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Optoelectronics in Japan and the United States

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Optoelectronics in Japan and the United States Japanese Technology Evaluation Center JTEC JTEC Panel Report on Optoelectronics in Japan and the United States Stephen R. Forrest (Panel Chair) Larry A. Coldren Sadik C. Esener Donald B. Keck Frederick J. Leonberger Gary R. Saxonhouse Paul W. Shumate February 1996 _______________________________________________________________ International Technology Research Institute Michael J. DeHaemer, JTEC/WTEC Director Geoffrey M. Holdridge, JTEC/WTEC Series Editor JTEC/WTEC Program Loyola College in Maryland 4501 North Charles Street Baltimore, Maryland 21210-2699 _______________________________________________________________ JTEC PANEL ON OPTOELECTRONICS Sponsored by the National Science Foundation, the Advanced Research Projects Agency, the Department of Commerce (Asia/ Pacific Technology Program and NIST), the Office of Naval Research, the Department of Energy, and the Department of State of the U.S. Government. Dr. Stephen R. Forrest (Panel Chair) Dr. Frederick J. Leonberger Princeton University Uniphase Telecommunications Products Eng Quad 1289 Blue Hills Ave. J301 POEM Bloomfield, CT 06002 Princeton, NJ 08544 Dr. Gary R. Saxonhouse Dr. Larry A. Coldren Dept. of Economics Electrical and Computer Engineering Dept. University of Michigan University of California 611 Tappan Street Santa Barbara, CA 93106 Ann Arbor, MI 48109-1220 Dr. Sadik C. Esener Dr. Paul W. Shumate ECE Dept. Bellcore R007, UCSD Rm. 2Q186 La Jolla, CA 92093 445 South St. Morristown, NJ 07960-6438 Dr. Donald B. Keck Director, Optoelectronics Research R&D Engineering Division Corning, Inc., SP/FR/2/9 Corning, NY 14831 INTERNATIONAL TECHNOLOGY RESEARCH INSTITUTE JTEC/WTEC PROGRAM The Japanese Technology Evaluation Center (JTEC) and its companion World Technology Evaluation Center (WTEC) at Loyola College provide assessments of foreign research and development in selected technologies under a cooperative agreement with the National Science Foundation (NSF). Loyola's International Technology Research Institute (ITRI), R. D. Shelton Director, is the umbrella organization for JTEC and WTEC. Paul Herer, Senior Advisor for Planning and Technology Evaluation at NSF's Engineering Directorate, is NSF Program Director for JTEC and WTEC. Other U.S. government agencies that provide support for the program include the National Aeronautics and Space Administration, the Department of Energy, the Department of Commerce, and the Department of Defense. JTEC/WTEC's mission is to inform U.S. policy makers, strategic planners, and managers of the state of selected technologies in foreign countries in comparison to the United States. JTEC/WTEC assessments cover basic research, advanced development, and applications/commercialization. Small panels of about six technical experts conduct JTEC/WTEC assessments. Panelists are leading authorities in their field, technically active, and knowledgeable about U.S. and foreign research programs. As part of the assessment process, panels visit and carry out extensive discussions with foreign scientists and engineers in universities and in industry/government labs. The ITRI staff at Loyola College help select topics, recruit expert panelists, arrange study visits to foreign laboratories, organize workshop presentations, and finally, edit and disseminate the final reports. Dr. Michael J. DeHaemer Mr. Geoff Holdridge Dr. George Gamota Principal Investigator JTEC/WTEC Staff Director Senior Advisor to JTEC/WTEC Loyola College Loyola College Mitre Corporation Baltimore, MD 21210 Baltimore, MD 21210 Bedford, MA 01730 JTEC Panel on OPTOELECTRONICS IN JAPAN AND THE UNITED STATES FINAL REPORT February 1996 Stephen R. Forrest, Chair Larry A. Coldren Sadik C. Esener Donald B. Keck Frederick J. Leonberger Gary R. Saxonhouse Paul W. Shumate ISBN 1-883712-39-4 This document was sponsored by the National Science Foundation (NSF), the Advanced Research Projects Agency, the Department of Commerce (Asia/Pacific Technology Program and NIST), the Office of Naval Research, the Department of Energy, and the Department of State of the United States Government under NSF Cooperative Agreement ENG-9217849, awarded to the International Technology Research Institute at Loyola College in Maryland. Any opinions, findings, and conclusions or recommendations expressed in this material are those of the authors and do not necessarily reflect the views of the United States Government, the authors’ parent institutions, or Loyola College. ABSTRACT This report reviews the status of Japanese optoelectronics technology and manufacturing in comparison to that in the United States. It covers optoelectronic systems (particularly telecommunications, local area networks, and optical interconnections), optical storage technology, waveguide devices and packaging, photonic devices and materials, optical sensor technology and specialty fibers, and economic considerations. Information sources used in the study include a literature review; visits to 42 relevant sites in the United States and Japan; and a review of the draft report by panelists, site visit hosts, and study sponsors. The panel found that Japan clearly leads in consumer optoelectronics, both countries are competitive in communications and networks, and the United States holds a clear lead in custom optoelectronics. Japan’s lead in high-volume consumer optoelectronics and related technologies gives it a dominant share of the overall global optoelectronics market. There may be opportunities for the U.S. optoelectronics industry in optical sensor technology and storage. U.S. government funding for optoelectronics appears to far outstrip comparable government funding in Japan. However, the panel concluded that the Japanese in general have a much clearer understanding of the crucial role that optoelectronics technology plays in the development of future electronic and communication systems. JTEC/WTEC Michael J. DeHaemer, Principal Investigator, Director Geoffrey M. Holdridge, Staff Director and JTEC/WTEC Series Editor Bobby A. Williams, Assistant Director Catrina M. Foley, Secretary Aminah Batta, Editorial Assistant Roan E. Horning, Professional Assistant John W. Ward, Research Assistant Patricia M. H. Johnson, Editor Cecil Uyehara, Senior Advisor for Japan Operations Hiroshi Morishita, Consultant, Japan Operations International Technology Research Institute at Loyola College R. D. Shelton, Director Copyright 1996 by Loyola College in Maryland. The U.S. Government retains a nonexclusive and nontransferable license to exercise all exclusive rights provided by copyright. The ISBN number for this report is 1-883712-39-4. This report is distributed by the National Technical Information Service (NTIS) of the U.S. Department of Commerce as NTIS Report # PB96-152202. A list of available JTEC/WTEC reports and information on ordering them from NTIS are included on the inside back cover of this report. i FOREWORD The National Science Foundation (NSF) has been involved in funding technology assessments comparing the United States and foreign countries since 1983. A sizable proportion of this activity has been in the Japanese Technology Evaluation Center (JTEC) and World Technology Evaluation Center (WTEC) programs. NSF has supported more than thirty JTEC and WTEC studies over a wide range of technical topics. As U.S. technological leadership is challenged in areas of previous dominance such as aeronautics, space, and nuclear power, many governmental and private organizations seek to set policies that will help maintain U.S. strengths. To do this effectively requires an understanding of the relative position of the United States and its competitors. The purpose of the JTEC/WTEC program is to assess research and development efforts in other countries in specific areas of technology, to compare these efforts and their results to U.S. research in the same areas, and to identify opportunities for international collaboration in precompetitive research. Many U.S. organizations support substantial data gathering and analysis efforts directed at nations such as Japan. But often the results of these studies are not widely available. At the same time, government and privately sponsored studies that are in the public domain tend to be "input" studies; that is, they provide enumeration of inputs to the research and development process, such as monetary expenditures, personnel data, and facilities, but do not provide an assessment of the quality or quantity of the outputs obtained. Studies of the outputs of the research and development process are more difficult to perform because they require a subjective analysis performed by individuals who are experts in the relevant technical fields. The NSF staff includes professionals with expertise in a wide range of disciplines. These individuals provide the technical expertise needed to assemble panels of experts that can perform competent, unbiased, technical reviews of research and development activities. Specific technologies, such as telecommunications, biotechnology, microelectromechanical systems, and nuclear power, are selected for study by government agencies that have an interest in obtaining the results of an assessment and are able to contribute to its funding. A typical assessment is sponsored by two to four agencies. In the first few years of the program, most of the studies focused on Japan, reflecting concern over Japan's growing economic prowess. Studies were largely defined by a few federal mission agencies that contributed most of the funding, such as the Department of Commerce, the Department of
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