A Proposed Optoelectronic Packaging Laboratory

1. Faculty of Engineering The Chinese University of Hong Kong A Proposed Optoelectronic Packaging Laboratory • Trends in Fiber Optics Industry • A Proposed Optoelectronic Packaging Facility • Proposed Budget • List of Industrial Sponsorship • Schedule and Check Points • Staff Background

2. Faculty of Engineering The Chinese University of Hong Kong Trends in Fiber Optics Industryand Hong Kong

3. Worldwide Access Lines Changing Traffic Patterns 250M Global Internet Users 2B Internet Session 20 - 30 minutes 134M 1B Voice Call 3 minutes 30M Average Hold Times 1994 1998 2001 Faculty of Engineering The Chinese University of Hong Kong The Unparalleled Demand in Communication Bandwidth World Wide • Internet is the growth engine behind the demand • Difference in traffic • patterns and behavior • The world’s first 700 million phone lines in last 100 yrs; an additional 700 million lines will be deployed in next 20 years • Over 200 million wireless subscribers today; additional 700 million in next 15 years • Over 200 million Cable TV subscribers in the world today; 300 million more predicted in next 15 years • Over 100 million additional Internet users will come on-line by 2001

4. Faculty of Engineering The Chinese University of Hong Kong The Growth of Telecommunication needs in China Alone Subscriber Lines Growth Forecast 1000 • China Telecom manages one of the world’s largest phone networks • By 2020 -- one billion lines (wired and wireless) • Internet subscribers -- 4 million by July 1999 • Total investment in telecom $ 1 billion in 1990 to 16 billion* • (*Source: Pyramid Research, October 1998) 1000 900 800 700 Million Lines 600 500 400 166 300 200 12 4.36 100 0 2000 2020 1980 1990 Year Source: China Academy of Telecommunications Research and Planning

5. Faculty of Engineering The Chinese University of Hong Kong Prediction of Growth in Optical Components • A world wide lack of opto-electronics components supply. Long queue for transponder, fiber, SOA etc. • New companies are emerging • worldwide to address this market • Significant cost is in labor- • intensive packaging • Start up cost for photonic • component company is relatively low • but with big payoff

6. Faculty of Engineering The Chinese University of Hong Kong • 2nd generation of optical packaging • process with high degree of automation • has yet to mature. • Anticipated migration of optical • component/subsystem manufacturing • to China to make use of low labor cost, • material, etc • Already, major players such as JDS-U, • Etek, and New Focus are setting up • manufacturing sites in China • Hong Kong can use its advantages and benefit from this trend by being a • R&D, design center, and even manufacturing site for high end products. • We have strong expertise in this area and have excellent relations with • major vendors including JDS-U, NTT, NEC, Bookham, Siemens, Lucents etc • which can serve as sources for raw chips. Industrial Trend and Hong Kong

7. Faculty of Engineering The Chinese University of Hong Kong Our Vision andwhat we propose...

8. Faculty of Engineering The Chinese University of Hong Kong • Our vision is to help: • Hong Kong start photonic component/subsystem industry • through • Technology transfer/company spin off • R&D • Talent build up (training and attracting oversea experts) • Industry support/contract research • by establishing an • Optoelectronics Packaging Laboratory which aims for • prototype development in photonic components and subsystems Our Vision:

9. Faculty of Engineering The Chinese University of Hong Kong Step 1 Use 10/90 scheme (10% industrial sponsorship and 90% government matched funding) of the Government’s Innovation and Technology Fund to complete the necessary existing infrastructure for prototype development for photonic components and subsystems (Optoelectronics Packaging Laboratory). Step 2 - Company spin off and Technology Transfer Use 50/50 scheme (50% industrial sponsorship and 50% government matching funding) of ITF or structured collaboration for individual prototype development projects. Technology transfer to industry through contract research and training of talents. Proposed Scheme:

10. Contract Research Structured Collaboration 50/50 ITF Investor B Investor C ITF HK Gov’t Investor A IP $ $ Staff Shared IP $ Project A IP Project A Project A Photonic Packaging Lab CUHK Faculty of Engineering The Chinese University of Hong Kong Modes of Tech Spin Off: 1. Sponsors have the first right of refusal in investing individual tech spin-off projects in accordance to their percentage of sponsorship for the first three years. 2. Continuation of support from Engineering Faculty and industrial and commercial sponsorship (tri-annum basis) with similar rights above.

11. Innovation Technology Fund The Chinese University of Hong Kong Completing the Packaging Lab- Existing Infrastructure Existing infrastructure: • Class 100/1000 Clean-room(1,200 sq. ft) equipped with: • Standard photolithography facility, • Wet and dry etching stations, • E-beam evaporator for deposition of metal contacts. • Furnaces for silicon device processing. • Analysis tools include optical microscopes, scanning electron microscope, a-step profiling, and thin film ellipsometry Optoelectronic and System Measurement Laboratories (3,000 sq. ft) • -material and device characterization facilities including ultrafast optical pump-probe measurement, • optical waveguides characterization station, • high speed TDM and WDM measuring systems (WDM sources, 12Gb/s BERT, OSAs, Network Analyzer, RF spectrum analyzer, 20Gb/s MLL, tunable lasers, fusion splicer, etc)

12. Innovation Technology Fund The Chinese University of Hong Kong Completing the Packaging Lab- Our Wish List Our wish list: Packaging Facility: • Integrated wire/ball bonder • Laser welder • AR Optical Coating system • GPIB controlled optical alignment system • Field microscopes and monitors • Diamond saw • Polishing Equipment • IR Imaging system • Thermal and high frequency simulation software Device/Component Testing (pre- and post-packaged): • 40 GHz microwave probe station • Microwave network analyzer Human Resources: • About 3 research associates and a technician for first 3 years Estimated total: ~ 15 million HKD Industrial Sponsorship Needed: 2 M + HKD

13. Faculty of Engineering The Chinese University of Hong Kong Our Sponsors

14. Innovation Technology Fund The Chinese University of Hong Kong Industrial Sponsors so far: Our target: 2 million HKD plus • Hsin Cheong 400K HKD • H.S. Chan & Company 400K HKD • Island Navigation 400K HKD • OpCom 150K HKD • Fiber Wave 150K HKD • ASM Pacific technologies 300K HKD + training/resources • SAE magnetics 300K HKD + resources • Veritronix 90K HKD • Vertex in discussion • CN Convergence in discussion • Total 2,190K HKD

15. Faculty of Engineering The Chinese University of Hong Kong Our People…Vertical integration of expertise from device, processing, electronics, optics, subsystems and systems Research and teaching staff from three dept: Automation and Computer-Aided Eng. Electronic Engineering Information Engineering

16. Innovation Technology Fund The Chinese University of Hong Kong One of the strongest optical communication groups and device research groups in Asia Pacific Prof. Frank Tong (PhD Columbia 87, FIEE, SMIEEE, CEng) - obtained PhD training at MIT on blue-green emitting semiconductor lasers and laser array. - worked at IBM Research on WDM devices and systems for 10 yrs. - was a senior consultant to Lucent Technologies, Photonic Bridges and 1Trend. - >25M HKD funding from RGC and ITF since 96 and published over 150 papers and 10 patents. Prof. Hon Tsang (PhD Cambridge 91) - industrial experience include Bellcore on waveguide phase modulator and tunable filter (90 and 93) and Nortel on EA modulator (91). - current research interests on WDM components, ultrfast optoelectronics - >4M HKD from RGC and other sources since 93 and published over 60 papers. Prof. Lian Chen (PhD, Columbia 92) - research engineer at General Instrument (90-91) on EDFA, - was a senior consultant to Transtech and 1Trend - research on OTDM, WDM and broadband access since 92 at CUHK - >8M HKD research funding from RGC and ITF and published over 83 papers and 1 patent. Prof. Chester Shu (PhD Columbia 91) - industrial experience included Connexus on integrated electro-optic polymer waveguides (91-92) and Siemens Corporate Research on quantum well laser diodes, 98. - worked on fiber optics field since 92 at CUHK. - over 2M HKD research funding from RGC and Croucher Fund and published >80 papers. Staff Background-1

17. Innovation Technology Fund The Chinese University of Hong Kong • Prof. C.K. Chan (PhD CUHK 97) • - thesis work on WDM network architecture and surveillance systems • - worked at CityU as Research Assistant Professor • - Bell Lab on state-of-the-art tunable laser • - published 40 papers and 1 patent • Prof. K.P. Ho (PhD Berkeley 95) • - industrial experiences include IBM Research (94) and Bellcore (95-97) on fiber optics communication. Currently on leave working for a start-up on 40G system in Silicon Valley. • - published over 100 papers and >2M funding from RGC. • - senior consultant to 1Trend Ltd on fiber optic network assessment. • Prof. S. P. Wong (PhD CUHK 85 ) • - research interest include thin film technologies, stress characteriasation using photoelaticity, ion-implantation, etc • - published over 100 papers and >6M HKD from RGC and other sources. • Prof K.T.Chan (PhD Cornell, 1986) • Research interest include integrated optics, quantum-size effect devices, optical switches and modulators • published over 70 papers and >7M HKD from RGC and other sources. • Prof K.L.Wu (PhD Laval University 1989) • - research interest include microwave device packaging, electromagnetic simulation, wireless communications and satellite communications etc • - Industrial experience at Comdev (93-98) Staff Background-2

18. Innovation Technology Fund The Chinese University of Hong Kong Prof. K.W. Cheung (PhD caltech) - Prof. Michael Wang (PhD ) - Prof. Wen Li (PhD’87 USC) - Staff Background-3

19. Faculty of Engineering The Chinese University of Hong Kong Proposed Individual Prototype Development Projects

20. Innovation Technology Fund The Chinese University of Hong Kong Proposed Individual Projects: Disruptive technologies development projects: 1. Hybrid integrated wavelength converter 2. Low cost optical modulator for optical access network 3. Gain flattening filter for WDM application 4. Wide-band semiconductor amplifier 5. High speed clock recovery using MLL 6. Packaging of high power 980-nm pump laser 7. MEMs based optical switches 8. Optical switch based on photonic integrated circuit and liquid crystal

21. SOA chip Polarization-beam-splitter V-groove Innovation Technology Fund The Chinese University of Hong Kong 1. Wavelength Converter: • PI/Co-PI: H.K. Tsang/F. Tong • Funding • 1 RA for waveguide design, testing • 1 RA digital engineer + material • + processing • Total : ~1.8 M HKD • Possible collaborator: Bookham

22. HUB HUB HUB ONU Dropped HUB to LAN dc bias Added from LAN (electrical) FP-LD ADM/ MOD ADM/ MOD ADM/ MOD ADM/ MOD ADM/ MOD HUB HUB HUB HUB HUB HUB HUB HUB HUB HUB HUB HUB HUB HUB Innovation Technology Fund The Chinese University of Hong Kong 2. Low Cost Modulator for Access Network: Function: Application in WDM access networks, use downstream data as source for upstream data; avoid stocking and footprint problem thus low cost • Features: • Base on injection locking of FP laser • diode with AR coatings • Re-modulation speed limits to 2.5 Gb/s

23. 1 2 3 4 5 6 7 8 9 1 2 3 Innovation Technology Fund The Chinese University of Hong Kong PI/Co-PI:F. Tong/L. Chen (IE dept) Funding: One research associate for coatings, packaging and testing One research associate for coating simulation for optimum R Total funding sought: ~0.95 M HKD for material + staff cost Schedule: 1 AR coating on FP lasers + simulation 2 Packaging 3 Testing

24. 3. PLC based Integrated Dynamic Power Equalizer: Control Unit PLC Power Equalizer Thermal phase-shifters Tunable couplers Waveguide Input fiber Output fiber Substrate (Silicon) Innovation Technology Fund The Chinese University of Hong Kong Function: Much-needed next generation technologies in WDM networks with re-configurable add-drop functions. • Features: • Combination of thermal phase-shifters (Mach-Zehnder configuration) and tunable couplers arranged in series and parallel configuratons • Algorithm-based optimization for number of stages, configurations, coupling ratios, phase-shifts for best performances • Software to perform parameter extraction to fit the desired equalization profile

25. 1 2 3 4 5 6 7 8 9 Innovation Technology Fund The Chinese University of Hong Kong PI/Co-PI:Calvin Chan/Frank Tong (IE dept) Funding: Two research assistants: 1 for PLC waveguide design, fabrication and packaging; 1 for developing optimization algorithm and control software; system testing, etc. Total funding sought: ~1.5 M HKD Schedule: 1 Configuration design, simulation and optimization 2 Design of waveguide design, thermal phase shifters and tunable couplers 3 PLC fabrication (out-source) 4 Optical packaging: fiber pigtailing, electrode placement 5 Control circuitry for tuning of thermal phase shifters and tunable couplers 6 Parameter extraction algorithm 7 Control software and user interface 8 System integration and testing 1 2 3 4 5 6 7 8

26. 40G/s data OG MLLD Innovation Technology Fund The Chinese University of Hong Kong 5. Clock Recovery Circuit based on MLL: • Much needed item PI/Co-PI Lian Chen/F. Tong Schedule MLL Characterization (3) Data demultiplexing (4) Optical gating (3) Budget RA (1) + Material 480K HKD Deliverable Packaged clock recovery module after 10 months

27. Innovation Technology Fund The Chinese University of Hong Kong 6. Packaging of 980nm Pump Lasers: • >200 mW pump diode • HR and AR coatings on laser facets • TE cooler and heat sink • monitoring photodiode • feedback control, • fiber pigtailing PI/Co-PI Chester Shu/K.T. Chan & S.P. Wong Schedule (9) Funding needed 1 RA (300K)+ 900nm pump (400K) + coating material (100K) + TE Cooler (100K) + Monitoring diode (100K) + substrate (100K) + expense (30K) Total ~1.13 M HKD Deliverable Fully packaged high-speed optical receiver (~GHz range)

28. Innovation Technology Fund The Chinese University of Hong Kong 7. Digital and Micro Mirrors for Optical Communications PI/Co-PI Wen Li/Michael Wang Budget RA(2) + Technician (0.5) + material 2 M HKD Schedule 12 months Deliverable Packaged prototype

29. Innovation Technology Fund The Chinese University of Hong Kong 8. Liquid Crystal Optical Switch: • Joint project with Veritronix • Veritronix provides LC material and related processing technology • CUHK team provides switch design PI/Co-PI K.T. Chan Schedule (12) Funding 2 RA - 1 for design, algorithm and software & 1 for waveguide design + material est. 1.1 M HKD Deliverable A functional 2x2 liquid crystal optical switch

30. Innovation Technology Fund The Chinese University of Hong Kong Liquid crystal Light input Variable Optical Attenuator: PI / Co-PI K.T. Chan / H.K. Tsang Budget RA (1, 360K) + material (800K) Total: 1,16 M HKD Schedule 1 year \

31. Innovation Technology Fund The Chinese University of Hong Kong Digital and Micro Mirrors for Optical Communications PI/Co-PI Wen Li/Michael Wang Budget RA(2) + Technician (0.5) + material 2 M HKD Schedule 12 months Deliverable Packaged prototype

32. Faculty of Engineering The Chinese University of Hong Kong Backup

33. Innovation Technology Fund The Chinese University of Hong Kong Optoelectronic Packaging Technologies: • Fiber/Fiber and Fiber/Waveguide packaging: • Fiber lens • Fiber/PLC... • Fiber/Optoelectronics packaging: • Laser • Semiconductor Optical Amplifier… • Waveguide/Optical Chip processing: • Polishing • Etching • Coatings… • Advanced Packaging: • Si v-groove • Flip chip bonding...

34. Innovation Technology Fund The Chinese University of Hong Kong Differences between Optical and Electronic Packaging: • Optoelectronic packaging: • few I/O (<10) • tight alignment tolerance - single mode fiber/waveguide (<1 mm) • optical quality surface/interface • bonding material fit for optical packaging • hermatic sealing • usually very high speed (10Gb/s-40Gb/s) • many bulk components (isolators, ball lens etc) • Electronic packaging • many I/O (hundreds) • less tolerance (~50 mm) • lower speed (Mb/s) • well-developed packaging techniques • But some electronic packaging process can be adapted to optoelectronic • packaging, such as flip chip bonding.