The Center for Emerging and Innovative Sciences University of Rochester September 5, 2013
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1 Manufacturing Technology Roadmaps for Photonics A Proposal to the NIST Advanced Manufacturing Consortia Program (AMTech) In Support of the National Photonics Initiative The Center for Emerging and Innovative Sciences University of Rochester September 5, 2013 Photonics and optics technologies are essential to our national economy and security. They are directly responsible for billions of dollars in GDP and are key enablers of many critical, fast growing industries such as communications and information processing, defense and security, medical imaging, and advanced manufacturing. This importance was highlighted in the 2012 report from the National Research Council entitled Optics and Photonics: Essential Technologies for our Nation 1 and is underscored by the National Photonics Initiative 2 that grew out of that report. (In this white paper we refer to the NRC report at the Harnessing Light II report, or HL2, and the National Photonics Initiative as the NPI.) Manufacturing of all types is also an extremely important part of our economy. It is not only responsible for 12% of the nation s GDP and 9% of all jobs 3, it is also an important source of innovation that helps drive continued economic growth. 4 Recognizing this importance, the Administration launched the Advanced Manufacturing Partnership, a private-sector-led effort to revitalize American manufacturing. 5 Several federal funding programs have been launched to support this partnership. Roadmaps for technology-driven industries, and manufacturing technology roadmaps in particular, reduce both the development costs and time to market for new generations of products. Industry roadmaps, if properly developed with inputs across the value chain, help identify long-term pre-competitive research needs. Many industries, such as semiconductors and alternative energy, rely on manufacturing roadmaps to communicate development timelines throughout the ecosystem and make the industry s R&D investments more productive. The photonics industry, despite its long history and high degree of technological sophistication, does not have a well developed set of manufacturing roadmaps that cover all of the various photonics industry segments (passive optical components, lasers, etc) or the end markets they serve (communications, defense, etc.). This is true despite several strong reasons to develop a set of such roadmaps, including: 1 See 2 See 3 For GDP data see and for employment data see 4 See for example the 2012 report from McKensey and Company or the 2012 report to the President by the Council of Advisors on Science and Technology 5 See the report of the President s Council of Advisors on Science and Technology. eport_final_july_17_2012.pdf 1
2 The photonics industry is an enabler for a large portion of the nation s economy, particularly some of the fastest growing segments as identified in the HL2 report. The underlying science and technologies of the different photonics industry segments are closely coupled, often resulting in common manufacturing process steps. Photonics-based end products, such as defense systems, use multiple types of photonics components. Thus maintaining a linked set of roadmaps for all of the photonics product categories and/or end markets will allow one segment to leverage developments in another and help ensure individual product components are available when they are needed at the system level. While there are multiple societies and industrial associations that represent different segments of the photonics industry in various ways, no one group has the charter to pull together industry roadmaps in a way that provides visibility across the industry, from component suppliers to system integrators, and identifies manufacturing challenges and opportunities. (Figure 1) The AMTech Program As part of the Administration s focus on advanced manufacturing, NIST has created the Advanced Manufacturing Technology Consortia Program (AMTech) 6. The goal of the program is to establish and strengthen US industrial consortia to expand US advanced manufacturing, accelerate technology development, and improve global competitiveness of US companies. The consortia that the AMTech program supports will identify and prioritize long-term pre-competitive research needs; a direct result of creating industry roadmaps. The consortia will also enable technology development, create the infrastructure necessary for more efficient transfer of technology, and represent a broad range of the industry value chain. We believe there is excellent alignment between the objectives of the AMTech program and the NPI. (Figure 2) In July, NIST released a Federal Funding Opportunity (FFO) for grants that will support the initial Phase of the AMTech program, referred to as Phase I or planning grants. These grants will be for between $250,000 and $500,000 over a period of up to two years. Applications for this grant are due on October 21 st. There can only be one lead applicant for each proposal, but there may be sub-recipients and teaming is strongly encouraged. This FFO is limited to funding of activities that allow for the establishment of new or the strengthening of existing industry-led consortia and technology planning activities. Future AMTech funding opportunities may provide funding for implementation activities that advance the research agendas identified in Phase I. We propose to submit an application to the AMTech program on behalf of the US photonics industry for an activity that will coordinate existing photonics roadmapping efforts and facilitate the development of new roadmaps for parts of the industry that do not yet have them. These roadmaps will identify long-term, pre-competitive research needs, as called for in the AMTech FFO. It is important to note that the proposed roadmapping exercise will directly support the goals of the NPI. In fact, a central feature of the NPI is that it serves as a roadmap for the industry. The process we are proposing will go well beyond identifying the grand challenges listed in the HL2 report. It will be a continual process of bringing together companies and other stakeholders across the value chain to identify specific timelines for technology introduction, the advanced 6 See 2
3 manufacturing needs to support those technologies, and the pre-competitive long-term research required to meet those needs. This clear identification of technology introduction and research needs will not only accelerate technology development, it allow the photonics industry to link requests for public investment to clearly identifiable developments that will give American photonics manufacturers an advantage in the world marketplace. Without such roadmaps it is difficult to make the link between making major investments and strengthening broad sections of the American economy. In what we propose, the inputs for the individual roadmaps will come primarily from photonics companies with additional important inputs coming from universities, government agencies, and individuals who are expert in the field. We do not propose to start a new industry consortium. The applicant for the AMTech program will be an existing independent organization that will facilitate and coordinate this overall effort. A key element of this ongoing process will be to bring together companies from all levels of the value chain, from small component manufacturers to large systems integrators, and from all segments of the photonics industry, in a setting that stimulates interactions that would otherwise not take place. This will give all companies in the value chain the opportunity to discuss long term needs for the industry and plan their strategic roadmaps accordingly. It will also give entrepreneurs and innovative start-ups clear visibility of the industry s long-term needs; information that would be prohibitively expensive to collect for most start-ups. In the current environment, suppliers often have to wait until their customers place orders to develop the manufacturing technologies that satisfy new product requirements. This results in extended times to market and often added expense to introduce new generations of photonics-based products. A coordinated national effort to communicate this information throughout the ecosystem will give American manufacturers a competitive advantage in the world market for photonics-based products. A good model for the proposed roadmapping process is the International Technology Roadmap for Semiconductors (ITRS) 7, which is often held up as the benchmark for all industry roadmaps. Figure 3 is one example of types of outputs generated by the ITRS. The ITRS is developed by individuals from companies across the industry value chain and is supported by SEMATECH, which provides staffing resources to organize the effort and funding to publish the roadmaps. For this effort, the existing optics and photonics societies, associations, and consortia will play key roles. Some organizations already maintain roadmaps for parts of the industry and these will become part of the overall set of roadmaps. Other associations may initiate new roadmapping exercises or serve as a central point of contact for companies in that particular segment of the photonics industry. Participation by small and medium sized photonics manufacturers will be essential to this program. These SMMs are critical parts of the supply chain and are an important source of innovation and job growth. Universities and government research labs will also play important roles in developing the photonics manufacturing technology roadmaps. The AMTech program calls for identifying longterm research needs. As such, the research institutions have an important part to play in both designing and carrying out the research programs. It should be stressed, however, that this is to be an industry-led effort and, in particular, the large system integrators and end users like the 7 International Technology Roadmap for Semiconductors. 3
4 Department of Defense must play a major role in identifying technology needs to support the large end markets. The Phase I planning grant will be used to set up the roadmapping process. This will include but not be limited to: Working with the existing phonics industry societies and business associations to identify where roadmapping and other activities supported by the AMTech Phase I grant already exist and where new efforts need to be initiated. (Figure 1) Determining how to organize the roadmaps around the industry. (e.g. deciding if the roadmaps should be broken down by application, technology, or a combination of both). Developing guidelines of the roadmaps, such as: establishing consistent timeframes, identifying cross linkages between industry segments, and identifying whether the need is for materials, manufacturing process, manufacturing equipment, design, etc. Defining the roadmapping process, such as how often there should be minor updates and major revisions to the roadmaps. Setting up the teams and identifying leaders each of the individual roadmapping groups. Developing common graphical templates that can make the roadmaps easier to use and link to one another. (Figure 3, for example) Putting together the staff to coordinate the roadmaps. Developing an initial set of roadmaps for some of the industry. Identify and prioritize long-term precompetitive research needs based on that first set of roadmaps. Enabling technology development by encouraging collaborative research projects. The photonics industry is highly complex from both a technical and business perspective. As such, we anticipate the research needs identified in these roadmaps will be met in multiple ways. Individual companies or universities may use the roadmaps to develop solutions on their own. Two or more companies at different levels in the value chain may team together to develop proprietary solutions. Or, for grand challenges that are too complex for one company or a small group of companies to solve, new or existing consortia may use pooled resources to develop solutions, often in private-public partnerships with universities and government agencies. Some of these grand challenges are described in the HL2 report. One example of a grand challenge is to develop an integrated set of technologies to increase the bandwidth of optical communications by 100X, as called for in the HL2 report. Another example could be an effort to develop compact, low cost, multi-band infrared imaging systems that operate at room temperature. Another could be an effort to develop a roll-to-roll manufacturing process for next generation displays that could reduce the cost of display manufacturing by 10x. Each of these grand challenges has the potential to insure and extend US leadership in a large segment of the photonics industry and brings manufacturing back to the US. AMTech Grant Application We propose this Phase I activity be hosted in Rochester, NY, where there are over 55 small, medium, and large optics and photonics companies within a 20-mile radius including large systems integrators like Kodak, Xerox, ITT, and Carestream. The region also has world-class photonics academic research programs including the Institute of Optics and the University of 4
5 Rochester and the Chester Carlson Center for Imaging Sciences at RIT. These companies and universities employ a large number of optics and photonics experts, many of whom are eager to volunteer their time for this activity, For the AMTech Phase I effort, we propose that the University of Rochester be the lead applicant and serve as a central point for coordinating and collecting the roadmaps for individual segments of the photonics industry. This is equivalent to the role SEMATECH plays in the ITRS. We envision one or more societies and business associations will be sub applicants. The FFO also encourages the use of team members that will play key roles in the effort. These will include individual companies, universities, government agencies, and industry experts. The proposed effort would be run out of the Center for Emerging and Innovative Sciences at the University of Rochester with strong support from the Institute of Optics. CEIS is funded by both state and federal agencies to promote industrial development in the optics and photonics sectors. CEIS is also heavily involved in the US advanced manufacturing initiative, having recently received a grant from the Advanced Manufacturing Jobs and Innovation Accelerator Challenge for development of the regional optics and photonics cluster. Developing a set of linked roadmaps for the entire photonics industry may seem like a large effort that is beyond the scope of the AMTech Phase I planning grant. However, it is important to keep in mind that some aspects of this proposal: Some segments of the photonics industry already have roadmaps and other segments are represented by associations that are in a good position to bring companies together and create roadmaps. The roadmaps themselves will be developed by representatives from throughout the photonics ecosystem and the effort we are proposing is to coordinate and collect those roadmaps. This proposal is for a Phase I grant only. Implementation of identified long-term precompetitive research could be funded in an AMTech Phase II grant or some other federal program such as the National Network for Manufacturing Innovation program (NNMI) 8 We also feel that developing a set of linked manufacturing roadmaps for the US photonics industry will have significant benefit to the industry and national economy, and is well worth the effort. We are looking for feedback on this proposal and recommendations for improvement. To be successful, this effort must have wide support within the industry. Your candid feedback will help us determine if this is worth doing and will help further define the effort. To provide feedback or input, please contact: Paul Ballentine, Ph. D Jay Eastman, Ph. D Deputy Director, CEIS Entrepreneur and Lecturer University of Rochester University of Rochester paul.ballentine@rochester.edu jmerx788@me.com (585) (585) See 5
6 Figure 1. Activities of existing photonics societies, industrial associations, and consortia for different segments of the photonics industry. There is excellent coverage of many needs of the photonics industry but many of the key elements of the AMTech program, including roadmapping, are missing in many segments of the industry. (This mapping is not yet complete. Part of Phase I will be to identify more existing efforts.) Footnotes for Figure Proposed packaging standards and roadmap development 2. For rare earth elements 3. Flexible, for example 4. Metrology 5. Flexible displays only. 6. Small and Medium sized Manufacturers 6
7 7. Roadmap Development = Identify and Prioritize long-term pre-competitive research needs. 8. EUV lithography only Key for Figure 1. 7
8 8
9 Figure 2. Relation between the federal government s advanced manufacturing initiatives and the national photonics initiative. 9
10 Figure 3. Example of an ITRS roadmap. This one is for Lithography which happens to rely heavily on photonics and will be referred to in the collection of roadmaps for the photonics industry. This is one form of graphical output; there are others as well. 10
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