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APR I 7 2007

Journal of the

I .t^ARVARD

UNIVERSITY

Volume 93

Number 1

Spring 2007

WASHINGTON

ACADEMY OF SCIENCES

Contents

Editor’s Comments i

Instructions To Authors ii

Sethanne Howard, Science Has No Gender ..1

Yasmin H. Said, On the Eras in the History of Statistics and Data Analysis 17

R. Allen Gardner Review of Sign Language Studies of Cross Fostered Chimpanzees 37

Onoufrios Pavlogiannis, Constantine Lomi, Evangelos Albanidis, Spiros Konitslotis, and

Stephanos Geroulanos, Sport and Medicine During Greek Antiquity and Roman Imperial Times

News Of Members 76

Affiliated Institutions 78

ISSN 0043-0439

Issued Quarterly at Washington DC

^^asfljington ilcabcmp of ^ctcntejf

Founded in 1898

Board of Managers

Elected Officers

President

William Boyer

President Elect

Alain Towaide

Treasurer

Harvey Freeman

Secretary

James Cole

Vice President, Administration

Rex Klopfenstein

Vice President, Membership

Thomas Meylan

Vice President, Junior Academy

Paul L. Kazan

Vice President, Affiliated Societies

Mark Holland

Members at Large

Sethanne Howard

Donna Dean

Frank Haig, S J.

Jodi Wesemann

Vary Coates

Peg Kay

The Journal of the Washington Academy of

Sciences

The Journal is the official organ of the Academy.

It publishes articles on science policy, the history of

science, critical reviews, original science research,

proceedings of scholarly meetings of its Affiliated

Societies, and other items of interest to its members.

It is published quarterly. The last issue of the year

contains a directory of the current membership of

the Academy.

Subscription Rates

Members, fellows, and life members in good

standing receive the Journal free of charge.

Subscriptions are available on a calendar year basis,

payable in advance. Payment must be made in U.S.

currency at the following rates.

US and Canada $25.00

Other Countries 30.00

Single Copies (when available) 10.00

Claims for Missing Issues

Claims must be received within 65 days of mailing.

Claims will not be allowed if non-delivery was the

result of failure to notify the Academy of a change

of address.

Past President: F. Douglas Witherspoon

Notification of Change of Address

AFFILIATED SOCIETY DELEGATES: Address changes should be sent promptly to the

Shown on back cover

Academy Office. Notification should contain both

old and new addresses and zip codes.

Editor of the Journal

Vary T. Coates

Associate Editors;

Alain Touwaide

Sethanne Howard

Elizabeth Corona

Academy Office

Washington Academy of Sciences

Room 63 1

1200 New York Ave. NW

Washington, DC 20005

Phone: 202/326-8975

email: was@washacadsci.org

POSTMASTER:

Send address changes to WAS, Rm.631,

1200 New York Ave. NW

Washington, DC. 20005

Journal of the Washington Academy of Sciences

(ISSN 0043-0439)

Published by the Washington Academy of Sciences

202/326-8975

website: www.washacadsci.org

I

THE EDITOR COMMENTS

, M C2

APR 1 7

2007

ALL MUST ADMIT THAT THE ACADEMY Stays well ahead of the

times! Last May our Annual Award for Excellence in the Physical

Sciences went to Dr. John C. Mather; five months later the Nobel Awards

Committee followed suit. In 2005 we held the first of several conferences

discussing the challenges of establishing a permanent base on the Moon;

in 2006 President Bush espoused that as a national goal. But in our last

issue we outdid ourselves — the cover of the Journal bore the date Winter

2007, although the inside pages had the correct legend: Winter 2006. This

perhaps bothered only Librarians, and subscribers who systematically

shelve their periodicals; they would find only three quarterly issues for

2006, and eventually five for 2007. We would love to know how many of

our readers noticed this bit of prematurity.

THE STEADY EVOLUTIONARY DEVELOPMENT OF SCIENCE rather

than such leaps into the future, is however the common theme in this

issue. Dr. Howard, drawing on her new book. The Hidden Giants, tells of

some of the under-celebrated contributions of women scientists over 4000

years of history. Yasmin Said lays out the much shorter history of

statistics, and how it has become an essential component of all modem

sciences. In an electrifying account. Dr. Allen Gardner recapitulates long-

running behavioral science experiments in which infant chimpanzees were

raised surrounded by the use of American Sign Language. Finally,

returning to Antiquity, Onoufrios Pavlogiannis and colleagues from

several universities in Greece discusses the common origin and

gradual divergence of medicine and gymnastics.

WE ARE ALWAYS HAPPY TO RECEIVE contributions from

scientists in Italy, Greece, and many other countries, but we remind

our readers that a primary purpose of this Journal is to showcase the

work of scientists, engineers, and teachers in our own region; so once

again we encourage you to send us reports of your research and

related activities.

Spring 2007

11

INSTRUCTIONS FOR AUTHORS

THE JOURNAL of the Washington Academy of Sciences is a peer-

reviewed journal. Exceptions are made for papers requested by the editors

or positively approved for presentation or publication by one of our

affiliated scientific societies.

We welcome disciplinary and interdisciplinary scientific research reports

and papers on technology development and innovation, science policy,

technology assessment, and history of science and technology. Book

reviews are also welcome.

Contributors of papers are requested to follow these guidelines carefully.

• Papers should be submitted as e-mail attacliments to the cliief editor,

vcoates r/iinac.com, along with full contact infonnation for the primary^ or

corresponding author.

• Papers should be presented in Word: do not send PDF files.

• Papers should be 6000 words or fewer. If more than 6 graphics are included tlie

number of words allowed will be reduced accordingly.

• Grapliics must be in black and wliite only. They must be easily resized and

relocated. It is best to put grapliics, including tables, at the end of the paper or in

a separate document, with their preferred location in the text clearly indicated.

• References should be in tlie fonn of endnotes, and may be in any style

considered standard in the discipline(s) represented by tlie paper.

Washington Academy of Sciences

1

SCIENCE HAS NO GENDER

The History of Women in Science

Sethanne Howard

Retired, US Naval Observatory

Abstract

Science is a traditional role for women. For over 4,000 years of written

liistorv women liave participated in tliis great human adventure.

Science and teclmology are neitlier new nor difficult for women any

more than they are for men. The stories of many of our scientists do not

fonn part of our instruction in science from kindergarten tlirough

college. Missing from our textbooks and data are tlie fundamental

contributions of scientists, both male and female, but especially female.

Female creativity and genius fill our teclmical past. The stories of tliese

women not only provide role models for future scientists, but they also

strengthen and broaden our ability^ to deal with tlie present. There is

now an Internet site w w w . astr. ua. edij/4()0() ws devoted to tlie

participation and success of women in the teclmical liistorv' of

humanity'. Tliis site is now used by school systems world wide as a

student resource.

Introduction

For as long as we have been human we have developed and

used technology and science. For as long as we have been human we have

looked forward to the next challenge, the next goal, the next creative

thought. One of the defining marks of humanity is our ability to affect and

predict our environment. Science — the definition of structure for our

world, technology — the use of structure in our world, and mathematics

— the common language of structure — have all been part of our human

progress, through every step of our path to the present. Women and men

together have researched and solved each emerging need. Women and

men together have defined the advancing path of these three fundamental

human activities. Women and men together have eased the burden for all

of us. Science is adventure, a trip that uncovers beauty everywhere with

every new thing understood. Eveiyorie deserves to share in this excitement

and personal fulfillment.

Spring 2007

2

The Women Are Important

Women are important in the history of science. The name of a

technical woman appears in some of world’s earliest literature — over

4,000 years ago.^ Science has been the business of women ever since then.

Certainly women were questioners and thinkers long before that. Most

myths and religions place the beginnings of agriculture, laws, civilization,

mathematics, calendars, time keeping, and medicine into the hands of

women. The mythology is so very rich. The stories form our common

wealth. But whether it was the Goddess of Wisdom or War or Love, she is

lost to the historical record, yet kept strong in the dreams and myths of all

peoples.

So who was this first woman in a long line of thinkers? She is

En’Hedu’anna (c. 2354 BCE), daughter of Sargon the conqueror. And

with her the written tradition of women in science and technology begins.

“En” is the title of leadership in Sumerian. “Hedu’anna” means “ornament

of heaven” — the name given to her when she was installed as en-

priestess (the chief or leader). We do not know her birth name. She was

the chief astronomer-priestess and, as such, managed the great temple

complex of her city of Ur. Ur may have been the largest city of the ancient

world during and after her tenure. Although we do not have precise

technical works from her we know that she was a learned, diversely

talented woman of power. The Sumerian temple complex under her

guidance controlled the economic wealth and distribution of the city as

well as its rich intellectual life. For example, the extensive astronomical

observatories in Sumer managed by the en-priestess and her colleagues

produced some of the earliest astronomical records, and it is from there

that we gained use of the concept of base 60 — e.g., 60 degrees in a circle.

And we have her poems. She is the world’s first named poet. Her poems

are still available in English translation. In one of her poems she

mentioned the lunar tracking done in the gi-par — the place where she

lived. We also have an alabaster disk that shows her in a religious

procession (see Figure 1). She is the first woman of power and scholarship

whose name we know, and the last in a long line of unknown powerful

women who followed the stars and the cycles of the Moon.

Washington Academy of Sciences

3

FIGURE 1 - Restored alabaster disk showing En’Hedu’anna in

procession. She is the third from the right. Courtesy, University Museum,

Philadelphia

Dr. Gerda Lerner said in her address as the incoming president of

the Organization of American Historians:^

'\..AU women have hi common that their history comes to

them refracted through the lens of men 's observations and

refracted again through a male-centered value system....

From that time on [the beginning of written history]

women were educationally deprived and did not

significantly participate in the creation of the symbol

system by which the world was explained and ordered.

Women did not name themselves; they did not, after the

Neolithic era, name gods or shape them in their image.... If

the bringing of women — half the human race — into the

center of historical inquhy poses a formidable challenge to

historical scholarship, it also offers sustaining energy and

a source ofsmength. ”

“(O)ffers sustaining energy and a source of strength” is a

wonderful phrase. We shall find remarkable energy and strength in the

names we can dig out, albeit with difficulty, of the records. Our search

began with En’Hedu’anna whose beacon still shines through the

millennia. Where do we go next?

Women hold up half the sky. This is a saying native to many of the

world’s cultures. Yet the information about the traditional role of women

Spring 2007

4

in science and technology is not easily available. A book on women in

science written in 1913 (Woman in Science, H. J. Mozans)^ lists over 350

technical women of the past. This book is an amazing tour de force

combining romantic views of women with hard references to original

sources. Asimov’s book (Biogjaphical Encyclopedia of Science and

Technology^), some 50 years later, lists sixteen women. Patrick Moore's

book Men of the Stars^, a mere decade after Asimov’s book, has none.

This is a disappointing trend. One would have hoped the women of the

past would remain in the history books.

The past decade has produced a large list of publications about

technical women of the near past. The 20^*^ century is covered rather well;

however, it is misleading to assume that women were not scholars before

the 20^*^ century just because their names are missing from the history

texts. Their absence is involuntary — a result of how history was

compiled, as Dr. Lemer so eloquently said. These women contributed

much. They had the entire universe to play with, to study, and to enjoy.

They were not left out of this great human experience. To help bring them

back into the mainstream, there is a web site dedicated to many of the

technical women of the past: www.astr.ua.edu/40QQws. I maintain this

web site as a resource for schools.

Women contributed in all ways to the technical advancement of

humanity. They held the same burdens of scholarship as the men held.

There are many names of technical women from our past; women whose

names and deeds are rarely heard, women of a philosophical bent, women

who made a difference in the world. Before I give a small sample of these

wonderful women who we now know are important, let me discuss briefly

why science too is important.

The Science Is Important

Science and technology are important. Why? Not only because of

their intrinsic merit but also because our nation is at risk. Despite the

standards provided by the National Academy of Sciences and National

Academy of Engineering, a large percentage of high-school science and

mathematics teachers lack an undergraduate or graduate major in a

technical discipline or science education. Not only are they poorly

prepared in the technical aspects of science and engineering, they are also

ignorant of the history and social nature of science, mathematics, and

Washington Academy of Sciences

5

engineering. What does this lack of teacher training lead to? It leads to

students ill prepared to carry forward our civilization.

To most of us, high academic standards have become the last, best

hope for saving America's schools. The reform landscape is crowded with

projects, initiatives, centers, institutes, partnerships, and more. The most

promising of these to emerge over the past decade or so share two

common concerns: improving the quality of science and mathematics

education and increasing the accessibility of science and mathematics

education to students who had not participated previously.

Although things are improving, the notion that excellence is ‘not

for girls’ (or minorities) persists. It is vital that teachers know what

women have done, how they have contributed. Science and technology are

innately diverse. We need role models that highlight and celebrate this

diversity. So science is important; women are important; we must make

women of science as important as men of science.

Search Out The Women

Let us bring the women out of obscurity and put them into the

center of history and science. Where do we look? We must look just about

everywhere. One finds these women in many of the same places as one

finds the men who were scholars. Scholarship is the key word, not science.

The word ‘scientist’ is rather new, coined around 1840^. This word

“scientisf’ has a very broad definition and includes the expected definition

— someone with a Ph.D. who works in a technical field. A person with a

Ph.D. studies a narrowly defined field of research and often is well trained

in only that field. We must also include engineers, inventors, physicians,

nurses, natural philosophers (scholars), and people with technical degrees.

So as we look, we cannot limit ourselves to Ph.D.’s, especially since

women were excluded from many universities and most graduate science

programs.

Before schools trained scientists, learned people were either self-

taught or privately taught. They were the natural philosophers whose

endeavors typically covered the classic seven liberal arts — grammar,

rhetoric, logic, arithmetic, geometry, music, and astronomy. To find these

scholars we look for those holders of scholarly degrees, and for poets and

authors, architects, and gardeners; we look in industry, in school lists, in

textbooks, letters, and stories. The names of scholars may be deduced out

Spring 2007

6

of their poems, music, and writings. A literate person perforce meant a

numerate person.

Science, on the other hand, has been around for as long as we have

been human. Today, science has split into many pieces: e.g., astronomy,

mathematics, physics, biology, chemistry, meteorology, geology, and the

social sciences, all in various combinations. Two of these pieces, however,

stayed intact as far back as one wishes to go — astronomy and

mathematics. Before humanity invented writing we find astronomical

based calendar stones and engravings. There are stones, lists, clay,

carvings, pictographs, and bones for clues. Astronomy and mathematics

represent the mainstream of science, and they provide an especially rich

source of names. Since they are the earliest scholarly arts, names from the

history of astronomy and mathematics are easier to find than names from

other areas. Astronomy and mathematics march together through the

centuries^, not really breaking apart until the end of the 19^*' century.

Historical records tend to record the work of the

mathematician/astronomer because it had great practical importance in

social planning and agriculture.

The other sciences joined the mainstream little by little. Physics,

for example, was more a practical skill than a scholar’s tool until the 19^*'

century. It then grew into the great mix of physics that we have today:

e.g, solid state, nuclear, quantum, crystallography, etc. Therefore, to track

people who engaged in what is now called physics, one needs to look at

inventors, engineers, and toolmakers as well as university scholars.

Today’s chemists were once called alchemists, and they counted as

scientists. The records are scattered for these fields and less likely to be

translated. The same situation exists for the other fields of science. The

names of these women appear in a wonderfully diverse set of places.

A Sample of Women

Health care is the one field in which women have

always participated. Women have always been

physicians. The earliest written name of a woman who

was a physician is Merit Ptah^ (c. 2700 BCE), a name

from 4700 years ago! Her name and image are on a

tomb in the Valley of Kings in Egypt. Her patient may

have died, but she is preserved in stone for eons. In

Washington Academy of Sciences

7

addition to their participation in medicine and surgery, midwifery was

almost exclusively managed by women until the 18^'^ century.

Lost in myth is Agande (12^*^ century BCE) who Homer tells us

was knowledgeable in the medicinal value of plants. The Greek Agnodice

(4^*' century BCE) was a physician who was brought to trial for acting as a

physician. The result of her trial was that the medical profession was

legalized for all the free-born women of Athens. Ancient Rome had her

own physicians — women like Victoria and Leoparda. There are several

physicians and midwives from the century BCE Greece: Sotira was a

Greek physician; Salpe was a well-known Greek midwife as were

Olympias of Thebes and Metrodora. A manuscript by Metrodora exists in

Florence. Lais is yet another physician in Greece. Fabiola (d. 399 CE)

practiced medicine. She was a Christian follower of St. Jerome.

And then later the names multiply. Jumping ahead a bit — six hundred

years later, in 1096, the first Crusade brought a need for expanded medical

facilities in Constantinople. The emperor built a 10,000 bed

hospital/orphanage managed by his daughter Anna Comena. She had been

well trained by tutors in astronomy, medicine, history, military affairs,

history, geography, and math. Slightly later, one of the best equipped

hospitals of the time was founded in Byzantium by Emperor John II (1 1 18

-1143 CE). Men and women were housed in separate buildings, each

containing ten wards of fifty beds, with one ward reserved for surgical

cases and another for long-term patients. The staff was a team of twelve

male doctors and one fully qualified female doctor as well as a female

surgeon. Their names are lost to us.

Trotula lived in the 1 1^*' century and held a chair in the school of medicine

at the University of Salerno. The Regimen sanitatis salermtatum contained

many contributions from her work and was widely used into the 16^^'

century. She promoted cleanliness, a balanced diet, exercise, and

avoidance of stress — a very modern combination. Salerno was home to

other women of medicine including Abella, Rebeca de Guama,

Margaritan, and Mercuriade (all 14^*^ century CE). Among those who held

diplomas for surgery were Maria Incamata of Naples and Thomasia de

Mattio of Castro Isiae. Alessandra Giliana (c. 1318 CE) was an anatomist

at Bologna. Dorotea Bucca (1360 - 1436 CE) held a chair of medicine at

the University of Bologna.

Hildegard of Bingen-am-Rhein (1098 - 1179 CE) is one of our true

geniuses. She is honored by nurses as the founder of holistic medicine.

Spring 2007

8

She was a Benedictine nun and well-known mystic who wrote volumes of

text that were best sellers in her lifetime. A web search on her name will

turn up almost a million hits. She was sent to a convent as a young child

where she remained the rest of her life. While there she wrote in her

journal speaking of her nurse:

This wonderful woman who had guided me in observing

the range of positions of the rising and setting Sun, who

had had me mark with a crayon on a wall the time and

place where the warming sunlight first appeared in the

morning and finally disappeared each and every day of my

eleventh year.^

This is the mark of the true scientist. How many of us have done

this at eleven years of age?

Moving forward in time we find other women of medicine —

Marie Colinet (c. 1580 CE) treated patients throughout Germany and was

the first to use a magnet to remove a sliver of metal from a patient’s eye.

Isabelle Warwicke was an English surgeon (c. 1572 CE). Dorothea

Christiana Leporin Erxleben (1715 - 1762 CE) was the first woman to

receive a full M.D. from a German university (University of Halle). This

was an exceptional case, however, and required the intervention of

Frederick the Great to make it happen. The doors to official medicine in

Europe remained closed to women from the Middle Ages until the 19^*^

century.

Elizabeth Blackwell (1821 - 1910 CE) decided to enter college to

study medicine and surgery. She finally succeeded at a small college in

Geneva, New York (Geneva Medical College) and was awarded the first

M.D. given to a woman in the United States (1849). Although a lot of

textbooks list Dr. Blackwell as the first American doctor who was a

woman, she was not the first woman to practice as a doctor. That honor

goes to Harriet Hunt (1805 - 1875 CE) who set up shop in 1835. Harriet

was finally awarded an honorary degree from the New England Female

Medical College in 1853. Another first was Sarah Read Adamson Dolley

(1829 - 1909 CE) who was the first woman to intern in a hospital (1851).

She graduated from Central Medical College, New York.

The number of women in medicine in the United States multiplied with

the opening the New England Female Medical College in 1848 in Boston.

Washington Academy of Sciences

9

Twenty-six years later the school merged with the Boston University

School of Medicine thus becoming one of the earliest coed medical

colleges. One of the first teachers there was Dr. Marie Zakrzewska, a

German-born pioneer of women in medicine. In 1857 Dr. Esther Hawks

(1833 - 1906 CE) graduated from this college and shortly afterward

became a physician during the Civil War years. You can read the story of

her life in her diary^®.

The second woman to receive an M.D. in the United States was Lydia

Folger Fowler (1822 - 1879 CE) who received the degree in 1850 from

Central Medical College in Syracuse, New York, the first medical

institution to admit women on a regular basis.

With this brief look I pulled out all those names in medicine. Once

the doors of medicine opened the women poured through them and began

to contribute equally with the men. In the 20^^ century they were even

receiving Nobel Prizes — Dorothy Crowfoot Hodgkin (1910 - 1994 CE),

for example, received the 1964 Prize in chemistry for her work with

penicillin and vitamin

And in the other areas of science — did the women contribute?

Certainly they did. Women stayed the course in astronomy and

mathematics as well as all the other sciences. Even Hildegard wrote about

the movement of the stars through the skies. I concentrated on women in

medicine as just one example of a science where women contributed from

the beginning. There are even more names for the other sciences. I provide

over 400 such names in the book The Hidden Giants, published by

A\^vvv. lulu. com. I shall share just four names from the long list —

excluding Hypatia and Marie Curie because everyone knows about them.

Marie Meurdrac (c. 1666) wrote what is probably the first book- on

chemistry by a woman for women — La Chimie Charitable et facile, en

favenr des dames. In it she says that minds have no sex. Think of it. Long

before the current women’s movement, women were writing that equality

of opportunity would mean equality of scholarship.

Elena Cornaro Piscopia (1646 - 1684 CE) of Venice was a prodigy

of learning. She received a doctorate in philosophy at Padua in the

presence of a myriad of learned scholars. The University had a medal

coined in her honor and still has a marble statue of her. Vassar College in

New York has a stained glass window depicting her achievements. She

studied Latin, Greek, music, theology, and mathematics and eventually

learned Hebrew, Arabic, Chaldaic, French, English, and Spanish. She

Spring 2007

10

studied philosophy and astronomy. Musically talented, by the time she

was 17 years old she could sing, compose, and play instruments such as

the violin, harp, and harpsichord.

And then there was Marie Cunitz (1610 - 1664 CE), an

astronomer, a woman who watched the skies. Her father educated her at

home where she studied languages, classics, science, and the arts. Then

she married a physician and amateur astronomer. Before long she was the

primary astronomer in the family. At thirty she published a set of

astronomical tables. In them she simplified Kepler’s method for

calculating the positions of planets. Marie translated his rather esoteric

Latin writings and simplified the calculations into ones that did not use

Kepler’s complicated logarithms. Figure 2 shows the cover page of that

book. It was an important book, and it went through many editions. In

later editions her husband had to write a preface saying it was all her own

work. It was so useful that readers assumed he'd written it for her.

U K A N 1 A

PROPITIA

Tabuk Aflronomsca'. miry iaciles. vim

hypothcfium phyficaruin a Kcpplcro pro*

dinrum complexxt facillinio calcuiandiconipcnJiOj

line ulla Logarithmorum mcntioflc,pb£no-

menis fatisfactentcs.

Quarum ufum pro tempore priclentei

exado.&futuro, (acccdenteinrupcr facillimi Superb*

rum SATURNiat JOVISad eiiatorcni.& Crtio f«i» confonam

rw*<Micfntre<io£lion€)dupIici*tlion*4re, L*tino& vernactiio ^ /.

fdcciodii pfaefcriprum cam Afti» Caltof'ba* > • ’*i

communicit

MARIA CUNITIA.

Iff:

ntm unt)

burcS ixm wmttttliins, auff emcfon&cfs

KbmN atlb/olltrlMamKit !Bni-(ffliiil/iiai^,.ti«Ml19t/

Sub Gnauhrsbus Trivsi-gus pcrpctuis,

fumpiiStis Aaofii.

KicoJtbit ] o a A H N. S in f f 1 4 T OS,

AKNO M. DC 1.

FIGURE 2 cover of book by Marie Cunitz

Cunitz's troubles didn't end with her death. The 18^^' century was

not very hospitable to women. Astronomers of the so-called

Washington Academy of Sciences

11

Enlightenment period couldn't digest her. Forty years after her death, one

complained that ‘'she was so deeply engaged in astronomical speculation

that she neglected her household.” The woman once called the second

Hypatia was demoted to second class status. She is just one of the many

women in the history of astronomy and mathematics.

One of the 20^*^ century geniuses was Grace Brewster Murray

Hopper (1906 - 1992 CE) who was the first in many things. She received

a Ph.D. from Yale University in 1934 in mathematics. She joined the US

Navy where she remained for the rest of her career. She was the first

woman to;

• Develop operating programs for the first automatically sequenced

digital computer (1945)

• Develop the concept of automatic programming (1951) that lead to

COBOL

• Receive the computer science Man of the Year awards from the

Data Processing Management Association (1969)

• Receive the U.S. Medal of Technology (1991).

She was the oldest person on active duty in the US Navy when she

finally retired at the age of eighty attaining the rank of Commodore. She

kept retiring and the U.S. Navy kept bringing her back to active duty. She

gave the most inspiring speeches and often testified before Congress. She

helped to drive the computer revolution. She said she invented the term

‘computer bug,’ and the logbook bears her out. It happened with one of

the first electronic computers — which used diode tubes. The computer

had died overnight and the next morning she found a moth in the frizzled

relay. The term ‘bug’ — meaning defect in a machine, plan, or the like —

was used long before this however. Thomas Edison is said to have

discovered a ‘bug’ in his phonograph, implying an imaginary insect. So

although ‘computer bug’ begins with Grace Hopper, the concept of ‘bug’

does not (See Figure 3).

This is just the merest whisper of the many names of women in

science. There are so many, and each provides a light for others to follow

through the centuries. Every part of science is covered from anatomy to

zoology.

Spring 2007

12

Photo # NH 96566-KN First Computer "Bug”. 1945

(X»^Cc»«sA

I

FIGURE 3 page from computer log book with moth pasted onto the page

The Results of Science Have No Gender

Did every scientist change the world? No. We easily remember the

few people, both male and female, who produced something with a value

that lives through centuries. These are the paradigm shifters. History is

quick to record their names. Then there are those people, far, far greater in

number than the paradigm shifters, who produce something of value for

their time and place, and possibly for many times and places. These

people are much more difficult to find, and yet they are important. They

provide the basis upon which the rare genius can build a new paradigm.

These women and men are important; they are special.

There is something that encompasses not only the 20^*’ century but

also all the centuries before it. Successful science works — repeatedly.

The results from science can be tested, repeated, and used by others.

Successful science works — when the model doesn’t work, scientists

begin anew to find one that does. Over and over they repeat their attempts

Washington Academy of Sciences

13

until something, even if only the smallest of somethings, works. Small

something by small something, the rewards from science accumulate and

grow into ever more useful solutions for human problems.

Scientists have certain attributes in common with each other. They

share the attributes of luck, education, ability and sweat. The scientist is in

the right place at the right time; i.e., is lucky. The scientist absorbs as

much education as possible. It is the education that provides the grist for

the mind to use any luck it encounters. The scientist has a nimble and

adaptable mind. And finally, the scientist works hard — very, very hard.

Most of the effort is repetitive and boring. The excitement is rare, and

when it comes, it is the deepest joy and greatest wonder — all the labor is

worth those few ecstatic moments. Both women and men share these

attributes. There is no gender lurking in this definition. None.

There is no gender in the attributes; is there gender in the access?

Yes, access to scholars and information has always depended upon

gender, location, birth, and luck. If one was bom to a secure family then

one might learn to read, write, and cipher. Men have the advantage here.

Therefore, if a woman was literate and numerate, she was likely to have

links to a tutor, a benevolent father, husband or brother who was willing to

share knowledge. Perhaps, though, she lived during a time when women

had the great convent schools of England, France, and Germany open to

them^^.

Regardless, the overwhelmingly vast majority of people, both male

and female, had no access at all. They labored for their very food and

shelter. The freedom to specialize in scholarship rarely put food onto the

table. This freedom springs from the human need to dream a future. Those

who are freed to dream are freed by the labor of the rest. One of the

greatest strengths of our species is its recognition that scholarship is

worthy, important, valuable, and necessary.

The results of science have no gender. That is worth repeating. The

results of science have no gender. We cannot back out of some invention,

some theory, some solution whether the originator was female or male.

The attributes of the scientist and the science are intelligence (the ability

to combine information quickly, organize thoughts, and coordinate actions

to achieve results), skepticism (the ability to question), luck (the ability to

take quick advantage of an opportunity), sweat (the ability to work hard),

and courage (the ability to maintain a clarity of thought despite

opposition). Women have courage aplenty. Women share the common

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14

intelligence of humanity. They are superlative skeptics. The sweat of their

bodies waters all the monuments of the world. Many have shared luck

with their male brethren. We need to celebrate these women along with

the men and raise them all to be heroes. Understanding of science and

technology will only strengthen our life, our work, and our world. We

want solutions to our problems. They come from research, thought, and

technology.

In addition, there is the wonderful news that at the beginning of the

21^^ century we have women by the thousands achieving advanced degrees

in all the technical fields. It took 188 years for American women to get the

right to vote; in the last 15 years American women earned over 15,000

Ph.D.’s in technical fields. Graduate schools in medicine and dentistry are

routinely 50% female. In South America the Argentinean Astronomical

Society is now 33% female. This group of Mexicans, Chileans, Brazilians,

and Argentineans, most of them young mothers starting post-doctoral

positions, calls itself ALMA. It began at the 1981 International

Astronomical Union meeting held in Merida, Venezuela. Their

networking is informal but strong.

It is time to put our women of the past into our stories of the

present and our hope for the future. The pursuit of science is greater than

any fantasy, than any game. Out of our joy in study and our endeavors on

mountaintops, oceans and labs come solutions to problems — the

problems of the world. And we give it away freely — the best of gifts —

the light of knowledge to our daughters and sons.

I can’t leave Hypatia out completely. I end with a quote from her:

''Reserve your right to think, for even to think wrongly is better than not to

think at alV

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References

( 1 ) The first name in written liistor\' is Imliotep, tlie arcliiteet of the first pyramid. The

ancient Eg> ptians thought so liiglily of liiin that they made liim a god in their

pantheon. It is tlie first and last time that I know of tliat a scientist was made a god.

(2) Gerda Lemer, Journal of American History, 69, 1, 1982, pages 7-20

(3) D. Appleton and Company

(4) 1982, Doubleday

{5) Men of the Stars, P. Moore, 1986, Galleiy^ Books, NY, NY

(6) The word science is from the Latin scientia or knowledge.

(7) Astronomy did not grow out of astrolog> . The science of astronomy predates tlie art

of astrology by several thousand years.

(8) The Timetables of Women's History, Karen Greenspan, 1994, Simon & Schuster

(9) The Journal of Hildegard of Bingen, B. Laclunaa Bell Tower, 1993

(10) ,4 Woman Doctor's Civil War, Esther Hill Hawks’ Diar\\ ed. G. Schwartz,

University of South Carolina Press, 1986.

(11) Joliannus Kepler was also an astronomer. He codified the laws of planetary^ motion -

Kepler’s Laws as we know them today - a metliod for predicting the positions of

planets as they orbit the Sun. Tliey are a fundamental and crucial part of modem

astronomy.

(12) The Timetables of Women's History, Karen Greenspan, 1994, Simon & Schuster

Spring 2007

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Washington Academy of Sciences

ON THE ERAS IN THE HISTORY OF STATISTICS

AND DATA ANALYSIS

17

Yasmin H. Said

Center for Computational Statistics

George Mason University

Abstract

In tliis paper, we present a view of tlie evolution of statistical tliinking

tluough eras we designate as Pre-modem, Classical, Recent Past, and

Future. We argue that modes of tliinking about data and statistical

inference are noticeably different from one era to the next. We discuss

some of tlie leading figures in each of these eras.

Introduction

The word ‘‘statistics” refers at once to an academic discipline,

to a powerful tool for inference on data, and to results of the collection

and application of statistical tools to data. Statisticians generally think of

the word statistics as either the discipline or the body of methods

comprising the tool while the general public more often thinks of statistics

in the third sense, that is, a collection of numerical data as in ‘sports

statistics.’ The word statistics is derived from the Latin statisticum

collegium meaning the council of state. Similarly, the Italian word statista

means statesman or politician. Thus, generically statistics means data

about the state. The more modern term seems to have been the German

word Statistik, popularized and perhaps coined by the German political

scientist Gottfried Achenwall (1719-1772) in his Vorhereitung zur

Staatswissenschqft (1748). The word statistics seems to have been

introduced as an English language word by Sir John Sinclair (1754-1835).

Sinclair was the supervisor of the Statistical Account of Scotland (1791-

1799), which was published in 21 volumes and was the first systematic

attempt to compile social and economic statistics for every parish in the

country. In the Statistical Account of Scotland^ Sinclair describes where

he had come across the word statistics and why he translated and used it

as an English word.

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Generally for statisticians, the set of methodologies that comprise

statistics include mathematical, computational, and graphical methods and

may be applied to a wide variety of types of data including traditional

numerical data, categorical data, image data, and even text data. In this

discussion, we focus on the statisticians’ perspective and discuss the

development of methodologies and applications within an intellectual

framework. The history of statistics can be conceived in a sequence of

overlapping eras that are designated as follows;

Pre-modem Period

Classical Period

Recent Past Period

Future Period

prior to 1900

1900 to 1985

1962 to 2005

after 1981.

The Pre-modern Period

In the Pre-modem Period, one of the most interesting early examples of

the recognition of variability is the so-called Trial of the Pyx. The Trial of

the Pyx is a procedure for maintaining the integrity of newly minted coins

in the United Kingdom (England). From shortly after the Norman

Conquest (1066) in a procedure that has been essentially unchanged since

1282, the London (later Royal) Mint selects a sample of each day’s coins

that are reserved in a box called the Pyx. The earliest agreements between

the mint and the monarchy stated that a certain tolerance would be

allowed in the weight of a single coin and by linear extrapolation in the

aggregate weight of the contents of the Pyx. Thus, earlier than 1 100, there

was a formalized methodology for allowance of uncertainty and a method

by which the integrity of the entire coinage could be judged based on a

sample in the presence of uncertainty in the production process.*

The roots of modem statistical methodology can be traced to the

mid-seventeenth century. The earliest inferences are to a large extent

based on graphical methods that are later echoed in what is labeled above

as the Future Period. John Graunt’s (1620-1674) Natural and Political

Observations upon Bills of Mortality published in 1662 gathered and used

spatial data and map layouts to make inferences about sex ratios and

disease types based on the bills of mortality. In effect, John Graunt can be

considered the founder of statistical epidemiology. Correspondence

between Pierre Fermat (1601-1665) and Blaise Pascal (1623-1662) during

the 1650s and a short tract by Christiaan Huygens (1629-1695) published

in 1657 begin to lay the foundation of mathematical probability. However,

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19

all the early work along these lines focus on games of chance and do not

come to grips with the use of probability for statistical inference.

Other notable figures in the Pre-modern Period include Reverend

Thomas Bayes (1702-1761), a Presbyterian minister, noted for the

development of Bayes Theorem, published posthumously; William

Playfair (1759-1823), noted for bar charts, pie charts, and time series

plots; Charles Minard (1781-1870), whose graphical display of

Napoleon’s March on Moscow is often cited as a classic representation of

five-dimensional data; Simeon Denis Poisson (1781-1840) and Carl

Frederick Gauss (1777-1855), who began the development of statistical

distribution theory; and John Snow (1813-1858), whose use of the 1855

Cholera Map of London is recognized as one of the classic graphical

displays in epidemiology. Towards the end of the Pre-modern period. Sir

Francis Galton (1822-1911), cousin to Charles Darwin, developed the

concept of regression toward the mean, described as early as the 1870s,

and in 1888 he established the concept of correlation. In 1889, he

published Natural Inheritance, in which he formally described the notions

of regression and correlation.

The Classical Period

The Classical Period (1900-1985) is characterized by a shift from

descriptive methods to an increasingly mathematical formulation of

methodologies. It must be remembered that computation was a tedious

procedure and data collection a relatively costly process. For this reason,

in the classical period there was considerable emphasis on optimality so

that data were used efficiently, and on mathematical simplicity so that

computation could be done rapidly. Hallmarks of theory developed in this

era include small data sets, manual computation, and strong and often

unverifiable assumptions.

By the turn of the twentieth century, several practitioners are

recognized as the first modern statisticians, Karl Pearson (1857-1936)

generally being recognized as the first. Pearson was deeply interested in

religion and studied mathematics, physics, metaphysics, physiology with

emphasis on Darwinism, Roman law, medieval and 16^*' century German

literature, and finally English law. In 1885, he was appointed to the Chair

of Applied Mathematics at University College, London. The next ten

years in this Chair saw an extremely productive era for Pearson. He gave

Spring 2007

20

lectures on statistics, dynamics and mechanics, completed the unfinished

first volume of Clifford’s The Common Sense of the Exact Sciences

(published in 1885), completed and edited the half-written first volume of

Todhunter’s Histoiy of the Theory of Elasticity, began working on the

second volume, published many papers on applied mathematics, lectured

on The Ethic of Free Thoitght, and undertook research on a number of

historical topics, including the evolution of Western Christianity. The

publication of Gabon’s book in 1889 sparked Pearson’s interest in

statistical methods. Along with Gabon and Walter Weldon, Pearson was

co-founder of the first statistical journal, Biometrika, and served as its

editor for 35 years until his death. The first issue of Biometrika appeared

in October 1901. Pearson set up a statistical laboratory circa 1905 that was

combined upon Gabon’s death in 1911 with Gabon’s laboratory to

become the Department of Applied Statistics at University College,

London. Pearson was offered and accepted the Chair. Pearson’s statistical

work included the development of the Pearson curves, a very inclusive

family of statistical distributions, large sample correlation analysis, and

the earliest attempts at hypothesis testing.

William S. Gosset (1876-1937) was trained as a mathematician

and a chemist. In 1899, he secured a job as a chemist with Arthur

Guinness Son and Company. Inspired by variability in the manufacturing

process while working in the Guinness brewery in Dublin, he began to

develop several important statistical methods. In 1905 he contacted

Pearson and studied at University College, London in 1906-1907. Because

Guinness had a policy that prohibited employees from publishing research

papers regardless of their content, Gosset adopted the pseudonym Student.

His work included results on limiting and sample distributions with his

most famous achievement being the so-called Student t-test, still widely

used even in the present era.

Sir Ronald Fisher (1890-1962) is widely recognized as the third

and probably most important of the first modem statisticians. He studied

mathematics and astronomy at Cambridge, but was also interested in

biology. He graduated with distinction in the mathematical tripos of 1912.

He continued his studies at Cambridge on the theory of errors. Fisher’s

interest in the theory of errors eventually led him to investigate statistical

problems. After leaving Cambridge, Fisher worked for several months on

a farm in Canada, but soon returned to London and took up a position as a

statistician in the Mercantile and General Investment Company. When war

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21

broke out in 1914 he tried to enlist in the army, having already trained in

the Officers’ Training Corps while at Cambridge. He was rejected for

military service because of his eyesight. He became a teacher of

mathematics and physics, teaching at Rugby and other similar schools

between 1915 and 1919. Fisher gave up being a mathematics teacher in

1919 when he was offered two posts simultaneously. Karl Pearson offered

him the post of chief statistician at the Galton laboratories, but he was also

offered the post of statistician at the Rothamsted Agricultural Experiment

Station, which was the oldest agricultural research institute in the United

Kingdom. It was established in 1837 to study the effects of nutrition and

soil types on plant fertility, and this appealed to Fisher’s interest in

farming. He accepted the post at Rothamsted. Here he made many

contributions to statistics, in particular the design and analysis of

experiments, and also to genetics. He studied the design of experiments by

introducing the concept of randomization and the analysis of variance,

procedures now used throughout the world. In 1921 he introduced the

concept of likelihood. The likelihood of a parameter is proportional to the

probability of the data, and it gives a function that usually has a single

maximum value, which he called the maximum likelihood. Fisher

published a number of important texts; in particular. Statistical Methods

for Research Workers (1925) ran to many editions that he extended

throughout his life.

Pearson and Fisher had a long, bitter, and very public dispute. At

first they exchanged friendly letters after Pearson received a manuscript

from Fisher in September 1914 of a paper he was submitting for

publication to Biometrika. Pearson’s initial response was to offer his

hearty congratulations and, if correct, offered to publish the paper. Later,

having read the paper fully he indicated that it marked a distinct advance.

By May 1916 they were still corresponding in a friendly manner.

However, Pearson misunderstood the assumptions of Fisher’s maximum

likelihood method, and criticized it in his May 1917 Cooperative Study, a

paper that he co-authored with his staff concerning tabulating the

frequency curves. Fisher, believing that Pearson’s criticism was

unwarranted, responded with a paper that criticized examples in the

Cooperative Study to the extent of ridiculing them. Fisher had looked

again at his earlier correspondence with Pearson, noticed that many of his

papers had been rejected, and concluded that Pearson had been

responsible. Thus began one of the most famous feuds in the history of

statistics.

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22

There are a number of important second-generation statisticians in

the Classical Period. Egon Pearson (1895-1980) was the son of Karl

Pearson. In 1921 he joined his father’s Department of Applied Statistics at

University College London as a lecturer. However, his father kept him

away from lecturing. Egon attended his father’s lectures and began to

produce a stream of high quality research publications on statistics. In

1924, Egon became an assistant editor of Biometrika, but perhaps one of

the most important events for his future research happened in the

following year. Jerzy Neyman (1894-1981) was stimulated by a letter

from Egon Pearson, who sought a general principle from which Gosset’s

tests could be derived. Neyman went on to produce fundamental results on

hypothesis testing and, when Egon Pearson visited Paris in the spring of

1927, they collaborated in writing their first paper. Between 1928 and

1933, they wrote a number of fundamental papers on hypothesis testing,

the best-known result being the Neyman-Pearson Lemma. Neyman moved

to the University of California, Berkeley in 1938 and remained there until

his death in 1981. He was reputed to have been working on a research

paper in the hospital where he died.

Andrei Nikolaevich Kolmogorov (1903-1987) laid the axiomatic

foundations for probability theory in 1933 and also in 1938 laid out the

foundations for Markov random processes. Prasanta Chandra Mahalanobis

(1893-1972) undertook work on experimental designs in agriculture. In

1924, he made some important discoveries about the probable error of

results of agricultural experiments, which put him in touch with Fisher.

Later in 1926, he met Fisher at the Rothamsted Experimental Station and a

close personal relationship was immediately established that lasted until

Fisher’s death. In 1927, Mahalanobis spent a few months in Karl

Pearson’s laboratory in London. During this period he performed

extensive statistical analyses of anthropometric data and closely examined

Pearson’s Coefficient of Racial Likeness (CRL) for measurement of

biological affinities. He noted several shortcomings of the CRL and in

1930 published his seminal paper on the D-square statistic, which is now

recognized as the Mahalanobis Distance.

Harold Hotelling (1895-1973) earned a Ph.D. in mathematics from

Princeton University, and began teaching at Stanford University that same

year, 1924. Hotelling realized that the field of statistics would be more

useful if it employed methods of higher mathematics, so in 1929, he went

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23

to England to study with R. A. Fisher. When Hotelling returned to the

United States, he began developing some of his techniques at Stanford

University. His early applications involved the diverse fields of

journalism, political science, population, and food supply. Hotelling was a

pioneer in the field of mathematical statistics and economics in the 20th

century, with contributions to the theory of demand and utility, welfare

economics, competition, game theory, depreciation, resource exhaustion,

and taxation. His work in mathematical statistics included his famous

1931 paper on the Student’s /-distribution for hypothesis testing, in which

he laid out what has since been called confidence intervals.

Carl Harald Cramer (1893-1985) entered the University of

Stockholm in 1912 and worked as a research assistant on a biochemistry

project before becoming firmly settled on research in mathematics. He

earned a Ph.D. in 1917 for his thesis. On a class of Dirichlet series. In

1919 Cramer was appointed assistant professor at the University of

Stockholm. He began to produce a series of papers on analytic number

theory. It was through his work on number theory that Cramer was led

towards probability theory. He also had a second job, namely as an

actuary with the Svenska Life Assurance Company. This led him to study

probability and statistics that then became the main area of his research.

Cramer became interested in the rigorous mathematical formulation of

probability in work of the French and Russian mathematicians, in

particular the axiomatic approach of Kolmogorov. By the mid 1930s

Cramer’s attention had turned to the approach of the English statisticians

such as Fisher and Egon Pearson as well as contemporary American

statisticians. During World War II, Cramer was cut off from the rest of the

academic world. By the end of World War II he had written his

msLStevplQce Mathematical Methods of Statistics. In addition to his seminal

book, Cramer is known for his work on stationary stochastic processes and

for the Cramer-Rao inequality.

Calyampudi Radhakrishnan Rao" was born on September 10, 1920

in a small village, called Huvvinna Hadagalli, then in the integrated

Madras Province of British India, but now in the state of Karnataka. He

was the eighth child among ten children born to his parents,

C. Doraiswami Naidu, his father, an inspector of police, and A.

Lakshmikanthamma, his mother. Professor Rao is one of the most well

known living statisticians. He is currently professor emeritus at Penn State

University. He received an M.S. in mathematics from Andhra University

Spring 2007

24

and an M.S. in statistics from Calcutta University in 1943. Professor Rao

worked at the Indian Statistical Institute and the Anthropological Museum

in Cambridge before acquiring a Ph.D. at King’s College under R. A.

Fisher in 1948. Among his best known discoveries are the previously

mentioned Cramer-Rao inequality and the Rao-Blackwell theorem, both

related to the quality of estimators. Other areas he worked in include

multivariate analysis, theory of parameter estimation, and differential

geometry, especially as it applies to estimation.

Samuel Wilks (1906-1964) began to study mathematics at the

University of Texas in 1926 where he was taught set theory and other

courses in advanced mathematics. Wilks received an M.A. in mathematics

in 1928. Wilks was awarded a fellowship to the University of Iowa where

he studied for his doctorate under H. L. Rietz. Rietz introduced him to

Gosset’s theory of small samples and R. A. Fisher’s statistical methods.

After receiving his doctorate in 1931 on small sample theory of ‘matched’

groups in educational psychology, he continued research at Columbia

University in the 1931-1932 session. In 1932, Wilks spent a period in Karl

Pearson’s department in University College, London. In 1933 he went to

Cambridge where he worked with John Wishart, who had been a research

assistant to both Pearson and Fisher. He was appointed instructor of

mathematics at Princeton in 1933. He was to remain there for the rest of

his career, being promoted to professor of mathematical statistics in 1944.

Wilks’s work was all on mathematical statistics. His early papers on

multivariate analysis were his most important, one of the most influential

being. Certain generalizations in the analysis of variance. He constructed

multivariate generalizations of the correlation ratio and the coefficient of

multiple correlation and studied random samples from a normal

multivariate population. He advanced the work of Neyman on the theory

of confidence-interval estimation. In 1941, Wilks developed his theory of

‘tolerance limits. ’ Wilks was a founder member of the Institute of

Mathematical Statistics (1935). There are obviously many other important

contributors to the development of statistical theory in this Classical

Period, but the ones mentioned here will suffice to give a flavor of the

group. Much theory and methodology in the sense of the Classical Period

still continues to be developed.

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25

The Recent Past Period

The Recent Past Period (1962-2005) was marked by a major

transition in thinking. Prior to 1962 in the Classical Period the focus was

on the development of what is now called confirmatory analysis.

Hypothesis testing, estimation, regression analysis, and variants of them

were the major methodologies. As mentioned earlier, these methods

usually required strong and often unverifiable assumptions. John Tukey

(1915-2000) represents a bridge between the Classical Period and the

Recent Past Period. In the landmark 1962 paper of Tukey entitled, ‘The

future of data analysis,” and later in the 1977 book. Exploratory Data

Analysis''' Tukey sets forth a new paradigm for statistical analysis. In

contrast to confirmatory analysis in which a statistical model is assumed

and inference is made on the parameters of that model, exploratory data

analysis (EDA) is predicated on the fact that one does not necessarily

know that model assumptions actually hold for data under investigation.

Because the data may not conform to the assumptions of the confirmatory

analysis, inferences made with invalid model assumptions are subject to

(potentially gross) errors. The idea then is to explore the data to verify that

the model assumptions actually hold for the data in hand. This concept

sparked a major revolution in the thought processes of statisticians and

stimulated an outpouring of new methods. A brief review of statistical

research publications that explicitly use the phrase Exploratory Data

Analysis between 1960 and 2004 produces the following table.

Of course, many more research papers were published motivated by this

concept but which did not explicitly use the phrase exploratory data

analysis in the key word list.*'^

John Tukey was home schooled through the high school level. He

earned a bachelor’s degree in chemistry from Brown University in 1936

Spring 2007

26

and a master’s degree also in chemistry in 1937. In 1937, he went to

Princeton University intending to earn a Ph.D. in chemistry, but gradually

made a transition to mathematics. In 1939 he earned a Ph.D. under

Solomon Lefschetz on a dissertation focused on topology. After

graduation he was appointed as Instructor in the Mathematics Department

at Princeton. During the World War II era, Tukey worked on artillery fire

control problems through which he came to the attention of Wilks, who

was very active with the Ballistic Research Laboratory in Aberdeen,

Maryland. At the conclusion of the war in 1945, Wilks offered Tukey a

statistics position within the Mathematics Department at Princeton.

Simultaneously, Tukey joined AT&T Bell Laboratories. His colleagues

included Claude Shannon (1916-2001) of information theory fame and

Richard Hamming (1915-1998) whose major contributions include error

correcting codes. Tukey was also very active as a government consultant.

Tukey ’s earlier contributions include major advances in spectral

estimation of time series and notably in 1965 the development of the fast

Fourier transform.

Tukey had a major impact on the AT&T Bell Laboratories, and

essentially sparked an explosion in their data analysis efforts. Prominent

among the statisticians who worked at Bell Labs and who made major

contributions to exploratory data analysis are Ram Gnanadesikan, Colin

Mallows, David Brillinger, Frank Anscombe (whose wife was a sister of

Tukey ’s wife), Jon Kettenring, John Chambers, Rick Becker and Alan

Wilks, and Daryl Pregibon. Early work in exploratory data analysis was

especially to be found in the Ivy League universities including, in addition

to Princeton, Yale University where Anscombe worked. Tukey ’s 1975

work with Jerome Friedman at Stanford University on projection pursuit

featured very early work on dynamic graphics used as an exploratory data

analysis tool and is among the earliest of the uses of computer-based

visualization for EDA.

The Future Period

The introduction of personal computers and workstations circa

1981 sparked the beginnings of the Future Period (1981 onwards). In

some ways it seems strange to date the Future from 1981, but the access to

computational resources became so dramatically different, that literally an

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27

explosion of new methods resulted. The reader brought up with current

machines has little appreciation for the tedium associated with debugging

and running programs. Typically the process involved the development of

the code (usually a FORTRAN program) and punching that code and the

data into 80 column tabulator cards. The program would typically have

been submitted in person to a technician and in two to three hours the

results returned, usually printed out with no electronic version available. If

there were any errors in the code, which there frequently were, the

program would have to be corrected and resubmitted. This process could

take three, four or more iterations and easily take a week just to get one

program running in production.

The placement of computer power in the hands of the end user

made an enormous change in productivity. It should be noted that in the

EDA table above the 1980-1984 and 1985-1989 period saw an explosion

in papers in these two periods directly attributable to the introduction of

personal computing. The mid-1970s saw the emergence of integrated

circuits and their use in primitive microcomputers. Indeed the first widely

distributed microprocessor-based computer, Altair 8800, was announced

in December of 1974. By July of 1976, the Apple I computer is

introduced. Clearly a revolution was afoot, but it was not until the IBM

personal computer, the SUN and Apollo Workstations in 1981 and the

Apple Macintosh in 1984, that serious computer power was in the hands

of individual users.

Edward J. Wegman (born 1943) had moved from a faculty position

at the University of North Carolina, Chapel Hill to take a position as

Program Director for Statistics and Probability program at the Office of

Naval Research (ONR) in May 1978. The Office of Naval Research was

always known for the development of innovative programs, and Wegman

was asked to plan a new program. He recognized the impending impact of

universal computing on statistics, and in September 1978 he delivered an

address at the National Academy of Science outlining a plan for the

development of computational statistics. By his definition, computational

statistics meant statistical and graphical methods for analysis of data that

could not be accomplished without modern (emerging) computer

resources. He had identified at least three areas that would qualify for

being called computational statistics including computationally intensive

statistical methods, methods associated with data visualization (what was

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28

then called statistical graphics), and finally the use of expert systems

(artificial intelligence) for statistical analysis.

Earlier, the phrase statistical computing had been used to

characterize the translation of existing algorithms into computer code, and

programs such as BMDP, SPSS and SAS had already begun to emerge on

mainframe computers such as the IBM System 360 and System 370 by

early to mid-1970s. However, they were merely encoding already existing

traditional methods into a more conveniently formulated tool. Europeans

had been using the phrase computational statistics prior to 1978, but in

exactly the same sense as Americans had been using the phrase statistical

computing. By 1981, Wegman had developed a robust extramural research

program at ONR in computational statistics in its more modern sense.

Work funded by ONR began to emerge on several fronts including

computationally intensive methods such as bootstrapping, density

estimation, cross validation, data mining, and classification and regression

trees, and graphical methods such as brushing, grand tour, and parallel

coordinate plots. Much of the work on graphical methods is summarized

in Wegman and DePriest (1986).

Wegman early on recognized the implication of modem computing

resources for massive datasets and, in Wegman (1988), he had

characterized computational statistics as dealing with large to very large

non-homogeneous datasets, typically of high dimension. In contrast with

the formulation of methods generated in the Classical Period, methods

could be computational intensive, potentially with iterative algorithms.

Methods needed to be numerically tractable, but no longer in closed form.

The emphasis was displaced from statistical optimality to statistical

robustness.

Wegman’ s earliest training, like that of John Tukey, was in

chemistry, but he soon changed to mathematics, earning a bachelor’s

degree in 1965 from St. Louis University. He entered the University of

Iowa planning on studying algebraic topology, but soon changed over to a

combination major in mathematical statistics and computer science. He

earned the M.S. degree in 1967 and the Ph.D. in 1968 under Tim

Robertson. As mentioned earlier, he joined the Department of Statistics at

the University of North Carolina, Chapel Hill, the same Department that

Harold Hotelling had begun. The Department was a magnet for

distinguished faculty and visitors and Wegman became acquainted with

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29

many of the second-generation statisticians including Egon Pearson,

Harald Cramer, Jerzy Neyman, and C. R. Rao. His early work focused on

asymptotic theory especially related to isotonic inference and density

estimation. At ONR, the period from 1978 to 1986 was arguably a golden

era for the development of computational statistics with such prominent

contributors as Brad Efron, Jerome Friedman, David W. Scott, Peter

Huber, David Donoho, Emanuel Parzen, Grace Wahba, Peter Bickel, and

the late Leo Breiman, all receiving support for their work from ONR. In

1986, Wegman went on to George Mason University where he has

continued as an important contributor to computational statistics, data

mining and data visualization as well as being a mentor to an emerging

generation of contributors.

Bradley Efron (born 1938) was bom in St. Paul, Minnesota, but

obtained all of his degrees in California, undergraduate in mathematics at

California Institute of Technology and graduate degrees in statistics at

Stanford University. Professor Efron is an exceptionally distinguished

scholar and has won many awards including being elected to the American

Academy of Arts and Sciences and the National Academy of Science,

being awarded the MacArthur Prize, and honorary doctorates from the

University of Chicago and the Universidad Carlos III de Madrid, Spain.

His earliest work focused on traditional mathematical statistics and related

methodology. He is known for the wide variety of innovations, but is

perhaps best known for the development of computationally intensive

methods and especially for his innovation, the bootstrap. Professor Efron

likes to work on applied and theoretical aspects of a problem at the same

time and his focus has been on Biostatistics and astrophysical

applications.

Jerome Friedman (born 1939) grew up in Yreka, California and

earned his Ph.D. from the University of California, Berkeley in physics

with a focus on high-energy particle physics. His earliest professional

appointments were in physics including Lawrence Berkeley Laboratory,

CERN'^, and the Stanford Linear Accelerator Center (SLAC). For 30

years. Professor Friedman led the computation research group at SLAC.

He gradually migrated to statistical issues taking an appointment as

visiting professor of statistics at the University of California, Berkeley in

1981 and an appointment as Professor of Statistics at Stanford in 1982

while retaining his affiliation with SLAC. Professor Friedman is without

doubt one of the world leaders in computational statistics and data mining.

Spring 2007

30

His contributions to computational statistics reflect practical experience

with data and his long history as leader of the computation research group.

His methodological contributions are legendary and include classification

and regression trees (CART), projection pursuit regression (PP-

regression), alternating conditional expectation (ACE), multivariate

adaptive regression splines (MARS), and multiple adaptive regression

trees (MART) to name just a few.

David W. Scott (bom 1950) earned his Ph.D. at Rice University.

His early work with researchers at Rice, Baylor College of Medicine, and

elsewhere focused on practical applications in fields of heart disease,

remote sensing, signal processing, clustering, discrimination, and time

series. Professor Scott has worked with the former Texas Air Control

Board on ozone forecasting and is known for his work on massive data

understanding and visualization. He is best known for his work on

nonparametric density estimation, where he has provided fundamental

understanding of many estimators including the histogram, frequency

polygon, averaged shifted histogram, discrete penalized-likelihood

estimator, adaptive estimators, oversmoothed estimators, and modal and

robust regression estimators. He has provided basic algorithms including

biased cross-validation and multivariate cross-validation.

The Future Period is clearly changing the research emphases. The

post-Sputnik era (1957-1979) saw relatively lavish funding of basic

research in statistics with only some lip service being paid to applications.

This substantial funding of undirected basic research saw also increasing

emphasis on the development of methodology. However, the post- 1981

era saw a significant increase in emphasis on applications. The availability

of computing also resulted in new and novel data structures, many of

which did not follow traditional statistical models. Wegman (2000) called

for the statistical profession to become more data centric rather than

methodology centric, i.e. to take on challenges of the new data structure

even though they did not fit conveniently within the framework of existing

statistical models. Some emerging data structures and future directions for

the profession include streaming data, image data, text data, and data

available in the form of random graphs. No longer is basic research money

easily available for research in statistical methodology alone. Increased

emphasis on real problems cannot help but be a good feature for academic

research because virtually every significant advance has been motivated

by addressing some real problem.

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31

Statistical Thinking in Government, Science, and Law

Statistics as an academic discipline is intertwined with and

motivated to a large extent by official government statistics. An

interesting timeline showing these interconnections can be developed.

John Graunt (1620-1674), Gottfried Aschenwall (1719-1772), Sir John

Sinclair (1754-1835) and John Snow (1813-1858) have already been

mentioned in connection with official statistics. Anticipating by 50 years

Sir John Sinclair’s work. Pastor Johann Peter Sussmilch’s (1707-1767)

two-volume treatise. Die gdttliche Ordnimg hi den Verdndenmgen des

nienshlichen Geschlechts aus der Gebnrt, dem Tode iind der

Fortpflanzwig desselben em’eisen, appeared originally in 1741 and

combined facts from church registers and mortality statistics. The Swedish

contemporary of Siissmilch was Per Wargentin (1717-1783) is credited

with the achievements of Swedish statistics in the eighteenth century and

was used by Siissmilch in later editions of Sussmilch’s work. The first

U.S. Census was taken under the authority of Secretary of State Thomas

Jefferson in 1790. U. S. Marshals on horseback took the Census and they

counted 3.9 million people. By 1810, the U. S. Census was expanded to

obtain information on manufacturing including the amount and value of

products. By 1839, the American Statistical Society was formed to be

renamed shortly the American Statistical Association because of an

unfortunate acronym. In England, William Farr (1807-1883), an early

medical statistician, was the compiler of abstracts in the office of the

Registrar General. Using data that he compiled along with methods earlier

attributed to John Snow, he identified the source of the 1866 cholera

epidemic as water from a particular well of the London Water Company.

Meanwhile his contemporary, Ernst Engel (1821-1896) served from 1860

as Director of the Royal Prussian Statistical Bureau.

Back in the United States, Abraham Lincoln establishes the United

States Department of Agriculture (USD A) in 1862. Lincoln refers to

USDA as “the people’s department.” In 1863, the first crop report appears

and the USDA Division of Statistics is established. U. S. Census Bureau

employee Herman Hollerith invented tabulating card machines, which

were first used in the 1890 census, which counted nearly 63 million

people. In 1913, the U. S. Department of Labor is established along with

the Bureau of Labor Statistics. A major development took place in Europe

in 1953 with the development of the European Statistical System

Spring 2007

32

(EUROSTAT), which, for the first time, integrated statistics across all of

Western Europe. In short, the roots of statistics as a state science

continues to stimulate and motivate statisticians with continuing advances

in survey research and sampling theory associated with survey research.

Statistics as a methodology has become a ubiquitous subtext in the

modern scientific and social enterprise. Within medicine, clinical trials for

new medicines and medical devices are universally required for Food and

Drug Administration approvals. Such requirements have elevated

Biostatistics to an essential part of the medical curriculum. Virtually no

medical paper is published without an appropriate statistical analysis.

Indeed, sizable efforts are made to model and track potential impending

epidemics and the field of epidemiology has emerged as a quasi-

independent discipline.

Within the field of law, statistical methods and the meaning of the

weight of evidence is becoming increasing subject to statistical

interpretation. Indeed, a judicial trial is essentially an analog of statistical

hypothesis testing. The null or status quo hypothesis is that the defendant

is innocent until proven guilty. The evidence presented is intended to

convincing reject the null hypothesis in favor of the alternate hypothesis

of guilt. The jury of peers is intended as a replicated sample of

independent observers (although, with human observers, this is not always

the case). Testimony of statistical experts has often been employed in the

last three decades in racial or sex discrimination cases.

An interesting new direction has been emerging with respect to

forensics in the courtroom. Statistical methods have been used to discredit

to a large extent the use of polygraph for lie detection and such testimony

is no longer allowed (National Research Council, 2003). Similarly, the

National Research Council of the National Academies (2004) has

considered bullet lead analysis used by the Federal Bureau of

Investigation using statistical methods and has increased legal challenges

to this type of evidence. Oxhtr forensic science evidence likely to come

under statistical and other technical scrutiny in the future include what is

now called friction ridge'* evidence and blood alcohol concentration

evidence'"*. While DNA evidence has been vetted from a statistical

perspective, the statistical certainty of these other forms of forensic

evidence is far less clear and is likely to lead to additional significant

Washington Academy of Sciences

33

adjustment in legal procedures and less aggressive pursuit of convictions

based on these methods.

Conclusions

The current era, i.e., what is here called the Future Period, is a

golden era for statistics as a discipline. Never in the history of statistical

research has there been more innovation, motivated by the fortuitous

combination of important problems, computational resources, and an

incredibly able cast of scholars. Those few contemporary scholars

mentioned in this article are by no means the only scholars of note. It is far

easier to list important contributors from the past as their contributions

have stood the test of time. To simply list the contemporary scholars in the

statistics discipline would be an arduous task. To give some sense of scale,

since 1962, the beginning of the Recent Past Period, there have been 1643

people named as Fellows of the American Statistical Association (ASA).

Since 1981, there have been 1033 people elected as Fellow of ASA. In

contrast to these numbers, from 1914, when the Fellow rank was

established, until 1960, there were only 464 Fellows of ASA elected. Just

the list of ASA Fellows from 1961 onwards occupies 34 pages of text.

That a person is not explicitly listed in this article should in no way be

interpreted as a lack of contribution or importance to the scholarly

enterprise by that person. There are simply too many distinguished

contributors to list individually.

Acknowledgement

The author gratefully acknowledges the long discussions with Professor

Edward J. Wegman, whose contact and experience with both the early

contributors and the evolution of statistics as a discipline over the last 40

years provided valuable insight that made this discussion possible.

' Tlie use of linear extrapolation is a flawed procedure by modem stcmdards. If a

tolerance of 2 units per coin is allowed, tlien for 100 coins, the Trial of the Pyx would

allow 200 units tolerance, whereas modem theory’ would dictate a tolerance of 2Vl00 =

20 units tolerance.

"Professor Rao’s parents named liiin Radhakrislma after Radlia and Krislma. Krislma is

believed to be incarnation of Vislmu by tlie Hindus. Today, C. Radhakrislma is

synonymous witli statistical science; however, his parents did not know their child's

destiny. At the time tliey just wanted to attach Divinity to his name. Among Hindu's,

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34

Radhakrislina is a chanting name for perfonning Japa yoga, wliich is one of many ancient

Indian yoga systems. Krislma was tlie eighth cliild bom in a jail where his parents.

De^ aki and Vasude\ were kept by Devaki’s brother. Kamsa. Soon after he was bom.

Krislma appeared as a four-handed Vislmu. tlie primarv Hindu God. and ad\ased

Vasudew liis father, to take liim to Gokul. All the Jail doors opened, and in torrential rain

Vasude^ crossed the inundated Yamuna River. All obstacles were removed, and thus.

Krislma ’s divinit> began manifesting. Radlia migrated to Gokul from another village.

She was a contemporan of Krishna, perhaps, some\Ahat older. Her husband never

returned from his fighting in a war, and Radha ne\ er remarried. She soon recognized tlie

Dh init> of Krislma and adopted the Bhakti yoga, surrendering to Krislma as a Bhakta

\\ould do. She was totally lost in Samadlii. deep meditation, and would forget tlie whole

world. Among Hindus. Radha’s name that is placed before Krishna, because she

exemplified the supreme and di\ ine love and surrender necessan for the ultimate

salvation.

Exploratory' Data Analysis was actually issued a fe\^ years earlier tlian 1977 in a

massh e preprint fonn tliat was widely distributed among the research oriented statistics

departments.

It should be noted tliat Tukey’s Exploratory Data Analysis book alone has more tlian

1580 citations.

“CERN is the European Organization for Nuclear Researcli. tlie world's largest particle

physics center. It sits astride the Franco-Swiss border near Geneva.”

""’Friction ridge evidence is what lias been called finger print analysis. The coimiion

\^ isdom tliat fingerprints are unique to an individual dates from tlie turn of the 20^

centurN , but tliis has never been proven scientifically. Tlie implication of U.S. lawyer,

Brandon Mayfield, a Muslim convert, in tlie March 11, 2004 Madrid Train bombings

based on erroneous finger print analysis, liiglilights tliis ambiguit\'.

""’’Blood alcohol concentration (BAG) is usually inferred from breath alcohol

concentration, wliich is traditionalh presumed to be linearly related to blood alcohol

concentration w itli no accounting for statistical fluctuations in this relationsliip. Breath

alcohol concentration is measured by the absorption of infrared wavelengtlis in two

spectral bands by tlie alcohol molecule, which can also be mimicked by other volatile

organic molecules. The presumption of intoxication at a BAG of .08 lias been

successfully cliallenged in Virginia based on tlie fact tliat it unconstitutionally sliifts the

burden of proof to the defendant to prove tliat he/she is not intoxicated.

References

Achenw all, Gottfried (1748) Vorhereitung zur Staatswnssenschaft

Glifford. William Kingdon. Rowe, Richard Gharles. and Pearson. Pearson (1885) The

Common Sense of the Exact Sciences, New^ York, D. Appleton and Gompany

Gramer. G. H.(1917) On a Class of Dirichlet Series, Ph.D. DissertatioreUniversity of

Stockholm

Washington Academy of Sciences

35

Crainer. C. H. (1945) Mathematical Methods of Statistics. Uppsala, Almqvist and

Wiksells

Fisher, R. A. (1925) Statistical Methods for Research Workers. Edinburgh, Oliver and

Boyd, 1st Edition (now in 14th Edition)

Galton, Francis (1889) Natural Inheritance, London and New' York, Mcinillan and

Company

Graunt, Jolin (1662) Natural and Political Obsen’ations upon the Bills of Mortality

National Research Council of the National Academies (2004) Forensic Analysis

Weighing Bullet Lead Evidence. Wasliington, D.C., National Academies Press

National Research Council of the National Academies (2003) The Polygraph and Lie

Detection. Wasliingtoa D.C., National Academies Press

Sinclair, Jolm (1791-1799) Statistical Account of Scotland {2\ volumes)

Soper, H. E., Young, A. W., Cave, B.M., Lee, A. and Pearson, K. (1917) “On tlie

distribution of tlie correlation coefficient in small samples; Appendix 11 to the papers

of ‘Student’ and RA Fisher. A Cooperative Study,” Biometrika. 1 1, 328

Stissmilch, Johami Peter and Baumann, Cluistian Jacob (1798) Die gottUche Ordniing in

den Veranderungen des menshlichen Geschlechts aus der Gehurt, dem Tode iind der

Fortpflanzung desselben erweisen. Berlin : Im Veiiag der Buchli. der Realschule (3’^'^

Edition)

Todhunter, 1. And Pearson, K. (1886) History of the Theory of Elasticity. Cambridge,

Cambridge University Press

Tukey, J. W. (1962) “Tlie future of data ^itvaXysis'EAnnals of Mathematical Statistics. 33,

i-67

Tukey, J. W. (1977) Exploratory Data Analysis. Reading Massachusetts, Addison-

Wesley Publisliing Company

Wegman, E. J. and DePriest, D. J. (1986) Statistical Image Processing and Graphics.

New York, Marcel Dekker

Wegman, E. J. (1988) “Computational statistics: a new^ agenda for statistical tlieoiy and

practice,” Jowr/7^7/ of the Washington Academy of Sciences. 78, 310-322

Wegman. E. J. (2000) “On the eve of tlie 21st century: Statistical science at a

crossroads,” Computational Statistics and Data Analysis. 32, 239-243

Wilks, S. S. (1932) “Certain generalizations in the analysis of variance,” Biometrika. 24,

471-494

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Washington Academy of Sciences

REVIEW OF SIGN LANGUAGE STUDIES

OF CROSS-FOSTERED CHIMPANZEES

37

R. Allen Gardner

University of Nevada

Abstract

In cross-fostering, parents of one genetic stock rear young of a second

genetic stock to study tlie effect of rearing on genetic predisposition.

Cliimpanzees Washoe, Moja, Pili, Tatu, and Dar were cross-fostered in

households modeled as closely as possible after human infant

enviromnents. Washoe arrived when she was 9 or 10 months old.

Moja, Pili, Tatu, and Dar arrived within a few days of birth. When the

cross-fosterlings were present, American Sign Language (ASL) was

the only language used by human foster families. Cross-fosterlings

learned ASL from human adults and each other conversationally,

witliout drills or special treats. Semantic range was like human

semantic range - DOG for any dog, FLOWER for any flower,

including dogs and flowers on first sight. The clumps mostly initiated

conversations on tlieir own after about two years, casually as human

cliildren do, as if bom with a motive to communicate. ASL is a

naturally occurring human language permitting comparison with

human development. Development of vocabulary and pluuses was

comparable to development of human children. Development of

functional categories of answers to Wh-questions was comparable,

even advanced, as was meaningfully contingent replies to probing

questions. Cross-fosterlings also used e.xpansion, reiteration and

incorporation to maintain conversation. Pragmatics of gaze direction

and turn taking as well as gaze direction and pointing developed in

human patterns. They also developed human pragmatic devices to

indicate agent, object, and instmment. Development was slower than

human development, but without signs of asymptote. Longer years of

cross-fostering should induce furtlier progress.

Human beings grow up to be human adults partly because

they are born human, and partly because they are reared by human parents

in human societies. In cross-fostering, parents of one genetic stock rear

young of a different genetic stock to study the effect of rearing conditions

on genetic predispositions. Cross-fostering assumes that infants,

particularly human infants, develop by interacting and experiencing rather

Spring 2007

38

than by incubating and unfolding like a flower in a pot. Evolutionary

biologist, Lewontin (1991) put it this way:

... we are not determined by our genes, although surely we

are influenced by them. Development depends not only on

the materials that have been inherited from parents - that is,

the genes and other materials in the sperm and egg - but

also on the particular temperature, humidity, nutrition,

smells, sights, and sounds (including what we call

education) that impinge on the developing organism (1991,

p. 26).

Genomic psychologists and biologists seem to teach that all

animals develop according to an inexorable species-specific plan.

Provided with sufficient food, water, and shelter, each child should

develop into a typical child, each chimpanzee into a typical chimpanzee,

and so on. Current trends in genomics often seem to support this tradition.

Lewontin answers as follows:

The trouble with the general scheme of explanation

contained in the metaphor of [genetic programs] is that it is

bad biology. If we had the complete DNA sequence of an

organism and unlimited computational power, we could not

compute the organism, because the organism does not

compute itself from its genes. Any computer that did as

poor a job of computation as an organism does from its

genetic ‘‘program” would be immediately thrown into the

trash and its manufacturer would be sued by the purchaser

(1991, p. 17).

Sign language studies of cross-fostered chimpanzees assume that if

any form of behavior, human or animal, exists it exists as a natural,

biological phenomenon. The proper analysis of behavior is not in terms of

simpler behavior and more complex behavior, or in terms of lower

organisms and higher organisms, but rather in terms of general principles

that can be found in all forms of behavior. They further assume that there

is no discontinuity between verbal behavior and the rest of human

behavior, or between human behavior and the rest of animal behavior - no

barrier to be broken, no chasm to be bridged. Chimpanzees learned to use

a form of human language, American Sign Language (ASL) under nearly

the same conditions in which human children learn their first language.

Washington Academy of Sciences

39

Sibling Species

That chimpanzees look and act like human beings, is plain to see.

Modern research reveals closer and deeper biological similarities of all

kinds (Goodall, 1986). By molecular analysis, for example, chimpanzees

are closer to humans than any other species, and also closer to humans

than chimpanzees are to gorillas or to orangutans (Sarich & Cronin, 1976;

Stanyon, Chiarelli, Gottlieb, & Patton, 1986).

Most critical for human cross-fostering, chimpanzees have a long

childhood. Newborn chimpanzees are quite helpless. In our laboratory,

they failed to roll over by themselves before four to seven weeks old, sit

up before ten to fifteen weeks, or creep before twelve to fifteen weeks.

The change from milk teeth to adult dentition began at about five years.

Under natural conditions in Africa, infant chimpanzees are almost

completely dependent on their mothers until they are two or three years

old and weaning only begins when they are between four and five years

old. Menarche occurs when wild females are ten or eleven, and their first

infant is born when they are between twelve and fifteen years old

(Goodall, 1986 pp. 84-85, 443). Captive chimpanzees have remained

vigorously alive, taking tests and solving experimental problems when

they were more than 50 verified years old (Maple & Cone, 1981). Cheeta,

star of Tarzan movies, was 71 years old in 2003 (Roach, 2003) and alive

and well in 2005 (Westfall, personal communication).

A Cross-fostering Laboratory

Cross-fostering is very different from rearing a chimpanzee in a

conventional laboratory staffed by human caretakers. Cross-fostering is

also very different from keeping a chimpanzee in a home as a pet. Many

people keep pets in their homes. They may treat their pets very well, and

they may love them dearly, but they hardly treat them like children.

Providing a nearly human infant environment all day every day for years

on end is a daunting laboratory challenge. In his historic review, Kellogg

(1968) found only three cases that qualified as human-chimpanzee cross-

fostering: Kellogg & Kellogg (1933), Hayes & Hayes (Hayes 1951), and

Gardner & Gardner, only just beginning as Kellogg was writing in 1967.

All aspects of intellectual growth are intimately related. For young

chimpanzees no less than for human children familiarity with simple tools

such as keys, devices such as lights, articles of clothing such as shoes, are

intimately involved in learning signs or words for keys, lights, shoes,

opening, entering, lighting, and lacing. The Gardner laboratory in Reno

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40

was well-stocked with such objects and activities, and cross-fosterlings

had free access to them, or at least as much access as young human

children usually have. While no more free than human children to go

outdoors without permission they were free of mechanical restraints both

indoors and out. They not only learned to eat human style food, they

learned to use cups and spoons and to clear the table and help wash the

dishes after a meal. They not only learned to use human toilets (in their

own quarters and elsewhere) but they learned to wipe themselves and

flush the toilet, and even to ask to go to the potty to postpone lessons and

bedtimes. R. Gardner and Gardner (1989) is a detailed description of their

daily indoor and outdoor life in human-style surroundings.

The Gardner laboratory advanced beyond earlier studies because it

included five chimpanzee subjects, rather than only one, because it

continued longer, and mostly because the daily language of this infant

world was American Sign Language (ASL), the naturally occurring

language of deaf communities in North America. English, the language of

earlier studies, demands vocal apparatus and vocal habits that seem to be

beyond chimpanzees. Without conversational give-and-take in a common

language, cross-fostering conditions could hardly be said to simulate the

environment of a human infant. In the Gardner laboratory, for the first

time, cross-fostered chimpanzees and their human foster families had a

common language.

Sign Language Only

Attempting to speak good English while simultaneously signing

good ASL is about as difficult as attempting to speak good English while

simultaneously writing good Russian. Often, teachers and other helping

professionals attempt to speak and sign simultaneously. Those who have

only recently learned to sign, soon find that they are speaking English

sentences while adding the signs for a few of the key words in each

sentence (Bonvillian, Nelson, & Charrow, 1976). When a native speaker

of English practices ASL in this way, the effect is roughly the same as

practicing Russian by speaking English sentences and saying some of the

key words both in English and in Russian.

A human foster family that spoke and signed at the same time

could hardly provide an adequate model of ASL. Signing to infant

chimpanzees and speaking English among adults would also have been

inappropriate. That would have lowered the status of signs to nursery talk.

In addition, cross-fosterlings would have lost the opportunity to observe

Washington Academy of Sciences

41

adult models of conversation, and the human newcomers to sign language

would have lost significant opportunities to practice and to learn from

each other.

To a casual observer looking over the laboratory fence, the greatest

departure from the world of most human children would probably have

been the silence. Modern man is a noisy member of the animal kingdom.

Old or young, male or female, wherever you find two or more human

beings they are usually vocalizing. By contrast, chimpanzees are usually

silent. They seldom vocalize unless they are excited (Yerkes, 1929, pp.

301-309; Goodall, 1986, p. 125). Cross-fostered chimpanzees, Washoe,

Moja, Pili, Tatu, and Dar were also very silent and so were their human

companions. The only language that we used in their presence was ASL.

There were occasional lapses, as when outside workmen or their

pediatrician entered the laboratory, but the lapses were brief and rare.

When a cross-fosterling was present, all business, all casual

conversation was in ASL. Everyone in their human foster family had to be

fluent enough to make themselves understood under the sometimes hectic

conditions of life with these lively youngsters. Visits from nonsigners

were strictly limited. Visitors from the deaf community who were fluent in

ASL were always welcome.

The rule of sign-language-only required some of the isolation of a

field expedition. We lived and worked as if at a lonely outpost in a hostile

country. We were always avoiding people who might speak to our

chimpanzees. On outings in the woods, we were as stealthy and cautious

as Indian scouts. On drives in town, we wove through traffic like

undercover agents. We could stop at a Dairy Queen or a MacDonald's fast-

food restaurant, but only if they had a secluded parking lot in the back.

Then one human companion could buy the treats while another waited

with the cross-fosterling in the car. If anyone noticed a chimpanzee

passenger, the car drove off to return later for stranded passenger and

treats, when the coast was clear.

The Second Project

Project Washoe presented the first challenge to traditional

doctrines about nonhuman beings and language. But, it came to a

premature end in 1970, when of the six humans in her foster family, Susan

Nichols decided to have her own baby, and Roger Pouts determined to get

an independent post far from the University of Nevada. Failing to replace

Susan and Roger in time, we had to stop and regroup. Luckily, in the nick

Spring 2007

42

of time William Lemon kindly offered both Washoe and Roger a place at

his chimpanzee institute at the University of Oklahoma.

After two years of regrouping and planning we began a second

venture in cross-fostering. The objectives were essentially the same, but

there were several improvements in method. For example, Washoe was

nearly one year old when she arrived in Reno. A newborn subject would

have been more appropriate, but newborn chimpanzees are very scarce

and none were offered to us at the time. After Project Washoe, it was

easier for us to obtain newborn chimpanzees from laboratories.

Chimpanzee Moja, a female, was bom at the Laboratory for Experimental

Medicine and Surgery in Primates, New York, on November, 18, 1972,

and arrived in our laboratory in Reno on the following day. Chimpanzee

Pili, a male, was born at the Yerkes Regional Primate Research Center,

Georgia, on October 30, 1973, and arrived in our laboratory on November,

1, 1973. (Pili died of leukemia on October 20, 1975, so that his records

cover less than two years.) Chimpanzee Tatu, a female, was born at the

Institute for Primate Studies, Oklahoma, on December 30, 1975, and

arrived in our laboratory on January 2, 1976. Finally, chimpanzee Dar, a

male, was born at Albany Medical College, Holloman AFB, New Mexico,

on August 2, 1976, and arrived in our laboratory on August 6, 1976.

Chimpanzees of the second project could interact with each other,

which added a new dimension to cross-fostering. In a human household,

children help in the care of their younger siblings who, in their turn, learn

from older siblings. Sibling relationships are also a common feature of the

family life of wild chimpanzees (Goodall, 1986, pp. 74, 176-177, 337).

At Gombe in Africa, older offspring stay with their mothers while

their younger siblings are growing up and they share in the care of their

little brothers and sisters. Close bonds form between older and younger

siblings who remain allies for life. Younger siblings follow and imitate

their big sisters and big brothers. Seven year old Flint followed and

imitated his young adult brother, Faben, in a way that would certainly be

described as hero worship if they had been human brothers. Faben was

partially paralyzed as an after effect of polio and had a peculiar and

striking way of supporting his lame arm with one foot while he scratched

the lame arm with the good arm. During a 1971 visit to Gombe, Beatrix

Gardner and I observed how Flint copied even this peculiar scratching

posture of his brother Faben. Capitalizing on relationships between older

and younger foster siblings, we started Moja, Pili, Tatu, and Dar newborn,

but at intervals, so that there would be age differences.

\Afeshington Academy of Sciences

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The second project became a fairly extensive enterprise by the

time that there were three chimpanzee subjects. At that point, we moved

from the original suburban home to a secluded site that used to be a guest

ranch. The chimpanzees lived in the cabins that formerly housed ranch

hands. Many of the human family members lived in the guest apartments

and the rancher’s quarters. Human bedrooms were wired to intercoms in

the chimpanzee cabins so that each of the cross-fosterlings could be

monitored by at least one human adult throughout each night. There were

great old trees and pastures, corrals and barns, to play in. There were also

special rooms for observation and testing as well as office and shop

facilities. The place was designed to keep chimpanzees under cross-

fostering conditions until they were nearly grown up, perhaps long enough

for them to begin to care for their own offspring.

At all times in the second project, several human members of the

family were deaf themselves or children of deaf parents, and still others

had learned ASL and used it extensively with members of the deaf

community. With deaf participants it was “sign language only” all of the

time, whether or not there were chimpanzees present. Native signers were

the best models of ASL, for human participants who were learning ASL as

a second language as well as for chimpanzees who were learning it as a

first language. The native signers were also better observers because it

was easier for them to recognize babyish forms of ASL. Along with their

own fluency they had a background of experience with human infants who

were learning their first signs of ASL.

News of the success of Project Washoe had been warmly received

in the deaf community. There were enthusiastic articles in the Deaf

American, the most widely circulated publication in the deaf community at

that time {e.g., Swain, 1968, 1970). When we lectured at Gallaudet

College (the national college of the deaf in Washington, D C.) in 1970, we

were told that our audience was the largest that had ever turned out for a

lecture in the history of the college up to that time. Project Washoe had

opened channels of communication for consultation, advice, and

recruitment.

Teaching

We signed to each other and to cross-fosterlings throughout the

day the way human parents model speech and sign for human children.

We used a very simple and repetitious register of ASL. We made frequent

comments on common objects and events in short, simple redundant

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44

sentences. We amplified and expanded on their fragmentary utterances

(e.g. Tatu: BLACK/ Naomi; THAT BLACK COW/). We asked known-

answer questions {e.g WHAT THAT‘S WHAT YOUR NAME? WHAT I

DO?). We attempted to comply with requests and praised correct, well-

formed utterances. All of these devices are common in human households

(de Villiers & de Villiers, 1978; Moerk, 1983; Snow, 1972). Parents

throughout the world seem to speak to their children as if they had very

similar notions of the best way to teach languages such as English or

Japanese to a young primate (Snow & Ferguson, 1977).We did not have to

tempt them with treats or ply them with questions to get them to sign to

us. Mostly, they initiated conversations with human companions and, of

course, with each other. They commonly named objects and pictures of

objects in situations in which we were unlikely to reward them.

Washoe often signed to herself in play, particularly in places that

afforded her privacy, i.e., when she was high in the tree or alone in her

bedroom before going to sleep. ... Washoe also signed to herself when

leafing through magazines and picture books, and she resented our

attempts to join in this activity. If we did try to join her or if we watched

her too closely, she often abandoned the magazine or picked it up and

moved away. Our records show that Washoe not only named pictures to

herself in this situation, but that she also corrected herself. On one

occasion, she indicated a certain advertisement, signed THAT FOOD,

then looked at her hand closely and changed the phrase to THAT DRINK,

which was correct.

Washoe also signed to herself about her own ongoing or

impending actions. We have often seen Washoe moving stealthily to a

forbidden part of the yard signing QUIET to herself, or running pell-mell

for the potty chair while signing HURRY. (B. Gardner & Gardner, 1974,

p.20)

Modeling and Molding

Fortunately, both children and chimpanzees can learn by

procedures that tell them directly, “This is an X” or “You are (or I am)

Xing.” Modeling words and signs in this way is a natural part of nursery

life. For example, our cross-fosterlings had to brush their teeth after every

meal. At first, Washoe resisted this routine. Gradually, she came to submit

with less and less fussing, and within the first year, she started to help and

even to brush her teeth for herself Usually, after having finished her meal.

Washington Academy of Sciences

45

she would try to leave her high-chair. We would restrain her, signing,

FIRST TOOTHBRUSH, THEN YOU CAN GO.

One day, in the tenth month of the project, Washoe was visiting

the Gardner home and found her way into the bathroom. She climbed up

on the counter, looked at our mug full of toothbrushes, and signed

TOOTHBRUSH. At the time, we believed that Washoe understood the

sign TOOTHBRUSH, but we had never seen her use it. She had no reason

to ask for the toothbrushes in the Gardner bathroom, because they were

well within her reach; and it is very unlikely that she was asking to have

her teeth brushed. She was just naming a found object, to her companion

or, perhaps, to herself

Adult to adult interest was also critical. In the 1960’s many

members of Washoe’s foster family were smokers. She must have watched

them asking each other for cigarettes and matches over and over again,

although she, herself, was not allowed to smoke cigarettes or play with

matches. One day, during the 30th month of Project Washoe, Naomi (a

nonsmoker) needed to light the stove for cooking, but could not find any

matches. Washoe watched the search intently. By way of explanation,

Naomi held up an empty box of matches. And Washoe replied, SMOKE.

After this first observation, we discovered that Washoe signed SMOKE to

name both cigarettes and matches or their familiar containers.

One way to tell a chimpanzee or a child that “This is the sign for

X” is to take their hands and mold them into the sign while putting them

through the movement. We call this procedure molding (cf. Fouts, 1972).

Parents and teachers of deaf human children use it often to teach signs

(Bonvillian & Nelson, 1973, pp. 191, 199; Maestas y Moores, 1980, pp. 5-

6), and variants of molding are used in teaching all sorts of motor skills to

human children and to human adults, also. The sixth sign that Washoe

acquired, and the first that she acquired by molding, was TICKLE.

DOG was an early sign for all of our chimpanzees, but live dogs

were too distracting to use as exemplars. The youngsters chased them,

patted them, and pulled their tails; but they were usually just too excited to

sign about them. We had to use drawings and pictures to teach this sign.

Once they had mastered it they could use it to name live dogs, also, and

even to comment on the barking of an unseen dog. When she was 24

months old, Moja and her family invented a game in which she signed

DOG on a friend's thigh (an inflected form, Rimpau, Gardner, Sc Gardner,

1989). Then the friend would bark like a dog. The dog imitation of her

Spring 2007

46

human companion might be quite dramatic, even including getting down

on all fours and jumping over furniture. It was one of Moja’s favorite

games. When he was 16 months old, Pili had already started to sign DOG

to name pictures of dogs, but progress was slow until he learned the dog

game from Moja. After one incident of watching Moja play it with a

mutual friend it became a favorite game of his, also. With the dog game

added to the list of appropriate contexts, his DOG sign quickly passed the

criterion of reliability (see Gardner, Gardner, & Nichols, 1989).

Food and sweets can be powerful distracters. We soon learned that

one of the worst times to teach anything was at the beginning of mealtime.

The hungrier the chimpanzee and the more attractive the food, the more

the teaching session would dissolve into a frenzy of begging (see R.

Gardner & Gardner, 1988).

Communication and Motive

Normal human children learn to speak as if they were bom with a

powerful motive to communicate; no other incentive seems to be

necessary. Many other species behave as if they were born with a

powerful motive to communicate; communication is by no means a

uniquely human motive (Tinbergen, 1953).

Chimpanzees are among the many species that behave as if they

were born with a powerful motive to communicate (Goodall, 1986).

Captive chimpanzees are similar to wild chimpanzees in this respect

(Kellogg, 1968) unless their conditions of captivity are so severe that

normal behavior is suppressed.

A Robust Phenomenon

Washoe, Moja, Pili, Tatu, and Dar signed to friends and to

strangers. They signed to each other and to themselves, to dogs and to

cats, toys, tools, even to trees. Along with their skill with cups and spoons,

pencils and crayons, their signing developed stage for stage much like the

speaking and signing of human children (Van Cantfort & Rimpau, 1982;

Van Cantfort, Gardner, & Gardner, 1989). They also used the elementary

sorts of sign language inflections that deaf children use to modulate the

meaning of signs (R. Gardner & Gardner, 1978, pp. 56-58; Rimpau,

Gardner, & Gardner, 1989). Cross-fostered chimpanzees converse among

themselves, even when there is no human being present and the

conversations must be recorded with remotely controlled cameras. The

infant, Loulis, adopted by Washoe when he was about a year old learned

Washington Academy of Sciences

47

more than 50 signs of ASL that he could only have learned from other

chimpanzees (Fouts, Hirsch & Fouts, 1982).

In 2006, thirty-five years after she left Reno, Washoe was still

signing, not only to humans but to other chimpanzees whether or not there

were any human beings in sight (Fouts & Fouts, 1989). This is more

remarkable when we consider the procedure of Project Loulis. When

Loulis was 10 months old he was adopted by 14 year old Washoe, shortly

after she lost her own newborn infant. To show that Washoe could teach

signs to an infant without human intervention, Roger Fouts introduced a

drastic procedure. All human signing was forbidden when Loulis was

present. Loulis and Washoe were almost inseparable for the first few

years, so Washoe lost almost all her input from human signers. It was a

deprivation procedure for Washoe. Later, Moja joined the group in

Oklahoma, and still later Tatu and Dar joined the group in Ellensburg,

Washington. The signing chimpanzees were allowed to sign to each other,

indeed there was no way to stop them. They became part of Loulis’s input.

As Loulis grew older and moved freely by himself from room to

room in the laboratory, there were more opportunities for the human

beings to sign to the other chimpanzees when Loulis was not in sight. As

expected, however, the rule against signing to Loulis had a generally

negative effect on all human signing. Human signing was almost

completely withdrawn for 5 years. It was a deprivation experiment for the

cross-fostered chimpanzees.

Washoe, Moja, Tatu, and Dar continued to sign to each other and

also attempted to engage human beings in conversation throughout the

period of deprivation. Washoe modeled signs for Loulis in ways that could

only be described as explicit teaching; and she also molded his hands the

way we had molded hers (Fouts, Hirsch, & Fouts, 1982; Fouts, Fouts, &

Van Cantfort, 1989). Loulis learned more than 50 signs from the cross-

fostered chimpanzees during the five years in which they were his only

models and tutors.

Meanwhile, Washoe learned some new signs from Moja, Tatu, and

Dar, and the cross-fosterlings signed to each other without any human

beings in sight and their conversations had to be recorded by remote

cameras (Fouts & Fouts, 1989).

Once introduced, sign language is robust and self-supporting. The

regimen that the Foutses enforced to demonstrate that the infant Loulis

could learn signs from Washoe, Moja, Tatu, and Dar, was a drastic

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48

procedure for the cross-fosterlings. It slowed the growth of their sign

language, but it certainly demonstrated that sign language became a

permanent and robust aspect of their lives.

Semantic Range

The first objective of vocabulary tests (B. Gardner & Gardner,

1989; R. Gardner & Gardner, 1984) was to demonstrate that chimpanzees

could communicate information under conditions in which the only source

of information available to a human observer was the signing of the

chimpanzees. Washoe, Moja, Tatu, and Dar accomplished this by naming

pictures that were out of sight of their human interlocutors. An equally

important objective of these tests was to demonstrate that the signs of the

cross-fosterlings referred to natural language categories - that DOG

referred to any dog, FLOWER to any flower, and so forth. The

chimpanzees accomplished this by naming a varied set of exemplars

selected from a large library of photographs. In the tests, each slide

appeared once and once only so that each trial was a first trial (B. Gardner

& Gardner, 1989; R. Gardner & Gardner, 1984). That is to say, on each

trial the chimpanzees named a picture of an object that they had never

seen before.

Cross-fosterlings did well on these tests, but they also made errors.

In forced-choice tests of understanding, as for example, when subjects

must choose between a few plastic tokens (Premack, 1971) or a few

pictures on a testing board (Savage-Rumbaugh, McDonald, Sevcik,

Hopkins, & Rubert, 1986). In productive tests, errors contain information

because subjects are free to choose their own errors. Signing chimpanzees

can produce with their own hands any sign or combination of signs in their

vocabularies at any time. Most errors on vocabulary tests depended on

semantic relationships among the objects in the pictures, or form

relationships among the signs. Thus, DOG was a common error for a

picture of a cat, SODAPOP was a common error for a picture of ice

cream, and so on. Meanwhile, signs formed on the nose such as BUG and

FLOWER were common errors for each other, as were signs made by

touching one hand with the other such as SHOE and SODAPOP (R.

Gardner & Gardner, 1984, pp. 393-398).

Semantics and form also governed dithering between signs when a

cross-fosterling was uncertain about an answer. When two signs such as

WHITE DOG appeared in a reply, only one of the signs named an object

so scoring was unambiguous. Although we discouraged Washoe, Moja,

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Pili, Tatu, and Dar from answering with strings of guesses in ordinary

conversation (B. Gardner, Gardner, & Nichols, 1989, pp. 82-83), they

sometimes dithered between alternatives and 14% of the replies on the

vocabulary tests contained more than one object name. The observers only

reported one of these object names as the scorable reply, usually the first.

Later analysis showed that the chimpanzees were more likely to be

incorrect on these trials indicating that the dithering was a sign of

uncertainty. Most of these indecisive replies contained conceptually

related items such as CAT and DOG or similar forms such as BUG and

FLOWER. Sometimes, the dithering consisted of a string of related signs

such as when Washoe signed CAT, BIRD, DOG, MAN for a picture of a

cat, FLOWER, TREE, LEAF, FLOWER for a picture of daisies, or when

she signed OIL, BERRY, MEAT - all signs made by grasping different

places on the passive hand - for a picture of frankfurters (R. Gardner &

Gardner, 1984, p. 398).

Broader Categories

Daisies are flowers, flowers belong to a broader category of

botanicals such as trees and leaves, and botanicals are objects as

distinguished from actions or traits. Appropriate answers to Wh-questions

depend on membership in these broader semantic categories. In published

film (R. Gardner & Gardner, 1973; 1974), Greg asks Washoe a series of

questions about her red boot. Her reply to WHAT THAT? is SHOE, to

WHAT COLOR THAT? is RED, and to WHOSE THAT? is MINE. If, for

example, she had replied GREEN when asked WHAT COLOR THAT of

her red boot, she would have been incorrect, but her reply would still be

appropriate to the question in a way that replies such as GREG or HAT or

MINE would be inappropriate. Brown (1968), Ervin-Tripp (1977), and

Veneziano (1985) used the replies of human children to Wh-questions to

show that children use different functional categories of words as sentence

constituents.

B. Gardner and Gardner (1975) and Van Cantfort et al. (1989)

embedded a systematic series of Wh-questions in the daily conversational

interactions between adults and cross-fostered chimpanzees. The

experimental questions restricted appropriate replies to one of a

predefined set of semantic categories. At the same time, all possible

replies were assigned unambiguously to exactly one semantic category.

Van Cantfort et al. (1989) analyzed a longitudinal series of Wh-

questions that started when Moja, Tatu, and Dar were between 18 and 20

Spring 2007

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months old and continued through their first five years. As children grow

older, the percent of replies to questions increases together with the

percent of appropriate replies. Moja, Tatu, and Dar progressed in the same

way (Van Cantfort el al, 1989, pp. 229-234, Figures 5.1 and 5.2). The

cross-fosterlings also mastered particular kinds of Wh-questions in a

sequence like the sequence reported for children. Both children and

chimpanzees, initially provide nominals for What questions and locatives

for Where questions. Later they provide verbs for What-do/predicate

questions and proper nouns and pronouns for Who questions, and still

later appropriate replies to Whose questions (for children see Ervin-Tripp,

1970, p. 105; for chimpanzees see Van Cantfort el al, 1989, pp. 234-236,

Tables 5.16 and 5.17). Finer distinctions between the major interrogatives

yield still finer parallels. For example, both children and chimpanzees

provide appropriate replies to Who subject questions earlier than Who

object questions (for children see Ervin-Tripp, 1970, p. 89; for

chimpanzees see Van Cantfort et ai, 1989, Tables 5.7 and 5.9).

Functional categories also determined errors. As in vocabulary

tests, Wh-question tests were productive tests and Washoe, Moja, Tatu,

and Dar could respond with any item in their vocabulary. They could

create their own errors and errors could be factually incorrect, yet

functionally appropriate to the Wh-question. For example, the reply

STRING to the question WHAT NAME THAT of a white leather belt,

was factually incorrect with respect to the object, but functionally

appropriate with respect to the question. Meanwhile, the reply WOOD to

the question WHAT NAME THAT of a metal bell was both factually

incorrect with respect to the object and functionally inappropriate with

respect to the question. Gardner, Van Cantfort, and Gardner (1992)

showed that 92% of Washoe's factually incorrect replies, 72% of Moja's,

82% of Tatu's, and 69% of Dar's were, nevertheless, functionally

appropriate to the Wh-question.

Developmental Patterns

Gradually and piecemeal, but in an orderly sequence, the language

of human toddlers develops into the language of their parents. Cross-

fostered chimpanzees developed their sign language gradually along with

the rest of their socialization - tool use, toilet training - in a nearly human

household under nearly human conditions. The topics of their

conversations resemble the topics of human conversations because they

had the same things to talk about under nearly the same conditions.

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51

Patterns of development resembled human patterns. Growth in

skill, though slower than human, remained parallel as long as they

remained under cross-fostering conditions. Well -documented records of

human development provide a scale for measuring the progress of cross-

fostered chimpanzees.

Nelson (1973) measured overlap from child to child in the first 50

words of the spoken vocabularies of human children. B. Gardner and

Gardner (1980) showed that the first 50 signs in the early vocabularies of

Moja, Pili, Tatu and Dar overlapped with the vocabularies of human

children as much as Nelson's (1973) child vocabularies overlapped with

each other from child to child.

The first two-word phrases of human children represent basic

semantic relations. Studies of human children generally agree that the

major semantic relations appear in a characteristic developmental

sequence (Bloom 1991, Bloom et al 1975, Braine 1976, Leonard 1976,

and Wells 1974, De Villiers and De Villiers 1986, 50-51, Reich 1986, 83).

Nominative phrases and action phrases appear first. Next come attributive

phrases expressing the properties of objects (attribution, possession,

location). Experience/notice phrases are relatively late in child

development. With respect to negatives and requests studies of children

have so far either failed to report developmental order or reported

inconsistent orders. B. Gardner & Gardner (1998) showed that semantic

relations appeared in the same sequence in the development of Moja, Tatu,

and Dar. Nominative and action phrases appeared first, attributives

second, and experience/notice appeared latest in the developmental

samples of each chimpanzee - the same sequence that appears in studies

of child development.

Rimpau, Gardner, & Gardner (1989) and Chalcraft & Gardner

(2005) showed that Dar and Tatu, in conversation, used ASL inflections to

indicate person, place, and object. Chacroft & Gardner (2005) also

showed that Dar used ASL inflections to indicate intensity.

Bloom (1991, 1993), Brinton and Fujiki (1984), Ciocci and Baran

(1998), Garvey (1977), Halliday and Hasan (1976), and Wilcox and

Webster (1980) described the ways human adults and children use

expansion, reiteration and incorporation to maintain interactions. Bodamer

and Gardner (2002) and Jensvold and Gardner (2000) studied replies of

cross-fosterlings to conversational probes of a human interlocutor. When

appropriate, Washoe, Moja, Tatu and Dar incorporated signs from the

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52

probes of their interlocutors into their own rejoinders. In response to

probing questions they clarified and amplified their own previous

responses by expanding on the signs in the probes. Cross-fostered

chimpanzees used expansion, reiteration, and incorporation the way

human adults and human children use these devices. Their contingent

rejoinders maintained the interaction and the topic of the interaction.

Shaw & Gardner (in press) showed that Washoe, Moja, Tatu, and

Dar coordinated their gaze direction with conversational turn taking.

Patterns of gaze direction and turn taking resembled adult human patterns.

As infants their immature patterns resembled those of human infants.

Their patterns of development from infant to adult also resembled human

patterns. All results support the conclusion that Washoe, Moja, Tatu, and

Dar engaged in human-style conversations with human-like growth and

development.

Trends and Predictions

Cohen (1982, p. 41-46) relates the historical rise of numeracy to

growing interest in processes, trends and predictions.

Before the seventeenth century in Europe, the order of the cosmos

was dictated by classical and, specifically, Aristotelian systems of

classification. All aspects of life and nature were comprehensible through

the arrangements of categories meant to exhibit significant distinctions

and to exhaust the possibilities of reality. The world was composed of four

substances, the body had four humours, the life of man was framed by the

seven stages of the aging process, and so on. The penchant for

classification remained alive in the seventeenth century and found full

expression in the Great Chain of Being, an idea that expressed the

relations among all creatures on earth and in heaven by making explicit an

assumed hierarchy of the natural and supernatural worlds. . .

.Classification by categories is a reasonable method for ordering static

things . . . (p. 44)

Cohen goes on to show how scientists and social leaders

discovered that comparable measures over time reveal patterns of flux and

change. Numerate scientists and citizens can study the motion of bodies

and trends in births, deaths, trade, weather and a virtually unlimited world

of variables. By studying variation over time they could detect underlying

functions and make reasonable predictions of future events. Eventually,

this became commonplace in most natural sciences.

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53

By measuring patterns of growth and development rather than

static modules we can make predictions about more extended sign

language studies of cross-fostered chimpanzees. More advanced

developments appeared with each succeeding year of cross-fostering.

Proof that Moja, Tatu, and Dar had not yet reached any limit at three years

is their growth during the fourth year. Proof that they had not yet reached

a limit at four years is the growth during the fifth year. Nevertheless, after

three years of cross-fostering, they had clearly fallen behind human three-

year-olds, and they fell farther behind after four years, and still farther

behind after five years. From this we can predict that the chimpanzees

should be even farther behind human children after six years of cross-

fostering, but by the same token, we can predict that at six they should

achieve more than they achieved at five.

At three, retarded human children are significantly behind normal

three-year-olds. Retarded children at five are farther behind normal five-

year-olds, and at eight still farther behind normal eight-year-olds. But, it

would be a mistake to predict that intellectual development stops before

sexual maturity (Stephens, 1974; Zigler & Hodapp, 1986). Sign language

studies of cross-fostered chimpanzees reveal robust growth and

development. They promise that much more can be accomplished in future

studies with long-term support.

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54

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Washington Academy of Sciences

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SPORT AND MEDICINE DURING GREEK ANTIQUITY

AND ROMAN IMPERIAL TIMES

Onoufrios Pavlogiannis**

Constantina Lomi

Evangelos Albanidis

Spiros Konitsiotis

Stephanos Geroulanos

Abstract

This study examines the relationship between gymnastics and

medicine using literary^ sources from the Greco-Roman period.

Throughout ancient Greek literature gy mnastics was presented in

relation to medicine. Gymnasts were not always distinguished

from physicians. Gymnastics was thought to protect from disease

and to promote health. Members of the Hippocratic School were

the first to state that man’s health depends on a balance between

diet and exercise. Plato’s works verified the synergistic effects of

g> mnastics and medicine to psychophysical balance. According to

Aristotle, medicine and gymnastics contributed to the

development of a discourse on matters related to health, w hich

promotes human felicity , happiness, and balance of life. In the

Roman Empire gy mnastic practices changed and championship-

aimed training prevailed. This did not respect man’s natural

idiosyncrasy and became dangerous to health. Exhausting training

and the lack of harmony and symmetry in training endangered the

health of athletes. Within this framework, the need for a qualified

physical trainer monitoring exercise was obvious. He should have

the ability to assess the various exercises, and to test the

usefulness or risk of different forms of exercise. Consequently,

the physical trainer needed to have medical knowledge and also to

know how to practice medicine.

** Onoufrios Pavlogiannis, Ph.D., is at the Dept, of New Teclmologies and Handing of

Cultural Enviromnent. University^ of loannina. Greece. C. Lomi, PT. Lie. Med. Res., is in

the Dept, of Physiotherapy, Onassis Cardiac Surgery^ Center, Athens. E. Albanidis. M.D.,

Ph D., is in tlie Dept, of Physical Education & Sport Science, Democritus University of

Thrace. S. Konitsiotis, M.D., Ph D., is in tlie Dept, of Neurology' and S. Geroulanos.

M.D., Ph D., is in tlie Dept, of History of Medicine, botli at the University of loannina,

Greece.

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Interest in medicine was strong and constant in Antiquity.’

Medicine was characterized by a reflection on human nature and an

increasing ability to diagnose and treat different diseases. This

included the development of a new discipline of the matters related to

health which was of a clear preventive nature." The consequences of

the social and political life on the human soul and body accounts for

the development of ethics and at the same time required consideration

of matters related to health. That is the ability to balance the health-

diet relationship, which resulted in the formulation of daily preventive

rules."’ It is obvious that a moderate and happy life depends on the

existence of the ‘art of healthiness’ which takes care of the human

body and its movements, is interested in the relationship between the

body and external variables and ultimately takes care of man’s

health.’' Under these circumstances, gymnastics or physical training

was presented as related to medicine, and physical trainers were not

necessarily distinguished from physicians. Because of the need to

control physical exercise, physical trainers needed to know the

theories of anatomy and physiology. Because of their desire to

practice the art of the body in a proper way, gymnasts needed to be

knowledgeable about the result of gymnastic exercises and other

auxiliary hygienic practices.'

The rise of medical literature was associated in Antiquity with

creation of a class of professional physicians and the need to transmit

medical knowledge and make it known to a wider public.'’ Especially in

the Roman Empire, the need to return to past practices was characteristic

of the so-called Second Sophists. These philosophers contributed to the

redefinition of the art of gymnastics.'” The first ancient Greek treatises on

gymnastics were written in the first centuries of the Christian era: 'About

gymnasia' by Lucian, ' Gymnastikos' by Philostratos, 'To Thrasyboulus: Is

healthiness a part of medicine or of gymnastics?' and 'The exercise with

the small ball' by Galen. In this group we can include 'Recommendations

for a healthy life' by Galen and Plutarch. All these works emphasized the

need to promote a form of “hygienic” physical training, which was

characterized by scientific training, the objective of promoting physical

and mental well being, and the rejection of malpractices.

The relationship between physical training and hygiene was

continuously promoted later on in the Greek world. Its basic

principles and its effects, often expressed in different ways, basically

remained the same but were better categorized in the Roman Empire.

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The investigation into physical training and hygiene greatly

contributed to the understanding of the relationship between medicine

and gymnastics, and of the respective responsibilities of physicians

and physical trainers. According to the Greeks, medicine was a form

of higher education, equivalent to philosophy and rhetoric, and was

thus included among the ‘free arts.’'"*"

Medicine and Philosophy in Greek Antiquity

The relationship between philosophy and medicine had already

been discussed, defined, and researched within the boundaries of ancient

Greek civilization. Pre-Socratic thought constituted the basis on which

scientific medicine was built. The ‘care of self contributes to personal

health and depends on soul treatment as well as on protection of the body.^

Plato and the Hippocratic physicians confirm this common

opinion of philosophers and physicians, that the human person should

be viewed as a harmonious whole consisting of soul and body. This

defined the therapeutic means so that it would be most effective and

in turn act so as to further educate physicians and hygienists of the

entire ancient Greco-Roman times. The common ground of the two

arts becomes clearer if one considers how impulsiveness can stimulate

the soul and hence may cause physical diseases (“dyscrasy”), since

the body often cannot tolerate excessive desires of the soul.

Contrarily, uncontrolled impulses are likely to have a completely

different effect: they may develop within the body and disturb one’s

mental health.

In the Hippocratic School, medicine was defined for the first

time as an independent art dissociated from its philosophical origin.

Hippocratic physicians did not speak generally about human nature,

but observed accurately the individual idiosyncrasy of their patients.^"

A basic principle was the necessity of physical exercise.

According to Second Sophistic philosophers who healed the ‘sick’

soul, such role was given more emphasis than the role of the physician

who simply cured diseases and restored health. Consequently, it was

quite natural for a philosopher such as Epictetus to regard his school

as a place for the cure of the soul and he urged his students to show

empathy with their patients. The Greek physician Galen supported

this view, in which the physician appeared as a charismatic

personality with a high educational profile. Galen, in particular,

claimed that in his effort to explore the nature of the human body and

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the differences between several diseases, physicians needed to be

trained to astutely observe and apply his methods with diligence and

prudence, thereby using such philosophical disciplines as rationality,

ethics, and natural knowledge. Consequently the physician who

practiced his art according to principles was also a philosopher.^*'

According to Plutarch, the physician cannot perform his art without

philosophy and conversely the philosopher should not be accused

when dealing with matters of health.^' Also, according to the Roman

intellectual Celsus (30 B.C. - 50 B.C.), students of philosophy who

analyze physical phenomena, cure illnesses. Consequently many

philosophers acted as physicians. The practice of medicine was not

limited to healing illnesses. It had also a philosophical and human

dimension, generating a new attitude towards life by taking into

consideration external influences with the ultimate goal of proposing

rules for health preservation.

This relation of medicine to philosophy was considered of

most importance by Plutarch, who supported the view that medicine

was a synonym of ‘liberal arts,’ as it offers both health and

knowledge.

Medicine and Gymnastics in Greco-Roman Antiquity

According to Plato, education addressed the entirety of man,

that is, the inseparable association of body and soul, and consequently

required medicine and physical exercise.^" Knowledge of

gymnastics/physical exercise derives from the writings of physicians.

There are no books by physical trainers, instead such physicians as

Hippocrates or Galen, provide evidence about gymnastics and athletic

practices. Over time, however, medicine claimed to be scientific

whereas gymnastics/physical exercise developed as a “child-training”

art and as a discipline of “gymnastics-hygiene-dietetics. On this

basis the physician appeared as an expert on body issues such as

gymnastics.

Homer’s epics constitute an early source on medicine and

dietetics, although they report principally on injuries and their

treatment. The description of these injuries presupposed knowledge of

anatomy and wounds. Medicine was restricted to their cure by

operations performed manually and by drug prescription.^*^

During the period of the 1 f ^ - 8^^ centuries B.C. medicine has

a theocratic nature and is described as an art that cures sick bodies by

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means of drugs and manual operations.'"’' In a time when physical

excellence was highly valued it is unlikely that diet and exercise

contributed to bodily health."’" The witness of sources who complain

about the lack of systematic exercise and the absence of physical

trainers in those times does not contradict the above."""

The term ‘physician,’ with all its load of special value (since

'doctors indeed are men worth thousands of others was given to

those charismatic and educated people who combined empirical

knowledge with theoretical education, and practiced the art of

medicine as the discipline that promoted and preserved health.

Cheiron, for example, who was responsible for Achilles’ education,

first fed him with honey and bone marrow and then tried to

familiarize him with javelin throwing and running. He also taught him

music, which relaxes impulsive behavior and taught him how to take

no interest in money. At the same time, Cheiron, known for his

wisdom, was a hunter, taught the art of war, and also trained

physicians and musicians.""*' Palamides’ advice, when great famine

threatened the Achaeans besieging Troy, is characteristic of the

relationship between medicine and gymnastics in the pre-classical

period. Having admitted that he had no medical knowledge, he urged

the Achaeans to take care of themselves, because he thought it was

really essential for them to eat well and to have intense physical

activity so as to be protected from epidemics.

In classical times, Socrates (470/69 - 399 B.C.), according to

Xenophon’s ‘Memorabilia,’ thought that physical well-being, as a

result of exercise, prevented diseases and physical disabilities. He

urged his students to look after themselves by selecting appropriate

exercises and using them so as to maintain their health.""'" The art of

gymnastics is described as somewhat similar to medicine.

Hippocratic physicians enounced the principles of dietetics as

able to define human behavior and protect health. They were the first

to write about the ‘physiology’ of exercise. They were required to

know the art of gymnastics and the relationship between exercise and

external variables, as well as the necessity to individualize training

beyond specific and strenuous exercises.""'"" Hippocratic physicians

formulated the everlasting principle according to which human health

depends on the balance between diet and exercise.""'^'" Medicine and

gymnastics act on the two bodily states, the unhealthy and the healthy

one. According to this, medicine aimed at interfering with the human

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body so as to change an unhealthy state into a healthy one. Exercise

on the other hand aimed at physical well being and the maintenance of

the present health. Thus, the two arts are presented as related arts

serving human health.

On the same issue Galen claimed much later that Hippocrates

and his successors were aware of both prevention and hygiene. They

adopted the term ‘medicine’ to characterize their practice because the

therapeutic part of medicine became more prominent. The in-depth

knowledge of physical exercise recommended by Hippocratic

physicians implied a deep relationship between exercise and medicine

and also resulted in showing that physical exercise not only ensured

well-being but also had a therapeutic effect. Hippocratic physicians

claim that exercise must differ from athletes’ practices, because the

latter often deviate from moderate exercise. Moreover, on the basis

of the Hippocratic physicians’ doctrine of humors (xpaoK;), according

to which health and disease depend on the equilibrated balance

between the four main humors of the body, gymnastics is closely

related to medicine because it maintains health and balance within the

human body.^^’"’

The association of medicine and gymnastics as well as their

contribution to the development of the recommendations for a healthy

life is particularly observable in Plato’s works. Although Plato

certainly did not practice medicine, he aptly analyzed medical topics

thanks to his knowledge of Hippocrates and Pythagoras.’'^^”

According to Plato, the maintenance and restoration of health and

physical strength were the subject matter of both gymnastics and

medicine. Both were regarded as noble arts, primarily thanks to

their role in maintaining the good state of the human body, and

therefore surpassing all arts, servile and humble. Plato contributed

to the development of an idea of an art of the human body, without

providing however a name for this art. He thought it sufficient to note

that it was divided into two parts, medicine and gymnastics, a division

that should separate also the competencies of physicians and

gymnasts. Plato stressed the value of gymnastics, which functioned

within the framework of Hippocratic dietetics. He considered

gymnastics responsible for the well being of the body and its natural

development, and distinguished it from medicine. He regarded

physical education as essential for young people, provided that it was

without the excesses and the dependences that characterize athletic

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training. The parallel contribution of gymnastic and medicine to

the protection of psychophysical balance, a prerequisite for man’s

overall health, was confirmed by Plato’s work.

This relationship fostered the gradual development of the

theories and recommendations for a healthy life. Following

Hippocrates’ views, Plato reaffirmed that body and soul constitute a

harmonious entirety. Therefore, the education he proposed addressed

both body and soul.™'"

Aristotle’s writings also show an interest in health. Adopting

Plato’s views, Aristotle expressed his belief that there was only one

art concerning health, even though he accepted the naturalness of the

human body and investigated the operation of human movement.^™"

What was special, however, in Aristotle’s approach is the importance

attached to human felicity as the most perfect of all goods; that is;

what Aristotle called ‘act well’ and ‘live well.’™'' This ‘felicity’

could be approached through body harmony, which in turn

presupposed health, beauty and vigor. Of all these physical qualities

health appeared to be the most significant."' Medicine and gymnastics

both aiming at the harmony of the human body were two equal parts

of the art of healthiness. The aim of this art was to restore and

maintain health, which required both arts to be practiced in

moderation."'’ Aristotle himself condemned those physical trainers

who deviate from the real goal of health and resort to practices that

were detrimental to the human entity. In particular, he criticized the

cities that encouraged athletic activities at the expense of bodily shape

and development."'" Within this framework, medicine and gymnastics

seemed to cooperate in the development of a discourse on hygiene,

which promoted human felicity and ensured a happy life."'"’

Medicine and Gymnastics in the Roman Empire

The objective of an equilibrated life in society also required

the care of health. In the Roman Empire, bodily care, study of the

factors influencing health, and the demand for good health stimulated

thinking about healthiness and fostered the formulation of rules for a

healthy life. Concern about human body decline increased the

necessity of its systematic care."'’" Theories on health/hygiene in this

period are very important for the understanding of the relationship

between medicine and gymnastics, although the province of

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physicians and physical trainers seem not yet distinct, something that

witnesses a controversy between physicians and gymnasts.

The question whether “rules for a healthy life” belongs to

gymnastics or medicine is indicative of this controversy. It reinforced

the development of the art of healthiness/hygiene during the imperial

period. This attempt to question the realization of the goals of the

hygienic regimens in relation to the arts of medicine and gymnastics

offers Galen the opportunity to review long standing views on

healthiness/hygiene. He supports that there is only one 'creative ’ art

(«7coiqTiKf| T8xvr|») concerned with the body and he regards both

medicine and gymnastics as two parts of this one art.'^*'^ On the whole,

the discourse concerning healthiness during imperial times is fairly

complicated and worthy to be further investigated.

The dissolute life of the elite during the imperial period with

its consequences for the soul and the body justified the intervention of

physicians and physical trainers, as well as the gradual development

of philosophical thinking that took into consideration and analysis the

above facets. In the texts of the first centuries of the Christian era one

can see that taking care of oneself is expected to be of vital

importance for each individual citizen. The maxim ‘take care of

yourself («£auTOU 87cip8>t£io0ai») is emphasized. Many

philosophical sects of the first Christian centuries expressed this

particular demand for personal development within the boundaries of

a community and not out of social context, especially the new Stoics.

At the same time medical thinking developed. It aimed at

preparing the body in a way that its psychophysical harmony would

not be destroyed. Therefore, an art of health-diet was established: it

was a system of rules aimed at structuring human education, as well

as regulating man’s indulgence in daily pleasures in the most painless

way.^*'^" This ‘life education’ functioned within the conceptual

framework of health and aimed at rendering man autonomous,

(proactive, active, energetic, dynamic) and happy while reducing

external dangers. Body care appears mainly as an ‘art of living,’ based

on a system of rules that have to do with the prevention rather than

the cure of diseases. The specific practice of keeping certain rules

for a healthy life, required personal alertness as far as external factors

are concerned (such as climate, seasons, times, local customs,

pleasures, exercises, diet) as well as the almost obligatory association

of medicine and gymnastics. Every man was invited to seek the most

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suitable practices for his body, especially when his health was in

excellent condition, with the aim of 'selecting the best way of life and

making it pleasant through practice.

On the same issue Galen’s point of view is quite interesting.

He stated that a healthy body, when accompanied by a prudent soul, is

led by natural desires and follows only what is useful to it.^ Celsus

provided some evidence for those people who got very tired after a

hard day. He suggested proper exercises, walks, massage, and baths.

Alternatively, those who have overindulged in food should not

undertake strenuous tasks or exercise.’*

These views about healthiness/hygiene in imperial times had a

further dimension. An irresponsible attitude in society offers only a

precarious and most-of-the-times meaningless satisfaction, whereas

planning life, preparation of the body, and self-restraint ensure health

and permit real and painless indulgence in pleasures. Within this

framework, the bodily exercise aimed at the purpose of maintaining

health was always timely.’"'

Within the art of healthiness/hygiene which fostered a

preventive behavior such as a diet, there was a need for therapy,

which was widely acknowledged in imperial times. The comparison

between the remedial methods of medicine and gymnastics along with

their effectiveness constituted speculative and controversial issues.

Philostratos, who is neither a physician nor a physical trainer, studied

the works of physicians, physical trainers and hygienists.’'' He

regarded the art of gymnastics as a combination of medicine and

‘"child-training,” superior to “child-training” and in any case a part of

medicine. In particular, he claimed that, while medicine can cure all

diseases, gymnastics can deal successfully with only some of them,

using diet and massage. What is interesting here is the emphasis on

the therapeutic nature of gymnastics.’' Special reference is also made

to the contribution of therapeutic gymnastics in situations of people

whose excessive or unorthodox training choices have resulted in

unpleasant physical states. Galen provides valuable information about

massage and exercise, which contribute to the cure of unpleasant

states caused by insomnia, anger, sorrow, indulgence in love making,

overeating or heavy drinking. He also reports the physical trainers’

views in order to support the appropriate preparatory or recovery

exercise as auxiliary remedial methods for the treatment of unpleasant

physical states.’'' Furthermore, the usefulness of gymnastics in

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treating the lack of harmony and symmetry in training is often

ascertained.*'" Indicative is the case of stout or skinny young men,

who are cured by means of relevant exercise. Finally the use of

exercise appears to be valuable for the treatment of athletes as well.

Galen claims that he treated athletes using exercises pertaining to

their sport and already used in their training context.*'"'

In this attempt to investigate the relationship between medicine

and gymnastics, Galen’s views, presented in 'Is healthiness a part of

medicine or of gymnastics," are of primary importance. *'"' A medical

and philosophical concept is proposed according to which there is a

single 'efficient' art about the body, the constituent parts of which are

medicine and gymnastics. What was new in this concept is the idea of

the necessary interaction between medicine and gymnastics, in order

to accomplish the primary aim of procuring and maintaining health

and secondly their melting into one art. This requires the rejection of

the idea that medicine’s unique aim is to maintain health, whereas

gymnastics aims solely at ensuring a good condition. Also rejected is

the idea about the existence of many more arts about the body. Good

physical condition, supposed to be the ultimate goal of gymnastics,

was identified with a healthy-looking body and the symmetry of its

parts. Correspondingly, good condition was the long and permanent

healthy state of the body. On the other hand, health, which is the

principal aim of medicine, requires energy and a perfect structure of

the body. Conversely, energy requires a perfect structure, similarly

absolute health involves good condition, and absolute good condition

requires health.

The qualities of the body as well as the arts serving these

qualities are limited, as are the goals. The aim of the art concerned

with the body is the ultimate virtue, namely the excellence of the

body. We may describe this aim using several terms, such as

perfection or good condition or health or physical structure or

physical energy. The choice of one or the other term, however, is not

so important. The ultimate good for the human body is its absolute

perfection, namely the coexistence and interaction of perfect health as

well as fitness and wellbeing. Health, strength and beauty constitute

body perfection, some of them being the causes and others the results

of this perfection. Therefore the factors that make a body perfectly

healthy are not different from those that make it strong and beautiful.

Health, strength, and beauty are either improved or deteriorated

Washington Academy of Sciences

69

together. Consequently, we refer to an art that focuses on the body.

This art is definitely beneficial to all three qualities (health, strength,

and beauty) even if it appears to benefit only one of them at a certain

time. In this way medicine and gymnastics are melted into one art

concerning the body. In other words, we accept that the application of

medicine and gymnastics respectively serves all three virtues. The

most important of these virtues is health followed by a sense of

wellbeing and beauty. In Galen’s thought it was proved therefore that

the art concerned with the body, whichever form this may take, is

concerned primarily with health and after all the absolute perfection

of the body is identified with health.

With regards to the relationship between medicine and

gymnastics, Galen suggests that it is impossible to have two different

arts, one responsible for the establishment of health and another one

for its maintenance. The criterion by which each art is defined is the

final result. Therefore, one could support the existence of specific

techniques (or specializations) for the care of the body. They should

be differentiated according to the diseases they cure, the methods or

the materials they use. They should all have a common goal, namely

health, and should therefore be parts of a single art. After all, what

really matters is not so much the establishment, the restoration or

even the maintenance of health, but health itself. Speculations about

the rules for a healthy life indicate that medicine and hygiene were

parts of one single art, and contributed to the constitution of an 'art of

bodily development, ’ which can restore the lack of harmony and

symmetry in training and the injuries of the body.*'^ This 'art of bodily

development'^' is divided into two parts, the healing or medical art,

which achieves major restoration and the preservative art, which deals

with minor restorations. This 'preservative art’ is further subdivided

into four parts, each one of which focuses on a particular aspect of

health, namely: 'the art of well-being,’ 'the art of recovery,’ 'the art

of healthiness’ and 'the prophylactic art.’ Gymnastics is part of this

'preservative art,’ which is also called 'healthiness.’*^"

Galen’s most significant suggestion is the issue of the

autonomous existence of the 'art of healthiness,’ which is

distinguished from the medical art and includes the rules for a healthy

life ('dietetics’) and 'gymnastics’ as its parts. In addition it is made

clear that although four arts deal with the care of the body (surgery.

Spring 2007

70

pharmacy, dietetics, and gymnastics), only the last two concern

healthy men.*^''

The Art of Physical Training or Gymnastics - The Educated

Physical Trainer

Understandably, gymnastics serves a good condition according

to nature, and is part of the art of healthiness. Besides, during

imperial times a large number of people, especially those of a higher

social status, exercised for their well being. Physical trainers with

knowledge and experience were asked to exercise/perform their duties

in order to preserve the qualities of the body; the preservation and

restoration of health. These practitioners were fully qualified

physical trainers who were capable of monitoring exercises aiming at

the sound development of the individual while also contributing to a

good control of professional, championship - aimed training.

With respect to the work of these physical trainers, it is

essential to stress two issues. First, special care had to be taken for

the selection of a ‘diet’ appropriate to the idiosyncrasy of each

individual. This rule dates back to Hippocrates. For Galen it was not

easy to suggest the best way of taking care of the body. This was

because there are body differences and consequently different

lifestyles. In another work Galen criticizes both physicians and

physical trainers for having written about the art of healthy life

without taking into account individual differences of the human

body.’^^ Secondly, we need to stress the contribution of systematic

exercise within the framework of a dietetic regime/system, and

therefore point out the importance of the physical trainer in relation to

the sensible application and use of exercise.

Furthermore, qualified physical trainers had to play a primary

role in championship - aimed training, which was very popular in the

Roman Empire, especially in the spectacular sports field and in the

use of unorthodox training methods. These facts influence the form

and the techniques used for coaching. Gymnastics of that time, which

in a derogatory sense is often called ‘training,’ is characterized by the

mistreatment of the athlete’s nature, the encroachment of the real aims

of gymnastics and the apotheosis of its exhausting nature.*^" Galen, in

particular, distinguishes ‘good condition according to nature’ from

‘athletic good condition,’ the latter being called ‘not natural

Washington Academy of Sciences

71

condition,’ and, also writes about ‘vicious condition,’ a state which

distorts the nature of gymnastics. In this way “child training” is

distinguished from gymnastics and therefore the empirical self-taught

trainer is distinguished from the qualified physical trainer.

The first to acknowledge the need for a clear distinction

between the empirical trainer and the qualified trainer and the degree

of cooperation between them was Aristotle. The physical trainer is

fully qualified, and should possess medical knowledge and knowledge

about hygiene. He should therefore be able to apply athletic exercise

in a proper manner and at the same time follow the hygiene regimes.

During imperial times the empirical trainer is regarded as a

technician, who can supervise the course of exercise, but cannot

propose or assess systems of exercise, since he does not have

sufficient knowledge of physical and external variables. Proposing

and assessing exercises is the responsibility of qualified trainers, who

have a sufficient knowledge of gymnastics and medicine and can

therefore monitor and plan exercise in a scientific way.'^‘^ In

particular he should have knowledge of:

• The theory of humors of the human body, that is the balance of

humors of the body in relation to the exercise and health of the

trainee. Knowledge of idiosyncrasy is of outmost importance

for a man to exercise as well as the potential negative impact

of any unplanned exercise on human nature. These are issues

that the trainer should be fully aware of in order to be able to

carry out his athletic or gymnastic program without any further

problems. For this reason Philostratos insists that the trainer

needs to take into consideration the different individual

constitution of the athletes during the implementation of

various coaching.

• The art of physiognomies, which means that he should be

capable of investigating and evaluating physical structure and

anatomic features and thus adapt exercise as needed.

• Individual physical states, so as to select proper exercises for

individual cases and prevent strenuous training.

• The special importance of exercise and auxiliary gymnastic

methods (such as massage, baths

72

• Monitoring procedures during the course of exercise’^^*' and its

duration/""'"'

• The relationship between external variables (climate, altimeter

etc) and gymnastic exercise, and the necessary adaptation of

the program/'"'"''’'

In conclusion, a thorough consideration of philological

testimonies from Roman imperial times shows that intellectuals of the

Roman era redefined gymnastics in relation to medicine and the art of

the rules for a healthy life in accordance with the classic beliefs of

Greek antiquity. Concurrently they accepted that the art of gymnastics

ought to ensure and maintain health. Furthermore they stressed that

the art concerned with gymnastics should be a part of the art of the

rules for a healthy life. In other words, they claimed that qualified

trainers need to have medical knowledge and also know how to

perform medical acts.

NOTES

* Information for this paper was collected from Homer (8^^ centur> B.C.).

Xenophon (between 430-425 - after 355 B.C.). Plato (427 - 347 B.C.),

Hippocrates (460 - 377 B.C.). Aristotle (384 - 322 B.C.) and authors of the so-

called second Sophistic such as Galen (ca. 130 -ca. 200 A.D.). Philostratos

(end of the 2""^ centur\ - first half of the3rd centur\ A.D.). and Plutarch (ca. 50 -

after 120 A.D.).

" Literature concerning the t> pes of medical care, tlieir de\’elopment and consequences is

extensh e. Indicative are: Edelstein E. & L..Asclepius. A collection and

interpretation of the testimonies, Johns Hopkins Uni\’ersit>’ Press. Baltimore 1945:

Sigerist H.E.. A History of Medicine If Oxford UniversiU Press. Oxford 1961;

Castiglioni A.. Storia della Medicina. Mondadori. Milano 1948 (Greek translation

vol. 3 Atliens 1961), Kudlien F.. Eariy Greek primitive medicine. Clio Medica 3

(1968), 305-336. Staden H. von. Experiment and experience in Hellenistic medicine.

Bulletin of the Institute of Classical Studies 22 (1975). 178-199, Gnnek M.D. &

Gourevitch D., Les E.xperiences pharmacologiques dans l’antiquite,.4rc/7/v^.9

Internationales d' Histoire des Sciences 35 (1985). 3-27. Krug A., Heilkunst und

Heilkult: Medizin in der Antique, Munchen. Beck 1993; lAoy&K^.Q., Methods

and Problems in Greek Science, Cambridge UniversiW Press. Cambridge 1991. Of

particular interest is the work of the well known Byzantine physician and writer

Oribasii who has collected passages of therapeutic surgical and dietetic practices

Washington Academy of Sciences

73

from ancient sources: Oribasii. Collectionum Medicarum Reliquiae (laipixai

lovaycoyai). Edidit I. Raeder. Aeu|/ia (1928-33).

In addition Foucault devotes two volumes to tliis topic: Foucault M.. Histoire de la

sexualite, L 'usage des plaisirs (2) pp. 1 19-166, Le souci de soi (3) pp. 47-164.

Gallimard. Paris 1984. And Brown P., The body and Society': Men, Women and

Sexual Renunciation in Early Christianity, Columbia Uni\'ersit} Press, Ne\^ York

1988. Particularly for women: Gourevtch D.. Le Mai d'etre femme (La femme et

la medicine dans la Rome antique), “Les belles Lettres’', Paris 1984. Ancient

Greek sources include: Plutarch, Advice about keeping well, Epictetus,

Discourses, Galen, De sanitate tuenda.

" Pa\’logiannis O., The evolution of gymnastic and athletic ideals during Hellenistic and

Imperial years, Corfu / Greece [lonio Universit\ (diss.)] 2000, pp. 262-325 (in

Greek).

"" Plato, Gorgias 464b. npp>w Jaeger W., Paideia: The ideals of Greek Culture, pp.

27-69.

Krug A., Heilkunst und Heilkult: Medizin in der Antique, pp. 185-208, Jaeger

W., Paideia, 54-69.

Bowersock G.W., Greek Sophists and the Roman Empire, (O.xford 1969), Bowie

E.L., Greeks and their past in the second sophistic. P&P 46, 1970,

Touloumakos I., Contribution to the research of historic conscience of the

Greeks during the Roman sovereignty, (Athens 1972), pp. 57-92 (in Greek),

Andersson G., The second sophistic: a cultural phenomenon in the Roman

Empire, (London 1993), pp. 69-86, Pavlogiannis O., The evolution of

gymnastic and athletic ideals during Hellenistic and Imperial years, pp. 219-

231.

Plutarch. .4 about keeping well 122e. Cf. Bowersock G.W., Greek Sophists

and the Roman Empire, (Oxford 1969). p. 67.

Indicative are: Longrigg J.. Presocratic Pliilosophy and Hippocratic Medicine. History'

of Science 27 (1989), 1-39, Matthen M., Empiricism and Ontolog> in Ancient

Medicine, Medicine and Metaphysics: Apeiron XXI, 2 (1988), Edit. R.J.

Hankinson. Canada 1988, Lloyd R.E.G., Who is attacked in on Ancient Medicine,

Phronesis 17/7 (1963), 108-126, A8>vXf|c I., Democritian influences in the tliought of

Hippocrates, Skepsis: A journal for Philosophy and Inter-disciplinary Research XIII

-A7r 2002-2003 (Athens), 63-74, Bargeliotes S., Correlation. Aristotle's

contribution to the metliodological correlation betw een philosophy and medical art.

Skepsis: A journal for Philosophy and Inter-disciplinary Research XIII - A71 ' 2002-

2003 (Atliens). 254-264.

Foucault M., Histoire de la sexualite, Le souci de soi (3) pp. 47-82.

Plato. Phaedrus 270b, Timaeus 88b.

Jaeger W., Paideia, pp. 41-43.

See H. Reid. Atliletes as medicine for the health of the soul. Skepsis: A journal for

Philosophy and Inter-disciplinary Research XIII - A71 ' 2002-2003. 346-355.

See: Galen. Quod optimus medicus sit etiam philosophus, Epictetus, Discourses

II, 12-22, HI, 20-24.

^ Plutarch, Advice about keeping well 122d-e.

Celsus, On Medicine I, 5ff.

Spring 2007

74

A classic work in the field is: Marrou I.H.. Histoire de / 'education dans I'antiquite

(Greek translation Athens 1968). For the contribution of exercise in shaping

political consciousness and conduct see Miller S.. Naked Democracy, in Pol is

and Politics. Museum Tusculanum Press University of Copenhagen 2000. 277-

296. For first hand accounts see: Plato. Laws 728d-e. Statesman 306e-3 13c.

Timaeus 42. Gorgias 464a-b.

Aristotle. Politics 1338b[4-8].

Geroulanos S.. Bridler R. TRAUMA Wund-Entstehung und Wund Pflege in antiken

Griechenland. Pliilipp von Zabem. Mainz. 1994.

Homer. Iliad D2 1 Iff N207ff

See: Weiler I.. “AIEN ARISTEUEIN’. Stadion 1 (1975).

Galen. Thrasybulus or Is healthiness a part of medicine or of gymnastics?, XXXlll.

870.

Homer. ///WA5 14.

Philostratos. Heroic 708. 733.

Philostratos. Heroic 711.

^\XQno\A\on,Memorahilio\\\. 12. 1V.7.

Hippocrates. De diaeta. De diaeta salubri. De morbis popularibus 1. 111. Vll.

Prognosticon.

Hippocrates. De diaeta A, 2.

Galen. Thrasybulus XL Vll.

Hippocrates. Aphorismi 3-4. De alimento 34.

Krug A.. Heilkunst und Heilkult: Medizin in der Antique, pp. 53-58.

Plato. Timaeus.

X.X.XU1 pjg^Q Qorgias 503e-504c.

Plato. Gorgias 5l^a.

Plato. Gorgias 464a-b.

X.VXV1 Republic 404a-e.

X.XXV11 pjgjQ s 729d-c, Timaeus 42. 87d. Phaedrus 270b. The Republic 377a-b.

x.xxvm por example see: Aristotle. Metaphysics, Parts of Animals, Movement of

Animals, Progression of Animals, Mechanical Problems, Problems.

xxxix Aristotle. Politics 1332a.

^‘ Aristotle. Dialogi 45 [7(R2 41. R3 45. W7)].

Aristotle. Politics 13 35b [10- 15], Nicomachean Ethics 1 104[1 1-20].

Aristotle. Politics 1338b[9-ll].

Aristotle. Dialogi 52 [5(R3 52, \v5)].

xiiv xiiv pQyQgj^ ^ Histoirc de la sexualite, vol. 1-3. Gourevitch D.. Le Mai d'etre

femme (La femme et la medicine dans la Rome antique). (“Les belles Lettres”

1984).

See: Galen. Thrasybulus.

For example: Plutarch. Advice about keeping well; Epictetus, Discourse, Galen.

De sanitate tuenda.

Oribasios (1928), Collectionum medicarum reliquiae, pp. 106-148.

Pavlogiannis O., The evolution of gymnastic and athletic ideals during

Hellenistic and Imperial years, pp. 262-325.

Plutarch. .4 about keeping well 123.

Washington Academy of Sciences

75

' Galen. De sanitate tuencia IL 133.

Celsus. On Medicine I. 2.

Plutarch. about keeping well 125d. 127a.

‘“‘Galen. De sanitate tuenda IL 133ff.

Kitriniaris K.S., Philostratos Gymnastikos^ (Athens 1965). pp. 27-30 (in Greek).

Philostratos, Gymnastikos 14-16 (in Greek).

Galen. De sanitate tuenda III. 11. 253.

Oribasios (1808). pp. 11-113. Also see: Laskaratos J. / Marketos S.. The

Physical Education and the Athletics in the Ancient Greece. Materia Medica

Greca (6). 1981. 667-72 (in Greek).

Galen. De sanitate tuenda II, 158.

Galen. Thrasybulus II. 807(1-3).

Galen. Thrasybulus II. 807ff.

‘^‘Galen, Thrasybulus XXX. 861.

Galen, Thrasybulus XXX. 862(12-14).

Galen, Thrasybulus XXXI. 866-867.

Galen, Thrasybulus XXIV, 871(6-8).

Galen. De sanitate tuenda II, 82, III, 164.

‘^'‘Galen. De sanitate tuenda III. I36ff.

Paviogiannis O., The evolution of gymnastic and athletic ideals during

Hellenistic and Imperial years^ pp. 247-261.

Galen, Thrasybulus IX. 820.

Aristotle, Politics 1338b [5-35], Pliilostratos. Gymnastikos 14, Galen, Thrasybulus

XLIII. 888[14-16]. De sanitate tuenda II. 146-156.

Galen. De temperamentis 559ff, Philostratos, Gymnastikos 40,42.

ixxi piulostratos. Gymnastikos 25ff.

ixxii Philostratos. Gymnastikos 46-53. Galen, sanitate tuenda II, 130-131.

i.\.xin Philostratos, Gymnastikos 55-58. Galen, De sanitate tuenda II, III.

G2i[QYi. Hygienic Regimens B. 160-161.

Galen, De sanitate tuenda II, 1 36- 1 3 7, 154.

Galen, De sanitate tuenda II, 1 36- 1 37, 154.

Spring 2007

76

NEWS OF MEMBERS, FELLOWS, AND AFFILIATES

THE ANNUAL MEETING AND AWARDS BANQUET of the Washington

Academy of Sciences will be held on May 1, beginning at 6 PM, at

Meadowlark Botanic Garden in Vienna, Va. The cost is $52. For program,

directions, and information about making reservations, see

w^v^v washacadsci.org.

Michael p. Cohan, a WAS Fellow and past president, has been elected

to membership in the International Statistical Institute (ISI). Established in

1885, the ISI is one of the oldest scientific associations in the world. It is

composed of more that 2000 elected members, from more than 133

countries, who are internationally recognized as leaders in the field of

statistics.

John Margosian, a Life Member of the Institute of Electrical and

Electronic Engineers and an enthusiastic supporter of cooperation with

WAS, died in his sleep a few months before his birthday. The

Washington Section of the IEEE was planning to honor him at their

upcoming awards banquet on the April 28 with a special award for nearly

seven decades of dedicated and loyal service.

Thomas Meylan, WAS Vice President, with co-author Terry

Teays, has written Optiwizuig Luck: What the Passion to Succeed in

Space Can Teach Business Leaders on Earth. It will be published by

Davies-Black in November 2007.

THE WORLD FUTURE SOCIETY holds its 2007 annual meeting in

Minneapolis July 29-31. Sessions will cover technology, health,

governance, education, values, and social trends. Next year’s annual

meeting will be in Washington; planning for it is already underway. To

participate, or for more information see the web site, www.wfs.org.

The Council of Science Editors is organizing a Global

Theme Issue on Poverty and Human Development in October 2007.

Science journals throughout the world will simultaneously publish papers

on this topic, to raise awareness and stimulate research into poverty and

human development. This is an international collaboration with journals

from developed and developing countries. They plan to publish original

research, review articles, editorials, perspectives, book reviews, and news

Washington Academy of Sciences

77

stories on the subject of poverty and human development. Some will

dedicate an entire issue to this subject, others will publish a few papers, or

an editorial. This Journal invites papers on this subject for its Fall

issue — tentative deadline for submission is September 15.

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Editor’s Comments i

Instructions To Authors ii

James O’Connell, Faraday, Maxwell, and Lines of Force 1

Sean A. Genis and Carl E. Mungan, Orbits on a Concave Frictionless Surface 7

Julie Simon Lakehomer, A New Look at Mendel 15

Gene G. Byrd and Sethanne Howard, The Galaxy No One Wanted to See 33

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In Memorlam 73

ISSN 0043-0439

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EDITOR’S COMMENTS

AUG 0 8 2007

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The Annual Meeting And Awards Banquet, on

in this issue — marked the end of another very successful year for the

Academy, and with the installation of new officers also the beginning of a

year that should prove equally rewarding. It will include in March the

third of our biannual Capital Science Conferences, the planning of which

is well underway.

In the meantime, the work of the Academy does not stop during the

summer. Although there are no regular meetings of the Board of Managers

in July and August, member recruitment and fund raising efforts continue,

planning for Capital Science and for Junior Academy activities goes on,

this Summer issue of the Journal goes to press and work is underway to

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reviews are also welcome.

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considered standard in the discipline(s) represented by the paper.

Washington Academy of Sciences

1

FARADAY, MAXWELL, AND LINES OF FORCE

James O’Connell

Frederick Community College, Maryland

ABSTRACT

One hundred and fifty years ago, the physical chemist,

Michael Faraday first met the mathematical physicist Clerk Maxwell,

newly arrived in London. This essay traces the thought process that led

them to the development of electromagnetic theory using analogy,

symmetry, and the new applications of vector calculus. Faraday’s

experimental work on magnetically induced electric currents led him to

picture all electric and magnetic interactions as through lines of force.

Maxwell quantified this field theory by applying vector calculus. Two

of the resulting equations produced the conclusion that visible light is

an electromagnetic wave, whose velocity is given by the product of

electric and magnetic static-force constants.

THE BACKGROUNDS OF FARADAY AND MAXWELL

In the 19th century, Faraday was considered the world’s

greatest physics experimentalist and Maxwell its greatest physics theorist.

They were 40 years apart in age and light years apart in formal education.

In the Victorian period, a young man’s future was determined by his

father’s occupation and his family’s social rank. Faraday’s father was a

blacksmith and his family lived in a poor section, of London. Maxwell’s

father was an Edinburgh lawyer and his family held a high position in

society. Faraday was a self-taught chemist with rudimentary mathematical

skills. Maxwell was a Cambridge University graduate and a skilled

mathematical physicist. As different as they were in background and

temperament, the two scientists shared an intense desire to understand the

mysteries of the electromagnetic phenomena that Faraday had discovered,

but which he could only explain in qualitatively terms he called lines of

force.

FARADAY AT THE ROYAL INSTITUTION

Faraday, after a minimal amount of schooling, became an

apprentice to a bookbinder. But at age 21, following his interest in

Summer 2007

2

science, he became a chemical laboratory assistant to Sir Humphry Davy

at London’s Royal Institution. Eventually, Faraday began his own series

of chemical investigations that led to discoveries in chemical reactions and

in the new field of electrolysis. He established himself among the premier

experimentalists of the Victorian period.

FARADAY’S EXPERIMENTS WITH MAGNETIC FIELDS

Towards the end of his 50-year stay at the Royal Institution,

Faraday took up the study of magnetic fields from permanent magnets and

from electric currents. His most important discovery was the phenomena

of the creation of electric fields by changing magnetic fields. It had been

demonstrated by Oersted in 1821 that a current-carrying wire loop creates

a magnetic field around itself Ten years later Faraday’s demonstrated the

complementary process, namely a changing magnetic field through a wire

loop produces a current in the wire. This induced current implied that a

changing magnetic field creates its own electric field in space. Thus, time-

varying electric and magnetic fields were coupled.

Faraday was familiar with the well-known curved-lines pattern

created by sprinkling iron filings on a sheet of paper held over the poles of

a permanent magnet. This pattern suggested to Faraday the idea of

magnetic lines of force. The electric field between charged particles had

its own lines of force. Faraday’s lines of force eventually led to the

concept of electric and magnetic fields, as we know them today.

ASIDE ON ACTION-AT-A-DISTANCE AND LINES-OF-FORCE

Nineteenth century scientists were troubled by the concept that

forces between bodies acted instantaneously without any intervening

mechanism. This paradox was called action-at-a-distance. Since the time

of Newton, the gravitational force was considered to be action-at-a-

distance over the vast spaces between the Moon and Earth and between

the Earth and the Sun.

Field theory presented an alternative picture in which electric and

magnetic lines-of-force always existed between charges. The same type of

field could be true of the gravitational force between masses. In this

picture space is filled with force lines between objects interacting via the

three classical forces. When the charges or masses move the force lines

Washington Academy of Sciences

3

adjust their intensity and direction with a signal that travels along the

force lines at a finite speed.

MAXWELL’S MATHEMATICAL REPRESENTATION OF LINES

OF FORCE

The young Maxwell read and reacted to Faraday’s three- volume

book Researches in Electricity. Most university-based physicists had

ignored Faraday’s research because it lacked mathematical analysis.

However, Maxwell saw that Faraday’s concept of lines-of-force lent itself

to a mathematical treatment using vector fields. Maxwell developed his

concept in a series of three papers: Faraday’s Lines of Force (1857),

Physical Lines of Force (1862), and A Dynamical Theory of the

Electromagnetic Field (1864). His mathematics increased in complexity

with each paper from simple algebra, to calculus, to vector calculus

culminating in his famous set of four equations that describe the

interactions of electric and magnetic fields with each other and with

charges and currents.

Maxwell’s field equations formed the most elegant and useful

physics theory since Isaac Newton’s 1687 book Principia, which laid the

foundation of the theories of gravitation and mechanics. Indeed,

Maxwell’s 1873 summary book Treatise on Electricity is considered the

Principia of electromagnetic theory. Maxwell’s papers and book are

difficult to read today because of the manner in which he wrote his

equations. In fact. Maxwell wrote a second book. An Elementary Treatise

on Electricity without equations, to reach a broader audience. Oliver

Heaviside in 1884 recast Maxwell's mathematics into the now familiar

four compact vector equations.

MATHEMATICAL BACKGROUND

Cambridge University in this mid-century period had a group of

mathematicians and physicists who had developed and used vector

calculus in the analysis of fluid and heat flow. The operators of gradient,

divergence, and curl found great utility in understanding fluid dynamics.

Maxwell realized that the curl operator acting on a field vector, V x V,

would be useful for developing the mathematical relationships between

electric and magnetic fields E and B. In particular, the lines of magnetic

force close on themselves, unlike electric force lines that began and ended

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4

on charges. It was the curl operator that made magnetic fields

mathematically tractable. For the interested reader not familiar with vector

calculus and traveling waves, an Appendix provides a brief tutorial on

these subjects.

MAXWELL’S EQUATIONS RELATING ELECTRIC AND

MAGNETIC FIELDS IN EMPTY SPACE

Maxwell intuited that electromagnetic fields in space were time-

dependent electric and magnetic fields. He described their relationships

with the equations

V X E = - 3B/at

V X B = |Xo£o aE/3t.

The second equation, with the time derivative of the electric field, was a

hypothesis based on symmetry with the first equation. These equations

show the “bootstrap” mechanism by which the two fields regenerate each

other as they propagate through space.

EXPERIMENTAL COMPARISON OF ELECTROMAGNETIC

WAVE SPEED WITH THE VELOCITY OF LIGHT

A consequence of Maxwell’s field equations is that all

electromagnetic waves travel with a velocity given by l/(|io£o)^^^.

Maxwell made the further inspired guess that light was an

electromagnetic wave. The speed of light c had been measured by several

methods in the 19th century. A comparison with the measured values of po

and £o proved Maxwell correct, indeed c was numerically equal to

l/(po£o)*^^ within the experimental accuracy of the measurements of the

three constants.

Another property of an electromagnetic wave is the relation

between the magnitudes of the two fields, E = cB. The magnetic field,

measured in tesla, is 8 orders of magnitude smaller than the electric field,

measured in volts per meter. Heinrich Hertz verified electromagnetic

waves could be generated and detected as predicted by Maxwell.

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5

OTHER FIELD THEORIES

Maxwell’s electromagnetic field theory, inspired by Faraday’s

magnetic experiments, became the model for modern-day field theories.

These theories include: quantum electrodynamics (QED) with photon

exchange between charges, quantum chromodynamics (QCD) with gluons

exchange between quarks, and quantum gravitational dynamics (QGD)

with graviton exchange between masses, a theory still in development.

THREE CONCLUSIONS ABOUT WHY FARADAY AND

MAXWELL WERE SUCCESSFUL

1. Faraday and Maxwell were well suited to their separate tasks in the

development of electromagnetic field theory: Faraday with his intuitive

lines-of-force picture and his experimental skills, and Maxwell with his

belief in Faraday’s picture and the mathematical skills to convert the fields

into equations. Other scientists were studying electric and magnetic fields

at this time, but none made the connections so well as Faraday and

Maxwell.

2. Cambridge and Scottish University mathematicians and physicists were

developing the mathematics of vector fields and applying it to fluid and

heat flow theories. Therefore, vector calculus was available for Maxwell

to use when he realized its utility to relate electromagnetic fields.

3. A number of scientists had measured the velocity of light c to sufficient

accuracy to make the comparison with the experimental values of 8o, the

permittivity, and jLlo, the permeability, of empty space to test the surprising

relationship between these three constants po^o = 1/c^.

APPENDIX

Vectors are directed line segments representing a field of some

physical quantity, for example force, velocity, or acceleration. In three

perpendicular dimensions, a vector can be written as the sum of three

independent one-dimensional components

V(x,y,z) = ivx + jvy + kvz.

In vector calculus the curl operator (in Cartesian coordinates) acting on a

vector is written as

V X V = i (3vz/3y - 3vy/3z) + ](dwjdz - dwjdx) + k(^Vy/^x - dvx/3y).

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6

In Maxwell's theor\\ when the curl operator acts on an electric field E(x,

V, r), it gives the time derivative of the magnetic field. WTien acting on a

magnetic field B(a% v, r) in free space, the curl gives the time derivative of

the electric field.

The expression for a time-dependent electric field of magnitude Eq

with wavelength X moving with velocity c in the direction v as a function

of time r is written as

E(a', r) = Eo sin[27r< X(.Y - ct)]

and a similar expression for the accompanying perpendicular magnetic

field B. Together these fields describe the movement of a wave of light

through space.

REFERENCES

1. Edmund Whittaker, A History of the Theories of Aether and Electricity’, Vol. 1 Thomas

Nelson and Sons Ltd. London. 1951.

2. Robert D. Purrineton. Physics in the Nineteenth Centidn-, Rutgers Universits' Press,

1997.

3. Alan Hirshfeld. The Electric Life of Michael Faraday, Walker & Company, New

York. 2006.

4. Peter M. Harman. Natural Philosophy of James Clerk Max^velL Cambridge Universiu

Press, 1998.

Washington Academy of Sciences

7

ORBITS ON A CONCAVE FRICTIONLESS SURFACE*

Sean A. Genis and Carl E. Mungan

U.S. Naval Academy, Annapolis, MD

ABSTRACT

The equations of motion of a puck sliding frictionlessly inside a

parabolic bowl can be straightforwardly deduced using the

conservation laws of mechanical energy and angular momentum. But

the solution of these equations requires that they be recast into the form

of Newton’s second law. The simple example of a ball in vertical

freefall illustrates why this is necessary and how to perform the

conversion. The method is then applied to the richer problem of a puck

gliding on a paraboloidal surface for which the nonlinear equations

require numerical solution. A rich variety of orbital patterns of the

puck is found.

INTRODUCTORY EXAMPLE OF ONE-DIMENSIONAL

FREEFALL

Consider a ball thrown straight upward (which will be designated as

the +z direction) from the origin with an initial velocity of Let’s find

its resulting path of motion z{t) in the absence of air resistance. Because

mechanical energy is conserved (for the system of ball and earth), the sum

of the kinetic {K) and gravitational potential {U) energies at any point on

the ball’s path can be written as

K + U = (1)

where the subscript “0” throughout this article denotes the initial instant

/ = 0 . Choosing the gravitational reference position to be at the origin and

assuming the ball’s altitude never gets large compared to Earth’s radius,

Eq. (1) becomes

^Selected by the Chesapeake Section of the American Association of Physics Teachers as

the best student presentation at its spring 2007 meeting - Genis is a midshipman

majoring in physics and Mungan is a professor of physics.

Summer 2007

8

^ ml)l + mgz = ^ + 0

(2)

where m is the mass of the ball, g = 9.80 N/kg is Earth’s surface

gravitational field, and =dzl dt is the velocity of the ball. Equation (2)

can be rearranged as

2gz. (3)

dt

Unfortunately this equation is double-valued and cannot be uniquely

solved as written. At any given height z, there are two solutions, one

corresponding to the ball traveling upward with a positive velocity and the

other to the ball descending with an equal-magnitude negative velocity. In

order to circumvent this ambiguity, the time derivative of Eq. (3) can be

taken to produce the readily solvable form

^ dz^

\dt j

dt^

= -2g

^dz^

\dt /

az=-g

(4)

7 7

where a^=dzldt is the acceleration of the ball. The final equation is

simply Newton’s second law with the ball’s mass divided out of both

sides. Integrating it twice with respect to time gives the expected solution

In this easy example, one could alternatively solve Eq. (3) by manually

changing the sign of the square root of the right-hand side of the equation

after the topmost point of the trajectory is reached by the ball. But this

procedure becomes cumbersome if the orbit has a large number of turning

points. In such a case, it is easier to differentiate the energy equation with

respect to time and then solve the resulting second-order equation, as was

done above. ^ Let’s now apply this method to the richer problem of interest

in this paper.

ORBITING ON A FRICTIONLESS PARABOLIC SURFACE

Suppose that a puck is sliding frictionlessly about the bottom of a

concave bowl which has cylindrical symmetry around the vertical axis z,

described by the parabolic cross-sectional profile

Z = (5)

Washington Academy of Sciences

9

using cylindrical coordinates, p, z, as illustrated in Fig. 1. The origin of

the coordinate system is at the vertex of the bowl, and a factor of V2 has

been included in Eq. (5) to avoid factors of 2 that otherwise arise.

Fig. 1. Free-body diagram indicating the normal {N) and gravitational

forces {mg) acting on the puck (indicated by the dot) when it is located

at arbitrary position {p,(j)^z) . The paraboloidal surface has slope tan^

in the radial direction.

Energy conservation implies that

j-mv + mgz = constant => v +gkp = constant (6)

7 7 7 7

where V = ^he first constant has been divided by a

factor of !/2 m to get the second constant. Here Vp=dpl dt , = pco

(where o) = d(l)l dt is the puck’s angular velocity about the axis of

symmetry), and v^ = dzldt = kpdpldt. Since neither gravity nor the

normal force exerts a vertical torque on the puck about the origin, the z-

component of the angular momentum is constant and therefore equals its

initial value,

2 2

=mp co= mpfjCOQ

0) =

6%

(7)

Inserting this expression into the speed squared in Eq. (6) and taking the

time derivative to eliminate the constant yields

£

dt

[\ + k^p^)vl + p^o^p ^ + gkp^

= 0.

(8)

Summer 2007

10

The derivative can be performed and a factor of 2v^ divided out of every

term, in analogy to how Eq. (4) was obtained from Eq. (3), to get

-kp(g + kvl)

(9)

where p / dt^ . This equation can also be obtained (but with

considerably more effort) by finding the two orthogonal surface tangential

components (to avoid the unknown normal force) of Newton’s second law

in cylindrical coordinates.

One final step is helpful before proceeding to a computer solution.

Equation (9) can be rewritten in terms of the dimensionless variables

R = kp and T = (o^t as

^2^ ^RyR^[c + {dRldTf^

dT^ +

(10)

where C = gk ! co^ is a dimensionless constant. This is a second-order

differential equation to be solved with the initial conditions

R{Q) = R^ = kp^ and K(0) = Tq “ ^ ^^ere V = dR! dT . Suppose

the initial angular velocity is chosen so that the puck travels in a stable

counter-clockwise circular orbit around the vertex of the bowl. The puck

is then given a quick push toward the rim of the dish. The push provides a

radial impulse to the puck. (Note that a radial impulse does not change the

value of Lz) Prior to the push, R must have the constant value Rq so that

dR ! dT and d^R! dT^ are both zero, and Eq. (10) therefore implies

that C = 1 . In turn this result requires that OJ^ = (gk) regardless of the

puck’s position on the surface. This is a special property of a parabolic

dish and is the reason that the surface of a rotating liquid settles into a

paraboloidal shape, a property that can be exploited to make the primary

collecting mirror of a reflecting telescope.^

Once Eq. (10) is solved for R{T), it can be substituted into Eq. (7)

written in the dimensionless form dcf)! dT = {R^l R) . That result can then

be integrated to obtain ^T) with the initial condition 0(0) = 0 (by

Washington Academy of Sciences

11

choosing the x-axis to point to the puck’s position at the instant of

application of the radial impulse). The results can then be plotted

parametrically to give an overhead view of the xy-coordinates of the puck

in the dimensionless form

X = 7?cos0 and Y = Rs^m(p. (11)

Here is the complete code we wrote to solve and plot the motion of the

puck using the commercial software program Maple^^ for the

case = 1 = Fq , as graphed in Fig. 2(a):

R0:=1; V0:=1;

eqR:-diff(R(T),T,T)=(ROM-R(T)M*( 1 +diff(R(T),T)^2))/R(T)^3/( 1 +R{TY2);

eqphi:=diff(phi(T),T)=(R0/R(T))^2;

sol-dsolve({eqR,eqphi,R(0)=R0,phi(0)=0,D(R)(0)=V0},{R(T),phi(T)}, numeric);

r:=T->rhs(sol(T)[2]); p:=T->rhs(sol(T)[4]);

X:=T->r(T)*cos(p(T)); Y:=T->r(T)*sin(p(T));

plot(['X(T)',’Y(T)',T=0..50*Pi],scaling=constrained);

By varying the initial values Rq and Fq in the first line, a rich variety of

orbital patterns result; two further examples are plotted in panels (b) and

(c) of Fig. 2, chosen to illustrate some common patterns. Our school has a

site license for Maple^^ and students are introduced to its use in their

introductory calculus sequence and could be given the above code with

which to experiment. At other schools, Mathematical'^ or implementation

of Euler’s method in a spreadsheet such as Excel™ might be a better

choice. 3 However the comparative simplicity of the code above makes this

a good example with which to introduce students to algorithmic software

packages.

Further insight into the puck’s motion is obtained by making the radial

impulse very weak, so that the circular orbit is only slightly perturbed.^ In

that case, it is easier to see the resulting small effect by jumping into a

frame of reference that rotates with the puck’s initial angular speed of

The xj^-coordinates of the puck in this rotating frame can be computed

using Eq. (11) provided we replace ^ by (j)- co^t ^(p-T . An example is

plotted in Fig. 2(d). The puck starts on the x-axis at (/^O’^) travels^

clockwise with very nearly uniform circular motion of dimensionless

diameter Fq at an angular frequency of Ico^. That is, the puck performs

one clockwise orbit in the rotating frame during the time that the puck

Summer 2007

12

rotates counter-clockwise halfway around the bowl in the lab frame. This

trajectory is a result of the Coriolis force which produces a rightward

deflection of the puck in the rotating frame, ^ analogous to the rotation of

hurricanes in the northern hemisphere of the earth. The radially outward

centrifugal force is almost perfectly canceled by the inward component of

the normal force.

Fig. 2. Overhead views of the trajectory of the puck (a) in the lab

frame for Rq = 1 and = 1 over the interval 0 < T < 50;r ; (b) in the

lab frame for = 1 and Tq = 8 over the interval 0 < T < 1 50;r ; (c) in

the lab frame for Rq = 0.05 and = 0.5 over the interval

0<T < 25 fT ; (d) in the rotating frame for R^ = 0.01 and Vq = 0.0001

over the interval 0 < T < ;r (in a highly magnified view).

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13

FOR FURTHER INVESTIGATION

At least two interesting lines of inquiry are left for future work, the

first theoretical and the second experimental:

(1) Under what circumstances is the orbital motion closed? Close

inspection of Fig. 2(b) indicates that the orbit appears to repeat after

tracing out 19 lobes. In contrast, the pattern in Fig. 2(a) is starting over

(after 25 time periods of Itt / co^) dX 3. slightly shifted angular position. By

writing V = dRI dT - / R)^{dR / dc/)) and equating it to the positive

square root of V from Eq. (6) as the puck travels from closest to farthest

approach from the bowl’s vertex, one can integrate to find an expression

for A0 along this path. The orbit is closed if ;r/ is a rational number.

(In particular if that number is an integer, then the orbit never crosses

itself) Similarly, Eq. (10) can be recast into an orbital differential

equation for 7?(^) rather than R{T) .

(2) To investigate experimentally the trajectories described in this paper,

one could construct a parabolic “air hockey” table by drilling holes in a

suitable dish and blowing air through them. Alternatively one could roll a

marble on an old parabolic mirror or satellite television dish and modify

the present theory to include frictional forces. (One could even spin the

dish to keep the marble from slowing down.) For comparison, interesting

effects occur when a ball rolls without slipping on the surface of a rotating

flat plate,”^ on the inner surface of a vertical cylinder such as a golf cup,^

on the surface of an elastic membrane,^ or on the inner surface of a

sphere.

A cknowledgments

We thank David Bowman and Mitch Baker for useful discussions

about closure of the orbits.

REFERENCES

1. An alternative approach is to minimize the action or equivalently to write down the

Lagrange equations. See D.E. Neuenschwander, E.F. Taylor, and S. Tuleja, “Action;

Forcing energy to predict motion,” Phys. Teach. 44, 146-152 (Mar. 2006).

2. T. Feder, “Mercury telescope spins up,” Phys. Today 56, 24-25 (Nov. 2003). Also see

the follow-up letter on page 82 of the July 2004 issue.

A

Summer 2007

14

3. For a brief overview of numerically integrating a differential equation by finite-

difference methods using a spreadsheet, see P.A. Tipler and G. Mosca, Physics for

Scientists and Engineers, 6th ed. (Freeman, New York, 2004), Sec. 5-4.

4. K.T. McDonald, “A mechanical model that exhibits a gravitational critical radius,”

Am. J. Phys. 69, 617-618 (May 2001).

5. These statements can be proven by performing a perturbation analysis of Eq. (10).

6. J. Barcelos-Neto and M.B. Dias da Silva, “An example of motion in a rotating frame,”

Eur. J. Phys. 10, 305-308 (Oct. 1989).

7. K. Weltner, “Stable circular orbits of freely moving balls on rotating discs,” Am. J.

Phys. 47, 984-986 (Nov. 1979). Also see R. Ehrlich and J. Tuszynski, “Ball on a

rotating turntable: Comparison of theory and experiment,” Am. J. Phys. 63, 351-359

(Apr. 1995).

8. M. Gualtieri, T. Tokieda, L. Advis-Gaete, B. Carry, E. Reffet, and C. Guthmann,

“Golfer’s dilemma,” Am. J. Phys. 74, 497-501 (June 2006). Also see O. Pujol and J.

Ph. Perez, “On a simple formulation of the golf ball paradox,” Eur. J. Phys. 28, 379-

384 (Mar. 2007).

9. G.D. White and M. Walker, “The shape of ‘the Spandex’ and orbits upon its surface,”

Am. J. Phys. 70, 48-52 (Jan. 2002). Also see the follow-up comment on pages 1056-

1058 of the October 2002 issue.

10. See Demonstration 4.5 “A processing orbit” on page 66 of R. Ehrlich, Why Toast

Lands Jelly-Side Down (Princeton Univ. Press, New Jersey, 1997).

Washington Academy of Sciences

15

A NEW LOOK AT MENDEL

Julie Simon Lakehomer

Tinley Park High School, Illinois

Into the 19th century ferment of biological inquiry came Gregor

Mendel, an Austrian friar with an intense interest in natural science.

Mendel was a genius ahead of his time, and his contemporaries

completely failed to appreciate his discovery of the principles of

heredity. Mendel demonstrated that differing parental versions of traits,

accommodated in hybrid offspring, separate and assort independently

and randomly into reproductive entities. Mendel was eventually

credited with knowing of genes and how they confer traits, when in fact

he did not know these things. As a result of this exaggeration, some

brilliant aspects of Mendel’s actual accomplishments were slighted.

This paper provides a fresh look at Mendel's life and accomplishments.

INTRODUCTION

Early people watched traits pass from generation to generation.

Hunter-gatherers buried seeds from desirable food plants, expecting to

find similar plants the following year. Hunters and herders mated desirable

work animals and livestock, expecting similarly desirable young. These

early breeders never dreamed of genes — they didn't need to in order to be

successful (Diamond 1997 and McLoughlin 1983). Yet somehow

characteristics from parents appeared in offspring.

Maybe the male parent transmitted a miniature organism into the

female, where it then developed. Or maybe the miniature was already in

the female and the male transmitted a vital force to stimulate growth. Yet

neither possibility explained how offspring resembled both parents. And

neither agreed with observations that embryos developed gradually from

amorphous material into increasingly recognizable beings. Maybe fluids

from both parents combined in a vivifying chemical reaction that

engendered an embryo. Or molecules from both might react to form an

embryo the way acids and bases reacted to form salts. Or infinitesimal bits

from all parts of both parents might attract each other and grow into all the

parts of a new organism (Farley 1982).

A big problem was that heredity occurs microscopically, within

and between cells. With the invention of microscopes in the seventeenth

century, people for the first time could actually observe a little about

Summer 2007

16

reproduction (Bradburv^ 1967). But imagine approaching the subject for

the first time. No one even knew what to study.

Aside from invisibility, there was the problem of experimentation.

In the eighteenth centur\% fanciers, namralists, and agriculturalists mated

plants and animals to produce specific characteristics in offspring; to

differentiate between species and varieties; to explain self-fertilization and

self-sterility in plants; or, in Darwin's case, to determine the sources of

variation upon which natural selection operated. Results were mixed.

Often only a few crosses w ere performed, willy-nilly between generations,

with only a few’ outcomes. Data w ere subjective and expressed in terms of

numerous characteristics, obscuring any clear pattern. Many hybridists

assumed that traits came not only from parents, but from exterior

circumstances (soil, feed, weather). And. except for Darwin, hybridists

don’t seem to have grasped that all the problems had to do with heredity

(Roberts 1929; Sturtevant 1965).

By the nineteenth century, the microscopists and hybridists had

become separate groups, each with their owm learned societies. Laboratory

scientists devoted themselves to chemical and microscopic investigations

(Rudy 1984 and Bradbury^ 1967). Naturalists devoted themselves to

cataloging native species, conser\’ation. and hybridization. Neither group

had much to do w ith the other (Allen 1976 and Farley 1982).

Into this climate of inquiry came Gregor Mendel, an Austrian friar

with an intense interest in natural science. Mendel w’as a genius ahead of

his time, and his contemporaries completely failed to appreciate his

discovery of the principles of heredity. Mendel demonstrated that w^hen

parents have different versions of traits, such as color, those differences

are accommodated in hybrid offspring. Often only one of the parental

versions is evident, or sometimes a new version of the trait appears.

Nevertheless, the parental differences retain their independence within the

hybrid, and separate again w^hen the hybrid forms reproductive entities.

Furthermore, if parents differ with regard to more than one trait, the

varying versions of all those traits will assort in all possible combinations

into the reproductive entities of the hybrids. Ultimately, both parents

influence offspring equally.

In 1900, long after Mendel had died, and half a century after his

investigations, biologists rediscovered him and dubbed him father of

modem genetics. However, their appreciation was colored by what had

been learned in the inter\^ening decades. Mendel w^as eventually credited

w ith knowing of genes and how’ they confer traits, w^hen in fact he did not

Washington Academy of Sciences

17

know these things.^ As a result of this exaggeration, some brilliant aspects

of Mendel’s actual accomplishments were slighted.

EARLY LIFE

Mendel was bom in 1822 into a family of enterprising peasants,

some having increased their farm acreage and buildings, and some having

risen in education and public responsibility. Mendel learned about plant

culture and beekeeping from his father and also at the local school where,

remarkably, the lady of the manor required the teaching of natural science

along with the basics.^ Mendel was a noteworthy student, so his family

sacrificed to send him to high school (litis, 1932). He so loved learning, he

wrote two poems celebrating Johannes Gutenberg for inventing the

printing press, because it spread enlightenment among humankind.^

After high school Mendel continued at the Olmiitz Philosophical

Institute, but could barely sustain himself by tutoring and scraping by

without enough to eat. A few times, stress overcame him, and he returned

home for months to recover from apparent emotional breakdowns. Rather

than give up his education, Mendel sought help from a professor, who

offered to recommend Mendel for the community of friars at the Abbey of

St. Thomas at Briinn. So, in order to continue studying, Mendel became

an Augustinian friar (Mawer 2006).

The Abbey sent him to the University of Vienna, where he studied

mathematics, physics, chemistry, zoology, entomology, botany, and

paleontology from 1851 until 1853. His physics and chemistry professors

were noteworthy experimenters whose methods may have influenced

Mendel’s subsequent research (Sturtevant 1965). Returning to Briinn,

Mendel taught physics at the Modem School until 1868 when he became

prelate. Meanwhile, he had use of the monastery gardens and time to

experiment. He purchased various species of bees from all over Europe

and attempted, unsuccessfully, to cross them. He helped found the

Austrian Meteorological Society and kept daily records of precipitation,

temperature, humidity, barometric pressure, soil water, and sunspots,

becoming the Briinn data collector for the Vienna Meteorological Institute.

He sought a connection between soil water levels and local cholera

epidemics, and between sunspot activity and weather. In 1870 he wrote a

detailed account of a rare tornado that passed over the monastery.

Throughout his life, Mendel read widely, becoming familiar with the

important scientific research of the eighteenth and nineteenth centuries. He

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corresponded with professors in the various fields in which he worked,

addressing these men in the most complimentary and deferential way,

because of custom, but perhaps also because of his humble background or

because he was a Catholic cleric in a Protestant world (Boyer 2007).

MAJOR EXPERIMENTAL WORK

By the 1850s Mendel had tried to repeat the work of many plant

hybridizers. He was frustrated because these investigators did not always

report which species they crossed, or which generations, nor did they

record detailed results.

So Mendel decided to investigate hybridization in flowering plants

himself, to try to discover a “generally applicable law of the formation and

development of hybrids,” which he believed would be of unquestionable

importance to “the evolutionary history of organic forms” (Stem 1966 [1-

2]).

Here, some botany will be helpful: The reproductive organ of a

flowering plant is the flower, which contains a central female part with

surrounding male parts. Flowering plants produce offspring in the form of

seeds at the bottom of the female part of the flower, the pistil. Mendel

called the pistil the “seed plant.” Seed formation occurs after pollen from a

flower of the same (or similar) species arrives on the top of the pistil. The

pollen comes from the male parts of the flower, the anthers. Mendel called

the anthers the “pollen plant.” This fertilization process had been known

for centuries, and microscopists had even seen pollen grains growing tubes

down into the seed-forming parts of pistils. Yet no one knew how

reproduction in plants or animals actually worked."^

Mendel chose garden peas for his hybridization experiments for

two reasons. One: the flowers are self-fertilizing. Normally, a plant’s

flowers open, and insects, birds, bats, or wind move the ripe pollen from

the anthers of one flower to the pistil of another; but in pea plants, the

pollen ripens and becomes stuck on top of the pistil of the same flower

before the petals open. This closed-petal self-fertilization struck Mendel as

useful for experimentation. Since the flowers remained closed during the

fertilization period, no chance pollination by insects or wind could

interfere. However, Mendel himself could cut into the closed flowers

before their pollen ripened and remove the anthers to prevent self-

fertilization. Then he could use a little bmsh to apply ripe pollen from

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another flower of his own choosing onto the pistil. This way he could

control exactly which plants mated with which.

Two: these pea plants displayed a number of traits with discreet

versions. Some of the plants had violet-red flowers, while others had

white. ^ Some produced round seeds, while others produced wrinkled ones.

And so it went: yellow versus green seeds, inflated versus constricted

pods, green versus yellow pods, flowers on the sides of the plants (axial)

versus flowers at the tops (terminal), tall stems versus short ones. These

contrasting versions were so clear, no subjective “matter of opinion” was

necessary to identify them. Furthermore, each plant was constant with

respect to its traits, meaning that when plants were allowed to self-

fertilize, the offspring of violet-red flowered plants always had violet-red

flowers, and the offspring of white-flowered plants always had white. The

same was true of all seven traits Mendel investigated.

Here is what Mendel did that decades later looked so prescient.

Over eight years, he used his pea plants in a rigorous type of scientific

experiment uncommon in biology until the end of the nineteenth century.^

He mated large numbers of pea plants with contrasting versions of a single

trait to produce hybrid plants. For instance, he crossed violet-red flowered

plants with white-flowered plants by applying pollen from the anthers of

violet-red blossoms to the pistils of white ones, and by applying pollen

from the anthers of white blossoms to the pistils of violet-red ones. Then

Mendel waited for seeds to develop and planted them to see what the

hybrids would look like.

The hybrids that grew from those seeds all had violet-red blooms

— the white flower color seemed to have been lost. Next, Mendel allowed

the flowers of the hybrids to self-fertilize. In other words, he allowed this

generation to mate among themselves. The seeds they produced

constituted the second generation of offspring from the original parent

crosses. When these second generation seeds grew into plants, three-

fourths had violet-red flowers, but one-fourth had white (a ratio of 3:1).

The white color must have been there all along, for now it had reappeared!

Each trait brought the same results. The hybrids showed only one

of the two parent possibilities for seed texture, seed color, pod shape, pod

color, flower position, or height. But the second offspring generation

showed both, and always in a ratio of about 3:1.^ Mendel called trait

versions like white color, that got hidden in the hybrid generations of his

crosses, “recessive,” and the versions that always showed, like violet-red

flower color, “dominant.” The dominant versions turned out to be violet-

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red flowers, round seeds, yellow seeds, inflated pods, green pod color,

axial flowers, and tall stems.

Next, Mendel allowed the second offspring generations, with the

3:1 ratios, to self-fertilize. All the recessive plants were constant: every

succeeding, self-fertilized generation from these was recessive. But of the

dominant plants, only a third were constant, while two-thirds of them,

when allowed to self-fertilize, produced another 3:1 generation; the two-

thirds had been hybrids again. This situation continued with every 3:1

group: the recessives were all constant, while a third of the dominant

plants were constant and two-thirds were hybrids.

Mendel generalized these results with symbols. He symbolized a

constant-breeding dominant plant with A, a constant-breeding recessive

plant with a, and a hybrid, since it could produce dominant, recessive, or

hybrid offspring, was Aa. Thus each 3:1 generation could be symbolized

A + 2Aa + a.^

Now Mendel wondered what might happen if he mixed two traits,

say by mating plants bearing round-textured, yellow-colored seeds with

plants bearing wrinkled-textured, green-colored seeds. He tried this, and

again the hybrids were all dominant, bearing round, yellow seeds.

However, the second offspring generation bore four different seed

appearances: round/yellow, round/green, wrinkled/yellow, and

wrinkled/green. Mendel saw that the four appearances were a combination

of the 3 : 1 ratio of round to wrinkled (A + 2 Aa + a) along with the 3 : 1 ratio

of yellow to green (B + 2Bb + b).^ Such a combination was probable'®

only if the round or wrinkled textures were free to appear in any

assortment with the yellow or green colors.

Then he mixed three traits: seed shape (round or wrinkled), seed

color (yellow or green), and flower color (violet-red or white). Again the

hybrid generation was entirely dominant, with round, yellow seeds

growing into violet-red flowered plants. But the second offspring

generation showed all eight possible combinations of the trait versions:

round/yellow/violet-red, wrinkled/yellow/violet-red, round/yellow/white,

wrinkled/yellow/white, round/green/violet-red, wrinkled/green/violet-red,

round/green/white, and wrinkled/green/white. These eight appearances

were a combination of a 3:1 ratio of round to wrinkled (A + 2Aa + a), a

3:1 ratio of yellow to green (B + 2Bb + b), and a 3:1 ratio of violet-red to

white (C + 2Cc + c)." Again, such a combination of ratios was probable

only if the various trait versions were free to appear randomly in any

assortments. No matter which sets of traits Mendel crossed, the results

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were the same. He had discovered two rules. One: if hybrids are formed

by crossing two versions of any number of traits, the offspring of the

hybrids will show as many combinations of 3:1 ratios as there were traits

to begin with. Two: a version of any trait can associate freely with a

version of any other trait. So if n = the number of different traits (e.g.

seed color, seed shape, flower color, height, etc.) then 2" = the number of

possible combinations of versions. Thus two traits give 2^ = 4

combinations; three traits give 2^ = 8 combinations; etc.

Here are the modem aspects of Mendel’s experiments:

He used mathematics. He experimented with many plants — tens,

hundreds, and eventually thousands — for with many matings, chance was

less likely to skew results. He kept exact counts of all plants, never trying

to influence the results by leaving some out. (I will say more about this

below.) He analyzed data mathematically, coming up with the important

3:1 ratio of dominant to recessive versions in the second offspring

generation and using that ratio to analyze further experiments. He viewed

the data he collected in terms of “laws of probability” and tolerable

amounts of “fluctuation” (Stem, 1966), mathematical notions unfamiliar in

biology until the early 20th century (Daintith 1999 and Salsburg 2001).

His crosses were objective. The differences between versions were

clear (i.e. violet-red vs. white, yellow vs. green, etc.), so that any

researcher would have agreed with Mendel’s results. He kept the

generations separate, allowing no intergenerational mating. He

experimented on one trait at a time, then on one specific pair of traits, then

on one specific trio, rather than the entire appearance of the plants at once

(Bateson 1913).

He controlled variables. He eliminated to a high degree any chance

pollinations. He sowed seeds into both pots and the garden in case one or

the other might change outcomes. He placed some plants in a greenhouse

to compare with those outdoors, in case the less controllable outdoor

conditions had some effect. Finally, he performed reciprocal crosses, lest

it make a difference whether pollen plant or seed plant had a particular

trait version. Results were the same under all conditions (Stem 1966).

He used symbols: A, B, C, etc. for constant-breeding dominants, a,

b, c. for constant-breeding recessives, and Aa, Bb, Cc, etc. for hybrids.

Symbols afforded an overall view. So instead of the confusion of many

appearances reported by his predecessors, when Mendel crossed plants

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with multiple traits, he could generalize the ratio from his original single-

trait experiments to a comprehensive rule for heredity.

As a result of the modernity of his experiments, Mendel could

come up with new ideas about how heredity worked beneath the surface.

His first idea was: pollen cells and seed cells were constant, not hybrid.

For instance, pollen cells or seed cells could be only violet-red or only

white. When pollen and seed cell were alike, and joined in fertilization,

they formed new seed which sprouted a new plant of the same constant-

breeding type (either A or a), whereas when pollen and seed cell were

different, the resulting seed and plant would be hybrid, containing both

trait versions, even though only one showed (Aa). When such hybrid

plants became mature, the contrasting trait versions separated, and the

hybrid plants produced pollen cells and seed cells that were solely one

version or the other (either A or a), in equal numbers.

This idea, that pollen cells and seed cells were constant, explained

the original 3:1 ratio in the second offspring generation. The hybrids were

all a combined type: Aa, but later, their reproductive cells, the pollen and

seed cells, were either A or a in equal numbers. At reproduction, pollen

cells of type A could fertilize seed cells of type A to produce pure

dominant A plants. Or pollen cells of type A could fertilize seed cells of

type a to produce hybrid Aa plants that appeared dominant. Or pollen cells

of type a could fertilize seed cells of type A to produce hybrid Aa plants

that appeared dominant. Or pollen cells of type a could fertilize seed cells

of type a to produce pure recessive a plants. Mendel illustrated the

possible fertilizations and the resulting ratio:

A A a a

= A + 2Aa + a

A a A a

With equal numbers of both kinds of pollen cells and both kinds of

seed cells, any mating was likely. So the probability was high that many

matings would produce a ratio of dominant to recessive plants of 3: 1 .

This new idea of the constant nature of pollen cells and seed cells

also explained the results of crosses of more than one trait. In such

crosses, the various constant versions of traits combined freely (e.g. seed

color was independent of seed shape, both were independent of flower

color, etc.). So Mendel’s second idea was that when pollen cells or seed

cells were produced within a hybrid plant, the various versions of traits

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combined randomly and equally with one another. For instance, in the

case of a cross between a plant having round yellow seeds and a plant

having wrinkled green seeds, the hybrid first offspring generation (AaBb)

must form equal numbers of reproductive cells with all possible

combinations of versions of the two traits of seed shape and seed color:

AB, Ab, aB, and ab.

To confirm these hypotheses, Mendel returned to his hybrid plants

resulting from round, yellow seeded plants crossed with wrinkled, green

seeded plants. These hybrids must be type AaBb. Mendel crossed the

hybrids with pure dominants or pure recessives. Let’s look at the cross

between hybrids and pure recessives.'^ Mendel now knew that the

recessive plants must have pollen and seed cells of type ab. So when he

crossed the hybrid plants with pure recessive plants, every type of pollen

or seed cell from the hybrids would be combined in equal numbers with

entirely recessive pollen cells or seed cells:

Mendel predicted equal numbers of offspring with each of the four

possible combinations: round/yellow (AaBb), round/green (Aab),

wrinkled/yellow (aBb), and wrinkled/green (ab). Sure enough, the

resulting ratio was 1:1:1:1 for the four appearances. The hypothesis that

the constant versions of traits from a hybrid plant wound up randomly and

equally combined in the hybrid’s reproductive cells was demonstrated.

Performing the same experiment with various other trait combinations

brought the same results.'^

Mendel had proved to his satisfaction two principles. Pollen cells

and seed cells were constant, not hybrid. And, given the range of traits a

plant contained, the trait versions joined freely, randomly, and in equal

numbers in the pollen and seed cells.

He now saw that these two rules pointed to two additional ideas

about heredity. One: pollen and seed plants contributed equally to hybrid

offspring; neither the paternal nor the maternal contribution could be

minimized.'^ Two: within a hybrid plant, the contrasting trait versions

from pollen and seed parents combined in some sort of “compromise”

which allowed only the dominant to show. This compromise was

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temporary, enduring only for the lifetime of the hybrid plant, so that when

the hybrid produced pollen and seed cells, the trait versions separated

again.

GENERAL APPLICATION OF MENDELIAN PRINCIPLES

Now that Mendel was satisfied that all the experimental traits

followed the same rules of probability, he generalized the rules to cover

‘'traits which show less distinctly in the plants, and could therefore not be

included in the individual experiments” (Stem, 1966 [23]). Further, he

could use the mles to explain a variety of phenomena he and others had

encountered.

For instance, after finishing with pea plants, Mendel tried similar

experiments with beans, com, and four o’ clocks. The four o’clock hybrids,

instead of showing a dominant version of flower color, showed an

intermediate version. Crosses between red and white four o’ clocks

produced deep pink hybrids, while crosses between red and yellow ones

produced orange (Showalter 1933). When the deep pink hybrids self-

fertilized, the progeny were red, deep pink, and white in a ratio of 1:2:1.

Mendel saw this was just a new manifestation of the 3:1 ratio (A + 2Aa +

a). Recall that the recessives from this ratio were constant-breeding, and

one-third of the dominants were also constant-breeding, while two-thirds

were hybrids. This was the case here. The red and white plants were

constant (A and a), while the deep pink plants were hybrids (2Aa). So the

inheritance of such intermediate trait versions followed Mendel’s mles.^^

Another problem arose from crossing white-flowered bean plants

with red-flowered ones. The hybrids had red flowers, but the offspring of

the hybrids had red flowers, white flowers, and flowers of many different

reddish shades, seeming to break the 3:1 pattern. Mendel thought the

original red color might have resulted from more than one independent

color, and these independent colors might be inherited as separate traits.

Symbols for dominants could be Ai, A2, A3, etc. (like A, B, C), for

recessives a (or ai, a2, a3, like a, b, c). So if there were, say, two

independent colors, then n = 2, yielding 2^ = 4 different combinations;

three independent colors yields 2^ = 8 different combinations; four yields

2^ = 16 different combinations, etc. Depending on whether the

independent colors mixed in dominant and recessive ways, or whether

hybrids were intermediate, there could be many red shades among the

offspring of hybrids.

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A related matter was the profusion of colors among all cultivated

flowers. Mendel’s contemporaries, including Darwin, explained this by

saying that domestication disrupted a species’ stability. Mendel saw no

reason why such disruption should continue through decades of

domestication: “No one would seriously want to maintain that plant

development in the wild and in garden beds was governed by different

laws” (Stem 1966 [37]). Instead Mendel opined that in gardens, among

many species of flowering plants growing together, accidental

hybridization must be frequent. Offspring of such hybrids might develop

with many versions of a number of independent color traits as with beans.

In support of this, Mendel noted that among the many colors of

ornamental flowers, some were constant-breeding, as expected among

offspring of hybrids.

Mendel then tackled two problems reported by other hybridists.

First, some hybrids resembled the male parent more, some the female.

Second, there often was no resemblance, but a multitude of new

appearances. Mendel solved both problems with his mathematical mles.

The problems came from working with all of a plant’s traits at once.

Suppose seven traits were examined simultaneously, each with a dominant

and recessive version, then 2^ = 128 different appearances that might

result among offspring of hybrids. These offspring being 3:1 dominant to

recessive, if one parent had most of the dominant trait versions, most of

the offspring would resemble that parent. Or if a researcher examined one

hundred offspring, all could show different appearances.

Finally, hybridists mentioned two related problems. One was a

phenomenon they called “reversion,” the return of the offspring of hybrid

plants to one or both parental appearances. The other had to do with

efforts to cause the “transformation” of one species into a second by

hybridizing the two and crossing offspring that most resembled the second

species with members of that species. The number of generations

necessary for this “transformation” varied for different species. Mendel

pointed out that according to his mathematical rules, both problems were

solved by understanding offspring from hybrids. In the case of one trait

with two versions, A or a, the offspring of the hybrids are constant-

breeding dominants, hybrids, and constant-breeding recessives in a lowest

terms ratio of 1:2:1 (A + 2Aa + a). Offspring of the new hybrid plants

designated 2Aa will produce another A + 2Aa + a generation; meanwhile

the constant-breeding A and a will produce more constant A plants and

more constant a plants. To maintain lowest terms ratios, Mendel assumed

a minimum of four offspring from each, and predicted that the total

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offspring would be as follows down to any generation symbolized as the

zth generation.

Number of constant and hybrid types

z 2" - 1 : 2 : 2" - 1

In each generation, constant types become more numerous compared to

hybrids. So there is no “reversion,” but simply an increase in constant

types. Regarding “transformation,” the number of generations of selective

crossing to re-acquire a constant-breeding type matching an original

parent depends on the number of traits. Mendel saw that, “It becomes

obvious that the smaller the number of experimental plants and the larger

the number of differing traits in the two parental species the longer an

experiment of this kind will last...” (Stem 1966 [16])

Notice how easily Mendel could find explanations for these

problems. This was because he was right about how heredity worked! The

explanations flowed from the principles he had discovered. As he said,

“...unity in the plan of development of organic life is beyond doubt”

(Stem 1966 [43])

MENDEL’S TRUE ACCOMPLISHMENTS

Mendel has been called father of modem genetics. This was

untme, and, in fact, impossible. Biologists had to peer through

microscopes at thousands of cells for several more decades, and had to

perform hundreds of controlled crosses, just to begin figuring out the

physical basis of heredity. Furthermore, not knowing the physical basis of

heredity, Mendel surmised that hybrid plants were somehow different

from constant-breeding plants, whereas research eventually showed that

inheritance works the same way in both.

Unfortunately, over-crediting a great historical scientist can rob

him of the distinction he deserves (Gould 1987). At the time of Mendel’s

experiments with peas, little was understood about cells. When Mendel

spoke of pollen cells or seed cells, we really don’t know what he had in

mind. Yet without knowledge of the true nature of cells, or of how their

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internal parts interact in heredity', reproduction, and grow'th, Mendel

deduced his four principles: both parents contribute equally to offspring,

differing parental trait versions cooperate in hybrid offspring, combined

trait versions in hybrids separate to form constant reproductive cells, and

the separated trait versions enter reproductive cells in all possible

combinations.

All Mendel’s principles turned out to be true! And all turned out to

be central to heredity! So we now say “Mendelian heredity,” meaning the

basics of heredity. Mendel didn’t need to come up with genes to be

brilliant. He used algebra, probability, and clear thinking to figure out the

results of gamete formation and fertilization without knowing the actual

cell structures and molecules involved. He accomplished what he had set

out to do: to obseiA-e the traits of parents, of their hybrid offspring, and of

the offspring of those hybrids, ‘‘to deduce the law according to which

(traits) appear in successive generations” (Stem, 1966 [5]).

DISAPPOINTMENT AND SUCCESS

Perhaps the remarkable modernity of Mendel’s work was

responsible for the absence of contemporary notice of his research.

Mendel was a founding member of the Briinn Society for the Study of

Natural Science. In 1865, at the Society’s Febmary and March meetings,

he delivered a lecture describing his pea experiments. The lecture was

published in Volume IV of the Society’s Proceedings in 1866 (Mendel

1866). Yet there were no questions or discussion after his lecture, no

notice after the publication, though the Society’s Proceedings were

circulated to similar societies all over Europe, and to universities in

Vienna, Berlin, London, St. Petersburg, Rome, Uppsala, etc.

Mendel then began a correspondence with Carl von Naegeli, a

Munich professor and highly respected hybridizer of the time. Mendel sent

Naegeli a copy of his paper and told Naegeli of the additional experiments

with beans, com, and four o’clocks showing the same results as peas. We

don’t know why Mendel chose Naegeli, but Naegeli was known for

mathematical work, so perhaps Mendel felt some kinship, particularly

since other colleagues showed so little interest in his lecture. Also, Mendel

wanted to experiment with hawkweed, and Naegeli had worked on this

plant genus. In any case, both Naegeli and hawkweed proved to be

unfortunate choices. Naegeli ’s response was self-important and dismissive

even as he asked Mendel for pea seeds and sent Mendel various

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hawkweed species to work on. Maybe Naegeli didn’t pay close attention

to Mendel’s article. Or maybe he was so unable to change his beliefs, he

doubted Mendel’s discoveries (Naegeli’s notes indicate he didn’t believe

that constant-breeding offspring could result from hybrids) (Roberts,

1965). Or maybe (my favorite hypothesis), recognizing the genius of

Mendel’s work, Naegeli was too jealous to accept it.^^ Aside from

Naegeli’s disdain, Mendel’s work with hawkweed was doomed. Neither

Mendel nor Naegeli realized that most hawkweed species reproduce

differently from other plants and from each other. It was impossible to

obtain corroboration of the pea results from hawkweeds.

So that was that. Some of the most important research ever done

on heredity seemed to die aborning.

Several writers have tried to figure out why Mendel’s

contemporaries paid so little attention to his work. Some attribute this to

the sensation Darwin’s The Origin of Species caused at the same historical

moment. Everyone was talking about natural selection and evolution, so

who cared about another hybridization project, even if it was unique

(Bateson 1913 and litis 1932). In fact, except for Darwin himself, not even

hybridizers realized their work hinged on heredity (Roberts 1965). Others

attribute the inattention to the anachronistic nature of Mendel’s work. Few

biologists of the mid- 1800’s dreamed of controlled, mathematical

experiments like Mendel’s. No one appreciated his tremendous

improvement in biological experimentation. No one could follow his

algebraic reasoning. No one fathomed that he had discovered the very

foundations of heredity (Sturtevant 1965).

Long after Mendel’s work was rediscovered and celebrated, it

received another insult. In 1936 Ronald Aylmer Fisher, one of the fathers

of modem statistics, found bias in Mendel’s data (Fisher, 1936). Since

then the statistical argument over Mendel has ebbed and flowed right up to

the present (Fairbanks, 2001; Monaghan, 1985; Sturtevant, 1965).

Everyone in this controversy, including Fisher, agrees that Mendel was

innocent. No one reading Mendel’s paper can doubt his sincerity.

Suggestions about the “bias” have been: (1) workers counting plants knew

the ratios Mendel expected and leaned toward them, (2) accuracy is

impossible with such mind-numbing counts, (3) no bias occurred, and (4)

Mendel selected the “best” data for his lecture, leaving behind the rest,

now lost.

Personally, I favor the last. Consider the contemporary reception.

Mendel’s 1865 lecture was probably not his first exposure to

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uncomprehending reactions. He was collegial and surely discussed his

experiments with compatriots. What if their eyes glazed over? What if

they nodded politely, but Mendel could see their boredom and inability to

grasp his message? He might have simplified his lecture in an effort to

make clear his heartfelt, eight-year labor of love. He may well have

presented only his most illustrative data.

After Mendel became head of the Abbey, he gradually dropped his

experiments, though not the meteorological tasks. In the last decade of his

life his health was poor and he embroiled himself in a seemingly hopeless

tax dispute with the state. His final years were gloomy and embittered.

After his death, the tax dispute went his way. And of course, much later,

the work closest to his heart turned out to be a huge triumph. One can only

hope he’s out there somewhere enjoying the fuss we make about him.

Then his poem about Gutenberg could easily be about Mendel himself:

The supreme ecstasy of earthly joy.

The highest goal of earthly ecstasy.

That of seeing, when I arise from the tomb.

My art thriving peacefully

Among those who are to come after me.

BIBLIOGRAPHY

Allen, David Elliston. (1976) 1994. The naturalist in Britain. 2nd ed. Princeton, New

Jersey: Princeton University Press.

Bateson, William. 1913. Mendel's principles of heredity. New York: Cambridge

University Press, and Putnam.

Boyer, John. 2007. Dean of the College, and Martin A. Ryerson Distinguished Service

Professor, Department of History and the College, The University of Chicago.

(Telephone conversation with the author, March 29.)

Bradbury, Savile. 1967. The evolution of the microscope. Oxford: Pergamon Press.

Daintith, John, and Gjertsen, Derek, eds. 1999. A dictionary of scientists. Oxford:

Oxford University Press.

Diamond, Jared. 1997. Guns, germs, and steel. New York: W. W. Norton.

Fairbanks, Daniel J. and Bryce Rytting. 2001. Mendelian controversies: a botanical and

historical review. Invited special paper. Am. Jrn. Bot. 88(5): 737-752.

Farley, John. 1982. Gametes & spores. Baltimore: The Johns Hopkins University Press.

Fisher, Ronald A. 1936. Has Mendel’s work been rediscovered? Ann. ofSci. 1(2): 1 15-

136.

Gould, Stephen Jay. 1987. Time ’s arrow, time 's cycle: myth and metaphor in the

discovery of geological time. Cambridge, Mass.: Harvard University Press.

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litis. Hugo. (1924) 1932. Life of Mendel. English translation. New York: Hafner.

(Except where otherwise noted. litis is the source of biographical material about

Mendel.)

McLoughlin. John C. 1983. The canine clan, a new look at man's best friend. New

York: Viking.

Mawer. Simon. 2006. Gregor Mendel: planting the seeds of genetics. New York:

Abrams (in association with The Field Museum. Chicago).

Mendel. Gregor. 1866. Versnche iiber Pflanzenhybriden. Verhandlungen des

naturforschenden Vereines in Brunn 4(1865):3-47.

Monaghan. Floyd, and Alain Corcos. 1985. Chi-square and Mendel’s experiments:

wJiere’s the bias? Jm. Hered. 76:307-309.

Roberts, H. F. (1929) 1965. Plant hybridization before Mendel. Facsimile edition. New

York: Haftier Publishing Company.

Rudy, Willis. 1984. The universities of Europe, 1100-1914. Rutherford. (NJ): Fairleigh

Dickinson University Press.

Salburg, David. 2001. The lady' tasting tea. New York: A W. H. Freeman Owl Book.

Henrv' Holt and Company.

Showalter, Hiram M. 1934. Self flower-color inheritance and mutation in mirabilis

jalapal. Genetics 19: 568-580.

Stem. Curt and Eva R. Sherwood, ed. 1966. The origin of genetics: a Mendel source

book. San Francisco: W.H. Freeman and Co. (Unless otherwise noted, this is the

source of the English translation of Mendel’s article describing his pea experiments.)

Sturtevant. Alfred H. 1965. A history' of genetics. New York: Harper and Row.

NOTES

1. An example is Bateson (1913). In translating Mendel’s writing, Bateson used terms

many decades more recent, contemporaiy' to Bateson but not to Mendel. Examples

are “statistical” instead of “numerical” for numerisch, and “egg cell” instead of “seed

cell” or “germ cell” for Keimzelle. (According to the Oxford English Dictionary,

“statistical” was not used in English to pertain to science until Bateson’s time.) In the

20^^ centuiy^ Mendel’s original word Factor, translated “factor,” meaning a general

cause, came to mean a specific chromosomal cause of a trait and eventually became

“gene.” People unfamiliar with this word history naturally thought Mendel knew all

about genes.

2. See Allen. 1976, for numerous examples of women fostering nature study.

3. litis, 1932 [36-37]: Here is the second poem:

You letters, you types, fruit of my research.

Y ou are the rock foundation

On which I shall establish and upbuild

My temple for all time.

As the master willed, you shall dispel

The gloomy power of superstition

WTiich now oppresses the world.

The works of the greatest men.

Which now, of use only to the few,

Crumble away into nothingness.

You will keep in the light and will preserv e.

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For in many a head still wrapped

In slumber, your strength will foster

The great, the clear, powers of the mind.

To create a new, a better life.

May the might of destiny grant me

The supreme ecstasy of earthly joy.

The highest goal of earthly ecstasy.

That of seeing, when I arise from the tomb.

My art thriving peacefully

Among those who are to come after me. (litis, 1932)

4. In flowering plants, each pollen grain contains two nuclei, roughly equivalent to

animal sperm. These two nuclei descend the pollen tube and enter an ovule

containing egg cells. One sperm nucleus fertilizes one egg cell to form a zygote

which develops into an embryo plant. The second sperm nucleus joins two other egg

cells in a triple fertilization which develops into the endosperm, a packet of stored

food beneath the seed coat, enclosing the embryo and furnishing nourishment for the

infant plant at germination until it can photosynthesize for itself

5. Mendel noted principally the seed coat colors. One was dark or spotted and associated

with reddish plant parts, including flowers. The contrasting seed coat was clear and

associated with white flowers. For simplicity, or to appeal to students, biology texts

refer to the flower colors when discussing Mendel.

6. Pasteur’s mid-nineteenth century experiments were modem, and were noticed and

copied. Exactly opposite to Mendel, Pasteur had a flashy personality and a gift for

becoming essential to economic interests (vintners, textile producers, etc.)

7. None of Mendel’s ratios were exactly 3:1. Instead, in a group of 929 plants, 705 were

violet-red and 224 white, giving a lowest terms ratio of about 3.15:1. Other groups’

lowest terms ratios were 2.96:1, 3.01:1, 2.95:1, 2.82:1, 3.14:1, 2.84:1, etc. Expecting

nature’s chance deviations, Mendel rounded to the whole number ratio all

approximated: 3:1

8. As with the 3: 1 ratios, A + 2Aa + a, is a lowest terms, whole number ratio.

9. The “combination” is a multiplication: (A + 2Aa a)(B - 2Bb -- b) = AB - 2AaB -

aB * 2ABb - 4AaBb - 2aBb - Ab ^ 2Aab ~ ab. The answer to the

multiplication contains nine different constant and hybrid types. Mendel saw that if n

= the number of traits in the cross (here n = 2, seed color and seed shape), the total

number of constant and hybrid types in the generation of offspring resulting from

self-fertilization of the hybrids is 3". Furthermore, in the lowest terms ratio of

individual plants, the total number of individual plants is sixteen, or 4". And the total

number of different appearances is four, or 2".

10. Statistics deals with mles of chance, and the veracity of conclusions from modem

scientific experiments is judged by these mles of probability. In lay terms, “chance”

and “probability” mean something unpredictable. But in science, with large samples,

“chance” or “probability” can verify results. For instance, if your friend flipped a

coin three times and you chose tails, and the flip came up heads all three times,

you’d figure those are the breaks. But in a similar situation, if the coin got flipped

3000 times and came up heads each time, you would suspect the coin was loaded,

because we can depend on the probability’ that 3000 flips will come up heads roughly

half the time. Mendel understood this long before most biologists and based his

experiments and his generalizations on laws of probability.

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1 1. Again the “combination” is a multiplication: (A + 2Aa + a)(B + 2Bb + b)(C + 2Cc +

c) = ABC + 2AaBC + aBC + 2ABbC + 4AaBbC + 2aBbC + AbC + 2AabC +

abC + 2ABCc + 4AaBCc + 2aBCc + 4ABbCc + SAaBbCc + 4aBbCc + 2AbCc

^ 4AabCc + 2abCc + ABc + 2AaBc + aBc + 2ABbc + 4AaBbc + 2aBbc + Abe

+ 2Aabc + abc. Now with a cross of three traits, the same generalization applies.

Among the generation of offspring resulting from self-fertilization of the hybrids, if

n = the number of traits, in this case three, then 3" = 27, the total number of constant

and hybrid types; 4" = 64, the number of individuals; and 2" = 8, the number of

different appearances.

12. Mendel was fortunate in his experiments to have chosen constant-breeding traits that

did vary freely. Around the turn of the century geneticists realized this is not always

so. Traits resulting from genes on separate chromosomes vary freely; traits resulting

from genes on the same chromosome do not.

13. In the crosses of hybrids (AaBb) with pure dominants (AB), the first offspring

generation should have appeared entirely dominant, the actual types being AB, ABb,

AaB, and AaBb. These types could be demonstrated by allowing the offspring to

self-fertilize.

14. Thus, if a trihybrid plant were AaBbCc, its pollen cells and seed cells could be ABC,

AbC, aBC, abC, ABc, Abc, aBc, or abc. Or if tetrahybrid plant were AaBbCcDd,

its pollen and seed cells could be ABCD, AbCD, aBCD, abCD, ABcD, AbcD,

aBcD, abcD, ABCd, AbCd, aBCd, abCd, ABcd, Abed, aBcd, or abed, etc. If such

pollen and seed cells were crossed with an all recessive plant, each of the different

types of pollen or seed cells would be equally likely to combine with an all recessive

type: abc, or abed; so that with numerous matings, we could expect equal numbers

of all possible kinds of offspring.

15. Notice that this conclusion differs from those hybridists who noticed that both

maternal and paternal characteristics appeared in offspring. Mendel had numerical

data establishing identical ratios of characteristics from either parent.

1 6. Mendel implies this by planning to use the alternative hybrid colors to test whether

more than one pollen grain can fertilize the same seed plant. Whether he performed

this experiment is unknown.

17. Naegeli’s students reported that Naegeli never credited other researchers for what he

had learned from their work. Instead he said, “Tn my opinion.. .to display the

connection between things....’” (litis, 1932 [184])

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THE GALAXY NO ONE WANTED TO SEE

Gene G. Byrd and Sethanne Howard

University of Alabama, USNO (retired),

ABSTRACT

NGC 4622 is an intriguing galaxy. Byrd, Buta, and Freeman (2003)

found that its strong lop-sided pair of outer arms is leading in the

clockwise rotating disk. It has a weak single inner trailing arm that

nonetheless lasts through 520®. This runs counter to accepted theory

which assumes that all spirals have outer trailing arms. This galaxy is a

problem calling out for an explanation. The VBl (Visual/Blue/Infrared)

data provide an independent determination that the inner single arm

trails and that the outer pair leads. Fourier decomposition confirms the

result.

INTRODUCTION

Spiral galaxies are quite common in the Universe. They appear to

be disks in space, often described as having a fried egg shape. When seen

from the side, they are remarkably thin compared to their extent by a

factor of at least one to fifty; i.e., the diameter of the disk is more than

fifty times the thickness of the disk. They also tend to be flat, occasionally

(rarely) tilting up and down at the edges like the brim of a fedora hat. Most

have a bulge at the center (the yolk of the egg). Although they are disk like

in appearance they are not plain; they have a wide variety of internal

structure and form some of the most striking objects in the sky. Described

as spiral arms, these structures can be as simple as a pair of beautiful spiral

arms (e.g., M51, Figure 1) or as complex as a multi-armed galaxy {e.g.,

M99, Figure 1). They can have two, three, four, or multi-arms; they can be

flocculent in nature. Some spiral galaxies have a bar shape that stretches

across the middle.

Although, these galaxies, when viewed from the side, appear very

thin; most of them probably have a more spherical ‘halo’ of “dark matter”

surrounding the disk. This halo is said to be dark matter because it emits

no light but exerts a gravitational force like ordinary matter. Computer

simulations support this theory because a perturbed rotating stellar disk

without a stabilizing halo of some mass will fragment or become chaotic.

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Figure 1 - M51 (left) and M99 (right)

The winding of spiral arms is an important dynamical and

kinematic feature of any spiral galaxy. Whether they trail or lead the

direction of rotation of the disk has been of interest since spirals were first

noticed. Figure 2 is a schematic of CW rotating disks with trailing and

with leading arms. Trailing is defined as winding outward opposite the

sense of disk orbital motion; leading is winding outward in the same sense

as the disk orbital motion.

Figure 2

leading

Historically, astronomers took both viewpoints.

Based on theoretical studies B. Lindblad (1941)

said spiral arms led. E. Hubble (1943) said they

trailed. Based on kinematic studies where one

can unambiguously distinguish the near side of

the disk, G. de Vaucouleurs (1958) determined

that they trailed. He used an asymmetry in the

dust distribution to determine which side of the

minor axis is the near side. The dust asymmetry

is caused by the fact that in an inclined galaxy,

dust in the near side is silhouetted against the

background starlight of the bulge and disk. This

determination combined with the arm winding

sense outward CW or CCW on the sky plus

Doppler shift observations permitted verification

that the arms trail. In galaxies with significant

nearly spherical bulge components, this effect

can be seen even if the galaxy is more nearly face-on. In their discussion

of density wave theory, Binney and Tremaine (1987) argue that leading

arms are not likely to be seen because they would quickly unwind and

become trailing arms.

trailing

Theoretical studies indicate that some tidal encounters (where a

companion galaxy passes nearby the primary) can generate a leading arm.

Computer simulations support the theory by showing that retrograde

encounters in the presence of a large halo-to-disk mass ratio can produce a

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leading arm. Yet, although leading arms do have a theoretical basis, the

general consensus still has been that spiral arms trail.

INITIAL WORK ON NGC 4622

NGC 4622 is a spiral galaxy which at first glance appears to have a

deceptively normal appearance. Figure 3 shows a Hubble Space Telescope

photo of it. However, in a blue sensitive, ground based image of NGC

4622, Byrd, et al (1989) pointed out that in addition to the pair of strong,

lopsided outer arms winding outward CW, NGC 4622 has a weaker, single

inner arm winding outward CCW inside a ring. In other words, NGC4622

has two nested oppositely winding spiral arms. Thus either the inner single

arm or the outer pair of arms of NGC4622 must be leading.

Figure 3 - NGC 4622

NGC 4622 is a southern, ringed spiral galaxy in the Centaurus

cluster putting it about 40 Mpc (Mega-parsecs) or 130 million light years

away. As said before, it has two strong CW outer arms wrapping around a

large bulge along with the inner single CCW arm. As is typical of such

galaxies, the bulge contributes about half of the light. The galaxy is almost

Summer 2007

36

face-on with an inclination (tilt from face-on) of about 19® (see Buta,

Byrd, and Freeman 2003). Even though it does have this unusual arm

pattern, NGC 4622 is not unique. There are at least three other galaxies

that show features in common with NGC 4622 ’s spiral pattern; e.g., the

Blackeye Galaxy (NGC 4826), ESO 297-27, and NGC 3124.

NGC 4622 provides one of the most convincing cases of a rare

leading spiral arm in any galaxy. Using multi-band ground-based surface

photometry, Buta, Crocker, and Byrd (1992) showed that the single inner

arm is a stellar dynamical feature, not the result of a chance dust

distribution of young stars or gas. Their ground based photos verified the

existence of the inner arm in the stellar disk. So, either the outer arms lead

and the inner arm trails, or the outer arms trail and the inner arm leads.

Accepting the general consensus that pairs of arms trail Byrd,

Freeman, and Howard (1993) provided an «-body simulation which

produced a single leading inner arm and two outer trailing arms. To

reproduce the NGC 4622 structure they included a massive halo (eight

times the mass of the disk) and a plunging retrograde encounter of a small

(1/100 the mass of the disk) perturber. This produced both a single inner

and outer pair of arms. In their simulations, they found that a retrograde

encounter with a massive perturber cannot form both trailing and leading

arms in one galaxy. It only takes a small companion to produce the global

structure.

VERIFYING WORK ON NGC 4622

As a result of the initial discovery in a blue-light ground-based

photograph, the ground-based image of the stellar disk, and the

simulations, the situation with NGC 4622 was thought to be settled. To

double check the conclusions, Buta, Byrd, and Freeman (2003) obtained a

set of four new observations: Hubble Space Telescope images in four

colors; a Cerro Tololo Inter- American Observatory (CTIO) Fabry-Perot

Ha velocity field; CTIO three color images; and Parkes 64m 21 -cm radio

data. Analysis of the velocity field showed that the kinematic line of nodes

of the disk is in position angle +22®.

These new verifying observations provide convincing arguments

that the two clockwise outer arms lead the CW rotating disk instead of

trail. This means, therefore, that the inner arm trails. To show this, Buta,

Byrd, and Freeman (2003) used an extension of the method that de

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Vaucouleurs used. De Vaucouleurs used Doppler shifts to determine

which half of the major axis of a galaxy is receding from us relative to its

center, and then used an asymmetry in the observed dust distribution to

determine which side of the minor axis is the near side. The dust

asymmetry he used is not intrinsic but is caused by the fact that, in an

inclined galaxy, dust in the near side is silhouetted against the background

starlight of the bulge and disk. In galaxies with significant nearly spherical

bulge components this effect can be seen even if the inclination is less

than 45°. See Figure 4 for a schematic of the approach.

What this means is the following. Figure 5 shows a high contrast

image of NGC 4622 with the kinematic line of nodes shown as the white

line. The image is processed such that the redder the object is the whiter

its image is. The bluer the object is the darker the image is. East is to the

upper left and north is to the upper right. The field is 1.47' square. One can

see that eastward (left) of the axis there are thin white strips indicating

dust clouds. Westward of the axis any clouds are much less visible.

This means that the east side of the galaxy is nearer to the observer

than the west side. Once we know which side is nearer then we use

velocity measurements to show which way the galaxy is rotating. Figure 6

shows a grayscale version of the velocity map of this galaxy. It is not very

clear in the grayscale version (galaxy velocity maps are most useful when

presented in color); however, there is a well defined line of nodes, marked

in black with the upper (north) side moving away from us relative to the

disk center and the lower (south) coming toward us. On the left and right

of the line of nodes there is no toward or away motion relative to the

center. Figure 7 is a diagram combining the arm winding on the sky, the

line of nodes, the motions toward and away, and finally the way the disk

must turn on the sky. The galaxy turns CW on the sky.

Once we know that the disk is turning CW on the sky, and we

know that the outer pair of arms is unwinding CW, then we know that the

outer pair of arms leadsl This means that the inner single arm trails.

This result is unpopular because it runs counter to accepted dogma

that all spirals have outer trailing arms. The most common comment is ‘T

can’t see the inner arm”. One straightforward way to address this

particular issue uses Fourier analysis.

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Figure 5 -high contrast image of NGC 4622. Line of nodes is marked in

white. The part to the left of the line turns out to be the nearer side.

Toward

Figure 6 - velocity map of NGC 4622

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Which arms lead or trail?

Two arms wind out

in direction of

orbital motion

i.e they lead^^

-■k/i

Orbital

Motion

M ^ Single arm

winds out

opposite orbit

motion i.e. it trails.

Figure 7 — diagram of data from photo, dust silhouettes, and Doppler shifts

and resulting arm senses.

Washington Academy of Sciences

Figure 8 - Fourier decomposition of the I band image of NGC 4622. This

is the stellar background light distribution. Top left: sum o^m = 0-6 terms.

Top right: w = 0 image. Bottom left: m = 1 image. Bottom right: m = 2

image. North is to the upper right, east to the upper left. Each frame covers

a field of 1.50' x 1.43'.

ANSWERING THE COMMON QUESTION

Figure 8 shows the Fourier decomposition of the infrared image of

NGC 4622 - this wavelength region reveals the stellar background light

distribution. The m = 0 image shows the distribution for the underlying

exponential disk. Stellar light typically follows an exponential distribution

in a disk. The m = 1 image maps the single arm (one-fold symmetry). The

m = 2 image maps the outer pair of arms (two-fold symmetry). Note that

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the /77 = 1 arm wraps around 540°. The inner arm is a clear component of

the NGC 4622 structure.

CONCLUSION

So the galaxy that no one wants to see is clearly there with its

unusual structure defying the accepted idea that all spirals have outer

trailing arms. Byrd. Howard. Buta. and Freeman continue their work on

this intriguing spiral investigating other methods to support their

conclusion that the outer arms lead. Regardless, it is an unpopular idea.

When this initial result was presented at a recent professional conference

one of the attendees said “You are the backward astronomers who found a

backward galaxy”. Backward or not, NGC 4622 is clearly worth more

study.

REFERENCES

Binney, J. and Tremaine, S. 1987, Galactic Dy namics, Princeton, Princeton Univ. Press

Buta. R., Crocker. D., and Byrd. G. G. 1992, 103, 1526

Buta. R., B\Td. G. G., and Freeman. T. 2003, AJ, 125, 634

Byrd. G. G. et al. 1989, Celestial Mech., 45, 31

Byrd. G. G., Freeman, T., and Floward. S. 1993, AJ, 105, 477

de Vaucouleurs, G. \95S,ApJ, 127, 487

Hubble, E. 1943, ApJ, 91, 112

Lindblad. B. 1941, Stockholms obser\atoriums annaler, bd. 13, no 10, Stockholm

Almqvist & Wiksell. 3

Washington Academy of Sciences

43

Clouds of Moon Dust to Shade the Greenhouse

Curtis Struck

Dept, of Physics and Astronomy

Iowa State University

Abstract

The scientific evidence for global wanning caused by anthropogenic

greenhouse gas emissions has become strong and clear. Steps towards

mitigation by the international community appear to be tentative,

increasing the possibilities of catastrophic consequences. Temporary

relief from global warming might be achieved with the aid of some

astronomical shade. Various possibilities are considered here, in

particular the idea of shading by placing large amounts of dust at stable

locations on the Moon’s orbit is considered in more detail. Although

this would literally be a massive undertaking, it has several intrinsic

advantages for providing decades of temperature reduction, until

greenhouse gas inputs can be reduced.

Introduction

The start of this year brings a new report from the

Intergovernmental Panel on Climate Change, which pronounces the

evidence for global warming ‘‘unequivocal” and the likelihood that

anthropogenic sources are responsible “very likely.” As detailed in a

summary in Science [1] there is increasingly strong evidence against the

points raised by “climate contrarians.” There is now broad acceptance of

these points by scientists and, to judge by press reports, increasing

acceptance by the public.

While this represents important progress, recognition of the disease

is still a long way from a cure. Most discussions and work at present

center on developing new technologies for sustainable energy sources and

atmospheric and climate amelioration [2]. We would seem to be decades

away from putting these technologies into service and benefiting from

their service. Moreover, we can expect those technologies to be used first

in the developed world and, perhaps, to be partially offset by

industrialization in developing economies. One is left to wonder if

significant reductions of anthropogenic greenhouse gas emissions are

possible before human populations peak and begin to decline, which is not

likely until the middle of the present century [3].

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Nonetheless, in the long run, new, sustainable energy technologies

must be the solution, with help from eventual population reduction. In the

meantime, is this destined to be the century of climate misery?

To avoid that fate, increasing attention has been given to the

possibility of making planetary scale changes to ease the greenhouse

heating. The most widely discussed of these is pumping material (e.g.,

sulfates) into the atmosphere to enhance cloud formation, since clouds can

reflect much incoming solar radiation back out into space [4]. This might

well be preferable to some of the consequences of increasing global

warming, though we might have to sacrifice some blue skies.

Another possibility that has been considered is constructing large

reflectors or light diffusers at some point between the Earth and the Sun

(see e.g., [5]). The idea of a diffuser is probably more attractive than

global cloud seeding, because, while a reduction of the incoming solar

flux by a few percent would hardly be noticeable on the ground, it would

yield a very important global warming reduction. In fact, a decrease of

about 0.1% would be enough to negate the current extra heating due to

increased greenhouse gases in the atmosphere (see discussion in [6] for

more details).

Moreover, nature has provided an especially good location for such

a diffuser. This is the so-called first Lagrange point (or LI) between the

Earth and the Sun. This is a balance point, where the sum of gravitational

and centrifugal forces on the Earth in its orbit around the Sun is zero. In

the absence of these primary forces there are still some small secondary

ones, but the bottom line is that very little energy or rocket fuel would be

required to keep the diffuser at this point. Since LI always lies between

the Earth and the Sun a diffuser located there would orbit with the Earth

around the Sun and always be on the job.

A Little Celestial Mechanics

A beautiful result of classical mechanics is that any two massive

bodies, which have small sizes relative to their separation and are in orbits

bound by their mutual gravity, have five Lagrange points, L1-L5,

accompanying them (see Figure 1 below). Like LI all of these Lagrange

points orbit with the two bodies, so their relative positions remain

unchanged. And, like LI, the combined gravitational and centrifugal

forces cancel. Thus, a particle with negligible mass compared to the

primary bodies placed at any of these points, with the appropriate orbital

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velocity, could stay there indefinitely. The introduction of this third,

“massless” particle explains why this is called the “restricted three-body”

problem. Three of the Lagrange points are located on the line connecting

the two primary bodies: LI is between the two primaries and L2 and L3

are located on the other side of each primary. It is intuitively obvious that

there should be a balance point like LI. It takes a bit more thought to

accept the notion that while a particle at L2 or L3 would be pulled in the

same direction by the gravity of both primaries, centrifugal force can

balance that, and at some specific distance the period of the resulting orbit

is the same as that of the primaries. The full story is more complicated, but

we do not need to go into the details.

Figure 1 L1-L5 for the Earth-Sun system

What about the other two Lagrange points? If we take the line

segment connecting the two primary bodies as the base of two equilateral

triangles, one on each side of the segment, then L4 and L5 are the

remaining vertices of the triangles. Stated another way, as seen from one

of the primaries, the L4 and L5 points always orbit 60° ahead and behind

the other primary and are at the same distance.

These latter two Lagrange points differ from the first three in

another important respect. While a small particle placed on any Lagrange

point with the appropriate velocity will stay on that point, if the placement

is a little bit off any of the first three Lagrange points, the particle will drift

away from those points. The technical term for these points is “unstable

equilibria.” We can view the situation as like a ball placed near the top of

a dome. It may balance there, but if slightly displaced, it will roll off.

Points L4 and L5 are stable equilibrium. Particles placed very near them

will orbit around the Lagrange points (and with these points around the

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46

center of the system). They don’t “roll” far away. More precisely, there

are finite sized regions around L4 and L5 where this is the case. Outside of

these basins particles will roll away.

The Sun, Earth, and Moon make up an approximate, “hierarchical”

three-body system. The term hierarchical means that, at least

approximately, we can treat the bodies in this system two at a time.

Specifically, because the distance between the Earth and the Moon is

much smaller than the distance to the Sun, we can approximate the Earth-

Moon orbit as independent of the Sun. Then the Earth-Moon system can

be viewed as one object orbiting the Sun. In this approximation we have

two sets of Lagrange points, one in the Earth-Moon system and one in the

Earth(+Moon)-Sun system. It was the LI point in the latter system that we

talked about as an ideal location for a diffuser. Would any other Lagrange

points be useful in a similar way?

Since none of the other Lagrange points of the Earth-Sun system

lies between the two bodies, the answer is no for them. On the other hand,

all the Lagrange points in the Earth-Moon system can pass between the

Earth and the Sun at some time, though two of them can only do so during

a solar eclipse, so a shade or diffuser at those locations would serve little

purpose. The remaining three points have a different disadvantage. They

are much closer to Earth than the Earth-Sun LI point, so to block the cone

of light stretching from the disk of the Sun to the disk of the Earth a shade

would have to be nearly the size of the Earth. It was bad enough at the

Earth-Sun LI point where the size of the shade would have to be of order

1000 km; this is much worse.

And there’s more bad news. These remaining three Lagrange

points, one on the opposite side of the Earth from the Moon and the

triangular L4, L5 points, are on the lunar orbit relative to the Earth. This

orbit is tilted 5° from the Earth’s orbit around the Sun. Thus, a shade at

any of these points, with an angular size equal to the Sun’s 0.5° as seen

from the Earth, would usually not block the Sun, because it would be more

than 0.5° out of the Earth’s orbital plane. It would only block the Sun

during the appropriate eclipse seasons.

It appears that the answer to the question above is no, no other

Lagrange point will be useful unless we could make a very large shield or

diffuser. However, maybe we shouldn’t give up too quickly. The regions

of stability around the L4, L5 points can be quite large. This opens the

possibility that, instead of constructing a solid shade there, we could have

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a large number of smaller particles orbiting the L4, L5 points and blocking

or scattering solar radiation. But what sort of particles?

Dust Clouds

Since a huge mass of material would still be required, the answer is

that the particles should be small and easy to produce or obtain. Small

rocky particles or dust grains would seem to fit the bill nicely. I explored

this idea in a recent journal article [6], which I will refer to as Paper 1. The

purpose of the present article is to try to explain the results of the earlier

paper to a wider audience and outline some extensions of that work.

One of the estimates of Paper 1 was that the mass of dust grains

needed to fill a cloud of constant density, of radius 5°, and which cuts off

more than 50% of the sunlight trying to pass through it even near the

edges is of the colossal order of 10^"^ kg. Such a cloud would be big

enough to partially block the Sun for at least several hours every lunar

month of 29 days, or twice a month for clouds at both L4 and L5.

In the eclipse seasons when the Sun passed behind the center of the

cloud, with much more material along that path than along a path near the

edge, the obscuration would be nearly total (see Figure 2). This would

seem to be overkill, with more net shading than the few percent needed

(when averaged over both shaded and not shaded times). Moreover, given

the huge mass of material required for a spherical cloud, it would seem

that a relatively thin dust disk would be better. This would reduce the

amount of material needed by at least a factor of a few.

Sun Moon Earth

Figure 2. Schematic, not to scale, of the Sun, Earth, and Moon in eclipse alignment.

The dotted circle represents the Moon, and the dotted lines illustrate the umbral

eclipse shadow, which subtends a very small area on the Earth’s surface. The solid

circle at the Moon’s position represents a ‘moon cloud’ with a diameter more than

twice that of the Moon. In this case, the area of the Moon’s shadow encompasses the

Earth, in part because the length of the shadow triangle is so much larger.

Even with that improvement, we are still left with a couple of very

big questions. The first is where do we get that mass of dust? The second

Summer 2007

48

is could we really keep the dust grains in stable orbits with the desired

configuration? There are several possible answers to the first question.

However, the scope of the engineering involved in those ‘answers’ is

beyond the scope of my work, or any other work to date, so I will be brief

and general in describing them. With the results of Paper 1 I can describe

the answer to the second question about orbits in more detail.

COMETS OR MOON DUST?

There are a few reservoirs in the astronomical neighborhood with

enough dusty material to supply these clouds: the Moon and near-Earth

orbiting comets or asteroids. With regard to the latter, the amount of dust

needed is roughly comparable to that contained in large comets or

asteroids. That said, the next question is how to get it to the desired

location? In fact, a good deal of study in recent years has centered on the

question of how to keep comets and asteroids that intersect the Earth’s

orbit (near Earth orbiting [NEO] objects) well away from any location

near the Earth. Nonetheless, many of the ideas explored for diverting such

objects are also relevant to capturing and relocating them. Of course, all of

these ideas are untested, certainly on any large scale. However, one of

them seems especially appropriate for present purposes.

This is what might be called a solar system tractor, or a telescope

tractor, and has been studied by Melosh et al [7]. The idea is to construct a

very large mirror (tens to hundreds of kilometers in size) to collect and

focus sunlight onto a part of the object. The intensity of the solar radiation

would be so great that a very high temperature would be created at the

focus, and material at that point vaporized and ablated off the surface. As

the ablated material expands, almost explosively, away from that point it

functions like a jet or rocket engine, slightly modifying the orbit of the

object. Similar natural jets modify a comet’s orbit when it comes near the

Sun. Of course, for present purposes we need much more than slight

orbital modifications and larger modifications would be very hard to

achieve with the size of objects we want to move. Even to achieve the

slight orbital modifications, the huge mirrors that are needed would have

to be very thin, yet sufficiently rigid (and probably segmented), to be

within the scope of our space transport technology (see ref. [7]).

A possible solution to this problem is to use the tractor mirrors to

slice a large comet into smaller pieces, or to use small comets, so that the

tractor would be able to capture and transport the pieces to the Earth-

Washington Academy of Sciences

49

Moon system. If this could be done, it might make sense to take it a few

steps further by parking these pieces at some distance from the system (but

still orbiting it), and cut them into still smaller pieces for transport to L4,

L5. The idea here is to allow no piece of potentially dangerous size to be

transported near or within the lunar orbit (see Paper 1).

Nonetheless, space transport on this scale, though theoretically

possible, seems rather fantastic. Even if the technology of each part is

feasible, the overall complexity is enormous, and the price would be as

well. The Moon is nearer to hand and getting the dust material from there

might be easier. The additional difficulty in that case is getting the

material free of the lunar surface gravity. However, containers of material

might be launched off the lunar surface in rapid succession by mass

drivers. The possibility of constructing space colonies at the L4, L5 points

was considered in the 1970s, as was the possibility of obtaining material

from the Moon via mass drivers (e.g., [8]). Of course, this project would

require a huge mass of material, among other problems. It would almost

certainly take years or decades to launch it. Thus, we should be sure that it

would not be lost on a shorter timescale than it could be built up.

There are several reasons for concern on this topic, even though I

said that there are large basins of orbital stability around the L4, L5 points.

This statement was based on the approximation that the Earth and the

Moon orbit in isolation, so one of the first worries is that this

approximation is not accurate enough for present purposes. However,

earlier calculations have shown that stable or nearly stable orbits are

possible even including the effects of the Sun’s gravity [9].

Celestial Mechanics of Dust in the Solar Wind

More worrisome are the effects of radiation pressure on small dust

grains. Solar sailing has been discussed in the space exploration literature

as possibly a very efficient way to travel around the solar system.

However, to get enough momentum from sunlight to move a spacecraft

would require huge sails. This is not the case for small (e.g., of order 10

micrometers) dust grains. Because of their small mass the force of the

Sun’s gravity exerted on them is small, but they intercept enough sunlight

that they can serve as their own solar sails. The Sun tends to blow them

away, rather than pull them in. For grains a couple of orders of magnitude

larger this is not the case, gravity dominates. Grains a couple orders of

magnitude smaller don’t “see” light waves, whose wavelengths are larger.

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and so are not influenced by them. Most of the grains from comets have

sizes in the sailing regime (see Paper 1); probably a large fraction of the

lunar grains would too.

If we want to build a dust shade this is potentially very bad. Even

if it was partially self-shading our dust shade could blow away faster than

we could build it up. However, the primary result of Paper 1 was that

stable orbits are still possible. The dust grains orbit the Lagrange point,

which is orbiting the Earth (or more precisely the Earth-Moon center of

mass). In these orbits, the grains are sometimes moving away from the

Sun. Then the solar radiation pressure accelerates them forward on their

orbit. This tends to move them into larger orbits, and ultimately free of the

Lagrange region. This is the fate of most dust grains placed on arbitrary

orbits in the Lagrange region. After they leave that region they may leave

the Earth-Moon system directly, or suffer encounters or collisions with the

Earth or the Moon (see Figure 3). Typical timescales for this process range

from a few months to a few years.

Figure 3: Each panel shows a single dust grain trajectory in the plane of the Moon’s orbit

subject to the gravity of the Earth and the Moon, and the solar radiation pressure in a

rotating frame. The radiation force is that appropriate to an unshaded grain of radius 100

microns (see text). Each grain begins at the lower Lagrange point (L5), with the Sun

located on the positive x-axis, and is followed until its distance from the Earth (circle

labeled E) is more than twice that of the Moon (circle labeled M). The L4, L5 Lagrange

points are labeled. L 1 lies between the Earth and the Moon, and L2 and L3 are on either

side of the Earth and Moon, on the y=0 line. The circle on the left gives the position of

the Earth, and the circle on the right gives the position of the Moon. This is from Paper 1,

where further details are given.

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On the other hand, sometimes the grains are moving against the

solar pressure and have their orbital velocities diminished. This

acceleration can also drive them out of the system. However, in the case of

some special orbits, this acceleration and the previous one can balance

each other, and grains can remain on these orbits for very long periods of

time (see Figure 4). This balancing act cannot be accomplished within one

orbital period, so these special orbits are not simple circles or ellipses. In

fact, the balancing seems to take many basic orbital cycles, which

introduces a second, long period. Over the course of this long period the

orbits alternately grow and contract. So the good news is that dust grains

could be placed on orbits where they would remain a long enough time to

provide useful shading. The bad news is that if we placed many of them

on orbits of different sizes to form a circular disk of radius equal to 5° as

seen from the Earth, then the different orbits would expand and contract at

different rates, leading to collisions and ejection from the stable orbits.

This would occur on a timescale that depends on the density of grains in

the disk. If you make a denser disk to block more sunlight, you increase

the collision rate and decrease the lifetime of the disk. It is not yet known

if there is an optimal balance between these effects.

-0.5

-0.6

-0.7

-0.8

-0.9

-1

-1.1

0 0.2 0.4 0.6 0.8 0 0.2 0,4 0.6 0.8

X X

Figure 4: Trajectories as in Fig. 1, but with an expanded scale around the initial position

at the Lagrange point (L5). The upper Lagrange point and the Earth and Moon are not

shown. The scale is the same in both panels. In the left panel the unshaded grain size is

assumed to be 1000 microns and in the right panel it assumed to be 100 microns. The first

30 lunar months of each trajectory is shown, but these persistent trajectories have been

found to stay within the outer positional boundaries shown here for 1000 lunar months.

Taken from Paper 1.

Moreover, there are other loose threads in this story of special

orbits. First of all, the calculations of the special orbits in Paper 1 included

the gravitational effects of the Moon, Earth, and Sun, and the solar

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52

radiation pressure, but orbits in the Earth-Moon system were

approximated as circular. Katz [10] has shown that orbits around L4, L5

are less stable when the real elliptical orbit of the Moon is used. It remains

to be shown that the special orbits retain their long-term stability in this

case.

The calculations of Paper 1 were based on another simplifying

assumption - that the grains were confined to the orbital plane of the

Moon. Since this plane is not tilted much with respect to the Earth’s

ecliptic orbital plane, this is not a very efficient way to make a shade. It

would be much better to have the dust disk tilted perpendicular to the

ecliptic plane. The existence of the special stable orbits with such

orientations has not been demonstrated. Ideally such orbits exist for a wide

range of tilts. If this is true then the dust particles could be placed initially

on rings with different tilts to minimize the collisions described above

resulting from orbital expansion and contraction.

It is possible that there exists a nearly perfect orbit that contracts to

its smallest size in the eclipse seasons when the Earth, Sun, and L4, L5

points all nearly line up, but expands to a size of 5° when L4, L5 are tilted

that far from the ecliptic. Then we would only have to construct one ring

of material around that orbit to get maximal shading from minimum mass.

Of course, there are always tradeoffs. All of the special orbits are

finely tuned in the sense that the initial positions, velocities, and sizes of

the dust grains must be accurately specified to put them on those orbits.

The fine-tuning needed for orbital placement might be very extreme in the

case of the perfect orbit. In that case, passive delivery by mass drivers of

minimally processed lunar surface dust would be unlikely to get many

particles of the correct size into the perfect orbit.

More research on the orbital dynamics needs to be done to address

these “loose ends.” Some of these questions raise intrinsically beautiful

problems in celestial mechanics, which may merit study regardless of their

practical applications. However, this paper is concerned with a particular

practical application, so we’ll leave the celestial mechanics and move on

to other issues. Assuming that the dust shade could be constructed among

the most important of these issues are possible collateral effects. There are

several.

Washington Academy of Sciences

53

Collateral Damage

One of the most obvious is over-eooling from too much shading, or

continued shading after we have gotten greenhouse gas emissions under

control and no longer need the shade. This would seem to be a fairly

simple problem. Because of the required fine-tuning of the particle orbits,

there will be inevitable losses due to particle-particle collisions and other

effects, so the shade will gradually disappear. If this was not occurring fast

enough, more particles could be introduced on intersecting orbits to

enhance collisions and speed removal by radiation pressure.

Another potential problem associated with particle loss is that, as

mentioned above, some of the particles are lost by hitting the Moon or the

Earth’s atmosphere. In the latter case, these small particles would bum up

in the upper atmosphere, eliminating the problem at lower altitudes.

However, the increased flux of what are essentially micrometeorites might

pose difficulties for orbiting satellites. Extra shielding might be required.

Without a firm knowledge of the mass of dust needed for shading, and the

exact orbital characteristics of the dust, it’s not possible to accurately

estimate the loss rate and the particle flux.

There is another complication - a significant fraction of the dust on

the lunar surface is ferromagnetic [11]. The fact that such dust could be

picked up with magnets might facilitate its acquisition. This also suggests

that Earth’s magnetosphere could also deflect the magnetic grains,

partially shielding satellites. It is also tme that grains in space often hold a

small electric charge, which would also respond to the Earth’s magnetic

field. These effects need further study.

If the shade scatters sunlight significantly when it’s between us and

the Sun, then it will reflect sunlight in our direction when it’s opposite the

Sun. Since the scattering reflection is in a wide range of directions, it will

not offset the shading much, but it will make for a very bright night sky.

For example, if we have a reflecting ring several times the area on the sky

of the Moon, but of only slightly less surface brightness, the overall

brightness will be of a similar order to that of the full Moon. Since L4 and

L5 are 60° ahead and behind the Moon on the sky, there will be significant

reflected illumination almost all of the time, except possibly near the times

of new moon. Even then, if the optical depth is of order unity, so a

significant amount of light scatters through the rings, then they will still be

bright.

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Nights that are never dark might well have adverse ecological

effects [12]. They would be the bane of astronomers. However, artificial

lighting could be reduced. This would both help the astronomers and

reduce energy consumption. It could be worse. If the dust grains were not

confined to the vicinity of L4 or L5, but diffused around the whole lunar

orbit, a much wider swath of sky would be brightened.

Every technique for globally reducing greenhouse warming will

have its own unique consequences. Excessive cloudiness resulting from

cloud seeding has already been mentioned. If a diffuser located at Earth-

Sun LI were hit by a meteoroid it might be bent or wrinkled in such a way

that it focuses light on some region of the Earth, with potentially

catastrophic results. Large-scale construction accidents are possible with

all of these techniques.

Conclusions?

So what is the bottom line on the prospects for these techniques to

contribute to the mitigation of global warming? In truth, we don’t know

yet. The costs and the possible risks have not been researched in depth.

Key technologies have not been demonstrated on the scale required. It

might not be far off the mark to say that we are at a comparable stage of

development to the manned space program in the mid- 1940s, when V2

rockets showed some of the possibilities, but there was still a long way to

go. It is clear that any of these global techniques requires much more

interdisciplinary study before they can be implemented. Investigating the

consequences thoroughly would require a huge effort.

That seems to be a major weakness of these global solutions - that

it would take as great an effort to realistically predict the consequences as

it would to implement the technology. A partial answer to this objection is

that most of these techniques could be tested on a small scale and

gradually implemented on a larger scale. In fact, that is exactly what has

happened with anthropogenic carbon emissions.

It should also be pointed out that these techniques cannot directly

solve all of problems resulting from carbon emissions. For example, these

problems include increasing the acidity of the oceans. Reducing

atmospheric temperature increases will have no direct effect on that

problem, though it might have indirect consequences. As discussed in the

introduction, the ultimate solutions must be worked out on the ground, not

in space.

Washington Academy of Sciences

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References

[1] Kerr, R. A., “Scientists Tell Policymakers WeTe All Warming the World,”

Science, 315, 754 (2007). (Also see http://wwvv.ipcc.ch/)

[2] “Working Group III Report: Mitigation of Climate Change,” Intergovernmental

Panel on Climate Change, United Nations Environmental Program (2007).

(Available at: http://www.iDcc.ch/)

[3] “World Population Prospects: The 2004 Revision,” Dept, of Economic and

Social Affairs, United Nations Secretariat (2005). (Highlights available online

at: http://www.un.org/popin/data.htm])

[4] Kerr, R. A., “Pollute the Planet for Climate’s Sake?,” Science, 314, 401 (2006).

[5] Teller, E., L. Wood, and R. Hyde, “Global Warming and Ice Ages: I. Prospects

for Physics-Based Modulation of Global Climate Change,” from the 22"^^

International Seminar on Planetary Emergencies, Sicily, Italy, August 1997.

Lawrence Livermore National Laboratory preprint UCRL-JC-128715 (1997).

[6] Struck, C., “The Feasibility of Shading the Greenhouse with Dust Clouds at the

Stable Lunar Lagrange Points,” J. Brit. Interplanetary Soc., 60, 82 (2007).

[7] Melosh, H. J., Nemchinov, I. V., and Zetzer, Y. 1., “Non-Nuclear Strategies for

Deflecting Comets and Asteroids,” in Hazards due to Comets and Asteroids (ed.

T. Gehrels) 1111-1134 (Univ. of Arizona Press, Tucson, 1994).

[8] Johnson, R. D., and Holbrow, C. (eds.) Space Settlements A Design Study:

NASA SP-413 Ch. 2 (NASA, Washington, 1977).

[9] Mignard, F., “Stability of L4 and L5 Against Radiation Pressure,” Cel. Mech.,

34,275 (1984).

[10] J. I. Katz, “Numerical orbits near the triangular lunar libration points”, Icarus,

25,356,(1975).

[11] Elmer, B. C., and Taylor, L. A. “Lunar Regolith, Soil, and Dust Mass Mover on

the Moon,” in 38th Lunar and Planetary Science Conference, (Lunar and

Planetary Science XXXVIII), p. 1662 (2007).

[12] Rich, C., and Longcore, T. (eds.) Ecological Consequences of Artificial Night

Lighting (Island Press, Washington, D. C., 2005).

Summer 2007

This Page Intentionally Left Blank

Washington Academy of Sciences

BOOK REVIEW:

STIMULANTS OF CHANGE

57

Joseph F. Coates

Consulting Futurist, Inc., Washington, D.C.

Architectural Glass Art, by Andrew Moor, Rizzoli International

Publications, NY 1997, 160pp.

Loving the Machine: the Art and Science of Japanese Robots, by

Timonthy N. Hornyak, Kodansha International, NY 2006, 160 pp.

Let the Cat Turn Round, by Alexander King, CPTM Smart Partners,

London 2006. 419 pp.

The work of the members of the Washington Academy of Sciences

falls into several broad categories: disciplinary, multi-disciplinary, pan-

disciplinary, trans-disciplinary, and many other disciplinary groups yet to

be named or conceived. Books that hit the target on particular disciplines

or projects are usually widely reviewed. For many of us, more interesting

are books on the edge of a discipline, perhaps not quite part of it or not

recognized as part of it, or on the conceptual fringe. Another category

reflects the current status of a trans, pan, or multifaceted discipline. That

is happening today with more things than we can keep up with, for

example, in nanoscience and nanotechnology. Another category

announces or proposes a new “cross-disciplinary-group.” They often are

stimulating and raise new visions of intellectual progress in the minds of

many. Finally, books with broad, but unspecified implications for many

areas are always welcome. Whether truly original or sound, they can

powerfully stimulate our creative juices. What follows are three books that

fit one or more of the above characterizations.

Glass is a prosaic material — dishes, tumblers, windowpanes, all kinds of

household products like Pyrex — but oh so ordinary. In my lifetime, 1

remember the heralding of Pyrex and its expansion into the household,

and then a few decades later, the technology for making nearly absolutely

flat glass by floating the melt over molten metal. But what else has

Summer 2007

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happened recently? Not very much that raises a great deal of attention. At

least that was my opinion, until I came across Andrew Moor’s book,

Architectural Glass Art. The book is comprehensive and authoritative

from several points of view. The work of individual architects using glass,

and the nature of the materials and the processes they use to achieve their

effects are described in detail and profusely illustrated. The book begins

with words that are frankly architecturally artistic in the narrow

conventional sense of the word — windows, panels, doors, doorways, and

especially illuminated areas. Once you or at least I understand what is new

and different, we can appreciate the sophisticated, demanding and

architecturally significant developments. The chapters well illustrate the

marvelous situation in which structural and aesthetic become one. All of

these things are illustrated and well described in the work of a particular

glass artist, or a pastiche of them. The book gets technically more complex

when it turns to kiln and how glasses of different colors can be put

together to create an image or an abstract pattern. One especially beautiful

image, “A Portrait in Glass,” is 52 X 68 feet.

As we all know from a look at the classic glass in cathedrals and

elsewhere, lead has played a central role in pictures, panels, and mosaics.

In the chapter on transcending lead. Moor goes well beyond traditional

techniques to show how one can make elaborately colored walls of glass

without the need for lead, by using glues and lamination techniques.

The concept of lamination of glass is particularly interesting to me since it

opens up a concept which is totally alien to my amateur knowledge of

glass, but beautifully illustrated in the book — the kinds of architectural

uses it can be put to. Historically, our sense of decorative is the material

in a cathedral in which the individual pieces of glass are outlined in lead to

hold the pieces together. Now it is as if one had a broad pencil or crayon

and then filled in between the marks with particularly cut pieces of glass.

Contemporary techniques carry us far beyond that and allow for the

production of 50, 100, or a thousand-fold repetition of patterns, that can

then become a structural component in a building. The ones illustrated in

Moor’s book tend to be in business sites, but by no means is the technique

limited to that market.

Toward the end of the book. Moor moves back into what you might think

of as more traditional things done with leaded glass, to extremely

complicated and complex patterns beyond anything you can do with

leaded stained glass. Again this opens up incredible opportunities for new

industrial and construction uses.

Washington Academy of Sciences

59

The book moves on from there to glass sculpture and how that sculpture

can show up in many, many forms — towers made up of cubes of glass

panels, glass in stainless steel structures, and a whale weighing 1.6 tons.

The antique (traditional) glass of a single color is laminated to toughened

float glass, which is drilled and bolted to the steel structure, where it sits

in a pool of water with more water cascading down a rugged stepped

feature. This is on a scale which dwarfs the people who might be looking

at it. If you want to be excited by something new in material science and

by something new in implications for many other areas than mere art,

spend a few hours with Andrew Moor’s Architectural Glass Art.

Robots are about as multidisciplinary as one can get. For decades, the

Japanese have been the world’s leader in the use of robots in

manufacturing and elsewhere. For years, my explanation of their

technological leadership was simple. They are chauvinistic and do not

want foreigners in their country; therefore, the scut work could be turned

over to robots. Further, as an aging society with fewer people able to

work, they could use robots to assist them in personal life. In

manufacturing, robots free up labor for work that cannot yet be done

except by people. But that is far from the gist of the story, it just reflects

my culturally limited view of why the Japanese are in the robotics lead.

By being culturally limited, one is precluded from thinking freely about

the relationships among art, science and robots.

The remedy for that cultural lapse is Timothy N. Homyak’s book. Loving

the Machine. The Japanese passion for automata goes back centuries.

There is even today an annual ritual in which colorful, life-sized,

incredibly dynamic manikins or other things are ceremonially carried to

the ocean in the ceremony to be washed and cleansed.

Before modem tools were available, the Japanese used pneumatic controls

to give a smooth flow to the robot. Robots were designed often for

specific purposes like serving tea and, in historic times they had limited

but real capabilities to switch to other tasks. Many of the complex displays

were so well loved that detailed descriptions of how to make them became

part of the craft literature in Japan. The utilitarian objects automated were

not limited to these marvelously complex, animated dolls, but include

master works such as the eternal clock which shows the position of the sun

and the moon as seen from Kyoto, with a glass dome surmounting the

overall stmcture.

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Through the early to late century, Japanese engineers made giant,

humanoid-like robots and others that were closer to a human look.

Incidentally, one of the main problems they confronted was having the

robots maintain balance while walking. The contemporary period caught

up with cartoons, comic books, and movies. The Japanese moved toward

much more complex, yet much more humanlike robots to provide a range

of activities and actions. With the coming of the more industrialized use of

robots in factories and goods handling, robots have moved away from a

humanoid look and look more like the skeletal form of what you might

think of as the innards of a robot.

Throughout all this period, the Japanese society has been open to robots

and what they have done and what they can do. Their expectations of what

robots can do are unlimited. The lack of limitation shows up nicely in the

enthusiasm for a pet robot to keep one company, to make one feel good, to

assist with various minor chores.

In the Honda ads, the robot, Asimo, reflects a long history of coming to

grips with the problem of robotic walking. Asimo moves slowly in the

Honda ads. The robot’s falling forward and regaining his stability is a

growing challenge for the Japanese engineers. The Japanese have moved

to extremely lifelike robotized mannequins which can do things like give

information to questioning patrons in a department store. The Japanese

specialist in robots, Masahiro Mori, has tried to lay out the connection

between what robots look like and their acceptability. In doing that, he

discovered an unexpected pattern. He reported in a 1970 article that

human likenesses attached to industrial robots are unattractive, even

repellant, because they are so unfamiliar and unhumanlike. Both of those

dimensions — humanlike and familiar — grow with toy robots, stuffed

animals, and humanoid robots. Robot acceptance collapses when it looks

like a corpse, has a prosthetic hand, or looks like a zombie. Acceptability

increases with automated dolls that look like healthy people.

There is one primary lesson from Loving the Machine. If we do not

understand the cultural context of new developments, we can be off-base

and inadequately sophisticated in our understanding of the new

technology, that is, what it can do and can be allowed to do.

Who was at the top of the heap, the King of the Hill, in European and

Western world science policy since World War II? It seems like an inane

question.With scores of countries having science policy mavens, with

gigantic research companies, and with governments having cadres of

Washington Academy of Sciences

61

people in seience policy, who could ever claim that position? As far as I

know, no one has claimed it, but my candidate for the single most

important science policy figure, at least between the UK and the US since

World War II, was Alexander King. King, in his 98^*’ year, died in England

while I was writing this review. His is a model for autobiographies by

public figures. He covered his career in engaging detail with the social

dynamics and the scientific actions each receiving their proper place. All

of this is done in a good spirit. He managed to handle the descriptions of

the naysayers, the road blockers, the tired old bureaucrats, those who are

not willing to do anything, by relating how, over six decades, he

circumvented them or recruited them, even in spite of themselves, to do

good work.

King is perhaps best known to the public as the cofounder of the Club of

Rome, which was set up to deal with what is now called “the

problematique.” The problematique is a term developed to describe the

interrelatedness and complexity of issues in our society. It presents a new

framework for thinking about the issues. Since no issue stands alone, no

issue can really be framed in the form of a simple definable system. Public

policy issues link in many dimensions and ways over time, space,

technology and nationality.

King was so successful in his science policy work in terms of the British

military in World War II that he assumed the responsibility as the primary

liaison on S&T between the United States and the UK. At the end of the

war, he helped shape British science policy, but perhaps even more

important, he helped to shape European science policy. His work

promoted the establishment of the great East-West sponsored think tank in

Austria, IIASA (the International Institute for Applied Systems Analysis).

The formation of the group in Austria was a policy tour de force in that it

was the first fully outfitted, working East- West cooperative venture in

science policy and scientific analysis.

King was a primary driver toward the establishment of the Pan-European

business school known as INSEAD (LTnstitut European d’ Administration

des Affaires). INSEAD raised the level throughout Europe of policy

thinking for business, industry and government and, in particular, gave

cogency to science policy which it had previously lacked.

The value of King’s book is not just in the kind of facts mentioned above,

but in revealing the grace, charm, and high degree of practical Judgment

that King showed in all of his work, and in his numberless interactions

Summer 2007

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with people from every kind of background and virtually every European

country. He was the consummate bureaucrat, who goes beyond the basic

rules of bureaucracy, that success has no reward and failure is dreadfully

sanctioned. Rather what he did was manipulate bureaucracies in many

different ways that are described throughout the book. The book’s curious

title. Let the Cat Turn Round: One Man ’s Traverse of the 20^^ Century, is

a metaphor for one of his core concepts in dealing with people and

governments. If one has a cat in one’s lap and rubs its fur the wrong way,

the cat is not likely to jump down and run away, but slowly and steadily it

turns itself around so that your strokes are in the direction that the cat

prefers.

In scope, significance and international effectiveness. King was

unparalleled in the western world for two-thirds of a century. In a lovely

way, without it being intrusive, he effectively weaves his family life into

recounting his highly diverse broad experience, his hobby interests, and

range of friends who participated in recreational activities with him. Each

gets his proper place and full acknowledgement.

The book should be of interest to anyone who does work or has worked in

a bureaucracy. It should be of even greater interest to anyone who

attempts to manage in a bureaucratic framework, and it should be of

extreme value to those teaching management in our business schools,

universities, or the military.

Washington Academy of Sciences

THE 2007 ANNUAL MEETING

AND AWARDS BANQUET

63

THE FLOWER- AND FERN-FILLED ATRIUM and broad patio of Virginia’s

Meadowlark Botanical Gardens was again on May 1 the site of the

Academy’s annual banquet. Following a superb dinner, the banquet chair

Emanuela Appetiti welcomed over 70 members and guests to the event.

Meadowlark photographer Bill Folsom gave the beautifully-illustrated

after-dinner address on “The Butterflies of Meadowlark.”

Peg Kay, as chair of the Awards Committee,* presided over the

presentation of awards, as follows:

* Members of the Awards Committee; Murty Polavarapu, E. Eugene Williams, Katharine

Gebbie, Daryl Chubin, Michael Cohen, Donna Dean, Albert Teich, Martin Ogle.

Summer 2007

64

Environmental Sciences

Leo Shubert Award for

College Teaching

Krupsaw Award for Non-

Traditional Teaching

Bernice Lamberton

Award for Pre-College

Teaching

Neal T. Fitzpatrick,

Executive Director, Audubon

Naturalist Society

David Hammer,

Professor of Physics and Curriculum &

Instruction, University of Maryland

Florence D. Fasanelli,

Director, DC Fellows for the

Advancement of Mathematics

Education, AAAS

Karen Shrake,

Fourth Grade Classroom Teacher,

Burtonsville Elementary School

Martin Ogle

Ali Eskandarian

Paul Hazan

The award presentations were followed by remarks by the retiring

president Bill Boyer and incoming president Alain Touwaide, which

follow below. President Touwaide then introduced the other incoming

officers.

Officers, 2007-2008

President, Alain Touwaide

President-elect: Albert Teich

Vice President for Administration: Gerard Christman

Vice President for Membership: Murty Polavarapu

Vice President for Affiliate Affairs: E. Eugene Williams

Vice President for Junior Academy: Paul Hazan

Secretary: James Cole

Treasurer: Russell Yane III

Past President: Bill Boyer

Members At Large

Frank Haig, S.J., 2005-2008

Jodi Wesemann, 2005-2008

Vary Coates. 2006-2009

Peg Kay, 2006-2009

Sethanne Howard, 2007-2010

Donna Dean, 2007-2010

Washington Academy of Sciences

65

THE STATE OF THE ACADEMY

REMARKS OF PRESIDENT BILL BOYER

(2006-2007)

It was a dark and stormy night in 1898 when Alexander

Graham Bell and some of his science-minded cronies got together and

decided to create the Washington Academy of Sciences. They created the

Academy because they felt the need for an organization bigger than

themselves and bigger than the eight professional science societies they

represented. Now, they could conduct activities in the name of the

Academy that extended the exchange of ideas to a new level.

The objective of this new umbrella organization was to stimulate

interest in the important sciences of the time. It became a new tool that

allowed them to do more in the growing influence of Washington, DC.

The goals of today’s Academy have changed little, but we look

much different than those first few years at the turn of the last century.

Today our membership includes 59 professional non-profit societies and

more then 400 individual members, of which more than 200 are Fellows.

We also have a handful of institutional members — a relatively new

membership category.

In the past year we conducted the Nanotechnology Forum and the

second Capital Science event for affiliated societies, and conducted or co-

sponsored, both here and in Europe, several related to Condominiums on

the Moon. Our Junior Academy, lead by the untiring dedication of Paul

Hazan, helped 1,500 students in the DC public school system learn about

life through science competitions. The Academy Journal continues to be a

prestigious science publication, under the leadership of Vary Coates. I

can assure you the Board of Managers has been busy.

These are Just the highlights of a strong organization that is led by

a group of dedicated individuals, just as the Academy was back in 1898.

And, like it was back then, there are two things always needed: more

people helping, and money to reach further and do more. We are therefore

embarking on a two-pronged program: 1) - to further involve our

members in our activities and 2) - to raise funds - and more funds.

Summer 2007

66

I say to you, that the state of the Academy is strong; this evening’s

event, and the caliber of awardees, is an indication of our strength. This

Awards Banquet, here at beautiful Meadowlark Botanical Gardens, was

made possible by the folks at Meadowlark, where our common interests

have made them a valued affiliated institution.

So, I ask you to consider the institutions you know that may have

similar interests as the Washington Academy. Think creatively and talk

with any one of our officers about opportunities to do more in the name of

science, and to help pay our bills.

Washington Academy of Sciences

67

THE YEAR TO COME: REMARKS OF

IN-COMING PRESIDENT ALAIN TOUWAIDE

It is a great pleasure, an honor and a privilege for me to be the in-coming

President of the Washington Academy of Sciences. I wish to thank all the

Members of the Academy, of the Board and of the several committees

who have contributed to the success of this evening, particularly

Emanuela Appetiti, Chair of the Banquet Committee, and Peg Kay, Chair

of the Awards Committee.

The Academy is an old institution founded a little bit more than a century

ago. It has been recently rejuvenated thanks to the actions of Peg Kay and

the new dynamism she injected into the Academy, continued under the

current Past President, Doug Witherspoon, and the about to be Past

President, Bill Boyer, both of whom I thank for their actions, along with

Peg Kay’s work.

The Academy rewards scientific achievement and excellence, and more

recently it has started to showcase Washington scientific activity through

the biannual Capital Science conferences. These conferences were

initiated by Peg Kay and will be held again next year, March 29-30. On

the other hand, the Academy encourages new vocations through the Junior

Academy, brilliantly guided by Paul Hazan. And, on top of all that, the

Academy rewards the best scientists in the Washington area by means of

such awards as those granted tonight. Last but not least, the Academy

publishes a quarterly Journal, edited by Vary Coates.

Though extremely positive, this activity might be expanded. The Academy

should indeed be more engaged in the scientific and intellectual activity of

the Washington area and attract new scientists in every field of the

episteme, the Greek word for knowledge. It should engage a dialogue with

universities, think-tanks, libraries and the many museums in the

Washington area, and open its doors to those who might aspire to be

tomorrow’s best scientists, that is, the students. Rather than becoming a

one-century old respectable institution, the Academy should be an

engaging forum for world class science, not only present, but also future.

This is what I invite you to contribute to, so that the Academy will become

a forum which displays the Washington science in the making. To achieve

Summer 2007

68

this goal — or at least to start an effort toward it — I am pleased to have in

the Board a group of authoritative scientists, leaders and policy makers, as

well as scholars, advisors and science administrators, and I do hope to be

able to report substantial progress in that sense in one year, on the

occasion of the 2008 banquet.

In the meantime, I wish to thank you all for your confidence in me, your

support, your collaboration and your help and input, and I invite you to

pursue your action. See you next year.

Washington Academy of Sciences

69

2007/8 Board of Managers for the Washington Academy of Sciences

Ali Eskandarian (center) presents the

Leo Shubert award for College Teaching to

David Hammer (right) and the Krupsaw

Award for Non-Traditional Teaching to

Florence D. Fasanelli (left)

Paul Hazan (left) presents the Bernice

Lamberton Award for Pre-College Teaching

to Karen Shrake (right)

Summer 2007

70

Albert Teich presenting the award for Daryl Chubin (left) presenting the award

Distinguished Career in Science to for Behavioral and Social Sciences to

Marilyn E. Jacox Cora Marrett (right)

Katharine Gebbie (left) presenting the

award for Physical Sciences to

Harvey B. Moseley (right)

Donna Dean (center) presents the awards

for Health Sciences to Kathryn Louise

Sandberg (left) and Francis S. Collins (right)

Michael Cohen (left) presents the award

for Mathematics and Computer Science to

Dan Kalman (right)

Martin Ogle (left) presents the award for

Environmental Sciences to

Neal T. Fitzpatrick (right)

Washington Academy of Sciences

71

William Folsom, speaker at the 2007 Awards Banquet

Photographs courtesy of Albert Teich

Summer 2007

This page intentionally left blank

Washington Academy of Sciences

73

In Memoriam

This memoriam is reprinted from MAA Online (with permission from

Mathematical Association of America, copyright holder), at the request of

Michael Cohen, past president and Fellow, WAS.

James E. White 1946-2004

By Dan Kalman

James E. White, founder and director of the Mathwright Library at

http://www.mathwright.com, as well as principal creative force

behind the Mathwright software family, died suddenly and

unexpectedly July 18, 2004. He was 58 years old, and is survived by

his wife, Sally, four children, and two grandchildren. White received

his Ph.D. at Yale University under William Massey in 1972 in

Algebraic Topology. He held permanent and visiting faculty positions

at many institutions, including the University of California at San

Diego, Carleton College, Bates College, Kenyon College, Spelman

College, California State University Monterey Bay, and Stetson

University. His non-academic experience included work at Jet

Propulsion Laboratory. Most of his work on the Mathwright project

was done during his tenure at the Institute for Academic Technology at

the University of North Carolina Chapel Hill.

White will best be remembered in the mathematics education

community for his vision, creativity, and leadership in the applications

of technology. He recognized early that computers offer a unique and

powerful tool to inspire, captivate, and entrance students, and for 30

years devoted himself to innovative uses of computer technology. His

philosophy was that students will learn best when they ask and answer

their own questions, and he understood that computer software can

create powerful environments in which students are empowered to do

so. His dream and vision was to develop a tool with which teachers and

students could easily create these environments. The hundreds of

activities housed in the Mathwright Library, created by scores of

teachers and students from around the world, bear witness to his

successful realization of this vision.

Summer 2007

74

White had a long and active involvement with the Mathematical

Association of America. He was co-director of the MAA’s Interactive

Mathematical Text Project, which introduced dozens of mathematicians

to the development and use of interactive instructional computer

activities. He was also Principal Investigator for another MAA project,

the Web Educators Librar\^ Collection of Mathematical Explorations

(WELCOME). This project combined three areas of MAA concern:

educational technology, professional development, and increasing

access to mathematics for under-represented groups. The project, which

was incorporated into the MAA’s SUMMA Program, worked to bring

interactive computer activities to students of minority serving

institutions by offering professional development opportunities and

mentoring to the faculty of these institutions. His final project for the

MAA, completed shortly before his death, involved incorporating

materials from the WELCOME project in the MAA’s MathDL digital

library.

James White had a life-long fascination with the world of ideas. He was

first a mathematician, with several books and scholarly papers to his

credit. He was widely read in mathematics, philosophy, and physics,

studied differential geometry and its applications to relativity, and had a

particular interest in foundational issues in quantum mechanics. At the

time of his death, he was deeply immersed in research in these areas,

and had recently completed a paper presenting an innovative new link

between the geometric ideas of ancient Greece and the modem subject

of special relativity. At the same time, he was fascinated by the issues

of cognition and learning, and read widely in this area.

White was also a prolific author of interactive computer activities for

students, and for their teachers. The Mathwright Library includes

nearly a hundred of his contributions, displaying an amazing wealth of

creative and inspiring lessons. There is a lunar lander that accurately

models the physics of rockets, an activity that puts students in the

driver’s seat of a space shuttle to achieve orbit, a beautifully rendered

three dimensional version of tic-tac-toe, and a physically and

geometrically accurate simulation of pocket billiards. Most impressive

of all, perhaps, is his multimedia sur\^ey of gravitation, in which the

user navigates a Myst-like virtual world, while retracing the

mathematical and physical evolution of our understanding of gravity.

Washington Academy of Sciences

75

And this is just a small sample. He recently completed a calculus

textbook, integrating both traditional text lectures and interactive

explorations.

Those who knew him well recognized both a powerful intellect and a

gentle and generous spirit. There was poetry at the heart of his life and

work, and he saw poetry and beauty in mathematics. Who else would

choose Monet’s Water Lillies as the setting for an interactive

exploration of buoyancy and boat construction?

Through his softw^are and internet library, James White inspired and

influenced mathematics students and educators from all over the world.

He offered generous encouragement to all who met him, and carried on

correspondence with a host of collaborators, followers, and students.

An invited paper session in his honor was held at the January 2005

Joint Mathematics Meetings in Atlanta. His memory will continue to

inspire all who knew him. His energy, enthusiasm, creativity, and

originality will be sadly missed.

Summer 2007

AFFILATED INSTITUTIONS

The National Institute For Standards and Technology

Meadowlark Botanical Gardens

The John W. Kluge Center of the Library of Congress

Potomac Overlook Regional Park

Washington Academy of Sciences

DELEGATES TO THE WASHINGTON ACADEMY OF SCIENCES

REPRESENTING AFFILIATED SCIENTIFIC SOCIETIES

Acoustical Society of America

American/Intemational Association of Dental Research

American Association of Physics Teachers

American Ceramics Society

American Fisheries Society

American Institute of Aeronautics and Astronautics

American Institute of Mining, Metallurgy & Exploration

American Meteorological Society

American Nuclear Society

American Phytopathological Society

American Society for Cybernetics

American Society for Microbiology

American Society of Civil Engineers

American Society of Mechanical Engineers

American Society of Plant Physiology

Anthropological Society of Washington

ASM International

Association for Women in Science (AWIS)

Association for Computing Machinery

Association for Science, Technology, and Innovation

Association of Information Technology Professionals

Biological Society of Washington

Botanical Society of Washington

Chemical Society of Washington

District of Columbia Institute of Chemists

District of Columbia Psychology Association

Eastern Sociological Society

Electrochemical Society

Entomological Society of Washington

Geological Society of Washington

Historical Society of Washington, DC

History of Medicine Society

Human Factors and Ergonomics Society

Institute of Electrical and Electronics Engineers, Washington Section

Institute of Electrical and Electronics Engineers, Northern Virginia Section

Institute of Food Technologies

Institute of Industrial Engineers

Instrument Society of America

Marine Technology Society

Mathematical Association of America

Medical Society of the District of Columbia

National Capital Astronomers

National Geographic Society

Optical Society of America

Pest Science Society of America

Philosophical Society of Washington

Society of American Foresters

Society of American Military Engineers

Society of Experimental Biology and Medicine

Society of Manufacturing Engineers

Soil and Water Conservation Society

Technology Transfer Society

Washington Evolutionary Systems Society

Washington History of Science Club

Washington Chapter of the Institute for Operations

Research and Management Science

Washington Paint Technology Group

Washington Society of Engineers

Washington Statistical Society

World Future Society

Paul Arveson

J. Terrell Hoffeld

Frank R. Haig, SJ.

VACANT

Ramona Schreiber

David W. Brandt

Michael Greeley

Kenneth Carey

Steven Arndt

Kenneth L. Deahl

Stuart Umpleby

VACANT

Kimberly Hughes

Daniel J. Vavrick

Mark Holland

Marilyn London

Toni Marechaux

Emanuela Appetiti

Lee Ohringer

F. Douglas Witherspoon

Barbara Saffanek

VACANT

Alain Touwaide

James J. Zwolenik

David Williams

Ronald W. Mandersheid

Robert L. Ruedisueli

F. Christian Thompson

Bob Schneider

VACANT

Alain Touwaide

Douglas Griffith

Gerard Christman

Murty Polavarapu

Isabel Walls

Russell Wooten

Hank Hegner

Judith T. Krauthamer

Sharon K. Hauge

Duane Taylor

Jay H. Miller

VACANT

Jim Cole

VACANT

Vary T. Coates

G. Foster

VACANT

Darren Roesch

VACANT

Bill Boyer

Clifford Lanham

Jerry L.R. Chandler

Albert G. Gluckman

Russell Wooten

VACANT

Alvin Reiner

Michael P. Cohen

Russell Wooten

I

(

Washington Academy of Sciences

Room 637

1200 New York Ave. NW

Washington, DC 20005

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Journal of the

WASHINGTON

ACADEMY OF SCIENCES

Volumew

Number 3

Fall 2007

Contents

Editor’s Comments i

Instructions To Authors ii

Sethanne Howard and Mark Crandall, Post Traumatic Stress Disorder .....1

Tom Meylan, A Theory of Personal Drive Satisfaction Strategies .......19

Jim Cole, A Family of Scientists... 39

Harvey C. Hayes, reprint, Measuring Ocean Depths by Acoustical Methods 43

Jim Cole, Three Generations of Acoustic Research 76

Al Teich, Book Review 79

Selected Minutes of the Philosophical Society 81

World Future Society Annual Meeting 107

Member News 109

ISSN 0043-0439

Issued Quarterly at Washington DC

Washington Academy of Sciences

Founded in 1898

Board of Managers

Elected Officers

President

Alain Touwaide

President Eiect

Albert H. Teich

Treasurer

Russell Vane III

Secretary

James Cole

Vice President, Administration

Gerrald Christman

Vice President, Membership

Murty S. Polavarapu

Vice President, Junior Academy

Paul L. Hazan

Vice President, Affiliated Societies

E. Eugene Williams

Members at Large

Sethanne Howard

Donna Dean

Vary T. Coates

Frank Haig, S J.

Jodi Wesemann

Past President: Bill Boyer

AFFILIATED SOCIETY DELEGATES:

Shown on back cover

Editor of the Journal

Vary T. Coates

Associate Editors:

Sethanne Howard

Emanuela Appetiti

Elizabeth Corona

Alain Touwaide

Academy Office

Washington Academy of Sciences

Room 631

1200 New York Ave NW

Washington, DC 20005

Phone: 202/326-8975

The Journal of the Washington Academy

of Sciences

The Journal is the official organ of the

Academy. It publishes articles on science

policy, the history of science, critical reviews,

original science research, proceedings of

scholarly meetings of its Affiliated Societies,

and other items of interest to its members. It is

published quarterly. The last issue of the year

contains a directory of the current membership

of the Academy.

Subscription Rates

Members, fellows, and life members in good

standing receive the Journal free of charge.

Subscriptions are available on a calendar year

basis, payable in advance. Payment must be

made In U.S. currency at the following rates.

US and Canada $25.00

Other Countries 30.00

Single Copies (when available) 10.00

Claims for Missing Issues

Claims must be received within 65 days of

mailing. Claims will not be allowed if non-

delivery was the result of failure to notify the

Academy of a change of address.

Notification of Change of Address

Address changes should be sent promptly to

the Academy Office. Notification should

contain both old and new addresses and zip

codes.

POSTMASTER:

Send address changes to WAS, Rm.631,

1200 New York Ave. NW

Washington, DC. 20005

Journal of the Washington Academy of

Sciences (ISSN 0043-0439)

Published by the Washington Academy of

Sciences 202/326-8975

email: was@aaas.org

website: www.washacadsci.orq

MCZ ,

LIBRARY

THE EDITOR COMMENTS: ^ 5 2007

harvard

For well over a century the Washington Academy of Scle^c*es^

sought to encourage and celebrate scientific achievements wherever they

occur, and especially to highlight those of scientists and scientific

institutions in our own region. In this issue we take special notice of the

outstanding accomplishments of a one who was a member of the Academy

six decades ago, and whose groundbreaking work is echoed in the

scientific careers of members of his family over two following

generations.

Other papers deal with topics of current and growing interest. Sethanne

Howard explains in lay terms the origin and manifestations of post

traumatic stress disorder, a condition that is only slowly becoming

understood even by mental health experts, although the term is sadly

becoming more familiar to Americans as a steady stream of veterans

return from Iraq. Tom Meylan contributes another in his series of papers

using concepts from evolutionary psychology to develop a theory that

seeks to illuminate patterns of collective human behavior within

organizations. A1 Teich reviews a book by Nancy Mathis that vividly

describes the course of killer tornados that have struck over the past 60

years, and the ways by which science and technology have greatly reduced

the human toll exacted by these vicious storms.

In November, the Academy will hold its annual reception for

representatives of our more than 60 affiliated scientific societies and

institutions. Two of those societies are featured in this issue. The World

Future Society’s annual meeting is described. Selected “Minutes” of the

meetings of the Philosophical Society — featuring summaries of talks by

distinguished local scientists — are reproduced, the third time we have

been privileged to do this in recent years, thanks to Recording Secretary

Ron Hietala. We urge other Affiliates to allow us the same opportunity.

Fall 2007

II

INSTRUCTIONS FOR AUTHORS

The Journal of the Washington Academy of Sciences is a peer-

reviewed journal. Exceptions are made for papers requested by the editors

or positively approved for presentation or publication by one of our

affiliated scientific societies.

We welcome disciplinary and interdisciplinary scientific research reports

and papers on technology development and innovation, science policy,

technology assessment, and history of science and technology. Book

reviews are also welcome.

Contributors of papers are requested to follow these guidelines carefully.

• Papers should be submitted as e-mail attachments to the chief editor,

vcoates@mac.com, along with full contact information for the primary or

corresponding author.

• Papers should be presented in Word; do not send PDF files.

• Papers should be 6000 words or fewer. If more than 6 graphics are included the

number of words allowed will be reduced accordingly.

• Graphics must be in black and white only. They must be easily resized and

relocated. It is best to put graphics, including tables, at the end of the paper or in

a separate document, with their preferred location in the text clearly indicated.

• References should be in the form of endnotes, and may be in any style

considered standard in the discipline(s) represented by the paper.

Washington Academy of Sciences

Post Traumatic Stress Disorder

What Happens in the Brain?

Sethanne Howard and Mark W. Crandall, MD

US Naval Observatory, retired, Wash. DC

Reisterstown, Maryland

Abstract

This is a brief look at the processes that lead to post traumatic stress

disorder (PTSD) and what happens in the brain. We take a light handed

approach to the insides of the brain, not to demean but to promote

understanding. PTSD is a disabling misery that is best understood

through information.

Introduction

Everyone Suffers Trauma At Some Time. The first

documented case of psychological distress was reported in 1 900 BCE, by

an Egyptian physician who described a hysterical reaction to trauma. One

in two people will be exposed to a life-threatening, traumatic event in their

lifetime. It can be the death of a loved one; it can be war; an attack,

robbery, rape; it can be the loss of a job. Usually the person recovers after

some time, and the trauma fades to a memory - painful but not

destructive. Trauma, however, is not the same as the mental disorder

PTSD - Post Traumatic Stress D^isorder. Now and then, the body cannot

quite heal the trauma, and there are long-term changes in the brain. If the

trauma is severe, prolonged, or life threatening, the aftereffects can last for

years, physical damage can occur, and one suffers the debilitating effects

of PTSD.

While many people experience traumatic events, not everyone

develops PTSD. The best epidemiologic or population studies indicate that

about 7% of Americans have had or will have PTSD at some point in their

lives, and that about 5% have PTSD at any given time. Women are twice

as likely as men to develop PTSD. At a cost of over 44 billion dollars a

year in medical and related costs, PTSD is a disorder well worth the time

to understand.

Many people in the Western world take a “blame-the-victim”

approach to avoid dealing with mental illness. One might call it the “just”

disease. your fault you are miserable, you know. You just can 7 cope,

Fall 2007

2

you just feel sorry for yourself you just don 7 want to get well, you just

want everyone else to solve your problems for you, you just” ... you just ...

you just ... this list goes on and on. A litany of ‘you just.’ That word ‘just’

causes a lot of problems. The ‘just’ speaker is not going to understand.

The speakers will not try to understand. They have already closed their

minds and will make sure that you know how bad their situation is

compared to yours. Shame, denial, and misinterpretation are used to bad

advantage {quit asking for sympathy, quit over-reacting, etc.).

The medical profession tries to help. The World Health

Organization publishes a diagnosis book: the International Classification

of Diseases (ICD). ICD-6 contained, for the first time, a section for mental

disorders. The history of mental disorder in the United States is

interesting. In 1840 medicine used only one category for mental illness:

idiocy/insanity. By 1860 there were seven categories: melancholia, mania,

epilepsy, monomania', paresis", dementia, and dipsomania'". It was not

until after World War II that a more useful set of definitions appeared. In

1952 the first edition of the American Psychiatric Association's

Diagnostic and Statistical Manual, DSM-I, appeared. The DSM-IV, the

current edition, is essentially the diagnoses ‘dictionary’ for mental

illnesses. It is a thick book available at bookstores. We now have the 9^*^

edition of the ICD-9. So the current set of diagnoses is barely fifty years

old.

There are some very interesting things in the DSM-IV. Is there a

firm separation between a ‘physical’ disorder and a ‘mental’ disorder? The

answer is no. Every physical disorder has a mental component; every

mental disorder has a physical component. Together they form two

interlocking pieces of the whole person. We can’t have one without the

other. It can even happen that the person with schizophrenia has the flu!

Unfortunately we (and medicine) do not have a good word for this, so we

keep the two words ‘physical’ and ‘mental’. A good physician understands

this.

Society and even many physicians assume that the DSM-IV

classifies people not disorders. Actually the book does exactly the

opposite: it classifies disorders not people. Society persists in this cruel

fiction of classifying people instead of disorders. They use mental illness

to define the whole person {You are a manic-depressive.). Try to picture a

person pointing a finger and saying '‘You are a broken bone. ” Hopefully

they sound equally silly.

Washington Academy of Sciences

3

Sometimes, however, they don’t. Add to this misuse of words the

additional injury that Americans still assign shame to mental illness and

associate it with a character or moral flaw, and we have the terrible

situation where countless mentally ill people suffer the doubly cruel injury

of the ravages of the disease and the scorn of an uncomprehending society.

Insurance companies use the DSM-IV and ICD-9 to assign

payments. All insurance claims insist on a diagnosis code {It may be

buried deep in the paperwork, but it is there). So physicians and other

mental health professionals use it. This is both good and bad. It is good,

because it enables a payable insurance claim. It is bad because it forces a

diagnosis that may not be fully appropriate. The DSM is a laudable

attempt to organize mental illnesses into definable categories. If mental

illness had well separated and defined categories this would work well.

Unfortunately mental illness does not separate out into nice, neat labels.

So the codes in the DSM-IV are far from perfect, just as the treatment and

diagnosis of mental illness are not perfect. A good mental health

professional knows this and will provide appropriate diagnoses for the

insurance claim; one that will minimize any social damage. Then they will

throw it away and treat you as a whole person, using whatever method is

best for you.

The diagnoses of mental disorders are now multi-level. (Actually

they concocted five diagnoses axes. If you are mathematically inclined,

this is a 5D space. If you are not mathematically inclined, they have five

ways to classify the disorders, and it can often take all five to identify the

disorders properly.) That is good for the doctors, but it makes it more

complicated for the non-professional to have a clear definition to use. A

broken bone is an easy one. All the sub-types, severity levels, even

decision trees in the DSM-IV make it hard to find a single word to use for

mental illnesses. “I suffer from ....” When those dots really are paragraphs

of words - well you see the problem.

People shy away from saying these things anyway because society

has this unhealthy association of shame with a mental disorder. That leads

to a lot of misconceptions. There are sixteen types of mental disorders.

One is the anxiety disorder class. PTSD is an anxiety disorder. The DSM-

IV diagnosis code for PTSD is 309.81. Panic attacks belong in the anxiety

disorder class. Clinical depression, a common mental disorder, is a mood

disorder.

4

Trauma and PTSD

1 shall concentrate on PTSD. Most people are familiar with the

definition concerning soldiers in a war; however, PTSD has expanded

from its original wartime definition to include all people, not just soldiers.

It can result from a single or prolonged life-threatening event. The

memory can bury itself deep in the mind and, for years afterward, torment

the person with all kinds of strange unexplained feelings. Some people

come through these events and recover. Some do not. Why the difference?

As yet, probably no one knows.

PTSD is difficult to treat, even difficult to diagnose. The disorder

carries an especially strong stigma of dishonor and moral weakness.

During the first and second world wars, people called some soldiers

suffering from PTSD and stress breakdown “cowards” or “deserters.” The

military has come a long way since then in recognizing the seriousness of

this disorder. Since PTSD is actually the body’s natural response to an

injury, it is not really an illness in the same sense as depression. It is,

however, often accompanied by depression and other mental illnesses.

There are six criteria for a diagnosis of PTSD. (1) The person goes

through or sees something that involves actual or threatened death or

serious injury. The person responds to this with intense fear, helplessness

or horror. (2) The person then relives this traumatic event through dreams,

or recollections. He or she can behave as if the trauma is actually

happening right then, and can react strongly to events that even resemble

the original trauma. (3) The person tries desperately to avoid this, and to

avoid anything associated with the trauma, in fact, may not even

remember the trauma yet still react strongly to certain stimuli. (4) The

person often has difficulty sleeping and concentrating. He or she may be

hyper-vigilant. All this lasts longer than (5) a month and causes (6)

significant distress in daily life.

Perfectly straightforward, isn’t it? Someone is “scared to death,”

leaving behind an injured brain that relives the event and stays scared all

the time. The next edition of the DSM will contain an updated definition

for PTSD that will widen the criteria to include emotional as well as

physical trauma.

Typically one thinks of trauma as a single life-threatening event;

however, trauma can also arise from an accumulation of small incidents

rather than one major incident. Examples include: repeated exposure to

horrific scenes at accidents or fires, repeated involvement with serious

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5

crime, breaking news of bereavement caused by accident or violence,

especially if children are involved, repeated abuse (verbal, physical, or

sexual), regular intrusion and violation of one’s physical or psychological

space (bullying, stalking, harassment, domestic violence), etc. People who

are especially vulnerable to these events are emergency workers {e.g.

police, firemen, and hospital workers), crime scene investigators, children,

and soldiers. Some mental health professionals now use the term

Prolonged Duress Stress Disorder (PDSD) when the symptoms are the

result of a series of events.

Although it is fair to think of PTSD as an injury rather than an

illness, it is important to remember that a disabling injury is as difficult to

handle as a disabling illness. Unfortunately, the sufferer may not know he

or she suffers from PTSD, and may think the suffering is “madness.” The

sufferer is afraid to tell anyone because of the social stigma associated

with emotional distress. To make things worse, even professionals often

misinterpret many of the PTSD symptoms as psychotic ones. They

misdiagnose the person and therefore provide possibly harmful treatment

and drugs.

PTSD is not madness. It is a normal reaction to undue and deadly

stress. The body says ''Hey! 1 am not designed to work this way. If I let this

go on there will be irreparable damage. I will do something dramatic now

to reduce or eliminate the stress. We ’re talking survival here, dummy P'

And so the body takes action.

What is going on here? A lot of things. The human body is a

marvelous system. It is also a complex system, full of feedback loops.

Mess too badly with some of those loops, and one result can be long-term

disabling PTSD.

The Two -Part Body

Let’s look at the whole system before we leap into the brain. Not

the ‘whole’ body - there is too much detail inside a simple human body -

so we start with a two-part body: the automatic part versus the thinking

part. One thing the human body does is keep the basics going so you do

not have to think the basics. The basics are too, well, too basic to be left to

our thinking skills. This is the automatic part. What does this automatic

system do for us? The autonomic {the word is linked to autonomous)

nervous system is an entire little brain unto itself. It keeps on going

whether we think about it or not. It runs bodily functions without our

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6

awareness or control. {Thank goodness, too. I would hate to think my way

into every single breath.) It has two pieces: the sympathetic system and

parasympathetic system.

The sympathetic system handles automatic responses to the “fight-

or- flight” condition. {Yo, Fm in danger here body, get with the program

and do something.) These responses are actions like dilating the pupils and

blood vessels {got to have room for that increased blood flow^, increasing

the heart rate, and putting digestion on hold. {You don't have time to eat

right now, worry' about that hunger later. I am busy fighting off that tiger

on your behalf)

The parasympathetic system does other things, including slowing

down the heart, constricting the pupils, and stimulating the digestion. It

takes care of what the body needs when it is off-duty from fighting for

survival. {I can stop running from that tiger now, so it's time to eat.)

The two pieces seem to drive the body in opposite directions. We

hope the body can keep the system in balance and not let one or the other

run amuck.

The autonomic nervous system sends a constant stream of

information to the hypothalamus {another piece in the brain). The

hypothalamus has an important job - regulation {There is always a limit

switch somewhere) - to maintain the status quo. It controls an amazing

variety of things. It gathers data from all over the body and then sends

back signals to compensate for anything out of whack. It soaks up

information from that autonomic nervous system, reads body temperature,

checks your balance, blood pressure, visual cues, blood sugar levels,

chemical levels, and memories. It gathers signals from the outside through

the five senses {Ouch, that's hot! Yuk! Bad smell)', each sense having its

special area in the brain; for example, visual data to the occipital cortex,

tactile to the sensory cortex, auditory to the middle temporal gyrus, and

olfactory to the orbitofrontal cortex.

The hypothalamus also integrates all this information and sends

back messages to the body {squint to reduce excess light hitting the

eyeball, etc.). Messages also go back to the autonomic nervous system. A

lot of information goes through the endocrine system as well (including

the pituitary gland - a major piece of the endocrine system). This gland is

no larger than a pea and controls all the other parts of the endocrine

system. It produces all kinds of hormones. More about the stress hormone

later.

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A Light-Hearted Look at the Brain

So where are we? Let the autonomic part continue to do its thing,

and let’s leap into the entire brain. The brain has a basic structure to it.

Actually we have three brains in one. Brain 1 is in the center called

the “R complex” (R stands for reptilian because it is very similar to the

brains of reptiles). Brain 2 is wrapped around Brain 1, called the “limbic

system” or “old mammalian brain.” Limbus is the Latin word for arc or

girdle. Brain 2 is shell-like or girdle shaped. Brain 3 is the outside surface,

the neocortex, and this is the evolutionary modem part of our brain.

Let’s look top down on the brain. All we see from this view is

Brain 3 - the neocortex. On the top is the cerebrum divided down the

middle from the front to the back into the left and right cerebral

hemispheres. When you hear about that left brain/right brain thinking, they

are talking about these hemispheres. The brain also has a side-to-side

division towards its back end, although this one is not as distinct as the

other one. In front of this side-to-side division are the frontal lobes (one

left and one right naturally because of those hemispheres).

At the back end of this

side-to-side division are the

parietal temporal, and occipital

lobes. If we peer sideways at the

brain, under that cerebmm, there

are more parts. Tucked under

there is the cerebellum. Inside

cerebrum

frontal

lobe

those other

lobes

Wcerebellum

the middle of all this are the pons and

the medulla. The brain stem comes from

the spinal cord into this region. The

thalamus, hypothalamus, hippocampus,

and many other things are in there. The

autonomic nervous system connects in

here. In terms of evolution, this area of

the brain is quite ancient. This makes sense too because the autonomic

system has to take care of things like breathing without our having to think

about them. All living things share this type of automatic functioning in

some manner. That blade of grass does not have to “think” itself into green

{or brown if it gets no water). Basically your conscious control tends to

happen in the cerebmm area (that is the thinking part). The automatic

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8

control tends to happen in the

cerebellum. The hippocampus is the

piece that handles memor\- creation and

storage. Apparently it stores memories

all over the brain.

(It finds a good spot, dumps in a

memory', sets up a database entry'

some^vhere, and mores on.)

The hippocampus is deep inside

the brain. It is a long narrow strip shaped

almost like two horseshoes. The knobs at

the end are the amygdala. The

hippocampus makes new memories. Without it you could not live in the

present, you would be smck in the past. The figure to the left is a cut away

of the brain showing the pieces important to stress.

- Prefrontal

cortex

Brain 5tr\-Cixes invoivec »n Dea inc v/rti

Fear 3rd Streis

Neurons and Neurotransmitters

All the parts communicate through an amazing network of neural

pathways: ner\*e cells strung out along axotis (the neural highway). A

ner\e cell has two things to do. One: it has to propagate any impulse

signal along the highway (keep the Traffic flow going), and two: it has to

transmit information to another ner\ e cell not on its axon (across the gap).

Impulses along an axon are electrical, mediated by sodium and

potassium ions. .\n impulse is an all or nothing proposition. It goes, or it

does not go. Electrical signals travel through the axons at quite respectable

rates, sometimes as fast as 120 meters/second (4,700 inches/secottd, about

268 miles per hour. In other words a signal makes its tnetiy' way' around

your body' ^r eiy* fast. Light itself trax els slightly less than 1,000 times

faster than that.). There are a lot of these neurons too. probably about 10^^

of them*'. Even more interesting is that these things can reconnect in new

ways, and probably do this all the time.

The other thing the neive cell does is to transmit a signal from

itself to another neuron. This involves actually a lot of chemical reactions.

These involve the neurotransmitters (XT’s). There are lots of them.

Neurons emit NT's into that gap and other neurons with compatible

receptors absorb them. (How else can the infoimation get around the

body '? If we were all one continuous neiwe cell this would be easy, but we

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are not. Instead we are billions of these things. So the signals have to

[jump' the gap between neurons.) The signaling process, not to put too

fine a point on it, is sensitive, you see. Those neurons have to be well

tuned before they can talk properly. Drugs, disease, moods, genetics all

can affect the proper signaling of neurons. When a neural bundle in the

brain talks to another neural bundle, it uses NT’s to help the

communication (chemical reaction). It is a multi-step process.

1 . Neuron makes and stores up NT’s.

2. Neuron releases NT from a nerve terminal.

3. NT’s wanders the gap and interacts with a receptor {something

receptive in the next neuron)

4. Terminate that interaction with the receptor. (/ don 7 know why the

brain has to turn this stuff off quickly but it does.)

5. Destroy the NT or re-absorb it back into the original terminal.

NT release

terminal^

NT storing o

o

♦ o

o\

NT

receptor

NT capture

NT eject for re-uptake

NT= neurotransmitter

We can see, though, that this is a sensitive process. Lots of things

can alter it. Mess with the creation and storage. Mess with the release.

Mess with the receptor, mess with the shut off, and mess with the re-

absorption. The figure above shows two neurons with a gap between them.

One has terminals; the other has receptors. The neuron on the left has two

terminals about to release an NT; one terminal is ready to catch (re-

absorb) the NT just released by the receptor on the other neuron. There are

several wandering NT’s in the gap. The neuron on the right has receptors

receiving them quickly, closing off the receptor once it caught one, and

tossing the NT back into the fray to the terminals for re-absorption. One

terminal is ready to re-absorb the NT.

10

Two important NT’s are serotonin and dopamine. Dopamine has

many functions in the brain. Most importantly, dopamine is central to the

reward system. Low levels of dopamine may lead to depression. Serotonin

is sort of a midwife to the whole process. Serotonin wanders around in

between the bundles, in the gap there. Actually the bundles are emitting

and absorbing the serotonin all the time. They emit and reabsorb all kinds

of things. However, serotonin facilitates the communications. If there is

not enough serotonin around then the communication is faulty. A selective

serotonin reuptake inhibitor (SSRI) is a psychiatric drug that stops the

neural bundles from re-absorbing the serotonin [inhibits the re-

absorption]. So the serotonin stays around the gap a bit longer and is there

to aid communications. Drugs like Paxil, Prozac, and Zoloft are SSRTs.

Serotonin receptors - there are 3 main types and type 1 has 4

subtypes. One subtype seems to like the hippocampus area. Another type

is found in the 4^*^ layer of the cortex, etc. Anyway, if somehow there is

not enough serotonin in that gap then the neural signaling can go awry.

Back to the autonomic nervous system that keeps the basics going

so you don’t have to think about them. We left the hypothalamus telling

you what to do. It checks the status of your body and signals changes to

keep things stable. So you shiver when you are cold, you sweat when you

are hot, and you salivate when you are hungry. These signals play a role in

your emotions. They activate that “fight-or-flight” reaction, for example.

This also includes signals to adjust the hormone levels.

Cortisol

The endocrine glands (pituitary - in the brain, and adrenal - near

the kidneys) secrete hormones. One is important to stress. It is, naturally,

the “stress hormone,” cortisol. Cortisol is a

steroid hormone that regulates blood

pressure and cardiovascular function as well

as the body’s use of proteins, carbohydrates,

and fats for energy. A body under stress

(illness, trauma, even temperature extremes)

increases cortisol production. More cortisol

means storing extra sugar for fuel, pumping

up blood pressure, increasing heart rate, etc.

All these are responses to stress. High levels

of cortisol impair verbal memory performance

Cortisol Production

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Throughout a 24-hour day the level of cortisol in your blood

stream varies; high in the morning, low at midnight. The graph at the right

shows this variation over one day. Actually the cortisol levels are bumpy;

the smooth line is an average of the bumps.

Well, the feedback loops are looping, hormones buzzing, basics

going, and, as if it wasn’t busy enough, the brain engages in puzzles! Is it

harmful or safe? That’s a puzzle to solve. Well, let’s check the memory

banks for any background information on this, and then decide to make a

new memory, update an old one, ignore it, or take an action. The activity

level is continuous, multi-leveled, and easily disrupted. There are lots of

neurons firing, neuropeptides coming

and going, chemicals reacting, and

hormones, lots and lots of hormones.

Cognition, memory, and mood all

result from this constant activity of

electrical impulses through the

complex network of nerve cells

throughout the brain.

Cortisol molecule

Hippocampus and Amygdala

OK, loops, hormones, signals, senses, basics, puzzling. What’s

left? The solution. Something needs to make a decision. That means the

brain needs to check the databanks for past information that might help.

Enter that hippocampus. When you build or retrieve a specific memory,

the hippocampus brings together memory elements from all the sensory

areas. It stores them initially right there in its storage areas as short term

memories. When you tire of paying conscious attention to those memories,

it reorganizes them and moves them into other parts of the brain. Under

normal conditions, then, a short-term memory converts to a long-term

memory, the database entry is built, and the memory stashed away

accessible at some later time.

The amygdala gets involved in all this too. It mediates emotional

content. It is continually asking questions about current events and sensory

inputs: ‘'Is this a danger? Is this safe? Are we happy? Do I like this? Do I

need to worry? Do I need to start up the stress responses, trigger those

hormones?” It queries the hippocampus to check the database for past

instances of this event. It integrates information from internal chemistry.

O, CHjOH

Fall 2007

external events, and memories, anaches the emotions, and decides an

action.

Information arrives from the other parts of the brain: then an action

flows out. Finally a decision! ("Oh yes, this a good thing. I like french

fries." Take french fry and munch. "\ope, that's bad. I don't like bills."

Pay bill and grimace. "Ah-h, I remember that song." Gentle smile. "Ouch!

don V do thatr Bonk nose of nurse giving the shot. Well. OK. control the

bonk, but desire to bonk.)

Loops, basics, puzzling, signals, hormones, senses, database

building, database retrieval, and roila. we are ready to integrate to the

solution! The entire process goes on continuously. It is a veiy busy brain.

No wonder we get headaches!

.\nother way to look at this is to picture two systems, one hot and

one cool. The cool one is a cognitive, complex system (the thinker); the

hot one is an emotional-fear system (the trigger finger). The hippocampus

is cool. It records, in an unemotional and neutral manner, well-elaborated

autobiographical events, complete with their spatial-temporal context. It is

subject to control, (i.e., I can think

my way in and out of it. or I can

alter my interpretations and

reactions.) The amygdala is hot. It

reacts to un-integrated fragmentaiy

fear - it hooks directly to low-Ievel

fear responses. It is direct, quick,

highly emotional, and inflexible. It

keys more to instinct and is less

subject to easy control.

WTiat's normal? Both.

Eveiyone has hot and cool

memories. Your memoiy database stores it all. both the cool and the hot:

the cool system codes the context of the event: the hot system contributes

the emotional highlights of the event (specifically the ones associated with

fear). Later, a stimulus can evoke a hot memoiy and you relive the original

low-level response. A cool memoiy is narrative, recollective, and episodic

with a sense of time. You remember the event: you do not relive it or

mistake it for a current event.

WTiat happens if something interrupts or diverts all this signaling,

traffic control, and memoiy storage to the wTong place? There are many

good

Washington Academy of Sdences

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diseases that interfere with this process. When an interruption occurs, the

signals (the NT’s) falter, leading to a failed transmission of information

from one point to another in the brain. In some cases this loss may be

inconsequential. You never notice. In other cases it may cause a massive

failure of the system: loss of memory, misperception of reality or inability

to perceive reality, or inappropriate reaction. The graph above shows what

happens to a person’s memory performance over time when there are

small and large levels of cortisol present. Clearly when the body releases a

lot of cortisol in response to stress, a person’s memory performance

degrades. A little bit seems OK, and the body does have some cortisol

present all the time.

Trauma

Trauma breaks the normal processing. Trauma is danger. The

amygdala, busy with its continual questioning, determines that danger

exists. The brain triggers the intricate fight-or-flight chemical dance to

protect itself. “Do / run away, do I fight, do 1 shut down? Whatever I do, I

am going to do it right now?'

The “hot” drive for survival takes over. The brain is now in the

middle of the dangerous event. It is not “outside” looking in at this event,

and therefore, the entire system is not easily subject to rational control.

{Fm busy, damn it. Quit bothering me with logic.) The danger response

takes several actions. Some of them are instinctual. They come with the

brain at birth, hard-wired as it were. Until the danger signal is resolved,

the hot system is in charge. The cool system is disabled or put far in the

background. (/ don 7 care how much you think about it, it ain 7 gonna

change a thing. We are taking action pal, so give it up.)

One typical hot action protects the brain through dissociation.

(Everyone dissociates at some time or other. This is quite normal and

usually benign. The stupor that comes from a long boring drive is

dissociation.) The dissociated brain stops the horror of the event before it

becomes a full real-time impossible reality. It “walls off’ the event, and in

extreme cases induces amnesia. It is a very healthy survival technique.

A danger response also sets off a cycle of stress hormones that

zoom around the body doing lots of things like raising blood sugar, blood

pressure and heart rate, and interfering with digestion. The normal process

that builds short-term memory is disrupted because the brain needs to

focus its attention on the immediate danger. {No time to store this away to

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14

think about later, need to save the boch' now!) The body enters a state of

hyper vigilance with an increased acoustic startle response. That particular

response is a primitive reflex to threat and is seen in animals as well as

humans.

All this is necessaiy- when the body responds to a threat. The threat

is immediate. You need to fix it now, not next week but now. This is

short-term suiwival. We don’t make it to long-term sur\ival if we don’t fix

the short-term danger. WTiat is beneficial for short-term surv ival, however,

is not necessarily good for long-term health. So one hopes the trauma or

stress is short-lived and quickly resolved. Then the brain will, after a time,

recover from the danger signal, relax the hot system and let the cool

process become more active.

Trauma Goes Over into PTSD

If the trauma is prolonged, extreme or repetitive, it can actually

physically injure the brain. The best analogy is that the amygdala stays in

the alert state so long that it gets “stuck” there. It keeps the body from

operating a healthy combination of the hot and cool systems. The neuron

pathways in the amygdala lose their “elasticity” or abilitv' to recover.

''Hey ! I am still in danger here; I need to keep the bod}' read}' to fight!

OK, hippocampus, just sto}' cool and wait over there until I get back to

you. Yo, hormones, keep ‘em coming. Nobod}' ’s messing with MY swwival.

Liver, give me more sugar for energy', adrenals stay' with me now.'" WTioa.

You can see what happens. The body depletes its resources.

Remember the cool system is the one that puts things in time order

in the database. {So you don V confuse today' with five years ago.) Since the

cool system stays mostly “offline” or veiy^ weakly enabled during trauma,

it fails to put the right time stamp on all this activity', and so the real time

trauma events stay as fragmented disconnected memoiv' bits. With

fragmented memory bits, the memory' database is corrupt and has gaps.

But the body keeps sensing danger and sending out stress response signals.

The person keeps living “in the moment.” If this goes on long enough or is

severe enough, the person develops PTSD. Long after the original trauma

ends, the person suffers from the symptoms. He or she lives and responds

to “now” even though “now” may be a memory' fragment from long ago.

He or she cannot separate “now and safe” from “now and danger.”

The longer the vigilant state lasts the higher the chances of

permanent damage. The cool hippocampus cannot get to the long-term

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memories. The amygdala keeps shutting them down. Without the ability to

access the cool, cognitive solutions, the PTSD sufferer is unable to check

the safety of a current event, cannot distinguish danger from safety.

Current, safe events trigger flashbacks and other strange memory or

emotional signals. So the brain keeps retriggering itself all over again into

the hyper-alert state. Each new challenge and event is as dangerous as the

last. This phenomenon is sometimes known as sensitization.

The injury is real. The injury is physical. It is not mere confusion

or misdirected thinking, or sign of a weak character. It most certainly is

not a case of “just get over it.”

There is a special and sad vulnerability for children. During early

development, the brain enters a hyper-alert phase as part of the learning

and growing process. Children absorb an amazing of information in a

short time. They learn walking, talking, communication, and how to

control information. Children learn the difference between their actions

and themselves. They learn to separate themselves from their

environment. They build their identites. One pictures that alert little

amygdala busy processing all that new information from the world, storing

up experiences, defining rules, figuring out language and the power of

words {that ’s the terrible twos.), figuring out society, and ''look! See what

happens when 1 drop the ball - it falls to the floor and makes a noise and

rolls away. Will it do that again? Let’s see.'' Children are wonderful

scientists and natural experimenters. It must be an exciting time for the

brain.

What if there is trauma? Trauma can push this alert state to such

extremes that there is damage to the brain cells (PTSD). If the child stays

this way for an extended time, then memories that might have become

long term (and therefore retrievable later to the adult brain) are never

connected. She loses her memory of childhood. And she never fully builds

an integrated personality. This is not necessarily a multiple personality,

although in the most extreme cases, the child can develop the Dissociative

Identity Disorder (DID) that results in multiple personalities. Some people

have improperly characterized all such injuries as DID. Far more common

than DID, however, is the injured, traumatized personality that develops

PTSD.

In the case of a young child this is especially serious. It seems as if

children are bom with a brain filled with templates, some complete, most

needing some input from the environment to complete their stmcture. The

child fills in these templates as she grows and learns human behavior. At

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16

some critical point the child integrates all the templates into an executive

control, an identity, a self. The safer the environment the healthier the

final product. Probably by the age of six the templates are complete

enough to define a whole person.

If the child completes the integration, then she/he can endure a lot

of physical and mental attacks and not lose their identity. She/he will

develop their own strategies for survival. If however the trauma is severe

enough, then depending upon the trauma and when it occurred, one or

more particular templates may remain incomplete; she/he does not

integrate. Sadly, they do not know this has occurred. The painful future,

the misunderstandings to come, the failures and confusions, these will all

make little sense to them. They think that their brain is operating the same

way that everyone else’s brain does. They think they have the same

genetic templates and the same completed personality. They do not

understand why they have problems.

If there is enough fear, then the brain recognizes almost all real-

time input as a threat, and if the links are weak to begin with, the child

never learns to “touch” reality.

Acknowledge, Accept, and Accommodate

Certain problems are likely to occur with PTSD. They include

panic disorder, agoraphobia, obsessive-compulsive disorder, social anxiety

disorder, phobias, depression, sleep disorders, and substance abuse. These

disorders sometimes precede PTSD, but may also develop after the onset

of PTSD. Other medical problems like skin problems, pain, and

gastrointestinal distress, also seem to be more likely to occur in those

suffering from PTSD. Fortunately, successful treatment of PTSD often

results in the cessation of these problems.

PTSD is real, painful, and disabling. The cost is over 44 billion

dollars a year, 23 billion in direct medical costs. Fortunately, there are

now effective treatments for PTSD. Acting early may prevent PTSD from

becoming worse and causing problems in one’s career and relationships.

PTSD is treated by a variety of forms of psychotherapy (talk therapy) and

pharmacotherapy (medication). There is no single best treatment, but some

treatments appear to be quite promising, especially cognitive-behavioral

therapy (CBT). CBT includes a number of diverse but related techniques

such as cognitive restructuring, exposure therapy, and eye movement

Washington Academy of Sciences

17

desensitization and reprocessing (EMDR). Treatment can last from

months to years.

If you know someone who suffers from PTSD, what do you do?

Remember that your meta-language (body language) conveys 90% of your

message. Your words convey only 10% of your message. Convey positive

messages, not degrading ones. For example, in the workplace the

following are not good for anyone but disastrous for someone suffering

from PTSD: unstable physical environment, hostile environment, long

work hours, and stress. In handling PTSD as in handling any disability,

acknowledge, accept, and accommodate.

There are a large number of useful web sites on PTSD. Two of them are:

http://www.ncptsd.va.gov/ncmain/index.jsp is the Department of

Veteran’s Affairs National Center for PTSD and

http://www.nimh.nih.gov/HealthInformation/ptsdmenu.cfm is the National

Institutes of Health site for PTSD. Both have lots of useful information.

Endnotes

* Monomania is a type of paranoia in which the patient has only one idea

or type of ideas

" In the past, the term was most commonly used to refer to “General

paresis,” which was a symptom of untreated syphilis.

A dipsomaniac is a person with an uncontrollable craving for alcohol. It

differs from alcoholism in that it is an uncontrollable periodic lust for

alcohol, with, in the interim, no desire for alcoholic beverages.

Dipsomania is a dated term.

As a comparison, there are about 10^’ stars in our Galaxy.

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Washington Academy of Sciences

19

A THEORY OF PERSONAL DRIVE SATISFACTION

STRATEGIES AND THE CULTURE THEY GENERATE

Thomas Meylan

EvolvingSuccess®

Burtonsville, Md.

Abstract

Utilizing concepts derived from the field of evolutionary psychology,

two forms of collective behavior in human populations are explored.

Collective behavior (or group behavior, or team behavior, or communal

behavior) is examined as an outgrowth of individual Drive Satisfaction

Strategies. The presumption is that the most important element(s) in an

individual human being’s natural environment is now the artificial

social context within which one lives, and the people of whom these

social contexts are composed. This implies that for a human organism

to play the game of natural selection effectively, that organism will

need new clusters of behaviors that allow it to obtain needed resources

and avoid different types of dangers in this natural environment of new

and rapidly evolving social contexts. A Drive Satisfaction Strategy

(DSS) provides these clusters of behaviors. For human organisms there

are two types of DSSs. There are Competitive DSSs, and there are

Collaborative DSSs. There are two Competitive DSSs: Alpha Climbing

(the offensive strategy) and Status Quo Preserving (the defensive

strategy). There are two Collaborative DSSs: Leading (the strategic,

community-forming strategy) and Contributing (the tactical, solution-

forming strategy). The nature of the collective behavior is determined

by the types of DSSs most commonly at play in any given population.

If this collective behavior starts to exhibit habits practiced widely

among the population, we call those habits the culture of the group.

Introduction

Natural selection is not, as near as can be told, a social

phenomenon. However, it is clear that natural selection “conducts

experiments” with various forms of collective behavior, with examples

that include insect colonies and hives, fish schooling, pack hunting and

other herd behavior, as well as the various forms of social structure

exhibited by assorted great ape and human populations. What is it about

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collective behavior that could provide an individual organism advantages

as it plays out the game of natural selection? Some examples are

• The brute-force ability to do things as a group that individuals

alone simply couldn’t do.

• The classic “safety in numbers.”

• Greater group efficiency through behavior specialization

distributed across the group (as observed in ants and bees).

For animals, collective behaviors have to serve what we have

called Drive Satisfaction Strategies (DSS). Most animals operate on the

basis of one or, at most, two pre-wired {i.e., instinctive) DSSs to succeed

in the struggle of natural selection. These DSSs define a wide range of

pre-programmed behavioral responses to a pre-supposed set of

environmental conditions. Some instincts are open to a bit of modification,

and many are not.

It appears that human beings have the option of utilizing as many

as four DSSs, two of which actually supply an individual the ability to

design new behavioral responses. Perhaps more significantly, because of a

relative lack of instinctive behavioral presets, human beings are not locked

into environment-specific approaches to life. If an individual is placed in a

strange environment, he or she can usually find a means for coping with,

and eventually even thriving in, the new conditions. These two DSSs in

human beings that deliver behavior-design capabilities also deliver the

capabilities for designing collective behavior strategies.

Drive Satisfaction Strategies

Based on our readings in primate social behavior, combined with

our experience dealing with groups of business leaders and creative

working teams, we found it convenient to define a concept of the Drive

Satisfaction Strategy, or DSS for short. For great apes and humans, we

view these strategies as a locus of mental activity that establishes

individual drive priorities and the execution of behaviors to meet those

priorities. For convenience, here are the three primary drives that allow an

individual animal to play the game of natural selection most effectively

(see Meylan 2005^ for the derivation of these drives):

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• The drive to eliminate or avoid all forms of pain or discomfort.

• The drive to have sex.

• The drive to nurture offspring to self-sufficiency in the shortest

time possible.

The degree to which an animal’s behavior complies with these

drives (better than some other competitor in the environment) determines

its chances of transmitting those relative advantages to the next

generation. Social structure in human populations merely constitutes

another set of environmental conditions that have to be handled

successfully. These conditions can be handled in terms of winning the

game of natural selection, or conversely, in terms of personal human

gratification (especially in those cases when an individual has opted out of

the game of natural selection, such as those who practice birth control, or

as in the gay populations).

Culture

There have been many definitions of culture offered, each of which

certainly meets the needs of various students and investigators. Since our

ultimate aim with these studies is the formation of training applications to

improve leadership and the productivity of organizations, we have defined

culture in a specific way that lends itself to objective investigation. We

have also insisted that the definition pertains to observable human

behavior, because regardless of the motivations of people to act, all we

have sure access to is the record of their actual behaviors. With these

requirements in mind, we define culture for any given group in the

following way:

Culture is the complete collection of behavioral habits exhibited by

a group of human beings.

How the group is defined is dependent on the aspects of group

behavior one wishes to study. We usually study the culture of businesses,

since we’re interested in the behaviors that produce a business’s value (or

habitually detract from it, as the case may be). A lot of social science is

done on groups defined by their ethnic characteristics. Problems in culture

studies arise when a person wishing to understand one group over-

generalizes categories of behavior from some other group... usually “their

own.”

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For a varier\- of reasons, these over-generalizations are difficult to

avoid. One reason is that we actually seek to generalize from panicular

cases to larger classes of phenomena. That's a primaiy aim of science.

Over-generalization means we've insisted on mapping our findings to

cases that simply don't fit them. W’e will tiy not to do this anyway.

Positions "'At the Top ”

Smdies in groups and culmres often, if not always, attempt to

determine how the hierarchy in a group forms. Specific attention is given

to leadership roles. A common flaw in smdies such as these is the

assumption that the person at the top of the hierarchy is “the leader." In

watching business people at close range for some decades, obseivations

suggest that few groups have leaders in top positions. ^Mlat appears to be

the case most often is that the person “at the top" is merely the top

competitor in the group. Leadership may be of secondaiy interest to the

person at the top. but the chances of that being the case are slim: being top

competitor may be the only interest of that person.

We have defmed two DSSs that motivate people into positions at

the top. One is called Alpha Climbing. This occurs when an individual is

attempting to acquire a place in the social strucmre that delivers the

resources he or she wants for the level of efifon they're willing to exert. If

they exert enough effort they can get the top spot. The second DSS driving

people to the top is called Leading. This occurs when an individual is able

to coordinate group behavior in a way that delivers greater resource payoff

than working alone could for similar levels of effort.

The prevalence of people operating under either of these strategies

affects the rtpe of culture that forms in a given group. Groups dominated

by Alpha Climbers will succeed or fail based primarily on the strengths

and weaknesses of the climbers. Groups dominated by Leaders will

succeed or fail based on the abilit>' of the leaders to coordinate the

strengths and weaknesses of group members to accomplish “bigger

things.*'

Wj‘apping up the Introduction

The thoughts and behaviors of human beings are generated by a set

of habits we are calling a Drive Satisfaction Strateg>’. All animals have

them: most animals' DSSs are more heavily pre-coded than those of a

human being. Human DSSs tend to optimize the combination of habimal

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behavior (to save time in survival emergencies) and new learning (to adapt

quickly to unfamiliar environmental circumstances).

When a group of human beings gets together, their DSSs often

cause them to compete and conflict with each other. There are notable

exceptions to this general rule, however. Sometimes individuals recognize

important skills in each other that make certain tasks easier to accomplish,

or perhaps even make things impossible for individuals to do possible as a

group.

Methodology

There is a certain compulsion to be defensive when you strike out

on your own in a given field of study, as we are doing here. With little to

build on from other investigators, we are limited to extensive years of

experience as data, and a relatively new paradigm for understanding

human thought and behavior as an interpretive tool. However, training

seminars we have designed based upon this approach are proving effective

for most of the knowledge-based industries where they have been

presented.

In a previous paper we spent some time justifying the validity of

this work, and those who wish to see the fuller treatment may read it in

Meylan 2007^. The main points are distilled below.

• Evolutionary psychology (ev psych) literature has jumped from

building its own discipline to attempting answers for other

disciplines before it’s ready to generalize at that level.

• Previous attempts to integrate ev psych and industrial psych do not

exist.

• We are doing “rough science” from field observations.

• We assert evolution/natural selection as primarily a macro-scopic

phenomenon (as opposed to a genetically-driven micro-scopic

phenomenon).

• Observations on human work behaviors have been collected by

three people, over 100 years combined observations, including

over 50 years in management/leadership roles in a variety of

industries.

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• Long term observations have been combined with simple ev psych

principles to reverse engineer human thought and behavior to

obtain a system level model.

• More detailed analysis of external and internal sensing systems in

the human body and their effects on workplace emotional states

has been conducted using interpretive tools based in ev psych.

In this presentation we are extending previous work to understand

how the Drive Satisfaction Strategies of individuals produce interactions

among people to generate the habits of collective, group behavior. In most

animal existence individuals of any given species have to compete against

the environment, against other animals in the niche, and even against other

members of their own species. In a few cases, noted above, competition

instinctively gives way to various forms of collaborative behavior.

Humans, on the other hand, appear to make specific choices about

competing or collaborating, depending on specific factors such as payoff

for level of effort or previous success in working with known members of

earlier teams.

Drive Satisfaction Strategies in Detail

Unlike most animal species, environmental effects on human

beings are dominated by the presence of others of their own kind. Human

drive satisfaction almost always takes place in the context of an

association of people, or (more likely among North American knowledge

workers) networks of associations of people. Groups of people are the

most important features, and significant natural elements, in human

environments.

This suggests that much human thought and behavior is going to

be expended on the manipulation and management of other human beings

in the environment. As the human race moves from individual struggles

with the environment to labor specialization leading to the trade of goods

and services, individuals’ efforts in drawing resources directly from

Nature decrease while efforts in drawing resources from other human

beings increase. Individual skills in hunting or gathering are supplemented

(or eventually replaced) by interpersonal skills that allow people with a

surplus of “whatever” to acquire what they lack from another person with

a different surplus.

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At a point in natural history when virtually all resources have to be

acquired from an individual or organization, human DSSs become a

collection of skills and habits specifically suited to social interactions,

with abilities to draw drive satisfaction from unaltered natural resources

greatly atrophied or entirely lost. And even for those who still can farm, or

hunt, or make tools by hand, they have to have a community with which

they can trade to obtain their other needs. So the preponderance of drive

satisfaction skills must be interpersonal and social for human beings to

operate at their peak.

Drive Satisfaction Strategies, and the Mental Subsystems

that Support Them

In a previous paper (Meylan 2005^), we applied evolutionary

psychology and the information science technique of reverse engineering

to parse out the way human information processing might actually work,

from a systems engineering point of view. Of the four subsystems that

exercise identified, two of them strongly influence the nature of DSSs in

the social contexts we’ve outlined above. The older of these (from a

natural history point of view) is what we called the system of environment

condition assessments, which we experience most often as our emotions.

The more recent of the two we called the problem-solving system with its

extensive input/output subsystems. Each of these two information

processing systems in human beings supports a separate class of DSSs.

The system of environment condition assessments supports Competitive

DSSs, while the problem-solving system can support Collaborative DSSs.

There is frequently confusion about the relative moral distinctions

between competition and collaboration. It is often said that people who

compete are usually nasty, while people who collaborate are usually nicer.

This distinction must be discarded. While it may be true from a certain

point of view, the fact is that a DSS is always a self-serving approach to

daily existence. Everyone wants to avoid or eliminate all forms of pain or

discomfort in their lives. Everyone at times competes to accomplish this;

at other times people will collaborate. The context (including personal

history) guides the choice.

In these two classes of DSSs we have identified two DSSs per

class. In each class there is a DSS which can move people toward

positions “at the top,” and a DSS in each class that allows a person to

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maintain a stable and suitable location lower in the social structure. That’s

a total of only four DSSs we’ve uncovered for functioning in

environments where social interaction is required for survival. The Figure

below provides a schematic relationship among these four DSSs with

scales that may be useful in quantifying their significance for a given

individual in a given place and time.

Competitive Drive Satisfaction Strategies

The DSSs on the left half of the Figure are the Competitive DSSs,

Alpha Climbing and Status Quo Preserving. As noted above, these are

supported largely by the system that produces our experience of emotions.

This system is the current “end-product” of a very old mammalian

approach to drive satisfaction. It presumes under most circumstances that

there will be no assistance from any part of the environment to achieve

drive satisfaction. This presumption therefore provides the basis for

competitive DSSs in humans as well.

In the competitive mode an individual swings between Alpha

Climbing and Status Quo Preserving depending on opportunity, need, and

level of effort to acquire a drive-satisfying resource or otherwise eliminate

a discomfort. All humans start out as climbers in a human society, and

then switch to preserving their position when they’ve attained a place

where opportunity, need, and effort are balanced against the level of drive

satisfaction they have achieved. Even the person who succeeds at climbing

all the way “to the top” switches to the defensive. Status Quo Preserving

DSS to retain that top spot as long as possible.

Based as they are on ancient, mammalian wiring, competitive

DSSs will manifest emotional barriers to behaviors of the following kind:

• Leading (in the human, social sense)

• Following (also in the human, social sense)

• Delegating important tasks

• Following up on delegated tasks

• Seeking drive satisfaction solutions requiring help or assistance

• Trusting

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Competitive, Solo Approach

Collaborative, Team Approach

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Emotion Driven; Stability via Defense Rational Driven; Stability via Offense

People’s DSSs continuously shift on the basis of opportunity, threat, and need.

All people work toward stability in their living and working conditions.

In other words, most of the behaviors that make a civilized society

work are emotionally unnatural for human beings to execute. They create

various forms of emotional stress for individuals who attempt them. We

have observed this frequently in work places, where people “in charge”

often take “the lazy” or “the safe” path relative to employee interactions,

and where employees say they’ll undertake something but don’t follow

through. In a social setting populated by people executing competitive

DSSs, everyone remains a “lone wolf’ from a social and functional point

of view.

The strength of these emotional barriers against collectively

constructive behavior cannot be overstated. It is a basic part of human

physiology designed for success in a non-social or pre-social species. The

only thing that overcomes these natural emotional barriers is repeated

collaborative drive satisfaction success with other individuals. However,

once collaboration is over, or worse, when a former drive satisfaction

collaborator disappoints, the pre-wired emotional barriers go back up.

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Collaborative Drive Satisfaction Strategies

On the right half of the Figure are the collaborative DSSs, Leading

and Contributing. Leading and Contributing are only needed when tactics

requiring multiple human participants produce superior drive satisfaction

than working alone will. If the level of effort to participate in group drive

satisfaction is higher than the perceived value of the potential payoff,

people will be “disinclined” to participate.

The preceding paragraph implies two things: first, that human

beings are capable of deriving drive satisfaction tactics and solutions apart

from pre-wired motivations to act certain ways under certain conditions

and second, that individuals can evaluate the relative merits of one course

of action over another. These two implications are huge departures from

standard animal approaches to drive satisfaction. Collaborative DSSs are

solution oriented, not instinct based.

This implies, further, that individuals can approach drive

satisfaction either with a solution orientation, or with an emotion-laden

instinctive approach, whether or not a group is involved. In other words,

one can observe people who approach life as a series of solutions to be

worked out, and other people who approach life as an interpersonal

struggle to acquire and maintain status (not necessarily always high status

as much as a reliable status for acquiring life’s necessities). This has

tremendous implications for hiring, for example. Further, as the Figure

suggests, the mix of DSSs that any given individual uses at any given time

is likely to change as opportunity, threat, and need change. For example, a

hard-charging, “take-no-prisoners” Alpha Climber might also be quite

good and building effective, short-term teams to suit specific purposes to

gain tactical advantages over other climbers.

People working in the collaborative mode are attempting to build

effective, and usually superior, solutions out of sub-standard conditions.

Or if the conditions are actually good, it still requires the effective

coordination of a team to take advantage of them. In more primitive

situations, people can watch the team to see if they are effective or not. It

behooves individuals to find a way to associate with an effective team if it

increases their individual abilities to satisfy drives. Conversely, if a group

can’t produce, there’s no need to bother with it.

“Everybody loves a winner.”

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The Competitive Strategy of Alpha Climbing

Let’s now consider each specific DSS in turn.

Some species form colonies, packs, or troops that facilitate Drive

Satisfaction Strategies for the individuals that belong to them. In some of

these species there is a place of privilege in these groups where an

individual with qualifying characteristics either gets special treatment

from other members of the group, special access to resources, or both. The

terms “queen bee” and “alpha male” have come to signify this place of

privilege. Association with individuals in top positions also confers

special treatments. Primate studies, for instance, make it clear that females

also can obtain a place of privilege in the group when they are associated

with the alpha male.

The set of behaviors that brings an individual to alpha status is

termed the Alpha Climbing Drive Satisfaction Strategy. The whole point

of the climb is to improve treatment by the group or obtain better access to

resources.

When it comes to achieving true Alpha status in a primate group

there are usually a number of individuals competing to take it. This is the

most commonly “discussed” meaning of Alpha Climbing. However, the

fact of the matter is that everyone attempts the climbing competition. Most

participants, though, find the competition too demanding, and they settle

for a lesser position in the group. The important thing about this is that

this lesser preferred position still satisfies the “quitter’s” drives. They

climbed to the point where the drive satisfaction payoff was adequate for

the level of effort involved to acquire needed resources.

People utilizing the Alpha Climbing DSS often exhibit

characteristics such as the following:

• Climb to acquire more resources

• Consider most people as opponents

• View rules as something to control for advantage

• Mistrust communication among parties

• Keep agreements when convenient

The Competitive Strategy of Status Quo Preserving

If you’re not playing offence to earn Alpha status or climb to some

acceptable level, then you’re playing defense. Defense is an important

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competitive strategy. Even individuals who have topped out at the Alpha

position have to play defense to retain the title.

Every individual in a primate group who stops climbing starts to

defend the position of status and access to resources that they have

attained. This is the Status Quo Preserving Drive Satisfaction Strategy.

Under most conditions this strategy is implemented not only with

preserving access to status and resources in mind, but also to reduce the

level of effort needed to keep an effective defense against threats or

challenges. It is usually a “least level of effort” approach to drive

satisfaction maintenance.

People utilizing the Status Quo Preserving DSS often exhibit

characteristics such as the following:

• Desire to preserve availability of resources

• Consider most people as potential threats

• View rules as preserving the good

• Avoid communication where possible

• Avoid agreements where possible

The Collaborative Strategy of Leading

As an individual transitions from emotion-based competitive

strategies, it becomes increasingly important to operate on the basis of

solutions to problems. In human beings this is implemented as a symbol-

driven method for modeling local conditions along with the threats and

opportunities those conditions can generate. Further, this modeling

capability is not limited to assessments and plans for handling natural

conditions. It is also useful for modeling social conditions, and how they

can be used constructively to formulate solutions for improving the yield

of drive satisfaction activities.

There are times when a person can formulate a drive satisfaction

solution by using a team that delivers a payoff that would be greater than

if they all expended the same level of effort as separate individuals. In

fact, some of these solutions might not even be possible to execute without

a team. People who implement drives satisfaction solutions of this kind

are utilizing the Leading Drive Satisfaction Strategy. Leaders define the

opportunity or threat, draft a plan of action, organize personnel and

materiel, and set out to deliver the drive satisfaction solution with the team

fully engaged to work.

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Leaders are able to formulate solutions through symbol-driven,

rational processes that will be very effective yet emotionally

uncomfortable to implement. Why is this? This is because collaborative

solutions require levels of trust that are not part of the emotional

programming of animals, including human beings. Therefore, Leaders not

only have to (more or less rationally) identify the issue and compose a

solution, but they also have to overcome millions of years of naturally-

selected emotional baggage to form a team that will stick together long

enough to give Leaders and their proposed solutions a real try. This means

that there are times when Leaders have to be able to formulate effective

emotional appeals to a population, and sell or motivate some members on

the merits of a given plan of action in order to form the team or group.

People utilizing the Leading DSS often exhibit characteristics such

as the following:

• View resources as “leveragable”

• Consider people as partners in a mutual venture

• View rules as something to be discovered for each context

• Encourage wide networks of communication

• Renegotiate agreements as needed.

The Collaborative Strategy of Contributing

When people believe that they can leverage their efforts and the

energy they expend on drive satisfaction by collaborating with a group,

they are likely to utilize the Contributing Drive Satisfaction Strategy.

They recognize that their drive satisfaction payoff will go up while

operating with the group when compared to their operating alone.

What distinguishes this DSS from Status Quo Preserving?

Primarily, Contributors are looking for places to leverage their skills in a

group context. Instead of taking a defensive posture relative to their access

to resources. Contributors know they have skills that can be combined

with others to produce that higher drive satisfaction payoff They perhaps

can’t, or don’t wish to. Lead, but they have a clear sense about the benefits

of joining the right group, or following the right Leader.

People utilizing the Contributing DSS often exhibit characteristics

such as the following:

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• View resources as a shared commodity

• Consider people as potential team mates

• View rules as helpful guides

• Feel free to communicate as situations warrant

• Trust people to keep agreements in the same manner that they will.

One Human Being Using Any of Four DSSs as Needed

While we have defined four clearly distinguishable DSSs falling

under the two categories of “Competitive” and “Collaborative,” we have

also shown that people switch DSSs based on their local conditions. We

have also implied that individuals can combine them, such as when a top-

level Alpha Climber builds teams to facilitate a specific part of his or her

climb. The point is that we are not likely to find “true types” where people

only make use of one DSS at a time, or only one for their entire lifetime.

We can say, however, that at any given point in time we ought to be able

to identify the DSS that dominates any given individual’s behavior under

a given set of circumstances. It is usually on that basis that we interact

with people. It is also on that basis that we build managerial strategies

when leading groups of people.

Competitive Cultures vs. Collaborative Cultures

Let’s begin by reiterating our definition of culture:

Culture is the complete collection of behavioral habits exhibited by

a group of human beings.

The fraction of people within a group who share a given habit

determine that behavior’s strength as an element of the group’s culture.

Consider a group comprised of 100 members. A behavior unique to one

group member, or perhaps shared by one or two others, might not be

thought of as an element of the group’s culture. Conversely, a habit shared

by 90 or more members of the group could be thought of as an important

cultural element, regardless of how trivial the behavior might seem on the

surface.

Competitive Cultures

While there are many who believe themselves to be “above”

competing with their fellow human being, common observation makes it

clear that everyone does. The competitive behaviors might be guided by

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polite custom. They might be slow and undramatic. They might be rude

and churlish, as in the way high school women create their pecking orders.

The point is that human animals are emotionally geared for competition

just like all the rest of the large mammals on the planet. At this point the

human race does NOT constitute a special case.

What might make the human case special, but not unique, is that

the competitive environment INCLUDES competition with members of

one’s own species, and not just competition against the environment in

general, or against competing species in the same niche. It is this backdrop

of “in-group” competition that structures the foundations of all human

cultures.

Why is this so? This is because the members of the group

themselves ARE, or STRONGLY REPRESENT, the resources required

for drive satisfaction. If I make great stone tools, and you need them to be

the most successful hunter in the village, we’ll cut deals that will feed us

and our families more often than those who don’t have such skills to apply

to their DSSs. Too bad about the other village members who can’t “play at

our level.”

On the other hand. . .what just happened in that last paragraph?

Collaborative Cultures

I might like to make stone tools. I hate hunting, but I’m good

enough to do it if I have to. On the other hand, you might like the thrill of

the hunt, and just plain HATE sitting around and taking little chips out of

stones to make them extremely sharp. But if we can figure out how to do

it, we both could eat better if we each simply do what we like to do best.

So we collaborate; I supply hunting tools in exchange for fresh meat. You

can kill more animals more quickly than others, so you have a surplus to

trade with others in the village. The collaboration is a much more efficient

use of both of our drives satisfaction efforts.

On the other hand, it’s still a dog-eat-dog world out there. Maybe

other hunters want to use my products, so I cut collaborative deals with

them. That also gives me higher status as a climber in the village, a

competitive DSS. If that undercuts your monopoly on fresh meat, you get

mad and kill me, exercising the status quo preserving DSS. Now we all

lose because fierce greed, as displayed by the climb of the tool maker, or

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as displayed by the emotional fear of losing the top spot by the hunter,

destroyed the superior, rational solution created by working together.

Pockets of collaborative culture spring up for similar reasons today

and often shatter just as quickly because of the same emotional responses

that engender competition. People in successful pockets of collaboration

forget the rational, solution-oriented basis that gave them drive

satisfaction advantages, or in our modem times, business advantages.

These short scenarios illustrate some cmcial things about

collaborative cultures:

1. People creating a collaborative culture come together b.ecause

the solutions they can implement as a group for drive satisfaction

are superior to acting alone, or to competing with one another.

2. Whether consciously thought out or not, collaborative cultures

are rooted in rational, solution-building processes that produce

superior drive satisfaction results.

3. However, these cultures also often create social conditions that

are frequently at odds with our basic emotional makeup,

inherited from our large mammal ancestors.

4. If the success of the group generates strong emotions leading to

climbing or status quo preserving, the collaborative culture will

break down and the group members will revert back to wide

spread utilization of competitive DSSs.

5. This suggests that collaborative groups with the best insight into

human nature, and foresight to prevent the effects of emotion-

driven competition from destroying a successful group, will

establish mles for defining behavioral boundaries in order to

preserve the drive satisfaction advantages produced by the group.

Now, let’s continue our little pre-historic story a little longer.

When the village across the valley heard that these people had killed their

main weapons maker, they came storming down the valley, killed all the

males at our first village, and took all the females as sex slaves (can’t say

breeding stock: they probably didn’t know what sex REALLY does at that

point in time). This represents a serious loss in drive satisfaction

capabilities for our first village, doesn’t it? Especially, oddly enough, in

the areas of competitive advantage. This suggests a sixth point, namely

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6. In group-to-group competitive contexts, the group with the

most solution-oriented, innovative, and “self-sustaining” (in

terms of cohesion, resilience, and dedication to culture

preservation) collaborative culture is more likely to win.

It is through this type of argument that we ascribe evolutionary

advantages, as defined in the elassic theory of natural selection, to

collaborative cultures. Let’s look at a few properties observable in human

culture that are possible outcomes of Points 5 and 6.

Enforced Social ''Semi-collaboration ''

To begin with, despite the long-term tradition to the contrary, we

need to avoid the view that for the most part we live in artificial

environments. By analogy, if we think of wave action as a natural force re-

arranging the material along beaches, or if we think of ground water as a

natural foree re-arranging material underground to form caves, we can

think of the actions of human beings as a natural foree that also re-

arranges materials. In so doing, environments ean be ereated that make

drives satisfaction activities more efficient.

But what happens if these environments become more dangerous

than undeveloped regions of land? What happens when the natural force

of human aetion becomes great enough to threaten drive satisfaction

activities? What happens if collections of human beings prey on each

other with greater efficiency than they could if they lived in smaller, less

successful groups (such as other great apes do)? If communal living is

dominated by competition, then the group is merely a stockpile of

resources for the top competitors. On the other hand, if communal living is

dominated by collaboration, the force of humanity on nature can become

great enough to modify it in bigger and better ways for human drive

satisfaetion aetivities.

Yet we know that climbing is a pervasive and often dangerous

activity. We know that we have to defend our accrued resources against

criminal invasion and theft. Just because we all can intellectual affirm,

“Yes, collaboration is the way human communities should operate,” we

know that the pre-wired emotions we retain from our evolutionary past

cause large numbers of people to act in self-interested ways that are a

detriment to society as a whole, to members of their own group, and

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36

therefore, ultimately, a detriment to the achievement of even greater

personal goals.

This emotion-based, blind self-interest is what reduces the

efficiency of communal living, sometimes to the point where leaving a

group that is dysfunctional for drive satisfaction is the only course left for

individuals to take. What can a group do to prevent people from seeking

communities that serve their drive satisfaction needs more effectively?

While there is a whole spectrum of possibilities, let’s define just

two broad classes of things that groups have done. At the lowest level,

they’ve established rules to prevent infringements on people’s freedom to

act out their DSSs, and to preserve the resources they’ve acquired through

those activities. Early ancient legal codes prescribe various forms of

“personal non-interference” ranging from the acquisition of mates to

leaving other people’s property (including mates) alone, to public health

practices.

These are minimal efforts at “enforced semi-collaboration.” They

are in place merely to keep large numbers of human competitors from

preying on each other, especially in environments where other groups are

part of the regional competitive landscape. Social behaviors that weaken

your group’s ability to respond to challenges from other groups in your

region reduce the drive satisfaction capabilities of your group. Groups

have defined criminal law, civil law, religious law, moral codes, and other

mechanisms to keep human beings from preying on each other within

groups and increasingly dense urban populations. The large body of

contract law that has evolved over centuries also serves to enforce

collaboration in the face of parties who may frequently find reasons to

break agreements when advantages to do so become apparent.

Social-level ''Intentional Collaboration ”

The second broad class of approaches in large scale collaboration

has fewer examples of note, but this is perhaps understood by the nature of

collaborative strategies: they are situational. Whereas enforced

collaboration in the sense defined above is a continuous need for social

cohesion, “intentional collaboration” requires in the least a vision of the

upside potential of working together to achieve greater “per unit outpuf ’

from drive satisfaction activities. At this point we begin to see the

appearance of various requisite leadership skills.

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37

As it happens, most groups that form to improve the efficiency of

their drives satisfaction activities also include safeguards against

counterproductive competitive behavior on the part of group members.

The skilled trade unions of medieval Europe, as well as the agreements of

the Hanseatic League of northern Europe provide some examples.

The US Declaration of Independence and US Constitution are

explicitly “intentionally collaborative” in the sense that they ground the

intentions of the nation as supporting “life, liberty, and the pursuit of

happiness” and providing a legal framework for developing a complete

continent. While they also establish the means to keep civil peace, they

take a much more positive stance on the opportunities available to

common citizens living within the jurisdiction of the US.

There are groups as well, which are almost completely supportive

of the drive satisfaction activities of their members. In modem business,

the Fortune 100 Best Places to Work exhibits companies who take the

personal drive satisfaction activities of their employees very seriously by

facilitating their personal DSSs in a variety of ways appropriate for

modem worker lifestyles. Best Places to Work reap a much greater return

on investment (ROI) for their labor dollars by engendering a drive-based

level of tmst between company and employee.

Conclusions

Evolutionary psychology can be utilized to link the requirements

of individual success in the game of natural selection to various forms of

collective behavior exhibited by some species. We have focused, for

practical reasons, on the collective behaviors of human beings.

The behaviors of individual human beings must deliver certain

levels of success in terms of reproductive success. Cmdely speaking, this

means living long enough to have lots of kids, mating often enough to

create lots of kids, and training as many kids as possible to be successful

adults in as short of a time as possible. We have identified four Drive

Satisfaction Strategies, split between the Competitive and Collaborative

classes of DSSs, which allow individuals to build successful sets of

behaviors relative to the principles of natural selection.

These two classes of DSSs function in the formation of two

distinct types of human cultures, those being, obviously. Competitive

Cultures, and Collaborative Cultures. The default human culture is

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Competitive. This is because human thought and behavior is dominated by

old mammalian emotional wiring. However, people who approach their

drive satisfaction activities with a predominantly “solution-based”

orientation will often need the cooperation of neighbors to execute a high-

payoff solution. In these cases collaboration becomes an important part of

the collective behavior set. If the group persists in this communal-based

solution mode, they will likely form a Collaborative Culture.

Collaborative Cultures, however, were demonstrated to be fragile. The

group needs to have or retain some form of purpose to justify the

collaboration or the group will fall apart. Also, very successful

Collaborative Cultures can fall victim to their own successes, where the

abundance created by collaborative activities generates new levels of

greed. This creates a new cycle of competition to grab up the excess.

Emotions flare, and collaboration dies. The pervasive, emotion-driven

Competitive Culture re-emerges from the social backdrop to re-assert

itself as the default human culture.

Lastly, we examined the possibility of setting up systems of rules

or bodies of law that could either protect people in a group or society from

each other, or that could actually promote a wider range of drive

satisfaction options for its members. In the first case, protecting each other

from various forms of personal aggression, the aim is to keep inherently

competitive, and often violent, behavior from taking too large a toll on a

society. This prevents social order from collapsing, and allows people

some measure of security for themselves and for the goods they might

accrue. In the second case, law can be a means of promoting and

supporting wider possibilities for collaboration, going beyond mere

security against internal strife and creating expansive environments of

economic opportunity.

Notes

^ Thomas Meylan, “Using Evolutionary Psychology and Information Systems

Engineering to Understand Workplace Patterns of Thought and Behavior: An Empirical

Model of Human Information Processing,” Autumn, 2005, Quarterly Journal of the

Washington Academy of Sciences.

^Thomas Meylan, “Environmental Impacts on Human Moods and Emotions:

Implications for Workplace and Workflow Design,” Winter, 2007, Quarterly Journal of

the Washington Academy of Sciences.

Washington Academy of Sciences

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A FAMILY OF SCIENTISTS

In honor and memory of one of our own the Washington Academy of

Sciences takes pride in presenting a reprint of a paper by Harvey C.

Hayes, a member of the WAS more than half a century ago. The paper is

reprinted by the kind permission of the Franklin Institute and first

appeared in The Journal of The Franklin Institute Vol. 197, No. 3, pp.

323-354 (March, 1924). Dr. Hayes’s step grandson, James C. Cole, also an

acoustic scientist, is currently an officer of the Washington Academy of

Sciences, and we are grateful to him for providing much of the

information below.

Dr. Harvey C. Hayes was a pioneer in the investigation of

underwater acoustics and was the first recipient of the “Pioneer in

Underwater Acoustics” award from the Acoustical Society of America. He

was also awarded the Levy gold metal and the John Scott medal, both

from the Franklin Institute, and the Cullum geographical metal engraved

with the inscription “Harvey C. Hayes ^ — He supplied science with a new

instrument for mapping the ocean floor and thereby opened a new chapter

in Marine Physiography 1925.” Dr. Hayes served on the executive council

of the Acoustical Society of America from 1935-1938 and in 1960 was

elected as one of only 17 Honorary Fellows, as of 2007.

Dr. Hayes began his career with the Navy during World War I,

working at the Navy Experimental Station located at Fort Trumbull, New

London, Connecticut. After the war, he continued his efforts at the Navy

Experimental Station in Annapolis, Maryland. Dr. Hayes became the first

superintendent of the Naval Research Laboratory’s Sound Division when

the laboratory opened in 1923 and served in that position for 24 years,

retiring in 1947 after serving the Navy for a total of 30 years.

Dr. Hayes’ research included a broad range of acoustics research

topics. In addition to the sonic depth finder and the development of

operational sonars for the Navy, he also explored diverse areas such as

lamination defects in metal plates, electrodynamic sound projectors, sound

radiation from ships propellers, acoustically transparent materials for

sonar domes, microphones and accelerometers.

“Dr. Hayes is recognized as the first person to accumulate any

substantial amount of data at sea and was later responsible for one of the

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two operational sonar equipments used by the Navy at the outbreak of

World War II.”[1]. Hayes’ sea data collection is described by Gary Weir

from the U.S. Navy Historical Center [2], ‘To the universal acclaim of the

scientific community, Hayes had then used his invention (the sonic depth

finder (SDF) [3]) to make the first complete bottom profile of any ocean,

during the June 1922 transatlantic crossing of the destroyer Stewart

(DD224) from Newport, RJiode Island, to Gibraltar. With Hayes on

board, the Stewart, . . . made 900 soundings of the ocean to depths beyond

three thousand feet. The news of this accomplishment went through the

scientific community like a bolt of lightning. ... The Navy’s new

instrument gave scientists their first look at the configuration of the ocean

floor in all its irregularity. Sound now at last began to reveal what years of

work with rope and wire soundings lines had only suggested. Civilian

science quickly concluded that the number and range of naval vessels as

well as the revolutionary potential of the SDF made the U.S. Navy an

indispensable partner in the exploration of the ocean.”

Included here is a tribute to Dr. Hayes on the occasion of the

dedication of the Harvey C. Hayes Room of Quarter A at the Naval

Research Laboratory, May 21, 1999.

“.. .the enemy has rendered the U-boat ineffective, not by

superior tactics or strategy, but through superiority in the

field of science, which finds its expression in the modem

battle weapon — detection.” Admiral Karl Doenitz.

“These are among the highest words of tribute to the genius and

inventiveness of the Navy’s acoustic pioneers spearheaded by Dr. Harvey

Cornelius Hayes, after whom the USNS Hayes [4] is named, in a

recovered report by Karl Doenitz, Grand Admiral of the German Navy

during World War II.”[5]

Currently Patent Office searches prior to 1975 cannot be searched

by inventor; for the interested reader we list the patent numbers of 73

patents awarded to Harvey C. Hayes. Copies of these patents can be

obtained at http://www.uspto.gov/ or http://www.pat2pdf org/.

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41

Patents Issued to Harvey C. Hayes (1923- 1944)

2,433,845

References

[1] J. Schultz, “Family donates collection highlighting distinguished

scientific career of Dr. Harvey C. Hayes”, Labstracts, U.S. Government

Printing Office 19285-361-1053, June?, 1999.

[2] G. Weir, “Surviving the Peace: The Advent of American Naval

Oceanography, 1914-1924,”Naval War College Review, V. L, No. 4,

Autumn 1997.

[3] H.C. Hayes, “The sonic depth finder”. Proceed. Amer. Philosophical

Society, V. LXIII, No. 1, pp. 134-150, 1924

[4] USNS Hayes (T-AGOR-16), commissioned July 2, 1970.

[5] NRL Brochure for the occasion of the dedication of the Harvey C.

Hayes Room of Quarters A at the Naval Research Laboratory, May 21,

1999.

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Washington Academy of Sciences

43

MEASURING OCEAN DEPTHS BY ACOUSTICAL

METHODS'

HARVEY C. HAYES, Ph.D.

Research Physicist, U. S. Navy

The possibility of measuring ocean depths by acoustical methods

has been recognized for a number of years and numerous methods and

devices developed and designed for this purpose are listed in the patent

office. Most of these devices attempt to determine the depth in terms of

the time required for a sound signal to travel to the sea-bottom and reflect

back again -to the surface.

One of the first patents pertaining to this art was granted to A. F.

Hells, of Boston, Massachusetts, wherein he was allowed two broad claims

covering the method of determining depths by measuring the time

intervening between the transmitting of a sound signal near the sea-surface

and the return of its echo from the sea-bottom. Since then numerous

patents have been, taken out covering specific apparatus designed for

measuring this time interval, but none of these devices has proved to be

practical for the reason that they have failed in most cases to measure the

time interval in question with sufficient reliability and accuracy, and in

many cases have proved to be too delicate to withstand the adverse

conditions often met with on sea-going vessels and too complicated to be

operated by a ship's personnel. A brief description of some of these

devices follows: Fig. 1 shows the principle of operation of a sounding

device invented by Reginald A. Fessenden.^ Numeral 1 represents a disc

made of insulating material that is rotated at a uniform speed by motor (2).

The disc carries a conducting segment (3) that closes the electrical circuit

through a submarine sound transmitter (4) when it passes beneath brushes

(5), thereby sending out a sound signal. This segment also closes the

circuit through a telephone receiver (6) when it passes across the brushes

(7). If the echo of the signal meets the microphone or other type of sound

receiver represented by numeral 8 at the instant segment (3) short-circuits

brushes (7), it will be heard in the telephone receiver (6) and the time of

' Presented at the Stated Meeting of the Institute held Wednesday, March 21, 1923.

Reprinted by permission from The Franklin Institute, The Journal of The Franklin

Institute. Vol. 197, No. 3, pp. 323-354 (March, 1924).

^ For a more complete description of the Fessenden depth-sounding apparatus, see U. S.

Patent No. 1,217,585.

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sound transmit from the transmitter to the receiver by wav of reflection

from the sea-bottom will be equal to the time required for segment (3) to

travel the angular distance subtended between the two pairs of brushes and

indicated by the pointer (9) on the scale (10). This condition is brought

about by rotating brushes (7) about the insulating disc (1) by means of the

handle (11).

Figure 1

In practice the disc must be rotated at considerable speed or the

angle swept out by the segment while the sound travels to the sea-bottom

and back will be too small to measure with sufficient accuracy. This

results in sending out sound signals in rapid succession and the return of

echoes from the sea-bottom in still more rapid succession for the reason

that a sound signal usually echoes back and forth between, the surface and

sea-bottom several times before its energy is absorbed. Under such

conditions sound can be heard in the telephone for numerous settings of

the brushes (7) and the relation between the depth and the scale reading

becomes indefinite.

Another device for measuring this time interval makes use of an

electromagnetic recorder. This device, illustrated in principle in Fig. 2,

attempts to determine the short-time intervals involved in taking shallow

soundings by recording the transmitted signal and its returning echo on the

magnetic tape (1), while it is driven rapidly by means of variable speed

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45

motors (2), and then measuring the time interval between the two records

when the tape is run at a much slower speed. This measured time interval

multiplied by the ratio of the reduced speed to the recording speed gives

the time interval between signal and echo. In the figure, numeral 3

represents the recording and reproducing magnets. These also serve for

erasing the record. Numeral 4 represents a double- throw double-pole

switch by means of which magnets (3) can be inductively connected with

transmitter (5) and receiver (6) for recording the signal and its echo, or

with the telephone head set (7) for hearing the reproduced record. The

rheostat for controlling the speed of the motors is indicated by numeral 8.

Fig. 2.

This method, while excellent from the standpoint of theory, has not proved

to be practical for the following reasons:

(a) The magnetic tape does not record the signals unless their intensity

is above a certain threshold value, which is comparatively high,

and the echoes cannot be kept above this value over regions where

the coefficient of reflection of the sea-bottom is low or over

regions where the depth is great.

(b) The local disturbing noises always present on shipboard are

comparatively intense and their record ofttimes distorts the record

of the signals and echoes to such an extent that they cannot be

readily recognized, and as a result the time interval cannot be

accurately measured.

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(c) It is difficult to determine accurately the ratio between the

reproducing and recording speeds of the motor.

(d) The time interval, as measured at the retarded speed, cannot be

determined with a high degree of accuracy for the reason that the

record of both the signal and the echo then becomes less sharply

defined; and although this method of determining the short interval

between signal and echo results in some gain in accuracy, the gain

is not proportional to the ratio between the recording and

reproducing speeds.

(e) Finally the method is too slow to give soundings on short notice, as

is ofttimes desirable when a ship is in dangerous waters.

Samuel Spitz, of Oakland, California, has attempted to measure

ocean depths with apparatus that first records the signal and its echo on a

magnetic tape and then amplifies the reproduced record. He utilizes this

increased electrical output to operate a complicated system of relays and

magnetic clutches and claims to accurately record by means of a pointer

and dial the depth corresponding to the time interval between signal and

echo as recorded on the tape. His method and apparatus, as disclosed in,

U. S. Patent 1,409,794, would appear to have the inherent weaknesses of

the “magnetic tape method” plus the difficulties and uncertainties that are

always present to a greater or less degree in complicated relay systems.

But even if the relays should function perfectly, it would seem that the

local disturbing noises, caused by propellers, auxiliary machinery and

slapping of waves, which (no matter how selective the receiving system

may be) are recorded on the magnetic tape to some extent, would ofttimes

trigger off the automatic recording apparatus and give erroneous records

of depth that might be misleading. A depth-sounding device is worse than

useless unless it can be absolutely depended upon, to give reliable

sounding data at all times.

Alexander Behm, of Kiel, Germany, started work on the problem

of measuring ocean depths by means of sound waves about twelve years

ago. His first efforts were devoted to methods that involved measuring the

time interval between signal and echo. Recognizing the inherent

difficulties in making such measurements, he turned his attention to the

possibility of making depth determinations by measuring the intensity of

the echo. His method of doing this can be understood in connection with

Fig. 3 wherein numeral 1 represents a submarine sound transmitter

designed to produce a fairly pure sound of constant intensity and pitch.

The sound passes from the transmitter to the sea-bottom and a portion

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reflects back to the receiver, represented by numeral 2, where by acting

upon a resonant chamber it causes a tuning fork to vibrate. He measures

the intensity of the echo in terms of the amplitude of vibration of a small

bead carried by one prong of the fork and observes the amplitude of its

motion by means of a microscope. And since the intensity of the echo and

the amplitude of vibration of the fork are each a function of the depth, he

calibrates the microscope scale directly in terms of depth.

While this method avoids the difficulties encountered in measuring

short time intervals, it introduces others that are equally hard to overcome

and one that cannot be overcome. It is very difficult to generate a sound

having constant intensity and pitch under various operating conditions,

and it is equally difficult to keep a receiver accurately tuned to this pitch

and of unvarying sensitivity. It is probable that Doctor Behm has gone far

toward overcoming these two difficulties, but we fail to see how he can

make allowance for the variations of the coefficient of reflection of the

sea-bottom where, according to our observations, this factor may change

as much as 25 per cent over comparatively short distances.

It is probable that Doctor Behm fully recognized these weaknesses

in his method and apparatus for he later resumed his efforts to measure the

time between signal and echo and has finally succeeded in making this

measurement with a high degree of accuracy with comparatively simple

and rugged apparatus. His transmitter, represented by numeral 1 of Fig. 4,

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consists of a tube extended through the ship's skin and the sound signal is

produced by exploding a cartridge that has been slipped into position in

this tube. The cartridge is fired electrically by closing a key mounted

on or near the recording apparatus which is located in the chart house or

on the bridge. The receiver is mounted in a similar tube, numeral 2,

projecting from the opposite side of the ship's hull where it is shielded

from the direct sound generated by the cartridge. The means for recording

the time of sound transit between transmitter and receiver by way of

reflection from the sea-bottom consists of an ingenious design of

chronograph that is started moving when the cartridge is fired and stopped

by the fluctuation in the receiver circuit when the sound wave, reflected

from the sea-bottom, strikes the receiver.

This sounding device, which the inventor calls the Behm-Echolot,

represents a large amount of excellent research and the exercise of

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49

considerable ingenuity. It should give reliable sounding data for depths

within about eight) fathoms.

As an instrument for aiding navigation, any depth-sounding device

should be able to do more than determine the depth of water occasionally.

It should serve to take any number of soundings in rapid succession in

order that well-defined charted contours may be identified with certainty

and thus serve for determining the position of the vessel. In case of the

Behm-Echolot this would not only require a very large supply of

cartridges, but would prove to be expensive.

It has been found in practice that a determination of the slope of

the sea-bottom is helpful in locating ' landmarks " along a charted route

and that the value of a depth-sounding device, as an aid and safeguard to

navigation, is greatly enhanced if it will also serve to determine the

direction of sound beacons at dangerous points along shore and at harbor

entrances, and also signals from other vessels. The depth-sounding devices

developed in the U. S. Navy, and which will now be described, serve these

purposes. The determination of depth by acoustical methods was assigned

as a research problem in the Bureau of Engineering of the U. S. Navy as a

result of a discovery made on the transport U. S. S. Von Steuben during a

trip from New York to Brest in March, 1919. This vessel had been

equipped with one of the submarine sound receivers that the Navy had

developed at its New London Station for use in locating U-boats and it

was proposed to test the value of the device as an aid and safeguard to

navigation. It was found that the direction of nearby vessels and submarine

bell signals could be accurately determined while leaving New York

harbor and when approaching Brest, but that in mid-ocean the propeller

sounds of other vessels as well as of the Von Steuben herself could not be

heard. This fact led to the discovery that the only sounds heard in a

submarine sound receiver located near the surface are the components that

have been reflected from the sea-bottom. The explanation of this fact can

be readily understood by referring to Fig. 5 wherein (A- A) represents the

sea-surface, {B-B) the sea-bottom, and T and R a sound transmitter and a

sound receiver, respectively, each submerged a distance represented by

{P-Q). If the distance {P-Q) is small compared with the distance {T-R)

(as is usually true in practice), then the two sound paths (T -P -R) and (T

-Q -R) are practically of equal length. Sound from T reaches R by the

three paths {T-P-R), {T-Q-R), and {T-O-R), but since the two paths

{T-P-R) and {T-Q-R) are practically equal and since the surface-reflected

ray suffers a change of phase of a half a wave-length upon reflection, the

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sound traversing these two paths interferes destructively at R and only the

sound that has been reflected from the sea-bottom can be heard.

Mutual cancellation of direct and surface -reflected rays*

Figure 5

As soon as it was discovered that the sounds heard in our receivers

had arrived by way of reflection from the sea-bottom, it appeared probable

that methods could be developed for determining the depth of the water by

means of submarine sound waves, providing the character of the sea-

bottom in general is such as to reflect sufficient sound energy to give an

audible echo. Before starting this work some preliminary tests on the

efficiency of the deep-sea floor as a sound reflector were made on the

destroyer U. S. S. Wilks which showed that clear audible echoes of signals

from submarine sound oscillators could be received from depths at least as

great as 2000 fathoms. Since that time good echoes have been received in

depths greater than, 3000 fathoms and so far as the author knows there has

been no case reported where echoes could not be heard.

It should be stated, however, that nothing definite is known

regarding the coefficient of reflection of the sea-bottom other than the fact

that echoes have been heard over such regions or routes as have been

tested. Over certain regions it has been noted that the echoes are much less

clear-cut than are the signals. This distortion is doubtless due to a gradual

change in the density of the material forming the sea-bottom. But the fact

that an echo is heard at all would seem to argue against the somewhat

general conception that the deep-sea bottom consists of an ooze-like

deposit perhaps hundreds of feet thick, the density of which increases very

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slowly from the top to the rock foundation beneath. From the character of

the echoes one would judge that the density of the ooze does not vary

much from that of water throughout its depth or else that it has settled to a

dense foundation, except for a comparatively shallow region near its

surface. If the first assumption is true, the sound penetrates the ooze and

reflects from the underlying rock. If the second is true, the sound reflects

from the solidified ooze and the comparatively thin transition layers

immediately above this.

Three methods have been developed for determining ocean depths

by means of sound waves, two of which serve for measuring depths less

than about one hundred fathoms and one of which serves for measuring

any depth greater than about forty fathoms. All three methods make use of

the time required for a sound signal to travel from a transmitter to a

receiver by way of reflection from the sea-bottom. It will be seen that this

time interval, which is too short to be measured directly with sufficient

accuracy, can be determined indirectly as a function of a much shorter

time interval that can be very accurately measured. Of the two methods

that serve for determining shoal depths, one has been termed the "Angle of

Reflection Method" and the other the “Standing Wave Method.” The

method that serves for greater depths has been called the “Echo Method.”

The angle of reflection method can be understood by referring to

Fig. 6, wherein {B-B) represents the sea-bottom (supposed for

convenience to be horizontal), and {S-S) represents the surface. The

propeller {P) of the vessel represents a sound source and R\ and R2

represent two sound receivers mounted within the peak-tank or within a

blister-like enclosed space on the outside of the ship’s skin. These

receivers are spaced a distance ( I ) on a horizontal line passing through the

propeller. The distance between P and the mid-point between the two

receivers is 2L. The path of the sound waves from propeller to receivers

will be {P-O-R). If the sea-bottom is horizontal, the triangle (P-O-R) is

isosceles, having the side {P-O) equal to the side {O-R). If IT represents

the time of sound transit from P to R, and V represents the velocity of

sound in sea-water, then.

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Sounding by angle of neflection method.

Figure 6

(\) = {V.Tf -

V‘T i

(2) and — ^ (corresponding sides of similar triangles)

(3) wherefore V»T = - ^ ,

V*AT

Substituting the value of (V.T) in equation (1) gives

V--{A>T) [ F^(Ar) j

(5) wherefore H = L

-F^.(A7')"

V-AT

where AT is the difference in the time of arrival at the two receivers of

corresponding increments of the propeller sounds. The total depth (Z)) is

given by the equation:

(6) D = C^H = C + L

sle^-V^AT^

V>AT

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All the factors on the right-hand side of equation (6) are constant and

known except AT". The distance the receivers and propellers are submerged

is C, half the distance from the propellers (or whatever source of sound is

used) is L, the spacing of the two receivers is I , and V is the velocity of

sound in sea- water which may be regarded as constant. The determination

of depth therefore depends upon the determination of AT. This time factor,

though much smaller than the time interval between signal and echo, can

be determined with a high degree of accuracy by making use of the so-

called binaural sense.

It has been proved experimentally that the direction of sounds is

largely determined by the difference in the time of arrival of

corresponding portions of the sound waves at the two ears. If the sound

strikes the right ear first one unconsciously judges the source to be located

at his right, if it strikes the left ear first he judges the source to be located

to his left. If the sound strikes both ears simultaneously it appears to be

neither to the right nor left and is said to be binaurally centred. The sense

of direction of sounds, which is dependent upon the difference in the time

of arrival at the two ears, has come to be called the “binaural sense.”

When one judges the direction of a sound to be neither to his right nor left,

or in other words, when he judges it to be binaurally centred, he

unconsciously estimates that the sound waves strike the two ears

simultaneously; and the high development of the binaural sense is such

that he estimates correctly to within about one two-hundred-thousandth of

a second.

Of the two receivers shown in Fig. 6, suppose the output from one

is brought to one ear of the operator, and that from the other receiver is led

to the other ear, respectively. If the time of energy transit to the ear from

each receiver is the same, the difference in the time of arrival of the sound

at the two ears will be AT, the time difference in arrival at the two

receivers, and, through the operation of the binaural sense, the sound will

appear to come from the side of the operator because one ear is stimulated

earlier than the other. Moreover, the sound will appear to be located on the

side of the observer carrying the ear that receives the earlier stimulation. If

now the energy-conducting path leading from each receiver to its

respective ear be constructed so that the time of transit over the path can

be varied continuously or by very small increments, it will be possible for

the operator to make the sound reach his two ears simultaneously by

increasing the time of transit across the path leading to the ear that is first

stimulated or decreasing the time of transit between the other receiver and

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its respective ear or by increasing the time of transit to one ear and

simultaneously decreasing the time of transit to the other ear by a proper

amount. When the sound has been binaurally centred in this way the

difference in the time of transit across the two paths, connecting between

the two receivers and the observer's ears, respectively, is equal to the time

increment (AT).

The process of binaurally centring a sound in this way has been

called “compensation,”^ and any device used for this purpose is called a

“compensator.” It is evident that the compensator can be calibrated to give

the value of AT or any function of AT, and as a result can be calibrated to

give the depth (D) directly. This is done in practice.

It is to be noticed that the last term of equation (6) can be written

as the tangent of the angle ((|)) that the direction (O-R) makes with the

horizontal line (P-R) and that equation (6) can be written:

{!) D = C + L tan (\>.

When the sounding equation is put in this form it becomes obvious

that the sounding data given by the angle of reflection method become

more accurate as the depth becomes less, a result much to be desired. On

the other hand, it shows that the method breaks down for depths so great

that the angle (p) approaches a right angle. It has been found in practice

that this method gives reliable soundings to depths equal to about three

times the distance between the sound source and the receivers. For most

vessels this will cover depths as great as 100 fathoms and ofttimes more.

It is evident that the method, as described, becomes inaccurate

when the slope of the sea-bottom varies from the horizontal for the reason

that the triangle (P-O-R) will not be isosceles. In. general the method

gives too great values when the vessel approaches shoaling water and too

small when running into

^ The process of binaurally centring a sound by compensation was developed by the Navy

in 1917-18 at its research station in New London, Conn. For a more complete description

of the process, see Proc. Amer. Phil. Soc., 59, No. 1, 1920, or the Marine Rev., Oct.,

1921.

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Method for eliminating error due to shelving; bottom.

Figure 7

increasing depths. In most regions the sea-bottom within the hundred

fathom curve is fairly uniform for the reason that it has been, leveled off

by the action of storm waves and the method described has been found to

give fairly accurate sounding data.

By referring to Fig. 7 it will be seen that the method can be made

accurate by installing a sound transmitter and receiver in each end of the

vessel. The same compensator serves for both sets of receivers as does the

same power outfit for driving both transmitters. The operator sounds

transmitter (72) and with his compensator measures (|)i. Then by throwing

a multipole switch he sounds T\ and measures (|)2. It can be shown that

(8) D = C + 2L

tan 0, •tan 02

tan 0 -h tan 0,

and that a, the slope of the sea-bottom, is given by the equation.

(9) a = — —

2

While this more refined method is to be preferred for making

hydrographic surveys, the simpler approximate method serves for

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navigational purposes as can be seen by a consideration of the curves

shown in Figs. 8 and 9.

The curves of Fig. 8 represent sounding data taken by the U. S. S.

Breckenridge while en route from Charleston, South Carolina, to Key

West. The course ran in part along the edge of the continental plateau,

where the sea-bottom was very uneven and erratic. Two successive casts

of the hand-lead made not more than a minute apart, while the vessel was

not steaming over five

Figure 8

knots, ofttimes showed a discrepancy of five or six fathoms. Under such

conditions it was not expected that the acoustical sounding data would be

at all accurate. However, the curves seem to show that the soundings given

by the hydrophone are perhaps more reliable than any of the others. It is

certain that these soundings, which are represented by the full heavy line,

do not depart from the charted values, which are represented by the light

full line as much as do the soundings taken by the lead-line or the

sounding machine. Moreover, it will be noticed that, except at the 138-

mile mark, the acoustical curve passes through every point where two or

more of the other curves coincide. This fact tended to make all who took

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part in the test believe the acoustical sounding data were, on the whole,

most reliable.

The sounding data represented by the curves of Fig. 9 were taken

during a run from Newport, Rhode Island, out to the hundred-fathom

curve and back, and show the accuracy with which the apparatus can give

soundings where the sea-bottom is somewhat regular. It will be noticed

that the acoustical sounding data agree very closely with the charted depth

except at the beginning and end of the run where the water was shoal. In

these

regions the agreement with the hand-line data is close. All who took part

in this test believe the charted depths in the shoal region are too small for

the reason that the hand-line soundings consistently gave about two

fathoms greater depth; and there was a general feeling that the acoustical

data represented the depth very accurately at all times.

The term “M V -Hydrophone,” used in the caption of both Figs. 8

and 9, refers to the type of submarine sound receiver used for determining

the time increment (AT). This type of receiver employs several sound

receptors instead of two as described above. The receivers are equally

spaced along a straight line passing through the propeller (P) and so

connected through the compensator that the forward half of the receivers

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connects with one ear in place of a single receiver as described, and the

receivers of the rear half of the line connect through the compensator to

the other ear. The compensator itself is so ingeniously designed that when

any sound striking the receivers is binaurally centred the responses to this

sound from all the receivers arrive at the ears in phase. This results in

making the intensity of the received sound considerably greater than it

would be if only one receiver connected with each ear. But this is not the

only advantage of this type of receiver.

Schematic diagram of a stibmarine sound transmitter*

Figure 10

Any sound that reaches the receivers and is not binaurally centred will

have the responses from the several receivers arriving at the ears out of

phase and they will partially destroy one another by destructive

interference with the result that the sound heard is less intense than it

would be if only one receiver connected with each ear. The M V -

Hydrophone, therefore, can be focussed on any sound that the operator

desires to hear, so that this particular sound gives a loud, clear response at

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the ears while all other sounds, and hence the local disturbing sounds, are

greatly weakened."^

The ship's propellers form a convenient sound source for use in

determining depths by the angle of reflection method, but any submarine

sound transmitter of the oscillator type serves equally well. The principle

of operation of such a sound transmitter can be understood by reference to

Fig. 10, wherein numeral 1 indicates a rigid diaphragm in contact with the

water, numeral 2 represents one-half of a powerful electromagnet rigidly

attached to the diaphragm, and numeral 3 represents the other half of the

electromagnet which is suspended in position by the elastic steel rods

represented by numerals 4. When an alternating current is passed through

the magnetizing coil, the suspended half of the magnet vibrates back and

forth alternately compressing and stretching the rods by which it is

suspended and exerting a powerful thrust and pull on the heavy diaphragm

that may equal several tons.

Because of the incompressibility of water, it becomes necessary to

exert great forces on the diaphragm to produce even a slight amplitude of

motion. The submarine sound oscillator can be used for sending code or

any other kind of signals by placing a key in the alternating current circuit.

A description of the M V -Hydrophone will be found in the Marine

Review of October, 1921.

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The “Standing Wave Method” of determining depths can be

understood by referring to Fig. 11 wherein T represents a submarine sound

transmitter and R represents a submarine sound receiver, the two being

separated a distance {L). The sound transmitter is driven by an alternating

current supply so designed that the frequency of the current can be

controlled and varied by the operator over the range included between

about 500 and 1500 cycles per second. This circuit is provided with means

for giving the frequency with a high degree of accuracy at all times. The

operator uses a two-telephone head set, one phone of which is inductively

connected with the A. C. circuit that drives the sound transmitter. This

connection is preferably made through a variocoupler. The other phone is

connected with the output from the sound receiver {R). With the phones

connected in this way, it will be seen that the sound heard in the

inductively connected phone has, at all times, a definite phase relation

with the sound waves leaving the transmitter and the sound generated by

the other phone has a definite phase relation with the sound waves

reaching the receiver. If the operator adjusts the frequency properly, he

can make the sound heard in the two phones have the same phase and can

recognize this condition through the fact that the sound will then be

binaurally centred. If the sound leaving the transmitter has the same phase

as the sound waves arriving at the receiver, then (T-O-R), the sound path

between transmitter and receiver, represents a whole number of wave-

lengths. Calling this path-length, S\ and the time required for sound to

travel a distance equal to one wave-length, AT; and the velocity of sound

in sea-water F, we have the relation:

(1) S = V^N*At

where NAt represents the time required for the sound to travel the whole

path-length. But A/, which represents the time for one wave to pass a fixed

point, is equal to one second divided by the frequency («) of the sound.

Expressed as an equation, this becomes:

(2) A/=-

n

and by substituting this value in equation (1), we have:

V

(3) S = N-

n

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and the path-length (5) between transmitter and receiver would be known

if the number of wave-lengths (AO in the standing wave system were

known.

The value of N can be found by varying the frequency of the sound

until a second standing-wave system is established.

Suppose the operator adjusts the frequency so that the sound is

binaurally centred. Call the frequency (n\). This will be equal to the

frequency of the A. C. current. Then suppose he slowly raises or lowers

the frequency. He will notice that the sound apparently passes away from

binaural centre and finally comes back across centre. Each time the sound

comes back across binaural centre, he has varied the number of waves in

the standing wave system by one. Suppose he varies the frequency until

the number of waves in the system differs from the number in the original

system by a and he determines this number by counting the number of

times the sound comes to a binaural centre while he slowly changes the

frequency. Call the final frequency which he carefully adjusts for a

binaural balance, W2. Then since the path-length (iS) is the same in the two

cases, we have:

(4) S = N— = {N±a) —

wherefore (5) N = ±a ^ — ,

n^-n,

the sign before a being such as to make N positive. Substituting this value

for N in equation (4) gives:

n,-n\

which gives a very simple working formula for determining S, the sound-

path from the transmitter to the receiver by way of reflection from the sea-

bottom.

It will be noticed that the determination of S does not furnish

sufficient data for calculating the depth except when the sea-bottom is

horizontal as shown in the figure. The point of reflection (o) may be

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anywhere on the surface of an ellipse having T and R as the two foci and

the sum of the radius vectors (0-7) and {0-R) equal to S. If, however, the

M V -Hydrophone is used for the receiver, the angle ((|)) that the radius

vector {O-R) makes with the principle axis {T-R) can be readily

determined. This furnishes data for the complete solution of the depth and

the slope of the sea-bottom.

This method has proved to be extremely accurate for measuring

shallow depths. It gives greater accuracy as the depth becomes more

shallow for the reason that the less the depth the greater the change of

frequency that is required to change the number of waves in the standing

wave system. The method breaks down at great depths for the reason that

a small change in the frequency introduces so many waves into the system

and so rapidly that they cannot be accurately counted and thus the factor a

becomes indefinite.

From the above description, it might be thought that each sounding

taken by the standing wave method requires the solution of a problem in

conic sections and would therefore be slow and cumbersome in practice.

Such, however, is not the case. Having determined the value of S and (|),

the depth can be determined from a family of curves with very little effort

or loss of time.

It will be noticed that the apparatus employed for utilizing the

standing wave method of determining depths is practically the same as

that used with the angle of reflection method. The same receiver and

transmitter serves equally well for both methods, but the standing wave

method requires, in addition, some means for controlling the pitch of the

transmitted signal and a frequency meter for determining the pitch.

The method, as outlined, has been found to give accurate results

and to be easily applied. It can be modified somewhat without impairing

its efficiency. Instead of energizing one phone by inductive connection

with the A. C. circuit of the transmitter, it can as well be energized by a

second receiver located near the transmitter. And instead of energizing the

two phones separately so that the binaural sense can be utilized for

adjusting the frequency to bring about a definite phase relation between

the sound leaving the transmitter and that reaching the receiver, both

currents can be passed through both phones in parallel, or series, in which

case the observer can adjust the frequency to give a maximum or

minimum response in the phones. He will then determine a by counting

the number of maxima or minima, respectively, that occur during the

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change of frequency from the first to the second adjustment. This

arrangement can be used by an operator who is deaf in one ear.

The “Echo Method” of determining depths is very similar to the

standing wave method. It consists of sending out a continuous series of

short sound signals separated by equal time intervals and means for

varying continuously the time interval between successive signals from

about one-tenth of a second to about ten seconds, the means being such

that the interval between successive signals can be accurately determined.

If S represents the distance the sound travels in passing from the

transmitter to the receiver by way of reflection from the sea-bottom, t

represents the time of transit and V represents the velocity of sound in

seawater, then we have the relation:

and it becomes necessary to determine t.

If the period between successive signals is made such that a signal

returns to the receiver at the same instant that one is sent out from the

transmitter, then we have the equivalent of a standing wave system, and if

p represents the time interval between successive signals we have the

relation:

(2)t = N.p,

where N is the number of signals that are in transit between the transmitter

and receiver. Substituting this value for t in equation (1) gives:

(3)5= V.N.p.

The factor V is known and the factor p can be determined by the

apparatus that is employed to automatically close and open the A. C.

circuit through the transmitter. This apparatus, which serves as an

automatic sending key, will be described later.

To determine N the operator will vary the frequency at which the

sound signals are transmitted until the signals and echoes are heard

simultaneously in the two telephone receivers, one of which is inductively

connected with the A. C. transmitter circuit and the other of which is

connected through the compensator of the M V-Hydrophone to the

submarine sound receivers. This is the same arrangement that is employed

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in the standing wave method. The operator may continue varying the

frequency of the signals until the coincidence between signals and echoes

has arrived and passed by a times to the final adjustment. Then since the

distance the sound has travelled between transmitter and receiver has

remained constant, we have the two equations:

{^)S=V.N.px-^ViN±a).p2

where p\ and pi represent, respectively, the time interval between

successive signals in the two cases. Solving for N, we find:

(5) N=-±a

Px-Pi

and by substituting this value for N in equation (4), we have:

(6) 5 = .

Pf-Pi

It is obvious that the sign of N must be such as to make S positive.

Equation (6) can be simplified by replacing the p factors, which

represent the time between signals, by a set of n factors, representing

respectively the frequency of the signals. If this is done, equation (6)

reduces to:

(7) 5 =

V^a

rii -«i

which is identical with the sounding equation developed in connection

with the standing wave method. The automatic transmitting key, that must

serve for varying the value of p and for determining its value, might be a

pendulum with arrangements for varying its period of vibration and for

closing and opening the transmitter circuit. If this were done the factor p

or its reciprocal — would be expressed in terms of the well-known

n

pendulum laws. But since pendulums do not work well on board ships, it

is preferred to use a disc caused to revolve at constant speed, similar to the

revolving plate of a graphophone, and a small friction wheel resting on

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this surface with means for moving it inwards or outwards along a radius

of the constant speed disc. With this arrangement the speed of the friction

wheel can be varied continuously from zero to a value that is dependent

upon the speed of the disc and the ratio of the radius of the disc to that of

the friction wheel. The closing and opening of the transmitter circuit is

accomplished by contact points operated by a cam-wheel attached to the

axis of the friction wheel. If this cam carries one tooth, one signal will be

transmitted for each revolution of the friction wheel, while if the cam

carries C teeth equally spaced about its circumference there will be C

signals transmitted for every revolution of the friction wheel.

Suppose the constant period of revolution of the disc is P seconds

and that the radius of the friction wheel is r. Also suppose the distance

from the centre of the disc to the point of contact between the disc and

friction wheel is R. Then since there is no slip between the friction

surfaces we have:

(8)

IttR

P

iTCr

P

and

(9) p =

Pt

~T’

if the cam-wheel carries one tooth, for then the period p between signals is

the same as the period of revolution of the friction wheel. If, however, the

cam-wheel carries C uniformly spaced teeth, then:

mp=

p.r

and

(11) n = -

P

C*R

p.r

Substituting this value in equation (7) gives for the sounding equation:

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(12) ^ =

a*V*P

C{R,-R,y

where a is the number of signals in transit that have been introduced in

passing from the first to the second condition for coincidence between

signals and echoes, V is the velocity of sound in sea-water, P is the

constant period of revolution of the disc, r on is the radius of the friction

wheel, C is the number of teeth the cam that operates the contact points for

closing and opening the transmitter circuit, R\ is the distance from the

centre of the disc to the point of contact with the friction wheel for the first

adjustment for coincidence between signals and echoes in the two phones

and R2 is the corresponding distance for the second similar adjustment.

The accuracy with which depths can be determined by this to

which the speed of the disc method depends upon the degree can be kept

constant and the accuracy with which R can be the disc is driven by a

tuning-fork speed-measured. In practice the disc is driven by a tuning-fork

speed-controlled motor operating through a worm and gear. With this

arrangement the speed of the disc is kept constant to within a tenth of a per

cent. The friction wheel is moved out and in across the disc by means of a

spiral thread operating in a nut, and the position of this wheel on the disc

is determined by means of a micrometer scale on the end of the member

carrying the spiral thread. This arrangement permits of measuring R to

within .002 inch.

A factor that lends for accuracy in adjusting the friction wheel

results from the fact that each signal echoes back and forth between the

sea-bottom and surface several times. And, if the interval between signals

is accurately adjusted for coincidence with any echo, the multiple echoes

will all be coincident; while if the adjustment is not quite accurate, the

multiple echoes will vary from coincidence two, three, or n times as much

as does the first echo. This dispersive effect of the multiple echoes proves

to be an aid in making an accurate adjustment for determining depth,

whereas they prove to be a disturbing factor in case of Fessenden’s

method that has been described. It has been demonstrated in practice that

the value of R can be determined to within two or three-thousandths of an

inch and this results in measuring the time of sound transit to the sea-

bottom and back to within one five-hundredth of a second.

The velocity of a sound in sea-water for moderate depths and

average temperature is about 4800 feet per second. But the velocity (F),

which can be accurately expressed as:

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F =

where )Li is the adiabatic compressibility and p is the density, is evidently

affected by both the temperature and pressure of the water and will,

therefore, vary with the depth. The variation of the temperature of sea-

water with the depth is not well known over most of the ocean areas, but it

is well established that the temperature conditions below 1000 fathoms or

even 500 fathoms do not vary greatly. Therefore, when the velocity is

determined for depths beyond these values, the variation of depth, which

alone is of value in determining submarine contours, can be determined to

within an error represented by the distance that sound travels in sea-water

in about one five-hundredth of a second or to within about ten feet. But

since in determining depths the distance S that the sound travels in going

from transmitter to receiver is divided by two, the error is also halved, and

the depth variation will be determined to within about a fathom.

The variation in the velocity of sound, as it proceeds to greater

depths, that is produced by increase in pressure, is in opposition to the

variation produced by the change of temperature when, as usual, the

temperature decreases with increasing depth. As a result the average value

of 4800 feet per second for the velocity of sound gives sounding data

accurate to within 1, or at most, 2 per cent. The determination of the

velocity of sound in seawater under various conditions of temperature,

pressure and salinity is being undertaken by the Navy and its solution will

increase the absolute accuracy with which soundings can be taken by the

echo method.

3'

Practical design of some depth finder.

Figure 12

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Fig. 12 shows the nature of a practical design of the automatic signalling

key as developed at the Engineering Experiment Station, U. S. N.,

Annapolis, Maryland. A disc (1) twenty inches in diameter, carrying a

vertical axis (2), is driven at a constant speed of one revolution, in ten

seconds by means of a dynamotor (3) whose armature shaft carries a worm

that engages in gear 4 which is keyed to axis 2 at its lower end. The speed

of the dynamotor is kept constant to within a tenth of a per cent by means

of a tuning-fork control for varying the load. The top of disc 1 is covered

with canvas or other suitable material for forming a friction surface for

driving friction-wheel 5. This wheel, which is two inches in diameter,

engages with shaft 6 by means of a slot and spline arrangement such that

member 5 can slide along member 6, but which causes both of these

members to rotate in unison. The axis of shaft 6 is so mounted that it is

parallel with the friction surface of the disc and intersects the axis of

pinion 2 extended upward.

Shaft 6 is supported by self-aligning ball-bearings (7 and 8), the

former of which is set in a groove such that it can slide a short distance up

and down and thereby allow the pressure between members 1 and 5 to be

adjusted by varying the tension on spring 9. It carries two cam-shaped

discs near the end supported by bearing 8, one of which (10) carries a

single saw-tooth-shaped depression and the other (11) carries ten such

depressions uniformly spaced about its circumference. Two spring

members, 12 and 13, bear against the two cam discs, respectively, and by

snapping down into the depressions as the cams rotate, serve to operate the

two pairs of contact points (14 and 15) in such a way as to temporarily

close the alternating current circuit of a submarine sound oscillator

transmitter. Arrangement is provided whereby either spring member can

be made to operate against its respective cam, but which prevents both

members from operating at the same time.

Member 16, which carries a spiral thread engaging in a nut in

member 17, serves to move the friction wheel 5 along shaft 6 and

measures the radius R of the circle that member 5 scribes on member 1 by

means of a micrometer scale on cylinder 18. The smallest scale division

represents one one-hundredth of an inch and readings can be estimated to

tenths of a division.

The sounding equation.

S = 2D =

a»V»P»r

c{R2-R>y

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when applied to this design of key has the following values for the several

constants:

V = 4800 feet per second.

P = 10 seconds.

r = 1 inch.

C = 1 or 10, depending upon which cam is used.

Inserting these values, we have for D the depth:

D =

48000*(7 ^

^ 7 feet

2C{R,-R,)

or

4000*(7

D - — ^ fathoms,

C[R,-R,)

where, as before stated, a is the change in the number of signals in transit,

brought about by varying the adjustment of the friction wheel through the

radial distance {R2 -R\), and C is one or ten, depending on which cam-

wheel is employed.

When both C and {R2 -R\) are given their greatest value, 10 in each

case, it will be noticed that the device is then adjusted for measuring its

most shallow depth, which is 40 fathoms. With this adjustment the time

interval between successive signals is

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one-tenth of a second and the value of a is one. Under such conditions

each signal echoes back to the receiver at the instant the next successive

signal is transmitted and the determination will be very accurate for the

reason that the value {R2 -R\) will be large (ten inches) and any small error

in determining this value will only introduce a small percentage error. But

suppose a depth of 4000 fathoms were being measured. Then in order that

an echo should reflect to the receiver at the same time the next successive

signal is transmitted the time interval between successive signals would

need to be ten seconds and the value of {R2 -R\) would be only one inch.

Under such conditions the slight error made in measuring {R2 -R\) would

result in ten times as much percentage error as in case of the shallow

measurement. If, however, we send the signals ten times as fast, i.e., once

per second, then there would be ten echoes in transit and a would become

ten and the value of {R2 -R\) would now become ten inches, the same as in

case of the shallow depth measurement, with the same resulting error in

our 4000-fathom sounding that was made in determining the shallow

sounding. By choosing a proper value for a, the value of the measured

factor {R2 -R\) can always be made large, and this results in reducing the

experimental error.

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Some idea of the accuracy with which deep-sea soundings are

determined by the “echo method” can be gained by referring to Fig. 13,

wherein the heavy line curve gives the depth as determined by this method

and the light line curve gives the corresponding charted depth over a

course bearing southwest from the Ambrose Channel Light Ship to

latitude 37 north and thence west to Cape Charles Light Ship. The charted

depths in some instances represent interpellations between somewhat

widely separated soundings on the chart. Nevertheless, the data included

between 2: 00 A.M. and 6: 00 P.M. are over a fairly uniform sea-bottom

and the charted values probably represent the true depth with considerable

accuracy.

A line of soundings taken by the author on board the U. S. S.

destroyer Stewart while she steamed from Newport, Rhode Island, to

Gibraltar, Spain, at a steady speed of 15 knots, has demonstrated the

ruggedness, ease and rapidity of operation, accuracy and dependability of

the acoustical depth-sounding apparatus that has been described. The

apparatus at no time failed to function properly and required no repairs or

adjustments during the entire trip. The average time required to make a

sounding was about one minute. Throughout the course soundings were

taken at least every twenty minutes, and in regions where the depth varied

somewhat rapidly they were taken at times as often as every minute.

These soundings determine the profile across the Atlantic along a

great circle route from Newport to the Azores and from thence across the

Josephine and Gettysburg Banks to Gibraltar.

This profile cannot be reproduced in its entirety, but some idea of

the accuracy with which it represents the variations in depth can be gained

by considering Fig. 14, which refers to the Gettysburg Bank along a

section defined by the course of the Stewart. At the time this Bank was

discovered by the U. S. S. Gettysburg, soundings showed the bottom to

consist of sand and rounded pebbles. The profile of Fig. 14 gives evidence

of old shore

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Fig. 14.

terraces at a depth of 400 fathoms, and it therefore appears probable that

this region has been above sea-level at some remote age. During the

months of October and November, 1922, the U. S. S. destroyers Hull and

Corey, using the echo method, made a survey of the ocean floor along the

California coast from San Francisco to Pt. Descanso from the hundred-

fathom curve out to a depth of 2000 fathoms. The area covered was

approximately 35,000 square miles and the work was accomplished in

thirty-eight days. Over 5000 soundings were taken while the ships

steamed steadily at twelve knots. There is no doubt but that these

soundings, as assembled in chart form by the Hydrographic Bureau of the

U. S. Navy, represent the contour of the sea-bottom with considerable

accuracy even though the survey was made at the rate of about 1000

square miles per day. This survey has demonstrated beyond a doubt that

the ocean beds can now be charted with a high degree of accuracy and that

the survey work can be done with a speed and an economy of expense and

effort that has heretofore been believed impossible.

The data represented by this chart fiimish subject-matter for an

extended paper and, therefore, cannot be covered at this time. It may be

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73

Stated, however, that this region has been surveyed for the reason that

seismographic records for the past ten years show that numerous

earthquakes have had their origin within this area. It is proposed to re-

survey this area after such records have shown that one or more

earthquakes have had their origin herein. It is hoped that a comparison of

the two charts will give some definite information regarding the

movement of the earth’s crust resulting from such disturbances. A

comparison of the present chart with the older charted values shows

discrepancies of hundreds and even thousands of fathoms in, some

localities. It is uncertain whether these marked variations are due to errors

made in the earlier surveys or to movements of the earth's crust resulting

from the numerous earthquakes that have originated within this region

since that time. It seems certain that repeated surveys of this and other

unstable regions of the sea floor will furnish much valuable data relating

to the movement of the earth’s surface.

The application of the methods and apparatus for taking depth

soundings that have been described are more numerous and valuable than

one might at first suppose, as has become evident to the author through the

many letters of inquiry that he has received.

Their value as an aid and safeguard to navigation has been

repeatedly proved on various vessels of the U. S. Navy. And their value

does not cease when a vessel steams into ocean depths for such survey

work as has already been done shows that the deep-sea mountains and

valleys will furnish numerous “landmarks” for determining the progress of

a vessel, as soon as the main trade routes have been carefully charted.

Moreover, the M V -hydrophone receiver, besides determining the

direction of sound signals used for sounding purposes, will equally well

determine the direction of such signals transmitted from other moving

vessels or from light vessels placed at harbor entrances or at dangerous

points along shore. In this way it serves to prevent collisions during

conditions of low-visibility and to direct vessels safely into harbor or away

from dangerous rocks and shoals. If all ships were equipped with the

sound apparatus that has been described and would sound their submarine

sound transmitter during fog, the navigator could then know the bearing of

every vessel within, a radius of at least ten miles, in addition to knowing

the depth of water underneath his own vessel. With such information at his

disposal, the grounding of, or collision between, vessels could be

absolutely avoided.

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74

These sound devices will serve to make a cheap, quick and

accurate survey of rivers and harbor entrances through which a channel is

to be dredged, thereby furnishing accurate data for computing the amount

of material that must be moved. They will also serve to determine the

capacity of reservoirs with a minimum of effort and expense.

A study, during the flood period, of the beds of such rivers as the

Yangste, the Mississippi and others that are wont to overflow and cause

great loss of both lives and property, would doubtless furnish much

valuable information for controlling such streams. The velocity of the

water is usually so great that soundings cannot be made with the hand-

lead, but by means of the “standing wave method” the beds of such rivers

can be surveyed with great accuracy. Such surveys made at numerous

sections of the stream should show over what portion erosion takes place

and what is more important, should show where the sediment is being

deposited. If erosion at the bottom of the stream becomes active when the

velocity of flow exceeds a certain minimum value (as is believed by some

engineers), and if it can be determined what this minimum velocity is, then

it is quite possible that the proper method of controlling the stream will be

to narrow its confines rather than to widen them or raise the dykes, for by

so doing the required cross-section to carry the flow will be gained by

deepening the stream through the process of erosion. The possibilities of

the depth-sounding devices for use in this way are perhaps far greater than

we can now appreciate.

The “echo method” of determining depths is not confined to

determining submarine depths. It should serve equally well for

determining the depth below the earth's surface of abrupt changes or

discontinuities in, the earth's crust such as are offered by coal and oil

deposits or subterranean caverns. These surfaces of discontinuity will

reflect to the surface a part of any sound disturbance that may be

transmitted to them. And though it may seem far-fetched, there is a

possibility that the methods outlined may also be utilized for locating

cracks and blow-holes in large castings.

The apparatus employed with the “echo method,” which has been

described as a means for determining the distance between two points in a

uniform medium when the velocity of sound is known, serves equally well

for determining the velocity of sound between two points in any medium

when the distance they are separated is known. In, this connection this

apparatus may serve to determine the velocity of sound through the rock

formation of a mountain or between borings or workings in mining

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operations. And since the velocity so determined is equal to the square

root of the elasticity of the formation divided by its density, this

information may lead to the identification of valuable ore.

Of the above-named applications of the acoustical depth-finding

devices that have been described, only two have been put to practical test.

Their ability to aid and safeguard navigation during conditions of low

visibility has been repeatedly demonstrated on ships of the Navy, and the

survey of the sea floor off the California coast together with a more recent

survey of a region off the entrance to the Panama Canal has proved that

the sea floors can now be accurately and easily mapped. An idea of the

value of these devices resulting from these two applications alone can

perhaps be best conveyed by quoting from a prominent captain of the U.

S. Navy, who states, “If it became necessary to dispense with the gyro

compass or acoustical depth-finder on my ship, I should much prefer to

keep the depth-finder apparatus,” and finally from one of our well-known

geologists who says, “Now for the first time in, history the practicability

of securing a map of the vast unknown area of the ocean floors is assured,

with a promise of such a wealth of scientific data of prime importance as

to make these developments of the U. S. Navy rank very high among those

which have advanced our knowledge of the earth.”

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Three Generations of Acoustic Research

Harvey C. Hayes’ son and step-grandsons have continued his tradition of

acoustic research.

His son Gordon B. Hayes, a self taught electronic engineer,

followed his childhood interest in amateur radio and began his career

working on the proximity fuse. Later he joined the Naval Research

Laboratory, without his father’s knowledge, and worked on identification

friend-or-foe and radar beacon programs. Following World War II, he

worked at the Naval Underwater Sound Laboratory in New London

Connecticut, where he worked on torpedo countermeasures, the SQS 35,

36 and 38 operational sonar systems as well as acoustic environmental

measurements. Gordon Hayes was granted a patent (3,140,462) on an RF

based transducer that can operate as a hydrophone, microphone or

pressure sensor, etc [1].

Bernard F. Cole, a step-grandson of Harvey C. Hayes, began his

career in 1959 working under a Navy scholarship as a cooperative

education student for the Underwater Sound Laboratory. Mr. Cole’s early

research consisted of defining those physical acoustic properties of the

ocean bottom that most significantly influence bottom-reflected sound [2].

This led to a career of technical studies aimed at relating sonar

propagation, reverberation and performance effects (in both deep and

shallow waters) to environmental acoustic phenomena [3]. The notion for

a sonar system that continuously characterizes its surrounding

environment grew out of one such study [4]. Another study culminated in

a recent article on a unique form of reverberation coherence that

accompanies hull-mounted sonar operation in shallow water [5]. Mr. Cole

retired from the New London Laboratory in 1995 and from a position at

Planning Systems Incorporated in 2004. He currently performs research

as an independent consultant.

James H. Cole, also a step-grandson of Harvey C. Hayes, began his

career investigating acousto-optic imaging and optical detection of sound.

He first proposed the use of fiber optic interferometers for acoustic

detection in 1975 [6] and then demonstrated laboratory operation [7].

After joining the Naval Research Laboratory, he and his coworkers from

the Acoustics and Optical Sciences Division demonstrated the first all

fiber interferometer and the first fiber optic hydrophone to be field tested

[8]. Fiber optic interferometric sensor technology has now been

transitioned to the hull mounted arrays of the Virginia (ssn-774) class

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submarines [9], and is currently in engineering development for other

operational systems. Mr. Cole has also developed fiber optic microphones

and accelerometers [10]. He is now with the Optical Sciences Division of

Naval Research Laboratory and is currently secretary of the Washington

Academy of Sciences.

[1] US Patent 3,140,462 (July 7, 1964)

[2] B. F. Cole, “Marine Sediment Attenuation and Ocean-Bottom-Reflected Sound”, J.

Acoust. Soc. Amer. V 38, pp. 291-297, (August 1965)

[3] B. F. Cole and E. M. Podeszwa, “Shallow-water bottom reverberation under

downward refraction conditions”, J. Acoust. Soc. Amer. V 56, pp. 374-377, (August

1974)

[4] US Patent 5,568,450 (October 22, 1996)

[5] B. Cole, J. Davis, W. Leen, W. Powers and J. Hanrahan, “Coherent bottom

reverberation: Modeling and comparisons with at-sea measurements”, J. Acoust. Soc.

Amer. VI 16, pp. 1985-1994, (October 2004)

[6] J.H. Cole, R.L. Johnson, J.A. Cunningham and P.G. Bhuta, “Optical Detection of

Low frequency Sound’, in Proc. Tech. Prog. Electro-Optical Systems Design Conference-

1975 International Laser Exposition, Anaheim, CA, 1975, pp. 418-426

[7] J.H. Cole, R.L. Johnson and P.G. Bhuta, “Fiber Optic Detection of Sound” J. Acoust.,

Soc. Amer. V 62, p. 1 136, (November 1977)

[8] J. H. Cole and J. A. Bucaro, “Measured noise levels for a laboratory fiber

interferometeric hydrophone,” J. Acoust. Soc. Amer., V. 67(6), pp. 2108-2109, (June

1980)

[9] James H. Cole, Clay Kirkendall, Anthony Dandridge, Gary Cogdell and T. G.

Giallorenzi, “Twenty-five Years of Interferometric Fiber Optic Acoustic Sensors at Naval

Research Laboratory”, J. Washington Academy of Sciences, V. 90(3), p. 40 (2004)

[10] US Patents 5,517,303 (May 14, 1996) ,5,012,088 (April 30,1991) and 5,094,534

(March 10, 1992)

Fall 2007

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Washington Academy of Sciences

79

BOOK REVIEW

STORM WARNING: THE STORY OF A KILLER TORNADO,

by Nancy Mathis (Touchstone, 2007), 230 pp.

Reviewer: A1 Teich

Director, Science and Policy Programs

American Association for the Advancement of Science

On May 4, 2007 an F5 tornado made a direct hit on the town of

Greensburg, Kansas. Carrying winds in excess of 200 mph, the huge storm

virtually leveled the town of 1,500. All of the town’s churches were

destroyed, as was every business on Main Street and most of the town’s

homes. Despite the devastation, only ten people were killed - a fact that

media reports called a miracle.

A miracle? Certainly in comparison to past years it would seem to

be that. Sixty years earlier, on April 9, 1947, a powerful tornado hit

Woodward, Oklahoma, leveling most of its structures and killing 107 of

its residents. In all, that year tornadoes killed 306 people in the United

States. In 1925, a huge storm swept through Missouri, Southern Illinois,

and Indiana, killing 695 people in a three and a half hour rampage.

Twisters that killed 100 or more people were not uncommon in the 1940s

and 50s.

Since the mid-20^^ Century, despite the growth in the U.S.

population, the number of people killed by tornadoes has declined

dramatically. Currently, the average number of tornado deaths per year is

around 50. Many factors have contributed to this decline: advances in

meteorological research and computer modeling of weather systems,

broad availability of Doppler radar, improved responses and better

warnings on the part of government authorities as well as the media, and

citizen education. Storm Warning: The Story of a Killer Tornado brings

the story of these developments to life by focusing on the individuals

involved - researchers like Ted Fujita, a native of Japan whose

contributions to the understanding of severe storms are legendary and who

devised the scale of tornado intensity that bears his name and is still in use

today (the “F” numbers); as well as storm chasers; staff of the National

Weather Service; TV weather forecasters, including Gary England of

KWTV, Channel 9 in Oklahoma City; and local government officials.

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There is no shortage of heroes in Storm Warning, but there are also

goats. The U.S. Signal Corps, precursor of the Weather Bureau (as the

National Weather Service was called until 1967), reportedly banned the

use of the term “tornado” in its forecasts in 1887 because of concerns

about the uncertainties in its predictions. The Weather Bureau completely

failed to forecast the 1925 storm that killed 695 people and for years

thereafter, writes author Nancy Mathis, “the only warning was whatever

citizens saw coming at them.” Although officials denied in 1950 that they

had a policy of banning the word “tornado” from its weather predictions, it

was not until several years later that the Bureau began to actually issue

tornado forecasts.

Interwoven with the history of tornado research and forecasting are

moving and often heart-wrenching stories of the victims of tornadoes,

some who survived their fury and some who did not. Mathis, a native of

Oklahoma - the heart of “tornado alley” - now living in the Washington,

D.C., area, draws on her skills as a journalist (she was a reporter in Tulsa

and covered Congress and the Clinton White House for the Houston

Chronicle) to provide vivid accounts of their experiences. The progress

that has been made in understanding and forecasting tornadoes and

warning citizens over the past 60 years is brought home in her descriptions

of two tornado outbreaks - the one in 1947 that leveled Woodward after

first hitting Shattuck, Oklahoma, in which the only alarms came from rural

telephone operators calling one another to report approaching black

clouds, and another in 1999, described as “the biggest outbreak of

supercells and . . .violent tornadoes in the history of Oklahoma.” The latter

was modeled, tracked, chased, and timely warnings were broadcast

throughout the affected areas. Mathis gives us a minute-by-minute account

through the eyes of TV weathermen, storm chasers, and National Weather

Service forecasters, as well storm victims. The contrast is striking.

Storm Warning is a melange. The book is part science, part history

of science, part adventure story, and part human tragedy. It succeeds to

varying degrees at all of these, although in jumping from one element, one

story, and one perspective to another between and sometimes within

chapters, it sometimes becomes a bit difficult to follow. This might be less

of a problem if the book had an index, which unfortunately it lacks. In all,

however, this is an engaging book, one that describes well the human side

of a vitally important science and its interactions with government, the

media, and ordinary citizens.

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THE PHILOSOPHICAL SOCIETY OF WASHINGTON

SELECTED MINUTES, 2006-2007

THOUGHT TO BE THE OLDEST SCIENTIFIC SOCIETY in Washington,

the Philosophical Society grew out of regular meetings held in the home

of Joseph Henry, in the middle of the 19 Century, for the free exchange

of views and information among those interested in science. The Society

was formally founded in 1871; in the following decades it helped in the

establishment of more specialized scientific societies — the

Anthropological Society in 1879, the Biological Society in 1880, and the

Chemical Society in 1884. It was also one of eight scientific societies that

sponsored the establishment of the Washington Academy of Sciences.

Since its formation in 1871 there have been 2,222 meetings of the

Philosophical Society. The Society carefully preserves many of the

traditions and rituals developed over 136 years. For example, members,

guests, and lecturers are always addressed as “Mr.” or “Ms”, never as

“Dr.” One tradition has changed; for several decades women have taken

active leadership roles in the Society.

Meetings are held usually every other Friday from October through

May, in the John Wesley Powell Auditorium of the Cosmos Club, 2170

Florida Avenue NW. Each meeting features a distinguished lecturer from

the large and diverse scientific community of Washington. All meetings

are open to the public and are free; visitors are cordially invited to stay for

the social hour after the meeting. For further information go to

www.philsoc.org.

At each meeting the Minutes of the preceding meeting are read by

the Recording Secretary. They always include a pithy summary of that

evening’s lecture and discussion. For the information and enjoyment of

our readers, and with the permission of the lecturers, the WAS Journal

from time to time prints selected Minutes. We offer our thanks to the

Philosophical Society’s Recording Secretary, Ron Hietala.

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82

Minutes of the 2,200**^ Meeting, January 20, 2006

Mr. Bhakta Rath: Frozen Clean Energy from the Sea

President William Saalbach called the 2,200^*^ meeting to order at 8:18

pm January 20, 2006. The minutes of the 2,198^^ meeting were read and

approved.

Mr. Saalbach then introduced the speaker of the evening, Mr. Bhakta

Rath of the Naval Research Laboratory. Mr. Rath spoke on “An

Abundance of Frozen Clean Energy from the Sea.”

Mr. Rath said he was pleased with the opportunity to discuss this

extremely important issue. He began by discussing needs and the

alternatives.

The world currently uses about 13 terawatts of energy. The largest

part of it comes from oil, next coal, then natural gas. Nuclear fission is a

distant fourth, hydro a very distant fifth, and sources such as solar and

wind are nominal.

He showed a curve of oil production in the lower 48 states. It peaked

in 1970. It has declined substantially and is now under one/half its peak.

This is called the Hubbert peak, after geophysicist M. King Hubbert.

Though controversial, the prediction he made has proved fairly accurate.

The world production peak is harder to pin down. The United States

Geological Survey predicts 2010 is when it will peak and that by 2050 it

will be a small fraction of what it will be in 2010. He quoted a president of

ExxonMobil who said that by 2015 the world needs to find eight gallons

of new oil production for each one used today.

Of natural gas, 72% of reserves are in the Middle East. In 1980, 4%

of our natural gas was imported, in ‘98, 14%, and in 2003, 20% was

imported.

Some hope hydrogen will replace other fuels. Dr. Rath said hydrogen

use faces enormous technological challenges. They include how to

produce it, how to distribute it, how to store it, how to convert it to

electricity, how to contain it for end use, and how to detect it. It is difficult

to detect, notoriously leak-prone, and very dangerous. It has a ratio of

energy to mass that is only 1/13 that of gasoline. Moreover, all means of

producing it use fuel.

Wind energy requires large windmills located where there is good

wind. The wind, unfortunately, happens to be in the part of the country

where there are the fewest people. Millions of windmills would be

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83

required and the transfer cable could cost $79, 000/km.

Tidal power is another possibility, and it would have a side benefit,

reduction of coastal flooding. There are not very many sites that are

suitable, however, and the transport of the energy would again be a major

problem.

A gallon of liquid fuel can be produced from 24 pounds of coal. This,

actually, is what Germany did during World War II, when they lost access

to the North African oil fields.

The U.S. Navy uses 40 million barrels of oil a year. To produce that

from coal would require mining 10 billion tons a year. This would involve

problems of transportation and disposal of solid waste and carbon dioxide.

So the alternatives all have problems - not enough, land use, cost,

safety, pollution, national security, and so on. Hydrogen cannot be used in

planes, although he did show a whimsical concept of a pregnant-looking

airliner with a big bulge of extra fuselage for hydrogen.

Then, turning to his main point, he showed an enticing picture of

something that looked like burning ice. This was a picture of a methane

hydrate crystal, giving off methane which burned readily as a gas.

Incidentally, it yields less CO2 than any other fossil fuel.

More than half of the organic carbon in the earth’s crust is in the form

of gas hydrates, on and offshore, he estimated. These nice little rocks are

called clathrates.

He presented distributions of pressure and temperature that showed

the depths and temperatures where these clathrates exist, which he called

the hydrate stability zone.

He showed a map of where they have been located so far. The United

States appears to be lucky again. It seems there is an abundance of them

around Alaska, off California, and in the Gulf of Mexico, and even a fair

amount of the stuff off the east coast. There appears to be a great deal of it

elsewhere in the world, also.

The most important sources of data have been seismic studies. There

have also been geochemical studies, electrographic, heat flow, micro- and

macro-biology, and drilling studies.

There are three possible ways to harvest it. One would be to pump the

gas out of the substrates. Another would be to inject steam into the

substrates to release the gas. Another would be to inject methanol into the

substrates to release the gas. There are places where it is bubbling off

naturally. Bubbles on the surface of the ocean can be seen, and there are

craters in the ocean floor resulting from gasification.

Research challenges remain. They include construction of a collection

Fall 2007

84

system to capture the gas once it is produced down there.

Mr. Rath offered to answer questions. He was asked what would be

the cost to a million BTU. He wasn’t sure. There are some factors yet to

be determined, such as working on the continental margins and the

problem of deep and horizontal drilling.

Several questions related to why no action has been taken, no

research funding from Congress or development or exploration by big

energy companies. Mr. Rath, a scientist, said Congress is beyond his

understanding. He and his staff have informed Congressional staff of these

facts. He spoke of the problems related to collaborative research between

agencies. He said that high fuel prices are not necessarily a problem for

big energy companies.

People brought up some energy alternatives he had not mentioned,

such as tar sands and shale oil. He acknowledged these as having

potential, but they put a heavy burden on the atmosphere. They also

require great amounts of water, and particularly for shale oil, which is

located where there is little water.

After the talk, Mr. Saalbach announced the next meeting. He made

the usual housekeeping announcements. He invited guests to consider

joining the Society. Finally, he adjourned the 2,200^^ meeting at 9:50 pm

to the social hour.

The weather: Rather clear, perhaps 1 0% coverage by wispy clouds.

The temperature: 8^

Attendance: 46

Minutes of the 2206**" Meeting, April 21, 2006

Mr. Michael van Woert: Art Adventure and Discovery Down Under

President William Saalbach called the 2,206‘^ meeting to order at

8:16 pm April 21, 2006. The minutes of the 2,205*^ meeting were read and

approved.

Mr. Saalbach then introduced the speaker of the evening, Mr

Michael Van Woert of the National Science Foundation. Mr. Van Woert

has had the opportunity to make a number of research excursions to the

Antarctic Continent. He spoke on “Art, Adventure, and Discovery Down

Under.”

Mr. Van Woert said he wanted to tell us of some of the challenges of

polar research and put it in contrast with the challenges faced by the early

explorers. He said it is a fascinating place, it is still a frontier, and is a

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85

wonderful place to visit for anyone who is interested in beauty and

adventure.

Antarctica is vast, about 1.5 times the size of the United States. It is

also high, in many places above 10,000 feet above sea level. In the

summer, the temperatures get up to right around freezing. In the winter,

they reach 1 10 degrees Fahrenheit below 0.

The trip there by sea from Christchurch is not for the faint of heart.

Dr. Van Woert saw waves 60 feet high.

Now you can go by airplane. The trip is made by several cargo

planes; the work horse of the group is the C-130, a propeller plane. There

is no first class service. There are no windows and no peanuts. Passengers

are given a sack lunch and strapped in for eight hours.

McMurdo Station looks something like a frontier town. It looked

like it had perhaps ten rugged roads and 50 utilitarian buildings.

Near McMurdo Sound, at Terra Nova Bay, is where Robert Scott’s

Northern Party was marooned through a winter. They spent eight months

in a cave, eating seal and penguin meat. Then they walked to McMurdo

Sound. Scott, a scientist, kept a diary on his trek to the South Pole.

Having walked as far as he could, he wrote his last entry, “It seems a pity,

but I do not think I can write more.”

The science chief on Scott’s trip was Edward Wilson. Wilson was a

very good amateur painter, and he made many very beautiful watercolor

pictures. Dr. Van Woert showed samples.

There are about one million square miles of ice in the Antarctic in

the summer. The high plateaus cool by radiation. Heavy, cold air comes

down off the high plateaus at up to 1 20 miles an hour. It freezes sea water

down to about seven feet. The ice is broken up and blown out to sea by the

winds. Then it drifts back and is frozen in place. This process expands the

ice to about nine million square miles in the winter.

He described a study by a fishery biologist who simply dragged nets

from a ship. He hauled up the nets and dumped the contents on the deck.

This study yielded the discovery of two new species of fish. This, he said,

brings home how little is known about Antarctica, even today.

Much new knowledge of the continent is coming from NASA

satellites. He discussed some satellite discoveries of phytoplankton and

diatoms in the water and ice.

Most of the work down there is done from November to February,

the “warm” months.

Fall 2007

86

On a holiday they went out on the ice to play. They had a barbecue

and took pictures of penguins from three feet. There are 17 varieties of

penguins down there, but only four of them actually breed in Antarctica.

He showed picmres of the Ross Ice Shelf It is perfectly flat and

stretches for hundreds of miles. Occasionally pieces break off and float

away. This is responsible for some of the icebergs we hear about on the

evening news. In places the edge of the shelf is 50 feet high.

The Larsen B Ice Shelf was an enormous structure that modelers

said was too thick to melt. A few years ago the temperature went up just a

little. The surface melted and produced small crevasses and water started

flowing in the crevasses. In just a few months, the whole thing was broken

up and shattered. This is a great example of science missing some key

elements.

He showed some picmres of Scott Hut. a building set up by Robert

Scott in 1911. Abandoned in 1913, it still contains cans of provisions left

there by Mr. Scott. The building and its contents were preserv ed by the

cold. Things do not age and wear in that climate like they do in warmer

places.

After the talk. Dr. Van Woert offered to answer questions.

One person asked about lakes under the surface. Dr. Van Woert said

they do exist and observ ed that the Russians were about to drill into Lake

Vostok. the largest such lake to take samples. These lakes are believed to

be completely isolated. There is concern within the scientific community

about maintaining their integrity, but there is also interest in learning

about their biology, chemistrv^ and oceanography.

To another question, he informed us that the energy used down there

is primarily fuel oil. There was once a nuclear reactor there, but not

recently. Someone asked about mining, but he doubted that the technology

exists to do it profitably in that environment.

He also observ ed that agriculmre down there is “hard.” Biology, he

said, is funny. It goes from phytoplankton to whales. Historically, there

were no people in Antarctica. The only bare land with grass is near Palmer

Station and only in the summer.

He was asked about the effects of global warming. He observ ed that

there has been a lot of calving recently, but the ice shelf has been so far

north that the calving has been, in some respects, not unexpected.

Asked about how much of the continent is on land and how much on

water, he showed on a map that the whole western shelf is on water. It

looked like about a quarter of the area.

Washington Academy of Sciences

87

Someone asked if they are picking up any change in the biomass. He

answered that the only way to tell would be data from satellites, and that

will likely take ten to 40 years of observations.

There have been national land claims on Antarctica, but the claims

have been put abeyance as part of ratifying the Antarctic Treaty. This is a

gold-standard for international governance and everyone works at making

this a success.

After the discussion, Mr. Saalbach presented Dr. Van Woert a plaque

commemorating the occasion. Mr. Saalbach announced the next lecture,

the Joseph Henry Lecture, and encouraged support of the society through

membership and contributions. He invited everyone to stay for the social

hour. Finally, he adjourned the 2,206^^ meeting at 9:43 pm.

The weather: Cool and moist.

The temperature: 14^

Attendance: 39

Minutes of the 2,208**' Meeting, September 15, 2006

Mr. Richard Hodes: Growing Older — Challenges

And Opportunities in Aging

President William Saalbach called the 2,208**' meeting to order at 8:16

pm September 15, 2006 in the Powell Auditorium of the Cosmos Club.

The recording secretary read the minutes of the 2,206**^ meeting. They

were approved after a short discussion.

Mr. Saalbach introduced the speaker of the evening, Mr. Richard

Hodes, director of the National Institute on Aging of the National

Institutes of Health. Mr. Hodes spoke on the topic. Growing Older -

Challenges and Opportunities in Aging.

Aging research has implications for all of us, Mr. Hodes began. He

pointed out that in 1900 life expectancy in the U.S. was in the late 40’s.

By 1950, the life expectancy of women had reached 70. By 2000, the life

expectancy of men reached about 75 and for women the early 80’s. Even

more dramatic is the increase in the number of people over 85. In 1940,

they represented thin red lines on Mr. Hodes ’s chart; now they are thick

red lines. The increase in the number of the oldest people will have great

implications in many areas.

NIA was formed in 1974 with a very broad mission, to support and

conduct research on aging, to train and develop research scientists and

provide research resources, and to disseminate information on health and

research advances. His talk covered three general areas within the NIA

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88

research portfolio, biology of aging, Alzheimer’s disease, and reducing

disabilities associated with aging.

About aging, he said there are many theories, including DNA damage,

stress response, protein modification, mitochondrial dysfunction, cell

senescence, and gene expression. Studies indicate genetic factors account

for about 30 % of the variation in aging and environmental factors about

70%. A study of nematodes indicated that those with a mutation in the age

gene live longer than others, 40-some days instead of 20-some days. Mice

on restricted calorie diets live longer. Their survival curve plunges to 0 at

57 months, for the control it plunges to 0 at 40 months.

For humans, the probability of survival to 100 is highly related to

having a sibling who did. People over 100 are the fastest growing segment

of the population.

Someone asked if longevity is related to the X chromosome. This is

not known, he said, but it is known that it is not so in all species.

The probability of having Alzheimer’s Disease increases rapidly with

age. Among those 65 - 74, it is 3%, for 75 - 84 it is 19%, and for those

over 85, it is 47%. There are 4.5 million AD patients now, and the trends

point to 14 million by 2050.

Does maintaining mental activity reduce it? Yes, but the question is,

why. It could be those people have a greater reserve of intellectual ability

so it takes longer for AD to manifest. There is, however, a detectable rate

of generating new neurons in the brain, even in adulthood, and it’s

possible that a history of generating neurons produces a beneficial effect.

They now divide people into four AD categories: normal, pre-

symptomatic, mild cognitive impairment, and finally, AD. This provides a

better basis for intervention.

Positron Emission Tomography (PET) imaging of amyloid deposits in

AD versus normal people shows stark differences. PET scans can provide

quantitative information on amyloid deposits in living subjects.

Pseudocolor imaging sharply enhances those differences.

How do plaques form? Beta amyloid spans the membrane. Beta

secretase and Gamma secretase can cut the protein. When they clip at two

points, they produce an opening that is prone to produce the beta amyloid

plaque.

There are also studies being done on early onset familial AD, with

onsets from the 30’s to the 50’s. Families usually know they have this

variety. It has corollaries in chemistry, in the secretases. It is found in

animals as well as humans; it is associated with memory loss in mice.

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Correlates of AD include age, head injury, high blood pressure,

cholesterol, homocysteine, diet (fat), education/brain reserve/occupation,

exercise and social networks. Estrogen is now believed not to have a

beneficial effect, although a few years ago it was thought that it did.

Donepezil does delay the progression from moderate cognitive

dysfunction to AD. It is highly significant, but the effect only holds for the

first 12 months.

The statin drugs appear to reduce the prevalence of AD substantially.

Lovastatin reduced it by 60 percent and prevastatin almost as much. They

also work in mice and dogs.

He described a study called the Nun Study. Nuns and some men in

various orders committed themselves to the study and donated their brains

for study after death. Nuns graded on how much plaque they had varied

enormously in how much dementia they had. What explained it was

vascular disease. It seemed that affecting circulation in brain moderated

effect of plaques.

He mentioned that NIA is currently recruiting subjects for clinical

trials involving a number of potential therapies. Interested parties can find

relevant information at www.nia.nih.gov.

Disability among older Americans has been reduced. The raw number

has gone up, but the number relative to the number in the age group is

74% of what it would have been without the decrease. This could be a

fragile phenomenon, though, because disability rates in younger groups

have actually increased slightly, largely because of obesity.

A study with surprising revelations was one to compare the drug,

Metformin, with a placebo and a lifestyle (diet and exercise) regimen.

Metformin was quite effective, reducing diabetes by about 40% among

people age 25 - 49. However, diet and exercise was equally effective.

Furthermore, as age increased. Metformin was less effective and diet and

exercise more. Among people over 60 Metformin had no effect and

lifestyle reduced diabetes by 71%.

In the question and answer period. Dr. Hodes refined his analyses of

some of the studies discussed. He pointed out that the participants in the

nun study were at different locations and most likely did not have the

same diet. Also, he reported that the study found that complexity of syntax

in writing samples from subjects’ early years was associated with

Alzheimer’s. About children of older parents living longer, he said that

could be because the parents had better genes which enabled them to have

children at an older age.

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Mr. Saalbach thanked our speaker and presented a plaque

commemorating the event. He made the parking announcement,

announced the next meeting, and invited ever\'one to stay for the social

hour.

Finally, he adjourned the 2208^ meeting at 9:48 pm to the social

hour.

Attendance: 66

Temperamre: 18^

The Weather: Cool and mild

.Minutes of the 2,209^^ Meeting, September 29, 2006

>Ir. G. Peter Nanos: What is Science, and

Why do We Really Care?

President William Saalbach called the 2.209* meeting to order at 8:17

p.m. on September 29, 2006 in the Powell Auditorium of the Cosmos

Club.

The recording secretaiy read the minutes of the 2.208* meeting and

they were approved.

Mr. Saalbach introduced the speaker of the evening, Mr. G. Peter

Xanos of the Defense Threat Reduction Agency. Mr. Nanos spoke on the

topic, WTiat is Science and WTiy Do We Really Care?

Mr. Nanos welcomed the opportunity’ to speak on a veiy important

subject. He said he was glad to be talking to the Philosophical Societ>’,

which, after the recent incidents at Columbia may represent one of the last

bastions of civil discourse in the countiy.

Mr. Nanos wanted to start from the basics, because if there are

problems with science in this country’, they are likely to stem from a

misunderstanding of what science is. Science is not technolog>’. It is a

philosophy of inquiry^ It is based upon examination, theoretical posmlate.

and empirical verification. Science as a body does not exist without

experimentation. Theory’ that does not admit of test is not scientific theory’.

String theory’ has this problem. String theorists have a lot of fun with their

discussions, but ha\’e yet to push the envelope of knowledge forward.

String theory’N propositions are not testable. Similarly, intelligent design,

because it can't be verified, it is not a scientific theory’.

He read recently about an agency “p^o^’iding funding" for science in

the country’. He took issue with that construction. They are not Mst

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91

throwing money at science, they provide funding to test propositions that

push forward the body of knowledge of mankind.

Young people have to understand science, know the methods, to know

what it is about. Mr. Nanos, growing up in the 20*^ century, believed that

the U.S. was the center of science and always would be. Before the war,

however, most discoveries were being made overseas. After the war, with

Germany and Japan decimated, the center moved here.

Our university system also became pre-eminent after the war. Almost

all technological innovation in the country comes from universities. The

Hewlett-Packard garage was at Stanford. Bill Gates was a college dropout.

Now, however, we are seeing many trained young scientists go

overseas to work. Foreign students were coming to major in science and

staying. Now they are coming, studying, then going home. China is

establishing world-class universities with graduates from America.

If we want to stay competitive, we have to think about this as a public

issue. We should demand that the scientific part of education of young

people be given just as much credence as the literary part.

If someone says that one who has not read Shakespeare is not

educated, people believe it. People think, however, that it is acceptable if

someone does not understand the Second Law of Thermodynamics.

Changing this starts with the fundamentals. Secondly, we have to

make scientific careers attractive. We have to give credence and rewards

to those giving their lives to science.

Science will go on in the world, he said, but will the U.S. be able to

partake of it?

Mr. Nanos recalled a television show called “Our Friend the Atom”

and similar shows. “The Atom” was on in prime time on a major network.

He is somewhat at a loss as to how to capture the imagination of and

create excitement among young people today.

He is doing his part. He teaches modem physics at a community

college. He tries to demystify science, and, more importantly, demystify

scientists.

For example he described what Max Planck did as “fiddled around

with the equation until it fit the data.” Then the equation was picked up by

Einstein and used to explain the photoelectric effect. Later it became the

foundation for quantum mechanics. These were, he said, just a group of

real people who were able to deal with scientific inquiry in a way that

made sense.

He offered to answer questions.

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One questioner commented on the disappointment when science was

funded at universities by the government. This produced a surplus of

scientists. There were few opportunities for graduates in industry, because

industry works short-term and science is long-term. Mr. Nanos added

that, as a result of funding science at universities, industry turned to

universities for that resource. Now, however, universities are waking up to

the value of intellectual property and are unwilling to relinquish the rights.

As a result, industries are taking the research overseas.

Another questioner pointed out, using her own experience as an

example, how personal choices and influences of particular times affect

choices of what they study. Mr. Nanos observed that people should be

encouraged to follow their talents and to stretch themselves as much as

they can.

Another questioner asked his opinion on a science court or similar

institution to resolve issues and thereby force resolution of matters and

permit more progress. Mr. Nanos did not answer directly, but he did

compare Oppenheimer and Heisenberg. We were lucky to have

Oppenheimer, he said, and related how the more authoritarian Heisenberg

took as truth a major error about the critical mass, an error from which

they never recovered.

Responding to another question, Mr. Nanos observed that none of the

universities are independent and therefore cannot operate as businesses.

He also clarified that he does not favor reducing support for the

humanities.

Mr. Saalbach thanked our speaker and presented a plaque

commemorating the event. He announced the next meeting. He made a

pitch for support of the Society, especially through sponsored lectures. He

made the parking announcement and invited everyone to stay for the

social hour. Finally, at 9:20 pm, he adjourned the 2,209^^^ meeting.

Attendance: 52

The weather: still cloudy, but clearing after a day of rain from a

nor’easter

The temperature: 16^

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Minutes of the 2,21 1“" Meeting, November 3, 2006

Ms Julie Palais: Unraveling the Secrets of the Polar Ice Shield

President William Saalbach called the 2,21 1^*’ meeting to order at 8:18

pm November 3, 2006, in the Powell Auditorium of the Cosmos Club. The

recording secretary read the minutes of the 2,210^*^ meeting and they were

approved.

Mr. Saalbach introduced the speaker of the evening, Ms. Julie Palais,

of the Office of Polar Programs of the National Science Foundation.

Palais, who is in charge of the Antarctic Glaciology Program, spoke on the

topic, “Unraveling the Secrets of the Polar lee Sheets, A Glaciological

Perspective.”

The Antarctic, Ms Palais began, is the coldest, windiest, highest, driest

continent on earth. It is covered by an ice sheet of 29 million cubic

kilometers, about the size of the U.S. and Mexico. There are ice-free

coastal areas called the Dry Valleys near McMurdo Sound, where the

main U.S. Station sits.

There are also stations at the South Pole and one called Palmer

Station. The average temperature is -56^. In the summer, it gets as high as

0 at the Pole and as high as 50*" at McMurdo Sound.

The exciting thing about the WAIS (Western Antarctic Ice Sheet)

Divide ice core is that the high accumulation rate will provide detailed

resolution so they can look at things like greenhouse gases. They hope to

be able to determine whether, for example, greenhouse gases rose in the

atmosphere before the climate change or vice versa.

They use the stable-isotope content of the ice, which is a proxy for the

temperature. The greenhouse gases, methane and C02, correlate highly

with the temperature. She said it seems obvious that there may be a causal

relationship, but the question is: Which comes first?

Biology in ice cores has generally been an afterthought. Now they

include biologists in the projects from the beginning.

One ice core, the EPICA ice core drilled at Dome C, goes back almost

a million years.

She described the organizations that provide support for Antarctic

research, including the National Ice Core Laboratory (NICL), NICL-

Science Management Office (NICL-SMO), Antarctic Glaciological Data

Center (AGDC), lee Core Drilling Service (ICDS). This last is located at

the University of Wisconsin-Madison.

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With these resources, they plan to learn more about five subjects:

climate forcing by greenhouse gases, the role of Antarctica in abrupt

climate change, the relationship among northern, tropical, and southern

climates, the stability of the West Antarctic ice sheet, and the biological

signals contained in deep ice cores.

One dramatic finding from ice cores: climate change can be quite

abrupt. U.S. -European projects in Greenland in the 1989-94 period pulled

long cores that revealed that in the warming period about 11,500 years

ago, temperatures rose 10^ in a very short period. Detailed analysis

established that most of that change happened in less than ten years! This

lends great interest to some of the Antarctic research now beginning. The

WAIS Divide ice core will provide Antarctic records of environmental

change with the highest possible time resolution for the last 100,000 years,

and will be the Southern Hemispheric equivalent of the Greenland studies.

These studies may determine whether greenhouse gases followed or

preceded climate change.

She described a variety of exploration now ongoing that goes back to

the early days, traveling the continent on the ground - “traverses.” The

research data comes from snow pits, ice cores, and glaciological analysis

to interpret ice core data. Starting in about week, a group was to traverse

from Taylor Dome to the South Pole.

She described their “high-risk/high-impacf ’ work on icebergs and ice

shelves. The sudden breakup of the Larsen B ice shelf in the Antarctic

Peninsula and the sudden release of B-15 from the Ross Ice Shelf in

March, 2000, both produced high interest in the press. They are now

conducting collaborative research on the world’s largest icebergs. Exciting

results featured recently in the media linked a storm in the Gulf of Alaska

to iceberg calving in Antarctica. They are now looking for implications for

future global warming and for ice sheet changes.

The Larsen B Ice Shelf breakup was quite dramatic. A large structure

which had been stable for a long time, it disintegrated totally between

January 30 and March 4, 2002. Although sea level rise comes only from

ice coming off land, not off the sea, where the ice shelf was located, the

ice shelves do restrain the flow of glaciers that feed into them.

New methods on the horizon being applied to ice research include

what they call “Fastdrill” and “LARA.” Fastdrill will enable them to drill

rapidly through the ice, get quickly down to the base, put instruments

down and study heat flow. LARA, long-range aircraft for research in

Antarctica, will enable them to fly over vast ice sheets and take

measurements.

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95

Speaking of horizons, she ended with a spectacular picture of the

horizon of Antarctica from just over the lip of the Ross Ice Shelf, where

the edge rises vertically out of the sea.

Then she spoke a little about her personal experiences. She went first

in 1978 as a graduate student. They went to New Zealand where people

pick up plenty of mittens, wool socks, and long underwear. They get on a

plane that looks like a giant, pregnant guppy. The first views of the ice are

very impressive. McMurdo is on Ross Island and is not actually part of the

continent. McMurdo Station is located on Hut Point Peninsula. She

showed pictures of the Dry Valleys and of Scott’s Discovery Hut, which

has sat there, unchanged, in a deep freeze since Scott left it. She showed a

picture of the South Pole, which the lucky members and guests of the

2,211 now know looks just like a barber pole. The ice over the pole

moves about 1 0 meters a year, so they move the candy-stripe marker every

year. The big planes land on skis at the Pole. The planes are owned by

NSF and the New York Air National Guard, and the Guard does all the

flying. She showed a picture of Sir Edmund Hillary chatting with people

at the South Pole, a picture of the dining hall, and mentioned that they just

keep the food out in the ambient temperature at field camps like the WAIS

Divide site.

She also showed pictures of Palais Glacier, named for her, and Colwell

Massif, named for former NSF Director Rita Colwell. She noted that the

clear skies down there are great for astronomy.

She offered to answer questions. In response, she made these points:

- She couldn’t say for sure whether it is a misuse of the data to say that

CO2 is causing the changes. The scientists want to see more data on the

question.

- Available data are not adequate to say whether Antarctica is growing

or shrinking.

- Clearly large volcanic eruptions such as the 1991 Pinatubo eruption

have major effects on climate and there is evidence as far away as the

polar regions of the volcano’s impact (in the form of impurities in the ice).

- The latest news about Lake Vostok is that the Russians are planning

to drill into it. Now more than 70 sub-ice lakes have been discovered.

- There’s a lot of excitement about the possibility of life in these lakes.

Mr. Saalbach announced the next meeting. He presented Ms Palais a

plaque commemorating the event. He made a pitch for support and

bragged on our exciting schedule of meetings. He made the parking

announcement. He invited everyone to stay for the social hour. Finally, he

adjourned the 2,21 1^*’ meeting at 9:41 pm to the social hour.

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Attendance: 58

Weather: crisp and clear

Temperature: 10^

Minutes of the 2,212*** Meeting, November 17, 2006

Mr. H. John Woof: Fifteen Years of Astounding Images

By the Hubble Space Telescope

President William Saalbach called the 2,212*** meeting to order at 8:17

pm November 17, 2006 in the Powell Auditorium of the Cosmos Club.

The recording secretary read the minutes of the 2,211*** meeting and they

were approved.

Mr. Saalbach introduced the speaker of the evening, Mr. H. John

Wood of the NASA Goddard Space Flight Center. Mr. Wood, the lead

optics engineer of the Hubble Space Telescope Program, spoke on

“Fifteen Years of Astounding Images by the Hubble Space Telescope.”

Bom in Baltimore, Mr. Wood, at age eight, looked at the Moon

through the telescope of the Northwood Observatory. Now Baltimore has

become a rich center for astronomy.

When the first Hubble pictures came back John Mangus, then the man

in charge, was disappointed with the resolution. Mr. Mangus, Mr. Woods’

boss, was assigned to figure out what the problem was. Mr. Wood, as a

good performance reward, was given the broken Hubble.

The first guess about the problem was that a mirror was not polished

smoothly. It turned out the mirror was very smooth, but it was made with

the wrong prescription. On the first service trip up to Hubble, they

installed corrective mirrors. The shape had to be 2.2 microns from the tme

at the edge, and this correction had to be put into a mirror the size of a

dime.

Mr. Wood watches the Shuttle go up from Bowie. It goes up fast at

first to get out of the atmosphere. Five minutes after launch, he can look

from Bowie to the southeast and see it low in the sky.

He showed pictures of servicing mission 3B, when they added some

new solar panels and the Advanced Camera for Surveys and removed the

Faint Object Camera. We learned that space walks are short because

people’s hands get tired in the pressurized gloves, even though the 800

pound Advanced Camera for Surveys could be moved with one’s

fingertips.

Washington Academy of Sciences

97

He showed pictures of Mars. All the geographical features were in

great detail. The Mars Polar Cap is actually condensed CO2. For some

reason, the southern hemisphere of Mars is much more pockmarked by

craters than the north.

There was a really nice, detailed picture of Jupiter. One precise, dark

spot was the shadow of Jupiter’s moon, lo. Jupiter radiates 2.5 times the

energy it absorbs from the Sun. They think it has a core of liquid metallic

hydrogen.

Pictures of Gliese 220B, a brown dwarf, from Mount Palomar and

Hubble showed the advantage of Hubble. The Mount Palomar image

showed a big blob with a little blob on the side. The Hubble image showed

the big blob and the little blob in much sharper relief. There was a picture

of Betelgeuse, a star about six times the size of earth’s orbit. Even

Jupiter’s orbit is smaller than Betelgeuse by about a third.

He showed a picture of the Orion Nebula, where 3000 stars are

currently emerging from the dust cloud. Stars also emerge from EGGs

(Evaporating Gaseous Globules).

In the Eagle Nebula, NASA found pillars of dust light years long. New

stars peek out from the pillars. Stars in the globular clusters are bom

together and may have common characteristics that differentiate them

from stars of other clusters. The energy from the new stars sculpts and

lights the dust, producing fantastic, eerie shapes. One pillar of dust in the

Eagle Nebula is 9.5 light years high, about twice the distance from Earth’s

Sun to the nearest star. The columns result when energy from the young

stars blows away the rest of the dust and leaves the columns.

He showed pictures of supernova remnants and observed that there

was a supernova in 1054, during the Norman Conquest. Both sides said

the supernova was a sign they were winning. You and I, he said, are made

out of material from a supernova: calcium, iron, carbon, and a lot of other

chemicals.

He said Andromeda is one of his favorite galaxies, but it is heading

our way and will probably eat the Milky Way for lunch one day.

Andromeda is the big Kahuna of our local group.

Vera Rubin, one of our previous speakers and members, discovered

that the rotation of Andromeda is not like planets. It is rotating really fast,

and even the stuff farther out from the center is rotating fast. This

discovery was a precursor to the discovery of dark matter.

Andromeda is so large it will fill your binoculars. Hubble was able to

get down to the nucleus of Andromeda. It’s a triple nucleus. The smaller

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98

ones are smaller galaxies that Andromeda has eaten on its way to getting

really big.

He showed a picture of The Mice, two spiral galaxies that interact.

When they get close, they eject arms toward each other.

He described gravitational lensing. This occurs when light from a

distant object passes a large mass like a galaxy. The gravitation of the

massive object bends the light rays and can produce a distorted or

transformed image of the object reflecting or emitting the light. It is an

interesting phenomenon, but the gravity is not a good lens.

He discussed the makeup of the Universe. It now appears it is about

2/3 dark energy and 1/3 dark matter. There is a smidgen, 4%, of free

hydrogen and an even smaller part, 2%, consists of stars.

A study hot off the press, released the day before, indicated there is a

supernova in the center of each of the extremely distant galaxies. These

are galaxies from nine billion years ago, and the most distant supernovas

ever observed.

He closed with a beautiful composite picture of Earth from space. He

also observed that new technology has enhanced our understanding of the

Universe.

He invited questions.

Does the repulsive force change over time? Indications are that it does

not, he said. While it is audacious to think that physics may be constant

for 9 billion years that does appear to be the case.

In answer to questions, he discussed means of determining distance,

the demotion of Pluto from planet rank, and some of the Hubble

discoveries. Hubble researchers have discovered the greatest number of

other planets. Other discoveries he credits to Hubble: That dark energy

permeates the entire universe, the energy of the vacuum, the importance of

supernovas, and extra solar planets.

Hubble is as close to earth as it is because it needs to be serviced. The

next one, the James Webb, will be further out.

Mr. Saalbach presented Mr. Wood a plaque commemorating the event.

He announced the next meeting. He made a pitch for support of the

Society. He made the parking announcement.

Mr. Saalbach introduced Robert Hershey, chairperson of the

nominating committee. Mr. Hershey announced the committee’s slate of

office candidates and invited nominations from the floor.

Finally, Mr. Saalbach invited everyone to stay for the social hour and

adjourned the 2,212th meeting at 9:52 pm.

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99

Attendance: 77

Weather: Cool

Temperature: 9^

Minutes of the 2,214“" Meeting, December 15, 2006

Mr. Mihail Roco: Nanotechnology

President William Saalbach called the 2,214^*" meeting to order at 8:18

p.m. December 15, 2006, in the Powell Auditorium of the Cosmos Club.

The recording secretary read the minutes of the 2,213^^ meeting and they

were approved.

Mr. Saalbach introduced Mihail Roco of the National Science

Foundation. Mr. Roco, who is NSF’s senior advisor for nanotechnology,

spoke on “Nanotechnolgy.”

Five years ago, Mr. Roco began, nanotechnology engendered general

disbelief Now, there is general concern about who will be the leader in

the field.

Nanotechnology means control and restructuring of matter at

dimensions of roughly 1-100 nanometers. At this level of matter, new

phenomena enable new applications

The new phenomena at nanoscale include quantum effects, large

surface area, confinement, larger reactivity, and many others. There may

be many ways to exploit them. For example, the surfaces of membranes

with aligned carbon nanotubes are almost friction-free. Water flows

through them at 100,000 times the expected speed.

At about 1 nanometer, direct observation of electron orbitals has been

achieved, which is useful in understanding molecular assembling. Also

molecular logic switches have been found.

In the 10-nanometer neighborhood, self-assembling quantum dots,

small pyramids of molecules, have been observed. These are potentially

useful for logic chips. Also at ten nanometers, the folding of proteins into

precise structures has been observed.

In the range of 1 0-200 nanometers, new materials of high strength and

low cost have been produced, potentially useful in such things as

automobile parts. Also, DNA-based nanoparticle building blocks have

been produced.

An interesting possibility is the construction of nanoscale electronic

circuits using self-assembling DNA synthetic strands and nanoparticles.

People also are working on chemistry to synthesize components of nano

machines to work on surfaces and be activated by external

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100

electromagnetic fields and light driven molecular motors. Papers on these

developments are available at w'wvv. nseresearch.org.

Humans, he obser\ed. live in the neighborhood of the meter. 10

meters is the limit of flight of satellites and 10"' is the largest known size.

10' meter is the lower limit of manufacmring today, and 10'"^ is the

smallest known size.

What is special about nanotechnolog>’? It reaches the basic level of

organization of atoms and molecules. It offers a broad technology

platform for industry’, medicine, and the environment, with great societal

implications. It has high purpose goals, including more basic science and

education, higher work efficiency, molecular medicine, and extending the

limits of sustainable development.

The societal implications include:

• increasing the knowledge base, that is, having a better

comprehension of nature and life;

• new technologies and products-it has been estimated that

products incorporating nanotechnolog\’ will, by 2015, be valued

at SI trillion;

• improved healthcare, increased life-span and improved quality’ of

life;

• sustainabilit\’ of agriculture, food, water, energ\’, materials, and

en\ ironment; for example by reducing energy used in lighting.

Mr. Roco sees four phases of nanotechnology’ in the 20 years

following 2000. In 2000 we entered the first, which involved passive

nanostructures such as coatings, nanoparticles, and nanostructured metals,

polymers, and ceramics. In 2005 began the phase of active nanostructures,

including transistors, amplifiers, targeted drugs, actuators, and adaptive

strucmres. Phase 3 he expects to begin about 2010 and to be the phase of

systems of nanosystems, with such things as guided assembling, 3D

networking, new hierarchical architectures, and robotics. Phase 4 will

involve molecular nanosystems, including molecular devices ‘by design.'

atomic design, and newly emerging functions.

For use in the human body, he anticipates sensors for monitoring,

localized drug deliveiy. neural stimulation, cardiac therapies, and artificial

organs. Within cells, he anticipates materials with better interactions with

cell materials and scaffolds for tissue engineering.

• Over 400 consumer products incorporated simple nanostructures in

2006. One example: glass for a beer bottle that will keep the beer

cold. In Beijing, the new Narional Opera Hall will have a glass

surface coated with photocatalytic nanoparticles that cause dirt

Washington Academy of Sdences

101

particles to lose cohesion. Auto companies hope to have a similar

feature for paint.

Nanotubes are already quite common. What they do well includes:

• tips for nanoprobes

• field emission devices

• transistors

• sport products - bats, sticks, seats, frames rackets, skis, and so on,

where they increase performance by 30 or 40 percent

• electromechanical actuators

• logic gates

• batteries

• gas storage matrices

He showed a picture of a perfectly formed diamond, a single crystal

2.5 mm high, formed by molecular control of chemical vapor deposition.

Other exciting things people are working on are:

• drugs that will, instead of distributing randomly, seek out problem

cells or structures and treat them;

• nanocars - devices of 2 by 3 nanometers that will move on a

surface, driven by light or heat powered nanomoters;

• simulated natural systems that will produce silk and cotton;

• self-assembling molecules, which might be useful in treating

neural disorders.

Japan, Europe, and the U.S. are all investing heavily in

nanotechnology. The U.S. leads in patents. The effort in China is showing

a dramatic upswing. U.S. government spending by various agencies

totaled $270 million in 2000 and grew to $1.3 billion by 2006, although

growth has moderated in the last few years.

There are already a number of communication efforts to reach students

with nanotechnology. Mr. Roco expects nanotechnology to have

fundamental effects on academia, including:

• putting fundamental concepts at the beginning in education;

• increasing opportunities for discovery and innovation;

• bringing disciplines together;

• nanoscale interdisciplinary laboratories;

• multidisciplinary and international planning and collaboration.

Similarly, he expects great effects in business, including:

• competitive advantage by improved products;

• new products (over half of chemical, electronic, and

pharmaceutical products will involve nanotechnology by 2015);

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• convergence with biomedical, electronics, and cognition;

• new business models with “horizontal” information flow, science

and technology clusters, and distributed production;

• global governance, strong collaboration and competition.

He offered to answer questions.

Someone raised a concern about nanoparticles and the immune

system.

“Good news and bad news,” he said. There are no reported immune

system responses to nanoparticles, and indeed there may be many similar

particles in nature. However, cosmetics are not regulated in any way, so

they may carry risks. Nanotubes do go into the brain, but so do other

products, such as brake dust. Nanotubes are eliminated from the body in

one hour.

Mr. Saalbach announced the next lecture, on “The Mystery of Iron,”

by William Saalbach. He reflected that the talk we had just heard, on

“Nanotechnology,” was the David Franklin Bleil lecture. He made the

parking announcement. He made a pitch for financial support of the

Society. Finally, at 9:25 pm, he adjourned the 2,214^^ meeting to the

annual business meeting.

Attendance: 63

Weather: Cool, breezy, relatively clear

Temperature: 7^

Minutes of the 2,218**^ Meeting, March 2, 2007

Mr. Thomas McCaskill: The Global Positioning System

President Ruth McDiarmid called the 2,218^^ meeting to order at 8:17

pm March 2, 2007, in the Powell Auditorium of the Cosmos Club. The

recording secretary read the minutes of the 2,217^^ meeting and they were

approved.

Ms. McDiarmid made announcements about membership, volunteer

help for the Society, and tax exempt contributions. She made the parking

announcement.

Ms. McDiarmid then introduced the speaker of the evening, Mr.

Thomas McCaskill, retired from the U.S. Naval Research Laboratory. Mr.

McCaskill spoke on “The Global Positioning System.”

Mr. McCaskill set out to tell us what the GPS is and how it works,

about NRL’s role in space, and about the revolutionary impact of GPS on

Washington Academy of Sciences

103

our nation and the world. The system enables people to determine position

instantaneously and speed nearly instantaneously. The system has, he said,

millions of civilian users, including the 911 emergency location function

for cell phones.

GPS is run by the Air Force for the Department of Defense. It was

designed primarily as a military system but is now available for civilian

use also.

He started with a slide showing four satellites, the names of which he

knew by heart. These were the first four that, back in 1977, proved the

concept would work.

Five clocks are needed to determine position and the clock offset of

the GPS receiver. The four satellite clocks are free running, but their times

are typically within several hundred microseconds of “GPS time.” Data

given in the navigation message for each satellite are used to correct for

the offset of each satellite clock with respect to GPS time and to compute

the position of the satellite, with a correction for the propagation time

delay for each of the satellites. The measurements used by the receiver are

the apparent time differences between the clock in the receiver and the

clocks in the satellites. These differences result from the distance between

each satellite and the receiver clock offset. The receiver clock is also free

running. Until it takes the different measurements, its variation from GPS

time is unknown. A constellation of 28 satellites circles the Earth in 12-

hour orbits and provides enough satellites to accurately solve for the four

unknowns at the location of any GPS receiver on Earth. The time-delay is

about 65 milliseconds for a satellite straight overhead and about 85

milliseconds for one on the horizon.

Passive ranging is fundamental to the system. Passive ranging means

that the distance from each satellite is determined without any

transmission from the receiver. The synchronization of the satellite clock

with the clock in the GPS receiver is what makes this possible. NRL

scientist Roger Easton originated and patented this concept that is used by

GPS.

There are different methods of getting the initial estimates of location

of the receiver and time for the receiver’s clock. One has the receiver

operator choose the nearest city from a list of 100 cities around the world.

A method Mr. McCaskill developed averages the vectors to all the

satellites detected by the receiver.

Two carrier frequencies are used to transmit from the satellites. The

timing information is broadcast using pseudo-random noise codes. These

codes, which are different for each satellite and orthogonal to each other.

Fall 2007

104

are used by the receiver to distinguish among the satellite signals. Mr.

McCaskill demonstrated this using volunteers vocalizing from different

parts of the room. We found we could distinguish among the voices, even

when several were sounding at once.

Time prevents a detailed review of the mathematics of the

determination of time and locations. However, it is a logically similar to

one of those puzzles about the age of children. If Adam is two years older

than Blake, Blake is twice as old as Carrie, and Carrie is 1/3 as old as

Adam, how old is Carrie? If you have enough information about the

differences, you can determine the ages of them all. In the GPS, location is

related to time differences from the satellites, so location can also be

determined.

Many people see GPS as a new and different thing. Mr. McCaskill

sees it as a result of a long history of the Naval Research Laboratory and

its role in work on navigation.

Navigation by time goes back a long time. He recalled the work of

John Harrison, the British man who invented a clock that would keep time

at sea accurately enough to use in determining longitude. That was in the

mid 1700’s. That type of device was used for 200 years until the

development of electronic clocks and atomic clocks in the mid 1900’s.

NRL took delivery of the first commercially produced cesium atomic

clock in 1955. In 1974 the first atomic clock orbited the Earth in a satellite

built by NRL.

NRL was established in 1923 on the recommendation of Thomas

Edison, whose statue stands at the entrance. It started with two divisions,

radio and sound. In 1998 it celebrated its 75^^ anniversary. Among its

contributions, it counted the Minitrack System (used to track Vanguard

satellites), the Vanguard program, the Navy Space Surveillance System,

the Timation Program, and the Global Positioning System.

After World War II, NRL participated in the V-2 research program at

the invitation of the U.S. Army. NRL designed 80 different scientific

experiments, with instrumentation that was placed into the nose cone of

the captured German rockets. These produced the first direct measurement

of atmospheric pressure above 18 miles, the first photos of Earth from 40,

70, and 101 miles up, the first photos of the ultraviolet solar spectrum

below 285 angstroms, the first detection of x rays from the Sun, and other

notable milestones. Those V-2 launches were the birth of space-based

astronomy and the Navy’s space program. NRL proceeded to develop its

own rockets, Mr. McCaskill said, “... when it became evident that the

supply of V-2 rockets would be exhausted.”

Washington Academy of Sciences

105

He turned to “war stories” about GPS. In Desert Storm (the first “Gulf

War”) troops were found using their own Visa cards to buy receivers for

about $3,500 because not enough military GPS receivers were available.

In WWII, less than 5% of bombs hit their targets. Now ships, aircraft,

tanks, and troops launch precision guided munitions and track their

positions precisely. We now see a possibility of wars fought with robots

rather than human beings.

In 2003, nine men were trapped in a mine in Pennsylvania for 77

hours. Rescue workers, using GPS, were able to drill a 6-inch air hole to

their location to keep them alive until a larger, 22-inch, shaft could be

drilled and a rescue capsule lowered.

There are many examples of GPS saving lives, not all of them

recounted in General Motors Onstar ads. Mr. McCaskill hopes he will live

long enough to ride in an automobile piloted by GPS.

He closed by saying that we have the most powerful nation on God’s

Earth. What the future will be depends on all of us working together.

In the question-and-answer session, he amplified that clock accuracy

is a basic requirement so that we were able to use GPS for a 1 80-day war.

So much military function depends on GPS to provide location ability

without a tracking system.

He stated that we could build automatic cars now. Robotic autos, he

“guaranteed,” would do better than 99% of all the drunks on the highway.

Asked if a quantum positioning system could make GPS more

accurate, he said he thought it would, but he wasn’t sure it would be cost-

effective. He did offer hope that it might help us determine what is

happening at the nanometer level.

Should we expect any effects of daylight saving time? No, he said —

GPS time does not use DST at all.

He was asked why, with such an ability to determine facts on the

ground from space, we did not have a better assessment of the situation in

Iraq before we invaded. Mr. McCaskill pointed out that the determination

of facts and the assessment of the overall situation are different things. He

said that while he was a government employee the Hatch Act covered him

and he avoided partisan political statements.

He was asked about atmospheric effects on passive ranging. He said

the measurements are corrected for ionospheric delay and atmospheric

anomalies. Without those corrections, the system could only determine

location to within 60 - 70 meters.

Ms. McDiarmid thanked our speaker. She presented a plaque

commemorating the occasion and awarded him a year’s membership in the

Fall 2007

106

fh

Society. Finally, at 9:48 pm, she adjourned the 2,218 meeting to the

Social Hour.

Attendance: 59

Weather: Very clear, beautiful, with a slight breeze that felt like it

came from the Gulf

Temperature: 11^

Respectfully submitted,

Ron Hietala, Recording Secretary

Washington Academy of Sciences

I

107

A REPORT OF THE ANNUAL CONFERENCE OF THE

WORLD FUTURE SOCIETY

MINNEAPOLIS, MN., JULY 29-31 , 2007

FOSTERING HOPE AND VISION FOR THE 21^^^ CENTURY

THE WORLD FUTURE SOCIETY’S 2007 MEETING in Minneapolis

attracted more than 900 people from 35 countries, including professional

futurists, academics and writers, and others with an active personal

interest in understanding what the future may hold and how they can help

to shape that future. This conference offered something for everyone.

The two days before the meeting offered five well-subscribed short

courses on principles and techniques of futurist study, and a Nanotech

Symposium. The meeting was followed by a Professional Members Forum

and “Minnesota Futures Day” on August 1.

Professional futurists come in several varieties. There are strategic

futurists who, as specialized consultants or from within corporations and

government agencies, advise their organizations about trends and forces

ranging from technology developments to social value change, usually on

a ten to thirty year time horizon, that will affect potential future

opportunities or problems. Tactical futurists operate on a shorter time

horizon, using statistical data bases and models to forecast impending

shifts in social, economic, and political conditions. Some futurists focus

on teaching, lecturing or writing articles and books about understanding

future possibilities. A number of U.S. colleges and universities offer

futures courses, and at least two — the University of Texas and the

University of Hawaii — offer degrees in the field.

The conference featured a number of keynote and plenary

speakers, such as: “The Future of the Family” (anthropology professor

Helen Fisher of Rutgers University), “Biotechnology and Health Care”

(Gregory Stock, Signum Biosciences), and “Innovation at the Verge” (Joel

Barker, Infinity Limited, Inc.). Seventy concurrent sessions or special

events covered such diverse topics as demographics, education,

immigration, marketing, globalization, wind energy, RFID technology,

rural design, sustainable environments, gender roles, communications.

Fall 2007

li

108

geopolitics, homeland security, urban development, blogging, civil rights,

medical technology, law enforcement, and more.

Other features of the conference included an exhibits area, a book

store, meet-the-author sessions, and job counseling services.

The 2008 WFS Conference will be in Washington, DC. Papers and

session proposals are invited; the deadline for submission is February 29.

For instructions, see www.wfs.org/2008main.htm.

—Vary Coates

Editor's note: The World Future Society is one of the Academy's

Affiliated Societies. We expect some papers from this conference to

appear in later issues of the Journal.

Washington Academy of Sciences

109

NEWS OF MEMBERS, FELLOWS, AND AFFILIATES

Joe Coates, Fellow, gave two talks at the World Future Society’s annual

meeting in Minneapolis. August 1-2, as well as teaching a two-day short

course on futures techniques preceding the final meeting. Joe has also

published a book, A Bill of Rights for IT' Century America (The Kanawha

Institute for the Future, 2007), available from Amazon.com.

Jim Cole, WAS Fellow, with co-inventers Robert P. Moeller and Marta

M. Howerton, has received his 9^*^ patent, on “Low Loss Electrodes for

Electro-optic Modulators” (7,224,869 B2).

Saj Durrani, WAS Fellow and former Vice President for Operations

(2001-04), has been named a Distinguished Engineering Alumnus by the

University of New Mexico, where he got a doctorate in Electrical

Engineering in 1962. The award will be given during a banquet in

Albuquerque on September 27. Saj had a distinguished career in industry

(GE, RCA Space Center, Comsat, etc.), and then with NASA till retiring

in 1992, after which he spent six years with the Computer Sciences Corp,

and was a Government Fellow of the lEEE-USA, first with the FCC

(2000-01) and then with the State Department (2004-05).

Tom Me yuan, with co-author Terry Teays, will celebrate the release on

October 19 of their new book. Optimizing Luck: What the Passion to

Succeed in Space Can Teach Business Leaders on Earth (Davies-Black

Publishing). Meylan and Teays were managers at NASA Goddard Space

Flight Center’s International Ultraviolet Explorer (lUE) Mission, designed

to give the entire astronomical community access to the ultraviolet

spectrum of astronomical objects. The lUE Project’s success in dealing

with the unexpected helped to extend a modest, initial three year mission

plan into a legendary twenty-year scientific institution. The techniques

documented in Optimizing Luck can, the authors say, be extended to

multiply human performance levels in other government agencies and

high-tech businesses.

Alain Touwaide, President of WAS, and Emanuela Appetiti were

invited speakers at the 3rd International Congress on Traditional Medicine

& Materia Medica, held in Kuala Lumpur on 17-20 July. Alain spoke on

Fall 2007

110

‘'A Forgotten Treasure from Ancient Documents,” and Emanuela’s paper

was on ‘The Basis of Therapeutics among Australian Aborigines.” They

also jointly presented “Cinnamon in Classical Antiquity,” in a poster

session. They followed the conference with ethnobotanical research in

communities on the East Coast of the country.

Emanuela Appetiti and Alain Touwaide also attended the 38th

International Congress for the History of Pharmacy, in Sevilla, Spain,

September 19-22, and then participated in a workshop on Arabic

Pharmacology, organized by the School of Arabic Studies of the Spanish

High Council for Scientific Research in Granada.

The History of Science Society’s Annual Meeting will be held

this year in Arlington, Virginia, on November 1-4. This will be the first

meeting in the DC area in over 15 years, and a record attendance is

already expected, including historians, scientists, philosophers, archivists,

librarians, and others. Alain Touwaide, President of the Academy, will

present a paper entitled “Global Science and International Language: The

Case of the Medieval Mediterranean.” The book exhibit is a highlight of

the annual meeting and this year for the first time the Academy will host

an exhibit to provide information about its activities. Come visit us!

There is more information at

http://www.hssonline.org/07_VA_meeting_info/VA_meeting.htm.

THE Capital Science ’08 conference March 29-30 is shaping up rapidly.

See http://www.washacadsci.org/capsci08/Index.htm.

Washington Academy of Sciences

AFFILIATED INSTITUTIONS

The National Institute For Standards and Technology

Meadowlark Botanical Gardens

The John W. Kluge Center of the Library of Congress

Potomac Overlook Regional Park

Koshland Science Museum

August 2004

This page intentionally left blank

Washington Academy of Sciences

DELEGATES TO THE WASHINGTON ACADEMY OF SCIENCES

REPRESENTING AFFILIATED SCIENTIFIC OCIETIES

Acoustical Society of America

American/International Association of Dental Research

American Association of Physics Teachers

! American Ceramics Society

i American Fisheries Society

! American Institute of Aeronautics and Astronautics

American Institute of Mining, Metallurgy & Exploration

American Meteorological Society

American Nuclear Society

American Phytopathological Society

American Society for Cybernetics

American Society for Microbiology

American Society of Civil Engineers

American Society of Mechanical Engineers

American Society of Plant Physiology

Anthropological Society of Washington

ASM International

Association for Women in Science (AWIS)

: Association for Computing Machinery

Association for Science, Technology, and Innovation

Association of Information Technology Professionals

Biological Society of Washington

I Botanical Society of Washington

Chemical Society of Washington

District of Columbia Institute of Chemists

District of Columbia Psychology Association

Eastern Sociological Society

Electrochemical Society

Entomological Society of Washington

Geological Society of Washington

Historical Society of Washington, DC

History of Medicine Society

Human Factors and Ergonomics Society

Institute of Electrical and Electronic Engineers

Institute of Food Technologies

Institute of Industrial Engineers

Instrument Society of America

Marine Technology Society

Mathematical Association of America

Medical Society of the District of Columbia

National Capital Astronomers

National Geographic Society

Optical Society of America

Pest Science Society of America

Philosophical Society of Washington

Society of American Foresters

Society of American Military Engineers

Society of Experimental Biology and Medicine

Society of Manufacturing Engineers

Soil and Water Conservation Society

Technology Transfer Society

Virginia Native Plant Society, Potowmack Chapter

Washington Evolutionary Systems Society

Washington History of Science Club

Washington Chapter of the Institute for Operations Research

and Management Science

Washington Paint Technology Group

Washington Society of Engineers

Washington Statistical Society

World Future Society

Paul Arveson

J. Terrell Hoffeld

Frank R. Haig, S.J.

VACANT

Ramona Schreiber

David W. Brandt

Michael Greeley

Kenneth Carey

Steven Arndt

Kenneth L. Deahl

Stuart Umpleby

VACANT

Kimberly Hughes

Daniel J. Vavrick

Mark Holland

Marilyn London

Toni Marechaux

Jodi Wasemann

Lee Ohringer

F. Douglas Witherspoon

Barbara Safranek

VACANT

Emanuela Appetiti

David A.H. Roethel

David Williams

Ronald W. Mandersheid

Robert L. Ruedisueli

F. Christian Thompson

Bob Schneider

VACANT

Alain Touwaide

Douglas Griffith

Sajjad Durrani

Murty Polavarapu

Isabel Walls

Neal F.Schmeidler

Hank Hegner

Judith T. Krauthamer

Sharon K. Hauge

Duane Taylor

Jay H. Miller

VACANT

Jim Low

VACANT

Peg Kay

Daina D. Apple

VACANT

C.R. Creveling

VACANT

Bill Boyer

Clifford Lanham

VACANT

Jerry L.R. Chandler

Albert G. Gluckman

Russell R. Vane III

VACANT

Alvin Reiner

Michael P. Cohen

Diane Pickar

Washington Academy of Sciences

Room 637

1200 New York Ave. NW

Washington, DC 20005

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UNIVERSITY

Volume 9#'3

Number 4

Winter 2007

WASHINGTON

ACADEMY OF SCIENCES

Contents

Editor’s Comments i

Instructions To Authors ii

David L. Abel, Complexity, Self-Organization, and Emergence at the Edge of Chaos 1

Michael Duffy, What on Earth Are They Doing? Mining Through the Ages 21

Jafar Ha, The New International Polar Year 37

Adam Kemp, Systems Engineering at Thomas Jefferson High School 45

Directory of WAS Members and Fellows 57

Capital Science 2008 67

ISSN 0043-0439

Issued Quarterly at Washington DC

Washington Academy of Sciences

Founded in 1898

Board of Managers

Elected Officers

President

Alain Touwaide

President Eiect

Albert H. Teich

Treasurer

Russell Vane III

Secretary

James Cole

Vice President, Administration

Gerard Christman

Vice President, Membership

Murty S. Polavarapu

Vice President, Junior Academy

Paul L. Hazan

Vice President, Affiliated Societies

E. Eugene Williams

Members at Large

Sethanne Howard

Donna Dean

Vary T. Coates

Frank Haig, S.J.

Jodi Wesemann

Past President: Bill Boyer

The Journal of the Washington Academy

of Sciences

The Journal is the official organ of the

Academy. It publishes articles on science

policy, the history of science, critical reviews,

original science research, proceedings of

scholarly meetings of its Affiliated Societies,

and other Items of Interest to its members. It is

published quarterly. The last issue of the year

contains a directory of the current membership

of the Academy.

Subscription Rates

Members, fellows, and life members in good

standing receive the Journal free of charge.

Subscriptions are available on a calendar year

basis, payable in advance. Payment must be

made in U.S. currency at the following rates.

US and Canada $25.00

Other Countries 30.00

Single Copies (when available) 10.00

Ciaims for Missing Issues

Claims must be received within 65 days of

mailing. Claims will not be allowed if non-

delivery was the result of failure to notify the

Academy of a change of address.

AFFILIATED SOCIETY DELEGATES!

Shown on back cover

Editor of the Journal

Vary T. Coates

Associate Editors:

Sethanne Howard

Emanuela Appetiti

Elizabeth Corona

Alain Touwaide

Academy Office

Washington Academy of Sciences

Room 631

1200 New York Ave NW

Washington, DC 20005

Phone: 202/326-8975

Notification of Change of Address

Address changes should be sent promptly to

the Academy Office. Notification should

contain both old and new addresses and zip

codes.

POSTMASTER:

Send address changes to WAS, Rm.631,

1200 New York Ave. NW

Washington, DC. 20005

Journal of the Washington Academy of

Sciences (ISSN 0043-0439)

Published by the Washington Academy of

Sciences 202/326-8975

email: was@washacadsci .orq

website: www.washacadsci.orq

THE EDITOR COMMENTS

Scientific careers often begin early, with a strong interest in

science being evidenced and hopefully encouraged well before a student

reaches college. In this issue we are given a window into that exciting

development by two papers, one contributed by Adam Kemp, a teacher in

a local high school that specializes in the teaching of principles of science

and engineering, and another by Jafar Ila, a freshman at Florida State

University then on a summer internship in Washington.

As with all quarterly journals, we are usually in the process of accepting,

editing, and formatting papers as long as a year (and at least two months)

before you receive the journal issue that includes them. Yet often the

contents when they appear seem surprisingly timely. For example, Adam

Kemp’s paper in this issue describes the work being done by his systems

engineering students at Thomas Jefferson High School of Science and

Teclinology. On November 30, just after we sent the final galleys to Mr.

Kemp for approval, the Washington Post noted that his school had been

named the nation’s No.l high school for academic excellence by US.

News World Report Magazine. Mining safety and health, one focus of

Michael Duffy’s paper in this issue, became the subject of many news

stories and policy debates following several mining disasters in the

summer of 2007.

The Spring 2007 issue of the Journal carried a paper by R. Allen Gardner,

“Review of Sign Language Studies of Cross Fostered Chimpanzees.”

Sadly, The New York Times on November 1 announced (in a quarter-page

spread on page A 13) that Washoe, the first of the infant chimps fostered

by Drs. Allen and Beatrix Gardner at the University of Nevada and

encouraged to communicate using American Sign Language, has died. The

Times reported that Washoe died in bed, of natural causes, at age 42,

“surrounded by staff and other primates who were close to her.”

As we ready this issue for press, in early December, it is timely to wish

our readers a healthy, prosperous, and happy New Year!

Winter 2007

II

INSTRUCTIONS FOR AUTHORS

THE JOURNAL of the Washington Academy of Sciences is a peer-

reviewed journal. Exceptions are made for papers requested by the editors

or positively approved for presentation or publication by one of our

affiliated scientific societies.

We welcome disciplinary and interdisciplinary scientific research reports

and papers on technology development and innovation, science policy,

technology assessment, and history of science and technology. Book

reviews are also welcome.

Contributors of papers are requested to follow these guidelines carefully.

Papers should be submitted as e-mail attacliments to the chief editor, vcoatcs@mac.coni

along witli full contact information for the primary or corresponding author.

Papers should be presented in Word; do not send PDF files.

Papers should be 6000 words or fewer. If more tlian 6 graphics are included tlie number

of words allowed will be reduced accordingly.

Graphics must be in black and white only. They must be easily resized and relocated. It is

best to put graphics, including tables, at the end of the paper or in a separate document,

with tlieir preferred location in the text clearly indicated.

References should be in the form of endnotes, and may be in any style considered

standard in tlie discipline(s) represented by the paper.

Washington Academy of Sciences

COMPLEXITY, SELF-ORGANIZATION,

AND EMERGENCE AT THE EDGE OF CHAOS

IN LIFE ORIGIN MODELS

David L. Abel*

The Origin of Life Foundation, Inc,

Abstract

“Complexity,” “self-organization,” and “emergence” are terms used extensively in

life -origin literature. Yet precise and quantitative definitions of these terms are

sorely lacking. “Emergence at the edge of chaos” invites vivid imagination of

spontaneous creativity. Unfortunately, the phrase lacks scientific substance and

explanatory mechanism. We explore the meaning, role, and relationship of

complexity at the edge of chaos along with self-organization. We examine their

relevance to life-origin processes. I'he high degree of order and pattern found in

“necessity” (the regularities of nature described by the “laws” of physics) greatly

reduce the unceilainty and information retaining potential of spontaneously-

ordered physical matiices. No as-of-yet undiscovered law, therefore, will be able

to explain the high information content of even the simplest prescriptive genome.

Maximum complexity corresponds to randomness when defined from a

Kolmogorov perspective. No empirical evidence exists of randomness (maximum

complexity) generating a halting computational program. Neither order nor

complexity is the key to frmction. Complexity demonstrates no ability to compute.

Genetic cybernetics inspired Turing’s, von Neumann’s, and Wiener’s development

of computer science. Genetic cybernetics cannot be explained by the chance and

necessity of physicodynamics. Genetic algoritlimic control is fundamentally

formal, not physical. But like other expressions of formality, it can be instantiated

into a physical matrix of retention and channel transmission using dynamically-

inert configurable switches. Neither parsimonious law nor complexity can

program the efficacious decision-node logic-gate settings of algorithmic

orgamzation observed in all known living organisms.

*

Dr. David L. Abel is a theoretical biologist focusing on primordial biocybemetics. He

is the Program Director of The Gene Emergence Pro ject, an international consortium of

scientists pursuing the natural-process derivation of initial biocybernetic/biosemiotic

programming and control.

Winter 2007

2

By what natural process did inanimate nature generate:

1 . A genetic representational sign/symbol/token system?

2. Decision nodes and logic gates?

3. Dynamically-inert (dynamically incoherent) (Rocha, 2001)

configurable switch settings that instantiate functional “choices”

into physicality?

4. A formal operating system, software, and the hardware on which

to mn it?

5. An abstract encryption/decryption system jointly intelligible to

both source and destination?

6. Many-to-one Hamming “block codes” (triplet-nucleotide codons

prescribing each single amino acid) used to reduce the noise

pollution of genetic messages?

7. The ability to achieve computational halting in the form of

homeostatic metabolism?

The heuristic/operational value of using computational and

linguistic analogies to describe genetic programming is widely accepted. It

is nevertheless common to dismiss many of the above-listed parallels with

cybernetics as being merely metaphor. Multiple investigators have taken a

close look at possible limits to this metaphor (Emmeche and Hoffmeyer,

1991, Fiumara, 1995, Konopka, 2002, Lackoff and Johnson, 1980,

Lackoff, 1993, Rosen, 1993, Sarkar, 2003, Torgny, 1997). Others have

discussed whether semantic infonuation about phenotypic traits actually

exists (Allan and Koppel, 1990, Godftey-Smith, 2003, Griffiths, 2001,

Maynard Smith, 2000, Moss, 2003, Stegmann, 2005, Sterelny et ai, 1996,

Wheeler, 2003). Lwoff warned against taking the genetic information and

linguistic metaphors too far (Lwoff, 1962). Some claim that the metaphor

is misleading (Godfrey-Smith, 2003, Griffiths, 2001, Kauffman, 1993,

Kay, 2000, Keller, 2000, Noble, 2002, Stent, 1981). Rocha (Rocha, 2001,

Rocha and Hordijk, 2005) fully appreciates Pattee’s epistemic cut (Pattee,

1995b) and the need for semantic closure (Pattee, 1995a), but seeks to

explain formal self-organization and sign systems physicodynamically.

Others view genetic information as real (Jacob, 1974), (Alberts et al,

2002), (Davidson et aL, 2002), (Wolpert, 2002), (Stegmann, 2005),

(Barbieri, 2004) and (Abel, 2002, Abel and Trevors, 2005, 2006a, b, 2007,

Abel, 2009).

None of these bioinformation literalists, however, views genetic

information as being “everything.” Anti-informationists (e.g.,

Washington Academy of Sciences

3

infodynamicists) often create this straw-man argument as justification for

denial that any bioinformation exists. Such factors as non-genetic

inheritance of cytoplasm and membrane, the role of environment in gene

expression, epigenetic factors, prions, post-transcriptional and post-

translational editing, do not undo the reality of objective prescriptive

information instantiated into linear digital genetic code. They only

compound the sophistication of life’s control mechanisms.

The first problem with trying to reduce the cybernetic nature of

molecular biology to mere metaphor is that biological programming

predates the veiy existence of metaphors. Molecular biology provided the

model for the entire field of cybernetics. Genetic cybernetics inspired

Turing’s (Turing, 1936), von Neumann’s (von Neumann, 1950), and

Wiener’s (Wiener, 1948) development of computer science. Had it not

been for their observation of linear digital genetic control, computers

might never have been invented. The argument is therefore untenable, if

not amusing, that computer science generated only an analogy applied to

molecular biology in the minds of humans. If anything, computer science

is analogous to the formal logic of a molecular biology that not only

preceded, but produced Homo sapiens brains and minds.

What exactly is Complexity?

Use of the term ''complexity” is extensive in life-origin scientific

literature. Unfortunately, complexity is a garbage-can catch-all term we

use to explain everything we don’t understand and can’t reduce.

Surprisingly, an unequivocal, pristine, mathematical definition of

"complexity” does exist in scientific literature (Kolmogorov, 1965, Li and

Vitanyi, 1997). We achieve quantification of complexity through

measuring algorithmic compressibility. When a sequence camiot be

compressed, it is maximally complex. Random sequences are maximally

complex. Maximum complexity cannot be compressed because it lacks

patterns and order (Chaitin, 1990, 2001).

Charles Bennett’s "logical depth” is also worthy of mention here

(Bennett, 1989). Logical depth measures the time required for

computational halting. But logical depth presupposes many computer

science design concepts not relevant to prebiotic molecular evolution

questions. We will not be able to elucidate the derivation through natural

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process of initial genetic algorithmic control through a discussion of

logical depth.

The paradox of Kolmogorov/Solomonoff/ChaitinAfockey

algorithmic infonuation theory is that orderliness lies at the opposite end

of the complexity scale from uncertainty and potential information. Even

more paradoxical is that randomness (maximum complexity) contains the

maximum number of bits of non-compressible ‘‘information.” The reason

this seems so confusing is that Shannon equations do not really quantify

“information.” They quantify uncertainty and reduced uncertainty (before

and after acquired knowledge). The real purpose of Shannon theoiy is to

compare sequences: the one sent by the transmitter vs. the one received at

the receiver. It’s also important for us to remember that Shannon

quantifications have nothing to do with meaning or function (Shannon,

1948). Referring to Shamion quantifications using the term “information”

leads to much confusion. It displeased Shannon himself Shannon opposed

calling his theory of communication engineering, “information theory”

(Shannon, 1951).

As the probability of an event approaches 1 .0, its order increases,

and its Shannon uncertainty approaches 0 bits. A law of physics is a j

compression algorithm for reams of data. At first glance, the data seem

almost random. The discovery of a law of physics corresponds to the

discovery of order and patterns of relationship hidden in that data. '

High probability is high order. A polyadenosine theoretically has

maximum order, no uncertainty, and therefore no complexity. Uncertainty

and Shannon Information are inversely related to order. The reason laws

are so parsimonious is that they describe a highly patterned, highly

ordered dynamic. Because law-like behavior is so regular, very little

information is required to describe the order of inanimate nature. Very i

little information can potentially be retained in any structure produced by

natural force relationships.

The Relationship Between Order and Complexity

Hubert Yockey has graphically clarified the relationship between |

order and complexity (Yockey, 2002). The inverse relationship between

order and complexity is demonstrated on a linear vector progression from i

high order on the left toward greater complexity on the right (Figure 1).

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The arrow point represents theoretical absolute randomness. How

can ''maximum complexity” possibly equal "randomness”? The answer is

that randomness cannot be algorithmically compressed to any degree. It is

therefore maximally complex. Maximum complexity is a low-end

probability bound approaching 0. The probability of 0 is a wall rather than

an edge. No probability can go below 0. No event of probability lower

than 0 interfaces with events with 0 probability.

The relationship between order and Kolmogorov algorithmic

complexity is shown graphically in Figure 2. By adding a second

dimension (Axis Yl) to the unidimensional linear vector graph of Yockey,

we can visualize the high degree of compressibility for a highly ordered

sequence like polyadenosine. Note the low degree of compressibility for a

random sequence. Ordered Sequence Complexity (OSC) is on the left.

Maximum order means maximum compressibility. Random Sequence

Complexity (RSC) is on the right. Random sequences have no

compressibility. No compressibility is maximum complexity. The more

highly ordered (patterned) a sequence, the more highly compressible that

sequence becomes. The less compressible a sequence, the more complex

is that sequence. A random sequence manifests no Kolmogorov

compressibility. This reality serves as the very definition of a random,

highly complex string. Algorithmic compressibility provides a reliable

mathematical definition of “complexity.” The shortest statement of a

random sequence is the enumeration of every character of the sequence

(Chaitin, 1990, 2001,2002).

Complexity Cannot Compute

Although a robust mathematical definition of complexity exists,

much to our chagrin, complexity has absolutely nothing to do with

function. Yet more often than not, we appeal to complexity as an

explanation of computational life-origin processes. Algorithmic function,

primordial biocybernetics, and initial organization are what we are hoping

to explain. Mere complexity provides no mechanism for any of these

three.

Computation is formal, not physical. Both computation and any

form of algorithmic optimization require efficacious decision-node

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selections. When these selections are made randomly, computational

halting has never been observed to arise.

Sophisticated algorithmic optimization has never been achieved by

chance. Function must be “selected for” at the logic-gate programming

level prior to the realization of that function. Selection of fittest function is

always after the fact of any computational success. This is called The

Genetic Selection Principle (GS Principle) (Abel and Trevors, 2005,

2006a, b, 2007, Abel, 2009). Natural selection favors only the fittest

already-computed phenotypes. Yet selection must occur at the logic-gate

level of genetic programming. Configurable switches are “set in stone”

with rigid covalent bonds before folding begins.

Three-dimensional conformation of molecular machines is largely

determined by the minimum-free-energy sinks of primary structure

folding. The primary structure of any protein or sRNA is the already- i

covalently-bound sequence of particular monomers that serve as |

configurable switch-settings.

Maximum complexity is randomness because randomness offers

the highest degree of combinatorial uncertainty. But randomness is the

equivalent of pure noise. Noise has never been observed to program any

algorithm. Adding long periods of time provides no mechanism of

selection at the decision node level where programming is accomplished.

Although a random sequence could happen to match a program sequence,

outside of a specifically chosen operational context and set of rules, such a

matching sequence would remain random and nonfunctional. Thus not

only would the random sequence itself have to match the program

sequence, but the operating system at both ends of the channel would also

have to match by chance in order for function to arise.

Order Cannot Compute

Much life-origin literature appeals to “yet-to-be discovered laws of

self-organization.” Laws, however, describe highly ordered/pattemed

behavior. Because they are parsimonious compression algorithms of data,

they contain very little information. Given the high information content of

life, expecting a new law to explain sophisticated genetic algorithmic

programming is ill-founded. Considerable peer-reviewed published

literature is erroneous because of failure to appreciate that the “complexity

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of life” could never arise from such highly “ordered,” low informational

physicodynamic patterning. Tremendous combinatorial uncertainty is

required. The complexity of life will never be explained by the highly

ordered behavior that is reducible to the low-informational laws of physics

and chemistry.

A crystal is highly ordered. Its description can be easily

algorithmically compressed. A crystal is about as far from being “alive” as

any physical state we could suggest. Every member of a 200-monomer

string of adenosines can be specifically enumerated by stating two short

clauses. “Give me an adenosine. Repeat 200 times.” This is called a

compression algorithm. The simplicity and shortness of this compression

algorithm is a measure of the extremely low complexity of this polymer.

Such a parsimonious statement of the full sequence is only possible

because that sequence is so highly patterned. Such a highly ordered

sequence lacks uncertainty, complexity, and the ability to instantiate

prescriptive information. Such a parsimonious compression algorithm can

enumerate each and every member of the 200-mer string with only seven

words. This reality defines high order or pattern along with low

information retaining potential.

We value Ocham’s Razor in laws because we realize that

physicality is so highly ordered. We consider a law to be elegant and

beautiful because of its ability to compress reams of data down to one

little parsimonious equation. When we look for new laws of physics, we

look for new compression algorithms for reams of data.

When we come to biology, however, we encounter not only the

highest degree of complexity known, we encounter linear, digital,

cybernetic, prescriptive information of the most sophisticated, abstract,

and conceptual nature. The world’s finest main frame parallel computer

system cannot hold a candle to the central nervous system of any mammal.

If all four RNA bases were equally available in a theoretical

primordial soup, each nucleotide selection would represent 2 bits of

Shannon uncertainty. If, on the other hand, some bases were more

available than others in primordial soup, the uncertainty of each

nucleotide selection drops to much less than 2 bits. Unequal availability of

bases results in more ordering of the sequence. More ordering = less

complexity, and therefore less infonnation retention potential. The

particular oligoribonucleotide strand would have mostly one or two bases

Winter 2007

with less uncertainty, fewer bits, and therefore less complexity than if all

four bases were equally available.

All too many life-origin specialists still operate under the mistaken

premise that greater complexity contains more order. In reality, order and

complexity are antithetical. In addition, neither order nor complexity is the

key to function. Neither order nor complexity alone can generate

algorithmic organization. Bona fide organization results from algorithmic

optimization. The best solutions to any problem must be selected to

achieve optimization. Apart from selection, noise will increase within any

system. A tendency toward randomization and loss of function unfolds

from noise. Complexity increases while algorithmic optimization

decreases.

This latter point exposes the second common illusion, that

increasing complexity produces increasing algorithmic utility. In reality,

complexity has nothing to do with integration, organization, or utility.

Programming requires formal decision-node choice commitments made

with intent. Any attempt to disallow choice or intent from the mix results

in the deterioration of programming function, computational halting,

integration, and organization.

In addition to showing the Kolmogorov compression in the second

dimension (Y axis). Figure 2 also shows the superimposition of a third

cybernetic dimension (Z axis), Functional Sequence Complexity (FSC).

The Y axis plane plots the decreasing degree of algorithmic

compressibility as complexity increases from order towards randomness.

The (Z) axis plane shows where along the same complexity gradient (X-

axis) that highly instructional sequences and algorithmic programs are

generally found.

The FSC curve includes all algorithmic sequences that work at all

(W). The peak of this curve (w*) represents “what works best.” The FSC

curve is usually quite narrow and is located closer to the random end than

to the ordered end of the complexity scale.

The third dimension of utility and organization is when each

alphabetical token in the linear string is selected for meaning or function.

The string becomes a cybernetic program capable of computation only

when signs/symbols/tokens are chosen to represent utilitarian configurable

switch settings. What is the common denominator to all aspects of design

and engineering function? Choice contingency; not chance contingency,

not law, not physicodynamics, but choice contingency. The FSC curve is

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usually quite narrow and is located closer to the random end than to the

ordered end of the complexity scale. Compression of an instructive

sequence slides the FSC curve towards the right (away from order,

towards maximum complexity, maximum Shannon uncertainty, and

seeming randomness) with no loss of function. This further demonstrates

that neither order nor complexity is the determinant of algorithmic

function. Functionality arises in a third dimension of selection that is

unknown to the second dimension of compressibility. This is one of the

most poorly understood realities in life-origin science. Selection alone

produces functionality. Without selection, evolution would be impossible.

Figure 3 is a dendrogram showing all possible sequences (branches

or paths) of decision node options. W paths may show some function, but

w* represents the best algorithmic path to achieve maximum function.

Notice that each path contains equal (N) bits of Shannon uncertainty

regardless of whether the path leads to anything useful. The measurement

of bits tells us nothing about whether the string does anything useful. Only

certain strings of specific choice commitments lead to function and

organization. Neither -log2 P nor the formula for Shannon mutual entropy

[1( A : B) = H{x)-H{x \ y) ] measures prescriptive information (Abel and

Trevors, 2005, 2006a, b, 2007, Abel, 2009, Trevors and Abel, 2004).

Prescriptive information either instructs or directly produces sophisticated

algorithmic utility. In addition, no reason exists to think that maximum

complexity (randomness; noise; maximum uncertainty; maximum bits)

has any functional capability in and of itself. If anything, we expect no

flinction at all out of maximum complexity.

All Known Life is Cybernetic

Any one of four different nucleotides can be added next to a

forming nucleic acid strand in aqueous solution. No physicochemical bias

exists (Judson, 1993, Monod, 1972, Polanyi, 1968) for which nucleotide

polymerizes apart from base-pairing of an already existing strand, or clay-

surface templating. The latter tends to produce polyadenosines, a non-

informational sequence because of its extremely high order and extremely

low uncertainty. Physicodynamics, therefore, does not explain functional

sequencing. The effort that has been invested into genome projects affirms

the prescriptive nature of nucleotide sequencing. While not everything, no

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one can deny that amino acid sequencing is determined by triplet codon

sequencing.

Eveiy nucleotide added to an oligoribonucleotide in the pre RNA

World represents the specific setting of an additional discrete 4-way

configurable switch. The appropriate setting of a string of programmable

switches alone accounts for computational success. Computational

“halting” in the pre RNA World is defined in terms of catalytic binding

success of three dimensional small RNA’s. But binding success depends

upon secondary and tertiary structure. Secondary and tertiary structure in

turn depends upon the thermodynamic minimum-free-energy folding sinks

of each primary structure (Rhoades et ai, 2003). Primary structure is the

sequence of nucleotides. This linear digital sequence of nucleotides is held

together by rigid covalent bonds. Covalent bonds are “written in stone”

compared to the weak hydrogen bonds, van der Waals forces, electrostatic

attractions and repulsions, and hydrophobicities that contribute to

secondary folding.

Atlan et al attempt to elucidate a mechanism for self-classification

and self-organization in automata networks (Atlan et al, 1986). They also

explore the notion of self-creation of meaning (Atlan, 1987). Finally they

suggest that DNA is data rather than program (Atlan and Koppel, 1990).

As with Shannon (Shannon, 1948), Kolmogorov (Kolmogorov, 1965),

Chaitin (Chaitin, 1987), and Yockey (Yockey, 2005), Atlan et a/.'s

concept of information fails to measure up to what we actually observe in

molecular cybernetics. The reason is a failure to acknowledge and

incorporate the literal instructive and controlling role of genetic

information. Linear digital genetic information specifically prescribes

functional sRNA and protein sequences. Post transcriptional and post

translational editing does not undo this reality. They only add to the

sophistication of the entire system. No progress will be made in

quantifying semantic information until we pursue the unique properties of

what Abel has termed prescriptive information (Abel and Trevors, 2006a,

b.2007, Abel, 2009). Prescriptive information is more than just semantic.

It is cybernetic. Prescriptive information alone generates computational

halting in the form of homeostatic metabolism. No theory of combinatorial

probabilism or compression can explain or measure computational

success. Charles Bennett’s logical depth (Bennett, 1988) comes the

closest, but presupposes human-designed computer science in a fashion

inappropriate for prebiotic molecular evolution theory.

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The key to everything that Turing, von Neumann, and Weiner did

in inventing computers was to recognize that life is made possible because

molecular biology uses dynamically incoherent, dynamically inert, freely-

configurable switches (Rocha, 2000). Any of the four ribonucleotides can

polymerize next in aqueous solution. This fact is what makes information

recordation into the physical matrix of nucleic acid possible. If selection

of the next nucleotide were determined by physicodynamic factors, the

sequence would be too highly ordered and redundant for ‘‘messenger

molecules” to be possible. Using only four alphabetical characters (four

different nucleotides), any instructions can be written into DNA. What

makes programming possible is that the switch is designed to be freely

"configurable.” Any of the four letters can be chosen without

physicochemical prejudice. This means that no law determines which way

the four-way switch knob is pushed.

In computer science, only the programmer’s mind determines

which way the switch knob is pushed. In evolution science we say that

environmental selection “favors” the fittest small groups. But selection is

still the key factor, not chance and necessity. If physicodynamics set the

switches, the switches would either be set randomly by heat agitation, or

they would be set by force relationships and constants. Neither chance nor

necessity, nor any combination of the two, can program. Chance produces

only noise and junk code. Law would set all of the switches the same way.

Configurable switches must be set using "choice with intent" if

"computational halting" is expected.

Nucleic acid can spontaneously form without purpose, such as a

polyadenosine forming (by physicochemical law) on a montmorillonite

clay template surface. But the latter is a classic example of all the switches

being set the same when law is involved. A polyadenosine is nucleic acid,

but it can't program anything. It can't relay any information, because all of

the four-way switches have been set the same way (all adenosines) “by

law.” What so many fail to realize is that RNA and DNA are nothing but

ordinary physical molecules that have the potential of being used for

information retention only through selection of each nucleotide. It is the

sequencing of particular nitrogen base selections that accounts for any

information retention in a nucleic acid molecule, not the largely inert

DNA itself. Prescriptive information is not physicodynamic. It is formal,

though it can be instantiated into a physical medium using dynamically

inert configurable switches.

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RNA (oligoribonucleotides up to eight monomers, at least) can

form spontaneously in aqueous solution. But such strings are "stochastic

ensembles" (random strings of nucleotides). As such, they too contain no

prescriptive information. They are like linguistic gibberish. They are

‘'garbage in, garbage out” computer code, pure “software bugs.”

A “cybernetic program” presupposes a cybernetic context in which

it operates. One has to have an operating system of "rules" before one can

have an application software. And of course one must have a hardware

system too. All of these components only come into existence through

"choice contingency," not through "chance contingency" or law. One of

many problems with metaphysical materialism is that it acknowledges

only two subsets of reality: chance and necessity. Neither can write

operating system rules or application software. Neither can generate

hardware or any other kind of sophisticated machinery, including

molecular machines (the most sophisticated machinery known).

We see in Figure 2 that complexity as mathematically and

scientifically defined is blind to function. Mere complexity cannot

generate algorithmic optimization. Selection for fitness is required.

Complexity cannot do this. Complexity knows nothing of selection,

fitness, or meaning. Without selection, evolution is impossible.

The Edge of Chaos

Physical events “at the edge of chaos” have never been observed to

select for fitness or binding success. No mechanism has been

demonstrated empirically whereby physicodynamics spontaneously

generates sophisticated algorithmic optimization or bona fide

organization. Switches must be set a certain way to achieve integrated

circuits. Order can spontaneously emerge from chaos. But if chaos sets

configurable switches, the result will predictably “blue screen.” Without

steering towards sophisticated function at each decision node,

sophisticated function has never been observed to arise spontaneously,

only disorganization accumulates. No prediction fulfillments have been

realized of cooperative integration of biofunction arising spontaneously in

nature.

“Emergence at the edge of chaos” is poetic, if not mesmerizing.

The phrase invites vivid imagination of mystical powers and ingenious

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spontaneous creativity. Unfortunately, this notion has not provided

detailed scientific mechanism to explain the efficacious selection of

pragmatic configurable switch-settings. Organization requires algorithmic

optimization. The latter requires expedient decision-node commitments

that are instantiated into specific physical configurable switch-settings. To

explain life origin requires elucidating how these particular logic gates

were selected at the genetic level. Phenotypes must first be computed

before the fittest phenotype can be selected.

No plausible theoretical mechanism and no empirical evidence for

emergence exist in the literature. No prediction fulfillment of spontaneous

emergence exists. In every case that provides the illusion of spontaneous

emergence, investigator involvement can be demonstrated in the Materials

and Methods section of so-called ‘‘evolutionary algoritlim” papers. The

experimenter’s goal and steering are apparent in faulty experimental

designs. This is usually evident in the choice of each successive iteration

to pursue. Real evolution has no goal. Iterations cannot be steered toward

experimenters’ goals (e.g,, a desired ribozyme using SELEX (Ellington

and Szostak, 1990, Robertson and Joyce, 1990, Tuerk and Gold, 1990)).

Quality science requires brutal self-honesty. We must be open-minded

enough to consider the possibility that emergence and self-organization

are closer to metaphysical presuppositions than observed scientific facts.

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problem. Proc. Roy. Soc. London Mathematical Society 42; 230-265 [correction

in 43, 544-546].

Wheeler, M., 2003, Do genes code for traits? In Rojszczak, A., Cachro, J. and

Kurezewski, G., Philosophic dimensions of logic and science; Selected

contributed papers from the 1 1 th international congress of logic, methodology,

and philosophy of science. Kluwer, Dordrecht.

Wiener, N., 1948, Cybernetics. Hemiaim, Paris.

Wolpert, L., 2002, Principles of development. Oxford University Press, Oxford.

Yockey, H.P., 2002, Information theory, evolution and the origin of life. Infonnation

Sciences 141; 219-225

Yockey, H.P., 2005, Information theory, evolution, and the origin of life. Cambridge

University Press, Cambridge.

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FIGURE I

The inverse relationship between order and complexity is demonstrated on a linear vector

progression from high order on the left toward greater complexity on tlie right.

The arrow point represents theoretical absolute randomness. How can “maximum

complexity” possibly equal “randonuiess?” The answer is that randomness cannot be

algorithmically compressed to any degree. It is therefore maximally complex.

Maximum complexity is a low-end probability bound approaching 0, a wall rather than

an edge. No probability can go below 0. (Modified from Hubert Yockey,

Fundamentals of Life. Edited by Palyi G, Zucchi C, Caglioti L. Paris: Elsevier; 2002:

335-348.) (Abel, David L., and Jack. T. Trevors (2005), "Three subsets of sequence

complexity and their relevance to biopolymeric information." Theoretical Biology and

Medical Modeling 2:29, open access at http://ww^w. tbiomed.com/content/22/21/29.)

Order

Ordered Sequence Complexity

(OSC)

Polyadenosines on a clay surface

Randomness

Random Sequence Complexity

(RSC)

Stochastic ensembles

-Increasing complexity >

Minimal Uncertainty (P = l.O)

Low Shannon bit content

Maximum compressibility

Most patterned

Maximum Uncertainty

High Shannon bit content

Minimum compressibility

Least patterned

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18

FIGURE 2

Superimposilion of Kolmogorov compression (2nd dimension: Y1 axis) and FSC (3rd

dimension: Z axis) onto the single dimension of Figure 1 ’s linear vector graph. The Y1

axis plane plots the decreasing degree of algoritlmiic compressibility as complexity

increases from order towards randomness. The Y2 (Z) axis plane shows where along the

same order-complexity gradient (X-axis) that highly instnictional and prescriptive

sequences are generally found. The Functional Sequence Complexity (FSC) curve

includes all algoritlmiic sequences that work at all (W). The peak of this curv^e (w*)

represents “what works best.” (Used witli permission from: Abel, David L., and Jack. T.

Trevors (2005), "Three subsets of sequence complexity and their relevance to

biopolymeric information." Theoretical Biology’ and Medical Modeling 2:29, open access

at http://www.tbiomed.eom/content/22/2 1 /29.)

Y2 (Z) Peak algorithmic utility’ = w* Functional

Order

Low uncertainty'

Few bits

Randomness

Complexity High uncertainty'

Many bits

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FIGURE 3

A dendrogram showing ail possible seqnenees (branehes or paths) of decision node

options, “w*” represents the best algorithmic patli to achieve maximum function. “W”

includes all paths with any degree of utility. Notice that all paths contain equal (n) bits

of Shannon ‘‘infonnation” regardless of whether the sequence of specific choice

commitments accomplishes anything useful.

Node:

1st 2^

2nd 2^

3rd 2^

4th 2'

function out of 2" branches

^

1 bit

■ 2 branches

f 2 bits

4 branches

3 bits

8 branches

4 bits

pt/j pip 1^

ri n n ri

/ y V/*

2” - W fail What “works” best 2" branches

Winter 2007

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Washington Academy of Sciences

21

WHAT ON EARTH ARE THEY DOING?

MINING THROUGH THE AGES, AND ITS INFLUENCE ON AMERICAN LIFE

Michael Duffy*

Abstract

Tliis paper provides the fundamentals of how mining is conducted and

how it has progressed over the centuries, providing background to help

in understanding recent mining disasters. It touches upon the influence

of mining on American history, economics, and culture, demonstrating

how this basic industry affects our daily lives in ways that are not

always obvious. Butte. Montana, offers a paradigm for discussing tlie

warp and woof of mining. Butte’s history, like that of mining, is one of

boom and bust, ingenuity and folly, heroism and treachery, devastation

and resurgence.

‘‘At the Beginning”

About four and a half billion years ago, mountains began

forming on the surface of the Earth by means of a process called orogeny.

The Earth had begun as a cloud of dust and gas that gradually cooled,

leaving a deep interior core surrounded by a zone of heavy rock, known as

the mantle, and then further surrounded by a thin layer called the crust.

The crust is not uniform, but is composed of a series of

interlocking plates that move against, above, and below each other. That

movement results in earthquakes, volcanoes, and the formation of

mountains. As this activity took place, molten rock, called magma,

migrated from the Earth’s mantle into the Earth’s crust and formed

igneous rock. The intense heat from this activity, however, also brought

along fluids and gases containing minerals that fused into the igneous

* Michael Duffy is chainnan of the Federal Mine Safety and Health Review Commission:

however, this paper represents only his personal views and experience with the mining

industry, not the views of the Commission. The Federal Mine Safety and Health Review

Commission is an independent adjudicative agency that provides administrative trial and

appellate review of legal disputes arising under the Federal Mine Safety tmd Health

Amendments Act of 1977 (Mine Act).

Winter 2007

22

rock. In some cases, these formed veins of relatively pure mineralization;

in other cases, heat and chemical reactions dispersed the mineral

components into various types of crystals.

Where mineralization extended to the surface, it was subjected to

erosion by wind, ice, and water or new mountain building, and was

redeposited as sediment in valleys or lake and river beds. The sediments

either remained in that position or were subsequently covered over or

disrupted by volcanic activity, earthquakes, and mountain building.

The process, of course, is much more complex than that brief

description, but it shows that the location of various minerals in

recoverable quantities relies in large part on random acts of geological

violence dating back several billion years and continuing up to the time

when mammals are believed to have first appeared on Earth - or about

200 million years ago.

As for nonmetallic minerals such as potash, trona, salt, and various

clays, their origins are traced to the evaporation and receding of inland

seas high in mineralization. Coal was produced by organic matter being

buried by forests and seas and subjected to heat and pressure so as to

convert cellulose into a carbon-dominated mineral.

To sum up, then, these stupendous geological processes resulted in

the production of three types of minerals: (1) metals such as gold, copper,

nickel, and silver; (2) nonmetallic minerals such as salt, potash, clay,

limestone, and gypsum; and (3) fuels such as coal or peat.

The Rise of an Industry

Mining may not be the oldest profession, but it comes close.

Archeological studies relating to Paleolithic humans indicate that some

450,000 years ago early humans from the Old Stone Age fashioned

primitive tools and weapons from flint which they discovered in outcrops

of rocks.

The oldest verified underground mine is the so-called “Lion Cave”

mine located at Bomvu Ridge, Swaziland. That mine, according to

radiocarbon dating, existed 43,000 years ago and produced hematite which

was ground into a red ochre pigment. Thus, mining, albeit primitive,

parallels the development of agriculture in human history, reflecting the

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fact that the ‘‘stuff’ mankind uses to develop and improve civilization has

to be either mined or grown.

Indeed, a popular means of measuring human history is

inextricably tied to mineral extraction and utilization. Thus, we have;

• The Stone Age

• The Bronze Age

• The Iron Age

• The Steel Age

• The Nuclear Age

prior to 4000 B.C.;

5000 to 4000 B.C.;

1500 B.C. to 1780A.D.;

1780 A.D. to 1945 A.D.; and

1945 A.D. to the present.

Although mining in the U.S. came into its own during the 19*^

century, there is evidence that Amerindians developed copper mines along

Lake Superior and traded in copper tools, arrowheads, and jewelry as

early as 7,000 years ago. Prior to the arrival of Columbus, Native

Americans in New Mexico were mining turquoise and coal. With the

arrival of the Jesuits and the Franciscans in the 1700's, silver and gold

mining got their start in the Southwest.

Coal mining in the United States dates back to pre-Revolutionary

times. French explorer Louis Joliet noted the presence of coal in his maps

of Northern Illinois drawn up in 1673. Colonists in Virginia were mining

coal near Richmond in 1701. In post-Colonial times the demand for coal

as a home heating alternative to wood resulted in anthracite coal becoming

the fuel of choice in most American cities by 1830, when more than 4

million short tons were produced in Pennsylvania.

After 1850, bituminous or soft coal, a cheaper and more abundant

substitute for anthracite, began coming to the fore. Its chief uses were as

fuel for steam locomotives and as a source of coke in the making of steel.

From 1850 to 1920, coal output increased dramatically, from about 9

million short tons to 680 million tons annually, and production spread

west from Pennsylvania to Illinois and south to Alabama.

Coal production followed the railroads as they expanded westward

across the continental United States. It was a symbiotic relationship since

the railroads needed coal to fuel their steam locomotives and coal

producers needed the railroads to transport their product to market. The

Great Depression had a devastating effect on the industry, so that by 1932

total output had been halved to about 350 million tons. Thereafter, the

replacement of steam locomotives with diesel engines essentially sounded

the death knell for coal-fired transport.

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Two events in the 1970’s accounted for the resurgence of coal,

particularly Western coal, as a primary fuel in the United States - the

passage of the clean air act of 1970 and the Arab oil embargo of 1973-74.

The Clean Air Act mandated reductions in sulfur dioxide from coal-fired

power plants, thus providing incentives for power plants to purchase

Western U.S. coal which, while lower in BTU content, was also

significantly lower in sulfur than its Eastern U.S. counterpart. The

Powerplant and Industrial Fuel Use Act of 1978 provided incentives for

electricity generating plants to switch from oil to coal in order to reduce

oil dependency on unreliable foreign sources. (This should sound familiar

to those following energy legislation today.) The upshot of these

legislative initiatives was for Western states to surpass their Eastern

counterparts as leaders in coal production and to boost the overall annual

output of coal to over 1 billion short tons per year.

The Lure of Gold

From the time of the Renaissance, the quest for precious metals,

particularly gold, has served as an impetus for exploration and expansion.

European explorers set sail in search of mineral wealth. The conquistadors

searched in vain for the Seven Cities of Gold. Likewise, throughout the

19‘^ Century, gold rushes provided the spur for westward expansion and

the ultimate development of the U.S. metals industry.

Once gold was discovered at Sutter’s Mill in California in 1849,

waves of gold seekers fanned out across the upper mid-west and far west

hoping to strike it rich. In some cases they did. As the easy gold played

out in California, new and bigger bonanzas were found in Nevada,

Colorado and Idaho, the most notable being the Comstock Lode in Nevada

(More on that later).

The ironic outcome of this widespread gold fever, however, was

that in their search for gold, miners with a sense of proportion discovered

other minerals which, while not as valuable as gold, were much more

lucrative to exploit because of their vast quantities. Miners looking for

gold in Idaho found silver, lead, and zinc instead. Miners looking for gold

in Michigan and Minnesota found iron ore instead. And miners looking

for gold in Montana and Arizona found copper instead. In the end, it was

gold’s metallic stepchildren who ultimately accounted for the

extraordinary creation of wealth in the Western United States.

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The Mining Process

To briefly summarize how mining and mineral processing are

carried out: there are two types of mining — underground mining and

surface mining. Surface coal mining can also be called open-cast mining,

while surface metal or ‘‘hardrock” mining is often referred to as open-pit

mining.

Underground mining can be conducted by sinking vertical shafts

from the surface or by horizontal tunneling on an incline tlirough a surface

entry called an adit. Once the shaft or tunnel reaches the ore body or coal

seam, a number of methods can be used to extract the mineral.

In underground coal mining, the principal methods are room and

pillar mining and longwall mining. In room and pillar mining, the coal

seam is mined by extracting the coal in blocks called rooms, but pillars of

coal are left behind to support the roof of the mine. That support is

supplemented by drilling holes into the roof of the mined-out rooms and

inserting epoxy-covered bolts into the holes to tie the roof into the

overlying rock strata.

In longwall mining, tunnels are driven parallel on either side of a

huge block of coal and then are joined together by a perpendicular tunnel.

The longwall machine, which consists of a giant circular saw on a track, a

conveyor system under the saw and hydraulic shields above the saw, is

assembled in the cross tunnel. The blade then slices across the face of the

coal, and the cut coal drops onto the conveyor system and is transported

out of the mine. After the saw blade completes its pass, the hydraulic

shields are lowered and the whole mechanism moves forward to the face

for another pass of the blade. As the longwall machine progresses, the

mine roof is allowed to collapse behind it. At all times, the miners are

protected underneath the hydraulic shields.

Room and pillar and longwall methods are also used in the

underground mining of soft noncoal minerals such as salt, trona, and

potash.

In hardrock mining, a common method used is block caving.

Under that procedure, vertical shafts are sunk and a roadway system is

constructed underneath the orebody. Mining is then conducted from the

bottom up. As production proceeds, vertical openings called ore passes are

constructed, and as the orebody is mined, ore is dropped through the

Winter 2007

26

passes to the mine bottom where it is collected and transported by train or

truck to the main shaft and loaded onto a hoist and lifted out of the mine.

Ore in a hardrock mine has to be extracted by drilling and blasting,

and dynamite is the common explosive. Thanks to the introduction of

mechanized mining equipment that can slice or chew its way through coal,

explosives are no longer necessary in underground coal mining.

The surface mining of coal is essentially a truck and shovel

operation once the overburden is removed, though some blasting may be

necessary to fracture the coal.

The surface mining of hardrock minerals, or open pit mining,

requires the drilling and blasting of the host rock so that the ore can be

shoveled and transported.

Generally speaking, surface coal mines rarely go below 200 feet in

depth. If the coal seam is any deeper than that, underground mining of the

seam is more economical and practical. On the other hand, hardrock pits

can extend down several hundred feet and require the construction of

benches or terraces along the perimeter of the pit to ensure bank stability.

Once the mineral is extracted, it must be processed. With respect to

coal, it is crushed, washed, and sized depending upon its ultimate use. It is

also tested for its BTU, sulfur, and ash content in order to meet clean air

requirements if it is to be used to fuel an electric power plant.

Metals are processed in many ways, but basically, they are first

crushed and then treated chemically to separate the product from the waste

rock. The material can then be smelted and refined to produce the pure

metal.

The Lifetime of Mines

There are essentially four stages in the life of a mine: exploration,

development, exploitation, and reclamation.

Exploration, sometimes referred to as prospecting, consists of

discovering and then evaluating a mineralized area to determine whether a

recoverable and economically viable deposit exists. Modem day

exploration has traded the pick and burro for satellite imaging, soil and

vegetation analysis, and seismic, magnetic and radiometric measurements.

Once a potential orebody is found, however, old-fashioned assaying must

be undertaken. Core samples are drilled using diamond drills, and the

samples are sent to the lab for analysis. If the initial core samples are

Washington Academy of Sciences

27

promising, the exploration crew will return to the site to drill additional

cores to detemiine the size, depth, and composition of the orebody. The

core samples also serve to identify faults, anomalies, and intrusions into

the orebody by other materials.

Once the orebody has been fully explored and identified as

mineable, it is transformed from being a resource to being a reserve, and

proven reserves are what potential investors or acquiring mining

companies look for when deciding whether to finance production.

Generally, coal exploration is much easier and more predictable

than metal exploration. Most major coal seams have already been

identified, and the mineral occurs in a fairly homogeneous deposit that

varies only in seam height and the extent of the overburden. Metals, on the

other hand, are extremely fickle and elusive. By way of analogy, think of a

chocolate chip cookie ten feet in diameter and four inches thick, baked by

a chef so stingy that he has randomly stirred in only three chocolate chips

that are completely hidden below the cookie’s surface. Now imagine that

you have been given a needle and told you have three chances to pierce

one of the chocolate chips. That’s metal exploration!

The next stage is development and consists of filing environmental

impact statements, obtaining permits, arranging for transportation and

utilities, acquiring water rights, constructing shafts and tunnels for the

extraction and movement of the mineral, and the construction of surface

facilities to support production. That would include mills, storage

facilities, shops and offices, and waste treatment facilities.

Development is then followed by exploitation, the actual

extraction and processing of the mineral. Exploitation can be relatively

simple, such as in surface coal mining where the biggest challenge is

pacing production to meet contractual obligations relating to time and

product quality. Or it can be quite complicated, such as in underground

metal mining where geological faults, equipment breakdowns, or

processing delays can frustrate orderly production.

Last comes reclamation, though in prudent modem day mining

reclamation begins at the time of development and progresses along with

the production phase. Under federal and state laws, mined out areas have

to be backfilled, waste impoundments must be rehabilitated or sealed so

that the waste does not enter the air and groundwater, and the area must be

revegetated and restored to productive use. Under federal surface coal

mining laws, for instance, lands must be restored to their approximate

Winter 2007

28

original contour or adapted to new approved uses such as airports,

schools, or wildlife refuges. In some cases, former mines have been

converted to golf courses and recreation facilities.

Such has not always been the case, so federal law imposes a

reclamation tax on every ton of coal mined, both surface and underground.

The resulting monies are placed in an abandoned mine reclamation fund

which is passed on to the states for use in rehabilitating areas damaged by

historical mining activity, both coal and non-coal. Similar funds have been

established by individual states. Montana, for example, imposes a 22%

severance tax on mining companies to fund remediation efforts aimed at

past mining activity and to allay costs associated with the coal mining

boom such as new schools, hospitals, and public roads.

Mining in American Life

Mining literally affects us from cradle to grave. From the tungsten

filament that produces light in the delivery room to the granite tombstone

that marks our final resting place, mining produces the ‘‘stuff’ necessary

to daily life.

First and foremost is the production of energy. Coal accounts for

about 50% of electricity generation in the United States, while uranium

transformed into nuclear power accounts for an additional 20%.

Some applications of mining are obvious — jewelry, copper pipes,

and coins come to mind — other applications are more subtle. It takes 15

minerals to manufacture the average automobile and 65 minerals to

manufacture the average computer.' .And believe it or not. lipstick contains

two mined minerals; calcium carbonate and talc.

Exhibit 1 show's the widespread presence of mined materials in

home building. As many or more minerals are commonly found in every

day consumer products. Looking at the per\ asiveness of mining products

from another perspective, the Mineral Information Institute, drawing upon

data from the U.S. Geological Survey, has estimated that the U.S.

consumption of minerals in 2005 was about 33,000 pounds per person.

Mining is also prevalent in the economies of several states. Some states

are far and aw ay more mineral intensive than others, but every' state has a

construction industry' and. therefore, must have easy access to construction

materials such as stone, sand, and gravel.

Washington Academy of Sciences

29

Exhibit 1: Minerals in Home Construction

Note: The list shows just a few of the more common minerals used in

building residences; it is not complete.

Source: Mine-Engineer.com.

http://www.mine-engineer.com/mining/min_house.htm

As for the mining intensive states, if one were to make a quick, S-

shaped flyover of the continental United States to view the various mining

districts, we could start in New England, which is noted primarily for

dimension stone-marble and granite - and find the city of Barre, VT,

which has since the 19^^ century produced about one-third of the

memorials and mausoleums in cemeteries and town squares across the

nation. Moving south tlnough Appalachia we would find extensive coal

fields from Pennsylvania down to Alabama and westward to Illinois.

Florida would feature phosphate, while Georgia, Louisiana and

Mississippi would feature clay, salt, and stone. Moving north again,

Missouri would provide lead, limestone and zinc, while Iowa and

Nebraska would feature gypsum and lime. As we cross the Great Lakes

region, Michigan and Minnesota would feature iron and copper, while to

the west, the Dakotas and Wyoming would provide gold, coal, trona and

clay. The Rocky Mountain states from Idaho and Montana down through

Utah, Colorado, New Mexico, and Arizona would provide gold, silver.

Winter 2007

30

copper, molybdenum, potash, and coal, while in the far West, California

and Nevada would feature gold, boron, copper and silver.

There are currently about 2,100 coal mines and 12,800 noncoal

mines operating in the United States. The vast majority of noncoal mines

are stone, sand, and gravel operations. (Indeed, every county road

department is likely to operate a sand and gravel pit to supply its road

building and maintenance program). As of 2006, U.S. mines employed

nearly 365,000 miners." The average annual wage for U.S. miners is about

$56,000 compared with $40,500 for all industries, but the average for the

ten most mining intensive states ranges from $60,600 in Montana to over

$72,000 in Missouri and Alaska.

As for mine safety, notwithstanding the terrible tragedies that have

recently occurred, safety in the industry has steadily improved. So far in

2007 (September 1), 23 miners have died in coal mines and 20 have died

in metal/nonmetal mines. While there were 47 total fatalities in coal

during 2006, a third of which occurred in the disasters in West Virginia

and Kentucky, there were 22 coal fatalities in 2005, the lowest number

ever recorded in a single year.

By way of comparison, when the current industry-wide federal

mine safety law was passed in 1977, there were 173 fatalities in all U.S.

mines. In 1968, the year before stricter federal regulations were imposed

on coal mines, there were 493 fatalities. In the early part of the 20‘^

century, it was not unusual to experience 3,000-4,000 deaths per year.

The mechanization of mining, which reduces miners’ exposure to

hazards, has contributed to the overall reduction of injuries and deaths, but

tighter federal enforcement of safety and health laws coupled with more

enlightened management practices must also be given credit for the

reduction. (See Exhibit No. 2)

All together, as of August of 2007, there have been 104,621 deaths

in U.S. coal mines since 1900, and 23,538 deaths in the metal/nonmetal

mines, though the noncoal figure does not include stone, sand and gravel

mines prior to 1958. By way of comparison, the People’s Republic of

China admits to about 5,000 coal fatalities per year, but safety experts

generally agree that the toll is much higher - as much as two or three times

higher.

The U.S. Geological Survey estimates that the U.S. mining

industry mined about $92 billion worth of coal and minerals in 2006, and

Washington Academy of Sciences

Exhibit No. 2

Mine Safety and Health (All Mines)

31

Coal Mine Safety and Health

that $64 billion worth of nonfiiel minerals were processed into $542

billion dollars worth of products. Wlien those mineral products were, in

turn, manufactured into finished goods, USGS estimates that the value

added about $2.1 trillion to the nation’s Gross Domestic Product, or about

16% of GDP.

Winter 2007

32

-‘The Richest Hill on Earth’"

Butte, Montana, provides a son of paradigm for the histor\' of U.S. mining

in general. Located in the southwest comer of Montana. Butte sits at the

intersection of Interstate 90 and Interstate 15. WTiile the current population

of the cit\^ and the surrounding county, kno\Mi as Silver Bow, is about

25,000, Butte in its heyday approached 70,000 citizens, of whom about

9,000 were miners.

As is usually the case, mining in Butte staned with a small gold

msh fueled by miners who migrated from Virginia City, Montana, now a

ghost town, but then a boom to\^Ti of 10,000 located about 70 miles away.

The first mines were placer gold operations staned in 1864. They were

mildly successful, but were generally played out by 1870, and at that point

the focus moved to silver. Among the early investors in Butte’s silver

resources was W.A. Clark, a Pennsylvania-bom entrepreneur who

bounced around the gold camps of Colorado and ended up making a small

fortune from his gold claim in Bannack, Montana. Clark soon parlayed

those profits into retail merchandising, banking and mineral investing, or

‘‘grubstaking.” Gradually he began buying up many of the more successful

operations in Butte. At about the same time a young Irishman named

Marcus Daly arrived in Butte by way of the Comstock Lode of Virginia

City', Nevada. A close friend of Mark Twain, Daly also struck up a lasting

friendship with George Hearst, an equally rough-hewn miner who staned

with nothing, but amassed a fonune from his claims in Nevada. Utah, and

South Dakota. Though Daly was a self-educated man, it is generally

agreed that he was one of the greatest mining engineers in histor\\

Daly was sent to Butte by San Francisco investors, including

Hearst, to investigate its development potential. Daly purchased tw^o silver

mines and soon was making big money for his backers. He, like Clark,

began to amass additional claims. The great turning point came in 1882,

however, when one of Daly’s mines, the .Anaconda, reached 300 feet in

depth and the silver ore gave way to extensive copper deposits. Daly

immediately recognized the potential and convinced Hearst and others to

invest millions in milling and smelting facilities to wrest the copper from

its complicated hodgepodge of ciy^stallized host rock. Their investment

paid off, and news of the Butte bonanza traveled around the world. By

1884, Butte was producing copper and silver at the rate of $1.25 million

per month, and it was dubbed “the richest hill on earth.” A significant

Washington Academy of Sciences

33

factor in the creation of the bonanza was Daly’s and Clark’s success in

establishing links to markets across the country through rail transportation

supplied by spur lines to both the Union Pacific and Northern Pacific

railroads.

Both Daly and Clark benefited tremendously from the wealth of

Butte, as did their investors. For example, the widow of Daly’s friend,

George Hearst, sold her shares in the Anaconda Mine to the Rothschild

family in 1895 for $25 million dollars, which she promptly gave to her

son, William Randolph Hearst, so that he could build his publishing

empire. Those of you who are fans of Citizen Kane now know where

Charles Foster Kane’s money really came from and where he sledded on

his beloved '‘Rosebud” - Butte.

This wealth generation also served to transform Butte into a

schizophrenic metropolis where rough and tumble miners rubbed

shoulders with poets and novelists like Dashiell Hammett. Butte’s Opera

house featured concerts by Caruso. Sara Bernhardt performed there, and

Teddy Roosevelt visited twice. In his autobiography Charlie Chaplin

recounted his days as a vaudeville acrobat in Butte and allowed as how the

Mining City could boast the prettiest prostitutes in America.

While Daly was content to reinvest his profits in new acquisitions

or improvements in the productivity of his existing properties, William

Clark devoted a good deal of his wealth to becoming respectable. Clark,

like Daly and Hearst, came from humble beginnings, but unlike them, he

wanted desperately to be a patrician. And the way he decided to do that

was to get himself elected to the U.S. Senate. To that end, he became

active in Democratic politics, particularly with respect to the Montana

Legislature, for this was back in the days when U.S. Senators were not

popularly elected but were selected by vote of the state legislatures.

A number of obstacles stood in Clark’s way, not the least of which

was Marcus Daly. Although the two were different as night and day, they

did get along in the early days of Butte’s development. Gradually,

however, each sought to take complete control of the Butte mines by

acquisition and alliances with smaller producers. This rivalry eventually

graduated to a mutual hatred so that Daly made it his business to thwart

Clark’s Senatorial ambitions.

When the Montana Legislature met in 1 899, it was widely known

that a vote for or against Clark could be bought for $10,000. Clark was

reputed to have a war chest of $1,000,000. When the mmors persisted, the

Winter 2007

34

Montana Senate was forced to investigate, and one senator, Fred

Whiteside, testified that Clark’s lieutenants had offered him and two other

Democrats $10,000 apiece to vote for Clark. That bombshell led to the

empanelling of a grand jury. Meanwhile, Clark’s captive newspapers

portrayed Whiteside as a close ally of Daly and called into question the

legitimacy of Whiteside’s own election as state senator. In the end, the

grand jury absolved Clark of any guilt (though rumor had it that the

bribery campaign had moved from the Senate to the jury room). In any

event, on the eighteenth ballot, Clark won the Senate seat with the help of

some crossover Republican and Populist votes.

That would not be the end of it, however. Daly financed a

vilification campaign against Clark in the local papers he controlled and

continued it in the Eastern press. A petition signed by several members of

the Montana legislature and the Governor asked the U.S. Senate not to

seat Clark. The Senate Committee in charge of the investigation concluded

that Clark had obtained his seat by fraud and recommended to the full

Senate that Clark not be seated. Before the Senate could vote, however,

Clark announced that he was “resigning.” At the same time, believe it or

not, Clark’s supporters tricked the Governor of Montana into traveling to a

remote town in California leaving the Lieutenant Governor, a Clark

supporter, in charge back home. Upon being advised that Clark had

resigned, the Lieutenant Governor immediately appointed Clark to fill the

newly-created “vacancy.”

When the Governor returned to Montana, he tried to countermand

the appointment with one of his own. Both appointees and their

credentials were presented to the Senate, which decided to take no action,

and so Montana was without a Senator for the balance of the Senate

session. This scandal and others led eventually to the adoption of the 1

Amendment providing for the popular election of Senators.

Surprisingly, Clark ran again in 1900 and was elected

overwhelmingly with the support of Democrats and Populists who had

united behind the presidential campaign of William Jennings Bryant and

the free silver movement. But in winning the Senate seat, Clark lost the

battle for domination in Butte.

Daly, who died soon after Clark was elected, had, during the late

1 890's, allied himself with the Rockefellers and Standard Oil and formed a

huge trust and holding company that they named the Amalgamated

Copper Company. Amalgamated gradually bought up the entire copper

Washington Academy of Sciences

35

workings of Butte, including Clark’s. Over the next twenty years

Amalgamated evolved into the Anaconda Company which prospered and

dominated Montana politics and economics until the 1960’s, but not

without serious and negative consequences.

In 1917, a fire at the Granite Mountain Mine resulted in the worst

noncoal mining disaster in U.S. history when 167 miners were killed. The

Berkley Pit, an open pit operation begun in the 1950’s in the heart of

uptown Butte, is now mile wide by a mile and a half-mile long, 900-foot-

deep lake of acid water and heavy metals, and the number one Superfund

site in the country. Trees destroyed by the uncontrolled release of sulfur

dioxide from open smelters in the early days of Butte are only now

returning a century later.

Anaconda sought to expand its reach to Central and South

America, including the development of a huge copper complex in Chile.

When Salvador Allende nationalized those operations in the early 1970’s,

it marked the end of Anaconda as a major player. In the mid-70s its entire

operations were bought by Atlantic Richfield (ARCO), but the oil

company couldn’t make a go at it, and by the early 1980's all copper

production in Butte came to a halt. Nevertheless, during that century of

dominance, it is estimated that Butte produced $4 billion worth of metals.

Given that the price of copper during that period ranged between 9 cents

and 90 cents a pound, that is a lot of copper.

Subsequently, in 1986, a new entrepreneur, Dennis Washington,

purchased all of ARCO’s assets and none of its liabilities, and resumed

mining on a much reduced scale in Butte. He established a new open pit

mine that currently employs about 300 non-union miners - a far cry from

the closed shop, full capacity days of Butte during and immediately

following World War IT Nevertheless, Butte has rebounded surprisingly.

ARCO, under agreements with Federal EPA and the State of

Montana, is still funding remediation of the mined out areas and waste

dumps with a long term commitment running to the hundreds of millions

of dollars. Butte’s population is increasing. The Berkley Pit has become a

world-wide destination for environmental engineers eager to test their

various methods for remedying the toxic effects of mining and other

industrial activity. Since mining resumed over thirty years ago, there has

been only one fatality, an electrocution. The entire business district of old

Butte and the surrounding residential neighborhoods, an eclectic mix of

Winter 2007

36

Victorian and frontier architecture, comprise the largest entry in the

National Historic Register.

Butte can never be the wide-open 24-hour-a-day hive it used to be,

nor should it. But the town is engaged in a realistic accommodation to

changing times and priorities. It is also an object lesson in what mining

can produce and what it can destroy.

REFERENCES

“Facts About Coal and Minerals.” National Mining Association:

http://www.nma.org/about_us/publications/pub_minerals_uses.asp

Malone, Michael P., The Battle for Bi^tte, Muiiug and Politics on the

Northern Frontier 1864-1906. University of Washington Press, 1981.

“Mining 101,” The Mining Journal:

http://www.mining-joumal.com/html/Miningl01.html

“Mining,” Wikipedia, http://en.wikipedia.org/wiki/Mining

Notes

’ “Minerals in Typical Computers,” Mine Engineer.com.

http://www.mine-engineer.com/mining/minerals_Computer2.htm.

” Mining Safety and Health Administration.

http://www.msha.gOv/MSHAINFO/FactSheets/MSHAFCT10.htm

Washington Academy of Sciences

37

THE NEW INTERNATIONAL POLAR YEAR

Jafar Ila

Capital Science ’08 Intern

Abstract

More than 60 nations are cooperating in Tlie International Polar Year

of 2007-2009. A major question is the effects of climate change on the

Polar Regions’ environment, ecology, and human communities. This

effort builds on the scientific accomplishments of three earlier IPYs.

The International Polar Year (IPY) of 2007-2009 is a

coordinated effort of more than 60 nations performing over 200 projects in

the Arctic and Antarctic parts of the globe. IPY is a multi-disciplinary

approach dedicated to exploring and studying the Polar Regions and their

potential effects on the planet as well as the planet’s effects on these

regions.

The IPY committee is made up of the International Council for

Science (ICSU) and the World Meteorological Organization (WMO).

Their work will be carried out over two years in order to properly measure

a full cycle of seasons for each pole. This will give each pole the full

attention of the scientists and staff who will be participating in the event.

The issue that is paramount to researchers during the International Polar

year will be climate change. The poles will be ideal locations for this due

to their sensitivity to global changes in weather. This sensitivity makes

them a model for what could occur around the rest of the globe. IPY will

also include many studies on climate change’s effect on circumpolar

societies. Since circumpolar societies are finding their ways of life

threatened by changes in the Arctic their abilities to adapt to this change

may shed light on the challenges other societies are facing or could face in

the future.

Jafar Ila is a Freshman at Florida State University. He assisted during the summer of

2007 in preparation for the upcoming Capital Science 2008 conference.

Winter 2007

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IPY will address six topics as outlined by the IPY committee:

• Detemiining the present environmental status of the Polar

Regions;

• Calculating and understanding past and present environmental

and social change in the polar regions as well as improving

future predictions in the Arctic and Antarctic;

• Understanding the links between the poles and the rest of the

globe, investigating new frontiers of science using the poles

unique vantage point in order to gain a better understanding of

the Earth and space;

• Investigating the cultures of circumpolar peoples (The Scope

of Science: p. 5).

This paper will attempt to outline the goals stated above in the

context of past efforts and future goals by providing a short history of each

of the three previous IPY’s, providing information about some of the more

active countries involved and exploring their individual stakes in the polar

research, and describing some of the experiments being conducted and

their relation to the goals of IPY.

The first IPY lasted from 1881-1884. It involved twelve nations

that established a total of twelve stations as well as a number of subsidiary

stations. The first IPY was considered by the Permanent Committee from

the First Meteorological Congress at the behest of Lt. Carl Wyprecht, who

proposed that the Committee set up a number of new observation stations

in the Arctic in order to take measurements of meteorological and

magnetic changes in the environment. Scientists at this time already knew

that the weather at these high latitudes held some kind of key to the

atmosphere on a wider scale (Luedecke, 2007, p. 56). The main theme of

till ' Y was that the meteorological and magnetic processes of the Arctic

couiG not be observed alone and required the cooperation of many

different nations. So besides establishing permanent observation posts the

first IPY inspired the process of sharing scientific information by

coordinated efforts at exploring the poles.

The second International Polar year occurred fifty years later from

1932-1933 and was organized by the International Meteorological

Association, the precursor of the World Meteorological Organization. This

IPY was proposed as a means of investigating the newly discovered “Jet

Stream.” Forty nations took part in the second IPY establishing 40

Washington Academy of Sciences

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observation posts to collect data on ''advances in meteorology, magnetism,

atmospheric science, and the 'mapping’ of ionospheric phenomena that

would be used to advanced radioscience and technology” ("History of

IPY”).

The third IPY or the International Geophysical Year (IGY), as it

was called, was a comprehensive array of the global geophysical activities

that spanned from July 1957 to December 1958. IGY involved 67 nations

and a mass of post-WWII scientists who saw a unique opportunity to

capitalize on the technologies created during the war (e.g. radar and rocket

technologies). They didn’t want to limit the scope of the IGY to only

cover the poles though, hence its change in name. The progress made

during the IGY was dramatic; for instance there was ongoing debate as to

the existence of "continental drift,” or the possibility that the Earth’s

continents were once joined and slowly drifted away from each other

("IGY History”). A singular event during the IGY was the launching of

the Soviet (Sputnik) artificial satellite, which heralded the age of Earth

and space exploration and experimentation remotely from Earth orbit

(Garber). The IGY was the most successful operation of its kind up until

that point and served as a model for later international scientific

endeavors. It surely achieved its goals which were summarized in the

NAS IGY Program Report: observe geophysical phenomena and to

secure data from all parts of the world; to conduct this effort on a

coordinated basis by fields, and in space and time, so that results could be

collated in a meaningful manner. ”

The current IPY began on March 1, 2007, and continues through

March 2009. It’s an internationally coordinated effort of 67 countries

partaking in over 200 projects to provide an accurate measure of the new

scientific frontiers that the Polar Regions offer while also seeking to

measure the effect that the rest of the globe is having on the poles and

vice-versa. Climate change tops the list of priorities and the Arctic and

Antarctic regions offer an ideal place to study the changes in climate that

have occurred over the years. This is because the large masses of ice that

make up the poles are extremely sensitive to changes in the global climate.

In fact the Polar Regions are "changing faster than any part of the Earth”

("The Scope of Science” p. 7). As Sir David King, the UK’s chief scientist

states, "If you like, ice is the canary in the coal mine for global

warming.’'(Kinver 2007) Along with this sensitivity of the poles to global

occurrences there is a clear sensitivity of the rest of the planet to changes

within the Polar Regions themselves. One good display of this would be

Winter 2007

40

the concept of positive feed back, where “reduced snow and ice cover

increases solar heat absorption.” As a result of this “the atmosphere and

ocean are warming much faster in some areas of the polar regions than

elsewhere on the planet.” Another experiment measures the extent and

degree of this process. Phenomena such as this are key drivers of IPY

2007-2008 efforts to see, among other things, whether or not human

actions are to blame for any of these changes.

IPY also serves as a point for tackling political subjects,

particularly for countries with great swaths of Arctic land such as Canada,

as well as all other countries because of the potentially global effects of

climate change. First, though, it would be reasonable to address Canada

specifically because it is the biggest contributor to IPY and contains most

of the Arctic territory. Canada also has a large indigenous population that

lives in the northern territories and that governs Nunavut, a sizable piece

of land in the Canadian far north. The interplay between the central

government and this community has been similar to the plight of

indigenous peoples in United States in that material concerns such as oil

and mining treasures often displace communities. The Canadian

government used to move tribes against their will to other parts of the

Arctic in order to cement the central government’s claim to certain lands.

The relocated peoples often stmggled to survive in their newly assigned

homes and settlements which have become rife with drug abuse and

unemployment despite mining exploration in the area. As one of the older

residents of the area explained, “When I was a kid in the Yukon and a

mine opened, the profits went to New York, the jobs went to Edmonton,

the taxes went to Ottawa and all we got was a hole in the ground, which

we could use as a garbage dump — if the federal government gave us

permission.”

Today, tribes have greater power. Any oil, gas or mining

exploration requires coordination with indigenous peoples. This sa«d

several ventures have been stopped because they failed to mediate

conflicts with the people living in the region {The Economist, 2007).

The possibility of melting ice affects the profitability of Canada’s

Northwest Passage as a shipping route as well. The Canadian government

claims that the waters currently blocked by the ice are Canadian property

and not international waters, as other countries have recognized them to

be. The debate is currently meaningless, though, due to the fact the

passage is blocked by floating ice, a situation that may change in the

future.

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Recently the subject of maritime law and Arctic land ownership

was catapulted to the front pages by the actions of the Russian

government. On August 2, 2007 a submarine headed by Artur

Chlilingarov, a polar explorer/national hero, made its way to the floor of

the North Pole and planted a titanium Russian flag in order to “claim” the

area for Russia. This action elicited a great deal of balking from other

countries. The Canadian Foreign minister Peter Mackay summed up the

international communities’ reaction when he said, “Look, this isn’t the

15th century. You can’t go around the world and just plant flags and say,

‘We’re claiming this territory’” (“Arctic sovereignty”). The Russian’s rush

to claim territory in the Arctic comes after news from the US Department

of Energy that 25% of the world’s untapped oil and natural gas resources

might lie in the Arctic (Haider, Gautier).

This conflict over the Polar Regions isn’t new. One must keep in

mind that it was the International Geophysical Year in the late ‘50s that

inspired the Antarctic treaty of 1959. However, due to the mass of natural

resources that the Arctic contains, it is inevitable that further efforts will

be made to extract what wealth there is. It is in light of this direct, possibly

damaging, human activity at the poles that this IPY will launch

multidisciplinary scientific efforts to help answer questions concerning

climate change and the environment while preparing the grounds for

future research.

The size and nature of current research at the poles is

unprecedented and promises to welcome a new age in polar research that

builds on and far surpasses that of the last three Polar Years. The scientific

research that is being planned and carried out is immense. To accurately

touch upon each topic I will address experiments from each of the six

themes of international polar year.

The first theme is to determine the present environmental status of

the poles, since the poles are vital when it comes to understanding past

and future changes in the area. One example of how this is being

measured would be the Census of Antarctic Marine Life (CAML) which is

a project headed by the Australian Antarctic Division that seeks to create a

record of Antarctic marine life. They have five goals outlined:

1 . “Inventory species of the Antarctic slopes and abyssal plains.

2. Inventory benthic fauna under disintegrating ice shelves.

Winter 2007

42

3. Inventory plankton, nekton and sea-ice associated biota at all

levels of biological organization from viaises to vertebrates.

4. Assess critical habitats for Antarctic top predators.

5. Develop a coordinated network of interoperable databases for all

Antarctic biodiversity data.” (Stoddait, Summerhayes)

The second theme, understanding changes in the Polar Regions

and gauging their future, is led by the Netherlands Institute of Ecology,

Unit for Polar Ecology. The project seeks to describe and quantify

changes within the ecosystem in relation to temperature changes, to

measure changes in the temperature itself (by measuring differences in

CO2 levels), by measuring the difference between temperature changes in

the Arctic as opposed to the Antarctic, and to measure differences in time

and locale and the nature of experiments already being done at the poles

(Huiskes).

The third theme seeks to address the link between the poles and the

rest of the globe. Representative of this is the study led by the Scottish

Association for Marine Science to measure global impact on the Arctic

and its feedback to the global currents. They do so by measuring the

amounts of certain pollutants in Arctic waters, coordinating with

atmospheric scientists to measure changes in the transport of pollutants in

the atmosphere, and investigating how pollutants run through the Arctic

and eventually back out into the ocean currents (Shimmield).

The fourth theme of the IPY is to investigate new scientific

frontiers at the poles. A good example of this would be Gerald Kooyman,

a researcher at UC San Diego’s Scripps Institute of Oceanography. He has

pioneered the study of emperor penguins. His notable achievements

include discovering the fact that penguins migrate as opposed to staying in

one place, which had been the common belief Kooyman ’s research also

led to the invention of the time-depth recorder which can be used to track

the depth of a marine animal’s dive (Kooyman, 2007).

Fifth, the “IceCube” is “a one-cubic-kilometer international high-

energy neutrino observatory being installed in the ice below the South

Pole Station” (Halzen). The observatory will track particles by using the

300 km thick ice in Antarctica. This is a perfect example of a project that

utilizes the poles as vantage point, as conditions like this don’t exist

anywhere else on the planet.

Washington Academy of Sciences

43

The sixth and final theme of IPY is the study of the circumpolar

societies that occupy the ever changing environment. This theme is

particularly significant because it involves the social sciences as well as

the medical sciences. The Arctic Human Health Initiative (AHHI) is good

example of this effort in that they seek to complete a study on circumpolar

people’s health and health policy. The AHHI has made its mission to track

the health of circumpolar peoples of all ages while also tracking the

correlations between their health and changes in the environment and

government policy (Hassi).

The IPY of 2007-2009 promises to be a concerted effort to

establish a basis for polar research in the Polar Regions of the world. The

IPY will be a multifaceted effort that seeks to build upon past efforts,

measure and record the current status and establish a basis for future

research in the Arctic and Antarctica. This project will include every

discipline across the scientific spectrum, including social science. The

political products of this effort should prove to be significant as well.

Though time is limited in this effort, the foundations that will be set and

the research that will be completed will long outlast the IPY itself

References:

• Allison, Ian. Belaud, Michael. Alverson, Keith. Bell, Robinson. Carlson, David.

Danell, Kjell. Ellis-Evans, Cynan. Fahrbach, Eberhard. Fanta, Editli. Fujii,

Yoshiyuki. Glaser, Gisberl. Goldfarb, Leah. Hovelsrud. Grete. Huber, Johannes.

Kotlyakov, Vladamir. Knipnik Igor. Lopez-Martinez Jeronimo. Mohr. Tillman.

Qin, Dahen. Rachold, Volker. Rapley Chris. Rogue, Odd. Samkhanian, Eduard.

Summerhayes, Colin. Xio, Cunde. ’’Preface.” The Scope of Science for

International Polar Year 2007-2008. February 2007. ICSU/WMO. 14 Aug 2007

http;//2 1 6.70. 1 23.96/images/uploads/LR*PolarBrochureScientific_IN.pdf Page

5 and 7

• Luedeckc, Cornelia. "56.” The First International Polar Yctir: a big science

experiment with small science equipment. 2004. Institute of History of Science.

University of Munich. Munich, Germany. 14 Aug 2007

http://www.meteohistory.org/2004proceedings 1 . l/pdfs/061uedecke.pdf

• “History of IPY.” 14/4/05. WMO/ICSU. 14 Aug 2007

http://classic.ipy.org/development/lhstory.hmi

• “IGY History.” National Oceanic and Atmospheric Administration. 14 Aug

2007 http:// www.csri .noaa. aov/umd/obop/spohnv history. html

• Garber , Steve. "Sputnik and the Dawn of the Space Age.” Sputnik: The fiftieth

anniversary. 10/1/2007. National Aeronautics and Space Administration

(NASA). 14 Aug 2007 http://history.nasa.gov/sputnik/

• "International Geophysical Year. 1957-1958." The National Academies.

National Academy of Sciences. 14 Aug 2007 http : /www .nas .cdii/h i story/ i g\7.

Winter 2007

44

• Kinver, Mark (2007/02/26). Climate focus for global polar study. BBC Ncms, p.

Sciencc/Nature

• "Anxiously watching a different world." The Economist (May 21st-27^')

24/05/2007. (retrieved) 14/08/2007

http://economist.coin%orld/la/displaystory.cfm?story_id=9225715

• CTV.ca News Staff (2007/08/02). Retrieved August 14, 2007, from Arctic

sovereignty an 'important issue': Harper Web site:

http://w\w.ctv.ca/ser\4eTArticleNews/story/CTVNews/20070802/arctic_claim_

070802/20070802?hub=TopStories

• Haider, Pema. Gautier, Donald "Oil and Gas Resource Assessment of the

Russian Arctic." National Energy Technology Laboratory. Department of

Energy. 14 Aug 2007 http:/7www.netl.doe. gov/technologies/oil-

gas Petroleuni/proJ ectS/T ech_T ransfer/ 15538.htm

• Stoddart, Michael. Summerhayes, Colin. "Census of Antarctic Marine Life."

Census of Marine Life. 14 Aug 2007 http://w^v. coml.org/descrip/caml.htm.

• Huiskes, Ad. "Climate change and polar terrestrial ecosystems: Similarities,

contrasts and lessons in the Arctic and Antarctic (Climate change and Polar

Terrestrial Ecosystems)." International Polar Year. 23/03/2007. Netherlands

Institute of Ecology, Unit for Polar Ecology. 14 Aug 2007

http://classic.ipy. org/development/eoi/details.php?id= 1 0

• Shimmicld, Tracy. "Tlie effect of changing climate on the long range transport

of pollutants to the Arctic (TRANSARC Pollutants)." International Polar Year.

23/03/2007. Scottish Association for Marine Science (SAMS). 14 Aug 2007

<http://classic.ipy.org/development/eoi/details.php?id=50>.

• Kooyman, Gerald. "Pioneering Science on the Frozen Frontier." Scripps

Institute of Oceonography. 14 Aug 2007

http:/7explorations.ucsd.edu/penguins/penguins_2.html

• Halzen, Francis. "IceCube Soutli Pole Neutrino Obser\'atory (IceCube)."

International Polar Year. 23/03/2007. University of Wisconsin. 14 Aug 2007

http://classic.ipy.org/development/eoi/details.php?id=261

• Hassi, Juhani. "Scientific and professional supplements on human health in

polar regions-the International Journal of Circumpolar Health." AHHI. Arctic

Human Healtli Initiative (AHHI). 14 Aug 2007

http://www.arctichealth.org/ahhi/projects/eoc_sci-sup_eoi.htm

Washington Academy of Sciences

45

SYSTEMS ENGINEERING AT THOMAS JEFFERSON

HIGH SCHOOL FOR SCIENCE AND TECHNOLOGY:

IMPLEMENTING ALTERNATIVE METHODS OF TEACHING INTO

THE CONSTRUCTION OF A SMALL-SIZED SATELLITE

Adam Kemp*

Teaching Philosophy

There are two types of teachers in the world. Some fall into a

rhythm of comfort in their curriculum and teach the same thing year after

year, and others evolve to accommodate for new content and methods of

teaching. I embrace the latter and know that the world changes every day

and so should education. Each year provides an opportunity to change and

adapt curriculum to become more in tune with current events, giving

students the opportunity to make real world connections. I choose to teach

in a method considered to be “alternative” to standard methods of

teaching. Having students directly involved in the concepts covered in the

class allows them to apply the knowledge in situations that both utilize

study and hands on experiences. Giving the students the opportunity to

answer the question “why are we learning this” by having them physically

implement the concepts in real world applications not only reinforces the

information, but captivates their interest.

I spent a majority of my public education not satisfied with the

content that was being taught. I knew that parts of my history lessons were

wrong, and my math teachers never gave me application to my formulas.

This is the primary reason for my investigation into educational methods

that extend beyond typical and focus on the futures of my students. School

should be a place that children want to go, not just a chore until they

graduate.

Adam Kemp received a Bachelor of Science degree from Virginia Polytechnic Institute

and State University in Technology Education in 2005. He began teaching at Thomas

Jefferson in the fall of 2005 and during his first two years there has taught courses in

ninth grade Design and Technology, tenth grade Design and Technology, and Systems

Engineering. Currently he is acting as Lab Director of the Energy Systems Laboratory

and continues to teach the course in Systems Engineering.

\AAnter 2007

i

46

One method of developing a firm understanding of concepts

covered in the classroom is to give the students the opportunity to control

the outcome of a project. This type of activity allows the students to take

on some of the responsibility initially controlled by the teacher and can

begin to build confidence in a leadership position. The students choose

roles to maintain and delegate responsibility so that everyone contributes

and in the event that one child is falling behind, the rest of the group is in

charge of maintaining a balance of responsibility. Student run projects are

often times more difficult than standard lecture based learning. It is in this

type of project that the teacher has to take a side-line role, while still being

the primary leader of the group. I have implemented this type of learning

at all levels of high school education. It has proven to be an effective way

to get students directly involved in both large and small scale projects.

Although the students are working as a team, each student is responsible

for a piece of the project. This type of delegation eliminates the chances of

one student doing less work then others. This alternative method of setting

up a class for a large scale project is what I have staictured my Systems

Engineering course upon.

Systems Engineering

The concept for a Systems Engineering course at Thomas Jefferson

High School for Science and Technology was first conceived by Thomas

Jefferson graduate Jason Ethier, who presented our administration with the

idea that we could become the first high school to produce a small sized

satellite. The school’s Excelsior club became the basis for educating

students in space-based topics that Jason had covered while interning for

Orbital Sciences Corporation. During the club meetings Jason began to

investigate the possibility of constructing a small lOcm^ factor satellite

based on a design produced by California Polytechnic State University,

dubbed the “CubeSat.” Further correspondence was held between Orbital

Sciences Corporation and a partnership was established to have a Systems

Engineering class created to be the platform for the satellite project. At the

end of my first year of teaching at Thomas Jefferson, Joshua Strong, the

former head of the Science and Technology department, offered me the

opportunity to teach said course. I accepted this opportunity and felt that it

would be a good chance to implement my teaching methodologies into a

much higher level project than I was then accustomed to. The initial class

consisted of 14 students ranging from sophomores to seniors, all with

varying backgrounds that could contribute something different to the

group.

Washington Academy of Sciences

47

Systems Engineering at Thomas Jefferson became a course that is

designed to bring High School students into an engineering environment

where they learn to collaborate as a team around a common large-scale

goal. Working with industry and professionals, the students in Systems

Engineering will be given first-hand experience with equipment and

environments typically not seen in high schools. For the next three years

this course will be working in direct contact with Orbital Sciences Corp.

to produce a small sized satellite.

The first class of any course is hard to prepare for and I found it

especially difficult in this case. When I started my first semester of

Systems Engineering I had been teaching for only one year, and anytime

you are working with students that are approaching your age, aptitude in

your subject area is of utmost importance. To begin my course I had the

students write a three page paper outlining their opinion of what Systems

Engineering was. The rationale for having my students complete this task

was to establish a precedent for the amount of work required to make this

course a success as well as giving myself a look into the breadth of my

students’ knowledge. This project produced positive results. After the first

day, I had one student drop the class, a bunch of groans and a stack of

papers with very intellectual interpretations of what Systems Engineering

is all about.

After this initial project, the students began to establish the firm

research background needed to determine and justify the satellite’s

mission. The first semester would consist purely of educational research

into both Systems Engineering and into the world of amateur satellite

design and construction. From this research the students began to

formulate what they would present during their first preliminary design

review as mission objectives and goals. I discussed content pertaining to

satellites and orbital theory, as well as basic electronics, construction

techniques and the engineering design process.

Due to my developing understanding of systems engineering, I

relied heavily on the aid of professionals in the field. Approximately once

a month I arranged to have a speaker from different areas of expertise give

presentations to my class as well as offer guidance in response to our

questions. These speakers consisted of volunteers from organizations such

as Orbital Science Corp, AmSat, the Naval Academy, FAA, and

Raytheon. My initial guest speakers proved to be a double edged sword. I

found it difficult to balance the information that I was teaching the

students over the information that was being presented by the speaker. In

Winter 2007

48

some situations, I got the impression from my students that 1 was using the

speaker as a crutch to my own knowledge in the subject area. Although I

found it to be very beneficial on my own behalf to have professionals

come and speak, I later began to converse with the speakers prior to their

presentation to my class. I used tliis time to adapt my curriculum to cover

exact topics that the speaker would cover. This in turn allowed my

students to prepare questions that became more pertinent to issues we

were encountering with their research and helped to maintain interest in

the presentation. Taking an approach on limiting the amount of time that

the teacher stands in front of the class and having someone with a

professional background in a specific topic allows the students to ask

questions and have interactions that would not normally take place in the

classroom, while providing a change in instructional environment.

In addition to investigative research, the students began to

determine the potential mission concepts for our satellite. The students

then presented these concepts to the class to be voted upon based on

feasibility and interest in the topic. These types of discussions are vital to

any projects undertaken, because often wild ideas help stimulate thought

into ideas that would not have normally been conceived. A good example

of an idea that was deemed infeasible was the use of a low resolution

camera to take pictures of the Earth and determine the satellite’s position.

Although this concept is not original, investigative research into our

potential satellites capability and the scope of our course led the students

to decide that a camera was infeasible. From this investigation, the

students discovered that they could use telemetry data and computer

modeling to simulate the satellite’s position and tumble through space

without the use of a camera, a concept that might not have been

formulated without the proposed camera payload. This preliminary design

phase of our project gives the students the opportunity to research all

potential mission concept ideas. The overlying goal is for the students to

use their imaginations and be as creative as possible. Making a decision

via this format helps to generate ideas that not only solve our mission

goals, but produce feasible mission concepts that interest the students.

In most situations the first impression is the most important. If you

present yourself in a professional manner, you are more likely to receive

professional results. During the first year of Systems Engineering, my

students were presented with a multitude of opportunities that required not

only professional appearance but levels of interaction rarely seen in a high

school setting. Our first encounter with such a situation was during our

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49

preliminary design review widi Orbital Sciences Corp. My students were

required to dress in formal business attire and to present their research in a

confident and professional manner.

The presentations’ results produced very high level constructive

criticism from the audience. The conversations held between my students

and the engineers were not on the level of high school students, but rather

between professionals. From this opportunity my students were able to

make the connection between researching and producing a presentation

and its implication in to a real world situation.

Our second formal encounter took place on the fifth of December

where the collaboration between Orbital Sciences Corporation and my

Systems Engineering class was formally recognized. During this

conference, Orbital CEO David Thompson and Virginia’s Congressman

Tom Davis spoke and presented my class with the CubeSat kit from

Pumpkin, Inc. This equipment provides the basis for our entire satellite

design. This conference facilitated the interaction of my students with

professionals on the highest level. They spent time discussing issues

related to space and its future with the CEO of Orbital as well as

discussing current political issues related to space with Congressman

Davis.

Finally during Febaiary of 2007, my class was invited to attend the

Embassy of Sweden’s inductance of Christer Fuglesang into the Honorary

Member of Friends of the House of Sweden. We were requested to give a

short presentation to the attendants outlining the students’ work in my

class. During this event, my top two students, Esther Li and Anastasia

Rumiantsev presented an overview of the class as well as its direct

collaboration with the Excelsior Aerospace club. This presentation gave

my entire class the opportunity to witness great achievements in the field

of space exploration. They were able to have a personal question and

answer session with the entire Space Shuttle Discovery crew and were

very inspired by discussions with the astronauts.

The final portion of the first semester included setting up our

ground station; this posed a problem due to my class’s limited budget. Our

agreement with Orbital Sciences Corp. provided us with the necessary

equipment to produce a small sized satellite alone, while the funding for

the ground station was up to us. The development of a ground station

capable of achieving communication with orbiting satellites is mandatory

for the success of my class and allowing for teaching topics that directly

Winter 2007

50

influence the design of our satellite. At Thomas Jefferson a limited budget

has proven to not be a limiting factor of the quality of education that is

delivered. In not having abundant resources, my class embraced our

ground station construction as an opportunity to establish communication

with industry and try to obtain the necessary equipment with limited

monetary requirements. My students began by formulating a wish-list of

equipment that we would require to meet our first year’s benchmarks.

Upon completion of this list, I delegated teams to pursue potential

sources for this equipment. This opportunity was used to educate my'

students on the specific methodology in contacting inside and outside

sources for equipment donations. We discussed proper etiquette while I

conducting phone conversations, how to formally write a letter to *

individuals and organizations, and how to properly thank those who have

contributed. The students were successful in contacting companies such as ;

Raytheon, Aerospace Corp. and Space Quest and received very positive i

results. In all, the fruits of my students’ labor produced 90% of our ground |

station, including complete antenna array, control hardware, cabling, five^

computer workstations capable of running our satellite simulation i

software and 3D CAD, and countless hours of donated time. This section^

of my curriculum turned out to be one of the more valuable. A vast budget '

can make any situation easier, but the investigations and experiences my

students received while having budget constraints provided another real

world application to their education.

After completion of this project my students and I decided to take ■

our ground station and set it up on the bleachers adjacent to the football

field. In my class I had a student who actively took part in the HAM radio i|

community. With the help of my students and my resident HAM we were

successful in communicating with two satellites during that class period. It :

was at this point in the school year that I was fully confident in my ■

students’ ability to achieve our goal of producing a fully functional h

satellite. I cannot remember a time finding myself more inspired.

At the end of the first semester the students focused primarily on \

our mission concept review. This review is utilized to determine the:

forward progress of the project, while analyzing the proposed mission i

goals and concepts. From my experience one of the best ways of pursuing!

a large scale project is to periodically stand back and take into account the:

opinions of minds not directly connected with the project. For our mission!

concept review we invited teachers from science, teclinology andl

humanities, and engineers from both Orbital Sciences and NASA’s Jett

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51

Propulsion Laboratory. This review consisted of an hour and a half long

formal presentation conducted by my students to present the current status

of our project. During this time the students presented their proposed

mission concepts and discussed the benefits and potential problems with

each. The students not presenting took notes outlining the audience’s

critiques and comment for review after the presentation. This presentation

proved invaluable during its later review and allowed us to hone our

design to one that could not only be feasible but outline potential flaws in

our design. This type of review can be implemented into any decision

making environment whether industry or classroom. Having outside

opinions critique a project helps to shed light on issues that would have

normally gone umioticed, while opening the door for potential new ideas.

The mission concept review that commenced in the first semester acted as

a building block for the work that needed to be conducted during the

remainder of the year. The students had the opportunity to have their

research scrutinized and, in many cases, were given new research areas to

investigate.

The goal of the second semester was to elaborate on our current

work. The students began to contact equipment manufacturers, investigate

costs, choose components, and further research the feasibility of their

proposed mission objectives. From this research my students began to

construct budgets in order to set guidelines for resources used by each

system. These budgets are a critical component in the design of a project

such as this. Our budgets included power, cost, mass, data handling, and

telecom. With these budgets in place, constraints are put on the equipment

chosen to complete the given task. When this concept was introduced it

produced a new level of complexity into the students’ investigations. Not

only were they worried about finding components that would fit into the

CubeSat form factor, but ones that would fit into the budget as well.

Our final goal for the second semester was to revise and revamp

the overall system design in preparation for the preliminary design review

scheduled for the end of the term. During this review the students would

produce their revised design, component choices and justifications and a

rough system by system overview into the functional layout of the

satellite. As a result of lost time and problems in scheduling I chose to

postpone the preliminary design review until the fall of the course’s

second year. This would give the summer and first quarter of the second

year to further research and refining of our design.

Winter 2007

52

I used this opportunity to allow my students to work on a scaled

version of the satellite project. One of the primary goals of Thomas

Jefferson is to act as a source of new course materials for other schools in

the nation. If a high school could not facilitate the constmction of a space

qualified satellite, there are often other ways of achieving the same results.

When I taught freshman technology I designed a small programmable

microcontroller board, dubbed the Kilroy. The freshman used the board to

learn the basics of programming, robotics, electronics and construction in

the development of a two wheeled robot. When I designed this board, I

took into account its potential usage in courses other then freshman

technology and this came to light in my Systems Engineering course.

During the last month of the second semester I had my students

begin a new engineering design process into the development of a small

scale satellite. Its mission was to produce an acceleration curve as well as

log altitude. My students began by separating into four teams and then

into two groups, rocket design and satellite design. The group working on

rocket design began to research materials, design constraints, engines,

payload deployment and recovery. The satellite group began by

researching the capability of the Kilroy board and the variety of sensors it

was compatible with. From this they began to create circuit designs to

interface with their chosen circuits. Each team had a designated Systems

Engineer that maintained communication with the other group. In the end

the four teams produced satellites based around the same components but

varied in rocket design. On the last day of class we launched the rockets,

produced acceleration and altitude curves, and successfully created a

project that could be completed in almost any high school environment.

From this project my students worked as teams with Systems Engineers

who helped structure and run the operation. Projects like these show that

with limited resources and good teacher determination, big concepts can

be made using small scale projects.

The first year of my Systems Engineering course was a unique

experience. I started the year off without any formal education into the

role of a Systems Engineer. It took a lot of work, talking with

professionals, personal investigation and the help of my students to make

the first year a success. This course takes a level of student maturity to

comprehend that the tasks that they are working on, no matter how menial

they appear, contribute to the greater good. It is very difficult for a high

school student to see that the tasks they take on and the research they

conduct may not be fully utilized until the next year. That producing work

Washington Academy of Sciences

53

for a project that is scheduled to last for three years is even hard for an

undergraduate in college to grasp. This is true in most cases and it is up to

the teacher to produce curriculum that caters to the abilities of the

students. I found it very hard at first to maintain student motivation while

conducting research. I had a mix of students ranging from those who

would immediately become distracted unless 1 had produced a day by day

schedule for them, to those who could carry an investigation through the

greater part of a week without any real intervention.

In my future years teaching this course I will rely heavily on the

lessons I have learned during the first years’ course. Daily journals are

going to be strictly enforced, weekly reviews and projects are going to be

utilized and the students will receive a timeline that is more refined and

manageable. I look forward to my future years of teaching this course and

implementing my revised teaching methods. It is this sort of allowed

flexibility in my teachings that I truly feel that this is going to be a

successful project.

Summer Work

Over this past summer I worked for NASA’s Jet Propulsion

Laboratories with a group of graduate students on a mission to produce a

seismic lander concept to be delivered to the Martian surface in 2016. The

summer began with the formal introduction of the problem at hand from

our mentors, Kourosh Rahnamai and Andrew Gray. Our goal was to

design a small student-built seismic lander concept to be delivered to the

Martian surface attached to the undercarriage of JPL’s Astrobiology Field

Laboratory, AFL. This lander would be required to be entirely self

sufficient, conform to set size and mass constraints and provide seismic

data on a global scale. The rationale for having such a mission is derived

from NASA’s Mars scientific interests and the lack of data pertaining to

Mars’ current stmcture and its history, both past and present.

Our initial task was to delegate the responsibilities that make up a

proper research and development team. These positions included Systems

Engineering, Control and Data Handling, Telecom, Structural Design,

Science and Instrumentation and Structural Analysis. My appointed role

on the team was to act as primary in structural design and as a mentor for

all of the subsystems, including systems engineer. This role has given me

the opportunity to learn in an environment very similar to my own

classroom on a student mn space based project. It was later brought to my

Winter 2007

54

attention that my intended role on the team was to be a Systems Engineer,

which rationalized bringing a teacher into a student program. The reason

that I had chosen to work on staictural design was to give myself the

opportunity to take a student’s prospective and be led by a Systems

Engineer. This turned out to be a very valuable decision and has given me <

the oppoitunity to learn and develop my own methods of working as a

Systems Engineer when I return to my teaching. i

During the next six weeks our team began our preliminary research

and design, working toward our first preliminary design review. This

review consisted of a one hour long presentation focused around our

current work and conceptual design of our lander. For my presentation I

outlined current progress using the CAD software Solidworks, a software

suite that allows the creation of 3D CAD models and structural simulation.

I presented an overview of the current design and how it was derived from

the mission requirements set by the other subsystems. It was my goal as

structural designer to flilfill all of the requirements set by other

subsystems while producing a design that was structurally sound, low in

mass and within small size constraints. Results of the PDR yielded

commentary into the revisions that needed to be made in order to produce

a design with higher fidelity.

The rest of the summer was oriented toward revising our design to

accommodate changes in other subsystems, while performing structural I

analysis to ensure that the design was structurally sound. This process

consisted not only of research, but included personal meetings with !

professionals in the areas of research. These individuals have proven to be

a valuable resource and will be utilized again in the future.

Our final presentation. Critical Design Review, was given at the |

end of the summer and consisted of an in depth review of our summers .

work. This presentation outlined all of the work that had been completed |

and justified, including work that needs to still be completed. Overall this

project was extremely beneficial. It has allowed me to better design my

curriculum for this upcoming school year and gave me the background to

properly teach it. I was able to work as a student and observe many

talented professionals in their fields and how systems engineering truly

works.

Conclusion

The upcoming year of Systems Engineering poses challenges not

encountered in my first year. The students will be working with actual

Washington Academy of Sciences

55

flight hardware and implementing the research that has previously been

conducted. From my first year 1 have learned structuring a class to

accomplish a high level task is not trivial. 1 will be implementing a much

more rigorous curriculum and expect much more from my students. The

students will be exposed to more speakers, keeping consistent journals and

properly documenting all of the work that is being conducted. This

Systems Engineering course is a learning process for both teacher and

student. I hope that as my students adapt and learn from this course, I will

do the same, and in the end we will have a successful mission.

Teaching is my passion and I plan on pursuing it for years to come.

Giving students the opportunity to apply their imaginations and use

practical hands on experiences has allowed me to provide an education

that was not available to me in my public education. I look forward to my

future work with my Systems Engineering class and all of the courses I

teach at Thomas Jefferson and pushing the limits of public education.

Winter 2007

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Washington Academy of Sciences

57

WASHINGTON ACADEMY OF SCIENCES

MEMBERSHIP DIRECTORY 2006

M=Member; F=Fello\v; LF=Life Fellow; LM=Life Member; EM=Emeritus

Member; EF=Emeritus Fellow

ABDULLAYER, SR, KENZHE K Chanisina 82/1-8, P.O. Box 1446, Astana 010000

Kazaklistan, Paviodar Pavlodar 140000 , Kazakhstan (M)

ABDULNUR, SUHEIL F. (Dr.) 5715 Glenwood Road, Betliesda MD 20817 (F)

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(EM)

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HONIG, JOHN G. (Dr.) 7701 Glermiore Spring Way, Betliesda MD 20817 (LF)

HOOVER, LARRY A. (Mr.) 1541 Stableview Drive, Gastonia NC 28056-1658 (M)

HOROWTZ, EMANUEL (Dr.) Apt 618, 3100 N. Leisure World Blvd, Silver Spring

MD 20906 (EF)

HOWARD, SETHANNE (Dr.) 5526 Dor>' Lane, Columbia MD 21044 (M)

HOWARD-PEEBLES, PATRICIA (Dr.) 1457 Cattle Baron Court. Fairview TX 75069

(EF)

HUDSON, COLIN M. (Dr.) 107 Lambeth Drive, Asheville NC 28803-3429 (EF)

HUMMEL, LANI S. (Ms.) PO Box 3520, Annapolis MD 21403-0520 (M)

HURDLE, BURTON G. (Dr.) 6222 Berkley Road3440 south Jefferson St. Falls Church

VA 22041 (F)

HUTTON, GEORGE L. (Mr.) 1086 Continental Avenue, Melbourne FL 32940 (EF)

IKOSSI, KIKI (Dr.) 6275 Gentle Ln., Alexandria VA 22310 (M)

INGRAM, C. DENISE (Dr.) 910 M St. NW #409, Washington DC 20001 (M)

JACOX, MARILYN E. (Dr.) 10203 Kindly Court, Montgomery Village MD 20886-3946

(F)

JANUSZEWSKI. JOHN (Mr.) MSC 5607, 12 South Dr, Bethesda MD 20892 (M)

JARRELL, H. JUDITH (Dr.) 9617 Alta Vista Ter., Bethesda MD 20814 (F)

JENSEN, ARTHUR S. (Dr.) Chapel Gate 1 104, Oak Crest. 8820 Wather Blvd, Parkview

MD 21234-9022 (LF)

JOHNSON. EDGAR M. (Dr.) 1384 Mission San Carlos Drive, Amelia Island FL 32034

(LF)

JOHNSON, GEORGE P. (Dr.) 3614 34th Street, N.W., Washington DC 20008 (EF)

JOHNSON, JEAN M. (Dr.) 3614 34th Street, N.W., Washington DC 20008 (EF)

JOHNSON, PHYLLIS T. (Dr.) 833 Cape Drive, Friday Harbor WA 98250 (EF)

JONG, SHUNG-CHANG (Dr.) 8892 WOiitechurch Ct, Bristow VA 20136-2005 (LF)

Washington Academy of Sciences

61

JORDANA, ROMAN DE VICENTE (Dr.) Batalla De Garellano, 15, Aravaca, 28023,

Madrid, SPAIN (EF)

JULIENNE, PAUL S. (Dr.) 100 Bureau Drive, Stop 8423, Atomic Physics Division,

National Institute of Standards and Technology, Gaithersburg MD 20899 (F)

KAHN, ROBERT E. (Dr.) 909 Lynton Place, Mclean VA 22102 (F)

KALMAN, DAN (Professor) 2744 Calkins Road, Herndon Virginia 20171 (M)

KAPETANAKOS, C.A. (Dr.) 4431 MacArUiur Blvd, Washington DC 20007 (EF)

KARAM. LISA (Ms.) 8105 Plum Creek Drive, Gaithersburg MD 20882-4446 (M)

KATZ. ROBERT (Dr.) Omega-3 Research Institute Inc., Suite 700, 3 Bethesda Metro

Center, Bethesda MD 20814 (F)

KAY, PEG (Ms.) Vertech Inc., 61 1 1 Wooten Drive, Falls Church VA 22044 (LF)

KEEFER, LARRY (Dr.) 7016 River Road, Bethesda MD 20817 (F)

KEISER, BERNHARD E. (Dr.) 2046 Carrhill Road. Vienna VA 22181 (F)

KIPSHIDZE, NICHOLAS (Dr.) Ctirdiovascular Research Foundation, 55 East 59th St.

6th floor. New York NY 10022-1 1 12 (F)

KIRKBRIDE. JR., JOSEPH H. (Dr.) 1001 Devere Drive, Silver Spring MD 20903 (F)

KLINGSBERG, CYRUS (Dr.) 1318 Deerfield Drive. State College PA 16803 (EF)

KLOPFENSTEIN, REX C. (Mr.) 4224 Worcester Dr., Fairfax VA 22032-1 140 (LF)

KRUGER, JEROME (Dr.) 619 Warfield Drive, Rockville MD 20850 (EF)

LANHAM, CLIFFORD E. (Mr.) P.O. Box 2303, Kensington MD 20891 (F)

LASLO, ZOHAR (Dr.Prof ) 10 Haseora Street, Rehovot 76454 , ISRAEL (F)

LAWSON, ROGER H. (Dr.) 10613 Steamboat Landing, Columbia MD 21044 (EF)

LEE, YONG-SOK (Dr.) 10991 Centrepointe Way, Fairfax Station VA 22039 (F)

LEIBOWITZ, LAWRENCE M. (Dr.) 3903 Laro Court, Fairfax VA 22031 (LF)

LEINER, ALAN L. (Mr.) Apt 635, 850 Webster Street, Palo Alto CA 94301-2837 (EF)

LENTZ, PAUL LEWIS (Dr.) 5 Orange Court, Greenbelt MD 20770 (EF)

LESHUK, RICHARD (Mr.) 9004 Paddock Lane, Potomac MD 20854 (M)

LEWIS, DAVID C. (Dr.) 609 Sideling Court, Vienna VA 22180 (F)

LEWIS, E. NEIL (Dr.) Malvern Instalments, Suite 300, 7221 Lee Deforest Dr, Columbia

MD 21046 (F)

LIBELO, LOUIS F. (Dr.) 9413 Bulls Run Parkway, Bethesda MD 20817 (LF)

LINDQUIST, P.E., ROY P. (Mr.) 4109 Fountainside Lane, Fairfax VA 22030-6097 (F)

LING, LEE (Mr.) 1608 Belvoir Drive, Los Altos CA 94024 (EF)

LINK, CONRAD B. (Dr.) 407 Russell Avenue, #813, Gaithersburg MD 20877 (EF)

LIPSETT, MORLEY (Dr.) 1529 Whitesails Drive. RRl, Z-62, Bowen Island, BC VON

IGO , CANADA (EF)

LONDON, MARILYN (Ms.) 3520 Nimitz Rd, Kensington MD 20895 (F)

LONG, BETTY JANE (Mrs.) 416 Riverbend Road, Fort Washington MD 20744-5539

(F)

LOOMIS, TOM H. W. (Mr.) 11502 Allview Dr., Beltsville MD 20705 (EM)

LOVEJOY, THOMAS E. (Dr.) Tlie H. John Heinz III Center for Science,, Economics,

and the Environment, 1001 Pennsylvania Ave., NW. STE. 735 South,

Washington DC 20004 (F)

LUTZ, ROBERT J. (Dr.) 17620 Shamrock Drive, Olney MD 20832 (F)

LYON, HARRY B. (Mr.) 7722 Noahdown Road, Alexandria VA 22308-1329 (M)

LYONS, JOHN W. (Dr.) 7430 Woodville Road, Mt. Airy MD 21771 (EF)

MADHAVAN, GURUPRSAD State University of New York, 143 Washington St #2f,

Binghamton NY 1 390 1 -3 1 08 (M)

MALCOM, SHIRLEY M. (Dr.) 12901 Wexford Park Court, Clarksville MD 20005 (F)

Winter 2007

62

MANDERSCHEID, RONALD W. (Dr.) 10837 Admirals Way, Potomac MD 20854-

1232 (LF)

MARRETT, CORA (Dr.) Directorate for Education and Human Resources, National

Science Foundation, 4201 Wilson Boulevard, Arlington VA 22230 (M)

MARTIN, CHARLES R. (Dr.) 2604 Aster Rd, Port Republic MD 20676 (F)

MARTIN, WILLIAM F 9949 Elm Street, Lanliam MD 20706 (F)

MARTIN, P.E. BCEE, EDWARD J. (Dr.) 15366 Stillwell Road, Huntsburg OH 44046

(M)

MARVEL, KEVIN B. (Dr.) American Astronomical Society, Suite 400, 2000 Florida

Ave NW, Washington DC 20009 (M)

MATHER, JOHN (Dr.) NASA Goddard Space Flight Center, JWST Project Office,

Mailstop 443.0, Greenbelt MD 20771 (F)

MENZER, ROBERT E. (Dr.) 90 Highpoint Dr. Gulf Breeze FL 32561-4014 (F)

MESSINA, CARLA G. (Mrs.) 9800 Marquette Drive, Bethesda MD 20817 (F)

METAILIE, GEORGES C. (DR.) 18, Rue Liancourt, 75014 Paris , FRANCE (F)

MEYLAN, THOMAS (Dr.) 3550 Childress Terrace, Burtonsville MD 20866 (M)

MILLER, LANCE A. (Dr.) 7403 Buffalo Avenue, Takoma Park MD 20912 (EF)

MINTZ, RAYMOND D. (Mr.) 815 Duke Street, Rockville MD 20850 (F)

MITTLEMAN, DON (Dr.) Apt 909, 5200 Brittny Dr. S, St. Petersburc FL 33715-1538

(EF)

MOROWITZ, HAROLD J (Dr.) The Krasnow Institute for Advaneed Study, Mail Stop

2 A 1, George Mason University, Fairfax VA 22030 (M)

MORRIS, J. ANTHONY (Dr.) 4550 N Park Ave Apt 104, Chev^ Chase MD 20815-7234

(M)

MORRIS, P.E., ALAN (Dr.) 4550 N. Park Ave. #104, Chevy Chase MD 20815 (EF)

MOSELEY, HARVEY (Dr.) NASA Goddard Space Flight Center, Astrophysics Science

Division, Code 65, Observational Cosmology Laboratory, Greenbelt MD 20771

(M)

MOUNTAIN, RAYMOND D. (Dr.) 5 Monument Court, Rockville MD 20850 (F)

MUMMA, MICHAEL J. (Dr.) 210 Glen Oban Drive, Arnold MD 21012 (F)

MURDOCH, WALLACE P. (Dr.) 65 Magaw Avenue, Carlisle PA 17015 (EF)

NEKRASOV, ARKADI (Dr.) Bldg. 1, 420 Flat, House 4 Kuncevskaja St, 121351

Moscow, RUSSIA CIS (F)

NOFFSINGER, TERRELL L. (Dr.) 125 Echo Valley Road, Auburn KY 42206 (EF)

NORRIS, KARL H. (Mr.) 11204 Montgomery Road, Beltsville MD 20705 (EF)

O’HARE. JOHN J. (Dr.) 108 Rutland Blvd, West Palm Beach FL 33405-5057 (EF)

OHRINGER. LEE (Mr.) 5014 Rodman Road, Bethesda MD 20816 (EF)

ORDWAY, FRED (Dr.) 5205 Elsmere Avenue, Bethesda MD 20814-5732 (EF)

OSER, HANS J. (Dr.) 8810 Quiet Stream Court, Potomac MD 20854-4231 (EF)

OSTENSO, GRACE (Dr.) 9707 Old Georgeto\vTi Rd #2618. Bethesda MD 20814-1763

(EF)

OTT, WILLIAM R. (Dr.) Physics Laboratory, National Institute of Standards and

Technology, 100 Bureau Drive, Stop 8400, Gaitliersburg MD 20899-8400 (F)

PARASCANDOLA, JOHN (Dr.) 11503 Patapsco Dr, Rockville MD 20852 (M)

PARR, ALBERT C (Dr.) 100 Bureau Drive, MS-8440 Gaitliersburg MD, 2656 SW

Eastw^ood Avenue, Gresham OR 97080 (F)

PATEL, D. G. (Dr.) 1 1403 Crownwood Lane, Rockville MD 20850 (F)

PAYNE, ZABORIAM E. (F)

PAZ, ELVIRA L. (Dr.) 172 Cook Hill Road, Wallingford CT 06492 (EF)

Washington Academy of Sciences

63

PERROS, THEODORE P. (Dr.) 500 23rd Str. NW B-606, Washington DC 20037 (EF)

PICKHOLTZ, RAYMOND L. (Dr.) 3613 Glcnbrook Road, Fairfax VA 22031-3210 (EF)

POLAVARAPU, MURTY 8610 Dellway La, Vicmia VA 22180 (F)

POLLARD, HARVEY B. (Dr.) Department of Anatomy, Phsiology, and Genetics,

USUHS, Naval Medical Center, Bethesda MD 20814 (F)

PROCTOR, JOHN H. (Dr.) 102 Moray Firth, Ford’s Colony, Williamsburg VA 23188

(LF)

PRYOR, C. NICHOLAS (Dr.) 2299 Puppy Creek Rd., Amlierst VA 24591 (F)

PRZYTYCKI, JOZEF M. (Prof.) 10005 Broad St, Bethesda MD 20814 (F)

PURCELL, ROBERT H. (Dr.) NIAID LID HEPATITS SECTION, Building 50. Rm.

6523, 50 South Dr. MSC 8009, Bethesda MD 20892-8009 (F)

PYKE, JR, THOMAS N. (Mr.) 4887 N. 35th Road, Arlington VA 22207 (F)

QUIROZ, RODERICK S. (Mr.) 4520 Yuma Street, N.W., Washington DC 20016 (EF)

RADER, CHARLES A. (Mr.) 1101 Paca Drive, Edgewater MD 21037 (EF)

RAJAGOPAL, A.K. Code 6860.1, Naval Research Laboratory, Washington DC 20375

(EF)

RALL, JOSEPH EDWARD (Dr.) 3947 Baltimore Street, Kensington MD 20895 (EF)

RAMAKER, DAVID E. (Dr.) 6943 Essex Avenue, Springfield VA 22150 (F)

RAMSEY, NORMAN F. (Dr.) Lyman Physics Laboratory, Har\wd University,

Cambridge MA 02138 (LF)

RAUSCH, ROBERT L. (Dr.) P. O. Box 85447, University Station, Seattle WA 98145-

1447 (F)

RAVITSKY, CHARLES (Mr.) 37129 Village 37, Camarillo CA 93012 (EF)

REDISH, EDWARD F. (Prof.) 6820 Winterberry Lane, Bethesda MD 20817 (F)

REINER, ALVIN (Mr.) 1 1243 Bybee Street, Silver Spring MD 20902 (EF)

RHYNE, JAMES J. (Dr.) 1830 Corona Ave., Los Alamos^NM 87544-5767 (F)

RICKER, RICHARD (Dr.) 12809 Talley Ln, Damestown MD 20878-6108 (F)

RIDGELL, MARY P.O. Box 133, 48073 Mattapany Road, St. Mary’s City MD 20686-

0133 (LM)

ROBERTS, SUSAN (Dr.) Ocean Studies Board, Keck 752, National Research Council,

500 Fifth Street, NW, Washington DC 20001 (F)

ROBINSON, MICHAEL HILL (Dr.) 8291 SW Bent Oak Court, Stuart FL 34997 (EF)

ROESCH, DARREN M (Dr.) Unit 808, 7915 Eastern Ave, Silver Spring MD 20910 (M)

ROSE, WILLIAM K. (Dr.) 10916 Picasso Lane, Potomac MD 20854 (F)

ROSENBLATT, JOAN R. (Dr.) Apt. 702, 2939 Van Ness Street. N.W, Washington DC

20008 (EF)

SAENZ, ALBERT W. (Dr.) 6338 Old Town Court, Alexandria VA 22307 (F)

SAMARAS, THOMAS T. (Mr.) 11487 Madera Rosa Way, San Diego CA 92124 (M)

SANDBERG, KATHRYN (Dr.) 3915 Rickover Road, Silver Spring MD 20902 (M)

SAVILLE, JR, THORNDIKE (Mr.) 5601 Albia Road, Bethesda MD 20816-3304 (LF)

SCHALK, JAMES M. (Dr.) 267 Forest Trl, Isle of Palms SC 29451-2518 (EF)

SCHINDLER, ALBERT I. (Dr.) 6615 Sulky Lane, Rockville MD 20852 (F)

SCHMEIDLER, NEAL F. (Mr.) Omni Engr & Technology, Inc, 822()0Greensboro Dr

#900, McLean VA 22102 (F)

SCHMIDT, CLAUDE H. (Dr.) 1827 NorUi 3rd Street, Fargo ND 58102-2335 (EF)

SCHROFFEL, STEPHEN A. 1860 Stratford Park PI #403, Reston VA 20190-3368 (F)

SCRIBNER, BOURDON F. (Mr.) 9109 River Crescent Dr., Annapolis MD 21401-7731

(EF)

SEBRECHTS, MARC M. (Dr.) 7014 Exeter Road, Bethesda MD 20814 (F)

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64

SEITZ, FREDERICK (Dr.) Rockefeller University, 1230 York Avenue, New York NY

10021 (EF)

SEVERINSKY, ALEX J. (Dr) 4707 Foxhall Cresent Dr, Washington DC 20007 (M)

SHAFRIN, ELAINE G. (Mrs.) 4850 Connecticut Ave NW Apt 818, Washington DC

20008 (EF)

SHENGELIA, RAMAZ (Prof.) Dean of the Medieal Faculty, University of Tbilissi, 7

Asatiani Street, Tbilissi 0177 , GEORGIA (F)

SFIETLER, STANWYN G. (Dr.) 142 E Meadowland Ln., Sterling VA 20164-1 144 (EF)

SHRAKE, KAREN (Mrs.) 7313 Farthest Thunder Court, Columbia MD 21046 (M)

SHRIER, STEFAN (Dr.) PO Box 19139. Alexiindria VA 22320-0139 (F)

SHROPSHIRE, JR, W. (Dr.) Omega Laboratory, P.O. Box 189, Cabin Jolm MD 20818-

0189 (LF)

SILBER, CRISTINA C. 7803 Beard Ct, Falls Church VA 22043 (M)

SILVER, DAVID M. (Dr.) Applied Physics Laboratory, 11100 Johns Hopkins Road,

Laurel MD 20723-6099 (M)

SIMHA, ROBERT (Dr.) Dept. Macromolecular Sci.. Case-Western Reserve University,

Cleveland OH 44106-7202 (EF)

SIMPSON, MICHAEL M. (Dr.) 101 Independence SE, CRS RSI LM423, Washington

DC 20540-7450 (LM)

SLACK, LEWIS (Dr.) Carol Woods #1 1 14, 750 Weaver Dairy Road, Chapel Hill NC

27514-1441 (EF)

SMITH, THOMAS E. (Dr.) Dept of Biochemistry & Molecular Biol., College of

Medicine, Howard University, 520 W. Street, NW, Washington DC 20059 (LF)

SODERBERG, DAVID L. (Mr.) 403 West Side Dr. Apt. 102, Gaithersburg MD 20878

(M)

SOLAND, RICHARD M. (Dr.) SEAS, George Washington Univ., Washington DC

20052 (LF)

SOLDIN, STEVEN J. (Dr.) 6308 Walhonding Road, Bethesda MD 20813 (F)

SOUSA, ROBERT J. (Dr.) 168 Wendell Road, Shutesbury MA 01072 (EF)

SPANO, MARK (Dr.) 239 Chestertown Street. Gaithersburg MD 20878 (F)

SPARGO, WILLIAM J. (Dr.) 9610 Cedar Lane, Betliesda MD 20814 (F)

SPILHAUS, JR, A.F. (Dr.) 10900 Picasso Lane, Potomac MD 20854 (F)

STEGUN, IRENE A. (Ms.) 93 Park Ave #1406, Danbury CT 06810-7625 (F)

STERN, KURT H. (Dr.) 103 Grant Avenue, Takoma Park MD 20912-4328 (EF)

STIFF. LOUIS J. (Dr.) 332 N St., SW.. Washington DC 20024 (EF)

STRAUSS, SIMON W. (Dr.) 4506 Cedell Place, Camp Springs MD 20748 (LF)

SYKES, ALAN O. (Dr.) 304 Mashie Drive, Vienna VA 22180 (EM)

SZTEIN, ESTER (Dr.) 8509 Cottage St., Vienna VA 22180 (M)

TABOR, HERBERT (Dr.) NIDDK, LBP, Bldg 8, Rm. 223, National Institutes of Health,

Bethesda MD 20892-0830 (M)

TAMARGO, JUAN (Dr.) Guzman El Bueno 100, 3 A, 28003 Madrid, SPAIN (F)

TAUBENBERGER, JEFFERY KARL (Dr.) 6434 Melia St., Springfield VA 22150-1 144

(F)

TAYLOR, P.E., WILLIAM B. (Mr.) 4001 Belle Rive Terrace, Alexandria VA 22309 (M)

TEICH, ALBERT H. (Dr.) Science & Policy Programs, American Association for the

Advancement of Science, 1200 New York Avenue, N.W., Washington DC

20005 (F)

THOMPSON, F. CHRISTIAN (Dr.) 661 1 Green Glen Ct, Alexandria VA 22315-5518

(LF)

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65

TIMASHEV, SLAVA A. (Mr.) 3306 Potlerton Dr., Falls Church VA 22044-1 603 (F)

TOLL, JOHN S. (Dr.) Washington College, University of Maryland, 6609 Boxford Way,

Bethesda MD 20817 (F)

TOMLINSON, KEITH PHILLIP 3235 Doctors Crossing Road, Charlottesville VA

22911(F)

TOUWAIDE, ALAIN Department of Botany - MRC 166, National Museum of Natural

History, PO Box 37012, Smithsonian Institution, Washington DC 20013-7012

(LF)

TOWNSEND, LEWIS R. (Dr.) 8906 Liberty Lane, Potomac MD 20854 (M)

TOWNSEND, MARJORIE R. (Mrs.) 3529 Tilden Street, NW, Washington DC 20008-

3194 (LF)

TYLER, PAUL E. (Dr.) 1023 Rocky Point Ct. N.E., Albuquerque NM 87123-1944 (EF)

UBELAKER, DOUGLAS H. (Dr.) Dept, of Anthropology, National Museum of Natural

History. Smithsonitin Institution, Washington DC 20560-01 12 (F)

UHLANER. J.E. (Dr.) 5 Maritime Drive, Corona Del Mar CA 92625 (EF)

UMPLEBY. STUART (Professor) Department of Management Science, Tlie George

Washington University, Washington DC 20052 (F)

' VAISHNAV, MARIANNE P. (Ms.) P.O. Box 2129, Gaithersburg MD 20879 (LF)

VAN FLANDERN, TOM (Dr.) Meta Research, 994 Woolsey Ct. Sequim WA 98382-

5058 (EF)

I VAN TUYL, ANDREW (Dr.) 1000 W. Nolcrest Drive, Silver Spring MD 20903 (EF)

VANE III, RUSSELL RICHARDSON (Dr.) 2102 Capstone Circle, Herndon VA 20170

(M)

VARADI, PETER F. (Dr. ) Apartment 1606W, 4620 Nortli Park Avenue, Chevy Chase

’ MD 20815 (EF)

VAVRICK, DANIEL J. (Dr.) 10314 Kupperton Court, Fredricksburg VA 22408 (F)

VIZAS, CHRISTOPHER (Dr.) 504 East Capitol Street, NE, Washington DC 20003 (M)

WALDMANN, THOMAS A. (Dr.) 3910 Rickover Road, Silver Spring MD 20902 (F)

WALLER, JOHN D. (Dr.) 5943 Kelley Court, Alexandria VA 22312-3032 (M)

WARD, SHERRY L (Dr.) 6710 Meadowlawn Circle, New Market MD 21774 (M)

WAYNANT, RONALD W. (Dr.) 6525 Limerick Court. Clarksville MD 21029 (F)

WEBB, RALPH E. (Dr.) 21-P Ridge Road, Greenbelt MD 20770 (F)

WEGMAN, EDWARD J. (Dr.) 368 Research Bldg, Center Computer Statistics MS 6A2,

George Mason University, Fairfax VA 22030 (LF)

WEISS. ARMAND B. (Dr.) 6516 Tniman Lane, Falls Church VA 22043 (LF)

WERGIN, WILLIAM P. (Dr.) 1 Arch Place #322. Githersburg MD 20878 (EF)

WIESE, WOLFGANG L. (Dr.) 8229 Stone Trail Drive, Bethesda MD 20817 (EF)

WINKLER, STANLEY (Dr.) 6413 Earlham Dr, Bethesda MD 20817 (F)

WINTERS, WILLIAM W. 6825 Capri Place, Bethesda MD 20817-4209 (LM)

WITHERSPOON, F. DOUGLAS ASTI, 11316 Smoke Rise Ct., Fairfax Station VA

22039 (M)

WULF, WILLIAM A. (Dr.) Quill Spring, 3897 Free Union Road, Charlottesville VA

22901 (F)

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Washington Academy of Sciences

67

The Washington Academy of Sciences and its Affiliated

Societies Present

Capital Science 2008

to be held March 29 - 30, 2008

at the National Science Foundation

On Saturday and Sunday, March 29-30, 2008, The Washington Academy of

Sciences and its Affiliated Societies will hold the third event of the biennial pan-

Affiliate Conference Series, Capital Science 2008. This event will take place at

the Conference Facility of the National Science Foundation in Arlington, VA,

within a block of the Ballston Metro Stop.

With about 20 of our Affiliated Societies participating, the Conference will serve

as an umbrella for scientific presentations, seminars, tutorials, and talks. These

pan-Affiliate Conferences clearly demonstrate that the Washington, DC area is

not only the political capital of the country but, in many respects, the nation's

intellectual capital - with several major universities and government laboratories

that are the homes of an astonishing number of Nobel Prize Laureates.

In addition to the sessions organized by the various Affiliated Societies, the

weekend-long event will feature three major addresses and three plenary

sessions:

The Events:

• The Saturday lunch address will be presented by Dr. Mario Livio, Senior

Astrophysicist and Head of the Office of Public Outreach, Space

Telescope Science Institute.

• The Saturday evening dinner will feature an address by NSF Director Dr.

Arden Bement.

• The Sunday lunch will feature an address by Dr. Maxine Singer, recently

retired (2002) as President of the Carnegie Institute and Scientist

Emeritus at the National Cancer Institute.

i

Winter 2007

68

The Plenary Sessions:

• Tissue Ownership: Ethical, Legal, and Policy Considerations, led by Dr.

William Gardner, Executive Director, American Registry of Pathology.

• International Polar Research, led by the Office of Polar Programs,

National Science Foundation

• Science and Engineering in the Courtroom: Ethics and the Expert

Witness, led by Dr. Mark S. Frankel, AAAS. The presentation will be

preceded by a reception.

Online registration will be available soon. Check the website for

updates at:

http://www.washacadsci.org

Even if you are not a member of the Washington Academy of Sciences or a

participating Affiliated Society, plan to attend the Conference. It is certainly

among this area’s premier events on science.

For questions, suggestions, or other communications about Capital Science

2008, please contact Peg Kay, Chair of the Organizing Committee:

pegt<ay@washacadsci. org

Washington Academy of Sciences

AFFILIATED INSTITUTIONS

The National Institute For Standards and Technology

Meadowlark Botanical Gardens

The John W. Kluge Center of the Library of Congress

Potomac Overlook Regional Park

Koshland Science Museum

Winter 2007

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6000 i 1

Washington Academy of Sciences

DELEGATES TO THE WASHINGTON ACADEMY OF SCIENCES

REPRESENTING AFFILIATED SCIENTIFIC SOCIETIES

Washington Academy of Sciences

Room 637

1200 New York Ave. NW

Washington, DC 20005

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Non-Profit Org.

U.S. Postage

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