Responses to auditory stimuli in macaque lateral intraparietal area

The lateral intraparietal area (LIP) of macaque posterior parietal cortex participates in the sensorimotor transformations underlying visually guided eye movements. Area LIP has long been considered unresponsive to auditory stimulation. However, recent studies have shown that neurons in LIP respond to auditory stimuli during an auditory-saccade task, suggesting possible involvement of this area in auditory-to-oculomotor as well as visual-to-oculomotor processing. This dissertation describes investigations which clarify the role of area LIP in auditory-to-oculomotor processing.

Extracellular recordings were obtained from a total of 332 LIP neurons in two macaque monkeys, while the animals performed fixation and saccade tasks involving auditory and visual stimuli. No auditory activity was observed in area LIP before animals were trained to make saccades to auditory stimuli, but responses to auditory stimuli did emerge after auditory-saccade training. Auditory responses in area LIP after auditory-saccade training were significantly stronger in the context of an auditory-saccade task than in the context of a fixation task. Compared to visual responses, auditory responses were also significantly more predictive of movement-related activity in the saccade task. Moreover, while visual responses often had a fast transient component, responses to auditory stimuli in area LIP tended to be gradual in onset and relatively prolonged in duration.

Overall, the analyses demonstrate that responses to auditory stimuli in area LIP are dependent on auditory-saccade training, modulated by behavioral context, and characterized by slow-onset, sustained response profiles. These findings suggest that responses to auditory stimuli are best interpreted as supramodal (cognitive or motor) responses, rather than as modality-specific sensory responses. Auditory responses in area LIP seem to reflect the significance of auditory stimuli as potential targets for eye movements, and may differ from most visual responses in the extent to which they arc abstracted from the sensory parameters of the stimulus.

Macaque lateral intraparietal area and oculomotor behaviors

Neurons in the primate lateral intraparietal area (area LIP) carry visual, saccade-related and eye position activities. The visual and saccade activities are anchored in a retinotopic framework and the overall response magnitude is modulated by eye position. It was proposed that the modulation by eye position might be the basis of a distributed coding of target locations in a head-centered space. Other recording studies demonstrated that area LIP is involved in oculomotor planning. These results overall suggest that area LIP transforms sensory information for motor functions. In this thesis I further explore the role of area LIP in processing saccadic eye movements by observing the effects of reversible inactivation of this area. Macaque monkeys were trained to do visually guided and memory saccades and a double saccade task to examine the use of eye position signal. Finally, by intermixing visual saccades with trials in which two targets were presented at opposite sides of the fixation point, I examined the behavior of visual extinction.

In chapter 2, I will show that lesion of area LIP results in increased latency of contralesional visual and memory saccades. Contralesional memory saccades are also hypometric and slower in velocity. Moreover, the impairment of memory saccades does not vary with the duration of the delay period. This suggests that the oculomotor deficits observed after inactivation of area LIP is not due to the disruption of spatial memory.

In chapter 3, I will show that lesion of area LIP does not severely affect the processing of spontaneous eye movement. However, the monkeys made fewer contralesional saccades and tended to confine their gaze to the ipsilesional field after inactivation of area LIP. On the other hand, lesion of area LIP results in extinction of the contralesional stimulus. When the initial fixation position was varied so that the retinal and spatial locations of the targets could be dissociated, it was found that the extinction behavior could best be described in a head-centered coordinate.

In chapter 4, I will show that inactivation of area LIP disrupts the use of eye position signal to compute the second movement correctly in the double saccade task. If the first saccade steps into the contralesional field, the error rate and latency of the second saccade are both increased. Furthermore, the direction of the first eye movement largely does not have any effect on the impairment of the second saccade. I will argue that this study provides important evidence that the extraretinal signal used for saccadic localization is eye position rather than a displacement vector.

In chapter 5, I will demonstrate that in parietal monkeys the eye drifts toward the lesion side at the end of the memory saccade in darkness. This result suggests that the eye position activity in the posterior parietal cortex is active in nature and subserves gaze holding.

Overall, these results further support the view that area LIP neurons encode spatial locations in a craniotopic framework and is involved in processing voluntary eye movements.

Response of multiple simultaneously recorded macaque area LIP neurons in a memory saccade task

Cells in the lateral intraparietal cortex (LIP) of rhesus macaques respond vigorously and in spatially-tuned fashion to briefly memorized visual stimuli. Responses to stimulus presentation, memory maintenance, and task completion are seen, in varying combination from neuron to neuron. To help elucidate this functional segmentation a new system for simultaneous recording from multiple neighboring neurons was developed. The two parts of this dissertation discuss the technical achievements and scientific discoveries, respectively.

Technology. Simultanous recordings from multiple neighboring neurons were made with four-wire bundle electrodes, or tetrodes, which were adapted to the awake behaving primate preparation. Signals from these electrodes were partitionable into a background process with a 1/f-like spectrum and foreground spiking activity spanning 300-6000 Hz. Continuous voltage recordings were sorted into spike trains using a state-of-the-art clustering algorithm, producing a mean of 3 cells per site. The algorithm classified 96% of spikes correctly when tetrode recordings were confirmed with simultaneous intracellular signals. Recording locations were verified with a new technique that creates electrolytic lesions visible in magnetic resonance imaging, eliminating the need for histological processing. In anticipation of future multi-tetrode work, the chronic chamber microdrive, a device for long-term tetrode delivery, was developed.

Science. Simultaneously recorded neighboring LIP neurons were found to have similar preferred targets in the memory saccade paradigm, but dissimilar peristimulus time histograms, PSTH). A majority of neighboring cell pairs had a difference in preferred directions of under 45° while the trial time of maximal response showed a broader distribution, suggesting homogeneity of tuning with het erogeneity of function. A continuum of response characteristics was present, rather than a set of specific response types; however, a mapping experiment suggests this may be because a given cell's PSTH changes shape as well as amplitude through the response field. Spike train autocovariance was tuned over target and changed through trial epoch, suggesting different mechanisms during memory versus background periods. Mean frequency-domain spike-to-spike coherence was concentrated below 50 Hz with a significant maximum of 0.08; mean time-domain coherence had a narrow peak in the range ±10 ms with a significant maximum of 0.03. Time-domain coherence was found to be untuned for short lags (10 ms), but significantly tuned at larger lags (50 ms).

Analysis of temporal structure in spike trains of visual cortical area MT

The temporal structure of neuronal spike trains in the visual cortex can provide detailed information about the stimulus and about the neuronal implementation of visual processing. Spike trains recorded from the macaque motion area MT in previous studies (Newsome et al., 1989a; Britten et al., 1992; Zohary et al., 1994) are analyzed here in the context of the dynamic random dot stimulus which was used to evoke them. If the stimulus is incoherent, the spike trains can be highly modulated and precisely locked in time to the stimulus. In contrast, the coherent motion stimulus creates little or no temporal modulation and allows us to study patterns in the spike train that may be intrinsic to the cortical circuitry in area MT. Long gaps in the spike train evoked by the preferred direction motion stimulus are found, and they appear to be symmetrical to bursts in the response to the anti-preferred direction of motion. A novel cross-correlation technique is used to establish that the gaps are correlated between pairs of neurons. Temporal modulation is also found in psychophysical experiments using a modified stimulus. A model is made that can account for the temporal modulation in terms of the computational theory of biological image motion processing. A frequency domain analysis of the stimulus reveals that it contains a repeated power spectrum that may account for psychophysical and electrophysiological observations.

Some neurons tend to fire bursts of action potentials while others avoid burst firing. Using numerical and analytical models of spike trains as Poisson processes with the addition of refractory periods and bursting, we are able to account for peaks in the power spectrum near 40 Hz without assuming the existence of an underlying oscillatory signal. A preliminary examination of the local field potential reveals that stimulus-locked oscillation appears briefly at the beginning of the trial.

I. Rigid body penetration into brittle materials. II. Phase change effect on shock wave propagation

Part I.

We have developed a technique for measuring the depth time history of rigid body penetration into brittle materials (hard rocks and concretes) under a deceleration of ~ 10⁵ g. The technique includes bar-coded projectile, sabot-projectile separation, detection and recording systems. Because the technique can give very dense data on penetration depth time history, penetration velocity can be deduced. Error analysis shows that the technique has a small intrinsic error of ~ 3-4 % in time during penetration, and 0.3 to 0.7 mm in penetration depth. A series of 4140 steel projectile penetration into G-mixture mortar targets have been conducted using the Caltech 40 mm gas/ powder gun in the velocity range of 100 to 500 m/s.

We report, for the first time, the whole depth-time history of rigid body penetration into brittle materials (the G-mixture mortar) under 10⁵ g deceleration. Based on the experimental results, including penetration depth time history, damage of recovered target and projectile materials and theoretical analysis, we find:

1. Target materials are damaged via compacting in the region in front of a projectile and via brittle radial and lateral crack propagation in the region surrounding the penetration path. The results suggest that expected cracks in front of penetrators may be stopped by a comminuted region that is induced by wave propagation. Aggregate erosion on the projectile lateral surface is < 20% of the final penetration depth. This result suggests that the effect of lateral friction on the penetration process can be ignored.

2. Final penetration depth, P_max, is linearly scaled with initial projectile energy per unit cross-section area, e_s , when targets are intact after impact. Based on the experimental data on the mortar targets, the relation is P_max(mm) 1.15e_s (J/mm² ) + 16.39.

3. Estimation of the energy needed to create an unit penetration volume suggests that the average pressure acting on the target material during penetration is ~ 10 to 20 times higher than the unconfined strength of target materials under quasi-static loading, and 3 to 4 times higher than the possible highest pressure due to friction and material strength and its rate dependence. In addition, the experimental data show that the interaction between cracks and the target free surface significantly affects the penetration process.

4. Based on the fact that the penetration duration, t_max, increases slowly with e_s and does not depend on projectile radius approximately, the dependence of t_max on projectile length is suggested to be described by t_max(μs) = 2.08e_s (J/mm² + 349.0 x m/(πR²), in which m is the projectile mass in grams and R is the projectile radius in mm. The prediction from this relation is in reasonable agreement with the experimental data for different projectile lengths.

5. Deduced penetration velocity time histories suggest that whole penetration history is divided into three stages: (1) An initial stage in which the projectile velocity change is small due to very small contact area between the projectile and target materials; (2) A steady penetration stage in which projectile velocity continues to decrease smoothly; (3) A penetration stop stage in which projectile deceleration jumps up when velocities are close to a critical value of ~ 35 m/s.

6. Deduced averaged deceleration, a, in the steady penetration stage for projectiles with same dimensions is found to be a(g) = 192.4v + 1.89 x 10⁴, where v is initial projectile velocity in m/s. The average pressure acting on target materials during penetration is estimated to be very comparable to shock wave pressure.

7. A similarity of penetration process is found to be described by a relation between normalized penetration depth, P/P_max, and normalized penetration time, t/t_max, as P/P_max = f(t/t_max, where f is a function of t/t_max. After f(t/t_max is determined using experimental data for projectiles with 150 mm length, the penetration depth time history for projectiles with 100 mm length predicted by this relation is in good agreement with experimental data. This similarity also predicts that average deceleration increases with decreasing projectile length, that is verified by the experimental data.

8. Based on the penetration process analysis and the present data, a first principle model for rigid body penetration is suggested. The model incorporates the models for contact area between projectile and target materials, friction coefficient, penetration stop criterion, and normal stress on the projectile surface. The most important assumptions used in the model are: (1) The penetration process can be treated as a series of impact events, therefore, pressure normal to projectile surface is estimated using the Hugoniot relation of target material; (2) The necessary condition for penetration is that the pressure acting on target materials is not lower than the Hugoniot elastic limit; (3) The friction force on projectile lateral surface can be ignored due to cavitation during penetration. All the parameters involved in the model are determined based on independent experimental data. The penetration depth time histories predicted from the model are in good agreement with the experimental data.

9. Based on planar impact and previous quasi-static experimental data, the strain rate dependence of the mortar compressive strength is described by σ_f/σ⁰_f = exp(0.0905(log(έ/έ_0) ^1.14, in the strain rate range of 10^-7/s to 10³/s (σ⁰_f and έ are reference compressive strength and strain rate, respectively). The non-dispersive Hugoniot elastic wave in the G-mixture has an amplitude of ~ 0.14 GPa and a velocity of ~ 4.3 km/s.

Part II.

Stress wave profiles in vitreous GeO₂ were measured using piezoresistance gauges in the pressure range of 5 to 18 GPa under planar plate and spherical projectile impact. Experimental data show that the response of vitreous GeO₂ to planar shock loading can be divided into three stages: (1) A ramp elastic precursor has peak amplitude of 4 GPa and peak particle velocity of 333 m/s. Wave velocity decreases from initial longitudinal elastic wave velocity of 3.5 km/s to 2.9 km/s at 4 GPa; (2) A ramp wave with amplitude of 2.11 GPa follows the precursor when peak loading pressure is 8.4 GPa. Wave velocity drops to the value below bulk wave velocity in this stage; (3) A shock wave achieving final shock state forms when peak pressure is > 6 GPa. The Hugoniot relation is D = 0.917 + 1.711u (km/s) using present data and the data of Jackson and Ahrens [1979] when shock wave pressure is between 6 and 40 GPa for ρ₀ = 3.655 gj cm³ . Based on the present data, the phase change from 4-fold to 6-fold coordination of Ge⁺⁴ with O^-2 in vitreous GeO₂ occurs in the pressure range of 4 to 15 ± 1 GPa under planar shock loading. Comparison of the shock loading data for fused SiO₂ to that on vitreous GeO₂ demonstrates that transformation to the rutile structure in both media are similar. The Hugoniots of vitreous GeO₂ and fused SiO₂ are found to coincide approximately if pressure in fused SiO₂ is scaled by the ratio of fused SiO₂to vitreous GeO₂ density. This result, as well as the same structure, provides the basis for considering vitreous Ge0₂ as an analogous material to fused SiO₂ under shock loading. Experimental results from the spherical projectile impact demonstrate: (1) The supported elastic shock in fused SiO₂ decays less rapidly than a linear elastic wave when elastic wave stress amplitude is higher than 4 GPa. The supported elastic shock in vitreous GeO₂ decays faster than a linear elastic wave; (2) In vitreous GeO₂ , unsupported shock waves decays with peak pressure in the phase transition range (4-15 GPa) with propagation distance, x, as α 1/x^-3.35 , close to the prediction of Chen et al. [1998]. Based on a simple analysis on spherical wave propagation, we find that the different decay rates of a spherical elastic wave in fused SiO₂ and vitreous GeO₂ is predictable on the base of the compressibility variation with stress under one-dimensional strain condition in the two materials.

Seismic structure above and below the core-mantle boundary

Seismic structure above and below the core-mantle boundary (CMB) has been studied through use of travel time and waveform analyses of several different seismic wave groups. Anomalous systematic trends in observables document mantle heterogeneity on both large and small scales. Analog and digital data has been utilized, and in many cases the analog data has been optically scanned and digitized prior to analysis.

Differential travel times of S - SKS are shown to be an excellent diagnostic of anomalous lower mantle shear velocity (V s) structure. Wavepath geometries beneath the central Pacific exhibit large S- SKS travel time residuals (up to 10 sec), and are consistent with a large scale 0(1000 km) slower than average V_s region (≥3%). S - SKS times for paths traversing this region exhibit smaller scale patterns and trends 0(100 km) indicating V_s perturbations on many scale lengths. These times are compared to predictions of three tomographically derived aspherical models: MDLSH of Tanimoto [1990], model SH12_WM13 of Suet al. [1992], and model SH.10c.17 of Masters et al. [1992]. Qualitative agreement between the tomographic model predictions and observations is encouraging, varying from fair to good. However, inconsistencies are present and suggest anomalies in the lower mantle of scale length smaller than the present 2000+ km scale resolution of tomographic models. 2-D wave propagation experiments show the importance of inhomogeneous raypaths when considering lateral heterogeneities in the lowermost mantle.

A dataset of waveforms and differential travel times of S, ScS, and the arrival from the D" layer, Scd, provides evidence for a laterally varying V_s velocity discontinuity at the base of the mantle. Two different localized D" regions beneath the central Pacific have been investigated. Predictions from a model having a V_s discontinuity 180 km above the CMB agree well with observations for an eastern mid-Pacific CMB region. This thickness differs from V_s discontinuity thicknesses found in other regions, such as a localized region beneath the western Pacific, which average near 280 km. The "sharpness" of the V_s jump at the top of D", i.e., the depth range over which the V_s increase occurs, is not resolved by our data, and our data can in fact may be modeled equally well by a lower mantle with the increase in V_s at the top of D" occurring over a 100 krn depth range. It is difficult at present to correlate D" thicknesses from this study to overall lower mantle heterogeneity, due to uncertainties in the 3-D models, as well as poor coverage in maps of D" discontinuity thicknesses.

P-wave velocity structure (V_p) at the base of the mantle is explored using the seismic phases SKS and SPdKS. SPdKS is formed when SKS waves at distances around 107° are incident upon the CMB with a slowness that allows for coupling with diffracted P-waves at the base of the mantle. The P-wave diffraction occurs at both the SKS entrance and exit locations of the outer core. SP_dKS arrives slightly later in time than SKS, having a wave path through the mantle and core very close to SKS. The difference time between SKS and SP_dKS strongly depends on V_p at the base of the mantle near SK Score entrance and exit points. Observations from deep focus Fiji-Tonga events recorded by North American stations, and South American events recorded by European and Eurasian stations exhibit anomalously large SP_dKS - SKS difference times. SKS and the later arriving SP_dKS phase are separated by several seconds more than predictions made by 1-D reference models, such as the global average PREM [Dziewonski and Anderson, 1981] model. Models having a pronounced low-velocity zone (5%) in V_p in the bottom 50-100 km of the mantle predict the size of the observed SP_dK S-SKS anomalies. Raypath perturbations from lower mantle V_s structure may also be contributing to the observed anomalies.

Outer core structure is investigated using the family of SmKS (m=2,3,4) seismic waves. SmKS are waves that travel as S-waves in the mantle, P-waves in the core, and reflect (m-1) times on the underside of the CMB, and are well-suited for constraining outermost core V_p structure. This is due to closeness of the mantle paths and also the shallow depth range these waves travel in the outermost core. S3KS - S2KS and S4KS - S3KS differential travel times were measured using the cross-correlation method and compared to those from reflectivity synthetics created from core models of past studies. High quality recordings from a deep focus Java Sea event which sample the outer core beneath the northern Pacific, the Arctic, and northwestern North America (spanning 1/8th of the core's surface area), have SmKS wavepaths that traverse regions where lower mantle heterogeneity is pre- dieted small, and are well-modeled by the PREM core model, with possibly a small V_p decrease (1.5%) in the outermost 50 km of the core. Such a reduction implies chemical stratification in this 50 km zone, though this model feature is not uniquely resolved. Data having wave paths through areas of known D" heterogeneity (±2% and greater), such as the source-side of SmKS lower mantle paths from Fiji-Tonga to Eurasia and Africa, exhibit systematic SmKS differential time anomalies of up to several seconds. 2-D wave propagation experiments demonstrate how large scale lower mantle velocity perturbations can explain long wavelength behavior of such anomalous SmKS times. When improperly accounted for, lower mantle heterogeneity maps directly into core structure. Raypaths departing from homogeneity play an important role in producing SmKS anomalies. The existence of outermost core heterogeneity is difficult to resolve at present due to uncertainties in global lower mantle structure. Resolving a one-dimensional chemically stratified outermost core also remains difficult due to the same uncertainties. Restricting study to higher multiples of SmKS (m=2,3,4) can help reduce the affect of mantle heterogeneity due to the closeness of the mantle legs of the wavepaths. SmKS waves are ideal in providing additional information on the details of lower mantle heterogeneity.

Characterization of the neural mechanisms supporting the implementation of cognitive control in human decision making

Humans are particularly adept at modifying their behavior in accordance with changing environmental demands. Through various mechanisms of cognitive control, individuals are able to tailor actions to fit complex short- and long-term goals. The research described in this thesis uses functional magnetic resonance imaging to characterize the neural correlates of cognitive control at two levels of complexity: response inhibition and self-control in intertemporal choice. First, we examined changes in neural response associated with increased experience and skill in response inhibition; successful response inhibition was associated with decreased neural response over time in the right ventrolateral prefrontal cortex, a region widely implicated in cognitive control, providing evidence for increased neural efficiency with learned automaticity. We also examined a more abstract form of cognitive control using intertemporal choice. In two experiments, we identified putative neural substrates for individual differences in temporal discounting, or the tendency to prefer immediate to delayed rewards. Using dynamic causal models, we characterized the neural circuit between ventromedial prefrontal cortex, an area involved in valuation, and dorsolateral prefrontal cortex, a region implicated in self-control in intertemporal and dietary choice, and found that connectivity from dorsolateral prefrontal cortex to ventromedial prefrontal cortex increases at the time of choice, particularly when delayed rewards are chosen. Moreover, estimates of the strength of connectivity predicted out-of-sample individual rates of temporal discounting, suggesting a neurocomputational mechanism for variation in the ability to delay gratification. Next, we interrogated the hypothesis that individual differences in temporal discounting are in part explained by the ability to imagine future reward outcomes. Using a novel paradigm, we imaged neural response during the imagining of primary rewards, and identified negative correlations between activity in regions associated the processing of both real and imagined rewards (lateral orbitofrontal cortex and ventromedial prefrontal cortex, respectively) and the individual temporal discounting parameters estimated in the previous experiment. These data suggest that individuals who are better able to represent reward outcomes neurally are less susceptible to temporal discounting. Together, these findings provide further insight into role of the prefrontal cortex in implementing cognitive control, and propose neurobiological substrates for individual variation.

Experimental and theoretical studies of Notch signaling-mediated spatial pattern

Notch signaling acts in many diverse developmental spatial patterning processes. To better understand why this particular pathway is employed where it is and how downstream feedbacks interact with the signaling system to drive patterning, we have pursued three aims: (i) to quantitatively measure the Notch system's signal input/output (I/O) relationship in cell culture, (ii) to use the quantitative I/O relationship to computationally predict patterning outcomes of downstream feedbacks, and (iii) to reconstitute a Notch-mediated lateral induction feedback (in which Notch signaling upregulates the expression of Delta) in cell culture. The quantitative Notch I/O relationship revealed that in addition to the trans-activation between Notch and Delta on neighboring cells there is also a strong, mutual cis-inactivation between Notch and Delta on the same cell. This feature tends to amplify small differences between cells. Incorporating our improved understanding of the signaling system into simulations of different types of downstream feedbacks and boundary conditions lent us several insights into their function. The Notch system converts a shallow gradient of Delta expression into a sharp band of Notch signaling without any sort of feedback at all, in a system motivated by the Drosophila wing vein. It also improves the robustness of lateral inhibition patterning, where signal downregulates ligand expression, by removing the requirement for explicit cooperativity in the feedback and permitting an exceptionally simple mechanism for the pattern. When coupled to a downstream lateral induction feedback, the Notch system supports the propagation of a signaling front across a tissue to convert a large area from one state to another with only a local source of initial stimulation. It is also capable of converting a slowly-varying gradient in parameters into a sharp delineation between high- and low-ligand populations of cells, a pattern reminiscent of smooth muscle specification around artery walls. Finally, by implementing a version of the lateral induction feedback architecture modified with the addition of an autoregulatory positive feedback loop, we were able to generate cells that produce enough cis ligand when stimulated by trans ligand to themselves transmit signal to neighboring cells, which is the hallmark of lateral induction.

Part I. A study of the velocity structure of the earth by the use of core phases. Part II. The 1971 San Fernando earthquake series focal mechanisms and tectonics

The initial objective of Part I was to determine the nature of upper mantle discontinuities, the average velocities through the mantle, and differences between mantle structure under continents and oceans by the use of P'dP', the seismic core phase P'P' (PKPPKP) that reflects at depth d in the mantle. In order to accomplish this, it was found necessary to also investigate core phases themselves and their inferences on core structure. P'dP' at both single stations and at the LASA array in Montana indicates that the following zones are candidates for discontinuities with varying degrees of confidence: 800-950 km, weak; 630-670 km, strongest; 500-600 km, strong but interpretation in doubt; 350-415 km, fair; 280-300 km, strong, varying in depth; 100-200 km, strong, varying in depth, may be the bottom of the low-velocity zone. It is estimated that a single station cannot easily discriminate between asymmetric P'P' and P'dP' for lead times of about 30 sec from the main P'P' phase, but the LASA array reduces this uncertainty range to less than 10 sec. The problems of scatter of P'P' main-phase times, mainly due to asymmetric P'P', incorrect identification of the branch, and lack of the proper velocity structure at the velocity point, are avoided and the analysis shows that one-way travel of P waves through oceanic mantle is delayed by 0.65 to 0.95 sec relative to United States mid-continental mantle.

A new P-wave velocity core model is constructed from observed times, dt/dΔ's, and relative amplitudes of P'; the observed times of SKS, SKKS, and PKiKP; and a new mantle-velocity determination by Jordan and Anderson. The new core model is smooth except for a discontinuity at the inner-core boundary determined to be at a radius of 1215 km. Short-period amplitude data do not require the inner core Q to be significantly lower than that of the outer core. Several lines of evidence show that most, if not all, of the arrivals preceding the DF branch of P' at distances shorter than 143° are due to scattering as proposed by Haddon and not due to spherically symmetric discontinuities just above the inner core as previously believed. Calculation of the travel-time distribution of scattered phases and comparison with published data show that the strongest scattering takes place at or near the core-mantle boundary close to the seismic station.

In Part II, the largest events in the San Fernando earthquake series, initiated by the main shock at 14 00 41.8 GMT on February 9, 1971, were chosen for analysis from the first three months of activity, 87 events in all. The initial rupture location coincides with the lower, northernmost edge of the main north-dipping thrust fault and the aftershock distribution. The best focal mechanism fit to the main shock P-wave first motions constrains the fault plane parameters to: strike, N 67° (± 6°) W; dip, 52° (± 3°) NE; rake, 72° (67°-95°) left lateral. Focal mechanisms of the aftershocks clearly outline a downstep of the western edge of the main thrust fault surface along a northeast-trending flexure. Faulting on this downstep is left-lateral strike-slip and dominates the strain release of the aftershock series, which indicates that the downstep limited the main event rupture on the west. The main thrust fault surface dips at about 35° to the northeast at shallow depths and probably steepens to 50° below a depth of 8 km. This steep dip at depth is a characteristic of other thrust faults in the Transverse Ranges and indicates the presence at depth of laterally-varying vertical forces that are probably due to buckling or overriding that causes some upward redirection of a dominant north-south horizontal compression. Two sets of events exhibit normal dip-slip motion with shallow hypocenters and correlate with areas of ground subsidence deduced from gravity data. Several lines of evidence indicate that a horizontal compressional stress in a north or north-northwest direction was added to the stresses in the aftershock area 12 days after the main shock. After this change, events were contained in bursts along the downstep and sequencing within the bursts provides evidence for an earthquake-triggering phenomenon that propagates with speeds of 5 to 15 km/day. Seismicity before the San Fernando series and the mapped structure of the area suggest that the downstep of the main fault surface is not a localized discontinuity but is part of a zone of weakness extending from Point Dume, near Malibu, to Palmdale on the San Andreas fault. This zone is interpreted as a decoupling boundary between crustal blocks that permits them to deform separately in the prevalent crustal-shortening mode of the Transverse Ranges region.

The structure and petrology of the Johnny Lyon Hills area, Cochise County, Arizona

The Johnny Lyon Hills area is located in Cochise County in southeastern Arizona. The rocks of the area include a central core of Lower pre-Cambrian igneous and metamorphic rocks surrounded by a complexly faulted and tilted section of Upper pre-Cambrian and Paleozoic strata. Limited exposures of Mesozoic and Tertiary sedimentary and volcanic rocks are present at the north end of the map area. Late Tertiary and Quaternary alluvium almost completely surrounds and overlaps upon the older rocks.

The older pre-Cambrian rocks include a section of more than 9000 feet of generally moderately metamorphosed graywackes, slates and conglomerates of the Pinal schist injected in zones by somewhat younger rnyolite sheets. The original sediments were deposited in a geosyncline whose extent probably included large parts of Arizona, New Mexico and west Texas. During the Mazatzal Revolution the Pinal schist was deformed into northeast-trending, steeply dipping and plunging structures and the entire local section was overturned steeply toward the northwest. The pre-Cambrian Johnny Lyon granodiorite was emplaced as a large epi-tectonic pluton which modified the metamorphic character of part of the Pinal schist. Larsen method determinations indicate an age of about 715 million years for this rock, which is about the minimum age compatible with the geologic relations.

The Laramide orogeny produced numerous major thrust faults in the area involving all rocks older than and including the Lower Cretaceous Bisbee group. Major compression from the southwest and subsequent superimposed thrusting from the southeast and east are indicated. Minimum thrust displacements of more than a mile are clear and the probable displacements are of much greater magnitude. The crystalline core behaved as a single structural unit and probably caused important local divergences from the regional pattern of northeast-trending compressive forces. The massif was rotated as a unit 40 degrees or more about a northwest-trending axis overturning the pre-Cambrian fold axes in the Pinal schist.

Swarms of Late Cretaceous(?) or Early Tertiary(?) lamprophyric dikes cross the Laramide structures and are probably related to the large Texas Canyon stock several miles southeast of the map area. Intermittent high angle faulting, both older and younger than the dikes, has continued since the Laramide orogeny and has been superimposed on the older structures. This steep faulting combined with the fundamental northwesterly Laramide structural grain to produce the northwesterly trends characteristic of the mountain ridges and valleys of the area.

A retrofitting framework for pre-Northridge steel moment-frame buildings

In the 1994 M_w 6.7 Northridge and 1995 M_w 6.9 Kobe earthquakes, steel moment-frame buildings were exposed to an unexpected flaw. The commonly utilized welded unreinforced flange, bolted web connections were observed to experience brittle fractures in a number of buildings, even at low levels of seismic demand. A majority of these buildings have not been retrofitted and may be susceptible to structural collapse in a major earthquake.

This dissertation presents a case study of retrofitting a 20-story pre-Northridge steel moment-frame building. Twelve retrofit schemes are developed that present some range in degree of intervention. Three retrofitting techniques are considered: upgrading the brittle beam-to-column moment resisting connections, and implementing either conventional or buckling-restrained brace elements within the existing moment-frame bays. The retrofit schemes include some that are designed to the basic safety objective of ASCE-41 Seismic Rehabilitation of Existing Buildings.

Detailed finite element models of the base line building and the retrofit schemes are constructed. The models include considerations of brittle beam-to-column moment resisting connection fractures, column splice fractures, column baseplate fractures, accidental contributions from ``simple'' non-moment resisting beam-to-column connections to the lateral force-resisting system, and composite actions of beams with the overlying floor system. In addition, foundation interaction is included through nonlinear translational springs underneath basement columns.

To investigate the effectiveness of the retrofit schemes, the building models are analyzed under ground motions from three large magnitude simulated earthquakes that cause intense shaking in the greater Los Angeles metropolitan area, and under recorded ground motions from actual earthquakes. It is found that retrofit schemes that convert the existing moment-frames into braced-frames by implementing either conventional or buckling-restrained braces are effective in limiting structural damage and mitigating structural collapse. In the three simulated earthquakes, a 20% chance of simulated collapse is realized at PGV of around 0.6 m/s for the base line model, but at PGV of around 1.8 m/s for some of the retrofit schemes. However, conventional braces are observed to deteriorate rapidly. Hence, if a braced-frame that employs conventional braces survives a large earthquake, it is questionable how much service the braces provide in potential aftershocks.

I. A seismotectonic study of the Middle America Subduction Zone. II. Lithosphere and upper mantle structure of the Canadian Shield and Eastern North America

This thesis consists of two separate parts. Part I (Chapter 1) is concerned with seismotectonics of the Middle America subduction zone. In this chapter, stress distribution and Benioff zone geometry are investigated along almost 2000 km of this subduction zone, from the Rivera Fracture Zone in the north to Guatemala in the south. Particular emphasis is placed on the effects on stress distribution of two aseismic ridges, the Tehuantepec Ridge and the Orozco Fracture Zone, which subduct at seismic gaps. Stress distribution is determined by studying seismicity distribution, and by analysis of 190 focal mechanisms, both new and previously published, which are collected here. In addition, two recent large earthquakes that have occurred near the Tehuantepec Ridge and the Orozco Fracture Zone are discussed in more detail. A consistent stress release pattern is found along most of the Middle America subduction zone: thrust events at shallow depths, followed down-dip by an area of low seismic activity, followed by a zone of normal events at over 175 km from the trench and 60 km depth. The zone of low activity is interpreted as showing decoupling of the plates, and the zone of normal activity as showing the breakup of the descending plate. The portion of subducted lithosphere containing the Orozco Fracture Zone does not differ significantly, in Benioff zone geometry or in stress distribution, from adjoining segments. The Playa Azul earthquake of October 25, 1981, M_s=7.3, occurred in this area. Body and surface wave analysis of this event shows a simple source with a shallow thrust mechanism and gives M_o=1.3x10²⁷ dyne-cm. A stress drop of about 45 bars is calculated; this is slightly higher than that of other thrust events in this subduction zone. In the Tehuantepec Ridge area, only minor differences in stress distribution are seen relative to adjoining segments. For both ridges, the only major difference from adjoining areas is the infrequency or lack of occurrence of large interplate thrust events.

Part II involves upper mantle P wave structure studies, for the Canadian shield and eastern North America. In Chapter 2, the P wave structure of the Canadian shield is determined through forward waveform modeling of the phases P_nl, P, and PP. Effects of lateral heterogeneity are kept to a minimum by using earthquakes just outside the shield as sources, with propagation paths largely within the shield. Previous mantle structure studies have used recordings of P waves in the upper mantle triplication range of 15-30°; however, the lack of large earthquakes in the shield region makes compilation of a complete P wave dataset difficult. By using the phase PP, which undergoes triplications at 30-60°, much more information becomes available. The WKBJ technique is used to calculate synthetic seismograms for PP, and these records are modeled almost as well as the P. A new velocity model, designated S25, is proposed for the Canadian shield. This model contains a thick, high-Q, high-velocity lid to 165 km and a deep low-velocity zone. These features combine to produce seismograms that are markedly different from those generated by other shield structure models. The upper mantle discontinuities in S25 are placed at 405 and 660 km, with a simple linear gradient in velocity between them. Details of the shape of the discontinuities are not well constrained. Below 405 km, this model is not very different from many proposed P wave models for both shield and tectonic regions.

Chapter 3 looks in more detail at recordings of P_nl in eastern North America. First, seismograms from four eastern North American earthquakes are analyzed, and seismic moments for the events are calculated. These earthquakes are important in that they are among the largest to have occurred in eastern North America in the last thirty years, yet in some cases were not large enough to produce many good long-period teleseismic records. A simple layer-over-a-halfspace model is used for the initial modeling, and is found to provide an excellent fit for many features of the observed waveforms. The effects on P_nl of varying lid structure are then investigated. A thick lid with a positive gradient in velocity, such as that proposed for the Canadian shield in Chapter 2, will have a pronounced effect on the waveforms, beginning at distances of 800 or 900 km. P_nl records from the same eastern North American events are recalculated for several lid structure models, to survey what kinds of variations might be seen. For several records it is possible to see likely effects of lid structure in the data. However, the dataset is too sparse to make any general observations about variations in lid structure. This type of modeling is expected to be important in the future, as the analysis is extended to more recent eastern North American events, and as broadband instruments make more high-quality regional recordings available.

Geology of the Pacoima Area, Los Angeles County, California

The Pacoima area is located on an isolated hill in the northeast section of the San Fernando, the northeast portion of the Pacoima Quadrangle, Los Angeles County, California. Within it are exposed more than 2300 feet of Tertiary rocks, which comprise three units of Middle Miocene (?) age, and approximately 950 feet of Jurassic (?) granite basement. The formations are characterized by their mode of occurrence, marine and terrestial origin, diverse lithology, and structural features.

The basement complex is composed of intrusive granite, small masses of granodiorite and a granodiorite gneiss with the development of schistosity in sections. During the long period of erosion of the metamorphics, the granitic rocks were exposed and may have provided clastic constituents for the overlying formations.

As a result of rapid sedimentation in a transitional environment, the Middle Miocene Twin Peaks formation was laid down unconformably on the granite. This formation is essentially a large thinning bed of gray to buff pebble and cobble conglomerate grading to coarse yellow sandstone. The contact of conglomerate and granite is characterized by its faulted and depositional nature.

Beds of extrusive andesite, basalt porphyry, compact vesicular amygdaloidal basalts, andesite breccia, interbedded feldspathic sands and clays of terrestial origin, and mudflow breccia comprise the Pacoima formation which overlies the Twin Peaks formation unconformably. A transgressing shallow sea accompanied settling of the region and initiated deposition of fine clastic sediments.

The marine Topanga (?) formation is composed of brown to gray coarse sandstone grading into interbedded buff sandstones and gray shales. Intrusions of rhyolitedacite and ash beds mark continued but sporatic volcanism during this period.

The area mapped represents an arch in the Tertiary sediments. Forces that produced the uplift of the granite structural high created stresses that were relieved by jointing and faulting. Vertical and horizontal movement along these faults has displaced beds, offset contacts and complicated their structure. Uplift and erosion have exposed the present sequence of beds which dip gently to the northeast. The isolated hill is believed to be in an early stage of maturity.

Geology of the Tick Canyon Area

The eastern part of the Ventura Basin contains great thicknesses of non-marine Tertiary sediments. The lower formations of the Tertiary strata outcrop in the Tick Canyon Area and are described in this report. Emphasis is placed on the description of the Vasquez formation which is the lowest Tertiary unit in the Tick Canyon Area and which contains the only Tertiary lavas found in the East Ventura Basin.

The Pacoima Area

The Pacoima area consists of Miocene (sediments and basalts) rocks underlain by a quartz diorite basement complex of Jurassic age. The stratigranhic units range from 25 feet to more than 600 feet in thickness. The lower sediments are arkosic land- laid deposits while the Modelo formation, shallow marine in origin, consists of thinly bedded sandstones, shales, volcanic ash and calcareous members. An andesitic mass, possibly a volcanic plug, outcrops near the summit of one of the hills.

An anticline, and possibly an associated syncline, has been developed by compressional folding. Small scale contortion is locally exposed. Regional dip is northward, decreasing from south to north in the area. Faulting is common, most faults trending nearly north-south. Movement along these faults ranges from a few feet to several hundred feet.

There are no important mineral deposits in the area. Quarrying of the basement rocks has been abandoned.