C a R N E G 1 E I N S T 1 T U T 1

C A R N E G 1 E I N S T 1 T U T 1 Q N Oiz \\ ASK I IMC TON Extending the Frontiem of Science Year Book 96/97 T HE PRESID f N T * S « f P O i T July ./, 1996 June30 y 1997

CARNEGIE IN S TITUTIO N OF WASHINGTOH \ . -TO ENCOURAGE, IN TOE BR.QAD|ST.AND;/'.;C

APPLICATION ORKNOWLED IMPROVEMENT OF.MANKINP .. . "<^ '" *' \-r * • - <.

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PRESIDENTS Walter S. Gifford, /93/-/966 Garrison Norton, 1960-/974 Carl J. Gilbert, 1962-1983 Paul F. Oreffice, 1988-1993 Daniel Coit Gilman, 1902-1904 Cass Gilbert, 1924-1934 William Church Osborn, 1927-1934 Robert S. Woodward, 1904-1920 Frederick H. Gillett, 1924-1935 Walter H. Page, 1971-1979 John C Merriam, / 92! -1938 Daniel C. Gilman, 1902-1908 James Parmelee, 1917-1931 Vannevar Bush, 1939-1955 HannaK Gray, 1974-1978 William Barclay Parsons. 1907-1932 Caryl P. Haskins, 1956-1971 Crawford H. Greenewalt, 1952-1984 Stewart Paton, 1916-1942 Philip H. Abelson, 1971-1978 William C Greenough, 1975-1989 Robert N. Pennoyer, / 968-1989 James D. Ebert, 1978-1987 Patrick E. Haggerty, 1974-1975 George W. Pepper, 1914-1919 Edward E. David, Jr. (Acting President, John Hay, 1902-1905 John J. Pershfng, / 930-1943 1987-1988) Barklie McKee Henry, 1949-1966 Henning W. Prentis, Jr., 1942-1959 Myron T. Herrick, 1915-1929 Henry S. Pritchett, / 906-1936 TRUSTEES Abram S. Hewitt, 1902-1903 Gordon S. Rentschler, 1946-1948 Henry L Higginson, / 902-1919 Sally K. Ride, 1989-1994 Alexander Aggasiz, / 904-1905 Ethan A. Hitchcock, 1902-1909 David Rockefeller, 1952-1956 Robert O. Anderson, 1976-1983 Henry Hitchcock 1902 Elihu Root, 1902-1937 Lord Ashby of Brandon, l967-i974 Herbert Hoover, 1920-1949 Elihu Root, Jr., 1937-1967 J. Paul Austin, 19764978 William Wirt Howe, 1903-1909 Julius Rosenwald, 1929-1931 George G. Baldwin, 1925-1927 Cbaries L Hutchinson, 1902-1904 William nRothU 968-1979 Thomas Barbour, 1934-1946 Walter A. Jessup, / 938-1944 William W. Rubey, 1962-1974 James F. Belli 935-/961 Frank B. Jewett, 1933-1949 Martin A. Ryerson, 1908-1928 John S. Billings, 1902-1913 George F. Jewett Jr., / 983-1987 Howard A. Schneiderman, / 988-1990 Robert Woods Bliss, 1936-1962 Antonia Axrson Johnson, / 980-1994 Henry R. Shepiey, 1937-1962 Amory H. Bradford W59-1972 Samuel P. Langley, 1904-1906 Theobald Smith, 1914-1934 Lindsay Bradfond, 19^0-1956 Kennetn G Langcne, 1993-! 994 John C Spccner, .-JJ-/-C'7 OmarN Bradley, 194S-1969 ErnestO Lawrence, 1944-1958 Vv'illiam Ber.son Storey, 1924-1939 Le.vis M. Branscomb, \973-9OQ Charles A. Lindbergh. 1934-} 939 Richard P. Strong, •?3^-,^S Robe'tS. Brcokings. i9tG-',92r William Lindsay, 1902-190? Charles P. Taft, i 93c-/^75 lames E. Burke, 19E9-S993 Henry Cabot Lodge, 19:4 1924 William H. Taft. i90c-:o,5 Vannevar Bjsh, ; 953- * 9 7 \ Alfred L Loomis, 1934 ,97j William S. Thayer, '929-/935 Johr. L Cadwalader, /P03-/

^ie-c- Fete? Robert S. vVooawArc, »5C5-' 924 i.-.-m N. frevv', nki.T; D. Murphy, ;9"f=f--y£5 Carre" D. Wnght. ••:2-.'9C= : r • -•„• •'. • >J '- - . " :"' ;

>£••/• '- CARNEGIE INSTITUTION SCIENCE IS A WAY TO ^ACH HOW SOM^HING GETS TO BE KNOWN, WHAT IS NOT KNOWN, TO WHAT EXTENT THINGS ARE KNOWN (for nothing is known absolutely), HOW TO HANDLE 0O0BT ANI) IJNCERTAINTY, WHAT THE RULES OF EVIDENCE AREj HOW TO THINK ABOUT THINGS SO THAT: JUDGMENTS::CANBE MADE, HOW TO DISTINGUISH TRUTH FROM PlAUD, AND FROM SHOW.

S3 he media devotes substantial attention to the should be so. University training, especially at the . state of education in the United States. Anguished doctoral level, has for many years been predicated reports are frequent. The occasional good news is on the intimate connection between research and featured only to allow reflection on the more gen- training. This has several very positive conse- erally sad state of affairs. Media interest is a sure quences. Among the most pertinent are the follow- sign that education is still seen as suffering disas- ing: 1) Advanced training is provided through a trous problems, as being in 'crisis' condition; if the one-to-one relationship between a senior scientist news was good, education might well disappear and student. 2) Students learn by thinking and from the headlines. President Clinton underscores doing, not by rote. 3) Adequate if not generous the troubling assessment through his emphasis funds are available for training because of the and attention. national interest in supporting research. The contrast between the success of advanced scientific In truth, the state of education is complex, espe- training and the failure of science education in the cially in mathematics and science. It is different in K-12 schools reflects the absence of these same different U.S. states and communities, each of three advantages in the schools. which has its own local school governance, culture, and economic status. And it is different depending To a very significant extent, it was Vannevar Bush on whether it is the professional education of who established the groundwork for our country's mathematicians and scientists or the education of current status as the premier educator of profes- the general public that is the center of attention. sional scientists. His 1945 report, Science, the Endless Frontier, stressed the importance not just of Although generalizations are dangerous, there is scientific research but of scientific training to the one that seems reasonably well-founded. U.S. col- economic and strategic position of the U.S. world- leges, universities, and research institutions are very wide. He proposed that a single federal agency be successful at educating professional scientists. The responsible for both training and research; this accomplishments of U.S. scientists in fundamental agency came to be the National Science and applied work are evident all around us, and are Foundation (NSF). Later, as the National frequently displayed in the media and business Institutes of Health developed, it too embraced the press. Serious and talented students from all over research/training connection. As president of the the world come to this country for training, and Carnegie Institution, Bush adopted the same remain if they possibly cant recognizing that this is approach at the Carnegie departments. He initiat- the best place in the world for doing scientific ed a strong program of predoctoral and postdoctor- work. It is not difficult to understand why this al education, expecting that the research of the

T^ lifeanjSam^ c^Ru^arJFn/nmav, fa« tones, G*?> K ParTtvcn Press., New York, p. 285, 1992 CARNEGIE INSTITUTION

departments would gain in vigor from such a about 350 National Science Foundation Career program, and that the staff scientists, by exposing Awards, including the Presidential Early Career themselves constantly to the influence of young Awards for Scientists and Engineers, exists only minds, would be less isolated and more productive. for scientists associated with degree-granting In turn, young scientists would learn from working institutions. Carnegie scientists are thus ineligible. with leading investigators at a crucial period in On Allan Spradling's initiative, we sent a letter their intellectual development. Carnegie depart- to Neal Lane, director of the NSF, requesting ments embraced this philosophy. Today, predoc- reconsideration of the policy. Dr. Lane was atten- toral and postdoctoral training are, if anything, tive in his response. He even came downtown to more important to the Carnegie labs than they have lunch with Dr. Spradling (director of our were in Bush's day. Department of Embryology) and me. But the policy remains unchanged. The institution's academic catalog, published bien- nially, describes our fellowship programs. Funds for postdoctoral fellows come from our general endow- SCIENTISTS ment funds and special fellowship funds (e.g., the MMB THE SCHOOLS Wood Fellowship, the McClintock Fellowships, the Starr Fellowship), and from private foundations and federal grants. Providing for additional institutional In recent years, the educational concerns of scien- fellowship funds is always a central concern of the tists and scientific institutions have expanded president's fund-raising activities. beyond the training of new members of their pro- fession. Increasingly, the community has recognized that the dismal condition of K-12 science and mathematics education is, at least in part, the consequence of its own neglect and disinterest. What passes for science education in most of our schools does not reflect the nature of modern science in either its processes or its logic. Instead of an exciting experience that relates to the real world, school science is too often tied to books, strange new vocabulary, and memorization of poorly understood concepts. Any resemblance to Richard Feynman's vision of what science is all about is accidental. By one estimate, more new words are introduced in first-year high school biology than in first-year French.2 Both teachers and students are bored by the whole process. The contrast with the Carnegie is not a degree-granting institution, but enthusiastic, lively spirit in research labs is aston- our departments still reap benefits from the pres- ishing, and sad. The only effective and efficient way ence of graduate students. Predoctoral students can to change this situation is for scientists to insist on and do carry out their thesis research at Carnegie participating directly in the training of teachers, in departments under collaborative arrangements classroom efforts, and in the preparation of materi- between our scientists and their university men- als such as texts, kits, videos, and software. tors; degrees ire awarded by the home universities. Still, this distinction between Carnegie and the The key to a successful effort is having a clear idea major research universities is significant. For of goals. Scientists alone cannot articulate appropri- example, a prestigious and generous group of ate goals. Scientific considerations must be inte- 1/ =«=£=

as p to --tation and guide £%£T? Ch oh to 4r own curricuja) cJ^ ° develop theirown tea materials, organize t}iL OJS ^ing f S t7enf ° ' .*«* train their beCOme scientis s Sf ""

presented in resuJts felling. Thanks to dear «* Acad n f tile emy off Scie ° National Aociation deve]op a « contributions ftt of Teachers o - standards. Also ° * sci- guidance in *** of education^ ' "* mentary and d

because that they ma ry of success us f our research g &dead

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-e standards have att^ed resistance in various lTr arnou« of Sce L n -. Our nation v: ° national ^education, ald ^ a serious ed *«fa belief then, to be too ^Com teach and ho > quires that all Ponent. NASA, «ed Discover>f award astern P"^ CARNEGIE INSTITUTION

has been active in supervising prize-winning high school science fair projects and undergraduate research thesis work for students at Johns Hopkins University and Goucher College. The department also sponsors a voluntary program called Teachers and Researchers in Science Education, initiated ten years ago by Don Brown to provide construc- tive, sustained links between scientists and teachers in the Baltimore city schools. Staff member Andy Fire has been coordinating this effort for the last five years; several hundred students and about 80 teachers and 80 researchers (from Carnegie and Johns Hopkins) have participated.

For many years, the Geophysical Laboratory sponsored informal summer programs for high school and undergraduate students. The quality of some of these efforts are seen in prior Year Book reports and in the prizes that some of the interns won for their work. In summer 1997, the Lab initiated an NSF-funded Summer Intern Program in and the general public. Last year, the NSF revised Geoscience. Connie Bertka, senior research associ- the criteria on which all grant proposals will be ate, was the astute and attentive mentor for this judged. There are now only two criteria: scientific ten-week long program, and Charles Prewitt, the quality (that is, excellence) and impact on society.6 director, gave important support and oversight. Impact includes how well the proposal promotes The students received stipends and travel expenses, teaching and training, broadens participation of and housing was provided through rental of local underrepresented groups, and enhances the public apartments. The students were assigned to the labs understanding of science. It is likely that such con- of staff members, who served as mentors for the siderations will be important to other granting individual research projects. Besides their own agencies before long. work, the students attended seminars, toured other D.C.-area geoscience facilities, and spent a day Although the fact that Carnegie does not grant visiting with the D.C. teachers attending the degrees and thus does not have an undergraduate Carnegie Academy for Science Education (CASE; student body adds challenges to meeting these new described below). The summer was to end in a cel- responsibilities, our long-term and thriving pro- ebratory symposium and the presentation, by the grams for schools and the general public affirm our interns, of their accomplishments. The symposium commitment to ameliorating this national problem. occurred, but the mood was not celebratory. A few days before, the only high school student in the group, the exceptionally gifted Ben Cooper, was EDUCATIONAL ACTI¥ITiES IN THE killed in a terrible automobile collision a few DEPARTMENTS blocks from the lab. The driver of the truck that fell atop Ben's car should not have been driving, and the case has become a major local issue center- The Department of Embryology uses departmen- ing on the irresponsibility of the motor vehicle tal funds to support high school and undergraduate authorities. The students, who had formed a close- research students in its laboratories, mainly in the knit group, were devastated, as were many in the summer months. For example, Mamie Halpern Laboratory. We will be initiating a Benjamin Cooper Fellowship Fund for summer students, to CARNEGIE INSTITUTION

nonscience majors with a seminar exploring the controversial issues arising from new developments in biotechnology.

With the arrival of summer, the Department of Terrestrial Magnetism (DTM) welcomes high school and undergraduate students to its labs. Some of these students have won support through national competitions, such as the NASA Planetary Geology Intern Program. Others are supported by departmental or personal funds. Several new plans are under way. Next summer, with a grant from the Dreyfus Foundation, DTM will initiate a Dreyfus Foundation Summer Intern Program in Geochemistry and Cosmochemistry. Also, the newly formed joint DTM/GL/Southern Africa Kaapvaal Craton Project includes educational development for black southern African science students. Introducing disadvantaged students to the potential of a career in science is a challenge in many countries, especially those in southern Africa. The whole problem of appropriate science education is of worldwide concern, even in countries with traditionally strong science efforts.

Our closest foreign tie is of course with Chile, which has been gracious host to the Las Campanas honor Ben's memory and to remind us that we are Observatory since 1970. For many years, we spon- all diminished by the loss of this very promising sored a Chilean student studying for a doctoral young scientist. degree in astronomy at an American university. The second Carnegie-Chile feUow, Maria Teresa The Department of Plant Biology, located in our Ruiz, is now a professor at the University of Chile. facilities on the campus of Stanford University, has This year she was awarded her nation's highest sci- had an especially collegial relationship with entific honor: the National Science Award. Stanford plant biologists for many years. This Chilean astronomers are regularly in residence at translates into direct interaction with undergradu- Las Campanas; indeed, with 10% of the observing ates and graduate students, many of whom do their time on our telescopes, they make excellent use of thesis projects in the department's labs. Joe Berry the facilities, and many have become valued col- and Chris Field collaborate with their Stanford leagues for Carnegie astronomers. If there is any colleague, Hal Mooney, in an annual undergradu- "but" to this picture, it is that there are too few ate course in ecology. Stanford undergraduates are Chilean astronomers. engaged in Chris Field's field projects. Interns from the biotechnology program at Foothill This shortage will be even more acutely felt in the College (one of the California state schools) work next decade, as the Magellan telescopes, the four in several of the labs. Chris and Shauna Somerville ESO 8-meter telescopes, and the U.S. national are teaching a full-quarter course on plant genetic Gemini telescope see first light. There are simply engineering for freshmen, including students who too few Chilean astronomers to make good use of have no intention of majoring in science. Neil. the share they will have in all of these powerful Hoffman is also contributing to the education of new instruments. Realizing the need to encourage • CARNEGIE INSTITUTION

For many years, we have all asked ourselves why our organization is called the Carnegie Institution of Washington. True, some of us work in the nation's capital, but much of our activity takes place elsewhere. Is there any significance to our name other than as a reflection of history, particularly Andrew Carnegie's evolving plans for his research institution and his need to distinguish each of his "Carnegie" establishments from the others? In the nearly 100 years since the institution acquired its name, its role in the life of the city has waxed and waned. The city, too, has changed. Presently it is, in a sense, the capital of the world. For U.S. scientists, it is the complex source of more young Chileans to become astronomers, decisions about research and research funding; the Carnegie, with substantial support from the "science policy establishment" lives here. It is also Fundacion Andes, initiated an annual summer a late-20th-century urban place, populated in the school in astronomy for Chilean undergraduates main by poor, disadvantaged people. Its local gov- interested in the physical sciences. Our contribu- ernment has collapsed (for reasons too numerous tion includes the time and expertise of Miguel and complex to describe here). Tens of thousands Roth, director of Las Campanas Observatory, and of people of many races work in the city, most of the facilities, including telescope time. Another them commuting from middle-class suburbs with important contribution was made by Lois Severini public schools as good as any in the nation. In and her husband, Henry Gittes, who provided a contrast, the disadvantaged children in the city are stipend for a Chilean postdoctoral fellow to help trapped in poor schools that are now struggling to run the school; the rest of the year, this fellow will change. How, then, can the Carnegie Institution do research in collaboration with Miguel Roth. be, or strive to be, of Washington?

The school takes place on the mountain, and it In 1930, Carnegie president John Merriam includes a mini-course in astronomy with lectures by addressed this role in his Year Book report. He the Las Campanas staff and visiting astronomers, wrote: "It is clear that, with our exceptional oppor- some of them Chilean professors. Most importantly, tunities, relation to the public involves more than the students carry out their own research projects; the responsibility merely to conduct researches."7 they learn first-hand how to use the telescopes and As a result of Meniam's concept, our administra- sophisticated software designed for astronomical tion building in Washington was enlarged to make analysis. By all accounts, the first session, in room for the Elihu Root Auditorium, and a series February 1997, was a huge success. The ten stu- of public lectures was planned. But soon after the dents, selected from over 100 applicants, barely new wing was completed, during Vannevar Bush's slept; nights were spent at the telescope and days presidency and for the duration of World War II, were devoted to studying and talking astronomy. the building instead became the home of the National Defense Research Committee and its successor, the Office of Scientific Research and CARNEGIE INSTITUTION

Development. After the war, the building was only Capital Science Lectures we host during the year. occasionally used for public purposes. Merriam's The 1997-1998 year marks the eighth season for vision for public programs was forgotten. this free series. (The 1996-1997 lectures are listed on page 76.) It is exciting to watch almost 400 By the late 1980s, we were all increasingly aware of people gather monthly to listen to distinguished the deterioration of U.S. public education in gen- and lucid scientists explain things in terms all can eral, and of science and mathematics education in understand. We have had talks on AIDs, on buck- particular. Nowhere was this deficiency more obvi- minsterfullerenes, on how the ear works, on the ous than in the urban centers, including building of Tibet, on gravity, on Venus and Mars, Washington, D.C. Mindful of that of Washington on animal behavior. The audience is typically nine in our name, and of the need for scientists to take to 90 in age and seems to want to stay all evening, an active part in righting the situation, we began a asking questions. series of educational activities in our building all aimed at the local community. We think of them The children of Washington draw most of our under the umbrella title "Science for the City." attention. The first activity to be established (in Bright banners announcing this motto now hang 1989) was First Light, a Saturday science program from the impressive columns on 16th Street. for D.C. elementary school children. Initially, this program recruited children attending the public Our efforts at spreading the excitement of modern schools closest to our building at 16th and P science to the general public, including the science Streets. Now, the children come from all over the policy establishment, are concentrated in the eight city and there is a waiting list. They meet in a ship-

The Carnegie Building was formally dedicated on the evening of December12,1909. Although Andrew Carnegie had earlier expressed his dislike for a grand administration building, he attended the ceremonieSy where he presented flattering remarks about the trustees, whose work, he said, ^touches the heart**

existing space on the ground floor. INSTITUTION

The elegant old Carnegie Building has been a spa- cious setting for all these activities. No longer is it a mysterious, imposing stone structure on 16th Street. But even as it became a lively center for D.C. residents, its signs of age became more apparent. Primitive air conditioning made CASE summer institutes unpleasant. Poor lighting was a problem. The boilers and elevator needed constant attention. The roof leaked. The lack of basic modern safety measures like sprinklers made it unsafe. Electric wires and computer cables were strung about in unsightly and dangerous ways. So, in September 1997, we moved out to make way for major renovation. Carnegie staff and public programs are in temporary quarters until late spring. The bright "Science for the City" banners will hang throughout the renovation, but the inhabi- tants of the building are now electricians, masons, ping room that was turned into a children's labora- plumbers, engineers, plasterers, and removers of tory. Mornings are spent in the lab, lunch is served, hazardous wastes. The second and third floor and afternoons are a time for exploring science in quarters will be restored to their full elegance, but the city, everywhere from museums to flower shops. properly heated and cooled, and protected from The program is free to the children and is support- fire hazards. The J. Monroe Hewlett murals in the ed by local philanthropies, including the Cafritz Root auditorium will be cleaned, and modern Foundation and the Fannie Mae Foundation. lighting and audiovisual equipment will be installed. On the ground floor, reorganization of Experiments and inquiry characterize the First space will make new, bright classrooms for First Light methods. It was these methods, largely the Light and CASE. concepts of Charles James, director of First Light from its inception, that attracted the attention of Andrew Carnegie objected when, in 1907, the parents and the principal at a local school With trustees determined to build the administration their encouragement, along with the participation building. He wrote: "What I should like to see is of Ine*s Cifuentes (a seismologist at DTM), and the Institution noted for the simplicity of sur- substantial support from the NSF and the Howard roundings and the grandeur of its work, not vice Hughes Institute for Medical Research, we estab- versa."s Now, 90 years later, we are placing the lished the Carnegie Academy for Science building in the service of the city's children and Education. After four years, CASE has trained thus of the future of the city and nation. We can about 350 D.C. elementary school teachers in imagine and hope that our founder would have First Light methods, using the national standards appreciated the grandeur in this endeavor. and the D.C. curriculum as guides. The teachers spend six intensive weeks at CASE, learning sci- •— Maxine F. Singer entific content and teaching methods, and doing November 1997 hands-on experiments. During the school year, CASE staff visits the schools to help teachers put their new insights and skills into practice. CARNEGIE INSTITUTION

LOSSES

We are sad to report the death of Ai'>ec: £ .-.•:-.-^ \ :•:;> a staff member of the Department of Genetics from 1950 to 1972. A true pioneer of modern genetics, he died on May 22, 1997 at the age of 88. Hershey belonged to a group of scientists known as "the phage group," who established that simple viruses called bacteriophage were ideal model organisms for genetic study. In 1969, he won the Nobel prize for his famous 'Waring Blender" experiment, in which he used bacteriophage to demonstrate that DNA, rather than protein, carries a cell's genetic material. Until his retirement in 1972, Hershey continued to research the growth and development of bacterial cells after infection. His work supports much of today's cancer research. Privately, he derived true joy from his work, and was a quiet, gentle presence in the department. It is a presence that has been, and will continue to be, missed.

George M. Temmer, a DTM staff member from 1953 to 1963, died on January 12,1997 at age 74. A native of Vienna, he emigrated to France and then to the United States, receiving his Ph.D. from the University of California in 1949 with Emilio Segre as his adviser. At DTM, he and Norman Heydenburg were trailblazers in the study of nuclei using Coulomb excitation, in which an accelerated bombard- ing particle interacts with the target nucleus by means of electromagnetic force. This allowed for investigation of low-energy excited states of atomic nuclei, and ultimately the demonstration that some nuclei have non-spherical shapes. Temmer and Heydenburg established the Nuclear Physics Laboratory at Florida State University. Temmer later became director of a similar organization at Rutgers University.

ZIro Suzuki, a DTM senior fellow from 1962 to 1964 and long-time colleague, died on July 5,1997 at age 74. Suzuki had been a professor of geophysics at the University of Tohoku.

Leo Haber9 a carpenter and maintenance foreman at DTM from 1960 to 1975, died on April 12, 1997.

Benjamin Eric Cooper, a 1997 summer intern at the Geophysical Laboratory, died tragically in a traffic accident on August 12, three days before the conclusion of the internship program. A senior at the Georgetown Day High School in Washington, D.C., he was seventeen years old.

RETIRING

Trustees Richard Heckert and Edward E. David, Jr. stepped down from the board at the May meeting, and were both appointed trustees emeriti. Heckert was chairman of the board from 1986 until 1992, and David was acting president of the institution, 1987-1988. Both were elected in 1980.

A staff member at the Observatories for 45 years, Allan Sandage retired on August 31, 1997. Having established early in his career a practical methodology for determining the age of stellar systems, he is known all over the world for his devel- CARNEGIE INSTITUTION

opment of a distance scale in the universe. He published The Hubble Atlas of Galaxies in 1963, and The Carnegie Atlas of Galaxies with John Bedke in 1994. Both works continue to be very much in demand. He remains at the Observatories as staff member emeritus.

y.,.\ :-v..ou- retired from DTM on November 30,1997 after 19 years of service. Emler, a DTM geochemistry laboratory technician, was known for his ingenuity and versatile skills in electronics, machining, and high-vacuum technology.

.:. \-.-.:,.-. ~ss ended his tenure as the Cecil and Ida Green Senior Fellow at DTM and the Geophysical Laboratory in June 1997 to become a founding member and principal of the Washington Advisory Group. He remains a Carnegie trustee.

Pater cie jjortge stepped down in April 1997 as Magellan Project manager.

GAINS

Carnegie welcomes three new trustees: Burton McMurtry, Suzanne Nora Johnson, and Christopher Stone. Burton McMurtry is a founder and general partner of Technology Venture Investors, a venture capital company in Menlo Park, California that focuses on start-up investments in electronic technology. A native of Texas, McMurtry holds a B.A. and B.S. from Rice University and a Ph.D. in electrical engineering from Stanford. He joined the Carnegie board in December 1996.

Suzanne Nora Johnson, an investment banker at Goldman, Sachs 8c Co., also joined the board in December. A partner since 1992, she is now managing director of the worldwide Healthcare Group at Goldman Sachs. She received her B.A. from the University of Southern California and her J.D. from Harvard University.

Christopher Stone was elected a trustee in December 1997. As chief executive of Diatech Limited, London, he supervises operating assets, allocates global assets for investment portfolios, monitors specialist investment managers, and supervises activities in plant biotechnology. Stone hails from Scotland; he received his M.A. from the University of Edinburgh.

Andrew HcWISIIam joined the Observatories as a staff member in July 1997. He received his Ph.D. at the University of Texas in 1988, and has been at the Observatories since 1991 as a research associate, a senior research associate, and the Observatories' first Barbara McClintock Fellow. He is a world leader in the study of the early chemical history of the Galaxy, and carries on the Observatories' long and distinguished tradition of research in that field.

David Ehrhardt joined the Department of Plant Biology as a staff associate in February 1997. He received his Ph.D. from Stanford, where he held his prior position of postdoctoral fellow in Sharon Long's lab. He will be working at Carnegie on problems of cell communication and pattern formation using the model organism Arabidopsis tbaliana.

The Observatories' Matt Johns, formerly Magellan Project lead engineer, became Magellan Project manager. CARNEGIE INSTITUTION

HONORS

DTM's George Wetherill received a National Medal of Science, the highest scientific honor in the nation, in the fall of 1997. Wetherill is known for his contributions to the development of radiometric age-dating techniques and theo- retical models simulating the evolution of the inner solar system.

Embryology staff member Douglas Kosh land's appointment as a Howard Hughes Medical Institute Investigator began in June 1997. His research focuses on chromosomes during mitosis, and may lead to a better understanding and possible treatment of cancer.

¥era Rubin's nomination to the National Science Board by President Clinton was confirmed by the Senate in early 1997. She received an honorary Doctor of Science degree at the mid-winter commencement of the University of Michigan. In May, she was awarded an honorary Doctor of Humane Letters degree at Georgetown University College of Arts and Sciences commencement, where she delivered the commencement address.

Geophysical Laboratory's Russell Hernley and Observatories' Steve Shectman were both elected to the American Academy of Arts and Sciences in April 1997. Hemley was also elected a fellow of the American Geophysical Union.

Plant Biology's Chris SomerviSle was awarded an honorary Doctor of Science degree when he presented the convocation address at the University of Alberta in June 1997.

Sean Solomon delivered the 1997 J. Tuzo Wilson Lecture at the University of Toronto in April. He was elected a Fellow of the Geological Society of America in May.

Allan Sandage received the Distinguished Alumni Award from the California Institute of Technology in May 1997.

Embryology staff member Andy Fire was honored with the 1997 Maryland Distinguished Young Scientist Award in April 1997 for "inventing methods to analyze and manipulate genes in the C. elegans and using them to analyze how muscles develop in embryos."

Yixian Zheng of the Department of Embryology was named a 1997 Pew Scholar by the Pew Charitable Trusts in the Biomedical Sciences. CARNEGIE INSTITUTION-

• -. ." ,;L- received the Centenary Medal when she presented the academic convocation address at the Memorial Sloan-Kettering Cancer Center in May 1997.

' , .: CL • - • ,'i:.-v ' .ocation (CASE) received a special award for "Outstanding Commitment and Support" from D.C. Superintendent Julius Becton, Jr. at an awards ceremony in June 1997.

Former Plant Biology staff member William Hiesey was honored at the California Native Grass Association in November 1996 for his collaborative work with David Keck and Jens Clausen on research that revealed the interplay of heredity and the environment in evolution. This work led to the ecological restoration of rangelands.

Former DTM staff member Stanley Hart, now at Woods Hole Oceanographic Institution, was awarded the 1997 Harry Hess Medal of the American Geophysical Union.

Former Geophysical Laboratory staff member Donald H. Lindsay received the Roebling Medal for distinguished research at the Mineralogical Society of America's meeting in October 1996.

Former Carnegie-Chilean Observatories fellow Maria Teresa Ruiz received the National Science Award for Physics and Mathematics, the highest recognition of its kind in Chile, in September 1997.

Former DTM fellow Prudence Foster received a Japanese Society for the Promotion of Science Fellowship.

DTM visiting investigator and former fellow Paul Rydelek (University of Memphis) has received a Fulbright grant as a senior scholar at the Geophysics Institute of the University of Karlsruhe, Germany, where his research will focus on devastating earthquakes in Romania.

Trustee William T. Coleman, Jr. received the George Wickersham Award for 1997 from the Friends of the Library of Congress in February 1997.

Trustee Sandy Faber was awarded the Antoinette de Vaucouleurs Medal from the University of Texas, Austin in February 1997. In June,, she received an honorary degree from Williams College.

Trustee Charles Townes received an honorary doctorate at the University of Ptisan in Korea and was made an honorary citizen of the city.

Trustee William R. Hewlett and his late partner, David Packard, were honored with the Heinz Awards Chairman's Medal in December 1996. The Carnegie Institution has received gifts and grants from the following individuals* CARNEGIE INSTITUTION foundations, corporations, and government agencies during the period from July 1, 1996 to June 30, 1997.

Nina and Ivan Selin Family Horace W. Babcock Nobu and Kazuko Shimizu Foundation Manuel N. Bass Edwin and Virginia Shook The Ruth and Frank Stanton Fund Bradley F. and Virginia W. Bennett Dr. Erich and Lis Steiner $100,000-$ I million The Swig Foundation Dr. and Mrs. Paul Berg S. Suyehiro Walter G. and Shirley A, Beri ICSuyehiro Ahmanson Foundation Under $1,000 Giuseppe and L Elizabeth Bertani Ziro Suzuki Arnold and Mabel Beckman Montgomery S and Joanne Bradley Georges M. and Sylvia B. Temmer Foundation Association of Universities for Dorah and A. Stanley BrBger Ian Thompson Crystal Trust Research in Astronomy Walter C and Jeanette S. Brown Heinz Tiedemann DDl Corporation Guven Clay Consultants, Inc Gordon Burley George R. Ttlton Johnson & Johnson The Charlotte and Gary Ernst Fund Donald M. Burt EKvood O. and Doris E. Titus Kyocera Corporation Alice and Peter Buseck Scott B.Tollefeen Lucille P. Markey Charitable Trust Robert Cadmus Charles H. Townes Andrew W. Mellon Foundation Dana Carroll James Van Allen The John Merck Fund James F. Case Zhou Wang and Xiaoyan Cat Ambrose Monell Foundation $ 100,000 to $ I million Button Chance Evelyn M. Witktn Sidney J. Weinberg, Jr. Foundation King-Chuen Chow KenzoYagi The Starr Foundation Anonymous Robin Qardullo YoshioYaorta lreneeE.Dupontjr. John and Annette Coieman Violet K. Young

$IOtOOO-$99,999 Michael E. Gellert John R. and Murfel K Cronin Caryl and Edna Hasktns Babette S. Dalsheimer Abbott Laboratones Fund Richard E. Heckert Peter and Sarah Davis Fundacion Andes Kazuo irutmori Igor aand Keiko Ozato Dawid Cancer Research Fund Vincent De Feo More than $1 million Carnegie Institution of Canada/ JOnn LA r laCOmucr John P. de Neufv.Ile Institution Carnegie du Canada John and Ruth Doak US. National Aeronautics and $10,000 to $99,999 The Jane Coffin Childs Memorial Bruce R. Doe Space Administration Fund for Medical Research Dr. LA Drake US, National Institutes of Health Philip H.Abelson Crestlea Foundation Inc. Donald and Brenda Ettnon U.S. National Science Foundation The Camilla and Henry Dreyfus L Thomas and Margaret G. Aldrich Sandra and Andrew Faber Foundation, Inc. American Cancer Society Dorothy Ruth Fischer $100,000 to $1 million Exxon Education Foundation Anonymous Marilyn L Fogel Freddie Mac Foundation Or. and Mrs. David Baltimore Laurence W. Fredrick US Department of Agriculture Golden Family Foundation Bruce W. Ferguson Barry Ganapoi US. Department of Energy Philip L Graham Fund Lois Severini and Enrique Foster Grttes Susanne E Garvey US Office of Naval Research Wtiham Randolph Hearst Mr, and Mrs Robert G. Goetet Alberto Giesecke Space Telescope Science Institute Foundation David Greenewatt M. Charles Gtteert Howard Hughes Foundation Pembroke i. Hart Walter A. Good $10,000 to $99,99* Humana, Inc. Robert and Margaret Hazen Helen M. Habermann Umpadta Foundation WHIiamR Hearst t« Stanley R. Hart US. Geological Survey Ufe Sciences Research Foundation Richaixi A. and Martha R. Meserve Dr. WrfHam K Hart National Institute for Global Richard Lounsbery Foundation PaulF.Mi«erfjr. K Lawrence Helfer Environmental Change Fame Mae Foundation William and Nanc/Turner MargptW. Hefter US. National institute of Standards The G. Harold and LeriaY. George W. Wetheriit AKred D. Herîey and Technology Mathers Charitable Foundation $1,000 to $9,999 Satosht Hoshina Western Regional Center for the Msliipore Foundation Haifan tin and Edna LHu National Institute for Gbbal Pew Scholars Program Anonymous Dr. Emitte jaeger J Change Pfizer Inc. Bennett Archamdautt Mrs Kamfeuki Schenng-Ptough Corporationf DonaW a and Unda W. Brown MactKetth Alfred P. Sloan Foundation Witfern Cornpstort Hark £ and Peggy A. KidweS The Wrfltam and Nancy Turner John F. Crawford joananojoeKtetn Foundation Howard C md Beanora K DaJton DavklCKbo $14,000 to $99,999 The ThcMnas N. Urban, jr. and Edward £ David }rr OlaviKpwo 1 Mary Bright Urban Foundation james and Atma Sbert American Cancer Society Welfare Foundation, tnc Otto Caod Ruth Landân Awertim CorfsmSSae for the Wfot enead Charitabte Foundation AndrawFira AftNr and Faith Wr UVelie Wefctmaan fratitut* of Science f^jchaÊ. and Frances G. Heh- HaitÛe Biosphere Two Cento*, inc $ 1,0001» $9,999 y Steven, pnd Nancy U-temauft OGMOmS PadRKokufe Tne Advisory Board FourKteaon Gerald O.Uubach Chartes A, spdS Bfctefo Um TheBMioM-VirsSqwbfa Foundation. kvL p p AMn 4 & Uty and Company fouhdato $1,000 to $»,»^ George F jewett, Jr. i%B Trust GTE Service Corpora**^ Tfte Acador^ ofN^Wai Sdences FfoAi^Rh

|, and Hanon O. Science Frs@ftm H^fow Foundafton, be. tnrenfiAorwt Human rrwfcter e Program i ; :• .*"""*• v-V" . "\ • CARNEGIE INSTITUTION

THE DIRECTOR'S ESSAY: Obtaining a Deeper Understanding o

"THE CAPACITY TO BLUNDER SLIGHTLY IS THE REAL MARVEL OF DNA. WITHOUT THIS SPECIAL ATTRIBUTE, WE WOULD STILL BE ANAEROBIC BACTERIA AND THERE WOULD BE NO MUSIC." LEWIS THOMAS

Eicientists consider a problem "easy" if it appears that codes for proteins, can presently be interpret- solvable by known methods, regardless of the scale ed in a meaningful way. These sequences are today of effort required to accomplish the task. largely available because of extensive studies of the Sequencing human genomic DNA, for example, is protein-coding RNAs they produce. Thousands of scientifically easy. The main obstacle is the large randomly selected clones from various RNA popu- size of the genome, some three billion base pairs lations have been sequenced to produce 500-1000- (bp), and the low throughput of individual bp sequence "tags" called ESTs ("expressed sequencing reactions—currently 500-1,000 bp. sequence tags"). Assembling multiple tags from Progress on such problems can be directly each gene and determining tag frequencies reveals increased with larger budgets and more personnel. a lot about gene structure and activity. However, Presently, human genome sequencing resembles even when one knows the DNA sequence of a World War II-era calculating—an activity carried gene, the type of protein it produces, and the cel- out by rooms of individuals with adding machines. lular location and time it is expressed, it still is not However, like processor speeds, large-scale possible to determine what the gene does. One sequencing rates continue to increase rapidly, with needs to perturb the gene's function by making no end in sight. It will not be long before machines specific changes in the wild-type genome, and to sequence whole genomes in a day while their oper- assess the effects of these changes using specially ators watch 3-D movies on pocket computers. tailored functional assays. Even these experiments are only a beginning and do not guarantee success. Obtaining a deeper understanding of what partic- Hard problems, such as the determination of gene ular genomic sequences do throughout the many function, often require new ideas; adding more tissues and phases of an organism's life is not at people doesn't always help. Instead, you need the all easy. Only 3% of the human sequence* the part right person.

Left Extraordinarily large lampbrush chromosomes, studied by staff member Jo« Gal, provid® uniqu* tmlgbt into chromosome i and function. Looped-out arms are where DNA is actively being transcribed imo RNA, Our department exists to study hard problems. Such problem^ arc simplified and ultimately solved by creative individuals in personal and unpre- DNA neither exists nor functions within cells on dictable ways. While we cannot simply scale up to its own. Instead, the genome is divided into multi- advance our work, we can create an environment ple segments that are each complexed with hun- that is highly conducive to our goals. One key dreds of specific proteins to make up individual ingredient is a mix of diversity and coherence chromosomes. Far from being passive information among the faculn. We have always highly prized repositories, chromosomes are complex, sophisti- individuality within our department, and it cated machines. They house the cell's machinery remains true that each lab works primarily on a for storing, using, repairing, and reproducing its different organism. However, it has often been genetic information. All these functions are con- noted that to interact well, faculty members don't stantly responding to the position of the cell in a necessarily have to work on the same problem but growth cycle, its internal physiological state, and do havt to igree on what sort of knowledge consti- to myriad signals received from outside. The most tutes a solution. By this definition we have a high- dramatic chromosomal changes take place when h cohesive faculty. Moreover, there have always cells grow through a multi-staged process known hetii common centers of interest among us. One as the cell cycle. Chromosomes accurately dupli- ut the highlights this year was the recognition cate their component DNA during what is called dicordcd to Doug Koshland's work on eukaryotic the S phase. Concomitantly, they assemble new chromosome^ by his appointment as a Howard proteins to generate two tightly paired sister chro- Hughes Associate Investigator. Chromosomes mosomes and subsequently interact via specialized havt lung heen a point of common focus within centromere regions with the mitotic spindle appa- OUT department—both as tools for analyzing gene ratus to ensure that one sister from each pair ends function and d^ & subject of study themselves. up in each of the two daughter cells when the cell

No discussion of chromosome research at the Carnegie Institution is complete without mention of Barbara McClintock, a Department of Genetics, researcher from 1942 to 1967 and considered % many to be among this century's greatest sderi^ts^"; " $j McClintock was a chromosome reseaKher of

unpanitled skill Using nothing but Weye^, her- \ ;i;;-.jj wits, md her microscope, ago that genoroe$ vs^re not the 0^ most people envisioned* but werfe change ami mewment For htr fei«feG^| th&t genes oiuld move, she wi^ Nobel ' CARNEGIE INSTITUTION

divides at mitosis (M phase). A major difficulty in processing RNA transcripts are packaged, stored, analyzing these mechanisms is the small size of and transported within the nucleus and onto spe- most chromosomes, just a few microns long—too cific chromosomal sites (see Year Book 94, pp. 28- small for detailed resolution in the light micro- 34). How and why oocyte chromosomes actually scope. The small size of such chromosomes is a acquire a lampbrush appearance remains a "hard sign of their sophistication: the DNA from a typi- problem" of great interest to the Gall laboratory. cal human chromosome, if stretched out in a line, would extend several inches. Indeed, understanding how functional DNA can be so highly condensed, and how condensation changes during Usually, chromosomes copy their component the cell cycle, is itself a central problem. DNA faithfully when cells divide. Indeed, the apparent absence of irreversible genomic changes Lampbrush Chromosomes during the differentiation of body cells has motivated whole-animal cloning experiments such as those generating such controversy in Scotland this year. My lab has taken advantage of a different type of giant chromosome—called a polytene chromosome—to study genome stability. Polytene cells (and their chromosomes) enlarge greatly by growing without splitting into daughter cells. Each cell's nuclei acquires multiple copies of each of the cell's chromosomes, and arrays them side- by-side relatively decondensed and in precise reg- ister. However, gene-poor chromosome regions that surround the centromeres of polytene chromosomes are an exception to faithful copying. These regions instead dramatically Jail to replicate. How and why these regions become "under-repre- sented" was largely mysterious until recently, when postdoctoral fellow Mary Lilly discovered a mutant in which the gene-poor regions are copied o along with the rest of the chromosomes.

Focusing on unusually large chromosomes has long provided one route around the size problem. Eggs are single cells that in some species grow to *•*.** 4* 1 enormous size at maturity. These enlarged cells contain correspondingly large nuclei as well as x *, *- ••* large, decondensed chromosomes of unusual structure that were likened by 19th-century cytologists to the brushes used to clean lamps. Joe Gall recognized long ago the great value of these giant ;f "lampbrush" chromosomes for analyzing chromosome structure and function. Gall's group has used lampbrush chromosomes as a starting point to 1st identify many interesting processes that were later A. Ovosopivia polytefte chromosome. The X •chromosome is marfc-ed; '"X,."' The region rich- m repetitive DMA studied by Mary shown to occur in more typical chromosomes. His 1 recent work is revealing how enzymes involved in Lily and Alan Spradlirag is marked "'R.." ' Normally, cells are driven into S phase and M |] altered, thus provid- phase by changes in the activity of specific regula- ing new insights tory enzymes, the cyclin-cdk kinases. In the fruit into the structure fly, one family member, cycE/cdk2, plays a key and function of role in starting S phase, while cycA/cdkl or chromosomes in cycB/cdkl activation drives cells into M phase. general. Their Polytene cells contain cycE/cdk2 but lack the two approach has been mitotic enzymes, consistent with their ability to widely emulated. grow but not divide. Lilly found that in the absence of the mitotic enzymes the polytene cell Proper condensation cycle restarts before the DNA has finished dupli- is essential for chro- cating. Thus, in normal polytene cells, cycE/cdk2 mosomes to fit does not ensure a complete replication cycle. within a nucleus and avoid knotting. By directly However, in the mutant that Lilly isolated, visualizing individual yeast chromosomes segregat- cycE/cdk2 persisted longer, and so replication of ing between mother and bud, Koshland and his the gene-poor regions often finished properly. I colleagues discovered that yeast chromosomes propose that in normal polytene cells, partially condense prior to segregation, an unexpected simi- replicated DNA breaks during ensuing cell cycles. larity between yeast mitotic chromosomes and The cell attempts to repair the breaks (a natural those of higher organisms. Koshland's group response), and in the process generates some of the helped identify and characterize a highly conserved distinctive properties of polytene chromosomes, new family of chromosomal proteins called SMC Including the ectopic interconnections between proteins, which are essential for proper condensa- chromosome regions extensively studied by former tion. The group proposes that a complex contain- Carnegie researcher B. P. Kaufmann (see Year ing SMC proteins moves along the chromosomes Book 47, pp. 153-155). The new work suggests and spools it into loops. that the somatic genomes of polyploid cells are less stable than previously thought. The precise separation (disjunction) of replicated chromosomes into different daughter cells relies Chrmnmwne Condensation on specialized centromere regions, which are poorly understood. With postdoctoral fellows Koshland's group has taken a paradoxical Sasha Strunnikov (now at NIH) and Pam Meluh, approach In his chromosome studies. Rather than Koshland confirmed that yeast centromeres fbciis on giant cells and chromosomes, Koshland behave much like their higher counterparts during and his colleagues have coaxed new insights from cell division. The group identified two new protein an unusually small cell—budding yeast. The tiny components of the centromere, called Cep3p and yxzsi genome encodes only about 6,000 genes. Its Mi£2p. Cep3p binds a specific centromere DNA correspondingly minuscule chromosomes are clement and nucleates centromere formation, surcelv discernible by standard light microscopy. while Mi£2p is related to the human centromere Hawever, the ujcit power of genetic manipulation protein CENP-C within domains that are pro- an this ofyam^m stimulated Koshland and post- posed to mediate interactions with other conserved Actnsl fellow Vincent Guaccs to look for ways to factors necessary for centromere assembly or rem«i«Jy ***«mblance to The maintenance of strong pairing between the th;u*- •'* hi^ha niar^tes thu? had httn «syp- two sister chromosomes is essential for proper dis- P<^i'd Tht% h^t ;Jf:n*it:cJ ?ttuutaon*> m whu'h junction. Rapid dissolution of this pairing is j ire thought to regulate subsequent events during CARNEGIE INSTITUTION

mitosis and to ensure the proper movement of one chromosome to each daughter cell. Guacci and Koshland showed that in yeast, sister chromosomes begin to be paired as soon as they are replicated, and that pairing is not confined to the centromere but extends along the entire length of the chromosomes. By examining chromosomes directly, they identified mutants in which the sister chromosomes separate prematurely. One of these mutants, PDS1, was shown by postdoctoral fellow Orna Cohen-Fix to encode a cell-cycle regulator that inhibits chromosome separation. The product of another gene identified in the screen, Pds3p, interacts genetically and physically with one of the SMC proteins. This represents the first evidence directly linking sister chromosome cohesion and chromosome condensation.

Microtubules and Artificial Chromosomes The Expansion of the Biological Enterprise

Yixian Zheng's and Andy Fire's groups have taken The biological sciences are changing rapidly. A still different approaches. Zheng's lab focuses on continuing series of major improvements in the microtubules—a key component of the mitotic techniques of molecular biology, genetics, bio- apparatus. (Microtubules are the long "threads" of chemistry, and cell biology are transforming our the mitotic spindle; they attach to the chromo- understanding and our expectations. Virtually any somes and physically pull them apart.) Zheng and gene can now be cloned and sequenced, its protein colleagues have identified a ring-shaped complex expressed, purified, and analyzed both structurally that nucleates the formation of new microtubules, and functionally, and its expression mapped within and they are systematically characterizing the com- cells and tissues using sophisticated microscopic plex's component proteins. What they learn will techniques. In model genetic systems (the animals undoubtedly lead to a greatly increased under- and plants widely used in scientific research), near- standing of how chromosomes are accurately sepa- ly any gene can be mutated or mis-expressed, and rated during mitosis. its functions and interactions deduced using sophisticated genetic screens. A major by-product Rather than finding ways of analyzing complex of research based on these techniques is the real- natural chromosomes, Fire's lab creates artificial ization that virtually all multicellular organisms chromosomes within the nematode C. elegans, and contain largely similar genes that function in high- studies their behavior. These simple chromo- ly conserved pathways. Increasingly, research on somes, made from multiple repeats of a gene-sized one organism and problem can be usefully applied starting DNA, can persist for many generations to other species and problems where related genes but do not function nearly as well as regular chro- are found to be involved. An enormous growth of mosomes. Fire discovered that genes work better the research enterprise has paralleled these when surrounded by complex sequences than they advances. More than twice as many active do when surrounded by additional copies of them- researchers use yeast, Dmsophila, and C. elegans selves. His experiments illustrate the importance of now than they did ten years ago, while the use of chromosome organization on a large scale—yet newer systems such as zebrafish and Arabidopsis another subject that is still very poorly understood. has exploded. i- INSTITUTION

This department has contributed substantially to This instrument has the capacity to generate about many of these changes. The rise of C. elegans as a 25 million base pairs of sequences annually, if used system for biological research has been greatly to capacity. The department also obtained a new aided by the efforts of Andy Fire. Fire developed Leica confocal microscope that is quickly having a the methods used to transform nematodes, and he significant impact. Mapping the expression of par- produced widely used vectors for expressing genes ticular genes is often an essential step in learning and gene-reporter fusions. These methods and what genes do in developing tissues. Moreover, vectors have always been made freely available to one of the most sensitive ways to learn what a gene the research community prior to publication and does is to inactivate or mis-activate it by mutation, are used almost daily by every C. elegans researcher. and then map how the expression of other genes in The Drwcphila community has benefited from the organism changes. Greatly improved light similar technological contributions from my own microscopes have become central for these studies. group and that of former staff member Gerald Rubin. During the List few years, an estimated For tissues that contain multiple layers of cells, a 25% of oil the genetic stocks mailed to individuals confocal laser-scanning fluorescent microscope can by the National Drosophila Stock Center originat- obtain high-resolution information throughout the es! in this department. Work carried out here by entire specimen by stimulating and recording the Nina Feduroff in the mid 1980s on maize trans- fluorescence signals from only a thin plane of the posafek elements is proving to be invaluable for sample at a time. The individual sections are then characterizing plant genes. recombined electronically to regenerate the correct signal. In the past, this information could only be This tr«tditii'!i »>f meth»*io]o^ca! research contin- obtained by serially sectioning the sample and exam- ues, a«» dturihtd k4 vear by staff associates Sue ining and recording each section in turn, a tedious I>vmtvki and Pernille Rorth i stt Year Book 95, and often unsatisfactory process. The new instru- ff 77-Ml? This tear, Mamie Hilpern developed ment speeds the acquisition of information (on a a fMvd mt'thnc fi»r topping zebrafUh mutations prepared specimen) by at least tenfold, and achieves ^nd w, ht^nldt nurker^ b\ 2iTieni!53tg a MTOH> of significantly higher resolution. Both of these instru- drkti\,i%vna function in this port for the Spradling and Koshland laboratories y* ••%%znw VH \t*/i * crid" nt

Tt'-r *:"v% «7|H r*uvt>t'sv- dtY* uir\l by tht-v rapid The great expansion of biological research has cre- ated unprecedented opportunities—but it has also treated some significant problems. There has been '.*••'. .• ,i, ,',/'.• i, ?..,*<••••.•'.., jn \Hnr:i)\A a major expansion of commercial interest in biology, so that more than half of the estimated $30 bil- generation and release of information, as in the lion that will be spent this year on biomedical funding of a public human EST database by research will come from the pharmaceutical and Merck Corp. Major sequencing labs recently biotechnology industries. One by-product is that adopted guidelines stressing that sequence data work carried out in the department is of increasing- should be immediately submitted electronically to ly commercial value. We have been highly success- public databases. This approach is becoming a ful in licensing patents from current and former standard for many such publicly funded projects staff, and this income has helped the department around the world. International agreements are renovate its facilities and achieve a higher level of needed to further encourage uniform adoption of activity than could have been supported by endow- such rules. Moreover, patent law should be updat- ment and grant income alone. However, the com- ed to create more benign constraints on research mercialization of biological research has placed new sharing. If it were necessary to demonstrate signif- stresses on some of the informal research traditions icant, non-trivial uses for a gene before coverage we greatly value. Many staff perceive that potential- could be claimed, the trend toward greater secrecy ly useful information is now less likely to be shared might be slowed. by their colleagues. This trend can be discerned even in Drosophila research, where commercial The Contraction of Opportunities for potential was long considered laughable. I find this Young Biologists especially sad. The field has had an 80-year tradition of sharing information and reagents. A slow decline over the last two decades in professional opportunities available to postdoctoral fel- Fortunately, there are some forces working in lows after they complete their training continues favor of sharing. Competition can also spur the to be a problem for the department. The high rate of Ph.D. production nationwide during this period 1 believe two actions could be taken on a national has resulted in a relative shortage of attractive aca- scale that would increase opportunities for young demic and industrial positions. One result has scientists. First, the prevalent system of faculty been the lengthening of the average time young employment needs to be reformed. Universities scientists spend as postdoctoral fellows. Instead of have failed to replace a discriminatory system of two years, it is now common to spend four or even mandatory retirement by age with a workable sys- five years in this capacity in order to accumulate tem of performance reviews. As a result, tenure sufficient evidence of research accomplishment has been converted into an entitlement to lifetime and future promise to obtain employment. employment, thereby reducing the positions and Nationally, there are now an estimated 20,000 bio- resources available to beginning faculty. Tenure medical postdocs, many of them waiting for urgently needs to be replaced with a system of employment opportunities. Since these young sci- fixed contracts. For example, after a seven-year entists represent a major part of our department, initial contract and a stringent review, a successful the situation is a matter of great concern. faculty member would receive a long-term contract Problems continue even after an academic job is for a fixed number of years—say 20—that could be obtained. Junior faculty members in the biological broken only for malfeasance or departmental clo- sciences now experience much greater difficulty in sure. This contract would only be renewed subse- obtaining research grant support than they did in quent to a stringent outside review similar to that the past. While the young faculty in this depart- now used to review tenure status. All decisions on ment have all garnered significant grants, it is no offering and renewing contracts would be based longer the case that a well-prepared proposal will solely on future scientific promise rather than on necessarily be successful. The upshot of the current arbitrary age. Congress should encourage adoption situation is a large increase in the time and mental of such reforms. ansûish that our faculty' expend on grants and funding-related issues. An insidious by-product Second, career paths outside of academic research of these dunces is that they discourage risky and should be regularized for Ph.D. scientists. Many truly novel research, Without the traditional sup- opportunities now exist in the commercial sector. port of the institution, verv little work of this sort Opportunities for persons with a first-hand could he accomplished at the department, knowledge of gene-based biology can be expected to increase in other, nontraditional areas as well, Wh\ opportunities are declining for young people, because biological knowledge impinges on many and what -action should be taken, are still matters aspects of our society. However, a larger and more for debate. Physical scientists correctly point out immediate source of jobs needs to be found. I that their fields began to decline sooner than ours believe that teaching fulfills this requirement. Too 4nd L»e not benefited from the same massive many members of society today complete their mirt aso in *«>mrr2eKu3 activity and relatively gen- education without ever interacting one-on-one er 'Lo trdera! funding, Nonetheless, & few genera! with an experienced scientist. Persons who have oiTuL'^n^ Ktun dtw We need to recognize that engaged in research for a significant period of time tbs current H% ^tcn'i i* mil}' liable in a time nf\us- understand science in a way only rarely found out- UiticJ ^r mt}\ «*iah A> that experienced in this side of research-oriented universities. The recruit- *H**f:tr> brmct-n jpnuf B>0 and 1980, Not ment of Ph.D. scientists with postdoctoral experi- tt -r^h h++Vilt\ -Icvd jHîti'}i)s tt'î it academic ence should be encouraged by high schools, com- a?ui rvûKf: tr> •tjtut-im t/> -ustam tht current rate munity colleger and four-year colleges, not just *t 4* h?* *' no* p •^*i-/vt<

News of the Department

This year the department welcomed staff member (Harvard University), Chris Doe (University of Yixian Zheng. Zheng's major interest is micro- Illinois), Susan McConnell (Stanford), Philip tubule nucleation, a subject that impinges on the Benfey (New York University), John Chant research in all our laboratories. Using sophisticated (Harvard), and Ken Kemphues (Cornell) present- biochemical and cell biological techniques, she and ed one-hour talks. members of her laboratory are opening new- approaches to long-standing questions concerning Support of research in the department comes from cell shape, migration, differentiation, and division. a variety of sources besides the institution. Doug Koshland and I and various members of our labs are We also welcomed a new experimental organism: employees of the Howard Hughes Medical planaria. Extraordinary biological properties have Institute. Others are grateful recipients of individ- long recommended this seemingly simple animal as ual grants from the National Institutes of Health, a model for analyzing pattern formation and regen- the John Merck Fund, the G. Harold and Leila Y. eration. Staff associate Alejandro Sanchez Alvarado Mathers Charitable Foundation, the American and postdoctoral fellow Phil Newmark are advanc- Cancer Society, the Jane Coffin Childs Memorial ing our understanding of these phenomena in mol- Fund, the Damon Runyon-Waltcr Winchell ecular and genetic terms. They hope to develop Cancer Fund, the Pew Scholars Program, the new resources and techniques that will gain a wider Alfred P. Sloan Foundation, the National Science audience for this fascinating model system. Foundation, the Arnold and Mabel Beckman Foundation, and the Human Frontier Science Our seminar program was highlighted by the Program. We remain indebted to the Lucille P. 20th Annual Minisymposium entitled Markey Charitable Trust for its support. "Asymmetric Cell Division." Richard Loskk —Ailan Spradling I CARXhMF INSTITUTION July :. .995-->no3C, 1997

p Lifs- Tirmcns, eseofch Assocute. NiH grant (Fire)' Cr.nstiane Wiese. re/tew. Markey Charitable Trust t/tTu eco Wilscjca r&'tow, //ari-ey Chomabie Trust i ,r 2 X.-2, ^; --;V HL5r:ss Resea'ch Assccate Phil Beachy, Hovwird Hughes Medical !nz-Uv V Z *" Johns Hqpions Un;vers«ty Schooi ofMecc fie ic-sph G Gs. Stephen Q>hen. Developmental Btoiog/PrQ?;jmm& HABL-H&delberg - C i - Igor Dawid, Ncvonal Institutes ofHeaHh . Sp: : ADD ';tt. ;cr: Hcp'LPE o^csty Stephen Ekker, University of Minnesota h Berry.;.:rfis hopwns U.TJvere»tjr Zandy Forbes, Qx/~«d LfrrtwM/, £n^or,d Phil Hieter, Johns hopfc/ns ScriocJ cfMsoic:^ Phil ingharr., /mpena/ Cancer Research Fur* ^'nx\ Michael Krause, National /nst-tjies 5,f He:,: r. 1. i D ''-.?: ;£".- / Hi.eh.jC111 Haifan Lin. Duke Urwersity Scnooi of M&zctw Arthony Mahowald, Ifrwwrwy ofGwafp Robert E. Palazzo, Un,vers»t^ of Kar.:js '"'.t^iC—'s L?-;- :rtr "SCKTM Jr. .cr Gerald M. Rubin, University O.'CI^'-TJIO £<•'* t*/

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' Jit, CARNEGIE INSTITUTION Updated through November 30, 1997

Basra, M. A., J. Kingsbury, D. Koshland, F. Spencer, Forbes, Z, H. Lin, P. Ingham, and A. C Spradimg, tion by morphological and molecular markers, J. Comp. and P. Hieter, Faithful chromosome transmission hedgehog is required for the proliferation and specifi- Neural. 374,246-258, 1996. requires Spt4p, a putative regulator of chromatin cation of somatic cells prior to egg chamber forma- structure in Saccharomyces cerevisiae, Mol. Cell Biol. 16,tion in Dmsophila, Devel. 122. I 125-1 135, 1996. Michaud, J., and C-M. Fan, single-minded—two genes, 2838-2847, 1996. three chromosomes, Genome Res. 7, 569-57!, 1997. Forbes. Z, A. C Spradling. P. Ingham, and H. bn, The Bauer. D. W., and J. G. Gall, Coiled bodies without role of segment polarity genes during early oogenesis Miller-Bertoglio, V., S. Fisher, A. Sanchez, and M. E. coilm, Mol. Bid Cell 8.73-82, 1997. in Drosophila, Devel. 122, 3283-3294, 1996. Halpera Differential regulation of chordm expression domains in mutant zebrafish, Dev. BJO/.( in press. Beattie, C E, K. Hatta, M. E. Halpem. H. Uu, J. S. Furlow, J. a, D. L Berry, Z Wang, and D. D. Brown, Eisen, and C B. Kimmel, Temporal separation in the A set of novel tadpole specific genes expressed only Moerman, D., and A Fire, Muscle* structure, function, specification of primary and secondary motoneurons in the epidermis are down-regulated by thyroid hor- and development in The Nemazode, C elegqns If, D. in zebrafish, Da/e/.6/oi. 187, I7l-f82, 1997. mone during Xempus laevis metamorphosis, Devel Riddle, ed, Cold Spring Harbor Press, New York, pp. BJO/. 182.284-298, 1997. 417-470. 1996. Brown, D. D., The E a Wilson Award Lecture, 1996. "Differential Gene Action"Mot. Biol. Cell 8. Gall. J. a Wews of the Cell: A Pictorial History, Okkema, P. £. E. Ha.. C Haua W. Chen, and A. Fire, 547-553,1997. American Society for Cell Biology (Bethesda, MD), The C elegqns NK-2 homeobox gene activates pha- 128 pp., 1996. ryngeal muscle gene expression in combination with Brown, D.D., The role of thyroid hormone in pha-1 and is required for normal pharyngeal develop- zebrafish and axofotl development Proc. Nad Acad. Guacci. V.. E. Hogan, and D. Koshland Centromere ment Devel, in press. So. USA, in press. position in budding yeast evidence for anaphase A MoL Bra/. Ceff 8,957-972, 1997. Pourquie. CX C-M. Fan. M, Coltey, E. Hsrsmger, Y. Cohen-fix. O, J.-M. Peters, M. W. Kirschner, and Watanabe, C Breant P. Francis-West. P. BnckelS. M. D. Koshland, Anaphase initiation in Saodhammyces Guacci. V., D. Koshland, and A. Stnjnntkov. A direct Tessier-Levigne, and N. M. Le Douann. Lateral and cerewsoe is controlled by the APC dependent link between sister chromatic! cohesion and chromo- axial signals involved in avian somite patterning- rc!e degradation of the anaphase inhibitor. Pds I p, Genes some condensation revealed through the analysis of of the BMP4 protein. Cell 84, 461 -471, 1996. Devel./0, 3081-3093, 1996. MCDI in S. cerewsioe, Ge0 91,47-57. 1997. Probst M. K, C-M. Fan. M. Tessier-Lavtgne, and O. Cohen-Fix, O.. and D. Koshland, The metaphase Halpem, M. E., K. Hatta, S. L Amacher, W. S. Taibot Hankinson, Two munne homotogs of the DrasopMa to anaphase transition: avoiding a mid-life crisis, Y-L Yan, B. Thisse, C Thisse, J. H. Postiethwait and scngle-minded protetn that interact wrth the ary! Cm. Opm. Cell BioL in press. C B. Kimmel, Genetic interactions in zebrafish midline hydrocarbon receptor nudear translocdtor protein, development Devel. tool 187, 154-170,1997. / a©/. Chem 272.4451 -4457. 1997 de Cuevas, M., J. K. Lee. and A. G SpradJing, a-spectrin is required forgermfine cell division and difFerentJatton Halpem. M. E, Axial mesoderm and patterning of the Rorth. P., Technology transfer fhes iearn another tnck in the Drasophifa ovary, Devel \2Z 3959-3968.1996. zebrafish embryo, Atner. Zoo/. 37, 3 i i -322,1997. from yeast Genes and Fun/man ! 161-163,1997. de Cuevas, M., M. UBy, and A. C Spradling. Formation Harfe, B.f and A Fire. Muscle and nerve speofic Schneider, L. and A.C Spradmg, The DrasophJa G and function of germ line cysts, Arm. Rev. Genet, regulation of a novel NK-2 class homeodomam, protein-coupled receptor lonase homologue Gprk2 ts tn press. Devd, m press. required for egg morphogenesis, Devei 124, 2591- 260Z 1997. Dhiilon. H, N. Tavemakis. L Hemdon, M. Kinnell, Kanamori, A., and D. D. Brown, The analysis of corr.- S. Xu. A Fire, and M. Driscoit, Genetically targeted piex developmental programs: amphibian metamor- Seydoux, G., C C Mello. J. Pettitt, W. B. Wood, J. R. ceil disruption in Caenoihabdtos elegons, Prac Nad phosts,G»nesCe//s I. 429-435, 1996 Pness, and A Fin* Repression of gene express,on m Acad. So, USA, in press. the embryente germ Isneage of C efcgans. Nature 382, Kelly, W. G, S. Xu, M. Montgomery, and A. Frre. 713-716, 1996. Dymecki, 5.. Flp recombinase promotes site-specific Distinct recrements for somatic and gemnhne DMA recombination in embryonic stem cefe and expression of a generally expressed C etegons gene, Spradtng, A. C, H deCuevas, D Drummond- transgentc mice. Proc Nat!. Acad So. USA 93, 6!9t- Geneaes Md 227-238. 1997. Bartjosa, L Keyes. M. Ufy, M Pephng, and T. Xie 6196,1996. The DrasQpbks germanum: stem cdis, germ fine cysts Keyes, L N, and A C Spradting, The Dmophta gene and oocytes, Cs»d Sprm Harbor Symp Qpant &al 62, Dymecki. S<, A modular set of ffp, FRT and tacZ fusion fs(2}cup interacts with otu to define a c/toplasmk: in press. •lectors for manipulating genes by site-speaffc recom- pathway requinsd for the structure and function of G \7I. I97-2CH. 1996, getm-iine crwwvosomes, Devei. IK \ 4 {9-1431, Tsvettov, A G, H M Gruzova, and j. G. GaU, I99Z Spheres from encfeec and ctamasifly oocytw contaift Fan, C-M, E. Kuwana, A. Bulfone, C F. Fletcher, N. G, fetors for spfeong of pre-«vr\NA and processng of Copeknd, N. A. Jenkins. S. Crews, M. Salvador, L Koshland, D., and A Stryrmtov, Hflsoft^c dTonw*ome fNA Tfc 5S, 3H-3!8. 1996. Pueiles, j. L R Rubenstefn, and H Tessier-Lavigne, condensation, Arm flev. C&H £bof tZ 305-333, IW6, Expression patterns of two rnurine homoJogs of Wihon P. G. V Zheng* C t Oafttey, a ft Oakley, G Drosophia sn^mnded suggest possible roles tn Krause, H, H Park, ]> Zhang, J Yuan, 6. Harfe, S Xu,» G. Bomy. and H T. Fufer, Drfferermai expfesson of embryonic patterning and in the psthogenesis of Greenwaid M.Cote.B. Patersoa and A Fire. A C two gamrna-tubu^ isofowis dvwg gametogesness Down Syndrome, Mo/. Cell. Neuraso. 7, 1-14 1996. eiegcwis Bteayghteriess W-ttK pnoten marks neuronal and ctev^opment m Orosopbkx Dew/ &o&. 184,207- bat not striaT«d muscte devetopmeftt Dwei. 124. Hi, m7. Far., C-M., C S. Lee, and H Tessjer-Lavtg^, A rote for VVNT proteins tn rrwiwcticn of derrraxnyotorne* !>ev$! Sfol m press. Undb, (X a Ke»yt A C Spmdfeng, and | Tower, The fe*3 gens, neaped he dwort fene «nrp(rfS<«Uor, dnd 1994 Fire, A,, j. Ahnn, W. Kelly, 6. Harfe, S. Kostas, J. Hseb, d^Sd ceH crrornosome repka&OFv, «fKodes the M Hsu, and S. Xu, GfP appfecsbons in C efegims, m Dfosophrfo homoiog of yeast O*i2pf ftpc NatL Aart Wu. Z. and | " n the X*nopu$ &P G^een Fluorescent Proton Strokes and $G, USA H 3S88-3S92, {997 OS. 436-443. ?997 App^Jtxm M. Chatfie and & Kain, eds. John Wfey tna Sons. New Vert; in press. , A. V. Gyaco, and D Koshund Ptfeip

I***. &, 5 L Amacher.and M. E Halpem, Loss of S phase coropkw Gun® Devel l-0.2514^-2524. < j. Ceil $$£ f 31 8S- tr'ttw- function vwtrateses the aebrafeh embryo. 97,1996, 2i*e: 124. I30M3II. J997. br>, H, «xt A. C SpflSdfeig, A «cswe* group of pun^o muttbons j^rts ttw ,»ymm«tr«: P Owaptt» wary &nei -! 74. vVi.^^"f Ahnn, A ftre, | Suteton, E, Barnard, D ' C fe f. and unc-38 encode hwtionjrf' Mastock, Q 1 C -K F*r. f

' "^3.5857 [. CARNEGIE INSTITUTION

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••».-•.• -1 •:-i.5^ -v ' .•;•-*•--\i .*?..' ..r. ..••:-:-.^- CARNEGIE INSTITUTION

THE DIRECTOR'S ESSAY: Population Growth and Plant Biology

"THE MAIN CHALLENGE IS TO EXPAND AGRICULTURAL PRODUCTION AT A RATE

EXCEEDING POPULATION GROWTH IN THE DECADES AHEAD SO AS TO PROVIDE

FOOD TO THE HUNGRY NEW MOUTHS TO BE FED. THIS GOAL MUST BE ACCOM-

PLISHED IN THE FACE OF A FIXED OR SLOWLY GROWING BASE OF ARABLE LAND

OFFERING LITTLE EXPANSION, AND IT MUST INVOLVE SIMULTANEOUS REPLACE-

MENT OF DESTRUCTIVE PRACTICES WITH MORE BENIGN ONES."

HENRY KENDALL1

Qn the fall of 1996, the chairman of the Carnegie between basic knowledge and practical application. board of trustees, Tom Urban, requested that each Whereas in the recent past the only mechanism for Carnegie staff member write a short essay on why plant improvement was breeding and selection his or her work is meaningful and important to the within species, it is now possible to move genes that general public. He requested that responses be encode useful traits from one species to another. phrased in terms that a nonspecialist could under- Thus, organisms which have no direct utility to stand, and that each of us give thought as to why humans—for example, the experimental plants of expenditures on our research should take prece- the research laboratory, such as Arabidopsis dence over the many other socially useful things thaliana—have become increasingly valuable as that might otherwise be accomplished with the sources of genes that can be transferred to species same funds. that are useful. Since we do not know where useful genes may be found, the "genetic appetite" of Many plant biologists are particularly fond of this biotechnology provides an added bonus: a rationale kind of question. One of the most common motiva- for preserving biodiversity. tions for choosing to pursue plant research is the direct utility of the resulting knowledge. Humans Our ability to make directed changes in plants use plants for food, fuel, clothing, shelter, and pro- using the tools of genetic engineering is based on duction of industrial chemicals, among other deep, fundamental knowledge about the molecular things, as well as for erosion control and simple mechanisms of plant growth and development. enjoyment. Fundamental knowledge about plants Indeed, it is likely that we will know the complete bears directly on one or more of these applications. molecular structure of all the genes in Arabidopsis within the next four years, and we will probably The development of genetic engineering technolo- know the complete structure of the rice genome a gies has greatly strengthened the connection few years after that. The sequencing of these CARNECIH

genomes will be followed rapidly by a functional (MIT) on behalf of the World Bank (see footnote analysis of the genes. Since higher plants are closely on previous page). From this disturbing document related, such detailed knowledge will be directly rel- I have abstracted the following selected passages. I evant to other higher plants. Thus, within the fore- strongly believe that we at the Carnegie Institution seeable future we will have a catalog of the structure have a mandate and an obligation to consider what and function of all the genes required actually to we might contribute toward solutions. construct a plant—a necessary precondition in the rational improvement of important plant species. The world's population stands at 5.8 bil- It is probably not accidental that the development of lion and is growing at about 1.5 percent a powerful new means to improve plants coincides year. At present about 87 million people are with a pressing need for such capabilities. One might added to the world's population each year. argue that the scientific discoveries in biomedical Population in the developing world is 4.6 bil- sciences that caused the explosive growth in human lion and is expanding at i .9 percent a year. population have finally worked their way through The least developed nations, with a total the chain of academic disciplines that link research population of 560 million, are growing at 2.8 in animal biology to hasiic discoveries in plant biolo- percent a year. If they continue to grow at gy, Whatever the case, we are now faced with both a this rate, their population will double in pressing need for new food-production technologies twenty-four years. Although fertility has and a suite ot new opp wtunities to do so. been declining worldwide in recent decades, it is not known when it will decline to replacement level. There is broad agree- The d nr- of the problem, and some of the ment among demographers that if current tits iffsrded b\ the growth of bask trends are maintained, the world's popula- e in plmt haotfv, have been eloquently tion will reach about 8 billion by 2020, 10 iv a T.cw ^tiidv chaired bv Henry Kendall billion by 2050, and possibly 12 to 14 billion CARNEGIE INSTITUTION,

before the end of the ne>ct century. Virtually all are often not counterbalanced by the opening of the growth in coming decades will occur in of other lands to production because the infra- the developing world. structure that is generally required for market In the developing world, more than I billion access is frequently lacking on those lands. people currently do not get enough to eat on a Irrigation plays an important role in global food daily basis and live in utter poverty; about half of production. Of the currently exploited arable that number suffer from serious malnutrition. A land, about 16 percent is irrigated, producing minority of nations in the developing world are more than one-third of the world crop. markedly improving their citizens' standard of liv- Widespread injurious agricultural practices, in ing: in some fifteen countries 1.5 billion people both the industrial and the developing worlds, have experienced rapidly rising incomes over have damaged the productivity of land, in some the past twenty years. But in more than a hun- cases severely. These practices have led to water- dred countries 1.6 billion people have experi- and wind-induced erosion, salinization, com- enced stagnant or falling incomes. In addition to paction, waterlogging, overgrazing, and other the food shortages suffered by many in develop- problems. Since 1950, 25 percent of the world's ing countries, there are widespread deficiencies topsoil has been lost [by erosion], and continued in certain vitamins and minerals. To provide erosion at the present rate will result in the fur- increased nutrition for a growing world popula- ther irreversible loss of at least 30 percent of the tion, it will be necessary to expand food produc- global topsoil by the middle of the next century. tion faster than the rate of population growth. A similar percentage may be lost to land degrada- Studies forecast a doubling in demand for food tion, a loss that can be made up only with the by 2025-30. greatest difficulty through conversion of pasture About 12 percent of the world's total land and forest, themselves under pressure. In Asia, 82 surface is used to grow crops, about 30 percent percent of the potentially arable land is already is forest or woodland, and 26 percent is pasture under cultivation. Much of the land classed as or meadow. The remainder, about one-third, is potentially arable is not available because it is of used for other human purposes or is unusable low quality or easily damaged. because of climate or topography. In 1961 the Irrigation practices contribute to salinization amount of cultivated land supporting food pro- and other forms of land damage. For example, duction was 0.44 hectares per capita. Today it is more than half of all irrigated land is in dry areas, about 0.26 hectares per capita, and based on and 30 percent of that land is moderately to population projections, it will be in the vicinity of severely degraded. There are also serious prob- 0.! 5 hectares per capita by 2050. lems with supplies of water. Much irrigation Urbanization frequently involves the loss of depends on "fossil" underground water supplies, prime agricultural land, because cities are usually which are being pumped more rapidly than they founded near such land. Losses of prime land are being recharged. The human race now uses

1997 2010 2020 203® 2040 20» 2080 2070 2280 2090 M00 taxability. Owing to the daunting nature of this challenge, every economically, ecologically, and socially feasible improvement will have to be carefully exploited. A list of potential improvements includes:

• Conserving soil and water, with special priority given to combating erosion • Maintaining biodiversity • Improving pest control • Developing new crop strains with increased yield, pest resistance, and drought tolerance • Reducing dependency on pesticides and herbicides

26 percent of the total terrestrial evapotranspi- The application of modern techniques of crop ration and 54 percent of the fresh water runoff bioengineering could be a key factor in imple- that is geographically and temporally accessible. menting many of these improvements. These It is now clear that agricultural production is techniques are a powerful new tool with which currently unsustainable. Indeed, human activities, to supplement pathology, agronomy, plant as they are now conducted, appear to be breeding, plant physiology and other approaches approaching the limits of the earth's capacity. that serve us now. If crop bioengineering tech- These unsustainable activities, like all unsustain- niques are developed and applied in a manner able practices, must end at some point. The end consistent with ecologically sound agriculture, will come either from changes that establish a they could decrease reliance on broad spectrum basis for a humane future or from partial or insecticides, which cause serious health and envi- complete destruction of the resource base, ronmental problems. This reduction could be which would bring widespread misery. It appears accomplished by breeding crop varieties that that over the next quarter century grave prob- have specific toxicity to target pests but do not lems of food security will almost certainly affect affect beneficial insects. Furthermore, bioengi- even more people. The task of meeting worid neering techniques couid assist in the develop- food needs to 2010 by the use of existing tech- ment of crop varieties that are resistant to cur- nology may prove difficult, not only because of rently uncontrollable plant diseases. At their best, the historically unprecedented increments to bioengineering techniques are highly compatible world population that seem inevitable during with the goals of sustainable agriculture because this period but also because problems of they offer surgical precision in combating specific resource degradation and mismanagement are problems without disrupting other functional emerging. Such problems call into question the components of the agricultural system. sustainabilrty of the key technological paradigms on which much of the expansion of food production since 1960 has depended. The main challenge for the immediate future This distressing document is my general response is to expand agricultural production at a rate to Tom Urban's question. I don't know of any sci- exceeding population growth in the decades entific discipline that has greater potential to alle- ahead so as to provide food to the hungry new viate human misery than basic research in plant mouths to be fed. This goal must be accom- biology. In addition, I believe that plant biologists plished in the face of a fixed or slowly growing have an essential role to play in preserving biodi- base of arable land offering little expansion, and versity for future generations. I am heartened to it must snvol/e simultaneous replacement of see that institutions such as the World Bank are destructive agricultural practices with more beginning to consider how the new technologies benign ones. Thus the call for agricultural sus* might be brought to bear on the pressing problems associated with population growth. However, the resources of the World Bank or other major international institutions will not be effectively used unless institutions of scientific excellence in the developed world are willing to provide scientific and technical leadership. In this respect, the Department of Plant Biology can play an important role. Because of the current expertise of the staff, I believe that we will be able to make significant contributions in the general areas of biotechnology and environmental biology.

Mechanisms of Disease Resistance

An example of a research program that has direct significance to the population problem is staff member Shauna Somerville's work on genetic mechanisms of disease resistance. It has been estimated that pests and pathogens currently destroy tance does not impose a requirement for additional more than 40% of all agricultural production in inputs; gains in productivity are thus obtained with- Asia and Africa, and promote crop losses of out increasing production costs.) approximately 30% worldwide. If mechanisms of genetic pest and pathogen resistance can be devel- A highlight of Shauna's work during the past year oped, these mechanisms conceivably can be put into was the mapping of 47 putative disease-resistance major subsistence crops throughout the world— genes onto the genetic map of"Arabidopsis. She and with no additional cost to farmers in the developing her co-workers identified the genes by carefully world. (Unlike the high-input agriculture of the sifting through the database of partial cDNA Green Revolution, which is dependent on the use sequences produced by the Arabidopsis genome of agrichemicals, genetic pest and pathogen resis- sequencing projects. Mapping such a large number of genes was made possible by the development of physical maps of much of the Arabidopsis genome by colleagues in laboratories around the world. In keeping with the current trend towards the use of the internet to make data rapidly available, Shauna released the new genetic map via the internet2 more than half a year before the corresponding research article appeared in print. The new map will facilitate the identification of genes corresponding to the many disease resistance loci in Arabidopsis previously identified by genetic criteria. Based on the large number of genes that have been mapped to specific locations so far, Shauna estimates that Arabidopsis (and other plants) contain more than 100 disease-related genes. She expects that the assignment of function to those genes in Arabidopsis will permit identification of the corresponding genes in crop species. CARNEGIE IKS

The research programs of Chris Field, Joe Berry, and Olle Bjorkman address several completely different aspects of the population problem. In addition to the immediate concerns about food production, most biologists are deeply concerned about the loss of biodiversity by population pressure. Because of the increasing demand for food and fiber, it seems likely that virtually every acre of arable or scmiarable land worldwide will eventually be devoted to food and fiber production, with concomitant loss of the native species. This is alarming. Once a species is lost it can never be recreated. Thus, within a few generations we will have eliminated the products of millions of years of evolution. If we understood the general principles that regulate species interdependencies in complex ecosystems, however, it might be possible to design refugia for pier ecosystems. How will these simplifications at least some of the remaining biodiversity in change ecosystem function? threatened areas. A central issue in global change, the ecological role of JoeBeny diversity is also a fundamental issue in ecology. To recently assumed date, experimental studies on the role of biodiversity the position of in ecosystem function have examined artificial ecosys- scientific direc- tems with manipulated biodiversity. Though reveal- tor of Biosphere ing, these experiments address only a fraction of the 2, the first medi- possible functions of biodiversity. They provide little um-scale facility access to features of biodiversity that become impor- designed to per- tant only over very long periods of time or across mit studies of broad ranges of environmental variables. issues associated with creation of a self-contained terr:, The lure to establish a stable 'system the ^r:Lr L B:«>phere 2 experiment several " tht liTr,:tat:f):is to our knowledge nteractions. Future studies at the be direct!) relevant to the eventual

i 2:\i k V'» ., jx-» on the D!C .^rjoting general a^ a dr.;- To extend the range of ecosystem studies, Chris, serious problem for public health. Because symp- Olle, and collaborators are using funding from the toms can be confused with those of other infective A.W. Mellon Foundation to investigate mangrove diseases transmitted by water, the cause is not (coastal woody) ecosystems in the South Pacific. always quickly identified. In rural areas, the deaths These ecosystems exhibit a spectacular biodiversity of cattle, domestic animals, birds, and other wild gradient, with as many as 30 mangrove species animals coincide with dense toxic blooms. These spread across Australia, New Guinea, and the are not isolated and occasional cases, but a growing Maylasian Peninsula. Progressively fewer species are problem, apparently caused by increased numbers found as one travels eastward. This diversity gradient of eutrophized water bodies. The ultimate control is a result of biogeographic factors. All of the species of algal blooms will probably require improvements can almost certainly survive in all of the sites, but in watershed management. Knowledge of algal and some disperse poorly and others disappear through cyanobacterial responses to various environmental the balance of local extinction and recolonization. conditions might also contribute to the solution. Such studies can be helpful, for example, in deter- The gradient of mangrove species diversity is also a mining which nutrients are critical to the spread of natural experiment, conveniently poised for algal blooms. addressing the biodiversity/function relationship. Chris, Olle, and co-workers are just beginning to A major portion do measurements on these ecosystems, as they of the capital develop techniques for exploring biomass, net pri- expenditures in mary production, nutrient balance, resistance to and the department recovery from disturbance, and ecological factors this year has like habitat for other species. Ultimately, studies been allocated to such as this one will make it easier to decide how the construction much we as a society should invest in protecting of new instru- biodiversity, and to determine the likely success of ments that will the outcome. permit the steady-state cul- Algal Blooms tivation of a number of inde- The ecological problems associated with population pendent cultures of algae and cyanobacteria under a pressure are not restricted to terrestrial habitats or wide variety of growth conditions. Art Grossman even higher plants. Eutrophication processes caused intends to use these facilities to extend his studies on by anthropogenic influences, such as dumping of the acclimation of algae to variations in light and incompletely treated sewage or runoff from heavily nutrient availability. His laboratory has recently iso- fertilized agricultural land, have many harmful lated what appears to be the first polypeptide from effects on aquatic ecosystems. Among the most an algae that can sense changes in the nutrient status undesirable are increasing dominance of cyanobac- of its environment. A major direction will be to teria in the phytoplankton community structure and identify other proteins involved in the acclimation the "blooms" of microalgae that appear periodically. to nutrient limitation of the cyanobacteria Toxic strains of algae are becoming a common Chiamydomonas reinhardtii, and to define clearly the mark of such blooms, but no one understands why. roles of these proteins in the acclimation process. While environmental factors that favor cyanobacterial growth are known, the appearance of toxic An analogous project with cyanobacteria in the strains remains a mystery. Some of the toxins (eg., Grossman lab has resulted in the isolation of several neurotoxins, hepatotoxins) are more than 100 times mutants of the cyanobacteria Synechococcus that are more toxic than potassium cyanide. Their influx abnormal in their responses to nutrient limitation. into the urban distribution web of drinking water In one of these mutants (strain PCC7942), are reported with increasing frequency and pose a Grossman and co-workers have identified a i~AdSliCh, * i I L ;'!•

regulator that is critical for survival during both sul- tropical countries. Also being commercially pro- fur and nitrogen limitation. By developing an duced from algae are specific products such as vita- understanding of how photosynthetic organisms min A precursors, which have antibacterial and acclimate to nutrient and light availability, it may anticancer properties, and lipid molecules contain- be posible to enhance our ability to extend the ing C-25 fatty acids, thought to be important for range of environments in which plants and algae human brain development. Diatoms (tiny, very can flourish, thereby increasing our ability to effi- simple algae) promise to be especially useful in the ciently harvest photosynthetic organisms in a latter application. Diatoms naturally produce a high changing global environment. percentage of lipids with C-25 fatty acids, which are key components in fish oils. (Fish accumulate C-25 fatty acids by feeding on diatoms). Art Grossman's laboratory, collaborating with Martek There are today many opportunities for using Bioscience Inc., has recently developed the first cyanobacteria and eukaiyotic algae as sources of method for introducing genes into diatoms. This food and even as insecticides. Algae are now being discovery should facilitate large-scale production of used as food supplements, as feed in aquaculture, C-25 fatty acids from diatoms for human consump- and for assaying water quality (a number of algae tion. Clearly, the potential of algae and cyanobacte- are sensitive to pollutants). Some cyanobacteria ria as valuable sources of food products and phar- have been genetically engineered to deliver insecti- maceuticals is still in its infancy. cidal proteins to mosquito populations—a promising means of controlling outbreaks of malaria in Conclusion

The unique mandate of the Carnegie Institution provides an opportunity to direct the research at the Department of Plant Biology toward the most pressing problems of our era. Unlike academic departments at universities, we do not have an obligation to appoint faculty that represent all subjects within a discipline. Rather, we have the free- dom and, I believe, the moral responsibility to focus on scientific problems associated with just one subject—the human population explosion. It is my intention during the forthcoming years to intensify the focus of the department in this direction. The recruitment of new colleagues with a personal com- mittment to these and related problems will be one of my main goals.

-—• Chris Soimer%niie CARNHGIK

, 5997

Devin Parry, Laboratory Technician"' Patti Poindexter. Laboratory Technician" Joseph A. Berry Pedro F. Pulido, /Vio/ntenonce Technician 1 OH** i: Bprkman Students Melani Reddy, Laboratory Assistant" Vv'mslow R. Briggs, Director Emeritus Larry D. Reid, Mt»ntencnce Technician- Christopher B. Field Sean Cutler, Stanford University Courtney Riggie, Laboratory Assistant-" Arthur R Grossman M. Elise Dement, Stonfort L/nwrsrty ' John Robison, Laboratory Assistant •' Neil E. Hoffman Dafna Brad, Stanford Uiwersty Adrienne Roeder, Laboratory Assistant'-* Chnrtopher R. Somerville, Director Stewart Gillmor, Stanford University Connie K Shih. Senior Laboratory Technician Sonia Siyan, Labomtor/ Assistant"* Shauna C Somerville Claire Granger, Stanford University Laura Hoffman, Stanford Urmersny1 Kem'n Small, laboratory Assistant* Geeske Joel, Stan/bfd Urtesty Mar/ A. Smith, Business Manager 31 Lianne Kurina. Stanford Unversu? Colby Starker, Laboratory Technician Donna Sy, Laboratory Assistant David Ehrhardt Cathanna Lindley, Stanford University Chris Lund, Stanford University Ann Tomabene. Laboratory Assistant* 0 Carolyn Matmstrom. Stanford University' Hanna Tolossa, Laboratory Assistant Margaret Ofney, Stanford University Ann Van, Laboratory Assistant* £cha/a Dandekar. Unwersriy of California, Davis* Johanna Polsenberg, Stanford University Liping Wang, Loi3orator/ Assistant John Gamon, California State University, Los Angeles3Jim Randerson, Stanford University Rudolph Warren, Maintenance Ttxtinitian Osarnii Nishizawa, Kirin. Inc.* Steven Reiser. Mich/gon State Umv&s

L-c Acam. Proctor & Gcmbte Fef/ow Kirk Apt. Martek Fe/fov/- From i Dff/aki Braya, N5F Research Assoa'cte" Anne Blanche Adams, lajb&rtfto/y Assfstant * from I Ma, 1997 P.erre Broun Monstanto Fellow Pinky Amin, Laboratory Techmoan: •Fitsr, 14^10 '5 August 3?9& •To 3» December i9» Cesar R. Bautista, Hort'cuitunst •To30Ncwember J994 John M3che Christie, NSF Research Associate8 John Becker, Loboratoirv AssiStcif -To 30 September «996 Gregory D. Coiello, NASA Research Associate Kathryrt Bump, Adm/mscraove Assistant •chn F.bavies, USOA Research Associate Vrttoria Canaie, laborator/ Tzchrraan - Desre Falcone, DOE Research Associate* Cecils Couion. Ictoratory Asastort' F.-srre Fnedlingstein, Columbia University retfaw6 Nadia Doigancv, Research Associate We;p u, NASA Research Associate Glenn A. Ford, Laboratory Manager To 20 April -997 Eva Hua;a, NSF Research Associate David Faulkner* Laboratory Assistant" Jcig Kadak, DOE Resecrd? Associate" Cynf D, Gnvett Senior Laboratory TeGhrtc-aiv Da»..d M. Kehoe, NSF Research Associate Paul Higgms, Lcborcrtory AssiStQn^" Wot gang Lukowttz, International Hunncn Frontier Greg Hailock Greennouse Ass/sionr- e (HFS) Fe/;ow Doug Hughes, Laboratory feehnaon Angeltque Jackson, f.alsoracoo' AsastonP 4 Frc*r:i"?Apr.* | K«-:Kij Ni>o Anjaî Katrekar, Labcraza/y ,As&smrtf * jcsepns Ogas, DOE Research Associate Scott Kaufmann, loborato/y redwoon-* f rcr-- b fôverntier » 5 Miinha P-lgnm, Caffiegfe Fe/»ow Robert Lee, Laboratory Assistant" -*rror. 7 fjnu*> • W7 Adam Lowry. looorotcwy Techwocn" Ar.re RUITIV. DOE Research Assodate 1 lc »>iepfcep«e» iS Wo*?" V-nctfc. Ccmeê Fe/iow Barbara March, Soofekeeper 1 Dpi* Sc, jenemann, Deutsche Laura HcLarty. Lebormory Assstom' Ceara McNjff, laborocay Assffiam* k Rêfet SchA'arz, JHFS Fe/tevv Sandra Metmer, LabomtDiy T#cfrntaan ' /va/r« Stochsf, NSF Fel/ow* Tracy Meyer, Lofeofiattwy As&st*3nr* Su-jjr- S. Thsyer, NSF Reseofd) Assodote Barbara Mortsner, tflboratE^y %^*wr* 5 &\& -ar V/i'k, NSf Seseorch Assock7iEe'* Erik Nefcm to£w»5(y Asslsroftt* Frank Nicholson, foxMes Manage? Marc Ntfûra, lofoorflfofy Tecfytfoan a-"-?* Zrarg. DC-£ fieseorc? Assooow ' c :. a' it'. Classes j 1309 Ribas-Carbo, M., A. M. Lennon, S. A. Robinson, r cr~ ... f. -daptaiicn : L Gile, J. A. Berry, and j. N. Siedow, The regulation of pho^phoreiay ; electron partitioning between the cytochrome and : alternative pathways in soybean cotyledon and root : mitochondria, Plant. Physiology 113, 903-91 I, 1997. l Z ~ CO:i L c-ht-driven aj.r\ rhazeolus ; 1366 Sellers, P. J., R. E. Dickinson, DA Randall, A.K. "1 —I nA-L ' P/ont : Berts, F.G. Hall, J. A. Berry, G. J. Collate, A. S. Denning, ! H, A. Mooney, C A. Nobre, N, Sato, C B. Field, A. "" : Henderson-Sellers, Modeling the exchanges of energy, fv! * Thcnpcor, G.Juday, ; water, and carbon between continents and the '•idd ""tervnud! variation in ; atmosphere, Science 275, 502-509, 1997. c^ttcn test'ng model esti-

wcc- / ' 567-392 i997. ; i 357 Somervilie, C R., D. Flanders, and j. M. Cherry, ; Plant biology in the post-Gutenberg era: everything t 3 B :>i '-i nd A R Grossman, : you wanted to know and more on the world wide • rtrc" r' /'e TiL.t:rli dentified : web, Plant Physiol 113, 1015-1022, 1997, ' ^ujrt'cencc quench- | ! 345 Somervilie. S. C, M. Mishimura, D. Hughes, ; I. Wiiscn, and j. Vogei, Alternate methods of gene P Grossman, : discover)/—the candidate EST approach and DNA : microarrays, in press.

• i 353 Somerviiie, S. C, and C. R. Somerviile, d-dC R : Arabidopsis at 7: still growing like a weed, Plant Cell 8, *''f""t,Mton cu'utfcd by ', 1917-1933, 1996.

•' ! 362 Stochaj, W. R, and A.R Grossman, Differences jn the protein profiles of cultured and endosymbictic ite) K Syrr.biodam sp. ('pyrrophyta) from the anemone rt Too n aHf photon^ Atptosa Pai'»da (anthozoa),]. Phycol 33, 44-53, 1997. T^'iL tiT> '2 i**97 1343 Turner, S R. and C R. Somerviile, CoSiapsed /yiem phenotype of Arabtaopsis identifies mutants JI sar^/, D. A deficient in ceuulose deposition m the secondary ce!1. ml Phnt Cell 9, 689-701, 1997.

1234 Wilson, I., j. Vogel and S. Sornervil'e, S.gnatirg p3tf /;avs. a versatile regulatory casette, Cirrent &ta> 7,

Kv ! 3i:7 Y-Idc, F, J. P. Da»ie£. and A. R. Grossman, SJinr ava.Iabi!it» ana the SAC I gene control : :T :r - C K ddenos^e tnpho53pn3te sulfurt'lase gene e>prejsion r l i r'">'<.<;*> H-ph.. r £r»c! t<' orr>wasrGiinhc>rd' itPtart Phfiiot i 12, 66^- <.**>» j&i:r>i 675, i9%,

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"• - it P 7 i New Classes j 1309 Ribas-Carbo, M., A. M. Lennon, S. A. Robinson, ~ i ( r^n 4 c adaptation : L. Gile, J. A. Berry, and J. N. Siedow, The regulation of t.- our-step phosphorelay \ electron partitioning between the cytochrome and i alternative pathways in soybean cotyledon and root : mitochondria, Plant Physiology 113, 903-91 I, i997. •" ^K 2i r^D I For Light-driven f* ^t<- ^ aib ; otbe i (Phaseolus ; 1366 Sellers, P. J,, R. E, Dickinson, DA Randall A.K. tc* -^ drd nt r^i andly J. Plant ; Betts, F.G. Hall, j. A. Berry, G. J. Collate. A, S. Denning, i H. A. Mooney, C. A. Nobre, N. Sato, C. B. Field, A ""' : Henderson-Sellers, Modeling the exchanges of energy, * 1 h -1- i CM M ; Thomp or, G. Juday, ; water, and carbon betv/een continents and the > r 1 dei JL "d - B F eia Int^nrruJ variation in : atmosphere, Science 275, 502-509, 1997. r tu c n t p i production testing model esti- T ,+ ^ ^ ?- cJ-e-i c-t 'I *&7.,92. 1997. • 1357 Somerville, C, R,, D, Flanders, and J. M. Cherry, ; Plant biology in the post-Gutenberg era: everything _ i f Y O B jrki an and A R. Grossman, ; you wanted to know and more on the world wide I r .» rt" opt" I > le rr iarts identified I web, Plant Physio!. II3, 10! 5-! 022, 1997.

j _ •" | •- t 2ra fr^ioi^pn I fluTe ence quench- r P r _ ^ I ^ I 99 I 1345 Somerviiie, S. C, M. Nishimura, D. Hughes, ; I. Wilson, and j. Vogel, Alternate methods of gene

I *•" h i M C Ejo f m_n ^nd A R. Grossman, : discovery—the candidate EST approach and DNA Th^- r L ty i ic -rtr-jp^î'b r photoprotection, : microarrays, in press. J - "f f A r r f' n pr<^ I9r" ; ! 353 Sornen/ille, S. C, and C, R. Somerviiie, p v er ^ ^ Ou |iLjej Sn- and C R. : Arabidopsis at 7: stil! growing like a weed, Plant Ce" 8, 1 TL i> Lw ut •• d Me«" r»*i tnr tûbted by ! 191.7-1933, 1996. ' '• • f r ti *• c c r r th^ nr JO doc «t u J p wKle mutant, : 1362 Stochaj,.W, R., and A,R Grossman, Differences M F r ;n the protein profiles of cultured and endosynbiot'C •ft c C^Trn-1 P M B-dgu *< MaÂel! O Symb>o(ium sp, (p/rrophyta) from the anemone c "-id' c ao 'Dt^t.cr Bjorîan and R Leeôod, Too manv photons' Aptasia Pa'Lda (anthozoa),; Phycoi 33, 44-53, 1997 7 privcresp.rrrt en, pnotoirhibition and photocxi-afcr, Tre1"^ nL,r|fc:' j, I 9-i2! !997. ! 343 Turner, S R,, and C R. Scmerv»Ue. Collaps:ea xyiem phenotype of Atcbidopss tdentifes rn'jtants

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*w-1 * THE DIRECTOR'S ESSAY: Exploring the History of Star Formation

Intense star formation in NGC 661 I. The new stars etch away the gas, forming pillar- like structures. The history of star formation is a maior preoccupation of astronomers at the Carnegie Observatories.

fjjecent years have witnessed the beginnings of a observational capabilities, this operational divide notable intellectual convergence in astronomy. Even a led to an intellectual divide, in which the things decade ago there was a clear divide between Galactic that Galactic astronomers thought about were and extragalactic astronomy, between the study of our often disconnected from those that extragalactic own and other galaxies. This was due simply to what astronomers thought about, and much that each could be observed and learned in the two cases. The could have told the other often went unsaid. Galaxy is a unique object, viewed from a unique van- tage point—the inside. This a sometimes useful but This is now changing. The convergence between often inconvenient perspective. The Galaxy's global these views has proceeded from both ends. Larger properties are hard to determine, and, in any event, telescopes and improved instruments have begun are those of a single object. We can, however, obtain to allow us to cany out in neighboring galaxies the information on the motions, masses, ages, and chem- kinds of detailed studies that used to be possible ical composition of huge numbers of individual stars only in our own Galaxy. These same improved within the Galaxy. This information allows us to capabilities have pushed observations of other reconstruct much of the history, particularly the veiy galaxies to greater Mid greater distances, and thus early history, of the Galaxy. to earlier and earlier epochs in the history of the universe- Thus, it is becoming possible to compare On the other hand, we are able to determine the the early histon of our own and other nearby global properties of a myriad of other galaxies galaxies, reconstructed star by star, with the early beyond our own. However, because they are too histories of Urge populations of distant galaxies. distant for us to observe individual stars, recon- structing the histories of those galaxies ha- been Many thirii»> contribute to the histon of a galaxy, extremely difficult. Although an accident ot but the dominant factor 1** -.tar formation. This is for two reasons. For one, youna; stars are bright years ago, while objects with redshifts of 2 or 3 are stars, s»> that the extent of current star formation seen as they were about 10 billion years ago.) greatly influences the visible properties of a galaxy. However, galaxies with redshifts greater than 1 or More fundamentally, stars represent almost all of a 2 were nowhere to be found—until the last few jjalaxVs visible material, so the history of star for- years, when an avalanche of higher and higher mation K the history of galaxy building. The histo- redshift objects began to be discovered. Hubble ry of star formation in the universe is, in one form Fellow Mauro Giavalisco and his collaborators or another, a major preoccupation of Carnegie Chuck Steidel and Kurt Adelberger (Caltech), a* a n>;.uh rule-'*!-thumb, objects with redshifts ther and farther to the red; for those above a red- ntd tew tenths art" »-een d> thev were a few billion shift of 3, the "dropout' wavelength shifts into the visible spectrum. Thus one can search for objects at a particular redshift by imaging a portion of the sk) at two wavelengths, one below and the other above the dropout wavelength. Galaxies which appear only in the latter image are strong candi- dates for high-redshift objects.

I sinjj this technique, Giauili>c«» and collaborators hd\L assembled a simple of over 200 #alaxie% niosT with rtdshift* between 2.5 ind 3.5. When u>nibmcd with data from other sources, their work h*e< nude it possible, for the fii\t time, to construct jn j»\t'u!l star "formation history of the unnerve, J6* -hnwr m Fi^;irr 1 St.ir f< »nnution sten^ to ha\e

rH\ikn.i ,,ihout 1*) bjllion u.\i!% am *, and t(; haw I'Vvn ^: sti;,hi\ ikCnrx cu.r SIJK'C. "I lus time ^"ir«- CARNEGIEiNSTlTaXi-ON

cides nicely with the epoch at which postdoctoral During the past year, Dressier and I, and our col- fellow Lisa Storri-Lombardi and Art Wolfe laborators, Richard Ellis, Amy Barger and Bianca (UCSD) have found a maximum abundance of the Poggianti (Cambridge), Ian Smail and Ray cold gas that is the raw material of star formation. Sharpies (Durham), Harvey Butcher (Leiden), and Warrick Couch (Univ. New South Wales), have been analyzing images from HST and spectra obtained from ground-based telescopes of a large set of clusters at redshifts of about 0.5, seen as they were about 5 billion years ago. These data have confirmed the conclusions we drew from earlier HST data that galaxies in higher-redshift clusters i - tend to have less-regular structures, exhibit more o signs of disturbances, and more often undergo "SI brief bursts of star formation than those in clusters at lower redshift. These peculiarities may be only the consequences of youth; such galaxies are mid- way between the violent epoch of formation and Time (billions of years) the well-settled maturity of nearby galaxies. Alternatively, such disturbances may be the signs of processes at work which have driven galaxy evolution in these environments. Understanding galaxy formation is one of the most The new observations fundamental problems of astronomy, but it is cast some doubt on incomplete without an understanding of galaxy one attractive process: evolution, i.e., how galaxies have changed between violent mergers the epoch of formation and today. Much attention between pairs of disk has been drawn to the observation, originally made galaxies which result by Edwin Hubble, that in regions of high galaxy in one spheroidal density, called clusters, galaxies have less promi- nent disks and lower levels of star formation than do galaxies in regions of lower density. Presumably then, the environment of galaxies affects either how they form or how they evolve. The latter idea, i.e., that "nurture" rather than "nature" is the dominant shaper of galaxies, has motivated several decades of work by Alan Dressier and myself, comparing galaxies in high- and low-redshift clusters. The early days were tough-going. When observed from the ground, high-redshift galaxies are faint smudges which reveal little of their nature. However, with the Hubble Space Telescope the smudges become observable objects, allowing us to examine distant galaxies in the same detail as nearbv ones. CAR N Kilt. THJL\

strength of spectral features due to sunlight, and she handled diffuse Galactic light by carefully modeling the distribution of dust and starlight in the Galaxy, and picking a region of the sky where these are minimal. The result is gratifying: she finds that the strength of the EBL is very close to what one would expect from counts of galaxies on the sky, if 'one makes two significant corrections. One must include light from the faint outer parts of galaxies, light that is normally missed when the remnant. Galaxies whose spectra suggest strong brightness of galaxies is measured, and one must past disturbances are mostly disk galaxies, not include all of the very-low-surface-brightness spheroidals, suggesting that whatever perturbs the galaxies that hide below the glow of the night galaxies does not remove their disks. Also, the sky. One of the most significant implications of ratio of disk to spheroidal galaxies seems to have Bernstein's work is that these two corrections been the same 5 billion years ago as it is today. are sufficient—there is no large source of light in Only the fraction of disks with active star forma- the universe beyond what we can see or conserva- tion has declined, suggesting a more gentle process tively infer. Thus, almost all of the star formation at work, which removes the gas out of which stars in the universe has, apparently, occurred in rather are born without disrupting the basic structure of ordinary galaxies. the galaxy. The nature and number of such very-low-surface- brightness galaxies has been a preoccupation of Background Light several Carnegie astronomers, including Bernstein and DTM Carnegie fellow Stacy McGaugh. One grand measure of the sum total of all the stars Observatories Hubble Fellow Julianne Dalcanton in the universe is» the extragalactic background described her work on these objects in Carnegie light, or EBL. The EBL is the total light shining Year Book 95 (pp. 31-36). This year she has on Earth from all the galaxies in the sky—a very finished her survey, and concludes that low-sur- simple quantity, but one which has been madden- face-brightness galaxies provide one-third of the ingly difficult to measure. It is easy to see individ- luminosity density of the universe, an amount very ual galaxies, or at least their bright centers, but the consistent with Bernstein's results. Dalcanton and :ontribution of things too faint to be seen is a cru- her collaborators David Spergel (Princeton) and cial portion of the EBL, and very hard to quantify. Frank Summers (Harden Planetarium/Columbia) The light < if galaxies is overwhelmed by the glow have developed a simple theory for the formation of the atmosphere, by the zodiacal light (sunlight of high- and low-surface-brightness disk galaxies, scattered off dot in the solar system), and by the which allows one to understand the latter as being diffuse Galactic light (starlight scattered tiff dust low-mass objects with an exceptionally large in the GaLwyi. An\ determination of the EBL amount of rotational energy. HUM first remove, with great accuracy, all of these mudi larger light sources Many attempts have Dwarf Galaxies eft Be Local Croup been mjde over the years, hut all have failed, The history of star formation in other galaxies of Nn*,, prciiocf'jfj] h'llotv Rebecca Htrn*»tein, work- the Local Group—-the nearest neighbors to the ing with \Wndy Fru'drcuii, hi* finally succeeded G*ilaxy~~is beginning to be explored in Mime of m dv*,i\Un% 4?fd 'Jua-Hurii^ the EBL She has the detail previously available only in the Galx\\. rcrn'*u\i ,iin:^»phau u}»>\\< hi ^Ken/ir^ tr»>m Most uf then* galaxies art* dwarfs: dwarf irregulars

diskless objects with little or no present star formation. The history of dwarf galaxies is of particular relevance to galaxy evolution, for these galaxies The heavy elements—which astronomers loosely are thought to be objects with the most unusual call "metals"—are all products of the life cycles of histories of star formation. Dwarf irregulars might stars; the gas in the Galaxy has been enriched in be "young" galaxies, most of whose stars formed metals by all the prior generations of stars. Thus, a quite recently, while dwarf spheroidals are suspect- star's pattern of metal abundances is a powerful ed to be "dead" dwarf irregulars, in which star for- tracer of the history of star formation prior to that mation has somehow been snuffed out. star's birth. By studying the elemental abundances in the most metal-poor stars, one may probe the Postdoctoral fellow Carme Gallart and her collabora- earliest stages of the formation of our Galaxy. tors Antonio Aparicio (currently visiting from the I AC, La Palma), Gianpaolo Bertelli (Rome), and George Preston, Andy McWilliam, Ian Cesare Chiosi (Padua) have been combining observa- Thompson, and Steve Shectman have begun a tions of the brighter stars in a set of Local Group new survey, using the du Pont Reimaging Camera, dwarfs with models of the dwarfs' stellar populations. to find a large sample of stars with metal abun- Contrary to expectations, they find that the present dances as low as 10"5 that of the sun. Such stars, if star-formation rates in the dwarf irregulars they exist, would have abundances an order of NGC6822, Pegasus, LGS-3, and Antlia are no high- magnitude lower than those seen in the most er than star-formation rates were in the past. On the metal-poor stars currently known, most of which other hand, a study of the dwarf spheroidal galaxy were discovered in the previous Carnegie survey, Leo I shows that it contains more intermediate age completed in 1995. and fewer very old stars than most such objects. This and other work suggests that dwarf galaxies have Meanwhile, McWilliam has been analyzing spec- evolved less than often thought. It also suggests that tra of 43 of the most metal-poor stars found in the the properties of dwarf galaxies represent a continu- previous surve\. The pattern of elemental abun- um, and that the traditional division of dwarf galaxies dances in these stars suggests that the gas from into two distinct groups, dwarf irregulars and dwarf which they formed was enriched by the heavy ele- spheroidals, may need much revision. ments produced by only a very small number of dying stars (as few as one). Since those stars are known to have had very short lifetimes (.typically less than 10" years), one must suppose that the * observed metal-poor stars formed very shortly titter the first generation of stars. How long ago that '"4 occurred is suggested by the abundance analysis < >f another star, CS22892-052. Using the de«.a\ of the radioacthe isotope l ;Th in this star as j chronometer, McWilliam Mid collaborator* intimate that the oldest stirs formed in the Galax\ 15±4 billion years ago. This time i.* consistent with the age of the universe derived from the I luhble Constant, whether one uses the lower value obtained by Allan Sanda^c dnd hn <.*>lUk>ratorN or the somewhat higher value i>hta?m\i in WVnJv Freedman and her cnllahorati »r*>. Renovations of the Hunt Building

Having completed construction of the new shop/laboratory building and the new lecture hall, and renovation of the west wing, we began work this year on the renovation of the Hunt Building. This is the Observatories' original headquarters building and the last survivor of 80 years of California earthquakes. It is of architectural significance to Pasadena, and of historical significance to the Carnegie Institution and indeed to all of astronomy. From the sub-basement, which still contains the ruling engines on which John Anderson and Harold and Horace Babcock produced most of the early diffraction gratings used in the world's observatories, to the attic, which holds the leavings of generations of departed astronomers, the Hunt Building is imbued with the history of 20th-century astronomy. Our intent has been to tread lightly in these spaces, repairing decay and upgrading the building's mechanicals, while returning the appearance of the building, as much as possible, to the elegant simplicity it pos- sessed in the 1910s. Simultaneous with the remod- People eling work, which is under the direction of Alan Dressier, Pat McCarthy has been supervising the The tragic death of long-time staff member Jerry renovation and reorganization of the library, which Kristian in mid-1996 left a large void. After a is the physical and intellectual heart of the build- truly exhaustive search, the best possible replace- ing and of the Observatories. The work on the ment was found just down the hall: Andrew Hunt Building and library has been made possible McWilliam was appointed as our newest staff by generous grants from the Fletcher Jones, member on July 1,1997. Dr. McWilliam received Ahmanson, and Ralph M. Parsons Foundations, his Ph.D. in 1988 from the University of Texas, and by a bequest from the late Alexander Pogo, and has been at the Observatories since 1991. longtime Observatories librarian. He has served as a research associate and as a senior research associate, and was the Observatories* first Barbara McClintock Fellow. He is a world leader in the study of the early chemical history of the Galaxy, and continues the Observatories' long and distinguished history in that field.

The same search turned up another exceptional young astronomer, Dr. Luis Ha. A 1995 graduate of Berkeley, and currently a postdoc at the Harvard/Smithsonian Center for Astrophysics, Dr. Ho has been active in many areas of extragalactic astronomy but is best known for his work on very weak active galactic nuclei. He has accepted appointment as staff associate, beginning in the summer of 1998. Silicon carbide is a very difficult material, and a satisfactory mirror blank has not yet been produced. The polishing of the tertiary mirror is nearing completion at Kodak.

At years end, the first steps were taken in construction of the second Magellan telescope. A contract was signed with the Steward Observatory Mirror Lab for the production of the primary mirror and mirror support system. Meanwhile, the formal Magellan Consortium Agreement, between Carnegie, Arizona, Harvard, MIT, and Michigan, made its halting way forward, running the gauntlet of astronomers and lawyers and deans. Impatient of a formal tying of the knot, the consortium's astronomers began discussions on the challenging issue of coordinating instrument development between the institutions.

The Magellan Project In the spring of 1997, Peter de Jonge stepped down after four years as Magellan Project manager. He The Magellan Project made rapid progress during will continue to play a large role in the construction this period. The year started with the Magellan I of both Magellan telescopes, but the position of telescope enclosure beginning to rise above its foun- project manager has been assumed by Matt Johns, dation on Manqui Peak, and with the first sub- who has been Magellan Project systems engineer. assemblies of the mount taking shape at L&F The Magellan Project has produced remarkable Industries in Los Angeles. The year ended with a results with an exceptionally small staff, in large nearly-complete enclosure and a mount undergoing part because of the talent, energy, and dedication of final tests before disassembly and shipment to Peter de Jonge, Matt Johns, and Steve Shectman, Chile. Also at L&F, final work was being done on the Magellan Project scientist. A new addition to the primary mirror cell, before shipment to Tucson the project staff this year is Charlie Hull, who has where the mirror support system will be installed. taken up the position of lead mechanical engineer. He replaces Frank Perez, who has moved to Chile Polishing of the primary mirror finally began at to take charge of local operations. the Steward Observatory Mirror Lab in Tucson. After a considerable wait, during which figuring was completed on the new primary for the MMT Instrumentation telescope, the Magellan primary* was moved to the polishing table and all work finished on the back The Observatories have a long and illustrious his- of the mirror. As the year ended, the Magellan tory of instrument development, stretching back to mirror was again off the polishing table for a few the days of Hale and Ritchey. However, the months while finishing touches were applied to Magellan telescopes represent an unprecedented the MMT mirror. Satisfactory progress continues challenge for Carnegie instrument builders. The on the polishing, at Contrives, of the f/11 sec- size md complexity of Magellan instruments ondary. Unfortunately, progress has been slower greatly exceed that of anything built here before. with the f/15 secondary, a very lightweight silicon Moreover, an entire complement of instruments is carbide honeycomb being manufactured by the needed all at once, at the beginning of operations, Vavilov State Optical Institute In St. Petersburg, if the power of the new telescopes is to be exploit- are developing an 8192-pbcel-square camera, using an array of eight 2048 x 4096 pixel CCD's. This will be one of the largest CCD cameras yet built, and is a very large challenge in itself.

The DDI Infrared Spectrograph, being built by Eric Persson and David Murphy, will be the prime infrared instrument on Magellan I. The push to greater distances and earlier epochs in the universe is a push to higher redshifts, and therefore from the optical to the infrared part of the spectrum. The DDI Spectrograph, which will have built-in ed. Happily, the challenge is not financial. low-order image correction and will be capable of Thanks to the generous support of the multi-object spectroscopy over a field of over 3 arc Observatories* friends, particularly Carnegie minutes, will be the tool that makes such cosmo- trustee Kazuo Inamori, the funds are available to logical explorations possible. build what we need. The scarcer resource is people. The technical staff of the Observatories was The Kyocera Echelle Spectrograph, being built by much depleted during lean financial times, and Steve Shectman and Rebecca Bernstein, is intend- has needed much rebuilding. We have been ed for high-resolution spectroscopy of moderately extremely fortunate during the past year to attract faint objects. This elegant design is a double a very talented group of new people to work on Littrow spectrograph, with separate red and blue instrumentation, including programmer Christoph sides. It is remarkably compact for a high-perfor- Birk from Max Planck, Heidelberg, and instru- mance instrument on a 6.5-meter telescope. This mentation scientists Bruce Bigelow from Lick spectrograph will be the primary tool in studies of Observatory and Greg Burley from the University the chemical abundances in stars, and of absorp- of British Columbia. tion-line QSOs.

Work is progressing on three main Magellan Although most attention is going to Magellan instruments. IMACS, The Inamori Areal Camera instrumentation, the smaller Las Campanas tele- and Spectrograph, is a uniquely powerful optical scopes will remain valuable and productive imager and spectrograph, which will produce resources. Several instruments are under develop- high-quality direct images and low-dispersion ment which will provide wide-field capablilites on spectra of objects over a field of up to 27 arc min- the du Pont telescope. The du Pont Reimaging utes. This instrument should be the workhorse of Camera, nearing completion by Ray Weymann, the Magellan I telescope, and a prime tool for the provides imaging and low-resolution spectroscopy kinds of spectroscopic studies of faint galaxies over a field of more than 25 arc minutes. A new, which are fundamental to much of extragalactic wider-field infrared camera, incorporating low- astronomy and cosmology. The IMACS is being order active optics, is currently being built by Eric developed under the supervision of Alan Dressier Persson and David Murphy. and Bruce Bigelow. The very wide field of this instrument requires a very large detector array to —Augustus Oemier.Jr. provide coverage. Ian Thompson and Greg Burley !Li;y !, 19%-June 30, 1997

!me!da Kirby, Data Reduction Assistant '• Nicl Col'm;, "n^datc 5C1 ce f- '.^*Ccrter Aurora Mejia, Housekeeper Cms C"prui;e, L'r/'Cis/^ o* //tr c 5 encs A> es -,.-, Dressier Kristin Miller, Magellan Project f like Fdneil' Go^crd Sti:* p : Ccr^ ( ; ,-rid/ Freedman Administrative Assistant'-' asijn Fu' u JOCv Jni.c'oD P.t,.:!•' McCarthy Georgina Nichols, Controller 'ciêG^rCL, 'Jru^'rjt, ofCrue ~u; r*us Oemier, Jr., Director Greg Ortiz, ..Assistant, Buildings and Grounds B C6;u! WI.1+SL(CIT'"iH ^/7/n- Li i. Persicn Stephen Padilla, Photographer ~ -»r:e Preston Frank Perez, Magellan Project. Lead Engineer iohti Grab an, Del .TfTcnr jf^tncsî Vj^ "'i-p Sandage Olga Pevunova, Graduate Research Assistant AtuJ-»e Har. \iw: '>/ er r, L -_ -r i! d Searie, Director Emeritus Pilar Ramirez, Machine Shop Foreperson JiSCiHarii 'j-ii.e-s't1. r* Cj/ff:^j ^' ij 'J : 1 Sicption Shectman Tina Reyes, Magellan Project Administrative 1 a ah.ro Ha. rt a .vd * -'' ro uS . .-rs Assistant** Scott.Rube!, Assistant, Buildings and Grounds jeanette Stone, Purchasing Agent. •^nr.H K.nnc/, L'r'.ersr/c* ,'. y ,r Robert Storts, Instrument Maker Marcin KuLi u 'A -,- j.» I r »-:i' Estuardo Vasquez, Instrument Maker AnoLaP'.ol* LJ^' n .j'.'^L'r °r Steven Wilson, Facilities Manager. C ar£ .Von _ee, *ij- /- L/T-H--' Ju'i.inne Dalcanton. Hubble Fellow Prjr.td L'-.ec.i r.-j: - r*3'/""V C-irme Gailart, Research Associate f-'.juio Giavalisco, Hufab/e FeWow Ctephen Und/, Research Associate Ricardo Alcayaga, Mechanic 'ose i Uza Jr .e'Stv jf 0 pt i.L'.i Stome-i.ombardi, Research Associate- Carolina Aigayaga, Administrative Assistant ^v1"^G^1Jteo Li C r» cf \!I.*-;-r f L::M Lubm, Carnegie Fei/ow Victor Aguilera, Magellan Project Ge -harat "ieurer rrc:^ Tt-.r:r^c S^ Ardr'S'A ["icWiiiiam, Senior Research Associate Electronic Engineer ~ Brian Miller. Oû^mc-x oj TeTtztout M jc^r, f'lulchaey, Camegre Fel/ow Yerko Aviies, Administrative Assistant ' Akira Mizuno, Nagoya L/.n/ve^'J^' Rind/ Phelps, Research Associate Hector Balbontin, Chef Norikazu Mizuno, NagQya dnwerzity B'-ian Rush, Research Associate Pedro CarrizG, Plumber- Mariano Moles, University of Ch/e

SwGtt Trager, Starr Fellow' Emilo Cerda, Electronics Technician Niel ^4agdr1 Unwers'ty of Maryland Oscar Cerda, janitor Amy Nelson, University of California at San Angel Cortes, Accountant Peter Newman, University of Lancashire |ose Cortes, Janitor Arkadius Olech, Warsaw University Rerecca Bernstein, Carnegie Graduate Jorge Cuadra, Mechanic Assistant Hideo Ogawa, Nagoya University Oscar Duhaide. Mechanical Technician Eileen O'Heiy, University of New South Wales ':' :>:uhiro Hashimoto. Predottord Fellow" Julio Egana, Painter Arkadius Olech, Wcrsow University Juan Espoz, Mechanic Hirojoshi Oshtma, Ncgoya University Gaston Figueroa, Smalt Shift Supervisor Paolo Persi, CNR Italy Luis Gallardo, B Pino Guard Grzegorz PietfT/nski, Warsaw University Fatncj Knezek, Resident Soentfsf juan Godoy. Chef GtztgQfZ PojiYianski, Wofscw University '»V^::iech Krzeminski, Resident Scientist jaime Gomez, Accounting Assistant Wojciech Pych, Warsaw Unwersity1 /.vi.am Kunkel Resident Sdenost Daniio Gonzalez, B Ptno Cuard Net!! Red Cohfrnm Institute of Tethnob§,> r^ipje! Roth. Director, Los Compartcss Ohxrvctoiy Javier Gutierrez, Heavy Equipment Operator Ptert) Rossatt), European Space A^ncy JuanJeraido.Owf Monca Rub©, Unmntty of Chile Leonei Ulto, Carpenter Hike Segal, Urwemty of Vir^nm juan Lopez, Atogefan Pmjea Supervisor Enc Shulman, National Hadm As,t/Qnomy Murphy Mario fionciaca, & Pino Guard Observatory, V^ma Cesar Muerm, Ni$fht Assistant Ian $m»t Un#v«s?tj/ of Durham Pascuaf Mm®z, Cook-- Todd Small, CfiTtel^t1 Uwwwy $hh Mwnoi, Bustrmss Manager joj-tpti Asa, ,Magc//an Etectrorwcs Tedvwo'ai Herman Oiwares, Ntght Assistant Mauncto Tap«, Nodorwf Ufwwwy cf Mexico Alan &;.-s£ish, Los Cflmponos ObswvcftSHy Engineer Andrat Udalskf, Wtersow U»n*f»iy Hobsna BaSaehindran, JEfectrrol Engfrieef* Cnr-r.toph Btrfc, Data Acqt«s/&on PwgFommef* Patricio Pinto, fiteewnto Tectmcion

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r i * CARNEGIE 1N.STI \'V I'lON' CARNEGIE/INSTITUTION

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THE DIRECTORS ESSAY: Seismological Studies at the Carnegie Institution

"ALTHOUGH IT MAY BE DIFFICULT TO DEFINE PRECISELY THE FUNCTION OF

THE INSTITUTION IN GENERAL OR AT ANY PARTICULAR MOMENT, IT IS CLEARLY

THE DUTY OF THIS ORGANIZATION TO LEND ITS AID, WHEREVER POSSIBLE, TO

ADVANCE FUNDAMENTAL KNOWLEDGE IN FIELDS WHICH ARE NOT NORMALLY

COVERED BY THE EFFORTS OF OTHER AGENCIES, OR IN WHICH OTHER

RESEARCH BODIES MAY FIND DIFFICULTY IN INITIATION OF PROJECTS...

PROBLEMS WHICH PROMISE LARGE RETURN FOR FUTURE INVESTIGATION ARE

FOUND IN THE FIELD OF SEISMOLOGY OR EARTHQUAKE STUDY •. .*

JOHN C. MERRIAM (1921f

El hile seismology is presently one of the principal That same year, Merriam hired Harry Oscar Wood scientific foci of the Carnegie Institution, and as a research associate in seismology. A mineralo- research in that field is now centered institutionally gist and geologist by training, Wood was at within the Department of Terrestrial Magnetism, Berkeley at the time of the 1906 San Francisco neither statement has always been true. In 1921, earthquake, and Ms field work on that great when John Merriam assumed the presidency of the upheaval permanently changed his research agenda. Carnegie Institution, seismological research in the Wood began his Carnegie tenure at the Mount United States was not competitive with that in Wilson Observatory headquarters in Pasadena, but Japan, England, and Germany. Merriam asked in 1927 he accepted an invitation by Caltech to Geophysical Laboratory director Arthur Day to relocate the Carnegie seismology operations to the chair an advisory committee on seismology, which institute's newly constructed Seismological recommended later that year that the Carnegie Laboratory. Wood was both a skilled instrumental- Institution initiate the development of new seismic ist and a shrewd judge of talent. With Mount instrumentation in cooperation with Mount Wilson Wilson astrophysicist John Anderson, he developed Observatory and the California Institute of the Wood-Anderson seismometer, a short-period Technology. The committee also recommended that horizontal instrument that became a standard at the institution undertake geodetic and geological U. S. seismological observatories. Among the assis- studies of active fault zones in California in coopera- tants Wood hired were Charles Richter and Hugo tion with the U. S. Coast and Geodetic Survey and BeniofF, each of whom went on to distinguished the U. S. Geological Survey, respectively. careers in seismology.

Left: One of the most seismicaiy active areas on Earth, the Andes of Soyth America, have challenged DTM seismologists for decades. M'h - .»t tht ivi^t ifcciif work on earth ^tnuturc a! i i I \! IJ.H ixp-oind t!:c j>ov\cr ot'purtahk broaJ- liiSiid "l-'iiu t\}KTinicnt<» t<» itna^c details of upptr- ' > ! 1 •" • i.j t; T •', ?' j»:,-;-'. »j ,,f : (;'.if,,t'c -TrsKt'irt :mt K*Mlivable hv global network*' •f ^c'^r^'i '>]»v.:rva!'vne*>. 'For a discu^ion ot'hroad- \\nid ' vhtu'u mstrutnent*», ^t Year B»«>k CM, pp. ]^»»"1J?7 Out 'MiJi portable t4\p«.riintnt, led In f.''TM« * !i'!!i4\ Iti^i Bian;aM>n n«»\\ at the ScieiKe h f/'j*'1 -! fbi" 1 'IMUTMU ot'KelaiKi/, was reventlv

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Given a sufficient experiment duration, a portable seismic network records a number of distant earthquakes from a variety of directions; differences in arrival times of compressional and shear waves can then be inverted to recover the three-dimensional seismic velocity structure beneath the network. This technique, known as seismic tomography, was applied with spectacular success to data from the Iceland network collected between 1993 and 1996 by a group led by Cecily Wolfe, a former Harry Oscar Wood Fellow at DTM and now on the scientific staff at the Woods Hole Oceanographic Institution (WHOI). The tomographic images depict a low- velocity anomaly having the shape of a vertical cylinder beneath central Iceland; the cylinder has a radius of about 150 km and extends vertically from less than 100 to more than 400 km depth (Figure 1). The low velocities indicate temperatures that are higher than normal by about 200-300°C. The seismic anomaly thus confirms that there is a plume- shaped zone of upwelling extending at least to 400 km depth, the greatest depth resolvable from tomography for a network no wider than the land area of An independent type of seismic observation made Iceland. The inferred thermal anomaly is in line with with the portable network in Iceland pushes the estimates made by others from the much greater rate evidence for an upwelling plume to more than 700 of formation of new crust at Iceland than along other km depth. At the two primary seismic discontinu- sections of the Mid-Atlantic Ridge. ities marking the top and bottom of the upper- mantle transition zone, normally at about 410 and 660 km depth, upward-traveling compressional waves convert part of their energy to shear waves. These two discontinuities are thought to arise from pressure- and temperature-sensitive mineralogical phase transitions, but while a greater temperature increases the pressure (and thus the depth) of the transition for the shallower phase change, a temperature increase drives the 660-km transition to lower pressures. Thus regions of the mantle that are hotter than normal between 400 and 700 km depth should have a thinner than normal transition zone. A group led by former postdoctoral associate Yang Shen, now at WHOI, has mapped the thickness of the transition zone beneath Iceland from the differences in arrival times of P-to-S wave conversions at the 660-km and 410-km discontinuities. They found that the transition zone is 20-25 km thinner than normal beneath central Iceland but of normal thickness elsewhere (Figure 2, next page). The center and width of the anomalously thin, and thus hotter than normal, transition zone coincide with the center and width of the seismic velocity anomaly imaged tomographically at 100-400 km Transition Zone Thickness, km

68 \

64 f -20 02 — -30 -25 -20 -15 -10 Longitude

depth. The Iceland experiment has thus provided the first seismic confirmation that plumes originate in the lower mantle, as theory had predicted. The feature in Figure 3 least anticipated at the start A very different type of structural target for upper- of the seismic experiments is the low-velocity mantle tomography was enabled by the overlapping anomaly that extends vertically from about 200 km duration of two portable seismic experiments at a to at least 500 km depth in the eastern portion of common latitude in South America. One experi- the image. In map view, this anomaly is approxi- ment, carried«>ut by David James and collaborators mately circular in cross section; in three dimensions from the Univer>idade de Sao Paulo, was in the its shape is similar to that of the Iceland plume. ancient continental interior of Brazil. The second, Directly above the anomaly is the Parana basin, the conducted by Paul Silver and u workers from the site of huge flood-basalt eruptions about 130 mil- University of Arizona, was» in the Bolivian and lion years ago and alkalic volcanism 80 to 90 mil- northern Chilean Andes I see Year Book 94, pp. 109- lion years ago. The intriguing question is whv such 115), Inversion of the travel times collected by both an anomaly should be present so long after the end networks, a& well a-> by nearby permanent stations, wa* carried tmt h\ John VanDivar, another former WfMui Fellow now at Nature magazine, and his colleague* at DTM dtid collaborating institutions, As d rtsulr, the Jipper-Tiijntle structure across the entire N>uth AmtTkiT'i continent lias been imaged with tdtnted *putia2 revolution (Figure 3). The a-dipping, hr^h-idnan anomaly dt the ! c*>ri'ns nuif i£n« < >i thv %nnittntTti twees the >ubdiic- tiii r,*'t! r Nt:/^! j^Lttr k-neafli S^uth Ainrrka well to the ! .uvr 'put^lt Iijj;h vduciLe^ e\tt'i;dinp; » it ky*t tiwhr- dxinh af t»tc t.^tetn eid of the

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^ti Frjiu^ ,k • ,.*•:»' ??, the :!;•. »t ,ii\ ,cnt ti^fiiit'^ta] CARNEGIE INSTITUTION

of magmatism and presumed mantle upwelling. tual information for a variety of geochemical and The answer suggested by VanDecar and coauthors petrological studies now being carried out by Richard is a combination of mantle temperatures that Carlson and Steven Shirey of DTM, Joe Boyd of the remain higher than normal and a distinct mantle Geophysical Laboratory, and their colleagues at col- composition that has stabilized the hot material laborating institutions. That work includes charac- against further ascending flow. Whatever its origin, terization of xenoliths from the many kimberHte the anomaly has sufficient vertical extent to suggest pipes in the region, as well as geochronological and that the thickness of mantle material moving west- geological documentation of the major magmatic ward with the South American crust must be many and deformational events that have marked the 3.6 hundreds of kilometers, much greater than the gen- billion years of preserved history of southern Africa. erally accepted thickness of the tectonic plates. This The overarching goal of the interdisciplinary project inference is fueling new ideas for the nature of is a significantly improved understanding of the mantle dynamics in the Atlantic and for the more processes that led to the formation and stabilization general question of the nature of the forces driving of ancient continental cratons. plate motions.

SOUTHERN AFRICA SEISMIC EXPERIMENT

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' . . . Strain Transients An even more ambitious portable seismic experiment aimed at elucidating the deep structure of an ancient Much of the ongoing work at DTM on the continent is now underway in southern Africa mechanics of earthquakes can be broadly regarded (Figure 4), The experiment, led by David James and as the study of strain transients, i.e., temporal varia- Paul Silver and their colleagues from the tions in rates of deformation within plate boundary Massachusetts Institute of Technology and several zones and their relationship to earthquakes and universities and mining companies from the plate motions. Strain transients can be classified Republic of South Africa, Botswana, and Zimbabwe, into four groups. Coseismic strain accompanies involves 56 broadband stations operating at nearly 80 fault rupture during an earthquake, Postseismic strain transients, which arise from slow fault slip sites iiver a two-year period. Compressional and following an earthquake and from the diffusion of shear wave arrival times will be inverted to determine stress surrounding a zone of earthquake rupture, the three-dimensional structure of the crust and have been well documented, although a full charac- upper mantle beneath the network, which has an terization of governing mechanisms and time scales aperture of 2000 km in its long-axis direction, This remains Incomplete. Strain transients that precede high-resolution structure will provide critical contex- and perhaps even trigger earthquake?, constitute a , CARNEGIE JON

most interesting third category. If such transients Pollitz and Sacks (Figure 5) indicate that the condi- are common and can be recognized, their impor- tions favoring seismic slip on the fault that eventu- tance for earthquake warning is manifest. Finally, ally ruptured during the Kobe earthquake steadily there are strain transients not evidently associated increased in the-half century following the great with earthquakes, or at least earthquakes compara- Nankai Trough events. ble in size to the strains involved. Following the 1989 Loma Prieta and 1992 Number of events per day calculated using 30-day time windows Landers earthquakes in California, a general appre- ciation among seismologists emerged that the coseismic strain accompanying large earthquakes can affect the state of stress on nearby faults and adjacent segments of the same fault, thereby increasing or decreasing the near-term probability of earthquake occurrence on those neighboring fault systems. Former Carnegie fellow Fred Pollitz, now at the University of California at Davis, and Selwyn Sacks have recently demonstrated that the 89 90 91 92 93 94 95 96 97 long-term effects of stress diffusion following large Time (Years) earthquakes can have larger effects on nearby faults than the coseismic strain, but over time scales of decades rather than the few years or less over which aftershocks and fluid flow within the fault zone typically occur. A particularly strong example is provided by the devastating 1995 Kobe earthquake in Another type of coseismic and perhaps postseismic Japan. This event, unanticipated on the basis of strain associated with the Landers earthquake has previous seismic records, occurred on a fault influ- recently been discovered by postdoctoral associate enced by the postseismic strain following two great Shangxing Gao and Paul Silver. The 1992 Landers earthquakes that occurred in 1944 and 1946 along earthquake was unusual in that seismic waves from the Nankai Trough, the boundary between the that event apparently triggered seismicity at a num- Philippine and Eurasian plates offshore of central ber of sites hundreds of kilometers distant from the Honshu. Models for that postseismic strain by epicenter- What Gao and Silver have documented is that the enhanced seismicity stimulated by the Postseismic Stress increase Landers event has an annual cycle, but one for which the cycle peaks are slowly decaying to normal levels (Figure 6). Their interpretation is that the annual periodicity is driven by variations in baro- 1995 Kobe metric pressure, a hypothesis that leads to the sur- Earthquake j prising inference that stress perturbations as small as a few tens of millibars are capable of affecting seismic activity. If their hypothesis is correct, then the triggering of seismicity in 1992 may have been at least partly the result of coseismic changes in the local static stress field. The decay in the amplitude 2000 of the annual, seismicity cycle, Gao and Silver suggest, may reflect postseismic diffusion of those coseismic stresses.

Borehole strain instruments, such as those developed by Selwyn Sacks and colleagues, because of their good sensitivity at periods of months and less, provide unique information on strain transients of CARNEGIE INSTITUTION

by the temporal patterns of fault rupture during large earthquakes. Second, the slow earthquake SRL DIL occurred along a segment of the fault system that

SJTGAM1 also experiences normal earthquakes of similar equivalent magnitude. Slow earthquakes are thought to be common along some plate boundary fault zones, notably in oceanic regions, and they may accommodate a significant fraction of the relative plate motions along such boundaries. Many more events of the type shown in Figure 7 must be 18 19 20 observed and characterized, however, before the Days (Dec 1992) relationship between slow and normal earthquakes and their underlying distinguishing mechanical processes can be understood.

Merriam's prescient view that seismology was a field ripe for discovery remains valid more than three quarters of a century later. While the Wood- Anderson seismometer has been supplanted by a all types. Such instruments recently yielded particu- new generation of broadband seismometers and larly clear evidence to Alan Linde and colleagues strainmeters, we are still discovering first-order for a type of strain transient known as a slow earth- features of the earth's internal structure and we quake, a discrete slip event along a fault that occurs have yet to solve what Wood termed "the earth- so slowly that either no seismic waves are generated quake problem." Through the continued invest- or any accompanying earthquakes are much smaller ment in novel instrumentation, a careful selection than would be expected for the amount of slip and of creative experiments, and a willingness to area of fault involved. Strainmeter records from the await and then exploit new types of observations, slow earthquake, which occurred in December 1992 Carnegie staff, fellows, and associates can expect along the San Andreas fault in California, are to continue to reap the large scientific returns yet shown in Figure 7. There are two remarkable promised by seismology. aspects of these records. First is the complexity of the week-long event, comparable to that displayed — Sean C Solomon

0TM stiff an the front , December 199 (left to of tot): Sean SptefrisOsfj, Janice D'ttnlap., ¥» cler Lee. Second row: Cartse**., Sandy Keiser, M&rri WolC, Mi""- "' *' Ko^rteniarnip, Roy Scafca. Hich»el ftegift lust rom: 'trm Kauri, Thamats AkSricti,* David James, Him ¥»fili»!i,, and Georg Rumpte Wk&tiMt&* .-•« -•••- •?95 - &>:•'"

. Craig R Bina, Northwestern University Jj TI; DoTi.'nguez Unarrsdaa Naaonal Autonoma [ Ingi Th. Bjamason, University of Iceland, Reykjavik cfe .Vie- c- " ' Ines Lucia Cifuentes, Carnegie Institution Robert A. Dur.n. 'Jmersity o/ Oregon '• of Washington Ka:iv>ri rioppe, Pr-ncercrr Uavers/D/ Timothy J. Clarke, New Mexico Institute of SraCi-rg Huang, /r^n.^ Pc->Aecrmc Institute Mining and Technology rsj S'te LriersiT/ Robert L Dickman, National Science Foundation Hzrj LJ. '-'"">.'.e.*s'.v cr'Ccs(orp,,a at Los Angeles Francis O. Dudas, Old Dominion University r As 0T2/. H Her^-es. U" .iwnr/ ofCcpe Tcvsn Rosemary Hickey-Vargas, Ronda International Jvsci s Pc'*t, Cvfej /nsMUc of Technology University 'r.tri K-5 T1-©, C^'foT'i. 'r.stiure of Techno'cg/ Anthony J. frving, University of Washington Tsuyoshi Ishikawa, Shizuoka University, Japan Christopher R. Kincaid. University of Rhode Island Ailsson M. MacFariane, George Mason University O ruocr.er J. 3-&.1, ^ri.=r;i:/cri.verpc3' Julie D. Moms, Washington Un/vers/ty, St Louis i 1 C;t.&: i rasiett//c:!sc. r?evi 3""n.5h Suzanne W. Nicholson, US Geological Survey, 5? 30 tfzr/fir*. Reston rr:', »~vni.e. U-^-e-'V of DL!re? 5ounc; Jeffrey J. Park, Yale Urwersity ic* M >T*-?r ..i" .eT't/ o* Mcylcnd Jeroen E. Ritsema, Universty of California, Santa Quz :-. E P ?,'-c:-'v>.:'d.S';^^'i;.:'-L-£:pc-,f D.C Stuart A. Rojstaczer, Duke University r r • .* v ^ /t—-.*•.. •'/:•;,* " t"; S'u.'hrz*' Raymond M. Russo, Jr., Northwestern University Pad A. Rydelek, 'diversity of Memphis Martha K. Savage, Victoria University, New Zealand •-",• 1 '•> •.-• '.1u-,;---vJ Patnck O. Seitzer, University of Michigan, Ann Arbor ^'jr i* -Zfri" '-T'ar. Si. Lu'wfe.TCe L/livers*/ Yang Shen, Wisods Hole Oceanographic institution David W. Simpson, Incorporated Resear&, fwEocUi'onj* jor jetsrw'og) ' .-• •' '- • ..,,.....'. J. Arthur Snoke. Virginia Polytechnic Institute '' ' ".' and State University * Nathalie J. Va!ette-SnVer, National Ocecnographc v..:o; " &.: )*?.' £"•. -- ,• • ? -sr'51"'1 ce sr 1 kvaphenc Adnvmstnxion £ isibelh Vv'jdcm. Mtam, University, Ohio 1 r -> _ . • , - i- \ ' .. \ •''. /v * clA.- * >:'.' C: 3c'. £ -i: *^ A:-i*^: Davjd P. "A' il,am£, Naiond Space Science

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5494 Alexander, C M. O'D., Dust production in the Brown, L, "Daniel Bernoulli"; and "Oliver 5n75 Gao. S.. A Ba/e;ian nonlinear inversion of êis- Galaxy: the meteorite perspective, in Astrophysical Heaviside," in The biographical Encyclopedia of mic bod/-.vnve attenuation factcn, EnJ> Se imo/. Soc. Implications of the Laboratory Study ofPresohr Mathematicians, Salem Press, Pasadena. Calif., in press. Am 87. 961-970, 1997. Materials, T. J. Bematowicz and E, K. Zinner, eds., pp. 567-594, AlP Conference Proceedings 402, American Brown, L, "Richard B. Roberts," in Amencan 5467 Graham, j. A., Star formation associated /#rth Institute of Physics/AlP Press, Woodbury, New York, National Biography, Oxford University Press, in press. the NE radio iobe cf NGC 5123 (Cor, A), in Stir 1997. (No reprints available.) Monnoron NevondFar. S. S. Hoit md L G Mur.d/, Brown, L, "Sir Edward Appieton"; "Waither eds, pp. 555-557, AlP Conference Pro;eedr<££ 393, 5447 Barruol, G, P. G. Silver, and A Vauchez, Bothe"; and "Richard B. Roberts," :n Tne Biographical AiP Press. New York, 1997. Seismic anisotropy in the eastern United States: deep Encyclopedia of Scientists, Salem Press, Pasadena, Calif, structure of a complex continental plate, J. Geophys. in press. Graham, j. A. 3 /merer, ics card jbssrpticn J~. Res. / 02, 8329-8348, 1997. young stellar objects. Ac^prvs j .n preii. 5489 Brovvn, L. J. H. Bryant and N. Koizumi, eds.. 5438 Bma, C R.( and P. G. Stiver, Bulk sound travel Japanese Radar and Related V/eopors of V/orld War II, 5440 Graham, J. A., R. L Pheip; W L Freedrrar.. ••' times and implications for mantle composition and by Y, Nakagawa, Aegean Park Press. Laguna Hilt. a/., The HubWe Space Tet-scoce otragauct.c a stance outer cone heterogene'rty, Geophys. Res. Lett 24, 499- Calif.. 103 pp.. 1997. (Available for purchase from scale key project Vii. The ds::cvc*r/ of Cecheids -r 502, 1997. the publisher.) the Leo I sroup â.ax> NGC 335' -not'-.,:., •'."'" 535-559. "997. 5453 Boss, A. P., Giant planet formation by gravita- 5471 Butner. H. M., H. j. Walker. D. H. Wooden, and tional instability, Science 276. 1836-1839, 1997. F. C Wittebom, Examples of comet-Mre spectra 5468 Hart. W. K.. R. vV. Carsin, .rd S E Srsre-. among p-Pic-like stars, in From S*crc/js£ to Rsd;ogep.c Os T pnrruiive aasaits *"irrv* t^.e rcth- 5454 Boss. A. P., Collapse and fragmentation of mol- Pkmete&mafs Cortrtbateti Pcpe*s, M. E. Kress A. G. G v/estem U.S A* impiicaticni fcr peh.rc?ere;.-i. hwr ecular cloud cores. V. Loss of magnetic field M. Tielens. and Y. j. Pendieton, eds.. pp. 13-17. NASA F!ar.ei Sa Lea .50. 103-i ID. :9?7. " support Astrophys.]. 483. 309-319. 1997. Conference Publication 3343. NASA Ames Research Center. Moffett Reid. Calif, 1996. Haun, E. H, Melt mi.val.cR arc âit,e <:«uro- 5459 Boss, A. P., Earth-Moon system: ongtns, in matograpiy, i smplsfiee thecr. a-.d c^r.d.t,:n: 'cr Encyclopedia ofPlanetary Sciences, j. K Shirley and R. 5486 Carlson. R. W., Do continents part pa-is.ve!/, or chemical and isoicpic deccupi-ng. £«.^ ?•:'.«. *• W. Fairbridge. eds., pp. 223-228. Chapman & Hall. do they need a shove?, Soence 2 73, 240-241 \ 997. Lc-r,, in press. London. 1997. (No reprints available.) 5430 Carlson. R, W., S. Esperanca. and D. P. Svisero, 5478 Haun, E H, and S. R. Hart. Rhenturr. aour,- 5460 Boss. A. P., Capture mechanisms, in Chemical and Os isotopic study of Cretaceous pot£is- dances and s/slerratcs in ccea^.c Dasa!t>, CreT, Encyclopedia of Planetary Sciences, j. H. Shiriey and R. sic rocks from southern Brazil, Cc":ro Minerd Pefct Geo/ogy f39 i 85-205. 1997 W. Fairbridge, eds. p. 76. Chapman & Hall London, .'25.393-405. 1996. 1997. (No reprints available.) Hau<*i, E H.. and M. D. Ike, Me!r ^ 5435 Chambers, j. E.. Why Haiiey-types resonate but and mantle chroflnatography. 2 a *i.ir,e-s',-pss Os 5477 Boss, A. P.. The formation of planetary systems, long-penod comets don't a d/narmca. distntton isotope studv cf MiL.na Lea *c cd^c. Ha^j., c::*r in infrared Space tnterferometry: Astrophysics & the between short- and long-penod comets, icarus i2S Flintt Sa Lsrt. 'n c^^s Study of Earth-tote Planets. C Eiraa et oL, eds.. pp. 3-8, 32-38, 1997. Kluwer Aeademsc Publishers. Dordrecht. 1997. Mil. R. ;r u Fa-ryese. P B St«£cn A S^ra 5474 de Blok, W. J G. and S. S McGaugh, Dark mat- W. L F'needmar- j A G-aharriC? :.•. Tr»c e>wi-£idtt: p f 5490 Boss. A. P., Temperatures in protoplanetary ter m tow surface brightness galaxies in Dor* cr.d distance scale J-e/ prc;ert /. hctorretr. c !\e li disks, m Origins of Planets and life, H. j. Metosh, sd., Vatfe Matter in Ga'aA:es, M. Persic and P Saluco, eos.. brghiest stars .n M- 00 ard t e ca.-c^t.c'i ct v\F?C2, pp. 53-80. Annual Reviews. Inc. Palo Alto. Calif., 1997. pp. 39-46, Conference Senes. Vol. 11 f. Astroro^tcal [Prepnnted from Annu Rev. Earth Planet So. 26 ] (No Society of the Pac^c, San Franoscc, !997. repnnti available.) 5446 Hua^S.t S Sick; ar.dj.A Sr.tK* 5481 de B'ck W. j. G.. and S S McGau^h. The T^c'ar.i cess^c effects ct 'c^ft-rsr Boss, A. P., Binary star evolution: ongtn and for- dark and v.sibie matter content cf io

Boss, A.P, Loofeng for Earths: The Pace to Knd 5479 Ei'er. j. M.. K A. Fariey. j. W. V,i;'.ey. E. h*un. w. riuar-g, % ! S $d'J.s *ir.c* j A Ne# Solar Systems, John Wiley & Sons, New York, Oaig. S R Hart, ar.o E. M Sto!per Oxygen .sotope C fef ' .n press. variations ,n ocean island oasa't phenoavsts G*x*>.n Cc$rr.ocn>rr, Acro^.', 2281-2193. '-997, Boss, A. P., The origin of protoplanetary dtsks. :n Proceedings of the Intemattond Ongrns Conference. Ei Geres/ A, F TVa. B Sch.«ck.Ncte. and H. Thronson. M. Shuli, and C Woodward, eds.. E Pemicka, Cr.em:stry art Seac sctcpic canpoiifons i^iKa,va, T, .ancf Teri Scarce. Astronomical Society of the Pacific, San Francisco, of glass from a Ramc&side AO'tahop at Licht and m press. Egyptian read ores a. test 'or a genew. :.nk srd for g the source of gfasi. .n P'cceerkg* cf rtn preis C^5 63;-654. 1997.

5463 Boss. A. P, and P N Foster. Triggering presotfr 5445 K.. G. F 5^*«"jsen ar?d G Mac* c cud collapse and mjecung matenai snto the prtftcfer ROSA r ••sb••sbj::a . ««nn Awopty*caAwopty*ca« iityhcGbct*iityhcGbct* of ire Latwaiw 7*> "5+2 5T3 ?j.Of of Pvsah1. Mstend',*, T j. BernatOAtfz and E K. 2r»nerF'eck, Dp M9-6M, AIPCei%nence Foiser P'-acesinp 402. Arrvancan Institute of Ph/Kv A»P .r-v- A f.*"./ rrrs:i Wooobory. N <. tW.

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i' 5:' ': from P-to-S conversions at the 410- and 660-km dis- c'f . Gi continuities, Geoph/s Res, Lett 23. 3527-3530, 1996

o.,'-.-.pr^tr.t 5450 5hirey, 5. B., Re-Os isotoptc compositions of M'dcontinent rift system picntes: implications for p!uT e-'ithosphere jnteract'on and enriched mantle souras. Can J Earth So K 489-503, 1997.

. :«' Srv*,. 5. B, and R j Walker, The Re-Os iio- tos3 i/item in cosi^cchemistry and high-tefnperr.turc* zecc^Tsistiy, Arij P*/ Eurth P/cnet. Sa. m preK

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THE DIRECTORS ESSAY: Understanding the Earth at High Pressure

'THE GENERAL PURPOSE OF THE GEOPHYSICAL LABORATORY IS TO LEARN AS

MUCH AS POSSIBLE CONCERNING THE COMPOSITION AND NATURE OF THE EARTH

AS A WHOLE AND TO UNDERSTAND THE PROCESSES BY WHICH, DURING GEOLOGIC

AGES, IT REACHED ITS PRESENT STATE."

LEASON H. ADAMS1

H am often asked at social occasions, 'What does matter physics and chemistry, three of the most the Geophysical Laboratory do?" Sometimes I promising areas of research over the past decade answer that we study the interiors of the Earth and have their roots in semi-accidental syntheses of other planets. Usually the questioner nods his or her materials: high-temperature superconductors, qua- head and goes over to the bar for another drink. sicrystals (materials exhibiting an unusual five-fold However, if I say that we use gem-quality diamonds symmetry), and fullerenes (or buckyballs). Although to squeeze different kinds of materials to learn what similar, and in some cases identical, materials had happens at very high pressures, and are even inter- been made previously by man or nature, it was the ested in making diamonds in the laboratory, there is ability to characterize these materials, using a more enthusiastic response. Often, an interesting advanced instrumentation, that made these discov- discussion will follow. eries such exciting leaps forward. The superconduc- tor and fuHerene discoveries, for example, attracted The difference in response to these two explanations Nobel prizes. of our work is, in fact, an accurate reflection of new and exciting shifts in geoscience research. Our ever- The Geophysical Laboratory is recognized through- increasing abilities to manipulate, simulate, and syn- out the world as a leader in the application of funda- thesize materials in the laboratory hold the key for mental physics, chemistry, and biology to problems understanding, if not always solving, the major in the earth sciences. In its early years, few other problems in geoscience and planetary science today. laboratories of its land existed. Today, there are many, compelling the department's scientists to Many important advances result from the synthesis focus more critically on the most promising and and characterization of materials. In condensed innovative research directions. The Laboratory's CARNKGJH INSTITUTION

efforts are unified under the rubric of condensed matter geophysics. Condensed matter geophysics emphasizes the study and synthesis of new and existing materials—including biomaterials, liquids, glasses, and crystalline solids—that can lead to discoveries in such diverse areas as volcanology, planetary interiors, superhard materials, and prehistoric climates, as well as to fundamental understanding of the physics, chemistry, or even biology found at high pressure.

Progress is founded on a combination of original ideas and new instrument capabilities. It is more true now than ever that innovative research depends on the development, acquisition, and upgrading of instruments. And as instruments become more and more capable, they become more sophisticated. Over the past several years, the Geophysical Laboratory The multi-anvil apparatus is used for synthesizing has made a special effort to acquire and upgrade its large volumes of material, such as silicate perovskite, instrumentation in order to be competitive in the (Mg,Fe)SiO3, thought to be a major phase in areas of research of most interest to our staff. Earth's lower mantle; new hydrous magnesium silicates; and iron sulfides, thought to be present in the ( k'nh r ]w High Piessnre Research core of Mars. Often, there is enough material left over to be used in other kinds of experiments. The A highly significant component of our research apparatus consists of three split-cylinder cubic anvil activities takes place as part of the Center for High presses that are used for experiments at pressures up Pressure Research (CHiPR), one of 14 centers (in to 20-30 GPa and temperatures to 2000-2500°C Its different scientific fields) established in 1991 design, construction, and operation is the result of through hinding by the National Science an intriguing interaction among our own scientific Foundation Science and Technology Center and support staff, small companies in Maryland and Program, Principal academic components of New York, and scientific ideas from a number of CHiPR are the State University of New York at different institutions in the U.S. and abroad. Stony Brook, the Carnegie Institution, and the University of California at Davis. Funds suppled by Diamond-anvil cells employ two brilliant-cut dia- NSF, the three institutions, and external grants are monds (from 1/8 to 1/3 carat in size) pressed used to support a variety of initiatives related to together with a mechanical device. The diamonds, high-pressure research. m The principal #

in turn, compress a polycrystalline or single-crystal theme will be distinctly different from the previous sample. In addition to its extreme hardness and one, but that will build on experience gained in the compressive strength, diamond is unique in permit- intervening period. ting pressures up to and beyond 360 GPa—the pressure at the center of the Earth—while at the same time allowing a variety of physical measurements to be made.

Unfortunately, many of the natural diamonds used in most high-pressure experiments contain mechanical flaws and inclusions of other atoms, such as nitrogen. The flawed diamonds break before the ^<" :^-'^L,.;- '^ J sample being studied reaches very high pressures. Those that contain inclusions create a fluorescence that interferes with the light emitted by the sample in spectroscopic experiments. Collaborating with the General Electric Company, we are currently testing synthetic G.E. diamonds for strength and fluorescence. The results thus far are very promising, and show spectroscopic details not observed previously with natural diamonds.

For the past several years, some of the most exciting research on materials has been conducted at national synchrotron facilities, both in this country and abroad. Geophysical Laboratory scientists, led by David Mao, Russell Hemley, Yingwei Fei, Larry Finger, George Cody, and myself, are involved in the design, construction, and operation of experimental beamlines at two different U. S. synchrotron radiation facilities—the National Synchrotron Light Source at Brookhaven National Laboratory (NSLS) and the Advanced Photon Source (APS) at Argonne National Laboratory. We also conduct experiments at the Cornell High Energy Synchrotron Source (CHESS), and at the European Before CHiPR was founded, the United States was Synchrotron Radiation Facility (ESRF). The APS not competitive on an international scale in many and ESRF axe "third-generation" synchrotron-light- aspects of high-pressure research. Now, because of source facilities, dedicated to the production of CHiPR's advances and the consequent incentive for extremely brilliant x-ray beams for research. The other American research groups, we are doing very advantages of these x-ray beams over those in older well. CHiPR is in its seventh year of funding from machines is that they allow scientists to study small- NSF and wiU continue for at least four additional er samples, more-complex systems, and faster reac- years. NSF has announced that there will be a new tions and processes, and to gather data at a greater competition for Science and Technology Centers rate and level of detail At the APS, a beam of that will require a new proposal in 1998 in order to positrons (positively charged electrons) are accelerat- avoid a lapse in funding when the current grant ter- ed in a linear accelerator to 200 MeV and beamed minates. We intend to submit a new proposal whose on a tungsten wafer, creating electron-positron CARNEGIE INSTITUTION

pairs. The positrons are separated magnetically and We are implementing state-of-the-art IR and x-ray accelerated further to 450 MeV. They are collected in facilities at the two rings for diamond-cell applications. an accumulator ring and injected into a booster synchrotron, where their energy is raised to 7 GeV. In ultrahigh-pressure research, the power of an inte- They are then injected into the 1104-meter storage grated approach is far greater than the sum of indi- ring, where they orbit and generate x-rays when pass- vidual techniques. Comprehensive understanding of ing between bending, undulator, or wiggler magnets. high-pressure phenomena relies on a combination of complementary measurements. Because fundamental "First light" was produced at APS in March 1995. alterations in bonding and interatomic interactions Geophysical Laboratory staff, in collaboration with are induced by extreme pressure and temperature colleagues participating in the Consortium for conditions, these phenomena are mutually related. It Advanced Radiation Sources at the University of is most desirable, and often essential, to study the Chicago, have been performing experiments there same sample at the same pressure and temperature since early 1997. Synchrotron usage is similar to the with various spectroscopic and diffraction techniques. use of telescopes by astronomers in that the researchers Above one megabar, diamond anvils break when the must travel to remote locations and make measure- pressure is released. To perform a separate experiments of photons with extremely sensitive detectors. ment for each type of measurement not only multi- plies the cost and time, but also introduces severe uncertainties in data correlation. The integrated study eliminates the common controversy of comparing separate studies with different samples at different times and conditions.

We plan to add key equipment at NSLS to create a comprehensive, integrated center for high-pressure experiments. This will involve integration of a diamond-cell operation and sample preparation laboratory, a laser-heating laboratory, a Raman/fluorescence/optical system, and a Brillouin spectroscopy laboratory. We are also building at NSLS the only synchrotron infrared beam line in the world devoted to studies of condensed matter geophysics. Each one o of these techniques is capable of probing a multitude of valuable material properties. For example, compre- Because of the availability of synchrotron facilities hensive geochemical studies of vibrational and elec- and advances in high-pressure instrumentation, the tronic properties of minerals require both Raman and study of materials at ultrahigh pressures is currently IR data that follow different selection rules. The experiencing an unprecedented surge of break- combination of synchrotron x-ray diffraction and throughs deemed inconceivable only a few years ago. Brillouin spectroscopy yields complete geophysical As megabar experimentation becomes freed from information comparable to seismic observations of previous technical limitations^ a wide range of new the Earth's interior. scientific problems in physics, chemistry, materials science, and planetary sciences can be addressed. We expect that this new approach will replace the Many of these advances were originally developed by usual fragmented mode of synchrotron experimenta- Geophysical Laboratory scientists at the NSLS, tion, in which users preload their diamond cells at which is the only synchrotron source in the world home prior to traveling to perform a single synchro- housing two rings under the same roof. One ring tron experiment at an assigned beam line, will evolve provides high-brightness infrared (IR) radiation, into an integrated environment where users can con- while the other provides high-energy x-radiation. duct interactively and efficiently a complete experi- CARiNEGIE INSTITUTION

ment from sample preparation and cell alignment to smaller than what the planned upgrade will give the an array of synchrotron and spectroscopic studies. Laboratory and its collaborators. The new system We anticipate that the NSLS center will become will be unique internationally as a state-of-the-art an international resource for users in the high-pres- supercomputer dedicated to mineral physics and sure field, and will be used to address major prob- geochemistry. Key problems to be studied include lems in experimental geophysics and geochemistry phase diagrams, equations of state, elasticity and of planetary deep interiors. anelasticity of important mantle and core phases and melts, and the energetics, nuclear magnetic reso- 1. heoretical Mineral Physics nance spectra, and dynamics of natural organic systems and organometallics. Throughout its first 80 or so years of existence, the The First Billion Years Geophysical Laboratory concentrated on experimental approaches to scientific problems. However, In early 1997,1 began thinking about a theme that it became apparent that theoreticians were begin- encompasses much of the research being conducted ning to develop computational approaches to at the Geophysical Laboratory and the Department explore properties of and processes in crystals and of Terrestrial Magnetism. It occurred to me that molecules. there are many mutual areas of interest in studies involving the physical, organic, and biological use only fun- processes that took place during the first billion damental years of Earth's history, as well as related events quantum occurring before and after this period. Recent appli- physics in cations of theory, modeling, and experimentation their calcula- have shown that we can learn much about what was tions (first- going on during the first billion years, even though principles cal- there is little direct geological evidence from that culations) to period. (Table below shows some of the most help under- important events.) stand experimental observations, to guide the selection of new experimental studies, and to make predictions outside the currently accessible or studied regime, Ronald Cohen joined the Laboratory in 1990 to Years Before Time from Year Event develop such a research program and, in 1995, he obtained a grant from the NSF Academic Research 4,566,000.000 0 Early condensation of refractor/ material Infrastructure Program to purchase a departmental 4,565,OCC,0OQ 1,000.000 Formation of supercomputer, an 8-processor (recently upgraded to pianetesmais a 12-processor) Cray J916/8-1024. 4,555.000.000 11.000,000 Igneous activity sn planetesimals This machine has allowed Cohen and his colleagues 4,500.000000 66500,000 Moon formed to pursue computational problems that would other- 4,450,000.000 n 6.000.000 Core segregation, atrr.cs- wise have been impossible. However, even when phenc cutgassing using the machine at maximum capacity, there are 4420.O0C.0O0 i 36,000,000 Final accretion of Eartn limits to the size of problems that can be addressed; 3L50O.OQC.OGQ 7&&.0OD.0O0 Oldest known ••-ocfe - eldest j.fe>?? requirements of state-of-the-art first-principles computations remain immense. Cohen plans to 33OC.00O.0OO K066.OCC.000 Oldest krowr fo?sJs upgrade the machine to provide 15-25 times more processing power than is available now, Although much faster supercomputers with large-scale parallel architectures exist, these machines are shared among many institutions, and an individual share is much CARNEGIE INSTITUTION

I discussed the concept of organizing discussion and and processes therein, formation of continents, giant research around the theme "The First Billion Years" impacts, core separation, evolution of the ocean and with Maxine Singer, who helped organize a meeting atmospheres, the chemical and physical processes at the Carnegie Building in downtown Washington, that could have led to first life, and the subsequent D.C. on June 23. The meeting was attended by sev- roles of bacteria and other microorganisms. eral people from the Laboratory and DTM, as well Especially promising is a study exploring how these as by Allan Spradling and Joe Gall from the various events were linked to each other. We are in a Department of Embryology, Greg Ferry from Penn unique position to exploit recent discoveries in these State, Claude Klee from NIH, Singer, and myself. fields and to develop a coherent theme for joint The discussions were lively and informative, and the research that could itself benefit enormously from participants expressed the desire to inaugurate a for- the current interest in the origin of life on Earth and mal collaborative program through specific research on other planets. A collaborative research program projects, symposia, and outreach to the scientific based on the many different aspects of Earth history community and possibly even the general public. in the first billion years might attract enthusiastic support from both federal agencies and private foun- New ideas, new instrumentation, and greatly dations. This is clearly one of the most interesting increased computing power have allowed investiga- areas for research that I can imagine and one that tors to develop viable theories and models about can be addressed immediately without large initial how the Earth formed and evolved during its early investments in equipment and personnel time. I history. Individuals in the respective, co-located believe that the theme has great potential for a num- departments are already working on or thinking ber of new initiatives, including: about relevant topics. These include the role of supernovae, condensation of the solar nebula, accre- • Developing new research directions tion of planetesimals, formation of a magma ocean • Pursuing common research goals that could CARNEGIE INSTITUTION

result in increased collaboration among provide insight to the problem of the origin of life. Carnegie departments and with other The effort led to promising results. Over the past institutions several months, the group—expanded in numbers • Providing increased credibility and basis for by many other researchers—have made several hun- seeking financial support from private dred more runs using a variety of compositions, foundations as well as federal agencies pressures, and temperatures. It is too soon to know • Capitalizing on current interest in origin of how successful the enterprise wiU be, but it is an life and life on other planets excellent example of how the Carnegie modus • Establishing theme for local seminar series operandi allows our scientists to exploit our • Organizing major conference(s) resources and experience to attack an entirely new • Organizing major publication(s) problem on short notice.

H jydrothermal Vents and the Origin of Life Boyd Symposium

A prime example of the type of research program 1 Francis R. "Joe" Boyd such an effort might produce is already under way at . - i::.. *v 'V j retired in June 1996. the Laboratory, led by Robert Hazen. A couple of §| In May 1997 we held years ago, Hazen began to think about the general a one-day symposium problem of how life began, and about how organic in his honor at the Lab. Many of Joe's old friends attended and gave talks related to his research, which covers a wide range of subjects but in recent years has focused on rocks (xenoliths) brought to Earth's surface by kimberlite eruptions. After the symposium, a dinner was held at a local hotel. Former Geophysical Laboratory postdoctoral fellow Steve Haggerty gave a fascinating talk, "Flambcc Royal: Banqueting on Yggdrasil Diamond."

Summer Interns

For the past several years, we have conducted an informal summer program for high school and reactions thought to be essential for life might be undergraduate students. This year we applied for affected by elevated pressures and temperatures. The and received a grant from the National Science Laboratory's extensive experience in conducting Foundation to support the Carnegie Summer Intern such experiments on inorganic materials led natural- Program in Geoscience. Eight undergraduates from ly to consideration of how life might have begun in universities and colleges across the country came to the hydrothermal vents that extended into the crust the Laboratory to participate in a variety of research below the ocean floor. It has only been 20 years projects. In addition, three high school students par- since deep-sea submersibles unearthed evidence that ticipated in the program. We all felt that this effort the mineral-laden hot water surrounding these vents was very successful. The students contributed sub- supports a wealth of biological activity. Following stantially to their individual projects, and we plan to this theme, Hazen, George Cody, and Marilyn continue the program next summer. Fogel enlisted the help of Hatten Yoder and Yoder's high-pressure apparatus for a few experimental runs — Charies 11 Prewilf to assess ho%? hydrothermal organic synthesis might CARNF.tilL JN'STITL July !, !996-June30, S997

Francis R. Boj-d, Jr, Pttrolo^sr Emeritus Brigitte Behrends, Deutsche Akademische George D. Cody : Pamela G. Conrad, CHiPR Associate Austauschdienst, Bonn Ronald E Cohen ! Julie Ko\<\st NSF Associate" Ben Burton, National Institute of Standards Yingwet Fei Jennifer Lmton, CHiPR Associate" and Technology Larr* W. Finger Sean Shieh, Carnegie Fellow Nabil Z. Boctor, Wash/ngton, D, C Marilyn L Fogel Fiorella Simoni, NSF Associate^ Alison Brooks, George Washington University John D. Frantz David M. Teter, CHiPR Associate* John V, Badding, Pennsylvania State University P. Edgar Hare C Page Chamberlain, DepL Earth Sciences, Robert M. Hazen Dartmouth College Russell J. Hemley I. Ming Chou, U S. Geological Survey T. Neil Irvine Cathenne E. Shawl, Northwestern University" lean Dubessy, Centre de Recherches sur la Geobgie Ho-k.var.g Mao des Matieres Premieres Mmerales et Energetiques, Bjorn O. Mysen Vandoeuvre-Les-Nancy, France Charles T. Prewrtt, D oftA'Chgz^ Eran Kanmon, Pzmara College - Lars St xrude, -rSversity cf.Mr** -'"- jur-e- ^czstt, J.\ ;: Lsa McGsl, Cornel' Urwersttf Ncreep. C T'-TOJS Smrtr-s^'c Sebastier, Mervel. Eccfe Ncmate Supe-ecre, David tfoi cnat. £"-irson:ar. * i/ons, France*' Qingcnen War-g C-.neie ^r^der^/ jf Soencts W^e Pirel, £cs/e Norr.aie Sjp&.eure. riak HBTX rurg, Cr *~e:e ^xser.v of£i F Ru-T'jan Zha^g, Ltzrfce './•v.e-s.'y 1 Elizabeth Siranges, .Monigcrw.r,- S/'c h gh Scftoc ' Yi-Ga-g Znar-:, A:-73ef"ifl S r-cs, O^w letob Waidfaaue*. GecrgetCAn Day GuangLar Zo^ •.;'» •jri,ers:T/, CUin- C W B

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?o34 intar, I., arc R. E Cohen, Ong\i, of fen-oe'ec- . 2598 Mvsen, 3., Phosphorus speciation changes across • 2625 Struzhkin, V. V., A. F. Goncharov, R J. Hemley, c tnat/ in LiNbO-j and LiTaO-,, erroe/ectr.cs / 94, 83- the giass transition in Highly polymerized alkali silicate • and H. K. Mao, Cascading Fermi resonances and the soft 96 1997 glasses and me.'s, Am. Mneral. 81 1531 -1534, 1996. • mode in dense ice, Phys. Rev. Lett 78,4446-4449, 1997. • 2617 Mysen, B.. Aluminosiiicate melts'structure, Irvtne, T. N., J. C 0. Andersen, C K. Brooks, • composition, and temperature, Contnb. Mineral Petrol. • Struzhkin, V. V., R. J. Hemley, H. K. Mao, and arid j R Wilson, Included blocks (and blocks within : 127. 104-118, 1997. • Y. Timofeev, Superconductivity at 10 to 17 K tn blocks) in the Sfoergaard Intrusion, East Greenland. : compressed sulfur, Nature, in press. Geo'.. SQC Am Bui tn press, • fiysen, B. O, Interaction between aqueous fluid • and silicate melt in the pressure and temperature I 2655 Struzhkin, V.V..Y. A. Timofeev, R.J. Hemley, 2649 Ita, J., and R. E Cohen Effects of pressure on regime of the Earth's crust and upper mantle, Neues ! and H. K. Mao, Superconducting Tc and electron- d.fLsicn and vacancy formation in MgO from nonem- : Jahrb. Mineral. (Rosenhauer memonal volume), in press. : phonon coupling in Nb to 132 GPa: magnetic suscep- pincal free-energy integrations, Phys. Re/ Left 79, : tibilrty at megabar pressures, Phys. Rev. Lett 79, 4262- 3198-320:. 1997 : Mysen, B., Silicate melts and glasses: the influ- : ence of temperature and composition on the struc- Johnson. B. J, G. H. Milier, P B. Beaumont and : tural behavior of anionic units, in K. Yagi 80th Birthday : 2627 Tera, R, R W. Carlson, and N. Z Boctor, M L Foge', Tne detemTnaticn of late Quaternary pale- : Commemoration Volume, A. Gupta, ed., Indian Radiometric ages of basaltic achondrites and their se*i.'rcnT.eotc at Eqjus Ca^e, South Africa, using stable '. Academy of Sciences, in press. relation to the early history of the solar system, sotcces and amino acd racemization in ostrich eggshell, Geochim. Cosmodttim. Acta 61, 1713-! 73 i, 1997 P^.u?o?e;r' f-'Jaeoarrictol. Pcteoecoi. in press. i Mysen. B., Transport configuration^ properties {No reprints available.) i of silicate melts: relationship to melt structure at mag- . J64 jcy ccr. b J, aic G. H. MJIer, Archaeological • matic temperatures, Phys. Earth Planet Inter., in press. 2659 Trefil, J,. And R M. Hazen, The Sciences: An -satf.catw; 0*" jr^no ac-d racemiztfion dattng, Integrated Approach, 2nd ed, John Wiley & Sons. 4r*-e6rPe*iV 39 2c5-288, 1997. .'No reports ; 2650 Mysen. B. O., F. Hota, M. Pichavant, J.-M. Beny, ; New York, 614 pp., 1998. (Available for purchase b' ; and J.-M. Montel, Solution mechanisms of phosphorus < from the publisher.) • m quenched hydrous and anhydrous granitic glass as a • I=i*: K-- S D. 5 Baiatf-andar andj.j.!t2 Using i function of peralummosrty. Geothm. Cosmochm. Acta .i 2620 Yang, K. R T. Downs, L W. Finger, R M. S'aSr.'V.'lci* c:':Hs tAO-pcnt ccrretaticn function ; 6/. 3913-3926. 1997. : Hazen, and C T. Prewitt, Compressibility and crystal lo ;tu». ;cr,-e:T;cn .v tn "-.ul+jpie phase transforms- i structure of kyanite. AbSiOs, at high pressure. Am. t'O-cScc-,; ?e; _err ,M 7C3-706. ;99^ : 2642 Paeri, H. W.r C Agudar. and M. L Fogel, \j Mineral. 82.467-474.^97. . Atmospheric nitrogen deposition in estuanne and • J Sc-Jtncr. P. E Hare, and Ft E. coasta! waters: biogeochemical and water quality i! 2647 Yang, K. R M. Hazen, R. T. Downs, and L W. "a :: Acre^-itcr.i:: sserjsmetr) -Afc impacts, in Atmospheric Depos'tion of Coritarrunants to ;: Finger, Structural change associated with the incom- "fc^-'-jr-cr: "• -jsr. 'gram sjtrnp'es, TI rt • the Great Lakes and Coastal Waters, J. E. Baker, ed.. i: mensurate-normal phase transHJon in akermarate, CT-V. 0'?-- : r,:-jj'c .j'-.jS'OC^rr.caraVMS ; pp. 4! 5-429. SETAC Press. Pensacota. Honda, 1997. I\ CaiM&hOj, at high pressure, Phys Chem. Minerals .' O-i «c. Cr. ;,. sp. -G--442, ACS S/mposum • ifvlorepnnts available.) •: 24.510-51* 1997 Se-e. sl.5 Amencsr. Cr*"i:ca. Sooet/. Washington, i -ep'r T:aIlMte Rumble. D., andIZ D. Sharp, Laser microanaly- i Yang, H, R M. Hazen, L W. Finger, C T. sis of silicates for ' 0/ "O/ "O and of carbonates for ; Prewitt, and R T. Downs, Compressibility and crystal 'O/'Oand G C. in Soaety of Economic Geotogsts, ;i structure of sillimanite, AI2Si05, at high pressure, Am. Shot Co-rce Notes, m press. \\ Mineral., in press.

Russe'l, S. 5., T. j. McCoy, E. jarosewich, and R I Yang, KRM. Hazen, GT. Prewitt, LW. D. Asn, The BumvweH, Kentucky. iow-FeO chondrite i Finger. R Lu, and R. j. Hemley, High-pressure singie- fa!1- descnpt.01. classficatioa and origin, Ataeon&os ; ! crystal x-ray diffraction and infrared spectrascopic Prrer S:..,fr. press : studies of the C2im#2Jm phase transrbon in cum- '. mingtontte. Am. Mineral, in press. 263c Sigh.-Szahc. G. and R. E Cohen, Long-range p prde; effects m FfcfZr.^Ti, 2p>. Ferroelecjics 194, & ; 2624 Yang, KCT.Prewftt, and D.j. Frost, Crystal .'/: =t. s;5 >--. ,997 ,: structure of the dense hydrous mangesium silicate, : phase D, Am. Mineral, 82,651-654, 1997. : c V A v- -"T ! **• " - » '^".t-*, . ;O58 Sd«+r-SzaboG.and FLECchen. Longran« .-- : s*2 -c- -.::: J ;: s zr T. : ± j-, n,cD.re zrz oxer effects n lerrcelectnc PbZr,,-.Ti,rO^, m Solid- r i 2654 Yoder, H. S., jr. Planned invasion ofjapon, wi,; to ,-.^r-x-, - t.r.i-ite;^ r.:r pêrû'-e;a-c Sus Cr.e.-r^.r. s, ;TOT?&T.« .Morer,^ P'. It JJaveset • 1945: The Siberian Weather Advantage, Memoirs of t'.-pi-..:-'c: — ; '--: r^ ^:Â2 ^9? a. ess.pp 9:-^0(, S/mpos.um Proceedingsvoi f the American Philosophical Soaety vol. 223, . . . . 453. Matena.3 Research Society Pittsburgh, 1997. : Philadelphia i 6! pp., 1997. (Available for purchase .'.-. >.-' -- •• ^ i r „ £^.f, .'dr Cn press. L .•-. -1 := :•.-=."• /.*-._ --c* r:-;,- • &&: -rt :D,f "OL*-. S ,r thes.o, crvftai r.iJC!ure and staoSlv f : ^"' - "•";• " •*"".• ••*"V4'? :•-' 3 A.S.CÔH. 3 -tg*i D^ssure r,rd«-ajs phase.^m ' _. Yoder, H, 5., jr., Petrology, in Sciences ofvre Earth: An Erc/dopeaia of Events, People, and . Phenomena, G. A. Good, editor, Garland Publishing, S:^3,-a?^ K S. P.; Hen-ie,, A F Harr>cer*. Ccm, in press.

2600 Ysc, C 5,r j Akeiia, A, j Campbell. H £ Mao, • 3rd K j. Herlev. Rep^y to technical comment 1 -Detecting phases cfiron'\ Science 275,96, i997. ;.'..> ..«•--<'.'..•: a r.f, Z) >., (jnc G A Gcodfnera Recent 2629 Youn^ED., D. vVgcx and R. K. Popp^ Eliminating . closune jr. miners? formulae v*;th spedf

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jf 3 Mv^SO* 10 the Carnegie Administrative Personnel Carnegie Academy for Science Education

Lloyd Allen, Building Maintenance Specialist Michael J. Charles, CASE Intern Sharon Bassm, Secretory to the President Ines L Cifuentes, CASE Director Shemll Berger, Research Assistant, External Affairs Laura De Reitzer, Mentor Gloria Brienza, Budget and Management Analysis Manager Linda Feinberg, CASE Administrator and Editor 2 Don A. Brooks. Building Maintenance Specialist Theresa Gasaway, Mentor Teacher 7 Cady Canapp, Human Resources and Insurance Manager Eduardo Gammara, Mentor Teacher 1 Margaret Charles, Secretary Maritsa George, Mentor Teacher Patricia Craig, Editor and Publications Officer Jacqueline Goodtoe, Mentor Teacher* Nicholas DeCario, Grants and Operations Manager' Alida James, Mentor Teacher Sonja DeCario, Grants and Operations Manager* Charles James, CASE and First Light Director Susanne Garvey. Director of External Affairs Mary Beth James, Mentor' Ann Keyes, Payroll Coordinator Jacqueline Lee, Mentor Teacher* Jennifer King, Assistant Editor Jennifer Y. Lee, CASE Intern" 2 Jeffery Lightfield, Financial Accountant Martin Murray, Mentor Teacher 1 John J. Lively, Director, Administration and Finance Sandra B. Norried, Mentor 2 Trong Nguyen, Financial Accountant Rose Marie Patrick, CASE Mentor 1 Loretta Parker-Brown. Administrative Secretary1 Gwendolyn Robinson, Mentor Teacher 1 Catherine Piez. Systems and Fiscal Manager Greg Taylor, Mentor Teacher and First Light Assistant Arnold Pryor, Facilities Manager Jerome Thornton, Mentor Teacher and First Light Assistant Maxine Singer. President DeRon Turner, CASE Intern'' 1 Susan Smith, Administrative Secretary" Joan Turner, Mentor Teacher John Strom. Facilities Coordinator Danyll Vann, CASE Mentor Kris Sundback, Financial Manager Sue White, Mathematics and Evaluations Coordinator 1 Vickie Tucker, Administrative Coordinator!Accounts Payable Laurie Young, Mentor Teacher Ernest Turner, Custodian (on call)- Susan Vasquez. Assistant to the President Yulonda White, Human Resources and insurance Records Coordinator Jacqueline Williams, -Assistant tc Human Resources & Insurance Manager

To May 9. \W From )uly I. 1996 to September 1. 1996. and from June 20. 1997 • from April 23. 1997 • From ]dy !. 1996 to September 1, 1996 ToMiyH. 1997 From June 20. 3997 'From June X i'997 'FromJune J$. 1997 Tojjwuary i. 1997 'From July I. 1996 to August 5. 1996 /1 • ;,.,.,. •The Q^jlit^l Science Lectur^sponsored by the ir with siibsMriiial suppoft fror*||luman Genome Scienceif' jthejohnsm & Johnson Family of Conj^nies, and the-'-7 •' Scherirt^lfeugh^Corporation, are held monthly during (t^e aca^emfc year at the Carnegie Building in downtown Hi ^kshiiiigtte, D.C. The lectures are free and open to the riiplic. Sppkers also meet\ihfo Afe[ly with groups of high sciiool students. During the,l9^B97year^ the following J:ectures wjere given: , ^|^ *?$$'

Publications of the President

Microelectromechanical Systems (MEMS): It's the Little Singer, M. F., Behind the Endless Frontier, in AAAS Science and Technology Policy Yearbook Things in Life That Keep You Going, by Susanne Axney 1996-1997. A. Teich, S. Nelson, C McEnaney, (Bell Labs/Lucent Technologies), October 29,1996 eds.. American Association for the Advancement of Science, Washington, D.C., pp. Finding and Forming Extrasolar Giant Planets and 5-18, 1997. Brown Dwarfs, by Alan Boss (DTM, Carnegie Institution), Hazen, R M., with M. F. Singer. Why Aren't Block November 19,1996 Holes Black? The Unanswered Questions at the Frontiers of Science, Doubleday, New York, 309 pp., 1997. Our Galaxy: Past, Present, and Future, by Vera Rubin (DTM, Carnegie Institution), December 17,1996 Singer, fi, F,, and P, Berg, eds., Exploring Genetic Mechanisms, Universit/ Science Books, California, 674 pp., !997. Designing New Plants, by Christopher Somerville (Department of Plant Biology, Carnegie Institution), January Hohjoh. Hirohiko, and M. F. Singer, 21,1997 Ribonudease and high salt sensitivity of the ribonudeoprotein complex formed by the human LINE-1 retrotransposonj. Mol BioL 271, Infectious Disease: The War and Our Weaponry, by 7-12. 1997, Richard Young (Whitehead Institute for Biomedical Research, Hchjoh, Hirohiko. and M. F. Singer, Sequence MIT), February 18,1997 specific single-strand RNA-binding protein encoded by the human LINE-1 retrotransposon, The Earliest Life on Earth, by \jynn MarguEs (University of £M8Oj. 16, 6034-6043, 1997. Massachusetts), March 25,1997 .

The Changing Ocean0E^$$>^Wdm H. Munk (Scripps Institution of Oceanogriptijr,* tfc&m^'of CaHfornia), April 2% 1997

HIV and AIDS: Science Confronts an Epidemic, by WiEam E. Paul (Office of AIDS Research, NIH), May 20,1997 CARNEGIE INSTITUTION for the year ended June 30, 1997

Carnegie's goal is to maintain the long-term spending power of its endowment. The result is a budget- • ... r's Mule; In this profile, references to spending levels or endow- ing methodology that includes: ment amounts are on a cash or cash-equivalent basis. Therefore, the figures used do not reflect capitalization, depreciation, or other non-cash amounts. * averaging the total market value of the endowment for the three most recent fiscal years, and Carnegie Institution of Washington relies upon • developing a budget that spends at a set its endowment as the primary source of support for percentage (spending rate) of this three-year its activities. This reliance results in a fundamental market average. independence in the conduct of the institution's scientific programs, both now and in the future. During the 1990s, this budgeted spending rate As of June 30, 1997, the endowment was valued has been declining in a phased reduction, moving at $382.9 million. It is allocated among a broad towards an informal goal of 4.5%. For the 1997- spectrum of assets that include fixed-income 1998 fiscal year, the rate was budgeted at 5.61%. instruments (bonds), equities (stocks), arbitrage While this budgeted rate has been declining at the and distressed securities, real estate partnerships, rate of 5 basis points a year, there has been signifi- private equity, and a hedge fund. Rather than cant growth in the size of the endowment. The manage these assets internally, the institution uses result has been that actual spending rates (the ratio external managers and partnerships to carry out of actual spending from the endowment to actual the investments, and it employs a commercial bank endowment value at the conclusion of the fiscal year to maintain custody. in which the spending took place) declined to just over 4% for the year ended in June 1997. For the fiscal year ended on June 30,1997, Carnegie's endowment had a total return (net of The following table compares the planned versus management fees) of 15.7%. The five-year running, the actual spending rates, as well as the market total average return for the endowment was 13.8%. value of the endowment from 1990-1991 to the most recently concluded fiscal year, 1996-1997. The following chart shows the allocation of the institution's endowment among the asset classes it Budgeted and Actual Spending Rates uses as of June 30, 1997: 7 Target ActyaS Allocation Allocation Common Stock 40% 41% J'- -\ Alternative Assets 35% 33.6%

5 • ••"• Fixed Income 25% 25% \ Cash 0% 0.4% 4.5 — 4 • wn iv Actual Asset Allocation

— 41 - Common Stock Within Carnegie's endowment, there are a. number of aFundsM that provide support either in a general „ 25^ Ftod tocom« way or in a targeted way, with a specific, defined purpose. The Andrew Carnegie Fund is, by far, the largest of these. It was begun with the original gift oi $10 million. Mr. Carnegie later added additional gifts totaling another $12 million during his lifetime. Alt.A«,M ts This fund is now valued at more thin $306 million. CARNEGIE INSTITUTION

June 30, 1997 and 1996 The following table shows the amounts in the Independent Auditors Report principal funds within the institution's endowment To the Auditing Committee of the as of June 30,1997: Carnegie Institution ofWashington:

We have audited the accompanying statements of financial position of the Carnegie Institution ofWashington (Carnegie) as of June 30, 1997 and 1996, and the related statements of activities and cash flows for the years then Andrew Carnegie $306,565,521 ended. These financial statements are the responsibility of 24,950,439 Capital Campaign the Institution's management Our responsibility is to Anonymous 9,067,698 express an opinion on these financial statements based Mellon Matching 6,954,368 on our audrts. Astronomy Funds 6,222,789 Anonymous Matching 5,792,462 We conducted our audrts in accordance with generally Carnegie Futures 5,087,641 accepted auditing standards. Those standards require that Wood 4,041,734 we plan and perform the audit to obtain reasonable assur- Golden 2,364,342 ance about whether the financial statements are free of Bowen 1,927,430 material misstatement An audit includes examining, on a test basis, evidence supporting the amounts and disclo- Colburn 1,618,1 19 sures in the financial statements. An audft also includes McClintock 1,201,113 assessing the accounting principles used and significant esti- Special Instrumentation 861,610 mates made by management as well as evaluating the 744,309 Bush Bequest overall financial statement presentation. We believe that Moseley Astronomy 642,216 our audits provide a reasonable basis for our opinion. Special Opportunities 568,400 Starr Fellowship 424,812 In our opinion, the financial statements referred to above Roberts 330,801 present fairly, in all material respects, the financial position Lundmark 259,578 of the Carnegie Institution ofWashington as of June 30, Morgenroth 192,091 1997 and 1996, and its changes in net assets and its cash Hearst Educational Fund 183,452 flows for the years then ended, in conformity with generally accepted accounting principles. Hollaender 178,960 Bush 126,473 Our audits were made for the purpose of forming an Moseley 113,495 opinion on the basic financial statements taken as a whole. 107,813 Forbush The supplementary information included in Schedule i is Green 76,725 presented for purposes of additional analysis and is not a Hale 70,518 required part of the baste financial statements. Such infor- Harfcavy 68344 mation has been subjected to the auditing procedures Other 4,455 applied in the audit of the basic financial statements and, \n our opinion, is fairly presented in all material respects in Total,. , relation to the basic financial statements taken as a whole.

As described in note 7 to the financial statements, End of Ftnancal Profit Carreg:e adopted the provis'ons of Statement of Fmanoal Accounting Stardards No. 106. Employers' Accounting far enefits Other Than Pens-ons »n 1996.

October 8,1997 CARNEGIE INSTITUTION

June 30, 1997 and 1996

Cash and cash equivalents $ 2,759,057 97,012 Accrued investment income 477,140 867,735 Contributions receivable (note 2) 3,773,587 2,622,740 Accounts receivable and other assets 2,007,377 2,219,112 Bond proceeds held by trustee (note 5) 11,159,876 15,032,558 Investments (note 3) 380,747,708 362,041,971 Construction in progress (note 4) 28,737,444 23,413,297 Property and equipment net (note 4) 37,880,114 38,282,583

$ 467,542,303 444,577,008

Accounts payable and accrued expenses $ 2,068,094 2,519,359 Deferred revenues 1,149,050 1.247,330 Broker payable (note 3) - 23,752,995 Bonds payable (note 5) 34,769,596 34.732,731 Accrued postnetirement benefits (note 6) 9,236,983 8.660.87!

Total liabilities 47,223,723 70.913.286

Net assets (note 7): Unrestricted: Board designated: invested in fixed assets, net 31,847,962 26,963,149 Designated for managed investments 331,472,827 298,055,655 Undesignated 6,728,893 6,813,171

370,049,682 331,831.975

Temporarily restricted 15,586,090 9,487,485 Permanently restricted 34,682,808 32.344,262

Total net assets 420.318,580 373,663,722

Commrtments and contingencies (notes 8,9, and 10)

$ 467,542,303 444,577,008 NBCIE INSTITUTION

Years ended June 30, 1997 and 1996

Temporarily Permanently Temporarily Permanently Unrestricted restricted restricted Total Unrestricted restricted restricted Total

Program and supporting services expenses:

Temestna! Magnetism $ 5,481.263 5,481,263 4,948.55! 4,948,551 Observatories 5.595.168 5,595,168 5,601,435 5,601,435 Geophysical Laboratory 5,648.244 5.648,244 5,963,455 5,963,455 Embryology 5,097,677 5,097,677 4,366,256 4,366,256 Piant Biology 4.450,109 4,450,109 4,278,272 4,278,272 Other Programs 943,838 943.838 972.927 972,927 -.drr.irvstntve ar-d

genera! experses 2,565.202 2,565,202 2,962,056 2,962,056

i expenses 29,781.501 29,781,501 29,092,952 29,092,952

Revenues and support Grarts and contracts i 0,340,760 - 10.340,760 10,143.786 - - 10,143,786 CcntriDLi!cr.£ ard g.fe 740,031 6,058.154 2,220,044 9,018,229 212.159 3,354,873 1,244,592 4,811,624 Net ga.-n (less. en ci^pcsais

cfpx-perty (60,694) (60,694) 3.480,506 3,480,506 Other income 623.! 02 623,102 650.021 650.021

\et extern re^er-'-s i 1.643.! 99 6f058.i54 2.220,044 19,921,397 14,486,472 3,354,873 1,244,592 19,085,937

-.5r.T*'t-:=rra rcte 3} 53.0C9.Si3 3,337.347 ! 18,502 56,514,962 44,521,860 2,208.597 89,818 46,820,275

1 .x-r.--ci.:-s r.c*c-~. 3.3-6396 •J.346.S96) - - 3,080,37! (3.080,37!)

•ir.999.2CS 6.098.6C5 2.338,546 76,436,359 62,068,703 2.483,099 1,334,410 65,906,212

3=.:."""0" 6.09S6C5 2.338,546 46,654,858 32.995,75; 2,423,099 1,334.410 36.813,260

5.:r£.i05 :• 353.546 4t.654.S58 24.566^5. 2.463.099 !s324,4i0 26.63-160

r-5 '-Hi • I;4-2=2 S"2it3.722 JG6.rfc5-21*r ""^-*:S6 ; .GC9S52 :449TC"b2

S 373.049,682 iS.586.09C 34,682.808 420,318,580 331,831,975 9,487,485 32,344.262 373,663.722 CARNEGIE INSTITUTION

Yeans ended June 30, 1997 and 1996

Cash flows from operating activities: Increase in net assets I 46,654,858 28,684,260 Adjustments to reconcile increase in net assets to net cash provided by operating activities: Depreciation 2,458,035 2,425,292 Net gains on investments (45,740,779) (37,297,991) Loss (gain) on disposal of property 60,694 (3,480,506) Amortization of bond issuance costs and discount 36,865 36,864 Contribution of stock (1,499,164) (Increase) decrease in assets: Receivables (939,112) 358,122 Accrued investment income 368,324 (103,764) Increase (decrease) in liabilities: Accounts payable and accrued expenses (451,265) (1,318,884) Deferred revenues (98,279) 995,28! Accrued postretirement benefits 576,112 8,660,871 Contributions and investment income restricted for long-term investment (5,233,565) (2,085,846)

Net cash used by operating activities (3,807,276) (3,126,301)

Cash flows from investing activities: Draws from bond proceeds held by trustee 3,872,682 4,614,925 Acquisition of property and equipment (2,116.260) (1,569,960) Proceeds from sale of land and buildings 3.780,673 Construction of telescope, facilities, and equipment (5,324,147) (8,408,479) Investments purchased, net of change in broker payable of ($23,752,995) and $ 13.021,309 (436,911,531) (390.613.647) Proceeds from investments sold or matured 441715,012 393,114,394

Net cash provided by investing activities 1,235,756 917,906

Cash flows from financing activities - proceeds from contributions and investment income restricted for. Investment in endowment 2,497,544 921,635 investnnent in property and equipment 2,736.021 I.! 64.211

Net cash provided by financing activities 5,233.565 2,085.846

Net increase (decrease) in cash and cash equivalents 2,662.045 (122,549)

Cash and cash equivalents at the beginning of trie yea** 97,012 2 i 9,561

Cash and cash equivalents at the end of the year $ 2,759,057 97.012

S-pplerneTtay casn ficjv information: Cash paid for interest $ 1,622,97! i ,638,829 CARNEGIE INSTITUTION

statements. Carnegie is also an educational institu- June 30, 1997 and 1996 tion within the meaning of Section 170(b)(l)(A)(ii) of the Code. The Internal Revenue Service has classified Carnegie as other than a private foundation, as defined in Section 509(a) of the Code.

Fair Value of Financial Instruments

Financial instruments of Carnegie include cash The Carnegie Institution of Washington (Carnegie) equivalents, receivable, investments, bond proceeds conducts advanced research and training in the held by trustee, accounts and broker payables, and sciences. It carries out its scientific work in five bonds payable. The fair value of investments in research centers located throughout the United debt and equity securities is based on quoted mar- States and an observatory in Chile. They are the ket prices. The fair value of investments in limited Departments of Embryology, Plant Biology, and partnerships is based on information provided by Terrestrial Magnetism, the Geophysical Laboratory, the general partners. and the Observatories (astronomy). Carnegie's external income is mainly from gifts and federal The fair value of Series A bonds payable is based on grants and contracts. In addition, income from quoted market prices. The fair value of Series B investments represents approximately 70 percent bonds payable is estimated to be the carrying value, of Carnegie's total revenues. since these bonds bear adjustable market rates.

Bash of Accounting and Presentation The fair values of cash equivalents, receivable, and accounts and broker payable approximate their car- The financial statements are prepared on the accru- rying values based on their short maturates. al basis of accounting. Expenses are separately reported for major programs and administrative Use of Estimates and general expenses. Revenues are classified according to the existence or absence of donor- The preparation of financial statements in confor- imposed restrictions. Also, satisfaction of donor- mity with generally accepted accounting principles imposed restrictions are reported as releases of requires management to make estimates and restrictions in the statements of activities. assumptions that affect the reported amounts of assets and liabilities and disclosure of contingent Investments and Cash Equivalents assets and liabilities at the date of the financial statements. They also affect the reported amounts Carnegie's debt and equity investments are reported of revenues and expenses during the reporting peri- at their fair values. Carnegie also reports invest- od. Actual results could differ from those estimates. ments in partnerships at fair value as determined and reported by the general partners. All changes in Property and Equipment fair value are recognized in the statement of activities. Carnegie considers all highly liquid debt Carnegie capitalizes expenditures for land, build- instruments purchased with remaining maturates of ings and leasehold improvements, telescopes, scien- 90 days or less to be cash equivalents. tific and administrative equipment, and projects in progress. Routine replacement, maintenance, and Income Taxes repairs are charged to expense.

Carnegie is exempt from federal income tax under Depreciation is computed on a straight-line basis Section 501(c}(3) of the Internal Revenue Code over the following estimated useful lives: (the Code). Accordingly, no provision for income taxes is reflected in the accompanying financial Buildings and telescopes 50 years •CARNEGIE INSTITUTION

Leasehold improvements lesser of 25 years or the remaining term of the lease Contributions receivable are summarized as follows Scientific and at June 30, 1997: administrative equipment 5 years

Contributions are classified based on the existence 1998 $2,218,309 of donor-imposed restrictions. Contributions and 1999 1,264,917 net assets are classified as follows: 2000 94,515 2001 81,955 Unrestricted - includes all contributions 2002 27,000 received without donor-imposed restrictions on 2003 and later 86,891 use or time. $ 3,773,587 Temporarily restricted - includes contributions with donor-imposed restrictions as to pur- (3) investments pose of gift or time period expended. At June 30, 1997 and 1996, investments at fair Permanently restricted - generally includes value consisted of the following: endowment gifts in which donors stipulated that the corpus be invested in perpetuity. Only the I9U investment income generated from endowments Time deposits and money may be spent. Certain endowments require that market funds $ 18,488,606 37,341,690 a portion of the investment income be reinvest- Debt mutual funds 65,150,72! 8,399,448 ed in perpetuity. Debt securities 24,122,834 73,344,086 Equity securities 144,759,793 143,155,883 Gifts of long-lived assets, such as buildings or Real estate partnerships 39,657,484 25,385,382 equipment, are considered unrestricted when placed Limited partnerships 88,568,270 74,415,482 in service. $ 380,747,708 362,041,971 Grants Investment income for the years ended June 30, Carnegie records revenues on grants from federal 1997 and 1996, consisted of the following: agencies only to the extent that reimbursable expenses are incurred. Accordingly, funds received Iff 7 1996 in excess of reimbursable expenses are recorded as deferred revenue, and expenses in excess of reim- Interest and dividends $ 11,744,238 10398,641 bursements are recorded as accounts receivable. Net realized gains 26,527,556 23,076251 Reimbursement of indirect costs is based upon Net unrealized gains 19.213,223 14,217243 provisional rates which are subject to subsequent Less - investment audit by Carnegie's federal cognizant agency, the management expenses (970,055) (871,860) National Science Foundation. $56514,962 46320,275 Reelassifications

Certain prior year amounts were reclassified to con- Carnegie purchased and sold certain investment form to the current year presentation. securities on dates prior to June 30,1996. These trades were settled subsequent to June 30, 199b, CARNEGIE INSTITUTION

and are reflected in the investment balances report- At June 30,1997 and 1996, construction in ed at year end. The net obligation for these unset- progress consisted of the following: tled trades is reported as broker payable in the accompanying statements of financial position.

The fair value for approximately $21 million of Telescope $ 26,924,587 21,741,034 Carnegie's $128 million of real estate and limited Buildings 1,523,337 1,355,800 partnership investments has been estimated by the Scientific equipment 289,520 316,463 general partners in the absence of readily ascertain- able market values. However, the estimated fair val- $ 28,737,444 23,413,297 ues may differ from the values that would have been used had a ready market existed. At June 30,1997 and 1996, approximately $34 million and $28 million, respectively, of construction Carnegie enters into futures contracts to manage in progress and other property, net of accumulated portfolio positions and hedge transactions. Risks depreciation, was located in Las Campanas, Chile. relating to futures contracts arise from the move- During 1997 and 1996, Carnegie capitalized net ments in securities values and interest rates. interest costs of approximately $1,154,000 and Realized gains and losses based on changes in mar- $745,000, respectively, as construction in progress. ket values of open futures contracts have been fully recognized. The contracts are settled daily for changes in their fair value. Accordingly, the fair (5)Bonds Payable value of the contracts at June 30,1997 and 1996, is zero. The total notional value of these contracts at On November 1,1993, Carnegie issued $17.5 mil- June 30, 1997 and 1996 was approximately lion each of secured Series A and Series B $3,500,000 and $4,500,000, respectively. California Educational Facilities Authority Revenue tax-exempt bonds. Bond proceeds are used to finance the Magellan telescope project and the (4) Property and Equipment renovation of the facilities of the Observatories at Pasadena. The balances outstanding at June 30, At June 30,1997 and 1996, property and equip- 1997 and 1996, on the Series A issue totaled ment placed in service consisted of the following: $17,357,224 and $17,334,380, respectively, and on the Series B issue totaled $17,412,372 and Iff? 1996 $17,398,351, respectively. The balances outstanding are net of unamortized bond issue costs and Buildings and bond discount. Bond proceeds held by the trustee improvements $ 34,660342 34,037,604 and unexpended at June 30,1997 and 1996, totaled Scientific equipment 14,736,201 13,593,569 $11,159,876 and $15,032,558, respectively. Teiescopes 7,910,825 7,910,825 Administrative equipment 2,316,444 2,163,650 Land 787,896 787,896 Series A bonds bear interest at 5.6 percent payable Art 34,067 34,067 in arrears semiannually on each April 1 and October 1 and upon maturity on October 1, 2023. 60,445,775 58,527,611 Series B bonds bear interest at variable money mar- Less accumulated ket rates in effect from time to time, up to a maxi- depneoaton 22565,661 20,245,028 mum of 12 percent over the applicable money market rate period of between one and 270 days and $ 37380,114 38282583 have a stated maturity of October 1, 2023. At the end of each money market rate period. Series B INSTITUTION

bondholders are required to offer the bonds for on a cash basis (pay-as-you-go). Cash payments repurchase at the applicable money market rate. If made by Carnegie for these benefits totaled approx- repurchased, the Series B bonds would be resold at imately $374,000 and $398,000 for the years ended the current applicable money market rate and for a June 30, 1997 and 1996, respectively. new rate period. Effective July 1, 1995, Carnegie adopted SFAS No. Carnegie is not required to repay the Series A and 106, Employers1 Accounting for Postretirement Benefits B bonds until the October 1, 2023, maturity date, Other Than Pensions, and changed its method of and Carnegie has the intent and the ability to effect accounting for postretirement benefits from a cash the purchase and resale of the Series B bonds basis to an accrual basis. This accounting change through a tender agent; therefore all bonds payable resulted in a one-time, noncash expense in 1996 of are classified as long term. Sinking fund redemp- approximately $8,129,000 for the transition obliga- tions begin in 2019 in installments for both series. tion. The transition obligation represents the fully The fair value of Series A bonds payable at June 30, recognized actuarially determined estimate of 1997 and 1996, based on quoted market prices is Carnegie's obligation for postretirement benefits as estimated at $18,300,000 and $17,600,000, respec- of July 1, 1995. The expense for postretirement tively. The fair value of Series B bonds payable at benefits in 1997 and 1996 under the provisions of June 30, 1997 and 1996, is estimated to approxi- SFAS No. 106 was approximately $950,000 and mate carrying value as the mandatory tender dates $930,000, respectively. The 1997 postretirement on which the bonds are repriced are generally with- benefits expense was approximately $576,000 more in three months of year end. than the cash expense of $374,000, and the 1996 postretirement benefits expense was approximately $532,000 more than the cash expense of $398,000. (6)Empioyee Benefit Plans The postretirement benefits expense was allocated among program and supporting services expenses in Retirement Plan the statements of activities.

Carnegie has a noncontributory, defined contribu- The following items are the components of the net tion, money-purchase retirement plan in which all postretirement benefit cost for the years ended June United States personnel are eligible to participate. 30, 1997 and 1996: After one year's participation, an individual's benefits are fully vested. The Plan has been funded !9?7 through individually owned annuities issued by Teachers' Insurance and Annuity Association Service cost - benefits (TIAA) and College Retirement Equities Fund earned during the year $ 314,000 335,000 (CREF). There are no unfunded past service costs. Interest cost on projected Total contributions made by Carnegie totaled benefit obligation 636,000 595,000 approximately $1,783,000 and $1,737,000 for the years ended June 30,1997 and 1996, respectively. $ 95G,GQ0 930,000

Poxtretirement Benefits Plan

Carnegie provides postretirement medical benefits to all employees who retire after age 55 and have at least ten years of service. Prior to 1996, the cost of postretirement benefits was charged to expense only CARNEGIE INSTITUTION

The following table sets forth the funded status of the postretirement medical benefits plan as of June 30, 1997 and 1996: At June 30,1997 and 1996, temporarily restricted net assets were available to support the following donor-restricted purposes:

Actuarial present value of the accumulated postretirement benefit obligation for: Specific research Inactive participants $ 4,618,000 4,541,000 programs $ 8,225,980 6,076,025 Fully eligible active Equipment acquisition partici pants 2,012,000 1,828,000 and construction 7,360,110 3,41 ! ,460

Other active participants 2,647,000 2,025,000 $ 15,586,090 9,487,485

Accumulated postretirement benefit obligation for At June 30,1997 and 1996, permanently restricted services rendered to date 9,277,000 8,394,000 net assets consisted of permanent endowments, the income from which is available to support the fol- Unrecognized net (gain) loss (40,000) 267,000 lowing donor-restricted purposes:

Accrued postretirement 1997 1996 benefit cost $9,237,000 8,661,000 Specific research programs $ 11,478.089 9,139,543 The present value of the transition obligation as of Equipment acquisition July 1, 1995, was determined using an assumed and construction 1,204,719 1,204,719 health care cost trend rate of 10 percent and an General support assumed discount rate of 7.5 percent. The present (Carnegie endowment) 22,000,000 22,000,000 value of the benefit obligation as of June 30, 1997 and 1996, was determined using an assumed health $ 34,682,808 32,344,262 care cost trend rate of 10 percent and an assumed discount rate of 7.5 percent. Carnegie's policy is to fund postretirement benefits as claims and adminis- During 1997 and 1996, Carnegie met donor- trative fees are paid. imposed requirements on certain gifts and, therefore, released temporarily restricted net assets as For measurement purposes, a 10 percent annual follows: rate of increase in the per capita cost of covered health care benefits was assumed for 1997; the rate Iff? 1996 was assumed to decrease gradually to 5.5 percent in 15 years and remain at that level thereafter. The Specific research health care cost trend rate assumption has a signifi- programs $ 2,364,853 2,220,653 cant effect on the amounts reported. An increase of Equipment acquisition 1.0 percent In the health care cost trend rate used and construction 982,043 859.718 would have resulted in a $1,453,000 increase in the present value of the accumulated benefit obligation $ 3346,896 3,08037! at June 30, 1997, and a $189,000 increase in the aggregate of service and interest cost components of net periodic postretirement benefit cost for the year ended June 30, 1997. .CARNEGIE INSTITUTION

Costs charged to the federal government under Carnegie leases a portion of the land it owns in Las cost-reimbursement grants and contracts are subject Campanas, Chile to other organizations. These to government audit. Therefore, all such costs are organizations have built and operate telescopes on subject to adjustment. Management believes that the land. Most of the lease arrangements are not adjustments, if any, would not have a significant specific and some are at no-cost to the other orga- effect on the financial statements. nizations. One of the lease arrangements is non- cancelable and has annual future rents of $120,000 through fiscal year 2001. For the no-cost leases, the (9)Commitments value of the leases could not be determined and is not considered significant, and, accordingly, contri- In 1992, Carnegie entered into a 30-year collabora- butions have not been recorded in the financial tive agreement with the University of Arizona for statements. the construction, installation, and operation of a large aperture telescope in Chile (Magellan pro- Carnegie also leases a portion of one of its laborato- ject). The agreement requires the University of ries to another organization for an indefinite term. Arizona to manufacture and deliver a primary mir- Rents to be received under the agreement are ror to be used in the Magellan project for $6.35 approximately $183,000 annually, adjusted for CPI million, subject to adjustment. The telescope is cur- increases. rently under construction. Carnegie and the University of Arizona have agreed to share use of Carnegie leases land and buildings. The monetary the telescope until expiration of the agreement in terms of the leases are considerably below fair value, 2022. Telescope viewing time and annual operating however these terms were developed considering costs will be shared by the two parties in amounts other non-monetary transactions between Carnegie proportional to the parties' capital contributions. and the lessors. The substance of the transactions indicates arms-length terms between Carnegie and During 1996, Carnegie entered into memoranda of the lessors. The monetary value of the leases could understanding with three other universities to not be determined, and has not been recorded in expand the scope of the Magellan project. These the financial statements. memoranda provide for the creation of a consortium to discuss construction of a second telescope, and define a formula by which consortium mem- (Si) Subsequent Events bers will share capital and operating costs. Advance payments received from these universities totaling Subsequent to the date of the financial statements, approximately $859,400 and $537,000 as of June Carnegie entered into an agreement with a contrac- 30,1997 and 1996, respectively, have been classi- tor for the renovation of Carnegie's headquarters fied as deferred revenue in the accompanying state- building. The expected maximum price under the ments of financial position. agreement for the renovations is approximately $5,400,000 subject to change orders. Carnegie has outstanding commitments to invest approximately $11.5 million in limited Also subsequent to the date of the financial state- partnerships. ments, Carnegie entered into a contract with the University of Arizona for the construction of the primary mirror and support system for the second telescope in the Magellan project. The amount of the contract is approximately $9,71)0,000. Schedules of Expenses Schedule 1 Years ended June 30, 1997 and 1996

1997 1996

Federal and Federal and Carnegie private Total Carnegie private Total funds grants expenses funds grants expenses

Personnel costs: Salaries $ 9.763.705 2,972.498 12,736.203 9,639,148 2.832,044 12.471.192 Fnnge benefits and payroll taxes 3.616.358 800.952 4,417.310 3,627,649 765,818 4,393,467

Total personnel costs 13.380,063 3,773.450 17.153,513 13,266.797 3,597,862 16.864,659

Fellowship grants and awards 1.360.445 647.853 2,008,298 1,112,780 677,741 1.790.521

Depreciation 2.458,035 2,458,035 2,425,292 2,425.292

General expenses: Educational and research supplies 798.925 1.060,501 1,859,426 698,865 1,069.139 1.768,004 Buildtng maintenance and operation 1,744.184 387,676 2,131,860 2,146,073 281,870 2,427,943 Travel and meetings 560,818 509,570 1,070,388 551.412 481,078 1,032,490 Publications 32.348 79,656 112,004 26.066 65,912 91,978 Shop 46,262 46,262 82,505 82,505 Telephone 176,209 385 176,594 174.877 94 174,971 Books and subscriptions 231.418 6.278 237,696 209,073 4.666 213,739 Administrative and general 515.693 51,277 566,970 520,234 67,304 587,538 Printing and copying 216.664 5,239 221.903 113.247 1,137 114,384 Shipping and postage 108,851 39,494 148,345 99,362 24,114 123.476 Insurance, taxes and professional fees 919,764 116,960 1,036,724 660,148 125,525 785.673 Equipment 13,673 816,397 830,070 16,322 i ,079,699 1,096,021 Fund-raising expense 338.380 338,380 312,116 312.116

Total general expenses 5,703.189 3,073,433 8,776,622 5,610,300 3,20)538 8,810,838

Indirect costs - grants (2,846,024) 2,846,024 (2.667.645) 2,667,645

Capitalized scientific equipment and construction prefects funded by Federal and private grants (614,967) (614,967) (798,358) (798.358)

$ 19,440J41 10,340,760 29,781,501 18,949,166 10,143.786 29,092,952 CARNEGIE" INSTITUTION

Abelson, Philip H, 4, 5 : Diebold,John,5 j Hashimoto, Yasuhiro, 51 Abbott, Jennifer, 30 ; Dominguez, Jaime, 62 ! Haskins, Caryl P., 4, 5 Accandi, Amymarie, 72 | Downs, Robert T, 72 j Hauri. Erik. 62 Acton, Mark, 72 j Dressier, Alan, 45, 48, 50, 51 j Hazen, Robert, 10,71,72 Adam, Luc, 41 : Drummond-Barbosa, Daniela, 30 j Hearst, William R., Ill, 5 Ahnn, Joohong, 30 ; Dunn, Robert A., 62 ; Heckert. Richard E, 5, 16 Aldrich, L Thomas, 62 ; Dymecki, Susan, 26, 30 ; Helmer, Elizabeth, 30 Alexander, Conel, 62 j Hemley, Russell, 18,67.72 Alvarado, Alejandro Sanchez, 29, 30 I Ebert,JamesD.,4, 5 ; Hershey, Alfred D., 16 Apt, Kirk, 41 I Ehrhardt, David, 17, 41 j Hewlett, William R. 5, 18 Ash, Richard D., 62,72 | Elrad.Dafna.4l j Hiesey, William R., 5, 18 j Emler.John. 17 j Hirose, Kei, 72 Babcock, Horace, 51 | Ernst, W. Gary, 5 j Ho. Luis, 48 Becker, Harry }, 62 ; Hoffman, Laura, 38, 41 Bell, David R, 72 I Faber, Sandra M., 5 I Hoffman, Neil E, 11,41 Bell, Peter, 72 j Falcone, Deane, 41 j Hoppe, Kathryn, 62 Bellini. Michel, 30 I Fan, Chen-Ming, 30 I Hsieh, Jenny, 30 Bernstein, Rebecca, 46,50, 51 i Farber, Steve, 30 I Hu, Jingzhu, 72 Berry, Deborah, 30, 38 ; Farquhar, James, 72 j Huala, Eva, 41 Berry, Joseph. 11.41 I Fassett, Caleb, 62 i Huang. Haochu, 30 Bertka. Constance, 10.72 : Fei, Yingwei, 67,72 I Huang, Shaosung, 62 Bhaya, Devaki,4l i Ferguson, Bruce W., 5 j Humayun, Munir, 62 Bjamason, Ingi, 56-57 j Field. Christopher,! I, 38-39.4t Bjorkman, Oile, 38-39,41 i Finger, Larry, 67, 72 j lizuka. Yoshiyuki, 72 Blank, Jennifer, 72 j Fire, Andrew Z, 10, 18,25.30 • Inamori, Kazuo, 5, 50 Biay. Christopher, 62 i Fisher, Shannon, 30 ! lrvtne.T.Neii,72 Boss, Alan. 62 I Fogel. Marilyn L.71,72 I itajoelj.,72 | Foster, Prudence. 18.62 Boyd,F.R.59.71,72 I FrantzJohnD.,72 ; James, Charies, 6, 15,75

Brandes, Jay A., 72 | Freedman,Wendy.46.47f5l I James, David E. 58,59, 62 Brandon. Alan D., 62 ; Friedlingstein. Pierre, 41 i Joel,Geeske,4i Bnggs, WmsIowR.4! ; Frost. Dante! J., 72 j Johns, Matt. 17,49 Broun, Pierre, 41 Frydman, Horacio, 30 ! Johnson. Beverly. 72 Brown, Donald D, 10.30 i Fu.Wei,4! ; Johnson, Catherine, 62 Brown, Louis, 62 Furlow, David, 30 | Johnson. Suzanne Nora, 5, i7 BueK Robin, 41 Bunte, Bernard, 62 Gail, Joseph G, 23, 30,70 I Kadak.Jorg,4i

Butter, Harold, 62 Ga!lart,Carme,47f5l = Kehoe.DavtdM.,4i Gamonjohn, 41 • Kelly, William, 30 Cat*<, Bnan, 30 Gao. Shangxing, 60. 62 • Keyes, Linda, 30 Carlson, Richard W.t 59, 62 Garvey, Susanne, 5, 75 i Kitchei. Stephanie, 72 | Chapters. John E., 62 Gellert Michael. 5 '• Klein, Nora, 72 |Ch-'stieJohnMackte.4l Giavaiisco, Mauro, 44, 5 J : KnezekPatncia.51 | C:f.er,tes. ines, 6. 15,75 GiNmor,Adam,4i : Kokis, Julie, 72 [Cc:d>.Gecrge. '0. 67, 7i, 72 Goeiet. Robert G., 5 ; Konzett Jurgen, 72 | Coner. Ronald, 69, 72 Golden, William T, 5 Kortenfcarr.p, Stephen J., 62 Cohen-Rx, Orna, 25. 30 Goncharov. Alexander, 72 Kcshlanc. Douglas, 18. 22, 24-25, 26. 30 |Co!emar,Vv!!iiarnT.,Jr,5 18 Goodfriend. Glenn, 72 Kostas. Steve, 30 Co'-e'c, Gnegc7- 41 Graham, John A,, 62 ; Kress, Victor, 72 Conrad. Parr.ela, 72 Granger. Claire. 4! Knstsan. jerorre. 48 C"3AtorJ. ;G'V F, 5 Greenewalt, David. 5 KrzeTinski. Wqciecn. 5. Grossman, Arthur. 39-40.4 j Kunkel, W.'^am 51 : Gaacv, V ncent 24-25, 30 KOTO, La-re. 41 O. ca-to'* }

Hans. P Edgar, 72 Lsss:re'-1 joh-. C, tl Marfe, Brian. 3C Lajctt*. G*3^ G D 5 0'- *' •- ;,Z Har^ra.e Erse, 62 J32'-•" •=eVi'" .-7J Han. Stdne^, iS iUi!;.-. INSTITUTION

Still Cnns. 41 L.1.. •!-:-.. 13-1-!. IL P'i^".^, "/•, *n-r.:i -4! Stochn.Wavre.4l L- •/r.;»i: '1 Stcr.e, Chfriopr-cr. 5 17 L-ce - i- 1 ,ei.=: Pc'tr.F-el-,0 Stor»e-Lomt>.va.. LIES, 5: ^0 Srrbr'7,, JO!" i""* a **! P-e-; f -2- , 5 7 61.71 L'.d*.- .Z'-r-.C H 13

Drector's essay, 65-7! LU Horg, 62 tw, Ke"'v, 30 Rarjdersor:, Jim, 41 Tenimer, Gto^e M., {6 L've'y, jc^n I, 5, 75 Reaer. Steven, 41 • Teraf Fousd, 62 LuD

Purobfc, Douglas IH. 72 Tcv/nes, Charles H.t 5, fS Mac, Ho-kvzng. 67, 72 Rumpker, Georg. 62 , Tnm\ Scott, 51 Pjsf»,BRan,5! Tamo", Sffnofi4f Flutter, W--Ham j,, 5

'^iCa-4*' S*3ir S, *% 62 Sacks I. Sciwyn. 60,6^

KcM-jitry, Baton J 5. f7 S4ght-52atx5, Qstthani, 72 \ VwDecar* jotat 5(M»f *!CW'.MT Arrfrew ;7. 4~ 48 5t Sandage, Aiian, i^ft eS, 47,51 ,42,72'

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A GIFT FOR THE FUTURE OF THE

OF WASHINGTON

One of the most effective ways of supporting the work of the Carnegie Institution of Washington is to include the institution in your estate plans. By making a bequest, you can support the institution well into the future.

A bequest is both a tangible device of your dedication to the Carnegie Institution and a way to generate significant tax savings for your estate. Some bequests to the institution have been directed to fellowships, chairs, and departmental research projects; some have been additions to the endowment; other bequests have been unrestricted.