NANOPHOTONICS ACCESSIBILITY AND APPLICABILITY

Committee on Nanophotonics Accessibility and Applicability

Division on Engineering and Physical Sciences

NATIONAL RESEARCH COUNCIL OF THE NATIONAL ACADEMIES

THE NATIONAL ACADEMIES PRESS

Washington, D.C.
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NANOPHOTONICS ACCESSIBILITY AND APPLICABILITY Committee on Nanophotonics Accessibility and Applicability Division on Engineering and Physical Sciences

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THE NATIONAL ACADEMIES PRESS 500 Fifth Street, N.W. Washington, DC 20001 NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible for the report were chosen for their special competences and with regard for appropriate balance. This is a report of work supported by Contract HHM40205D0011 between the Defense Intel- ligence Agency and the National Academy of Sciences. Any opinions, findings, conclusions, or recommendations expressed in this publication are those of the author(s) and do not necessarily reflect the view of the organizations or agencies that provided support for the project. International Standard Book Number-13: 978-0-309-10722-8 International Standard Book Number-10: 0-309-10722-9 Limited copies are available from Additional copies are available from Division on Engineering and Physical Sciences The National Academies Press National Research Council 500 Fifth Street, N.W., Lockbox 285 500 Fifth Street, N.W. Washington, DC 20001 Washington, DC 20001 (800) 624-6242 or (202) 334-3313 (202) 334-3111 (in the Washington metropolitan area) Internet: http://www.nap.edu Copyright 2008 by the National Academy of Sciences. All rights reserved. Printed in the United States of America

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The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. Charles M. Vest is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. Charles M. Vest are chair and vice chair, respectively, of the National Research Council. www.national-academies.org

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COMMITTEE ON NANOPHOTONICS ACCESSIBILITY AND APPLICABILITY ANTOINETTE TAYLOR, Chair, Los Alamos National Laboratory ANTHONY DeMARIA (NAS1, NAE2), Vice Chair, Coherent-DEOS, Inc. BRADLEY G. BOONE, Johns Hopkins University Applied Physics Laboratory STEVEN R.J. BRUECK, University of New Mexico NANCY (NAOMI) HALAS, Rice University HENDRIK F. HAMANN, IBM T.J. Watson Research Center EVELYN HU (NAE), University of California at Santa Barbara PETER PALFFY-MUHORAY, Kent State University STANLEY ROGERS, Air Force Research Laboratory JERRY A. SIMMONS, Sandia National Laboratories EDWIN THOMAS, Massachusetts Institute of Technology ELI YABLONOVITCH (NAS, NAE), University of California at Los Angeles Staff MICHAEL A. CLARKE, Lead Board Director DANIEL E.J. TALMAGE, JR., Study Director EMILY ANN MEYER, Program Officer CARTER W. FORD, Associate Program Officer DETRA BODRICK-SHORTER, Administrative Coordinator (as of January 2007) ENITA A.WILLIAMS, Research Associate (as of April 2007) LINDSAY D. MILLARD, Research Associate (summer 2006) URRIKKA B. WOODS, Program Associate (as of April 2007) LaSHAWN SIDBURY, Program Associate (through March 2007) DIONNA ALI, Anderson Commonwealth Intern 1NAS, member of the National Academy of Sciences. 2NAE, member of the National Academy of Engineering. v

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Preface The issues identified in the statement of task for this study1 are part of a very broad and important set of issues for appropriate agencies of the intelligence community, the Department of Defense (DOD) research and development community, and other government entities. In addressing the statement of task, the National Research Council’s (NRC’s) Committee on Nanophotonics Accessibility and Applicability studied both the threats and the opportunities posed by emerging applications of nanophotonics. In this report, the committee presents recommendations regarding priorities for future action by the intelligence community and the DOD in the field of nanophotonics. We wish to express our appreciation to the members of the committee for their contributions to the preparation of this report. The committee is also grateful to the staff of the Defense Intelligence Agency for its continuous sponsorship, and it is grateful for the active participation of the intelligence commu- nity throughout the study. The committee greatly appreciates the support and assistance of NRC staff members Michael Clarke, Daniel Talmage, Jr., Emily Ann Meyer, Carter Ford, Detra Bodrick-Shorter, Enita Williams, Lindsay Millard, Urrikka Woods, LaShawn Sidbury, and Dionna Ali in the production of this report. Antoinette Taylor, Chair Anthony DeMaria, Vice Chair Committee on Nanophotonics Accessibility and Applicability 1The statement of task appears in Box 1-1 in Chapter 1. vii

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Acknowledgment of Reviewers This report has been reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the National Research Council’s (NRC’s) Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the institution in making its published report as sound as possible and to ensure that the report meets institutional standards for objectivity, evidence, and responsiveness to the study charge. The review comments and draft manuscript remain confidential to protect the integrity of the deliberative process. We wish to thank the following individuals for their review of this report: Dan Gammon, U.S. Naval Research Laboratory, Sharon Glotzer, University of Michigan, Joseph Goodman (NAE), Stanford University, Erich Ippen (NAS, NAE), Massachusetts Institute of Technology, Anthony Johnson, University of Maryland, Baltimore County, Terry Lowe, Los Alamos National Laboratory, Venkatesh Narayanamurti, Harvard University, John Rogers, University of Illinois at Urbana-Champaign, Alton D. Romig, Jr. (NAE), Sandia National Laboratories, and Costas Soukoulis, Iowa State University and Ames Laboratory. Although the reviewers listed above have provided many constructive comments and suggestions, they were not asked to endorse the conclusions or recommendations, nor did they see the final draft of the report before its release. The review of this report was overseen by Elsa Garmire (NAE), Dartmouth University. Appointed by the NRC, she was responsible for making certain that an independent examina- tion of this report was carried out in accordance with institutional procedures and that all review com- ments were carefully considered. Responsibility for the final content of this report rests entirely with the authoring committee and the institution. ix

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Contents SUMMARY 1 1 INTRODUCTION 9 Scope of the Study, 9 Background, 10 Methodology, 15 Anticipating Threats and Projecting Threat Levels, 15 Matrix of Critical Technologies, 16 Structure of the Report, 18 References, 18 2 NANOSCALE PHENOMENA UNDERPINNING NANOPHOTONICS 19 Spatial Modulation at Fractions of a Wavelength—Photonic Crystals, 19 Introduction, 19 Photonic Bandgap, 20 Defects in Photonic Crystals: Localization of Light, 21 The Control of Dispersion and the Slowing and Storage of Light, 21 High-Efficiency Optical Sources, 22 Photonic Crystal Waveguides and Fibers, 23 Feasibility and Impact, 24 International Perspective, 24 Metamaterials—Spatial Index Modulation at a Scale Less Than a Wavelength, 26 Background, 26 Status, 26 Spatial Index Modulation, 27 Issues, 28 Impact, 29 xi

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xii CONTENTS Plasmonics, 29 Localized Surface Plasmon Resonance Sensing, 32 Surface-Enhanced Spectroscopy, 35 Techniques for Imaging and Spectroscopy of Plasmonic Structures, 37 Extraordinary Transmission, Subwavelength Holes, 42 Plasmonic Waveguides and Other Electromagnetic Transport Geometries, 45 Plasmon-Based Active Devices, 50 Plasmon-Enhanced Devices, 53 Plasmonics in Biotechnology and Biomedicine, 55 Emerging Topics of Phonon Polaritons and Terahertz Waveguides, 58 Phonon Polaritons, 58 Terahertz Plasmonic Waveguides, 58 Reduced Dimensionality and Quantum Confinement in Nanophotonics, 60 Introduction and Background, 60 New Devices: Emitters, 61 New Devices: Detectors and Modulators, 66 New Class of Optoelectronic Devices Based on Intraband Transitions, 70 References, 73 3 ENABLING TECHNOLOGIES 83 Realizing Hierarchical Synthesis, Growth, and Fabrication Structures at the Nanoscale, 83 Introduction, 83 Synthesis, 84 Layered-Nanoparticle Fabrication Techniques, 86 Nanorods and Nanowires, 87 Organic Materials, 88 Self-Assembled Responsive Materials, 94 Colloidal Synthesis, 94 Epitaxial Growth, 94 Molecular-Beam Epitaxy, 95 Metal-Organic Chemical Vapor Deposition, 95 Growth Challenges, 96 International Semiconductor Crystal Growth Expertise, 96 Fabrication, 96 Planar Processing Approaches, 96 Optical Lithography, 97 Nanoimprinting, 99 Stacking Membrane Structures, 99 Photonic Crystal Fibers, 100 Directed Self-Assembly and Directed Epitaxial Growth, 102 Polymerization-Induced Phase Separation, 102 Nanoscale Crystal Growth (Nanowires), 102 Findings, 104

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xiii CONTENTS Modeling and Simulation in Nanophotonics, 104 Finite Element Method, 105 Finite-Difference Time-Domain Method, 105 Boundary Element Method, 106 Other Numerical Methods, 107 Analytic Methods, 107 Characterization Techniques for Nanophotonics, 108 Advanced Microscopies, 108 Scanning Probe Microscopy, 109 Scanning Electron Microscopy, 110 Transmission Electron Microscopy, 112 Nanophotonics Devices, 112 Wavelength-Scale Devices, 112 Deep Subwavelength-Scale Nano-Optical Devices, 115 Packaging and Integration, 115 Technology Environment, 117 Packaging and Integration Technologies, 120 Monolithic Integration: Silicon Photonics, 122 Waveguides and Passives, 122 Modulators, 123 Detectors, 123 Light Sources or Gain Elements, 123 Heterogeneous Integration: Silicon Carrier, Three-Dimensional Silicon, 124 Overaching Recommendation, 124 References, 125 4 POTENTIAL MILITARY APPLICATIONS OF NANOPHOTONICS 131 Introduction, 131 Reporting Process and Methodology, 132 Potential Enabling Technologies and Applications, 134 Technologies in Their Infancy, 163 Quantum Computation and Nanophotonics, 163 Terahertz Spectroscopy and Nanophotonics, 165 Recommendation, 166 References, 166 5 FOREIGN INVESTMENT CAPABILITIES 168 International Nanophotonics, 168 Asia, 168 Europe, 170 Nanophotonics and Global Commercial Demand, 171 Recommendation, 173 References, 173

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xiv CONTENTS 6 OVERALL COMMENTS 175 The Relevance of Nanophotonics to Strategic and Critical Military Technologies, 175 Major Strategic and Critical Military Capabilities and the Probabilities of Nanotechnologies Impacting Them, 175 Conclusions, 178 Accessibility, 178 Applications, 179 Foreign Capabilities and Investments, 179 Findings and Recommendations, 180 Reference, 181 APPENDIXES A Biographical Sketches of Committee Members 185 B Presentations to the Committee 190 C Previous Studies 193 D Selected Research Groups in Plasmonics 203

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Acronyms and Abbreviations ADDL amyloid derived diffusible ligand AFM atomic force microscopy Ag silver Al aluminum APTES aminopropyltriethoxysilane AR antireflection Au gold BB blackbody BCP block copolymers BEM boundary element method BOX buried oxide CDEW composite diffracted evanescent wave CdSe cadmium selenide CdTe cadmium telluride CHEM chemical enhancement mechanism CMOS complementary metal oxide semiconductor CMP chip multiprocessor CNT carbon nanotube CO2 carbon dioxide COTS commercial off-the-shelf CPP channel plasmon polariton CPU central processing unit CVD chemical vapor deposition xv

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xvi ACRONYMS AND ABBREVIATIONS DARPA Defense Advanced Research Projects Agency DDR&E Director, Defense Research and Engineering DFARS Defense Federal Acquisition Regulations Supplement DFB distributed feedback lasers DIA Defense Intelligence Agency DIBCS Defense Industrial Base Capabilities Studies DNA deoxyribonucleic acid DOD Department of Defense EAM electro absorption modulators EM electromagnetic EU European Union FDTD finite-difference time-domain FEM finite element method field effect transistor FET FMM fast multipole method FOM figure of merit FPA focal plane array Ga gallium GaAs gallium arsenide GaN gallium nitride Ge germanium HAMR heat-assisted magnetic recording HD hard disk HDD hard disk drive HgCdTe mercury cadmium telluride ICP inductively coupled plasma IEEE Institute of Electrical and Electronics Engineers IL interferometric lithography IMI insulator-metal-insulator InAs indium arsenide InGaN indium gallium nitride IR infrared IT information technology ITRS International Technology Roadmap for Semiconductors ITWC intelligence technology warning community JLIST Joint Service Lightweight Integrated Suit Technology JTEC Japan Technology Evaluation Center KAIST Korean Advanced Institute of Science and Technology

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xvii ACRONYMS AND ABBREVIATIONS slab thickness L LED light-emitting diode LSPR localized surface plasmon resonance LWIR long-wave infrared MBE molecular-beam epitaxy MEMS microelectromechanical system MIM metal-insulator-metal MIT Massachusetts Institute of Technology MM multimode MOCVD metal-organic chemical vapor deposition MOVPE metal-organic vapor-phase epitaxy MWIR mid-wave infrared NH4OH ammonium hydroxide NIR near infrared NRC National Research Council NSF National Science Foundation NSL nanosphere lithography NSOM near-field scanning optical microscope OLED organic light-emitting diode PDMS polydimethylsiloxane PEEM photoelectron emission microscopy PIC photonic-integrated circuit PIPS polymerization-induced phase separation PSTM photon scanning tunneling microscopy PV photovoltaic QCL quantum cascade laser QCSE quantum confined stark effect QD quantum dot QDIP quantum dot infrared photodetector QKD quantum key distribution QW quantum well QWI quantum well intermixing QWIP quantum well infrared photodetector R&D research and development RC resonant-cavity RCWA rigorous coupled wave analysis RIE reactive ion etching S&T science and technology SEF surface-enhanced fluorescence

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xviii ACRONYMS AND ABBREVIATIONS SEIRA surface-enhanced infrared absorption spectroscopy SEM scanning electron microscope SEROA surface-enhanced Raman optical activity SERS surface-enhanced Raman spectroscopy SES surface-enhanced spectroscopy Si silicon SiC silicon carbide SiN silicon nitride SiP system-in-package SLS strained layer superlattices SM single mode SMS spatial modulation spectroscopy SoC system-on-chip SOI silicon on insulator SoP system on a package SP surface plasmon SPASER surface-plasmon amplification by stimulated emission of radiation SPM scanning probe microscopy SPP surface plasmon propogation SPR surface plasmon resonance s-SNOM scattering-scanning near-field optical microscopy STM scanning tunneling microscope TAR thermally assisted recording TEM transmission electron microscope TEOS tetraethylorthosilicate TERS tip-enhanced Raman spectroscopy THPC tetrakis(hydroxymethyl)phosphonium chloride TIGER (standing committee on) Technology Insight—Gauge, Evaluate and Review TiO2 titanium dioxide TPV thermophotovoltaic UAV unmanned aerial vehicle UV ultraviolet VLS vapor-liquid-solid VLWIR very long wave infrared WDM wavelength division multiplexing WR waveguide ring ZnS zinc sulfide