Year 4 Annual Report

AN NSF-FUNDED CENTER

Center for Adaptive Optics

Director: Annual Report Jerry Nelson August 1, 2003 Managing Director: Chris Le Maistre Associate Directors: Andrea Ghez Program Year 4 Richard Dekany Reporting from November 1 Lisa Hunter 2002 to October 31 2003 Claire Max Scot Olivier Austin Roorda David Williams

Phone: 831-459-5592 Fax: 831-459-5717 email: [email protected]

Institutions: University of California Santa Cruz University of California Berkeley California Institute of Technology University of Chicago University of Houston Indiana University University of California Irvine University of California Los Angeles University of Rochester Lawrence Livermore National Laboratory 1. GENERAL INFORMATION...... 3

1.1. INSTITUTIONAL DATA ...... 3 1.2 EXECUTIVE SUMMARY ...... 6 1.2.1 CfAO Mission, Goals and Strategies...... 6 1.2.2 Themes...... 6 1.2.3 Research Management...... 8 1.2.4 Partnerships ...... 9 1.2.5 Highlights for Year 4 ...... 9 1.2.6 Closing remarks ...... 11 2. RESEARCH...... 12

2. 1 THEME 1: EDUCATION AND HUMAN RESOURCES: ...... 13 2.2. THEME 2: ADAPTIVE OPTICS FOR EXTREMELY LARGE TELESCOPES ...... 13 2.2.1 Introduction...... 13 2.2.2 Research Accomplishments and Future Plans...... 15 2.2.3 Develop partnerships to co-fund long-range hardware technology development for key components...... 17 2.2.4 Develop techniques for doing quantitative astronomy with laser guide stars...... 19 2.2.5 Pursue astronomical science related to AO on 30-m telescopes ...... 19 2.3 THEME 3: EXTREME ADAPTIVE OPTICS (EXAO): ENABLING ULTRA-HIGH CONTRAST ASTRONOMICAL OBSERVATIONS...... 23 2. 3.1 Introduction...... 23 2.3.2 Scientific Motivation...... 23 2.3.3 ExAO Objectives ...... 24 2.3.4 ExAO Theme Accomplishments...... 25 2.3.5 Future Plans - XAOPI timeline and milestones...... 30 2.4 THEME 4 – COMPACT VISION SCIENCE INSTRUMENTATION FOR CLINICAL AND SCIENTIFIC USE ...... 31 2.4.1 Introduction...... 31 2.4.2 Instrumentation ...... 32 2.4.3 Next Generation of MEMS Mirrors...... 35 2.4.4 Image Processing for High Resolution Retinal Imaging...... 35 2.4.5 How-To Manual for Vision AO Systems ...... 36 2.4.6 Bioengineering Research Partnership ...... 36 2.4.6 Scientific Achievements...... 36 2.4.7 Clinical applications of AO ...... 37 2.4.8 Color sensations from single cones...... 37 2.4.9 Other notable achievements in Year 4 include:...... 37 2.4.10 Future Vision Science Thrusts...... 38 2.4.11 Technological Developments Required to Achieve Retinal Imaging Goals...... 40 2.4.12 Vision Correction...... 41 2.4.13 Corporate Partnerships and Commercialization ...... 42 2.4.14 Dissemination AO technology to the Vision Science, Optometric, and Ophthalmic Communities...... 42 3. EDUCATION AND HUMAN RESOURCES ...... 43

3.1 OVERVIEW ...... 43 3.2 EDUCATIONAL OBJECTIVES...... 43 3.3 PERFORMANCE AND MANAGEMENT INDICATORS ...... 44 3.4 ACTIVITIES...... 45 3.4.1 Internal Programs...... 45 3.4.2 External Programs...... 47 3.4.3 Professional Development...... 48 3.5 EHR INFRASTRUCTURE...... 49 3.6 FUTURE PLANS ...... 50 3.6.1 Professional Development Workshop ...... 50 3.6.2 Recruitment and retention of underrepresented groups into STEM fields: a long-term, national challenge...... 50 3.6.3 Hawaii Educational Partnership...... 51

1 3.6.3 Summer School...... 51 4. KNOWLEDGE TRANSFER ...... 52

4.1 KNOWLEDGE TRANSFER OBJECTIVES...... 52 4.2 PROBLEMS...... 52 4.3 DESCRIPTION OF MAIN KNOWLEDGE TRANSFER ACTIVITIES...... 53 4.4 OTHER KNOWLEDGE TRANSFER ACTIVITIES...... 54 4.5 KNOWLEDGE TRANSFER ACTIVITIES - FUTURE PLANS...... 55 5. PARTNERSHIPS...... 57

5.1 PARTNERSHIP OBJECTIVES...... 57 5.2 PROBLEMS...... 57 5.3 DESCRIPTION OF PARTNERSHIP ACTIVITIES ...... 57 5.4 OTHER PARTNERSHIP ACTIVITIES...... 61 5.5 PARTNERSHIP ACTIVITIES - FUTURE PLANS ...... 61 6. DIVERSITY...... 63

6.1 DIVERSITY OBJECTIVES...... 63 6.2 PERFORMANCE AND MANAGEMENT INDICATORS ...... 63 6.3 PROBLEMS...... 63 6.4 CFAO DIVERSITY PLAN...... 64 6.5 CENTER CONTRIBUTIONS TO DEVELOPING US HUMAN RESOURCES...... 64 6.6 PLANS...... 66 6.7 DIVERSITY IMPACTS...... 66 7. MANAGEMENT...... 67

7.1 CENTER ORGANIZATION ...... 67 7.2 PERFORMANCE AND MANAGEMENT INDICATORS ...... 69 7.3 PROBLEMS...... 70 7.4 MANAGEMENT AND COMMUNICATION SYSTEMS...... 70 7.5 CENTER’S INTERNAL AND EXTERNAL ADVISORY COMMITTEES ...... 70 7.5.1 Internal Oversight Committee – University of California Santa Cruz ...... 70 7.5.2 External Committees...... 71 7.6 THE CENTER’S STRATEGIC PLAN...... 71 8. CENTER-WIDE OUTPUT AND ISSUES...... 73

8.1 CENTER PUBLICATIONS...... 73 8.2 CONFERENCE PRESENTATIONS: ...... 75 8.3 DISSEMINATION ACTIVITIES – YEAR4 CFAO-SPONSORED WORKSHOPS ...... 78 8.4 AWARDS...... 79 8.5 GRADUATING M.S. AND PH.D. STUDENTS ...... 80 8.6 PATENTS AND LICENSING ETC...... 81 8.7 OTHER KNOWLEDGE TRANSFER ACTIVITIES...... 83 8.8 SUMMARY TABLE (YEAR 5) ...... 84 8.9 MEDIA PUBLICITY RECEIVED BY THE CENTER AND ASSOCIATES ...... 84 8.9.1 CfAO World Wide Web site:...... 84 9. INDIRECT/OTHER IMPACTS...... 85

APPENDIX A: BIOGRAPHICAL INFORMATION FOR NEW FACULTY MEMBER...... 86

APPENDIX B: ORGANIZATION CHART, CENTER FOR ADAPTIVE OPTICS (YEAR 5)...... 87

APPENDIX C: SUMMARY MINUTES OF ADVISORY BOARD MEETINGS ...... 88

REPORT OF THE PROGRAM ADVISORY COMMITTEE CENTER FOR ADAPTIVE OPTICS (CFAO)...... 88 REPORT OF THE EXTERNAL ADVISORY BOARD (SCHEDULED FOR MARCH 28TH 2003)...... 93

2 1. General Information 1.1. Institutional Data

Date submitted August 1 2003

Reporting period November 1 2002 to Oct 31 2003

Name of the Center Center for Adaptive Optics

Name of the Center Director Professor Jerry Nelson

Lead University University of California, Santa Cruz

Contact information

Address 1156 High Street, Santa Cruz, CA 95064 Phone Number (831) 459 5592 Fax Number (831) 459 5717 Email Address of Center [email protected] Director Center URL http://cfao.ucolick.org/

Names of participating institutions, role, and (for each institution) name of contact person and other contact information Institution 1 Name University of Rochester Address 510 Hylan, Rochester, NY, 14627-0140 Phone Number (716) 275 6672 Fax Number (716) 271 3043 Contact Professor David Williams Email Address of Contact [email protected] Role of Institution at Center Lead institution in Vision Science Research

Institution 2 Name University of Houston Address Houston, TX 77204-2163 Phone Number (713) 743 1952 Fax Number (713) 743 0965 Contact Professor Austin Roorda Email Address of Contact [email protected] Role of Institution at Center Support Center – Vision Science.

Institution 3 Name Indiana University Address School of Optometry, Indiana University, Bloomington,

3 IN 47402-1847 Phone Number (812) 855 7613 Fax Number (812) 855 7045 Contact Professor Donald Miller Email Address of Contact [email protected] Role of Institution at Center Support Center – Vision Science.

Institution 4 Name University of Chicago Address 5640 S. Ellis Ave., Chicago, IL 60637 Phone Number (773) 702 8208 Fax Number (773) 702 8212 Contact Professor Edward Kibblewhite Email Address of Contact [email protected] Role of Institution at Center Develop Sodium Laser

Institution 5 Name California Institute of Technology Address 1201 East California Blvd. Pasedena, CA 91123 Phone Number (626) 395 6798 Fax Number (626) 585 1917 Contact Dr. Richard Dekany Email Address of Contact [email protected] Role of Institution at Center Multi-conjugate Adaptive Optics; Astronomy

Institution 6 Name University of California, Berkeley Address 36 Sproul Hall, Mail Code 5940, Berkley, CA 94720 Phone Number (510) 642 8238 Fax Number (510) 642 3411 Contact Professor James Graham Email Address of Contact [email protected] Role of Institution at Center Coronographs, Astronomical Science, MEMS Technology

Institution 7 Name University of California, Los Angeles Address 10945 Le Conte, Suite 1401, Los Angeles CA. 90095- 1406 Phone Number (310) 206 0420 Fax Number (310) 206 2096 Contact Professor Andrea Ghez Email Address of Contact [email protected] Role of Institution at Center Astronomical Science, Coronographs

Institution 8 Name University of California at Irvine Address 160 Administration Bld., Irvine, CA 92697-1875 Phone Number (949) 824 6619 Fax Number (949) 824 2174 Contact Professor Gary Chanan

4 Email Address of Contact [email protected] Role of Institution at Center Adaptive Optics Studies

Institution 9 Name Lawrence Livermore National Laboratory Address P.O. Box 808, L435, Livermore, CA 94551 Phone Number (925) 422 5442 Fax Number (925) 422 3519 Contact Dr. Claire Max Email Address of Contact [email protected] Role of Institution at Center Astronomical Science, MEMS Technology.

Institution 10 Name Montana State University Address Mathematical Sciences, Bozeman MT 172400 Phone Number (406) 994 5332 Fax Number Contact Dr. Curtis Vogel Email Address of Contact [email protected] Role of Institution at Center Math modeling

Institution 11 Name Michigan Technical University Address 1400 Townsend Drive, Houghton, MI 49931-1295 Phone Number (906) 487 2513 Fax Number Contact Dr Luc Gilles Email Address of Contact [email protected] Role of Institution at Center Math Modeling

5 1.2 Executive Summary In March 2001, the membership of the Center for Adaptive Optics (CfAO) developed and endorsed a statement of its mission, goals and strategies. Subsequently commencing in November 2002 (Year 3) the Center reorganized its research into themes.

In the report below, the efforts and accomplishments of the CfAO are largely organized by these themes.

On February 3rd 2003, the CFAO submitted to NSF, a proposal for the continuance of funding in the years 6 to 10 (November 2004 to October 2009). The NSF site visit occurred on the University of California, Santa Cruz campus on April 15th to 17th 2003.

The site reviewers recommended the Center’s funding be continued. 1.2.1 CfAO Mission, Goals and Strategies Mission: To advance and disseminate the technology of adaptive optics in service to science, health care, industry, and education. Goal: To lead the revolution in AO, by developing and demonstrating the technology, creating major improvements in AO systems, and catalyzing advances nationwide within the next decade. Strategies: CfAO will pursue its purpose and achieve its goal by: 1. Demonstrating the power of AO by doing forefront science. 2. Increasing the accessibility of AO to the scientific community. 3. Developing and deploying highly capable AO systems and laser beacons. 4. Coordinating and combining research efforts to take advantage of the synergies afforded by the Center mode of operations. 5. Integrating education with our research. 6. Building a Center community that is supportive of diversity through vigorous recruiting, retention, and training activities. 7. Encouraging the interaction of vision scientists and astronomers to promote the emergence of new science and technology. 8. Leveraging our efforts through industry partnerships and cross-disciplinary collaborations. 1.2.2 Themes The theme structure continues to positively impact the Center’s Education and Research programs. Center investigators are encouraged to develop collaborative programs inter and intra theme. Collaborations between vision scientists and astronomers are particularly encouraged. A description of the themes follows.

Theme 1: Education This is a crucial CfAO activity, and its integration with our research is an important challenge. Specific goals and initiatives of our Education program include: 1. increasing the versatility of Center students and post-doctoral researchers. 2. establishing a center-based model for retention and advancement of college-level students from under-represented groups:

6 3. increasing the number of high school students from under-represented groups who are prepared to pursue a science/technology/mathematics degree in college:

The Education Theme was rated as excellent by the 2003 site visit committee.

Effective Adaptive Optics on large mirror aperture (e.g. 30m) using laser beacons will require doing tomography of atmospheric turbulence. By sampling the turbulence in real time at different angles to the optical axis, one can solve for the three dimensional structure of the turbulence above the telescope. With this information one can utilize multiple deformable mirrors, each conjugate to a different height in the atmosphere. The benefits of this type of multi-conjugate adaptive optics (MCAO) include widening the diffraction-limited field of view and achieving near-complete sky coverage with laser beacons (by overcoming the cone effect). While the ultimate implementation of a MCAO system for a 30-m telescope will require both time and resources far beyond the scope of the CfAO, we believe that we can develop the crucial concepts and components needed for its successful implementation.

The recent 2003 NSF site visit report requested that the astronomy programs of the Center, including Theme 2, be more pro-active in informing the Astronomy community, of the considerable progress it has made in identifying national goals for the application of Adaptive Optics, the strategy and infrastructure (including the Laboratory for Adaptive Optics) that it is assembling to meet these goals, and the specific new results obtained using the Lick Observatory laser guide star facility.

The research underway in Theme 2 varies from specific tasks such as laser development to conceptual tasks such as delineating broad issues and exploring potential solutions, for example, in new architectures for adaptive optics on Extremely Large Telescopes. As a consequence of the site visit, the CfAO will encourage its researchers to actively disseminate Adaptive Optics information via publications, professional meetings and public presentations.

As a counterpoint, on July 2nd 2003, members of the CfAO’s Program Advisory Committee (PAC) members congratulated the Center for its leading role in promoting AO in the US. One member said “that the CfAO had been actively engaged with the vision science and astronomy AO communities for the past four years, and its fingerprints can be seen on almost every major development that had occurred in these fields.”

Theme 3: Extreme Adaptive Optics (ExAO), Enabling Ultra-High-Contrast Astronomical Observations

7 The ExAO theme is scientifically driven by the need to achieve high-contrast imaging and spectroscopic capabilities to enhance the detection and characterization of extra-solar planetary systems and their precursor disk material. By improving image quality and reducing scattered light, ExAO systems will enable the detection of faint objects close to bright sources that would otherwise overwhelm them. This is accomplished both by increasing the peak intensity of point-source images and by removing light scattered by the atmosphere and the telescope optics into the “seeing disk”. This combination of effects can dramatically improve the achievable contrast ratio for astronomical observations. Specifically, the CfAO has undertaken a project to build an ExAO instrument for a current 8-10m telescope. We are putting in place a multi-institutional partnership with multiple funding sources for this project, including NSF funding through the CfAO’s Theme 3.

The2003 NSF site visit team expressed concern that adequate management tools needed to be embedded within this project and that there appeared to be insufficient funding from NSF alone for the project to be completed.

The concerns expressed are issues of which the CfAO was aware. The CfAO had earlier recruited a professional project manager to address the management of the ExAO instrument project. We are in the process of updating budgets and Gannt charts to clearly delineate sources of funding, schedules and deliverables that can be achieved under varying and credible funding scenarios. The strategy for funding the building of the envisaged hardware is to seek support from a complementary agency such as NASA, as well as from the Laboratory for Adaptive Optics.. This is being actively pursued. CfAO funding is to be utilized primarily for the research and development phases with external funding covering the construction.

Theme 4: Compact Vision Science Instrumentation for Clinical and Scientific Use Ophthalmic AO systems have been demonstrated in the laboratory for scientific research. The next horizon is to engineer compact, robust AO systems for use in clinics as well as scientific laboratories. The long-term goal is to commercialize a compact AO system for ophthalmic applications. Along the way, these new and existing AO systems are being used to advance our understanding of human vision, and to explore medical applications of adaptive optics. This is a crucial way to provide feedback for the utility of the advanced AO designs.

Theme 4 was rated as excellent by the 2003 site visit committee. 1.2.3 Research Management Conferences - The Center organizes two annual research Fall and Spring Retreats requiring attendance by all researchers. In addition smaller workshops and symposia on specialized topics are held during the year as the needs arise.

The Fall retreat provides researchers the opportunity to share their research results with their colleagues while in Spring they are encouraged to plan future research and to develop collaborative projects. Shortly after the Spring meeting, researchers forward their proposals for continuing or new research. Each proposal is reviewed by external and internal reviewers and then discussed in committee. Those “on the edge” are directed to the Program Advisory Committee (PAC) for discussion and advice.

8 Scientific management - is provided by the Director and by the Center’s Executive Committee (EC) made up of Center representatives including Theme leaders. The EC meets biweekly utilizing video and tele-conferencing links. The Center’s Director and EC are assisted by two external committees – the External Advisory Board (EAB) and the Program Advisory committee (PAC). The EAB meets annually and advises on the broad direction of the Center. It reports to a University oversight committee chaired by the Vice-Provost for Research at UCSC. The PAC also meets annually and assists in ensuring the scientific and technical vitality of the Center’s research program.

Administrative management- The Center has a managing director (reporting to the Director) who is responsible for the day-to-day management and oversight of the various CfAO activities. This includes budget matters, arrangements of workshops and summer schools, report writing, etc.

1.2.4 Partnerships The objective of CfAO’s partnership activities is to enhance the Center’s ability to fulfill both its research and education goals. The Center is pursuing this objective through: 1. leveraging its efforts through industry partnerships and cross-disciplinary collaborations. 2. stimulating further investment by government and industry sources in AO research and development 3. catalyzing the commercialization of AO technologies leading to technological advancements relevant to CfAO research objectives and enabling broader use of adaptive optics.

The CfAO has active partnership activities with 13 optics and micro-electronics companies, 5 national laboratories, 5 non-CfAO universities (including one HBCU), 6 astronomical telescopes, and 2 international partner institutions. In March 2003, CfAO initiated an industrial affiliates program, whereby companies pay a membership fee to participate at Retreats and stay abreast of emerging AO technologies. To date three companies have joined.

Recently our vigorous support for an AO roadmap for AO development in Astronomy has paid off, with the recent NSF announcement of a multiyear AO development program (AODP) for astronomy with first year funding of $3 million. 1.2.5 Highlights for Year 4 1. The CfAO run annual professional development workshop in Hawaii continues to be a success. Graduate students and post docs receive training in inquiry based teaching and learning methods. As in the previous year, a broad sector of the local community including the US Airforce, the Maui Community College and local high school science teachers participated. 2. The Center is working closely with Maui Community College. This summer (2003) the CfAO initiated its first internship program for eleven native Hawaiians students in Maui. In conjunction with Maui Community College faculty, the Center developed an introductory optics course for the interns. Instructors included a CfAO researcher and

9 MCC faculty. Participants received course credit from the MCC. Students are interning with participating high tech. institutions including Boeing and the Airforce. 3. Collaboration – As reported last year collaborations continue between astronomers and vision scientists, particularly in image deconvolution and MEMS mirror technology. Lawrence Livermore National Laboratory recently delivered an AO phropter developed at LLNL for further trials with human subjects both at the University of Rochester and Bausch and Lomb. 4. In Theme 2, an optimum Strehl controller for the case of Kolmogorov frozen turbulence had been derived and validated with simulations. The method is being investigated with regard to MCAO application and real-time implementation feasibility. 5. Improvements in wavefront reconstruction : Wavefront reconstruction refers to the process whereby wavefront sensor measurements are taken as inputs and deformable mirror actuator commands are provided as outputs. There are several teams working on this from differing aspects: • In Year 4 numerical solution methods were developed which reduced the time needed to compute reconstructors for ELTs from a period of days to a matter of hours. The Year 5 goal is to develop still faster methods that will reduce the computational time to a matter of minutes. The end goal is to develop real time wave front reconstructors for ELTs. • New methods for computing and applying reconstruction algorithms using advanced techniques from computational linear algebra were developed. Initial simulation results for a 30-meter class MCAO system with approximately 8500 deformable mirror actuators and 20,000 total wavefront sensor subapertures were obtained. These results used classical open-loop minimum variance wavefront construction. However, open-loop reconstructors maybe sub-optimal for the more realistic case of close looped control. Two candidate approaches for efficiently adapting open-loop reconstruction algorithms to close-looped systems have been identified. 6. Solid state Sodium Laser Guide Star beacons. Both the sum frequency laser being developed at the University of Chicago and the fiber laser at LLNL have shown considerable progress. Sum Frequency Laser – University of Chicago – The CfAO sponsored a blue ribbon panel to review the progress made on this laser. Recommendations were made to enhance the likelihood of successful completion of this project. A laser project engineer was loaned to the University of Chicago by Caltech/JPL and good progress has been made. Delivery of the completed 5 W laser to Mt. Palomar Observatory is scheduled for the end of fallFiber of 2003. Laser - The production of a 589 µm light is based on the sum-frequency mixing of light from two fiber lasers in a non-linear periodically poled crystal to produce CW output at the desired wavelength. The two lasers are an Erbium doped fiber laser (EDFA) producing 1583 µm wavelength and a Nd:Silica fiber laser (NDFA) producing 938 µm wavelength. In Year 3 the EDFA system was successfully demonstrated with 10 W of 1583 µm output. The challenge has been in the design of the NDFA laser. In June 2003 the developers successfully operated the NDFA laser producing 1.9 W of linearly polarized 938 µm output at room temperature. This is a most significant breakthrough and a 10 W result is expected shortly. The developers are confident that they can demonstrate a 5 W CW laser source at 589 µm by the fall of 2003, with the possibility of eventual scaling to 50W in the future. Recently

10 performed experiments on a fiber amplifier holds promise that this laser could also be made to operate in an appropriate pulse format. 7. As a result of the expertise available through the Center for Adaptive Optics, UCSC has been granted $9.1M from the Gordon and Betty Moore Foundation, to found a new Laboratory for Adaptive Optics. The new laboratory will provide facilities for the use of CfAO student and faculty researchers, as well as a focus for hosting visiting scientists from both academia and industry 8. A NIH Bioengineering Research Grant, "Adaptive Optics Instrumentation for Advanced Ophthalmic Imaging" (PI Williams, U Rochester) was awarded in early 2003 . The goal is to build four second Generation Adaptive Optics Scanning Laser Ophthalmoscopes (AOSLOII). The devices will incorporate MEMS deformable mirror technology instead of conventional DMs, and will be built and shared by several institutions. 9. CfAO Vision Science Researchers at the University of Indiana and LLNL share in a National Eye Institute five year $5million research grant for the development of Optical coherence tomography using Adaptive Optics. UC Davis is the prime contract. 10. A special camera equipped with AO and OCT has been developed at the University of Indiana. The camera is designed to image microstructures the size of single cells in the living human retina. First images of the living human retina were recently collected with the camera. Results suggest that the AO-OCT camera is significantly more effective at disentangling images than other state-of-art retina cameras. 11. The CfAO Industrial Advisory Board was organized in year 3. In year 4, an Industrial Affiliates program was launched and three companies have since joined. 1.2.6 Closing remarks This fourth year of the CfAO has been seen continuing advances in its research agenda and increasing collaborative efforts between members. The Center underwent a NSF site visit review evaluating its progress and the prospect of funding for Years 6 to 10. The site visit team recommended continued funding.

11 2. Research

Center’s Overall Research Objectives The overall research objectives of the Center are: 1. To use and promote existing Adaptive Optics (AO) technology in the service of Astronomical and Vision Science in particular and science in general. 2. To improve the technology associated with Adaptive Optics (AO) components and subsequently to develop improved AO systems for both Astronomy and Vision Science. These include improved performance and robustness together with reductions in dimensions and cost.

While the research objectives remain unaltered, in year 3 the Center, as has been reported in Section 1.2.2, has reorganized the management of its research into themes. These themes are Extremely Large Telescopes, Extreme Adaptive Optics and Compact Vision Science Instrumentation. The thematic approach has improved collaboration between researchers both within and across themes.

Performance and Management Indicators. In their research proposals for Year 4, Principal Investigators (PI’s) identified milestones that would be achieved for each of their projects in the coming year. They are required to forward quarterly reports to their Theme Leaders. These are reviewed and evaluated against the milestones that researchers identified in their proposals.

Project evaluation also occurs during the annual proposal review process, where progress against milestones is an important criterion for continuation of a project’s funding. The Proposal Review Committee (PRC) consisting of the Executive Committee, reviews all proposals and recommends funding levels to the Director.

Problems While the Education and Vision Science themes were highly commended by the 2003 site visit team, the astronomy programs were more critically appraised. The perception that CfAO programs and results are not being adequately communicated to the wider astronomy community was both surprising and troubling to us. The Center has in the past used its popular Summer Schools, workshops, website, publications, and conferences , to communicate its results. The site visit committee urged the CfAO to broadly disseminate its astronomical data, with particular emphasis on data obtained using the Lick Observatory laser guide star system, since that system is currently unique in the world. The CfAO’s CATS project plans to do just that (largely with Keck LGS AO data), with infrared adaptive optics images from the GOODS and GEMS deep fields made available in a full public archive (since the Keck LGS AO system is still being commissioned, such data sets are at least a year away).. In response to the site visit committee’s concern, we will strongly encourage our researchers to publish as quickly and widely as possible, with particular emphasis on results from the Lick laser guide star system. The CfAO’s CATS project plans to do just that, with infrared adaptive optics images from the GOODS and GEMS deep fields made available in a full public archive. In response to the site visit committee’s concern, we will strongly encourage our researchers to publish as quickly and widely as possible, with particular emphasis on results from the Lick laser guide star system. With respect to Theme 3, the Center had recognized from the onset that funding

12 for the development of the hardware was beyond the CfAO’s resources alone and that alternate funding resources would have to be aggressively pursued. The committee’s recognition of this and admonition that strict project management controls and budget overview needed to be implemented were appreciated. As of July 1 2003, we have completed a detailed budget and project planning exercise with Gannt charts and personnel plans.

Research Thrust Areas The Center’s thrust areas or themes are closely aligned to the Center’s original goals. The Center’s Education program – Theme 1 encompass the Center’s science and through programs like COSMOS and the Summer School is promulgating information on Adaptive Optics to all sectors of the Community – from High School students to professional scientists and engineers The research themes are directly related to the application and advancement of Adaptive Optics in Astronomy and Vision Science. They are: Theme 2: Adaptive Optics for Extremely Large Telescopes Theme 3: Extreme Adaptive Optics (ExAO): Enabling Ultra-High Contrast Astronomical Observations Theme 4 – Compact Vision Science Instrumentation for Clinical and Scientific Use Further, vision scientists, through their interaction with astronomers within the Center, are implementing AO and image enhancement techniques that originated in Astronomy.

A description of each thrust area follows: 2. 1 Theme 1: Education and Human Resources: In compliance with the Annual Report template, this theme is reported in Section 3 - Education 2.2. Theme 2: Adaptive Optics for Extremely Large Telescopes Faculty: Gary Chanan, Imke de Pater, Sandra Faber, Andrea Ghez, Raja Guhathakurta, Ed Kibblewhite, James Larkin, Claire Max, Ian McLean, Jerry Nelson, Research Scientists: Brian Bauman, Julian Christou, Jay Dawson, Richard Dekany, Chris Ebbers, Brent Ellerbroek, Donald Gavel, Zhi Liao, Terry Mast, Steve Payne, Deanna Pennington, Andrew Phillips, Lisa Poyneer, Mitchell Troy Staff - Alex Drobshoff, Michael Spencer Postdoctoral Researchers: Matthew Britton, Gabriela Canalizo, Vincento Canto, Michele Carpenter, Anshu Dubey, Matthias Schoeck, Eric Steinbring, Simone Trilling, Amanda Young Graduate Students: Matthew Barzcys, Tiffany Glassman, Vanessa Harvey, Seth Hornstein, David Lafreniere, Jason Melbourne, Lynne Raschke, Joseph Rhee, Angelle Tanner, Luke Taylor 2.2.1 Introduction The highest recommendation of the National Academy of Sciences’ Astronomy and Astrophysics Survey Report for ground-based astronomy (McKee and Taylor 2001) was the design and construction of a 30-m telescope equipped with adaptive optics. Developing an adaptive optics system for such a telescope is extremely challenging and requires an extension of almost every aspect of AO system design and component

13 technology. The CfAO objective in this Theme for the second five years of the Center is to make a major contribution towards achieving this national priority, especially in areas where cross-institutional and multidisciplinary collaboration is required.

Over the past 3 years the CfAO has led a “National AO Roadmap” effort, in collaboration with the AURA’s New Initiatives Office. The goal is a national ten-year investment strategy for AO technologies that are needed for the success of a US 30-m telescope. We began in December 1999, only a month after the CfAO came into existence, with a workshop in Tucson attended by 18 national leaders in AO. Our report (S. Strom et al. 2000 and http://www.noao.edu/dir/ao/) was forwarded to the National Science Foundation in July 2000. In the Fall of 2002 we updated the roadmap, and made presentations to ACCORD (the AURA Coordinating Council of Observatory Research Directors), and to the National Academy of Sciences’ Committee on Astronomy and Astrophysics (CAA). NSF astronomy leadership was present at both meetings. ACCORD and the CAA gave strong endorsements to the Roadmap’s long-range plan for AO technology. This Roadmap has now led to the NSF’s Adaptive Optics Development Program, which plans to provide funding for Roadmap-related activities (research and implementation) over a ten-year period. (See http://www.noao.edu/system/aodp/)

Figure 1: Roadmap for AO for Extremely Large Telescopes

In view of the fact that at least four design efforts for 30 – 100m telescopes were under way, in Year 3 the CfAO focused on deciding what its own role should be in this new field. We identified four specific goals: 1) Develop at least one workable “point design” for multi-conjugate adaptive optics on a 30-m telescope; 2) Develop partnerships to co- fund long-range hardware technology development for key AO components, including laser guide stars; 3) Develop techniques for doing quantitative astronomy with laser guide stars; 4) Pursue astronomical science related to AO on 30-m telescopes, especially using laser guide stars, deconvolution methods, and spatially resolved spectroscopy. These 4

14 goals represent areas where the CfAO and its “center mode of operation” can make a unique contribution. The top level of the roadmap developed is shown in Figure 1.

To further theme 2’s four goals we have held seven workshops, ranging in size from 15 to 50 participants. These involved Center as well as academic and industrial experts from the national and international communities. Theme 2 has had strong representation in our Summer Schools through lectures on multi-conjugate adaptive optics, laser guide stars, control theory, and deconvolution methods, as well as in the CfAO’s graduate course in adaptive optics (held at UC Santa Cruz and video-cast to UCLA and Indiana University). 2.2.2 Research Accomplishments and Future Plans

2.2.2.1 “Point design” for multi-conjugate adaptive optics on a 30-m telescope: Analysis, Modeling, and Simulation In multi-conjugate adaptive optics (MCAO), several deformable mirrors are placed at locations in the optical train conjugate to specific heights in the Earth’s atmosphere, typically near layers of turbulence. Five to ten lasers or natural stars are used as reference beacons (Figure 2). With several beacons, tomographic reconstruction of the atmosphere is possible (Tokovinin and Viard 2001). Multiple lasers are essential when using laser guide stars in order to overcome the “cone effect”: the failure of a single laser guide star at a finite altitude to fully probe the cylindrical volume of air above the telescope. The cone effect is more severe for larger telescopes. MCAO corrects larger fields of view than a single-deformable-mirror AO system.

Quantitative analysis is needed both to

Figure 2 Diagram illustrating use of a single laser guide star (left) and multiple laser guide stars (right). Multiple guide stars obtain a better sample of turbulence above the telescope and permit reconstruction of the 3-dimensional turbulence structure via tomography.

evaluate innovative concepts and to make practical decisions about the number of laser beacons, laser beacon power, number of conjugate deformable mirrors, and degrees of freedom required. Currently there is a lack of accepted analytic models parameterizing key design issues, and detailed simulation codes cannot explore parameter space fast enough to provide needed design insight.

In Year 3 the CfAO initiated a long-term collaborative project in analysis, modeling, and simulation for AO on extremely large telescopes (ELT’s) which continues into Year 4. This project involves 12 CfAO researchers from 5 member institutions, including members implementing AO systems on telescopes at Lick, Keck, Palomar, and Gemini Observatories, as well as researchers from Lockheed. After prioritizing of outstanding ELT AO design issues, four key "show-stopper" issues have been identified: 1. quantify the cone-effect when using multiple laser guide stars, 2. mitigate laser guide star spot elongation,

15 3. develop an optical design that gets the laser guide star light through the AO relay optics without severe aberration, 4. optimize multi-conjugate AO reconstruction and tomography algorithms.

Specific modeling tools under development include analytic scaling laws that relate the number and placement of guide stars (natural and laser), deformable mirrors, and wavefront sensors to tomographic reconstruction accuracy over a wide field of view; semi-analytic computer models that compute statistically averaged AO performance as a function of design parameters; massively parallel Monte-Carlo simulation codes that implement AO models in detail and execute rapidly enough to perform practical design trade-off studies; and documented validation procedures for the AO models at each level. Models will be tested using both laboratory and observatory data. As CfAO tools are developed, they are being distributed first to the CfAO community for testing and validation and then to the broad Astronomy community.

To date we have developed and demonstrated a fast wavefront reconstruction algorithm based on FFTs that scales well to ELT AO (Poyneer et al. 2002,). In Year 4 we demonstrated great speedup in computer simulation codes. Computer simulation codes for MCAO on a 30-m telescope are currently taking a million seconds of computer time for each second of “real-time” on a single processor. Work on a more advanced parallel simulation code is proceeding very well.

For CfAO Years 4 and 5, the key output of our Analysis and Simulation effort will be a viable point design for an MCAO system on a 30-meter telescope, including one or more solutions to the “show-stopper” issues described above. We will evaluate the AO performance impact of specific available laser technologies (power and pulse format). Deformable mirror technology is also in a radical state of flux with micro electromechanical (MEMS) devices showing strong promise.

We will select a feasible 30-meter telescope design (e.g. Mast and Nelson 2002), aiming at a conceptual design of a general-purpose AO system, and look ahead to specialized AO systems. In anticipation of a rapid advance in computer power, we will develop and test new AO control algorithms that extract much more physical information from the guide-star light in order to predict and control atmospheric aberrations. In wavefront sensing, we will explore the theory of lightwave sensing and control (not just phase, but phase and intensity) and relate it to device technology developments to open up new possibilities for both hardware and algorithms.

Funding from the Moore Foundation ($9.1M over 5 years) has resulted in the establishment of a “Laboratory for Adaptive Optics” at UCSC. The new lab. should be operational in the Fall of 2003. We plan to build a sub-scale MCAO system, complete with artificial turbulence generation (via phase plates) and surrogate laser guide stars and use this system to test the new wavefront control algorithms developed by the CfAO and to test new tomographic methods for using light from multiple lasers. We will compare tomographic methods with an alternative “layer-oriented” approach (Ragazzoni et al. 2002). The new laboratory will serve graduate students specializing in AO hardware and engineering, an area in which the US has lagged well behind Europe, and will be a strong “magnet” for the UCSC engineering faculty we are presently recruiting. The laboratory will also host visiting scientists from the CfAO and from the broad AO community.

16 2.2.3 Develop partnerships to co-fund long-range hardware technology development for key components

2.2.3.1 Laser guide star development

The CfAO has pursued two parallel Gain approaches to developing an all-solid-state module laser for use as a sodium-layer laser guide star. At the University of Chicago we have Mode funded a group to integrate and test a sum- locker frequency laser (Jeys et al. 1989) using laser components developed by the LiteCycles Output corporation. The three laser modules were coupler delivered to the University of Chicago under co-funding from the Gemini Observatory. They are now being integrated into a full sum-frequency laser system. On January Figure 3 LiteCycles laser gain module at Univ. of 20, 2003 the CfAO held a day-long site visit Chicago with a blue-ribbon review panel, to review progress and future plans for the University of Chicago effort. The laser is scheduled to be producing 5 W of power in the fall of 2003, and to be installed at the Palomar 6-m telescope thereafter. . In parallel we are building a fiber laser system based on sum-frequency mixing two fiber lasers in a nonlinear crystal to produce CW output at 589 µm wavelength. By combining a 1583 µm Er:doped fiber laser with a 938 µm Nd:silica fiber laser, one can generate 589 µm light via sum-frequency mixing in a periodically poled crystal. Led by the CfAO, this project is a collaboration with the Lawrence Livermore National Laboratory (LLNL) and the European Southern Observatory, who have co-funded this work. This technology will provide a compact and efficient laser source: the CfAO fiber laser when deployed will use about 1.5 KW of electric power, as compared with > 50KW for the Keck dye laser.

In Year 3 we demonstrated the 1583 µm fiber laser at 10W. We demonstrated the 938 µm fiber laser at approx. 2W, and expect our second-generation fiber design to produce 10W in Year 4. We have combined the two lasers in a periodically poled material to demonstrate a low power system (30 mW) at 589 µm, shown in Figure 4. By the end of year 4 the three technologies will be integrated and it is anticipated that a 5W, 589 µm fiber laser system will result. Tests will be performed to characterize the overall system. Year 5 efforts will concentrate on producing a field-hardened, integrated system design and scaling to higher power.

17 Figure 4: Photo of “first light” for the low power 589 µm sum- frequency fiber laser demonstration.

1583 nm fiber laser 938 nm fiber laser

2.2.3.2 MEMS Deformable Mirror Development Near infrared AO systems on 30-m telescopes will require several deformable mirrors with several thousand degrees of freedom each. The mirror stroke needs to be at least 5 microns. Optical design considerations imply that the deformable mirror’s diameter should be at least 30 cm, for an acceptable field of view. Although these requirements could in principle be met using today’s conventional deformable mirror technology, the cost is very high (up to $1000 per actuator). In addition the size of the required optical train would be quite large. One alternative is the “Photonex Modules” being developed by Xinetics Inc. Our partners at Caltech and JPL are investigating this option under separate funding. The CfAO is pursuing use of MEMS deformable mirrors. Through Year 4 we have developed a clear set of requirements for ELT applications of AO. MEMS devices have the potential for low cost (down to $10 per actuator) and are scalable to many thousand degrees of freedom. Promising MEMS technologies for ELT AO systems include those being developed by IrisAO, (a CfAO spin- off company), by Lucent, by Intel and by Boston Micromachines. IrisAO is developing high-stroke MEMS devices based on hexagonal segments. Lucent’s design uses low-stress single crystal silicon membranes. Figure 5 shows one of these membrane devices with 1 cm diameter, 256 square Figure 5 Membrane MEMS deformable mirror electrodes, and an achieved stroke of 4 microns, fabricated by CfAO post-doc P. Kurczynski at consistent with models. A technology being Lucent. developed by Intellite uses doped silicon membranes and has the potential to achieve the large dimensions needed for ELTs. Boston Micromachines Inc. is also pursuing MEMS approaches aimed at achieving high stroke.

18 We have been monitoring progress on MEMS concepts being implemented in related programs, notably the CfAO’s vision science work and LLNL’s CCIT project under DARPA sponsorship.

2.2.4 Develop techniques for doing quantitative astronomy with laser guide stars. Despite the huge advantages of adaptive optics in improved spatial resolution, the quality of AO correction is not perfect and varies with time as atmospheric conditions change, as well as with angular distance from the guide star. Temporal changes in the “point spread function” or PSF (what an unresolved point source looks like when viewed through the AO system) affect the ability to make accurate brightness measurements (photometry) and to make accurate position measurements (astrometry). Hence AO images must be calibrated for residual wavefront errors.

In Years 1-4 the CfAO led a coordinated effort to optimize ways to extract quantitative information about image morphology, photometry, and astrometry. Groups from 6 CfAO-affiliated institutions are taking part, an excellent example of the “center mode of operations.” The effort has included observing campaigns and new methods to characterize atmospheric turbulence at Mount Palomar and Mauna Kea, a new algorithm to extract the PSF from real-time Shack-Hartmann wavefront sensor data, and development of a quantitative technique for taking into account PSF variation with distance from the guide star (anisoplanatism).

Our deconvolution research applies to both astronomy and vision science Figure 6 shows Year 4 deconvolution performed on images of stars near the center of the Milky Way Galaxy, obtained with the Keck AO system at a wavelength of 2.12 microns. The advantages of deconvolution are clearly seen: the diffuse halo structure is removed, Figure 6 IR images of the Galactic Center. Raw image permitting individual point sources (left) and deconvolved image (right). Removal of (stars) to be more clearly identified and residual blur allows precise identification and location of located. This is important because the stars. changing position of these stars allows the researchers to determine the mass of the central black hole. 2.2.5 Pursue astronomical science related to AO on 30-m telescopes The fourth goal of Theme 2 is to pursue astronomical science using AO, concentrating on use of laser guide stars, deconvolution, and spatially resolved spectroscopy. The methods developed can be directly fed back to the design and optimization of ELT AO systems. The 2003 site visit committee recommended that astronomy with laser guide stars be the strongest emphasis in this area, and we plan to implement this recommendation.

19 In year 4 the Center embarked on a six year “CfAO Treasury Survey” (CATS), a major legacy science project. We will use AO 10-20 nights/year on the Gemini Keck and Subaru telescopes to observe a large sample of galaxies in the early universe in the near- infrared. All data will be put into a public on-line archive. CATS will provide an invaluable community resource to explore some of the most profound questions in cosmology today. It will allow astronomers to track the morphology and kinematics of galaxies during their assembly, measure the strength and location of star formation during their early evolution, discover the highest redshift supernovae (critical for probing the acceleration of the universe and the evolution of Figure 7. The GOODS North field (green rectangle), Hubble dark energy), characterize Deep Field N (red region), and Hubble ACS field (large blue central active galactic nuclei square to N in left panel). Black squares: area accessible via Keck (AGNs), study their evolution, natural guide star AO. Blue squares: accessible via Keck laser and follow their host galaxies guide star AO. Scale is in arc minutes on the sky. In addition to throughout the past 10-12 the GOODS field in the north, CATS will also observe the billion years. southern GEMS field and an equatorial deep field. CATS will concentrate its efforts in the GOODS (Great Observatories Origins Deep Survey) fields. These two 160 square arc min patches (Figure 7), the southern GEMS field, and an additional equatorial deep field. These are the most intensely studied regions anywhere in the sky. They will have coverage by the world's largest ground and space based telescopes spanning wavelengths from radio to X- rays, producing the deepest images ever taken.

2.2.2.6 Plans for the next reporting Period The new integral field spectrograph OSIRIS, supported with startup funds from CfAO and due in early 2004, will enable the Keck AO system to deliver high spatial-resolution near-IR spectra. The scientific gains will be enormous. OSIRIS will allow CATS to measure rotation curves and the dynamical history of forming galaxies at high redshift. High spatial resolution is especially powerful for studies of AGNs. Recent findings suggest an intimate relationship between massive central black holes and bulges, in nearby galaxies. How this relationship was established and the role of AGNs in early galaxy formation will be key issues addressed. CATS involves individuals from 5 CfAO institutions, and is a superb “Center mode” activity. It will unify several Center science programs on distant galaxies and AGNs, serve as a technology platform for pushing and demonstrating the power of AO, and link AO to the wider community. OSIRIS will make heavy use of the Keck laser guide star, once the latter has completed its commissioning process (now under way).

20 We propose to continue our astronomical AO work in two other exciting astronomical areas: the Galactic Center and the Solar System. For several years a CfAO project has been using Keck AO images to determine very precise orbits of stars around the black hole in the center of our Galaxy. Now Keck AO is yielding the first spectacular spectra in addition to precise stellar positions. Figure 8 shows two spectral lines from the star SO-2 seen in absorption, permitting detailed radial-velocity measurements of the three- dimensional orbit of this star. In Years 6-10 of the Center, the Keck laser guide star and the OSIRIS integral field spectrograph will enable this type of measurement to be made on a more routine basis for many more of the stars in the central cluster around the Milky Way’s black hole.

Figure 8. Spectra of the star SO-2, orbiting the black hole at the Galactic Center. The star is inferred from its spectrum to be a massive (~15 solar masses) young (< 10 Myr) main sequence star, an astonishing challenge to understand in view of the strong tidal forces that prevail at this distance from the central black hole. AO systems on large telescopes also provide a wonderful new tool to image planetary objects at spatial resolution comparable to that obtained by spacecraft. AO allows long term surveys of targets known for their temporal variability (e.g. cometary coma activity, clouds, and volcanoes). To date in the CfAO we have acquired imaging and spectroscopic data with five current AO systems in both natural- and laser guide star modes. Our observations of Saturn’s largest moon Titan included the first observations of tropospheric methane clouds and an infrared surface map at spatial resolution better than Hubble Space Telescope. Our observations of the double asteroid Kalliope with the Lick and Palomar AO systems were used to estimate, for the first time, the internal structure of this asteroid. We made spectacular progress studying volcanoes on Jupiter’s moon Io. For example, on 22 Feb. 2001 there was an outburst at Io’s Surt volcano that was the largest, most energetic, outburst ever seen (Figure 9). Our infrared colors and spectra suggest an event that contained magnesium-rich silicates.

21 Figure 9 Eruption of the Surt volcano on Jupiter’s moon Io, from Keck adaptive optics. Left three panels are the J, H, and K bands from Keck AO. Right panel is visible-light image from the SSI imager on the Galileo spacecraft. The circle shows the volcano’s position. One of the most exciting frontiers in planetary astronomy is characterization of the Kuiper Belt. It is only about one decade ago that the first Kuiper belt object (KBO) was discovered. Since then the discovery rate has increased each year. Several KBOs turn out to be binary systems. Binary orbits contain crucial information on the density of the primary (if its size is known), and from the precession of the orbit one can constrain the internal density distribution of the primary. These in turn can be used to infer the collisional history and evolution of KBOs. We propose to use the Keck laser guide star to image binary KBOs. The new OSIRIS spectrograph at Keck will give us the advantage of creating a low-resolution spectrum of the primary (and hence obtaining information on material properties) as well as imaging the secondary object if it is present. We also are using the Lick laser guide star to image binary asteroids.

22 2.3 Theme 3: Extreme Adaptive Optics (ExAO): Enabling Ultra-High Contrast Astronomical Observations

Faculty - Andrea Ghez, James Graham Research Scientists and Engineers- Jim Brase, Peter Krulevitch, Bruce Macintosh, Scot Olivier, Don Philion, Lisa Poyneer, Anand Sivaramakrishnan, Steve Jones, Gary Sommargren, Scott Severson, Mitchell Troy, Kent Wallace Postdoctoral Researchers - Gaspard Duchene, Jennifer Patience, Marcos van Dam, Paul Kalas, Andy Sheinis. Graduate Students - Emily Carr, James Lloyd, Russel Makidon, Caer McCabe, Marshal Perrin, Julia Wilhelmsen Undergraduate Students - Quinn Konopacky 2. 3.1 Introduction Extreme Adaptive Optics (ExAO) focuses on the development and utilization of AO systems and instrumentation to enable revolutionary ultra-high-contrast astronomical observations. The primary goal of this Theme is the discovery and characterization of extrasolar planets through direct imaging, providing a unique capability for the study of planetary systems and their formation. 2.3.2 Scientific Motivation In the past decade, more than 100 extra-solar planets have been discovered (Marcy and Butler, 1998). All have been found through indirect techniques, most with radial-velocity spectroscopy and one via photometric transits (Konacki et al. 2003). The spectroscopic technique is most sensitive to giant planets orbiting close to their parent star, and hence has discovered primarily planetary systems very different from our own. In these systems, Jupiter-like planets orbit at distances occupied in our Solar System by terrestrial planets. The formation of these systems remains a puzzle, since Jovian planets had been hypothesized to form beyond the “ice line” at 4-5 astronomical units (AU; the mean earth-sun distance). Inside the ice line, where heat from the star precludes the survival of frozen water, it is unclear how to form the large ice cores thought to be required for the giant planets in our Solar System. Currently the region beyond the ice line is largely inaccessible to indirect searches due to the need to measure an entire circuit of the planet’s orbit for an unambiguous detection, requiring more than a decade of observation.

In contrast to indirect methods, direct observation of photons emitted or reflected by a planet would enable the detection of planetary systems that, like our own, have giant planets in wide (5-40 AU) orbits, and hence allow room for Earthlike planets in 1 AU orbits. Direct observations would also allow for characterization of the composition and formation history of Jovian planets orbiting other stars. Understanding the formation and properties of these giant planets is a crucial step towards understanding the frequency and properties of solar systems like our own.

Our most recent detailed analysis, shown illustratively in Figure 10 confirms that an ExAO system on a current 8-10 meter telescope should be capable of directly observing a number of Jovian planets. This will have historic importance, and will be enabled by an

23 orders-of-magnitude increase in sensitivity for detecting dim objects (e.g. planetary systems and their precursor material) near bright sources.

Figure 10 Simulated image from the proposed Figure 11 Monte Carlo simulation of a XAOPI search for EXtreme Adaptive Optics Planet Imager (XAOPI). planets orbiting nearby stars compared to radial-velocity and This shows a 15 minute exposure at a wavelength of astrometry techniques. The Y axis is the planet’s mass (in units 1.65 microns of a system consisting of a solar-type of Jupiter masses) times its orbital inclination (the quantity star (hidden behind an occulting spot in the center) measured by radial-velocity surveys). The x axis is the and a 8 Jupiter-mass planet (circled, right of center). planet’s orbital radius in astronomical units. Stars represent The square “null” in the scattered light is created by known planets discovered by radial velocity surveys, XAOPI’s square deformable mirror and wavefront preferentially sensitive to planets close to their star. Dots sensor, with light from the star leaking out at the represent a simulated astrometric survey using the Keck edges. interferometer. Planets discovered by XAOPI are filled circles; only XAOPI has significant sensitivity to planets past the “ice line” where giant planet formation is expected to occur.

2.3.3 ExAO Objectives The ExAO theme has grown naturally from the more general goal of the Center to develop new AO technologies for the next generation of high performance AO systems on the world’s largest telescopes. Our objectives are to design and build an ExAO instrument, deploy it on an 8-10 meter telescope, and detect planets. The success of CfAO in catalyzing key developments in new AO technologies during the first 3 years of the Center has made a convincing case for the feasibility of developing a complete ExAO system for an 8-10 meter telescope during CfAO Years 6-10. Year 5 will continue with basic feasibility and developmental studies.

A secondary objective is to produce a CfAO technology cornerstone – the world’s most powerful astronomical AO system, with orders of magnitude better performance for high contrast observations than any existing system. In addition, the design and implementation of an ExAO system with 103-104 degrees of freedom on the current generation of large telescopes is an important step towards AO for extremely large telescopes, which require a similar number of control points.

24 The ExAO theme takes explicit advantage of the “Center mode of operation,” since this project is significantly larger in scope and duration than a typical NSF single PI project, and can be accomplished only by coordinating and combining the efforts of numerous researchers at multiple institutions. Developing key enabling technologies for an ExAO system emphasizes multi-disciplinary collaborations, including links to engineering researchers and industrial partnerships. Development of these key enabling technologies also strengthens links between astronomy and vision science. MEMS deformable mirrors are being developed for both applications, and current AO system performance characterization activities will address both astronomical and vision science systems. 2.3.4 ExAO Theme Accomplishments The ExAO theme activities have focused on six topics, with outstanding progress described below. This helps set the stage for the revolutionary phase of the ExAO theme, which has as its centerpiece the design and construction of the EXtreme Adaptive Optics Planet Imager, XAOPI.

2.3.4.1 System design and analysis We have undertaken an ambitious system design study to develop concepts and implementation strategies for an ExAO system that enables the specific scientific goals of the Theme. We developed improved performance models by extending the previous analytic work of Angel (1994) using more realistic models for the relevant physical processes (Macintosh et al. 2002, 2003). Based on these new models, along with realistic models for stellar Figure 12 Lick adaptive optics polarimetry observations of the Herbig populations and planetary α AeBe star Lick H 234. This is a ~5 Msun star still embedded in its natal properties derived from cloud and probably less than 1 Myr old. In this false-color mosaic, blue = 1.25 microns, green=1.65 microns, and red=2.1 microns. North is up; current observations and East to the left. theories, in Year 4, we performed detailed Left: The unpolarized intensity image shows several dimmer stars in the simulations to assess the immediate environment of Lick Hα 234. capabilities of an ExAO system for direct detection of Center: The polarized intensity images reveal four clumps of dust which near-IR emission from extra- scatter strongly polarized light (~25% peak). The regions N and S are suggestive of bipolar outflow from the young star. The SW clump solar planets (Graham et al. scatters only long-wavelength light, while the N and S clumps are absent 2003). These simulations at long wavelengths. demonstrated that a survey of nearby stars would detect a Right: The same image as at center, with polarization vectors overlaid. large number of massive or

25 young planets (Figure 11) mainly because these planets have significantly enhanced near- IR emission. In addition, we showed that identifying and targeting younger stars would increase the success rate by factors of 5-10, and that many distinct target samples exist.

2.3.4.2 Instrumentation design and analysis Beyond basic system design, it has become clear that the scientific utility of an ExAO system will be greatly enhanced by coupling with scientific instruments optimized for high-contrast imaging. To demonstrate this concept, we have developed an imaging dual-channel polarimeter for use with the existing AO system at Lick Observatory. This instrument vastly enhances our sensitivity to star- and planet-forming dust near stars (which polarizes light) by removing the halo of light from imperfect AO correction (which is unpolarized), using a prism to image two polarization states simultaneously (Kuhn et al. 2001). The instrument developed for Lick saw first light in March 2002 (Perrin et al. 2003) and is unique because it is the first imaging polarimeter sensitive at near-IR wavelengths, ~2 microns, where AO systems perform best. Data from early observations with this instrument are shown in Figure 12.

2.3.4.3 High-contrast astronomical observations Existing AO systems can be helpful in understanding the Figure 13 Candidate extrasolar planet challenges of high-contrast imaging. Therefore, we are pursuing orbiting a young star in Ophiucus. forefront scientific observations of targets relevant to the ExAO science case. We have used these observations to aid in a systematic study of the high contrast performance of AO systems at Lick and Keck Observatories and to refine our AO performance models. 1.6 arcseconds Before the first generation of ExAO systems become available, one potential way to directly detect a subset of extra-solar planets is to search for them when they are very young. Consequently we have embarked on a survey to search for low-mass companions to young stars in nearby star forming regions and slightly older associations (e.g., TW Hydrae). Imaging of the Ophiucus star forming region has already revealed two extra-solar planet candidates. One candidate, shown in Figure 13 is 104 times dimmer than its parent star, and is separated by an angle of 1.6". If this object were physically associated with the star, it would be located ~200 AU from the star and have a mass in the range of 3-5 Jupiter masses. Finding a planetary companion at such a wide separation from such a young star would represent a major change in our picture of planet formation. There remains the significant probability that these objects are background stars, and thus their true nature must still be determined through follow-up observations. These observations highlight the need for an ExAO system to reach even higher levels of sensitivity at angular scales corresponding to ~10 AU.

26 AO performance improves at longer wavelengths of light. Another exciting example of the type of ExAO precursor observations possible with the best current systems is use of the Keck AO system to obtain the first resolved image at the near-IR wavelength of 3.8 µm of a disk around the young binary star GG Tau. Figure 14 Infrared images of GG Tau. Left: Hubble Space Telescope image Comparing these images at a wavelength of 1.6 microns. Right: Keck AO image at a wavelength of 3.8 microns. The Keck AO image is lower signal-to-noise ratio due to the with images taken with the high thermal background at these longer wavelengths, but the strong Hubble Space Telescope at forward scattering shows evidence of dust grains beginning to coalesce. a wavelength of 1.2 µm (McCabe et al., 2002) provides information on the growth of dust grains in young proto-planetary disks and allows characterization of the Keck AO system in its highest performance regime. This information may provide exciting experimental evidence for the theoretically predicted initial stage of planet formation in disks. Figure 14 shows the results of the initial observations with the Keck AO system and compares them with the HST observations at a shorter wavelength.

2.3.4.4 AO system performance assessment and optimization In order to anchor our models of ExAO system performance, it is imperative to understand the performance of current systems. The first goal of this effort has been to evaluate the performance of many AO systems to which we have access (including vision science systems), both generally and for high-contrast imaging. The second goal has been to improve the performance of key systems that may not have reached their full potential, such as the Keck II AO system. A third has been to facilitate exchange of knowledge among AO system operators, both in vision science and astronomy. Our work has led to significantly improved understanding of the Keck AO system, increasing confidence in our performance predictions for a future ExAO system while enabling us to assist the Observatory in making important optimizations to improve present scientific utility.

An initial step in the characterization of the Keck AO system was to construct a detailed error budget based on diagnostic data from the AO system in order to predict the normalized peak intensity (or Strehl ratio) produced by the system. We found that this systematically over-predicted the Strehl ratio. This result, along with data on performance degradation with decreasing star brightness, led to further empirical investigations of the parameters that could affect the performance of the system. Ongoing research, in year 4 carried out primarily by a CfAO-funded postdoctoral fellow resident jointly at LLNL and Keck, has led to identification of several key issues including charge diffusion effects in the wavefront sensor CCD, quad-cell and CCD non- linearities, and control matrix generation. Using a new approach to scaling for non- common-path aberrations together with new reconstructor matrices and correcting for

27 CCD anomalies, typical bright-star H-band Strehl ratio has improved from 0.2-0.25 to 0.3-0.35. Dim-star performance has also been significantly improved, and most key terms in the error budget now appear correct.

2.3.4.5 High-order MEMS development ExAO systems will require deformable mirrors with many actuators. Our current straw- man design calls for ~3000 actuators. MEMS technology offers the possibility of developing this type of high-order deformable mirror for a cost one to three orders of magnitude lower than conventional deformable mirrors. In its first three years, the CfAO has pursued a highly collaborative coordinated strategy of MEMS development (Olivier et al. 2001). This involves many academic and industrial institutions, and is designed to take advantage of national advances in optical MEMS technology while providing a focus on the requirements important for applications in astronomy and vision science. MEMS deformable mirrors with architectures that allow scaling to over 10,000 actuators are being investigated. This involves new packaging and electronics integration strategies, illustrated in Figure 15 In addition, we are investigating actuator designs that allow scaling to over 10 mm surface motions and fabrication techniques that allow scaling of device sizes to over 10 cm. These efforts are coordinated with other MEMS projects in the CfAO for vision science applications, and with multi-institutional optical MEMS development efforts currently being directed by LLNL. The development activities in this area support not only the ExAO Theme, but also the ELT and vision science Themes within the Center.

2. 3.4.6 High-resolution wavefront sensing and control ExAO systems require simultaneous control of more degrees of freedom than have previously been demonstrated in an AO system for astronomical imaging. Therefore we have engaged in a series of activities to demonstrate the feasibility of the required high- order, high-speed wavefront control. As a first step, we demonstrated high-order control using a liquid crystal spatial light modulator with ~300,000 phase control points (Olivier et al. 1999). These initial experiments were done in the laboratory at low speed. However, real ExAO systems must operate at rates up to, or beyond, 2 kHz. For an ExAO system, the projected computer processing speed is not adequate using conventional wavefront reconstruction algorithms. Currently, we are developing faster algorithms for accurate, real-time wavefront reconstruction.

Figure 15 Prototype 1000-actuator MEMS deformable mirror developed at Boston University (left). Illustration of scalable electronics integration strategy with high-voltage CMOS amplifiers located under each actuator (center). Prototype high-voltage CMOS amplifier developed at LLNL for use with Boston University MEMS DM (right). This new deformable mirror technology could enable ExAO systems with thousands of actuators.

28 Our work on efficient reconstruction algorithms has concentrated on Fast Fourier Transform (FFT) techniques (Freischlad and C.L. Koliopoulos 1985). We have made outstanding progress in this area, particularly in the previously unsolved issue of dealing with realistic telescope aperture shapes. We have simulated direct comparisons to conventional reconstruction schemes for large systems, and demonstrated nearly identical performance with a dramatic decrease in computational requirements – a factor of ~80 improvement for a 3000-actuator system. We then experimentally validated our new FFT reconstructors using the AO system on the Palomar Hale telescope in September 2002 (Poyneer et al. 2002, 2003). Future work will compare FFT reconstructors with other efficient algorithms. As shown by Sivaramarksihnan et al (2002) and Perrin et al (2003), ExAO systems must be particularly concerned with controlling phase errors over specific ranges of spatial frequencies, to produce the characteristic “null” seen in Figure 10. In conventional AO systems, a major source of errors at otherwise-controllable spatial frequencies is aliasing of uncontrollable high frequencies. We have designed and simulated an innovative spatially filtered wavefront sensor (Poyneer and Macintosh 2003), which has the potential to reduce errors inside the AO system’s control range by a factor of 100. This SFWS can control even phase errors caused by discontinuities such as the segmented Keck primary mirror, removing the major technical barrier to deploying ExAO at Keck.

2. 3.4.7 The eXtreme AO Planetary Imager (XAOPI) Our strategy is to continue high-contrast science with the Keck and Lick AO systems and to develop a highly accurate interferometric wavefront sensor operating directly on starlight. Most importantly, the knowledge gained will be used in the design and implementation of the eXtreme AO Planetary Imager (XAOPI), incorporating an AO system, with ~3000-actuators, on an 8-10m telescope.

An ongoing conceptual design phase this year (CfAO Year 4) will complete thorough conceptual designs, including specific telescope interface and science instrument considerations. The program team offers a balanced combination of science qualifications and technical abilities, including experience accrued from the design and astronomical use of the Palomar, Lick, and Keck AO systems for high dynamic range science. The Theme members have had regular telecons, meetings between individual participants, and three workshops on ExAO system design. We have explored the Figure 16: Schematic layout of the XAOPI extreme AO system. properties of ExAO beyond the idealized cases presented by Angel (1994), produced sophisticated predictions of high-contrast AO performance, and developed a compelling science case connected to a technologically feasible AO system.

29 2.3.5 Future Plans - XAOPI timeline and milestones In Year 4 the CfAO is supporting the first phase of this 5-year plan. The core of this phase is a conceptual design study for XAOPI, incorporating the world’s most advanced AO system, with ~3000-actuators, on an 8-10m telescope. During Year 4, the XAOPI project has made progress in several significant areas - Development of the spatially filtered wavefront sensor concept (section 2.2.3.4.6), which improves high contrast performance within ~1” by a factor of 10 or more - Detailed program management as discussed in the introduction to this section - Acceptance of XAOPI as a potential externally-funded science instrument by the Keck Observatory and its Science Steering Committee - Participation of the XAOPI team in the Gemini new instruments development process Construction of an ExAO testbed in the new Laboratory for Adaptive Optics, funded by the Moore foundation.

As shown in the GANNT chart below, the XAOPI system would be integrated in 2006 and deployed on a telescope in 2007 for a total cost of ~$7 million (not including the science camera).

The current expectation is that CfAO would fund less than half the overall cost of the XAOPI project, and that a combination of NASA, private foundations and other NSF programs would fund the remainder. The science camera would also be funded from these other sources. Proposals to external sources for co-funding have been submitted. Direct detection of Jovian planets has been recognized as a necessary step on NASA’s path to the Terrestrial Planet Finder, and we will approach NASA to fund such activities.

30 ExAO Theme Plan

FY03 FY04 FY05 FY06 FY07 FY08 FY09 Task Description 1 2 3 4 1 2 3 41 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1.0 High Contrast Science 1.1 T-Tauri Stars 1.2 Dust Disks 1.3 Companions of very young stars 1.4 XAOPI survey of young stars 2.0 XAOPI Design 2.1 Conceptual Design 2.2 Preliminary Design 2.3. Critical Design 3.0 LAO Technology Demonstrations 3.1 Initial high-contrast PSF experiments 3.2 MEMS DM tests 3.3 Wavefront sensor tests 3.4 Calibration tests 4.0 XAOPI Program Requirements 4.1 Telescope selection process 4.2 XAOPI co-funding solicitation 4.3 Science camera conceptual design 4.4 Science camera co-funding solicitation 5.0 XAOPI Build, Test, Deploy 5.1 Opto-mechanical system construction 5.2 Wavefront control system construction 5.3 XAOPI laboratory integration & test 5.4 XAOPI telescope integration & test 5.5 Science commissioning

2.4 Theme 4 – Compact Vision Science Instrumentation for Clinical and Scientific Use

Faculty - Don Miller, Richard Muller, Austin Roorda, Bernard Sadoulet, David Williams

Research Scientists - Abdul Awwal, Julian Christou, Ravi Jonnal, Scot Olivier, Bernando Romero-Borja, Charles Thompson, Karen Thorn, Scott Wilks Postdoctoral Researchers - Li Chen, Stacey Choi, Nathan Doble, Michael Helmbrecht, Peter Kurczynski, Junle Qu, Krishnakumar, Arturo Cisneros, Kerry Highbarger Graduate Students - William Donnelly III, Sina Farsiu, Dan Good, Heidi Hofer, Joy Martin, Siddharth Poonja, Jason Porter, Julia Wilhelmsen, Fan Zhou

2.4.1 Introduction CfAO supports the development of novel ophthalmic instruments that have greatly extended our view of the living retina. These instruments have opened previously inaccessible paths to understanding both the normal and the diseased retina. CfAO has

31 also encouraged the development of a new generation of instruments to measure and compensate the aberrations in eyes, and these are leading to advances in the correction of vision with refractive surgery, glasses, contact lenses, and intraocular lenses. 2.4.2 Instrumentation Fig. 3.1.4-1 shows the roadmap for instrumentation development in the Vision Science Theme for the first five years of CfAO (particularly Year3, 4 and 5). Prior to the existence of CfAO, the only AO system for vision science worldwide resided at the University of Rochester. CfAO has established a collaborative framework in which five new AO systems have been developed, supported by the success of the Rochester AO system as well as expertise in AO systems designed for astronomy. Because of the coordination provided by CfAO, each instrument has distinctly different capabilities, allowing us to explore the applications of AO much more efficiently than would otherwise have been possible. Moreover, CfAO has been a highly effective leveraging funding in the Vision Science Theme. CfAO’s investment of about $3M in vision applications of AO during the first 3 years of the Center has stimulated nearly $20M in additional funding,. Much of this would not have been obtained without the collaborations established by CfAO.

Figure 17 The Vision Science roadmap for the first 5 years of the CfAO. The acronyms are defined below.

32 2. 4.2.1 Adaptive Optics Scanning Laser Ophthalmoscope (AOSLO) The retina is a 3-D structure and the ability to optically section the retina, resolving cells in each of its many layers, is a major advantage. A key CfAO goal has been to combine AO with confocal imaging. CfAO investigators at U Houston have demonstrated the first ophthalmoscope that successfully combines the benefits of both technologies (Roorda et al, 2002). Figure 19 shows a diagram of the instrument. Figure 20 shows three axial sections revealing the nerve fibers, the capillaries, and the photoreceptors in turn in a 400 x 400 micron patch of living human retina near the fovea.

Figure 19: Houston AOSLO Figure 18: Rochester AOO

Figure 20: Axial sections from a living human retina obtained with the Houston AOSLO.

2. 4.2.2 Adaptive Optics Coherence Gated Retinal Camera (AOCGRC) To achieve very high axial resolution, an alternative to confocal imaging is optical coherence tomography (OCT). CfAO has supported the design and construction of an en face OCT system equipped with AO at Indiana U, (Miller et al, 2003), the first AO-OCT system of any kind in the world. The extremely high axial resolution of OCT combined with the high transverse resolution of AO has the potential for the best sensitivity and axial resolution of all AO systems built for the eye to date. In year 4, results with human subjects have demonstrated a high axial resolution of 10 microns in retinal tissue, as predicted by theory.

33 2. 4.2.3 Instruments with Compact, Low-Cost, High-Stroke Wavefront Correctors CfAO astronomers and vision scientists have made important progress toward the CfAO goal to develop inexpensive and compact wavefront correctors. Conventional deformable mirrors for vision science cost approximately $100K (100 actuators @$1000 per actuator) which puts this technology out of reach for almost all vision scientists and clinicians. Moreover, these mirrors are large (~75 mm diameter), increasing the size of ophthalmic instruments beyond the capacity of a typical examination room. MEMS based technologies appear quite promising, and several approaches with MEMS are being explored.

LLNL and U Rochester have built test-beds to test two alternative wavefront correction technologies, liquid crystal spatial light modulators (LCSLM) and MEMS deformable mirrors. These alternate technologies are substantially less expensive than conventional deformable mirrors and more compact, an important requirement for deploying these devices in the clinic. In Rochester, where the Boston Micromachines MEMS DM was integrated into the 2nd generation AO Ophthalmoscope, they found that the MEMS device performed similarly to the Xinetics DM, but with limited stroke. They demonstrated the first-ever use of MEMS for closed loop AO imaging of photoreceptors in the eye. These efforts have led to the development of two new instruments that use alternative AO technology, which are described below.

Phoropters are clinical instruments for subjectively determining spectacle and contact lens prescriptions. They also correct the patient’s defocus and astigmatism during measurements of visual performance (e.g. acuity, contrast sensitivity). However, a phoropter equipped with an AO system can objectively measure and correct the eye’s wave aberration in less than 250 msec. Moreover, it can correct higher order Zernike modes as well as defocus and Figure 21 Phoropter built at LLNL using a LCSLM as astigmatism. LLNL, in consultation the DM, currently being used at UC Davis. through CfAO with U Rochester, has designed and constructed an AO phoropter using the Hamamatsu Liquid Crystal Spatial Light Modulator (LCSLM). The device, shown in Figure 21, is to be used at UC Davis for experiments on the limits of human vision and on the effects of aging on the eye’s optics, visual performance, and retina.

In year 4, LLNL, in collaboration with U Rochester and in partnership with B&L and Wavefront Sciences, has developed a MEMS-based (Boston Micromachines) portable AO phoropter suitable for clinical demonstration. This device allows a patient to view a visual acuity chart through AO. CfAO provided the original funding for this project, which is now largely supported by a DOE Biomedical Engineering grant, in collaboration with U Rochester and Bausch and Lomb, as well as UC Davis and the Army Aeromedical Research Lab. Bausch and Lomb plans to test the device in their optometry clinic.

34 2.4.3 Next Generation of MEMS Mirrors CfAO is now partnering with three companies, Boston Micromachines, Iris AO, and Lucent, each of which offers a different strategy to achieve mirrors suitable for commercial ophthalmic instruments. A collaborative effort between CfAO participants, Indiana U, and U Rochester produced the requirements for vision science DMs based on population statistics of the eye’s wave aberration. All three companies are working toward mirrors that meet these requirements. CfAO is also supporting efforts at BSAC at UC Berkeley to develop on-board electronics for MEMS deformable mirrors for vision science.

Boston Micromachines is modifying the design of their mirror to increase the stroke, with the expectation of achieving strokes comparable to current Xinetics technology (4 – 6 microns).

Iris AO, a company spun off from CfAO, has been contracted to provide very high stroke devices (10 µm) for the vision application in year 4. The spin-off represents an important milestone for the Center, indicating our ability to commercialize the AO technology we develop. Helmbrecht (postdoc from UC Berkeley) and Doble (postdoc from U Rochester) are two of the company’s founders. Iris AO has won several prestigious awards for its business plan: In Year 4 it was the $50,000 first prize plus $10,000 in business and legal services in the inaugural Purdue University Life Sciences Business Plan Competition. Iris AO will deliver their first functioning mirror, with 37 actuators this year.

Lucent is developing a charged, electret membrane mirror In Year 4 they fabricated and tested a low stress membrane device with 1024 electrodes The device consisted of a single crystal silicon membrane that was flip chip bonded to am electrode array with 20µm polyimide spacers between membrane and electrode chips. The device had 275µm wide electrodes and 2 µm amplitude influence functions at 105 V operating voltage. 2.4.4 Image Processing for High Resolution Retinal Imaging In Year 4, Julian Christou, an astronomer at UCSC, led a collaboration with the vision science nodes to apply blind deconvolution algorithms initially developed for atmospheric imaging problems to AO retinal images Exciting early evidence for the merits of deconvolution is that the three classes of cones can be distinguished more reliably (see Figure 22). This project illustrates the value of collaborative efforts between astronomy and vision science. All vision AO systems for retinal imaging will ultimately benefit from this effort.

35 Figure 22: The left panel shows the scatter plot of L and M cones from raw AO images from a Macaque retina. After deconvolution (right panel) the two cone classes are better distinguished.

2.4.5 How-To Manual for Vision AO Systems All five AO instruments built to date in the Vision Science Theme were a team effort involving all four vision nodes (Rochester, Indiana, Houston, and LLNL) working together in Center mode. We have agreed to share the many lessons learned so far with the larger vision community by creating a How-To Manual during years 4 and 5 that provides a prescription for AO system construction, alignment, and calibration. This effort will benefit from principles developed previously in the analysis of AO systems in astronomy and will parallel an ongoing CfAO project to characterize and optimize the performance of the Keck AO system. 2.4.6 Bioengineering Research Partnership A NIH Bioengineering Research Grant, "Adaptive Optics Instrumentation for Advanced Ophthalmic Imaging" (PI Williams, U Rochester) was awarded in early 2003 . The goal is to build four second Generation Adaptive Optics Scanning Laser Ophthalmoscopes (AOSLOII). The devices will incorporate MEMS deformable mirror technology instead of conventional DMs, and will be built and shared by several institutions.

A second BRP grant from the National Eye Institute (NEI) has been funded. at the level of $5 million over five years. LLNL will build an AO-equipped scanning OCT system to be deployed at UC Davis. The grant will also facilitate the development of an improved OCT system at Indiana that will be shared with Tom Milner from the University of Texas. 2.4.6 Scientific Achievements CfAO mainly funds the development of instruments at each vision science node as well as the technical infrastructure to operate them. This enables scientific and clinical research at each node that is typically funded elsewhere but that would not have been possible without the AO technology provided through CfAO. Highlights of the major scientific achievements with CfAO instruments follow.

36 2.4.7 Clinical applications of AO Three CfAO nodes (Rochester, Houston, LLNL) have made their AO systems available to clinical researchers and projects are ongoing to image at high resolution age-related macular degeneration, diabetic retinopathy, glaucoma, and retinitis pigmentosa and to better understand the influence of aging on the eye’s optics, the Figure 23: The images show microaneurysms and photoreceptors retina, and visual acuity. (left panel) and hard exudates (right panel) in a diabetic’s retina. Figure 23 shows examples of images obtained at U Houston illustrating hard exudates and microaneurysms in a patient with diabetic retinopathy. 2.4.8 Color sensations from single cones A fundamental tenet of color vision, proposed by Young and Maxwell, is that each cone produces one of three fundamental sensations depending on which kind it is. Heidi Hofer (a recent PhD student U Rochester) has used AO to reveal the photopigment in single cones in patches of 500 or more human cones. Figure 24 shows results from 12 retinal locations in 10 different eyes. Note the remarkable variation in relative numbers of L and M cones. She also used AO to deliver spots of light that are so small that they stimulate single cones. Monochromatic spots presented in this way can appear different colors from flash to flash. What is surprising, however, is that her subjects see many more than the three fundamental color sensations postulated by Young and Maxwell suggesting the conclusion that different cones with the same photopigment must generate different color sensations. 2.4.9 Other notable achievements in Year 4 include: 1. Discovery of a new form of color blindness involving missing cones (holes) (Carroll, Hofer, Neitz, and Williams, in preparation) Medical College of Wisconsin and U Rochester. 2. First Direct Measurements of the Antenna Properties of Single Human Cones in vivo, (Roorda and Williams, 2002) U Rochester and U Houston. 3. The Role of Higher Order Aberrations in Accommodation; (Chen, Kruger, and Williams, in preparation) SUNY and U Rochester. 4. A New Method to Predict Refractive Errors from Wave Aberration Data (Guirao & Williams, 2003) Bausch and Lomb, U Rochester, U Murcia, Spain, U Houston, Indiana U. 5. Neural Compensation and Adaptation to Blur from Ocular Aberrations. (Artal, Chen, and Williams, in preparation) U Rochester and U Murcia, Spain. 6. First Measurements of Blood Velocity in Single Capillaries Without Fluorescein Dye in the Living Human Eye (Roorda and Martin, in preparation) U Houston. 7. Discovery and Characterization of Large Temporal Variations in Cone Reflectance (Pallikaris and Williams, submitted) U Rochester.

37 Figure 24. Maps of the trichromatic cone mosaic in 12 sections from 10 eyes. The L:M (red:green) cone ratios range from 0.33:1 to 19:1, yet all eyes are considered by standard testing to have normal color vision.

2.4.10 Future Vision Science Thrusts There are two major thrusts in the application of AO to the eye: the development of high- resolution instruments for noninvasive retinal imaging, and the development of new methods to correct vision. These two thrusts are discussed sequentially below.

High Resolution Retinal Imaging In year 1 – 5, we have focused on instrument development, with the goal of using the instruments for clinical and basic science. In years 6 – 10 we intend to shift the emphasis toward clinical imaging goals. Clinical imaging applications range from early detection of retinal disorders, better understanding of the mechanisms for the progression of a disease, and understanding and monitoring the efficacy of treatments for retinal disease. The following examples highlight some of the clinical and basic science projects that we plan to pursue.

38 Figure 25 Vision Science instruments roadmap for years 6-10.

High resolution imaging of vascular structure and blood flow As recently demonstrated at U Houston, AO allows the direct measurement of blood velocity without the need for contrast agents, so that vascular disease can be studied non- invasively, and over much longer observations periods in individual patients. We plan to enhance this capability and study its applicability to blood flow related retinal diseases. Imaging photoreceptors: Disease and Age Effects The ability to image photoreceptors in vivo makes possible the quantitative evaluation of new treatments for blinding disorders. For example, the therapeutic potential of gene transfer as a treatment for retinal disease is widely recognized, however the lack of reliable in vivo measurements is a primary problem. We will improve our ability to image rods as well as cones, and apply these imaging techniques to both animal and human models. This will allow study of photoreceptor loss in aging eyes. Imaging ganglion cells Glaucoma is the second leading cause of blindness in the United States and is caused by progressive death of ganglion cells, which serve as a link between the eye and the brain. Current diagnostic techniques provide indirect information about the viability of ganglion cells via, for example, the thickness of the nerve fiber layer, but they do not directly evaluate the ganglion cells themselves. A major goal of the CfAO is to augment our current AO systems with additional technology so that nearly transparent structures such as ganglion cells can be resolved in vivo. This will allow us to track the loss in ganglion cell or nerve fiber bundle numbers due to disease, and to quantitatively evaluate the efficacy of therapy. Other planned clinical imaging goals 2. AO-assisted vitreo-retinal surgery. 3. Visualization of choroidal neovascularization (CNV).

39 4. Functional studies of neural activity in living mammalian retina. 5. Imaging early changes in age related macular degeneration (AMD). 6. The first maps of elemental sensations produce by stimulating single cones. 2.4.11 Technological Developments Required to Achieve Retinal Imaging Goals A major feature of our plan is that it engages the end users of this technology, ophthalmologists, in the design process so that we can move efficiently toward devices that can provide value in the clinic as well as the research laboratory. Ophthalmologists from the Doheny Eye Institute, U Rochester, Schepens Eye Institute, U Houston, Indiana U, and UC Davis are close collaborators. The plan is to use CfAO resources, leveraged by BRP support, to add new capabilities to all the retinal imaging instruments in the Center, such as OCT and retinal tracking described in more detail below.

Combining Adaptive Optics with New Imaging Modalities A major CfAO goal is to enhance AO retinal imaging by combining it with other imaging techniques. The successful marriage of AO and confocal imaging in Houston’s AOSLO encourages the exploration of other modalities such as fluorescence microscopy, polarization imaging, differential interference contrast microscopy, and OCT. The BRP (led by Williams at Rochester) will explore many of these modalities by embellishing the four instruments under construction through that grant. UC Davis, LLNL, and Indiana U have another BRP grant to build AO-equipped OCT systems.

CfAO has spearheaded the development of a flood-illuminated en face OCT instrument, however, scanning OCT offers an attractive alternative to the staring system at Indiana. CfAO will expand its efforts in OCT in future years to identify the approach that is most useful in resolving transparent retinal structures. We will explore scanning en face OCT that scans a focused spot in both lateral dimensions (x-y) and has recently achieved video frame rates in the human eye (Podoleanu et. al., 1998; Westphal et al., 2001; Hitzenberger et. al., 2002). Rochester will explore the scanning approach in years 6-10 with the help of Joe Izatt, a leading OCT expert from Duke U. Another technology, the smart photodiode array, consists of a 2D array of photodiodes that can parallelize both detection and signal processing. Indiana will construct a 2nd generation flood-illuminated system based on smart photodiode technology in collaboration with Tom Milner at the University of Texas at Austin. Both prototype instruments will share similar AO engineering and will incorporate the latest low temporal coherent light sources, necessary for OCT at higher axial resolution and sensitivity. For example, with a mode-locked solid state laser, we anticipate 3 micron axial resolution.

Removing Eye Movement Artifacts from Retinal Images Natural eye and head movements pose severe limitations on high resolution retinal imaging. Scanning systems, such as the AOSLOs that will be the major workhorses of many of our laboratories in the next funding period, generally require 1/30 of a second to acquire a single frame. In this case, eye movements warp and distort individual frames, requiring correction with post-processing algorithms. A major goal of the next funding period is to solve the eye movement problem. This problem will be addressed by the BRP but it has no provision for duplicating the technologies at other sites. The role of CfAO will be to share these solutions with all the participating nodes and to make the

40 designs publicly available to other investigators in the vision community. CfAO will simultaneously develop new software to deconvolve eye motion artifacts in post- processed images obtained with its scanning systems. Finally, as our instruments become adept at acquiring high-resolution retinal image data in 3-D, we will develop volume rendering software that can clearly display these data. 2.4.12 Vision Correction Vision correction is an application of AO in the eye with the potential to revolutionize the way that glasses and contact lenses are prescribed. CfAO will continue to support efforts in this area, with the goal of moving rapidly toward commercialization.

Figure 26: The vision science roadmap for the first five years of the CfAO

Compare the AO Phoropter with Conventional Refraction Methods There is already evidence that phoropters will provide faster and more accurate refractions of the eye than the subjective method in widespread use in the clinic today. However, the rapid acceptance of AO technology will require careful experiments that have thoroughly compared it with traditional methods. B&L and DOE will support the development of the AO phoropter at LLNL and at Rochester. CfAO will support the testing of these instruments in the clinic. Refractions on >100 patients will be obtained with the conventional procedure, commercially available autorefractors, and the AO phoropter. The quality of each refraction method will be compared by measuring low contrast visual acuity and high contrast visual acuity with each method. If the outcome of

41 this experiment favors the AO phoropter, an additional instrument will be constructed at Livermore that is more compact for deployment in the clinic. 2.4.13 Corporate Partnerships and Commercialization A major goal of CfAO is to make AO accessible to the vision community both for vision correction and for high-resolution retinal imaging. As indicated in the Progress Report, the development of MEMS technology is essential to this effort for reasons of size and cost. During the next funding period, CfAO will promote the increase in stroke of its MEMS DM technologies by continuing to partner with those companies making the mirrors most suitable for the vision science application. The incorporation of the drive electronics onto the chip beneath the MEMS mirror will add another savings in size and cost, dispensing with the need to have separate drive electronics. Iris AO and BSAC at UCB are already engaged in work in this area. Imaging the aging eye is especially challenging and we would like to develop designs that block light scattered by defects at particular locations in the pupil. Finally, scanning retinal imaging systems could be made much more efficient if the mirrors that are used for wavefront correction could serve also as scanning mirrors for the raster on the retina. CfAO will coordinate the mirror development effort to meet the needs of specific instruments as they are constructed and come on line. In addition to working with our existing corporate partners, CfAO will seek new partners as our technology evolves and as commercialization becomes feasible. An important goal of CfAO is to have enabled commercial instruments both in the areas of retinal imaging and in vision correction by the end of Year 10. 2.4.14 Dissemination AO technology to the Vision Science, Optometric, and Ophthalmic Communities An important goal of CfAO is to enable the proliferation of AO instrumentation for the eye to many laboratories and clinics well beyond the boundaries of CfAO. The BRP and our collaborative grant from DOE are both effective mechanisms for moving CfAO technology into other institutions, including the Doheny Eye Institute, the Schepens Eye Institute, UC Berkeley, UC Davis, and USAARL. In parallel with our efforts to bring the size, cost, robustness, and simplicity of AO to values that make the technology broadly accessible, CfAO vision sites will continue to share the instrumentation it develops with other scientists and clinicians. The AO Ophthalmoscope at Rochester is already shared extensively with investigators from other institutions (see Progress Report).

How-To Manual As AO technology for vision science matures, CfAO will continue with its responsibility to share its technology though the How-To Manual. By having this information on line, it will be possible to continuously update the information as well as to provide downloadable software updates. The AOI BRP is committed to sharing a common software platform for all the instruments it builds. The CfAO website is the natural place to disseminate this software as it evolves. http://cfao.ucolick.org/

42 3. Education and Human Resources 3.1 Overview It is a national priority for scientists to become more deeply involved in Education and Human Resources (EHR). Many funding agencies encourage or require commitment to education as a prerequisite for research funding (NSF Important Notice 127, 2002). Increasing numbers of scientists are participating in education activities, but it remains a significant challenge to translate research on teaching and learning into teaching skills that broadly engage the nation’s population in science, technology, engineering and math (STEM). There is a significant body of knowledge available on how people learn (NRC, 2000a), how STEM can be taught more effectively (NRC, 2002; NRC, 2003), why students leave STEM (Seymour & Hewitt, 1997), and how to retain underrepresented students in STEM (Gandara & Maxwell, 1999). Inquiry-based approaches, in which students seek answers to their own questions, have emerged as a key teaching strategy (NRC 2000b; AAAS, 1993) and are being incorporated into K-12 teacher professional development. However to make inquiry a widely used teaching strategy, changes are also needed at the undergraduate level. As future university faculty members, current graduate students need to learn to teach with a broader range of skills. We have focused CfAO EHR activities on this need, and it is our area of greatest impact. We use our unique Center resources to push beyond what is currently practiced and advance a new model for training young scientists in inquiry-based teaching. 3.2 Educational Objectives We have chosen four major EHR objectives that engage our scientists and engineers in education activities based on research in teaching and learning. Five general activities have been implemented to achieve these goals. Because our activities are integrated and address multiple goals, this discussion will commence by outlining our major goals and the most significant accomplishment in each. We will then describe the activities we have implemented to achieve these goals.

Goal 1: Create a model for involving scientists and engineers in education efforts, using research-based approaches that increase access for underrepresented high school and college students to STEM careers and STEM education. Year 1-3 Outcomes: We implemented two comprehensive programs and a range of activities that involve CfAO scientists in teaching, based on research in teaching and learning.

• In 2003, our Stars, Sight and Science program engaged 15 underrepresented minority high school students in CfAO- related science, using inquiry-based and project-based learning, with communication skills infused throughout program Figure 27: Students in the Stars, • In 2003, our Science Engineering and Technology Sight, and Science Program. Training (SETT) Mainland program engaged 11 undergraduates, all from underrepresented groups, in CfAO research • In 2003, the new Maui Akamai Internship program engaged 11 native Hawaiian undergraduate students. The students have internships at local high-tech enterprises.

43 Goal 2: Increase the versatility of Center graduate students and postdoctoral researchers through exposure and training in the diverse fields within the CfAO. Year 1-3 Outcomes: We generated a workshop model to train the next generation of scientists and engineers in the results of research on teaching and learning, and to teach science through inquiry. • Eight of the participants in our annual workshop for graduate students and postdocs successfully incorporated inquiry activities, designed collectively by the 28 workshop participants, into specific CfAO educational programs. • The workshop has significantly increased the quality of CfAO education, creating a cadre of young people inspired to change undergraduate teaching practices at a time when numerous national studies say that change is needed (Golde, 2001; Re- envisioning the Ph.D., 2000).

Goal 3: Increase interest in, and knowledge of, CfAO science and technology in the broader community, with a focus on high school and college levels. Year 1-3 Outcomes: We developed a new educational partnership in Hawaii, in which the CfAO is the bridge between stakeholders from Maui Community College (MCC), the Air Force Research Lab, Maui high tech industry, and the Maui Economic Development Board. • Maui Community College will become a new CfAO partner. • We have established needs and partnership goals and identified key individuals, difficult but critical steps needed for lasting educational partnerships. • In May 2003 at MCC a new inquiry-based optics short course was co-taught by CfAO members and MCC faculty, as pre-internship preparation. for the Akamai interns (See Goal 1)

Goal 4: Build a Center community that promotes and models diversity through vigorous recruiting, retention, and training activities. Year 1-3 Outcomes: We have engaged students from underrepresented groups at the high school and college levels in our research, we have maintained nearly full representation of women in our graduate programs, and have made progress in gaining the interest of prospective minority graduate students. • 90% (27 out of 30) of the students who participated in Stars, Sight and Science were from underrepresented minority groups. • 94% (17 our of 18) of the students who participated in SETT were from underrepresented groups (8 underrepresented minorities, 13 women). • We have established a strong partnership with Maui Community College, a minority serving institution, and have initiated new activities this year. • Six Native Hawaiians have completed traineeships at LLNL, and all are either working in a technical field or pursuing a degree in science or technology in Hawaii. • 13 of our 27 graduate students (48%) are women. • We increased interest from prospective graduate students from underrepresented minority groups, by participating in the activities of minority serving institutions.

3.3 Performance and Management Indicators Evaluation and assessment is embedded in all of our activities, providing guidance in the development process through formative evaluation, and measuring our success through

44 summative evaluation. We have a contract with an external evaluation consultant, Julie Shattuck & Associates, who works closely with our EHR team to develop evaluation strategies and determine priorities. We have developed an evaluation framework, which can be reviewed at: http://cfao.ucolick.org/EO/success.php .

3.4 Activities The CfAO EHR program has developed five major activities to achieve its goals: graduate and professional education, partnerships, recruitment, supplemental education programs, and EHR infrastructure. We describe these below in the requested format. Further details of each activity can be seen at: http://cfao.ucolick.org/EO/ . 3.4.1 Internal Programs

3.4.1.1 Graduate Student Enrichment Activity Name Graduate Student Enrichment Led by Lisa Hunter, Claire Max, James Graham, Doris Ash Intended Audience CfAO graduate students and postdoctoral researchers

Approx Number of 40 Attendees (if appl.)

Description We integrate graduate student members of the CfAO into our unique cross-disciplinary, multi-institutional environment. They participate in activities that are a blend of astronomy and vision science, including the CfAO Summer School, retreats, and workshops. We encourage our graduate students and postdocs to take advantage of CfAO Mini-Grants, which provide funds to participate in research activities at sites other than their own. We strongly encourage Mini-Grants that cross over between vision science and astronomy, or which integrate education with our research.

We have developed two new graduate-level courses that are multi-disciplinary in nature. One of these is Course 289C “Adaptive Optics” taught by Claire Max at UC Santa Cruz and received at two other CfAO sites (one optometry site and one astronomy site), using the videoconferencing facility in our new building. At UCSC the class was attended by both astronomy and engineering students, and had visiting lectures by several research engineers. Further details (and all lectures) are on the course web site, http://www.ucolick.org/~max/289C/ The second new course, entitled “Very Large Astronomical Telescopes for the 21st Century,”- Course 250 was taught in the 2003 Spring semester at UC Berkeley by James Graham in Astronomy, two faculty members in Mechanical Engineering, and two faculty members in Electrical Engineering. Adaptive optics for “very large telescopes” is one of the primary topics. This class is jointly listed in the Departments of Astronomy, Electrical Engineering, and Mechanical Engineering at UC Berkeley, and is being attended via videoconference by engineering students at UC Santa Cruz and by professional engineers at LLNL. Further details (and all lectures) are on the course web site at http://astron.berkeley.edu/~jrg/CELT/ay250.html.

45 Professor Doris Ash has formalized the Inquiry based teaching techniques provided to students at the Professional Development workshop in Hawaii into a 5 Credit course - Education 286 “Research and Practice in Teaching and Learning Science.” The course was open to both CfAO graduate students (live and by videoconference) and UCSC science graduate students in general, and is a pilot course for CILS (Center for Informal Learning and Schools) graduate student fellows. In 2003 two Hawaiian interns at LLNL participated via video-conferencing.

3.4.1.2 Four Year and Community College Internships Activity Name Science, Engineering and Technology Training (SETT) Led by Lisa Hunter Intended Audience Undergraduates, from underrepresented groups, with an emphasis on community college students Approx Number of 11 in 2003 on mainland (10 from underrepresented groups) Attendees (if appl.) 11 in 2003 on Maui (All native Hawaiians)

Description: The CfAO’s SETT program is an 8-week summer internship experience aimed at retention of college students in science and technology majors. SETT begins with a 4-day orientation, and ends with a student symposium that we have incorporated into the CfAO Summer School. Support for participating students is currently leveraged through an NSF Research Experiences for Undergraduates (REU) Supplement; other sources will be sought in the future. The SETT program targets women and underrepresented minorities, especially community Figure 28 Students present the results of college students. their optics investigation after completing an inquiry led by CfAO members. A unique aspect of this internship is the 4-day CfAO- wide orientation that prepares students for the internship experience. The orientation includes a full, open-ended inquiry and a number of other activities incorporating inquiry ( http://cfao.ucolick.org/EO/Resources/ ). The orientation provides a second dynamic teaching laboratory for CfAO members who have completed our inquiry training. To date 40 students have been through the SETT program. Many of these students present posters at the SACNAS (Society for Advancement of Chicanos and Native Americans in Science) conference describing their summer projects. This summer (2003), we started the Akamai Internship on Maui. This internship provides Maui residents, especially Native Hawaiians, with internships at Maui high tech companies. We are using the SETT model for this internship, including: 1) preparation for the internship through a 5-day Optics Short Course; 2) 7-week research project; 3) presentation at a new student session of the AMOS Technical Conference. The Short Course was developed through the new CfAO sponsored course at UCSC, “Teaching Science for Scientists,” incorporating inquiry and active learning strategies. Our long- term goal is to integrate CfAO related science and technology into programs at MCC. The Short Course is a crucial first step and has been successful in engaging students.

Graduate Student Fellowship

46 Activity Name Graduate Student Fellowship Led by Lisa Hunter, Andrea Ghez Intended Audience Minority Graduate Students Approx Number of 11 in 2003 on mainland (10 from underrepresented groups) Attendees (if appl.) 11 in 2003 on Maui (All native Hawaiians)

The CfAO offers a fellowship to incoming underrepresented graduate students at CfAO nodes. Our goal is to attract underrepresented graduate students into the field of adaptive optics and establish connections within our scientific community. In Year four, this fellowship was awarded to a first year African American graduate student, Hamiti McIntosh enrolled at UCLA, who will be supervised by Professor Andrea Ghez

3.4.2 External Programs

3.4.2.1 Stars, Sight, and Science Summer Course Activity Name Stars, Sight, and Science Summer Course Led by Lisa Hunter Intended Audience Primarily underrepresented high school students Approx Number of 14 in 2003, 12 underrepresented minorities Attendees (if appl.)

Description: Stars, Sight and Science is a 4-week residential science experience developed by the CfAO and offered in collaboration with the UC Santa Cruz COSMOS program. Each year 15 high school students participate in our program, which includes three simultaneously taught courses, Astronomy, Vision Science, and Science Communication. These high achieving students primarily from the Hispanic population near Santa Cruz. are selected with the aid of local teachers. To date 44 students have completed the program, 39 of them from underrepresented minority groups. The program is taught by CfAO members and a teacher from one of the high schools that serve the participating students. Stars, Sight and Science is a dynamic teaching “laboratory” for CfAO members who have been through our training in inquiry-based teaching.

3.4.3.2 Attendance at Minority Conferences Activity Name Attendance at Minority Conferences Led by Lisa Hunter Intended Audience Minority Undergraduate Students Approx Number of SACNAS (Approx. 12 in 2002) Attendees (if appl.) Lewis Stokes Alliance (2)

SACNAS Conference (Society for Advancement of Chicanos and Native Americans in Science.) The CfAO continues its involvement in the SACNAS organization. The 2003 SACNAS Conference will be held on October 2nd and 5th in Albuquerque, New Mexico. This year the Center has four speakers in the Science session, including the Director - Professor Jerry Nelson, Professor Sandy Faber, Dr. Fernando Romero-Borja and Dr. Gabriella

47 Canalizo. Fifteen undergraduates are applying to CfAO for travel grants to the conference where they will present posters in the Poster session. CfAO personnel will be manning a booth throughout the conference.

Florida Georgia, Lewis Stokes Alliance for Minority Participation. This meeting was held in Feb. 2003 in Tampa Florida and was attended by Lisa Hunter the CfAO’s Associate Director for Education and graduate student Lynne Raschke. The program promotes minority participation in Mathematics, Science, Engineering and Computer Science. 3.4.3 Professional Development

3.4.3.1 Professional Development Workshop Activity Name Annual Professional Development Workshop Led by Lisa Hunter Intended Audience CfAO graduate students and postdoctoral researchers CfAO postdoctoral researchers or staff scientists, educators from other CfAO programs, stakeholders from CfAO Hawaii Educational Partnership Approx Number of 28 plus 18 additional attendees (local teachers, scientists, and Attendees (if appl.) administrators)

Description: The CfAO has created a unique four-day workshop that advances a new model for training science and engineering graduate students and postdoctoral researchers in teaching strategies based on educational research. We developed the workshop in collaboration with the Exploratorium and UCSC Education Department. It is attended by 25-30 CfAO graduate students and postdocs each year. The workshop consists of set of integrated components: 1) training in inquiry-based learning; 2) visits to technical facilities; 3) partnership building; and 4) communicating research to the community. Participants design new inquiry-based instructional units that they subsequently teach within CfAO education programs at the high school and undergraduate levels.

This dynamic teaching “laboratory” gives them an authentic and intensive teaching experience. It has created a community of reflective young science educators, and a new enthusiasm for teaching within the broader CfAO as the students and postdocs communicate their excitement to their faculty advisors. In Year 4, we are tracking participants’ teaching activities and are currently preparing case studies for publication in a mainstream science education journal to disseminate the model, outcomes, and lessons learned. The workshop is offered each Figure 29 Barry Kluger-Bell (Exploratorium) year in Hawaii to enhance our partnership guides workshop participants as they develop activities there and to provide a rare their own inquiry based instructional material opportunity to visit relevant astronomical sites.

48 3.4.3.2 Hawaii Educational Partnerships Activity Name Hawaii Educational Partnerships Led by Claire Max and Doug Knight Intended Audience Native Hawaiian Community college students/recent high school graduates Approx Number of 2 annually at LLNL Attendees (if appl.) 11 internships in summer of 2003 on Maui (See SETT)

Hawaii is a crucial resource for astronomy due to the presence of multiple premier observatories on Mauna Kea and Haleakala, sites of cultural and spiritual significance to Native Hawaiians. Native Hawaiians are underrepresented in the technical workforce that supports and benefits from these observatories. The public controversy over observatory presence on the volcanoes makes it vitally important to include the Hawaiian community in the work of the astronomical community. The goal of this CfAO partnership is to increase the participation of the Hawaiian community, especially Native Hawaiians and Pacific Islanders, in the state’s technical workforce. Our initial efforts have brought two Native Hawaiians per year, at the community college level, to LLNL for a five-month traineeship. This collaboration with LLNL and with ALU LIKE, a Native Hawaiian community organization, has helped Figure 30. Hawaiian trainees Thomas us to identify specific needs and additional partners. Emmsley and Uilani Peralta in the elec- We are now working with Maui Community College tronics lab at LLNL (MCC), the US Air Force Research Lab (AFRL), and the Maui Economic Development Board (MEDB) in addition to ALU LIKE. In Year 4 we are implementing activities including internships, that will help increase MCC’s capacity to incorporate local technology into their programs. See Akamai Internship on Maui – Section 3.4.1.2 above.

Our Professional Development Workshop each year in Hawaii, has activities specifically designed to engage the local scientific and education communities. Each year the workshop holds a session to communicate our research to broader audiences, inviting local scientists, engineers, educators and administrators to learn more about the CfAO. 3.5 EHR Infrastructure The cross-cutting nature of the EHR theme requires integration on many levels, ensuring that EHR is integrated through the science in the Themes and generally through the Center membership. Our EHR website provides a wide range of resources to facilitate member involvement aligned with EHR goals and priorities ( http://cfao.ucolick.org/EO/Resources/ ). CfAO members have developed AO demonstrations to teach adaptive optics and made them available for instructional use, with a supporting web site ( http://www.ucolick.org/~steinb/education_outreach/demoweb/home/home.html ) New inquiry-based instructional material is also available on our web site ( http://cfao.ucolick.org/EO/Resources/ ). Our bi-annual retreats and annual CfAO Summer School integrate education with our astronomy, vision science, and engineering. The infusion of EHR into all internal Center events and many external events has had an

49 impact on many members from the graduate student level to senior scientists. We work closely with members to match their interest and strengths to our specific EHR program needs. In Year 4 we implemented an online reporting system to track individual Members’ participation ( http://cfao.ucolick.org/EO/reporting/ ). 3.6 Future Plans We will focus more effort on expanding two activities that we envision as our legacy: 1) the Professional Development Workshop; and 2) our Hawaii Educational Partnership. 3.6.1 Professional Development Workshop The Professional Development Workshop has had a tremendous impact on the CfAO community, significantly increasing the quality of education within the center and building a cadre of graduate students who are reflective about their teaching and learning. New components are added to enhance the skills of both new and alumni participants. For example, in 2003 we added an assessment strand for our more experienced alumni. Based on the successful components of the workshop, a new education course, “Teaching Science for Scientists,” was offered through the UCSC Education Department in April 2003 (see http://cfao.ucolick.org/EO/Resources/ ). We plan to start a “Fellows” program to incorporate our most experienced and skillful workshop participants into a range of leadership positions. Our Center faculty members have shown a strong interest in the workshop and the success of their graduate students who are using new teaching tools. In Year 5 we will develop new strategies for working with these faculty members and their graduate students as they design or re-design undergraduate introductory science courses. Our expansion and dissemination of activities in this area will build on the success of our workshop model and the momentum it has created within the CfAO. We are impacting the way the next generation of scientists and engineers thinks about and practices science education, 3.6.2 Recruitment and retention of underrepresented groups into STEM fields: a long-term, national challenge. We will further our efforts to increase participation of underrepresented groups in the Center by expanding current activities and developing new recruitment strategies targeted at educational levels that have the highest need, and where the CfAO has the most potential for impact. Our early efforts to recruit graduate students from underrepresented minority groups into our CfAO programs have been challenging. We have attended conferences and focused other recruiting efforts on identifying students from underrepresented minority groups with Figure 31. Gabriela Canilizo (LLNL postdoc), James Larkin (UCLA professor), relevant bachelor’s degrees. CfAO-affiliated and Claire Max (CfAO Theme Leader) talk graduate departments at Center nodes primarily to an interested student at the SACNAS require a physics degree to be admitted. We are conference. finding that although many students are interested in our science and technology, very few have been pursuing physics undergraduate degrees. Our challenge is a nationwide problem -- physics still has one of the lowest proportions of African Americans (4.4%) and Hispanics (3.8%) of any science discipline (AIP, 2003). In 2000, only 270 African Americans and Hispanic Americans earned bachelor’s degrees

50 in physics. Women are also significantly underrepresented in physics, earning only 21% of physics bachelor’s degrees in 2000 (NCES, 2003). However we have been more successful at enrolling women into our graduate programs (12 out of 26, or 46%, of our graduate students are women). We will continue our efforts to attract women and underrepresented minorities to our graduate programs, focusing on increasing the pool of prospective graduate students from underrepresented groups.

At the postdoctoral level, we have found it difficult to find women, particularly U.S. citizens. We are increasing our efforts to engage women in our Center events, such as our annual summer school by providing travel and registration support. We hope to have a longer term impact on this situation by increasing our efforts in Year four and five to attract more women into graduate school. Accompanied by several of our undergraduate interns, we have plans to attend the Society of Women Engineers (SWE) conference this fall, as a recruitment effort at the graduate and postdoctoral level.

3.6.3 Hawaii Educational Partnership We will continue to develop our partnership on the island of Maui, and will explore building our initial contacts with University of Hawaii, Hilo (UHH) into a more substantial partnership. UHH is developing an engineering technology degree program, with MCC as a partner institution for transfer students from Maui. We have been involved with both institutions, but have found that the collaboration with Maui Economic Development Board and AMOS (Air Force Research Lab) have made our partnership with MCC Figure 32 Mark Hoffman, new CfAO Member very productive, so have focused our recent efforts on and faculty member at Maui Community Maui. We will continue to develop community College, working with an MCC student on the support on Maui through our annual Maui High Tech CfAO Tip-Tilt AO Demonstration Industry Education Exchange. We will continue our partnership with ALU LIKE to provide two traineeships for Native Hawaiians each year.

3.6.3 Summer School In Year 5 (summer 2004), we plan to offer a special session at our Summer School designed to engage prospective graduate students from underrepresented groups. This session will include information on the exciting interdisciplinary activities of the Center, graduate programs within the Center, and benefits derived from being a member of the CfAO community. We will recruit students to attend the Summer School by targeted presentations at institutions producing high numbers of underrepresented students with relevant bachelor’s degrees (AIP, 2003). Scholarships will be provided to qualified students.

51 4. Knowledge Transfer 4.1 Knowledge Transfer Objectives The knowledge transfer activities focus on enhancing the Center’s ability to fulfill its research and education goals as summarized in the CfAO mission statement: “To advance and disseminate the technology of adaptive optics in service to science, health care, industry, and education.” In Year 4, the CfAO has continued to emphasize knowledge transfer by employing strategies articulated in its mission statement: 1. Increasing the accessibility to AO by the scientific community 2. Coordinating and combining research efforts to take advantage of the synergies afforded by the Center mode of operations 3. Encouraging the interaction of vision scientists and astronomers to promote the emergence of new science and technology 4. Leveraging our efforts through industry partnerships and cross-disciplinary collaboration

In addition, specific objectives for knowledge transfer include: 1. Increasing national competence in AO within the scientific, medical, and industrial communities. 2. Enhancing the cohesiveness of the AO technical community, particularly with respect to system performance characterization and optimization.

Performance and management indicators that measure the success of CfAO partnership activities in meeting our objectives include: 1. The number of CfAO workshops, and professional training activities that involve non-CfAO participants, 2. The level of attendance by non-CfAO personnel at the CfAO summer school, 3. The level of attendance by non-CfAO personnel at CfAO workshops, 4. The number of institutional members of the AO technical community engaged in the exchange of information concerning system performance and optimization. 4.2 Problems An ongoing challenge for the CfAO knowledge transfer activity is the exchange of information with industry, both the dissemination of CfAO research results to a broad cross section of the industrial community, and the determination of industrial issues which might best be served by this research. In year 4, we expanded on the concept of an Industrial Advisory Board by launching an Industrial Affiliates Program whereby companies that join can become stakeholders in the centers progress and play a more active role in utilizing its research or suggesting paths to follow.

We have carried out a broad range of effective CfAO knowledge transfer activities during year 4 within seven focus areas. These activities are summarized in the following sections, along with future plans for the Center’s knowledge transfer program.

52 4.3 Description of Main Knowledge Transfer Activities

Knowledge Transfer Activity Industrial Advisory Board, Industrial Affiliates Program Led by Scot Olivier, Kevin O’Brien Participants (add rows as necessary) Organization Name and State Center for Adaptive Optics 1 Multiple organizations (see below) 2

The CfAO Industrial Advisory Board was organized in year 3 in order to improve industrial relations. The goals of the IAB are to: 1) Enable effective transfer of knowledge developed by CfAO research to industrial community – increase interaction between industrial and CfAO personnel. 2) Provide industrial perspective and advice to CfAO researchers for planning of $4 Million annual NSF funded research and development program. 3) Move towards the organization of an Industry Consortium to enable more industry directed research on adaptive optics leveraged from ongoing CfAO research.

An Industrial consortium was launched at the Spring 2003 Retreat at San Jose. To date three companies have joined as inaugural members: Cibavision, Raytheon, and Carl Zeiss Meditec. Discussions are ongoing with many other companies, leading up to a start date for industry sponsored research programs in the Fall of 2003.

Knowledge Transfer Activity CfAO summer school Led by Julian Christou Participants (add rows as necessary) Organization Name and State UC Santa Cruz, CA 1 Multiple organizations (see below) 2

The CfAO holds an annual week-long summer school on adaptive optics, in Santa Cruz CA. The target audience is graduate students and postdocs, but senior researchers are also welcome to attend. Emphasis is given to topics that are of interest to astronomers and vision scientists alike. Introductory and Advanced AO are presented in alternate years Each year 100 participants attend. In 2003, 50 of those attending were graduate students, 17 post docs and 33 senior researchers.

Knowledge Transfer Activity Workshops Led by Multiple leaders (see below) Participants (add rows as necessary) Organization Name and State Center for Adaptive Optics 1 Multiple organizations (see below) 2

The CfAO sponsors workshops each year. These range from large formal sessions at international meetings to smaller special-topics discussions, Workshops in Year 4 included an Extreme Adaptive Optics workshop and an Analysis workshop:

53 Knowledge Transfer Activity Optics Course Led by Andy Sheinis Participants (add rows as necessary) Organization Name and State UC Santa Cruz 1 11 Maui Community College, Hawaii

A short course in optics was organized by Andy Sheinis of CfAO in conjunction with the faculty at Maui Community College (MCC). Attendees were the CfAO summer interns at Maui who received course credit from MCC

Knowledge Transfer Activity AO test-bed for vision Led by David Williams Participants (add rows as necessary) Organization Name and State University of Rochester, NY 1 Multiple organizations (see below) 2 3

A key goal of the CfAO is to make AO broadly accessible to the scientific and medical community. One way we have done this is by making the vision AO systems developed within the CfAO available to research groups outside the CfAO. The Rochester vision AO system has been used by at least 3 different research groups outside the CfAO, and in Year 4 LLNL has developed a new vision science AO system for the UC Davis Department of Ophthalmology, using novel liquid crystal wavefront correction technology.

4.4 Other Knowledge Transfer Activities

The CfAO web site (http://cfao.ucolick.org ) is an important vehicle for knowledge transfer. Information is available about the CfAO at this web site, including research projects, education and human resources activities, membership, meetings, publications, distributed software, employment opportunities, and the AO graduate course ( http://www.ucolick.org/~max/289C/ ).

The CfAO publishes a Newsletter that is broadly distributed to inform both internal institutions and external organizations about the highlights of CfAO activities and upcoming events.

The CfAO plays a leading role in the publication of scientific and technical articles on adaptive optics. A list of publications is maintained on the CfAO web site.

CfAO members play leadership roles in professional societies concerned with adaptive optics, serve on organizing committees for international professional conferences on adaptive optics, and present results of CfAO research.

54 One of our most effective knowledge transfer strategies has been the organization of coordinated national research efforts in key enabling technologies for adaptive optics. The CfAO currently supports coordinated research in MEMS deformable mirror technology, sodium laser guide star systems, and design concepts for AO systems on giant segmented mirror telescopes. Our MEMS effort involves a national consortium of more than a dozen universities, national laboratories, and industrial partners. Our laser development effort includes work on solid state crystal and fiber lasers, and involves at least 9 universities, national laboratories and industrial partners. The work on AO for giant segmented mirror telescopes has involved many CfAO institutions as part of the California Extremely Large Telescope (CELT) project as well as participation on the national GSMT (Giant Segmented Mirror Telescope) Science Working Group.

The University of Rochester and 5 partner institutions were awarded a 5-year, $10M NIH Bioengineering Research Partnership Grant (BRP) to develop and test adaptive optics scanning laser ophthalmoscopes for clinical vision research and patient care. Another collaborative proposal submitted to NIH for a 5-year BRP has been approved. This will further leverage CfAO activities combining adaptive optics and optical coherence tomography.

Collaborative program development has been a successful strategy for leveraging Center resources to enable research and development of adaptive optics beyond what would be possible with CfAO funding alone. This strategy is a highly effective means of knowledge transfer since the new collaborative programs include participants both inside and outside the Center..

In connection with the EHR Professional Development workshop, in year 4, a Community Networking Session was again cosponsored by local industrial organization in Maui. This session provided an opportunity for CfAO grad-students and post-docs to present information on CfAO research to both educational and industrial communities in Maui. An intern program for native Hawaiians was initiated in year 4 with 11 interns. A CfAO researcher in collaboration with Maui Community College faculty taught an introductory optics course to the interns prior to their taking up their internships at industrial locations in Maui. 4.5 Knowledge Transfer Activities - Future Plans In the future we plan to maintain our program of information dissemination while enhancing particular aspects and incorporating new efforts. Continuing to enhance the CfAO web site through additional content and improved organization will be an area of emphasis. Encouraging researchers particularly AO research directed at Astronomy to publish in a timely mode. Notably we are planning a manual on the design, implementation, characterization and optimization of AO for vision applications in Year 5. This manual will be available through the CfAO web site, and will represent a major resource for the field and a key component of our strategy to enable widespread use of AO in vision science.

In vision science we are developing a new generation of portable vision science AO systems that will be taken directly to partner medical facilities, such as the Doheney Eye Institute at USC, for evaluation in a clinical environment. This will extend the scope of

55 possible collaborative activities by accessing unique capabilities and conditions at the partner sites, while further broadening the reach of AO into the clinical community.

Specific areas of emphasis in collaborative program development in Year 5 will include AO for ophthalmic instrumentation, AO for giant segmented mirror telescopes, MEMS, and lasers. We will also explore a stronger connection with the new NSF Center for BioPhotonics at UC Davis in an area of mutual technical and scientific interest, most likely in the applications of AO to confocal microscopy for in vitro biological research, in vivo endoscopic imaging, and/or medical uses of CfAO fiber laser technology. The new partnership with the Air Force Maui Optical Station that combines technical research and development with new education and human resource activities has been initiated in Year 4 and will be further developed in Year 5

The CfAO seeks to develop a growing number of industrial partnerships. The Center has active partnerships with 11 companies in Aerospace (Lockheed Martin), Ophthalmology (Bausch and Lomb, Wavefront Sciences), Communications (AOptix), MEMS (Lucent Technologies, Boston Micromachines, IrisAO, Intellite), Liquid Crystals (Hamamatsu), Lasers (Lite Cycles) and Detectors (Rockwell).

As we move forward, the CfAO will aggressively pursue new industrial partnership opportunities provided by our growing industrial outreach activities, including the Industrial Advisory Board meetings and our new Industrial Affiliates program.

56 5. Partnerships 5.1 Partnership Objectives The fundamental objective of our partnership activities is to enhance the Center’s ability to fulfill its research and education goals. The CfAO is pursuing this objective through strategies articulated as part of its mission statement. 1. Leveraging our efforts through industry partnerships and cross-disciplinary collaborations 2. Encouraging the interaction of vision scientists and astronomers to promote the emergence of new science and technology In addition, specific objectives for partnerships include: 3. Stimulating further investment by government and industry sources in AO research and development 4. Catalyzing the commercialization of AO technologies leading to technological advancements relevant to CfAO research objectives and enabling broader use of AO.

Performance and management indicators that measure the success of CfAO partnership activities in meeting our objectives include: 1) The number of partner institutions engaged in active collaboration with the Center, 2) The number and scope of CfAO projects involving cross-disciplinary collaborations, 3) The number and amount of additional investment by government and industry sources in AO research and development, 4) The number and scope of AO commercialization activities in which the CfAO plays a role, 5) The number of institutional members of the AO technical community engaged in the exchange of information concerning system performance and optimization. 5.2 Problems An ongoing challenge for the CfAO partnership activities is the development of new industrial partnerships, particularly in areas involving highly competitive commercial markets, such as ophthalmic instrumentation. To address this issue, we instituted an Industrial Advisory Board and in Year 4 an Industrial Affiliates program.. 5.3 Description of Partnership Activities Partnership Activity Vision Science Led by David Williams Participants Bausch and Lomb, the Medical College of Wisconsin, and the Schnurmacher Institute for Vision Research, State College of Optometry, State University of New York Name of List Shared Use of Resources Organization Resources (if any) 1 Multiple AO vision test-bed organizations As part of the key Vision Science Theme goal to make AO broadly accessible to the scientific and medical community, the University of Rochester has established partnerships with Bausch and Lomb, the Medical College of Wisconsin, and the Schnurmacher Institute for Vision Research, State College of Optometry, State

57 University of New York, along with ongoing collaborations with CfAO member institutions: the University of Houston, Indiana University and Lawrence Livermore National Laboratory. e.

Partnership Activity Vision Science Led by David Williams Participants Lawrence Livermore National Laboratory, the University of Houston, the University of California at Berkeley, the Doheny Eye Institute at USC, and the Schepens Eye Research Institute at Harvard University Name of List Shared Use of Resources Organization Resources (if any) 1 Bioengineering adaptive Optics scanning laser Research ophthalmoscopes Partnership

The University of Rochester proposal to NIH for a Bioengineering Research Partnership Grant (BRP) was awarded at the level of $10 million over 5 years. Six partner institutions will share the funds, these are the University of Rochester, Lawrence Livermore National Laboratory, the University of Houston, the University of California at Berkeley, the Doheny Eye Institute at USC, and the Schepens Eye Research Institute at Harvard University. The partnership will further develop and assess the value of adaptive optics scanning laser ophthalmoscopes for clinical vision research and patient care by studying neovascularization in age-related macular degeneration and diabetic retinopathy, photoreceptors in retinal degenerative disease such as retinitis pigmentosa, ganglion cell bodies in glaucoma, individual retinal pigment epithelial cells, and blood flow in the smallest retinal capillaries.

Partnership Activity Vision science Led by Scot Olivier Participants Name of Organization List Shared Use of Resources Resources (if any) 1 The UC Davis Test new inexpensive wavefront Department of corrector technology suitable for Ophthalmology commercial ophthalmic instrumentation 2 Multiple DOE Develop and test prototype clinical national laboratories ophthalmic instruments using MEMS and multiple medical adaptive optics research centers

The liquid crystal (LC) spatial light modulator (SLM) wavefront corrector technology funded by CfAO and LLNL was deployed at UC Davis Medical Center in 2002. Clinical trials have been conducted in Year 4. The clinical goals for this system include determining the ultimate limits of visual acuity and by means of psychophysical testing, studying the relationship between normal aging, retinal disease visual performance.

58 Participants Name of Organization List Shared Use of Resources Resources (if any) 1 Lawrence Livermore Develop and test clinical ophthalmic National Laboratory instruments using MEMS adaptive optics 2 Multiple DOE nation. Improve diagnosis and treatment of the laboratories and medi- diseases that cause blindness cal research centers 3 Develop techniques for vision correction in the general population

Based on activities sponsored by CfAO, in 2002 a collaborative team led by LLNL was awarded ~$2.7M over 2 years to develop and test clinical ophthalmic instruments using MEMS adaptive optics to improve (1) the diagnosis and treatment of the diseases that cause blindness and (2) techniques for vision correction in the general population. Funding was provided through the DOE Biomedical Engineering Program. The team includes multiple DOE national laboratories (LLNL, SNL) and multiple medical research centers (UC Davis, University of Rochester, UC Berkeley, University of Southern California) along with the Army Aeromedical Research Lab, and industrial partners (Bausch & Lomb and Wavefront Sciences). In CfAO year 4, the team completed the integration and testing of the first clinical prototype vision science instrument – a portable, MEMS-based adaptive optics phoropter, which can be used to measure and correct the high order aberrations in the human eye, thereby enabling the development of clinical procedures for prescribing new vision correction technologies for the permanent correction of high-order aberrations, such as custom laser refractive surgery and custom contact lenses. This instrument was selected for an R&D 100 award, through a program sponsored by the Chicago-based, R&D Magazine, which recognizes the 100 most important technologies developed in the U.S. each year.

Participants Name of Organization List Shared Use of Resources Resources (if any) 1 UC Davis (Lead) Demonstrate the clinical utility of the combination of precision AO and optical coherence tomography (OCT) 2 CfAO institutions - LLNL and University of Indiana 3

Also based on research activities sponsored by CfAO, UC Davis led a successful proposal for a Bioengineering Research Partnership (BRP) Grant for $5.5 million over 5 years. The proposal focuses on demonstrating the combination of adaptive optics and optical coherence tomography (OCT) and the use of LC SLM wavefront corrector technology for precise correction of aberrations in the human eye. The clinical utility of the combination of precision AO and OCT which should enable high-resolution imagery of the living retina with extremely high contrast ratios will be evaluated. Achieving the highest possible contrast ratios in three-dimensional retinal images is important for the

59 accurate visualization of many clinically important structures in the retina that have intrinsically low scattering cross sections. Joint recipients of the grant are UC Davis, LLNL, Indiana University and Carl Zeiss Meditec, Inc. (formerly Zeiss Humphrey Systems).

Partnership Activity Micro-electro-mechanical systems Led by Scot Olivier Participants Name of Organization List Shared Use of Resources (if any) Resources 1 A national consortium, organized by the CfAO, to develop MEMS deformable mirror technology for adaptive optics for vision science and astronomy 2 A national consortium to develop and test MEMS spatial light modulators, scalable to 1k × 1k pixels, for holographic wavefront correction suitable for application to laser communications and high-resolution imaging.

The CfAO supports a coordinated national consortium of universities (UC Berkeley, Boston University, UC Davis, Stanford University), national laboratories (LLNL, SNL, AFRL, JPL) and industrial partners (Lucent, Boston Micromachines, JDS Uniphase, Intellite) to develop MEMS deformable mirror technology for adaptive optics suitable for application to vision science and astronomy. The DARPA Coherent Communications, Imaging and Targeting (CCIT) Program has concluded the 2-year, $12 million Phase 1. The team developed powerful new capabilities for secure free-space communication links and aberration-free, 3- dimensional, imaging and targeting at very long ranges. In year 4, new MEMS devices with integrated electronics were developed and a field experiment demonstrating atmospheric correction performed. CfAO has submitted a CCIT proposal to DARPA for Phase 2 - $5 million over 2 years. The proposal is for device characterization and field testing, in collaboration with the successful industry-led MEMS development teams who have separately proposed for an additional $12M for the 2-year Phase 2 program.

Partnership Activity Lasers Led by 1. Edward Kibblewhite; 2. Deanna Pennington Participants Name of Organization List Shared Use of Resources Resources (if any) 1 Lite Cycles, Coherent Technologies, The AFRL at Kirtland Air Force Base, LightWave Electronics. 2 European Southern Observatory Hampton University, Ionas, IRE Poulus Group, TuiOptics, Fibercore and the IPHT fiber institute in Jena, Germany.

60 Lite Cycles has been working with the University of Chicago to produce improved solid state laser heads for a sum-frequency laser based on a design originally from MIT Lincoln Labs. The development and testing phase of the laser is close to completion and the laser is expected to be shipped to Mt. Palomar Observatory shortly for deployment. Coherent is working on a contract from Gemini to develop another approach for an improved laser head for this type of laser. AFRL is working with Lightwave Electronics on another laser head variation for this laser concept.

LLNL also has a project within the CfAO to study fiber lasers. Complementary aspects of this work have been supported by internal funding at LLNL An international collaboration has been established with the European Southern Observatory to jointly pursue this research. This has resulted in the provision of equipment and manpower by ESO to complete the research. A collaboration has been established with Hampton University, a historically black university, to support a minority graduate student to develop fiber Bragg gratings for the project. Significant industrial contacts have been established to produce the new custom technology components required for this research, namely Ionas, IRE Poulus Group, TuiOptics, Fibercore and the IPHT fiber institute in Jena, Germany. Latest developments and testing of this laser’s components have exceeded expectations and project completion is anticipated in Year 5. 5.4 Other Partnership Activities In the area of design of AO systems for giant segmented telescopes, CfAO previously cosponsored a working group with NOAO to produce a national AO technology development roadmap. In addition, many CfAO institutions have been active in working on design concepts for AO systems on giant segmented telescopes as part of the California Extremely Large Telescope (CELT) project sponsored jointly by the University of California and CalTech. In year 3, the CELT conceptual design was completed and a successful review was held. Support for the next design phase of this project is currently under consideration by a sponsor. This work is coordinated directly with the CfAO Theme on AO for Extremely Large Telescopes.

Interactions continue with the Airforce Maui Optical Station (AMOS). James Graham's group at Berkeley is commissioning an IR camera at AEOS as well as a coronagraph for high-contrast imaging that will be a precursor for future ExAO systems. CfAO has been working at Keck to better understand and optimize the AO system, and as many of the issues could be relevant to AEOS, there have been some preliminary discussions on these issues. A CfAO colleague at Gemini has made some of his codes available to AEOS for purposes of modeling their AO system, and as these codes are also being used as part of the CfAO modeling effort for MCAO on the Giant Segmented Mirror Telescope (GSMT), collaborations are likely to result. . AMOS staff attend CfAO retreats and summer schools and Scot Olivier will be submitting a poster to the AMOS technical conference this Fall, identifying areas of future collaboration between CfAO and AMOS.

5.5 Partnership Activities - Future Plans 1. Leverage opportunities provided by the new Industrial Advisory Board and the industrial Affiliates Consortium to develop new industrial partnerships. 2. Continue to extend our leveraged partnership activities in the area of the development and assessment of prototype clinical ophthalmic instrumentation.

61 3. Continue to drive the development of MEMS for vision science and astronomical applications through partnerships coordinated within the framework of our national MEMS consortium. 4. Continue to develop a partnership with the Air Force Maui Optical Station that combines technical research and development with education and human resource development. 5. Focus on design concepts for AO systems on giant segmented telescopes in partnership with the CELT project.

62 6. Diversity 6.1 Diversity Objectives The CfAO is committed to increasing the participation and advancement of underrepresented groups and institutions in all Center activities. Our major goal is to build a Center community that promotes and models diversity through vigorous recruiting, retention and training activities. 6.2 Performance and management indicators We have established four objectives that measure our progress toward accomplishing this goal:

1) Participate, as a Center, in the activities of minority and women serving organizations. 2) Establish partnerships with minority serving institutions based on common research and technology interests. 3) Increase the participation of underrepresented groups in all Center activities (educational activities, research, external scientific community). 4) Members participating in mentoring programs will gain an increased understanding of barriers faced by underrepresented groups, and the experiences/supports that contribute positively to student retention in STEM. 6.3 Problems Challenge of recruiting underrepresented groups We will further our efforts to increase participation of underrepresented groups in the Center by expanding current activities and developing new recruitment strategies targeted at educational levels that have the highest need, and where the CfAO has the most potential for impact. Our early efforts to recruit graduate students from underrepresented minority groups into our CfAO programs have been challenging. We have attended conferences and focused other recruiting efforts on identifying students from underrepresented minority groups with relevant bachelor’s degrees. CfAO-affiliated graduate departments at Center nodes primarily require a physics degree to be admitted. We are finding that although many students are interested in our science and technology, very few have been pursuing physics undergraduate degrees. Our challenge is a nationwide problem -- physics still has one of the lowest proportions of African Americans (4.4%) and Hispanics (3.8%) of any science discipline (AIP, 2003). In 2000, only 270 African Americans and Hispanic Americans earned bachelor’s degrees in physics. Women are also significantly underrepresented in physics, earning only 21% of physics bachelor’s degrees in 2000 (NCES, 2003). However we have been more successful at enrolling women into our graduate programs (12 out of 26, or 46%, of our graduate students are women). We will continue our efforts to attract women and underrepresented minorities to our graduate programs, focusing on increasing the pool of prospective graduate students from underrepresented groups.

63 longer term impact on this situation by increasing our efforts in Year four and five to attract more women into graduate school. Accompanied by several of our undergraduate interns, we have plans to attend the Society of Women Engineers (SWE) conference this fall, as a recruitment effort at the graduate and postdoctoral level.

The formation of long-term, authentic partnerships has been an ongoing challenge. We have put significant effort into developing partnerships in Hawaii, to increase the participation of Native Hawaiians in our research and more generally in STEM fields. Our most significant progress has been to couple our technical and educational efforts, so that educational partnerships are based on common interests and have relevance to the individuals involved. In Year 4 we provided an introductory course to native Hawaiian interns in Maui and have placed 11 of them into local high technology enterprises. 6.4 CfAO Diversity Plan Below is a summary of the strategies we have established to increase diversity within the CfAO. Specific objectives for each strategy, including how we plan to identify and engage each of these groups, can be reviewed at http://cfao.ucolick.org/EO/ProjectsComing/

1. High School Level – Engage high achieving students from underrepresented minority groups in CfAO related science and technology, to foster their interest in and commitment to STEM careers 2. Undergraduate Level – Generate a pool of students from underrepresented groups who are engaged in CfAO research and technology, identify and support qualified individuals for deeper involvement and academic advancement 3. Graduate Level – Increase the pool of prospective graduate students from underrepresented groups through engagement in CfAO research and technology, and convert this interest into applications to CfAO graduate programs. 4. Postdoctoral Level and Beyond –Increase the number of graduate students and professionals interested in and knowledgeable of CfAO science and technology.

6.5 Center Contributions to developing US Human Resources Annual Professional Development Workshop (see complete description in Section 3.4.1.1) The 2003 conference was held in Maui from May 13th to May 17th. Again inquiry based teaching/learning was the main theme of the workshop. This year the workshop consolidated the links Maui business community and their participation. A consequence of this was the placement of 11 Maui interns into local high-tech enterprises. The long term goal is to improve the high technology skills of native Hawaiians enabling them to more fully participate in their local high tech economy, including the Observatories.

CfAO Faculty Fellows Program A visiting faculty member from a Minority Serving Institution, Hampton College, continues to be financially supported in 2003 at the Lawrence Livermore Laboratory by the CfAO. Funds are also available for the faculty member to have an undergraduate student join him and share in the research experience.

64 SACNAS Conference (Society for Advancement of Chicanos and Native Americans in Science.) The CfAO continues its involvement in the SACNAS organization. The 2003 SACNAS Conference will be held on October 2nd and 5th in Albuquerque, New Mexico. This year the Center has four speakers in the Science session, including the Director - Professor Jerry Nelson, Professor Sandy Faber, Dr. Fernando Romero-Borja and Dr. Gabriella Canalizo. Fifteen undergraduates are applying to CfAO for travel grants to the conference where they will present posters in the Poster session. CfAO personnel will be manning a booth throughout the conference.

Florida Georgia, Lewis Stokes Alliance for Minority Participation. This was held in Feb. 2003 in Tampa Florida and was attended by Lisa Hunter the CfAO’s Associate Director for Education and graduate student Lynne Raschke. The program promotes minority participation in Mathematics, Science, Engineering and Computer Science.

Graduate Student Fellowship The CfAO offers a fellowship to incoming underrepresented graduate students at CfAO nodes. Our goal is to attract underrepresented graduate students into the field of adaptive optics and establish connections within our scientific community. In Year four, this fellowship was awarded to a first year African American graduate student, Hamiti McIntosh enrolled at UCLA, who will be supervised by Professor Andrea Ghez

Summer School The CfAO Summer School provides an opportunity for graduate students, postdoctoral researchers, and occasionally advanced undergraduates to learn about Center research and technology. We promoted this event at the SACNAS conference and the Graduate Student Diversity Forum. In 2001, we were not able to attract any underrepresented minority students or postdocs to the Summer School. In 2002, we have three underrepresented minority students enrolled (all Hispanic graduate students). One of these students received a fee waiver in order to attend. We have made efforts to recruit more women to this event, and in 2003 we have a female student recruited at the SACNAS conference attending. EHR is covering the full costs of a female student who is considering CfAO institutions for graduate school. We will continue to expand our recruitment efforts to increase the participation of underrepresented groups in the Summer School, and ultimately we hope into our graduate and postdoctoral positions.

Stars, Sight and Science Stars, Sight and Science is a residential science program that serves underrepresented high school students. This project increases motivation through inquiry based, project oriented approaches. Students are encouraged to take more science and math courses, participate in related extracurricular activities, and in some cases continue their involvement through the SETT program (below).

Science, Engineering and Technology Training (SETT) This project provides internships for undergraduate students, with an emphasis on underrepresented community college students. Students are placed at CfAO sites to complete an independent research project and become part of the research team for the

65 summer. We focus on women and underrepresented minority students; however, we accept a few students who have other educational disadvantages, such as low income, or first generation college attendees. As mentioned previously in 2003 we extended this program to Maui where this summer there are 11 native Hawaiians interning in Maui high-tech enterprises. 6.6 Plans We will continue our current efforts and will expand our recruiting efforts in Year Five. We are considering new mechanisms for attracting underrepresented graduate students into the Center, including travel awards for potential graduate students to attend the Annual Professional Development Workshop in Hawaii. We will also increase our recruiting efforts towards minority and women serving institutions to increase participation in our internship, the CfAO Summer School, and other Center events. 6.7 Diversity Impacts 1. Participate as a Center, in the activities of minority and women serving organizations. In Year Four, the CfAO participated in the following: SACNAS Conference Graduate Student Diversity Forum Women in Technology/Maui Economic Development Board

2. Established partnerships with minority serving institutions (MSI’s) based on common research and technology interests. In the case of Maui the long term impact would be to increase the technological workforce in the native Hawaiian population. The CfAO has developed the following partnerships: Maui Community College (MSI) Watsonville High (85% Hispanic) Hartnell College (MSI)

3. Increased the participation of underrepresented groups in all Center activities (educational activities, research, external scientific community). Stars, Sight and Science 15 of 15 underrepresented minority Science, Engineering and Technology Training (internship) 13 of 14 underrepresented (7 underrepresented minority; 10 women) ALU LIKE 2 Native Hawaiian Trainees Akamai Internship on Maui 11 Native Hawaiian Interns CfAO graduate student recruitment Funded one underrepresented minority student for summer salary

Annual Professional Development Workshop 4 of 26 students, postdocs and research scientists from underrepresented minority groups (up from 1 out of 26 in 2001) Summer School Increased participation of underrepresented minority students from zero to three in 2002.

66 7. Management 7.1 Center Organization The Year 4 Organizational chart schematically depicting the management structure is shown in Appendix B.

The Director is the Chief Scientist, with overall responsibility for the Center activities and prime responsibility for the research conducted within the Center. The daily operational functions are the responsibility of the Managing Director, who also has overall fiscal responsibility for budgets and oversight of educational and industrial outreach activities – including intellectual property. The internal governing body of the Center is: The Executive Committee, which consists of: Jerry Nelson - Director Christopher Le Maistre - Managing Director Lisa Hunter - Associate Director E & HR (Theme 1) Claire Max - Theme 2 Leader Scot Olivier - Theme 3 Leader David Williams - Theme 4 Leader Andrea Ghez - Associate Director Astronomy Science Richard Dekaney - Associate Director Multi conjugate Adaptive Optics Austin Roorda - Associate Director Vision Science

Within the University of California, Santa Cruz (UCSC), the Director reports to an Oversight Committee chaired by the Associate Vice Chancellor for Research. (See Section 7.5)

The External Advisory Board (EAB) has representatives from the fields of Astronomy, Vision Science, Adaptive Optics, and Education. They provide overall advice on the research and policies of the Center. The EAB reports to the UCSC Associate Vice Chancellor for Research. (See Section 7.5.2)

The Program Advisory Committee (PAC) provides advice and insights into the research being pursued, both within and outside of the CfAO. The PAC reports to the Director of the CfAO. (See Section 7.5.2)

Themes The Center has organized its Education Outreach and Research into Themes. This approach has 1. Encouraged greater collaboration between researchers. 2. Identified lasting Center monuments or achievements. 3. Developed a road map with milestones to help ensure success. 4. Fostered interactions between astronomers and vision scientists. 5. Increased understanding of the Center’s educational and human resources goals on the part of all researchers and expanded opportunities to share in the achievement of these goals.

A description of the four themes follows:

67 Theme 1: Education And Human Resources (EHR) The Education and Human Resources program is structured so as to integrate CfAO research within its activities.

The four goals of CfAO’s Education activities are to:

5. Increase the versatility of Center graduate students and postdoctoral researchers through exposure and training in the diverse fields within the CfAO research and education programs. 6. Increase the number of underrepresented students from partner high schools who are prepared and motivated to pursue an SMET degree in college (2-year or 4-year). 7. Establish a center-based model for the retention and advancement of underrepresented college students, or potential college students, into the scientific or technical workforce, or next educational level. 8. Increase the interest in and knowledge of CfAO science and technology in the broader community, with a focus on high school and college levels.

Theme 2: AO for Extremely Large Telescopes (ELTs) The highest recommendation of the National Academy of Sciences’ Astronomy and Astrophysics Survey Committee (2001) was the design and construction of a ground- based 30-m telescope, equipped with adaptive optics (a giant segmented mirror telescope, or GSMT). Developing an adequate adaptive optics system for this telescope is extremely challenging and requires developments in most technical areas of adaptive optics. Making a major contribution towards achieving this national priority is a natural and suitable objective for the CfAO. The benefits of multi-conjugate adaptive optics (MCAO) include widening the diffraction-limited field of view and achieving near-complete sky coverage with laser beacons (by overcoming the cone effect). While the ultimate implementation of a MCAO system for a 30-m telescope will require both time and resources far beyond the scope of the CfAO, we believe that we can develop the crucial concepts and components needed for its successful implementation.

Theme 3: Extreme Adaptive Optics (eXAO): Enabling Ultra-High-Contrast Astronomical Observations The eXAO theme is scientifically driven by the need to achieve high-contrast imaging and spectroscopic capabilities to enhance the detection and characterization of extra-solar planetary systems and their precursor disk material. By improving image quality, eXAO systems enable the detection of faint objects close to bright sources that would otherwise overwhelm them. This is accomplished both by increasing the peak intensity of point- source images and by removing light scattered by the atmosphere and the telescope optics into the “seeing disk”. This combination of effects can dramatically improve the achievable contrast ratio for astronomical observations.

The primary goal of this theme is to catalyze the development of the next generation of high-order adaptive optics systems in order to achieve unprecedented capabilities for high-contrast astronomy. This will require activities in eXAO system design along with the design of instruments, such as coronagraphs, optimized for high-contrast observations. Additional crucial activities include the development of new simulation capabilities for eXAO systems and instruments, along with better characterization of the performance existing high-order AO systems, and the development of new technologies

68 in high-order wavefront correction devices, such as MEMS deformable mirrors, and in wavefront control system algorithms and architectures. Ongoing scientific utilization of high-contrast observational capabilities and development of data processing techniques optimized for high-contrast observations are also critical activities for this theme. This theme shares many cross-cutting issues with Theme 2.

Theme 4: Compact Vision Science Instrumentation for Clinical and Scientific Use Ophthalmic AO systems have been demonstrated in the laboratory for scientific research. The next horizon is to engineer compact, robust AO systems for use in clinics as well as scientific laboratories. The long-term goal is to commercialize a compact AO system for ophthalmic applications. Along the way, these new and existing AO systems will be used to advance our understanding of human vision, and to explore medical applications of adaptive optics. This is a crucial way to provide feedback for the utility of the advanced AO designs.

Site Coordinators The Center has 11 geographically dispersed Centers and to facilitate interactions between researchers, and business offices, site coordinators have been appointed. In addition to members of the Executive committee, the following provide liaison functions at their sites. Dr. Gary Chanan University of California, Irvine Dr. James Graham University of California, Berkeley Dr. James Larkin University of California, Los Angeles Dr. Edward Kibblewhite University of Chicago Dr. Donald Miller Indiana University. 7.2 Performance and Management Indicators The geographical dispersion of Center sites has been noted. Six are in California and the remaining five are in Rochester, NY; Houston, Texas; Chicago, Illinois and Bloomington, Indiana and Montana. The Center is actively working on improving information flow between the sites, using the recently installed video-conferencing equipment. (See Section 7.4)

In Year 4, Principal Investigators forwarded quarterly reports to their Theme Leaders. The reports were reviewed and evaluated against the milestones that researchers had identified in their project proposals.

Project evaluation also occurs during the annual proposal review process, where previous progress against milestones is an important criterion for continuation of a project’s funding. The Proposal Review Committee (PRC) consisting of the Executive Committee reviews all proposals and recommends funding levels to the Director.

Prior to reviewing, the Year 5 proposals were sent to both internal and external mail reviewers. All members of the PRC were provided with copies of the reviews and in depth discussions were subsequently held. Recommendation for Year 5 funding were reached by vote. Projects considered “on the edge” were set aside for discussion with the Program Advisory Committee and their recommendation.

69 The Education and Human Resources Theme in addition to internal review have utilized external consultants to evaluate its programs. 7.3 Problems • The Center management’s promotion of longer term projects has led to further discussions whereby the commitment of funds over longer periods restricts flexibility and could foster a sense of entitlement for the recipient versus the recognition of the need to provide Principal Investigators a sense of “funding security” when implementing projects whose completion extends beyond the annual funding cycle. • The CfAO is still in the process of establishing itself as the recognized leader in the field of Adaptive Optics both at a national and international level. 7.4 Management and Communication Systems The Center’s management of research and its EHR programs has been described above. Because the eleven sites constituting the Center are geographically widespread, the Center has invested heavily in video-conferencing facilities at each site. At UC Santa Cruz, the CfAO’s video-conferencing room is an important an integral part of the Center’s operations. In addition to the Executive Committee meeting bi-weekly via video-conference, the Center Director and his staff have meetings with our Technical Coordinator and other officers at the National Science Foundation. Professor James Graham taught a graduate course "Giant Astronomical Telescopes for the 21st Century" - Astronomy 250 in the Spring of 2003. The course was taught on the Berkeley campus and broadcast live via the video facility to graduate students and post docs at UC Santa Cruz. Also in Spring 2003, Professor Doris Ash taught the course "Research and Practice in Teaching and Learning Science" - Education 286. It was available at all CfAO sites via video. Most participants were from UCLA and LLNL.

7.5 Center’s Internal and External Advisory Committees 7.5.1 Internal Oversight Committee – University of California Santa Cruz

Name Affiliation 1 Burney Le Bouef Associate Vice Chancellor, Research 2 David Kliger Dean Natural Sciences 3 Steve Kang Dean School of Engineering 4 Joseph Miller Director UCO/Lick Observatory 5 Francisco Hernandez Vice Chancellor, Student Affairs

The Committee meets at least once a year. In addition, the Center Director meets regularly with the Director of the UCO/Lick Observatory, who conveys concerns or issues to the Oversight Committee as needed.

70 7.5.2 External Committees The Center has two external committees: The Program Advisory Committee and The External Advisory Board The Program Advisory Committee Name Affiliation 1 Dr. James Belectic W. M. Keck Observatory, HI 2 Dr. Mark Colavita Jet Propulsion Laboratory, Pasadena, CA 3 Dr. Stanley Klein (Chair) University of California, Berkeley, CA 4 Dr. Steven Vogt University of California, Santa Cruz, CA 5 Dr. Malcolm Northcott AOPTIX Technologies, Campbell, CA 6 Dr. Fiona Goodchild University of California, Santa Barbara, CA 7 Dr. Joyce Justus University of California, Santa Cruz, CA

The External Advisory Board Name Affiliation 1 Dr. Christopher Dainty (Chair) Imperial College, London, UK 2 Dr. Pablo Artal Universidad de Murcia, Spain 3 Dr. Robert Byer Stanford University, CA 4 Dr. Thomas Cornsweet Visual Pathways Inc, Prescott, AZ 5 Dr. Robert Kirschner Harvard-Smithsonian, CfA, Cambridge. MA 6 Dr. Matthew Mountain Gemini Observatory, Hilo, HI 7 Dr. Allan Wirth Adaptive Optics Associates, .Cambridge MA 8 Dr. Harold MacAlister Georgia State University, Atlanta, GA 9 Dr. Sidney Wolff National Optical Astronomy Observatories, Tucson, AZ 10 Dr. Robert Fugate Air Force Research Labs, Albuquerque, NM 12 Dr. David R. Burgess Boston College, Boston, MA. 7.6 The Center’s Strategic Plan As outlined in the 2001 Annual Report the Center developed a Mission and Goals which remain unchanged in 2002. Mission: To advance and disseminate the technology of adaptive optics in service to science, health care, industry, and education. Goal: To lead the revolution in AO, by developing and demonstrating the technology, creating major improvements in AO systems, and catalyzing advances nationwide within the next decade. Strategies: CfAO will pursue its purpose and achieve its goal by: 1. Demonstrating the power of AO by doing forefront science. 2. Increasing the accessibility of AO to the scientific community. 3. Developing and deploying highly capable AO systems and laser beacons. 4. Coordinating and combining research efforts to take advantage of the synergies afforded by the Center mode of operations. 5. Integrating education with our research.

71 6. Building a Center community that is supportive of diversity through vigorous recruiting, retention, and training activities. 7. Encouraging the interaction of vision scientists and astronomers to promote the emergence of new science and technology. 8. Leveraging our efforts through industry partnerships and cross-disciplinary collaborations.

The Center has developed a Strategic Plan based on this Mission Statement. The Plan lays out the four Themes described in Section 7.1 Each Theme has developed a road map with short and long term milestones.

72 8. Center-wide Output and Issues 8.1 Center Publications Peer Reviewed Publications 1. Bloemhof, E. E., 2003, "Suppression of Speckle Noise by Speckle Pinning in Adaptive Optics", Astrophys. J. 582, L59 2. Boccaletti A. (Caltech) Augereau J.C., (CEA), Marchis F, (UC-Berkeley), Hahn J. (LPI), Letter to Astrophys. J in press, 2002 3. Canalizo, G., Max, C. E., Whysong, D., Antonucci, R., Dahm, S. E. 2003, "Adaptive Optics Imaging and Spectroscopic Observations of Cygnus A: I. Evidence for a Minor Merger", Astrophys. J., 597, in press 4. Chauvin, G., T. Fusco, A.M. Lagrange, D. Mouillet, J.L.Beuzit, M. Thomson, J.C. Augereau, F. Marchis, C. Dumas, and P. Lowrance, "No disk needed around HD 199143 B" Astron. Astrophys. 2002 5. de Pater, I., B. Macintosh, H. Roe, D. Gavel, S.G. Gibbard, and C.E. Max, 2002. "Keck Adaptive Optics Images of Uranus and its Rings", Icarus, 160, 359-374 6. Descamps, P., F. Marchis, J. Berthier , R. Prangé, T. Fusco and C. Le Guyader , 2002. "First ground-based Astrometric Observations of Puck", C.R. Physique, 121- 128. 7. Doble Nathan, Li Chen, Geun-Young Yoon, Bierden Paul, Olivier Scot, Singer Ben and Williams David R., "The use of a microelectromechanical mirror for adaptive optics in the human eye" Optics Letters , 27, 17, pp 1537-1539, 2002. 8. Duchêne, G.; Ghez, A. M.; McCabe, C.; Weinberger, A. J. "No Fossil Disk in the T Tauri Multiple System V773 Tauri" 2003 Astrophys. J..592..288D 9. Ellerbroek, B.L., Efficient computation of minimum-variance wave-front reconstructors with sparse matrix techniques, J. Opt. Soc. Am. A 19, 1803-1816 (2002). 10. Farsiu, S. , D. Robinson, M. Elad, and P. Milanfar, "Fast and Robust Multi-frame Super-resolution", submitted 2003 to IEEE Transactions on Image Processing 11. Ghez, A. M., Salim, S., Hornstein, S. D., Tanner, A., Morris, M., Becklin, E. E., Duchene, G. 2003, ``Stellar Orbits Around the Galactic Center Black Hole," submitted to Astrophys. J. (astro-ph/0306130) 12. Ghez, A. M.; Duchêne, G.; Matthews, K.; Hornstein, S. D.; Tanner, A.; Larkin, J.; Morris, M.; Becklin, E. E.; Salim, S.; Kremenek, T.; Thompson, D.; Soifer, B. T.; Neugebauer, G.; McLean, I. The First Measurement of Spectral Lines in a Short- Period Star Bound to the Galaxy's Central Black Hole: Paradox of Youth 2003Astrphys. J...586L.127G 13. Ghez, A. M. 2003 ``The Supermassive Black Hole at the Center of the Milky Way," Carnegie Observatories Astrophysics Series, Vol. 1: Coevolution of Black Holes and Galaxies, ed. L. C. Ho (Cambridge: Cambridge Univ. Press) 14. Gibbard, S.G., Macintosh B.A., Max C.E., de Pater I.,Marchis F., Roe H.G., Acton D.S., x. Lai D.S., Wizinowich P.L., Stomski P., Young E.F., and McKay C.P.. 2002 Obervations of Titan at 2 PM with the W.M. Keck Telescope Adaptive Optics System. Submitted to Icarus 15. Gilles, Luc, C.R. Vogel, and Ellerbroek Brent, "A Multigrid Preconditioned Conjugate Gradient Method for Large Scale Wavefront Reconstruction", J. Opt. Soc. Am. A, 19 (2002), pp. 1817-1822.

73 16. Glassman, T. M., Larkin, J. E., and Lafreniere, D. 2002 "Morphological Evolution of Distant Galaxies from Adaptive Optics Imaging," ApJ, 581, 865 17. Guirao, A., Cox, I., Williams, D.R. (2002) Method for optimizing the benefit of correcting the eye's higher- order aberrations in the presence of decentrations. J. Opt. Soc. Am. A, 19(1), 126-128. 18. Guirao, A., Porter, J., Williams, D.R., Cox, I. (2002) Calculated impact of higher- order monochromatic aberrations on retinal image quality in a population of human eyes: erratum. J. Opt. Soc. Am. A, 19(3), 620-628. 19. Guirao, A., Williams, D.R. (2003) A Method to Predict Refractive Errors from Wave Aberration Data. Optometry and Vision Science, 80(1), p. 36-42. 20. Helmbrecht, M.A.., Micromirror Arrays for Adaptive Optics, Ph.D. dissertation, University of California, Berkeley, Dept. of Electrical Engineering and Computer Sciences, Berkeley, CA, May 2002. 21. Hestroffer, D. (IMCEE-BDL), F. Marchis (ESO), T. Fusco (ONERA), J. Berthier (IMCEE-BDL) "Adaptive Optics Observations of asteroid (216) Kleopatra", Research Note, Astron. Astronphys., 394, 339-343, 2002. 22. Hornstein, S.D., Ghez, A.M., Tanner, A., Morris, M., Becklin, E.E., & Wizinowich, P. 2002, "Limits on the Short-Term Variability of Sagittarius A* in the Near- Infrared," Astrophys. J., 577, L9 . 23. Koehler, Rainer and Monika G. Petr-Gotzens: "Close Binaries in the eta Cha Cluster." Astron. J. 124, 2899 (11/2002). 24. Lacy, M., E. L. Gates, S. E. Ridgway, W. de Vries, G. Canalizo, J. P. Lloyd and J. R. Graham, ``Observations of Quasar Hosts with Adaptive Optics at Lick Observatory'', Astron. J., 124:3023-3030, Dec 2002 25. Le Louarn M., "Multi-Conjugate Adaptive Optics with laser guide stars: performance in the infrared and visible," Mon. Not. Roy. Atron. Soc., 2002, in press. 26. Marchis, F. (UC-Berkeley), I. de Pater (UC-Berkeley), A. Davies (JPL), H. Roe (UC- Berkeley), P. Descamps (IMCCE), D. Le Mignant (CARA), B. Macintosh (LLNL), R. Prangé (IAS), "High-resolution Keck Adaptive Optics Imaging of Violent Volcanic Activity on Io", Icarus, 160, 124-131, 2002. 27. Max, C., Macintosh, B.A.., Gibbard, S.G., Gavel, D.T., Roe, H.G., de Pater, I., Ghez, A.M., Acton, D.S., Lai, O., Stomski, P., and Wizinowich, P.L., "Cloud Structures on Neptune Observed with Keck Telescope Adaptive Optics" Astron. J. volume 125, p. 364 (2003) 28. Miller, J. S.; Sheinis, A. I. "Keck Spectroscopy of Four Quasi-stellar Object Host Galaxies" 2003 Astron. J., 588L.05/2003 29. Neitz, J., Carroll, J., Yamauchi, Y., Neitz, M., Williams, D.R. (2002) Color Perception is Mediated by a Plastic Neural Mechanism that Remains Adjustable in Adults. Neuron, 35, 783-792. 30. Patience, J., White, R. J., Ghez, A. M., McCabe, C., McLean, I. S., Larkin, J. E., Prato, L., Kim, Sungsoo S., Lloyd, J. P., Liu, M. C., Graham, J. R., Macintosh, B. A., Gavel, D. T., Max, C. E., Bauman, B. J., Olivier, S. S., Wizinowich, P., Acton, D. S. 2002, ``Stellar Companions to Stars with Planets," Astrophys. J, 581, 654 31. Poyneer, L.A. , D.T. Gavel and J.M. Brase, "Fast wavefront reconstruction in large adaptive optics systems using the Fourier transform", J. Opt. Soc. Amer. (A), Vol 19(10), pp2100-11, (Oct 2002) 32. Poyneer, L.A., M. Troy, B. Macintosh and D. Gavel, “Experimental validation of Fourier transform wave-front reconstruction at the Palomar Observatory” Optics Letters 28(10) 798-800.

74 33. Roe, H.G., I. de Pater, B.A. Macintosh, S.G. Gibbard, C.E. Max, and C.P. McKay, 2002. Titan's Atmosphere in Late Southern Spring Observed with Adaptive Optics on the W.M. Keck II 10-Meter Telescope, Icarus Note 157, 254-258 34. Roorda, A., Williams, D.R. "Optical Fiber Properties of Individual Human Cones" Journal of Vision 2: 404-412 (2002) 35. Schoeck M, Le Mignant D, Chanan G. A., Wizinowich P. L., and van Dam M., "Atmospheric turbulence characterization with the Keck adaptive optics systems. I. Open-loop data", Applied Optics, v. 42, pp. 3705-3720, (1 July 2003). 36. Sheinis, A. I.; Bolte, M.; Epps, H. W.; Kibrick, R. I.; Miller, J. S.; Radovan, M. V.; Bigelow, B. C.; Sutin, B. M. ESI, "A New Keck Observatory Echellette Spectrograph and Imager" 2002 PASP.,114.851S 1.000 08/2002 37. Sivaramakrishnan, A., J. P. Lloyd, P. E. Hodge and B. A. Macintosh, 2002 "Speckle Decorrelation and Dynamic Range in Speckle Noise Limited Imaging" Astrophys. J. L 581 in press (Dec 10 2002) 38. Steinbring, E., Faber, S.M., Hinkley, S., Macintosh, B.A., Gavel, D., Gates, E.L., Christou, J.C., Le Louarn, M., Raschke, L.M., Severson, S.A., Rigaut, F., Crampton, D., Lloyd, J.P., & Graham, J.R "Characterizing the Adaptive Optics Off-Axis Point- Spread Function. I. A Semi-empirical Method for Use in Natural Guide Star Observations," 2002, PASP, 114, 1267-1280 39. Tanner, A., Ghez, A., Morris, M., Becklin, E., Cotera, A., Ressler, M., Werner, M, \& Wizinowich, P. 2002, ``Spatially Resolved Observations of the Galactic Center Source, IRS 21," Astrophys. J., 575, 860 40. Yoon, G.Y., Williams, D.R., (2002) "Visual performance after correcting the monochromatic and chromatic aberrations of the eye", J. Opt. Soc. Am. A, 19, (2), 266-275.4

BOOKS 1. Applegate, R., Azar, D., Klyce, S., Williams, D.R. Corneal Topography versus Wavefront Sensing. Review of Refractive Surgery 2002, 3(3), 7-13 2. Hofer, H., Williams, D.R. (2002) The eye's mechanisms for autocalibration. Optics & Photonics News, 02/01, 34-39. 3. Williams, D.R. "What Adaptive Optics Can Do For The Eye", Review of Refractive Surgery 2002, 3(3), 14-20

BOOK CHAPTERS 1. Roorda, A., "A Review in Optics" in preparation for Customized Corneal Ablation: The Quest for SuperVision. 2nd edition (Macrae, S.M., Krueger, R.R., Applegate, R.A., ed). Slack Incorporated

OTHER PUBLICATIONS 1. Srinivasan, Uthara Michael A. Helmbrecht, Richard S. Muller, and Roger T. Howe, “MEMS Some Self-assembly Required,” OSAopn, Optics & Photonic News, Vol 13, No. 11, 20-24, Optical Society of America, Washington, DC, Nov. 20, ’02

8.2 Conference Presentations: 1. Bloemhof,E. E., J. A. Westphal 2002, "Design Considerations for a Novel Phase- Contrast Adaptive-Optic Wavefront Sensor", Proc. SPIE, Vol. 4494, pp. 363-370

75 2. Canalizo, G., Max, C. E., Whysong, D., Antonucci, R., Dahm, S. E., Lacy, M., 2003, ``A Possible Merging Companion to Cygnus A'', American Astronomical Society Meeting #202, 4220 3. Chanan, G.A., Wavefront curvature sensing on highly segmented telescopes, SPIE vol. 4840, in press, 2003. 4. Christou, J.C., Steinbring, E., Faber, S.M., Gavel, D.T., Patience, J., Gates, E.L., "Anisoplanatism Measurements with the Lick Adaptive Optics System", 2003, Adaptive Optical System Technologies II, Eds. Peter L. Wizinowich & Domenico Bonaccini, Proc. of the SPIE, 4839, pp. 846-857, 2003 5. Dawson, J.W., Beach, R.J., Drobshoff, A., Liao, Z.M., Payne, S.A., Pennington, D. M., Hackenberg, W., Bonaccini, D., Taylor, L., “High-power 938-nm cladding pumped fiber laser”, SPIE Conference on Lasers and Applications in Science and Technology, January, 2003, San Jose, CA, accepted for publication (Paper Number: 4974-15). 6. Dawson, J.W., Beach, R.J., Drobshoff, A., Liao, Z.M., Pennington, D. M., Payne, S.A., Hackenberg, W., Bonaccini, D., Taylor, L., 938nm Nd-doped high power cladding pumped fiber amplifier”, Advanced Solid State Photonics Conference, February, 2003, San Antonio, TX, accepted for publication. 7. de Pater, I., F. Marchis (UC-Berkeley), B. Macintosh (LLNL), H.G. Roe (UCB), D. Le Mignant (Keck Obs.) and J.R. Graham (UCB), "Keck AO Observations of Io in and out of Eclipse", SPIE, Vol. 4834, Aug. 2002. 8. Duchêne, D., Ghez, A. M., McCabe, C. 2003 ``Non-Coeval Young Multiple Systems? On the Pairing of Protostars and T Tauri Stars," to appear in proceedings of ``Recent Problems in Star Formation" 9. Ellerbroek, Brent, Luc Gilles, and C.R. Vogel, "A Computationally Efficient Wavefront Reconstructor for Simulation or Multi-Conjugate Adaptive Optics on Giant Telescopes", Proc. SPIE 4839-116, Adaptive Optics System Technologies II (2002). 10. Farsiu, S., D. Robinson, M. Elad, P. Milanfar, "Robust Shift-and-Add Approach to Super-resolution", To appear in the Proceedings of the SPIE Annual Meeting, August 2003, San Diego, CA (code-number 5203-22) 11. Farsiu, S., D. Robinson, M. Elad, P. Milanfar, "Fast Robust Superresolution", To appear in Proceedings of the 2003 IEEE International Conference on Image Processing (ICIP), Barcelona (code-number 1121) 12. Fusco, T., L. Mugnier, J.-M. Conan (ONERA), F. Marchis (UC-Berkeley), G. Chauvin (LAOG), G. Rousset (ONERA), A.-M. Lagrange (LAOG), D. Mouillet (OMP) and F. Roddier, "Deconvolution of astronomical images obtained from ground-based telescopes with Adaptive Optics", SPIE, Vol. 4839, Aug. 2002. 13. Gavel, D. T., C. E. Max, S. S. Olivier, B. J. Bauman, D. M. Pennington, B. A. Macintosh, J. Patience, C. G. Brown, P. M. Danforth, R. L. Hurd, E. Gates, S. A. Severson, J. P. Lloyd, ``Recent science and engineering results with the laser guidestar adaptive optic system at Lick Observatory'', Proc. SPIE, 4839, in press 14. Ghez, A. M., Becklin, E. E., Duchene, G., Hornstein, S., Morris, M., Salim, S., Tanner, A. 2003 ``Full Three Dimensional Orbits For Multiple Stars on Close Approaches to the Central Supermassive Black Hole," Astron. Nachr., Vol. 324, No. S1, Special Supplement "The central 300 parsecs of the Milky Way", Eds. A. Cotera, H. Falcke, T. R. Geballe, S. Markoff 15. Ghez, A. M.; Duchene, G.; Morris, M.; Becklin, E. E.; Hornstein, D.; Tanner, A.; Kremenek, Ted; Matthews, K.; Thompson, D.; Soifer, B. T.; Larkin, J.; McLean, I.

76 "Full 3-D Orbital Solutions for Stars Making a Close Approach to the Supermassive Black Hole at the Center of the Galaxy" 2002, American Astronomical Society Meeting 201, #68.04 16. Gilles, Luc, Brent Ellerbroek, and C.R. Vogel, "Layer-Oriented Multigrid Wavefront Reconstuction Algorithms for Multi-Conjugate Adaptive Optics", Proc. SPIE 4839- 118, Adaptive Optics System Technologies II (2002). 17. Hornstein, S. D., Ghez, A. M., Tanner, A., Morris, M., & Becklin, E. E. 2003, ``Limits on the Short Term Variability of Sagittarius A* in the Near Infrared," Astron. Nachr., Vol. 324, No. S1, Special Supplement "The central 300 parsecs of the Milky Way", Eds. A. Cotera, H. Falcke, T. R. Geballe, S. Markoff 18. Kalas, P., Le Mignant, D., Marchis, F., and Graham, J.R. 2002, "Coronagraphic Imaging: Keck II AO and HST ACS Compared", In: 2002 HST Calibration Workshop, eds. S. Arribas, A. Koekemoer, and B. Whitmore, Space Telescope Science Institute, in press 19. Koehler, Rainer : "What causes the Low Binary Frequency in the Orion Nebula Cluster?" In: "The Environment and Evolution of Double and Multiple Stars", proceedings of IAU Coll. No. 191. To appear in RevMexAA 2003 20. Konopacky, Q. M.; Macintosh, B. A.; Ghez, A. M.; Zuckerman, B.; Kaisler, D.; Song, I. "Lick adaptive optics survey searching for low-mass companions to young, nearby stars" 2002 American Astronomical Society Meeting 201, #21.08 21. Krulevitch, Peter et al., “MOEMS Spatial Light Modulator Development at the Center for Adaptive Optics,” SPIE Photonics West, Micromachining and Microfabrication Conference, MOEMS and Miniaturized Systems III, San Jose, CA, SPIE Vol. 4983, pp. 227-34, January, 2003 22. Kurczynski, P., Bogart, G., Lai, W., Lifton, V., Mansfield, B., Tyson, J.A., Sadoulet, B., Williams. D.R. Electrostatically actuated membrane mirrors for adaptive optics. Submitted to Photonics West 2003 Conference. 23. Le Mignant, D. (Keck Obs.), F. Marchis (UC-Berkeley), K. Wok, P. Amico, R. Campbell, F. Chaffee, A. Conrad, A. Contos, R. Goodrich, G. Hill, D. Sprayberry, P.J. Stomski, P. Wizinovitch (Keck Obs.) and I. de Pater (UC-Berkeley), "Io, the Movie", SPIE, Vol. 4839, Aug. 2002. 24. Lloyd, J. P. D. T. Gavel, J R. Graham, P. E. Hodge, A. Sivaramakrishnan, and G. M. Voit, ``Four Quadrant Phase Mask: Analytical Calculation and Pupil Geometry'', proceedings SPIE, 4860 in press 25. MacIntosh, B.A., J.M. Brase, C.J. Carrano, S.S. Olivier, J. Patience, G.A. Chanan, and D. Kaisler, "High contrast imaging with adaptive optics on the Keck Telescopes", SPIE vol. 4839, in press, 2003. 26. Marchis, F., (UC-Berkeley), P. Descamps, D. Hestroffer, J. Berthier (IMCCE), I. de Pater (UCB) and D. Gavel (LLNL), "Adaptive Optics observations of the binary system (22) Kalliope: A three dimensional orbit solution", ESA Special Publications series, Asteroid Comet and Meteor, Berlin, July-Aug 2002. (Not included in Year 3 Annual Report) 27. McCabe, C.; Duchêne, G.; Ghez, A. M.; Macintosh, B., "Mid-infrared Scattered Light from Protoplanetary Disks: Evidence for Grain Growth", Edited by Adolf N. Witt., 2003 Astrophysics of Dust, Estes Park, Colorado, May 26 - 30, 2003. 28. Miller, Donald T. , Junle Qu, Ravi S. Jonnal and Karen Thorn, “Coherence Gating and Adaptive Optics in the Eye”, SPIE, Coherence Domain Optical Methods and Optical Coherence Tomography in Biomedicine VII, San Jose, CA, 25-31 January 2003, proceedings in press (8 pages).

77 29. Pennington, D., C. Brown, P. Danforth, H. Jones, C. Max, J. Chin, H. Lewis, D. Medeiros, C. Nance, P. Stomski, P. Wizinowich, "Current Performance and Status of the Keck Observatory Guide Star Laser System", SPIE Conference on Astronomical Telescopes and Instrumentation, August, 2002, Waikaloa, HI in press 30. Pennington, D., Hackenberg, W.,Beach, R., Bonaccini, D., Drobshoff, A., Ebbers, C., Liao, Z., Payne, S., Taylor, L. "Compact fiber laser approach to generating 589 nm laser guide stars", SPIE Conference on Astronomical Telescopes and Instrumentation, August, 2002, Waikaloa, HI, in press (Not included in the Year 3 Annual Report) 31. Pennington, D.., “Laser Technologies for Laser Guided Adaptive Optics”, NATO/Advanced Study Institute on Optics in Astrophysics, September, 2002, Cargese (Corsica - France) 32. Poyneer L. A,. "Advanced Techniques for Fourier Transform Wavefront Reconstruction", Submitted SPIE 4839: Adaptive Optical System Technologies II, 2002, pp 1023-1033. 33. L. A. Poyneer and B. Macintosh “Wave-front control for extreme adaptive optics”, SPIE 5169, Astronomical Adaptive Optics Systems and Applications (Aug 2003)Qu, J.; Jonnal, R.S.; Miller, D.T., “Ultrafast parallel coherence gating for an adaptive optics retina camera”, SPIE, Coherence Domain Optical Methods and Optical Coherence 34. Qu, Junle , Ravi S. Jonnal, and Donald T. Miller, “Ultrafast parallel coherence gating for an adaptive optics retina camera”, SPIE, Coherence Domain Optical Methods and Optical Coherence Tomography in Biomedicine VII, San Jose, CA, 25-31 January 2003, proceedings in press 35. Schoeck, M., Erasmus, D. A., Djorgovski, S. G., Chanan, G. A., Nelson, J. E., "CELT site testing program", Proc. SPIE 4840, Future Giant Telescopes (2002) 36. Schoeck, M., Le Mignant, D., Chanan, G. A., Wizinowich, P. L., "Atmospheric turbulence characterization with the Keck adaptive optics systems", Proc. SPIE 4839, Adaptive Optical System Technologies II, 2003 37. Sheinis, Andrew I.; Laiterman, Lee; Hilyard, David F.; Miller, Joseph S. "Integral field unit for the echellette spectrograph and imager at Keck II" 2003 SPIE.4841.1078S 1.000 03/2003 38. Sivaramakrishnan, A., P. E. Hodge, R. B. Makidon, M. D. Perrin, J. P. Lloyd, E. E. Bloemhof, and B. R. Oppenheimer "The Adaptive Optics Point-Spread Function at Moderate and High Strehl Ratios" SPIE 4860-25 Kona 2002 High Contrast Imaging for Exo-planet Detection Eds A. B. Schultz and R. G. Lyon 39. Tanner, A. M., Ghez, A. M., Morris, M., Becklin, E. E. 2003, ``Resolving the Northern Arm Sources at the Galactic Center," Astron. Nachr., Vol. 324, No. S1, Special Supplement "The central 300 parsecs of the Milky Way", Eds. A. Cotera, H. Falcke, T. R. Geballe, S. Markoff

8.3 Dissemination Activities – Year4 CfAO-Sponsored Workshops 1. Nov 7 – 10 2002, CfAO Fall Science and Education Retreat held Lake Arrowhead CA. 124 attendees (including industry) 2. December 2002, Review Advanced AO Simulation and Modeling Review with Lockheed Aerospace 3. Feb. 28 2003, STEMS Workshop 4. March 12 2003 CATS Workshop 5. March 20-23 2003, Spring Year 5 Proposals Retreat in San Jose. 137 attendees including industry). 6 companies had display booths.

78 6. March 24 2003 Analysis Workshop, San Jose 7. 11 – 17 April 2003 NSF Site Visit (5 year Renewal Proposal) 8. May 12-18 2003, Education and Science Workshop in Maui This graduate student and postdoc workshop, held in Maui, Hawaii, had 40 participants from both our vision science and astronomy communities. Attendees visited the US Airforce observatory, presented two poster sessions, and attended a workshop on Inquiry Based Learning. The workshop was notable for the large degree of participation by the Maui community. 9. June 26,27 2003 Program Review Committee. In depth review of all proposed research programs for Year 5. 10. June 28 2003, Program Advisory Committee Meeting 11. July 14-25 2003, COSMOS 12. August 09 - 15 2003, Summer School on AO – 100 participants have registered. 13. August 18-20 2003 STC Directors Meeting at UCSC 14. August 25,26 2003 Advanced Simulation and Modeling Workshop for Adaptive Optics for Extremely Large Telescopes 8.4 Awards Recipient Reason for Award Award Name and Contributor Date Sandy Faber Research Discovery Magazine’s “top 50 11/02 women scientists in the US.” Austin Roorda Outstanding Young Researcher American Academy of Optometry's 12/02 Vision Science Award Irving and Beatrice Borish Outstanding Young Researcher Award. Michael Business Plan Competition Purdue University Life Sciences 4/26/03 Helmbrecht; (Iris AO won $50,000 first prize Business Plan Competition. Nathan Doble plus $10,000 in business and legal services) Helmbrecht, Best Poster Presentation Best Poster Presentation, Spring 3/12/02 Michael 2002 BSAC IAB Meeting Joy Martin Best paper based on novel and National Winner of the 2002 12/02 innovative research related to Innovative Research Award contact lenses –“ New administered by the American Applications in Wave-front Optometric Foundation Sensing: Predicting Visual Performance with Multi-zone Bifocal Contact Lenses”

79 8.5 Graduating M.S. and Ph.D. students List M.S. and Ph.D. students who graduated during the reporting period, with placements. Include the number of years taken since entering graduate school to complete the Ph.D. List postdoctoral associates who left the STC during the reporting period, with placements.

Years Degre Degree Gende Ethnicit Nationalit Current Name to e date r y y position degree Millikan James PhD 6 9/02 M White US Fellowship, Lloyd Caltech PhD student, Suvi Gezari MS 3 /02 F White US Columbia Tiffany Ph.D. 6 1/03 F White US In transition Glassman Aris Pallikaris MS 3 1/03 M White Non-US Military Heidi Hofer Ph.D. 4 7/03 F White US In transition. Herzberg Post Institute of Eric Steinbring N/A N/A M White Non-US doc Astrophysics Victoria, BC Max Planck Inst. of Post Matthias Schoek N/A N/A M White Non-US Astronomy doc Heidelberg, FRG Postdoc, Henry Roe Ph.D. 4 12/02 M White US Caltech

80 8.6 Patents and Licensing etc.

Patent Name Number Application Receipt Date (leave Date empty if pending) 1 Rapid, automatic measurement U.S. Patent March 13, 2001. of the eye’s wave aberration. #6,199,986 Williams, D.R., Vaughn, W., Singer, B., Hofer, H., Yoon, G- Y, Artal, P, Aragon, J.L., Prieto, P., Vargas, F. 2 Wavefront sensor with off-axis U.S. Patent July 24, 2001 illumination. Williams, D.R. #6,264,328 and Yoon, G-Y. 3 Rapid, automatic measurement U.S. Patent October 9, 2001. of the eye’s wave aberration. #6,299,311 Williams, D.R., Vaughn, W., Singer, B, Hofer, H. Yoon, G- Y. 4 Apparatus and method for U.S. Patent January 15, 2002. improving vision and retinal #6,338,559 imaging. Williams, D.R., Yoon, G.Y., Guirao, A.

Patents Pending (next page)

81 Patents Pending Patent Name Number Application Receipt Date (leave Date empty if pending) 1 Determination of ocular Application 10/00 refraction from wavefront # aberration data & design of 60/238,465. optimum customized correction. Williams, D.R., Guirao, A. 2 Method and Apparatus for 60/316,173 8/30/01 Using Adaptive Optics in a Scanning Laser Ophthalmoscope. A. Roorda 3 Synthetic Guide Star #IL-10737 4/ 2001 Generation. S. A. Payne, R. H. Page, C. A. Ebbers, and R. J. Beach 4 Method and Apparatus for the 11/2001 Correction of Optical Signal Wave Front Distortion Using Adaptive Optics. Peter Kurczynski, J. A. Tyson 5 Method and Apparatus for the 020321D1 3/28/02 Correction of Optical Signal Wave Front Distortion using Fluid Pressure Adaptive Optics. B. Sadoulet 6 Method and Apparatus for Attorney 6/12/2002 Improving both Lateral and Docket No. Axial Resolution in 217,568 Ophthalmoscopy. D. T. Miller, R. S. Jonnal, and J. Qu 7 A PZT unimorph based, high CIT.PAU.1 6/12/02 stroke MEMS deformable 4.PCT mirror with continuous membrane and method of making the same. E. H. Yang 8 Adaptive Optics Phoropter. October 4, Scot Olivier, Brian Bauman, 2002 Steve Jones, Don Gavel, Abdul Awwal, Stephen Eisenbies, Steven Haney 9 Repeatable Mount for MEMS October 4, Mirror System. Stephen 2002 Eisenbies, Steven Haney,

Note: No Licenses to date.

82 8.7 Other Knowledge Transfer Activities All activities have been reported above

83 8.8 Summary Table (Year 5)

1 the number of participating institutions (all academic institutions that participate in activities at the Center) 11

2 the number of institutional partners (total number of non- 34 academic participants, including industry, states, and other federal agencies, at the Center)

3 the total leveraged support (sum of funding for the Center $1,178,332 from all sources other than NSF)

4 the number of participants (total number of people who 169 utilize center facilities; not just persons directly supported by NSF)

8.9 Media Publicity received by the Center and Associates Science Magazine The Speckle and more recent AO image results from Andrea Ghez’s team studying the Black Hole in our galaxy and those of the Genzel-Eckart team from the Max Planck Institute for Extraterrestrial Physics were favorably reviewed in Science Magazine -The Milky Way’s Dark Starving Pit, 30 May 2003 Vol. 300 Science.

Democrat and Chronicle In the news – Iris AO Iris AO, maker of tiny mirrors for adaptive optics, won the $50,000 first prize plus $10,000 in business and legal services in the inaugural Purdue University Life Sciences Business Plan Competition. Iris AO also won two business plan competitions last year, earning more than $75,000 in prizes. Nathan Doble a co-founder of the company said, “We have been boot-strapping and building the company off our winnings. We now have orders and contracts, and we hope our new mirrors meet the needs of industry.” The mirrors currently used in adaptive optic systems are about 3 inches in diameter and cost about $125,000. The goal of Iris AO is to make mirrors that are less than a half-inch in diameter and cost about $1,000 -- but have better performance, Doble said. As reported in the Democrat and Chronicle April 26th 2003. 8.9.1 CfAO World Wide Web site: http://cfao.ucolick.org/

84 9. Indirect/Other Impacts None to Report

85 Appendix A: Biographical information for new faculty member

86 Appendix B: Organization Chart, Center for Adaptive Optics (Year 5)

UCSC Oversight Committee External Advisory Board

Director Program Advisory Committee Managing Director

Associate Associate Associate Associate Associate Directors for Director, for Director, Director, Director, Theme 1 Theme II Theme III for Theme IV External Pt hi

Project Leaders Site Coordinators and Business Offices

87 Appendix C: Summary Minutes of Advisory Board Meetings

Report of the Program Advisory Committee Center for Adaptive Optics (CfAO)

The Program Advisory Committee met for a full day on July 2, 2003 with members of the CfAO executive committee. This report summarizes the PAC conclusions. Present were:

PAC: James Beletic (via videoconferencing), Mark Colavita, Stanley Klein (chair), Malcolm Northcott, Steve Vogt. The chair had phone discussions with Fiona Goodchild following the meeting to discuss Theme 1 comments.

CfAO: Jerry Nelson, Chris Le Maistre, Andrea Ghez (via speakerphone), Lisa Hunter, Claire Max, Scot Olivier, Austin Roorda (via videoconferencing), David Williams (via videoconferencing)

General Comments The PAC meeting started on time at 9:00 with Jerry Nelson reviewing the 2002 PAC comments and suggestions. We were pleased that all of our concerns had been more than adequately met: • For Theme 1 we had expressed the need to make plans for education funding after the center Research Experience for Undergraduates (REU) grant ends and after the 10 year NSF funding ends. We learned that Lisa Hunter has obtained UCSC PI status. That is an excellent start and we look forward to hearing of her applications for external funding. Our suggestion to increase the involvement of Hawaiian educators has been more than met. Lisa's "relentless barrage" has succeeded in getting several Hawaiian institutions to take their educational responsibilities more seriously.. • For Theme 2 we gave private suggestions for dealing with the Kibblewhite laser development. The combination of the Dekany blue ribbon review panel together with very strict funding arrangements worked amazingly well. The progress and accomplishments exceeded our expectations. • For Theme 3 our biggest worry in 2002 was the need to find a home for the high Strehl instrument. Keck's offer to collaborate with CfAO in hosting the instrument solves that worry. We also had wanted to see careful planning about the future of Theme 3 depending on external funding for building the instrument. The 2003 presentations and written proposals make it clear that this topic has been thoroughly thought through. • Theme 4 was going very well in 2002 and we didn't offer specific suggestions last year.

The next item on the 2003 PAC meeting agenda was a review of the NSF Site Visit for the CfAO 5 year renewal. Nelson discussed the various criticisms and suggestions from NSF and presented the CfAO response. We were provided with the NSF documents and the CfAO written response. The PAC and Nelson spent more than an hour discussing the

88 various issues with a focus on Themes 2 and 3, the themes of the NSF severest critiques. The PAC was impressed with the thoroughness of both the NSF comments and the CfAO response. We went through all the points raised by NSF and we were satisfied by the CfAO plans to modify Year 6-10 activity to incorporate the NSF suggestions. The PAC was impressed with CfAO's serious commitment to implementing the NSF suggestions.

We then had detailed presentations and discussions of the four themes by: Lisa Hunter (Theme 1), Claire Max (Theme 2), Scott Olivier (Theme 3), and David Williams (Theme 4). The PAC was pleased that CfAO funding is continuing to generate exciting AO activity in both astronomy and vision science as well as scientific education. We discussed the funding decisions on how to trim the $5,798K in proposal requests to the $4,360K in available funds. The PAC agreed with the decisions that had been made the preceding day by the Program Review Committee. In the remainder of this report we offer comments on each of the themes.

Theme 1. The PAC was impressed with the accomplishment over the past year. The CfAO graduate students and postdocs are receiving excellent training in how to become better teachers. The base of Hawaiian involvement is constantly increasing in a manner that will leave a lasting legacy for science education long after the NSF funding stops. Jim Beletic pointed out that Lisa Hunter's "relentless barrage" is having a productive effect on getting institutions in Hawaii (like Keck) to pay more attention to educational issues of importance to the surrounding community. We were impressed with the success of the inquiry based learning and with Doris Ash's research on reviewing the successes and needed modifications of the Hawaiian program and her own science education course. The main PAC suggestion is an outgrowth of the successes of Theme 1. The PAC encourages Lisa Hunter and Doris Ash to convert these educational insights to materials that can be published and placed on the CfAO web site. The next two paragraphs offer some thoughts on how these insights might be able to reach a larger audience.

It is clear from the Theme 1 written materials that the education and human resource personnel recognize the important role that NSF Centers can have in improving science education in the United States. There is a good chance that CfAO will have a lasting impact in Hawaii and at UCSC. The CfAO website also indicates that the program goals are clearly articulated and that an evaluation group has been working on collecting evidence that will indicate whether these goals are achieved. This is an important prerequisite to broadening the educational activities at the CfAO member institutions.

The PAC sees great potential for broadening the impact of the programs by informing others about the availability of course materials and educational opportunities. Consider, for example, faculty persons at member institutions who are involved with the teaching methods course for graduate students in astronomy and vision science. A number of those faculty may be eager to get connected with the organized training programs associated with CfAO and to make use of some of the new ideas generated by CfAO students and faculty. Another target audience could be a subset of the many NSF investigators around the country. A substantial number of these PIs and their colleagues may be interested in incorporating inquiry based learning for their own graduate students' training. As stated above, it would be helpful to use the CfAO web site to post new curriculum and

89 educational materials that others could use in designing their own teaching methods courses. Such a resource would serve as a significant legacy.

Theme 2. The development of a robust, affordable sodium guidestar laser would be a key legacy from CfAO. The PAC was impressed by the progress on the Kibblewhite laser project. We are gratified that our recommendations from last year have resulted in getting this project moving again, and commend the CfAO for its increasingly aggressive management of this stalled project. The test report on the Lite-Cycles laser slabs looks quite promising, and the addition of an experienced laser engineer from Caltech is also a very positive step. Kibblewhite has made good progress, but his funding to test the laser at Palomar must be kept strictly contingent on demonstrating 8 hours at 5 watts in the lab. The risk at continuing to pursue this laser project is still uncomfortably high, but the potential return is also high, so it seems worthwhile to go down this path a bit further.

We note that none of the 5 laser candidates under development currently are able to deliver the preferred pulse format needed for elimination of spot elongation in MCAO systems on ELT's. There are indications that the Pennington CW laser may be able to deliver a suitable pulse format, and perhaps the Kibblewhite laser's pulsed format could also be modified to the preferred format. The PAC urges the Pennington group to pursue the issue of pulsing as part of its laser development effort. It would also be worthwhile to investigate what fundamental limitations exist on the pulsed Kibblewhite laser, and whether or not it could be modified (through faster pulsing and/or gating) to the preferred pulse format with further development. Perhaps also the CfAO might consider putting out an explicit call for proposals for FY6 to pursue the pulsing option to lasers now under development. At the same time, there needs to be a clearer plan developed for what type of pulsing scheme is really needed. This will no doubt involve simulation and modeling studies of spot elongation and its effect on MCAO for ELT's. At the Feb, 2002 workshop one of the four key issues was "Mitigate laser guide star spot elongation". The crossed laser beams approach mentioned in Proposal 2.1.3 should be investigated as soon as possible. Hiring a postdoc or alternatively finding a competent collaborator deserves the highest priority.

As part of the "data dissemination" goal of adaptive optics development, the idea of archiving AO data from the Keck OSIRIS instrument seems highly desirable, and NASA/Keck should be encouraged to do this. It might also be desirable if this data could be "National Virtual Observatory" compatible. We also strongly encourage the PI's to publish more of their AO research.

The PAC is impressed by the synergy created by the CfAO that led to the awarding of the $9.1M Moore grant for the center's Laboratory for Adaptive Optics. This is precisely the sort of leveraged-opportunity the center was hoped to spawn, and the CfAO is to be commended on this.

Theme 3 A successful extreme-AO system may be one of the most exciting legacies of CfAO, and we are pleased with recent activities, including getting Keck on board as a system host. We concur with the cited recommendations of the site visit committee on management issues, and are pleased to see the addition of a project manager, plus a more realistic,

90 albeit higher, cost estimate. We are also pleased to see the synergy with LAO, as the proposed Year-5 and Year-6 laboratory demonstrations will provide confidence in the several-order-of-magnitude performance leap that extreme AO requires.

Following up on the questions on additional funding that were also raised by the site committee, the PAC recommends in Year 5 aggressively pursing this additional funding that is required to make ExAO a reality. Besides solicited funding opportunities like the recent NASA TPF call, NASA and other agencies may be open to unsolicited proposals. To that end, discussions with NASA and other agencies would be prudent, as would the production of a significant white paper than can be used for these discussions.

We note that CfAO is not alone in proposing an extreme AO system: a "Planet finder" "high Strehl coronographic Adaptive Optics facility" was one of the instruments selected in the VLT second generation instrument call, which makes clear that there is considerable community interest in this area.

We note that the science case for extreme AO may be robust with respect to ultimate instrument performance, and that very interesting science can be done even at reduced contrast levels. We recommend that the science justification in the funding solicitation white paper consider this issue.

Finally, while there may be technical and programmatic reasons to consider Gemini as an alternative site, there may also be scientific reasons, i.e., access to the southern sky, and this should be part of the decision process.

Theme 4. Theme 4 efforts continue with the successful approaches of previous years: funding the efforts at Rochester, Indiana and Houston in developing clinical instruments and funding efforts to improve MEMS mirrors. The instrument development seems to be going very well. CfAO involvement has led to a major NIH Bioengineering Research Partnership grant to develop a new generation AO scanning laser ophthalmoscopes. A second NIH BRP grant seems highly likely to be funded to support the further development of the AO optical coherence tomography camera developed at Indiana. Although there are still hurdles to be overcome the path to developing a successful instrument seems much clearer than it did last year. CfAO funding was essential in making this happen. As in previous years, the PAC congratulates the Theme 4 participants for work well done.

One of the topics discussed at the PAC meeting was that Jim Feinup, a world expert on image processing has recently moved to the University of Rochester's Center for Vision Science. The PAC believes that Feinup would be a great resource for CfAO and that a way should be found to involve him in image processing of AO images in both astronomy and vision science.

Another topic of concern to the PAC was the lack of progress on getting high stroke mirrors, thereby delaying the development of clinical instruments. At the PAC meeting we suggested the possibility of purchasing the intellectual property rights for the flip bonding method to assist Helmbrecht's mirror bonding problem. We strongly encourage CfAO to place a high priority on pursuing multiple paths to resolve the mirror bottleneck.

91 It will be difficult to develop a viable commercial instrument without relatively cheap, high stroke mirrors.

Sincerely, James Beletic Mark Colavita Fiona Goodchild Stanley Klein Malcolm Northcott Steve Vogt,

92 Report of the External Advisory Board (Scheduled for March 28th 2003)

External Advisory Board Members Pablo Artal (University of Murcia, Spain) David Burgess (Boston College) Robert Byer (Stanford University) Tom Cornsweet (Visual Pathways Inc) Harold MacAlister (Georgia State University) Robert Kirschner Harvard-Smithsonian MA. Chris Dainty (Imperial College, London) (Chair) Matt Mountain (Gemini Observatory,) Allan Wirth (Adaptive Optics Associates, Inc) Sidney Wolff (NOAO) Robert Fugate AFRL Albuquerque NM

The External Advisory Board meeting was scheduled for March 28th. 2003. Unfortunately this was two days after the start of the war with Iraq. There was a general reluctance by those members of the EAB who would be required to use the airlines to fly over this tense period. Consequently, the meeting was canceled.

93 Appendix D: Additional Media Materials

The following have been forwarded to NSF under separate cover:

CfAO Newsletter: Describes research and education activities of the Center. The latest issue covers research activities on the Adaptive Optics Scanning Laser Opthalmoscope (AOSLO) at the University of Houston.