Then, Now, and Beyond

Then, Now, and Beyond

Volume 2:We Were There 1960-2021

A book of essays about how the world has changed written by members of the MIT Class of 1964

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Copyright@2021byMITClassof1964ClassHistorianandProjectEditor-in-chief:BobPopadic

Editors:BobColvin,BobGray,JohnMeriwether,JimMonk,andRobertSaint-Aubin

Individualessaysarecopyrightbytheauthor.Opinionsexpressedbytheauthorsaretheirsandnotnecessarily

thoseoftheMITClassof1964.

Authors

ShyamadasBanerjiJosephE.BolingMarvinA.GellerRobertM.Gray

LarryHendricksonDonKunzeRogerLewis

JohnMeriwetherStephenPortnoyRobertSaint-Aubin

DavidSaulDavidSheenaBruceStraussAlTeich

ViguenTer-Minassian

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Table of Contents TableofContents................................................................................................................................iii

Preface...................................................................................................................................................vii

IntroductiontoVolume2..................................................................................................................ix

ArtsandCulture....................................................................................................................................1CoeducationalandWomen’sSportsvs.theNCAA.................................................................................2Abstract.................................................................................................................................................................................2Preface...................................................................................................................................................................................2Introduction........................................................................................................................................................................2Before1960-IntercollegiateSailboatRacingandMIT...................................................................................41960-1971-ThePlotThickens..................................................................................................................................71972-SeaChange:TitleIX.........................................................................................................................................14MITAdHocCommitteeontheRoleofWomenStudents..............................................................................15AFutureforWomen’sSailing....................................................................................................................................151980-82-TheEmpireStrikesBack.........................................................................................................................16Epilog...................................................................................................................................................................................16Acknowledgements........................................................................................................................................................17Bibliography......................................................................................................................................................................17

MITandaLifeattheEdgeofScience.......................................................................................................18FreshmanYear:AMajorMilestone.........................................................................................................................19GraduateSchool,ButNotinPhysics.......................................................................................................................25ACareerinSciencePolicy...........................................................................................................................................26

AJourneywithAlicethroughWonderland............................................................................................32Introduction......................................................................................................................................................................32TheBeginning..................................................................................................................................................................33The1960s...........................................................................................................................................................................35TheSanDiegoExperience...........................................................................................................................................351980-TheInnerJourneyBegins.............................................................................................................................362010+TheReluctantMessiah...................................................................................................................................40ARevisitwithMIT..........................................................................................................................................................42TheSpiritualJourneyinForm...................................................................................................................................43ReflectionsforContemplation..................................................................................................................................43OurSpiritualDNA...........................................................................................................................................................46ChristianityandtheMind...........................................................................................................................................46LookingBackandForward........................................................................................................................................47

HelpingPoorCountriesMeettheClimateChallenge..........................................................................49Introduction......................................................................................................................................................................49BackgroundtotheIssue..............................................................................................................................................50PredictingtheEarth’sFutureClimate...................................................................................................................52TheMarketforClimateChangeAction.................................................................................................................54TheImportanceofCarbonPricing..........................................................................................................................55FeebatesasanAlternativetoCarbonTaxes.......................................................................................................56TheNeedforClimateActionPrograms.................................................................................................................57DevelopingandImplementingaClimateActionProgram(CAP)..............................................................60Energy..................................................................................................................................................................................61

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Agriculture.........................................................................................................................................................................69WaterUseinAgriculture.............................................................................................................................................70UrbanSectorWaterSupply........................................................................................................................................71IndustryandConstruction..........................................................................................................................................72Construction,BuildingsandCommunities..........................................................................................................73Transportation.................................................................................................................................................................75ImplementingClimateActionPrograms..............................................................................................................77SomeExamplesofInitiativesinCAPPreparation............................................................................................78MobilizingResourcesforClimateAction.............................................................................................................81TheWayForward:SomeReflectionsfortheFuture.......................................................................................84

IstheCurrentVPPathtothePresidencyaGoodOne?......................................................................87Introduction......................................................................................................................................................................87VicePresidentSelectionToday................................................................................................................................87HowDidWeArriveatCurrentPractices..............................................................................................................881788 USConstitutionalGovernment.................................................................................................................891804 12thAmendmenttotheUSConstitution...............................................................................................91The1940s...........................................................................................................................................................................91MoreRecentTimes........................................................................................................................................................92UnintendedConsequences.........................................................................................................................................93Vice-presidentialMusicalChairs..............................................................................................................................93Conclusions.......................................................................................................................................................................94TheNowandBeyond....................................................................................................................................................95

TheArtandScienceofArchitectureAfter60Years:What’sNew,What’sNot...........................96HowILearnedWhat’sNew,What’sNot...............................................................................................................96Architecture,Archi-torture........................................................................................................................................97What’sNew,What’sNot..............................................................................................................................................98Epilog:HappenstanceMoments&Opportunities.........................................................................................104

Business..............................................................................................................................................105SometimesaLawyerAlwaysanEngineer–LookingBackwardandForward........................106AnEngineer....................................................................................................................................................................106TheChronology............................................................................................................................................................107TheMassachusettsYears.........................................................................................................................................107BurtonHouse.................................................................................................................................................................108ThePhiladelphiaYears..............................................................................................................................................110EmployedYears............................................................................................................................................................110TheRenoYears.............................................................................................................................................................117TheCaliforniaYears...................................................................................................................................................120LookingForward.........................................................................................................................................................121ReorganizationoftheFederalGovernment.....................................................................................................122SummaryofChangesintheLegalWorld..........................................................................................................122LastThoughts................................................................................................................................................................126

FoldingMoney–OneplacewhereUStechnologyisfarbehind...................................................127GettingInterestedinFoldingMoney...................................................................................................................127USBankNoteTechnology........................................................................................................................................128

ScienceandTechnology................................................................................................................133ProjectAcorn:TheBirthoftheIBMPersonalComputer................................................................134Introduction...................................................................................................................................................................134PersonalComputersBegintoEmerge................................................................................................................136ProjectAcorn.................................................................................................................................................................137

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Software...........................................................................................................................................................................138Networking.....................................................................................................................................................................139PCAnnouncementDay..............................................................................................................................................140

BigDataandSmall:AStatistician’sView.............................................................................................142StatisticalCareer..........................................................................................................................................................143BigData,aStatisticians’Perspective...................................................................................................................143SmallData.......................................................................................................................................................................146Concluding Remarks....................................................................................................................................................147

RevolutioninTelecommunications1964-2020................................................................................148MyAdvantageousStart.............................................................................................................................................148TheBreakfromRotaryTelephones....................................................................................................................149AdvancingTechnology..............................................................................................................................................150ConversiontoDigital..................................................................................................................................................152CompetitionandRegulation-AVolatileMix...................................................................................................153TheCanaryintheCoalMine-UnderminingDivisionofRevenues.......................................................156TheBellBreakup..........................................................................................................................................................157ChangingPricesandSocialMeaning...................................................................................................................160CincinnatiBell-CellularIndustryBilling..........................................................................................................161LongDistanceResale.................................................................................................................................................161DotComMadness........................................................................................................................................................163StatusoftheIndustry-2020..................................................................................................................................164TheFuture......................................................................................................................................................................165

AdventuresintheArctic............................................................................................................................167Introduction...................................................................................................................................................................167TheMichiganFPISystem-EngineeringDesignDetails.............................................................................170TheRigorsofAuroralDataCollectionintheAlaskanWinter1972&later.......................................173EntertheMini-computer..........................................................................................................................................182EnterthePCRevolution............................................................................................................................................187ReturntoAlaskain2009..........................................................................................................................................191DiscoveryScienceResults........................................................................................................................................194ClosingThoughts.........................................................................................................................................................196

ProlongedExposuretoSuperConductivityCanLowerYourResistance.................................201Introduction...................................................................................................................................................................201AVCOEverettResearchLaboratory.....................................................................................................................202ArgonneNationalLaboratory................................................................................................................................203TheNationalAcceleratorLaboratory.................................................................................................................203RussianInternalH2GasJetTarget.......................................................................................................................204TheTEVATRON............................................................................................................................................................205Epilogue...........................................................................................................................................................................210

TheChangingFaceofAtmosphericSciences......................................................................................211MyEntrytotheAtmosphericSciencesin1964..............................................................................................211ChangesintheFieldintheFollowingDecade.................................................................................................212SomeofMyContributions.......................................................................................................................................215ClosingComments.......................................................................................................................................................219References......................................................................................................................................................................219

Recreation..........................................................................................................................................221Baghdad–SleepingonRooftops&ItsConsequences.....................................................................222NakedEyeObservations–JustliketheAncients...........................................................................................222AmateurTelescopesGrowMoreSophisticated..............................................................................................224

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LookingBack.................................................................................................................................................................227

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Preface

“Then”isthelate50’searly60’s.Youtookexamswithyour“slipstick”andoftenyoucouldbringanything intoanexamexceptanotherperson.Telecommunicationswasoften tele-typeandcomputerinputwaspunchedcardsandtape.Computerswerebigandnotverypowerful–suchastheIBM709,7090,7094,TX-0,orPDP-1.Youwaitedyourturnforthemainframemuchasasupplicanttothegods.ThentherewasProjectMAC(MITProjecton

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MathematicsandComputation)whichintroducedtimesharing–nonotsharesinavacationhomeorjet.

“Now”iswellNOW.Computersabound–theywaitonourwantingtousethemandappli-cationsgetwrittenwithstuffyoudon’tneedtoproveyouneedanupdateandafasterma-chine. More power in a tiny device than existed in a room full in 1964.Wi-Fi antennasabound.Calculatorshavesolarcellsinpartbecausethebatteriesaremoreexpensivethantheelectronics.TheInternethasalotofinformationincludingstuffaboutourundergradu-atedays,wherewelive,whatwedo,meetingswegoto,etc.etc.WouldGeorgeOrwellhaverecognizedthe“Newprivacy?”And"Beyond"iswellBEYOND.Itsintheoffing-muchlikewhatalandlubberseeswhenshestares towardthehorizonandsee theshipsgoing to faroffplaces. Itswherepredic-tionsofthefuturedon'tnecessarilycometrue.Buthardlyareasonnottopredict.

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Introduction to Volume 2 ThemembersoftheMITClassof1964,inthissecondvolume,lookata62-yearperiodintimethroughalensshapedbybeingbroughttogethertoexperience“TechisHell”andthenatgraduation,withbeaverrings turnedaround,beingejected into theworld.Theessaysthatmakeupthisbookareablendofhistoryandbiographywrittenbythosewholed,par-ticipated,andobservedtheunfoldingeventsinmanydisciplines,notjustscienceandengi-neering.Someare aboutprofessional life, others abouthobbies and interests.Manyalsosharetheirauthor’sviewofwhatthefuturemighthold.

WhenwearrivedinAugustof1960DwightEisenhowerwasPresident,theColdWarwasstillaliveandwell, theSoviet launchofSputnikwasstill freshinmemory,andROTCwaspopularoncampus.MITwasabitsmallerthantoday–signsinKendallSquare(nowen-velopedinMIT)directedustocampus. Internationalstudentswerefew,women(akaco-eds)fewerandblackstudentsevenfewer.Academicdisciplinesweremorelikelytoliveintheir silos than be housed together, and many biology related disciplines were yet toemerge.Most freshman wanted to go into physics, but that changed.Lasers were newenoughtobethesubjectofademonstrationinphysicsclass.Computerprogrammingwaslearnedonourown tosolveabilliard tableproblem.Computer timewassomethingyoustoodinlinefor.$1,500tuitionwasabitlowerthannow–therewasevena“$1,700istoodamnmuch”campusprotesttoatuitionincrease($14,957in2020dollars).

Whilewewereholedupat theTuteanumberofmajorand less-majorevents tookplacewithripplesintothe21stCentury.ThefollowingselectionistakenfromalistpreparedbyLeonKaatzforourclasswebsite.

1960 September to December • USS Enterprise – the first nuclear powered aircraft carrier is launched • Nikita Kruschev shoe pounding incident at the United Nations • Discovery XVII shot into orbit • John F. Kennedy elected President

1961 • Chimpanzee Ham completes one day flight in Mercury space capsule • Leakeys unearth bones of earliest Australopithecus • Yuri Gagarin becomes first man in space • Alan Shephard becomes first US man in space with suborbital flight • White mob attacks Integration Freedom Riders at Birmingham, Alabama bus sta-

tion • Great Britain applies to join European Common Market • The Twist by Chubby Checkers is No. 1 on the pop charts • James Davis becomes first American killed in the Viet Nam conflict

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1962 • Decca, major British recording studio, rejects Beatles, convinced they would

never make it on the music charts • U.S. Rocket Ranger strays off path, misses Moon by 20,000 miles • Cuba sentences Bay of Pigs invaders to 30 years in prison • First live worldwide television show broadcasts with Telestar communications

satellite • House of Representative passes bill mandating equal pay regardless of sex • World population exceeds 3 billion • Maiden flight of Boeing 727 • Mariner 2 spacecraft sends close up photography of Venus

1963 • Viet Cong down 5 U.S. helicopters in the Mo Key Delta in Viet Nam • France opposes entry of Great Britain in the European Common Market • Robert Oppenheimer wins Fermi prize for research in nuclear energy • Boston Celtics win 5thstraight NBA title • Dr. No, first James Bond movie, premieres • Martin Luther King “I Have a Dream” speech at the Lincoln Memorial • Los Angles Dodgers sweep New York Yankees in World Series • President Kennedy assassinated

1964 • President Johnson pledges war against poverty • Beatles arrive in America for Ed Sullivan Show appearance • First US Gemini test flight orbits earth 3 times • MIT Class of 1964 Receives their diplomas

EssayauthorsinVolume2explorechangesinavarietyofareasincluding:• TheimpactoftheNCAAoncoeducationalandwoman’ssports.• Helpingpoorcountriesmeettheclimatechangechallenge.• Currencytechnologytomeetcounterfeitingchallenges.• Thelegalenvironment.• Architecture.• Computerscience,telecommunicationsandartificialintelligence.• Atmosphericsciencesandauroralobservationsandourunderstandingoftheworld

aboveus.• Amateurastronomerscannowstargazeremotely.ClassHistorianandProjectEditor-in-chief:BobPopadicEditors:BobColvin,BobGray,JohnMeriwether,JimMonk,andRobertSaint-Aubin

Arts and Culture

Left, When the Class of 1964 arrived atMIT, NCAA rules forbad participation ofwomen inall sanctioned sporting events.TheICYRAgoverningintercollegiatesailinghad no such rules, as demonstrated byCarolDorworth '60,whoasateammembercrewed in the 1958 North AmericanIntercollegiate Dinghy ChampionshipfortheMorssTrophy,whichMITwon.Below, MIT Women's sailing team won theEmilyWickTrophyin2019.In2018theMITco-educational teamwon theMorss Trophy,for the first time since 1961. The team hadfourwomenandthreemen.

2 | Arts and Culture

Coeducational and Women’s Sports vs. the NCAA Robert M. Gray

Abstract Fromitsfoundingin1910,theNationalCollegiateAthleticAssociation(NCAA)wasamale-onlyorganization,officiallyopposingfemaleparticipationinitsprogramsandevents.Thisendureduntil it lost its court battles todefeatTitle IX, or at least exempt intercollegiatesports from Title IX. Intercollegiate sailing programs provide a rare example of a sportmanaging tomostly avoid andeventually escape the clutchesof theNCAA’sEvilEmpire,resultinginthrivingcoeducationalandwomen’scompetitivesailboatracingprograms.MITsailorsplayedakeyroleinthisstory.

Preface MITwasinstrumentalinthedevelopmentofintercollegiatecompetitivesailboatracinginNewEnglandandbeyond. In the1950s-1970s italsobecameamicrocosmofseveralna-tionalstoriesplayingoutinmidcentury,especiallythequestionofwhocontrolledcollegesports andwhether or notwomenwere permitted to participate, either inwomen-onlyeventsor in coeducational sports,where teams includedbothwomenandmen.From itsfoundingdocumentsuntilthefailureofitseffortstooverthroworescapeTitleIX,theNCAAprovidedasimpleanswer—competitiveintercollegiatesportsrunbytheNCAAwereformenandonlymen,andithadnointerestinwhateverwomenwantedtodoontheirown.Somewhathiddeninthebigstoryoftheresultingstrugglewasthecaseofonenaturallyco-educationalcompetitivesport—sailboatracing—andtheorganizationssupportingit,in-cludingMIT.

Introduction Competitiveintercollegiatesportshaveplayedanimportantroleinhighereducationasameans of physical exercise, character development, entertainment, building institutionalidentity, and, of course, fund raising. In theUnited States in the late nineteenth century,suchcompetitivesportswereexclusivelymale(andwhite)andwomenwerenotencour-agedtoparticipateinsportsoralmostanyseriousphysicalexercise.Intercollegiatesportswere usually informal and loosely organized, with little oversight by the institutions orgovernments.ThisbegantochangeinthelatenineteenthcenturywiththeriseofAmericanfootball,whichdrew increasingly largeaudiencesalongwithoccasional chaosdue to thelackofstandardizedrules,increasinginjuriesandevendeathstoathletes.Asaresult,vari-ousgroupsbegantoproposeandpromotecreatingofficialbodiestoregulatesuchsports.

Spurred on by President Teddy Roosevelt, the Intercollegiate Athletic Association of theUnitedStates(IAAUS)wasfoundedtoregulatefootballand“othercollegiateathletics.”Allearlydocumentsrefertoparticipantsas“youngmale,”“boy,”or“youngman.”Sports,ath-letics,andphysicaleducationwereaimedat“theneedsofyoungwhitemaleswhotheyen-visionedwouldbethecountry’sleaders.”[5]Womenandminoritieswereinvisible.

Coeducational and Women’s Sports vs. the NCAA | 3

Thenamewaschangedin1910totheNationalCollegiateAthleticAssociation(NCAA).Inthe Constitution, By-Laws, and Executive Regulations, women are explicitly prohibitedfromcompetitionwithmeninsanctionedevents.Therulewasnotdroppeduntilyearsaf-terthe1972inactionofTitleIX.QuotingCarter[5]:

“Things would remain the same at the NCAA until Congress passed Title IX in1972.Inlightofthatstatute,anduponadviceoflegalcounsel,theNCAArescind-editsruleprohibitingfemaleathletesfromcompetinginNCAA-sponsoredevents.Thatsameyear, thefirst femalecompetedinaNCAAChampionship, theNCAA’sNational SwimmingandDivingChampionship.But separate championships forwomenwouldnotbecreateduntil1981.”

IntheearlydaysoftheNCAA,womeneducatorswereincreasinglypromotingathleticpro-gramsforwomenatbothwomen-onlyinstitutionsandafewcoeducationalinstitutions.Inthelatenineteenthcentury,womenhadexpressedincreasinginterestiinclubsforcompet-itive sports such as tennis, croquet, bowling, archery, and even basketball. Some men’sclubs allowedwomen to become associatemembers, but denied them full membership.Womenandsupportivemensawpositivebenefitsinregionalandnationalorganizationstohelpstandardizetherulesofcompetitivegames,helporganizemulti-institutionalcompeti-tion,andpromotephysicaleducationrequirementsandtheimpliedaccesstoathleticfacili-tiesatinstitutions.OneoftheearliestsuchorganizationswastheCommitteeonWomen’sAthletics(CWA),foundedin1917.Theseorganizationsforwomenappreciatedthebenefitsof theNCAA in terms of standardization of rules and organizational, but theywerewellawareof its faults. Ina1929report,AmericanCollegeAthletic,producedby theCarnegieFoundation for theAdvancementofTeachingreported thatamateurismwasbeingelimi-nated ormodified from athletics at the college level as colleges turned athletics into bigbusinessBell(2008)[3].TheCWAevolvedovermanyyears, throughmanynamechangesandmergers, includingtheCommissionon Intercollegiate Sports forWomen (CISW),whichhadbeen created in1970inresponsetothegrowingawarenessofcivilrightsandrightsforwomenandminor-itiesof the1950sand1960s.Theevolutionculminated in1971with the foundingof theAssociationforIntercollegiateAthleticsforWomen(AIAW)with278charterinstitutions. Suchorganizationsforwomen’sathleticsweremostlyignoredbyNCAApriortotheenact-mentofTitleIXin1972—theywerenottakenseriouslyassportingeventsandtheydidnotinvolvemajorfinancialbenefitstotheinstitutionsortotheNCAA.ThisneglectbytheNCAAwasnotbenign,but itdidallowtheAIAWtogrowsignificantlybeforebecomingatargetoftheNCAA,containingmorethan800institutionsby1981,whentheNCAAturneditssignificantfinancialandpoliticalpoweragainsttheAIAW.WhiletheAIAWpursuedsimilaradministrativeandorganizationalattributestotheNCAA,theirgoalswerevastlydifferent.Bell(2008)[3]statesthat:


“Theirmissionwas to “leadand conduct” programsat the collegiate level thatwerecompetitive forwomen.TheAIAWfocusedon the femalestudent-athlete’seducation,notonathleticperformance,andthusrejectedthe‘winordie’attitudeoftheNCAA.Instead,theAIAWemphasizedparticipationinsportasthemostim-portantaspectandde-emphasizedwinning.”

Thissetthestagefortheone-sidedandsadstoryoftheNCAA’seffortstodestroytheAIAWfollowingtheenactmentofTitleIX.Thefocusofthisessayisintercollegiatesailing—asportthatisanaturalcandidateforco-educationalparticipation,andwhichnever fellunder thedirectdominationof theNCAA.Unfortunately,however,itwascaughtinthemiddleastheNCAApushedinstitutionstofol-lowitsdictates inallsportsat the institution,whetherornottheyweregovernedbytheNCAA.Violationcould result inan institution’sentire sportsprogrambeingpenalizedbytheNCAAbywithdrawingitssanctionformoreremunerativesportingevents.Muchofthismultifacetedstoryoccurredinthe1960s,withdevelopmentinthe1970s,res-olutioninthe1980s,andenduringimpact.Women’sathleticprograms,competitivesports,and, inparticular, sailingatMITprovidea specificand importantexampleof thestory. IwaspresentatMIT1960-66andanactivesailorfortwoyears.MylongterminterestinthehistoryofcoeducationatMIT(see[6])andmyreturninretirementtoactiveracingofBull-seyesinRockportMass.kindledmyinterestinthisstory,whichledtomyresearchingandwritingthisstory.

Before 1960 - Intercollegiate Sailboat Racing and MIT TheIntercollegiateYachtRacingAssociation(ICYRA)wasestablishedin1930,reportedlyin conjunctionwith the first intercollegiatedinghy regatta, theBostonDinghyClubChal-lengeCup.No explicit gender-based restrictionswere stated in the founding documents,unlikethoseoftheNCAA.

TheICYRAbecametheIntercollegiateYachtRacingAssocia-tionofNorthAmerica(ICYRA/NA)and,in2000,changeditsnametoitscurrentnameIntercollegiateSailingAssociation(ICSA).Thisessay isabouthistory,however,soIwillsticktotheICYRAnameastheonemostcommonlyusedduringthe period treated, since only the epilog involves the newname.TechDinghy1936LedbyWalter “Jack”WoodMIT ’1917, theMITSailingPa-vilionwasbuiltandopenedduring1935-6.ThefirstfleetofwoodenTechDinghiesweredesignedbyMITNavalArchi-tecture Prof. George Owen and built by the HerreshoffManufacturing Company — founded by Nathanael (Nat)

GreeneHerreshoff(MIT1870)andhisbrotherJohnin1878inBristolRI.


ThefirstgenerationTechdinghiesserveduntil1952.MITwon the first Henry A.MorssMemorial Trophy, theNorth American IntercollegiateDinghyChampionshipsponsoredbytheICYRA,in1937.MITwouldwinthechampionship11timesmoreoutofthe25runthrough1961,occasionallywithwomencrewmembers.Itdidnotwinagainuntil2018.Inthe1961MorssCup,Iwastheheavyweathercrewformybrother, Peter Gray ’61. The otherMIT skipperwasDonNelson ’61. Both Pete andDonwerelaterelectedtotheIntercollegiateSailingHallofFame. SeveralwomenatMITparticipatedinthesailingprogramatMIT.OnewasEmilyLippen-cottWick,whoarrivedatMIT inSeptember1946 fromMountHolyokeCollegeasanewPhDstudentinchemistry.EmilyplayedamajorroleinmyearlierarticleoncoeducationatMITinVolume1[6]ofthisseries,butheresheplaysadifferentroleasanéminance griseinthebackgroundof theMITsailingprogram.ShedidnotracecompetitivelyatMITasshewasagraduatestudent,butshewasanavidsailorandracerinherhometownofRockportMass.AsbothanadvisorandlateranAssociateDeanofStudents,shewasacounselorandadvisorforthewomen’sathleticprogramandforwomenstudentathletes.SoherstoryisintermingledwiththeMITsailingtheme.

EmilyWick'sSailingCard InMarch1947EmilyjoinedtheMITNauti-calAssociationbygettingher sailing card.The cards are allegedly for one year, butthe original cards from the early days onare still kept in a file by the front desk oftheSailingPavilion.Emily’scardshowsshequalified as Crew and Helmsman, but notas a Racing Skipper—because shewas agraduate student. In her oral history, she

saidthatshedidtakeadvantageoftheMITsailingresources,butnottoagreatextentbe-causeshepreferredtospendherfreetimeinRockport,whereshehadasuccessionofsail-boats, includinganO-Boat,aStarBoat,a JollyBoat,aFirefly,andfinallyaCapeCodBull-seye.OnMarch26,1949theNewEnglandIntercollegiateSailingAssociation(NEISA)wasformedinCambridgeaspartoftheICYRA.Leonard(Len)M.Fowle,yachtingeditoroftheBostonGlobeandcorrespondentfortheNewYorkTimes,wasafounderandleaderofbothNEISAandICYRA,whichismadeupofsuchregionalorganizationsasNEISA.In1952 the secondgenerationTechdinghy fleet arrived, fiberglass insteadofwoodandbuiltbyCapeCodShipbuilding.In1953theICYRAregulationsmadeexplicittherulethatmemberinstitutionsmustbeei-therallmaleorcoeducationalandthatwomen-onlyinstitutionswerenotallowed.ICYRA


correspondence show attempts to follow closely the strict standards of the NCAA “withpossiblysomemodifications.”TheallowanceofcoeducationalteamswasindirectconflictwithNCAArules.AtMIT,thegeneralissueofextendingmoreathleticprogramsandfacilitiestowomenwasincreasinglybeingconsidered.InDecember1955theMITDirectorofAthleticswrotetotheAthletic AdministrativeBoard and Committees for the Planning of Athletic Facilities andProgramregarding“basicassumptionsthatitisfeltmustbemadeinconsideringtheneedforadditionalathleticfacilitiesatM.I.T.”including:

• That we plan in the Athletic Program to include facilities for approximately 200women.

• Thattherebenointercollegiateprogramforwomen.• Thattherebealimitedintramuralprogramforwomen,suchasbadminton,archery,

bowling,etc.• Thattherebenorequiredprogramforwomen.

Antonia (Toni) Deutsch's MIT Junior VarsityLetter Afterseveraldiscouragingattemptstopar-ticipate in MIT sports, Antonia (Toni)Deutsch(laterSchuman)waswelcomedbyJackWoodandHatchBrownat theSailingPavilion—providedshecouldhandleaTechDinghyanda110, and tie theprerequisiteknots. In 1956 following her crewing inseveralregattas,shebecamethefirstwom-an to receive anMIT Junior Varsity letter.ShewasthePresidentoftheAssociationofWomenStudents(AWS)inherJuniorYear,andmanyyearslatertheMITToniDeutschRegattawasnamedafterher—butwomenwerestillnotallowedintheMITAthleticAs-

sociationorVarsityClub!

In1958theICYRAnoted-“wheresailingisaregulatedsport,itisapartoftheathleticprogramwhich inmostcolleges is regulat-ed to some extent by outside groups, such

as theNational CollegeAthletic Association (NCAA). The policy of this and other similargroupsdoesnotrecognizetheparticipationofwomenwithmen”andbeganconsiderationofcreatinganAffiliateMembershipforwomen’ssailingassociations1.

1GordonBently,GraduateSecretary,ICYRAtoKayLeland,TrinityCollege,December3,1958.MysticSeaport


The MIT sailing team included Carol M.Dorworth ’60,whocrewed forTeamCaptainDennisPosey’59intheNewEnglandandtheNational championship regattas sailed inFirefly sloops, winning both championships.[8]Tofinishsettingthestageforthe1960s,in1959 EmilyWick was appointed AssistantProfessor in the Department of NutritionandFoodScienceatMIT,andJuliusStrattonbecameMITPresident.

1960-1971 - The Plot Thickens In1960 theclassof1964arrivedatMIT,and in1961 theUniversityofRhode Island,anNCAAschool,announceditwouldfollowNCAArulesinallsportsandexcludewomenfromallintercollegiatesportsandrefusetoplayanyteamsincludingwomen[8]. ThisillustratesthebasictacticoftheNCAA,tobullyinstitutionswishingtohavetheirre-munerativemalesportslikefootballandbasketballbewithintheNCAAfold;forcingalloftheir sportsprograms to complywithNCAArules, even if thoseprogramswerenotgov-erned by theNCAA. This effectively eliminatedwomen fromparticipation in any varsitysport.Seeing the writing on the wall, NEISA adopted the NCAA prohibition (to be effective in1966),butactivelysupportedformationoftheWomen’sIntercollegiateSailingAssociation(WISA)andtheNewEnglandWISA(NEWISA)“Toencourageandpromotewomen’sinter-collegiatesailing;toformcollegesailingteams;toinspireinterestinsailing;tocreateandinstructsailinggroups.”The idea seems to have been first proposed in Lucie Sheldon’s 11/19/60 letter to LenFowle,whose12/5/10replysuggestedbringing itupata12/10/60NEISAmeeting.Theideawasfurtherdiscussedina2/18/61meetingofseveralwomenstudents,administra-tors, and Fowle atWalkerMemorial atMIT,where a constitutional committee includingMIT’sEleanor(Ellie)Chancewasappointedandaninitialregattascheduleforspring1961wasdrawnup,andtheMITwomen’ssailingteamcameintoexistence.

Collections.


MinutesofFebruary18,1961meetingatWalkerMemorialUnliketheNCAA,NEISAworkedbehindthescenestohelpcreateanindependentbutparal-lelwomen’sorganization, andworked for consistencyof rulesandorganizationbetweenNEWISAandNEISAinanticipationofaneventualunification.TheNEISAwasawareoftheintentionsandpoweroftheNCAA,buttheywerequietandsneakyintheiropposition.Thiswasallgoingonin1961,whileIwasatMIT,amemberoftheNauticalAssociation,onthesailing team,and,apparently, clueless. Ididnot learn thesedetailsuntil2019duringvisitstothearchivesoftheMysticSeaportMuseum[11].


Women'sIntercollegiateSailingAssociation-RegattaScheduleSpring1961 MIT student Eleanor Chance played a key role in the development of women’s sailing as the MIT student representative in the February 1961 meeting at MIT initiating the organization of WISA and NEWISA, their relationship to NEISA and ICYRA, and scheduling the first spring regattas. Earlier in 1960 she is mentioned in the 11/18/1960 “The Tech” as a member of the MIT team along with Marjory Harper as a participant in “an unusual intercollegiate event” — a regat-ta for women sailors held at MIT. She was still on the NEWISA mailing list in 1962, but then disappeared from MIT records, I could not even find a sailing card for her at the MIT Sailing Pa-vilion. It turns out, however, that her life was intimately involved with sailing — but only briefly at MIT. On February 2, 1964 The New York Times published an announcement of her marriage to Bradford N. Swett along with the biographical information that she is an alumna of the Bald-win School in Bryn Mawr, Pennsylvania, and the University of Pennsylvania and that she also attended the University of Uppsala in Sweden and MIT. Her father, George Britton Chance, was a Professor at the University of Pennsylvania School of Medicine and a 1952 Summer Olympic Gold Medalist in 5.5 Meter sailing. Eleanor built a significant sailing reputation sailing Finns and later larger boats at the New York Yacht Club under the names Eleanor Chance Swett and Elea-nor Chance Burgess. She sailed with Jerome (Jerry) Milgram ’60, who was coincidentally men-tioned in the same “The Tech” article mentioned above, and was reported to have taken com-mand of Milgram’s controversial cat-rigged catch Cascade following races. Milgram was a star MIT sailor and a long-time professor at MIT. Eleanor appears again in August 7, 1972 New York Times article as skipper of the second-place Cascade in the New York Yacht Club’s Astor Cup race. Eleanor’s daughter Hannah Swett was the Rolex Yachtswoman of the Year in 2004. Ellie Chance’s role is clear from the earliest documents in the NEWISA archives in the Mystic Sea-


port Museum Collections [11]. NEISA provided high-level liaisons with NEWISA, advice (led by Len Fowle and Jack Wood), organizational cooperation, and the long-term goal of an eventual merger. MIT played an active role as a host for NEISA regattas. Unfortunately, theMITwomen’ssailing teamandNEWISAwerenotable tosustain theirinitialburstofactivityandlittlemorehappeneduntilautumn1964whenonceagainMITfieldedateamandNEWISAorganizedfivespringregattas.In1962Sailingandfencingwereapprovedaswomen’sclubsports,butwomenhadverylowpriorityinusingMITathleticfacilities.

ThisphotoofEmilyattheSailingPavilionisaccompaniedbyanexcerptfromheroralhistory[12]. Interviewer: Sailing? Did you [take] advantage of theMIT...didtheyhaveasailingteam?Wick:Well,Idid.SureMITdid,butIdidnotdoalotofittherebecauseIhadaboatouthereinRockportandIdidnotwanttouseupmygoofofftimeintown.But,whenthingsgotthick,Iwouldwalkdowntothesailingpavil-ionandsmellthefreshair.In1963Margaret(Scotty)MacVicarwasthepresidentoftheMITAWSandwasalsoanavidsailor.

FromDec.1963.P.80TheTechnologyReviewIn 1964 awomen’s athletics programwas formally es-tablishedatMIT,beginningwith44womenstudents.WISA incorporated several ICYRA procedures at MIT.RuthBeckley ’67chaired theNEWISASchedulingCom-mittee.BeckleywasamemberoftheMITwomen’ssail-ingteamorganizedinthefallof1964inanticipationofthe expected enforcement of the prohibition ofwomenontheVarsitysailingteamin1966.In1967BeckleywonthefirstMITPewterBowlAward,givenannuallytothe

“Femaleseniorwhohasshownthehighestqualitiesof inspirationand leadership incon-tributingtowomen’sathletics.”


Inresponsetoappealsfromwomen’ssportsandathleticsorganizationsanditsownlong-rangeplanningcommittee,theNCAAclarifieditsposition[5][9]:

“NCAAcategoricallyrejectsparticipationofwomenintheirchampionshipevents:Thegamescommitteeshalllimitparticipationtoeligiblemaleathletes.”

OnJanuary21,1965theMITAthleticBoardinvitedAssociateDeanofStudentsJacquelynMattfeldandseveralundergraduatestodiscussthewomen’sathleticsprogramatMIT.Theundergraduates include Ruth Beckley. The following excerpts from the minutes of themeetingprovideaddedinformationonrenewedattemptstoformanactivewomen’sinter-collegiatesailingprogram.


TheTech,10/22/1966


TechwomensailorscontinuedtheirsuccessinthefirstyearoftheirbanishmentfromVar-sitysailingbytheNEISA.Thearticleincorrectlystatesthatthewomen’ssailingteamcameinto existence in spring of 1962 and that its first intercollegiate competitionwas in thespringof1965.Aswehaveseen,theteamwasfirstformedandhaditsfirstintercollegiateregattasin1961.

TheTech,11/1/1966“CoedsfirstinManLabRegatta;wintrophyforthirdstraightyear” In 1967 NEWISA and her sister organiza-tion, the Middle Atlantic Association ofWomen Sailors, (MAAWS), organize thefirstwomen’snationalsfor1967.Fran Charles, MIT Sailing Master (at MITsince 1992), relates stories told to him byHatch Brown, former MIT Varsity SailingCoach and Sailing Master, and Stu Nelson,women’sVarsityCoachatMITfor39yearsand first full time women’s coach for theICYRA: “During the mid 1960s Emily spent manyweekends organizing and hosting New Eng-land women-only sailing regattas and wasinstrumental in founding the New EnglandWomen’s Intercollegiate Sailing AssociationwhentheNewEnglandIntercollegiateSailingAssociationwould not allow their participa-

tioninvarsitysailing.Emilyevenorganizedthedo-it-yourselfsandwichlunchesfor theregattas. Shealso lobbied theAthleticAssociation forapprovalofwom-en’ssailingasavarsitysport.”

Excerpts from Athletics and theWomen Students atMIT, March 17, 1967 MemorandumfromAssociateDeanWicktoDeanWadleigh:

“TheMITWomen’s Sailing Teamhas a distinguished record in that itwon the1966NewEngland IntercollegiateWomen’s championshipandwasundefeatedthroughoutthefallseason....Becauseoftheirdemonstratedactivityinathleticsandtheirneedforassistanceandastructurewithinwhichtoschedulemeets,thequestion of admittingwomen students to theMITAthletic Associationwasdis-cussedat ameeting of theAthleticBoard. Theirmembershipwas approvedbytheAthleticAssociationinFebruary1967.”

Women’sCrewwasalsoadmittedtomembership in theAthleticAssociation.ButwomenwerenotyetpermittedintheVarsityClub.MITviewedthewomen’sVarsitySailingteamas


havingofficiallybegunin1969withtheAthleticDepartmentfundingofawomen’scoach,StuNelson—adecisionstronglyinfluencedbyEmily[7].Laterintheyearwomen’ssailingandcrewweredesignated“VarsityTeams”retroactiveto1963,allotherwomen’ssportsconsidered“clubsports.”In 1970 ICYRA recognized NEWISAwomen’s nationals and set policies and procedures.SailorCaroleJ.Bertozzi’70wonthe1970MITPewterBowlAward.In1970Emilywroteforthe1971MITPresident’sReportthat:

“Ahighpoint in thehistoryofM.I.T.womenwasreachedwhenKathy Jones ’71andMariaBozzuto’73,membersoftheWomen’sVarsitySailingTeam,receivedM.I.T’shighestathleticaward,theStraightT,attheAthleticAssociation’sAwardsBanquet.”

ThiswasthefirsttimethatwomenwereinvitedtotheannualAwardsBanquet!Joneswonthe1971MITPewterBowlAwardandBozzutowonitin1972.MITwomenwonthe1971ICYRANationalWomen’sDinghyChampionship.

1972 - Sea Change: Title IX A tidalwave occurred forwomen’s sports (and all other educational activities involvingFederalfunding)withthe23JuneenactmentofTitleIXoftheEducationAmendmentsActof1972:

“NopersonintheUnitedStatesshall,onthebasisofsex,beexcludedfrompartic-ipationin,bedeniedthebenefitsof,orbesubjectedtodiscriminationunderanyeducationprogramoractivityreceivingFederalfinancialassistance.”

Collegesanduniversitieswerenotrequiredtocomplyuntil1978,butintenseactivitybe-ganimmediately.TitleIXwasstronglysupportedbytheAIAW.Theirearlyreactiontothelegislationwastheoptimistichopethatwomen’sinvolvementintheadministration,coach-ing,policy, and fundingwill increaseandno longerbe in the shadowof theNCAAmale-dominatedviewofsports[4].TheNCAAfoughtthelegislationferociouslywithlobbying,influence,andlawsuits.Thein-tensityoftheattackisdescribedinmanysources,including[2],[4],[5],[10],and[3].TheNCAA’sexecutivedirectorWalterByersstatesthatTitleIXsignaledthe“possibledoomofintercollegiate sports,” and many argued that that “doom” included what few women’ssports existed at the time. These tactics all failed, so the NCAA adapted an old industrystrategy—itinitiatedeffortstotakeovergovernanceofwomen’ssportsratherthanignoreorfighttheirexistence.Thatwouldkeeptheirpoweroverpolicy,budgets,andpersonnelintactwhiletakingovertherapidlygrowingprogramsforwomen’sathletics.Italsohadtheeffectofputtingthecontrolofwomen’ssports inthehandsofthelargelymaleNCAAad-ministrationaswellasreplacingtheAIAWstatedgoalsofplacingstudentinterestsanded-


ucation first,with theNCAA’sgoalsofeconomicpowerandwinningatanycost.Theon-slaughtdidnothappenovernight,theNCAAwouldnotwinuntil1982.

MIT Ad Hoc Committee on the Role of Women Students In1972MITformallyappointedanAdHocCommitteeontheRoleofWomenStudentsatMIT,includingmanymembersoftheWomen’sForum,agroupofoveronehundredmem-bersincludingstudents,faculty,andstaff(includingafewmen).Thecommitteeproducedareportbytheendofspring2.Thereportincludedan“AthleticReport”whichbegins:

“ThereisonemajorproblemthatcoedathletesatMITencounter;theyareoftennottakenseriouslybytheAthleticDepartment.This,however,ismerelyareflec-tion of the attitudes which pervade society in general with regards to womenathletes.Rather thanprovidingpositivemotivation,as formen,which involvestangible rewards, e.g., varsity letters and recognition, women athletes mustovercomeanegativesocial image,thatis,oneofbeingcompetitiveandunfemi-nine.”

The Committee made many recommendations, which unfortunately mostly led to morediscussionsandcommitteeswithoutsolidchangesforseveralyears.Animportantexcep-tionwastheextensionofthePhysicalEducationRequirementtowomenundergraduates,giving themequalpriorityofaccess toathletic resources.3Anotherwelcomeresultof thereportwasthatthestudentsontheAdHocCommitteeontheRollofWomenwonaKarlTaylor Compton Prize— “the highest award presented by the Institute to students andstudentorganizationsinrecognitionofexcellentachievementsincitizenshipanddevotiontothewelfareofMIT.”TheAdHocCommitteeComptonPrizewasusedtofundtheEmilyWickTrophyregatta,awomen’sintercollegiatesailingevent.The MIT women’s varsity sailing team won the 1973 ICYRA National Women’s DinghyChampionship.

A Future for Women’s Sailing InMay29,1976NEWISAand ICYRAagreed tomergeNEWISA intoNEISAandbecomeaselfgoverningcommitteeforwomen’ssailing.AttheMITSailingPaviliontheWomen’sIn-tercollegiateSailingCommittee(WISC)wasformedfromNEWISAanditssisterorganiza-tions“toencourageandpromotewomen’sintercollegiatesailing.”Themergerwasaccom-plishedbyICYRAdirectionin1978.SounliketheNCAA,thegoverningorganizationofin-tercollegiate sailingmanaged to incorporatebothwomen-only and coeducational sailing,thehistoricallywomen’ssailingorganizations,withwhomithadcooperated in theback-groundduringtheyearsofNCAAdominance.ButtheNCAAwasnotdone.

2RoleofWomenStudentsatMIT,AreportbyTheAdHocCommitteeontheRoleofWomenstudentsatMIT,July1972.MITArchives,AC-22,Box3.3“HistoricalOutlineofWomen’sAthleticsatMIT,”DottieBowe,unpublishedmanuscriptinMITArchives.


1980-82 -The Empire Strikes Back TheNCAA foughtbackagainstTitle IXbyplanningand implementing itsownchampion-ships in women’s sports, developing competing programs to those of the AIAW and itscomponentandsisterorganizations.TheNCAAofferedincentivestoinstitutionstojoinitrather than the AIAW, including free travel funds forwomen’s teams and freewomen’smemberships for institutionswhosemen’s teams joined theNCAA.TheNCAA signedTVcontracts to televise its own women’s team championships on the same day as AIAWchampionships,costingtheAIAWitsprimaryfinancialsource[4].TheNCAAdwarfedtheAIAW,whichcouldnotsurvivetheonslaught.TheAIAWfiledanantitrustsuit,butlostbe-cause the judgedidnotbelieve that theNCAAwasor threatened tobe amonopoly.TheAIAW collapsed financially in 1982 and the NCAA took over almost all intercollegiatemen’s,women’s,andcoeducationalsports—thelatterofwhichtherewerevirtuallynonebeyondsailing,rifle,andhighdiving.CarpenterandAcostain[4]drewthesadconclusiononunintendedconsequences:

“Asthebrief,ultimatelysadhistoryoftheAssociationofIntercollegiateAthleticsforWomen(AIWA)willshow-amodelofcompetitivebuthumaneintercollegiateathleticsonceexisted. Ironically, theNCAAdemolished it in thewakeof federallegislationintendedtoprovideequity,includingequityforwomeninsports.”

Epilog Sailingand the ICYRA(nowknownas the ICSA)remained independent,notdirectlygov-ernedbytheNCAA.Unfortunately,theyarestillaffectedbyrulesagreedtobyinstitutionsbelongingtotheNCAA.

In 2018 the MIT womenwon the Emily WickTrophy and thecoeducational sailingteam won the MorssTrophy for the first timesince1961.


Acknowledgements IamgratefultotheMITMuseumandtheSpecialCollections(akaArchives)andtotheMys-ticSeaportMuseumCollections.Mostoftheimagesarefromthesecollections.Thedetailsof theNCAAsuccessfulwarontheAIUAdrawheavily fromBarnesandScannell [2],Car-penter[4],Carter[5],andBell[3].SpecialthanksfordiscussionsofwomensailingatMITtoAntonia (Toni)Deutsch SchumanMIT ’58 and for editorial and content discussionswithBobPopadic,Classof1964HistorianandformerTechnique‘64Editor-in-Chief.

Bibliography [1] Role of Women Students at MIT, A report by The Ad Hoc Committee on the Role of Women Students at MIT, July 1972. MIT Archives, AC-22, Box 3. [2] Bart Barnes and N. Scannell, “No sporting chance: The girls in the locker room,” The Washington Post, May 12, 1974, A14. [3] Richard C. Bell, “A history of women in sport prior to Title IX,” The Sport Journal, March 14, 2008. [4] Linda Jean Carpenter and R. Vivian Acosta, “Back to the Future: Reform with a Woman’s Voice,” Academe, Vol. 77, No. 1 (Jan. - Feb., 1991), pp. 23-27. Available online at JSTOR thanks to the Ameri-can Association of University Professors, https://www.jstor.org/stable/40251009 [5] W. Burlette Carter, “The Age of Innocence: The First 25 Years of the National Collegiate Athletic Association, 1906 to 1931, Vanderbilt Journal of Entertainment and Technology Law, V. 8, Spring 2006, No. 2, pp 211-291. See especially Part IV. [6] Robert M. Gray, “Coeducation at MIT,” Essay in Then, Now and Beyond — We were there 1960-2019, 55th Reunion Class of 1964 Project, Description and summary available at http://1964.alumclass.mit.edu/s/1314/2015/club-class-main.aspx?sid=1314&gid=55&pgid=14921 Bob Popadic, Editor in Chief, May 12, 2019. [7] Monica Kelly, “Emily Wick PhD ’51, MIT’s first female professor to earn tenure, dies at 91,” MIT News 4/23/13. [8] Jennifer Mitchell, “Working Women: Women’s collegiate sailing is one of the toughest, most compet-itive events in sailing,” Sailing World, September 6, 2017, https://www.sailingworld.com/working-women/ [9] “Ladies Locked Out as NCAA Remains Strictly for Men,” NCAA NEWS, May 1964, available at https://archive.org/stream/NCAA-News-19640501/NCAA-News-19640501 djvu.txt [10] Nicole Mitchell and Lisa A. Ennis, Encyclopedia of Title IX and Sports, Greenwood Press, Westport, Connecticut https://epdf.pub/encyclopedia-of-title-ix-and-sports4e4354818f7eef125cdefd67b51b822983772.html [11] Coll. 222, Manuscripts Collection, G. W. Blunt White Library, Mystic Seaport Museum, Inc. Rec-ords of the Intercollegiate Yacht Racing Association, Section A: Inter Collegiate Yacht Racing Associa-tion (ICYRA) Section B: New England Intercollegiate Association (NEISA) Section C: New England Women’s Intercollegiate Sailing Association (NEWISA) [12] Oral History of Emily Wick, MIT Libraries, Interviews of the Margaret MacVicar Memorial AMITA Oral History Project, 1992 February 15, pdf file MC0356 353914.pdf available at https://dome.mit.edu/handle/1721.3/74359 RobertMGray ‘64Course6,ElectricalEngineering,arrivedatMITin1960andreceivedhisBSandMSinEEatMITin1966andthePhDfromtheUniversityofSouthernCaliforniain1969.HeisaStanfordProfessorEmeritusandlivesinRockport,Massachusetts.


MIT and a Life at the Edge of Science Al Teich

ItwasaVandeGraaffgeneratorthatstartedmeontheroadtoMIT.YoumightsayitsparkedmyinterestintheInstitute.AVan de Graaff is a device that generates a high voltage, lowamperagestaticelectricitycharge.Ibuiltoneforasciencefairproject in ninth grade and it won first prize in the districtcompetition. Thelarge,butharmless,sparksitgaveoffmademyexhibitamajor attraction at the fair. A reporter for my high schoolnewspaper(TheShorelineatSouthShoreHighSchool inChi-cago)interviewedmeandmypictureappearedintheschoolpapertogetherwithashortarticle.ThereporteraskedaboutmyplansforthefutureandIreplied,withoutgivingitagreat

dealofthought,thatIhopedtogotoMITandbecomeaphysicist.Thatwasit.Throughoutthe rest ofmyhigh school careerwhenever Iwas askedaboutmy collegeplans, I didn'tneedtogivethematteranyfurtherthought.IsaidIwasgoingtogotoMITandstudyphys-ics.EventhoughIreallydidn’tknowmuchaboutwhataphysicistactuallydid,andIhadonlythehaziestideaofwhatanMITeducationwaslike,Iwasnowonrecordpublicly--IhadmadeupmymindthatIwouldgotoMITandbecomeaphysicist.Well,IdidgotoMITandIdidgetadegreeinphysics,butIdidn'tbecomeaphysicist.Mycareerhasbeeninsci-encepolicy -- a field thatbarelyexisted in theearly1960s.Muchof ithasbeenatAAAS(AmericanAssociationfortheAdvancementofScience),whichhasplayedakeyroleinthegrowthandevolutionofthefield.

MIT and a Life at the Edge of Science | 19

Freshman Year: A Major Milestone Anyway, there Iwas, fouryears later,steppingoff theplaneatBoston'sLoganAirport inSeptember1960tostartmyfreshmanyearatMIT.IhadonlyavaguenotionofwhatIwasgettingmyselfinto.Ihadnevergonetocampandhadneverbeenawayfromhomebymy-selfformorethanafewdays.IhadonlybeentotheBostonareaonce,onaNewEnglandvacationwithmyfamilytheprevioussummer.DuringthatvisitIhadseentheMITcampus,butonlyfromtheoutside.IhadinterviewedwithanMITalumnusinChicago,theuncleofafriend,andIhadstudiedtherecruitingmaterialstheInstitutehadsentmeafterIwrotetoindicatemyinterest.Iwasvaledictorianofmyclassof368.TheHarvardClubofChicagohadcourtedme,award-ingmetheHarvardPrizeBook,beautifullyboundinredleatherwithgiltedges.IthoughtHarvardwastoosnobbish,however,andIdidn'tbothertoapply.4IappliedtotheUniversi-tyofChicago,theUniversityofMichigan,Caltech,andMIT.Iwasonmyownfinancially;myparentsdidnothavetheresourcestosupportme.IreceivedpartialscholarshipsfromthePullmanFoundation,theSearsRoebuckFoundationandseveralothersources.TheUniver-sityofChicagoofferedmeafullscholarship,butitwastooclosetohome.Michiganadmit-tedmeandofferedsomefinancialaid.Caltechprobablylaughedatmyapplicationanddid-n'tbothertoreadit.Theyadmittedonly250applicantsandIwasprobablywellbelowthelowendoftheirlist.Butitdidn'tmattersinceIhadknownfromthebeginningthatIwasgoingtoMIT.Theyofferedenoughfinancialaid,inamixofscholarships,loans,andwork-studythat,togetherwiththescholarshipsIhadalreadyreceivedandthemoneyIhadsavedfromsummerjobsandbarmitzvahgifts, Ihadjustenoughtocovermytuitionandlivingexpenses.MyparentssawmeoffatO'HareandtearfullywatchedmeboardmyflighttoBoston.IwasexcitednotjustbecauseIwasleavingforcollege,butbecauseitwasmyfirstflight.Flyingwas nowhere near as common in 1960 as it is now. I checked a large suitcase, and hadshippedafootlockerwiththerestofmyclothes,books,andotherpossessionsbyRailwayExpressaweekorsoearlier.My first fewdays inCambridgewerekindofablur. I foundmyassignedroom inSeniorHouse,MIT'soldestdorm,builtin1916.Itwassteepedintradition--andabout50coatsofpaint.ThefrontofthebuildingfacedtheriverandhadagreatviewofthesailboatsontheCharlesRiverbasinand theBostonskyline.Theback,wheremyroom(Runkle203)waslocated, looked out on a rather grim industrial neighborhood. Charlie The Tech Tailor,whereItookmyshirtsforlaunderingandpressingat$0.25each,occupiedpartoftheoldredbrickandstuccobuildingdirectlyacrossthestreet.

4 ThebookwaspresentedbyChesterWhite,classof1915.ThecaptainofourbasketballteamandthecaptainofourfootballteaminmyyearbothwenttoHarvardonathleticscholarships.


CharlietheTechTailorBeyond it were several square blocks ofthestill-activeremnantsof the industrialrevolution, including the NECCO candyand the Lux soap factories whose aro-matic emissions blended in a distinctiveandmemorable scent, "essence de Cam-bridgecirca1960."Ididn'tknowasoulatMIT.Iwastheonlyperson from my high school class to go

there.Infact,IknewofonlyoneotherpersonfromSouthShoreHighwhohadgonetoMIT,andhewasalegendarymathematicalgeniusafewyearsolderthanIwas,whofocusedex-clusivelyonmath,ignoredallhisothercourses,andflunkedoutinayear.Iwasatopstu-dentinmyhighschoolandregardedmyselfaskindofabigshotthere.Well,itturnedoutthateveryoneelsefeltthesamewayaboutthemselves.Ratherthanabigshot,Iwasanav-eragememberoftheenteringclass,ormaybeabitbelowaverage.Thattooksomegettingusedto.OneofthemanyjoysofmyfreshmanyearwasgettingtoknowtheBostonarea,itsrestau-rantsandotherattractions.SomeofmyfavoriteeatingplacesincludedtwoItalianrestau-rants inCambridge, Simeone'sandEdelweiss,where Idiscovered lasagna, still a favoritefood.Ialsobecameafanof29and39NewburyStreet,apairofrestaurantswithhomestylefoodthatcateredtoMITandHarvardstudents.AmongtheotherattractionswereFenwayPark(ofcourse),HarvardSquare,andScollaySquare.Thelastofthesewasaratherseedy,disreputableareathathadbeenimmortalizedintheKingstonTrio'ssongaboutCharlieontheMTA.ItwastorndownnotlongafterIarrivedinBostonandreplacedbyGovernmentCenter.Speakingoflandmarks,oneSaturdayduringorientationafewupperclassmenfromSeniorHousetookanumberofusfreshmentoDurginPark,ahistoric150-year-oldrestaurantinFaneuilHall,forakindofinitiationrite5.Thedrillherewasforthegrumpyoldwaitressestobarkatthefreshmen,handusstonewaterpitchersthatweighedaboutatonandahalfeach,andleaveustopourwaterforthetablewhilestrugglingnottospillitortodropthepitchers. We were then required to order huge slabs of roast beef, each of which wasroughlyasideofbeef,followedbystrawberrymilkshakesservedingallon-sizedvases.Andthentrynottothrowup.Souvenirsofmy firstyearatMIT includeadeskcalendar that I recently rediscovered inwhichIkepttrackofexams,meetings,dates,andthelike.Someentriesarecrypticorillegi-bleandleavemewonderingwhattheycouldpossiblymean,butothershaveservedtojogmymemoryandreopenchaptersinmylifethatIhadlongforgotten.Thefirstentryisfrom

5 Sadly,DurginParkclosedinJanuary2019.


Sunday,September18,foratalkbythepresidentofMIT,JuliusStratton.Iassumeitwasawelcometotheenteringclass,all950ofus,including22women.Sinceclassesstartedtwodayslater,IassumeImusthavearrivedoncampusaweekorsoearlier.Irememberatripduring orientation toWingaersheekBeach on theNorth Shore, towhichwewere trans-portedbyaparadeofbuses.It'sabeautifulbeachand,althoughI'mnotpositive,IthinkthismayhavebeenthefirsttimeIswamintheocean.Ithinkwehadacookoutthere.Probablythemost significantpartof thatexcursionwasmeetingMarkAin, a freshman fromLongIsland,wholivedinmydormandwithwhomIquicklybecamefriends.Withinafewdayswehadexpanded toasmallcircle that includedDonaldLevy,also fromLong Island,andArthurRieser,fromManhattan.6Thoughourliveshavetakendifferentdirections,thefourofushaveremainedfriendsoverthepast60years.Havingfriendsmadetheadjustmenttocollegelifemucheasier.Ididn'tneedtospendmuchtimechoosingcourses.Fourcorecourseswererequiredofallfreshmen:Physics (or8.01, as itwasknownat the Institute -- everyoneatMIT spoke innumbers), Chemistry (5.01), Calculus (18.01), andHumanities (21.01).We alsowere al-lowedone elective; I chose psychology. The first three consisted of lectures attendedbyseveral hundred students and taught by senior professors, plus smaller "recitation" sec-tionsatwhichgraduatestudentstriedtoexplainwhattheprofessorshadsaid inthe lec-tures.I'mguessingthatwedidn'thavemuchchoiceinschedulingthedaysandtimesofourclassesbecauseIrememberhavingacalculusrecitationsectionat8a.m.onSaturday.Allinall,MIT'sfreshmanyearin1960-61wasprettyrigidacademically.Wehadmoreflexibility inextracurricularactivities.Mycalendar indicatesthatIsampledmanypossibilities:TheTech(thestudentnewspaper),soccer(intramural,definitely),Voo-doo (the humor magazine), the Science Fiction Society, the Lecture Series Committee(whichsponsoredFridaynightmoviesaswellasconcerts,andlectures),Hillel,theDebateSociety,theDormSocialCommittee,andsomethingcalled"Fresscomm,"acommitteethatorganizedbanquetsforresidentsofSeniorHouse.IapparentlyjoinedFresscommsinceitsmeetingsappearseveral timesonmycalendar,and Iundoubtedlypartookof its feasts. Idon'trecallgoingoutforanyoftheotheractivities,althoughIthinkIdidwriteanarticleortwo for The Tech. I also signed up for weightlifting to satisfy my phys ed requirement,whichIenjoyedandwhich,togetherwithFresscommandthepasta,mashedpotatoes,andother starchy foods fromWalkerMemorial, thedininghall, helpedmebuildupmybodyfromascrawny125poundstoasomewhatlessscrawny145pounds.Istillweigh145,butmyweightisdistributeddifferentlythesedays.MIThadmanyeventsoncampusandattractedbignamespeakersandperformers.Accord-ingtomycalendar,inOctoberIattendedlecturesbyAldousHuxleyandWernervonBraun,andinearlyNovemberaconcertbyfolksingerOscarBrand,andonebyPeteSeegerinDe-cember. Imetagirl fromsomeplace inupstateNewYorkatamixeratLesleyCollege (a

6 ThefourofusmovedintotwoadjacentroomsinSeniorHouse,creatingaquad,foroursophomoreyearandsubsequentlyrentedanapartmenttogetherinHarvardSquare.


smallgirls'schoolinCambridge)inOctober.Iaskedheroutandwentonmyfirstcollegedateafewdayslater.

Huxleylectureson"WhataPieceofWorkisaMan"Nineteen-sixty was a presidential elec-tionyearandIlistenedtotheKennedy-Nixon debate on September 26 on theradio, attended aKennedy rally atHar-vard's Sanders Theater onNovember 1and another one at Boston Garden onNovember 7, the night before the elec-tion.TheGardenwasjammed.WhentheCeltics played there, a capacity crowd

was famously 13,909. The Boston Globe reported that attendance at the rally was over22,000.KennedywasthefavoritesonandhisvictoryoverRichardNixonwasthecauseofmuchrejoicingintheBostonarea.Isurvivedvariousquizzes,exams,problemsets,andpapers.Itwasagrind.FreshmanyearatMIT,itwassaid,waslikedrinkingfromafirehose.ItwasarelieftoleaveforChristmasvacation.IgotaridehometoChicagoofftherideboard.Likemanycollegesanduniversitiesinthosedays,MITstartedinmid-September.Followingthiscalendarmeantwewenthome forvacationonDecember19, returnedon January3,hadtwomoreweeksofclasses,fourdaysof"readingperiod,"fourdaysoffinals,andthenreturnedhomeforaten-day"intersession,"startingclassesagaininearlyFebruary.Read-ingperiodwasintendedtoallowustoprepareforfinals,butmyfriendsandIspentmuchofitattheKendallDiner(akathe"RedDeath")playingpinball.7Lookingatmyfinalgradesthatsemester,Iprobablywouldhavebeenbetteroffusingreadingperiodtostudy.February brought Barry Goldwater and Isaac Asimov to campus for lectures. My datingscenegota littlemore interesting in the spring.Donaldand Iwerecruising the shopsatQuincyMarketinBostononeSaturdaywhenwespottedacoupleofcutegirlsworkingatoneofshops.TheyweresistersandhighschoolstudentsfromsuburbanNewton.Theshopbelongedtotheirfather.Weflirtedforawhile,askedthemout,andendedupdatingthemfor severalmonths.Donaldpairedwith theblondeolder sister. Iwentwith the youngerpony-tailedbrunette.ThehighlightofthespringsemesteratMITwastheCentennialCelebration,the100than-niversaryofMIT's1861founding.Therewerespecialeventsthroughoutthespring--con-

7 ThereweretwodinersinKendallSquarefrequentedbyMITstudents.Theywereknownas"TheBlackDeath"and"TheRedDeath,"distinguishedbythecoloroftheirsigns.


vocations,conferences,andlectures.ThecelebrationculminatedonApril21-23,CentennialWeekend.

PaintingtheCentennialrailroadcoachesPeteSeegersangtostudentsatSturbridgeVillageTherewasplentyofpompandcircumstance, includingaCentennialProcessionwithMITfacultyandotherdignitaries in full academic regalia.OnFridaynight therewasa formalCentennialBall.Thenextmorningweboardedaspecialtrain,providedbyAlfredPerlman,presidentof theNewYorkCentralRailroadandanMITalumnus, fora trip toSturbridgeVillage, an outdoormuseum inWesternMassachusetts. I recall vaguely that each livinggroupwasallocatedacaronthetrain,andthattheSeniorHousecarmadeforaratherrau-cousride.EntertainmentatSturbridgeincludedPeteSeeger,theFourFreshmen,theMod-ern JazzQuartet, and comedianLennyBruce. SeeingLennyBruce,whoseprofanity-lacedmonologueswerelegendaryandkeptgettinghimintolegalhassles,inpersonwasespecial-lymemorable.Ihadinvitedmyhighschoolgirlfriendtobemydatefortheweekend.IwasexcitedwhensheacceptedandagreedtomakethetripfromChicago.Iwaslessexcitedwhenshetoldmethat her parentswere going to escort her, bring her pesky younger brother andmake afamilytripoutofit.IwasdefinitelynotexcitedwhenshegotsloppilydrunkandsickaftertheformaldanceonFridaynight.Itwasamemorableweekend--thoughnotquiteinthewayIhadhoped.Itwasalsotheendofthatrelationship(althoughwearestillfriends).Aside from not inviting your high school girlfriend to your first big college weekend, Ilearnedseveralother important lessons frommy firstyearatMIT. I foundphysicsmoredifficultthanIexpectedandlikeditlessthanIexpected.IstuckwithitbecauseIfiguredI'dlikeitmoreafterIgotpastthebasicsandintothemoreinterestingstuff.(Spoileralert: Ididn't.)Ilikedmypsychologyelectivebestamongmycourses,followedbychemistryand


humanities. Ibegantoquestionmyvocationalchoicebutdecidedthat Ineededtogive itmore time. I also learnedhow important itwas tohave good friends.My freshmanyearwouldhavebeenmuchmoredifficultandmuchlessfunwithoutmyfriendsMark,DonaldandArthur.Andfinally,Ilearned,thoughIhadn'treallydoubtedit,thatIcouldmakeitatMIT,evenifmygradeswerelessthanstellar.Whilemyfamilygavemeplentyofencouragementandemotionalsupport,theywerenotinapositiontoprovidefinancialsupport.Inaddition,myfathersufferedthefirstofaseriesofheartattacksnotlongafterIleftforMITand,hopingitwouldimprovehishealth,mypar-entsandyoungersistermovedtoFloridafollowingmysophomoreyear,cuttingthemselvesaswellasmeofffromthefriendshipsandothersupportsystemswehadinChicago.PartofthefinancialaidpackagethatMITgavemewasawork-studyjobasacustodianinanearbydorm,ajobthatIhatedandinwhichIdidaslittleasIcouldgetawaywith.Fortu-nately,therewasminimalsupervision,soImadeitthroughthefirstsemesterwithoutget-tingfired.8AfterashortstintasastockboyinabrassierefactoryinCambridge,earlyinmysophomoreyearIwasabletofindajobasalabassistantatMoleculon,Inc.,asmallchemi-calR&DfirminKendallSquare.Ienjoyedthatjob.Itinvolvedscience.Ilearnedfromit.AndIstayedwithitforthenextthreeyears,graduallygainingresponsibilityuntilIwasabletoconductmyownexperimentsunderthefirm’sresearchcontracts,someofwhichrequiredmetoobtainasecurityclearance.WhenIreflectontheexperienceyearslater,Ibelieveitwasthisjobthatkeptmeengagedin science. I enjoyed constructing and using experimental apparatus farmore than I en-joyedmostofmycoursework.Myfavoritewasadevicethatusedaxenonflashtubetoillu-minateachemicalsample(inthiscaseabenzimidazole,anorganiccompound)withaverybrief pulse of light. The sample, normally non-conductive, responded by temporarily be-comingaconductorofelectricity,andIusedanoscilloscopetomeasurethetimeinmilli-secondsittookforitsconductivitytopeakanddecaybackdowntozero.Iwasnotnearlyasengaged inmycourses indifferentialequations,quantummechanics,and physical chemistry. I had a literatureminor and enjoyed (and got better grades in)RussianLiteratureandTheNatureoftheComic.Ithoughtaboutchangingmajors,andhadabriefflirtationwithpsychology,butultimatelydecidedtostayinphysics.Imaintainedaless-than-stellarGPA,wroteaseniorthesisonelectroluminescenceunderProfessorM.W.P.Strandberg,andgraduatedinJune1964withaB.S.inPhysics.IhadagirlfriendwhosefamilylivedinBrooklineandwhowenttoBostonUniversity,andIwantedtostayintheBostonareaaftergraduation.However,Ididn’tthinkIwascutoutforgraduateschoolinphysicsatMIT.Iappliedandwasadmittedtothelesscompetitivephys-icsgraduateprogramsatBrownandBostonUniversity,and I interviewed forentry-levelpositions with several local firms. Avco Everett Laboratory, a local aerospace firm that

8 IalsoreceivedloansfromMIT'sTechnologyLoanFundeachyearthroughoutmyundergraduatecareer.At1%whileIwasinschooland2%aftergraduation,Iwaspayingthemoffat$25amonthuntil1980.


workedonthenewtechnologyoflasers,mademeanattractivejobofferthatincludedpay-ingmygraduateschooltuition.Still, Iwasn’tsurethatphysicswastherightdirectionforme.

Peter Paul and Mary and Fats Dominoentertaineduson JuniorPromweekend.Aheadwere senior year, graduation and graduateschool.

Graduate School, But Not in Physics Asgraduationapproached,Ineededtomakeadecision aboutwhat to do next. The choice Imadewasacriticalone.Itledtoacareerpaththat has keptmeon theperiphery of sciencebutnotasapracticing scientist.Thedecisiongrewout of a seminar that I had attended in

thefallof1963inthePhysicsDepartment.Thespeakerwasayoungengineerwhohadre-centlyreturnedfromseveralyearsattheOfficeofScienceandTechnologyintheKennedyWhiteHouse. Ihadno idea thatsuchanofficeexisted,and Iwas intriguedby thenotionthat a scientist or engineer could play a role at the center of power inWashington. Thespeaker,EugeneSkolnikoff,hadgottenadegreeinelectricalengineeringatMIT,hadbeenaRhodesScholar,andwasreturningtoMITafterhisWhiteHouseyearstocompleteaPh.D.inpoliticalscience.Connectingscienceandpolicy -- that seemed like thekindof career inwhich I couldseemyself.IcouldbeginbyremainingatMITandpursuingaPh.D.inpoliticalscience.Togetasenseofwhat Imightbegetting into, I signedup foranelective in "Science,Technology,andGovernment"withProfessorRobertC.Wood.9ProfessorWood’scoursewasasuperbintroductiontosciencepolicyandreinforcedmygrowingbeliefthatthiswasthefieldforme.SoIappliedtoMIT'sPh.D.programinpoliticalscience.TheadmissionscommitteewaslesscertainthanIwas,however,aboutthisbeingmyfield,sincemyexposureto itwas limitedandmyabilitytodotheworkwasunproven. So, in-steadofbeingadmittedstraightaway,Ibecameanon-matriculated“specialstudent”withthe understanding that if I received “A’s” in several graduate political science courses, Iwouldbeconsideredforadmissionasaregularstudent.Iovercamethathurdle,becamea

9 ProfessorWoodlaterbecameUnderSecretaryofHousingandUrbanDevelopmentand,afterthat,PresidentoftheUniversityofMassachusetts.


regulargraduatestudent,andduringthesummerfollowingmyfirstyearIwaspleasantlysurprisedbybeingawardedanNIHgraduatefellowship.10Inpoliticalscience,ItookcourseswithIthieldeSolaPool,WilliamW.Kaufman,andDanielLerner,aswellasSkolnikoff,whosubsequentlybecamemydissertationsupervisor. Ien-joyedthesecourses,whichinvolvedlearningaboutinternationalcommunicationsandde-velopment,nuclearstrategy,andsciencepolicy.Ididwellinthemandpassedmycompre-hensiveexamsinthefallof1966,therebybecomingadoctoralcandidate.InadditiontoGeneSkolnikoff,IhadconnectedwithDanielLerner,whowasinthemidstofastudyofthepoliticalviewsofopinionleadersinthedecade-oldEuropeanCommunity.Hewasinterestedinincludingscientistsinhisstudyand,seeingthepotentialforsciencecon-tributing toEuropeanunification, Iproposedadissertation in this area.ThedissertationwasasurveyofattitudesamongscientistsatanumberofmultinationalEuropeanlaborato-ries:CERN (theEuropeanCenter forNuclearResearch inGeneva),ESTEC (theEuropeanSpaceTechnologyCenterintheNetherlands)andtheEuratomJointResearchCenter(JRC)atIspra,inNorthernItaly,aswellasseveralsmallerlabs.TheMITCenterforInternationalStudies and the Center for Space Research provided support for my travel expensesthroughvariousgrants.I hadmarriedmy college girlfriend in June1965 andmywife,whowas funded toworkwithmeunderoneofProfessorLerner’sresearchgrants,andIspentninemonths inEu-rope,aboutfouroftheminParis,makingcontactsandarrangements,studyingFrench,anddrinkingmanylitersofFrenchwine.TheremainingfivemonthsweredevotedtoatourofEuropeanlabs,interviewingandcollectingwrittenquestionnairesfromover300scientists.Igatheredreamsofdatawhich,overthenext18months,Ianalyzedandshapedintoadis-sertation,onthebasisofwhichIwasawardedaPh.D. inpoliticalscience in June1969.11WithLerner’sencouragementandassistance, Ipublishedacondensedversionof thedis-sertationasachapterinabookoffivecondensedMITPoliticalSciencedissertationsthatIedited, entitledScientistsandPublicAffairs. The fact that it tookMITPress four years topublish it in an ugly and cheap-looking format, and that they apparently spent approxi-mately50centspromotingit,keptitfrommakingTheNewYorkTimesbest-sellerlist.

A Career in Science Policy ArmedwithmypoliticalsciencePh.D.fromMITandadissertationoninternationalscien-tificcooperation,Iventuredintothejobmarket,primarilyseeking,likemostofmygradu-ateschoolcolleaguesandrolemodels,afacultyposition.

10 Ihadappliedforthefellowshipwithoutanyexpectationofreceivingit.IwassosurethatIwouldnotre-ceivethefellowshipthat,whentheletterfromNIHarrived,Ididn’tbothertoreaditforseveraldaysandal-mosttosseditinthetrashunopened. 11 MydissertationEntitled“InternationalScienceandInternationalPolitics:AStudyofScientists’Attitudes,”isavailablefreefrommeasaPDF.PhysicsNobelLaureateIsidoreI.Rabiwroteapreface.UsedcopiesareavailablefromAmazon.comandelsewhere.


Isoonhadanofferforatenure-trackfacultypositionfromalargeMidwesternuniversitythat had just received a grant to establish a sciencepolicy program. Itwas a goodoffer.However,havingspentnineyearsatMIT,IwasnotexcitedaboutleavingtheBostonareaforasmallcollegetownintheMidwest.Inaddition,mywife,whowasaconfirmedBosto-nian,wasnoteagertobeuprootedfromherfamily.Andtotopthingsoff,myfatherpassedawaysuddenlyinthemidstofmydeliberations.So,Idecidedtodeclinetheoffer.Fortunately,Isoonhadtwootherjoboffers,oneasaresearchfellowatanewpolicyinsti-tute at Syracuse University, the other at a Harvard program on technology and societyfundedbyagrantfromIBM.TheHarvardprogramwasratherlavishlyfundedandwasdo-ingsomeinterestingwork,butitstruckmeasoddlydisconnectedfromHarvard’sacademicmainstream.ThemostmemorablepartofmyinterviewatHarvardwaslunch.ThedirectorandacoupleofstaffmemberstookmetoapopularrestaurantinHarvardSquare.Tothisday,Iamstillnotsurewhetherorderingrawoysterswassomekindofbizarretesttoseehow I reacted, or whether they were just amusing themselves, or whether they simplywantedoystersforlunch,butinanycase,theyorderedaplateofthemasanappetizerforthe table.Although Ihadneverencounteredrawoystersbeforeand I found themratherdisgusting-looking,Imanagedtoovercomemyreluctanceandslidacoupleofthemdownmythroatwithoutgagging.Ifitwasatest,Imusthavepassed,becauseIgottheoffer.How-ever,Iwasuneasyabouttheprogram’srelationshipwiththeuniversityanddecidedtositontheofferforawhile.Intheend,IdeclineditinfavoroftheonefromSyracuse.12So,inthesummerof1969,mywifeandIandoursix-month-oldsonclimbedintoourVWBeetleandheadedwestonInterstate90toSyracuse,NewYork.Mypositionwasasare-search fellow at Syracuse University Research Corporation (SURC) with an adjunct ap-pointmentintheMaxwellSchoolofSyracuseUniversity.IwasbasedatSURCanddrewmysalaryfromthere,whileteachingonecourseasemesterattheMaxwellSchool.After four years in Syracuse I left to take an administrative post at SUNY Binghamton,whichinturnledtoanofferofahighprofilepositionasdirectorofresearchatnewpolicyresearchinstituteinSUNY'sCentralAdministrationinAlbany.Theseweregoodjobs,butitwasn'treallythetypeofcareertrajectoryIhadinmind.Ultimately, ittooktheNewYorkstatebudgetcrisisofthemid-1970sandtheabruptterminationoftheinstituteinAlbanytogetmetoWashingtonandtothecareerinsciencepolicyIhadbeenseekingallalong.GeorgeWashingtonUniversity had created a Program in Science, Technology andPublicPolicy(STPP)in1971.Thedirector,JohnLogsdon,andIhadmetandbecomefriends,andforsometimewehadbeendiscussingtheideaofmyjoiningtheGWfacultyandbecomingdeputydirectorofSTPP.ThecollapseofmysituationinAlbanyofferedtheopportunityto

12 AlthoughturningdownHarvardinfavorofSyracusemighthaveseemedoddatthetime,itprovedtobetherightdecisionwhen,inJuly1971,Harvardannounceditwasterminatingtheprogramontechnologyandso-ciety.


makethisideaareality.JohnwasabletoobtainanewfacultylineforSTPP.Iappliedandwashired.IstartedatGWinthefallof1976.IenjoyedmypositioninSTPPaswellmycolleaguesandour graduate students, but I also became involved in consultingwith the then-newCon-gressionalOfficeofTechnologyAssessment(OTA)whichIenjoyedevenmore.So,afteradecadeintheacademicworld,Ibegantothinkaboutlifeoutsidetheivorytower.AsIwasbeginningtoconsidermyoptions,anopportunitycameacrossmydesk.TheAmer-icanAssociationfortheAdvancementofScience(AAAS)hadinitiatedanannualanalysisofresearchanddevelopment(R&D)inthefederalbudgetinanefforttoengagethescientificcommunityinthebudgetprocessmoredeeplythanithadbeeninthepast.Thebudgetpro-jectwasheadedbyWillisShapley,aformerofficialofthefederalOfficeofManagementandBudget(previouslyBoB,theBureauoftheBudget)wherehehadbeenresponsible,amongother things, for developing the templates and data collection instruments for the R&Ditemsinthebudget.13ShapleywasaconsultanttoAAAS;hewasassistedbyamemberoftheAAAS staffwhowaspreparing to leaveAAAS and theAssociation approachedme toworkwithShapleyandeventuallytakeovertheproject.AlthoughIhadbeenamemberofAAASsinceIwasingraduateschool,atfirstIdidn'tthinkthejobwasanespeciallygoodfit.Analyzingthefederalbudgetseemedlikearathertediousandboringtask.AsIthoughtmoreabout it,however, itbeganto lookmoreinteresting. Irealizedthatthebudgetisthekeytopolicyinthefederalgovernment.AndIalsorealizedthatAAASwasabouttheclosestthingtoasciencepolicyassociationthatexistedintheU.S.(oranywhere,forthatmatter).Finally,thepayandbenefitswereconsiderablybetterthanwhat I’dbeenearningasanassociateprofessoratGW.SoI tookthe job,withtheunder-standingthatI’dstayaboutthreeyears.Iendedupstaying32years.Theywerebyfarthebestyearsofmycareer.MyidentitybecameinterwovenwithAAASand, thoughI leftat theendof2011, itstill is. In fact,manypeoplewhoImetduringmytimeatAAASdidn’tevenrealizethatIhadacareerbeforecomingtoAAAS.AndalthoughIdidn'tappreciateitatthetime,thepositionintowhichIwassteppingprovidedanoppor-tunity tohelp transformthevenerable130-year-oldAssociation fromarathersleepyor-ganizationtoamajorplayerinthesciencepolicyworld.AAASisamembershiporganizationandthepublisherofSciencemagazine.Italsopursuesitsmissionof "advancing science and serving society" through a number of programs inscienceeducation,publicengagement,andsciencepolicy.WhenIjoinedthestaffinJanuary1980,sciencepolicyconsistedmainlyoftwoprograms:theCongressionalFellowsandtheaforementionedR&DBudgetProject.Theunitwasstaffedbyahandfulofprofessionalsand

13 AsonoffamousastronomerHarlowShapley,hehadjoinedBoBin1942.Helaterservedasthethirdhigh-estrankingofficialofNASAandinanumberofimportantbehindthescenesrolesinthespaceprogram.


supportedbytwosecretaries.Duringmyyearsthere,Iexpandedsciencepolicytoadirec-toratethatincludedabout40people,manyofthemwithadvanceddegrees,andhalfadoz-eninternationally-knownprograms.IjoinedtheAAASstaffonJanuary2,1980.Inthosedays,AAAShelditsAnnualMeetingdur-ingthefirstweekinJanuary,whichmeantIgottospendmyfirstweekonstaffonexpenseaccountinSanFrancisco.BackinWashington,DC,IbegantolearnwhatIneededtoknowaboutthebudget.TheprojectinvolvedcollectingdatafromthemajorfederalR&DagenciesandOMB,usingthatdatatopreparespreadsheetsthatslicedthroughthebudgetinvari-ousways,andwritinganarrativeinterpretingthenumbers.WillisShapleyknewwherethebodies were buried and could cut through the verbiage and obfuscation in the agencypresentationsandtheoften-confusingtablesofnumbers.Ilearnedfromhim.Thiswas1980.TheInternetwasstillafewyearsawayfrombecomingapublicutilityandcomputersweremostlyroom-sizedmachines.Lackingoneofthose,wedidourcalculationsonpocketcalculatorsandtyped(orratherwroteonlegalpadsandoursecretariestyped)ourtextonIBMSelectrics.WhenWillishadapresentationtodo,hepreparedhisoverheads(“Vu-graphs”) by hand using a chinamarker.We did three reports a year, reflecting therhythmofthefederalbudgetcycle.Wealsoorganizedandranameetingcalledthe“R&DColloquium” (which I later changed to the "S&TPolicy Forum") atwhich thePresident'sscienceadvisorandothermajorscienceandpolicyfiguresspokebeforeanaudiencethathadstartedatabout100andgrewoverseveralyearsto400-500.Preparing the first two reports and organizing the Colloquiummeant I had a pretty fullplate.IthelpedtohaveWillis’sguidanceaswellasanassistantwhobeenthroughthepro-cessacoupleoftimes.Sheleft,however,togotograduateschool.Fortunately,Iwasabletohire an excellent replacement. Jill Pacewas a recent graduate of SUNY-Binghamton. Shejoinedmeonahalf-timebasis.TheotherhalfofhertimewasdevotedtorunningtheAAASMassMediaFellowsProgram.The twoofus, plusWillis Shapleyanda shared secretary,constitutedthestaffoftheR&DBudgetproject.Jillisaquickstudy,andsheandIhititoffwellandworkedtogethercloselythroughseveralbudgetcycles.Willisretiredafteracoupleofyears.Jill leftAAASafterfouryears,butnotbeforewehadmademajorchangesinthecontentoftheR&Dbudgetprojectandtheprocessbywhichweproducedthereports,takingadvantageoftherapiddevelopmentsininformationtechnol-ogy.Wealsohadthefirstofmanyadditionalprojectsfallintoourlaps,acontractfromtheNationalScienceFoundationtopreparethepolicysectionofa“Five-YearOutlookforSci-enceandTechnology.”ThisprovedtobeasubstantialjobthatresultedinabookthatIco-editedwithformerCongressmanRayThornton.In1984,mybossretiredandIwasappointedheadoftheOfficeofPublicSectorPrograms,hometoagrowingrosterofAAASsciencepolicyactivities,ledbytheR&DBudgetProject


and theCongressionalFellowsProgram14whichrecruitedandplacedscientistsandengi-neersinoneyearpolicypositionsonCapitolHill.Threeyearslater,AAASacquiredanewCEO,RichardNicholson.AsnewCEOsarewonttodo,NicholsonreorganizedtheAAASstaff,puttinghimself firmly incharge.Myofficewasmergedwithanotherand,afteranationalcompetition,IbecameDirectorofScience&PolicyPrograms,reportingdirectlytotheCEO,withasubstantialincreaseinresponsibility.Nicholsonwasanexcellentmanagerbutare-servedpublicpresence.Inhisabsence,IbecamethepublicfaceofAAASinthesciencepoli-cyworld.

Testifying before the House ofRepresentatives Subcommitteeon Research and ScienceEducationNicholson’s successor, AlanLeshner,whotookthehelmofAAAS in2001,wasmuch lessreserved as a public leaderand was quick to make surethe world knew that he wasrunningtheshow.Meanwhile,my managerial role hadgrown substantially duringthese years as our suite ofprograms expanded. In one

instancetheNationalScienceFoundationcametousforassistanceinrespondingtoacon-gressionalmandate to strengthenresearch in rural statesand thosewithouta strongre-searchtradition.WerespondedwithanambitiousprojectthatlaterbecametheResearchCompetitivenessProgram. Inanothercase,oneofmyseniorstaff initiateda “ProgramofDialogueonScience,EthicsandReligion” (DoSER)withamulti-milliondollar foundationgrant.Initially,theideaofbringingreligionintoascientificassociationupsetmanyscien-tistsandtheprogramwasquitecontroversial,butithasprovenitsvalueandisnowanes-tablishedpartofthearrayofAAASprograms.Inaddition,wegrewmajorprogramsinsci-enceandlaw,ethics,andhumanrights.MyknowledgeofU.S.sciencepolicyandmyfriendshipswithmembersofthecommunityofsciencediplomatsinWashingtonledtoinvitationstovisitandspeakinahostofcountriesrangingfromCanadatoChina,Sweden,Hungary,SouthAfrica,Israel,NewZealand,andIce-land.IenjoyedthesevisitsandIlookbackonthetravel,researchandentrepreneurshipIdidduringmyyearsatAAASasthehighlightofmycareer.

14 Thatprogram,whichbeganinthemid-1970swithsixFellows,todayplacesover270Ph.D.scientistsandengineersinCongressandfederalagencieseveryyearandhascontributedtoasubstantialincreaseintheamountoftechnicaltalentavailabletothefederalgovernment.


ScienceandtechnologyconferenceSeoulAAASBoardview3DvideoatJetPropulsionLab IretiredfromAAASattheendof2011.Agroupofmycolleaguesorganizedafestschrift--aconferenceandcollectionofessaysinmyhonor--intheAAASauditorium,afarbetterre-tirementgiftthanthetraditionalgoldwatch.Severalofmycolleaguesspokeontopicsre-latedtomyworkandcontributedchapterstoabookpublishedbyAAASentitledTheStateofSciencePolicy.About150peopleattended.Myretirementdidnot last long,however.AfewweekslaterImovedintoanofficeattheInstituteforInternationalScienceandTech-nologyPolicy(IISTP)atGeorgeWashingtonUniversityandbecameaResearchProfessorofScience,TechnologyandInternationalAffairs,apositionIholdtoday,apositionattheedgeofscience,launchedbydegreesinphysicsandpoliticalsciencefromMIT.AlTeich’64Course8,Physics,Ph.D.,MIT,PoliticalScience(Course17),'69.Afteradecadeinacademia,AljoinedthestaffoftheAmericanAssociationfortheAdvancementofScience(AAAS)inWashington,DC,wherehespent32years,25ofthemasdirectorofsciencepoli-cy,buildingadepartmentthatbecameoneofthemajorcentersforrelationsbetweenthesciencecommunityandthegovernment.Heretired fromAAASat theendof2011and iscurrentlyaresearchprofessoratGeorgeWashingtonUniversity.AlandJillPacehavebeenmarried32years;theyhaveonedaughter.Alhastwosonsandfourgrandchildrenfromhisfirstmarriage.


A Journey with Alice through Wonderland Don Kunze

Introduction LikeSir IsaacNewton,Einsteinwasa truemysticwithanunderstandingof theuniversethattranscendedscience.

“Everyonewhoisseriouslyinvolvedinthepursuitofsciencebecomesconvincedthata spirit ismanifest in the lawsof theUniverse -a spirit vastly superior tothatofman.”-AlbertEinstein

This essaywill lookat thehow the integrationof science,mysticismand spiritualityhasevolved over the past sixty years.What lies “Beyond” is the truly exciting periodwheretimemaynolongerexistandquantummechanicsopensthedoorstometaphysicalreality.Ibeginwith the17th Century “Then”periodwhere thebirth of the scientificmethod tookroot.InhiswillRobertBoyle,anaturalphilosopher(scientistintoday’sterms)endowedaseriesoflecturesonthesubjectofChristianityandnaturalphilosophy.TodaythebroadercategoryforthelecturesisReligionandScience.Thefirstlecturewasgivenin1692byRichardBentleytitled,“ConfutationofAtheism.”Im-pressedbythelectureSirIsaacNewtonwroteBentley,

“Sir,WhenIwrotemyTreatiseaboutourSystem,IhadanEyeuponsuchPrinci-plesasmightworkwithconsideringMen,fortheBeliefofaDeity;nothingcanre-joicememorethantofinditusefulforthatPurpose.”1516

The2021RobertBoylelecturewasgivenbytheUniversityofYork’sphysicsProfessorofNatural Philosophy, Tom McLeish. The title was, “The Rediscovery of ContemplationthroughScience.”InRupertSheldrake’s2012book,“ScienceSetFree”hearguesthatdiscoverythroughsci-ence is limitingbecause it defines itself throughmeasuring thephysicalworld.Quantumtheoryhasthrownill-definedconsciousnessintotheequationwhilepsychologistsstrugglewithunderstandingtheunconsciousmind.McLeisharguesforthemysticalrolecontempla-tionandmeditationplayinopeningthemindtodiscovery.

15 ScholarsandAntiquaries(TheCambridgeHistoryofEnglishandAmericanLiteraturein18Volumes(1907–21))16"NotesontheReligiousOrientationofScientists"byGeraldHoltoninSciencePondersReligion,HarlowShapley,Appleton-Century-Crofts,1960,p.59

A Journey with Alice through Wonderland | 33

Thisessaytakesmethroughmyjourneyintoseekingagreaterunderstandingofhow(thescience)andwhy(thepsychologyofspirituality)of the lifeexperience.Thedeeperques-tion,“Whatissciencefor?”mustbeconsideredinthecontextofthousandsofyearsofwarsandhumansuffering. Ihavebeenjoinedonmyjourneybyseveralteachers,somenotofthisphysicalworld,toguideme.Iwillintroducethemastheyjoinedmeonmypath.Enter-ingtheunknowninevitablyleadstomorequestionsthananswers. Preparetoenterafu-tureworldwhereAliceandStarTrekbecomereality.

The Beginning OnJune24th,1947,KennethArnold,flyinghisplanenearMountRainier,sawalineofuni-dentifiedflyingobjectstravelingatspeedsestimatedtobeatleast1,200mph.Thus,beganaseriesofinvestigationsbytheU.S.AirForceintounidentifiedflyingobjects(UFOs).Todaythemore inclusive term, Unidentified Aerial Phenomena (UAP) has become the populardesignationalthoughtheskeptic,MichaelShermer,preferstheterm,CompletelyRidiculousAlienPiffle(CRAP).MyDadgrewupinthesmallfarmingtownofAlpena,SouthDakota.Duringthe1920speri-odofbarnstormingasmall feecouldgetyouaplaneridewithastuntpilot. Thisexperi-encegavebirthtomyDad’s loveof flying. He joinedtheArmyAirForceandwasapilotduringWWII.Afterthewarheservedasatestpilotandthen joinedtheFederalGovern-ment’sCivilAeronauticsAuthority (CAA), the forerunnerof theFederalAviationAdmin-istration(FAA).HisworkattheCAAincludedcertifyingpilotsfortheircommercialflyinglicenses, investigatingairplanecrashes,andassisting foreigngovernments inestablishingcommercialairlinesandmilitaryairforces.Hecarriedatopgovernmentsecurityclearanceenablingaccesstoinformationinclassifiedinvestigations.

Love of Flight, MyDad & Piloting atAge11


1947–TheBirthofUFOInvestigations Byagenineasanenthusiasticflyingsaucerfan,IstartedcollectingbooksonUFOsandalien encounters, began a scrapbook ofnewspaper articles on UFOs, and corre-sponded with other UFO fans in the U.S.andEngland.Iwonderedhowourciviliza-tion would respond to a more technicallyadvanced alien civilization. Would theirview of God or religion be different thanour traditions or would alien views un-dermine our religious and moral beliefs?Howtimeshavechanged!Earlierthisyearthe InstituteonReligion in theAgeof Sci-ence sponsoreda talkgivenbyananthro-pologist and a Jesuit astronomer from theVatican titled, ”Extraterrestrial Species:Will They be Moral? Will they be Reli-gious?”When I quizzed my Dad about UFOs hecouldn’t saymuch; it was classified infor-mation. A young kid with unansweredquestionscanbeprettypersistent. Ayearbeforemy father died, he finally offered acluetomyquestionofwhetherUFOswere

real.He said, “Thereissomethingtoit.”Maybehewas just gettingmeoffhisback. Whoknows?Thenfinallyin2020thePentagonreleasesvideosofUFOsfilmedbyNavypilotsin2015and2004.My nature is to understand how thingswork. Science could provide the answers Iwasseeking. During my adolescent years I used money earned from mowing lawns andbabysitting to buy a six-inch reflecting telescope. Getting up at 2 AM, I would scan theheavens and marvel at the rings of Saturn and the moons of Jupiter. When Sputnik 1launchedin1957IfolloweditacrosstheskyduringitsshortlifehopingintheprocesstocatchsightofaUFO.GivenmyDad’scareerinflyingandmyfascinationwithspaceitisnosurprisethatbythe7thgradeIwantedtobecomeanaeronauticalengineer."Howdoesitwork?”aquestionthat lendsitselftophysicalthingswithdeterminantcauseandeffectresults.Ontheotherhandthequestion,“Why?”lendsitselfmoretophilosophi-calandsocialissueswhereanswersarelesslikelytobeblackorwhite.IntimeIfoundthe“Why” questions more interesting as I expected science would eventually answer the“How”questions. Thenatureofconsciousnesshassincemuddiedthewaterofbothhowandwhyquestions.


IntheseventhgradeIhadadebatewithaclassmateontheissueofPapalinfallibility.HewasapracticingCatholicwithanoccupationalgoaltobecomeapriest.WhycanmanclaimtherightofsupremacythatonlybelongstoGod?DoesthatallowmantobeGodwhenhewantsto,andcananymanclaimthatright?Unfortunately,beliefandfaithdonotfallunderthescrutinyofthescientificmethodsotherecanbenoresolution,justadifferenceofopin-ion.Decisionswillalwayshaveconsequencesforcauseandeffectisfundamentaltotheac-tionoffreewill.During high school I had an ongoing argument with a classmate as to whether the U.S.shouldrecognizeRedChina. Whowouldhaveguessed70years later theChinaproblemwilldominatethefutureoftheU.S.–Chinarelationship.Actiontakenonewayortheotherhas consequences governed by the uncertain nature of human consciousness. Science ismuchmoreadeptatsolvingphysicalproblemsthansocialonesasisclearlyevidentinwarand today’s climate change debates. Eventually I applied to several engineering schoolsofferingaeronauticalengineeringprograms.

The 1960s Asthesummerof1960drewtoaclose,IshippedafootlockertoMITandhoppedintothebackseatofacarwithacoupleofMITupperclassmen for theridesharing journey fromMiamitoCambridge. Growingupinafamilythatfrequentlyrelocated,Iwascomfortablewithadjustingtonewenvironments.Besides,IwasbornjusttheothersideofLoganAir-port andmy parents still had friends living in the Boston area if I needed to be fed onweekends.Inhindsight,oneincidentwasasmallwindowofthingstocomelaterinlife.Iwastakingan examwhich consistedof onequestionwithmanyparts, and I had absolutely no ideahowtoanswerit.AftersittinginthoughtforafewminutesthinkingIreallyblewthistest,ideasandequations just started floodingmymind, the ideaswerenot familiarnormademuchsense,but Ibeganwriting furiouslyandhanded inmypaper. Youcan imaginemysurprisewhenIreceivedanA.Whathappenedwasweirdbutas Iwasto learn later,notunusualineventsthathavedirectedmanychaptersinthehistoryoftheartsandsciences.HowdoesoneexplainthegeniusofAlmaDeutscherwhoplayedthepianoatagetwo,theviolinatthreeandbeganwritingcompositionsatfive?Ininterviewsduringherearlyyears(sheisnow16)Almaexplainedthemusicflowsintohermindandshejustwritesitdown.OftencomparedtoMozartsheinsistsshejustwantstobeAlma.Howdoesoneexplainthisgiftandwhydoesithappen?

The San Diego Experience In1969IwaslivinginSanDiegoworkingintheaerospaceindustryonanumberofsatelliteprojects. The excitement around the culminationof themoon landingproject dominatedthenewsthatsummer.SanDiegowasstillaNavytown.WhileIdidnotrealize itat thetime,aneveningata localnightclubwasgoingtohaveaprofoundeffectonhowIwouldthinkaboutreality.Dr.Dean(stagenameofSanfordBer-man)wasaprofessorofsemantics,linguisticsandcommunicationatalocaluniversity.On


weekendsheperformedasastagehypnotistatalocalnightclub.Thiswasmyfirstexperi-encewithahypnotistwherevolunteers fromtheaudiencebecomethestarsof theshow.ThateveningIwitnessedthepowerofthemindIcouldnotunderstandandmyinquisitivenatureneededtoknowmore.ThefollowingdayIwenttotheSanDiegoPublicLibraryandtookouteverybooktheyhadonhypnosis.Awholenewworldofthemindwasopeningformetoexplore.Personssur-vivingpossibleimminentdeathoftenreporttheirwholelifepassesbeforethemasthoughinrealtimebutactuallyoccurringinasecond.Whatgameisthemindplayingwithtime?TheimpactofmySanDiegoexperiencewouldlaydormantformanyyears,buttheseedswereplantedthatwouldleadtoexploringtheworldwithinasawindowintoreality.

1980 - The Inner Journey Begins Followingthemoonlandingin1969andwiththeVietNamwarneedingfinancingtheGov-ernmentcutbackfundingonitsspaceprograms.IdecidedtotakemyMBAdegreeandde-ploy to places afar by joining the international department of David Rockefeller’s ChaseManhattanBank.ImovedtoLondonatatimeLondonwasconsideredahardshippost.In1980havingreturnedtoNewYork,acolleaguepesteredmetotakeameditationclass.Af-terseveralmonthsofprotesting,aninnervoicetoldmeitwastimetogo.IcalledElla,themeditationteacher,andsaid,“IthinkIamsupposedtoattendyourmeditationclass.”Sheexplained thismeditationwasveryspiritualandnot likeEST. EST, later called “TheFo-rum,”was a human potential empowerment program founded byWerner Erhard in the1970s. IranintoanothercolleaguelaterthatdayandexplainedIwasbeginningmedita-tion classesandhe said, “Knowingyou,Don, youprobably lookedat adozenmeditationcourses,didacostbenefitanalysisofeachoneandmadeaselection.”Iexplainedthatwasnotthecase.Itchoseme.AtthefirstsessionImettenotherparticipantsallofwhomhadbeenattendingtheseses-sionsforvariousperiodsoftime.IwasthenewestmemberbutquicklyfeltcomfortableasthegroupconsistedofsimilarprofessionaltypesvaryingfromaCEOofaninsurancecom-pany,toaCatholicpriest.Ellabeganbyintroducingmeandaskedhowmylifewasgoing.Isaiditisgoingfine,awonderfulfamily,greatcareer,lotsoffuntravels.Shereplied,“WhatabouttheBeatitudes?”NotbeingespeciallyreligiousIwasat lostwhattosaybutmylifewasabouttochange.EllaledtheThursdaymeditationsessionsthatincludedcertainvisualizationexercises.TheunsettlingthingwasEllacouldreadourmindsandifnecessary,correctourvisualizations.AboutonceamonththerewouldbeaweekendworkshopledbyRWwhowaschanneledbyElla’sdaughter. Whengrowingup in theNewYorksuburbs shewouldvisitNYCandmeditate at St. Bart’s Church on Park Avenue. At 13 an inner voice (RW) told her shewouldbecomeamediumandat18shewastolditwastimetobegin.RWhadbeenaphysicalpersonontheearthwhoseprofessionwasinpsychology.Afterhistransitionhechosenottoreincarnatebutcontinuehisjourneytowardthe“light.”Aspartofhisservice,hecounselsindividualsontheearthwhochosetobementored.RWhasac-cesstotheAkashicrecordsthatstoreeverysoul’sexperience,feelingsandemotionsforall


theirmultiplelifetimes.Unliketraditionalworldlytherapistswhomustuncoveryourhid-denissues,RWknowseverythingaboutyou.Onehasnosecrets.Earthisseensimplyasaschoolwheresoulscometolearnlessonsthatwilleventuallyfreethemfromthelimitsoftheirego.ThepriestinthegrouptoldmeittookhimacoupleyearsbeforehefeltcomfortablewithRW.InhisfirstindividualsessionhethoughtRWwasverycriticalandjudgmental.Helis-tenedtothetapedsessionayearlaterandhedidnothearanycriticismorjudgment,illus-tratinghowtheegoprojects. It tookme twoyearsbefore Iwassufficientlyaccepting tohaveanindividualsessionwithRW.Inoneworkshopassignmentwewereinstructedtopickonedayduringtheweektospeakoutloudeverythoughtthatcametomind.RWsuggesteditmightbebestnottochooseaworkday!Ofcourse,noonecoulddotheassignment,butitspurposewastopointoutthesecretnatureofone’smindchatter.InsomeoftheRW’sworkshopsafewparticipantsnoticedandcommentedonseeingother“pesons”attending inwhatonemightcall theraftersof theroom.Mostofusdidnotseethesebeings.Whenaskedwhothese“lightbeings”were,RWsaidthereweremanysoulsontheothersidetakingtheworkshop.[Anothercluetootherdimensions].Onanoccasionintheseminarytheinstructorstoppedinthemiddleofherlecturetonotethatmymotherandfatherwerestandingbehindme.Unfazedshejustcontinuedwithherlecture.Itappearsthereismuchtolearnonceweleaveourearthbodies. MoreDoorsOpenIhavehadanumberofteachersnotofthisworld.Whysomany?IsuspectwhenitcomestoDexperiences,Iamareluctantstudentandrepetitionbecomesanessentialpartofmylearning.Whilethisessayisaboutmypersonaljourneyitisalsoabouteveryone’sjourney.Manyofmyexperienceswillbeunderstandableforthosereaderswhohavehadsimilarex-periences. For other readers the events do not fallwithin their cognitiveworld and ac-ceptanceofadifferentviewmayhavetoawaitone’slaterandhopefullywiseryearsorin-evitabletransition.FollowingalecturebyDr.EbenAlexander,theneurosurgeonandauthorof“ProofofHeav-en,” awoman commented toDr. Alexander, “Your experiences had a profound effect onhowyouseetheworld,butthesearenotmyexperiences. Asanatheist,Ifindyourstoryinteresting,butitdoesn’tchangemyviewoflife.”ThiswomanwassittingbehindmeandIturnedtoherandsaid,“Yourviewmightbecorrectbutjustincaseyouarewrongwouldn’titbeworthwhiletoexploreanalternativeviewto lessenanyshockwhenyoumakeyourtransition?”Herresponse,“Youhaveagoodpoint!”Dr.Alexanderexplainedthetitleofhisbookhasnothingtodowithprovingheaven.Ratherthetitlewaschosenbecausethepub-lisherthoughtitwouldsellmorebooks.Capitalismreignssupreme!


TheConnecticutPeriod-WestportComparedtotheadvancesmadeinthephysicalsciencesoverthepastsixtyyears,theso-cial sciences have lagged far behind in addressing the society’s problems around anger,anxiety,depression,violence,poverty,discriminationandmentalhealth.Inevitablyallthe-seconditionscanbedefinedintermsofrelationshipswiththeself,family,community,na-ture andone’s environment. Thehard sciences offer solutions to increasing theworld’sstandardoflivingbutdolittleinaddressingsociety’ssocialproblems.Itisinthesoftsci-encesthatmajorbreakthroughsareneededtotrulymakethisworldabetterplace.TheTownofWestportisanaffluentcommutercommunityforNewYorkerspreferringthequietercountrylife.WhenImovedtoConnecticut,IfoundWestportalsohadthisblossom-ing spiritual community and Pymander, the best New Age bookstore in Connecticut.Foundedin1973,Pymanderhadthemostcomprehensivecollectionofnewageandspir-itualmaterial. The smellof incensegreetingyouuponenteringand the sparkleof gemsandcrystalshadafeelofancientwisdom.Authorsgavelecturesandhadbooksigningsandtherewasalargebulletinboardwithnoticesofeverynewageeventandpractitionerinthearea.OnceamonththerewasasocialgatheringattheWestportUnitarianChurchwheremerchants peddled their spiritual wares, discussion groups met, and the evening pro-gressedtomusicanddancing.Westport in the late1980swas the setting for aneveningwithEmmanuel.PatRodegastwasapsychicmediumthatchanneledthespiritentity,Emmanuel.WheneverPatwasvisit-ing her daughter in Connecticut she would host these evenings with Emmanuel at theWestport Women’s Club. These evenings were always full house, standing room onlyevents.HalftheeveningwasdevotedtoatalkbyEmmanuelfollowedbyaperiodofques-tionsandanswersfromtheaudience.OneeveningIaskedEmmanueltocommentonthebook,ACourseinMiracles.Hesaiditwasthebestbookabouttruthtoday,butitwasnotreallytruth.Ratheritwasapathtoexperiencetruthbecausetruthcanonlybeexperienced.Ah!anotherpiecetothepuzzle!DuringPat’stimeinWestport,shealsoheldsmallseminarsledbyEmmanuelatherdaugh-ter’s house.Unlike theWomen’s Club lectures, these gatheringwere small and intimate.ThereisacompilationofsomeofEmmanuel’steachingspublishedasEmmanuel’sBookI,II,andIII.TheCourseIdatedawomanImetatoneoftheUnitarianchurchspiritualsoirees.ShewasastudentofACourse inMiracles(ACIMorTheCourse)butsheneverwouldtellmewhattheCoursewasabout.Hercommentalwayswas,“Itisapersonalthing.”Suchsecrecywasveryunlikethe “born again” sharingmentality of persons discoveringmeaningful spiritual wisdom.Whentherelationshipended,IthoughtImightgainsomeinsightintotherelationshipbystudyingtheCourse.SoIheadedforPymanderwhereIsecuredacopyofTheCourse.TheCoursewas channeledbyDr.HelenSchucman, aprofessorofmedicalpsychologyatNewYork’sColumbiaUniversity’sCollegeofPhysiciansandSurgeons.Forsevenyearsbe-


ginning in 1965 Dr. Schucman served as the scribe to a voice she heard say, “This is ACourseinMiracles,pleasetakesnotes.”EachdayHelenwouldtakehernotestotheofficeandherboss,BillThetford,whoranthedepartment,wouldtypeupthenotes,Xeroxcopies,andlockthemawayinafilingcabinet.TherewasnoneedtoletthescientificcommunitytarnishBill’sandHelen’sprofessionalreputations.TheCourseconsistsofa textbook,aworkbookof365 lessons,a teacher’smanual, andacoupleofpamphletsonprayerandpsychotherapy.TheCoursesaysitisonlyoneofathou-sandpathstoexperiencingtruth,thepeaceofGod.TheapproachtheCourseteachesisun-doingthethoughtsystemoftheegothatisfoundineveryhumanmind.TheCourseoffersthemost sophisticated explanation of the nature of themind since Freud’s work intro-ducedtheconceptoftheego.ThevoicedictatingtheCourse is Jesusandthis factappearstomake iteasier for JewstoacceptitsauthoritythandoChristiantraditions.InpartwhatJesusteachesinTheCourseconflictswithChristiantheologyandthereliestherub.Whoistheauthoritytoresolvedif-ferences?Arewebacktotheinfallibilitydoctrineofthepope?KenWapnickspentayearwithHelenpreparingthematerialforpublicationandwentontobecomethemasterteacheroftheCourse.OneoftheCoursestudentsboughtKenaresortin theCatskillswhereKen taught during the spring, summer and fall seasons. I spent acoupleofweeksandmanyweekendseveryyearattendingKen’sclasses.Theresortcouldaccommodate100students.Longtermstudentsprovidedthehousekeep-ingandmealservices.OnestaffstudentwasMary,aformernunfromAustralia.Therewasalargecommonroomandkitchenforstudentstousewhenthemaindiningroomwasnotinservice. Duringonelunchbreakanumberofus, includingMary,retreatedtothecom-mon room tohaveour lunch. At onepoint awoman remarked toMary that amanwasdancingbehindher. Asecondwomanbegantodescribehim,andMarysaid,“That ismyfather.” NowneitherMarynor therestofussawanyonebehindMary. ThetwowomensaidMary’s fatherwanted to tellherhewasgladshe left theCatholicChurchand foundACIM.ThiswasveryconfusingtoMarybecauseherrelationshipwithherfatherwashos-tile,estrangedandalienatedduringthetimehewasalive.Hehaddiedeightyearsearlierbutnowhewasfullofjoy,happy,andsupportive.Thiseventbecamethesubjectfortheclassthefollowingday. Marywastotallyconfused,tryingtoreconcileherpastexperiencewithanewrealityofherfather.Kenexplainedthatshewasreadyforhealingthatopenedthedoorforbothsheandherfathertofindpeace. Albany,NewYorkandArchangelGabrielOnemorninginOctober1987Rev.PennyDonovansteppedtothelecterninthechurchshefoundedtogivetheSundaysermon.Shebeganwithameditationandthenextinstantthewhole congregationwas standing and applauding. The only thing she could rememberwasbeginningthemeditationandshewonderedwhathappened?Thepeopleweresaying,


“Itwaswonderful. A teacher came.” That was the beginning of 12 years of teaching byArchangelGabriel.Duringthatperiod,ItraveledeverymonthtoAlbanytomeetwithclients. WhenIvisitanewcity,IoftencheckwiththeMiraclesDistributionCenterworldwidedirectoryofACIMstudygroupsforweeklyscheduledmeetings.Thisisagreatwaytofillanopennightwithlikemindedwarmgenuinepeople. Atonesuchmeeting itwasmentionedthatArchangelGabrielregularlygivesseminars. Alwayscuriouswhat“theotherside”wasofferingIde-cidedtoattendoneoftheseminars.ItwasanopportunitytoseehowGabriel’steachingslinedupwiththeotherexperiencesIhadwithnon-physicalteachers.OneoftheattractionsoftheseminarswastheopportunityforparticipantstodialoguewithGabriel.Wecouldaskanythingwiththesingleexceptionwewerenottoaskpersonalques-tions.Ofcourse,aclevermindcanposeaquestioninawayitisnotpersonalandstillre-ceiveananswerthataddressesthepersonalIssue.WeaskedGabrielwhyhejustdidn’tmanifestinsomephysicalform.Herepliedthatpeoplewouldtendtofocusontheformandnotthemessage.Heexplainedthathehadbeenwork-ingwithPenny’senergyfor500years(ourtimeasthereisnotimeinthespiritworld)toprepare for this teachingperiod.Headdedhecomesaboutevery2000years to formallyteachasitcantakethatlongforthelimitedmindtoacceptnewideas.WeaskedhimwherePenny goes when he is using her physical body. He said, “She goes horseback riding.”[Morecluesabouthigherdimensions].Gabrieldoesnotseeformlikehumansdobutheseespeopleasseparateenergies.Gabrielwasneverangryorjudgmental.Hehasagreatsenseofhumor.HisuseofEnglishwasen-tertaining,callingicecubeslittleglaciersandhomes,abodes.HefindscommunicatingwithwordsverylimitingastheresimplyarenotwordsinEnglishtoexplainsomeconcepts.Hecanreadpeople’smindssayingtelepathyisamuchbetterwaytocommunicate.Hewouldoften answer thequestionbehind aquestionbefore itwas asked. One can imagine thattwelveyearsoflecturingproducesanimmenselibraryofknowledge.AllofGabriel’sses-sionswererecordedandsomeareavailableinCDformatwww.sacredgardenfellowship.org.Anumberofseminarshavebeentranscribed,groupedbytopicandareavailable inbookformatAmazon.com.

2010+ The Reluctant Messiah AsIreflectonnearlysevendecadesofdreamsandrealitiesandjoysandsadnessthereisrealizationthatcomesintofocus.ItisasthoughaforcehasbeentryingtoguidemeandIfinallybegintosurrender. IrememberinaworkshopRWhadgivenanassignmenttododuring the followingweek. When theclass reconvened,heaskedwhowanted to report.Whentherewasnotanimmediatevolunteer,RWsaid,“Don,whydon’tyougofirst.”Astheworkshopconcludedheaddressedme,“ThereisareasonIcalledonyoufirst.Youareheretobeheard,sospeakup,joinachoir,andfindawaytouseyourvoice.”Mythoughtatthetimewas,whatwasthatabout?


SeveralyearslaterIwasintrainingtobecertifiedasaReikipractitioner. ReikiisaJapa-nesetechniqueofchannelinguniversallifeforceenergy(qi)throughone’shandstobringabout abalanceof thebody’s energy fields. Thishealing techniquepromotes relaxationandstressreductioncausedfromangeroranxietythusistreatingthesymptomratherthanthecause.Reikiopenstheenergyflowsofthestudent’schakras.Allwasgoingwellinmycertificationprocessuntilshereachedmythroatchakraandshestartedcoughinguncon-trollably.Tounblocktheenergyflow,sheadvisedIneededtogivemyvoiceitspurpose.AnumberofyearslaterIattendedahealingworkshopinPalmSprings,Californiagivenbyapsychicmedium.Duringthecourseofthethreedaysthemedium’sguidestoldmeIwasanoutspokencriticoftheChurchduringtheperiodoftheinquisitionsandformyblasphe-mywasburnedatthestake.Thatmemoryhasbeenabarriertofulfillingmypurpose,Iwasremindedtheworldisdifferentnowanditistimetoletgoofthatfear.

2013,EnteringtheInterfaithMinistry

AsIapproachedretirementaclergyfriendsuggestedIattendseminary,specifically,anin-terfaith seminary. Interfaith recognizesonenessas theunderlyingessenceofmankind. Ithoughtstudyingallthereligionswillhelppreparemeforteaching.Iwasordainedin2013asanInterfaithMinister.WhileIhaveservedasaguestpastorinInterfaithandProtestantchurches,Iamdrawntoexploringthespiritualrelationshipbetweenscienceandreligion.In2015IgaveatalkonscienceandspiritualityattheParliamentoftheWorld’sReligionsheldinSaltLakeCity. Itwasagreatplacetoconnectwithlike-mindedinterfaithsciencetypes.AnotherfieldofstudyIfindinterestingisprogressiverevelation,theideathatmes-sengersofGodtakeanactiveroleineverygeneration.


A Revisit with MIT Astheragingandsometimecalmcurrentsof lifehavetakenmeonthisspiritual journey,thatboyhoodwonderof exploring theuniverse remains abright lightwithinmyagelessmind. WhenIattendedtheAero/AstroDepartment’sCentennialCelebrationin2014,en-thusiasmforthemysteriesofspacebroughtrenewedexcitement.Andagain,asIwatchedtherecentlandingofPerseveranceonMarstheexcitementofbeingpartofthespacepro-gramremindedmethatthereissomethingsacredabouttheinnocenceofyouth.ElonMuskhadrenewedthespiritofdiscovery through thegoal tosendmen tomars.Lookingbackovermyaerospaceyears therehasn’tbeenanymajorbreakthrough in flight since1960.TheConcordofferedaglimpseof supersoniccommercial travelbut theeconomicsdidn’tmakesense.Technologyhadnosolutiontotheenvironmentalproblemofexcessiveenginenoiseontakeoffandlandingortheshockwaveboomwhengoingsupersonicoverland.Allelectricaircraftprototypesdemonstratetheviabilityofelectricflightbutpowertoweightenergystorageisthemainconstraint.Therealsolutiontospacetravelwillrequireasys-temthatcanusetheenergynaturallyexistinginspacetopowerflight.MaybeweneedtocaptureaUFOandreverseengineeritstechnology!

TheAstronautsofMITAero/AstroDept.Centennial2014


The Spiritual Journey in Form Camino de Santiago -- A 500 MilePilgrimageAcrossNorthernSpainIn early 2018 when my son re-turned from his 18-month motor-biketripfromConnecticuttothetipof South America he suggestedweget the family together for a realpilgrimage across northern Spain,the Camino de Santiago. Known as“The Way of Saint James” for theapostle James’ who taught on theIberian Peninsula, this pilgrimagehas different starting points in Eu-rope all ending at the tomb of St.

JamesinSantiago,Spain.Themostpopularrouteis500milesinlengthandbeginsatthefootofthePyreneesintheFrenchtownofSt.JeanPieddePort.InAprilandMayof2018,beforemybodywouldwearout, I undertook this journey that is captured in themovie,“TheWay,”starringMartinSheenandEmilioEstevez.

Reflections for Contemplation Amajorchallengeinteachingislanguage.Wordsareverylimiting.Iusethewordmanandthe listener hears it filtered by his experience and perception. It is difficult to hear thewordmanandnotthinkofabody.ACIMstates,“…wordsarebutsymbolsofsymbols.Theyarethustwiceremovedfromreality.”Trytoexplainwhatanavocadoistosomeonewithnoexperienceofthatfruit.Itisonlybyexperiencing an avocado canoneknowswhat it is. But two individuals seeing, touching,smellingandtastinganavocadoforthefirsttimewillstillhavedifferentexperiences.Greatteachers,likeparentsexplainingsomethingtotheirchildren,mustusethelimitedlanguageandawarenessoftheirstudents,trustingthisapproachwillawakeninthemapathtotruth.Jesususedparablesasateachingtoolforthatiswhathisaudiencecouldunderstand.Myteachersoftenpresentedconcepts that theEnglish language isnot capableofdescribing.Thusthereadermayfindsomeofthefollowingideastooextremetobelieve.Theyaren’tmy ideasbut come fromentities indimensionsbeyond the limitationsofour space-timeuniverse.Theintenthereistoarousecuriositythatcanleadtoexploringthegreatermys-teriesoflife.Ourworldisfullofproblemsandwemustlearntolookbeyondourperceptiontofindthesolutions.Allmindsarejoinedandconnectingtotheuniversalmindwillallowthepowerwithintohelpusseedifferently.Settingasidearroganceandlearningtoaskfordirectionsisaquickerwaytoreturnhome.

“You cannot solve a problem with the same level of consciousness thatcreateit.”–AlbertEinstein


Thereisnothingnewtolearn.Weneedonlytoremember.

“Whathasbeenwillbeagain,whathasbeendonewillbedoneagain: there isnothingnewunderthesun,”--Ecclesiastes1:9

TheIllusionofTimeTimeremainsoneofthegreatmysteriesofscience.TheBigBangisgenerallyacceptedasthebirthof space-time,butdoes thatmean there is a characteristicof reality that isno-time? WhatexistedbeforetheBigBang? Inthethreedimensionofspacewearefreetojourney inanydirection.Addthe fourthdimensionaxisof timeandwearecaught in theArrowofTime.Timeappearstomoveinonlyonedirectionfrompasttopresenttofuture.Thisisnotthecaseinthephysicsandmathoftheverysmalluniverseofparticleandquan-tummechanics.One’spast,presentandfuturearealloccurringsimultaneously. Superstringtheorymaysuggesttheseincarnationsrepresentdifferentdimensions.Itislikehavingapersonalrein-carnationvideolibrarywhereonecanchoosethevideoofanylifetimetoviewatanymo-ment.Reincarnationisalineartimeconceptbutsincetimeisanillusion,soreincarnationisnottrue.Thatmakesreincarnationpartofthedream.Stilltheexperienceofreincarna-tionmaybenecessaryinhelpingthemindawakenfromAdam’sdream.Ifthemindhastheabilitytomanipulatetheexperienceoftimeonecanpostulatethatthemindexistsbeyondfour-dimensionalspace-time.Gabrielexplainsthattimedoesnotexistin theangelworld.Timewas invented tomeasurechange.Timelessness isno time.Nowthatsoundsveryboring. Manexperiencestimeas linearbutthat is trueonly inadreamstatewherethedreamercanmakeupthe laws. Thehumanmindhaschosento live inadreamoflineartime,limitedbytheArrowofTimethatflowsinjustonedirection.Noneofthiswillmakesenseuntilwewakeupfromthedream. TheSplitMindWhatisthemind?Theanswercanonlybegiveninsymbolism.TheapostlePaulexpressestheideaofasplitmindinRomans7:20-23,“NowifIdowhatIdonotwanttodo,itisnolongerIwhodoit,butitissinlivinginmethatdoesit.So,Ifindthislawatwork:AlthoughIwanttodogood,evilisrighttherewithme.ForinmyinnerbeingIdelightinGod’slaw;butIseeanotherlawatworkinme,wagingwaragainstthelawofmymind…”Amorecon-temporaryexplanationwasgivenbythecomedian,FlipWilson,“Thedevilmademedoit!”ACIMexplainsthatthemindisinhabitedwithtwoopposedthoughtsystems,spiritandego.Gabriel taught thatunlikeangelswhocanonlydothewillofGod, themindhas freewill.Endowedwiththepowerofcreationamindthinkingwhatitwouldbeliketobeseparatefromitssource,createdseparation,thisdreamofduality.Withthisillusioncametheego.ThequestionforwhichIhavenoansweris,“Whoisthedreamerthatmustdecidewhichmindtofollow,spiritorego?”


WhatistheEgo?Theegoisthethoughtofseparationfromwhichthedualisticworldarose.Itisathoughtsystemoflimitation,hate,scarcity,judgment,guilt,punishmentandsuffering,sicknessandpain. Guiltarisesfromjudgmentandtheegogetsridofguiltbyprojectingandsuffering.Thisprocessonlyreinforcesthecycleofguilt.TheegoislikeHal,thecomputerin2001:ASpaceOdyssey.Theego’sgoalissurvival,anditsmottois“killorbekilled”whetheritre-quireskillingabody,includingitsown,orastringbean.Thethoughtsystemofspiritistheoppositeofthatoftheego:love,joy,abundance,health,innocenceandpeace.Thereisinfi-niteenergyfromwhichthemind(spiritorego)cancreateanything. GodisasymbolforsomethingunknowableTheegomindperceiveslinearlyandthinksintermsofabeginning.Buttimeisanillusionthathasnobeginning.TheBookofGenesisstartswith,“Inthebeginning…”butifthereisnotime,therecanbenobeginning. Thestudentmustbetaughtwithintheframeworkofhisperspectivebecausethatistheonlywayhecanlearn.Whatisthenatureofthesourcefromwhich themindwas birthed? These questions are best answeredwithmyths, liketeachingwithparables.Mythsprovidedirection,apathbutnottruths.ThesplitmindusesthebodybutisnotthebodyMandefineshisrealitybytheattributesofthebody’sfivesenses.Thisisverylimitingex-cepttothemindthatbelievesdeathofthebodyistheendofreality.Thephysicalbodyisthevehicleusedbyconsciousness forhavingexperienceson theearth. Differentdimen-sionsmaysimplybeuniversesofdifferentvibrations,different frequencyworlds. WhenGabrielexplainedPennygoeshorsebackridingwhenheisusingherbodytoteach,thatim-pliesPenny’sconsciousnesshasmovedoutofthelowdensefrequencyofthisdimensiontoanotherdimensionwherethereisform.Likewise,whenattendingoneofRW’sworkshopssomeparticipantssawnon-physicalentitiesalsoattending.Formwasseenatahigherfre-quency,ahighervibrationaldimension.Isuspectthesenon-physicalentitiesexist inadi-mensionofUVfrequencies. Justasbutterflies,deer,sockeyesalmon,beesandsomedogsand cats have vision in the UV portion of the EM spectrum, humanswho see auras andghostshavethisfringesightabilityaswell.Sicknessisofthemind,notthebodyAconsistent teachingamongmy teachers is there isnoneed toexperience illnessnor isthereaneedforthebodytoageorgothroughsufferinginthedyingprocess.Harvardpsy-chologyprofessorEllenLanger ledaradicalstudyin1981bycreatinganauthentic1959timewarpinaNewHampshiremonastery. Hersubjects,eightmenintheir70s,weretospend five days immersing themselves in the experience. Biometricmeasurementsweredonebeforeandafterthestudy.Theresultsshowedaclearlymeasurablereversalofagingsuggestingthepowerthemindhastoaffectsthebody’shealth. Prof.Langer’sstudyhasbeenreplicatedbyotherresearchers.CurrentlysheisusingVR(virtualreality)toupdateandexpandthescopeofheroriginalcounterclockwisestudy.


Our Spiritual DNA TheNBACurrybrothers,StephandSeth,carrytheDNAoftheirNBAfather,DellCurry.ThefootballManningbrothers,Cooper,PeytonandElicarrytheDNAoftheNFLfather,Archie.ThesefamiliesspeakofthepowerofgoodDNA.Likewise,havingbeencreatedintheimageofaCreator,themindisendowedwithgreatwisdomandpower.ThisdescribesthespiritmindorChristselfbeforetheseparation.Consciousnessofmindisnotabodybutenergywithfreewill,createdintheimageofGodandthereforethemindcarriesthespiritualDNAof God. Thought is the creative mechanism. Jesus says in ACIM, “There are no idlethoughts.All thinkingproduces format some level.”Wehave to consider thewholeuni-verseisacreationoftheegomind.Thisisnotaproblemgiventheegoalsohasthecreat-ingpowerofGod.Wheretimeexists,solivesthedream.RealitymaythenexistontheothersideoftheBigBang. EnergyisthefoundationofallformWeknowfromEinstein’ssimpleformula(E=mc2)allthingsareaformofenergy.Intangi-blesarealsoenergylikeloveandhate.Energycansustainformliketheraysfromthesunsustainslifeonearth.ThereisanenergysourcereferredtointheBibleasthesilvercord(Ecclesiastes12:6).Thiscordrepresentsaconduitthroughwhichenergyflowstosustainlife inabody. It isnotmeasurableby today’sscience,butdeathoccurswhen thecord issevered. God is in all thingsbecauseGod is theenergy fromwhichall formarises. ThemindofmanbeingmadeintheimageofGodhasthepowertocreate. Thequantumideathatnothingexistsuntilitisobserveddescribesaprocessofcreation.Whatthemindseeksitwillfindthroughitspowerofcreation.TheuniverseisanillusionItisnotuncommonforpeopletohaveanexperienceofwakingupfromasleepingdreamandfeel itactuallyhappened. InGenesis2:21theLordGodcastadeepsleepuponAdambut nowhere in the Bible does it say Adam everwoke up. The Big Bang brought forthspace-timeandthatintroducedanotherlevelofdreamingorthelineartimeuniversefromwhichwehaveyettoawaken.Luciddreamingisastatewherethedreamerrealizesheisdreaming and as this awareness grows it can allow the lucid dreamer to take control ofwhat happens in the dream. Since allminds are joined there are an infinite number ofcombinationsofeventsandoutcomes.Thedreameristheplaywright.

Christianity and the Mind Themind isenergyof consciousnessconsistingof competing thoughtsystems, spiritandego.JesusatonetimewasamanlikeanyofuswithanegoandspiritorChristmind.Priortohis incarnationasJesus,hehadmanypreviouslivesthatpreparedhimforhisfinal in-carnation. BeforehislifetimeasJesus,hewastheBuddhawherehelearnedcompassion,the finalpreparation forhis last incarnation. Itwas inhis last lifetimeJesusreleasedhisegoandbecametheChrist.Hesaid,“IandtheFatherareone.”[John10:30].Withnoego,Hismindwasnowonewith theCreator. In John14:12 Jesussays, “Very truly I tellyou,whoeverbelievesinmewilldotheworksIhavebeendoing,andtheywillevendogreaterthingsthanthese.”Jesuscontrolledtheweatherwhenastormarosewhilehewasinaboatwithhisdisciples. Theimplicationisthereisapowerwithinthemindofmantomanage


theglobalwarmingcrisis.FollowinghiscrucifixionJesusmaterializedintheupperroomtomeetwith his disciples. When Captain Kirk instructed his chief engineer, “Beamme upScotty,”maybethesamescienceusedinStarTrektogetKirkbacktotheStarshipEnter-prisewasusedbyJesustoentertheupperroom.Mrs.Schwartzseemedtohaveaccesstothisscience.Tenmonthsafterherdeath,Mrs.Schwartz,aterminallyillparticipantofoneofDr.Eliza-bethKublerRoss’seminarsonDeathandDyingmaterializedinthehallsoftheUniversityofChicagotoaskDr.Ross topromisenot togiveupherresearchondeathanddying. Apersonal account of this incident can be found in Dr. Ross’ book, ”Death is of Vital Im-portance.”ArchangelGabrielgaveanumberoffascinatinglecturesontheLifeofJesusthatarecompiled inabook, “ChristBecoming,TheLivesof JesusandHisPath to theChrist,”availableonAmazon.ImplicationsforatroubledworldHowcanmankindharness these teachings tobringaboutamorepeacefulandabundantworld?First,byrealizingmanisnotabodybutchoosesabodyforaparticularlifelearningexperience.Thisawarenesswouldgoa longwaytoeliminatingracial,ethnic,andgenderprejudice, discrimination and persecution. In any given lifetime, based on the lessons apersonchoosestolearn,anindividualcanincarnateasanygender,ofanyraceorethnicityand inanyeconomicorhealthcondition. Suchawarenesssupportsacultureofequality,compassion and oneness. Realizing that thought creates coupledwith the abundance ofenergy, povertywould begin to disappear asmankind learned how to use these naturallaws.Awidespreadknowledgeofhowthemindcreatestheconditionofhishealthwouldhaveamassiveeffectonindividualwell-beingandtheworld’shealthsystems.Thehealingof the thought system of any one individual benefits allmankind because allminds arejoined.WhenallmindsattaintheChriststate,theworldwouldnolongerserveapurposeandtheuniversewoulddisappear.Thedreamwouldbeover.

Looking Back and Forward Aninterestingaspectofinventionanddiscoveryissciencecanbeadistractiontothegoalofwakingupfromthedream.Sciencehasbeenusedforwaranddestructionaswellasim-provinglifeonthisplanet.Sowhatissciencefor?Theanswerliesinthefreewillofmenwheresciencecanbeusedbytheegotokeepthemindtrappedintheprisonoflimitationorreleasedintothebountifulnessofspirit. Dr.JerryJampolsky,founderoftheCenterforAttitudinal Healing International, author of 20 books and an inspirational leader in theACIMmovement,diedthispastDecemberattheageof95.Whenaskedshortlybeforehispassing how he felt, he answered, “Still learning.” Rabbi Joseph Gelberman, author andfounderofthefirst interfaithseminary,passedawayin2010attheageof98.Justbeforehistransitionhesaid,“Ihavesomuchmoreworktodo.” Myjourneyhasledtoamuch-energizedperiodinmylifewheremycupisoverflowing.Withfeweryearsinfrontofmethanbehindme,thereseemssomuchtodo.Butthen,timeisanillusion.

“Theintuitivemindisasacredgiftandtherationalmindisafaithfulservant.Wehavecreatedasocietythathonorstheservantandhasforgottenthegift.”AlbertEinstein


DonKunze ‘64Course16,AeroAstro,’65MastersAerospaceEngineering,CornellUniver-sity,’68MBAUniversityofChicago,’13OrdinationAllFaithsSeminaryInternational,start-edhiscareerasanaeronauticalengineer.Withthepostman-on-the-moonperiodleadingtolessfundingoftheaerospaceindustry,DonhavingobtainedanMBAenteredtheworldoffinance.Helaterpursuedhishumanisticandspiritualcalling.HeisonthestaffoftheAllFaithsSeminaryInternationalandactiveinanumberoforganizationsincludingtheSacredGardenFellowship,ParliamentoftheWorld’sReligions,InstituteonReligionintheAgeofScience, Connecticut Council for Inter-religious Understanding, International Society forScience and Religion and the Foundation for Inner Peace. He now resides in Plymouth,Mass.

Helping Poor Countries Meet the Climate Challenge | 49

Helping Poor Countries Meet the Climate Challenge Shyamadas Banerji

"TomyselfIamonlyachildplayingonthebeach,collectingafewpebbleswhilethevastoceanoftruthliesundiscoveredbeforeme."SirIsaacNewton.

Introduction Havingworkedoninternationaldevelopmentforalmostfiftyyears,Iamconsciousofthegreat strides thatmanydevelopingcountrieshaveachieved in improvinghumanwelfareand reducing poverty. Butmuch remains to be done, particularly in Sub-Saharan Africa,SouthandEastAsiaandpartsofLatinAmerica.Poorgovernance,corruption,weakinstitu-tionsandloweducationlevelsaremajorbarrierstodevelopment.However,anothersignif-icantexogenousfactorhasemergedoverthepasttwodecadesasamajorconstrainttothedevelopmentofthesecountries,namelyClimateChange17.This isaffectingtheirabilitytousetheirownnaturalresourcessuchascoalandoilonwhichdevelopedcountriesbasedtheirindustrialization.ClimateisalsoimpactingagriculturewhichaccountsforthehighestshareofGrossDomesticProductandemploymentinmanypoorcountries.IpreparedaninitialdraftofthispaperfortheMITAlumniClimateActionGroup(MACA)whichIjoinedlatelastyear.AtRobertPopadic’srequestforanarticleforthe57thclassre-unionpublication, I thoughtClimateChangewouldbeanareaof interest anddecided toreviseandexpandtheoriginalpaper.Thisversionprovidesadeeperdiveintotheclimatecrisis,describingknownapproaches toaddressing themwithaspecial focusonassistingdeveloping countries which are the most vulnerable and lack the resources to addressthem.JimMonkhashelpedmeenormouslybyeditingthispaper.Iamgratefulforhisassis-tance.ThefootnotesprovidelinkstopublicationswhichIhavedrawnontowritethispa-perandprovidemoredetailedinformationonthetopics. Thispaperhasfivesections:

1. BackgroundtotheIssue2. DevelopingandImplementingaClimateActionProgram(CAP)3. ImplementingCAP:ApexImplementingAgency4. MobilizingResourcesforClimateAction5. TheWayForward:SomeReflectionsfortheFuture

The broad framework guiding this paper is: • Reduce Green House Gasses (GHG) Sources: Bringing emissions to zero from fossil fuels. • Support Carbon Sinks and carbon capture: Use nature’s carbon cycle. • Improve society by reducing vulnerability and building resiliency. • Reallocate capital to focus on mitigation and helping the poor to adapt.17ThefirstmentionofclimatechangeaccordingtoElizabethKolbertinhernew,veryreadablebook“UnderaWhiteSky:TheNatureoftheFuture”wasin1965whenareportontheproblemwasprovidedtoPresidentLyndonJohnsonwithaproposaltousesolargeoengineeringtoreduceglobalwarming.


Background to the Issue IhavebeenobservingtheimpactofachangingclimateformanyyearsbothinArlington,Virginia,whereIliveandmyhomeinKolkata,India,whichItrytovisiteveryyear.Increas-ing summerhigh temperatures inbothplaces are just one signof this phenomenon.Be-causeofmycareeringlobaldevelopment,Ifollownewsstoriesandjournalarticlesaboutclimate change and its impact on developing economies.Misguided government policiescan lead todramatic environmental disasters.TheAral Sea inUzbekistanwas amassiveinlandseaprovidingwaterforagriculture,fishingandtourism.Butoveruseofthewaterforcottoncultivationhas left ita traceof its formerself.ANationalGeographiccoverphotofrom2010(actualphototakenbyPhilipMicklinin2005)offishingboatsstrandedinsandyshoresisiconicofclimatedisasters.18

Climatechangeisaglobalphenomenonthatdoesnotrespectnationalboundaries.Impactsare visible everywhere from coral reef bleaching off the coast of Australia, melting iceshelvesinAntarctica,recedingHimalayanglacierstoincreaseddesertificationintheSahel,

18Moredetailsinhttps://earthobservatory.nasa.gov/world-of-change/AralSea


allofwhichposeaseriouscrisistohumanlivesandlivelihoods19.Climatechangeisvisiblein more frequent extreme weather events such as unusually strong hurricanes and cy-clonesaswellassteadilyrisingtemperaturesand the phenomenon known as the polar vortex which brings extremely low temperatures to the southern USA. One of the two hottest years on record in the USA was 2020. New Jersey and Rhode Island are two of the states with the highest temperature increases.20 The February 2021 snowstorm in Texas which created havoc in the state is another event which is very likely linked to climate change. Scientists have now estab-lished with high confidence that anthropogenic (human caused) factors are responsible for the steadily rising temperature from preindustrial times. The human impact of the Climate Crisis is most pronounced in developing countries where poor people are affected badly, lacking the capacity and resiliency to cope. Tangible and intangible impacts are affecting living standards and economic growth, increasing income inequality, and generating strife and conflicts over access to scarce resources such as arable land and water. The most visible manifestation of these impacts is international migration from the developing world to richer countries (West Africa, Afghanistan, Middle East, Myanmar and Central America). The poor living in cramped slums in cities and villages which lack basic infrastructure are the worst affected by the increasing occurrence of serious climatic events resulting from steadily ris-ing temperatures. Water shortage from severe droughts, heavy rainfall from cyclones, prolonged high temperature spells cause adverse health impacts from new viruses, pathogens and bacterial infections. Morbidity and mortality rates are much higher than in the wealthier sections of the community. The ability of the poor to earn a decent living and contribute to society is severely compromised as agriculture, small industries, and services such as tourism which provide most of the employment to the poor in some areas, are adversely impacted.21 An important objective is to inform developing country governments of the urgency to build in-stitutional capacity to develop national climate action programs to deal with the urgent climate crisis and assist the poor build resiliency to the adverse climate impacts. This latter need has be-come even more urgent as few developing countries have taken any action to improve on their pledges made in the 2015 Paris Agreement on Climate for submission at the forthcoming Glas-gow climate conference, aka COP-26 (discussed later). Multilateral development banks (MDBs) such as theWorldBank are takingmeasures tosupport developing country governments build policy and institutional capacity and areincreasing their financing for mitigation and adaptation projects. But the challenge isdaunting, andprogresswill require coordinated collective international effort.MarkCar-

19Thiswebsiteoffersdifferentvisualizationsoftheimpactofclimatechangehttps://visme.co/blog/climate-change-facts/.Seealsohttps://www.climatewatchdata.org/key-visualizations20https://www.washingtonpost.com/graphics/2019/national/climate-environment/climate-change-america/?itid=lk_interstitial_manual_521ReadthebookbyKimStanleyRobinson“MinistryfortheFuture:ANovel,Orbit2020Thenovelisaboutclimatechangeandpoorcountriesandhowclimatechangeisaffectingthepoorinequitably.Itsmainprotag-onist,MaryMurphy,headsaUNagencyresponsibleforrepresentingtheinterestsoffuturegenerationsandgettingworldgovernmentstoalignbehindaclimatesolution.


ney, thenewUNClimateEnvoymadethisstatementrecently-"Climatechangeaffects theleastwelloffinoursocietythemost,butifwegetitwrong,thetransition[tonetzero]willalsoaffectthoseverysamepeople."LarryFink,CEOofBlackstoneGroup,thelargestassetmanagementfirmintheUSAcommentedrecentlyonclimatechangeasfollows:“Asuccess-ful transition–onethat is just,equitable,andprotectspeople’s livelihoods–will requirebothtechnologicalinnovationandplanningoverdecades.Anditcanonlybeaccomplishedwithleadership,coordination,andsupportateverylevelofgovernment,workinginpart-nershipwith theprivate sector tomaximizeprosperity.Vulnerable communities andde-velopingnations,manyof themalreadyexposedto theworstphysical impactsofclimatechange,canleastaffordtheeconomicshocksofapoorlyimplementedtransition.Wemustimplement it in away thatdelivers theurgent change that isneededwithoutworseningthisdualburden.”Unfortunately,globalcommercialbanksseemblindsofartotheurgencyofhaltingfinancingoffossilfuelprojects.Climatechangeasaresearchandpolicytopichasattractedtheattentionofscientistsandpolicymakersworldwide. The domain of climate change is vast and coversmany disci-plinesandnooverviewpapercanhopetocaptureallaspectsoftheproblemsuchasbio-diversityimpacts.Ihaveattemptedtosynthesizemanynewsreportsandstudiestobringoutkeylessonsforpolicymakersindevelopingcountries.Anyfailuretoincludecriticalis-sues ismine alone. Inwriting this overview, I am reminded of the quote from Sir IsaacNewtonheadlinedat thebeginningof thispaperabouthow littleweknowaboutnatureand the scientific factors influencing climate and the vast realms of scientific knowledgethatremaintobediscovered.

Predicting the Earth’s Future Climate Becausefutureclimatedependsoncurrentandfuturehumanbehavior,whichisinherentlyunpredictable,scenariosareusedtocharacterizearangeofplausibleclimatefuturesandtoillustratetheconsequencesofpolicychoices. InthemostrecentIntergovernmentalPanelonClimateChange(IPCC)AssessmentReport(AR5),fourscenariosknownasRepresenta-tiveConcentrationPathways(RCPs)weredeveloped.22TheRCPscenarios,asusedinglobalclimatemodels,arebasedonhistoricalgreenhousegasemissionsuntil2005,andprojectedemissionssubsequently(seebelow).Thereisconsiderableuncertaintyinthesefuturepre-dictions.Theworst-casescenarioRCP8.5assumesthatpre2005emissiontrendswillcon-tinuewithnoreductioninemissions.However,newknowledgeisemergingeverydayonvariouswaystoaddress themyriadproblemsassociatedwithclimatechangewhichpro-videshopethatthisproblemwillbesuccessfullycontained.

22IPCC(2014)ClimateChange2014:SynthesisReport.ContributionofWorkingGroupsI,IIandIIItotheFifthAssessmentReportoftheIntergovernmentalPanelonClimateChange.Geneva,Switzerland:IPCC.Availableat:https://www.ipcc.ch/report/ar5/syr/.IPCC(2018)GlobalWarmingof1.5°C.AnIPCCSpecialReportontheimpactsofglobalwarmingof1.5°Cabovepre-industrial levelsandrelatedglobalgreenhousegasemissionpathways, inthecontextofstrengtheningthe

globalresponsetothethreatofclimatechange.Availableat:https://www.ipcc.ch/sr15/.


ThedefiningpropertyoftheRCPfamilyofscenariosisradiativeforcingwhichistheaddi-tional amount of energy in Earth’s climate system because of a certain concentration ofgreenhousegases,witheachRCPhavingaprescribed increaseby2100relative toprein-dustrial levels.Forpurposesofdriving forwardglobalclimatesimulations,asingleemis-sions trajectoryconsistentwithaspecifiedradiative forcingwaschosen foreachRCP. InevaluatinganyRCPscenario,itisfundamentaltounderstandthatscenariosarenotpredic-tions,whichiswhytheyarenotassociatedwithlikelihoods.Sincetheincreaseintheglob-al-meantemperatureisdeterminedbycumulativeemissionsofgreenhousegases,cumula-tiveemissionsarean importantmetricbywhich toassess theusefulnessof scenarios. Itshould benoted that climate system feedbacks also influence the global temperature in-crease,butthese,too,arestronglyinfluencedbycumulativehumangreenhousegasemis-sions. Bythismetric,amongtheRCPscenarios,RCP8.5agreesmostcloselywithtotalcumulativeCO2emissionsfor2005to2020,within1%.Thenext-closestscenario,RCP2.6,underesti-mateshistoriccumulativeemissionsby7.4%.Therefore,notusingRCP8.5todescribetheprevious15years’emissionsassumesalevelofmitigationthathasnotoccurred,therebyskewing subsequent assessments by lessening the severity of warming and associatedphysicalclimaterisk.ItissignificantherethatthedesignchoicesforRCP8.5werearticu-latedex anteandwithoutanyattempttopredictthefuture,yetthiscloseagreementshouldnot surprise. Inprevious IPCCscenario catalogs,historical emissionshavebeen in closeragreementwithmoreextensivefossilfuelusescenarios.Finally,theusefulnessofRCP8.5is not changed due the ongoing coronavirus disease pandemic. Assuming pandemic re-strictionsuntiltheendof2020reducedemissionsby4.7GtCO2,thisrepresentslessthan1%oftotalcumulativeCO2emissionssince2005forallRCPsandobservations.Thefigurebelow shows expected cumulative GHG emissions for various RCP in the future. End-of-centurywarmingoutcomesinRCP8.5rangefrom3.3°Cto5.4°C(5thto95thpercentile)withamedianof4.5°C.Thelevelofoverlapwithoutcomesunderpoliciesinplace,wherewarmingisanticipatedtorangefrom2.3°Cto4.1°Cwithamedianvalueof3.0°C,ismod-est.ItisimportanttonotethatnoRCPwasdesignedtoprojectexistingtrendsforward—the commonassumptionofwhat a “business asusual” scenariowouldentail.Relative tohistoricalandanticipatedtrendsthestylizedfactsunderpinningRCP8.5showfastereco-nomicgrowth,overestimatesincarbonintensity,overaggressivecoaluse,andoverpricingrenewablesrelativetofossilfuels.23,24

23Source:NationalAcademyofSciencesfirstpublishedAugust3,2020https://doi.org/10.1073/pnas.2--711711724RCPDatabaseVersion2.0.5(https://tntcat.iiasa.ac.at/RcpDb/)


The Market for Climate Change Action The demand for climate action is stilllow generally and particularly weakamong the poor because of lack ofknowledge and understanding of howsteadily increasing temperatures ofbothlandmassesandoceansarecaus-ingseveretailriskclimateeventslead-ing to economic distress from cropfailures, pandemics, severe droughtsand business failures. Policy interven-tionssuchascarbontaxesarenotun-derstoodnortheneedformitigation25.There is a need tomount educationalprograms to raise knowledge aboutclimate change and its impacts andwhatremedialadaptationactionstheycantake.Even indevelopedcountries,

thereisapoorunderstandingofclimatechangeandevendownrightdisbeliefamongsomesectionsofthepopulation.IrecalllisteningtoalecturebyPresidentRaphaelReifinWash-ingtonDCsomeyearsagoaboutthefuturethrustofMIT’sresearchandacademicprogramswithscantmentionofclimatechangeasapriorityproblem.Attheendofthepresentation,Iaskedhimaboutthisoverarchingworldwideissuetowhichherespondedbypromisingtotakeadeeperlook.Idon’tclaimtobeacatalyst,butthatgaphasbeengraduallyaddressedoverthepastdecade.TheClimatechangemarketisbesetwithmarketfailures.Theinvisiblehanddoesnotgen-erateadequatesolutionstoaddresstheneedsofpoorfarmers,serviceprovidersandsmallbusinesses.Demandforsolutionsisweakasoftenclimatechangedeniersareobstructinginterventionswhethernewregulations,performancestandardsorcommunityactionsbe-causetheydon’twanttoloserevenuesorbearthecostofcreatingthepublicgood.Theclimatecrisisdemandsimmediateaction.The2014and2018reportsoftheIntergov-ernmental Panel on Climate Change (IPCC) demonstrate how the world’s climate haschangedsincepreindustrialtimes,howanthropogenic(humancaused)activitieshavecon-

25OnFebruary27,2021,PresidentBidenannouncedanewpolicytoresetthesocialpriceofcarbonto$51,alargejumpfromtheObamadays($37)andagiantleapfromtheTrumpadministration’spolicieswhichhadslashedthesocialpriceofcarbontobetween$1-$7allowinglooseningofregulationsandapprovalofcarbonintensiveprojectsonpubliclands.Thisisnotataxoncarbonbutapolicyguidelinewhichwillhaveprofoundimpactsonfutureregulatoryactionsandinvestmentprojectsinboththegovernmentandprivatesectors.Seeadditionaldiscussioninalatersection.


tributedtoclimatechangeandwhatactionsneedtobetakentokeepglobaltemperaturesfromrisingbeyond2degreesCelsius,preferablylessthan1.5degreesCelsius,by2050toavoidanexistentialcrisis.Butmostdevelopingcountriesdonothavethecapacitytopre-pareandimplementClimateActionProgramstomitigateandadapttotheimpactsofCli-mateChange.Policymakers feeloverwhelmedfacedbythe lackofadequate institutionalcapacitytoprepareeffectiveclimateactionplansaswellastheresourcesintermsoftech-nology,humanskillsandfinancestoimplementsuchplans.Theyalsodon’thaveaccesstothenewtechnologiesemergingfromadvancedcountriesandthehumanresourcestotakeadvantageofthesedevelopments.ItisalsoimperilingtheachievementoftheUN2030sus-tainabledevelopmentgoals.26MIThasembarkedonavigorousclimateactionresearchprogramincludingestablishmentofaMITclimateinformationportaltodisseminateresearchfindingsaswellasclimatein-formation. TheMIT Sloan School has developed an interactive climate simulationmodelcalledEn-Roadswhichshowshowclimateoutcomeschangewithvariouspolicymeasures(www.climateinteractive.org).Thisprovidesaneducationalinstrumenttoteachpolicymak-ers and students the interaction of various policy actionswhich impact globalwarming.AnotherclimatemodelfortheUSisavailableathttps://us.energypolicy.solutions/docs/whichis also a systemsdynamicsmodel.Other interactivemodelshavebeendevelopedby theWorldResourcesInstitute(WRI)andappliedtoseveraldevelopingcountries. Itsapplica-tiontoHongKongisdiscussedlaterinthispaper.OtheruniversitiessuchasYaleandCo-lumbiaaswellasmanyintheUKandEUhavestartedtheirownclimateresearchcenters.Itwouldbeimportantthatresearcherscollaboratemorecloselysothatissuesareanalyzedinacoordinatedway.

The Importance of Carbon Pricing Pricing carbonappropriately is consideredbymanypolicymakers andacademics as themostimportantpolicymeasuretoincentivizesocietytoreduceGHGemissions.Thesocialpriceofcarbonisthevaluesocietyplacesonthebenefitofcarbonreductionmeasuredasdollarspertonofcarbonemissionsavedfromanyconservationactivity.Settoolow,envi-ronmentalprojectswhich reduce carbonemissionswouldnotbeeconomicand rejected.Setatanappropriatelevel,morecarbonreductionprojectswouldbeeconomic27.Settinganappropriatepriceisacomplexproblemasitinvolvesvaluationofintergenerationalbene-fitsandcostsaswellasyettobedeterminedtechnologicaladvanceswhichcouldalterthecost/benefitrelation.TheInternationalMonetaryFund28considersanappropriatecarbontax in therangeof$75per tonneofCO2 incurrentdollars tobeextremely important inachievingtheenvisagedGHGreductionby2050(seefigurebelowforapplicationstosev-eralAsian countries). To the extent that carbonprices remain constrainedbypolitics orotherfactors,itwillneedreinforcingwithotherinstruments.

26 United Nations About the Sustainable Development Goals Retrieved on March 13, 2021 fromhttps://www.un.org/sustainabledevelopment/sustainable-development-goals/27https://apple.news/AbxO48Ki5SgSwnXp2fYRNSQ28ThissectiondrawsonarecentIMFblog,particularlyonfeebates.AlsogooglethespecialclimateissueintheIMF’spublicationFinanceandDevelopment,2021.


Source: IMF Staff Calculations.Note: Countries with zero emission-reduction target from theParisAgreementclimatepledgeareassumedtobeable toachieve the target in thebaselinescenario.Parispledgesreflectnewlysubmittedproposalsandupdatesin2020.

Feebates as an Alternative to Carbon Taxes Apromisingalternativeapproachisfeebates,whichimposeafeeonproductsoractivitieswithhighcarbondioxideemissionratesandprovidearebatetoproductsoractivitieswithlowcarbondioxideemissionsrates.Forexample,afeebatefortransportationwouldapplyataxonnewvehiclesequaltotheproductofacarbonprice,thedifferencebetweentheve-hicle’semissionspermileandthefleetaverage,andtheaveragelifetimemileageofavehi-cle.Afeebatewithashadowpriceof$200pertonofcarbondioxidewouldprovideasub-sidyof$5,000forelectricvehiclesandasurchargeof$1,200foravehiclewithfuel econo-myof30mpg.Subsidiesforcleanvehicleswoulddecline(andtaxesforhighemissioncarswouldrise)astheaverageemissionratedeclinesovertime.Analogousschemescouldbeappliedtoothersectors,includingpowergeneration,industry,buildings,forestry,andag-riculture.


Acombinationoffeebatesmightbemorepalatablethancarbonpricing,asitwouldavoidalarge increase inenergyprices (since there isnopass throughof carbon tax revenues inhigher energy prices). At the same time, it would not promote some of the demand re-sponsesof carbonpricing:forexample,unlikehigherfueltaxes,feebatesdonotencouragepeopletodriveless.Feebatesdo,however,tendtobemoreflexibleandcost effectivethanregulations,and(unlikecleantechnologysubsidies)theyavoidafiscalcost.Butitmaybequitecomplextodesignandadministercomparedtoastraightcarbontax.Demandsideactionneedstobecomplementedbysupplysidemeasurestohelpthepooradapt better and build resiliency to adverse climate impacts. These actions need to bebroad, covering all economic sectors and involve a combinationof policy and regulatorychanges, technology and capital resources. There areplenty of existing supply side solu-tions which if adopted widely can help mitigate adverse impacts and build resiliency.However, adoption requires catalysts or “Accelerators” which create the conditions formovingexistingsolutionsforward29.ThesevenAcceleratorsforclimatesolutionsare:

1. Setting clear goals, identifying priority areas for investment, setting performancemetrics and implementing a robust monitoring and evaluation system to assessprogressandtakecorrectivemeasures.

2. Reshaping behaviors and cultures of individuals and firms to internalize the im-portanceofdealingwiththeclimatecrisisandaccepthighercostsfromcarbontax-es.

3. Empoweringpeopleinaninclusivewaytogivethemvoiceandbuildcommitmenttoclimatechangeactionswhichmightaffectthemadverselyintheshortterm.

4. Altering overall policies, regulations and incentives so that economic and sectorplansandinvestmentsgiveprioritytoclimateimpacts.

5. Reallocatingcapital topriorityproblemsandvulnerablegroupscausedbyclimatechangewithinsectorsandbetweensectors.Creatingnewjobsfordisplacedworkersfromsectorssuchascoalminingandoilshouldbeapriority.

6. Educating people to generate demand for climate actions from governments andlargecorporations.

7. Incentivizing adoption of already available improved technologies, processes andevidence-basedbestpracticestoimproveresourceuseandcarbonmanagementinkeysectorssuchasenergy,transportation,constructionandbuildings,industryandagriculture.

The Need for Climate Action Programs Aholistic Climate Action Program (CAP) needs to be implementedwith all stakeholdersplayingaroleatallspatial levels fromthenationtothe localcommunity. Becauseofcli-matemarket failures,even inadvancedcountries,governmentsmusttakethe lead inde-

29AdaptedfromtherecommendationsoftheDrawdownProject,USA“Drawdown”—thepointinthefuturewhenlevelsofgreenhousegasesintheatmospherestopclimbingandstarttosteadilydecline,therebystop-pingcatastrophicclimatechange—asquickly,safely,andequitablyaspossible.https://drawdown.org


velopingandimplementingtheCAPbybuildingahigh-levelinstitutiontoplanandimple-ment theCAP.However, developing country governments lack capacity for this. Interna-tionalassistanceshouldbeprovidedtowardsthiseffort.Bearinmindthattheroleofgov-ernmentintheUSAandsomeEuropeancountriesisquitedifferentthanitsroleinthede-velopingworld.Where state capitalism is predominant as in China, Russia, Vietnam andsomeothercountries,governmentshaveacommandingroleindecidingonpublicandpri-vateinvestments.InmixedeconomiessuchasIndia,governmentsregulatemanyaspectsofthemarketandworkcloselywiththeprivatesector.Settingtherightpoliciesandregula-tionswouldfacilitatethetransitiontoanetzeroeconomy.“Climatesolutionsareinterconnectedasasystem,andweneedallofthem.Thenotionof‘silver bullets’ has persistent appeal— ‘what’s the one big thingwe can do?’—but theysimplydon’texistforcomplexproblemssuchastheclimatecrisis.Awholesystemofsolu-tionsisrequired.”30Someofthemostpowerfulclimatesolutionsreceivecomparablylittleattention, reminding us towiden our lens. In September 2019, Swedish climate activistGretaThunbergtestifiedbeforetheU.S.Congress.“Youmustunitebehindthescience,”sheurged.“Youmusttakeaction.Youmustdotheimpossible.Becausegivingupcanneverev-erbeanoption."TheCAPshouldbedesignedtobeconsistentwiththeParisAccordandtheUN’s2030Sus-tainableDevelopmentGoals(SDGs):12ofthe17totalof17goalsdealwithclimatechange.TheParisAccordcommitscountriesthroughindividualvoluntaryeffortstosethighestna-tional emission reduction targets (Nationally Determined Contributions -- NDC) and im-plementplansforlimitingtemperatureincreasestowellbelow2degreesCelsiusby2050,preferably1.5degreesCelsius.Withoutanetzeroemissionssituationbeingreachedsoon,eventhisgoalmightbeoverlyoptimisticascarbondioxidetakesaverylongtimetodissi-pate(upto100years)whilehumanactivityisconstantlyaddingtotheaccumulatedlevel.The newly released report by the UNCCC (February 26, 2021) on the revised NDCs bycountiesinpreparationfortheNovember2021Glasgowclimateconferenceisamatterofgreatconcern.Outofthe75countriessubmittingrevisedNDCs,onlytheUKandEUhavereducedtheirNDCssubstantially.Insum,therevisedNDCswouldresultina1%reductioninemissionscomparedtotheanticipated45%.Abroad-basedprogramofreducingfossilfuelusecoupledwithawidearrayofactionsinallsectorstoimproveresourceuseises-sential31. Thepoorandunderprivilegedsectionsofcommunitieswouldneed tobegivenpriorityinresourceallocations.ThatshouldbeoneofthecentralaspectsoftheCAP.Therehasbeencontroversyabout the lackof intermediategoals forGreenhouseGas (GHG)re-ductionsbefore2050tomonitortheactionsofgovernmentsandtheurgencyofremedialmeasures. It is obvious that unless actions are taken sooner than later, more severemeasureswillneedtobetaken.Onestudyindicatesthattheprobabilityofmeetingthegoal

30 QuotedfromDrawdownProject31FormoredataonsectoraldistributionofGHGemissionshttps://www.climatewatchdata.org/ghg-emissions?chartType=percentage&end_year=2018&source=UNFCCC_NAI&start_year=1990


oflimitingtemperatureincreasestobelow2degreesCelsiustargetin2050isonly67%ifGHGemissionsarehalvedby2030,averyambitioustargetforalmostallcountries32.

The CAP could start out as a national roadmap to lay out a broad strategy for reducingemissionswhichthencouldbedeveloped intomoredetailedactionprogramsatregionaland sub-regional levels for each sector and at the firm level. Large firms are the biggestemittersandtheiractiveinvolvementinCAPsiscriticalasinvestmentsneedtobemadetoallowmore,greener, facilities. AcommitteeoftheUSSenatehaspreparedacomprehen-sive roadmap as an initial strategy to deal with the climate crisis. The report is down-loadable fromhttps://www.schatz.senate.gov/download/sccc-climate-crisis-report. Manyfirmshaveannouncedgoalsofbecomingcarbonneutralorreducingtheirnetemissionstozerobyafuturedate.However,veryfewhavespelledoutconcretepolicychangesorinvestmentplanstoreducetheircarbonfootprint.Europehasmademoreprogress than theUSA,adopting theEuropeanGreenDeal (EGD)whichcallsfora55%reductionofGHGemissionsby2030comparedto1990.Netzeroistargetedby2050.TheEGDplansanexpenditureofEuro1trillionoverthedecadeandes-

32“TheNewclimateWar”byMichaelEMann,PennStateUniversity,2020


timatesthattheprogramwilllowerGDPby0.3%-0.7%.TheEGDcoversninepolicyareasandcomprisessixactionprograms.Theprogramwillensurethatnocountryisleftbehind.Amajorcomponentinvolvestheclosureofcoalpoweredpowerplantsandthedecarboni-zationofnaturalgas.CarbondecarbonizationwillcostEU60billion,ofwhichEU5billionisallocated forworkers. Also included is an emissions trading systemand a clean tradingsystemwhichwill involve a carbon border adjustment scheme to reduce leakages fromtrade. The entire program is regulated by the European Climate Law, passed in March2020.33

Developing and Implementing a Climate Action Program (CAP)

“Footholds of agency exist at every level, for all individuals and institutions toparticipate inadvancingclimatesolutions.Theclimatecrisisrequiressystemic,structuralchangeacrossourglobalsocietyandeconomy.Therealityofinterven-inginacomplexsystemisthatnoonecandoitall,andweallhaveanopeningtoshow up as problem-solvers and change-agents and contribute in significantways—evenwhenwe feel small. The range of climate solutions illuminates di-verseinterventionpointsacrossindividual,community,organizational,regional,national,andglobalscales.Acceleratorsexpandthatarrayofactionopportuni-tiesevenmoreandincreasetheireffectiveness.Itwilltakeawholeecosystemofactivitiesandactorstocreatethetransformationthat’srequired”.34

TheCAPneeds tobedevelopedby thegovernment in consultationwith all stakeholdersandimplementedaswellwiththeparticipationofallstakeholders.(MoreinPart3below).CAPcallsforinnovationanddisciplinedactionwithadequateattentiontothepoorandun-derprivileged.Itshouldaimtoaddresstheirneedsintermsofresourceallocationandhelpbuildresiliencyforthetargetgroupsandthecommunitiesinwhichtheylive.CAPcouldbeanoverlayonsectordevelopmentplanstorefocustheirprioritiesandactionstoconsiderclimatechangeimpactsandreallocateresourcestoaddresstheimpactsofclimatechangeonthesectorwiththegoalofachievingnetzeroemissionbyatargetdate.Thistargetdatewouldvaryfromsectortosectorandregionallydependingonthecomplexityoftheprob-lemsinthesectorandregion.Buildingresiliencyofthepoorthroughpoliciesandinvest-ments would be at the forefront of CAP. The Catalysts/Accelerators mentioned abovewouldbethemaininstrumentsinachievingthisoverallgoal.Largecorporationsdonotnecessarilyhavetheincentivestomakeinvestmentswhichcre-atepublicgoodsthattheycannotmonetize.Buttheyareusuallythebiggestcarbonemit-tersandneed to takepriorityaction to reduceemissions.Regulationsandsettinganap-propriatesocialpriceforcarbonasannouncedbyPresidentBiden35orevenbetter,acar-bontaxwouldprovidetheincentivesforgreenactionbyall.Unfortunately,thereisalotof

33Seehttps://www.climatechangenews.com/2019/12/12/eu-releases-green-deal-key-points/ee34QuotedfromtheDrawdownProject 35Seefootnote4aboveaboutthesocialpriceofcarbon.Amoredetailedexpositionisavailableinthispaperhttps://www.project-syndicate.org/commentary/biden-administration-climate-change-higher-carbon-price-by-nicholas-stern-and-joseph-e-stiglitz-2021-02


unprovenclaimsbeingmadebylargefirmswhentheyannouncegoalsforreachingnetze-roemissionsbya targetdatewithout specifyinga concretemonitorableprogram (greenwashing)36.However,thereisgrowingawarenessoftheneedtomovebeyondjustenergyefficiency to net zero emissions by a target date. Growing numbers of public companieshavesignedupontheinitiativecalledtheClimatePledge,co-foundedbyJeffBezos.Theseinclude IBM, Microsoft, Johnson Controls, Coca –Cola, Uber, Best Buys, etc. FedEx an-nouncedplanstoachievenetzeroby2040andplanstoinvest$2billioninelectrifyingitsmassive fleet of 180,000vehicles. It has alsodonated$100million to start thenewYaleCenter forNatural CarbonCapture. Theproblem is complex because decarbonizingwillneedtoincludeallfirmsinsupplychains,manybasedabroad.Microsoftannounceditsde-carbonizationgoals,butitsprogresshasbeensloweventhoughitisnotanintensiveener-gy user. As academic studies atNorthwesternUniversity has shown, radical innovationsandchangeoftencomefromuniversities,smallinventorsandsocialchangeagentswhocanintroduce innovations leading to behavioral change and community participation ratherthanlargecorporationswhichengageinincrementalchangetoexistingintellectualproper-ty.Climateactioninitiativesusingexistingtechnologyinsixsectorsarebrieflydiscussedbe-low37.Thisisnotanexhaustivelistbutisillustrative--aimingonlytoindicatethepossibleimpact of disseminating innovationmore widely. The internet, mobile communicationsandsmartphonesareenablingmanynewenergysavingtechnologicaldevelopmentstobeimplementedinallareas38.Itisextremelyimportanttonotethatactionsinonesectoraf-fectallotherssinceGHGemissionsresultfromallsectors.Therearealsoglobaltempera-ture reduction initiatives suchas sulfur aerosol injection into the stratosphere to reducesolarradiationwhichcanreducemeansurfacetemperaturesby3degreesCelsiusormore.Theimpactsofsuchadrasticinterventiononvariousregionshavenotbeenmodeledandits actual implementation is very uncertain. Suchmethods are not included in this over-view.

Energy Initiallyreducingandultimatelyeliminatingfossilfuelconsumptionisthemostimportantactiontowardsthenetzerogoal.Alotofthecarbonreductionproposalsinallsectorsde-pendontheavailabilityofcleanrenewableenergy.Itisacomplexproblemwhichwillre-quirelargeinvestmentsandvariedtechnologicalknowhow.Improvingtheenergyefficien-cyof industrieswhoseoperationsrequire largeamountsofenergysuchassteel,cement,chemicalsandfertilizerisdifficultandshouldbeaprioritytoreduceenergyintensityand

36Shell,BP,andTotalrecentlyannouncedtheirplanstoreduceproductionoffossilfuelsandinvestinrenew-ableenergy.UtilitieslikeDominionEnergyarealsoinvestingheavilyinwindandsolarpowertoreducetheirdependenceonfossilfuels.37SeeWorldBankReport#78281AssessingLow-CarbonDevelopmentinNigeria:AnAnalysisofFourSec-tors,202038 This publication covers the adoption of mobile technologies in addressing climate change -https://www.gsma.com/mobilefordevelopment/resources/the-role-of-digital-and-mobile-enabled-solutions-in-addressing-climate-change/?utm_source=staff&utm_medium=referral


henceenergydemand.Theexisting legacy investments in fossil-fuelbasedpowerplants,mainlycoal,however,poseabigproblem,particularlyfordevelopingcountrieswhichhaverecentlyinvestedintheseplantssotheyhavemanyyearsofusefullife.Oftentheprojectsarepayingoffloansusedtofinancetheplants.Onesolutioniscarboncaptureandseques-tration(CCS)ofCO2emissions. Thetechnologyhasevolvedsignificantlyalthoughitsap-plicability is limited by the scale, complexity and economics of a particular location andproject.Sincefluegasescontain100timesthenormalatmosphericcarbondioxidelevels,CCScanbeanefficientmechanismofcarbonremovalinthiscase39.Therearesixdifferentprovenwaystoextractcarbonfromtheatmosphere40includingnaturalprocessessuchasforestsandsomefarmingmethodsaswellasoceanfarmingofRhodophytaseaweedwhichabsorbsbicarbonatesinoceanwater41.Establishedtechnologiesincudesbioenergyandcarboncapture(BECCS)whichisthemostmatureofallthecarbonremovaltechnologies,asbothbioenergyproductionandCCShavebeenseparatelyprovenatcommercialscale.Itisalsotheonlynegativeemissiontechnolo-gy currently included in themitigationpathways in the IPCC1.5-degree scenarios (IPCC,2018). BECCS has been successfully used in a biomass fueled power plant in the UK (Drax Plant) aswellasinsmallerwastetopowerplants42.Directcarboncapture(DAC)hasmadeprogressandanewon-demandcarbonsequestrationservicehasbeen justannounced.AnewcarbondioxideremovalservicewaslaunchedbyCarbonEngineering(CE)thatallowscustomers to purchase the removal of carbon dioxide from the atmosphere using CE’slarge-scaleDACtechnology43. Shopify,a leadingglobalcommercecompany,hassignedonasthefirstcustomerfortheservice,reserving10,000tonesofpermanentcarbonremovalcapacity from a large-scale DAC project. The carbon dioxide removal will be achievedthrough CE’s plant development partner, 1PointFive – the US development company cur-rently engineering CE’s first industrial-scale facility that is expected to be operational in2024.

Eliminatingsubsidiestofossilfuels,adoptinganappropriatesocialpriceofcarbon,andre-flectingthisinthepricingofgoodssuchaswater,chemicals,cement,steel,andenergyare

39Friedmann,J.,Zapantis,A.andPage,B.(2020)Net-ZeroandGeosphericReturn:ActionsTodayfor2030andBeyond. Available at: https://www.globalccsinstitute.com/resources/publications-reports- research/net-zero-and-geospheric-return-actions-today-for-2030-and-beyond/.40https://www.wri.org/blog/2020/06/6-ways-remove-carbon-pollution-sky41https://bmcplantbiol.biomedcentral.com/articles/10.1186/s12870-020-02629-442TheprincipleofBECCSisthatbiomassisgrownandusedforenergypurposes.BiogenicCO2istypicallycountedasanet-zeroemissioninmostgreenhousegasaccountingschemes.Therefore,ifsomeofthebiogen-icCO2iscapturedandstored,thisisanetreductionofCO2fromtheatmosphere.43Foundedin2009,CEisaCanadian-basedcleanenergycompanyfocusedonthedeploymentofDirectAirCapture(DAC)technologythatcapturescarbondioxide(CO₂)directlyfromthe atmospheresoitcanbeper-manently storeddeepundergroundorused toproduce clean, affordable transportation fuels. FromapilotplantinSquamish,BritishColumbia,CEhasbeenremovingCO₂fromtheatmospheresince2015andconvert-ingitintofuelssince2017.Withitspartner1PointFive,CEisengineeringacommercialscaleDACfacilitythatwillcaptureonemilliontonsofCO₂peryear,equivalenttotheworkof40milliontrees.Moreinformationcanbefoundatcarbonengineering.com.


strong market signals to consumers to adopt efficiency and use inputs economically. Acomprehensivesetofmarketpricingmeasuresinallsectorscanensurethatresourceswillbeusedefficientlyandobsoletemethodsandtechnologysuchasblast furnaceswouldbescrapped.Notetheemphasisonmarketsettingpriceswhichreflectthesocialpriceofcar-bonoracarbontax.Thesepolicyactionsneedtobe takenat thehighest levelsofallna-tionalgovernmentsand implemented inallsectors(see footnote20onPresidentBiden’sactiononincreasingthesocialprice/costofcarbon).Themedianeedstoplayasignificantrole in this effort in educating the public about the negative impacts of climate changecausedbyfossilfueluseandtheuseofcarbonleviestoshiftpurchasingbehavior.Ultimate-ly, the success of these policies depends on public understanding and acceptance of theshortterm,highercostsofcarbonpricing.China,USAand Indiaare the three largestGHGemitters in thatorder,althoughonapercapitabasis,Indiaisoneofthelowestintheworld.PercapitaGDPandpercapitacarbonemissionsarecloselycorrelated.ThepreviousUSgovernmentactivelyunderminedregula-tionsandprojectstoreducecarbonemissions.WiththenewBidenadministrationrejoin-ingtheParisAccord,amoreaggressivecarbonmitigationprogramisbeingadopted.How-ever, this four-year lapse inadopting carbonmitigationhasmade the taskmoredifficultnotonly for theUSAbut for theworldby signaling that theUSAdidnot considerglobalwarmingtobeaseriousissuerequiringconcertedaction.PresidentBidenhasannouncedthegoalfortheUSAtoreachnetzeroemissionsby2050.TheUSprivatesectorhasinde-pendently recognized the realityof climate change and isproceeding swiftlywithdecar-bonizingactions.Intheenergysector,advancesinsolarpowerandwindpowergenerationhavebroughttheirnominalcostofelectricityclosetoorthesameasthemostefficientfos-silfuelpoweredplants.ArecentauctionbidfromasolarbidderinIndiatosupplythegridwaslessthanUS3centsfora250MWplant.

Chinahassetitsnetzeroemissionstargetfor2060.Itiscurrentlytheworld’slargestpro-ducerofwindandsolarenergy,andthelargestdomesticandoutboundinvestorinrenew-ableenergy.Fouroftheworld’sfivebiggestrenewableenergydealsweremadebyChinesecompanies in2016.Asof2017,Chinaowned fiveof theworld’s six largest solar-modulemanufacturingcompaniesandtheworld’slargestwindturbinemanufacturer.Ofthe7,623TWh(tera-watthours)electricityproducedinChinain2020,261TWhwasgeneratedbysolarpower,equivalentto3.4%oftotalelectricityproduction.However,thiswasalmosta300 % increase since 2016, when production was 67.4 TWh, equivalent to an annualgrowth rate of 40%.Hydroelectricity is currently China's largestrenewable energysourceandthesecondoverallaftercoal.China'sinstalledhydrocapacityin2015was319GW,upfrom172GWin2009,including23GWofpumped storage hydroelectricitycapacity.In2015,hydropowergenerated1,126TWhofpower,accounting forroughly20%ofChina's totalelectricitygeneration.

China’stotalgridconnectedwindpowercapacityin2020isestimatedat71.7GW,ahugeincreaseover2019of about41GW.According to theBeijingDeclaration,Chinaplans toinstall50GWofnewwindpowercapacityannuallyfrom2021-2025andmorethan60GWannuallyafter2026 to reach itsnetzero targetby2060.This surge inwindpower illus-tratesthatlargeincreasesarepossiblewithfundingandresolve.Solar water heatingisalso


extensivelyutilizedinChina,withatotal installedcapacityof290GWattheendof2014,representingabout70%ofworld'stotalinstalledsolarthermalcapacity.Thegoalfor2050istoreach1,300GWofSolarCapacity.Ifthisgoalistobereacheditwouldbethebiggestcontributor to Chinese electricity demand. This simple technology, often overlooked,shouldbemorewidelyadoptedeverywhereas it isextremelycosteffective.While its in-vestment in renewable power is laudatory, its overall net zero program appears incon-sistentascoalpoweredelectricityplantswillcontinuetooperate,generatingvastamountsofcarbonemissions.Thenew14thfive-yeardevelopmentplanfor2021-25hasnoprovisiontoclosecoalpow-eredplants.Coal remains at the heart of China’s flourishing economy. In 2019, 58 percent of the country’s total energy consumption came from coal, which helps explain why China accounts for 28 percent of all global CO2 emissions. And China continues to build coal-fired power plants at a rate that outpaces the rest of the world combined. In 2020, China brought 38.4 GW of new coal-fired power into operation, more than three times what was brought on line everywhere else.A key risk to China maintaining a ‘moderately prosperous society’ remains a lack of cheap ener-gy to drive its economy. Atotalof247GWofcoalpowerisnowinplanningordevelopment,nearly six timesGermany’s entire coal-fired capacity.Chinahasalsoproposedadditionalnewcoalplantsthat, ifbuilt,wouldgenerate73.5GWofpower,morethanfivetimesthe13.9GWproposedintherestoftheworldcombined.Lastyear,Chineseprovincesgrantedconstructionapprovalto47GWofcoalpowerprojects,morethanthreetimesthecapacitypermitted in2019.Chinahaspledged that its emissionswill peakaround2030,but thathigh-watermarkwouldstillmeanthatthecountryisgeneratinghugequantitiesofCO2—12.9billionto14.7billiontonsofcarbondioxideannuallyforthenextdecade,orasmuchas15percentperyearabove2015levels44.OtherdevelopingcountriessuchasIndiahaveincreasedsolarpowergenerationfive-foldinthepastfiveyearsandhavethepotentialtodomuchmore.Renewablesourcesofpowerin India, including hydro, accounted for 36%of total power generation from all sourceswhichamountedto1,600TWhin2020.About55%ofIndia'stotalcommercialenergyde-mandismetthroughthecountry'svastcoalreserves.Transitioningtocarbonfreeenergyiscritical tomeetingtheGHGchallenge.TheannualpercapitaCO2generationinIndia isabout1.6mmt compared to16.2mmt in theUSA.Evenwith a treblingof electricityde-mandinIndiaby2035,CO2generationwillbelessthanone-thirdtheUSlevelpercapitain2035.ElectricitydemandinacountrylikeIndiawherepercapitaconsumption(basedontotalconsumptionacrossallsectorsdividedbythepopulation)isabout1200kwhperyearnow, is likelytotripleby2035as incomesincreaseandmoreelectricalequipment isuti-lized. Individual householddemandmaybe aquarter of this. Contrast thiswith theUSAwhereaveragepercapitaconsumptionisabout7200kwhandSingaporeandJapanat3700kwh. This is partly due to smaller size homes in India. But this number says somethingaboutenergyefficiencyoftheUSAgiventhatmosthomeheatingiswithnaturalgaswhichisnotreflectedinthesenumbers.

44ThissectiononChina’scoal-basedpowergrowthisbasedonanarticlepublishedMarch24,2021-https://e360.yale.edu/features/despite-pledges-to-cut-emissions-china-goes-on-a-coal-spree


India’sInstalledElectricityCapacityandprojection(Source:CentralElectricityAuthority)

Perhapsmore than that of any othermajor economy, India’s future energy demand de-pends on yet-to-be-built buildings and vehicles. The International EnergyAuthority esti-matesnearly60%ofIndia’sCO2emissionsinthelate2030swillcomefrominfrastructureandmachinesthatdonotexisttoday.ThisrepresentsahugeopportunitytosteerIndiaon-toamoresustainablecourse.IfIndiafollowsthispath,itneedstoaddressthecriticalchal-lengeof the industrial sector throughefforts likemorewidespreadelectrificationofpro-cesses,greatermaterialandenergyefficiency,theuseoftechnologieslikecarboncapture,andaswitchtoprogressivelylower-carbonfuels.Electrification,efficiency,andfuelswitch-ingarealsothemaintoolsforthetransportsector,alongsideadeterminedmovetobuildmore sustainable infrastructure and shiftmore freight onto India’s soon-to-be-electrifiedrailways(elaboratedintheindustrysection).Asmentioned earlier, the reliability ofwind and solar renewable power depends on theavailabilityofenergystoragebackupfacilities.Thecostofbatterystorageisfallingrapidly(seefigurebelow),andgridstoragecapacityintheUSAisincreasingwithnewfacilitiesbe-ingconstructedat thescaleof350MWhsuchas theones inSanDiegoandFlorida.ElonMuskofTeslaannouncedplanstoconstructabatterystoragepilotplantof10GWhwiththegoalofexpandingto200GWh.ThenewTesla4680BellmodelEVbatteryisclaimedtohavea500%higherenergydensitythantheoldmodel.Thenewdesigninvolvingtablesscylindricalcellsandwithsuperchargingwillincreasevehiclerangesignificantly.Thisisab-solutelynecessaryforenablingthetransitiontonetzerointransportbyallowingdeploy-mentofEVinheavytrucks(seeTeslaAnnualReport2020). GMalsorecentlyannounceditsplantostartproducingEVsonalargescaleusingitsnewlithiummetalbattery-Ultiumwhichwilldouble therangeof itsBoltEVandhasplans toproducea1000HPHummer.FordalsohasanewelectricMustang.ChinahasseveralEVproducers.Newbatterytech-nologiesareevolving such as Vanadium Flow batteries.


Li-ion battery pack historical prices and price projections (Source: Bloomberg NewsEnvironmentFinance2019)

Advances ingrid levelbatterytechnologyandenergystoragebasedonhydrogengenera-tionwith surpluspower should enable self-reliantdistributedpowernetworksbasedonrenewable energy to provide reliable power on a 24/7 basis off grid. The figure belowshowstheincreaseingridstorageprojectedoverthenextdecadebytheU.S.DepartmentofEnergy(DOE),by2030, thestationeryand transportationenergystoragecombinedmar-ketsareestimatedtogrow2.5–4terawatt-hours(TWh)annually,approximately three tofive times the current800-gigawatt-hour (GWh)market. By2030, annual globaldeploy-mentsofstationarystorage(excludingPSH)areprojectedtoexceed300GWh,represent-inga27%compoundannualgrowthrateforgrid-relatedstorage.


Annualglobalstationarystoragedeploymentprojection(Source:DOE,EnergyStoragegrandchallenge) Recognizing the transformativepotentialofbatteryenergystorageandthe imperative tolimitclimatechangeandachievesustainablegrowth,IndialaunchedaNationalMissiononTransformativeMobility and Battery Storage (NMTMBS, 2019) thatwill support the de-ploymentofbatterystorageinbothe-mobilityandacrossthepowersector,withtheobjec-tiveofreducingIndia’senergyimportdependence,byreducingdirectoildemandandin-creasingtheuptakeofrenewableenergyinthepowersector.Hydrogenoffersapathtoefficientenergystorageoftheexcesselectricityproducedbyin-termittentrenewablesources.Hydrogenalsoprovidesanefficientenergysourceforheavytransportationsuchasshipsandindustrialuse.Over$300billionofinvestmentsinhydro-genprojectsareunderwaycurrently45.SaudiArabiaisplanninga$500billioninvestmentinsolarpower-basedhydrogenproductionwhichwillbeconvertedintoammoniaforex-portinabidtoreduceitsdependencyonfossilfuels.Greenhydrogenisproducedbyusingrenewableenergyratherthanfossilfuels.Thecurrentcostofproducingakilogramofhy-

45Thereport “HydrogenInsights2021:APerspectiveonHydrogenInvestment,DeploymentandCostCom-petitiveness”releasedbyHydrogenCouncilincollaborationwithMcKinsey&Companyshowsover30coun-trieshavereleasedhydrogenroadmapsandgovernmentshavecommittedpublicfundingforhydrogentech-nologies.Globally,228large-scaleprojectshavebeenannouncedwith85percentlocatedinEurope,Asia,andAustral-ia. These include large-scale industrial usage, transport applications, integrated hydrogen economy, infra-structure,andgiga-scaleproductionprojects.


drogenisalittleunder$5,accordingtotheInternationalRenewableEnergyAgency.SaudiArabia possesses a competitive advantage in its perpetual sunshine and wind, and vasttractsofunused land. TheprojectHelios’scosts likelywillbeamongthe lowestgloballyandcouldreach$1.50perkilogramby2030.Thatischeaperthansomehydrogenmadefromnon-renewablesourcestoday.GreenHy-drogenbasedonbiomassofferscarbonfreeenergythroughlargeandsmallfuelcellsbasedonadvancesinelectrolysistechnology.Thesetechnologiesarerapidlybecomingcommonplaceandhavethepotentialtorevolutionizeconventionalpowersystems.OthercountriesintheMiddleEastandNorthAfrica,suchasLibya,NigerandChad,alsooffervastpotentialforsolarpowergenerationandintercontinentalenergytradewithEuropethroughunder-sea power cables. Such projects could replace fossil fuel generation in a significantway.Implementationwillrequireahighlevelofsecurityandtrustinthesegovernmentsbeforeinvestorswouldbewillingtoinvestthevastsumsinvolved.Theadventofsmall (2-5mw),highlysafeceramicencapsulatedelectricitygeneratingnu-clearreactorsfromtheUltraSafeNuclearPowerCorporationoffersenormousopportuni-ties forgeneratingcarbon freepowerata long-term fixedprice, reducingrisk.AdvancedpowercontrolsystemsintandemwiththesereactorsnowallowcostcompetitiveoffgridpowersupplytoUSdefensebases.Thesamesystemsareavailabletohospitalsandotherfacilitiesandcouldsupplypowertosmallcitiesatacompetitiveprice. Newcompactnu-clearreactordesignsarealsoemergingbasedon liquidsodiumcoolingrather thanpres-surizedwaterenablinghighertemperatureoperationsandstorageofenergyusingmoltensalt,similartotechnologyemployedbyparabolicmirrorbasedsolarpowerunits.BillGatesisinvestinginnewnuclearpowertechnologiesthroughtheNatriumproject46.Hydropowerhas longbeenan importantsourceofrenewableenergy inmanycountries.Butitisadouble-edgedsword,affectingtheecosystemandwildlifeincatchmentareasandneedstobewellplanned.Asanexample,theBlueNileDam--whilebeneficialtoEthiopia--canimpactthelivelihoodsofmillionsoffarmersandcitiesinEgyptandtheSudanwhoaretotally reliant on theNile forwater. Chinese plans to build hydro power projects in theTsangPowhichisthenameoftheBramhaputrariverinChineseterritoryiscontroversialas itcanaffectwateravailability inBangladeshand Indiabyreducing the flow inAssam,India.

46TerraPower, founded by Gates in 2008, is developing two separate SMR technologies. Thesodiumfast reactorused in theNatrium concept produces large volumes of heat over and abovewhat is re-quired to drive its steam turbines. The company has previously flagged this as a potential source ofprocessheatorforenergystorage.NatriumisbeingdevelopedinpartnershipwithGEHitachiNuclearEnergy. Itcouldbeusedtoboosta345-megawattsmallmodularreactor(SMR) toaround500mega-wattsforaperiodofuptofivehours.


Agriculture Thisisanareawithenormoussignificancebecauseitemploysthelargestnumberofpoorpeopleindevelopingcountries:almost70%ofthelaborforceinIndia,ofwhichupto80%arewomen,areemployedinagriculture.Moreover,thepercentageofwomencomingfromthedisadvantagedstrataofsociety is90%anddisruptions inagriculturalproductioncanhurtthepoorest.Agriculturehasenormousimplicationforclimatechangebutalsooffersthe potential of significant greenhouse gas emissions reduction47as a carbon sink (seefootnote27also)dependingonwhatcropsaregrownandtheuseoflandforforestswhichcanbeutilizedlaterforeconomicpurposes48.However,wrongdecisionsoncroppingpatternscaninflictseriousdamagetotheenviron-mentatahugehumancost.TheAmazonrainforestsareanenormouscarbonsinkandsig-nificantlycontributetoreducingGHGlevels.However,arecentstudyshowsthatthecar-bonstoragecapacityofAmazon treesaredeclining.49Brazilhaspermitted indiscriminategoldminingandexploitationof forest resourcesnegatingmuchofGHGreductioneffortsmadebythecountryelsewhere.PresidentBidenhasofferedBrazil$20billionascompen-sationtostoptheindiscriminaterainforestexploitation50.Thesepositiveincentivesneedto be accompaniedwith negative ones such as tariffs on Brazilian agricultural productsproducedonpreviouslyforestedland.Thismightbecontroversialtosome,butboldactionisrequired.Forestshavebeenusedascarbonoffsetsbyfirmswhohaveinvestedincarbongeneratingprojectssuchasachemicalplant.Theideaistooffsetthecarbonproductionoftheprojectoractivity,e.g., a flight fromWashingtonDC toLondon,witheitherenlargingtheareaofforestsorpreservingforestswhichwouldhavebeencutdown.Manyfirmshaveusedthis“getoutofjailcard”toclaimcarbonneutraloperations.However,manyoftheseclaimsaredubiousandsomeenvironmentalNGOshavebeenexposedinthemediaforar-rangingsuchtransactions.Also,thecarbonstoredinforestsmustremainintreesforover100yearsaccording toexperts.Theother fundamentalweaknessof theoffset concept isthatitdoesnotchangetheprojectsponsor’sbehaviororincentivestoreducecarbon.Last-ly,thereisatimingmismatchissueinthesensethatanewforestwilltakealongtimetogrowandabsorbthecarbongeneratedbyanairjourneyofsixhoursoraproject’scarbonproducedoverfiveyears.Overall, fossil fuels are essential for modern, mechanized agricultural production systems. Petro-leum products are used directly to power tractors, machinery, and irrigation, and to transport, transform and package agricultural products. They are also used to manufacture fertilizers and

47InDecember2020, subnational governments,UNagencies, andnon-governmental organizationsworkingonfoodsystemsandclimatechangelaunchedtheGlasgowFoodandClimateDeclaration.ThisacknowledgestheimportanceofGreenhouseGas(GHG)emissionsofcurrentfoodproductionsystemswhichaccountfor21-37%oftotalemissionsproducedbyallsectors.48Todeliverthisclimatechangemitigationgoal,countriesaimtoachieve“abalancebetweenanthropogenicemissionsbysourcesandremovalsbysinksofgreenhousegasesinthesecondhalfofthiscentury”(ParisAgree-ment,2015).Sinksaredefinedas“anyprocess,activityormechanismwhichremovesagreenhousegas[...]fromtheatmosphere"(UnitedNationsFrameworkConventiononClimateChange,1992).49https://apple.news/ACJxE8CMdTYu4CbnnKkmdJw50https://earthinnovation.org/2020/03/joe-biden-offers-20-billion-to-protect-amazon-forests/


pesticides and prepare seeds (See reports from the UN Environmental Program). Nitrogen ferti-lizer is the biggest energy consumer in non-organic production. The production of one ton of ni-trogen fertilizer utilizes one to one and a half tons of equivalent petroleum (Food and Agricultur-al Organization, Rome). Moving to organic farming can reduce dependency on fossil fuels but is fraught with risk as modern agriculture produces vast amounts of grain and other foods which feeds the population of the world with adequate reserves in case of weather emergencies. Also, the diet of populations of poorer countries is changing towards more animal-based products which increases the demand for animal feed such as based on soya beans and other crops. China is the largest importer of US soya beans for animal feed, most of which is used to feed pigs. Pigs produce 1.5 kgs of methane every year compared to cows which produce 100 kgs me-thane/year/head, a gas which is 20 times more potent in terms of GHG equivalency to CO2. India has some 300 million cattle or about 20% of the world population. Cattle (excluding buffaloes) are an important part of the religion, culture and society of India and the numbers will be ex-tremely difficult to reduce, almost as hard as changing religious practices (imagine riots and civil wars over conversions). Nevertheless, reducing the cattle stock in India should be a priority which is not even on the table in climate action programs when it comes to reducing emissions. Innovationsinsyntheticmeatproductsmightreducethedemandforanimalmeatbuttheirmarket acceptance is highly uncertain. Some reduction in fossil-fuel based agriculture ispossible throughadoptionofmodernecological farmingpractices.For instance,someor-ganicfarmsandregenerativecrop-systemsuseapproximatelyhalftheenergyofthatusedby industrial agriculture andhave thepotential to significantly“drawdowncarbon fromtheatmosphere”.Inthesesystems,convertingtono-tillmethodswhichallowtheproducerto phase out the use of pesticides and fertilizers were shown to be effective astheysignificantlyreducedfossilfueluse.Thesealternativeapproachesarebasedontheuseofmorerenewablesourcesofsoilfertility,e.g.,recyclingcropwaste,long-termrotations�methodsthathelptodecouplefoodproductionfromthefossilfuelindustrywhichhasal-ways been at the core of conventional farming51. Mobile communications and smartphonesofferan inexpensivepathwayto improvefarmingefficiencybyprovidingfarmerstimelylocalinformationonweather,cropdiseasesandpricesamongmanyothertopicsen-ablinggreaterproductivityandlessenergyandinputuse.SeeFootnote33fordetails.

Water Use in Agriculture Thetextileindustryisalargewaterusageindustrystartingwithcottongrowingandend-ingwithfinishedtextiles.CottongrowingcanbeveryprofitableandthishasledcountrieslikeUzbekistantoengageinmonocroppingleadingtoseriousenvironmentaldegradation.The Aral Sea has all but vanished. In India, cotton cultivation employs over 50 millionworkers and a huge number in upstream value chains leading to the finished garments.Cottonisgrownonland,halfofwhichis irrigated.Yettheareasundercottonareexperi-encing thehighestwater stress levels according to theWorldResources Institute (WRI).AccordingtotheWRI,Indiaisonthebrinkofawatercrisiswhichisvisibleinlargecities

51Energy-smartagriculturalsystems:decouplingoilfromfoodproduction,AnaBenolielCoutinho,PublishedbyDevelopmentAid,February,2021


suchasChennaiandNewDelhi,whichhasseriouswatershortagesandlimitedwateravail-abilityinthepoorerareas.Thewatershortagehasledtobankruptcyofcottonfarmerswhohaveusedhigh-pricedgeneticallymodified seedswhich requirehigh levelsofwater andfertilizer. Many highly indebted farmers have committed suicide unable to repay bankloans.Improvementinthesustainabilityofcottonfarmingrequiressignificantchangesinfarmerbehaviorthroughcontinuouseducation.Soilandwaterresiliencyhavetobestrengthened.Waterbudgetingtohelpfarmersunderstandwateravailabilityanduseisessential.“Farm-ersonlyunderstandthevalueofwaterwhenthewellgoesdry”. Demandsidemeasuresareimportanttoreducewateruseandallocation.Supplysidemeasuressuchasrecyclingwastewater can increasewater availability. The Institute for SustainableCommunities inIndia suggests a three-prongedapproach: (1)Robust education andextensionprograms,(2)Bettermarket linkages including certificationofproducts as sustainablyproduced toprovide incentives topractice sustainable farmingand (3) the convergenceofwater andagriculturalpoliciestoensuresustainablefarmingforcommunities.TheMAISProgram(ModuloAgroclimáticoInteligenteeSustentável) ishelpingfamilyagri-culturaloperationsadapttoclimatechangeintheJacuípeBasin,Brazil’ssemi-aridregion.Itisoneofthefirsteverclimatesmartagriculturalprogramstomainstreamclimatedisrup-tive technologies among farmers in Brazil. The Program helps farmers implement bestpractices inanimalnutrition, farmmanagement, foodandwatersecurity,andrestorationofdegradedpasturelandsoiltohelpthempreparefortimesofintensedroughtandensurefoodsecurityintheregion.Over3tonnesofCO2isestimatedtobeoffsetforeachhectareof restored pastureland. The Program has also resulted in a 30% improvement in pas-tureland,a50%decreaseinthewaterfootprintofthearea’sfarmsanda30%reductioninproductionfluctuations.EachUSdollarinvestedintheprogramhasgeneratedaboutUSD7intheJacuipeBasin.

Urban Sector Water Supply People in cities in developing countries are being increasingly impacted by black swanevents (unexpected, rare events with severe consequences) in temperature and rainfallwhicharedrasticallyreducingaccesstopotablewater.Forexample,inChennai,India,po-tablewaterissoscarce,thatwatertankersfromlongdistancesaresupplyingwatertores-identsatveryhighcosts.Industrysuchasautomobilemanufacturingisaffected,reducinginvestmentsandjobs.Thereareahostofmeasureswhichthecommunityandthegovern-mentcantaketoaddresstheproblemandrespondconstructivelytoadapttodroughtsandheatwaves.Somearetechnologicalsuchasincreasedwaterharvesting,moreefficientuseofwaterinhomesandindustry,reductionofnon-revenuewaterbywatersupplycompa-niesandorganizations,andwidenedaccesstowatersourcessuchasthroughdesalinationand recycling of waste-water. Policies to promote conservation and more efficient usewouldneedtoincludefullcostrecoverypricingofwaterincludingadoptionofwaterme-teringandprogressivetariffstructurestoprotectthepooraswellasmarket-basedpricingofwaterforindustrialusers.Educatingbothconsumersandlocalgovernmentsisawaytoaddressthischallenge.Chennaiisnottheonlycityfacingthisproblem.NewDelhi,Dhaka,Bangkok,Manila, etc. all face this problem.What is thebest approach to addressing this


probleminaholisticway?PerhapsanAppcanbedesignedtohelpeducateandtrainresi-dents/consumersinvariousaspectsofconservingwaterandinformthemofcurrentandmedium/longer-termforecastsofrainfall,climaticvariablesandpestafflictionsspecifictotheirlocationstohelpthemadapttoclimatechangeonarealtimebasis.Accuweather,anApp available on smart phones in theUSA, provides a detailed short term localweatherforecastforthespecificlocationoftheuseraswellasweatherrelatednews.Moregeneral-ly,anApplikethisfromthenationalweatherauthoritieswithlinkstofarmingandcropin-formation would be invaluable to farmers. Initiatives involving digital communicationtechnologybeing implemented in these areas are covered in theGSMApublicationmen-tionedinfootnote33.

Industry and Construction The industry and construction sectorsofferhugepotential and challenges for carbon re-duction.The industrialsector includesheavyindustryandmanufacturing inseveralcate-gories:cement,chemicals,steel,aluminum,paper,mining,manufacturing,foodprocessing,wasteprocessing,andothermanufacturingandprocessingindustries.Theseindustriesarediverse, and so there is no one solution for reducing emissions in all heavy industries.Many, however, are energy-intensive, consuming about 40 percent of global energy de-mand.Directemissions fromheavy industrymakeupbetweenone-fifthandaquarterofglobal greenhouse gas emissions. Industrial activities emit carbondioxide (CO2), nitrousoxide,methane,and fluorinatedgases—allpotentGHGs.Approximately76percentof in-dustrialGHGemissionsisCO2.Ironandsteelproductionandcementproductioneachcon-tributeabout27percentofthesector’sdirectCO2emissions.Chemicalsproductionemits15percent,andaluminum,pulpandpaper,andother industriescollectivelymakeuptheremaining 31 percent. Excluding the emissions frompurchased electricity, the twomainsourcesofGHGemissionsintheindustrialsectorareenergyusedforheatandconversionprocesses.Manyheavy industries requirehigh-temperatureheat,which isusually generatedby thecombustionoffossilfuelsandismoredifficulttogenerateusingelectricity.Somealterna-tivesources,suchashydrogenmadefromrenewableelectricityorelectricresistanceheat-ingfromrenewablesources,arecomingintousebutwillrequirefurtherresearchandde-velopmentand/orrapiddeploymentandquickscalingtodecarbonizethesectoronatime-linerelevanttothe2050deepdecarbonizationgoal.Someprocesses,suchasironandsteelproductionorammoniaproduction,alsogenerateemissionsintheproductionprocess,sodecarbonizingthemwillrequirenewprocessesratherthansimplysubstitutingadifferentenergy source52. New initiatives are emerging to address this problem. For example,StartupBostonMetalismarketingitsmetaloxideelectrolysisprocesswhichitclaimswillconvertironoretoironandoxygenwithelectricityinsteadofusingnaturalgas(directironreduction)orcokingcoal.ThiswouldavoidtheCO2emissionsfromthecokingcoal,lime-stone,oranyofthevariousprocessingfacilitiesinvolvedinthesteelmakingprocess.Simi-larly, inthealuminumindustry,AlcoaandRioTintohavepartneredtodevelopacarbon-

52Thissectiondrawsondataandfindingsfromthepaper“ClimateSolutionSeries-DecarbonizingHeavyIn-dustry,”CenterforStrategicandInternationalStudies,October2020


freealuminumsmeltingprocessthatreplacesthetraditionalcarbonanodewithaceramicone,eliminatingtheresultingcarbon.Bothofthesecompanieshavesecuredcustomersfortheir zero-carbon products, but itwill take time to bring their platforms to scale and toeventuallyreplaceconventionalfacilitieswiththeirzero-emissionstechnology.53 There is a need to rethink industrial strategies and policies.54 Some companies in developing countries have recognized the importance of reducing their carbon footprint by adopting energy saving programs. Infosys, the largest IT company in India aims to reach net zero in energy use by the end of 2020. However, no concrete plan has been provided to the public. A good Cli-mate Action Program would include initiatives such as: raising the awareness of enterprises of the environmental impact of inputs used, technologies employed, and environmental pollution generated and incentivize producers through tax and subsidies. Enterprises could be recognized for their contributions to climate change and adoption of mitigation and adaptation measures and be awarded gold, silver and bronze medals like in the UK which awards the Queen’s medal for excellence in exports. Private groups have started to engage in assessing firm compliance with commitments. A group called Zero-Carbon 2030 monitors firm’s performance and rates pro-gress. Financial institutions could be educated to play an active role in assessing the climate im-pact of projects when granting loans. The International Finance Corporation as well as over 100 financial institutions use the Equator Principles55 in assessing the environmental impacts and sus-tainability of investments before committing to project financing.

Construction, Buildings and Communities Construction is a large source of GHG emissions because the rawmaterials used in con-struction– cement and steel - are extremely carbon intensive toproduce. Recyclingoldbuilding material for use in new construction offers potential for energy savings.Hochstein,alargeconstructioncompany,recyclesupto82%ofbuildingmaterialsinmajorcivilengineeringprojects.Newdevelopmentsinconstructiontechnologynotonlyreducesmaterialandlaborcostsbuttheintensiveuseofheavyequipmentsuchasbulldozersandheavy truckswhichare largeemissionsources.Moreover,newbuildingdesignscansaveenergyandimprovesustainabilityovertheeconomiclifeofbuildings.TheUSGreenBuild-ingCouncilcertifiestheefficiencyofbuildingsusingasetofeightfactors:

• Energy efficiency and use of renewable energy. • Water efficiency. • Environmentally preferable building materials and specifications. • Waste reduction. • Toxins reduction.

53SeeCSISstudyhttps://csis-website-prod.s3.amazonaws.com/s3fs-public/publication/201005_Naimoli_Ladislaw_Climate_Solutions_Decarbonizing_Heavy_Industry.pdf54https://www.resources.org/archives/decarbonizing-global-industry/55TheEquatorprinciplesprovideaframeworkforfinancialinstitutionstomanageenvironmentalandsocialriskinprojects.Overtheyears,theEquatorPrinciplessignatorieshavedrawnfromtheInternationalFinanceCorporation’sextensivetechnicalresourcesandhaveworkedcloselywithIFCtodeveloppractitionermeth-odologyforenvironmentalandsocialriskmanagement.


• Indoor air quality. • Smart growth and sustainable Development.

LEED,whichstandsforLeadershipinEnergyandEnvironmentalDesign,isagreenbuildingratingsystem.BuildingsareratedatfourlevelsofefficiencyusingapointsystemwithPlat-inumbeingthehighestrating.Asof2017,6633buildingsintheUSAachievedthePlatinumcertification.Worldbuildingstockisprojectedtodoubleby2050.InIndiaasinmanyothercountries,halfofthebuildingstockexpectedtoexistin2040doesnotexistnow.Currentbuildingenergyefficiencylevelsinthemostefficientbuildingsarearound30%.Theselev-elscanbeincreasedto90%withnewdesigns,buildingmaterialandenergymanagementsystems. Energy efficient sources such as geothermal heating and high efficiency heatpumpscanreplacenaturalgaswhichisveryefficientbutproducesGHGemissions.Naturalventilationsystemsadoptedinbuildingdesigncanalsoreduceheat loads.Anancientex-ampleofthisprincipleistheGrandMosqueinDjenne,Mali,whichusesnaturalconvectioncooling.Retrofitting existingbuildingswould cost about $150per square foot but betterinsulationandenergymanagementcanachievesignificant improvementsata lowercost.Othercountries,suchastheUKandUAE,havealsosetupgreenbuildingstandardswhicharebeingintroduced.Urban energy modeling enables planners to focus on optimal ways to design neighbor-hoodstoreduceenergyuse.Solarradiationmapshelptoplanrooftopsolarinstallations.Mapdwell,abuildingoptimizationsoftwareprogramallowsbuildingdesignersanefficienttool for building energy optimization. Based on cutting edge baseline energy modeling,Mapdwellevaluatesdistributedenergyresources(DERs)likesolarPVandbatterystorageandplansupgradesaccurately56.Mapdwellallowsinteralia:

• Best-in-classenergysimulationandbuildingenergymodelingatthebuildinglevel• Easy-to-useconfigurationtoolsforinstantproject/upgradefeasibilityanalysis• Remoteinsightsbasedondeepvision(e.g.,existingsolarpanels,rooftopequipment

etc.)• Accesstobigscaledatatodiscoverandtargetpotentialcustomers• Intelligentparametricsearchbygeography,energy,demographiccriteria• Exportablereportswithfullconfigurationdetailsandbenefit/costanalysis

Advancesinusingsmartsensorsandartificialintelligenceinmanagingenergysystemsinhomesshowsthatenergyusecanbereducedsignificantly. Betterinsulationisextremelyimportant in reducingenergy transferbetween theexternal environmentand the inside.Whilehomesincoldclimateshavesomedegreeofinsulation,buildingsinhotclimatesusu-allylackanyinsulationbeyondthemasonryusedinconstruction,relyingonaircondition-ing to keep inside temperatures reasonable, but at the cost of very high energy use persquarefeet.IntheUSA,constructioncodesarebeingtightenedsothatbuildingenergyeffi-ciencymeetssomeminimalstandards.Also,statessuchasCaliforniaarerequiringbuilding56https://mapdwell.com/en/news/40-mapdwell-begins-rollout-of-fluxboard-energy-insight-platform-in-private-beta


materialstomeetenergyefficiencycriteriainproduction.Cementcompositionsarechang-ing and concrete mixtures are also being reformulated to reduce energy use. HolcimLafargecannowproducecementwith50%lesscarbonemissionsbutatabout5%highercost. Carbon dioxide in liquid form ismixedwith concrete to sequester the carbon andstrengthenthefinishedconcrete.Atthecommunitylevel,civicbodiesneedtoplanbettertoimplementclimatesmartcitiesand communities. Boston, for example, has taken multiple actions to reduce impacts offloodingandotherevents.Congress57couldhelplocalcommunitiesbecomeclimatesmartinthefollowingsixways:

• Providing new funding and financingmechanisms for local projects that promotegreeninfrastructure,microgrids,smartgrowth,andsmartandefficientbuildings.

• Incorporateresilienceprioritiesintofederalprogramsandprojects.• Provide federal incentives for cities and towns to adopt progressive building and

zoningcodes,retrofitbuildings,andde-riskcommunities.• Empowerlocalleaderswithclimatedataandplanningtoolstospurinnovativeresil-

ienceprojects.• Provide federal support to low-income communities to invest in their own resili-

ence.• Discouragedevelopmentinflood-proneareas,andequitablyaddressat-riskproper-

ties

Transportation Transportation isakeysectorwith the largestpotential to reduceGHGemissions.Presi-dentBidenhas recentlyannouncedapolicyof electrificationof federallyownedvehiclesincludingpostaldeliveryvehicles.Electricvehiclesofferaviablepath toreducingcarbonemissions and urban pollutionwhich impacts the health ofmost urban residents in theworld.NorwayhasmadetremendousprogressinEVadoptionwith54%ofallcarssoldin2020beingEVs.However,thehighinvestmentcostinelectricvehiclesisamajorproblem.IntermediatestepscanbetakentoreducingGHGfromcarsandtruckssoasnottomakeexistingvehiclesuneconomic.Forexample,biodieselscanbeaninexpensivewaytoreduceemissionsofdieseltrucksthroughouttheirusefullifeinasignificantway.Fleetoperatorsmightbemoreamenable to switching tobiodiesel insteadofwholesale investing innewelectric fleets.Oil and gas companies arebecoming interested in this approach.58 Othervariantsofelectricitypoweredvehiclesshouldbeconsidered. “Allvehiclebatteriesneednothavethehighestenergydensitywherespaceisnotapressingconstraint.Acombina-tionoflithiumbatteries,capacitors,flowbatteriesandhydrogenfuelcellsmightbeabettersolutionforheavytrucks.”59Increasedresearchiscalledforinmoreenergydenseandlarg-erstoragelithiumbatteries,fuelcells,Redoxflowbatteries60andlowcarbonfuelsaswell

57https://www.schatz.senate.gov/download/sccc-climate-crisis-report.58OilRefineriesseeProfitinTurningKitchenGreaseintoDiesel,NewYorkTimesDecember2,2020.59ThiscommentisfromJohnDabels,MITClimateActionGroupC,privatepostonDecember4,202060https://www.intechopen.com/books/redox-principles-and-advanced-applications/redox-flow-batteries-fundamentals-and-applications


as businessmodels for rechargingbatteries includingquickbattery swapping at gas sta-tions like swappingpropane tanks forgasgrills.Commonbatterystandards fordifferentclassesofvehiclesneedtobeadoptedaswellasregulations.Swedenisexperimentingwithchargingmovingelectricvehicleswithpowerrailsembeddedinsectionsofroads(dynamicrailcharging)whichwouldreducetheneedforchargingcenters.Asmentionedearlier,Tes-la’snewbatterydesignincreasesenergydensityandrangeverysubstantially.Car populations are likely to increase substantially in developing countries compared todevelopedcountrieswherethegrowthincarownershipnumbersisflattening.InIndia,thenumberofcars isexpectedto increase five-foldby2035whichwould increase fossil fuelconsumptiontremendouslyunlessEVsareintroduced.Low-costelectricvehiclesareneed-edwith limitedrangesincethedistancetravelled inurbanareas is limited.However, theswitch toEVswouldresult ina large increase inelectricitydemandand thereduction inGHGemissionswouldbesmallunlesstheelectricitytopowertheseEVscamefromrenew-ablesources. StudiesbytheInternationalEnergyAgencysuggeststhatthemainincreaseinelectricitydemandindevelopingcountrieswillcomefromthetransportsectorwiththeswitchtoEVs.Whilethefocusisonelectriccarsandtrucksindevelopedcountries, indevelopingcoun-tries more people currently use bicycles, rickshaws, mopeds and motorcycles. The pet-rol/gasordieselpoweredmoped/motorcyclesandauto rickshawsarearguablyabiggersourceofpollutantsandGHGgasesthancarsinmanycitiessuchasHanoi.Hybridelectricbicycleswithgeneratorsthatcanrechargebatteries indownhillsectionscangivetheseagreatrangeandreplacesmallmotorcycles,mopedsandautorickshawsinurbanenviron-ments. A system of prepaid charging cards or smart phone apps can be used for quickchargingofthesevehiclesfromelectricitykiosksinurbanstreetsthusensuring24/7avail-abilityofelectricity.Standardizationofbatteriesforsuchvehicleswouldalsoallowbatteryswappingatroadsidekiosks.Other transportationmodes also have great potential to reduce their carbon foot-prints.Two sub-sectors--air travel and long-distance ocean shipping—stand out. Studies showthat ocean shipping using tankers and large container vessels,which currently relies onheavyfueloilcanreduceemissionsbyswitchingtohydrogenpowerplants61.Aviationisamoredifficultsectortodecarbonizebecauseofthehighenergydensityofaviationfuel.Butbiofuelsarebeingdevelopedtosubstituteforjetfuel.Biofuelshavebeensuccessfullyusedbysomeairlines toreplace jet fuelsona limitedtrialbasis.Also,electricaircraftenginesarebeingdevelopedtoreduceemissions.However,thisisasectorwhichmayrequirecar-bonoffsetsinvolvingbiomassandforests.

61www.energy-transitions.org


Implementing Climate Action Programs It is importanttonotethatallsectorsare interrelatedandshouldnotbetreatedas inde-pendentsilos.Water,transport,commerce,servicesetc.,areallinterconnectedandactionsinoneareahaveimpactsontheothers.ThatiswhyaholisticapproachtotheCAPisessen-tial.Anoverarchingagency isneededat theapex levelof governmentwhichhas the fullsupportofpoliticiansanddecisionmakerstooverseetheprocessofformulatingandim-plementingtheCAPforthecountry,specificregions,sub-regions,cities,andruralcommu-nitieswithdecentralizedunitsatlowerlevelstoundertaketheworkwiththecollaborationof all stakeholders - individuals, civil society and non-governmental associations, thinktanks,educationalinstitutionsandlocalandregionalgovernmentsaswellasprivateindus-try,includingindustryassociations.TheCAPshouldbedesignedwithclearlydesignedper-formancemetricsreflectingtheclimategoalssoughttobeachievedwhichshouldbepub-lishedonthewebsiteoftheagency.Amonitoringandevaluationsystemshouldbeestab-lishedsothatresultsaremeasuredintermsofoutputs,outcomesandimpactsrelativetogoalswhicharespecifiedintheCAP.Mostdevelopingcountriesmayneedassistanceines-tablishingsuchanagencyandtrainingstaff.Internationalassistancewouldlikelybeavail-ableforthispurpose.EachcountryshouldestablishatthenationallevelaClimateActionProgramAgency(IuseCAPAasagenericterm),anoverarchingagencywhichwillworkcloselywithregionalandlocalgovernmentsandotherstakeholderstointroduceandintegrateclimatechangecon-siderationsandacceleratorsintotheeconomicdevelopmentplanspreparedbyothergov-ernmentagencies.Forexample, industrial strategyshould takeaccountofenvironmentalconsiderations,availabilityandeconomiccostsofnaturalresources,negativeexternalitiescreatedby industry includingwaterandairpollution,and theriskand impactof intenseweathereventsonsectorsandenterprises.TheIndustryDepartmentwithinCAPAwouldbeultimatelyresponsibleforpreparingandimplementingtheplan.Thesamewouldapplyfor infrastructureplanning foraregionwhere, forexample,CAPAwouldworkwithstateandmunicipalwatercompanies toensure thatwatersupplyandsanitationprojectsade-quately consider climate caused disruptions and problems. Close coordination with theprivate sector, particularly large firms, is essential for both plan preparation and imple-mentation.In some countries that already have economic development boards, these institutionscouldbebroadenedintoaCAPAtypeapexagencywhereclimatechangeistotallyintegrat-edintotheplanningandimplementationmonitoringprocess.Sectorministriesandagen-cies including stateownedcorporationswould still haveprimary responsibility in actualprovisionofservices,buttheywouldworkwiththeapexagencytoincorporateclimatefac-torsandprioritizethepoorintheirprograms.Thisalternativeapproachmightbeeasierforgovernments to accept as itwouldnot require the creationof a newapex agency, but itwouldmostlikelyrequirechangesinlawsandregulations.Experiencesuggeststhatalotof fundamental changes to planning andmonitoring processeswould be required for aninclusiveprocesstobeadoptedincludingnewtechnologiesbyexistingdevelopmentagen-cieswhichoften follow conventional approaches. Althoughan apex agency isneeded topreparetheoverallnationalpoliciesandplansforclimatemitigationandadaptations,suc-


cessfulelaborationof thenationalplanat the local levels(states,counties,cities)will re-quirecompetentlocalinstitutions.TheChineseexperiencewithsub-regionalandcitylevelclimateplanningandimplementationdiscussedattheendofthissectionhighlightstheim-portanceoflocalleadershipandcapability.Creatinganewapexagencyortransformingandbroadeningthescopeofanexistingagen-cysuchasaneconomicdevelopmentboardrequiressignificantinstitutionbuildingeffortsincludingbringing innewtechnologies, informationanddataprocessingcapabilities,andexpertise inpolicyandproject formulationaswellas inresults-basedmanagement.Staffwouldhave tobe trained inconductingsurveysusing, forexample, remotesensing tech-nologies, largedata setsand results interpretation.Monitoring,Evaluation,ResearchandLearning (MERL) is a rapidly growing fieldwith the use of big data and artificial intelli-genceforbetterplanninginterventionsindevelopmentandhumanitarianprograms.SomeMERLpractitionershaverecentlybeguntousebigdataand,increasingly,datascienceandothermethodologies to incorporatebigdata into various stages in the identification, de-sign,management,monitoring,evaluation, reporting,anddisseminationof theirdevelop-mentandhumanitarianprograms.

Some Examples of Initiatives in CAP Preparation TheClimateandDevelopmentKnowledgeNetwork(CDKN)isaseven-yearinitiativefund-edbytheUKDepartmentforInternationalDevelopment(DFID)andtheDutchMinistryofForeignAffairs(DGIS).Startedin2010toassistdevelopingcountriesrespondtothechal-lengesposedbyclimatechange,itprovidesresearchandtechnicalassistance,andchannelsthebest available knowledgeon climate change anddevelopment to supportpolicypro-cessesatthecountrylevel.AkeyfeatureoftheCDKNisthatitisdemandled–respondingtogapsandneedsidentifiedontheground.TheCDKNisbeingmanagedbyanallianceofpartnersledbyPriceWaterhouseCoopersLLP(PWC)andcomprisingtheOverseasDevel-opmentInstituteandthreeregionalpartners–FundaciónFuturoLatinoAmericano(FFLA,LatinAmerica),South-SouthNorth(Africa)andLEADPakistan(Asia).Servicesareprovid-edthroughanetworkofcollaboratingorganizationsandindividualsaroundtheglobe.Kenya isoneofCDKN’s13prioritypartnercountries.CDKN’scontinuingcountrygoal inKenyaistoensuretheNationalClimateChangeActionPlan(NCCAP)isimplementedatna-tionalandsub-national levelsofgovernment,andthatnon-stateactors, includingthepri-vatesectorandcivil society,areengaged inclimatecompatibledevelopmentandhelp todrive this implementation. In addition to supporting the development of theNCCAP andKenya’s Nationally Determined Contribution. CDKN also has a diverse portfolio of otherprojectsassistingtheprivatesector,non-governmentalorganizationsandresearchinKen-ya.WithCDKNsupport,theflowersectorhasdevelopedacarbonreductiontoolkit,aseriesof briefing noteswith the Kenya Private Sector Alliance to communicate climate changerisksandopportunitiestothecountry’sprivatesector,andjournalistshavebeentrainedtoreportonclimatechange.CDKNhasalsofundedresearchtoreducefarmers’vulnerabilitythrough the provision of weather forecasting services, and research to understand theadoptionofsolarhomesystemstoimproveuptakeoflowcarbontechnologies.


IndrivingtheimplementationoftheNCCAP,CDKN’sgoalfortheKenyaCountryProgramalsoaimstosupportimprovedaccesstointernationalclimatefinance.Theprogramaimstosupportnotonlypolicyandplanningbutalso the implementationofappropriateclimatecompatibledevelopmentstrategiesandpriorities.It isenvisionedthatthroughenhancingdirectaccess to climate finance, theGovernmentofKenyawillbebetterable to leverageandchannelresourceseffectivelyfortheimplementationofadaptationactivitiesidentifiedintheNCCAP,ClimateChangeBillandFrameworkPolicy,NationalAdaptationPlan(NAP)andKenya’sNDC.Byworkingwithgovernmentandnon-stateactorsatnationalandsub-nationallevels,CDKNaimstoincreasepoliticalcommitmentandbuildinstitutionalcapaci-tythatdrivesclimatecompatibledevelopmentaction.Singapore,asmallislandstatewithoneofthehighestpercapitaincomesandstronginsti-tutions including advanced technological capabilities, has taken advanced measures tosafeguardtheislandfromclimateevents.62Itsresponsetotherecentglobalpandemicisexemplaryandindicativeofitscapacitytoimplementmitigatingmeasuresquickly,whicheventheUSAhasbeenunabletomount. Itwilltakea longtime,plentyofresourcesandpoliticalwill for developing countries tomatch the capacitywhich Singapore has today.Butitprovidesanexampleoftheingredientsneededtocombatclimatechangesuccessful-ly. Somedevelopingcountrygovernmentsalsohavemade substantial progress in preparing climate adaptation plans with the help of donors. HongKong,which isnowanadministrativepartofChina,announced its initial target in2010toreduceitscarbonintensityby50to60percentfrom2005levelsby2020.In2017,theHongKonggovernmentpublishedHongKong’sClimateActionPlan2030+reportinre-sponsetotheParisAgreement.Thereportdetailsthegovernment’scarbonemissionsre-ductiontargetfor2030andoutlinesactionplanstomeetit.HongKonghaspledgedtore-duce65to70percentofitscarbonintensityby2030,using2005asthebase.Thisisequiv-alenttoa26to36percentabsolutereductionandareductionto3.3–3.8tonnesonapercapitabasis, comparedwith6 tonnesper capita in2005 (EnvironmentBureau2017). InordertomobilizeactiontoadvanceHongKongthroughacross-sectoraltransitiontowardlong-termdeepdecarbonization,WorldResourcesInstitute(WRI)andCivicExchange(CE)jointlyinitiatedaprojectcalled“HongKong2050IsNow.”Underthisproject,WRIandCEcollaboratedwithEnergyInnovationLLCtodeveloptheHongKongEnergyPolicySimula-tor(EPS),whichaimstoprovidetechnicalsupportfordevelopingHongKong’s2050deepdecarbonization strategy. The “HongKong 2050 Is Now” project provides policy recom-mendationsbasedontheresultsoftheHongKongEPS.TheHongKongEPSalsoallowsus-erstocreatetheirownscenariostoseeimpactsofdifferentpolicycombinations.Moredetail on the technical aspectsof theHongKongEPS is available in theEPSonlinedocumentation at https://hongkong.energypolicy.solutions/docs/. Themodel is free andopen source. It can be used via an interactive web interface athttps://hongkong.energypolicy.solutions/ orcanbedownloadedfromthesamesite.TheEPScanestimatetheeffectsofvariouspoliciesonmanyindicators,suchasemissions,financial

62SeeVinodThomas’book“ClimateChangeandNaturalDisasters”availablefreeonAmazon.


metrics,electricitysystemstructure,deploymentofdifferent typesofvehicles,aswellasmanyotherdata.TheEPSsimulatesenergypoliciesaswellasnon-energypolicies,suchasthoseaffectingindustrialprocesses.EPSpoliciesareactionstaken,nottargets.TheEPSisgenerallyaforward-simulating,notgoal-seeking,model.Therefore,policiesgenerallycon-stitute specific actions ormeasures that influence actions, such as changing the price ofsomething,ratherthanspecifyingtargetstobemetviaunknownactions.Thetoolallowsusers toexplorevariouspolicycombinationstocreatepolicyscenarios, includingcustompolicy implementationschedules.TheEPSsimulatestheyears2017to2050byusingan-nualtimestepsandoffershundredsofenvironmental,economic,andsocialoutputs.Signif-icantoutputindicatorsincludeemissionsof12pollutants,cashflows(first-ordercostsandsavingstogovernment,consumeror labor,non-energyindustries,andeachoftheenergyindustries),capacityandgenerationofelectricitybydifferenttypesofpowerplants,mar-ketshareofdifferentvehicletechnologies,andprematuredeathsavoidedbyreductionsinparticulate emissions. These outputmetrics can help policymakers anticipate long- termeconomicimpactsandcostsofimplementingnewpolicies.WRIhashelpedsomeotherde-veloping countries with using its generic EPS model, available athttps://www.energypolicy.solutions. However, climate action needs to be taken at sub-regional in larger countries such as Nigeria, Indonesia, and Brazil which requires suchmodels to be implemented for local levels of government. Compare this to theMIT En-Roadsmodelmentionedearlier.China, over the past two decades, its massive investment in coal fired power plants and energy intensive heavy industries have made it the world’s largest carbon emitter. China’s unprecedent-ed economic boom has brought with it a 250-percent increase in primary energy production, 70% of which is coal based, causing a significant increase of greenhouse gas (GHG) emissions. While China is increasing renewable energy output at a rapid rate, it has no announced plans to shut its coal powered plants which makes it plan inconsistent. The announcement that China will achieve net zero emissions by 2060 has raised hopes, but also doubts, about the credibility of this an-nouncement. The New Climate Institute63 estimates that if China achieves its emissions target, this alone will reduce global mean global temperatures by 0.2 -0.3 degrees Celsius. For China to deliver on its international commitments, its cities – which generate 70 percent of the country’s emissions – will have to achieve aggressive low-carbon reduction targets. The National Devel-opment and Reform Commission is the apex agency responsible for developing climate plans supported by various agencies and ministries. But it is local institutions and leaders that have taken the lead in detailing and implementing climate smart, low-carbon development pathways. China’s example shows the importance of involving all stakeholders, particularly at the lowest levels, in effective development and implementation of climate plans. In2016, theClimateSmart,LowCarbonCitiesProject(CSLCC)was launchedtogiveChi-neseurbanplannerstheskillsandtoolstoeffectively implement lowcarbonpolicies. Im-plemented by the Institute for Sustainable Communities (ISC)64and the InternationalCity/CountyManagementAssociation(ICMA),withthesupportoftheChinaNationalCen-

63Seewww.newclimate.org64Seewww.iscchina.orgfordetailsabouttheseprograms.


terforClimateChangeStrategyandInternationalCooperation(NCSC).TheCSLCCprojectencouragedChineseleadersinfoururbanareastoidentify,scaleandsharebestpracticesinemissionsreduction. Asanexample,TheChang-Zhu-TanClusterconsistsofChangsha,Zhuzhou,andXiangtancitieswithatotalpopulationof14millionlocatedinHunanProv-ince. Theprogramresulted inseveralprovincialandcity-levelgovernmentdepartmentscollaboratingonGHGaccountingandforecasting,establishingafoundationforlowcarbondevelopment planning.With support from a CSLCC team, Changsha has developed a Cli-mateActionPlan,outliningaclearearlypeakingpathwayforChangshatopeakemissionbyyear2025.Theplanprioritizessectorswiththehighestpotentialforreductionsandidenti-fiesprojectswiththebestcarbonandcostefficiency,withfinancingsuggestionslikegreenbonds and public-private partnerships. The project includes electrification of publictransport,emissionsreductionsinmajorindustries,increasingthenumberofgreenbuild-ings,establishingalowcarbonfundforfinancingemissionsreductionprojects,adataman-agementsystemformonitoringprojectsandagovernancesystemforclimatemanagement.Other city groups covered under this initiative have focused on adoption of low carbontechnologiesformajorindustriesincludingdevelopingplansfornetzeroemissionsindus-trialparks/estates.CSLCChasidentifiedspecificcitiesasnearzeroemissionzones,suchastheShenzenprogram,andhasnowexpandedtheprogramtosome13pilotcitiesin2020andinthe13thNationalPlanwillexpandverysubstantiallytocoverover100cities65.TheChinaurbanemissionsreductionprogramholdsalotoflessonsforothercountries,partic-ularlydeveloping countrieswhichwill need tobuild local capacity to implement climateactions plans in an effective way. USAID has been assisting this program with supportthroughTheLowEmissionsCitiesAlliance(LECA) includingexchangeof informationbe-tweenChineseandUScities.

Mobilizing Resources for Climate Action TherearenumeroussourcesoffinanceavailabletoassistgovernmentssetupaClimateAc-tionPlanningAgencywiththebroadmandatedescribedabove.MultilateralbankssuchastheWorldBank,ADB,IDB,providegrantfundingfromtrustfundsforinstitutionbuildingandtraining.SodoestheUNprogramonclimatechange.BilateralaidagenciessuchasJa-pan’sJAICA,UK’sDFID,USAID,Europeanaid,Swedishaid,Danishaid,etc.areallsourcesofgrant fundsand low-cost financing.Amajornewsource for fundingboth technicalassis-tance and investment projects is the Green Climate Fund (GCF) available to developingcountriesforfinancingbothmitigationandadaptationprojects.Seefootnoteforabriefde-scription of a climatemitigation/energy andmaterial efficiency improvement project inBangladeshtoassistthetextilesector.66

65https://chineseclimatepolicy.energypolicy.columbia.edu/en/low-carbon-cities 66GCF financing of Textile Sector Energy Efficiency Improvement Project in Bangladesh CO2 emissions ofBangladeshincreasedbyanannualaverageof8%overthepasttwodecades.Thereadymadegarment(RMG)sectorwasthelargestcontributorofemissionsat15.4%,followedbythetextilesectorat12.4%.Thesesec-tors operate inefficientlybecause of continuing use of old machinerycoupled withpoor energy manage-ment.Ifthecurrentindustrialenergyintensitypersistsalongwiththeeconomicgrowthoutlookinthemedi-umtolongterm,BangladeshwillfaceseveredifficultiesinachievingitsNDCtargetof15%GHGemissionre-ductionundertheParisAgreement.Moreover,textileandRMGmanufacturersfaceseveralbarrierstoinvest-


BillGates,withfellowbillionaires,recentlyestablishedtheBreakthroughEnergyFundde-votedtofinancinginnovativetechnologyprojectstofilltheunderinvestmentinclimatein-novation.The$1billionfundhasalreadyinvestedinnuclearpower(Natrium)andartificialmeat-ImpossibleFoods-aplant-basedburgerproducer.However,climatefundingjustre-ceived(announcedMarch9,2021)anenormousboostfromJeffBezoswhoannouncedtheappointmentof anewDirector-AndrewSteer- theheadofWRI -toheadhisEarthFundwhichwillprovidegrantstotaling$10billionby2030tomeettheclimatechallengesandaddresstheneedsofthepoorandminoritycommunities.Steerannounced“TheEarthFundwillinvestinscientists,NGOs,activists,andtheprivatesectortohelpdrivenewtechnolo-gies,investments,policychangeandbehavior.Wewillemphasizesocialjustice,asclimatechangedisproportionatelyhurtspoorandmarginalizedcommunities.67”Thiswillenableamajorincreaseinprojectsandinnovationsatalllevelstoaddresstheclimatecrisis.MultilateralbankandUNfunding isavailableonagrantor low-costbasis forprojects tocombatclimatechange.Forexample,aprojectfortherehabilitationandreplantingofman-groveforests inCuba’scoastalregionstohelpprotectthe livesofpeople livingincoastalareasfromextremehurricanesisbeingfinancedbytheUN.TheUNhasmadeagranttoIn-donesiatopreserverainforestswhichactasacarbonsink.Thecuttingandburningoffor-eststoextendcultivationhascreatedamajorhealthhazardtopeopleinMalaysiaandSin-gaporefromdriftingsmoke.Ablueprintforhelpingcountrieskeepcarboninfragileland-basedcarbonsinks(permafrostandpeatland)hasbeenannouncedbytheFoodandAgri-cultureOrganization(FAO)whichprovidesfundingfortheseprojects. Themultilateralbanksareheavilyinvolvedinprovidingbothknowledgeandfundingforavarietyofagricultural,urban,watersupplyandrenewablepowerprojectswherethemaingoal ispovertyreductionandprovidinggoodsandservices to thepoor. Somefunding isblendedfinancing,acombinationofgrantsandsoftloans;someinvolveguaranteestohelpdevelopingcountriesraisefundingfrominternationalcapitalmarketsthroughnovelfinan-cial instruments suchasgreenbondsandbluebonds68. TheWorldBankGroup’spartialriskandpartialcreditguaranteesallowfinanciallyweakcountriestomobilizeprivatecapi-talonfavorabletermsorextendthematuritiesofloanstolongperiodstomatchtheusefullifeofinvestments.TheWorldBankhasrecentlyannouncedanewtrustfundforfinancing

inginenergyefficiencyincludinginadequatefinancialincentives,lackoftechnicalexpertiseandaweakena-blingenvironment.TheProjectprovidesanintegratedpackageofconcessionalfinancingfortextileandgar-ment manufacturers, and technical assistance to create an enabling environmentand ultimately reducing14.5milliontonsofcarbondioxideequivalentinemissions.67https://www.wri.org/news/2021/03/release-president-and-ceo-andrew-steer-depart-wri-lead-bezos-earth-fund68Agreenbondisatypeoffixed-incomeinstrumentthatisspecificallyearmarkedtoraisemoneyforclimateandenvironmentalprojects.Thesebondsaretypicallyasset-linkedandbackedbytheissuingentity'sbalancesheet, so they usually carry the same credit rating as their issuers' other debt obligations. Blue bonds areearmarkedformarineenvironmentprojectssuchasmangrovepreservationincoastlines.Multilateralbanksfacilitatetheissuanceofthesebondsbydevelopingcountriesthroughcreditenhancementguaranteesreduc-ingriskandinterestrates.


climate action plan preparation and implementation.69This complements the low-costloansavailableforclimateinvestmentprojectsinvarioussectors. Unfortunately,bigprivatecommercialbankshavebeen financing fossil fuelprojectsoverthepastfiveyears,seeminglyobliviousoftheclimatecrisis.Theyareestimatedtohavefi-nanced$3.8billioninfossilfuelprojectswithnosignofletup.70Theprivatefinancialsec-tormayneedwakinguptojoinincombattingclimatechange,recognizingtheirownstakeinsuccessfuloutcomes.TheIFC,amemberoftheWBGisapplyingtheEquatorPrinciplesinfinancinginvestmentsbytheprivatesector.Privatefirmsarefactoringinclimaterisksintheir investmentandnormalbusinessoperations.Ratingagencies suchasFitchandS&Parelookingatafirm’sexposuretoclimaterisksinratingtheirdebtinstruments.Soarein-surancecompanieswhicharedirectlyexposed.HerearesomequotationsfromMarkCar-ney,appointedspecialadvisoronclimatefinancetoUKprimeministerBorisJohnson;Car-ney,outgoinggovernoroftheBankofEnglandandincomingUNspecialenvoyonclimateactionmade the following remarksat theCityofLondononAugust27,2020addressingbanksandinvestors.AccordingtothePwCreport,TheStateofClimateTech202071,between2013and2019,$60billioninearly-stagecapitalwasinvestedgloballyinstart-upstacklingthenet-zerochal-lenge.However,justunderfivepercentofthisinvestmentcamefromAsia(excludingChi-na),AfricaandLatinAmerica.Thereport found thatclimate techrelated tomobilityandtransport,heavyindustryandGHGcaptureandstoragearethefastestgrowingsegments,followedby food, agriculture, landuse, built environment, energy and climate andEarthdata generation.Bengaluru in India is theonly city in adeveloping country tobecomeaclimatetechstart-upinvestmenthuboutsideofChina.SettingoutstrategiestomobilizeprivatefinanceaheadoftheUNclimatetalksinGlasgow,or COP-26,MarkCarney said “Every private finance decisionmust take into account cli-mate changeandhow todecarbonize theworldeconomy tonet zero.” Such investments“could become the greatest commercial opportunity of our time.” “COP-26 is simple,” hesaid,“tomakesurethateveryprivatefinancedecisiontakesclimatechangeintoaccount.Achievingnet zero emissionswill require awhole economy transition – every company,everybank,everyinsurerandinvestorwillhavetoadjusttheirbusinessmodels.Thiscouldturnanexistentialriskintothegreatestcommercialopportunityofourtime.”Carneysaid69AnewflagshipWorldBanktrust fund,theClimateSupportFacility,was launchedonDecember10,2020withaninitialinvestmentof$52millionfromtheGermanFederalMinistryofEconomicCooperationandDe-velopment, theUK’sForeign,CommonwealthandDevelopmentOffice,andtheAustrianFederalMinistryofFinance.TheFacility,whose launch is timedwith the5thanniversaryof theParisAgreement,willprovidesupport for technicalassistanceandadvisoryservices. Inaddition to focusingonthegreenrecovery, itwillalsosupportcountriestoenhancetheirnationalclimatetargets(theNationallyDeterminedContributionsorNDCs)andintheireffortstointegrateclimateintolong-termdevelopmentplanning.Itwillalsofundanalyti-caltoolsandknowledgedevelopmenttoinformcountryclimateplanninganddevelopmentstrategies.70https://www.huffpost.com/entry/banks-fossil-fuels-finance-climate-change_n_605a45b8c5b6cebf58d28d5271PriceWaterhouseCoopers,September2020PressreleaseonclimatestartupFinance


thatachievingawholeeconomytransitionwasnot“aboutfundingonlydeepgreenactivi-tiesorblacklistingdarkbrownones.Weneedfiftyshadesofgreentocatalyzeandsupportallcompaniestowardnetzero”.LarryFink,CEOoftheBlackstoneGroupmadethefollowingremarksrecently,“InJanuaryoflastyear(2020),Iwrotethatclimateriskisinvestmentrisk.Isaidthenthatasmarketsstartedtopriceclimateriskintothevalueofsecurities,itwouldsparkafundamentalreal-locationofcapital.FromJanuarythroughNovember2020, investors inmutual fundsandETFsinvested$288billiongloballyinsustainableassets,a96%increaseoverthewholeof2019.Ibelievethatthisisthebeginningofalongbutrapidlyacceleratingtransition–onethatwillunfoldovermanyyearsandreshapeassetpricesofeverytype.We know that cli-mate risk is investment risk. But we also believe the climate transition presents a historic invest-ment opportunity. President Biden has highlighted this opportunity in his climate action plans. Venture capitalists are bringing green innovations to fruition every day. This should give every-one hope.”Asmentioned earlier, significant number of firms have announced plans to reduce theirGHGemissionstonetzerobyatargetdatewithoutspellingoutactualpolicychangesandinvestment plans. These planswill notmaterialize unless there is a strong constituencyamongstakeholders toholdmanagementaccountable forresults throughappropriate in-centives. Otherwise, one would face the classical principal–agent problem in that theshareholderswillhavelittleleewayunlesstheycanimplementchangesthroughvotinginshareholdermeetings. Including directorswho are climate friendlymay be oneway forshareholderstoinfluencemanagement.TheNYstockexchangenowrequiresatleastone-woman director on the boards of publicly traded companies. Perhaps this rule can bebroadenedto includedirectorswhoarecommittedtoexerciseoversightof the firm’sex-plicitlystatedcommitmentsonreducingGHGemissions.

The Way Forward: Some Reflections for the Future Thispaperhasreviewedthecomplexityofthechallengeposedbytheclimatecrisisfacingtheworldandpoorcountries,inparticular.Ithashighlightedsomelessonsintermsofpol-icy, technology, finance, and institutional capacity building required for successfully ad-dressing this challenge.The climate crisiswill requirea concerted collectiveeffortbyallstakeholdersandcooperationwithinandbetweencountriesintermsofsharingknowledgeandbestpractices.AstheCOVID-19pandemichasshown,withoutinternationalcoopera-tion,thechallengecannotbeaddressedbyindividualcountriesworkinginisolation. Theclimate crisis is amuchmore complex, longer-term global crisiswhichwill also requireclose international cooperation. Changes in individual behavior and expectationswill berequiredinallcountries.Thereareshorttermcostswhicheveryindividualwillhavetoac-cept for thecommongood.72Ourconsumptionpatternswillneedtobealtered.People inrich countrieswhohaveenjoyedhighmaterial standardsof livingwillhave to recognizethistruthasmuchastheyhaveinconfrontingCovid-19.

72SeeEquityandtheFutureofDemocracybyAnne-MarieSlaughterandSharonEBurke,OpedpublishedbytheWilsonCenterandAdelphi,2020


Inequality is increasing in many developed countries with high rates of GDP growth aspointedoutbytheeconomistThomasPicketty73. AwarenessofthisissueintheUSAhasemergedrecentlywiththeBidenadministrationusheringina$1.9trillionfiscalprogramtoreducechildpovertyamongotherareas. Inspiteof immensetechnologicalprogress, thelast twodecadeshavenot resulted in higher living standards for thebottom20%or in-creasesintotalfactorproductivityfortheeconomyasawholeintheUSA.Climatejusticecallsforequitablepoliciesandacceptanceofthesecosts.Developingcoun-trieshaveabsorbedthehighcostofindustrialpollutionbymanufacturingcarbonintensiveproductsforsaletorichercountries.Thishasbeenonemajorunrecognizedbenefitofout-sourcingfordevelopedcountries.Corporationshavetocooperateandlookbeyondthein-terestsoftheirshareholders.Theyhavetobecometransparentwithregardtotheirglobalclimate footprintand takerealmitigationactions,not justbuyoffsetsandcontinuebusi-nessasusual.Theirshareholdersandcustomerswillbeonwatch.Aspartoftheglobalefforttocombatclimatechange,developingcountriesarebeingaskedtoleavetheirnaturalresourcesinthegroundandadoptnewmorecostlypathwaystoeco-nomicgrowth.Atthesametime,largefirmsarethwartingadoptionofmorestringentenvi-ronmentalregulationsbecausetheirexistingassetswillbecomestrandedorlessvaluable.Everyoneshouldrecognizethat thegoalofeverycountry is toprovideahealthyand ful-fillinglifetoitscitizens.Progressisachievedwhenthebasiclivingstandardsoftheaveragecitizenissignificantlyimproved.Itismeasuredbythelivingstandardsofthebottom10%notbythatofthetop10%. India,China,andBrazilhavemanybillionairesbutalsohugenumbersofpoorpeople, although thenumber living in abjectpovertyhasbeen cut sub-stantially. Itshouldnotmatterhowthegoalof improvinglivingstandardsforthepoorisachievedevenifalternativeinvestmentpathwaysaremoreexpensive.BillGatesinhisnewbook“HowtoAvoidaClimateDisaster”states‘EverythingIhavelearnedaboutclimateandtechnologymakesmeoptimistic–ifweactfastenough(wecan)avoidaclimatecatastro-phe”. New evolving technologies are lowering these transition costs and providing newemploymentopportunities. I thinkwecanachieve theGreenHouseGasreductiongoal ifwehavethepoliticalwillandengageininternationalcollective,andcooperative,action.ShyamadasBanerji’64Course2,MechanicalEngineering,SM1965MechanicalEngineer-ing,spenthisperipateticcareerworking inseveraldifferentareas. InthefirstdecadeheworkedasanR&DengineerwithDuPont;teachingoperationsresearchandbusinessman-agement(MBA)asa facultymemberat the Indian InstituteofManagement,Calcutta,andworkingas a Regional Planner on regional planningmethodologies as an advisor to theFordFoundation.Beginningin1976,hespentthenext25yearswiththeWorldBankwork-ingonavarietyofinternationaldevelopmentissuesinover25countries.Hestartedwiththe Development Banking Departmentextending lines of credit to industrial firmsandprogressedtoworkonindustrialandfinancialsectorreformsindevelopingcountries.HethenmovedtotheInspectorGeneral’sDepartmentthatreviewedtheWorldBank’spro-

73ThomasPickettyCapitalandIdeology;andCapitalintheTwentyFirstCentury,bothavailableatAmazon.


jects,policiesandeconomicreformprogramsandreportedtothebank’sBoardofExecu-tiveDirectors.Afterseveralyears,hemovedtotheCo-financingandPrivateSectorDevel-opmentDepartment responsible for supportinggovernments to reformpublicenterpriseandprivatizationof public enterprises aswell as extendingstructured loansandguaran-teesforinfrastructureprojects.Heretiredin2001andhasbeenworkingasashort-termadvisor/consultanttogovernmentsandvariousaidagencies.Hiscurrentinterestsareas-sistinggovernmentsbuildcapacity tocombat theclimatecrisis --which is theproximatereasonforwritingthispaper.

Is the Current VP Path to the Presidency a Good One? | 87

Is the Current VP Path to the Presidency a Good One? DavidSheena

Introduction Thereisasayingthatgoodhealthisacrownontheheadofthehealthythatonlytheunwellcanperceive.Iwasborninapartoftheworldthatlivedintheshadowofanancientdis-ease-anauthoritariansociety.IwaspartoftheoldestJewishcommunityinIraq,previous-lyBabylon.FortheJewishpeople,being inconspicuouswasawaytoavoidtrouble. Iwasunharmedbutgrewupwithmemoriesofmyfatherwarningmetobequietinpublicandtokeepourtraditionsprivate.HavingcomefromashadowtothelightofAmerica,Ibecameawareofthesunshineofanopendemocracymorethanthepeoplealreadyenjoyingit.Itgavemeapalpablefeelingofnewdaylight,asenseofbelonging,andamarvelathowthismostelegantAmericansystemandConstitutionwerestructured.Iknewthatdemocraticsecuritycanonlythriveinasolidandtransparentlegalsystemofgovernment.Ipaidattentiontohowthisgovernmentworked,andnaturally,Isawsomeofits imperfections.Being an engineer, I lookedat rules andprocedures, and Iwasuneasywith processes that did not have transparent democratic practices. And, one thing thattroubledmewastheselectionofavicepresident. Itstruckmeasperhapsnotaltogetherrepresentativeofthepeople.

Vice President Selection Today Forseveralweeksbeforethe2020presidentialelection,theAmericanpeoplewerebracingfor a significant political announcement, like the faithful in front of the Sistine Chapelawaitingthepuffofwhitesmokeannouncingtheelectionofanewpope.Inourcase,Amer-icawaswaitingforthe"selection"ofthepresumptiveDemocraticvice-presidentialnomi-nee.Whenanointedat thepartyconvention, this individualbecame thevice-presidentialnominee.And,whenelected,thenextvicepresidentoftheUnitedStates.And,withasignif-icantprobability,afuturecandidateforthepresidency.Thisseriesofeventshasoftenoc-curredinourcountry'shistory.From our own "Now" perspective, we were observers at the tail end of the histori-cal/politicalevolutionoftheprocess.Wemayrememberinthefiftiesandsixtiesthattherewereactuallycontestedandsoughtaftervice-presidentialnominations.Acoupleofexam-pleswemayrecall:InJohnKennedy'schoiceofLyndonJohnsonashisvicepresident,theconventionwasnotarubberstamp;JohnsonwasopposedbyMinnesotaGovernorOrvilleFreeman.ForRichardNixon,hischoiceSpiroAgnewneededtoprevailoverMichiganGov-ernorGeorgeW.Romney,whowassupportedbyaliberalfactionoftheRepublicanParty.


Aswemovedforwardtoourmorerecentexperiences,wenotethatKamalaHarris,JosephBiden'srunningmate,andMikePence,DonaldTrump'srunningmate,werenominatedby"rubberstamp"conventions.Theissueisnotaboutthechosenindividualbuthowthechoiceismade.Itisextraordinarythat,forthismostdemocraticofnations,oneandonlyoneindividualmadethischoice,novote,noprimary,nocaucus,noconvention,butthedecisionofoneperson,thepresumptivepresidential nominee. And, this process came to bemore by political evolution than bystatute.Butthere ismore.Ourcurrentpresident, JoeBiden,whocan launcha futurepresidentialcandidate,washimselfappointedbyasingleindividual,BarackObama,tobehisvicepresi-dentandgiven theoutsizedopportunity tobecomepresident.Also, in recentmemory, itcanbesaid thatRonaldReagan"selected"oneorperhaps two futurepresidents.He"ap-pointed"GeorgeH.W.Bushashisvicepresident,whosucceededhimaspresident.And,anargumentcanbemadethatthefirstBush'ssonGeorgeW.Bushrosetoprominenceandthepresidency inpartbecauseofhis father'sposition.Fifteenvicepresidentswentontobe-comepresident,mostrecentlyJoeBiden.Nineofthemdidsoafterthepresident'sdeathorresignation.The newpresidentwill have the duty of submitting for Senate confirmation about 1200nominees,headsofdepartments,ambassadors, judges,andothers. It is incongruous that,undercurrentcustom,hismostimportant"appointment,"thevicepresident,doesnotre-quireanyofficialbodyconfirmation.

How Did We Arrive at Current Practices Historically,itturnsoutthatthesuccessioncomponentofthevice-presidentialdutyisnotminimal.Fullyforabout20%ofthiscountry'syears,wehadunelectedpresidents,thatis,vicepresidentswhorosetothepositionuponthedeathordepartureofthesittingpresi-dent.Thelist issignificant; JohnTyler,MillardFillmore,AndrewJohnson,ChesterArthur,TheodoreRoosevelt, Calvin Coolidge,Harry Truman, and Lyndon Johnson succeeded be-causeofthesittingpresident'sdeath.GeraldFordroseuponRichardNixon'sresignation.Someofthesepresidents,likeHarryTrumanandLyndonJohnson,arecountedbyscholarstobeamongthebestUSpresidents.Butthismayhavebeenafortunatecircumstance.An-drewJohnson,forexample,wasalwaysatthebottomofhistorians'lists.ItisdifficulttofathomoracceptthatForademocraticcountrylikeourstohavehad"une-lected"presidentsforfully20%ofourhistory.Ifpeoplewereaskeddirectlyiftheywouldconsent to being governed by unelected presidents for a fifth of the time, their answerwouldbeobvious.


THEEVOLUTIONOFTHESELECTIONOFTHEVICE-PRESIDENTIALCANDIDATE• 1788 USConstitutionalGovernment

o Method:Electorscastballotsforapresident.Thecandidatewiththese-condmostvotesbecamevicepresident.

o Rationale:• TheVicepresidentiselectedinademocraticfashion• Vicepresident,beingapresidentialcontender,isofpresi-

dentialcaliber• Non-politicalgovernment,nopartyinvolvement

o Flaws:• Politicalpartiesbegantoformandcausedifficulties• AnineffectivepartnershipsuchasrivalrybetweenPresi-

dentJohnAdamsandVicePresidentJefferson• Complicatedtieintheelectionof1800betweenThomas

JeffersonandAaronBurr• 1804 12thAmendmenttotheUSConstitution

o Method:Electorscastseparateballotsforpresidentandvicepresident.o Rationale:

• Apresidentialtieisavoided• Theintentionthatthepresidentandvicepresidentrunas

apairforacohesivegovernment.o Flaws:

• VPcandidateischosenforelectabilityoftheteaminsteadofmoresoundreasons

• 1940s Evolutionofpoliticalcustomo Method:Vice-presidentialrunningmateischosenbypartypresidential

nomineeo Rationale:Thecandidatechoosesarunningmatewithwhomhecanbe

stronglyconnectedtoo Flaws:

• VPcandidateisbeingeffectivelyselectedbyoneperson

1788 US Constitutional Government Theconceptofrunningmatesorbeingonthesameticketdidnotexistattheinceptionofthisoffice.Thevicepresident'spositionwasalmostanafterthoughtintheConstitutionforthepurposeofsuccession,but,atfirst,itwas"democratic."The original selection of the vice presidentwas simple. Each state elector voted for twocandidatesforpresident.Theonereceivingamajoritybecamepresident,andtheonewith


thenexthighestnumberofvotes–notnecessarilyamajority–becamevicepresident.Sothechoicewas intendedtobelongtothepeople,representedbytheelectors.Assuch,thefirst twovicepresidents, JohnAdamsandThomas Jefferson, beingmenof extraordinaryability,wereboth"elected"withthesupportofthosewhotrustedthatthetwowereamplyqualifiedtoholdthetopoffice.Wenolongerhavethisoption,ascitizens,ofbeing,atleastnominally,representedinthevice-presidentialchoice.Althoughthefirstconstitutionalphaseoftheprocess,thesystemguaranteedasuccessorof"statesman"quality,iteffectivelyrequiredthattherebenopartyaffiliation.Andyet,partiesbegantomaterialize.PartyaffiliationcausedabitterrivalrybetweenJohnAdams,whobecamepresidentin1796,andThomasJefferson,whobecamevicepresidentfromadifferentparty.Theresultwasanon-unifiedexecutive, lesseffectivethanitmighthavebeen.Therewasconcernthatsuchadifferencecould,intheory,leadtoacoupd'etat.Europe,afterall,hadplentyofthem.

ThomasJefferson(center)rantwiceagainsthisrevolutionarycomradeandfriendJohnAdams(left). In1797,he came in second,and thereforewasvice-presidentunder the constitutionalelectoralmethod.Atthistime,theyhadbecomepoliticalrivalsfromdifferentpartiesanddidnotworkasaneffectiveexecutivepair.Alwaysinvice-presidentialconflict,JeffersonranagainagainstAdamsin1801.HedefeatedAdamsbuttiedAaronBurr(right),whowasintendedtobethevicepresident.ThevotewenttotheHouseofRepresentativesandrequired36ballotsforJeffersontobeelected.Thistiebroughtaboutthe12thAmendment.It becameworse.Thenext electionof1800 found Jeffersonandhisproposedvicepresi-dent,AaronBurr,tied.ThedecisionwassenttotheHouseofRepresentatives,wherepoliti-caljockeyingresultedin36ballotsbeingcastbefore"correctly"awardingthepresidencytotheintendedJefferson.A footnoteto theConstitution is that thevicepresidentwassupposedtoonlysucceedto"powers and duties" of the presidential office. A non-statutory precedent was set whenJohnTylerbecamepresidentuponWilliamHenryHarrison'sdeathinoffice.Tylerdecided


that he was, in fact, president, with name, prerogatives, and salary ($25,000 instead of$5,000).Ithasbeenthiswayeversince.

WilliamHenryHarrison (right)became the firstpresident todie inoffice.His vicepresidentJohn Tyler became the first president to serve unelected. To establish a fait-accompli, Tylerinsistedhewaspresidentratherthantheactingpresident,tooktheoathofoffice,movedintotheWhiteHouse,anddemandedthepresident’ssalary.Hesetaprecedent finallycodifiedbytheTwenty-fifthAmendment.

1804 12th Amendment to the US Constitution Asaresultofatiein1800,theTwelfthAmendmentdecreedthatthetwoindividualsweretobeelectedonseparateballots.Theproblemofatiewasresolved.Withpoliticalevolution,candidatesbegantorunasateamforthesameballot'stwooffices.Nolawswereeverpassedtoallowthistohappen.AftertheCivilWar,thestatesbegantoplacecandidatesforpresidentandvicepresidenttogetheronthesameballotor"ticket."After1800,thevice-presidentialcandidateshavebeenchosentomaketheticketpoliticallybalancedandmoreelectable.Sincethe1940s,presidentialcandidateshaveselectedtheirownrunningmates,relyingprimarilyontheiradvisers.

The 1940s Historically, the vice-presidential candidate was chosen by the political party with theagreementofthepresidentialcandidate.Inthelate1940s,itbecamethepracticethatthepresidential candidatedeclareshis preferred choice of a runningmate at theparty's na-tionalconvention.Thecurrentcustomisforapoliticalparty'spresumptivenomineetoan-nouncearunningmate'sselectionbeforethenationalconvention.AccordingtohistorianJosephUscinskioftheUniversityofMiami,thiscanhaveuncertainresults. On the positive side, it can provide for a vice president similarly inclined to thepresidentwhowouldhavethesamephilosophytocarryoutthesamepolicies.Thiswould


makeatransitionpotentiallyseamlessandleastdisruptive.Whathashappenedmorefre-quentlyisthatthechoiceismadetoproduceamoremarketableteam.Thishasbeendonetobalancepoliticalviews,geography,and,morerecently,sexorrace.Evenpoliticalpartieswere combined for the sakeof electability.AbrahamLincoln, aRe-publican,wasjoinedwithAndrewJohnson,aDemocrat.Thetwomencouldnothavebeenmoredifferent.And,afterLincoln'sassassination,Johnsonhamperedeffortsatbringingra-cialjusticetothesouth.

By the CivilWar, vice-presidential nomineeswere chosen tomake the ticketmore electable,sometimeswithunintendedconsequences.RepublicanAbrahamLincoln(left)joinedDemocratAndrew Johnson. After Lincoln’s assassination, Andrew Johnson did not follow thereconstructionandconciliatoryattitudeofLincoln.This inter-party dance was repeated in our own time. In 2004, Democratic presidentialnomineeJohnKerryaskedRepublicansenatorJohnMcCaintojointheDemocraticticket.In2008JohnMcCainconsideredpartneringwithDemocratJoeLiberman.Democraticnomi-neeBarakObama is reported tohaveconsideredRepublicansenatorChuckHagelofNe-braska.Uscinskiandothersstatethatwhileelectabilityisthegoal,thisfine-tuningdoesnotusuallyproduce the desired electoral benefit. Conversely, and surprisingly, unpopular vice-presidentialchoiceshavenotpunishedthepresidentialcandidates.

More Recent Times In1972,GeorgeMcGovernchoseThomasEagleton,whoadmittedtohavinghadtroublingmental issues.Thisseriouslydisruptedhiscampaign,but it turnsout thatallMcGovern'ssupporterswouldhavestillvotedforhim.In1984,WalterMondalechoseGeraldineFerra-rotogainthewomen'svotebutlostboththewomen'svoteandtheelection.


In2008, JohnMcCain's choiceofAlaskaGovernorSarahPalinwasbelieved tohavehurthim.Peopledidnot thinkofPalinasarealisticpresidential successor,andshemayhavecosthimasmanyastwomillionvotes,buttheeffectontheelectionwasnotsignificant.Thedatashowsthatvoterswillnotabandontheirpreferredcandidatesimplybecausetheydisapproveofhisvice-presidentialnominee.

Unintended Consequences Nevertheless,inthecaseofanunlike-mindedpair,therecouldbeandhavebeenattemptstoforciblyremovethepresidenttoinstallonewiththe"desired"politics.Aviolentwaytoremovethepresidentisassassinationtomakepolicychangeswithatrigger.Whethertheyplanneditornot,assassinsdideffectchangesinpolitics,killingLincolnandreplacinghimwithAndrewJohnson(southernsympathy),killingJamesGarfieldandreplacinghimwithChesterArthur (patronagesystem),andkillingWilliamMcKinley forTheodoreRoosevelt(Imperialismandcapitalism).Nooneclaimsthatitwasthevicepresident'sviewsthatmo-tivatedthesekillings,butincentivescanexist.Impeachmenthasat leastoncebeenusedforapoliticalpurpose,againconnectedtoLin-coln. Congresswas at oddswith Andrew Johnson and impeached him on a trumped-upcharge to have amore agreeable presidential successor- his effective vice president, theSpeakeroftheHouse.

GeorgeClinton,Americanfoundingfatherandfourthvicepresidentunder two presidents, Thomas Jefferson and JamesMadison, from1805to1812,wasthefirstoftwovicepresidentstoserveundertwopresidents. His death in office in 1812 caused the first of severalvice-presidentialvacancies.Beforeratificationof theTwenty-fifthAmendment,February10,1967,an intra-termvacancy in thevicepresidencycouldnotbefilled.

Vice-presidential Musical Chairs Possiblewrongdoings forcedVicePresident SpiroAgnew to resignasPresi-dentRichardNixon’svicepresident in1973, triggering for the first time theTwenty-fifthAmendment’smechanismtofillthevice-presidentialpositionbypresidential appointment and congressional confirmation. Gerald Ford wasappointedandconfirmedasvicepresidentin1973.Ithappenedagain.PresidentRichardNixon‘sresignation,thefirstinAmericanhistory,wasduetotheWatergatescandal.IttriggeredtheAmendmentagain,


andGeraldFordwas confirmedasAmerica’s first andonlyunelectedpresi-dent.Again,therewasavice-presidentialvacancy.PresidentFordappointedwithcongressionalconfirmationNelsonRockefellertobecomevicepresident.

AgnewNixonFordRockerfeller

Conclusions Itisastrikingironythatwhereastheoriginalselectionofapresidentialcandidatewasjustthat,aselection,ithasnowcomeclosertothevoters'choice.Initially,inourrepublic,pres-identialcandidateswerechosenbyeliteelectorsandlaterbypartycaucusesandnationalconventions.Localitiespickeddelegates to state conventions,which in turnelecteddele-gates tonationalconventions. In the twentiethcentury, theevolutionofprimariesessen-tiallyenabledvoterstochoosetheircandidates.So,thehistoricaltrajectoriesofthedemoc-ratizationoftheselectionoftheUSpresidentialandvice-presidentialcandidatestookop-posingarcs.Thepresidentialcandidateis"elected,"andthevice-presidentialcandidateisappointed.AsIstudiedthisvice-presidentialstory,Iwassurprisedthathistorians,inthemajority,seethisasthebestofnonidealpossibilities.JoelGoldstein,alawprofessoratSt.LouisUniver-sity,believes that thecurrentsystem is "messyandwithanomalies,"but "thesystemwehavemakesthemostsensewhenallthingsareconsidered."Presidentialcandidateshavetochoosesomeoneworthy.Theelectionincentivizesthemtopickgoodpeople.Anotherreason foroptimism:"There isgrowingevidence thatpresidentialnomineesun-derstandtheimportanceofpickingaqualifiedgoverningpartneroveranillusoryelectoralgain,"saysMattGrossmann,apoliticalscientistatMichiganState.Howelseisthisdone?Thestatemodelofreplacingsenatorsorcongressmendoesnotofferany answers. A caretaker government has difficulties of implementation and continuity.Otherdemocraciesdonotprovideanymoreattractivemodels.Ihavecomeupononlyonesuggestionseriouslyputforthtoaddressthistroublingmecha-nism.ThatistorequireaCongressionalConfirmationoftheVice-presidentialselection.Allexpertsagree,however,thatthiswouldresultinanightmarishgridlock.Also,itwouldde-privethenationofavisiblecandidate.


The Now and Beyond Mystudyandattempttoresearchandunderstandmyoriginalquestionhaveledmetore-thinkmyconcernaboutthelessthanfullydemocraticnamingofavice-presidentialcandi-date.Ihavebecomemoresettledaboutthisbeingthebestsystemthatworks.Iamconfidentthat it is,afterall, theheartsof theAmericanpeoplethatmakethediffer-enceinkeepingAmericademocraticallysecureandsafe.Inourowntimes,wehaveexperiencedatleasttwoeventsthatsomehaveactuallyupgrad-edto"constitutionalcrises,"Theendsof theNixonandtheTrumppresidencies.Americasurvivedtoliveanotherday.David Sheena'64,Course6,ElectricalEngineering,Ph.D. '69.Davidwasborn inBagh-dad,Iraq.HeimmigratedtoAmericain1955,asalltheJewishcommunitieslefttheMiddleEast.AfterMIT,Davidworkedonpupilometryandeyepositionmeasurement technologyforpsychologicalandbrainresearch.HavingcuthisteethonGeneralRadioequipmentatMITelectricalengineeringlaboratories,Davidco-foundedIETLabs,whichbecameheirtoGeneralRadio todesignandmanufacturecalibrationand testinstruments,andwherehestillworks.HeismarriedtoMarlene,andtheyhavefourchildrenandeightgrandchildren.


The Art and Science of Architecture After 60 Years: What’s New, What’s Not RogerLewis

How I Learned What’s New, What’s Not In1960duringthespringsemesterofmysophomoreyearatMIT,Iwasabouttoflunkout.Iskippedclassesduetowaninginterest,insteadspendingdaysandnightsinBakerHousesleeping,playingbridge,watchingTVandperiodicallygoingtomovies inBoston. Earlierthatsemester,Ihadreadthedifferentialequationstextandthensomehowpassedthead-vancestandingexam.TodayIhavenoideawhyIdidthisandremembernothingaboutdif-ferentialequations.ButIdorememberfeelingpressuretopickamajorandcareer,alongwithgrowingcertainty thatbecomingascientistorengineerwasnotmydestiny. Ama-laisehadsetinand,asafulltuitionscholarshiprecipient,asenseofguiltaswell.

With few weeks remaining in the semester andgrowingdesperation,IwenttoseeMITDeanFas-setttoexplainmyplightandmyintentiontodropout.Anamiable,avunculargentleman,DeanFas-sett listened sympathetically to my tale of woe.He perusedmyMIT record and noted that, as afreshman, I haddemonstrated a dean’s list levelofmath,scienceandengineeringabilities.Buthethensurprisedmebyasking“whatdoyoureallylovedoing?” “Drawingever since I couldholdapencil,tellinghimthatIhadtakenartlessonsandhaddrawncartoonsfor“VooDoo,”theMIThumormagazine.“Haveyouconsideredarchitecture?”DeanFassettasked. I repliedno,never, acknowledging that Iknew nothing about architecture, even itsspelling. He urged me to visit the architecturedepartmentinBuilding7,talkwithstudentsandfaculty, look at student work and then reportbacktohim.Irecallvividlymyfirstreactionandthoughts seeing all the architectural drawings

andscalemodelsondesksandondisplay: “studentsactuallygetcredit for this?” Myse-condthoughtwasthatarchitecturemightbeforme.DeanFassett’sadviceandsupportchangedmylife. I followedhisadviceandreturnedtoCambridgeinSeptember1960tobegintheMITfive-yearB.Arch.program’slastfouryears.HavingenteredMITin1958asamemberoftheclassof1962,Iwasnowamemberoftheclassof1964.

The Art and Science of Architecture After 60 Years: What’s New, What’s Not | 97

Architecture, Archi-torture Designstudiocriticsassignedprojectsvaryinggreatlyinsize,typeandcomplexity.Forourfinaldesignstudio,visitingProf.GerhardKallman,co-winneroftheBostonCityHalldesigncompetition,askedustodesignascience/engineeringlibraryontheMITcampus.Mypro-jectclearlyechoedKallman’s“brutalist”concretelanguage.I had little troublewitharchitectural technology courses, thanks tomyprevious science,mathandengineeringcourses.Icouldreadilyproducedrawingsandmodels,yetthefirsttwodesign studio years proved challenging. Arcane aesthetic language and esoteric cri-tiquesvoicedbydesignstudio teachers,sodifferent fromtechnologydiscourse,were ini-tiallybafflingandhardtodecode.Happily,workingfulltimeinanarchitecturalofficedur-ingthesummerof1962enabledmefinallytocatchon.Duringmylasttwoyearsofdesignstudiowork,themysteriesofarchitecturallanguagevanished.Design studio faculty of that era atMITweremostly hands-off teachers using a sink-or-swimapproach. Wewereverymuchonourown,givenfreereintoexploreideasbutre-ceivinglittleconcretedesignguidanceanddirection.Theprevailingpedagogicalapproachwasteachingthroughcriticism,withprofessorssayingonlywhatwaswrongorwhattheydislikedaboutastudent’sdesignconcept,akindofosmoticprocess.Nevertheless,whenIgraduatedin1964,IbelievedIwouldbeabletosuccessfullydesignabuilding.Methodologically the early 1960s were an era of T-squares, triangles, measuring scales,compasses,templates,pencilsorpenandink.Wedrewbyhandontracingpaperorillus-trationboardstapedtolinoleum-covereddraftingboards.Asdeadlinesapproached,IandmyMITclassmates-onewomanandtherestmen-workeddayandnight“encharrette,”fueledprimarilybycoffee,atraditionalpracticeatallAmericanarchitectureschools.Beingen charrette, French for little cart, is an expression borrowed from the Paris Ecole desBeauxArts. Atthedeadline,asacartwaspushedaroundtheParisateliercollectingfinaldrawings,studentswouldcontinueaddinglinestotheirdrawingsonthecartasitmoved.Inspring1968,theWashingtonPostpublishedastoryabouttheUniversityofMaryland’snewSchoolofArchitecture,andwithitaphotoofthenewdean.PreviouslyMarylandhadnoarchitectureschool.Curiousandoutoftheblue,Iphonedthedean.Afterdescribinghismission and challenges, he inquired aboutmyPeaceCorps andRussia experiences, theninvitedmetovisittheschooltogivealectureaboutRussiaandindustrializedhousing.Itwasaserendipitousphonecall.Followingmy lecture,heofferedmea facultypositionasadesign instructor starting fall1968.Anacademiccareerhadneverbeenmygoal,buttheofferwastemptingfortworea-sons:itwasanopportunitytoshapeandteachinatotallynewarchitectureprogram;anditwouldprovideasteadysalarywhileIattemptedtostartaneconomicallyprecariousarchi-tecturalpractice.Thusbeganmyacademicandprofessional career. Teaching indeedenabledmeandMIT’64 classmateCharlesChavarria to launchour architecturalpartnership in1969. Oneof


ourfirstprojectswasahousingprojectforindustrialworkersinVenezuela.WewerehiredthankstomyPeaceCorpsexperience,andbecauseconstructiontechnologyinTunisiaandVenezuela-reinforcedconcreteskeleton,infillmasonrywalls,ceramictileroofs-werees-sentiallythesame.

What’s New, What’s Not Creating real-world, buildable architecture entails art, science and engineering. Yet aes-thetic intent and aspirations differentiate architecture from science and engineering. Ofcoursearchitecturalartistryreflectsevolvingstylistictastes,technologies,methodsofprac-ticeandfunctionalneeds.Giventhis,whatprinciplesofarchitectureareimmutableoraxi-omatic?Arethereanytimelesstheoriesorguidelines?

Architectshavelongembracedthree“Prin-ciples of Good Architecture” set forth byVitruvius, the 1st century B.C. Roman ar-chitect and author of theworld’s first ar-chitecturaltreatise.Vitruviuswroteworthyarchitectureneces-sitatesachievingFirmatis(durability);Util-itas (utility); and Venustatus (beauty), in-terpreted as “Firmness, Commodity andDelight.” These three, timeless principlesare sufficiently broad to encompass mostpresent-dayarchitecturalnecessities.Firmness pertains to structural stability,resilienceandphysicalsafety. Commoditypertains tooptimizing functionaleffective-ness,operational flexibility,environmentalcomfort, long-term sustainability and eco-

nomicfeasibility.Applyingandsatisfyingtheseprinciplesrequiresleft-brainthinking,ra-tionalanalysisbasedonobjectivemeasurement,andlogicalengineeringdesignusingstate-of-the-aretechnologies.Delight,thethirdVitruvianprinciple,issomethingelse.Substantiallyreflectingright-brainthinking,delight-orbeauty–isachievedthroughaestheticallyinspiredinventionofarchi-tecturalformandspace.Non-quantitativeinnature,itpertainstoexplorationofessentialvisual attributes: proportion, scale, massing, spatial relationships, and compositional in-terweaving,plusmaterials,color,detailsandsymbolicmotifs.Delightcanderivefromcontextualharmonyorhistoricreferenceandreinterpretation.Anengineeringsensibilitycanproducearchitecturaldelightthroughorderandmodularrepe-tition,orbyexposingabuilding’sstructuralsystemasameansofformalexpression.This


iswhyweappreciateEeroSaarinen’sDullesAirportandKresgeAuditorium,incontrasttotheStataCenteratMIT(below).

Someworksofarchitectureareadmiredbecauseoftheirelegantsimplicityofmassing,fa-cadesandfinishes;somebecauseof theirgeometricandstructuralcomplexity;andsomebecauseof aunique relationship to their site and surrounding landscape. All such judg-mentsaremattersofdelight,notfirmnessorcommodity.Buildingsdon’twinarchitecturaldesignawardsjustbecausetheycameinunderbudget,didn’tfalldown,keptoutrainwaterormadeoccupantscomfortableyear-round.Judging a work of architecture is inescapably subjective. It depends on “eye-of-the-beholder”assessmentsandfeelings.Suchjudgmentsreflectpersonaltastes,biasesandes-pecially “zeitgeist,” the cultural spirit of the time. Thus today’s aesthetic judgment canchangetomorrow.


Parisians at first hated theEiffelTower,viewing itnotas a work of art but as anengineeredeyesore. Itwasfortunately saved and be-came the beloved, perma-nentsymbolofParisduetoitsheight,expressivestruc-ture and memorable pro-file. Historically, towershave long beenmeaningfultownandcitylandmarks.New York City’s immense,neo-classically styled Penn-sylvania Station was demol-ishedintheearly1960swhenmodernismwastheprevalentzeitgeist. Razing functionallyobsoletearchitecturetomakeway for something new wasacceptable,abowtoprogress.Butthismonumentalarchitec-


tural tragedy aroused strong historic preservation sentiments, changed Americans’ views aboutarchitectural heritage andmotivated enactment of national, state and local historic preservationlaws-seeleftbelow.

Consequently, since the1960s, thousandsof venerable, at-riskAmerican structureshavebeensaved,restored,renovatedandrepurposed.Suchtransformationswillbeevenmoreprevalent in the21st century as agingbuildings increasingly becomeunderutilized, func-tionallyobsoleteorfinanciallyunviable-seerightabove.

Today increasingly powerful computersandCADsoftwareenablepractitionersandarchitectural students to create realistic,interactive digitalmodels often impossibleto draw by hand. Designers can generatenot only customary floor plans, sections,elevations and 3-dimensional renderings,but also dynamic videos flying over orwalking around and through a proposedbuilding,neighborhoodorcity.Civil,struc-tural, mechanical and electrical engineers,in collaboration with architects, likewiseuse advanced digital technologies to morereliablydesignbuildingsthatwillbestable,operational,sustainableandaffordable.

Becauseofdigitaltechnology,designerscanconceptualize,exploreanddocumentbuildingsmorecomplexlycomposedandgeometricallycomplicatedthaneverbefore.


Nowarchitecturalexpressionisconstrainednotonlyby immutable lawsofphysicsandengineering,butalsobyprojectbudgets,byzoning and building codes, and frequentlyby local politics. In the past 60 years, thescope and quantity of these laws, regula-tions, codes and public oversight have ex-pandedgreatly.Ensuringpublicsafetywastheoriginal jus-tificationforlawsandregulationsgoverningarchitecture and construction. Howevertodaylawsandregulationsdomore.Zoningordinancesprescribe landuse anddensity;buildingtypes,heightsandoccupancy;yardsetbacks and open space; and requiredparking spaces. Form-based zoning goesfurther to shape the visual character of

streetsandopenspacesaswellasbuildings.Multiplenational,stateandlocalcodesregulateenergyuseandconservation;carbonemis-sions; indoorenvironmental conditions; storm-watermanagement;historicpreservation;accessibilityforthedisabled;steepslopestabilizationandprotection;andurbantreepro-tection.Notsurprisingly,complyingwiththevastarrayofregulationsnecessitatesdiligentresearchby architects and engineers andnumerous jurisdictional reviews, resulting in amuchmoretime-consumingandcostlyprocessthan60yearsago.

Digital technology and the Internet havemade administering architectural firmsless onerous and labor intensivewhile fa-cilitating management and production ofarchitecturalandengineeringdesignwork,cost estimating and construction admin-istration. State-of-the-art software pro-gramsenhancebuildingsystemscoordina-tion; identify conflicts between buildingsystem components; and reduce designandconstructionerrorsandomissions.Instant Internet access enablesworldwidecommunication and real-time, remote col-laboration,dubbed“virtualadjacency”dec-adesagobyMITalumnus,engineerandre-al estate developer Jay Hellman. Despitebeing hundreds or thousands of miles


apart,architects-alongwiththeirconsultantsandclients-canworkinteractively,sharingandretrievingcloud-baseddata, imagesandvideosatwill, typicallyaccessiblewithinse-conds. Workingvirtually lowersarchitectural firmoperatingexpensesbyreducingbusi-nesstravelandamountofrentalofficespaceneeded.Visitanyarchitecturalofficetodayandyounolongerwillseedrawingboards,tracingpa-per or drafting equipment. Fewermetal filing cabinets are required for record keeping.Instead you will see an open workspace filled with computers and small printers atopdesksortables,withplottersforprintinglargedrawingsdeployedaroundtheworkspace.Internetaccess to thousandsofbuildingmaterialwebsitesallowsarchitects toefficientlysearchforanddownloadproductinformation. Thusproductreferencelibrariesinofficesaresmallerthaninthepast,althoughproductsamplestorageareasstillexist.Notwithstanding impressive technological advancements since I graduated from MIT in1964,theVitruvianchallengeremains.Architectsstillmustinstructthemachine,tellingithowtoshapeandproportionaroom,wheretoplaceadoororwindow,whatcolorbricktouse. Even using advanced digital technologies, a marginally talented architect may stillcomeupwithanawkwardlyconfiguredbuilding,apoorlycomposedfacade,badlypropor-tionedinteriorspacesorclashingmaterialsandcolors.

Technologywillcontinueadvancing. Moresustainablematerialswillbeavailable. Archi-tecturalstylesandtasteswillkeepshifting.Butoneprincipleandconclusivejudgmentwill


alwaysapplytoarchitecture,nomatterwhatitsqualitiesmightbe:itseemedlikeagoodideaatthetime.

Epilog: Happenstance Moments & Opportunities

Inretrospectmydiverseprofessionalandpersonalexplorations,activitiesandoccasionaladventureswere inevitable. Ibecameawareofpolymath tendenciesatMIT,when I firstrealizedthatitwasagainstmynaturetoadheretoasingle,straight-aheadtrack,perhapswearingblindersandneverlookingsideways.Infactmyjourneyhasbeenshapedbyunplanned,happenstancemomentsandopportuni-ties that led tounanticipated,usuallypositiveoutcomes. Manywereattributable to luckandcoincidence;tobeingintherightplaceattherighttime;tocuriosityaboutsomethingnewandunusual;or toa random,unexpectedencounterwithsomeone from thepastornotpreviouslyknown.What if Dean Fassett hadn’t suggested I consider architecture upon hearing that I loveddrawing?RogerK.Lewis’64,FAIA,Course4,Architecture,MasterofArchitecture‘67,aretiredprac-ticingarchitectandUniversityofMarylandemeritusprofessorofarchitecture,wasalsoaPeace Corps volunteer architect in Tunisia 1964-66. He has designed new communities,multi-unithousingprojects,privatehomes,schools,civicbuildings,artcentersandrecrea-tionalfacilitiesintheUnitedStatesandabroad.Since1984TheWashingtonPosthaspub-lishedhis"ShapingtheCity"columnaboutarchitectureandplanning,illustratedbyhiscar-toonsfeaturedperiodicallyinexhibitions. Servingongovernment,academicandNGOre-view boards and committees, Roger has been a commentator since 2007 on the KojoNnamdi talk radio show on NPR affiliate WAMU-FM. He authored The MIT Press best-seller, “Architect? A Candid Guide to the Profession,” first published in 1985, revised in1996and2013,andstillinprint.Japanese,Chinese,KoreanandSpanisheditionsalsohavebeenpublished. Rogerhasreceivedmanyprofessionalawardsasanarchitect, journalistandpublicadvocatefordesignexcellence.Currentlyheispresidentofthefoundationau-thorizedbyCongresstocreatethenationalPeaceCorpsCommemorativeonlystepsawayfromtheU.S.CapitolBuildingandNationalMall.

Terms and Use Privacy Statement

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Business Left,Todaythe$100bill isthelargestincirculation.Currency just isn’t used theway it once was. Check usagewas growing in the 1960s.Today checks after beingreceivedare largelyconvertedto images for collection. AndElectronic payment methodsabound.Security features in UScurrency have lagged the restof the world. The $100 billshown here is the onlydenomination with the newsecurity thread (in blue). $1

and$2billshaveonly thehistorical securityof engravingand colored threads in thepaper.Theotherdenominationshaveapolymerstripandmicroprinting,andnotes$10andhigherhaveopticallyvariable(colorshifting)inkfeatures.Below, In1960, cashwaskingandpaper checksweren’t farbehind.Therewerenogeneral-purpose credit cards, ATMs, or ACH (Automated ClearingHouse) items. Therewere $10,000$5,000and$1,000currencylastprintedin1945andincirculationuntil1969.The$10,000billbelowhadapictureofSalmonP.Chase,Lincoln’sSecretaryoftheTreasuryandhadseriesof1928and1934.Therewasevena$100,000bill,whichwasusedonlyfortransactionsbetweenFederalReserveBanks.

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Sometimes a Lawyer Always an Engineer – Looking Backward and Forward Robert Saint-Aubin Practicing law for53years Iutilized the tools taught, learned, acquiredatMIT.Observe,analyze,test,explain,observe,modify,formulate,testagain.Findasolution,perhapsanop-timumsolution,thatworksforeveryone.

MITteachesustoanalyzeeverythingweobserve,tolookatallthedatawehave,thentoselectthedataforuse,toques-tionandre-questioneveryaspectofthestructure.Beguid-edbyGIGO;baddataleadstobadmodels,leadstobadre-sults.UponarrivalatMIT, I rapidly learnedeveryonewassmarter thanme.Afterbecominga lawyer, I continued tobelievethatmyadversariesweresmarterthanme.There-fore, I work harder, preparemore, and get done quicker.Neverwaituntilthelasthourtobeginpreparation.

Asinlife,acontinuingseriesofunconnectedinterrelatedvignettes,MITgaveustheabilitytodealsimultaneouslywithmultipleopposingmatters.IsthatproofofHeisenberg’sUncer-taintyPrinciple?FromdayonetheMITcurriculumrequirestakingfiveunrelatedsubjects.The studentmust allocate time toprepare for each subject everyotherday.Nowayanynormal 17-year-old product of American public schools could complete everything as-signed.Wehadtolearntoprioritize,topickandchoose,whichwewouldcomplete,whichwewoulddeemphasize.ThatabilitytomakeachoicemayhavebeentheInstitute’smostvaluablelesson.

An Engineer CopperminewastelakeadjacenttoTriballandMyretirementbeganinJanuary2020.Forthepast 20 years I represented aNativeAmeri-can Tribe in a dispute about contaminationfrom an abandoned copper mine owned byaninternationaloilcompanybesidetheTrib-alReservation.Wesettledthecase.Whyset-tle now? Because the “science” went to hellandtheoilcompanyputasignificantamount

ofcashonthetable.InpresentingthesettlementpackagetotheTribe,sittinginanaudito-rium filledwithTribalmembers,my friends, theNativeAmericans, I thoughtofMITandwhatInowneededastheTribeconsideredthesettlement:theGreekrespectformoderationwasarespectofferedbyimmoderatepassionatementowardpoliticalharmony.Ineededthatpoliticalharmonyfromaproperlyimpassionedpeople.

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Thepieceswereinplace.

HowdidIget fromtheretohere?Fromthentonow?MyrelationshipwithMITstartedbefore1960.WasitwhenIwas8yearsoldorin8thgrade?MyparentstookmetoanMITopenhouse. InBuilding2, I saw a demonstration ofliquefaction of wet sand. QUICKSAND. The knowledgegleanedfromthatdemonstrationservedmewellsome20-plusyearslaterwhenmywifeDeannasteppedintoquick-sand the morning after being caught by a flash flood inCoyote Gulch or Hurricane Wash, while backpacking inSouthernUtah.Actually, it'ssimple.Onecannotdrown inquicksand.Thehumanbodywillalwaysfloatinthedensermixtureofwaterandsand.Onemust justmovecarefullyand precisely from the slurpy, sucking wet zone to thenon-liquifiedzone.Waitingpatchofquicksand,HurricaneWashSouthernUtah

Inthe1950s,MITmaintainedameteorologicallabonColonelGreen’sestateatRoundHill,SouthDartmouth,Massachusetts.ThiscuriouskidfromNewBedford,anEagleScoutonabicycle,learnedalotfromdedicatedclimatescientistschasingtheirinstrument-ladenhigh-altitudeballoonsaroundtheprivatebeach-frontproperty.Thoserealmid-centuryclimatescientists taughtme that it isunlikely thatwewill everbeable topredictweathermorethan10daysout.Fractalsandchaostheorycontributetoomuchtothe instabilityandtothe inability to predict the future. Cape Cod, Nantucket, and Martha’s Vineyard providenatural testament to the scientific fact that climate change dates back at least 17,000 to20,000years.Meltingretreatingglaciersdroppedtheirsandfromtheirsouthernface,cre-atingtheCapeandtheIslands.

The Chronology

The Massachusetts Years Ihadafascinationwithtopology(non-linearnon-numericalmaps,Kleinbottles,andMöbi-usstrips),butadesiretobeaNavalofficer.Thebeginningoftheendarrivedin1959:Iread,Istudied,theUnitedStatesConstitution.Itmadesenseasaguidingprinciple. I learnedthatmypreviouslyunknowncolorblindnessdisqualifiedmeforappointmentstotheUSNavalAcademyandtheUSAirForceAcademy.MITbecametheeducationalobjective.Fallof1960,bambooslide-ruleonthebelt,thisTechToolbeganlifeinBurtonHouse.Ies-capedbyrowingontheCharles,totallyuncoordinatedbutlovedtherednylonparka.Ireal-lyknewnothingabouthumanities.Afewweeksintotheterm,ProfessorHaroldClarkKirk-

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ergaveushisChristmasbreakassignment,towriteathemebaseduponselectedreadingsfromthe3-footstackofpaperbackGreekclassicspurchasedattheTechCoop.Thethemeforthetheme:

the Greek respect formoderation was a respect offered by immoderate pas-

sionatementowardpoliticalharmony

Whatthehelldidthatmean?Ihaveminimalmemoryanddonotwritewell.HowwillIeverdothat?I wrote something that fortunately has been lost to humanity. Immoderate passionate?That'sme.

Burton House AtaWashington’sBirthdayBurtonHousemixerImetawonderfulyoungladyfromVirgin-iabywayofSimmonsCollege(nowSimmonsUniversity).ShethoughtIwaswealthy.SixtyyearslaterandIstillhavenotsetDeannastraightonthatone.DeannaandIendedtheyearwithanexchangeofteddybears.Turnedoutthatthosetwobearsandtheirprogenyhavebeenour family.Shehasbeenbymyside fromthebeginningandstillprovidescareandlove!Afterthemixer,wediscoveredtheBurtonHouseSocialCommittee,fundedbytheInstitutetothetuneofabout10dollarsperresident.Therewere550ofuslivinginBurton.Theso-cial Committee received additional funding from the coin-operated Maytag laundryma-chines initially installed by theGI’s previously housed inBurtonduring and afterWWII.MaintainedbyTechresidents,andopentoeverycollegestudentinBoston,wehadtheonlylaundrymachinesinGreaterBostonthatworked.

Thermodynamics/heattransferlivingatLakeTahoeIn 10.12 Professor Merrill defined the future: inputequalsoutputplusaccumulation. In10.13T.K.Sherwoodadded the second law of thermodynamics. No matterhowhardyoudream,youwillneverfindfreeenergy.After sophomore year I became an engineering profes-sionalwith a position as a chemical engineer forAlliedChemical in their acid plant at Claymont, Delaware.Myfirstassignment,quitesimpleinfact:calculatethelengthofpipenecessarytocutoffthegravityfeedofacorrosiveacidintoatanktruck.Ifinishedearlyafternoon.Thecal-culation was correct and embarrassed the graduatechemical engineer who had unsuccessfully worked theproblem for three months. The politics of engineering.DoIreallywanttoearnmylivingdoingthis?


Processdesign.TKSherwood.HowdoIteachinvention?Heansweredthequestionbyas-signingtheclasstojointlydesign,atleastthreeyearsbeforethediscoveryofoilatPrudhoeBay, the Alaskan pipeline. Prescient? As an academic exercise, years later I followed theconstructionbyBechteloftherealAlaskanpipeline.TheNewYorkTimesregularlyreport-edconstructionprogressanddisasters.Bechtelfollowedourdesignplus/minusonepump-ing station. And as expected, the pipeline failed on startup due to the impossibility ofachievinghomeostasiswithhotoilinthelandofpermafrost.Ira Glazier’s humanities course assignedme a paper on the British Corn Laws (1818 to1846),whichmademeabelieverinfreetrade.Freetradeonlyexistsasfairtrade,acon-ceptundonebyunilateraltariffs,tariffsfromwhichtheUnitedStatesstillsuffers.AftermyAlliedChemicalsummer, Iswitchedmymajor toCourseXV. (Thedifference formebetweenadegreeinChemicalEngineeringandManagementwasoneorganicchemistrylabcourse.)HerbGoodwin:AnideadoesnotcarewhohasitDouglasMcGregor:ThehumansideofenterpriseOne fall Saturday in 1963, as a lark, on the suggestion of a couple of friends, I took theLSATs.I’mnotgoingtolawschool.Youhavetohaveagoodmemorytobealawyer.Notme.Ididverywellonthetest.TheLawSchoolatPennacceptedmeovernight.I’mgoingtobealawyer.IntheSloanSchoolIstillneededtwomoreengineeringcreditstograduate.Ok,tryphysicalchemistryandunitoperations.I’monmywaytograduation.IrwinOppenheimofphysicalchemistrysaidRobert,youmustrememberscienceispolitics.TruerwordsmayhaveneverbeenspokenattheInstitute.Withtheunitoperationsfinalonthelastdayoffinalsperiod,withnootherfinals,Ihadlotsoftime,almostamonth,to“learn”thesubject.AttheCoopIboughtatextbookcompetitivetotheoneassigned.AndIboughtTheBeatles'AbbeyRoad.Ihadcompletednoneof theclassassignmentsandaboutzeroed-outonthequizzes.Allornothing. Start at the beginning and read, adsorb, try to understand.My last engineeringcourse.TosynthesizeunderstandingIcreateda10-parttestquestionthatIcouldhandle.Ifonly....I tookmyteddybearandtheallowedmaterialstotheexamroom.It'sgoingtobea longmorning.Oh,mygoodness.Onequestionwith10parts.Threehours to complete.AllmyCourseXclassmatesmoanedandgroaned.Anhourand50minutes later Ipackedupmyteddybearandallmystuffandwalkedout.Mystrugglingclassmateslookedatmeliketheyunderstood Iwas throwing in the towel.No. I hadanumerical answer toeachof the10parts. (No one ever gets numerical answers.) It was my question. I received a B in thecourseandwasreadytogoofftoPennandTheLawSchool.First,IneededtocompletemythesisonTheDutytoBargaininGoodFaith.Oncelongafter,Istartedreadingmythesis.Terrible!Aclassicexampleofburnbeforereading.

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The Philadelphia Years Notably,aftersmallclasseducationattheInstitute,PennLawclasseshadeither95or190students.Ifyouwerecalled,theteacherintendedtoembarrassyou.Iamanengineer.Nooneembarrassesanengineer.FirstsummeroflawschoolDeannaandImarried.Aworthwhileadventure.Lovethatlasts.Saturdayclasses formegaveDeannatheopportunity to learntocook likeaFrenchchef.Over theensuing55years,her lawschooleducationprovedmorevaluable thanmine. Inreallifeshewasamedicaleditor.Shestilleditsmywork.Andconfirmsapplicablemedicaltheories,especiallyduringtheseCovid-19months.Inaseminaron InternationalLaw, IwasassignedtowriteTheRestatementoftheLawofNeutrality.Easy.There'snosuchlaw.Neutralsexistsolelybythegraceofthebelligerents.Betterrunthatbytheprofessorbeforesubmittingthepaper.Iwasconvincing.Theprofes-sorreluctantlyacceptedmyinsurrection.Afterlawschoolfinallyended,Ifacedcramschoolandthebarexam.I’mstilllicensedinPhiladelphia.

Employed Years Onmyfirstdayatworkmymentorcameintomyoffice:Robert,alwaysremembertokeepyoursenseofhumor.Thereafter,therehasalwaysbeenateddybearonmydesk.Mybossfor16yearsalwaysgavemeguidance,space,respect,andtheopportunitytoclimboutonlimbs with my own cutting apparatus, and safety equipment, or lack thereof. And withDeanna,hetaughtmetowrite.AtthetimeIwashiredasanattorneyfreshfromLawSchoolinthePhiladelphiaLawDe-partmentofaFortune50chemicalcompany,thechemicalindustrymayhavebeentheleastregulated industry inthecountry.TheyhiredmebecauseIhadstudiedthenewUniformCommercialCode.Threeyears later,wehadOSHA,EPA(formedbymy lawschoolclass-matesandotheranti-businesscohorts),NIOSH,ExecutiveOrders,AffirmativeAction,andthe Equal EmploymentOpportunity Commission, aswell as theAntitrustDivision of theDepartmentofJustice,andtheFederalTradeCommission.SoonthereafterwewouldhaveagediscriminationandTribalEmploymentRightsOrdinances.And50similar,butnotiden-tical, parallel competing, turf-grabbing, state agencies. The company had 114 locationsthroughouttheUS.Beforelongwewerethemostregulatedindustryintheworld.Regula-torycompliancebecameanotherfull-timejobforme.WhatthehelldoIdointhisjob?Lawschooldoesnotteachyouhowtopracticelaw.Askquestions.Acquire information.Analyzedata.Proposesolutions.Testthesolution.Revisereviserevise.The importanceofwhatweknow.The importanceofwhatwedon'tknow.Theimportanceofwhatwedon'tknowwedon'tknow.Economicconsequences ifweget itwrong.Everyissueinvolvedmulti-millionsofdollars.


Asthenewyoungelite-educatedkidontheblock,guesstowhomeachnewalphabetagen-cyproblemwasassigned?IhadnochoicebuttolearntheappropriatelawbyreadingthelatestpronouncementsintheNewYorkTimes(ItusedtobetheunquestionedaccuratenewspaperofrecordintheUnitedStates),andCBSnewsintheevening.Thechemicalindustryhostsspectaculardisas-ters,somereal,someimagined.Manyofourfacilitieswereopenedinthelate1800s,oratleastbytheGreatDepression.Incaseofcatastropheordisaster,myhomenumberwasonthe emergencywallet card of every operatingmanager, among the first called. Safety ofhumanlifefirst.Protectionofpropertysecond.Then,WHATHAPPENED?Whoisincharge?Thebusinessmanagerdoesnotwanttobe,isincapableofbeingincharge.Wemustman-agechaosandchangetomanagetheresponsetocatastrophicevents.Somebodymusttalktothepress.Ifanofficialdeclinestotalk,thepresswillinterviewthejanitor.Anewplantaddition implodesonstart-up.Saint-Aubin,findoutwhathappened.Thecon-tractors just happened to install the pump normally open for a start-up circuit that re-quirednormallyclosed.Yes,unitoperations.Yes,stupidity.ATexasdivisionofthecompa-nymadethepump.Endofinvestigation.Nooneprovidedtheconstructorswithspecificin-stallationinstructions.Theyinstalleditthewayitcameoutofthebox.Noonebotheredtocheckitsstate.ForbreaksDeannaandIjumpedintoourblue‘67MustangandtouredtheAtlanticcoast.Over15yearswecoveredthecoastfromNorfolktoMontreal.BeforetheGaspéandNovaScotiatheMustangwasreplacedwithaPeugeotdiesel.Me,aPhiladelphiaLawyer,workingasajuniorlawyerinthePhiladelphiaLawDepartmentof a Fortune 50 international chemical company. In 1967, few companies had corporatelawdepartmentsorgeneralcounsels.MIThireditsfirstin2007.Nonehiredlawyersfreshout of law school. They hired me because I had studied the Uniform Commercial Codewhich,statebystate,hadfinallybecomethelawofthelandineverystateexceptLouisiana.Littledidweknowhowthefuturewouldtwistandturn.InthoseparochialdaysyouwerenotaPennsylvanialawyer,butaPhiladelphialawyer;youcouldpracticeinonlyonecoun-ty.Althoughparochial,withlocalcounselatmyside,nostateorfederalagencyorcourtev-errequiredmetobespeciallyadmitted.Mymainassignmentcontinuedtobecommerciallaw.Idraftedarequestforproposalfordemolitionofaflood-destroyedfacilitycontainingsignificantvaluablemetalscrap.Ididitbythebook.Allthecorrectthisisnotacontract,rightsreservedtoreject,wewilldobusinesswithwhomeverwewant.Anunsuccessfulbiddersuedforbreachofcontractandviolationofanti-trust laws.The juryruledagainstus.Thetrialcourtremovedtheanti-trust trebledamages.TheplaintiffappealedtotheThirdCircuitCourtofAppeals.TheThirdCircuitre-versed the jury. THEREWAS NO CONTRACT. Personal vindication. The plaintiff counselhireda famousPennUniversityProfessor toputhisnameon theirmotion to theUnitedStatesSupremeCourtforwritofcertiorari.Weprevailed.

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Lunch at thePhiladelphiaUnionLeaguewithCharlie, a senior executive.CanIaskyouapersonal question? Are you independentlywealthy?What? Are you independentlywealthy?

Noooo.StillhaveMITandPennstudentloansandcarpaymentsandanunbelievablemort-

gage(thosewerethedays).I'vebeenwatchingyouforthepastyear.Youalwaysmakedeci-

sionsonwhatyouperceiveas theethicallycorrect interestsof thecompany, irrespectiveof

the desires of “senior management,” as though you do not need this job. Integrity. Never

change,neverstop.Ididnot.Hebecameagoodfriend.EvelynWoodtaughtmehowtoreadat5,000wordsperminute,upasmitefromthe150wpmatthetimeIgraduatedfromlawschool. Inthosepre-Zoomdays, face-to-facemeet-ings,especiallywithgovernmentagencies,wereinvaluableinachievingthedesiredresult.After listening tous inCalifornia, inWyoming,andotherplaces, themeetings frequentlyconcludedwiththegovernmentagentsayingYoucameallthewayfromPhiladelphiajusttotalk tous.Yes. The ruling came in our favor. Itmeant lots of travelwithoutmuch sight-seeing.Imadeittoall50states.Ialwaysthoughtaboutthings,suchashowdoImakethebestmartiniimaginable.IappliedwhatIknewaboutthethermodynamicsofice,water,andalcohol,withalittlehands-onex-perimentingtocreatetheperfectmartini.Usingamercurylabthermometer,Ilearnedthatit had to beprecisely28° F. Fill a stainless-steel cocktail shakerwith freezer ice at 0° F.Pourin4oz.ofvodkaorgin,addasplashofyourcontaminantofchoice,stiruntiltheshak-erfrosts,andstrainintoamartiniglass.Addolives,lemontwist,orcocktailonions.Makethemoneatatime.SIPoneatatime.Inthemid1970'sthefaxmachine(inventedin1843)becameubiquitous-ananti-thinkingmachine.Beforethepresenceofafaxmachineineveryoffice,alawyerdictatedalettertohissecretary.Shetypedtheletterwithcarbonsonanelectrictypewriter-anIBMExecutivewithproportionalspacing.Ifyoulikedit,yousignedit,ormadecorrections.Afterretyping(multipletimes)itwassignedandplacedintheoutbasket.Bythenextdayitwouldbeinthemailandthedayafterdelivered.Therecipientfollowedthesameprocess,sothatonagoodweekyoucouldhavea response inaweek.Thenagain repeat theprocess.The faxendedthat.Dictate it, fax it,andexpectaresponsebytheafternoon;call ifyoudidn'tgetthe response. Email aggravates the disaster by orders ofmagnitude. I'mnot a Luddite. Ilovetechnology.Ilovemechanicalandelectronictoys.Ialsolovetocontemplate,tothink.OnDecember21,1982,AnneGorsuch,headofPresidentReagan'sEPA,namedacompanysiteonthebanksoftheMississippiRiverinFridley,Minnesota,astheinitialNumberOnesiteontheNationalPriorityListofCERCLASuperfundhazardouswastesites.ThecompanysaidSaint-Aubin,fixit.Wehadthesitecleaned-uponthefollowingJuly28th.Weassembledagroupofattorneys,engineers,geologists,hydrologists,contractors,consultants,andgov-ernmentpersonneltofindthesource,path,andsolution.Theepitomeofbadmodelingandmisuseofsciencecontributedtonamingthe84thworstsiteinMinnesotaastheworstinthecountry.ThatitwasNumberOnecausedthecompanyandthe5-plusstateandfederalagenciesandtwolocalgovernmentstodesireaspeedyresolution.Anotherprojectwithnobudget.Duringthatwinter,thisPhiladelphialawyerexperienced2ofthe3worstMinneap-olissnowstorms.Thefunofbusinesstravel.EPAhiredMITREtofindawaytodecidewhich


ofthe50to100,000potentiallyhazardouswastesitestoaddressfirst.TheMITREmodelusedaformulathatdividedpopulationbydistancecubed.Asoursitewasacrossthestreetfrom the intakes of theMinneapolis-Saint Paulwaterworks, the divisorwas a very verysmallnumber.WewereNumberOne.We fixed thesite.Thenegotiationswereextended,excruciating, and difficult. EPA rejected every independent labwe proposed for analytictesting.Inapassingcommentoutsidethemeetingroomatabreak,oneoftheUSscientistssaidtomePrinceton.Princeton?Yes,Princeton.Wereturnedtothemeeting.Isaidok,youhaverejectedevery independent lab in thecountry.CanweuseourR&D facilityonUS1 in

Princeton? After some posturing, they agreed. The government believed that corporatechemicalindustryscientistshavemoreintegritythantheso-calledindependentlabs.Wecompletedcleanupof theNumberOnehazardouswastesite in theUnitedStates lessthanninemonthsafteritsdesignation.ThecompanyhadtheNumberOnesite,butalsocontributedhazardouswaste tomostofthelitigated“public”sites.Settingthestandardformulti-partysites,Inegotiatedmanyoftheindustry-widesettlements.Ilearnedthattosolvewhatappearedtobecomplexproblems,Ineededamulti-disciplinedadhocteam.Ifsomeoneinthenewgroupwasintelligentenoughtorecognizemybrassrat,theringwouldbecomeanicebreaker,andIwouldbethedefactochairoftheproject fortheduration.Sixor7yearsafterpassageofthe1964CivilRightsAct,theEqualEmploymentOpportuni-tyCommissionandtheplaintiffs’barwereupandrunning.WehadaWestVirginiaplantthatopenedin1930,stillemployingwomeninitiallyhiredduringthedepression.Intheirdepartmentthewomenhadenjoyedcontinuousemploymentsincebeinghired.Theunioncontract protected seniority by department. Their lawyer filed two lawsuits in federalcourt.Alphabetsoup,Robert:handleit.Thelaborrelationguyssaidnotmyjob.TheUnionwasaco-defendant;we'llletRobertfixit.Ifoundanin-housestatisticiantohelpdevelopananalyticalmodel.Weestablishedthatthecasehadnominalsettlementvalue.Theoldhon-chosontheleftcoast(unbeknowntous)broughtinahigh-flyingdorkSanFranciscolaw-yerwhodidn'tneedtotalktome.Theirdorktoldsuperseniormanagementtostartnego-tiationsnorthof$2million.Noonebotheredtotellme.Ireachedasettlementwiththeunionandplaintiffs’counselfor$63,000 and change, which included attorney’s fees.When I advisedmanagement, theysaidwhataboutdork’s$2million?Ihadlearnedhowtomakedeals.Thenamedplaintiffsrejectedtheclassactionsettlement.Itwaslessthan$1,000foreachofthem.TheUSDis-trictCourtJudgeapprovedthesettlement.WhatdidIknow?Noonehaddonethatbefore.NothingintheNewYorkTimestoguideus.PlaintiffsappealedtotheFourthCircuitCourtofAppeals.TheCircuitCourtaffirmed.Wemadelaw.Aclassactioncanbesettledovertheobjectionofallnamedplaintiffs.Plaintiffsfiledapetitionforawritofcertiorari.TheUSSu-premeCourtdeniedthewrit,effectivelyaffirmingthedistrictcourt.NowI'malitigator,andIcanwrite.Ineverheardfromorofthedorkattorneyagain.

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DeannaandIdecidedtogobackpackingOutWestinthetraditionofAnselAdams,EdwardAbbey,andPhilipHyde.ReadaboutthoseadventuresinChasingtheWind.Whileweweresinking inUtahquicksand, thechemicalbusiness's chiefoperatingofficerissued an all points edict.Nomanager shall takea jobactionagainst anyprotected classmemberwithout clearing itwith Robert. Thanks for asking. Ombudsman. Compliance of-ficer.Humanresourceshadnotyetbeeninvented.Accordingtohisapplication,atheocraticdebaterwashiredasa labtechnician.Don'tyoureadtheapplications?Whenhefiledhisseventhhumanrightsclaim,Ihiredablackfemalecivilrightsattorneytorepresentus.Shebecameajudge.Ihiredherhusband.Wewonall10ofthetheocraticdebaterscasesandhisappeals.Uponmy return from the Utah flash floodmy boss said Ihopeyou like it out there. Ourphosphorousplant, locatedonaNativeAmericanReservation, justreceiveda letter fromtheTribalcounsel.Managementbuilttheplantonthereservationtoavoidpayingcountytaxes.

“DearCompany.TheTribehaspassedaTERO(TribalEmploymentRightsOrdi-nance) underwhichwe are entitled to have 100 percent Native American em-ployment.Pleasecontactmeatyourconvenience.”

Ok.AfteragainreadingtheConstitution,afteragainreadingthe’64CivilRightsAct,Icon-cludedthatCongressactuallyauthorizedthedemand.Tribalsovereignty.Whatapowerfulconcept.Timetonegotiate,Robert.Whataseriesof lessons.OK,85%oftheemployeesareengineers.Giveme510NativeAmericanchemicalengineersandIwillhireeveryoneofthem.Wereachedanamicableresolution.AnothercallfromtheTribalcounselafewweekslater:Youhavebeenunderpayingroyaltiesforthepastthirtyyears.Howmuch?Twotofivemillionperyear.Morenegotiations,inwhichIlearnedwhennottoopenmymouth.Iftheothersidestopstalking,youdonotneedtoin-stantlyrespond.Pause.Letthemfollowup.Talkingtobreakthesilencewilllikelycostyoursidea lot. Ipracticedadifferentkindof law:problem-solvingtoasolution, (mostly)notbriefsandargumentssothatsomeoneelsedecides.Iworkedbestwithateamofappropri-atemulti-disciplinedplayers.EarlyinmycareeranoldCaliforniaattorneytransferredintoourdepartment.Hewasthesmartestpersonevereducated (at another IvyLeague lawschool).His specialtywas taxexemptbondstofinancepollutioncontrolfacilities. Heorderedmetoreadthe400-pagebondindentureovernightandcarryhisbriefcasetoNewYorkCity.Wesatintheconfer-enceroomwithallthebankers,accountants,andlawyersandtheirmulti-tiersofsecondsandassistants,allpaidforbyourcompany.Theyopenedthebondbookandsaidwe’lltakeaquicklookatitbeforeapprovingitandgoingtolunch.Onpage two, I said Idon’tunder-standthis.Whyisithere?Itwasusedinthelastdealwedid.Takeitout.Pageafterpage.Nolunchordinner.Lateatnightwecutitdowntoabout80pagesandtookaverylatetrain


backtoPhiladelphia.Wediditthatwaybecausewealwaysdiditthatway.Mostofthetimeno one reads the nonsense passed from overpaid lawyers to not caring clients. Billablehours,notcontent,count.Iwasstilldoingcommerciallaw(almostontheside).ThecompanyhiredanewgroupofyoungMBAs to revitalizemoribund businesses such as swimming pool chemicals (chlo-rine).A fun team. Let's go to LA for dinner. TheTWAplanehomemade two emergencylandings.Theflapsdidnotretract.Theydidnotfixthem.Swimmingpoolchemicalsneededaspokesman.WehiredLloydBridges(SeaHunt).Afunguy.SpendtwoweeksinFebruaryfiftymilesoutofSanJuanPuertoRicowatchingalgaegrowinaswimmingpool.Attendlotsof trade shows. Iwent to lawschool to avoidbecominga chemical salesman?TheMBAs(none from Sloan) spent 95% of sales revenue onmarketing that year. The projectwasdeemed a success.We sold the business to a competitor. I learned everything about thechemistryofswimmingpools.Drainandrefillthepool.(Ialsolearnedeverythingaboutthechemistry of detergents. Changebrands every time youpurchase a newbox or bottle ofdishwashersoap.LovethoseRouteOnePrincetonPhDscientists.)OnoneofthoseraredaysIwasinmyPhiladelphiaofficeIansweredmyphone.ThisisEvelKnievel.Whydidyoustopshippingmemyperoxide?What?IrishEdthesalesguysaidyoutoldhimtocutmeoff. I’vegota jumpscheduledandyou’reputtingmeoutofbusiness. (NiceofIrishEdtowarnme.)Icancomeinandpickitup.Investigate.Thecompanymade97%hy-drogenperoxide,alsoknownasrocketfuel.Alittlemorepotent,andunstable,thanthe3%peroxideavailableoverthecounterindrugstores.Ihadnothingtodowiththeshut-downof sales toMr.Knievel. IrishEdsaid the trafficdepartment stoppedhimbecause theNa-tionalTransportationSafetyBoardputlimitsonourabilitytotransportit.Noproblem(forus)ifwelethimpickhissupplyupattheplantdoor.IrishEdhandleditfromthere.Iseveryoneacriminal?WhileIwashavingfunintheWildWest,thefedsandenviropolicewerebusyindictingtheattorneyintheofficenexttomeforaWestVirginiachemicalspill(thathappened tohavebeen causedbya competitor).Acclimation to flying in corporatejets.Hard, nastywork reviewingmillions of ancient documents inmusty basements andinterviewinghundredsofrecalcitrantemployeesledmetoamajorchangeinmymethodofpracticinglaw.Afterreviewingandproducingtothegovernmentinresponsetograndjurysubpoenas,thousandsofpagesofnotesandmemosthatnevershouldhavebeenwrittenorfiledandsaved,Isimplystoppedtakingnotes(exceptformydiaryontravelsandadven-tures).It's not LA Law. Hundreds of professional employees to be wood-shedded before theirgrand juryappearancesanddebriefedafter.Alwaystellthetruth.Donotspeculate.Donotthinkyoumightknow.Weemployedeveryattorneyinthelocalbarassociation(andafewinthelocalbars).Theseniorsecretary:oh,Iburnedallofthosepapers.ThecasewasinWestVirginia.MostofthegovernmentattorneyswerealsofromPhiladel-phia.TheJudgelovedtohavehearingsonFridayafternoon,alwaysendingthemataboutthetimeofthelastflightoutoftheairport.Asamatterofprofessionalcourtesy,wealwaysoffered thegovernmentattorneysemptyseatsonourprivate jetbackhome.Sorry.They

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perceivedaconflict.Missingtheflightmeanttheydidnotarrivehomeuntilmid-afternoonSaturday.Thecompanysettledthecaseprotectingtheindictedemployees.Thecompanyhadmininginterestsalloverthecountry.Weweremembersofeverybranch(includingmine equipment) of theAmericanMiningCongress except ferrousmetals andcopper.Coal, salt, sodaash (trona),phosphates,barium, lithium, coking coal, gold, silver,mercury.TheNewYorkattorneywhohadbeendoingmininglawfor40yearsretired.WehadmajorgoldplaysinNevada.Ivolunteeredtotakeoverthenaturalsideofnaturalre-sourceslaw(asdistinguishedfromtheenvironmentalside).Mybossdiedandwasreplacedbysomeonewhodidnotparticularlylikeme.HiswordstoDeanna:Robertistheonlyonewhotakeseveryimpossibleassignmentandsolvesit.Hehadacoupleofideas.SendmeandDeannatoLakeTahoeforamonthtotakecareofthecompa-ny’sRenomining interests. Iwouldhave a company car,Deanna anAvisCadillac. Threemonthslaterthatbecameasimilar4-monthassignment.DidIeveravoidalotofcrapas-signmentsbynotbeinginPhiladelphia?OnatripfromReno/TahoetoCarmelforacorpo-rate lawdepartmentmeeting forall4 lawdepartments,westoppedat theghost town inBodie, CA, altitude8379 feet.On June6, 1984, I smokedmy last cigarette. Fromup to5packsperdaytoquit.Coldturkey.Neverwantedanothersmoke.The companywasUnion Carbide’s only domestic customer formethyl isocyanate (MIC),theBhopalchemical.WehadspilledsomeMICinaneighboringschoolyardafewmonthsback.TheywantedmetogotoupstateNewYorktonegotiateourwayoutofthereopeningofthatcase.Sorry.Ihaveaplanetocatch.Ineverreturned.OurRenogeologistsdiscoveredaworldclassgoldbodyincentralNevada.Inthelatetwen-tiethcenturyavaluableoredepositcontained0.15ouncesofgoldpertonofore.Aclassicgeologist’sresponsetoaself-importantexecutive’squestionhowmuchwastewillyoupro-ducepertonmined:Exactlytwothousandpounds.Serendipity.ThegeniusesfromcorporateheadquartersinChicagocalledageneralmeetingofallthePhiladelphia-basedexecutivestopresentanewcorporatefinancialmodelbasedonworkattheUniversityofChicagobyFrancoModigliani,whohadbeenanoccultfigureatSloanduringmyMITtenure,ataboutthattimetheModigliani-MillertheoremearnedMo-diglianiandMilleraNobelPrizeinEconomicsforessentiallysayingthevalueofanenter-prisewasequaltoitsdiscountedcashflowlesscostofacquisitionplusresidualvalue.Iwasoneofthefewintheroomwhounderstoodwhattheyweretryingtosay.Itwaspreciselythesamething IheardatSloan inBuilding52 fromModigliani’scolleague,ZenonS.Zan-netos.Really,itwassimplyinputequalsoutputplusaccumulation.TheyreceivedaNobelPrizeforthat?Noneedforacomputer,justsomefingersandtoes.Interestrates(internalratesofreturn)were15to18%.BeingonsceneinNevadatogetthosepermitsforthenewgoldminewouldmeanlargeamountsofreturn-$65,000perday.Ourrelocationwasap-proved.WewenttoRenoonanotherbusinesstripandnevercameback.Wewererelocat-ed.


The Reno Years

AtthispointI’matanewplacewithanewprogramandasensethatIknowwhatIamdo-ing.Startwithfirstprinciples

Examinewhatyouhave

Definetheproblem

Collectthedata/information

Thinkaboutwhatyouknow

Applywhatyouknoworlearntothedata

Analyzeandcalculate

Refine

Reachasolution

Figureoutwhat’simportant;focusonwhat’simportant.

IcelebratedthemoveOutWestwithaCoca-ColaredS-10ChevyBlazer.Atrueoff-roadve-hicle.Whether vacation orwork,we toured every paved road, andmost of the unpavedroads,inNevadanorthoftheWardbeehiveovens.Iwasnowafocusedmininglawyer,myprincipalassignmenttogetthenewmineandprocessingfacilityfullypermittedassoonaspossible.Fromdiscoveryofthegoldandsilvertothefirstpourfroma$100millionplanttook 34months. Never before, never since, fully permitted. I became amining industryheretic.Welinedthetailingspondstogetthepermits.ItookanotherbarexamandbecameaNevadalawyer.Itwasasmallclub.MyNevadabarnumberis909.TheNevadaSupremeCourtandtheSocialSecurityAdministrationcorrect-edthespellingofournametoSaint-Aubin.Shortlyafterstart-upofthegoldmine,theRenominingmanagerreceivedacallfromahighschool friendwhohappenedtobethedeputyUSAttorneyinchargeoftheRenooffice. Ithad been reported that we were killing birds in violation of the federal Migratory BirdTreatyAct.Wewerearepeatoffender.Thatoneisgoingtobetoughtofix.Thelinedtail-ingspondcontainedcyanideafterleachingthemicrongoldoutoftheminedrock.Whattodo?CallIrishEdtoobtain30tankcarsofperoxide.NOW.Peroxidewillneutralizethecya-nide. It made the government happy. Nobody around the table inquired about stoichio-metricmixing.Withperfectmixing30tankcarswillneutralizethepreciseamountofcya-nideinthepond.Simplechemistry.Theheadofthecontrollingfederalagencylivedacrossthestreetfromme.Serendipity prevailed. Reno, the Biggest Little City in the World, was a parochial smalltown.APACcontribution toanunsuccessfulRepublicanSenatorial candidatemademearecognizedplayer. In1980,Nevadahadapopulationof880,000. In2020, it’sover3mil-lion.

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In1988theRockyMountainMineralLawFoundationaskedmetopresentacomprehen-sivepaperonNevadaMininglaw.IreviewedeverypublishedminingcasetopresentTheSpiritofGold-TheNevadaCourtsandtheGeneralMiningLaw.Iwasapublishedlegalwrit-er.Ihadmyfirstpersonalcomputer-aCompaqluggablehuggable.Afloppydiskdriveandaharddrive. IhadaDictaphone.Weusedvoicemail.Technologyfora lawyerwasmovingahead.After20yearswiththecompany,welistedthegoldoperationsasanewentityontheNewYorkStockExchange.Formeitwastimetomoveon.IwasinvitedtojoinanewRenoofficeofthesecondlargestlawfirminthestate.Apastandafuturegovernorwerepartners.Sen-ateMajorityLeaderHarryReidhadbeenafounder.Ibecamemanagingpartner.DeannaaskedWhatdoyoudo?TheanswerbecameapublishedarticleQuidproQuo.Imakedeals.ServiceonajuryandanotherpublishedarticleintheNevadabarjournal.Mymeth-odologystillcomprisesobservationandanalysis.Answeringrepeatedlywhatmakessense?Findingaconsensusamongmulti-disciplinedmembersofadhocteams.Itcontinuestobenon-linearchaosmanagement.Persuasion.Ineverintendtodosomethingstupid.Thereisno such thing as a stupid question (most of the time). I have always been non-linear inproblemsolving.Meettheclient,meettheadversary,facetoface.WhileItoiledinthevineyardsoflawortrolledintheseaforclients,Deannapursuedartinmultiple disciplines. She carved life-like birds painstakingly accurate to the number offeathersinthetail.Shephotographednatureasitshouldbephotographed.ThenshejoinedtheNevadaMuseumofArtasaDirectorandcollectioncurator.Fund-raisingandmanage-mentandiconicbuildings.Sheexperimentedwithacooperativeartgallerywithfiveotherartists.Asmanagingpartnerofastatewidelawfirm,Ihadtobeabletogetawaywithoutgettingaway.WestartedinNevadabylivingatLakeTahoe.Let’sbuyaTahoecondo.Unlessthere’s10feetofsnow,40minutesaway.Engagedinmountainbiking,golf,andcross-countryski-ing,at7000feet.MountainbikingonthespectacularFlumeTrailfromtheBonanza’sPon-derosaRanch,14milessouth,1400feetaboveLakeTahoe(6200feet).Golfballsgofartheratthataltitude.Didnothelpme.Iwastheworstgolferofalltime.ButIlovedit.ThePresidentoftheNationalJudicialCollegeinvitedmetoserveasprobonogeneralcoun-sel.ThatmeantIcouldcontributemyfundsandlawfirmfundstotheCollege,fromtimetotimeprovide legal advice to thepresident andboard, attendboardmeetings, andattendfunctions,sometimesinexotic(atmyownexpense)placessuchasJacksonHole,Wyoming.TheNJCwaslooselyaffiliatedwiththeAmericanBarAssociation,whichprovided(butdidnot fund) the NJC pension plan. The ABA issued an edictmandating that the NJC boardadoptspecifiedchangesintheirplan,changesrepugnanttotheboard.TheCollegesaidno.TheABA’soutsidecounselsentusa70-pageopinionsayingwhyunderERISAwehadtodoit.Robert,fix-it.IresearchedthequestionandfoundtheABAlawyersdeadwrongthrough-


outtheirpaper.Neverbeintimidated.ThePresidentforwardedmymemototheABA.TheABAwithdrewthemandatededictandprovidedawrittenapologytotheNJCboard.IhadaminingclientwhoknewSecuritiesRegulationDbetter thanme.ACanadianwhomostlystayedaheadoftheSEC(andeveryoneelse).InthefashionofmostPonzischemes,hewouldbuyout,atapremium,unhappyclients.OneMondaymorninghissonshowedupinmy office.Fridaydadwasarrestedby immigration, IRS, treasury, Immigration, SEC, theFBIandtheUSattorney.Guns, immigration,andmoney. Ithappened theday INSbecameICE.AfterfindingthebesthighcrimesattorneyinReno,aformerpartner,Iwasoutofit.Idonotdothatkindofcriminallaw.ThefollowingWednesdayat5:00pmthesonandhisgirlfriend showed up inmy officewith 3 briefcases containing amillion dollars in smallbills.ItoldhimIhadnochoicebuttodepositthemoneyinabanktrustaccount.Afterhewasreleasedfromarrestthe(nowformer)clientleftthecountrynevertobeseenagain.I represented amining company takenoverby Scientologists. For yearswewereon thesidelinesofabattlebetweentheminingcompanyfounder, theScientologists,andadefa-mationsuitagainstTimemagazine(TheCultofScientology,May6,1991).Irepresentedastateagencyinawrongfulaccountingmatter.TheBigEightaccountingfirmsettledforarespectableamount.Myall-timefavoritelegalwriting-myclient,aprominentindividual,wast-bonedbyanun-insuredmotorist.Myclienthadbeeninacomaforthreeweeks.Theattorneyforourinsur-ancecompanyofferedtosettlefor$65,000.Notgoodenough.Icalledtheattorneyandtoldhimtheyhadtodobetter.WhileIwasatlunch,hecalledmysecretaryandaskedmetoputitinwriting.OnmyletterheadIwrote:reprominentclientDearattorney:

NO.

verytrulyyours,

rfs

Aftermyreturnfrom3weeksinHawaiiIspokewiththeadjuster.Hesaidhisattorneydidnotunderstandmyletter.Theinsurancecompanylovedit.Theyaskediftheycouldputa2infrontoftheiroffer.Myclientsaidsendthemalettersayingyes.Afriendhadsomerelativesofferingafantasticinvestmentopportunityforfactoringofac-countsreceivableinthehigh-volumemedicalproductsindustry.Knownprincipals.Knownproduct.Knownfinancing.ArealPonzischeme.Ikeptourfriendsoutofjail.Ilostourin-vestment.

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The California Years WeattendedtheweddingofthedaughterofafriendandclientattheRitzCarltonLagunaNiguelinSouthernCalifornia.ThroughouttheRenoyears,wheneveracancellation,settle-ment,whatever,gavemeafewfreedays,DeannaandIwoulddrivetothecoastandturnrightorleft.Quietly,unspoken,wewerebothlookingfortheplacetoretire.AttheRitzCar-leton, Deanna said this iswhere Iwant to live. If you could live anywhere in the world,wherewouldyougo?Wenow live in thegatedcommunitynextdoor to theRitzCarltonwithinwalkingdistanceofthePacificOcean.Anotherbarexam.

Ritz-CarletonLagunaNiguelonbluffStrandBeach


A course by Pepperdine University’s Straus Institute for Dispute Resolution. Somethingnew. Mediation. Wait, it's not new. The entire thesis of Pepperdine’s renown programbuildsonalittlebooktaughtatSloanintheearlysixties-DouglasMcGregor'sTheHumanSideofEnterprise.Changeisalwaysgood,evenwhenit’snotchange.CalluptheChiefJus-ticeoftheNevadaSupremeCourtandsayBill,IwanttobeaNevadaSupremeCourtSettle-mentJudge.Youcoulddothatwhenyourbarnumberis909.ThencallNASDandbecomeanNASD(laterFINRA)arbitrator.Dispute resolution. Irrationality rampant.Thesolutionwillalwaysbebetterifdesignedbythecombatants.During20yearsofmediation-disputeresolution-problem-solving-notoncedidIeverusethewordcompromise.Intheeffort,we,Iandtheparties,searchedforaresolutionthatworkedforbothsides,theclassicwin-win.Wewerenotplayingazero-sumgame.Consen-susandcollaborationworkindisputeresolution.Sometimes.Walkingonthebeach.Alife-longobjective.Alife-longlove.Presenceinacathedralgreaterthan the churches of the Renaissance architects and builders. The freshman humanitiescoursesbecomeimportant.TheCaliforniapracticewasneverfull-time.Anoccasionalclient.Alotofhomeownerasso-ciationlaw.Anoccasionalwillandtrust.LotsoftimeinRenoandLasVegas,finishingstuffforoldclients,mediatingforeclosures,andmediatingfortheNevadaSupremeCourt.AndmanagingtheTribalclaimsagainstthecoppercompany,theoreticallyonthesamesideasmanyofthegovernmentagentsIusedtoopposetoothandnail.ArbitratingforFINRAinLAandSanDiego–Ididnotlikethe3-hour70-mile(eachway)commutetoLA.MycolleaguesintheCaliforniaBarselectedmeaschairoftheADRCommitteesoftheBusi-nessLawSectionandtheLitigationSection.Allyoudoismanipulatepeopletodosomethingtheydon’twanttodo.Nooneeversaiditwouldbeeasy.

Looking Forward Lookingforwardbyagain lookingback. Inthemid-1980sMITwithDavidBaltimore, theWhiteheadInstituteandtheBroadInstitute,addedanotherfocustoMIT'smulti-disciplinedadvancementofthought.Byenteringthefield,MITbecameatechnologicalgiantofbiomed-icine.HowourcareerpathsmighthavechangedhadbiomedicinehappenedduringoureraattheInstitute?

Ordinarily I never advocatemore laws. This exception proves the rule.One of themanybrokenpartsoftheAmericanhealthcaresystemhasbeenthemis-appliedso-calledpriva-cylaws.Oh,youcan'thaveyourwife'smedicalrecordsbecauseofprivacylaws.Inthever-nacular,bull.Everyinsurancecompanyhastotalaccesstoeveryoneofyourprivatemedi-calrecords.Inboiler-plateadhesioncontractsyousignedonthelastpageofthetermsofserviceofyourapplication,youagreedtothereleasetothemofallyourmedicalrecords.Agreeornoinsurance.Everymagistrate,judge,discoverycommissioner,orarbitratorwill

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insistthatyourpersonalprivatemedicalrecordsfrombirthtodeathbemadeavailabletotheotherside.Period.Societyneedstochangethis.Weneeda lawgoverningaccess,allowingaccess.Whilenotbeingmadepublic,medicalrecordsmustbeaccessibleacrossplatforms.Wecouldstartbyrequiring everymedical record created be given to the patient, enabling some personalmanagementofourownhealthhistory.Secretproprietarycodeinmedicalrecordssystemsmust not be allowed.My pulmonary specialists at UCLA should have access tomy localmedicalrecordshereinOrangeCountyandmyhistoricalmedicalrecordsinPhiladelphia,andviceversa.AdoctorshouldneveragainsayIswitchedsoftwaresuppliersandnolongerhaveaccesstoYOURrecords.

Reorganization of the Federal Government RatherthanmakingtheDistrictofColumbiaanunconstitutionalstate,twenty-firstcenturycommunicationsallowsfordispersaloftheFederalgovernmenttothepeoplethroughoutthecountry.ReturnallpopulatedDClandexcepttheWhiteHousetotherespectivestates.Reallocatethegovernmentemploymentthroughoutthecountrybaseduponfederaltaxespaidineachstate.Take the corruptingmoneyof perpetual campaignsout of governmentby limitingMem-bersof theHouseofRepresentatives toasinglestaggered5-year termandSenators toasinglestaggered10-yearterm.ProhibitallmembersofCongressfromrunningforanyof-ficewhileservingtheirelectedterm.Gohomebeforeyourunforyournextposition.Add15-yeartermsforalljudgesandjustices.Require that all lawsandprogramsapply equally to electedgovernment representativesandnospecialbenefits(includingwithout limitationpensionsandhealthcareprograms)beaffordedtoelectedrepresentatives.Donot touch thebrillianceof theConstitutional Framers in creating thewonderful elec-toralcollege.Finally,rewritethetaxcodetoaboutfourpageseliminatingallspecialprivi-leges including so called charitable institutions (and deductions). Create multiple taxbrackets sufficient to fund the necessary portion of the government. A variant of inputequalsoutputplusaccumulation-taxableincomeequalsallincomelessallowablecostsofproductionasincurred.Endarbitraryfictionslikedepreciation.Usethesamesetofbooksfortaxesasusedforshareholderreports.

Summary of Changes in the Legal World Lookingbackamere22yearsbeforeourenteringMIT,therewerenoFederalRulesofCivilProcedure(albeittherewereprecedents,rulesofcourt,andcustoms);trialbyambushwastheorderoftheday.Today'scliché(true)thatnocaseeveragainlooksasgoodasitlookedon the day itwalked into your officewas founded on that old order. Counsel for an ag-grievedpartyfiledalawsuit.CounselfortheadversarybeganahighlyorchestrateddanceofarcanepleadingswithunpronounceableLatinnamestodelaythedayofreckoning,lead-


ingtoatrialwhereforthefirst-timeevidencewaspresentedtothejuryofpeersfordeter-minationoftheoutcome.Thematuringof thefederalrules(essentiallyadoptedbythestatesaswell)brought intothe21stcenturyDISCOVERY.Simply,thepartiesmustexchangeallevidence(information),including,withoutlimitation,evidencelikelytoleadtoevidenceintroducibleincourt.Eve-rything.Youdidnotknowwhattheothersidehadwhenyoudraftedthecomplaint.Youdonow.I'maPhiladelphialawyer,partofthelastclassofPhiladelphialawyers.In1967,afterpass-ingthebarexamtheCommonwealthofPennsylvaniaonlyadmittednewlawyers,residentofthestatetothePennsylvaniaappellatecourts,andtothecourtsofasinglecounty,inmycasePhiladelphia.PERIOD.Whenmoving toMontgomeryCounty, theadjoiningcounty, Icouldnotpracticeinmyhomecounty.Manyotherstateshadsimilarrulesprotectingthelocal bars. A year later thePennsylvania SupremeCourt changed the rule to allowCom-monwealthwidepractice.Allattorneylicensingwasbaseduponresidence.EighteenyearslaterIwasabletositfortheNevadabarexamasaresidentbecauseIhadspentmoreoftheprecedingyearinNevadathananywhereelse.BythetimeItooktheexam,theUSSupremeCourthadabolishedtheresidencyrequirements.Notwithstandingthefullfaithandcredit,andtheprivilegesandimmunitiesclausesoftheUSConstitutionlawpractices(andbank-ing)werelimitedbystateboundaries.Itisalongtimepastthetimewhennationallicensingshouldhavebeenimplemented.Between1960and1970thenumberoflawyersintheUSgrewfromabout250,000toover300,000.By2019 thenumberreachedover1.3milliongrowing four timesas fastas thepopulation.Whatare theextramillion lawyersdoing?Conductingdiscovery, servingandansweringinterrogatories,analyzingdata,reviewingdocumentsummaries,electronicdis-covery,no longerpaperandpen.Ask foreverything, lookata small sample thenask formore.Andbillthosehoursbytheminute. Lawwasaprofession.Lawyersworkedwithclients.Lawfirmswerepartnerships.Alargelawfirmhadfewerthan100lawyers,oneoffice,moresecretariesthanlawyers,typewrit-ers,carbonpaper,telephones(maybewithadetachedspeaker),conferencerooms,librar-ies,teletypeandtelex(afewstepsbeyondmorsecode). Thencameparalegals.Mergers.Multi-state firms(butnomulti-statepracticewithoutan-otherbarexamorprohacviceassociatedadmitted local counsel).And the technologyofthe law.Xeroxcopying. IBMSelectric typewriters. IBMmagcards thatrememberedwhatwas typedbutyoucouldnotview inreal time.HandheldDictaphonesenhancedthecon-nectionbetweenthescrivenerandthesecretary.Nomorecarbons.Xeroxcopiesofevery-thing.Inthemid-seventiesMcKinsey&CoselectedmeandAngel,mysecretary,tobetatestExx-on'sprototypeVydecwordprocessor, a largedesk-sized computerwithagreencathoderayscreen.Iwasthemostadvancedlawofficeintheworld.

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Astheresidenttechnologist,Iwasalwaysafirstorearlyadapterofnewtoysusedinthepracticeof lawincludinglawlibrariesonCDs,WordPerfect,Lotus123,Windows95,PCs,laptops, notebooks, dotmatrix, laser, and inkjet printers, flatbed and high-speed duplexscannerswithopticalcharacterrecognition,CD-ROMs,WIFIandtheinternet.MycellphonetransformedfromMotorola,Samsung,Nokiaandthenthewonderfulcomputerinthehandthe Palm Treo followed by the iPhone 4. Iwas addicted. The iPhone grew intomultipleiPads(thedailybatterylifeofoneisshorterthanmydailyuse).Itransformed100%toAp-pleelectronics.A27-inchiMac,anApplechippedMacBookAir;AnAppleWatch,aniPhoneandallthreesizesoftheiPad.Faxmachineseverywhere.Thecostoftelecommunicationswasfalling.Printedlawlibrar-ieswerereplacedbyLexisandWestlaw,thenresearchontheinternet.Lawfirmsbecameinternational,soontohavethousandsoflawyers.Bigbusiness.PCsandMacsandlaptops,allgobbledupbytechnologicallyunsophisticated lawyers, theyoungergeneration prevailing. The end of collegiality. Competition for the sake of competition.Large firmassociates, graduatesof thebest law schools,well paid, but required toworkandbill70ormorehourseveryweek.Theadventofcommercialjettransportationmadeanationalpractice,asanin-housecor-porate counsel, possible, corporate jets easier.Then theairline industry invented spokesandhubs, introducingimmenseuselessdelays.However,traveltimewastimeawayfromthephoneandawayfrominterruptions,qualitythinkingtime,whilebeingtoughonmaritalbliss.C1978EPApromulgatedahundred+/-pagesofRCRA(ResourceRecoveryandConserva-tionActamendingtheSolidWasteDisposalAct-thegovernmentbeingcutedidnotcallitthelanddisposalofhazardouswasteactwhicheveryonecouldunderstand).Theregswereapplicableto116ofourcompanyUSfacilities.IhadtomakeapresentationontheregsinSan Francisco the next day. Fortunately, the company had given an EvelynWood speedreadingcoursewhichenabledmetoreadtheentirerecordwhileflyingacrossthecountry.Istillhadtimeformythreemartinisbeforelanding.Inthatcase,speedreadingworked.Inevitablyspecializationfollowedgrowth.Repetition.Doingthesamethingoverandover.Analysiswithoutthought.Thebusinificationofalearnedprofession.Progressmeantmain-tainingabookofbusiness.Cannibalizationresultingfromregressiontoeatwhatyoukill.Untilabolishedin1975bytheUSSupremeCourteverylocalcountybarassociationpub-lished aminimum fee schedule controlling the fees of attorneys. That ended civility andprofessionalism. The bar answeredwith contingent fees for high reward recoveries andwhatstartedasthebillablehourdevolvedintobillableminutes.Whendoyouthink?Whendoyougototherestroom?JimmyCarterfurtheredthedownwardspiralbyabolishingthethree-martini lunch. A government contracts colleague accused us natural resource law-yersofhavingtoomuchfun.


Werethosenon-computer-generatedtimesheetsgreatexamplesoffictionwriting?Howmanypagesoflegalperiodicalsandcourtopinionshavebeendevotedtothereasona-blenessofattorney'sfees?Aslawyersbecamemorespecialized,theybecamelesslearned.Litigatorsreliedmoreandmoreonexperts. If youare following the science,howdoyouendupwithpartisan "ex-perts"onbothsidesofeveryquestion.Thelawyer,usinghispreferredviewofthe"science"createsa"model"absolutely inevitably leadingtohisdesiredresult.Thentheexpertwit-nesstestifiesfollowingthescriptwrittenbythelawyertoleadthejurydownhispath.Ad-vocatesnowtrytosubstitutethejudgmentoftheir"expert"fortheconclusionsthatshouldbeinthemindandhandsofthetrieroffacts,inthehandsofthejudgeandjury.Thecostofdiscoveryrendersthecostoflitigatingmoderatedisputesineffective.In1925CongressrecognizedthatbyenactingtheFederalArbitrationAct,nowmuchmalignedbyanti-corporatefactions.Unfortunately,theAmericanArbitrationAssociationhascreatedanequallycostlyalternateuniverse.Buildinguponthe truthsofDouglasMcGregor'sHumanSideofEnterprise,Harvard,Pepperdine,andothershavenourishedaworkable solution -alternatedisputeresolution - in the formofmediation(itmaycall formeditationbut it’sdifferent).WHATISTHEBESTALTERNATIVETOANEGOTIATEDAGREEMENT?BATNANeartheturnofthemillennium,IpickedupthephoneandcalledtheChief JusticeoftheNevadaSupremeCourt.HeyBill.Heardyouhadanewprogramtowipeoutthecasebacklog.Yes,itsmediation.WecallittheSettlementJudgeprogram.WiththatcallIbecameaSettle-ment Judge,helping litigiousandcontentiousparties find theirownsolution totheirdis-putes,commutingtoLasVegasaftermovingtotheCoast.AfterpassingtheCaliforniabarexam,mythird in36years, theprofessional transitiontoCaliforniarequiredanumberofchangesinmylawpractice.Nolawoffice.Nosecretary.Nopartners, associates, or paralegals. No file room; no file cabinets.What do I dowith thedocumentsfillingfivefivedrawerfilecabinets,documentsImustkeepfor7,11years,ortoinfinity?Ahigh-speeddesktopscanner.Twentyyearslaterallthosefilesremainfindableontheharddriveofmycurrentcomputersixiterationslater.Notonedocumentrequestedhasnotbeenfoundinlessthanthreeminutes.Nosecretarycouldeverfinda34yearoldfileinlessthanthreeminutes.

Throughoutmy career I endedwithmore friends among adversary counsel than amongcolleaguesandclients.Doestheattorney'sdutytozealouslyrepresenthisclientmeanbeattheadversaryandhercounseltooblivion,ordoesitmeanzealouslysearchforasolution,forresolutiontothedispute?AlwaysLearning.

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Last Thoughts BecausenooneinCaliforniaeverstudiedmanagement,thesecondlawofthermodynamics,ormathematics, I nowdrive analmost freePlug-inPriusPrime.Thepracticeof lawhadpassedfromelectrictypewriterstowordprocessorstationstodesktopcomputerstolap-topstonotebookstoiPads.Thephonedescendedfrompartylinetoprivatelinetomulti-linetobricksizedportablestocellphonestoiPhones.Arewebetterfortheadvances?Doesinstantcommunicationbeatcarefulreflection?Inoneimportantvitalwayithas.Theyoungladywhowouldhavebecomethepersonalsecretarythenisnowabrightarticulateengi-neer or attorney. Lawyering is an avocationwhere you continue to learn, and get betterwitheachmatter,witheachpassingyear.Masteringthatbambooslide-ruletaughtusafundamental.Lookatthedataandouranaly-sis.DOESITMAKESENSE?Weknowthattechnologyenablesustodoaterrificjobofanalysisofdataandofthepast.Afteranalyzingavailableinformation,weknowwhathappened.Wehavetheabilitytoex-plainit.Fromthatanalysiswecanidentifytrendsanddirections.Wecannotpredictthefu-ture.FromdayoneIalwaysoperatedabovemypaygrade.Ihadfun.Ikeptmysenseofhumor.TurnsoutthatIdohaveaprettygoodmemory.Deannaprovidedgraceandelegance.Weretiredwith our heads held high. Figure it out. Non-linear, Eclectic, Impish, Iconoclastic,Immoderate,Passionate,AlwaysanEngineer.Peacelove.

A spiritual place of peace - Mission SanJuanCapistranoRobert F. Saint-Aubin, SB ’64 Course15, Industrial Management, UniversityofPennsylvania,theLawSchool,JD‘67.Robert was employed as a corporate,environmental, natural resources law-yer for a major Philadelphia chemicalcompany.HerelocatedtoReno,NV,en-tered private practice as a mining andnatural resources attorney, and thenagain relocated to Monarch Beach, CA

where he served as a neutral, including as a Settlement Judge for the Nevada SupremeCourt.RobertandDeannametataBurtonHousefreshmanmixerandmarriedduringlawschool.Theynowwalkonthebeach.

Folding Money – One place where US technology is far behind | 127

Folding Money – One place where US technology is far behind Joseph E. Boling

Getting Interested in Folding Money IcametoMITasagraduateofamilitarydependentsschoolatItazukeAirBase,Japan,out-sideofFukuoka.Theschoolwasatthe“administrativeannex,”wherehousingandvarioussupportfacilitieswerealsolocated.Theairstrip,afewmilesaway,isnowtheHakataInter-nationalAirport.TheentirecomplexwasturnedovertotheJapanesein1972.Twoyearsaheadofme,AndyHumerhadgraduatedandgonetoMIT.Ifiguredifoneper-soncomingoutofItazukecouldmakethat leap,asecondonecould(weweregraduating10-15seniorsannually).Theonly classes inhigh school that interestedmewere science(not includingmath).Myaptitude test said I shouldbeaclerk,whichwas lessappealingthananythingelseIhadbeenexposedto.Ihadneverlearnedhowtostudyinhighschool—myhomeworkwasalwaysdoneinstudyhall or on the bus riding home (we lived off-base—Dadwas a law enforcement specialagentnotallowedtolivearoundorsocializewiththenon-law-enforcementpersonnelas-signed to the basewhom hemight have to investigate some day). Not knowing how tostudy,andhavinghadnothingbeyondtrigonometryinhighschool,Ihadahardtimewithmathclasses,anditkeptmefrompursuingphysics,whichIthoughtwasmyprincipalin-terest.LaterIdecidedIreallyshouldhavebeenintheSloanSchool,butthatdidnotseemaviable option while I was on campus—engineering students who switched to businesswerelookeddownupon.SoImovedovertoCourseIII,metallurgy,inthematerialsscienceside(Course III-B). I reallyendedupmajoring inROTC.The transcriptsays III-B,but thegradesshowthatArmymilitarysciencewaswhereIdidmybestwork.ThatledtoaregularArmycommissionanda28-yearmilitarycareer,firstinInfantry(twoyears)followedbytwoyearsinOrdnance,andthenafinalbranchtransfertotheAdjutantGeneral’sCorps(administrationandpersonnelmanagement).MyfirstassignmentafterofficerbasicandairbornequalificationwasinGermanyforthreeyears.Sometimein1965IattendedacoinandstampshowatRamsteinAirBase(maybe40milesdowntheautobahnfromWorms,whereIwasstationed).Ihadbeenastampcollec-torsinceaboutthirdgrade.IstumbledonatablewherethedealerhadstacksofbanknotesfromtheGerman1923hyperinflation,for5¢each.Ilookedattheamountofengravingyoucouldputonabanknotecomparedtowhatwouldfitonastampandneverwentbacktostamps. Isoonwascollectingall thedifferentnotesIcouldfindinthe junkstores,wheretherewere literally bureaudrawers full of them at the same attractive prices (includingmanyfromotherEuropeancountries).

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By 1967 I was also collecting US papermoney. I discovered you could buy obsolete USnotes(includingthepre-1928large-size,or“horseblanket”notes)forfacevalueinGermanbanks,aswellasgoldcertificates,whichhad justbeenmade legal forUScitizens toholdagain.Whenmyinfantrydetailended,ImovedtoMunichformyfirst jobasanordnanceofficer.ThecashierattheMunichPXoftenhadobsoleteregular-sizenotesinhistill(issuesdatingbacktothe1920sand30s),andIwouldstopintheretoseewhathehadthatIcouldbuyatfacevalue.Onedayhehadtwoidentical$20billsfromaseriesthatIwasstilllook-ingfor.AsIexaminedthemcarefullytoseewhichIwouldbuy($20wasaconsiderablesumforalieutenant),Irealizedoneofthemwasacounterfeit—itlackedtheredandbluesilkthreadsthatshouldhavebeeninthepaper.Ipointedthatouttothecashier,whowaslessthanuninterested.WhenIaskedaboutitthefollowingweek,hesaidhehaddepositeditinthebank,andnobodyhadraisedanissueoverit.IsurewishedIcouldhaveaffordedbothpiecestheprecedingweek.That wasmy second encounterwith counterfeitmoney. Back in the 6th grade Dad hadbroughthomea5¢militarypaymentcertificatethathadbeenraisedto50¢bycleverdraw-ingwithaball-pointpen.Ineversawitagain—presumably,itendedupinanevidencefilesomeplace.Butthosetwoexperiencesreallyraisedmyantennae.Ibeganwatchingforpub-licationsaboutcounterfeitsandpayingattentiontowhatwas inoron thenotes tomakethemhardtoreplicate.OverthenextseveralyearsIbecameheavilyinvolvedincollectingpapermoneyandcoinsof the world, eventually specializing in Japan. A friend who was collecting and writingaboutmilitarypaymentcertificates(manyserieswereissuedfrom1946-1973)wantedtoupdatetheearlybooksonAlliedandAxismilitarycurrenciesofWorldWarIIandrecruitedmetoworkontheAsiansideofthat.Wepublishedourfirstbookin1978.Fifteenyearslat-erwedecided togoalloutandcoverallnumismaticemissions related toWWII—paper,coins,medals,andwarbonds.That864-pagebookwaspublished in1995.Whilewritingthat,weuncoveredtheUScounterfeitingofJapaneseoccupationcurrencies.Thecounter-feits were used by guerrillas working behind Japanese lines throughout Asia. This, ofcourse,increasedmyinterestincounterfeitnotes.WhenIstartedtoselloffmyJapanesecollections,havingboughtallIcouldaffordandhav-ingnoplace further togowith them, Ikeptbackall thecounterfeits Ihadcollected,andgenuinenotes tomatch them (so students could see good andbadnotes sideby side). Ithenstartedtolookforcounterfeitsofothernations,andotherperiods,andbecameawareofhowfarbehindUSnotesareinthewaragainstindustrial-scalecounterfeiting.

US Bank Note Technology Until1990theUSwasstillrelyingononlytwosecurityfeaturesinournotes—theprintingdonefromengravedplatesandthecoloredsilkthreadsinthepaper(bynownolongersilk,butplastic).


$1note-leftaportionofWashington’slapelandrighttheimbeddedthreads.TheimagetotheleftshowsaportionofWashington’slapelona$1note,printedfromanengravedplate.Theinkstandsuponthepaper(checkanydenominationnoteinyourwal-lettoseehowthatfeelstothetouch).Theimagetotheright,showsthreebluethreadsandoneredthreadinthepaper(smallandhardtoseeexceptforthebluethreadintheblacksealatlowerright).Theverticalstripwillbedescribedbelow.Othernationswereusingwatermarks,latentimages(averyoldsecurityfeatureavailableonlyfromengravedplates),see-throughregistration(partofanimageontheface,therestontheback,makingaperfectimagewhenviewedagainstalight),embeddedplasticstripswithtextinthem,micro-printing(hardforcopierstoreproduce),multiplecolorsfaceandback, ultra-violet-reactive inks, security threads, optically variable (“color-changing”) ink(OVI),holograms,andstarting in1988,polymersubstratewithtransparentwindows,re-placingpaper.TherationalefornotkeepingupwiththeJoneseswasthattheUSnoteswereaworldwidestoreofvalueandchangingthemwouldconfuseusers.Counterfeiterscouldjumpinwithreplicasthatwouldnotberecognizedasreplicasbylong-timeusersofUSnotes.(“Oh,thisisthenew$50—haven’tyouseenoneoftheseyet?”)Butaboutthistimethe“supernotes”begantoappear—US$100and$50notesthatwerealmostperfectreproductions,printedfromengravedplateswiththesamekindsofpressesthatweuse,onpaperthatlooksjustlikeours.Somethinghadtogive.Around1989patternsofmagneticandnon-magnetic inkwereintroducedonthefacesofmostnotes(usedbybillreaderstodeterminethedenominationofthenote).Thesewereinvisibletousers,asbothinkswereblack,butcouldbeusedbybillcountersusedbycashhandlerstosensepotentiallycounterfeitnotes(manualexaminationwouldbeneededforrejectednotes,suchasones fromolderseries).Both inkswereprintedonthesamepassthroughthepress.TheGioripressesusedbytheBureauofEngravingandPrintingcouldprintup to threedifferent inks inonepass. Sowhywerewenotusing that capability toprintbeautifulmulti-colornotes?Wewereusingitforstamps.

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In1990theUSfinallymadeafeebleefforttocatchup—byusingpaperwithanembeddedpolymerstrip(alsocalledathread)thatborethenotedenominationintextthatcouldbereadwithaback-light.Thatistheverticalstripinrighthalfofthefigureabove,whichwasphotographedona lightbox.The threadswerealso reactiveunderUV light—adifferentcolorforeachdenomination.

$50note-underUVilluminationandshowingthelarge-headstyle.Shownaboveisa$50noteunderUVillumination.Microprintingaroundthenoteportraitswasintroducedatthesametime.Thesechangesweremadeonlyonnotesvaluedat$5andhigher(andthe$5and$10noteswith these featuresdidnotappearuntil1993).To thisday the$1and$2notes continue touseno security featuresbeyondengravingand tinycoloredthreadsscatteredthroughoutthepaper.ItwasobviousthatUV-reactivestripswerenotgoingtodeterthehostileplayerswhowerecopyingournotes. In1996 the firstof the “large-head”noteswas issued—the$100notewithFranklin’sheadmoved to the left, awatermarkplaced inanunprinted “window”attheright,andthedenomination“100"printedinOVIbeneaththewatermark.Theshufflingofdesignelementswas to introduce thewatermark (anoldbut easy-to-confirmsecurityfeature), to get the portrait off the centerline (allowing it to stay undamaged longer—agoodportraitisalsoausefulsecurityfeature)andtogivethenotesafreshlook.Itwasagoodsecondstep,butwewerestillfarbehind.Thewatermarkcouldbesimulatedbyprint-inginpalegreasyinkthatwouldmakethepapertranslucentwhenheldtoalight,andtheOVIcouldbesimulatedbymixingglitterintheink.Itdidnotchangecolor,butitgavethecorrectvisualimpressionthatthesecurityfeaturewaspresent.Thepolymerstripwithtextcouldbereplicatedinseveralways.Whenacounterfeiterputsallthesefalsefeaturesintoanote,itreallydoesnotmatterthatthenoteislithographedratherthanengraved—itlooksconvincing.Andyes,someoverseasuserswereconcerned.Mostcountries,whennewnoteseriesareintroduced,eventuallyretiretheolderseries.Theymaystillberedeemableatthecentralbank,buttheycannolongerbeusedincommerce.Canadajustretiredseveralseriesofob-


soletenotesthisyear,andtheUKandSwitzerland,asexamples,havelongstoppedhonor-ingolderseriesafewyearsaftertheywerereplaced.IwastreasureroftheInternationalBankNoteSocietywhenthe1996$100noteswereintroduced,andallofourEasternEu-ropeanmemberssuddenlywantedtopayduesinoldcash,andformultipleyearsifpossi-ble. They did notwant to risk getting caughtwith unusable notes if the previous seriesweredemonetized(whichtheUShasneverdone).Sofar,sogood,butwestillhadthemostplain-lookingnotesontheplanet.Ittookseveralyears to get all the notes $5 and up changed to the large-head style (see the $50 noteabove), and the$5nevergot theopticallyvariable ink—too lowadenomination for thatexpensiveink.Neartheendofseries1996(nextwas1999)the$20large-headnoteintroducedtheuseofinfra-red-transparent ink on one section of the back. This was used by equipment thatwould read the pattern of the IR-transparent ink to determine the note’s denomination.The other denominations followed, eachwith a different pattern. In ordinary light thesepatterns are invisible to users, so they add no security value unless the note is passedthrough a note counter thatwill kick out any notemissing a pattern (whichmeans thatsomeoldernoteshavetocontinuetobeverifiedbyeyeball inthebanks).Thiscapabilityreplacedtheuseofmagneticinkpatternsdescribedpreviously—andwasneededwhenthenextphaseofdesignprogressionoccurred.Eightyearslater(series2004)the“colorized”notesbegantobereleased—inalldenomina-tions$5through$50.Becauseofmanufacturingproblems,thelastofthecolorizednotes,the$100,didnotappearuntil2013.Thecoloredbackgroundsof thesenotesareprintedseparately by offset on different presses than used for the engraved portions. The colorgoeson first, since it is perfectly flat on thepaper andwouldnotprintwell over an en-gravedimage,withitsinkstandingonthesurfaceofthepaper,causingaroughtexture.ThecolorizednoteshavebothOVIandadeviceneartheportraitinspecialmetallicink.Itdoesnotchangecolorwhenwiggledbutdoeshaveadistinctivelook.Butitdisplacedoneoftheblackinks.BoththemetallicinkandtheOVIareprintedfromthesameengravedplatesas themaindesign, leavingonlyonemore inkavailable foruse.TheBureauchosetousemagneticinkonthefullblackplate,makingtheIRinkpatternsonthebacksessentialformechanicaldenominationdetermination.Sincethe$5stilldoesnotuseexpensiveOVI(orametallicinkdesignfeature),itcontinuestousemagneticpatterns(italsohastheIRfeatureontheback,whichisusedbynotereadersfortheblind).Andasalways,byactofCongress,nochangeshavebeenmadeonthe$1and$2notes.Theproblemsthatdelayedthereleaseofthecolorized$100swererelatedtotheinnova-tivefeatureinthatnote—theblue“Motion”®polymerstripinthepaper(againalsocalledathread).Thisthreadwasdevelopedbythecompanythathasprovidedpaperforourbank-notessincethe19thcentury-Crane&CompanyinDalton,Massachusetts.

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$100 bill - showing a portion of the newthread.The thread is wide and windowed (whichmeans it is buried in the paper in someplaces and exposed in others) andhas im-ages thatmovearoundwhen the thread istiltedrightandleftorupanddown.ThisisthemostadvancedfeaturetoappearonUSnotes todate and is restricted to the$100bill.The$100noteabove,showsaportionofthatnewthread.Theblurryimageswith-

inthethread,whichmovewhenthenoteistilted,arethenumber“100"andaLibertyBell.Butthethreadaddsthicknesstothepaper,overamuchwiderspanthanthethicknessoftheverynarrow(andthinner)embeddedthreadsusedinothernotes.Thepapertendedtocreasewhengoingthroughthepress,andsincethe imagewasperfectlyprintedoverthecrease, theerrorcouldnotbedetectedbytheopticalsensors thathavereplacedthepla-toonsofnote inspectorspreviouslyused. Itwould appearonlywhen thenote started tocirculate,andthecreasewaspulledopenbyhandling.Evenmanualinspectionwouldnotfindtheproblemunlesseachsheetwastuggedbyaninspector,whichwasnotpartofthemanual process and would slow production drastically. Eventually, adjustments to thepressfeedprocessesresolvedtheproblem,butmanymillionsofdollarsworthofprintednoteshadtobeshredded,andtheintroductionofthenoteswasdelayedseveralyears.Well,wherearewe?Wehaveasomewhatspiffy looking$100note,andcolorfulnotes inlowerdenominations,butnexttimeyougooverseasorcanspendafewminutesatanair-portcurrencyexchangecounter,lookatwhatothernationshaveadopted.Therearenoendofproprietaryopticaleffects(rolling,waving,androtatinginiridescentcolors);allthefea-turesImentionedintheintroduction;“pearl”ink(transparentinkthatascannerorcameracannotsee,butthatreflectslightwhenheldatcertainangles);transparentwindowswithembeddedhologramsthatprojectimagesonthenearestwallwhenalaserpointerisaimedthrough them; images that,when activatedwith the proper cell phone app,will tell youwhetherthenoteisgenuine;andmuchmore.PrinterslikeDeLaRuehaveusedsomena-tions’ notes as test beds for new features (Kazakhstan comes tomind, a relatively poorcountrywithtop-drawerbanknotes).It’stimeforourstodgyTreasuryandFederalReserveofficialstogetoffthedimeandmoveintothe21stcenturywithUSpapercurrency.JosephE.Boling, ’64Course3,Metallurgy,spent28yearsintheArmy,andisacurrencycollectorandauthor.

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Science and Technology

Left,TheSpaceXStarship(SN15)takingoffon a successful high altitude test flight inMay2021.InthesixdecadespostSputnik1,satellites and space junk abound in Earthorbit, humans have visited the moon,robots have visited the planets and haveleft the solar system. The U.S. spaceprogram is now driven more by privateindustrythanbytheFederalGovernment.Below,In1957,theUSSRshockedtheworldwiththefirstsuccessfullaunchandflightofaman-madeorbitalsatellite.Manylistenedto the beeps on amateur radio or visuallytracked the satellite with the aid ofpublishedtrajectories.Theeventsparkedastrong national response promotingmathandsciencetraininganda furiouspushto

develop a U.S. response, including the founding of ARPA and promoting launch competitionamongtheMilitaryServices.

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Project Acorn:The Birth of the IBM Personal ComputerDavidSaul

Introduction Personal Computer. The generic term has become acommon part of our vocabulary. Toddlers to seniorsunderstand what it means. But if you go back fortyyears, the concept of single-user computers was re-served for electronics hobbyists, academics, andpopu-larsciencespeculation.What I attempt to do in this set of historical remem-brancesistotakeyoubackto1981andtheintroductionoftheIBMPersonalComputer.Personalcomputingwasinevitable given the progress beingmade inmicropro-cessors, solid-state memory, and software. But IBM

gavelegitimacytothePCthathasteneditsacceptance.IplayedasmallpartinIBM’sdevel-opmentofthefirstPC.Iwanttothankourclassmate,BobGray,forprovidinghispersonalperspectiveonpersonalcomputinginacademiainthelate1970sandhisspecificinsightsonCP/M,themostseriousoperatingsystemforearlymicroprocessors.AbitofbackgroundistounderstandhowIwasintherightplaceattherighttime.Specifi-cally,whywasIaProjectManagerinIBM’sCambridgeScientificCenteras1981beganandhowdidtheCenterbecomepartofProjectAcorn,theinitialcodenamefortheIBMPerson-alComputer?IbeganworkatIBMin1965asaSystemsEngineerinitsofficejustoutsideHarvardSquarethatsupportedfederalgovernmentcustomers.AsdescribedinmyearlieressayinourfirstClass compendium, Iworkedwith theNASA Center in Technology Square on the Apollogroundguidancecomputer,MIT’sInstrumentationLab(nowDraper),AirForceCambridgeResearchLabsatHansomFieldandMITRE.WhilesupportingMITREIhadmyfirstexperi-ence programming IBM’s recently announced System/360 computer. Prior to that an-nouncement, IBM had a separate 36-bit word-based scientific computer series startingwiththe701andevolvingtothe7094.Forexample,MIThadanIBM7094inBuilding26atthetimeofourgraduation.MITREhadoneofaveryfewStretchcomputerswhichwasasupercomputerversionofthe7000series.Sincecomputersofthetimedidnothavesepa-rate input/output processors theywere slowed to a crawlwhen theyhad to read input,typicallypunchedcards,orprinttopaper.StretchspeededupI/Obyspoolingitsinputtomagnetic tape and sending its output to magnetic tape. An IBM 1401 character-basedbusiness computer provided offline card input to tape aswell as tape to paper printing.MITRE replaced their1401withoneof the first System/360Model30 computers in theBostonarea. RatherthanwritingacompletelynewspoolerprogramI tookadvantageofthe1400seriesemulationthatcamewithSystem/360andIonlyhadtoprovideashellin

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360Assemblerwhichcalledtheemulatorwiththecorrectparameters.Fifteenyearslaterthe IBMAsynchronousCommunicationsprogram for the IBMPersonal Computer used asimilararchitecture.ImovedfromthatpositiontoaDistrictsystems-supportroleatIBMonBoylstonStreetinBoston.TheDistrictofficeprovidedsecond-levelsoftwareassistancetocustomersinNewEngland,upstateNewYork,andmostofConnecticut.Ourjobwasaptlydescribedbyafel-lowMITalumnico-worker,GeorgeMcQuilken,as“birdmen”. Weflewintothecustomersite,droppedaloadofs**t,andflewout.IbecamearegularonMohawkairlinesforBuffaloandRochestercustomers.IalsoputmanymilesonmycardrivingtosouthernConnecticut,exceptwhentheAraboilembargoforcedmetousethetrain.In1977IgotmyfirstmanagementjobatIBM’sCambridgeScientificCenterinTechnologySquare. CSC had two non-contiguous floors at 545 Technology Square. Most of the re-mainder of the buildingwas occupied byMIT’s Laboratory for Computer Science (LCS).CambridgewasoneofthreedomesticScientificCentersandothersgloballythatengagedinadvancedtechnologyprojects.Weweretheinterfacebetweenresearchanddevelopmentand were deliberately located adjacent to leading computer science universities. Cam-bridgeisbestknownforitsinventionoftheVirtualMachine,theextensionofvirtualizationtoanentireenvironment. Inconjunctionwith thePaloAltoScientificCenter,CambridgehadaddedvirtualmemoryhardwaretoanIBMSystem/360Model40,creatingCP40.Lat-er thatprototypewasproductized intoCP/67and itsoperatingsystem,CMS(CambridgeMonitorSystem). CP/67wasfortunateforIBMasthecorevirtualmemorysoftware,TSS(Time Sharing System) was mired in delays and performance issues. When the Sys-tem/370wasannouncedVM/370becameastandardproductandmovedtoaseparatesiteinBurlington,MA.AhistoricalfootnoteisthatseveraloftheCMSdeveloperswererecruit-edbyDECandyoucanseetheirhandinthedevelopmentofVMS.

Theprojects Imanagedat theCambridgeScientificCenter when I arrived were mainframe oriented,which was the core of IBM’s business. The mini-computerwasjuststartingtoeatawayatthelowerendof IBM’sworldwithDEC’sPDPbeing themostprominent inroad. Othershadalsocloned the IBMmainframewithformerIBMarchitect,GeneAmdahl,buildingahigh-endmachine.Ialsoworkedonearlynetworking projects which predated the Internet.Networking projects neededpartners to communi-catewithanduniversitiesweretheidealcollabora-

tors.ImanagedtheBITNETnetworkingprojectwithGreyFreemanattheYaleComputerCenterandIraFuchsatCUNY.Oneofmymentors inCambridgewasresident IBMFellow,NatRochester. NathadbeenoneofthedesignersofIBM’sfirstcomputers,the701.Inadditiontotellingusanecdotesaboutthoseearlydays,Natcouldalwaysbereliedonforpracticaladviceonaproject.Hewasalsoabiteccentric.Natlikedtodrivewithnoshoeson.Hesaiditgavehimbetterfeel


forthepedals.IrememberthedayNatforgottobringhisshoeswithhimandspenttheen-tiredaywalkingbarefootaroundtheCenter.Natdiedin2001andhismemorialserviceinDuxbury attracted a crowd that overwhelmed traffic in that small seaside townwith somanyfriendsandcolleagueswantingtopaytributetohim.AnotherprojectIworkedonturnedouttobeonethatpavedmypathtothePC.WhenIBMintroducedSystem360italsointroducedthe8-bitbyteanditsencoding,EBCDIC.Therestofworldcontinued,forthemostpart,withASCIIcodingforcharacters.IBMdidnotcom-peteatthelow-endoftheterminalmarketwhereTeletypessetthestandard.OtherswerebuildingCRTscreenterminalsthatusedtheASCIIstandard.IBMJapanneededaproductandhaddeveloped the3101CRT terminal. Tovalidate the3101 in theUnitedStatesanIBM locationwas neededwith ASCII expertise and Cambridgewas picked based on ouruniversitynetworking experience. Wewere able to validate the3101and itwent on tosomesuccess,primarilyoutsideoftheUS.

Personal Computers Begin to Emerge Personalcomputerswerestartingtoemergeat thetime. RadioShack’sTRS-80,Commo-dore64andtheAppleIIcomputerweremostpopularwithhobbyists.Theywerecrudebytoday’sstandardswithcassettetapeforstorageandupper/lowercasekeyboardsoptional.Buttheyhadalsostartedtogaintractionwithacademicswhobegantousethemforscien-tific calculations, avoiding the delays frommainframe batch computers. Classmate BobGraywasoneofthosepioneers.HereiswhatBobhastosayaboutthoseearlydays:

“In 1978 I purchased a Cromemco System 3, a Z80-based machine which ranCDOS(CromemcoDOS,oneofthemanyCP/Mimitatorsofthetime).Myhomeof-ficewasinatinyruraltown(LaHonda,perhaps500peoplethen,inunincorpo-rated SanMateo County). I needed real computing power, including a decentwordprocessor(EmacsandtheWYSIWYGWordStarranonCP/Manditsimita-tors)aswellasBasicandFortran4(alsogreatonCP/M).Modemsthenweretooslowformetoworkremotelyfromhome(andthenetworksofthetimetoounre-liable),soIneededaself-containedsystem,oftenexchangeddatawiththeStan-ford computers using 8-inch floppy disks and used themodem only for email.Thatmachinecostmenearly$4Kandweighedover70lbs.Butitallowedmetodo serious Fortran programming and then pass on the successes to graduatestudentswhoredidthingsinCorC++.”

”ByMay1978Isubmittedapaper(publishedinJanuary1980)withtwostudentsto an IEEE Transactions with examples and preliminary results developed athomeinBasicontheCromemcoSystem3(acknowledgedinthepaper)withcare-fulexpandedsimulationsobtainedonaPDP11/34atStanford.Personal/homecomputers running CP/M or an imitation were far from being for hobbyistsalone. I and several colleagueswere actively using them for statistical signalprocessingresearchby1978.AnothervirtueofCP/Mwasthattheearlyversionsof LaTeX typesettingapplications (combiningKnuth'sTexwithLamport'smac-ros)werequicklyavailableforCP/Mandhenceforitsimitators.IusedtheSys-tem3extensivelyuntiltheearly1990swhenIreplaceditwithaSUNUnixsystem,whichStanfordpaidfor.IneverownedaPCrunningMSDOS.”


Recognizing the business potential, IBM started a project in its Raleigh, North CarolinaplanttobuildanAppleIIclone,calledthe3101P. Itusedthe3101keyboardandscreenwithamodifiedchassistoholdadaptercards. Nosoftwarewouldhavetobewrittenforthe newproduct as it could reuse anythingwritten forApple. Given ourworkwith the3101,severalofus flewdowntoRaleighandmetwith the3101Pdevelopers. WeaskedthemwhatdistinguishedtheirproductfromApple,andtheywerehardpressedtocomeupananswerotherthanthattheirchassiswaseasiertoinsertadaptercardsintoandtheyhadabetterkeyboard.Assumingthepricewouldhavebeenhigher;wedidnotseethe3101Pasawinner.Whatwasthealternative?

TRS-80 AppleIIEvery year our Cambridge Scientific Center head, DickMacKinnon,would hold a kickoffmeetinginJanuarytocelebratetheaccomplishmentsofthepreviousyearandbrainstormabouttheyearahead.InJanuary1981wewereoffsiteatalocalhotel.OneofthestalwartsofourCenterwasFritzGiesin.FritzwasaformerIBMCustomerEngineerwithexperiencemaintaining hardware. More than that, Fritzwas the person youwent to if you neededsomethingbuilt. Hewastheultimatetinkerer. Forhis1980Christmasholiday,FritzhadtakenhisfamilytoBocaRaton,Florida. Neveronetorelax,FritzhadstoppedbytheIBMplanttovisitwitholdfriends.Whilethere,heheardaboutProjectAcorn,a“skunkworks”projecttobuildapersonalcomputer.FritzdescribedtouswhatheknewaboutAcornandaskedwhethertheCenterwantedtogetinvolved.Ofcourse,wedid.Ourexperiencewiththe3101wasourentry.ItturnedoutthatbeinginCambridgegaveusanotherentrythatwedidnotrealizeatthetime.

Project Acorn The IBMPersonal Computerwould never have existedwithout the creativity, salesman-ship,drive,andpersistenceofoneman–DonEstridge. Hewas the forcebehindProjectAcornandconvincedIBM’sthenchairman,FrankCary,thatIBMneededtoinnovateratherthancopy.IonlymetDononceanditwasaftertheworkIdescribebelow.ThethreeUSScientific Centers in Cambridge, PaloAlto and LosAngeleswould gather several times ayearatanIBMlaboratoryordevelopmentsiteforasymposium.Inlate1981wewentto


Torontowhere,uponintroduction,DonEstridgecommentedthathehadalreadyseenmeontheIBMPCannouncementvideo. AtthatmeetingIsensedtheforceofhispersonalityandwhyhe earned the title of “Father of the IBMPersonal Computer”. IBM’s futurePCstrugglesmighthavebeenlessenedifDonEstridgehadnotbeentragicallykilledinapri-vateairplanecrash in1985. Anecdotally,going throughCanadiancustomsand immigra-tion, Nat Rochester had his floppy disks confiscated as undeclared business goods. ThediskscontainedNat’spresentationslides,sohehadtoimproviseduringthemeeting.AcornwasbasedonanIntel8088chipratherthantheMotorola6800thatAppleused.WeweretoldbytheAcornarchitectsthattheychosetousethe8088chips,avariantofIntel’s8080withasmallerdatapath,primarilyduetocost.Thatchoicemeantthatnewsoftwarewouldhavetobewrittenfromscratch–operatingsystem,programminglanguages,appli-cations,etc. DevelopingthePChardwarecouldborrowfromotherpartsofIBMlikekey-boardsandmonitors, but internallydeveloped softwarehadneverbeenahistorical IBMstrength.Thesolutionwastogooutsideforeverything.OneofthefirstsoftwarecontractswaswithaWashingtonstatestartup,Microsoft,foraBASICinterpreterwhichwouldbetheprimaryprogramminglanguage. Othercontractswereletwithoutsidecompaniesforac-counting software fromPeachtreeandawordprocessor,WordStar. TheCenter sawanopportunityforustocontributecommunicationssoftware,whichwasnotpartoftheinitialplan.

Software WeassumedthatthefirstchoiceforanoperatingsystemwouldbeCP/M,thefirstsuccess-fuloperatingsystemformicroprocessors,inventedbyGaryKildallandsoldbyhiscompa-ny, Digital Research of Pacific Grove, California. Wewere told that the IBM negotiatorswerenot able to reacha satisfactorydeal forCP/MwithDRIduring their initial visit, soIBM turnedagain toMicrosoftwith a request for a suitableoperating system. MicrosoftthenpurchasedaCP/M-likeoperatingsystemfromSeattleComputerProductsandtrans-formeditintoMSDOS,whichtheyprovidedtoIBM.Oursoftwaredevelopmentwasnotde-pendentonthechoiceofoperatingsystem.FollowinganagreementwithDigitalResearch,early IBM PCs offered customers a choice of which of the two operating systems theywishedtopurchase,withMSDOSbeingone-sixththepriceofCP/M.The “killer application” for all PCs turnedout tobe the spreadsheet. Another startup inCambridge,SoftwareArts,wasdevelopingVisiCalc.OriginallydevelopedforApplebyDanBricklinandBobFrankston,VisiCalcwastheprototypeforalloftoday’sspreadsheetprod-uctsthathavetransformeddatamanipulation. LateratLotus(acquiredbyIBM),Bobde-velopedLotusExpressbeforemoving toMicrosoft. Aftermanyyears I reconnectedwithBobFrankstonattheBostonCTOClub.HeremainsanactivecontributortotheIEEEandaseminalthinkeronmultipletopics.TheoriginalIBMPersonalComputerhadhardwarecommunicationsadaptercardsforbothbinarysynchronouscommunicationsandasynchronouscommunicationsbutnoplans forsoftwaretodrivethem.ThatprovidedanopeningforaScientificCenterproject.Wevol-unteeredtowriteasynchronouscommunicationssupportthatwouldallowtheIBMPCtooperateovertelephonelinestoanIBMmainframe,minicomputer,etc.Andwecommittedto finishing in time to be included for themid-year product announcement. The Acorn


softwaremanager, H. L. “Sparky” Sparks,was dubious but agreed. He did not thinkwewouldmakeit.Wemaynothavebuttheannouncementslippinguntillatesummergaveusmoretime.WeneededaprototypeIBMPCtotestwithandtheywereintrulyshortsupply.Onecouldnotbeprocuredforus.ThesolutionwasduetoourproximitytoSoftwareArtsinCentralSquare.Shipmentstotheirsharedspacewerenotsecure.Thesolutionwaswhenthelat-est version of PC hardwarewas produced itwas sent to our secure IBM location. Fritzwould thenhanddeliver it toSoftwareArtsand take theprevioushardwareback toourTechnologySquarefacilitytouseforsoftwaredevelopment.TheoldestmachinewouldbesentbacktoBoca.ThePCprototypewaslockedinawindowlessroomwithtwotablesandafewchairs. OnlyIandthetwodevelopershadkeys. Myhardwarecontributionwastoneatly print characters on stickers which were placed on the keyboard. The prototypekeyboardhadcomefromanIBMwordprocessorandwasEBCICinsteadofASCII. Neverunderestimatetheimportanceoftakinganengineeringdrawingcourse.

Networking Modemswerenotyetavailabletoconnecttheasynchro-nousadaptertoaphoneline,soweusedanacousticcou-pler operating at 300 bits per second. Later 2400 bpsmodemsseemedlightningfasttous.Asynchronous Communications Support was developedby Frank Bequaert and Charlie Salisbury (MIT Class of1964). The software emulated an ASCII terminal. Tospeed development, Frank wrote most of the softwareusing thenativeBASIC interpreter andCharliewrote anAssembler driver for the adapter card, being called andinterruptingwhenneeded. Theyhadtolimitfeaturesas

theBocaRatonmanagementinsistedthattheprogramfitinthedefault64Kmemory.WedidproduceaVersion2for128Kwiththoseadditionalfeaturesbeforetheendoftheyear.AtsomepointtheAcorncodenamewasdroppedandChessbecamethenewlabel.TherewasalsoaCheckersprojectwhichbecamethe ill-fatedPCJr. PlanswerebeingmadeforsellingthePCinIBMstoresaswellasSears,distributionchannelsentirelynewtoIBM.Oneofthestoresopened,briefly,acrossfromtheBurlingtonMall.AftermuchdiscussionitwasdecidedthatthePCwouldalsobesoldbyIBM’sDataProcessingDivisionwhichnormallymarketedmainframesetal.DPDVPDaveHannawasanearlysupporterofintegratingthePCwithIBM’sotherproducts.IbecamearegulartravelertoBocaRaton,FloridatomeetwiththeAcornsoftwareman-agement. TheAcorngroupwashousedinrentalspaceawayfromthemainIBMdevelop-ment sitewhichhelped tomaintain its confidentiality. Thebuilding abutted the railwaytracks,and,duetothenoise,wewouldhavetopausemeetingswithSparkySparks,inhissingle-panewindowedconferenceroomwheneverafreighttrainwouldpassby.HelaterleftIBMfornewlyfoundedCompaqasvicepresidentofsalesandservice.


PC Announcement Day As PC announcement day neared, we were finishing up our testing and documentation.TheDataProcessingDivision realized theyneededsomeannouncementmaterial toedu-catetheirsalesforce.AprofessionalvideowouldbeproducedwithDPDPresident,GeorgeConrades,takingtheleadrole.EarlierIhaddemonstratedourAsynchronousCommunica-tionsSupporttohimonavisittoCambridge.WehadconnectedtotheNewYorkStockEx-changeoveradialuplineandwerereceivingstockprices,lookinglikeaTeletype.Ihadto-convinceConradesthatweweredoingthisinrealtimeandhadnotpre-recordedthedatafeed.WhenthetimecametorecordtheannouncementvideoIwasselectedtoactasthePCuser. Wefilmed inour lockedroomwithmesittingat thePCanddescribingtheuses towhichitcouldbeput.Ihadabrieftalktomemorize.MostlyIrememberhavingthemap-ply stagemakeup so Iwould appear human on the video. Thankfully, I bore no resem-blance to Charlie Chaplin who the IBM advertising agency chose as its silent campaignspokesman.YearslaterImetGeorgeConradeswhenhewasCEOofBBNinCambridgeandremindedhimofoursharedvideopast.Hedidnotseemtorememberme.

ShortlyafterthePCannouncement,IBMhadoneofitsquarterlymainframeusers’meetings,SHARE,atthePalmerHousehotelinChicago. Headquarters DPmarketing people came upwith theideaofshippingourprototypePCtothehotelandhavemegiveaPCintroduction“birdsofafeather”sessiontoasmallgroup.Wewere added to the schedule but the day before the session ourprototypewasseizedbysecurityguardssent toourhotel roomby IBM. OurdevelopmentPCwasnotUnderwritersLaboratorycertifiedandcouldnotbeshowninpublic.Weweretoldacerti-fied model would arrive that night. After midnight I drove toO’HareAirportandImetanengineerfromBocaRaton.Wetooktheboxesofftheluggageconveyor,piledthemintotherentalcar

anddrovebacktothehotel.WespenttherestofthenightassemblingthetwoPCs,underhisguidance. Itwasthefirst timeIhadever insertedmemorychips intoacircuitboard.Fortunately, I didnotbendanyof thepins. I alsohad to install the5.5-inch floppydiskdriveinitsbaywhichrequiredcantileveringthePCoveratableandinsertingascrewfromunderneath.AnearlyengineeringchangewiththeproductionmodelPCchangedthatpro-ceduretoasaferone,insertingscrewsfromtheside.Thenextmorning,IsetthePCuponatableinfrontofasmallhotelmeetingroom.Whenweopenedthedoortheentirehallwayoutsidewasfilledwithpeoplewhowantedtogetin.Ihadtorepeatmypresentationonoverheadtransparencies(noPowerPointyet)tolargerandlargermeetingroomsfortheentireday.TheonlysoftwareIhadtodemonstratewasaprogramthatdrewrandomcoloredlinesonaTVmonitorandaBASICprogramthatcalcu-latedpayments,givenamount,termandsimpleinterest.IBMdidnotyethaveitsowncolormonitor available. The SHAREmembership presentationswere followed by a late-nighttriptoLakeGeneva,Wisconsin,topresenttotheSHAREBoardofDirectorsaftertheirdin-


ner.Afteraheavymealandmuchwine,theBoarddidnotshowasmuchinterestastheirmembershad.OnAugust12, 1981 IBMannounced themodel5150, IBMPersonalComputer. TheonlypieceofIBMinternallydevelopedsoftwareincludedinthatannouncementwasAsynchro-nousCommunicationsSupport.Iwasandcontinuetobeproudoftheworkthatourteamdidin1981tomakethathappen.LikemanyoftheaccomplishmentsoftheCambridgeSci-entificCenterduringthatperiod,ourPersonalComputerprojectwouldnothavehappenedwithouttheleadershipofDickMacKinnonandhisabilitytoseehowtechnologycouldbeappliedtorelevantproblems.With the announcement IBM had made provisions for an employee Personal Computerpurchaseprogramandourfamilyreceiveditsfirsthomecomputerlaterthatyear. Ithadtwo5.5-inchfloppydrives,amonochromemonitor,andanEpsondotmatrixprinter.Diskharddrives didnot come alonguntil theXTmodel in early 1983. Our first role-playinggamewas Zork, entirely text based. We soon purchased enhancements from a start-upmailordercompanyinNewHampshire,PCConnection. Theyarestill inbusinessandanearlyexampleofthehugeindustrythathasprosperedfromthepersonalcomputer.Building on this first terminal communications program from Cambridge, in 1982 staffmember Jim Perchik developed a full featured terminal communications program, 3101Emulation Program, with full-screen capabilities as well as the ability to emulate othermanufacturersTeletypecompatibledevices.3101Emulationhadthedistinctionofhavingzerobugsreportedduringitstwo-yearlifespan.Asapostscript,in1992IBMclosedallthreeremainingdomesticScientificCentersasacostcuttingmeasure.Thatclosureendedtheirtwenty-eightyearsofadvancedtechnologycon-tributions tocomputerscience. Ironically, in1989the IBMSystems Journal (Volume28;Issue4)hadpublished“HistoryandContributionsoftheIBMScientificCenters”,anentireissuededicatedtotheinnovativeworkdoneintheirtwenty-five-yearhistory.Iwasoneoftheguesteditorsonthatissue.DavidSaul'64Course16,AeronauticsandAstronautics,hisfirstjobaftergraduatingfromMIT in1965waswith IBM’sFederal Systemsoffice inCambridge. His firstmanagementpositionwaswithIBM’sCambridgeScientificCenter,whereheoversawadvancedtechnol-ogy computer projects in virtualization, multiprocessing and networking.In 1981, hisgroupdevelopedIBM’sfirstsoftwareproductthatallowedtheIBMPersonalComputertocommunicateovertelephonelinestomainframes.In1993,hejoinedStateStreetandap-pliedhiscomputerskillstofinancialservices.HewasStateStreet’sChiefScientist,wherehefocusedonapplyinginnovationtotheirbusiness.


Big Data and Small: A Statistician’s View Stephen Portnoy IenteredMITasabuddingmathematician.Myinitialinterestsincludedphysics,butaftergettingacoupleofC'sinthefirstyearcourseforPhysicsandMathmajors,Iswitchedtothegeneralversion (B's,withmuch lessworkandstress),andconcentratedmainlyonmoreabstractmath.However,bymyjunioryearIwasbeginningtolookagainatmathapplica-tions,especiallyaftercoursesinArtificialIntelligenceandOperationsResearchpiquedmyinterest.Inmysenioryear,ItookagreatcourseinbasicmathematicalstatisticsfromPro-fessorHaroldFreemanfromtheEconomicsDepartment.FromthereIwentontoStanford(helpedgreatlybytherecommendationfromProfessorFreeman)foraPh.D. inStatistics.Aftera5yearstintatHarvard,IspenttheremainderofmyacademiccareeratUniversityofIllinois,whereIcontinueasanEmeritusProfessor.FouryearsagoImovedtoOregontobenear my daughter's family (especially my youngest grandson). But I continue to do re-searchandsomestudentmentoringthroughanadjunctappointmentatPortlandStateUni-versity. IremembermytimeatMITwithgreatfondness,especiallysinceMITisthesourceofmytwogreatestloves:statistics,andmuchmoreexuberantly,mywife,Esther,whomImetattheMITScienceFictionClubin1963.Afterthemeeting,manyoftheattendeeswalkeduptoCentralSquareforapizzadinner.EstherandI,bothavidhikers,foundourselveswalkingfasterandseparating fromtheothers.Fifty-sevenyears later,westill enjoyhiking,espe-ciallyinthenearbyhillsandmountainsofOregon.

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Academic life provided a serious advantage: the ability toworkwith colleagues from allover the world. International conferences gave ample opportunity for travel, and whentravelingwealmostalwaystrytotakeasidetriptoscenicareaswherewecandosomeex-tensivehiking.Visits included sabbaticals inAustralia (where in one6-monthperiodwedidsufficienthikingtohaveclimbedfromthecoasttothetopofMt.Everest, twice!)andnumeroustripstoEurope,wherewehikedintheAlps(seephoto),theTatrasinnorthernSlovakia,theLakeDistrictinEngland,andonGreekIslands,amongothers.

Statistical Career Mycareerasanacademicstatisticianhasbeenespeciallyrewarding,both in termsofre-searchandteaching.IhavespecialfondnessforthePh.DstudentsIadvised;workingwithbrightandeagermindstendstokeeponeyoungatheart.Myresearchactivitiesbeganwithextensions ofmy thesiswork onmathematical statistics. Asmy career developed, I hadample opportunity toworkwith colleagues developing innovative statisticalmethodolo-gies,toengageinstatisticalconsulting,andalsotoworkonanumberofcollaborativepro-jectswith scientists and scholars in a verywide range of fields: frombiological sciences(especiallyecology),socialsciences(especiallyeconomics),andothersciencestolinguisticstudiesoftheHebrewBible.Thishasgivenmeabroadperspectiveonstatistics,andagreatdealofsheerjoy.MycollaborativeworkontheHebrewBiblehasbeenespeciallyrewarding,asthisisanar-eawheretheapplicationofstatisticsisfarfromclear.Thisworkgenerallyconcernsanaly-sis ofword frequencies, towhich I recently introduced the analysis of the gapsbetweenspecificwords. The aim is to distinguish possible differences in sources (or authorship),especiallydifferentiatingbetweenearlyandlateBiblicalHebrew.Amajorquestioniswhatonecandostatisticallywhenthereisnoagreement(ordata)onsources,dating,orauthors.Basically, we look at the appearance of putative markers of source or dating and askwhetherornotthedataforthemarkercouldhavebeengeneratedatrandom.Theconclu-sions are that for somemarkers, the probability that they appeared "at random" is verysmall,butothermarkersarenotatallunlikelyundermodelsforrandomappearanceandthusnotlikelytobeuseful.

Big Data, a Statisticians’ Perspective OneofthehottesttopicsofmoderndataanalysisconcernswhatiscalledBigData,orDataAnalytics.I'lladdressthisissuefromtheperspectiveofastatistician,beginningbyabriefdiscussionofstatisticalscience.This is thesystematicstudyofcomparativepropertiesofprocedures for analyzing data. Note that this is NOT data analysis. The analysis of datashouldonlybedonebythosewhoknowhowdatawastaken,understandwhatwasmeas-ured,andrealizehowthemeasurementsshouldrelate.Inthissense,neitherthestatistician(northecomputerscientist)haveanybusinessdrawingconclusionsfromdataanalysisun-less theyhave independentscientificorscholarlyexpertiseunderlying thecollectionandmeasurementofthedata.


In almost all caseswheredata is taken, the scientistsor scholars taking thedatabelievecertainrelationshipsamongthedatashouldhold.Infact,suchrelationshipsalmostneverholdexactly;anydatasetcontainserrorsanddiscrepancies(errorsofmeasurement,sam-plingvariation,etc.).Suchproblemsdatebacktotheearliestdaysofmodernscience:Gali-leoandother17thcenturyastronomersclearlyrecognizedthattheobservedanglesofob-servationofstarsandplanetswouldvary,evenwhentakenbythesameobserverandthesametime.Errorsofmeasurementwerequiteevidentwheneveronetriedtousethemeas-urementstofitellipticalorbits. Statisticianshavetriedtoquantifysuchvariabilitybypositingexplicitfamiliesofprobabil-istic processes as the source of the discrepancy. For example, sinceGauss and Legendrearound1800,muchdatawasassumed to followthe “bell-shaped”curve, that is, thedatahave a Normal distribution with the mean being the parameter of interest and an (un-known)standarddeviation.Thisledtosimpleleastsquaresmethodsthatallowedstatisti-calanalysisofrelativelysmalldatasetsintheabsenceofhigh-speedmeansofcomputation.Infact,Galileohadearliersuggestedmethodsminimizingabsoluteerrors,avoidingtheun-naturalsquaringoferrors.However,efficientcomputationforsuchmethodswasnotavail-ableuntilthecomputerage.Interestingly,oneofmycontributionstothefieldwastoshowthatwithprobabilitytendingtoone,minimizingabsoluteerrorswasfastercomputational-lythanminimizingsquaresoferrorsincertaincommonlargesampleproblems. BigData,orDataAnalytics,maybedistinguishedfromstatisticalsciencebythetendencytoavoidspecificfamiliesofmodelsforthedata.Itfocusesonthestudyofmethodsforfinding“structure”or“features”inlargeoftensomewhatamorphousdatasets.Itemphasizesalgo-rithms(or“blackboxes”)tobeappliedtothedata.Thesehavebeengenerallydevelopedbycomputerscientists,thoughstatisticianshavealsoplayedarole.Thesealgorithmsgobyanumber of somewhat fanciful names: neural nets, support vectormachines, random for-ests,wavelets, bagging-boosting, andmany,manyothers. Theyoften comewith extrava-gantclaims, theepitomebeing:withBigDatadeterminingall relationships, science isnolongerneeded.AreourMITdegreesdinosaursabouttogoextinctwhenhitbytheBigDataasteroid? Infact,alargenumberofcritiqueshavearisenfrombothcomputerscientistsandstatisti-ciansincluding: (1)bias:Iftheobserveddatadiffersystematicallyfromthepopulationof interest,there-sultsofanyanalysiscannotbegeneralizedbeyondthedata.Almostallobservationaldatasetshavesomebias,oftenmuchmorethanrealized;andifrelationshipschangeintimeinwaysthatcannotbewell-modeled,theresultswillagainfailtoprovideappropriateconclu-sionsforthepresentorfuture.Furthermore,almostallnon-randomizedmethodsoftakingasamplearesubjecttobias,makingtheobserveddataunrepresentativeofthepopulationofinterest.Basically,sinceBigDatamethodsfocusonasingledataset,generalizationbe-yondthissetrequiressomescientific(orscholarly)bodyofknowledgetoprovideabasisforsuchextrapolation.2016and2020electionpollsprovideampleevidenceoftheubiqui-tyofbias.


(2)lackofquantificationofvariability:Therearetwosourcesofvariabilityindata:varia-tionamongtheindividualssampled,andvariationinmeasurements(measurementerror).By imposing probability models, statistical methodology provides a well-developed andwell-testedapproachtoassessingsuchvariationinwaysthatallowgeneralizationbeyondthegivendata.Ofcourse,thisrequiresthattheassumptionsunderlyingthemodelshold,atleasttoadequateapproximation;butthiscanoftenbereasonablyjustifiedbysubstantivescientificexpertise.Therearegoodmethodsforassessingvariabilitywithinthedata,but,again,itisgeneralizationbeyondthedatathatiscriticalbothscientificallyandpractically.Canassessmentofvariabilitybedonewithout statisticalmodels?Fundamentally, thean-swerisno!Withoutsomeassumptionsitseemsimpossibletoknowthatthenextdataoneseeswillhavethesamestructureasthedatasetjustanalyzed;andtheassumptionsmustbeverymuchstrongerifthedatawasnottakenasarandomsamplefromthepopulationofinterest.Notethatcomputational“blackboxes”donotaddresstheproblem.Eachblackboxsearchesforspecifictypesof features,andthusindirectlyassumessomeformofamodelforthedata.Oneadvantageofthestatisticalapproachisthatitmakestheassumptionsex-plicit. (3)inadequateattentiontomeasurementerrorandthemeaningofthedata:Theobserveddata is often only roughly related to the questions of interest. For example, voting pollsseektoselectasamplefromapopulationofpotentialvotersandaskwhatfractionfavoragivencandidate.Theresultofinterest,however,iswhatfractionofthevotersactuallyvoteforthecandidate.Thatthesefractionsmaydiffersignificantlywasclearinthe2020presi-dentialelection.Thisfurtheremphasizestheneedfortheanalysistoinvolvescientistsorscholarswithsubstantiveknowledgeofwherethedataaroseandwhattheymean. In fact the strongest criticism concerns claims of success forBigDatamethods. There isample evidence that results suggested by application of aBigDatamethods often fail tohold up in subsequent studies. Let me quote a study found at: https://www.datascience-pm.com/project-failures/ “Only27%ofbigdataprojectsareregardedassuccessful” “Only13%oforganizationshaveachievedfull-scaleproductionfortheirBigDataimplementations” “Only8%ofthebigdataprojectsareregardedasVERYsuccessful” AnexampleofBigDatafailuresmaybeinformative.Anearly“classical”failureconcernsastudyof a large sampleof customerswho shoppedat a supermarket chain.Theanalysisfoundanunusuallylargecorrelationbetweenthepurchaseofmilkandthepurchaseofdi-apersresultinginarecommendationtomovethediapersnearertothemilk.Notsurpris-ingly,thiscorrelationdisappearedinfuturestudies.Basically,theinitialstudypaidinsuffi-cient attention to the fact that a hugenumberof correlationswere computed, and somewereboundtobeverylargejustdueto(random)variationinthesample.Evenwhenthereiscollaborationamongscientists,computerexperts,andstatisticians, it isstillquitecom-


monforthemainresultsoftheanalysistobevaluableonlyinpointingtofutureresearchdirections. Isthereageneralprincipleunderlyingtheproblem?Inadditiontothecriticismsabove,theanalysisraisesonefundamentalissue:therearefartoomanypossiblestructures.Astruc-turecouldbegivenbyanypartitionofthedataintosubsetsfollowedbyanycollectionofmodelswithineachsubset.Fora largedataset, thenumberofpartitionsquicklyexceedsthenumberofelectrons in theuniverse.Unlessveryserious restrictionsare imposedonthekindsofstructurestobeconsidered,itisimpossibletoexamineevenaminusculepro-portionof cases.Essentially, eachof theblackboxesofBigData imposesvery strong re-strictionsonthestructurestobefound.Whetherornottheserestrictionsareappropriaterequiresscholarlyknowledgebeyondthedataitself.

Small Data My journey fromMIT to thepresenthasbeen filledwithchallengingmountainsofmanysortstoclimb.Notwithstandingtheslipsthatoccurredalongtheway,theclimbshaveal-mostalwaysbeenextremelyenjoyable.SomeofthemostfunIhavehadrecentlyconcern-ingproblemsinstatisticsisthecaseofsmalldata.OnerecentexampleconcernsinferenceonthemeanofaNormalpopulation.Generally,thestatisticianaddressesthisproblembytaking a sample, computing the sample mean and standard deviation, and presenting a95%confidence interval.This is the intervalof thesamplemeanplusorminus(approxi-mately)twicethestandarddeviation;anditisclaimedtocontaintheunknownpopulationmeanwith “confidence" .95; that is, theprobability that the random interval covered themeanwas.95.Around1960,mythesisadvisor(andothers)realizedthatonecouldobtaina confidence interval for the mean of a Normal population with only one observation(whichwouldnotpermit estimationof thepopulation standarddeviation).Basically, theobservationplusorminusabout20timestheabsolutevalueoftheobservationwillcoverthe populationmeanwith probability at least .95 nomatterwhat the values of the truepopulationmeanandstandarddeviation.Recently,Iconsideredthequestionofcomparingconfidenceintervalsbasedonasingleobservationandobtainingtheoptimalone.Idevel-opedalegitimateconfidenceintervalwithstrictlysmallerlengththanthosesuggestedear-lier.IalsoextendedtheideatothecaseofhavingsingleobservationsonalargenumberofpossiblycorrelatedNormalpopulations,thustouchingBigData. Asecondexampleofinferencewithasingleobservationconcernsthetwo-envelopeprob-lem.Thisproblemwassuggested tomebyamathematician, JimStein,whohadreadmyconfidence intervalpaperandwondered if Ihadany insights intoworkheandcolleaguewere doing on the two-envelope problem. The problem concerns the following paradox.You and anotherperson are eachpresentedwith an envelope (at random). You are toldthatoneenvelopecontainsZdollars,andtheother2Z.Yougettolookatyourenvelopeandthenmayeither takewhat youobserveor switch envelopes and takewhatever is in theswitchedenvelope.HavingobservedX,you(andyouropponent)reasonasfollows:eitherIkeepX,orIgetanenvelopewiththeamounts(1/2)Xor2X,eachwithprobability1/2.Theexpectedpayoffifyouswitchis(5/4)X,andsoyoushouldswitch.Theparadoxisthatbothyouandyouropponentreasonthatyoushouldswitch.Theresolutionisthat,whiletheun-


conditional probability of getting each envelope is 1/2, the conditional probability givenyourobservation,X, isnot1/2.Forexample,giventhateachenvelopecontainsapositiveintegernumberofdollars,anobservationofX=1ensuresthattheotherenvelopecontains2dollars. Itturnsoutthatiftheenvelopescontainanypairofrandomvaluesthatareboundedbyaknownconstant(say,B),thereisaprocedureforselectingthebiggervaluewithprobabilitygreaterthan1/2:takeauniformrandomnumber,U,in[0;B],andkeepyourenvelopeifX>UandswitchifX<U.Thiswasalreadyknowninsimpleversionsoftheproblem,butitwasa good bit of fun forme to develop amathematical theory giving precise conditions onwhentheprocedureaboveisoptimalandwhenitisn't.

Concluding Remarks Oneprerogativeofageisthechancetolookbackandofferwordsofwisdomtothefuture.MywifeandIlookbackwithaprofoundappreciationofwhathasprovidedthesupportforourjourney:ourparents,oureducations,ourfriendsandcolleagues,andourmutualloveforeachother.AtafamousBritishUniversity,eachmemberofthefacultygreetseachgrad-uatingstudentwiththewords:“Iwishyoujoy”.AndsoIconcludebyextendingthiswishtoall.Stephen Portnoy ’64Course18,Mathematics;PhD.Stanford, Statistics '69.Career:Asst.Prof.,Harvard,1969-1974;Prof.,UniversityofIllinoisandUrbana-Champaign,1974-pre-sent;AdjunctProf.,PortlandStateUniversity,2017-present.ProfessionalRecognition:Fel-low,AmericanAssociationfortheAdvancementofScience;Fellow,AmericanStatisticalAs-sociation;Fellow,InstituteofMathematicalStatistics;Editor:JournaloftheAmericanSta-tistical Association: 2005-2008; Francqui Professorship, Université Libre de Bruxelles,2005. An academic career spanning nearly 60 years has afforded ample opportunity forteaching,directingthesisresearch(13StatisticsPh.D.'sandasasecondthesisadvisorfor10 Ph.D.'s in applied areas), serving in academic and professional administration, andworkingonstatisticaltheory,methodology,andapplications(over100publications,most-lywithcollaboratorsinStatisticsandAppliedareas).StevemarriedEsther,whohemetattheMITScienceFictionClub,andraisedtwochildren:Rachel,whonowliveswithherhus-bandandsonnearbyinHillsboroOregon,andGerald,whodiedin2004ofcomplicationsofMultipleSclerosisleaving3children,nowadults,twoofwhomlivenearChicagoandoneinHouston.


Revolution in Telecommunications 1964-2020 Larry Hendrickson Thetelecommunicationsindustrychangedradicallyintheyearssince1964,probablymorethanmostindustries,andmaybemorethananyother.Immensetechnologicalchangeadd-ednewproducts and services, andwith new competitionmelded industries together. Inaddition,thetelecomindustryhasbeenrestructuredradically, itsmajorplayerschanged,anditsrelationshipwithgovernmentredesigned.Thebusinessmodelisdifferent.Theviewsocietyholdsoftheservicesofferedbytheindustryhasgonefromaluxuryaffordableonlybyafewtoanecessityneededbyallandthentoaninexpensivevehicleforidlepastimesused by most. Few businesses have been through such change. This story is about thechangesintheindustryandmyparticipationinsomeofthosechanges.

My Advantageous Start Ihappenedtoparticipateinseveralofthesemajorchangesthroughoutmy37-yearcareerintheindustryfrom1964through2001.MyMITdegreegotmestartedinanadvantageousspotwithAT&Tandgavemeboostsalongtheway.Iwasnotcutouttobeanengineeranddidnotwanttobe.Isawinmyfather’sworkasageneralmanagerofamid-sizemanufac-turer thatbusinessmenhad littleunderstandingof thepotential for computersandcom-municationstoaltertheirbusinesses.Iworkedwithmyadvisor,DonCarroll,onhiswaytobecomingdeanofWharton,todevelopaprototype“systemsmanagement”minortofulfillthetechnologyrequirementforaCourse15degree.

That education gotmeapo-sitionasoperationsmanagerof the central data pro-cessing center for AT&TLong Lines, the operatingcompany providing inter-statetelecomservices.Itookadvantageofthatpositiontovisit allmy “clients” to learnwhat their applications didfor them. AT&T tried to be

on the leading edge ofmanagement systems andmethods. So the applications being ad-dressedbycomputerswereadvanced for the time. Itwasasuperbeducation inhowthecompanyoperated,howmoneyflowed,andhowregulationworked. AsImovedfromdepartmenttodepartmentinLongLines’managementdevelopmentpro-cess,Igainedinunderstandingnetworktechnologies,networkdesignandexpansion,busi-nesscases,andcapitalinvestmentdecisions.AtimeinDivisionofRevenuegavemeunder-standingofthatprocesscentraltothefinancesoftheindustry.Allofthatgavemeanunu-sualbreadthofunderstandingthatledtoassignmentsinregulatoryandantitrustcasesand

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strategicplanning.ItwasinthoselatterassignmentsthatIparticipatedinthemajorchang-esthattookplaceintheregulationandstructureofthebusinessandtheindustry.

The Break from Rotary Telephones Remembertheblackdialtelephoneonthewallinmostofour living quarters at MIT? A clunky monster, a painfulwait for that dial return for the next number. Then theconnection took 15 seconds as mechanical switches se-quentially clunked intoplace.Voiceswereweakanddis-tant, lines were noisy and disconnects not infrequent.Callstosomesmalltownsandmanyforeigncountriesstillrequired human operators, plugging cables in switch-boards. The wristwatch that we now ask, not dial, connects in-stantlyacrosscountryandtheworld.Wedon’tjusttalktopeople,weseethem.Inhighresolutionmotionandcolor.We see stock market quotes, news stories, photos, playmusic, track exercise, get the weather, and much more.Communicationscanbecombinedwithcomputationfromsimple calculations to calling up elaboratemodeling andanalysis.We buymerchandize or stocks, cars or houses.Communications move from the watch to phone in apockettoalaptoptoadesktoptoacardashboardtoatel-evisionwithoutinterruption.Thetelecommunicationsin-dustry, the data processing industry, the electronic con-tentindustries,thehome,businessandindustrialcontrolsindustries, andmanyothers are still distinguishable.Buttheyoverlapandintegratefarmorethananyofusantici-pated. Certainly no onewas imagining a “today” back in1964.

Allofthischangeinthetelecomindustryrequiredmassivechangesintechnologyproducedbyprogressinmanydifferentfieldsofscience.Materials,astronautics,launchrocketsandfuels,computation,datastorage,datatransmission,signalprocessing,andmanymore.Thathappened inmostother industries aswell. In telecommunications, it changed the funda-mentaloperationoftheindustryanditsrelationshiptosociety.Manywouldsaythedoorthatopenedtoallowthismassivechangewasthe1984breakupofAT&T.ActuallyAT&T’sBellLaboratorieswasthecreatorofmanyoftheproducts,tech-nologiesandunderlyingsciences that led to thechange. Inanothercountry thecompanywouldhaveadaptedtothechangeinnationalgoalswithoutbeingbrokenup.Allotherad-vancedcountriesadapted to competitionbyprivatizing their telecom“ministry”andset-


tinguptherulesthatallowedcompetition.Oursocietyinthe1970swantedtoendmonop-olypower,notregulateittoachievecompetition.Adiscussionthatshouldberepeatedto-day.

Advancing Technology

ThetechnologyofAT&Twaschangingrapidlyin1964.Mostoftheexistingfacilitieswerenotmuchdifferentthanwhatexisted30yearsbefore,beforethewarandbeforetheGreatDepression.Thetechnologiesdevelopedduringthewarweremovingintowidespreaduseduring the fiftiesandnewtechwascoming in thesixties. In196495%ofhomeshadatleastoneblackdialtelephoneset.Newphoneswerecomingbutreplacing95%isabigjob.All those phones were connected mostly by copper wire cables strung between poles.Againahugejobtoreplaceallthat.

In1964AT&Twasgrowingveryfast.Expandingitsnetworkandhiringalotofpeople.Ourpopulation was growing, incomes were rising, our economy was expanding, and callingpriceswere fallingall ofwhichweredriving fast growth in calling, revenuesandprofits.AT&Twasbusilycreatingahardenedbackboneofcoaxialcableconnectingallmajorcitiesandallmajormilitarybases,cables4feetundergroundconnectingswitching/multiplexingbuildings40feetunderground.Sufficienttowithstandadirectnuclearblastbytheweap-ons of the time. That backbone network had enormous capacity for the time. It supple-mented the point-to-point microwave system that had been installed in the 1940s and


1950s.Thecapacitiesofbothradioandcable technologieswerebeingexpandedbysolidstatemultiplexingsystems.Theoldwirecablesystemswerebeingretiredfromthe long-distancenetwork.Thetechnologiesofcoaxialcableandsolidstatefrequencydivisionmul-tiplexingallowedforthebundlingofthousandsofvoicechannels.Thebundleswerebeingexpandedwitheachgenerationofmultiplexing.Oceanwirecableswerebeingreplacedbycoaxialcablesaswellandtheircapacityexpandedrapidly.Switchingtransitionedtoelec-tronicalthoughstillanalogandspacedivision. Satellite

TwoyearsbeforeIstartedwithAT&T,thecompanyhadimplementedthefirstprivatecommercialsatellitetelecommunicationssystem.Launchtechnologywasnotsuffi-cienttoachieveageostationaryorbit.TheAT&Tearthstationshadtorotatetotrackthesatellitesastheypassedoverheadat600milesaltitude.Transmittersandre-ceiversinthesatelliteswerelowpowered,limitedbyearlysolarpanelefficacyandtransceiverweight.Thegroundantennae

werehugehornsrotatingonwhatessentiallywererailroadtracks.Thecapacityofthesat-ellitewasoneTVchannelorseveralhundredvoicechannels.Itwasintendedasanexperi-menttodemonstratethetechnologyandstartthedevelopmentprocess.In1965othercompaniesachievedageostationaryorbit,22,000milesfromearthsoterrestrialantennascouldbefixed.Stationkeepingtechnologyimprovedgreatlyovertimeresultinginfleetsofsatellitesstayingcloseenoughtoappearasonetoanearthantenna.Evena2foothouseantenna.Thatallowedupto800TVchannels.Massive. Data Demandforcomputertocomputercommunicationswasgrowing.TheBellSystemofferedadatamodemthathandledconversionofdigitaldatatotheanalogsignalscarriedbythetelecomnetwork.Thosemodemshandled100bitspersecond.AboutfourtimestherateofagoodmanualtelegraphoperatorintheCivilWar100yearsbefore.Buttherewasahugedemandforthosedatamodems.Thoseofusinoperationsstartedacquiringthemanywaywecouldandsquirrelingthemawaytobeabletorespondtocustomerorders. Oneofourmostadvanceddatacommunicationstechnologiesin1964wasanexperimentaldatalineoffering50Kb/s.Veryunstable.Butallowedustotransmitthedatafromamagtapetoamagtapeinanotherdatacenterabout20milesaway-givenenoughtime.Thatwasthethresholdofdatacommunicationtechnologyatthetime.Today data communication speeds are in gigabits per second and a UK laboratory hasdemonstrated178terabitspersecond.Withvast improvements incoding, theactualdif-ferenceincontenttransmittedbetween1964andtodayismanytimeshigher.


Videophone In 1964, AT&Twas completing a yearlongtrial of a desk top video phone service.Three large US corporations had video-phoneson thedesksof their seniorexecu-tives. At the end of the trial, all three ofthosecompaniesandmanyotherssaidtheywould buy the service. A massive invest-ment was made in network capacity. Butwhen the service was launched and theprices were announced there were no or-ders.Ahugemarketbust.Evenworsethanthe Edsel. Maybe if AT&T had offered theserviceatrates themarketwouldhaveac-

cepted (and assuming the regulators would have approved a loss-making service) theworldwouldhavehadpersontopersonvideocallingmanyyearsearlier thaneventuallyhappened.Theproblemwastheanalogtransmissiontooktoomuchbandwidth.

Conversion to Digital In1978AT&Tdecidedtoconvert itsentire long-distancenetwork fromanalog todigital.Voicecallsstillwerecarriedmoreefficientlyoveranalogfacilities.Butitwasapparentthatdata transmission was growing far faster than voice. Eventually most originating trafficwouldbeindigitalform.Allmultiplexingequipmenthadtobereplacedwithtimedivisionmultiplexing ineverynetworknodeand terminal.The costwasmassiveand tooka longtime.Conversiontodigitalwasarealforwardthinkingmovethatpaidoffovertime. Cellular In 1983 the Bell System started cellular telephone service. Mobile telephony had beenaround forover50years.Butbase stationswere fewand farbetween, carphoneswere

heavyandbulkyandservicewaspoor.Theideaofcellulartransceivers inacellgridwasconceivedbyanFCCengi-neer in 1947whowas trying to find away to reuse thesmallamountofbandwidthallocatedtomobiletelephony.By1973theBellSystemhadobtainedapprovaltoimple-ment a network design to provide the service. Those innetwork planning were convinced that cellular radiocouldreplacethelocalwirelines.Thatmayturnouttobetrue. Ten years after 1973 all the components required,fromradiosystems,antennasystems, switchingsystems,and telephones had been designed, manufactured, in-stalled and tested. The telephoneswere the size and al-

mosttheweightofbricks.Theservicewasslow,noisy,unreliableandexpensivebuthugelypopular.Most involvedwith the cellular industry thought that the technologywould topout at about3%of thepopulation. It exceeded thatmany,many timesover.Today evenyoungkidshavecellphones.


OpticFiber Ataboutthesametimethatcellularwasintroduced,opticfiber,otherwiseknownasglassfiberwaveguide,wasbeingintroducedinlonghaulnetworks.Conceptualizedinthe1930s,

prototypedin1952andproveninapplicationin1970,op-tic fiber offered orders of magnitude increases in band-width. As an example, if a single hair thin fiber werestrungtoall4,000cinemasintheUS,thatfibercouldcar-ry simultaneous transmissions of 4,000 different high-definitionwidescreenfilms.Animmenselypowerfulandgame changing technological change. A number of newcompanies entered the industry just offering optic fiber

cableservice,buildinguponsomeestablishedadvantagesuchasarailroadrightofwayorpowerlines.Newcompanieswithconnectionstomaritimeresourcesofferedoceancables.Farmorecompetitionthanwassustainable.Anothermassivecapitaldestruction.Butveryrapidchangefortheindustry.

Competition and Regulation - A Volatile Mix The telecom industry was a highly regulated geographic monopoly in 1964. This cameaboutearlyinthetwentiethcenturybecauseofnetworkeconomiceffects.Themoresub-scribersthatwereconnectedtoonenetwork,absentinterconnectionwithothernetworks,themorevaluablethecompany’sofferingbecame.Sameasthesocialmediacompaniesto-day.AfteraconsentdecreewiththeDOJin1925,AT&Tanditssubsidiarycompanies,theBellSystem,providedservicetoabout80%ofUShouseholdsandbusinesses.6,000othercompanieshadlocalmonopoliesoftheirownservingtheremaining20%.Allwereregulat-edbystatecommissionsthatcontrolledpricesofservicesprovidedwithinthestates.TheFCCregulatedtheservicesbetweenstatesthatwereprovidedbyAT&T. Regulationwasintenseincludingproductofferings,pricesandterms,servicequality,andaccounting principles. The FCC took seriously its charge to create the same efficiency aswould be achieved by competition. The industrywas regulated as a common carrier re-quiredtoofferallservicesunderpublictariffswithoutdiscriminationamongcustomers.Inreturnforagreeingnottoexpandgeographically,theFCCprohibitedothersfromprovidingservices in competitionwithAT&T and theBell Companies. The state regulators did thesameforthecompaniestheyregulated. Revenuesforinterstatelongdistancecallingweredividedamongthecompaniesinthein-dustryinproportiontotheportionoftheircostsattributedtothesecallstherebyequaliz-ing theprofiteachmadeon their investedcapital.Similarprincipleswereused todivideintrastaterevenuesamongtheBellCompaniesandthesmallerconnectingcompanies.Becausecostswerefallingfasterinlongdistancetelephonyfacilitiesthaninlocalfacilities,theratesof longdistancewere falling,and localrateswererising.Formanyyears itwasagreed between state and federal regulators that accounted costs would continue to beshifted to “interstate” to reduce thepressure to increase local rates.Asa result,by1964longdistancerateswereontheorderof30timeshigherthandirectcosts.Thisofcourse


ledtoalotofpressurebypotentialcompetitorsandlargecustomerstoallowcompetitorstoentertheindustry.PrivateMicrowave The firstcompetitionstarted in1958withFCCapproval forcorporatecustomers tocon-necttheirlocationswithprivatelyownedmicrowaveradiosystems.AT&Thadrespondedtothisinitiativewitharateplanthatofferedcompetitiveratesfora“bulk”privatelineser-vice. AT&T did not construct separate facilities. They created a virtual private networkwithinthecommonnetwork.ThatpromptedaninvestigationofcostsbytheFCCsincetheofferingappearedtobediscriminatoryfavoringbigcustomers.Aviolationofthecommoncarrierprinciple.ThiscasewentonformanyyearsduringwhichAT&T’sabilitytocompetewithprivatemicrowavesupplierswashampered. SatelliteCompetitors

In1967theFCCdecidedtoprohibitAT&Tfromfurtherdevelopmentofsatellitetransmis-sion. Instead, the FCC granted licenses tomost other companies applying for them. Theaerospacecompaniesalljumpedin,asdidmanyofthecomputercompaniesincludingIBMandGE.SuddenlyAT&Thadseriouscompetitioninalargeandimportantmarketsegment.Thesatelliteoperatorstriedtoofferprivatelineserviceforvoiceanddata,butwereunsuc-


cessfulbecauseofthecostsofconnectingfacilitiesleasedfromlocalcarriers.Theydidsuc-ceedhighlyinofferingTVbroadcastingservice.Thesatelliteswereidealforbroadcasting.OneTVtranspondercouldserveabroadcaster’slocalTVstationsovertheentirecountry,andalocalsatellitetransmitteratasports,newsorconcerteventcouldreachabroadcastnetwork’shomestudioinonehop.Thiswastrulyarevolution. Anotheraspectoftherevolutionwasthediscoverythatcustomersdidnotactuallywanttopay for the level of service AT&T provided. The broadcast networks had constantly de-mandedhigherandhigherreliability.AT&Thadachievedgreatredundancyinitsnetwork,evenintheconnectionstoalocalstadium,concertorathleticgame.Yetthesatellitecarri-ersquicklygainednearly100%marketshareinservingtheTVbroadcastersinspiteofamuchlowerrecordofreliability.GivenachoicetheTVnetworksoptedforthelowerprices,anearlyandgoodlessonforAT&Tinanewworldofcompetition. Thatdropinbroadcastingcostandtheexplosionofavailablechannelsresultedinacom-pleterestructuringofthebroadcastindustry.Manynewbroadcasters,manynewchannels,manysmallgroupswithspecialinterestswereserved.AgreatsetuptofillthefutureInter-netwithcontent. Weare seeing the samedecisions played out today as broadcaster video signals pixilateandaudiobreaksup.Thebroadcastersareputting theirprogrammingon the Internetatevenlowercoststhanthesatellitebroadcasters.DirectTVandDish,thetwolargestsatellitebroadcastingoperatorsarelosingbusiness. TerrestrialMicrowaveCompetitors Intheearly1970s,anumberofcompetitorsinadditiontothesatellitecarrierswereprovidinglongdistanceservices.Theyusedpointtopointradiorelayfacilitiesfromcitytocity.MCIbroketheicewitharadioroutefromChicagotoStLouis.Thoseterrestrialcarri-

ersandthesatellitecarrierswouldthenobtainlocalcon-necting“privateline”facilitiesfromthelocaltelephonecompanies.Theirmarketwaslimitedtothosecustomerslargeenoughtoneeddedicatedintercityprivatelines.Therewerenotenoughofthoseforanyofthenewcarri-erstobesuccessful.Thecompetitorsthendemandedthattheygetaccesstothelocalswitchednetworksofthetele-phonecompanies.Theywouldthenbeabletocompetecallbycallratherthanlinebyline.Mostlocalnetworkservicewasbilledatamonthlyflatrateheavilysubsi-dizedbycostshiftingtothelong-distanceservice.Soin-terconnectionwouldheavilysubsidizethecompetitors.WhentheFCCdecidedtoorderinterconnectionAT&Tvowedtofightforfairrules.In1974theAT&Tchairmantoldhisassembledexecutivesthatthecompanywasgo-ingtofightthisunfairregimeandwouldnotacceptcom-

petitiononthoseterms.ThejusticedepartmentoftheUSimmediatelylaunchedananti-trustcase.Atthesametime,theFCClaunchedaninvestigationinto the options for compe-tition in the telecom industry.


The Canary in the Coal Mine - Undermining Division of Revenues Inaveryconsequentialdecision in1973theFCCauthorizedGeneralTelephone(GTE) toconstructasatellitesystemanduseitforinterstatecalls.GTEoperatedanumberofsmallermonopolytelephonecompaniesscatteredacrossthecountry.Theyconnectedeachofthoseto the localBellCompanyandsharerevenue fromlongdistancecalling throughthedivi-sionofrevenueprocess.Byconnectingtheirscatteredterritories,GTEcouldcarrycallsnotonlybetweencustomerstheyserved,butbyswitchingthroughtheir locationstheycouldcarrycallsbetweenanycustomers.Theywerepartofthedivisionofrevenueprocessun-likecompetitors likeMCI.Because thesatellite facilities costmore thanAT&T’snetwork,AT&Tendedupsubsidizingthesatellitebysharingrevenuesbasedoncosts.Thedivisionofrevenueprocesswouldnotsurvive.Withmyexperiencestudyingsatellitecompetitorsaswellasdivisionofrevenues,IwasaskedtocalculatethecoststhisdecisionimposedontheAT&Tcustomers. Ipresented this studyanddefended itwith theFCC staff.Thedecisionwasapoliticaloneandthestudydidnotmatter. CellularCompetition Cellularwasatechnologicalrevolutionexecutedbyanewsetofcompanieswithnewap-proachestocustomers.TheFCCallowedcompetitorstostart fromthebeginningin1983grantingacompetinglicenseforeachBellorothertelcolicense.Allthenetworkoperatorsallowedresellerstobuybulkcallsontheirnetworks.Additionalnetworkcompetitorswereallowed to enter as regulators came to general agreement that four networks were re-quiredforeffectivecompetition.Cellularpriceswerehighforbothphonesandcalls.Cellu-larwasnotyetathreattothewirelinebusiness.Thatcomeslater. CultureChange Throughthemidtolate1970sAT&Tunderwentaconcertedefforttochangeitsmanage-mentculture.WhenIjoinedin1964theculturewasverycomfortabletomewithmyMITeducation.Itwascollaborativeandbasedonanalysisanddata.Decisionswerebasedonaverylong-termviewofwhatwasgoodforshareowners,customers,employees,andotherstakeholders. In 1974, the AT&T Chairman, John DeButts, brought in a senior executivefromIBM,ArchMcGill.Archwasaskedtomakethecompany“competitive.”Hebroughtinhundredsofmanagersandexecutivesfromhighlycompetitiveindustries.We“BellHeads”thoughttheywerejustshowmenandwomenwithextremelyshort-termviews.Interestedin change for change’s sake and interested mostly in self-promotion. But most of usadapted.Thenatureofthecompanychanged.Profitsandcashflowbecamethepredomi-nantgoal.Theviewofthefuturewasshortenedconsiderably. Those6,000smallertelephonecompanieswerebeingconsolidatedrapidly.Thesamethingwashappeningintheirmanagement.Acquisitionswereleveragedandcashflowwasveryimportant.Theculturechangedthroughouttheindustry. In1982ItookthreemonthstoattendHarvardBusinessSchoolforanAdvancedManage-mentCertificate.This gavemea great extensionofpersonalnetworkand friends to thisday.Andareorientationfrommy“systemsanalysis”viewoftheworldfromMITtoapeo-plerelationshipsanalysis.IthenunderstoodwhatIheardinanentrepreneurshipseminarin 1964with thenDean of the Sloan school, Howard Johnson, and his counterpart from


HarvardBusinessSchool.Thetwodeanswereaskedtostatethegoalsoftheirrespectiveschools.JohnsonsaidthegoaloftheSloanschoolwastoteachtheartandscienceofman-agementwithunderstandingof allmodern toolsof analysis anddecisionmakingandanabilitytolearnconstantlythenewonesastheyaredeveloped.TheHBSdeansaidhisgoalwas to “instilla rat-likecunningandan insatiabledesire towin.” Iwasvery fortunate tohavelearnedfrombothinstitutions.

The Bell Breakup In1975IjoinedagroupinNYCassignedtowintheregulatoryreformcasebroughtbytheFCCatthesametimetheDOJhadstartedtheantitrustcase.Ourgroupprovidedmaterialfor filingwith the FCC andwith the antitrust court. I had a considerable budget to hireeconomistsandanalysts,thebestinthecountry.Ilearnedagreatdealabouttheeconomictheories of naturalmonopoly, economics of vertical integration, economies of scale, andscopeand theeconomic theoryof regulation todealwith freemarket failures.Allof thisdrovethestudiesImanagedandthebriefswefiled.IcametounderstandthetheoryofhowAT&Thadrelatedtosociety,howthattheorywasbeingundermined,andhowthepoliticalprocesswasworkingtochangetheindustry. IspentmanyhoursinDCmeetingwithgovernmentofficials,staffsofCongressionalcom-mitteesandgovernmentcontractors.TheBellLaboratoriesteamofeconomistsdidexcel-lentresearchoneconomicsofnaturalmonopoliesandeconomiesofscaleandscope.To-gether we made presentations to government officials. We were advancing economicknowledgebutatthesametimelosingouttopoliticalforces. ItwasveryclearthattheFCC,theWhiteHouseOfficeofCommunications,andtheCommu-nicationsCommitteesofbothhousesofCongresswereunited inwanting the telecom in-dustrytobecomecompetitive.ManyingovernmentweredeterminedtoreducethesizeofAT&Tforthesakeofgettingridoflargecompanies.Theytoldmeso.TheBellSystemwasamajorcontributortothecampaignsofmostpoliticians,national,state,andlocal.AndBellSystemmanagerswere required tovolunteer to serve in their communities asdidmanynon-managementemployees.TheBellSystemwashighlyregardedbythepublicandhadalotofloyaltywithvotersandthereforepoliticalpower.Theantitrustcaseandtheregulato-ryreformcasebothmovedslowlyandlegislationevenslower.Buttheyweremovinginex-orablytowardamajorchangecontrarytotheinterestsofthecompany. In1979 Iwas appointedDirector - StrategicPlanning in a new strategic planning groupservingtheofficeofthechairmanofAT&T.IcontinuedtodolobbyinginDCandstatecapi-tals but worked on strategic threats and direction and advised the senior managementteam.Theprimarythreattothebusinesswastheanti-trustcaseagainstit.Competitionwasgrowingbutregulationandtheinternalcrosssubsidiesinthesystemwereeatingawayatthefoundationsofthebusiness.Changingthosecrosssubsidieswouldrequireagreementof50stateutilitycommissions,theFCCandtheCongress. In1980,IwasvisitedbyagrouprepresentingtheBusinessRoundtable,anorganizationofthelargestcorporationsinAmerica.TheyaskedmeifitwasinAT&T’sstrategicplantoof-fer service to customers. After getting overmy shock, I said that it always was AT&T’s


strategyandpurposeinlifetoservethepublic.Theysaidtheydidnotmeanservicetothepublic. Theymeant service to individual customers,meaning providing customization ofservices and prices. Completely different than the common carrier concept offering ser-vices by tariff. AT&Twas on itsway to doing that if regulationwould allow.We faced ahugechangeinmentalityaswellaslawandproductofferings. InameetingIhadwithagroupofFCCstaff,oneofthemsuggestedthatAT&Tconsideres-tablishingascheduleofaccesschargesthatcouldbechargedtocompetitorswantingtoin-terconnectwith localnetworks.Theaccesschargescouldcreate theequivalentcontribu-tiontolocalcostsasthenprovidedbyAT&T’sownlong-distanceservice.Asimpleandbril-liantsolution.Healsosuggestedamonthlyfixed“access”chargetobeaddedtothebillofresidentialcustomersreplacingthecontributionlongdistancecallingmadetowardthelo-callinecosts.Anothersimpleingenioussolution.Itookthoseideasbacktotheseniorman-agementatAT&Tandwithhelpfromthewholestrategicplanninggroupwroteanexten-siveproposalbackedbyaneconomicmodeloftheprofitsofthebusinessifitdidnotsolvethisproblem.Theaccesschargesuggestionsbecamethesolution.NotonlyfortheBellSys-tem but for all the privatized formermonopolies providing telecom services around theworld.Sincemostlocalservicewaschargedonamonthlyrate,wecouldnotrecoverallthemonthlyrevenueswithpercallcharges.Weneededamonthlyrate.Aboutonethirdofthecostsof local facilities, the local lines tohomesandbusinessesand the telephones them-selves,hadbeentransferredbyaccountingrulestointerstatecalls,about$7permonthintheearly1980s.Sothatbecamethemonthlyinterstateaccesschargethatshoweduponallresidentialbillspayablewhethertheymadeanyinterstatecallsornot.Achargetobere-ducedtozeroovertimeascostswerereallocated.Aseachangeintheregulatoryprinciplesineffect for50years;andchangedinadecade.Andanopeningof thedoortoregulationthatallowedrelativelylevelcompetitionandopenentryintheindustry. In1982IwasgivenanassignmentfromthechairmantooutlineawaythenetworkcouldbedividedbetweeninterregionalandlocalinawaythatwouldsatisfytheJusticeDepart-ment,theFCCandouropponentsinCongress.Iwasgivenaweekend.Thethreepageout-line I deliveredeventuallywas fleshedoutby ahuge task force and implementedas thewaytheBellSystemwasdividedintoAT&Tandtheseven“BabyBells.”Thebreakuptooktwoyearsofhardworkofplanning,negotiationsandrearrangementoffacilities,jobsandorganization.AmassiveexpenditureundertakenonlyintheUS.Noothercountrydidthistotheirleadingtelecomprovider.ForabrieftimeIchairedaninterdepartmentalcommit-teeintegratingandworkingoutconflictsinthedepartmentalplansforthebreakup.Astan-gledasaplateofspaghettiIsaidtotheWallStreetJournal. AdelegationfromtheJapanesetelecomministryvisitedmeforanexplanationofwhatweweredoinginbreakingupthecompany.AsIwasgoingthroughtheexplanationofhowwewererearrangingthenetwork,theyjustkeptasking“why?” ThebreakupofAT&TwasexecutedonJanuary1,1984.TheBellSystemwasnomore.Al-mosteveryonehadsomechangeinpositionsaswellascompanies.IbecametheDirectorofMarketStrategyforthenewAmericanBelldivisionofAT&T.Wehadestablishedseparateorganizations for regulated and unregulated activitieswith procedures tomake interac-


tionswiththeregulateddivisionthesamewithcompetingcompaniesaswithunregulatedaffiliates.

Inearly1985,Iwasaskedtoco-chairataskforcereportingtothechairmantoresolvehowtheregulatedandtheunregulatedpartsofAT&Tcouldworktogetherandstillprovidetheoperatingandaccountingtransparencytoassurethegovernmentoverseersof“fair”com-petition.Imentionthisprojectmostlybecausewhatcameoutofitwasthemostimportantdevelopmentofmylife.Oneof thetaskforcememberswasaverybright,outspokenandextremelycreativewomantowhomIwasinstantlyattracted.Earlyinthetaskforcework,asweallwerebeatingourgumsestablishingapowerhierarchy,Betsyrolledagooseegg,arealgooseeggfromherfarm,coveredingooseshit,downthecenteroftheconferenceta-blewith14participantsonthetwosideswhilesayingthat“Thisiswhatthiscommitteeislayingattheratewearegoing.”Ithadthedesiredeffect.Imarriedher. Oneofmycontentionsasastrategicplannerturnedouttobecorrect:thenaturalmonopo-ly existed only in the networks connecting homes and small businesses to communityswitchingcenters.Everythingelsewassubjecttosustainable,openandfreemarketcompe-tition.Longdistance calls inmyviewwerea commodity that couldnotbedifferentiatedfromthecompetitionexceptonprice.Thatviewwasopposedbyallofmymarketingedu-cationandmarketingpeers,butitprovedtobetrue.Nolong-distancecompetitorremains.Allwereacquiredbytelephonecompanieswithlocaloperations.Thefundamentalproblemisthecostoflayinglinestobuildingsusingcitystreetsorcountryroads.Economicallyaf-fordableonly ifall thebuildingsareonthesamenetwork.Wirelesshoweverchangesthegame.


Changing Prices and Social Meaning Backin1964thoselong-distancecallstoourparentscostarelativefortune.Afiveminutecall = ten beers. Calls overseaswere enormously expensive, especially to developing na-tions.Only the richused thephone.Today,one call anywhere includingvideohasa costnearzero.Noteventhedepositononebottleofbeer. Eveningandnightrateshadbeenintroducedinthelate60sandearly70’s.Someonelikemewithparentsandfriendshalfwayacrossthecountryloweredourlong-distancephonebill fromover$100permonthtohalfthat.Butdaytimelongdistancewasstillexpensive.Remembercallingfromahotelroom.Spendingtimedoingbusinessfromahotelroomre-sultedinlongdistancechargesonthehotelbillthatoftenexceededthecostofasuite. Todaywespendhoursonconnectionstocontentlibraries,gabbingwithfriendsorplayinggames.Our Internet connectionsare$50 to$100permonthandour cellphonebills are$35to$50formost.Thisforhoursofuseperdayandprovidingthousandsoftimesmorecontent.Thoseofussoinclinednowplayhoursofvideogameswithopponentsaroundtheworld.Orwatchhoursofmovies andvideo clips.Many spendhours exchangingmessageswithfriendsandrelativesandwithpeoplewe’venevermet,evenmoviestarsandpoliticallead-ers.Manyofusrelyontelecommunicationsnot justasanecessity in lifeanddoingbusi-ness,butasasourceofhoursofentertainment.Theresulthasbeenaseriesofchangesrepeatedovertime.Newindustriesandproductsemerge,othersdisappear,someloosetheirdominanceandsurviveinniches,whileothersreinventthemselvestoprosperandgrow.Rememberthese?

Allofthedeviceshaveundergonesignificantchange.


Cincinnati Bell - Cellular Industry Billing In1986I leftAT&TtobecomePresidentofasubsidiaryofCincinnatiBellthatwasdoingbilling for new cellular telephone companies (cellcos.) The cellco subsidiaries of existingtelephonecompaniesneededbillingsystemsspecialized to theneedsof cellularservices.CincinnatiBelldidacrashdevelopmentofanewcellularservicebillingsystem.Itwasof-feredtoalltheBellCompaniesandmosttookitup,somebuyingthesoftwareandmainte-nance services, others buying the billing processing service. A Chicago startup companyhadalsodoneacrashdevelopmentandwasservingmostofthenon-Bellcompetitorswitha billing service. In June 1986 Cincinnati Bell acquired that Chicago company and Iwasaskedtobecomepresidentofagroupconsistingofthosetwounits.Withtwomoreacquisi-tionsin1987wewerethendoingthebillingfor75%ofcellularcustomersinNorthAmeri-caincludingtheUS,CanadaandMexico.Theindustrywasgrowingincrediblyfastandal-waysfasterthanthemostoptimisticforecast.WewerehavingIBMinstalladdeddiskdrivecapacityeveryweekandanewmainframeeveryfewmonths.Wehad40differentcellcosascustomers.Eachofourcustomershadtheirownideasonrateplans,salescommissionplans,customerdataminingandeveryothervariationofbillingandbillingdatathatcanbeimagined.Weweredoingover1,000softwarechangerequestsperweek.Talkaboutcrea-tivedestruction!Itwaschaoticbuthugelysuccessfulforeveryone Cellulartelephonecompanieswerestartedbygroupsofphysicians,groupsoflawyers,andinvestorsofalltypes.ExBellSystememployeeswereinhighdemandformanagementandtechnicians.Itwasincrediblyfastchanging.Companieswerebeingacquiredandsoldatafastpace.Computer technology,both softwareandhardwarewerechanging fastaswell.Higher level languages allowed faster replacement of software.Mini-computers loweredthe cost. Our customers demanded andwedelivered an entirely newbilling system justthree years after the initial one. We also provided assistance to some customers whoreachedmaximumcapacityoftheirswitchingsystemsbyoffloadingsomefunctionsontoourcomputers.Anotherindustrycrossover.

Long Distance Resale Imovedontoanotherjobin1988,PresidentofCincinnatiBellLongDistance.Wewerea“reseller”oflong-distancetelephoneservice.Buyingtelephonecallingunderlargevolumecontracts,havingcustomersuselocalnetworkstocallintoourswitchesandthenroutingtheircallsoverthelowestcostlongdistancefacilities.WepurchasedfromAT&Tandotherlong-distancecarriersandatthesametimecompetedagainstthem.Anotheraspectoftheemergingindustrytolearn.These“retailers”startedintelecomsin1973withtheFCCor-dermandatinginterconnectionallowingresellerstoconnecttoestablishedtelephonecom-panies.By1988 the resellerswerewell establishedand thebusinessmodels functioningwell.OurgoalatCincinnatiBellLongDistancewas to “rollup” smaller resellers thewayMcCawhad rolledupcellular companiesandStapleshad rolledup localbusiness supplystores.WestartedgoingdownriverfromCincinnatitoLouisvilleaswellastotheadjacentstateofIndiana.Wedidnotmovefastenough.Worldcomandotherswerewinnersatthatgamebutthenlosersastheindustryconsolidatedlater. RepeatinEurope


In1989 Iwasasked togo toEurope to createabusiness forCincinnatiBell InformationSystems.TheEuropeancountriesallwereprivatizing their telecomministriesandat thesametimeauthorizingcompetingtelecomcompanies.BothtypesofcompaniesneedednewITsystemsandservicestoprovidecompetitiveleveltelecomservices.WithinthreeyearswehadestablishedpartnershipswithlocalITbusinessestoprovideincountrysupportandwereimplementing$150millioninITprojects.Theindustrywasessentiallythesameasinthe US with both regulators and company management closely following the lessonslearnedintheUS.Abigdifferencewascultural.Thebiggestdifferencewasinfinance.Eu-ropeanbankswerereluctanttoinvest instartups.MostfinancingcamefromtheUS.AlsotheEuropeanswouldnottrusttheircustomerdatatoathird-partyprocessor,especiallyaforeigncompany.Wewereabletoselloursoftware,butnotourprocessingservices.Thereweremanyotherculturallessonsofcoursewhichwelearnedasweworkedwithpartners,customersandsuppliers. BetsyandIadaptedwellandlovedlivinginEurope.Wantingtostaythere,in1993IjoinedaDutchconsultancyinUtrecht,NL.BetsywasrecruitedbyAndersonConsulting,nowAc-centure,asAssociatePartner.Iwasthefirst“foreign”memberinaDutchfirmof35associ-ates.WithinfiveyearsDDVhadexpandedto175associatesfrom11countriesdoingbusi-ness in14different languagesandall overEurope.Those fiveyearswereaphenomenalexperience in learningtoworkwithdifferentculturesofemployeesandclients.Our firmadvisedsomeoftheformerministriesandmanyofthestartups.Someofthestartupsweresubsidiaries of power companies with facilities created by wrapping optic fiber aroundpowerlines.Anotherculturalchallengewasgettingaveryoldutilitycompanytogivesuffi-cient freedom toa startup in ahighly competitivemarket. Itwasevenmore interestingwhentheutilitywasinCentralEuropeandstillstaffedbyformerCommunistapparatchiks.We advised on technologies, network design, regulation, competitivemarketing, productofferings,businessplanningandotherexperiencewebroughtfromtheUS. Thetelecomindustryofcoursehadbeenglobalfromthe1920’s.Butthatinvolvednationalcompaniesconnectingtheirlinestomakeinternationalcalls.Inthe1990’stheindustrybe-cameglobal.AlltheBellCompaniesandAT&Tmadeinvestmentsinothercountries.ExBellSystememployeeswereindemandeverywhere.TelecomemployeesfromothercountriesgotjobsintheUStoaidinmanagementofinvestmentsintheirhomecountries.Moneyandpeopleflowedinalldirections. OneofmyDutchconsultancyclientswas the satelliteTVbroadcasterSES,knownby thetradenameASTRA.LocatedinLuxembourg,theyserved95%ofthe350millionpeopleinEuropeaswellastheMiddleEastandnorthernAfrica.IservedastheDirectorofStrategicPlanningforthreeyearsasthecompanyworkedtotransitionfromanextremelyprofitableTVbroadcastertoaninteractivecommunicationscompany.Welearnedtowatchtheeye-ball time of peoplewatching TV vs.watching content on the Internet.We could see thetrend.WehadtogetsomeofthatInternetdemandmovedtothesatellites.Thecompanydidaccomplishthat.Itisstillimmenselyprofitable.


Dot Com Madness TheDutchconsultingcompanywassoldin1998.Inmylastyearwiththatcompany,Iwascontracted and then later hired to be the Chief Technology Officer of a startup telecombusiness called Versatel, NV located in Amsterdam. I got direct experience in the “wildwest” days of getting financing for an Internet involved start up. The business had beenstarted by two Americans in Amsterdam as a reseller of long-distance using experiencefromtheUS.TheyhadestablishedarelationshipwithapartnerofLehmaninAmsterdam.Weagreedthebusinessshouldbuildanetwork.Lehmanassistedinsellingjunkbondsforfinancinganopticfibernetwork.IledthenetworkdevelopmentandtheimplementationofITsystems. In spring1998 therewere fiveofuspartnerswhowithLehmanraised$250millioninawhirlwindroadshow.Weimmediatelystartedbuilding.Truestartupexperi-ence,workingoncard tablesand foldingchairs.Everythingon thecheapexcept thenet-work.OnJuly1,1999weturnedupopticfiberserviceintheNetherlands.Aninstantsuc-cess.Itwastheheightofthedotcomboom.Weplannedathreeyearnetworkcapacityforvoice circuits and1.5mbsdata lines.Within30daysournetwork capacitywas soldoutwith most customers leasing 6.2mbs lines. In October we did a second offering of junkbondsandtookin$150million.ThenextJuly2000,aftersurvivingtheterrorsofY2Kwith-out ahitch,wedid an IPOand raised$800million.Wewere still bringing inonly about$10,000permonthinrevenueandlosingabout$100,000amonth.Bylate2000ourmar-ketcapwas$6billion.Themagicofthedotcomera!Wehadgrownfromahandfulofem-ployeesto1,800inayear.Wewerewinningawardsforourservicequalityandcustomersatisfaction, and also our advertising and corporate communications. We were winningcourtcasesagainsttheformertelecomministryforinterconnectionrightsandcompetitionabuses.Allgoodstuff.AllreplaysofwhathappenedintheStates.Allthesameoverturningofnormsinthewaytheindustryworkedandthewayitrelatedtocustomers. Thatcompanymadethedecisionin2001toentertheTVstreamingbusiness.Forexample,Versatel contractedwith theDutch football league (soccer) tohandle all of its electroniccommunication - TV, Internet, DVDs, news releases, all media. Theywent on to acquiremanyother clients for contentdistribution.Thecompanywasstill a telecommunicationscompanybuthadalsobecomeacontentdistributioncompany. Wehadplaced95pairoptic fibercables inthe firstof fourconduits inournetwork.Themonopolytelcoshad2or4pairs.Wesawtrenchesinwhichweandfourothercompetitorswereplacingfourconduitseachandeachwasblowingin95paircables.Massiveoverbuild-ing.YetastheInternetexplodedthatcapacityeventuallywasused.Likeallotherdotcombusinesses,thecrashhappenedfast.AfterChristmas2001salesviaInternetfellshortofexpectations,thedotcomscrashed.Versatel’sstockwentfrom$80to$10inafewweeks.Eventuallydownto$0.29.Unlikemayothers,Versatelsurvivedandisstillinbusiness.Andfinancedourretirement. RetirementtotheRockies BetsyandIleftEuropein2001retiringtoVail,CO.Weconcentratedonlearninghowtoskiwell,hike,bike,ATV,snowmobile,rideourhorses,driveourH1Hummerandotherwisedo


nothingslowly.WeboughtlandintheFlatTopMountainwilderness at 9,500 ft. altitude, 11 miles from a pavedroad,builtaloghomeandlearnedlifeinveryremoteandhighColorado inaddition toourhome inVail.Tostay intouch, we experimented with the early days of Internetaccessbysatellite.Expensive,clunky,unstablebutkeptusin touch as the Internet grew. I consulted for four yearsbut thenabandonedthatas thesecurityprovisionsofairtravelbecamemoreandmorearduous.Ibecameastudentoftheindustryratherthanaparticipant.

Status of the Industry - 2020 Inotethattoday,thetrendsintheindustryhaveadvancedquitefarfromwhereIleftit20yearsagoandanightanddaydifferencefrom1964.ThenaturalmonopolyofthetelephonewiresinthestreetshasbeenreplacedbythecableTVcompaniesandtheyareslowlyre-placing their coaxial cable in the streetswithoptic fiber.Notonly is it very costly to laysmallcapacitycablesit isalsoextremelyexpensivetodealwithcitiesonpermits,regula-tions,oversightandpayoffsrequiredtoputthoselinesinthestreetsandtomaintainthem.Thetelcostriedtoreplacetheirwireswithopticfiberbutfounditwasnearlyimpossiblebotheconomicallyandpolitically.The telcosboughtcablecompaniesandtried toput te-lephonyservicesonthesamenetworksasTVdistribution.Buttheydidthattooearlyandthetechnologydidnotsupportthegoal.Nowthecablecompaniesareentrenchedandareproviding telecomand InternetaswellasTVbroadcasting.Thewireline telecomcompa-niesaregoingoutofthatbusiness.Slowlybutdefinitely. WenowliveinSantaBarbara,CA.Thetelephonewirestoourhomelieunusedasaremostin the city andmany around the world. The cable companies, having provided Internetconnectivity,areseeingtheirTVbroadcastingbusinessestakenoverbyTVstreamingser-vicesprovidedovertheirinternetconnections.RatesforinternetaccessarehighintheUSandthecablecompaniesarequiteprofitablelikemostmonopolies.Asinsomanyotherin-dustries,theInternetisforcingareductioninTVbroadcastingrevenueofanorderofmag-nitude.Otherindustriessuchasthemusicbusinesshavefoundthatafteratoughtransition,theyhaveexceededpreviousrevenuesandgrowthratesbyprovidingmanynewproductsatmuchlowerpricesbutfarhighervolume.CableTVisnowexperiencingthesametransi-tion.AT&T,whichboughtDirectTV,isnowlookingtosellthebusiness.Butthecablebusi-nessesaslocalmonopolieswithlightregulationaredoingverywellfinancially. Todaywepayunder$100permonthforcellserviceforthetwoofus.Weusethatserviceforseveralhourseveryday.RoutinelywemakevideocallstofriendsalloverthecountryandtoEurope.Callsthatwereverycostly20yearsagoevenwithoutvideo.NowwethinknothingofchattingwithfriendsinEuropeforanhour.Thepriceiscoveredinourmonthlysubscription.Isthereanyotherindustrywheresuchanextremechangehasoccurred? The tightly regulated “common carrier” has been left behind with the assumption thatcompetition is sufficient tomakeprices,qualityand termsreasonableand fair.Thecom-moncarrierprincipleofnon-discriminatorypricinghasbeenretainedandbylawextended


to the Internet. The industry participants and themajor customers are nowquestioningthisprinciple.Thereisconsiderablepressuretoallowpricingtobecustomized. Yetwedonothaveeffectivecompetition.Weare left todaywitha smallnumberofverylarge, highly profitable and politically powerful cable operators and just two very large,highlyprofitableandpoliticallypowerfultelecomcompanies.PricesfortelecomservicesintheUSarehigherthantheyareinmostothercountries.Servicesarenotasgoodbyanum-berofmeasures.Thegoalofachievingacompetitiveindustrythatwassoimportantfortyyears ago has not been achieved. This should become a political issue. Apparently, fewAmericansareawareoftheissueandWashingtonpoliticiansarewellsupportedbyindus-trylobbyists.

The Future Comingrightalongisthetransitionto5Gcellularservice.Usingmuchhigherfrequencyandwiderbandwidth,theserviceoffersthepromiseofprovidingthesameservicesasthecable

TVoperators.Coveringalltheneedsanddemandsofdataservicesandcontentdistributionaswellasvoiceandvid-eocommunicationsservices.WithcapacityandspeedsforasyetunheardofconnectionstotheInternetofThings.Areplacementforthecablenetworksisalreadyinsight.Thedreamwehad in1973could come true.The facility thatconnects the customer remains the controlling factor in

theeconomicsof the industry.Watch thisspace.Thenew5Gtechnology isanexistentialthreattothecablecompaniesforanendlinktocustomers. Anotherwirelesstechnologyiscurrentlyinthenews:lowearthorbitsmallsatellites.Abletobe liftedbysmaller, cheaperrockets, theseverysmalland far lessexpensivesatellitescouldblankettheearthandprovideaglobalantenna/repeaterinthesky.Thisconcepthasbeenaroundfor50yearsandhasbeentriedacoupleoftimes.Maybethistimethetech-nologieswillhaveadvancedenoughtomakeitawinner.Thevastareasof theearththatlacktelecommunicationswouldcertainlybenefit. The commoncarrierprinciple isunlikely to survive.Toomanyhugeplayers likeGoogle,Amazon,etal.havetheabilitytobuildthefacilitiestheyneed.ThelegislationgoverningtheInternetwill bemodified to allownormal commercial pricing and to allownormal com-mercial liabilities. The alternative is to allow the competitors to AT&T and Verizon tocreamskimthemuntiltheyarefinanciallyweak.Ithinktheyarepoliticallystrongenoughtoavoidthatoutcome.Theywillremainasthedominantprovidersofcellularservicecon-necting end customers and thedominant intercitynetworkoperators.The loserswill bethecableoperators. Afinalquestionmarkonthefutureisthedevelopmentofindustrystandards.Forover100years,AT&Tdominatedthesettingofstandardsfortheglobaltelecomindustry.Thatdom-inanceendedafterthebreakupofAT&T.Theinfluencesoverstandardswasscattered.To-daytheChinesearechallengingwhoinfluencesstandards.Suchthingsasprivacycouldbe


atriskaswellasWesternmanufacturersprofitsifspecificationsforrarematerialstheChi-nesecontrolbecomethestandards. Theindustryisstillchangingfast. Lester "Larry" Hendrickson '64 Course 15, IndustrialManagement, grew up in Illinoissmall townsattendingpublic schools.AfterMIThewaswithAT&T inNYCandFraming-ham,MA,1964–1986inexecutivepositionsmanagingallaspectsofAT&Tsbusiness,put-tinghimintheforefrontofthereorganizationoftelecommunicationsconcurrentwiththebreakupofAT&T.HethenmovedtoCincinnatiBellaspresidentofanumberofsubsidiar-iesuntil1990. From1990untilretirementin1998heestablishedanumberofEuropeantelecommunicationsbusinessasanexecutiveandconsultant.HeandBetsyretiredtoVail,COwiththeirfamilyoftwohorses,threedogsandaparrot.TheynowlivefulltimeinSantaBarbaraCAwiththreedogs,nohorsesandtheparrot,sailing,hiking,biking,andenjoyingCA sunshine, ocean, and mountains with great neighbors and friends. neighbors andfriends.

Adventures in the Arctic| 167

Adventures in the Arctic John Meriwether

Introduction Theword “Technology” is found in the name of our institutionwherewe all spent fouryearsgettinganexcellenteducationwhilehavingour limitspushed inacontinual testofourcapabilities.Certainly,IfoundlifeatMITquitechallengingbutalsoexhilarating.How-ever,Ididnotparticularlyappreciatetheimportanceoftheword“Technology”foracareerpath.Wikipediadefinestechnology:

Technology is the sum oftechniques,skills,methods, andprocessesused in the pro-duction ofgoodsorservicesor in the accomplishment of objectives, such asscientific

investigation.

Clearlythen,changeintechnologywithtimecaneasilyhappenastheintegralofchangesin“techniques,skills,methods,andprocesses”thatcomeaboutastimeprogresses.Weareallawareofhowinnovationsintechnologycomeaboutasaresultofbreakthroughsachievedbyinsurgenceofnewideasbasedonscienceimbuedwithqualityengineering.Sincethestartoftheindustrialrevolution300yearsagointheUKwiththeintroductionofsteam engines and coal as the energy source, technology has advanced by leaps andbounds.Thispathhasnotbeenastraight-linepathwaybutmanysuddenupwarddisconti-nuitieswhensomebreakthroughor invention tookplace.Myscientific research in spacephysicsasanexperimentalistwashighlyaffectedbyadvancesintechnology.InmysenioryearIchosetobecomeanexperimentalist inspacephysicsafterProf. IrwinOppenheimrespondedtomyquestionaboutwhatshouldoneconsiderinchoosingacareerpath in experimental or theoreticalphysics.He remarked that tobe a good theorist, oneneededtobereallycleverandsmart.Ontheotherhand,tobeagoodexperimentalist,care,attentiontodetailandthe levelofenergy investedbecomethehighlights. Ididnot thinkthatIwasparticularlycleverorsmart,butIwaswillingtoputinconsiderablededicationtomyefforts, especiallywithmypassion for science. Idid findsatisfaction indoingexperi-mentalwork,especiallyinaeronomyandspacephysicsasthisareahasaromanceattachedthatisundeniable–theopticalauroraisoneofthemostdazzlingwondersoftheuniversetobehold.IchoseMITbecauseofthediffusionofawarenessfilteredbyfamilycommentary.Thehus-bandofmygreat aunt anMITmechanical engineerduringWWI, left in1917 to join theWWIwareffortthroughhisworkattheWrightAeronauticalCompanyonthedesignandconstructionofair-cooledaircraftengines.MygrandfatherwasthePresidentofthatcom-panyatthattime.ItisafamilystorythatmygrandmotherintroducedheryoungestsistertoUncleJackonefinesummerday.Thatafternoonoutingledtotheirengagementandmar-riage.WhenIwas inthe8thgrade, IheardfrommyparentsthestoryofUncleJackMead


andhiscontributionstotheWWIIwareffort.ThisarousedmycuriosityaboutMITtothepoint that Iwrote toMITrequestingacopyof thecoursecatalog.What I sawaboutMITclassesinthatheftydocumentwhettedmyinterestimmenselyandconvincedmetoselectMIT.Italsohelpedthatin1958NorbertWeinerpublishedhismemoirs“IamaMathemati-cian”inwhichhewroteabouthislifewhilebeingaprofessoratMIT.FromthatIknewMITwouldbeaspecialplace.MyseniorthesisatMITandmygraduateworkattheUniversityofMarylandtaughtmethefundamentalsofatomicandmolecularspectroscopy.Thus,itwasnaturalformetobecomeattracted to the idea of using a high-resolution interferometer to observe the dynamicalproperties of the upper atmosphere. My efforts as an experimentalist evolved over theyearsasthetechnologyoftheapplicationoftheFabry-Perotinterferometerinstrumenttoobtainground-basedDopplershiftsandDopplerbroadeningmeasurementschangedsincethebeginningdaysof1971.Ihadneverreallythoughtaboutthemeaningoftechnologyinapersonalsenseastohowadvancesintechnologyovertheyearsmightenduphavingastrongimpactuponmeandmycareeraspirations.Whatweretheadvances?AsappliedtotheFabryPerotInterferome-ter (FPI) instrument that I ended up installing inmany locations around theworld, theconvergenceofthenewtechnologiesbroughttobirthasaresultofthemajoradvancesinmini-computers, imagingcameras,andtheinternetaidedmysciencestudiesenormously.The first provided the basis for remote operations, the second for the remarkable im-provementseenintheFPIsensitivitytomeasureaccuratelyupperatmospherewindsandtemperatures,andthethirdallowedfortheremotetransferofdataaswellasremoteinter-ventionindataacquisition.Whysomanylocations?Instudyingtheaeronomyoftheupperatmosphere,onehastogowherethephenomenonexists,whetherthepolarregion,theau-roral region, mid-latitudes, or the equatorial region. The dynamics of the thermosphere(the atmosphere in the rangeof 150 to600km)differ because the admixture of forcingfunctionschangeswithlatitude.AtMITwewere hearing numerous comments about how computing bymachinesmightmakesomuchofadifferencetowhatwecouldachieveindoingcalculations.IrememberseeingonaTVquizshowin1958howtheUnivacmachinewasusedtokeeptrackofthepresidentialelectionsorstoreanswerstoquizquestions.However,Inevertookthisseri-ouslyenoughtowanttospendtimetakingMITcomputerclasses.Ihadmyinterestsetup-ondoingchemistryandthenphysicsaftermysophomoreyear.InmysenioryearIendedupdecidingtomajor inchemicalphysics ingraduateschool.Prof.AmdurandProf.Thor-sen, bothMIT chemistry professors, had advised against taking computer programmingclasses.Theyboththoughtthatthismaterialcouldbelearnedeasilyononeown.Indeed,indoingmy graduate research I needed to develop graphics associatedwithmymeasure-mentsofauroralintensityvariationsasplottedasafunctionoftime.Thus,Iwasmotivatedto learn theFortran IV language. Fortran is not a veryhandy language for graphics, so IendedupsomeyearslatermigratingintotheuseofIDL(InteractiveDataLanguage)whichisquiteabitmoresophisticatedformanagingarraystoplotwhetherinsimpleformorin3-Dcolorviewofcontent.


AttheUniversityofMichiganinthefallof1971tostartapostdoctoralappointmentwithDr. PaulHays, an assistantprofessor in theHighAltitudeResearchLaboratory, I didnotknowthenhowmuchofanadventureourfriendshipandmyresearchaffiliationwithhimandhis groupultimately represents. I foundPaul tobeawonderfulmentorand inspira-tionalaboutdoingexperimentalspacescience,especiallywiththeFabry-Perot.PreviouslyasapostdoctoralfellowattheNASAGoddardSpaceFlightCenterIparticipatedinstudiesofauroraldynamicsofthethermosphereregion.Theapproachweusedfeaturedtheuseofrocket-bornechemicalreleasestoobtainelectricfieldsandneutralwindmeasurementsbytracking from several camera stations themotions of ion and neutral clouds against thebackgroundofstarsandusingtriangulationtodeterminespeedsanddirections fromthesuccessivepositionsobserved.Theplasmaassociatedwith thebarium ion clouds isonlyabletomovealonggeomagneticfieldlinesunlessthereisanelectricfieldthatenablesExBdriftoftheplasmaacrosstheselines.Wehadapoorunderstandingofthebehavioroftheplasmawithintheauroralzone.Ulti-mately,welearnedthatintheeveningsector,theionosphericplasmatendedtomoveto-wardtheSun,awestwardflowat18hrslocaltimeandaeastwardflowat06hrslocaltime.InthemorningsectortheplasmaagainmovestowardtheSunsothatat06hrstheflowiseastward.Theneutralwindgenerallyfollowstheplasmaflowintheevening,i.e.,Sunward,butinthemorningtheflowtendstobesouthwardwithpossiblyaweakwestwardcompo-nent. The neutral wind is highly influenced by the plasma motion because momentumtransferfromthemovingionstotheatmosphereatomsandmoleculesbycollisionsspeedsup or retard themotions of the neutral constituents. Thismechanismbecame known as“iondrag”.Inthemorninghourstheionosphericplasmadensityislow,sotheiondragismuchlesseffective.Whileratherinteresting,Ihadmuchtolearnaboutthefieldofaeronomyandspacephys-ics.Moreover,wedidnotunderstandthegeospacesystem,especially inthepolarregion.Whatwasalsoquiteexcitingaboutworkingwith JimHeppnerandhisgroupat theGod-dard Space Flight Center from the experimental standpointwas in part that the projectmeanttraveltotheFarNorthsuchthatIendedupattheBarMainDewlinesitelocatedjustoffBarterIslandatalocationnowknownasKaktovik.WeflewfromFairbankstoBarMainandafterstayingoveradayIwentontoBar1,afive-manDEWradarsitelocatedinCanadajustinsidetheAlaska-Canadaborder.Thoughthetripwassimply100milesandso,abouta45-minuteflight,itwasatransitionfromtheAlaskantimezonetotheCanadiantimezonewhichwasgovernedbythetimezone4hourstotheeastsothatallDEWsiteswithinCana-dafollowedthesameclock.Thisdifferenceof4hoursmadeforsomeweirdexperiences.OnthereturnweleftBar1afterlunchandarrivedatBarMainbeforelunchtime.Usingrocketstoobservetheauroraldynamicsisexpensive.Moreover,theneutralatmos-pheredynamicsatlowerlatitudeswerealsoofconsiderableinterest.Thus,theFabry-Perotinterferometer(FPI)enteredintotheaeronomypicturebecause itwasan instrumentca-pableofmeasuringDoppler shifts andDopplerbroadening (which isproportional to thesquarerootoftemperature).PaulHaysandaMichigancolleagueAndyhaddecidedtobuildanddevelopsuchaninstrument.Thefabricationofsuchanetalonrequiredagreatdealofpainstakingpolishingtoachievetheextremeflatnessrequiredforthehigh-resolutionap-


plicationtoobservethelineshapeoftheatomicemissionofoxygenat630.0303nm.A100ms-1Dopplershiftrepresentsawavelengthshiftof0.00002nmwhichisextremelysmall.Whatmakesthemeasurementdoableisthesharpnessofthe630-nmspectralprofileline,whichtendstobeGaussian,sothataslightshiftshowsupasaconsiderabledifferenceinthetwohalf-peaksignals.Togetenoughapertureareasotocollectenoughphotonstogetareasonableresult,itwasnecessarytopushthestateoftheartinfabricatinglarge-sizedeta-lonplates.Paulandhiscolleaguepurchasedatanenormousexpenseasetofplates15cmindiameter,muchlargerthanthemoretypicalsizesof3to5cmintendedforlaboratoryapplications.Theplateswerepolishedtoaflatnessoflambda/200,thescaleofthesurfaceroughnesswastypically3to5nm.

The Michigan FPI System - Engineering Design Details Tobuildthe instrumentPaulandhisengineeringstaff followedthebasicdesignthathadbeenpublishedinthe literature inthe late60s.Fivemajorcomponentsconstitutethe in-strument:thepointinghead,theFPIetalonchamber,theobjectivelens,a630-nminterfer-encefilter(0.5nmspectralwidth)andthedetector.

Anexampleofthe15cmsetofetalonplatessimilartothatutilizedintheMichiganAlaskanFPIobservations.Typicalmarketvalueforthisetalonplateassemblyis$100,000.ThegapforthisArequipa, Peru FPI instrument was 1 cm set by using three 1 cm thick glass spacers. Thethermalchambermountforthisetalonassemblyisshowninthecenter.Threeknobsareusedtoadjustthepressureexactedbystiffspringsontotheetalonspacerstoadjusttheparallismofthereflectivepolishedsurfacesoftheinnersideofeachetalonplate.Theetalonhousingisseenonthefarleft.


Gettingthefullspectralmeasurementsacrossthelineprofileofthe630-nmemissioncouldbedonebythreemethods:imagingtheinterferenceringpattern,changingthegapbetweenthe plates using piezoelectric spacers, or by changing the index of refraction of the gaswithinthetwoetalonplatesbysimplyincreasingthepressureofthegasinsidethesealedetalonchamberusingaflowofgasfromaneedlevalve.Thetechnologyofthetimerequiredaphotographicplateasthedetectorforthefirstapproach,whichwasnotoptimalduetothepoorquantumefficiencyoffilm.Theothertwomethodsusedaphotomultiplierforthedetector.TheapproachusedbyUMwas thepressurescanningversionof theFPIas thisavoidedtheneedtocontrolthepiezoelectricscanningwithprecisestability.This lastap-proachrequirestheapplicationofavariablerampofhighvoltagetothepiezoelectricspac-ermaterial.Thus, thecombinationofaphotomultiplierdetector(modelnumberFW-130selected forlownoiseatthecoolertemperatureof-20°C),anobjectivelens(requiredtocreatetheringinterferencepattern),andtheetalontogetherwithadoubleaxismotorizedmirrorsystemallowedthenightglowobservationsbemadeinwhateverdirectionselectedbythemirrorsteppingmotorelectronics,directionstypicallynorth,southforthemeridionalwindcom-ponentandeast,westforthezonalcomponent.Thezenithdirectionwasalsonecessarytogetameasurementthatisnominallyazerowindreference.TheDopplershiftisthensimp-lythedifferenceinthepeakpositionsforthe630-nmspectralprofileforanyoneoff-zenithdirectionrelativetothepeakpositionforthezenithdirection.Thesefivedirectionsarethenormalscanstrategytobefollowedtodeterminethezonalandmeridionalcomponentsofthethermosphericwindvector.PlottingtheseDopplershiftsasafunctionoftimeindicateshowthethermosphericwindvectorchangesinspeedanddirectionduringthenight.CalibrationoftheFPIinstrumentallineshapewascarriedoutwiththeuseofaHeNelaserwhichhasanemissionlineat632.8nmthatisverynarrow.Theneonlineat630.28wave-lengthemittedbyahollowcathodelampwasalsousedtotracktheFPIstabilityduringthenightastheDopplerreferenceshiftsasaresultofroomtemperaturechanges.TheFPIsysteminuseatUMwasquiterobustfortheelectronicsoftheearly70s.Commer-cial products were generally quite reliable and considerably cheaper than building theequivalentinhouseatUM.ApressuretransducergeneratedaDCvoltagethatwaspropor-tional to thepressure.AHewlett Packard (HP) scaler-timer counted thepulses from thephototubepre-ampandaHPdigitaltoanalogconvertorproducedavoltagesignalwithinarangeof0to10V.AXYplotterplottedcountsversuspressurebyusingthesetwovoltagestogenerateananaloggraphicofthevariationoftheFPIsignalacrossthe630-nmspectrumasa functionofpressure(which isproportional totheetalongasdensity).Modulationoftheetalongasdensityresultsinachangeintheinterferencepatternwiththeringsgettinglargerwithadecreaseinpressure.Tworacksofelectronicsandnumerouscableswererequiredtohousealloftheseelectron-iccomponentsof theFPI instrumentaswellas thatofa tilting filterphotometer. Igot toknowthishardwareratherintimatelyasIhadtotakethesystemapartandreassembleitseveraltimeswhileIwasworkingwithPaulandhisgroup.Ilearnedhowimportantitwastotryyourbesttokeepthecablinglayoutassimpleaspossibleanddoingtheutmosttouse


nylon ties to bundle the cables tominimize the amount of confusion as towhere cablesneed togo.Labeling the twoendsof eachcablewasof great importanceasmanycableswerequitesimilarinappearance.Once the etalon reached thepressure of a fewpsi, the pressure is releasedby amanualvent.Oneorderofthe630-nmspectrumwas1.7psiofpureN2,andthescanwasextendedtoget twoorders.Uponthecompletionofapressurescan followedbytheventingtore-leasethegas,themirrordirectorelectronicswascommandedbypushbuttonstomovetothenextdirectiondesired.Obviously,operationsinvolvingtheFPIofthisdesignrequiredpersonnelstaffing.Thismeantcontinualattentionthroughoutthenighttogetonenightofobservations.Paulhadmanagedtoupgradehisinstrumentelectronicstoincludemagnetictaperecordingwitha7track556bpitapedrivethatrecorded72charactersofasciiinfor-mationuponthecloseofeach integrationperiodontheHPscaler. Justbeforemyarrivalthe FPI data were being recorded on paper tape which required continual attention toavoidthetapepunchfromclogging.Thus, itwasinthebeginningofSeptember1971thatIstartedstudyingtheFPItechniquelearningthedetailsofhowtheinstrumentworked.Paul’sengineeringstaffhadgeneratedanimpressivesetofschematicscollectingallofthesysteminformationwhethermechani-cal,optical,orelectricalintoonesetofboundblueprints.TheMichiganAirglowObservato-ry(MAO)wasa40-foot-longsemi-trailerthathadbeenrefurbishedtosetupathree-roomportableobservatory.Afour-channeltiltingfilterphotometerwasinstalledfromtheceilingin the control room. This instrument provided contextual information regarding thenightgloworauroralintensitydistribution.ItsobservationswereneededtonormalizetheFPIfringeprofiletoavoiddistortioncausedby630-nmintensityvariations.Each of the three rooms hadmounting to support the installation of a 40-inch diameterclearplasticdome.Heatedaircirculatedwithineachdometokeepthedomeclearofanyfogging.ThemiddleroomwastheFPIdarkroomhousingtheFPIopticsontheequivalenceofanopticalbench thatwassupportedby jacks firmlymountedonto thegroundsurfacebelow.Afterintegratingalloftheinstrumentalcomponentsintothistrailerandrunningitinobservationalmode fora fewclearnightsofnightglowoperations fromtheUMNorthCampus,itwasshippedtoAlaskaviaflatbedtrucktoSeattle.FromthereitwassenttoAn-chorageby ferrywhere itwas transferred toa freight train forshipment toFairbanks. IwenttoAlaskainlateSeptember1971,withanengineerwhohadbeenworkingwithPaulforseveralyears.HewastheFPIAlaskanprojectmanagerandledtheteamofstudentsthatdidtheworktopackandshipthetrailerbeforemyarrival.OncewewereinFairbanks,wehadtodecidewheretolocatetheMAOtrailer.OnechoicewasEsterDome,which is a hill of considerable elevation located about 4-5miles to thewestofFairbankslyingafewhundredfeetabovethevalleyfloor.AtthislocationtheGeo-physical Institute had constructed their auroral observatory about one hundred metersaboveaskilodgethatdidnotlastlongastheslopewasnotthatinterestingorchallenging.GettingtothetopoftheEsterDomehillwasattimesdemandingbecausetheaccessroadwasquiteoftenicyandslipperyafteranysnowfall.ThealternativesitewasthePokerFlatrocketrangelocated40milestothenortheastofFairbanks,butthisrequiredanhour-long


drive,notapracticalchoice.ThislocationwaswheretheChatanikaincoherentscatterra-darwasjustcommissionedandinretrospect,perhapsweshouldhavetakenaharderlookatgoingouttoPokerFlat.

The Rigors of Auroral Data Collection in the Alaskan Winter 1972 & later Thedesigndetailsof theFPI instrument fielded in1971areabaselinedescriptionof thetechnology of the times. Operating the FPI single-handed in the 1971-1972 winter wasquitedemanding.ThenightlytemperatureinJanuaryorFebruarywastypically-30to-40F,and these lowtemperatureextremes last formanydays.Automobile travelwassome-whathazardousespeciallywithicefogmakingthevisibilityaheadofyouonthehighwaylimited.Also,whenthetiresareflattenedbythecold,aworrisomethump-thumpnoisecanbeheardbut thankfully it fadedasthetireswarmed. IusedastationwagonrentedfromtheGovernmentGSAmotorpool.Unfortunately,thisvehicleneededconsiderablemainte-nanceaftertheseverewearandtearof theAlaskanwinteruponmotorvehicles.Thegasgaugemeterdidnotworkundercoldconditions.Thisledtocircumstancesthatonemorn-ingafteralongnightobserving,Icouldnotstartthevehiclebecauseitwasoutofgas.

The Michigan semi-trailer locatedon the east side of the Ester Dome auroralobservatorymanagedbyUniversityofAlaskaatFairbanks.TheplywoodstructurewasawanaganbuilttohousetoolsandArcticparkas.Thewoodenstructureinfrontofthefrontaxlewasinstalledtohelpsecurethetraileragainsttheeffectsofhighwinds.


Theskiesweredarkenoughtoallowobservationsbetween5:30pmanddawnat5:30to6:00am.WhenIstartedobservingintheearlyevening,theremightbeonlyafaintsignofauroraalongthefarnorthhorizon.Astimewenton,foractivegeomagneticconditions,theaurorabrightens andmoves southwardwhile appearing in the formof an elongated archangingstationaryoverheadoroff to thenorth.Thisarc is reasonablybright such that Icouldseeinplaceofagrayishwhitethegreencoloroftheoxygenlineemissionat557.7nm.Occasionally,Icouldalsoseesignsofafaintwhitisharcofftothesouthofthezenith.Thisgrayishdiffusedisplayindicatedaprotonaurorameaningthatthelightwasgeneratedbyincomingprotonparticleprecipitationgeneratingbluishlightthroughtheexcitationofthehydrogenbetaemissionat486.1nm.Somegreenlineemissioniscreatedaswell.Fol-lowinglocalmidnight,theauroragenerallybecomemuchbrighterwiththisbehaviorcoin-cidingwithanegativebayinthemagnetometerHcomponentindicatingthepassageofcur-rentwithintheauroralelectrojet.Thisphaseoftheauroraldisplayiscalledthe“midnightbreakup”as thehomogenouscharacterof theauroral fades intoadisplaywithmanyarcsegmentsandpatches.Theseauroraformsbecomeveryactivewithburstsofbrightareasappearingalongtheauroralarcswithtremendousfluctuations.Following the breakup period, the sky region overhead filledwith glowing patches thatpulsatedwithacycleofafewseconds.Itwasquitespectaculartoseetheirregularedgesofapulsatingpatchfadeandreappearwithhardlyanychangeintheshape.Thisactivitygoesonfor30minutestoanhour.Eventuallyalloftheauroralemissionsdisappear.Duringtheheightofthebreakupthecoloroftheauroralformstakesondifferentcolorsofdeepredtoorange.Often,onthetopsideofauroralformabroadarcbordermarkstheemissionoftheoxygenredline630-nmgeneratedbyrathersoftelectronprecipitation.Ihadtakenseveralgraduatecoursesinmolecularspectroscopy,soIwasfamiliarwiththemolecular band systems for N2, N2+, and O2 that generated these colors. The secondbrightestauroralemissionisthatof427.8nm,whichisthe0-1vibrationaltransitionofthefirstnegativemolecularbandsystemofN2+.Theaurorawithanupperredborderattachedtotheauroralformisemittingtheredline,630-nmemissionofatomicoxygen.Therearealsoperiodsduringtheheightofthebreakupperiodthataurorawithabrightlowerborderofpinkandredmightbeseen.Theseauroralformsaregeneratedbyauroralelectronswithenergies inexcessof20-30kevwhichpenetratesdeeper intotheatmosphereandgener-ates red nitrogen molecular emissions (known as the 1st Positive system). Blue colorsmixedwiththepinkandredemissionsaregeneratedbyionizedmolecularnitrogenbandsat361nmand428nmwavelengths.Softelectronparticleprecipitationgenerallyjustpro-ducesthered630-nmemission.Mostnightsfeatureonlyoneauroralbreakup,calledanauroralsubstorm.Onratheractiveoccasions when a geomagnetic storm caused by the passage of a corona mass ejection(CME)ofplasmathroughtheEarth’smagnetospherewastakingplace,theremightbesev-eralsubstormevents.Eachonefeaturedastrongnegativebayinthemagnetometertrace.The finestmoments toobserve theauroracomerather late in thenight.Becausemy jobrunningtheFPIoperationsinvolvedsomuchmanualintervention,Icouldonlypopoutsideeveryonceinawhile,totakeaquicklookastowhatwasgoingon.However,IdidgettoseethesevisualhighlightsforaminuteortwobeforeIhadtodartbackintothetrailerto


continueFPIoperations.BecauseeachspectralscanwasassociatedwithtwopeaksontheX-Yplotter,whichdefinedthewidthofafringe,Icalledthisperiodofdatacollection“auro-ralfringing”.Becausetherewassomuch630nmsignalinaurora,onefringemighttakeon-ly twoor threeminutes. This is verymuchunlike that required to get a goodnightglowfringe,oftheorderof30to45minutesforadecentsignalforbothpeaks.Thus,IwasquitebusyventingtheFPIpressurescan,settinguptheXYplotterwithgraphicpaper,movingthemirrorsystemtoanewdirection,settingtheintegrationperiodontheHPscaler-timer,andwatchingthetapedrivetomakesurethatallthedataisbeingrecorded.

Collectionofallskyphotographicimagesoftheauroraforthenightof26/27February,1973illustratinganexampleofextendedauroralactivitythroughoutthenight.


Detected FPI signal (counts) of theobserved630-nm Doppler profile plotted againstpressure which is linearly proportional towavelength. The interval of 1.7 psi isequivalentto a 0.0198 nm interval betweenFPIordersat630nmforaspacergapof1.0cm. The two fringes show a Doppler shiftequivalent to a meridional southwardcomponentofthethermosphericwindvectorof about 300 ms-1. Each fringe requiredabout 15 minutes of integration for datacollection. The broadening of the 630-nmspectralprofilerelativetothe laserspectralwidthis~afactoroftwoandcorrespondstoanupperatmospheretemperatureof~1000K.Thevariousaspectsof theauroral activitythatIhavealludedtoallhavespacephysicsexplanations. For example, the pulsatingauroraisaresultofprecipitatingenergeticelectronsthatareoforderof10to30kev(anenergyunitthatrepresentsathousand

electronvolts).Theseelectronspasstoandfroalongthegeomagneticfieldlinecyclingbe-tweentheconjugatepointintheoppositehemisphereandtheregionoverhead.Ithasbeenfascinatingtoreadabouthowaeronomersandspacephysicsscientistshavestruggledovertheyearstoexplainthesephenomena.Evennowintheageofsupercomputersandexten-siveknowledgeofthegeospacesystem,thereremainmanyquestionsthathaveyettobeanswered.EarlyinmyobservationeffortsIrealizedIneededtolistentomusictokeepmymindoccu-piedwhileengagedinthetasks.Iwasabigfanofclassicalandfolkmusic.Beethoven,Mo-zart,Haydn,andSchubertwerethekeycomposersforme.Therewasnothingliketheex-perienceandthrilloflisteningat2or3amtoBeethoven7thsymphonyapproachingthefi-naleataratherloudsoundlevelatatimethatIknewtheaurorawasgushingforthwithareallybrightdisplayoverhead.JoanBaezandJudyCollinsweremyfolksingerfavorites;Ihadalargetapecollectionfeaturingtheirsongs.IalsoincludedtheBeatlesinmyplaylistselections. Itwasonly later thatmycollectionexpanded to includeBobDylanandPeter,Paul,andMary.ItwasquiteathrilltobeuponEsterDomealonedoingthesewindmeas-urementsofauroraldynamics.Ialsospentagreatdealoftimewritinglettershometomygirlfriend,Erika,whoinAugust1973becamemywife.IthinkshemighthavebeenquiteattractedtomeinpartbecauseofthevarioustalesoflifeinAlaskathatIwroteaboutinmyletters,generallythreetofiveaweek.


MidwaythroughMarch,PaulandItalkedabouthowmuchlongertooperatetheFPI.Therewereseveralupgradesthathehadbeenconsideringbutneededtohavethehardwarerelo-catedtoAnnArbor. InearlyApril1972, Ipackedallof theelectronicsandtheFPIopticsintoshippingboxesandarrangedforeverythingtobeshippedback.Itwasaweirdexperi-enceinthatIwasstillonanighttimeschedule.Thus,IfoundmyselfuponEsterDomeat2ampackingbutitwasquitebrightasthelengthofthedayandtwilightsapproached22hrs.During thesummer I setup theFPI inMichiganatPaul’s laboratorywhere therewasanairglowobservatory.Thismeantputtingtogetherthevariousopticalandelectronichard-ware components including all of the cabling. Paulwanted to eliminate theneedle valuethatwasusedtogenerateincreasingpressurewithintheFPIetalonplates.Becauseoftheadiabatic cooling thatwas generated each time that the applicationof the vent valve re-leasedtheetalongas,theFPIfringeshiftedasaresultoftheinducedtemperaturechange.Althoughtherewastimeforrecoveryinthefewsecondsthatittookmetomovethepoint-ingheadtoanewdirectionaswellassettinguptheXYplotterwithanewsheetofgraphicspaper,Paulwasrightlyconcernedthatthiseffectmightbeasourceofsystematicerror.HeandWillHanson,amechanicalengineerthatdesignedthemechanicallayoutoftheFPIin-strument,cameupwithanapproachcenteringupontheuseofasteppingmotorthatdroveapistonbackandforthwithinacylindricalchamber.Thus, thepressurescantakesplaceforbothdirectionsofincreasinganddecreasingpressures.Averagingthesignalsobservedinbothdirectionsbalancedtheadiabaticheating(increasingpressure)andadiabaticcool-ing(decreasingpressure)effects.Anelectronicengineer,JimCutler,designedthesteppingmotorcontrollersothatthelowerandupperlimitsofthesteppingrangeoverthespectralprofilecouldbedefinedintermsofthe number of steps relative to the lower end of the stepping range defined by a limitswitch.Also,tobespecifiedbythumbdialswitcheswasthevalueofdelta,thenumberofstepsbetween spectralpositions, to achieve a linear scanacross theprofile.One setsupthesesettingsandthenthepressurestepperoperatesaslongasthegoswitchwasactive.Attheendofeachintegrationperiod,apulsefromtheHPscaler-timerprovidesthetriggernecessaryforthetaperecordertorecordallofthevalues.IaskedJimwhetherasimilarcontrollercouldbedesignedtorunthepointingheadsoasnotnecessaryfortheoperatortoexercisethisfunction.Jimsaid,yes,itisbepossibletode-signsuchadevice,buthedidnotadvisedoingso.Thiswasreallyajobforacomputer.Hewasveryadamantinspiteofthefactthatitrequiredamajorreconfigurationofthesystemtoimplementtheinterfacesofthecomputerwithvarioushardwarecomponents.Theinter-face between the computer and the steppingmotor electronics for each steppingmotorneededtobedeveloped.Similarly,theanalogreadingsfromtheazimuthandzenithsensorsneededtobedigitizedforthecomputertobeawareofthemirrorsystempointingdirec-tion.The listof thenecessarychangeswas longandtheresources forsuchmodificationswerelimitedsoIwasresignedtospendingmysecondwinterinAlaskarunningtheFPI.MyjobshouldbelesstaxingthoughasIdidnothavetoworryaboutventingthepressurescanorsettinguptheplottergraphics.


ThequestioncameupthenastohowweshouldmanagethenexttriptoAlaska.RentingavehicleinFairbankswasratherexpensive.TherewasalsotheneedtogetalltheelectronicsbacktoAlaska.Paulhadagraduatestudent,Gary,whohadfinishedtakingclassesandwasfinishinguptheconstructionofanewopticalinstrumentdesignedtoobservethe732.0nmemissionofO+byrotatinganinterferencefilteracrossaspiralaperturewhichwasequiva-lenttoscanningtheO+spectralprofileinlowresolution.NoDopplershiftcouldbemeas-uredbut the intensityof thesignalcouldbedetermined.TheaimofhisPhDdissertationwastoapplythisinstrumentintheguestobservatoryroomintheUMtrailerlocatedatEs-terDomeunderapointingheadthatallowsGarytoobservetheauroraformsinanydirec-tionofinterest.Slowmeridianscansacrossthearcswouldobservethisemissionappearingontheupperedgeoftheauroraarcasemissionlowerinaltitudewasgenerallynotpossi-bleastheexcitedstateofO+involvedinthisemissionisquenchedbycollisionswithneu-tralconstituents.GaryandIdroveaUMvanacrossthecountryalongI90toSeattlewhereweboardedtheferry to take the InlandPassage toHaines JunctionnearSkagway.Thisvessel stoppedatvariousAlaskantownsalongthewayincludingJuneauandKetchikan.WeformulatedthisideainthelatefallofOctoberasPaulhaddecidedtobroadenthescopeofthisprojecttoincludea thirdperson,Ashley,agraduatestudentatYorkUniversityworkingwithacol-leagueofPaulnamedGordon,oneoftheforemostaeronomersinCanada.AshleyandGor-donbuiltaMichaelson interferometer theywanted to tryoutobservingauroraldisplays.ThisinstrumentwassimilarinpurposetotheFPI,capableofmeasuringDopplershiftsandDopplerbroadeningbutusingadifferentapproachalsobasedonopticalinterferometry.PaulwasabletoreservetheuseofaUMvanforfourmonthsfromJanuarytoApril1973.Obviously,theideaofdrivingthisvantothenorthinthemidstofwintergaveonepause.Wehad thevanprepared for the immersion inAlaskanwinter conditionswithaplug-inheater tokeep theoil sumpwarmaswellasaheater for thebattery.Wehad theenginecoolant flushedandreplenishedwithantifreeze tohelpcopewith thevery lowtempera-turesthatwewereexpecting.Thevanitselfwasingoodshapewithnewtires.Wethoughtwewereingoodshape.AftertheholidayswemetinAnnArborandpackedthevanwiththeFPIequipmentaswellasthescanningspectrometerinstrumentthatGaryandPaulhadconstructed.TheCanadianequipmenthadbeenshippedtoAlaskaseparately.OnaSundayJanuary7weloadedupthevanwith our baggage andheadedoff along I94 towardChicago. It took four days to getacross the country passing through Wisconsin, Minnesota, North Dakota, Montana, andIdahobeforefinallyarrivinginSeattle,ajourneyofabout35hoursdrivingand2400miles.OurferryreservationshadbeenmadefordepartureonFridayofthatweekandwearrivedmiddayonThursday.WefoundaplacetostayintheouterpartofSeattleanddidabitofwalkingaroundthecity.Fridaymorning,weheadedtowardtheferryterminalandboardedthevesselafterlunchandourtripstartedlatethatafternoon.Theferryjourneywasquitescenicthoughtheweatherwasgenerallycloudyandchilly. I foundmyselfhavingtroublestayinginoneplaceeventhoughImightbewatchingprettyAlaskanscenerypassingby.


WearrivedinHainesonSundayafterstoppingatKetchikanandJuneau.Westayedover-nightatadowntownhoteland joinedacaravanofcars thathadbeenorganizedtodrivealongAK3throughthemountainsandTatshenshini-AlsekProvincialParktowardHainesJunction,amorningdrive.Therehadbeenquiteabitofsnowovertheweekendbutatthetime of our passing through, the roadhad been cleared by snowplows.Wehad lunch atWatsonLakeandturnedontotheAlcanHighway,AK1,whichwasthehistoricgravelroadfamouslyconstructedinWWII.AfairbitoftrafficwaspassingthrougheveninthemidstofwinterbecausecommercialsuppliesofpipelinematerialsaswellasdieselfuelwerebeingshippedtoAlaskatohelpwiththeconstructionoftheAlaskanoilpipeline.Thetractionwasprettygoodbecausetheroadwasgradedbyagradereveryonceinawhile,eveningoutthepermafrost heaves. Thiswas an advantageof a gravel surface that it couldbe treated toeliminatepotholesandroadsurfacedisruptions.WewereheadingforamotelatBeaverCreeklocatedattheborderwiththeCanadianYu-konTerritory.Weleftthecaravanofvehiclesbehind.About6pmwestoppedtorefuelandonlythendidwenoticehowcoldithadgotten,perhaps-50F°orso.Thegasgaugeonthepumpdidnotreset.Thismeantthattofigureouthowmuchweneededtopay,wehadtorecordwhat themeter indicated and then go aheadwith pumping gas into our van.Wemovedon from thisandaboutanhour later,webegan toexperiencedifficulty. Inoticedthat the frontwindshieldwas becoming foggy and the seeingwas getting to be difficult.Garystartedwipingthewindshieldclearofthecondensation.IwasdoingmybesttokeepthevangoingbutIhadtoletuponthegaspedaltonavigateacrossabridge.Itwasthenthattheenginestartedtoquitinspiteofmyeffortstokeeptheenginegoing.Eventually,afewhundredyardspastthebridgeIhadtopullovertothesideoftheroad.Inspiteofmyefforts or Gary, we could not get the engine running again. Studying themap using themileage post readingwe knewwewere close to our destination of themotel. Lookingahead along the road, in fact,we could see the glow of lights just around the bend. Thethreeofus immediatelywent to thebackof thevantoputonourbunnyboots, leggings,andourparkas.Onceoutfittedfortheverylowtemperatureswestartedourtrektowardthelight.IwascarryingaboxthathadbeenpackedwiththeFPIoptics.NowayIwasgoingtoleavethatpackagebehindandletitbecomecold-soakedinextremelylowtemperatures.Sureenough,ourmotelwas justabout300yardswalkalongtheroad.Whenwearrived,the proprietorwas surprisedwe travelled in such cold temperatures.He told us that hecouldtakeusin,butweneededtoavoidflushingthetoiletsbecausehehadclosedthepipeconnectionstothesewertanktoavoidtheriskofwaterfreezingwithinthepipes.Wewenttobedrightawaywithallofourwintergearonbecausethecabinswerenotheatedwhenwearrived.Iwasabletogetanightsleepthoughitwasratherfitful. Needlesstosay,wewerethankfulthatouradventurehadagoodending.Thenextmorning,wemetwiththeinnkeeperandhisfamily.HeandhiswifeandtheirtwokidshadbeenlivingthereatBeaverCreekforseveralyears.Wecommentedonhowisolat-edtheirB&Bplacewas,buttheynotedthatthereisalwaysquiteabitoftrafficalongtheAlcanHighway.Hiswife cookedus breakfast of eggs sunny side up and toast,whichweverymuchenjoyed.ThenGaryandourhostwalkeddowntheroadtoourvehiclewiththe


innkeeper carryingablowtorch.Heapplied this flame carefully toboth the engineblockandradiatortograduallywarmbothsothattheenginecouldbestarted.Astowhywehadsufferedthismishapinspiteoftheseveralprecautionsthatwehadun-dertaken to prepare for our journey into Alaska, we had overlooked a fundamental re-quirement to protect the radiator against the wind chill caused by our speed along thehighwayagainstthechillyairaheadofus.Apieceofcardboardinsertedinfrontofthera-diator intakewassufficienttokeeptheincomingcoldair fromfreezingthecoolant.Eventhoughwehadtherightmixofantifreezeandwaterintheradiator,theflowofverycoldairat50mph is capableof freezing theenginecoolant.Thiswas theexplanation forourproblem as towhy the engine quit.We found this experience rather daunting, and it allmeant thatweneeded tobecarefulwithouractivities.Theobvious lesson:experiencingtheAlaskanwintercanhaveseriousconsequencesunlessoneiscareful.AfterthestopoveratBeaverCreek,wecontinuedontotheAlaskanborderwiththeCana-dianprovinceoftheYukonTerritory,whereweencounteredtheCustomofficialswhoweretakenback at ourmission to bring along awhole van loadedwith electronics through acornerofCanada.Ittookseveralhoursofback-and-forthconversationstogettheOKtogoahead.WehadcalledaheadbeforeourtripstartedtocheckthatpassingthroughCanadawithscientificequipmentwaspermissible,andwethoughtwedidhavethatOK.However,theofficialsattheborderweretellingusthatweneededtoputtheequipmentintobonddelayingourtripforsometime.WeendedupgettingPaulandtheNationalScienceFoun-dationaeronomyprogramoffice inWashington Involvedbeforewe finally convinced theofficialsthatwewereindeedlegitscientistsbullheadedenoughtotakeonsuchamissionduringthecoldestmonthoftheyear.TheCustomofficialsrelented.WecontinuedonandspentthenightatDeltaJunctionmakingsurethatourvanwaspluggedin.Thetemperaturewasstillquitecold,-50sorso,andtherewashardlyanytrafficonthehighway.ThenextdaywearrivedintheeastendofFairbankswithinatrailoficefogalongthehighway.Thisicefogisaresultofthemoistureinexhaustsmokecondensingsostraight-forwardphysics.Still,itisastrangesighttoseehowtheicefogshroudstheroadsurfacebutbeinglocatedinthevandriverseatyouareseveral feetabove theworstof the fogwhere thevisibility issufficient forcarefuldrivingbeingreadytoslamonthebrakesshouldsomethingemergefromthefogtrailahead.Aftertwoweeksofhardwork,IgottheFPIsetupintheMichigantrailerwhileGaryandAshleygottheirtwoinstrumentsworking.PaulandthenlaterAndycameupfromMichi-ganinmid-Februaryandspentseveralweekshelpingtoobserve.Theeffortwasbrutalasthetemperaturesremainedinthelow-40sfromdaytoday.Suchtemperaturesareratherrare nowadays.Nevertheless,we got excellent data in this effort as the skieswere clearthroughoutandtheaurorawasquiteactiveandlively.JanuaryinFairbanksisreallyaglo-rioustimeasthereissomuchopticalphenomenagoingon:mirages,sundogs,andthesolarpillar.ThepressurestepperworkedoutwellprovidingamorestableFPIinstrumentforobserva-tions.Itwasabitdisconcertingthatthezenithmeasurementsdidnotseemtobeasstableaswehadthought toseewithsomeindicationofDopplershiftssuggestingverticalwind


eventsofsignificantmagnitude(>25-40ms-1)werecommon.This leftusbaffledandwetried to check through the instrument to seewhere a systematic errormight have beenpossible.Itturnedoutthatauroralactivitycanindeedgeneratesignificantlocalizedareasofupwellingdue to theheatingcausedbyenergeticparticle impactsorbyelectric fields.Thisresultwasnotappreciateduntilseveraldecadeshadpastbywhenotherinstrumentsandotherinvestigatorshadseenthesamething.

ObservationsofthermosphericwindsobtainedonFebruary26/27,1973.Thezenithreference(zeroDopplershift)istakentobetheblacklineplottedasthebestfitforthezenithpoints(z)markedonthisplot.ThepointsmarkedE,W,SandNrepresentobservationsmadetotheeastand west and to the south and north directions to determine the zonal and meridionalcomponentsofthethermosphericwindvector,respectively.TheDopplershiftsdeterminedbythe differences of fringe peak positions relative to the zenith reference line are used toformulate the variation of the wind vector during the night as shown here by the hourlyprogressionofthewindvectors.Typically,foranactiveauroralnightthethermosphericwindwouldbewestwarduntilaftergeomagneticmidnight(typically,11UT)whenthewindvectorshiftstowardthesouthwarddirection.


IhadseveraladventuresrelatingtodrivingupthehilltotheobservatoryatEsterDome.InMarchduetotheoccasionalthawstheroadmeltsinthedaytimebutfreezesatnight.Thismeant driving could be treacherous.Onenight Iwas returningmid-evening because theskieshadcloudedover. Iwas thinking that Ineeded tobecarefulbutwasstill surprisedwhenIcameoverahilltofindseveralvehiclesparkedatthesideoftheroad.Apparently,theyhadsufferedfromtheicysurfaceandslidintotheditch.IsteppedonthebrakesbutoverdidthispumpingofthebrakeswhichputthevanintoaspininwhichIendedupintheditch.Therewasnoharmdoneandthepeopleaheadofmecametohelpmepushthevanbackontotheroad.Inmid-AprilIhadtopackforareturntoAnnArborthesamewaythatIcameviatheAlcanHighway.My two colleagues had already packed, shipped their instruments back home,andleftbyanairlineflight.Paulwasconcernedaboutmyreturningalone,buttheGeophys-icalInstitutemachineshopsupervisorhadanadoptedsonthatwantedtospendsometimeinSeattle. Itwasperfect for thisboy, a teenager17yearsold, to comewithmedown toHainesJunctionwhereIgotbackontheInlandFerrytoheaddowntoSeattle.Itwasabeautifuldrive through themountainsenroute toHaines.Theslopeswereoftenquiteclearas thewindblewoffany loosesnow. It is reallyquite impressive toseewhatlooks tobeanendless landscapeofhillsandmountainswithoutanysignsofhumanity. Isawquite anumberofbullhorn sheepandonce, aswe cameover a rise in the road,weweresurprisedtofindamooseinthemiddleenjoyingabreakinherwanderingsouthwardfor the spring pastures. Shewas a sizable animal, so I decided to simply be patient andwaited.Eventuallyshemovedon.TheweatherwasquiteabitwarmerinAprilthaninJan-uaryandwehadnoproblemsfinishingthetripsouthtoHainesJunction.Wemettheferrywith an evening departure and from then on, the ferry ride was comfortable. I had theproblemofnotbeingabletositcontinuouslyinoneplacejustwatchingthescenerygoby.Afterbeinginoneplaceforanhour,Ihadthisurgetomoveontoanotherlocation,whetherthecafeteriaforacupofcoffee,thetopdecktowatchthescenery,ortomyroomtocontin-uereading.Thedeckoutsidewasverywindyandquitechilly.

Enter the Mini-computer So,thiswasmyintroductiontotheFabry-Perotinterferometerexperimentearlyoninmycareer – no computer, no internet, and the need for manual operations all through thenight.Theremustbeawayofavoidingthisrequirementforanoperator.Theresultsof themeasurementsof thermosphericwindsandtemperatureswereofcon-siderableinteresttothemodelersofupperatmospheredynamics,andtheywantedmoredataregardingtheresponsestospaceweatherdriverssuchasgeomagneticdisturbances,increased solar activity, and atmospheric tidalwaves.Having amuch largerdatabase al-lowsthedevelopmenttogettheaveragedwindandtemperaturevariationsfrommonthtomonthwithinayearandfromyeartoyearwithinasolarcycleintervalof5-6years,thepe-riodfromsolarminimumtosolarmaximum.


What was also clear was that these observing operations had to be automated, whichmeant that amini-computermust be incorporated as part of the instrumental design. (IwellremembertheexperienceofwatchingandplayingSpaceWaratMITinBuilding20onesummerontheconsoleofwhatwasthePDP-1thattookuparoomfulofspace.)Intheearly70swhatwasavailablewithintheSpacePhysicsResearchLaboratoryatUMwasthePDP-8mini-computerthatranoffpapertape.Thiswassupersededinthelate70sbythePDP-23whichwasbaseduponafloppydiskdriveandthenlater,a5MBharddiskdrive.WhenIreturnedtoUMfrommyworkatAreciboObservatoryasaresearchassociate,Ibecamearesearchscientistat theSpacePhysicsResearchLaboratory(SPRL), locatedontheNorthCampus across the street from the High Altitude Laboratory where I had previouslyworked.IinheritedfromPaulthehardwareapparatusthatheandhisgrouphaddevelopedintheearly70sthatIhadoperatedinAlaska.PaulwasbusywiththetaskofbuildingforNASAtheDynamicsExplorerFPIthatwasdesignedtomeasurethethermosphericwindsandtemperatures fromspaceaspartofasuiteof instrumentsthatmadeupthissatellitepayload.Inessencehewastryingtotransformwhatforground-basedmeasurementsrep-resentedatrailervanofelectronicsandhardwareintoa15kggadgetmountedonaspin-ningsatellite.The National Science Foundation had agreed to Paul’s request for a supplement to hisawardtocovertheexpenseofaddingacomputerwiththecapabilityofoperatingtheFPIautomaticallyfromnighttonight.ThismeantthatIhadtheresourcestocovertheexpenseof purchasing a PDP-23 so this was a major opportunity. We considered other mini-computerssuchasDataGeneral,buttheDigitalEquipmentCorporationhadastrongrepu-tationofsellingamini-computerthatwaswell-engineeredandrobust.PCsdidnotexistatthetime,andwedidnotreallyconsideralternativessuchasHewlettPackardbecausetheinhouseexperiencewith theDECPDP-8hadbeensopositive thatwewerenaturally in-clinedtogowiththePDP-23newgenerationofcomputersbaseduponthe16bitarchitec-tureof themicroprocessor,whichwasmuch faster than the8bit structureof thePDP-8chip. Moreover, the SPRL laboratory experience in using the DEC hardware meant thattherewereavailableaspartoftheSPRLinstitutionalmemorysoftwarecomputercodethatIcouldtakeadvantageof.OneexamplewasthecompilerIneededforproducingmachinelanguagecodefromtheFortranlevellanguagethatIwasusingtowritetheFPIdatatakingprograms.The SPRL laboratory engineers had also considerable experience in using the CAMAChardwarethatrepresentedatthetimearobustapproachtotheproblemofinterfacingthecomputerCPUwith the experimental parameters. Examples include a CAMACmodule toprovidethesourceofsteppingmotorpulsetrainstooperatetheFPImirrorsystemortheFPI pressure stepper, an A to D CAMACmodule to sample with sufficient precision thepressurereadingfromtheFPIetalonchamberortheanalogvoltagesfromthepotentiome-tersthatwereusedtomeasuretheazimuthpositionorthezenithpositionoftheazimuthorzenithmirrors,andthemulti-channelpulsecounterstocountthepulsesignalsfromthemulti-channeldetector.AmongthemanynewdesignfeaturesofPaul’ssatelliteFPIwastheimagingdetectorthatITThaddesignedtoachievetheequivalentof12separatephotomul-tipliers,eachobservingsignalsassociatedwithasegmentofthespectralprofilethatrepre-sentedthecircularinterferogramproducedbytheetalon.


Electronics required for the automatousoperations of the MAO Greenland Sondrestrom FPIobservatory.Thenine-tracktapedriveisseenintheupperleft,theCAMACcrateandmodulesareseeninthecentraltopregionandthePDPmini-computerandharddiskdrivearelocatedbelow this. This assembly is representative of early 1980s technology involving the PDP-23minicomputer.IhadmyhandsfullinwritingtheFortrancodefortheupgradedFPIcomputer-drivensys-tem. Therewas the limitation associatedwith the PDP-23 computermemory of 64 kilo-bytes.Therewasalsotheneedtofigureoutautomaticallywhentostartnighttimeobserva-tionsandwhentoquit.IchosetheobservingstartandendtimesatwhichtheSunwasbe-low the horizon by 8 degrees. This turned out to be possible because therewas a SPRLFortranprogramthatdidthisephermeriscalculationoftheeveningandmorningtimesforthissolardepressionangle. Icouldputall this information intoanascii fileandhavethecomputerlookuptheappropriatestartupandshutdowntimesforeachnight.Moving the double axismirror systemwas straight-forward as Sly-Syn steppingmotorswereusedtomovebothmirrors.ThecomputercommandsaCAMACpulse-traingeneratortosendaseriesofpulsestothemotortranslatormodulewhichconvertedthedigitalpulsetrainintocurrentpulsesthatdrovethesteppingmotor.Potentiometersgavethedatatak-ingprogramfeedbackastowherethemirrorswerepointing.FPIspectrawerewrittenouttothediskalongwithrelatedauxiliaryinformation.Clearly,8-inchfloppydisksof500kil-obytescapacityarenotbeadequateforthe jobsoIbroughtaharddiskdriveof5mega-bytes.Therewasstillrequiredameansofdatastorage,soIbroughta9-tracktapedrive.All


this takentogetherrepresentedanexpensivesystem.Ontheotherhand, the informationacquiredwasuniqueandinvaluabletospacephysicsatthetime.OnceIhadthebugsworkedoutforautomaticobserving,thequestioncameupofwhattodowithsuchaninstrument.Itwasatthistime(1980)thatNSFannouncedarelocationofanincoherentscatterradartoberelocatedfromChatanika,AKtoSondrestrom,Greenland.Theideawastorelocatetheradartoalocationwherepolarcapobservationsoftheplasmapolewardoftheauroralzoneaswellassouthwardtowardthevicinityoftheauroralzonecouldbeachieved.Itwasmyideathatthesciencestudiesrelatingtomeasuringtheplasmadriftbyradarshouldalsoincludesimultaneousmeasurementsoftheneutralatmosphereflowofair.Theprocessofiondragcompelstheairtomoveinthedirectionoftheplasmaflow,soitmadesensetostudythedynamicsofbothplasmaandneutralflowstogether.IsubmittedtoNSFaproposalpointingtothesuccessIhadachievedwiththeMichiganau-tomatedFPIandsuggestingtheconstructionofanewinstrumenttobeinstalledatthera-darfacilitylocation.ThisproposalwassuccessfulsosoonIfoundmyselfonaAirForceC-141flight thatwent fromMcQuireAFBinNewJerseytotheSondrestromAFBlocated insouthwesternGreenland.The radar sitehadbeenpicked tobewithina smallvalley thatserved to shield the radar antenna fromground clutter. Althoughmyprojectwas some-whatexpensive,itturnedoutthatthefluctuationsoftheDanishconversionratiotoUSdol-larsweresuchthatSRIInternational,theradarPI,didnothavetospendanyextrafundstobuildanaddontotheirbuildingtoprovideanopticalobservatoryspacefortheFPIinstalla-tion.WiththehelpoftwoengineersfromSPRLIwasabletogettheFPIinstalledandoper-ationaltowardtheendofFebruary1983.Thesystemdidprovecapableofautomaticoper-ationsandsuccessfullycollecteddataforanumberofweeksuntil itbecametoobrightinmid-April.ThesuccessofthisprojectledtoanotherprojectthatwastoinstallaFPIinatrailerlocatedatThuleAirBaseinGreenland.ThisinstrumentwasfundedbytheAirForceandprovedtobesuccessfulaswellinspiteofthefardistancesrequiredtotravelfromMcQuiretoThuleinaC-141. Ihadtogetequipmentupto theGreenlandsite;shippingtoThulewasprob-lematic,especiallyiftimewaslimited.Takingitwithmeaspersonalbaggageseemedtobethebestway.However,IhadtheproblemofgettingtheboxesfromtheNewJerseyNewarkairlinebaggageareatotheMcQuireAFBterminal.Ataxididnothaveenoughcargospace.InprevioustripsInoticedalimousineserviceatthefarendoftheNewarkterminal.Imadea reservation forone, gettingeverything into the limoalongwithmy technicianandourluggage.ImaginethereactionofthemilitaryguardattheentrancetoMcQuireAFBtohavemeshowupwithmymilitarytravelordersinhand.TheguardwasquitetakenbackwithsurprisebuthowelsewasIgoingtobeabletogetmyequipmenttoThuleAFB,especiallyinmid-winter?


The FPI trailer located at the harbor of the Thule Air Base. Seen in the background is aninterestingsandstoneoutcropsmoothedflatbyGreenlandglaciersinancientgeologicaltimes.Theconcretebarwasmountedonto the traileralongwithrestrainingcabling toanchor thetraileragainstthestiffwinterwindsthatoccasionallydevelopedalongtheGreenlandcoastalregion.Eachspringagolftournamentisheldona9holecoursesetupontopofthebluff.

AffidavitofpassageintotheHighArcticregion,November26,1984.InthesameyearImodifiedan existing FPI that wasoperatedbyaMITalumnuscolleague to achieve auto-mated operations. This in-strument ended up insouthernPeruatArequipa.Itspurposewastoobserveequatorial thermosphericwinds and temperatureswhichitdidwithmoderate

successduringthetimesofclearskies fromApril toSeptember.Therestof theyearwaslostbecausetheskiesbecamecontinuouslycloudyduetotheequatorialcloudbeltthatmi-gratessouthfromtheequatorduringthelocalsummer.Ittookanumberofyearsbutfinal-ly,inthemid-90sIgotthemonthlyclimatologydatathatIhadoriginallysetouttoachieve.


Enter the PC Revolution Itbecameclearthattheheydayofmini-computertechnologywaspast,andthePCrevolu-tionwasuponus.ThePCwasquiteattractivetomebecauseofthe32-bitarchitectureasopposedtothe16-bitlimitofthePDP-23.MywritingofthedatatakingcodeforthePDP-23hadbecomeseverelyhamperedbythememorylimitationof64KwordsasItriedtogetthesoftwaretodomoretasksinmanagingtheFPIdataacquisition.SwitchingtothePCplat-formwassomethingIshouldthinkaboutdoingsoonerratherthanlater.However,itwasabigjobbecausethesoftwarerequiredextensivemodifications,notjustinthedataacquisi-tionsoftwarebutalsointhedataanalysis.Theswitchbecameevenmoreattractive,though,whenIlookedatupgradingthedetectorto move away from a photomultiplier (PMT) to a CCD camera. There were several ad-vantagessupportingthisswitch.OneisthatthequantumefficiencyofthecathodesurfaceofthebareCCDcameraismuchhigherthanthatofthePMT,i.e.,90%ratherthan10%.Se-condisthefactthatanimagingsystemsuchasaCCDcamerameanstheskysignalsarecol-lectedsimultaneouslyacrossthewholerangeofinputanglesbetweentwointerferenceor-ders(rings)ratherthanonlyasmallfractionoftheinterferenceringthatisallowedtopassthroughanaperture.Andthen,therewasthefactthatmultipleorders(rings)couldbeim-aged simultaneously rather than just the innermost one. Taking all these advantages to-gethermeantanincreaseinFPIsensitivitybyaboutafactorof300orso.Usingafour-stagethermoelectriccoolerreducedthedarknoisetoessentiallynothing.Achievingthisconver-sionanswersmydream–aperfectdetector.I researched the CCD cameras available on themarket and thought that the Andor CCDcameramadebyanIrishcompanylocatedinBelfastwasattractive.ThesalesengineerthatItalkedtowassupportiveandhelpfulwithinformation.IwroteaproposaltoNSFandgotasupplementtomyPeruawardthatgavemethefundsthatIneededtopurchaseacamerafora tryout.Thecamerawasexpensive,about$25,000,but theexpensewasworthwhilegiventhehugeimprovementinsensitivitythatIexpectedtoget.Looking at the software issues involved in switching to the CCD camera detector wasdaunting as itmeant facing up to the hurdles associatedwithWindows software. ItwasrightatthistimethatIrenewedmyfriendshipwithPeterSherwoodandhiswifeBonnieatthe2004classreunion.Peterhadstartedhisowncompanytodevelopsoftwareforclients,andso,ImentionedmychallengeinregardtolearninghowtoprogramWindowstoworkwiththeAndorcamera.Petervolunteeredhisservices,andIwassensibleenoughtoaccept.Initially, Iwashesitant todosopartlybecause Ihadtheattitudethat Ishouldbeable tomanagethischallengeonmyown.Butthen, later,IrealizedthatPeterwasofferingtobepartofmyteam.Ihadenoughtodoinregardtothedataanalysisissuesandwritingupthescience of themeasurements that Iwanted to take that I could not really afford to drilldownintoWindowsprogrammingissueswhenPeterwasclearlyanexpertandwillingtohelp.Thisisanexampleofthetransitionthathastakenplaceoverthepastthreedecadesinmostsciencefieldsinwhichteamworkcanbecomemoreimportantthantheindividualini-tiativeinachievingresults.Itisratherdifficultnowadaysforascientisttomasterallofthe


skillsnecessarytoachieveaninstrumentoperatingatthecuttingedgeofmoderntechnol-ogy.Ourpartnershipbecameawonderful experience involvingmanyemails.Earlyonwede-velopedaplanbaseduponfourmodules:Master,Observatory,Camera,andAnalyze.ThispackagewasdesignatedasA3ObasedupontheacronymthatmyPeruviancolleagueandMITalumnus(Classof1944)FredBiondicameupwithArequipaAutomaticAirglowOb-servatory.From itsnameMasterwas thedominantmoduleandprovided instructions tothe other threemodules. It sentmessages as needed and received back data and statusmarkers. Observatory did the work of moving themirrors, collecting analog samples ofpressureandtemperature,andmanagingtheFPIshutterfunction(whetherlightisadmit-tedtotheetalonornot,andwhetherHeNelaserlightpassedintotheetalon).Cameraop-eratedtheAndorcamerapassingforwardtheexposuretimeandcollectingtheimagingda-taatthecloseofthecameraexposure.ItalsocontrolledthecameratemperaturetocooltheCCDchiptominimizethedarkcountduringoperations.Analyzepresentedtheimagetothemonitorfordisplay,andalsodidthesummingoftheimagedataaroundtheringcentertoachieveaone-dimensionaldisplayoftheinterferencespectrum.ItalsoprovidedthemeansforsimulatingtheFPIinterferencepatterndependingupontheinputparametersofspacergap,etalondiameter,exposure time,darknoise level,and630-nmsourcesignals.MastercommunicatedwitheachofthemodulesinaninterruptmodethatallowedMastertodealwithanyissuethatcametocontinuethesequenceofobservations.ControlfileswereusedtoprovidetothePCalltheinputparametersrequiredtosetuptheobservatorydata taking.Therewasone foreachmoduleexceptMaster.ObservatoryCon-trolFileincludedthelatitudeandlongitudeinformationnecessaryforephermeriscalcula-tionsofsunsetandsunrise.MasteralsocalculatedthedirectiontowardtheMoonsotoen-ableastrategyofavoidingdatataking in thedirectiontowardtheMoonwhichmadetheFPIbackgroundcontinuumtoobrightforqualitymeasurementsofDopplershiftsandDop-plerbroadening.Icametolearnmuchmoreaboutthecultureofprogrammingprofessionalsoftware,espe-cially inregardtohowpreciseoneneededtobetobeginaprojectwithcarefulspecifica-tions,andalsohowimportantitwastodocumentresultsofanycomputererror.Peterwasalwaysveryhelpfulandpatient,especiallyduringthemomentsthatIwasinthefield,andsomethingunexpectedturnedupcausingtheprogramsnottoworkasexpected.ThereplacementofthePMTwiththeCCDcameraprovedtobeamajorbreakthroughthatwasmadepossiblenotonlybytheadvanceinthetechnologyofthecamerabutalsotheca-pabilityofthePCinregardtomemoryandspeed.Irememberin2000visitingacolleaguewhowastryingoutaCCDcamerawithhisFPIinstrument.IsawthenthatthelimitationsinCPUmemoryandspeedinhisPCwereclearlyhamperinghiseffortstoanalyzetheimagetoextract Doppler shift and Doppler broadening. Still, I wasmotivated enough to want tolearnmoreaboutthiscameratechnology.IexpectedMooreLawtosoonmeanthatthePCcomputermemoryandspeedcouldbeeasilycapableofmatchingmyrequirements.


ModernversionoftheFabry-Perotinterferometer.Theinstrumentframeismountedtothetesttable topwith thedoubleaxisSkyScannermountedonto the test table top.The instrumentalschematicshownontheleftillustratesthemajorcomponentsoftheinstrumentincludingtheCCDcamera,etalonchamber,filter,andSkyScanner.ForthelasercalibrationtheSkyScannerisdirectedtolookdownintothescatteringchamberandashuttermountedonthelaserheadopenstopasstheHeNestabilized-laserlightintothescatteringchamberthroughafiberopticscable.FiguretakenfromthePhDdissertationsubmittedbyDr.RafaelMesquita(2021).Itwasaboutthistimein2001Ipurchasedanall-skyimagingsystemfittedoutwithaCCDcamera.ThisdecisiongavemeastartandallowedmetogainsomeexperienceinusingtheCCDcamera.Unfortunately,myClemsonobservatorywasraidedbythievesthatcutaholeinthefenceandbrokeintomytrailer.Theyswipedtheimagingsystemandcomputerandeventookthedome.Therewasasilver lining, though.This losswascoveredbyClemsonUniversityinsurance,andIinvestedtheproceedsinbuyingasmallFPIfromtheMichigancompanythatPaulHayshadorganized.Thisinstrumentdeservedtohaveanameandafterspendingtwohoursdebatingpossiblenames,oneofuscameupwithMiniME,soperfectbecausethenameacknowledgedtheminiaturizednatureoftheinstrumentwhichprovedto be quite adequate for observingwinds and temperatures but very handy for luggingaroundtheworld.Fromthebeginningthecomputermemorywasquiteadequatebutas the fourA3Omod-ulesbecamemorecomplex, theextentofmemoryrequired increasedconsiderably.How-ever, the PC technology alwaysmoved ahead faster thanmy computing demands, and IneverhadanyissuesduetoPCshortcomings.Onecouldsaythatmychoosingtowaituntiltheearlyyearsof thedecadeafter2000was insightfulbut Ihadnoreal ideathat thePC


technologycouldcontinuetoimproveasitdid.IjustkeptonpressingthepedalasitwerebutwiththecontinualsequenceofhardwareupgradesofthePCcomputerplatformovertheyears,InevercameuptoanybarrierinregardtoCPUspeedandcorememoryasIhadexperiencedwithmini-computertechnology.PeterandIkepton improvingtheA3Osoftwarewiththebackandforthengagementviaemail.Thesoftwarehewroteprovedtobequiterobustwhileremainingreasonablysmallintakingupcomputercorememory.Onemightaskthequestion,whynotusethecommer-cial software such as LabView that supposedly offer simple-minded pathways towardachievingdataacquisition.TheresponsefromPeterwasthatthedemandsuponthecom-puterCPUspeedandmemoryarequiteabitmoresevereanddifficulttosupport.Ichosetolistenandaccepthisadviceas IknewPeter tobemuchmoreknowledgeableaboutWin-dows real time computing than Iwas in spite ofmymany years of using theDECmini-computertechnologyduringthe80sand90s.Theremainderofthisstoryisinterestinginthatthestrongcommunityinterestincollect-ing thesemeasurements of upper atmospherewinds sustainedmy research for the pastseveraldecades.IwasopentocollaborationwithcolleaguesandwithPeter’sconsentandsupportIsharedthesoftwareprogramswithothercolleagues,whichledtodelightfulex-periencesindoingso.MycolleaguesandIstartednewFPIobservatoriesinArgentina,Bra-zil,Ethiopia,Morocco,Peru,SouthAfrica,andAlaska.ABrazilianfeastinSaoPaulo.AFPIattheBahilDarUniversity,Ethiopia,thatwasguardedbyanarmedguardbearinganAK47.AlongtriptoHermanes,SouthAfricatotalkaboutFPIresultsandplansforlocatingaFPIattheSutherlandAstronomicalObservatory,SA.AnovernighttriptoSanJuaninArgentinatovisit theEl Leoncito astronomical observatory in theAndesnear thewestern coast. AndthenIhadagreatopportunitytorevisitAlaskaaftersomefourdecades.

Modern version of the FPIinstrumentthatisabout200timesmoresensitivethantheMAO1973interferometer. This particularobservatoryislocatedintheNazcaregion about 100 km south ofLima, Peru. Internet access wasavailable with a wireless routerconnection. The CCD camera andthe FPI etalon are located at thebottom and center (blue thermaljacket) of the FPI frame. TheSkyScanner is located in thedomearea.Figure provided by Dr. LuisNavarrofromhisPhDdissertation(2019).


Return to Alaska in 2009 Duringthe90sitfinallybecamepossibletobuildanewadvancedincoherentscatterradar.ThisinstrumentwastobelocatedatResolute,Canadajust1200kmorsofromtheNorthPole.Thereasonforsuchalocationchoicewasthattheaeronomycommunitythoughtthatstudying and learning about the space physics phenomena,whichwas now being called“spaceweather”,atthehighlatitudeswithinthecentralpolarcapregionwouldbehighlyrewardinginregardtotransformativenewscience.Theideawastorecognizethattheelec-trodynamicsof thepolar regionand themagnetosphere thatwas connected to thepolarregionsalonggeomagneticfieldlineswasallpartofwhatwemightcallthe“geospacesys-tem”.Thisapproachrecognizedthatnolongercouldthespacephysicsphenomenabestud-iedpiecemeal.Aholisticapproachtospacephysicsstudieswasnownecessarytoachieveadeepphysicalunderstandingofthemyriadnumberofprocessesoperatingsimultaneously.ThenewmeasurementswereexpectedtosupplementinmajorwaysourunderstandingoftheelectrodynamicsoftheauroraandtheconvectiveforcingofplasmaacrossthepolarcapandtowardtheSunintheeveningandmorningsectors.Funding such an instrumentwas estimated then to be about $60,000,000 and normally,findingthemoneytosupportsuchanexpenseisdifficulttoachievepoliticallywithinNSFunlesstherewasmanifestedstrongsupport.TheleadersofthegeospaceprogramatNSFthoughtthattheyhadeverythingsetupwithintheaeronomycommunityandwithinNSFtogoforwardwiththisplanfortheconstructionofwhatwastobecalledthe“PolarCapOb-servatory”.Unfortunately,therewasoneproblem,andthatwasSenatorStevensfromthestateofAlaska.HethoughtitwasoutrageousforNSFtospendthisamountofmoneytoputsuchaninstrumentatalocationsuchasResoluteoutsideoftheUSboundary.HethoughtthatFairbanks,Alaskawasaperfectlygoodplaceforsuchafacility.Asaresultofhisoppo-sition,inspiteofalltheeffortsthathadgoneintosellingthisplan,thePCOprojectwascan-celed.Eventually though, theNSFgeospaceprogramofficershadan inspiration.Letuscall thisprojecttherelocatableISRwiththeplanthattheinstrumentstaysputinonelocationforanumberofyearsandthenbemovedtoanotherlocation.ThenaturalstartingpointisFair-banks,AlaskaatthelocationofthePokerFlatRocketrange.ThenewISRinstrumentfea-tured cutting-edge solid-state radar technologywhichmeant among other attributes in-cludingthecapabilityofcontinuousunattendedoperations.Thebeamformingcapabilityofthisradarmeantthatit isabletoobservemultipledirectionsalmostsimultaneouslywithmillisecond intervals.Thenamereflects this capabilityas “Advancedmodular incoherentscatterradar”,i.e.,AMISR.ThecombinationoftheAMISRradar,opticalinstrumentsattherange,aswellas theability to fly instrumentedandchemical releaserockets intoaurorawouldreallybeapowerfulmeansforstudyingatanadvancedleveltheelectrodynamicsoftheaurora.ThisplanalsoincludedfundingtosupporttheconstructionofanotherAMISRradar installed at Resolute, achieving what the aeronomy community originally wantedwhilesatisfyingthedesireofSenatorStevensforAlaskatocontinuetobeattheforefrontofspacesciencestudies.


Alongwiththisplanforbuildingupaclusterofinstrumentsattherocketrange,NSFwant-edtoprovidePIstheopportunitytobringtoPokerFlatnewinstrumentsthatprovideob-servationscomplementing theplasmaprofilemeasurementsofelectrondensity, electronand ion temperaturesaswellasmeasuringconvective flowsof theplasma.Thus, towardthe end of the decade in 2008,NSF announced an opportunity to propose additional in-struments to measure parameters that complement the plasma physics measurementsproduced by the Poker Flat ISR facility. Neutral winds and temperatures were obviousphysicalvariablesforawinningproposal.ThistomewasawonderfulopportunitytoreturntoAlaskatocontinuethestudiesonau-roralelectrodynamicsthatIhadstartedintheearly70s.AfterthinkingaboutwhatImightundertake,IdecidedanetworkofthreeFPIstobethecoreofmyproposalwitheachonebeingacopyofMiniMEwhichatthistimeIhadspentquiteabitoftimeworkingwithbyrunningthe instrumentatAreciboObservatory. Theapertureof4cmwassmall,buttheimaging detectormade the sensitivity be quite respectable and sufficient to observe the630-nmnightglow.Auroralsignalsmakethewindandtemperatureerrorsquitesmall,andinfact,theseerrorsturnedouttobeabout2ms-1and5-6Kforacameraexposureof120s.ItturnedoutthatthefundingthatIwasabletogetfromNSFaspartoftheAMISRsolicita-tionwasinadequateformetostartfromscratchwiththreenewcopiesofMiniME.Instead,Iwasable toconvinceNSFtoprovide funding torefurbish twoFPIsanduse theMiniMEthatIhad.OneoftheFPIscametomefromtheUniversityofSaskatoonthroughthehelpofacolleaguethatIknewfromourworkinrunningtheAreciboObservatoryairglowfacilityin the70s.TheotherFPI came tome fromawonderful friendandcolleagueat theUtahStateUniversitywhonolongerhadanyoneinterestedinusingthatinstrument.Ihadmetthisperson,aHarvardgraduate inAlaskainthefirstyearofmyworkwithMAO,andwehadhititoffverywell.Hewantedtoobservethe630-nmnightglowforveryquietnightsinAlaskatoobservethenightgloweffectsofelectronsarrivingoverheadofAlaskaalongfluxtubesfromtheconjugatehemisphere.Thisprojectprovedtobequitesuccessful.In both cases I replaced the detector for each FPI to be refurbishedwith anAndor CCDcamera.Theetalonsizewasbiggersothatwasabitofanadvantage.However,ittooksev-eralyearstofullycompletetheupgradeoftheinstrumenttoobservemultipleringsoftheFPIinterferencepattern(bulleyecircles).IchosetolocatethesethreeFPIsatPokerFlat,attheGeophysicalInstituteObservatoryatFt.Yukon,andinasmallobservatorymeantforamagnetometer adjacent to the airport runway at Eagle. Ft. Yukon is located toward thenorthofFairbanksandnorthoftheAlaskanRange.EagleisfoundontheUSsideoftheYu-konRiverattheborderwithCanada.Theseparationsfromonestationtoanotherareabout250km.allowingmetogetdecentDopplershiftmeasurementsintoavolumeofspacethatiscommontoallthreelookdirections.ThisallowsmetousetheobservedDopplershiftsforall threedirections tocomposea thermosphericwindvector–8.01physics- foreachspot.IntheobservingthatIundertookIchoseastrategyofobservingtowardfoursucces-sivespotswithinthisregionboundedbythesethreelocationssothattheSkyScannersforeachoftheseFPIscommandedbythecomputertomoveinsuccessionfromonespottoan-other.Thisprovedtobeagreatstrategyasoneofourfindingsfromthisprojectwasthat


theauroralthermospherewaspopulatedwithnumerouswavestructuresthatcontinuallypassedoverhead.Withthisobservingapproachwecouldmeasurethespeedanddirectionofthesewaves.Forme tobe able to coordinate these observingoperations as described for these threeFPIs, Ineededtohaveaccess inaremotesense.Fortunately, the internet technologyhadarrivedinAlaska.TheinternettoFt.YukonwasabitslowbutwasbaseduponmicrowavetransmissionofsignalsfromtheFt.YukonobservatorytoarepeaterlocatedintheAlaskanRangewhich in turn transmitted (or received) to theGeophysical Institute in Fairbanks.TheinternettoEaglewasalsoslowbecauseitdependeduponasatellitelinkwhichdidnothaveaverywidebandwidth.Still,thespeedforthesestationswasfastenoughtoallowmetocommunicatewiththedesktopofeachobservatorycomputer.Thus,Icouldchangeex-posuretimesandpointingdirectionsbyeditingfiles.Itwaspossibletowatchthedatatak-inginrealtimewheneverIloggedontothesite.PeterwroteanewmodulecalledCommunicatethatallowedmetoarrangefortheimagestobedownloadedtoaserverautomaticallyatthecloseofthedatatakingforeachnight.Ithendownloadthese images fromthisserver tomycomputer fordataanalysisusingmyIDLprograms.Thiswasallabitclumsybutstillmuchbetterthanhavingtogotothesitetocopythedatafilesoffthecomputer.IeventuallyusedtheprogramTeamViewforthispur-poseofremoteobservingasthisprogramprovedtoberobustandmulti-functionalinthatIcoulduploadnewsoftwareordownloaddataimagesorlogfilesthatweusedfordocumen-tationofthedatatakingeachnight.ForthenetworkoffiveFPIsthatwelaterestablishedinthemid-WestthatwecalledNATION(NorthAmericanThermosphereIonosphereObserv-ingNetwork),weimprovedthecommunicationssothatnotonlyweretheimagesautomat-ically transferred to a server but once there they were analyzed. This meant that eachmorningIcouldbelookingovertheresultsofthepreviousnightwhiledrinkingmymorn-ingcoffee.BecauseIwasteachingatClemsonUniversity,Icouldnotsparemuchtimeawayfromclas-ses.Whenweheard frommyAlaskancolleague that the shipmentofFPIequipmenthadarrived,dividedupintothreepallets,astudentandanengineerfromthePhysicsDepart-mentmachineshopandImadeplanstotraveltoFairbanks.ThiswasinOctoberof2009inthefallseasonbeforethereallylowtemperaturesofAlaskanwinters.Eachofthethreepal-letswasloadedwiththreeorfourcratescontainingtheFPIequipmentandasetoftoolsaswellasadomewiththerightdiametertofittotheholeintheroofoftheobservatorybuild-ingatFt.YukonoratEagle.OncewearrivedinAlaska,wemetwithmycolleagueassociatedwiththeGeophysicalInsti-tuteoftheUniversityofAlaskaatFairbanksandwentouttoPokerFlatwherethecargofortheFPItobelocatedatPokerFlatwasalreadysituated.WeimmediatelywenttoworkwithunpackingandinstallingtheFPIframeandtheotherpartsoftheinstrumentunderalargesizeddome.WehadlunchnearbyattheChatanikaLounge,abarwellknownfornighttimefestivities.Whenweleftthateveningtogetsupperandthentobed,wehadtheinstrumentinplacereadyforfirstlight.ThenextdaywewenttotheairportwiththeFPIshipmentin-tendedforFt.YukonandtookaflightnorthontheWrightAirService,providingcargoand


passengerservicetoremotecommunitieswhichinthewinterwereotherwisecompletelyisolatedfromcivilization.WestayedattheAFradarbaselocatedtothewestoftownwheretheGIhadanagreement to locatea trailer fittedoutwiththreedomes.ThisobservatorywaswellinsulatedagainsttheArcticcoldofextremelylowtemperatures.OurFPIwentintooneofthethreeroomsandwaslocatedunderalargeplasticdome.Again,installationwentforwardratherquickly,andweleftaftertwodaysofcontinualeffort.Iwasabletogetfirstlight with this instrument much to my satisfaction. Once we returned to Fairbanks, wewereofftoEagleusingtheEvertsAirService.Herewerentedaratherdecrepittruckpro-videdbythepeopleattheEagleGeneralStore.Duringthewintertherewasnoeateryplacetopatronizesowehadbroughtalongsomefoodtogowithsomeitemspurchasedat thegeneralstore.Again,thesetupwentratherquicklyandwithinadayIwascollectingimag-es.

Discovery Science Results Theresultsthatemergedfromthis21stcenturyseriesofobservationswerequiteinterest-ing. IntheFPIworldtomeasureaDopplershift,oneneedsaDopplerreference. Inradioscience,aDopplerreferenceisprovidedbyalocaloscillatorsetforacertainfrequency.Inthecaseofaradar,thefrequencyoftheradarechoreceivediscomparedwiththisfrequen-cy,andwhateverfrequencydifferenceisseenistakentobeaDopplershiftthatmightbeusedtoinferthespeedofthetargetgeneratingtheecho.Apositivefrequencyshiftmeansthatthetargetismovingtowardyou,andanegativeshiftthatthetargetismovingaway.InthecaseoftheFPI,though,becausewearedealinginthespectraldomain,i.e.,wavelength,a shiftof the630-nmspectralprofileemission to longerwavelength, i.e., toward thered,wouldbetakentosaythattheairismovingawayfromus.Viceversa,ablueshift(i.e.,to-wardhigherfrequency,shorterwavelength)meansthattheairismovingtowardus.Unfortunately,thelocalDopplerreferenceneededforthermosphericwindmeasurementsisnotavailable.BecausetheupperstateoftheOemissionismetastable,itissimplytoodif-ficulttomakeanatomicoxygenlaboratorysourcethatemitsatthe630.0303wavelength–thelifetimeoftheoxygenatomicspeciesisabout110secondsandso,at250km,thisstateis generallydestroyedby collisionsbeforeemissioncanoccur.Consequently, the state isthermalizedandobserving theDopplerwidthdoesprovidea temperaturemeasurement.ForDopplershiftmeasurements, thepeakpositionof theFPIspectralprofileseen in thezenithdirectionistakentobetheDopplerzero.Whyisthisassumptionvalid?Well,ther-mosphericwindsarebelievedtobedriveninthehorizontaldirectionwithzonalandme-ridionalcomponentsbutgenerally,noverticalwindspeedgreaterthan2or3ms-1.Thereissomuchbulkairwithinthe630-nmviewingvolumethatneedstobemovedtoseeanysignificantverticalmotion.At low latitudes this assumptiongenerallyhasworkedoutwell.However, in the auroralregion,isthisthecasewithparticleprecipitationdepositingaconsiderableamountofen-ergy?OrwiththesignificantenergysourceprovidedbyJouleheatingarisingfromthefric-tionaldragoffast-movingionscollidingwiththeneutralsinthethermosphereregion?OurAlaskanresultsobtainedin1973assporadicastheywereduetotheweakFPIsensitivitydidsuggest that theauroralverticalwindobservationsdemonstratedstrangebehavior. I


rememberPaul and I undertaking tests such as removing theplastic dome thinking thatreflectionoflightwithinthedomeintroducingscatteringmighthavesomethingtodowiththestrangeresults.Butno,theeffectwasquitereal,andweweresimplyrefusingtofacethereality.This example illustrates thedilemma that experimentalistsquiteoften face in examiningtheresultsobtainedsubsequenttotheapplicationofaninstrument.Aretheseresultsrealorpossiblyaresultofanartifact?WhatIhavelearnedfromalltheyearsofexperimentalspacephysicsworkwithground-basedoptical instruments is thatonehas tounderstandwell how the instrumentworksbefore trusting the results andwhat these resultsmightsignify.YouarealwaysaskingyourselfcanIexplainthisasaresultofscatteredlight?Orcould itbearesultof leakagethroughthe interferencefilteroutsideof thespectralpass-band?Or,or,or,thelistgoeson.Thus,oftentimes,ittakesconsiderablecouragetopublishyour findings, especially if the correct interpretation to achieve an explanation requiresquiteabitoftheoreticalinsightthatyoumightnotbeabletoapply.WhatwelaterfoundusingtheupgradedFPIinstrumentforeachofthesethreestationsincentralAlaskawasthattheauroralthermosphereregionispopulatedbyveryactivewavedisturbances, especially so for active geomagnetic times.A figure is attached to showanexampleofsuchresultsincomparisonwiththeearlyresults.Suchwavesweretotallyun-expectedbutinretrospecttheideaofsuchwavesshouldnotbesurprising.Thelocaldepo-sition of energywithin auroral forms through auroral particle influx or through electricfieldsinteractionwiththeauroralplasmacanindeedproduceenoughenergydepositiontocauseanatmosphericresponseofadiabaticexpansionproducingupwardverticalwinds.

Verticalwinds, temperatures,andauroralintensitiesmeasuredatEagle,AK for fournights,19-22January2016.Errorbarsaretypically ±3-5 ms-1 and ±10-15 K for thevertical winds and temperatures,respectively, for a two-minute exposure.Associated with the heating event on 20Marchbetween13and15UTisaperiodofa strong upwelling of the thermosphericairwithspeedsashighas50to100ms-1.This period is associated with the peakgeomagnetic storm disturbance asdemonstrated by the increase in theplanetarymagneticindex(Kp)to5aswellas the increase seen in the AE index (alinear measure of high latitudegeomagnetic activity). Typical of suchgeomagnetic storm disturbances is a

negative deviation of the horizontal component of the Earth’s geomagnetic field, which ispresentedinthetoppanel.


Theresults fromtheapplicationofgeneral circulationmodeling forwhat seemedappro-priateinputparameterssuggestedatbestupwardwindsofjustafewms-1.Inpracticeinadditiontotheactivewavedisturbances,wewereseeingupwardverticalwindresultsaslarge as 100ms-1 for a sustained period of an hour or so. These periods of sustainedupwellingofaircoincidedwithbright630-nmauroral intensityenhancementscausedbysoftenergyparticleswithenergieslessthan1kev.Suchparticlesareallabsorbedbycolli-sionswithintheatmosphereforheightsabove200km.Theseresultsofstrongupwardver-ticalwindsrepresenttomeanexampleofdiscoveryscience,somethingtotallyunexpectedbeforehand.Thisdiscoverywouldnothavehappenedhad itnotbeen for theadvances in technologyoversome50yearsasdescribedinthisessay.Althoughperhapsnowtheinsightisnotsohardtounderstand,butforaverylongtimeamongmyaeronomycolleagues,therewasanembeddedbiasagainsttheideaofstrongverticalwindsinthethermosphereregion.Thiswaseven the caseevenwhenwehadcompositionmeasurementsobtainedbya satellitesuchastheDynamicExplorerthatflewin1981showingastrongupwellingincreaseofthemolecularcontentof theairat400km.Theonlywaythiscouldhappenwasthroughup-wardverticalwindsmovingtheO2andN2moleculesintothehigheratmosphereregions.Anotherexampleofdiscoverysciencethatcameaboutasaresultoftheenhancedsensitivi-tyoftheFPIwasthatformid-latitudelocationsadetectionforaboutone-thirdofthetimefoundanighttimedoublemaximumtemperaturestructurewithtwothermalpeaksshow-ing temperature increases asmuchas100Kabove thenominal700Kbackground.Thisstructureshowedthetwopeaksseparatedbyaboutsixhours.Incontrasttothisbehavior,atlowerlatitudessuchasthatofAreciboObservatory,thereisalmostalwaysasinglepeakatatimejustpastmidnight.Thisfeaturebecameknownasthemidnighttemperaturemax-imum.AthigherlatitudesprevioustotheuseoftheCCDcamerafortheFPIinstrumentob-servationsnosignsofthisdoublepeakstructurehavebeenseen.Thislackofanysuccess-fuldetectionwasaresultofthepoorqualityoftheFPIdataduetothesmallnumberofdatapointspernightandthemuchweakersensitivityoftheFPIinstrumentdeployedforthesemeasurements.Whyisthisstructureseenfornighttimetemperatures?IthappensthattheSun generates tidal waves as it passes over the atmosphere during the day heating thestratosphere region as a result of ozone and water vapor absorption of solar radiation.Thesewaveshavesignificantthermalamplitudesthatpropagatetothehigheraltitudesofthethermosphere.Atlowlatitudesthesewavestendtobedominatedbythesemi-diurnaltide.Athigher latitudesadditional tidalwaveharmonicscome intoplaycausing the inci-dentaloccurrenceoftwotemperaturepeaksinthenighttimetemperaturedata.

Closing Thoughts Over theyearsmyresearchhas focusedupon thewindand temperaturedynamicsofat-mosphereregionsforthoselayersabove80kmsuchasthemesosphereandlowerthermo-sphere(80to105km)orabove200kmforthethermosphere.Asthisessayhasillustrated,ithastakenadegreeofpassiononmypartmixedwithdriveanddedicationtoachieveallthis.IhadapassionforhardwareandinstrumentsfromthebeginningingraduateschoolandMITdays. IrememberhowmuchIenjoyedtheclassofanalyticalchemistry5.091 in


mysenioryear,wherewedealtwithavarietyofinstrumentsincludingthespectrophotom-eterandgaschromatograph.However,oneofthethingsIlearnedasanearlycareerscientistwasthatanyfundingpro-posal submitted to get research fundingmust focusupon the science rather than the in-strument that one might use to make the measurement of the science data. Although Imightbequitekeentowriteabouttheinstrument,especiallyonethattomymindisasele-gantastheFPI,thisinformationisnotwhatisofinteresttomyspacephysicscolleagues.IfIwanted toget theirblessings regardingmyresearchgoalsandconsequently, goodpro-posalreviews,IneededtobeconvincingandexplainclearlywhythesciencethatIdowasimportantandpotentiallytransformative.OnceIhavepresentedthesegoalsandlaidoutaresearchplan that shows a clear path toward closure, i.e., actually achieving the successimagined,onlythenisitOKtodescribetheinstrumentatalevelofdetailnecessarytocon-vincemyaudiencethatthepathtowardclosureisindeedpossibleandfeasible.

One of the highlights of visiting Fairbankswas meeting with friends. Here is aphotograph of me with Dr. Don Hampton(left), a colleague associated with theGeophysical Institute geospace group. Wewenttovisit theexhibitsof theIceSculptureFestival that is held every March to helpcelebrate theendofwinterand the firstdayofspring.I need to call attention to the many col-leagues that worked withme in achievingfirstlightofaFabry-Perotobservatoryatsomany locations that Imadereference to inthisessay.OnthislistaretheengineersandtechniciansatSPRL,inAlaska(GeophysicalInstitute) and Greenland, my mentor PaulHays who started me on this career path,

andespeciallyat thePhysicsDepartmentmachineshopatClemsonUniversity,andespe-cially,fromourclassmate,PeterSherwood.IalsohadhelpfrommanystudentsduringtheyearsthatIwasProfessoratClemson.Irememberoneundergraduatestudentwhowhenhegraduated,hespentayearworkingonaparttimebasiswithmeasaresearchassistant.IsenthimalongwithanotherstudenttohelpinstallaFPIinPerunearLima,atalocationthatbecameknownasMeriHill.He left togo tograduateschool inCanadaandbecameamedicalphysicistoperatingalinearaccelerator.InanothercaseawomanthattookmyOp-ticsclassspentthefollowingsummerworkingwithme.HerfamilylivedinNovaScotia,CA.Inspiredbyourconversationswithheraboutherhome,mywifeandItookavacationinHalifaxandwentnorthtoexplorethecountrycoastlineonthewestcoastofCapeBretonwhereherfamilylived.Weweretreatedtoanicelobsterluncheonpreparedbyhermoth-erandsister.


Because I haddonemybest alongwithmy colleagues to publish our findings combinedwithnumerouspresentationsatconferences,Ihadbecomeregardedasanexpertinaero-nomy.Ineverreallythoughtofmyselfinsuchterms.ItwasmorethatabodyofresearchresultedinnewknowledgethatIdidmybesttopublish.Ihavealwaysregardedpublica-tionasbeingadutyandobligationbecausemyworkwassupportedprimarilybygovern-mentfundingfromtheNationalScienceFoundation.Itishardtojustifycontinuedfundingifyoudonotexpendthetime,energy,andresourcestopublishyourfindingsandconclu-sions.So,thenumberofpapersincreasedfromyeartoyear,andatlastcount,thisnumberexceeded 200. A substantive sustained level of productivity, yes, but these contributionswerealsowellregarded.Still,Ididnottakemyselftobeanythingotherthananactivere-searcher.OneAugusteveningin2019IwascheckingthroughmyemailsandwasfacedwithanemailfromtheAmericanGeophysicalUnion.Whatisthis,Iaskedmyself.IreadthemessageandfoundthatIhadbeenelectedtobeamemberoftheAGU2019ClassofAGUFellows.ThisisanhonorthatisreceivedbyarathersmallfractionofAGUmemberstorecognizeresearchcontributionsthatarethoughttobeparticularlynoteworthy.Ihadnocluethatthisactivitywasgoingon.Infact,Ihadretiredfromacademicteachinginthesummerof2015,thoughIcontinuedworking at theNational Science Foundation as theGeospace Facility ProgramOfficer.Itwasanicesurprise,anditledtoaceremonialcelebrationattheAGU100thFallMeetinginDecember2019.Byastrangecoincidence,oneofmyclassmatesinthechemicalphysicsgraduateprogramattheUniv.ofMarylandalsoreceivedthishonor.Itwasquiteanexperienceforusbothtobecalledupontomarchuptothepodiumintuxedowithabowtietoreceiveaplaqueandamedal.Mycitationread:“Forfundamentalcontributionstoun-derstandingthethermalanddynamicalstructuresinEarth’supperatmosphere.”Tocomebacktothethemeofthisessay,aquestiontoaskishowmuchofmyexperiencerepresentsanexperiencethatappliesacrosstheboardtoallofus.Ididnotanticipatethetechnologicalchangesthatcameforwardthesepastfivedecades,namely,thePC,theinter-net, expansion of hard disk data storage capacity, and the condensedmatter technologythatisrepresentedbytheCCDcamerachip.Thesearemajorchangesthataffectedallofus.MyownexperienceismorethatasIbecameawareoftheseinnovationsanddevelopments,I sought to introduce them intomy research. Iwas able to timemy efforts to learn andadaptthenewtechnologytotheneedsthatIhad.Thus,learningtousethenewtechnologyprovedtonotbetoomuchtrouble.Indoingso,though,Iwasratherunawareofhowpoten-tiallyvaluabletheenhancedsensitivityoftheFPIwouldbetoachievingnewscience.Thisleadsintothequestion–canonealwaysassumethatnewtechnologytranslatesintonewsciencethatrepresentssignificantadvances?That is the faiththatweallhave,and it isaphilosophythatMITadvocatesprettymuchfromday1ofoureducation.Thereisonelastissuethoughtoberaisedinregardtodiscussionsabouttheroleoftech-nology inattacking societyproblems.Changes in technologymightnot always constituteprogress that rewards the investment made in the new technology. I am thinking hereabout tippingpoints involvingparadigmshifts.The technologydeveloped through incre-


mentalchangemightintheendnotbeworthwhilebecauseithasbeenrenderedobsoletebysomeothertechnologicalsolution.OneexamplethatparticularlycomestomindisonethatIwaswonderingaboutwhenIwasasenioratMIT.InearlyMay1964,ItookituponmyselftogoseeProf.JeromeHunsakerwhoatthetimewasthechairoftheMITAerospaceEngineeringDepartment.InmyvisitIspent a few minutes asking him about what he knew of Uncle Jack. His response wassomewhatguarded,butheindicatedthathehadhaddinnerseveraltimeswithhimandmygreatauntCary.IthenaskedhimtosatisfymycuriosityastowhetherUncleJackhadeverthoughtofdevelopingjetenginesasanalternativemeansofpropulsionforairplanes.Sucha technology was demonstrated by the Germans in the closing days of WWII. Dr. Hun-saker’sresponsewasnegative. IgottheimpressionthathethoughtUncleJack’svisioninthelate30swastoonarrowtothinkonabroaderfront.PerhapsthereasonwasthatUncleJackknewthenthattherewasstillalongwaytogotohaveajetenginethatcouldsuccess-fullybeflown.PerhapstherealreasonwasthatUncleJack’sownpassionwasfocuseduponthecontinueddevelopmentof theaircraftengine.Hecouldnotbringhimself toviewair-craftpropulsiondevelopmentinanyotherwaybeyondthehorizonofthecombustionen-gine.Thus,inregardtotechnologyissues,tomymindonehastoexercisejudgement.Toensurethatyourchancesofmakingtherightcallaregood,onehastobecontinuallyengaged instudyinghowthetwodisciplinesofengineeringandscienceintertwineandreinforceeachother.TomethiswastherealgraspoftechnologythatinformedRogers’visiontofocusup-ontechnologyastheraisond'etreforMITeducatingandtrainingthenewgenerationoftal-entedstudents.

A lifetimeofnotebooksandcollection of memorabiliaincluding my first AppleMacintoshcomputerobtainedin1987.


JohnMeriwether '64CourseV,Chemistry;PhD, chemicalphysics atUniversityofMary-landin1970.HeheldpostdoctoralpositionsattheNASAGoddardSpaceFlightCenterandattheHighAltitudeResearchLaboratory,UniversityofMichigan.HemarriedErikainAu-gust 1973, and then became a research associate at Arecibo Observatory for fouryears.After8yearsattheSpacePhysicsResearchLaboratoryattheUniversityofMichiganandfouryearsattheAirForceGeophysicsLaboratoryinBedford,MA,in1992hebecameAssociateProfessor of Physics andAstronomyat ClemsonUniversity, SouthCarolina.HewaspromotedtoProfessorandreceivedtenurein1998.Heretiredfromteachingin2015andbecameaNSFprogramofficer,GeospaceFacilities,inthesummerof2015.Hewasap-pointedDistinguishedResearchProfessor,CenterofSolarTerrestrialResearch,NewJerseyInstituteofTechnologyinthefallof2019.HewaselectedtobeanAGUFellowinDecember2019.HeandErikahaveone son,Alexander,who isnow theofficemanagerof theHar-vardBookStore.Johnisakeenenthusiastoffolkmusicsungbythesingersfromhisgener-ation, JoanBaez,JudyCollins, andPeter, Paul, andMary.He alsohas a strong interest inclassicalmusicwithparticularreferencetoBeethoven,Mozart,Shubert,Bach,andStravin-sky.

Prolonged Exposure to Super Conductivity Can Lower Your Resistance| 201

Prolonged Exposure to Super Conductivity Can Lower Your Resistance Bruce Strauss

Introduction ForFathers'Dayin2002,mydaughter,Lori,gavemeabookeditedbyMarloThomasenti-tled"TheRightWordsattheRightTime."Lookingovermyprofessionallife,Ihavefoundthatthe"RightWords"havemadeadifferenceandhavebeenturningpoints.Startingback inmyyoungchildhood, Iwas interested inplanesandmentionedtomyfa-therthatwhenIgrewup,Iwasgoingtobeapilot. Dadthoughtaboutthatforafewmo-mentsandsaid,"Idon'tthinkyouwillbeapilot;Ithinkyouwilldesignplanes."Somuchfortopgun,butthatstatementcertainlychangedhowIlookedattheworldandwhythingsworked.Asa teenager, IobtainedaHAMlicenseandenjoyedhavingshortconversationswithothersworldwide.DadwasimpressedwhenIgotacceptedtoMIT,althoughIthinkhewouldhavepreferredsomethingmoreIvyLeague.ThefirstsemesteratMITwasafrontalattackonmyego.Thiswasespeciallytrueasgoingfrom near the top of my high school class to wondering if I would flunk out. ThingschangedinthesecondsemesterwhenItookanintroductorymaterialsscienceclasstaughtbyProf.JohnWulff.Wulffwasaprofessoroftheoldschoolwholecturedinadarksuitandtie.Inoneofthefirstlectures,hewalkedinandstated,"Gentlemen.Markthisdowninyournotebooks.BellLabsjustpublishedapaperinAppliedPhysicsLettersaboutNb3Sn(Niobium

Tin)wirewoundintoasmallmagnet.Thisnewswillhaveanimpactonyourcareers."Hehadbeenworkingonsimilarmaterials.Threeyearslater,Ifoundmyselfinhisgroupdoingmyundergraduatethesisontheeffectsofstrainonthesuperconductingmagneticpropertiesofpure, electronbeamzonemeltedNiobium. Theexperiment showeda transition fromTypeIsuperconductivitytoTypeII.74ThegrouplikedtheworksomuchthatIwasinvitedtojointhemasagraduatestudent.BesidesJohnWulff,theotherProfessorinthegroupwasBobRoseinhisfirstyearsasanAssistantProfessor. Bothof themhadan interestingphilosophythatthefollowingstate-mentcouldsummarize:"StatisticallyyouprobablywillnotwintheNobelPrize.However,wewilltrainyoutobeaprofessional."Lessononecamea fewweeks later. As Iwaswalkingdownthehallinbuilding35,Ifeltafirmhandonmyelbow.Prof.Wulffsteeredmeintohisoffice,andIwonderedwhatIhadscrewedup.HesatmedowninachairandannouncedthatIhadalessononbeingaprofessional.Istartedtogetoutanotebook,andWulffsaidIwouldnotneedit.Thelessonwasonwritingrecommendations.Simply,"Writerecommen-

74 AtypeIsuperconductorkeepsoutthewholemagneticfielduntilacriticalappliedfieldHcreached.AbovethatfieldatypeIsuperconductorisnolongerinitssuperconductingstate.AtypeIIsuperconductorwillonlykeepthewholemagneticfieldoutuntilafirstcriticalfieldHc1isreached.


dationsinthesuperlativeordon'twritethematall. Youwillneverdamnsomeonebyfaint

praise."IwasthengiventheassignmenttowritearecommendationforpromotionforBobRose.Hegotthepromotion.Asmany people in technology come to understand that youwill learnmore techniquesfromseniortechniciansthanfromtheacademicstaff.Tothat,IowethankstoIrvinPufferforthistraining.Mr.Puffer'sfirstlessonwasinvacuumtechnology.IwastryingtostemaleakinavacuumjointbypaintingitoverwithGlyptalvarnish. Mr.Puffercameuptomeandsaid,"Ifyoueverwanttogetyourdegree,youwillneverdothatagain.”Hethentrainedmeinpropervacuumtechnology,askillsetthathashelpedmeovertherestofmycareer.Mr.Pufferwasoneofthosegreattechniciansthatdesignedtheexperimentalapparatusonthelatheandmillingmachine.Formythesis,Ineededtocloneavibratingsamplemagne-tometerdesignedbySiFoneroftheMITmagnetlab.IwentintoPuff'sofficelateoneafter-noonandshowedhimFoner'sarticleintheReviewofScientificInstrumentsandaskedifwecouldduplicate it. Hesaid,"tomorrowmorning." Iwonderedwhywecouldnotstart im-mediately,andhenotedthatitwasfiveminutestoquittingtime.At7:30thefollowingday,weweresharingcupsofcoffee.Puffermadealistofpurchases,andwestartedtouringlo-cal vendors and shops. The first stop was Radio Shack to purchase a 4-inch diameterspeaker thatwould serve as a sample actuator. The next stopwas a restaurant supplystore buying a bain-marie pot as a vacuum chamber. A stop at ametals shop yielded abrassplatetobeusedasavacuumflange.Whenwegotbacktothelab,Pufferchuckedthebrassplateintothelathe.Afewmomentslater,hetookouthisO-ringtool,measuredthegroove'sdiameter,andsentmeouttopurchaseanexactfitO-ring. ThenextstopwastofabricateaTefloncoilformtomakethematchedpickupcoils.Iwastakingdatathatafter-noon.Thevibratingsamplemagnetometertookallofthedataformydoctoralthesis.Mythesismeasuredtheproximityeffectinaniobium(Nb)andcopper(Cu)composite.Theniobium filaments were only several angstrom units in diameter. With such small fila-mentsand inter-filamentspacing, I couldextend thesuperconductingwave function intothecoppermatrix.TheexperimentwaspublishedintheJournalofAppliedPhysicsandthemicrographofthecompositewasthepictureonthefrontpage.

AVCO Everett Research Laboratory MyfirstjobaftergettingmydoctoratewasattheAvcoEverettResearchLaboratory.ThelaboratorydirectorwasDr.ArthurKantrowitz,whoseclaimtofamewasthe inventionoftheablativeheatshieldusedduringthereentryofvehiclesreturningfromorbitorspace.Theotherpersonofnoteat the laboratorywasDr. JohnSteckly,whohaddeveloped themethodcryogenicstabilityforsuperconductingwiresandmagnets.While high field superconductivitywas announced in 1961, the first attempts at reliablesuperconductingsolenoidmagnetswereunsuccessful.Themagnetswouldspontaneouslyreverttothenormalconductingstateorquench.Steckly'sapproachwasquitesimple.Hedidnotcareaboutthecauseofthequench.Instead,bycladdingthesuperconductorwithenoughcopper,thecompositecouldbecooledbytheliquidHeliumwithoutathermalrun-away.TherewasabalanceofI2RheatinginthewireandcoolingbytheliquidHelium.


Iwasassignedtosupervisethecoolingandoperationofthe10-foot-longsuperconductingdipolemagnetthathadbeenconstructedatthelab.UsingtechniquesthatIwastrainedtodo atMIT, I started topre-cool themagnetwith liquidnitrogen.When John Steckly sawthat,heinquiredastowhatIwasdoing.AfterIexplained,hetoldmetocountthenumberof technicians standing aroundwaiting for the cooldown and explained that theirwagesweremuchmoreexpensivethantheHeliumthatwemightlose.Thiswasmyfirstlessonincommercialeconomics.Myotherworkwasonadvancedapproachestostability.Thenewermethodsconcentratedonpreventing quenches using smaller filaments and twisting to decouple eddy currents.Ourworkgeneratedapaperinthe1968BrookhavenSummerStudy.MyseconddaughterwasborninMarch1968.AVCOEverettlostalloftheirsuperconduc-torrelatedgrantsshortlyafterandhadalargelayoff.SevenmonthsaftergraduatingIwaswithoutajob.AroundofinterviewsresultedinanofferfromtheArgonneNationalLabora-toryinLemont,IllinoisandasubsequentmovetotheMidwest.

Argonne National Laboratory I startedatArgonne the firstweekof July1968afterdriving fromNew Jersey. The firstitemofbusinessaftersigninginwasaphysicalexam.ItwasoneoftheshortestphysicalsthatIeverhad.ThedoctorputastethoscopeonmychestandsaidthatIwasfitforserviceexcept forone thing. He stated that Ihada chronic caseofCharlesRiverFever. Heex-plained thathe couldn't figureoutwhy Iwas sittingon an exam table very far from thesmellingdistanceoftheCharles.Hewasoneofthegreatdiagnosticians.Theconstructionoftheverylarge,12-footdiameter,superconductingsolenoidfortheAr-gonnebubblechamberwasjustfinished.Asthenewkidontheblock,Iwasassignedasthechiefoperatorforitsfirstrun.ThedatawasstrangeuntilwerealizedthatthetopcoilwasoperatingingaseousHelium.Becausesuperconductingmagnetsinrampedmagneticfieldsdoshoweddycurrentlosses,Argonneproposedtobuildafixedfieldalternatinggradient(FFAG)accelerator.BeingnewtothistechnologyIwastoldthatthemagneticfieldshadtobeperfect.Alittlebitofengi-neering design indicated that due tomechanical constraints this would be very hard. IwenttospeakwithBobLariwhowasinchargeofmeasuringthemagnetfieldsoftheaccel-eratordipoleandquadrupolemagnets.Iaskedifhehadevermeasuredaperfectmagnet.Helaughed,pointedtomyglasses,andstatedthatthegoodLorddidn'tmakeperfectlenseseither.Thiswasagreatlessoninengineeringdesign.Makeitcloseenoughandlearnhowtocorrectit.I stayedatArgonneNationalLaboratory forayearandmoved towhatwas then theNa-tionalAcceleratorLaboratory(NAL)inBatavia,Illinois.

The National Accelerator Laboratory NALwasaboutayearoldandconstructionhasbegunonthefour-milecircumferencemainringalongwithprojectsfortheinjectorstring.ThisinjectorstringconsistedofaCockroft


Waltonpre-accelerator,alinearaccelerator,aboosterring,andthemainring.Myfirstas-signment atNALwaswith the experimental facilities group. Themajor superconductingprojectwasforthe15-footdiameterhydrogenbubblechamber.Superconductingmagnetswerenotconsideredforthemainringduetotheimmaturityofthetechnology,awisedeci-sion.Atsomepoint,everyoneinthelabwasassignedtothemainringgroupinafrontalefforttofinishconstructiononschedule.Iwasabletosolveasignificantproblem.Thequadrupoleorfocusingmagnetsdevelopedavacuumleakinthestainless-steelbeamtubeaboutthreemonthsafter theywere installed.The causeof the leak is an interesting story.Themainringtunnelwassited20-feetbelowtheprairiesurface.Constructionwascutandfill,andpre-castconcretetunnelsectionswerethenloweredontoaconcretebaseandcoveredwithearthsothatthevertical loadingwasnodifferent frompre-construction.Theearthbermwasanexcellentthermalinsulator,andtheinteriortemperatureofthetunnelwaswellbe-low the dewpoint the following summer. In effect, a four-mile circular grottowas con-structedwithhighhumidity andwater condensing anddrippingon themagnets as theywere installed. Thequadrupoles' challengewasabrazed joint for thewatercoolingwaslocateddirectlyoverthevacuumbeamtube.Unfortunately,thetechnicianswhobrazedthejointusedastainless-steelfluxthathadaveryhighhalidecontent.Thedrippingwaterdis-solvedtheflux,anditdrippedontothebeamtube.Aquicklookatoneofmyoldcorrosiontextbooksyieldedthefactthathalideionspitthroughstainlessattherateof0.001inchesperday.Theleaksonthe.090thickbeamtubeswererightontime.

Theworkablesolutiontotheissuewastocleanthesurfacemechanicallyandspraythear-eawithclearKrylonlacquer.Crude,buttheacceleratorworkedforover30yearsuntilthemachinewasdismantled.

Russian Internal H2 Gas Jet Target AftertheMainRingwasinoperation,oneofmyassignmentswastoparticipateinthe"In-ternalTargetExperiment."ThetargetwasaRussian-designedhydrogengasjetinternaltotheringthatfeaturedaliquidheliumcryogenicallycooledpump.TheRussianssentateamofaboutsixphysicistsovertoruntheexperiment.IwasoneoftheliaisonphysicistsontheAmericanside.Mycolleagueon theother sidewasYuriPilipenko, theRussiancryogenicexpert.My ex-wife and I picked them up at O'Hare airport. Yuri was primarily quiet until wereachedatollbooth.AfterIpaidthetoll,heremarkedthattheyheardaboutcapitalism,butthesetollswerebeyondcomprehension.We,ontheAmericanside,wouldsoonbeparticipantsinmeshingtwocultures.Backinourlab,everyonegathered tounpack theseveral cratesofequipment thatourSoviet friendshadshipped.Oneofmytechnicianssmelledastrongscentoffishduringthisexercise. Itwasfoundtobesmokedfish. HeaskedoneoftheRussianshowtheygot it throughcus-toms. The Russian pointed to some Cyrillic on the crate, and the tech askedwhat thatmeant.TheRussiansaidthatthewordwaselectronicsandthenheldupthefishandasked,"don'tyourecognizeelectronicswhenyouseeit?"


ThelaboratoryfurnishedourRussianvisitorswithratherlargeapartmentsonsite.Afewweeksaftertheirarrival,Iwasinvitedforlunch.PilipenkoaskedmewhytherefrigeratorhadsuchalargeicecubecompartmentwhenIenteredtheflat.Isaidthatitwasforfrozenfood, and he responded that frozen food did not exist in Russia. He concluded that theAmericanrefrigeratorswereacapitalistwaste.Withinafewweeks,hechangedhismind.Onmynextvisit,heopenedthefreezersectionandstated,"24halflitersofvodkacoldonetime."InotethattheycouldgetStoliat50centsabottlefromthePXattheRussianembas-sy.

Ialsolearnednottogetinatoastingcontestwithvodka.Wehadanotherculture incidentwhen theprojectneededsomemachineshopworkandthelabshopwasoverloaded.Thelabhadanumberofsmallshopsonaretaineranditwasusuallyfasterandlessexpensivetousetheseresources.Pilipenkoreactedbadlyandsaidthatitwouldcostmoreduetothemanagementoverhead.Oncetheworkorderwaslet,Itookhimtotheshop.Themachinistwasworkingonalargehorizontalmillingmachine.Ishouted,"Floyd,shutoffthemachineIwantyoutomeetacolleague."Floyddidstopthema-chineandIintroducedhimtoPilipenkoastheVicePresidentofthefirm. Ithenshouted,"Gladys,pleasecomeoutoftheoffice."Shecameoutof theofficeandI turnedtoYuriandintroducedherasthefirm'spresident.Somuchforsmallbusinesscapitalism.

The TEVATRON Theaccelerator complexwas finishedaheadof scheduleandunderbudget.Managementwassoonproposinganupgradetodoubletheparticleenergyto100GeV,makingonefootlongandthreefeetlongprototypesuperconductingmagnetsrampedup.DaveSutterandIwere the first twophysicistsassigned to theproject,andwe tested three to fiveof theseprototypesaweek.Iwasassignedtheresponsibilityofobtainingproductionquantitiesofthecopperstabilizedmulti-filamentsuperconductingwire.Atthestartoftheproject,twocompanieswerefab-ricating the niobium-titanium (NbTi) alloy rods, three small companies assembling thecompositebillets,andtherewasamaturecopperindustry.Wedecidedonastandardizedcross-sectionforthestrands.Giventhesmallsizeofthebilletassemblersandtogainsometimeontheproductionschedule,thelaboratorydecidedtoordertheNbTirodsandsupplythemtoourvendors.Wealsoorderedthecopperextrusioncansandhexofroundidcop-pertubestocladtheNbTirods.Atthispointinmycareer,Iwasfortunateenoughtobementoredbyseveralpeople.Aftercompleting the specification packages. AndyMravca, then in the DOE Site Office at Fer-milab,calledmeandaskedmetocometohisofficeforcoffee.Wewentthroughthespeci-fications lineby line,whereheasked thequestion: "Doyouneed itordoyouwant it?" Iwonderedwhat the difference between the twowas, andMravca answered, "Iwillmoveheavenandearthtogetyouwhatyouneedandfightyoutomydyingbreathtomakesureyou

getnothingofwhatyouwant."Wewouldupwithamuchcrisperspecification.


EdWest,headofFermilabcontracts,and Ihadanothermeeting. Heaskedme, "Howdoyouwanttomanagethisprocurement?"HewentontosaythatheusedtobeabuyerforStudebakerautomotive,andinhisdesk,therewasapreprintedandunsignedresignationletter. Theletterwastobeusedifanypartheorderedhelduptheproductionlineby30seconds. Thiswas an excellent calibration for parts in a production line. Theproductionwashelduponcefor15minutesbecauseof latedeliveryofcableduetoatraffic jambe-tweenO'HareAirportandFermilab.PaulReardontotallyunderstoodthedifferencebetweensmallprocurementsduringearlydevelopmentandtotalproduction.IwasinBostonperformingshortsampletestonearlysuperconductorwiresat theBitterNationalMagnetLaboratoryatMIT.Late in theafter-noon,IreceivedaphonecallfromReardoninstructingmetomeethiminPortland.Good,IsaidIwoulddriveup.HerespondedthathemeantPortland,OregonandthataticketwaswaitingformeatLoganAirport.WemetatthePortlandAirportanddrovetoAlbany,Ore-gon,WahChang'ssite,whichmaderefractoryalloys.Themorningwasspentwithaplant tourcovering themanufacturingprocesses forNbTialloys.Afterlunch,wegotdowntobusiness.ReardonaskedtheWahChangrepthesizeoftheirmanufacturingbilletorlot.Thevaluewasabout500pounds.Reardonthenlookedatthe Wah Chang sales manager and said, "We'll take four. Have the cost proposal onStrauss'sdeskintwodays."SuchwasthenegotiationforwhatwasthenthesinglelargestpurchaseofNbTialloy.ThealloycompositionwasNb46.5Tithathappenedtobetheaver-agenumericalcompositionofalloysusedbytheexistingdomesticcompositewireproduc-ers. The laboratorywantedtosavetime in theproductionprocessbysupplyingtherawmaterialstothecompositewiremanufacturers.OnthewaybacktoPortlandairport,ReardontoldmetocallJohnBuckleyofPhelpsDodgeassoonaswereturnedtothelaboratory.IaskedwhoJohnBuckleywas,andReardonre-pliedthathewasthebestdamncoppersalesmanintheUSA.Severaldayslater,Ihador-deredaboxcarfullofCDA-101copper.Thiswastobethemostsignificantandpurestbulkcopperloadatthattime.Touse theNbTi and copper, some intermediate fabricationneeded to beprocessed intointermediate shapes for assembly andmanufacturing. The NbTi rodswere shaped into0.125rodsbyWahChangandthecopperwasshapedintohexodandroundidtubes.Thecopperwasalsomadeinto12-inchodextrusioncylindersbyJanneyCylinderCompanyinPhiladelphia.TheNbTirodswereinsertedintothehexcoppertubes,and2400ofthecom-positetubeswereplacedinahoneycombpatternintheextrusioncans.Assembly and subsequentprocessing to0.028-inchdiameter strandswere accomplishedby IntermagneticsGeneral andMagnetic Corporation ofAmerica. The strandswere thenformed into a Rutherford cable by New England Electric Wire (NEEW) in Lisbon, NewHampshire.NEEWalso insulated thecablewithaKapton tapeandabarberpoleb-stageepoxytape.


ThereisacutestoryregardingNEEW.Theb-stageepoxytapeneededtobekeptunderre-frigerationtokeeptheb-stagetapefromcuring.IcalledtheNEEWVPofproduction,BobMeserve,andaskedhimtobuyawalk-inrefrigeratortostoretheepoxytape.I,ofcourse,wasgoingtocoverthebill.Herepliedhewasn'tgoingtodoit.IknewthathuntingseasonwasstartinginNewHampshirethenextweekandaskedhimwherehewouldstorehiskill.Heimmediatelyrepliedthattherefrigeratorwouldbeinstalledwithinaweek.Theresultingparticleacceleratoroperatedformorethanthirtyyears.Itwonmanyhistoryoftechnologyawards.IwasproudtobethemasterofceremoniesfortheIEEEHistoryofTechnologyaward'sdedication.Apictureofmegivingtheintroductiontotheplaquededi-cationandtheplaqueisshownbelow.


IleftFermilabin1978aftermydivorceandworkedforMagneticCorporationofAmerica(MCA),asmallfabricatorofmagnetsandsuperconductorstranduntil1985.WhenIarrivedatMCA, itwasfundedbyventurecapitalistsonaprojectthatwastoextractenergyfromtheexhaustofpowerplantstosuckpowerwithanMHDchannel.Afterdeterminingthatitwouldtake10to12yearstogetthepermittinginCaliforniaforthedemoplant,thepro-posaldied.MCAwas eventually acquiredby Johnson& Johnson,whichwanted to enter themedicalcapitalequipmentbusiness.WemadeoneofthefirstprototypesuperconductingMRIso-lenoidmagnets.Thedemonstrationwas successful at theClevelandClinic except foronechallenge.ThepatientwasobeseandunfortunatelygotanattackofclaustrophobiaduringtheFDAdemonstration. It tooka very long time to extract thepatient from themagnettube.AftermytenureatMCA,IspentseveralyearsinmanagementconsultingwithBobPowers.Themajority of ourworkwas independent cost estimates for large high energy physicsconstructionprojects.Ourlargestprojectwasthetechnicalcomponents,suchassupercon-ductingmagnets,fortheSuperconductingSuperCollider(SSC)constructedinWaxahachie,Texas.Ourcostestimatewasmuchmorenearlycorrectthantheprojectestimate.Ouras-sessmentwasmore than40%higher than theproject. Thisdifferencewasdue tomanyfactorsdiscussedbelow.TheSSC'smostextensivelinecostitemwastheensembleofsuperconductingdipolesandquadrupolesforthemainringacceleratorandthebooster.Theprojectteammadeseveralerroneousassumptionsinestimation.First,theprojectrulesweretousecurrentcosts.TheprojectusedaprojectedcostfortheNbTialloy,whichwaslowerthanthecurrentmarketandbrokeitsowncostingrules.Theseconderrorwasintheproject'suseofthelearningcurvetofabricatethemagnets.Theprojectusedalearningcurveconstantof20%.PowersandI foundthattheproductionofmagnetsfortheHERAproject inGermanywas8%foreachofthethreemagnet fabricators.(NotethatToyota,anotedmanufacturingcompany,hasan8%learningcurve.) Secondly, theprojectapplied this learningcurve toallof thematerialswhenitshouldonlyhavebeenappliedtothetouchlabor.SSCmanagement tried to fit their budget to aminor total to get congressional approval.This action and other factors caused the SSC to be eventually canceledwhen the actualcostswererealized!Asignificantotherfactorwasthemagnets'industrializationthatfailedformanyreasons,includingtechnologytransferfailurefromtheHighEnergyPhysicslabs.After the SSC, I ran a small consulting company doing tax planning as well as programplanning.In1997DaveSuttersaidthattherewasanopeningattheUSDepartmentofEnergy(DOE)foraprogrammanagerwithabackgroundinsuperconductivity.IjoinedinMayof1997onanIntergovernmentalPersonnelAssignment(IPA) fora two-yearassignment inGerman-town,Maryland. Thisassignmentwas laterextendedby twoyears,afterwhich Iwasof-feredapermanentposition.IstayedatDOEfor21yearstotal.


ThereareseveralachievementsatDOEofwhichIamproud.DaveSutterandIinitiatedadevelopmentprojecttoobtainfinefilamentNb3Sn.Thiscompositesuperconductorconfig-uration was needed, especially for particle accelerator magnets to minimize electricalrampinglosses.Theadvanceddesignwassuccessfulandisthebasisforacceleratormag-netsandmagnetsforhighfieldNMRspectrometers.TheconductorisalsothebasisfortheconductorusedfortheITERtokamakfusiontoroids.CERNalsoaskedmetochairtheprocurementreviewteamforthesuperconductingquad-rupoleanddipolemagnetsfortheLargeHadronColliderontheFrench/SwissbordernearGeneva.Asaresultofmycommittee'swork,CERNarrangedforon-siteinspectorsateachofthefourindustrialfabricatorsofthemagnets.ThisactionresultedfrommystatementtoProf.Miannithatvendorslie.Asituationthathewasnotawareof.Oftheover1000mag-netsneededfortheLHCringonlythreewererejectedforqualityreasons.IhadanexcitingexperienceatDOEworkingwithProf.SamTingofMIT. Hehastheonlyhigh energy physics experiment on the International Space Station. All physics experi-mentshaveabigmagnetaroundthedetectortoenablethephysiciststomeasuretheparti-cles' energy andmasspassing through thedetector.Ting's firstmagnetwas a supercon-ductingsolenoidchosentoprovidethehighestsensitivity.SinceIwasthemagnetexpertatDOE, I was assigned to oversee thismagnet's procurement. During one of my visits toCERN,mywifeSuzannewaswithme,andIwastomeetTingonaSaturdaymorningtowit-nesshismagnet'scryogenictesting.Tingpickedmeupatourhotelinthemorningandin-sisted thatSuzannecomewithus tohis lab. While Iwascrawlingunder themagnet,hetookSuzanneasideandgaveheralectureonhisexperiment.Whilewewereleaving,Su-zannelookedatmeandremarkedthatheexplainedphysicsmuchbetterthanIdid.Unfor-tunately, themagnet's cryogenic designwas faulty, and itwas replaced by a permanentmagnetsetup.A fringe benefit of this activity is that both Suzanne and I got twopersonal tours of theKennedySpaceFlightCenter.Theseactivitiesincludedaguidedtourofoneoftheshuttlesonthelaunchpad.Westartedatthenoseconeandspiraleddowntothebase.TheShuttleisanimposingdevice!SuzanneandIwereinvitedtotheShuttlelaunchthatcarriedTing'sexperimenttotheISS.Itwasanincredibleexperience!FlyingbacktoWashington,wesatnexttotheNASAdirec-toroflaunches,whowashappywithTingandDOE,andwewereinvitedtothenextlaunch.SincethiswasthelastShuttlelaunch,IaskedifIcouldbringmygrandchildren.WewoundupwithfiveoftheeightofthematthenextlaunchIhadanexcitingexperienceon the committee thatwrote the specifications for the ITERtokamakspecifications.Thisprocurementwasinterestingastheprojectreceivedcontribu-tions inkind fromseveralcountries. Theprojectcouldnotworkwith the fabricatorsdi-rectlybuthadacommercialrelationshipwithseveral"domesticagencies."Weinsistedonan in-process quality control system that calibrated short sampleperformancemeasure-


mentsoverallofthesuppliers.Thisproject,intotal,wastheworld'slargestprocurementofNb3Snstrand.

Epilogue Superconductivity,with its near zero resistance to the flowof current, is inducedby ex-tremelycoldtemperatures.Progressinsuperconductivityhasenabledtheconstructionofeverlargeraccelerators.WhenIwasanundergraduateatMIT,highfieldsuperconductivitywasannouncedin1961,andthefirstattemptsatreliablesuperconductingsolenoidmag-nets were unsuccessful. Opened in 2008, CERN’s Large Hadron Collider on theFrench/SwissbordernearGeneva is theworld’s largestandhighesthigh-energyparticlecolliderintheworld,andusesmanysuperconductingquadrupoleanddipolemagnets.Fornearlyfiftyyears,Ihavebeenontheorganizingcommitteeforsignificantconferencesinthefieldofsuperconductivity.Thisactivityhasresultedinconsiderabletraveltomeet-ingsintheUS,Europe,andAsia.Ihavealsobecomeanexpertonthelogisticsofproviding1,500 attendees coffee in 20minutes. Best of all, I have gathered friends and colleaguesfromaroundtheglobe.So, Prof.Wulffwas prophetic. Superconductivity has shapedmy professional career andhasloweredmyresistance.BruceStrauss’64Course3,Metallurgy;‘67PhD.,‘72MBAUniversityofChicago,hasspenthiscareerworkingwithmagnetsasascientistandprojectadministrator.

The Changing Face of Atmospheric Sciences| 211

The Changing Face of Atmospheric Sciences Marvin A. Geller

My Entry to the Atmospheric Sciences in 1964 Personal circumstances led me to a career in the atmospheric sciences. As I prepared to graduate from MIT in the spring of 1964 with a BS in Applied Mathematics, my mother lay dying of can-cer in a Boston hospital (my father had died the summer after my freshman year) disrupting my plans to study partial differential equations for my PhD in the Applied Mathematics Department at the University of Colorado. I had accepted a teaching assistantship, but not knowing how much time my mother had left, I wanted to remain in the Boston/Cambridge area (she did pass away that summer). I sought the advice of Professor C. C. Lin, an eminent MIT professor from whom I had taken courses. He recommended I see a colleague who “was a pretty good applied mathematician and seemed to have made quite a name for himself in the field of meteorology,” Professor Jule Charney. Unknown to me, Professor Charney was regarded as the top meteorolo-gist in the world at that time. He and John von Neumann led the group at Princeton University that produced the world’s first numerical weather forecasts. Amazingly, Professor Charney ar-ranged for me to be accepted as a graduate student in MIT’s Department of Meteorology. Not knowing much at all about the field of meteorology, I was quite unaware what a remarkable de-partment in which I was enrolling. That department included not only Jule Charney, but also Ed Lorenz, who originated chaos theory (more about that later), Henry Stommel, the first to explain the physics behind the Gulf Stream, Victor Starr, who became my PhD advisor, and several other eminent meteorologists. The world was very different in 1964. I still remember my first classes in synoptic meteorology (weather analysis) with Professor Fred Sanders. Part of this course was learning how to read sta-tion meteorology reports on the teletype (remember them?). I was shocked to see reports on the winds and temperatures at flight levels over Moscow and Beijing, handy information for those considering an air attack on those cities. That experience introduced me to the global nature of the field where there was good international cooperation among countries that were not so coop-erative in other ways. For those who are unaware, one of the earliest moves of the United Na-tions was the establishment of the World Meteorological Organization for free and open ex-change of meteorological data (a fact that surprises some US politicians, even now). Little did I know at that time how much I would come to value the global nature of my field of study. Dur-ing the decades that followed, I developed many precious friendships with atmospheric science colleagues all over the world, and I still have close relationships with many of them. When I started graduate study in meteorology, the field consisted largely of large-scale fluid dy-namics, radiative transfer, cloud physics, and some upper atmosphere physics. Also, the relative-ly new field of numerical weather prediction (the first numerical weather forecasts were made in 1950) was considered to be deterministic; that is to say, starting from an observed initial condi-tion, the governing equations could be integrated forward in time to forecast the future state. This has all changed greatly during my career in that the probabilistic nature of numerical weather prediction is better appreciated.


Changes in the Field in the Following Decade Lorenz (1963) illustrated that a relatively simple system of nonlinear, differential equations showed non-predictive behavior in that solutions from initial conditions that differed very slight-ly, when integrated forward in time, departed greatly from one another so that one could no longer tell they started from very similar initial states. Interestingly, in1961Lorenzhadhisfirst experiencewith a chaotic systemwhen hewas simulatingweather patternswith amodelwithtwelvevariables.Hewasrepeatingasimulation,andtosavetimehestartedthesimulation midway through a previous simulation. To his surprise, the simulation gavecompletelydifferentresults.Hetracedthecauseforthistothefactthatthecomputersimu-lationused6-digitprecision,butthesimulationhestartedmidwayusedthe3-digitpreci-sionfromhisprintout.

Left-ProfessorEdwardLorenzexamininghis1961computerintegration.Right-Animageofhisoriginal1961integrationshowingthedepartureofthesolutioncausedbyusinga3-digitroundedinitialconditionratherthanthe6-digitaccuracyoftheoriginalcomputersimulation.TakenfromMotterandCampbell(2013). In 1975, the mathematician James A. Yorke named the theory for this type of behavior “chaos theory.” Given the impact of chaos theory in many fields, it is interesting to note that the Lorenz (1963) paper that started it all was cited only three times outside of the meteorological communi-ty in the decade following its publication, but it has now been cited more than 23,000 times! Now, we greatly appreciate the probabilistic nature of numerical weather prediction. More plen-tiful meteorological observations have better quality than in the 1960s, but are not perfect. Fur-thermore, given the nature of numerical weather prediction, point observations characterize larg-er regions of the numerical model, thus imperfectly representing that model region. Also, the somewhat uncertain physical formulations in the model leave us with an initial condition that might be characterized as a region in probability space centered on our best guess, a somewhat


uncertain model, and chaos theory, which ultimately leads to uncertainty in the predicted out-come.75 All of this is reasonably understood, and formalisms have been developed in which nu-merical weather prediction models not only predict the most likely outcome but also the level of uncertainty of the prediction. This has ramifications ranging for those planning the family picnic to those arranging industrial transportation schedules. The increasing importance of meteorological satellites created another big change in the field of meteorology. One event that shaped the evolution of science was the launch of the Sputnik satel-lite in 1957. This, and the Cold War, led to increased US science funding from which I have benefitted in many ways, including graduate support from NASA, National Defense Education loans, and federal funding for my research over my career. The Sputnik launch was followed shortly thereafter by the launch of TIROS-1 (Television Infrared Observation Satellite) in 1960, the first meteorological satellite. Before that time, there were few meteorological observations over the ocean and in the Southern Hemisphere. Over the next several decades, the number and sophistication of meteorological satellites have evolved tremendously. I have been involved in three atmospheric science satellite missions. One was UARS (the Upper Atmosphere Research Satellite), launched in 1991. This satellite mission was motivated by concern about stratospheric ozone (more about that later). Another was TOMS (Total Ozone Mapping Spectrometer). While I was Chief of NASA Goddard Space Flight Center’s Laboratory for Atmospheres during the period 1985-1989, that laboratory was the scientific home for the TOMS instrument. Finally, during my period of being Laboratory Chief, the TRMM (Tropical Rainfall Measurement Mis-sion) was conceived as a joint US-Japan satellite mission, and I was very much involved in pre-liminary studies and concepts for that mission, which was launched in 1997, and operated for over seventeen years. Rainfall, perhaps the most obvious meteorological phenomenon, is also one of the most difficult to measure globally because of its sporadic nature in both time and space, and the fact that much of the global rainfall occurs over the oceans. Characterization of global rainfall is very important because the condensation of water in the atmosphere, leading to rainfall, releases great amounts of energy into the atmosphere and serves as an energy source for hurricanes. Atmospheric observations by satellite have both improved weather prediction and led to a much-improved understanding of atmospheric processes. Atmospheric chemistry has been around for a long time, but it wasn’t considered a mainstream subject when I was in graduate school. In fact, no atmospheric chemistry course was offered at MIT at that time. This fundamentally changed when air pollution became a major societal con-cern. Perhaps though, the biggest revolution in atmospheric chemistry came about as a result of the classic paper of Molina and Rowland (1974). This paper suggested that chlorofluorocarbons (widely used for many applications), while having an extremely long lifetime in the troposphere, were dissociated in the stratosphere, thereby catalytically destroying stratospheric ozone. Ulti-mately, this plus discovery of the Antarctic Ozone Hole by Farman et al. (1985) led to the adop-tion of the Montreal Protocol in 1987. One can easily see how the depth of the Antarctic

75 Perhaps,themostfamiliarmanifestationofthisisthehurricanetrackforecastsweseeontelevision.Clear-ly,ahurricanetrackforecastinwhichallthetracksaretightlyclusteredismorecertainthanoneinwhichthereisgreatdispersalinthetracks.


OzoneHoleincreasedbycomparingitin1979toitin1987,theyearoftheadoptionoftheMontrealProtocol.

Images of total ozone over the Southern Hemisphere for the months of October 1979 andOctober 1987. Maps show column ozone amounts in Dobson Units, which are units for thedepthoftheozonelayerinunitsof10mmiftheozonewerebroughttostandardtemperatureandpressure.ImagesfromNASAwebsite. This protocol, and subsequent amendments to it, led to discontinuation of production of chloro-fluorocarbons and other ozone-destroying chemicals. The 1995 Nobel Prize in Chemistry was awarded to Drs. Paul J. Crutzen, Mario J. Molina, and F. Sherwood Rowland for "for their work in atmospheric chemistry, particularly concerning the formation and decomposition of ozone." I would guess that almost every atmospheric science department in the world now offers courses in atmospheric chemistry. These developments had a great impact on my career. In the late 1970s, while on the faculty of the University of Illinois at Urbana-Champaign, I was invited to be a member of a NASA Goddard Space Flight Center committee to investigate the need for a satellite to study stratospheric ozone. Later, this was transformed into a NASA committee to formulate the science plans for such a satellite. While on the faculty of the University of Miami, I was selected to be a Principal Investigator on the UARS satellite mission. I left the University of Miami in 1980 to work at NASA’s Goddard Space Flight Center heading a group to develop global models of atmospheric dynamics and chemistry. The launch of UARS was delayed until 1991 due to a halt in NASA shuttle operations resulting from the Challenger catastrophic launch disaster in 1986. I left NASA’s Goddard Space Flight Center for Stony Brook University in 1989, so my research and that of my students using UARS data took place there. Planning for the UARS mission and research using UARS data were highlights of my career.


Some of My Contributions While working at the Goddard Space Flight Center, I was privileged to take part in building the international consensus to adopt the Montreal Protocol. I, along with Bob Watson and others, visited the Soviet Union, Japan, and Kenya to explain the findings that resulted from the WMO/UNEP (World Meteorological Organization/United Nations Environmental Program) As-sessment Report on Atmospheric Ozone to scientists from those and other nations. This helped set the stage for the Montreal Protocol, which was finalized in 1987. Velders et al. (2007) have indicated that the Montreal Protocol resulted in decreases in the radiative forcing of the climate system that was larger than would have been achieved by the reduction targets of the first com-mitment period of the Kyoto Protocol. Concerns about the greenhouse warming of the Earth’s climate began with the early warnings of Arrhenious (1896). In 1979, Jule Charney chaired an ad hoc study group of the National Research Council, which wrote the report on “Carbon Dioxide and Climate: A Scientific Assessment.” Their conclusions (NAS 1979) were that a doubling of the concentrations of carbon dioxide would result in “a global surface warming of about 3 °C, with greater increases at high latitudes,” a result that is broadly consistent with today’s estimates using more sophisticated climate models, as well as with observed changes. Since that time, there have been various international efforts to arrest this anticipated climate warming and its deleterious effects, and taking effective international actions to do so remains one of the world’s greatest challenges. Going back in time to my years in graduate school at MIT. In 1968, I was finishing my PhD dis-sertation, and was looking for an academic position. One of the offers I received was from the University of Illinois at Urbana-Champaign’s (UIUC’s) Electrical Engineering department. This was a bit odd, since the only courses I had ever taken in Electrical Engineering at MIT were on computer programming. The position involved research in the UIUC Aeronomy Laboratory, which studied the earth’s ionosphere. At that time, it was well appreciated that understanding ionospheric structure involved ion chemistry, but the importance of atmospheric dynamics was just beginning, and I was to be the atmospheric dynamicist in that laboratory. I was uncertain whether I should undertake such a research path, so I consulted with Professor Norman Phillips in MIT’s Meteorology Department on the wisdom of taking that position.

Marvin Geller lecturing at the blackboard in 1976 at theUniversity of Illinois at Urbana-Champaign. Image taken fromwebsiteonthehistoryoftheAtmosphericSciencesdepartmentattheUniversityofIllinoisatUrbana-Champaign. I remember well him saying to me that there was a long history of ionospheric measurements, and there must be valuable infor-mation on atmospheric dynamics in those measurements. Those measurements started with the work of Sir Edward Appleton, who won the 1947 Nobel Prize in Physics "for his investigations of the physics of the upper atmosphere especially for the discovery of

the so-called Appleton layer," Furthermore, I was aware that the UIUC was establishing a pro-gram in the atmospheric sciences. It was at the Aeronomy Laboratory where I became increas-ingly familiar with radar measurements of the ionosphere. A very interesting development oc-curred while I was at the UIUC. The Jicamarca Radar Observatory in Peru was built in the early 1960s for incoherent scatter measurements of the ionosphere, in which a powerful radar signal


scatters off of the free electrons in the ionospheric plasma, allowing measurement of such pa-rameters as electron and ion temperatures and velocities as well as number densities of electrons and ions.

Image of Jicamarca Radar, located outside of Lima, Peru. Its antenna has approximatedimensions of 300m x 300 m, and is composed of 18,432 half wavelength dipoles. Itstransmitteroperatesatafrequencyof49.9MHzwith1.5MWpeakpower.ImagetakenfromWikipedia. Woodman and Guillen (1974) showed the first measurements of neutral winds in the stratosphere and mesosphere using Jicamarca data. Since that time, a number of powerful MST (Mesosphere-Stratosphere-Troposphere) radars have been built in the tropics, at midlatitudes, in the Arctic, and in the Antarctic. Less powerful radars allow wind measurements in the troposphere and stratosphere, and are known as ST (Stratosphere-Troposphere) radars, and such ST radars have been deployed around the world to give operational wind measurements. Interestingly and per-sonally, while at the UIUC, I received a National Science Foundation grant to establish a meteor winds radar using the facility that Bowles (1958) used to obtain the first incoherent scatter radar measurements. Meteor radar measurements had been used since the 1950s to study winds at alti-tudes around 95 km by examining the Doppler shift of the radar returns from the ionized trail produced by meteoroids burning up as they enter the Earth’s atmosphere. I have done research on subjects ranging from ionospheric dynamics to subsurface soilmoisture, but thebulkofmyworkhasbeen related to atmosphericwaves.Thesewaveshavemanymanifestations,ranging fromtheundulations in large-scaleatmosphericpres-


surepatternstosmall-scaleatmosphericoscillationsthatareforcedbyconvectivecloudsandflowovermountains.Evidenceof thesesmall-scalewavescanoftenbeseen incloudpatterns.

Wavepatternincloudsasamanifestationofatmosphericgravitywaves.Picture takenbymywife,LyndaGeller,nearourFloridahome. The large-scale undulations in atmospheric pressure patterns are called planetary waves, and changes in their configuration are accom-panied by changes in regional weather. Plane-tary wave propagation into the upper atmos-phere has very important effects, and Jule Charney did fundamental research into this propagation. The gravitational attraction from

the Sun and Moon and the Sun’s heating of the atmosphere give rise to global-scale pressure and temperature oscillations, with periods associated with the Earth’s rotation periods with respect to the Sun and Moon, that are called atmospheric tides. In fact, my PhD dissertation was on the lu-nar tide in the atmosphere. Smaller-scale atmospheric oscillations are called gravity waves, not to be confused with the gravitational waves that were predicted by Albert Einstein on the basis of his general theory of relativity. Atmospheric gravity waves exist by virtue of the atmosphere’s stable stratification. If we consider an air parcel as analogous to a balloon, which is stably locat-ed at an altitude, and this air parcel is displaced vertically, it oscillates vertically about its equi-librium position in a stably stratified atmosphere. Atmospheric waves are important, not just be-cause of their disturbances, but because waves can transport energy and momentum considerable distances without accompanying mass transports. Hines’ (1960) classic paper showed that many atmospheric features were manifestations of atmospheric gravity waves and also illustrated many of the physical properties of these gravity waves. One fascinating atmospheric phenomenon that was discovered in the early 1960s was the discovery of the Quasi-Biennial Oscillation (QBO) by Ebdon (1960) and Reed et al. (1961). The QBO is a quasi-periodic fluctuation in tropical strato-spheric zonal winds with a variable period that is about 28 months, on the average. The first the-oretical explanation of its cause was given in the latter part of that decade, and relied upon tropi-cal wave influences on the stratospheric zonal winds. I benefitted greatly from the great advances in the study of atmospheric waves. In fact, I have paid homage to my benefitting from those ad-vances by giving occasional talks on “The 1960s, A Decade of Sex, Drugs, Rock and Roll, and … Advances in Middle Atmosphere Research.” Present day climate models used to assess such issues as what the climate consequences might be of various societal actions, or inactions, have evolved from atmospheric general circulation mod-els. The first global, atmospheric model was constructed by Philips (1956). His idealized model used a simplified set of atmospheric equations and an idealized geometry. In the 1960s, more complex general circulation models were developed that used more complete atmospheric equa-tions. Those models considered the different heat capacities of land and ocean, but few of the many complexities of the climate system were included in those early models. Present day cli-mate models are much more sophisticated in that they include a dynamic ocean that has two-way interaction with the atmosphere. They also model the evolution of ice cover, and have idealized model treatments for soil moisture and the biosphere, so now we speak of Earth System Climate


Models. In considering the climate, various aspects of the Earth System have different degrees of “memory,” in that they have different inherent time scales. For instance, the ocean, with its very large heat capacity, has a much longer “memory” than the atmosphere. Intermediate between the ocean and the atmosphere is soil moisture. After rainfall, moisture can be given up to the atmos-phere for quite a long time, so climate models and medium-range weather forecasting models have treatments for evolving soil moisture. Another aspect of the climate system is solar varia-tion. Satellite instruments have measured variations in solar radiation output reaching the Earth that follow the solar sunspot cycles, which have various periodicities, the most prominent of which is the 11-year sunspot cycle. The 11-year solar cycle has been shown to have an amplitude variation in solar light output of about 0.1 %. Solar light output at different wavelengths show different variation amplitudes, with variations in the short ultraviolet (UV) wavelengths showing considerably larger solar cycle variations than the variations of the longer wavelength visible ra-diation. Those UV wavelengths modulate stratospheric ozone amounts and heat the stratosphere. Current models for solar variations affecting climate consider the solar-cycle modulations in UV radiation, resulting variations in ozone and stratospheric temperatures, and the resulting varia-tions in planetary waves that can have surface effects.76

Left-Variouscompositesofsatellitemeasurementsoftotalsolarirradiance;thatistosay,thetotal energy reaching earth per unit area. Right-Top: Spectral irradiance; that is to say, thesolarenergyreachingEarthperunitareaasafunctionofwavelength.Right-Middle:altitudetowhichirradiancepenetratesintotheEarth’satmoatmosphere.Right-Bottom:thefractionalamplitudevariationoftheSun’sspectralirradianceatdifferentwavelengths.FromGrayetal.(2010). 76 IshouldemphasizeherethatwhilesolarvariationscanproducemeasurableinfluenceontheEarth’scli-mate,thosesolarinfluencesonclimatearemuchsmallerthantheglobalwarmingattributedtoincreasingconcentrationsofgreenhousegasesintheatmosphere.


WhileIhavenotspentthebulkofmycareeronsoilmoistureandsolar-cycleinfluencesonclimate,Ihavecontributedtothosestudies.

Closing Comments In the preceding paragraphs, I have discussed various ways in which the atmospheric sciences have evolved since I finished my undergraduate studies at MIT in 1964, with emphasis on areas to which I contributed. In no way, should the advances I have discussed be taken as being ex-haustive, however. Great advances have been made in forecasting severe storms, such as thun-derstorms, tornadoes, and hurricanes. Tropical meteorology has advanced greatly, and long-range weather forecasting has advanced, particularly in understanding ocean-atmosphere interac-tions such as El Niño/Southern Oscillation in which changes in sea surface temperature patterns are related to changes in climate. While I have followed some of those advances, I have not my-self participated in research in those areas in any great way. It is now 56 years since I finished my undergraduate studies at MIT and 51 years since I com-pleted my graduate studies, also at MIT. Although the personal circumstances that led me to study meteorology were not pleasant, what has followed in the five plus decades since has been very rewarding. I have supervised 20 PhD students at the University of Illinois at Urbana-Champaign, the University of Miami, and Stony Brook University, whose research have covered many topics, ranging from ionospheric dynamics to soil moisture, with most of the studies being concerned with the atmosphere in between. During my nine years at NASA’s Goddard Space Flight Center, I was involved in exciting research on stratospheric ozone and was involved in three different satellite programs. I have atmospheric science colleagues all over the world, many of whom are good friends of mine. I have had a great career in the atmospheric sciences, and I’m not quite done yet. I still work on federal grants and publish papers. My professional life has worked out well for me, as has my personal life with a lovely wife, two wonderful children, and one delightful granddaughter.

Marv Geller, BS, ’64 Course 18, Mathematics; PhD, ’69 Meteorology (Course 19). Assistant Professor to Professor, University of Illinois at Urbana-Champaign, 1969-1977; Professor, Uni-versity of Miami, 1977-1980; Space Scientist 1980-1985, Chief, Laboratory for Atmospheres, 1985-1989, NASA Goddard Space Flight; Professor, 1989-2015, Dean, 1998-2003, Stony Brook University. He retired from Stony Brook University in 2015, continues writing research papers and writing proposals for new research. Marv and Lynda Geller have been married 52 years. They have two children, Stephanie and Steven, and a granddaughter, Neala.

References

Arrhenious, S., 1896: On the Influence of Carbonic Acid in the Air upon the Temperature of the Ground, Philosophical Magazine and Journal of Science, Series 5, Volume 41, April 1896, pag-es 237-276.


Bowles, K. L., 1958: Observation of Vertical-Incidence Scatter from the Ionosphere at 41 Mc/sec, Phys. Rev. Lett., 1, 454–455, doi.org/10.1103/PhysRevLett.1.454.

Ebdon, R. A., 1960: Notes on the Wind Flow at 50 mb in tropical and sub-tropical regions in January 1957 and January 1958. Quart. J. Roy. Meteorol. Soc., 86, 540-542, doi.org/10.1002/qj.49708637011. Farman, J., B. Gardiner, and J. Shanklin, 1985: Large losses of total ozone in Antarctica reveal seasonal ClOx/NOx interaction. Nature, 315, 207–210, doi.org/10.1038/315207a0. Gray,L.J.,J.Beer,M.Geller,J.D.Haigh,M.Lockwood,K.Matthes,U.Cubasch,D.Fleitmann,G. Harrison, L. Hood, J. Luterbacher, G. A.Meehl, D. Shindell, B. van Geel, andW.White,2010:Solarinfluencesonclimate.Rev.Geophys.,48,RG4001,doi:10.1029/2009RG000282. Hines C 0., 1960: Internal atmospheric gravity waves at ionospheric heights. Can. J. Phys., 38,1441-81.

Lorenz, E. N., 1963: Deterministic nonperiodic flow. J. Atmos. Sci., 20, 130-141, doi.org/10.1175/1520-0469(1963)020<0130:DNF>2.0.CO;2. Molina, M., and F. Rowland, 1974: Stratospheric sink for chlorofluoromethanes: chlorine atom-catalyzed destruction of ozone. Nature, 249, 810–812, doi.org/10.1038/249810a0. Motter, A. E., and D. K. Campbell, 2013: Chaos at fifty. Physics Today, 66. 27-33,https://doi.org/10.1063?PT.3.1977. NAS, 1979: Carbon Dioxide and Climate: A Scientific Assessment Report of an Ad Hoc Study Group on Carbon Dioxide and Climate. National Academy of Sciences, 22 pages. Phillips, N. A., 1956: The General Circulation of the Atmosphere: A Numerical Experiment. Quart. J. Roy. Meteorol. Soc., 82, 123-164, doi.org/10.1002/qj.49708235202. Reed, R. J., W. J. Campbell, L. A. Rasmussen, and R. G. Rogers, 1961: Evidence of a down-ward propagating annual wind reversal in the equatorial stratosphere, J. Geophys. Res., 66, 813– 818. Velders, G. J. M., S. O. Andersen, J. S. Daniel, D. W. Fahey, and M. McFarland, 2007: The importance of the Montreal Protocol in protecting climate. PNAS, 104, 4814-4819, doi.org/1073/pnas.0610328104. Woodman, R. F., and A. Guillen, 1974: Radar Observations of Winds and Turbulence in the Stratosphere and Mesosphere. J. Atmos. Sci., 31, 493-505, doi.org/10.1175/1520-0469(1974)031<0493:ROOWAT>2.0.CO;2.

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Recreation Left, A modern (Celestron) version of a1960s vintage telescope on anequatorialmount with hand driven RA-DEC drive,which requires hand eye coordination ofthemounttokeeptheobjectinview. Below, The amateur astronomers of the2020s have advanced mounts capable ofcarryingmultipletelescopeswithaccurateguiding, high speed computing,exceptionallysensitivecameras,housed inremote observatories capturing images ofcelestial objects rivaling the best setupsavailableinthe1960s.

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Baghdad – Sleeping on Rooftops & Its Consequences Viguen Ter-Minassian IhadthegoodfortunetobebornontheshoresoftheTigrisintheheartofwhatisknownas Mesopotamia, in the fairy tale capital of the One Thousand and One Nights, today’sBaghdadtheCapitalofIraq.DuringmychildhoodBaghdadwasacosmopolitancity,withadiverseethnicitywithpeoplefrommanypartsoftheglobe,smallandlargeminorities,dif-ferenttrades,goldandsilversmiths,tailors,engineers,andcountlessreligiousbeliefstruc-tureslivinginrelativeharmony.PopulationofIraqatthetimewasnomorethan4million,Baghdad’spopulation,anyone’sbestguess500,000,perhapsless.

Naked Eye Observations – Just like the Ancients Oneof the featuresofsummer lifewas tosleepon theroofof thehouse.Baghdad’s lightpollutionwaspracticallyzero.Atnightwehadtheluxuryofseeingthestarsandconnectingthedotsandcreatingourownconstellations, themilkywaywasbrightenough to castashadow.Seeingshootingstartswasacommonphenomenon,andonsomeoccasiontherewere comets. Some lament the fact thatmodern technology has replaced the practice ofsleepingonroofswithairconditionedbedrooms. Eclipsesarepreciseevents.ItiseasytopinpointtheexacttimeanddateIsawmyfirstpar-tialeclipseof thesun. Itwas1952February25(Totalitywas inBasra, Iraq), Iwas in6thgrade elementary school, I recall vividlywewere preparing viewing glasses by applyingsootfromcandlesonapieceofglasstobeabletoseethisrareevent.Noonetoldusthatyouhadtobeanidiottostareatthesun,evenbrieflywithsuchcontraptions,butwedid.Ithad two lastingeffects.The firstwasa fascinationwithcelestialwonders.Thesecondanimpairedvision,manyyearslater,attheMIT’sclinictheophthalmologistnoticedacrescentlikeburnonmyretina.Whyshouldthatstopayoungmindfrombeingfascinatedbynatu-ralphenomena. Inthe50’stherewasasignificantinterestinFlyingSaucers.Peoplewerereportingseeingsuch objects andwent as far asmaking up stories about extra-terrestrials andMartianswhosurelywereresponsibleforthesesightings.Mostwereahoax. BackontheroofonemorningIdidimagineseeingdisklikeobjects,5ofthemnearthehorizon.Itiseasytoex-trapolatewhatyoureadtowhatyoumightwanttobelieve,afterallyoujusthadyourownconfirmationUFOsexist.Couldtherebeabetterexplanation,thereareatmosphericcondi-tionsthatcouldgeneratedisklikeimages,miragesarecommonwherewelived,anaturalphenomenontoexplainmysightingsmadesense,thatofaliensdidnotmakesense. Cloudsandtheimagination:vacationinginElChaltenArgentinain1stofFebruary2012,Itookthetwophotosofcloudformations,oneclosetosunsettheothertwodayslater0nthe3rd.

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Left: The blurry image of a saucer shaped cloud. Right: A daytime image of a similar cloudformation.

Effectoflowfrequencyvibrationonclouds. The one on the 1st is somewhat obscure, al-lowstheimaginationtogoinmanydirections,theoneonthe3rdisclearasday,noimagina-tion necessary it’s a round cloud. There aremany absolutely amazing clouds formationsthat become the subject of the imagination,like the one on the right, taken on the 2nd ofFebruary. In 1957 October 4 came Sputnik. With thatcameaninterestinSpaceandRocketry.Itwaslikecatchingthebugandbuildingrocketswas“in” for a fewof us.After the Iraqi 1958 July14 revolution, if youare caughtwith rockets,youwere likely toendup in jail.As it turnedout building rockets was a recipe to go toMIT. The Wests an American family wereneighbors,Robert theirsonandIbonded,wehadsimilarinterest,westarteddesigningsol-id fuel rockets, everything from scraps. The

desert 40miles out of Baghdadwas our Cape Canaveral. Robert’s brother, BurnellWest(MIT‘60)hadcometovisithisparentsinBaghdadin‘59,sawuswithourwellthoughtoutcontraptions and asked if I would consider going to an American University, MIT. I re-sponded“WhatisMIT?”.Ididfindtheanswer,andayearlaterIwaswalkingacrossHar-vardBridgelookingincompleteamazementattheDomeasIcrossedtheCharlesRiver. IlivedinRunklefirstfloor,whereImetmanywonderfulfriends,manyofthembecamelife-longfriends.,invitingmetotheirhomes,first,wasJosephPerkinson‘64,withwhomItrav-eledtohisfamily’sfarminTennessee.JasonFane’64whosegoodadviceIfollowed“Goforbrainsmorethanlooks”.Ifollowedhisadvice.PeterKlock’65,Iwillneverforgetrunning

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intohiminfrontofWalkerMemorialonthatfatefuldayNovember22,PetetellingmethatKennedywasassassinated.IraTurnerMIT’65,drivingnonstopfromCambridgetoMiamiFlorida,Christmasbreak’63.Iwillalwaysremaingratefulforhisgenerosity. Amostmemorableeventwas theSolarEclipse1963 July20Maine. Ira, threeotherMITstudentandIdecidedtogotoMainetowatchtheEclipse.Portlandwasinthepathoftheeclipse, the threepassengersdecided togetoff inPortland, Iraand Ikeptgoing towardsGreenville Maine, reaching it close to midnight, gas tank on empty, with no gas stationopen.Wedidfindanairportanddecidedtotakeachance.Wedrovetotheairport,therewasnoattendant.This isMaineafterall, theydon’t lockanything.Filledupwithaviationfuelandvoilà! Westoppedbythenextdaytopayforthegaswetookthenightbefore.Atthetimegasolinewasabout30cents/gallon. Thehotelwestayedatisstillthere.Irememberthebillwasabout$3.50,Igavethecashier$20.00,andgotback$17.50.Ihadtocorrectthecashier’scountingskills.Thereweremanyotherwonderful anecdotes,Maine is on a different planet. Ira and Iwanted to canoe onMooseheadLake,westoppedatacanoerentalshopbuttheyhadrentedtheirlastcanoes,theowneroftheoutfitcalledseveralotheroutfittersfoundoneandhelpedusreserveoneforthemorning,imaginggettingthatkindoftreatmentsayinNYCinthe60s.FortunatelythingsareverydifferenttodayinNYC. It was getting cloudy, if we planned to see totality, all indications were that staying inGreenvillewas not a good idea, sowe headed toward the Canadian border, on theway,meeting many astronomers with their telescopes properly aligned and anchored to theground.InourcaseIhadbuiltalongpinholetelescopetosafelyviewtheprojectionofthesun’simageatthebottomofthetube,ithadagreatadvantageovertheonestheastrono-merswemetwouldhave,itwasportable.Theweatherconditionwaslookingquestionable,we decided to drive closer to the Canadian border towards Sandy Bay and off on a dirtroad.Theconditionslookedveryfavorable.Firstcontacthadstartedat20:35UTTotalitywherewe had stoppedwould be at approximately 21:45 UT, (these times are not frommemory,youcanfindtheseontheNASAsites,thisisthebeautyofhowpreciselyyoucantellwhenaneclipsewilltakeplaceatparticularspotontheplanet).IraandIsawthetotali-tyoftheeclipseof1963withallitsglory,theexperiencewasbetterthanthatfirstyouthfulkiss.Onourjourneyback,wesawtheastronomerswiththeirtelescopes.TheydidnotseeTotality.Cloudshadmovedinjustintimetoruintheshow.ItismyguessthatinMaineortheentireUSA,weweretheonlytwothatsawthetotalityof1963.Ifthepeopleinthecus-tomshouseatSandyBaywerelooking,theyprobablysawittoo.

Amateur Telescopes Grow More Sophisticated TherearethosethataresohookedonseeingTotalEclipses,theygofromonetotheother.In1970,March7theeclipsewasconvenientlypassingthroughMartha’sVineyard.IlivedinBelmontatthetime.SeveralenthusiastsandIcharteredaplanetogotoMartha’sVineyard.Thepilotarrivedlate,calculatingthathecangetthereontimemissedthefactthattherewereseveralhundredotherswiththesameidea.TheAirportatMVwasfull,theywereac-


ceptingnomore“in”flights.WemissedtheMartha’sVineyardTotality,hadtoenjoya99%version.Notbad,butnothingtocharteraflightto,IshallplaceitonascalecomparabletoaNightatthePops,wonderfulbutnoecstasy.Sofar,myloveistheoneandonlyTotalityIhaveseeninMaine. ForNewton’sPrincipiaweare indebtedtoaComet!Today it isknownasHalley’sCometnamedafterEdmondHaley,itsreappearanceandunaidedsightingwaspredictedduringitsapparitionof1985through1986.FromtheroofofourhouseinBaghdad,Ihadseencometsbefore,howeverthebigcometdeservedmoreattention,andalthoughHalley isvisible tothenakedeye,Idecidedtotrackitandpurchasedasmall4”($600)Schmitt-Cassegraintel-escope.TrackingHalleyas itmarched through the skyand recording itspositionwasanexcitingexperiment,seeingitinallitsglorywasamust.Predictionsatthetimewerethatthe SouthernHemispherewould steal the show,wealthy enthusiasts flew toAustralia toseeit.InVirginia,onafreezingnightmykids,Aram11,Natasha15,Monica18,andMarthaGoodwayMIT’57,andI,hoppedintomycarandheadedtotheBlueRidgedriveinVirginia.Thecometwasclosetoperihelion, itwasafreezingcoldmoonlessnight,wearrivedpastmidnight,Halley’s tailwasvisible, longbrightandstunning.PerhapsmykidswillhaveachanceintheirlifetimetoseeHalley’scometagain.Wehaveseenmanymagnificentcometssince,butHalleywillremainverymemorable.It’sworthnotingaroofsleeperinBabylon(inpresentdayIraq)recordedthepassageof,whatwecalltoday,Halley’scometin164BC.Re-grettably thecometwasahugedisappointment for theAustraliancrowd,what theysawwasacometwhosetailhadgreatlydiminishedinsize. Itwastimetogetserious,Idecidedtogetabiggertelescope.In1997Ipurchaseda12”Go-ToSchmittCassegraintelescope,awonderfuldevicethatwascomputercontrolled,settinguprequiredproperalignment,italsorequiredassemblyanddisassemblyandcarryingittotheobservationsiteandback.Thebigattractionsweretheplanets,especiallySaturnandJupiterwithitsmoons.MessierobjectgalaxiesandNebulewereadelight.Atstarpartiesitwas nice to showkids and adults alike thewonders of the universe someof us take forgranted.

TheremoteobservatoryinWestVirginia.In2015Irealizedthatsetting-upanddisassemblyatadarksitewasbecomingincreasinglydifficult anddangerous. If Iwanted to enjoy thehobbyamorepermanent setupwas re-

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quired. I started looking for areaswith low light pollution, found andpurchased a lot inWestVirginia.OnthislottodayIhaveapermanentobservatorywiththefinestlaboratorygradetelescopeandremoteimagingequipment.Insteadofbeingatthesite,theobservato-ryisoperatedremotely.Inmid-Decemberaminoraccidentforcedmetotemporarilyshutdowntheobservatory,Icallitaninconvenience,therewillalwaysbeinconveniences,onehastoendureeveninthebestofremotesetups.

ImagedremotelyM42andCometNEOWISE2020. Inthe late1950sorearly1960syouhadtobewealthytoowna3½”Questartelescope,beautifully crafted, affordable only by wearers of Rolex watches, or semi-professionals.Mostenthusiastastronomersbuilttheirowntelescopes;laboriouslygrindingmirrorsandbuilding optical tube assemblies. Thanks to automation, computer generated ray tracingandbetterglassforrefractortelescopes,bettermirrorsforreflectingtelescopes,highquali-tytelescopesarewithinthereachofmostamateurs.For lessthanthepriceofaQuestar,amateurscanbya12”Dobsonian.With the internetandthe introductionofcontrolsoft-ware,theentireobservingoperationcanbeperformedandrecordedremotely.TodayyoucanrenttimeontelescopesinAustralia,Chile,SpainorArizona,youdon’tneedtoownatelescope. In lessthanahalfacenturythefieldofastronomyhaschanged. Itstartedasapurelyvisualstudy,thencameplatefilmfollowedbyCCD,CMOSimaginingcameras,orbitalobservatoriesthelikesofHubbleSpaceTelescope,andofcoursetheExtremelyLargeTele-scope(ELT)underconstructioninChile.Some,includingmyself,wanttoexperienceseeingthephotons thathave traveledseveralbillionyears toexciteourretinadirectly, just likethestarsdidontherooftops.Aswegrowolder,welearntomakecompromises. Thisessaywouldnotbecompletewithoutmentioningthecontributionofmanyastrono-mersthathavedevotedcountlessnightsanddaysinthefieldofdiscoveryandengineering.Amateurimagerscontributeavastamountofdatawithrelativelysophisticateequipment,thoughnotasskilledortrainedinanalysis,thedatacollectedandsubmittedtoskilledana-lystshasbeeninvaluable.TheimpactonJupiterwasadiscoverybyanAustralianastrono-merA.Wesley,thediscoveryofcometShoemaker-LevythatalsoimpactedJupiter.RobertEvansholdstherecordindiscoveringsupernovae.Mentionedherearejustafewthatcometomind.Amateurastronomersyoungandoldhavemadeandcontinuetomakediscoveries


inthefield.TheDobsoniantelescopeisnothingmorethanaNewtonian,namedafterJohnDobson the inventor. Dobson designed an inexpensive, large, portable lightweight tele-scopesonethatcouldbringdeep-skyobjectstheamateurastronomer.Otherscontributedtomakingandimprovingtheoptics,theoperationofthetelescope,andinrecentyearsthecontrolsoftwarefordatacollectionandcontrolofthetelescopeandmount.Dr.LeonardoOraziwhoteachesmaterialscienceduringtheday,atnightisanamateurastronomer;hedeveloped Voyager, a software program that controls every aspect of the Observatoryshownabove,thislevelofautomationwasasubjectofdreams,todayitallowsastronomerstodreamastheysleep,whiletheobservatoryiscollectingdata.

Looking Back Curiosity startsataveryearlyage,withsomeofus sleepingon the rooftopofhouses inBaghdad,orona grassy field inOklahomaTennessee, lookingup,wonderingandaskingquestions, connecting dots between stars, and even making imaginary characters; ordoubtingifwereallysawflyingsaucersinthesky.Someofuswonderedandlookedinoth-erdirections,movingondifferentpathsofcuriosity.We tried tounderstandwhycertainthing behaved theway they did, andwere not satisfiedwithmany of the answers.Overtimeweunderstoodthephysics,thechemistryofwhat’soutthere.Manyofusrejectedtheexplanations that just didn’t make any sense. Some of us are still exploring and askingquestions.Weinfluencedeachotherandhopewecontinuedoingso.Andkeeplookingupatthestars.

TheBackoftheJamesWebSpaceTelescopeICDHPlaque.

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ViguenTer-Minassian’64Course2,MechanicalEngineering,hasalwaysbeenpassionateaboutastronomyandrocketry.Intheearly90s,heworkedatNorthropGrummandevelop-ing, designing, analyzing, and testing instruments for the Goddard Space Flight Center(GSFC).Manyof these instrumentsare today inearthorbit includingonesontheHubbleSpaceTelescopeandsomeorbitingthemoon,liketheLunarReconnaissanceOrbiter(LRO).WhentheJamesWebSpaceTelescope(JWST)launchesOctober31,2021toLagrangian2(L2),with the ISIMCommandandDataHandlingSystem(ICDH),Viguen’snamewill beon thebackoftheJWSTICDHplaque,onits innermostcircle.That isascloseashewillcometorealizinghisrocketrypassion.

Then, Now, and Beyond

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