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Optics and Photonics Essential Technologies for Our Nation Committee on Harnessing Light: Capitalizing on Optical Science Trends and Challenges for Future Research National Materials and Manufacturing Board Division on Engineering and Physical Sciences

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THE NATIONAL ACADEMIES PRESS  500 Fifth Street, NW  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 study was supported by Contract No. ECCS-1041156 between the National Academy of Sciences and the National Science Foundation, and by the following awards: #N66001-10-1-4052 from DARPA- DSO; #N66001-11-1-4091 from DARPA-MTO; #60NANB10D266 from NIST; #W911NF-10-1-0488 from ARO; #DE-DT0002194,TO#16 from DOE-EERE; and #DE-SC0005899 from DOE-BES, as well as support from SPIE, OSA, and the NRC. Any opinions, findings, conclusions, or recommendations expressed in this publication are those of the authors and do not necessarily reflect the views of the organizations or agencies that provided support for the project. International Standard Book Number-13: 978-0-309-26377-1 International Standard Book Number-10: 0-309-26377-8 Library of Congress Control Number: 2012954592 This report is available in limited quantities from: National Materials and Manufacturing Board 500 Fifth Street, NW Washington, DC 20001 nmmb@nas.edu http://www.nationalacademies.edu/nmmb Additional copies of this report are available from the National Academies Press, 500 Fifth Street, NW, Keck 360, Washington, DC 20001; (800) 624-6242 or (202) 334-3313; http://www.nap.edu. Copyright 2013 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 as- sociate 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 HARNESSING LIGHT: CAPITALIZING ON OPTICAL SCIENCE TRENDS AND CHALLENGES FOR FUTURE RESEARCH PAUL McMANAMON, Exciting Technology, LLC, Co-Chair ALAN E. WILLNER, University of Southern California, Co-Chair ROD C. ALFERNESS, NAE,1 Alcatel-Lucent (retired), University of California, Santa Barbara THOMAS M. BAER, Stanford University JOSEPH BUCK, Boulder Nonlinear Systems, Inc. MILTON M.T. CHANG, Incubic Management, LLC CONSTANCE CHANG-HASNAIN, University of California, Berkeley CHARLES M. FALCO, University of Arizona ERICA R.H. FUCHS, Carnegie Mellon University WAGUIH S. ISHAK, Corning Incorporated PREM KUMAR, Northwestern University DAVID A.B. MILLER, NAS,2 NAE, Stanford University DUNCAN T. MOORE, NAE, University of Rochester DAVID C. MOWERY, University of California, Berkeley N. DARIUS SANKEY, Intellectual Ventures EDWARD WHITE, Edward White Consulting Staff DENNIS CHAMOT, Acting Director, National Materials and Manufacturing Board ERIK B. SVEDBERG, Study Director HEATHER LOZOWSKI, Financial Associate RICKY D. WASHINGTON, Administrative Coordinator (until August 2012) MARIA L. DAHLBERG, Program Associate (until August 2012) ANN F. LARROW, Program Associate (effective August 2012) LAURA TOTH, Senior Program Assistant (until February 2012) PAUL BEATON, Program Officer, STEP3 (October through December 2011) CAREY CHEN, Christine Mirzayan Science and Technology Policy Fellow, STEP (October through December 2011) 1  NAE, National Academy of Engineering. 2  NAS, National Academy of Sciences. 3  STEP, Board on Science, Technology, and Economic Policy. v

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NATIONAL MATERIALS AND MANUFACTURING BOARD ROBERT H. LATIFF, R. Latiff Associates, Alexandria, Virginia, Chair DENISE F. SWINK, Independent Consultant, Germantown, Maryland, Vice Chair PETER R. BRIDENBAUGH, NAE,1 ALCOA (retired), Boca Raton, Florida VALERIE M. BROWNING, ValTech Solutions, LLC, Port Tobacco, Maryland YET-MING CHIANG, NAE, Massachusetts Institute of Technology, Cambridge PAUL CITRON, NAE, Medtronic, Inc. (retired), Minnetonka, Minnestota GEORGE T. (RUSTY) GRAY II, Los Alamos National Laboratory, Los Alamos, New Mexico CAROL A. HANDWERKER, Purdue University, West Lafayette, Indiana THOMAS S. HARTWICK, Independent Consultant, Snohomish, Washington SUNDARESAN JAYARAMAN, Georgia Institute of Technology, Atlanta DAVID W. JOHNSON, JR., NAE, Stevens Institute of Technology, Bedminster, New Jersey THOMAS KING, Oak Ridge National Laboratory, Oak Ridge, Tennessee MICHAEL F. McGRATH, Analytic Services, Inc., Arlington, Virginia NABIL NASR, Golisano Institute for Sustainability, Rochester, New York PAUL S. PEERCY, NAE, University of Wisconsin-Madison ROBERT C. PFAHL, JR., International Electronics Manufacturing Initiative, Herndon, Virginia VINCENT J. RUSSO, Aerospace Technologies Associates, LLC, Dayton, Ohio KENNETH H. SANDHAGE, Georgia Institute of Technology, Atlanta ROBERT E. SCHAFRIK, GE Aviation, Cincinnati, Ohio HAYDN WADLEY, University of Virginia, Charlottesville STEVEN WAX, Independent Consultant, Reston, Virginia Staff DENNIS CHAMOT, Acting Director ERIK B. SVEDBERG, Senior Program Officer RICKY D. WASHINGTON, Administrative Coordinator (until August 2012) HEATHER LOZOWSKI, Financial Associate MARIA L. DAHLBERG, Program Associate (until August 2012) ANN F. LARROW, Program Associate (effective August 2012) LAURA TOTH, Senior Program Assistant (until February 2012) 1  NAE, National Academy of Engineering. vi

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Preface The National Research Council (NRC) undertook the writing of a study on op- tics and photonics in 1988 (Photonics: Maintaining Competitiveness in the Informa- tion Era)1 and then again in 1998 (Harnessing Light: Optical Science and Engineering for the 21st Century).2 Now, after 14 years of dramatic technical advances and eco- nomic impact, another study is needed to help guide the nation’s strategic thinking in this area. Since 1998 many other countries have developed their own strategic documents and organizations in the area of optics and photonics, and many have cited the U.S. NRC’s 1998 Harnessing Light study as instrumental in influencing their thinking. The present study, Optics and Photonics: Essential Technologies for Our Nation, discusses impacts of the broad field of optics and photonics and makes recommendations for actions and research of strategic benefit to the United States. To conduct the study, the NRC established the Committee on Harnessing Light: Capitalizing on Optical Science Trends and Challenges for Future Research, a di- verse group of academic and corporate experts from across many disciplines critical to optical science and engineering, including materials science, communications, quantum optics, linear and nonlinear optical elements, semiconductor physics, device fabrication, biology, manufacturing, economic policy, and venture capital. The statement of task for this study (given in full in Appendix A) is as follows: 1  National Research Council. 1988. Photonics: Maintaining Competitiveness in the Information Era. Washington, D.C.: National Academy Press. 2  National Research Council. 1998. Harnessing Light: Optical Science and Engineering for the 21st Century. Washington, D.C.: National Academy Press. vii

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viii Preface 1.  eview updates in the state of the science that have taken place since pub- R lication of the National Research Council report Harnessing Light; 2. dentify the technological opportunities that have arisen from recent ad- I vances in and potential applications of optical science and engineering; 3.  ssess the current state of optical science and engineering in the United A States and abroad, including trends in private and public research, market needs, examples of translating progress in photonics innovation into com- petitiveness advantage (including activities by small businesses), workforce needs, manufacturing infrastructure, and the impact of photonics on the national economy; 4.  rioritize a set of research grand-challenge questions to fill identified tech- P nological gaps in pursuit of national needs and national competitiveness; 5.  ecommend actions for the development and maintenance of global lead- R ership in the photonics-driven industry—including both near-term and long-range goals, likely participants, and responsible agents of change. It became apparent from the outset that various funding agencies and profes- sional societies that deal with optics and photonics felt a keen need for the NRC to provide an authoritative vision of the field’s future. If the field is indeed a key enabling technology that will help drive significant economic growth, then such a study should attempt to make recommendations that can be used to help policy makers and decision makers capitalize on optics and photonics. It was in this spirit that the committee conducted this study. Several factors, including the following, made the committee’s task a challeng- ing one: 1. The field of optics and photonics is extremely broad in terms of the technical science and engineering topics that it encompasses. 2. The field impacts many different market segments, such as energy, medicine, defense, and communications, but as an enabling technology it is not always highlighted in available data about these areas. 3.  he field has expanded greatly beyond the United States, such that many T other countries have invested heavily in research and development and manufacturing. Additionally, the area of optics and photonics is typically subsumed as an enabling technology under the heading of other disciplines (e.g., electrical engi- neering, physics). Therefore, it was challenging to gather data specific to optics and photonics in terms of workforce and economic impact. For example, optics enables common DVD players, but is the economic impact to be gauged by the

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Preface ix value of the whole DVD player or just the inexpensive yet high-performance laser that makes the whole system work properly? Similarly, how do we place a value on the fact that the society-transforming Internet could not have grown at such a fast pace, or achieved even close to its current level of performance, without low-loss optical fiber, which by itself is not particularly expensive? The committee grappled with many such questions. In the course of the study, the committee observed that exciting progress has been made in the field and believes that the future holds much promise. A small anecdotal indication in the popular press of the breadth and depth of the field is that roughly 12 of the 50 best inventions of 2011 listed by Time magazine had optics as a key technological part of the invention.3 Our entire community owes its sincerest gratitude to the generous sponsors of the study, which include the Army Research Office, the Defense Advanced Research Projects Agency, the Department of Energy, the National Institute of Standards and Technology, the National Research Council, the National Science Foundation, the Optical Society of America, and the International Society for Optics and Photon- ics (SPIE). Each sponsor was critical to enabling the study to proceed with the necessary resources, and key champion(s) in each of these organizations stepped forward at a crucial time to help out. We also wish to thank the many individuals who helped the committee accomplish its task, including the workshop speakers and study reviewers, and we are extremely grateful to have worked with outstand- ing committee members. It was with a deep sense of appreciation that the committee was able to rely on the dedication, professionalism, insight, and good cheer of the NRC staff, primar- ily Dennis Chamot, Maria Dahlberg, Erik Svedberg, Laura Toth, and Ricky Wash- ington. As the manager of the study, Erik has been a superb and tireless partner, whose keen perspective was invaluable. The committee also extends its thanks to Stephen Merrill, executive director of the National Academies’ Board on Science, Technology, and Economic Policy, for engaging his staff during the latter part of this study, especially Paul Beaton, program officer, and Carey Chen, Christine Mirzayan Science and Technology Policy Fellow. In addition, the committee would like to thank Kathie Bailey-Mathae, director of the Board on International Scientific Organizations, for critically helping with the preliminary groundwork leading up to the start of the study. We sincerely hope that readers of this study find some perspectives that will 3  Grossman, L., M. Thompson, J. Kluger, A. Park, B. Walsh, C. Suddath, E. Dodds, K. Webley, N. Rawlings, F. Sun, C. Brock-Abraham, and N. Carbone. 2011. Top 50 Inventions. Time. Available at http://www.time.com/time/magazine/article/0,9171,2099708,00.html. Accessed October 16, 2012.

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x Preface help guide future actions, whether such readers are congressional staffers, funding agencies, corporate chief technology officers, or high school students. Paul McManamon and Alan E. Willner, Co-Chairs Committee on Harnessing Light: Capitalizing on Optical Science Trends and Challenges for Future Research

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Acknowledgments This report has been reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures ap- proved 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: William B. Bridges (NAS/NAE), California Institute of Technology, Elsa Garmire (NAE), California Institute of Technology, James S. Harris (NAE), Stanford University, Thomas S. Hartwick, Hughes Aircraft Company, Eric G. Johnson, Clemson University, Stephen M. Lane, Lawrence Livermore National Laboratory, E. Phillip Muntz (NAE), University of Southern California, and Thomas E. Romesser (NAE), Northrop Grumman Aerospace Systems. Although the reviewers listed above have provided many constructive com- ments and suggestions, they were not asked to endorse the conclusions or rec- ommendations, nor did they see the final draft of the report before its release. The review of this report was overseen by Peter Banks (NAE), Red Planet Capital xi

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xii Acknowledgments Partners. Appointed by the NRC, he was responsible for making certain that an independent examination of this report was carried out in accordance with in- stitutional procedures and that all review comments were carefully considered. Responsibility for the final content of this report rests entirely with the authoring committee and the institution. The committee also thanks those who were guest speakers at its meetings and who added to the committee members’ understanding of optics and photonics and related issues: John Ambroseo, Coherent Inc., Eugene Arthurs, SPIE, John Dexheimer, LightWave Advisors, Inc., Ed Dowski, Ascentia Imaging, Julie Eng, Finisar, Michael Gerhold, U.S. Army Research Office, Larry Goldberg, National Science Foundation, Matthew Goodman, Defense Advanced Research Projects Agency, Linda Horton, Department of Energy, Kristina Johnson, Consultant, Christian Jörgens, German Embassy, Bikash Koley, Google, Prem Kumar, CLEO, Minh Le, Department of Energy, Donn Lee, Facebook, Robert Leheny, Institute for Defense Analyses, Frederick J. Leonberger, Eovation Advisors, LLC, Tingye Li, AT&T Consultant, Aydogan Ozcan, University of California, Los Angeles, Mario Paniccia, INTEL, Kent Rochford, National Institute of Standards and Technology, Joseph Schmitt, Cardiovascular Division, St. Jude Medical, Jag Shah, Defense Advanced Research Projects Agency, Bruce J. Tromberg, University of California, Irvine, Usha Varshney, National Science Foundation, and Paul Wehrenberg, Consultant.

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Contents SUMMARY 1 1 INTRODUCTION 13 Motivation for This Study, 15 Enabling Technology, 16 Economic Issues, 17 Global Perspective, 18 Importance of Education, 18 Progress for the Future, 19 2 IMPACT OF PHOTONICS ON THE NATIONAL ECONOMY 20 Introduction, 20 The Economics of Photonics: A Case Study of Lasers, 21 The Economic Impact of the Laser, 22 Funding of Early Laser Development, 23 The Early Laser Market, 24 International Comparison, 25 Conclusions from the Laser Case Study, 27 Estimating the Economic Impact of Photonics—Industry Revenues, Employment, and R&D Investment in the United States, 28 Government and Industrial Sources of R&D Funding in Photonics and Federal Funding of Optics, 32 xiii

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xiv Contents Changes in Photonics-based Innovations in the United States Since 1980, 37 Venture Capital in Optics, 43 Markets for Technology, Intellectual Property, and U.S. University Technology Licensing, 50 Models of Collaborative R&D and Implications for Photonics Innovation, 52 Semiconductor Manufacturing Technology (SEMATECH), 54 Optoelectronics Industry Development Association (OIDA), 56 National Nanotechnology Initiative, 59 Summary Comments, 60 Proposed National Photonics Initiative, 61 Findings, 62 Recommendations, 63 3 COMMUNICATIONS, INFORMATION PROCESSING, AND DATA STORAGE 64 Introduction, 64 Communications, 65 Information Processing, 69 Data Storage, 72 Impact Example: The Internet, 73 Technical Advances, 75 Communications, 75 Networking, 85 R&D Example Areas, 87 Information Processing, 88 Data Storage, 91 Manufacturing, 92 Communications, 92 Information Processing, 93 Data Storage, 94 Economic Impact, 94 Comparison Between the United States and the Rest of the World, 96 Findings and Conclusions, 97 Recommendations and Grand Challenge Questions, 99 4 DEFENSE AND NATIONAL SECURITY 102 Introduction, 102 Optics and Photonics: Impact on Defense Systems, 104

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Contents xv Technology Overview, 104 Changes Since the Harnessing Light Study, 105 Identification of Technological Opportunities from Recent Advances, 108 Manufacturing, 121 U.S. Global Position, 122 Findings and Conclusions, 124 Recommendation and Grand Challenge Questions, 126 5 ENERGY 127 Introduction, 127 Solar Power, 130 Photovoltaic Systems, 133 Concentrated Solar Power Systems, 142 Hybrid Systems, 147 LCOE Outlook for Solar Power Compared to Other Current and Possible Future Fuel Sources, 148 Solid-State Lighting, 150 Findings, 159 Recommendations and Grand Challenge Question, 160 6 HEALTH AND MEDICINE 163 Introduction, 163 Historical Overview of the Impact of Technology on Medicine, 164 Optics and Photonics in Medical Practice Today, 166 Advances in Technology Providing the Opportunity for New Applications of Photonics, 168 Advances in Technology Providing the Opportunity for Future Applications of Photonics, 169 Nucleic Acid Sequence Detection and Mutation Detection, 169 Proteomic Analysis Through Protein and Tissue Arrays, 171 High-Throughput Screening, 171 Flow Cytometry Mass Spectrometry, 174 Ophthalmology, 174 Image-Guided Surgery, 176 Dual Energy CT and Quantitative Image Analysis, 178 Biomedical Optics in Regenerative Medicine, 180 Biomedical Optics in Research, 180 Findings, 181 Recommendations, 183

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xvi Contents 7 ADVANCED MANUFACTURING 185 Introduction, 185 Production and Innovation in Photonics Technologies: Three Case Studies, 186 Displays, 186 Solar Cells, 189 Optoelectronic Components for Communications Systems, 194 Similarities and Differences Among the Three Cases, 200 Advanced Manufacturing in Optics, 202 Optical Surfaces, 203 Aspherical Lenses, 204 Fabrication Processes and Equipment, 204 Applications of Photonics in Manufacturing, 205 Photolithography, 206 Lasers in Manufacturing, 211 Additive Manufacturing, 212 Stereolithography, 214 Selective Laser Sintering, 215 Laser Engineered Net Shaping, 217 Photonics and the Future of U.S. Manufacturing, 219 High-Volume Products, 220 Low-Volume Products, 221 The U.S. Manufacturing Workforce, 221 Findings, 223 Recommendations and Grand Challenge Question, 224 8 ADVANCED PHOTONIC MEASUREMENTS AND APPLICATIONS 226 Introduction, 226 Impact of Optics and Photonics on Sensing, Imaging, and Metrology, 227 Technology Overview, 230 Changes Since Harnessing Light, 232 Changes in SI Definitions, 232 Development of Attosecond Pulse Trains by Means of the Generation of High Harmonics, 233 Table-top Availability of Extreme Intensities by Means of Chirped-Pulse Amplification, 234 Nano-optics and Plasmonics, Negative-Index Materials, and Transformation Optics, 235 Advances in Controlled Generation of Quantum Light States and Their Manipulation and Detection, 236

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Contents xvii High-Resolution Remote Sensing with Optical Synthetic Aperture Radar, 239 Advances in Adaptive Optical Techniques, 239 Identification of Technological Opportunities from Recent Advances, 239 Manufacturing, 244 U.S. Global Position, 244 Findings, 245 Recommendations and Grand Challenge Question, 246 9 STRATEGIC MATERIALS FOR OPTICS 248 Introduction, 248 Energy Applications, 249 Novel Structures: Sub-Wavelength Optics, Metamaterials, and Photonic Crystals, 250 Technology Challenges of Nanostructured Materials, 254 Optical Materials in the Life Sciences and Synthetic Biology, 257 Findings, 258 Recommendations, 259 10 DISPLAYS 260 Introduction, 260 The Near Future, 262 Overview of Displays, 263 Liquid-Crystal Displays, 263 Touch Displays, 264 OLED Displays, 267 Flexible Displays, 268 Projection Displays, 269 Three-Dimensional Holographic Displays, 269 Display Product Manufacturing, 272 Findings, 272 Recommendations, 272 APPENDIXES A Statement of Task, with Introductory Information 277 B Acronyms and Abbreviations 280 C Additional Technology Examples 288 D Biographies of Committee Members 331

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