUNDATION

. 300 SECOND STREET, SUITE 200 . LOS ALTOS, CA 94022 - 415-94S.7658

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ANT) EPNGINEERING

Statement by Nominee Name of Nominee

Adams,

Eldridge S.

lost/first/middle initial

exploring the factors responsible for the outcome of neighborhood interactions and the manner in which local changes propagate through larger populations.

l

My principal study species is the fire ant, Solenopsis invicta, a species that was introduced accidentally to the United States from South America nearly fifty years ago. This ant is an ecological and economic pest, has large and accessible populations, and allows unusually easy collection of mated queens. These properties make feasible experimental approaches that are new to social insect research. For example, I am currently conducting a series of field experiments in which mated queens are planted in the ground in large replicated arrays. Within each plot, we can control colony density, the initial spatial and size distribution of colonies, and the date of planting. We are then able to follow interactions among thousands of planted colonies. This powerful approach to the study of colony population dynamics has previously never been attempted.

If funded by the Packard foundation, I will use the fellowship principally to support, field research in the southeastern states. The field studies which are essential for population ecology are labor intensive, so a large portion of the budget would be used to pay technicians and undergraduate assistants, and to provide graduate student:stipends. The teaching load at the University of Rochester is reasonable and has allowed me to work full time in the field during the spring an summer, when the ants engage in mating flights and establish their new colonies. Adequate funding would allow me and my co-workers to follow population processes during other seasons far more completely. The fellowship would also be used to support behavioral and genetic work on social insects in the laboratory at Rochester. The current base of funding for basic ecology is discouragingly low. It also suffers from a schism between pure and applied research: the National Science Foundation I avoids pest management and the Department of Agriculture emphasizes I IspeiUiL or,nr -l~ h-eh -6s 1_' 1 ~ V,c 4 hong Ah - noo, , /; - ' ,;-; A-4 '1conLUrIl. pI W c.L sL_.* LLuJrge LwnL> jJ.LJJe. L W-L] -L.LJ^i to basic biology and to control methods for economic and ecological pests. UJ .l

iom

THIEDAVIDANDLUCILEPACKARDFOUNDATION

nature te

*.300 SECOND STREET, SUITE 200 e LOS ALTOS, CA 94022

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DAVID and LUCILE

PACKARD, FELLOWSHIPS

1991 4

FOR SCIENCE AND ENGINEERING

Curriculum Vitae of the Nominee lost/first/middle initial

Name of Nominee Deportment Sponsoring institution Address

Adams, name

(71E) ?7%-np7 telepnane includee area code)

Fdridge S.

Biology name University of Rochester number and street Rochester, NY 14627 city and state/zip code TnglePwnnc

September 11, 1957 date and place of birth

CA

institution

Education (begin with baccalaureate).

degree and year conferred Harvard University, inslitution

field B.A..

1979

(summa

B.A., 1979 degree and year conferred Berkeley,

1987

employer

Biology

CA Zoology

degree and year conferred

Positions held (begin with present position).

liide) Biology feld

University of California, instlitution Ph.D.,

cum

field

University of Rochester

Rochester, address

NY

14627

Assistant Professor Department of Biology 1/l/91-present title dotes (mo/dy/yr) Florida employer

State

Tallahassee, address

University FL

32306

Research Associate Department of Biological Science 3/1/90-121 /31/90 title dates (mo/dylyr) Smithsonian Tropical employer APO Miami

Research

Institute,

Republic

of Panama

34002

address Postdoctoral title

Fellow

TIIE DAVID AND LUCILE PACKARD FOUNDATION * 300 SEC OND ST R EET, SUITE 200

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CA

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DAVID and LUCILE"

PACKARD' FELLOWSHIPS

TiIEDAVIDANDLUCILEPACKARDFOUNDATION

1991

-300 SECOND STREET, SUITE 200 . LOS ALTOS, CA 94022 * 415-948-7658

so DAVID and LUCILE

PACKARD FELLOWSHIPS

1991

a:

FOR SCIENCE AND ENGINEERING

4b

i

List of Publications r I

Name of Nominee

,--I

Adams,

Eldridge S.

lost/first/middle initial

j i

Publications Instructions

-, - II

List only complete articles published or in press. Do not list presentations or abstracts. Use additional sheets if necessary.

Adams, E.S. and J.F.A. Traniello. 1981. Chemical interference competition by Monomorium minimum (Hymenoptera: Formicidae). Oecologia 51:265-270.

I I I.I I 1: I

Levings, S.C. and E.S. Adams. 1984. Intra- and interspecific territoriality in Nasutitermes (Isoptera: Termitidae) in a Panamanian mangrove forest. J. Anim. Ecol. 53:705-714.

,-i

Adams, E.S. and S.C. Levings. 1987. Territory size and population limits in mangrove termites. J. Anim. Ecol. 56:1069-1081. Trail, P.W. and E.S. Adams. 1989. Active mate choice in a lek-breeding bird: Tactics of sampling and comparison. Behav. Ecol. Sociobiol. 25:283292.

i , JI I

Adams, E.S. 1990. Boundary disputes in the territorial ant Azteca trigona: Effects of asymmetries in colony size. Anim. Behav. 39:321-328.

i, I

Adams, E.S. and R. L. Caldwell. 1990. Deceptive communication in asymmetric fights of the stomatopod crustacean Gonodactvlus bredini. Anim. Behav. 39:706-716. I

4

;

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Adams, E.S. 1990. Interaction between the ants Zacryptocerus maculatus and Azteca trigona: Interspecific parasitization of information. Biotropica 22:200-206.

1-

Adams, E.S. 1991. Nestmate recognition based on heritable odors in the termite Microcerotermes arboreus. P.N.A.S., USA 88:2031-2034.

l

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I

Statement by Nominee Name of Nominee

Sponsonng Instituton

Alley, Richard B. lost/first/middle initial The Pennsylvania State University name

Large ice sheets are important to the earth system. Today, they contain enough water to raise sea level 80 m if melted, and also hold a unique record of past climates; as recently as 15,000 years ago they covered and reshaped 30% of the land surface. My research is divided between ice dynamicswill greenhouse warming cause ice-sheet collapse and sea-level rise?-and ice-core properties-does the ice faithfully record paleoclimates? In ice dynamics, the marine West Antarctic ice sheet is viewed as a likely casualty of greenhouse warming, raising sea level 6 m over one to a few centuries. Previous workers have shown that ice-sheet collapse would occur through the enigmatic, fast-moving ice streams around the continent, and that we must have a quantitative model of these ice streams if we are to assess the likelihood of collapse, predict the rate of collapse if it occurs, and evaluate ways to cope with of prevent collapse. However,, all previous models fail to explain observed ice-stream behavior. Working with colleagues at Wisconsin and based on their geophysical data, I presented the hypothesis that deformation of unconsolidated, water-saturated subglacial sediments controls ice streams. This hypothesis was greeted as "A Paradigm Shift in Glaciology?" in Nature. It successfully explained observed ice-stream form, and produced a number of predictions that differ from predictions of competing ice-stream models, and that have been confirmed by further field work. Pending unequivocal proof, this deforming-bed model is now the leading hypothesis for ice-stream motion. In a series of papers, I have developed this into a unified model of the ice, water, and sediment, which leads to a new understanding of ice-streams and the entire ice sheet. I now am beginning to use this model to address the critical problem of predicting future behavior. In addition to using numerical models to assess West Antarctic stability, we can gain useful information from analogs. Here the former northern hemisphere ice sheets could be especially helpful. However, the glacial-geologic research on deposits of these ice sheets has not focused on understanding the dynamics of the ice. I now am using the new ideas about ice-sediment linkage in Antarctica to help reconstruct the ice sheets of the past and understand the causes of their collapse. The potential value of research on ice-sheet stability is immense, considering that many of the world's great cities and large fractions of some countries (Bangladesh, the Netherlands) are low enough to be inundated by ice-sheet collapse. At present, however, the effort to solve this global problem is not in line with the potential danger, glaciology as a discipline lacks a clear academic home (geology? meteorology? physics?) and thus lacks the institutional base and concentration of researchers enjoyed by many other disciplines. At Penn State, with its great commitment to climate-change studies, I still am relatively isolated in my interest in land ice. I would use new funding provided by a Packard

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Statement by Nominee Name of Nominee

-

Alley, Richard B.

last/first/middle initial

Fellowship to build a glaciological research group here-graduate students, a post-doctoral fellow, and perhaps a visiting scientist. Only by bringing new talent into the field, here and elsewhere, will it be possible to solve the challenging problems of ice-sheet stability. My other research thrust is in ice-core analysis. The ice sheets contain a unique record of past climates: bubbles trap the only available samples of old air and store the samples in time sequence; isotopes tell past temperatures; and chemical impurities reveal how geochemical cycles have changed. However, to read and interpret this record we must know how it is recorded in the ice and how it is altered by ice flow. To this end, I have concentrated on fundamental research into the origin of physical stratification, and the mechanisms of grain growth, densification, ice flow and fabric formation. This has led to numerous papers which follow material from deposition as snow on the surface to deformation in the deepest layers of ice sheets, with physical controls on changes identified and quantified at each step. As part of this research, I have developed new analysis techniques, identified an unsuspected mechanism of near-surface densification, clarified our understanding of paleoclimatic information in grain sizes, and collaborated in exploration of implications of this work for remote sensing. I now am extending my research on ice cores to make an assessment of stratigraphic continuity and time scales of deep cores, utilizing the new ice core to bedrock from central Greenland. Recently, my research is hampered by limited laboratory facilities, and the failure of glaciologists in general, and myself in particular, to use modern techniques in such studies. Ice-sheet glaciologists continue to measure textures and fabrics by hand or with semni-automated systems, although high-speed, automated image-analysis and stereology systems are available that would greatly increase data production and quality. I initially would utilize some of the Packard Fellowship funds to buy such a system and adapt it to the special problems of glaciology. In summary, the large ice sheets are an important element of the earth system, and they are assuming an increasing importance in our emerging picture of the earth as we contemplate global change. My research addresses large gaps in our knowledge of ice sheets past and present, and their role in global change. Multi-year funding from the Packard Foundation would enable me to explore new ideas on ice dynamics and ice-core interpretation and eventually to develop the capability to predict changes in ice sheets before they occur. Such funding also would help me recruit and retain good students in glaciology, a necessity for advancing our understanding of the complex behavior of large ice sheets and their role in global change.

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DAVID and LUCILE

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FOR SCIENCE AND ENCiINEERING

Curriculum Vitae of the Nominee last/lfrst/middle initial Name of Nominee

Alley, Richard B.

(814) 863-1700

name Department

telephone (include area code)

Geosciences name

Sponsoring institution

The Pennsylvania State University number and street

Address city and state/zip code

University Park, PA

16802

date and place of birth

8/18/57

Columbus, Ohio

institution

Education (begin with baccalaureate).

The Ohio State University degree and year conferred

field

B.Sc. 1980

Geology and Mineralogy

institution

The Ohio State University degree and year conferred

M.Sc.

field

1983

Geology and Mineralogy

institution

University of Wisconsin degree and year conferred

field

Ph.D. Positions held (begin with present position).

Geology and Geophysics

employer

The Pennsylvania State University, Dept. of Geosciences actress

-306 Deike Building, University Park, PA 16802 title

dates (mo/dy!yr)

Assistant Professor of Geosciences

10/15/88 - present

employer

University of Wisconsin-Madison

Geophysical & Polar Research

address

L215 W. Dayton Street, Madison, Wisconsin 53706 title

dates (mo/dy!yr)

Assistant Scientist

05/01/87 - 10/15/88

employer

Mobil Field Research Lab address

13777 Midway Rd.. Dallas, Texas 75244 dates (mo/dy/yr)

title

Summer Researcher TIE DAVIDANDLUCILEPACKARDFOUNDATION

06/01/82 - 08/31/82

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Curriculum Vitae (continued) Name of Nominee

Alley, Richard B. last/flrst/middie initial

I

Otier

C'hair, U.S. Ice Core Working Group; Siple Coast Project Steering Committee; West Antarctic Ice Sheet (WAIS) Project Steering Committee; National Science Foundation Division of Polar Programs Advisory Committee (DAC); NSF Division of Polar Programs Review Panels for Antarctic Glaciology, Arctic C;laciology, and Greenland Ice Sheet Project 2.

Honors

Presidential Young Investigator Award (1990); Sigma Xi Dissertation Award (1987); Phi Beta Kappa, Phi Kappa Phi and Sigma Xi honoraries; American Society for Metals-Milwaukee Student Metallography Award (1986); Outstanding Junior (1979), Senior (1980),

Senior Thesis (1980), First-Year Graduate Student

(1981) and Graduate Student (1983), Department of Geology and Mineralogy, The Ohio State University; Graduate Fellowships at University of Wisconsin-Madison and The Ohio State University; 7 undergraduate scholarships; Graduated With Honors, With Distinction, Summa cum laude (1980).

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List of Publications Name of Nominee

Publications Instructions

~1

Alley, Richard B. lost/frst/middle initial Ust only complete articles published or in press. Do not list presentations or abstracts, Use additional sheets If necessary.

Refereed Publications. If co-authored, approximate contribution by Alley shown as [x %]. I

I

Alley, R.B. Deforming-bed origin for southern Laurentide till sheets? Journal of Glaciology (in press). A::

Alley, R.B. Ice-marginal sedimentary processes may trigger glacier fluctuations. Annals of Glaciology 15 (in press). Rooney, S.T., D.D. Blankenship, R.B. Alley and C.R. Bentley. Seismic reflection profiling of a sediment-filled graben beneath ice stream B, West Antarctica. Proceedings, Fifth International Symposium on Antarctic Earth Sciences, Cambridge, UK (in press). [10%] Kump, L.R. and R.B. Alley. Global chemical weathering on glacial time scales. For Global Sedimentary Geofluxes. Edited by T.M. Usselman (in press). [40%] Alley, R.B., E.S. Saltzman, K.M. Cuffey and J.J. Fitzpatrick. Summertime origin of depth hoar in the Greenland ice sheet, GISP2 Summnit site. Geophysical Research Letters 17: 2393-2396 (1990). [40%]

. .i

Alley, R.B., Multiple steady states in ice-water-till systems. Annals of Glaciology 14: 1-5 (1990). Alley, R.B. and B.R. Koci. Recent warming in central Greenland? Annals of Glaciology 14: 6-8 (1990). [90%] Grootes, P.M., M. Stuiver, T.L Saling, P.A. Mayewski, M.J. Spencer, R.B. Alley, and D. Jenssen. Oxygen isotope records of the last millenium from the Ross Sea area, Antarctica. Annals of Glaciology 14: 94-98 (1990). [1.0%] I

Alley, R.B. Water-pressure coupling of sliding and bed deformation: I. Water system. Journal of Glaciology 35: 108-118 (1989). Alley, R.B. Water-pressure coupling of sliding and bed deformation: II. Velocity-depth profile. Journal of Glaciology 35: 119-129 (1989). I

Alley, R.B., D.D. Blankenslhip, S.T. Rooney and C.R. Bentley. Sedimentation beneath ice shelves: the view from ice strean B. Marine Geology 85: 101-120 (1989). [70%]

I

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Alley, R.B., D.D. Blankenship, S.T. Rooney and C.R. Bentley. Water-pressure coupling of sliding and bed deformation: III. Application to ice stream B. Journal of Glaciology 35: 130-139 (1989). [70%] Alley, R.B. Concerning the deposition and diagenesis of strata in polar firn. Journal of Glaciology 34: 283-290 (1988). Alley, R.B. Fabrics in polar ice sheets: development and prediction. Science 240: 493-495 (1988). Alley, RB. and C.R. Bentley. Ice-core analysis on the Siple Coast of West Antarctica. Annals of Glaciology 11: 1-7 (1988). [80%] Alley, R.B. and B.R. Koci. Ice-core analysis at site A, Greenland: preliminary results. Annals of Glaciology 10: 1-4 (1988). [80%] Alley, R.B., J.H. Perepezko and C.R. Bentley. Long-term climate changes from crystal growth. Nature 332: 592-593 (1988). [80%] Jezek, K.C. and R.B. Alley. Effect of stratigraphy on radar altimetry data over ice sheets. Annals of Glaciology 11: 60-63 (1988). [20%] Alley, R.B., D.D. Blankenship, C.R. Bentley and S.T. Rooney. Till beneath ice stream B. 3. Till deformation: evidence and implications. Journal of Geophysical Research 92B: 8921-8930 (1987). [70%] Alley, R.B., D.D. Blankenship, S.T. Rooney and C.R. Bentley. Till beneath ice stream B. 4. A coupled ice-till flowv model. Journal of Geophysical Research 92B: 8931-8940 (1987). [70%] Blankenship, D.D., C.R. Bentley, S.T. Rooney and R-B. Alley. Till beneath ice stream B. 1. Properties derived from seismic travel times. Journal of Geophysical Research 92B: 8903-8912 (1987). [10%] Rooney, S.T., D.D. Blankenship, R.B. Alley and C.R. Bentley. Till beneath ice stream B. 2. Structure and continuity. Journal of Geophysical Research 92B: 8913-8920 (1987). [10%] Alley, R.B., D.D. Blankenship, S.T. Rooney and C.R. Bentley. Continuous till deformation beneath ice sheets. In The Physical Basis of Ice Sheet Modelling, pp. 81-91. Edited by E.D. Waddington and J.S. Walder. IAHS Publication No. 170 (1987). [70%7o] Alley, R.B. Fim densification by grain-boundary sliding: a first model. Journal de Physique 48(C1): 249-254 (1987). Alley, R.B. Geometry of polar fim for remote sensing. Annals of Glaciology 9: 1-4 (1987).

Bentley, C.R., S. Shabtaie, D.D. Blankenship, S.T. Rooney, D.G. Schultz, S. Anandakrishnan and R.B. Alley. Remote sensing of the Ross ice streams and adjacent Ross Ice Shelf, Antarctica. Annals of Glaciology 9: 20-29 (1987). [10%] Alley, RB., J.H. Perepezko and C.R. Bentley. Grain growth in polar ice: I. Theory. Journal of Glaciology 32: 415-424 (1986). [70%] Alley, RB., J.H. Perepezko and C.R. Bentley. Grain growth in polar ice: II. Application. Journal of Glaciology 32: 425-433 (1986). [70%o] Alley, R.B., D.D. Blankenship, C.R. Bentley and S.T. Rooney. Deformation of till beneath ice stream B, West Antarctica. Nature 322: 57-59 (1986). [70%] D.D. Blankenship, C.R. Bentley, S.T. Rooney and RB. Alley. Seismic measurements reveal a saturated, porous layer beneath an active Antarctic ice stream. Nature 322: 54-57 (1986). [10%o]

Alley, R.B. Three-dimensional coordination number from two-dimensional measurements: a new method. Journal of Glaciology 32: 391-396 (1986). Jezek, K.C., R.B. Alley and R.H. Thomas. Rheology of glacier ice. Science 227: 1335-1337 (1985). [40%] Alley, RB. and I.M. Whilans. Response of the East Antarctic ice sheet to sea-level rise. J. Geophysical Research 89c: 6487-6493 (1984). [75%] Alley, R.B., J.F. Bolzan and I.M. Whillans. Polar fim densification and grain growth. Annals of Glaciology 3: 7-11 (1982). [60%] Zawiskie, J.M., D. Chapman and R.B. Alley. Depositional history of the Paleocene-Eocene Colton Formation, north-central Utah, in Overthrust Belt of Utah, pp. 273-284. Edited by D.L. Nielson. Utah Geological Association, Publication No. 10 (1982). [25%]

* DAVID and LUCILE

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I I

Statement by Nominee Name of Nominee

I I

Bagwell, Philip F.

lost/first/middle initial Sponsorng instituhon

Purdue University nome

i

i

Mesoscopic Superconductor-Semiconductor Electronic Devices I

Characterizing normal electron transport through 'mesoscopic' semiconductor structures has been extremely scientifically productive recently, leading to many fundamental advances in physics and semiconductor technology. Mesoscopic physics of semiconductor structures will continue to be a fertile research area. We also feel that scientific and technical advances of similar magnitude may arise by studying the interplay of superconductivity with phase coherent, quantum ballistic, and quantum confined normal electrons. Therefore, we wish to study electrical transport in both normal mesoscopic semiconductor structures and in Superconductor-NormalSuperconductor (SNS) 'weak link' structures, where the normal region is formed from an electrically controllable, mesoscopic semiconductor. Both types of devices will address basic questions in physics and materials science, but are also of interest to electrical engineering, since 'mesoscopic' three-terminal superconducting devices can possibly form a digital logic family if the quantum confinement energies for normal electrons in the semiconductor 'Layer are comparable to the superconducting energy gap. Mesoscopic superconductor-semiconductor structures would form a flexible and unique electronic device. The shape of the two-dimensional electron gas can be varied easily by gating these transistors, allowing the study of supercurrent flow through a variety of different size-quantized geometries. The recently studied 'quantum point contact' and 'coulomb blockade' geometries are two such interesting confined structures. The Josephson current should certainly oscillate with increasing gate voltage in these structures, based simply on the constant Ic*Rn product of a superconducting weak link and the quantized energy level structure in the semiconducting region. But given the way in which studies of mesoscopic devices have evolved, one could also reasonably expect the presently unknown physics in these structures to be much richer than simply an oscillating Josephson current. Proximity effect superconductivity will be induced in a two-dimensional layer of electrons by fabricating superconducting source and drain contacts to a compound semiconductor transistor structure. Finding a reliable materials system to accomplish this objective will constitute a major portion of the research. Compound semiconductor structures containing InAs channels and Nb contacts appear the most promising candidates at this point. A well understood superconducting material like Nb imposes less stringent requirements for fabricating small device structures, and the long superconducting coherence length may make it possible to switch between the normal and superconducting versions of the device by cooling it through Tc. This

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Bagwell, Philip F.

last/first/middle initial

would be invaluable, since a good understanding of the normal state transport properties of these mesoscopic structures is necessary to fully understand their superconducting properties. But given the excellent quality electronic materials available in the Electrical Engineering Department at Purdue University we feel that in any case, with enough time and effort, the materials barrier to realizing these devices can be overcome. Concurrent with fabricating and measuring mesoscopic semiconductor and hybrid semiconductor-superconductor structures, we will also theoretically study and simulate electron transport in these mesoscopic structures with emphasis on the robustness of the device to inelastic scattering processes. Such studies are of interest because mesoscopic normal conductors are in many respects like superconductors, in that both can be described by a single quantum mechanical wavefunction. Yet the quantum phase-coherence in small normal conductors is quite sensitive to extra inelastic or phase-disrupting scattering processes (like phonon scattering), whereas quantum coherence in a superconductor is relatively insenstive to such processes. Therefore, the type of quantum mechanical phase-coherence in these two systems (superconductor vs. mesoscopic semiconductor) is completely different. A direct comparison of these two systems is certain to provoke new insights into phase-coherent electron transport. The interplay of the confined geometry with superconductivity is also not well studied at this point, aside from the anomalous resistance of narrow superconducting wires below Tc arising from phase-slippage due to vortex motion. In addition, 'standard' mesocopic semiconductor physics by itself continues to be a rich field, and we will also devote a portion of the Packard Fellowship funds to studying normal mesoscopic semiconductor structures. In summary, we will build hybrid superconductor-semiconductor devices where the semiconductor is mesoscopic. Quantum-confinement of normal electrons will therefore play a major role in the transport. We will study, both experimentally and theoretically, the effect of quantum confinement in the mesoscopic semiconductor on the Josephson current. The SNS structures we propose will also permit the study of dissipative quantum transport of normal and superelectrons in mesoscopic structures. Since the type of quantum mechanical phase-coherence present in the normal and superconductor is very different, studying its destruction at high temperatures in these devices may even lead to a better understanding of 'ordinary' superconductors like Nb.

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DAVID and LUCILE

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1991 4

FOR SCIENCE AND ENGINEERING

Curriculum Vitae of the Nominee last/first/middle initial Name of Nominee

Bagwell, Philip F.

-

(317) 494-0727

name

Deportrnent

telephone (include area code)

School of Electrical Engineering name

Sponsoring institution

Purdue University number and street

Address

1285 Electrical Engineering Building city and state/zip code

West Lafayette, IN

47907-1285

date and place of birth

1/27/62

Birmingham, Alabama

institution

Education (begin with baccolaureate).

Georgia Institute of Technology degree and year conferred

field

B.S. 1984

Electrical Engineering

institution

Massachusetts Institute of Technology degree and year conferred

field

S.M. 1988

Electrical Engineering

ins titution

Massachusetts Institute of Technology degree and year conferred

field

Ph.D. 1990 Positions held (begin with present position).

Electrical Engineering

employer

Purdue University address

West Lafayette,

IN

47907

title

dates (mo/dylyr)

Assistant Professor of Electrical

Engineering

employer

INTEL CORPORATION address

I I

Santa Clara, CA title Engineer employer

dates (mo/cy/yr) 6/1/84 -

9/1/84

address title I

dates (mo/dy/yr)

TIIE DAVID AND LUCILE PACKARD FOUNDATION * 300 SEC OND ST RE ET, SUITE 200 - LOS ALTOS, CA

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4a

Curriculum Vitae (continued) Name of Nominee

-

Bagwell, Philip F.

las first/middle initial Other

Honors

F. C. Hennie Teaching Award 1987 Massachusetts Institute of Technology

IBM Fellowship 1987-88

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PACKARD FELLOWSHIPS

1991 4b

FOR SCIENCE AND ENGINEERING I

List of Publications Name of Nominee

Bagwell,

Philip F.

Icst/first/middle initial

71 i I

.

p

Publications Instructions

Ust only complete articles published or in press. Do not list presentations or abstracts. Us3 additional sheets if necessary.

P. F. Bagwell and T. P. Orlando, 'Landauer's Conductance Formula and its Generalization to Finite Voltages', Physical Review B, 40, 1456 (1989). I

-

I

I

P. F. Bagwell and T. P. Orlando, 'Broadened Conductivity Tensor and Density of States for a Superlattice Potential in One, Two, and Three Dimensions', Physical Review B, 40, 3735 (1989). P. F. Bagwell, 'Evanescent Modes and Scattering in Quasi-One-Dimensional Wires', Physical Review B, 41, 10354 (1990). P. F. Bagwell, 'Solution of Dyson's Equation in a Quasi-ID Wire', Condensed Matter, 2, 6179 (1990).

Journal of Physics:

I

I

)

P. F. Bagwell, T.P.E. Broekaert, T. P. Orlando, and C. G. Fonstand, 'Resonant Tunneling Diodes and Transistors with a One, Two, or Three Dimensional Electron Emitter', Journal of Applied Physics, 68, 4634 (1990). A. Kumar and P. F. Bagwell, 'Resonant Tunneling in a Multi-Chanllel Wire', State Communications, 75C, 949 (1990).

j

Solid

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A. Kumar and P. F. Bagwell, 'Resonant Tunneling in a Quasi-One-Dimensional Wire: Influence of Evanescent Modes', Physical Review B, 43, 9012 (1991). A. Kumar and P. F. Bagwell, 'Evolution of the Quantized Ballistic Conductance with Increasing Disorder in Narrow Wire Arrays', to appear in Physical Review B.

L

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P. F. Bagwell, S. L. Park, A. Yen, Da. A. Antoniadis, H. I. Smith, T. P. Orlando, and M. A. Kastner, 'Magnetotransport in Multiple Narrow Silicon Inversion Channels Opened Electrostatically-Into a Two-Dimensional Electron Gas', in press.

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Book Chapters P. F. Bagwell, D. A. Antoniadis, and T. P. Orlando, 'Quantum Mechanical and Nonstationary Transport Phenomenon in Nanostructured Inversion Layers', in (Academic Advanced MOS Device Physics, N. Einspruch and G. Gildenblat, editors. Press, San Diego, 1989). T. P. Orlando, P. F. Bagwell, R. A. Ghanbari, and K. Ismil, 'Quantum Device Modeling with the Convolution Method', in Electronic Properties of Multilayers and Low Dimensional Semiconductor Structures, J. M. Chamberlain, L. Eaves, and J. C. Portal, editors. (Plenum, London, 1990). P. F. Bagwell, T. P. Orlando, and A. Kumar, 'Low-Dimensional Resonant Physics and Applications, Tunneling', in Resonant Tunneling in Semiconductors: (Plenum, London, in press). L. L. Chang and E. E. Mendez editors.

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Statement by Nominee Nome of Nominee Spornsonnfg Or

o

-

Bass, Brenda L.

lcall/firsmiddie irtiol

nameUniversity of Utah

BackLround. Several years ago I discovered a previously uncharacterized biological activity in the South African clawed toad Xenopus laevis. The activity requires a double-stranded RNA (dsRNA) substrate and acts to convert idenosine (A) residues within it's substrate to inosine (I) residues. The modification of an A to an I within dsRNA creates an IU mismatch, and thus the activity alters the structure, as well as the sequence, of an RNA molecule. Using crude extracts I, and others, have observed that dsRNA molecules of many different sequences can be modified by the activity, up to 50% of the adenosines in each strand of a given duplex can be modified, and furthermore, intermolecular as well as intramolecular duplexes can serve as substrates. 3iLnificance of proposed reseLarch Although the biological function of the activity is at present unclear, several RNAs, including a measles virus transcript, the Xenopus basic fibroblast growth factor mRNA and the TAR stem loop of the HIV message, have been implicated as in vivo substrates for this activity. Furthermore, the activity has niow been detected in Caenorhabditis elegans, Drosophila melanogaster and numerous mammalian tissues as well is cultured cells. The apparent diversity of substrates for this activity, as well as its occurrence in organisms hroughout the animal kingdom, suggest the activity has an important and interesting function. It has been suggested that inosine residues within RNA molecules may serve to mark them for degradation, change their coding capacity, or modulate their function by changing their structure. In addition to its potential biological relevance, I and members of my laboratory, believe that studies of this activity are important in regards to a general understanding of how proteins interact with RNA molecules. Most RNA binding proteins recognize a complex set of structural motifs in their target RNA molecules: single-stranded loops, bulged nucleotides, internal mismatches and double-stranded stems generate a unique and recognizable structure for protein recognition. In contrast, the dsRNA modifying activity has a strict requirement for dsRNA and will not recognize single-stranded RNA (ssRNA), ss or dsDNA, or RNA:DNA hybrids. We believe that an understanding of how this protein recognizes its dsRNA substrate will contribute to an understanding of how proteins recognize double-stranded -egions within the complex set of structural motifs found in cellular RNAs. General Goals. L) To understand the biological Function of the dsRNA modifying activity: We believe the first step towards this ong term goal is to clone a cDNA of the gene encoding the dsRNA modifying activity. A cDNA clone would allow is to deduce the amino acid sequence of the protein and thus determine if the protein shares homology with other proteins whose sequence is known. In addition a cDNA clone would allow us to utilize hybridization techniques for determining the pattern of expression of the gene and to obtain large quantities of the protein by overexpression. Large quantities of the protein would facilitate the biochemical characterization of the activity and allow us to raise antibodies to the protein. If the protein is conserved between species, the cDNA and antibody will allow us to assay ther organisms for the presence of the activity and perhaps chose an organism for future genetic studies. We are currently exploring two approaches for obtaining a cDNA clone. The first approach depends on purifying enough protein to obtain partial amino acid sequence, synthesizing several corresponding oligonucleotides and ising these oligonucleotides to probe a Xenopus cDNA library. During the past year Ron Hough, a student in my laboratory, has purified the protein 1000 fold from Xenopus eggs. At present we have not obtained sufficient Quantities of protein for sequencing. Although we are hopeful that yields can be increased, we are also exploring a second option. Specifically, we have screened a Xenopus ovary kgtll expression library with a radioactive dsRNA probe. At present we have 6 pure clones that express proteins which bind to dsRNA, but not ssRNA, ssDNA or IsDNA. We are beginning to characterize these clones in hopes that one may encode the protein of interest. 2) To identify RNAs that serve as in vivo substrates: It is generally accepted that among cellular RNAs, only -RNA molecules contain inosine. However, this view derives from analyses that, in many cases, involved protocols that cannot distinguish between inosine and guanosine. Although we ultimately hope to study specific in Vivo substrates, we want to begin this project by conducting a careful analysis of cellular RNAs, fractionated in THIEDAVIDANDLUCILEPACKARDFOUNDATION

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Brenda L.

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several different ways, to answer the following general, but quite important, questions. Are inosine-containing RNAs found in the nucleus, the cytoplasm or throughout the cell? Are inosine-containing RNAs predominantly of a particular size class? Are inosine-containing RNAs predominantly found among poly A+ or poly A- RNAs? Michael Paul, a student in my laboratory, has recently developed methods for specifically immunoprecipitating inosine-containing RNAs with an anti-inosine antibody. In addition, using high performance liquid chromatography (HPLC), we have detected inosine within cellular RNAs that contaminate our partially purified protein preparations. Given our preliminary work we are quite optimistic about the feasibility of this project. 3) To elucidate the catalytic niechanism of the dsRNA modifying activity: Although the dsRNA modifying activity is unique in its specificity for a dsRNA substrate, several previously characterized enzymes catalyze the conversion of A to I. Adenosine deaminase and AMP deaminase use a hydrolytic deamination mechanism to modify adenine nucleosides and nucleotides respectively, while the enzyme that converts A to I in the anticodon of certain tRNAs utilizes a base excision/replacement mechanism. Andy Polson, a student in my laboratory, has used isotopically labeled dsRNA. and directly combined HPLC-Mass spectrometry to demonstrate that the dsRNA modifying activity, like adenosine and AMP deaminases, uses a hydrolytic deamination mechanism. Surprisingly, nucleosides and transition state analogs that inhibit adenosine deaminase will not inhibit the dsRNA modifying activity. This result may simply reflect the different substrate specificities of the two enzymes, emphasizing that more than just a nucleoside or nucleotide is required for binding to the active site of the dsRNA modifying activity. Alternatively, it is possible that formation of the active site requires a conformational change that is dependent on the initial binding to dsRNA. The latter hypothesis is attractive because we believe other aspects of the reaction may require a conformational change. For example, the particular functional group of A that must be modified lies deep within the major groove of dsRNA, and is inaccessible to a protein unless the RNA strands are separated. Although it is possible that the protein has an associated helicase activity, we do not observe an ATP requirement and thus, prefer a mechanism analogous to that of E.coli RNA polymerase, in which local melting of a helix is coupled to a conformational change in the protein. To discriminate between these various hypotheses we plan to analyze the substrate specificity in detail, as well as employ footprinting techniques to detect the putative conformational changes. 4) To identify and analyze other dsRNA binding proteins: Our work with the dsRNA modifying activity has inspired an interest in other proteins that exhibit a strict specificity for binding to dsRNA. We are interested in determining how many of the proteins in a cell specifically bind dsRNA, the particular RNA-protein interactions that allow these proteins to bind their substrates, and finally, the functions served by these proteins. As discussed above, we have recently developed methods for screening expression libraries to identify dsRNA binding proteins. We hope that analyses of these clones may identify common domains involved in the general recognition of dsRNA. Ultimately we hope to obtain sufficient quantities of these putative proteins so that we can perform biochemical studies designed to elucidate the types of interactions involved in binding of a protein to doublestranded regions of RNA. Plans for Proposed Funding. I have been very fortunate in my first two years at the University of Utah to gather a competent group of 3 PhD. students, a masters student and a postdoctoral fellow. Two of my students are currently preparing manuscripts for submission. The proposed funding will be used to purchase general supplies required by my expanding laboratory, salary for a technician and hopefully at least one piece of rather expensive equipment. In particular we hope the proposed funds can contribute to the purchase of a radioanalytic scanner. signodte

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lost/first/middle initial

Name of Nominee

Bass, Brenda L.

(801) 581-4884

name Department

telephone Incluoe orec code)

Biochemistry name

Sponsoring institution

University of Utah number and street

Address

50 North Medical Drive city and stote/zip code

Salt Lake City, UT

84132

dote and place of birth

10/05/55

Fort Lauderdale, Florida

institution Education (begin with baccalaureate).

Colorado College degree and year conferred

B.A.,

1977

field

Chemistry

institution

University of Colorado degree and year conferred

Ph.D.,

1985

field

Chemistry

institution degree and year conferred

I I

Positions held (begin with present position).

field

employer

University of Utah godless

50 North Medical Drive, Salt Lake City, UT title

84132

dates (mo/dy/yr)

Assistant Professor

6/89 - present

employer

Fred Hutchinson Cancer Center oddcess

1124 Columbia Street, Seattle, WA title

98104 dotes (mo/dy/yr)

Postdoctoral Fellow

8/85

-

5/89

employer oddress

title

dotes (mo/dy/yr)

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Curriculum Vitae (continued) Name of Nominee

-

Bass, Brenda L.

1as/t/frst/middte initial Other

Invited Seminars (] 1990-91) Meetings: 1991, M(molecular Recognition: RNA-Protein Interactions, Ita 1991, K(2ystone Symposia--Gene Regulation by Antisense RIqIA and DNA

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1990, GC)rdon ordon Research Conference--Nucleic Acids 1990, Ccitalytic RNA as an Anti-HIV Agent: Delivery to Cells, San Diego

-

Universities:

Design and

1991, University of California, Berkeley Research

1991, University of Arizona, Tucson 1991, University of California, Irvine 1991, University of Colorado, Boulder 1990, Duke University Honors

Conference--Nucleic

1990 - 94

Pew Scholars Award

1985 - 88

Damon Runyon-Walter Winchell Postdoctoral Fellowship

1983 - 84

University of Colorado Doctoral Fellowship

1983 - 84

ARCS Recipient (Achievement Rewards for College Scientists)

Acids

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List of Publications Ii

Name of Nominee

Publications Instructions

Bass, Brenda L. last/first/middle initial Usi onty complete articles published or in press. Do not list presentations or abstracts. Use additional sheets if necessary.

I:

II

Bass, B.L. (1991). The double-stranded RNA unwinding/modifying activity [review]. Antisense RNA and DNA, ed. J.A.H. Murray. (New York: Wiley-Liss) in press. Bass, B.L. (1991). RNA editing: Physarum--C the difference [news and views]. Nature 349, 370-371.

.j

Bass, B.L., Weintraub, H., Catteneo, R. and Billeter, M. (1989). Biased hypermutation of viral RNA genomes could be due to unwinding/modifying activity of double-stranded RNA [letter]. Cell 56, 331. Bass, B.L. and Weintraub, H. (1988). An unwinding activity that covalently modifies its doublestranded RNA substrate. Cell 55, 1089-1098. Bass, B.L. and Weintraub, H. (1987). A developmentally regulated activity that unwinds RNA duplexes. Cell 48, 607-613. Cech, T.R. and Bass, B.L. (1986). 5 9 9- 6 2 9.

Biological catalysis by RNA [review]. Ann. Rev. Biochem. 55,

Bass. B.L., and Cech, T.R. (1986). Ribozyme inhibitors: deoxyguanosine and dideoxyguanosine are competitive inhibitors of self-splicing of the Tetrahymena ribosomal ribonucleic acid precursor. Biochemistry 25, 4473-4477. Bass, B.L. and Cech, T.R. (1984). Specific interaction between the self-splicing RNA of Tetrahymena and its guanosine substrate: implications for biological catalysis by RNA. Nature 308, 820-826.

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Statement by Nominee Name of Nominee

Bawendi,

Moungi, G.

Iast/frst/middle initial

Sponsoring I

stihl

Massachusetts

name

Institute of Technology

The motivation behind our research effort can be broadly summarized by the following question: How do bulk structural, electronic and magnetic properties develop as materials grow from a single atomic or molecular unit to a large fragment of the solid state? Take a simplified picture of the growth of a silicon crystal, for example, and begin with a small seed (molecule) containing a few Si atoms. Each Si atom added to the seed contributes occupied bonding orbitals and empty antibonding orbitals. A spread of energies develops within each orbital set as the seed grows. The set of occupied orbitals eventually turns into an energetically continuous valence band and the set of unoccupied orbitals turns into the conduction band. The HOMO-LUMO gap becomes the bulk band gap. Along the way a periodic crystal structure also develops. Nanometer size semiconductor crystallites are especially interesting because they have an internal structure with the geometry of the bulk solid, a uniquely large surface to volume ratio, and electronic and vibrational properties which retain the discrete nature of molecules. They fall in a fuzzy region which bridges the gap between molecules and the bulk. Our research focuses on the properties of these materials. The nanometer size regime is in general a fascinating one in semiconductor research. Very thin sheets ("quantum wells") exhibit bulk electronic properties within the plane and discrete molecular levels ("quantum size effects") perpendicular to the plane. Quantum size effects in quantum wells give rise to novel, fundamentally important, and often useful optical and electronic properties (e.g. the quantum Hall effect and unique nonlinear optical properties). The study of nanometer size semiconductor crystallites ("quantum dots" or "quantum crystallites") should yield similarly interesting novel physical behavior. From a more practical perspective, there is much interest in being able to predict what physical phenomena to expect as miniaturization on semiconductor chips approaches the molecular limit. Possible applications ranging from photocatalysis in solar energy conversion to nonlinear optical devices have also been suggested. We are presently concentrating on nanometer size crystallites of II-VI compound semiconductors such as CdSe, CdS, ZnSe and ZnS as model materials, with the goal of expanding to the I-v's such as GaSb and eventually to Ge or Si. We are also beginning to explore crystallites of diluted magnetic semiconductors (DMS) such as Cd 0 .9MnQ1lS. Crystallites of DMS are especially interesting because many of the correlation lengths in bulk DMS are in the nanometer regime.

I

Our research program can roughly be divided into three interdependent areas: Crystallite synthesis, structural characterization, and spectroscopy. The goal in synthesis is to make samples of crystallites which are nearly monodisperse in size, have nearly perfect core crystal structures, and have a surface chemistry which is under control. We have found that a fast nucleation step from a supersaturated solution followed by a slow growth in a coordinating solvent at moderately high temperatures (200'C) so far yields the highest quality samples. The structural characterization relies on a combination of x-ray diffraction and electron microscopy experiments. This characterization is important not only to determine the size dependent structure of the crystallites, but also as a tool to probe the crystallization process itself. We can for example choose to make crystallites with a large TIIEDAVIDANDLUCILEPACKARDFOUNDATION

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Name ofNominee

last/first/middle Intal

G.

number of stacking fault defects and study the annealing process using x-ray experiments and TEM imaging at elevated temperatures. The annealing of stacking faults in CdSe nanometer size crystallites would require the core of the cluster to be "liquid". Such depressed melting points are expected in disordered and finite size materials. Spectroscopy is the most important part of our research. We are probing the electronic structure of our crystallites using two-photon fluorescence excitation experiments to map out the "forbidden" states and learn more about the selection rules and the structure of the electronic states. We are exploring possible quantum effects at high magnetic fields (10 T or more) where the magnetic length becomes smaller than the crystallite diameter. We are planning electro-absorption experiments to study Stark effects and field induced broadenings in the absorption spectrum of crystallites. This last area is especially relevant to the photonics industry where crystallite based electro-optic devices have been suggested. Our DMS crystallite project is rather more speculative. Bulk DMS are characterized by a large spin-spin exchange interaction between the band electrons and the localized magnetic moments. This interaction results in unusual magnetic and magneto-optic behavior. With correlations lengths on the order of the cluster dimensions, the properties of DMS clusters may be fundamentally different from those of the bulk. For example, will there be a single magnetic domain in each crystallite? Bulk DMS exhibit a spin glass phase at low temperatures. How will crystallite size affect this phase transition? In order to prove that we have synthesized the material we set out to make we will have to rely on a number of complementary techniques ranging from simple analytical chemistry to show the very presence of the magnetic impurity to more involved x-ray measurements. I suspect we may end up relying extensively on chemical analysis within a transmission electron microscope. Graduate students are the core of academic research. I would expect to use some of the fellowship funds towards their stipends. I presently have three students and I hope to build up to around six students within the next couple years. I would also expect to spend some fraction of the money towards materials, supplies, and the use of central facilities such as electron microscopes and x-ray diffractometers. Although we have already acquired the major pieces of equipment (lasers, spectrometers, high-field magnet, etc...) to carry out our first set of experiments, I would hope to use the rest of the fellowship funds towards the acquisition of additional major pieces of capital equipment. I have in mind, for example, a picosecond laser system to study the dynamics of the effects we will have measured during the first few years. For example the magnetic interaction in DMS clusters may have a profound effect on the dynamics of electron-hole pair recombination. A more adventurous purchase would be a scanning tunneling microscope or a near-field optical microscope (if this technology is developed enough by then) to probe the electronic properties of single, isolated crystallites. Signature

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name

~i

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Curriculum Vitae of the Nominee lost/first/midade Initlol

Name of Nominee

Bawendi, Moungi, G. name

Department

617-253-9796 telephone (include area code)

Chemistry name

Sponsoring institution

MIT-77 Massachusetts Avenue, Room 2-227 number and street

Address

Cambridge, MA 02139 city and stote/zip code March 15, 1961, Paris, dote and place of birth

France

institution Education (begin With baccalaureate).

Harvard University degree and year conferred A.B., Summa Cum Laude, institution

Chemistry field 1982

Harvard University degree and year conferred

Chemical Physics field

A.M., 1983 institution The University of Chicago degree and year conferred Ph.D., Positions held (begin with present position).

Chemistry field

1988

employer

Massachusetts Institute of Technology -

address

77 Massachusetts Avenue, Cambridge, MA

02139

title

dates (mo/dy/yr)

9/1/90 -

Assistant Professor employer

AT&T Bell Laboratories address

600 Mountain Avenue, Murray Hill, NJ

07974

title

9/1/88

-

8/6/90

dates (mo/dy!yr)

Postdoctoral Member of the Technical Staff employer address title TIIEDAVIDANDLUCILEPACKARDFOUNDATION

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Curriculum Vitae (continued) Name of Nominee

Other

Bawendi, Moungi, G. lost/first/middle initial

Moung! G. Bawendi has given over 15 invited presentations at major universities, AT&T Bell Laboratories, IBM, and at major scientific meetings.

NSF Presidential Young Investigator Award (1991-

Honors

Camille and Henry Dreyfus Foundation New Faculty Award (1990) AT&T Bell Laboratories Ph.D. Fellowship (1987-1988) The University of Chicago McCormick Fellowship (1983-1987) National Science Foundation Graduate Fellowship (1982-1985) Certificate of Distinction in Teaching, Harvard University (1983) American Institute of Chemists Student Award (1982) Merck Index Award (1982)

TIIEDAVIDANDLUCILEPACKARDFOUNDATION

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z

FELLOWSHIPS

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List of Publications Name of Nominee

Bawend!/Moungi/G. lost/first/middle initial

Publications Instructions

Ust only complete articles published or in press. Do not list presentations or abstracts.

Use additional sheets If necessary.

I,

A Wiener integral model for stiff polymer chains, M. G. Bawendi and Karl F. Freed, J. Chem. Phys. 83, 2491 (1985). Renormalization group treatment of excluded volume effects in a polyelectrolyte chain in the weak electrostatic coupling limit. II. Decomposition of interactions and calculation of properties, M. G. Bawendi and Karl F. Freed, J. Chem. Phys. 84,449 (1986).

i,

I

A lattice model for self-avoiding polymers with controlled length distributions. II. Corrections to FloryHuggins mean field, M. G. Bawendi, Karl F. Freed, and Udayan Mohanty, J. Chem. Phys. 84, 7036 (1986).

1

Statistical mechanics of the packing of rods on a lattice: Custer expansion for systematic corrections to mean field, M. G. Bawendi and Karl F. Freed, J. Chem. Phys. 85,3007 (1986). :']

Osmotic pressure of star and ring polymers in semidilute solution, Binny J. Cherayil, M. G. Bawendi, Akira Miyake and Karl F. Freed, Macromolecules 19,2770 (1986). A lattice model for self and mutually avoiding semiflexible polymer chains, M. G. Bawendi and Karl F. Freed, J. Chern. Phys. 86, 3720 (1987). A lattice field -theory for polymer systems with nearest neighbor interaction energies, M. G. Bawendi, Karl F. Freed, and Udayan Mohanty, J. Chem. Phys. 87, 5534 (1987). Lattice models of polymer solutions: monomers occupying several lattice sites, A. M. Nemirovsky, M. G. Bawendi, and Karl F. Freed, J. Chem. Phys. 87, 7272 (1987).

I

Systematic corrections to Flory-Huggins theory: Polymer-solvent-void systems and binary blend-void systems, M. G. Bawendi and Karl F. Freed, J. Chem. Phys. 88, 2741 (1988). THEDAVIDANDLUcLEPACKARDFOUNDATION

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Lattice theories of polymeric fluids, Karl F. Freed and M. G. Bawendi, J. Phys. Chem. 93,2194 (1989). Observation and analysis of the V3 band of NH3, M. G. Bawendi, B. D. Rehfuss, B. M. Dinelli, M. Okumura and T. Oka, J. Chem. Phys. 90,5910 (1989). Difference frequency laser spectroscopy of the V3 fundamental band of NH2, M. Okumura, B. D. Rehfuss, B. M. Dinelli, M. G. Bawendi, and T. Oka, J. Chem. Phys. 90,5918 (1989). X-ray structural characterization of larger CdSe semiconductor clusters M. G. Bawendi, A. R. Kortan, M. L. Steigerwald, and L E. Brus, J. Chem. Phys. 91,7282 (1989). Laboratory observation of hot bands of Hi. M. G. Bawendi, B. D. Rehfuss and T. Oka, J. Chem. Phys. 93, 6200 (1990). Nudeation and growth of CdSe on ZnS quantum crystallite seeds, and vice versa, in inverse rnicelle media, A. R Kortan, R. Hull, R. L. Opila, M. G. Bawendi, M. L. Steigerwald, P. J. Carroll, and L. E. Brus, J. Am. Chem. Soc. 112,1327 (1990). The quantum mechanics of larger semiconductor clusters ("quantum dots"), M. G. Bawendi, M. L. Steigerwald and L. E. Brus, Ann. Rev. Phys. Chem. 41,477 (1990). Electronic structure and photoexcited carrier dynamics in nanometer-size CdSe clusters, M. G. Bawendi, W. L. Wilson, L. Rothberg, P. J. Carroll, T. M. Jedju, M. L. Steigerwald, and L. E. Brus, Phys. Rev. Lett. 65,1623 (1990). Structure of capped CdSe clusters by EXAFS, M. A. Marcus, W. Flood, M. L Steigerwald, L. E. Brus, and M. G. Bawendi, J. Phys. Chem. 95,1572 (1991).

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Statement by Nominee Name of Nominee Sponsoring Irsfttuflon

CROTTS, ARLIN P. kIst/frst/midie Initial COLUMBIA UNIVERSITY

name

My interests focus o the origin of galaxies and larger structures in the Universe. These are suspected to be the artifacts of Big Bang physics beyond the reach of current laboratory experiments. Their study requires both defining these structures' form and determining how they have evolved. What titanic processes created galaxies and structures composed of galaxies from the near-vacuum of the rest of the Universe? If the process is driven by 'dark matter" invisible to us, how does its influence on the luminous matter betray the dark matter's nature? Ultimately, can we tease some regularity from the behavior of dark and luminous matter that can serve as a tool for studying the dynamics of the Universe itself? These questions compel me to further research. The primary tool unique to astrophysics is the capability to look directly into the past. This is someone else's past, of course, but the experience of 20h century cosmology shows that a telescope pointed at a distant target can elucidate our origins. Nearby galaxies are organized into networks of superclusters and voids. What was the appearance of these structures in the past? This proves to be a telling distinction between models describing the formation of large-scale structure. For instance, the basic difference between the predictions of "hot" and 'cold" dark matter models is that a hot-dark-matter dominated Universe forms large-scale structure first, which then. fragments into smaller, denser structures such as galaxies. In the cold-dark-matter picture, the smaller structures can form before larger structures gradually grow around them. It is most important, then, to test these models with a direct study of the large-scale structure traced by discrete objects in the early Universe. Having completed several preliminary studies towards this end, we find a compelling need for more data. We are conducting an intensive survey of objects at very large distances in order to elucidate how they clustered on large scales. We are searching for quasars in a narrow field of sky (approximately 1800 quasars over 15 square degrees) in order to test preliminary reports that quasars cluster with respect to each other on scales up to 15 Megaparsecs. The typical inter-quasar spacing in our survey will be about 30 Mpc, so we'll have significant power to study clustering on the suspected scales. We should have a sufficiently strong signal to divide the sample between high and low redshifts, thereby establishing how quasar clustering evolves with time. To accomplish this we have performed a four-band photometric survey designed to isolate quasars from stellar objects. This will produce about 250 quasar candidates per square degree, of which somewhat less than half should prove to be bona fide quasars. To isolate the final sample and establish their redshift distances, we have constructed a 300-object spectrograph to access a full square-degree field of view, observing all of the quasar candidates simultaneously. A large fraction of the non-quasars will be white dwarf stars. We will collaborate with the white dwarf research group at McDonald Observatory, where we will be using the 2.7-meter telescope to conduct the survey, to establish the cold limit to the white dwarf cooling curve. Since white dwarf cooling is thought to be well-understood, the survey should establish the age of the oldest white dwarf stars, hence the oldest stellar population in the Galaxy. Our spectrograph can study objects even fainter than the limits set by our photometric survey. We are investigating the construction of a large field-of-view CCD imager that would rectify this, but we have no funds to build the device. We plan to follow this survey with a higher resolution study of the brightest 20% of the quasar sample; this will reveal the absorption by dozens of intervening objects in front of each quasar. Some of these are thought to be connected with primordial galaxies; many may not be. Along with our quasars, these objects will form a sample so dense that it compares well to low-redshift galaxy surveys that revealed the existence of superclusters and voids. Our survey will concern objects found when the Universe was only one quarter its current age, providing a detailed comparison between current large-scale structure and that in the early Universe. While our current funding is sufficient to build adequate instrumentation and collect the data, we could increase the efficiency of data collection by building a custom-made spectrograph camera (which, unfortunately, would add about 40% to the cost of the current project). More importantly, we will collect data applicable to a large number of related topics involving the quasars, quasar absorbers and galaxies. This would provide interesting work for two or three graduate students or post-doctoral associates for a few years, work that we cannot support now. I am also interested in the current internal structure of galaxies and how it relates to the appearance of galaxies in the distant past.. In this vein the Magellanic Clouds merit study in that they are undergoing a 'star-burst" of stellar formation TIIEDAVIDANDLUCILEPACKARDFOUNSDATION

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CROTTS, ARLIN P. last/first/midde hdfal like that which is seen in many young galaxies. An absorption spectrum of a distant galaxy (as seen in a quasar's spectrum) is usually sensitive only to the distribution of gas in velocity, ionization state and composition. In a few cases I have studied, however, we can obtain information about the spatial structure of the absorbing gas by piercing the cloud with multiple sightlines to quasars. It is useful to characterize nearby examples of starburst regions in terms properties we can study in quasar absorption lines. Considerable effort has been made by other researchers into the velocity structure and physical state of the gas, but the physical structure has proved more elusive. This is why I have taken the opportunity afforded by the explosion of Supernova 1987A in the Large Magellanic Cloud to map the three-dimensional structure of the surrounding interstellar medium with a clarity not obtainable with other techniques. For this purpose we discovered the light echoes" - the reflected pulse from the supernova explosion - and have been using them to map, as with radar, the spatial structure of a huge volume of the Cloud's star forming region. Soon we will be able to establish if large, spatially coherent structures like those implied by the multiple quasar spectra are formed from the gas in starburst regions. As a serendipitous benefit, we also are able to study with the light echoes the structure of the gas lost by the supernova's progenitor star before it exploded. We have found the gas distribution revealed by the light echoes to confirm the general picture painted by stellar evolution models, but differing with theoretical predictions in several surprising details. For instance, a larger fraction of the mass lost by the star was ejected early in the red supergiant phase, and the mass flow from the star was not isotropic, as revealed by the shape of the structures created most recently by this mass loss. Theorists are now incorporating these findings into new work describing the star and the supernova event. Within the next few years the ejecta from the supernova explosion will begin to impinge on this structure, allowing humans to observe, for the first time, the formation of a supernova remnant. We would like to continue our monitoring program and construct new equipment in preparation for this event. Current funding levels allow only a continuation of the current effort for two more years and no expansion. In the future we would like to be able to fund a Ph.D. student interested in this work. I am interested in spiral galaxy halos for reasons similar to those inspiring the supernova light echo discovery. They are likely responsible for at least some of the quasar absorption lines. Also, these halos are likely the contain stars formed very early in the lifetime of galaxies, and may be dominated by the same kind of dark matter that drives the formation of large-scale structure. For my Ph.D. thesis I conducted one of the two initial studies of the age and composition of the stars distributed throughout the halo of our neighboring spiral M31. I am interested in the same attributes for the globular clusters of halo stars, as revealed by their ultraviolet spectra, and, in the near future, as determined from the optical spectra of hundreds of such globulars in M31, as recorded by our multi-object spectrograph at McDonald Observatory. These data (more than 50% in hand) could also trace the dynamics of the galaxy in detail, including the distribution of mass in the halo. Currently, this work is supported only by my (rapidly vanishing) faculty startup funds. Since 1985 we have awaited the technology to allow us to use gravitational lensing of background stars to betray the passage of halo dark-matter objects between us and stars in M31. This is sensitive to masses anywhere from one-trillionth to several times the Sun's mass - 'failed stars" or black holes. Other groups have focussed on using the Large Magellanic Cloud and our Galactic core as the background to reveal the mass of objects composing out Galaxy's halo. We have emphasized M31's halo, because its geometry happens to favor a much higher rate of lensing, and our study will provide a controlled, differential measurement that will separate lensing light-amplification from more normal stellar variability. The CCD camera we would like for the quasar clustering work would greatly accelerate this time-consuming project as well; in the meantime we have proposed a five-night pilot project on the Kitt Peak four-meter telescope. In sum, I am interested in a number of projects using developed technology and largely ground-based observations to improve qualitatively the data affecting theories of the formation and evolution of galaxies and of large-scale structure. This is the approach desperately needed in the data-starved science of observational cosmology.

signtue

/0?

] 0 /& name

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Curriculum Vitae of the Nominee last/t`rst/mIdOge Name of Nominee Deportnent

CROTTS,

Hoat

ARLIN P.

(212)

name DEPARTMENT OF ASTRONOMY

Sponsoring instfitution

name COLUMBIA UNIVERSITY

Address

number and street 538 W. 120TH STREET

854-7899

telephone (include area code)

city and state/zip code NEW YORK,

NY

10027

date and place of birth 6 OCTOBER 1958, WASHINGTON,

Education (begin "4th boccolaureate).

DC

I

nsmution PRINCETON TUNTVERSTTY degree and year conferred

A.B.

field

1980

PHYSICS

institution

UNIVERSITY OF CHICAGO degree and year conferred

M.A.

field

1983

PHYSICS

institution

UNIVERSITY OF CHICAGO degree and year conferred

Ph.D. PosItions held (begin with present position).

field

1986

PHYSICS

employer

COLUMI'2A UNIVERSITY odckess

538 W. 120TH STREET, NEW YORK, NY

10027

title

dates (mo/dy/yr)

ASSISTANT PROFESSOR employer MCDONALD OBSERVATORY,

1/1/91

-

PRESENT

UNIVERSITY OF TEXAS

add'ess 26TH ST.

& GUADALUPE AVE.,

AUSTIN,

tMe POSTDOCTORAL

FELLOW

TX 78712-1083 dates (mo/dy!yr)

11/1/85-11/20/88 & 11/3/90-12/31/90

employer

NASA GODDARD SPACE FLIGHT CENTER odd'ess

GREENBELT, MD 20771 title

dates (mo/dA/yr)

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Curriculum Vitae (continued) Namne of NomineeICROTTS,

ARLIN P.

MEMt/B/EriddeAMRiCl

MEMBER: AMERICAN ASTRONOMICAL SOCIETY

%-IIIIU

MATHEMATICAL ASSOCIATION

MCDONALD POSTDOCTORAL FELLOWSHIP:

Honors

FULLAM AWARD:

OF AMERICA

1985-1988

1988

NATIONAL RESEARCH COUNCIL ASSOCIATESHIP: CHRETIEN INTERNATIONAL RESEARCH AWARD:

1988-1990

1989

-

A.A.S.

SMALL

RESEARCH GRANT:

1989

A.A.S.

SMALL RESEARCH GRANT:

1990

DUDLEY OBSERVATORY JUDGE FRANCIS BERGEN CAREER DEVELOPMENT AWARD

TIIEDAVIDANDLUCILEPACKARDFOUNDATION

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,DAVID

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I .I

i

I

List of Publications

i

- -1

Name of Nominee

Publications klstnuctiorns

CROTTS, ARLIN P. Iast/fiws/midde kvtia Ust only complete articles published or In press. Do not list presentations or abstracts. Use additional sheets If necessary.

.II-.1 L

"Two-point Correlation Function of QSO Metal Absorption Systems from an Inhomogeneous Catalog of Observations" A.P.S. Crotts 1985, Ap. J., 298, 732 (Erratum: 305, 581).

I I

iJ

I -I

"QSO Metal-line Absorbers: The Key to Large Scale Structure?" D.G. York, and J.N. Fry 1985, Phys. Let., 155B, 251.

A.P.S. Crotts, A.L. Melott,

'The Halo and Disk Populations of M31" A.P.S. Crotts 1986, A. J., 292, 92. i

i

t .]

I .1

"High Resolution Spectroscopy of Q0957+561 A, B and AO 0235+164" A.P.S. Crotts 1987, in QSO Absorption Lines: Probing the Universe, eds. C. Blades, C. Norman and D. 'Trnshek, (Baltimore: STScI), p. 119. "Are voids found in the Lyman-alpha forest?" Soc., 238, 41p.

A.P.S. Crotts 1987, Mon. Not. Roy. Astron.

"QSO Absorption Lines and High Redshift Galaxies" A.P.S. Crotts 1988, in Towards Understanding Galaxies at High Redshift, eds. R. Kron and A. Renzini (Dordrecht: Reidel), p. 305. 'Discovery of the Optical Echoes from Supernova 1987A: New Probes of the Large Magellanic Cloud" A.P.S. Crotts 1988, Ap. J. Let., 333, L51. II q

"Large Scale Structure in the Early Universe (or Searching for Voids in the Lyman-a Forest)" A.P.S. Crotts 1988, P. A. S. P., 100, 1331. ASpatial Structure in the Lyman-a Forest" A.P.S. Crotts 1989, Ap. J., 336, 550. 'Follow-up Spectroscopy of Quasar Candidates Found with Slitless Spectroscopy" E.F. Borra,-M. Beauchemin, A. Crotts, D. Morton, D.G. York 1989, A. J., 97, 344. 'Light Echoes and Transient Luminescence near SN 1987A" A.P.S. Crotts, W.E. Kunkel, and P.J. McCarthy 1989, Ap. J. Let., 347, L61

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'The Ultraviolet Spectra of Globular Clusters in M31: A Re-discussion' A.P.S. Crotts, R.G. Kron, C. Cacciari, and F. Fusi Pecci 1990, A. J., 100, 141. "Using SN1987A Light Echoes to Determine Mass Loss from the Progenitor" A.P.S. Crotts, and W.E. Kunkel 1991, Ap. J. Let., 366, L73. "The Dynamics of the Nebula around SN1987A: Ring Structure and Progenitor Mass Loss" 1991, A.P.S. Crotts and S.R. Heathcote, Nature, 350, 683. "An Inhomogeneous Reference Catalog of Identified Intervening Heavy Element Systems in Spectra of QSOs" D.G. York, B. Yanny, A. Crotts, C. Carilli, E. Garrison and L. Matheson 1991, Mon. Not. Roy. Astron. Soc., in press. "Mass Loss from SN1987A's Progenitor: Data from Light Echoes" A.P.S. Crotts 1991, in SN1987A and Other Supernovae, ed. J. Danziger, in press.

DAVID and LUCILE

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Statement by Nominee Name of Nomin~ee

i I

I

Sponsoring Instituton

Elkies, Noam D. last/first/middie initial Harvard University name

I work on problems arising in the mathematical disciplines of Number Theory and Diophantine Geometry. In my doctoral thesis I solved a conjecture on the arithmetic of elliptic curves, and previously I had already obtained an inequality useful in Arakelov theory. Much of my research since then concerns novel applications of ideas from Number Theory to other areas: in 1987 I used elliptic curves to settle a 200-year-old conjecture of Euler by exhibiting a solution to the equation A4 + B4 + C( = D4 in positive integers AB,CD; in the summers of 1986-1988 I worked at the Institute of Defence Analyses in Princeton on various problems of cryptology; recently a computational problem in number theory led me to what was probably the first successful application of Wiedemann's algorithm for solving large systems of sparse linear equations. My most exciting work has been the use of elliptic curves to construct dense packings of spheres in high dimensions, an idea that has led to new insights in both number theory and sphere-packing. The problem of efficiently packing equal spheres in high-dimensional space has already received much attention, both theoretical and practical, since it was proposed by Hilbert at the tum of the century, and yet the new lattices constructed from elliptic curves improve on many of the old records by large factors. The investigation of these lattices also yields new properties (such as simultaneously large rank and Tate-Lafarevi6 groups) of the elliptic curves that produce them. Much more work, theoretical as well as computational, still remains to be done on these families of lattices, including such fundamental properties as their asymptotic densities and kissing numbers. During the next five years I hope to shed more light on these matters, and find further mathematical applications of these and similar ideas. A Packard Fellowship could let me approach these problems much more effectively by providing the wherewithal to partially reduce my teaching responsibilities, collaborate with colleagues and students and obtain more powerful computing facilities.

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Statement by Nominee Elkies,

Name of Nominee

Noam

D.

last/firstImiddle Inmal

Signature

A name

THEDAVIDANDLUCILEPACKARDFOUNDATION

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Curriculum Vitbe of the Nominee last/first/middle Irdtlal

Name of Nominee

Elkies, Noam D.

(617)495-4625

name

Department

telephone (include area code)

Mathematics name

Sponsonng institution

Harvard University number and street

Address

1 Oxford St. city and state/zip code

Cambridge, MA

02138

date and place of birth

August, 1966

in New York City

.Instution

Education (begin with baccalaureate).

Columbia College degree and year conferred

field

B.A., 1985

Mathematics and Music

institution

Harvard University degree and year conferred

field

M.A., 1986

MathemAtics

institution

Harvard University degree and year conferred

field

Ph.D., 1987 Positions held (begin with present position).

Mathematics

employer TUn i -trg-v HaqT-nrvar acts . cks Ac -

address

~I X' i tv

c-

Tennr-n* - F- * Litl *&rWaWLo:8

Mathemstir.c

--

I Oxford St., Cambridge, MA

02138

title

dates (mo/dy/yr)

7/1/90 - present

Associate Professor employer

Harvard University address

1 Oxford St., Cambridge, MA

02138

title

dates (mo/dy!yr)

Junior Fellow

7/1/87 - 6/30/90

employer

Institute for Defense Analyses address

Thanet Road, Princeton, NJ title

08540 dates (mo/dy!yr)

SCAMP (summer research project) participant 7-8/86, 7-8/87, 7-8/88 TIIEDAVIDANDLUCILEPACKARDFOUNDATION

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Curriculum Vitae (continued) Name of Nominee

Elkies, Noam D. last/first/middle initial

Oftr

1981

-

-

I tied for first place in the U.S.A. Math Olympiad in Washington D.C. and won a Gold Medal with a perfect score.

1982

I won eighth place in the Westinghouse Science Talent Search.

I won first place in the U.S.A. Math Olympiad. I represented the United States at the International Math Olympiad in Budapest, Hungary and won a Gold Medal. 1983

I was designated a Putnam Fellow in the 43rd Annual Competition

1984

I was designated a Putnam Fellow in the 44th Annual Competition,

I was elected to Phi Beta Kappa as Junior. Honors 1985

I was designated a Putnam Fellow in the 45th Annual Competition I graduated first in the Columbia College Class of '85 with a G.P.A. of 4.16/4.00 (an A+ counting as 4.33). I won a National Science Foundation Graduate Fellowhsip for graduate study of Mathematics.

1986

I was nominated to the Harvard Society of Fellows by I - Prot. b. Mazur and accepted for a three-year Junior Fellowship starting September, 1987.

1990

I was named John. L. Loeb Associate Professor of the Natural Sciences at Harvard University.

1991

I won the National Academy of Sciences Award for Iniutiatives in Research (William 0. Baker Prize).

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List of Publications Elkies,

Noam D.

Name of Nominee lost/frst/middle initial Publications InstrJctions

Ust only complete articles published or in press. Do not list presentations or abstracts. Use additional sheets if necessary.

"Integers expressible in the form a4 +b4 ", in Vol. 3 of Mathematical Buds (H. Ruderman, ed; Norman, Oklahoma: Mu Alpha Theta, 1984; pp. 22-28).. "An improved lower bound on the greatest element of a sum-distinct set of fixed order", Jour. Comb. Theory A 41 (Jan. 1986), pp. 89-94. "The existence of infinitely many supersingular primes for every elliptic curve over Q", Invent. Math. 89 (1987), pp. 561-568. "On A4 + B4 + C4 = D4 ", Math. of Comp. 51 (Oct. 88), pp. 825-835. "Supersingular primes for elliptic curves over real number fields", Compositio Math. 72 (1989), 165-172. "The automorphism group of the modular curve XO(63)", Compositio Math. 74 (1990), 203-208. "On the Hurwitz scheme and its monodromy" (with D. Eisenbud, J. Harris, and R. Speiser), Compositio Math. 77 (1991), 95-117. "On the packing densities of superballs and other bodies" (with A.M. Odlyzko and J.A. Rush), Invent. Math., to appear.

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Statement by Nominee Name of Nominee iponsn . Ir .Then Sponsonnginstriuth0

n

Gurnis, Michael C. last/frst/mImde initial University of Michigan name

During the 1960's and early 1970's, the theory of plate tectonics, which describes the motion of the Earth's solid outer skin, transformed global geology from a descriptive science into a semi-quantitative one. The challenge of geology is to move beyond this kinematic description and place plate tectonics and continental drift into a dynamic framework. Soon after the recognition of plate tectonics, it was realized that oceanic heat flux, plate velocity, and mantle viscosity could be consistently described by a simple dynamic model of thermal convection within the mantle, the outer 3,000 km of the solid !

lfEarth.

But from my perspective, the fundamental stumbling block in the maturing of geodynamics has been a myopic focus on steady-state physical models and their comparison with only present-day observations. Even before plate tectonics, we learned from paleomagnetic and other observations that the Earth is not in a convective equilibrium: the continents have repeatedly aggregated into supercontinents and then fragmented and dispersed. Simple models of the supercontinent cycle show that every large-scale geophysical measure of the solid Earth (e.g. seismic structure, heat flow, gravity) will undergo first-order fluctuations in form and amplitude over tens to hundreds of millions of years. Geophysicists have made some attempts to expand their purview into timedependent systems, but they have yet to compare such models with observations which sense processes active over millions of years.

Unfortunately, physical quantities which we might use to constrain a time-dependent system undergoing thermal convection, such as fluid velocity or heat flow, are not directly recorded in the geologic record. In a viscous fluid, which is the rheology of the solid Earth on geologic time scales, lateral density variations result in the deflection of interfaces (i.e. l

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which drive mantle convection cause the surface to be deformed. Fortunately, when these vertical motions bow the surface below local sea level, there is deposition of marine sediments. Continental platforms, the flat interior areas of continents, retain this history of subsidence in the sedimentary rock. Although the signal has been partly degraded by subsequent erosion, the platforms have been a tape recorder of this dynamic topography. Stratigraphers studying the history of platform evolution have deconvolved, from global sea level changes, large vertical motions of the continents; the observations bound both the lateral scale and amplitude of subsidence over the last 500 million years. Stratigraphers have been urging geophysicists to provide sensible physical explanations for the subsidence events. The time is ripe to exploit such observations, because platform stratigraphy responds to changes in the Earth's shape on a time-scale equivalent to the overturn of convection, thus providing a unique constraint on the time evolution of mantle dynamics. The use of platform stratigraphy as a constraint on mantle dynamics presents us with some fundamental observational and theoretical challenges. The two are necessarily intertwined. I am now initiating a research program in three areas where extensive

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Gurnis, Michael C. last/flst/mincde irflaI

development is required: first, develop and exploit tools necessary to constrain dynamic topography from actual platform stratigraphy; second, develop and exploit the tools necessary to constrain time-dependent viscous flow from the dynamic deformation of fluid interfaces; and finally, develop realistic forward models of plate and mantle dynamics so as to predict platform stratigraphy. Let me elaborate upon each point. First, we must know what kinds of constraints can be placed on dynamic topography from stratigraphy. By directly computing stratigraphy from dynamic topography and then inverting the stratigraphy (after degradation by erosion) for topography, we will be able to formulate and study the limitations of inversion techniques. With viable schemes formulated, we will then invert observed platform stratigraphy and obtain the time varying field of dynamic topography, first regionally and later globally. Second, we must determine what dynamic topography tells us about viscous flow. Geophysicists have developed a repertoire of inversion techniques to determine internal mantle structure at a given time; obviously, a fundamental challenge will be to develop techniques to study time varying structures. The deflection of a fluid interface provides integral constraints on the lateral scale and amplitude of density variations (buoyancy forces). But, if we have a time sequence of topography fields, we should be able to bound the rise time of buoyant entities and the rate at which buoyant entities change their shape -- fundamental attributes of a time dependent convective system. Inversions yielding unique density structures will be impossible, but we should be able to establish acceptable classes of models. The final component of this triumvirate will be forward models of the coupled tectonic plate - viscous mantle system. We will develop finite element software capable of resolving thermal convection within spherical shells for a fluid with strong lateral variations in material properties, allowing us to incorporate tectonic plates into the convecting system in a dynamically self-consistent way. On the surface of the modelled plate/mantle system we will place a constant volume of water which will allow us to track global sea level change and the deposition and erosion of sediments. The challenge will be to find dynamic models consistent with observed stratigraphy and topography. The three components provide a well-knit program to explore and expand the purview of geodynamics into the history of the Earth; the big intellectual pay-off will be the merging of historical geology and geodynamics. The three arms of this project require diverse skills: from the physics of convection and the mathematics of inversion to the geology of global stratigraphy. Since no single individual will likely be an expert in all phases of this work, I would devote much of the Packard award to the salary support of people early in their careers, with an appropriate balance between post-doctoral fellows and graduate students. Part of the award would be used for a system of graphics workstations, some with extensive computational power and memory, for the forward and inverse modeling and the manipulation of regional and global data sets.

Sigrchre I

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Curriculum Vitae of the Nominee last/frst/mIdde Initial Gurnis, Michael C.

Name of Nominee

(313)

name Department

764-1435

telepnone (Anclude area code) Geological Sciences

name Sponsoring institiffon

University of Michigan rnunber and street

Address

1006 C. C. Little Bldg. city and state/z, code

*1-

Ann Arbor, Michigan

48109-1063

date and place of birth

October 22, 1959; Boston, Massachusetts instiuton Education (begin with baccalaureate).

university of Arizona degree and year conferred

b

B.S. instflutIon

1982

feld Geosciences

Australian National University degree and year conferred Ph.D. institution

1987

field Geophysics

decree and year conferred

I Positions held (begin mth present position).

field

employer

University of Michigan address

Ann Arbor, MI

48109

title

dates (mo/dy/lr)

Assistant Professor

9/1/88 to present

employer

California Institute of Technology address

Pasadena, CA

91125

title

dates (mo/dylyr)

Research Fellow

9/1/86 to 8/30/88

employer oddess title

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Curriculum Vitae (continued) Name of Nominee

Gurnis, Michael C. Iast/frst/middce inital

II

ofe-

I

i

II11 ,j .

Honors

1989 - Presidential Young Investigator

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List of Publications Nome of Nomnee

Gurnis, Michael C. lst/first/midde iniial

Publications Instructions

Ust oniy complete articles pLbilshed or in press. Do not list presentations or abstracts. Use additional sheets if necessary.

Gurnis, M., Continental flooding and mantle-lithosphere dynamics, in R. Sabadini, K. Lambeck, and E. Boschi (eds). Glacial Isostasy. Sea-Level. and Mantle Rheology, Kluwer Academic Publishers, Dordrect, 445-491, 1991. Gurnis, M. and S. Zhong, Generation of long wavelength heterogeneity in the mantle by the dynamic interaction between plates and convection, Geophysical Research

Letters 18, 581-584, 1991. Gurnis, M., Ridge spreading, subduction and sea level fluctuations, Science 250, 970972, 1990. Gurnis, M., Plate-mantle coupling and continental flooding, Geophysical Research Letters 11, 623-626, 1990. Gurnis, M., Bounds on global dynamic topography from Phanerozoic flooding of continental platforms, Nature 344, 754-756, 1990. Gurnis, M., A reassessment of the heat transport by variable viscosity convection with plates and lids, Geophysical Research Letters 16, 179-182,1989. Griffiths, R. W., M. Gurnis, and G. Eitelberg, Holographic measurements of surface topography in laboratory models of mantle hotspots, Geophysical Journal 96, 477495, 1989. Gurnis, M. and Hager, B. H., Controls on the structure of subducted slabs, Nature 335 317-321, 1988. Gurnis, M., A. Raefsky, G. A. Lyzenga, and B. H. Hager, Finite element solution of thermal convection on a hypercube concurrent computer, in Proc. Third Conf. Hvpercube Concurrent Computers and Applications, edited by G. C. Fox, Assoc. Comp. Mach., New York, 1176-1179, 1988. Gurnis, M. Large-scale mantle convection and the aggregation and dispersal of supercontinents, Nature 332, 695-699, 1988. Hager, B. H. and M. Gurnis, Mantle convection and the state of the Earth's interior, Reviews of Geophysics 25, 1277-1285, 1987.

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Gurnis, Michael C. List of Publications (continued) Davies, G. F. and M. Gurnis, Interaction of mantle dregs with convection: Lateral heterogeneity at the core-mantle boundary, Geophysical Research Letters 13, 15171520, 1986. Gurnis, M., The effects of chemical density differences on convective mixing in the Earth's mantle, Journal of Geophysical Research 91, 11407-11419, 1986. Gurnis, M., Quantitative bounds on the size-spectrum of isotopic heterogeneity within the mantle, Nature 323, 317-320, 1986. Gurnis, M., Stining and mixing in the mantle by plate-scale flow: Large persistent blobs and long tendrils coexist, Geophysical Research Letters 13, 1474-1477, 1986 Gurnis, M. and G. F. Davies, Mixing in numerical models of the Earth's mantle incorporating plate kinematics, Journal of Geophysical Research 91, 6375-6395, 1986. Gurnis, M. and G. F. Davies, Numerical study of high Rayleigh number convection in a medium with depth-dependent viscosity, Geophysical Journal 85. 523-542, 1986. Gurnis, M. and G. F. Davies, Apparent episodic crustal growth arising from a smoothly evolving mantle, Geology 14, 396-399, 1986. Gurnis, M. and G. F. Davies, The effect of depth-dependent viscosity on convective mixing in the mantle and the possible survival of primitive mantle, Geophysical Research Letters 13, 541-544, 1986. Gurnis, M. and G. F. Davies, Simple parametric models of crustal growth, Journal of Geodvnamics 3, 105-135, 1985. Woronow, A., R. G. Strom, and M. Gurnis, Interpreting the cratering record: Mercury to Ganymede and Callisto, in Satellites of Jupiter (edited by D. Morrison) University of Arizona Press, Tucson, 237-276, 1982. Gurnis, M., Martian cratering revisited: Implications for early geological evolution, Icarus 48, 62-75, 1981. Strom, R.G., A. Woronow, and M. Gurnis, Crater populations on Ganymede and Callisto, Journal of Geophysical Research 86, 8659-8674, 1981.

1

DAVID and LUCILE

1991

-- PACKARD FELLOWSHIPS

3

FOR SCIENCE AND ENGINEERING

Statement by Nominee Name of Nominee Sponsonng isfttuhion

I-

:

Jacobsen, Eric N. last/first/middle initial University of Illinois name

My group's research effort is directed toward the discovery and development of methods for synthesizing organic compounds with useful biological and physical properties, and our work focuses on the broad question of selectivity in chemical reactivity. The control of absolute stereochemistry presents a particularly difficult challenge in modem organic chemistry, but one of considerable importance because of the crucial role played by the three-dimensional structure of molecules in their biological function. We employ a highly interdisciplinary approach to this aspect of molecular recognition, combining organic synthesis with rigorous mechanistic studies in transition metal coordination chemistry. Chiral synthetic catalysts can in principle provide the most convenient, practical and general route to optically pure compounds. The chiral auxiliary that induces asymmetry in the product is recycled under conditions of catalysis, leading to so-called "multiplication" of chirality. Since the chiral auxiliary and the template to which it is bound are invariably the most precious components of an asymmetric reaction process, the use of substoichiometric quantities of such a reagent has obvious economical benefits. Catalysis also permits minimization of by-products in large scale processes, and is therefore far more environmentally tenable than a stoichiometric process. While these practical issues provide an important driving force for our research in this area, our efforts are no less motivated by the fundamental knowledge that can be gleaned from a catalytic system that proceeds with high enantioselectivity. The steric and electronic factors that lead to stereocontrol provide otherwise unattainable insight into the most favorable transition structure geometry of a reaction. Furthermore, asymmetric catalysis presents a fascinating fourdimensional problem, where kinetic issues play a critical role along with spatial considerations. Facial selectivity in group transfer to a prochiral substrate can be controlled by purely non-bonded interactions or by constraining the degrees of freedom in diastereomeric transition states through substrate pre-coordination. The projects that are summarized below illustrate both strategies and are representative of our current research. a) Oxidation Chemistry The development of asymmetric oxidation catalysts is of particular interest to our group. Oxygenatom-transfer from metals to hydrocarbons is an important process in a wide range of laboratory, industrial, and biological processes, and it has been an area of intensive mechanistic study. Chiral epoxides and sulfoxides are also synthetically valuable precursors to biologically active compounds. We have designed a series of chiral manganese complexes which catalyze epoxidation of isolated and unfunctionalized olefins by commercial bleach with up to 98% enantiomeric excess. The catalysts are practical and valuable for the synthesis of optically pure precursors to pharmaceutical, agrichemnical, and ferroelectric liquid crystalline materials. Applications of our epoxidation catalysts have already led to short efficient routes to important anti-hypertensive drugs, antihistamines, and various other types of CNS stimulants. These are the first epoxidation catalysts that afford high enantiomeric excess via oxo transfer, and as such they have provided us with a previously unavailable mechanistic tool. The observed stereoselectivities in epoxidations with various catalysts prepared thus far and examination of crystallographic and modelling data have allowed us to carefully map out the trajectory of olefin approach to the intermediate metal oxo species, and to derive a detailed transition structure geometry for oxygenatom-transfer from metals to olefins. Our current efforts include further refinement and generalization of this model by systematic variation of metal, ligand, and substrate. By employing this and related TIIEDAVIDANDLUCILEPACKARDFOUNDATION

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Statement by Nominee Name of Nominee

Jacobsen,

Eric N.

last/first/midaoe irjtiol

strategies, our goal within the next few years is to bring mechanistic understanding of metal-mediated oxidation reactions to a level of predictability similar to that now available in classical organic reactions. b) Bimetallic Catalysts A second important research area in our group is the exploration of a general method for performing asymmetric reactions on functionalized olefins. The majority of known chiral catalysts, including enzymes, operate by multi-step mechanisms involving substrate precoordination prior to the stereochemistry-determining transformation. Homometallic synthetic catalysts that function on this principle are generally limited by the fact that the same metal center must act both as catalyst and as a binding site for the substrate. We have prepared a series of chiral heterobimetallic systems including the rhodium-boron complex in order to provide two different Lewis acidic coordination environments for functionalized alkenes. Certain difunctional substrates with appropriate tether lengths exhibit enhanced binding to this complex relative to single-metal analogs. Alkene activation by complexation to a d8 metal center is a ubiquitous step in a variety of catalytic processes, and the issue we seek to address in the bimetallic systems is whether two-point binding to a catalyst can induce heightened selectivity in subsequent reactions when the binding site is remote from the reaction site. Our development of relatively rigid bimetallic templates represents a new strategy for taking advantage of long-range directing effects in asymmetric catalysis. c) Ligand Catalysis Synthetic catalysts traditionally involve turnover of a metal complex. Catalysis of the aldol condensation reaction has accordingly posed an interesting challenge because the metal in these systems tends to bind more strongly to the aldolate product than to the enolate starting material. In the context of this reaction, we are investigating a new approach to asymmetric catalysis whereby the metal is employed stoichiometrically but the chirl auxiliary is used as a catalyst. Elucidation of such a system requires a precise balance of binding properties and relative reaction rates. Our initial studies support the viability of this strategy and have revealed that certain types of donor ligands exhibit dramatic preference for binding to enolates relative to aldolates. Over the next five years my goal is to continue to develop new reactions of both practical and fundamental interest. Synthesis of biologically active compounds based on our methods will be pursued, as well as the application of stereochemistry to mechanistic problems. The funds from the Packard Fellowship would be-applied to this effort through research assistantships to graduate students and salary support to a postdoctoral fellow. The award would also permit us to expand our research into new areas of chemical and biological function. This includes investigation of the interaction of rationally designed enantiomerically pure coordination complexes with chiral macromolecules, development of asymmetric synthetic methods based on strategically modified enzymes, and design of imprint polymers using chiral coordination complexes as transition state analogs. My group's perspective and experience in asymmetric organic synthesis and coordination chemistry should prove valuable in these important interdisciplinary areas. Signature

am

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Curriculum Vitae of the Nominee last/first/micdle Ir&'lol

Name of Nominee

Jacobsen, Eric N.

(217) 244-4024

name Department

telephone (include area code)

Chemistry,

University of Illinois at Urbana-Champaign

name Sponsoring institution

1209 West California Street number and street

Address

Urbana, IL 61801 city and state/zip code

New York,

2/22/60

NY

dote and place of birth

institution

Education (begin %4th baccolaureate).

New York University degree and year conferred

B.S.,

field

1982

Chemistry

Institution

University of California

-

Berkeley

degree and year conferred

Ph.D..

field

Organomet-allir Chemistry

1986

institution degree and year conferred

Positions held (begin with present position).

field

employer

University of

Illinois

address

1209 West California St., Urbana, IL title

61801

6/27/88-present

dates (mo/dy/yr)

Assistant Professor employer

Massachusetts Institute of Technology address

77 Massachusetts Ave., Cambridge, MA

02139

10/21/86-6/21/88

dates (moal/dyr)

title

Postdoctoral Fellow employer address title

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1991

FOR SCIENCE AND ENGINEERING

4a

Curriculum Vitae (continued) Nome of Nominee

Jacobsen, I .1-1 ...I

Eric N.

iast1rnST/midcae initial

Other

Honors

Beckman Fellow in the Center for Advanced Study, 1991-1992; Presidential Young Investigator, 1990-1995; University of Illinois School of Chemical Sciences Teaching Award, 1989; UIUC List of Teachers Ranked as Outstanding by Their Students, 4 semesters;National Institutes of Health Postdoctoral Fellowship, 1986-88; University of California Regents Fellowship . 1984-86: NYU Chemistry Alumni Award, 1982; NY State Regents Scholar, 1978-82.

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PPAcrAnFnnrINnAT1oN . I. . ..... - . "-, -...

. 300 SECOND SUITE 200 - STREET. - - - - - - - -

- LOS ALTOS, CA

94022 . 415.948 .7658

DAVID and LUCILE

,

PACKARD FELLOWSHIPS

1991

FOR SCIENCE AND ENGINEERING

I

4b

List of Publications Name of Nominee

Publications Instructions

.I

Wenke, G.; Jacobsen, E.N.; Totten, G.E.; Karydas, A.C.; Rhodes, Y.E. "Silyl Ketene Acetal Chemistry: Steric Limitations in Lewis Acid-Promoted Addition of Ketones," Synth. Commun. 1983,13, 449.

2.

Jacobsen, E.N.; Bergman, R.G. "Synthesis, Crystal and Molecular Structure, and Reactions of the Bridging Vinylidenedicobalt Complex (u-CCH 2 )(CpCoCO) 2 . Reaction with Molybdenum Hydrides to Give a Heteronuclear Cluster Complex," Organometallics1984,3, 329.

3.

Jacobsen, E.N.; Totten, G-E.; Wenke, G.; Karydas, A.C.; Rhodes, Y.E. "Steric Effects on the Titanium Tetrachloride-Promoted Dimerization of Silyl Ketene Acetals," Synth. Commun. 1985,15, 301.

4.

Jacobsen, E.N.; Bergman, R.G. "Synthesis and Chemistry of a Bridging Vinylidenedicobalt Complex. Evidence for a Non-Chain Radical Mechanism in its Reaction with Metal Hydrides to Give Heteronuclear Clusters," J. Am. Chem. Soc. 1985, 107, 2023.

5.

Jacobsen, E.N.; Trost, M.K.; Bergman, R.G. "Synthesis of Organometallic Heterodinuclear p-Oxo Complexes by Extrusion of Alkenes from Zirconium/Tungsten Oxaalkyl Complexes," J. Am. Chem. Soc. 1986,108, 8092.

6.

Jacobsen, E.N.; Mark6, I.E.; Mungall, W.S.; Schroder, G.W.; Sharpless, K.B. "Asymmetric Dihydroxylation via Ligand-Accelerated Catalysis," J. Am. Chem. Soc. 1988, 110, 1968.

7.

Jacobsen, E.N.; Goldberg, K.I.; Bergman, R.G. "Rapid, Reversible Intramolecular C-H Oxidative Addition and H-Exchange in a Heterodinuclear Early-Late' Transition Metal Complex," J. Am. Chem. Soc. 1988, 110, 3706.

8.

Jacobsen, E.N.; Mark6, I.E.; France, M.B.; Svendsen, J.S.; Sharpless, K.B. "Kinetic Role of Alkaloid Ligands in Asymmetric Catalytic Dihydroxylation," J. Am. Chem. Soc. 1989,111, 737.

9.

Wai, J.S.M.; Mark6, I.E.; Svendsen, J.S.; Finn, M.G.; Jacobsen, E.N.; Sharpless, K.B. "A Mechanistic Insight Leads to a Greatly Improved OsmiumCatalyzed Asymmetric Dihydroxylation Process," J. Am. Chem. Soc. 1989, 111, 1123.

Ie p:1

'I!

I

Ust only complete articles published or in press. Do not list presentations or abstracts. Use additional sheets if necessary.

1.

i

s

Jacobsen, Eric N. last/first/midde inHial

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List of Publications (cont.) Eric N. Jacobsen 10. Svendsen, J.S.; Mark6, I.; Jacobsen, E.N.; Pulla Rao, Ch.; Bott, S.; Sharpless, KB. "On the Structure of Osmium Tetroxide-Cinchona Alkaloid Complexes," J. Org. Chem. 1989, 54, 2263. 11. Zhang, W.; Loebach, J.L.; Wilson, S.R.; Jacobsen, E.N. "Enantioselective Epoxidation of Unfunctionalized Olefins Catalyzed by (salen)Manganese Complexes," J. Am. Chem. Soc. 1990, 112, 2801. 12. Zhang, W.; Jacobsen, E.N. "Preparation of trans-1,2-Diamino-1,2Dimethylcyclohexane via Highly Stereoselective Olefin Oxidation by Dinitrogen Tetroxide," TetrahedronLert. 1991, 32, 1711. 13. Zhang, W.; Jacobsen, E.N. "Asymmetric Epoxidation with Sodium Hypochlorite Catalyzed by Readily Available Chiral Mn(Ifl) Salen Complexes," J. Org. Chem. 1991, 56, 2296. 14. Jacobsen, E.N.; Zhang, W. "Chiral Catalysts and Epoxidation Reactions Catalyzed Thereby," U.S. Patent Application submitted 3/21/90. 15. Jacobsen, E.N.; Zhang, W.; Muci, A.R.; Ecker, J.R.; Deng, L. "Highly Enantioselective Epoxidation Catalysts Derived from 1,2-Diarninocyclohexane," communication to J. Am. Chem. Soc. (submitted 4/24/91). 16. Fu, H.; Look, G.C.; Zhang, W.; Jacobsen, E.N.; Wong, C.-H. "Mechanistic Study of a Synthetically Useful Mono-oxygenase Model Using Hypersensitive Probes cis and trans-2-phenyl-1-Vinylcyclopropane," communication to J. Am. Chem. Soc. (submitted 5/16/91). 17. Jacobsen, E.N.; Guler, M.L.; Zhang, W. "Electronic Tuning of Asymmetric Catalysts," communication to J. Am. Chem. Soc. (submitted 5/20/91).

DAVID and LUCILE

PACKARD FELLOWSHIPS

1991 3

FOR SCIENCE AND ENGINEERING

Statement by Nominee Name of Nominee Sponsoring institution

Jafeger,

Heinrich M.

last/first/middle initial

~Thiee TVniyi-rsinerr

nf Cbi-fpg

The melting of a solid, the onset of superconductivity and the appearance of ferromagnetic ordering all are examples of phase transitions which transform a material's properties in a very fundamental way. My research concerns the complex and highly nonlinear behavior associated with such transitions. I have explored two new directions in this field. In sandpiles I have investigated the nature of phase transitions in a situation far from equilibrium, and in ultrathin metal films I have studied how a phase transition is modified when quantum fluctuations are present. Although the particles in one case are grains of sand and in the other electrons the mechanisms underlying the transitions are of an extremely general nature and address issues of fundamental scientific importance such as the role of dissipation in driving a phase transition and metastable or glassy behavior. Because of their widespread occurrence a detailed understanding of phase transitions is of considerable practical importance, and our ability to control phase transitions is critical to the development of new materials such as high temperature superconducting ceramics. What can one learn from studying the flow of grains down the slope of a sand pile? Grains of sand are a prototype of the wide class of granular materials which also include coal, iron ore, grain, sugar or powders. These materials have a vast importance in industrial processes where they are filled into containers, removed from a silo or transferred through channels. Yet we know surprisingly little about the mechanisms underlying the transition from the static state of no motion to the sheared state where flow occurs. Difficulties in understanding this transition arise from the fact that the random arrangement of grains in these materials is far from the most stable equilibrium configuration; instead these materials are characterized by complex properties like metastability, hysteresis and dilatancy. By studying the instabilities at the surface of sandpiles I have been able to demonstrate that the onset of granular flow is a first-order-type phase transition exhibiting selforganized but noncritical behavior. The avalanche formation which arises from these instabilities gives important new clues in aiding our understanding of one of the most vexing problems in granular dynamics, namely how to construct a realistic model of velocity-dependent dissipation. Phase transitions in systems in the mesoscopic regime (typically below one micrometer), however, are effected by quantum phenomena such as quantum fluctuations and electronic correlations which have no macroscopic analogue. I have investigated how quantum fluctuations in this regime can destroy superconductivity and induce normal metallic or insulating behavior. My research on ultrathin metal films, which consist of large numbers of closely spaced mesoscopic metal islands, has provided the first clear evidence that this occurs via a novel type of phase transition. This transition arises from a competition between strong quantum fluctuations and a dissipation mechanism provided by normal-state electrons. The experiments showed that below a material-independent critical threshold value for the dissipation strength quantum fluctuations prevail and superconductivity is lost. Such a general limit for the existence of superconductivity in the mesoscopic regime has important implications for microfabricated devices.

TIHEDAVIDANDLUCLEPACKARDFOUNDATION

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.

LOS ALTOS, CA 94022 * 415 94.-7658

DAVID and LUCILlE

PACKARD FELLOWSHIPS

1991

3a

FOR SCIENCE AND ENGINEERING

Statement by Nominee Name of Nominee

Jaeger, Heinrich M. lost/first/middle initial

In my further research I want to expand my investigation of phase transitions and instabilities over a wide range of size scales. In particular, I plan to explore relationships between the macroscopic and mesoscopic regimes. My work on sandpiles provided the experimental basis for a new approach to granular dynamics showing that sandpiles in fact can be viewed as macroscopic models for metastable and self-organized behavior also found on smaller scales. With Packard foundation funding I would, as a first step, investigate carrier avalanches in semiconductors and vortex motion in superconductors. Links to different size scale systems such as these are only beginning to emerge; others will appear as granular dynamics is evolving into a new field within condensed matter physics. The mesoscopic regime offers fascinating opportunities to exploit phase transitions and effectively design new materials with novel properties. The appearance of magnetic ordering on mesoscopic scales for example is expected to be connected to a quantum phase transition similar to the one for the onset of superconductivity. As individual mesoscopic structures are made smaller the attainable degree of quantum confinement increases. With Packard Fellowship support I would be able to investigate both the effects of quantum confinement and magnetic doping on the properties of structures with dimensions in the nanometer range. Such structures, coupled together through interfaces to form larger arrays, are the mesoscopic building blocks for new materials. A detailed understanding of the interplay between confinement and coupling of individual structures on this size scale is essential for the design of overall collective metallic, insulating or magnetic behavior. Controlled fabrication of mesoscopic structures far within the nanometer regime presents a major technological challenge. In designing experiments for this research I hope to advance the limits set by conventional fabrication technology. With Packard Foundation funding I would be able to explore alternative fabrication schemes by adapting scanning tunneling and atomic force microscopes which are not hampered by the resolution limits found in standard lithographic techniques. The funds also will allow the purchase of special materials processing equipment and data acquisition hardware. Finally, a Packard Fellowship would provide the means to support two graduate students and to investigate new phase transitions and instabilities concurrently both in the macroscopic and mesoscopic regimes.

II I Signature

I

ALnatu7e name

THEDAVIDANDLUCILEPACKARDFOlJNDATION

-

r

May

dt date

20,

1991

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* DAVID and LUCILE ,

PACKARD FELLOWSHIPS

1991

4

FOR SCIENCE AND ENGINEERING

Curriculum Vitae of the Nominee lost/first/middle initial

Norme of Nominee

Jaeger, Heinrich M.

(312) 702-6074

name

Department

telephone (include area code)

The James Franck Institute and The Department of Physics name

Sponsoring institution

The University of Chicago number and street

Address

5640 South Ellis Avenue city and state/zip code

Chicago, Illinois 60637 date and place of birth

May 15,

1957

Flensburg, West Germany

institution

Education (begin with baccalaureate).

University of Kiel degree and year conferred

Vordiplom, 1979

field

Physics

institution

University of Minnesota degree and year conferred

M.S.,

1982

field

Physics

institution

University of Minnesota degree and year conferred

Ph.D., Positions held (begin with present position).

1987

field

Physics

employer The University of Chicago. James Franck Institute & Dent. of Physics address

5640 South Ellis Avenue, Chicago. Illinois 60637 title

dates (mo/dy/yr)

Assistant Professor of Physics

03/01/91 - Present

employer

Centre for Submicron Terhnology, Delft Techn1ra1 UTnivmr-izy address

P.O. Box 5046, 2600 GA Delft, The Netherlands title

dates (mo/dy/yr)

Senior Researcher

1/21/89-2/28/91

employer

The University of Chicago. The James Franck Tnqwtititp address

5640 South Ellis Avenue, Chicago, Illinois 60637 title dates (mo/dy/yr) .... e F J 11/4/87-1/20/89 James Franck Institute Fellow & Research Associate TIHEDAVIDANDLUCILEPACKARDFCOUNDATION

. 300 SECOND STREET, SUITE 200 * LOS ALTOS, CA 94022 * 415.94X

76 58

DAVID and LUCILE"

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1991

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4a

Curriculum Vitae (continued) Name of Nominee

Ofter

Jaeger, Heinrich M. last/first/middle initial The University of Minnesota. Department of Physics 1165 Church Street, S.E., Minneapolis, Minnesota 55455 RPnCso>rnl

Honors

AC-4

-.%LLL

.-.-

101J/84-9/30/87

Jam.es Franck Institute Postdoctoral Fellowship, Univ. of Chicago, 1987-89. University of Minnesota Doctoral Dissertation Fellowship, 1986-87. University of Minnesota Graduate School Fellowship, 1983-84. Fulbright Scholarship- 1981-87.

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t.

DAVID and LUCILE

1991

PACKARD FELLOWSHIPS

4b

FOR SCIENCE AND ENGINEERING

List of Publications A.'

Name of Nominee

Heinrich M.

lost/first/middle initial

Publications Instructions

Ust only complete articles published or in press. Do not list presentations or abstracts. Use additional sheets if necessary.

1.

B. G. Orr, A. M. Goldman and H. M. Jaeger, "Reentrant Superconductivity due to Localization at the Percolation Threshold of Thin Superconducting Films," Physica B 126, 471 (1984).

2.

B. G. Orr, H. M. Jaeger and A. M. Goldman, "Transition Temperature Oscillations in Thin Superconducting Films," Phys. Rev. Lett. 53, 2046 (1984).

3.

B. G. Orr, H. M. Jaeger and A. M. Goldman, "Local Superconductivity in Ultrathin Tin Films," Phys. Rev. B 32, 7586 (1985).

4.

B. G. Orr, H. M. Jaeger, A. M. Goldman and C. G. Kuper, "Global Phase Coherence in Two-Dimensional Superconductors," Phys. Rev. Lett. 56, 378 (1986).

5.

D. Berman, B. G. Orr, H. M. Jaeger and A. M. Goldman, "Conductances of Filled Two-Dimensional Networks," Phys. Rev. B 33, 4301 (1986).

6.

B. G. Orr, J. R. Clem, H. M. Jaeger and A. M. Goldman, "Phase Fluctuations in Josephson Junctions," Phys. Rev. B 34, 3491 (1986).

7.

H. M. Jaeger, D. B. Haviland, A. M. Goldman and B. G. Orr, "Threshold for Superconductivity in Ultrathin Amorphous Gallium Films," Phys. Rev. B 34,

i

.II

i.

Jaeger,

4920 (1986). 8.

D. Partin, J. K
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9.

H. M. Jaeger, D. B. Haviland and A. M. Goldman, "Zero-Point Fluctuations in Ultrathin Superconducting Films," Jpn. J. Appl. Phys. 26 supp. 26-3, 1305 (1987).

10.

H. M. Jaeger, D. B. Haviland and A. M. Goldman, "Quantum Fluctuations and Dissipation in Ultrathin Superconducting Films," in Proceedingsof the 2nd SovietItalian Symposium on Weak Superconductivity, eds. A. Barone and A. Larkin, May 1987, Naples, Italy (World Scientific, Singapore, 1987) p. 96.

11.

H. M. Jaeger, "Global Phase Coherence and Dissipation in Ultrathin Superconducting Films," Physica B 152, 218 (1988).

12.

H.M. Jaeger, Chu-heng Liu and Sidney R. Nagel, "Relaxation at the Angle of Repose," Phys. Rev. Lett. 62, 40 (1989).

14.

H.M. Jaeger, D.B. Haviland, B.G. Orr and A.M. Goldman, "Onset of Superconductivity in Ultrathin Granular Metal Films," Phys. Rev. B 40, 182 (1989).

15.

D.B. Haviland, H.M. Jaeger, B.G. Orr and A.M. Goldman, "Local Superconductivity in the Strong Localization Limit of Ultrathin Granular Films," Phys. Rev. B 40, 719 (1989).

16.

H.M. Jaeger, Chu-heng Liu, Sidney R. Nagel and T.A. Witten, "Friction in Granular Flows," Europhysics Lett. 11, 619 (1990).

17.

H.M. Jaeger, C hu-heng Liu, Sidney R. Nagel and T.A. Witten, "Flow in Granular Materials: Self-Organized Non-Critical Behavior," in Relaxation and Related Topics in Complex Systems, eds. I.A. Campbell and C. Giovannella (Plenum Press, London, 1990) p. 2 3 5 .

18.

Chu-heng Liu, H.M. Jaeger and Sidney R. Nagel, "Finite Size Effects in a Sandpile," accepted in Phys. Rev. A (Rapid Comm.).

i.

DAVID and LUCILE

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1991 3

FOR SCIENCE AND ENGINEERING

Statement by Nominee

I

k

Name of Nominee

I

Kolner.

Brian H.

last/first/middle initial Sponsoring intiuion

nUniversity of California.

name

Los Angeles

i -1 -1

.I i

I I J

I I-1 i

i

I

Since the invention of the modelocked laser twenty-five years ago, steady and rapid progress has been made in several branches of the physical sciences concerned with what is generally called ultrafast phenomena, that is, phenomena which occurs at the picosecond or subpicosecond time scale. Since even today's fastest photodiodes can only resolve several picoseconds, scientists must resort to pump-probe or nonlinear optical correlation techniques to reveal the temporal structure of the systems under study. Clearly, a technology that would allow direct measurements on a subpicosecond time scale would be of great importance. Recently, I have been working on a method for altering the time scale of optical waveforms so that they might be stretched out to a scale that would be accessible to conventional high-speed photodiodes. This technique proposes to mimick in time what a lens does in space. That is, create "time images" of a fast optical waveform. The essence of this method lies in the mathematical duality between diffraction and dispersion combined with a new concept I call the "time lens". A time lens is the temporal analog of a space lens in the sense that it produces a quadratic phase variation over the time duration of the waveform whereas a conventional lens produces a quadratic phase across the transverse profile. It can be realized with an electro-optic phase modulator. Combining a time lens with suitable dispersion before and after the lens would result in a temporal imaging system capable of nearly distortionless magnification or compression of optical waveforms in time in the same way that a conventional lens operates on a twodimensional optical field. Thus, a "temporal microscope" could be constructed which would magnify a subpicosecond optical waveform to a time scale where it could be measured with a photodiode and high-speed sampling oscilloscope.

J

J

Other applications of temporal imaging can also be envisioned. For example, optical waveforms of complex form that are tailored for driving particular chemical reactions could be prepared on a long time scale and then compressed to the proper duration for the reaction. This crafting of waveforms could also be applied to high power optical amplifiers so that maximum energy extraction could be obtained. In optical communications, long data streams could be compressed and multiplexed onto optical fibers and then demultiplexed and expanded at the receiver end. In any of a number of fields where ultrafast optical techniques are employed, temporal imaging could have a major impact.

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1991

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Statement by Nominee Name of Nominee

Kolner.

Brian H.

Ilost/first/middle initial

My general goals for the next five years are to establish a laboratory for conducting forefront research into new techniques for generating ultrashort light pulses and ways of applying them to millimeter-wave devices and circuits. Initially, I plan to develop the temporal imaging concepts using bulk optical and electro-optical devices. Following this, I would investigate approaches to integrating the components on 1-v semiconductor substrates. Here, recent advances in multiple quantum well and band-gap engineered optoelectronics will have a decisive influence on device performance, size, and power consumption, and will allow for integration with other advanced electronic devices. Success here will make temporal imaging very attractive for communications and instrumentation applications. I foresee that a parallel effort in optimizing the bulk optics approach would also be very valuable. The principles are scalable to high power lasers and there is a substantial community of scientists who rely on high power sources for such diverse disciplines as laser fusion and nonequilibrium carrier transport studies in semiconductors. A research program in any area relating to ultrashort light pulses is necessarily capital intensive. The very latest technology in lasers, microwave instrumentation, and epitaxy are required to have competitive momentum. If this Fellowship was granted, most of the funds would be used to purchase equipment such as a modelocked laser, an optical table, a spectrometer, and some microwave instrumentation. In addition to capital and expensed items, funds would be used to support one or more outstanding graduate students. Their contributions are important, not only to the proposed program, but also as training for future careers in the sciences. With federal funding becoming more scarce and competition more aggressive, large ticket items are difficult for new young faculty members to obtain. Support at the level of the Packard Foundation Fellowship would be of inestimable significance for the initiation of this program.

Signature

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FOR SCIENCE AND ENGINEERING

Curriculum Vitae of the Nominee lost/first/middle initial

Name of Nominee

(213) 206-9202

Kolner, Brian H.

telephone (include area code)

name Department

Electrical Engineering name

Sponsoring institution

University of California, Los Angeles number and street

Address

405 Hilgard Avenue city and state/zip code

Los Angeles, CA

90024-1594

date and place of birth

6/22/55

Chicago, IL

institution

Education (begin with baccalaureate).

University of Wisconsin, Madison field

degree and year conferred

Bachelor of Science,

Electrical Engineering

1979

institution

Stanford University field

degree and year conferred

Electrical Engineering

Master of Science, 1981 institution

Stanford University field

degree and year conferred

Electrical Engineering

Doctor of Philosophy, 1985 Positions held (begin with present position).

employer

University of California, Los Angeles ad ress

4()5 Hilgard Avenue, Los Angeles, CA 90024-1594 dates (mo/dy/yr)

title

4/91-present

Associate Professor employer

Hewlett-Packard Laboratories aad'ess

1501 Page Mill Road, Palo Alto, CA 94304

I

title

Member of the Technical Staff

muu-- i-I. -e a acre5 (mwdcylyru

1979-1983 (part time) 10/85-4/91(full

employer

I

Stanford University address

E.L. Ginzton Laboratory, Stanford,CA 94305 dates (mo/dy/yr)

title

l Ii

Research Assistant TIIF DAVID ANDLUCILE PACKARD FOUNDATION * 300

SEC OND ST RE ET, SUITE 200

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94022 * 4 15-94x-76 5i

DAVID and LUCILE

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4a

Curriculum Vitae (continued) Name of Nominee

Other

Kolner, Brian H. last/tlrst/middle initial

-

(positions held, continued)

Bell Communicati ons Research, Murray Hill, NJ, Consultant,

9/85

-

Spectra-Physics Corporation, Mt. View, CA, Consultant, 3/84-6/84 1972 University of Wisconsin, Madison, Physics and EE, Lab Assistant,-1979

Cofounder: Lightwave Electronics Company, Mt. View, CA, 1984 Four patents awarded in areas of optical devices and IC testing. Member of the IEEE and the Optical Society of America.

Dean's Honors List, 1977-1979, University of Wisconsin, Madison. Honors

Program Committee member and session presider for the Conference on Lasers and Electro-optics, 1990, 1991, (1992).

TIIEDAVIDANDLUCILEPACKARDFOUNDATION

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I DAVID and LUCILE

FELLOWSHIPS

,PACKA-RD

A

1991 4b

FOR SCIENCE AND ENGINEERING

i

List of Publications Name f Noinee

Kolner, Brian H. Iast/first/middle initial

I

Publications instruction I

1.

B.H. Kolner, D.M. Bloom, and P.S. Cross, "Electro-optic sampling with picosecond resolution," Elect. Lett., vol. 19, pp. 574-575, 1983.

2.

B.H. Kolner, D.M. Bloom, and P.S. Cross, "Characterization of high-speed GaAs photodiodes using a 100 GHz EG sampling system," Proceedings of the Conference on Lasers and Electro-optics, paper THG 1, Optical Society of America, 1983.

3.

B.H Kolner, D.M. Bloom, and P.S. Cross, "Picosecond optical electronic measurements," SPIE Proceedings,vol. 439, pp. 149-152, 1983.

4.

P.S. Cross, R.A. Baumgartner, and B.H. Kolner, "A traveling wave, microwave optical modulator," SPIE Proceedings, vol. 439, pp. 153-158, 1983.

5.

P.S. Cross, R.A. Baumgartner, and B.H. Kolner, "Microwave 'integrated optical modulator," App. Phys. Lett., vol. 44, pp. 486-488, 1984.

6.

B.H. Kolner, J.D. Kafka, D.M. Bloom, and T.M. Baer, "Compression of mode-locked Nd:YAG pulses to 1.8 ps," Ultrafast Phenomena IV, D.H. Auston and K.B. Eisenthal, editors, Springer-Verlag, Berlin, 1984.

7.

B.H. Kolner and D.M. Bloom, "Direct electro-optic sampling of transmission line signals propagating on a GaAs substrate," Elect. Lett., vol. 20, pp. 818-819, 1984.

8.

J.D. Kafka, B.H. Kolner, T.M. Baer, and D.M. Bloom, "Compression of pulses from a cw mode-locked Nd:Y.AG laser," Optics Lett., vol. 9, pp. 505-506, 1984.

9.

B.H. Kolner, K.J. Weingarten, and D.M. Bloom, "Electro-optic sampler for gallium arsenide integrated circuits," SPIE Proceedings,vol. 533, pp. 139- 143, 1985.

.dI

-I II j

II

I J

Ust only complete articles published or in press. Do not list presentations or abstracts. Use additional sheets if necessary.

10. B.H. Kolner, K.J. Weingarten, and D.M. Bloom, "Picosecond electro-optic sampling and harmonic mixing in gallium arsenide," Proceedings of the Conference on Lasers and Electro-optics, paper TUK3, Optical Society of America, 1985.

TI[FDAV1D ANDLUJCILE PACKARD FOUNDATION . 300 SEC ON DST REET, SU IT E 200 - LOS ALTOS, CA 94022

.

41 5940-76 58

11.

K.J. Weingarten, M.J.W. Rodwell, H.K. Heinrich. B.H. Kolner, and D.M. Bloom, "Direct electro-optic sampling of GaAs integrated circuits," Elect. Lett., vol. 21, pp. 765-766, 1985.

12. B.H. Kolner, K.J. Weingarten, M.J.W. Rodwell, and D.M. Bloom, "Electro-optic sampling and harmonic mixing in GaAs," Picosecond Electronics and Optoelectronics, G.A. Mourou, D.M. Bloom and C.H. Lee, editors, Springer-Verlag, Berlin, 1985. 13.

B.H. Kolner and D.M. Bloom, "Electro-optic sampling in GaAs integrated circuits," IEEE J. Quant. Elect., vol. QE-22, pp. 79-93, 1986.

14. M.J.W. Rodwell, K:.J. Weingarten, D.M. Bloom, T. Baer, and B.H. Kolner, "Reduction of timing fluctuations in a mode-locked Nd:YAG laser by electronic feedback," Optics Lett., vol. 11, pp. 638-640, 1986. 15. B.H. Kolner, "Electro-optic sampling in gallium arsenide," Characterizationof Very High Speed Semiconductor Devices and Integrated Circuits, SPIE vol. 795, R. Jain, editor. SPIE, 1987. 16. S.Y. Wang, K.W. Carey, and B.H. Kolner, "Front-side illuminated InP/GaInAs/InP PIN photodiode with -3 dB bandwidth in excess of 18 GHz," IEEE Transactions on Electron Devices, vol. ED-34, pp. 938-940, 1987. 17. S.Y. Wang, K.W. Carey, and B.H. Kolner, "InP/GaInAs/InP PIN photodiode with FWHM < 18 ps," Picosecond Electronics and Optoelectronics 11, F.J. Leonberger, C.H. Lee, F. Capasso, and H. Morkoc, editors, Springer Verlag, Berlin, 1987. 18. Z.H. Zhu, C.L. Pan, Y.H. Lo, M.C. Wu, S. Wang, B.H. Kolner, and S.Y. Wang, "Electrooptic measurement of standing waves in a GaAs coplanar waveguide," Appl. Phys. Lett., vol. 50, pp. 1228-1230, 1987. 19.

B.H. Kolner and D.W. Dolfi, "Intermodulation distortion and compression in an integrated electro-optic modulator," Applied Optics, vol. 26, pp. 3676-3680, 1987.

20. E.R. Ehlers, R.L. Jungerman, M.P. Zurakowdki, D.K. Donald, B.H. Kolner, and R.V. Tuyl, "Comparison of frequency response calibration techniques for wide bandwidth photodetectors," Proceedings of the Optical Fiber Communication Conference, vol. 1, Optical Society of America, 1988. 21.

B.H. Kolner, "Microphonic sensitivity of surface acoi on Ultrasonics, Ferroelectrics,and Freq. Control, vol

ic wave resonators," IEEE Trans. , pp. 365-371, 1988.

22.

B.H. Kolner, "Active chirping for pulse compression using integrated-optic phase modulators," Proceedings of the Conference on Lasers and Electro-optics, paper THD1, Optical

Society of America, 1988. 23. B.H. Kolner, "Active pulse compression," Ultrafast Phenomena VI, T. Yajima, K Yoshihara, C.B. Harris, and S. Shionoya, editors, Springer-Verlag, Berlin, 1988. 24. BEH. Kolner, "Active pulse compression using an integrated electro-optic phase modulator," Appl. Phys. Lett., vol. 52, pp. 1122-1124, 1988. 25. B.H. Kolner and M. Nazarathy, "Temporal imaging with a time lens," Optics Letters, vol. 14, pp. 630-632, 1989. 26. BIH. Kolner, "Orthogonal field noise coupling in the half-wave plate/polarizer attenuator," Proceedings of the Quantum Electronics and Laser Science Conference," paper QWD30, Optical Soc. of America, 1991. 27. BIH. Kolner, "Intensity noise enhancement in the half-wave plate/polarizer attenuator," Optics Letters, vol. 16, June, 1991, to be published.

DAVID and LUCILE

PACKARD FELLOWSHIPS

1991 3

FOR SCIENCE AND ENGINEERING

Statement by Nominee Name of Nominee Sponsoring institution

MURRAY, ANDREW W. last/first/middle Initial n

UNIVERSITY

OF CALIFORNIA,

SAN FRANCISCO

Accurate chromosome segregation at mitosis is crucial for the successful reproduction of cells and organisms. Errors in chromosome segregation can kill cells, give rise to congenital defects, and act as steps in the initiation and progression of cancer [1]. My general goal is to understand the features of mitosis that account for the accuracy [2] of chromosome segregation. I am interested in two specific problems: 1) How is feedback control exerted over the exit from mitosis, that is, how does the cell monitor assembly of the mitotic spindle and delay the onset of anaphase until the spindle has been properly assembled? 2) What mechanical features of the spindle ensure accurate chromosome segregation: what holds sister chromosomes together while the spindle assembles, how is the linkage between sisters promptly dissolved at the onset of anaphase, and how do the chromosomes move towards the poles in anaphase? We are taking both genetic and biochemical approaches to these problems. The genetic approach is being pursued in budding yeast, while the biochemical approach utilizes the ability of extracts made from frog eggs to recapitulate the cell cycle in vitro [3, 4]. Recent demonstrations that many proteins have been functionally conserved between yeast and multicellular eucaryotes (reviewed in [5]), strongly suggest that these two approaches will interact synergistically to increase our understanding of mitosis. Feedback control of mitosis In most cells the presence of an incompletely assembled spindle, activates a feedback control that delays the exit from mitosis. We have isolated budding yeast mutants in which this control is defective, and the presence of an incompletely assembled spindle cannot delay the exit from mitosis. These mitotic arrest deficient (mad) mutants are viable under normal conditions, but die when grown on concentrations of antimicrotubule drugs which slow down, but do not block, spindle assembly. We have isolated mutations in three different MAD genes and used a number of criteria to show that all of them are deficient in the feedback control over the exit from mitosis, and have reduced fidelity of chromosome transmission. One of the genes, MAD2, has been cloned and encodes an essential protein that shows similarity to known calcium binding proteins. During the next five years we will continue to analyse the mad mutants to further our understanding of feedback control. Specifically we will: 1) Investigate the detailed biology of the MAD2 gene and the role of calcium in the cell cycle. Is MAD2 really a calcium binding protein, does mutation of the putative calcium binding regions affects its function, and do experimental alterations in the intracellular calcium concentration affect feedback controls? What is the effect of adding MAD2 protein to frog cell cycle extracts, which normally lack feedback controls? 2) Isolate further mad mutants and analyse their genetics and molecular biology along with that of the madly and mad3 mutants. We are especially interested in monitoring the interaction between the mad mutations and other mutations that block or delay the passage of cells through mitosis with the hope of discovering the structural features of the spindle that the feedback control monitors and the mechanism by which it regulates the inactivation of MPF and the onset of anaphase. 3) Isolate mutants that inactivate the feedback control whereby unreplicated DNA prevents entry into mitosis. These will be identified as mutants that are killed by low concentrations of the DNA synthesis inhibitor hydroxyurea because they are unable to delay the entry into mitosis when they contain unreplicated DNA. TIIEDAVIDANDLUCILEPACKARDFOUNDATION

. 300 SECOND STREET, SUITE 200 . LOS ALTOS, CA 94022

.

415.94.-7658

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3a

FOR SCIENCE AND ENGINEERING

Statement by Nominee Murray, Andrew W. Nome of Nominee

_

_

_

_

_

_

_

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4) Analyse the mode cfac&W~rf/E~qtMfactor (CSF) a feedback inhibitor of cell cycle progress that arrests unfertilized frog eggs in metaphase of meiosis II until they are fertilized [6]. We will attempt to determidne how CSF blocks cydlin degradation. c-mos is intimately associated with CSF [7j1, and it has been proposed that the rise in intracellular calcium induced by fertilization leads to the degradation of c-mnos, allowing cyclin proteolysis to occur [8]. However, our preliminary results suggest the opposite order of events: the calcium transient induces the degradation-of cyclin and inactivation of mitosis promoting factor (MPF) via a pathway that CSF cannot block, leading to the subsequent destruction of c-mos. We will attempt to rigorously distinguish between these two competing hypotheses. Chromosome linkage and separation Accurate chromosome segregation requires that sister chromatids remain linked to each other from DNA replication through metaphase of mitosis, and that this linkage is then promptly dissolved at the onset of anaphase. In metaphase the spindle is at steady state. The forces exerted on the chromosomes towards the spindle pole that attempt to compress the spindle are opposed by forces that tend to expand the spindle [9, 10, I11]. Destroying the linkage between sisters removes the opposition between these forces and, in principle, is sufficient explain how, in anaphase, the chromosomes move towards the poles and the poles move apart from each other. We have modified the frog egg cell cycle extracts to produce mitosis in vitro. Nuclei are allowed to replicate and then driven into mitosis by addition of MPF and CSF. Once in metaphase, the addition of calcium leads to the inactivation of MPF and CSF and triggers chromosome separation, aniaphase movement and ultimately formation pairs of daughter nuclei. We plan to: 1) Investigate the role of DNA catenation in the linkage of sister chromatids, and the role of type II DNA topoisomerases in sister chromatid separation. 2) Determine the mechanism of chromosome to pole movement in anaphase, by using reagents directed against known microtubule mediated processes, by assaying the ability of fractionated mitotic spindles to support chromosome movement and ultimately by purifying and characterizing components identified by these approaches. 3) Attempt to determine the biochemical basis of sister chromatid linkage by: i) developing more fractionated assays for monitoring sister chromatid separation and ii) testing a wide variety of reagents for their ability to either block sister chromatid separation, or induce premature sister separation. Budget Funds would be used primarily to provide supplies, and equipment for all of the projects discussed above, and the salary of a technician working on the selection for novel protein inhibitors. A major anticipated expenditure is the purchase of equipment for low light level video microscopy required for real time assays of chromosome separation and movement. The $21,000 supply budget from my NIH grant and the declining support form the Markey Trust, will be exceeded by the demands of 3 post-doctoral fellows, 3 graduate students and technician that the lab 'IIl contain by July 199 1. Signature

I

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THE DAVID AND LUCILE PACKARD FOUNDATION . 300 SEC ON DSTKEE

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Murray, Andrew W.

REFERENCES 1.

Cavenee, W. K., T. P. Dryja, R. A. Phillips, R. F. Benedict, R. Godbout, B. L. Gallie, A. L. Murphree, L. C. Strong and R. L. White. 1983. Expression of recessive alleles by chromosomal mechanisms in retinoblastoma. Nature. 305: 779-784.

2.

Hartwell, L. H., S. K. Dutcher, J. S. Wood and B. Garvik. 1982. The fidelity of mitotic chromosome reproduction in Saccharomyces cervisiae. Recent Adv. Yeast Molec. Biol. 1: 28-38.

3.

Lohka, M. J. and Y. Masui. 1983. Formation in vitro of sperm pronuclei and mitotic chromosomes induced by amphibian ooplasmic components. Science. 220: 719-721.

4.

Murray, A. W. and M. W. Kirschner. 1989. Cyclin synthesis drives the early embryonic cell cycle. Nature. 339: 275-280.

5.

Murray, A. W. and M. W. Kirschner. 1989. Dominoes and Clocks: the union of two views of cell cycle regulation. Science. 246: 614-621.

6.

Masui, Y. and C. L. Markert. 1971. Cytoplasmic control of nuclear behavior during meiotic maturation of frog oocytes. J Exp Zool. 177: 129-45.

7.

Sagata, N., N. Watanabe, G. F. Vande Woude and Y. Ikawa. 1989. The c-mos proto-oncogene product is a cytostatic factor responsible for meiotic arrest in vertebrate eggs. Nature. 342: 512-518.

8.

Watanabe, N., G. F. Vande Woude, Y. Ikawa and N. Sagata. 1989. Specific proteolysis of the cmos proto-oncogene product by calpain upon fertilization of Xenopus eggs. Nature. 342: 505-511.

9.

McNiell, P. A. and M. W. Berns. 1984. Chromosome behavior after laser microirradiation of a single kinetochore in mitotic PtK2 cells. J. cell Biol. 88: 543-553.

10.

Masuda, H., T. Hirano, M. Yanagida and W. Z. Cande. 1990. In vitro reactivation of spindle elongation in fission yeast nuc2 mutant cells. J Cell Biol. 110: 417-25.

11.

Hyman, A. A. and T. J. White. 1988. Determination of Cell Division axes in the early embryogenesis of Caenorhabditis elegans. J.Cell Biol. 105: 2123-2135.

J

3

E

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1991 4

FOR SCIENCE AND ENGINEERING

Curriculum Vitae of the Nominee lost/first/middle initial

Name of Nominee

Department

KJRAY,

ANDREW W.

name

telephone (include area code)

PHYSIOLOGY

(415)

476-0364

name

Sponsoring institution

UNIVERSITY QF CALIFORNIA, SAN FRANCISCO number and street

Address

513 PARNASSUS AVE.,

S-762

(Medical Sciences Bldg.)

city and state/zip code SAN FRANCISCO, CA 94143-0444 dote and place of birth

10/26/55

CAMBRIDGE, ENGLAND

institution

Education (begin with

baccalaureate).

CLARE COLLE,

CAMBRIDGE UNIVESITY

degree and year conferred

held

BA NATURAL SCIENCES (10/75 to 6/78)

BIOCHEMISTRY

institution

HARVARD UNIVERSITY degree and year conferred

field

PhD DEVELOPMENTAL CEL BIO.

(10/78 to 6/84)

MEDICAL SCIENCES

institution

degree and year conferred

Positions held (begin with presen t position).

field

employer

UNIVERSITY OF CALIFORNIA,

SAN FRANCISCO

address

513 PARNASSUS AVE.,

S-762; DEPT.

PHYSIOLOGY

title

dates (mo/dy/yr)

ASSISTANT PROFESSOR

6/89 to (present)

employer

UNIVERSITY OF CALIFORNIA, SAN FRANCISCO address

513 PARNASSIUS AVE., DEPT. BIOPHYSICS/BIOE. title

dates (mo/dy/yr)

RESEARCH FELLOW

7/86 to 6/89

employer

MASSAKHUSEIS GEAL HOSPITAL address

MOLECULAR BIOLOGY, FRUIT ST., BOSTON, MA

dates (mo/dy/yr)

title

RESEAIH FELLOW TIIEDAVIDANDLUCILEPACKARDFOUNDATION

02114 8/84 to 6/86

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'

DAVID and LUCILE

-] PACKARD FELLOWSHIPS

1991 4a

FOR SCIENCE AND ENGINEERING

Curriculum Vitae (continued) !

l

I

Name of Nominee

Other

':11

MURRAY,

ANDREW W.

lost/firstlmiddle initial

Teaching Asst., Woods Hole.

Faculty,

:f

6/80 to 8/80

Physiology Course,

Woods Hole.

Marine Biological Laboratory

Physiology Course,

6/82 to 8/82

and

6/81 to 8/81.

Marine Biological Laboratory and

6/83 to 8/83.

i:

Lecturer (part-time),

Yale Univ.

Gave ten lectures in undergraduate

1/85 to 6/85 and 1/86 to 6/86. cell biology course (Biology 315).

Honors

.X I I-

Scholar in

Biomedical Science

Lucille P.

Markey Charitable Trust,

I

July 1,

TIMEDAVIDANDLUCILEPACKARDFOUNDATION

1986 to present.

* 300 SECOND STREET, SUITE 200 * LOS ALTOS, CA 94022

.

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1991 4b

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List of Publications Name of Nominee

Murray, Andrew W. Icst/first/middle initial

Publications Instructions

List only complete articles published or in press. Do not list presentations or abstracts. Use additional sheets if necessary.

Chen, L.B., Murray, A.W., Segal, R.A., Bushnell, A. and Walsh, M.L. intercellular LETS glycoprotein matrix. Cell 14, 377-391.

1978.

Studies on

Chen, L.B., Burridge, K., Murray, A.W., Walsh. M.L., Copple, C.D., Bushnell, A., 1978. Modulation of cell surface glycocalyx: McDougall, J.K. and Gallimore, P.H. studies on large transformation-sensitive protein. Ann. N.Y. Acad. Sci. 312, 3 6 6 381. Murray, A.W. and Szostak, J.W. Nature 305, 189-193. Murray, A.W. and Szostak, J.W. Cell 34, 961-970.

1983. 1983.

Construction

of artificial chromosomes in yeast.

Pedigree analysis of plasmid segregation in yeast.

Ruby, S.R., Murray, A.W. and Szostak, J.W. 1983. lacZ fusions. Meth. Enzymol. 101, 253 -269.

Cloning regulated genes from a pool of

Szostak, J.W., Murray, A.W., Claus, T. and Dunn, B. 1984. Teolmeres and artificial chromosomes in yeast. In Chromosomes Today, Volume 8, Bennett, M.D., Gropp, A. and Wolf, U. eds., pp. 59-68. George, Allen and Unwin, London. Murray, A.W.

Chromosome structure and behavior.

1985.

Trends. Bioch. Sci. 10, 112-115.

Weller, S.K., Spadaro, A., Schaffer, J.A., Murray, A.W., Maxam, A.M. and Schafer, P.A. 1985. Cloning, sequencing and functional analysis of oriL, an HSV-1 origin of DNA synthesis. Mol. Cell. Biochem. 5, 930-942. Murray, A.W. and Szostak, J.W. 1985. Rev. Cell Biol. 1, 289-316.

Chromosome segregation in mitosis and meiosis.

Ann

Murray, A.W. Schultes, N.P. and Szostak, J.W. 1986. Chromosome length controls mitotic chromosome segregation in yeast. Cell 45, 529-536. Murray, A.W. and Szostak, J.W. 1986. Construction and behavior of circularly permuted and telocentric chromosomes in Saccharomyces cerevisiae. Mol. Cell. Biochem. 6, 3166-3 172. Dawson, D.S., Murray, A.W. and Szostak, J.W. chromosome segregation in yeast. Science Murray, A.W.

1987.

1986. 234,

Cyclins in meiosis and mitosis.

TIIEDAVIDANDLUCILEPACKARDFOUNDATION

An alternative pathway for meiotic 713-717.

Nature (News and Views)

326, 542-543.

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4C

V

PACKARD FELLOWSHIPS Murray, A.W.

1987.

Murray, Andrew W.

A cycle is a cycle is a cycle.

Nature (News and Views)

327, 14-15.

Reynolds, A.E., Murray, A.W. and Szostak, J.W. 1987. Role of the 2um gene products in stable maintenance of the 2um plasmid of Saccharomyces cerevisiae. Mol. Cell. Biol.

7, 3566-3573. Murray, A.W. and Szostak, J.W. 68. Murray, A.W., 1988.

1987.

Artificial chromosomes.

Sci.

Amer.

Nov. 1987 62-

A mitotic inducer matures. Nature (News and Views) 355, 207-208.

Murray, A.W., Claus, T.E. and Szostak, J. W., 1988. Characterization of two telomere processing reactions in Saccharomyces cerevisiae . Mol. Cell. Biol. 8, 46424650.

Murray, A. W. and Kirschner, M. W. 1989. cycle. Nature, 339, 275-280

Cyclin synthesis drives the embryonic cell

Murray, A. W., Solomon, M. J. and Kirschner, M. W. 1989. The role of cyclin synthesis and degradation in the control of MPF activity. Nature, 339, 280-286. Murray, A. W. 1989. The cell cycle. Am. Zool. 29, 511-522. Murray, A. W. and Kirschner, M. W. 1989. Dominoes and clocks: the cell cycle. Science, 246, 614-621.

the union of two views of

Murray, A. W. 1989. Cyclin synthesis and degradation and the embryonic cell cycle. Sci., Suppl 12, 65-76. Murray, A. W. 1989. Murray, A. W.

1990.

The cell cycle as a cdc2 cycle. Nature (News and Views). All' s well that ends well. Nature (News and Views).

Glotzer, M. G., Murray, A. W. and Kirschner, M. W. ubiquitin pathway. Nature, 349, 132-138 Murray, A. W. and Kirschner, M. W. 1991, 56-63. Murray, A. W.

1991.

1991.

Cell cycle extracts.

1991.

J. Cell

342, 14-15.

346, 797-798.

Cyclin is degraded by the

The cell cycle. Scientific American.

March,

Meth. Cell Biol., in press.

Minshull, J., Murray, A. W., Colman, A. and Hunt, T. 1991. Xenopus oocyte maturation does not require new cyclin synthesis. J. Cell Biol., in press. Li, R.

and Murray, A. W.

Feedback control of mitosis in budding yeast.

Cell, in press.

-DAVID and LUCILE

PACKARD FELLOWSHIPS

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-

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Statement by Nominee Name of Nominee

Piiqge,

WiIIm

lost/first/milddle initial

W

performing type inference for structured arrays, and event variable synchronization. Other researchers have shown substantial interest in incorporating the simplification abil of the Omega test into their research and it plays an important role in my other research projects on compila for ma--vely parallel computers. Uniform metlhods for loop optimization Many different loop transformations have been developed and studied, arch as -. rchange, loop skewing, loop fusion, and loop splitting. Past research has generally left unanswered the quL. . i ol hIow to automatically find a sequence of loop transformations that will allow a code segment to be parallelized. I am working on P. . chnique for loop optimization that considers a very powerful class of transformations that includes all combinatic-:. of standard loop optimizations as well as other loop optimizations not previously described. Thus, if some sequence of standard loop optimizations can parallelize a section of code, we can automatically parallelize it. This goal has been the target of a number of recent research results by other researchers. Those results have been limited to perfectly nested loops with Constance dependence distances, a limitation removed by my results.

-I

Programming Languiage Design

L

L'i

:1

I am exploring the design of new very high-level languages designed to allow scientists to describe computationally intensive scientific computations. The type system of the language will include information about the banded, block and sparse structure of arrays. A type inference system can deduce this information for computed results based on the structure of the inputs. For example, the system will be able to deduce that the product of a tridiagornal matrix and an upper triangular matrix is an upper Ilessenberg matrix, or that when a Gaussian elimination algorithm without pivoting is applied to a banded array, the result is handed. This will allow efficient code to be generated automatically for bunded, block or sparse arrays and improve code reuse. (Modifying algorithms so as to preserve sparseness would be beyond the scope of the compiler). I am also interested in special purpose scientific programming languages. For example, one might develop a specific programming language for finding computational solutions to partial differential equations, or a programming language for fluid dynamics problems. Like spreadsheets, these will not be general purposes programming languages but could be very attractive for specialized purposes. Integrated Plan for all activities Work already completed includes the development, implementation and preliminary benchmarking of the Omega test and the development of the foundations for and partial implementation of uniform methods for loop optimization. As part Of the research described above, I plan to concentrate on several immediate research goals for the next year. I plan to install the Omega test in a production compiler. This will allow me to gain a better feeling for how it performs in pra-cice and may suggest adjustments that result in substantial speed improvements for the cases that arise in practice. I will also make my implementation of the Omega test widely available to other researchers, and explore other applications of the Omega test's ability to perform simplification. I also plan to implement a programming environment that completely automates the application of uniform methods for loop optimization for small programs written in a FORTRAN subset. Doing this will force us to nail down all steps in the process and allow us to explore li e boozer amid limitations of the technique. Work on the design of programming languages for scientific compuitationis wIil proceed on a par- le] track.

IL)

Signature name

3te

THE DAVID ANDLUCILE PACKARD FOUNDATION - 300 SEC ON DST

REET, SUITE 200 . LOS ALTOS, CA 94022 * 415 94S

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DAVID and LUCILE

PACKARD FELLOWSHIPS

1991

FOR SCIENCE AND ENGINEERING

3

Statement by Nominee Name of Nominee

Thigh, Wi 1 I

Iam

lastl/rst/middle initial Sponsoring institution

rTniversity

W

of Maryland.

College Park

The Federal High Performance Computing and Communications (HPCC) Program describes several 'grand challenges" whose solutions are critical to national goals. These grand challenges include: prediction of weather, climate and global change; understanding turbulence, pollution dispersion and combustion systems; and understanding the nature of new materials such as superconductors. A key HPCC Program goal is the production of a tera-op computer by 1996 (a tera-op computer is one capable of performing 1 trillion operations per second). Reaching this goal will require a 10000 factor speed up from the speed of the fastest commercial single processor computers today.

While some of this speed-up will come from faster processors, much of it is expected to come from the use of

massively parallel computers that utilize thousands of processors. Making effective use of massive parallelism is a very difficult task. Computations must be arranged so that most of the processors are kept busy and most of the message exchanges occur between "neighboring" processors. The

difficulty of this task mandates that the programming environment provide very substantial assistance in organizing

and transforming programs so as to make effective use of massively parallel computers (automating the process completely where possible). The types of programs best suited for massively parallel computers and automated program transformations are scientific computations: programs with large numbers of repetitive computations, organized in a regular way. I am pursuing a long-ternm research plan involving several topics related to the compilation of scientific programs for massively parallel computers. The Omega test for doped(ionce analysis

Dependence analysis is the problem of determining when two computations refer to or update the same elements of an array. This information is essential for determining the legal and appropriate transformations of a program. I have developed the Omega test, which solves problems arise in dependence analysis. More generally, the Omega test solves integer programming problems (i.e., determines whether there is an integer solution to an arbitrary set of linear equalities and inequalities). Many of the dependence analysis methods used today are approximate (but conservative) methods: they might give a wrong answer that prevents a possible legal program transformation, but they never give a wrong answer that allows an illegal program trainslorniation. These approximate methods are used because they are known to be fast and conventional %wisdomholds that integer programming techniques such as the Omega test are far too expensive to be used for dependence analysis, except as a method of last resort for situations that cannot be decided exactly by simpler methods. I have performed experiments that suggest this wisdom is wrong, and that the Omega test is competitive with approximate algorithms used in practice and suitable for use in production compilers.

Although the Omega test has worst-case exponential time complexity, I have proved that the Omega test has low order polynomrial t-ime complexity for many situations in which currently used methods are accurate. The Omega test can be uscdl to sinipliJy integer programming problems, rather than just deciding if solutions exist. Simplification can he used t.o provide concise and accurate summaries about the types of solutions that exist. This ability seems to hold important promise. It can be used to provide a concise and exact description of the circumstances under which a dependence occurs, making it easy to check the legality of complicated potential program transformnations. "Dopncldence direction vectors" and "dependence distance vectors" are traditionally used for this purpose, lut researclhers are nowv beginning to find them to be too crude an approximation for program transrornmations now beHing considered. Alternatively, this simplification technique offers a substantially more efficient way of calculating dependence direction and distance vectors than previous dependence analysis methods.

This simplification can be used for malny other purposes, such as accurately summarizing the sections of an array effected by a procedure call, adding runi-tinie tests to a program to check when dependencies actually exist, TIIEDAVIDANDLUCILEPACKARDFOUNDATION

. 300 SECOND STREET, SUITE 200 .

LOS ALTOS, CA 94022

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-DAVID

and LUCILE

PACKARD FELLOWSHIPS

1991 4

FOR SCIENCE AND ENGINEERING

Curriculum Vitae of the Nominee -

Il

last/first/middle Initial

Name of Nominee m Wil-l am W*.

Department Sponsoring institution Address

naCt

o

telephone includee area code) :31-40

rnmrlter Tf Science

7nr

University of Marylncnumber andstreet A- V. Wil11i ads Builrci na city and state/zip code

College Park. Maryland date and place of birth

I

6/14/60

Cincinnati, Ohio

institution

Education (begin with baccalaureate).

degree and year conferred

Bachelor of Science,

field

cum laude,

1980

institution rornell Univnrsit" degree and year conferred

field

Ph.D.

Comniitpr

icpnre

1988

institution degree and year conferred

Positions held (begin with present position).

field

employer

University of Marylancd address

. i

College Park.

Maryland

title

,I I

dates (mo/dy/yr) Z~~ioeP-rnfecezo-

c ,

20742

R./Rq-PrPesent

employer

Texas Instruments address

II Dallas., d

!

!

Texas

title

Software Engineer

dates (mo/dylyr)

7 /P0-7/83

employer address

title

dates (mo/dy!yr)

TIIEDAVIDANDLUCILEPACKARD FOUNDATbON . 300 SECOND STREET, SUITE 200 . LOS ALTOS, CA 94022 . 415.94X-7658

DAVID and LUCILE

PACKARD FELLOWSHIPS

1991 4a

FOR SCIENCE AND ENGINEERING

Curriculum Vitae (continued) Name of Nominee

Puigh,

Wi 11; on W-

last/first/middle initial

Other

MbrPr,- ArM SIGPLN 1991

Conference of the Desig

and

Tmn1

nnttin

nf Prgramming

Languages

Honors

NSF Presidential Young Investigator AT&T

RP11

Thnr

tnrie

Scholar

General Electric Fellowship

TIIEDAVIDANDLUCILEPACKARDFOUNDATION . 300 SECOND STREET, SUITE 200 . LOS ALTOS, CA 94022 * 415-948-76S8

DAVID and LUCILE

PACKARD FELLOWSHIPS

1991

FOR SCIENCE AND ENGINEERING

4b

List of Publications Name of Nominee

Pugh, William w. last/firstImiddle initial

Publications Instructions

Lst only complete articles published or in press. Do not list presentations or abstracts. Use additional sheets if necessary.

Journal Publications 1. Skip Lists: A Probabilistic Alternative to Balanced Trees, Comm. of the ACM, June 1990. 2. Slow Optimally Balanced Search Strategies vs. Cached Fast Uniformly Balanced Search Strategies, Information Processing Letters, Vol 34, Issue 5, pages 251-254. 3. Concurrent Maintenance of Skip Lists, to appear in DistributedComputing

Conference Proceedings 1. ALEX - an Alexical Programming Language, Proceedings of the 1987 Workshop on Visual Languages, Linkoping, Sweden, August 19-21, 1987, 315-329, with Dexter Kozen, Tim Teitelbaum, Wilfred Chen, John Field and Brad Vander Zanden 2. An Improved Replacement Strategy for Function Caching, ACM Conference on Lisp and Functional Languages, 269-276, July 1988 (32 papers accepted out of 145 papers submitted). 3. Incremental Computation via Function Caching, Proc of the 16th ACM Conf on the Principlesof ProgrammingLanguages, 315-328, with Tim Teitelbaum (30 papers accepted out of 191 papers submitted) 4. Skip Lists: A Probabilistic Alternative to Balanced Trees, Workshop on Algorithms and Data Structures, Ottawa Canada, August 1989 5. Two directional record layout for multiple inheritance, SIGPLAN '90, pages 85-91. with Grant Weddell. (30 papers accepted out of 173 papers submitted). 6. Probabilistic analysis of set operations using binary hash tries with constant-time set equality testing, ICCI'90. 7. Application of Partial Evaluation to Hard Real-Time Programming, Joint IEEE/IFAC Workshop on Real-time Operating Systems and Software/Real-time Programming Languages, May 15-17. 1991, with Vivek Nirkhe 8. Uniform Methods for Loop Optimization, International Conference on Supercomputing, Cologne, Geimany, June 17-21, 1991.

TIIEDAVIDANDLI1CLFPACKARDFOtNDAT1ON

. 300 SECOND STREET. SUITE 200 . LOS ALTOS. CA 94022 - 415-941-7658

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PACKARD FELLOWSHIPS

1991

FOR SCIENCE AND ENGINEERING

3

Statement by Nominee Name of Nominee

Saleur Hubert M. last/first/middle initial

Yale University Sponsonng institution

nome

STUDIES OF LOW DIMENSIONAL PHYSICS PROBLEMS AND SOME OF THEIR MATHEMATICAL ASPECTS My research interests are phase transitions, string and conformal field theory, and the mathematical structures and applications of low dimensional physics problems. This rather interdisciplinary set of topics has become over the last 6 years a field by itself, one of the most active and productive of theoretical or mathematical physics. MAIN CONTRIBUTIONS A. Results for concrete statistical mechanics systems: I showed how conformal invariance can be used to study concrete two dimensional systems. I considered especially geometrical problems: I determined the critical exponents for percolation or polymers, I obtained the winding angle probability distribution for self avoiding walks... I extended the methods to antiferromagnetic systems, and discovered the "Berker Kadanoff phases". Most of my works led to numerical, and some to experimental, verifications. The exponents I determined are by now classical results in the subject. B. Physical applications of quantum groups: I discovered that quantum groups are hidden symmetries of statistical mechanics systems (like the XXZ chain), and therefore fundamental concepts in physics too. The corresponding paper written in 1989 has been widely applied and generalized since then. I established the representation theory of Uqsl(2) when q is a root of unity. I showed that the hidden symmetry implies then coincidences of an infinite number of levels in the hamiltonians, and how this has drastic practical consequences. C. Relations between integrable lattice models and conformal field theories: I established (1989,1990) a set of correspondences between lattice integrable models and conformal theories based on algebraic considerations. A spectacular output was that the modular invariance constraint can also be established for finite systems, or that representations of the Virasoro algebra are provided by quantum spin chains. D. Knot theory: I discovered that the Alexander polynomial can be understood in the "modern" context of mathematical physics if one uses super groups. This was accomplished using physics ideas to replace a n=0 limit by the introduction of fermionic variables. I pointed out the first direct path between topology and quantum groups (1990,1991). E. Planar colouring problem: The colouring problem becomes a physics problem if one considers the colors as spins with a strong antiferromagnetic interaction. Using this point of view I found (1989-1991) the first complete explanation of the Beraha conjecture. I pointed out how the Temperley Lieb algebra is related to the chromatic problem, and gave an algebraic reformulation of the four colour conjecture.

TIIEDAVIDANDLUCILEPACKARDFOUNDATION

. 300 SECOND STREET, SUITE 200 . LOS ALTOS, CA 94022 . 415-948-7658

DAVID and LUCILE

PACKARE) FELLOWSHIPS

1991 3a

FOR SCIENCE AND ENGINEERING

Statement by Nominee Name of Nominee

Saleur Hubert M.

-

|ast/first/middle initial

ONGOING RESEARCH AND PROJECTS A. I carry on the parallel study of conformal'field theory, string theory, and two dimensional statistical mechanics. On the practical side, it is time to apply conformal field theory ideas to disordered systems where my paper on antiferromagnetism was a warm up. I think of the 2d spin glass problem and its n=O Ashkin Teller model reformulation, and of the quantum Hall effect whose remarkable arithmetic aspects are reminiscent of quantum group symmetries. Also, I keep investigating geometrical questions, and use recent progress in 2d gravity as a new tool: recently I was so able to solve the lattice animals. I try to extend predictions off criticality to compute experimentally accessible form factors. On the other hand, statistical mechanics systems are one of the only "laboratories" where string theory concepts can be studied. I amnlooking for experimental realizations of N=2 supersymmetry, and have strong indications that polymers should provide one. I study antiferromagnetic systems coupled to gravity, which should provide the first such theories with central charge greater than one. B. I am also interested in the structures and mathematical applications of physics problems. My work makes possible the connections between modern and classical knot theory. The study of the Chern Simons formulation of the Alexander invariant should lead to new three manifolds invariants with a transparent topological meaning. The algebraic reformulation of the planar colouring problem puts the latter in a new framework. It opens the possibility of proving the Beraha or the four colour conjectures, and of understanding the properties of chromatic polynomials. Many other topics will appear in the near future as one is clearly witnessing the birth of a new field of knowledge. I am especially excited by obtaining non perturbative results for concrete systems, and by using physics to approach unsolved math problems. Yale presents very favorable opportunities for this field. Since I moved here from France, I have been contacted by students, postdocs, and more senior scientists who are interested in visits and collaborations. All conditions are present to develop a strong and active group, but it is difficult to get adequate funding for such an interdisciplinary field. The help of a Packard fellowship would therefore be extremely useful. We could use at their best the competences already present, attract junior as well as respected experts, and hopefully solve some of the above problems, which would be an important advance in physics and or in mathematics.

Signature

-

A1

name

TIIEDAVIDANDLUCILEPACKARDFOUNDATION

date

4

-300 SECOND STREET, SUITE 200 * LOS ALTOS, CA 94022 . 415-948-7658

DAVID and LUCILE

PACKARD FELLOWS HIPS

1991 4

FOR SCIENCE AND ENGINEERING

Curriculum Vitae of the Nominee last/first/middle initial Name of Nominee

Saleur

Hubert M.

(203) 432-3654 telephone (include area code)

norne Department

Physics Department narne

Sponsoring institution

Yale University number and street

Address

21.7 Prospect Street city and state/zip code

New Haven,

CT

06511

date and place of birth

12/28/1960

Aix (France)

inslitit ion

Education (begin with baccalaureate).

Ecole Normale

Superieure

(Paris) field

degree and year conferred

Degree of ENS

Math (Head of List)

1982

institution

Ecole Normale Superieure

(Paris)

degree and year conferred

feld

Agregation de Physique

1984

(Head of List)

Physics

institution

Paris VI University degree and year conferred

Ph.D. Positions held (begin with present position).

field

Theoretical Physics

1987

(Best mention available)

employer

Yale University address

217 Prospect Street,

New Haven,

CT

06511 dates (mo/dy/yr)

title

Associate Professor

(non tenured)

1/1/91

employer

Centre National de la Recherche Scientifique address

France

Cen Saclay F-91191 Gif Sur Yvette

dotes (mo/dy/yr)

title

Research Associate

9/1/86 - 1/9/90

employer

Ecole Normale Superieure address

24 Rue Lhomond title

Graduate Student

75231

Paris France dates (mo/dy/yr)

9/1/85 - 9/1/86

TIE DAVID ANDLUCILEPACKARD FOUNDATION * 300 SECOND STREET, SUITE 200 * LOS ALTOS, CA 94022 * 415-948-7 658

DAVID and LUCILE

PACKARD FELLOWSHIPS

1991

FOR SCIENCE AND ENGINEERING

4a

Curriculum Vitae (continued) Name of Nominee

Saleur

Hubert M.

last/first/middle initial

Other

Invited speaker at more than 20 conferences and workshops. Among the most recent ones: ifConformal field theory and related topics" August -

ITP Santa Barbara,

December 1990

"Quantum groups in field theory and superconductivity" Coma, Italy

July 1991

"Infinite analysis"

Kyoto, Japan

June - August 1991

Associate Editor, "Knot theory and its ramifications" World Scientific Honors

Prize Winner of the French Academy of Sciences for "Progress in two dimensional phenomena and applications to polymer physics"

1987

Medal of CNRS, Theoretical Physics

TIIEDAVIDANDLUCILEPACKARDFOUNDATION

1988

* 300 SECOND STREET, SUITE 200 - LOS ALTOS, CA 94022

X

415-948-7658

i DAVID and LUCILE

PACKARD FELLOWSHIPS

1991

FOR SCIENCE AND ENGINEERING

I

4b

List of Publications Name of Nominee

-

SALEUR, Hubert M.

last/first/middle initial

I:

iI

rl

Publications Instructions

Ust only complete articles published or in press. Do not list presentations or abstracts. Use additional sheets if necessary.

1.

"A combination of Monte carlo and transfer matrix methods to study 2d and 3d percolation," H. Saleur and B. Derrida, J. Physique 46, 1043 (1985).

2.

"F model type phase transition in the 2d Flory model of polymer melting," J. Phys. A19, 2409 (1986).

3.

"Collapse of two dimensional linear polymers: a transfer matrix calculation of the exponent vt," J. Phys. A18, L1075 (1985).

4.

'Transfer matrix calculation of the exponent y for two dimensional self-avoiding walks," H. Saleur and B. Derrida, J. StaL Phys. 44, 225 (1986).

5.

"Collapse of two dimensional linear polymers," H. Saleur, J. Stat. Phy. 45, 419 (1986).

6.

"Conformal invariance for polymers and percolation," H. Saleur, J. Phys. A20, 455 (1987).

7.

"Conformal invariance for non unitary 2d models," C. Itzykson, H. Saleur and J.B. Zuber, Europhys. Lett. 2, 91 (1986).

8.

"Percolation in strongly correlated systems," J. Lebowitz and H. Saleur, Physica A138, 194 (1986).

9.

"New exact critical exponents for 2d self avoiding walks," H. Saleur, J. Phys. A19, L807 (1986).

10. "Exact surface and wedge exponents for 2d self avoiding walks," B. Duplantier and H. Saleur, Phys. Rev. Lett. 57, 3179 (1986). 11. "Magnetic properties of the 2d n=) vector model," H. Saleur, Phys. Rev. B35, 3657 (1987).

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12. "Exact determination of the percolation hull exponent in 2d," H. Saleur and B. Duplantier, Phys. Rev. Lett. 58, 2325 (1987). 13. "Modular invariance in non minimal 2d conformal theories," P. DiFrancesco, H. Saleur and J.B. Zuber, Nucl. Phys. B285, 454 (1987). 14. Two dimensional field theories close to criticality," H. Saleur and C. Itzykson, J. Stat. Phys. 48, 449 (1987). 15. "Relations between the Coulomb gas picture and conformal invariance of 2d critical models," P. DiFrancesco, H. Saleur and J.B. Zuber, J. Stat. Phys. 49, 57 (1987). 16. "Partition functions of the 2d ashkin Teller model on the critical line," H. Saleur, J. Phys. A20, Li 127 (1987). 17. "Exact critical properties of 2d dense self avoiding walks," B. Duplantier and H. Saleur, Nucl. Phys. B290, 291 (1987). 18. "Exact tricritical exponents for polymers at the theta point in 2d," B. Duplantier and H. Saleur, Phys. Rev. Lett. 59, 539 (1987). 19. "Correlation functions of the critical Ising model on a torus," P. DiFrancesco, H. Saleur and J.B. Zuber, Europhys. Lett. 5, 95 (1988). 20. "Critical Ising correlation functions in the plane and on the torus," P. DiFrancesco, H. Saleur and J.B. Zuber, Nucl. Phys. B290, 527 (1987). 21. "Correlation functions of the critical Ashkin-Teller model," H. Saleur, J. Stat. Phys. 50, 475 (1988). 22. "Winding angle distribution for 2d self-avoiding walks from conformal invariance," B. Duplantier and H. Saleur, Phys. Rev. Lett. 60, 2343 (1988). 23. "Generalized Coulomb gas formalism for 2d critical models based on SU(2) coset construction," P. DiFrancesco, H. Saleur and J.B. Zuber, Nucl. Phys. B300, 393 (1988). 24. "Off critical integrable vertex models and conformal theories in finite geometries," H. Saleur, J. Phys. A22, L41 (1988). 25. "Symmetry of the XXZ chain and quantum SU(2)," V. Pasquier and H. Saleur, in Fields, Strings and CriticalPhenomena, Ecole d'ete de Physique Theorique, Session XLIX, Les Houches, (1988).

26. "On some relations between local height probabilities and conformal invariance," H. Saleur and M. Bauer, Nucl. Phys. B320, 591 (1989). 27. "Stability of the polymer theta point in 2d," B. Duplantier and H. Saleur, Phys. Rev. Lett. 62, 1368 (1989). 28. "The 2d Ising model in a magnetic field. a numerical check of Zamolodchikov's conjecture," M. Henkel and H. Saleur, J. Phys. A22, L513 (1989). 29. "Universal distance ratios for 2d polymers," J.L. Cardy and H. Saleur, J. Phys. A22, L601 (1989). 30. "Exact fractal dimension of 2d Ising clusters," B. Duplantier and H. Saleur, Phys. Rev. Lett. 63, 2536 (1989). 31.. "Virasoro and Temperley Lieb algebras," H. Saleur, in Knots, Topology and Quantum Field Theory, Firenze (1989). 32. "Symmetries of the XX chain and applications," H. Saleur, in Trieste conference on Recent developrrents in ConformalField Theories (1989). 33. "Common structures between finite systems and conformal field theories through quantum groups," V. Pasquier and H. Saleur, Nucl. Phys. B330, 523 (1990). 34. "Remarks on the mass spectrum of non-critical coset models from Toda theories," M. Henkel and H. Saleur, J. Phys. A23, 791 (1990). 35. "Quantum osp(l/2) and solutions of the graded Yang-Baxter equation," H. Saleur, Nucl. Phys. B336, 363 (1990). 36. "Zeroes of chromatic polynomials: a new approach to Beraha conjecture using quantum groups," H. Saleur, Comm. Math. Phys. 132, 657 (1990). 37. "Level rank duality in quantum groups," H. Saleur and D. Altschuler, Nucl. Phys. B (1991), to appear. 38. "Level rank duality in non-unitary coset theories," D. Altschuler, M. Bauer and H. Saleur, J. Phys. A23, L789 (1990). 39. "Free ferrrions and the Conway Alexander Polynomial," L. Kauffman and H. Saleur, Comm. Math. Phys. (1991), to appear. 40. "The antiferromagnetic Potts model in two dimensions: Berker Kadanoff phases, antiferromagnetic transition and the role of Beraha numbers," H. Saleur, Nucl. Phys. B (1991), to appear.

41. "c=l-6(n-l)2 /n theories coupled to gravity: their possible lattice models realizations," H. Saleur, J. Mod. Phys. A (1991), to appear. 42. "Conjectured exact values of the 2d animals exponents from coupling to gravity, B. Duplantier, I. Kostov and H. Saleur, preprint. 43. "Grassman integration, the Alexander Conway polynomial, and a new two variable knot invariant in thickened surfaces," F. Jaeger, L. Kauffman and H. Saleur, preprint. 44. "An algebraic approach to the planar colouring problem," L. Kauffman and H. Saleur, preprinL 45. "Quantum field theory for the Alexander polynomial," L. Rozansky and H. Saleur, preprint.

DAVID and LUCILE

PACKARD FELLOWSHIPS

1991 3a

FOR SCIENCE AND ENGINEERING

Statement by Nominee Name of Nominee

],r

1ost/tirsI/maie rlii)tio

ics.

C

would not cause polyrner conformation change. This raises the important and challenging question concerning the mechanism by which polymers stretch in disordered flow fields. Using the techniques of modern non-equilibrium statistical mechanics we have demonstrated that the hydrodynamicfluctuations create polymer configuration changes that can induce a coil-stretch transition, Le. a transition where a large fraction of the polymers are highly stretched. This discovery is quite important since it has allowed us to develop "strong flow criteria" for a general class of stochastic flows and understand several apparently unrelated phenomena including large polymer stretch in turbulent flow fields. We are now pursuing detailed experimental measurements of polymer configuration change in disordered fiber beds using optical methods (birefringence) and examining whether the molecular structure of the polymer makes a qualitative difference in these phenomena. Our findings will have considerable impact on the general understanding of polymer conformation change in stochastic flows and on our understanding of how characteristics of the macroscopic flow derive from a close coupling between hydrodynamic fluctuations and polymer conformation. I can only briefly describe my two remaining areas of research activity in this statement These areas are no less important to my research program and I trust that my series of publications will indicate my activities and continuing interest I have an ongoing program in the understanding of transport in suspensions and composites of highly anisotropic inclusions such as fibers or disks. It is well-known that the addition of only a small volume fraction of such material can dramatically change the effective properties of a matrix. However, there is only the most rudimentary understanding of how this occurs and how the effective transport coefficients scale with volume fraction beyond the most dilute dispersions. In addition, many practical situations (e.g. heat conduction from circuit boards) require an understanding of transport on scales comparable to the inclusions themselves. Under these circumstances the idea of a "bulk" or "effective" transport tensor is not useful and thus a basic tool in the description of these materials is lost. In these thin boundary or interfacial regions the flux of a transport quantity may change by one or two orders of magnitude in a few particle lengths ! We have developed both statistical mechanical theories and large scale computer simulations which describe transport in these "non-local" regions . Finally, I have a research effort with the goal of understanding key transport problems in plasma reactive ion etching and deposition. Many "dry etching" processes in use today, involve the evolution of a profile on the micron or sub-micron scale where surface migration processes such as diffusion or re-emission play a clear and qualitative role in the development of the ultimate feature. A simple but technologically critical example of this phenomena is the "undercut" (i.e. sidewall etching) of a silicon trench during plasma processing. These surface migration mechanisms and their effect on profile evolution are poorly understood and typically treated by ad hoc empirical models. We have developed a theory to predict the evolution of these profiles including surface re-emission and have combined this with etching experiments to probe the physics of these processes. At the present time, I advise a Ph. D. graduate student working in each of these areas listed above. We are particularly excited about our discoveries of the physical principles governing elastically-driven instabilities during flow and the idea that hydrodynamic fluctuations in stochastic fields can create large polymer configuration changes. I intend to use the monies from the Packard Fellowship to continue to develop my research effort, not only to make new scientific discoveries but also to educate and mentor students at the Ph. D. level. I particularly enjoy working closely with my students toward the advancement of fundamental science. The Packard award will help immeasurably in creating an environment in which to do so. / _ Signature SiDC

/

Al

.300 S C N

S

E

S T 200

L

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TJE DAVID AND LUCILE PACKARD FOlNDATION .300 SEC ON DST REET, SUITE 200 - LOS ALTOS, CA 94022 . 4 15-94S

76 58

VID and LUCRLE

A\CKARD FELLOWS

HIPS -

1991

OR SCIENCE AND ENGINEERING

3

statement by Nominee Name of Nominee jSponsoring institution

shaqf~eb Fricr S C last/fIrst/middle initial Smtanford University

.

In applying for the David and Lucile Packard Fellowship, I am seekin my professional life and whose work represents the focus of my r contributions to fundamental knowledge in applied science and enginee mentor extremely bright, energetic and motivated graduate students. In very fulfilled in advising these students toward research accomplishme the scientific community. I am applying for this Fellowship at a cru good graduate students and the flexible funding represented by the Fell as well as exploratory research into other exciting areas of fundamenta experimental and theoretical components. I hope to use this Fellowst components in my ongoing investigation of fundamental scientific meA

to support a research group which is the center of )fessional energies. Our goal is to make lasting ng. This opportunity also allows me to educate and fly brief tenure as an assistant professor, I have felt S which are already having a significant impact on al time: I have been successful in attracting very ship will allow a continuation of our current work science. My research program requires both strong to maintain a strong, healthy blend of these two anisms.

My current research focuses on four different areas of non-classical ti materials. The first is the study of flows which are well-behaved ant common fluids such as water and air ) but become unstable and demons when the fluid is non-Newtonian. We are most concerned with viscoe found in the processing of plastics. These viscoelastic instabilities ca including polymer extrusion, coating and injection molding. The inst not related to the fluid inertia, as are most instabilities in isothermal phenomena that are poorly understood. Before our work, little was Ic polymeric stresses in these fluids cause a fluctuation to grow and the f level of understanding is the lack of detailed theory and experiment geometries. However, we have been very successful in understandin simple flow geometries: Taylor-Couette, Dean, and Taylor-Dean flo' theoretically that there exist elastically-driven instabilities in these flo1 two different mechanisms by which elasticity provides a means of tra fluctuation. The consequences of these findings are truly fascinating instabilities that parallels the more common inertial instabilities a rheology plays the primary role in driving flow bifurcation. The tools analysis, flow visualization, and laser Doppler velocimetrY of the floA computational techniques (spectral and pseudo-sPectral techniques) complex dynamics of these flows. We have already witnessed both osc with the simultaneous existence of travelling and stationary modes. N global bifurcation phenomena, opening the possibility that the non-J state. Studying the onset of "elastic turbulence" in the absence offlui be a central focus of my continuing research .

nsport science related to the modern processing of stable when the flowing fluid is Newtonian ( e.g. ate sudden flow bifurcations and/or time periodicity stic fluids (e.g. polymer solutions and melts) often have a disastrous effect on a number of processes ilities occur under "slow flow" conditions and are Newtonian flows. Thus, they involve new physical )wn about the mechanisms by which the elastic or ,w to evolve to a new state. One reason for this low involving these instabilities in well-characterized a broad class of these instabilities which occur in s. We have demonstrated both experimentally and ; in the absence of fluid inertia. We have elucidated ;ferring energy from the mean flow to any external It would appear that there exists a class of elastic d in which the non-linear and history-dependent this investigation have consisted of classical linear lelds in transition. We are now applying large scale -d modern non-linear systems theory to probe the latory (Hopf) bifurcation and stationary bifurcation, believe that these flows exhibit both multiple and ear rheology might drive these flows to a chaotic inertiaand the structure of the resulting flows will

In my second area of interest, we study the problem of polymer confor or spheres. It is well known that in flow through porous media, po] resulting in a concomitant large increase in the pressure drop. Such schemes and in the molding of continuous fiber composites. Usir experimentally that this also occurs in very dilute fiber beds (2.5% by to the characteristic dimensions of the polymers. In all of these phen 9

ation in flow through disordered fixed beds of fibers mers can achieve a highly stretched configuration henomena are important in secondary oil recovery modern optical methods, we have demonstrated )lume) where the pore sizes are enormous compared Lena the mean flow is constant, and thus, by itself,

TIE DAVID AND LUCILE PACKARD FOUNDATION * 3 0 0 SECOND

STREET,

UITE 200 - LOS ALTOS, CA 94022 * 415-948-7658

I

DAVID and LUCILE

; PACKARD FELLOWSHIPS

1991 4

FOR SCIENCE AND ENGINEERING

Curriculum Vitae of the Nominee lost/first/middle initial Name of Nominee

Shagfeh

-

(L

Fr~c S

5) 793-37S.4 telephone (include area code)

narne Chemical Engineering

Deportment norne

Stanford University

Sponsoring institution

number and street

Stanford, CA 94305-5025

Address

crty and state/zip code November 23, 1959; date and place of birth

Pennsylvania

Pottsville,

institution Education (begin with baccalaureate).

Princt on

degree and year conferred

enivcrsity

field Chemical Enginepring

Bachelor of Science, 1981 institution Stfnfnrd degree and year conferred

tynivprg; v

field

Chemical Engineering

Master of Science, 1982 institution Stanfnrr1 T~iri degree and year conferred

-

t-y

field

Doctor of Philosophy, Positions held (begin with present position).

1986

Chemical Engineering

employer

Stanford University address

Chemical Engineering Dept,

-

Stanford,

CA 94305-5025 dates (mo/dy/yr)

title

1/90 to present

Assistant Professor employer AT&T

RP1 1 T~ahraories

address

600 Mountain Avenue, Murray Hill, N.J. 07974 dates (mo/dy/yr)

title

Research Engineer

1/87 to 1/90

employer Applied matbhrmtir'n Anmd Theoretical Physics - Univ. of Cambridge, Silver St., Cambridge CB3 9EW, England NATO Fellowship-

in

Ragir1nrp

Dhpl-

address tite

dates (mo/ldy/yr)

NATO Postdoctoral Fellow TIIEDAVIDANDLUCIIEPACKARDFOUJNDATION

3/86 to 12/86

- 300 SECOND STREET, SUITE 200 . LOS ALTOS, CA 94022 . 415.948-7658

DAVID and LUCILE

PACKARD FELLOWSHIPS

1991

4a

FOR SCIENCE AND ENGINEERING

Curriculum Vitae (continued) Name of Nominee

Other

q'hnn fo'h

r,;

iost/first/middile inificl

,

Q r

-

Stanford University, Chemical

Engineering

DepartmPnt

9/82 to 6/83

Graduate Student Research Assistant

Shell Dev. Co., Westhollow Research Center, Houston, TX Summer 1981

Research Engineer

DuPont Chemical Co.,

Experimental Station,

Wilmington, DE

Summer 1980

Research Engineer

Honors

Electedi B.S.,

Phi

Retpf

Summa Cum Laude,

Xerox Award for

Tani

Kapn

Rpt

Princeton University,

1981

the Best Undergraduate Chpmiral

Thesis. Princeton University. Teaching Asst.

Pi

of the Year,

NATO Postdoctoral

Fellowship

Wnginepring

1981

Chemical EnginePring, Stanford (stiidy at

rnmhiriege,

1982

186

Fnglandr)

Francois N. Frenkiel Award 1989, Div. Fluid Dynamics, American Physical Society National Science Foundation Presidential Young Investigator Award, 1990 to present

TIIEDAVIDANDLUCILE PACKARDFOUNDATION .300 SECOND STREET, SUITE 200 - LOS ALTOS, CA 94022

* 415-948

76S8

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PACKARD FELLOWSHIPS

1991 4b

FOR SCIENCE AND ENGINEERING

List of Publications Name of Nominee

Shapfeh, Eric S.G. last/first/middle initial

Publications Instructions

Ust only complete articles published or in press. Do not list presentations or abstracts. Use additional sheets if necessary.

1. Prud'homme, R.K. and Shaqfeh, E.S.G., "Effect of Elasticity on the Mixing Torque Requirements for Rushton Turbine Impellers", AJ.ChE. J. 30, 485, (1984) 2. Shaqfeh, E.S.G. and Acrivos, A., "The Effects of Inertia on the Buoyancy-Driven Convection Flow in Settling Vessels Having Inclined Walls", Phys-Fluids 29, 3935, (1986) 3. Shaqfeh, E.S.G. and Acrivos, A., "The Effects of Inertia on the Stability ofthe Convective Flow in Inclined Particle Settlers", Phys. Fluids 30, 960, (1987) 4. Shaqfeh, E.S.G. and Acrivos, A., "Enhanced Sedimentation in Vessels with Inclined Walls: Experimental Observations", Phys. Fluids 30, 1905, (1987) 5. Shaqfeh, E.S.G. and Koch, D. L., "The Effects of Hydrodynamic Interactions on the Orientation of Axisymmetric Particles Flowing Through a Fixed Bed of Spheres or Fibers",Phys.Fluids 31, 728 (1988) 6. Shaqfeh, E.S.G. and Koch, D. L., "The Combined Effects of Hydrodynamic Interactions and Brownian Motion on the Orientation of Axisymmetric Particles Flowing Through Fixed Beds", Phys. Fluids 31, 2769 (1988) 7. Acrivos, A. and Shaqfeh, E.S.G., "The Effective Thermal Conductivity and Elongational Viscosity of a NonDilute Suspension of Aligned Slender Rods", Phys. Fluids 31, 1841 (1988) 8. Shaqfeh, E.S.G., "A Non-Local Theory for the Heat Transport in Composites Containing Highly Conducting Fibrous Inclusions", Phys. Fluids31, 2405 (1988) 9. Shaqfeh, E.S.G., Larson, R.G., and Fredrickson, G.H., "The Stability of a Falling Viscoelastic Film at Low to Moderate Reynolds Numbers", J. Non-Newtonian Fluid Mech. 31, 87 (1989) 10. Koch, D.L. and Shaqfeh, E.S.G., "The Instability of a Dispersion of Sedimenting Spheroids", J. Fluid Mech. 209, 521 (1989) 11. Jurgensen, C.W. and Shaqfeh, E.S.G., "Nonlocal Transport Models of the Self-Consistent Potential Distribution in a Plasma Sheath with Charge Transfer Collisions", J. Appl. Phys. 64, 6200 (1988) 12. Fredrickson, G. H. and Shaqfeh, E.S.G., "Heat and Mass Transport in Composites of Aligned Slender Fibers", Phys. Fluids A 1(1), 3 (1989) (Over) TIIEDAVIDANDLUCILEPACKARDFOUN1DATION

.300

SECOND STREET, SUITE200

- LOS ALTOS, CA 94022 * 415-94.-7658

DAVID and LUCILE

PACKARD FELLOWSHIPS FOR SCIENCE AND ENGINEERING

List of Publications Name of Nominee

Shaafeh. Eric S.G. I

lost/;frstImiddle initial

13. Shaqfeh, E.S.G. and Jurgensen, C.W., "Simulation of Reactive Ion Etching Pattern Transfer", J. Appl. Phys. 66(10), 4664 (1989) 14. Jurgensen, C. W. and Shaqfeh, E.S.G., "Simulation of Etching Profiles and Process Latitudes for the 02 Reactive Ion Etching Pattern Transfer Step in Multilevel Lithography", SPIE Proceedings Vol. 1086-16, "Advances in Resist Technology and Processing VI", (1989) 15. Jurgensen, C. W. and Shaqifeh. E.S.G., "Factors Controlling the Etching Rate and Process Latitudes of the 02 Reactive Ion Etching Pattern Transfer Step in Multilevel Lithography", Polymer Eng. Sci. 29(13), 878 (1989) 16. Jurgensen, C. W. and Shaqfeh, E. S. G. "A Kinetic Theory of Bombardment-Induced Interface Evolution", J. Vac. Sci. Tech. B 7(6), 1488 (1989) 17. Jurgensen, C. W. and Shaqfeh, E. S. G. "Application of the Kinetic Theory of Bombardment-Induced Interface Evolution to the Pattern Transfer Step in Multi-Layer Lithography", SPIE Proceeding Vol. 1185, "Dry Processingfor SusbmicrometerLithography", (1989)

18. Shaqfeh, E.S.G. and G. H. Fredrickson, "The Hydrodynamic Stress in a Suspension of Rods", Phys. Fluids A 2(1), 7 (1990) 19. Muller, S. J., R. G. Larson, and E.S.G. Shaqfeh, "A Purely Elastic Transition in Taylor-Couette Flow", Rheol. Acta 28, 499 (1989) 20. Larson R. G., E.S.G. Shaqfeh. and S. J. Muller, 'A Purely Elastic Instability in Taylor-Couette Flow", J. Fluid Mech. 218, 573-600 (1990) 21. Shaqfeh, E.S.G. and DL. Koch, "Oriencational Dispersion of Fibers in Extensional Flows", Phys. Fluids A 2(7), 1077 (1990) 22. Jurgensen, C. W., A. E. Novemibre, and E. S. G. Shaqfeh, "The Effect of Mask Erosion on Process Latitudes in Bi-Iayer Lithography", SPE Proceedings VoL 1262-11 "Microlithography", (1990) 23. Frattini, P.L., E.S.G. Shaqfeh, J. L. Levy, and D. L. Koch, "Observations of Axisymmetric Tracer Particle Orientation During Flow Through a Dilute Fixed Bed of Fibers", Phys. Fluids A, (accepted January 1990) 24. Koch, D. L. and E.S.G. Shaqfeh, "The Average Rotation Rate of a Fiber in the Linear Flow of a SemiDilute Suspension", Phys. Fluids A 2(12), 2093 (1990) 25. Shaqfeh, E.S.G., S. J. Muller, and R.G. Larson, "The Effects of FVnite Gap and Dilute Solutions Properties on the Viscoelastic Instability in Taylor-Couette Flow", J. FluidMech. (submitted and under review November. 1990) 26. Joo, Y. L. and E.S.G. Shafeh, "Viscoelastic Poiseuille Flow Through a Curved Channel: A New Elastic

1991 4c

DAVID and LUCILE

PACKARD FELLOWSHIPS

1991 3

FOR SCIENCE AND ENGINEERING

Statement by Nominee Name of Nominee Sponsoring institute

TAI, YU-CHONG

lost/first/middle initial

California Institute of Technology

narne

The advancement from electronics to microelectronics has revolutionized our world over the past several decades. Today, we are beginning to see, a similar advancement from conventional mechanics to micromechanics, which i beheve will be another revolution. Recently, microelectromechanical engineering has been emphasized by the National Science Fundation as thc emerging technoiogy because of its great potential for improving current narcromechanical systems and realizirto ncw products never considered before. This is all because the important new technology, surface micromachining, has been developec (piease refer to LIST OF PUBLICATIONS [8,12]). Today, micromechanical components measured in micrometers can te routinely fabricated with unheralded precision control of sub-micron dimensions using IC processes. in addition Lo cantiie,-rs, bridges, and diapragmrs, these micromechanical components include crucial mechanical parts such as pin joints, gears, sliders, alid cranks. Moreover, active microelectromechanical micromotors that can be used to power these structures have also been successfully developed [5,6,7] that we are seeing the beginning of a new world of micromachinies. What is surface. rnic,-omachining that makes all these possible? Surface micromachining refers to the sculpting of thin structural layers deposited on sacrificial layers that are later removed so that free-stanoing or completely released micromecharacal structures can be formed on the surface of a substrate. Foi example, shown in figures are a polysilicon electrostatic m:cromotor [4-j, 60 SIm in radius, and a slider-gear-spring combination machine [8].

The exciting facts about the invention of micromachining are. many. First, micromachining borrows all thc. wonderful Prrxsses from microelectronics that no big initial expense is needed to develop technology. This also means micromachining can hib; quickly learned and widely spread in this nation, hence causing accelerated advancement and fruitful result; Second, *icromachining has already opened many new avenues for science studies such as microtribolcgy and microfluid dynamics because we now are capable of making miniature structures that were never possible betore. Third, it is becoming clear that micromachining technology can have process compatibility with microelectronics that combining both would produce devices With improving size, weight, cost, power consumption, accuracy, reliability, etc. For example, integrated intelligenta acceleroenetcrs, if available, will immediately be used in automobiles for air-bag and anti-lock brake systems. Finally. the applicaLJons (If micromachining cover almost all branches ot science and engineering such as physics. hemistr,. material sciznczs, biology, medicine, electrical engineer ing, and mechanical engineering. It is a fact that every one can benefa. TIIEDAVIDANDLUCILEPACKARDFOUNDATION

.300 SECOND STREET, SUITE 200

*

LOS ALTOS, CA 94022 * 415-948-7658

DAVID and LUCILE

PACKARD FELLOWSHIPS I

1991 3a

FOR SCIENCE AND ENGINEERING

Statement by Nominee Name of Nominee

TAI,

YU-CHONG

last/first/middle Initial

However, micrornachining is still in its beginning phase that a lot of study and development need to be done. It is, therefore, my ultimate goal to continue my research on micromachining. My research plans include: (1) building the nation's first real micromachining laboratory. Although there are many good university labs, none of them is a real micromachining lab. Tnstead, they are all microelectronics labs. Use ot these labs fur micromachining is strictly limited because of contamnination concerns. My goal of building a true micromachining lab at Caltech is under way. Currently, the class-l10 cleanroom space is finished. Major equipment in the lab such as LPCVD reactors, diffusion furnaces, a PECVD reactor, an evaporator, a plasma etcher, an RIE etcher, a CCA stepper, and many analryical equipment are under installation. (2) studying the science base of micromechaniies including microtrihology and mnicrofluid dynamics. Since a large surface-to-vclume ratio is a unique feature for micromechanical structures, surface physics and chemistry are expected to play major roles in their fabrication and application. Unfortunately, so far little is known in these prospects in the new fields of micromechanics. (3) exploring various new materials for micromechanics. Since IC materials were first applied to micromechanics, most structural and sacrificial materials used so far have been limited to polysilicon, silicon nitride, and silicon dioxide. Most likely, however, these conventional IC materials won't meet all the requirements for mechanical applications. With the true micromachining lab at Caltech, I will be able to explore more thin-fim materials such as metal, alloys, diamond, and aluminum oxide. (4) developing alternative actuating mechanisms besides electrostatic actuation. Electrostatic actuation has been and sill will be the focus of my research. However, I also plan to explore many other alternatives. For example, pneumatic actuation may deliver much larger driving force. lhermal and piezoelectric actuations could provide high-precision servo cortrols. (5) developing micro-transmission for power transfer. Transmission mechanisms are indispensable for micrornechanics but so far nothing has been done on this yet. It actually may turn out to be the key issue for micromechanics since tradeoff be.ween force, displacement, and friction will need to be optimized for each and every application. For example, my present research on tre gearing-transmission design for my micromotors emphasizes a lot on small gear ratios to overcome friction. (6) developing integrated micromechanical sensors and actuators. Integrated micromechanical sensors have a very bright future because a lot of them may need only cantilever structures that are without mechanical contact, hence friction problems. For examplc, free-standing sensors currently under study include integrated accelerometers using tunneling-current sensing scheme, IR sensors with low thermal mass, and microflow sensors. As for actuators, my current research interests include hghh-precisioii microsurgical tools ard high-speed micro-optical shutters. If reiving the Packard Fellowship, I will first use the Award to better equip the Caltech Micromachining Lab that; ani building now. There are many equipment that are crucial for the study of nicromechanics and advancement of technol ogy. For example, a high-speed Kodak video camera (-$100k) would facilitate studies of microdynamrics of microactuators. A sputtering machine C$60k) will allow the deposition of numerous micromechanical materials such as tungsten, zinc oxide. 580k) will be needed for tne design of aluminum oxide, etc. A computer system with finite-element simulation softwares C micromechanical devices. Since the Lab is a sharing lab, the Fellowship will benefit all the researchers who need a real micromachining lab. For example, present projects at Caltech that will use the micromachining lab are micromachined submillimeter wave guide, microsurgical tools, micromechanical high-frequency tuner, and micromachined neuron proves. The scientists involved in the Micromachining Lab are already from many disciplines such as biology, physics, mechanical engineering, eecuicai engineering, and material sciences. I will then use the rest fellowship to support students -o pursue their education and research on micromachining.

Signature

l

]

/

m~sdate

date

THEDAVIDANDLUCILEPACKARD FOUNDATION .300 SECOND STREET, SUITE 200 . LOS ALTOS, CA 94022 - 415.94S.765S

DAVID and LUCILE

PACKARD FELLOWSHIPS

1991 4

FOR SCIENCE AND ENGINEERING

Curriculum Vitae of the Nominee lost/lirst/middle initial

Name of Nominee

TAI, YU-CHONG

(818) 356-8317

name

Department

telephone (include area code)

Electrical Engineering name

Sponsoring institution

California Institute of Technology (Caltech) number and street

Address

1201 E. California Blvd., MS 116-81 city and state/zip code

Pasadena, CA 91125 date andplace of birth

5/28/59

Taipei, Taiwan

institution

Education (begin with baccalaureate).

National Taiwan University, Taiwan degree and year conferred

field

B.S. 1981

Electrical Engineering

institution

University of California, Berkeley degree and year conferred

I

field

M.S. 1986

EECS

insfiLution

University of California, Berkeley degree and year conferred

field

Ph.D. 1989 Positions held (begin with present position).

EECS

employer

California Institute of Technology address

Department of Electrical Engineering, MS 116-81, Pasadena,CA 91125 title

dates (mo/dy/yr)

Assistant Professor

September 1989

employer

University of California, Berkeley address

Berkeley, CA 94720 title

dates (mo/dy!yr)

Instructor

January 1989

employer address title

TIIEDAVIDANDLUCILEPACKARDFFOUNDATION

dates (mo/dy/yr)

* 300 SECONDSTREET, SUITE200

.

L OS ALTOS, CA

94022 *

415-94X

7658

DAVID and LUCILE

PACKARD FELLOWSHIPS

1991

FOR SCIENCE AND ENGINEERING

4a

Curriculum Vitae (continued) Name of Nominee

TAI, YU-CHONG lost/first/middle initial

Other

Presidential Young Investiqator Award, NSF 1991-1996

Honors

Earnest C. Watson Lecturer, California Institute of Technology, Spring 1990 David J. Sakrison Memorial Prize. Dept. of EECS. U.C.Berkeley, in recognition of outstanding & innovative research by a student in the department, 1989. IBM Fellowship, U.S. Berkeley, 1988-1989

-

Ross N. Tucker, AIME Electronics Material Award, in recognition excelIence in sem iconductor material suauy, I Oe/ . Non-resident Tuition Scholarships, U.S. Berkeley, 1984-1987

-ur

TIIEDAVIDANDI,UCILEPACKARDFOUNDATION

. 300 SECOND STREET, SUITE 200 - LOS ALTOS, CA 94022 * 415.948.7658

DAVID and LUCILE

PACKARD FELLOWSHIPS

1991

FOR SCIENCE AND ENGINEERING

4b

List of Publications Name of Nominee

Publications instructions

[1]

[2] [3]

TA], YU-CHONG

lost/first/middle initial

ist only complete articles published or in press. Do not list presentations or abstracts. Use additional sheets if necessary.

Y.C. Tai and R.S. Muller, "Measurement of Young's Modulus on Microfabricated Structures Using a Surface Profiler," Proceedings of 1990 IEEE Micro Electro Mechanical Systems Workshop, pp. 147152, Napa Valley, California, Feb. 1144, 1990. Y.C. Tai and RS. Muller, 'Frictional Study of IC-processed Micromotors," Sensors and Actuators, Vol. A21-A23, pp. 180-183, 1990. Y.C. Tai and R.S. Muller, "Integrated Stylus Force Gauges,' Sensors and Actuators, Vol. A21-A23. pp 410413, 1990.

[4] [5] ,6]

C.H. Mastrangelo, Y.C. Tai and R.S. Muller, "Thermophysical Properties of Low-stress, Silicon-rich, LPCVD Silicon Nitride Films," Sensors and Actuators, Vol. A21-A23, pp. 856-860, 1990. Y.C. Tai and R.S. Muller, "IC-processed Electrostatic Synchronous Motor." Sensors and Actuators, Vol. 20, No. 1-2, pp. 49-56, 1989. Y.C. Tai and R.S. Muller, "IC-processed Micromotors: Design, Technology, and Testing," Proczedings of the IEEE Workshop on Micro Electro Mechanical Systems, pp. 1-6, Salt Lake City, Utah, feb. 20-22, 1989.

[7] [8]

L.S. Fan, Y.C. Tai, and R.S. Muller, "IC-processed Electrostatic Micromotors," Tech. Digest, Int. Electron Devices Meet. (IEDM), pp.666-669, San Francisco, California, Dec. 11-14, 1988. L.S. Fan. Y.C. Tai, and R.S. Muller, "Integrated Movable Micromechanical Strictures for Sensors and Actuators," IEEE Trans. on Electron Devices, Vol. ED-35, No.6, pp. 724-730, June 1988.

Y.C. Tai and R.S. Muller, "Lightly-doped Polysilicon Bridges as a Flow Meter," Sens-ors and Actiators, Vol. 15, pp. 63-75, Sep. 1988. (10] Y.C. Tai and RS. Muller, "Fracture Strain of LPCVD Polysilicon." Proceedings of IEEE Solid-State Sensor and Actuator Workshop, pp. 88-91, Hilton Head Island, South Carilina, June 6-9, 1988. [11] Y.C. Tai, ClH. Mastrangelo, and R.S. Muller, "Thermal Conductivity of Heavily Doped LPCVD 44 Polycrystalline films," 1. Appl. Phys. 63 (5), pp.1442-1 7, March 1988. [12] L.S. fan, Y.C. Tai, and R.S. Muller, "Pin Joints, Gears, Springs, Cranks, and Other Novel Micro-nechanical Structures," tech. Digest, TrarLsducers'87, pp. 849-852, Tokyo, Japan, June 2-S, 1987.

[9]

TIIEDAVIDANDLUCILEPACKARDFCOUNDATION

. 300 SECOND STREET, SUITE 200 * LOS ALTOS, CA 94022 * 415-948-7658

DAVID and LUCILE

PACKARD FELLOWSHIPS FOR SCIENCE AND ENGINEERING

1991 3

Statement by Nominee Name of Nominee Sponsonng instituton

Thorp, H. Holden lost/first/middle initial North Carolina State University name

Realization of the selective cleavage of biopolymers is critical in achieving important goals in biochemistry and medicine. Selective cleavage of nucleic acids is of paramount importance in cancer chemotherapy, DNA sequencing, and gene therapy. Similarly, selective cleavage of proteins may help reveal the sequences of large proteins, the functions of protein domains, and the structures of protein receptors. Selective cleavage of both DNA and proteins has been achieved through the synthesis of bifunctional conjugates in which one domain binds to the biomolecule specifically and the other mediates the oxidative cleavage. Recently, efforts have been directed largely at increasing the specificity of the binding function; however, the cleavage reaction itself is clearly worthy of attention as well. Existing cleaving moieties are based on complexes of first-row transition metals that operate by generating highly reactive functionalities such as Feand Cu-oxo species, hydroxyl radical, singlet oxygen, and UV-excited ligand n7ct* states. All of these species are much more highly oxidizing than required to carry out the sugar oxidation necessary for DNA cleavage. In fact, the accepted mechanistic route for Fe-bleomycin DNA cleavage, abstraction of the 4'-hydrogen, is a relatively facile oxidation reaction. Many existing metal-oxo reagents should be capable of catalyzing this reaction. The advantages of a less reactive, coordinatively inert cleaver are clear: In chemotherapy applications, side reactions involving unwanted oxidations of non-nucleic acid cellular constituents can be avoided. In diagnostic applications, directed site-specific cleavage is more likely when the reagent is suited primarily to the reaction of interest. In my research group at N.C. State, we are designing, from the perspective of inorganic oxidation chemists, reagents that oxidize biomolecules thermally, electrocatalytically, and photocatalytically. The mechanistic pathways for protein and DNA oxidative cleavage are becoming apparent, and there is now a unique opportunity for inorganic chemists to design reagents that are particularly suited to a given cleavage reaction. For example, upon examining the mechanism of DNA oxidation by Fe-BLM, it appears that an attractive oxidation pathway would involve concerted hydride transfer, where a ribose carbocation could be formed directly. In this way, oxygen rebound and radical pathways are avoided, and no metal-ligand bonds are broken during the reaction. The complex Rulv(tpy)(bpy)0 2 + reacts with organic substrates via hydride transfer (bpy = 2,2'-bipyridine, tpy = 2,2',2"-terpyridine), and we have recently shown that this complex is an efficient DNA cleavage agent The oxoruthenium(IV) system presents a number of unique opportunities. The cleavage reaction can be performed either stoichiometrically by addition of the Ru(IV) species to DNA or electrocatalytically by controlled potential electrolysis at 0.8 V of the Ru(I)OH2 form in the presence of DNA. The reaction can be monitored by traditional methods probing the fate of DNA by electrophoresis, but more important, electrochemistry and optical spectroscopy can be used to follow the metal center during the cleavage reaction. In fact, this is the only system where rates of DNA oxidation can be measured directly. Under conditions where most of the Ru(1V) is bound, the half-time for the cleavage reaction is under 1 min, and upon completion of the reaction, RuII(tpy)(bpy)OH2 2 + is quantitatively regenerated. The Ru(lI) form is inert toward DNA, and we are studying the binding of the complex to DNA in this redox state. We have prepared a series of complexes that show a range of binding constants and cleavage rates. The synthesis of Ru(IV)O derivatives attached to DNA-binding groups such as acridine and ethidium is also underway. The ability to measure the rate of oxidation directly is particularly useful. Current understanding of mechanistic pathways in DNA cleavage comes from elegant studies involving isotopic labelling and measurement of "kinetic" isotope effects (kH/kD) that are determined indirectly using gel electrophoresis. Accurate determination requires that the off-rate for dissociation of bound drug from the DNA be slower than TIIEDAVIDANDLUCILEPACKARDFOUNDATION

. 300 SECOND STREET, SUITE 200 . LOS ALTOS, CA 94022 . 415.948-7658

DAVID and LUCILE

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1991 3a

FOR SCIENCE AND ENGINEERING

Statement by Nominee Name of Nominee

Thorp, H. Holden lost/first/middle initial

the rate of cleavage, bec ause if the drug stays bound long enough, the nucleotide will be oxidized, regardless of whether H or D abstraction is occurring. Thus, for drugs that bind strongly, isotope effects cannot be determined by electrophoresis. In the Ru(IV)O system, these complications can be avoided by measuring the rate constant for H and D abstraction directly. Furthermore, the Ru(IV)O system has been shown to exhibit particularly large (> 10) H/D isotope effects, which will greatly facilitate these studies. A particularly exciting observation is that oxoruthenium(TV) oxidizes ribonucleotides nearly an order of magnitude faster than 2'-deoxynucleotides, which presents the intriguing possibility that the complex will preferentially oxidize RNA over DNA. This feature may be useful in anti-viral therapy. Further tuning of the reaction rates by inorganic synthesis may yield a complex that is entirely specific for RNA. This complex will be ideal for attachment to anti-sense DNA oligonucleotides capable of cleaving RNA at a single site. We have also obtained promising results in the area of photocleavage. Three important but as yet unrealized goals in photocleavage'are: (1) to use visible light, where background photocleavage does not occur, (2) to photocleave without generating a diffusable intermediate, and (3) to develop a reagent that is catalytic. In the oxidation of organic substrates such as alcohols and hydrocarbons, the excited state of Pt2 (P2 05H2 )4 4 (Pt 2 4 -) is known to abstract two H-atoms to form Pt2 H2 4 -, which absorbs another photon to release H2 and regenerate Pt2 4 -. We have observed that Pt2 4 - cleaves DNA efficiently anaerobically upon irradiation at 454 nm. No cleavage is observed with the catalyst in the dark or upon photolysis in the absence of catalyst Furthermore, the excited-state energy is far too low for a hydroxy radical mechanism. This system is attractive not only in its fulfillment of the three criteria listed above, but also because the complex is a tetraanion, which we have shown does not bind to DNA. This feature may provide a sensitive probe for secondary structures, as with the Fe(EDTA) 2 -/OH. system. Our Pt2 4 - system is more attractive because Pt 2 4 -* will be more discriminating toward the sugar than OH-, and as with Ru(IV)O, we can determine the rate of cleavage directly by Stern-Volmer quenching as well as indirectly by gel electrophoresis. The mechanistic pathways of protein oxidation can be studied with Ru(IV)O and Pt2 4 - as well. Less information is available than for DNA, but the advantages of our systems should provide a special opportunity to study protein cleavage. Initial studies will involve oxidations of small peptides and analogous proteins containing the appropriate residues. Since the complexes are known to oxidize secondary alcohols and substituted hydrocarbons, threonine and isoleucine will be used as starting points. Once the mechanistic pathways are understood, the metal-oxo reagent can be attached to a substrate analog and used to target a specific active-site residue. As with DNA, the attachment of an appropriate oxidizing agent for a given amino acid will permit greater selectivity than known conjugates involving Fe(EDTA) 2 -, which generate the nondiscriminating hydroxyl radical. The funds from the Packard fellowship will be used for salaries, supplies, and equipment. Our current equipment largely provides techniques for physical inorganic chemistry, such as electrochemistry, optical spectroscopy, and time-resolved absorption and emission spectroscopy. All of these techniques are used for studying the oxidation of DNA by our Ru complexes. Continued investigations, however, will require extensive use of chromatography, and equipment for GC-MS and HPLC analysis are particularly needed. Also required are more extensive equipment and supplies for biochemistry, including a high-speed centrifuge and apparatus for high-resolution gel electrophoresis. Signature

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FOR SCIENCE AND ENGINEERING

Curriculum Vitae of the Nominee last/first/middle initial

Name of Nominee

Thorp, H. Holden

(919) 737-2853 telephone (include area code)

name

Deportment

Chemistry name

Sponsoring institution

Box 8204 number and street

Address

kRnleigh,

Nnrrh Cnrnln

276

S

city and state/zip code

August 16, 1964 --

Fayetteville, North Carolina

date and place of birth

4 m

institution

Education (begin with baccalaureate).

University of North Carolina at Chapel Hill degree and year conferred

B.S., 1986

field

Chemistry

institution

California Institute of Technology degree and year conferred

Ph.D.,

1989

field

Inorganic Chemistry

institution degree and year conferred

Positions held (begin with present position).

field

employer

Department of Chemistry, North Carolina State University address

Box 8204. Raleigh, NC 27695 title

Assistant Professor

dates (mo/dy!yr)

1/1/91 - present

employer

Department of Chemistrv, Yale Univergity address

P. 0. Box 6666, New Haven, CT 06511 title

Postdoctoral Associate

dates (mo/dy/yr)

6/2/89 - 12/31/90

employer

Department of Chemistry. California Institute of Technology address

Mail Code 127-72, Pasadena, CA 91125 title

Teaching and Research Assistant

dates (mo/dy!yr)

9/1/86 - 6/1/89

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1991

PACKARD FELLOWSHIPS

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4a

FOR SCIENCE AND ENGINEERING

Curriculum Vitae (continued) Name of Nominee

Thorp,

H. Holden

last/§fst/middle initial

Other

Board of Invited Contributing Scholars,

Chemistry, Harry B. Gray, Ed.,

Chemtracts: Inorganic

Data Trace Publishers,

Inc.,

14

commentaries published. Teaching and Research Assistant, University of North Carolina at Chapel Hill, 9/1/85 - 8/31/86.

Honors

Presidential Young Investigator

(1991)

Camille and Henry Dreyfus New Faculty Award (1990) National Science Foundation Graduate Fellowship E.

G. Rand Scholar (1986).

(1987)

Merck Index Award (1986)

Graduation with Distinction and Highest Honors (1986) Ciba-Geigy Undergraduate Research Fellow (1985) Phi Beta Kappa (1985),

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List of Publications Name of Nominee

Thorp, H. Holden Iast/frst/midale initial

Pubflcations Instructions

Lst only complete articles published or in press. Do not list presentations or abstracts. Use additional sheets if necessary.

1. Electrocatalytic Carbon Dioxide Reduction. B.P. Sullivan, M.R.M. Bruce, T.R. O'Toole, C.M. Bolinger, E. Megehee, H. Thorp, T.J. Meyer ACS Symp. Ser. 1988,363, 52. 2. Electrocatalytic Reduction of CO 2 by Associative Addition. M.R.M. Bruce, E. Megehee, B.P. Sullivan, H. Thorp, T.R. O'Toole, A. Downard, T.J. Meyer Organometallics 1988, 7, 238. 3. Excited-State Properties of Dioxorhenium(V). Generation and Reactivity of Dioxorhenium(VI). H.H. Thorp, J. Van Houten, H.B. Gray Inorg. Chem. 1989, 28,889. 4. Emission Properties of Dioxorhenium(V) Complexes in Aqueous Solutions of Anionic and Nonionic Surfactants: A Sensitive Probe of Hydrophobic Binding Regions. H.H. Thorp, C.V. Kumar, N.J. Turro, H.B. Gray J. Am. Chem. Soc. 1989, 111, 4364. 5. Proton-Coupled Electron Transfer in [(bpy)2Mn(O)2Mn(bpy)2]3+. H.H. Thorp,* J.E. Sarneski, G.W. Brudvig, R.H. Crabtree J. Am. Chem. Soc. 1989, 111,9249. 6. Proton-Coupled Electron Transfer in [(bpy)2Mn(0)2Mn(bpy) 2 ]3 +. Role of the Electrode Surface. H.H. Thorp,* E.F. Bowden, G.W. Brudvig J. Electroanal. Chem. 1990, 290, 293. 7. Assembly of High-Valent Oxomanganese Clusters in Aqueous Solution. Redox Equilibrium of Water-Stable Mn 3 O4 4 + and Mn2 O2 3 + Complexes. J.E. Sarneski, H.H. Thorp,* G.W. Brudvig, R.H. Crabtree, G.K. Schulte J. Am. Chem. Soc. 1990, 112, 7255. 8. The Physical Inorganic Chemistry of Manganese Relevant to Photosynthetic Oxygen Evolution. H.H. Thorp, G.W. Brudvig New J. Chem. 1991, 15, in press. (continued) TiIEDAVIDANDLUCILEPACKARDFOUNDATION

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Page 4c: Publications of H. Holden Thorp (continued) 9. Proton-Coupled Electron Transfer in Oxomanganese Dimers: Role of the Ancillary Ligands. R. Manchanda, H.H. Thorp,* G.W. Brudvig, R.H. Crabtree Inorg. Chem. 1991, 30, 494. 10. Physical Properties of a Manganese Tetramer with All-Oxygen Coordination. H.H. Thorp, J.E. Sarneski, R.J. Kulawiec, G.W. Brudvig, R.H. Crabtree, G.C. Papaefthymiou Inorg. Chem. 1991, 30, 1153. 11. The Photochemistry of Dioxorhenium(V) Complexes in DNA: Multiple Binding Regions and Oxidative Cleavage. H.H. Thorp, N.J. Turro, H.B. Gray New J. Chem. 1991,15, in press. 12. Electronic Structure of trans-Dioxorhenium(VI). J.C. Brewer, H.H. Thorp, K.M. Slagle, G.W. Brudvig, H.B. Gray J. Am. Chem. Soc. 1991,113, 3171. 13. Alkyl Hydroperoxide Oxidation of Alkanes and Alkenes with a Highly Active Mn Catalyst. J.E. Sarneski, D. Michos, H.H. Thorp, M. Didiuk, T. Poon, G.W. Brudvig, R.H. Crabtree Tet. Lett. 1991, 32, 1153. 14. Photophysics of Dioxorhenium(V) in Nafion. H.H. Thorp, H.B. Gray Photochem. Photobiol. 1991, in press.

DAVID and LUCILE

PACKARD FELLOWSHIPS FOR SCIENCE AND ENGINEERING

1991 3

Statement by Nominee Turok, Neil G. Name of Nominee

lost/first/middle initial

Princeton University Sponsonng instilution

name

Phase transitions occur in many contexts in physics, ranging from everyday melting and freezing, to the quark confinement and electroweak transitions believed to have occurred in the first microsecond of the big bang. Understanding the dynamics of these transitions, and of the defects they generally produce, is increasingly a common goal of condensed matter theory, particle theory and cosmology. My recent research has touched on each of these areas. The problem of the origin of galaxies, galaxy clusters and the 'great walls' revealed by recent galaxy surveys is surely the 'biggest' problem in physics! All current theories have to invoke additional physics beyond the standard model, for which there is as yet little laboratory evidence. However a framework for such new physics is provided by simple extensions of the standard model, such as grand unified theories. These explain some of the puzzles of the standard model, like the pattern of quantum

numbers of elementary particles, by incorporating the standard model in a larger theory, with greater symmetry. In the big bang, as the hot early universe cools, the extra symmetries are broken in one or more 'grand unified' phase transitions. Symmetry breaking phase transitions provide a simple mechanism through which structure could be formed in an initially homogeneous universe. The transitions produce a disordered configuration of the Higgs field (the order parameter for the transition), in which the 'direction' of symmetry breaking varies from one part of the universe to another. Subsequently, as the universe expands, the Higgs field progressively orders itself at the speed of light, continually perturbing the universe on the horizon scale. This process generally also involves the annihilation or 'unwinding' of topological defects in the Higgs field. Recently my collaborators and I have explored a simple class of unified theories where this process occurs, involving an unstable topological defect called global texture. The theories are highly predictive, being essentially characterised by a single free parameter, the symmetry breaking scale, which is required to be of the order of the grand unified scale. It is possible to compute many observable phenomena, such as the statistics of the galaxy distribution, and the expected pattern of anisotropies in the cosmic microwave background. To do so, one must follow the full nonlinear dynamics of the Higgs field, compute the metric and matter density perturbations induced, and then follow the nonlinear gravitational clustering and hydrodynamics of the matter. The tools for doing all of this are now available, due to the enormous recent advances in computer power. We have found, in the case of texture, encouraging agreement with a large range of data on the galaxy distribution, and a specific prediction for the microwave anisotropy pattern at levels close to current limits. Such theories are a useful stimulus to astronomical observations, making clear predictions that can be tested. Another outstanding puzzle in the hot big bang theory is the origin of the matterantimatter asymmetry evident in todays universe. In 1967 Andrei Sakharov outlined the necessary conditions for such an asymmetry to be generated dynamically by physical

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Statement by Nominee Name of Norinee

Turok, Neil G.

| ost/fst/mIdd~e nitnal

processes. It has only recently become clear that his conditions are actually all fulfilled in the standard electroweak theory. Five years ago, it was realised that at temperatures above the electroweak transition, the formation and decay of topological defects similar to the textures mentioned above is associated with strong violation of baryon number conservation. This raised the possibility that the matterantimatter asymmetry might have been created during the out-of-equilibrium conditions pertaining at the electroweak phase transition. Last year my student John Zadrozny and I showed that an asymmetry is indeed generated if the Higgs sector of the standard model contains two fields rather than one. Subsequently Mclerran, Shaposhnikov, Voloshin and I argued that this mechanism produces the correct order of magnitude of the asymmetry. The dynamical issues involved are complex, and it will take both numerical simulations and further analytic work before a really accurate calculation is possible. Nevertheless the situation is exciting, because the proposal relates to electroweak physics accessible in the laboratory, so it is testable in several ways. For example the neutron is predicted to have an electric dipole moment not far below the current experimental limit. Symmetry breaking phase transitions analogous to those in cosmology occur ubiguitously in condensed matter systems. My work on defect dynamics in cosmology led me to a collaboration with Bernard Yurke, an experimentalist at Bell Laboratories, on the dynamics of phase transitions in liquid crystals, combining theoretical and experimental work. The beauty of this system is that the phase transitions and ordering dynamics may be directly observed under a microscope, and recorded for detailed analysis on high speed video. We have so far obtained several novel results. We confirmed a simple scaling theory for the evolution of string networks produced in a rapid quench; predicted and observed the decay of a texture into a monopole-antimonopole pair; and predicted and verified the existence of stable 'scaling solutions' for monopole-antimonopole and vortex-antivortex annihilation. We have several other projects underway, exploring the production of defects on propagating phase boundaries, and the confinement of vortices in 'smectic'liquid crystals, for example. My field of work is interdisciplinary and thus tends to fall outside of the usual narrowly defined funding categories. In consequence, although many of the best postdoctoral researchers in the field would make Princeton their first choice, there are at present no funds to support them. The Packard would change that. Furthermore, while cosmology is certainly a relatively cheap science, computational work is essential both in understanding the dynamics of phase transitions, and the dynamics involved in the development of large scale structure. The fellowship would allow me to substanially upgrade the facilities available to me and my students.

Signature

name

TliEDAVIDANDLUCILEPACKARDFOUN'DATION

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FOR SCIENCE AND ENGINEERING

Curriculum Vitae of the Nominee 609-258-4743 (0)

last/first/middle initial Name of Nominee

Turok, Neil G.

Deportment

212-684-6130 (H) telephone (include area code)

name

Physics name

I

Sponsoring institution

Princeton University number and street

Address

Joseph Henry Labs., Jadwin Hall city and state/zip code

Princeton, NJ 08544 date and p lace of birth

11/16/58

Johannesburg, R.S.A.

institution

Education (begin with baccalaureate).

Cambridge University degree and year conferred

B.A. 1980

field

Natural Sciences

institution

Imperial College, London degree and year conferred

D.I.C.

1981

field

Theoretical Physics

institution

Imperial College, London degree and year conferred

Ph.D. Positions held (begin with present position).

1983

field

Theoretical Physics

employer

Princeton University address

Joseph Henry Labs., Jadwin Hall, Princeton, NJ 08544 dates (mo/dy/yr)

title

Assistant Professor

Sept. 1988-

employer

Fermi National Accelerator Lab. adcdress

Box 500, Batavia, IL 60510 dates (mo/dy/yr)

title

Associate Scientist

Sept. 1987-Sept. 1988

employer

Imperial College address

Blackett Laboratory, Prince Consort Rd., London S.W.7, U.K.

titdvanced Research Fellow TIIEDAVIDAND LUCILEPACKARDFOUNDATION

gept. T99LSept.

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4

1987

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Curriculum Vitae (continued) Turok, Neil G.

Name of Nominee

lost/first/middle Initial

1. Plenary speaker at International A.D. Sakharov conference, Moscow,

Other

May 1991. 2. Invited lecturer, Gordon conference on Liquid Crystals, New Hampshire, June 1991 3. Lecturer at British Universities Summer School in Theoretical Physics, September 1990 and 1991. 4. Plenary speaker at Nobel Symposium on The Birth and Early Evolution of Our Universe, Sweden, June 1990.

Honors

5. Awarded George E. Uhlenbeck Visiting Professorship at University of Michigan, 1990. lprerted as one nf ten II S Participants in U S -U.S.S.R.

Eh

program for Young Investigators in Cosmology 1990-91. 7. Awarded Alfred P. Sloan Foundation Fellowship, 1989. 8. Lecturer at many international schools in Particle Physics/ Cosmology, 1986-91. Q ...

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List of Publications Name of Nominee

Publications

Instructions

Turok, Neil G.

lost/first/middle initial

Ust only complete articles published or in press. Do not list presentations or abstracts. Use additional sheets if necessary.

[1] Self-Intersection of Cosmic Strings, with T.W.B. Kibble, Physics Letters 116B (1982) 141. [2] Z2 Vortex Strings in Grand Unified Theories, with D. Olive, Physics Letters 117B (1982 193. [3] Baryon Number From Collapsing Cosmic Strings, with P. Bhattarcharjee and T.W.B. Kibble Physics Letters 119B (1982) 95. [4] The Symmetries of Dynkin Diagrams and the Reduction of Toda Field Equations, with D. Olive, Nuclear Physics B215 [FS8] (1983) 470. [5] The Production of Loops of String in an Expanding Universe, Physics Letters 123B (1983) 387. [6] The Algebraic Structure of Toda Systems, with D. Olive Nuclear Physics B220 [FS8] (1983) 491. [7] The Evolution of Density Perturbations Around Cosmic Strings, Physics Letters 126B (1983) 437. [8] Strings, Non-random Phases and the Origin of Galaxies and Clusters, with D.N. Schramm, Nature (London) 312 (1984) 598. [9] Stretching Cosmic Strings, with P. Bhattarcharjee, Physical Review B29 (1984) 1557. [10] Grand Unified Strings and Galaxy Formation, Nuclear Physics B242 (1984) 520. [11] Evolution of Cosmic Strings, with A. Albrecht, Physical Review Letters 54 (1985) 1868. [12] Local Conserved Densities and Zero Curvature Conditions for Toda Lattice Field Theories, with D. Olive, Nuclear Physics B257 [FS16] (1985) 277. 1 TIIEDAVIDANDLUCILEPACKARDFOUNDATION

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Turok, Neil G. last/fbrst/middle iNitial

PubficoHons k-istructions

Ust only complete articles published or in press. Do not list presentations or abstracts. Use additional sheets if necessary.

[13] The Toda Lattice Field Theory Hierarchies and Zero Curvature Conditions in KacMoody Algebras, with D. Olive, Nuclear Physics B265 [FS15] (1986) 469. [14] Cosmic Strings and the Correlation of Abell Clusters, Physical Review Letters 55 (1985) 1801. [15] Cosmic Strings and the Formation of Galaxies and Clusters of Galaxies , with R. Brandenberger, Physical Review D33 (1986) 2175. [16] Density Perturbations from Cosmic Strings and the Microwave Background, with R. Brandenberger Physical Review D33 (1986) 2182. [17] Cosmic Strings and the Microwave Background, with R. Brandenberger and J. Traschen, Physical Review D34 (1986) 919. [18] Gravitational Radiation and Microwave Anisotropies From Cosmic Strings, with A. Albrecht and R. Brandenberger, Nuclear Physics B277 (1986) 605. [19] The Stability of Cosmic String Loops , with E. Copeland, Physics Letters B173 (1986) 129. [20] Cosmic Strings and Galaxy Formation (with T.W.B. Kibble), Phil. Trans. Roy. Soc. Lond. A320 (1986) 565.

I II

1

[21] Cosmic String Wakes and the Large Scale Structure of the Universe, with A. Stebbins, S. Veeraraghavan, R. Brandenberger, and J. Silk, Astrophysical Journal 322 (1987) 1. [22] Cosmic Strings and Large Scale Velocity Fields, with R. Brandenberger, N. Kaiser and P. Shellard, Nature 326 (1987) 672. [23] Cosmic Strings -nd Peculiar Velocities, with R. Brandenberger, N. Kaiser and P. Shellard, Physical Review D36 (1987) 335.

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List of Publications .

,

I

Turok, Neil G. lost/tfrst/midde intial

Nome of Nomirnee

Ust only complete articles published or in press. Do not list presentations or abstracts, Use additional sheets If necessary.

Publications Lnstruchons

k

I

[24] Cosmology and Particle Physics, News and Views, Nature, June 1986. [25] Cosmic Strings, New Scientist, April 13, 1987. [26] Dynamics of Superconducting Strings, with E. Copeland and M. Hindmarsh, Physical Review Letters 58 (1987) 1910. [27] Statistical Mechanics of Cosmic Strings, with D. Mitchell, Physical Review Letters 58 (1987) 1577. [28] Dissipationless Clustering of Massive Neutrinos About a Point Mass (with R. Brandenberger and N. Kaiser, Physical Review D36 (1987) 2242. [29] Cosmic Strings and Hot Dark Matter, with R. Brandenberger, N. Kaiser and D. Schramm, Physical Review Letters 59 (1987) 2371. [30] Statistical Properties of Cosmic Strings, with D. Mitchell, Nuclear PhysicsB296 (1987) 1138. [31] Monopoles Connected by Strings, with E. Copeland, D. Haws, T.W.B. Kibble and D. Mitchell, Nuclear Physics B 298 (1988) 445.

[32] Dynamics of and Radiation From Superconducting Strings, with E. Copeland, D. Haws and M. Hindmarsh, Nuclear Physics B306 (1988) 908. [33] Higher Order Corrections to the Nambu Action for Nielsen-Olesen Strings, with K. Maeda, Physics Letters B202 (1988) 376. [34] String Driven Inflation, Physical Review Letters 60 (1988) 552. [35] Superconducting Springs or Strings? with D. Haws and M. Hindmarsh, Physics Letters B 205 (1988) 322. [36] The Decay of Highly Excited Open Strings (with D. Mitchell, R. Wilkinson and P. Jetzer), Nuclear Physics B315 (1989) 1. 3 TliEDAVIDANDLUCILEPACKARDFOUNDATION

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List of Publications Turok, Neil G.

Name of Nominee

last/first/midde it-Vtial

.

Ust only complete articles pLblished or in press. Do not list presentations or abstracts. Use additional sheets If necessary.

Publications Instructions

[37] String Statistical Mechanics, Physica A, 158 (1989) 516. - - , --"a, , rQ Q1 pi-, - rr--cL [uJ L rj " - zz OI±lbL..L.. j

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[39] Cosmic Strings and Large Scale Structure, in From Strings to Supernovae: Proceedings of the Theoretical Advanced Studies Institute, Brown University 1988, pub. World Scientific 1989. [40] Evolution of Cosmic String Networks, with A. Albrecht, PhysicalReview D 40 (1989) 973. r.1 ro-

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[4uJ Decay of Hlighly E~xcited C.losed Strings, with LD. Mltchell and Physics B332 (1990) 131.

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[42] Decays of Massive Open Strings, with B. Sundborg and D. Mitchell, Nuclear Physics B335, (1990) 621. [43] Global Texture as the Origin of Cosmic Structure, Physical Review Letters 63 (1989) 2625. [44] Global Texture and the Microwave Background, with D. Spergel, Physical Review Letters 64 (1990) 2736. [45] Global Texture as the Origin of Cosmic Structure: Numerical Simulations of Evolution, with D. Spergel, W. Press and B. Ryden, Physical Review D43 (1991) 1038. [46] Dynamical Generation of Baryons at the Electroweak Transition, with J. Zadrozny, Physical Review Letters, 65 (1990) 2331. [47] Formation of Galaxies and Quasars in a Texture Seeded CDM Cosmogony, with A. Gooding and D. Spergel, Astrophysical Journal Letters, 372 (1991) L5.

TtEDAVIDANDLUCILEPACKARDFOUNDATION.

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Name or Nominee Publications histructions

1~

I

Turok, Neil G. kstfirs1/midcke initial Lst only complete articles published or In press. Do not list presentations or abstracts. Use additional sheets if necessary.

[48] Cosmology in the Laboratory: Defect Dynamics in Liquid Crystals, with I. Cheung, R. Durrer and B. Yurke, Science, 251 (1991) 1336.

A491

Late Time Coarsening Dynnamics in a Nematic Tiniirl C(rvsta1l with T (7hpinr and 1

Yurke, Physical Review Letters, in press, 1991.

I

[50] Global Texture as the Origin of Cosmic Structure: Evolution of Perturbed Cold Dark Matter, with C. Park and D. Spergel, Astrophysical Journal Letters, in press, 1991. [51] Electroweak Baryogenesis in the Two-Doublet Model, with J. Zadrozny, Nuclear Physics B, in press, 1991. [52] Why the Baryon Asymmetry of the Universe is 10-10, with L. Mclerran, M. Shaposhnikov and M. Voloshin, Physics Letters B, 256 (1991) 451. [53] Scaling Solution for Cosmological Sigma Models at Large N, D. Spergel, Physical Review Letters, in press , 1991.

I

[54] Late Time Coarsening Dynamics in a Nematic Liquid Crystal, with I. Cheung and B. Yurke, Princeton preprint PUPT-91-1239, 1991; Physical Review A submitted, 1991. I Il

155J Monopole-Antimonopole Annihilation in a Liquid Crystal, with A. Fargellis and B.

Yurke, Princeton preprint PUPT-91-1248, 1991; Physical Review Letters, submitted, 1991.

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[56] Review of 'Particle Physics and Inflationary Cosmology', by A.D. Linde, Nature 350 (1991) 666. [57] Phase Transitions in the Two Doublet Model, with J. Zadrozny, Princeton preprint PUPT-1225, 1991, submitted to Nuclear Physics B. [58] A Hydrodynamic Approach to Large Scale Structure: Texture-Seeded CDM and HDM

i-I

Cosmogonies, with R. Cen, J. Ostriker and D. Spergel, Princeton preprint PUPT-1255, 1991, submitted to the Astrophysical Journal. 5 THEDAVIDANDLUCILEPACKARDFOUNDATION

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1991 3

FOR SCIENCE AND ENGINEERING

Statement by Nominee Name of Nominee

Vanderlick, T. Kyle last/firstImiddle initial University of Pennsylvania name

Sponsonng institution

The focus of my research program is on understanding and controlling phenomena characteristic of surfaces, interfaces, and thin films. The study of interfaces is fundamental to every scientific discipline, ranging from biology to electrochemistry to materials. The opportunities for significant advances have never been greater - this is a research frontier at the brink of a unique scientific crossroad: recent developments of novel experimental techniques capable of resolving interfacial structure are aligned with current breakthroughs in molecular theories; this, combined with the availability of powerful computational resources to conduct realistic modelling and simulations, allows a coordinated attack of both experiment and theory. Our research activities are centered on two fundamental areas within the realm of interfaces: these are described in what follows. Molecular Engineering of Structured Surfaces and Coatings By exploiting the desire of certain organic molecules to self-assemble or spontaneously organize, it is I JOD;7flt:

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molecular 'erector set". The technological potential of these highly ordered molecular films is limitless: optical coatings, lubricants, adhesives, membranes, sensors, and the like. Their use in the research arena is even more exciting: the availability of well-defined model surfaces and interfaces opens the door to a systematic study of the molecular origins of wetting, adhesion, and more generally, investigations of the interactions at and between surfaces. Our research agenda for the next five years can be divided into three central objectives: (1) Molecular determinants of order. What is the degree and extent of order within these ultrathin films and how can this be quantified? How are inter and intra-molecular forces responsible for molecular structuring? What is the relative importance of chemical versus geometrical (size) effects in establishing order? We will answer these fundamental questions through application of the novel surface forces apparatus (to measure directly forces of interaction), atomic force microscopy (to determine molecular. topography and structure), and infrared spectroscopy (to characterize molecular orientations). (2) Molecular origins of wetting. Although the wetting of a surface by a fluid can be characterized on macroscopic grounds, through contact angle measurements, a complete molecular level description of wetting is lacking. We are employing both mechanical (Langmuir-Blodgett) and chemical (self-assembly) methods to design surfaces with varying degrees of roughness and regularity, ranging from microscopic to macroscopic dimensions: in this way we aim to understand the wetting behavior of real surfaces. The wetting of a surface is related to the molecular structure established at the interface and to the forces of interaction between the substrate and the fluid. Using the surface forces apparatus, we are measuring these interactions directly, and determining how the microstructure of the interface is coupled to, or perturbed by, interactions with surrounding phases. Theory and computer simulation play an integral role in this research. Recently, Vanderlick, Scriven, and Davis have developed a molecular theory of inhomogeneous multicomponent fluid that can be used to predict the molecular structure of liquids next to or between solid -urfaces. We are using this theory to predict the wetting behavior of liquid mixtures, and the distribution of fluid components on irregular or rough solids. TIIEDAVIDANDLUCILEPAcKARDFouNDATION

.300 SECOND STREET, SUITE 200 - LOS ALTOS, CA 94022

X

415.948.7658

DAVID and LUCILE

PACKARD FELLOWSHIPS

1991 3a

FOR SCIENCE AND ENGINEERING

Statement by Nominee Name of Nominee

Vanderlick, lost/first/middle Initial

T. Kyle

(3) Engineering of complex and functional surfaces. Our plan is to incorporate structured organic films as components of membranes, to be used in a variety of separations ranging from gases, to ions, to macromolecules. Another promising application is their use as templates to bind and organize biologically active molecules, and as components of biological sensors. Shapes, Textures, and Pattern Formation Composites and phase segregated materials, such as foams, dispersions, and colloids, exhibit a wide variety of morphologies. The equilibrium and dynamic properties of these special states of matter are governed by their inherent shapes and textures. Two roadblocks have severely limited both systematic and quantitative research in this area: the absence of model experimental systems with controllable variables, and the computational burden in modelling three-dimensional materials. Our research centers on the visualization, characterization, and prediction of the complex spatial patterns observed in two phase systems - however, we carry out our investigations in two dimensions: in "flatland", where these obstacles to systematic study are reduced. Although he couldn't see them, Irving Langmuir was one of the first to discover that insoluble monolayers residing at the air-water interface undergo a rich variety of phase transitions, including those analogous to three-dimensional materials (e.g., gas-liquid-solid) as well as a host of others, many yet to be uncovered, which are closely related to liquid crystalline states. With the recent development of fluorescence video microscopy, it is now possible to directly visualize -hese coexisting two-dimensional phases. The result has been an eye-opener: foams, drops, bubbles, crystallites; a wealth of shapes, textures and patterns are observed in regions of two phase coexistence. Insoluble monolayers serve as ideal model systems to investigate pattern formation processes associated with phase nucleation and growth. In our laboratory, we are employing image analysis techniques together with the fluorescence microscope to investigate the shapes of dispersed phases in response to static or dynamic external fields such as electric fields, surrounding particles, fluid flows, or simply as a result of thermal fluctuations. Our studies are of fundamental importance to all colloidal materials comprised of deformable particles. We are also investigating kinetically controlled interfacial morphologies, such as dendrites and cellular structures, that are formed during rapid and directional solidification. The underlying physical principles which determine both equilibrium and dynamic pattern formation result in highly non-linear systems of governing equations which give rise to families of possible solution states, including chaotic behavior. We are using finite element analysis with efficient continuation schemes to track these solutions and compare with experiment. Funds from the Packard Fellowship would be used primarily to support the education of graduate students and to aid in acquiring the experimental and theoretical tools required for our investigations. Signature

/

|name

Ay

TIIEDAVIDANDLUCILEPACKARDFOUN'DATION

,/A l~Z

l date

. 300 SECOND STREET, SUITE 200

// I/

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DAVID and LUCILE

PACKARD FELLOWSHIPS

1991

I

4

FOR SCIENCE AND ENGINEERING

Curriculum Vitae of the Nominee last/first/middle initial

Name of Nominee

Vanderlick, T. Kyle

(215) 898-6800

name Department

telephone (include area code)

Chemical Engineering name

Sponsoring institution

University of Pennsylvania number and street

220 S. 33rd Street

Address

city and state/zip code

Philadelphia,

PA 19104-6393

date and place of birth

June 19, 1960

Northampton, MA

institution Education (begin with baccalaureate).

Rensselaer Polytechnic Institute degree and year conferred

B.S.

field

1981

Chemical Engineering

institution

Rensselaer Polytechnic Institute degree and year conferred

M.S.

field

1983

Chemical Engineering

institution

University of Minnesota degree and year conferred

Ph.D.

field

Chemical Engineering

1988

employer

Positions held (begin with present position).

University of Pennsylvania,

Dept. of Chemical Engineering

address

220 S. 33rd Street

Philadelphia, PA 19104-6393

title

dates (mo/dy/yr)

Assistant Professor

II I I

NATO/NSF Postdoctoral Fellow

I I

address

11

I1i

I

9/89 - present

employer

Universitat Mainz, Germany title

I I

dates (mo/dy/yr)

Postdoctoral Fellow

9/88 - 9/89

employer

-1 I

Procter and Gamble address i I

Cincinnati, OH l

I

.i II

title

dates (moldYlYr)

Industrial Trainee Fellow TIIEDAVIDANDLUCILEPACKARDFOUNDATION

6/81 - 9/81

. 300 SECOND STREET, SUITE 200 - LOS A LTOS, CA 94022 * 415.948-7658

DAVID and LUCILE

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1991

FOR SCIENCE AND ENGINEERING

4a

I

Curriculum Vitae (continued) Name of Nominee

Other

Honors

Vanderlick, T. Kyle lostemst/middee initial Member: AIChE, APS, ACS, Society of Women Engineers

Presidential Young Investigator Award 1989 NATO Postdoctoral Fellowship in Sci. and Eng. (9/88-89) American Association of Univ. Women Dissertation Fellow. (6/87-88) University of Minnesota Doctoral Dissertation Fellow. (9/86-6/87) IBM Pre-doctoral Fellowship (9/83-8/84) and (9/84-8/85) Procter and Gamble Industrial Trainee Fellowship (9/81-8/82) Member Tau Beta Pi

TIMEDAVIDANDLUCILEPACKARD FOUNDATION - 300 SECOND STREET, SUITE 200 - LOS ALTOS, CA 94022 * 415-948-7659

DAVID and LUCILE

I

PACKARD FELLOWSHIPS

1991 4b

FOR SCIENCE AND ENGINEERING

List of Publications Name of Nominee

Is

Publications Instructions

Vanderlick, T. Kyle last firstlmiddle initial List only complete articles pLblished or in press. Do not list presentations or abstracts. Use additional sheets if necessary.

Vanderlick, T. K., Scriven, L. E. and Davis, H. T. (1986) Statistical mechanics of rigid particles in an external field, J. Chem. Phys. 85, 6699-6704. Vanderlick, T. K., Scriven, L. E. and Davis, H. T. (1986) Solution of Percus's equation for the density of hard rods in an external field, Phys. Rev. A 34, 5130-5131. Vanderlick, T. K. and Davis, H. T. (1987) Self-diffusion in fluids in microporous solids, J. Chem. Phys. 87, 1791-1795.

,.1

Davis, H. T., Bitsanis, I., Vanderlick, T. K. and Tirrell, M. V. (1987) Theory and computer simulation of structure, transport and flow of fluid in micropores, in 'Supercomputer research in chemistry and chemical engineering," eds. K. F. Jensen and D. G. Truhlar, ACS Symposium Series 353, 257-281. Bitsanis, I., Vanderlick, T. K., Tirrell, M. and Davis, H. T. (1988) A tractable molecular theory of flow in strongly inhomogeneous fluids, J. Chem. Phys. 89, 3152-3162. Vanderlick, T. K., Scriven, L. E. and Davis, H. T. (1989) Molecular theories of confined fluids, J. Chem. Phys. 90, 2422-2436.

ij. l

Vanderlick, T. K., Davis, H. T. and Percus, J. K. (1989) The statisticalmechanics of inhomogeneous hard rod mixtures, J. Chem. Phys. 91, 7136-7145. Vanderlick, T. K. and Mohwald, H. (1990) Mode selection and shape transitions of phospholipid monolayer domains, J. Phys. Chem. 94, 886-890. Vanderlick, T. K., Scriven, L. E. and Davis, H. T. (1991) Forces between solid surfaces in binary solutions, Colloids and Surfaces 52, 9-34. Levins, J. M. and Vanderlick, T. K. (1991) Characterizationof thiol monolayers adsorbed on silver using the surface forces apparatus, submitted to Langmuir.

TIIEDAVIDANDLUCILEPACKARDFOUNDATION

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.

LOS ALTOS, CA 94022 * 415.948-7658

DAVID and LUCILE

PACKARD FELLOWSHIPS

1991

!I

I

FOR SCIENCE AND ENGINEERING

3

Statement by Nominee

I J

Name of Nominee

I

J Sponsoring Instituton

.1 I Ii i I I

I

i

i I I

-I -1

I

_J

i_1

II

I

Yau,

Horng-Tzer

lst/first/middle initial

New York University. Courant Institute of Mathematical Sciences

A fundamental question of science is how bulk properties of matter arise from the microscopic laws of nature. These laws are both simple and well known, but our understanding of bulk matter is primitive at best. My research is centered on this theme, emphasisizing conceptual and rigorous understanding of basic physical phenomena without unnecessary technicalities. I have concentrated on two general areas: 1) static quantum systems and 2) stochastic dynamical systems. My goal is to combine basic concepts and techniques from these fields to treat quantum dynamical systems, which, I believe, will play an important role in material science and condensed matter physics in the next decade. My collaborators and I have carried out 3 projects on static quantum systems: 1. Stability of white dwarf stars. 2. Stability of relativistic matter. 3. Dyson's conjecture on the collapse rate of charged bosons. In the first, starting from a relativistic quantum Hamiltonian with classical Newtonian potentials, we showed that the critical mass and the mass density are correctly predicted by Chandrasekhar's semiclassical theory, up to very high accuracy. We also showed that the critical mass of white dwarf boson stars would be only about the size of a mountain. In the second, we proved that as the fine structure constant varies, a transition from stability to collapse occurs for relativistic matter with Coulomb potentials. In other words, pure stability considerations set an intrinsic bound on the fine structure constant. In the third, we verified Dyson's conjecture on the ground state energy of charged bosons and showed that the Bogoliubov paired wave function predicts the correct order of magnitude. In the past two years, I concentrated on scaling limits of large stochastic dynamical systems. Apart from serving as microscopic models for statistical physics, such systems have recently been applied to computational fluid mechanics, population biology, parallel processing, etc. As the main interest lies in very large interacting systems, analytical tools are quite limited and most of the work has been numerical I believe that analytic foundations for basic phenomena such as metastability, evolution and fluctuation of interfaces, entropy flows in large systems etc. are needed both as guidelines for future numerical studies and a deeper understanding of existing phenomenological laws. I will explain the progress made in this direction and sketch some further projects. The first step in studying large stochastic dynamical systems is to derive the mean field equations governing the macroscopic profile in the scaling limit. The equations depend on the detailed dynamics, so the the number of possibilities is huge. There is, however, a general belief that mean field behavior is simple. In recent work of mine this belief is proved correct for systems with short range interactions. More precisely, I found that the scaling limit of large stochastic dynamical systems can be obtained rigorously from pure entropy considerations. This connection, between entropy and macroscopic equations, may be applied to a wide variety of models, leading to macroscopic equations which are in general nonlinear and may either be hyperbolic or diffusive. In particular, my collaborators and I have succeeded in deriving the Euler equations rigorously for general Hamiltonian systems with random noise; such a result had long been considered far out of reach. There is a restriction to this approach, though. It applies only up to the onset of singularities in the macroscopic profile. We can overcome certain simple singularities, but important types of singularities such as fluid shocks have not yet been conquered. We are currently analyzing these singularities for the asymmetric random walk, hoping that the connection between entropy and macroscopic equations in universal. TIIEDAVIDANDLUCILEPACKARDFOUNDATION

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1991

3a

FOR SCIENCE AND ENGINEERING

Statement by Nominee Name of Nominee

Yau, Horng-Tzer last/first/middle initial

While rigorous derivations of existing equations from microscopic dynamics are rewarding from a mathematical point of view, our objective is to analyze behavior not subject to macroscopic equations. There are two major directions: 1) models whose mean field behavior is not governed by macroscopic equations, and 2) leading order corrections to macroscopic equations. Metastabilitv and Interfaces. Starting with a Ginzburg-Landau model with weak long range interactions, we found th l the macroscopic density evolves according to equations depending on the initial microscopic state. More precisely, we found two initial microscopic densities with the same initial macroscopic density, evolving by the same microscopic dynamics, but with macroscopic densities governed by different macroscopic equations. The macroscopic density of the first has an interface evolving via a free boundary equation; the second exhibits metastability. In other words, for systems with phase transitions and metastability, the initial macroscopic data do not fix the macroscopic behavior of the system at a later time: the initial microscopic details are necessary. Certainly if one starts from a mixture of these two initial data, their macroscopic behavior will not be governed by any macroscopic equation. It is a major challenge how best to describe this phenomenon. Currently, we are trying to understand related problems, such as relaxation of metastability, to clarify such phenomena.

I

Fluctuations in Nonequilibrium. Most physical quantities depend on correlation functions of some sort. But direct analysis of correlation functions for stochastic dynamcial systems is very difficult. We have instead concentrated on the behavior of fluctuations where analytic approaches are feasible. Our goal is to characterize the fluctuations by stochastic differential equations and thus obtain information regarding correlation functions. We did this only for short-range one-dimensional Ginzburg-Landau models. Our results are novel in that they hold both in and out of equilibrium, the point being that the fluctuation is a first order effect in equilibrium (where the macroscopic equations are degenerate) while it is a second order effect out of equilibrium. We hope to extend our

analysis to higher dimensions above the critical temperature. Then by studying mean field type interactions 1-%Mna, T

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field models below Tc. We believe that these aspects of fluctuations, metastability and interfaces are not special to GinzburgLandau models but are universal. More work is needed to clarify this. It will combine diverse areas such as nonequilibrium statistical physics, nonlinear partial differential equations, stochastic differential equations, large deviations, spectral analysis etc. Visitors (e.g., H. Spohn from Germany, E. Presutti from Italy) and post-doctoral fellows from different backgrounds are needed. Graduate students working in this area will face the severe difficulty of absorbing many different subjects in a short period of time. Financial support for those students is the minimum we should offer. An award from Packard Foundation would help greatly in my attempt to provide a diversified research environment emphasizing the analytical and conceptual understanding of basic physical phenomena as well as providing broad training to graduate students. Signature

I TIIEDAVIDANDLUCILEPACKARDFOUNDATION

300 . SECONDSTREET, SUITE

200

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* 415-948-7658

i DAVID and LUCILE

I

PACKARD FELLOWSHIPS

0 I

1991 4

FOR SCIENCE AND ENGINEERING

Curriculum Vitae of the Nominee .I last/first/middle initial

Name of Nominee

I

Yau, Horng-T7eor

@1 2n e9 -330

name

Departrnent

ude

Courant Institute of Mathematical

re code)

Sciences

name

Sponsoring institution

251 Mercer Street number and street

Address

New York,

N.Y.

10012

city and state/zip code

June 29.

1]

1959

Taipei. Tniwin

date and place of birth

institution

Education (begin with baccalaureate).

National Taiwan University degree and year conferred

B.Sc

I

Mathematics field

1981

institution

Princeton University

Mathematics

degree and year conferred

M.A.

field

1984

institution

Princeton University

Mathematical Physics

degree and year conferred

Ph.D. Positions held (begin with present position).

field

1987

employer

Courant Institute - New York University address

251 Mercer Street

New York, New York 10012

title

dates (mo/dy/yr)

Assistant Professor

1990 to present

employer

Courant Institute - New York University address

251 Mercer Street

New York, New York 10012

title

dates (mo/dy/yr)

Courant Instructor

1988

1990

employer

Institute for Advanced Study address

Princeton, title

Member TIIEDAVIDANDLUCILEPACKARDFOUNDATION

New Jersey

08540 dates (mo/dy/yr)

1987 to 1988 * 300 SECOND STREET, SUITE 200 * LOS ALTOS, CA 94022 * 415-948-7658

DAVID and LUCILE

PACKARD FELLOWSHIPS

1991 4a

FOR SCIENCE AND ENGINEERING

Curriculum Vitae (continued) Name of Nominee

Yau,

Horng-Tzer

lost/first/middle initial

Other

Research interests: Mathematical physics. especially quantinnm mPrhqnnrs Stability of matter Stability and/or collapse of stars, Ginzburg-Landau model Hydrodynamical approximations for particle systems

Honors

Princeton Univergiry FP11ncghip,

1q93-1

q46

Alfred P. Sloan Foundation Dissertation Fellowship,

1986-7

Alfred P. Sloan Foundation Research Fellow, 1991-3

THEDAVIDANDLUCILEPACKARD.FOUNDATION

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1991 4b

FOR SCIENCE AND ENGINEERING

List of Publications Name of Nominee

Publications Instructions

Yau, Horng-Tzer lost/first/middle initial Ust only complete articles piblished or in press. Do not list presentations or abstracts. Use additional sheets If necessary.

1. (with M. Loss) Stability of Colulomb Systems with Magnetic Fields HI: Zero Energy Bound States of Pauli Operator, Commun. Math. Phys. 104,283-290 (1986). 2. (with E. H. Lieb) The Chandrasekhar Theory of Stellar Collapse as the Limit of Quantum Mechanics, Commun. Math. Phys 112, 147-174 (1987). 3. (with E. H. Lieb) A Rigorous Examination of Chandrasekhar Theory of Stellar Collapse, Astrophys. J. 323, 140-144, (1987). 4. (with J. G. Conlon and E. H. Lieb) The N 7'5 Law for Charged Bosons, Commun. Math. Phys. 116,417-448 (1988). 5.. (with E. H. Lieb) The Stability and Instability of Relativistic Matter, Commun. Math. Phys. 118, 177-213 (1988). 6.. (with E. H. Lieb) Many-body Stability Implies a Bound on the Fine Structure Constant, Phys. Rev. Lett. 61, 1695-1697 (1988). 7. Stability and Instability of Coulomb and Gravitation System, Proc. IX LAMP Congress, Swansea, 1988, ed. B. Simon, A. Truman and I.M. Davies, IOP Publishing Ltd., New York. 8. Stability of Relativistic Coulomb and Gravitating Systems, in Lectures on Schrodinger Operatorfrom the Nordic Summer School in Mathenatics 1988, Springer Lecture Notes in Physics, 345, ed. H. Holden and A. Jensen. 9. (with J. G. Conlon and E. H. Lieb) The Coulomb gas at Low Temperature and Low Density, Commun. Math. Phys. 125, 153-180 (1989). 10. (with D. Brydges) Grad (D Perturbations of Massless Gaussian Fields, Commun- Math Phys. 129, 351-392 (1990). 11. Relative Entropy and Hydrodynamics of a Ginzburg-Landau Model, to appear in Lett. Math. Phys. 12. (with C. C. Chang) Nonequilibrium Fluctuations of the Ginzburg-Landau Model, submitted to Commun. Math. Phys.

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