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Lighting the Path to a ComPetitive,SeCure Futurea White PaPer by the nationaL PhotoniCS initiativemay 23, 2013
National Photonics Initiative · www.lightourfuture.org
TABLE OF CONTENTS
INTRODUCTION .............................................................................................. 1
ADVANCED MANUFACTURING ............................................................... 5
COMMUNICATIONS AND INFORMATION TECHNOLOGY .......... 10
DEFENSE AND NATIONAL SECURITY ................................................ 15
ENERGY ........................................................................................................... 19
HEALTH AND MEDICINE ........................................................................ 25
ACKNOWLEDGEMENTS ........................................................................... 30
1
INTRODUCTION
Look around you — your phone, computer, TV — all are modern-day technologies made
possible by photonics.
Optics and photonics are the science and application of light. Specifically, photonics
generates, controls and detects light to advance robotics, manufacturing, medical imaging,
next-generation displays, defense technologies, biometric security, image processing,
communications, astronomy, and much more. Photonics forms the backbone of the
Internet; guides energy exploration; and keeps our men and women in uniform safe with
night vision, GPS, and physiological feedback on the battlefield. Simply put, photonics
addresses and solves the challenges of a modern world while enhancing our quality of life;
improving our health, safety and security; and driving economic growth, job creation, and
global competiveness.
In 1998, the National Research Council (NRC) released a report, “Harnessing Light,” which
presented a comprehensive overview of the potential impact of optics and photonics on
major sectors of the US economy. In response, several nations around the world moved to
advance their already strong optics and photonics industries: in 2011, Germany committed
nearly €1 billion ($1.3 billion in USD) to photonics R&D over 10 years; China began funding
several programs targeting photonics supply chains; and, the European Commission, as
part of its new Horizon 2020 program, has directed €1.6 billion (over $2 billion in USD) to
photonics-related R&D over the next seven years.
Historically the United States has been the world leader in deploying photonics research to
power cutting-edge technologies, but global competition has put at risk this leadership
position, which is causing a substantial loss of global market share to overseas competitors
as well as thousands of US jobs.
In 2012, the NRC released an update to “Harnessing Light” that reviewed the substantial
progress made in the optics and photonics fields, and the council called for a National
Photonics Initiative (NPI) to identify and further advance areas of photonics critical to
regaining US competitiveness and maintaining national security. Heeding the call, more
than 100 experts from industry, academia, and government collaborated to assemble
recommendations to help guide US funding and investment in five key photonics-driven
fields:
ADVANCED MANUFACTURING
Advanced manufacturing is vital for the economic well-being of the country; it is a
sector in which substantial job growth is possible. Though the majority of display
2
and photonics component manufacturing has moved overseas, the United States can
be a leader in new and innovative areas of manufacturing involving a new
generation of high-power and low-cost ultrashort pulsed lasers, as well as additive
manufacturing, also known as 3D printing. Additive manufacturing allows machines
to make a range of customized products directly from electronically transmitted
designs, saving costly material in the process. These advanced printers, which US
President Barack Obama called the future of manufacturing, can create objects
ranging from prosthetic limbs and functional human tissue to jet engine parts and
shoes. While the United States may struggle to compete successfully in high-volume,
labor-intensive, low-cost manufacturing, our nation can be a strong competitor in
custom, precision and high added-value manufacturing.
COMMUNICATIONS AND INFORMATION TECHNOLOGY
The next time you send an e-mail, Skype with your family or post on Twitter,
remember that without photonics, the Internet as we know it would not exist. Optics
and photonics increased the capacity of the Internet by nearly 10,000-fold over the
past two decades. Bandwidth demand is expected to grow another 100-fold, and
possibly more, over the next 10 to 20 years. Without improvements to address the
cost, power consumption, data rate and size, demand will outstrip capacity, which
may lead to higher costs and possibly even constrain the greater US and global
economy. Those countries that invest in solving these challenges will gain a sizeable
national security advantage by advancing the infrastructure that enables our
Internet-based economy.
DEFENSE AND NATIONAL SECURITY
Optics and photonics greatly enhance the United States’ ability to gather
intelligence, defend its citizens and protect its troops in the field. Optical sensing
technology makes surveillance and reconnaissance possible and it identifies
chemical, biological and nuclear threats to the homeland. Photonics makes laser-
guided weapons more accurate, provides lasers for critical missile defense
capabilities and permits personalized use of flexible display technology, which
allows our men and women in uniform to remain informed and safe during
operations with night vision, GPS and physiological feedback. Coordinated
investment and associated technology development in remote sensing, photonic
integrated circuit manufacturing, advanced lasers and cybersecurity will ensure
future military and economic security.
ENERGY
Photonics increases the efficiency and safety of US energy production and
consumption. The renewable energy sector is an area of potentially significant job
3
growth and a space in which photonics research can help lower US energy
consumption and reduce our reliance on foreign oil, thus strengthening national
security and revitalize the US economy. Renewable energy technologies are
especially attractive since most energy sources depend on fossil fuels, a limited
resource that can be dangerous to extract and harmful to the environment. The oil
and gas industry, for example, increasingly uses optical systems to monitor wells,
thereby increasing production and mitigating risks. Additionally, solid-state lighting,
such as LEDs, developed through photonics research, could cut US lighting
electricity usage in half by 2030, an annual energy savings of $30 billion and a
reduction of emissions equivalent to 40 million cars. Global demand for new energy
sources represents a significant growth opportunity for US manufacturers and
producers. US companies will need continued research and development
investments and structural support to lead the world into a clean, secure, efficient
energy future.
HEALTH AND MEDICINE
From laser eye surgery to MRIs, photonics is responsible for medical advances that
save and dramatically improve millions of US lives. Photonics plays a key role in
next-generation health care, both in enhancing the ability to observe and measure
symptoms and the capability to treat patients earlier with less invasive, more cost-
effective methods. Photonics-based health care tools offer sensitivity, precision,
speed, and accuracy, which enable rapid diagnosis and effective therapy — key
ingredients for high-quality, cost-effective care. Further investment in biophotonics
will result in smaller, more portable, automated, point-of-care diagnostic devices
that have the potential to improve outcomes and the ability to reach patients who,
because of location, income or other factors, lack access to health care.
New opportunities in these five fields — including solar power, high-efficiency lighting,
genome mapping, high-tech manufacturing, nuclear threat identification, cancer detection
and new optical capabilities vital to supporting the Internet’s growth — offer the potential
for even greater societal impact in the next few decades. Further, they offer a tremendous
opportunity for US job creation. Historically, the United States has done well at investing in
basic research but recently has fallen behind in investing in manufacturing science and
technology. As a result, and for associated reasons, research is occurring domestically while
manufacturing and those jobs supported by this industry have migrated overseas.
Greater investment in manufacturing science and technology will ensure that US
investment in R&D remains in the United States.
Directing resources to position the US as a leader in both research and manufacturing
science and technology will create jobs and benefit the economy. Coordination among
4
academia, industry and government labs will be the key to minimizing gaps between
available jobs and trained workers. For example, President Obama announced in 2012 a
military-to-civilian certification program. The initiative will enable up to 126,000 service
members to obtain civilian credentials and certifications in a number of high-demand
industries and will do so by joining with organizations such as the Society of Manufacturing
Engineers. Including laser processing technology programs such as laser repair and laser
welding into this initiative will ensure that new jobs created in the five key photonics fields
are staffed by trained workers.
In order to capitalize on these opportunities, regain global leadership and economic
prosperity, and retain a workforce ready to meet the challenges of tomorrow, the NPI
recommends that the United States government:
Drive funding and investment in areas of photonics critical to maintaining US
competitiveness and national security — advanced manufacturing, defense,
energy, health and medicine, information technology, and communications;
Develop federal programs that encourage greater collaboration between US
industry, academia, and government labs to better support the research and
development of next-generation photonics technologies;
Increase investment in education and job training programs to reduce the
shortage of technically skilled workers needed to fill the growing number of
photonics-based positions;
Expand federal investments supporting university and industry collaborative
research to develop new manufacturing methods that incorporate photonics such
as additive manufacturing and ultrashort-pulse laser material processing; and
Collaborate with US industry to review international trade practices impeding
free and fair trade and the current US criteria restricting the sale of certain photonic
technologies overseas.
The sections that follow are summaries of reports prepared by academic and industry
experts. The summaries provide a deeper assessment of opportunities for the US
government in the five key photonics-driven fields, as well as industry-specific
recommendations that, if followed, will reposition the United States as a leader in these
market sectors.
5
ADVANCED MANUFACTURING
Apple’s consumer electronic products, Intel’s processing chips, Caterpillar’s machinery,
Ford’s automobiles, and General Electric’s aircraft engines and lighting products all have
something in common — they all realized a competitive advantage of photonics-based
manufacturing. The use of photonics technologies in advanced manufacturing has
improved key factors of products such as size, weight, performance, and cost and is a
driving force behind the revitalization of manufacturing in the United States. In fact, in
2010, a $1.3 billion investment in lasers for airplane and automobile manufacturing
translated to $500 billion revenues for those two industriesi. Strategic investment in the
development of next-generation photonics manufacturing technology will help the United
States secure a strong manufacturing future by increasing its industrial competitiveness in
the global market.
Laser Tools
As one of the most versatile machine tools of the 21st century, high-power lasers are used
by heavy industry to cut, weld, mark, surface treat, and finely process nearly any
conceivable material. From drilling holes in aircraft engine blades to welding sterile
medical package for pacemakers, lasers are efficient, cost-effective, and produce the
highest-quality products.
Lasers and photonics devices are essential to quality control, solutions for metrology, and
high-speed robotic vision that enables high-throughput “pick-and-place” automation in
factories and other production facilities. Lasers also play a crucial role in additive
manufacturing and the printing of circuits on data chips. In addition, the electronics
industry uses lasers to repair memory circuits and high-resolution displays, to wire
integrated circuits, and to fabricate LEDs and solar panels.
High-power diode lasers and fiber lasers are compact, reliable, affordable, efficient, and are
being adopted rapidly by manufacturing. These “practical lasers” offer increased precision,
reduce scrap materials, and can replace tools that wear, all of which improve the bottom
line for manufacturers. As a result, a growing portion of the millions of US workers
involved in making fabricated metal parts today are using laser tools; additional training
and education is needed to ensure that our manufacturing workforce has the skills needed
to keep up with this technology.
In the automotive industry, high-tensile strength materials, such as hot-formed
components, are in global demand because they reduce weight and manufacturing costs
while increasing fuel economy and passenger safety. Laser cutting has proven to be the
only economically viable solution to making hot-formed automotive parts, which are
6
formed from lightweight, hardened steel that is almost impossible to cut without
deformation using traditional machining tools. Since implementation, the use of lasers has
reduced the cutting cycle times for these parts by a factor of two, increasing production to
nearly 100 parts per hour and decreasing processing costs to below $1.25 per piece. This
translates to energy savings of more than 100 kW hours during the production process.
With car production rates at 165,000 cars per day, the opportunity for continued growth in
this sector is endlessii.
Unfortunately, US dominance in optics and photonics manufacturing is slipping away. The
Netherlands and Japan are home to companies that manufacture the laser-based
equipment used in the production of most of the world’s data chips and the UK recently
funded an Additive Manufacturing Center, Laser Based Production Processes Center, and
an Advanced Metrology Center. Foreign dominance in this field is largely fueled by
government investment. For example, the Fraunhofer Institute for Laser Technology in
Aachen, Germany, had 56 percent of its 2011 operational revenue supplied by European
governments (predominantly Germany)iii; the Chinese government is currently funding five
National Laser Technology Research Centers; and Europe’s new Horizon 2020 program
includes nearly $1.6 billion for programs in photonics and microelectronics and
nanoelectronics and components. In many ways, the situation today is such that innovative,
small- to medium-sized companies in the United States are competing against foreign
nationsiv. It is critical that the United States makes investments in these emerging
technologies to enable our companies to compete in the global marketplace.
The United States must continue to innovate in laser design and laser application, and
develop a deeper understanding of laser and material interactions. A leading tool for
advanced manufacturing is the industrial grade, high-power, ultra- short pulsed laser. This
technology is initiating a new revolution in manufacturing processes by enabling even
greater levels of accuracy. Increased investment in ultra-short-pulsed lasers for U.S.
manufacturing will ultimately reduce manufacturing costs.
Recommendation: Invest in the development and production of high-power laser
technology and systems to advance manufacturing in the United States.
Recommendation: Invest in a coordinated national effort to improve our
understanding of laser-material interaction for applications in heavy industry and
manufacturing for material processing of metals, ceramics, plastics, composites and
glass.
Additive Manufacturing
7
Additive manufacturing, including laser sintering and 3D printing, is a process in which
three-dimensional objects of virtually any shape or size can be produced from digital
models through a layering process enabled by lasers. The result is a significant reduction in
waste compared to traditional processes during which material is removed from a block to
create a part. Furthermore, additive manufacturing allows for fabrication of many parts not
feasible through other methods. Sustained growth in additive manufacturing will require a
deeper understanding of laser-material interactions along with higher-resolution
technology to build increasingly complex parts or to repair high-cost parts such as turbine
blades.
Recommendation: Invest in adopting higher-resolution technology for additive
manufacturing.
Public-Private Partnership
To better address the needs for technology development, we must find ways to bring
industry, academia and government labs together to support leading-edge development
and dissemination of new technologies and processes. The German Fraunhofer model for
advancing applied research is frequently cited as a successful partnership between
industry and government, as 30 percent of the funding comes from government grants and
the other 70 percent comes from contract work for industry and government projects. The
Fraunhofer model also has strong ties to academia through university fellowships and
direct channels to educators.
Often, universities have the equipment and capability needed for innovation, but lack
connection to real-world problems or opportunities where the innovations could be
applied. There is a need for the creation of applied research and development institutions
dedicated to photonics that would unite academia with industry and national labs in
existing and emerging regional industrial hubs across the United States. Photonic institutes
located within regional industrial hubs would provide natural ecosystems for innovation
and matching private funding. These institutes could also provide facilities to support
educational and retraining activities. A significant opportunity to bring together and
support public-private partnerships is the National Network for Manufacturing Innovation
(NNMI), a concept introduced by President Obama that seeks to establish regional hubs to
accelerate development and adoption of cutting-edge manufacturing technologies for
making new, globally competitive products. Photonics technology should be explicitly
included in the NNMI institutes because of its broad role in supporting advancement across
all sectors of manufacturing.
Recommendation: Create applied research and development institutions funded
by public-private investment dedicated to photonics manufacturing innovations
that are driven by industry needs.
8
Education and Workforce
A well-trained manufacturing workforce is essential to regaining and maintaining US
leadership in advanced manufacturing. Science, Technology, Engineering and Mathematics
(STEM) education should include a photonics curriculum in high school and two-year
institutions. Photonics-related engineering education programs are also needed with a
focus on interdisciplinary programs that bring mechanical engineering and materials
science together with optics and photonics curricula.
To create the workforce that is necessary to support and grow photonics-based advanced
manufacturing, we should coordinate existing programs across all levels of education from
secondary public school systems through community colleges and universities, along with
re-training programs. Some examples of these programs include the Department of
Defense-backed Dayton STEM Center, which distributes STEM curriculum and reaches
more than 100,000 students; the National Science Foundation’s Advanced Technology
Education programs, including the National Center for Optics and Photonics Education (OP-
TEC), which is engaged in developing technician training programs; the US Department of
Labor’s $2 billion in grants to community colleges and universities for the development
and expansion of innovation-related training programs; and President Obama’s military-to-
civilian certification program. Connecting the needs of the photonics industry with these
programs will help to reduce the shortage of technically trained workers.
Bringing together academia with industry and government labs will also foster necessary
internship and apprenticeship opportunities to train students before they enter the
workforce. Currently, these types of training opportunities are limited in the US, forcing
students to obtain work visas to train overseas. While the US should strive to develop more
internship and apprenticeship programs at home staffed by instructors familiar with this
fast-paced field, the availability of more visas for overseas training would be a short-term
solution. Without this training, the US workforce will lack the skills to compete with the
global market. Funding for a six month or a yearlong training program at leading U.S. user
companies and at centers in Europe could help close the current education gap.
Recommendation: Develop two-year certificate and undergraduate degree
programs in design and laser materials processing.
Recommendation: Incorporate photonics technician training and certificate
programs into existing education and retraining programs such as those for
veterans.
9
i T. Baer and F. Schlachter, “Lasers in Science and Industry: A report to OSTP on the contribution of lasers to American jobs and the American economy,” http://www.laserfest.org/lasers/baer-schlachter.pdf, August 4, 2010. ii Prima Power, Session HPFL-5, “6th International Symposium High-Power Fiber Lasers and Their Applications,”
June 2012. iii Fraunhofer Institute for Laser Technology, Annual Report, 2011.
iv T. Skordas, “Horizon 2020,” SPIE Professional, http://spie.org/x86631.xml, April 2012.
10
COMMUNICATIONS AND INFORMATION TECHNOLOGY
Almost all data we receive today from cell phones, cable TV, the Internet, radio and print is
encoded, disseminated, and received using lasers, fiber optics, and optical detectors.
Netflix streaming, iTunes downloads, YouTube viewing (with 72 hours of new video
content added every minutei), Google searches, stock trades, flight plan data, and even
mobile phone traffic are all transmitted over fiber optic equipment. Simply put, photonics is
the key enabling technology behind the IT and telecom industry, a $4.7 trillion global
market accounting for more than 6 percent of the total world GDPii.
Over the past 30 years, innovations in optics, electronics and optical systems engineering
increased performance and dramatically reduced communications costs. The sharply
lower costs drove, and were driven by, exponential increases in telecom traffic: North
American telecommunication capacity grew 100 times over the last decade aloneiii.
Demand for more bandwidth is expected to continue, fed by new applications in fixed and
mobile computing. The GreenTouch Consortium, an industry organization formed to
improve energy efficiency in communications systems, forecasts continued growth in
demand for traffic of 40 percent per yeariv.
Despite impressive technical advances that fueled the exponential growth in data traffic,
companies are seeking innovative new solutions to meet the continuing growth in demand.
Without improvements to address the critical pain points of cost, power consumption, data
rate and size, demand will outstrip capacity, which may lead to higher costs and could
possibly even constrain the greater US and global economy. Emerging synergies between
electronic and photonic integration technologies will result in revolutionary changes in
photonics manufacturing that will dramatically change design principles and
fundamentally improve performance. Integrated photonic circuits will be a critical
competitive differentiator for applications ranging from telecommunications networks to
data center links to computer and on-processor interconnects. The leaders of this
revolution will gain sustainable advantages in national security and in advancing the
infrastructure that enables our Internet-based economy.
Aside from assuring a robust telecommunications infrastructure, the United States also
seeks to be a global competitor in high-tech industries, including information technology
(IT), data center services and equipment, communications network services and
equipment, and the components that support them. Leadership in this sector will drive
high-value service and manufacturing jobs for years and decades to come and will launch
spin-off technologies.
11
R&D Funding
Europe, Japan, and China have made significant R&D investments in technology and
telecommunications in recent years. Consequently, Europe is now strong in high-speed
communications, Japan in photonic integration, and China in access network technology.
Meanwhile, the US effort has less government support — and the support is less strategic
and less centralized.
The US optical communications equipment supply chain has been dismantled since the
early 1980s, when AT&T controlled the ecosystem from top to bottom. It has been rebuilt
overseas, with market share shifting particularly to Asian suppliers. R&D also fragmented
and synergies within the US economy were lost. Offshore suppliers gained strength, making
it more difficult for US-based manufacturers to recover market share.
This fragmentation also makes it difficult for companies to differentiate their products. The
result is that content managers such as Facebook, Apple, Google, Amazon and Netflix are
leveraging the technology with large profit margins, while the infrastructure providers
including companies such as AT&T and Verizon, as well as telecom equipment vendors,
face declining margins. The result is a lack of concentrated R&D funding necessary to drive
the next stages of optical communications innovation. Cooperative industry and
government funding in R&D will enable and accelerate the commercialization of solutions
for use in the US infrastructure and abroad, and it will preempt other countries from
dominating the technology to the exclusion of the United States.
Past R&D funding by US agencies such as the Defense Advanced Research Projects Agency
(DARPA), Air Force Office of Scientific Research (AFOSR), National Science Foundation
(NSF), National Institute of Standards and Technology and others has been successful in
enhancing US industry leadership in optical communications. For example, DARPA’s High-
Productivity Computing Systems program supported the development of optical
interconnects for hundreds of thousands of high-performance processor cores for IBM’s
POWER775 computing systems. Government agency support and partnerships with IBM,
Avago Technologies, and US Conec enabled commercialization of the first system with
much higher interconnectivity than earlier systems, helping to maintain US leadership in
high-performance computing, another field increasingly challenged by foreign competition.
Meeting the challenge requires a healthy ecosystem of domestic network providers, data
center operators, communications equipment vendors, and component suppliers. Yet, as
the National Research Council (NRC) report notes, “[m]any of the optical communications
successes over the last 10 years are built on earlier research that came from research
laboratories of vertically integrated companies, as well as strongly supported government
agencies. The industry is no longer integrated, but instead is segmented….In this
12
fragmented environment there has been a reduction in industrial research laboratories,
because the reduced scale makes it difficult for companies to capture the value that is
prudently needed to justify investing in researchv.” Opportunities for investment should
include next-generation manufacturing technology. Key topics include greater integration
of photonics and electronics, optical interconnections between and within chips, advanced
optical packaging processes, devices based on nano-photonic technologies, and fiber optic
spatial multiplexing. Research topics for special equipment for military needs might
include photonic integration for radio frequency (RF) photonics, quantum communication
and free-space communication such as that between satellites.
Recommendation: Renew and increase federal funding for future generations of
technology, with programs that allow access by researchers in publicly traded
companies, private companies and universities.
Fair Trade
Aggressive foreign pricing practices and IP violations are allowing competitors to gain
market share. This threatens the survival of US communications equipment suppliers,
communications equipment jobs, and telecommunications network security.
Recommendation: Uphold fair trade practices to ensure that intellectual property
is protected in the telecommunications equipment market.
Network Security
For many decades, US networks were largely operated by national monopolies using
equipment that was designed and manufactured by themselves or domestic vendors. In
recent years, the competitive landscape for communications equipment changed greatly,
with equipment vendors and their component suppliers more globalized than before. The
market has forced some vendors to merge (e.g., Alcatel-Lucent), some to exit altogether
(e.g., Nortel), while other vendors have emerged from a low profile to capture substantial
market share (e.g., Huawei and ZTE). Only two of the top 10 network equipment companies
are now located in the United States: Cisco and Tellabs. Huawei has vied for market-leader
position in recent years and ZTE is also in the top five. If this trend continues, it is possible
that there will not be any US domestic vendors for many types of networking equipment
deemed critical to US government operations — a major threat to national security.
It is possible that an adversary could withhold equipment or parts or insert sophisticated
“back doors” into the networking equipment for eavesdropping or sabotage. Importantly,
the adversary does not actually have to act on such vulnerabilities; the threat itself
weakens US national security and threatens the economy. The US government must ensure
13
access to trusted sources (“safe provenance”) of specific equipment and components for its
own future equipment needs.
Recommendation: Develop a healthy supply chain of trusted components and
equipment for the US infrastructure such as a domestic commercial-grade facility
for fabricating integrated photonics components, co-founded by industry and the
government or secure US-based trusted sources for complete optical
telecommunications systems.
Training and Education
Advances in optical communications will require skilled workers for companies in all levels
of the supply chain: network and data center operators, equipment vendors, component
suppliers, and installation and maintenance personnel. The sophistication of skills needed
range from optical technicians graduating from community colleges to engineering
graduates from top universities.
Recommendation: Increase state and federal funding for practical training and
education in optics and photonics, and funding for NSF’s National Center for Optics
and Photonics Education.
US companies today report difficulty hiring qualified technician-level workers as well as
documented workers of all levels. The NRC notes a brain drain in positions at US
universities, which could also be said of US university graduates: “Several nations have
invested in hiring distinguished researchers to prominent, well-paid professorial positions.
Oftentimes, these researchers have made their reputations in the United States, only to be
drawn away in their prime. This trend could have a profound impactvi.” Both companies
and universities seem to attract many applications from interested and qualified graduates
from top-ranked US and foreign universities, but many candidates lack the legal
documentation to work in the United States. Easing work visa rules and increasing funding
for practical training and education in optics would help alleviate this talent and technician
shortage.
Recommendation: Re-evaluate US work visa policy so US employers attract and
retain the best-qualified and trained employees, and create and improve training
opportunities at home to better train and thus employ US residents.
Broadband Infrastructure
The increase in Internet traffic over the past several years has been nothing short of
astounding: Internet traffic grew from 0.17 petabytes (PB) per month in 1995 to more than
20,500 PB per month in 2011. This remarkable growth has been possible due to the
14
existence of several key optical technologies: the erbium-doped fiber amplifier,
increasingly powerful forward error correction, dense wavelength division multiplexing
technologies, and coherent transmission. Given that Internet traffic continues to grow at a
compounded annual rate of 30 to 50 percent, most experts agree that new disruptive
optical fiber transmission technologies will be needed this decade to meet Internet growth.
Possible disruptive technologies that have been discussed include: advanced higher order
coding schemes, spatial division multiplexing, photonic integrated circuit technologies, and
ultra-broadband optical amplifiers. It is critical that funding and policy decisions are made
that allow the US photonics industry to participate fully in this innovation and, more
importantly, to lead in next generation photonic manufacturing technologies that will
position the United States as a low-cost manufacturing leader.
Communications infrastructure plays a key role in the US economy, leveraging other
sectors and bringing society-wide benefits. While US companies were early to install optical
fiber into telecommunication networks, the bar continues to be raised in a modern
economy. Recent statements from the Federal Communications Commission and efforts
from the Fiber to the Home Council aim to challenge and support communities to improve
infrastructurevii. It is important that public and private network operators continue to have
incentives to invest in fiber infrastructure to ensure US economic strength and growth in
new applications, such as telemedicine, distance education, advanced manufacturing,
energy conservation, and national security.
Recommendation: Adopt policies that promote the installation of next generation
broadband infrastructure throughout US communities.
i www.youtube.com/yt/press/statistics.html. The value refers to rates in 2012, and is nearly double the rate in 2011. ii Telecommunications Industry Association, ICT Market Review and Forecast, 2012.
iii National Research Council, Optics and Photonics: Essential Technologies for Our Nation (Washington DC, National
Academies Press, 2012), page 65. iv Cisco, Cisco Global Cloud Index, 2013; Web. 8 May 2013.
v National Research Council, Optics and Photonics: Essential Technologies for Our Nation (Washington DC, National
Academies Press, 2012), page 99. vi National Research Council, Optics and Photonics: Essential Technologies for Our Nation (Washington DC, National
Academies Press, 2012), page 96-97. vii
FCC Chairman Julius Genachowski Issues Gigabit City Challenge to Providers, Local, and State Governments to Bring at Least One Ultra-Fast Gigabit Internet Community to Every State in U.S. by 2015 (January 18, 2013).
15
DEFENSE AND NATIONAL SECURITY
When US soldiers step onto the battlefield, their safety and ability to efficiently carry out
their mission rests largely on optics and photonics technology. Soldiers carry night vision
goggles to see in the dark; they use laser range finders and target designators to direct
weapons precisely; they determine the location of hostile forces using high-resolution
images acquired from pilotless, unmanned systems; and they utilize high-speed, secure,
optical communications to receive intelligence and data from control centers sometimes
thousands of miles away. The ability to gather and transfer information quickly can be the
deciding factor in times of conflicts. As such, current and future US superiority in
intelligence, surveillance, and reconnaissance (IRS) and high-power laser capability is, and
will continue to be, determined by photonic technologies.
While defense needs are unique, the advanced technologies developed to meet those needs
can be leveraged to drive new generations of high-tech commercial applications: high-
speed, secure Internet; faster and more powerful computers and mobile devices; advanced
medical imaging, diagnostics and treatments; enhanced environmental sensing; and
lightweight and portable sources of renewable energy. Coordinated investment and
associated technology development in remote sensing, photonic integrated circuit
manufacturing, advanced lasers, and cybersecurity will help ensure future military and
economic security.
High-Energy Lasers and Systems
Photonics is a major part of many high-performance systems used by the military. The
fundamental technologies for directed energy laser systems are based on myriad photonics
technologies, from creation of the high-power laser beam to beam profile control, target
acquisition, target tracking, and precision beam pointing. Lower-power lasers are already
employed extensively in the form of illuminators, rangefinders, and are used to gather
intelligence and for reconnaissance. Wavelength-agile, compact, rugged, and affordable
infrared laser systems are needed to provide protection for a wide variety of US military
and commercial air, sea and land platforms against heat-seeking missiles. Heat-seeking
missiles are relatively inexpensive, costing only several thousand dollars each, yet they put
at risk aircraft costing tens of millions of dollars. Aircraft can be protected effectively
against shoulder-launched, heat-seeking missiles by photonics-based counter measures
that provide a very cost-effective deterrence. High-energy laser (HEL) weapons offer ultra-
precise targeting, and are extremely low cost per use, lightweight, and have nearly an
unlimited magazine. In some situations, the extensive magazine and low cost per use make
laser weapons the only affordable method of countering a threat.
16
HEL weapons could soon become the preferred method to counter and restrict enemy
forces in situations involving strategic nuclear and chemical-biological weapon (CBW)
threats from near-peer and rogue adversaries. Multi-megawatt class lasers could protect
major cities from strategic missile attacks; proper deployment of these lasers can destroy
strategic CBW threats in their “boost phase,” the phase of a missile’s flight during which the
engines are still thrusting, minimizing the potential for chemical, biological, or nuclear
damage to US cities and those of our allies. For example, a megawatt class next generation
airborne laser (ALB) could defend Honolulu and San Francisco from a missile attack across
the Pacific Ocean and could be easily repositioned to intercept threats originating from
other global locations. Laser weapons may offer the only affordable, effective defense
against ballistic missiles with advanced maneuvering capabilities, cruise missiles,
swarming small craft and unmanned aerial vehicle (UAV) threats. While strategic laser
platforms could cost hundreds of millions of dollars, they have the potential to save
millions of lives. These platforms also provide a strategic deterrent to rogue nations’
threats and posturing.
HEL weapons could be a game changer in defense weapon systems similar to the impact of
the cannon on warfare 700 years ago. Unfortunately, the United States has reduced
spending on HEL technologies and systems in the past five years, concentrating its
investment in a limited spectrum of technologies (solid state and fiber) that may limit the
country’s ability to achieve the megawatt class high-power lasers required for the most
dangerous threats. In fact, several of the materials and components for US laser systems
are now manufactured only overseas, a growing potential threat to US national security.
Recommendation: Significantly increase investment in all elements of HEL systems
and the full spectrum of high-energy laser technologies, and set a national vision for
strategic and tactical high-power laser system implementation.
Sensors
Existing microwave or radio frequency (RF) sensor suites (e.g. radar) have been the
backbone of our legacy sensing systems and remain a tool for sourcing invaluable
information. However, current RF sensor platforms based mainly on electronics can
require up to three tons of weight in traditional electronic components and cabling, and
they have a more limited operating range of 10 to 20 km. Though current optics and
photonic sensor technologies offer superior capability to today’s radar in many areas,
advanced photonics technologies can offer a smaller, lightweight, longer-range alternative
to enhance or even replace radar sensors. This can provide military personnel the highest
level of confidence that a target is indeed a valid military threat before an operation is
executed.
17
The United States has developed passive wide area imagers like the 1.84 gigapixel visible
imager ARGUS, which allows troops to view an area greater than eight miles with a one-
foot resolution. This can be a transformational capability, especially in an urban
environment. Currently, this capability is available only for daytime operations with the
viewing area much more limited for comparable resolution at night. Next-generation active
photonic sensors like HALOE, which currently uses laser sources for illumination to
provide 3D imaging and mapping over wide areas, can offer such enhanced capabilities day
or night.
Small, inexpensive sensors mounted on robotic vehicles or in UAV’s are increasingly
needed on the battlefield to provide real-time imagery and intelligence. The United States
needs to increase the deployment of such ubiquitous, inexpensive, low-power sensors that
are connected to a secure network to provide real-time updates and actionable
information. Similarly, the United States must invest in the industrial infrastructure to
design and manufacture these defense-oriented sensors domestically.
Recommendation: Develop continuous, infrared gigapixel sensors with the ability
to image in 2D and 3D very wide areas at night or day in high resolution.
Cyber Superiority and Integrated Circuit Manufacturing
Information gathering is vital to military superiority and national security. The United
States needs to develop the capabilities to ensure the highest bandwidth and most secure
wired and free space communications systems. These technologies would also provide the
backbone of the next generation Internet with associated commercial applications.
Advances in photonics integrated circuits and component packaging will increase
capabilities in communication, intelligence, navigation, electronic warfare, and sensing
systems. In addition to reduced system size, weight, power and cost, the ability to integrate
large numbers of devices on a given chip enables new applications and performance
capabilities that would not otherwise be possible or economically feasible.
For years, the United States was a leader in the field of integrated photonics. Today,
however, the packaging of these components is primarily done overseas. The emergence of
integrated photonic technologies, which require new packaging approaches, will create an
opportunity to recapture this market. An investment now in a shared foundry service that
would help US companies in the design, manufacturing, and packaging of next-generation
integrated photonic circuits at an affordable cost will permit larger-scale deployment of
high-performance communication and sensor technology to our military and commercial
platforms. These critical military systems and their commercial counterparts will benefit
from the increased capability, manufacturability, environmental stability, size, weight,
power, and cost that photonic integration enables.
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Recommendation: Establish a photonic foundry service tailored to the needs and
volumes of the military, which are much more demanding than most commercial
specs.
Recommendation: Invest in research to develop low-cost packaging solutions in
the United States for photonics integrated circuits.
Defense Workforce
The aerospace and defense industry currently supports 3.5 million jobs. The industry’s
workforce is highly skilled and leads the nation in global competitiveness, providing
current and future opportunities for young people to have high-paying careers that will
keep the industry strong for the future while advancing US national and economic securityi.
Unfortunately, downward trends in US citizens with STEM training means fewer
technically qualified individuals capable of obtaining security clearance. Due to the “boom
and bust” instability of R&D funding, it is now more difficult than ever to attract qualified
scientists and engineers to the disciplines essential to a defense workforce. Furthermore, as
the baby boomer generation approaches retirement, insufficient numbers of students,
scientists, and engineers are in the pipeline to replace this huge pool of talent. The current
employment pool of engineers and technicians represent a very valuable resource essential
to our national security — one that provides great economic benefit. As this current
workforce approaches retirement, the United States will need to replace these retirees with
comparably trained and talented young engineers and scientists.
Since 2006, industry investment in R&D has been declining by approximately 0.1 percent
per year, mirroring the national investment trend. This represents a significant loss of
intellectual capital and jobs when analyzed in real dollars, and translates to insufficient
industrial capacity and significant workforce uncertainty. Fabrication of the precision
optics necessary for high-power lasers is limited by that insufficient industrial capacity and
time; it takes a year or more to achieve true high-power application. A national vision will
reinvigorate the R&D environment and provide direction and motivation to the next
generation of science and technology leaders.
Recommendation: Establish a national vision for R&D in photonics technologies to
reinvigorate our science- and technology-driven defense workforce.
i American Institute of Aeronautics and Astronautics, “Assuring the Viability of the U.S. Aerospace and Defense Industrial Base: An AIAA Information Paper,” 2013.
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ENERGY
The United States is the second-largest consumer of energy in the world and ranks second
among major nations in per capita energy usage behind Canadai. A significant portion of
this energy comes from other countries, influencing our foreign policy and impacting our
national security. Global demand for new energy sources represents a significant growth
opportunity for US manufacturers and producers. Renewable energy technologies are
especially attractive, since most energy sources depend on fossil fuels — a limited resource
that can be dangerous to extract and harmful to the environment.
Photonics-based technologies have the potential to reshape our energy future into one that
is cleaner, more efficient, and more secure. Solar energy devices that provide a renewable,
secure and domestic energy source, efficient light-emitting diodes (LEDs) that lower
energy consumption and operating costs, and sensors that allow oil and gas companies to
not only locate new wells but extract resources more safely will all contribute to a stronger
economy. Photonics has also played a major role in analyzing the dynamics of combustion
for gasoline and diesel engines. This has led to a better understanding of engine design and
has improved the energy efficiency of internal combustion engines.
Existing federal programs such as the Department of Energy’s (DOE) Advanced Research
Projects Agency-Energy (ARPA-E) and the Office of Energy Efficiency and Renewable
Energy are funding and coordinating high-impact research in some of these areas, but more
work is needed. The Chinese government, for example, has designated solar power and
LED lighting as critical industries, providing tens of billions of dollars in the form of loans,
land, and R&D funding to directly support Chinese companies in this field. To remain
competitive, US companies will need continued research and development investments and
structural support to lead the world into a clean, secure, and efficient energy future.
Energy Generation: Solar Power
While today’s solar-generated electrical power represents a small fraction of the world’s
production capacity — less than 0.5 percentii — solar power is the fastest energy
generation source in the United States. In 2012, the US market size for solar energy was
$11.5 billion, a 34 percent increase over 2011iii. This growth will be accelerated by reduced
manufacturing costs of existing technology and the development and introduction of new,
lower-cost materials and devices. Solar energy can provide a sustainable energy source to
meet a significant portion of the nation’s total projected energy needs, but system and
production costs must be reduced in order to be competitive with other energy sources. To
do so will require investments and advances in materials, technology, transmission, and
manufacturing.
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In 2012, 3.2 GW of solar energy capacity was installed in the United States, representing 10
percent of the world solar capacity installed that yeariv. A reasonable estimate for US
installations in the year 2020 is about 20 GW per year. With an average utility-based
system price of $1.70/W today, the revenue from this activity is in the range of $40 billion
per year. The globally accessible market for US-based companies is, of course, much higher,
probably by a factor of 10.
Domestic manufacturing levels of solar energy technologies also remain an obstacle to US
competitiveness. Although photovoltaic (PV) cells were invented at Bell Labs in the United
States, and US companies were pioneers in efficient PV design, the majority of PV
production takes place in Asia and Europe today, with less than 5 percent remaining in the
United Statesv. In fact, eight of the top 10 panel manufacturers in 2012 were Chinesevi.
Basic investments in manufacturing, technology, and science could potentially bring these
jobs back to the United States.
Both R&D and public policy have played, and will continue to play, a vital role in reducing
hardware and non-hardware costs in solar energy and in expanding markets. The economic
case must be compelling to overcome resistance to change. The opportunity for US
company participation in the growing solar market has never been greater, but likewise, so
has foreign competitive pressure. Currently, most government support for solar energy is
concentrated within the DOE. Past DOE programs that provided cost sharing for longer-
term R&D in industry were some of the highest-leveraged programs, with great economic
benefits for the United States. Programs that fund joint R&D programs among academia,
industry, and national laboratories also have been shown to have a high return on
investment. Such programs not only produce valuable results directly, they also provide
the opportunity for graduates from US universities to gain experience in topics relevant to
US companies. As PV technology quickly evolves in many different directions, sustained
coordination and communication among industry, academia and government is needed to
ensure that programs are administered efficiently and are working to best meet the
overarching needs of the industry.
Recommendation: Increase funding for federal solar R&D supporting collaboration
among industry, academia, and national labs to work on longer term, but
commercializable, products.
Recommendation: Create a permanent industrial advisory committee for the DOE
solar initiative to assist in documenting industry needs and to aid in developing the
national strategy and position.
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Recommendation: Establish a sustained “road map” for solar energy among
industry, academia, national labs, and government with an emphasis on
performance, cost, and market trajectories.
Energy Conservation and Efficiency: LEDs
LED technologies have advanced considerably since the first demonstrations more than 50
years ago. From the mobile device market, to liquid crystal display (LCD) backlighting, to
general illumination applications, highly energy-efficient LEDs are rapidly becoming
omnipresent in the household.
This technology presents an opportunity for a robust, energy efficient, cutting-edge
industry. The global solid-state high-brightness LED market was $13.7 billion in 2012vii.
With continued improvements in performance and reductions in manufacturing cost, LEDs
should begin to dominate general lighting, with an estimated market of $84 billion by
2020viii. Because LEDs are more efficient than existing incandescent sources, the
opportunity exists for significant reductions in energy costs. Residential LEDs, for example,
use at least 75 percent less energy and last 25 times longer than incandescent lighting. By
2030, the forecasted energy savings from the use of LED lighting in the United States is
about 45 percent — a savings of $30 billion at today’s energy costsix.
Solid-state lighting (SSL) technologies, such as LEDs, present an opportunity for a robust,
clean-energy, high-technology industry that could provide strong economic benefits,
including increased exports of high-quality goods and a large number of well-paying jobs in
the United States. Unfortunately, the United States lags behind other nations that have
made this area a national priority. For example, large investments and subsidies in Asia,
specifically China, are leading the movement of high-technology SSL infrastructure
overseas; it is estimated that Asian suppliers have established a market share of more than
70 percentx. While the global LED market was $13.7 billion in 2012, only one US company
— Cree Inc. — was a top 10 global LED supplier, accounting for just 7.7 percent of the
marketxi. Investment in the next generation of lighting technologies, such as organic LEDs
(OLED) and electro-luminescent panels, could position the US as the leader in energy
efficient lighting. The US must move quickly in order to capitalize on this opportunity and
capture the SSL market.
DOE’s SSL Multi-year Program Plan (MYPP), created in cooperation with industry and
academia, is valuable in leading the United States to the top of SSL research, product
development, and manufacturing. The MYPP includes quantitative performance and cost
metric goals for SSL that serve as a road map to coordinate national research efforts.
Furthermore, it sets clear criteria for evaluating the impact of proposed programs and
fosters annual collaborative revisions, thus drawing broad acceptance from industry and
22
academia. Increased funding is needed for federal SSL technologies R&D to address the
bigger picture problems in manufacturing, such as materials development. This mechanism
should co-exist with and complement the existing DOE MYPP. Examples of successful
programs to emulate are MANTECH, which provides advanced technological services to the
United States government, and the DOD’s Microwave and Millimeter Wave Monolithic
Integrated Circuit (MIMIC) program. MIMIC was a research initiative in the 1980’s and
1990’s that took research into circuits and turned it into manufactured products for
defense and later commercial application.
Unfortunately, most available program funds are small and divided across many different
technologies, as well as across R&D and manufacturing efforts. The resulting program
funding levels are low (generally less than $1 million per year) and funding typically favors
application-based projects, not fundamental materials and device research. As such,
current funding opportunities are not positioned to address wider-ranging industry needs,
such as materials development and efficiency improvements.
Recommendation: Increase federal funding for university-based basic materials
R&D in support of the US SSL industry.
Recommendation: Increase federal funding for industry-based manufacturing
technology development that addresses the big-issue problems of SSL.
Energy Exploration and Monitoring: Photonic Sensing
Fiber optic sensors for monitoring oil and gas wells on land and under the sea are
providing real-time feedback on the mining environment; ground and satellite based
optical instruments are monitoring greenhouse gas emission and CO2 emissions from
electrical plants and transport vehicles; and, data collected by photonic instruments is
being used to develop accurate climate models for predicting the impact of changes in our
climate. From the sea to the sky, photonics is being employed to monitor our changing
environment.
With exploration spreading into new areas, such as shale gas and deep ocean wells, and
demand for domestic energy sources high, there is now an increased focus on real-time
monitoring to improve extraction methods, increase safety, and mitigate risks. Optics and
photonics technologies can play a major role in achieving those goals. Fiber optic and free-
space sensors are used to monitor oil and gas wells and emissions from electric and nuclear
plants, as well as provide real-time feedback on mining environments.
In 2011, US oil and gas exploration and production expenditures totals exceeded $250
billionxii. The percentage of this investment enabled by photonics sensing and monitoring
23
capabilities is difficult to quantify, as it involves numerous externalities that are not
currently assigned dollar values. One internal industry market analysis covering only one
type of commonly used sensing methods, distributed fiber optic sensing, estimated the
market to be more than $1 billion by 2016 with 70 percent in the oil and gas industry.
Fiber optic sensing started in the petroleum industry more than 15 years ago with
successes in California’s shallow, cooler wells. In recent years, new materials, better
instrumentation, and mechanical protection techniques have advanced to the point that
fiber can now survive in harsh oil and gas environments, as well as aerospace and nuclear
power environments, for 10 years or more without failure. The challenge now is to make
use of fiber optics’ advantages over conventional sensing systems, demonstrating more
efficient and cleaner oil and gas extraction.
Additionally, photonic sensors are enabling smart buildings by turning lights off when one
leaves the room and darkening windows at midday when the sun is strongest. These
advances allow building environments to operate more efficiently and cost effectively.
While industry-government coordination in this field currently is limited, there has been
some success in joint industry technology development programs. The DeepStar initiative
— an industry collaboration project focused on advancing technologies for deepwater
drilling — is a strong example. DeepStar was launched by the oil industry in 1992 and
provides a forum for industry experts to discuss deep-ocean drilling challenges. Replicating
these efforts for the larger sensing community would be highly beneficial.
Recommendations: Create a road map for sensing applications that includes fiber
and free-space technologies covering all aspects of energy monitoring. The activity
should be sponsored by an industry-based consortium to ensure relevance to near-
term and longer-term technology needs.
Recommendation: Create an industry-led collaboration similar to the DeepStar
program but supported by government investments that is focused on early-stage
fiber and free-space sensing technology development. The program should be
designed to foster innovation and R&D while reducing the financial risk of
individual participants.
Workforce Status
Currently, the US workforce was found to have modest-to-moderate growth needs in all
areas ranging from technical education, R&D, engineering, manufacturing and deployment,
with slightly higher demand in energy generation areas than the LED and sensing fields.
Re-prioritized increases in university and national laboratory funds directed at topics of
relevance to industry will be required to help meet these needs. The solar energy field will
24
also need increased infrastructure and training programs for installation skills as demand
rises. However, as market adoption of optical technologies increases, the demand for highly
skilled optical technicians will also likely rise. In that event, robust training programs
through technical education programs, community colleges and universities, or an import
of talent, would be needed to ensure an adequate supply of skilled workers. As is the case
across manufacturing, job training opportunities are limited in the US. While the US should
strive to develop more internship and apprenticeship programs at home staffed by
instructors familiar with this fast-paced field, the ability to train more US workers overseas
is a short-term solution. Without this training, the US workforce will lack the skills to
compete with the global market.
i The World Bank, “World Development Indicators,” 2011. ii Center for Climate and Energy Solutions, “Solar Power Fact Sheet,” October 2012.
iii Solar Energy Industries Association, “U.S. Solar Market Insight 2012 Year in Review,” March 14, 2013.
iv Solar Energy Industry Association, “Solar Market Insight Report 2012 Year-in-Review,” March 14, 2013.
v Photon International, Earth Policy Institute, Wiley Rein. Graphic: Tobey/ The Washington Post. December 16,
2011. vi Based on preliminary figures. In PV, by revenue, the three top companies are likely all US-based, with First Solar
#1 (CdTe-based PV), #2 SunPower Corporation (advanced c-Si based), and #3 MEMC (c-Si based). All three companies have large downstream presence and more than 600 employees in the U.S. vii
Strategies Unlimited, “Worldwide LED Component Market Grows 9%, with Lighting Ranking First Among Application Segments,” February 13, 2013. viii
McKinsey Inc., “Global Lighting Market Model,” 2012. ix United States Department of Energy, “Energy Saver: LED Lighting,” July 29, 2013.
x Young, R., IMS Research, “Global Manufacturing Trends: What Can We Learn from the HB LED Market
Explosion?” DOE Manufacturing R&D Workshop presentation, April 12, 2011. xi Strategies Unlimited, “Worldwide LED Component Market Grows 9%, with Lighting Ranking First Among
Application Segments,” February 13, 2013. xii
BP PLC, “Statistical Review of World Energy,” June 8, 2011.
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HEALTH AND MEDICINE
In the emergency room, a patient experiencing chest pains or a severe headache almost
invariably receives a high-resolution, three-dimensional computed tomography (CT) scan
that can assist in the life-saving diagnosis and treatment of a heart attack, pulmonary
embolism, or stroke. In the clinical laboratory, blood samples are analyzed using lasers and
optical imaging to provide readings on a patient’s immune and circulatory systems, and
human genes are tested using photonics systems to determine if a patient has a
predisposition to life-threating diseases such as cancer to better inform treatment options.
And, in the surgical suite, the pulse oximeter uses light to provide surgeons and
anesthesiologists with precise and real-time readings of a patient’s blood oxygen saturation
levels to prevent brain damage; optical endoscopes provide surgeons a close-up view of
organs; and laser surgery minimizes the size of the surgical incision, reducing trauma and
infection risk while dramatically speeding recovery. Eye surgeons also commonly use
lasers for vision correction surgery and eye doctors are using retinal imaging for
sophisticated eye exams. These examples highlight a few of the many ways photonics and
optics are used today to improve health care, reduce costs, and save lives.
The United States boasts the most technologically advanced yet the most costly health care
in the world: almost 20 cents of every dollar goes toward the system. Photonics will play a
key role in next generation health care technology, both in enhancing our ability to observe
and measure symptoms, as well as our capability to treat patients earlier with less invasive,
more cost-effective methods.
Photonics-based health care tools offer sensitivity, precision, speed and accuracy, enabling
rapid, personalized diagnosis, and effective therapy — key ingredients for high-quality,
cost-effective care. The development of smaller, more portable, automated, point-of-care
diagnostic devices has the potential to further improve care, across the full spectrum of
places patients are seen or monitored. Faster surgeries with fewer complications; shorter
hospital stays; fewer hospital admissions; shorter and more helpful visits to primary and
secondary physicians’ offices; and timely health alerts at home, work or while exercising
will all contribute to lower costs, better outcomes, and a healthier population.
Today, the global biophotonics market was estimated at $23 billion in 2012 and it is
expected to reach $36 billion by 2017i. This rapid growth is exemplified by the relatively
new but growing field of optical coherence tomography (OCT). OCT systems obtain detailed
images of the interior of the eye, but the technology also has applications in cardiology,
gastroenterology, and even pharmaceutical process control. The rapidly expanding OCT
market exceeded $645 million in 2012ii, with a significant portion of OCT technology
companies located in the United States. While the United States is the acknowledged world
26
leader in biophotonics, medical devices, and diagnostic products, and has more than half of
the leading global medical device companies, other nations are making significant
investments in medical instrumentation. A focused, photonics-driven effort in health care
and medicine is needed to maintain the country’s leadership position.
Photonics Tools
Medical Devices
Growth in computational power and image processing capabilities has rapidly improved
optical devices and image quality and techniques, moving the health care system away
from qualitative physician assessment toward more automated and quantitative
diagnostics. This is taking place both at the bedside and in the operating room. Next-
generation devices and techniques will, for example, allow surgeons to identify and remove
cancer cells in real-time, and to diagnose concussions instantly and accurately. Diagnosis
will be combined with specific targeting of diseased cells and tissues, so that early
detection can be met with highly accurate therapy and result in improved outcomes at
reduced costs.
The drive for early detection requires the development and introduction of reliable and
reproducible quantitative imaging instruments. These instruments will require the
development of calibration standards that will bring confidence to early diagnosis, which is
particularly necessary when striving for the lowest possible limits of detection. Standards
also allow for the quantitative comparison of patients’ data over time, across individuals
and across laboratories, increasing the speed with which correct diagnoses are developed
and delivered and minimizing “false positives.” The US software, information technology,
and medical instrumentation industries, in cooperation with the National Institute of
Standards and Technology (NIST) and academia, should work together to prioritize the
commercial development of imaging standards for both acquisition and storage, as well as
new software methods automating the extraction, quantification, and identification of
regions of interest in large, 2D and 3D data sets to optimize the utility of new and emerging
imaging instrumentation.
Recommendation: Prioritize development of imaging standards and software
methods that automate the extraction, quantification and identification of regions of
interest in multidimensional data sets.
The next generation of point-of-care diagnostic and therapeutic devices will require new,
even more powerful capabilities at a lower cost. Current medical instruments and life
science research tools benefit greatly from technology developed for and repurposed from
27
the telecommunication industry. For example, new low-cost lasers developed for long-haul
telecommunication to provide simultaneous cutting and cauterization can be used by
surgeons for sterile, “no contact” incisions to reduce bleeding and patient trauma. Although
laser and optical technologies can often be adopted from other fields, medical applications
typically require a higher level of performance to be safe and effective. Additional R&D
investments are needed for health and medicine to build on these advances in photonics
adopted from other fields.
Recommendation: Fund the development of affordable, automated point-of-care
diagnostic devices in areas of major medical needs such as infectious diseases,
internal traumatic injuries and cardiac arrest, and invest in the development and
enhancement of existing optical technologies suitable for innovative medical
applications.
Biomedical Research
The incorporation of new photonics technologies into life science research tools has a long
and successful history in the United States. From the early development of the flow
cytometer, the key instrument that unraveled the mysteries of the AIDS epidemic, to the
development of high-throughput gene sequencing equipment that has lowered the cost of
sequencing a human genome from tens of millions of dollars to under $1,000, the United
States has been the world leader in photonics-driven innovation in biomedical
instrumentation.
Understanding the immune system and diseases at the cellular and molecular level will
require the ability to image individual cells in real-time within the human body, which will,
in turn, require new, 3D visualization tools and related data processing, acquisition and
storage formats to be in place. Much research remains to be done. In recent years,
extraordinary advances in the imaging of living cells have come out of Europe.
Breakthroughs are required to improve the utility of biomedical images. Sharing data
across institutions and researchers will be a powerful way to enable the necessary
advances.
Recommendation: Invest in the creation of an information technology
infrastructure for sharing large amounts of medical and clinical data (e.g., well-
annotated medical images) and research into algorithms and software for analyzing
such data.
Major initiatives in life science and biomedical research are particularly valuable
opportunities to foster the creation of innovative photonics science and technology needed
28
for medical advances. For example, in 2013, President Obama announced the Brain
Research through Advancing Innovative Neurotechnologies (BRAIN) project, which is
based, in part, on innovations in optical methods for interrogating brain function. This
initiative will greatly advance our understanding of how the mind works in hopes of
providing greater insight into Parkinson’s, Alzheimer’s, and other neurodegenerative
diseases. Further funding of photonics research under the auspices of the BRAIN project
will help ensure the continuous creation and integration of new tools into the broader
program. Similar opportunities exist to advance the safety and efficacy of stem cell-derived
tissue implants to repair or replace organs; low-cost diagnostics for drug-resistant
pathogens to prevent epidemics; and a comprehensive understanding of immune response
to disease or environmental factors to enable the body’s quick reaction to and diminish the
consequences of disease.
Recommendation: Allocate research funds for advanced photonics research as an
integral part of programs relying on novel measurements for the advancement of
understanding human biology, optogenetics, and disease.
Commercial Development and Regulatory Process
Appropriate controls on safety and utility for medical devices are maintained through
clinical trials and post-market regulations. The duration of the regulatory process is
difficult to predict, which leads to a high degree of uncertainty in the amount of investment
and time necessary to translate a new technology into approved medical instruments.
Recommendation: Increase collaboration between US government, regulatory
agencies, and industry to create an accelerated process for advanced clinical trial
designs for medical instrumentation and supporting clinical trials of promising new
cost-savings methods.
Increased engagement among industry, academia, government labs, and the National
Institutes of Health would benefit all parties. Industry input to proposal review panels
about the most important unmet medical needs could help these committees best evaluate
funding proposal option. Industry participation in these panels could provide early insight
into potential applications of new technology.
Recommendation: Increase medical expert and industry engagement in the
evaluation of research proposals, and use their recommendations for medical
applications as motivation and guidance for next steps in the commercialization
process (e.g., translational research or Small Business Innovation Research (SBIR)
program funding).
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Collaboration and Training
Medical applications of technology are inherently multidisciplinary. Collaborations across
electrical and mechanical engineering, physics, math, computer science, biology,
biochemistry, and medicine are essential. The most innovative employees are often those
with deep expertise in engineering or physical science, as well as life science or medicine.
Dual training increases the likelihood of innovation at the intersections of traditional fields.
Furthermore, interdisciplinary teams provide greater insight into the most important
medical problems and can often offer multiple alternatives for solving these problems.
Recommendation: Expand investment in multidisciplinary centers, such as
universities with medical and engineering schools, at which critical developments
that combine discoveries in multiple fields can be efficiently fostered.
i Yole Développement, Tematys, and EPIC, “Biophotonics Market, Focus on Life Sciences & Health Applications,” April 2013. ii BCC Research LLC, “Global Markets and Technologies for Optical Coherence Tomography (OCT),” May 2013.
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ACKNOWLEDGEMENTS
The National Photonics Initiative (NPI) Committee would like to thank the following
organizations for their support in the development of the NPI white paper, “Lighting the
Path to a Competitive, Secure Future.” Without the strong leadership and unified effort
provided by these organizations and the optics and photonics community, this project
would not have been possible.
Founding Sponsors: The Optical Society (OSA) and SPIE, the international society for
optics and photonics.
Sponsors: American Physical Society (APS), IEEE Photonics Society (IPS), and Laser
Institute of America (LIA).
Collaborators: Directed Energy Professional Society (DEPS), Infinera, Laser Mechanisms
(Laser Mech), National Academy Sciences (NAS), Optoelectronics Industry Development
Association (OIDA) and Stanford Photonics Research Center (SPRC).
National Photonics Initiative · www.lightourfuture.org