Laser Radar

Progress and Opportunities
in Active Electro-Optical Sensing

Committee on Review of Advancements in Active Electro-Optical Systems
to Avoid Technological Surprise Adverse to U.S. National Security

Division on Engineering and Physical Sciences

NATIONAL RESEARCH COUNCIL
               OF THE NATIONAL ACADEMIES

THE NATIONAL ACADEMIES PRESS
Washington, D.C.
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Laser Radar Progress and Opportunities in Active Electro-Optical Sensing Committee on Review of Advancements in Active Electro-Optical Systems to Avoid Technological Surprise Adverse to U.S. National Security 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. This study was supported by Contract HHM402-10-D-0036-DO#10 between the Department of Defense and the National Academy of Sciences. Any views or observations expressed in this publication are those of the author(s) and do not necessarily reflect the views of the organizations or agencies that provided support for the project. International Standard Book Number-13: 978-0-309-30216-6 International Standard Book Number-10: 0-309-30216-1 Limited 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 2014 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. C. D. Mote, Jr., 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. C. D. Mote, Jr., are chair and vice chair, respectively, of the National Research Council. www.national-academies.org

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COMMITTEE ON REVIEW OF ADVANCEMENTS IN ACTIVE ELECTRO-OPTICAL SYSTEMS TO AVOID TECHNOLOGICAL SURPRISE ADVERSE TO U.S. NATIONAL SECURITY PAUL F. McMANAMON, University of Dayton, Chair WALTER F. BUELL, The Aerospace Corporation, Vice Chair MELISSA G. CHOI, Massachusetts Institute of Technology JOHN W. DEVITT, Raytheon Vision Systems ELSA GARMIRE, Dartmouth College GARY W. KAMERMAN, FastMetrix, Inc. KENNETH A. KRESS, KBK Consulting, Inc. JEANETTE LURIER, Raytheon PRADIP MITRA, DRS Technologies PETER F. MOULTON, Q-Peak, Inc. JONATHAN M. SMITH, University of Pennsylvania ABBIE WATNIK, Naval Research Laboratory ELI YABLONOVITCH, University of California, Berkeley Staff TERRY JAGGERS, Board Director GREGORY EYRING, Study Director DANIEL E.J. TALMAGE, JR., Program Officer SARAH CAPOTE, Research Associate (until March 2013) DIONNA ALI, Research Assistant CHRIS JONES, Financial Associate v

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Preface In today’s world, the range of technologies with the potential to threaten the security of U.S. military forces is extremely broad. These include developments in explosive materials, sensors, control systems, robotics, satellite systems, and computing power, to name just a few. Such technologies have not only enhanced the capabilities of U.S. military forces, but also offer enhanced offensive capabilities to potential adversaries—either directly through the development of more sophisticated weapons, or more indirectly through opportunities for interrupting the function of defensive U.S. military systems. Passive and active electro-optical (EO) sensing technologies are prime examples. In 2010, the National Research Council (NRC) published the report Seeing Photons: Progress and Limits of Visible and Infrared Sensor Arrays. That report focused on key passive sensor technologies and concluded that detector technology was nearing background-limited infrared photodetection (BLIP) for many tactical scenarios, and that therefore new detectors were unlikely to provide any “surprise” technologies. This report builds upon and expands the scope of the 2010 report by considering the potential of active electro-optical (EO) technologies to create surprise; i.e., systems that use a source of visible or infrared light (typically but not always a laser) to interrogate a target in combination with sensitive detectors and processors to analyze the returned light. The addition of an interrogating light source to the system adds rich new phenomenologies that enable new capabilities to be explored. In late 2011, the intelligence community, with the U.S. Army as the lead, approached the NRC to conduct a study to evaluate the potential of active EO systems to generate technological surprise. In response, the NRC formed the ad hoc Committee on Review of Advancements in Active Electro-Optical Systems to Avoid Technological Surprise Adverse to U.S. National Security, and the study contract was signed in September of 2012. The statement of task given to the committee is as follows: The NRC ad hoc committee will: • Evaluate the fundamental, physical limits to active electro-optical (EO) sensor technologies with potential military utility; elucidate tradeoffs among technologies including: direct and heterodyne systems, scanning and flash ladar, Geiger mode, linear mode, and polarization based ladar, synthetic aperture vs. real beam ladar; and parameters including sensitivity, dynamic range, polarization sensitivity, etc. Compare these limits to the near term state-of-the-art, identifying the scaling laws and technical and other impediments currently restricting progress. • Identify key technologies that may help overcome the impediments within a 5-10 year timeframe, the implications for future military applications, and any significant indicators of programs to develop such applications. Speculate on technologies and applications of relevance that are high impact wildcards with feasible deployment within 10 years. Discuss available laser illumination technologies, including wall-plug efficiency. Femtosecond pulse width laser sources should be considered. Discuss available detector/receiver approaches and technologies. Discuss laser beam steering approaches. Discuss processing approaches to convert ladar data into useable information. • Consider the pros and cons of implementing each existing or emerging technology, such as noise, dynamic range, processing or bandwidth bottlenecks, hardening, power consumption, vii

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viii PREFACE weight, etc. Identify which state and non-state actors currently lead worldwide funding, research, and development for the key technologies. Highlight the scale, scope, and particular strengths of these research and development efforts, as well as predicted trends, timescales, and commercial drivers. • Evaluate the potential uses of active EO sensing technologies, to include 3D mapping and multi-discriminate laser radar technologies. Laser vibration detection, atmospheric compensation, multiple illumination wavelengths, polarization, and speckle considerations should be included as methods of determining object identity and status. A report will be authored by the committee addressing the foregoing tasks. This has been a challenging effort because of the breadth of active EO sensing modalities and contributing technologies. A further complication is that discussion of military or dual-use applications of a technology is always limited by classification issues or other restrictions. The main body of this report is unclassified. Where possible we tried to use unclassified, publicly available sources to discuss the areas covered in the statement of task. Some specific areas, however, are more sensitive and therefore are covered in classified appendixes not included in this version of the report. In some cases, information restricted by International Traffic in Arms Regulations is included with the classified material for both context and simplicity. This report was reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise in accordance with the procedures approved by the Report Review Committee of the NRC. 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 the report: Steven R. Brueck, University of New Mexico, Joseph Buck, Fieldcraft Scientific, Ronald G. Driggers, Naval Research Laboratory, James R. Fienup (NAE), University of Rochester, Robert Q. Fugate (NAE), New Mexico Institute of Mining and Technology, William Happer (NAS), Princeton University, Sumanth Kaushik, MIT Lincoln Laboratory, Dennis K. Killinger, University of South Florida, Paul D. Nielsen (NAE), Software Engineering Institute, and Julie J.C.H. Ryan, George Washington University, 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 Edwin P. Przybylowicz, Eastman Kodak Company. Appointed by the NRC, he was responsible for making certain that an independent examination of this report was carried out institutional 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 the NRC staff for its dedicated work, in particular Greg Eyring, the study director, and Dionna Ali, who managed the administrative and logistical aspects with grace and efficiency. Paul McManamon, Chair Walter Buell, Vice Chair Committee on Review of Advancements in Active Electro- Optical Systems to Avoid Technological Surprise Adverse to U.S. National Security

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Contents SUMMARY 1 1 INTRODUCTION 6 Applications, 16 Report Scope and Committee Approach, 22 Structure of This Report, 23 Concluding Thoughts, 23 2 ACTIVE ELECTRO-OPTICAL SENSING APPROACHES 25 Range Measurement Techniques, 25 Laser Range Finders, 26 One-Dimensional Range Profile Imaging Ladar, 26 Two-Dimensional Active/Gated Imaging, 29 Three-Dimensional Direct-Detection Active Imaging, 32 Active Polarimetry, 51 Underwater Sensing, 52 Vibration Sensing, 59 Laser-Induced Breakdown Spectroscopy, 62 Aerosol Sensing, 65 Differential Absorption Lidar, 74 Raman Sensing, 84 Laser-Induced Fluorescence, 88 Wind Sensing, 94 Commercial Laser/Ladar Products, 103 3 EMERGING ELECTRO-OPTICAL TECHNOLOGIES 107 Multiwavelength Ladar, 107 Temporal Heterodyne Detection: Strong Local Oscillator, 109 Temporal Heterodyne Detection: Weak Local Oscillator, 110 Synthetic-Aperture Ladar, 113 Digital Holography/Spatial Heterodyne, 121 Multiple Input, Multiple Output Active Electro-Optical Sensing, 126 Speckle Imaging, 129 Ladar Using Femtosecond Sources, 135 Advanced Quantum Approaches, 148 General Conclusions—Emerging Systems, 153 4 ACTIVE ELECTRO-OPTICAL COMPONENT TECHNOLOGIES 154 Laser Sources for Imaging, 154 Nonlinear-Optics-Based Sources, 186 ix

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x CONTENTS Detectors/Receivers, 195 Framing Cameras, 212 Remote Ultra-Low-Light Imaging, 216 Graphene, 220 Quantum Dot Infrared Detectors, 225 Optical Antennas, 228 Beam Steering and Stabilization, 232 Thermal Management, 239 Telescopes, 245 Adaptive Optics, 246 Processing, Exploitation, and Dissemination, 247 5 FUNDAMENTAL LIMITS OF ACTIVE ELECTRO-OPTICAL SENSING 255 Illumination Sources, 255 Detectors, 257 Signal Processing, 268 Propagation Effects, 271 Concluding Thoughts and Overarching Conclusion and Recommendation, 276 APPENDIXES A Committee Biographies 281 B Meetings and Participating Organizations 285 C Laser Sources and Their Fundamental and Engineering Limits 287

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Acronyms 1-D one-dimensional 2-D two-dimensional 3-D three-dimensional AFRL Air Force Research Laboratory A-GNR armchair-edge-boundary graphene nanoribbons ALIRT Airborne Ladar Imaging Research Testbed ALMDS Airborne Laser Mine Detection System ALS airborne laser scanning APD avalanche photodiode ASE amplified spontaneous emission BLIP background-limited infrared photodetector BTEX benzene, toluene, ethylbenzene, xylene CALIOP Cloud-Aerosol Lidar with Orthogonal Polarization CCD charge-coupled device CLEAR Center for Lidar Environmental and Atmospheric Research CMOS complementary metal-oxide-semiconductor COD catastrophic optical destruction CONOPS concept of operations COP coefficient of performance CPA chirped pulse amplification CPM critical phase matching DARPA Defense Advanced Research Projects Agency DAS detector angular sub-tense DAWN Doppler aerosol wind lidar DBR distributed Bragg reflector DIAL differential absorption lidar DISC differential scatter lidar DOP degree of polarization DPAL diode-pumped alkali laser DTED digital terrain elevation data DWELL quantum dot in the well EO electro-optical ESA European Space Agency, also excited state absorption ESPI electronic speckle-pattern interferometry xi

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xii ACRONYMS FFT fast Fourier transform FLIR forward looking infrared FM frequency-modulated FMCW frequency-modulated, continuous-wave FOPEN foliage penetration FOV field of view FPA focal plane array FSM fast steering mirror FTIR Fourier transform infrared FWHM full width at half maximum GM-APD Geiger-mode avalanche photodiode GPS global positioning system GPU graphics processor unit GQD graphene quantum dot GSD ground sample distance GVD group velocity dispersion HALOE High Altitude Lidar Operational Experiment HDVIP high-density vertically integrated photodiode HME home-made explosive ICCD intensified charge-coupled device ICL interband cascade laser IDCA integrated detector/cooler assembly IFF identify friend or foe IR infrared IR&D internal research and development ISR intelligence, surveillance, and reconnaissance ITAR International Traffic in Arms Regulations JHPSSL Joint High-Power Solid-State Laser program Ladar laser detection and ranging LASCA laser speckle contrast analysis LFM linear frequency-modulated LIBS laser-induced breakdown spectroscopy Lidar light detection and ranging LIF laser-induced fluorescence LIMARS Laser Imaging and Ranging System LM-APD linear-mode avalanche photodiode LO local oscillator LOCAAS Low Cost Autonomous Attack System LPE liquid phase epitaxy LR-BSDS Long Range Biological Standoff Detection System LWIR long-wavelength infrared MCDS multiple correlated double sampling MSM metal semiconductor metal MBE molecular beam epitaxy

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ACRONYMS xiii MIMO multiple input, multiple output MIT Massachusetts Institute of Technology MLE maximum likely estimation MOVPE metal organic vapor phase epitaxy MPE maximum permissible exposure MWIR mid-wavelength infrared NA numerical aperture NASA National Aeronautics and Space Administration NCPM non-critical phase matching NDVI normalized difference vegetation index NEI noise equivalent input NEPh noise equivalent photons NETD noise equivalent temperature difference NIF National Ignition Facility NIIRS national imagery interpretability rating NIR near infrared NIST National Institute of Standards and Technology NPL National Physics Laboratory NRC National Research Council NRI negative refractive index OAWL optical autocovariance wind lidar OPA optical parametric amplifier OPD optical path difference OPG optical parametric generator OPL optical phase-locked loop OPO optical parametric oscillator OSA optical spectrum analyzer PC photonic crystal PED processing, exploitation, and dissemination PIN p-doped-intrinsic (undoped)-n-doped PMT photomultiplier tube PNR polarization non-reciprocity PRF pulse repetition frequency PSD power spectral density QCL quantum cascade laser QCW quasi-continuous wave QD quantum dot QDIP quantum dot infrared photodetectors QE quantum efficiency QPM quasi-phase matching QWIP quantum well infrared photodetector R&D research and development Radar radio detection and ranging RER relative edge response RF radio frequency RHI range-height indicator ROIC read out integrated circuit

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xiv ACRONYMS RRDI range-resolved Doppler image RULLI remote ultra-low light level imaging SAL synthetic aperture laser ladar SALTI Synthetic Aperture Lidar Tactical Imaging SAR synthetic aperture radar SBS stimulated Brillouin scattering SC supercontinuum SCM single carrier multiplication SERS surface-enhanced Raman spectroscopy SL superlattice SNCR signal-to-noise and clutter ratio SNL Sandia National Laboratories SNR signal-to-noise ratio SPGD stochastic parallel gradient descent SPI 3-D Standoff Precision Identification in Three Dimensions SPIDAR spatially processed image detection and ranging SPM self-phase modulation SPS spectral pattern sampling SR spectral reflectance SRL scanning Raman lidar SVI spectral vegetation index SVM support vector machines SWaP size, weight, and power SZ surf zone TCPED tasking, collection, processing, exploitation, and dissemination TDLAS tunable diode laser absorption spectroscopy TEC thermoelectric cooler TE-IPD transferred-electron intensified photodiode TERCOM terrain contour matching ToF time of flight UAV unmanned aerial vehicle UV ultraviolet VAD velocity azimuth detector VCSEL vertical-cavity surface-emitting diode laser VIPA virtually imaged phased array VSW very shallow water WANDER wavelength normalized depolarization ratios YAG yttrium aluminum garnet ZDW zero dispersion wavelength