Strategic Initiative Program - Columbia UniversityStrategic Initiative Program Fiscal Year 1997...

Strategic Initiative ProgramFiscal Year 1997 Report

Office of the ProvostColumbia University

Jonathan R. Cole, Provost and Dean of FacultiesMichael M. Crow, Vice Provost of the University

Report on FY 1997 Activities Building onStrategic Initiative Program Investments

Report on Status of FY 1997 Strategic Initiative Program InvestmentsOffice of the Provost

Columbia University June 30, 1997

http://www.columbia.edu/cu/research/reports/sip1997.pdf

TABLE OF CONTENTS

Introduction....................................................................................................................................... iSummary Tables......................................................................................................................... ii-xxii

PROJECT STATUS REPORTS

Virtual Information Initiative

Multimedia Classrooms Pilot Project (93-4.0) ................................................................................... 1Institute for Learning Technologies (93-4.4, 94-10.1, 95-1.0, 95-2.0, 96-11.0, 97-17.0) .................... 2Chemistry Classroom for the Future (94-10.3,95-3.0, 95-10.0, 97-35.0) ............................................ 6IT Cluster for Math and Sciences (97-43.0)....................................................................................... 7Mathematica (95-26.0)...................................................................................................................... 8Center for New Media (95-12.0, 96-20.0, 97-15.0)............................................................................ 8New York-Warsaw Project (96-12.0)............................................................................................... 10Advanced Papyrological Information Systems (97-45.0).................................................................. 11Earthview Explorer (94-10.1).......................................................................................................... 11

Digital Library ProjectsThe Janus Digital Library Project (93-4.1) ...................................................................................... 12Center for Research on Information Access (CRIA) (96-26.0)......................................................... 13Digital Library Systems Research (96-26.0, 97-21.0) ...................................................................... 14

Arts and Music ProjectsSchool of the Arts Digital Media Center (96-36.0, 97-28.0) ............................................................ 15New Media Story Laboratory (94-19.0, 95-11.0) ............................................................................. 15Electronic Music Curriculum (96-6.0)............................................................................................. 16

Art History and Archaeology ProjectsArchaeology Laboratory (93-4.2) .................................................................................................... 17The Amiens Cathedral Imaging Project (93-4.3) ............................................................................. 17Media Center for Art History (95-28.0, 96-13.0, 97-18.0) ............................................................... 18

Architecture ResearchBuilding Technologies (94-21.0, 95-24.0, 97-31.0) ......................................................................... 20Augmented Reality (96-4.0) ............................................................................................................ 21

New York City Initiative

Telecommunications Institute (94-5.0, 97-41.0) .............................................................................. 22New York City Social Welfare Indicators Survey (96-2.0, 97-16.0) ................................................. 24National Center for Infrastructure Studies (93-1.0).......................................................................... 25Child and Family Policy Institute (97-42.0)..................................................................................... 26AFDC Migration Model (97-48.0) .................................................................................................. 26To Establish a Program in Refugees Studies (97-40.0) .................................................................... 27

Urban Policy and Urban Planning ProjectsGeographic Information Systems Laboratory (94-20.0) ................................................................... 28Urban Technical Assistance Project (UTAP) (96-7.0, 97-4.0).......................................................... 28Empowerment Zone Monitoring and Assistance Project (EZMAP) (95-13.0, 96-29.0, 97-22.0) ...... 30Center for Urban Policy .................................................................................................................. 32SIPA/UN Habitat Project (98-34.0) ................................................................................................. 36

Columbia Earth Institute (Global Systems Initiative)

Center for Environmental Research & Conservation (CERC) (94-7, 95-4, 95-5, 96-16, 97-7) ......... 37Biosphere 2 Science Planning (95-6.0)............................................................................................ 38Earth Complexity Center (94-6.0) ................................................................................................... 39Earth Engineering Center (95-31.0, 96-34.0) .................................................................................. 40Laboratory of Populations (96-15.0, 97-10.0) .................................................................................. 41Environmental Sciences Curriculum (96-17.0)................................................................................ 42Environmental Research at LDEO (94-6.1, 95-9.0, 96-18.0, 97-12.0) ............................................. 43Lamont-Doherty Earth Observatory Global Systems Initiative Post-Doc (96-28.0)........................... 44Program on Information and Resources (95-27.0, 95-27.1, 96-19.0, 97-13.0).................................. 44Center for Environment, Business, and Renewable Resources (95-16.0, 97-33.0) ............................ 46Urban Industrial Pollution............................................................................................................... 47

Earth Policy CenterEarth Policy Center (94-2.0, 95-29.096-3.0, 96-14.1, 96-14.2, 96-14.3, 96-14.4) ............................ 47Global Systems Seminar Series (94-8.1).......................................................................................... 49

Seasonal to Interannual Climate PredictionInternational Research Institute for Climate Prediction (95-29.0, 96-1.0, 96-27.0, 97-14.0) ............ 49University Consortium for Ocean Systems (93-2.0) ......................................................................... 51

School/Institute Investments

Health Sciences InvestmentsMedical School Investments (94-13.0, 95-20.0, 96-23.0, 97-5.0)..................................................... 53Nursing School Investments (94-13.1) ............................................................................................ 57

School of Engineering and Applied Science InitiativesMaterials Research (94-4.0) ............................................................................................................ 60Laser Material Processing (94-4.2).................................................................................................. 61Free Radical Polymerization (94-4.3) .............................................................................................. 62Barrier Material Engineering Testing (94-4.4) ................................................................................ 62Gateway Lab (94-4.1)...................................................................................................................... 63

Departmental Investments

Biological SciencesCartos II Anatomical Software (94-1.0)........................................................................................... 65Immobilized Nucleic Acid (94-1.1) ................................................................................................. 65

EconomicsForeign Economics Research Development (94-15.0)...................................................................... 66Social Science Computing Cooperative ........................................................................................... 67Intellectual Property Assessment (95-22.0, 96-31.0, 97-37.0) .......................................................... 68OECD Countries - Fiscal Policy (97-32.0)....................................................................................... 68

Center Development

New Media Technology Center (Engineering Research Center) (94-9.0, 95-19.0, 96-21.0) ............. 69Materials Research Center (94-3.0) ................................................................................................. 70Polymer Research Center (95-17.0, 96-38.0) ................................................................................... 714D Technologies (94-18.0).............................................................................................................. 72Center for Applied Probability (94-11.0, 96-30.0, 97-20.0) ............................................................. 74Columbia Genome Center (95-32.0, 96-8.0, 97-1.0)........................................................................ 75Arcsecond Figure Measurement Through Optical Metrology (97-47.0) ........................................... 76

Biomedical EngineeringCenter for Biomedical Engineering (95-30.0, 96-22.0, 97-19.0) ...................................................... 77Magnetic Resonance Imaging Research (95-25.0) ........................................................................... 78

Interdisciplinary Conferences/Seminars

Conference on Congestion Pricing in Transportation (97-46.0) ....................................................... 80Materials and Molecular Chemistry Seminar Series (94-8.0)........................................................... 80Biology/Chemistry Seminar Series (95-21.0)................................................................................... 81Polymer & Interface Science Seminar Series (95-18.0).................................................................... 81Graduate Seminar Series in Chemistry/Biochemistry (94-8.2) ......................................................... 82Seminar on Gender Studies (94-16.0).............................................................................................. 82

INTRODUCTION

The Strategic Initiative Program is an effort of the Provost's Office designed to coordinate and in somecases invest in cross-disciplinary research and scholarly projects on a University-wide basis. Cross-disciplinary initiatives directly capitalize on University-wide strengths and can lay the foundation for newefforts of potential benefit to the entire community. As projects and interrelationships evolve through programinvestments, the Strategic Initiative Program is intended to realize the goal of making Columbia more than thesum of its individual parts. The Strategic Initiative Program entails a long-range focus designed to accomplishthe following goals:

Goals of the Strategic Initiative Program

− Catalyze cross-disciplinary research in areas of long-range public and private sector interest such asearth/environment studies, the future of the City of New York, advanced information systems, andbiotechnology;

− Enhance linkages among the sciences and between the sciences and the humanities;

− Build on University strengths in basic and applied research;

− Enhance competitiveness for new research groups and ideas; and

− Build bridges between the University and external constituencies.

In FY 1994, a new internal investment fund was developed to support the objectives of the Strategic InitiativeProgram. Beginning July 1, 1993, some of the income derived from patent royalties and license fees was setaside for the purpose of establishing the Strategic Initiative Program, which has since funded projects in sevengeneral categories:

Seven Categories of the Strategic Initiative Program

1. The Virtual Information Initiative, which is focused on the use of computers and informationtechnologies in all areas of multimedia teaching and learning, research and development on newtechnologies such as video transmission and digital libraries, and the social and commercial applicationof networking technologies;

2. The New York City Initiative, which supports research, education, and outreach programs to enhanceour understanding of urban environments and to apply this understanding in the practice of urbandevelopment;

3. The Columbia Earth Institute, which brings together projects and programs in earth-related sciencesto enhance knowledge and research in areas including integrated environmental assessment,advanced climate studies, biological diversity and conservation, and environmental education;

4. School/Institute Investments, which provide resources to the Health Sciences and the School ofEngineering and Applied Sciences in a broad range of research development areas to maintainexternal research collaborations and to establish interdisciplinary teams and laboratories;

5. Departmental Investments, which provide resources to departments for projects in important growingfields of scholarship;

6. Center Development, which promotes interdisciplinary collaboration to advance innovative researchin areas including new media technology, materials science, polymer science, oil and gas explorationtechnology, applied probability, and genome research; and

7. Interdisciplinary Conferences, which encourage interaction among departments to enhance theinterdisciplinary educational experience of graduate students.

Each category of support is intended to facilitate the organization of new interdisciplinary teams, spawnother new initiatives and research themes, and help the University achieve its educational mission.

STRATEGIC INITIATIVE PROGRAMFISCAL YEAR 1997 PROJECT SUMMARY TABLES

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PROJECTS AND SIPINVESTMENTS

SIPNO.

ACADEMICUNITS

PROJECTTYPE

OBJECTIVE PROPOSAL WRITING AND OTHERFUNDRAISING ACTIVITY

STATUS

Multimedia Classrooms PilotProjectFY 1993 $40,000

Other CU Investments: CapitalBudget

93-4.0 AcademicInformationSystems

Pilot Project To serve as a pilot for theMultimedia Classrooms project.

No proposals intended. Pilot project completed in 1994with full-scale program nowunderway (see http://www.cc.columbia.edu/acis/classrooms/).

Institute for LearningTechnologiesFY 1993 $20,000FY 1994 $70,000FY 1995 $150,000FY 1996 $150,000FY 1997 $200,000

Other CU Investments:Teachers College $460,000 andEndowment $160,000

External Support: $9,589,829

93-4.494-10.195-1.095-2.096-11.097-17.0

TeachersCollege

CenterDevelopment&Teambuilding

Support building of entity withcapacity for university-wideproject development inmultimedia teaching, learning,networking, technologyapplications and technologydevelopment.

Funded Proposals: NYNEX NYNETConnection $200,000; Living SchoolbookProject (NYSTC) $879,000; HarlemEnvironmental Access Project (NTIA)$450,000; Oracle Corporation (JointLDEO/ILT) $25,000; Gateway EngineeringEducation Coalition $155,000; $17,500 NSFgrant to Columbia Geology Department;UCAR Office of Programs $23,000;Department of Education Challenge Grantfor Technology in Education $7,100,000(NYC Grant); NSF Education Directorate$350,000; IBM Corporation $85,000 forReinventing Libraries; Corning NYEvaluations $100,000; ReadNet Foundation$26,000; NSF $99,329 for Design First;Consulting Contracts $50,000; NYS Math,Science and Technology Learning Grants$30,000.

Proposals Not Funded: TC-WNET TeacherEducation $50,000; Intel Prop Guidelinesfor Educators (NSF) $99,940; On-LineBooks (Mellon Foundation) $15,000;Department of Education $1,100,000;Iguana (Joint with Computer Science)$3,000,000; NSF Networking Infrastructurefor Education $1,900,000; Rupert MurdockNewscorp Foundation $10,000,000; U.S.Dept. of Ed. Fund for Improvement ofPostsecondary Education $276,050.

University-wide and NYCpublic/private school linkagesaccomplished. Secured majoroutside funding with Department ofEducation Challenge Grant.Continuing outreach efforts basedon Strategic Plan.


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SIPNO.

ACADEMICUNITS

PROJECTTYPE


STATUS

Chemistry Classroom For TheFuture (Multimedia andVisualization)FY 1994 $25,000FY 1995 $68,000FY 1997 $10,000

Other CU Investments: Provost’sInvestment Fund $20,000,University Development Fund$20,000

External Support: $673,000

94-10.395-3.095-10.097-35.0

Chemistry Pilot Project &Teambuilding

Enhance chemistry visualizationin classroom instruction forgeneral organic and physicalchemistry.

Funded Proposals: NSF Curriculum ReformPlanning Grant $50,000; NSFUndergraduate Education $162,000; NSFDevelopment of Teaching Modules$209,000; Dreyfus $53,000; Perkin-Elmer$15,000; Texaco, Inc. $4,000; NSFChemistry Division for EDISON $180,000.

Pending Proposals: Dreyfus $25,000;Genentech $25,000; Perkin-Elmer $9,000;Texaco $4,000; NSF “Development ofInteractive Tutorials for Discovery LearningBased on Molecular Modeling Software”$700,000.

Proposals Not Funded: NSF CurriculumReform $5,000,000; Schering-Plough$150,000.

The Edison Project for curriculumreform, through the use ofinformation technologies, is nowfirmly entrenched in theinstructional approach forundergraduate education.

IT Cluster for Math andSciencesFY 1997 $20,000

97-43.0 Chemistry,Anthropology,Astonomy,Biology,Mathematics,Physics, EarthandEnvironmental Sciences,Psychology,SEAS, AcIS,TC

Pilot Project Catalyze the diffusion ofcurriculum reform inundergraduate mathematics,science, engineering andtechnology education through theuse of informational technologies.

Proposals Under Development: NSF“Reform of SMET Instruction through theuse of IT” $200,000.

The IT cluster in Math and Scienceprovides a mechanism and modelfor the diffusion of curriculumreform in undergraduate andgraduate SMET instruction thoughthe use of IT throughout theUniversity.

MathematicaFY 1995 $15,000

Other CU Investments: Schoolof Engineering; Arts andSciences

95-26.0 Chemistry,Mathematics

Pilot Project Promote easier and morethorough integration of chemistry,mathematics and computers.

Proposals developed as part of ChemistryClassrooms for the Future efforts.

Software in use in Chemistrycurriculum as of FY 1996; to beintroduced into other departments.Reviewed by Provost’s Office aspart of the Chemistry Department’smultimedia efforts.

Center For New MediaFY 1995 $50,000FY 1996 $50,000FY 1997 $50,000

Other CU Investments:Provost’s Investment Fund FY1995 $150,000, FY 1996$150,000; University DevelopmentFund FY 1996 $215,800, FY 1997$423,000.


95-12.096-20.097-15.0

Journalism Center Design&Development

Support development ofmultimedia teaching, learningand research capacity in theSchool of Journalism and expandinterschool collaborations.

Contributions from industry partners:FY 1995 - $561,000;FY 1996 - $248,600;FY 1997 - $435,000.

Proposals Under Development: Participantin the NSF Engineering Research CenterProposal for more than $25,000,000 plusmatching.

The Center continued to grow itsindustry partnership program,pursuing major gifts, newaffiliations, and specific projectresearch grants from corporationsand foundations.


iv


SIPNO.

ACADEMICUNITS

PROJECTTYPE


STATUS

New York-Warsaw ProjectFY 1996 $10,000


96-12.0 Institute onEast CentralEurope, SIPA

Teambuilding Demonstrate development ofKnowledge Information Networkaround topics of mutual interest.

Pending Proposals: Carpathian Euro-RegionProject $25,000; Budapest-NYTeleconference on Gabcikovo DamInternational Studies National ResourceCenter $500.

Proposals Not Funded: Polish StateCommittee for Scientific Research$165,000; World Bank InfoDev $170,000 (2submissions); EMLA, Budapest $1,000;Budapest-NY Teleconference on GabcikovoDam Open Society Institute $1,000.

Developed technical linkages withand internet resources for EastCentral European partners,established network for researchersworking in different languages ontopics of mutual interest, anddeveloped distance learningprojects. Project completed.

Advanced PapyrologicalInformation SystemsFY 1995 $1,000FY 1997 $69,000


97-45.0 Classics Teambuilding Develop an imaging librarydatabase for studies of papyriwith Berkeley, Duke, Michigan,Princeton and Yale.

Funded Proposals: Applied in FY 1996 toNEH Preservation and Access for$2,265,206; awarded $300,000; Privatefunding $30,000; $9,500 from NationalDigital Library Federation; $18,000 from theGuttman Foundation

Pending Proposals: Renewal application tothe NEH Preservation and Access for $1.6million; $750,000 is federal funds and theremainder is cost sharing.

FY 1997 was the second year ofoperation of APIS; on-lineprototype information system beganin the fall of 1997.

Earthview ExplorerFY 1994 $40,000


94-10.1 LDEO Pilot Project Develop Internet-basedinteractive user-friendlyconnection between live data setsand middle school students.

Funded Proposals: NSF Planning Grant$206,000; Follow-on to NSF Grant$979,297.

An expanded suite of softwaretools is under development toprovide parallel functionalityacross a range of earth sciencedisciplines for data exploration,simulation and information up-dates.

DIGITAL LIBRARYPROJECTSThe Janus Digital LibraryProjectFY 1993 $105,000

Other CU Investments:Provost’s Investment Fund$750,000

93-4.1 UniversityLibraries,Law Library

Pilot Project &Teambuilding

Support development of digitallibrary prototype in the LawSchool.

Proposals Not Funded: ARPA/NASA/NSF$12,427,851; NSF Multidisciplinary HPCC$617,000.

Project ended in FY 1994.

Center for Research onInformation Access (CRIA)FY 1995 $250,000FY 1996 $250,000FY 1997 $250,000

Other CU Investments: CRIA;AcIS; Computer Science;Provost’s Investment Fund


96-26.0 UniversityLibraries,AcIS,ComputerScience, andothers

Center Design&Development

Support interdisciplinary researchon information processing,storage, retrieval and access.

Funded Proposals: NSF Technology forTerms and Conditions $53,000; NSF$270,314; NSF POWRE $61,372.

Pending Proposals: NIH $456,000; NSFIGERT $2,654,806; Digital Library NSF-European Commission.

Proposals Not Funded: NSF MultimediaNetwork $2,200,000; National Library ofMedicine $2,200,000; National Library ofMedicine $1,100,000.

CRIA has won several new highlycompetitive awards this year, andhas now established an integrated,interdisciplinary, andinternationally visible basis formoving forth into 1998 when CRIAwill compete for center levelfunding in the multi-agency DigitalLibrary II program.


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SIPNO.

ACADEMICUNITS

PROJECTTYPE


STATUS

Digital Library SystemsResearchFY 1996 $75,000FY 1997 $96,845


96-26.097-21.0

ComputerScience,ElectricalEngineering,CRIA

Pilot Project Support development of researchin the Computer ScienceDepartment to support universitydigital library effort.

Funded Proposals: NSF Corpus AnalysisResources for Discourse (CARD) $860,821;NSF STIMULATE Initiative - Generation ofCoherent Summaries of On-line Documents$437,843; and An Environment forIllustrated Briefings- $732,056; IBM$50,000.

Pending Proposals: DARPA - AutomatedGeneration of Narrated Multimedia Tours$4,423,164.

FY 1996-97 research collaborationwith CRIA led to strong supportrelationship with the NSF. FourNSF grants totaling over $2.5million secured over one-yearperiod.Also see Center for Research onInformation Access proposalwriting activity.

ARTS AND MUSICPROJECTSSchool Of The Arts DigitalMedia CenterFY 1996 $75,000FY 1997 $75,000

Other CU Investments:University Development FundFY 1996 $205,000, FY 1997$34,000.


96-36.097-28.0

School of theArts


Support transition to new media-based instructional, learning, andproduction facilities in the Schoolof the Arts, includingincorporation into SOA Divisioncurricula.

Funded Proposals/Gifts: Howard Stein$300,000; JL Foundation $100,000.

The initiative created threemultimedia labs and supported twocourses.

New Media Story LabFY 1994 $37,000FY 1995 $27,696

94-19.095-11.0

School of theArts/FilmDivision


To provide Film Division withequipment linkages for VirtualInformation Initiative.

None. Story Lab is being integrated intoSchool of the Arts digitizationeffort.

Electronic Music CurriculumFY 1996 $90,000

96-6.0 Music Pilot Project Create digital audio and videocapacity in Music Library tofacilitate multimedia projects.

None. Several courses are making use ofthe CD-quality demand-deliverysystem; interface modifications arebeing developed; a web-basedcourse in the history ofelectroacoustic music is underdevelopment.

ART HISTORY ANDARCHAEOLOGYPROJECTSArchaeology LaboratoryFY 1993 $50,000


93-4.2 Art History &Archaeology

Pilot Project Serve as a pilot project tocatalyze multimedia technologyin Archaeology.

Funded Proposals: Gladys and RolandHarriman Foundation $10,000.

Software was completed andsuccessfully used in courses.


vi


SIPNO.

ACADEMICUNITS

PROJECTTYPE


STATUS

Amiens Cathedral ImagingProject (Art History Lab)FY 1993 $30,500


93-4.3 Art History &Archaeology

Pilot Project Facilitate a multimedia projectinside Art History.

Funded Proposals: NEH Grant $102,000;NEH Matching Grant $36,000; Samuel H.Kress Foundation $7,500; GrahamFoundation $7,500; Alumni Contributions$1,000; Microsoft/Softimage $20,000.

Pending Proposals: Microsoft Softimage$20,000; David Ruy $2,000.

Proposals Not Funded: NEA $75,000;Markle Foundation $500,000; GrahamFoundation $15,000; Gladys Kriebel DelmasFoundation $36,000; New York TimesFoundation $27,500; Foundation for BiblicalResearch $7,500.

Project completed matchingrequirement on NEH Grant inNovember 1997.

Media Center for Art HistoryFY 1995 $50,000FY 1996 $70,000FY 1997 $50,000

Other CU Investments:University Development Fund$6,520


95-28.096-13.097-18.0

Art History &Archaeology


Develop and implement newstrategies for communication inart, architecture and archaeologyand introduce them to newaudiences through multimediatechnologies.

Funded Proposals: NEH Challenge Grant$575,000; NYS Council on the Arts$10,000;

NEH Matching Funded Proposals: MiriamWallach $100,000; Staging Techniques$306,000; World Monuments Fund$108,000; Silicon Graphics $2,800;Microsoft/Softimage $2,500; MellonFoundation $450,000;

Pending Proposals: Apple Computer$3,700; Graphic Media Project $2,500;Tapestry High Resolution $2,500; NewRiver Media $2,500; NAFT International$1,250; Hologramophone Research $1,250.

Proposals Not Funded: DoED $9,000,000;NEH Education and Research $250,000;NEH Challenge Grant Year 1 $100,000; GEFund $50,000; IBM Foundation $50,000;Benton Foundation $35,000; Individual,Corporate, and Education MembersDonations $8,200.

Completed a year two NEHChallenge Grant match.


vii


SIPNO.

ACADEMICUNITS

PROJECTTYPE


STATUS

ARCHITECTURERESEARCHBuilding TechnologiesFY 1994 $32,000FY 1995 $32,850FY 1997 $35,000


94-21.095-24.097-31.0

Architecture,Planning andPreservation,SEAS, AcIS

Pilot Project &Center Design&Development

Develop multimedia teaching,learning and research capabilityin Architecture program.

Funded Proposals: NSF NetworkMultimedia Farnsworth House $30,000;NEA Structures of Everyday Life $35,000;Graham Foundation $10,000; NSF GatewayCoalition (Philadelphia) $39,000; NYC Env.Bldg. Regs. $25,000; NSF Gateway$20,000.

Pending Proposals: NSF NIE $130,000;Rome Labs $110,000; U.S. Gypsum$100,000; NYSCA's Architecture Planning& Design $10,000.

Project has secured a significantnew media publishing opportunitywith Van Nostrand Reinhold; Workcontinues to attract attentionnationally and will be presented atNSF’s Building TechnologiesResearch Needs Colloquim atCarnegie Mellon this fall.

Augmented RealityFY 1996 $30,000


96-4.0 Architecture,Planning andPreservation,ComputerScience


3-Dimensional visualization ofconstruction systems.

Funded Proposals: NSF Gateway Coalition$30,000; Starnet International $2,000.

Pending Proposals: DARPA $100,000;NSF Gateway Coalition $40,000; ArmyCorp of Engineers $100,000, NSFCISE$86,077; DOD DURIP $166,454; NSFIGERT $2,654,806.

Working experimental prototypewas basis for new grant to developmobile augmented reality systems,and was used by CNM students todesign an experimental 3D newsstory.



SIPNO.

ACADEMICUNITS

PROJECTTYPE


STATUS

Telecommunications InstituteFY 1994 $50,000FY 1997 $58,225

94-5.097-41.0

BusinessCITI, CTR


Initiate liaison between theBusiness School & ElectricalEngineering to supportmultidisciplinarytelecommunications researchprojects.

Proposals Under Development: Participantin the NSF Engineering Research Centerproposal for more than $25,000,000 plusmatching.

Proposals Not Funded: NTIA TIIAP$243,000.

Development of the VirtualInstitute for Tele-Information athttp://www.vii.org; Manager ofJoint Programs in Researchreinstituted.

New York City Social WelfareIndicators SurveyFY 1996 $100,000FY 1997 $106,300


96-2.097-16.0

Social Work,Economics,PoliticalScience

Center Design&Development&Teambuilding

The New York City SocialIndicators Survey has beendesigned to study the well beingand sources of support of NewYork City families and how thesechange over time.

Funded Proposals: Foundation for ChildDevelopment $10,000; New York StateDepartment of Social Services $15,000;NICHD $33,000.

Pending Proposals: ACF HHS $1,000,000.

Proposals Under Development: FordFoundation; Foundation for ChildDevelopment.

Survey is in the process ofanalyzing data from the firstcollection round, securing funding,and expanding to additional cities.


viii


SIPNO.

ACADEMICUNITS

PROJECTTYPE


STATUS

National Center forInfrastructure StudiesFY 1993 $106,000


93-1.0 SEAS Center Design&Development

Seed fund development of acenter.

Funded Proposals: New York Science andTechnology Council $75,000 in FY95 &$75,000 in FY96; NYC Mayor’s Office$50,000; EDA Subcontract $100,000; ArmyCorp of Engineers $100,000.

Pending Proposals: NSF Institute for CivilInfrastructure Systems $5,000,000.

Proposals Under Development: U.S.DOT/ISTEA.

Proposal Not Funded: NSF/ Dept. of ArmyCenter Infrastructure Grant $20,000,000.

Center has developed strong NewYork State policy audience oninfrastructure issues.

Child and Family PolicyInstituteFY 1997 $40,000

97-42.0 School ofSocial Work,TeachersCollege,School ofPublic Health

Teambuilding Build strong interdisciplinaryresearch and graduate educationcapacity in child and familypolicy studies involving severalSchools and departments atColumbia.

Not Applicable. Final program design drafted as ofFall 1997 and pending finalapproval by the Provost’s Office.

AFDC Migration ModelFY 1997 $14,160

97-48.0 Sociology Pilot Project Perform research that willprovide new information aboutindividual migration patterns andassist in developing policy.

Pending Proposals: NSF-SBE $268,573;NSF-SBE $109,272; American SuicideFoundation $7,500; Chiang Ching-KuoFoundation $91,591.

Proposals Under Development: William T.Grant Foundation $300,000.

The Social Science ComputingCenter project provided theInfrastructure for the AFDCMigration Model project to generatefour research proposals.

To Establish a Program inRefugees StudiesFY 1997 $25,000


97-40.0 Center forPopulationand FamilyHealth -School ofPublic Health

Pilot Project Establish a program focusing onthe health status of refugees anddisplaced populations.

Funded Proposals: Andrew MellonFoundation - “To Establish a Program inRefugee Studies” $125,000.

Additional Fundraising: Andrew MellonFoundation pledge for over $1,000,000 incore funding beginning January 1998.

The Center for Population andFamily Health is establishing anacademic program to begin in 1998focusing on the health status ofrefugees and displaced populations;now in a year-long planning periodduring which the Center is focusingon training, research, staffdevelopment, and developinglinkages to other universities andrefugee organizations.

URBAN POLICY ANDURBAN PLANNINGPROJECTSGeographic InformationSystems LaboratoryFY 1994 $55,000

94-20.0 UrbanPlanning

Pilot Project Establish GIS Laboratory asUrban Planning research andeducation tool.

None. Lab is established and integratedinto GSAPP Urban Planning corecurriculum.


ix


SIPNO.

ACADEMICUNITS

PROJECTTYPE


STATUS

Urban Technical AssistanceProject (UTAP)FY 1996 $158,000FY 1997 $158,000


96-7.097-4.0

UrbanPlanning


Develop linkages with New YorkCity through technical assistanceactivities based on GIS capabilityof the Graduate Program inUrban Planning.

Funded Proposals: Edna McConnell ClarkFoundation $162,000 for Homeless Survey;Enterprise Foundation $35,000; MirandaFoundation $5,000; Edna McConnell ClarkFoundation Neighborhood Partners Initiative$230,000; HUD OPD&R $98,280 to developland-use strategy for Camden NJ Waterfront.

Proposals Not Funded: NTIA TIIAP$450,000; National Spatial DataInfrastructure (HUD) $25,000.

Other Income: GIS Training Program,$7,500.

The Neighborhood PartnersInitiative of the Edna McConnellClark Foundation furtherstrengthened UTAP’s relationshipwith community-basedorganizations in Harlem and theSouth Bronx.

Empowerment ZoneMonitoring and AssistanceProject (EZMAP)FY 1995 $50,000FY 1996 $50,000FY 1997 $68,549


Other CU Investments:University Development FundFY 1997 $106,000

95-13.096-29.097-22.0

Architecture,Planning andPreservation

Pilot Project Support development of strategicplanning entity to support theNew York City EmpowermentZone.

Funded Proposals: Ford Foundation$800,000 core funding for FY 1995-1996and approximately $800,000 for FY 1997-1998. Annie E. Casey Foundation $200,000in FY 1995 and $100,000 in FY 1997 forWhite House EZ conferences.

Renewal funding for an additionaltwo years of UMEZDC supportactivity has been approved by theFord Foundation.


x


SIPNO.

ACADEMICUNITS

PROJECTTYPE


STATUS

Center for Urban PolicyFY 1995 $50,000FY 1996 $50,000


UDF SIPA,Barnard

Team Building Support development of urbanpublic policy agenda involvingthe broader university, withspecial attention to policyresearch and evaluation related toNew York City EmpowermentZone.

Funded Proposals: Barnes & Nobel,McAndrews & Forbes Holdings, HarmonFoundation, Wortheim & Schroder, Samueland May Rudin Foundation, Time Warner -1st David Dinkins Forum $200,000; HUDCOPC/CCNY Subcontract $140,250; FordFoundation - New Voice in State FiscalPolicy $66,000; Chase Manhattan BankFoundation, NYNEX, Schroder Wertheim &Company and Harmon Foundation - 2ndDavid Dinkins Forum $30,000; New YorkCity Victim Services Agency $24,000;European Commonwealth Fund $5,000;Harmon Foundation $52,000; HUDHomeless Study $130,000; HUDCommunity Outreach Partnership CenterRenewal Subcontract $25,000; other events-based funding $72,000; Simon WeisenthalCenter/Levi Strauss Foundation $50,000;New York Community Trust $1,000; Local1199, NYS and NYC Political ParticipationSurvey $100,000; U.S. Department ofJustice $85,462; Upper ManhattenEmpowerment Zone Development Corp$93,306; Lazarsfeld Center for the SocialSciences $1,500; HUD Continuum of Care$17,185.

Proposals Under Development: New YorkCommunity Trust $19,145; HUD FederalEmpowerment Zone-University InformationExchange Network.

Proposals Not Funded: HUD EmpowermentZone/Enterprise Communities evaluation($6,000,000).

Center supported interdepartmentalresearch conferences andcurriculum development. Theircurrent focus is projectdevelopment.

SIPA/UN Habitat ProjectFY 1998 $25,000

External Funding: $25,000

98-34.0 SIPA, Centerfor UrbanPolicy

Pilot Project To establish at Columbia aninternational clearinghouse oninnovative approaches to urbanissues.

Funded Proposals: Ford Foundation PlanningGrant $25,000.

UN entered partnership agreementwith Columbia; initial planning grantfunds received. Development ofbroader proposal underway.

xi

Columbia Earth Institute (Global Systems Initiative)+

+ Over the course of FY 1996 and FY 1997, the University has been in the process of transforming the Global Systems Initiative into the Columbia Earth Institute, a formalized academic umbrella.


SIPNO.

ACADEMICUNITS

PROJECTTYPE


STATUS

Center for EnvironmentalResearch and Conservation(CERC)FY 1994 $50,000FY 1995 $150,000FY 1996 $150,000FY 1997 $150,000

Other CU Investments:University Development FundFY 1997 $135,941,University Capital Budget


Gifts Fundraising: $350,000

94-7.095-4.095-5.096-16.097-7.0

Anthropology,Biology,Mathematics,PublicHealth,Business,SIPA, Dept.of Earth &Environmental Sciences,Law,Barnard,HealthSciences,LDEO


Build self-contained centerfocused on biodiversitymanagement and systems science.

Funded Proposals: Kann RasmussenFoundation $6,000,000 core funding;MacArthur Foundation $150,000; EPAConference Grant $25,000; NSF BiologicalField-Station $200,000 (Black Rock Forest);Golden Family Foundation $350,000; Giftsand donations $350,000 (including $100,000from Joseph Ellis for undergraduatescholarships); NSF Molecular Systematics$305,561.

Pending Proposals: NSF Restoration ofTree Species Diversity $397,939; WorldBank $2,125,000; Washington DCFoundation $3,920.

Proposals Not Funded: NSF MajorResearch Instrumentation $2,000,000.

CERC has been established inSchermerhorn Extension, andexpects to expand over FY 1998.Funded extramural grants, and 13undergraduate summer interns.Ph.D. program, certificateprograms, CC major and summerhigh school program continues.M.A. program and mid-careerprograms currently in development.

Biosphere 2 Science PlanningFY 1995 $60,000


Other CU Investments:University Development FundFY 1996 $675,000, FY 1997$496,067.

95-6.0 LDEO, GISS Teambuilding Develop rigorous, ongoingscience program that capitalizeson the unique opportunitiesprovided by the Biosphere2research facilities.

Funded Proposals: E.P. Bass ($15,000,000research/ education grant, $15,000,000, B2operations grant, $10,000,000 facultydevelopment grant, $10,000,000 generalsupport grant, $2,500,000 capitalequipment). Space Biosphere Ventures$100,000.

Proposals Not Funded: National Institute forGlobal Environmental Change $97,000;NSF $469,247.

Procuring Federal funding forresearch is a top priority.

Earth Complexity InitiativeFY 1994 $115,000

Other CU Investments:University Capital Budget


94-6.0 LDEO,Chemistry,SEAS


To develop visualizationcapabilities for earth processessuch as chemistry and earthscience, using massively paralleltools.

Funded Proposals: IBM $2,000,000 forIBM SP2; NSF $500,000.

IBM SP2 parallel machineinstalled. Initiative has undergoneredefinition; the Center for Non-linear Earth Systems formallyestablished.


xii


SIPNO.

ACADEMICUNITS

PROJECTTYPE


STATUS

Earth Engineering CenterFY 1995 $20,000FY 1996 $40,000

Other CU Investments: LDEO;SEAS; Krumb School of Mines

External Funding: $37,000

95-31.096-34.0

LDEO,SEAS, UrbanPlanning


Develop research around themeof industrial ecology (sustainabledevelopment of materials andresource flows).

Funded Proposals: Dibner Fund forindustrial ecology research $25,000; Privategift $12,000.

Pending Proposals: NSF - UndergraduateProgram on Earth Resources Engineering$487,000; New York State Science andTechnology Foundation - Participation inproposal for Center for AdvancedTechnology on Materials Processing andRecycling $0.5 million (to be matched byindustry); United Nations and Philippines -Building Blocks and Structure fromIndigenous Materials $50,000; 2 pre-proposals to the Hudson River Foundation.

Proposals Under Development: NASA -Satellite Data in Coastal ManagementStudies.

Proposals Not Funded: EPA/NSF WaterResources Program $189,000; HudsonFoundation $85,000; Lucent TechnologiesFoundation $50,000; Con Edison - Study onResidue Streams from Con Edison Plantsand Industrial Ecology Educational Programfor Con Edison Personnel $100,000;.

Earth engineering concepts arebeing integrated into SEAS courseand degree offerings; researchproposals are pending.

Laboratory of PopulationsFY 1996 $100,000FY 1997 $100,000


96-15.097-10.0

Columbia,RockefellerUniversity

Teambuilding Understand the unique behaviorof human and other populationsand their relationship to theirenvironment.

Funded Proposals: NSF GroupInfrastructure Grant $1,000,000, UCAR$70,000.

A digital map of the world’spopulation was integrated withdigital maps of continentalphysiography to shed new light onthe distribution of humans on theface of the earth.

Environmental SciencesCurriculumFY 1996 $50,000

Other CU Investments: DigitalEquipment $120,000


96-17.0 Biology,Barnard,CERC,GeologicalSciences

Pilot Project Development of a formalcoordination plan is underway forundergraduate environmentalscience core curriculum.

Funded Proposals: NSF EnvironmentalEducation Grants $239,000.

Pending Proposals: NASA $1,212,778;NSF $739,767.

Proposals Not Funded: NSF $255.795.

Completed development of threesemester core curriculum withweb-based support. Proceeding todevelop concept building softwarefor introductory core as well asupper level courses.


xiii


SIPNO.

ACADEMICUNITS

PROJECTTYPE


STATUS

Environmental Research atLDEOFY 1994 $115,000FY 1995 $70,000FY 1996 $70,000FY 1997 $70,000


94-6.195-9.096-18.097-12.0

LDEO Teambuilding Develop geochemical researchcapacity related to water in theenvironment.

Funded Proposals: Keck Foundation$245,000; Hudson River Foundation$15,000; U.S. Geological Survey $430,000(multiple awards); National Oceanic andAtmospheric Administration $25,000;National Science Foundation OCE$185,000; Office of Naval Research$100,000; NSF GER $225,000; NSF OPP$100,000; NASA Fellowship $66,000;University of E. Anglia $70,000.

Proposals Not Funded: Hudson RiverFoundation $160,000.

Significant proposal writing effortswere conducted in FY 1996 and1997 with considerable success.

LDEO-GSI Post-DocFY 1996 $50,000

96-28.0 LDEO Teambuilding Develop interdisciplinarycapability involving naturalscience-social sciences linkages.

None. Candidate is in place and isconducting ocean studies portion oflonger-term climate-socialinteraction studies.

Program On Information andResourcesFY 1995 $65,000FY 1996 $50,000FY 1997 $50,000


95-27.095-27.196-19.097-13.0

BusinessSchool,GSAS

Teambuilding Understand economics related toclimate prediction and developsustainable economic models forvaluation studies.

Funded Proposals: UNESCO Chair$500,000 ($100,000 annually over 5 yearsfrom May 1996); Fields Institute (Canada)$20,000; UNESCO Ecosciences $60,000;GEF $20,000; GEF $50,000; NOAA$27,000 (transferred from CERC); TurnerFoundation $50,000; $145,000 UNESCO($85,000 for IBS activities).

Proposals Not Funded: NSF $296,657.

Integrated CERC, NASA/GISS,GSAS, GSB, and LDEO to performworld class academic research.Led effort to develop an AppliedMathematics Ph.D. program.Established the Institute forBiosphere and Society and aColumbia-MIT-UC Berkeleyconsortium on KnowledgeRevolution.

Center for Environment,Business, and RenewableResourcesFY 1995 $20,000FY 1997 $50,000


95-16.097-33.0

Business Pilot Project Develop paradigm formanagement of global fisheriesand study interaction betweenthese resources and othercommon property resources.

Funded Proposals: NOAA $25,000;William T. Donner Foundation $100,000.

Proposals Not Funded: National MarineFisheries Service $25,000.

Fisheries management projectsubsumed under new Center.Launched programs and researchinitiatives in Fall 1996.

Urban Industrial PollutionFY 1997 $50,000

School ofPublic Health

Pilot Project Address current gaps inknowledge concerning short andlong-term health risks of urbanpollution.

A final proposal will be submitted withinone year to identified funding agencies.

In start-up phase.

EARTH POLICY CENTEREarth Policy CenterFY 1994 $50,000FY 1995 $11,000FY 1996 $202,500


94-2.095-29.096-3.096-14.196-14.296-14.396-14.4

SIPA, GISS,CERC,LDEO,Business,TeachersCollege


Link social and physical sciencesin integrated assessment studiesrelated to El Niño and otherglobal change phenomena.Projects include developedresearch and project planninggrants.

Funded Proposals: NOAA $342,000; PilotIntegrated Assessment NOAA $15,000.

Proposals Not Funded: NSF HumanDimensions Center $2,000,000; NSFMethods for Integrated Assessment$750,000; NSF Environmental ResearchCenter $1,000,000; NSF Human DimensionsPolicy Studies $1,250,000; DOE Methodsfor Integrated Assessment $720,000.

The Center is integrating EarthScientists with Policy Scholarsthrough the Science and PublicPolicy Faculty Seminars;Continued planning for theBusiness Leaders Symposium.


xiv


SIPNO.

ACADEMICUNITS

PROJECTTYPE


STATUS

Global Systems SeminarSeriesFY 1994 $75,000


94-8.1 Business,LDEO, Law,SIPA, PublicHealth, GISS,SEAS,Journalism

Teambuilding Gather representatives fromacross institutions (i.e. Columbiaand the UN) to focus ondevelopment of new models ofsustainability.

Funded Proposals: NOAA Pilot IntegratedAssessment $15,000.

Proposals Not Funded: NSF on SustainableEconomics $450,000.

Successfully completed.

INTERNATIONALRESEARCH INSTITUTEFOR CLIMATEPREDICTION


96-1.0 LDEO Teambuilding Secure major funding forseasonal-to-interannual climateprediction activities at LDEO andScripps Institution ofOceanography.

Funded Proposals: NOAA OGP$18,000,000.

NOAA grant secured. Projectplanning and initiation are wellunderway.

IRI WWW ProjectFY 1996 $71,000

External Support: Portion of$18,000,000 NOAA IRI grant

96-1.0 LDEO,Scripps

Pilot Project Develop WWW Data Library tofacilitate data exchange amongprofessionals studying physical,biological and socioeconomicaspects of climate.

Funded Proposals: Project will receiveportion of $18,000,000 NOAA IRI grant.

Pending Proposals: World MeteorologicalOrganization $50,000; IntergovernmentalOceanographic Commission $50,000; NASA$1,202,778.

The prototype is in the process ofmetamorphosing into an integralpart of the facilities of the IRI.

ENSO-Northern ChileFY 1995 $11,000

External Support: $ 202,000

95-29.0 Anthropology,TeachersCollege

Teambuilding Look at cultural /socialadaptations to ENSO,emphasizing fishing cultures.

Funded Proposals: NSF HDGC $190,000;DOD National Security Education Program$12,000.

Pending Proposals: NOAA HDGC.

Proposals Not Funded: NSF $150,000.

Project folded into the Earth PolicyCenter in 1996.

Climate & SocietyFY 1996 $80,000FY 1997 $150,000

96-27.097-14.0

LDEO Teambuilding Translate climate prediction skillinto a form useful to policy anddecision makers.

Funded Proposals: Project will receiveportion of $18,000,000 NOAA IRI grant.

Research is underway.

University Consortium forOcean SystemsFY 1993 $60,000

External Support: 6,981,294

93-2.0 LDEO,SIPA, ScrippsInstitute ofOceanography

Teambuilding Models of inter-institutionalresearch cooperation on theproblems of coupling betweenocean and atmosphere.

Funded Proposals: Subcontract on ScrippsConsortium Proposal $5,187,173 (1994-1996) and $1,794,121 (1997).

A renewal contract for anadditional three years is undernegotiation with NOAA; a revisedresearch agenda is currently beingdeveloped.

School/Institute Investment

xv


SIPNO.

ACADEMICUNITS

PROJECTTYPE


STATUS

HEALTH SCIENCESINITIATIVESMedical School Health SciencesProjectsFY 1994 $680,000FY 1995 $1,000,000FY 1996 $1,000,000FY 1997 $1,250,000


94-13.095-20.096-23.097-5.0

HealthSciencesDivision,MedicalSchool

Teambuilding Provide seed funding for researchinitiatives that represent newfields of entry or will enhanceresearch competitiveness.

Constructing Normalized DNA Librariesfrom Human Tissues (SIF $40,000)Funded Proposals: $1,416,223; NCHGR;$1,128,248 DOE.Pending Proposals: NCHGR $948,722;$1,178,237 DOE.Project Completed FY 1996.

Function of Eukaryotic Organisms in GeneExpression (SIF $91,000)Funded Proposals: $1,710,251 NationalInstitute of General Medical Sciences;$100,000 Irma T. Hirsschl Trust; $165,000grant from the American Health Association;$80,000 March of Dimes; $200,000 PewCharitable Trusts.Project Completed FY 1997.

Function of Ataxia-Telangiectasia Mutationin Developing Organisms (SIF $251,637)Funded Proposals: $249,000 Hoffman-LaRoche; $100,000 Irma T. Hirschl Trust;$165,149 Edward Mallinckrodt, Jr. Foundation.Pending Proposals: Department of the ArmyCareer Award $200,070; Department of theArmy Research Grant $299,175.

Control of Expression of CD4 Molecule(SIF $33,000)Funded Proposals: $100,000 Irma T. HirsschlTrust; $319,000 American Cancer Society;$264,955 Council for Tobacco Research USA,Inc.Project Completed FY 1996.

Cellular Communication (SIF $631,058)Pending Proposals: NIH $1,499,568.Proposals Not Funded: NIGMS $1,483,926;McKnight Endowment Fund for Neuroscience$150,000.

Embryology Laboratory (SIF $457,544)Funded Proposals: NIH NIGMS $912,417;NIH NICHD $781,624; Human FrontierScience Program $95,000.Pending Proposals: NIH Embryonic Polarity$1,589,273; NSF $435,360.

Lab space completed forEmbryology Lab, T-Factor GenesLab. Human Genome Programresearch and grants writingtransferred to Columbia GenomeCenter account. $500,000 of theFY 1997 investment was allocatedto the Genome Project; theremaining $750,000 will beallocated among other existingprojects. Four projects did notreceive continued funding in FY1997: Constructing NormalizedcDNA Libraries from HumanTissues; Function of EukaryoticOrganisms in Gene Expression;Control of Expression of the CD4Molecule; and EmbryonicExpression in Transcription FactorGenes.


xvi


SIPNO.

ACADEMICUNITS

PROJECTTYPE


STATUS

HEALTH SCIENCESINITIATIVES (Cont’d)

Embryonic Expression in TranscriptionFactor Genes (SIF $108,000)Funded Proposals: NIH $174,000; U.S.Army Breast Cancer Research Grant$153,329 (FY 1996); NSF PredoctoralFellowship $43,200.Proposals Not Funded: U.S. Army BreastCancer Research Postdoctoral Fellowship.Project Completed FY 1996.

Human Genome Program (SIF$1,612,000)Funded Proposals: NIH NCHGR $471,636;NIH NCHGR $39,900; NIH NCI $20,000.Pending Proposals: NIH NCHGR $300,000;NIH NCHGR $195,000.Proposals Under Development: NIH NCI$600,000;Biotechnology Contracts $250,000.

Neuronal Nicotinic AcetylcholineReceptors (SIF $195,761)Funded Proposals: Council for TobaccoResearch $56,000; NINDS $1,013,712;NINDS $2,134,899.

Nursing SchoolFY 1994 $20,000


94-13.1 School ofNursing

Teambuilding Aid the development of researchby supporting pilot facultyresearch studies, consultativemeetings, appropriate seminars,and development of submissionsto NIH and foundations.

Testing Strategies to Reduce Diarrhea inPersons With HIVFunded Proposals: NINR $582,542.Proposals Pending: NINR $350,000; BastyrUniversity $50,000.

Certified Nurse Mid-Wives/Home BirthPracticeFunded Proposals: ACNM Foundation$5,000.Proposals Not Funded: NIH NursingResearch.Proposals Under Development: NIHNursing Research.

Feeding Interactions In HIV InfantsPending Proposals: NIH Mentored ResearchScientist $523,666 (resubmission); WilliamT. Grant Foundation $250,000.Proposals Not Funded: Ford MotorCompany Fund; NIH Mentored ResearchScientist $257,845.

Projects Completed.


xvii


SIPNO.

ACADEMICUNITS

PROJECTTYPE


STATUS

SCHOOL OFENGINEERING ANDAPPLIED SCIENCEINITIATIVESFY 1994 $264,086

Other CU Investments:University Development FundFY96 $850,000, FY97$655,000.

94-4.094-4.194-4.294-4.394-4.4

Materials ResearchFY 1994 $150,000

Other CU Investments: SEAS;Chemical Engineering


94-4.0 SEAS Teambuilding Leverage Federal and industrialsupport towards developingColumbia’s scientific andtechnological competitiveness inadvanced materials.

Funded Proposals: Philips Electronics$10,000; NSF Nanoscale Strain Mapping$191,977; NSF Electromigration StrainGradients $43,112; Ford Motor REU$10,000; NSF REU $9,000; IBMPartnership Award $32,000; NSF $346,165;NSF II-VI Laser Diodes $326,751; KullteMaterials Research $15,000 (transferred toIrving Herman); Ford FoundationUndergraduate Research $10,000.

Proposals Not Funded: NSF NanoscaleStrain Mapping $687,000; NSF REU$182,000; Allied Signal REU $10,000; NSFNanoscale Strain Mapping $203,000; DOENanoscale Strain Mapping $377,000;Semiconductor Research Corp. $50,000;Oak Ridge National Laboratory $78,000;NSF Materials Research Science andEngineering Center $4,747,000; ExxonR&D Research Experience forUndergraduates REU $10,000; EnergyConversion Devices REU $10,000; GeneralElectric R&D REU $10,000; Philips II-VIMaterials Research $25,000; NSF ElectronMicroscopy Instruction $100,000.

Project Completed.


xviii


SIPNO.

ACADEMICUNITS

PROJECTTYPE


STATUS

Laser Material ProcessingFY 1994 $65,000

External Support: $364,034Equipment donations valued at$120,000

94-4.2 MechanicalEngineering

Pilot Project Startup funding for a new facultymember performing research inthe area of advancedmanufacturing technology andlaser material processing.

Funded Proposals: Solar Instruments$12,500; NSF $206,300; Vertex Int’l$45,000; NYNEX $83,510; Brown andSharpe $8,474; Cordis Co. $8,250.Equipment donations: AIC, Inc. $75,000;Systems Modeling Co. $15,000; PennResearch Co. $30,000.

Pending Proposals: NSF $257,073.

Proposals Under Development: ONRIndustrial Program.

Proposals Not Funded: NSF $89,580; NSF$294,918; ARPA $582,602; DOD $152,000;SBIR $64,294; NSF $60,000; NSF $75,060;NSF $265,052; NSF $350,979; NIST$1,001,109; NSF $45,500; NIST$1,749,987.

Funding received from NSF.Patent application was filed.Research is ongoing.

Free Radical PolymerizationFY 1994 $6,000


94-4.3 ChemicalEngineering,Chemistry

Pilot Project Provide matching funds for NSFgrant on polymerization theory.

Funded Proposals: NSF Materials R&D$168,000.

Interdepartmental projectintegrating experiment and theory.NSF funding secured.

Barrier Material EngineeringTestingFY 1994 $4,086


94-4.4 KrumbSchool,Engineering

Pilot Project Install testing equipment in theRock Engineering laboratory.

Funded Proposals: Chevron Petroleum$250,000.

Pending Proposals: City of New York;European Community; NSF; EPA; MIT.

Proposals Not Funded: Gas ResearchInstitute.

Working to establish National UserLab for barrier bacterial testing.

Gateway LabFY 1994 $39,000


Equipment Donations Valued atOver $4,000,000

94-4.1 Engineering Teambuilding Established multimedia facility inSEAS and integrate facility intothe engineering curriculum.

Contributions: NSF Gateway Coalition$500,000; Microsoft $4,000; AT&T$125,000; SEAS Alumni Association$40,000 in FY95 & $50,000 in FY 1997.Software contributed by Softimage, I-DEAS,Biosym valued at $2 million. Totalinfrastructure value including SGIs/Onyxapproximately $4 million. Receivedrenewal of NSF Gateway Coalition funding--Columbia funding portion not yetdetermined.

Completed first year of integrationinto SEAS curriculum.

Departmental Investments

xix


SIPNO.

ACADEMICUNITS

PROJECTTYPE


STATUS

BIOLOGICAL SCIENCESCartos II Anatomical SoftwareFY 1994 $64,250

94-1.0 Biology Pilot Project Multimedia approach to buildinga detailed map of the brain forColumbia scientists and widerdistribution.

Pending Proposals: NSF $566,277. Project is essentially completed;CARTOS system available for use.

Immobilized Nucleic AcidFY 1994 $20,000


94-1.1 Biology Pilot Project Detection of nucleic acidsequences through developmentof alternative amplificationmethod.

Proposals Funded: NIH $234,087. Additional external funding will besought for the continuation ofefforts to develop a highly sensitiveamplification method for thedetection of specific nucleic acidsequences in situ.

ECONOMICSForeign Economics ResearchDevelopmentFY 1994 $11,000


94-15.0 Economics,CERC,Sociology


Seed funding for development ofproposals in public finance andlabor economics using appliedresearch and stronginterdisciplinary links witheducation, public andinternational affairs, CERC, andbusiness.

Funded Proposals: Chazen Foundation$8,000; Spencer Foundation $12,000;Canadian Government $6,000; NIA RANDFellowship $55,000.

Pending Proposals: NIA “Health InsuranceChoices of Older Americans” $850,000.

Project leader spent a year at theRAND corporation and plans tospend FY98 on leave at the MilkenInstitute developing a database foranalysis of financial markets.

Social Science ComputingCooperativeFY 1996 $110,000


Other CU Investments:Department of Economics,Department of Sociology, Officeof the Vice President

UDF Economics,Sociology

CenterDevelopment

Develop enhanced computationalcapacity to support quantitativeresearch involving large datasetsin economics, sociology, andother social and policy sciences.

Funded Proposals: NSF AcademicResearch Infrastructure $84,600.

Pending Proposals: NSF-CCD $121,462.

Proposals Under Development: NSFSpecial Instrumentation and NSF OSTI.

Moved systems into the InterchurchCenter, setup servers and networks,loaded software, and added useraccounts.

Intellectual PropertyAssessmentFY 1995 $10,000FY 1996 $31,700FY 1997 $14,000


95-22.096-31.097-37.0

SIPA Teambuilding Examine patterns of patents inuniversity biomedical researchthrough scrutiny of records ofColumbia’s research projects ofthe last quarter-century.

Funded Proposals: Robert Wood JohnsonFoundation; Mellon Foundation $500,000.

Personnel selections made. Projectis underway.

OECD Countries-Fiscal PolicyFY 1997 $5,000

97-32.0 Economics Pilot Project Study fiscal policy in OECDcountries to draw conclusionsfrom past fiscal consolidations inorder to develop future policy.

Pending Proposals: NSF "Determinants andEffects of Fiscal Consolidations” $186,584.

Completed first study ofmacroeconomic developments inOECD countries; begun datacollection for additional projects;submitted first proposal.

Center Development

xx


SIPNO.

ACADEMICUNITS

PROJECTTYPE


STATUS

New Media Technology CenterFY 1994 $484,732 (Advent)FY 1995 $50,000FY 1996 $50,000

Other CU Investments:University Capital Budget


94-9.095-19.096-21.0

SEAS,Journalism,Business,TeachersCollege


Support proposal for NSFEngineering Research Centerfocusing on new mediatechnology development.

Funding To Date: Support from industrialsponsors $1,200,000 FY 1994; $1,380,000FY 1995; $1,560,000 FY 1996.

Proposals Under Development: NSFEngineering Research Center for more than$25,000,000 plus matching.

Proposals Not Funded: NSF EngineeringResearch Center “Image Technology forNew Media” $12,500,000.

ATM network testbed deployed.Made final round on NSFEngineering Research Centercompetition in FY 1996;Submitting for FY 1998.

Materials Research CenterFY 1994 $50,000

Other CU Investments: SEAS,Arts and Sciences


94-3.0 ElectricalEngineering,AppliedPhysics,ChemicalEngineering,Chemistry,HealthSciences


Interdisciplinary materialsinitiative to determine areas forlong term research development.

Funded Proposals: U.S. Army ASSERT$120,000; NSF Materials Research$300,000; Army JSEP $1,010,173.

Pending Proposals: Pre-proposals NSFMRSEC $9,606,731; Pre-proposal NSFIGERT $2,574,375.

Proposals Under Development: Pre-proposal for NSF/DOE EnvironmentalMolecular Science Institute.

Proposals Not Funded: NSF MaterialsResearch & Engineering Center $3,376,152;NSF Materials Research & EngineeringCenter $4,744,350.

Proposal activity has increased;Two new faculty members havebeen hired and a third NSFMSREC is pending.

Center Development

xxi


SIPNO.

ACADEMICUNITS

PROJECTTYPE


STATUS

Polymer Research CenterFY 1995 $50,000FY 1996 $10,700


95-17.096-38.0

Chemistry,ChemicalEngineering

Pilot Project &Center Design&Development

Formalize organization ofpolymer research and educationefforts between the departmentsof Chemistry and ChemicalEngineering through teams ofjunior and senior researchers.

Funded Proposals: NSF IUCRC PlanningGrant $10,000; NSF Engineering “Dynamicand Non-equilibrium Aspects of PolymerAbsorption” $335,000; NSF Chemistry “TheMechanism of Free Radical Polymerization”$275,000.

Pending Proposals: New York State Centerfor Advanced Technology Initiative “Studiesof Polymer-Based Liquid Quartz AlignmentLayers” $125,000 and “Development ofSensors Based on Quartz CrystalMicrobalances” $20,000; DOE BESDivision “Surface and Interface NeutronSpectrometer at Los Alamos NeutronScattering Center” $3.6 million; NSFEngineering Division “SynergisticInteractions Between Additives DuringCopper Electrodeposition" $375,000.

Proposals Not Funded: New York StateCenter for Advanced Technology Initiative“Development of Sensors Based on QuartzCrystal Microbalances” $20,000; NSF MajorResearch Instrumentation Program$870,000.

This project has stimulated thesubmission of eight grants over thepast two years, three have beenawarded, two refused, and theremainder are under review.

4D TechnologiesFY 1994 $10,000


94-18.0 LDEO Teambuilding Team with other academicinstitutions and privatecompanies to develop ultra deepwater oil basin imagingtechnologies

Funded Proposals: DOE ACTI Programbased on Perdido Ultra-deepwater Project$55,000; Columbia-Cornell Timing andMigration of Subsalts $30,000; Oil companycontributions to 4D Consortium, led byLDEO, total $720,000. Computer companiescontributions; Western Atlas InternationalResearch Agreement $4,000,000.

Proposals Not Funded: DOE ACTI ProgramPerdido Ultra-deepwater Project $40.8million ($20.5 DOE; $20.8 oil companies);NSF $1,500,00; NIST ATP white papers;DOD/ARPA MURI.

4D Seismic continues to develop asa new standard for improvingdrainage efficiency of oil and gasfields. The analysis of more than20 oil fields in the Gulf of Mexicoand North Sea have beencompleted.

Center for Applied ProbabilityFY 1994 $30,000FY 1996 $30,000FY 1997 $35,000

Fundraising to Date:$1,024,000

94-11.096-30.097-20.0

Statistics,GSB,Chemistry,ComputerScience,SEAS,LDEO,Mathematics,Mining,Physics


Create a cross-disciplinarycenter/laboratory involving abroad base of departments toexamine applied probability.

Funded Proposals: Won NSF GroupInfrastructure Grant $1,000,000 (FY 1996),with $210,000 university match. Otherfundraising includes income fromconferences, about $8,000 annuallybeginning in FY 1993 (approximately$24,000 to date).

Activities are being scaled upunder the impetus of the large-scale NSF support.

Center Development

xxii


SIPNO.

ACADEMICUNITS

PROJECTTYPE


STATUS

Columbia Genome CenterFY 1995 $500,000FY 1996 $750,000FY 1997 $750,000

Other CU Investments: HealthSciences $1,612,000


95-32.096-8.097-1.0

Biology,Anthropology,ComputerScience,SEAS,Biochemistry,Microbiology,Genetics,Pathology,Medicine

Teambuilding Create a university-wideinterdepartmental unit dedicatedto research based on genomics,including mapping, sequencingand gene discovery of humansand selected model organisms.

The following includes total extramuralfunding from all sources, government andprivate, for the following activities:

TechnologyPhysical Mapping $74,401cDNA Library $891,982Molecular Information $698,574Administration $150,000

Projects6q (Cancer) $237,968Alzheimer’s $97,905Cowden’s $398,852Glaucoma $210,000Biopolar $629,444Epilepsy $118,189

VIMRx Pharmaceuticals, Inc. (Pending)$30,000,000 5-Year Contract with VIMRxfor CGI-related projects.

Major funding for Center securedwith VIMRx Pharmaceutical, Inc.contract. The contract will supportcompletion of consolidatedlaboratory construction as well asresearch.

Arcsecond FigureMeasurement ThroughOptical MetrologyFY 1997 $22,100

97-47.0 Physics Pilot Project Construct a precision measuringengine which can be used tocharacterize the surface figure ofx-ray optics.

None. The design of the system wasfinalized and procurement ofequipment has begun.

Center Development

xxiii


SIPNO.

ACADEMICUNITS

PROJECTTYPE


STATUS

BIOMEDICALENGINEERINGCenter for BiomedicalEngineeringFY 1995 $85,000FY 1996 $100,000FY 1997 $100,000

Other CU Investments:Provost’s Investment Fund$500,000

External Support: $14,355,139from December 1995 to July1997

95-30.096-22.097-19.0

SEAS, P&S,HealthSciences


Creation of a new unit ofBiomedical Engineering thatlinks Engineering and HealthSciences.

Funded Proposals: Whitaker FoundationSpecial Opportunity Award $1,000,000;NSF Rapid Prototyping equipment $90,000;NIH Mechanical Stimulation OfCartilaginous Gene Expression $420,000;NIH SCOR $5,080,551; NIH R01 Mechano-Electrochemical Properties of Cartilage$748,000; NIH R01 Biomedical Factors inthe OA of the Shoulder $1,377,118; NIHR01 Etiology of CMC Joint Osteoarthritis$763,735; NIH FIRST Biotribology ofDiarthrodial Joints $566,513; NIH R01Wound Healing in the Cornea $256,335;NSF Model-Based Sensor Planning$294,000 DARPA ASSERT $152,000;Orthopaedic Research and EducationFoundation $90,000; NSF-WhitakerFoundation $400,000; Whitaker FoundationBME Awards $824,975; NSF TheoreticalStudies of Membrane Proteins $374,250;NIH Computer Studies on Protein Structure$790,775; NSF Rapid ComputationalAnalysis of Biomolecular Properties$360,000; DOE $210,900; US Army$351,391; ARO ASSERT $107,129; ONRASSERT $97,467.

Proposals Under Development: WhitakerFoundation Development Award andLeadership Award Proposal totaling$8,000,000 (including matching funds fromColumbia).

The Center has enabled thebeginnings of the development of avery large, active, cohesive andstrong multi-disciplinarybiomedical engineering program atColumbia, spanning academic unitsat the Morningside Heights andHealth Sciences Campuses.

Magnetic Resonance ImagingResearchFY 1995 $90,000

Other CU Investments: SEAS


95-25.0 Radiology,ElectricalEngineering

Pilot Project Link Engineering with Radiologyin the area of imaging.

Pending Proposals: NSF Career Award$75,000; Whitaker Foundation BiomedicalEngineering Research $210,000; NIHResearch Grant R01 $1,143,029; NSFAdvanced Magnetic Imaging Technology forBiomedical Engineering Research andEducation $330,000.

Proposals Under Development: NSFCombined Research-CurriculumDevelopment Program $400,000; NIHHuman Brain Project; NIH Cardiology;Whitaker Foundation Special OpportunityAward $1,000,000.

Coil component complete. Imagingportion is underway.

Interdisciplinary Conferences

xxiv


SIPNO.

ACADEMICUNITS

PROJECTTYPE


STATUS

Conference on CongestionPricing in TransportationFY 1997 $5,000


97-46.0 SIPA Pilot Project Organize a discussion oncongestion pricing intransportation in honor ofWilliam Vickrey.

Funded Proposals: Andrew MellonFoundation $15,000.

The Mellon Foundation provided$15,000 to archive WilliamVickrey’s papers.

Materials and MolecularChemistry Seminar SeriesFY 1994 $5,000

94-8.0 Chemistry,PhysicalSciencePh.D.s

Pilot Project Encourage interdisciplinaryresearch and foster ties with localindustry.

Chemistry conducts fundraising to supportthe series.

Project is now self-sustaining fromDepartmental resources.

Biology/Chemistry SeminarFY 1995 $5,000

95-21.0 Chemistry,Biology

Teambuilding Encourage interdisciplinaryresearch at the graduate studentlevel.

None. The first successful season wasconcluded. SIP support ended inFY 1995.

Polymer & Interface ScienceSeminar SeriesFY 1995 $8,000

95-18.0 Chemistry,ChemicalEngineering

Teambuilding Seminar program in polymers topromote outside visibility for thePolymer Research Center.

None. The seminar series has featureddistinguished speakers from majorresearch laboratories and hasattracted faculty and students fromchemistry, physics and engineering.The series will continue during theacademic year 1997-1998.Funding was denied for a fourthyear; project completed.

Graduate Seminar Series inChemistry/BiochemistryFY 1994 $3,000

94-8.2 Chemistry,Biology,Biochemistry

Teambuilding Foster communication andcollaboration between graduatestudents in Chemistry, Biologyand Biochemistry.

None. This series continues to promotecloser relationships between thedepartments. Project completed inFY 1995.

Seminar on Gender StudiesFY 1994 $8,000

94-16.0 English Pilot Project Interdisciplinary center to studyand advance the role of feministthought as an influence incultural study and culturalpractice.

None. Project completed in FY 1995.

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Virtual Information InitiativeThe goal of the Virtual Information Initiative is to establish mechanisms for cooperation that will extendColumbia's competence in all areas of multimedia teaching, learning, and research and positionColumbia as one of the leading national institutions for the social applications of networking technology.The Virtual Information Initiative has established strong, supportive relationships among faculty andstaff from throughout the university, and as such has enhanced interest in and the ability to conductinterdisciplinary projects. SIP investment supports research and development, fundraising, and outreachto potential partners both internally and externally.

Areas of investment to date have included the following principal focus areas: pilot installation ofmultimedia classrooms on Morningside Campus; development of a digital library prototype and relatedcomputer science and engineering research; development of a center for engineering research onmultimedia network technology; and establishment of multiple educational technology testbedssupporting applications for K-12, undergraduate, and graduate instruction and academic researchinvolving the sciences, arts and humanities.

∗The Multimedia Classrooms Pilot Project Academic Information SystemsFY 1993 $40,000 Office of Project Development

Project Description and Goals: The Multimedia Classrooms Pilot Project was a precursor to the currentuniversity-wide Multimedia Classrooms Initiative. The pilot project established two experimental multimedialocations on Morningside Campus, including one electronic classroom and one electronic seminar room. The goalof the experiment was to test whether the availability of multimedia facilities would increase the use of multimediatools in classroom instruction and business meetings and to evaluate the effectiveness of the facilities. Previouslymultimedia tools had been available for use at Columbia only in computer laboratories or as part of a laboriousequipment loan process. With the dramatic increase in the availability of high quality information throughelectronic networks, the Multimedia Classrooms Pilot Project was viewed as an important first step towardincreasing use of multimedia resources to improve classroom instruction. A number of multimedia classroomshave been constructed and/or renovated in a collaborative effort involving AcIS, the Office of the Registrar, andFacilities Management under the auspices of the Multimedia Classroom Committee. These classrooms may bereserved as the regular class meeting place or for individual class sessions. The classrooms are designed toaccommodate a variety of technological needs. All classrooms have connections to the campus ethernet network.The expanded multimedia classrooms program provides facilities for other Virtual Information Initiative Projects,including Chemistry Classroom for the Future, the Media Center for Art History, and Gateway Lab.

Status and Accomplishments

FY 1994: A classroom in Fayerweather and a meeting room in the Faculty House were set up for a demonstrationbeginning in January of 1993. The rooms were equipped with MacIntosh and DOS microcomputers that wereconnected to the Internet, and audio and video equipment including an LCD projection panel capable of displayingfull-motion video. AcIS provided support for both rooms for the following year to assist instructors in developinglessons using the equipment, including demonstrations, tours, and tutorials. At the end of this time the project wasevaluated for appropriateness and reliability of the equipment, ease of use, and level of faculty and studentsatisfaction. Student and faculty evaluations pointed to an increased need for this type of facility.

FY 1995-FY 1997: The Multimedia Classrooms Initiative has provided continued University support forclassroom additions following completion of the pilot project. To date there are 19 available locations, including15 rooms and 4 equipment carts. Use is measured in terms of sessions per week and has been steadily increasing.

∗Asterisk indicates that Strategic Initiative Program project receives additional support from other Columbia Universityinvestment funds (see Table 1 for other investment information).

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Semester Spring1994

Fall1994

Spring1995

Fall1995

Spring1996

Fall1996

Spring1997

Rooms 1 5 7 11 12 15 15Carts 0 1 2 4 4 4 4Sessions Per Week 11 40 80 116 180 217 222

Both AcIS and the Institute for Learning Technologies have conducted periodic evaluations of the classrooms.Additions to the classrooms will likely be halted during the summer of 1997 in order to allow for a more extensiveevaluations of and improvements to existing classrooms. Evaluation factors include rooms’ capacity to handleinstruction demands (e.g., adequate hardware); faculty and student satisfaction; environmental factors; ease of use;and security.

Project Completed FY 1994

Project Leader: Vace Kundakci, Deputy Vice President, Academic Information Systems

*The Institute for Learning Technologies Teachers CollegeFY 1993 $20,000FY 1994 $70,000FY 1995 $150,000FY 1996 $150,000FY 1997 $200,000

Project Description and Goals: The Institute for Learning Technologies (ILT) is an effort to focus the variouscapacities of the university on projects aimed at reconstructing educational practice at all levels through the use ofdigital technologies. Several fundamental hypotheses about the long-term cultural effects of digitalinformation technologies inform ILT’s planning. These hypotheses are framed by combining a historicalexamination of how changes in communication have conditioned cultural and educational developmentswith a sustained reflection on experience working with interactive media as agents of cultural andeducational change:− Communications changes that affect the way people create knowledge have deep effects on education.− Digital technologies and wide-area networks exist to facilitate the advancement of learning through

more effective research and communication.− Digital networks develop towards a telos in which any person at any place at any time can actively

employ any cultural resource they may wish to use.− Centers of intensity and convenience will continue to be essential in distributed cultural environments,

and major cities and campuses will grow in importance as nuclei of cultural activity.− Universities will remain pre-eminent institutions for creating knowledge and professional skill, and the

use of digital technologies in education will bring K-12 education into closer, substantive interactionwith higher education, particularly with the research universities.

− Effective introduction of technology in education will occur by using it to advance other educationalreforms, such as pursuing accelerated learning, constructivist curricula, authentic assessment, smallschools reform, and standards-based reform.

− Within popular culture, interactive media will de-emphasize the power of passive entertainment andwill encourage people to involve themselves in pursuits that require their active engagement.

In the context of these hypotheses about the long-term, historical influence of the new media, the Institutefor Learning Technologies pursues a comprehensive program of practice using digital technologies tostrengthen humane educational aspirations. The majority of ILT’s effort addresses the needs of K-12education; the remainder higher education. While at both levels ILT explicitly addresses issues of formaleducation, ILT recognizes that formal education is embedded in a larger milieu of informal education,attention to which is an integral element of effective action on formal education. ILT’s program of practicehas four main divisions: infrastructure, curriculum, professional development, and assessment.

Infrastructure. In the long run, each school and university should take responsibility for developing aneffective digital infrastructure, and ILT expects to phase developing infrastructure out of its mission. In theimmediate future, however, good infrastructure is a necessary condition for work in curriculum,professional development, and assessment. ILT often needs to take the lead in the design andimplementation of digital infrastructure in schools. By developing infrastructure, ILT aims to promoteeffective educational use of digital technologies and in particular to make advanced uses of thesetechnologies in higher education available to students in elementary and secondary schools. Towards thisend, the Institute is developing a large-scale R&D testbed linking Columbia with approximately 100

3

selected schools, primarily small, inner-city public schools. This testbed should be at the leading, practicaledge of the innovation curve. The Harlem Environmental Access Project, the Living Schoolbook Project,the Reinventing Libraries Project, and the Eiffel Project all have had important components contributing tothis infrastructure development effort. A significant component of ILT’s staff, specialize in ourinfrastructure development work.

Curriculum. Prior to the digital technologies, the intellectual resources of higher education were materiallybeyond the reach of elementary and secondary schools. Research libraries and laboratories were soexpensive and so difficult to maintain that only small, specially trained, academic elites could have regularaccess to them. Digital access is now bringing those libraries and laboratories to the desktop in everyschool, potentially with profound, transformative effects on the curriculum. ILT’s primary mission is todevelop the educational opportunities that result from this fundamental change in the intellectual constraintsconditioning educational work.

In pursuit of this mission, ILT is sustaining three broad areas of curricular initiative with respect to subjectmatter:− The Study Place, which includes a range of curriculum initiatives in the humanities and social sciences

that aim at the transformation of general education opportunities in K-16 education;− The Earth Curriculum, which aims to develop a complete educational experience that will help people

exercise foresightful responsibility for the effects that human activity has on the natural order and thesustainability of our well-being within it; and

− The Curriculum Navigator, which is a World Wide Web resource that links standards-basedcurriculum reforms to the Internet, providing teachers at all levels in all subjects with digital tools thatthey will immediately recognize as unique and helpful.

In addition to these subject matter initiatives, ILT is pursuing two lines of curriculum reform promotingextensive interaction across traditional institutional cleavages:− University and school interactions, through which ILT can change the constraints on educational

attainment by developing practical pedagogies that capitalize on broadened access to advanced culturaland scientific resources.

− University and community interactions, through which ILT can change the sociological patterns ofparticipation in research and scholarship, broadening the benefits derived from these activities and thesupport for their pursuit.

Professional development. As the infrastructure and content of education change, so should theprofessional preparation of educators. Important elements of ILT’s activities address issues of professionaldevelopment. At its most immediate level, appropriate teacher training is an essential aspect of theinnovation process. Hardware and software is a meaningless waste unless it is put into use, and for that tohappen teachers need assistance in understanding how to make effective use of new technologies. Throughthe infrastructure and curriculum development projects, ILT seeks specifically to provide timelyprofessional assistance and The Curriculum Navigator should serve as a resource of great value in helpingteachers grasp the potential uses of wide-area networking in their classes. As an outgrowth of theseactivities, ILT will contract with school districts and systems to provide Internet-oriented professionaldevelopment services. At a more extended level, the new technologies have the potential to alterpedagogical norms significantly and with it the practices characteristic of the educational profession. ILTseeks to understand these changes and to lead in the concomitant restructuring of the education ofeducators. Towards this end, ILT is working to develop just-in-time professional development services tobe delivered at a distance over the World Wide Web and are cooperating with programs at TeachersCollege to design fieldwork and apprenticeship components in the general restructuring of professionaldevelopment for educators.

Assessment. ILT assesses efforts to use technology in education and it works to develop new ways toassess the performance of students in technology intensive programs.

In addition to its project work in the areas of infrastructure development, curriculum, professionaldevelopment and assessment as characterized above, the Institute also sponsors a conference series aimedat bringing together Columbia faculty and staff as well as various private and public technology users anddevelopers in order to facilitate collaborations and new projects. Previous conference series included:Assets & Alliances: Information Technology as the Bridge between Research and Education (February1994); Proof of Concept: Practical and Powerful Alternatives (March 1994); Driving Forces: Dynamicsof Innovation Information Technology (April 1994); Educating America for the 21st Century (Februaryand April 1995); and ILT Spring Columbia Workshop Series: What is Being Done? (January, February,April, and May 1997).

4

Current Collaborators

The following list of collaborators includes only those entities with which the Institute collaborates in acurrent project. That is, collaborators from completed and pending projects are not listed, including thosefrom projects completed during FY97.

Columbia Center for New Media (Journalism) Roosevelt InstituteColumbia University Digital Library Program The Metropolitan Museum of ArtColumbia Center for Information Access Harlem Parents Union Tutorial ProjectThe Gateway Engineering Education Coalition New York Historical SocietyColumbia School of Engineering and Applied Science New Visions for Public EducationColumbia New Media Technology Center New York City Board of EducationColumbia Earth Institute The Teachers and Writers CollaborativeColumbia Multimedia Classrooms Committee Bell AtlanticColumbia Business School The Center for Collaborative EducationDante Society of America Digital Clubhouse NetworkAccess Information Fund Junior Achievement of New YorkThe Black Rock Forest Consortium The NationThe Newburgh Enlarged City School District Eastman Kodak Inc.The ReadNet Foundation AT&TThe Corning School District The Manhattan InstituteNew Technology Collaborative, Inc. Community School Districts 3, 4, 5, and 6Educational Video Center Upper-Manhattan Empowerment ZoneLander Street Partners Advanced Network and Services Inc./ThinkQuestNational Center for Research on Students and Teaching


For the purposes of this report, ILT projects are divided into three categories—completed projects, currentprojects, and pending and future projects. Completed projects listed here are all those completed withinFY97; current projects are all those funded by end of FY97 that remain open; and pending and futureprojects are either those funded after FY 97, those submitted and pending review, or those in activedevelopment.

Completed Projects

− Living Schoolbook Project: September 1994 through August 1996. Principal Investigator: RobertMcClintock, Director, ILT. $293,000 from the New York State Science and Technology Foundation inFY 1995, 1996, and 1997 (total $879,000). Project completed in 1997.

− Harlem Environmental Access Project: November 1994 through April 1996. Principal Investigator:Robert McClintock, Director, ILT. $450,000 from the US Department of Commerce,Telecommunication Information Infrastructure Administration. Project completed in 1996.

− LiveText: Sub-project of Living Schoolbook Project. Supported with $50,000 of funding from LivingSchoolbook Project in FY 1994, 1995, and 1996.

− Oracle Challenge: “Where Are We?” Development Project. Principal Investigator: Kim Kastens,Senior Research Scientist, Lamont-Doherty Earth Observatory. $25,000 grant from OracleCorporation.

− Discovery Web: Vanessa Stevens, ILT Research Assistant. Supported with $20,000 of ILT corefunding in 1994-’96.

− LiveCulture: John Ruttner, ILT Research Assistant. Supported with $20,000 of ILT core funding in1994-1996.

− Gateway Local Evaluation-first 5 years: Josh Reibel, ILT Research Associate. $20,000 from GatewayEngineering Education Coalition (NSF-funded) in 1995; Joshua Reibel, ILT Senior ResearchAssociate, Marianne Bakia and Vanessa Stevens, ILT Research Assistants. $14,800 from GatewayEngineering Education Coalition (NSF-funded) and $5,000 from School of Engineering and AppliedScience in 1996; Marianne Bakia, Francis Huang, and Angela Meyer, ILT Research Assistants.$20,200 from Gateway Engineering Education Coalition (NSF-funded) in 1997.

− Earth’s Environmental Systems Evaluation: Josh Reibel, ILT Research Associate. $17,500subcontract from NSF grant to Columbia Geology Department in 1997.

− WX-BRIEF: Benjamin Bell, ILT Faculty Associate. $23,000 from UCAR Office of Programs throughJune '97.

5

Current Projects

− The Eiffel Project. Co-Principal Investigators: Robert McClintock, Director, ILT, and Heather Lewisand Priscilla Ellington, Co-Directors, Center for Collaborative Education. $7.1 million U.S.Department of Education Technology Learning Challenge Grant for 1997-2001. $1,500,000 in 1997.

− Digital Dante: Jennifer Hogan, ILT Project Producer. Approximately $60,000 from ILT core funds in1997.

− Where Are We Implementation and Evaluation: Co-Principal Investigators: Kim Kastens, SeniorResearch Scientist, Lamont-Doherty Earth Observatory, and Robert McClintock, Director, ILT.$350,000 awarded by Education Directorate of NSF.

− Reinventing Libraries: The Digital Library for Schools. Lee Smith, Access Information Inc., andRobert McClintock, Director, ILT, Co-Principal Investigators. $85,000 from the IBM Corporation for1997.

− The Corning School District Challenge Grant: $100,000 evaluation subcontracts for 1997-2001.$20,000 in 1997.

− ReadNet I: Josh Reibel, ILT Assistant Director. $26,000 evaluation contract from the ReadNetFoundation in 1997.

− Design First: A Multimedia Freshman Engineering Design Experience: Co-Principal Investigators:Morton Friedman, Vice Dean, SEAS, Anthony Renshaw, Assistant Professor, SEAS, and RobertMcClintock, Director, ILT. $99,329 from NSF for 5/1/96 - 7/31/97 (extended to 12/97).

− Technical Assistance for Community School Districts 3, 4, 5, and 6: Shawn Mishler, ILT TechnologyDirector. Approximately $50,000 in consulting and assistance contracts.

− New York State Math Science and Technology Learning Grants: Manager: D'Jvonne David,Professional Development subcontracts from P.S. 128 & P.S. 61. Approximately $15,000 each.

Pending and Future Projects

− Improving Curricula with Advanced New Media Technologies: Co-Principal Investigators: Shih-FuChang, Associate Professor, SEAS, Alexandros Eleftheriadis, Assistant Professor, SEAS, and RobertMcClintock, Director, ILT. $200,000 awarded for September 1, 1997 through August 31, 1998.

− Gateway Local Evaluation-second 5 years: Gateway Engineering Education Coalition was re-fundedfor second five year term. Approximately $20,000 per year to ILT for local evaluation.

− ThinkQuest Evaluation: Josh Reibel, ILT Assistant Director. $30,000 evaluation contract withAdvanced Network and Services awarded 8/97 for evaluation of ThinkQuest competition in academic‘97-’98.

− Product Design for Injection Molding: A Java-based Training Module: Co-Principal Investigators:Anthony Renshaw, Assistant Professor, SEAS, Morton Friedman, Vice Dean, SEAS, and RobertMcClintock, Director, ILT. $143,703 requested for 1/1/98 - 12/31/99.

− Digital Dante: Co-Principal Investigators. Teodolinda Barolini, Professor, GSAS, and RobertMcClintock, Director, ILT. Proposal for $249,650 to the Teaching with Technology Program ofNational Endowment for the Humanities, submitted October 1, 1997.

− The New Deal Network: John Sears, Executive Director, Roosevelt Institute and Robert McClintock,Director, ILT. Proposal for $250,000 to the Teaching with Technology Program of NationalEndowment for the Humanities, submitted by the Roosevelt Institute October 1, 1997.

− The Study Place: Developing On-line Engagements with Cultural Experience: Co-PrincipalInvestigators: Robert McClintock, Co-Director, ILT, and Frank Moretti, Co-Director, ILT. Proposalfor between $800,000 and $1,200,000 to be submitted to the Spencer Foundation in November 1997.

− Columbia New Media Technology Center: Principal Investigator: Dimitris Anastassiou, et al.,Proposal for a 10 year, $200 million Engineering Research Center on New Media submitted to NSFSeptember 10, 1997. ILT will coordinate the educational applications work in this effort.

− The Earth Curriculum: Principal Investigator: Frank Moretti, Co-Director, ILT. Request for$250,000 submitted to the Earth Institute, June 16, 1997.

− Columbia Intel Project: Principal Investigator: Raphael Kasper, Office of the Vice-Provost. Requestfor approximately $3 million in equipment submitted June 30, 1997 to the Intel Corporation. Therequest includes approximately $400,000 for equipment with which ILT would help equip theInterschool Development Lab and ILT's Participatory Design Studio.

− ILT Professional Development Workshops Program: Will offer 26 workshops to superintendents,principles, teachers, technology coordinators, and paraprofessionals beginning 2/98 in partnership withCenter for Educational Outreach and Innovation. Projected revenue: $250,000 on approximately$80,000 costs. Bid submitted on 8/21 to NYC Board of Education to become vendor of these servicesat 20% price reduction for Board.

− Environmental Partnership: Linking Barnard and New York Public Schools with the Biosphere 2Center: Principal Investigator: Sue Sacks, Professor, Barnard College. $23,000 awarded to BarnardInstitute for Urban Education 9/97 for 9/97-6/98; $2,680 sub-contract to ILT for evaluation services.

6

− The Dickens Project: University of California at Santa Cruz to request $250,000 for 1998-99 on10/1/97. $140,000 to go to ILT.

− Worldport-New York Exhibit: South Street Seaport Museum and Barnard College NEH Teaching withTechnology request for $150,000 submitted 10/1/97. If funded Barnard will cost-share evaluationcontract with ILT for approximately $10,000.

− IGERT: Intelligent Multi-Media for Enhancing Research, Science, and Education: Judith Klavans,Director Center for Research on Information Access, Benjamin Bell, Professor Teachers College andILT Faculty Associate, John Black, Professor Teachers College and ILT Faculty Associate, andKathleen McKeown, Professor Columbia, Co-Principal Investigators. $2,654,806 requested on 9/8/97from NSF for 1998-2002.

− ReadNet II: Contract under negotiation for 1998. Approximately $35,000 to ILT for evaluation.− Gould Foundation Testbed Project: Frank Moretti, ILT Co-Director. Request for $4.5 million for

9/98-8/01 submitted 9/97 to support high-end development testbed of 6 schools-3 public, 3independent.

− Technical Assistance for the Metuchen, NJ, School District: Benjamin Bell, Assistant Professor, TCand Faculty Associate, ILT. Approximately $32,000 in consulting and evaluation contracts, includedin Metuchen's proposal for the New Jersey Technology Literacy Challenge Fund.

− New York State Learning Technology Grants: Manager: D'Jvonne David, Professional Developmentsubcontracts from P.S. 155, P.S. 156, & P.S. 173. Approximately $15,000 each.

− Corning School District Goals 2000 Grant: Information about amount requested and status ofproposal unavailable at time of report.

Project Leader: Robbie McClintock, Professor of Educational History, Teachers College

*Chemistry Classroom for the Future (Multimedia & Visualization) Department of ChemistryFY 1994 $25,000FY 1995 $68,000FY 1997 $10,000

Project Description and Goals: The Chemistry Classroom for the Future is a departmental effort to bring aboutimprovements in chemistry instruction and learning, principally through the use of computer-based visualizationtools. Focus areas include general, organic, and physical chemistry. The project is part of a national effort inchemistry curriculum reform being led by the National Science Foundation (“Systemic Changes in theUndergraduate Chemistry Curriculum”). The department’s core effort is the EDISON Project for CommunicatingChemistry (http://www.cc.columbia.edu/cu/chemistry/Edison.html.) The EDISON Project takes advantage ofthe opportunities offered by digital technologies to develop interactive courses built around the use of multimediamodules for communicating chemistry. A principal feature of the EDISON Project is its focus on a learning-based environment in which students aid design of learning modules. A software program called “VizCHEM”(for Visualizing Chemistry) was created by faculty in order to facilitate this student-driven learning process.Technology assessment and evaluation includes activities jointly conceived with the Institute for LearningTechnologies at Teachers College (ILT) with the goal of making technology-based curriculum developmentsignificantly more efficient and effective.


FY 1994: The Chemistry faculty focused on acquiring hardware and facilities and developing software to supportthe effort, including the establishment of two electronic classrooms in Havemeyer. Workshops, seminars, anddemonstrations were held to introduce faculty and students to the classrooms. In the fall of 1993 the teamsubmitted for and was awarded a $50,000 planning grant from the National Science Foundation to support thedevelopment of a major chemistry curriculum reform proposal. The planning grant was secured and subsequentlythe team called an interdisciplinary workshop involving both Columbia University and external scientists,educational experts, and information technology experts in order to stimulate discussion related to pedagogical useof computer visualization methods in chemistry. Subsequently the team submitted a second proposal to the NSFfor a $5 million, five-year curriculum reform effort. The proposal was admitted to a second review round but wasultimately not funded with an advisory to resubmit. The team also developed a Dreyfus Foundation proposal forthe design of animated lectures. In response, Dreyfus awarded a $53,000 grant. Using this as well as NSF andStrategic Initiative Program funding, the Department held its first VizCHEM Workshop in Summer 1994.Twenty student-design learning modules were produced. The modules were distributed among the sciencedepartments of Columbia, Barnard, and Teachers College and to a regional consortium of universities alsoworking toward enhanced curricular methods and materials.

FY 1995: A second VizCHEM workshop was held in summer 1995, producing an additional set of modulesdesigned to improve the quality of instruction delivered by graduate student teaching assistants. The moduleshave proven effective in Columbia classrooms and laboratories and some have been used outside Columbia.

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Results of the EDISON Project delivered at an NSF conference on “Innovation and Reform in UndergraduateScience Instruction” were positively received by scholars from institutions across the nation.

FY 1996: The Department hosted a national American Chemical Society conference for teacher-scholarsinterested in innovation and curriculum reform (“Invigorating General Chemistry,” March 1996). The conferenceshowcased the new “smart” classroom in Havemeyer as well as the recently completed Gateway Lab, anothermultimedia instructional facility located in the Mudd Building of the School of Engineering and Applied Science.The Chemistry Department uses some Gateway Lab facilities as part of its multimedia instructional programs.An experimental section of General Chemistry was taught during the Fall semester in the Gateway Lab. TheGateway/Edison meetings featured interactive, computer-aided problem solving sessions in support of a CD-ROM driven lecture, using Silicon Graphics (SGI) workstations and professional-level software packages,Mathematica for analysis of scientific problems, and SPARTAN and BIOSYM for molecular visualization andsimulations. In April 1996 the Department was awarded a two-year grant from the NSF’s Division ofUndergraduate Education to further support the EDISON Project ($209K).

FY 1997: The Edison Project team is continuing to develop computer-based instructional modules to bothtrain and educate students and faculty on the theory and practice of modern vibrational spectroscopy. Anew release of IR Tutor (v1.1) has been issued to a select group of prior users and first time users as part ofour assessment and evaluation plan. A beta release version based on an extension of the IT Tutor model onthe theory and practice of diffuse reluctance vibrational spectroscopy has been produced and is nowavailable and will be evaluated in Fall 1997 by undergraduate organic chemistry students in the laboratory.Accompanying text materials involving spectral interpretation, a battery of tested experiments andclassroom and laboratory presentation techniques are being developed along with a distribution packageand plan for an instructional package on infrared spectroscopy. By the beginning of 1998 it is expected thata contractual relationship with major commercial publishers for distribution of these modules will be drawnand executed.

The third year of a major experiment in computational chemistry, termed CHEMGATE, for the first yearGeneral Chemistry course (Chem C 1403/C1404) is underway. The team has completed the developmentof original exercises and computer based classroom and homework activities coupled to both terms of thecourse. This ambitious project goes beyond the traditional provision of new software tools for enriching theearly undergraduate experience by providing an opportunity for engineering and chemistry students to workcooperatively and collaboratively in a mode that has been demonstrated to enhance the learning of chemicalprinciples. The project is also intended to catalyze the development of the use of computational chemistryin the upper level chemistry and biochemistry courses.

An electronic counterpart of the course text for Intensive Organic Chemistry for firstyears has beendeveloped and is available on the web: http://www.columbia.edu/itc/chemistry/chem-c3045/. This web siteprovides a computer slide show and enrichment materials available at web sites all over the world of all ofthe materials in the text hyperlinked to each subsection of each chapter in the text.

A proposal has been submitted to NSF for $700,000 for two years to fund a molecular mechanics toolkit,termed MacroModel Mechanic. MacroModel Mechanic is based on MacroModel, a high levelcomputation program developed at Columbia. MacroModel Mechanic consists of interactive tutorials forgeneral chemistry and will be broadly applicable to all undergraduate chemistry courses and high schoolchemistry courses.

Project Leaders: Nicholas Turro, Professor, Department of Chemistry; and Len Fine, Director,Undergraduate Programs and Laboratory Operations, Department of Chemistry

IT Cluster for Math and Sciences Academic Computing and Information SciencesFY 1997 $20,000 Departments of Anthropology, Astronomy,

Biology, Chemistry, Mathematics, Physics,Earth and Environmental Sciences, Psychology

School of Engineering and Applied SciencesTeacher’s College

Project Description and Goals: The Chemistry Department is serving as a "change agent" to catalyze thediffusion of curriculum reform in undergraduate mathematics, science, engineering, and technology(SMET) education through the use of informational technologies (IT). The method for implementationinvolves the creation of an IT Cluster of faculty from the SMET departments to serve as the leaders ofreform within their respective departments. The IT cluster provides a common forum for faculty to shareideas and methods that can lead to the effective use of IT to enhance SMET instruction in the broadestpossible sense. An extensive home page provides detailed information on the activities of the IT cluster:http://www.columbia.edu/itc/.

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FY 1997: The IT cluster was organized in June 1997, held regular meetings during the summer and a twoday workshop in July. The cluster has brought together not only the SMET faculty interested in applyingIT to the curriculum, but also the members of the University employing IT for library services, academicservices (AcIS), advising and assessment. The structure involves members of the Chemistry Department aschange agents and organizers of the IT Cluster, members of each science department in A & S and severaldepartments in the School of Engineering as point persons who will provide the leadership in theirrespective department for the use of IT in curriculum reform. Each point person is assigned anundergraduate or graduate fellow to assist in achieving the IT goals or projects. By the end of the summer adozen projects involving the use of IT had been initiated and produced significant results. The projects willbe continued during the academic year 1997-1998. A proposal titled “Reform of SMET Instructionthrough the use of IT” will be submitted to the NSF for $200,000 for a two year period to fund the use of ITto enhance SMET instruction at Columbia.

Project Leader: Nicholas Turro, Professor, Department of Chemistry

*Mathematica Department of MathematicsFY 1995 $15,000 Department of Chemistry

Project Description and Goals: Mathematica is a computer software package for doing mathematics. It is astandard in both the academic and industrial environments. The principal goal of this project was to develop aneasy-to-use chemistry application within Mathematica for the teaching of chemistry. The chemistry packagewould simplify concepts in chemistry and ease some of the burden of calculations for more advanced students.This would complement the existing Mathematica-based courses already in place for the teaching of calculus inthe Department of Mathematics, and would provide students with a uniform language for computation. Sincefirst-year students from both the College and the Engineering School are required to take the introductorychemistry course, the goal is to make the Mathematica module part of the recitation for the course. Thus studentswill be equipped in their first year with a tool to aid subsequent coursework.


FY 1995: The software design was successfully completed. The Chemistry package was written in Mathematicacode and currently contains an all purpose scientific calculator as well as five subpackages: Differential EquationSolver; Fourier Transform Package; Curve Fitting Package; Curve Fitting with Differential Equations, and FileConversion. In addition, an easy to use guide for students was written and plans for implementation weredesigned.

FY 1996: The software was used in courses taught by Chemistry faculty. Over 225 students completed thesoftware instruction. Additional applications are under development by the Chemistry Department, and aproposal will be submitted to NSF in June 1996. Similar software packages are being planned for other hardsciences departments. The project was completed upon integration into the Chemistry curriculum, thoughcontinued fine tuning of the software will occur according to departmental needs.


Project Leader: Dorian Goldfeld, Professor, Mathematics

*Center for New Media School of JournalismFY 1995 $50,000FY 1996 $50,000FY 1997 $50,000

Project Description and Goals: The Center for New Media was founded at the Columbia Graduate Schoolof Journalism in 1994 as a teaching and research center with a mission to define content, ethics andprofessional standards for "new media." The Center is an effort to develop a new digitally-based research,teaching and learning environment in the School of Journalism. The objectives of university investments inthe Center are both to improve the School’s curriculum delivery through multimedia tools and to enhancethe University’s linkages with the media industry through the transfer of students, ideas, and technologicalinnovations. The project has been a catalyst for the redesign and re-engineering of the Journalism buildingto achieve total infrastructure modernization and flexibility for evolving technology. Renovation of thespace in Journalism began in May 1995 and was completed in September 1997. By August 1988, theSchool plans to complete its transition to all digital production facilities. Since the Center’s establishment

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in 1994, it has expanded its work and research to include the development of technology and productionmethodologies for appropriate uses in journalism; new forms of teaching using digital media, interactivemultimedia prototypes; and, journalistic and educational products and services.

Industry partners include media companies, software developers, marketers, news organizations,telecommunications companies, and equipment manufacturers. The partnerships will support the design,development, and implementation of the Center. In turn, the Center is expected to develop and testinnovations of economic value to industry partners. The Center collaborates with the School to design andimplement several new courses and a new media concentration for journalists. The Center is developing acomprehensive research and development program in conjunction with other Columbia research projectsand centers, particularly within the School of Engineering and Applied Science. CNM research projectsinclude content elements associated with digital information gathering, processing/editing, storage, displayor representation, all connected via a wired or wireless network infrastructure. Current industry partnersinclude:

− Apple Computer, Inc.− Asbury Park Press− The Associated Press− AT&T− Avid Technology, Inc.− Data Translation, Inc.− The Hearst Corporation− IBM Corporation

− The New York Newspaper Foundation− The New York Times Company Foundation− O Globo− Scripps Howard− Sun Microsystems, Inc.− Syquest Technology, Inc.− Times Mirror Company, Inc.− Time Warner, Inc.− Viacom


FY 1995: The Center’s first digitization project was the establishment of a Digital Radio Laboratory replacingthe former reel-to-reel tape-based radio laboratory. This was followed by the placement of 16 high-end,networked computers in the Arthur Hays Sulzberger Library; the installation of a magazine layout laboratory withphoto digitization capability in the George Delacorte Center; and the design of two multimedia classrooms. Twonew media courses were written for the graduate school. An initial student project was the creation of a PulitzerPrize web site. The site was nominated for a Global Navigator Network “Best of the Net” award. Students alsocreated an electronic magazine (JRNY) and developed a web site for 21st C, Columbia’s new university-wideresearch news magazine. Industry partners contributed funds for operating expenses, equipment gifts and loans,endowment gifts, fee-based education programs, and funding of specific projects. The sum of contributions fromindustry partners in FY 1995 was $561,000.

FY 1996: In FY 1996 the Center established five electronic classrooms/newsrooms to facilitate digitally-basedproduction for television (still under construction), radio, magazine, newspaper, photojournalism and multimediaauthoring. The Center assisted the redesign of the School’s academic program, including the creation of a newmedia curriculum and concentration. A Research Program for the Center was established and staff formulated anew media information flow model. The flow model is designed as a conceptual framework for interdisciplinaryexploration of the impact of digital image technologies on journalism, a joint activity of the Center and theEngineering School’s New Media Technology Center. The Center co-chaired a workshop with the EngineeringSchool (“Video-on-Demand Systems” June 1996), which led to an invitation to co-edit a special issue of KluwerAcademic Publishers International Journal (“Multimedia Tools and Applications”). In addition to maintainingthe Pulitzer Prize and other existing client sites, several new sites were created (Columbia Journalism Review andReuters Form sites) as well as a host of Journalism School and student publication sites. The sum of contributionsfrom industry partners in FY 1996 was $248,600.

FY 1997: The Center for New Media continued to grow its industry partnership program, pursuing majorgifts, new affiliations, and specific project research grants from corporations and foundations. It launched amajor "News in the Digital Age" discussion series sponsored by AT&T which brings together top industryleaders for this televised forum. It developed and conducted its first customized new media trainingprogram for a group of Brazilian journalists from O Globo, one of the world’s largest media companies,and is developing others. As part of its partnership in the Columbia New Media Technology Center effortwith SEAS and others around the University, the Center expanded its research program to produce twojournalism prototypes, an "immersive documentary" and an "omni-directional video/audio news story," bothutilizing technology developed at SEAS. The Center is working toward building significant industry supportfor these research projects. To date, it has secured funding from Viacom to advance these prototypes. Incollaboration with colleagues in Computer Science, the Center is field testing a news research andsummarization project. To enhance these research efforts and to better link them to industry, the Center isworking with others at the University to develop newly granted space at the New York InformationTechnology Center. This lower Manhattan space is in the heart of the new media professional community,

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including companies in Manhattan's so-called "Silicon Alley." Outreach will include distance learningprograms for journalists working in lower Manhattan via broadband video conferencing, as well ascollaborative research capabilities between CNM in the Journalism Building and the 55 Broad St. facility.The Center for New Media expanded its educational offerings, including three new interdisciplinary course– "Exploring New Media", "The News Laboratory" and "Exploring New Media On-line." The Centercontinues to expand and revise its program offerings in the Graduate School of Journalism. A variety ofWeb development efforts were initiated in 1997 including the redesign of the Pulitzer Prize Web site, thelaunch of the Alfred I. DuPont-Columbia Awards Web site, and a site dedicated to the "News in the DigitalAge" series. The sum of contributions from industry partners in FY 1997 was $435,000.

The Center for New Media collaborates with the New Media Technology Center to develop newacquisition technologies and to develop research partnerships with the emerging New Media industry in themetropolitan New York City Area. The Center for New Media is also involved in the development of theNSF Engineering Research Center proposal that the New Media Technology Center is submitting for morethan $25 million.

Project Leaders: John Pavlik, Executive Director; Josh Schroeter, Director of Strategic Planning; and AndrewLih, Director of Technology

New York-Warsaw Project Institute on East Central EuropeFY 1995-96 $10,000 School of International & Public Affairs

Project Description and Goals: The New York-Warsaw Project is an initial effort of the InternationalKnowledge Treasury (IKT), Columbia’s concept for a global network supported by universities, governments,corporations, and foundations providing easy access to international knowledge. This framework for internationalcooperation recognizes the shifts in economic and technical positions of nations and embraces this change as anopportunity to capture knowledge and understanding. The IKT is designed for mutual leverage of intellectualtalent in Poland and expertise available at Columbia University through its libraries, faculty, multi-disciplinaryresearch activities, and alumni. The linking of distinct regions of the world through Collaborative LearningCenters is the ultimate form of international cooperation. The overall goal is to capture knowledge gained so thatit is not lost to successive generations. The IKT is designed to make Columbia a key participant in thedevelopment of a Global Information Infrastructure.


FY 1995: A proposal was developed for InfoDev, a World Bank program designed to aid developing countries inexploiting the Internet for commercial and educational uses, to develop linkages between Columbia andinstitutions in Warsaw ($170,000 including $50,000 matching from Polish partners). The proposal was notfunded. A proposal was submitted unsuccessfully to the Polish State Committee for Scientific Research for$165,000.

FY 1996: A second proposal to InfoDev was submitted and rejected. The project moved ahead to developlinkages with institutions of higher education in Hungary, Romania, and Slovakia, and to improve access toeducational and scholarly information. Columbia hosted a visit by Professor Marek Dietrich, Rector of WarsawPolytechnic University. Websites were established in New York and Warsaw and CU-SeeMe sites in Budapest.An initial selection of social science materials were identified, and translated where needed, to capture and expandour knowledge and understanding of contemporary issues in economics, sociology, and politics.

FY 1997: Cu-SeeMe videoconferences between New York, Budapest, and Warsaw were organized to testthe technology, to help develop proposals for improving the infrastructure in East Central Europe, and toassist graduate research and training (ELTE University in Budapest, Comenius University in Bratislava,and Warsaw University supported acquisition of CU-SeeMe equipment). A teleconference was held inMarch 1997 between Columbia and Budapest Technical University. In an effort to help expand thenetwork of participants, Columbia hosted a visit by Professor Andrei Marga, Rector of Babes BolyaiUniversity, Cluj, Romania. Funding requests were made by Central European partners to the CarpathianEuro-Region Project and the Soros Foundation by project participants. Intermarium, an electronic journalof modern East Central European history and politics was established in cooperation with the PolishAcademy of Sciences; and in the area of economics, an Executive Briefing Series and a Research PapersSeries was established at Warsaw University's Central and East European Economic Research Center.Distance learning projects are under development. Proposals to EMLA, Budapest for $1000 and Budapest-New York Teleconference on Gabcikovo Dam Open Society Institute, Budapest for $1000 were denied.Funds of $500 were granted by Budapest-New York Teleconference on Gabcikovo Dam InternationalStudies National Resource Center for the Budapest-New York Teleconference on Gabcikovo Dam onFebruary 28, 1997.

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Project Leader: John S. Micgiel, Director, Institute for East Central Europe, School of International andPublic Affairs

Advanced Papyrological Information Systems Department of ClassicsFY 1995 $1,000FY 1997 $69,000

Project Description and Goals: Papyrus was the most important writing material of the ancient world, recordingeverything from high literature to communications of daily life. From the literary papyri, modern scholars learnabout the state of literary texts in antiquity before errors were compounded in the manuscript tradition of themiddle ages. From among these papyri the modern world has recovered such important lost works as the lyrics ofSappho and the Paeans of Pindar, the Constitution of the Athenians by Aristotle, and early Christian and Gnosticworks that once competed with the New Testament. To date, scholars in fields concerned with antiquity(literature, history, philosophy, religion, archaeology) have not made strong use of papyrological records, becauseof the difficulty of obtaining and examining them; there is a need to enable intellectual access to the records.Those electronic records that have been created for scholars are not interoperable. In addition, relatively littleclassical material available to a general audience has been available in electronic form.

APIS is a project of the six leading American collections of papyri (Berkeley, Columbia, Duke, Michigan,Princeton, and Yale) to create an integrated digital system including texts, cataloguing records, images, andbibliography for all their papyri. The goal is to devise a set of standards that will allow the creation of aworldwide library of papyri and to make this system available over the Internet and other distribution media toboth scholars and nonscholars.


FY 1996: Phase I of the project includes systematic conservation, cataloguing, and imaging of these collectionsand the creation of a pilot integrated system, focusing on the creation of standards. A proposal was submitted tothe National Endowment for Humanities’ Preservation and Access Division ($2,265,206) to implement Phase I.NEH awarded the consortium $300,000. The funding period is July 1, 1996 through June 30, 1998. Theconsortium began planning work to be conducted at each institution; Columbia began cataloguing of ostraka, oneancient writing medium (writing on pot shards).

FY 1997: The project has been at full activity level at all six partner institutions, with conservation, cataloguing,digital imaging, and upgrading of the text database all underway. Columbia activities have focused oncataloguing the collection of 4,000 ostraka (potsherds used for writing) and on reglassing the published papyri,long kept in abysmal conditions. The consortium met to define standards for non-roman alphabets over theInternet and is planning work for system architecture. This work is supported by a $9,500 contract from theNational Digital Library Federation. Private funding of $30,000 from individual donors has been secured for theColumbia share of the activities. A three-year $18,000 grant was awarded from the Guttman Foundation. Arenewal application for the period of 7/1/98 to 6/30/00 was submitted to National Endowment for the Humanities’Preservation and Access Division on 6/30/97. The total amount of the grant would be $1.6 million, includingapproximately $750,000 in federal funds and the remainder in cost sharing.

Project Leader: Roger S. Bagnall, Professor, Department of Classics

Earthview Explorer Lamont-Doherty Earth ObservatoryFY 1994 $40,000

Project Description and Goals: As part of a national initiative to enhance science curriculum development,Earthview Explorer is developing an interactive, computer-based program for classroom instruction that willmake global earth science information available to pre-college students through the Internet. Instructional contentis geared at cross-cutting subjects covering major topics and issues in earth science. Using a state-of-the-artmultimedia interface, Earthview Explorer will make available to students and their teachers important world-widedata sets that they can explore on their own to learn about topics in the earth sciences. The interface will givestudents the ability to browse the data in space and time and to combine data sets.


FY 1994: The SIP investment partially supported development of the Earthview Explorer prototype as well asfundraising activities for expanded development on the educational software. The SIP investment led to the awardof $206,000 in additional NSF grant funds to support Earthview's prototype development phase in 1994.

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FY 1995: The prototype on the Geosphere was completed in May of 1995. In September, a networked-environment testbed was implemented in a number of classrooms in New York City and across the country.Participants in the Internet-linked project include New York City's Dalton School, several New York Area publicschools, as well as schools in Massachusetts, California, Virginia, and Ohio. During this period, a follow-onproposal in the amount of $1.1 million was submitted to the NSF for implementation of a larger project addressingall the major areas of earth science including the geosphere, biosphere, oceans and climate for use in the nation’sclassrooms.

FY 1996: In May 1996 an award of $979,297 from NSF for a three-year development effort for Earth View wasreceived ("Earth View/Explorer: An Interactive Educational Tool to Explore Topics in Earth Science and GlobalChange"). The NSF grant allows Earthview Explorer’s coverage to include the biosphere, oceans and climate, aswell as new topics in solid earth.

FY 1997: Several workshops were held in the summer 1996 with collaborating teachers to expand the coverageof the educational materials. The first simulation activities were developed in the geosphere module that werebased on locating earthquakes. The geosphere module activities underwent their first in-class evaluations byexternal evaluators during trials in schools (evaluators were recommended by the NSF and included educationalspecialists from Roger Williams University in Rhode Island and Vanderbilt University). Development work nowhas shifted to additional modules (Biosphere, Oceans, and Climate) within the EarthView coverage as well as theintegration of the web-based and stand-alone software. A second summer of teacher collaboration was focused onthese new topics. Also, new software tools relevant to these disciplines are under development to maintain theparallel structure of data exploration, simulation and up-to-date information in the Geosphere module. The projectis on track to progress from formative to summative evaluation of the educational materials in 1998.

Project Leaders: Ray Sambrotto, Research Scientist, Lamont-Doherty Earth Observatory; O. RogerAnderson, Senior Research Scientist, Lamont-Doherty Earth Observatory

DIGITAL LIBRARIES

*The Janus Digital Library Project Columbia University LibrariesFY 1993 $105,000 Law Library

Project Description and Goals: The Janus Digital Library Project was a pilot project to explore the potential ofdigital technology as it applied to libraries. The project brought together teams of staff and researchers fromthroughout the university, publishers, and other industry groups in an effort to develop and deliver a digital libraryprototype. The Janus prototype will be used by the University Libraries system to explore potential commercialapplications.

The extension of the Janus system will eventually contain full text representations of millions of pages fromjournals, books, court opinions, and government reports, allowing researchers to call up a precise reproduction ofa printed page on a computer screen. The material will be word searchable, through the creation of full textindexes, by deploying Optical Character Recognition (OCR) on digitized documents. Janus has succeeded inlinking teams from Law, Teachers College, Computer Science, Engineering, Medicine, and industry that haveevolved into long-term productive relationships.


FY 1994: The SIP investment supported research, prototype development and deployment, and proposal writingactivity. Several scanning experiments were conducted, with positive results indicating strong characterrecognition. The system is on-line to the Internet, and receives approximately 250 different searches per 24 hourperiod. An application was made for a joint NSF/ARPA/NASA grant as part of the digital library prototypecompetition. The Janus project proposal developed for the competition was a library-led project and was one of15 projects selected for a site visit; however, Janus was not among the six winners of the competition. The groupof industry partners that supported Janus in 1993-94 voiced their continued support for 1995 activities.

The Janus Project ended in FY 1994, but its two components are still being used. One, a content developmentcomponent, is still used in the Law Library. The second, a search engine development component (OpticalCharacter Recognition Project), has been through a final evaluation as of 1996. The Optical CharacterRecognition Project is described under Center for Research on Information Access, below.


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Project Leaders: Elaine Sloan, Vice President for Information Services and University Librarian; JamesHoover, Librarian, School of Law

*Center for Research on Information Access (CRIA) Columbia University LibrariesFY 1995 $250,000 Academic Computing and Information SystemsFY 1996 $75,000 Department of Computer Science

Project Description and Goals: The purpose of the Center for Research on Information Access (CRIA) is tofoster integrated research projects involving the information services and research arms of the University in thearea of Digital Libraries. Digital Libraries projects include enabling technologies, development of digitizedcontent, instructional techniques, and other applications including administrative and academic computing. TheCenter is housed in the CU Libraries but maintains close links to the School of Engineering and Applied Science.

The former Janus Digital Library Project, initiated under the Law Library, served as a precursor to the searchengine development activities under CRIA. CRIA currently coordinates activities with Lamont-Doherty EarthObservatory; the School of the Arts; the School of Engineering and Applied Science; Libraries; AcademicInformation Systems; Teachers College; Columbia Presbyterian Medical Center; and Health Sciences Libraries.External partners include IBM, AT&T Bell Laboratories, Bellcore, Microsoft, Library of Congress, theUniversity of Pennsylvania, OCLC, and others. CRIA projects fall into three categories: instructional projects,scholarly projects and technology projects. Partners include other universities and corporations.


FY 1995: FY 1995 project development included the following activities:

− Initiated liaison between the Computer Science Department, Columbia-Presbyterian Medical Center, andTeachers College for a project on multimedia presentation of information to users of networked information(COMPRESS). The specific application involves patient information derived from multiple data bases. Twoproposals were submitted based on this research, one to NSF and one to the National Library of Medicine.NSF accepted a preproposal in March 1995; in July 1995 a full proposal requesting $2.2 million over 3 yearswas submitted but not funded. The proposal was revised for the National Library of Medicine. Two versionswere submitted ( $1 million over 3 years or $2.2 million over 3 years).

− A visit from IBM Marketing Division to explore a joint IBM-Columbia digital library was coordinated forpossible funding of a joint project. Follow-up has included discussions with IBM’s director of DigitalLibraries, and will involve several site visits in Jan-March 1996. The project involves Computer Science,Engineering, Arts, CPMC, Teachers College, Libraries, AcIS.

− Initiated project on Evaluation of Search Engines in September 1995. The project involves AcademicComputing, Computer Science, and CRIA. Search engines are the key technology for access to distributed,networked, and heterogeneous information. The goal is to fill the gap in Columbia's Digital Library researcharea on search and access technology.

− Established and convened first meeting of CRIA Research Committee October 1995. The task of thecommittee is to revise aspects of the 1994 Columbia Digital Library proposal (see Janus Project) forsubmission to private foundations.

− Computer Science and CRIA developed and submitted an NSF proposal on presentation tools for documentanalysis and summarization to alleviate information overload in November 1995 (COGITO SummarizationSystem - $535,000).

− A visit was made with OCLC for possible funding on projects, including search engines and mark-up(November 1995). The visit involved Libraries, AcIS, and CRIA.

− Established Yiddish Language Archive project.

FY 1996-97: Fiscal Years 1996 and 1997 saw the fruition of several funding efforts for CRIA. Three projectswere funded, each encompassing a different aspect of the problem of information access: “Generating CoherentSummaries of On-Line Documents: Combining Statistical and Symbolic Technique'', funded by NSFSTIMULATE Program (Speech, Text, Image, and MultiMedia Advanced Technology Effort) for $438,877 over3 years (see Digital Library Systems Research); “Automatic Identification of Significant Topics in DomainIndependent Full Text Analysis'' funded by NSF for $270,314 for 3 years; and “Computationally TractableMethods for Document Analysis'' funded by NSF under the POWRE program (Professional Opportunities forWomen in Research and Education) for $61,372 over 18 months.

Proposals still under review include: “Vesalius - An Anatomical Knowledge Base for Medical Education'',submitted to NIH, $456,000 for 3 years and Intelligent Multi-Media for Enhancing Research, Science, andEducation [IMMERSE], preproposal submitted to National Science Foundation under the IGERT program(Integrated Graduate Education and Research for Training), $2,654,806 for 5 years. CRIA also plans to re-submit to DARPA “Automated Generation of Narrated Multimedia Tours Using Tracking and Classifying ofHeterogeneous Information Stream” for $1,200,000 (joint with Computer Science and Electrical Engineering).

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CRIA is also awaiting funding for a working group on Multilingual Information Access under the Digital LibraryNSF-European Commission (DG-13) joint program, for a travel-only grant subcontract. The first meeting of thisinternational working group is scheduled for November 15-17, 1997. The co-chairs are Judith Klavans, CRIA,for the U.S. side and Peter Schauble, ETH-Zurich, for the European side.

CRIA has participated in campus activities, including the Digital Library Strategic Plan, Intellectual Propertyactivities, joint projects with the Center for New Media, Health Sciences, and the Earth Institute. In addition,CRIA has been instrumental in several industry collaborations and support, with IBM Research and Lucent BellLaboratories.

Project Leader: Judith L. Klavans, Deputy Vice President, University Libraries

Digital Library Systems Research Department of Computer ScienceFY 1996 $75,000 Department of Electrical EngineeringFY 1997 $96,845 Center for Research on Information Access

Academic Computing Information Services

Project Description and Goals: Seed funding was provided for the development of critical components of aDigital Library in order to demonstrate the feasibility and utility of our approach. The long term objective of ourresearch on Digital Libraries is to develop a system that can provide coherent access to multimedia documents fora variety of users. Our research aims at the automatic generation of illustrated briefings over live, multimediainformation. The system will be provided with the interests of a digital library user. It will track and identifyarticles and images on events related to these interests. Given a series of articles and images, it will generate asummary in English that identifies changes over time and will select representative images. The user can thenfollow up with additional search and browsing over related images and documents. Research involvescollaboration between Computer Science (Kathleen McKeown, Alfred Aho), Electrical Engineering (Shih-FuChang), the Center for Research on Information Access (Judith Klavans), and Academic Computing InformationServices (David Millman).


FY 1996: Funding began in September 1995. Work was focused on identifying appropriate modes of interactionamong the various research interests of the faculty involved. While individuals had developed tools that couldserve as components of an integrated system, it was not immediately clear how they should be interfaced. Inaddition, the possibility of several different domains for the application of research was explored. Over the yearand a half of funding, an initial prototype system was developed in the domain of current events. Work wasstarted with the Center for New Media to study the needs of journalists in searching for and understanding thetypes of latest, breaking news that is available on-line. Proposal activity included two submissions to NSF:“Generating Summaries of On-line Documents'' $450,000 (not awarded) and CARD: Corpus Analysis Resourcesfor Discourse'' $860,821 (awarded in January 1997). The project also conducted joint research activities with theCenter for Research on Information Access including the drafting of an overview of digital libraries research forsubmission to foundations and the revision of a proposal on “Effective Multimedia Presentation: AlleviatingInformation Overload'' for submission to National Library of Medicine and discussions with IBM for industrialsupport. Two proposals were submitted to NSF under a special initiative called STIMULATE: “Generation ofCoherent Summaries of On-line Documents: Combining Statistical and Symbolic Techniques” $437,843 (March1, 1997-February 29, 2000); and “An Environment for Illustrated Briefings and Follow-up Search over LiveMultimedia Information,” $732,056 (awarded in January 1997).

FY 1997: A white paper was submitted to a recent call for proposals from DARPA: “Automated Generation ofNarrated Multimedia Tours Using Tracking and Classifying of Heterogeneous Information Streams” for$4,423,164. IBM awarded $50,000 for support of a project on “Single Document Summarization”. Work in FY1997 focused on increasing the level of integration of different media in the system. For example, the group isexploring ways to use words and phrases in a multimedia document along with visual features of the images itcontains to classify and label images according to topic. This will enable better search and classification ofimages.

Project Leader: Kathleen McKeown, Professor and Chair, Department of Computer Science

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ARTS AND MUSIC PROJECTS

*School of the Arts Digital Media Center School of the ArtsFY 1996 $75,000FY 1997 $75,000

Project Description and Goals: In recent years, computers and digital technology are enabling the creationof new art forms. The goal of the School of the Arts Digital Media Center, expanded this year from theSchool's Digital Media Initiative, is the incorporation of digital tools for the production of art into theSchool's existing programs in Film, Theatre Arts, Visual Arts, and Writing, and the exploration of newapplications of digital technologies in the fields of art and entertainment. The first manifestation of thisgoal, accomplished last year, was the creation of an integrated set of digital media facilities and skills-based workshops for the training of artists, bringing together dramatists, filmmakers, visual artists, writers,and in an interdisciplinary environment. The creation of the Digital Media Center has expanded this effort,adding a new Director position, a full-time technical support position, two new digital labs, numerousequipment acquisitions, and a dedicated instructional budget supporting the development and teaching ofinnovative interdisciplinary courses in digital media.


FY 1997: The Initiative created three multimedia labs: the Digital Media Lab, a 16-workstation lab forinstruction and production of full-motion video, computer graphics, 3-D modeling, interactive authoring,and web authoring; the Writing/Hypertext Lab, a six-workstation lab for advanced text and hypertextapplications, as well as web authoring and pre-press applications; and the Digital Video/Graphics Lab, forprofessional-quality digital video, motion graphics, 3-D animation, and graphics output.

The Digital Media Lab created and supported two courses, Introduction to Digital Media and DigitalDocumentary Photography, and offered intensive workshops in digital video editing and web authoring.By the end of the Spring 1997 term, all first and second year Film MFA students were trained in digitalvideo editing, all Visual Arts MFA students received an introduction to computer graphics, and over 100students were trained in creating web pages. Since the commitment of Strategic Initiative funds totaling$314,000, the School of the Arts has raised additional funds for the Digital Media Initiative from HowardStein ($300,000) and the JL Foundation ($100,000).

Project Leader: John Kelly, Director of Digital Media, School of the Arts

New Media Story Laboratory School of the ArtsFY 1994 $37,000FY 1995 $27,696

Project Description and Goals: As part of a Columbia University initiative to promote teaching, learning andresearch involving new media, the Film Division of the School of the Arts is developing a New Media StoryLaboratory located in Dodge Hall. The project goals are to provide a study and work environment for developingmultimedia interactive narratives by faculty and students within the Film Division and to provide a means forinvolving the Film Division in university-wide, interdisciplinary new media efforts. The New Media StoryLaboratory houses 4-6 MacIntosh Power PCs and a Silicon Graphics Indigo with connections via fiber optics(ATM) to the Center for Telecommunications Research’s Onyx computer.


FY 1994: The Film Division acquired 4-6 MacIntosh Power PCs and a Silicon Graphics Indigo with connectionsvia fiber optics (ATM) to the Center for Telecommunications Research’s Onyx computer. In FY 1994 and FY1995, a number of lecture modules were developed for classroom hypermedia presentations. Three undergraduatestudents developed hypertext essays for credit. Independent study was also pursued by several MFA studentsallowing them to learn new media technology and to develop an understanding of how these technologies couldpotentially impact the field of film making.

FY 1995: The current focus is non-fiction and minimalist narrative production. Activities include developingadditional classroom teaching and learning modules explaining elements of cinematic language of new media;building a web site that will distribute 15-30 second movies; and reconfiguring class presentations for WWW andlocal interactive hypermedia. Student projects are conducted in Documentary Traditions, with students who arecompleting their final essays by creating multimedia and simple hypertext documents using Premiere, Word,

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Excel, and Photoshop. A group of graduate students is producing short video projects that are currently beingposted on the web.

FY 1996: New Media Story Lab development efforts involving storytelling and interactivity are now beingintegrated into the larger School of the Arts digitization effort. Most of the Story Lab’s computer equipment hasbeen transferred to the School of the Arts Digital Media Center, which is now being developed as a new mediaspace as part of the school-wide effort. Independently, Professor Engel is continuing work on a series of learningmodules on esthetics of motion.

FY 1997: The Lab began development of “immediate feedback” workshops for teaching film directing. Theseworkshops utilize non-linear video workstations in a film studio environment, allowing directors to shoot narrativescenes directly to disk for immediate editing and projection. The goal of these workshops is to teach directors to“think on their feet,” challenging them to explore various options for translating a script into cinematic language -without the delay in critique that the mechanics of film production necessarily entails. The lab also continued thedevelopment of learning modules for aesthetics of motion and film language analysis.

Project Leader: Larry Engel, Professor, Film Division, School of the Arts

Electronic Music Curriculum Department of MusicFY 1996 $90,000 Music Library

Project Description and Goals: The Electronic Music Curriculum is a project to create a technologicalframework that will allow the Music Library to become integrated into the expanding Columbia Digital LibraryProject. Through the project, the Music Library’s extensive collection of sound recordings will be digitized, thusmaking them accessible to a larger population of students and faculty university-wide. In addition to the corecollection digitization effort, the project will entail an upgrade of the Dodge Hall Music Library’s sound deliveryinfrastructure to allow delivery of continuous, compact disc quality digital audio over a network without audiobreak-up (completed). This will support the design of experiments in which sound is used as a focal point for abroader range of text and image information, all of which will be built around a particular course content.Following the successful completion of a digital network in Dodge Hall, the project will expand the network toinclude linkages between Dodge Hall and Butler Library and finally to other buildings on campus.


FY 1996: Phase I of the project focusing on delivery of digital audio over a network in Dodge Hall wassuccessfully completed. A client workstation was placed in two classrooms. Each client workstation wasequipped with digital audio capability and a projection screen so that images could be incorporated in thepresentation and specifically linked to a section of music. An undergraduate course focusing on string quartetmusic (Professor Ian Bent, V2027y) was identified. Each musical work, as well as multiple performances of someworks, were digitized either from an original analog or transferred directly from compact discs. An interface wasdesigned which allowed not only flawless playback, but also allowed the instructor to interact with the digitizedmusic--for example, immediately comparing specific passages by different performers or varying the speed of apassage (while maintaining the musical pitch) in order to grasp the effect of performance on consonance anddissonance--in ways not possible with existing formats.

FY 1997: At present, the project is in Phase 2 of implementation. Several courses are successfully making use ofthe CD-quality demand-delivery system devised by the Music Department by using it in place of CDs, LPS, andother "hard media" for classroom work and listening assignments in specific courses. The Music & Arts Library,with workstations for public access, has inaugurated a digital sound reserves system. AcIS is also augmenting theMusic Department system by digitizing a sample set of basic recordings used in the Music Humanities corecurriculum classes. AcIS has made these on-line recordings available to students with high-speed internetconnections in labs and dormitories, thus greatly increasing students' access to these works.

In addition to digital sound integration into specific courses, several additional areas for continued work haveemerged. Music Professor Ian Bent (one of the primary faculty users) has suggested a number of interfacemodifications that are currently being developed. Because of his exposure to the possibilities of network audio,Professor Bent has also suggested several new directions for development, the most intriguing being an on-line"sonic glossary" available for Columbia students. Music Professor Brad Garton and Music graduate student LukeDubois are drafting a proposal for a web-based course on the history of electroacoustic music that would use thenetwork sound delivery system for all assignments and exercises, with the bulk of 'classroom' discussionsoccurring via the internet.

Securing a very fast server with access to large amounts of disk space is becoming a necessity. For currentLibrary and class-related use, almost 20 gigabytes of disk storage are being used, with the SGI server still able to

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handle the demand. Given the level of interest and the increased use of the system, these resources will certainlyhave to be expanded as the projects moves into Phase 3 of the Network Sound Delivery Project.

Project Leaders: Brad Garton, Associate Professor, Department of Music, Elizabeth Davis, Head, Music &Arts Library

ART HISTORY AND ARCHAEOLOGY PROJECTS

Archæology Laboratory Department of Art History and ArchæologyFY 1993 $50,000

Project Description and Goals: The Archæology Laboratory involves the use of sophisticated archæologycomputer simulation tool in a classroom in the Department of Art History and Archæology. Several years agoNew York City's Dalton School developed a software package called Archæotype, a computer simulation of anAssyrian archæological site. Archæotype was designed to allow students working in small groups to excavate asection of the simulated site, uncover objects, and send them to a simulated laboratory for weighing andmeasuring. Grade school and high school students were able to compile data sets that allowed them to makeinferences about Assyrian culture and society. Professor John Russell of Columbia's Art History andArchæology Department assisted in developing the Dalton School program and perceived that this unique toolwould have applications for college and graduate level archaeology studies.


FY 1993: After negotiations on intellectual property arrangements between the Dalton School and Columbiawere completed, the Strategic Initiative Program supported development of a working prototype of ArchæotypeAssyria and developed software for use in undergraduate and graduate teaching and research. A laboratory spacein Schermerhorn Extension was approved for use in the 1994-1995 school year. Uses of the tool in the classroomwill include archæological data analysis, field data analysis, and reconstruction of archæological remains andbuildings.

FY 1994: “Archæotype Assyria” was used for the first time in the graduate seminar “Assyria and the West”,taught in the Schermerhorn Extension. It was a very successful inauguration. Students quickly gained a thoroughfamiliarity with Assyrian material culture, and their final reports indicated that they had successfully generatedhistory from archæology.

FY 1995: The lab has added several projects to its capabilities, including use as a center for digitizing images forvarious Art History projects such as the Amiens Project. Home pages have been or are currently underconstruction for Columbia courses in archæology, including reproductions of images for study purposes. The labhouses a computer modeling center for reconstruction of ancient buildings and is in the process of making a modelof the palace of Assurnasirpal II at Nimrud, Iraq. The Gladys and Roland Harriman Foundation granted theArchæology Lab $10,000 to support equipment and software upgrades for archæological computing.


Project Leader: John Russell, Professor, Art History and Archæology

The Amiens Cathedral Imaging Project Department of Art History and ArchæologyFY 1993 $30,500

Project Description and Goals: The Amiens Cathedral Imaging Project integrates multimedia andnetworked media techniques into the Columbia College Core Curriculum in art history—includingadvanced computer modeling, animation, and imaging—and monitors the effectiveness of this technologyas a means to teach art history. Over 100 schools and colleges in the United States and Europe, includingspecial testbeds in Appalachia and New York City, share these extended interdisciplinary learningresources. The Amiens Project is related to the Media Center for Art History.


FY 1995: A $138,000 National Endowment for the Humanities core curriculum grant from the division ofeducation programs supported a collaboration with students and faculty of the Digital Design Laboratory ofthe Graduate School of Architecture, Planning, and Preservation to create a digital model and 13-minutecomputer animation of the cathedral, its medieval urban context, design, construction, and meaning. Livefootage of the cathedral was edited into a 10-minute visual introduction to the building. The National

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Endowment for the Humanities encouraged Columbia to apply for a Challenge Grant to support a newMedia Center for Art History.

FY 1996: The Institute for Learning Technologies favorably evaluated the use of the two video tapes,QuickTime Virtual Reality digital panorama images, and a World Wide Web site, made possible by $7,500from the Samuel H. Kress Foundation, used in selected Core Curriculum sections. The Web site providedeasy access to hundreds of images of Amiens Cathedral, maps and drawings, and texts in Latin or Frenchwith their English translations. A special feature permitted the user to explore all of the sculpture of theWest Façade—the most extensive program of the Middle Ages—and listen to the sculpture actually“speak” from an a Biblical text or an unpublished contemporary sermon. This innovative technique openedup a new area of learning in the complex and difficult area of medieval sculpture. Other higher educationinstitutions as well as high school and middle school students in Harlem and Washington County, Virginia,used the materials to demonstrate how media technology applied to a complex work of architecture canfacilitate integrated interdisciplinary learning.

The computer animation was exhibited at SIGGRAPH, the chief conference of the computer animationindustry, and was the only historic project to win a prize in the national Computer Architectural DelineationAwards announced in Architectural Record in July 1996. It was also shown on Spanish and German publictelevision programs. The National Endowment for the Humanities awarded Columbia a prestigiousChallenge Grant to establish a permanent home for advanced applications in art history research, teaching,and publishing.

FY 1997: The Amiens Project resources became a permanent part of the Core Curriculum. There were 230individual and educational members of the project and the two video tapes were licensed to CrystalProductions through Columbia Innovation Enterprise for distribution. The International Art Film Festival inSlovakia exhibited the Amiens computer animation and an invitation was received to exhibit the video atthe 1998 Art Film Festival in Montreal. Editing of the third installment of the “Amiens Trilogy” of videos(“Reflections,” “Revelation,” and “Resonances”) was underway with $7,500 in support from the GrahamFoundation for Advanced Studies in the Fine Arts and the first video was re-edited. A completephotographic survey was conducted in the summer, including 40 QuickTime Virtual Reality nodes. TheQuickTimeVR nodes were made available on the World Wide Web and would form the basis for a CD-ROM that would complete the NEH obligations in December 1997. QuickTimeVR would allow the user tovisit all parts of the cathedral and to study certain aspects and documents in depth at designation “hotspots.” The CD-ROM would be available at Columbia, member institutions, and through distribution.

Project Leaders: Stephen Murray, Professor and Chairman, Art History and Archæology; MauriceLuker, Associate Director, Media Center for Art History

*Media Center for Art History Department of Art History and ArchaeologyFY 1995 $50,000FY 1996 $70,000FY 1997 $50,000

Project Description and Goals: The Media Center for Art History (MCAH) has a mandate through afour-year Challenge Grant from the National Endowment from the Humanities (NEH) to consider theapplication of imaging and information technologies for research, teaching, and publishing in art history,focusing on the innovative analysis of architecture and the constructed environment. It does this bydeveloping and coordinating exemplary projects demonstrating new art historical methods and theoreticalimperatives; and addressing the collection and sharing of cultural information through a research andeducation network connecting the finest museums and cultural institutions with students, scholars, andleaders.

The MCAH operates the Digital Media Studio, a research facility for computer modeling and animation,non-linear video editing, multimedia production, and World Wide Web design located in SchermerhornHall. In collaboration with teams of graduate assistants and specialists, art history faculty working in theDigital Media Studio are experimenting with better ways to educate students in certain interpretations,methods, and theories that are poorly addressed with the traditional media of transparencies and print.Cooperative relationships with other facilities at Columbia include the Center for New Media of theGraduate School of Journalism, Institute for Learning Technologies, Program in Arts Administration andCenter for Art and Art Education Research at Teachers College, Digital Media Laboratory of the School ofthe Arts, Botwinick Gateway Laboratory and Advanced Image and Television Laboratory of the School ofEngineering and Applied Sciences, the Digital Design Laboratory and Center for Preservation Research ofthe Graduate School of Architecture, Planning, and Preservation, Lamont-Doherty Earth Observatory, andAvery Architecture and Fine Arts Library.

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In recognition of the fiftieth anniversary of the art history requirement of the Columbia College CoreCurriculum, the Media Center has launched the Art Humanities Media Laboratory and Education Network.The program, directed by Columbia scholars, extends the knowledge gained from the NEH- and SIP-sponsored Amiens Cathedral Imaging Project to all twelve segments of the Core Curriculum course“Masterpieces of Western Art,” known to generations of students and alumni as “Art Humanities.” Itestablishes a national consortium of faculty from independent liberal arts colleges and pre-college teachersconnected to Columbia by an on-line network. They will assist the Media Center in evaluating theeffectiveness of applying on-line curriculum materials and advanced digital learning tools in the humanitiesand other disciplines. This project is helping MCAH to integrate technology in four key areas:undergraduate learning, graduate training, faculty teaching, and institutional collaboration.

MCAH and the World Monuments Fund (WMF) have agreed to examine issues of law, commerce,development, monitoring, management, interpretation, and conservation affecting historic monuments. Theimmediate goal, supported by investments from the Lita Annenberg Hazen Charitable Trust and the J.M.Kaplan Fund, is to broaden interest in and deepen the understanding of international cultural heritage sitesin a contribution toward their preservation as unique legacies that continue to be vital parts of the everydaylives of all peoples. In the past 30 years, WMF has completed over 135 major projects in 32 countries.With major support from American Express, WMF has launched the World Monuments Watch, a five-yearcampaign to identify and protect our most endangered monuments.

In December 1995, NEH awarded Columbia with a Challenge Grant of $575,000 to link research andeducation in art history through the creative application of new technologies, especially for theimprovement of undergraduate teaching. Because this is a 1:4 matching grant, Columbia must raise $2.3million between December 1, 1994 and July 31, 1999 in non-Federal, external gifts for a total, includingthe NEH contribution, of $2.875 million to equip, operate, and partially endow the Media Center for ArtHistory. See also the Amiens Cathedral Imaging Project.


FY 1996: The National Endowment for the Humanities awarded a Challenge Grant of $575,000 to bematched over four years by $2.3 million in external, non-Federal gifts, especially from foundations andcorporations. MCAH set up a Silicon Graphics World Wide Web server and Netscape Web site. MCAHcompleted a 10-minute video survey, 40-node QuickTime Virtual Reality model, and Macromedia Directordocument of the Cathedral of Saint John the Divine with a $10,000 grant from the New York State Councilon the Arts.

FY 1997: Fundraising for the NEH Challenge Grant began on April 10, 1996, with a kick-off fund-raisingevent hosted by the Provost and held in conjunction with the 70th University Lecture premiering theAmiens Cathedral Imaging Project computer animation presented by Professor Stephen Murray. Corporateparticipants gave $19,000 in in-kind gifts toward the event attended by 500 Columbia, corporate, andfoundation guests. A “Digital Gallery” supported by Softimage (a division of Microsoft), Intergraph,NAFT International (a division of Bell Technologies), Apple Computer, Silicon Graphics, HologramophoneResearch, and Red Ramona displayed a dozen innovative projects in the arts employing advancedtechnologies. The morning before the event, Director of the NEH Challenge Grant Program Stephen Rossaddressed the audience at a press briefing and MCAH Director Stephen Murray interacted via an Internetteleconference with middle and high school students in Appalachia and Harlem who were studying AmiensCathedral.

Columbia University met the first year of the NEH Challenge Grant and set up the Digital Media Studio in821 Schermerhorn Hall with $100,000 in support from the Miriam G. and Ira D. Wallach Foundation.Microsoft/Softimage contributed a $20,000 modeling and animation software package. Professor DavidRosand, Meyer Shapiro Professor of Art History, directed an eight-minute Softimage animation for theColumbia College Core Curriculum on Raphæl’s fresco of the Disputa in the Stanza della Segnatura of theVatican Palace supported by $25,000 from the NEH Challenge Grant. The production of “Raphæl’sPainted Theology” continued the Art Humanities series of videos that began with the Amiens Trilogy. TheRaphæl Project will be used in classrooms at Columbia in fall 1997 and marketed through CrystalProductions. The Metropolitan Museum of Art approved the next Art Humanities project on Rembrandt byprofessors David Freedberg, Simon Schama, and Marilyn Ainsworth.

MCAH signed a $108,000 two-year agreement with the World Monuments Fund. MCAH obtainedapproval for a new “University Seminar on Endangered World Monuments and Cultural HeritageResources” that will include collaborations with the Center for Preservation Research, Department ofHistoric Preservation, Lamont-Doherty Earth Observatory, and the Earth Institute. MCAH began designand construction of a World Wide Web site for the World Monuments Watch supported by the LitaAnnenberg Hazen Charitable Trust. An interdisciplinary team of students used Omnicam technology in

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cooperation with Center for New Media and the Department of Historic Preservation to study parts of EllisIsland listed on the World Monuments Watch List. MCAH prepared for a project supported by the J.M.Kaplan Fund at a World Monuments Watch site demonstrating the application of ground-penetrating radaras a non-invasive technique in Archæology.

MCAH participated in a consortium led by Mount Vernon Public Schools for a five-year $9 millionunsuccessful proposal submitted to the U.S. Department of Education Technology in Education ChallengeGrants. “Wonders of the World” (formerly “Cultural Heritage Forum”) would have been an on-lineeducational program created in partnership with the World Monuments Fund, several New York Citymuseums, and schools in inner-city New York and rural Virginia that would address the growing concernabout the isolation of our nation’s school children from their global cultural and artistic legacy and connectthem to the work of scholars, scientists, and civic leaders worldwide. A $250,000 version of the proposalwas also submitted to and denied funding from the NEH Research and Education Division. The IBMFoundation and GE Fund turned down requests of $50,000 each, but GE expressed interest in consideringanother pre-college arts education proposal at a later date.

The Media Center won a $450,000 request to the Andrew W. Mellon Foundation for support of the“Columbia-Mellon Art Humanities Media Laboratory and Core Curriculum Education Network.” TheNational Endowment for the Humanities agreed to apply a $150,000 Summer Seminar grant to support asix-week program on Gothic architecture and the application of new media to art history as part of theproject. Proposals totaling $300,000 have been made since the end of the fiscal year to two private fundersfor Art Humanities and the activities of the Digital Media Studio, including the recently launched on-lineversion of the Columbia Culture Map produced in collaboration with the Program in Arts Administration.The Culture Map integrates campus arts programs and resources in a central on-line site.

A $35,000 proposal to the Benton Foundation’s “Open Studio: The Arts On-line” for artist training intechnology was rejected. The Media Center accepted a 34-cube video wall valued at $306,000 fromStaging Techniques in part for a collaboration with the Heritage School, a new museum and technologyhigh school in East Harlem established by Teachers College Program in the Art and Art Education and theNew York City Board of Education. Video footage taken of the medieval Limoges enamels exhibition atthe Metropolitan Museum of Art in fall 1996 was edited for classroom use at Columbia.

The second year of the Challenge Grant was met after the end of the fiscal year with cash and in-kind giftstotaling $520,000 and matched by $220,000 from NEH.

Project Leaders: Stephen Murray, Professor and Chairman, Art History and Archæology; MauriceLuker, Associate Director, Media Center for Art History

ARCHITECTURE RESEARCH

Building Technologies Graduate School of Architecture, Planning and PreservationFY 1994 $32,000 School of Engineering and Applied ScienceFY 1995 $32,850 Academic Computing and Information SystemsFY 1997 $35,000

Project Description: The Building Technologies Group was established in the Graduate School of Architecture,Planning and Preservation with the goal of introducing new media technology approaches into architecturalstudies and architectural design. Research initiatives have been established in the areas of:

− Developing networked multimedia tools for architectural analysis, design and documentation;− Augmented reality techniques applied to building construction, maintenance, and renovation;− Rapidly deployable emergency shelters; and− Sustainable architecture.


FY 1995: During the year, considerable expertise in grant sourcing and proposal production was developed in thepublic, private and commercial sectors. Working relationships with Columbia's School of Engineering andApplied Science (SEAS), the University Academic Computing and Information Systems group (AcIS), andTeachers College were established. Alliances were also established with several corporations, including StarnetInternational, Reveo Corporation, Autodesk, and Drawing Management Inc. An 800 square foot buildingtechnologies research laboratory in the Engineering Terrace was established. This space was provided by theCivil Engineering department in return for collaboration on some projects. A number of computers, software and

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related equipment were purchased. AcIS supplied an alarm system in the lab, computer technical support, diskspace on university computers, and an ISDN phone line for videoconferencing.

Project proposal outlines were submitted to more than 40 private foundations and corporations. Pre-proposalswere submitted to a variety of public sector granting agencies, including the National Science Foundation (NSF),the Defense Department's Advanced Research Projects Agency (ARPA --2 submissions), the NationalEndowment for the Arts (NEA), and the Air Force's Rome Labs. Full proposals were submitted to both publicand private organizations, including the New York State Council on the Arts, the NSF (2 submissions - withSEAS and Teachers College), NSF's Gateway Coalition (2 submissions), and the Graham Foundation. $90,000in external research funding was obtained from NSF's Gateway Engineering Coalition, with work completed inOctober 1995. Starnet International, a spaceframe manufacturer, provided a $2,000 grant for materials. TheGraham Foundation awarded the group $10,000. The group hired a Coordinator of Building TechnologiesResearch, a position using funds obtained from external grants.

FY 1996-97: Areas of research focus in FY 1996 included Multimedia Building Monographs (a refinement of theNetworked Multimedia work); Automated Building Component Fabrication; Augmented Reality in ArchitecturalConstruction and Maintenance; and Sustainable Design. Building Technologies research efforts have beenrecently reported in Progressive Architecture (November 1995), and Civil Engineering (January 1996). TheNew York City Mayor’s Office awarded Building Technologies a grant for $25,000 (part of a larger $75,000grant shared with CUNY and the School of Engineering) to draft guidelines for environmental buildingregulations. The NSF Gateway Coalition awarded a grant of $39,000 for “Multimodal Technologies forInterschool Collaboration” early in 1996; later in the year two additional Gateway grants were awarded in theamount of $25,000 (Multimodal Technologies work). Agreements of intent for publishing World Wide Web andCD-ROM versions of the “Farnsworth House” Multimedia Building Monographs have been completed with VanNostrand Reinhold. Van Nostrand Reinhold is also planning to publish the “Housing the Spectacle” project as aCD-ROM and a book. Working with New Enterprise Development Group, the project expects to sign the VanNostrand Reinhold contract soon. Collaborative work was done with the Earth Engineering Center involvingsustainability analysis and architectural design of housing prototypes. A full-scale, augmented reality spaceframeconstruction testbed was demonstrated at an American Society of Civil Engineers international conference inJune. NSF Gateway provided another $20,000 grant.


Project Leader: Tony Webster, Professor, Building Technologies Program, Graduate School of Architecture,Planning and Preservation

Augmented Reality Graduate School of Architecture, Planning, and PreservationFY 1996 $30,000 Department of Computer Science

Project Description and Goals: Augmented Reality is a collaborative research project to develop ademonstration testbed for the use of augmented reality systems in architectural design. "Augmentedreality" refers to the use of a see-through head-worn display to overlay graphics on what a user normallysees. As the user moves about, the position and orientation of her head is tracked. This allows the system'soverlaid information to be tied to the physical world.

A testbed campus navigation system will be set up for use in portions of the South Campus loosely boundedby Low Library, Dodge, Butler Library, and Hamilton Hall. The head-worn display will be connected to abackpack-mounted computer, to augment the user's view of surrounding buildings, and used in conjunctionwith a hand-held pen-based computer. A user interested in the architecture of Low Library, for example,will be able to see the trussed steel framework supporting the dome, and the architects' earlier proposals fora self-supporting masonry dome. Summary information describing the services housed in the building willbe presented through the use of hypertext links that allow users to explore selected areas of interest moredeeply. This campus navigation system is being developed by the Department of Computer Science and theGraduate School of Architecture, Planning, and Preservation. The project will allow for undergraduateparticipation in advanced research for students in computer science, civil engineering, and architecture.


FY 1996: An extensive hypertext database of selected Columbia buildings and infrastructure has been developedand established on the WWW. The database includes three dimensional models of campus buildings and tunnels,archival construction documents, historical images, and noteworthy published articles. AcIS has donated serverspace and file maintenance to this effort. The head-worn display and support hardware for the Augmented Realityuser interface have been purchased and researchers are writing and testing the user interface software. Aninformal white paper was submitted to NIST for continued development (full proposal not requested). A

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$100,000 preproposal was submitted to the Defense Advanced Research Projects Agency’s proposing anaugmented reality-based Surgical Room of the Future (full proposal not requested).

FY 1997: A working prototype of the campus navigation system has been constructed. Images areavailable through http://www.cs.columbia.edu/graphics/ and http://www.cc.columbia.edu/cu/gsapp/BT/RESEARCH/ar.html. A paper on the project will be presented at the International Symposium onWearable Computers (Cambridge, October 1997) and is available at http://www.cs.columbia.edu/graphics/publications/iswc97.ps.gz. During the Spring 97 semester, software developed for the project wasused by students at the Center for New Media to create an experimental 3D news story on the 1968Columbia student revolt (see http://www.ctr.columbia.edu/~jp35/newslab/mjt/start.html). Our augmentedreality work received an Honorable Mention in the prestigious 1996 American Institute for ArchitecturalResearch Awards and was demonstrated at the ACM '97 conference in San Jose in March 1997. Aproposal to the Office of Naval Research “Mobile Augmented Reality Systems” for 5/1/97-4/30/00 wasfunded. Pending proposals include a NSF proposal titled “Acquisition of a Mobile Robot ScanningSystem” for $86,077 for 12/1/97-11/30/01; a DOD DURIP proposal titled “Equipment for MobileWireless Applications” for $166,454 for 3/1/98-2/28/99; and a NSF IGERT titled “Intelligent Multi-Mediafor Enhancing Research, Science, and Education: IMMERSE” for $2,654,806 for 4/1/98-3/31/03.

Project Leaders: Steve Feiner, Professor, Computer Science; and Anthony Webster, Professor, Architecture,Planning, and Preservation

New York City InitiativeIn 1993, President George Rupp renewed Columbia’s commitment to involvement in the life anddevelopment of the City of New York. Seeking to stimulate response to this commitment, the New YorkCity Initiative addresses the university’s research, technical assistance, and educational missions. Theinitiative is intended to support research and educational programs to enhance our understanding ofurban environments and to increase Columbia’s urban outreach activities. Current projects includestrategic planning assistance to the New York City Empowerment Zone, a program of the U.S.Department of Housing and Urban Development; research and planning involving the City’stelecommunications industry; engineering research and technical assistance focusing on the City’sphysical infrastructure; a longitudinal survey of how New York City households will “package” socialservices as services change over time; urban planning technical assistance in areas including businessimprovement and housing; urban policy research on a variety of issues including homelessness and ethnictolerance; and a new consortium that will focus on both basic and policy-oriented social science researchrelated to the future of children and families. Projects falling under other Strategic Initiative Programareas also involve New York City issues and organizations, including the Institute for LearningTechnologies (Virtual Information Initiative), the Center for Environmental Research and Conservation(Columbia Earth Institute), and the Earth Engineering Center (Columbia Earth Institute). Theseprojects also work to enhance Columbia’s involvement with New York City schools, communities,businesses, and scientific and cultural organizations.

Telecommunications Institute Center for Telecommunications ResearchFY 1994 $50,000 Columbia Institute for Telecommunications and InformationFY 1997 $58,225

Project Description and Goals: The Telecommunications Institute is an experimental effort to developcollaborative projects in telecommunications-related research. Principals in the effort include the ColumbiaInstitute for Telecommunications and Information in the Graduate School of Business, the TelecommunicationsResearch Group in the School of Engineering and Applied Sciences, and the Graduate School of Journalism. Thegoal is to establish Columbia as a leading center for science, technology, policy, and financial research intelecommunications and to develop linkages with the New York City telecommunications industry. The Instituteis intended to stimulate new fields of research and to enhance student training. The Institute will pursue thedevelopment of joint graduate and Ph.D. level programs in the study of telecommunications. In particular, the

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science and technology components will support the continued development of several Columbia-basedinformation technology projects.


FY 1994: Strategic Initiative Program funding supported the Institute's planning activities and the establishment ofa business officer level position providing liaison between the School of Business and the School of Engineering.FY 1994 activities included an International Conference on Telecommunications and development of a proposalto the National Telecommunications and Information Administration establishing Columbia as an "AcademicAnalytical Group" for the Agency. The proposal was declined.

FY 1995: The liaison position was established in October 1994 and extended through June 1995. Coordinatingactivities between CITI and CTR included the following collaborations:

− Initiation of a project to build a prototype for a real-time spectrum allocation clearinghouse;− Increased communication of CITI and CTR projects leading to mutual consultation and technical assistance;− Identification of several multi-disciplinary research projects which draw on the expertise of each center;− Initiation of a cross-disciplinary lecture series involving students and faculty from several schools and

departments in engineering and business;− Review of a proposal for a Columbia-wide Ph.D. in Programming Communications. The proposal involves

the schools of Business, Engineering, Journalism, and International Affairs.

FY 1996: In May 1995 the Manager of Joint Programs in Research was suspended in FY 1995 due to problemswith the model in terms of achieving a viable working relationship involving the telecommunications industry andthe two academic centers. The project participated in a collaborative proposal to the National Science Foundationled by the Telecommunications Research group in the School of Engineering to win an Engineering ResearchCenter designation (“Image Technology for New Media”).

FY 1997: As of January 1997, the Manager position has been rewritten to require a candidate with an advanceddegree in engineering and telecommunications industry experience. Liaison activity will draw in variouscompanies and develop a synergy between business and engineering partners to the point that the businessesdevelop a strong understanding of technological opportunities and the engineers develop a better understanding ofbusiness technological needs and opportunities. Research focus areas will include:

− Set-top box technology and economics;− Advanced television standards and policy;− Video server technology and strategy;− Technology policy formulation and economic strategy concerned with interconnection and interoperability of

telecommunications systems;− Impact of cybercommunications on communications.

Of particular importance to this project is the Virtual Institute for Tele-Information (V.I.I.) located athttp://www.vii.org. The V.I.I. provides users with the greatest variety of telecommunication research tools on theInternet, including full-text documents (research papers, regulatory proceedings, and conference proceedings),links to over 8,000 communications related sites, event calendar, biography database, bulletin boards (e.g. for jobpostings), ongoing interactive forums, and online conferences.

With the CITI’s support, V.I.I. has acquired a dedicated server that. allows faster access, easier addressability,and the power to expand into new applications. We have made extra capacity on our server to be used for theUniversity's Real Audio and Video license, which was acquired jointly by C.I.T.I., Journalism, Columbia College,and Casa Italiana. V.I.I. now uses this capability to cybercast (broadcast audio over the Internet) conferences.V.I.I is also holding on-line chat sessions, where industry and researchers analyze current issues intelecommunications. For example, V.I.I will be holding an on-line chat on multichannel broadcasting inDecember 1997.

Other activities have included:

− The Impact of Cybercommunications on Telecommunications. Three public conferences were held.− Doctoral Program. Further progress was made in establishing a program outline for the Doctoral Program

in Communications.− Interconnecting the Network of Networks. This manuscript, which is nearly completed, covers the economic,

technical, international, historical and political issues of interconnecting the various pieces of moderntelecommunications networks.

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Last Minute Updates: In July 1997, the Manager of Joint Programs in Research was reinstituted. Since itsinitiation, the liaison has developed or contributed to the following projects:− National Science Foundation Engineering Research Center Application led by the Telecommunications

Research group in the School of Engineering ("Columbia New Media Technology Center")− The Future of Digital Television. A conference exploring the changing economics of the TV Industry in the

digital age, the effects of digital TV on content and programs, international perspective and the technologybehind advanced digital television.

Project Leader: Eli Noam, Professor, Graduate School of Business

New York City Social Welfare Indicators Survey School of Social WorkFY 1996 $100,000FY 1997 $106,300

Project Description and Goals: Many leading universities in social research house survey centers, including theUniversities of California, Wisconsin, Michigan, and Chicago, but none is led by a school of social work.Further, no other survey center focuses exclusively on New York City. The School of Social Work will establish aNew York City Social Welfare Indicators Survey Center to conduct an annual telephone survey of New YorkCity residents. Data from annual surveys will include demographic characteristics, economic and income status,health and well-being, and use of human services from public and voluntary agencies. The survey will addressspecific issues that are salient to community leaders and policy makers in New York City, including housing,crime victimization, and other major quality of life indicators. The Center will provide a core teaching resourcefor Columbia students in social work and other fields, and over time the survey will involve hundreds of mastersand doctoral students in systematically examining the diverse and changing social needs of New York Cityresidents. Knowledge about social needs and services resulting from the survey can be used by social serviceadministrators, planners, and policy makers in the City. The survey will also seek to attract external funding foranalysis of the core research and for the development and analysis of special topical research.


FY 1995: Started organization and construction of the Center. A project manager was hired, a questionnaire wasdesigned, equipment was purchased and installed, the software was modified, and an Faculty Advisory Board wasappointed.

FY 1996: The Foundation for Child Development awarded the project a $10,000 planning grant in April 1996.Collection of pilot data began and students were recruited to staff the Center and conduct interviews during thesummer of 1996. Students completed the Black America Today Survey designed by Professor Manning Marable.The survey is designed to study black public opinion.

FY 1997: During the fall of 1996, the School revised the social indicators questionnaire and secured anagreement with the New York City and New York State Offices of Child Support Enforcement to survey asample drawn from the caseload of the New York City Office of Child Support Enforcement. The agreementwould provide $5,000 from New York State with a Federal match of $10,000. A proposal was developed andsubmitted to the NICHD which included funding for the child support survey. This proposal was awarded$33,000. The social indicators questionnaire was pretested in Spring 1997.

A project prospectus was submitted to the Mott Foundation, the Ford Foundation, the W.T. Grant Foundation, andthe Russell Sage Foundation. In response to the prospectus that was sent to the Ford Foundation, the foundationindicated that they would be more interested in funding the study if it were extended to other cities. Ron Mincy,the project officer at the Ford Foundation also invited Professor Garfinkel to make a presentation at thegrantmakers income security taskforce, which Garfinkel did over the summer. In late July 1997, the Centersubmitted a proposal to fund the social indicators survey in both New York City and Los Angeles in response to arequest for proposals issued by the Administration of Children and Families of the U.S. Department of Health andHuman Services. The proposal requested funding of approximately $200,000 per year for five years.

Last Minute Updates: Based on the pretest, the Center revised the questionnaire in early summer. Datacollection began in August and will be completed by mid-October. The Center will conduct data analysis this falland issue the first annual social indicators report in early 1998. A formal proposal will be submitted to Ford thisfall. Ford is expected to fund this proposal to cover data collection in New York and possibly Los Angeles. TheFoundation for Child Development has also indicated some interest in the Center and Professor Garfinkel isscheduled to meet with the new President, Ruby Takanishi, in late October.

Project Leaders: Ronald A. Feldman, Dean, School of Social Work; Irwin Garfinkel, Professor, School ofSocial Work

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National Center for Infrastructure Studies School of Engineering and Applied ScienceFY 1993 $106,000

Project Description and Goals: The National Center for Infrastructure Studies is a Columbia University-ledacademic consortium devoted to research that will ultimately advance the sustainability of the New York Cityregion’s physical infrastructure. The Center’s three-fold mission is to identify and prioritize New York City andnational infrastructure problems; to develop a research program emphasizing durable, cost-effective, andenvironmentally sound infrastructure materials and technologies; and to resolve legal and other barriers totechnology transfer among academia, government, and industry. Broad research areas include transportation-systems related R&D; materials research; water supply and distribution; underground utilities; waste streams; andeffects of natural hazards on infrastructure systems. The principal academic partners include Columbia, CooperUnion, Rutgers, Polytechnic, Manhattan College, and the New Jersey Institute of Technology. Non-academicpartners include Brookhaven National Laboratory, the Raytheon Infrastructure Group (formerly EBASCO),Northrup-Grumman, and the National Infrastructure Center for Engineering Systems and Technology (NICEST).The NICEST consortium is strongly supported by New York State industry and consists of the Center forInfrastructure Studies and six additional university partners (Rensselaer Polytechnic Institute, Cornell University,Clarkson University and three SUNY schools). The Strategic Initiative Program provided seed funding for theCenter's start up activities, which have focused on consortium project development and Washington D.C.-basedand New York State-based policy projects.


FY 1994-95: In 1994 NICEST was awarded $500,000 in core funding from the New York State Science andTechnology Foundation; the Center received $75,000 of this funding. In 1995, NICEST requested an additional$1 million for FY 1996. $500,000 was appropriated.

FY 1996: Of the $500,000 appropriation to the NICEST consortium in FY 1996, the Center received $75,000.Using this funding the Center sponsored a colloquium in June 1996 entitled, “Conference on Innovations inInfrastructure Policy and Technology.” The colloquium facilitated discussions among researchers and Federal,State, and City policy makers about future consortium projects. Charles Gargano, Chairman of the Empire StateDevelopment Corporation, attended the meeting. The colloquium produced a book entitled “A Policy Maker’sGuide to the Infrastructure of New York City.”

FY 1997: The Center is engaged in a Rutgers University-led U.S. Economic Development Administration (EDA)grant to develop performance measures tracking the economic benefits of EDA programs ($100,000 subcontractbeginning October 1996). This work is related to the Center’s infrastructure policy objectives. The projectinvolves the Center for Public Policy at Rutgers and the Transportation Institute at the New Jersey Institute ofTechnology. The Center is also continuing a U.S. Army Corp of Engineers project to develop performancemeasures for the Corps civil works projects ($100,000 issued in December 1996). The Center is continuingproposal development activities related to the Department of Transportation’s Intermodel Surface Transportationdivision (ISTEA). Work would include magnetic levitation systems, nuclear waste remediation, and sewagesystems. The Center is also working on a new material, glasscrete, a cement substitute that would provide outputsfor recycled glass. This work is being sponsored by the New York State Energy Research and Developmentauthority; a PBS documentary recently highlighted the glasscrete project. In July 1997, the Center submitted aproposal to NSF’s Institute for Civil Infrastructure Systems program for $5 million.

The following notes special activities related to New York City:________________________________________New York City Infrastructure Assistance Project

Project Description and Goals: Over the next decade, New York City will spend over $40 billion dollars oncapital infrastructure projects. To help the City deploy new technology that can reduce the cost and improve thequality of infrastructure, Columbia’s Center for Infrastructure Studies will sponsor and conduct research tosupport new technology development and work with the City to advance new technology.


FY 1995: Based on a contract with the City through the consortium, Columbia Civil Engineering professors BudGriffis and Raimondo Betti proposed a subcontract under which Columbia would initiate the following activities:

− Develop a bridge maintenance management system;− Develop methods of mitigating bird contamination of NYC upstate drinking water resources; and− Develop plan for expediting the reconstruction of Columbus Avenue.

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The subcontract would be with the Mayor’s Office of Construction. A Basic Ordering Agreement was obtainedfrom the City last year, and recently a task order was proposed by the City that would allow the work to begin.Columbia must resolve several liability issues before a decision is made to move forward with the projects. TheMayor’s Office of New York City has just awarded a grant to the Project, which is shared with BuildingTechnologies (GSAP) and City University on the topic of environmental building regulations. The relevantportion of the grant total is $50,000 of $75,000.

FY 1996: In February 1996 a contract between the university consortium and New York City was negotiated fora project to develop guidelines for environmentally responsible buildings ($72,000).

FY 1997: A proposal to the Corp of Engineers and the New York City Port Authority is under development tocreate a virtual New York Harbor so that activities such as bioremediation on dredge materials can be modeled.This proposal will also involve Columbia’s Earth Engineering Center.


Project Leader: Bud Griffis, Professor, Civil Engineering

Child and Family Policy Institute School of Social WorkFY 1997 $40,000 Teachers College

School of Public Health

Project Description and Goals: The Institute on Child and Family Policy is the effort of a core research teamfrom Teachers College, Social Work, and Public Health to create a permanent structure for interdisciplinaryresearch and graduate education related to child and family policy. The Institute will expand on this core andinvolve researchers from across the university in designing new interdisciplinary methods to approach theseemingly intractable problems in child and family policy. Issues and problems of the following scale will beexplored: Can public social policy affect, shape, and change individual behavior? Is a high child poverty rateinevitable in the U.S. and what are the implications? Can we develop economic models that clearly demonstratethe effectiveness of early intervention/prevention/human capital investment? Research domains will include, butwill not be limited to, health, education, economic security, and social services. As an alternative to traditionalproblem-alleviation approaches to social policy, the Institute's policy research will incorporate a strongdevelopmental perspective. The predominant policy focus will be at the national and international level, thoughoccasionally some local and regional work may be undertaken in coordination with the research interests ofvarious Columbia university faculty. Institutional goals for the Institute include its use as a pilot effort to beginworking through some of the difficult administrative issues in interdisciplinary research in the social and policysciences, including the sharing of indirect costs, creating incentives for faculty and junior faculty involvement, andthe management of virtual academic centers.


FY 1997: The Institute received Strategic Initiative Program support in January 1997 to begin the planning phase.

Last Minute Update: In August 1997, a final project plan was submitted detailing plans for a senior facultyseminar, a doctoral student seminar, and a doctoral research practicum. The doctoral activities would be createdand cross-listed in the graduate guides for Public Health, SIPA, and Social Work. The Deans of the sevengraduate schools would serve as ex officio members of a Steering Committee, with selected Columbia facultyserving as members of the committee.

Project Leaders: Jeanne Brooks-Gunn, Professor, Teachers College; Larry Aber, Director, Center forChildren in Poverty, School of Public Health; Shiela Kamerman, Professor, School of Social Work

AFDC Migration Model Department of SociologyFY 1997 $14,160

Project Description and Goals: The AFDC Migration Model project plans to study two hypotheses: Post-Migration Income and Recipiency Trajectories and International Migration and the Attractive Power ofWelfare Benefits. The projects will involve the introduction of new measures of human capital. The firsthypothesis, Migration Income and Recipiency Trajectories, will track a large number of migrants andassess both their income and program participation propensities. If the currently popular welfare magnetthesis holds, then society can anticipate migrants will have a higher rate of first year program recipiencyand a lower rate of exiting from the program than the destination state’s long-term residents. In contrast tothe welfare magnet argument, a human capital thesis can be constructed: individuals who migrate typicallypossess more entrepreneurship or ambition which are otherwise unmeasureable human capital

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characteristics. The migration process is one where individuals match themselves to their destination stateand neighborhood; a consequence of migration is a social multiplier, whereby the destination communitiesare able to amplify the human capital characteristics of the individuals moving there. A third possibilityalso exists: the relocating individuals are a mixture of two populations, one engaged in maximizing welfarebenefits and another characterized by ambition and resourcefulness. The second hypothesis, InternationalMigration and the Attractive Power of Welfare Benefits, believes that if the arguments made above areextended to international migrants, the case could be made that the destinations chosen by those fromoutside the national borders would be those with the most generous AFDC payments.


FY 1997: Professor Hartman submitted a proposal titled “State Welfare Benefits and Interstate Migration” for$109,272 (01/01/98-06/01/99) to NSF-SBE. Additionally, the following proposals are currently pending NSF-SBE “African American Suicide in U.S. Metropolitan Areas” for $268,573 (01/01/98-01/01/01); the AmericanSuicide Foundation “Inequality and Suicide: A Panel Data Analysis of Trends in African American Self-Injury”for $7,500 (01/01/98-01/01/99); and Chiang Ching-Kuo Foundation “Social Multipliers and EconomicDevelopment: Exploring Post-War Taiwanese Economic Growth” for $91,591 (05/)1/98 – 04/30/00). ProfessorHartman is also planning on submitting a proposal to the William T. Grant Foundation titled “DistributionalDynamics and African American Self Injury: New Models of Relative Deprivation” for $300,000 on 11/01/98.

Project Leader: John Hartman, Professor, Department of Sociology

To Establish a Program in Refugee Studies School of Public HealthFY 1997 $25,000

Project Description and Goals: The Center for Population and Family Health is establishing a programfocusing on the health status of refugees and displaced populations. There will be a year-long planningperiod, during which the program will focus on training, research, staff development, and developinglinkages to other universities and refugee organizations. Training includes developing a curriculum forrefugee issues within the Master’s in Public Health program and identifying possible faculty participants.The objectives supported by the SIF funding include: developing an agenda for the new program’s initialyears; establishing a Planning Committee and recruiting a Director; and establishing exchange relationshipswith faculty and staff at the University of Witwate Rsrand, South Africa, and the Refugees Study Center atthe University of Oxford.


FY 1997: In preparation for the refugees program, Prof. Alicia Yamin of the Center's Law and PolicyProject organized a seven-week Master's-level seminar with speakers from academic and non-governmentalinstitutions working in the area of refugee health and policy. With graduate research assistance, Yaminthen conducted a comprehensive review of existing curricula on refugee health and complex humanitarianemergencies. Yamin also participated in a three-week intensive course and received a certificate on Healthin Complex Humanitarian Emergencies, run by InterAction/OFDA. Faculty members Roger Vaughan andTherese McGinn traveled to Nairobi, Kenya, to develop a training and information seminar with theInternational Rescue Committee. The Center is collaborating with the IRC to provide technical assistancein monitoring and evaluation methods and improved information management for the IRC’s existingnetwork of refugee health projects. The Center expects to hire faculty to lead this program by the end of thecalendar year. The Center received a grant from the Andrew Mellon Foundation “To Establish a Programin Refugee Studies” for the time period of 12/1/96 to 2/28/98 for $125,000. Additionally, the MellonFoundation has pledged over one million dollars in core funding beginning January, 1998.

Project Leader: James McCarthy, Professor, School of Public Health

URBAN POLICY AND URBAN PLANNING

The following SIP investments support efforts of various divisions of Columbia to create a more proactive rolefor the university in New York City policy and planning. Efforts are guided by principles of community-drivenapproaches. Upper Manhattan is an important focus in these efforts; there is also attention to broader nationaland international urban public policy and urban planning issues. The Geographic Information Systems (GIS)Laboratory and the Urban Technical Assistance Project, both based in the Graduate Program in UrbanPlanning, use GIS technology to enhance urban planning education at Columbia and to enhance planningpractice in New York City, focusing on assistance to community-based organizations. GIS technology createsvisual interfaces for complex spatial, social, economic, and physical data, allowing for both a comprehensiveoverview as well as sector-level analysis of a planning area. The Empowerment Zone Monitoring and

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Assistance Project (EZMAP) is a Columbia University-based project designed to monitor and document thedevelopment of the nation's 15 Empowerment Zones and Enterprise Communities; to facilitate communication,information exchange, and mutual learning among EZs; and to provide technical assistance to the New YorkCity Empowerment Zone. The Center for Urban Public Policy, a joint effort of the School of International andPublic Affairs and Barnard College, supports urban policy education and research with a strong focus on NewYork City.

Geographic Information Systems Laboratory Graduate Program in Urban PlanningFY 1994 $55,000

Project Description and Goals: In the fall of 1994, the Urban Planning Program initiated a collaborative effortwith the Urban Design Program to conduct regional and neighborhood planning and design studies. The goal wasto support student training in geographic information systems-based planning and design efforts both domesticallyand internationally. A key tool of the planning and design work is a PC-based geographic information system(GIS) laboratory which is being upgraded and expanded as part of the effort. Through the development of studentcourses, data collected and assembled by students in the courses will be and formatted in the GIS laboratory forstorage, manipulation, and generation of data analyses and for graphic modeling of various planning and designscenarios.


FY 1995: FY 1995 project development included the following activities:

− GIS Laboratory Renovation: Redesign and reconstruction of the Avery Hall GIS laboratory began inJanuary 1995 and were completed in the summer of 1995. The laboratory now consists of a local areanetwork for 12 workstations, including a video presentation capability. GIS courses were offered beginning inthe spring of 1995. These include two Urban Planning Workshops, Workshop in Planning Skills, andCommunity Design Workshop; and one Urban Design workshop, Urban Design Studio.

− Inner-City Johannesburg (Hillbrow Area Planning): In conjunction with Wits University in South Africa,the Planning Program conducted a spring studio for the Department of Urbanization in the City ofJohannesburg. Students in the Urban Design Studio produced maps of the Johannesburg inner-cityneighborhood of Hillbrow, taking digital image maps and transforming them to maps connected to actual data.This allowed for the first time a connection between a digital database and digital image of the Johannesburginner city.

− Lower Manhattan Studio: During the Spring 1995 semester, the Community Design Workshop suppliedstudents to assist in planning efforts for the Empowerment Zone Local Development Corporation. Planningand design work for the South Central Harlem Project Area focused on issues including the need and demandfor schools, housing, new facilities, and parks. The project provided for the Empowerment Zone with aneighborhood-level planning framework for implementing the Empowerment Zone Strategic Plan, laying outan economic, physical, and social overview of the Empowerment Zone in both a regional and neighborhoodcontext. The project identified the neighborhood structure of the Empowerment Zone and addressed how itseconomic components and service delivery assets are measured in a physical context. The project was staffedby five professors and three teaching assistants; student involvement included 25-30 first- and second-yearstudents.

− Urban Planning Core Curriculum: In the Fall of 1995, the GIS laboratory was integrated into the corecurriculum of the Urban Planning Program through the Workshop in Planning Skills. The course producedseven paperless presentations of fall semester projects, using video projection. The projects examined areas inLower Manhattan from Wall Street to Morningside Heights and covered subjects including zoning,demographics, land use, and urban design.

FY 1996: The GIS laboratory has now been incorporated into the Urban Planning program’s core curriculum.Through urban planning workshops including Workshop in Planning Skills and the Community DesignWorkshop graduate students implement projects employing the laboratory. Projects frequently involve activitiesof the Urban Technical Assistance Project, the School’s principal community outreach effort.

Project Leader: Lionel McIntyre, Director, Graduate Program in Urban Planning

Urban Technical Assistance Project (UTAP) Graduate Program in Urban PlanningFY 1996 $158,000FY 1997 $158,000

Project Description and Goals: In July 1995 the Urban Technical Assistance Project (UTAP) wasestablished within Columbia University’s Graduate School of Architecture, Planning, and Preservationunder the auspices of the Graduate Program in Urban Planning. UTAP’s mission is to provide urban

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planning technical assistance to inner city communities. UTAP’s immediate focus is its work with theneighborhoods of Harlem to assist efforts toward revitalization. UTAP uses the resources of itsGeographic Information System and the Columbia research community at large to aid New York Cityplanning efforts related to community development and other activities. Types of technical assistanceinclude project development, advanced GIS research, and in-service support (client training, surveyimplementation, and planning workshops, etc.) Student interns as well as faculty are employed by UTAP towork on projects that contribute to their professional training. UTAP’s clients include communityorganizations in Harlem, Washington Heights, Inwood and the South Bronx, as well as in other areaswithin and outside the region such as Camden, New Jersey; Vieques, Puerto Rico; and Port-au-Prince,Haiti.


FY 1995: In the Fall of 1995, UTAP began renovations to establish an off-campus office at 131st Street,between Broadway and 12th Avenue. The office is staffed by faculty, student interns, and a project manager.Projects and activities conducted by the project in FY 1995 include the following:

− Earth Engineering Center Support: In the Fall of 1995, UTAP supported the design of a three-dimensionalmodel of Northern Manhattan for Columbia University’s Earth Engineering Center, a joint effort of the Schoolof Engineering and Applied Science and Lamont-Doherty Earth Observatory.

− Community Outreach Partnership Project Support: UTAP supplied trained interns to provide technicalassistance to City College-Columbia University Community Outreach Partnership Center, to support aplanning assessment of East Harlem for the James Weldon Johnson Houses Tenant Association. Theinformation package was completed in the Summer of 1995.

− Proposal Writing: In April 1995, a proposal for $450,000 was submitted to the NTIA’s TelecommunicationsInformation Infrastructure Assistance Program (TIIAP) for a survey and mapping project in Upper Manhattan.The proposal was not funded.

FY 1996: In 1996, UTAP completed its relocation to West 131st Street offices, expanded its GIS facilitiesand increased the involvement of graduate interns, faculty and expert consultants in various areas ofcommunity development including the application of planning technologies. UTAP maintained aninterdisciplinary commitment to community-based organizations in Harlem, Northern Manhattan and theCaribbean. Specific activities include the following:

− Worked with the Audubon Partnership for Economic Development to refine its UMEZDC proposal torevitalize commercial activity in Northern Manhattan. The proposal was prepared in 1996 and fundedin the spring of 1996 for $375,000. The project is to begin in fall 1997. UTAP also sponsored anurban design studio focused on the economic revitalization of Washington Heights. The studioengaged community representatives, urban design graduate students and planners and addressed issuesof commerce, transportation and demography.

− Prepared an inventory and assessment of retail activity in Southern Washington Heights to support theinitiative of the Community League of West 159th Street to establish a Business Improvement District(BID) on Broadway and Amsterdam Avenue in Northern Manhattan. Further technical assistanceincluded the preparation of the BID application on behalf of the League. This project was supported bya $35,000 grant from the Enterprise Foundation.

− Prepared a physical assessment of South Central Harlem and a strategic planning proposal for theUnited Tenant Interim Lease Coalition of Harlem (UTILCH). UTILCH’s proposal was approved andfunded by the Edna McConnell Clark Foundation, $70,000. UTAP is currently engaged in variousaspects of the plan’s implementation. Also, under the same support from Clark, UTAP worked toprepare a physical and demographic assessment of the Mount Morris area for Community Pride aservice organization of the Rheedlen Center for Children and Families. UTAP’s work was funded bythe Clark Foundation for $162,000 in FY 1996.

− Sponsored an urban planning studio in Vieques, Puerto Rico to develop a land use proposal for 8,000acres of land that may be relinquished by the U.S. Navy. Initial research for the development proposalwas done by graduate students in the Urban Planning Program. UTAP followed through with thecompletion of the document in the Fall 1996. Continued support to the Committee for the Rescue andDevelopment of Vieques, Puerto Rico includes participation in planning sessions and proposalcollaborations. The project was sponsored by Economists Allied for Arms Reduction (ECAAR), andfunded for $5,000 by the Miranda Foundation.

FY 1997: The Neighborhood Partners Initiative of the Edna McConnell Clark Foundation furtherstrengthened UTAP’s relationship with community-based organizations in Harlem and the South Bronxwith a grant for $162,000. UTAP was also involved with planning initiatives outside of New York as apartner with Rowan University’s Institute for Public Policy conducting a study of the Camden, NJ

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waterfront. UTAP continued its program training workshops in computer applications for communitydevelopment.

− Prepared neighborhood assessments and planning information for five project sites located in Harlemand the South Bronx that are participating in the Neighborhood Partners Initiative (NPI) of the EdnaMcConnell Clark Foundation. UTAP implemented site surveys, planning workshops, training sessions,data transfers and other technical assistance to help community-based organizations formulatecommunity building strategies and to develop capacity to sustain its participation in the NPI. Clark hasgranted UTAP an additional $230,000 to continue with the initiative through spring 1998.

− Arranged additional support to Harlem-based community organizations by making availableassignments that engaged Community Impact Americorps volunteers in organizations’ planning efforts.With the Community Vision Project of the Abyssinian Development Corporation, volunteers conducteda resident opinion survey of neighborhood conditions and local service provision. Also, volunteerssurveyed merchants in Washington Heights for the Community League of West 159th Street to supporttheir Business Improvement District initiative.

− Completed Phase I of Camden economic and physical development strategy with Urban PlanningStudio engaging planning graduate students. The second Phase of the project has assembled a team ofplanning and policy experts to prepare a comprehensive economic land-use study for Camden incontext of its region. Final reports will be completed by December 1997. The study was fundedthrough a HUD grant for $98,280.

− Sponsored an urban planning studio focusing on waterfront conditions and land use issues at the Croixdes Bossales site in Port-au-Prince, Haiti. Initial research for the development proposal was done bygraduate students in the Urban Planning Program. UTAP followed through with the completion of thedocument in the Spring 1997. Research and the development proposal are currently in use as part ofnational planning efforts to redevelop the capitol city’s waterfront. Funding for project expenses werecovered by the President’s Office for Planning and Infrastructure.

− Trained four project managers from the United Nation’s Habitat for Humanity Project in Haiti inGeographic Information Systems (GIS) technologies and other computer applications for communitydevelopment under a contract for $6,000. Under a separate contract, UTAP has since trained aPlanning Director from the Haitian President’s Office for Planning and Infrastructure in a similarcapacity. A fee of $1,500 was collected to support instruction and materials.

Project Leader: Lionel McIntyre, Director, Graduate Program in Urban Planning

*Empowerment Zone Monitoring & Assistance Project (EZMAP) Graduate School of Architecture,FY 1995 $50,000 Planning, and PreservationFY 1996 $50,000FY 1997 $68,589

Project Description and Goals: The Empowerment Zone and Enterprise Community program enacted byCongress in 1993 is the federal government's most significant initiative in a generation to revitalizedistressed communities and expand economic opportunities for their residents. New York City wasdesignated to be one of the nation's nine Empowerment Zones and received a $100 million ten-year grant torevitalize portions of Upper Manhattan and the South Bronx. Both the city and state governments matchedthe federal grant, thereby assuring that the zone would have $300 million in total grant funds. In addition,businesses located in the Empowerment Zone are eligible for federal tax credits.

EZMAP's primary mission is to provide technical assistance to the Upper Manhattan Empowerment ZoneDevelopment Corporation (UMEZDC) in the following areas: research, strategic planning, program design,evaluation, and the development of external linkages and public-private partnerships. EZMAP alsofacilitates information exchange and mutual learning among the nation's Empowerment Zones.

EZMAP is supported by the Ford Foundation, the Annie E. Casey Foundation, and Columbia University.In FY 1995, the University received $800,000 from the Ford Foundation and $200,000 from the CaseyFoundation to cover the initial two-year grant period. Recently, the Ford Foundation awarded theUniversity another $800,000 two-year grant for EZMAP. The Casey Foundation also approved another$100,000 to support EZMAP's national activities over the coming year. EZMAP is integrated into theacademic life of the University through the appointment of its director, Richard Schaffer, as a visitingprofessor of urban planning in the Graduate School of Architecture, Planning, and Preservation. ProfessorSchaffer is a former chairman of the New York City Planning Commission. EZMAP's senior associate is avisiting assistant professor in Barnard College.

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FY 1995: In January 1995, Columbia University supported the start up of EZMAP through the SIP andother university funds to provide space in the Interchurch Center (subsequently, EZMAP was relocated to2875 Broadway), computer hardware and software, and the capacity to create and maintain large-scalecomputerized databases. FY 1995 activities included the following:

− Co-sponsored and funded the first White House Community Empowerment Conference (July 1995),which brought representatives of the nation's Empowerment Zones together with federal officials andothers.

− Wrote a grant proposal and raised $100,000 of transitional funding for the Empowerment Zonecoordination unit to support it until UMEZDC was established and government funds were received inearly 1996.

− Reviewed and provided advice on early drafts of the programmatic benchmarks for proposedEmpowerment Zone projects that were required by the federal government.

− Advised on an application to the National Institute of Justice for a locally administered criminalvictimization survey of zone residents by the Valley, a community-based youth agency, and the VeraInstitute of Justice.

− Advised on an application to the U.S. Department of Education for bilingual education programs incollaboration with Teacher's College (Institute for Urban and Minority Education) and UpperManhattan public schools.

− Reviewed alternatives for the creation of a community development bank in Upper Manhattan.− Initiated meetings with the Center for Employment Opportunities, an organization which provides

employment services to ex-offenders, to explore a partnership with the UMEZDC.− Participated in the University's Empowerment Zone Council organized to focus on ways in which the

University can assist the zone in implementing its strategic plan. Worked with the urban planningprogram and the Barnard-Columbia Center for Urban Policy to develop a database of the University'scurrent and proposed activities in the zone.

− Completed a series of detailed analyses of labor force characteristics and jobs located in UpperManhattan that involved extensive computer programming and the use of multiple data sources. Alsocompleted a comprehensive profile of the non-profit economy in Upper Manhattan.

− Made presentations to the Board of UMEZDC at their quarterly meetings on a range of topics,including: federal tax incentives, the non-profit sector in Upper Manhattan, characteristics of theresident labor force, and lessons from the past thirty years of community development in the nation.EZMAP's director also met periodically with the leadership of UMEZDC to assist them in reviewingprogrammatic initiatives.

FY 1996: EZMAP sponsored conferences and completed analyses in support of UMEZDC andEmpowerment Zones nationally. EZMAP's director met periodically with the leadership of the zone onvarious planning initiatives. Throughout the year EZMAP responded to numerous requests for research andother technical assistance. Specific activities conducted by EZMAP included the following:

− Co-sponsored and funded the second White House Empowerment Conference in February 1996.− Completed a report on the economic base of Upper Manhattan, including for-profit and non-profit

activities. The report analyzed the number and types of establishments, longevity, employment, sales,etc.

− Evaluated the potential for an entrepreneurship program in family day care that would train and registerresidents of Upper Manhattan as day care providers. Assessed the demand and supply of day careservices in the area, residents registered to provide these services, residents available for registration,similar programs elsewhere, and economic feasibility.

− Developed the methodology and survey form required to identify and assess the financial, technicalassistance, and other needs of businesses located in four key commercial corridors in Upper Manhattan.This information was needed to structure commercial revitalization programs.

− Made presentations to the staff and Board of UMEZDC; served as the University's designated "pointperson" to communicate UMEZDC's technical assistance and other requests to the University and toarrange appropriate responses, as well as to convey proposed University initiatives to the zone; and metperiodically with the leadership of UMEZDC to assist in strategic planning and review programmaticinitiatives.

FY 1997: EZMAP's initial two-year grant from the Ford Foundation was due to expire on December 31,1996; however, the project was permitted to use its unexpended funds to operate until May 1997, at whichtime the Ford Foundation approved a new $800,000 two-year grant. In addition, the Casey Foundationprovided another $100,000 to support EZMAP's national activities over the coming year. The new Fordand Casey Foundation grants, combined with continuing financial and in-kind support from the University,will be sufficient to fund EZMAP until June 1999. EZMAP conducted the following activities in FY 1997:

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− Co-sponsored and funded the third White House Community Empowerment Conference in April 1997.While the first two conferences were held in Washington, D.C., this one was held in Detroit, one of thecities with an Empowerment Zone. A couple of months later, EZMAP also partially funded the firstregional Empowerment Zone conference in Boston.

− Designed and constructed a computerized Geographic Information System (GIS) for Upper Manhattan.The GIS is fully operational and contains an extensive array of demographic, economic, and real estatedata. Depending on the particular data file, the GIS is capable of producing statistical analyses, listings,mailing labels, and thematic maps at geographic scales as fine as individual parcels of property andspecific business establishments. A large-scale color plotter and a digital camera add to the system'scapabilities.

− Completed an extensive report on the real property market in Upper Manhattan. Among the topicscovered were land uses, lot and building sizes, assessed and market values, ownership, vacant land andbuildings, zoning, and mortgage activity.

− Used data provided by the City's Department of Housing Preservation and Development to produce areport on all of the housing and mixed-use projects in the development pipeline in Upper Manhattan.UMEZDC is using this report to identify areas in which there will be increased demand for retail goodsand services. It is also using this report, along with EZMAP's analysis of mortgage lending, to discussthe need for additional residential mortgage financing with various financial institutions.

− Completed a longitudinal analysis of Upper Manhattan's demographic, educational, labor force, andpoverty conditions from 1950 to 1990. UMEZDC requested this report so that it could place today'sconditions within their historical context.

− Revised, as planned, the 1995 establishments file that EZMAP created for Upper Manhattan. This filecontains information on the nearly 9,000 for-profit and non-profit establishments located in UpperManhattan. Updating this file required the use of reverse telephone directories, telephone calls toroughly 2,000 of the establishments, and field observation. As with the 1995 file, the 1997 version isbeing used for analytic, mapping, and mailings to establishments in the area. The 1995 and 1997establishments files will also be used to analyze the birth and death rates of various categories ofbusinesses in Upper Manhattan over the two-year period.

− Used the City's 1996 Housing and Vacancy Survey to update the demographic and economicinformation contained in the 1990 census. Absent such an analysis, UMEZDC would have had to relyon 1990 census data.

− Worked with McKinsey and Company (which is providing pro bono assistance to UMEZDC) todevelop a more fully articulated economic development strategy for the Empowerment Zone.

− Participated in the University's Empowerment Zone Council organized to focus on ways in which theUniversity can assist in implementing the zone's agenda, and continued to be the University's designatedpoint of contact and liaison with UMEZDC.

Project Leader: Richard Schaffer, Empowerment Zone Monitor and Assistance Project.

*Center for Urban Policy Barnard CollegeFY 1995 $50,000 School of International and Public AffairsFY 1997 $50,000

Project Description and Goals: This joint Barnard College-Columbia University center was created in theFall of 1994 with an anonymous donation of $500,000 to support research and curriculum developmentrelated to urban policy. A current focus of the Center is the Department of Housing and UrbanDevelopment-sponsored New York City Empowerment Zone. HUD’s Empowerment Zone program is thecenterpiece of the Clinton Administration’s new community-based urban development policy. In additionto its activities in support of research on the design and implementation of strategies for the EmpowermentZone, the Center supports public discussion of other major national urban policy issues.


FY 1995: The Center established the following forums and programs in the Fall of 1994:

− David N. Dinkins Leadership and Public Policy Forum: The first forum, held in the Spring of 1995,featured Vice President Albert Gore, the Chairman of the Federal Empowerment Zone/EnterpriseCommunity Board. The Center raised $200,000 in private money to bring local administrators of thesix major Empowerment Zone programs in cities across the country to the forum;

− Senior Fellows Program: David N. Dinkins is currently the Center’s first Senior Fellow;− Faculty Assisted Student Policy Research Stipends: Professor David Farber of Barnard’s History

Department received a stipend to support the research of two undergraduate students, during the Fall 1994semester, in the ongoing Ford Foundation sponsored research project on Yonkers desegregation programs.Besides working as research interns with the project, the two students were able to generate original data on

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the history of Yonkers race relations. We have also had several students working as interns at the Centerengaged in research on urban fiscal policy, the Harlem Empowerment Zone, national urban policy and theimpact of the cuts in the federal government on cities under the supervision of Ester Fuchs This studentresearch is funded primarily by the anonymous donor;

− Student Research Assistantships and Internships (Sept. 1995-Sept. 1996): Through anonymous donorgrants, the HUD Community Outreach Partnership Center Grant with City College, and the federal workstudy program, the Center for Urban Policy is involving at least 12 students in policy work at the center andinternships in the Harlem community. Student projects include developing a prototype for an electronicinformation clearinghouse on national, innovative housing and community development programs; a researchreport on the issue of computer access in low-income communities; and assistance to the 125th StreetBusiness Improvement District (BID) in Harlem;

− Master’s in Public Administration Minority Student Fellowships/Assistantships: Minority Students inColumbia’s MPA Program have been provided work/study fellowships at the Center to assist the Center in itsresearch;

− Undergraduate and Graduate Public Service Internships;− Undergraduate Policy Research Assistantships;− Curriculum Development: Work in Curriculum Development includes the creation of an

undergraduate course in Program Evaluation through the Urban Affairs Program;− Urban Issues Workshop: The Center for Urban Policy Co-sponsored this workshop with the Center

for the Social Sciences. Faculty from the university and around the country and graduate studentspresent the results of urban research; and

− University faculty research database: The Center worked with EZMAP and UTAP to develop EZ-related urban policy activities for the Columbia EZ Council.

In addition, the Center engaged in proposal writing to support the New York City Empowerment Zone andits own activities:

− Supported writing of Harlem Urban Development Corporation’s New York City Empowerment ZoneProposal;

− Community Outreach Partnership Center (COPC): With City College, the Center applied for andreceived a grant from the Department of Housing and Urban Development for $140,250 to create acenter in Harlem. The COPC supports Columbia and Barnard faculty-led student interns to performresearch on housing, economic development, community leadership, and other areas. Projects include aprototype for an electronic clearinghouse on innovative housing and community development programsand a survey of computer access in Harlem; and

− New Voices in State Policy (Award: $66,000): Applied and received a Ford Foundation award for anevaluation of the capacity of advocacy groups serving traditionally underrepresented groups for fiscalpolicy analysis. Co-Principle Investigators are J. Philip Thompson and Ester Fuchs.

FY 1996: In addition to the continuation of most of the programs from FY 1995, the Center’s other projectsincluded:

− Review of the Federal Empowerment Zone/Enterprise Communities Program: The Center led thedevelopment of a proposal, in response to a HUD request for proposals, to conduct a long range reviewof the Federal Empowerment Zone/Enterprise Communities Program. The Center, representingColumbia University, partnered with the accounting firm of Peat Marwick on the proposal. Theproposal was for funds from HUD of $6 million over five years. The contract was denied butdemonstrated our capacity to organize a broad range of Columbia faculty in a cooperative effort on amajor research proposal. Also, the work the Center did to form this proposal has been extremely usefulin other proposals that the Center has submitted with success;

− The Second Annual David N. Dinkins Leadership and Public Policy Forum: “An Urban Agenda forElection ‘96”: This forum featured former governors Jim Florio, Ann Richards, Lowell Weicker, andNational Urban League President Hugh Price. The forum was moderated by Jeff Greenfield,presenting alternative national urban policy agendas. The Center received grants totaling $30,000from Chase Manhattan Bank Foundation, NYNEX, and Schroder Wertheim & Co., Inc. to fund theForum;

− Senior Fellow (Sept. 1995-Aug. 1996): The Center re-appointed Senior Fellow Mayor David N. Dinkins,who has been an invaluable resource to the Center and to students at the University. He worked with theCenter to ensure the success of our major inaugural event, Empowering America’s Cities, the forum named inhis honor. He has contributed an essay to the Center’s first newsletter, MetroPolitics, and has spokennumerous times at Center events. Mayor Dinkins is also assisting the Center in its development efforts. Hiswork, in particular, enabled the Center to appoint a prestigious non-partisan advisory board;

− “Columbia University and the Community: A Partnership in Learning”: The Center co-sponsored aconference with Community Impact on April 12, 1996. This conference was organized to provide aforum for faculty, students, university administrators and community leaders to explore the potential for

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an effective partnership between the University and its community. Participants included PresidentsGeorge Rupp (Columbia), Judith Shapiro (Barnard), and Yolanda Moses (CCNY), CongressmanCharles Rangel, NYC Public Advocate Mark Green, Acting Director of the Upper ManhattanEmpowerment Zone, Derek Johnson, and Dr. Ira Harkavy (Director, Center for CommunityPartnership, University of Pennsylvania). Funding of $6,500 came from Community Impact’s Learnand Serve America grant from the federal government’s Corporation for National Service;

− Hospital-Based Rape Treatment Program: This project is funded by a grant from the Victim ServicesAgency for $24,000 to develop a model hospital-based rape treatment program for the New York CityRape Treatment Consortium, a broad based coalition of City and non-profit agencies interested in rapecrisis intervention. Marian Krauskopf, former Deputy Personnel Director for the City of New Yorkand public management expert, was appointed visiting fellow under this grant;

− University-Based Survey Research Center: The Center developed a proposal for the creation of asurvey research center;

− Harkness Fellow: A grant was made to the Center for Urban Policy and the Center for the SocialSciences from the Commonwealth Fund for $5,000 to support the European Commonwealth’sHarkness Fellow Greg Clark, for one year. Clark was appointed for comparative study of urbaneconomic development;

− MetroPolitics: The Center published two issues of the its semi-annual magazine with the help ofpublic policy graduate students. The first issue focused on the Empowerment Zones and the secondissue focused on elections and national urban policy;

− Program Evaluation Course: This course first offered in the Fall ‘94 is now fully funded andinstitutionalized under the College’s Urban Affairs Program. It has been approved by the Departmentsof Political Science, Economics, Sociology, and Environmental Science;

− Graduate Research Fellow (July 1995-January 1996): The Center appointed Scott Spitzer, a Ph.D.candidate in the Columbia University’s Department of Political Science as Graduate Research Fellow. Hiswork for the Center is being funded by Columbia University. He has been engaged in policy research,proposal writing and preparation of the magazine;

− Coro Foundation Fellow (Summer 1995): The Center appointed Daniel McSweeney, a Coro FoundationFellow, to work on MetroPolitics. Daniel’s work was funded by the anonymous donor grant; and

− Additional fundraising: The Center raised $70,000 through a joint awards dinner with Barnard College and$52,000 from the Harmon Foundation for Center activities.

FY 1997: In addition to the continuation of most of the programs from FY 1996, the Center’s other projectsfor this year included:

− Continuum of Care Study Award: The Center received $130,000 from the U.S. Department ofHousing and Urban Development (HUD) to evaluate the federal government’s “Continuum of Care”approach to homelessness. Principal Investigators were Ester Fuchs and William McAllister, AdjunctAssociate Professor of Urban Affairs and a Fellow at the Center. The Center conducted field researchin nine U.S. cities and analyzed data from applications from over 1200 sites, during the summer of1996. The final report entitled “Continuum of Care Approach to Homelessness” was released by HUDand is available on the Internet through the HUD User Network. The Center received additionalfunding of $17,185 from HUD to prepare a report updating the Center’s evaluation of theimplementation of HUD’s homelessness policy by analyzing data compiled through 1996;

− Community Outreach Partnership Center (COPC): The Harlem Partnership Center at the MinisinkSettlement House in Harlem, provides internships and mentoring opportunities for high school, andColumbia and Barnard students. With City College, the Center applied for and received aninstitutionalization grant from the Department of Housing and Urban Development for $25,000 tocontinue its work in the 1997 calendar year. The COPC supports Columbia and Barnard studentinterns to perform research on information technology, housing, economic development, communityleadership, and other areas. Projects include a prototype for an electronic clearinghouse on innovativehousing and community development programs and a survey of computer access in Harlem, a highereducation center, a computer literacy project, the Community Issues Forum and The Harlem DigitalCommunity Conference (Feb. 20-21, 1997) which was attended by over 200 community leaders;

− Senior Fellows: The Center re-appointed Senior Fellow Mayor David N. Dinkins for the time period ofSeptember 1996 - August 1997;

− Urban Policy Seminars: The Center for Urban Policy holds regularly scheduled seminars by urbanpolicy professionals on current issues. Co-sponsorship with the University Seminar on the ChangingMetropolis of evening seminars and forums, the Urban Policy Seminars feature speakers from NewYork City government and award winning journalists on issues such as the New York City SuperstoreDebate and the role of private religious charities in welfare reform;

− “Tolerance in Urban America”: Co-sponsored, with the Simon Wiesenthal Center, the Center held afull day conference focusing on tolerance in America, and the role of identity politics on March 14,1997. The conference was funded with $50,000 from the Levi Strauss Foundation. Rabbi MarvinHier, Chair and Dean of the Simon Wiesenthal Center gave the keynote speech, and The Hating Pot, a

35

nationally acclaimed play by Elizabeth Swados was performed. Sessions included “Inclusion &Tolerance: Identity Politics in New York City,” “Solutions: Teaching Tolerance in the Media,” and“Hate Crimes: Can the Civic Fabric be Mended?”;

− The Third Annual David N. Dinkins Leadership and Public Policy Forum, “Welfare to Work: Canthe Business-Government Partnership Succeed?”: The forum, funded with $40,000 from The ChaseManhattan Foundation, Loews Hotels, Schroder Wertheim & Co., and the Pfizer Foundation, focusedon the work requirement of welfare reform, and how it will affect cities across the nation. Thisconference was held on March 31, 1997. Mayors David Dinkins, Edward Rendell (Philadelphia), andNorman Rice (Seattle) participated on a panel, “Sharing Responsibility or Passing the Buck: TheIntergovernmental Dimension of Welfare Reform.” Other panels were: “Civic Values and SocialWelfare Policy,” “Models of Welfare to Work Programs,” and “The Role of the Business Communityin Moving Welfare Recipients into the Workforce.”;

− NYC Community Trust Award: The Center received a grant of $1,000 from the NYC CommunityTrust to support Center activities;

− Internet Homepage: FY 1997 saw the development of an Internet Homepage to publicize the Center’swork and other urban-related issues;

− MetroPolitics: The Center published the third issue of MetroPolitics in February 1997. The theme ofthis issue was - Welfare and Cities: The New Deal? - to reflect the theme of the Dinkins Forum onwelfare reform;

− The New York State and City Political Participation Survey Project: The Center received funding of$100,000 from the Local 1199 - National Health & Human Service Employees Union, AFL-CIO toconduct six telephone surveys through the 1998 gubernatorial election to determine political behaviorand attitudes of traditionally underrepresented groups (i.e., African-Americans and Latinos).Oversamples of Latino and African-Americans will probe the opinions of groups traditionallyunderrepresented by larger polling concerns or typically not reported in the media. The survey is ajoint project of Ester Fuchs and Robert Shapiro, Professor of Political Science and Associate Directorof the Lazarsfeld Center for the Social Sciences;

− A Study of Voter Registration at Public Assistance Agencies in New York Under the National VoterRegistration Act of 1993: The Center was awarded $85,462 from the U.S. Department of Justice toconduct a study that took place from March 1997 to June 1997 examining New York State’scompliance with that portion of the “Motor Voter Law,” which requires public assistance offices toafford their clients a meaningful opportunity to register to vote. Co-Principle Investigators are RobertShapiro (Political Science), Peter Messeri (Public Health) and Ester Fuchs. The study consisted ofsurveying 1561 respondents exiting public assistance offices throughout the State to determine whetherthey were afforded an opportunity to register to vote as required by the Voter Registration Act;

− Upper Manhattan Empowerment Zone Technical Assistance Project: The Center successfullysubmitted a proposal for $93,306 to the Upper Manhatten Empowerment Zone Development Corp totrain community-based organization leaders in proposal writing, business planning and budgetgeneration. The summer pilot project involved a consortium consisting of Columbia University, CityCollege and Baruch College. The program included basic workshops in proposal writing andbudgeting for the Empowerment Zone community, and a consulting program with organizations thathad submitted proposals to the UMEZ, but were not awarded funding. Teams of Columbia and CCNYstudents, lead by faculty advisors, provided technical assistance to these proposers in anticipation oftheir resubmitting proposals to the UMEZ. Faculty from the Business School and SIPA participated inthe summer pilot;

− Urban Issues Workshops Award: The Center received funds of $1,500 from the Lazarsfeld Center forSocial Sciences to continue co-sponsorship of the Urban Issues Workshops. These workshops are aforum for faculty from the university and around the country and graduate students to present theresults of urban research;

− Habitat II Partner with the United Nations Centre for Human Settlements (UNCHS): This projectrepresents a multiyear commitment to build on the successes of the Habitat II conference and to furtherimplement key conference goals. The Center for Urban Policy, SIPA and UNCHS will collect anddisseminate information about innovative approaches to addressing urban issues; establish a databaseto facilitate research; create an international curricula for training local leaders; and foster the sharingof expertise among a wide range of disciplines established through a network of university partnershipsaround the world. The principal investigators are Mark Gordon, Ester R. Fuchs, Steven Cohen, Dr.Wally N’Dow (UNCHS);

− Democratic Values and America’s Schools: A proposal is in development for $19,145 to besubmitted to New York Community Trust to study the levels of tolerance, civic-mindedness, andpatriotism among American students and to determine what factors systematically influence the levelsof these democratic values in students. Patrick Wolf of SIPA is the principal investigator for the NewYork component of this national study. By surveying junior high school students before and after theyparticipate in a social science course with a civics component, the investigators will assess the effect ofsuch courses on political attitudes. The democratic values of students in public, private, and religious

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schools will be compared to determine the effect of school type on democratic values. Additionally,regional differences will be examined;

− Federal Empowerment Zone-University Information Exchange Network: The Center is preparing aproposal for submission to the Department of Housing and Urban Development for a ColumbiaUniversity based information exchange network to assist the eight urban Empowerment Zones insharing information on successful programs through the University Partnership program. This projectwould be a partnership with other universities located in cities with designated Empowerment Zones;

− The Higher Education Center: This is a pilot program which began in the Spring of 1997 through theHarlem Partnership Center (HPC) at Minisink. College and high school students are trained inmentoring techniques, teamwork, the basics of pre-college counseling, and Internet web site design.They work together with HPC staff, and City College and Barnard and Columbia faculty and studentson community development issues. The interns staff the higher education center, organize forums andworkshops, develop resources, and create on-line community information projects to communicate theirknowledge. We have developed a proposal and are now seeking foundation funding to continue theprogram;

− Electronic Community-Wide Information Network: A proposal is being developed through theCenter’s partnership with City College in the Harlem Partnership Center project. The TEACHarlemconference was the first step in developing the network. The next step is to create the skeleton networkby working with a small number of groups - assessing their telecommunication needs, obtaining theequipment and training necessary to use the network, and networking them to test ideas for contentdevelopment;

− Mayor David N. Dinkins Oral History and Archiving Project: The Center is developing a proposalfor an oral history and archiving project of politics in Harlem centering around the career of MayorDavid N. Dinkins;

− Occasional Papers Series: The Center is creating an Occasional Papers series with SIPA from papersproduced by the Urban Issues Workshop; and

− Upper Manhattan Empowerment Zone Technical Assistance Project: The Center is preparing aproposal for submission to foundations for the extension of the workshop and consulting program withCity College. The current pilot program will be expanded and the Center will develop aninterdisciplinary workshop course across several of the graduate programs and professional schools,and a Faculty Resource Network for the program;

− The Center has moved to space in the 8th floor of the IAB and will be formally administered by SIPAstarting in FY 1998.

Project Leader: Ester Fuchs, Associate Professor of Political Science, Barnard College and Director, Centerfor Urban Policy

SIPA/UN Habitat Project School of International and Public AffairsFY 1998 $25,000 Barnard-Columbia Center for Urban Policy

Project Description and Goals: The UN Habitat Project at Columbia's School of International and PublicAffairs aims to establish at Columbia an international clearinghouse on innovative approaches to urbanissues. Through a partnership between Columbia and the UN, this project will develop an internationaldatabase on issues related to urbanization, create a training program for local officials from around theworld, track implementation of the Habitat II agenda, and create partnerships with universities around theglobe to further implementation of the goals of the Habitat II conference.


FY 1997: During the Spring of 1997, President Rupp and UN Assistant Secretary General N'Dow signed aformal partnership agreement. SIPA then hosted German Minister of Construction, Planning and UrbanDevelopment Klaus Toepfer as the first participant in a series of discussions on the challenges ofurbanization. The development of an international database has begun, with an initial focus on creating adirectory of existing databases. Numerous local officials, Ministers and NGOs have been surveyedregarding their needs. A preliminary curriculum has been developed for the local official training program.Currently, discussions are underway with the World Bank and the World Associations of Cities and LocalAuthorities Coordination regarding possible joint activities. The Ford Foundation provided a $25,000planning grant (for up to 18 months). Negotiations are underway with a wide variety of public and privateorganizations regarding possible financial support for the local official training program.

Project Leader: Mark Gordon, Associate Professor, School of International and Public Affairs

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Columbia Earth Institute(Global Systems Initiative)

In 1993, the Provost’s office launched the Global Systems Initiative (GSI), a university-wideinterdisciplinary research effort aimed at understanding all aspects of global change and catalyzing afocus at Columbia on the future of the Earth. It started from the premise that the Earth is a finite systemand that one of its fundamental characteristics is continual evolution. For most of its history, the Earthhas evolved without any obvious, strong influences from its occupants. Since the Industrial Revolution,those natural evolutionary processes have been complemented by forces of change driven in a completelyunplanned fashion by human civilizations. As a civilization, we must come to a much strongerunderstanding of the complex inter-relationships between the physical, biological and human designedsystems which make up our planet. Toward this end, the Global Systems Initiative coordinated ongoingresearch efforts by identifying links and overlaps among disciplines and facilitated the development ofnew university centers to exploit emerging research areas. Collaborative projects were undertaken totest Columbia's capabilities in work related to integrated environmental assessment, advanced climatestudies, biological diversity and conservation, and environmental education.

Over the course of FY 1996 and FY 1997, the University has been in the process of transforming theGlobal Systems Initiative into the Columbia Earth Institute. GSI projects will continue under this new,formalized academic umbrella. In particular the Columbia Earth Institute will focus on the challengespresented by global change and the growing awareness that humans must consciously assumestewardship of the planet. To acquire and assess the knowledge necessary for such a task, we mustdevelop the capacity to work at the intersections of the traditional disciplines including the physical,biological, and human sciences. The transition to a formalized interdisciplinary structure is importantand exciting because it marks a major step toward the incorporation of innovations supported by the SIPinto the larger university system. The Earth Institute will foster changes at three levels: the interfacebetween Columbia and national and international scientific communities; the development of newgovernance structures within Columbia that will facilitate the integration of departments and schoolstoward interdisciplinary goals; and the coordination of research projects consistent with cutting edgescholarship and practice involving the pursuit of Earth system knowledge and knowledge applications.The continuing management of the Earth Institute will be led by Peter Eisenberger who on September 1,1996 assumed the dual role of Vice Provost for the Earth Institute and Director of the Lamont-DohertyEarth Observatory.

*Center for Environmental Research and Conservation (CERC) Department of AnthropologyFY 1994 $50,000 Department of BiologyFY 1995 $150,000 Department of MathematicsFY 1996 $150,000 Department of Earth and Environmental SciencesFY 1997 $150,000 School of International & Public Affairs

School of LawGraduate School of Business

Health Sciences DivisionLamont-Doherty Earth Observatory

Barnard College

Project Description and Goals: The Center for Environmental Research and Conservation is a new research andtraining center focusing on natural science, physical science, and social science aspects of global habitatmanagement. The Center represents a consortium of New York City environment organizations and draws fromtheir expertise in order to educate students, train mid-career professionals here and abroad, and conduct researchin the science of biodiversity conservation. Various Columbia departments, schools, and institutes participate incourses of study, including Anthropology, Biology, Barnard College, SIPA, the Harriman Institute, the BusinessSchool, the Rosenthal Center for Alternative/Complementary Medicine, the School of Public Health, and the LawSchool. Independent consortium institutions include the American Museum of Natural History, the WildlifeConservation Society/Bronx Zoo, The New York Botanical Garden, and the Wildlife Preservation TrustInternational. Through cooperative programs with these external institutions, the Center has developed newcurricula for graduate and undergraduate training in biodiversity and supports faculty development. The mid-

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career training institute works with wildlife management professionals from around the world to improve theirunderstanding of conservation issues; at the same time, the program is establishing links between Columbiaresearchers and foreign universities and governments.


FY 1994: CERC design and fundraising efforts were the focus. Fundraising efforts yielded a $6 million gift fromthe Kann Rasmussen Foundation, in response to which Columbia added $3 million in matching funds. Usingthese funds CERC launched implementation of a five-year plan for education and policy development beginningin September 1994. A strategic review of potential Federal and private funding sources also began in FY 1994.

FY 1995: Drawing on strengths at Columbia and its affiliated institutions, CERC is building new researchprograms at Columbia through a small grants program. Together with funds from the Kann Rasmussen grant,these funds are distributed competitively. They support pilot studies, initial program implementation and coursedevelopment. The first round of research grants was distributed this spring with awards for the following projects:Cryptosporidium and New York’s Water Supply; Ethnobotanical studies in the Urban Environment ofTherapies for Women’s Health Problems; Integrating Field Research and Public Education: Conservation ofthe Fauna of the Atlantic Coast of the Interior, Sao Paulo, Brazil; The Bamboo-Dominated Forests of WesternAmazonia: Integrative Biology; Coral Reef Protection Science and Policy; and Environmental Justice in theInternational Context.

FY 1996: In June of 1996 CERC inaugurated its new facility in Schermerhorn Hall, providing offices, teachingfacilities, a student center, and laboratory/research space, including greenhouse space on the roof. CERCsupported 12 small grants during its second round of interdisciplinary implementation and research planninggrants. CERC supported nine undergraduate summer interns in conservation science. The Ph.D. program inEcology and Evolutionary Biology, and the certificate programs in Conservation Biology and EnvironmentalPolicy were approved, and four new faculty were hired. CERC sponsored a conference to celebrate the EPA’s25th Anniversary in December 1995, and the first Environmental Leaders’ Forum, with international conservationleaders was held April-May 1996.

FY 1997: The College major in Environmental Biology was approved, and courses began for graduate andundergraduate students in Fall 1996. Students and faculty have begun conducting conservation research inMadagascar, Brazil, Costa Rica, and Biosphere2. The third round of the small grants program and the summerundergraduate internship program took place, as did the second Environmental Leaders’ Forum. The inauguraldinner in November 1996, with keynote speaker Peter Raven, raised over $70,000 in fellowship funds for visitingfellows; a $100,000 gift from Joseph Ellis established five undergraduate scholarships. The first summer coursefor high school students, “Current Issues in Conservation Biology,” was taught in July 1997, through the Divisionof Special Programs.

Proposals and Other Fundraising Activities in FY 1997

Funded Proposals: NSF grant jointly with Black Rock Forest Consortium for laboratory construction $200,000;Golden Family Foundation $350,000. NSF - Molecular Systematics, Biogeography, and Conservation Geneticsof Asian Anthropoid Primates, $305,561. Private gifts and donations of $350,000, including $100,000 fromJoseph Ellis for undergraduate scholarships.

Pending Proposals: NSF - Restoration of Tree Species Diversity to Tropical Secondary Forest Communities inWestern Amazonia, $397,939; World Bank - Restoring Species and Habitat Diversity While Enhancing RuralIncomes, $2,125,000; Private Washington D.C. Foundation - Helping Organize the Owners of Small Family-runSaw Mills, $3,920. Over $1,000,000 in private foundation proposals are pending, including ones to theMacArthur Foundation, the Tinker Foundation and the Bay Foundation.

Project Leader: Don J. Melnick, Professor, Department of Anthropology

*Biosphere 2 Science Planning Lamont-Doherty Earth ObservatoryFY 1995 $60,000 Goddard Institute for Space Studies

Project Description and Goals: Funds from the SIP have supported planning for the integration of the Biosphere2 facility with LDEO, thus augmenting ongoing research and facilitating the development of new research areassuch as terrestrial ecology.

In July 1994 the Biosphere Research Group was formed with LDEO as the lead institution to develop a rigorous,ongoing science program to capitalize on the unique opportunities provided by the research facilities at Biosphere2. Biosphere 2 is a sealed environment with a ~3.15 acre footprint. The base is sealed with a stainless steel linerand the dome is glass over a steel space frame. The facility is sealable with respect to mass; gas exchange is

39

limited to about 8%/yr. Within the dome are 6 distinct ecosystems (biomes): intensive agriculture, rainforest,savanna, desert, ocean, and marsh. Climate in each of the biomes is controlled by extensive air-handlingequipment. In recent months, techniques for controlling the CO2 content of the atmosphere and monitoring theassociated mass fluxes have been developed. With the development of this capability, all aspects of climate canbe controlled and all mass fluxes can be monitored. The capacities, in as diverse an environment as that ofBiosphere 2, present an opportunity for studying, among other things, carbon and trace element cycles,biodiversity, and the effects on agriculture of increasing levels of atmospheric CO2.

In addition to the sealed facility, the campus includes six “analog” greenhouses, laboratory facilities, and aconference center. The analog greenhouses are research greenhouses and each corresponds to a biome within thebiosphere. The conference center is equipped for video teleconferencing and compatible equipment has beeninstalled at LDEO; thus researchers in the consortium can hold conferences and seminars and collaborate onresearch without the necessity of traveling between the sites.


FY 1994: A set of white papers was commissioned as the first step in establishing a science plan. The whitepapers were completed in November 1994 and an initial science plan was developed. In addition to an Operationsand Engineering group and a special group to consider the ocean biome, the following working groups wereformed to guide the science at Biosphere 2: Carbon Cycle, Elemental and Trace Cycles, Biodiversity, andSustainable Agriculture.

FY 1995: Efforts to attract Federal funding for research began. NSF reviewed, but did not fund, a Biosphere 2proposal entitled “Plant, Soil and Ecosystem Responses to Changing Atmosphere CO2 Using Biosphere 2 as aUnique Experimental Facility.”

FY 1996: On November 25, 1995, Columbia and Biosphere 2 announced a five-year agreement under whichColumbia will manage and direct the Biosphere's scientific, educational, and visitors center operations. Grantsand gifts to the university from Edward P. Bass for activities involving Biosphere 2 include the following:$15,000,000 for research and education; $15,000,000 for Biosphere 2 operations; $10,000,000 for facultydevelopment; $10,000,000 for general support; and $2,500,000 for capital equipment. In the Spring of 1996, aseries of seminars for Federal program managers will be run at Biosphere 2. The goal of these seminars will be tofamiliarize that community with the unique research potential at the site. The Columbia Earth Institute selectedand partially supported two interns for the first session of Biosphere 2 summer intern program.

Project Leader: William Harris, Executive Director, Biosphere 2

*Earth Complexity Initiative Lamont-Doherty Earth ObservatoryFY 1994 $115,000 Department of Chemistry

School of Engineering and Applied Science

Project Description and Goals: Traditional study of Earth has moved forward by identifying simple models thatcapture the important characteristics of particular processes of interest. This fundamentally reductionist approachhas led to remarkable understandings of such processes as fluid transport in the crust and upper mantle,earthquake generation, wave propagation and ocean and atmospheric circulation. In the past, the search forsimple models was in part dictated by the small upper limit on the number and speed of calculations that werepractical. Computation has undergone a revolutionary change in the last decade. It is now possible toconceptualize and solve problems in ways that were previously unimaginable. Models that included one isolated,average element may now have thousands of individual and interacting elements. The Earth Complexity Center isbeing developed to explore the possibilities of building such complex models of earth processes.

The Center will be a collaborative effort with goals that include the following:

− To provide a facilities-based environment for the development and application of advanced computingtechnologies for assessing, modeling, visualization and simulation of Earth and environmental phenomena;

− To foster the interaction of various disciplines addressing global change and with common computationalissues, including the information infrastructure necessary for global coupled modeling;

− To establish a foundation for the introduction of Earth scientists to advanced computer science disciplines,and the development of specific application to Earth science problems.

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FY 1994: A $2 million grant from IBM was secured to enhance computational capability. Another significantopportunity has emerged from discussions with Schlumberger Doll Research (SDR) involving the possibleestablishment of a computational capability that will be shared between LDEO and SDR Ridgefield.

FY 1995: SDR evaluated a proposal from LDEO for the development of joint computational center that will alsobe a foundation facility for the Applied Earth Sciences Institute at LDEO.

FY 1996: LDEO and the Department of Chemistry have entered into an agreement with IBM for the installationof an SP2 supercomputer at LDEO. Network connections will be established from LDEO to the main campus.Installation of the facility has begun. The Computing, Visualization, Networking, and Database issues in theEarth Sciences seminar series began in mid-August and will serve as a forum for users with common computingneeds but differing disciplinary backgrounds.

FY 1997: As part of research planning for Lamont and the new Columbia Earth Institute, the Earth ComplexityInitiative has undergone redefinition. Lamont’s recognized combination of breadth of research - ranging fromseismology for deep Earth studies to climate forecasting - combined with its research excellence poises it foracademic leadership in work toward understanding the Earth as a complex system of processes of which the mostcomplex is the dynamics of the coupled Earth/human system. A major component of earth complexity studies isthe computational simulation of Earth systems. The goal in computational simulations is to incorporateincreasingly more realistic reflections of natural processes. The establishment of the IBM SP2 parallel machine atLamont in partnership with Chemistry made a major increment in its capability to achieve such simulations. Latelast year Lamont was awarded an NSF grant in the amount of $500,000 (with 100% matching from LDEO) tocomplement modeling capability with a mass storage system.

Given Lamont’s experience in complex systems modeling of a wide variety of physical phenomenon - fromporous flow to deformation in solids - a Center for Non-linear Earth Systems was formally established. TheCenter was formed as a unit of the Columbia Earth Institute in early March 1997. The Center’s focus is on thedevelopment of theory and applications of non-linear dynamics as applied to the Earth’s natural systems and thecoupled human systems. It brings together a diverse group of researchers with a commonality of interests in thestudy of non-linear systems. The initial group comprising the center is primarily located at Lamont-Doherty EarthObservatory, but future plans include expanding the membership more broadly within the Columbia communityand to researchers in nearby universities, both of which are happening now on a limited scale. Along with thisexpansion, it is expected that the range of topics being explored within the Center will also increase.

Professor Chris Scholz will head the new program, which will involve junior scientists, post-docs, visitingscholars, and students. A significant effort this year went into a workshop on “Localization Phenomena andDynamics of Brittle and Granular Systems,” organized by Chris Scholz and held on August 6-9, 1997. Themeeting was extremely well attended and very successful. Subjects included earthquake models, sandpiles andlandslides, brittle fracture and faulting, granular media dynamics, localization processes and geomorphologicalprocesses. Much of the work was presented in the context of theory based on non-linear dynamics, chaos andcomplexity which have contributed a new approach to the study of these processes. At present, the researchefforts of the Center are in four main subject areas: fluid flow in reactive media; complexity in brittle deformation;formation of complex geomorphic features; and dynamics of granular media.

Project Leader: John Mutter, Deputy Director, Lamont-Doherty Earth Observatory, Professor, Department ofEarth and Environmental Sciences

*Earth Engineering Center School of Engineering and Applied ScienceFY 1995 $20,000 Lamont-Doherty Earth ObservatoryFY 1996 $40,000 Graduate Program in Urban Planning

Project Description and Goals: Starting from the observation that all societies require a steady supply ofmaterials, water and energy, the current effort is centered around the theme of sustainable provision of materials.With industrial ecology as an organizing theme, the fully developed Earth Engineering Center will conductresearch on topics such as resource identification, resource extraction, resource economics, macro-engineering andsustainable engineering.


FY 1995: There are currently several ongoing projects related to resources and recycling. The group isdeveloping a project to consider mass-fluxes in and through upper Manhattan. In collaboration with the UrbanPlanning Center GIS Group, the EEC group is developing a database that will allow flows of materials to bemonitored and eventually modified. This is a pilot project to develop a multi-dimensional “map” of engineering,

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earth science and demographic data, with the mission of understanding the interaction between materials within ageographic area and living conditions within it. A grant of $12,500 was made to the Center for the Dibner Fund.

FY 1996: In addition to the projects started during FY 1995, several projects that are related to the larger massflux effort, are in progress or in planning stages. Proposals in 1996 included: EPA/NSF Water ResourcesProgram - Mass Flow and Quality of Water to and from Manhattan Island $189,000 (not funded); HudsonFoundation - Modeling of dispersion of effluent from North River wastewater treatment plan $85,000 (notfunded); Lucent Technologies Foundation - Recycling of Metals From Used Electronic Components $50,000 (notfunded).

FY 1997: The Center’s principal activities in FY 1997 included the following:

− A $500,000 proposal was submitted to NSF for implementing a new undergraduate Curriculum in EarthResources Engineering (includes plans for seven new courses, summer internships, new laboratories). Thisengineering program is the first of its kind in the nation and will provide a broad engineering training in thetechnologies for identification, extraction, processing and recycling of the primary resources of the Earth(minerals, energy, and water) and in land and water remediation. The effort has involved nearly ten Columbiafaculty from four SEAS departments and from Lamont-Doherty. The NSF decision is pending but this efforthas already led to the formation of a new SEAS department (Earth and Environmental Engineering) and theoffering of a minor of the same title, under the Henry Krumb School of Mines of SEAS. Also, one of theconcentrations of EEC, urban infrastructure, has become the focus of the Civil Engineering Department.

− Engineering studies relating to NY/NJ Harbor Sediments: Several preliminary studies were completed underthe EEC program "Virtual NY/NJ Harbor" that seeks to create a GIS-based computer model of the Harborthat superimposes on geographic and bathymetric information several databases on fluid and sediment flow,distribution of contaminants, phytoplankton growth and other hydrodynamic, water quality and biologicalparameters. The studies have included an analysis of remote sensing and surface data on phytoplanktongrowth related to anthropogenic emissions; a flow model of Hudson, tributary (including WWTP effluents),and tidal flows; a GIS model that incorporates USACE data; and a proposal for beneficial use of dredgedsediments in landfill engineering. As a result of this work, two pre-proposals have been submitted to HudsonRiver Foundation and a third proposal is being prepared for possible submission to NASA regarding use ofsatellite data in coastal management studies.

− EEC has been instrumental in forming bridges within SEAS departments and with LDEO and the ColumbiaEarth Institute. For example, three joint appointments have been proposed that will reinforce existingcollaborations.

− An International Global Warming Conference was co-sponsored by EEC at Columbia last May. Over onehundred papers were presented by physical and social scientists and engineers from twenty three nations,including eight papers from Columbia personnel.

− Members of EEC are in the executive committee of the Earth Institute and have participated in nearly all of theoperating committees established by CEI.

− EEC has contributed to over fifteen other activities of Columbia faculty aimed at developing collaborativeresearch projects with other universities, here and abroad, on recycling, resource recovery, waste managementand brownfield to greenfield conversion. These include invited lectures on industrial ecology by the Directorof EEC at Princeton, University of Toronto, and University of Limoges.

Project Leader: Nickolas Themelis, Professor, Harvey Krumb School of Mines

Laboratory of Populations Columbia UniversityFY 1996 $100,000 Rockefeller UniversityFY 1997 $100,000

Project Description and Goals: In July of 1995, the Laboratory of Populations at Rockefeller University becameaffiliated with the Columbia Earth Institute through a collaborative agreement with Columbia. The Laboratorywas established in 1975 to study populations and theories about them. Populations often exhibit phenomena thatare difficult to deduce from the characteristics of isolated members. For example, the prevalence of a disease in apopulation is only indirectly connected to the course of disease in an individual. To develop concepts helpful forunderstanding populations, the Laboratory studies concrete problems in demography, epidemiology, ecology, andpopulation genetics. It has ongoing investigations in the following areas: aging and mortality, populationdynamics, metapopulation models, mathematical theory of models, complex nonlinear systems, and informationtheory. The Laboratory is also investigating Human Population Studies and the question of how many people theearth can support; Chagas’ disease, an insect-borne infectious disease affecting millions of people in LatinAmerica; food webs, with a focus on those of rice fields and the testing of basic scientific generalizations aboutfood web structure and possible improvements in biological control.

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FY 1996: The SIP grant provides partial support to the Laboratory and will allow its Director to activelyparticipate in Columbia Earth Institute activities. The Laboratory was a partner in a Group Infrastructure Grantapplication to the National Science Foundation, headed by Columbia professor David Yao, which resulted in theaward of approximately $1 million to Columbia University.

During the summer of 1996, work in collaboration with Lamont-Doherty Earth Observatory and the GoddardInstitute of Space Studies resulted in the submission of a joint proposal to NASA for a study of the distribution ofhuman population in relation to altitude and geophysical risks.

FY 1997: In September 1996, Professor Cohen served on a committee of ecologists and plant physiologists whovisited Biosphere 2 to suggest possible research programs in biodiversity. A joint report with David Tilman onfindings from experience prior to the assumption of management by Columbia University was published inScience in November 1996. This publication drew national press attention to the research possibilities ofBiosphere 2. Chris Small and Professor Cohen developed multidimensional digital maps that incorporatedlongitude, latitude, human population, area, elevation, and distance from continental coastlines. In addition, theycompleted a manuscript: “Hypsographic Demography: the Distribution of the Human Population by Elevation.”The manuscript has been submitted for publication in Science and has received favorable reviews. Chris Smallsubmitted a proposal for postdoctoral support to the University Corporation for Atmospheric Research. Theaward was funded for $35,000 per year for two years starting August 1, 1997. Professor Cohen continues tosupport a variety of efforts to develop the Earth Institute.

Project Leader: Joel Cohen, Director, Laboratory of Populations

*Environmental Sciences Curriculum Department of Earth and Environmental SciencesFY 1996 $50,000 Barnard College

Department of Biological SciencesCenter for Environmental Research and Conservation

Project Description and Goals: Propelled by the confluence of two national trends, a rising interest inenvironmental issues and the efficacy of viewing the earth as a single system, the Environmental Sciencesat Columbia are breaking new ground with its undergraduate curriculum. The breadth of the subject matterformed from the union of geology, oceanography, meteorology and biology is staggering and its instructionon anything other than a superficial level demands a new approach. The new Environmental SciencesCurriculum is designed with the following objectives:− To help students understand a few concepts that illuminate broad areas of the field and contribute to an

understanding of how the Earth works (for example, the students study the conservation laws);− To help students access information and use this information to solve real Earth problems; and− To help students develop thinking skills such as the following: the ability to see and deduce behavior

patterns rather than focus on and seek to predict events; see beyond specifics to the general processesthat lie behind and propel the specifics; recognize feedback processes and their response to continuouschange, etc.

On the other hand, the goals for the students and Columbia’s methods of measuring the students’ progressmust be reexamined. Once clear instructional goals, based on the objectives listed above, are set, theapparent information overload may disappear. In its place will be meaningful criteria to assess the qualityof information and harness it through innovative curriculum design.

Students are encouraged to use such thinking skills to discover concepts through data analysis. By using acomputer application, developed by Benno Blumenthal for research purposes, students can easily accessand view data sets as global or regional maps and cross sections. Today’s students, like early 20th centuryoceanographers, meteorologists and geologists, can use these measurements to infer Earth processes andanswer questions generated by either faculty or fellow students. The use of computer accessible datashould in time become as natural for the students as reading a book.

The goals of the Environmental Sciences Curriculum is to work toward integrating the cognate fields ofChemistry, Physics, and Mathematics into the curriculum and develop computer modules that will helpstudents understand critical, but difficult, concepts.

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FY 1996-1997: The Environmental Sciences Curriculum development included the completion of the followingactivities:− Launching of the website TESY <http://rainbow.ldeo.columbia.edu/ees/> which contains on-line

support materials for three introductory semesters;− Offering all three semesters and had them evaluated by the Institute for Learning Technologies;− Launching undergraduate curricular information website;− Initiating cooperation with Chemistry, Mathematics and Physics departments to help integrate their

introductory courses into the Environmental Sciences Curriculum;− Laying the groundwork for cooperative program with USGS/EROS to incorporate satellite images/data

into the Environmental Sciences Curriculum; and− Participation in a American Geophysical Union workshop, authoring the portion of the workshop report

on "Why should we use an Earth Systems approach to teaching Earth Science?”; and

Fundraising activities for the project included the submission of three proposals. A proposal to NSF titled“A Digital Library for Earth Science Curricula” for $255,795 was declined. The other two proposals arecurrently pending: NASA for $1,212,778 for the time period of 1998-2002 for “Web-based Earth DataLibrary to Enhance Science Literacy”; NSF for $739,767 for the time period of 1998-1999 for “ConceptBuilding for Earth System Science.”

Project Leader: James Douglas Hays, Professor, Earth and Environmental Sciences, LDEO

Environmental Research at LDEO Lamont-Doherty Earth ObservatoryFY 1994 $115,000FY 1995 $70,000FY 1996 $70,000FY 1997 $70,000

Project Description and Goals: Strategic Initiative funds supported the initial development of new hydrologicalcapabilities at LDEO. In September of 1993, Lamont-Doherty's Geochemistry group requested support forresearch development activities aimed at broadening the Institute's environmental agenda. They proposed a two-year funding period for six groups of scientists and graduate students to undertake the following projects: gasexchange experiments in the Hudson River and in estuaries; shallow groundwater research; numerical modelingof water flow and transport of tracers and pollutants in the unsaturated soil zone and in shallow aquifers;hardware and software support for geophysical studies; unsaturated soil zone research; and an upgrade to achemistry laboratory.


FY 1994: The project team designed and constructed a new gas chromatographic system for measurement ofsulfurhexafluoride (SF-6) and tested it in a pilot study on the Hudson River. The system allows the labeling ofcertain water parcels (e.g., waste water outlets) in rivers and estuaries and tracing their spread over periods ofseveral weeks. This is an advance over conventional dyes such as rhodamine both in methodology (SF-6 can befollowed for longer periods of time) and in costs (SF-6 is roughly a factor of ten cheaper than rhodamine). Duringthe SF-6 release experiment, a second gas (Helium-3) was added to the released SF-6 in order to quantify theexchange of gaseous substances between the water and the atmosphere.

The shallow groundwater research project included implementation of modeling capability and the use ofhardware and software to run groundwater flow models. This modeling capability, in combination with analyticalfacilities for measurement of tracers of groundwater flow, allows the performance of quantitative studies ofgroundwater flow and the application of the results of these studies to assessment of pollutant transport.Additional components of groundwater research included measurements of tracers in several groundwater flowsystems and support of the sabbatical of Dr. Allen Shapiro, a hydrologist from the USGS (Dr. Shapiro spent oneyear at LDEO). Finally, the seed money was used to purchase hardware for research in the unsaturated soil zone,as well as for an upgrade of the chemistry laboratory.

FY 1995: Three proposals were written for support of the above activities. Additional proposals will be draftedas the projects continue. The Keck Foundation awarded a grant of $245,000 for the “Acquisition of a MassSpectrometric System for Geochemistry Research.” Eventual USGS funding is expected. This grant supports thecontinuation and expansion of the development of an environmental science research program at LDEO.

FY 1996: Proposals were submitted relative to a number of activities. Thus far, grants total approximately$1,650,000. Research grants to date are as follows: Hudson River Foundation $15,000; U.S. Geological Survey

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$430,000 (multiple grants); National Oceanic and Atmospheric Administration $25,000; National ScienceFoundation OCE $185,000; and Office of Naval Research $100,000.

FY 1997: Fundraising activities in FY 1997 included securing the following grants: NSF GER $225,000; NSFOPP $290,000; NASA Fellowship $66,000; and University of E. Anglia, UK $70,000.

Activities over FY 1997 included the following:

− SF-6 Release Experiments: In order to understand the balance of gaseous pollutants and the nutrient cycle inrivers, we have to better understand the gas exchange within the atmosphere. The team continued SF-6 andHe-3 release experiments at several locations (rivers, estuaries). During the past year, we studied the impactof rain on gas exchange using the NASA rain facility at Wallops Island. These studies resulted in a first-orderparameterization of the gas exchange by rain.

− Shallow Groundwater Research: The project continues to develop groundwater age dating tools and to‘market’ this technique. The team has already been approached by scientists from the USGS and otherinstitutions for assistance in the evaluation of groundwater flow systems. The project was extended by severalfield studies to test the tritium/He-3 dating method in complex hydrological settings, especially in fracturedrock. Additionally, the team is in the process of completing about four manuscripts with results at leastpartially supported by the Strategic Initiative Fund. Meanwhile, the team is starting to attract funding fromoutside sources.

− Arctic Ocean Pollution: The project intends to calibrate Arctic Ocean circulation models with transient tracerdata and to use these models for simulations of various release scenarios of pollutants into the Arctic Ocean.Such studies are important in order to understand the impact of pollution from the cold war era on the Arcticecosystem. The Arctic is probably the most sensitive marine ecosystem with respect to chemical andradioactive pollution. Two proposals were submitted for support of this work to the Office of Naval Researchand the National Science Foundation (both noted above). Another proposal to the Hudson River Foundationfor $160,000 was denied.

Project Leader: Peter Schlosser, Professor, Earth and Environmental Sciences

LDEO Global Systems Initiative Post-Doc Lamont-Doherty Earth ObservatoryFY 1996 $50,000

Project Description and Goals: A post-doctoral position was created related to the University Consortium forOcean Systems in order to develop bridges between consortium projects and understanding of the social impactshistorical climatic events and subsequent human adaptations. Strategic Initiative Funds were used because theinterdisciplinary nature of the work could not easily be conducted from within a traditional academic post-doctoralposition, which is typically based in a single department.


FY 1996-1997: A candidate with a degree in oceanography was selected for the position. Initial research isattempting to link literature searches to analysis of data sets, including drought statistics and hydrological data, toconsider impacts of climate events on a regional scale including human adaptation. Currently the research is stillsearching for natural patterns and social science linkages will be developed at a later stage.


Program on Information and Resources Graduate School of BusinessFY 1995 $65,000 Graduate School of Arts and SciencesFY 1996 $50,000 NASA Goddard Institute of Space SciencesFY 1997 $50,000 Lamont-Doherty Earth Observatory

Center for Environmental Research and ConservationDepartment of Applied Physics

Project Description and Goals: The Program on Information and Resources (PIR) is a core unit of theColumbia Earth Institute which integrates research at NASA Goddard Institute of Space Sciences, Lamont-Doherty Earth Observatory, the Department of Applied Physics in the School of Engineering and AppliedScience, the Center for Environmental Research and Conservation, the Graduate School of Arts andSciences and the Graduate School of Business. The Program on Information and Resources (PIR)’s maintopics of research are the use and management of information technology and productivity; globalenvironmental resources and the attendant environmental risks; and financial markets to hedge these risks.PIR aims to provide models of sustainable economic development in harmony with the planet’s human andphysical resources. PIR is a core unit of the Columbia Earth Institute which integrates research at

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NASA/GISS, Lamont, the Department of Applied Physics in Engineering, CERC, GSAS and the GraduateSchool of Business. It is the site of the UNESCO Chair, and the hub of a network of universities in SouthAmerica and South Africa. PIR’s research activities cover a broad area: they integrate physical, social and(through its associate scientists Peter Raven and Tom Lovejoy) biological sciences, and provide themathematical tools that make this integration quantifiable and rigorous. In its short existence since 1994,PIR has made major academic and policy contributions in the areas of: sustainable global environmentalpolicies (a proposal to establish an International Bank for Environmental Settlements), a new form of costbenefits analysis (“sustainable cost-benefit analysis”), new financial instruments (“catastrophe bundles”),and the “Knowledge Revolution”. PIR is renowned for its active connectivity within and beyond theinstitutional boundary. Building on its successful international visitors’ program, PIR is coordinating aneffort to develop University-wide Ph.D. and Postdoctoral programs at Columbia to focus on AppliedMathematics and Earth Management. Major partners are UNESCO, the Smithsonian Institution, IBM, andthe Universities of Brasilia in Brazil, Belgrano in Argentina and Witwatersrand in South Africa.


FY 1994: A proposal was submitted to NSF but was not successful.

FY 1995: In addition to work on Earth Policy Center projects, integrated assessment and several centerdevelopment efforts, ongoing research topics at PIR include the following: Sustainable Cost-Benefit Analysis:Integrational Justice and Valuing the Future; Financial Markets and the Global Environment; GlobalEnvironmental Risks; North-South Trade and Sustainable Development; Resilient Markets, and the Valuationof Resources and Basic Needs.

FY 1996: UNESCO and Columbia have established a UNESCO Chair in Mathematics and Economics atColumbia, with a focus on sustainable development. As Chair PIR will act as the hub for a cooperative networkof universities in developing countries. There are only three such chairs in the U.S. The UNESCO Chairprovides $500,000 seed funding for a five-year period starting May 1996. Since the Chair started, PIR has hadeight exchange scholars from Latin America and African Universities. PIR organized a major internationalconference on Catastrophic Environmental Risks with funding from the Fields Institute for Mathematical Sciencesof Canada ($20,000). Research contracts were signed with the UNESCO Division of Ecological Sciences inParis ($60,000) and the Global Environment Facility in Washington, DC ($20,000). In June 1996 PIR completedan NSF project on International Trade and the Environment and another project with NOAA. In 1996 PIRreceived funding from a Sloan Foundation project on Productivity and Information Technology managed by theColumbia Business School. In 1996 PIR also signed cooperative agreements with the following institutions:University of Belgrano, Buenos Aires, Argentina; University of Brazilia, Brazilia, Brazil; MERCOSURProgram, UNESCO Brazilia. A number of addresses and public lectures were delivered to U.S. and internationalresearch organizations. Articles on the work of PIR appeared in periodicals and journals including TheEconomist, the Financial Times, Risk Management, Derivatives Week, Bests’ Review, and The EnvironmentalProtection Agency Newsletter.

FY 1997: In April, PIR organized Columbia Earth Institute’s first major conference, “Managing PlanetEarth”. In July, the Institute for Biosphere and Society (IBS), a consortium between PIR, SmithsonianInstitution and UNESCO’s Man and the Biosphere Program, Paris, was formally launched at ColumbiaUniversity after a preparatory meeting in March at Biosphere 2. PIR’s Director Graciela Chichilnisky,UNESCO Professor of Mathematics and Economics, was selected as the first director of IBS. In July,Chichilnisky gave a keynote address to the Australian Meetings of the Econometric Society on “Marketswith Endogenous Uncertainty” in Melbourne, and was invited to present the International Bank forEnvironmental Settlements (IBES) proposal at the June 1997 Earth Summit in New York. Also in July,PIR’s senior scientists presented to Tim Wirth, the U.S. Undersecretary of State for Global Affairs, theirresearch results on financial instruments and institutions and environmental conservation at a meetingorganized by Tom Lovejoy at the Smithsonian Institute. PIR co-authored a National Academy of Sciencesreport to the President and Vice President suggesting changes in federal research funding on the social andeconomic importance of biodiversity. The report was endorsed by PCAST, the President’s Committee ofAdvisors on Science and Technology. PIR’s Director chairs the organizing committee on a conference onManaging a Human Dominated Biosphere sponsored by Earth Institute, the Missouri Botanic Garden andthe National Academy of Sciences in March 1998.

PIR leads a university-wide effort to develop an Applied Mathematics Ph.D. program as a cooperativeeffort between Earth Institute and the Graduate School of Arts and Sciences. This program would have awide representation of diverse applications of mathematics across the University, involving twenty ninefaculty members in different departments of the Arts and Sciences, the Business School, the EngineeringSchool, NASA-GISS and Lamont-Doherty Earth Observatory. The new doctoral program is in partnershipwith IBM. Another partnership has been agreed upon with the Courant Institute of Mathematical Sciencesof New York University.

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The documentary PBS film series involving PIR, "Life By The Numbers" (originally named “The InvisibleHand”), will begin airing in the U.S. in April of 1998, instead of Spring 1997 as was originally scheduled.

This year PIR received $50,000 from the Turner Foundation, $60,000 from the UNESCO EcologicalSciences Division and an additional $50,000 from the same division (from a US Embassy donation toUNESCO) for IBS activities. Additionally, UNESCO’s Ecological Division will contribute $35,000toward the salary of a Deputy Director of IBS. PIR also received $50,000 from the Global EnvironmentFacility of the World Bank for a meeting organized in Ballagio on the IBES. Approximately $27,000 froma previous NOAA account currently held at CERC will be credited to PIR account for research on ElNiño’s impact on Indonesia. A joint yearly forum, the Earth Economic Forum, in cooperation with theItalian Academy for Advanced Studies at Columbia University has been tentatively agreed. The twoparties have tentatively agreed to create a fund at an annual amount of about $110,000 for three years.

Project Leader: Graciela Chichilnisky, UNESCO Professor of Mathematics and Economics and Director,Program on Information and Resources

Center for Environment, Business, and Renewable Resources Graduate School of BusinessFY 1995 $20,000FY 1997 $50,000

Project Description and Goals: The first project of the Center for Environment, Business, and RenewableResources was a Seminar on the Crisis in Global Fisheries held at Arden House in May 1995. The Centerdealing with broader natural resource management issues was established in July 1996 to engage in research onenvironmental issues emphasizing renewable resources and sustainable development and to provide programs formanagers encouraging a great awareness of scientific findings on environmental issues and the ways in whichthose findings can be translated into sound business decisions and effective public policies.


FY 1995: The Columbia Seminar on the Crisis in Global Fisheries took place at Arden House on May 5-6, 1995,and brought together many of North America’s leading fisheries management experts with representation from theacademic, government, NGO and private sectors. The discussion covered the complex set of issues involved inmanaging fisheries on a sustainable basis. The meeting included a discussion of supply problems, theenvironmental implications of the failure of fisheries management, and diplomatic and political aspects ofsolutions to the fishery management problem.

FY 1996: The May workshop was intended to serve as a catalyst for the development of a fisheries program. Theresults of the workshop are being summarized in book form and a research program will be developed based onthat summary. Program development support of $25,000 has been received from NOAA and further support isbeing solicited from foundation sources. The William T. Donner Foundation just awarded a grant of $100,000.Plans are being developed for a longer-term program that will investigate the sustainability of managed resources.

FY 1997: The Center for Environment, Business, and Renewable Resources was established in the fall of 1996.On September 24, 1996, an inaugural panel was convened on the subject of Renewable Resources: CurrentEnvironmental Policy Issues with over 100 attendees from academia, business, government, and foundations. AnExecutive Program is being held in Earth Systems and Management Strategy from February 2-7, 1997 at TheBiosphere2 Center. The program has been marketed to managers in the private and public sectors withenvironmental responsibilities, particularly in public utilities, chemicals, petroleum, pulp and paper, wastemanagement, and pharmaceuticals. Approximately 30 people will be enrolled. A book proposal for a benchmarkvolume on renewable resource management for sustainable development is being developed with the FoundationRelations Office. In addition, a proposal for a Global Renewable Resources Research Center is being developed.The purpose of the Center would be to establish a theoretical framework for understanding and managingrenewable resources starting with commercial fisheries and eventually including other renewable resources. Adata center would be established to collect, assimilate, analyze, and disseminate relevant information on aresource-by-resource basis.

Project Leaders: Giulio Pontecorvo, Professor Emeritus, Columbia Business School; and James Kahn,Professor Emeritus, Columbia Business School

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Development of Molecular and Genetic Approaches to Assess AdverseEffects of Urban Industrial Pollutants

School of Public Health

FY 1997 $50,000

Project Description and Goals: The goal of the Development of Molecular and Genetic Approaches toAssess Adverse Effects of Urban Industrial Pollutants project is to address current gaps in knowledgeconcerning short and long-term health risks of urban pollution. The focus will be adverse genetic,immunologic, and developmental effects in human newborns. The project will combine sensitive laboratorytechniques capable of detecting molecular and genetic alterations with epidemiological methods,environmental monitoring and modeling to assess the relationship between preclinical biologiceffects/adverse health outcomes and environmental contamination. Newborns will be studied as a sentinelpopulation since the infant in utero is known to have heightened sensitivity to a variety of toxicants due inlarge part to the immaturity of biological defense systems. The pollutants of interest are widespreadglobally. They include by-products of combustion such as polycyclic aromatic hydrocarbons (PAH),organochlorines such as pesticides and PCBs, volatile organic chemicals (VOCs), and metals. PAH andorganochlorines are endocrine disruptors; PAH and certain VOCs are genotoxic and carcinogenic; lead,PCBs, and PAH are developmental toxicants. Many of these chemicals are immunotoxic as well. All ofthese effects can have serious long-term consequences for human populations.


FY 1997: In a modular approach, the investigators are planning a prototype study of newborns in NewYork City. This study will serve as the model for subsequent projects in other areas of the world, includingCentral Europe and China where they have already established collaborations. The initial pilot study willcollect cord bloods from newborn in Northern Manhattan and will analyze them for procarcinogenic,genetic and immunologic damage. This feasibility study will provide necessary data for the full proposal.The co-investigators have held a number of meetings to develop the protocols for collecting the initialsamples, scheduled for the winter of 1998. It is anticipated that a final proposal will be submitted withinone year to identified funding agencies.

Project Leader: Dr. Frederica Perera, Professor, School of Public Health

EARTH POLICY CENTER

Earth Policy Center School of International and Public AffairsFY 1994 $50,000 Graduate School of BusinessFY 1995 $11,000 Lamont-Doherty Earth ObservatoryFY 1996 $202,500 Goddard Institute for Space Studies

Teachers College

Project Description and Goals: The Earth Policy Center was established to provide for research on linkagesbetween global environmental change and public policy; interdisciplinary educational programs; public serviceincluding consulting, workshops, and environmental organizational and management analysis for public agencies;and curriculum development in environmental policy studies. Following seed funding by the Strategic InitiativeProgram to aid policy/fundraising planning, the Center was created through a grant from the National Oceanic andAtmospheric Administration’s Office of Global Programs to establish lines of research to develop the relationshipbetween physical and social sciences. As part of the newly created Columbia Earth Institute (CEI), the EarthPolicy Center at the School of International and Public Affairs (SIPA) provides a focal point for interdisciplinaryresearch and education programs on environment and earth policy.

The EPC has three types of activities:

− Funded research projects, including “Valuation of Seasonal/Interannual Climate Prediction.”− Project planning grants, which explore and develop the potential of research projects at the intersection of the

physical and social sciences. They include “Regional Integrated Assessment of ENSO-Related Effects inIndonesia” “Policy Implications of Abrupt Climate Change;” “Coral Reefs: The Interaction Between ClimateChange and Socioeconomic Effects;” and “Cultural Adaptations to ENSO: Climate, Social Change andImplications for Policy Formation.” The current efforts will develop strong research proposals.

− Core program activities. Core program funds will support a program manager to coordinate EPC efforts.

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FY 1994: The SIP grant provided seed funds to SIPA for the development of an Earth Policy Center proposalwhich led to the current NOAA grant for the establishment of the Center. This grant supports four climate changeplanning projects and one climate prediction project, as well as activities such as a Science and Public PolicyFaculty Seminar and efforts to gain input from the private sector. Columbia provided matching funds. Through aseries of meetings and workshops, the Center established three study components: Sustainable Economics Group;NOAA Policy Project group; and Human Dimensions of Global Change Research Group. SIPA and BusinessSchool faculty have drafted several white papers in each of these areas to serve as the basis for an internationalconference on environmental policy at SIPA. The Human Dimensions Group worked toward a competitiveposition for the University in two NSF solicitations; Center for Human Dimensions of Global Change and newMethods for Integrated Assessment program. Start up activities resulted in collaboration between faculty at SIPAand LDEO to formulate two additional course offerings for SIPA's environmental policy concentration. First, aglobal warming workshop to be held annually beginning in the spring of 1995 and second, a course in theEnvironmental Sciences for Policy makers series. Both the workshop and the course will be developed andtaught jointly by science and social science faculty from SIPA and LDEO. The Center is a university-wideundertaking with SIPA serving as an intellectual clearing house for earth policy studies. This role willsignificantly involve SIPA’s Regional Institutes.

FY 1995: The Center launched two specific initiatives. The Science and Public Policy Faculty Seminar: Coreparticipants are from Columbia’s faculty and researchers and they meet regularly during the year. A goal is tobuild a vocabulary which is common to all of the researchers working on EPC projects. CEO Symposium onGlobal Climate Change Issues: This is planned for FY 1996.

FY 1996: Research was initiated for four Planning Grants and one Research Grant from NOAA funding. TheEarth Policy Center Planning Grants included, “Regional Integrated Assessment of ENSO Effects in Indonesia,”“Coral Reefs: The Interaction Between Climate Change and Socioeconomic Effects,” “The Policy Implicationsof Abrupt Climate Change,” and “Climate and Social Change: Chilean Fisheries.” The Research Grant is “TheValuation of Seasonal/Interannual Climate Prediction.” The Core Program included holding three Science andPublic Policy Faculty Seminars, two Project Managers’ Meetings, and initial work on Business Leader Workshopon Seasonal/Interannual Climate Prediction. A No Funds Extension was submitted to NOAA and approved forthe continuation of Research in FY 1997.

FY 1997: Project investigators will prepare research proposals for all grants and projects under the originalNOAA grant to continue research. Highlights of the Earth Policy Center activities are summarized below.

− Regional Integrated Assessment of ENSO-related Effects on Indonesia: Compilation of a high-resolution data set to support inquiries into ENSO effects through-out Indonesian society; A bi-nationalteam has been formed and efforts to construct a large scale project have been initiated.

− Abrupt Climate Change: A report on the design of problems which require physical and social scienceinputs has be written; A report on the types of information that are necessary for physical scientists toprovide to social scientists in order to do meaningful analysis has been written.

− Coral Reefs: Performed a study of the economic and political consequences of judiciously protectingJordanian coral reefs around the port of Aquaba; Initiated a study of the International Coral ReefInitiative as an international institution to: a) examine existing theories of impacts of internationalinstitutions on global environmental collaboration; and b) over time provide positive critiques of furtheropportunities to protect reefs through the initiative; Examined debt for nature swaps with respect tocoral reefs; Examined GEF policies toward global coral reef protection.

− ENSO - North Chile: Original exploratory work has continued with funding from NSF; Contacts inPeru have been established and a project with IRI to explore impacts and forecast use in collaborationwith the Instituto del Mar del Perú (IMARPE) and Corporación de la Region Chavín has been initiated.

− Valuation of ENSO predictions: Two papers have been prepared - El Niño and Agriculture inZimbabwe, submitted to Nature and Building Linkages among Climate, Impacts, and Economics: anew approach to integrated assessment, (Working Paper, Columbia University).

− Core Program: Hosted two environment and policy lecture series; Continued planning for BusinessLeaders Symposium.

Project Leaders: Steven Cohen, Associate Dean, School of International and Public Affairs; and Lewis E.Gilbert, Associate Director for Interdisciplinary Programs

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Global Systems Seminar Series Graduate School of BusinessFY 1994 $75,000 Lamont-Doherty Earth Observatory

School of International and Public AffairsSchool of Law

School of Public HealthSchool of Engineering and Applied Science

Goddard Institute for Space StudiesSchool of Journalism

Graduate School of Arts and Sciences

Project Description and Goals: The Global Systems Seminar Series, sponsored by the Graduate School ofBusiness, was an effort to establish a high profile global systems dialogue at Columbia in order to stimulateinterdisciplinary research on the environment. The Series consisted of two interdisciplinary components, eachdesigned to bring together scholars from the physical sciences, social sciences, and professional schools. The firstcomponent, the Distinguished Lecture Series, sponsored public lecture and working groups led by notable visitingspeakers from government, industry, and academia with the goal of stimulating and developing environmental andeconomic policy initiatives. The second, a monthly Faculty Seminar Series, was an informal, internal discussionforum that brought together junior and senior faculty members from all disciplines working on currentenvironmental research projects. Participating schools and departments included Business, Law, Engineering,Economics, Anthropology, Journalism, International and Public Affairs, Public Health, Lamont-Doherty EarthObservatory, and the Goddard Institute for Space Studies.


FY 1994: The Distinguished Lecture series held three sessions led in succession by Stephen Schneider, Professorof Biological Sciences at Stanford University; Thomas Lovejoy, Assistant Secretary for Environmental andExternal Affairs of the Smithsonian Institution; and Thomas Malone, Distinguished University Scholar at NorthCarolina State University. The Faculty Lecture Series led to the conceptualization of several interdisciplinaryforums for environment-related research, including an Environmental Research Center to focus on theenvironmental implications of energy consumption, economic growth, development, and other topics; a RegionalRoundtable on the Environment and the Economy, covering issues in the New York State region; and a CorporateEnvironmental Forum, an executive training program in the Columbia Business School that integratesenvironmental concerns and issues with corporate competitive strategies.

FY 1995: The final year of the Distinguished Lecture series convened with Peter Raven from the MissouriBotanical Gardens; Jim MacNeill from the International Institute for Sustainable Development and UnitedNations Development Program; Richard Barth, President, CEO, and Chairman of CIBA-GEIGY; Daniel Hillelfrom the University of Massachusetts; and Stephan Schmidheiny, Principal Advisor for Business and Industry tothe Secretary General of the Earth Summit 1992.

FY 1996: Activities of the Global Systems Seminar Series have been integrated into the Program on Informationand Resources.


Project Leader: Geoffrey Heal, Professor, Graduate School of Business

SEASONAL TO INTERANNUAL CLIMATE PREDICTION

International Research Institute (IRI) for Seasonal to- Lamont-Doherty Earth ObservatoryInterannual Climate Prediction Scripps Institution of Oceanography

Project Description and Goals: As capacity to predict climate variability related to the El Niño SouthernOscillation events has grown, so too has interest in disseminating the benefits of that skill to as broad an audienceas possible. This interest led to the conceptual formulation of the multi-national Seasonal-to-Interannual ClimatePrediction Program (SCPP) and related International Research Institute (IRI). Lamont-Doherty EarthObservatory, in collaboration with Scripps Institution of Oceanography of the University of California, SanDiego, developed a two part proposal in response to the National Oceanic and Atmospheric Administration’srecent announcement of opportunity to establish the SCPP/IRI. The proposal was awarded in the amount of$18,000,000 over a five-year period on March 20, 1996.

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The following slate of projects describe Columbia’s investments toward acquiring and implementing the$18,000,000 block grant. The success of disseminating the benefits of climate prediction skills will rest heavilyon the ability to continue to improve prediction skills, to develop region specific application capabilities, and todevelop infrastructure that will reliably produce predictions with useful lead times. Each of these tasks will havean institutional manifestation. A network of Research Centers will continue to advance skills at predictingseasonal-to-interannual climate prediction through study of physical oceanography, atmospheric dynamics,coupled models, etc. In addition, Research Centers will extend the understanding of the effects of ENSO.Similarly a network of globally distributed application Centers will develop the skills and understanding necessaryto apply the predictions. The work of the Applications and Research Centers are complementary and the IRI itselfwill coordinate their activities and will provide the infrastructional support necessary to operationalize theprediction and application activities. Through communication, coordinating and training activities, the core IRIfacility will become a global resource.________________________________________International Research Institute-World Wide Web ProjectFY 1996 $71,000

Project Description and Goals: A World Wide Web (WWW) prototype of a Multidisciplinary Data Librarysupporting the IRI is currently being developed. This will facilitate data exchange among an increasingly diversegroup of climate research scientists, economists, social scientists, epidemiologists, ecologists and people whomake decisions based on climate information, including agriculture managers and government officials. Thisgroup is not only diverse in its background, but also is distributed over the entire globe. The data server willcontain a hierarchy of tools including an interactive data viewer, tables, data files in a variety of formats, filtersand a variety of plots. The library will be a WWW resource; thus more sophisticated users can write their ownhypertext and link directly to data-based figures, calculations, and data manipulating tools. Data analysis will befurther facilitated with more specialized tools, including plot overlays, correlation functions, new data formats,and instructional material to guide the novice user in making analyses.


FY 1996: The prototype project began in the Spring of 1996. In addition to funding from the NOAA grant, theInternational Oceanographic Commission and the World Meteorological Organization has also recommended thatits members fund the project at $50,000. The project contributed data-viewing software to the EnvironmentalSciences Curriculum (http://rainbow.ldgo.columbia.edu/~benno/ingrid/iricp/intro.html) that worked particularlywell for the students.

FY 1997: Work is starting with the Black Rock Forest Consortium to make their data available to a wideaudience, particularly K-12 students. The project is also preparing to teach the first semester of theEnvironmental Sciences Curriculum for the second time. The project is continuously expanding themultidisciplinary database for Indonesia. The prototype is in the process of metamorphosing into an integral partof the facilities of the IRI. The IRI has been funded by NOAA and the Data Library will continue under itsauspices. Proposals for additional funding have been submitted and are currently pending at NASA for$1,202,778 for October 1997 through September 2003, the Intergovernmental Oceanographic Commission for$50,000, and the World Meteorological Organization for $50,000.


Project Leader: Benno Blumenthal, Senior Staff Associate, Lamont-Doherty Earth Observatory______________________________________ENSO-Northern Chile Case StudyFY 1995 $11,000

Project Description and Goals: The ENSO-Northern Chile Case Study project, based in the AnthropologyDepartment at Teachers College, analyzes the process of using scientific data in the formation and execution ofenvironmental policies. It takes the socio-political responses and management of Chilean fisheries as a case studyfrom which to extract more general relationships of human adaptations to climate change. As a result of theincrease in the accuracy of predictive capabilities and the wider distribution of probabilistic forecast efforts for ElNiño Southern Oscillation (ENSO) events, the interaction between scientists and policy makers has become moredirect. The project will provide a better understanding of the structural and functional key links involved in thisprocess. This knowledge will contribute valuable information to three key groups involved in the policy-makingprocess: scientists involved in producing forecast products; governmental and non-governmental organizations(NGOs) who have been mandated (e.g. UN Conference on Environment and Development, 1992) to disseminatethese forecast tools; and policy makers in sub-national, national and supra-national arenas who use thisinformation in planning mitigation and development strategies and treatises.

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Unless decision-makers possess concrete evidence on how societies are effected by climate variability and ENSOevents, they will not be able to develop policies that minimize negative impacts and maximize positive impacts.At risk is world agricultural production, valued at more than $1 trillion, U.S. crops, valued at $83 billion in 1993,and impacts that could have effects throughout the agriculture and food system. Focusing on the critical case ofChile, this multidisciplinary research linking the natural and social sciences will provide evidence of climatevariation impacts on agriculture.


FY 1995: A proposal was submitted to NSF’s Human Dimensions of Global Change Program in February 1995(not funded). A work plan was completed for portions of the project that will be conducted under the Earth PolicyCenter in the School of International and Public Affairs.

FY 1996: Planning for this project is being carried out in collaboration with researchers at the Rosenstiel Schoolof Marine and Atmospheric Science. Building on information gathered by RSMAS work in northern Chile inSummer 1995, ethnographic interviews with participants at the IRICP and related government agencies (e.g. thePacific ENSO application center) are being planned. A proposal has been developed and funds for further fieldwork are being sought.

FY 1997: In FY 1997, the project received a $190,000 grant from the NSF Human Dimensions of GlobalChange Research Program which will extend work to February 1998. In addition, the project received a $12,000grant from the Academy for Educational Development/National Security Education Program. Ten months ofresearch in Chile have been completed, identifying individuals, firms and sectors most likely to benefit fromENSO forecast information. Research will focus on how to dispense this information efficiently and equitably.A proposal was submitted to the NOAA Office of Global Programs for work to be conducted in Peru which willbuild on Chilean research results in hopes of a regional understanding of fisheries/climate interactions.

Project Leader: Lambros Comitas, Professor, Anthropology Department, Teachers College________________________________________Climate and SocietyFY 1996 $80,000FY 1997 $150,000

Project Description and Goals: A Strategic Initiative Fund allocation is supporting efforts by the El NiñoSouthern Oscillation group at Lamont-Doherty to explore the potential applications of predictive models. Thegroup will begin working from a small number of variables and then continue adding more variables in order toput together a more complete picture of the climate system of the past 100 years.


FY 1996: A research work plan was developed and implemented. The range of activities includes reconstructionof sea surface temperature fields back to 1856 to allow more test cases for climate prediction. Another researchproject was initiated related to making connection between climate variability and malaria in Southern African.Have to do analysis of more variables to put together a more complete picture of climate system over past 100years or so to practice prediction. Use seed money to generate proposals to the National Institutes of Health orfoundations.

FY 1997: The sea surface temperature work will be extended to include other climate variables. This workresulted in a paper summarizing findings related to tropical ocean-atmosphere interaction with potential globalwarming effects. The paper will be published in Science magazine in the spring of 1997. A proposal is underdevelopment that will be submitted to the National Institutes of Health and/or several foundations.

Project Leader: Mark Cane, Senior Research Scientist, Lamont-Doherty Earth Observatory

University Consortium for Ocean Systems Lamont-Doherty Earth ObservatoryFY 1993 $60,000 School of International and Public Affairs

Scripps Institute of Oceanography

Project Description and Goals: The University Consortium for Ocean Systems project was a precursor to theIRI and contains related research focusing on understanding the ocean’s role in climate. A key component of theEarth Institute is the establishment of permanent collaborative links between the earth sciences and social sciencesin support of national and international efforts to understand the social implications of earth dynamics. TheUniversity Consortium for Ocean Systems represents one such effort. The $60,000 investment in the UniversityConsortium for Ocean Systems was made to establish a large-scale block grant fund for Lamont-Doherty EarthObservatory and the School of International and Public Affairs in the area of ocean science and public policy.

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Funding included $30,000 for Washington-based policy development and $10,000 for project developmentsupport. This fund was secured through a cooperative agreement with Scripps Institute of Oceanography locatedat the University of California, San Diego. This funding culminated in the organization of the Consortium on theOcean’s Role in Climate (CORC). CORC is a novel research consortium funded by NOAA and staffed by theLamont-Doherty Earth Observatory (LDEO) and the Scripps Institute for Oceanography (SIO). Members of theconsortium work together without regard to institutional boundaries to further the understanding of seasonal-to-interannual climate variability. In particular, the group focuses on the coupling of ocean and atmospheric systems.The SIF investment is part of ongoing work to link LDEO, SIPA and Scripps into a science and policy consortiumfocused on global climate change. Other goals included expanding the consortium at Columbia and expandinglinkages between policy scientists and physical scientists. An Executive Committee was created to overseeproject development.


FY 1994: A proposal to the National Ocean and Atmospheric Administration was submitted in 1993 for corefunding of the Consortium. In August 1993, NOAA provided the Consortium with $2,500,000 equipment start-up funding. In May 1994, NOAA signed a purchase order agreement with Scripps Institution of Oceanographyallowing ongoing core funding for the program. Initial funding was $11.5 million over a three-year period startingMay 1994 and ending December 1996.

FY 1995: The Executive Committee approved a research agenda for the Consortium. The agenda laid out threemain task areas. The task areas were modeling interdecadal and abrupt climate changes; observing the modernclimate; and reconstructing the paleoclimate record. Each task area has a number of projects that are selected andconducted by the consortium members.

FY 1996: More than 32 projects under the above three main task areas are currently being conducted around theglobe. Research to date have resulted in numerous contributions to global change literature and insight intooceans role in climate. To date Lamont received $5,187,173 of the total Scripps purchase order allocation fromNOAA.

FY 1997: The funding arrangement with NOAA was extended through FY 1997 at a level of approximately $4million, with Lamont slated to receive $1,794,121. The Consortium will readdress its research agenda in 1997 aspart of a three-year renewal proposal to NOAA which will request approximately $12,000,000 over a new three-year period. The nature of the work will not change significantly relative to the three principal task areasestablished in 1994; however the Advisory Committee will review and issue new objectives related to project-level tasks.


School/Institute Investments

HEALTH SCIENCES INVESTMENT

Advances in health care science and technology and health care delivery remain critical areas of interest topublic policy, linking the themes of social welfare, economic competitiveness, and quality of life. However, thenature of health research and of public demand for areas of research emphasis are changing. With advancesin areas like clinical genetics, gene therapy, and molecular and cellular biology, the distance between scientificdiscovery and medical application grows ever shorter. Additionally, national and local governments arecalling for increased emphasis on health care cost reduction, delivery enhancement, and research on healthproblems of traditionally underserved populations.

Columbia University's Health Sciences Campus has long been a preeminent force in health care discoveries ofglobal, scientific and technological importance. However, the continued excellence of the Health Sciences willrequire continual adjustment to the changing nature of medical research as well as to public needs andpriorities for health care. The Health Sciences at Columbia represent many of the university's most importantties with government, private industry, and the local community. Maintaining and cultivating these

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relationships, as well as expanding them to national and international scope with the advent of advancedinformation technologies, will require substantial investment in a broad range of research development areas.

*Medical School Investments Medical School/Health SciencesFY 1994 $680,000FY 1995 $1,000,000FY 1996 $1,000,000FY 1997 $1,250,000

Project Description and Goals: The Strategic Initiative Program supports a Medical School research initiativedesigned to focus research in important areas such as genetics, genome mapping, and providing linkages betweenbasic and clinical research. The Medical School’s current projects are described below.

Overall Project Leader: Herbert Pardes, Vice President, Health Sciences Division________________________________________Constructing Normalized cDNA Libraries from Human TissuesFY 1995 $30,000FY 1996 $10,000

Project Description and Goals: Under the national Human Genome Project, major portions of the physical andgenetic maps of the human genome will soon be known. This will lead to information concerning the geneticdefects that cause or make humans susceptible to certain diseases. The result will be a geometric increase in theamount of gene therapy and clinical genetic research conducted around the world. To take part in thesedevelopments, Health Sciences undertook an initiative to develop research strengths along the entire continuum ofgenetics research from basic through clinical genetics and gene therapy. This includes support for the work of anumber of faculty across many departments at Health Sciences. The SIP money supported pilot projects (suppliesand personnel) and the purchase of minor laboratory and office items.

Status and Accomplishments:

FY 1995-96: Dr. Benito Soares initiated work involving multiple investigators on the construction of normalizedcDNA libraries from human tissues. This project, which ended up receiving substantial support from the NIH andDOE, started as a pilot project with support from the Strategic Initiative Program. The objective was to generatea large number of high quality normalized cDNA libraries as a resource for the community to facilitate large scalegene identification and mapping projects. The project has been highly successful and its output constitutes aresource of great value for the advancement of basic and applied biomedical research and for the Human Genomeproject. To express this quantitatively, one can consider the fraction of human cDNA sequences in the publicdomain that are derived from libraries that were constructed at Columbia. Currently there are 297,363 humancDNA sequences in GenBank=AE; 210,104 of these (72%) are derived from Columbia libraries. It has beenestimated that these cDNAs represent tags for 50-80% of all human genes. These sequences have been queriedmore than a quarter of a million times by researchers at academic, government, and commercial institutions allover the world. Genes from Columbia libraries, particularly from human brain libraries, are being placed onphysical maps of the human genome by an international consortium at the rate of thousands per month. Recently,one of Columbia’s cDNA clones, first sequenced in 1992, provided an astounding shortcut to cloning thechromosome 1 Alzheimer’s gene just weeks after the chromosome 14 Alzheimer’s gene was reported in theliterature.

Grants: In June 1994, the project was awarded a three-year, $1,416,223 grant from the National Center forHuman Genome Research (Normalized Human cDNA catalogue with tissue-specific IDS); another three-yearNCHGR proposal is planned for June 1997 in the amount of $948,722 (Normalized Libraries of Full-LengthcDNAs). In March 1994, the project was awarded a five-year, $1,128,248 Department of Energy grant(Chromosome-specific cDNA’s/STS’s). A second three-year DOE proposal in the amount of $1,178,237 wassubmitted in March 1997 and is pending.


Project Leader: Dr. Benito Soares, Assistant Professor, Psychiatry

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________________________________________Function of Eukaryotic Organisms in Gene ExpressionFY 1996 $91,000

Project Description and Goals: Eukaryotic organisms employ a variety of important but poorly understoodmechanisms to control the expression of their genes. An understanding of these mechanisms is an important issuesince the regulation of gene expression plays a pivotal role in the development and differentiation of functionallydistinct cell types in a precise spatial manner. In addition, regulation of transcription reflects the ability of cells torespond to extracellular signals and environmental stress. The long-term objectives of the research are tounderstand the molecular mechanisms of inducible gene expression in higher eukaryotes using the interferon-β(INF-β) gene as a model system.

Grants: The project was awarded the following grant in FY 1996-97: A five-year, $1,710,251 grant from theNational Institute of General Medical Sciences in August 1996 (The Role of High Mobility Group Protein HMGI(Y) in Gene Transcription); a three-year, $100,000 grant from the Irma T. Hirsschl Trust; a three-year, $165,000grant from the American Health Association (The Role of IKB Proteins in Post-Induction Repression of NF-KB);a two-year, $80,000 grant from the March of Dimes (The Role of High Mobility Group Protein HMBI intrascroptional regulation); and a four-year $200,000 grant from The Pew Charitable Trusts (Structure andFunction of the High Mobility Group Protein). A proposal is planned to be submitted to the Council for TobaccoResearch in July 1997 (Mechanisms Controlling the Transcriptional Activity of Nuclear Factor, $252,220).


Project Leader: Dimitrous Thanos, Assistant Professor, Biochemistry and Molecular Biophysics________________________________________Function of Ataxia-Telangiectasia Mutation in Developing OrganismsFY 1996 $120,000FY 1997 $131,637

Project Description and Goals: Ataxia-Telangiectasia is an autosomally inherited disease characterized bydevelopmental abnormalities, neurodegenerative changes, immunodeficiencies and 100 fold increased incidence incancer. Children homozygous for A-T mutation develop progressive ataxia due to neurodegeneration, primary inthe cerebellum. Death of the patients usually through pulmonary infections and cancers generally occurs in their20s. Although the gene mutated in A-T patients (ATM) was recently cloned, very little is yet known on thefunction of the ATM protein that can explain some of the A-T phenotypes such as the progressive developmentalabnormalities observed in children. The objective of the investigator’s research is to study ATM in developingorganisms in order to aid understanding of their normal function as well as consequences of the dysfunction of theATM protein.


FY 1996: Grants awarded in FY 1996 and FY 1997 to date include the following: A two-year, $249,000 grantfrom Hoffman-La Roche for lab start-up; a $100,000 grant from the Irma T. Hirschl Trust (Functional of theAtaxia-Telangiectasia Gene During Development); and $165,149 from the Edward Mallinckrodt, Jr. Foundation.Jean Gautier has a career award (Functional Role of the Ataxia-Telangiectasia Gene) for $200, 070 and researchgrant pending (Biochemical Function of the Ataxia-Telangiectasia Gene) for $299,175 from the Department ofthe Army.

Project Leader: Jean Gautier, Assistant Professor, Genetics and Development________________________________________Control of Expression of the CD4 MoleculeFY 1996 $33,000

Project Description and Goals: The CD4 molecule is an important molecule that has multiple roles in thedevelopment and function of the immune system. CD4 plays a critical role in the development of one type ofwhite blood cell, referred to as the T cell. CD4 is expressed early during T-cell development. Subsequently,CD4 expression is either turned off, leading to a subclass of T cells that are responsible for anti-viral and anti-tumor immunity, or CD4 expression is maintained, leading to a subclass of T cells that are responsible forincreasing the efficiency and magnitude of the immune response to invading organisms.


FY 1996: Grants awarded to date include the following: $100,000 from the Irma T. Hirsschl Trust(Characterization of the CD4 Silencer); $319,000 from the American Cancer Society (Control of CD4

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Expression During T-Cell Activation); $264,955 from the Council for Tobacco Research USA, Inc. (A study offactors that control T-Cell Specific Gene Expression During Lymphocyte Development).


Project Leader: Gerald Siu, Assistant Professor, Microbiology________________________________________Cell Communication (Developmental Signaling)FY 1996 $326,000FY 1997 $305,058

Project Description and Goals: Cells receiving developmental signals may respond not just to a single signal butto multiple signals in terms of how they will proceed along a developmental pathway. This project focuses onunderstanding both specific signals and multiple signals and how they are distinguished and integrated within thecell, subsequently leading to the choice of a specific development path. This question is important tounderstanding how subtly different signals are able to direct cells into precise and differential developmentalpathways.


Grants: A proposal to the National Institutes of Health (Signaling Specificity in Drosophila Sepentine Receptors,$1,499,568) has been submitted with a proposed start date of November 1997. A proposal to the NationalInstitute of General Medical Sciences (The Role Of Comb Gap In Cellular Patterning, $1,483,926 from 7/97 to6/2002) and a proposal to the McKnight Endowment Fund for Neuroscience (WNT Signaling in DrosophilaEpithelia, $150,000) were not funded.

Project Leader: Andrew Tomlinson, Assistant Professor, Genetics and Development________________________________________Embryology LaboratoryFY 1995 $200,000FY 1996 $170,000FY 1997 $87,544

Project Description and Goals: The purpose of this SIP investment was to contribute to the establishment of anew experimental embryology laboratory. This laboratory was to form the basis of an interdisciplinary researchgroup that would incorporate classical as well as more modern approaches to the study of embryonic developmentof higher vertebrates, ranging from “systems” to the “genetic” and “molecular” levels. The laboratory wouldform a significant new center that would attract people in different disciplines with a common interest inunderstanding the mechanisms of normal and abnormal development of vertebrates.Status and Accomplishments

FY 1995: The laboratory has been functioning since March 1995. Even in this short time, the above aim hasstarted to be fulfilled at a rate that exceeds expectations. For example, two senior sabbatical visitors (1neuroscientist and 1 mammalian embryologist) are currently spending a year in the laboratory benefiting from theexpertise and resources that have been assembled. There have also been four other visitors (mathematician,agricultural physiologist, electrophysiologist, anatomist) who have spent up to six months in the laboratory. Thesescientists come from the U.S., Israel, Spain and England and are supported by external funds. Visits fromscientists from other institutions are an indication of the degree of success of this endeavor to date. A centralizedcomputer imaging facility has been set up that is in use by members of several departments at Columbia. Partly asrecognition of this important center in developmental biology, Dr. Claudio Stern has also been named one of themain editors of the international journal Mechanisms of Development (Elsevier, Amsterdam). After only twomonths in the laboratory, one of the research fellows has filed an invention report through Columbia InnovationEnterprise. If the research now being conducted is successful in developing this invention, the resulting patent islikely to generate significant revenue.

FY 1996: Collaborations between this group and several others in the institution have been established. Theseinclude a collaborative research effort linking the Neurology and Genetics Departments resulting in a recentpostdoctoral fellowship application which could lead to further funding applications to expand this project onHuntington’s Disease. There is also a collaboration with Dermatology that has resulted in a joint facultyappointment, and another ongoing collaboration with the Departments of Biochemistry and Physiology and theCenter for Neurobiology and Behavior.

Grants: Grants awards to the project to date include $95,000 from the International Human Frontier ScienceProgram (Genetic Control of Early Vertebrate Morphogenesis, March 1994 - February 2000); $912,417 from theNational Institute of General Medical Sciences (The Organizer and Embryonic Regulation, September 1995 -

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March 2000); $781,624 from the National Institute of Children Health and Human Development (EmbryonicDevelopment of the Axial Skeleton and Muscles, April 1995 - March 1998). Proposals are pending with theNational Institutes of Health (Determination of Embryonic Polarity, $1,589,273); the National ScienceFoundation (Competence for Neural Induction in the Chick Embryo, $435,360).

Project Leader: Claudio Stern, Professor, Genetics and Development________________________________________Embryonic Expression in Transcription Factor GenesFY 1995 $108,000

Project Description and Goals: A major new research project has been initiated that involves the study of anewly discovered family of transcription factor genes with embryonic expression. The expression of these geneshas been documented and studies are underway to mutate the genes in order to elucidate their functional roles invarious processes in development, including lung, kidney, limb and breast development. It is thought that thegenes will have wide implications for developmental biology.

SIP funds were allocated to purchase necessary equipment (refrigerator, centrifuge, incubators, PCR machine), topartially cover personnel costs of a technician and post-doctoral fellow, and to support basic research runningexpenses.


FY 1995: Funding was been sought from several sources and has been received from the Columbia CancerCenter ($20,000 seed funding) and from the NIH ($174,000). Several proposals are still outstanding including aUS Army Breast Cancer Research Grant and Predoctoral Fellowship. A student in the laboratory has also appliedfor a NSF Predoctoral Fellowship. With the support of the NIH grant, this project will serve as a major focus ofthe laboratory for the next 5 years.

FY 1996: During FY 1996, a fully functional laboratory was established. Five peer-reviewed publicationsresulted from this project. A grant was received from the U.S. Army Breast Cancer Program for a project entitled“Role of T-Box Genes in Mammary Gland Development” (two-year grant beginning August 1, 1996). One ofthe project’s graduate students received an NSF Predoctoral Fellowship award.


Project Leader: Virginia Papaioannou, Professor, Genetics and Development________________________________________Human Genome ProgramFY 1995 $612,000FY 1996 $500,000FY 1997 $500,000

Project Description and Goals: In 1989, the NIH and DOE established programs designed to map and sequencethe human and selected animal model genomes within a two decade time span, because of the central role ofgenetics in medical and biological research. Genomics, the technical arm of genetics, is essential to findingdisease genes, defining their structure and ultimately to developing new modes of treatment. Physical maps are akey part of the technology of genomics. For Columbia University to be an important contributor to this fieldrequired the construction of laboratories designed for the high technology methods, especially robotics, that are atthe forefront of physical mapping.

In 1993, the NIH provided a grant of $400,000 toward reconstruction of laboratories on the 14th floor of theCollege of Physicians & Surgeons (P&S) to house the physical mapping section of the Human Genome Program.The Strategic Initiative Program provided additional funding toward the completion of the renovation that enabledexpansion of the physical mapping part of the genome program. The maps consist of cloned, chromosome-specific DNAs assembled into overlapping arrays and annotated with a variety of sequence-probes. The mapsserve to facilitate gene discovery and as substrate for complete sequencing of large stretches of DNA.


FY 1994-95: The renovations were planned in Fall 1993 and completed in December 1994. The HumanGenome Program became an initiative of the newly formed Columbia Genome Center (see complete descriptionunder Centers later in this report). The Physical Mapping laboratory is currently among the world leaders in finemapping of single chromosomes. Considerable external support from the NIH and from industry has beenreceived, is planned, and is pending.

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FY 1996: As of FY 1996, research activities under the Human Genome Program have been consolidated with theactivities of the Columbia Genome Center (for grants activities to date see Columbia Genome Center).Laboratory equipment and personnel will eventually be transferred to the new physical center once constructionhas been completed.

Project Leader: Isidore Edelman, Robert W. Johnson Professor, Biochemistry and Molecular Biophysics________________________________________Neuronal Nicotinic Acetylcholine ReceptorsFY 1997 $195,761

Project Description and Goals: The Neuronal Nicotinic Acetylcholine Receptors project will examine theeffects of nicotine at synapses. (1) It will examine the differences amongst the nicotinic acetylcholinereceptor subtypes and subunits in their susceptibility to modulation. (2) The variability among subtypes intheir permeability to and modulation by calcium. (3) The role of distinct subtypes in modulatingpresynaptic function. The work will determine the effect of nicotinic agonists at the CNS synapses in vitroand the effects of chronic nicotine exposure.


The results of the past year have been extremely productive. A paper has been published in a full-lengtharticle in Science. Studies on the subunit compositions of neuronal nicotinic acetylcholine receptors werealso completed and published in Nature. Continuation of both of the studies on the role and route ofpresynaptic nicotine-induced calcium entry and on characterization of the properties of novel nicotinicacetylcholine receptors is progressing well. Additional manuscripts are being planned for submission toNeuron.

Grants: Dr. Role has an award from the Council for Tobacco Research (Modulation of Transmission byNicotine) for $56,000 ending December, 1997. She also has two awards from the National Institute ofNeurological Disorders and Stroke. The first (Expression of Neuronal Nicotinic Acetylcholine Receptor)for $1,013,712 ending in May, 1999. The second (Modulation of Neuronal Acetylcholine Receptors) for$2,134,899 ending in May, 2000.

Project Leader: Lorna Role, Professor, Anatomy and Cell Biology

Nursing School Investments School of Nursing/Health SciencesFY 1994 $20,000

Project Description and Goals: A $20,000 grant was made to the School of Nursing in 1994 to support pilotfaculty research studies, consultative meetings, appropriate seminars such as data management, and developmentof submissions to NIH and appropriate foundations. The research projects, described below, include thefollowing:

− Testing Strategies to Reduce Diarrhea in Persons with HIV− Health Assessment & Promotion and Disease Prevention Practices of Certified Nurse-Midwives− National Study of Home Birth Practice− Feeding Interactions In HIV-Exposed Infants

Overall Project Leader: Mary Mundinger, Dean, School of Nursing, Health Sciences________________________________________Testing Strategies to Reduce Diarrhea in Persons With HIV

Project Description and Goals: The focus of Dr. Anastasi’s research is to identify, analyze, develop andtest interventions that will promote the effective management of distressing symptoms related toHIV/AIDS. Two studies are currently in progress. The first study (No.1.) funded by NIH/NINR will test adietary intervention of combined nutrition knowledge consisting of an intervention diet and behavior changetraining to reduce the frequency of diarrhea related to malabsorption among HIV positive individuals. Thisstudy is a randomized, single blind, parallel groups, control clinical trial. The second study (No. 2.) willtest a Chinese therapy: Acupuncture and Moxibustion aimed at reducing diarrhea frequency and improvingthe consistency of stools in persons with chronic diarrhea who are HIV positive.


FY 1995-96: While the sample size was not representative, the intervention produced positive outcomes and ledto a successful application for further investigation. Subjects’ quality of life and physical functioning showed

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improvement along with nutrition/diarrhea knowledge, which improved at each phase of the study. Severalarticles have been published in the American Journal of Nursing and additional articles are being developed.

FY 1997: A grant was awarded for a five-year study by the National Institute of Nursing Research in the amountof $582,542 (“Testing Strategies to Reduce Diarrhea in HIV Patients” awarded August 1996). The project iscurrently in its second year of funding. Activity includes the continuous enrollment of subjects, thedevelopment of two manuscripts, and preparation for a scientific conference at which an abstract wasaccepted. The project is also in its first year of collaboration with the NIH General Clinical ResearchCenter at Columbia-Presbyterian Medical Center. The work with the GCRC is titled “Acupuncture andMoxibustion to Reduce Diarrhea in Patients with HIV”. Current activity includes continuous enrollment ofsubjects, publishing of one article and one book chapter, and the preparation for a scientific conferencewhere an abstract was accepted.

Project Leader: Joyce K. Anastasi, Assistant Professor of Nursing________________________________________Health Assessment & Promotion and Disease Prevention Practices of Certified Nurse-Midwives

Project Description and Goals: This project was initiated in November 1993 following publication of a similarstudy of the preventive care practices of obstetrician-gynecologists. Because certified nurse-midwifery practicehas considerable overlap with that of obstetrician-gynecologists, documentation of similarities and differences inpreventive care practices between the two groups became a high priority. The Columbia nurse-midwifery facultyis known nationally for leadership in clinical practice and education. This project will aid the faculty’s visibilityas a leader in evaluation of practice as well.


FY 1994: The American College of Nurse-Midwives (ACNM) allowed access to their membership rosters, aself-administrative questionnaire was designed and piloted, and the mail survey was undertaken during calendaryear 1994.

FY 1995: The results of the ACNM study were analyzed and a paper was written to be submitted to the Journalof Nurse-Midwifery.

FY 1996: The final manuscript has been accepted for publication in the Journal of Nurse-Midwifery, as the leadpaper of a special issue devoted to primary care practice by certified nurse-midwives. Patty Aikins Murphy hasleft the School of Nursing and taken a new position in another department. Her responsibilities are such that shewill not be working on the study for the near future. The project has been taken over by Elizabeth Lenz.

Project Leader: Elizabeth Lenz, Professor, School of Nursing________________________________________National Study of Home Birth Practice

Project Description and Goals: Home birth is an understudied alternative birth practice in the United States,carried out primarily by midwives. Quality data that either supports or refutes the safety of this practice does notcurrently exist. This study aims to develop a knowledge base on the subject.


FY 1994: The project began in the Summer of 1994 with a feasibility assessment, identification of interestedhome birth practitioners, and development of data collection forms and study procedures.

FY 1995: Data collection for Phase I of the study began in December 1994; subject enrollment was stopped inDecember 1995. During that time, over 1400 women were enrolled from 30 home birth practices across theUnited States. Complete data for all subjects will be available by June 1996. A proposal was submitted to NIHand was reviewed by a National Institute of Nursing Research study section. Although the proposal was notscored, the comments were generally favorable and encouraging.

FY 1996: Phase II of the study will be in the revision and instrument pilot stage during the spring of 1996, andfunding is being sought for this endeavor. Analysis of the results of Phase I is planned for the spring and summerof 1996. The development of Phase II of the study will follow the recommendations of the NIH study section,and a resubmission is planned. Funding was sought from the ACNM Foundation for assistance with the analysisof Phase I results, and a $5,000 grant has been awarded.

FY 1997: Analysis of data from Phase I of the home birth study is underway. Three papers are in progress and aFederal application to support Phase II of the study is planned for spring 1997. Presentations were made at the

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annual meetings of the American College of Nurse Mid-Wives (1996) and the American Public HealthAssociation (1996). Patty Aikins Murphy has left the School of Nursing and taken a new position in anotherdepartment. Her responsibilities are such that she will not be working on the study for the near future. Theproject has been taken over by Elizabeth Lenz.

Project Leader: Elizabeth Lenz, Professor, School of Nursing________________________________________Feeding Interactions In HIV-Exposed Infants

Project Description and Goals: This project focuses on urban caregiver/infant dyads at multiple medical andsocial risk for poor child development. Studies continue with HIV infected caregiver/infant dyads and have beenexpanded to interaction measurement tools and intervention strategies for other vulnerable caregiver/infantpopulations in community settings. A study of a parent education resource room (the “Room to Grow”) as anearly intervention to improve parenting interactions in high risk groups was initiated. It is located on site at theCenter for Advanced Practice.


FY 1996: Both projects are currently in a data collection phase. A grant from the NIH Mentored ResearchScientist Award is pending. A request to Ford Motor Company was declined. Results of the study on perinatalHIV/AIDS were submitted in competitive abstracts and accepted for presentation at two major nationalconferences: the 33rd Biennial Scientific Sessions of the Sigma Theta Tau International Honor Society forNursing (November 1995) and the Annual Conference of the National Association for Pediatric Nurse Associatesand Practitioners (March 1996). Three manuscripts were prepared for publication, including one placement in theWestern Journal of Nursing Research. Results of the study on high-risk parenting were published in theAdvanced Practice Nursing Quarterly. A major medical center in Gothenberg, Sweden plans to replicate theproject. Consultations and grant application review was completed by national experts in child development. AK01 Mentored Research Scientist Development grant application in the amount of $257,845 was submitted inOctober 1995 but was not awarded.

FY 1997: The initial studies of feeding interactions in HIV exposed infants -- the first studies in this area ofinquiry -- have formed the basis for the development of a four dimension model ("GINI") for monitoring of HIVexposed and HIV infected infants being cared for at home. Psychometric work is in progress on parent/childinteraction instruments. The parent education resource room ("Room to Grow"), an interaction enhancementstrategy, was discontinued at the Center for Advanced Practice, but is being replicated at other sites including oneregional medical center in western Sweden. At the request of the Bedford Hills Correctional Facility's Children'sCenter, a proposal is being prepared to evaluate the Children's Center programs for pregnant women and motherswho are incarcerated and for their infants. Preliminary studies are in progress related to a planned multi-site RO1application responding to a program announcement for strategies to enhance medication compliance with complexregimes for HIV infected individuals. The Principle Investigator has been awarded a post-doctoral LENDfellowship to study neurodevelopmental and related disabilities in children. The Principle Investigator has beencompetitively selected to participate in the Harris Foundation study group of the new national Institute for ClinicalStudies of Infants, Toddlers, and Families, and has deferred this participation until academic 1998-99.

A new Mentored Research Scientist Development proposal in the amount of $523,666 for three years (1/1/98through 12/31/00) was submitted to NIH for a May 1997 deadline, received an encouraging score, and is beingprepared for re-submission for a November 1, 1997 deadline. A grant application for the Faculty Scholar Awardin the amount of $250,000 for five years (4/1/98 through 3/31/03) was submitted to the William T. GrantFoundation in July 1997 and review is pending. Subcontract on a Pediatric AIDS Foundation Elizabeth GlaserAward application of the Seattle Children's Hospital and Medical Center was submitted October 1, 1997. Amulti-site RO1 addressing medication adherence in complex HIV anti-retroviral regimes is in preparation for aFebruary 1, 1998 submission.

Project Leader: Mary Woods Byrne, Assistant Professor of Nursing


*SCHOOL OF ENGINEERING AND APPLIED SCIENCE

Investments in the School of Engineering and Applied Science (SEAS) have supported two principaldevelopments: the establishment of interdisciplinary teams and laboratories to support advanced materialsresearch and a new, high performance multimedia learning facility.

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The School’s advanced materials R&D teams and eight supporting laboratories involve faculty from SEAS, theDepartment of Chemistry in the Graduate School of Arts and Sciences, and research partners from industry,other universities, and national laboratories. Advanced materials continues to be a high priority focus area interms of both Federal and private support for academic R&D. Materials research fields supported by theteams and laboratories include semiconductors; high-temperature superconductors and ceramics; laser andmaterials interaction and innovative processing; and barrier materials.

The School’s interest in taking a leadership role in national efforts to improve the experience and learning ofengineering students through the use of multimedia technology led to the establishment of the Gateway Lab, astate-of-the-art multimedia visualization laboratory. Established in 1994, the Gateway Lab is now an integralpart of the SEAS undergraduate curriculum, with courses specially designed to introduce students to the use ofvisualization tools in engineering design. The Lab is shared by other Schools of the University as well,including the Graduate School of Arts and Sciences; the Graduate School of Architecture, Planning, andPreservation; and the School of the Arts.

*Materials Research School of Engineering and Applied ScienceFY 1994 $150,000

Project Description and Goals: The SEAS Materials Research investment supports the development of aresearch program in materials science with the goal of enhancing Columbia's scientific and technologicalcompetitiveness in the areas of advanced materials. Slade Cargill, the leader of the effort, is an expert in theapplication of x-ray scattering and x-ray absorption spectroscopy to the study of materials for solid state devices.The principal goal of the Materials Research project was to develop and to apply x-ray microbeam facilities formapping microstructure and strain with high spatial resolution. Important applications include thermal andelectromigration induced strains in metal conductor lines and their dependence on grain structure and studies ofdegradation in semiconductor heterostructure lasers. These applications are important for testing current modelsand for enhanced performance and reliability. A related goal of the project is to use a state-of-the-art scanningelectron microscope equipped with a low temperature stage and optical spectrometer for spatially resolvedcathodoluminescence studies of semiconductor materials and devices for optoelectronic applications.


FY 1994: Joint research activities were planned with faculty in Chemical Engineering, Materials Science, andMining Engineering, on laser-processed semiconductors, high temperature superconductors, and fracture behaviorof rocks respectively and with the Department of Applied Physics on fracture and strain distributions insemiconductors and ceramics. The Strategic Initiative Program investment also supported activities to enhanceindustrial relations. Opportunities for expanding research activities with IBM Research were pursued, anddiscussions occurred on joint activities with Allied-Signal Inc., Oakridge National Laboratory, and BrookhavenNational Laboratory. A joint study was established with IBM, which provides x-ray diffraction equipment,electromigration samples, and $4,000 for purchasing computer equipment. Two research laboratories wereestablished with equipment donated or loaned by IBM. The equipment included (1) a scanning electronmicroscope with a low temperature (liquid helium) sample stage and with other accessories forcathodoluminescence and electron-beam induced current measurements and (2) x-ray diffraction equipment forstructural analysis and strain measurements. Proposal writing activities supported by the Strategic InitiativeProgram included preparation of a preliminary proposal to the U.S. Department of Energy for research onceramics by micron scale x-ray microdiffraction, seeking $200,000 for 12 months of research. The preliminaryproposal was accepted and Professor Cargill prepared a full proposal. In addition, Professor Cargill hasparticipated with a group of scientists from Chemistry, Applied Physics, Chemical Engineering, and the School ofMines in preparing two preliminary proposals for two large-scale block-grants from NSF's Materials ScienceProgram.

FY 1995: Development of x-ray and electron microbeam techniques by Professor Cargill’s group continued andwere applied to microscopic strain measurements. Hardware and software refinements were made to permitpractical applications in studies of thermal and electromigration induced strains in metal conductors of integratedcircuits (in collaboration with IBM Reassert). Electron beam studies were begun in two areas: degradationprocesses in ZnSe-based laser diodes in collaboration with Philips Electronics and electro-optical properties ofGaAs quantum wells and microdots jointly by Professors Cargill and Osgood.

FY 1996: X-ray microbeam equipment and techniques developed jointly with IBM have been used to obtain thefirst spatially-resolved, real-time measurements of thermal and electromigration related strains in passivatedconductor lines. Professor Cargill received a $43,112 Small Grant for Exploratory Research from NSF and a$32,000 Partnership Award from IBM in support of this work. He also received a three-year $191,977 grant fromNSF (Nanoscale Strain Mapping, June 1996) and one-year of graduate student support from BrookhavenNational Laboratory for further development of x-ray microbeam instrumentation and techniques. In joint workwith Philips Electronics, Professor Cargill’s group studied degradation in laser diodes using cathodoluminescence,

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and they found unexpected temperature dependencies and spectral shifts. Philips Electronics provided $10,000 in1996 to support this work. Professor Cargill and Professor Im initiated and coordinated an internship program forundergraduate research in materials science and engineering during summer 1995 with ten students. Theycontinued in summer 1996 with fifteen students supported by grants from the Ford Motor Foundation ($10,000,April 1996) and NSF ($9,000, June 1996).

FY 1997: Joint research using x-ray microbeam diffraction and electron beam cathodoluminescence microscopyhas continued with IBM and Philips Electronics. Cargill has given invited talks on this work at the MarchAmerican Physical Society Meeting and at the Denver X-ray Conference. Lucent Technologies/Bell Labs issupporting a graduate student to work on x-ray microbeam instrumentation jointly with Professor Cargill. Twograduate students completed doctoral studies on x-ray microbeam studies of electromigration and oncathodoluminescence microscopy studies of laser diode degradation. For joint work with Philips Electronics oncathodoluminescence and x-ray microbeam studies of laser diode degradation, Professor Cargill has received athree-year grant from NSF for $325,230. For joint work with IBM on electromigration, Professor Cargill hasreceived a three-year grant from NSF for $346.165. Professor Cargill also received a grant for $15,000 fromKullte Materials Research, which was transferred to Professor Herman, and a grant from the Ford Foundation forundergraduate education for $10,000.


Project Leader: Slade Cargill, Professor of Applied Physics, H. Krumb School of Mines

Laser Material Processing Department of Mechanical EngineeringFY 1994 $65,000

Project Description and Goals: The Laser Material Processing award supported start-up funding for a newfaculty member performing research and attracting external funding in the area of advanced manufacturingtechnology, laser material processing in particular. Topics being investigated include material-laser interactions,innovative processes, and laser micromachining.


FY 1995: Research initiated in laser material processing. Much of the work has been in the form of mathematicalmodeling and computer simulations. Proposal writing activities supported by the Strategic Initiative Programinclude preparation of a proposal together with Richard Longman to NSF on control of laser materials processing,seeking $294,918 for 36 months of research; a proposal together with Longman and Pradip Dutta to DARPA onModeling Simulation and Control of Materials Processing and Manufacturing Program for $582,602; a proposalto DOD on laser processing of metal matrix composites for $152,000. Two seed grants of $12,500 and $45,000were received from industry. Donation of a laser interferometer system valued at about $75,000 was receivedfrom AIC, Inc. Software donation valued at $15,000 was also received from Systems Modeling, Co.

FY 1996: The research has entered a new experimental phase, with the recent delivery of a $130,000 laser withsubstantial industrial contribution. A patent application was filed for software that allows laser processoptimization. The project received a NSF grant of $206,300 on numerical and experimental investigation onunsteady-state material-laser interactions. Other proposal writing activities include a proposal to NIST AdvancedTechnology Program (ATP) on a real time measurement system, seeking $1,001,109. This proposal wassubmitted with American Sensor as the principal investigator and Columbia University as a subcontractor. Anequipment proposal was submitted to NSF for $60,000 to support laser research. A proposal for SBIR phase Igrant of $64,294 was submitted with GT Machine Co.

FY 1997: Research develops into investigating instabilities and oxidation phenomena in laser materialsprocessing. Another development is to research into laser micromachining. Industrial contacts have been made.Collaboration with Cordis Co., a Johnson and Johnson Company, on process optimization of lasermicromachining of medical devices has been carried out. The project also received funding for a coordinatemeasuring machine which is used for educational purposes. Proposal writing activities include a proposal to NSFfor equipment to enhance manufacturing education for $75,060; a proposal to NSF for $265,052 to studyultraprecision issues, and a proposal to NIST ($1,749,987). The NIST ATP proposal is to study low-costultraprecision and is submitted with Xerox as principal investigator and Columbia University as subcontractor.Joint research with other faculty members have been carried out and more contacts with industry are planned. Aproposal on laser micromachining has recently been submitted to NSF for $257,073 and a proposal on a relatedtopic is under development for the Office of Naval Research Industrial Program.

Project Leader: Y. Lawrence Yao, Associate Professor, Mechanical Engineering

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Free Radical Polymerization Department of Chemical EngineeringFY 1994 $6,000 Department of Chemistry

Project Description and Goals: Free Radical Polymerization (FRP) is of great technological importance; FRPmethods are used to manufacture a vast range of synthetic polymer products. The processes occurring in thesepolymerizations involve many fundamental aspects of polymer physics and polymer chemistry. This project is aninterdisciplinary one, uniting experimental and theoretical expertise. The aim is to establish a fundamentaltheoretical understanding of RFP and to develop experiments which are sufficiently well-controlled that they canresolve outstanding issues in the field. The collaborative effort couples Professor O'Shaughnessy's theoreticalexpertise in the field of reacting polymer systems with Professor Turro's experimental expertise in the study ofradicals using electron spin resonance (ESR). ESR is the natural tool for the study of the polymer radicals whichare at the heart of these polymerization processes.

FY 1994: Prof. O'Shaughnessy developed first principles theories of FRP using concepts and methods oftheoretical polymer physics. A range of specific predictions were arrived at. The SIF provided matching fundsfrom SEAS for a grant from NSF in the amount of $168,000. These SIF funds were used in part to purchasecomputer equipment to provide numerical tests of some of the theoretical predictions.

FY 1995: Prof. O'Shaughnessy's theoretical work continued. The theoretical picture which had been developedfor steady state polymerizations was extended in order to interpret an important family of experimental FRPstudies of transient properties. A Collaboration between Prof. O'Shaughnessy and Prof. Turro was initiated.

FY 1996: A jointly supervised Ph.D. student, Erdem Karatekin, began a range of ESR experiments in Prof.Turro's laboratory whose aim is to test O'Shaughnessy's theoretical predictions and then break new ground. Manyprevious ESR polymerization studies have been relatively uncontrolled; the objective here is to develop very wellcharacterized experimental approaches which are motivated by a coherent theoretical picture.

FY 1997: Theory was developed to help design and to predict the detailed outcome of a number of novelexperimental methods testing basic aspects of FRP. The theory predicts specific dependencies on polymer chainlength and time for the important observables such as polymer radical concentration. Initial ESR measurements ofpolymerizing systems have produced signals which are sufficiently strong to demonstrate the feasibility of themethod. Synthesis of well-characterized polymers suitably labeled with photocleavable end groups has begun;when exposed to a high intensity laser beam, these labeled polymers will generate well-characterized polymerradicals. The project successfully submitted a proposal with the Polymer Research Center to the NSF entitled“An Integrated Theoretical and Experimental Investigation of Free Radical Polymerization.” The project wasawarded $260,000 for the time period of July 1997 to June 2000.

Project Leaders: Ben O’Shaughnessy, Associate Professor, Chemical Engineering; and Nicholas Turro,Professor, Department of Chemistry

Barrier Material Engineering Testing H. Krumb School of MinesFY 1994 $4,086 School of Engineering and Applied Science

Project Description and Goals: The Strategic Initiative Program grant was used to install testing equipment(MTS Tension-Torsion Testing System) in the Rock Engineering Lab in the Mudd Building. The funding wasused to defray transportation costs and to install a 450 volt power outlet in the lab. The MTS machine (valued at$250,000), was received as a gift from the Chevron Petroleum Co. It is the main equipment in the lab. The long-term goal of the laboratory is to establish a National User Lab for Barrier Material Engineering Testing. Thisactivity will fall under the auspices of the Earth Engineering Center (previously described under the ColumbiaEarth Institute in this report). A collaboration with the University of Massachusetts-Lowell is expected in theareas of development of hydrologic barrier material. Columbia’s role in this collaborative effort is to conduct theperformance testing and validation of numerical models.


FY 1994: A proposal was submitted to the Gas Research Institute. The proposal was shortlisted but ultimatelyturned down at the final contest.

FY 1995: Recently, the Earth Engineering Center established a collaborative agreement with the Moscow StateMining University to work on nuclear waste site remediation of Lake Karachai in the Ural area of the formerSoviet Union where 130 million Curies of radioactive waste was dumped during the Cold War era. Thecontaminant plume is know to be moving toward a nearby estuary of the Ob River which drains to the Kara Sea inthe Arctic. The source of funding expected is from the European Community. The approach proposed is to install

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a massive hydrologic barrier to contain the plume. Columbia’s involvement is to conduct large engineering scaletesting and computer simulation in the lab being established.

FY 1996: A proposal was submitted to the City of New York Department of Environmental Protection. It hasreceived favorable responses and is likely to receive a small amount of funding soon. This proposal studies thefeasibility of using surface active chemical agents to improve the performance of the Tunnel Boring MachineProject, currently used to excavate water tunnels in the City of New York. Additional proposals were preparedfor submission to the National Science Foundation (not funded), the Environmental Protection Agency (notfunded), and the Massachusetts Institute of Technology (not funded).

FY 1997: The United Nation Development Program’s (UNDP) Revolving Fund for Sustainable ResourceDevelopment has expressed interest in the project and a contract is under discussion. The National ScienceFoundation proposal will be resubmitted in Spring 1997. A symposium on rock mechanics is being organized forJune 30 - July 2, 1997 with 500-600 people expected.

Project Leader: Kunsoo Kim, Associate Professor, H. Krumb School of Mines

Gateway Lab School of Engineering and Applied ScienceFY 1994 $39,000

Project Description and Goals: The Gateway Lab is a state-of-the art multimedia facility in the School ofEngineering and Applied Science. Gateway was established in 1994 as part of Columbia’s work with theNational Science Foundation’s Gateway Coalition, a ten-institution consortium devoted to the reform ofundergraduate engineering education. The Lab is a major tool in SEAS’ education reform efforts and focuses onincorporating multimedia technology into the engineering curriculum. The Lab’s current infrastructure, valued atmore than $40 million, includes 45 Unix-based Silicon Graphics Indy machines and a variety of advancedimaging software capable of handling multiple applications, including 3-D modeling, animation, and engineeringdesign. The Lab also houses an Onyx supercomputer for high-end applications. These acquisitions wereachieved through a number of high-level good will transactions with industry. SEAS faculty and faculty fromother schools are able to utilize the Lab to aid research requiring advanced modeling and design tools. Users todate have included the Department of Chemistry, the Department of Art History and Archaeology, the GraduateSchool of Architecture, Planning, and Preservation, and the School of the Arts. Additionally, the Lab supportsusers from other universities, high schools, and industry for a variety of activities, including introductorymultimedia courses, workshops, and symposia.


FY 1994 & FY 1995: First year funding of approximately $176,000 from the NSF Gateway Coalition supportedthe Gateway Lab’s design and curriculum planning efforts. To support the initial Lab infrastructure, AT&Tcontributed $125,000 for the acquisition of 20 PCs. Late into 1994, contributions from the Strategic InitiativeFund and other Columbia University investments supported the acquisition of 45 SGI workstations and the Onyxsupercomputer. The Lab was formally designated in November of 1994. In FY 1995, the Lab focused on thedevelopment of courses and user programs, including the following activities:

− In FY 1995, the Lab instituted its principal course, “Computers in Engineering,” as a required SEASfreshman course; the course is now in its second year. Four additional courses were developed for thedepartments of mechanical engineering, civil engineering, and industrial engineering. The Departments ofChemistry and Computer Science in GSAS also developed Lab-based courses.

− The Lab collaborated in a Columbia University proposal to the National Science Foundation for designationas an Engineering Research Center. The proposal is for an advanced image transmission testbed, with theLab as a node on the testbed’s ATM network.

− SEAS employed the Lab in establishing a series of free multimedia courses for SEAS alumni. Donationsfrom the Alumni Association to the Lab now total approximately $40,000.

− Several industry affiliations were developed, resulting in software and hardware contributions to the Lab.Microsoft contributed $4,000 for the development of a special course for people in industry and utilized theLab for a one-day workshop. To date, several million dollars worth of software has been contributed from avariety of makers, including Alias, Softimage, Biosym, and I-DEAS. Both the Lab itself and students’ workhas been used by media and film companies, and several companies have offered to provide graduateapprenticeships. The Image Group, a film company, employed one SEAS student using the Lab to render ananimation segment for a TV. movie. Other SEAS students have also participated in the development ofanimation segments for media companies.

− The Lab collaborated with the Department of Chemistry on another NSF-supported project called GatewayEDISON. The goal of this collaborative effort is to develop standards for transparent pedagogical interactionsbetween engineering and the physical sciences. For more information, see the “Chemistry Classroom for theFuture” project under the Virtual Information Initiative.

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FY 1996: To date, The Lab has received over $500,000 from the NSF Gateway Coalition. In the fall of 1995, amini-site visit was conducted by the NSF. NSF’s report stated that the Gateway Lab was an exemplary effort andthat other schools should follow the Lab’s lead in multimedia instructional design. Gateway Coalition fundingwill continue through FY 1997. Some of the Lab’s NSF funding has been allocated to other schools anddepartments of Columbia University, including the Institute for Learning Technologies for evaluation work andthe Building Technologies Program in Architecture, Planning, and Preservation to support development of jointcivil/mechanical/architecture learning modules.

FY 1997: The Gateway Laboratory was renamed the Botwinick Gateway Laboratory in honor of an SEASalumnus, E. Botwinick, who gave $1 million to maintain the Lab as the premier multimedia facility in SEAS.During the past year, the number of courses (now 12) using the unique visualization capabilities of the BotwinickGateway Lab continue to grow. A significant step was the opening of a new section of the sophomore levelgraphics course. The course is also open to undergraduates outside of SEAS. Significant numbers of ColumbiaCollege students are enrolled in the freshman Gateway course. The Lab has been connected to the ColumbiaVideo Net so that all 40 SGI workstations can receive live video courses. Based upon the existing freshmanGateway course, the NSF awarded a $100,000 grant to SEAS in partnership with Teachers College for thedevelopment and evaluation of on-line freshman engineering design modules utilizing multimedia technologiessuch as the Web and Java. Modules from electrical and mechanical engineering have been developed. A grant of$50,000 to the Lab from the Alumni Association of SEAS has resulted in the purchase of a high-end workstationenabling students to easily output their work onto video tape. The Gateway Coalition, now in its fifth year, will befunded for another five-year period for approximately $15 million to be shared among seven institutions.

Project Leader: Morton Friedman, Vice Dean, School of Engineering and Applied Science

Departmental InvestmentsSome have argued that at Columbia the department is the key research unit. Accordingly, funds weremade available to departments for investment in enhancing research competitiveness in areas deemed tobe important, growing fields of scholarship in which Columbia has the potential to assert itself and makesignificant contributions. The question at the outset of the investment was whether such investmentsenable a department to become more competitive in designated areas. The evaluation of suchinvestments is long-term in nature -- the payoff may not be apparent for several years. In the short-term,the effectiveness with which the department uses funds, and opportunities created by investmentopportunities, are key to evaluation. Such criteria as proposal activity generated by the investment,linkages formed with potentially beneficial partners, patents, graduate education and training, and juniorfaculty development are included in the evaluation.

DEPARTMENT OF BIOLOGICAL SCIENCES-BASED INVESTMENTS

A number of government and industrial science research laboratories have long observed the practice ofproviding internal investments for new research projects deemed risky in terms of projected outcomes butwhich are estimated to have a high payoff potential if the research is successful. Many university sciencedepartments lack the funding to pursue this practice. The Strategic Initiative Program investment in theBiological Sciences Department supported several different types of projects to determine the usefulness ofmaking this type of internal investment. Investments were made in two "high risk" genetics research projectswhere the payoff potential in terms of enhanced research competitiveness was viewed as high. Payoff isdefined as the development of patentable research processes with commercialization potential. The followingprojects were chosen according to these criteria.

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Cartos II Anatomical Software Department of Biological SciencesFY 1994 $64,250

Project Description and Goals: CARTOS II is an anatomical software system developed by the Department ofBiological Sciences for use in neuroscience research. The goal of CARTOS II is to provide nearly automatic 3-Dneuroanatomical images from digitized data accessible from a wide variety of open systems display hardware. Bysemi-automating what would otherwise be a very slow and labor-intensive process, the CARTOS II systemallows neuroscientists to obtain a much more detailed map of the brain than allowed by current methods. Theinterest in CARTOS II as a research development project is in its short term potential to provide an advanced toolfor use by Columbia researchers and to stimulate new research. As longer term work toward full automation iscompleted, it is anticipated that the system will be distributed to the wider academic community outside ofColumbia and/or commercially as part of a larger bundled hardware/software system. The $64,250 StrategicInitiative Program investment was made to support completion of the design and implementation of a networkableX software version of CARTOS II, including documentation and manuals, in preparation for demonstration anduse of the system by interested Columbia researchers.


FY 1995: A first draft of a manual was produced, and CARTOS II software is in use for two research projects atColumbia involving the reconstruction of cells. The completed software package runs in X on most UNIXplatforms. The program has been tested on the IBM RS-6000, Sun Sparc and Silicon Graphics IRISworkstations. Improvements have been made in the user interface, including improved user control over selectivedisplays, ability to color and highlight objects of interest, and presetting and storage of setting.

FY 1996: A more complete, although not yet final, version of the CARTOS II User’s Manual has been edited andis available on-line. During this period, four additional subroutines were incorporated and tested. The first allowsthe analysis of time-lapse series of CCD-digitized images to be carried out with CARTOS, and in particular thecolor encoding of subsequent frames in order to easily detect temporal changes in the structures of interest. Thisfeature has been tested and used to examine the growth of sensory fields of mechanosensory neurons. The secondroutine takes Z-axis optical sections obtained from a CCD camera on a fluorescent light microscope and displaysthem in space at various angles. The third routine is a deconvolution algorithm that when applied to the opticalsections with an empirical point spread function removes out-of-focal-plane contributions to the image. Thefourth routine allows the automatic calculation and display of areas of contact between objects that have beendrawn by an operator from a series of digitized serial sections. This has been used to obtain areas of appositionbetween different components in mammalian brain in a joint project with faculty in Psychology (MorningsideCampus) and Anatomy and Cell Biology (P&S). The system now permits a much greater range of inputs andanalyses.

FY 1997: A series of demos of the system have begun, with a faculty member at P&S planning to set up a link touse the CARTOS II software package from his own terminal (the SGI on which CARTOS II currently resides is anode/server). Further users are expected to sign on as the properties of the system are shown to interestedneuroscientists. A paper describing the algorithm for the calculation and display of areas of contact betweenneurons is being written. The possibility for submitting a departmental grant proposal for the support of animaging facility based on CARTOS II and data input instruments, such as confocal microscopes or CCD cameras,is under discussion with interested faculty.

The manual for use of CARTOS III has been completed. The project offered use of the system to the Columbiacommunity with Professor Dan Goldberg identified as a potential user. A grant proposal is pending with the NSFthat includes usage of CARTOS III for $566,277 (01/01/98-12/31/01).

Project Leader: Eduardo Macagno, Dean, Graduate School of Arts and Sciences

Immobilized Nucleic Acid Department of Biological SciencesFY 1994 $20,000

Project Description and Goals: The detection of nucleic acid sequences (DNA and RNA; genes and transcriptsof genes) is a powerful technique of molecular biology that has become a standard tool in research, diagnostics,and forensics. The most advanced current approach is the polymerase chain reaction (PCR), which hasrevolutionized this field by its exquisite sensitivity. However, the PCR method is not an effective amplifier intesting environments involving immobilized templates. The goal of the Immobilized Nucleic Acid project is todevelop an alternative amplification method that can increase the sensitivity of detection of immobilized nucleicacid sequences at least 10-fold, and perhaps as much as 1000-fold. Such increased sensitivity would allowexperiments not currently possible, leading to more accurate detection of specific gene fragments, including DNA

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fingerprints, and the detection of rare cells containing viral DNA. The process would also have applications forthe study of the course of HIV.


FY 1994: The $20,000 investment in the Immobilized Nucleic Acid is supporting an ongoing feasibility study ofan experimental amplification technique that would allow high level sensitivity testing in situations where it isnecessary to know the location of a gene or transcript as well as its simple presence. To date, a 500-foldamplification in solution has been achieved. Continued research will attempt to reproduce the amplification usingimmobilized templates.

FY 1995: There have been some changes in personnel and some technical problems, but the project has seensome positive signs and is continuing. With the achievement of this critical step, the prospects for a patent andexternal funding support are excellent.

FY 1997: Efforts have continued to develop a highly sensitive amplification method for the detection ofspecific nucleic acid sequences in situ. Incorporation of large amounts of labeled nucleotides into specificamplification products in solution was successful. An approximate 100-fold amolification was realized,using either radioactive or fluorescent labels. The project received continued funding from NIH of$234,087 in direct costs for “Mammalian Cell Genetic Studies of Pre-mRNA Splicing” for the period9/1/96 to 8/31/97. Additional external funding will be sought for the continuation of efforts to develop ahighly sensitive amplification method for the detection of specific nucleic acid sequences in situ.

Project Leader: Lawrence Chasin, Professor, Department of Biology

DEPARTMENT OF ECONOMICS-BASED INVESTMENTS

The following investments supported junior faculty research development, the development of increasedcomputational capacity in economics and other social science departments, and the application of economicsresearch to studies of Columbia’s intellectual property activities. The second project (the Social ScienceComputing Collaborative) was a spin-off from a non-Strategic Initiative Program investment to support theDepartment of Sociology’s acquisition of computer equipment. Michael Cragg, the Foreign EconomicsResearch project principal, collaborated successfully with John Hartman from Sociology on a joint NationalScience Foundation Academic Infrastructure Grant. Fundraising activities to provide additional equipment forthe Computing Collaborative will continue in FY 1997.

Foreign Economics Research Department of EconomicsFY 1994 $11,000

Project Description and Goals: The SIP grant was provided to a junior faculty member in the Department ofEconomics for the development of proposals drawing from the principal’s empirical/quantitative scholarship ininternational public finance and labor economics. Research focused on School-to-Work transition, particularlymethods of tracing cognitive skills development and the returns of various cognitive skills to the labor force; therelation of migration patterns to regional economic adjustment; and the valuation of environmental goods againstother measures of wealth in developing countries. The applied nature of the research is unique, with stronginterdisciplinary links with other fields of scholarship at Columbia including education, public and internationalaffairs, and business. The grant provided for graduate student research support in the development of fiveproposals. In addition, the principal pursued a joint project with Sociology in exploring improved data processingcapacity in social science statistics.


FY 1994: Two proposals for migration research were developed and submitted to the National ScienceFoundation and to the Upjohn Institute. These proposals were not funded. Proposal for research on School-to-Work transition were submitted to the Chazen Foundation (subsequently funded at $12,000) and the GermanMarshall Fund (not funded). A proposal for research on income distribution and poverty was funded by theHuman Resources Development Department in Canada ($8,000) and was submitted to the Russell SageFoundation without success. A proposal to the Spencer Foundation on the role of education in insuring workersagainst local economic shocks was funded at $12,000.

FY 1995: A proposal for research on Mexicans wages was submitted to the Mexican science foundation and theMexican finance department. The Mexican government had expressed interest in the Mexican wage researchproject and given it much publicity, but then the exchange crisis with the United States occurred. Both the facultymember and the graduate students supporting the project are participants in an ongoing Applied Microeconomics

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Workshop, sponsored by the Business School with participation of faculty and students from the Economics, theBusiness School, SIPA and Teachers College.

FY 1996: In FY 1996, a collaborative proposal with the Department of Sociology led to a grant from the NationalScience Foundation’s Academic Research Infrastructure Program for an interdepartmental social sciencecomputer laboratory (See Social Science Computing Collaborative, next project).

FY 1997: In FY 1997, Professor Cragg used funding from the National Institute of Aging to spend the year at theRAND corporation. While there, a collaborative proposal with RAND researchers entitled “Health InsuranceChoices of Older Americans” which requested $850,000 for three years of funding was submitted to the NationalInstitute of Aging. Cragg is spending FY 1998 on a leave without pay while visiting the Milken Institute in SantaMonica. The focus of this leave will be to develop a $1.5 million database for analysis of financial markets.


Project Leader: Michael Cragg, Assistant Professor, Economics

*Social Science Computing Cooperative Department of EconomicsFY 1996 $110,000 Department of Sociology

Project Description: The Social Science Computing Collaborative, located on the fifth floor of the InterchurchCenter, is a new laboratory dedicated to supporting the advanced computational needs of the social science andpolicy research divisions of Columbia. The lab’s equipment and start-up funds for operation were acquiredthrough a grant from the National Science Foundation’s highly competitive Academic Research InfrastructureProgram. Assistant Professors John Hartman of the Sociology Department and Michael Cragg of the EconomicsDepartment jointly submitted the winning proposal. The notion of a social science computing “cooperative” wasborrowed from the University of Wisconsin’s membership-based social research data support center. The goal isto bring Columbia up to par with institutions such as the University of Wisconsin and the University of Californiaat Berkeley in terms of storage and processing capability for survey databases, large data sets such as socialsecurity records, and complex valuations such as the development of dynamic index methods as well as complexstatistical and simulation analyses. An allocation was made from the Strategic Initiative Fund to provide corefunding and to support fundraising efforts. The current system has a core DEC Unix server running at 500 MHzwhich the Cooperative intends to cluster with three additional Unix servers. Together the machines shouldgenerate close to 1,000 megaflops. Currently, there are 40 Gbytes of striped storage for user accounts. Initialuser accounts of 100 to 200 Mbytes are planned, with additional space available as user needs expand.


FY 1996: The Strategic Initiative Program provided core funding as well as proposal writing support to equip andstaff the interdepartmental computing lab. A proposal was submitted to the National Science Foundation’sAcademic Research Infrastructure Program in FY 1996 (Acquistion and Installation of a High Speed Server forthe Social Sciences).

FY 1997: The NSF awarded the project an Academic Research Infrastructure grant of $84,600 covering theperiod October 1, 1996 to September 30, 1997. NSF and Strategic Initiative Funds were used to purchase threeDEC Unix servers with a half-gigabyte of memory and 100 gigabytes of storage, 20 Sun IPC which areconfigured as x-terminals and six desktop DEC Multia workstations. The Interchurch Center has been renovatedand 14 workstations, a printer server and two Sparcprinter 20s have been installed. An additional sixworkstations are available in the Department of Sociology, along with a Sun web server and a high speed networkprinter. Between March 1997 and September 1997, the Cooperative has added user accounts, trained staffmembers, setup a Network Information System, connected the lab to the campus network, setup print servers andapplications servers and loaded software. The Cooperative submitted the following proposal, which is still underreview: NSF-CCD “Social Science Statistics Through Data Visualization” for $121,462 for the time period of01/01/98-07/31/99. Professor Hartman is also preparing a grant for the NSF’s March Special Instrumentationround and a proposal for NSF-OSTI funding.

Project Leaders: John Hartman, Assistant Professor, Department of Sociology; Michael Cragg, AssistantProfessor, Department of Economics

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Intellectual Property Assessment School of International and Public AffairsFY 1995 $10,000FY 1996 $31,700FY 1997 $14,000

Project Description and Goals: The Intellectual Property Assessment project aims to develop a comprehensivemapping of “inventing” going on at Columbia, linking the invention reports on the one side to patent applications,patents, and licenses, and on the other side to research funding and the activities of the Columbia faculty involved.The project also intends to explore in depth what is going on in those parts of Columbia University whereinventing is intense, and to study the firms that are taking out licenses on Columbia inventing.


FY 1997: The project team has nearly assembled a complete database of technology transfer contracts, and havebegun analyzing differences in types and modes of technology transfer. In addition, a database of firms licensingColumbia inventions has been assembled, including information on their size, type, location, age, industry, andtechnological efforts. The project team is now in the process of linking the license and firm data to the patents,patent applications, invention reports, and funding sources.

On another front, data collection on the Columbia faculty members involved in "inventing" and "technologytransfer" has begun, including their age, position, department, and publication records. Based on the datacollected thus far, the project team is currently writing a paper describing the changes in research at Columbiasince the passage of the 1980 Bayh-Dole Act. $500,000 was received from the Andrew Mellon Foundation insupport of the project. The funds will be shared by the team at Columbia and researchers at U.C. Berkeley, whoare conducting an analogous study.

Project Leader: Richard Nelson, Professor, Business, Law, International and Public Affairs

OECD Countries - Fiscal Policy Department of EconomicsFY 1997 $5,000

Project Description and Goals: After almost two decades with inflation as the key problem for policymakers,budget consolidations have now become the top economic policy problem in most OECD countries. Empiricalresearch in macroeconomics has not yet caught up with this shift in priorities, and has continued its focus on thestudy of the effects of monetary policy rather than fiscal policy. The OECD Countries Fiscal Policy projectinvolves the collection of data on fiscal policies in OECD countries, with two key questions in mind. First, whatare the effects of fiscal policy in OECD countries, not only of the budget deficit but of individual budget items.Second, what lessons can we draw from the episodes of fiscal consolidations that have occurred in the past, so asto better understand what lies ahead for many OECD countries?


FY 1997: In collaboration with Alberto Alesina of Harvard University, Professor Perotti completed a study of themacroeconomic developments associated with fiscal consolidations in OECD countries, which was subsequentlypublished in the IMF Staff Papers. Current work includes a study of the political consequences of budgetconsolidations, which will appear in the Brookings Papers on Economic Activity. In August 1997, a proposalwas submitted to NSF titled "Determinants and Effects of Fiscal Consolidations” for $186,584.

With Michael Gavin at the Inter-American Development Bank, Professor Perotti completed a study comparingthe behavior of fiscal policy in OECD and Latin American countries, to be published in the NBERMacroeconomics Annual. Perotti is currently working with Olivier Blanchard at MIT on a large project usingtime-series statistical analysis to explore the effects of fiscal policy in OECD countries. At present, this project isstill in the process of collecting data from the statistical offices of each country. Additionally, Perotti hascompleted two studies on the effects of fiscal consolidations on private consumption and on the effects of politicalfragmentation on fiscal outcomes, both of which have been presented at various institutions and conferences.

Project Leader: Roberto Perotti, Assistant Professor, Department of Economics

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Center DevelopmentMany research development opportunities lie in linking disciplines to examine specific themes. For years,special Centers Programs sponsored by Federal agencies including NSF, DOD DOE, and NIH haveprovided block grant funds for this type of activity. These block grant funded centers often requiresubstantial planning, research start-up, and intellectual integration before submission. The CentersDevelopment part of the Strategic Initiative Program is designed to provide planning grants to a selectfew groups already struggling in this highly competitive arena. Columbia selected the following projectsthat were thought to have potential for achieving recognition and support as national centers forinterdisciplinary research. The investments provided a seed funding for early positioning, including thedevelopment of research agendas and ties with important potential partners.

*New Media Technology Center(Engineering Research Center)FY 1994 $484,732 (ADVENT)FY 1995 $50,000 FY 1996 $50,000

School of Engineering and Applied ScienceGraduate School of Journalism

Graduate School of Business Teachers College

Project Description and Goals: In FY 1994 Strategic Initiative Funds were allocated to a university-widemultimedia network as part of Columbia’s ADVENT Project of the Center for Telecommunications Research,which was supported at that time by the National Science Foundation. The ADVENT Project was part of a largerinitiative to develop a network testbed connecting the School of Journalism, AcIS, the Institute for LearningTechnologies at Teachers College, the Film Division in the School of the Arts, and the Medical Informatics Groupat Health Sciences. The goal of the network was to establish a “virtual city”-- a high-performance infrastructurefor testing new multimedia technologies and applications with the potential to support education and scholarship inthe areas of current affairs, medicine, and arts and entertainment. The network was supported by an industrialpartners program involving company contributions in exchange for first licensing rights to new innovationsdeveloped through the network. ADVENT subsequently developed a video-on-demand system at Columbia,complying to the specifications of the DAVIC (Digital Audiovisual Council) standardization effort, in which ithas actively participated. ADVENT sponsored the June 1996 DAVIC meeting in New York City, whichincluded the first “interoperability event,” using Columbia’s network. The event connected video servers, setupboxes, and applications from systems from Europe, Asia, and North America.

The network testbed continues with a new National Science Foundation proposal under development for anengineering research dedicated to New Media Technology. Partners in the effort include industry, the Center forNew Media in Columbia’s Graduate School of Journalism and the Institute of Learning Technologies at TeachersCollege. Phase I of the Center’s research program (“Image Technology for New Media”) took place in FY 1996with support from the Strategic Initiative Program and industrial partners. The program focused on the technicalbarriers currently limiting the full commercial development of imaging and video transmission technologies due toissues of speed and cost. A five-year $12.5 million application was submitted to the National ScienceFoundation’s Engineering Research Centers program to provide core funding for the effort. The applicationreached the final review stage but was rejected; a second proposal was invited by NSF. Phase II of the Center’sresearch program, underway in FY 1997, broadens the research agenda beyond just image and video to focus onthe broader vision of enhanced human communication in which empowered end-users directly interact withinformation content as it is being accessed, produced, manipulated, and distributed. The research program willaddress issues related to the nature of multimedia signals, their distribution, and analysis of their content. TheCenter will establish partnerships with a wide range of firms, and will develop special education and researchpartnerships with the emerging New Media industry in the metropolitan New York City area. There has beenincreasing industrial support in each from six to twenty in 1994, approximately 23 in 1995, and 26 in 1996.Partners contribute $60,000 annually.


FY 1994 (ADVENT Multimedia Network): Start-up and completion of the ATM-based multimedia network tookplace in FY 1994. A working ATM link was established between the Image Lab in School of Engineering and

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Applied Science and the Institute for Learning Technologies; another link was supplied for the Janus DigitalLibrary Project. Bell Atlantic Corporation assisted ADVENT in creating a video-on-demand testbed at ColumbiaUniversity, satisfying the specifications of the current standardization efforts. Twenty industrial sponsors joinedthe ADVENT project at annual contributions of $60,000 each (~$1,200,000).

FY 1995 (Image Technology for New Media): The engineering center team worked with the Center for NewMedia in the School of Journalism to propose a $12.5 million, five-year Engineering Research Center dedicated to“Image Technology for a New Media” to the National Science Foundation. Matching support from industry wascommitted to the proposal at roughly $2.3 million annually. Support from industrial partners was roughly$1,380,000.

FY 1996 (Image Technology For New Media): The NSF ERC proposal passed two screening stages and NSFconducted a site visit to Columbia to evaluate the proposed Center in 1996. The proposal was not funded but thecenter was strongly encouraged to resubmit. Support from industrial partners was roughly $1,560,000.

FY 1997 (New Media Technology Center): A new five-year proposal that will exceed $25,000,000 is beingdeveloped for the NSF’s Engineering Research Center program, this time expanding beyond just imagetechnology to focus on broader aspects of multimedia communication. Total requested matching support fromindustrial, government, and state sources will exceed $20 million for the same period with University matching $2million per year. The proposal will be submitted in September 1997 and the outcome will not be known untilMarch of 1998.

Project Leader: Dimitris Anastassiou, Professor, Electrical Engineering, School of Engineering and AppliedScience

*Materials Research Center Department of Electrical EngineeringFY 1994 $50,000 Department of Applied Physics

Department of Chemical EngineeringDepartment of ChemistryHealth Sciences Division

Project Description and Goals: The Materials Research Center is a continuing effort towards the creation of auniversity-wide, interdisciplinary materials initiative involving the Graduate School of Arts and Sciences, theSchool of Engineering and Applied Science, and Health Sciences Division. The $50,000 SIP investment hasprovided seed funding for the development and submission of interdisciplinary research proposals in areas ofmaterials research. The effort has been coordinated through the Columbia Radiation Laboratory. Particularemphasis has been given to the National Science Foundation’s Materials Research Science and EngineeringCenter Grant Program and to the Department of Defense’s Joint Services Electronics program, but proposals havealso been submitted to other Federal agencies and to New York State. Each effort has involved multipleinvestigators and at least two schools. These projects have been interfaced with an interdepartmental Materialsand Molecular Chemistry Seminar Series.


FY 1994: The Center submitted six interdisciplinary proposals to three Federal agencies, and one proposal (to theArmy) was approved for interdisciplinary research between the departments of Chemistry, Applied Physics andElectrical Engineering. A preproposal for $3,376,152 to the NSF for the establishment of a Materials ResearchScience and Engineering Center (MRSEC) at Columbia was submitted, but not approved.

FY 1995: In FY 1995, the proposal submission rate remained high and the approval rate increased significantly.A proposal submitted by the Columbia Radiation Laboratory to the Army’s ASSERT program was successful($120,000), and a collaborative NSF proposal to the Division of Materials Research by members of theChemistry Department, Bell Laboratories, and Brookhaven National Laboratory was approved ($300,000). Inaddition, a second preproposal to the NSF ($4,744,350) to establish an MRSEC at Columbia was approved forsubmission of a full proposal. This effort includes 9 faculty from 5 departments including 2 new Columbiafaculty, in the departments of Physics and Chemistry, hired over the past year for their research on materials.

FY 1996: A proposal was submitted to the National Science Foundation for a Materials Research Science andEngineering Center (Surface Excitation for Interface-Specific Materials Chemistry: Fundamental Mechanismsand New Diagnostics). The five-year, $4,744,350 proposal reached the final review round but was not awarded.

FY 1997: A proposal was submitted in July 1997 to the Department of Defense Army Research Office, JointElectronics Services Program. A grant in the amount of $1,010,173 for the period of April 1, 1997 throughMarch 31, 2000 was awarded.

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Last Minute Update: The Center also prepared the NSF Materials Research and Science Engineering Centerproposal for submission in September 1997. The pre-proposal requested $9,606,731 for the five year periodbeginning July 1, 1998. This proposal would be matched with $125,000 from the School of Arts and Sciencesand $125,000 from the School of Engineering and Applied Sciences. The Strategic Initiative Fund will alsomatch $75,000 per year for the five years. Additionally, a pre-proposal was submitted to the National ScienceFoundation Integrative Graduate Education and Research Training Program titled “From the Molecular to theMacroscopic: Interdisciplinary Graduate Education in Interfacial Technology of Soft Materials.” The Centerrequested $2,574,375 for the five year period beginning July 1, 1998. A pre-proposal is being prepared for theNSF/Department of Energy Environmental Molecular Science Institute grant program. This project is a jointeffort with the Columbia Earth Institute and involves collaborations among the Departments of Chemistry,Physics, Electrical Engineering, Chemical Engineering and Applied Science, Applied Physics, the School ofMines, the Lamont-Doherty Earth Observatory, and the Health Sciences Campus.

Project Leaders: George Flynn, Professor, Department of Chemistry, Co-chair, Department of ChemicalEngineering and Applied Chemistry; Nicholas Turro, Professor, Department of Chemistry, Co-chair,Department of Chemical Engineering and Applied Chemistry; and Carl Gryte, Professor, Department ofChemical Engineering and Applied Chemistry.

Polymer Research Center Department of ChemistryFY 1995 $50,000 Department of Chemical EngineeringFY 1996 $10,700

Project Description and Goals: Strategic Initiative Program funds were provided to support a team ofchemists and chemical engineers with research interests related to the properties of polymers and polymerinterfaces at the molecular level. Through collaborations involving the cosponsoring of students and thesharing of resources, the goal is for the team to pursue interdisciplinary research projects of interest to thefederal and state funding agencies, and industry. Most projects undertaken by the Center provide juniorfaculty mentorship and serve to better integrate research and graduate education.

Research projects are selected according to whether they represent frontier polymer research, takeadvantage of existing technical expertise at Columbia, and reinforce existing research teams and/or promotenew collaborations. The Center also engages in collaborations with other local institutions includingPolytechnic, SUNY Stony Brook and UCONN at Storrs in order to create bridges among local centers ofstrengths in the polymer/ interface field.


FY 1995: The Center’s research areas were selected and teams were established involving senior and juniorfaculty. Selected research areas included Polymer Thin Films and Coatings; Polymers at Interfaces; WaterSoluble Polymers; Polymerization Processes; and Undergraduate and Graduate Education.

FY 1996: The main accomplishments of the Center in FY 1996 included the following:

− Faculty pairs involving one professor of Chemistry and one professor of Chemical Engineering wereteamed with students to pursue research collaborations involving polymer topics. Topics were theadsorption of polymers on surfaces, the mechanism of industrially important polymerizations, and thedevelopment of novel spectroscopic tools to investigate polymers at the interface .

− Related to the Chemistry Department's computer-aided chemistry education efforts, software tools werecreated with an emphasis on polymers. These tools aided both educational and collaborative faculty-student research projects. These efforts were implemented through linkages with the EngineeringSchool's Gateway Project.

− Preparation for SEAS Committee on Instruction (COI) revisions to undergraduate and graduate coursesin order to enhance the instruction in polymer science. In particular, revisions to our introductorypolymer course (AC4620) were submitted to COI as were revisions to an existing graduate coursedealing with the theory of solutions and melts, to be renamed "Dynamics of Polymeric and ComplexMedia" and to include topics relevant to biomedical engineering research. The revised intro course wastaught through CVN in the fall of 1996. This course employed molecular simulation and animation ininstruction, through the Gateway Laboratory; this effort was showcased in Gateway’s dedication as theBotwinick Lab.

− Grant activities in FY 1996 included the submission of the following proposals: National ScienceFoundation Engineering Division "Dynamic and Non-equilibrium Aspects of Polymer Adsorption" for$125K per year for 3 years; National Science Foundation Chemistry Division "The Mechanism of Free

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Radical Polymerization." for $125K per year for three years; New York State Center for AdvancedTechnology Initiative, with SUNY at Stony Brook "Studies of Polymer-Based Liquid QuartzAlignment Layers" for $125K; and New York State Center for Advanced Technology Initiative, withPolytechnic Institute of New York "Development of Sensors Based on Quartz Crystal Microbalances"for $20K.

FY 1997: The main accomplishments of the Center in FY 1997 included the following:

− Several new research teams were formed during FY 1997 within the Center.

− A workshop has been held for training in the use of molecular simulations software in the GatewayLab. About 20 Columbia University staff from chemistry and SEAS were trained along with industrialparticipants from the New York City area. The software is in use for instruction in the freshmanchemistry and the introduction to polymers course and is planned for use in advanced undergraduatecourses in biophysics and materials science during 1997.

− A workshop was held in fall of 1997 to develop a focal theme for research efforts around “dendrimer”polymers (highly branched polymers with tremendous technological potential). Leaders in the newfield were invited to CU for talks and discussions. Several new teams and proposals are expected toresult.

− An outreach effort to the Los Alamos National Lab (LANL) was to promote the use of neutronscattering and neutron reflectometry for polymer research at Columbia. Professor Durning spent halfof his sabbatical at the LANL neutron scattering center (Jan. - Aug. ’97), formed a team to design anew neutron reflectometer at LANL and to develop a scientific research effort exploiting the newspectrometer. The team includes five co-principal investigators from other academic institutions andnational labs.

− An outreach effort was launched to the University of Connecticut at Storrs which has a leading polymerscience program to promote a student exchange and research collaboration program.

− Fundraising activities for FY 1997 included securing the following grants submitted in FY 1996: NSFEngineering Division "Dynamic and Non-equilibrium Aspects of Polymer Adsorption" for $335,000;NSF Chemistry Division "The Mechanism of Free Radical Polymerization" for $275,000; and NSF'sIUCRC Program a planning grant of $10,000 toward a proposal dealing with novel properties ofsurfactant adsorption on interfaces. The grant to the New York State Center for Advanced TechnologyInitiative, with Polytechnic Institute of New York "Development of Sensors Based on Quartz CrystalMicrobalances" for $20K and a grant to the NSF's Major Research Instrumentation Program “HighResolution Optical Microscopy for Synthetic and Biological Materials Research” $870K total weredenied. Current pending proposals include: New York State Center for Advanced TechnologyInitiative, with SUNY at Stony Brook "Studies of Polymer-Based Liquid Quartz Alignment Layers"for $125K; DOE BES Division “Surface and Interface Neutron Spectrometer at Los Alamos NeutronScattering Center $3.6M; and NSF Engineering Division “Synergistic Interactions Between AdditivesDuring Copper Electrodeposition” for $125,000 per year for 3 years.

Project Leaders: Nicholas Turro, Professor, Chemistry; and Christopher Durning, Associate Professor,Chemical Engineering

4D Technologies Lamont-Doherty Earth ObservatoryFY 1994 $10,000

Project Description and Goals: 4D Technologies is a collaborative effort involving scientists from academicinstitutions, including the Lamont-Doherty Earth Observatory, the U.S. Department of Energy, and private oilcompanies. The goal is to use computer technology and electronic networks to help locate untapped oil and gaswithin deepwater reservoirs. In cooperation with industry, the project will design, utilize, and evaluate researchand technology designed to improve the efficiency of current oil recovery and to scope ultradeepwater sources ofexisting reservoirs. The project is developing linkages with energy policy and energy research interests ingovernment and the private sector. The strategic value of this type of effort is also tied to the Virtual InformationInitiative in that it will demonstrate a networked research environment on a national basis.

Phase I of GBRN involved an oil tracking technology which scoped the gas and oil potential of new play in theGulf of Mexico Territorial Waters of the United States, providing measurements of the size of reservoirs and fluidflow rates necessary to base economic projections of future oil and gas development and offsets against imports.Phase II, which began development in FY 1995 and entered into full implementation in FY 1996, is a spin off ofthe oil tracking technology. Phase II utilizes a new technology application called 4D4 (the fourth dimension is

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time) to monitor how oil actually drains upward into drillable reservoirs over time. Employing multiple sources ofgeophysical data, the software calculates and identifies changes occurring in deepwater reservoirs, thus allowingfor better stewardship of existing resources. Phase II is being implemented under a contract with Western AtlasInternational, Inc. signed in 1996. Western Atlas is a high-technology supplier of integrated reservoir descriptionand international seismic and wireline logging services for the exploration and production of crude oil and naturalgas resources. The company will market the 4D4 software to its clients. The partnership is also intended toexplore another phase of technology development, 5D seismic monitoring, in which sensors in the reservoir willallow real-time control of fluid flow, potentially allowing oil companies to create command-and-control centersenabling instantaneous decisions to enhance a well’s efficiency. A more detailed history of technologydevelopments is provided below.


FY 1994: The SIP investment initially supported Washington-based policy efforts to identify and secure Federalsources of funding for continuing collaboration with industry. The policy development effort was specificallygeared at establishing a national program sponsoring this type of collaborative, with the hope of establishingLDEO as a national center for oil and gas exploration technology. Efforts focused on the Department of Energy.

FY 1995: Based on FY 1994 planning efforts, proposals for Federal funding were developed for the followingactivities:

− Perdido Ultradeepwater Project: A $41 million proposal entitled the Perdido Ultradeepwater Project wasdeveloped to support a research consortium involving private oil companies (Amoco, Mobil, Shell, Texaco),DOE national laboratories (Lawrence Berkeley Laboratory (LBL) and Lawrence Livermore NationalLaboratory (LLNL)) and university partners (Columbia University, Cornell University, University ofColorado, and Louisiana State University). $20.5 million was requested from DOE with a private matchingarrangement of $20.8 million. The Perdido Ultradeepwater Project proposal was not funded, but based on theproposal LDEO developed a partnership with LLNL and LBL to provide vertical seismic profile analyses.Funding was received from DOE’s ACTI program for the LLNL-led program for a total of $175,000; LDEOreceived $55,000. The project is pending implementation. Additional funding may be received in FY 1996and FY 1997. As an additional follow-on to Phase I of GBRN, a proposal was developed and submitted toHTE for a oil migration modeling project (Timing And Migration Of Hydrocarbons Out Of Subsalt). LDEOwill receive $30,000 per year in FY 1996 for this project. Cornell University, Louisiana State University andWoods Hole are partners in the effort. Related to this effort, LDEO is currently undertaking modelingactivities with IBM Corporation.

− Resolving Salt Tectonics Using Gravity Gradiometry: A $1.5 million proposal in partnership with BellGeospace was developed for the National Science Foundation to explore the use of gravity gradiometry inmodeling efforts. The proposal, submitted to the Divisions of Submarine Geology and Geophysics andContinental Dynamics, was not funded.

− Collaborative Interpretation Volumetric Display for Visualizing Move of Fluids Beneath the Earth’sSurface: This proposal was developed for the Department of Defense’s Advanced Research Projects Agency(MURI Program). Partners include BBN, IBM, and Columbia’s Department of Computer Sciences. Theproposal is still pending.

− Advanced Technology Program White Papers: Several white papers were developed for review by theNational Institutes for Standards and Technology’s Advanced Technology Program. Full proposals were notrequested.

Also in FY 1995, a private collaborative was established based on a spin off of GBRN technology. The project,4D Seismic Monitoring of Oil Reservoir Drainage, is a consortium effort involving LDEO, BBN, and six oilcompanies. The project utilized 4D4, a field modeling technology that tracks the filling of reservoirs. The 4DConsortium explored the use of 4D4 for tracking the drainage of reservoirs, a technique that will enhance therecovery of known oil sources. The consortium allowed partnering companies to share field analysis informationprovided by 4D4 modeling. In 1995, six companies contributed $120,000 each for three-year memberships. Apatent application on the 4D4 technology was filed in April 1995 and was subsequently granted. Partners includeAmoco, Chevron, Exxon, Pennzoil, Shell, and Texaco. Contributions are pending from BP, Unocal, Statoil, Saga,and Elf. Penn State University is also a partner in this effort.

FY 1996-97: The Global Basins Research Network has evolved into a completely industrially-sponsoredprogram called the 4D Seismic Reservoir Monitoring Consortium. The consortium is now in its third year withnine oil company members including: Amoco, Chevron, Exxon, Norsk Hydro, Pennzoil, Shell, Statoil, Texaco,and Unocal. The GBRN is continuing its geochemically-based research into oil and gas migration, centered atCornell University. Lamont and Penn State have spun-off from the GBRN with a project emphasizing thetracking of oil and gas migration into wells, rather than the earlier emphasis on geological migration intoreservoirs. From consortium funding, Lamont will receive $500,000 per year over the next several fiscal years forthis work. Western Atlas International Inc. and Lamont have embarked on a 3-year research program to develop

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4D SeisRes seismic reservoir modeling software to provide a simulation environment for oil and gas production.The software is being developed in order to enable the interpretation of drainage patterns in oil fields that has beenlicensed exclusively to Western Atlas, the world's largest seismic services company in the oil industry. Themission is to get new oil from old fields since more than half of all the oil in all the fields in the world is left behindby current production practices. A research agreement was signed granting LDEO scientists $4,000,000 forcontinuing work as well as a $6,000,000 licensing agreement for existing technology. A new portfoliomanagement consortium is being assembled now, in collaboration with Shell’s chief corporate planner who leftShell to develop this consortium with Columbia.

Project Leader: Roger Anderson, Senior Research Scientist, Lamont-Doherty Earth Observatory

Center for Applied Probability School of Engineering and Applied ScienceFY 1994 $30,000 Graduate School of BusinessFY 1996 $30,000 Graduate School of Arts and SciencesFY 1997 $35,000 Lamont-Doherty Earth Observatory

Project Description and Goals: The Center for Applied Probability is a cross-disciplinary center supportingprobability research only in areas involving more than one field or discipline. Academic units involved in theCenter include the Business School (Operations Research), Lamont-Doherty Earth Observatory, the GraduateSchool of Arts and Sciences (Chemistry, Mathematics, Physics, and Statistics) and the School of Engineering andApplied Science (Civil Engineering, Computer Science, Electrical Engineering, Mines). Beyond the initialStrategic Initiative Program investment, the goal is for the Center to sustain itself with joint funding by Columbia(for infrastructure support) and appropriate outside agencies. Focus areas include finance, engineering design, andgenetic and epidemic modeling. The Center will target users of applied probability including the finance industryon Wall Street, AT&T, Bell Laboratories, Bellcore, Courant Institute, IBM, Princeton, and Rutgers.


FY 1994: This investment supported a program of workshops and short courses in addition to sponsoring anApplied Probability Day. The goal of these activities was to provide local, national, and international visibility forColumbia's efforts; to develop links with potential users of information; and to enhance the development team.The investment also supported growth in core activities with longer term visitors in relevant areas, provision ofgraduate students from other institutions to take part in the programs, and the establishment of a facility forhandling inquiries from industry. The Applied Probability Day was held on April 22, 1994 with a distinguishedinternational collection of six speakers. A Symposium on Stochastic Processes and Modeling was held on June 5,1994 with a distinguished collection of five speakers. This symposium honored Professor C. Derman of the IEORDepartment on his retirement. Both attracted good audiences. A Workshop on Mathematical Finance (Theory,Practice and Computation) was held on November 6 and 7, 1994. Some 14 speakers with strong representationfrom both industry and academia participated. The Workshop was aimed at fostering communication between thefinance industry and the academic research community. A contract for a substantial research project involvingevaluation of windpower for electricity generation, to be carried out under the auspices of the Center, was signedwith Borealis Technical Incorporated.

FY 1995: The seminar for the 1995 Fall semester runs under the title “Probability Towards the Year 2000”Events include the following: An international symposium, “Probability Towards 2000”, co-sponsored by CAPand the Italian Academy for Advanced Studies in America, took place in October at Columbia and the V. VolterraCenter of the University of Rome, Tor Vergata. The symposium reflected on future trends in probability theorythrough a dialogue involving the most advanced areas of classical probability as well as more recentdevelopments. Two Italian organizations provided almost $50,000 in funding; the Italian Encyclopedia and theItalian NSF. Also in October, was the “Workshop on Mathematical Finance: Theory, Practice andComputation.” This is the second in a series organized by CAP and in the style of the event held last fall. It is aninformal workshop aimed at fostering mutually beneficial communication between the finance industry andacademia. A November workshop was held on “Stochastic Networks: Stability and Rare Events,” to focus onthe two topics of stability and rare events in the context of stochastic networks.

FY 1996: FY 1996 was a critical year for the Center, which obtained a grant based on a $1.21 million proposalsubmitted to NSF for a Group Infrastructure Grant (GIG). The grant includes $1,000,000 NSF funding and$210,000 university matching funding. The grant covers a five-year period (September 1996 to September2001). This core grant will fund the development of the center’s physical infrastructure, allowing the Center tobecome a center in its true sense. FY 1996 Center activities included the Applied Probability Day (April), a co-sponsored Workshop on Catastrophic Environmental Risk (held at the Fields Institute in Toronto, Canada inJune), and a further Workshop on Mathematical Finance (October).

FY 1997: With impetus from the NSF GIG grant, the Center office facilities have been set up and laboratoryfacilities are under development. Investigations of risk, in a range of applications and with an emphasis on

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computation, will be a focus for the laboratory. The first CAP Postdoctoral Fellow was appointed and the firstCAP Doctoral Student Award was made in FY 1997. In addition, the Center has hosted several visitors fromaround the world, who gave seminars, lectures and interacted with faculty and students. More visitors arescheduled to arrive in 1997/98.

An Applied Probability Day was held in April and an Applied Probability Summer School, aimed at graduatestudents and young researchers, held in June. These activities were highly successful, with broad national andinternational participation. CAP cosponsored the Columbia - JAFFEE Conference on Mathematical Finance heldin April.

Many grants are held by CAP principals and these materially benefit the collective CAP enterprise. However,these funds have not been directly sought in the name of the Center. CAP also participated in Columbia's Intelproposal through the Vice Provost’s Office. Future plans include preparation for the NSF Science andTechnology Center competition in FY99.

Last Minute Update: Later in 1997, the Center was a cosponsor of the International Quantitative Methods inFinance 97 Conference held in Sydney, Cairns and Canberra in August - September and CAP will hold its own(fourth) Workshop on Mathematical and Computational Finance in October. The second volume in CAP'sSpringer Series of Monographs, titled "Probability Towards 2000", is due to appear towards the end of 1997.

Project Leaders: Chris Heyde, Professor, Department of Statistics; and David Yao, Professor, IndustrialEngineering and Operations Research

*Columbia Genome Center Departments of Computer Science, GeneticsFY 1995 $500,000 Biology, Pathology, Biochemistry, Medicine,FY 1996 $750,000 Anthropology, Engineering, and MicrobiologyFY 1997 $750,000

Project Description and Goals: The Columbia Genome Center (CGC) is a consortium of Columbia Universityscientists and their laboratories working together for the purposes of gene discovery and technology developmentrelated to the human genome. Integrated genomic mapping and sequencing is being used to facilitate genediscovery and gene therapy strategies. The aim is to encourage the rapid clinical application of new developmentsby providing all areas of expertise and resources that are necessary for the development of novel diagnostics andtherapeutics. It is anticipated that the Center will promote new developments in clinical genetics and molecularmedicine and contribute significantly to genetic analysis in all branches of basic biology, including molecularbiology of development, differentiation, speciation and ecology. The goal is to eventually bring the variouslaboratories together under one roof. The Center’s Board of Advisors also works to promote the importance ofgene discovery in a manner understandable to the general public, works with pharmaceutical companies interestedin the financing of the search for specific genes, and advises on ethical and social issues incumbent in genediscovery.


FY 1995: SIP funding contributed to the acquisition of equipment and other start-up related efforts. A proposalwas submitted to the NIH for the Human Genome Project.

FY 1996: The CGC assembled all of the laboratories and technologies needed to pursue its goals,including: Molecular Genetics under Conrad Gilliam, Physical Mapping under Stuart G. Fisher, DNASequencing under James J. Russo, Cancer Genetics under Riccardo Dalla-Favera, Genomic Informaticsunder Peisen Zhang, and Molecular Bioinformatics under Barry Honig. Two affiliated laboratories havebeen recruited; Cytogenetics under Dorothy Warburton and Animal Models of Human Diseases underArgiris Efstratiadis. In FY 1996, the CGC completed a high resolution map of human chromosome 13, anultra-fine map of the human breast cancer locus (BRCA2) on chromosome 13, an extended characterizationof the Zinc ATPase in follow-up to the discovery of the Wilson’s Disease Copper-ATPase, and 98%complete sequence and annotation of the Kaposi’s Sarcoma Herpesvirus genome.

FY 1997: In FY 1997, 12 gene discovery projects have been added to the Columbia Genome Center. Thefollowing is a representative sample of recent research accomplishments:− Chromosome 6q harbors a tumor suppresser implicated in a variety of cancers, including breast and

lymphoma. The gene involved has been mapped to a 70,000 base pair segment and the DNA sequenceof this locus has been completed to 99.95% accuracy. This extended sequence is now being used toidentify the gene and the mutations that result in carcinogenesis.

− A region on chromosome 13,300,000 base pairs in length has been identified and mapped as the locus ofa gene implicated in Chronic Lymphatic Leukemia. A highly annotated physical map of this region hasbeen constructed and is being used as a framework for DNA sequencing and mutation analysis.

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− A novel hypothesis is being explored in the pathogenesis of the most common solid tumor in children,Wilm’s Tumor. The mapped region contains a number of imprinted genes one of which may be thebasis for the disease. The Center recently identified two new imprinted genes in this locus, one of whichis an active candidate in Wilm’s Tumor.

− Substantial progress has been made in extending the genetic map of kindreds with a high incidence ofManic-Depression. These maps are being assembled at an unprecedented rate compared to our earlierefforts.

To realize its full potential, the CGC is now consolidating and expanding its complement of laboratories,and has secured multi-year operational funding. The former is being accomplished by moving threelaboratories, molecular genetics/genotyping, physical mapping, and statistical genetics, and most of theadministration of the CGC into 11,500 sq. ft. of new space on the 5th floor of the new Berrie Pavilion.This move will be completed in October, 1997. The 4th floor of this building is under construction and willhouse most of the remainder of the CGC, including DNA sequencing, genomic informatics, part of themolecular bioinformatics group, and the rest of the administrative offices of the CGC. The move to the 4thfloor is scheduled for August, 1998. Occupancy of these two floors (a total of 23,000 sq.ft.)willconsolidate almost all of the laboratories of the CGC in the Berrie Pavilion. Plans are also underway toassign the 3rd floor of the Pavilion to the Cancer Genetics Division of the Department of Pathology. Thiswould bring the CGC Section on Cancer Genetics under the direction of Dr. Dalla Favera into proximitywith the rest of the CGC. It would also promote our ongoing collaborations with other members of theDivision of Cancer Genetics, including Drs. B. Tycko and R. Parsons.

In March 1997, the CGC entered into a contract with VIMRx Genomics, Inc. which provides $30,000,000,distributed over a five year period (1/1/97 to 12/31/2002). Of this amount, the CGC receives directfunding of $22,500,000 and Columbia receives $7,500,000. These funds are being used to prosecute arange of disease gene discovery projects, including chronic lymphatic leukemia, non-Hodgkins lymphoma,breast cancer, multiple myeloma, Wilm’s tumor, progressive familial epilepsy, adult-onset glaucoma,bipolar disorder (manic-depression), and radiation toxicity (breast cancer and prostate cancer).

The CGC participates actively in applications for funding from a variety of agencies, especially the NIH.The Center is currently awaiting the decision on a PO1 application on Tumor Suppressers, sent to the NIH,with Dr. R. Dalla Favera as the Principle Investigator. Plans are also underway on sending an applicationto the NIH, to map and sequence the Legionella genome, in collaboration with Dr.H.Shuman.

Project Leader: Isidore Edelman, Robert W. Johnson Professor, Biochemistry and Molecular Biophysics

Arcsecond Figure Measurement Through Optical Metrology Department of PhysicsFY 1997 $22,100

Project Description and Goals: Arcsecond Figure Measurement Through Optical Metrology is a project toconstruct a precision measuring engine which can be used to characterize the surface figure of x-ray optics.The device uses precision mounting fixtures and translation stages which together with a laser and opticalsensors permits determination of surface figures to sub-10 arcsecond accuracy. In the last ten months,members of the Columbia Astrophysics Laboratory have developed a novel method to thermally form thinglass pieces into cylindrical shapes of excellent surface figure and quality. The measuring engine will beused to characterize the surface figure of prototype thermally-slumped glass shells. These thin glass shellsrepresent a completely novel way to fabricate low cost, lightweight x-ray and gamma-ray optics for spacemissions. It is probable this work will also find commercial applications in the area of neutron optics.


FY 1997: The design of the Arcsecond Figure Measurement System was finalized. Procurement of theequipment has begun. The equipment will then be assembled into a figure measuring machine which can beused to quickly and easily characterize the glass pieces.

Project Leader: Charles Hailey, Professor, Department of Physics

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BIOMEDICAL ENGINEERING

*Center for Biomedical Engineering School of Engineering and Applied ScienceFY 1995 $85,000 College of Physicians & SurgeonsFY 1996 $100,000FY 1997 $100,000

Project Description and Goals: The Center for Biomedical Engineering was officially launched on July 1, 1995following a two-year planning process organized by a University-Wide Steering Committee on BiomedicalEngineering. The Center will be the guiding force behind the creation of a new Department of BiomedicalEngineering, which is expected to come into existence during academic year 1998-99. The Department will offerboth undergraduate and graduate instruction and, once in place, will have an instructional complement equivalentto fifteen full-time tenure track faculty members (see detail below). Within five years of creation of theDepartment, an enrollment of up to 100 undergraduate and 75 graduate students is expected, numbers that byColumbia standards are quite high. The Strategic Initiative Program is supporting the development of theCenter/Department's research agenda, which will foster relationships between the School of Engineering andApplied Science and the Health Sciences.

Four academic tracks are being enhanced: 1) biomechanics (including orthopaedic and cardiac biomechanics), 2)quantitative physiology, and tissue and cellular engineering, 3) biomedical imaging, and 4) genomicbiotechnology. These have been areas of significant strength at Columbia. These fields of study offeropportunities for links to advanced bioengineering technologies in material testing, imaging and high performancecomputer visualization (e.g., computer-aided-surgical planning), and molecular and genomic biology.

Approximately 20,000 square feet of newly renovated contiguous space has been earmarked within EngineeringTerrace 3 to house the new Biomedical Engineering Department. This space will include a teleconferencingcenter and equipment that provide ATM high speed telecommunications linkages between Morningside Heightsand the Health Sciences campuses.


FY 1995: A four member External Advisory Committee (EAC) was created, composed of noted biomedicalengineers (3 members National Academy of Engineering; 3 members of the Institute of Medicine of the NationalAcademy of Sciences; 1 dean of Engineering). The first meeting of the EAC and the BME Steering Committeetook place in April and resulted in valuable suggestions regarding program development. A proposal for $1million was submitted to the Whitaker Foundation on August 1st of the year, for a Special Opportunity Award,outlining the development of the Department for Biomedical Engineering at Columbia University.

FY 1996: On January 1, 1996 the $1 million Special Opportunity Award was received from the WhitakerFoundation for recruitment of three tenure-track faculty members, one each in biomedical imaging, cardiacmechanics and tissue and cellular engineering. Our intensive recruitment effort resulted in two outstanding newfaculty members: Dr. Andrew F. Laine in biomedical imaging and Dr. Clark T. Hung in tissue and cellularengineering. The recruitment of a cardiac mechanics faculty member is in progress. Also, in 1996 Dr. Peter K.Allen received a cost-matching NSF award for a Rapid Prototyping Machine for $90,000, and Dr. WilmotValhmu received a NIH FIRST Award for $420,000. Dr. Mow led an effort which resulted in a $5,080,551 NIHSCOR proposal for osteoarthritis research. This was submitted on June 10, 1996. Dr. Van C. Mow received 3-year NIH R01 grant on Mechano-Electrochemical Properties of Cartilage for $748,000, and he continued his 4-year NIH R01 award on Biomechanical Factors in the OA of the Shoulder for $1,377,118 and his 5-year NIHR01 award on the Etiology of CMC Joint Osteoarthritis totaling $763,735. Dr. Gerard A. Ateshian continued his5-year NIH FIRST Award on Biotribology of Diarthrodial Joints, total award: $566,513. Dr. David Mauricereceived a NIH RO1 award on Wound Healing in the Cornea for $256,335, and Dr. Peter Allen continued his 3-year NSF grant on Model-Based Sensor Planning for $294,000 and DARPA ASSERT Program on Research inMachine Vision for $152,000. Dr. William WY Gu received a 2-year grant from the Orthopaedic Research andEducation Foundation on MRI and Physiochemical Studies on the Load-Carrying Characteristics of HumanIntervertebral Disc for $90,000. Dr. Edward F. Leonard received a 3-year $400,000 NSF-Whitaker FoundationAward on Fluid Mechanics Problems for Reducing Neonatal Health Care Costs.

FY 1997: Beginning July 1, 1997 the nascent BME department moved into its temporary quarters in CEPSR4.An Administrative Aide has been recruited (the future Department Administrator) and a second administrativeaide for student affairs will be recruited soon. All BME faculty are now housed in the CEPSR newly renovatedspace. Two new laboratories (a Bone Biomechanics Lab and a Tissue Engineering Lab) have been constructed inEngineering Terrace 3, and a Freezer Room for specimen storage and handling is being completed. Majorequipment and computer purchases are being made to equip these two laboratories. A new biomedical imaging

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laboratory is being planned. Efforts are being made to develop the fourth track for the Department: genomicbiotechnology. The architectural firm HLW International, LLD has been retained to develop the plans for ET3renovation. The faculty of each of the four academic tracks have been working with the designers of HLWInternational, LLD to plan for their offices and laboratory spaces in ET3.

The funding for the physical space and faculty staffing are being developed along with the planning for theWhitaker Foundation Development and Leadership Award proposal. In our Special Opportunity Award theUniversity has already committed to the recruitment of 5 new tenure-track faculty members for the DevelopmentAward. The anticipated submission date is 1/1/98, with a projected value of $6 million ($5 million from theWhitaker Foundation and $1 million cost matching from the University). In the interim (7/1/96), the WhitakerFoundation created its Leadership Awards program for infrastructure development, and for further programmaticneeds. The Leadership Award is viewed by the Foundation as a way for the recipients to secure their leadershipposition in biomedical engineering, in both their faculty and staff, and in their infrastructures (offices, laboratoriesand equipment--located in ET3). Working with HLW International LLD planners, and the Dean's and Provost'soffices for academic program development, it is anticipated that the Leadership Award proposal will beapproximately $8 million. With the consent of the Whitaker Foundation, Columbia has been invited to submit acombined Development Award and Leadership Award Proposal. The anticipated submission date is still 1/1/98.

Dr. X. Edward Guo received a 3-year Whitaker Foundation Biomedical Engineering Research Award onQuantification of In Vivo Cellular Adaptation of Trabecular Bone by Mechanical Stimulation for $209,975 andDr. William WY Gu received a 3-year Whitaker Foundation Biomedical Engineering Research Award on “ATheoretical and Experimental Investigation of the Swelling and Electrokinetic Behaviors of Intervertebral Discs”for $205,000. Dr. Edward J. Ciaccio received a 3-year Whitaker Foundation Biomedical Engineering ResearchAward on A New Approach of the Analysis of Electrograms for $200,000. Dr. Clark T. Hung submitted andreceived a 3-year Whitaker Foundation Biomedical Engineering Research Award proposal on “Real-TimeCalcium Response of Articular Chondrocytes to Transient Fluid Flow” for $210,000.

Dr. Barry Honig has continuing grants on: Theoretical Studies of Membrane Proteins (NSF, 5-yrs, $374,250);Computer Studies on Protein Structure (NIH, 5-yrs, $790,775); Rapid Computational Analysis of BiomolecularProperties (NSF, 3-yrs, $360,000); and Protein Structure and Function (DOE, 3-yrs, $210,900). Dr. Andrew F.Laine has the following grants: Multiscale Representations of Digital Mammography (US Army, 3-yrs,$351,391); Quantitative Methods for Multiscale Analysis (ARO ASSERT, 3-yrs, $107,129); Ultrasound Imagesby 3D Wavelet Frames (ONR ASSERT, 3-yrs, $97,467).

Contact: Van C. Mow, Director, Orthopedic Research Laboratory

*Magnetic Resonance Imaging Research Department of Electrical EngineeringFY 1995 $90,000 Department of Radiology

Project Description and Goals: There are two main components to the Magnetic Resonance Imaging Researchproject: HTS Coils and Multimedia Based TeleRadiology. Three goals exist for the HTS Coils project: to buildthe world’s first HTS sodium imaging coil based on technologies from the departments of Radiology andElectrical Engineering (EE); to demonstrate that the HTS sodium coil technology is essential for bio-medicalresearch projects, which require sodium images; to obtain research funding from NIH, NSF and foundations tofurther develop the technology. The ultimate goal is the production of a better camera with enhanced sensitivitythat will focus on neural radiology. This camera will have image quality that is four times better than theconventional systems. Resources committed include HTS manufacturing and design technology from EE, agraduate student and a postdoctoral fellow from EE, a research MRI system from Radiology, liquid helium andnitrogen for the experiments, a RF coil engineer and a technician from Radiology, and a faculty member from EEand one from Radiology.

The objective of the TeleRadiology project is to build medical applications using a new high speed network,multimedia and medical images. Additional purposes are to apply the multimedia technology of EE to theTeleRadiology problems of Radiology; to build a workstation to increase productivity of radiologists by applyingnew multimedia technology with ATM and reduce the cost of radiology image management at Columbia-Presbyterian Medical Center (CPMC); and to obtain external funding from NIH, NSF and foundations to improvethe technology and infrastructure of the University and CPMC for future work. Resources committed includemultimedia technology from EE, an EE graduate student to develop software, TeleRadiology technology fromRadiology, a radiologist to test the user interface, and a faculty member from each department. The first step isthe construction of a TeleRadiology system based on multimedia technology using a high speed network. Themultimedia technology will come from electrical engineering, radiology images from radiology and the high speednetwork is being built with funding from the Vice Provost. After a successful demonstration, this concept will beextended to address issues related to telemedicine, electronic medical textbooks, computerized hospitals, andPACS. Other issues to be researched include automatic analysis of tag patterns and their 3D motions.

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FY 1995: The HTS Coil project began in June, 1995. A HTS sodium coil, a cryostat and other parts have beendesigned and manufactured. The coil project has been a great success. The coil was used to measure sodium intesting mode in the 3-Tesla System. This part of the project was completed early and the first images are nowavailable. Two abstracts from the work were reported to professional meetings. Designs for animal experimentshave commenced in order to study clinical problems related to tumor and stroke. DuPont has provided support forthe project. Proposals were submitted to the National Institutes of Health (Research Grant R01 $1,143,029) andthe National Science Foundation (Advanced Magnetic Imaging Technology for Biomedical Engineering Researchand Education $330,000, FY 1997-FY 2001). Both proposals were awarded.

In the TeleRadiology Project, the following has been achieved: Hardware has been selected and purchased; themedical image input method has been defined; and a user interface has been designed to support both video-conferencing and high resolution radiology images. In addition, a user interface is under construction that is basedon the public domain program network video (NV), with support for ATM and higher video quality display aswell as better audio quality. This interface will support multiple cursors and regions of interests. A student hasbeen selected to assist with the imaging component of the project, and progress has been reported. Another threeto six more months of development are necessary before seeking external funds, but a submission to NIH isplanned for either June or September of 1996. A proposal was submitted for the Whitaker Foundation’s SpecialOpportunity Award Program competition in Spring 1996 and $210,000 was awarded. The two MRI projects,along with the Hatch NMR Research Center and medical images courses being developed were the basis for theWhitaker proposal. Industrial collaborations were initiated with DuPont for collaboration on the coil fabrication,and IBM on a joint study agreement, “HTS SQUID Using Ion Implantation Patterning.”

FY 1996-1997: The team focused on two research areas. These included advanced MRI probe technology,where they have achieved a ten fold increase in the signal-to-noise ratio for Na MRI at 3T and greatly reducedimaging time in animal experiments by using advanced superconducting receiver coils; and telemedicine, where aprototype has been developed supporting software tools for high-quality ATM-based video conferencing and awhiteboard collaborative environment. It has also been deployed on two workstations in the Radiology Lab andwill be further tested with actual users upon completion of the ATM networks at the Health Sciences Campus.The research work on probe technology has led to one published paper and two oral presentations. In addition, apatent was filed in December for a process called Multiple Resonance Superconducting Probe. Research ontelemedicine has led to demonstrations, oral presentations and several conference publications, including those inthe International Conference on Image Processing and Columbia’s ADVENT Research Workshop 1996.

Project Leaders: Philip O. Alderson, James Picker Professor, Radiology; and Edward S. Yang, Professor,Electrical Engineering

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Interdisciplinary ConferencesTrends in Federal and private research support reveal a growing interest in interdisciplinary researchand practice. Columbia offers several programs for interdisciplinary studies but because of the tendencyfor departments to be inwardly focused, it is important to continually encourage dialogue acrossdepartments in exploring how to best share resources and ideas. The following projects were designed topromote a dialogue both across departments and across institutions to encourage the furtherdevelopment of interdisciplinary competence in areas including biochemistry, materials science, polymerchemistry, and gender studies. As of FY 1997, the Interdisciplinary Conferences Initiative will not becontinued.

Conference on Congestion Pricing in Transportation School of International and Public AffairsFY 1997 $5000

Project Description and Goals: The goal of the Conference on Congestion Pricing in Transportation was toorganize a discussion on congestion pricing in transportation in honor of William Vickrey, the recent Nobel PrizeWinner. William Vickrey was the intellectual father of congestion pricing, as well as auction theory, cumulativeaveraging, the Rawlsian original position, and many other ideas. Congestion pricing was most likely one of theideas that Vickrey wanted to educate people in by monopolizing on the superior academic standing he receivedonce he won the Nobel Prize. Professor Dan O’Flaherty thought it appropriate to keep the idea alive afterVickrey’s death. The conference was jointly sponsored by the Regional Plan Association.


FY 1997: The conference was held on April 28, 1997 in the International Affairs building. Over 150 people,mostly from outside Columbia, attended. The conference received favorable press coverage in the Star-Ledger (afront page article and follow up editorial) and in trade publications. It seems to have increased interest incongestion pricing in the metropolitan area (e.g., a New York Times article on the topic August 2, 1997, citingProfessor Vickrey). There has been talk of publishing the proceedings from the Conference, but no commitmenthas been made as of yet. The Mellon Foundation provided a $15,000 grant to archive Vickrey’s papers; this workis currently under development with the Columbia University Rare Book and Manuscript Library.


Project Leader: Dan O’Flaherty, Associate Professor, Department of Economics

Materials and Molecular Chemistry Seminar Series Department of ChemistryFY 1994 $5,000 Department of Applied Physics

Department of Electrical Engineering

Project Description and Goals: The Chemistry Department has sponsored the Materials and MolecularChemistry Seminar Series for seven years with the goal of enhancement of interdisciplinary research and thefostering of ties with local industry in areas of strategic importance to Materials Science, Engineering, Physics andApplied Physics, and Chemistry. Each year, the seminar invited researchers whose work lies outside of thetraditional academic disciplines covered by departmental colloquia. The series was initiated in 1989 with fundingfrom AT&T. Since FY 1994 when AT&T cutbacks removed support, the SIP has sustained the series bysupplementing external support for travel funds for visiting speakers.


FY 1994: The series was attended by researchers from City College, the University of California at San Diego,and institutions from Florida, South Carolina, the United Kingdom, Japan, and Canada. Seminar topics included

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biological materials; catalytic materials; microelectronic materials; bulk materials; surfaces; quantum wires; thinfilms; environmental science; biochemistry; and industrial catalysis. The conference series was viewed as ahighly successful effort in consolidating links among faculty members and disciplines.

FY 1995: There were 16 seminars with speakers from universities, corporations and national laboratories; and thevisitors were hosted by 11 different faculty from 4 departments. The success of the seminar series in fosteringcollaborative research is evidenced by a joint project (funded this year by NSF) between a former speaker fromBell Labs, faculty in Chemistry, and Brookhaven National Laboratory to investigate materials processing onsilicon surfaces. A pending proposal for $4.7 million to establish an NSF Materials Research Science andEngineering Center at Columbia involves 3 former seminar speakers as well as 9 Columbia faculty from thedepartments of Chemistry, Physics, Applied Physics, Materials Science and Electrical Engineering. In addition, aformer speaker in the series is now a Columbia faculty member and two other seminar speakers are currentlybeing recruited for faculty positions.

FY 1996: The series is being maintained by the Department of Chemistry following the death of the seminarcoordinator, Chemistry faculty member Brian Bent. The Department is now able to fully support the series.


Project Leader: Brian Bent, Professor, Department of Chemistry

Biology/Chemistry Seminar Series Department of BiologyFY 1995 $5,000 Department of Chemistry

Project Description and Goals: The Biology/Chemistry Seminar Series is designed to bring together graduatestudents from the Departments of Biology and Chemistry in an informal setting where they can share ideas andform friendships and relationships that will ideally lead to shared research goals and interests. The goal is tobreak down future barriers to student interest and potential participation in important interdisciplinary discoveryfields involving aspects of biology and chemistry.


FY 1996: The series started in Fall 1995 and convenes twice per month. Turnout has been good from bothdepartments, with approximately 40 students per session. The series is continuing.


Project Leader: D. Kelly, Department of Biological Sciences

Polymer & Interface Science Seminar Series Department of Chemical EngineeringFY 1995 $8,000 Department of Chemistry

Project Description and Goals: The Strategic Initiative funding supports the development of an interdisciplinaryseminar series connecting chemistry, chemical engineering, and other academic units concerned with polymer andinterface sciences. The grant pays for the expenses for an average of six speakers per semester. The series hashad an excellence attendance by members of the Chemistry Department and the Engineering School both becauseof the outstanding quality of the speakers and the interest in the fields covered. Through the mechanism of theseminars researcher across disciplines have been brought together and intellectual and collaborative bonds havebeen created and strengthened. In addition, the seminar series plays a role in creating national visibility for theresearchers involved in the Polymer Research Center at Columbia.


FY 1996: The Fall 1995 seminar series consisted of six lectures involving prominent international scientists in thepolymer/interface field. The audiences consisted primarily of students and faculty from Engineering andChemistry. The series will continue in Spring 1996. Proposals are under development to fund the series for FY1997.

FY 1997: The Polymers & Interface Seminar series entered its third year with 12 interdisciplinary seminars in thebroad field of soft matter (or complex fluids) with emphasis on interfacial and polymeric phenomena. Thematerial covered in the series emphasized interdisciplinary research and spanned chemical engineering, chemistry,physics and biology with speakers from university departments and chemical industry. This year's series includeda large component (4 seminars) involving biological polymers such as DNA, RNA and proteins: topics addressed

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ranged from ion-conducting cell membrane protein channels to the genome project. Other seminar topics includedself-assembling surfactant aggregates, living polymer systems, rheology of complex shear-thickening polymermaterials, reinforcement of polymer-polymer interfaces, characterization of complex surfaces of porous materials,reaction dynamics within restricted media and kinetics of chemical reactions involving radicals. The series hasconsolidated strong links between the departments of chemical engineering and chemistry, and has provided on-campus researchers with valuable outside contacts in these inter-connected fields of research.


Project Leaders: Nicholas Turro, Professor, Chemistry; Christopher Durning, Associate Professor, ChemicalEngineering; Ben O’Shaughnessy, Assistant Professor, Chemical Engineering; and James Thomas, AssistantProfessor, Chemical Engineering

Graduate Seminar Series in Chemistry/Biochemistry Department of ChemistryFY 1994 $3,000 Department of Biology

Department of Biochemistry

Project Description and Goals: A current problem in interdisciplinary graduate education involving Chemistry,Biology, and Biochemistry is creating a natural forum for interaction so that the students in each of the threedepartments can become aware of the resources available to them through the other two. The Departments ofChemistry, Biology, and Biochemistry received a grant (“The Chemical and Molecular Basis of BiologicalProcesses”) from an interdisciplinary training program sponsored by the National Institutes for Health to supportenhanced interaction among students and professors from these departments. The aim of the Graduate SeminarSeries in Chemistry/Biochemistry is to fund a guest speaker conference series for students in these departments totest whether such as investment could bring about an enhanced connectivity between their graduate students. Thedepartments requested a grant from the Strategic Initiative Program to provide a partial match for the NIHinterdepartmental training grants in Biology, Biochemistry, and Chemistry, with a long-term goal of improvingthe quality of graduate education in these areas.


FY 1994: The Graduate Seminar Series was conducted as a journal club, requiring students and faculty to becomefamiliar with and discuss current experiments in interdisciplinary studies in chemistry and biochemistry. TheSeminar Series was conducted for a full calendar year, meeting once a week during semesters, with attendance by30-40 students each week successfully maintained throughout the year.

FY 1995: The series is now in its third year, although it has not been continuously ongoing. The studentsspecifically request it most semesters, and are generally responsible for its organization and execution. Resultshave been an awareness among the students in both departments of each other, as well as all the researchspecialties. This familiarity between the two departments at the student level is critical for the success of the NIHtraining program between Chemistry and Biology, which requires a demonstrated record of interactions amongstudents that lead to fruitful scientific collaborations and enhanced training.


Project Leader: Ann McDermott, Professor, Department of Chemistry

Seminar on Gender Studies Institute for Research on Women and GenderFY 1994 $8,000 Department of English

Project Description and Goals: The Institute for Research on Women and Gender is an interdisciplinary centerwhose mission is to study and advance the role of feminist thought as an influence in cultural studies and culturalpractice. Begun by a group of faculty in the Department of English, the Institute's goal is to eventually include astrong core of faculty from the arts, humanities, and social sciences. As a start up to the Institute's expansionefforts, in 1994 the Institute requested support for a four-week faculty seminar entitled "The Material of Culture inEarly Modern Europe," which involved faculty from both Columbia and other institutions in the fields of English,Art History, and History. The seminar was planned as the first in a series of efforts to strengthen the Institute'sinterdisciplinary framework and agenda. To culminate and extend the work of the seminar, the Institute alsoplanned a one-day conference to be attended by the Columbia faculty seminar with visiting scholars frominstitutions involved in similar efforts.

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FY 1994: The seminar and conference were held in April and May of 1994. Over 150 scholars attended the one-day conference. 15 scholars presented papers on the topic of how feminist scholarship has changed the waydisciplines approach the objects and methods of the study of culture. Among the attending institutions wereBarnard College, New York University, Queens College, the College of Staten Island, Cornell University, theUniversity of Pennsylvania, Smith College, and the University of Rochester. The seminar and conference weresuccessful in providing an expanded core group for the Institute. As a result of this success, the Institute decidedto undertake a fundraising effort in FY 1995 to continue this type of effort as a seminar series. The goal ofsubsequent activities was to extend the core group to include the Departments of Anthropology, Political Science,and Sociology.

FY 1995: A proposal was submitted to the Ford Foundation on the topic of women in developing countries($200,000). Although it was not funded, Columbia was urged to resubmit. A strong effort was made to workmore closely with Barnard and Columbia’s social sciences departments. The proposal will be resubmitted jointlywith Barnard and SIPA in FY 1996. A two-year set of seminars on “The Gendered Nation” was kicked off. Itfocuses on the role of women in various nationalist movements. The audiences consist primarily of graduatestudents and faculty.

FY 1996: The Ford Foundation Proposal is being finished and will be resubmitted. The seminar series iscontinuing. The Fall 1995 semester had 5 meetings and the Spring 1996 semester has 5 additional sessionsscheduled. A conference on the Gendered Nation is planned for Spring 1996.


Project Leader: Jean Howard, Professor, Department of English

Strategic Initiative Program - Columbia UniversityStrategic Initiative Program Fiscal Year 1997...

Documents

Transcript of Strategic Initiative Program - Columbia UniversityStrategic Initiative Program Fiscal Year 1997...