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Photonics:
Maintaining Competitiveness
in the Information Era
Panel on Photonics Science and Technology Assessment
Solid State Sciences Committee
Board on Physics and Astronomy
Commission on Physical Sciences, Mathematics, and Resources
National Research Council
NATIONAL ACADEMY PRESS
Washington, D.C. 1988
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NATIONAL ACADEMY PRESS n 2101 Constitution Avenue u Washington, DC 20418
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 report has been reviewed by a group other than the authors according to procedures
approved by a Report Review Committee consisting of members of the National Academy of
Sciences, the National Academy of Engineering, and the Institute of Medicine.
The National Academy of Sciences is a private, nonprofit, self-perpetuating society of dis-
tinguished 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. Frank Press 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 autono-
mous in its administration and in the selection of its members, sharingwith 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. Robert M.
White 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 educa-
tion. Dr. Samuel O. Thier is president of the Institute of Medicine.
The National Research Council was established by the National Academy of Sciences in
1916 to associate the broad community of science and technology with the Academis purposes
of furthering knowledge and of 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. Frank
Press and Dr. Robert M. White are chairman and vice chairman, respectively, of the National
Research Council.
This report was supported by the Technology Agenda Program of the National Academy
of Engineering, the U.S. Air Force Office of Scientific Research through the National Science
Foundation under Grant No. DMR-8501909, and the Office of Naval Research under Grant No.
N00014-88-J-1006.
LIBRARY OF CONGRESS CATALOG CARD NUMBER 88-61726
INTERNATIONAL STANDARD BOOK NUMBER 0-309-03940-1
Printed in the United States of America
First Printing, August 1988
Second Printing, January 1989
Third Printing, July 1989
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PHOTONICS SCIENCE AND TECHNOLOGY ASSESSMENT PANEL
JOHN R. WHINNERY, University of California, Berkeley, Chairman
VENKATESH NARAYANAMURTI, Sandia National Laboratories,
Vice-Chairman
JOHN D. CROW, IBM T. J. Watson Research Center
THOMAS G. GIALLORENZI, Naval Research Laboratory
AWN J. HEEGER, University of California, Santa Barbara
NICK HOLONYAK, Jr., University of Illinois, Urbana
ALAN HUANG, AT&T Bell Laboratories
FREDERICK J. LEONBERGER, United Technologies Research Center
ROBERT D. MAURER, Corning Glass Works
STEWART D. PERSONICK, Bell Communications Research
S. THOMAS PICRAUX, Sandia National Laboratories
JAMES J. WYNNE, IBM T. J. Watson Research Center
Donald C. Shapero, Staff Director
Robert L. Riemer, Program Officer
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SOLID STATE SCIENCES COMMITTEE
HERBERT H. JOHNSON, Cornell University, Chairman
BILL R. APPLETON, Oak Ridge National Laboratory
PRAVEEN CHAUDHARI, IBM T. J. Watson Research Center
JOHN D. CORBETT, Iowa State University
CURTIS W. FRANK, Stanford University
JAMES S. LANGER, University of California, Santa Barbara
J. DAVID LITSTER, Massachusetts Institute of Technology
THOMAS J. MCCARTHY, University of Massachusetts
ALBERT NARATH, AT&T Bell Laboratories
ROBERT E. NEWNHAM, Pennsylvania State University
PAUL S. PEERCY, Sandia National Laboratories
E. WARD PLUMMER, University of Pennsylvania
JAMES R. RICE, Harvard University
ALBERT I. SCHINDLER, Purdue University
LYLE H. SCHWARTZ, National Bureau of Standards
ROBERT F. SEKERKA, Carnegie-Mellon University
JOHN R. SMITH, General Motors Research Laboratory
Donald C. Shapero, Staff Director
Robert L. Riemer, Program Officer
1V
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BOARD ON PHYSICS AND ASTRONOMY
NORMAN F. RAMSEY, Harvard University, Chairman
SAM B. TREIMAN, Princeton University, Vice-Chairman
ROBERT K. ADAIR, Yale University
RICHARD S. BERRY, University of Chicago
WILLIAM F. BRINKMAN, AT&T Bell Laboratories
ARTHUR D. CODE, University of Wisconsin, Madison
JOHN M. DAWSON, University of California, Los Angeles
FRANK D. DRAKE, University of California, Santa Cruz
ANDREA K. DUPREE, Smithsonian Astrophysical Observatory
BERTRAND I. HALPERIN, Harvard University
JOHN J. HOPFIELD, California Institute of Technology
KENNETH I. KELLERMANN, National Radio Astronomy Observatory
CHARLES F. KENNEL, University of California, Los Angeles
DANIEL KLEPPNER, Massachusetts Institute of Technology
Donald C. Shapero, Staff Director
Robert L. Riemer, Program Officer
Susan M. Wyatt, Administrative Specialist
v
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COMMISSION ON PHYSICAL SCIENCES, MATHEMATICS,
AND RESOURCES
NORMAN HACKERMAN, Robert A. Welch Foundation, Chairman
GEORGE F. CARRIER, Harvard University
HERBERT D. DOAN, The Dow Chemical Company (retired)
PETER EAGLESON, Massachusetts Institute of Technology
DEAN E. EASTMAN, IBM T. J. Watson Research Center
MARYE ANNE FOX, University of Texas
GERHART FRIEDLANDER, Brookhaven National Laboratory
LAWRENCE W. FUN~IOUSER, Chevron Corporation (retired)
PHILLIP A. GRIFI;ITHS, Duke University
CHRISTOPHER F. McKEE, University of California at Berkeley
JACK E. OLIVER, Cornell University
JEREMIAH P. OSTRIKER, Princeton University Observatory
FRANK L. PARKER, Vanderbilt University
DENIS J. PRAGER, MacArthur Foundation
DAVID M. RAUP, University of Chicago
RICHARD J. REED, University of Washington
ROY F. SCHWITTERS, Harvard University
ROBERT E. SIEVERS, University of Colorado
LEON T. SILVER, California Institute of Technology
LARRY L. SMARR, University of Illinois
EDWARD C. STONE, JR., California Institute of Technology
KARL K. TUREK1AN, Yale University
Raphael G. Kasper, Executive Director
Lawrence E. McCray, Associate Executive Director
V1
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Foreword
This report is a timely study of a critical emerging technology. While many
readers of both the technical and the popular press have been transfixed by the
yet-to-be-realized promises of superconductivity that have emerged in the past
two years, optical technology has been building a technological armamentarium
of proven science and advanced technology throughout the past three decades.
As the report correctly points out, many U.S. problems in this field stem
from commercialization difficulties. Firms in other countries such as Japan
have managed to apply photonic technology to useful, attractive, saleable
products well before products from our own companies have been able to reach
the market.
The Japanese, for example, have succeeded in focusing substantial technical
and business attention on photonic technology and have earned a position of
technical excellence. In a number of areas, Japanese optoelectronic technology
is more advanced than the best available in this country. Development by the
Japanese of the full potential inherent in photonics could threaten America's
leadership in several areas of electronics.
This competitive situation is a central predicament, and the policy
recommendations spelled out in the report are responsive to it. Both govern-
mental and private actions could lead to new products using photonics. It is
interesting to note that Japanese leadership in photonics has developed in
consumer electronics--traditionally the segment least affected by government-
based technology development efforts and most leveraged by private sector
initiatives.
The promise of optical technology to bring improvements in bandwidth,
information processing, information storage, and sensing to the consumer at
·.
V11
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A.
V111
FOREWORD
substantially lower cost must be a major driving force for the commercializa-
tion of photonic technology in this country. If we are to advance as rapidly as
our competitors, our experience must in considerable part be based on high-
volume manufacturing of consumer products. Development of marketable
consumer products based on photonic technology (such as the automotive
application discussed in relation to demonstration projects) must be a keystone
of national strategy.
Specialized equipment for the fabrication of photonic devices poses
problems not only for laboratories and educational institutions, but also for
industry. These problems mirror those found in the semiconductor industry,
where many small equipment suppliers have been unable to stay in business
throughout the economic cycle.
The report shows the need for complementary private and public sector
initiatives in advanced technology development. There is a tendency to place
emphasis on calls for broad government support of research in optical science
and technology. In the final analysis, however, this nation's success or failure
in photonics will rest not on governmental policies alone, but at least equally
on the effectiveness of our commercial establishments in deriving benefit from
the market opportunities presented.
Photonics is at the stage where high-temperature superconductor
technology may be 10 or 15 years from now. If we are to be ready to take
advantage of superconducting technology when it is properly developed, we
should start by "practicing" on photonics.
The Council of the NAE, which commissioned this project, is grateful to
chairman John Whinnery and the members of the photonics committee, as well
as Donald C. Shapero, Robert L. Riemer, Jesse Ausubel, and other members
of the staff of the Academy complex, for bringing this thoughtful and complete
report forward for public debate and consideration.
Robert M. White
President
National Academy of Engineering
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Contents
EXECUTIVE SUMMARY
1 INTRODUCTION
2 OPPORTUNITIES IN TELECOMMUNICATIONS
OPPORTUNITIES IN INFORMATION PROCESSING
4 OPPORTUNITIES IN STORAGE AND DISPLAY
5 OPPORTUNITIES IN SENSOR TECHNOLOGY
6 POLICY ISSUES AND RECOMMENDATIONS
APPENDIXES
A Panel and Subcommittee Members
B Workshop and Other Outside Speakers
C Selected Professional Societies, Journals,
Review Articles, and Reports
D Technology Status of Optical Telecommunications
E Fiber-Optic Sensor Performance
F Glossary
1X
1
6
9
23
38
51
65
77
79
81
84
95
98
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