2010 SSOE Statistical Summary

Statistical Summary 2010 Academic Year

www.engr.pitt.edu/about/ statisticalsummary

Swanson School of Engineering Statistical Summary For the 20 Academic Year

University of Pittsburgh

Contents: University Overview .............................................................. 2 History. ................ .................................................................. 3 Organizational Chart............................................................. 5 Departments and Degree-Granting Programs .................... 6 Special Academic Programs.................................................. 9 Research Facilities, Centers and Laboratories....................................................18 Academic Record ................................................................45 Student Awards and Honors ....................................45 Enrollment ...............................................................52 Co-op Companies ....................................................56 Student Placement/Employment...............................59 Fees and Tuition ......................................................59 Degrees Conferred ...................................................60 Graduate Roster: 2009-2010 ...................................62 Faculty. ................ ................................................................68 Faculty Headcount...................................................68 Faculty Profiles .......................................................69 Faculty Research Interests.....................................112 Research Expenditures ..........................................132 Publications ...........................................................133 Awards and Honors ...............................................203 Distinguished Lectureships ....................................206 External Programs .............................................................207 Alumni Relations:...................................................208 Alumni Profile ......................................208 20 Distinguished Alumni...................210 Development: .........................................................216 External Support ...................................216 Major Gifts ...........................................217 Endowment Support.......................... 218 Swanson School of Engineering Board of Visitors ..........219 Visiting Committee and Advisory Boards........................220 School Directory.. ..............................................................225

The University of Pittsburgh 7KH 8QLYHUVLW\ RI 3LWWVEXUJK RI WKH &RPPRQZHDOWK 6\VWHP RI +LJKHU (GXFDWLRQ LV D QRQVHFWDULDQ FRHGXFDWLRQDO VWDWH UHODWHG SXEOLF UHVHDUFK XQLYHUVLW\ )RXQGHG LQ D ORJ FDELQ QHDU WKH FRQIOXHQFH RI 3LWWVEXUJK¶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¶V 6FKRROV RI +HDOWK DQG 5HKDELOLWDWLRQ 6FLHQFHV 0HGLFLQH 3KDUPDF\ DQG 3XEOLF +HDOWK KDYH DOO DWWDLQHG QDWLRQDO DQG LQWHUQDWLRQDO UHFRJQLWLRQ DV KDYH WKH 6ZDQVRQ 6FKRRO RI (QJLQHHULQJ WKH .DW] *UDGXDWH 6FKRRO RI %XVLQHVV *UDGXDWH 6FKRRO RI 6RFLDO :RUN WKH *UDGXDWH 6FKRRO RI 3XEOLF DQG ,QWHUQDWLRQDO $IIDLUV DQG WKH 6FKRRO RI ,QIRUPDWLRQ 6FLHQFHV ,Q DGGLWLRQ 3LWW UHVHDUFKHUV KDYH PDGH VXEVWDQWLDO FRQWULEXWLRQV WR VXFK GLYHUVH ILHOGV DV DQWKURSRORJ\ DVWURQRP\ FRPSXWHU VFLHQFH ELRHQJLQHHULQJ SV\FKRORJ\ DQG QXPHURXV RWKHU GLVFLSOLQHV 5HVHDUFK DFWLYLWLHV DUH FRQGXFWHG DW WKH 8QLYHUVLW\ LQ LWV VFKRROV DQG LQ LWV FHQWHUV LQVWLWXWHV ODERUDWRULHV DQG FOLQLFV 1XPHURXV FXOWXUDO DQG DWKOHWLF HYHQWV DUH VSRQVRUHG E\ WKH 8QLYHUVLW\ HDFK \HDU DQG DUH HQMR\HG E\ KXQGUHGV RI WKRXVDQGV RI DUHD UHVLGHQWV LQFOXGLQJ PXVLFDO DQG WKHDWULFDO SUHVHQWDWLRQV DV ZHOO DV DWKOHWLF SURJUDPV 7KH 8QLYHUVLW\ KDV OLEUDULHV DQG VSHFLDO FROOHFWLRQV KRXVLQJ PRUH WKDQ PLOOLRQ YROXPHV PLOOLRQ SLHFHV RI PLFURIRUPV QHDUO\ VXEVFULSWLRQV DQG DSSUR[LPDWHO\ HOHFWURQLF MRXUQDOV PDNLQJ WKH 8QLYHUVLW\ /LEUDU\ 6\VWHP RQH RI WKH OHDGLQJ IDFLOLWLHV RI LWV NLQG LQ WKH QDWLRQ

The Swanson School of Engineering 6LQFH WKH 8QLYHUVLW\ RI 3LWWVEXUJK¶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¶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

History 7KH 8QLYHUVLW\ RI 3LWWVEXUJK 6ZDQVRQ 6FKRRO RI (QJLQHHULQJ KDV D ORQJ DQG GLVWLQJXLVKHG KLVWRU\ 7KH HDUOLHVW HQJLQHHULQJ FRXUVHV DW 3LWW ZHUH HVWDEOLVKHG LQ UHVSRQVH WR WKH JURZWK RI :HVWHUQ 3HQQV\OYDQLD GXULQJ WKH HDUO\ LQGXVWULDO UHYROXWLRQ ZLWK WKH ILUVW GHJUHHV RI ³(QJLQHHU´ DZDUGHG LQ WKHUHE\ HVWDEOLVKLQJ 3LWW DV RQH RI WKH QDWLRQ¶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¶V ILUVW 'HSDUWPHQW RI 3HWUROHXP (QJLQHHULQJ LQ $OVR LQ WKDW \HDU WKH VFKRRO FUHDWHG RQH RI WKH QDWLRQ¶V ILUVW XQGHUJUDGXDWH &RRSHUDWLYH (GXFDWLRQ 3URJUDPV 3LWW (QJLQHHULQJ¶V WUDGLWLRQ RI LQQRYDWLYH SURJUDPPLQJ UHVXOWHG LQ WKH HVWDEOLVKPHQW RI RQH RI WKH QDWLRQ¶V ILUVW ,QGXVWULDO (QJLQHHULQJ 'HSDUWPHQWV LQ 2XU ODWHVW GHSDUWPHQW %LRHQJLQHHULQJ ZDV HVWDEOLVKHG LQ

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³)DWKHU RI 5DGLR´ DQG PDGH WKH ILUVW EURDGFDVW RI WKH KXPDQ YRLFH LQ ,Q WKH VFKRRO EHFDPH WKH 6ZDQVRQ 6FKRRO RI (QJLQHHULQJ DIWHU DQ KLVWRULF HYHQW -RKQ $ 6ZDQVRQ 3K' ¶ PDGH WKH ODUJHVW LQGLYLGXDO SKLODQWKURSLF FRPPLWPHQW LQ WKH KLVWRU\ RI WKH 8QLYHUVLW\ RI 3LWWVEXUJK $V D UHVXOW RI KLV UHPDUNDEOH JHQHURVLW\ ZKLFK QRZ H[FHHGV PLOOLRQ WKH %RDUG RI 7UXVWHHV SUHVHQWHG D IRUPDO UHVROXWLRQ RQ )HEUXDU\ DQQRXQFLQJ WKH FKDQJLQJ RI WKH VFKRRO¶V QDPH WR WKH -RKQ $ 6ZDQVRQ 6FKRRO RI (QJLQHHULQJ &XUUHQWO\ WKH 6ZDQVRQ 6FKRRO LV HPEDUNLQJ RQ WKH PLOOLRQ %HQHGXP +DOO 7UDQVIRUPDWLRQ 3ODQ ZKLFK LQFOXGHV D FRPSOHWH UHQRYDWLRQ RI ODE FODVVURRP DQG RIILFH VSDFH LQ %HQHGXP +DOO ,Q WKH 0DVFDUR &HQWHU IRU 6XVWDLQDEOH ,QQRYDWLRQ DGGLWLRQ ZDV FRPSOHWHG D WKUHH VWRU\ EXLOGLQJ WKDW FRQQHFWV %HQHGXP +DOO DFURVV WKH SOD]D WR WKH DXGLWRULXP

Deans of Engineering 'DQLHO &DUKDUW )UHGHULFN / %LVKRS (OPHU $ +ROEURRN * 5D\PRQG )LWWHUHU +DUROG ( +RHOVFKHU 0D[ / :LOOLDPV &KDUOHV $ 6RUEHU + . &KDQJ *HUDOG ' +ROGHU

±

±

±

±

±

±

±

±

Departments and Degree-Granting Programs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¶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

,QWHUGLVFLSOLQDU\ 3URJUDPV

%LRHQJLQHHULQJ -RLQW 0' 3K' %LRHQJLQHHULQJ 3URJUDP 'XDO %6 'HJUHH 3URJUDP LQ %LRHQJLQHHULQJ &KHPLFDO (QJLQHHULQJ -RLQW 0%$ 06 %LRHQJLQHHULQJ 3URJUDP &KHPLFDO DQG 3HWUROHXP (QJLQHHULQJ 'HJUHHV 2IIHUHG 0%$ 06&K( LQ &KHPLFDO DQG 3HWUROHXP (QJLQHHULQJ

&LYLO DQG (QYLURQPHQWDO (QJLQHHULQJ 'HJUHHV 2IIHUHG 0%$ 06&(( LQ &LYLO DQG (QYLURQPHQWDO (QJLQHHULQJ (OHFWULFDO DQG &RPSXWHU (QJLQHHULQJ 'HJUHHV 2IIHUHG 0%$ 06(&( 3K' LQ (OHFWULFDO DQG &RPSXWHU (QJLQHHULQJ ,QGXVWULDO (QJLQHHULQJ 'HJUHHV 2IIHUHG 0%$ 06,( LQ ,QGXVWULDO (QJLQHHULQJ 0HFKDQLFDO (QJLQHHULQJ DQG 0DWHULDOV 6FLHQFH 'HJUHHV 2IIHUHG 0%$ 0606(

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

6ZDQVRQ 6FKRRO RI (QJLQHHULQJ 6SHFLDO $FDGHPLF 3URJUDPV )HVVHQGHQ +RQRUV LQ (QJLQHHULQJ 3URJUDP

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¶V ³7ZR &XOWXUHV´ GHEDWH HQJLQHHULQJ HWKLFV WKH PHDQLQJ RI ³TXDOLW\´ LQ HQJLQHHULQJ GHVLJQ DQG WKH GLVWLQFWLRQ EHWZHHQ WHFKQLFDO WUDLQLQJ DQG HGXFDWLRQ 6WXGHQWV ZKR FRPSOHWH WKH DFDGHPLF UHTXLUHPHQWV DQG SDUWLFLSDWH LQ WKH 6HPLQDU HDUQ WKH )+(3 &HUWLILFDWH MRLQWO\ DZDUGHG E\ WKH 6FKRRO RI (QJLQHHULQJ DQG WKH 8QLYHUVLW\ +RQRUV &ROOHJH $ WRWDO RI VWXGHQWV SDUWLFLSDWHG LQ WKH SURJUDP GXULQJ WKH DFDGHPLF \HDU )UHVKPDQ (QJLQHHULQJ $FDGHPLF 3URJUDP ± ,QWHJUDWHG &XUULFXOXP 7KH 6FKRRO RI (QJLQHHULQJ¶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± WKH (QJLQHHULQJ /LYLQJ /HDUQLQJ &RPPXQLW\ LQ WKH UHVLGHQFH KDOOV DV ZHOO DV )RUEHV +DOO ± WKH //& IRU ILUVW \HDU KRQRUV VWXGHQWV

+RQRUV 2SWLRQV $ VHOHFWHG QXPEHU RI RXWVWDQGLQJ VWXGHQWV DUH RIIHUHG WKH RSSRUWXQLW\ WR WDNH (1*5 LQVWHDG RI (1*5 GXULQJ WKH )DOO 7HUP 7KLV DFFHOHUDWHG FRXUVH FRYHUV WKH WZR FRXUVH VHTXHQFH LQ RQH J WHUP HQDEOLQJ VWXGHQWV WR FKRRVH IURP WZR VSHFLDO FRXUVHV LQ WKH 6SULQJ 7HUP (1*5 SURYLGHV DQ RSSRUWXQLW\ WR OHDUQ PDWKHPDWLFDO PRGHOLQJ DQG UHVHDUFK PHWKRGRORJLHV ZLWK RQH RI WKH 6FKRRO¶V PRVW GLVWLQJXLVKHG IDFXOW\ (1*5 SURYLGHV VWXGHQWV ZLWK DQ RSSRUWXQLW\ WR DSSO\ HQJLQHHULQJ PHWKRGRORJLHV LQ D VHUYLFH OHDUQLQJ HQYLURQPHQW ZLWK ORFDO RUJDQL]DWLRQV (1*5 (QJLQHHULQJ $SSOLFDWLRQV IRU 6RFLHW\ LV D XQLTXH UHZDUGLQJ OHDUQLQJ H[SHULHQFH IRU IUHVKPDQ HQJLQHHULQJ VWXGHQWV ZKR KDYH FRPSOHWHG WKH SUHUHTXLVLWH (1*5 +RQRUV (QJLQHHULQJ $QDO\VLV DQG &RPSXWLQJ )DOO VHPHVWHU FRXUVH 7KH FRXUVH SURYLGHV D ³6HUYLFH /HDUQLQJ´ H[SHULHQFH WKURXJK ZKLFK VWXGHQWV OHDUQ DQG GHYHORS YDOXDEOH VNLOOV QHFHVVDU\ WR VXFFHHG DV DQ HQJLQHHU E\ VROYLQJ D UHDO SUREOHP RI YDOXH WR D ORFDO FRPPXQLW\ RUJDQL]DWLRQ 7KH JRDO IRU WKLV FRXUVH LV WR FUHDWH D ZLQ ZLQ H[SHULHQFH IRU ERWK WKH VWXGHQWV DQG WKH FRPPXQLW\ RUJDQL]DWLRQV ,Q UHWXUQ IRU WKHLU SDUWLFLSDWLRQ LQ WKH VWXGHQWV¶ HGXFDWLRQDO SURFHVV WKH FRPPXQLW\ RUJDQL]DWLRQV EHQHILW E\ KDYLQJ D SUREOHP RI YDOXH DGGUHVVHG RU ³VROYHG´ E\ WKH VWXGHQWV 1RW RQO\ DUH WKH VWXGHQWV UHZDUGHG E\ WKH VDWLVIDFWLRQ RI VROYLQJ D UHDO SUREOHP RI YDOXH WR WKHLU FRPPXQLW\ EXW WKURXJK WKLV H[SHULHQFH WKH\ OHDUQ PDQ\ SHUVRQDO DQG SURIHVVLRQDO VNLOOV WKDW FDQQRW EH OHDUQHG LQ WUDGLWLRQDO HQJLQHHULQJ FXUULFXOXP ,Q SDUWLFXODU WKH\ OHDUQ WKDW VROYLQJ SUREOHPV DV DQ HQJLQHHULQJ SURIHVVLRQDO WUXO\ LQYROYHV PRUH WKDQ WKH HTXDWLRQV OHDUQHG LQ FODVVURRPV ZKHUH WKH DQVZHUV FDQ EH IRXQG DW WKH HQG RI D ERRN

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±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¶V 6WXG\ $EURDG 2IILFH 7KHVH SDUWQHUVKLSV KDYH UHVXOWHG LQ VHYHUDO VXFFHVVIXO LQLWLDWLYHV VHYHUDO RI ZKLFK DUH RXWOLQHG EHORZ

7KH 3OXV 3URJUDP 7KH ³3OXV ´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³,QWHJUDWHG )LHOG 7ULSV $EURDG ´ QRZ D FRPSRQHQW RI FRXUVHV DFURVV WKH XQLYHUVLW\ FXUULFXOXP 7KH 3OXV 3URJUDP UHFHLYHG WKH ,QVWLWXWH IRU ,QWHUQDWLRQDO (GXFDWLRQ¶V +HLVNHOO $ZDUG IRU LQQRYDWLRQ LQ VWXG\ DEURDG (QJLQHHULQJ IRU D %HWWHU (QYLURQPHQW %UD]LO ± WKLV VKRUW WHUP SURJUDP LV RIIHUHG WR VWXGHQWV ZKR KDYH DQ LQWHUHVW LQ UHQHZDEOH HQHUJ\ 7KH SURJUDP ZKLFK LV RIIHUHG DV D WKUHH FUHGLW FRXUVH DW 3LWW LQWURGXFHV VWXGHQWV WR YDULRXV IRUPV RI JUHHQ HQHUJ\ LQ %UD]LO (QJLQHHULQJ LQ WKH $PHULFDV %HIRUH &ROXPEXV &XVFR 3HUX ± WKLV VKRUW WHUP SURJUDP LV RIIHUHG WR VWXGHQWV ZLWK DQ LQWHUHVW LQ VWUXFWXUHV 7KH SURJUDP RIIHUHG DV D WKUHH FUHGLW FRXUVH DW 3LWW EULQJV VWXGHQWV WR &XVFR 3HUX WR VWXG\ VLWHV IURP WKH ,QFDQ FXOWXUH DQG WR ZRUN GLUHFWO\ ZLWK D ORFDO FRPPXQLW\ WR DGGUHVV D WHFKQLFDO LVVXH UHODWLQJ WR VWUXFWXUHV (QJLQHHULQJ DQG %XVLQHVV &ROODERUDWLRQV LQ ,QGLD ± WKLV SURJUDP LV RIIHUHG WR VWXGHQWV LQWHUHVWHG LQ OHDUQLQJ PRUH DERXW PDQDJHPHQW LVVXHV ZLWKLQ WKH FRQWH[W RI WKH ,QGLDQ HQYLURQPHQW ,W LV RIIHUHG DV D WKUHH FUHGLW FRXUVH 7KH SURJUDP LQWURGXFHV VWXGHQWV WR UHDO ZRUOG PDQDJHPHQW WHFKQLFDO DQG RWKHU LVVXHV WKDW DUH IDFLQJ PDQ\ ZHOO NQRZQ ,QGLDQ DQG JOREDO FRUSRUDWLRQV DQG LQFOXGHV OHFWXUHV OHG E\ LQGXVWU\ OHDGHUV ZKR DUH IDFLQJ PDQ\ FKDOOHQJHV LQ WKH FXUUHQW JOREDO HFRQRPLF FOLPDWH 8QGHUJUDGXDWH 6WXGHQW ([FKDQJH ZLWK WKH 8QLYHUVLGDG 'H 0RQWHYLGHR ± WKLV LV WKH ILUVW RI D VHULHV RI XSSHU OHYHO ,)7$ FRXUVHV WKDW DUH EHLQJ FUHDWHG IRU (QJLQHHULQJ DQG %XVLQHVV VWXGHQWV $ VSHFLDO IRXU FUHGLW WKUHH ZHHN FRXUVH RQ ³*OREDO 6XSSO\ 1HWZRUNV DQG 0DQXIDFWXULQJ &XOWXUHV LQ /DWLQ $PHULFD´ ZDV GHYHORSHG E\ FROOHDJXHV DW WKH 8QLYHUVLGDG 'H 0RQWHYLGHR ,W SURYLGHV SDUWLFLSDQWV ZLWK DQ XQGHUVWDQGLQJ RI LQWHUQDWLRQDO VXSSO\ FKDLQ RSHUDWLRQV ZLWK D VSHFLDO IRFXV RQ /DWLQ $PHULFDQ DQG 8UXJXD\ 7KH WZR ZHHN VWXG\ YLVLW WR 8UXJXD\ HQDEOHV VWXGHQWV WR SODFH WKHLU XQGHUVWDQGLQJ RI WKRVH FRQFHSWV ZLWKLQ DQ LQWHUQDWLRQDO FURVV FXOWXUDO FRQWH[W ,1129$7( ,QWHUQDWLRQDO 7HFKQRORJ\ ,QQRYDWLRQ DQG /HDGHUVKLS &RQIHUHQFH ±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¶V %DNHU ,QVWLWXWH 7KHVH OHFWXUHV SURYLGHG WKH EDVLV IRU FRPSDUDWLYH GLVFXVVLRQ DQG DQDO\VLV 7RSLFV LQFOXGHG OHDGHUVKLS WHFKQRORJ\

WUHQGV KLVWRU\ DQG SROLWLFV HFRQRPLFV FRQWHPSRUDU\ FXOWXUH DQG GHPRJUDSKLFV DQG VSHFLILF DQDO\VLV RI GLIIHUHQW EXVLQHVV VHFWRUV $IWHU UHWXUQLQJ VWXGHQWV GRFXPHQWHG WKHLU H[SHULHQFH WKURXJK DQ HQG RI VHPHVWHU IRUPDO SDSHU DQG SUHVHQWDWLRQ DW WKH DQQXDO $OXPQL 'LQQHU ,QWHUQVKLS DQG ([FKDQJH RSSRUWXQLWLHV LQ *HUPDQ\ 7KH 8QLYHUVLW\ VLJQHG DQ H[FKDQJH DJUHHPHQW WKH 8$6 &RQVRUWLXP ± VHYHQ *HUPDQ\ XQLYHUVLWLHV %HUOLQ 6FKRRO RI (FRQRPLFV %UHPHQ 8QLYHUVLW\ RI $SSOLHG 6FLHQFHV &RORJQH 8QLYHUVLW\ RI $SSOLHG 6FLHQFHV +DPEXUJ 8QLYHUVLW\ RI $SSOLHG 6FLHQFHV 0XQLFK 8QLYHUVLW\ RI $SSOLHG 6FLHQFHV 0 QVWHU 8QLYHUVLW\ RI $SSOLHG 6FLHQFHV 2VHQDEU FN 8QLYHUVLW\ RI $SSOLHG 6FLHQFHV ZKRVH FRUH DFDGHPLF VWUHQJWK LV WKHLU HQJLQHHULQJ WHFKQLFDO GHJUHH

SURJUDPV 7KH DJUHHPHQW DOORZV IRU WKH H[FKDQJH RI VWXGHQWV IURP WKH 8$6 XQLYHUVLWLHV DQG WKH 8QLYHUVLW\ RI 3LWWVEXUJK IRU VWXG\ DQG LQWHUQVKLS H[SHULHQFH $V SDUW RI WKLV H[FKDQJH DJUHHPHQW 662( XQGHUJUDGXDWH VWXGHQWV FDQ EH VHOHFWHG WR SDUWLFLSDWH LQ WKH 8$6 &RQVRUWLXP¶V ³6WXG\ DQG ,QWHUQVKLS 3URJUDP 6,3 LQ *HUPDQ\´ 3URJUDP 6HOHFWHG VWXGHQWV VSHQG WKH IDOO VHPHVWHU WDNLQJ FRXUVHV DW RQH RI WKH 8QLYHUVLWLHV RI $SSOLHG 6FLHQFHV DQG VSHQG WKH VSULQJ VHPHVWHU GRLQJ D IXOO WLPH LQWHUQVKLS DW D *HUPDQ RUJDQL]DWLRQ WKDW LV DUUDQJHG E\ WKHLU KRVW XQLYHUVLW\ 6WXGHQWV LQ WKH 6,3 SURJUDP UHFHLYH VXEVWDQWLDO IXQGLQJ IURP *HUPDQ\ WR SDUWLFLSDWH LQ WKLV SURJUDP ),36( &$3(6 3URJUDP %UD]LO ,Q $< DQ DJUHHPHQW ZDV VLJQHG IRU WKH IHGHUDOO\ IXQGHG ),36( &$3(6 SURJUDP ³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³%LODWHUDO 'HYHORSPHQW RQ $HURQDXWLF 6NLOOV %HWZHHQ 8 6 DQG %UD]LO´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¶V SURJUDP SDUWLFLSDQWV 7ZR KXQGUHG WKLUW\ WKUHH VWXGHQWV DFFHSWHG FR RS SRVLWLRQV GXULQJ WKH \HDU ZKLFK ZDV VOLJKWO\ KLJKHU WKDQ WKH SUHYLRXV \HDU¶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±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¶ HQUROOPHQW DQG DFKLHYHPHQW LQ DGYDQFHG PDWKHPDWLFV DQG VFLHQFH FRXUVHV HQVXUH WKDW WKH SDUWLFLSDQWV PDNH LQIRUPHG FROOHJH FKRLFHV VXSSRUW DQG HQFRXUDJH SDUHQWV LQ WKHLU UROHV DV DGYRFDWHV IRU WKHLU FKLOGUHQ DQG FRRUGLQDWH SDUWQHUVKLSV EHWZHHQ WKH 8QLYHUVLW\ RI 3LWWVEXUJK¶V 6ZDQVRQ 6FKRRO RI (QJLQHHULQJ DQG ORFDO DQG UHJLRQDO VFKRROV

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¶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¶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

7KHUH ZHUH IHPDOH 06 VWXGHQWV LQ DQ LQFUHDVH RI 7KH QXPEHU RI IHPDOH 3K' FDQGLGDWHV KDV ULVHQ GUDPDWLFDOO\ IURP LQ WR LQ LQ 7KH QXPEHU RI XQGHUUHSUHVHQWHG 06 VWXGHQWV HQUROOHG GHFUHDVHG IURP LQ WR LQ 7KH QXPEHU RI XQGHUUHSUHVHQWHG 3K' FDQGLGDWHV LQFUHDVHG IURP LQ WR LQ 2I 3K' GHJUHHV FRQIHUUHG EHWZHHQ $XJXVW WR $SULO ZHUH XSRQ ZRPHQ DQ LQFUHDVH IURP LQ DQG LQ 2QH 3K' ZDV DZDUGHG WR DQ XQGHUUHSUHVHQWHG VWXGHQW LQ 2I WKH 0DVWHU 'HJUHHV DZDUGHG LQ ZHUH DZDUGHG WR XQGHUUHSUHVHQWHG VWXGHQWV DQ LQFUHDVH RI WKUHH DZDUGHG LQ 7KLUW\ )LYH ZHUH DZDUGHG WR ZRPHQ DQ LQFUHDVH IURP LQ

3K' (QUROOPHQW DQG 'HJUHH 06 (QUROOPHQW DQG 'HJUHH 6&+22/ 6&+22/ :20(1 856 727$/ :20(1 856 727$/ 3+' 3+' 3+' 3+' 3+' 3+' 06 06 06 06 06 06 ( ' ( ' ( ' ( ' ( ' ( '

( (QUROOPHQW ' 'HJUHHV 856 8QGHUUHSUHVHQWHG VWXGHQWV $IULFDQ +LVSDQLFV DQG 1DWLYH $PHULFDQ VWXGHQWV *HRUJH 0 %HYLHU (QJLQHHULQJ /LEUDU\ 7KH *HRUJH 0 %HYLHU (QJLQHHULQJ /LEUDU\ DQG SURYLGHV DFFHVV WR ERRNV MRXUQDOV DQG GDWDEDVHV IRU WKH IROORZLQJ GLVFLSOLQHV HQJLQHHULQJ SK\VLFV PDWKHPDWLFV DVWURQRP\ DQG JHRORJ\ 7KH /LEUDU\ LV QDPHG LQ KRQRU RI *HRUJH 0 %HYLHU %6( ¶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

5HVHDUFK )DFLOLWLHV &HQWHUV DQG ,QVWLWXWHV 7KH VWUHQJWK DQG GLYHUVLW\ RI WKH 6FKRRO’V UHVHDUFK FHQWHUV DQG LQVWLWXWHV UHIOHFW WKH LQWHU UHODWLRQVKLS DQG RIWHQ FRPSOHPHQWDU\ QDWXUH RI IDFXOW\ UHVHDUFK DFWLYLWLHV 7KH FRQFHSW RI FHQWHUV DQG LQVWLWXWHV ZLWKLQ WKH 8QLYHUVLW\ DQG WKH 6ZDQVRQ 6FKRRO RI (QJLQHHULQJ WDNHV DGYDQWDJH RI WKLV QDWXUDO JURXSLQJ SURFHVV WKHUHE\ SURGXFLQJ V\QHUJLVWLF LQWHUDFWLRQV WKDW HQKDQFH WKH IDFXOW\ UHVHDUFK FDSDELOLWLHV &RQVHTXHQWO\ WKH VFRSH RI UHVHDUFK WKDW FDQ EH DGGUHVVHG E\ DQ\ JURXS RI IDFXOW\ LV H[SDQGHG VLJQLILFDQWO\ 7KH VWXGHQWV ZKR SDUWLFLSDWH LQ FHQWHU DQG LQVWLWXWH UHVHDUFK KDYH D XQLTXH RSSRUWXQLW\ WR EH LQYROYHG LQ LPSRUWDQW SURMHFWV WKURXJKRXW WKHLU JUDGXDWH H[SHULHQFH )XUWKHUPRUH FHQWHUV DQG LQVWLWXWHV UHSUHVHQW DQ DWWUDFWLYH RSSRUWXQLW\ IRU FRUSRUDWH DQG DJHQF\ VSRQVRUVKLS RI ERWK EDVLF DQG DSSOLHG UHVHDUFK 7KHUH DUH D QXPEHU RI FHQWHUV DQG LQVWLWXWHV WKDW H[LVW LQ WKH 8QLYHUVLW\ DQG WKH 6ZDQVRQ 6FKRRO RI (QJLQHHULQJ DQG VHYHUDO WKDW DUH LQ YDULRXV GHYHORSPHQWDO VWDJHV 7KH IROORZLQJ DUH EULHI GHVFULSWLRQV RI H[LVWLQJ FHQWHUV DQG LQVWLWXWHV 7KH 0LFKDHO / %HQHGXP +DOO RI (QJLQHHULQJ 6WXGHQWV HQUROOHG LQ WKH 8QLYHUVLW\ RI 3LWWVEXUJK 6ZDQVRQ 6FKRRO RI (QJLQHHULQJ UHFHLYH WKHLU HGXFDWLRQ LQ WKH PRGHUQ ZHOO HTXLSSHG 0LFKDHO / %HQHGXP +DOO RI (QJLQHHULQJ 7KH EXLOGLQJ FRPSOH[ LV QDPHG LQ KRQRU RI 0LFKDHO / %HQHGXP D SLRQHHU LQ WKH RLO LQGXVWU\ DQG FR IRXQGHU RI WKH %HQHGXP 7UHHV 2LO &RPSDQ\ $ JUDQW IURP WKH &ODXGH :RUWKLQJWRQ %HQHGXP )RXQGDWLRQ HQDEOHG WKH 8QLYHUVLW\ WR SXUFKDVH WKH ODQG RQ ZKLFK WKH HQJLQHHULQJ FRPSOH[ LV EXLOW 7KH 0LFKDHO / %HQHGXP +DOO RI (QJLQHHULQJ FRQVLVWV RI D FRPSOHWHO\ DLU FRQGLWLRQHG IORRU HQJLQHHULQJ WRZHU DQG D VHSDUDWH VHDW DXGLWRULXP &ODVVURRPV DQG RIILFHV RFFXS\ WKH SHULPHWHU RI WKH EXLOGLQJ ZLWK WKH OLEUDU\ VWXGHQW ORXQJH DQG VWXGHQW DFWLYLWLHV RIILFHV ORFDWHG RQ WKH SOD]D OHYHO /DERUDWRULHV DUH FRQILQHG WR FHQWUDO ED\V ZLWK KHDY\ HTXLSPHQW ODERUDWRULHV ORFDWHG LQ WKH VXE EDVHPHQW ZKLFK H[WHQGV XQGHU WKH HQWLUH FRPSOH[ 7KHVH ODUJH URRPV DFFRPPRGDWH VSHFLDO LQVWUXFWLRQDO IDFLOLWLHV WKDW DSSUR[LPDWH DFWXDO LQGXVWULDO FRQGLWLRQV

,QWHUGLVFLSOLQDU\ 8QLYHUVLW\ RI 3LWWVEXUJK &HQWHUV ,QYROYHG ZLWK WKH 6ZDQVRQ 6FKRRO RI (QJLQHHULQJ 8QLYHUVLW\ RI 3LWWVEXUJK $SSOLHG 5HVHDUFK &HQWHU 8 3$5& 8 3$5& ORFDWHG PLOHV IURP WKH PDLQ FDPSXV LV D PXOWLPLOOLRQ GROODU EXLOGLQJ IDFLOLW\ KRXVLQJ VFLHQWLILF HTXLSPHQW DQG VHUYLFHV DYDLODEOH WR WKH 8QLYHUVLW\ FRPPXQLW\ 2YHU FRUSRUDWLRQV LQFOXGLQJ D QXPEHU RI HPHUJLQJ KLJK WHFKQRORJ\ FRPSDQLHV KDYH RIILFHV DW 8 3$5& ,Q DGGLWLRQ VHYHUDO RI WKH 6ZDQVRQ 6FKRRO RI (QJLQHHULQJ’V UHVHDUFK JURXSV PDLQWDLQ ODERUDWRULHV DW WKLV VLWH 8 3$5&’V SLORW SODQW VHUYLFHV UDQJH IURP SHWUROHXP SHWURFKHPLFDO DQG FKHPLFDO EDVHG WHFKQRORJLHV WR HQYLURQPHQWDO V\QWKHWLF IXHOV ELRWHFKQRORJ\ DQG RWKHU HPHUJLQJ WHFKQRORJLHV

%LRVFLHQFH 7RZHU %67 ,Q WKH IDOO RI WKH 8QLYHUVLW\ RI 3LWWVEXUJK IRUPDOO\ RSHQHG WKH QHZO\ FRQVWUXFWHG VWDWH RI WKH DUW %LRPHGLFDO 6FLHQFH 7RZHU %67 DGMRLQLQJ UHVHDUFK IDFLOLWLHV DQG 830& FOLQLFDO IDFLOLWLHV DV ZHOO DV WKH PHGLFDO VFKRRO’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’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’V FXUUHQW DQG IXWXUH HQHUJ\ UHODWHG FKDOOHQJHV $ PDMRU JRDO DQG GHILQLQJ FKDUDFWHULVWLF RI WKH &HQWHU LV WR ZRUN FORVHO\ ZLWK WKH FRQFHQWUDWLRQ RI HQHUJ\ UHODWHG FRPSDQLHV LQ WKLV UHJLRQ DQG IURP DURXQG WKH JOREH 7R WKDW HQG WKH &HQWHU DFWV DV DQ HDVLO\ DFFHVVLEOH HQWU\ SRLQW IRU LQGXVWU\ LQ LGHQWLI\LQJ HQHUJ\ UHODWHG UHVHDUFK H[SHUWLVH IRUP FROODERUDWLRQV DQG SDUWLFLSDWH LQ UHVHDUFK DW WKH 8QLYHUVLW\

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a SURFHVVRUV SDUDOOHO FDOFXODWLRQV 7KH QRGHV DUH FRQQHFWHG E\ HLWKHU 6'5 ''5 RU 4'5 ,QILQLEDQG )HUPL FRQVLVWV RI D WRWDO RI FRPSXWH QRGHV GXDO VRFNHW FRUH ,QWHO *+] ;HRQ ; DQG / &38V 1HKDOHP QRGH *% QRGH GXDO VRFNHW FRUH ,QWHO *+] ;HRQ ( &38V +DUSHUWRZQ FRUH QRGHV *% QRGH GXDO VRFNHW FRUH $0' *+] 2SWHURQ &38V *% QRGH GXDO VRFNHW FRUH ,QWHO *+] ;HRQ ; &38V :HVWPHUH *% 5$0 )UDQN LV FXUUHQWO\ EHLQJ LQVWDOOHG DQG FRQVLVWV RI WKH IROORZLQJ GXDO VRFNHW FRUH ,QWHO *+] ;HRQ ; &38V :HVWPHUH *% 5$0

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’V ³ULGH FRPIRUW ´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’V OHDGLQJ VFLHQWLVWV DQG FOLQLFDO IDFXOW\ ZRUNLQJ WR GHYHORS WLVVXH HQJLQHHULQJ FHOOXODU WKHUDSLHV ELRVXUJHU\ DQG DUWLILFLDO DQG ELRK\EULG RUJDQ GHYLFHV 7KH ,QVWLWXWH PLVVLRQ LQFOXGHV WKH GHYHORSPHQW RI LQQRYDWLYH FOLQLFDO SURWRFROV DV ZHOO DV WKH SXUVXLW RI UDSLG FRPPHUFLDO WUDQVIHU RI LWV WHFKQRORJLHV UHODWHG WR UHJHQHUDWLYH PHGLFLQH 5HJHQHUDWLYH PHGLFLQH LV DQ HPHUJLQJ ILHOG WKDW DSSURDFKHV WKH UHSDLU RU UHSODFHPHQW RI WLVVXHV DQG RUJDQV E\ LQFRUSRUDWLQJ WKH XVH RI FHOOV JHQHV RU RWKHU ELRORJLFDO EXLOGLQJ EORFNV DORQJ ZLWK ELRHQJLQHHUHG PDWHULDOV DQG WHFKQRORJLHV 0XVFXORVNHOHWDO 5HVHDUFK &HQWHU 065& 7KH 065& ZKLFK ORFDWHG DW WKH &HQWHU IRU %LRHQJLQHHULQJ RIIHUV GLYHUVH PXOWLGLVFLSOLQDU\ UHVHDUFK DQG HGXFDWLRQDO RSSRUWXQLWLHV *UDGXDWH DQG XQGHUJUDGXDWH VWXGHQWV FRQGXFW UHVHDUFK WRZDUG WKHLU GHJUHHV LQ WKH 'HSDUWPHQW RI %LRHQJLQHHULQJ RU DQ\ RI WKH WUDGLWLRQDO HQJLQHHULQJ GLVFLSOLQHV 7KH 065& HQFRXUDJHV FROODERUDWLRQ EHWZHHQ FOLQLFDO DQG EDVLF VFLHQWLVWV LQ WKH VWXG\ RI WKH PXVFXORVNHOHWDO V\VWHP (GXFDWLRQ LV WKH SULPDU\ JRDO RI WKH 065& 6WXGHQWV ZRUN ZLWK ELRHQJLQHHUV RUWKRSDHGLF VXUJHRQV ELRFKHPLVWV PROHFXODU ELRORJLVWV DQG JHQH WKHUDSLVWV H[SORULQJ LQQRYDWLYH RUWKRSDHGLF DSSOLFDWLRQV RI EDVLF VFLHQFH SULQFLSOHV DQG WHFKQRORJLHV 6DYLR / < :RR 3K' '6F LV 'LUHFWRU RI WKH 065&

%LRHQJLQHHULQJ IDFXOW\ 'U 5LFKDUG 'HEVNL DQG 'U 6WHYHQ $EUDPRZLWFK PDLQWDLQ WKHLU SULPDU\ ODERUDWRULHV ZLWKLQ 065&

6ZDQVRQ 6FKRRO RI (QJLQHHULQJ &HQWHUV DQG /DERUDWRULHV $SSOLHG 6LJQDO DQG 6\VWHP $QDO\VLV /DERUDWRU\ 7KH $SSOLHG 6LJQDO DQG 6\VWHP $QDO\VLV /DERUDWRU\ LQ (OHFWULFDO (QJLQHHULQJ VXSSRUWV UHVHDUFK LQ WLPH IUHTXHQF\ DQG WLPH VFDOH DQDO\VLV VSHFWUDO HVWLPDWLRQ RI QRQ VWDWLRQDU\ SURFHVVHV PDFKLQH IDXOW DQDO\VLV VSHHFK UHFRJQLWLRQ WLPH YDU\LQJ V\VWHP LGHQWLILFDWLRQ DQG PRGHOLQJ ELRPHGLFDO VLJQDO DQDO\VLV QHXUDO QHWZRUNV DQG QRQ OLQHDU SURFHVVLQJ RI WHPSRUDO VLJQDOV DQG LPDJHV 7KH HTXLSPHQW FRQVLVWV RI GHVNWRS ZRUNVWDWLRQV WHUPLQDOV DQG WDSH DQG RSWLFDO GULYHV H[WHUQDO KDUG GLVNV DV ZHOO DV DXGLR DQG YLGHR SURFHVVLQJ HTXLSPHQW 7KLV KDUGZDUH LV VXSSRUWHG E\ WKH ODWHVW VLJQDO SURFHVVLQJ VRIWZDUH SDFNDJHV $WRP 3UREH )LHOG ,RQ 0LFURVFRS\ /DERUDWRU\ The Atom Probe Field Ion Microscopy Laboratory is a unique, highly sophisticated research facility for investigating the structure and chemistry of solids on an atomic scale. The installation includes three units for field ion microscopy and atom probe analysis. $XWRPDWLF 'DWD &ROOHFWLRQ /DERUDWRU\ $'& 9LUWXDO (QWHUSULVH /DE ,QGXVWULDO (QJLQHHULQJ’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’V %$035, IRFXVHV RQ PHWDOOXUJLFDO UHVHDUFK RI LQWHUHVW WR WKH EDVLF PHWDOV LQGXVWU\ $Q REMHFWLYH RI %$035, LV WR FRPSHQVDWH IRU WKH UHGXFWLRQ RI LQ KRXVH 5HVHDUFK 'HYHORSPHQW E\ LQGXVWU\ WKDW KDV RFFXUUHG LQ WKH SDVW GHFDGH 7KH ,QVWLWXWH GHYHORSV DQG LPSOHPHQWV WKH ODWHVW SURGXFW DQG SURFHVVLQJ WHFKQRORJ\ IRU SURGXFHUV IDEULFDWRUV DQG HQG XVHUV $QWKRQ\ - 'H$UGR :LOOLDP .HSOHU :KLWHIRUG 3URIHVVRU LQ 0DWHULDOV 6FLHQFH DQG (QJLQHHULQJ LV 'LUHFWRU RI %$035,

%LRHQJLQHHULQJ 'HVLJQ DQG 0XOWLPHGLD /DERUDWRU\

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´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p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he Bio Tissues and Complex Fluids Laboratory is devoted to the characterization and experimental study of complex materials. Much of the work in this laboratory focuses on understanding and quantifying the link between material behavior and structure. These results are used for the development of constitutive equations to model these materials in a predictive fashion. A second focus of the laboratory is the study of the motion and stability of particles in viscous and viscoelastic fluids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’V VFLHQWLVWV HQJLQHHUV SROLF\ H[SHUWV DQG FOLQLFDO IDFXOW\ 0HPEHUV RI &13 SRVVHVV H[SHUWLVH LQ ELRPHGLFDO UHVHDUFK SXEOLF KHDOWK PHGLFLQH QDWLRQDO VHFXULW\ SROLF\ HQJLQHHULQJ DQG LQIRUPDWLRQ WHFKQRORJ\ 7KH XQLI\LQJ WKHPH RI RXU HIIRUWV LV WKH DSSOLFDWLRQ RI V\VWHPV DQG V\VWHPV RI V\VWHPV DSSURDFKHV IURP WKH HQJLQHHULQJ VFLHQFHV WR D QHZ DFDGHPLF GLVFLSOLQH RI +RPHODQG 6HFXULW\ DQG 1DWLRQDO 3UHSDUHGQHVV 6WXGLHV &HQWHU IRU 6XVWDLQDEOH 7UDQVSRUWDWLRQ ,QIUDVWUXFWXUH

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’V YLVLRQ DQG RSHUDWLRQV WR DGYDQFH WKH VWDWH RI

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̘ ̘ 'HWHULRUDWLRQ RI - %DU 5HLQIRUFHPHQW LQ $EXWPHQWV DQG 3LHUV̘ $VVHVVPHQW 6WUDWHJLHV RI )LUH 'DPDJHG %ULGJHV 3UHPDWXUH 'HWHULRUDWLRQ RI -RLQWHG 3ODLQ &RQFUHWH 3DYHPHQWV̘ ̘ +LJKZD\ 6XEVLGHQFH GXH WR /RQJZDOO 0LQLQJ XVLQJ GDWD FROOHFWHG IURP , ̘ ̘ 0DUNHW $QDO\VLV RI &RQVWUXFWLRQ 0DWHULDOV ZLWK 5HFRPPHQGDWLRQV IRU WKH )XWXUH RI WKH ,QGXVWU\̘ %LRGLHVHO )XHO )HDVLELOLW\ 6WXG\ 5HPRWH 6HQVLQJ %ULGJH 6FRXU &HUDPLFV 3URFHVVLQJ /DERUDWRU\ The Ceramics Processing laboratory includes glove box facilities for chemical synthesis of powders and thin films. Powder preparation facilities allow for mixing and milling of powders, Horiba CAPA-300 particle size analyzer, Quantachrome BET surface area analysis, mini spray drier, Brookfield viscometer, uniaxial press and colloidal filtration pressurization unit, cold isostatic press. Firing facilities include a high-temperature sintering dilatometer and various tube and box furnaces for firing ceramics and melting glass at temperatures up to 1700°C in air. &KHPLFDO (QJLQHHULQJ 3URFHVV 6LPXODWLRQ /DERUDWRU\

7KH &KHPLFDO (QJLQHHULQJ 3URFHVV 6LPXODWLRQ /DERUDWRU\ EULQJV WR WKH 'HSDUWPHQW WKH IXOO FRPSOHPHQW RI FRPPHUFLDO GHVLJQ VRIWZDUH WKDW LV XVHG WKURXJKRXW WKH ZRUOG E\ SUDFWLFLQJ FKHPLFDO HQJLQHHUV 6WXGHQWV XVH VRIWZDUH V\VWHPV LQFOXGLQJ $VSHQ3OXV %-$& (PLVVLRQ 0DVWHU %DWFK)UDF DQG WKH ,FDUXV 3URFHVV (YDOXDWRU WR EOHQG WKHLU WHFKQLFDO VNLOOV ZLWK DSSOLHG GHVLJQV 7KLV PDUULDJH RI WKHRU\ DQG SUDFWLFH DW D OHYHO XVHG E\ SUDFWLFLQJ HQJLQHHUV KDV VLJQLILFDQWO\ HQKDQFHG WKH DELOLW\ RI WKH 'HSDUWPHQW’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

&RPSRVLWH 0DWHULDOV /DERUDWRU\ The Composite Materials Laboratory is used mainly for research in penetration and fracture mechanics of composite materials, the characterization of associated dynamic failure modes, and understanding the physics of dynamic failures of new generation of composite materials. The lab is equipped with a high-performance penetrating and fracturing Split Hopkinson Pressure Bar (SHPB) integrated to a high speed optical/CCD imaging system for high strain rate testing. The system is capable of capturing dynamic fracture, crack propagation, and fragmentation processes during composite materials failure at over 2 million frames per second. The lab operates a laser Raman Spectroscopy for characterization of residual strengths and micro micromechanical properties of composite materials with 1 mm resolution. Heat, moisture absorption, dynamic impact, or a combination of these factors results in transformation of micromechanical properties of composite materials in the region of damage and beyond. Laser Raman spectroscopy is used to directly measure fiber stress at the microscopic level because Raman frequencies or unique atomic vibrational energy levels of the constituent fibers are stress-strain dependent. In many crystalline or paracrystalline materials, the Raman peak position shifts linearly to lower wave numbers under tensile strains and to higher wave number under compressive strains. Composite materials of interest include woven composites, advanced composite materials, nanocomposites, smart composite, and high-temperature materials such as ceramics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he primary objective of the Computational Transport Phenomena Laboratory is to conduct theoretical research in fluid mechanics, combustion, heat and mass transfer, applied mathematics, and numerical methods. The emphasis of current research in this laboratory is on “understanding physics� rather than “developing numerical algorithms.� Several areas of current investigations are turbulent mixing, chemically reacting flows, highspeed combustion and propulsion, transition and turbulence, nano-scale heat transfer, magnetohydrodynamics, and plasma physics. The numerical methodologies in use consist of spectral methods (collocation, Galerkin), variety of finite difference, finite volume and finite element schemes, Lagrangian methods, and many hybrid methods such as spectral-finite element and spectral-finite difference schemes. The laboratory is equipped with high-speed mini-supercomputers, graphic systems, and stateof-the-art hardware and software for "flow visualization." Most computations require the use of off-site supercomputers (mostly parallel platforms), for which high-speed links are available.

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

7KH &RPSXWHU $LGHG 0DQXIDFWXULQJ DQG $XWRPDWLRQ /DERUDWRU\ LV D FRPSUHKHQVLYH WHDFKLQJ DQG LQVWUXFWLRQDO ODERUDWRU\ ZLWK WKH IROORZLQJ HTXLSPHQW DQ $GHSW 6&$5$ URERW ZLWK VL[ D[HV PRYHPHQW DQ $PHULFDQ $$50 URERW ZLWK PRWLRQ FRQWUROOHU WKUHH WDEOH WRS WHDFKLQJ VL[ D[HV URERWV IRXU SURJUDPPDEOH ORJLF FRQWUROOHU 3/& ZRUNVWDWLRQV D PLQL PDQXIDFWXULQJ FHOO ZLWK SDUW LGHQWLILFDWLRQ FDSDELOLW\ D FRPSXWHU FRQWUROOHG IORZ OLQH IRU SK\VLFDO VLPXODWLRQ SDUW LGHQWLILFDWLRQ HTXLSPHQW LQFOXGLQJ D ODVHU VFDQQHU D YLGHR GLJLWL]HU ZLWK D IUDPH JUDEEHU DQ RSWLFDO WH[W VFDQQHU &RPSXWHU /DE IRU ,QQRYDWLRQ DQG 3URGXFWLYLW\ &/,3 7KH &RPSXWHU /DERUDWRU\ IRU ,QQRYDWLRQ DQG 3URGXFWLYLW\ &/,3 LV D GLJLWDO LQVWUXFWLRQDO FODVVURRP 7KH URRP LV GHVLJQHG WR VHUYLFH WKH FRQWLQXDOO\ LQFUHDVLQJ QHHG IRU ,QGXVWULDO (QJLQHHULQJ VWXGHQWV WR GHYHORS D SURILFLHQF\ LQ FRPSXWHU DSSOLFDWLRQV WKDW ZLOO HQDEOH WKHP WR VXFFHHG DQG H[FHO ZKHQ WKH\ MRLQ WKH JOREDO ZRUNIRUFH 7KH FODVVURRP DOORZV XQGHUJUDGXDWH FRXUVHV WR EH FRQGXFWHG LQ LQGLYLGXDO RU FROODERUDWLYH OHDUQLQJ IRUPDWV WKURXJK WKH XVH RI FRPSXWHU VRIWZDUH DQG URRP OD\RXW 7KH FODVVURRP FRPSXWHUV DUH SRZHUIXO DQG DUH ORDGHG ZLWK WKH ODWHVW VRIWZDUH WR HQVXUH WKDW WKH VNLOOV EHLQJ WDXJKW WR VWXGHQWV HPXODWH UHDO ZRUOG H[SHULHQFHV 7KH ODE LV HTXLSSHG ZLWK DQ DXGLR V\VWHP SURMHFWRU SULQWHU GRFXPHQW FDPHUD DQG WKLUW\ WZR VWXGHQW FRPSXWHUV 7KH LQVWUXFWRU FRPSXWHU LQFRUSRUDWHV VRIWZDUH WKDW DOORZV LQVWUXFWRUV RU SUHVHQWHUV WR FRQWURO WKH VFUHHQV PLFH DQG NH\ERDUGV RI WKH VWXGHQW PDFKLQHV 7KH VRIWZDUH FDQ DOVR EH XVHG WR GLJLWDOO\ FROOHFW DVVLJQPHQWV IURP RU GLVWULEXWH VDPSOH ILOHV WR VWXGHQW FRPSXWHUV 7KH GRFXPHQW FDPHUD H[WHQGV WKH FDSDELOLW\ RI WKH FODVVURRP WR DOORZ IRU WKH LPPHGLDWH FRQYHUVLRQ RI QRQ GLJLWDO PHGLXPV RU REMHFWV WR D GLJLWDO IRUPDW WKDW FDQ EH GLVSOD\HG RQ WKH SURMHFWRU RU VWXGHQWV FRPSXWHUV &XUUHQWO\ WKH ODE RIIHUV &RPSXWHU $LGHG 'HVLJQ 'DWDEDVH DQG 3URGXFWLYLW\ $QDO\VLV WR VWXGHQWV

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’V 'HVLJQ 6WXGLRV SURYLGHV VWXGHQWV ZLWK FRPSXWHU IDFLOLWLHV WKDW DUH DYDLODEOH KRXUV D GD\ ZLWK FRPSXWHUV DQG SULQWHUV DQG ZLWK IXOO ,QWHUQHW DQG H PDLO DFFHVV 7KH ODE SURYLGHV KLJK VSHHG 3& DQG 81,; ZRUNVWDWLRQ KDUGZDUH FRQWDLQLQJ DUWLILFLDO QHXUDO QHWZRUN H[SHUW DQG IX]]\ V\VWHPV VRIWZDUH LQFOXGLQJ FRPSOHWH V\VWHPV VRIWZDUH DQG & ODQJXDJH VRXUFH OLEUDULHV WR H[SHGLWH XVHU SURJUDPPLQJ 7KHUH DUH RSWLPL]DWLRQ SDFNDJHV WKDW LQFOXGH /,1'2 DQG &3/(; DQG VWDWLVWLFDO SDFNDJHV LQFOXGLQJ 6WDWLVWL[ 6$6 6366 DQG 6 6LPXODWLRQ SDFNDJHV VXFK DV 6,0$1 $5(1$ DQG &,1(0$ DUH DYDLODEOH 7KH ODERUDWRU\ DQG LWV HTXLSPHQW DUH DYDLODEOH WR JUDGXDWH VWXGHQWV SDUWLFLSDWLQJ LQ UHVHDUFK SURMHFWV LQ WKH DUHDV RI FRPSXWDWLRQDO LQWHOOLJHQFH DQG RSHUDWLRQV UHVHDUFK (OHFWULFDO 3URSHUWLHV DQG 'LHOHFWULF 0HDVXUHPHQWV The electrical characterization facility contains an LCR meter, impedence analyzers, and a ferroelectric testing system for measuring the dielectric properties of bulk materials and thin films. The facility also includes a microwave cavity and network analyzer used to measure dielectric constants and Q-factors at microwave frequencies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ÄLQILQLWH EXV’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he Fluids Laboratory is the center for experimental research in fluid mechanics and rheology at the University of Pittsburgh. Much of the research in this laboratory examines the behavior complex fluids, such as polymeric solutions, suspensions, and biological fluids in processing-like flows. Laboratory work focuses on the understanding of the link between flow behavior and the material properties so that materials can be processed more efficiently to yield the desired characteristics. In obtaining this goal, this laboratory develops and applies many cutting-edge technologies to obtain precise, in situ measurements of fluid velocity, stress, pressure, and temperature. These measurements are compared with direct numerical simulations to model, understand, and predict the flow behavior.

*DV 7XUELQH +HDW 7UDQVIHU /DERUDWRU\ The Gas Turbine Heat Transfer Laboratory is equipped with advanced flow and heat transfer measurement facilities directed toward obtaining fundamental understanding and design strategies of airfoil cooling in advanced gas turbine engines.

Major experimental systems available include a particle imaging velocimetry, a computerautomated liquid crystal thermographic system, a UV-induced phosphor fluorescent thermometric imaging system, and a sublimation-based heat-mass analogous system. Specific projects currently under way include optimal endwall cooling, shaped-hole film cooling, innovative turbulator heat transfer enhancement, advanced concepts in trailing edge cooling, and instrumentation developments for unsteady thermal and pressure sensing. *HRUJH $ 'DYLGVRQ -U 8QLW 2SHUDWLRQV /DERUDWRU\ 7KH 'HSDUWPHQW’V 8QLW 2SHUDWLRQV /DERUDWRU\ ZDV UHQDPHG WR UHIOHFW WKH VXSSRUW RI *HRUJH $ 'DYLGVRQ -U LQ LPSOHPHQWLQJ D ILYH \HDU GHYHORSPHQW HIIRUW WR HQKDQFH WKH H[LVWLQJ 8QLW 2SHUDWLRQV /DERUDWRU\ 7KLV GHYHORSPHQW HIIRUW SURYLGHG DQ RSSRUWXQLW\ IRU RXU VWXGHQWV WR GHYHORS ODERUDWRU\ DQG SURFHVV GHVLJQ VNLOOV DQG VROYH D PXOWLWXGH RI GHVLJQ SUREOHPV XVLQJ VWDWH RI WKH DUW DSSDUDWXV DQG LQVWUXPHQWDWLRQ ,Q WKH 8QLW 2SHUDWLRQV /DERUDWRU\ ORFDWHG LQ URRP 6% ZDV FRPSOHWHO\ UHQRYDWHG DV SDUW RI 6ZDQVRQ 6FKRRO’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p -DYD GHYHORSPHQW VRIWZDUH IRU UHVHDUFK DQG VWXGHQW XVH -RLQW 5HSODFHPHQW %LRPHFKDQLFV /DERUDWRU\ The Joint Replacement Biomechanics Laboratory focuses on the improvement of both the life span of joint replacements and the design of the components used in joint replacement. The laboratory is equipped for computational and experimental analyses. -RKQ $ -XUHQNR &RPSXWHU $UFKLWHFWXUH /DERUDWRU\ 7KLV ODERUDWRU\ LQ WKH 'HSDUWPHQW RI (OHFWULFDO DQG &RPSXWHU (QJLQHHULQJ SURYLGHV WKH KDUGZDUH DQG VRIWZDUH QHFHVVDU\ IRU VWXGHQWV WR GHVLJQ DQG EXLOG GLJLWDO FLUFXLWV ,W LV XVHG LQ WZR XQGHUJUDGXDWH ODERUDWRU\ FRXUVHV ZKHUH VWXGHQWV DUH SURYLGHG ZLWK DQ XQGHUVWDQGLQJ RI WKH WKUHH ZD\ UHODWLRQVKLS EHWZHHQ WKH PDWKHPDWLFDO DEVWUDFWLRQ RI ORJLF DV H[SUHVVHG LQ %RROHDQ DOJHEUD VFKHPDWLFV DQG VLPXODWLRQV XVLQJ &$' WRROV DQG WKH SK\VLFDO UHDOL]DWLRQ RI WKHVH FLUFXLWV LQ KDUGZDUH 7KH IDFLOLW\ FRQWDLQV QHWZRUNHG KLJK SHUIRUPDQFH ZRUNVWDWLRQV FRPSOHWH ZLWK ORJLF DQDO\]HUV RVFLOORVFRSHV DQG UHODWHG HTXLSPHQW XVHG WR GHVLJQ EUHDGERDUG DQG WHVW GLJLWDO FLUFXLWV ,Q DGGLWLRQ WKH ODERUDWRU\ FRQWDLQV FRPSOHWH VXSSRUW IRU ERWK $OWHUD DQG ;LOLQ[ )LHOG 3URJUDPPDEOH *DWH $UUD\ V\VWHP GHYHORSPHQW )LQDOO\ D IXOO FRPSOHPHQW RI VRIWZDUH LQFOXGLQJ WKH 0HQWRU *UDSKLFV 'HVLJQ 7RROV DQG WKH 0LFURVRIW 9LVXDO 6WXGLR LV DYDLODEOH ZKLFK DOORZV VWXGHQWV WR VLPXODWH WKHLU GHVLJQV DQG GHYHORS QHZ KDUGZDUH DQG VRIWZDUH V\VWHPV 7KLV ODERUDWRU\ ZDV FUHDWHG WKURXJK D JHQHURXV JLIW IURP -RKQ $ -XUHQNR D 3LWW DOXPQXV DQG IULHQG RI WKH 8QLYHUVLW\ : 0 .HFN 5DSLG 3URWRW\SLQJ DQG 5HYHUVH (QJLQHHULQJ /DERUDWRU\ 7KH 'HSDUWPHQWV RI %LRHQJLQHHULQJ DQG ,QGXVWULDO (QJLQHHULQJ KDYH MRLQHG HIIRUWV LQ WKH FUHDWLRQ RI D VWDWH RI WKH DUW ODERUDWRU\ WKDW SURYLGHV VWXGHQWV ZLWK D XQLTXH KDQGV RQ H[SHULHQFHV LQ WKH GHYHORSPHQW DQG SURGXFWLRQ RI IXQFWLRQDO SURWRW\SHV WKURXJK WKH XWLOL]DWLRQ RI OHDGLQJ HGJH UDSLG SURWRW\SLQJ DQG UHYHUVH HQJLQHHULQJ WHFKQRORJLHV LQFOXGLQJ VWHUHROLWKRJUDSK\ IXVHG GHSRVLWLRQ PRGHOLQJ GLPHQVLRQDO SULQWLQJ DQG ODVHU VFDQQLQJ (QJLQHHULQJ VWXGHQWV DUH JLYHQ WKH RSSRUWXQLW\ WR EULQJ QHZ GHVLJQV DQG UHGHVLJQV WR UHDOLW\ WKURXJK WKH XWLOL]DWLRQ RI OHDGLQJ HGJH UDSLG SURWRW\SLQJ DQG UHYHUVH HQJLQHHULQJ KDUGZDUH DQG VRIWZDUH .H\VWRQH 0L[HG 7HFKQRORJ\ 0LFURV\VWHPV 'HVLJQ /DERUDWRU\ 7KH .H\VWRQH 0L[HG 7HFKQRORJ\ 0LFURV\VWHPV 'HVLJQ /DERUDWRU\ VXSSRUWV D KHWHURJHQHRXV QHWZRUN RI RYHU WZR GR]HQ FRPSXWLQJ SODWIRUPV LQFOXGLQJ :LQGRZV DQG /LQX[ ZRUNVWDWLRQV $ 5$,' ILOH VHUYHU VXSSRUWV WKH UHVHDUFK JURXS DQG VHYHUDO FRPSXWH VHUYHUV LQFOXGLQJ DQ ,%0 &HOO %URDGEDQG FRPSXWH VHUYHU WKDW DUH GHGLFDWHG WR 0LFUR DQG 1DQR 6\VWHPV &$' EDVHG SURMHFWV 'HVLJQ VRIWZDUH LQFOXGHV FRPPHUFLDO HOHFWURQLFV GHVLJQ WRROV IURP $OWHUD $50 &DGHQFH ,%0 0HQWRU 0LFUR0DJLF 6\QRSVLV 7DQQHU DQG ;LOLQ[ DQG $QDORJ GHVLJQ WRROV IURP 1HROLQHDU 7KH DYDLODEOH RSWLFDO V\VWHP GHVLJQ WRROV LQFOXGH 26/2 IRU OHQV GHVLJQ DQG LPDJLQJ DQG 56RIW IRU EHDP SURSDJDWLRQ DQG ILEHU QHWZRUNV 0LFUR PHFKDQLFDO &$' GHVLJQ LV VXSSRUWHG ZLWK SDFNDJHV

IURP $QV\V &DGHQFH DQG 7DQQHU $ QXPEHU RI XQLYHUVLW\ EDVHG WRROV DQG RWKHU XWLOLWLHV KDYH EHHQ GHYHORSHG DQG PDLQWDLQHG LQ KRXVH 7KHVH IDFLOLWLHV KDYH EHHQ VXFFHVVIXOO\ XVHG WR GHVLJQ DQG WHVW D QXPEHU RI HOHFWURQLF DQG RSWRHOHFWURQLF GHYLFHV DQG V\VWHPV 7KHVH KDYH EHHQ IDEULFDWHG E\ WKH 026,6 VHUYLFH XVLQJ PXOWLSOH &026 DQG *D$V IRXQGULHV 0,7 /LQFROQ /DERUDWRULHV ' ,& SURWRW\SLQJ IDFLOLW\ 760&’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’V ,QGXVWULDO (QJLQHHULQJ 'HSDUWPHQW ,W LV FRPSULVHG RI D V\QHUJLVWLF QHWZRUN RI ODERUDWRULHV HQFRPSDVVLQJ PDFKLQH WRROLQJ FRPSXWHU DLGHG GHVLJQ DQG PDQXIDFWXULQJ PHWURORJ\ PDWHULDOV WUDFNLQJ DQG KXPDQ LVVXHV 7KH 0$&’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’V KLJKO\ VXFFHVVIXO PDQXIDFWXULQJ RUJDQL]DWLRQV 'DYLG , &OHODQG 3URIHVVRU LQ ,QGXVWULDO (QJLQHHULQJ LV WKH &R 'LUHFWRU RI WKH 0$& DORQJ ZLWK 'U %RSD\D %LGDQGD

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

0DVFDUR &HQWHU IRU 6XVWDLQDEOH ,QQRYDWLRQ 0&6,

,Q WKURXJK IXQGLQJ IURP WKH +HLQ] (QGRZPHQWV WKH *HRUJH %HYLHU (VWDWH DQG -RKQ & 0DVFDUR &KDLUPDQ RI 0DVFDUR &RQVWUXFWLRQ &RPSDQ\ WKH 6ZDQVRQ 6FKRRO RI (QJLQHHULQJ HVWDEOLVKHG WKH 0DVFDUR &HQWHU IRU 6XVWDLQDEOH ,QQRYDWLRQ 0&6, DV D FHQWHU RI H[FHOOHQFH WKDW IRFXVHV RQ LQQRYDWLYH UHVHDUFK HGXFDWLRQ DQG RXWUHDFK WR HQDEOH PRUH VXVWDLQDEOH FRPPXQLWLHV 0&6,’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’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a QP ,Q 67(0 PRGH EULJKW ILHOG DQG GDUN ILHOG LPDJLQJ DQG WKH FROOHFWLRQ RI ('6 DQG ((/6 PDSV LV SRVVLEOH ZLWK WKH (PLVSHF 9LVLRQ V\VWHP ZKLFK FRQWUROV DOO

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icro/Bio Fluidics Laboratory is primarily devoted to (1) engineering and developing a variety of micro/bio fluidic sensors, actuator and integrated systems that enable us to handle a wide range of micro/bio objects with more direct access and to (2) studying science and engineering associated with them. In particular, most research activities are heavily involved with micro fabrications. Available equipment includes a high-power florescent microscope, a lowpower microscope, optical benches, a parylene coater, computers, data acquisition systems, highvoltage amplifiers, a conductivity meter, arbitrary waveform generators, MEMS device design software and so on. 0LFURPHFKDQLFV DQG 1DQR VFLHQFH /DERUDWRU\ This mechanical engineering laboratory is a modern facility with cutting-edge technology for the study of micromechanics and physics of micrometer and nanometer scaled structures and materials. The laboratory contains atomic force microscopes and a nano-indentation testing facility, which provide a capability of measuring load vs. displacement at scales of 10-9 Newton versus nanometer, nano-scaled adhesion, and micro-mechanical behavior for advanced materials including semiconductors and biosystems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

0LFURWHFK 0 PDQXDO SUREH VWDWLRQ $GGLWLRQDOO\ $JLOHQW ,& &$3 LQWHJUDWHG VRIWZDUH LV DYDLODEOH WR HQDEOH FRPSXWHU EDVHG FRQWURO RI LQVWUXPHQWDWLRQ FRPSXWDWLRQ RI H[WUDFWHG SDUDPHWHUV DQG H[WUDFWLRQ RI HTXLYDOHQW FLUFXLW PRGHOV 7DQQHU / (GLW 3URI VRIWZDUH LV XWLOL]HG IRU GHVLJQLQJ SKRWROLJKRJUDSKLF PDVN VHWV IRU QRYHO GHYLFH IDEULFDWLRQ DQG LW’V DOVR XWLOL]HG IRU 63,&( LQWHJUDWHG FLUFXLW GHVLJQ DQG SHUIRUPDQFH DVVHVVPHQW XVLQJ WKH GHULYHG HTXLYDOHQW FLUFXLW PRGHOV Mircosensor and Microactuator Laboratory With supports from federal funding agents, the current and future research activities conducted in the two Labs can be grouped in following closely related areas: 1) fabrication and property characterization of piezoelectric, pyroelectric and ferroelectric thin films and thick films; 2) on-chip integrated microsensors and microactuators that are based on piezoelectric AlN, ZnO and PZT thin film materials; 3) acoustic wave devices, including thin film bulk acoustic wave devices for RF and microwave frequency control application, and acoustic wave sensors; 4) piezoelectric and electrostrictive ceramics, and polymers such as PZT, PMN-PT, PVDF and copolymers, electro active elastomers, magnetostrictive materials, multiferroic materials, and other functional materials for transducers and biomedical applications; 5) Fabrication and characterization of semiconductor nanowires, nanoparticles, and multifunctional nanocomposites. The laboratories accommodate extensive fabrication and characterization capabilities for functional materials and devices. For more information about the two Labs, please visit Lab Web page: http://www.pitt.edu/~qiw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’V VWDWH RI WKH DUW )UDQN 0RVLHU /HDUQLQJ &HQWHU KDV EHHQ GHVLJQHG WR IDFLOLWDWH DFWLYH OHDUQLQJ WKURXJK D XQLTXH FODVVURRP GHVLJQ 7KH FRPSXWHU DQG DXGLR YLVXDO V\VWHPV LQ WKH /HDUQLQJ &HQWHU SHUPLW FRPSXWHU EDVHG ³KDQGV RQ´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’V &RPSXWHU 6XSSRUW DQG 6\VWHPV 'HVLJQ 'HSDUWPHQW

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

0RGDOO\ 7XQHGŠ ,PSXOVH +DPPHU Z IRUFH VHQVRU DQG WLSV WR OEI P9 OEI P9 1 RQH ' 0LQLDWXUH ,QVWUXPHQWHG ,PSXOVH +DPPHU Z IRUFH WLSV WR OEI 0LVFHOODQHRXV (TXLSPHQW RQH 1DWLRQDO ,QVWUXPHQW 3;, 4 FKDVVLV ZLWK DUELWUDU\ IXQFWLRQ JHQHUDWRU DQG PXOWLIXQFWLRQ 'DWD $FTXLVLWLRQ 6\VWHP RQH DFRXVWLF PLFURSKRQH $7 E WKUHH 3& UXQQLQJ XQGHU :LQGRZV ;3 DQG RQH UXQQLQJ XQGHU :LQGRZV 9LVWD RSHUDWLYH V\VWHPV

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he Orthopaedic Engineering Laboratory is collaboration between the Mechanical Engineering and Materials Science Department and the Department of Orthopaedic Surgery at the University of Pittsburgh. This lab performs computational simulation and experimental evaluation of surgical procedures, injury modeling and assessment of biomechanical functions. Other activities included the medical device development, tissues engineering, characterization of tissue properties and quantitative anatomical description. The goal of this lab is the advancement of othopaedic medicine through the application of engineering analysis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’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his mechanical engineering laboratory is dedicated to development, modeling, and experimental characterization of active systems at the micro (MEMS) and macro scales. The diverse range of projects typically blend the related fields of acoustics, noise control, hearing loss prevention, vibrations, structural-acoustic interaction, controls, and analog/digital signal processing. A 1,000 ft2 laboratory equipped with state of the art equipment is complemented with an ancillary 250m3 anechoic chamber facility. Past and current applications include biological modeling and control, analysis of novel composite structures, development of automated classification systems, and hearing loss prevention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’V DLP LV WR JDLQ YDOXDEOH LQVLJKWV LQWR VROXWLRQV WR FRPSOH[ GHFLVLRQ PDNLQJ SUREOHPV LQ XQFHUWDLQ HQYLURQPHQWV 7KH 60$& /DE LV SULPDULO\ IXQGHG WKURXJK JUDQWV IURP WKH 1DWLRQDO 6FLHQFH )RXQGDWLRQ 16) WKH 8 6 'HSDUWPHQW RI 'HIHQVH WKH 8 6 1XFOHDU 5HJXODWRU\ &RPPLVVLRQ WKH 'HSDUWPHQW RI 9HWHUDQV $IIDLUV DQG RWKHU JRYHUQPHQWDO DJHQFLHV &XUUHQW UHVHDUFK WKUXVWV LQFOXGH WKH SHUIRUPDQFH HYDOXDWLRQ RI ODUJH VFDOH VHQVRU QHWZRUNV GHJUDGDWLRQ EDVHG UHOLDELOLW\ PRGHOLQJ DQG

HYDOXDWLRQ GDWD GULYHQ DGDSWLYH PDLQWHQDQFH SODQQLQJ PRGHOV VSDUH SDUWV LQYHQWRU\ PRGHOLQJ DQG FRQWURO PXOWL VHUYHU UHWULDO TXHXHLQJ V\VWHPV PHGLFDO GHFLVLRQ PDNLQJ DSSOLFDWLRQV KHDOWKFDUH RSHUDWLRQV DQG VDWHOOLWH FRQVWHOODWLRQ PDLQWHQDQFH PRGHOLQJ DQG RSWLPL]DWLRQ

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

7KHUPDO 6FLHQFH DQG ,PDJLQJ /DERUDWRU\ The Thermal Science and Imaging Laboratory is equipped with advanced flow and heat transfer measurement facilities directed toward obtaining fundamental understanding and design strategies for advanced thermal control systems. Major equipment includes a subsonic wind tunnel, a particle imaging velocimetry, a computer-automated liquid crystal thermographic system, a UV-induced phosphor fluorescent thermometric imaging system, and a sublimationbased heat-mass analogous system. Specific projects currently underway include optimal endwall cooling, shaped-hole film cooling, innovative turbulator heat transfer enhancement, advanced concepts in trailing edge cooling, and instrumentation developments for unsteady thermal and pressure sensing.

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

9LEUDWLRQ DQG &RQWURO /DERUDWRU\ The Vibration and Control Laboratory is devoted to the study of smart structures and microsystems. The primary focus is on the use of smart materials in a variety of applications, including structural vibration control, microelectromechanical systems (including sensors, actuators, resonators, and filters), and energy harvesting. The laboratory is well equipped for experimental and analytical research. Equipment includes computers and data acquisition hardware for simulation and real-time control of dynamic electromechanical systems; a variety of modern transducers and instrumentation for sensing, actuation, and measurement such as dynamic signal analyzers, shakers, high voltage power supplies, and amplifiers, and a variety of

basic instrumentation and sensors; and a work center for constructing electronics and test rigs, with emphasis on piezoelectric systems.

:DWNLQV +DJJDUW 6WUXFWXUDO (QJLQHHULQJ /DERUDWRU\ 7KH :DWNLQV +DJJDUW 6WUXFWXUDO (QJLQHHULQJ /DERUDWRU\ LV WKH IDFLOLW\ DW WKH KHDUW RI WKH H[SHULPHQWDO VWUXFWXUDO HQJLQHHULQJ UHVHDUFK HIIRUWV DW WKH 8QLYHUVLW\ RI 3LWWVEXUJK 7KLV XQLTXH IDFLOLW\ ORFDWHG LQ WKH VXE EDVHPHQW RI %HQHGXP +DOO RQ WKH PDLQ FDPSXV RI WKH 8QLYHUVLW\ RI 3LWWVEXUJK 7KH /DE LV D KLJK ED\ WHVWLQJ IDFLOLW\ ’ ORQJ E\ ’ ZLGH E\ ’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

-RKQ $ 6ZDQVRQ ,QVWLWXWH IRU 7HFKQLFDO ([FHOOHQFH The John A. Swanson Center for Product Innovation is a Swanson School of Engineering initiative that consists of four state-of-the-art laboratories that serve as a focal point for product development research and education at the University. The SCPI has been configured to provide a one-stop shop for University researchers and manufacturing and bioengineering companies interested in developing innovative new products and processes. The center ties together four otherwise distinct laboratories that parallel the new product's development lifecycle of design, prototyping, and manufacturing. It includes the Design and Multimedia Laboratory, the W.M. Keck Rapid Prototyping and Reverse Engineering Laboratory, the Kresge Rapid Manufacturing Laboratory, and the Micro-Electro-Mechanical Systems (MEMS) Laboratory. These laboratories contain design workstations, reverse engineering equipment, rapid prototyping equipment (that allows the manufacturing of polymer-based prototypes), rapid manufacturing equipment (that will produce fully functional prototypes and soft tooling), and micro- and nano-scale design technology. -RKQ $ 6ZDQVRQ 0LFUR 1DQRWHFKQRORJ\ /DERUDWRU\ The Micro-Electro-Mechanical-Systems (MEMS) Laboratory is a newly established research and educational facility directed for design, fabrication, and performance characterization of various engineering systems in micro- and nano-scales. This laboratory is built upon the existing capabilities in precision manufacturing, smart materials and transducers, rapid prototyping, and semiconductor fabrication in the School of Engineering.

For the typical silicon-based MEMS processing, the school is already equipped with various workstations and laboratories for lithography, thin-film deposition, wet-etching, bonding, and device characterization. The Department of Mechanical Engineering and Materials Science Laboratory is currently expanding its research capabilities to both nano-scale devices and non-silicon-based thickfilm micro-devices. New fabrication equipment, such as thick-film deposition/patterning facilities, deep reactive ion etching facilities, and special equipment to develop MEMS devices for biological and medical applications, is being established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

$FDGHPLF 5HFRUG 7KLV VHFWLRQ FRQWDLQV DQ RYHUYLHZ RI HQUROOPHQW GLYHUVLW\ VWXGHQW DZDUGV DQG GHJUHHV FRQIHUUHG IRU WKH SDVW DFDGHPLF \HDU

6WXGHQW $ZDUGV DQG +RQRUV +2125 678'(176 )DOO 7RS 8QGHUJUDGXDWH +RQRUV 6WXGHQWV 6HQLRUV 6WHSKHQ & %DOPHUW 7KRPDV : &KDVH (ULF 0 &KRQWRV 1LFKRODV 0 &]DUQHN /DXUD $ 'HPSVH\ %ULDQ + +X -RKQ * .D]PLHUF]DN -XQLRUV -DFRE & %RH 'DQLHO 3 %URZH -XOLDQQH ' )DWXOD 5DQGDOO / *DPEOH *UDGXDWHV $OH[DQGHU - (DGOLQH :LOOLDP . (SWLQJ %ULDQ 0 )LQN -XOLH 6 .OHLQPDQ

$QGUHZ 7 .HQQ\ .DUO 5 .ROHFN 3KLOLS ' .RQLHF]Q\ 5XVVHOO & /XGZLJ 6WHSKDQLH ( 0RPLFK 7RGG 0 0R\OH 5\DQ 3 1LHPLF

-DFRE ' 6FKXOW] 6DPHHU 6 6KURII 7LPRWK\ 3 7DOORQ %R :DQJ $QQD . <RQH\

%URJDQ 1 *XHVW $QGUHZ 0 +HDG 0LFKDHO - .UDMFRYLF 0LFKDHO $ /HVNR

6WHYHQ * 6DFKV

'XDQH & /LWWOHWRQ -U %HQMDPLQ 6 0HULFOL %UDGOH\ + 0RUQHZHFN (ULF 6 5RZDQG

(PLO\ . 6PLWK 6WHSKHQ - =LHPDN

AKER SOLUTIONS SCHOLARSHIP, for meritorious students, to Justine L. Buchman and Erica C. Flinchbaugh. AMERICAN GEOPHYSICAL UNION (AGU) 2009 JOINT ASSEMBLY CANADA OUTSTANDING PAPER AWARD, to Tyler W. Davis. $0(5,&$1 +($57 $662&,$7,21 %$6,& 6&,(1&( 6(&21' 3/$&( 3267(5 $:$5' WR -RQDWKDQ $ .LUN $0(5,&$1 +($57 $662&,$7,21 )(//2:6+,3 WR -RQJ - .LP DQG $VKLVK $ 3DULNK

$0(5,&$1 62&,(7< )25 $57,),&,$/ ,17(51$/ 25*$16 )(//2:6+,3 WR &DUO $ -RKQVRQ $0(5,&$1 62&,(7< 2) &,9,/ (1*,1((56¶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for an outstanding engineering student, to Andy Abdel-Kader. &$51(*,( 6&,(1&( &(17(5 81,9(56,7< 3267 6(&21'$5< 678'(17 $:$5' WR 'RQQD - +DZRUWK

&(17(5 )25 7+( 1(85$/ %$6,6 2) &2*1,7,21 35('2&7,25$/ )(//2:6+,3 WR -DPHV $ +RNDQVRQ $76 &+(67(5 (1*,1((56 )(//2:6+,3 WR JUDGXDWH VWXGHQWV LQ FLYLO DQG HQYLURQPHQWDO HQJLQHHULQJ WR 'HUHN 5 0LWFK DQG 0RQLFD & 5RWKHUPHO

6+,2 0,1* &+,$1* 81'(5*5$'8$7( 6&+2/$56+,3 ,1 &+(0,&$/ $1' 3(752/(80 (1*,1((5,1* WR -DQHOOH 5 $GDPV %HQMDPLQ / &DUOVRQ -XOLDQQH ' )DWXOD ,EUDKLP *KULVVL 1DWKDQ $ -DFNVRQ 7LPRWK\ - .HDQH 0LFKDHO $ 5DPHOOD DQG 0LFKDHODQJHOR ' 7DERQH *(25*( + &/$33 6&+2/$56+,3 IRU DFDGHPLF PHULW WR /DXUD $ 'HPSVH\ 5RVD ( *ROGVWHLQ 6WHSKHQ 6 +ROODQG -HQQLIHU & +XOLQJ -HVVLFD & +X\QK DQG 3KLOLS 7 =XFNHU &20387$7,21$/ 1(8526&,(1&( 5(6($5&+ )(//2: WR 1LFKRODV 0 7KRPDV :,//,$0 5 &22. 6&+2/$56+,3 WR D GHVHUYLQJ VWXGHQW LQ FKHPLFDO DQG SHWUROHXP HQJLQHHULQJ WR -HQQLIHU ( .D\ )5$1. ( &267$1=2 6&+2/$56+,3 IRU DFDGHPLF PHULW WR 7UHYRU - 6WDDE -$0(6 &28// 0(025,$/ 6&+2/$56+,3 IRU DQ RXWVWDQGLQJ JUDGXDWH VWXGHQW LQ WKH FKHPLFDO DQG SHWUROHXP HQJLQHHULQJ GHSDUWPHQW WR /LDQJOLDQJ &DR +$59(< / &833 -5 6&+2/$56+,3 IRU VWXGHQWV LQ PHFKDQLFDO HQJLQHHULQJ WR 'ZD\QH 3 %ODQN DQG $OH[DQGHU - +DPLOWRQ $/)5(' 0 '$1=,//, 6&+2/$56+,3 IRU PHULWRULRXV DFKLHYHPHQW LQ HQJLQHHULQJ WR 'RXJODV $ 1HOVRQ -$0(6 $1' 0$5*$5(7 '(*1$1 6&+2/$56+,3 IRU XQGHUJUDGXDWH VWXGHQWV LQ FKHPLFDO DQG SHWUROHXP HQJLQHHULQJ WR $VKOH\ 1 &DSFR $XVWLQ ' +HDOH\ DQG 1LFROH +RHKQ 5$/3+ : '(1,6(9,&= 0(025,$/ 6&+2/$56+,3 IRU DQ RXWVWDQGLQJ HOHFWULFDO HQJLQHHULQJ VWXGHQW WR &KDUOHV $ 6DXQGHUV $57+85 & ',&. (1'2:(' 6&+2/$56+,3 IRU KLJK DFKLHYLQJ VWXGHQWV LQ HQJLQHHULQJ WR :D\QH ' 'DLOH\ 'DYLG % 'JLHQ $GDP / 'REVRQ 5HEHFFD / (YHUHWW /DXUD - *D\ (YDQ 7 *UDXSPDQQ %ULDQ + +X -XVWLQ $ .LUFKHU 5\DQ 0 1RODQ $QG\ . 2OVHQ 5HEHFFD : 7HUU\ DQG %HQMDPLQ 0 =HOGHV 'L3$2/2 (1'2:(' 6&+2/$56+,3 ,1 &,9,/ (1*,1((5,1* WR D PHULWRULRXV FLYLO HQJLQHHULQJ VWXGHQW WR 0LFKDHO - 0LVK 6$08(/ - ($6721 -5 0(025,$/ 6&+2/$56+,3 IRU RXWVWDQGLQJ XSSHUFODVVPHQ LQ HOHFWULFDO HQJLQHHULQJ WR 7D\ORU $ %LVVHOO 'DYLG & 2DNOH\ DQG -XVWLQ 3 2OLDQR (1*,1((5,1* 0,125,7< 6&+2/$56+,3 IRU DFKLHYHPHQWV DQG OHDGHUVKLS LQ HQJLQHHULQJ WR -DUHG - 0F&ODLQ THE WILSON J. AND KAREN A. FARMERIE FOUNDATION SCHOLARSHIP, to undergraduate students in mechanical engineering, to Jonathan E. Dumm and Bridget M. Endler. )(66(1'(1 75277 6&+2/$56+,3 IRU RXWVWDQGLQJ VFKRODVWLF PHULW DQG DFWLYLWLHV WR 7LPRWK\ 0 *DOOR -XVWLQ 0 *UD\ &KULVWRSKHU ( +HQQH -DFRE 1 .HPSHU $QGUHZ $ .XORZ 6HDQ & 2¶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

-$0(6 -5 $1' :,//,$0 *$5'1(5 6&+2/$56+,3 IRU DQ RXWVWDQGLQJ VWXGHQW LQ HQJLQHHULQJ WR .ULVWHQ 5 *RWWURQ $/%(57 ( $1' 2/*$ *$=$/,( (1'2:(' 6&+2/$56+,3 IRU KLJK DFDGHPLF DFKLHYHPHQW LQ HQJLQHHULQJ DW WKH XQGHUJUDGXDWH OHYHO WR -HIIHUVRQ * $UJ\URV 9LQFHQW 3 '¶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

.25($1 62&,(7< )25 0$*1(7,& 5(621$1&( ,1 0(',&,1( 7+ 6&,(17,),& 0((7,1* %5$&&2 <281* ,19(67,*$725 $:$5' WR 6XQJ +RQJ 3DUN -26(3+ ) /$*1(6( -5 )(//2:6+,3 ,1 (19,5210(17$/ (1*,1((5,1* WR :LOODP - %DUU .$5/ + /(:,6 ,03$&7 $/801, (1'2:(' )81' WR 'HLWULFN ) )UDQNOLQ

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

-2+1 & 3$33 (1'2:(' 6&+2/$56+,3 IRU TXDOLILHG VWXGHQWV IURP 5LYHUYLHZ +LJK 6FKRRO 2DNPRQW 3D WR -RQDWKDQ & 'UD\ -XOLDQQH ' )DWXOD 2OLYHU & *UHHQ 0HJDQ ( *XQVDXOXV (PPD 0 +DUEHUW -RKQ . +HUPDQQ $OO\VRQ - /RQJDUGQHU -HVVLFD ( 1HYLQV 0DWWKHZ * 3HULFK 0LFKDHO $ 5DPHOOD 0LFKDHO ' 6KHVNR .HYLQ 5 7DPP DQG -RQDWKDQ $ 9DULDQ 3$5.(5 +$11,)$1 &25325$7,21 6&+2/$56+,3 IRU D PHULWRULRXV LQ VWDWH LQGXVWULDO RU PHFKDQLFDO HQJLQHHULQJ VWXGHQW WR $QWKRQ\ 1 0DFKL ;

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¶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for a high achieving minority student in engineering, to Patrice N. DaValt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

&RRN 0\RVLWH &RUQD .RNRVLQJ &ROXPEXV 2+ &UDQH &RPSDQ\ &UD\ROD &UXFLEOH &RPSDFWLRQ 0HWDOV ,QF &UXFLEOH 5HVHDUFK & 6 'DYLGVRQ <RUN 3D &XUWLVV :ULJKW (0' 'DQDKHU &RUSRUDWLRQ 'HOWD $LUSRUW &RQVXOWDQWV 9$ 'LFN &RUSRUDWLRQ 'LFN¶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¶'RQQHOO &RQVXOWLQJ 2+0 /DEV 2P1RYD 6ROXWLRQV $NURQ 2KLR 3 - 'LFN &RUSRUDWLRQ 3$ 'HSW RI 7UDQVSRUWDWLRQ %ULGJHYLOOH 3$ 'HSW RI 7UDQVSRUWDWLRQ .LQJ RI 3UXVVLD 3HSFR +ROGLQJV 1HZDUN '( 3LWWVEXUJK :DWHU 6HZHU $XWKRULW\ 3.0- 7HFKQLFDO 6HUYLFHV 3RZHU &RQVXOWDQWV 4LQHWL4 1$ 5DLO 3RZHU (ULH 3D

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

1RQH &(57,),&$7( )HVVHQGHQ +RQRUV LQ (QJLQHHULQJ -XOLD 0 2¶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± %$&+(/25 2) 6&,(1&( %LRHQJLQHHULQJ $QXP $]L] 6WHSKHQ & %DOPHUW :LOOLDP 5REHUW %DURQH 6WHYHQ 0LFKDHO %RURQ\DN 0RUJDQ 6X]DQQH &DUSHQWHU 7KRPDV &KDVH 7LPRWK\ -RVHSK &RQQRUV &KULVWRSKHU $QWKRQ\ 'H6DQFWLV (ULF -DPHV (VWDGW

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

-XQKDQJ /XR

Swanson School of Engineering Faculty Headcount* Fall 2009 Tenure Stream

Tenured

Non-Tenured

Joint Appts.**

Total

Bio

13

7

1

21

77

ChE

13

3

0

16

2

CEE

10

6

4

20

0

EE

14

4

3

21

0

IE

7

3

2

12

0

21

7

0

28

6

78

30

10

118

85

MEMS

TOTAL

*Excludes Research, Visiting and Part-Time Faculty **Joint appointments are part-time

Office of Administration 8/11/10

)DFXOW\ 3URILOHV

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¶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¶V SULPDU\ DUHD RI UHVHDUFK LV LQ PDVV VSHFWURPHWULF DQDO\VLV RI SKRVSKROLSLGV VSKLQJROLSLGV DQG OLSLG R[LGDWLRQ SURGXFWV RI FHOOV DQG WKHLU UROH LQ FHOO VLJQDOLQJ DSRSWRVLV DQG DXWRSKDJ\ ,Q DGGLWLRQ 'U $PRVFDWR¶V UHVHDUFK DOVR LQFOXGHV D SURWHRPLF DQDO\VLV RI FHOOV DQG WLVVXHV DQG WKH DSSOLFDWLRQ RI PDVV VSHFWURPHWULF LPDJLQJ WHFKQLTXHV WR D YDULHW\ RI ELRORJLFDO TXHVWLRQV ,RQ WUDS WULSOH TXDGUXSROH 4 7RI *& 06 DQG 0$/', PDVV VSHFWURPHWULF SODWIRUPV DUH XWLOL]HG IRU DQDO\VLV *HUDUG $SRGDFD $VVRFLDWH 3URIHVVRU 0HGLFLQH &HOO %LRORJ\ 3K\VLRORJ\ DQG %LRHQJLQHHULQJ 3K' ([SHULPHQWDO 3DWKRORJ\ 8QLYHUVLW\ RI &DOLIRUQLD DW 6DQ )UDQFLVFR 'U $SRGDFD¶V UHVHDUFK LQWHUHVWV LQFOXGH GHILQLQJ KRZ 5KR IDPLO\ *73DVHV UHJXODWH HQGRF\WLF WUDIILF LQ SRODUL]HG HSLWKHOLDO FHOOV DQG XQGHUVWDQGLQJ KRZ WKH FHOOV OLQLQJ WKH XULQDU\ EODGGHU VHQVH DQG UHVSRQG WR PHFKDQLFDO VWLPXOL VXFK DV FKDQJHV LQ K\GURVWDWLF SUHVVXUH

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¶V 'LVWLQJXLVKHG 5HVHDUFK $ZDUG 'U %DG\ODN¶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¶V GLVHDVH EUDLQ WXPRU SHUIXVLRQ PXOWLSOH VFOHURVLV VSLQH H\H DQG OLYHU 'U %DH¶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¶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¶V FXUUHQW UHVHDUFK LQFOXGHV ELRJHQLF PLQHUDOL]HG PDWHULDOV²VXFK DV WKRVH IRXQG LQ VKHOOV ERQHV DQG WHHWK DUH SURGXFHG E\ RUJDQLVPV UDQJLQJ IURP EDFWHULD WR KLJKHU SODQWV DQG PDPPDOV 7KH PDLQ UROH RI WKHVH ʊ ELRPLQHUDOV” LV PHFKDQLFDO UHLQIRUFHPHQW RI WLVVXHV DQG RUJDQV )HUQDQGR ( %RDGD $VVRFLDWH 3URIHVVRU RI 5DGLRORJ\ DQG %LRHQJLQHHULQJ 3K' 3K\VLFV &DVH :HVWHUQ 5HVHUYH 8QLYHUVLW\ 'U %RDGD¶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¶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¶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p &KDP $VVRFLDWH 3URIHVVRU 'HSDUWPHQW RI %LRHQJLQHHULQJ 06 3K\VLFV 0F*LOO 8QLYHUVLW\ 3K' %LRHQJLQHHULQJ 8QLYHUVLW\ RI 3LWWVEXUJK 'U &KDP¶V UHVHDUFK LQWHUHVWV LQFOXGH WKH SRVWXUDO DQG ELRPHFKDQLFDO DQDO\VLV RI KXPDQ PRYHPHQW DQG RFFXSDWLRQDO WDVNV WRZDUGV WKH SUHYHQWLRQ RI PXVFXORVNHOHWDO LQMXULHV 6KH LV SDUWLFXODUO\ LQWHUHVWHG LQ XQGHUVWDQGLQJ WKH KXPDQ IDFWRUV ELRPHFKDQLFDO SRVWXUDO FRQWURO DQG QHXURORJLFDO WKDW SUHFLSLWDWH IDOOV GXULQJ JDLW %ULDQ ( &KDSPDQ $VVLVWDQW 3URIHVVRU RI 5DGLRORJ\ DQG %LRHQJLQHHULQJ 3K' 0HGLFDO ,QIRUPDWLFV 8QLYHUVLW\ RI 8WDK 'U &KDSPDQ¶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¶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¶V UHVHDUFK LQWHUHVWV IRFXV RQ ERQH WLVVXH HQJLQHHULQJ DQG UHQHZDEOH HQHUJ\ VFLHQFH ,Q WKH ILHOG RI ERQH WLVVXH HQJLQHHULQJ KLV UHVHDUFK LV IRFXVHG RQ DOOR\ GHVLJQ RI ELRGHJUDGDEOH PHWDOOLF ELRPDWHULDOV DV ZHOO DV V\QWKHVLV RI WKH GHVLUHG DOOR\ XVLQJ GLIIHUHQW HTXLOLEULXP DQG QRQ HTXLOLEULXP SURFHVVLQJ WHFKQLTXHV ZLWK QRYHO PLFURVWUXFWXUH IRU RUWKRSHGLF DQG FUDQLRIDFLDO DSSOLFDWLRQV 2Q WKH RWKHU KDQG 'U 'DWWD¶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¶V UHVHDUFK LQWHJUDWHV FHOO ELRORJ\ RI DGKHVLRQ DQG FHOO PRWLOLW\ ZLWK WLVVXH DUFKLWHFWXUH DQG PHFKDQLFV LQ RUGHU WR XQGHUVWDQG WKH UROH RI PHFKDQLFV LQ PRUSKRJHQHVLV KRZ IRUFHV DUH SDWWHUQHG JHQHUDWHG DQG WUDQVPLWWHG WR EULQJ DERXW IRUPDWLRQ RI WLVVXHV LQ WKH HDUO\ GHYHORSLQJ HPEU\R 'U 'DYLGVRQ KDV SLRQHHUHG WHFKQLTXHV XVLQJ PLFURVXUJHU\ KLJK UHVROXWLRQ WLPH ODSVH FRQIRFDO PLFURVFRS\ DQG D YDULHW\ RI ELRPHFKDQLFDO WHVW DSSDUDWXV WR REVHUYH DQG PHDVXUH FHOOV DQG

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¶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

7KRPDV 5 )ULEHUJ 3URIHVVRU RI 2SKWKDOPRORJ\ DQG %LRHQJLQHHULQJ 'LUHFWRU RI 5HWLQD 6HUYLFH 0' 8QLYHUVLW\ RI 0LQQHVRWD 5HVHDUFK LQWHUHVWV DUH LQ WKH DUHDV RI GLDEHWLF UHWLQRSDWK\ PDFXODU GHJHQHUDWLRQ UHWLQDO GHWDFKPHQW DQG UHWLQDO YHLQ RFFOXVLRQ -RVHSK 0 )XUPDQ 3URIHVVRU 2WRODU\QJRORJ\ 1HXURORJ\ %LRHQJLQHHULQJ DQG 3K\VLFDO 7KHUDS\ 3K' %LRHQJLQHHULQJ 8QLYHUVLW\ RI 3HQQV\OYDQLD 0' 8QLYHUVLW\ RI 3HQQV\OYDQLD 'LUHFWRU 'LYLVLRQ RI %DODQFH 'LVRUGHUV 7KH (\H (DU ,QVWLWXWH $V D PHPEHU RI WKH *UDGXDWH )DFXOW\ DQG IRUPHU $VVLVWDQW 'HDQ IRU WKH 0' 3K' 3URJUDP DW WKH 8QLYHUVLW\ RI 3LWWVEXUJK 6FKRRO RI 0HGLFLQH &DUQHJLH 0HOORQ 8QLYHUVLW\ 'U )XUPDQ KDV D ORQJ KLVWRU\ RI PHQWRULQJ GHYHORSLQJ SK\VLFLDQ VFLHQWLVWV 'U )XUPDQ¶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¶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|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¶V SULPDU\ UHVHDUFK LQWHUHVW LV WKH GHYHORSPHQW RI UHJHQHUDWLYH PHGLFLQH DSSURDFKHV IRU WUHDWPHQW RI LQMXULHV DQG GLVHDVHV RI WKH UHVSLUDWRU\ V\VWHP SDUWLFXODUO\ WKH WUDFKHD DQG OXQJV 'U *LOEHUW LV DOVR LQYROYHG LQ WKH GHYHORSPHQW WLVVXH HQJLQHHUHG VWUDWHJLHV IRU WUHDWPHQW RI FRQJHQLWDO KHDUW GHIHFWV +LV UHVHDUFK JHQHUDOO\ FRYHUV WKH DUHDV RI ELRORJLF VFDIIROGV DQG H[WUDFHOOXODU PDWUL[ ELRORJ\ FHOO PHFKDQRELRORJ\ DQG VRIW WLVVXH ELRPHFKDQLFV

5REHUW - *RLW] $VVRFLDWH 3URIHVVRU RI 2UWKRSDHGLF 6XUJHU\ DQG %LRHQJLQHHULQJ 0' -RKQV +RSNLQV 8QLYHUVLW\ 6FKRRO RI 0HGLFLQH 'U *RLW]¶ UHVHDUFK IRFXVHV RQ RUWKRSDHGLF VXUJHU\ XSSHU H[WUHPLW\ ELRPHFKDQLFV DQG FRPSUHVVLYH QHXURSDWKLHV $QJHOD *URQHQERUQ 3URIHVVRU RI 3KDUPDFRORJ\ DQG %LRHQJLQHHULQJ )RXQGLQJ &KDLU RI WKH 'HSDUWPHQW RI 6WUXFWXUDO %LRORJ\ DW WKH 8QLYHUVLW\ RI 3LWWVEXUJK 3K' 2UJDQLF &KHPLVWU\ 8QLYHUVLW\ RI &RORJQH &RORJQH *HUPDQ\ 'U *URQHQERUQ LV RQH RI WKH ZRUOG¶V OHDGLQJ VWUXFWXUDO ELRORJLVWV $UHDV RI LQWHUHVW 6WUXFWXUDO ELRORJ\ RI SURWHLQV DQG QXFOHLF DFLGV VWUXFWXUH UHFRJQLWLRQ ELQGLQJ DQG IXQFWLRQ +HU ODERUDWRU\ FRPELQHV 105 VSHFWURVFRS\ ZLWK %LRSK\VLFV %LRFKHPLVWU\ DQG &KHPLVWU\ WR LQYHVWLJDWH FHOOXODU SURFHVVHV DW WKH PROHFXODU DQG DWRPLF OHYHOV LQ UHODWLRQ WR KXPDQ GLVHDVH 4LXKRQJ +H $VVLVWDQW 3URIHVVRU RI 5DGLRORJ\ DQG %LRHQJLQHHULQJ 3K' &KHPLVWU\ 8QLYHUVLW\ RI 1RUWK &DUROLQD &KDSHO +LOO 'U +H¶V UHVHDUFK IRFXVHV RQ PDJQHWLF UHVRQDQFH VSHFWURVFRSLF LPDJLQJ RI FDQFHU 'DYLG +RVWOHU 5HVHDUFK $VVLVWDQW 3URIHVVRU RI (PHUJHQF\ 0HGLFLQH 'LUHFWRU (PHUJHQF\ UHVSRQGHU +XPDQ 3HUIRUPDQFH /DE 3K' 2KLR 8QLYHUVLW\ 'U +RVWOHU¶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¶V UHVHDUFK LQWHUHVWV LQFOXGH JHQH WKHUDS\ DQG WLVVXH HQJLQHHULQJ EDVHG RQ PXVFOH GHULYHG VWHP FHOOV WR LPSURYH WLVVXH UHJHQHUDWLRQ 7LQ .DQ +XQJ 3URIHVVRU RI %LRHQJLQHHULQJ DQG 3URIHVVRU RI &LYLO DQG (QYLURQPHQWDO (QJLQHHULQJ 3K' 0HFKDQLFV DQG +\GUDXOLFV 8QLYHUVLW\ RI ,RZD 'U +XQJ¶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¶V UHVHDUFK DFWLYLWLHV KDYH PDLQO\ IRFXVHG RQ WKH HOHFWURPDJQHWLF ILHOGV LQWHUDFWLRQV ZLWK ELRORJLFDO WLVVXHV RI XOWUDKLJK ILHOG KXPDQ PDJQHWLF UHVRQDQFH LPDJLQJ 05, DQG ZLUHOHVV ELRORJLFDO VHQVRU DSSOLFDWLRQV 8VLQJ FRPSXWDWLRQDO HOHFWURPDJQHWLFV DQG HOHFWURPDJQHWLF ILHOG WKHRU\ 'U ,EUDKLP¶V UHVHDUFK

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¶V UHVHDUFK LQYROYHV WKH GHYHORSPHQW RI PXOWL PRGDO IXQFWLRQDO LPDJLQJ UHVHDUFK LQ WKH &HQWHU IRU 8OWUDVRXQG 0ROHFXODU ,PDJLQJ DQG 7KHUDSHXWLFV KLJK UHVROXWLRQ ' XOWUDVRXQG HODVWLFLW\ LPDJLQJ XOWUDVRXQG LQGXFHG WKHUPDO VWUDLQ LPDJLQJ SKRWRDFRXVWLF PROHFXODU LPDJLQJ

-XGLWK .OHLQ 6HHWKDUDPDQ $VVRFLDWH 3URIHVVRU RI 6WUXFWXUDO %LRORJ\ 3KDUPDFRORJ\ DQG %LRHQJLQHHULQJ 3K' %LRORJLFDO &KHPLVWU\ 0DVVDFKXVHWWV ,QVWLWXWH RI 7HFKQRORJ\ 'U .OHLQ 6HHWKDUDPDQ¶V UHVHDUFK LQYROYHV GHULYLQJ K\SRWKHVHV RQ WKH UHODWLRQVKLS EHWZHHQ SURWHLQ VHTXHQFHV DQG WKHLU VWUXFWXUH G\QDPLFV DQG IXQFWLRQ ZLWK SDUWLFXODU HPSKDVLV RQ PHPEUDQH SURWHLQV 3UDVKDQW .XPWD (GZDUG 5 :HLGOHLQ 3URIHVVRU RI (QJLQHHULQJ 3K' 0DWHULDOV 6FLHQFH DQG (QJLQHHULQJ 8QLYHUVLW\ RI $UL]RQD 'U .XPWD¶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¶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¶V +RVSLWDO RI 830& 0' 1HUYH DQG 0XVFOH %LRORJLFDO 5HVHDUFK 6HFRQG 0LOLWDU\ 0HGLFDO 8QLYHUVLW\ 6KDQJKDL &KLQD 3K' VDPH XQLYHUVLW\ DV 0' 'U /L¶V UHVHDUFK LV LQYROYHG ZLWK GHYHORSLQJ QRYHO SURMHFWV ZKLFK UHODWH WR WKH PXVFXORVNHOHWDO V\VWHP E\ XVLQJ XSGDWHG PROHFXODU ELRORJ\ WHFKQLTXHV +H LV LQYHVWLJDWLQJ WKH VLJQDOLQJ SURFHVV RI GHGLIIHUHQWLDWHG VNHOHWDO PXVFOH WKHUHE\ REWDLQLQJ D SRSXODWLRQ RI PXOWLSRWHQW SURJHQLWRU FHOOV ZKLFK PD\ KHOS WR RYHUFRPH WKH H[LVWLQJ OLPLWDWLRQV RI VWHP FHOO WKHUDS\ +H LV DOVR LQWHUHVWHG LQ GLVFRYHULQJ WKH PHFKDQLVPV EHKLQG ILEURVLV IRUPDWLRQ LQ WKH PXVFXORVNHOHWDO V\VWHP DQG WKH SRWHQWLDO WKHUDSHXWLF DSSURDFKHV 6WHYHQ /LWWOH $VVLVWDQW 3URIHVVRU DQG %LFHQWHQQLDO $OXPQL )DFXOW\ )HOORZ &KHPLFDO (QJLQHHULQJ %LRHQJLQHHULQJ DQG ,PPXQRORJ\ 3K' &KHPLFDO (QJLQHHULQJ 0,7 'U /LWWOH FRPSOHWHG KLV SRVWGRFWRUDO UHVHDUFK LQ %LRHQJLQHHULQJ IURP 0,7 LQ 'U /LWWOH V UHVHDUFK LQWHUHVWV LQFOXGH FRQWUROOHG GUXJ GHOLYHU\ ELRPDWHULDO GHVLJQ DQG ELRPLPHWLFV 6SHFLILFDOO\ 'U /LWWOH KDV DFWLYH UHVHDUFK SURJUDPV LQ ELRPLPHWLF GHOLYHU\ IRU UHJHQHUDWLYH PHGLFLQH DV ZHOO DV LPPXQRWKHUDSHXWLFV

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¶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ssociate Research Professor, Department of Mechanical Engineering and Materials Science and Bioengineering. PhD (Applied Mechanics), University of Michigan, 1990. Director, Orthopaedic Biomechanics Laboratory, Allegheny General Hospital. The Biomechanics Laboratory broadly supports all areas of orthopaedic surgical intervention. Current topics of research include investigations of the mechanical behavior of all structures in the human elbow and the relationship of carpal – metacarpal arthroplasty to radial and ulnar deviation strength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¶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¶V ODERUDWRU\ LV WR GHYHORS VSLQDO FRUG UHSDLU VWUDWHJLHV IRU WUDQVODWLRQ LQWR WKH FOLQLF -RKQ ) 3DW]HU ,, $VVRFLDWH 3URIHVVRU RI %LRHQJLQHHULQJ &KHPLFDO (QJLQHHULQJ DQG 6XUJHU\ 3K' &KHPLFDO (QJLQHHULQJ )OXLG 0HFKDQLFV 6WDQIRUG 8QLYHUVLW\ 'U 3DW]HU V UHVHDUFK LQWHUHVWV DUH LQ WKH DSSOLFDWLRQ RI WUDQVSRUW SKHQRPHQD DQG UHDFWLRQ HQJLQHHULQJ LQ VXSSRUW RI ELRPHGLFDO ELRDUWLILFLDO RUJDQ GHYHORSPHQW DQG

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¶V UHVHDUFK LQWHUHVWV DUH IRFXVHG RQ XVLQJ 105 DQG 05, WHFKQRORJ\ VSHFLDOL]LQJ LQ WKH PROHFXODU HYHQWV XQGHUO\LQJ QRUPDO EUDLQ GHYHORSPHQW DQG DJLQJ DQG KRZ WKHVH HYHQWV DUH DOWHUHG LQ GLVHDVHV VXFK $O]KHLPHU¶V DXWLVP VFKL]RSKUHQLD DQG PDMRU GHSUHVVLYH LOOQHVV +H DOVR LV LQYHVWLJDWLQJ WKH PROHFXODU VLPLODULWLHV DQG GLIIHUHQFHV RI GHPHQWLD LQ $O]KHLPHU¶V DOFRKROLFV DQG VFKL]RSKUHQLF VXEMHFWV 7KHVH VWXGLHV DUH GHVLJQHG WR LQYHVWLJDWH WKH PROHFXODU VSHFLILFLW\ RI WKH ILQGLQJV $Q LPDJLQJ PROHFXOH KDV EHHQ GHVLJQHG E\ 'U 3HWWHJUHZ ZKLFK ZLOO LPDJH WKH HDUOLHVW PROHFXODU DOWHUDWLRQV WKDW RFFXUV LQ $O]KHLPHU GLVHDVH 7KLV 05, EDVHG ELRPDUNHU ZLOO DOORZ WKH GHWHFWLRQ RI PROHFXODU FKDQJHV LQ $O]KHLPHU¶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ʊ, I D 6WDUILVK &DQ JURZ DQG $UP :K\ &DQ¶W ,?” 7KLV SURMHFW H[WHQGV 5RVD /\QQ¶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¶V ODERUDWRU\ HIIRUWV DUH GLUHFWHG WRZDUGV RULJLQDO VWXGLHV RQ WKH PROHFXODU DQG FHOOXODU ELRORJ\ RI OXQJ 7R GDWH WKLV ZRUN KDV IRFXVHG SULPDULO\ RQ WKH UROH RI R[LGDQWV DQG QLWULF R[LGH LQ DIIHFWLQJ SXOPRQDU\ HQGRWKHOLDO DQG YDVFXODU VPRRWK PXVFOH FHOO IXQFWLRQ ,VRODWHG SULPDU\ FHOO FXOWXUHV JHQHWLFDOO\ PRGLILHG PXULQH PRGHOV DQG VRPDWLF JHQH WUDQVIHU WR OXQJ KDYH EHHQ XVHG DV PRGHO V\VWHPV WR

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¶V UHVHDUFK IRFXVHV RQ PXVFXORVNHOHWDO LPDJLQJ ELRPHFKDQLFV PRGHOLQJ DQG MRLQW UHSODFHPHQW 3DUWKD 5R\ $VVRFLDWH 3URIHVVRU RI %LRHQJLQHHULQJ DQG 3DWKRORJ\ 3K' %LRPHGLFDO (QJLQHHULQJ 8QLYHUVLW\ RI 7H[DV 6RXWKZHVWHUQ 0HGLFDO &HQWHU 3RVWGRFWRUDO IHOORZVKLSV LQ &HOO %LRORJ\ DW +DUYDUG 0HGLFDO 6FKRRO DQG WKH 8QLYHUVLW\ RI 1RUWK &DUROLQD DW &KDSHO +LOO 'U 5R\¶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¶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¶ RYHUDOO UHVHDUFK IRFXV LV FKDUDFWHUL]DWLRQ DQG VLPXODWLRQ RI WKH

VWUXFWXUH PHFKDQLFDO SURSHUWLHV RI QDWLYH DQG HQJLQHHUHG VRIW WLVVXHV ZLWK D IRFXV RQ WLVVXHV RI WKH FDUGLRYDVFXODU DQG XURORJLFDO V\VWHPV ,Q SDUWLFXODU 'U 6DFNV KDV IRFXVHG RQ WKH PHFKDQLFDO EHKDYLRU DQG IXQFWLRQ RI WKH QDWLYH DRUWLF DQG PLWUDO KHDUW YDOYHV LQFOXGLQJ WKH GHYHORSPHQW RI WKH ILUVW FRQVWLWXWLYH VWUHVV VWUDLQ PRGHOV IRU WKHVH WLVVXHV XVLQJ D VWUXFWXUDO DSSURDFK 'U 6DFNV LV DOVR DFWLYH LQ WKH ELRPHFKDQLFV RI HQJLQHHUHG WLVVXHV DQG LQ SDUWLFXODU XQGHUVWDQGLQJ WKH LQ YLWUR DQG LQ YLYR UHPRGHOLQJ SURFHVVHV IURP D IXQFWLRQDO ELRPHFKDQLFDO SHUVSHFWLYH 7R DFTXLUH WKH QHFHVVDU\ FULWLFDO H[SHULPHQWDO GDWD 'U 6DFNV¶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¶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

-RHO 6 6FKXPDQ (\H DQG (DU )RXQGDWLRQ 3URIHVVRU DQG &KDLU RI 2SKWKDOPRORJ\ 3URIHVVRU RI %LRHQJLQHHULQJ DQG 'LUHFWRU 830& (\H &HQWHU 0' 0RXQW 6LQDL 6FKRRO RI 0HGLFLQH 2SKWKDOPRORJ\ 5HVLGHQF\ 0HGLFDO &ROOHJH RI 9LUJLQLD *ODXFRPD )HOORZVKLS +DUYDUG 0HGLFDO 6FKRRO 0DVVDFKXVHWWV (\H DQG (DU ,QILUPDU\ 'U 6FKXPDQ LV DQ LQYHQWRU RI RSWLFDO FRKHUHQFH WRPRJUDSK\ WKH PRVW UDSLGO\ DGRSWHG WHFKQRORJ\ LQ RSKWKDOPRORJ\ 'U 6FKXPDQ¶V UHVHDUFK LQWHUHVWV LQFOXGH WHFKQRORJ\ GHYHORSPHQW LPDJLQJ RI WKH H\H ODVHU WLVVXH LQWHUDFWLRQV DTXHRXV RXWIORZ DQG FOLQLFDO SKDUPDFRORJ\ $QGUHZ % 6FKZDUW] 3URIHVVRU RI 1HXURELRORJ\ DQG %LRHQJLQHHULQJ 'LUHFWRU RI WKH 0RWRUODE DW 7KH 0F*RZDQ ,QVWLWXWH IRU 5HJHQHUDWLYH 0HGLFLQH 3K' 3K\VLRORJ\ 8QLYHUVLW\ RI 0LQQHVRWD 'U 6FKZDUW]¶ UHVHDUFK LV FHQWHUHG RQ WZR DVSHFWV RI PRWRU FRQWURO FHUHEUDO PHFKDQLVPV RI YROLWLRQDO DUP PRYHPHQW DQG FRUWLFDO FRQWURO RI QHXUDO SURVWKHWLFV +H XVHV HOHFWURGH DUUD\V WR UHFRUG DFWLRQ SRWHQWLDOV IURP SRSXODWLRQV RI LQGLYLGXDO QHXURQV LQ PRWRU FRUWLFDO DUHDV ZKLOH PRQNH\V SHUIRUP WDVNV UHODWHG WR UHDFKLQJ DQG GUDZLQJ $ QXPEHU RI VLJQDO SURFHVVLQJ DQG VWDWLVWLFDO DQDO\VHV DUH SHUIRUPHG RQ WKHVH GDWD WR H[WUDFW PRYHPHQW UHODWHG LQIRUPDWLRQ IURP WKH UHFRUGHG DFWLYLW\ &KDUOHV 6IHLU $VVLVWDQW 3URIHVVRU 'HSDUWPHQW 2UDO 0HGLFLQH 3DWKRORJ\ DQG %LRHQJLQHHULQJ ''6 'HQWDO 6XUJHU\ 7KH 8QLYHUVLWp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¶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¶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¶V QHZO\ HVWDEOLVKHG &HQWHU IRU &HOOXODU DQG 0ROHFXODU (QJLQHHULQJ LQ WKH 'HSDUWPHQW RI 2UWKRSDHGLF 6XUJHU\ )RU PRUH WKDQ \HDUV 'U 7XDQ KDV VWXGLHG WKH ZRUNLQJV RI WKH PXVFXORVNHOHWDO V\VWHP DQG LWV GLVHDVHV LQFOXGLQJ FDUWLODJH GHYHORSPHQW DQG UHSDLU FHOO VLJQDOLQJ DQG PDWUL[ ELRFKHPLVWU\ VWHP FHOO ELRORJ\ QDQRWHFKQRORJ\ DQG PDQ\ RWKHU RUWKRSDHGLFDOO\ UHOHYDQW WRSLFV 5REHUW 7XUQHU 9LVLWLQJ $VVRFLDWH 3URIHVVRU RI 1HXURELRORJ\ DQG %LRHQJLQHHULQJ 3K' &HOOXODU DQG 0ROHFXODU %LRORJ\ 8QLYHUVLW\ RI :DVKLQJWRQ 'U 7XUQHU ZRUNHG DV D 3RVW 'RF DW (PRU\ 8QLYHUVLW\ XQGHU WKH GLUHFWLRQ RI 'U 0DKORQ 5 /H/RQJ 1HXURORJ\ DQG 0RYHPHQW 'LVRUGHUV 0XFK RI 'U 7XUQHU¶V FXUUHQW UHVHDUFK IRFXVHV RQ EDVDO JDQJOLD DQG FRUWH[ LQ KHDOWK DQG GLVHDVH DQG QHXUDO LQWHUIDFHV IRU WKH WUHDWPHQW RI PRYHPHQW GLVRUGHUV (OL]DEHWK 7\OHU .DEDUD Assistant Professor of Neurological Surgery and Bioengineering. MD/PhD (Molecular Physiology and Biophysics) Vanderbilt University, 1997. Specialized areas of interest: Cerebral palsy; spasticity; dystonia; movement disorders; pediatric spinal disorders. Dr. Tyler-Kabara directs the Neural Enhancement Laboratory in the Department of Neurological Surgery. Current research projects in this laboratory include stem cell therapies in the treatment of both adult and pediatric traumatic brain injury. Current collaborations with the department of Bioengineering include exploring various techniques for improving neuronal electrode interfaces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¶V SULPDU\ UHVHDUFK LQWHUHVWV DUH IRFXVHG RQ GHYHORSLQJ DQG DSSO\LQJ PRGHUQ ILUVW SULQFLSOHV TXDQWXP PHFKDQLFDO DQG VHPL HPSLULFDO DSSURDFKHV WR GHVLJQ RI ELRGHJUDGDEOH PDWHULDOV ZLWK FRQWUROODEOH FRUURVLRQ UDWH IRU RUWKRSHGLF DQG FUDQLRIDFLDO DSSOLFDWLRQV +LV VHFRQGDU\ UHVHDUFK LQWHUHVWV OLH LQ D ILHOG RI FRPSXWDWLRQDO PRGHOLQJ DQG GHVLJQ RI WKH PDWHULDOV IRU DOWHUQDWLYH HQHUJ\ VRXUFHV /L LRQ UHFKDUJHDEOH EDWWHULHV IXHO FHOOV ZDWHU HOHFWURO\VLV

-HIIUH\ 9LSSHUPDQ Associate Professor of Mechanical Engineering and Bioengineering, PhD (Mechanical Engineering), Duke University, 1997. Dr. Vipperman's research interests include active microsystems (MEMS), adaptive structures and materials, structural acoustics, and active/passive noise control. He is the founder and director of the 6RXQG 6\VWHPV DQG 6WUXFWXUHV /DERUDWRU\, which is well-equipped to conduct both experimental and numerical studies. Current projects include the design and control of microvalves for flow management in fuel cell systems, vibroacoustic characterization and control of rocket launch fairings, and noise source/path identification through coherence measurement techniques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¶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a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

VXFK DV FHOO WUDFWLRQ IRUFH PLFURVFRS\ &7)0 DQG PLFURSRVW IRUFH VHQVRU DUUD\ DUH FXUUHQWO\ XVHG LQ FHOO PHFKDQRELRORJ\ VWXGLHV <DGRQJ :DQJ $VVRFLDWH 3URIHVVRU 'HSDUWPHQW RI %LRHQJLQHHULQJ 3K' &KHPLVWU\ 6WDQIRUG 8QLYHUVLW\ 'U :DQJ¶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¶V UHVHDUFK DW WKH 8QLYHUVLW\ RI 3LWWVEXUJK LV EDVHG RQ KLV SUHYLRXV LQYHVWLJDWLRQV LQ KRZ WKH EUDLQ FRQWUROV DUP DQG KDQG PRYHPHQW +H LV DOVR UHVHDUFKLQJ WKH XVH RI 95 VLPXODWLRQ EHQHILWV LQ UHKDELOLWDWLRQ DIWHU VWURNH RU VSLQDO FRUG LQMXU\ 'RXJODV :HEHU $VVLVWDQW 3URIHVVRU 3K\VLFDO 0HGLFLQH DQG 5HKDELOLWDWLRQ DQG 'HSW RI %LRHQJLQHHULQJ 3K' %LRHQJLQHHULQJ $UL]RQD 6WDWH 8QLYHUVLW\ 'U :HEHU FRPSOHWHG WZR \HDUV RI SRVWGRFWRUDO WUDLQLQJ LQ WKH ODERUDWRU\ RI 'U 5LFKDUG 6WHLQ DW WKH 8QLYHUVLW\ RI $OEHUWD LQ (GPRQWRQ $OEHUWD &DQDGD ,Q KH MRLQHG WKH 8QLYHUVLW\ RI 3LWWVEXUJK ZKHUH KH DQG KLV VWDII FRQGXFW IXQGDPHQWDO UHVHDUFK LQWR WKH UROH DQG QDWXUH RI VHQVRU\ IHHGEDFN LQ PRWRU FRQWURO 7KHLU PLVVLRQ LV WR DGYDQFH UHKDELOLWDWLRQ VFLHQFH DQG SUDFWLFH WKURXJK VFLHQWLILF GLVFRYHU\ DQG WKH GHYHORSPHQW RI QHXURSURVWKHWLFV IRU DVVLVWLQJ DQG UHVWRULQJ PRWRU IXQFWLRQ DIWHU QHUYRXV V\VWHP LQMXU\ DQG OLPE ORVV &XUUHQW UHVHDUFK SURMHFWV LQFOXGH WKH XVH RI IXQFWLRQDO HOHFWULFDO VWLPXODWLRQ )(6 WR LPSURYH XSSHU H[WUHPLW\ IXQFWLRQ GXULQJ VWURNH UHKDE DQG WKH GHYHORSPHQW RI D VRPDWRVHQVRU\ QHXUDO LQWHUIDFH WR SURYLGH SURSULRFHSWLYH IHHGEDFN IRU QHXURSURVWKHWLF OLPEV $ODQ :HOOV 7KRPDV - *LOO ,,, 3URIHVVRU RI 3DWKRORJ\ 3URIHVVRU RI %LRHQJLQHHULQJ 0' %URZQ 8QLYHUVLW\ '06F .DUROLQVND ,QVWLWXWH 6WRFNKROP 6ZHGHQ 7KH :HOOV /DERUDWRU\ UHVHDUFK SURJUDP LQ FORVH FROODERUDWLRQ ZLWK LWV UHVHDUFK SDUWQHUV DLPV WR XQGHUVWDQG FHOO PLJUDWLRQ LQ WHUPV RI KRZ PRWLOLW\ SURFHVVHV DUH UHJXODWHG DQG XQGHUVWDQG KRZ WKLV UHJXODWLRQ RI PLJUDWLRQ SOD\V D UROH LQ SK\VLRORJLF DQG SDWKRORJLF VLWXDWLRQV 'U :HOOV LV LQWHJUDWLQJ WKH NQRZOHGJH JDLQHG IURP RXU ELRFKHPLFDO DQG ELRSK\VLFDO PHFKDQLVWLF VWXGLHV LQWR RXU LQYHVWLJDWLRQV FRQFHUQLQJ FRQGLWLRQV RI G\VUHJXODWHG WXPRU LQYDVLRQ DQG RUFKHVWUDWHG ZRXQG KHDOLQJ DQG RUJDQRJHQHVLV FHOO PRWLOLW\ 7KH ODWWHU DVSHFWV GULYH RXU LQWHUHVW LQ ELRHQJLQHHULQJ SULQFLSOHV WR GHYHORS RUJDQ UHJHQHUDWLRQ $V SDUW RI XQGHUVWDQGLQJ WKH PRWLOLW\ UHVSRQVH ZH DUH LQYHVWLJDWLQJ ERWK KRZ WKLV SDUWLFXODU LQWHJUDWHG FHOO UHVSRQVH LV VHOHFWHG IURP DPRQJ RWKHUV DQG WKH PHWDEROLF FRQVHTXHQFHV RI PRWLOLW\ 7KLV LQWHJUDWLYH DSSURDFK SURYLGHV UHLQIRUFLQJ LQVLJKWV DQG QRYHO DYHQXHV IRU H[SORUDWLRQ LQWR WKH EDVLF VLJQDOLQJ SDWKZD\V DV ZHOO DV IXQFWLRQLQJ RI ZKROH RUJDQLVP $V D PRGHO V\VWHP ZH H[SORUH PRWLOLW\ VLJQDOLQJ IURP WKH HSLGHUPDO JURZWK IDFWRU UHFHSWRU (*)5 LQ DGKHUHQW FHOOV (*)5 SOD\V D FHQWUDO UROH LQ WKH IXQFWLRQLQJ LQ D ZLGH YDULHW\ RI ERWK VWURPDO DQG HSLWKHOLDO WLVVXHV DQG LV WKH SURWRW\SH IRU RWKHU UHFHSWRUV ZLWK LQWULQVLF W\URVLQH NLQDVH DFWLYLW\ 7KXV WKHVH VWXGLHV VKRXOG KDYH ZLGHVSUHDG LPSOLFDWLRQV (ULN & :LHQHU $VVRFLDWH 3URIHVVRU RI 5DGLRORJ\ DQG %LRHQJLQHHULQJ 3K' %LRSK\VLFV 8QLYHUVLW\ RI 3HQQV\OYDQLD 'U :LHQHU¶V PDMRU DUHD RI UHVHDUFK LV LQ WKH PROHFXODU DQG FHOOXODU LPDJLQJ RI FDQFHU ,Q SDUWLFXODU KH XVHV 0DJQHWLF 5HVRQDQFH ,PDJLQJ 05, IRU XVH LQ XQGHUVWDQGLQJ WXPRU ELRORJ\ DQG SK\VLRORJ\

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¶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¶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¶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¶V FXUUHQW UHVHDUFK IRFXVHV RQ PXVFXORVNHOHWDO ELRPHFKDQLFV %LQ =KHQJ 5HVHDUFK 3URIHVVRU RI 5DGLRORJ\ DQG %LRHQJLQHHULQJ 3K' (OHFWULFDO (QJLQHHULQJ 8QLYHUVLW\ RI 'HODZDUH 1HZDUN '( 'U =KHQJ¶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

&KHPLFDO DQG 3HWUROHXP (QJLQHHULQJ 0RKDPPDG 0 $WDDL 3URIHVVRU &KHPLFDO DQG 3HWUROHXP (QJLQHHULQJ DQG %LRHQJLQHHULQJ 3K ' &KHPLFDO (QJLQHHULQJ &RUQHOO 8QLYHUVLW\ 'U $WDDL¶V UHVHDUFK LQWHUHVWV LQFOXGH ELRSURFHVV HQJLQHHULQJ ODUJH VFDOH FHOO FXOWXUH DQG IHUPHQWDWLRQ LPPRELOL]HG HQ]\PH SURWHLQ SXULILFDWLRQ PHWDEROLF HQJLQHHULQJ FHOOXODU PHWDEROLVP DQG SK\VLRORJ\ $QQD & %DOD]V 'LVWLQJXLVKHG 3URIHVVRU RI &KHPLFDO (QJLQHHULQJ DQG 5REHUW YRQ GHU /XIW 3URIHVVRU RI &KHPLFDO DQG 3HWUROHXP (QJLQHHULQJ 3K ' 0DVVDFKXVHWWV ,QVWLWXWH RI 7HFKQRORJ\ 'U %DOD]V¶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¶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¶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¶V UHVHDUFK FRYHUV D ZLGH VSHFWUXP RI WRSLFV UDQJLQJ IURP WKH VWXG\ RI EDVLF PDVV WUDQVIHU PHFKDQLVPV WR WKH GHYHORSPHQW RI D QRYHO FRDO EHQHILFLDWLRQ SURFHVV -DPHV 7 &REE -U 3 ( $VVRFLDWH 3URIHVVRU (PHULWXV &KHPLFDO DQG 3HWUROHXP (QJLQHHULQJ 3K ' &KHPLFDO (QJLQHHULQJ 3XUGXH 8QLYHUVLW\ 'U &REE¶V FXUUHQW UHVHDUFK DQG GHYHORSPHQW LQWHUHVWV LQFOXGH ELRHQHUJ\ SURMHFW GHYHORSPHQW JDV FOHDQXS V\VWHPV GHYHORSPHQW EHQHILFLDO XVH RI HQHUJ\ SURFHVV E\ SURGXFWV FKHPLFDO VDIHW\ HGXFDWLRQ DQG H[DPLQDWLRQV IRU SURIHVVLRQDO HQJLQHHULQJ 2YHU WKH SDVW WKLUW\ \HDUV KH KDV DOVR FRQGXFWHG UHVHDUFK JHQHUDOO\ LQ UHDFWLRQ HQJLQHHULQJ DQG VSHFLILFDOO\ LQ FRDO JDVLILHU PRGHOLQJ

-XOLH / G¶,WUL $VVRFLDWH 3URIHVVRU &KHPLFDO DQG 3HWUROHXP (QJLQHHULQJ 3K ' &KHPLFDO (QJLQHHULQJ 1RUWKZHVWHUQ 8QLYHUVLW\ 'U G¶,WUL¶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± 'U (QLFN V UHVHDUFK IRFXVHV RQ H[SHULPHQWDO LQYHVWLJDWLRQV RI FDUERQ GLR[LGH EDVHG VXSHUFULWLFDO IOXLG WHFKQRORJ\ ([DPSOHV LQFOXGH GLUHFW FDUERQDWLRQ RI PHWDO FRQWDLQLQJ KD]DUGRXV ZDVWH JHQHUDWLRQ RI PLFURFHOOXODU IRDPV XVLQJ &2 DSSOLFDWLRQ RI IOXRULQDWHG WKLROV WR PHWDO VXUIDFHV XVLQJ OLTXLG FDUERQ GLR[LGH DQG LQFUHDVLQJ WKH YLVFRVLW\ RI OLTXLG FDUERQ GLR[LGH :LOOLDP - )HGHUVSLHO : . :KLWHIRUG 3URIHVVRU &KHPLFDO DQG 3HWUROHXP (QJLQHHULQJ %LRHQJLQHHULQJ DQG 6XUJHU\ 3K ' &KHPLFDO (QJLQHHULQJ 8QLYHUVLW\ RI 5RFKHVWHU 'U )HGHUVSLHO¶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± 'U *DR¶V UHVHDUFK LQWHUHVWV LQFOXGH V\QWKHVLV DVVHPEO\ DQG FKDUDFWHUL]DWLRQ RI QRYHO QDQRVWUXFWXUHV DQG WKH LQWHJUDWLRQ RI WKHVH QDQRVWUXFWXUHV LQWR IXQFWLRQDO GHYLFHV DQG V\VWHPV IRU WHFKQRORJLFDO DSSOLFDWLRQV VXFK DV ELRPHGLFDO DQG HQYLURQPHQWDO VHQVRUV *HUDOG ' +ROGHU 3URIHVVRU &KHPLFDO DQG 3HWUROHXP (QJLQHHULQJ DQG 8 6 6WHHO 'HDQ 6ZDQVRQ 6FKRRO RI (QJLQHHULQJ 3K ' &KHPLFDO (QJLQHHULQJ 8QLYHUVLW\ RI 0LFKLJDQ 'U +ROGHU¶V UHVHDUFK LQWHUHVWV LQFOXGH KLJK SUHVVXUH SKDVH EHKDYLRU DQG WKHUPRG\QDPLF SURSHUWLHV RI JDV K\GUDWHV DQG VXSHUFULWLFDO IOXLGV - .DUO -RKQVRQ ,QWHULP &KDLUPDQ DQG : . :KLWHIRUG 3URIHVVRU &KHPLFDO DQG 3HWUROHXP (QJLQHHULQJ 3K ' &KHPLFDO (QJLQHHULQJ &RUQHOO 8QLYHUVLW\ 'U -RKQVRQ¶V FXUUHQW UHVHDUFK LQWHUHVWV DUH IRFXVHG RQ PROHFXODU WKHUPRG\QDPLFV DWRPLVWLF FRPSXWHU VLPXODWLRQV DQG WKHRULHV RI FRPSOH[ V\VWHPV 7KH XOWLPDWH JRDO RI WKLV ZRUN LV WR GHYHORS HQJLQHHULQJ PRGHOV IRU LQGXVWULDOO\ LPSRUWDQW PDWHULDOV DQG SURFHVVHV *HRUJH ( .OLQ]LQJ : . :KLWHIRUG 3URIHVVRU &KHPLFDO DQG 3HWUROHXP (QJLQHHULQJ DQG 9LFH 3URYRVW IRU 5HVHDUFK 3K ' &KHPLFDO (QJLQHHULQJ &DUQHJLH 0HOORQ 8QLYHUVLW\ 'U .OLQ]LQJ¶V FXUUHQW UHVHDUFK FRYHUV WKH ILHOGV RI SQHXPDWLF FRQYH\LQJ SDUWLFXODWH V\VWHPV DQG VROLGV SURFHVVLQJ 5HVHDUFK KDV EHHQ FRQFHQWUDWLQJ RQ GHQVH SKDVH SQHXPDWLF FRQYH\LQJ SURELQJ WKH IXQGDPHQWDO SKHQRPHQD ERWK H[SHULPHQWDOO\ ZLWK QRYHO LQVWUXPHQWDWLRQ DQG WKHRUHWLFDOO\ ZLWK QHZ PRGHOV EDVHG RQ H[SHULPHQWDO ILQGLQJV 3UDVKDQW .XPWD (GZDUG 5 :HLGOHLQ &KDLU 3URIHVVRU 6ZDQVRQ 6FKRRO RI (QJLQHHULQJ DQG 6FKRRO RI 'HQWDO 0HGLFLQH

'HSDUWPHQW RI %LRHQJLQHHULQJ &KHPLFDO DQG 3HWUROHXP (QJLQHHULQJ 0HFKDQLFDO (QJLQHHULQJ DQG 0DWHULDOV 6FLHQFH 'HSDUWPHQW RI 2UDO %LRORJ\ 3K ' 0DWHULDOV 6FLHQFH DQG (QJLQHHULQJ 8QLYHUVLW\ RI $UL]RQD ± 'U .XPWD¶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± 'U /LWWOH¶V UHVHDUFK LQWHUHVWV DUH IRFXVHG RQ ELRPDWHULDO GHVLJQ DQG FRQWUROOHG GUXJ GHOLYHU\ LQ WKH DUHDV RI VPDUW LPPXQRWKHUDSHXWLFV DQG UHJHQHUDWLYH PHGLFLQH -RVHSK - 0F&DUWK\ $VVRFLDWH 3URIHVVRU DQG : . :KLWHIRUG )DFXOW\ )HOORZ &KHPLFDO DQG 3HWUROHXP (QJLQHHULQJ 3K ' 1RUWKZHVWHUQ 8QLYHUVLW\ 'U 0F&DUWK\¶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¶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

-RKQ ) 3DW]HU ,, $VVRFLDWH 3URIHVVRU 6XUJHU\ &KHPLFDO DQG 3HWUROHXP (QJLQHHULQJ DQG %LRHQJLQHHULQJ 3K ' &KHPLFDO (QJLQHHULQJ 6WDQIRUG 8QLYHUVLW\ 'U 3DW]HU¶V UHVHDUFK LQWHUHVWV OLH LQ WKH DSSOLFDWLRQ RI UHDFWLRQ HQJLQHHULQJ DQG WUDQVSRUW SKHQRPHQD WR ELRPHGLFDO HQJLQHHULQJ SUREOHPV SDUWLFXODUO\ LQ WKH DUWLILFLDO RUJDQ DQG RUJDQ DVVLVW DUHQD :LWK D SULPDU\ DSSRLQWPHQW LQ WKH 'HSDUWPHQW RI 6XUJHU\ 'U 3DW]HU FRRUGLQDWHV DQ DFWLYH UHVHDUFK SURJUDP LQ SUHFOLQLFDO DQG FOLQLFDO GHYHORSPHQW RI OLYHU DVVLVW GHYLFHV DQG ELRK\EULG DUWLILFLDO OLYHU V\VWHPV LQ WKH 7KRPDV ( 6WDU]O 7UDQVSODQWDWLRQ ,QVWLWXWH +LV RWKHU UHVHDUFK LQWHUHVWV LQFOXGH DUWLILFLDO SDQFUHDV DQG NLGQH\ $ODQ - 5XVVHOO 8QLYHUVLW\ 'LVWLQJXLVKHG 3URIHVVRU RI 6XUJHU\ &KHPLFDO DQG 3HWUROHXP (QJLQHHULQJ DQG %LRHQJLQHHULQJ 'LUHFWRU 0F*RZDQ ,QVWLWXWH IRU 5HJHQHUDWLYH 0HGLFLQH ([HFXWLYH 'LUHFWRU 3LWWVEXUJK 7LVVXH (QJLQHHULQJ ,QLWLDWLYH ,QF 3K ' &KHPLVWU\ ,PSHULDO &ROOHJH 'U 5XVVHOO¶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¶V UHVHDUFK LQWHUHVWV DUH UHDFWRU HQJLQHHULQJ SURFHVV PRGHOLQJ DQG VLPXODWLRQ DQG HTXLOLEULXP VWDJHG VHSDUDWLRQV 0XFK RI 'U 7LHUQH\¶V UHVHDUFK LV UHODWHG WR GHYHORSLQJ VRXUFHV RWKHU WKDQ SHWUROHXP IRU OLTXLG WUDQVSRUWDWLRQ IXHOV 6DFKLQ 9HODQNDU $VVRFLDWH 3URIHVVRU &KHPLFDO DQG 3HWUROHXP (QJLQHHULQJ 3K ' &KHPLFDO (QJLQHHULQJ 8QLYHUVLW\ RI 'HODZDUH 'U 9HODQNDU¶V UHVHDUFK GHDOV ZLWK SRO\PHU VFLHQFH DQG HQJLQHHULQJ DQG LV HVSHFLDOO\ IRFXVHG RQ VWXG\LQJ WKH UKHRORJLFDO SURSHUWLHV RI FRPSOH[ SRO\PHULF IOXLGV 7KH RYHUDOO JRDO LV WR JDLQ LQVLJKW LQWR WKH LQWHUSOD\ EHWZHHQ SURFHVVLQJ VWUXFWXUH DQG SURSHUWLHV RI SRO\PHULF PDWHULDOV DQG WR H[SORLW WKLV LQVLJKW WR GHVLJQ EHWWHU PDWHULDOV *|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

,UYLQJ :HQGHU 'LVWLQJXLVKHG 8QLYHUVLW\ 5HVHDUFK 3URIHVVRU &KHPLFDO DQG 3HWUROHXP (QJLQHHULQJ 3K ' 8QLYHUVLW\ RI 3LWWVEXUJK 'U :HQGHU¶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

&LYLO DQG (QYLURQPHQWDO (QJLQHHULQJ -RUJH $EDG

$VVLVWDQW 3URIHVVRU &LYLO DQG (QYLURQPHQWDO (QJLQHHULQJ 3K ' 8QLYHUVLW\ RI ,OOLRQLV ± 'U $EDG¶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±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¶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± 'U +DUSHU¶V SULPDU\ LQWHUHVW LV LQ HQJLQHHUHG V\VWHPV VXFK DV ELRORJLFDO ZDVWHZDWHU WUHDWPHQW SURFHVVHV EXW KH DOVR VWXGLHV QDWXUDO V\VWHPV VXFK DV ZHWODQGV DQG HVWXDULHV 0RVW RI WKH RQJRLQJ ZRUN LV IRFXVHG RQ WKH IDWH DQG HIIHFWV RI HPHUJLQJ ZDWHU FRQWDPLQDQWV LQFOXGLQJ DPRQJ RWKHUV V\QWKHWLF VWHURLGV DQG DQWLELRWLFV 'U +DUSHU¶V UHFHQW ZRUN KDV UHYHDOHG YHU\ VSHFLILF UHPRYDO PHFKDQLVPV DQG KDV DOVR VKRZQ D ZLGH UDQJH RI PLFURELDO UHVSRQVHV WR WKHVH FKHPLFDOV 'U +DUSHU LV DOVR LQYHVWLJDWLQJ WKH SURGXFWLRQ PLFURELDOO\ V\QWKHVL]HG DQWLELRWLFV LQ HQJLQHHUHG ELRUHDFWRUV 'U +DUSHU LV DFWLYH LQ \RXWK PHQWRULQJ DQG D YDULHW\ RI FRPPXQLW\ RXWUHDFK SURJUDPV .HQW $ +DUULHV $VVLVWDQW 3URIHVVRU &LYLO DQG (QYLURQPHQWDO (QJLQHHULQJ 3K ' 0F*LOO 8QLYHUVLW\ 0RQWUHDO &DQDGD 'U +DUULHV¶ UHVHDUFK LQWHUHVWV LQFOXGH WKH VHLVPLF GHVLJQ DQG UHWURILW RI EXLOGLQJ VWUXFWXUHV WKH GHVLJQ DQG EHKDYLRU RI KLJK ULVH VWUXFWXUHV WKH XVH RI QRQ WUDGLWLRQDO PDWHULDOV )53 +3& 53& LQ FLYLO LQIUDVWUXFWXUH DSSOLFDWLRQV RI IXOO VFDOH VWUXFWXUDO WHVWLQJ DQG WKH KLVWRU\ DQG SKLORVRSK\ RI VFLHQFH DQG WHFKQRORJ\ $QWKRQ\ ,DQQDFFKLRQH $VVRFLDWH 3URIHVVRU &LYLO DQG (QYLURQPHQWDO (QJLQHHULQJ 3K ' 8QLYHUVLW\ RI 3LWWVEXUJK ±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

$OEHUW 7R $VVLVWDQW 3URIHVVRU &LYLO DQG (QYLURQPHQWDO (QJLQHHULQJ 3K ' 8QLYHUVLW\ RI &DOLIRUQLD %HUNHOH\ ± 'U 7R¶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

&RPSXWHU (QJLQHHULQJ $OOHQ & &KHQJ 3URIHVVRU &RPSXWHU 6FLHQFH DQG (QJLQHHULQJ 3K' 8QLYHUVLW\ RI 0LFKLJDQ DW $QQ $UERU 3URIHVVRU &KHQJ¶V UHVHDUFK ZRUNV RQ VROYLQJ LQWHUGLVFLSOLQDU\ UHVHDUFK SUREOHPV DW WKH FRQIOXHQFH RI FRPSXWHU VFLHQFH DQG HQJLQHHULQJ ELRPHGLFDO HQJLQHHULQJ DQG PHGLFLQH ,Q SDUWLFXODU KLV $GYDQFHG &RPSXWLQJ 7HFKQRORJ\ /DERUDWRU\ $&7 DFWLYHO\ HQJDJHV LQ GHYHORSLQJ IXQGDPHQWDO VFLHQFH DQG LPSOHPHQWLQJ SUDFWLFDO HQJLQHHULQJ VROXWLRQV WR SLRQHHU ELRPHGLFDO LPSODQWDEOH VPDUW FKLS %,6& FDSDEOH RI SHUIRUPLQJ LQ

YLYRGLDJQRVLV WKHUDSHXWLF LQWHUYHQWLRQV DQG IXQFWLRQDO UHSODFHPHQW &XUUHQWO\ 3URI &KHQJ DQG KLV ODE IRFXVHV RQ GHYHORSLQJ UHFRQILJXUDEOH HQHUJ\ HIILFLHQW KLJK SHUIRUPDQFH HPEHGGHG DQG LPSODQWDEOH FRPSXWLQJ WHFKQRORJLHV WKDW DUH UHOLDEOH DQG VHFXUH HQRXJK WR EH LQWHJUDWHG LW LQWR UHDO OLIH FOLQLFDO DSSOLFDWLRQV RI KLJKHVW QDWLRQDO SULRULWLHV VXFK DV FDQFHU DQG VWURNH 'RQDOG &KLDUXOOL 3URIHVVRU &RPSXWHU 6FLHQFH &RPSXWHU (QJLQHHULQJ 'U &KLDUXOOL V FXUUHQW UHVHDUFK IDOOV LQWR WKUHH DUHDV RSWRHOHFWURQLF FDFKH PHPRU\ LQWHUIDFH GHVLJQ ZKHUH WKH REMHFWLYH LV WR GHVLJQ IDEULFDWH DQG WHVW D SURWRW\SH FDFKH PHPRU\ ZKLFK DOORZV HIILFLHQW GLJLWDO GDWD WUDQVIHU EHWZHHQ D WKUHH GLPHQVLRQDO RSWLFDO PHPRU\ DQG D JHQHUDO SXUSRVH FRPSXWLQJ V\VWHP FRPSXWHU DLGHG GHVLJQ RI IUHH VSDFH RSWRHOHFWURQLF V\VWHPV ZKHUH WKH JRDO LV WR SURGXFH D GHVLJQ DQG DQDO\VLV SURWRW\SLQJ WRRO IRU PL[HG WHFKQRORJ\ IUHH VSDFH RSWRHOHFWURQLF LQIRUPDWLRQ SURFHVVLQJ V\VWHPV DQG RSWLFDOO\ LQWHJUDWHG VXSHU VFDODU SURFHVVRU GHVLJQ ZKHUH WKH DLP LV WR SURYLGH D GHPRQVWUDWLRQ RI WKH ILUVW RSWLFDOO\ LQWHJUDWHG VXSHU VFDODU SURFHVVRU ZKLFK XVHV RSWLFDO EXVHV EHWZHHQ WKH IXQFWLRQDO XQLWV WR H[HFXWH SURJUDPV ZLWK VXE LQVWUXFWLRQ SDUDOOHOLVP %UXFH 5 &KLOGHUV $VVLVWDQW 3URIHVVRU &RPSXWHU 6FLHQFH &RPSXWHU (QJLQHHULQJ 3K ' &RPSXWHU 6FLHQFH 8QLYHUVLW\ RI 9LUJLQLD 'U &KLOGHUV¶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¶V UHVHDUFK LQWHUHVWV LQFOXGH SDUDOOHO DQG GLVWULEXWHG KLJK SHUIRUPDQFH FRPSXWLQJ IDXOWWROHUDQW FRPSXWLQJ PXOWLSURFHVVRU LQWHUFRQQHFWLRQ QHWZRUNV UHDO WLPH V\VWHPV DQG RSWLFDO FRPSXWLQJ 0DUOLQ + 0LFNOH 1LFNRODV $ 'H&HFFR 3URIHVVRU &RPSXWHU (QJLQHHULQJ (OHFWULFDO DQG &RPSXWHU (QJLQHHULQJ 3K ' 8QLYHUVLW\ RI 3LWWVEXUJK 'U 0LFNOH¶V UHVHDUFK DUHDV LQFOXGH SDUDOOHO FRPSXWDWLRQ HPEHGGHG FRPSXWLQJ KLJK VSHHG FRPSXWDWLRQ &XUUHQW HPSKDVLV LV RQ FRPSXWHU QHWZRUNV 5) FRPPXQLFDWLRQ DQG VHQVRU LQWHUIDFLQJ

'DQLHO 0RVVH¶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

(OHFWULFDO DQG &RPSXWHU (QJLQHHULQJ - 5REHUW %RVWRQ 3URIHVVRU (OHFWULFDO DQG &RPSXWHU (QJLQHHULQJ %LRHQJLQHHULQJ DQG &RPPXQLFDWLRQ 6FLHQFHV DQG 'LVRUGHUV 3K ' 1RUWKZHVWHUQ 8QLYHUVLW\ 'U %RVWRQ V FXUUHQW UHVHDUFK SURMHFWV LQFOXGH LPSURYLQJ VSHHFK LQWHOOLJLELOLW\ LQ QRLVH DQG VLJQDO GHWHFWLRQ XVLQJ IX]]\ ORJLF /XLV ) &KDSDUUR $VVRFLDWH 3URIHVVRU (OHFWULFDO DQG &RPSXWHU (QJLQHHULQJ 3K ' 8QLYHUVLW\ RI &DOLIRUQLD DW %HUNHOH\ 'U &KDSDUUR¶V UHVHDUFK LQWHUHVWV LQFOXGH VWDWLVWLFDO VLJQDO SURFHVVLQJ WLPH IUHTXHQF\ DQDO\VLV QRQOLQHDU LPDJH SURFHVVLQJ DQG PXOWLGLPHQVLRQDO V\VWHP WKHRU\ .HYLQ 3 &KHQ $VVLVWDQW 3URIHVVRU DQG 3DXO ( /HJR )DFXOW\ )HOORZ (OHFWULFDO DQG &RPSXWHU (QJLQHHULQJ 3K ' 8QLYHUVLW\ RI 7RURQWR 'U &KHQ¶V FXUUHQW UHVHDUFK LQWHUHVWV IRFXV RQ SKRWRQLF FRPSRQHQWV DQG DSSOLFDWLRQ LQ FRPPXQLFDWLRQ DQG VHQVLQJ DQG ' QDQRIDEULFDWLRQ XVLQJ GHHS 89 ODVHU $OOHQ & &KHQJ 3URIHVVRU &RPSXWHU 6FLHQFH DQG (QJLQHHULQJ 3K ' 8QLYHUVLW\ RI 0LFKLJDQ DW $QQ $UERU 3URI &KHQJ¶V UHVHDUFK ZRUNV RQ VROYLQJ LQWHUGLVFLSOLQDU\ UHVHDUFK SUREOHPV DW WKH FRQIOXHQFH RI FRPSXWHU VFLHQFH DQG HQJLQHHULQJ ELRPHGLFDO HQJLQHHULQJ DQG PHGLFLQH ,Q SDUWLFXODU KLV $GYDQFHG &RPSXWLQJ 7HFKQRORJ\

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¶V UHVHDUFK GLUHFWLRQ LV WR GHYHORS PLFUR QDQR GHYLFHV WKDW HQDEOH RQH WR HIILFLHQWO\ PDQLSXODWH ELRPROHFXOHV '1$ DQG SURWHLQV FHOOV IXQFWLRQDO SDUWLFOHV DQG PLFUR QDQR IOXLGV $PUR (O -DURXGL $VVRFLDWH 3URIHVVRU (OHFWULFDO DQG &RPSXWHU (QJLQHHULQJ 3K ' 1RUWKHDVWHUQ 8QLYHUVLW\ 'U (, -DURXGL¶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¶ LQWHUHVWV IRFXV RQ WKH DUHD RI HOHFWURQLF GHVLJQ DXWRPDWLRQ 6SHFLILF LQWHUHVWV LQFOXGH GHVLJQLQJ DQG FRPSLOLQJ KDUGZDUH GHVFULSWLRQV IURP KLJK OHYHO ODQJXDJHV DXWRPDWHG 6\VWHP RQ D &KLS GHVLJQ KDUGZDUH DQG VRIWZDUH FR GHVLJQ PHWKRGRORJLHV DQG KDUGZDUH GHVLJQ DXWRPDWLRQ IRU ORZ SRZHU

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¶V DUHDV RI UHVHDUFK LQFOXGH DXWRPDWLF FRQWURO VLJQDO SURFHVVLQJ DQG RSWLPL]DWLRQ QHXUDO VLJQDOV DQG V\VWHPV URERWLFV DQG PXOWL DJHQW V\VWHPV 5DPL 0HOKHP 3URIHVVRU &RPSXWHU 6FLHQFH DQG (OHFWULFDO DQG &RPSXWHU (QJLQHHULQJ 3K ' 8QLYHUVLW\ RI 3LWWVEXUJK 'U 0HOKHP V UHVHDUFK LQFOXGHV SDUDOOHO IDXOW WROHUDQW UHDO WLPH DQG RSWLFDO V\VWHPV

0DUOLQ + 0LFNOH 3URIHVVRU (OHFWULFDO DQG &RPSXWHU (QJLQHHULQJ &RPSXWHU (QJLQHHULQJ 3K ' 8QLYHUVLW\ RI 3LWWVEXUJK 'U 0LFNOH¶V UHVHDUFK DUHDV LQFOXGH SDUDOOHO FRPSXWDWLRQ HPEHGGHG FRPSXWLQJ DQG KLJK VSHHG FRPSXWDWLRQ &XUUHQW HPSKDVLV LV RQ FRPSXWHU QHWZRUNV 5) FRPPXQLFDWLRQ DQG VHQVRU LQWHUIDFLQJ *UHJRU\ ) 5HHG $VVRFLDWH 3URIHVVRU (OHFWULFDO DQG &RPSXWHU (QJLQHHULQJ DQG 'LUHFWRU 3RZHU DQG (QHUJ\ ,QLWLDWLYH 3K' 8QLYHUVLW\ RI 3LWWVEXUJK 'U 5HHG¶V UHVHDUFK LQWHUHVWV LQFOXGH SRZHU WUDQVPLVVLRQ DQG GLVWULEXWLRQ DQG HQHUJ\ V\VWHPV VPDUW JULG WHFKQRORJLHV SRZHU HOHFWURQLFV DQG FRQWURO WHFKQRORJLHV DQG DSSOLFDWLRQV VWRUDJH WHFKQRORJLHV DQG SRZHU JHQHUDWLRQ DQG UHQHZDEOH HQHUJ\ UHVRXUFHV +H MRLQHG WKH 6ZDQVRQ 6FKRRO RI (QJLQHHULQJ IDFXOW\ DIWHU \HDUV RI HOHFWULF SRZHU LQGXVWU\ H[SHULHQFH :LOOLDP 6WDQFKLQD 3URIHVVRU DQG &KDLUPDQ (OHFWULFDO DQG &RPSXWHU (QJLQHHULQJ 3K' 8QLYHUVLW\ RI 6RXWKHUQ &DOLIRUQLD 'U 6WDQFKLQD¶V UHVHDUFK LQWHUHVWV LQFOXGH KLJK IUHTXHQF\ FRPSRXQG VHPLFRQGXFWRU GHYLFHV DQG LQWHJUDWHG FLUFXLWV DQG RSWRHOHFWURQLF DQG TXDQWXP GHYLFHV QRYHO VHQVRUV DQG IDEULFDWLRQ WHFKQRORJLHV 0LQJXL 6XQ $VVRFLDWH 3URIHVVRU 1HXURORJLFDO 6XUJHU\ %LRHQJLQHHULQJ DQG (OHFWULFDO DQG &RPSXWHU (QJLQHHULQJ 3K ' (OHFWULFDO (QJLQHHULQJ 8QLYHUVLW\ RI 3LWWVEXUJK 'U 6XQ¶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¶V DUHDV RI LQWHUHVW LQFOXGH QDQR VWUXFWXUHG PDWHULDOV VXFK DV QDQRZLUHV DQG QDQRSDUWLFOHV ZLWK DQ HPSKDVLV RQ ELRVHQVRU DSSOLFDWLRQV QDQRVFDOH ORZ GLPHQVLRQDO PDWHULDOV LQFOXGLQJ HOHFWULFDO SKHQRPHQD DQG ELRFRPSDWLELOLW\

,QGXVWULDO (QJLQHHULQJ 0DU\ %HVWHUILHOG 6DFUH $VVRFLDWH 3URIHVVRU LQ ,QGXVWULDO (QJLQHHULQJ DQG )XOWRQ & 1RVV )DFXOW\ )HOORZ 3K ' ,QGXVWULDO (QJLQHHULQJ 8QLYHUVLW\ RI 3LWWVEXUJK ± 'U %HVWHUILHOG 6DFUH¶V SULQFLSDO UHVHDUFK LQWHUHVWV DUH RI HQJLQHHULQJ DVVHVVPHQW WR LQFOXGH HQJLQHHULQJ HGXFDWLRQ SURGXFW UHDOL]DWLRQ DQG HQWUHSUHQHXUVKLS 'U 6DFUH KDV ZRUNHG RQ GHYHORSLQJ QHZ PHWKRGV WR DVVHVV HQJLQHHULQJ HGXFDWLRQ DV ZHOO DV XVLQJ PRGHOLQJ WHFKQLTXHV WR LPSURYH . XUEDQ GLVWULFWV 'U 6DFUH KDV VHFRQGDU\ LQWHUHVWV LQ HPSLULFDO DQG FRVW PRGHOLQJ DSSOLFDWLRQV LQYROYLQJ ODUJH VFDOH FDWHJRULFDO GDWDEDVHV

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± 'U .KDURXIHK V UHVHDUFK IRFXVHV RQ WKH GHVLJQ SHUIRUPDQFH HYDOXDWLRQ FRQWURO DQG RSWLPL]DWLRQ RI VWRFKDVWLF HQJLQHHULQJ DQG VHUYLFH V\VWHPV +LV DSSOLFDWLRQ DUHDV LQFOXGH TXHXHLQJ V\VWHPV FRPSXWHU DQG FRPPXQLFDWLRQ V\VWHPV UHOLDELOLW\ PRGHOLQJ DQG PDLQWHQDQFH RSWLPL]DWLRQ +LV PHWKRGRORJLFDO LQWHUHVWV LQFOXGH DSSOLHG SUREDELOLW\ DQG VWRFKDVWLF SURFHVVHV 3DXO : /HX $VVLVWDQW 3URIHVVRU ,QGXVWULDO (QJLQHHULQJ 3K ' 0HFKDQLFDO (QJLQHHULQJ 6WDQIRUG 8QLYHUVLW\ ± 'U /HX¶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± 'U 0DLOODUW¶V UHVHDUFK IRFXVHV RQ VHTXHQWLDO GHFLVLRQ PDNLQJ XQGHU XQFHUWDLQW\ +HU SULPDU\ DUHDV RI DSSOLFDWLRQ LQFOXGH PHGLFDO GHFLVLRQ PDNLQJ DQG PDLQWHQDQFH RSWLPL]DWLRQ +HU PHWKRGRORJLFDO LQWHUHVWV LQFOXGH 0DUNRY GHFLVLRQ SURFHVVHV 0'3V LQ SDUWLFXODU SDUWLDOO\ REVHUYHG 0'3V

0DLQDN 0D]XPGDU 3URIHVVRU (PHULWXV ,QGXVWULDO (QJLQHHULQJ 3K ' $SSOLHG 6WDWLVWLFV DQG 3UREDELOLW\ &RUQHOO 8QLYHUVLW\ ± 'U 0D]XPGDU¶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± 'U 3URNRS\HY¶V SULPDU\ UHVHDUFK LQWHUHVWV DUH FXUUHQWO\ IRFXVHG LQ WKH DUHDV RI FRPELQDWRULDO RSWLPL]DWLRQ LQWHJHU SURJUDPPLQJ VWRFKDVWLF RSWLPL]DWLRQ FRPSXWDWLRQDO FRPSOH[LW\ DSSOLFDWLRQV RI RSHUDWLRQV UHVHDUFK LQ GDWD PLQLQJ KHDOWKFDUH DQG ELRLQIRUPDWLFV 'U 3URNRS\HY LV D PHPEHU RI HGLWRULDO ERDUGV RI ʊ -RXUQDO RI *OREDO 2SWLPL]DWLRQ” DQG MRXUQDO ʊ 2SWLPL]DWLRQ /HWWHUV ”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±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

SURJUDPPLQJ 0DUNRY GHFLVLRQ SURFHVVHV DQG VLPXODWLRQ ZLWK D SDUWLFXODU IRFXV RQ VWRFKDVWLF LQWHJHU SURJUDPPLQJ 'U 6FKDHIHU DOVR KDV D VHFRQGDU\ DSSRLQWPHQW LQ WKH 6FKRRO RI 0HGLFLQH 0 5DYL 6KDQNDU $VVLVWDQW 3URIHVVRU LQ ,QGXVWULDO (QJLQHHULQJ 3K ' ,QGXVWULDO (QJLQHHULQJ 3XUGXH 8QLYHUVLW\ ± 'U 6KDQNDU¶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¶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¶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

0HFKDQLFDO (QJLQHHULQJ DQG 0DWHULDOV 6FLHQFH -RKQ $ %DUQDUG James T. MacLeod Professor of Engineering, Ph.D., Carnegie Mellon University, 1987 – Dr. Barnard’s research interests include processing/structure/property (magnetic, electronic, mechanical) relations in thin films, materials for ultra-high density data storage, nano-tribology, adhesion, phase transformations, surface/interface characterization, nanostructured and self-assembled materials, and hybrid (organic/inorganic) materials.

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±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ʊ JUHHQ VWHHO” ZKLFK ZLOO LQIOXHQFH WKH FRXUVH RI PDFKLQHDEOH VWHHO WHFKQRORJ\ IRU \HDUV WR FRPH /DUU\ 5 )RXONH $GMXQFW 3URIHVVRU DQG 'LUHFWRU RI 1XFOHDU 3URJUDPV 3K ' 1XFOHDU (QJLQHHULQJ 0DVVDFKXVHWWV ,QVWLWXWH RI 7HFKQRORJ\ 3URIHVVRU )RXONH¶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

*LRYDQQL 3 *DOGL 3URIHVVRU 0HFKDQLFDO (QJLQHHULQJ DQG 0DWKHPDWLFV /DXUHD LQ )LVFLD LQ 3K\VLFV DQG 0DWKHPDWLFV 8QLYHUVLW\ RI 1DSOHV ,WDO\ 'U *DOGL V DUHDV RI LQWHUHVW DUH WKHRUHWLFDO IOXLG G\QDPLFV ZLWK VSHFLDO UHJDUGV WR WKH 1DYLHU 6WRNHV HTXDWLRQV DQG IORZ VWDELOLW\ & ,VDDF *DUFLD 5HVHDUFK 3URIHVVRU 0DWHULDOV 6FLHQFH DQG (QJLQHHULQJ 3K ' 8QLYHUVLW\ RI 3LWWVEXUJK 'U *DUFLD¶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¶V SULPDU\ UHVHDUFK LQWHUHVW DUH LQ WKH ILHOGV RI WKHUPDO IOXLG VFLHQFH WXUEXOHQFH FRPEXVWLRQ SURSXOVLRQ FRPSXWDWLRQDO PHWKRGV DSSOLHG PDWKHPDWLFV DQG VWRFKDVWLF SURFHVVHV %ULDQ *OHHVRQ Harry S. Tack Chair in Materials Science. Director, Center for Energy. Ph.D. UCLA, 1989. Dr. Gleeson’s primary research focus is on the thermodynamics and kinetics of gas/solid and solid/solid reactions. Particular emphasis is on the high-temperature degradation of metallic alloys and coatings. Related to this, current research interests include: (a) Active and passive high-temperature oxidation of alloys and coatings; (b) deposition and characterization of metallic coatings; (c) diffusion and thermodynamic treatments of both gas/solid and solid/solid interactions; and (d) structure/property relationships of materials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

DQG KLV 0 6 DQG 3K ' GHJUHHV IURP WKH *HRUJLD ,QVWLWXWH RI 7HFKQRORJ\ LQ DQG UHVSHFWLYHO\ +H LV WKH ZLQQHU RI WKH *HRUJLD 7HFK &KDSWHU RI 6LJPD ;L %HVW 3K ' 7KHVLV $ZDUG LQ DQG LV WKH UHFLSLHQW RI WKH +HZOHWW 3DFNDUG %HVW 3DSHU $ZDUG QG SODFH LQ +LV UHVHDUFK LQWHUHVWV LQFOXGH QDQRVFDOH HQHUJ\ WUDQVSRUW SKHQRPHQD OLJKW PDWWHU LQWHUDFWLRQ DW WKH QDQRVFDOH SODVPRQLFV DQG PHWDPDWHULDOV ,Q SDUWLFXODU KH LV LQWHUHVWHG LQ LQYHVWLJDWLQJ IXQGDPHQWDO SK\VLFV RI QHDU ILHOG WKHUPDO UDGLDWLRQ WDLORULQJ UDGLDWLYH SURSHUWLHV RI QDQRVWUXFWXUHV DQG HPSOR\LQJ HQJLQHHUHG QDQRVWUXFWXUHV WR QRYHO HQHUJ\ FRQYHUVLRQ DQG VHQVLQJ GHYLFHV -XQJ .XQ /HH $VVLVWDQW SURIHVVRU 3K ' LQ 0DWHULDOV 6FLHQFH DQG (QJLQHHULQJ 6HRXO 1DWLRQDO 8QLYHUVLW\ 'U /HH V PDMRU UHVHDUFK WRSLFV LQFOXGH VRSKLVWLFDWHG SURFHVVLQJ DQG FKDUDFWHUL]DWLRQ RI QDQRVWUXFWXUHG PDWHULDOV DQG HOHFWURQLF PDWHULDOV IRU HQHUJ\ DQG HQYLURQPHQWDO DSSOLFDWLRQV 6SHFLILF HPSKDVLV LV SODFH RQ SKRWRYROWDLF DSSOLFDWLRQ RI ZLGH EDQG JDS QDQRSDUWLFOHV PDWHULDO SURFHVVLQJ RI HOHFWURQLF PDWHULDOV LQ IRUPV RI QDQRSDUWLFOHV EXON FHUDPLFV FU\VWDOV DQG WKLQ ILOPV RSWLFDO DQG PDJQHWLF SURSHUWLHV RI QDQRSDUWLFOHV DQG VXUIDFH PRGLILFDWLRQ XVLQJ LRQ EHDP SURFHVV -RKQ 3 /HRQDUG $VVLVWDQW 3URIHVVRU 0DWHULDOV 6FLHQFH DQG (QJLQHHULQJ 3K ' &ROXPELD 8QLYHUVLW\ 'U /HRQDUG¶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¶V SULPDU\ UHVHDUFK LQWHUHVWV DUH LQ PLFURHOHFWURPHFKDQLFDO VHQVRUV DQG DFWXDWRUV VPDUW PDWHULDOV DQG VWUXFWXUHV SLH]RHOHFWULF HOHFWURVWULFWLYH FHUDPLFV WKLQ ILOPV SRO\PHUV DQG FRPSRVLWHV IRU HOHFWURPHFKDQLFDO WUDQVGXFHUV

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¶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¶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|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

;XGRQJ =KDQJ $VVRFLDWH 3URIHVVRU 2UWKRSDHGLF 6XUJHU\ 0HFKDQLFDO (QJLQHHULQJ DQG %LRHQJLQHHULQJ 3K ' 8QLYHUVLW\ RI 0LFKLJDQ 'U =KDQJ¶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

FACULTY RESEARCH INTERESTS Fiscal Year 2010 Active Sponsored Research

Bioengineering Steven Abramowitch Tissue Specific ECM Scaffold for the Functional Repair of the Vocal Lamina - National Institutes of Health Building Interdisciplinary Research Careers in Womens Health - Magee Womens Research Institute Evaluation of a Cell Based Therapy for Pelvic Floor Injury - Advanced Technology Howard Aizenstein Altered Functioning of Cognitive and Affective Circuits in Late Life Depression - National Institutes of Health Gerald Apodaca Endocytic and Exocytic Traffic in Bladder Uroepithelium - National Institutes of Health Stephen Badylak Antibacterial Degradation Products of Extracellular Matrix Bioscaffolds - National Institutes of Health Cell Recruitment Induced by ECM Scaffold Degradation - National Institutes of Health ECM Scaffolds and Macrophage Polarization-Induced Tissue Remodeling - National Institutes of Health In Vitro Characterization of Procine Dermis ECM and Products in Development - C R Bard Inc. Porcine Model of Arterial Venus to Evaluate Novel Eptife Graft Design - University Of Limerick Development of Gel form of ECM for Clinical Application - C R Bard Inc. Aaron Batista Career Award in the Biomedical Sciences - Burroughs Wellcome Michael Boninger Center of Excellence on Wheelchairs and Associated Rehabilitation Engineering - Veterans Affairs Medical Center Harvey Borovetz Pediatric Circulatory Support - National Institutes of Health 2009 Biomedical Engineering Society Annual Fall Meeting to be Held at Pittsburgh, PA, USA - National Science Foundation Indentification of MAPC in the Walls of Human Fat Tissue Blood - Children's Hospital of Pittsburgh Development of a Magnetically Levitated Bearingless Pediatric Pump - Levitronix Llc A Longitudinal Study of Actue and Chronic Upper Limbe Pathology Following SCI - Veterans Affairs Medical Center Graduate Science Research Dissertation Fellowship Award - Merck The Use of Human Muscle Derived Cells for the Repair of Articular Cartilage - Children's Hospital of Pittsburgh Harvey Borovetz\Prashant Kumta\Mark Redfern\Charles Sfeir\William Wagner\Savio Woo Engineering Research Center for Revolutionizing Metallic Biomaterials - North Carolina A & T University\National Science Foundation Harvey Borovetz\William Anderst Three Dimensional In Vivo Movement of Cervical Vertebrae During Functional Loading In Asymptomatic Subjects and Anterior Fusion Patients - National Institutes of Health In Vivo Mechanics of Pain Resolution Following Conservative Treatment for Cervical Radiculopathy - Cervical Spine Research Society

Harvey Borovetz\Elia Beniash Formation of the Enamel Dentin Interface - National Institutes of Health Harvey Borovets\Fernando Boada Brain Neoplasia and Multiple Quantum Sodium MRI - National Institutes of Health Harvey Borovetz\David Brienza Rehablitation Engineering Center on Spinal Cord Injury - U.S. Department Of Education Harvey Borovetz\Joel Schuman Novel Glaucoma Diagnostics for Structure and Function - National Institutes of Health Harvey Borovetz\Seong-Gi Kim Neural Correlate of Perfusion Based FMRI - National Institutes of Health Harvey Borovetz\Bruce Pitt Zinc Homeostasis and Pulmonary Endothelial Cell Injury - National Institutes of Health Harvey Borovetz\Jennifer Grandis Research Training in Otolaryngology - National Institutes of Health Harvey Borovetz\Alan Wells Dermal Epidermal Communication during Wound Healing - National Institutes of Health Harvey Borovetz\Steven Reis University of Pittsburgh Clinical and Translational Science Institute - National Institutes of Health Harvey Borovetz\Andrew Schwartz Cortical Control of a Dexterous Prosthetic Hand - National Institutes of Health Model based training for BCI rehabilitation - National Institutes of Health Revolutionizing Prosthetics - U.S. Army Harvey Borovetz\Constance Chu CHRONDROGENESIS - National Institutes of Health Harvey Borovetz\Chaim Gadi Wollstein Nanoparticles as OCT Contrast Agents - National Institutes of Health Harvey Borovetz\Christopher O'Donnell Sleep Apnea Links Obesity to Cardiovascular Dysfunction - National Institutes of Health Harvey Borovetz\Scott Lephart Injury Prevention and Performance Enhancement in 101 St. Airborne Soldiers - UPMC Naval Special Warfare Prevention and Human Performance Initiative - U.S. Navy Injury Prevention and Performance Optimization in Soldiers of the Army 101 St. Airborne Soldiers - U.S. Army Harvey Borovetz\Walter Schneider Biological Accelerated Learing Technology (BALT) - U.S. Department of The Interior Harvey Borovetz\Tamer Ibrahim A Distributed Wireless Neural Interface System - University of Texas At Dallas

Harvey Borovetz\Arthur Levine 2009-10 Health Research Forumula Fund Award - Commonwealth Of Pennsylvania Harvey Borovetz\Patricia Kang RERC on Wheelchair Transportation Safety - University of Michigan Rakie Cham Knee Stability Training in Individulas with Knee OA - National Institutes of Health Adaptive Postural Strategies - Impact of Aging - National Institutes of Health Biomechanics of Slips in Older Adults - Centers For Disease Control Effect of Anticholinergic Drugs & White Matter Hyperintensities on Balance & Gait - National Institutes of Health Xinyan Tracy Cui Electrically Controlled Neurochemical Delivery System - National Science Foundation Career: Manipulating Stem Cells Via Electroactive Conducting Polymers - National Science Foundation Improving Chronic Neural Recording Performance Through Biomaterial Strategies - National Institutes of Health Point-of-Care System Based On Single Ploymer Nanowires for Real-Time AMI Diagnosis - National Institutes of Health Neuroprosthetics and Solutions for Restoring Sensorimotor Function - U.S. Army Scaffold/Neural Stem Cells-based Tissue Engineering in a Traumatic Brain Injury Model - U.S. Army Design of Novel Brain like Material for Neural Interfacing - TDA Research Inc. Lance Davidson Career: Physical Shaping of Multicellular Mesenchymal Tissues - National Science Foundation The Biomechanics of Morphogenesis in the Frog - National Institutes of Health Role of Fibronectin During Pre-Cardiac Cell Migration and Establishment of the Heart Forming Region - American Heart Association Richard Debski Development of Biomechanical model of Knee to Reduce Knee Injuries in Mining - Centers For Disease Control A Repositionable Tissue Anchor for Osteoporortic Bone - Biomec Inc. Osteoarticular Allograft Reconstruction of Humeral Head Defects Associated with Shoulder Instability - University of Michigan Neeraj Gandhi Neural Integration of Eye and Head Movements - National Institutes of Health Jorg Gerlach Large-Scale Human Placenta Progenitor Cell-Derived Erythrocyte Production - Continuous Red Blood Cell Production Celgene Corporation Tom Gilbert Cardiac Remodeling with Organ Specific Extracellular Matrix Scaffolds - National Institutes of Health Johnny Huard Muscle-based Tissue Engineering to Improve Bone Healing - National Institutes of Health Tamer Ibrahim Subject Insensitive and SNR Enhancing RF-Arrays for High Field Parallel Human MRI - National Institutes of Health

Marina Kameneva Standardization of Computational Fluid Dynamic (CFD) Techniqies Used to Evaluate Performance and Blood Damage Safety in Medical Devices: Interlaboratory Measurement of Blood Damage - Food And Drug Administration Prashant Kumta Novel Catalyst Supports for Water Electrolysis: Experimental and Theoretical Studies - National Science Foundation Fundamental Experimental and Theoretical Studies on a Novel Family of Oxide Catalyst Supports for Water Electrolysis - Energy High Capacity Reversible Nanoscale Heteroostructures: Novel Anodes for Lithium Ion Batteries - Lawrence Berkeley National Lab Yong Li Improve Muscle Healing of Ischemia-Reperfusion Injury with MMP1 Therapy - U.S. Army Steven Little Temporal Delivery of Growth Factors for Wound Healing using Porous Hollow Fibers - Pittsburgh Tissue Engineering Initiative Patrick Loughlin Modeling Sensory Integration and Attention in Postural Control of Older Adults - National Institutes of Health Sonar Signal Analysis and Waveform Design for Enhanced Target Detection and Classification - U.S. Navy Nonstationary Signal Processing Methods for Channel Characterization and Sonar Signal Classification in varying and Uncertain Environments - U.S. Navy Graduate Student Applied Summer Research Experience - U.S. Navy Kacey Marra Surface Modified Conduits for Long Gap Nerve Repair - National Science Foundation Sharon Ramaswamy Noninvasive Detection and Tracking of Cell Populations in the Development and Remodeling of Engineered Heart Valves - American Heart Association Mark Redfern CPS: Medium: Monitoring Human Performance with Wearable Accelerometers - National Science Foundation Postoral Control in the Elderly - National Institutes of Health Pittsburgh Older Americans Independence Center - National Institutes of Health Influence of White Matter on Step Initiation - National Institutes of Health NIH Toolbox for Assessment of Neurological and Behavioral Function - Evanston Northwestern Healthcare Partha Roy Profilin as a Target to Suppress Invasive Breast Cancer - National Institutes of Health Examining the Role of Prolifin as a Regulator of Cancer Aggressiveness - University of New England The Role of Profilin 1 in Angiogenesis - American Heart Association Michael Sacks Bioengineering and Biological Studies of Aneurysm Weakening - National Institutes of Health Biomechanical Optimization of TE Heart Valves - National Institutes of Health Mechanisms of In-Vivo Remodeling in Tissue Engineered Heart Valves - National Institutes of Health Training in Biomechanics in Regenerative Medicine - National Institutes of Health Mechanobiology and Regenerative Medicine - National Institutes of Health Training in Biomechanics in Regenerative Medicine - National Institutes of Health GAGs: Function and Fixation in Bioprosthetic Heart Valves - Clemson University

Michael Sacks Fluid-Structure Simulation for Prosthetic Heart Valves - University of Iowa Quantification of In Vivo Mitral Valve - American Heart Association Guy Salama Modeling the Relative Expression of Cardiac Ion Channels/Currents to Predict Arrhyrhia Phenotype - American Heart Association Extracellular Potassium Accumulation and its Role in Cardiac Arrhythmias - American Heart Association Charles Sfeir Cell-Based Scaffold-Less Three-Dimensional Construct, A Model For Dentinogenesis - National Institutes of Health Sanjeev Shroff Role of Relaxin in Systemic Vascular Mechanics and Function - National Institutes of Health Autologous Cellular Therapy for Ventricular Dysfunction - National Institutes of Health Cardiovascular Bioengineering Training Program - National Institutes of Health Three-Dimensional Cardiac Gel Bioreactor for Functioning Cardiomyocyte Induction - National Institutes of Health Endogenous Relaxin Regulates Vascular Function in Nonpregnant Females and Males - University of Florida Mechanisms of Preeclampsia Impact on Obesity - Magee Womens Research Institute Role of Mechanical Forces in Cardiomyocyte Induction From Skeletal Muscle Derived Stem Cells in 3D Culture American Heart Association George Stetten Augumenting Visual Perception with Real Time Tomographic Holography - National Science Foundation Tomographic Reflection for Image Guided Intervention - National Institutes of Health Holographic Sonic Flashlight for Guiding Interventional Procedures - National Institutes of Health Automated Detection of Thromboembolic Disease in CT Images - National Institutes of Health David Vorp Bioengineering and Biological Studies of Aneurysm Weakening - National Institutes of Health Biomechanical Evaluation of Abdominal Aortic Aneurysm - National Institutes of Health William Wagner In Vivo Biocompatibility of the HeartAssist 5 VAD, the bearing Modified DeBakey VAD in Bovine Calves - Micromed Yadong Wang Neurotransmitter-Based Poly (Aminoglycerol Esters) - National Institutes of Health Compliant and Strong Small Arteries Engineered in Vitro - National Institutes of Health Douglas Weber A New Animal Model for Developing A Somatosensory Neural Interface - National Institutes of Health Somatosensory Feedback Controlling a Neuroprosthesis - National Institutes of Health Savio Woo Non Contact ACL Injuries in Females and InVivo and Robotic Study - National Institutes of Health Bioscaffolds to Enhance ACL Healing After Primary Repair - Asiam Institute For Research Physical Shaping of Multicellular Mesenchymal Tissues - American Association of Tissue Banks

FACULTY RESEARCH INTERESTS Fiscal Year 2010 Active Sponsored Research

Chemical and Petroleum Engineering Mohammad Ataai Collaborative Research: Efficient Bioseparation by Intertwining Strain Chromatography and Affinity Tail Design National Science Foundation Anna Balazs Designing Smart Lubricants - U.S. Navy Harnessing Light to Control the Autonomous Functionality of Soft Active Materials - National Science Foundation Exploiting Self Assembly in Biological and Synthetic Macromolecules to Crease Novel Hybrid Materials - National Science Foundation CDI Type 1: Developing Computaional Models to Enable the Experimental Self-Assembly of Modified Carbon Nanotubes into Biomimetic Synthetic Cellular Besicles - National Science Foundation Theoretical Moedling, Synthesis and Characterization of Self-Healing Coatings - Department of Energy Designing "Active" Coating an Multilayer Composites: Harnessing Mechanochemical Transduction in Responsive Gels U.S. Army Designing Smart Surfaces and Responses Microcapsules for Creating Micro-Reactor Arrays - Department of Energy Polymer-Based Materials for Harvesting Solar Energy - University of Massachusetts Chemomechanical Transduction: Utilizing Oscillatory Chemical Processes - Brandeis University Bio-directed Hierarchical Assembly of Multi-functional Materials - University of Massachusetts Ipsita Banerjee Defining Mechanisms Controlling Stem Cell Fate During Defferentiation - National Institutes of Health Investigation of Mechanical Cues Governing Differentiation: an Intergrated Engineering and Cell Biology Approach Oak Ridge Eric Beckman International: Sustainability Research: An Undergraduate Experience - National Science Foundation REU Site Sustainable Design - National Science Foundation Student and Junior Faculty Travel Support for Engineering Sustainability 2009 Innovations that Span Boundaries National Science Foundation Robert Enick The Synthesis and Evaluation of Inexpensive CO2 Thickeners Designed By Molecular Modeling - Department of Energy Hydrogen Technology Support - Department of Energy Co2-Selective Polymeric Membranes Composed of Novel, Co2-Philic Polymers - Department of Energy Producing High Pressure H2 and High Pressure CO2 Streams from a High Pressure C02-H2 Mixture with Novel C02Phillic Absorbents - Department of Energy Novel Surfacant-Based Concepts for Improved Mobility Control of Co2 Floods - Department of Energy Novel High Capacity Oligomers for Low Cost CO2 Capture - GE Global Research Bench-Scale and Slipstream Development and Testing of Post-Combustion Carbon Dioxide Capture and Separation Technology for Application Existing Coal-Fired Plants - Keylogic Systems Novel Liquid Solvents and Solid-Liquid Phase-Transition Solvents for the Absorption of CO2 - Department of Energy CO2-Selective Membranes Based on CO2-Phillic Polymeric Materials - Department of Energy

William Federspiel Percutaneous Respiratory Assist Catheter - National Institutes of Health Systems Engineering of Pheresls Intervention for Sepsis Administrative Core Matter - National Institutes of Health Di Gao Design and Development of Super Water and Oil Repellent Surfaces By Topographic Manipulation - National Science Foundation Theoretical and Experimental Approaches to the Prediction of Gas Hydrate Equilibria - Department of Energy High-Efficiency Dye-Sensitized Solar Cells Based on Ordered TiO2 Nanotube Arrays - National Science Foundation DNA Sequencing at a Stretch - National Institutes of Health Rapid Tests for Chlamydia and Neglected Tropical Dise - National Institutes of Health Removal of Arsenic from Groundwater Using Naturally Occurring Iron Oxides in Rural Regions of Inner Mongolia China - Environmental Protection Agency Investigating the Stability of Interfacial Films in Crude Oil Emulsions by Light Transmission Through Gold Nanoholes American Chemical Society Durable Superhydrophobic Coatings - Ross Technology Corporation Anti-Icing Coatings for Power Transmission Cables - Alcoa Gerald Holder Theoretical and Experimental Approaches to the Prediction of Gas Hydrate Equilibria - Department of Energy Hydrogen Technology Support - Department of Energy J. Karl Johnson Ultra-Thin Oriented Carbon Nanotube Asymmetric Composite Membrane: Theory and Experiment - National Science Foundation GOALI: Phase Behavior and Reactivity of a Hygroscopic System - National Science Foundation First-Principal Modeling of Hydrogen Storage in Metal Hydride - Department of Energy Development of Metal Organic Framework Materials for CO2 Separation - Department of Energy Alkali-Metal Doped Nanotube Sorbents: New Materials for Destruction of Chemical Agents - University Of Virginia Atomic Scale and Process Level Modeling of Multicontaminant Removal - Department of Energy Computational Modeling of CO2 Interactions With Inorganic Sorbents - Department of Energy Backpack Poarrtable Desalinator - Teledyne Scientific Company Density Functional Theory Study of Bimetallic Nanoparticles for Syngas Chemistry - Department of Energy First-Principles Modeling of Contamnant Removal by Adsorption on Metal Surfaces - Department of Energy Nanoporous Functionalized Sorbents for CO2 Capture - Department of Energy Computational Chemistry - Atomistic Modeling of Microwave Processes Materials - Department of Energy George Klinzing GOALI Three Plug Model - National Science Foundation Steven Little CDI Type-I: Developing Computational Models to Enable the Experimental Self-Assembly of Modified Carbon Nanotubes into Biometic Synthetic Cellular Vesicles - National Science Foundation Immunization Strategies for Autologous HIV Immunology - National Institutes of Health Synthetic Dendritic Cells - Arnold & Mabel Beckman Foundation

Joseph McCarthy Macroparticle Self Deassembly Using Janus Beads to Control Cohesive Mixing Segregation of Fine Particles - National Science Foundation Fluids-Inspired Granular Processing: Novel Methods of Mixing and Separation - National Science Foundation REU: Site: Particle-Based Functional Materials for Energy, Biomedicine, and Sustainability - National Science Foundation Collaboratory for Multiphase Flow Research - Department of Energy Macroparticle Self de Assembly Using Janus Beads to Control Cohesive Mixing/Segregation of Fine Particles American Chemical Society Badie Morsi Carbon Dioxide Capture Separation Support - Department of Energy Clean Coal Conference - Department of Energy Novel Liquid Solvents and Solid-Liquid Phase-Transition Solvents for the Absorption of CO2 - Department of Energy Hydrodynamic and Mass Transfer Parameters of Gases in FT Liquids Using Agitated and Slurry and Bubble Column Reactors - Sasol Technology Netherlands Robert Parker Combinatorial Approaches for Novel Anticancer Agents - National Institutes of Health Systems Engineering of Pheresis Intervention for Sepsis - National Institutes of Health Laura Schaefer\Eric Beckman\Mary Besterfield-Sacre\Larry Shuman IGERT Sustainability Initiative in Engineering - National Science Foundation Interdisciplinary Fellowship Program in Sustainable Engineering - U.S. Department of Education Sachin Velankar Career: Morphological Control in Polymer Blends Using Polymeric Surfactants - National Science Foundation SGER Interfacial Tension Induced Deformations in Soft Solids - National Science Foundation Particles at polymer/polymer interfaces: Interfacial phenomena and morphology control in immiscible polymer blends National Science Foundation Goetz Veser CAREER: Steering Chemical Reactions Through Spatial Confinement Catalytic Reaction Engineering in Microchannel Reactors - National Science Foundation Towards Understanding Nanocomposite Materials Multiscale Tailoring For Thermally Stable and Accesible Nanoparticles - National Science Foundation Multiscale Tailoring of Highly Active and Stable Nanocomposite Catalysts - Department of Energy Novel Materials and Reactor Concepts for Chemical Looping Combustion - Department of Energy Nanostructured Catalyst Systems for WGS - Department of Energy Bimetallic Nanocomposite Catalysts for Ethanol Synthesis From Syngas - Department of Energy Co-Generation of Ultra-Pure H2 and Sequestration-Ready Co2 Streams Via Chemical Looping Reforming - Department of Energy Oxygen-Assisted Catalytic Co-Gasification of Coal/Biomass Mixtures - Department of Energy Chemical Looping Beyond Combustion: CO2 Sequestration and Hydrogen Production - Department of Energy Bimetallic Nanocomposites for Syngas Chemistry - Department of Energy Towards Understanding Nanocomposite Materials Multiscale Tailoring For Thermally Stable and Accesible Nanoparticles - National Science Foundation

FACULTY RESEARCH INTERESTS Fiscal Year 2010 Active Sponsored Research

Civil and Environmental Engineering Jorge Abad Enhancement of the Channel Evolution Model Concepts for Predicting the Water Quality Benefits of Retention of Riverine Sediments by Floodplains - U.S. Department of Agriculture Melissa Bilec Market Analysis of Construction Materials with Recommendations for the Future of the Industry - Commonwealth of Pennsylvania Impacts of Vanpooling in Pennsylvania and Southwestern Pennsylvania and Future Opportunities - Commonwealth of Pennsylvania Investigating thhe Environmental Life Cycle Assessment Performance: Focus on Insulating Concrete Forms - Green Chemistry Society Leonard Casson Identify Screen and Treat Contaminants to Ensure Wastewater Security - Water Environment Research Foundation Development of Response Protocols for Wastewater Treatment Plants Exposed to CBR Contaminants - Virginia Polytechnic Institute and State University Willie Harper CAREER Sorption and Biodegradation Processes for Removal of Pharmaceutical Compounds in Biologicla Systems National Science Foundation Sensing Soluble Organics With Microbial Fuel Cells Deployed in an Estuary - NOAA Kent Harries Structural Concrete Design With High Strengtth Steel Reinforcement - University of Cincinnati\NSF Deterioration of J Bar REinforcement in Abutments and Piers - Commonwealth of Pennsylvania Effects of Fire Damage on the Structural Properties of Steel Bridge Elements - Commonwealth of Pennsylvania Increasing PHD for Underrepresented Minoriities in Civil and Environmental Engineering at the University of Pittsburgh - Sloan Foundation AP1000 Shield Building Design Review - Westinghouse Electric Company Anthony Iannacchione Report on the Effects of Underground Mining for the Period 2003-2008 - Commonwealth of Pennsylvania Amir Koubaa Bituminous Overlay Strategies for Preventing Maintenance on Interstate Roadways - Applied Pavment Technology Amy Landis Connecting Research and Teaching Through Product Realization The Pittsburgh Quality of Life RET Site - National Science Foundation Environmental Impacts of Next Generation Biofuels - National Science Foundation Bioenergy Crops on Marginal Lands: Investigating Strategies for Remediation, Stormwater Management and Nutrient Load Reduction - National Science Foundation Biodiesel Fuel Feasibility Study - Commonwealth of Pennsylvania Beyond Design for the Environment Imrpoving Products Processes and Actions - NCIIA

Amy Landis A Research Project to Develop Health Care Greening Educational Materials for UPMC - University of Pittsburgh Medical Center Xu Liang Noss: Investigating Temporal Correlation for Power Efficient and Lossless Communication in Wireless Sensor Networks - National Science Foundation Impacts of Assimilating Remotely Sensed Snow on the Prediction of Orographic Precipitation and Stemaflow in the Western United States - U.S. Department of Commerce Enhancing NOAA AWIPS DSS by infusing NASA Research results for Drought and other Disaster Management Purdue University The Role of Vegetation, Surface, and Subsurface Processes on Mega Drought and its Implications to Climate Change Department of Energy The Role of Surface/Subsurface Processesand Large Scale Variations on Drought Prediction - NOAA Jeen-Shang Lin Predicting the Fragmentation Drilling HPHT Rocks for Oil Production Using Discrete Methods - Department of Energy Modeling and Validation: Discrete and Continuum Analysis of Fragmentation Process of Drilling into HPHT Department of Energy Joseph Marriott NRC Faculty Development - U.S. Nuclear Regulatory Commission Pultruded Green Composites - Bedford Reinforced Plastics Marlin Mickle Remote Sensing for Bridge Scour - Commonwealth of Pennsylvania Ronald Neufeld Jonathan Run Environmental Design and Assessment - Commonwealth of Pennsylvania Demonstrating the Stormwater Management Capabilities of Vegetated Roof Areas - Three Rivers Wet Weather Inc. Piervincenzo Rizzo Novel NDE/SHM Approach Based on Highly Nonlinear Dynamics - National Science Foundation GRS Supplement: Novel Remotely Controlled Actuatorfor NDE/SHM Application - National Science Foundation Sensing Technology for Damage Assessment of Sign Supports and Cantilever Pole Struc - Commonwealth of Pennsylvania Development of Undergraduate Course CEE1370 Nondestructive Evaluation - American Society for Nondestructive Testing Highly Nonlinear Solitary Waves for NDT of Civil Structures - American Society for Nondestructive Testing Albert To A New Atomistic-to-Continum Thermomechanical Model That Enables a Novel Averaging Method for Molecular Dynamics Simulations - National Science Foundation BRIDGE: Experimentally-Validated Atomistic-Scale Modeling and Simulation of Electrodeposited Single Palladium Nanowires - To, Albert Chi Fu - National Science Foundation Luis Vallejo A Study of Highway Subsidence due to Longwall Mining Using Data Collected from 1-79 - Commonwealth Of Pennsylvania

Julie Vandenbossche Advanced Sustainable Transportation Infrastructure Renewal Tier I University Transportation Center - Applied Pavment Technology Inc. Development of Desing Guide for Thin and Ultra Thin Concrete Overlays of Existing Asphalt Pavements - Minnesota Department of Transportation Establish Inputs for the New Rigid Component of the Mechanistic Empirical Pavement Design Guide (MEPDG) Commonwealth of Pennsylvania Prematuure Deterioration of Jointed Plain Concrete Pavements - Commonwealth of Pennsylvania R21 Composite Pavements - Applied Research Associates Radisav Vidic Reuse of Treated Internal or External Wastewaters in te Cooling Systems of Coal Based Thermoelectric Power Plants Department of Energy Use of Treated Municipal Wastwater as Power Plant Cooling System Makeup Water: Tertiary Tratment Versus Expanded Chemical regimen for Recirculating Water Quality Management - Carnegie Mellon University\DOE Sustainable Management of Flowback Water During Hydraulic Fracturing of Marcellus Shale for Natural Gas Production - Department of Energy Program Development and Implementation Strategies - Commonwealth of Pennsylvania Freeway Ramp Management - Commonwealth of Pennsylvania Biological Control in Cooling Water Systems Using Non Chemical Water Treatment Devices - American Society of Heating and Refrigeration Evaluation of Biofilm Monitoring and Control Using BioGeorge and VMP for Cooling Tower Applications - Veolia Water Solutions

FACULTY RESEARCH INTERESTS Fiscal Year 2010 Active Sponsored Research

Electrical and Computer Engineering Robert Boston Real-Time Amplification of Speech Transition Features to Improve Speech Recognition in Noisy Environments - U.S. Navy Kevin Chen IREE GOALI Fabrication of Three Dimensional Chiral Photonic Circuits and Electro Optical Devices in Silica Using Femtosecond Ultrafast Lasers - National Science Foundation CAREER: Multi-functional, High-Sensitivity Optical Sensors n Microstructures Fibers - National Science Foundation Nuclear Nano Engineering - National Science Foundation Collaborative Research Laser Manufacturing of Three Dimnsional Lightwave Circuits and Nano Optical devices National Science Foundation MRI: Acquisition of a High Repetition Rate Ultrafast Laser for Three-Dimensional Lightwave Circuit Fabrications National Science Foundation Fiber Optic Sensor Array For Cryogenic Fuel Monitoring and Management - Lakeshore Cryotronics Inc Supercontinum Generation in Mid-IR Range - Penn State University Fiber Optical Components for Harsh Environment Sensing - Penn State University Amro El-Jaroudi Speaker Normalization Research - Vocollect Inc Joel Falk Raman Spectroscopy for Monitoring Gas Composition - Department of Energy Peter Hawrylak\Marlin Mickle ISO 18000-7 Testing Recommendations and Data Analysis - Pacific Northwest Laboratory Alex Jones Enabling Circuit Switching with Complier and Run Time Analysis for High Performance Systems - National Science Foundation Hong-Koo Kim Plasmonic Nanostructured Devices for Chemical and Biological Sensing - National Science Foundation Single-Electron-Level Ballistic Transport Devices - National Science Foundation High Resolution Spectrometer on-a-Chip - Nanolambda Inc\National Science Foundation Steven Levitan Nonlinear Model Order Reduction for Behavioral Models of Emerging Technologies - National Science Foundation Zhi-Hong Mao Dimensionality Reduction in Control of the Human Hand - National Science Foundation Smart Codec with Telesurgery Capability - Energid Technologies Wireless Sensing and Control Technology - Bechtel Bettis Exploring Artificial Neural Networks to Develop Self AdaptiveThreat Detection Techniques for Bio-Implantable System-on-Chip - National Science Foundation

Marlin Mickle Sensitive Passive Radio Frequency Identification (RFID) Tag Development - Quintech Electronics On the Testing of Interference Among Wireless RF Devices - Clearcount Medical Solutions Radio Frequency Identification for Printed Circuit Board Manufacture and Quality Control - JEC Technologies, Inc John Pittner\Marwan Simaan An Exploratory and Radically Different Approach for Control of a Tandem Hot Metal Strip Rolling Process for Product Quality - University of Central Florida\National Science Foundation Gregory Reed Power & Energy Interfaces of Nuclear Mining and Electric Power Engineering Initiative - Commonwealth of Pennsylvania Smart Grid Interface Control Methodology Development for Integrated Resource Management - Westinghouse Electric Company Marwan Simaan\John Pittner Modern Control Technology for Tandem Hot Metal Rolling - Carnegie Mellon University Modern Control Technology for the Threading of the Tandem Hot Metal Rolling Process - Carnegie Mellon University William Stanchina A Unified Sensor System for Ubiquitous Assessment of Diet and Physical Activity - National Institutes of Health Rapid Tests Chlamydia and Tropical Disease - National Institutes of Health Volume Conduction Invasive Medical Data Communication System - Computational Diagnostics, Inc. Jun Yang Fast Software Thermal Sensing and Control for Efficient Dynamic Thermal Management - National Science Foundation CSR CSI An Update Conscious Compilation Framework for Energy Efficient Code Dissemination in Wireless Sensor Networks - National Science Foundation CAREER: EHS Thermal Award Task Scheduling for Embedded Planar and 3D Chip Multiprocessors - National Science Foundation Towards Low Power System-on-Chip - Intel Corporation Minhee Yun NUE Nanodevices and Nanoengineering Laboratory at the University of Pittsburgh - National Science Foundation Multifunctional Biomedical Nanosensors Based on Single Nanocomposite Nanowires - National Science Foundation Nanostructure and Nanomaterials Research Experience for Students at University of Pittsburgh - National Science Foundation BRIDGE: Experimentally-Validated Atomistic-Scale Modeling and Simulation of Electrodeposited Single Palladium Nanowires - National Science Foundation Point-of-Care System Based On Single Ploymer Nanowires for Real-Time AMI Diagnosis - National Institutes of Health Extremely Low Noise Carbon Nanotubes for Peltier and Photo-Detector Device Applications - Sungkyunkwan University Fabrication of Graphene Contact Electrodes - University of Texas At Dallas

FACULTY RESEARCH INTERESTS Fiscal Year 2010 Active Sponsored Research

Industrial Engineering Mary Besterfield-Sacre\Larry Shuman Collaborative Research: Assessing Technical Entrepreneurship Learning in Engineering Education - National Science Foundation Mary Besterfield-Sacre\Larry Shuman\Mark Redfern Collaborative Research: RAPD - The BME-IDEA Competition, Assessing Innovative Design in Biomedical Engineering Education - National Science Foundation Bopaya Bidanda Industry/University Cooperative Research Center for e-Design: IT Enabled Design and Realization of Engineered Products and Systems - National Science Foundation Bringing Innovative Design into Urban High Schools on a Sustainable Basis: University of Pittsburgh Design Team RET Site - National Science Foundation Machinist Training Tuition Awards - Commonwealth of Pennsylvania Bopaya Bidanda\John Camillus Development of the Proposed: Global Value and Innovation Networks Center - U.S. Department Of Education Bopaya Bidanda\Dung Nguyen Vegetable Preparation Feasibility Study - Commonwealth of Pennsylvania Jeffrey Kharoufeh Collaborative Research: NECO: A Mathematical Framework for the Performance Evaluation of Large-Scale Sensor Networks - National Science Foundation Jeffrey Kharoufeh\Lisa Maillart Collaborative Research: Adaptive Maintenance Planning Based on Evolving Residual Life Distributions - National Science Foundation George Klinzing\Kenneth Sochats Pittsburgh Framework Emergency Response Model - Commonwealth of Pennsylvania Lisa Maillart Optimal Management of Expedited Placement Livers - National Science Foundation Bryan Norman Collaborative Research: A TIE Research Program on e-Design for Design for Supply Chain - National Science Foundation Diabetes Prevention and Program for Western Pennsylvania - University of Pittsburgh Medical Center Quality Management in the Capital Facilities Delivery Industry - A Best Practices Refreshment - Construction Industry Institute Bryan Norman\Donald Burke Evaluation of Candidate Vaccine Technologies Using Computational Models - Bill and Melinda Gates Foundation

Oleg Prokopyev Novel Optimization-Based Biclustering Algorithms for Biomedical Data Analysis - National Science Foundation Collaborative Research: International Experience for Students: U.S. - Ukraine Collaboration on Discrete and Nondifferentiable Optimization - National Science Foundation Stochastic Pseudo-Boolean Optimization - U.S. Air Force Novel Optimization Techniques for Clustering, Connectivity, and Flow Problems in Complex Networks - Texas A & M Research Foundation Mark Redfern Power and Energy Initiative - Three Rivers Workforce Investment Board A Comprehensive Response to Regional Workforce and Technology Development Opportunities in Power and Energy Commonwealth of Pennsylvania Mark Redfern\Larry Foulke\Kenneth Sochats Inside the Nuclear Plant: A Visual Inspection - U.S. Department of Energy Andrew Schaefer CAREER: Next-Generation Research and Education in Therapeutic Optimization - National Science Foundation Collaborative Research: Optimization of the Design and Operation of Surgery Delivery Systems - National Science Foundation Andrew Schaefer\Cindy Bryce\Doris Rubio University of Pittsburgh Clinical and Translational Science Institute - National Institutes of Health Andrew Schaefer\Donald Burke Computational Models of Infectious Disease Threats - National Institutes of Health Andrew Schaefer\Gilles Clermont Systems Engineering of Pheresis Intervention for Sepsis - National Institutes of Health Andrew Schaefer\Oleg Prokopyev\Donald Burke\Bruce Lee\Mark Roberts Optimizing Flu Shot Design Under Uncertainty - National Science Foundation Andrew Schaefer\Jayant Rajgopal VA Pittsburgh Healthcare System Veterans Engineering Resource Center (VERC) - Veterans Affairs Medical Center Andrew Schaefer\Mark Roberts The Optimal Timing of Transplantation in Pediatric Acute Liver Failure - National Institutes of Health A Computer Simulation of the Sub-Saharan HIV Pandemic That Can Estimate Benefit and Value From Alcohol Interventions - Yale University Ravi Shankar Self-Assembling Ductile and Tough Bulk Nanostructured Alloys of High Thermal-Stability - National Science Foundation GOALI: Collaborative Research: Engineered Surface Microstructures by Machining - National Science Foundation Measuring Thermomechanical Material Response During Micromachining by In Situ Scanning Electron Microscopy National Science Foundation NRC Faculty Development - U.S. Nuclear Regulatory Commission Minimizing Metal Working Fluid Usage in Industrial Metal Cutting Processes by Modulated Machining Technology Institute of Hazardous Materials Management

Larry Shuman NRC Undergraduate Scholarship Program Swanson School of Engineering - U.S. Nuclear Regulatory Commission Larry Shuman\Mary Besterfield-Sacre Collaborative Research: Improving Engineering Students' Learning Strategies Through Models and Modeling - National Science Foundation Larry Shuman\Mary Besterfield-Sacre\Eric Beckman\Laura Schaefer US-Brazil Partnership in Sustainability and Innovative Design (S&ID) - U.S. Department Of Education Kenneth Sochats Pennsylvania Catastrophic Grant Program (Public Preparedness) Project Management - Commonwealth of Pennsylvania

FACULTY RESEARCH INTERESTS Fiscal Year 2010 Active Sponsored Research

Mechanical Engineering and Materials Science Sung Cho Micro Bubble Tweezers for Individual Cell Manipulation and In Vitro Ultrasound Cell Therapy - National Science Foundation Integrated Microsystem for Airborne Pathogen Detection with Digital Microfluids and Quantum DOT Nanosensors National Science Foundation Ultra Trace Detection of Explosives Enabled By an Integrated - National Science Foundation Bubbie Detachment on Micro Nano Structured Solid Surfaces in Energy Applications - American Chemical Society Minking Chyu Aerothermal Materials Integrated Thermal Protection - Department of Energy Nanofluids for Enhanced Thermal Energy Transport - Department of Energy Turbine Aerothermal and Material Research for Oxy-fuel and Hydrogen Cycles - Department of Energy Multifunctional Smart Nanoparticle Based Drilling Fluids for Ultra Deep Oil Gas Exploration - Department of Energy Enhanced Water Recovery of Power Cooling Tower Systems - Department of Energy Development of Nanoparticles Enhanced Drilling Fluids - Department of Energy Aerothermal Research with High-Temperature, High Pressure Turbine Test Rig and Steam/CO2 Cooling Facitities Department of Energy Experimental Testing of Advanced Airfoil Cooling Concepts - Department of Energy New Conceps for Enhanced Cooling with Superheates Steam - Department of Energy Heat Transfer on Convective Surfaces Mounted with Inclined Pin Fins - Solar Turbines William Clark Design and Analysis of a Bridge-Bearing Energy Harvester - University of Oklahoma Daniel Cole GOALI: Nanoscale Hysteresis Modeling and Control in Precision Equipment - National Science Foundation Dynamic Maskless Holographic Lithogra - National Science Foundation Larry Foulke Graduate Certificate Program in Nuclear Engineering - U.S. Nuclear Regulatory Commission Fellowship and Scholarship Support - Department of Energy Pradeep Fulay IPA Agreement - National Science Foundation Giovanni Galdi Mathematical Problems in Liquid Particle Interaction - National Science Foundation Peyman Givi Filtered Density Function for Subgrid Scale Modeling of Turbulent Combustion - U.S. Air Force Assessment of Turbo Chemisty Models for Prediction of Fuel Composition Effects on GTC Emissions - Department of Energy Large Eddy Simulation of Turbulent Combustion via the Filtered Density Function - NASA Center for Hypersonic Combined Cycle Flow Physics - University Of Virginia/Air Force PDF Methods in LES Reacting Flow Simulation - Department of Energy

Brian Gleeson High Temperature Coatings Effects of Composition and Microstructure on Reaction Behavior Under Progressive Environmental Conditions - U.S. Navy Thermal Barrier Coatings for Advanced Oxy-Fuel and Hydrogen Turbines - Department of Energy Shuttle Services Support of NETL IAES - Department of Energy Understanding Alloying Effects to Improve the Hot-Corrosion Resistance of y-Ni+y3A1 - U.S. Navy Surface Processing for Enhanced Environmental and Creep Fatigue Resistance - Directed Vapor Technologies Controlling Protective Scale Formation Development of Novel Pt Free fx-Ni+fx S-Ni3Al-Based Coatings by Optimizing Minor-Element Effects - U.S Navy Power and Energy Interfaces of Nuclear Mining and Electric Engineering Initiative - Commonwealth of Pennsylvania Jennifer Gray Size-Selecting Semiconductor Templates for Nano-Scale Spatial Control of Self-Assembled Heterostructures - National Science Foundation Cryo-FIB Processing of Vitreous Biological Specimen for Electron Tomography - National Institutes of Health Mark Kimber NRC Faculty Development - U.S. Nuclear Regulatory Commission Accoustic, Thermal and Fluidic Investigations of Piezo Blower - Murata Manufacturing Company George Klinzing\Minking Chyu University of Pittsburgh Recruitment Research Professor in Mechanical and Materials Science and Engineering Commonwealth of Pennsylvania Prashant Kumta Dentin Bimineralization - National Institutes of Health Nano Calcium Phosphate for Gene Delivery - National Institutes of Health High Capacity Reversible Nanoscale Heteroostructures: Novel Anodes for Lithium Ion Batteries - Lawrence Berkeley National Lab NSF Engineering Research Center for Revolutionizing Metallic Biomaterials - North Carolina A & T University Next Generation Transition Metal Non Oxide Suuper Capacitors - Agonn Systems Jun-Kung Lee Electron Injection in Nanostructures Materials New Paradigm of Transparent Conducting Oxides - National Science Foundation John Leonard Career: Rapid Lateral Solidification in Thin Metallic Films: A New Route to Engineered Microstructures for Advanced Micro Device - National Science Foundation Scott Mao Nanomechanics of Deformation Process in Nanocrystalline Materials - National Science Foundation Thermal Barrier Coatings for Advanced Oxy-Fuel and Hydrogen Turbines - Departmment of Energy Gerald Meier\Frederick Pettit Energy Efficient Melting and Direct Delivery of High Quality Molten Aluminum - Apogee Technology Inc Thermal Barrier Coatings for Advanced Oxy-Fuel and Hydrogen Turbines - Department of Energy High Temperature Coatings: Effects of Composition and Microstructure on Reaction Behavior Under Progressive Environmental Conditions - U.S. Navy Advanced Air Plasma Sprayed Thermal Barrier Coating (Bond Coat) - Department of Energy Materials of Oxy Fuel Turbomachine Conditions - Clemson University Effects of Water Vapor and Hydrogen on Alloy/Coating Degradation - Department of Energy

Gerald Meier\Frederick Pettit Effects of Deposits on the Degradation of Superalloys and Oxidation Resistant Coatings in Gas Turbines - Department of Energy Improved Corrosion Resistance of Solid Oxide Fuel Cell (SOFC) Interconnect Materials - U.S. Navy Effects of Steam and Oxyfuel Environments on Alloy/Coating Degradation - Department of Energy Bond Coat Development - Department of Energy Advanced-High-Purity Low-Density Thermal Barrier Coatings - Department of Energy Investigation of the Transitions Between Deposit-Induced Degradation Regimes and the Influence of Alloying Elements in Coatings and Structural Alloys - US Navy Mark Miller Upper Extremity Biomechanics: Laboratory and Clinical Research - Allegheny General Hospital Elbow Biomechanics: Radial Head Replacement, MUCL Augmentation and Elbow Control - Allegheny General Hospital Ian Nettleship The Processing of Highly Porous Ceramice By Annalogy with Quasi Regular Eutectic Structures - National Science Foundation Manufacturing the Microstructural Niche for Liver Bioreactors - National Science Foundation Anne Robertson Improved Animal Modeling of Saccular Aneurysms - Mayo Clinic Rochester/NIH Laaura Schaefer Career: Microscale Two Phase Zeotropic Flow in Energy Systems - National Science Foundation Environmentally Sound High Performance Compact Thermacoustic Refrigeration - National Science Foundation William Slaughter Airfoil Life Predictions - Department of Energy Patrick Smolinski Effect of Single and Double ACL on Tibio Femoral Contact Pressure - Pittsburgh Foundation Jeffrey Vipperman Environmentally Sound High Performance Compact Thermacoustic Refrigeration - National Science Foundation ACT Active Combustion Throttling for ESD: Distributed Flow Control in Advanced Energy Systems - Department of Energy Deveopment and Implementation of Metrics for Identifying Military Impulse Noise - U.S. Army Sensors and Control - Department of Energy Nanoscale Hysteresis Modeling and Control in Precision Equipment - Aerotech Inc. Qing-Ming Wang Field Assisted Manufacturing of Multi Functional And Nanowire Polymer Nanocomposites - National Science Foundation High Temperature Acoustic Wave Sensors Based on the Oxyborate Crystals - National Science Foundation Integrated Multimode Thin Film Bulk Acoustic Wave Resonators - U.S. Army Passive Wireless Acoustic Wave Sensors for Monitoring CO2 Emissions for Geological Sequestration Sites Department of Energy Lisa Weiland Enabling High Performance Miniature Ionomeric Sensors - National Science Foundation High Performance, Mechanically Robust Ionomeric Sensors - National Science Foundation Light Activated Shape Memory Polymeer Composites - Cornerstone Research Group

Jorg Wiezorek Electron Density Determination, Bonding and Properties of Tetragonal Ferromagnetic Intermetallics - Department of Energy NRC Graduate Fellowship Program - U.S. Nuclear Regulatory Commission Judith Yang Fundamental Dynamics of Meatl Alloy Oxidation as Visualized By In Situ UHV-TEM - National Science Foundation Silicon Carbide Nanocone and Heterostructure Formations Catalyzed by the Release of Carbon-Encapsulated Metal Nanoparticles - National Science Foundation Multiscale Atomistic Simulation of Metal Oxygen-Surface Interactions: Methodological Development, Theoretical Investigation and Correlation with Experiment - Department of Energy Methanol Oxidation Catalyzed By Copper Based Materials Investigated by the Situ Ultra Hig Vacuum Transmission Electron Microscopy - American Chemical Society The Reactivity & Structural Dynamics of Supported Metal Nanoclusters Using Electron Microscopy, In-Situ X-Ray Spectroscopy Electronic Structure Theories and Molecular Dynamics Simulations - University of Illinois

Research Expenditures Fiscal Year 2010 State & Local Government

Federal Government

Department Bioengineering

7,755,162

16,400

Private/ Non-Profit Organizations

6,505

8,140,013

140,838

106,479

5,258,027

180,581

75,256

3,084,648

355,690

295,575

2,356,947

Chemical

5,010,710 1,589,162

Electrical & Computer

1,705,682

Industrial

1,924,152

564,319

65,522

MEMS

4,905,923

27,423

151,958

145,216

7,026

Dean's Office Total

$23,036,007

$1,854,817

Total

361,946

Civil & Environmental

1,239,649

Business & Industry

2,553,993 72,215

5,157,519 152,242

$1,256,535

$556,030

$26,703,389

Research Related

$13,924,929

Research Other

$34,149,619

Total Expenditures

$74,777,937

7%

5%

2%

86%

Federal Government State & Local Governments Private/Non-Profit Organization Business & Industry

Faculty Publications

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

VXEMHFWV -RXUQDO RI 5HKDELOLWDWLRQ 5HVHDUFK DQG 'HYHORSPHQW ±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¶&RQQRU ' 3 $OPHNLQGHUV / & %HVW 7 0 %XFNZDOWHU - $ *DUUHWW -U : ( .LUNHQGDOO ' 7 0RZ 9 & :RR 6 / < 6HFWLRQ $ 3K\VLRORJ\ RI ,QMXU\ WR 0XVFXORVNHOHWDO 6WUXFWXUHV 2UWKRSDHGLF 6SRUWV 0HGLFLQH 3ULQFLSOHV DQG 3UDFWLFH 7KLUG (GLWLRQ 'H/HH ' 0LOOHU ( (GV 3KLODGHOSKLD 3HQQV\OYDQLD &KDSWHU $ 0XVFOH DQG 7HQGRQ ,QMXU\ %ULQNHU 0 5 2¶&RQQRU ' 3 $OPHNLQGHUV / & %HVW 7 0 %XFNZDOWHU - $ *DUUHWW -U : ( .LUNHQGDOO ' 7 0RZ 9 & :RR 6 / < 6HFWLRQ $ 3K\VLRORJ\ RI ,QMXU\ WR 0XVFXORVNHOHWDO 6WUXFWXUHV 2UWKRSDHGLF 6SRUWV 0HGLFLQH 3ULQFLSOHV DQG 3UDFWLFH 7KLUG (GLWLRQ 'H/HH ' 0LOOHU ( (GV 3KLODGHOSKLD 3HQQV\OYDQLD &KDSWHU $ /LJDPHQWRXV ,QMXU\ %ULQNHU 0 5 2¶&RQQRU ' 3 $OPHNLQGHUV / & %HVW 7 0 %XFNZDOWHU - $ *DUUHWW -U : ( .LUNHQGDOO ' 7 0RZ 9 & :RR 6 / < 6HFWLRQ $ 3K\VLRORJ\ RI ,QMXU\ WR 0XVFXORVNHOHWDO 6WUXFWXUHV 2UWKRSDHGLF 6SRUWV 0HGLFLQH 3ULQFLSOHV DQG 3UDFWLFH 7KLUG (GLWLRQ 'H/HH ' 0LOOHU ( (GV 3KLODGHOSKLD 3HQQV\OYDQLD &KDSWHU $ $UWLFXODU &DUWLODJH ,QMXU\ %ULQNHU 0 5 2¶&RQQRU ' 3 $OPHNLQGHUV / & %HVW 7 0 %XFNZDOWHU - $ *DUUHWW -U : ( .LUNHQGDOO ' 7 0RZ 9 & :RR 6 / < 6HFWLRQ $ 3K\VLRORJ\ RI ,QMXU\ WR 0XVFXORVNHOHWDO 6WUXFWXUHV 2UWKRSDHGLF 6SRUWV 0HGLFLQH 3ULQFLSOHV DQG 3UDFWLFH 7KLUG (GLWLRQ 'H/HH ' 0LOOHU ( (GV 3KLODGHOSKLD 3HQQV\OYDQLD &KDSWHU $ 0HQLVFXV ,QMXU\ %ULQNHU 0 5 2¶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

%URZQ % 1 9DOHQWLQ - ( 6WHZDUW $NHUV $ 0 0F&DEH * 3 %DG\ODN 6 ) 0DFURSKDJH SKHQRW\SH DQG UHPRGHOLQJ RXWFRPHV LQ UHVSRQVH WR ELRORJLF VFDIIROGV ZLWK DQG ZLWKRXW D FHOOXODU FRPSRQHQW %LRPDWHULDOV (SXE -DQ %XGLODUWR 6 * )UDQNRZVNL % - +DWWOHU % * )HGHUVSLHO : - )ORZ YLVXDOL]DWLRQ VWXG\ RI D QRYHO UHVSLUDWRU\ DVVLVW FDWKHWHU $UWLI 2UJDQV %XUJHVV . $ +X + + :DJQHU : 5 )HGHUVSLHO : - 7RZDUGV PLFURIDEULFDWHG ELRK\EULG DUWLILFLDO OXQJ PRGXOHV IRU FKURQLF UHVSLUDWRU\ VXSSRUW %LRPHG 0LFURGHY &DWDSDQR * 3DW]HU ,, - ) *HUODFK - & 7UDQVSRUW $GYDQFHV LQ 'LVSRVDEOH %LRUHDFWRUV IRU /LYHU 7LVVXH (QJLQHHULQJ 'LVSRVDEOH %LRUHDFWRUV (LEO 5 (LEO (GV 6SULQJHU 9RO &HQFLDULQL 0 /RXJKOLQ 3 - 6SDUWR 3 5HGIHUQ 0 6 6WLIIQHVV DQG GDPSLQJ LQ SRVWXUDO FRQWURO LQFUHDVH ZLWK DJH ,((( 7UDQV %LRPHG (QJ &KDQ / -HWWH $ 0 2WWHQEDFKHU . - 5RELQVRQ / 5 7LHWVZRUWK 0 / 5LFNHU - + %RQLQJHU 0 / %XLOGLQJ D UHVHDUFK SURJUDP LQ UHKDELOLWDWLRQ VFLHQFHV SDUW ,, FDVH VWXGLHV 8QLYHUVLW\ RI 7H[DV 0HGLFDO %UDQFK %RVWRQ 8QLYHUVLW\ 8QLYHUVLW\ RI 3LWWVEXUJK DQG 8QLYHUVLW\ RI :DVKLQJWRQ $PHULFDQ -RXUQDO RI 3K\VLFDO 0HGLFLQH DQG 5HKDELOLWDWLRQ &KDQJ & / 0XQLQ 0 & 6NLGPRUH ( 5 1L\RQNXUX & +XEHU / 0 :HEHU ' - (IIHFW RI EDVHOLQH VSDVWLF KHPLSDUHVLV RQ UHFRYHU\ RI XSSHU OLPE IXQFWLRQ IROORZLQJ ERWXOLQXP WR[LQ W\SH $ LQMHFWLRQV DQG SRVWLQMHFWLRQ WKHUDS\ $UFK 3K\V 0HG 5HKDELO &KDQJ ' 7 +HUFHJ 0 & %LORQLFN 5 $ &DPHMR / 6FKXPDQ - 6 1RHFNHU 5 - ,QWUDFDPHUDO GH[DPHWKDVRQH UHGXFHV LQIODPPDWLRQ RQ WKH ILUVW SRVWRSHUDWLYH GD\ DIWHU FDWDUDFW VXUJHU\ LQ H\HV ZLWK DQG ZLWKRXW JODXFRPD &OLQ 2SKWKDOPRO &KHQ & : 0RQWHODWLFL ( &ULVDQ 0 &RUVHOOL 0 +XDUG - /D]]DUL / 3HDXOW % 3HULYDVFXODU PXOWL OLQHDJH SURJHQLWRU FHOOV LQ KXPDQ RUJDQV 5HJHQHUDWLYH PHGLFLQH XQLWV F\WRNLQH VRXUFHV RU ERWK" &\WRNLQH *URZWK IDFWRU 5H &KHQ & = & 3HQJ < ; :DQJ = % )LVK 3 9 .DDU - / .RHSVHO 5 5 5XVVHOO $ - /DUHX 5 5 5DJKXQDWK 0 7KH 6FDU LQ D -DU 6WXG\LQJ SRWHQWLDO DQWLILEURWLF FRPSRXQGV IURP WKH HSLJHQHWLF WR H[WUDFHOOXODU OHYHO LQ D VLQJOH ZHOO %ULWLVK -RXUQDO RI 3KDUPDFRORJ\ &KHQ ; 3 /L < 5ROH RI PDWUL[ PHWDOORSURWHLQDVHV LQ VNHOHWDO PXVFOH 0LJUDWLRQ GLIIHUHQWLDWLRQ UHJHQHUDWLRQ DQG ILEURVLV &HOO $GKHVLRQ 0LJUDWLRQ 30,' &KHUXELQR 0 0DUUD . * $GLSRVH GHULYHG VWHP FHOOV IRU VRIW WLVVXH UHFRQVWUXFWLRQ 5HJHQHUDWLYH 0HGLFLQH &KX & 5 6]F]RGU\ 0 %UXQR 6 $QLPDO PRGHOV IRU FDUWLODJH UHJHQHUDWLRQ DQG UHSDLU 7LVVXH (QJLQHHULQJ 3DUW % 5HY

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

'DV 7 %DH < :HOOV $ 5R\ 3 3URILOLQ RYHUH[SUHVVLRQ XSUHJXODWHV 37(1 DQG VXSSUHVVHV $.7 DFWLYDWLRQ LQ EUHDVW FDQFHU FHOOV -RXUQDO RI &HOO 3K\VLRORJ\ 'DWWD 0 . .XPWD 3 1 ,Q VLWX HOHFWURFKHPLFDO V\QWKHVLV RI OLWKLDWHG VLOLFRQ FDUERQ EDVHG FRPSRVLWH DQRGH PDWHULDOV IRU OLWKLXP LRQ EDWWHULHV - 3RZHU 6RXUFHV 'DYp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

'R\OH % - &DOODQDQ $ %XUNH 3 ( *UDFH 3 $ :DOVK 0 7 9RUS ' $ 0F*ORXJKOLQ 7 0 9HVVHO DV\PPHWU\ DV DQ DGGLWLRQDO GLDJQRVWLF WRRO IRU WKH DVVHVVPHQW RI DEGRPLQDO DRUWLF DQHXU\VPV - 9DVF 6XUJ 30,' 30&,' 30& 1,+06,' 1,+06 'R\OH % - &RUEHWW 7 - &DOODQDQ $ :DOVK 0 7 9RUS ' $ 0F*ORXJKOLQ 7 0 $Q H[SHULPHQWDO DQG QXPHULFDO FRPSDULVRQ RI WKH UXSWXUH ORFDWLRQV RI DQ DEGRPLQDO DRUWLF DQHXU\VP - (QGRYDVF 7KHU 30,' 30&,' 30& 'R\OH % - &RUEHWW 7 - &ORRQDQ $ - 2¶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± 'XQFDQ ' 5XELQ 3 - *ROLW] / %DG\ODN 6 ) .HVHO / )UHXQG - 'XQFDQ ' 5HILQHPHQW RI WHFKQLTXH LQ LQMHFWLRQ OLSRO\VLV EDVHG RQ VFLHQWLILF VWXGLHV DQG FOLQLFDO HYDOXDWLRQ &OLQ 3ODVWLF 6XUJHU\ 30,' (FNHUW & ( =XELDWH % 9HUJQDW 0 *RUPDQ ,,, - + *RUPDQ 5 & 6DFNV 0 6 ,Q YLYR G\QDPLF GHIRUPDWLRQ RI WKH PLWUDO YDOYH DQQXOXV $QQDOV RI %LRPHGLFDO (QJLQHHULQJ (GHOLQJ 0 $ 6DQNHU 6 6KLPD 7 8PDVDQNDU 3 . +|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

)UDVHU * : &KDVH 6 0 :KLWIRUG $ 6FKZDUW] $ % &RQWURO RI D EUDLQ FRPSXWHU LQWHUIDFH ZLWKRXW VSLNH VRUWLQJ - 1HXUDO (QJ )XMLPRWR . / 0D = 1HOVRQ ' 0 +DVKL]XPH 5 *XDQ - 7RELWD . :DJQHU : 5 6\QWKHVLV FKDUDFWHUL]DWLRQ DQG WKHUDSHXWLF HIILFDF\ RI D ELRGHJUDGDEOH WKHUPRUHVSRQVLYH K\GURJHO GHVLJQHG IRU DSSOLFDWLRQ LQ FKURQLF LQIDUFWHG P\RFDUGLXP %LRPDWHULDOV )XMLPRWR . / 0LNL 7 /LX / - +DVKL]XPH 5 6WURP 6 & :DJQHU : 5 .HOOHU % % 7RELWD . 1DwYH UDW DPQLRQ GHULYHG FHOO WUDQVSODQWDWLRQ LPSURYHG OHIW YHQWULFXODU IXQFWLRQ DQG UHGXFHG P\RFDUGLDO VFDU RI SRVW LQIDUFWHG KHDUW &HOO 7UDQVSODQWDWLRQ )XUODQ $ 0DULQ ' %DH . 7 /DJDOOD 5 $JQHOOR ) %D]]RFFKL 0 %UDQFDWHOOL * )RFDO /LYHU /HVLRQV +\SHULQWHQVH RQ 7 ZHLJKWHG 05 ,PDJHV 6HPLQ 8OWUDVRXQG &7 05, *DJQRQ ' .RRQW] $ 0 %ULQGOH ( %RQLQJHU 0 / &RRSHU 5 $ 'RHV XSSHU OLPE PXVFXODU GHPDQG GLIIHU EHWZHHQ SUHIHUUHG DQG QRQ SUHIHUUHG VLWWLQJ SLYRW WUDQVIHU GLUHFWLRQV LQ LQGLYLGXDOV ZLWK VSLQDO FRUG LQMXU\" -RXUQDO RI 5HKDELOLWDWLRQ 5HVHDUFK DQG 'HYHORSPHQW *DJQRQ ' .RRQW] $ 0 0XOUR\ 6 - 1DZRF]HQVNL ' %XWOHU )RUVOXQG ( *UDQVWURP $ 1DGHDX 6 %RQLQJHU 0 / %LRPHFKDQLFV RI VLWWLQJ SLYRW WUDQVIHUV DPRQJ LQGLYLGXDOV ZLWK D VSLQDO FRUG LQMXU\ $ UHYLHZ RI WKH FXUUHQW NQRZOHGJH 7RSLFV LQ 6SLQDO &RUG ,QMXU\ 5HKDELOLWDWLRQ *DXQW 5 $ +RNDQVRQ - $ :HEHU ' - 0LFURVWLPXODWLRQ RI SULPDU\ DIIHUHQW QHXURQV LQ WKH / GRUVDO URRW JDQJOLD XVLQJ PXOWLHOHFWURGH DUUD\V LQ DQHVWKHWL]HG FDWV WKUHVKROGV DQG UHFUXLWPHQW SURSHUWLHV - 1HXUDO (QJ *HOHQEH ( 0DR = + /L < ' 'HWHUPLQLVWLF FRPSXWDWLRQ ZLWK UDQGRP * QHWZRUNV )XQGDPHQWDO &RQFHSWV LQ &RPSXWHU 6FLHQFH ,PSHULDO &ROOHJH 3UHVV *HUODFK - & +RXW 0 (GVEDJJH - %M|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±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¶V +\SHUWHQVLYH 'LVHDVHV LQ 3UHJQDQF\ UG HG /LQGKHLPHU 0 ' 5REHUWV - 0 &XQQLQJKDP ) * (GV $FDGHPLF 3UHVV 1HZ <RUN +R - 6XOO $ & 9XRQJ / 1 &KHQ < /LX - )XMLPRWR - * 6FKXPDQ - 6 'XNHU - 6 $VVHVVPHQW RI DUWLIDFWV DQG UHSURGXFLELOLW\ DFURVV VSHFWUDO DQG WLPH GRPDLQ RSWLFDO FRKHUHQFH WRPRJUDSK\ GHYLFHV 2SKWKDOPRORJ\ +RQJ < <H 6 + 1LHSRQLFH $ 6ROHWWL / 9RUS ' $ :DJQHU : 5 $ VPDOO GLDPHWHU ILEURXV YDVFXODU FRQGXLW JHQHUDWHG IURP D SRO\ HVWHU XUHWKDQH XUHD DQG SKRVSKROLSLG SRO\PHU EOHQG %LRPDWHULDOV ± +VX 6 / /LDQJ 5 :RR 6 / < )XQFWLRQDO 7LVVXH (QJLQHHULQJ RI /LJDPHQW DQG 7HQGRQ +HDOLQJ LQ 6SRUWV 0HGLFLQH $UWKURVFRS\ 5HKDELOLWDWLRQ 7KHUDS\ DQG 7HFKQRORJ\ (G . 0 &KDQ +XDQJ $ + 6WHLQ $ 7XDQ 5 6 0DXFN 5 / 7UDQVLHQW H[SRVXUH WR 7*) ‰ LPSURYHV WKH PHFKDQLFDO SURSHUWLHV RI 06& ODGHQ FDUWLODJH FRQVWUXFWV LQ D GHQVLW\ GHSHQGHQW PDQQHU 7LVVXH (QJ 3DUW $

+XDQJ * 7 - <DPD]D 7 6KHD / ' 'MRXDG ) .XKQ 1 = 7XDQ 5 6 6KL 6 6WHP SURJHQLWRU FHOO PHGLDWHG GH QRYR UHJHQHUDWLRQ RI GHQWDO SXOS ZLWK QHZO\ GHSRVLWHG FRQWLQXRXV OD\HU RI GHQWLQ LQ DQ LQ YLYR PRGHO 7LVVXH (QJLQ ,EUDKLP 7 )HDU ( &UR]LHU 6 1HZ (OHFWURPDJQHWLF 0HWKRGV DQG $SSOLFDWLRQV RI $QWHQQDV LQ %LRPHGLFLQH +LQGDZL 3XEOLVKLQJ &RUS 86 65 1HZ <RUN KWWS ZZZ DPD]RQ FRP (OHFWURPDJQHWLF $SSOLFDWLRQV %LRPHGLFLQH ,QWHUQDWLRQDO 3URSDJDWLRQ GS UHI VUB B "LH 87) V ERRNV TLG VU ,EUDKLP 7 6 +XH < . 7DQJ / 8QGHUVWDQGLQJ DQG PDQLSXODWLQJ WKH 5) ILHOGV DW KLJK ILHOG 05,”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¶'RQQHOO 0 7ZR GLPHQVLRQDO VWUDLQ LPDJLQJ RI FRQWUROOHG UDEELW KHDUWV 8OWUDVRXQG LQ 0HG %LRO ± 30&,' -RKQVRQ / 6LPRQ 0 3LQVN\ 0 5 6KURII 6 * ,QVLJKWV LQWR WKH HIIHFWV RI FRQWUDFWLRQ G\VV\QFKURQ\ RQ JOREDO OHIW YHQWULFXODU PHFKDQR HQHUJHWLF IXQFWLRQ 3$&( -RQHV . )HROD $ 0H\Q / $EUDPRZLWFK 6 ' 0RDOOL 3 $ 7HQVLOH SURSHUWLHV RI FRPPRQO\ XVHG SURODSVH PHVKHV ,QWHUQDWLRQDO 8URORJ\ -RXUQDO -R\FH ( 0 /LDR - 6FKRHQ ) - 0D\HU - ( 6DFNV 0 6 )XQFWLRQDO FROODJHQRXV DUFKLWHFWXUH RI WKH SXOPRQDU\ KHDUW YDOYH FXVS $QQDOV RI 7KRUDFLF 6XUJHU\ $SU

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Ä®*$/ (SLWRSH RQ WKH 5HVSRQVH WR 6,6 (&0 LQ D 1RQKXPDQ 3ULPDWH 0RGHO 7LVVXH (QJLQHHULQJ 3DUW $ GRL WHQ WHD 30,'

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pILQLWLRQ 3K\VLRSDWKRORJLH &RQVpTXHQFHV KpPRG\QDPLTXHV GHV LQWHUDFWLRQV F°XU SRXPRQV ,QVXIILVDQFH FLUFXODWRLUH DLJXs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±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± 0DUVK % & &DQWRU / % :XGXQQ ' +RRS - /LS\DQLN - 3DWHOOD 9 0 %XGHQ] ' / *UHHQILHOG ' 6 6DYHOO - 6FKXPDQ - 6 9DUPD 5 2SWLF QHUYH KHDG 21+

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

0LKHOF . 0 )UDQNRZVNL % - /LHEHU 6 & 0RRUH 1 ' +DWWOHU % * )HGHUVSLHO : - (YDOXDWLRQ RI D UHVSLUDWRU\ DVVLVW FDWKHWHU WKDW XVHV DQ LPSHOOHU ZLWKLQ D KROORZ ILEHU PHPEUDQH EXQGOH $6$,2 -RXUQDO 0LOMNRYLF 1 ' &RRSHU * 0 +RWW 6 / 'L6DOOH % ) *DZDOW ( 6 6PLWK ' 0 0F*RZDQ . 0DUUD . * &DOFLXP DOXPLQDWH 5*' PRGLILHG FDOFLXP DOXPLQDWH DQG ‰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± 30,' 0X ; ' :DQJ : /L < 0\REODVW WUDQVSODQWDWLRQ DQG ILEURVLV SUHYHQWLRQ LQ LQMXUHG DQG GLVHDVHG PXVFOH 86 0XVFXORVNHOHWDO 5HYLHZ 0XUD - - 3DYOLQ & - &RQGRQ * 3 %HORYD\ * : .UDQHPDQQ & ) ,VKLNDZD + $KPHG , , 8OWUDVRXQG ELRPLFURVFRSLF DQDO\VLV RI LULV VXWXUHG IROGDEOH SRVWHULRU FKDPEHU LQWUDRFXODU OHQVHV $P - 2SKWKDOPRO H 1DJKVKLQ - -DQF]HZVNL $ 0 6PLWK 6 + 5RPDQR / & 0DWKLHU 0 $ 0F*DIILQ . 6KURII 6 * 2¶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¶1HLOO $ .XPWD 3 1 ,Q VLWX UDPDQ PLFURVFRS\ GXULQJ GLVFKDUJH RI D KLJK FDSDFLW\ VLOLFRQ FDUERQ FRPSRVLWH /L LRQ EDWWHU\ QHJDWLYH HOHFWURGH (OHFWURFKHPLVWU\ &RPPXQLFDWLRQV 1JX\HQ 7 /LDQJ 5 :RR 6 / < %XUWRQ 6 :X & $OPDU]D $ 6DFNV 0 $EUDPRZLWFK 6 (IIHFWV RI FHOO VHHGLQJ DQG F\FOLF VWUHWFKLQJ RQ WKH UHPRGHOLQJ RI DQ H[WUDFHOOXODU PDWUL[ GHULYHG ELRVFDIIROG 7LVVXH (QJLQHHULQJ

2NRSDO * /RXJKOLQ 3 0RPHQWV RI D SXOVH SURSDJDWLQJ ZLWK GLVSHUVLRQ DQG GDPSLQJ D SKDVH VSDFH EDVHG DSSUR[LPDWLRQ PHWKRG - 0RGHUQ 2SWLFV 2ODIVVRQ 5 :LWWH 5 6 -LD & +XDQJ 6 : .LP . 2¶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±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

3DVTXLQD 3 ) &RRSHU 5 $ &DUH RI WKH &RPEDW $PSXWHH %RUGHQ ,QVWLWXWH 2IILFH RI WKH 6XUJHRQ *HQHUDO RI WKH 86 $UP\ :DVKLQJWRQ '& 3DWURQLN 1 $ 2WD 7 =HQDWL 0 $ 5LYLHUH & 1 $ PLQLDWXUH PRELOH URERW IRU SUHFLVH DQG VWDEOH DFFHVV WR WKH EHDWLQJ KHDUW ,((( 7UDQVDFWLRQV RQ 5RERWLFV - 3HDUOPDQ - &RRSHU 5 $ &KKDEUD + 6 -HIIHUGV $ 'HVLJQ GHYHORSPHQW DQG WHVWLQJ RI D ORZ FRVW HOHFWULF SRZHUHG ZKHHOFKDLU IRU ,QGLD 'LVDELOLW\ DQG 5HKDELOLWDWLRQ $VVLVWLYH 7HFKQRORJ\ 3LQVN\ 0 5 &KDSWHU +HDUW /XQJ ,QWHUDFWLRQV &LYHWWD 7D\ORU DQG .LUE\¶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¶$PRUH $ +REVRQ & )LQLWH (OHPHQW 0HWKRGV LQ %LRPHFKDQLFV %LRPDWHULDOV 6FLHQFH $Q LQWURGXFWLRQ WR 0DWHULDOV LQ 0HGLFLQH UG HGLWLRQ 5DWQHU % 6FKRHQ )U +RIIPDQ $ /HPRQV - (GV 6DFNV 0 6 6FKRHQ ) - 0D\HU - ( -U %LRHQJLQHHULQJ FKDOOHQJHV IRU KHDUW EDOYH WLVVXH HQJLQHHULQJ $QQXDO 5HYLHZV RI %LRPHGLFDO (QJLQHHULQJ

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¶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¶ ZKHHOFKDLU JDPHV $ SLORW VWXG\ 3URVWKHWLFV DQG 2UWKRWLFV ,QWHUQDWLRQDO 6SRUQHU 0 / )LW]JHUDOG 6 * 'LFLDQQR % ( &ROOLQV ' 0 7HRGRUVNL ( 3DVTXLQD 3 ) &RRSHU 5 $ 3V\FKRVRFLDO LPSDFW RI SDUWLFLSDWLRQ LQ WKH QDWLRQDO YHWHUDQV¶ ZKHHOFKDLU JDPHV DQG ZLQWHU VSRUWV FOLQLF 'LVDELOLW\ DQG 5HKDELOLWDWLRQ 6WDFKHOVFKHLG + 8UEDQLDN 7 5LQJ $ 6SHQJOHU % *HUODFK - & =HLOLQJHU . ,VRODWLRQ DQG FKDUDFWHUL]DWLRQ RI DGXOW KXPDQ OLYHU SURJHQLWRUV IURP LVFKHPLF OLYHU WLVVXH GHULYHG IURP WKHUDSHXWLF KHSDWHFWRPLHV 7LVVXH (QJ 3DUW $ 30,'

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±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± 30,' 7DQ 2 &KRSUD 9 /X $ 7 6FKXPDQ - 6 ,VKLNDZD + 9DUPD 5 +XDQJ ' 'HWHFWLRQ RI PDFXODU JDQJOLRQ FHOO ORVV LQ JODXFRPD E\ IRXULHU GRPDLQ RSWLFDO FRKHUHQFH WRPRJUDSK\ 2SKWKDOPRORJ\ H

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|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± :DQJ ' .ODW]N\ 5 :X % :HOOHU * 6DPSVRQ $ 6WHWWHQ * )XOO\ DXWRPDWHG FRPPRQ FDURWLG DUWHU\ DQG LQWHUQDO MXJXODU YHLQ LGHQWLILFDWLRQ DQG WUDFNLQJ XVLQJ % 0RGH XOWUDVRXQG ,((( 7UDQVDFWLRQV RQ %LRPHGLFDO (QJLQHHULQJ 1,+06 :DQJ ) /L = /DQQXWWL - / :DJQHU : 5 *XDQ - 6\QWKHVLV FKDUDFWHUL]DWLRQ DQG VXUIDFH PRGLILFDWLRQ RI ORZ PRGXOL SRO\ HWKHU FDUERQDWH XUHWKDQH XUHDV IRU VRIW WLVVXH HQJLQHHULQJ $FWD %LRPDWHULDOLD ± :DQJ + 6DODWLQ % *ULQGOH * * 'LQJ ' &RRSHU 5 $ 5HDO WLPH PRGHO EDVHG HOHFWULFDO SRZHUHG ZKHHOFKDLU FRQWURO 0HGLFDO (QJLQHHULQJ DQG 3K\VLFV

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|WK 8 7XDQ 5 6 &DUWLODJH GHYHORSPHQW SK\VLRORJ\ SDWKRORJLHV DQG UHJHQHUDWLRQ 6WUDWHJLHV LQ 5HJHQHUDWLYH 0HGLFLQH ,QWHJUDWLQJ %LRORJ\ ZLWK 0DWHULDOV 'HVLJQ 1HZ <RUN 6SULQJHU :DQJ ; 6RQJ < - -DFREL - 7XDQ 5 6 ,QKLELWLRQ RI KLVWRQH GHDFHW\ODVHV DQWDJRQL]HG )*) DQG ,/ È•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±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±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±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

=KDR 5 /LX ; /L & & 6FODEDVVL 5 - 6XQ 0 :DYHOHW GHQRLVLQJ YLD VSDUVH UHSUHVHQWDWLRQ 6FLHQFH LQ &KLQD 6HULHV ) ,QIRUPDWLRQ 6FLHQFHV =KRX ' ' &XL ; 7 +LQHVD $ *UHHQEHUJD 5 - &RQGXFWLQJ 3RO\PHUV LQ 1HXUDO 6WLPXODWLRQ $SSOLFDWLRQV ,PSODQWDEOH 1HXUDO 3URVWKHVHV 7HFKQLTXHV DQG $SSOLFDWLRQV LQ WKH %LRORJLFDO DQG 0HGLFDO 3K\VLFV ±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

'HSDUWPHQW RI &KHPLFDO DQG 3HWUROHXP (QJLQHHULQJ %DOD]V $ & DQG (SVWHLQ , 5 ʊ3HU VSHFWLYH 7KUHDGV RI (PHUJHQFH %HJLQ WR ,QWHUWZLQH”. 6FLHQFH %DOD]V $ & .XNVHQRN 2 DQG $OH[HHY $ ʊ0 RGHOLQJ 0HPEUDQHV DQG ,QFOXVLRQV 'HVLJQLQJ 6HOI &OHDQLQJ )LOPV DQG 5HVHDOLQJ 3RUHs” 0DFURPROHFXODU 7KHRU\ DQG 6LPXODWLRQ %DWWDJOLD -U 0 $ 3DUNHU 5 6 ʊ 3. 3' 0RGHOLQJ RI ,QWUDFHOOXODU *HPFLWDELQH 7ULSKRVSKDWH $FFXPXODWLRQ 7UDQVODWLQJ LQ YLWUR WR LQ YLYo.” )RXQGDWLRQV RI 6\VWHPV %LRORJ\ LQ (QJLQHHULQJ 'HQYHU &2 %HFNPDQ ( - ʊ2SSRU WXQLWLHV LQ &2 8WLOL]DWLon” $&6 )XHO 'LY 3UHSULQWV %KDWWDFKDU\D $ 8VWD 2 % <DVKLQ 9 9 %DOD]V $ & ³6HOI VXVWDLQHG PRWLRQ RI D WUDLQ RI KDSWRWDFWLF PLFURFDSVXOHs” /DQJPXLU % WWQHU 0 ;LDR / 0DQGHOWRUW / (GLQJWRQ 6 -RKQVRQ - . <DWHV -U - 7 ʊ(QKDQF HPHQW RI $GVRUSWLRQ ,QVLGH 6LQJOH :DOOHG &DUERQ 1DQRWXEHV²/L 'RSLQJ (IIHFW RQ Q +HSWDQH YDQ GHU :DDOV %RQGLQJ”, - 3K\V &KHP & ± &DR / -RQHV $ 6LNND 9 :X - DQG *DR ' ʊ$QW L LFLQJ VXSHUK\GURSKRELF FRDWLQJs” /DQJPXLU SS ± &KHQJ + / 9HODQNDU 6 6 ʊ&RQW UROOHG MDPPLQJ RI SDUWLFOH ODGHQ LQWHUIDFHV XVLQJ D 6SLQQLQJ 'URS 7HQVLRPHWHU”, /DQJPXLU )DFWRUV $IIHFWLQJ 3ODVPLG &XQQLQJKDP ' .RHSVHO 5 5 $WDDL 0 0 DQG 'RPDFK 0 0 ʊ 3URGXFWLRQ LQ (VFKHULFKLD FROL IURP D 5HVRXUFH $OORFDWLRQ 6WDQGSRLQW”, 0LFURELDO &HOO )DFWRU\

&XQQLQJKDP ' /LX = 'RPDJDOVNL 1 .RHSVHO 5 5 $WDDL 0 0 DQG 'RPDFK 0 0 ʊ3\ UXYDWH .LQDVH 'HILFLHQW (VFKHULFKLD FROL ([KLELWV ,QFUHDVHG 3ODVPLG &RS\ 1XPEHU DQG &\FOLF $MP”, - %DFWHULRO '¶,WUL 0 3 G¶,WUL - / ʊ 2SWLPL]HG &DWDO\VW 6HOHFWLRQ IRU )L[HG 5HDFWRU 6L]Hs,” &RPSHWLWLRQ )RUXP $PHULFDQ 6RFLHW\ IRU &RPSHWLWLYHQHVV 'D\DO 3 .XNVHQRN 2 DQG %DOD]V $ & ʊ3 KRWR SDWWHUQLQJ LQ 3KDVH 6HSDUDWLQJ 5HDFWLYH 7HUQDU\ %OHQGV”, 6RIW 0DWWHU 'D\DO 3 .XNVHQRN 2 %DOD]V $ & ʊ8V LQJ /LJKW WR *XLGH WKH 6HOI 6XVWDLQHG 0RWLRQ RI $FWLYH *HOs” /DQJPXLU 'LOPRUH 5 0 *ULIILWK & /LX = 6RRQJ < +HGJHV 6 : .RHSVHO 5 5 DQG $WDDL 0 0 ʊ&DU ERQLF DQK\GUDVH IDFLOLWDWHG &2 DEVRUSWLRQ ZLWK SRO\DFU\ODPLGH EXIIHULQJ EHDG FDSWXUH”, ,QWHUQDWLRQDO -RXUQDO RI *UHHQKRXVH *DV &RQWURO )HOGPDQ - / -RKQVRQ - . +HPOH\ 5 - ʊ9LEU RQ +RSSLQJ DQG %RQG $QKDUPRQLFLW\ LQ +RW 'HQVH +\GURJen” -RXUQDO RI &KHPLFDO 3K\VLFV )LJXHURD , 0F&DUWK\ - - ʊ3U HGLFWLQJ WKH ,PSDFW RI YDQ GHU :DDOV $GKHVLRQ RQ 3DUWLFOH 0L[LQJ DQG 6HJUHJDWLon”, 3RZGHU 7HFKQRORJ\ ± *DR / :X - *DR ' ʊ &DVFDGH FDWDO\VLV RI JOXFRVH R[LGDVH DQG PDJQHWLF QDQRSDUWLFOHV IRU D UDSLG LPPXQRDVVD\,” $,&K( $QQXDO 0HHWLQJ 1DVKYLOOH 71 1RYHPEHU *LEE 6 ( %HFNPDQ ( - ʊ6R \RX ZDQW WR UHSODFH \RXU 39&”, &OHDQ 7HFKQRORJ\ %LR (QHUJ\ UHQHZDEOH *UHHQ %XLOGLQJ 6PDUW *ULG DQG :DWHU 7HFK SURF 2I WKH &76, &OHDQ 7HFKQRORJ\ DQG 6XVWDLQDEOH ,QGXVWULHV &RQI DQG 7UDGH 6KRZ %RVWRQ 0$ +DUUROG - 0 3DUNHU 5 6 ʊ&OL QLFDOO\ 5HOHYDQW &DQFHU &KHPRWKHUDS\ 'RVH 6FKHGXOLQJ YLD 0L[HG ,QWHJHU 2SWLPL]DWLRn,” &RPSXWHUV &KHPLFDO (QJLQHHULQJ )2&$32 6SHFLDO ,VVXH GRL M FRPSFKHPHQJ +HLQW] < - 6HKDELDJXH / 0RUVL % , -RQHV . / /XHENH ' 5 DQG 3HQQOLQH + : ʊ+\ GURJHQ 6XOILGH DQG &DUERQ 'LR[LGH 5HPRYDO IURP 'U\ )XHO *DV 6WUHDPV 8VLQJ DQ ,RQLF /LTXLG DV D 3K\VLFDO 6ROYHQW,” (QHUJ\ )XHOV +XDQJ & ) &KHQ : 5XVVHOO 7 3 %DOD]V $ & &KDQJ ) & 0DW\MDV]HZVNL . ʊ6\ QWKHVLV RI 3KRWRLVRPHUL]DEOH %ORFN &RSRO\PHUV E\ $WRP 7UDQVIHU 5DGLFDO 3RO\PHUL]DWLon”, 0DFURPRO &KHP 3K\V -KXQMKXQZDOD 6 5DLPRQGL * 7KRPVRQ $ /LWWOH 6 5 ʊ'HO LYHU\ 2I 5DSDP\FLQ 7R 'HQGULWLF &HOOV 8VLQJ 'HJUDGDEOH 0LFURSDUWLFOHV”, -RXUQDO RI &RQWUROOHG 5HOHDVH 30,' .HVNLQ 6 /LX - -RKQVRQ - . 6KROO ' 6 ʊ $WRPLFDOO\ GHWDLOHG PRGHOV RI JDV PL[WXUH GLIIXVLRQ WKURXJK &X%7& PHPEUDQHs” 0LFURSRURXV DQG 0HVRSRURXV 0DWHULDOV

.HVNLQ 6 /LX - 5DQNLQ 5 % -RKQVRQ - . 6KROO ' 6 ʊ3U RJUHVV 2SSRUWXQLWLHV DQG &KDOOHQJHV IRU $SSO\LQJ $WRPLFDOO\ GHWDLOHG 0RGHOLQJ WR 0ROHFXODU $GVRUSWLRQ DQG 7UDQVSRUW LQ 0HWDO 2UJDQLF )UDPHZRUN 0DWHULDOV”, ,QG (QJ &KHP 5HV '2, KWWS G[ GRL RUJ LH V .LOLF 6 :DQJ < -RKQVRQ - . %HFNPDQ ( - (QLFN 5 0 ʊ, QIOXHQFH RI 7HUW $PLQH *URXSV RQ WKH 6ROXELOLW\ RI 3RO\PHUV LQ &2 ”, 3RO\PHU .LP . & %LQJ 'DL -RKQVRQ - . 6KROO ' 6 ʊ $VVHVVLQJ QDQRSDUWLFOH VL]H HIIHFWV RQ PHWDO K\GULGH WKHUPRG\QDPLFV XVLQJ WKH :XOII FRQVWUXFWLon” 1DQRWHFKQRORJ\ .RNDL / ( 7DQ + -KXQMKXQZDOD 6 /LWWOH 6 5 )UDQN - 0DUUD . * ʊ3 URWHLQ %LRDFWLYLW\ DQG 3RO\PHU 2ULHQWDWLRQ LV $IIHFWHG E\ 6WDELOL]HU ,QFRUSRUDWLRQ LQ 'RXEOH :DOOHG 0LFURVSKHUHs” -RXUQDO RI &RQWUROOHG 5HOHDVH 30,' .ROPDNRY * 0DW\MDV]HZVNL . %DOD]V $ & ʊ+ DUQHVVLQJ /DELOH %RQGV EHWZHHQ 1DQRJHOV 3DUWLFOHV WR &UHDWH 6HOI +HDOLQJ 0DWHULDOV $&6 1DQR .XNVHQRN 2 <DVKLQ 9 9 %DOD]V $ & ʊ*ORE DO 6LJQDOLQJ RI /RFDOL]HG ,PSDFW LQ &KHPR UHVSRQVLYH *HOs” 6RIW 0DWWHU .XNVHQRN 2 <DVKLQ 9 9 %DOD]V $ & ʊ6SDW LDO &RQILQHPHQW &RQWUROV 6HOI RVFLOODWLRQV LQ 3RO\PHU *HOV 8QGHUJRLQJ WKH %HORXVRY =KDERWLQVN\ 5HDFWLRQ” 3K\V 5HY ( /LX - -RKQVRQ - . ʊ3 UHGLFWLRQ RI &+ + 0L[WXUH 6HOHFWLYLW\ LQ =Q WELS IURP &RPSXWHU 6LPXODWLRns” -RXUQDO RI /RZ 7HPSHUDWXUH 3K\VLFV /LX - 5DQNLQ 5 % -RKQVRQ - . ʊ 7KH LPSRUWDQFH RI FKDUJH TXDGUXSROH LQWHUDFWLRQV IRU + DGVRUSWLRQ DQG GLIIXVLRQ LQ &X%7&”, 0ROHFXODU 6LPXODWLRQ '2, KWWS G[ GRL RUJ /LX 7 7HPXU + 9HVHU * ʊ$XWRW KHUPDO 5HIRUPLQJ RI 0HWKDQH LQ D 5HYHUVH )ORZ 5HDFWRU”, &KHP (QJ 7HFKQRO /LX = %DUWORZ 3 'LOPRUH 5 0 6RRQJ < 3DQ = .RHSVHO 5 5 DQG $WDDL 0 0 ʊ3U RGXFWLRQ 3XULILFDWLRQ DQG &KDUDFWHUL]DWLRQ RI D )XVLRQ 3URWHLQ RI &DUERQLF $QK\GUDVH IURP 1HLVVHULD JRQRUUKRHDH DQG &HOOXORVH %LQGLQJ 'RPDLQ IURP &ORVWULGLXP WKHUPRFHOOXP”, %LRWHFK 3URJ /LX = 3DWULFN % 9DUDNDOD 5 %HLWOH 5 5 .RHSVHO 5 5 DQG $WDDL 0 0 ʊ 8VH RI SURWHRPLFV IRU GHVLJQ RI D WDLORUHG KRVW FHOO IRU KLJKO\ HIILFLHQW SURWHLQ SXULILFDWLRQ”. - &KURPDWRJUDSK\ $ /XHNLQJ $ ' .LP + < -DJLHOOR - %DQFURIW . -RKQVRQ - . &ROH 0 : ʊ 7HVWV RI SRUH VL]H GLVWULEXWLRQV GHGXFHG IURP LQYHUVLRQ RI VLPXODWHG DQG UHDO DGVRUSWLRQ GDWa” -RXUQDO RI /RZ 7HPSHUDWXUH 3K\VLFV 0DUKHIND - 1 =KDR 5 :X = 9HODQNDU 6 6 $QWDNL - ) .DPHQHYD 0 9 ʊ' UDJ UHGXFLQJ SRO\PHUV LPSURYH WLVVXH SHUIXVLRQ YLD PRGLILFDWLRQ RI WKH 5%& WUDIILF LQ PLFURYHVVHOV”, %LRUKHRORJ\

0DUNHVWHLMQ $ 3 8VWD 2 % $OL , %DOD]V $ & DQG <HRPDQV - 0 ʊ )ORZ LQMHFWLRQ RI SRO\PHUV LQWR QDQRSRUHs” 6RIW 0DWWHU 0F&DUWK\ - - ʊ3 HUVSHFWLYH 7XUQLQJ WKH &RUQHU LQ 6HJUHJDWLon” 3RZGHU 7HFKQRORJ\ LQYLWHG ± 0LOOHU 0 % &KHQ ' / ;LH + % -RKQVRQ - . (QLFN 5 0 ʊ6R OXELOLW\ RI &2 LQ &2 SKLOLF 2OLJRPHUV &2602WKHUP 3UHGLFWLRQV DQG ([SHULPHQWDO 5HVXOWs” )OXLG 3KDVH (TXLOLEULD 0XQVKL 3 %HFNPDQ ( - ʊ(I IHFW RI ,QFXEDWLRQ RI &2 DQG /HZLV $FLG RQ WKH *HQHUDWLRQ RI 7ROXLF $FLG IURP 7ROXHQH DQG &22”, ,QG (QJ &KHP 5HV 0XVFDWHOOR 0 0 6WXQMD / ( 7KDUHMD 3 :DQJ / %RKQ - - 9HODQNDU 6 6 $VKHU 6 $ ʊ'HSHQG HQFH RI SKRWRQLF FU\VWDO QDQRFRPSRVLWH HODVWLFLW\ RQ FU\VWDOOLQH FROORLGDO DUUD\ SDUWLFOH VL]e” 0DFURPROHFXOHV 1LHSRQFH $ 0F*UDWK . 4XUHVKL , %HFNPDQ ( - /XNHWLFK - ' *LOEHUW 7 : %DG\ODN 6 ) ʊ$Q ([WUDFHOOXODU 0DWUL[ 6FDIIROG IRU (VRSKDJHDO 6WULFWXUH 3UHYHQWLRQ DIWHU &LUFXPIHUHQWLDO (05”, *DVWU (QGRVF 3DUNHU 5 6 ʊ$XW RPDWLRQ DQG &RQWURO LQ %LRPHGLFDO 6\VWHPs” LQ +DQGERRN RI $XWRPDWLRQ 6 < 1RI (G 6SULQJHU 6HFWLRQ + &KDSWHU SS 5DQNLQ 5 % /LX - .XONDUQL $ ' -RKQVRQ - . ʊ$GVRU SWLRQ DQG 'LIIXVLRQ RI /LJKW *DVHV LQ =,) DQG =,) $ 6LPXODWLRQ 6WXG\”, - 3K\V &KHP & ± 5RWKVWHLQ 6 1 )HGHUVSLHO : - /LWWOH 6 5 ʊ$ 8QLILHG 0DWKHPDWLFDO 0RGHO IRU WKH 3UHGLFWLRQ RI &RQWUROOHG 5HOHDVH IURP 6XUIDFH DQG %XON (URGLQJ 3RO\PHU 0DWULFHV”, %LRPDWHULDOV 30,' 6LYDN : 1 =KDQJ - 3HWRXG 6 %HFNPDQ ( - ʊ6L PXOWDQHRXV 'UXJ 5HOHDVH DW 'LIIHUHQW 5DWHV IURP %LRGHJUDGDEOH 3RO\XUHWKDQH )RDPs,” $FWD %LRPDWHULDOLD 6ROXQNH 5 9HVHU * 6LPXOWDQHRXV 'HVXOIXUL]DWLRQ DQG &2 &DSWXUH LQ &KHPLFDO /RRSLQJ &RPEXVWLRQ $&6 )XHO &KHPLVWU\ 3UHSULQWV 6ROXQNH 5 9HVHU * ʊ 1DQRFRPSRVLWH 2[\JHQ &DUULHUV IRU &KHPLFDO /RRSLQJ &RPEXVWLRQ RI 6XOIXU &RQWDPLQDWHG 6\QWKHVLV *Ds” (QHUJ\ )XHOV 6RQJ 4 6D\JLOL % %DQHUMHH , =KDQJ 4 %HUWKLDXPH ) <DUPXVK 0 ʊ/ RZ 3RZHU /DVHU ,UUDGLDWLRQ 6WLPXODWHV WKH 3UROLIHUDWLRQ RI $GXOW +XPDQ 5HWLQDO 3LJPHQWHG (SLWKHOLDO &HOOV ” &XOWXUH &HOOXODU DQG 0ROHFXODU %LRHQJLQHHULQJ 8VWD 2 % <HRPDQV - 0 3HUFKHN ' &ODUNH $ DQG %DOD]V $ & ʊ( IIHFW RI (QFDSVXODWHG 3RO\PHUV DQG 1DQRSDUWLFOHV RQ 6KHDU 'HIRUPDWLRQ RI 'URSOHWV” 6RIW 0DWWHU 8VWD 2 % <HRPDQV - 0 3HUFKHN ' &ODUNH $ DQG %DOD]V $ & ʊ6KHD U DQG ([WHQVLRQDO 'HIRUPDWLRQ RI 'URSOHWV &RQWDLQLQJ 3RO\PHUV DQG 1DQRSDUWLFOHV”, - &KHP 3K\V

:DQJ < +RQJ / .LP , 3DLN , + &URVWKZDLWH - 0 +DPLOWRQ $ ' 7KLHV 0 & %HFNPDQ ( - (QLFN 5 0 -RKQVRQ - . ʊ'H VLJQ DQG (YDOXDWLRQ RI 1RQ IOXRURXV &2 6ROXEOH 3RO\PHUs” -RXUQDO RI 3K\VLFDO &KHPLVWU\ % ± :X - *DR ' ʊ0 XOWLVWDJH (QULFKPHQW RI 3DUWLFOHV 8VLQJ 7HPSHUDWXUH 5HVSRQVLYH 3RO\PHUs,” $,&K( $QQXDO 0HHWLQJ 1DVKYLOOH 71 1RYHPEHU ;X & 6KLQ 3 &DR / *DR ' ʊ2UG HUHG 7L2 1DQRWXEH $UUD\V RQ 7UDQVSDUHQW &RQGXFWLYH 2[LGH IRU '\H VHQVLWL]HG 6RODU &HOOs,” $,&K( $QQXDO 0HHWLQJ 1DVKYLOOH 71 1RYHPEHU ;X & 6KLQ 3 &DR / *DR ' ʊ3 UHIHUHQWLDO *URZWK RI /RQJ =Q2 1DQRZLUHV DQG ,WV $SSOLFDWLRQ LQ '\H 6HQVLWL]HG 6RODU &HOOs,” $,&K( $QQXDO 0HHWLQJ 1DVKYLOOH 71 1RYHPEHU <DGDY 6 YDQ 9OHUNHQ / ( /LWWOH 6 5 $PLML 0 0 ʊ(Y DOXDWLRQV RI &RPELQDWLRQ 0'5 *HQH 6LOHQFLQJ DQG 3DFOLWD[HO $GPLQLVWUDWLRQ LQ %LRGHJUDGDEOH 3RO\PHULF 1DQRSDUWLFOH )RUPXODWLRQV WR 2YHUFRPH 0XOWLGUXJ 5HVLVWDQFH LQ &DQFHU &HOOs” &DQFHU &KHPRWKHU 3KDUPDFRO 30,' <DVKLQ 9 9 9DQ 9OLHW . - %DOD]V $ & ʊ&RQ WUROOLQJ &KHPLFDO 2VFLOODWLRQV LQ +HWHURJHQHRXV %= *HOV YLD 0HFKDQLFDO 6WUDLn”, 3K\VLFDO 5HYLHZ ( <HUL $ 6 *DR / *DR ' ʊ&KDU DFWHUL]DWLRQ RI $QWLERG\ ,PPRELOL]DWLRQ PHWKRGV XVLQJ WKH 4&0 ',” $,&K( $QQXDO 0HHWLQJ 1DVKYLOOH 71 1RYHPEHU <LP : / -RKQVRQ - . ʊ2] RQH 2[LGDWLRQ RI 6LQJOH :DOOHG &DUERQ 1DQRWXEHV IURP 'HQVLW\ )XQFWLRQDO 7KHRU\”, - 3K\V &KHP &

'HSDUWPHQW RI &LYLO DQG (QYLURQPHQWDO (QJLQHHULQJ

&DWDQR < $EDG - ' DQG *DUFLD 0 + ʊ&KDU DFWHUL]DWLRQ RI %HGIRUP 0RUSKRORJ\ 8VLQJ :DYHOHW $QDO\VLs” 2FHDQ (QJLQHHULQJ GRL M RFHDQHQJ $EDG - ' $QG 0 + *DUFLD ³([SHULPHQWV ,Q $ +LJK $PSOLWXGH .LQRVKLWD 0HDQGHULQJ &KDQQHO ,PSOLFDWLRQV 2I %HQG 2ULHQWDWLRQ 2Q 0HDQ $QG 7XUEXOHQW )ORZ 6WUXFWXUe” :DWHU 5HVRXUFHV 5HVHDUFK : GRL :5 $EDG - ' DQG 0 + *DUFLD ʊ([S HULPHQWV ,Q $ +LJK $PSOLWXGH .LQRVKLWD 0HDQGHULQJ &KDQQHO ,PSOLFDWLRQV 2I %HQG 2ULHQWDWLRQ 2Q %HG 0RUSKRG\QDPLFV”, :DWHU 5HVRXUFHV 5HVHDUFK : GRL :5 0RWWD ' $EDG - ' *DUFLD 0 + ³6KRUW $QG /RQJ 7HUP 7ZR 'LPHQVLRQDO :DWHU 4XDOLW\ 0RGHOLQJ )RU %XEEO\ &UHHN &KLFDJR ,OOLQRLV´ 8&2:5 &RQIHUHQFH &KLFDJR 86$ 0RWWD ' $EDG - ' /LX ; *DUFLD 0 + ³7ZR GLPHQVLRQDO %2' DQG '2 :DWHU 4XDOLW\ 0RGHO )RU (QJLQHHULQJ $SSOLFDWLRQV 7KH &DVH RI %XEEO\ &UHHN LQ &KLFDJR ,OOLQRLV´ (:5, &RQIHUHQFH .DQVDV &LW\ 86$

0RWWD ' $EDG - ' /DQJHQGRHQ ( - *DUFLD 0 + ³0HUJLQJ RI 595 0HDQGHU :LWK &21&(376 6LPSOLILHG ' 0RGHO )RU /RQJ 7HUP 0HDQGHU (YROXWLRQ´ 5&(0 &RQIHUHQFH 6DQWD )H $UJHQWLQD 0RWWD ' $EDG - ' DQG *DUFtD 0 + ³$ 0RGHOLQJ $SSURDFK )RU 2UJDQLF 6HGLPHQW 5HVXVSHQVLRQ $QG 2[\JHQ 'HPDQG´ ;;;,,, ,QWHUQDWLRQDO $VVRFLDWLRQ RI +\GUDXOLF (QJLQHHULQJ DQG 5HVHDUFK ,$+5 &RQJUHVV $XJXVW 9DQFRXYHU &DQDGD 0RWWD ' $EDG - ' /LX ; DQG *DUFtD 0 + ³7ZR GLPHQVLRQDO ERG DQG GR :DWHU 4XDOLW\ 0RGHO )RU (QJLQHHULQJ $SSOLFDWLRQV 7KH &DVH RI %XEEO\ &UHHN LQ &KLFDJR ,OOLQRLV´ :RUOG (QYLURQPHQWDO :DWHU 5HVRXUFHV &RQJUHVV $6&( &DWDxR /RSHUD < $ $EDG - ' DQG *DUFtD 0 + 1XPHULFDO 6LPXODWLRQ RI WKH )ORZ 6WUXFWXUH $URXQG D 3DUWLDOO\ %XULHG 2EMHFW RQ D 'HIRUPDEOH %HG )ORZ ' :RUOG 8VHUV &RQIHUHQFH 6HSWHPEHU 6HDWWOH :$ 2UDO 3UHVHQWDWLRQ &DWDxR /RSHUD < $EDG - ' DQG *DUFLD 0 + ³$QiOLVLV (VWDGtVWLFR 'H )RUPDV 'H )RQGR´ 6LPSRVLR VREUH PpWRGRV H[SHULPHQWDOHV HQ KLGUiXOLFD -XQH &yUGRED $UJHQWLQD LQ 6SDQLVK &DWDxR /RSHUD < $EDG - ' DQG *DUFLD 0 + ³)ORZ 6WUXFWXUH DQG +\GUDXOLF &DSDFLW\ )RU 'URSVKDIWV $SSOLFDWLRQ WR 7XQQHO DQG 5HVHUYRLU 3ODQ 7$53 3URMHFW &KLFDJR ,OOLQRLV´ 8UEDQ :DWHU 0DQDJHPHQW ,VVXHV DQG 2SSRUWXQLWLHV 8&2:5 1,:5 $QQXDO &RQIHUHQFH -XO\ &KLFDJR ,OOLQRLV &DWDxR /RSHUD < $EDG - ' DQG *DUFLD 0 + ³)ORZ 6WUXFWXUH DQG +\GUDXOLF &DSDFLW\ )RU 'URSVKDIWV $SSOLFDWLRQ WR 7XQQHO DQG 5HVHUYRLU 3ODQ 7$53 3URMHFW &KLFDJR ,OOLQRLV´ ;;;,,, ,QWHUQDWLRQDO $VVRFLDWLRQ RI +\GUDXOLF (QJLQHHULQJ DQG 5HVHDUFK ,$+5 &RQJUHVV $XJXVW 9DQFRXYHU &DQDGD $EDG - ' 6HTXHLURV 2 ( 6SLQHZLQH % *DUFLD 0 + DQG 3DUNHU * ³6HFRQGDU\ )ORZ ,Q 0HDQGHULQJ &KDQQHOV 2Q 6XEPDULQH )DQV ,PSOLFDWLRQV )RU &KDQQHO 0RUSKRG\QDPLFV $QG $UFKLWHFWXUH´ $QQXDO &RQYHQWLRQ ([KLELWLRQ $PHULFDQ $VVRFLDWLRQ RI 3HWUROHXP *HRORJLVWV -XQH 'HQYHU &RORUDGR 86$ $EDG - ' &DWDxR /RSHUD < $ 9LSDUHOOL ( DQG *DUFtD 0 + )ORZ 6WUXFWXUH DQG +\GUDXOLF &DSDFLW\ RI 'URSVKDIWV $SSOLFDWLRQ WR 7XQQHO DQG 5HVHUYRLU 3ODQ 3URMHFW &KLFDJR ,OOLQRLV 3URFHHGLQJV RI WKH UG ,$+5 :DWHU (QJLQHHULQJ IRU D 6XVWDLQDEOH (QYLURQPHQW $XJXVW 9DQFRXYHU %& $EDG - ' :DUDWXNH $ %DUQDV & DQG *DUFLD 0 + ³+\GUDXOLF 0RGHO 6WXG\ RI &DQRH &KXWH DQG )LVK 3DVVDJH IRU WKH &KLFDJR 5LYHU 1RUWK %UDQFK 'DP´ :RUOG (QYLURQPHQWDO :DWHU 5HVRXUFHV &RQJUHVV $6&( 0RWWD ' $EDG - ' /DQJHQGRHQ ( - *DUFLD 0 + ³$ 6LPSOLILHG ' 0RGHO )RU /RQJ 7HUP 0HDQGHU 0LJUDWLRQ :LWK 3K\VLFDOO\ %DVHG %DQN (YROXWLRQ´ $*8 )DOO 0HHWLQJ 6DQ )UDQFLVFR 86$ $EDG - ' ³3ODQIRUP '\QDPLFV 2I 0HDQGHULQJ &KDQQHOV %DVHG 2Q :DYHOHW $QDO\VLV´ $*8 )DOO 0HHWLQJ 6DQ )UDQFLVFR 86$

&DWDxR /RSHUD < $ $EDG - ' DQG *DUFtD 0 + 6WDWLVWLFDO $QDO\VLV RI %HGIRUPV , 6\PSRVLXP RQ ([SHULPHQWDO 0HWKRGV LQ +\GUDXOLFV 9LOOD &DUORV 3D] -XQH &RUGRED $UJHQWLQD $EDG - ' &DWDxR /RSHUD < $ DQG *DUFtD 0 + )ORZ 6WUXFWXUH DQG +\GUDXOLF &DSDFLW\ RI 'URSVKDIWV $SSOLFDWLRQ WR 7XQQHO DQG 5HVHUYRLU 3ODQ 3URMHFW &KLFDJR ,OOLQRLV 8&2:5 1,:5 $QQXDO &RQIHUHQFH 8UEDQ :DWHU 0DQDJHPHQW ,VVXHV DQG 2SSRUWXQLWLHV -XO\ &KLFDJR ,/ :DUDWXNH $ 5 $EDG - ' %DUQDV & *DUFLD 0 + ʊ'HV LJQ $QG 0RGHOLQJ 2I $ &RPELQHG &DQRH &KXWH )LVK 3DVVDJH )RU 7KH 1RUWK %UDQFK 'DP &KLFDJR ,OOLQRLs” &LYLO (QJLQHHULQJ 6WXGLHV +\GUDXOLF (QJLQHHULQJ 6HULHV 1R ,661 %LOHF 0 1HHG\ 5 *RNKDQ 1 0 5LHV 5 +RUPDQ 0 3KHOSV $ ) (QDFKH 3RPPHU ( /LWWOH 6 0F*UHJRU % DQG 6KHDQH & ʊ$QD O\VLV RI WKH 'HVLJQ 3URFHVV RI *UHHQ &KLOGUHQ¶V +RVSLWDOV )RFXV RQ 3URFHVV 0DSSLQJ DQG /HVVRQV /HDUQHG.” -RXUQDO RI *UHHQ %XLOGLQJ 7RULFN ' %LOHF 0 0DUULRWW - DQG /DQGLV $ ( ʊ'HY HORSPHQW DQG 2XWFRPHV RI D 'HVLJQ IRU WKH (QYLURQPHQW &RXUVH.” PURFHHGLQJV RI WKH WK $PHULFDQ 6RFLHW\ IRU (QJLQHHULQJ (GXFDWLRQ -XQH $XVWLQ 7H[DV 5DMDJRSDODQ 1 /DQGLV $ ( %LOHF 0 ʊ(QY LURQPHQWDO ,PSDFWV RI ,QVXODWLQJ &RQFUHWH )RUPs.” 3URFHHGLQJV RI WKH ,((( ,QWHUQDWLRQDO 6\PSRVLXP RQ 6XVWDLQDEOH 6\VWHPV DQG 7HFKQRORJ\ -XQH 3KRHQL[ $UL]RQD /DQGLV $ ( %LOHF 0 0 5DMDJRSDODQ 1 5 ʊ/L IH &\FOH $VVHVVPHQW IRU (YDOXDWLQJ *UHHQ 3URGXFWV DQG 0DWHULDOV ” 86 -DSDQ :RUNVKRS RQ /LIH &\FOH $VVHVVPHQW RI 6XVWDLQDEOH ,QIUDVWUXFWXUH 0DWHULDOV 2FWREHU 6DSSRUR -DSDQ $TXLQR : %ULJKDP - & 6XNXPDU 1 DQG (DUOV & - ʊ* HQHUDOL]HG )LQLWH (OHPHQW 0HWKRG 8VLQJ 3URSHU 2UWKRJRQDO 'HFRPSRVLWLRQ ” ,QWHUQDWLRQDO -RXUQDO RI 1XPHULFDO 0HWKRGV LQ (QJLQHHULQJ 9RO ,VVXH SS %ULJKDP - & DQG $TXLQR : ʊ, QYHUVH 9LVFRHODVWLF 0DWHULDO &KDUDFWHUL]DWLRQ 8VLQJ 32' 5HGXFHG 2UGHU 0RGHOLQJ LQ $FRXVWLF 6WUXFWXUH ,QWHUDFWLRQ,” &RPSXWHU 0HWKRGV LQ $SSOLHG 0HFKDQLFV DQG (QJLQHHULQJ 9RO ,VVXH SS %ULJKDP - & ʊ$ * HQHUDOL]HG $SSURDFK IRU 8VLQJ 0RGHO 5HGXFWLRQ :LWKLQ &RPSXWDWLRQDO ,QYHUVH 6ROXWLRQ 6WUDWHJLHV LQ 0HFKDQLFs,” WK 86 1DWLRQDO &RQJUHVV RQ &RPSXWDWLRQDO 0HFKDQLFV &ROXPEXV 2KLR -XO\ %XGQ\ ' ' ,QWURGXFWLRQ WR (QJLQHHULQJ 6WLSHV 3XEOLVKLQJ &R &KDPSDLJQ ,OO 7HQWK (GLWLRQ SS 'DQ %XGQ\ DQG -HUHP\ 7DUWW ʊ'R ( QJLQHHULQJ 6WXGHQWV )DLO %HFDXVH 7KH\ 'RQ¶W .QRZ +RZ 7R )DLO?” 3URFHHGLQJV ,((( $6(( )URQWLHUV LQ (GXFDWLRQ &RQIHUHQFH 6DQ $QWRQLR 7; 2FW ±

7RULFN ' %XGQ\ ' ʊ 7KH 'HYHORSPHQW RI D 3RUWDEOH )OXLGV /DE IRU &LYLO DQG (QYLURQPHQWDO 8QGHUJUDGXDWHs” 3URFHHGLQJV $PHULFDQ 6RFLHW\ IRU (QJLQHHULQJ (GXFDWLRQ $QQXDO &RQIHUHQFH 6HVVLRQ $XVWLQ 7; -XQH %XGQ\ ' /XQG / ʊ8 VLQJ 0RELOH 7HFKQRORJ\ WR ,PSURYH &RXUVH DQG 3URMHFW 2XWFRPHV LQ D 6HUYLFH /HDUQLQJ &RXUVH IRU )UHVKPDQ (QJLQHHULQJ 6WXGHQWs” 3URFHHGLQJV $PHULFDQ 6RFLHW\ IRU (QJLQHHULQJ (GXFDWLRQ $QQXDO &RQIHUHQFH 6HVVLRQ $XVWLQ 7; -XQH 7RULFN ' %XGQ\ ' ʊ$G MXVWLQJ WKH &XUULFXOXP LQ WKH )OXLG 0HFKDQLFV &RXUVH E\ 0RGLI\LQJ WKH /DE 6HWWLQJ”, 2009 NoUWK &HQWUDO 6HFWLRQDO 0HHWLQJ RI WKH $PHULFDQ 6RFLHW\ IRU (QJLQHHULQJ (GXFDWLRQ *UDQG 9DOOH\ 6WDWH 8QLYHUVLW\ &LYLO (QJLQHHULQJ 6HVVLRQ *UDQG 5DSLGV 0, $SULO %XGQ\ ' ʊ'HV LJQLQJ $ )UHVKPDQ 3URJUDP ʊ 3U RFHHGLQJV ,QWHUQDWLRQDO &RQIHUHQFH RQ (QJLQHHULQJ DQG &RPSXWHU (GXFDWLRQ 3OHQDU\ 6HVVLRQ 9 %XHQRV $LUHV $UJHQWLQD 0DUFK &DVVRQ / : +XQWHU * / 0DUULRWW - DQG 6KDZ $ ʊ6XV WDLQDELOLW\ DQG 'LVLQIHFWLRQ +RZ WR ,QFRUSRUDWH /LIH &\FOH DVVHVVPHQW LQWR :DVWHZDWHU 'LVLQIHFWLRQ 'HVLJn”, PrRFHHGLQJV :DWHU (QYLURQPHQW )HGHUDWLRQ $QQXDO &RQIHUHQFH 2UODQGR )/ 2FWREHU &DVVRQ / : ʊ&KHP LFDO %LRORJLFDO DQG 5DGLRORJLFDO &RQWDPLQDQWV RI &RQFHUQ IRU :DVWHZDWHU &ROOHFWLRQ DQG 7UHDWPHQW 6\VWHPV 'HYHORSPHQW RI D 3ULRULWL]DWLRQ )UDPHZRUN DQG $SSOLFDWLRQ WR <RXU 6\VWHP”, PrRFHHGLQJV :DWHU (QYLURQPHQW )HGHUDWLRQ $QQXDO &RQIHUHQFH 2UODQGR )/ 2FWREHU +XQWHU * / 6KDZ $ &DVVRQ / : DQG 0DUULRWW - ʊ 'LVLQIHFWLRQ $OWHUQDWLYHV DQG 6XVWDLQDELOLW\ (QHUJ\ 2SWLPL]DWLRQ 'LVLQIHFWLRQ (IILFLHQF\ DQG 6XVWDLQDELOLW\”, 3URFHHGLQJV ,89$ 1RUWK $PHULFDQ &RQIHUHQFH %RVWRQ 0$ 0D\ &DVVRQ / : +XQWHU * / 0DUULRWW - DQG 6KDZ $ ʊ6XVW DLQDEOH 'LVLQIHFWLRQ :KDW GRHV LW PHDQ" ,V LW SRVVLEOH" +RZ GR ZH JHW WKHUH?” 3URFHHGLQJV :DWHU (QYLURQPHQW )HGHUDWLRQ 'LVLQIHFWLRQ 6SHFLDOO\ &RQIHUHQFH $WODQWD *$ 0DUFK 7DHZRR <L DQG : ) +DUSHU -U ʊ 7KH (IIHFW RI 1LWUDWH DQG 6XOIDWH RQ 0HGLDWRU /HVV 0LFURELDO )XHO &HOOV ZLWK +LJK ,QWHUQDO 5HVLVWDQFe,” :DWHU (QYLURQPHQW 5HVHDUFK 9RO SS :LOOLH ) +DUSHU -U $NLKLNR 7HUDGD )UDQFN 3RO\ ;DYLHU /H 5RX[ .HQ .ULVWHQVHQ 0XVWDID 0D]KHU DQG %DUWK ) 6PHWV ʊ 7KH (IIHFW RI +\GUR[\ODPLQH RQ WKH $FWLYLW\ DQG $JJUHJDWH 6WUXFWXUH RI $XWRWURSKLF 1LWULI\LQJ %LRUHDFWRU &XOWXUHV ”, %LRWHFKQRORJ\ DQG %LRHQJLQHHULQJ 9RO SS 7DHZRR <L : ) +DUSHU -U ʊ(QH UJ\ 3URGXFWLRQ ,Q 0HGLDWRU /HVV 0LFURELDO )XHO &HOOV :LWK +LJK ,QWHUQDO 5HVLVWDQFe” QG $QQXDO :DWHU (QYLURQPHQW )HGHUDWLRQ 7HFKQLFDO ([SRVLWLRQ DQG &RQIHUHQFH 2FWREHU 2UODQGR )O : 2 .KXQMDU 1 * /RYH ' $JD : ) +DUSHU -U ʊ 7KH ,PSDFW 2I 3K\VLRORJLFDO 6WDWH $QG 5HVLGXDO 2UJDQLF &DUERQ 2Q 7KH %LRWUDQVIRUPDWLRQ 2I Į (WKLQ\OHVWUDGLRO $QG 7ULPHWKRSULP %\ +HWHURWURSKLF %DFWHULD”, QG $QQXDO :DWHU (QYLURQPHQW )HGHUDWLRQ 7HFKQLFDO ([SRVLWLRQ DQG &RQIHUHQFH 2FWREHU 2UODQGR )O

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ʊ 8QVXSHUYLVHG /HDUQLQJ $OJRULWKP )RU )DWLJXH &UDFN 'HWHFWLRQ LQ :DYHJXLGHs,” 6PDUW 0DWHULDOV DQG 6WUXFWXUHV 9RO SS GRL +DUULHV . $ DQG :HEE 3 ʊ([SH ULPHQWDO $VVHVVPHQW RI %RQGHG )53 WR 6WHHO ,QWHUIDFHs,” 3URFHHGLQJV RI ,&( 6WUXFWXUHV DQG %XLOGLQJV 9RO 1R SS 'XWWD ' 6RKQ + +DUULHV . $ 5L]]R 3 ʊ$ 1RQOLQHDU $FRXVWLF 7HFKQLTXH IRU &UDFN 'HWHFWLRQ LQ 0HWDOOLF 6WUXFWXUHs,” ,QWHUQDWLRQDO -RXUQDO RI 6WUXFWXUDO +HDOWK 0RQLWRULQJ 9RO 1R SS 'HJDOD 6 5L]]R 3 5DPDQDWKDQ . DQG +DUULHV . $ ʊ$FRX VWLF (PLVVLRQ 0RQLWRULQJ RI &)53 5HLQIRUFHG &RQFUHWH 6ODEV,” &RQVWUXFWLRQ DQG %XLOGLQJ 0DWHULDOV 9RO 1R SS +DUULHV . $ ʊ6W UXFWXUDO 7HVWLQJ RI 3UHVWUHVVHG &RQFUHWH *LUGHUV )URP WKH /DNH 9LHZ 'ULYH %ULGJe,” $6&( -RXUQDO RI %ULGJH (QJLQHHULQJ 9RO 1R SS +DUULHV . $ 3HFN $ DQG $EUDKDP ( - ʊ(QKDQF LQJ 6WDELOLW\ RI 6WUXFWXUDO 6WHHO 6HFWLRQV 8VLQJ )5P,” 7KLQ :DOOHG 6WUXFWXUHV VSHFLDO LVVXH RQ )53 6WUHQJWKHQHG 0HWDOOLF 6WUXFWXUHV 9RO 1R SS 0LQQDXJK 3 / DQG +DUULHV . $ ʊ)D WLJXH %HKDYLRU RI ([WHUQDOO\ %RQGHG 6WHHO )LEHU 5HLQIRUFHG 3RO\PHU 6)53 IRU 5HWURILW RI 5HLQIRUFHG &RQFUHWe,”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µEHVW SDSHU IRU VWUHQJWKHQLQJ H[LVWLQJ VWUXFWXUHV DZDUG¶ 2VKQDFN 0 % DQG +DUULHV . $ 6HD /HYHO DV D 'HVLJQHG IRU (QJLQHHULQJ +D]DUG 3URFHHGLQJV RI WKH UG ,QWHUQDWLRQDO $VVRFLDWLRQ RU +\GUDXOLF (QJLQHHULQJ DQG 5HVHDUFK &RQJUHVV 9DQFRXYHU $XJXVW

+DUULHV . $ DQG :HEE 3 ([SHULPHQWDO $VVHVVPHQW RI )UDFWXUH 3URSHUWLHV RI %RQGHG )53 WR 6WHHO ,QWHUIDFHV 3URFHHGLQJV RI WKH WK ,QWHUQDWLRQDO &RQIHUHQFH RQ 6WHHO &RQFUHWH &RPSRVLWH DQG +\EULG 6WUXFWXUHV /HHGV 8. -XO\ 3DSHU +DUULHV . $ (O 7DZLO 6 )RUWQH\ 3 DQG 6KDKURR] % 0 6HLVPLF 'HVLJQ RI +\EULG &RXSOHG :DOO 6WUXFWXUHV 3URFHHGLQJV RI WKH WK ,QWHUQDWLRQDO &RQIHUHQFH RQ 6WHHO &RQFUHWH &RPSRVLWH DQG +\EULG 6WUXFWXUHV /HHGV 8. -XO\ 3DSHU ,DQQDFFKLRQH $ 7 DQG 0DUN & ʊ 0DMRU +D]DUG 5LVN $VVHVVPHQW $SSOLHG WR 3LOODU 5HFRYHU\ 2SHUDWLRQs,” WK ,QWHUQDWLRQDO &RQIHUHQFH RQ *URXQG &RQWURO LQ 0LQLQJ 0RUJDQWRZQ :9 -XO\ 6WHLQEHUJ 'HEELH 3DWFKDQ 0HOLVVD 6FKXQQ &KULV DQG /DQGLV $P\ ( 'HWHUPLQLQJ $GHTXDWH ,QIRUPDWLRQ )RU *UHHQ %XLOGLQJ 2FFXSDQW 7UDLQLQJ 0DWHULDOV -RXUQDO RI *UHHQ %XLOGLQJ 9RO SS &RVWHOOR &KULV $P\ ( /DQGLV DQG 0LNH : *ULIILQ ʊ, PSDFW RI %LRIXHO &URS 3URGXFWLRQ RQ WKH )RUPDWLRQ RI +\SR[LD LQ WKH *XOI RI 0H[LFR ” (QYLURQPHQWDO 6FLHQFH $QG 7HFKQRORJ\ 9RO SS 6WHLQEHUJ 'HEELH 3DWFKDQ 0HOLVVD 6FKXQQ &KULV DQG /DQGLV $P\ ( 'HYHORSLQJ $ )RFXV )RU *UHHQ %XLOGLQJ 2FFXSDQW 7UDLQLQJ 0DWHULDOV -RXUQDO RI *UHHQ %XLOGLQJ 9RO SS $P\ ( /DQGLV 0HOLVVD 0 %LOHF 1HHWKL 5DMDJRSDODQ ʊ/L IH &\FOH $VVHVVPHQW IRU (YDOXDWLQJ *UHHQ %XLOGLQJ 3URGXFWV DQG 0DWHULDOs” 3URFHHGLQJV RI 86 -DSDQ :RUNVKRS RQ /LIH &\FOH $VVHVVPHQW RI 6XVWDLQDEOH ,QIUDVWUXFWXUH 0DWHULDOV 6DSSRUR -DSDQ 2FWREHU :LOOLDP &ROOLQJH 6FRWW 2 6KUDNH $P\ ( /DQGLV 0HOLVVD 0 %LOHF ʊ%L RGLHVHO )XHO )HDVLELOLW\ 6WXG\” 3URFHHGLQJV RI WKH :HVWHUQ 3HQQV\OYDQLD 7UDQVSRUWDWLRQ 5HVHDUFK )RUXP 5DMDJRSDODQ 1HHWKL $P\ ( /DQGLV DQG 0HOLVVD 0 %LOHF ʊ/L IH &\FOH $VVHVVPHQW RI D *UHHQ %XLOGLQJ 3URGXFW ,QVXODWLQJ &RQFUHWH )RUPs” 3URFHHGLQJV RI (QJLQHHULQJ 6XVWDLQDELOLW\ ,QQRYDWLRQV WKDW 6SDQ %RXQGDULHV 7RULFN 'DYLG 0HOLVVD 0 %LOHF -RH 0DUULRWW DQG $P\ ( /DQGLV ʊ'H YHORSPHQW DQG 2XWFRPHV RI D 'HVLJQ IRU WKH (QYLURQPHQW &RXUVH” 3URFHHGLQJV RI WKH WK $PHULFDQ 6RFLHW\ IRU (QJLQHHULQJ (GXFDWLRQ &RQIHUHQFH 5DMDJRSDODQ 1HHWKL $P\ ( /DQGLV DQG 0HOLVVD 0 %LOHF ʊ(QY LURQPHQWDO ,PSDFWV RI ,QVXODWLQJ &RQFUHWH )RUPs” 3URFHHGLQJV RI WKH ,((( ,QWHUQDWLRQDO 6\PSRVLXP RQ 6XVWDLQDEOH 6\VWHPV DQG 7HFKQRORJ\ ;XH ;LDRER DQG $P\ ( /DQGLV ʊ2S WLPL]LQJ $JULFXOWXUH 0DQDJHPHQW 3UDFWLFHV WR ,PSURYH WKH (QYLURQPHQWDO )RRWSULQW RI &RUQ GHULYHG %LRSURGXFWs” 3URFHHGLQJV RI WKH ,((( ,QWHUQDWLRQDO 6\PSRVLXP RQ 6XVWDLQDEOH 6\VWHPV DQG 7HFKQRORJ\ /LDQJ < 7 $GDPV ; /LDQJ : 7HQJ DQG / &KLX (QKDQFLQJ 12$$ $:,36 '66 E\ LQIXVLQJ 1$6$ UHVHDUFK UHVXOWV IRU GURXJKW DQG RWKHU GLVDVWHU PDQDJHPHQW 7HFKQLFDO 5HSRUW SS 6HSWHPEHU

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ʊ' \QDPLF 'LVFUHWH $QDO\VLV RI DQ (DUWKTXDNH LQGXFHG /DUJH VFDOH /DQGVOLGe” ,QWHUQDWLRQDO -RXUQDO RI 5RFN 0HFKDQLFV DQG 0LQLQJ 6FLHQFHV 9RO SS ±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ʊ(I IHFWV RI $0' RQ $OXPLQXP 5HOHDVH IURP &OD\ 0LQHUDOs”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ʊ( IIHFWV RI $0' RQ $OXPLQXP 5HOHDVH IURP &OD\ 0LQHUDOs” 3URFHHGLQJV RI WKH $6&( :RUOG (QYLURQPHQWDO :DWHU 5HVRXUFHV &RQJUHVV (:5, 'LYLVLRQ .DQVDV &LW\ 0D\ 9DVTXH] 2 1HXIHOG 5 ' 0RQQHOO - ʊ( IIHFWV RI $0' RQ $OXPLQXP 5HOHDVH IURP &OD\ 0LQHUDOs” 3UHVHQWHG DW WKH :RUOG (QYLURQPHQWDO :DWHU 5HVRXUFHV &RQJUHVV .DQVDV &LW\ 0D\

1HXIHOG 5 ' 0RQQHOO - 5LHV 5 1L - ʊ0 RQLWRULQJ 3URWRFRO DQG 'DWD &ROOHFWLRQ &RPSDULVRQ RI WKH 5XQRII :DWHU 4XDQWLW\ 4XDOLW\ DQG 7KHUPDO 3HUIRUPDQFHV RI 7ZR *UHHQ 5RRI 7HFKQRORJLHV 7KLQ YV 7KLFN´ 6XE *UDQW *50 7KUHH 5LYHUV :HW :HDWKHU DQG 8 6 (3$ 3LWWVEXUJK 3$ $XJXVW 1HXIHOG 5 ' 3X ; 0DUWLQH] 2 0RQQHOO - ʊ -RQDWKDQ 5XQ 3UH FRQVWUXFWLRQ :DWHU 4XDOLW\” 5HSRUW WR 3HQQ'27 +DUULVEXUJ 'HFHPEHU 6SDGD $ *LDPEDQFR * DQG 5L]]R 3 ʊ'DP DJH DQG 3ODVWLFLW\ DW WKH ,QWHUIDFHV LQ &RPSRVLWH 0DWHULDOV DQG 6WUXFWXUHs,” &RPSXWHU 0HWKRG LQ $SSOLHG 0HFKDQLFV DQG (QJLQHHULQJ SS 5L]]R 3 %RUGRQL * 0DU]DQL $ DQG 9LSSHUPDQ - ʊ/ RFDOL]DWLRQ RI 6RXQG 6RXUFHV E\ 0HDQV RI 8QLGLUHFWLRQDO 0LFURSKRQHV ” 0HDVXUHPHQW 6FLHQFH DQG 7HFKQRORJ\ SS 5L]]R 3 &DPPDUDWD 0 'XWWD ' 6RKQ + DQG +DUULHV . $ ʊ8QV XSHUYLVHG /HDUQLQJ $OJRULWKP IRU )DWLJXH &UDFN 'HWHFWLRQ LQ :DYHJXLGHV ” 6PDUW 0DWHULDOV DQG 6WUXFWXUHV 9RO SS GRL 'XWWD ' 6RKQ + +DUULHV . DQG 5L]]R 3 ʊ$ 1 RQOLQHDU $FRXVWLF 7HFKQLTXH IRU &UDFN 'HWHFWLRQ LQ 0HWDOOLF 6WUXFWXUHV ” ,QWHUQDWLRQDO -RXUQDO RI 6WUXFWXUDO +HDOWK 0RQLWRULQJ 1R SS '2, 'HJDOD 6 5L]]R 3 5DPDQDWKDQ . DQG +DUULHV . $ ʊ$FRX VWLF (PLVVLRQ 0RQLWRULQJ RI &)53 5HLQIRUFHG &RQFUHWH 6ODEs,” &RQVWUXFWLRQ %XLOGLQJV DQG 0DWHULDOV 9RO ,VVXH 0D\ SS 5L]]R 3 &RFFLD 6 %DUWROL , DQG /DQ]D GL 6FDOHD ) ʊ1RQ FRQWDFW 5DLO 0RQLWRULQJ E\ 8OWUDVRQLF *XLGHG :DYHV ” (QF\FORSHGLD RI 6WUXFWXUDO +HDOWK 0RQLWRULQJ 9RO &K SS :LOH\ 3XEOLVKHUV /DQ]D GL 6FDOHD ) %DUWROL , 5L]]R 3 0DU]DQL $ 6RUULYL ( DQG 9LROD ( ʊ6W UXFWXUDO +HDOWK 0RQLWRULQJ RI 0XOWL ZLUH 6WUDnds,” (QF\FORSHGLD RI 6WUXFWXUDO +HDOWK 0RQLWRULQJ 9RO &K SS :LOH\ 3XEOLVKHUV =KX ; - 5L]]R 3 'HOORYDGH - DQG %UXFN - ʊ8 OWUDVRQLF *XLGHG :DYHV IRU 1'( RI 6LJQ 6XSSRUW 6WUXFWXUHV,” $167 )DOO &RQIHUHQFH DQG 4XDOLW\ 7HVWLQJ 6KRZ SS 2FWREHU &ROXPEXV 2+ &' 520 6DOH 0 5L]]R 3 DQG 0DU]DQL $ ʊ*XL GHG :DYHV %DVHG $SSURDFK IRU WKH 5HFRQVWUXFWLRQ RI WKH (ODVWLF 0RGXOL RI 3ODWHV ” ,((( ,QWHUQDWLRQDO 8OWUDVRQLFV 6\PSRVLXP 8/76<0 SS LJK )UHTXHQF\ *XLGHG :DYHV 0DU]DQL $ 'H 0DUFKL / 5L]]R 3 DQG 6SHFLDOH 1 ʊ+ LQ D :LUH 6WUDQG :DUSHG )UHTXHQF\ 7UDQVIRUP IRU 6SHFWUR 7HPSRUDO &KDUDFWHUL]DWLon,” ,((( ,QWHUQDWLRQDO 8OWUDVRQLFV 6\PSRVLXP 8/76<0 SS 5L]]R 3 6SDGD $ DQG *LDPEDQFR * ʊ6 +0 RI &KHPLFDOO\ %RQGHG $QFKRUV E\ PHDQV RI $FRXVWLF (PLVVLRn,” 3URFHHGLQJV RI WKH WK ,QWHUQDWLRQDO :RUNVKRS RQ 6WUXFWXUDO +HDOWK 0RQLWRULQJ (G ) . &KDQJ 6WDQIRUG &$ 6HSWHPEHU SS

1L ; *DUGHQ 5 DQG 5L]]R 3 ʊ1RY HO $FWXDWRU %DVHG RQ WKH 6WUHVV :DYH 3URSDJDWLRQ LQ +LJKO\ 1RQOLQHDU 0DWHULDOV ” 3URFHHGLQJV RI WKH WK ,QWHUQDWLRQDO :RUNVKRS RQ 6WUXFWXUDO +HDOWK 0RQLWRULQJ (G ) . &KDQJ 6WDQIRUG &$ 6HSWHPEHU SS .DFLQ - 5L]]R 3 DQG %UXFN - ʊ) DWLJXH $QDO\VLV RI 2YHUKHDG 6LJQ 6XSSRUW 6WUXFWXUHV ” :HVWHUQ 3HQQV\OYDQLD 7UDQVSRUWDWLRQ 5HVHDUFK )RUXP -XQH 3LWWVEXUJK 3$ &' 520 5L]]R 3 %RUGRQL * DQG 0DU]DQL $ ʊ8VH R I 8QLGLUHFWLRQDO 0LFURSKRQHV DQG 6LJQDO 3URFHVVLQJ IRU WKH /RFDOL]DWLRQ RI 6RXQG 6RXUFHs,” 3URFHHGLQJV RI 63,(¶V 'HIHQVH 6HFXULW\ DQG 6HQVLQJ $SULO 2UODQGR )ORULGD 86$ 3URF 63,( 9RO ) '2, QIOXHQFH 2I 7KH ([FLWDWLRQ )UHTXHQF\ ,Q WKH $QQDPGDV 9 * 0 5L]]R 3 ʊ, (OHFWURPHFKDQLFDO ,PSHGDQFH 0HWKRG )RU 6+0 $SSOLFDWLRns,” 3URFHHGLQJV RI 63,(¶V WK $QQXDO ,QWHUQDWLRQDO 6\PSRVLXP RQ 6PDUW 6WUXFWXUHV DQG 0DWHULDOV ± 6HQVRUV DQG 6PDUW 6WUXFWXUHV 7HFKQRORJLHV IRU &LYLO 0HFKDQLFDO DQG $HURVSDFH 6\VWHP 3URF 3,( 9RO 9 '2, 5L]]R 3 &DPPDUDWD 0 'XWWD ' 6RKQ ʊ2 XWOLHU $QDO\VLV DQG 3ULQFLSDO &RPSRQHQW $QDO\VLV WR 'HWHFW )DWLJXH &UDFNV LQ :DYHJXLGHV ” 3URFHHGLQJV RI 63,(¶V WK $QQXDO ,QWHUQDWLRQDO 6\PSRVLXP RQ 6PDUW 6WUXFWXUHV DQG 0DWHULDOV ± 6HQVRUV DQG 6PDUW 6WUXFWXUHV 7HFKQRORJLHV IRU &LYLO 0HFKDQLFDO DQG $HURVSDFH 6\VWHP 3URF 63,( 9RO 6 '2, 1L ; 5L]]R 3 DQG 'DUDLR & ʊ1RY HO 6HQVRU 7HFKQRORJ\ IRU 1'( RI &RQFUHWH ” 3URFHHGLQJV RI 63,(¶V WK $QQXDO ,QWHUQDWLRQDO 6\PSRVLXP RQ 6PDUW 6WUXFWXUHV DQG 0DWHULDOV ± 6HQVRUV DQG 6PDUW 6WUXFWXUHV 7HFKQRORJLHV IRU &LYLO 0HFKDQLFDO DQG $HURVSDFH 6\VWHP 3URF 63,( 9RO '2, .KDWUL ' 'DUDLR & DQG 5L]]R 3 ʊ&R XSOLQJ RI +LJKO\ 1RQOLQHDU :DYHV ZLWK /LQHDU (ODVWLF 0HGLa,” 3URFHHGLQJV RI 63,(¶V WK $QQXDO ,QWHUQDWLRQDO 6\PSRVLXP RQ 6PDUW 6WUXFWXUHV DQG 0DWHULDOV ± 6HQVRUV DQG 6PDUW 6WUXFWXUHV 7HFKQRORJLHV IRU &LYLO 0HFKDQLFDO DQG $HURVSDFH 6\VWHP 3URF 63,( 9RO 3 '2, 2QOLQH 3XEOLFDWLRQ 'DWH 0DUFK .DFLQ - 5L]]R 3 DQG $QQDPGDV 9 * 0 6HQVLQJ 7HFKQRORJ\ IRU 'DPDJH $VVHVVPHQW RI 6LJQ 6XSSRUWV DQG &DQWLOHYHU 3ROHV ± 7DVNV <HDU 5HSRUW 3HQQV\OYDQLD 'HSDUWPHQW RI 7UDQVSRUWDWLRQ &RQWUDFW 1R 3,7 8QLYHUVLW\ RI 3LWWVEXUJK +X < 7R $ & DQG <XQ 0 ʊ&RQW UROOHG *URZWK RI 6LQJOH 0HWDOOLF DQG &RQGXFWLQJ 3RO\PHU 1DQRZLUH YLD *DWH $VVLVWHG (OHFWURGHSRVLWLRn,” 1DQRWHFKQRORJ\ 9RO /HH % - DQG 7R $ & ʊ(QKD QFHG $EVRUSWLRQ LQ 2QH 'LPHQVLRQDO 3KRQRQLF &U\VWDOV ZLWK ,QWHUIDFLDO $FRXVWLF :DYHV ” $SSOLHG 3K\VLFV /HWWHUV 9RO *RQHOOD 6 7R $ & DQG /LX : . ʊ, QWHUSOD\ EHWZHHQ 3KRQRQLF %DQGJDSV DQG 3LH]RHOHFWULF 0LFURVWUXFWXUHV IRU (QHUJ\ +DUYHVWLQJ,” -RXUQDO RI 0HFKDQLFV DQG 3K\VLFV RI 6ROLGV 9RO SS

7R $ & 0RRUH - 5 DQG *ODVHU 6 ' ʊ :DYHOHW 'HQRLVLQJ 7HFKQLTXHV ZLWK $SSOLFDWLRQV WR ([SHULPHQWDO *HRSK\VLFDO 'DWa,” 6LJQDO 3URFHVVLQJ 9RO SS 7R $ & DQG /HH % - ʊ 0XOWLIXQFWLRQDO 2QH 'LPHQVLRQDO 3KRQRQLF &U\VWDO 6WUXFWXUHV ([SORLWLQJ ,QWHUIDFLDO $FRXVWLF :DYHV,” 0DWHULDOV 5HVHDUFK 6RFLHW\ 6SULQJ 0HHWLQJ $SULO 6DQ )UDQFLVFR &DOLIRUQLD 86$ 7R $ & DQG /HH % - ʊ 7KH 0HFKDQLFV RI 1DQRVFDOH 3DWWHUQLQJ E\ /DVHU $EODWLon,” WK 86 1DWLRQDO &RQJUHVV RQ &RPSXWDWLRQDO 0HFKDQLFV -XO\ &ROXPEXV 2KLR 86$ /HH % - DQG 7R $ & ʊ 3HULRGLF 1DQRVWUXFWXUH )RUPDWLRQ 8VLQJ 3XOVHG /DVHU $EODWLRQ LQ WKH 1HDU )LHOd,” $60( 6XPPHU +HDW 7UDQVIHU &RQIHUHQFH -XO\ 6DQ )UDQFLVFR &DOLIRUQLD 86$ <DQJ ; +X < <XQ 0 DQG 7R $ & ʊ1DQRV WUXFWXUH (IIHFWV RQ 7KHUPDO DQG 0HFKDQLFDO 3URSHUWLHV RI (OHFWURGHSRVLWHG 1DQRZLUHV,” WK 86 1DWLRQDO &RQJUHVV RQ &RPSXWDWLRQDO 0HFKDQLFV -XO\ &ROXPEXV 2KLR 86$ 'DWWD $ DQG 7R $ & ʊ'HQV LW\ )XQFWLRQDO 7LJKW %LQGLQJ DQG 0ROHFXODU '\QDPLFV 6LPXODWLRQV RI 6XUIDFH (OHFWURVWDWLFV LQ 1DQRGLDPond,” WK 86 1DWLRQDO &RQJUHVV RQ &RPSXWDWLRQDO 0HFKDQLFV -XO\ &ROXPEXV 2KLR 86$ .LUFD 0 ,VODP 0 , DQG 7R $ & ʊ 0HFKDQLFDO 3URSHUWLHV RI 8OWUD /LJKWZHLJKW )XVHG &DUERQ 1DQRWXEH 6WUXFWXUHs,” WK 86 1DWLRQDO &RQJUHVV RQ &RPSXWDWLRQDO 0HFKDQLFV -XO\ &ROXPEXV 2KLR 86$ .LUFD 0 +H : DQG 7R $ & ʊ 9DOLGDWLRQ RI WKH 7KHUPRPHFKDQLFDO $WRPLVWLF WR &RQWLQXXP 0RGHO,” 7KH -RLQW $6&( $60( 6(6 &RQIHUHQFH RQ 0HFKDQLFV DQG 0DWHULDOV -XQH %ODFNVEXUJ 9LUJLQLD 86$ <DQJ ; DQG 7R $ & ʊ 7KHUPDO &RQGXFWLYLW\ LQ 7KLQ 6LOLFRQ 1DQRZLUHV ZLWK 5RXJK 6XUIDFHV E\ 0ROHFXODU '\QDPLFV 6LPXODWLons,” 7KH QG ,QWHUQDWLRQDO 6\PSRVLXP RQ &RPSXWDWLRQDO 0HFKDQLFV ,6&0 ,, DQG WK ,QWHUQDWLRQDO &RQIHUHQFH RQ WKH (QKDQFHPHQW DQG 3URPRWLRQ RI &RPSXWDWLRQDO 0HWKRGV LQ (QJLQHHULQJ DQG 6FLHQFH (30(6& ;,, 1RY ± 'HF +RQJ .RQJ &KLQD 7RUNDPDQL 0 $ 0 DQG 5REHUWV (ULQ 5 ʊ( QHUJ\ (TXDWLRQV IRU (ODVWLF )OH[XUDO 7RUVLRQDO %XFNOLQJ $QDO\VLV RI 3ODQH 6WUXFWXUHV,” 7KLQ :DOOHG 6WUXFWXUHV 9RO SS 9DOOHMR / ( ʊ) UDFWDO $QDO\VLV RI 7HPSHUDWXUH ,QGXFHG &UDFNLQJ LQ &OD\V DQG 5RFNs,” *pRWHFKQLTXH 9RO 1R SS 9DOOHMR / ( DQG &KLN = ʊ)U DFWDO DQG /DERUDWRU\ $QDO\VHV RI WKH &UXVKLQJ DQG $EUDVLRQ RI *UDQXODU 0DWHULDOs,” *HRPHFKDQLFV DQG (QJLQHHULQJ $Q ,QWHUQDWLRQDO -RXUQDO 9RO 1R SS *XWLHUUH] - - 9DOOHMR / ( *DUFLD & , ³7KH +\GUDXOLF &RQGXFWLYLW\ RI 6DQGV ZLWK 'LVSHUVHG 2YHUVL]HG 3DUWLFOHV,” 3URFHHGLQJV WK ,QWHUQDWLRQDO &RQIHUHQFH RQ 6RLO 0HFKDQLFV DQG *HRWHFKQLFDO (QJLQHHULQJ &DLUR (J\SW 2FWREHU 9RO SS

9DOOHMR / ( ʊ 7KH ,QIOXHQFH RI ,VRODWHG )LVVXUHV RQ WKH +\GUDXOLF &RQGXFWLYLW\ RI &OD\s,” 3RUR 0HFKDQLFV ,9 3URFHHGLQJV )RXUWK %LRW &RQIHUHQFH RQ 3RURPHFKDQLFV &ROXPELD 8QLYHUVLW\ 1HZ <RUN -XQH SS 9DOOHMR / ( DQG /RER *XHUUHUR 6 ʊ)U DFWDO )UDJPHQWDWLRQ RI *UDQXODU 0DWHULDOV 8QGHU &RPSUHVVLRQ ” 3RZGHUV DQG *UDLQV 3URFHHGLQJV RI WKH WK ,QWHUQDWLRQDO &RQIHUHQFH RQ 0LFURPHFKDQLFV RI *UDQXODU 0HGLD *ROGHQ &RORUDGR -XO\ SS /RER *XHUUHUR 6 DQG 9DOOHMR / ( ʊ, PSOHPHQWLQJ 3DUWLFOH )UDJPHQWDWLRQ RQ '(0 *HRWHFKQLFDO $SSOLFDWLRQV ”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ʊ, PSDFW RI )O\ $VK &RPSRVLWLRQ RQ 0HUFXU\ 6SHFLDWLRQ LQ 6LPXODWHG )OXe Gas” -RXUQDO RI $LU DQG :DVWH 0DQDJHPHQW $VVRFLDWLRQ SS ± /L + 9LGLF 5 ' DQG ']RPEDN ' $ ʊ(O HFWURFKHPLFDO ,PSHGDQFH 6SHFWURVFRS\ (,6 %DVHG &KDUDFWHUL]DWLRQ RI 0LQHUDO &ROORLG 'HSRVLWLRQ IURP 3UHFLSLWDWLRQ 5HDFWLons” -RLQW WK ,$&,6 ,QWHUQDWLRQDO &RQIHUHQFH RQ 6XUIDFH DQG &ROORLG 6FLHQFH DQG UG $&6 &ROORLG DQG 6XUIDFH 6FLHQFH 6\PSRVLXP &ROXPELD 8QLYHUVLW\ 1HZ <RUN &LW\ 1< -XQH +VLHK 0 . &KLHQ 6 + /L + &KRZGKXU\ , 0RQQHOO - ' ']RPEDN ' $ DQG 9LGLF 5 ' ʊ5HXVH 2I 7UHDWHG 0XQLFLSDO :DVWHZDWHU ,Q 7KH &RROLQJ 6\VWHPV 2I &RDO %DVHG 7KHUPRHOHFWULF 3RZHU 3ODQWs” 3HQQV\OYDQLD :DWHU (QYLURQPHQW $VVRFLDWLRQ V VW $QQXDO 7HFKQLFDO &RQIHUHQFH ([KLELWLRQ 3HQQ7HF /DQFDVWHU 3$ -XQH +VLHK 0 . /L + &KLHQ 6 + ']RPEDN ' 9LGLF 5 ' 0HFKDQLVPV RI 7RO\OWULD]ROH &RUURVLRQ 3URWHFWLRQ LQ &RROLQJ 6\VWHPV 8VLQJ 6HFRQGDU\ 7UHDWHG 0XQLFLSDO :DVWHZDWHU DV 0DNHXS :DWHU 3URFHHGLQJV RI WKH WK $PHULFDQ &KHPLFDO 6RFLHW\ 1DWLRQDO 0HHWLQJ DQG ([SRVLWLRQ 6DOW /DNH &LW\ 87 0DUFK /L + 9LGLF 5 ' +VLHK 0 . ']RPEDN ' ʊ 0LQHUDO 'HSRVLWLRQ ,Q &RROLQJ 6\VWHPV ZKHQ 6HFRQGDU\ 0XQLFLSDO :DVWHZDWHU ,V 8VHG 0RGHOLQJ .LQHWLFV DQG ,QKLELWLRn” 3URFHHGLQJV RI WKH WK $PHULFDQ &KHPLFDO 6RFLHW\ 1DWLRQDO 0HHWLQJ DQG ([SRVLWLRQ 6DOW /DNH &LW\ 87 0DUFK

9LGLF 5 ' DQG ']RPEDN ' $ ʊ5HXV H RI 7UHDWHG ,QWHUQDO RU ([WHUQDO :DVWHZDWHUV LQ WKH &RROLQJ 6\VWHPV RI &RDO %DVHG 7KHUPRHOHFWULF 3RZHU 3ODQWs” )LQDO 7HFKQLFDO 5HSRUW IRU &RRSHUDWLYH $JUHHPHQW 1XPEHU '( )& 17 86 '2( ± 1(7/ 6HSWHPEHU SS +VLHK 0 . /L + 9LGLF 5 ' DQG ']RPEDN ' $ ʊ&RSS HU &RUURVLRQ 3URWHFWLRQ LQ :DWHU 5HXVH 3URMHFWV &RROLQJ 6\VWHPV :LWK 6HFRQGDU\ 7UHDWHG 0XQLFLSDO :DVWHZDWHU DQG 5HVLGXDO 'LVLQIHFWDQW ” -RLQW WK ,$&,6 ,QWHUQDWLRQDO &RQIHUHQFH RQ 6XUIDFH &ROORLG 6FLHQFH DQG UG $&6 &ROORLG 6XUIDFH 6FLHQFH 6\PSRVLXP &ROXPELD 8QLYHUVLW\ 1HZ <RUN &LW\ 1< -XQH &KLHQ 6 + +VLHK 0 . ']RPEDN ' 9LGLF 5 ' ʊ :DWHU IRU &RROLQJ LQ 7KHUPRHOHFWULF 3RZHU 3ODQWV 7KH ,PSHQGLQJ 6KRUWDJH DQG $OWHUQDWLYH 6RXUFHs” (QJLQHHULQJ 6XVWDLQDELOLW\ 3LWWVEXUJK 3$ $SULO

'HSDUWPHQW RI (OHFWULFDO DQG &RPSXWHU (QJLQHHULQJ

$Q + )OHPLQJ 6 0F0LOOHQ % DQG &KHQ . 3 ʊ6 HFRQG RUGHU QRQOLQHDULW\ LQ WKHUPDOO\ SROHG VLOLFD ZDYHJXLGHV ZULWWHQ E\ IHPWRVHFRQG ODVHU SXOVHV”, &RQIHUHQFH RQ /DVHU DQG (OHWUR 2SWLFV SDSHU &)7 K UHSHWLWLRQ UDWH 89 XOWUDIDVW ODVHU %HQD\DV $ -DTXH ' 0F0LOOHQ % DQG &KHQ . 3 ʊ+LJ LQVFULSWLRQ RI EXULHG FKDQQHO ZDYHJXLGHV LQ VDSSKLUH IDEULFDWLRQ DQG IOXRUHVFHQFH LPDJLQJ YLD UXE\ 5 OLQHV,” OpW ([S YRO SS %LVZDV & .LP . *HQJ + 3DUN + /LP 6 &KDH 6 .LP 6 /HH < 1D\KRXVH 0 DQG <XQ 0 ʊ6 WUDWHJ\ IRU +LJK &RQFHQWUDWLRQ 1DQRGLVSHUVLRQ RI 6LQJOH :DOOHG &DUERQ 1DQRWXEHV ZLWK 'LDPHWHU 6HOHFWLYLW\,” - 3K\V &KHP & 9RO %LVZDV & .LP . . *HQJ + = 3DUN + . /LP 6 & &KDH 6 - .LP 6 0 /HH < + 1D\KRXVH 0 DQG <XQ 0 ʊ+LJ KO\ FRQFHQWUDWHG GLDPHWHU VHOHFWLYH QDQRGLVSHUVLRQ RI VLQJOH ZDOOHG FDUERQ QDQRWXEHV LQ ZDWHU”, PURF 63,( 2SWLF :HVW 6DQ 'LHJR $XJ %RVH $ )OXHN $ /DXE\ 0 1LHEXU ' 5DQGD]]R $ 5D\ ' 5HGHU : 5HHG * 6DXHU 3 DQG :D\QR ) ʊ3U HSDULQJ WKH 8 6 )RXQGDWLRQ IRU )XWXUH (OHFWULF (QHUJ\ 6\VWHPV $ 6WURQJ 3RZHU DQG (QHUJ\ (QJLQHHULQJ :RUNIRUFe,” ,((( 3RZHU DQG (QHUJ\ 6RFLHW\ $SULO %XULF 0 &KHQ . )DON - DQG :RRGUXII 6 ʊ, PSURYHG 6HQVLWLYLW\ *DV 'HWHFWLRQ E\ 6SRQWDQHRXV 5DPDQ 6FDWWHULQJ,” ApplLHG 2SWLFV %XULF 0 &KHQ . )DON - DQG :RRGUXII 6 ,PSURYHG 6HQVLWLYLW\ 6SRQWDQHRXV 5DPDQ 6FDWWHULQJ 0XOWL *DV 6HQVRU,” ConIHUHQFH RQ /DVHUV DQG (OHFWUR RSWLFV %XULF 0 &KHQ . )DON - DQG :RRGUXII 6 ʊ3KRW RQLF %DQGJDS )LEHU 6HQVRUV IRU *DV 'HWHFWLRn,” 7UHQGV LQ 3KRWRQLFV 5HVHDUFK 6LJQSRVW %XULF 0 &KHQ . )DON - 9HOH] 5 DQG :RRGUXII 6 ʊ5DP DQ 6HQVLQJ RI )XHO *DVHV 8VLQJ D 5HIOHFWLYH &RDWLQJ &DSLOODU\ 2SWLFDO )LEHU,” 63,( 6\PSRVLXP RQ 'HIHQVH 6HFXULW\ DQG 6HQVLQJ $SULO

%XULF 0 &KHQ 7 6ZLQHKDUW 3 0RNKDU 0 DQG &KHQ . 3 ʊ$FW LYH ILEHU %UDJJ JUDWLQJ K\GURJHQ VHQVRU XVLQJ KLJK DWWHQXDWLRQ ILEHUV ” ,((( 3KRWRQ 7HFKQRO /HWW 9RO SS &KDQJ & -LQ = &KDQJ + DQG &KHQJ $ ʊ)U RP 1HXURPXVFXODU $FWLYDWLRQ WR (QG SRLQW /RFRPRWLRQ $Q $UWLILFLDO 1HXUDO 1HWZRUN EDVHG 7HFKQLTXH IRU 1HXUDO 3URVWKHVHV ” -%LRPHFK 9RO 1R SS &KHQ 7 %XULF 0 DQG &KHQ . 3 ʊ 6HOI +HDWLQJ )LEHU %UDJJ *UDWLQJ 6HQVRU FKDSWHU LQ 7UHQGV LQ 3KRWRQLFV -RKQ &DQQLQJ (G ,6%1 5HVHDUFK 6LJQSRVW &KHQ 7 %XULF 0 ;X ' &KHQ . 3 6ZLQHKDUW 3 5 DQG 0DNODG 0 ʊ$O O ILEHU ORZ WHPSHUDWXUH K\GURJHQ VHQVLQJ XVLQJ D PXOWL IXQFWLRQDO OLJKW VRXUFe” 3URFHHGLQJV RI 63,( 9RO &KHQ 7 %XULF 0 &KHQ . 3 6ZLQHKDUW 3 5 DQG 0DNODG 0 ʊ$F WLYH ILEHU K\GURJHQ VHQVRU IRU ORZ WHPSHUDWXUH RSHUDWLon” &RQIHUHQFH RQ /DVHU DQG (OHWUR 2SWLFV SDSHU &7K( 'LFNHUVRQ 6 - /HYLWDQ 6 3 &KLDUXOOL ' ʊ ' ,QWHJUDWHG &LUFXLWV IRU /DE RQ &KLS $SSOLFDWLRQV ” ,((( ,QWHUQDWLRQDO &RQIHUHQFH RQ ' 6\VWHP ,QWHJUDWLRQ 6HSWHPEHU 6DQ )UDQFLVFR &DOLIRUQLD 'RQWKDUDMX 6 7XQJ 6 &DLQ - 7 0DWV / 0LFNOH 0 + DQG -RQHV $ ʊ$ 'HVLJQ $XWRPDWLRQ DQG 3RZHU (VWLPDWLRQ )ORZ IRU 5),' 6\VWHPs,” $&0 7UDQVDFWLRQV RQ 'HVLJQ $XWRPDWLRQ IRU (OHFWURQLF 6\VWHPV 72'$(6 9RO 1R SS )HUUHLUD $ %RVWRQ - 5 DQG $QWDNL - ) ʊ $ &RQWURO 6\VWHP IRU 5RWDU\ %ORRG 3XPSV %DVHG RQ 6XFWLRQ 'HWHFWLRQ ” ,((( 7UDQVDFWLRQV RI %LRPHGLFDO (QJLQHHULQJ 9RO ,VVXH SS 0DUFK *HOHQEH ( 0DR = + /L < ' ʊ'HW HUPLQLVWLF &RPSXWDWLRQ ZLWK 5DQGRP * 1HWZRUNs,” &KDSWHU SS LQ )XQGDPHQWDO &RQFHSWV LQ &RPSXWHU 6FLHQFH ( *HOHQEH DQG - 3 .DKDQH (GV ,PSHULDO &ROOHJH 3UHVV +DUE $ /R]DQR . /LQ < ;X ' DQG &KHQ . 3 ʊ)L YH %HDP +RORJUDSKLF )DEULFDWLRQ RI 7KUHH GLPHQVLRQDO 3KRWRQLF &U\VWDO 7HPSODWHV 8VLQJ 3KDVH 7XQDEOH 'LIIUDFWLRQ 2SWLFDO (OHPHQW ” OpW ([S 9RO SS +DZU\ODN 3 - &DLQ - 7 DQG 0LFNOH 0 + ʊ$QD O\VLV 0HWKRGV IRU 6HQVRU 1HWZRUNs” &KDSWHU LQ *XLGH WR :LUHOHVV 6HQVRU 1HWZRUNV 0LVUD 6 :RXQJDQJ , DQG 0LVUD 6 & (G 6SULQJHU -XQH +DZU\ODN 3 - DQG 0LFNOH 0 + ʊ(3& *HQ 6WDQGDUG IRU 5),',” &KDSWHU LQ 5),' DQG 6HQVRU 1HWZRUNV $UFKLWHFWXUHV 3URWRFROV 6HFXULW\ DQG ,QWHJUDWLRQV =KDQJ < <DQJ / 7 DQG &KHQ - (G 7D\ORU DQG )UDQFLV *URXS &5& 3UHVV +RH - 0DL . DQG &KHQJ $ ʊ%U DLQ ,PSODQWDEOH &RPSXWLQJ 3ODWIRUPV IRU (PHUJLQJ 1HXURVFLHQFH $SSOLFDWLRQs,” 3URFHHGLQJV RI WKH WK $&0 ,QWHUQDWLRQDO &RQIHUHQFH RQ $UFKLWHFWXUDO 6XSSRUW IRU 3URJUDPPLQJ /DQJXDJHV DQG 2SHUDWLQJ 6\VWHPV $63/26 WKH :LOG DQG &UD]\ ,GHD 6HVVLRQ 9,, 0DUFK :DVKLQJWRQ ' &

+X < 7R $ DQG <XQ 0 ʊ&R QWUROOHG *URZWK RI 6LQJOH 0HWDOOLF DQG &RQGXFWLQJ 3RO\PHU 1DQRZLUHV YLD *DWH DVVLVWHG (OHFWURFKHPLFDO 'HSRVLWLon,” 1DQRWHFKQRORJ\ 9RO +XDQJ 6 2UHVNR - 6XQ < DQG &KHQJ $ ʊ3U RJUDPPDEOH 1HXUDO 3URFHVVLQJ RQ D 6PDUWGXVW,” 3URFHHGLQJV RI WKH WK $&0 ,((( 'HVLJQ $XWRPDWLRQ &RQIHUHQFH $&0 ,((( '$& SS -XO\ 6DQ )UDQFLVFR &DOLIRUQLD ,KULJ & - 'KDQDEDODQ * - DQG -RQHV $ ʊ$ /RZ SRZHU &026 7K\ULVWRU %DVHG 'HOD\ (OHPHQW ZLWK 3URJUDPPDELOLW\ ([WHQVLRQs,” 3URFHHGLQV RI */69/6, SS 0D\ ,UHODQG . &KLDUXOOL ' /HYLWDQ 6 3 ʊ$ 5RXWHUOHVV 6\VWHP /HYHO ,QWHUFRQQHFWLRQ 1HWZRUN IRU ' ,QWHJUDWHG 6\VWHPs,” ,((( ,QWHUQDWLRQDO &RQIHUHQFH RQ ' 6\VWHP ,QWHJUDWLRQ 6HSWHPEHU 6DQ )UDQFLVFR &DOLIRUQLD ,UHODQG . -H]DN - /HYLWDQ 6 3 &KLDUXOOL ' ʊ6FD ODEOH $UELWUDWLRQ RI 3DUWLWLRQHG %XV ,QWHUFRQQHFWLRQ 1HWZRUNV LQ ' ,& 6\VWHPs,” QG ,QWHUQDWLRQDO :RUNVKRS RQ 1HWZRUN RQ &KLS $UFKLWHFWXUHV 3DSHU 1R 6HVVLRQ ,9 SS 'HFHPEHU 1HZ <RUN 1HZ <RUN -HZDUW & &KHQ . 3 $YGHHY , 0LFKLH $ +DPEOH\ 3 DQG &DQQLQJ - 7RUVLRQ RI DLU KROH PLFURVWUXFWXUHG ILEHU GHYLFHV XQGHU ODUJH GHIHFWLRQ 3URFHHGLQJV RI 63,( 9RO - -LQ = 2UHVNR - +XDQJ 6 DQG &KHQJ $ ʊ$ 3HUVRQDOL]HG 0HGLFLQH 7HFKQRORJ\ IRU &DUGLRYDVFXODU 'LVHDVH 3UHYHQWLRQ DQG 'HWHFWLRQ ” 3URFHHGLQJV RI WKH WK ,((( 1,+ /LIH 6FLHQFH 6\VWHPV DQG $SSOLFDWLRQV :RUNVKRS SS $SULO %HWKHVGD 0DU\ODQG -LQ = 2UHVNR - +XDQJ 6 DQG &KHQJ $ ʊ+HDU W7R*R $ 6PDUWSKRQH EDVHG 0RELOH 3ODWIRUP IRU &RQWLQXRXV DQG 5HDO 7LPH &DUGLRYDVFXODU 'LVHDVH 0RQLWRULQJ,” 3URFHHGLQJV RI WKH 0LFURVRIW ([WHUQDO 5HVHDUFK 6\PSRVLXP 0DUFK 5HGPRQG :DVKLQJWRQ -LQ = 6XQ < DQG &KHQJ $ ʊ3U HGLFWLQJ &DUGLRYDVFXODU 'LVHDVH IURP 5HDO 7LPH (OHFWURFDUGLRJUDSKLF 0RQLWRULQJ $Q $GDSWLYH 0DFKLQH /HDUQLQJ $SSURDFK RQ D &HOO 3KRQH ” 3URFHHGLQJV RI WKH VW ,QWHUQDWLRQDO &RQIHUHQFH RI WKH ,((( (QJLQHHULQJ LQ 0HGLFLQH DQG %LRORJ\ 6RFLHW\ ,((( (0%& SS 6HSWHPEHU 0LQQHDSROLV 0LQQHVRWD -RKQVRQ ,,, $ /L & & ʊ $ /RFDOO\ 6WDWLRQDU\ $QDO\VLV RI WKH $OXPLQXP (OHFWURO\VLV 3URFHVV 8VLQJ :DYHOHWs,” - :DYHOHW 7KHRU\ DQG $SSOQV 9RO 1R SS -XQJ < 6 :XHQVFKHOO - .LP + . .DXU 3 DQG :DOGHFN ' + ʊ%OXH VKLIW RI 6XUIDFH 3ODVPRQ 5HVRQDQFH LQ D 0HWDO 1DQRVOLW $UUD\ 6WUXFWXUH ” OptLFV ([SUHVV 9RO SS /HYLWDQ 6 3 &KLDUXOOL ' 0 .XU]ZHJ 7 3 0DUWLQH] - $ 'LFNHUVRQ 6 - %DLOV 0 0 5HHG ' . %ROHV - 0 ʊ&$ ' 7RROV IRU 0XOWL 'RPDLQ 6\VWHPV RQ &KLps,” 0RGHO %DVHG 'HVLJQ RI (PEHGGHG 6\VWHPV 1LFROHVFX * DQG 0RVWHUPDQ 3 (G &KDSWHU SS 7D\ORU )UDQFLV *URXS %RFD 5DWRQ )ORULGD /HYLWDQ 6 3 &KLDUXOOL ' 0 ʊ 0DVVLYHO\ 3DUDOOHO 3URFHVVLQJ ,W V 'pMj YX DOO RYHU DJDLQ ” WK 3URFHHGLQJV RI WKH ,((( $&0 'HVLJQ $XWRPDWLRQ &RQIHUHQFH -XO\ 6DQ )UDQFLVFR &DOLIRUQLD

/L : =KDQJ < <DQJ - =KHQJ - ʊ 7RZDUGV 8SGDWH &RQVFLRXV &RPSLODWLRQ IRU (QHUJ\ (IILFLHQW &RGH 'LVVHPLQDWLRQ LQ :61s,” $&0 7UDQV RQ $UFKLWHFWXUH DQG &RGH 2SWLPL]DWLRQ 9RO 1R SS /LQ < +DUE $ 5RGULJXH] ' /R]DQR . ;X ' DQG &KHQ . 3 ʊ) DEULFDWLRQ RI WZR OD\HU GLIIUDFWLYH RSWLFDO HOHPHQW IRU VLQJOH EHDP DQG VLQJOH H[SRVXUH IDEULFDWLRQ RI GLDPRQG OLNH SKRWRQLF FU\VWDO”, PURF 63,( YRO 3RZHU VFDOLQJ SHUIRUPDQFH RI /LX % &KHQ . 3 .KHUDQL 1 3 =XNRW\QVNL 6 DQG *DGHNHQ / ʊ WKUHH GLPHQVLRQDO WULWLXP EHWDYROWDLF GLRGH ” $SSO 3K\V /HWW 9RO /LX / 6WDQFKLQD : DQG /L * ʊ( IIHFWV RI 6HPLFRQGXFWLQJ DQG 0HWDOOLF 6LQJOH ZDOOHG &DUERQ 1DQRWXEHV RQ 3HUIRUPDQFH RI %XON +HWHURMXQFWLRQ 2UJDQLF 6RODU &HOOV ” $SSOLHG 3K\VLFV /HWWHUV -XQH /LX / 6WDQFKLQD : DQG /L * ʊ3H UIRUPDQFH $QDO\VLV RI %XON +HWHURMXQFWLRQ 6RODU &HOOV )DEULFDWHG E\ 3RO\PHU )XOOHUHQH &DUERQ 1DQRWXEH &RPSRVLWHV ” 3URFHHGLQJV RI WKH ,((( 1DQRWHFKQRORJ\ 0DWHULDOV DQG 'HYLFHV &RQIHUHQFH -XQH 7UDYHUVH &LW\ 0LFKLJDQ 0DR = + /HH + 1 6FODEDVVL 5 - DQG 6XQ 0 ʊ, QIRUPDWLRQ &DSDFLW\ RI WKH 7KXPE DQG WKH ,QGH[ )LQJHU LQ &RPPXQLFDWLon,” ,((( 7UDQVDFWLRQV RQ %LRPHGLFDO (QJLQHHULQJ 9RO 1R SS 0DWV / &DLQ - 7 DQG 0LFNOH 0 + ʊ6W DWLVWLFDO $QDO\VLV RI 7UDQVSRQGHU 3DFNDJLQJ LQ 8+) 5),' 6\VWHPs,” ,((( 7UDQVDFWLRQV RQ (OHFWURQLFV 3DFNDJLQJ 0DQXIDFWXULQJ 9RO 1R SS $SULO 0DWV / &DLQ - 7 DQG 0LFNOH 0 + ʊ 7KH LQ VLWX 7HFKQLTXH IRU 0HDVXULQJ ,QSXW ,PSHGDQFH DQG &RQQHFWLRQ (IIHFWV RI 5),' 7DJ $QWHQQD,” ,((( 7UDQVDFWLRQV RQ $XWRPDWLRQ 6FLHQFH DQG (QJLQHHULQJ 9RO 1R SS -DQXDU\ 0LFUR VWUXFWXUDO LPDJLQJ RI KLJK UHSHWLWLRQ UDWH XOWUDIDVW 0F0LOOHQ % &KHQ . 3 DQG -DTXH ' ʊ ODVHU ZULWWHQ /L7D2 ZDYHJXLGHV ” $SSO 3K\V /HWW YRO SDSHU UDIDVW ODVHU IDEULFDWLRQ RI ' 0F0LOOHQ % &KHQ . 3 -DTXH ' $Q + DQG )OHPLQJ 6 ʊ8OW ZDYHJXLGHV LQ VDSSKLUe” 2(&& SDSHU RQG KDUPRQLF DQG 5DPDQ LPDJLQJ 0F0LOOHQ % &KHQ . 3 -DTXH ' $Q + DQG )OHPLQJ 6 ʊ6HF RI XOWUDIDVW ODVHU ZULWWHQ /L7D2 ZDYHJXLGHV”, &RQIHUHQFH RQ /DVHU DQG (OHWUR 2SWLFV SDSHU &7K3 2QHQ ( $NDQ $ DQG &KDSDUUR / ) ʊ&KD QQHO (VWLPDWLRQ IRU )DVW 9DU\LQJ 0,02 2)'0 6\VWHPs,” (XURSHDQ 6LJQDO 3URFHVVLQJ &RQIHUHQFH 6SHFLDO VHVVLRQ RQ (PHUJLQJ $SSOLFDWLRQV RI 7LPH )UHTXHQF\ 6LJQDO 3URFHVVLQJ FKDLUHG E\ / ) &KDSDUUR SS 6FRWODQG 2UHVNR - &KHQJ - -LQ = 'XVFKO + DQG &KHQJ $ ʊ'HW HFWLQJ &DUGLRYDVFXODU 'LVHDVHV YLD 5HDO 7LPH (OHFWURFDUGLRJUDP 3URFHVVLQJ RQ D 6PDUWSKRQH,” 3URFHHGLQJV RI WKH :RUNVKRS RQ %LRPHGLFLQH LQ &RPSXWLQJ 6\VWHPV $UFKLWHFWXUHV DQG &LUFXLWV %L& SS -XQH $XVWLQ 7H[DV 2UHVNR - &KHQJ - 'XVFKO + DQG &KHQJ $ ʊ 7UDQVSODQWLQJ D 5HVWLQJ (&* 0DFKLQH WR D &HOO 3KRQH IRU 5HDO 7LPH (&* $FTXLVLWLRQ )HDWXUH ([WUDFWLRQ DQG 6WDWLVWLFDO &DUGLDF 6XPPDU\

5HSRUWV,” 3URFHHGLQJV RI WKH %LRPHGLFDO (QJLQHHULQJ 6RFLHW\ $QQXDO 6FLHQWLILF 0HHWLQJ %0(6 SS 2FWREHU 3LWWVEXUJK 3HQQV\OYDQLD 2VPDQEH\RJOX + 8 +XU 7 % DQG .LP + . ʊ 7KLQ $OXPLQD 1DQRSRURXV 0HPEUDQHV IRU 6LPLODU 6L]H %LRPROHFXODU 6HSDUDWLon,” -RXUQDO RI 0HPEUDQH 6FLHQFH 9RO SS 3HUHOOR ' %DH ' - &KDH ' -HRQJ 6 .DQJ % <X : /HH < + DQG <XQ 0 ʊ4XD QWLWDWLYH ([SHULPHQWDO $QDO\VLV RI 6FKRWWN\ %DUULHUV DQG 3RROH )UHQNHO (PLVVLRQ LQ &DUERQ 1DQRWXEH 'HYLFHs,” ,((( 7UDQVDFWLRQV RQ 1DQRWHFKQRORJ\ 9RO 1R SS 3HUHOOR ' .LP 0 -HRQJ 6 < %DH ' - /HH < + DQG <XQ 0 ʊ&1 7 )(7 6FKRWWN\ EDUULHU GHYLFHV IDEULFDWHG E\ ( EHDP OLWKRJUDSK\”, 3URF 63,( 2SWLF :HVW 6DQ 'LHJR $XJ 3HUHOOR ' <X : - %DH ' - &KDH 6 - .LP 0 - /HH < + DQG <XQ 0 ʊ$Q DO\VLV RI +RSSLQJ &RQGXFWLRQ LQ 6HPLFRQGXFWLQJ DQG 0HWDOOLF &DUERQ 1DQRWXEH 'HYLFH ” -RXUQDO RI $SSOLHG 3K\VLFV 9RO 5DVHWVKZDQH ' %RVWRQ - 5 /L & & DQG 'XUUDQW - ' ʊ $Q ,QGH[ WR 0HDVXUH 7UDQVLHQW QHVV RI 6SHHFK ” 3URFHHGLQJV RI WK ,((( 'LJLWDO 6LJQDO 3URFHVVLQJ :RUNVKRS DQG WK ,((( 6LJQDO 3URFHVVLQJ (GXFDWLRQ :RUNVKRS SS -DQXDU\ 0DUFR ,VODQG )ORULGD 5DVHWVKZDQH ' %RVWRQ - 5 /L & & 'XUUDQW - ' DQG *HQQD * ʊ(QKD QFHPHQW RI 6SHHFK ,QWHOOLJLELOLW\ XVLQJ 7UDQVLHQWV ([WUDFWHG E\ :DYHOHW 3DFNHWs,” 3URFHHGLQJV RI WKH ,((( :RUNVKRS RQ $SSOLFDWLRQV RI 6LJQDO 3URFHVVLQJ WR $XGLR DQG $FRXVWLFV SS 2FWREHU 1HZ 3DOW] 1HZ <RUN 6FODEDVVL 5 &KHQJ $ +RH - 0DL . 6XQ 0 :HEHU ' /L ; )HGGHU * 5DELQ < :KLWLQJ ' 3DUDPHVK - DQG :DQJ : ʊ%UD LQ ,PSODQWDEOH &RPSXWHU 3ODWIRUP,” 3URFHHGLQJV RI WKH 8QLWKHU 1DQRPHGLFDO DQG 7HOHPHGLFDO 7HFKQRORJ\ &RQIHUHQFH LQYLWHG SDSHU )HEUXDU\ 4XHEHF &DQDGD 6HQD\ 6 &KDSDUUR / ) DQG 'XUDN / ʊ5HFR QVWUXFWLRQ RI 1RQXQLIRUPO\ 6DPSOHG 7LPH OLPLWHG 6LJQDOV XVLQJ 3URODWH 6SKHURLGDO :DYH )XQFWLRQV 6LJQDO 3URFHVVLQJ 9RO SS 6HQD\ 6 &KDSDUUR / ) DQG 6FODEDVVL 5 ʊ 7LPH )UHTXHQF\ 0XOWLSOH[LQJ IRU 7LPH (QFRGHG 6LJQDOV IRU %UDLQ &RPSXWHU ,QWHUIDFHV ” (XURSHDQ 6LJQDO 3URFHVVLQJ &RQIHUHQFH 6SHFLDO VHVVLRQ RQ (PHUJLQJ $SSOLFDWLRQV RI 7LPH )UHTXHQF\ 6LJQDO 3URFHVVLQJ FKDLUHG E\ / ) &KDSDUUR SS 6FRWODQG 6HQD\ 6 &KDSDUUR / ) 6FODEDVVL 5 DQG 6XQ 0 ʊ7L PH (QFRGLQJ DQG 5HFRQVWUXFWLRQ RI 0XOWLFKDQQHO 'DWD E\ %UDLQ ,PSODQWV XVLQJ $V\QFKURQRXV 6LJPD 'HOWD 0RGXODWRUs,” ,QWHUQDWLRQDO &RQIHUHQFH RI WKH ,((( (QJLQHHULQJ LQ 0HGLFLQH DQG %LRORJ\ 6RFLHW\ 6HSWHPEHU 0LQQHDSROLV 0LQQHVRWD 6HQD\ 6 &KDSDUUR / ) 6XQ 0 DQG 6FODEDVVL 5 ʊ $V\QFKURQRXV 6LJPD 'HOWD 0RGXODWRU %DVHG 6XEGXUDO 1HXUDO ,PSODQWV IRU (SLOHSV\ 3DWLHQWV ” ,((( 1RUWK (DVW %LRHQJLQHHULQJ &RQIHUHQFH $SULO &DPEULGJH 0DVVDFKXVHWWV

6HQD\ 6 &KDSDUUR / ) 6XQ 0 6FODEDVVL 5 DQG $NDQ $ ʊ$V\ QFKURQRXV 6LJQDO 3URFHVVLQJ IRU %UDLQ &RPSXWHU ,QWHUIDFHV ” ,QWHUQDWLRQDO &RQIHUHQFH RQ (OHFWULFDO DQG (OHFWURQLFV (QJLQHHULQJ LQYLWHG SDSHU 1RYHPEHU %XUVD 7XUNH\ 6HQD\ 6 'XUDN / DQG &KDSDUUR / ) ʊ$ 7LPH )UHTXHQF\ 'LYLVLRQ 0XOWLSOH[LQJ &RPPXQLFDWLRQV 6\VWHP ZLWK +H[DJRQDO /DWWLFH 6WUXFWXUe,” (XURSHDQ 6LJQDO 3URFHVVLQJ &RQIHUHQFH 6SHFLDO VHVVLRQ RQ (PHUJLQJ $SSOLFDWLRQV RI 7LPH )UHTXHQF\ 6LJQDO 3URFHVVLQJ FKDLUHG E\ / ) &KDSDUUR SS 6FRWODQG 6HQD\ 6 0LFNOH 0 + 0F)DUODQH ' &ROH 3 DQG (QJHOV ' : ʊ*XHV W (GLWRULDO 6SHFLDO 6HFWLRQ RQ 5),',” ,((( 7UDQVDFWLRQV RQ $XWRPDWLRQ 6FLHQFH DQG (QJLQHHULQJ 9RO 1R SS -DQXDU\ 6XQ < +XDQJ 6 2UHVNR - .UDLV - DQG &KHQJ $ ʊ$ 3URJUDPPDEOH ,PSOHPHQWDWLRQ RI 1HXUDO 6LJQDO 3URFHVVLQJ RQ D 6PDUWGXVW IRU %UDLQ &RPSXWHU ,QWHUIDFHs,” 3URFHHGLQJV RI WKH WK ,((( ,QWHUQDWLRQDO 6\PSRVLXP RQ /RZ 3RZHU (OHFWURQLFV DQG 'HVLJQ ,((( ,6/3(' SS $XJXVW 6DQ )UDQFLVFR &DOLIRUQLD 6XUHVK ' $JDUZDO % <DQJ - DQG 1DMMDU : ʊ( QHUJ\ (IILFLHQW (QFRGLQJ 7HFKQLTXHV IRU 2II &KLS 'DWD %XVHV ” $&0 7UDQVDFWLRQV RQ (PEHGGHG &RPSXWLQJ 6\VWHPV 9RO ,VVXH $UWLFOH -DQXDU\ 6XUHVK ' $JDUZDO % <DQJ - DQG 1DMMDU : ʊ 7XQDEOH DQG (QHUJ\ (IILFLHQW %XV (QFRGLQJ 7HFKQLTXHV,” I((( 7UDQVDFWLRQV RQ &RPSXWHUV 9RO 1R SS 9LQMDPXUL 5 &UDPPRQG ' - .RQG]LROND ' /HH + 1 DQG 0DR = + ʊ([W UDFWLRQ RI 6RXUFHV RI 7UHPRU LQ +DQG 0RYHPHQWV ZLWK 3DWLHQWV ZLWK 0RYHPHQW 'LVRUGHUV ” ,((( 7UDQVDFWLRQV RQ ,QIRUPDWLRQ 7HFKQRORJ\ LQ %LRPHGLFLQH 9RO 1R SS -DQXDU\ 9LQMDPXUL 5 6XQ 0 :HEHU ' - :DQJ : &UDPPRQG ' DQG 0DR = + ʊ4XDQW L]LQJ DQG &KDUDFWHUL]LQJ WKH 9DULDQFH RI +DQG 3RVWXUHV LQ D 1RYHO 7UDQVIRUPDWLRQ 7DVN ” 3URFHHGLQJV RI WKH VW ,QWHUQDWLRQDO &RQIHUHQFH RI WKH ,((( (QJLQHHULQJ LQ 0HGLFLQH DQG %LRORJ\ 6RFLHW\ SS 6HSWHPEHU 0LQQHDSROLV 0LQQHVRWD :DQJ < /LX / DQG /L * ʊ/RF DO 6FDQ IRU &RPSHQVDWLRQ RI 'ULIW &RQWDPLQDWLRQ LQ $)0 %DVHG 1DQRPDQLSXODWLon,” 3URFHHGLQJV RI WKH ,((( ,QWHUQDWLRQDO &RQIHUHQFH RQ ,QWHOOLJHQW 5RERWV DQG 6\VWHPV 2FWREHU 6W /RXLV 0LVVRXUL :DQJ < /L * ;L 1 /LX / ʊ&RP SHQVDWLRQ RI 'ULIW &RQWDPLQDWLRQ LQ $)0 ,PDJH E\ /RFDO Scan,” 3URF ,((( ,QWHUQ &RQI RQ 5RERWLFV DQG %LRPLPHWLFV SS %DQJNRN 7KDLODQG )HE H WXQDEOH KRORJUDSKLF ;X ' &KHQ . 3 +DUE $ 5RGULXH] ' /R]DQR . DQG /LQ < ʊ3KDV IDEULFDWLRQ RI WKUHH GLPHQVLRQDO SKRWRQLF FU\VWDO WHPSODWHV E\ XVLQJ D VLQJOH RSWLFDO HOHPHQW,” $SSO 3K\V /HWW 9RO H WXQDEOH KRORJUDSKLF ;X ' &KHQ . 3 +DUE $ 5RGULJXH] ' /R]DQR . DQG /LQ < ʊ3KDV OLWKRJUDSK\ XVLQJ D VLQJOH RSWLFDO HOHPHQW” &RQIHUHQFH RQ /DVHU DQG (OHWUR 2SWLFV SDSHU &044

;X ' &KHQ . 3 +DUE $ 5RGULJXH] ' /R]DQR . DQG /LQ < ʊ)D EULFDWLRQ RI WKUHH GLPHQVLRQDO SKRWRQLF F\VWDO WHPSODWH XVLQJ WZR OD\HU LQWHJUDWHG SKDVH PDVNs” &RQIHUHQFH RQ /DVHU DQG (OHWUR 2SWLFV SDSHU -7X' ;X < 'X < =KDR % =KRX ; =KDQJ < DQG <DQJ - ʊ$ /RZ 5DGL[ DQG /RZ 'LDPHWHU ' ,QWHUFRQQHFWLRQ 1HWZRUN 'HVLJn,” WK ,QWHUQDWLRQDO 6\PSRVLXP RQ +LJK 3HUIRUPDQFH &RPSXWHU $UFKLWHFWXUH +3&$ SS )HEUXDU\ <DQJ - 0DR = + 7LMHULQD / 3LOXWWL 7 &RXJKOLQ - DQG )HURQ ( ʊ' HWHQWLRQ RI 'ULYH )DWLJXH &DXVHG E\ 6OHHS 'HSULYDWLon,” ,((( 7UDQVDFWLRQV RQ 6\VWHPV 0DQ DQG &\EHUQHWLFV 3DUW $ 9RO 1R SS <RRQ + - DQG /L & & ʊ 0XOWLULGJHOHWV IRU 7H[WXUH $QDO\VLV ” 3URFHHGLQJV RI 63,( 9RO :DYHOHW $SSOLFDWLRQV LQ ,QGXVWULDO (QJLQHHULQJ 9, -DQXDU\ 6DQ -RVH &DOLIRUQLD <XQ 0 DQG 3LDQWDQLD 0 ʊ$Q 0HWKRGRORJ\ IRU FUHDWLQJ LQWHJUDWHG QDQRWHFKQRORJ\ VRSKRPRUH FRXUVe” 3URF RI ,&(( DQG ,&((5 .RUHD $XJ =KDQJ - ;L 1 /LX / &KHQ . 3 /DL . : & /L * DQG :HLMLQ\D 8 & ʊ'HVL JQ 0DQXIDFWXULQJ DQG 7HVWLQJ RI 6LQJOH FDUERQ QDQRWXEH EDVHG ,QIUDUHG 6HQVRUV ” ,((( 7 1DQRWHFKQRORJ\ 9RO 1R SS =KDQJ / - 0DR = + DQG =KRX 1 ʊ'HV LJQ 4XDOLW\ $QDO\WLFV RI 7UDFHDELOLW\ (QDEOHPHQW LQ 6HUYLFH RULHQWHG 6ROXWLRQ 'HVLJQ (QYLURQPHQW,” 3URFHHGLQJV RI WKH WK ,((( ,QWHUQDWLRQDO &RQIHUHQFH RQ :HE 6HUYLFHV ,&:6 SS /RV $QJHOHV &DOLIRUQLD =KDQJ < DQG -RQHV $ ʊ 1RQ XQLIRUP )DW PHVKHV IRU &KLS 0XOWLSURFHVVRUs,” 3URFHHGLQJV RI WKH ,3'36 :RUNVKRS RI /DUJH 6FDOH 3DUDOOHO 3URFHVVLQJ /633 SS 0D\ =KDR % 'X < =KDQJ < DQG <DQJ - ʊ 9DULDWLRQ WROHUDQW 1RQ XQLIRUP ' &DFKH 0DQDJHPHQW LQ 'LH 6WDFNHG 0XOWLFRUH 3URFHVVRU ” QG $QQXDO ,((( $&0 ,QWHUQDWLRQDO 6\PSRVLXP RQ 0LFURDUFKLWHFWXUH 'HFHPEHU =KDR 5 /LX ; /L & & 6FODEDVVL 5 - DQG 6XQ 0 ʊ: DYHOHW 'HQRLVLQJ YLD 6SDUVH 5HSUHVHQWDWLRQ ” 6FLHQFH LQ &KLQD 6HULHV ) ,QIRUPDWLRQ 6FLHQFH 9RO 1R SS $XJXVW =KRX 3 =KDR % <DQJ - DQG =KDQJ < ʊ$ 'XUDEOH DQG (QHUJ\ (IILFLHQW 0DLQ 0HPRU\ XVLQJ 3KDVH &KDQJH 0HPRU\ 7HFKQRORJ\,” WK ,QWHUQDWLRQDO 6\PSRVLXP RQ &RPSXWHU $UFKLWHFWXUH ,6&$ SS -XQH =KRX 3 =KDR % <DQJ - DQG =KDQJ < ʊ(QHU J\ 5HGXFWLRQ IRU 677 5$0 XVLQJ (DUO\ :ULWH 7HUPLQDWLon,” ,((( $&0 ,QWHUQDWLRQDO &RQIHUHQFH RQ &RPSXWHU $LGHG 'HVLJQ ,&&$' 1RYHPEHU =KRX ; <DQJ - ;X < =KDQJ < DQG =KDR - ʊ 7KHUPDO DZDUH 7DVN 6FKHGXOLQJ IRU ' 0XOWLFRUH 3URFHVVRUV,” I((( 7UDQVDFWLRQV RQ 3DUDOOHO DQG 'LVWULEXWHG 6\VWHPV

'HSDUWPHQW RI ,QGXVWULDO (QJLQHHULQJ $ODJR] 2 DQG $ - 6FKDHIHU DQG 0 6 5REHUWV ³2SWLPL]DWLRQ LQ 2UJDQ $OORFDWLRQ ´ ,Q +DQGERRN RI 2SWLPL]DWLRQ LQ 0HGLFLQH 3 3DUGDORV DQG ( 5RPHLMQ (GLWRUV .OXZHU $FDGHPLF 3XEOLVKHUV $ULVR\ 2 DQG %LGDQGD % ʊ 6WUDWHJLF 'HFLVLRQ 0DNLQJ LQ *OREDO 6XSSO\ 1HWZRUNV´ &KDSWHU LQ 6WUDWHJLF ,QIRUPDWLRQ 6\VWHPV ,QIRUPDWLRQ 6FLHQFH 5HIHUHQFH (G 0 *RUGRQ +XQWHU 8QLYHUVLW\ RI /HWKEULGJH &DQDGD $XJXVW $ULVR\ 2 $]LP 0 DQG %LGDQGD % ʊ 3URMHFW 0DQDJHPHQW LQ D )ODW :RUOG &LUFD ´ &KDSWHU LQ 3URMHFW 0DQDJHPHQW &LUFD 3URMHFW 0DQDJHPHQW ,QVWLWXWH 1RYHPEHU (GLWRUV 'DYLG &OHODQG DQG %RSD\D %LGDQGD %DUQDWR $ ( 0 + )DUUHOO & + &KDQJ - 5 /DYH 0 6 5REHUWV DQG ' & $QJXV ³'HYHORSPHQW DQG 9DOLGDWLRQ RI +RVSLWDO (QG RI /LIH 7UHDWPHQW ,QWHQVLW\ 0HDVXUHV´ 0HGLFDO &DUH 30,' 30,&' %HVWHUILHOG 6DFUH 0 / - 6KXPDQ 3 :HLOHUVWHLQ DQG $ 6KDUWUDQG ³%LRHQJLQHHULQJ 3URFHVV 0DSV (OHPHQWV 8VHG WR 3URGXFH ,QQRYDWLYH 'HVLJQV ´ $QQXDO &RQIHUHQFH ([SRVLWLRQ $XVWLQ 7; -XQH :LQQHU RI %HVW 3DSHU $ZDUG %UDLWKZDLWH 5 6 0 6 5REHUWV 0 % *RHW] & / *LEHUW 0 & 5RGULJXH] %DUUDGDV . 1XFLIRUD DQG $ & -XVWLFH ³'R EHQHILWV RI HDUOLHU DQWLUHWURYLUDO WUHDWPHQW LQLWLDWLRQ RXWZHLJK KDUPV IRU LQGLYLGXDOV DW ULVN IRU SRRU DGKHUHQFH"´ &OLQLFDO ,QIHFWLRXV 'LVHDVHV 30,' 30,&' %U\FH & / ' & $QJXV 5 0 $UQROG & & + &KDQJ 0 )DUUHOO & 0DQ]DUEHLWLD , 0DULR 0 &DPSEHOO DQG 0 6 5REHUWV ³6RFLRGHPRJUDSKLF GLIIHUHQFHV LQ HDUO\ DFFHVV WR OLYHU WUDQVSODQWDWLRQ VHUYLFHV´ $PHULFDQ -RXUQDO RI 7UDQVSODQWDWLRQ 30,' 30,&' &DL - 6 6KHNKDU - :DQJ DQG 0 5 6KDQNDU ³1DQR7ZLQQHG 0LFURVWUXFWXUHV IURP /RZ 6WDFNLQJ )DXOW (QHUJ\ %UDVV E\ +LJK 5DWH 6HYHUH 3ODVWLF 'HIRUPDWLRQ ´ 6FULSWD 0DWHULDOLD 9RO SS &DOLVWHV 5 6 6ZDPLQDWKDQ 7 * 0XUWK\ & +XDQJ & 6DOGDQD 0 5DYL 6KDQNDU DQG 6 &KDQGUDVHNDU &RQWUROOLQJ *UDGDWLRQ RI 6HYHUH 6XUIDFH 6WUDLQV DQG 1DQRVWUXFWXULQJ E\ /DUJH 6WUDLQ 0DFKLQLQJ 6FULSWD 0DWHULDOLD 9RO SS &KLQND - 5 DQG +DUYH\ :ROIH ʊ +LVWRU\ RI RUGLQDO YDULDEOHV EHIRH ”, 6FLHQWLILF 5HVHDUFK DQG (VVD\ 9RO SS 6HSW &ODUN 5 : DQG 0 %HVWHUILHOG 6DFUH ³$ 1HZ $SSURDFK WR WKH $QDO\VLV RI +D]DUGRXV 0DWHULDOV 7UDQVSRUWDWLRQ 5LVN ,GHQWLILFDWLRQ RI &ULWLFDO 9DULDEOHV 5HODWLYH WR .QRZQ &RQVHTXHQFHV XVLQJ ([SORUDWRU\ 'HFLVLRQ 0RGHOLQJ´ 5LVN $QDO\VLV 0DUFK ʊ3 URMHFW 0DQDJHPHQW &LUFD ” 3XEOLVKHG E\ 3URMHFW 0DQDJHPHQW ,QVWLWXWH ± 1RY (GV ' &OHODQG % %LGDQGD

&RUUHQWL 5 - 6KHUHU 0 %HVWHUILHOG 6DFUH 3 0DJUXGHU = .LVD DQG / 5HVQLFN ³$ 6\VWHPV $SSURDFK WR (GXFDWLRQDO 5HIRUP ´ $(5$ $QQXDO 0HHWLQJ 'HQYHU &2 $SULO ± 0D\ *DXVVLQ 0 * +X 0 5 6KDQNDU DQG % %LGDQGD ³$VVHVVLQJ WKH (QYLURQPHQWDO )RRWSULQW RI 0DQXIDFWXUHG 3URGXFWV $ 6XUYH\ RI &XUUHQW /LWHUDWXUH ´ 3URFHHGLQJV RI WKH WK ,QWHUQDWLRQDO &RQIHUHQFH RQ 3URGXFWLRQ 5HVHDUFK +X *XLSLQJ DQG %RSD\D %LGDQGD $ 3URGXFW 8SJUDGH 'HFLVLRQ 0RGHO IRU 6XVWDLQDEOH 0DQXIDFWXULQJ 3URFHHGLQJV RI WKH ,QGXVWULDO (QJLQHHULQJ 5HVHDUFK &RQIHUHQFH 0LDPL )ORULGD 0D\ +X * :DQJ / DQG %LGDQGD % ʊ 6XVWDLQDEOH 0DQXIDFWXULQJ DQG 3URMHFW 0DQDJHPHQW &LUFD ´ &KDSWHU LQ 3URMHFW 0DQDJHPHQW &LUFD 3URMHFW 0DQDJHPHQW ,QVWLWXWH 1RYHPEHU (GLWRUV 'DYLG &OHODQG DQG %RSD\D %LGDQGD .DSRRU $ . .UDHPHU . 6PLWK 0 6 5REHUWV DQG 5 6DLW] ³6FUHHQLQJ IRU XQKHDOWK\ DOFRKRO XVH ZLWK WKH VHUXP FDUERK\GUDWH GHILFLHQW WUDQVIHUULQ &'7HVW LQ WKH SULPDU\ FDUH VHWWLQJ D FRVW HIIHFWLYHQHVV DQDO\VLV´ $OFRKROLVP &OLQLFDO DQG ([SHULPHQWDO UHVHDUFK 30,' 30,&' .KDURXIHK - 3 DQG ' 0L[RQ ʊ 2Q D 0DUNRY PRGXODWHG VKRFN DQG ZHDU SURFHVV´ 1DYDO 5HVHDUFK /RJLVWLFV .LQJ - 7 - 7VHYDW DQG 0 6 5REHUWV ʊ &RJQLWLYH LPSDLUPHQW DQG SUHIHUHQFHV IRU FXUUHQW KHDOWK´ +HDOWK DQG 4XDOLW\ RI /LIH 2XWFRPHV 30,' 30,&' .LQJ - 7 & $ %UDQGW - 7VHYDW DQG 0 6 5REHUWV ³$ QDWLRQDO LQWHUQHW EDVHG VXUYH\ RI FHUHEUDO DQHXU\VP SUHIHUHQFH EDVHG TXDOLW\ RI OLIH´ 1HXURVXUJHU\ ± 30,' 30,&' .LQJ - 7 & $ %UDQGW - 7VHYDW DQG 0 6 5REHUWV ³0HDVXULQJ SUHIHUHQFH EDVHG TXDOLW\ RI OLIH XVLQJ WKH (XUR4RO (4 ' LQ SDWLHQWV ZLWK FHUHEUDO DQHXU\VPV´ 1HXURVXUJHU\ 30,' 30,&' .LQJ - 7 -U - 7VHYDW DQG 0 6 5REHUWV ³,PSDFW RI WKH VFDOH XSSHU DQFKRU RQ KHDOWK VWDWH SUHIHUHQFHV´ 0HGLFDO 'HFLVLRQ 0DNLQJ 30,' 30,&' .XUW 0 DQG / 0 0DLOODUW ʊ 6WUXFWXUHG 5HSODFHPHQW 3ROLFLHV IRU D 0DUNRY 0RGXODWHG 6KRFN 0RGHO ´ 2SHUDWLRQV 5HVHDUFK /HWWHUV 9RO 1R SS /RYHOO 0 3 &RKHQ 3 / 0HQH]HV DQG 0 5 6KDQNDU ³7ULERORJLFDO &KDUDFWHUL]DWLRQ RI 0DFKLQLQJ DW 9HU\ 6PDOO &RQWDFW $UHDV ´ $60( -RXUQDO RI 7ULERORJ\ 9RO 0DLOODUW / 0 & 5 &DVVDG\ DQG & 5DLQZDWHU DQG . 6FKQHLGHU ³6HOHFWLYH 0DLQWHQDQFH 'HFLVLRQ 0DNLQJ RYHU ([WHQGHG 3ODQQLQJ +RUL]RQV ´ ,((( 7UDQVDFWLRQV RQ 5HOLDELOLW\ 9RO 1R SS

0DLOODUW / 0 7 <HXQJ DQG * ,FWHQ ³,QWHJUDWLQJ '\QDPLF &RQWURO &KDUWV DQG 0DLQWHQDQFH 3ROLFLHV ´ WK ,)$& 6\PSRVLXP RQ ,QIRUPDWLRQ &RQWURO 3UREOHPV LQ 0DQXIDFWXULQJ 0DLOODUW / 0 ³2SWLPDO 0DQDJHPHQW RI ([SHGLWHG 3ODFHPHQW /LYHUV ´ 3URFHHGLQJV RI 16) (QJLQHHULQJ 5HVHDUFK DQG ,QQRYDWLRQ &RQIHUHQFH +RQROXOX +DZDLL 1D\DN 6 0 6 5REHUWV DQG 6 / *UHHQVSDQ ³)DFWRUV $VVRFLDWHG ZLWK 'LDJQRVLV DQG 7UHDWPHQW RI 2VWHRSRURVLV LQ 2OGHU $GXOWV´ 2VWHRSRURVLV ,QWHUQDWLRQDO 30,' 30,&' 1LFKROOV * + :ROIH 0 %HVWHUILHOG 6DFUH DQG / - 6KXPDQ ³3UHGLFWLQJ 3RVW 6HFRQGDU\ (GXDWLRQDO 2XWFRPHV ZLWK 6XUYLYDO $QDO\VLV ´ $QQXDO &RQIHUHQFH ([SRVLWLRQ $XVWLQ 7; -XQH 1LFKROOV * + :ROIH 0 %HVWHUILHOG 6DFUH DQG / - 6KXPDQ ³3UHGLFWLQJ :KLFK 6WXGHQWV 'URSRXW YV &RPSOHWLQJ D &ROOHJH 'HJUHH ´ ,QGXVWULDO (QJLQHHULQJ 5HVHDUFK &RQIHUHQFH 0LDPL )/ 0D\ -XQH 3DXON 0 . / 1HHG\ DQG - 5DMJRSDO ³,GHQWLI\LQJ 6RIWZDUH 3URFHVV 2XWOLHUV ´ $64 6RIWZDUH 4XDOLW\ 3URIHVVLRQDO 9RO 1R SS 3URNRS\HY 2 $ ³2Q (TXLYDOHQW 5HIRUPXODWLRQV IRU $EVROXWH 9DOXH (TXDWLRQV ´ &RPSXWDWLRQDO 2SWLPL]DWLRQ DQG $SSOLFDWLRQV SS 3URNRS\HY 2 $ 6 %XWHQNR DQG $ 7UDSS ³&KHFNLQJ 6ROYDELOLW\ RI 6\VWHPV RI ,QWHUYDO /LQHDU (TXDWLRQV DQG ,QHTXDOLWLHV YLD 0L[HG ,QWHJHU 3URJUDPPLQJ ´ (XURSHDQ -RXUQDO RI 2SHUDWLRQDO 5HVHDUFK 9RO SS 3URNRS\HY 2 $ 1 .RQJ DQG ' / 0DUWLQH] 7RUUHV ³7KH (TXLWDEOH 'LVSHUVLRQ 3UREOHP ´ (XURSHDQ -RXUQDO RI 2SHUDWLRQDO 5HVHDUFK 9RO SS 3URNRS\HY 2 $ ³)UDFWLRQDO =HUR 2QH 3URJUDPPLQJ ´ LQ (QF\FORSHGLD RI 2SWLPL]DWLRQ & )ORXGDV HW DO HGV 6SULQJHU SS ± 5DMJRSDO - = :DQJ $ 6FKDHIHU DQG 2 $ 3URNRS\HY ³(IIHFWLYH 0DQDJHPHQW 3ROLFLHV IRU 5HPQDQW ,QYHQWRU\ 6XSSO\ &KDLQV ´ ,,( 7UDQVDFWLRQV 9RO SS ± 6DLW] 5 7 3 3DOIDL ' 0 &KHQJ 1 - +RUWRQ . 'XNHV . / .UDHPHU 0 6 5REHUWV 5 7 *XHUULHUR DQG - + 6DPHW ³6RPH 0HGLFDO ,QSDWLHQWV ZLWK 8QKHDOWK\ $OFRKRO 8VH 0D\ %HQHILW )URP %ULHI ,QWHUYHQWLRQ´ -RXUQDO RI 6WXGLHV RQ $OFRKRO DQG 'UXJV 30,' 30,&' 6PLWK . - 5 . =LPPHUPDQ 0 3 1RZDON DQG 0 6 5REHUWV ³$JH UHYDFFLQDWLRQ DQG WROHUDQFH HIIHFWV RQ SQHXPRFRFFDO YDFFLQDWLRQ VWUDWHJLHV LQ WKH HOGHUO\ D FRVW HIIHFWLYHQHVV DQDO\VLV´ 9DFFLQH ± 30,' 30,&'

6DOGDQD & 7 * 0XUWK\ 0 5 6KDQNDU ( $ 6WDFK DQG 6 &KDQGUDVHNDU ³6WDELOL]LQJ 1DQRVWUXFWXUHG 0DWHULDOV E\ &RKHUHQW 1DQR 7ZLQV DQG WKHLU *UDLQ %RXQGDU\ 7ULSOH -XQFWLRQ 'UDJ ´ $SSOLHG 3K\VLFV /HWWHUV 9RO 6FDOD 1 - 5DMJRSDO DQG . / 1HHG\ ³5LVN DQG 6SDUH 3DUWV ,QYHQWRU\ LQ (OHFWULF 8WLOLWLHV ´ 3URFHHGLQJV RI ,QGXVWULDO (QJLQHHULQJ 5HVHDUFK &RQIHUHQFH 0D\ SS &' 520 0LDPL )/ 6FDOD 1 - 5DMJRSDO DQG . / 1HHG\ ³'HFLVLRQ 0DNLQJ DQG 7UDGHRIIV LQ WKH 0DQDJHPHQW RI 6SDUH 3DUWV ,QYHQWRU\ DW 8WLOLWLHV ´ 3URFHHGLQJV RI $PHULFDQ 6RFLHW\ IRU (QJLQHHULQJ 0DQDJHPHQW &RQIHUHQFH 2FWREHU 6SULQJILHOG 02 6FKDHIHU $ - ³,QYHUVH ,QWHJHU 3URJUDPPLQJ ´ 2SWLPL]DWLRQ /HWWHUV YROXPH QXPEHU SS 6HUHI 2 2 ( .XQGDNFLRJOX 2 $ 3URNRS\HY DQG 3 0 3DUGDORV ³6HOHFWLYH 6XSSRUW 9HFWRU 0DFKLQHV ´ -RXUQDO RI &RPELQDWRULDO 2SWLPL]DWLRQ 9RO SS ± 6KHNKDU 6 - &DL - :DQJ DQG 0 5 6KDQNDU ʊ 0XOWLPRGDO 8OWUDILQH *UDLQ 6L]H 'LVWULEXWLRQV IURP 6HYHUH 3ODVWLF 'HIRUPDWLRQ DW +LJK 6WUDLQ 5DWHV ´ 0DWHULDOV 6FLHQFH DQG (QJLQHHULQJ $ 9RO SS 6KHNKDU 6 - &DL 6 /HH - :DQJ DQG 0 5 6KDQNDU ³+RZ 6WUDLQV DQG 6WUDLQ 5DWHV DUH $FFRPPRGDWHG E\ 'LVORFDWLRQV DQG 7ZLQV 'XULQJ &KLS )RUPDWLRQ E\ 0DFKLQLQJ ´ 7UDQVDFWLRQV RI 1RUWK $PHULFDQ 0DQXIDFWXULQJ 5HVHDUFK ,QVWLWXWH 6RFLHW\ RI 0DQXIDFWXULQJ (QJLQHHUV 1$05, 60( 9RO SS 6KHUPDQ 1 3 - 3 .KDURXIHK DQG 0 $ $EUDPVRQ ³ $Q 0 * UHWULDO TXHXH ZLWK XQUHOLDEOH VHUYHU IRU VWUHDPLQJ PXOWLPHGLD DSSOLFDWLRQV´ 3UREDELOLW\ LQ WKH (QJLQHHULQJ DQG ,QIRUPDWLRQDO 6FLHQFHV 6KXPDQ / DQG 0 %HVWHUILHOG 6DFUH ʊ( 0($6 ,QWURGXFLQJ DQ (WKLFDO &RPSRQHQW WR 0RGHO (OLFLWLQJ $FWLYLWLHV ” $QQXDO &RQIHUHQFH ([SRVLWLRQ $XVWLQ 7; -XQH 7DVNLQ = & - & 6PLWK 6 $KPHG DQG $ - 6FKDHIHU ³&XWWLQJ 3ODQH $OJRULWKPV IRU 6ROYLQJ D 5REXVW (GJH 3DUWLWLRQ 3UREOHP ´ 'LVFUHWH 2SWLPL]DWLRQ YROXPH QXPEHU SS 7XUDQ ) 1 6FDOD . 1HHG\ DQG 0 %HVWHUILHOG 6DFUH ³$Q $QDO\WLF 1HWZRUN 3URFHVV $13 $SSURDFK WR WKH 3URMHFW 3RUWIROLR 0DQDJHPHQW IRU 2UJDQL]DWLRQDO 6XVWDLQDELOLW\ ´ ,QGXVWULDO (QJLQHHULQJ 5HVHDUFK &RQIHUHQFH 0LDPL )/ 0D\ -XQH 5DMJRSDO - = :DQJ $ - 6FKDHIHU DQG 2 3URNRS\HY ³(IIHFWLYH 0DQDJHPHQW 3ROLFLHV IRU 5HPQDQW ,QYHQWRU\ 6XSSO\ &KDLQV ´ ,,( 7UDQVDFWLRQV YROXPH QXPEHU SS 9HODJDSXGL 3 2 $ 3URNRS\HY . 6\FDUD DQG 3 6FHUUL ³$QDO\]LQJ WKH 3HUIRUPDQFH RI 5DQGRPL]HG ,QIRUPDWLRQ 6KDULQJ ´ 3URFHHGLQJV RI WKH WK ,QWHUQDWLRQDO &RQIHUHQFH RQ $XWRQRPRXV $JHQWV DQG 0XOWLDJHQW 6\VWPHV $$0$6 SS ±

<LOGLULP 7 3 DQG 0 %HVWHUILHOG 6DFUH DQG / - 6KXPDQ ³0HDVXULQJ WKH ,PSDFW RI 0($V RQ /HDUQLQJ 3UREOHP 6ROYLQJ ´ ,QGXVWULDO (QJLQHHULQJ 5HVHDUFK &RQIHUHQFH 0LDPL )/ 0D\ -XQH <LOGLULP 7 3 DQG 0 %HVWHUILHOG 6DFUH ³'\QDPLF 3URGXFW 'LIIHUHQWLDWLRQ 8QGHU 8QFHUWDLQW\ ´ ,QGXVWULDO (QJLQHHULQJ 5HVHDUFK &RQIHUHQFH 0LDPL )/ 0D\ -XQH

'HSDUWPHQW RI 0HFKDQLFDO (QJLQHHULQJ DQG 0DWHULDOV 6FLHQFH 6DQJ .XJ &KXQJ .\XQJMRR 5\X DQG 6XQJ .ZRQ &KR ʊ(O HFWURZHWWLQJ SURSXOVLRQ IRU ZDWHU IORDWLQJ PLQL PLFUR URERWV ” $SSOLHG 3K\VLFV /HWWHU 9RO 6DQJ .XJ &KXQJ DQG 6XQJ .ZRQ &KR ʊ ' 0DQLSXODWLRQ RI PLOOLPHWHU DQG PLFUR VL]HG REMHFWV XVLQJ DQ DFRXVWLFDOO\ H[FLWHG RVFLOODWLQJ EXEEOe,” 0LFURIOXLGLFV DQG 1DQRIOXLGLFV 9RO SS 0R & .LP 6 DQG &ODUN : : ʊ 7KHRUHWLFDO $QDO\VLV RI (QHUJ\ +DUYHVWLQJ 3HUIRUPDQFH IRU 8QLPRUSK 3LH]RHOHFWULF %HQGHUV ZLWK ,QWHUGLJLWDWHG (OHFWURGHs,” 9RO 6PDUW 0DWHULDOV DQG 6WUXFWXUHV 6 - .HQQHG\ ' * &ROH DQG 5 / &ODUN ʊ$ PHWKRG IRU DWRPLF IRUFH PLFURVFRS\ FDQWLOHYHU VWLIIQHVV FDOLEUDWLRQ XQGHU KHDY\ IOXLG ORDGLQJ,” 5HY 6FL ,QVWUXP 7 % +XU 7 ; 3KXRF DQG 0 . &K\X ʊ6\ QWKHVLV RI 0J $O DQG =Q $O OD\HUHG GRXEOH K\GUR[LGH QDQRFU\VWDOV XVLQJ ODVHU DEODWLRQ LQ ZDWHU,” 2SWLFV DQG /DVHUV LQ (QJLQHHULQJ 9RO SS - . /HH 7 ; 3KXRF DQG 0 . &K\X ʊ1DQRSD UWLFOH (QKDQFH )OXLG 3URSHUWLHV,” 7KH $PHULFDQ 2LO DQG *DV 5HSRUWHU $XJXVW SS 0 . &K\X 6 6LZ ' 0D]]RWWD 9 .DUDLYDQRY DQG 0 $ $OYLQ ʊ$HURW KHUPDO &KDOOHQJHV LQ 6\QJDV +\GURJHQ )LUHG DQG 2[\ IXHO 7XUELQHV 3DUW , ± *DV 6LGH +HDW 7UDQVIHU ” - 7KHUPDO 6FLHQFH DQG (QJLQHHULQJ $SSOLFDWLRQV $60( 7UDQVDFWLRQ 9RO 0 . &K\X 6 6LZ 9 .DUDLYDQRY DQG 0 $ $OYLQ ʊ$H URWKHUPDO &KDOOHQJHV LQ 6\QJDV +\GURJHQ )LUHG DQG 2[\ IXHO 7XUELQHV 3DUW ,, ± (IIHFWV RI ,QWHUQDO +HDW 7UDQVIHU ” - 7KHUPDO 6FLHQFH DQG (QJLQHHULQJ $SSOLFDWLRQV $60( 7UDQVDFWLRQ 9RO - %XRQJLRUQR HW DO 0 . &K\X $ %HQFKPDUN 6WXG\ RQ WKH 7KHUPDO &RQGXFWLYLW\ RI 1DQRIOXLGs,” - $SSOLHG 3K\VLFV 7 ; 3KXRF DQG 0 . &K\X ʊ6\ QWKHVLV DQG 5KHRORJLFDO 3URSHUWLHV RI FDWLRQ H[FKDQJHG /DSRQLWH VXVSHQVLRQV ” ColORLG DQG 6XUIDFHV $ SS 6 - &KXQJ - 3 /HRQDUG , 1HWWOHVKLS - . /HH < 6RRQJ ' 9 0DUWHOOR DQG 0 . &K\X ʊ&KDU DFWHUL]DWLRQ RI =Q2 1DQRSDUWLFOH 6XVSHQVLRQ LQ :DWHU (IIHFWLYHQHVV RI 8OWUDVRQLF 'LVSHUVLon”, 3RZGHU 7HFKQRORJ\ SS

ʊ2Q WKH VWUHQJWK RI PLFURDOOR\HG VWHHOV DQ LQWHUSUHWDWLYH UHYLew” & ,VVDF *DUFLD 0 +XD . &KR $ - 'H$UGR /D PHWDOOXUJLD LWDOLDQD”, SepWHPEHU *DOGL *LRYDQQL 3 6LOYHVWUH $QD / ʊ2Q WKH PRWLRQ RI D ULJLG ERG\ LQ D 1DYLHU 6WRNHV OLTXLG XQGHU WKH DFWLRQ RI D WLPH SHULRGLF IRUFH´ ,QGLDQD 8QLY 0DWK - QR *DOGL *LRYDQQL 3 .\HG 0DGV ʊ6W HDG\ IORZ RI D 1DYLHU 6WRNHV OLTXLG SDVW DQ HODVWLF ERG\´ $UFK 5DWLRQ 0HFK $QDO QR VWHDG\ VWDWH H[WHULRU 1DYLHU 6WRNHV SUREOHP WKDW LV QRW ZHOO SRVHd”. 3URF *DOGL *LRYDQQL 3 ʊ$ $PHU 0DWK 6RF QR *DOGL *LRYDQQL 3 ʊ 7KH 1DYLHU 6WRNHV (TXDWLRQV $ 0DWKHPDWLFDO $QDO\VLV”, (QF\FORSHGLD RI &RPSOH[LW\ 6\VWHPV 6FLHQFH 6SULQJHU 9HUODJ 0 5 + 6KHLNKL 3 *LYL DQG 6 % 3RSH CC-RLQW )UHTXHQF\ 9HORFLW\ 6FDODU )LOWHUHG 0DVV 'HQVLW\ )XQFWLRQ IRU /DUJH (GG\ 6LPXODWLRQ RI 7XUEXOHQW )ORZV

3K\V )OXLGV YRO ?^ ` SS ? ʊ)RU PDWLRQ RI 6HFRQGDU\ 5HDFWLRQ =RQH LQ 5XWKHQLXP %HDULQJ 1LFNHO %DVHG 6LQJOH &U\VWDO 6XSHUDOOR\V ZLWK 'LIIXVLRQ $OXPLQLGH &RDWLQJs” ' . 'DV % *OHHVRQ . 6 0XUSK\ 6 0D 7 0 3ROORFN 0DWHULDOV 6FLHQFH DQG 7HFKQRORJ\ ʊ &RPSRVLWLRQDO )DFWRUV $IIHFWLQJ WKH (VWDEOLVKPHQW DQG 0DLQWHQDQFH RI $O 2 6FDOHV RQ 1L±$O± 3W V\VWHPs” % *OHHVRQ 1 0X 6 +D\DVKL -RXUQDO RI 0DWHULDOV 6FLHQFH ʊ(DU O\ 6WDJH 2[LGDWLRQ %HKDYLRU RI 3W 0RGLILHG Ȗƍ 1L $O %DVHG $OOR\V ZLWK DQG ZLWKRXW +I $GGLWLon”, 6 +D\DVKL DQG % *OHHVRQ 2[LGDWLRQ RI 0HWDOV ʊ6XO IXU 6HJUHJDWLRQ DW $O 2 Ȗ ȃL Ȗƍ 1L $O ,QWHUIDFHV (IIHFWV RI 3W &U DQG +I $GGLWLons” 3 < +RX 7 ,]XPL % *OHHVRQ 2[LGDWLRQ RI 0HWDOV ʊ6W UXFWXUDO 6WDELOLW\ RI 3ODWLQXP *URXS 0HWDO 0RGLILHG Ȗ Ȗƍ 1L %DVH $OOR\s” $ - +HLGORII - 9DQ 6OX\WPDQ 7 0 3ROORFN % *OHHVRQ 0HWDOOXUJLFDO DQG 0DWHULDOV 7UDQVDFWLRQV $ ʊ(QY LURQPHQWDO DQG &RPSRVLWLRQDO (IIHFWV RQ WKH +RW &RUURVLRQ %HKDYLRU RI 1L %DVHG $OOR\V DQG &RDWLQJs” % *OHHVRQ - &KLQHVH 6RFLHW\ IRU &RUURVLRQ DQG 3URWHFWLRQ 5 +XOO - )ORUR - *UDKDP - *UD\ 0 *KHUDVLPRYD $ 3RUWDYRFH ) 0 5RVV 6\QWKHVLV DQG IXQFWLRQDOL]DWLRQ RI HSLWD[LDO TXDQWXP GRW QDQRVWUXFWXUHV IRU QDQRHOHFWURQLF DUFKLWHFWXUHV 0DWHULDOV 6FLHQFH LQ 6HPLFRQGXFWRU 3URFHVVLQJ .LPEHU 0 DQG *DULPHOOD 6 9 ʊ&RRO LQJ 3HUIRUPDQFH RI $UUD\V RI 9LEUDWLQJ &DQWLOHYHUV,” $60( -RXUQDO RI +HDW 7UDQVIHU SS .LPEHU 0 /RQHUJDQ 5 DQG *DULPHOOD 6 9 ʊ([S HULPHQWDO 6WXG\ RI $HURG\QDPLF 'DPSLQJ LQ $UUD\V RI 9LEUDWLQJ &DQWLOHYHUs,” -RXUQDO RI )OXLGV DQG 6WUXFWXUHV SS

%LGNDU 5 $ .LPEHU 0 5DPDQ $ %DMDM $ . DQG *DULPHOOD 6 9 ʊ1RQ OLQHDU DHURG\QDPLF GDPSLQJ RI VKDUS HGJHG IOH[LEOH EHDPV RVFLOODWLQJ DW ORZ .HXOHJDQ &DUSHQWHU QXPEHUV -RXUQDO RI )OXLG 0HFKDQLFV SS .LPEHU 0 6X]XNL . .LWVXQDL 1 6HNL . DQG *DULPHOOD 6 9 ʊ)O RZ 5DWH DQG 3UHVVXUH &KDUDFWHULVWLFV RI 3LH]RHOHFWULF )DQV ” ,((( &RPSRQHQWV DQG 3DFNDJLQJ 7HFKQRORJLHV SS .LPEHU 0 DQG *DULPHOOD 6 9 ʊ 0HDVXUHPHQW DQG 3UHGLFWLRQ RI WKH &RROLQJ &KDUDFWHULVWLFV RI D *HQHUDOL]HG 9LEUDWLQJ 3LH]RHOHFWULF )DQ ” ,QWHUQDWLRQDO -RXUQDO RI +HDW DQG 0DVV 7UDQVIHU SS :DQJ / 3 /HH % - :DQJ ; - DQG =KDQJ = 0 ʊ6SDW LDO DQG 7HPSRUDO &RKHUHQFH RI 7KHUPDO 5DGLDWLRQ LQ $V\PPHWULF )DEU\ 3HURW 5HVRQDQFH &DYLWLHs,” ,QWHUQDWLRQDO -RXUQDO RI +HDW DQG 0DVV 7UDQVIHU /HH % - DQG =KDQJ = 0 ʊ, QGLUHFW 0HDVXUHPHQWV RI &RKHUHQW 7KHUPDO (PLVVLRQ IURP D 7UXQFDWHG 3KRWRQLF &U\VWDO 6WUXFWXUe,” -RXUQDO RI 7KHUPRSK\VLFV DQG +HDW 7UDQVIHU :DQJ ; - )OLFNHU - ' /HH % - 5HDG\ : - DQG =KDQJ = 0 ʊ9 LVLEOH DQG 1HDU ,QIUDUHG 5DGLDWLYH 3URSHUWLHV RI 9HUWLFDOO\ $OLJQHG 0XOWL :DOOHG &DUERQ 1DQRWXEHV,” 1DQRWHFKQRORJ\ /HH % - DQG 7R $ & ʊ(QKDQF HG $EVRUSWLRQ LQ 2QH GLPHQVLRQDO 3KRQRQLF &U\VWDOV ZLWK ,QWHUIDFLDO $FRXVWLF :DYHV ” $SSOLHG 3K\VLFV /HWWHUV - + 1RK + % +RQJ - . /HH & 0 &KR - < .LP 6 /HH , 6 &KR + 6 -XQJ DQG . 6 +RQJ ʊ 6WUXFWXUH DQG GLHOHFWULF SURSHUWLHV RI FXELF %L =Q 7D 2 WKLQ ILOPs,” - $SSO 3K\V - + 1RK , 6 &KR 6 /HH & 0 &KR + 6 +DQ - 6 $Q & + .ZDN - < .LP + 6 -XQJ - . /HH DQG . 6 +RQJ ʊ3KRW ROXPLQHVFHQFH DQG HOHFWULFDO SURSHUWLHV RI HSLWD[LDO $O GRSHG =Q2 WUDQVSDUHQW FRQGXFWLQJ WKLQ ILOPs” 3K\V 6WDWXV 6ROLGL $ 6 /HH - + 1RK + 6 +DQ ' . <LP ' + .LP - . /HH - < .LP + 6 -XQJ DQG . 6 +RQJ ʊ1E 'RSHG 7L2 $ 1HZ &RPSDFW /D\HU 0DWHULDO IRU 7L2 '\H 6HQVLWL]HG 6RODU &HOOV ” - 3K\V &KHP & 6 /HH - + 1RK 6 7 %DH , 6 &KR - < .LP + 6KLQ - . /HH + 6 -XQJ DQG . 6 +RQJ ʊ, 72 EDVHG 7UDQVSDUHQW &RQGXFWLQJ /D\HUV IRU +LJKO\ (IILFLHQW 3KRWRYROWDLF 'HYLFHs,” - 3K\V &KHP % - + 1RK 6 /HH - < .LP - ±. /HH + 6 +DQ & 0 &KR , 6 &KR + 6 -XQJ DQG . 6 +RQJ ʊ )XQFWLRQDO 0XOWLOD\HUHG 7UDQVSDUHQW &RQGXFWLQJ 2[LGH 7KLQ )LOPV IRU 3KRWRYROWDLF 'HYLFHs,” - 3K\V &KHP % 7 $ +DUULPDQ ' $ /XFFD - . /HH 0 - .ORSIVWHLQ . +HUUPDQQ DQG 0 1DVWDVL ʊ, RQ LPSODQWDWLRQ HIIHFWV LQ VLQJOH FU\VWDO 6L LQYHVWLJDWHG E\ 5DPDQ 6SHFWURVFRS\,” 1XFOHDU ,QVWUXPHQW DQG 0HWKRGV 1,0 %

% 4 /L 0 6XL % /L ( 0D DQG 6 ; 0DR ʊ5HY HUVLEOH WZLQQLQJ LQ SXUH DOXPLQLXP”, 3K\VLFV 5HYLHZ /HWWHUV 0 =KDR = <H 6 ; 0DR ʊ3KRW R LQGXFHG VWLIIHQLQJ LQ =Q2 1DQREHOWV”, 3K\VLFV 5HYLHZ /HWWHUV 1DWKDQ : 0RRUH -XQKDQJ /XR - < +XDQJ 6 ; 0DR DQG - ( +RXVWRQ ʊ6XS HUSODVWLF 1DQRZLUHV 3XOOHG IURP WKH 6XUIDFH RI &RPPRQ 6DOW”, 1DQR /HWW SS ± ' )DQ - 7 =KDQJ = ) 0DR 6 ; 6KHQ % / ,QRXH $ ʊ 'HIRUPDWLRQ DQG IUDFWXUH EHKDYLRUV RI &R EDVHG PHWDOOLF JODVV DQG LWV FRPSRVLWH ZLWK GHQGULWHV”, ,QWHUPHWDOOLFV YRO SS ± - 7 )DQ = ) =KDQJ 6 ; 0DR % / 6KHQ - (FNHUW ʊ 6HUUDWHG IORZ EHKDYLRU LQGXFHG E\ EOXQW PHFKDQLVP RI VKHDU FUDFN SURSDJDWLRQ LQ PHWDOOLF JODVV”, - 0DWHU 5HV 9RO ; - =KHQJ % <DQJ 7 =KDQJ & % -LDQJ 6 ; 0DR < 4 &KHQ DQG % <XDQ ʊ (QKDQFHPHQW LQ XOWUDYLROHW RSWRHOHFWURQLF SHUIRUPDQFH RI SKRWRFRQGXFWLYe” VHPLFRQGXFWRU VZLWFK EDVHG RQ =Q2 QDQREHOWV ILOP $SSO 3K\V /HWW ]H GHSHQGHQW VKHDU IUDFWXUH DQG JOREDO WHQVLOH /L < : ) ) :X = ) =KDQJ 6 ; 0DR ʊ6L SODVWLFLW\ RI PHWDOOLF JODVVHs” $FWD 0DWHULDOLD 9RO & ) +RQJ - 3 7X 5 / /L ' * /LX + / 6XQ 6 ; 0DR DQG 5 3HQJ ʊ6W UXFWXUH RI VS GRPLQDQW D & ILOP ZLWK VXSHUKDUGQHVV”, - 3K\VLFV ' $SSOLHG 3K\VLFV 9RO 4 ) 0HQJ & % -LDQJ 6 ; 0DR ʊ 2KPLF FRQWDFWV DQG SKRWRFRQGXFWLYLW\ RI LQGLYLGXDO =Q7H QDQRZLUHV”, $SSO 3K\V /HWW -RKQVRQ & *HPPHQ 5 6 ; 0DR /LX ; ʊ 2[LGDWLRQ EHKDYLRU RI PHWDOOLF LQWHUFRQQHFWV IRU 62)& LQ FRDO V\QJDV”, ,QW - +\GURJHQ (QHUJ\ 9RO - ĩXUHN * + 0HLHU ( (VVXPDQ 0 +lQVHO / 6LQJKHLVHU : - 4XDGDNNHUV ʊ (IIHFW RI 6SHFLPHQ 7KLFNQHVV RQ WKH *URZWK 5DWH RI &KURPLD 6FDOHV RQ 1L EDVH $OOR\V LQ +LJK DQG /RZ S2 *DVHV”, - $OOR\V DQG &RPSRXQGV 0 6XEDQRYLF ' 1DXPHQNR 0 .DPUXGGLQ * 0HLHU / 6LQJKHLVHU : - 4XDGDNNHUV ʊ%OL VWHULQJ RI 0&U$O< FRDWLQJV LQ + + 2 DWPRVSKHUHV”, CoUURVLRQ 6FLHQFH - 3LUyQ $EHOOiQ 7 2OV]HZVNL + - 3HQNDOOD * + 0HLHU / 6LQJKHLVHU DQG : - 4XDGDNNHUV ʊ6FD OH )RUPDWLRQ 0HFKDQLVPV RI 0DUWHQVLWLF 6WHHOV LQ +LJK &2 + 2 FRQWDLQLQJ *DVHV 6LPXODWLQJ 2[\IXHO (QYLURQPHQWs” 0DWHU DW +LJK 7HPS 1 0 <DQDU ( 0 0HLHU ) 6 3HWWLW DQG * + 0HLHU ʊ (IIHFW RI <WWULXP &RQWHQW RQ WKH 2[LGDWLRQ LQGXFHG 'HJUDGDWLRQ RI 1L&R&U$O< &RDWLQJV DQG WKH ,QIOXHQFH RI 6XUIDFH 5RXJKQHVV RQ WKH 2[LGDWLRQ RI 1L&R&U$O< DQG 3ODWLQXP $OXPLQLGH &RDWLQJs” 0DWHULDOV DW +LJK 7HPSHUDWXUHV 0 $ +HOPLQLDN 1 0 <DQDU ) 6 3HWWLW 7 $ 7D\ORU DQG * + 0HLHU 7KH %HKDYLRU RI +LJK SXULW\ /RZ GHQVLW\ $LU 3ODVPD 6SUD\HG 7KHUPDO %DUULHU &RDWLQJV 6XUIDFH &RDWLQJV 7HFKQRORJ\

= 7 =KDQJ , 5 6RKQ ) 6 3HWWLW * + 0HLHU DQG 6 6ULGKDU ʊ( IIHFW RI $OOR\LQJ (OHPHQWV :DWHU 9DSRU &RQWHQW DQG 7HPSHUDWXUH RQ WKH 2[LGDWLRQ RI ,) 6WHHOs” 0HWDOOXUJLFDO DQG 0DWHULDOV 7UDQV % = 7 =KDQJ , 5 6RKQ ) 6 3HWWLW * + 0HLHU DQG 6 6ULGKDU ʊ, QYHVWLJDWLRQ RI WKH (IIHFW RI $OOR\LQJ (OHPHQWV DQG :DWHU 9DSRU &RQWHQWV RQ WKH 2[LGDWLRQ DQG 'HFDUEXUL]DWLRQ RI 75,3 6WHHOs” 0HWDOOXUJLFDO DQG 0DWHULDOV 7UDQV % 6RWHUHDQRV ' * .RNNDOLV = 7 'DUOLV 1 $ =DQDURV * $OWPDQ * 7 0LOOHU 0 & ʊ( IIHFWV RI 5DGLRIUHTXHQF\ 3UREH $SSOLFDWLRQ RQ ,UULJDWLRQ )OXLG 7HPSHUDWXUH LQ WKH :ULVW -RLQW”, -RXUQDO RI +DQG 6XUJHU\ 'HF .X[KDXV / 6FKLPROHU 3 - 9LSSHUPDQ - 6 0LOOHU 0 & ʊ 9DOLGDWLRQ RI D )HHGEDFN &RQWUROOHG (OERZ 6LPXODWRU”, -RXUQDO RI 0HGLFDO 'HYLFHV 9RO ,VV SDJHV 6HSWHPEHU $OIDUR ) :HLVV / &DPSEHOO 3 0LOOHU 0 )HGGHU * . ʊ' HVLJQ RI D PXOWL D[LV LPSODQWDEOH 0(06 VHQVRU IRU LQWUDRVVHRXV ERQH VWUHVV PRQLWRULQJ”, -RXUQDO RI 0LFURPHFKDQLFV DQG 0LFURHQJLQHHULQJ SS 7 &KHQ , 1HWWOHVKLS 5 - 0F$IHH 7 5 +LQNOLQ DQG . * (ZVXN ʊ$Q ([SHULPHQWDO 0HDVXUHPHQW RI (IIHFWLYH 'LIIXVLRQ 'LVWDQFH IRU WKH 6LQWHULQJ RI &HUDPLFV,” - $P &HUDP 6RF ' /L DQG $ 0 5REHUWVRQ $ 6WUXFWXUDO 0XOWL 0HFKDQLVP 'DPDJH 0RGHO IRU &HUHEUDO $UWHULDO 7LVVXH -RXUQDO RI %LRPHFKDQLFV (QJ 7 $60( YRO '2, ' /L DQG $ 0 5REHUWVRQ $ 6WUXFWXUDO 0XOWL 0HFKDQLVP &RQVWLWXWLYH (TXDWLRQ IRU &HUHEUDO $UWHULDO 7LVVXH ,QW - 6ROLGV 6WUXFW SS GRL M LMVROVWU =LQN ) :DWHUHU + $UFKHU 5 DQG 6FKDHIHU / ʊ *HRPHWULF 2SWLPL]DWLRQ RI D 7KHUPRDFRXVWLF 6WDFN,” ,QWHUQDWLRQDO -RXUQDO RI 7KHUPDO 6FLHQFHV YRO QR SS * 6RZD $ =RUQ 3 &RHOKR 5 6WXGHU . %HOO 3 6PROLQVNL - .DQJ ³$OWHUDWLRQV LQ *HQH ([SUHVVLRQ LQ 5HVSRQVH WR &RPSUHVVLRQ RI 1XFOHXV 3XOSRVXV &HOOV´ 6SLQH 7LVFKHU 7 5RQJD 0 7VDL $ ,QJKDP 6 (FNGDKO 0 6PROLQVNL 3 )X ) ³%LRPHFKDQLFV RI WKH *RDW 7KUHH %XQGOH $QWHULRU &UXFLDWH /LJDPHQW”, .QHH 6XUJHU\ 6SRUWV 7UDXPDWRORJ\ $UWKURVFRS\ 9ROXPH 0 6]F]RGU\ & &R\OH 6 .UDPHU 3 6PROLQVNL & &KX ³3URJUHVVLYH &KRQGURF\WH 'HDWK DIWHU ,PSDFW ,QMXU\ ,QGLFDWHV D 1HHG IRU &KRQGURSURWHFWLYH 7KHUDS\´ 7KH $PHULFDQ -RXUQDO RI 6SRUWV 0HGLFLQH 0RULPRWR < )HUUHWWL 0 (FNGDKO 0 6PROLQVNL 3 )X ) ³7LELRIHPRUDO MRLQW FRQWDFW DUHD DQG SUHVVXUH DIWHU VLQJOH DQG GRXEOH EXQGOH DQWHULRU FUXFLDWH OLJDPHQW UHFRQVWUXFWLRQ´ .QHH 6XUJHU\ 6SRUWV 7UDXPDWRORJ\ $UWKURVFRS\

7DMLPD * 1R]DNL 0 ,ULXFKLVKLPD 7 ,QJKDP 6 6PROLQVNL 3 DQG )X ) ³0RUSKRORJ\ RI WKH 7LELDO ,QVHUWLRQ RI WKH 3RVWHULRU &UXFLDWH /LJDPHQW´ - %RQH -RLQW 6XUJ 7LVFKHU 7 5RQJD 0 7VDL $ ,QJKDP 6 (NGDKO 0 6PROLQVNL 3 )X ) ³%LRPHFKDQLFV RI WKH JRDW WKUHH EXQGOH DQWHULRU FUXFLDWH OLJDPHQW´ .QHH 6XUJHU\ 6SRUWV 7UDXPDWRORJ\ $UWKURVFRS\ (NGDKO 0 1R]DNL 0 )HUUHWWL 0 7VDL $ 6PROLQVNL 3 )X ) ³7KH HIIHFW RI WXQQHO SODFHPHQW RQ ERQH WHQGRQ KHDOLQJ LQ DQWHULRU FUXFLDWH OLJDPHQW UHFRQVWUXFWLRQ LQ D JRDW PRGHO´ $0 - 6SRUWV 0HG ,ULXFKLVKLPD 7 7DMLPD * ,QJKDP 6 6KHQ : +RUDJXFKL 7 6DLWR $ 6PROLQVNL 3 )X ) ³,QWHUFRQG\ODU URRI LPSLQJHPHQW SUHVVXUH DIWHU DQWHULRU FUXFLDWH OLJDPHQW UHFRQVWUXFWLRQ LQ D SRUFLQH PRGHO´ .QHH 6XUJHU\ 6SRUWV 7UDXPDWRORJ\ $UWKURVFRS\ 5L]]R 3 * %RUGRQL $ 0DU]DQL - 6 9LSSHUPDQ ʊ/RFD OL]DWLRQ RI VRXQG VRXUFHV E\ PHDQV RI XQLGLUHFWLRQDO PLFURSKRQHV,” 0HDVXUHPHQW 6FLHQFH 7HFKQRORJ\ 0D\ (O .XUGL 0RKDPPHG 6 -HIIUH\ 6 9LSSHUPDQ DQG 'DYLG $ 9RUS ʊ'H VLJQ DQG 6XEVSDFH 6\VWHP ,GHQWLILFDWLRQ RI DQ ([ YLYR 9DVFXODU 3HUIXVLRQ 6\VWHP,” ,((( 7UDQVDFWLRQV RQ %LRPHGLFDO (QJLQHHULQJ SS $SULO .X[KDXV / 6FKLPROHU 3 - 9LSSHUPDQ - 6 %DUDW] 0 ( 0LOOHU 0 & ʊ( IIHFWV RI &DPHUD 6ZLWFKLQJ RQ )LQH $FFXUDF\ LQ D 0RWLRQ &DSWXUH 6\VWHP.” $60( -RXUQDO RI %LRPHFKDQLFDO (QJLQHHULQJ -DQ /LIHQJ 4LQ 4LQJ 0LQJ :DQJ ʊ$QDO \VLV RI GXDO PRGH WKLQ ILOP EXON DFRXVWLF UHVRQDWRUV )%$5V EDVHG RQ SRODU F D[LV WLOWHG ZXUW]LWH JDOOLXP QLWULGe” -2851$/ 2) $33/,(' 3+<6,&6 &KHQJOLDQJ 6XQ /LIHQJ 4LQ +DR ;XH =KDR[LDQ ;LRQJ 4LQJ 0LQJ :DQJ ʊ )HUURHOHFWULF DQG HOHFWURPHFKDQLFDO SURSHUW\ FKDUDFWHUL]DWLRQ RI VLQJOH 3=7 ILEHU UHVRQDWRU”, - $SSO 3K\V /LIHQJ 4LQ =LMLQJ =HQJ +RQJELQ &KHQJ DQG 4LQJ 0LQJ :DQJ ʊ$ FRXVWLF :DYH )ORZ 6HQVRU 8VLQJ 4XDUW] 7KLFNQHVV 6KHDU 0RGH 5HVRQDWRU”, ,((( 7UDQVDFWLRQV RQ 8OWUDVRQLFV )HUURHOHFWULFV DQG )UHTXHQF\ FRQWURO YRO QR SS &KHQJOLDQJ 6XQ /LIHQJ 4LQ )DQJ /L DQG 4LQJ 0LQJ :DQJ ʊ3 LH]RHOHFWULF (QHUJ\ +DUYHVWLQJ 8VLQJ 6LQJOH &U\VWDO 3E 0J 1E 2 [3E7L2 301 37 'HYLFe” -RXUQDO RI ,QWHOOLJHQW 0DWHULDO 6\VWHPV DQG 6WUXFWXUHV 9RO 1R 5LFKDUG %HEOR DQG /LVD 0DXFN :HLODQG ʊ/L JKW $FWLYDWHG 6KDSH 0HPRU\ 3RO\PHU /$603 &KDUDFWHUL]DWLRQ ” AS0( -RXUQDO RI $SSOLHG 0HFKDQLFV 9RO ,VV $ . .XORYLWV 5 =KRQJ - 0 . :LH]RUHN DQG - 3 /HRQDUG ʊ(O HFWURQ PLFURVFRS\ RI JHRPHWULFDOO\ FRQILQHG FRSSHU WKLQ ILOPV DIWHU UDSLG ODWHUDO VROLGLILFDWLRn”, 7KLQ 6ROLG )LOPV 9RO $ . .XORYLWV $ 5 'HVKSDQGH - 0 . :LH]RUHN ʊ&ROG :RUNLQJ DQG $QQHDOLQJ RI WKH FKHPLFDOO\ RUGHUHG / SKDVH )H 3G ”, ,QWHUPHWDOOLFV 9RO

3 5 2KRGQLFNL -U $ 5 'HVKSDQGH - 0 . :LH]RUHN 7 - .OHPPHU ʊ 0DJQHWLF IRUFH PLFURVFRS\ RI FRPELQHG UHDFWLRQ SURFHVVHG SRO\FU\VWDOOLQH HTXLDWRPLF EXON / R FePd”, -RXUQDO RI 0DWHULDOV 5HVHDUFK 9RO 1R 5 =KRQJ $ .XORYLWV - 0 . :LH]RUHN - 3 /HRQDUG ʊ)RX U =RQH 6ROLGLILFDWLRQ 0LFURVWUXFWXUH )RUPHG E\ /DVHU 0HOWLQJ RI &RSSHU 7KLQ )LOPs” -RXUQDO RI $SSOLHG 6XUIDFH 6FLHQFH 9RO - & <DQJ = /L / 6XQ * =KRX - $ (DVWPDQ ' ' )RQJ 3 + )XRVV 3 0 %DOGR / ( 5HKQ DQG / - 7KRPVRQ 3RO\FU\VWDOOLQH R[LGHV IRUPDWLRQ GXULQJ WUDQVLHQW R[LGDWLRQ RI &X 1L ELQDU\ DOOR\V VWXGLHG E\ LQ VLWX 7(0 DQG ;5'”, 0DWHULDOV DW +LJK 7HPSHUDWXUH . *X\ + ;X & :HUWK - <DQJ - 6KDSOH\ &DWDO\WLF 1LWUDWH DQG 1LWULWH 5HGXFWLRQ ZLWK 3G&X 393 &ROORLGV LQ :DWHU &RPSRVLWLRQ 6WUXFWXUH DQG 5HDFWLYLW\ &RUUHODWLons” - 3K\VLFDO &KHPLVWU\ & <L]RQJ :DQJ -RKQ /HRQDUG 6XQJ .ZRQ &KR 7UDQ 3KXRF <HH 6RRQJ 0LQNLQJ &K\X ʊ&RRO LQJ SHUIRUPDQFH RI QDQRIOXLGV LQ D PLFURFKDQQHO KHDW VLQN,” 7KH $60( 0LFUR 1DQRVFDOH +HDW DQG 0DVV 7UDQVIHU ,QWHUQDWLRQDO &RQIHUHQFH 'HFHPEHU 6KDQJKDL &KLQD 6DQJ .XJ &KXQJ DQG 6XQJ .ZRQ &KR ʊ3U RSXOVLRQ E\ DFRXVWLFDOO\ H[FLWHG RVFLOODWLQJ EXEEOHV IRU ELRPHGLFDO PLFUR PLQL URERWV VZLPPLQJ LQVLGH KXPDQ ERG\,” 7KH WK ,QWHUQDWLRQDO &RQIHUHQFH RQ 0LQLDWXUL]HG 6\VWHPV IRU &KHPLVWU\ DQG /LIH 6FLHQFHV 1RYHPEHU -HMX 6RXWK .RUHD SS <XHMXQ =KDR DQG 6XQJ .ZRQ &KR ʊ2SHQ LQJ UDWLR HIIHFW RQ HOHFWURZHWWLQJ GURSOHW DFWXDWLRQ RQ SHUIRUDWHG PHPEUDQHV ” 7KH WK ,QWHUQDWLRQDO $60( &RQIHUHQFH RQ 1DQRFKDQQHOV 0LFURFKDQQHOV DQG 0LQLFKDQQHOV ,&100 -XQH 3RKDQJ 6RXWK .RUHD ,&100 6DQJ .XJ &KXQJ DQG 6XQJ .ZRQ &KR ʊ&DSW XULQJ FDUU\LQJ DQG UHOHDVLQJ RI PLFUR REMHFWV E\ $& HOHFWURZHWWLQJ DFWXDWHG RVFLOODWLQJ EXEEOHV ” 7KH WK ,QWHUQDWLRQDO &RQIHUHQFH RQ 6ROLG 6WDWH 6HQVRUV $FWXDWRUV DQG 0LFURV\VWHPV 7UDQVGXFHUV -XQH 'HQYHU &RORUDGR SS 6DQJ .XJ &KXQJ .\XQJMRR 5\X DQG 6XQJ .ZRQ &KR ʊ$ VXUIDFH WHQVLRQGULYHQ SURSXOVLRQ DQG URWDWLRQ SULQFLSOH IRU ZDWHU IORDWLQJ PLQL PLFUR URERWs,” 7KH QG ,QWHUQDWLRQDO &RQIHUHQFH RQ 0LFUR (OHFWUR 0HFKDQLFDO 6\VWHPV 0(06 -DQXDU\ 6RUUHQWR ,WDO\ SS 0R & 5 .QLJKW $ )UHGHULFN DQG : : &ODUN ʊ (QHUJ\ +DUYHVWLQJ E\ 9LEUDWLRQV ZLWK 0(06 3LH]RHOHFWULF %HQGHUs,” 3URFHHGLQJV RI WKH $60( ,QWHUQDWLRQDO 'HVLJQ (QJLQHHULQJ 7HFKQLFDO &RQIHUHQFHV &RPSXWHUV DQG ,QIRUPDWLRQ LQ (QJLQHHULQJ &RQIHUHQFH 6DQ 'LHJR &$ 6HSWHPEHU %R\HULQDV % : : &ODUN / 0 :HLODQG 6 -RVKL ʊ'HV LJQ DQG )DEULFDWLRQ RI D 9DULDEOH 6WLIIQHVV /LQN IRU XVH LQ DQ 8QPDQQHG $LU 9HKLFOe” $60( &RQIHUHQFH RQ 6PDUW 0DWHULDOV $GDSWLYH 6WUXFWXUHV DQG ,QWHOOLJHQW 6\VWHPV 6HSWHPEHU

' 5 0F$GDPV DQG ' * &ROH ʊ0 HDVXULQJ ,QWHU 3DUWLFOH )RUFHV DW DQ ,QWHUIDFH ZLWK 2SWLFDO 7ZHH]HUV DQG D /RQJ :RUNLQJ 'LVWDQFH 2EMHFWLYH Lens,” ,Q 3URF $60( ,'(7& &,( '(7& ' * &ROH / 0 :HLODQG $Q $QDO\VLV RI 0LFUR $HURHODVWLF (QHUJ\ +DUYHVWLQJ 'HYLFHV,” ,Q 3URF $60( '\QDPLF 6\VWHPV DQG &RQWURO &RQIHUHQFH % $ %XFFL ' * &ROH - 6 9LSSHUPDQ DQG 6 - /XGZLFN ʊ)U LFWLRQ 0RGHOLQJ RI /LQHDU 5ROOLQJ (OHPHQW %HDULQJV LQ +LJK 3UHFLVLRQ /LQHDU 6WDJHV,” ,Q 3URF WK $QQXDO 0HHWLQJ RI $63( 6 - .HQQHG\ ' * &ROH DQG 5 / &ODUN ʊ$Q $XWRPDWHG ,PSOHPHQWDWLRQ RI D &DQWLOHYHU &DOLEUDWLRQ 7HFKQLTXH IRU +HDY\ )OXLG /RDGLQJ,” ,Q 3URF $60( ,'(7& &,( '(7& 0 5LYHUD & 0RUULV ' &DUOVRQ ( - 7RRQH ' * &ROH DQG 5 / &ODUN ʊ0 LQLPL]LQJ 7LS 6DPSOH &RQWDFW )RUFH LQ $XWRPDWHG $WRPLF )RUFH 0LFURVFRSH %DVHG )RUFH 6SHFWURVFRS\,” ,Q 3URF $60( ,'(7& &,( '(7& - . /HH 7 6HI]LN < + 6RQ 7 ; 3KXRF < 6RRQJ ' 0DUWHOOR DQG 0 . &K\X ʊ8VH RI 0DJQHWLF 1DQRSDUWLFOHV IRU 6PDUW 'ULOOLQJ )OXLds,” $PHULFDQ $VVRFLDWLRQ RI 'ULOOLQJ (QJLQHHULQJ $$'( 1DWLRQDO 7HFKQLFDO &RQIHUHQFH DQG ([KLELWLRQ 1HZ 2UOHDQV 0DUFK ± $SULO 7 ; 3KXRF < 6RRQJ 0 . &K\X DQG - . /HH ʊ 1DQRSDUWLFOHV $SSOLFDWLRQV IRU &RQWUROOLQJ 'ULOOLQJ )OXLG 5KHRORJLFDO 3URSHUWLHV DQG )OXLG /RVVHV DW +LJK 7HPSHUDWXUHV” $PHULFDQ $VVRFLDWLRQ RI 'ULOOLQJ (QJLQHHULQJ $$'( 1DWLRQDO 7HFKQLFDO &RQIHUHQFH DQG ([KLELWLRQ 1HZ 2UOHDQV 0DUFK ± $SULO 7 ; 3KXRF < 6RRQJ 0 . &K\X DQG - . /HH ʊ$SSO LFDWLRQV RI 1DQRSDUWLFOHV IRU +7+3 'ULOOLQJ )OXLds” 3DSHU 78 1DQRWHFK &OHDQ 7HFK &RQIHUHQFH DQG ([SR +RXVWRQ 0D\ 0 . &K\X 6 6LZ + . 0RRQ ʊ( IIHFWV RI +HLJKW WR 'LDPHWHU 5DWLR RI 3LQ (OHPHQW RQ +HDW 7UDQVIHU IURP 6WDJJHUHG 3LQ )LQ $UUD\s,” *7 $60( 7XUER ([SR 2UODQGR -XQH 6 6LZ 0 . &K\X : 6ODXJKWHU 9 .DUDLYDQRY 0 $ $OYLQ ʊ, QIOXHQFH RI ,QWHUQDO &RROLQJ &RQILJXUDWLRQ RQ 0HWDO 7HPSHUDWXUH 'LVWULEXWLRQV RI )XWXUH &RDO )XHO %DVHG 7XUELQH $LUIRLOs,” *7 $60( 7XUER ([SR 2UODQGR -XQH - 6 3DUN . 0 .LP ' + /HH + + &KR 0 . &K\X ʊ+HDW 7UDQVIHU LQ 5RWDWLQJ &KDQQHO ZLWK 9HUWLFDO DQG ,QFOLQHG 3LQ )LQV,” *7 $60( 7XUER ([SR 2UODQGR -XQH $OVR DFFHSWHG $60( 7UDQ - 7XUERPDFKLQHU\ 0 . &K\X DQG 0 $ $OYLQ ʊ7 XUELQH $LUIRLO $HURWKHUPDO &KDUDFWHULVWLFV LQ )XWXUH &RDO *DV %DVHG 3RZHU *HQHUDWLRQ 6\VWHPs,” .H\QRWH 3DSHU 7XUELQH ,QWHUQDWLRQDO 6\PSRVLXP RQ +HDW 7UDQVIHU LQ *DV 7XUELQH 6\VWHPV $QWDO\D 7XUNH\ $XJXVW

8 8\VDO ) 6DKLQ DQG 0 . &K\X ʊ([SH ULPHQWDO DQG 7KHRUHWLFDO $QDO\VLV RI +HDW 7UDQVIHU &KDUDFWHULVWLFV LQ D 5HFWDQJXODU 'XFW ZLWK -HW ,PSLQJHPHQW,” 7XUELQH ,QWHUQDWLRQDO 6\PSRVLXP RQ +HDW 7UDQVIHU LQ *DV 7XUELQH 6\VWHPV $QWDO\D 7XUNH\ $XJXVW < :DQJ 6 - &KXQJ - 3 /HRQDUG 6 . &KR 7 3KXRF < 6RRQJ DQG 0 . &K\X ʊ&RROL QJ 3HUIRUPDQFH RI 1DQRIOXLGV LQ D 0LFURFKDQQHO +HDW 6LQN,”PrRFHHGLQJV RI 01+07 $60( QG 0LFUR 1DQRVFDOH +HDW 0DVV 7UDQVIHU ,QWHUQDWLRQDO &RQIHUHQFH 6KDQJKDL -LDRWRQJ 8QLYHUVLW\ 6KDQJKDL &KLQD 'HFHPEHU 0 % 1LN 0 0RKHEEL 0 5 + 6KHLNKL DQG 3 *LYL CC3URJUHVV LQ /DUJH (GG\ 6LPXODWLRQ RI +LJK 6SHHG 7XUEXOHQW 0L[LQJ DQG 5HDFWLRQ

$,$$ 3DSHU ^?LW $,$$ ` WK $,$$ $HURVSDFH 6FLHQFHV 0HHWLQJ DQG ([KLELW 2UODQGR )/ -DQ - & 0F'DQLHO + &KHOOLDK & 3 *R\QH - 5 (GZDUGV 3 *LYL DQG $ ' &XWOHU CC86 1DWLRQDO &HQWHU IRU +\SHUVRQLF &RPELQHG &\FOH 3URSXOVLRQ $Q 2YHUYLHZ

$,$$ 3DSHU ^?LW $,$$ ` WK $,$$ '/5 '*/5 ,QWHUQDWLRQDO 6SDFH 3ODQHV DQG +\SHUVRQLF 6\VWHPV DQG 7HFKQRORJLHV &RQIHUHQFH %UHPHQ *HUPDQ\ 2FW ? (DVWPDQ $ .LPEHU 0 ʊ)O RZ )LHOG $QDO\VLV RI D 6LQJOH 3LH]RHOHFWULF )Dn,” ,0(&( 3URFHHGLQJV RI ,QWHUQDWLRQDO 0HFKDQLFDO (QJLQHHULQJ &RQJUHVV ([SRVLWLRQ 2UODQGR )/ 'L3LSSR : /HH % - DQG 3DUN . ʊ7KHR UHWLFDO ,QYHVWLJDWLRQ RI 7LS EDVHG QDQRVFDOH ,QIUDUHG 6SHFWURVFRS\,” $60( 6XPPHU +HDW 7UDQVIHU &RQIHUHQFH 6DQ )UDQFLVFR &$ -XO\ /HH % - +DQVRQ : DQG +DQ % ʊ3O DVPRQ (QKDQFHG 4XDQWXP 'RW )OXRUHVFHQFH ,QGXFHG E\ %URZQLDQ 0RWLRQ ” $60( 0LFUR 1DQRVFDOH +HDW DQG 0DVV 7UQVIHU ,QWHUQDWLRQDO &RQIHUHQFH 6KDQJKDL &KLQD 'HFHPEHU =LMLQJ =HQJ $NLUD 7DNDKDVKL 0 'XUND $ 0 5REHUWVRQ ʊ 3DUDPHWULF 0RGHOLQJ RI ,QWUDFUDQLDO $QHXU\VPs” 3URFHHGLQJV RI WKH %LRPHGLFDO (QJLQHHULQJ 6RFLHW\ %0(6 $QQXDO )DOO 0HHWLQJ 3LWWVEXUJK 3$ 2FWREHU & +\GUHDQ 0 +LOO 5 :XODQGDQD $ 0 5REHUWVRQ ʊ $ GHYLFH IRU XQLD[LDO PHFKDQLFDO WHVWLQJ RI DUWHULDO ULQJ VHJPHQWV”, 3URFHHGLQJV RI WKH %LRPHGLFDO (QJLQHHULQJ 6RFLHW\ %0(6 $QQXDO )DOO 0HHWLQJ 3LWWVEXUJK 3$ 2FWREHU =LMLQJ =HQJ $NLUD 7DNDKDVKL +LURDNL 6KLPL]X 0DNRWR 2KWD 7HLML 7RPLQDJ $QQH 0 5REHUWVRQ ʊ $ SDUDPHWULF PRGHO IRU VLGH ZDOO DQG ELIXUFDWLRQ FHUHEUDO DQHXU\VPV´ 3URFHHGLQJV RI WKH WK ,QWHUQDWLRQDO ,QWUDFUDQLDO 6WHQW 0HHWLQJ ,&6 6HQGDL -DSDQ WK WK RI $XJXVW ' /L DQG $ 5REHUWVRQ ʊ &RQVWLWXWLYH PRGHOLQJ RI WKH LQLWLDWLRQ DQG HDUO\ VWDJH GHYHORSPHQW RI FHUHEUDO DQHXU\VPV”, 3URFHHGLQJV RI WKH WK ,QWHUQDWLRQDO ,QWUDFUDQLDO 6WHQW 0HHWLQJ ,&6 6HQGDL -DSDQ WK WK RI $XJXVW =LMLQJ =HQJ 0LFKDHO 'XUND 'DYLG ) .DOOPHV 5DPDQDWKDQ .DGLUYHO <RQJKRQJ 'LQJ 'HEUD $ /HZLV $QQH 0 5REHUWVRQ ʊ5HFHQ W UHVXOWV LQ DQ HODVWDVH LQGXFHG VDFFXODU DQHXU\VP PRGHO LQ UDEELWV”, PrRFHHGLQJV RI WKH WK ,QWHUQDWLRQDO ,QWUDFUDQLDO 6WHQW 0HHWLQJ ,&6 6HQGDL -DSDQ WK WK RI $XJXVW

'DORQJ /L $QQH 0 5REHUWVRQ ʊ$ 6WUXFWXUDO 'DPDJH 0RGHO IRU &HUHEUDO $UWHULDO 7LVVXH DQG $QJLRSODVW\ 6LPXODWLon”, 3URFHHGLQJV RI WKH WK 86 1DWLRQDO &RQJUHVV RQ &RPSXWDWLRQDO 0HFKDQLFV -XO\ &ROXPEXV 2KLR 'DORQJ /L $QQH 0 5REHUWVRQ ʊ)L QLWH (OHPHQW 0RGHOLQJ RI &HUHEUDO $QJLRSODVW\ XVLQJ D 0XOWL 0HFKDQLVP 6WUXFWXUDO 'DPDJH 0RGHO”, 6WXGHQW 3DSHU &RPSHWLWLRQ 3URFHHGLQJV RI WKH $60( 6XPPHU %LRHQJLQHHULQJ &RQIHUHQFH -XQH /DNH 7DKRH &$ =LMLQJ =HQJ 0LNH 'XUND 'DYLG ) .DOOPHV 5DPDQDWKDQ .DGLUYHO <RQJKRQJ 'LQJ 'HEUD $ /HZLV $QQH 0 5REHUWVRQ ʊ +HPRG\QDPLF IHDWXUHV RI HODVWDVH LQGXFHG UDEELW VDFFXODU DQHXU\VPV²FRXSOLQJ RI ELRORJ\ DQG KHPRG\QDPLFV” 3URFHHGLQJV RI )URQWLHUV RI %LRPHGLFDO ,PDJLQJ 6FLHQFH )%,6 -XQH 9DQGHUELOW 8QLYHUVLW\ 1DVKYLOOH 7HQQHVVHH .DGLUYHO 5 'LQJ < 'DL ' =HQJ = =DNDULD + 5REHUWVRQ $ /HZLV ' .DOOPHV ' ʊ'LI IHUHQWLDO H[SUHVVLRQ RI JHQHV LQ HODVWDVH LQGXFHG VDFFXODU DQHXU\VPV ZLWK KLJK DQG ORZ DVSHFW UDWLRV”, IQWHUQDWLRQDO 6WURNH &RQIHUHQFH 6DQ 'LHJR &$ )HE 0LOOHU 9 DQG 6FKDHIHU / ʊ+\ GURNLQHWLF 7XUELQH 6HOHFWLRQ DQG 6\VWHP &KDUDFWHUL]DWLRQ ” $60( ,QWHUQDWLRQDO 0HFKDQLFDO (QJLQHHULQJ &RQJUHVV DQG ([SRVLWLRQ ,0(&( =LQN ) 9LSSHUPDQ - DQG 6FKDHIHU / ʊ ,QIOXHQFH RI WKH WKHUPDO SURSHUWLHV RI WKH GULYLQJ FRPSRQHQWV RQ WKH SHUIRUPDQFH RI D WKHUPRDFRXVWLF HQJLQH,” $60( ,QWHUQDWLRQDO 0HFKDQLFDO (QJLQHHULQJ &RQJUHVV DQG ([SRVLWLRQ ,0(&( =LQN ) 9LSSHUPDQ - DQG 6FKDHIHU / ʊ +HDW 7UDQVIHU $QDO\VLV LQ 7KHUPRDFRXVWLF 5HJHQHUDWRUV XVLQJ &)',” AS0( 6XPPHU +HDW 7UDQVIHU &RQIHUHQFH 6+7& 9 * .DUDLYDQRY 6 6LZ 0 . &K\X 0 $ $OYLQ DQG : 6 6ODXJKWHU ʊ6XEV WUDWH GDPDJH PRGHOLQJ IRU DGYDQFHG WXUELQH V\VWHP DLUIRLOV”. 3URFHHGLQJV RI $60( 7XUER ([SR 3RZHU IRU /DQG 6HD DQG $LU -XQH ± 2UODQGR )/ *7 <RR < .LP ' 5DQDZDW $ 6 )X ) 5RGRVN\ 0 DQG 6PROLQVNL 3 ʊ$ 7ULSOH 5RZ 5RWDWRU &XII 5HSDLU 7HFKQLTXH $ %LRPHFKDQLFDO $VVHVVPHQW 5HFRQVWUXFWLRQ XVLQJ 7HQGRQ *UDIW”, WK %LHQQLDO ,6$.26 &RQJUHVV 2VDND -DSDQ $SULO SRVWHU <RR < 5DQDZDW $ 6 (JDQ 0 )X ) 5RGRVN\ 0 DQG 6PROLQVNL 3 ʊ$U WKURVFRSLF 7HQGRQ $OORJUDSK 5HFRQVWUXFWLRQ RI WKH &RUDFRFODYLFXODU /LJDPHQW”, WK %LHQQLDO ,6$.26 &RQJUHVV 2VDND -DSDQ $SULO SRVWHU -XQJ : .LP ' /HH - <RR < 5DQDZDW $ 6 )X ) DQG 6PROLQVNL 3 ʊ& KDQJH RI /HQJWK RI WKH 3&/ 'XULQJ )OH[LRQ 8VLQJ DQ ,Q 9LYR .QHH 0RGHO”, $2660 $QQXDO 0HHWLQJ .H\VWRQH &2 -XO\ SRVWHU * 6RZD $ =RUQ 3 &RHOKR 5 6WXGHU . %HOO 3 6PROLQVNL - .DQJ ʊ(I IHFWV RI &RPSUHVVLRQ ,QWHUYHUWHEUDO 'LVF &HOO *HQH ([SUHVVLRn”, 7UDQVDFWLRQV RI WKH WK $QQXDO 0HHWLQJ RI WKH 2UWKRSDHGLF 5HVHDUFK 6RFLHW\ /DV 9HJDV 19 )HE SRGLXP 7DMLPD * 1R]DNL 0 ,ULXFKLVKLPD 7 ,QJKDP 6 6PROLQVNL 3 DQG )X ) ʊ0 RUSKRORJ\ RI WKH 7LELDO ,QVHUWLRQ RI WKH 3RVWHULRU &UXFLDWH /LJDPHQW”, WK :RUOG &RQJUHVV RI 6SRUWV 7UDXPD /DV 9HJDV 19 )HE 3RVWHU

)HUUHWWL 0 ,QJKDP 6 6PROLQVNL 3 &RKHQ 0 DQG )X ) ʊ$QD WRP\ RI WKH $QWHULRU &UXFLDWH 7LELDO ,QVHUWLon”, WK :RUOG &RQJUHVV RI 6SRUWV 7UDXPD /DV 9HJDV 19 )HE 3RVWHU 7VDL < <RR $ 5DQDZDW ) )X 0 5RGRVN\ 3 6PROLQVNL ʊ( IIHFWV RI $FURPLFDOFDYLFXODU /LJDPHQW ,QMXU\ RQ &ODYLFOH /D[LW\ &RPSUHVVLRQ ,QWHUYHUWHEUDO 'LVF &HOO *HQH ([SUHVVLon”, 7UDQVDFWLRQV RI WKH WK $QQXDO 0HHWLQJ RI WKH 2UWKRSDHGLF 5HVHDUFK 6RFLHW\ /DV 9HJDV 19 )HE 3RGLXP 0 6]F]RGU\ & &R\OH 6 .UDPHU 3 6PROLQVNL & &KX ʊ3U RJUHVVLYH &DUWLODJH 'HDWK )ROORZLQJ ,PSDFW ,QMXU\ WR $UWLFXODU LV )RUFH DQG 7LPH 'HSHQGHQW”, TrDQVDFWLRQV RI WKH WK $QQXDO 0HHWLQJ RI WKH 2UWKRSDHGLF 5HVHDUFK 6RFLHW\ /DV 9HJDV 19 )HE 3RVWHU < ;X - /LX 6 .UDPHU & 0DUWLQV < .DWR 0 /LQGH 5RVHQ 3 6PROLQVNL ) )X ʊ, Q 6LWX )RUFHV DQG .QHH .LQHPDWLFV LQ WKH $0 %XQGOH $XJPHQWDWLRQ DQG +LJK $0 $XJPHQWDWLRQ IRU 3DUWLDOO\ 5XSWXUHG $&L”, 7UDQVDFWLRQV RI WKH WK $QQXDO 0HHWLQJ RI WKH 2UWKRSDHGLF 5HVHDUFK 6RFLHW\ /DV 9HJDV 19 )HE 3RVWHU * 7DMLPD 0 1R]DNL 6 ,QJKDP 7 ,ULXFKLVKLPD 3 6PROLQVNL ) )X ʊ0 RUSKRORJ\ RI WKH 7LELDO ,QVHUWLRQ RI WKH 3RVWHULRU &UXFLDWH /LJDPHQW”, 7UDQVDFWLRQV RI WKH WK $QQXDO 0HHWLQJ RI WKH 2UWKRSDHGLF 5HVHDUFK 6RFLHW\ /DV 9HJDV 19 )HE 3RVWHU & &KX 0 6]F]RGU\ & &R\OH 6 .UDPHU 3 6PROLQVNL ʊ$FX WH ,PSDFW 5HVXOWV LQ 3URJUHVVLYH &KRQGURF\WH 1HFURVLs” 7UDQVDFWLRQV RI WKH ,&56 ± WKH WK :RUOG &RQJUHVV RI WKH ,QWHUQDWLRQDO &DUWLODJH 5HSDLU 6RFLHW\ 0LDPL )/ 0D\ 3RVWHU 0 )HUUHWWL 6 ,QJKDPV 3 6PROLQVNL 0 &RKHQ ) )X ʊ$QD WRP\ RI WKH $QWHULRU &UXFLDWH WK /LJDPHQW 7LELDO ,QVHUWLRn”, 7UDQVDFWLRQV RI WKH $QQXDO 0HHWLQJ RI WKH 2UWKRSDHGLF 5HVHDUFK 6RFLHW\ /DV 9HJDV 19 )HE 3RVWHU & &R\OH 6 .UDPHU 3 6PROLQVNL & &KX ʊ3U RJUHVVLYH &KRQGURF\WH 'HDWK $IWHU ,PSDFW ,QMXU\ 6KRZV D 1HHG DQG DQ 2SSRUWXQLW\ IRU &KRQGURSURWHFWLYH 7KHUDS\”, $2660 $QQXDO 0HHWLQJ .H\VWRQH &2 -XO\ 3RGLXP < ;X - /LX 6 .UDPHU & 0DUWLQV < .DWR 0 /LQGH 5RVHQ 3 6PROLQVNL ) )X ʊ&RP SDULVRQ RI ,Q 6LWX )RUFHV DQG .QHH .LQHPDWLFV LQ WKH $QWHURPHGLDO DQG +LJK $QWHURPHGLDO %XQGOH $XJPHQWDWLRQ IRU 3DUWLDOO\ 5XSWXUHG $QWHULRU &UXFLDWH /LJDPHQW”, $UWKURVFRSLF $VVRFLDWLRQ RI 1RUWK $PHULFD $QQXDO 0HHWLQJ 6DQ 'LHJR &$ $SULO 0D\ 3RVWHU : 6 -XQJ ' + .LP - + /HH < <RR $ 5DQDZDW ) )X 3 6PROLQVNL ʊ/HQJ WK &KDQJH RI WKH 3&/ 'XULQJ )OH[LRQ 8VLQJ DQ ,Q 9LYR .QHH 0RGHO”, $UWKURVFRSLF $VVRFLDWLRQ RI 1RUWK $PHULFD $QQXDO 0HHWLQJ 6DQ 'LHJR &$ $SULO 0D\ 3RVWHU < <RR $ 5DQDZDW < /LX ) )X 3 6PROLQVNL ʊ, Q 9LYR /HQJWK &KDQJH RI WKH ,PDJLQDU\ $&/ ZLWK )OH[LRQ $QJOH $UWKURVFRSLF $VVRFLDWLRQ RI 1RUWK $PHULFD $QQXDO 0HHWLQJ 6DQ 'LHJR &$ $SULO 0D\ 3RVWHU 7VDL $ 5DQDZDW < <RR ) )X 0 5RGRVN\ 3 6PROLQVNL ʊ& ODYLFXODU ,QVWDELOLW\ $IWHU $FURPLRFODYLFXODU /LJDPHQW ,QMXU\”, $UWKURVFRSLF $VVRFLDWLRQ RI 1RUWK $PHULFD $QQXDO 0HHWLQJ 6DQ 'LHJR &$ $SULO 0D\ 3RVWHU

: 6 -XQJ ' + .LP - + /HH < <RR $ 5DQDZDW ) )X 3 6PROLQVNL ʊ&KD QJH RI /HQJWK RI WKH 3&/ 'XULQJ )OH[LRQ 8VLQJ DQ ,Q 9LYR .QHH 0RGHO”, $PHULFD 2UWKRSDHGLF 6RFLHW\ IRU 6SRUWV 0HGLFLQH $QQXDO 0HHWLQJ .H\VWRQH &2 -XO\ -XO\ 3RVWHU %HDU ' 6]F]RGU\ 0 6FKUDPHU 6 6PROLQVNL 3 &KX & ʊ 2SWLFDO &RKHUHQFH 7RPRJUDSK\ 2&7 6LJQDO &KDQJHV DUH 3RWHQWLDO %LRPDUNHUV RI $FXWH &DUWLODJH ,QMXU\”, :RUOG &RQJUHVV RQ 2VWHRDUWKULWLV 6HSWHPEHU 0RQWUHDO 4XHEHF &DQDGD 3RGLXP .DWR < ,QJKDP 6 .UDPHU 6 6PROLQVNL 3 )X ) ʊ6L QJOH %XQGOH $&/ 7XQQHO 3RVLWLRQ RQ 3RUFLQH .QHH %LRPHFKDQLFV”, 6L[WK 6,&27 6,527 $QQXDO ,QWHUQDWLRQDO &RQIHUHQFH 3DWWD\D 7KDLODQG 2FWREHU 1RYHPEHU 3UHVHQWDWLRQ 5KXG\ 0 % %XFFL - 6 9LSSHUPDQ - $OODQDFK % $EUDKDP ʊ0 LFURSKRQH $UUD\ $QDO\VLV 0HWKRGV 8VLQJ &URVV &RUUHODWLRQs,” ,0(&( 3URFHHGLQJV RI $60( ,0(&( 1RYHPEHU /DNH %XHQD 9LVWD )/ - 0 . :LH]RUHN $ . .XORYLWV ʊ 7(0 RI F FRPSRQHQW 'LVORFDWLRQV $VVRFLDWHG ZLWK 3\UDPLGDO 6OLS $FWLYLW\ LQ +H[DJRQDO $OSKD 7L $O”, 056 6\PS 3URF 9RO 8 . .XORYLWV - 0 . :LH]RUHN ʊ 2EVHUYDWLRQ RI F D! GLVORFDWLRQV JOLGH LQ GXSOH[ 7L $O DIWHU URRP WHPSHUDWXUH WHQVLOH GHIRUPDWLRQ”, 056 6\PS 3URF 9RO 8 $ . .XORYLWV % :HEOHU $ 5 'HVKSDQGH DQG - 0 . :LH]RUHN ʊ( OHFWURQ 0LFURVFRS\ RI &RPPHUFLDO 3XULW\ $O $O 0J &X DIWHU $FFXPXODWLYH 5ROO %RQGLQJ”, LQ $OXPLQXP $OOR\V )DEULFDWLRQ &KDUDFWHUL]DWLRQ DQG $SSOLFDWLRQV ,, (GLWHG : <LQ 6 . 'DV = /RQJ 706 :DUUHQGDOH 3$ 6 :RVX 'DYLG +XL DQG / 'DQLHO ʊ+\ JURWKHUPDO 'HJUDGDWLRQ RI '\QDPLF &RPSUHVVLYH 3URSHUWLHV RI *UDSKLWH (SR[\ &RPSRVLWH ”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ʊ1DQRV WUXFWXUH FKDUDFWHUL]DWLRQ RI FRQLFDO VLOLFRQ FDUELGH QDQRZLUHV DQG KHWHURVWUXFWXUHV LQGXFHG E\ UHOHDVH FDWDO\VLV”, 0LFURVFRS\ 0LFURDQDO\VLV .QLJKW 5 5 0R & DQG &ODUN : : ʊ'HY HORSPHQW DQG 7HVWLQJ RI D 0(06 3LH]RHOHFWULF (QHUJ\ +DUYHVWHU,” 3URF RI 63,( 6PDUW 6WUXFWXUHV DQG 0DWHULDOV 6DQ 'LHJR &$ 0DUFK ʊ1HZ 5DLO 6WHHOV IRU WKH VW &HQWXU\”, 5 2UGRQH] & ,VDDF *DUFLD 6HPLK .DOD\ DQG $QWKRQ\ - 'H$UGR 0DWHULDOV 6FLHQFH DQG 7HFKQRORJ\ 06 7 2FWREHU 3LWWVEXUJK 3$

ʊ(I IHFW RI FDUERQ FRQWHQW RQ WKH SKDVH WUDQVIRUPDWLRQ FKDUDFWHULVWLFV PLFURVWUXFWXUH DQG SURSHUWLHV RI 03D JUDGH PLFURDOOR\HG VWHHOV ZLWK QRQ SRO\JRQDO IHUULWH PLFURVWUXFWXUHs” 3 6XLNNDQHQ 3 .DUMDODLQHQ $ - 'H$UGR ʊ/D PHWDOOXUJLD LWDOLDQa” LVVXH -XO\ ʊ&UD FN )RUPDWLRQ LQ &DUERQ 6WHHOV 5HVXOWLQJ IURP 1RQ (TXLOLEULXP *UDLQ %RXQGDU\ 6HJUHJDWLRQ GXULQJ &RROLQJ,” 0RKDPPDG 5H]D $OOD]DGHK &DOL[WR ,VVDF *DUFLD $QWKRQ\ - 'H$UGR 0DWHULDOV 6FLHQFH DQG 7HFKQRORJ\ 06 7 6\PSRVLXP RQ 6WUXFWXUDO 7UDQVLWLRQV DQG /RFDO 'HIRUPDWLRQ 3URFHVVHV $W DQG 1HDU *UDLQ %RXQGDULHV 2FW 3LWWVEXUJK 3$ ʊ$QDO \]LQJ &RPSOH[ 6WHHO 0LFURVWUXFWXUHV 8VLQJ (OHFWURQ %DFN 6FDWWHUHG 'LIIUDFWLRQ ,PDJH 4XDOLW\,” .HQJXQ &KR ,VDDF *DUFLD -RQJ .\R &KRL 0LQJMLDQ +XD $QWKRQ\ - 'HDUGR 0DWHULDOV 6FLHQFH DQG 7HFKQRORJ\ 06 7 6\PSRVLXP RQ (OHFWURQ %DFNVFDWWHUHG 'LIIUDFWLRQ $QDO\VLV RI 6WHHOV 2FW 3LWWVEXUJK 3$ ʊ 0LFURDOOR\HG )RUJLQJ 6WHHOV”, & , *DUFLD 0 +XD . &KR DQG $ - 'H$UGR ,QWHUQDWLRQDO &RQIHUHQFH RQ 0RGHUQ )RUJLQJV *UDGR ,WDO\ $VVRFLDWLRQ RI ,WDOLDQ 0HWDOOXUJ\ 0LODQ ,WDO\ 0 5 + 6KHLNKL 6 / <LOPD] 0 % 1LN 3 + 3LVFXLQHUL DQG 3 *LYL CC)') IRU /(6 RI 7XUEXOHQW &RPEXVWLRQ

6\PSRVLXP RQ 7XUEXOHQFH DQG &RPEXVWLRQ ,WKDFD 1< $XJXVW - . /HH 7 6HI]LN < + 6RQ 0LQNLQJ &K\X 7 ; 3KXRF < 6RRQJ ' 0DUWHOOR ʊ8VH RI PDJQHWLF QDQRSDUWLFOHV IRU VPDUW GULOOLQJ IOXLGs,” LQ WKH SURFHHGLQJ RI $$'( .HU]PDQQ 7 DQG 6FKDHIHU / ʊ+\ EULG )RXU 3DUDPHWHU 0XOWLMXQFWLRQ &HOO 0RGHO ” (QJLQHHULQJ 6XVWDLQDELOLW\ ,QQRYDWLRQV WKDW 6SDQ %RXQGDULHV VHPLQDU SUHVHQWDWLRQ %UDG %R\HULQDV :LOOLDP &ODUN 6KLY -RVKL /LVD :HLODQG ʊ'HV LJQ DQG )DEULFDWLRQ RI D 9DULDEOH 6WLIIQHVV /LQN IRU XVH LQ DQ 8QPDQQHG $LU 9HKLFOe,” $60( 60$6,6 2[QDUG &$ 6HSWHUPEHU 8UVXOD =DQJULOOL DQG /LVD 0DXFN :HLODQG ʊ 0XWOLVFDOH 0RGHOLQJ RI 1DILRQ 0HFKDQLFDO 3URSHUWLHV ” AS0( 60$6,6 2[QDUG &$ 6HSWHUPEHU GRVRPDO 9DFFLQH 'HOLYHU\ 7KURXJK WKH 1DVWLF (ULF )UHHPDQ DQG /LVD 0DXFN :HLODQG ʊ(Q 0RGHO,” AS0( 60$6,6 2[QDUG &$ 6HSWHUPEHU 5LFKDUG %HEOR DQG /LVD 0DXFN :HLODQG ʊ 8VLQJ 0XOWLVFDOH 0RGHOLQJ WR 3UHGLFW 0DWHULDO 5HVSRQVH RI 3RO\PHULF 0DWHULDOV ” AS0( 60$6,6 2[QDUG &$ 6HSWHUPEHU 5LFKDUG %HEOR DQG /LVD 0DXFN :HLODQG ʊ0 DWHULDO FKDUDFWHUL]DWLRQ DQG PXOWL VFDOH PRGHOLQJ RI OLJKW DFWLYDWHG SMP,” PrRF 63,( 6DQ 'LHJR &$ 0DUFK )HL *DR DQG /LVD 0DXFN :HLODQG ʊ 7KH VWUHDPLQJ SRWHQWLDO PHWKRG IRU PRGHOLQJ WKH HOHFWURPHFKDQLFDO UHVSRQVHV RI LRQLF SRO\PHU WUDQVGXFHUs,” 3URF 63,( 6DQ 'LHJR &$ =KDQJ = 0 DQG /HH % - ʊ 7KHRU\ RI 7KHUPDO 5DGLDWLRQ DQG 5DGLDWLYH 3URSHUWLHs,” &KDSWHU SS LQ 5DGLRPHWULF 7HPSHUDWXUH 0HDVXUHPHQWV , )XQGDPHQWDOV = 0 =KDQJ % . 7VDL DQG * 0DFKLQ HGV $FDGHPLF 3UHVV DQ LPSULQW RI (OVHYLHU $PVWHUGDP ʊ1HZ 'LUHFWLRQV LQ 0DWKHPDWLFDO )OXLG 0HFKDQLFV”, ZLWK $ 9 )XUVLNRY 9 $ 3XNKQDFKHY %LUNKDHXVHU 9HUODJ %RVWRQ %DVHO *DOGL 3

ʊ)XQGDP HQWDO 7UHQGV LQ )OXLG 6WUXFWXUH ,QWHUDFWLons” ZLWK 5ROI 5DQQDFKHU :RUOG 6FL 6LQJDSRUH 1HZ <RUN /RQGRQ *DOGL 3 0 5 + 6KHLNKL 7 * 'UR]GD & . 0DGQLD DQG 3 *LYL CC6WUXFWXUH RI 1RQSUHPL[HG 7XUEXOHQW )ODPHV

&KDSWHU LQ +D]DUGV 3UHYHQWLRQ DQG 0LWLJDWLRQ RI ,QGXVWULDO ([SORVLRQV (GLWRU 6 )URORY (1$6 3XEOLVKHUV 0RVFRZ 5XVVLD 5REHUWVRQ $ 6pTXHLUD 5 * 2ZHQV &KDSWHU 7LWOH 5KHRORJLFDO 0RGHOV IRU %ORRG LQ &DUGLRYDVFXODU 0DWKHPDWLFV 0RGHOLQJ DQG VLPXODWLRQ RI WKH FLUFXODWRU\ V\VWHP 6HULHV 06 $ 9RO (GLWRUV YY)RUPDJJLD /XFD 4XDUWHURQL $OILR 0 9HQH]LDQL $OHVVDQGUR (GV 6HULHV 06 $ 9RO 6SULQJHU 9HUODJ ,6%1 ʊ $GYDQFHG ,QWHUPHWDOOLF $OOR\V IRU ([WUHPH (QYLURQPHQW DQG (QHUJ\ $SSOLFDWLRQ”, 056 6\PSRVLXP 3URFHHGLQJV 9RO (GLWRUV ±0 3DOP % %HZOD\ 0 7DNH\DPD - 0 . :LH]RUHN < +H 056 :DUUHQGDOH 3$ SDJHV ,6%1

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

&2162/,'$7(' 1$785$/ *$6 (1'2:(' )(//2:6+,3 IRU RXWVWDQGLQJ SURGXFWLYLW\ DV D MXQLRU PHPEHU RI WKH IDFXOW\ WR *RHW] 9HVHU 1,&.2/$6 $ 'H&(&&2 352)(66256+,3 IRU RXWVWDQGLQJ SURGXFWLYLW\ DV D VHQLRU PHPEHU RI WKH IDFXOW\ WR 0DUOLQ + 0LFNOH '(876&+( )256&+81*6*(0(,16&+$)7 *(50$1 5(6($5&+ )281'$7,21 0(5&$725 352)(66256+,3 WR *LRYDQQL 3 *DOGL '(876&+(5 $.$'(0,6&+(5 $867$6&+ ',(167 '$$' 6&,(1&( 7285 ³5HJHQHUDWLYH (QHUJLHV LQ *HUPDQ\ 6WDWH RI WKH $UW DQG 2SSRUWXQLWLHV IRU ,QWHUQDWLRQDO &RRSHUDWLRQ LQ 5HVHDUFK DQG +LJKHU (GXFDWLRQ ´ LQYLWHG SDUWLFLSDQW WR *HRUJH ( .OLQ]LQJ ',67,1*8,6+(' 352)(6625 2) %,2(1*,1((5,1* WR +DUYH\ 6 %RURYHW] (8523($1 )('(5$7,21 2) 1$7,21$/ $662&,$7,216 2) 257+23$(',& 632576 75$80$72/*< +2125$5< 0(0%(5 WR 6DYLR / < :RR +21* .21* 32/<7(&+1,& 81,9(56,7< +2125$5< '2&725$7( WR 6DYLR / < :RR ,167,7872 1$=,21$/( GL $/7$ 0$7(0$7,&$ 352)(66256+,3 WR *LRYDQQL 3 *DOGL 7+( ,167,7872 32/,7e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e&1,&2 GL 0,/$12 '(3$570(17 2) 0$7+(0$7,&6 9,6,7,1* 352)(66256+,3 WR $QQH 0 5REHUWVRQ 7+( 62&,(7< )25 0,1,1* 0(7$//85*< $1' (;3/25$7,21 6<' 6 3(1* *5281' &21752/ ,1 0,1,1* $:$5' WR $QWKRQ\ 7 ,DQQDFFKLRQH

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

'LVWLQJXLVKHG /HFWXUHVKLSV 7KH %D\HU 'LVWLQJXLVKHG /HFWXUHVKLS 'HSDUWPHQW RI &KHPLFDO DQG 3HWUROHXP (QJLQHHULQJ $GKHVLRQ DQG )ULFWLRQ LQ (YHU\GD\ /LIH DQG 1RQ HTXLOLEULXP 7LPH DQG +LVWRU\ GHSHQGHQW ,QWHUDFWLRQV LQ %LRORJLFDO 6\VWHPV $SULO 3URIHVVRU -DFRE ,VUDHODFKYLOL 'HSDUWPHQW RI &KHPLFDO (QJLQHHULQJ 0DWHULDOV 'HSDUWPHQW 0DWHULDOV 5HVHDUFK /DERUDWRU\ DQG WKH %LRPROHFXODU 6FLHQFH DQG (QJLQHHULQJ 3URJUDP 8QLYHUVLW\ RI &DOLIRUQLD 6DQWD %DUEDUD

(;7(51$/ 352*5$06 $OXPQL 5HODWLRQV

$OXPQL 3URILOHV 7RWDO /LYLQJ (QJLQHHULQJ $OXPQL %LRHQJLQHHULQJ &KHPLFDO DQG 3HWUROHXP (QJLQHHULQJ &LYLO DQG (QYLURQPHQWDO (QJLQHHULQJ &RPSXWHU (QJLQHHULQJ (OHFWULFDO (QJLQHHULQJ ,QGXVWULDO (QJLQHHULQJ 0DWHULDOV 6FLHQFH DQG (QJLQHHULQJ 0HFKDQLFDO (QJLQHHULQJ 2WKHU 0DMRUV VSHFLDOL]DWLRQV 727$/

7RWDO /LYLQJ (QJLQHHULQJ $OXPQL ± E\ *HQGHU

)HPDOH 0DOH 1R 5HVSRQVH

727$/

7RWDO /LYLQJ (QJLQHHULQJ $OXPQL ± E\ 'HJUHH %6 06 3K ' 727$/ %LRHQJLQHHULQJ &KHPLFDO DQG 3HWUROHXP (QJLQHHULQJ &LYLO DQG (QYLURQPHQWDO (QJLQHHULQJ &RPSXWHU (QJLQHHULQJ (OHFWULFDO (QJLQHHULQJ ,QGXVWULDO (QJLQHHULQJ 0DWHULDOV 6FLHQFH DQG (QJLQHHULQJ 0HFKDQLFDO (QJLQHHULQJ 2WKHU PDMRUV VSHFLDOL]DWLRQV 727$/

7RWDO /LYLQJ (QJLQHHULQJ $OXPQL ± E\ 6WDWH $ODEDPD $ODVND $PHULFDQ (XURSH $PHULFDQ 3DFLILF $PHULFDQ 6DPRD $UL]RQD $UNDQVDV &DOLIRUQLD &RORUDGR &RQQHFWLFXW 'HODZDUH 'LVWULFW RI &ROXPELD )ORULGD *HRUJLD *XDP +DZDLL ,GDKR ,OOLQRLV ,QGLDQD ,RZD .DQVDV .HQWXFN\ /RXLVLDQD 0DLQH 0DU\ODQG 0DVVDFKXVHWWV 0LFKLJDQ 0LQQHVRWD 0LVVLVVLSSL

0LVVRXUL 0RQWDQD 1HEUDVND 1HYDGD 1HZ +DPSVKLUH 1HZ -HUVH\ 1HZ 0H[LFR 1HZ <RUN 1RUWK &DUROLQD 1RUWK 'DNRWD 1RUWKHUQ 0DULDQD ,VODQGV 2KLR 2NODKRPD 2UHJRQ 3HQQV\OYDQLD 3XHUWR 5LFR 5KRGH ,VODQG 6RXWK &DUROLQD 6RXWK 'DNRWD 7HQQHVVHH 7H[DV 8WDK 9HUPRQW 9LUJLQ ,VODQGV 9LUJLQLD :DVKLQJWRQ :HVW 9LUJLQLD :LVFRQVLQ :\RPLQJ

7RWDO ,QWHUQDWLRQDO $OXPQL

$IULFD $VLD $XVWUDOLD 1HZ =HDODQG &DQDGD &DULEEHDQ (XURSH 6RXWK &HQWUDO $PHULFD 0H[LFR 0LGGOH (DVW

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¶V SDVVLRQ IRU EXLOGLQJ D FRPSDQ\ RI ODVWLQJ YDOXH LV KLJKOLJKWHG E\ FRPPHQWV PDGH E\ -HII 6LQJHU 1$6'$4 UHJLRQDO YLFH SUHVLGHQW XSRQ .UDPHU¶V RSHQLQJ RI WKH 1$6'$4 0DUNHW RQ 2FWREHU ³2YHU WKH ODVW \HDUV ,, 9, ,QFRUSRUDWHG¶V &RPSRXQGHG $QQXDO *URZWK 5DWHV RQ 5HYHQXHV 1HW ,QFRPH 6WRFN DQG 0DUNHW &DSLWDOL]DWLRQ DOO KDYH H[FHHGHG SHU \HDU ,, 9, ,QFRUSRUDWHG KDV RXW SHUIRUPHG WKH 1$6'$4 WKH 'RZ DQG WKH 6 3 LQGLFHV E\ RYHU WLPHV LQ WKH ODVW GHFDGH ´ 3ULRU WR KLV HPSOR\PHQW DW ,, 9, .UDPHU VHUYHG DV GLUHFWRU RI RSHUDWLRQV IRU WKH 8WLOLW\ &RPPXQLFDWLRQV 6\VWHPV *URXS RI 5RFNZHOO ,QWHUQDWLRQDO &RUSRUDWLRQ +LV HDUO\ FDUHHU ZDV ZLWK 5RFNZHOO ,QWHUQDWLRQDO LQ HQJLQHHULQJ DQG EXVLQHVV GHYHORSPHQW SRVLWLRQV

.UDPHU JUDGXDWHG ZLWK D %6 LQ LQGXVWULDO HQJLQHHULQJ IURP WKH 8QLYHUVLW\ RI 3LWWVEXUJK LQ DQG HDUQHG DQ 06 LQ LQGXVWULDO DGPLQLVWUDWLRQ IURP 3XUGXH 8QLYHUVLW\ LQ +H FXUUHQWO\ VHUYHV RQ WKH 8QLYHUVLW\ RI 3LWWVEXUJK¶V 6ZDQVRQ 6FKRRO RI (QJLQHHULQJ %RDUG RI $GYLVRUV DQG LV D UHFLSLHQW RI WKH VFKRRO¶V 'HSDUWPHQW RI ,QGXVWULDO (QJLQHHULQJ 'LVWLQJXLVKHG $OXPQL $ZDUG LQ +H LV DOVR D PHPEHU RI WKH 3DQWKHU &OXE DQG WKH 3,77 $OXPQL $VVRFLDWLRQ

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¶V $GYDQFHG 0DQDJHPHQW 3URJUDP

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¶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¶V JXLGDQFH VLQFH WKH FRPSDQ\ KDV LQWURGXFHG VHYHUDO QHZ LQQRYDWLYH SURGXFWV FRQVWUXFWHG D FXVWRP GHVLJQHG UHVHDUFK DQG PDQXIDFWXULQJ IDFLOLW\ ZKLFK ZDV IXUWKHU H[SDQGHG LQ RUGHU WR VXSSRUW JURZWK DQG

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

'HYHORSPHQW ([WHUQDO 6XSSRUW 7KURXJK WKH JHQHURXV VXSSRUW RI DOXPQL IULHQGV FRUSRUDWLRQV DQG IRXQGDWLRQV WKH 6ZDQVRQ 6FKRRO RI (QJLQHHULQJ UHDOL]HG LQ WRWDO VXSSRUW IRU WKH ILVFDO \HDU

FY10 Support

Alumni - 78% Corporate - 9% Foundation - 9% Other - 4%

$GYLVRU\ *URXSV

6ZDQVRQ 6FKRRO RI (QJLQHHULQJ %RDUG RI 9LVLWRUV 75867(( 0(0%(56

*HRUJH $ 'DYLGVRQ -U 5HWLUHG &KDLUPDQ 'RPLQLRQ 6WHSKHQ 5 7ULWFK )RUPHU &KDLUPDQ :HVWLQJKRXVH (OHFWULF &RPSDQ\ 7KRPDV - 8VKHU &KDLUPDQ RI WKH %RDUG RI 'LUHFWRUV 0DUDWKRQ 2LO &RUSRUDWLRQ 75867(( (0(5,786 0(0%(56

3DXO ( /HJR ([HFXWLYH $VVRFLDWHV -RKQ & 0DURXV -U ([HFXWLYH $VVRFLDWHV )UDQN 0RVLHU 0RVLHU (QWHUSULVHV ,QF

$OXPQXV 7UXVWHH (PHULWXV )RUPHU 7UXVWHH 5(*8/$5 0(0%(56

5REHUW 2 $JEHGH 3UHVLGHQW DQG &(2 &KHVWHU (QJLQHHUV 'DYLG / %URZQ &KLHI 0DUNHW 6WUDWHJLVW 6DEULHQW 6\VWHPV 'DYLG %XFNOHZ 9LFH 3UHVLGHQW 6DOHV (DWRQ &RUSRUDWLRQ $QWKRQ\ &XJLQL 'LUHFWRU 1DWLRQDO (QHUJ\ 7HFKQRORJ\ /DERUDWRU\ 6WHSKHQ : 'LUHFWRU 3URYRVW 1RUWKHDVWHUQ 8QLYHUVLW\

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

*HUDOG ( 0F*LQQLV 5HWLUHG &KDLUPDQ DQG )RXQGHU 5HVSLURQLFV ,QF $OR\VLXV ³,VK´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

'HSDUWPHQWDO 9LVLWLQJ &RPPLWWHHV 'U +DO :ULJOH\ 3UHVLGHQW .QLJKWVEULGJH %LRIXHOV (FRJ\ %LRIXHOV -RKQ :DWVRQ 3K' 'LUHFWRU 3URIHVVRU 'HSDUWPHQW RI %LRHQJLQHHULQJ 8QLYHUVLW\ RI &DOLIRUQLD 6DQ 'LHJR

%LRHQJLQHHULQJ

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

'U &KULVWRSKHU 5REHUWV 'HSDUWPHQW &KDLU 8WKODXW 3URIHVVRU 'HSDUWPHQW RI &KHPLFDO (QJLQHHULQJ $XEXUQ 8QLYHUVLW\ 'U -HQQLIHU 6LQFODLU &XUWLV 3URIHVVRU &KHPLFDO (QJLQHHULQJ 8QLYHUVLW\ RI )ORULGD 0U /DUU\ & 6PLWK 0DQDJHU 'UDIWLQJ 'HVLJQ 2SHUDWLRQV 0DQDJHU ,FH &RQGHQVHU (QJLQHHULQJ :HVWLQJKRXVH (OHFWULF &RPSDQ\ 0U 'DYLG :RKOIDUWK *HQHUDO 0DQDJHU 5HWLUHG 3XEOLF 6HUYLFH (OHFWULF DQG *DV &R 0V 0DU\ 7 =HLV $VVRFLDWH 'LUHFWRU 5HWLUHG 6KDURQ :RRGV 7HFKQLFDO &HQWHU 7KH 3URFWHU *DPEOH &RPSDQ\

$UWKXU * +RIIPDQQ 9LFH 3UHVLGHQW *DQQHWW )OHPLQJ ,QF :HUQHU & /RHKOHLQ &KLHI :DWHU 0DQDJHPHQW %UDQFK 8 6 $UP\ &RUSV RI (QJLQHHUV -DPHV /RPEDUGL 9LFH 3UHVLGHQW &RQVWUXFWLRQ 6$, &RQVXOWLQJ (QJLQHHUV ,QF -RKQ 7 /XFH\ -U +'5 (QJLQHHULQJ ,QF 5REHUW + /XII\ 3UHVLGHQW DQG &(2 $PHULFDQ %ULGJH 0DUJDUHW $ 3HOFKHU 3ULQFLSDO (QYLURQPHQWDO 3DXO & 5L]]R $VVRFLDWHV ,QF *DU\ $ 5XQFR 9LFH 3UHVLGHQW ± 2SHUDWLRQV 3DXO & 5L]]R $VVRFLDWHV ,QF &KDUOHV 0 5XVVHOO 6HQLRU 9LFH 3UHVLGHQW 0LFKDHO %DNHU -U ,QF 'DQ 6ODJOH 3UHVLGHQW 1LFKROV 6ODJOH (QJLQHHULQJ ,QF

&LYLO DQG (QYLURQPHQWDO (QJLQHHULQJ -RKQ 0 %DUVRP 3UHVLGHQW %DUVRP &RQVXOWLQJ /WG 9LFWRU %HUWROLQD 3UHVLGHQW (QJLQHHULQJ 6$, &RQVXOWLQJ (QJLQHHUV ,QF -HII &DPSEHOO 9LFH 3UHVLGHQW 0LFKDHO %DNHU &RUS 0LNH 'XIDOOD )ORUDO +LOO 'ULYH :DVKLQJWRQ 3$ 0DUF\ - *DOOLFN 3UHVLGHQW 5KHD (QJLQHHUV

(OHFWULFDO DQG &RPSXWHU (QJLQHHULQJ -RKQ 0F,QHUQH\ UHJXODU PHPEHU 9LFH 3UHVLGHQW , & :HVWLQJKRXVH 0U *UDKDP &DEOH DOWHUQDWH 'LUHFWRU ,QIRUPDWLRQ &RQWURO 6\VWHPV :HVWLQJKRXVH (OHFWULF &RPSDQ\ 'U .HQQHWK ) &RRSHU 5HWLUHG IRUPHUO\ 0DQDJHU RI 3URFHVV DQG &RQWURO 7HFKQRORJ\ :HVWLQJKRXVH (OHFWULF &RPSDQ\

'U -HIIUH\ 'RQQH 'LUHFWRU 6RIWZDUH ,QWHQVH 6\VWHPV 5REHUW %RVFK &RUSRUDWLRQ 0U 7RP 0LQR &(2 5HIOH[ 3KRWRQLFV ,QF 0U -RKQ : 3DYLD 662( %RDUG RI 9LVLWRUV (QJLQHHULQJ &RQVXOWDQW 5HWLUHG IRUPHU *HQHUDO 0DQDJHU ± (QJLQHHULQJ 8QLWHG 6WDWHV 6WHHO &RUS 0U 5LFK 6WLQVRQ 3UHVLGHQW 3RZHU 'LVWULEXWLRQ $PHULFDV (DWRQ &RUSRUDWLRQ

0U -RKQ ,QQRFHQWL 6HQLRU 9LFH 3UHVLGHQW DQG &KLHI 2SHUDWLQJ 2IILFHU 830& 6KDG\VLGH +RVSLWDO 0V &DUROLQH 0 .ROPDQ 3 ( :HOOVSULQJ 3DUWQHUV 0U )UDQFLV .UDPHU 3UHVLGHQW DQG &22 ,, 9, ,QF 0V 3DWULFLD .HOO\ /HH $VVRFLDWH /HZLV =LPPHUPDQ $VVRFLDWHV 0U :LOOLDP 0DOOLQ *HQHUDO &RXQVHO (FNHUW 6HDPDQV 0U 6WDQ & 6OLZRVNL (PHULWXV 6HQLRU &RQVXOWDQW 836 3URIHVVLRQDO 6HUYLFHV 0U .HQQHWK ( 6PLWK 6HQLRU ([HFXWLYH $FFHQWXUH :HLQ]LHUO - %XVWHU 5 ' &RDWLQJV ,QF

,QGXVWULDO (QJLQHHULQJ

0V 7DQG\ $ %DLOH\ 'LVWULFW ,QGXVWULDO (QJLQHHULQJ 0DQDJHU 836 0U &KULV &DUXVR *OREDO %XVLQHVV ,7 'LUHFWRU 33* ,QGXVWULHV 0U *OHQQ 0 )RJOLR 3UHVLGHQW *UDFLDQR &RUSRUDWLRQ 0U 5LFKDUG & )UDQN *HQHUDO 0DQDJHU %XVLQHVV 'HYHORSPHQW 6WUDWHJLF 3ODQQLQJ %XVLQHVV 'HYHORSPHQW 8QLWHG 6WDWHV 6WHHO &RUSRUDWLRQ 5HWLUHG 0U 5RPDQ +OXWNRZVN\ &+$,5 6HQLRU 9LFH 3UHVLGHQW +XPDQ 5HVRXUFHV )HG([ *URXQG 0U *HRUJH +XEHU ± (PHULWXV 3URIHVVRU RI 3XEOLF +HDOWK 3UDFWLFH $VVRFLDWH 'HDQ IRU 3XEOLF 3ROLF\ *UDGXDWH 6FKRRO RI 3XEOLF +HDOWK

0HFKDQLFDO (QJLQHHULQJ DQG 0DWHULDOV 6FLHQFH 0U -DPHV .LPEUHOO &KLHI 7HFKQRORJLVW / &RPPXQLFDWLRQV %UDVKHDU 'LYLVLRQ 0U :LOVRQ - )DUPHULH &KDLUPDQ 5HG=RQH 5RERWLFV 0U %HUQDUG )HGDN 3URMHFW ([HFXWLYH $NHU 6ROXWLRQV ,QF 0U 'DYLG 0 .LWFK 3( &RQVXOWDQW

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

2010 DIRECTORY 1$0( BIOENGINEERING 0DLQ 2IILFH Harvey Borovetz, Chair Steven Abramowitch $OH[ $OPDU]D +RZDUG $L]HQVWHLQ *HUDUG $SRGDFD 0RKDPPDG $WDDL 6WHSKHQ %DG\ODN .\RQJ %DH &DUH\ %DODEDQ ,SVLWD %DQHUMHH Aaron Batista (OLD %HQLDVK )HUQDQGR %RDGD 0LFKDHO %RQLQJHU Harvey Borovetz 'DYLG %ULHQ]D -RKQQ\ %ULJKDP 'HY &KDNUDERUW\ RakiĂŠ Cham %ULDQ &KDSPDQ &RQVWDQFH &KX 'DQLHO &ROH *UHJRU\ &RRSHU 5RU\ &RRSHU 7LPRWK\ &RUFRUDQ Xinyan Tracy Cui Lance Davidson %ULGJHW 'HDV\ Richard Debski 'DQ 'LQJ 6KDZQ )DUURNKL William Federspiel 7KRPDV )ULEHUJ -RVHSK )XUPDQ 1HHUDM *DQGKL -|UJ *HUODFK 7KRPDV *LOEHUW 5REHUW *RLW] $QJHOD *URQHQERUQ 4LXKRQJ +H 'DYLG +RVWOHU -RKQQ\ +XDUG Tin-Kan Hung 7KHRGRUH +XSSHUW Tamer Ibrahim +LURVKL ,VKLNDZD /DZUHQFH .DJHPDQ 0DULQD .DPHQHYD -RKQ .HOOXP .DQJ .LP 6HRQJ *L .LP -XGLWK .OHLQ 6HHWKDUDPDQ Prashant Kumta &KDUOHV /D\PRQ 6DQIRUG /HXED

$''5(66 CNBIO CNBIO 6$/. 67(5/ 6&$,) %(1'0 %5,'* )$53 ((,16 %(1'0 BST3 6$/. 35(6% .$8 &1%,2 )572: %(1'0 9$/( BENDM 9$/( .$8 %(1'0 5$1*2 )572: 021) BST3 BST3 5$1*2 CNBIO )572: )572: BENDM ((,16 ((,16 ((,16 0*2:1 %5,'* .$8 %67 35(6% 352) 5$1*2 CNBIO 35(6% PRESB ((,16 ((,16 %5,'* 6&$,)( 6&$,) 0*2:1 %67 BENDM 35(6% +&&/%

312 409 4074 % 740 0 1: 5063 5059 405 1243 % 411 % B800 % 6 1249 % J

3+21( 412.624.4725 412.624.7924 412.383.5394 412.624.4725 412.624.7227 412.383.6672 412.383.5820 412.648.1638 412.383.9499 412.624.9896 412.647.9710 412.628.0223

)$; 412.383.8788 412.648.2001 412.383.9061 412.383.8788 412.383.8788 412.383.8788 412.383.5918 412.648.2001 412.383.9460 412.383.8788 412.647.9800

( 0$,/ $''5(66 borovetzhs@.upmc.edu sabram@engr.pitt.edu aalmarza@engr.pitt.edu aizen@pitt.edu gla6@pitt.edu ataai@engr.pitt.edu badylaks@upmc.edu baek@upmc.edu cbalaban@pitt.edu lpb1@pitt.edu abatista@engr.pitt.edu ebeniash@pitt.edu boadafe@upmc.edu boninger@pitt.edu borovetzhs@.upmc.edu dbrienza@pitt.edu brigham@pitt.edu dpc10@pitt.edu chamr@upmc.edu chapbe@pitt.edu chucr@upmc.edu dgcole@pitt.edu gmc8@pitt.edu rcooper@pitt.edu corcorante@upmc.edu xic11@pitt.edu ldavidson@engr.pitt.edu bmdst10@pitt.edu genesis1@pitt.edu dad5@pitt.edu farrokhi@pitt.edu federspielwj@upmc.edu fribergtr@upmc.edu furman@pitt.edu neg8@pitt.edu jgerlach@pitt.edu gilberttw@upmc.edu goitzrj@upmc.edu amg100@pitt.edu heg@upmc.edu hostlerdp@upmc.edu jhuard@pitt.edu tkhung@engr.pitt.edu huppertt@upmc.edu ti2@pitt.edu ishikawah@upmc.edu kagemannl@upmc.edu kamenevamv@upmc.edu kellumjja@ccm.upmc.edu Nangkim@pitt.edu kimsg@pitt.edu jks33@pitt.edu pkumta@pitt.edu laymoncm@upmc.edX leuba@pitt.edu

<RQJ 6WHYHQ <DQJ 0LFKDHO Patrick =KL +RQJ .DFH\ -DPHV 0DUN 3DPHOD 2XGHJD John -D\ 0LFKDHO %UXFH -LDQWDR Mark Partha $ODQ Michael -RVHSK $QGUHZ *HUDOG -RHO $QGUHZ &KDUOHV Sanjeev 5LFKDUG *ZHQGRO\Q 3DWULFN George 0LQJXL 6FRWW .LPLPDVD 5RFN\ 5REHUW (OL]DEHWK /LQGD -HIIUH\ <RUDP 'DYLG :LOOLDP -DPHV + & :HL Yadong -RQDWKDQ 'RXJODV $ODQ (ULN Savio L-Y -RDQQH 0LQKHH Henry ;XGRQJ %LQ /HPLQJ

/L /LWWOH /LX /RW]H Loughlin 0DR 0DUUD 0HQHJD]]L 0LOOHU 0RDOOL 0DUWLQ Patzer II 3HWWHJUHZ 3LQVN\ 3LWW 3X Redfern Roy 5XVVHOO Sacks 6DPRVN\ 6FKDHIHU 6FKDWWHQ 6FKXPDQ 6FKZDUW] 6IHLU Shroff 6LPSVRQ 6RZD 6SDUWR Stetten 6XQ 7DVKPDQ 7RELWD 7XDQ 7XUQHU 7\OHU .DEDUD 9DQ 5RRVPDOHQ 9LSSHUPDQ 9RGRYRW] 9RUS :DJQHU :DQJ :DQJ Wang :DWHUV :HEHU :HOOV :LHQHU Woo <HK <XQ Zeringue =KDQJ =KHQJ =KRX

5$1*2 %(1'0 +&&/% +/01& BENDM %(1'0 %67:5 352) %(1'0 0$*(( %67 CNBIO 33* 6&$,) )25%6 )$53 BENDM CNBIO %5,'* BSP II 352) %(1'0 0$*(( ((,16 0*2:1 6$/. CNBIO )572: .$8 )572: BENDM 35(6% 597&+ 5$1*2 .$8 %67 35(6% 567 %(1'0 %67:5 %5,'* %5,'* %67:5 .$8 CNBIO 0$*(( .$8 6&$,) +/01& CNBIO %67 %(1'0 BST3 &605 )$53 +656

* $ 745 : : 309 $ $ 323 308 327 307 739 % ( : ( 209 6 ( 405 5055

412.624.9685 412.624.9819 412.624.4771 412.624.7867 412.624.5302 412.624.2095 412.624.7762 412.624.4414 412.648.2000 412.383.5830

412.624.8003 412.383.9710 412.383.9601 412.383.8788 412.383.8788 412.383.8788 412.383.8788 412.648.2001 412.383.6944

yongli@pitt.edu srlittle@pitt.edu liuy@pitt.edu lotzemt@upmc.edu loughlin@pitt.edu maozh@engr.pitt.edu marrak@upmc.edu menegazz@pitt.edu mcmiller@wpahs.org pmoalli@mail.magee.edu moudega@pitt.edu patzer@pitt.edu pettegre@pitt.edu pinskymr@upmc.edu brucep@pitt.edu jip13@pitt.edu redfernms@.upmc.edu proy@engr.pitt.edu russellaj@upmc.edu msacks@engr.pitt.edu jsamosky@upmc.edu schaefer@ie.pitt.edu pdc@pdc.magee.edu schumanjs@upmc.edu abs21@pitt.edu csfeir@pitt.edu sshroff@pitt.edu ris20@pitt.edu gas26@pitt.edu psparto@pitt.edu stetten@engr.pitt.edu mrsun@neuronet.pitt.edu tashman@pitt.edu kimimasa.tobita@chp.edu tuanr@upmc.edu rturner@pitt.edu elizabeth.tyler-kabara@chp.edu lvanroos@pitt.edu jsv@pitt.edu vodovotzy@upmc.edu vorpda@upmc.edu wagnerwr@upmc.edu wanghc@pitt.edu wangw4@upmc.edu yaw20@pitt.edu watejhj@upmc.edu djw50@pitt.edu wellsa@msx.upmc.edu wienere@upmc.edu ddcenzo@pitt.edu jiyeh@pitt.edu yunmh@engr.pitt.edu zeringue@engr.pitt.edu zhangx2@upmc.edu zhengb@upmc.edu zhangx2@upmc.edu

1$0(

$''5(66

3+21( )$;

( 0$,/ $''5(66

&+(0,&$/ $1' 3(752/(80 (1*,1((5,1*

0DLQ 2IILFH - .DUO -RKQVRQ ,QWHULP &KDLU 0RKDPPDG 0 $WDDL $QQD & %DOD]V ,SVLWD 3 %DQHUMHH (ULF - %HFNPDQ 6KLDR +XQJ &KLDQJ -DPHV 7 &REE -U -XOLH G¶,WUL 5REHUW 0 (QLFN :LOOLDP )HGHUVSLHO 'L *DR - .DUO -RKQVRQ *HRUJH ( .OLQ]LQJ 3UDVKDQW .XPWD - 7KRPDV /LQGW 6WHYHQ 5 /LWWOH -RVHSK 0F&DUWK\ %DGLH 0RUVL -RKQ 0XUSK\ 5REHUW 6 3DUNHU -RKQ ) 3DW]HU $ODQ - 5XVVHOO -RKQ : 7LHUQH\ 6DFKLQ 9HODQNDU *|W] 9HVHU :LOOLDP 5 :DJQHU ,UYLQJ :HQGHU

%HQHGXP +DOO

%HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO ( %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO &DWKHGUDO RI /HDUQLQJ %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %5'* %HQHGXP +DOO &1%,2 %5'* %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %5'* %HQHGXP +DOO

DVWDUNH#SLWW HGX DWDDL#SLWW HGX EDOD]V#SLWW HGX LSE #SLWW HGX EHFNPDQ#SLWW HGX VKFKLDQJ#SLWW HGX V]KVW #SLWW HGX MGLWUL#SLWW HGX UPH#SLWW HGX IHGHUVSLHOZM#XSPF HGX GLJ #SLWW HGX NDUOM#SLWW HGX NOLQ]LQJ#SLWW HGX SNXPWD#SLWW HGX MWOLQGW#SLWW HGX VUOLWWOH#SLWW HGX MMPFF#SLWW HGX PRUVL#SLWW HGX MPXUSK\#SLWW HGX USDUNHU#SLWW HGX SDW]HU#SLWW HGX DUXVVHOO#SLWW HGX MZWD#SLWW HGX YHODQNDU#SLWW HGX JYHVHU#SLWW HGX ZDJQHUZU#XSPF HGX ZHQGHU#SLWW HGX

NAME

ADDRESS

PHONE

FAX

E-MAIL ADDRESS

CIVIL AND ENVIRONMENTAL ENGINEERING Main Office/ Radisav Vidic, Chair

950 Benedum Hall

(412) 624-9870

(412) 624-0135

vidic@pitt.edu

Jorge Abad Melissa Bilec John Brigham Daniel D. Budny Leonard W. Casson Willie Harper Kent A. Harries Anthony Iannacchione Amir Koubaa Amy Landis Xu Liang Jeen-Shang Lin Joseph Marriott Jason Monnell Ronald D. Neufeld John F. Oyler Rafael G. Quimpo Piervincenzo Rizzo Albert To Morteza Torkamani Luis E. Vallejo Julie M. Vandenbossche

943 Benedum Hall 218 F Benedum Hall 936 Benedum Hall 126 Benedum Hall 944 Benedum Hall 203 Benedum Hall 218 B Benedum Hall 1130 Benedum Hall 945 Benedum Hall 202 Benedum Hall 941 Benedum Hall 937 Benedum Hall 205 Benedum Hall 933 Benedum Hall 939 Benedum Hall 935 Benedum Hall 940 Benedum Hall 942 Benedum Hall 940 Benedum Hall 932 Benedum Hall 938 Benedum Hall 934 Benedum Hall

624-4399 648-8075 624-9047 624-6474 624-9868 624-9548 624-9873 624-8289 624-9869 624-3989 6249872 624-8158 648-2106 648-8608 624-9874 624-9871 624-9865 624-9575 624-2052 624-9881 624-9894 624-9879

624-0135 624-0135 624-0135 624-0135 624-0135 624-0135 624-0135 624-0135 624-0135 624-0135 624-0135 624-0135 624-0135 624-0135 624-0135 624-0135 624-0135 624-0135 624-0135 624-0135 624-0135 624-0135

jabad@pitt.edu mbilec@pitt.edu brigham@pitt.edu budny@pitt.edu casson@engr.pitt.edu wharper@pitt.edu harries@engr.pitt.edu ati2@pitt.edu akoubaa@engr.pitt.edu ael30@pitt.edu xuliang@engr.pitt.edu jslin@engr.pitt.edu marriott@pitt.edu jdm49@pitt.edu neufeld@engr.pitt.edu oyler@engr.pitt.edu quimpo@engr.pitt.edu prizzo@engr.pitt.edu albertto@pitt.edu torkmani@cis.pitt.edu vallejo@engr.pitt.edu jmv@engr.pitt.edu

1$0( $''5(66 3+21( )$; (/(&75,&$/ $1' &20387(5 (1*,1((5,1*

( 0$,/ $''5(66

0DLQ 2IILFH

%HQHGXP +DOO

:LOOLDP 6WDQFKLQD

%HQHGXP +DOO

ZHV #SLWW HGX

- 5REHUW %RVWRQ

%HQHGXP +DOO

EEQ#SLWW HGX

/XLV ) &KDSDUUR

%HQHGXP +DOO

OIFKSLWW HGX

3HQJ .HYLQ &KHQ

%HQHGXP +DOO

SHF #SLWW HGX

<LUDQ &KHQ

%HQHGXP +DOO

<LF #SLWW HGX

$PUR (O -DURXGL

%HQHGXP +DOO

DPUR#SLWW HGX

0DKPRXG (O 1RNDOL %HQHGXP +DOO

PHQ#SLWW HGX

-RHO )DON

%HQHGXP +DOO

IDON#SLWW HGX

5RQDOG +RHO]HPDQ

%HQHGXP +DOO

KRHO]HPD#SLWW HGX

6WHYHQ 3 -DFREV

%HQHGXP +DOO

VSM #SLWW HGX

$OH[ -RQHV

%HQHGXP +DOO

DNMRQHV#SLWW HGX

+RQJ .RR .LP

%HQHGXP +DOO

KNN#SLWW HGX

*HRUJH / .XVLF

%HQHGXP +DOO

JNXVLF#SLWW HGX

6WHYHQ 3 /HYLWDQ

F %HQHGXP +DOO

OHYLWDQ#SLWW HGX

&KLQJ &KXQJ /L

%HQHGXP +DOO

FFO#SLWW HGX

*XDQJ\RQJ /L

%HQHGXP +DOO

JXO #SLWW HGX

=KL +RQJ 0DR

%HQHGXP +DOO

]KP #SLWW HGX

5DPL 0HOKDP

6HQQRWW 6T

0DUOLQ 0LFNOH

%HQHGXP +DOO

PLFNOH#SLWW HGX

*UHJRU\ 5HHG

%HQHGXP +DOO

*IU #SLWW HGX

-XQ <DQJ

%HQHGXP +DOO

MX\ #SLWW HGX

0LQKHH <XQ

G %HQHGXP +DOO

0L\ #SLWW HGX

1$0(

$''5(66

3+21( )$;

( 0$,/

,1'8675,$/ (1*,1((5,1*

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

(PHULWXV )DFXOW\

PLQHUYDS# SLWW HGX ELGDQGD# SLWW HGX PEVDFUH# SLWW HGX NEXUVLF# SLWW HGX GLF# SLWW HGX MNKDURXI#SLWW HGX SOHX#SLWW HGX ORO #SLWW HGX OLVD PDLOODUW# SLWW HGX PPD]XPG# SLWW HGX EDQRUPDQ# SLWW HGX RDS#SLWW HGX UDMJRSDO# SLWW HGX GVDXUH#SLWW HGX VFKDHIHU#SLWW HGX UDYLVKP#SLWW HGX VKXPDQ# SLWW HGX QDY #SLWW HGX MYLHOPD#SLWW HGX KZROIH# SLWW HGX

1$0(

$''5(66 3+21( )$; ( 0$,/ $''5(66

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

%HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO * %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO ) %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO

PNFK\X#SLWW HGX MEDUQDUG#SLWW HGX VNFKR#SLWW HGX ZFODUN#SLWW HGX GJFROH#SLWW HGX GHDUGR#SLWW HGX OUI #SLWW HGX IXOD\#SLWW HGX JDOGL#SLWW HGX FLJDUFLD#SLWW HGX JLYL#SLWW HGX MOJ #SLWW HGX PMKXD#SLWW HGX PON #SLWW HGX EMO #SLWW HGX MXO #SLWW HGX V[P #SLWW HGX JKPHLHU#SLWW HGX PFPOOU#SLWW HGX QHWWOHV#SLWW HGX SHWWLWIV#SLWW HGX UEHUWVRQ#SLWW HGX ODV #SLWW HGX ZVV#SLWW HGX SDWVPRO#SLWW HGX MVY#SLWW HGX TLZ #SLWW HGX OPZ #SLWW HGX ZLH]RUHN#SLWW HGX VQQ #SLWW HGX UDZ #SLWW HGX M\DQJ#SLWW HGX

1$0( $'0,1,675$7,9( 2)),&(6 'HDQ¶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

$''5(66 %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO %HQHGXP +DOO

3+21(

)$;

( 0$,/ $''5(66 dnldson@pitt.edu mlasky@pitt.edu mredfern@pitt.edu Vchohn@pitt.edu snn2@pitt.edu jradocay@pitt.edu maw28@pitt.edu spj1@pitt.edu trs57@pitt.edu mkchyu@pitt.edu fpoadmin@engr.pitt.edu allen@pitt.edu saoe@ucis.pitt.edu spj1@pitt.edu trs57@pitt.edu mkchyu@pitt.edu

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|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

3+21(

)$;

( 0$,/ $''5(66 fpoadmin@engr.pitt.edu allen@pitt.edu deardo@pitt.edu borovetzhs@msx.upmc.edu mredfern@pitt.edu bidanda@pitt.edu

wiezorek@pitt.edu bidanda@pitt.edu karlj@pitt.edu slyw@pitt.edu

hkk@pitt.edu mickle@pitt.edu

jtc@pitt.edu mredfern@pitt.edu

beckman@pitt.edu gmk9@pitt.edu