Fifth Year Annual Report â Volume 1 - CIAN
Fifth Year Annual Report â Volume 1 - CIAN
Fifth Year Annual Report â Volume 1 - CIAN
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Center for Integrated Access Networks<br />
National Science Foundation<br />
Engineering Research Center<br />
University of Arizona (lead institution) and its core partner/collaborating<br />
institutions, University of California at San Diego, California Institute of<br />
Technology, University of Southern California, University of California at<br />
Berkeley, Columbia University, Norfolk State University, Cornell University,<br />
Tuskegee University, and University of California at Los Angeles.<br />
Director:<br />
Deputy Director:<br />
Administrative Director:<br />
Dr. Nasser Peyghambarian<br />
Dr. Yeshaiahu Fainman<br />
Dr. Alan Kost<br />
<strong>Fifth</strong> <strong>Year</strong> <strong>Annual</strong> <strong>Report</strong> – <strong>Volume</strong> 1<br />
<strong>Report</strong> Date: April 10, 2013<br />
Cooperative Agreement Number: EEC-0812072
TABLE OF CONTENTS<br />
Project Summary ........................................................................................................................................... 9<br />
Intellectual Merit .................................................................................................................................... 9<br />
Broader Impact ...................................................................................................................................... 9<br />
Participants Tables ...................................................................................................................................... 11<br />
Narrative ...................................................................................................................................................... 21<br />
Executive Summary: Systems Vision and Value Added of the Center ............................................... 21<br />
Systems Vision .................................................................................................................................... 21<br />
Value Added and Broader Impacts ..................................................................................................... 25<br />
Research ............................................................................................................................................. 26<br />
Education Outcome ............................................................................................................................. 27<br />
Innovation Ecosystem ......................................................................................................................... 31<br />
Team and Diversity ............................................................................................................................. 34<br />
Table 1 - Quantifiable Outputs ............................................................................................................ 35<br />
Table 1a - Average Metrics Benchmarked against All Active Active ERC's and the Center's Tech<br />
Sector .................................................................................................................................................. 38<br />
Strategic Research Plan and Overall Research Program .......................................................................... 47<br />
<strong>CIAN</strong> ERC’s Strategic Research Plan ................................................................................................. 47<br />
Working Group 1 – Scalable and Energy Efficient Data Centers ....................................................... 54<br />
Working Group 2 – Intelligent Aggregation Networks (IAN)................................................................ 60<br />
Table 2 - Estimated Budgets by Research Thrust and Cluster .......................................................... 74<br />
Figure 2a - Research Project Investigators by Discipline ................................................................... 84<br />
ERC’s Research Program (by Thrust) ................................................................................................ 85<br />
Thrust 1: Optical Communication Systems and Networks .................................................................. 85<br />
Thrust 2: Subsystem Integration and Silicon Nanophotonics ........................................................... 100<br />
Thrust 3: Device Physics and Fundamentals .................................................................................... 107<br />
<strong>CIAN</strong>’s Testbeds ............................................................................................................................... 116<br />
Working Group 1: Data Center Testbed ............................................................................................ 117<br />
Working Group 2: Optical Aggregation Network Testbed, TOAN ..................................................... 119<br />
<strong>CIAN</strong> Testbeds Assessment ............................................................................................................. 124<br />
International Partner Contributions ................................................................................................... 126<br />
Translational Reserach ..................................................................................................................... 127<br />
Response to Previous SWOT ........................................................................................................... 127<br />
University and Pre-College Education Programs...................................................................................... 129<br />
University Education Program ........................................................................................................... 131<br />
Pre-College Education Program ....................................................................................................... 164<br />
Table 3b - Ratio of Graduates to Undergraduates ............................................................................ 183<br />
Innovation Ecosystem ............................................................................................................................... 185<br />
Organization ...................................................................................................................................... 185<br />
ILO Consultancy Visit ........................................................................................................................ 186<br />
Vision, Goals and Strategy ................................................................................................................ 190<br />
Technology Transfer and New Business Development .................................................................... 199<br />
Table 4 - Industrial/Practitioner Members, Innovation Partners, Funders of Sponsored Projects,<br />
Funders of Associated Projects and Contributing Coranizations ...................................................... 205<br />
Table 4a - Organization Involvement in Innovation and Entrepreneurship Activities........................ 213<br />
Table 5 - Innovation Ecosystem Partners and Support by <strong>Year</strong> ....................................................... 213<br />
Table 5a - Technology Transfer Activities ......................................................................................... 215<br />
Table 5b - Lifetime Industrial/Practitioner Membership History ........................................................ 216<br />
Table 5c - Total Number of Industrial/Practitioner Members ............................................................ 217<br />
Table 5d - Industrial/Practitioner Membership Support, by <strong>Year</strong> ...................................................... 217<br />
Innovation .......................................................................................................................................... 218<br />
Translational Research ..................................................................................................................... 222<br />
Goals and Future Plans..................................................................................................................... 223<br />
Infrastructure ............................................................................................................................................. 233<br />
Configuration and Leadership Effort ................................................................................................. 233
Table 6 – Institutions Executing the ERC’s Research, Technology Transfer, and Education Programs<br />
....................................................................................................................................................... …236<br />
Figure 6a – Location of Lead, Core Partner(s), and all Domestic Collaborating Institutions ............ 242<br />
Figure 6b – Location of Foreign Collaborating Participants and/or Foreign Partner Institutions ...... 243<br />
Figure 6c – Country of Citizenship for Foreign Personnel ................................................................ 244<br />
Diversity Effort and Impact ........................................................................................................................ 245<br />
Table 7a – Diversity Statistics for ERC Faculty and Students ......................................................... 248<br />
Figure 7b – Women in the ERC ........................................................................................................ 249<br />
Figure 7c – Underrepresented Racial Minorities in the ERC ............................................................ 250<br />
Figure 7d – Hispanics/Latinos in the ERC ........................................................................................ 251<br />
Figure 7e – Persons with Disabilities in the ERC .............................................................................. 252<br />
Figure 7f – Center Diversity, by Institution ........................................................................................ 253<br />
Management Effort .................................................................................................................................... 255<br />
Strategic Self-Sufficiency Business Plan .......................................................................................... 261<br />
Table 8 – Current Award <strong>Year</strong> Education Functional Budget ........................................................... 267<br />
Figure 8a - Functional Budget as a Percentage of Direct Support ................................................... 267<br />
Table 9 - Sources of Support ............................................................................................................ 269<br />
Table 10 - <strong>Annual</strong> Expenditures and Budgets................................................................................... 282<br />
Table 11 - Modes of Support by Industry and Other Practitiioner Organizations to the Center ....... 286<br />
Resources and University Commitment ............................................................................................ 287<br />
Bibliography of Publications ...................................................................................................................... 289<br />
Thrust 1 ............................................................................................................................................. 289<br />
Thrust 2 ............................................................................................................................................. 294<br />
Thrust 3 ............................................................................................................................................. 297<br />
Budget Requests ....................................................................................................................................... 301<br />
Summary List of Appendices .................................................................................................................... 343<br />
Appendix I – Glossary ............................................................................................................................... 345<br />
Appendix II – Agreements and Certifications ............................................................................................ 349<br />
Industrial/Practitioner Membership Agreement ................................................................................. 349<br />
Confidential Disclosure Agreement ................................................................................................... 356<br />
Intellectual Property Agreement ........................................................................................................ 359<br />
Human Research Determination ....................................................................................................... 382<br />
Certification of the Industrial/Practitioner Membership List ............................................................... 388<br />
Conflict of Interest Policy ................................................................................................................... 389<br />
Certification of Unexpended Residual Funds .................................................................................... 407<br />
Postdoctoral Researcher Mentoring Activities .................................................................................. 408<br />
Appendix III – Table 7 ERC Personnel ..................................................................................................... 411<br />
Appendix IV – Diversity Plan ..................................................................................................................... 421
PROJECT SUMMARY<br />
INTELLECTUAL MERIT<br />
The vision for the Center for Integrated Access Networks (<strong>CIAN</strong>) is to deliver network services at data<br />
rates up to 100 Gbps anytime and anywhere at low cost and with high energy efficiency. Internet traffic<br />
and data center traffic continues to double roughly every two and half years, driven by an increasing<br />
number of users, bandwidth-intensive applications such as video on demand, and mobile computing<br />
platforms. These trends plus an increasingly heterogeneous and unpredictable traffic flow, and a growing<br />
need for dynamic allocation of bandwidth, put particular strain on aggregation points in regional networks<br />
and intra-data center communication. <strong>CIAN</strong>’s goal is the creation of a transformative network system by<br />
addressing various bottlenecks in existing network including scalability, delivery of 100 Gbps to<br />
subscribers, latency, network management and control for dynamic bandwidth allocation, energy<br />
consumption and cost. The <strong>CIAN</strong> system-level research will be transferred to companies though its<br />
industry and education programs.<br />
<strong>CIAN</strong>’s achievements over the last year include, (1) creation of an experimental data center network with<br />
10 s switching speed. This is 1000 times faster than the previous generation network <strong>CIAN</strong> built in 2011,<br />
(2) creation of <strong>CIAN</strong> boxes using transformative and manufacturable photonic technology, particularly<br />
hybrid switching architectures and intelligent network devices that employ silicon-based photonic<br />
integrated circuits, to address overloading of aggregation networks. A network of <strong>CIAN</strong> boxes will use<br />
real-time optical performance measurements and energy consumption monitoring, to enable application<br />
and impairment-aware optical switching at fiber, wavelength, and packet levels to provide on-demand<br />
ultra-high data range connections for the most data-intensive Internet services – while reducing power<br />
consumption. <strong>CIAN</strong>’s goal is to enhance the network capacity by a factor of 1000, (3) <strong>CIAN</strong> has initiated a<br />
Si manufacturing project by partnering with Sandia National Lab to fabricate chip scale optoelectronic<br />
integraed circuits that will integrate both photonic as well as electronic functionalities. These chips will be<br />
inserted into <strong>CIAN</strong>’s two major testbeds replacing costly discrete elements.<br />
BROADER IMPACT<br />
<strong>CIAN</strong> has made significant impacts in both fundamental and applied research in areas ranging from<br />
quantum optics in nano-scale materials to network architecture and software control. The results of <strong>CIAN</strong><br />
research have been disseminated through presentations around the world and publication in prestigious<br />
journals. In cooperation with the Optoelectronic Industry Development Association (OIDA), <strong>CIAN</strong> has held<br />
three road mapping, metric and standards workshops in order to establish aggressive, quantitative,<br />
system-level metrics to guide industry and academic research and development. <strong>CIAN</strong> has ongoing<br />
translational research efforts with Bandwidth 10, Alcatel-Lucent, Nistica, and Gigoptix.<br />
<strong>CIAN</strong>’s is educating students and post-doctoral fellows with the critical attributes identified in the Engineer<br />
of 2020 by placing them in charge of the operation of its two application-focused working groups that<br />
were created to encourage collaborative ties between system and device-level research. <strong>CIAN</strong> has also<br />
steadily increased participation of undergraduates in its research program, improving its graduate to<br />
undergraduate student ratio to 1.8 (excluding summer REU students) for the past reporting year.<br />
Interaction with industry has continued to expand as <strong>CIAN</strong> recruits new industrial partners. <strong>CIAN</strong> partner<br />
companies are from virtually all portions of the production chain. <strong>CIAN</strong> provides value to companies by<br />
serving as neutral, third-party facilitator for contact between customers and vendors. <strong>CIAN</strong> works with<br />
technology transfer offices at its core and outreach partners, and business incubators such as the Arizona<br />
Center for Innovation, to identify potential licensees for patents generated by research.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 9
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 10
PARTICIPANTS TABLES<br />
Center for Integrated Access Networks (<strong>CIAN</strong>)<br />
CORE PARTNER INSTITUTIONS<br />
Name of Institution City State/Country<br />
University of Arizona Tucson Arizona<br />
University of California-San Diego La Jolla California<br />
University of Southern California Los Angeles California<br />
California Institute of Technology Pasadena California<br />
Columbia University New York City New York<br />
University of California-Berkeley Berkeley California<br />
Norfolk State University(MSI) Norfolk Virginia<br />
COLLABORATING INSTITUTIONS<br />
Name of Institution City State/Country<br />
University of California-Los Angeles Los Angeles California<br />
Tuskegee University(MSI) Tuskegee Alabama<br />
Cornell University Ithaca New York<br />
INTERNATIONAL PARTNERS<br />
Name of Institution City State/Country<br />
Aalto University of Science and Technology<br />
/University of Eastern Finland<br />
Helsinki/Joensuu<br />
Finland<br />
Korea Advanced Institute of Sciences and<br />
Technology (KAIST)<br />
Institute of Microwave Engineering and<br />
Photonics (IMP)<br />
Daejeon<br />
Darmstadt<br />
South Korea<br />
Germany<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 11
LEADERSHIP TEAM<br />
Position Title Name Department Institution<br />
Center Director<br />
Deputy Director<br />
Administrative Director<br />
Education and Outreach<br />
Director<br />
Pre-College Education/<br />
Outreach Director<br />
Diversity Program<br />
Director<br />
Chief Industry and<br />
Innovation Officer<br />
Associate to Industrial<br />
Liaison Officer for<br />
Industrial Recruitment<br />
Testbed Lead and<br />
Associate Director for<br />
Industry Collaboration<br />
Manager IT<br />
Strategic Initiatives<br />
Director<br />
Nasser<br />
Peyghambarian<br />
Yeshaiahu Fainman<br />
Alan Kost<br />
Allison Huff<br />
MacPherson<br />
Supapan Seraphin<br />
Frances Williams<br />
Saied Agahi<br />
Lloyd, LaComb, Jr.<br />
John Wissinger<br />
Yousaf Riaz<br />
College of Optical<br />
Sciences/Materials<br />
Science and Engineering<br />
Electrical and Computer<br />
Engineering<br />
College of Optical<br />
Sciences<br />
College of Optical<br />
Sciences<br />
Materials Science and<br />
Engineering<br />
Department of<br />
Engineering<br />
College of Optical<br />
Sciences<br />
College of Optical<br />
Sciences<br />
College of Optical<br />
Sciences<br />
College of Optical<br />
Sciences<br />
UA<br />
UCSD<br />
UA<br />
UA<br />
UA<br />
NSU<br />
Srinivas Sukumar CalIT2 UCSD<br />
UA<br />
UA<br />
UA<br />
UA<br />
REU/RET Site Director<br />
Meredith Kupinski<br />
College of Optical<br />
Sciences<br />
UA<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 12
THRUSTS<br />
Thrust 1: Optical Communication Systems and Networking<br />
TITLE<br />
Name<br />
Organization<br />
(Department or Institution or Firm<br />
Division)<br />
Thrust Lead,<br />
Research Faculty<br />
Alan Willner Electrical Engineering USC<br />
Thrust Co-Lead,<br />
Research Faculty<br />
Keren Bergman Electrical Engineering Columbia<br />
Chief Industry and<br />
College of Optical<br />
Saied Agahi<br />
Innovation Officer<br />
Sciences<br />
UA<br />
Research Faculty Milorad Cvijetic<br />
College of Optical<br />
Sciences<br />
UA<br />
Research Faculty Tom DeFanti Calit2 UCSD<br />
Research Faculty Ivan Djordjevic<br />
Electrical and Computer<br />
Engineering<br />
UA<br />
Research Faculty<br />
Jun He<br />
College of Optical<br />
Sciences<br />
UA<br />
Research Faculty Bahram Jalali<br />
Electrical and Computer<br />
Engineering<br />
UCLA<br />
Research Faculty Massoud Karbassian<br />
College of Optical<br />
Sciences<br />
UA<br />
Research Faculty George Papen<br />
Electrical and Computer<br />
Engineering<br />
UCSD<br />
Research Faculty George Porter<br />
Electrical and Computer<br />
Engineering<br />
UCSD<br />
Research Faculty Tajana Rosing<br />
Computer Science and<br />
Engineering<br />
UCSD<br />
Research Faculty Joseph Touch<br />
Computer Science and<br />
Electrical Engineering<br />
USC<br />
Systems<br />
Research Faculty Gil Zussman Electrical Engineering<br />
Columbia<br />
Thrust 2: Subsystem Integration and Silicon Nanophotonics<br />
Thrust Lead,<br />
Engineering and Applied<br />
Axel Scherer<br />
Research Faculty<br />
Science<br />
Caltech<br />
Thrust Co-Lead,<br />
Electrical Engineering<br />
Ming Wu<br />
Research Faculty<br />
and Computer Sciences<br />
UC Berkeley<br />
Chief Industry and<br />
College of Optical<br />
Saied Agahi<br />
Innovation Officer<br />
Sciences<br />
UA<br />
Research Faculty<br />
Kalyan Das<br />
Electrical and Computer<br />
Engineering<br />
Tuskegee<br />
Research Faculty Demetris Geddis Electrical Engineering NSU<br />
Research Faculty<br />
Li Jiang<br />
Electrical and Computer<br />
Engineering<br />
Tuskegee<br />
Research Faculty<br />
Naga Korivi<br />
Electrical and Computer<br />
Engineering<br />
Tuskegee<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 13
Research Faculty<br />
Research Faculty<br />
Research Faculty<br />
Thrust Lead,<br />
Research Faculty<br />
Thrust Co-Lead,<br />
Research Faculty<br />
Deputy Director,<br />
Research Faculty<br />
Chief Industry and<br />
Innovation Officer<br />
Research Faculty<br />
Research Faculty<br />
Research Faculty<br />
Research Faculty<br />
Research Faculty<br />
Research Faculty<br />
Research Faculty<br />
Testbed Lead and<br />
Associate Director of<br />
Indstrial Collaboration<br />
Michal Lipson<br />
Electrical and Computer<br />
Engineering<br />
Vitaliy Lomkin<br />
Electrical and Computing<br />
Engineering<br />
Shayan Mookherjea<br />
Electrical and Computer<br />
Engineering<br />
Thrust 3: Device Physics and Fundamentals<br />
Connie Chang- Electrical Engineering<br />
Hasnain and Computer Sciences<br />
Robert Norwood<br />
College of Optical<br />
Sciences<br />
Yeshaiahu Electrical and Computer<br />
Fainman<br />
Engineering<br />
Saied Agahi<br />
College of Optical<br />
Sciences<br />
Nikola Alic<br />
Electrical and Computer<br />
Engineering<br />
Pierre Alexander College of Optical<br />
Blanche<br />
Sciences<br />
Mahmoud Fallahi<br />
College of Optical<br />
Sciences<br />
Hyatt Gibbs<br />
College of Optical<br />
Sciences<br />
Galina Khitrova<br />
College of Optical<br />
Sciences<br />
Thomas Koch<br />
College of Optical<br />
Sciences<br />
Stojan Radic<br />
Electrical and Computer<br />
Engineering<br />
Testbed<br />
John Wissinger<br />
College of Optical<br />
Sciences<br />
Cornell<br />
UCSD<br />
UCSD<br />
UC Berkeley<br />
UA<br />
UCSD<br />
UA<br />
UCSD<br />
UA<br />
UA<br />
UA<br />
UA<br />
UA<br />
UCSD<br />
Testbed Co-Lead George Papen<br />
Electrical and Computer<br />
Engineering<br />
UCSD<br />
Research Faculty Keren Bergman Electrical Engineering Columbia<br />
Research Faculty Stojan Radic<br />
Electrical and Computer<br />
Engineering<br />
UCSD<br />
Research Faculty Amin Vahdat<br />
Electrical and Computer<br />
Engineering<br />
UCSD<br />
Research Faculty Alan Willner<br />
Electrical and Computer<br />
Engineering<br />
USC<br />
UA<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 14
OTHER PARTNERS CARRYING OUT ERC’S MISSION<br />
University Outreach Partners<br />
Name of<br />
institution/organization<br />
City<br />
State<br />
/partner<br />
Pima County Community<br />
College<br />
Tucson<br />
AZ<br />
San Diego City College San Diego CA<br />
San Diego State<br />
University<br />
San Diego<br />
CA<br />
Pre-college Institutions<br />
Name of<br />
City<br />
State<br />
institution/organization<br />
/partner<br />
Apollo Middle School Tucson AZ<br />
Arizona Lutheran<br />
Academy<br />
Gilbert<br />
AZ<br />
Auburn High School Auburn AL<br />
Basis Tucson Upper Tucson AZ<br />
Berkeley High School Berkeley CA<br />
Blair High School Pasadena CA<br />
Blind Brook High School Rye Brook NY<br />
Blue Ridge High School Pinetop AZ<br />
Booker T. Washington<br />
High School<br />
Washington<br />
DC<br />
Carpenter Charter<br />
Elementary School<br />
Studio City<br />
CA<br />
Chula Vista High School Chula Vista CA<br />
Churchland High School Portsmouth VA<br />
Desert Ridge High<br />
School<br />
Mesa<br />
AZ<br />
Desert View High School Tucson AZ<br />
Flagstaff Unified School<br />
District<br />
Flagstaff<br />
AZ<br />
Hasan Preparatory and<br />
Leadership School<br />
Tucson<br />
AZ<br />
High School for Dual<br />
Language and Asian<br />
New York<br />
NY<br />
Studies<br />
High Tech High Chula Vista CA<br />
Home School Mesa AZ<br />
Hoover High School San Diego CA<br />
Indian Oasis<br />
Baboquivari High School<br />
Sells<br />
AZ<br />
Ingleside Elementary<br />
School<br />
Norfolk<br />
VA<br />
Johnson Primary School Tucson AZ<br />
Lapwai High School Lapwai ID<br />
Lauffer Middle School Tucson AZ<br />
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Lincoln High School San Diego CA<br />
Marcos de Niza Tempe AZ<br />
Marengo Elementary<br />
School<br />
South Pasadena<br />
CA<br />
Millennium Tech Middle<br />
School<br />
San Diego<br />
CA<br />
Miramonte Elementary<br />
School<br />
Los Angeles<br />
CA<br />
Monarch School San Diego CA<br />
Monta Vista High School Cupertino CA<br />
Monument Valley High<br />
School<br />
Kayenta<br />
AZ<br />
Monument Valley High<br />
School<br />
Tonalea<br />
AZ<br />
Mountain View High<br />
School<br />
Tucson<br />
AZ<br />
Muckleshoot Tribal<br />
School<br />
Auburn<br />
WA<br />
Nixyaawii Community<br />
School<br />
Pendleton<br />
OR<br />
Norfolk Public Schools Norfolk VA<br />
Page High School Page AZ<br />
Palo Verde High School Tucson AZ<br />
Pride Academy San Diego CA<br />
Pueblo Magnet High<br />
School<br />
Tucson<br />
AZ<br />
Red Mountain High<br />
School<br />
Mesa<br />
AZ<br />
Rincon High School Tucson AZ<br />
San Diego Academy San Diego CA<br />
San Miguel Crista Rey Tucson AZ<br />
Snowflake High School Taylor AZ<br />
Sonoran Science<br />
Academy<br />
Tucson<br />
AZ<br />
St. Michael’s Indian<br />
School<br />
St. Michael<br />
AZ<br />
Sweetwater High School National City CA<br />
The Accelerated School Los Angeles CA<br />
Town and Country<br />
Learning Center<br />
San Diego<br />
CA<br />
Tucson High School Tucson AZ<br />
Tucson Unified School<br />
District<br />
Tucson<br />
AZ<br />
Tully Elementary School Tucson AZ<br />
Valley High School Houck AZ<br />
Valley Christian High<br />
School<br />
San Jose<br />
CA<br />
Vechij Himdag<br />
Alternative School<br />
Scaton<br />
AZ<br />
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Window Rock High<br />
School<br />
Window Rock<br />
AZ<br />
Window Rock Unified<br />
School<br />
Ft. Defiance<br />
AZ<br />
Winslow High School Winslow AZ<br />
OTHER PARTNERS CARRYING OUT ERC’S MISSION<br />
NSF Diversity Program Collaborations<br />
Name of<br />
institution/organization<br />
City<br />
State<br />
/partner<br />
UA Early Academic<br />
Outreach—Mesa<br />
Tucson<br />
AZ<br />
BE WiSE San Diego CA<br />
Girl Scouts of Arizona Tucson AZ<br />
Girl Scouts San Diego CA<br />
Girls Rehabilitation<br />
Center<br />
San Diego<br />
CA<br />
Materials and Devices<br />
for Information<br />
Tucson<br />
AZ<br />
Technology Research<br />
Native American<br />
Science and<br />
Tucson<br />
AZ<br />
Engineering Program<br />
Society of Women<br />
Engineers<br />
Columbia<br />
NY<br />
Tech Trek San Diego CA<br />
Undergraduate<br />
Research Opportunities<br />
Tucson<br />
AZ<br />
Consortium<br />
Women in Optics Tucson AZ<br />
OTHER PARTNERS CARRYING OUT ERC’S MISSION<br />
Innovation Partners<br />
Name of<br />
institution/organization<br />
City<br />
State<br />
/partner<br />
UA Eller College of<br />
Management<br />
Tucson<br />
AZ<br />
UCSD von Liebig Center<br />
for Entrepreneurism<br />
San Diego<br />
CA<br />
Columbia Business<br />
School<br />
New York<br />
NY<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 17
ADVISORY BOARDS<br />
Scientific Advisory Board<br />
Organization<br />
Name<br />
Title<br />
(Department or Institution or Firm<br />
Division)<br />
Ravi Athale<br />
Electro-optics<br />
Office of Naval<br />
Program Officer<br />
Research<br />
Peter Chang Group Leader High Bandwidth Device Intel<br />
Hossein Eslambolchi Chairman and CEO 2020 Venture Partners<br />
Shahab Etemad<br />
Chief Scientist and<br />
Director<br />
Applied Research<br />
Telcordia<br />
Elsa Garmire<br />
Professor<br />
Thayer School of<br />
Engineering<br />
Dartmouth College<br />
Ekaterina Golovchenko Director Transmission Design<br />
Tyco Telecommunications,<br />
Ltd.<br />
Kaveh Hushyar<br />
CEO (Former Sr. VP<br />
Telemetria<br />
of ATT)<br />
Technologies, Inc.<br />
Robert Leheny<br />
Former Director,<br />
DARPA<br />
Fred Leonberger Formerly CTO-JDSU<br />
EOVation Technology,<br />
LLC<br />
Karen Liu Vice President Components Ovum RHK<br />
Frederick B. McCormick Manager<br />
Applied Photonics Sandia National<br />
Microsystems Dept. Laboratories<br />
Sumit Roy<br />
Professor<br />
Communications and University of<br />
Networking<br />
Washington<br />
Elias Towe<br />
Materials Science and<br />
Albert and Ethel<br />
Engineering & Electrical<br />
Grobstein Memorial<br />
and Computer<br />
Professor<br />
Engineering<br />
Carnegie Mellon<br />
Cardinal Warde<br />
Professor<br />
Electrical Engineering<br />
and Computer Science<br />
MIT<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 18
ADVISORY BOARDS<br />
Name<br />
Raluca Dinu<br />
Dario Falquier<br />
Madeline Glick<br />
Jay Jeong<br />
Eiichi Kabaya<br />
Tim Kalthoff<br />
Industrial Advisory Board<br />
Title<br />
Vice President and<br />
General Manager<br />
Director<br />
Senior Research<br />
Scientist<br />
Sr. Product<br />
Marketing Manager<br />
Director<br />
Chief Technologist<br />
Organization<br />
(Department or<br />
Division)<br />
Product Line<br />
Management<br />
Optical IP Development<br />
Division and Operational<br />
Systems Product<br />
Management<br />
High Performance Analog<br />
Division<br />
Firm or Institution<br />
Gigoptix<br />
Nistica, Inc.<br />
APIC Corporation<br />
Newport<br />
NEC Corporation of<br />
America<br />
Texas Instruments<br />
Thierry Klein<br />
Director, Head of<br />
Green Research<br />
Bell Labs<br />
Alcatel/Lucent<br />
Ashok Krishnamoorthy<br />
Director,<br />
Distinguished<br />
Oracle<br />
Engineer<br />
Michael Kwok<br />
Optical Product Line Communications Test<br />
Manager<br />
Equipment<br />
Yokogawa<br />
Mod Marathe<br />
Distinguished Research and Advanced<br />
Engineer<br />
Development<br />
Cisco<br />
Karl Merkel<br />
Americas Marketing<br />
Optical Communication<br />
Manager-Photonics<br />
Measurement Division<br />
Test<br />
Agilent<br />
Optics Research<br />
Mamoru Miyawaki Senior Director Laboratory, Research<br />
Canon<br />
and Development Center<br />
Rod Naphan<br />
Vice President<br />
Planning and<br />
Fujitsu Network<br />
Development<br />
Communications<br />
Marcus Nebeling President/CEO<br />
Fiber Network<br />
Engineering<br />
Andre Richter<br />
Technical Vice<br />
President<br />
VPI Photonics<br />
VPIphotonics<br />
Deborah Stokes<br />
Director, External<br />
Research<br />
Huawei<br />
Phil Worland President Bandwidth 10<br />
Michi Yamamoto Vice President<br />
Nitto Denko Technical<br />
Corp.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 19
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 20
NARRATIVE<br />
EXECUTIVE SUMMARY: SYSTEMS VISION AND VALUE ADDED OF THE<br />
CENTER<br />
SYSTEMS VISION<br />
<strong>CIAN</strong>’s vision is to enable end user access to emerging real time, on demand, network services at data<br />
rates up to 100 Gbps anytime and anywhere at low cost and with high energy efficiency.<br />
Statement of the Problem: Emerging network services can educate, create jobs, and save lives -<br />
enabling transformative applications such as 3D holographic video for telepresence in interactive<br />
education, telemedicine, and commerce. However, the future Internet is threatened by trends that are<br />
presenting significant technological obstacles:<br />
<br />
Internet traffic continues to grow at a near exponential rate, doubling roughly every two years (Figure<br />
1.1a), driven by an increasing number of users, bandwidth-intensive applications such as video on<br />
demand, and mobile computing platforms such as the smart phone, and the tablet pc. By 2016 the<br />
equivalent of all the movies ever made will cross the Internet every three minutes. Data Center traffic<br />
is increasing at the same pace (Figure 1.1b).<br />
Figure 1.1. Projected Global and Data Center IP Traffic 2011-2016 in Exabytes per month. (Cisco Visual<br />
Networking Index, March, 2013).<br />
<br />
<br />
<br />
The communication industry has responded to the rapidly increasing demand for bandwidth by<br />
employing “100G+” transmission technology to support aggregated data at rates of 100 gigabits per<br />
second and higher on a single WDM wavelength on the trunk lines of the Internet.<br />
Application types, communication protocols, and traffic flow have become increasingly heterogeneous<br />
and unpredictable.<br />
The convergence of data communications and telecommunications has resulted in complicated<br />
network overlays that are expensive and consume large amounts of electrical power.<br />
These trends impose serious bottlenecks on the Network, including:<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 21
(1) Scalability: existing networks are difficult to scale in light of rapid expansion of end users and new<br />
emerging services.<br />
(2) Subscriber access rates: current residential users have access typically to 1-10 Mbps in spite of Tbps<br />
capacity available in the network core. This access bottleneck resulting from the tree-type<br />
distribution/aggregation prevents subscribers from having cost effective access to 10-100 Gbps services<br />
anytime, anywhere. Using today’s aggregation architecture, providing subscribers this level of<br />
performance would require a 1000-fold increase in network capacity. Bringing optics closer to the edge is<br />
expected to reduce cost and complexity and thus subscriber’s access rates.<br />
(3) Energy consumption: existing networks experience excessive energy consumption due to OEOs,<br />
electronic switching and inefficient hardware operation. More extensive use of optics and photonics<br />
would enable network architecture designs with optimized energy consumption.<br />
(4) Latency is an important performance metric of the network, affecting quality of service, energy<br />
consumption and cost. More extensive use of optical technologies in the network would reduce latency.<br />
(5) Network control and management: future networks need to dynamically allocate bandwidth down to<br />
the photonic level, and implement quality of service in optical transmission in order to support emerging<br />
data-intensive applications. Moreover, it should optimize latency, energy consumption and network<br />
reliability and robustness.<br />
(5) Robustness and reliability: existing networks have limited ability to adapt in real time to network<br />
impairments. Novel optical performance monitoring techniques together with advanced coding and<br />
network management and control would enhance reliability of the networks and their ability to route<br />
around impairments.<br />
(6) Cost: existing networks use discrete optical components, making make them cost ineffective.<br />
Monolithically integrated Si-photonics together with heterogeneously integrated III-V devices would<br />
enable manufacturing of OEO transceiver arrays integrated with CMOS electronic circuitry, using the<br />
same process and tools as CMOS electronics. These novel chip-scale integration technologies would<br />
allow creation of new optoelectronic functionalities that are currently not available, leading to considerable<br />
cost reduction.<br />
Figure 1.2 illustrates how such growing needs put particular strain on data aggregation, a situation that is<br />
common to both regional networks and data centers.<br />
The <strong>CIAN</strong> Solution: <strong>CIAN</strong> plans to achieve its vision of 100 Gbps on-demand subscriber rates, anytime,<br />
anywhere through the research conducted by two working groups and three thrusts.<br />
Working Group 1 (WG1) targets future data center networks with the necessary properties to scalably<br />
support the delivery of applications to millions of end users in a reliable, geographically distributed<br />
manner. Inherent in meeting this challenge is supporting real-time operation, namely fast switching at<br />
high enough rates to meet the strict bandwidth and latency requirements of data center applications.<br />
New circuit switched data center network architectures must support the ability to dynamically move<br />
bandwidth to meet application demands. This is made increasingly challenging as end hosts inevitably<br />
move from 10 to 40 to 100 Gbps or beyond. Within a data center, cost is a key driver of what can be<br />
adopted, and so eliminating the bulk of network costs, specifically discrete optical transceivers, is a key<br />
challenge addressed by WG1. WG1 seeks to integrate novel devices, including electrical/optical<br />
aggregators and source and receivers to address this challenge. Lastly, the computation and storage in<br />
the data center must be efficiently bridged with the wider world. Thus delivering data in a timely manner<br />
to its ultimate consumer (see WG2 below), whether another data center or a mobile user across the<br />
world, is a basic requirement of any architecture proposed by WG1.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 22
Working Group 2 (WG2) targets the next-generation access aggregation network that is driven by the<br />
rapid growth in user/subscriber demand for broadband access and the expanding heterogeneity of<br />
applications, services, and emerging technologies. A significant portion of the future traffic will be “bursty”<br />
applications (e.g. video-conferencing, tele-surgery, 3D MRI, immersive/interactive gaming etc.) that<br />
require high bandwidth and low latency. With fiber to the premises widely available, home and enterprise<br />
subscribers have the potential to access wavelength services and interfaces in the 10-100 Gbps range.<br />
However, such applications and high service capacities simply cannot be delivered to each subscriber<br />
continuously in a cost effective manner under the current tree-type distribution/aggregation networks.<br />
Current subscriber services range from 10 Mb/s for residential users to 1 Gbps enterprise clients.<br />
Services operating at subscription rates of 10 Gbps for residential users and 500 Gbps for enterprise<br />
clients would represent up to a 1000-fold increase over current peak traffic rates for subscription<br />
services today. Using today’s aggregation architecture, this would require a commensurate 1000-fold<br />
increase in the network capacity. Conventional switching and transmission technology is rapidly<br />
approaching physical capacity, thermal, and energy limits. There is no clear path to scale the current<br />
architecture by 1000 times. WG2 addresses exploding traffic demand and increasing network energy use<br />
by investigating novel photonic technologies that enable new scalable aggregation architectures that<br />
deliver network resources intelligently as on-demand services.<br />
<strong>CIAN</strong> uses both commercial components as well as <strong>CIAN</strong> developed components to reach its vision.<br />
These components can be added to augment existing network nodes to provide the desired<br />
enhancements. The network includes both optical and electronic communication paths to support hybrid<br />
solutions, which can be more efficient in some environments. <strong>CIAN</strong> uses any combination of current<br />
commercial optical circuit switches with control enhancements, <strong>CIAN</strong>-developed optical circuit switching,<br />
optical performance monitoring and switching enhancements, including optical signal to noise ratio<br />
(OSNR) monitoring, rapid circuit switching tuning, and, ultimately digital optical processing to increase the<br />
agility of aggregation networks in supporting highly dynamic on-demand capacity. Some of these<br />
technologies are optically “transparent”, supporting a variety of data encoding; others are opaque,<br />
requiring packet header information in a known, accessible format.<br />
Figure 1.3 illustrates <strong>CIAN</strong>’s vision for transformed networks incorporating key technologies to overcome<br />
the most important technological obstacles for network growth:<br />
<br />
Figure 1.2. Recent trends put increasing strain on data aggregation in both regional networks and within data<br />
centers.<br />
Hybrid switching fabrics that use a combination of electronic packet switching and optical circuit<br />
switching for the most efficient and energy efficient use of network resources.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 23
Intelligent network nodes that can control and manage switching of data according to the type of<br />
services on the network and impairments in the transmission signals.<br />
Advanced modulation and coding that use polarization states, spatial modes, and optical codes to<br />
increase link capacity and efficiency; and advanced aggregation schemes that handle a wide-range of<br />
transmission protocols.<br />
Software and hardware with control and management capability that dynamically optimize allocated<br />
bandwidth and quality of service. This would enable providing up to 100 Gbps as needed to end<br />
users for bandwidth-intensive services such as live, fully-immersive telepresence and large-scale<br />
data transfer between data centers.<br />
Manufacturable chip-scale photonic integrated circuits that lower equipment cost.<br />
<strong>CIAN</strong>’s research approach is collaborative, focused, and system-oriented. It transfers the new technology<br />
to companies through the Center’s industry and education programs.<br />
Figure 1.3. <strong>CIAN</strong>’s transformative networking infrastructure.<br />
No major weaknesses or threats with regard to the <strong>CIAN</strong> vision were identified in the SWOT analysis of<br />
the prior site visit report.<br />
<strong>CIAN</strong> envisions dynamic networks with energy management and hybrid packet/circuit switching<br />
technology to deliver peak traffic rates up to 100 Gpbs on demand.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 24
VALUE ADDED AND BROADER IMPACTS<br />
<strong>CIAN</strong> has made significant impacts in both fundamental and applied research in areas ranging from<br />
quantum optics in nano-scale materials to network architecture and their systems realizations. The results<br />
of <strong>CIAN</strong> research have been disseminated through presentations around the world, publication in<br />
prestigious journals, and interaction with our academic and industry partners.<br />
<strong>CIAN</strong> has published six prestigious Nature and Science articles in the past two years.<br />
In cooperation with the Optoelectronic Industry Development Association (OIDA) <strong>CIAN</strong> has held three<br />
road mapping workshops – the last one being Future Needs of "Scale-Out" Data Centers held March<br />
17 th , 2013 in Anaheim (co-located with the Optical Fiber Conference). The workshops are part of a<br />
continuing <strong>CIAN</strong> effort to establish quantitative, system-level metrics to guide industrial research and<br />
development, and that complement <strong>CIAN</strong>’s very aggressive internal metrics for network capacity and<br />
energy efficiency.<br />
<strong>CIAN</strong> is educating students with attributes described in the National Academy of Engineering’s The<br />
Engineer of 2020 by giving them the opportunity to participate in the strategic research planning of our<br />
multi-university, inter-disciplinary research center. This has been implemented by putting students and<br />
post-doctoral fellows in charge of the operation of the <strong>CIAN</strong> Working Groups, which establish<br />
collaborative ties between system, subsystem, and device-level research. <strong>CIAN</strong> also provides extensive<br />
career training for its students, the last one being Framing and Harvesting Innovation workshop held in<br />
Manhattan Beach, CA, October 23 rd and 24 th , 2012. In response to the request of <strong>CIAN</strong> students for more<br />
interaction with our industry partners, regularly scheduled web-conferences are held between students<br />
and IAB members. Eighty percent of our students have reported that they believe <strong>CIAN</strong> offers them a<br />
competitive advantage upon graduation. <strong>CIAN</strong> has steadily increased participation of undergraduates in<br />
its research program, achieving a graduate to undergraduate student ratio of
The broader impact of <strong>CIAN</strong> research is an increased effectiveness of Internet and communication<br />
infrastructure leading to new entertainment paradigms, new approaches to business and education,<br />
wide-spread distribution of medical information, telemedicine and telepresence, and energy savings that<br />
help preserve the environment.<br />
RESEARCH<br />
Engineered Systems-level Approach and Advances<br />
<strong>CIAN</strong>’s research program is structured to create photonic technology for optical data aggregation in both<br />
regional networks and data centers - developing new devices and subsystems for system-level<br />
demonstrations introduced in the description of WG1 and WG2. <strong>CIAN</strong> research is organized into three<br />
thrusts with Thrust 1 focusing on systems level research and network architectures, providing guidance<br />
for research across the other thrusts of <strong>CIAN</strong>. Thrust 2 focuses research on silicon photonic subsystems<br />
and integration of photonic components on a silicon chip, whereas Thrust 3 projects are devoted to<br />
fundamental research on materials and devices in support of future subsystems and systems research in<br />
Thrusts 2 and 1, respectively.<br />
More than half of <strong>CIAN</strong>’s research projects are in Thrust 1, reflecting an emphasis on systems level<br />
research. Two major research focus areas of <strong>CIAN</strong>, defined as WG1 and WG2, are established to<br />
integrate research across the three thrusts. Specifically, WG 1 and WG 2 investigate hybrid switching<br />
networks in data centers and intelligent access aggregation networks, respectively. For the WG 1 in year<br />
3, we developed a hybrid electrical/optical switching architecture and its system realization (HELIOS)<br />
which enabled better data mining within data centers and delivered significant reductions in the number of<br />
switching elements, cabling complexity, cost, and power consumption. HELIOS used light-weight, highbandwidth<br />
fiber optic connections and a MEMS-based optical switching fabric with 25 ms switching time<br />
that reduces power use from the 12.5 W per port consumed by a comparable electronic switch to just 240<br />
mW per port. With additional support from Google in <strong>Year</strong>s 4 and 5, <strong>CIAN</strong> has developed the hardware<br />
providing three orders of magnitude faster interconnection architecture for data centers called the<br />
Microsecond Optical Research Datacenter Interconnect Architecture (MORDIA). MORDIA utilizes a<br />
circuit-switched optical fiber ring and wavelength selective switches supplied by Nistica (a <strong>CIAN</strong> industrial<br />
partner) to realize a fast-switching (~ 11.5 µsec) and fully-connected optical mesh network that supports<br />
up to 240 Gbps of network traffic. MORDIA has attracted considerable attention in the data center<br />
industry.<br />
The centerpiece of the second focused research on intelligent aggregation networks in WG2 is the <strong>CIAN</strong><br />
Box - an intelligent network node that monitors traffic flow at the physical layer (e.g. optical signal-to-noise<br />
ratio) as well as the type of application carried by a flow. The <strong>CIAN</strong> box responds to traffic flow conditions,<br />
adapting the strength of error coding, inserting or removing OEO regenerators, and switching both<br />
wavelength and packet streams, in order to minimize energy consumption and maximize network<br />
capacity. Multiple <strong>CIAN</strong> boxes work in concert using control plane software that is also developed by the<br />
Center and that is based on the emerging OpenFlow standard.<br />
<strong>CIAN</strong> has begun concurrent development of a sequence of <strong>CIAN</strong> boxes. The Stage I <strong>CIAN</strong> box,<br />
demonstrated at the previous site visit, integrated optical performance monitoring to enable feedbackbased<br />
signal adaptation and automatic circuit rerouting to stabilize performance in the presence of path<br />
and device variations. The Stage II <strong>CIAN</strong> box reconfigures on much smaller timescales, and can use inband<br />
data plane context, such as Quality of Service (QoS) labels, to control tuning and adaptation.<br />
Ultimately, <strong>CIAN</strong> box research is moving towards a Stage III realization that switches on packet<br />
timescales, reconfigures on bit timescales, and can direct data on a per-packet basis towards the desired<br />
path.<br />
Data Center Testbed and Testbed for Optical Aggregation Networking (TOAN) provide experimental<br />
networks where <strong>CIAN</strong> research can be implemented and validated in realistic network systems. The data<br />
center testbed is located at UCSD while the TOAN testbed is located at University of Arizona. The heart<br />
of the TOAN testbed is a pair of Flashwave 9500 packet optical networking nodes, acquired from Fujitsu,<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 26
an industrial partner of <strong>CIAN</strong>. The switches aggregate and route SONET, Ethernet, WDM, and Optical<br />
Transport Network signals. The TOAN roadmap includes incorporation <strong>CIAN</strong> boxes and an additional two<br />
9500 packet switches. The Stage I <strong>CIAN</strong> box was inserted into TOAN and demonstrated at the April 2011<br />
site visit. A Stage II <strong>CIAN</strong> box was inserted into TOAN and demonstrated at the May 2012 site visit. All<br />
<strong>CIAN</strong> technology related to intelligent aggregation networks will eventually be incorporated into TOAN. To<br />
complement the research in Trust 2 and 3, two Chip-scale Testing Facilities at UCSD and UA have been<br />
established to connect <strong>CIAN</strong>-built optoelectronic chips to the system testbeds for validation and testing in<br />
a real system environment.<br />
In support of the systems discussed above, <strong>CIAN</strong> Trust 2 has recently focused its research on integration<br />
of Si-photonics, III-V, and CMOS electronics to create <strong>CIAN</strong> chips. As part of this effort we also evaluated<br />
and tested various manufacturing facilities and identified Sandia National Lab as the foundry for<br />
manufacturing of <strong>CIAN</strong> chips.<br />
Research Productivity<br />
During its first five years, Center investigators have published 312 <strong>CIAN</strong>-related articles in peer reviewed<br />
technical journals. 68 of the articles were published in <strong>Year</strong> 5, and more than one third of these had<br />
authors from multiple institutions. Several of the <strong>Year</strong> 5 articles reported work that was related to<br />
Associated Projects funded by industry. Through <strong>Year</strong> 5, <strong>CIAN</strong> investigators have filed 34 patent<br />
applications of which eight U. S. patents have been awarded. <strong>CIAN</strong> has granted a total of six licenses to<br />
companies for its intellectual property.<br />
<strong>CIAN</strong> faculty and students have won numerous honors and awards during the past year. Professor Alan<br />
Willner was awarded the USC Associates Award for University-Wide Creativity in Research. Professor<br />
Alan Willner was also presented the John Simon Guggenheim Fellowship for achievements in optical<br />
communications research that includes his work with <strong>CIAN</strong>, and became a fellow of the American<br />
Association for the Advancement of Science. Professor Shayan Mookherjea became a fellow of the<br />
Optical Society of America, Professor Galina Khitrova a fellow of the American Physical Society, and<br />
Professor Michal Lipson an IEEE fellow. George Porter received a Google Focused Research Award to<br />
carry out research on Networking for Developing Hybrid Electrical/Optical Data Center Circuit Switching.<br />
<strong>CIAN</strong> students also won awards in 2012. Ali Fard received the 2012 Distinguished PhD Dissertation<br />
Award in Physical & Wave Electronics from the Electrical Engineering Department at UCLA. Columbia<br />
student Cathy Chen received a renewal on her NSF Graduate Research Diversity Supplement award.<br />
Translational Research Awards<br />
<strong>CIAN</strong> is carrying out translational research in collaboration with four of its industrial partners. <strong>CIAN</strong><br />
researchers from USC, UCLA, and UA work closely with Gigoptix on 100G polymer-based, optical<br />
modulator technology. Efforts are underway to move technology related to tunable VCSEL’s from<br />
Professor Chang-Hasnain’s group at the University of California, Berkeley to the start-up company<br />
Bandwidth 10. <strong>CIAN</strong> has recently initiated an effort to transition energy-aware technology from Columbia<br />
University and the University of California, San Diego to Alcatel-Lucent. UCSD expertise in hybrid data<br />
centers are being transitioned to Google. Cisco and Texas Instrument are working with UCSD and UA on<br />
new optical switching strategies for networking.<br />
EDUCATION OUTCOME<br />
Developing a Culture that is Training ERC Graduates to be More Effective in Academic and<br />
Industrial Practice and Engineers who are More Creative, Adaptive, and Innovative<br />
At the forefront of <strong>CIAN</strong>’s Education program is its continued efforts to ensure that <strong>CIAN</strong>’s ERC graduates<br />
are prepared to be highly successful in both academic and industrial practices. While activities are<br />
provided to give students the opportunity to succeed in these areas, activities alone are not sufficient to<br />
develop a culture in which this expectation can become a reality. Partnerships with educational entities<br />
and institutions, as well as industry involvement are factors that must exist to advance a culture in which<br />
graduates will be excellently prepared and inspired to succeed in a globally-driven and dynamic industry.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 27
<strong>CIAN</strong> has worked diligently to facilitate in our students an understanding of the importance, which goes<br />
beyond each individual student, of fostering skills such as creativity, innovation, and adaptability. <strong>CIAN</strong><br />
Education continues to strengthen its program by creating education and industry/innovation programs<br />
that have significant positive societal impact.<br />
<strong>CIAN</strong> continues to provide opportunities for <strong>CIAN</strong> students:<br />
1. To develop their knowledge of industrial and entrepreneurial practices; learn about innovation;<br />
and network with industry partners for future job opportunities.<br />
2. To network and collaborate across ten universities and our international partners in an effort to<br />
strengthen their research and collaboration skills.<br />
3. To be exposed to more optics and photonics research and education, and to introduce K-12<br />
students to optics and photonics to stimulate interest in science or engineering.<br />
A Culture that Develops Industrial Practices<br />
In addition to the several innovation-centered education and professional development activities that<br />
<strong>CIAN</strong> provides for its students, the culture of innovation is enhanced by providing students several<br />
opportunities to partner with Business Schools and MBA students, collaborate with industry members,<br />
plan industry events, and lead working groups.<br />
Innovation<br />
Innovation Workshop<br />
This year, <strong>CIAN</strong> again partnered with UCSD’s von Liebig Entrepreneurism Center to offer another<br />
innovation workshop, “Framing and Harvesting Innovations.” In attendance were graduate,<br />
undergraduate, and postdoctoral students from 6 <strong>CIAN</strong> universities, industry members, SAB members,<br />
<strong>CIAN</strong> faculty, and the former dean of UA’s Eller College of Management. Students were exposed to the<br />
basic concepts of innovation, technology commercialization, entrepreneurship and evaluation of ideas for<br />
market feasibility. This workshop kicked off the process of evaluating <strong>CIAN</strong> technologies for<br />
commercialization. There will be a continuous follow up of this process with additional training and<br />
involvement of the UCSD von Liebig Center and Graduate Schools of Business at University of Arizona,<br />
UC San Diego and other <strong>CIAN</strong> participating universities.<br />
Engineering/MBA Student Collaboration<br />
Following the “Framing and Harvesting Innovation” workshop, teams of researchers were formed to<br />
investigate and explore in detail some of the promising <strong>CIAN</strong> technologies. One of the teams was formed<br />
at Columbia University consisting of four <strong>CIAN</strong> students under the leadership of the SLC-ILO, Michael S.<br />
Wang. They in turn recruited two MBA students with industry experience from the Columbia School of<br />
Business and were accepted to be part of a cohort in a course offered by the Columbia School of<br />
Business for entrepreneurship and technology commercialization. The second team was formed at the<br />
University of Arizona consisting of a <strong>CIAN</strong> PI and his PhD student with Srinivas Sukumar from UC San<br />
Diego as the mentor.<br />
Student Interaction with Industry<br />
Industry Presentations<br />
<strong>CIAN</strong> continued monthly industry web presentations. In an effort to maximize the SLC’s interaction with<br />
industry, the organizing committee is charged with coordinating these presentations. During these<br />
presentations, <strong>CIAN</strong> students from across campuses view and interact live with our industry presenters.<br />
IAB members are also invited to attend the web presentations. This year, industry members from NASA<br />
Jet Propulsion Laboratory, TE SubCom, Intel, KLA-Tencor Corporation, Fujitsu, AT&T, and TCX<br />
Technology Connexions presented. Other presentations were on Technology Transfer in Academia;<br />
Design Thinking and Peak Performance: Getting the Most out of Innovation; and Executive Strategy in<br />
Challenging Times.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 28
Internships<br />
Nine <strong>CIAN</strong> students participated in internships during <strong>Year</strong> 5. Student interned at the following<br />
companies: AT&T, Sharp Laboratories of America, ANSYS, Sandia National Laboratories, Bandwidth 10,<br />
NEC Laboratories America, Western Digital Corporation, Qualcomm, and Oracle Labs. <strong>CIAN</strong> continues to<br />
make strides in strengthening its internship program.<br />
IAB <strong>Annual</strong> Meeting<br />
Students were charged with planning the IAB annual meeting, which took place in early February 2013.<br />
The planning process brought students together with faculty, <strong>CIAN</strong> administrative leaders, and<br />
importantly, industry members. It was a great opportunity for students to take the lead and plan their<br />
interactions with industry as they saw appropriate under the auspices of <strong>CIAN</strong> administration. During this<br />
meeting, students presented their research, organized an “Industry Panel”, and orchestrated and<br />
participated in an Industry “speed networking” activity.<br />
Student Professional Skills Development<br />
Professional Development Workshops<br />
In addition to the “Framing and Harvesting Innovation” workshop, <strong>CIAN</strong> students were offered several<br />
other opportunities to develop and foster professional development. Workshops offered this year<br />
included: Presentation Skills, Negotiation Skills, Project Management, Engineer of 2020 Seminar, and a<br />
Team Building Activity. These workshops are designed to not only develop skills integral to industry<br />
practice, but the activities involved (i.e. case studies, real-world examples, and brainstorming sessions)<br />
provided opportunities for students to think outside the box, collaborate, and adapt to varying and<br />
sometimes conflicting ideas, approaches, and dynamic scenarios.<br />
Student Leadership Council<br />
The SLC Organizing Committee includes representatives from each <strong>CIAN</strong> partner university. The goal for<br />
the Organizing Committee is to train students with skills in leadership and management, and to be key<br />
decision-makers. Under the direction of <strong>CIAN</strong> management, and the leadership of the SLC-ILO, students<br />
planned the activities for the annual Industry Advisory Board. The SLC is also charged with planning<br />
Friday webinars, where <strong>CIAN</strong> students and industry members can log in using Elluminate to participate.<br />
Students from almost all <strong>CIAN</strong> institutions have been attending every SLC presentation webinars. These<br />
presentations are also recorded and available for viewing at a later date online for <strong>CIAN</strong> students.<br />
A Culture that Develops Academic Practices<br />
<strong>CIAN</strong> offers its students opportunities to collaborate across <strong>CIAN</strong> partner universities, collaborate with<br />
international partner universities, participate in research experiences, and lead <strong>CIAN</strong> working groups.<br />
Domestic and International Collaborative Research<br />
Domestic and International Travel Grants<br />
<strong>CIAN</strong>’s travel grants have been instrumental in facilitating collaboration across <strong>CIAN</strong> universities. In <strong>Year</strong><br />
5, seven travel grants were awarded for <strong>CIAN</strong> students to collaborate across four <strong>CIAN</strong> domestic partner<br />
universities (UA, UCLA, Columbia, and Berkeley) and two <strong>CIAN</strong> international partner institutions (Aalto<br />
University in Finland and Darmstadt University of Technology in Germany). Another university, Karlsruhe<br />
Institute of Technology in Germany, was also visited by a <strong>CIAN</strong> student to collaborate on fabricating<br />
nano-optical devices using electron beam lithography. These travel grants enabled <strong>CIAN</strong> students,<br />
faculty, and industry (Bala Bathula from Alcatel/Lucent) to collaborate on <strong>CIAN</strong> related research.<br />
Undergraduate Involvement in Research<br />
Research Fellowships<br />
<strong>CIAN</strong> provides activities to expose more students to photonics research and education. In <strong>Year</strong> 5, <strong>CIAN</strong><br />
funded twenty-one undergraduate research fellowships to students from all ten <strong>CIAN</strong> partner institutions<br />
(three students received a follow-on fellowship). This program allows undergraduate students to work on<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 29
esearch projects in <strong>CIAN</strong> labs, improving the graduate to undergraduate ratio. One of the fellows was a<br />
student at one of <strong>CIAN</strong>’s outreach partner institutions, Pima Community College, which is a Hispanicserving<br />
institution and is a S-STEM grant recipient.<br />
REU<br />
A total of sixteen undergraduate students participated in <strong>Year</strong> 5’s REU program that is referred to as the<br />
IOU program (Integrated Optics for Undergraduates) - twelve were funded through the site award and<br />
four were funded with base funds. The students conducted summer research in <strong>CIAN</strong> laboratories at the<br />
following sites: The University of Arizona (4); University of California, San Diego (6); Columbia University<br />
(3); University of California, Berkeley (1); University of Southern California (2).<br />
<strong>CIAN</strong> is committed to running the IOU program in concert with other undergraduate summer programs on<br />
each of these campuses. At the U of A site, the IOU program partners with the summer activities of NSF<br />
and NIH undergraduate research programs targeting underrepresented students, including Minority<br />
Access to Research Careers (MARC), McNair, and Minority Health Disparities (MHD) programs. These<br />
partnerships are made possible through <strong>CIAN</strong>’s membership in the Undergraduate Research<br />
Opportunities Consortium (UROC). UROC is a consortium of federally and institutionally funded research<br />
programs designed to increase the number of first generation-college, low income and underrepresented<br />
students who are interested in graduate school. At UCSD, <strong>CIAN</strong> partners with the Summer Training<br />
Academy for Research in the Sciences (STARS) program, which targets underrepresented students and<br />
is funded by several NSF diversity programs, such as LSAMP, CAMP, RISE, and MARC.<br />
Student-Led Working Groups<br />
<strong>CIAN</strong> is educating students to develop attributes of the Engineer of 2020 by giving them the opportunity to<br />
participate in the strategic research planning of our multi-university, inter-disciplinary research center.<br />
This has been implemented by putting students and post-doctoral fellows in charge of the operation of the<br />
<strong>CIAN</strong> working groups, which were created in order to establish collaborative ties between system and<br />
device-level research. This opportunity provides integral exposure for students to academic and industrial<br />
practice.<br />
Curriculum Development and Creation of New Gen 3 Courses:<br />
Super-course<br />
New in Y5 is the development of the Graduate Professional Certificate in Photonic Communication. This<br />
certificate will be offered as distance learning, and will benefit industry members and students worldwide.<br />
<strong>CIAN</strong> continued offering the M.S. program in Photonics Communication Engineering (PCE) and its six<br />
<strong>CIAN</strong> courses. The background material for the undergraduate/graduate PCE I and II Super Courses<br />
have been made publicly available by logging into the <strong>CIAN</strong> web site. Selected lectures from PCE II are<br />
being broadcast live to other <strong>CIAN</strong> partner universities, including NSU and Tuskegee.<br />
<strong>CIAN</strong>’s partner universities’ core curriculum in relevant graduate programs is currently being mapped to<br />
graduate super-course modules. Once completed, students and faculty will be able to use the supercourse<br />
graduate modules seamlessly as supplemental resources, review, or preview to currently existing<br />
university curriculum.<br />
Precollege Modules<br />
Throughout <strong>Year</strong> 5, <strong>CIAN</strong> has been developing and editing the content for the precollege Super-Course<br />
modules. The completed middle school modules are being posted online this summer. Due to the results<br />
of focus groups with teachers, the modules are also being repackaged into smaller modules. Pre-college<br />
animations are still being edited, but are available for preview at http://cian-work.algroinc.com/.<br />
At the end of the project, these pre-college modules will be linked to the undergraduate/graduate<br />
modules. Our community college partners are especially excited about exposing more students to this<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 30
field, generating increased interest in their programs, and ensuring their students are prepared as they<br />
transition into four-year College programs.<br />
Impact on Precollege Education<br />
<strong>CIAN</strong> provides activities to introduce K-12 students to photonics to stimulate an interest in science or<br />
engineering. Since 2009, 72 high school students have participated in <strong>CIAN</strong>’s Young Scholars Programs<br />
at UCLA, Tuskegee, Columbia, UC Berkeley, NSU, and UA. Of the 72 students, we have data that<br />
reveals 24 have graduated from high school, all 24 are attending college, and nearly 90% are studying a<br />
STEM major. Students, staff, and faculty at nearly all 10 <strong>CIAN</strong> universities have been active in offering K-<br />
12 outreach activities, such as demonstrations and workshops, with the result of impacting approximately<br />
4155 K-12 students in <strong>Year</strong> 5. <strong>CIAN</strong> precollege programs are listed below. A further description of these<br />
programs is included in the University and Pre-college Education Programs section of the annual report.<br />
1. Native American Science & Engineering Program (NASEP) – University of Arizona<br />
2. Research Experience for High School Graduates (REG) - Tuskegee<br />
3. Summer High School Apprenticeship Research Program (SHARP) – UC Berkeley<br />
4. Young Scholars Summer Research – UCLA<br />
5. Young Scholars Summer Research – NSU<br />
6. Young Scholars Summer Research – Columbia<br />
7. Young Scholars Academic <strong>Year</strong> Research - UA<br />
8. Research in Optics for K-14 Educators and Teachers (ROKET) – UA, UCSD, NSU, Caltech<br />
Research Experience for Teachers - RET<br />
Eleven teachers participated in <strong>CIAN</strong>’s Research in Optics for K-14 Educators & Teachers (ROKET) RET<br />
program at UA, Caltech, UCSD, and NSU (new in <strong>Year</strong> 5). At UA, the partnership continued between<br />
<strong>CIAN</strong> and the American Indian Language Development Institute (AILDI) for science educators working in<br />
Native American communities. Teacher participants created lesson plans that are posted on <strong>CIAN</strong>’s<br />
website that incorporated their ROKET experiences and reflected their new content knowledge, insights<br />
into “real world” research, and enthusiasm for discovery. One teacher’s comment about the UA/AILDI<br />
RET program was:<br />
“The collaboration offered by the department and other partners of the program…they went above and<br />
beyond to make my experience very rich and enlightening.”<br />
Role of Industry Members in the <strong>CIAN</strong> ERC<br />
INNOVATION ECOSYSTEM<br />
Industry members are a key element in fulfilling the mission of the <strong>CIAN</strong> ERC. Industry members,<br />
through the Industrial Affiliates Board (IAB), provide feedback on the progress of commercial products,<br />
augment the development roadmap, guide the development of technology at the partner Universities, and<br />
provide paths for commercialization. Industry members also provide key connections to other companies<br />
in the optical communications space who may become future <strong>CIAN</strong> members or auxiliary<br />
commercialization opportunities. The <strong>CIAN</strong> management and ILO teams are focused on fully integrating<br />
the industrial members into key strategic and tactical decisions regarding program evaluation, future<br />
direction, and commercial transition. Figure 1.4 shows the interaction between Industry and <strong>CIAN</strong><br />
projects and the associated feedback loops that maximize technology development and<br />
commercialization opportunities.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 31
Figure 1.4. Industry Interaction and feedback processes.<br />
During the reporting year, the <strong>CIAN</strong> team completed the first phases of the initial “Blue Sky” research<br />
program on a large port count, high-speed N × N optical switch. The program began from a discussion of<br />
market needs between representatives from Cisco and Texas Instruments. <strong>CIAN</strong> researchers worked<br />
with the two IAB member companies to clarify the market needs and opportunities and to explore possible<br />
technical approaches. Based upon the industrial and academic feedback, the project was funded as a<br />
“Blue Sky” research program with the goal of developing a visible light demonstration unit to show the<br />
switching capability of an updateable holographic pattern based on Texas Instruments DLP technology.<br />
The program met its performance targets and demonstrated a two wavelength visible switching system<br />
operating at near video rates. The output of the holographic switch demonstration unit is shown in Figure<br />
1.5. Based upon the initial success and positive feedback from Texas Instruments and Cisco, the UA<br />
research team sought additional outside funding from the Tech Launch Arizona’s Proof of Concept<br />
Program. The project was selected and received $40,000 to develop a proof-of-concept prototype<br />
operating at telecommunication wavelengths. The proof of concept demonstration program is scheduled<br />
to run through May 14, 2013.<br />
Based upon the success of the first “Blue Sky” initiative, we may expand the number of projects in 2013.<br />
The management and industry teams discussed the holographic switch program at the IAB meeting in<br />
February and the industrial partners felt that collaborations of this type were of significant interest to<br />
industry and recommended that <strong>CIAN</strong> pursue additional activities in the upcoming year. In support of<br />
these initiatives, the <strong>CIAN</strong> management team is actively working with our industrial partners to identify<br />
unmet technical needs, enhance industry participation and develop both core and translational research<br />
opportunities that will provide chances for our industry members to experience fuller collaboration with the<br />
various academic partners as a part of their membership. These activities include active interactions<br />
between <strong>CIAN</strong> staff/faculty and industry to identify potential insertion opportunities for internally<br />
developed technologies into current and future products.<br />
During the past year, the ILO team embarked on two new initiatives. The first initiative was focused on<br />
increasing <strong>CIAN</strong>’s engagement with industrial partners through improved communication of <strong>CIAN</strong><br />
activities. To provide the industrial members with recent information, a periodic newsletter is prepared<br />
and electronically distributed to all the IAB contacts. The newsletter topics typically cover recent research<br />
activities at one of the partner universities, updates from recent activities such as the annual meeting or<br />
retreat, and information on student activities such as the “perfect pitch” competition. Past issues of the<br />
newsletter are available on the website and are included in the recruitment package provided to<br />
prospective members.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 32
(a) (b) (c)<br />
Figure 1.5 Various output patterns generated by different holographic gratings. In each case the two input<br />
wavelength beams are constant and the holographic pattern written to the DLP redirects the light to the desired<br />
locations. (a): Same pattern for each color but physically separated, (b) Red and blue patterns overlapped, (c)<br />
Red and blue pattern creating a composite image.<br />
The second initiative centered on improving the process for engaging new potential members, tracking<br />
the level and frequency of contact with prospective members, and automating some of the routine<br />
membership renewal activities. The ILO team implemented SalesForce.com (www.salesforce.com), a<br />
cloud-based sales automation software application. The program allows multi-user access to a database<br />
with contact information for various IAB member companies and candidate members, allows the team to<br />
track the various interactions with candidate companies (technical meetings, presentations, etc.), add<br />
notes, and attach documents. The SalesForce application has also been used to keep track of current<br />
membership renewals and activities. The initial feedback on the application has been positive and the<br />
ILO team plans to expand its SalesForce use in the upcoming year by implementing the social media<br />
extensions to the program.<br />
Summary of Major Technology Transfer Events<br />
<strong>CIAN</strong> has worked to transfer its technology on multiple levels, from working with its large industrial<br />
members through application of its technologies, to the development of smaller entities to bring forward<br />
and continue the development of <strong>CIAN</strong> technologies that need additional research and product<br />
development before they can be demonstrated at a commercial level.<br />
Bandwidth10, a <strong>CIAN</strong> spin out, has continued its commercialization of VCSEL technologies develop at<br />
UC Berkley. This recent investigation includes the application of <strong>CIAN</strong>’s TOAN testbed to quantify the<br />
performance of these elements in a real world networking environment, allowing the identification of<br />
required areas of improvement to ensure that the highest level of performance can be achieved. Two<br />
recent <strong>CIAN</strong> affiliated startups, Berkeley Lights and T-Photonics, are the early research development and<br />
market investigation stages. T-Photonics was selected for an iCorps grant to help identify the market<br />
opportunity.<br />
In <strong>Year</strong> 5, <strong>CIAN</strong> applied for 9 new patents and recorded 3 additional disclosures, while 2 of the previously<br />
applied for patents were awarded.<br />
The major <strong>Year</strong> 5 <strong>CIAN</strong> Industrial Advisory Board meeting was held February 4, 2013 in San Francisco in<br />
conjunction with the SPIE Photonics West Conference. The new <strong>CIAN</strong> member companies were<br />
introduced at the meeting which was attended by more than 45 industry and university participants. The<br />
thrust leaders gave an overview of the major programs and 13 students gave presentations on their<br />
research followed by a round table discussion where industry members presented their vision of the<br />
future of the optical communications marketplace. The program concluded with an industry-student<br />
“speed networking” session which provided the students with an opportunity to interact with the industrial<br />
partners.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 33
Road Mapping, Metrics/Standards OIDA-<strong>CIAN</strong> Workshops<br />
<strong>CIAN</strong> and the Optoelectronic Industry Development Association (OIDA) held a road-mapping workshop<br />
on the Future Needs of "Scale-Out" Data Centers on March 17, 2013 in Anaheim in conjunction with the<br />
OFC/NFOEC conference. The workshop featured three <strong>CIAN</strong> affiliated speakers and continues to be<br />
extremely successful with large industry attendance, providing <strong>CIAN</strong> and industry with quantitative metrics<br />
and timelines to guide research directions. This year’s workshop featured a student poster session<br />
during the afternoon providing additional opportunities for <strong>CIAN</strong>-industry interaction.<br />
Interdisciplinary <strong>CIAN</strong> Team Structure<br />
TEAM AND DIVERSITY<br />
Because of the interdisciplinary nature of the field of optical communications, the <strong>CIAN</strong> team inherently<br />
has a composition of researchers from various fields. The <strong>CIAN</strong> team consists of 26% of its members in<br />
the electrical, electronics, and communications engineering category; 30% of its members in the<br />
computer and information sciences category; and 44% of its members fall into the physics or applied<br />
physics category.<br />
Participation of Underrepresented Groups in <strong>CIAN</strong> Education Activities<br />
<strong>CIAN</strong> has implemented a number of initiatives which have enabled the achievement of demographics that<br />
exceed the national averages for the percentage of underrepresented minorities in the faculty and<br />
undergraduate and graduate student categories; for the percentage of females in the faculty and<br />
undergraduate and graduate student categories; and for the percentage of Hispanic/Latinos in the<br />
graduate and undergraduate student categories. It should also be noted that the number of Hispanic<br />
students across all levels increased from 10 to 15 and the number of female students increased from 38<br />
to 40. Further, <strong>CIAN</strong> is comprised of 31% female students (foreign and domestic), 22% URM students<br />
(foreign and domestic), and 13% Hispanic/Latino students (foreign and domestic).<br />
To increase the diversity of students<br />
at <strong>CIAN</strong>’s core partner institutions,<br />
<strong>CIAN</strong> has implemented the<br />
Diversity Research Fellowship<br />
Program which provides $10,000 in<br />
funding to minority and female<br />
graduate students who are new<br />
hires in <strong>CIAN</strong> research groups.<br />
During <strong>Year</strong> 5, <strong>CIAN</strong> awarded<br />
fellowships to a Hispanic M.S.<br />
student at Columbia, a Hispanic<br />
Ph.D. student at Caltech, an<br />
African-American M.S. student at<br />
the University of Arizona, and an NSU student Ronesha Rivers leading an outreach event.<br />
African-American/Hispanic graduate<br />
student at the University of California-San Diego.<br />
Recruitment for <strong>CIAN</strong>’s RET program, Research in Optics for K-14 Educators & Teachers (ROKET),<br />
focused on teachers working in minority-serving school districts. Eleven teachers participated in the RET<br />
program in 2012. Five of the RET teachers that participated in UA’s RET program were from schools<br />
serving a majority of Native American students. Two RET teachers at UCSD, one RET at NSU, and one<br />
at CalTech all taught in minority-serving high schools. It should also be noted that the RET teachers<br />
taught on all levels, from elementary through high school.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 34
For the 15 students participating in <strong>CIAN</strong>’s Integrated Optics for Undergraduate (IOU) REU Program in<br />
2012: 47% of the students were Hispanic, Native American, or African American and 47% were female.<br />
Also, 40% were from institutions with limited research opportunities (which included three community<br />
colleges) and 47% were freshmen or sophomores. Further, 57% of the REU students were participating<br />
in their first research experience outside of the<br />
classroom and 60% were first generation college<br />
students. Since its inception in summer 2009,<br />
twelve community college students have been<br />
admitted into the IOU program. It should be<br />
noted that 33% of the 108 REU applicants selfidentified<br />
as an underrepresented minority. This<br />
is important as this database of applicants is also<br />
used as a source of potential applicants for <strong>CIAN</strong><br />
graduate opportunities.<br />
Pre-College Students from Baboquivari School District<br />
Persons with disabilities are only represented on<br />
the <strong>CIAN</strong> team in the leadership category. Thus,<br />
<strong>CIAN</strong> is working to increase its recruitment efforts<br />
of students with disabilities. Methods of<br />
recruitment have involved recruitment<br />
presentations, phone calls, e-mails, and mailings<br />
to diversity contacts. During <strong>Year</strong> 5, <strong>CIAN</strong> also<br />
contacted the Disability Resource Offices at<br />
<strong>CIAN</strong> partner institutions to advertise <strong>CIAN</strong>’s programs. <strong>CIAN</strong> will work to increase these efforts as well<br />
as to make additional contacts with organizations and programs such as the Alliances to Promote the<br />
Participation of Students with Disabilities in Science, Technology, Engineering, and Mathematics.<br />
In former years, because of the lower number of Native American and Hispanic/Latino participants on the<br />
<strong>CIAN</strong> team, <strong>CIAN</strong> has worked to increase its recruitment of these populations by attending conferences<br />
targeting URMs, conducting recruitment visits/presentations, and by sending e-mails/mailings to diversity<br />
programs. During the spring semester, Dr. Frances Williams, from Norfolk State University will travel<br />
again to Southwestern Indian Polytechnic Institute (SIPI) to give a research and recruitment presentation<br />
and meet with faculty and students in the Engineering Technology Programs. SIPI, located in<br />
Albuquerque, New Mexico, is a “National Indian Community College and Land Grant Institution” and has<br />
agreed to become one of <strong>CIAN</strong>’s outreach partners. She also visited there last academic year and gave<br />
a talk to faculty and students about educational opportunities in <strong>CIAN</strong>. One student from SIPI participated<br />
in the REU program in 2012. A presentation was also given at Pima Community College, which is also<br />
one of our outreach partners and is a Hispanic-serving institution.<br />
Table 1: Quantifiable Outputs<br />
Outputs<br />
Publications Resulting From Center Support<br />
Sep-01-<br />
2008 -<br />
Jan-30-<br />
2009<br />
Feb-01-<br />
2009 -<br />
Jan-31-<br />
2010<br />
Feb-01-<br />
2010 -<br />
Jan-31-<br />
2011<br />
Feb-01-<br />
2011 -<br />
Jan-31-<br />
2012<br />
Feb-01-<br />
2012 -<br />
Jan-31-<br />
2013<br />
In Peer-Reviewed Technical Journals 46 45 75 78 68 312<br />
In Peer-Reviewed Conference Proceedings 27 22 28 13 37 127<br />
In Trade Journals 0 0 0 0 2 2<br />
With Multiple Authors: 73 64 104 91 107 439<br />
Co-authored With ERC Students 4 39 41 63 55 202<br />
Co-authored With Industry 1 10 7 13 15 46<br />
With Authors From Multiple Engineering<br />
Disciplines 4 4 23 12 27 70<br />
All<br />
<strong>Year</strong>s<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 35
With Authors From Both Engineering and Non-<br />
Engineering Fields 0 7 4 2 1 14<br />
With Authors From Multiple Institutions 4 11 36 19 24 94<br />
Publications Resulting From Associated Projects in the Strategic Plan<br />
In Peer-Reviewed Technical Journals 46 19 29 10 17 121<br />
In Peer-Reviewed Conference Proceedings 27 7 4 5 16 59<br />
Publications Resulting From Sponsored Projects<br />
In Peer Reviewed Technical Journals 0 4 0 0 0 4<br />
In Peer-Reviewed Conference Proceedings 0 0 0 0 0 0<br />
Participating Organizations<br />
Industrial Practitioner Members 7 11 12 20 19 69<br />
Innovation Partners 2 1 2 3 4 12<br />
Funders of Sponsored Projects 0 0 0 0 0 0<br />
Funders of Associated Projects 0 0 5 6 10 21<br />
Contributing Organizations 0 0 0 0 2 2<br />
ERC Technology Transfer<br />
Inventions Disclosed (by researchers or tech<br />
transfer office) 3 8 6 4 3 24<br />
Total Patent Applications Filed 1 12 11 5 5 34<br />
Provisional Patent Applications Filed [1] N/A N/A N/A N/A 4 4<br />
Full Patent Applications Filed [1] N/A N/A N/A N/A 1 1<br />
Patent Awarded 0 1 1 4 2 8<br />
Licenses Issued 3 3 0 0 0 6<br />
Spin-off Companies Started 2 0 0 1 2 5<br />
Estimated Number of Spin-off Company<br />
Employees 5 0 0 3 11 19<br />
Building Codes Impacts 0 0 0 0 0 0<br />
Technology Standards Impacts 0 0 0 0 0 0<br />
New Surgical and Other Medical Procedures<br />
Adopted 0 0 0 0 0 0<br />
Degrees to ERC Students<br />
Bachelor's Degrees Granted 0 3 4 5 8 20<br />
Master's Degrees Granted 0 3 7 5 8 23<br />
Doctoral Degrees Granted 3 9 10 17 9 48<br />
Job Sector of ERC Graduates<br />
Undergraduates Hired by:<br />
Industry: N/A N/A N/A 0 3 3<br />
ERC Member Firms N/A N/A N/A 0 1 1<br />
Other U.S. Firms N/A N/A N/A 0 2 2<br />
Other Foreign Firms N/A N/A N/A 0 0 0<br />
Government N/A N/A N/A 0 0 0<br />
Academic Institutions N/A N/A N/A 1 1 2<br />
Other N/A N/A N/A 1 1 2<br />
Undecided/Still Looking/Unknown N/A N/A N/A 3 3 6<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 36
Undergraduate ERC Graduates Total 0 0 0 5 8 13<br />
Master's Graduates Hired by:<br />
Industry: N/A N/A N/A 4 3 7<br />
ERC Member Firms N/A N/A N/A 0 1 1<br />
Other U.S. Firms N/A N/A N/A 4 2 6<br />
Other Foreign Firms N/A N/A N/A 0 0 0<br />
Government N/A N/A N/A 0 0 0<br />
Academic Institutions N/A N/A N/A 0 3 3<br />
Other N/A N/A N/A 0 1 1<br />
Undecided/Still Looking/Unknown N/A N/A N/A 1 1 2<br />
Master's ERC Graduates Total 0 0 0 5 8 13<br />
Ph.D.s Hired by:<br />
Industry: N/A N/A N/A 10 3 13<br />
ERC Member Firms N/A N/A N/A 1 1 2<br />
Other U.S. Firms N/A N/A N/A 8 2 10<br />
Other Foreign Firms N/A N/A N/A 1 0 1<br />
Government N/A N/A N/A 0 0 0<br />
Academic Institutions N/A N/A N/A 5 2 7<br />
Other N/A N/A N/A 0 1 1<br />
Undecided/Still Looking/Unknown N/A N/A N/A 2 3 5<br />
Ph.D. ERC Graduates Total 0 0 0 17 9 26<br />
ERC Influence on Curriculum<br />
New Courses Based on ERC Research That<br />
Have Been Approved by the Curriculum<br />
Committee and Are Currently Offered [2] 1 3 5 5 5 19<br />
Currently Offered, ongoing Courses With ERC<br />
Content 55 16 15 12 19 N/A<br />
New Textbooks Based on ERC Research 0 1 2 0 6 9<br />
New Textbook Chapter Based on ERC<br />
Research 0 0 3 1 2 6<br />
Free-Standing Course Modules or Instructional<br />
CDs 1 0 2 0 0 3<br />
New Full-Degree Programs Based on ERC<br />
Research 0 0 1 1 0 2<br />
New Degree Minors or Minor Emphases Based<br />
on ERC Research 0 0 0 0 0 0<br />
New Certificate Programs Based on ERC<br />
Research 0 0 0 0 0 0<br />
Total Full-Degree Programs Based on ERC<br />
Research 0 0 1 2 2 2<br />
Number of Students Enrolled 0 0 0 0 0 0<br />
Number of Students Graduated 0 0 0 0 0 0<br />
Total Certificate Programs Based on ERC<br />
Research 0 0 0 0 0 0<br />
Number of Students Enrolled 0 0 0 0 0 0<br />
Number of Students Graduated 0 0 0 0 0 0<br />
Active Information Dissemination/Educational Outreach<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 37
Workshops, Short Courses, and Webinars [3] 3 4 3 9 11 30<br />
Number of Participants That Attended<br />
Events 25 90 18 275 128 536<br />
Innovation-focused Workshops, Short courses,<br />
Webinars, and Seminars N/A N/A 0 3 6 9<br />
Number of Participants That Attended<br />
Events N/A N/A 0 300 155 455<br />
Seminars, Colloquia, Invited Talks, Etc. 1 33 56 20 19 129<br />
ERC Sponsored Educational Outreach Events<br />
for K-12 Students 3 15 18 24 63 123<br />
Number of Students That Attended Events 110 1825 2248 4155 6616 14954<br />
Number of Teachers That Attended<br />
Events 45 207 188 124 1219 1783<br />
ERC Sponsored Educational Outreach Events<br />
for Community Colleges 0 7 4 30 3 44<br />
Number of Community College Students<br />
That Attended Events 0 126 7033 1654 59 8872<br />
Number of Community College Faculty<br />
That Attended Events 0 5 30 164 4 203<br />
Personnel Exchanges<br />
Student Internships in Industry 0 4 5 7 9 25<br />
Faculty Working at Member Firm 0 0 0 0 0 0<br />
Member Firm Personnel Working at ERC 0 3 0 0 0 3<br />
[1] Data for the breakdown of "Total Patent Applications Filed" into "Provisional Applications Filed" and "Full Patent<br />
Applications Filed" were not collected prior to 2013.<br />
[2] New courses currently offered and approved by the curriculum committee are only counted in the first year that<br />
they are offered so there is no multiple counting of these courses.<br />
[3] For years prior to 2009, the values include "Workshops and short courses to industry" and "Workshops and short<br />
courses to non-industry groups".<br />
Table 1a: 2012 Average Metrics Benchmarked Against All Active ERC's and the Center's Tech Sector<br />
Metric<br />
Average<br />
All Active<br />
ERC's<br />
FY 2012<br />
Average<br />
Micro/Optoelectro<br />
nics, Sensing,<br />
and Information<br />
Technology<br />
Sector<br />
FY 2012<br />
Average<br />
Class of<br />
2008<br />
FY 2012<br />
Arizona-<br />
<strong>CIAN</strong><br />
Total<br />
Arizona-<br />
<strong>CIAN</strong><br />
Total<br />
(17 ERC's) (4 ERC's) (5 ERC's) FY 2012 FY 2013<br />
Organizations Within Non-<br />
Industry Sectors 15 12 19 6 12<br />
Organizations Within Industry<br />
Sectors 23 24 29 23 23<br />
Small 41% 55% 32% 22% 26%<br />
Medium 10% 9% 9% 13% 13%<br />
Large 49% 36% 58% 65% 61%<br />
Industrial/Practitioner Member<br />
Firms 20 24 25 20 19<br />
Innovation Partners 5 1 10 3 4<br />
Funders of Sponsored Projects 1 0 2 0 0<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 38
Funders of Associated Projects 10 11 12 6 10<br />
Contributing Organizations 2 1 3 0 2<br />
Total Number of Organizations 38 36 50 29 35<br />
Total Membership Fees Received $262,768 $223,979 $389,496 $305,000 $305,000<br />
Direct Sources of Support [1] $5,213,822 $4,164,863 $6,526,209 $5,245,871 $4,896,956<br />
NSF 70% 75% 63% 83% 82%<br />
Other Federal 0% 1% 1% 0% 0%<br />
State Government 2% 2% 3% 0% 0%<br />
Local Government 0% 0% 0% 0% 0%<br />
Foreign Government 0% 0% 0% 0% 0%<br />
Quasi-Government Research 0% 0% 0% 0% 0%<br />
Industry (U.S. and Foreign) 8% 9% 10% 9% 9%<br />
University (U.S. and Foreign) 18% 12% 22% 8% 8%<br />
Other 1% 0% 1% 0% 0%<br />
Associated Project Support $4,197,141 $8,378,163 $3,184,597 $1,746,641 $1,557,283<br />
ERC Personnel and Educational<br />
Participants 4,772 5,237 5,189 6,335 8,130<br />
Leadership Team [2] 15 11 18 14 14<br />
Faculty [3] 41 32 47 33 36<br />
Graduate Students 75 66 102 88 77<br />
Undergraduate Students 40 27 50 47 43<br />
REU Students 15 23 17 11 15<br />
K-12 Teachers 11 5 17 8 11<br />
K-12 Students (Young Scholars) 19 14 20 37 36<br />
Faculty/Teachers That Attended<br />
ERC Sponsored Educational<br />
Outreach Events for K-12 Students<br />
[4] 212 530 138 124 1,219<br />
Students That Attended ERC<br />
Sponsored Educational Outreach<br />
Events for K-12 Students [4] 2,749 3,455 2,125 4,155 6,616<br />
Faculty That Attended ERC<br />
Sponsored Educational Outreach<br />
Events for Community Colleges [4] 74 73 58 164 4<br />
Students That Attended ERC<br />
Sponsored Educational Outreach<br />
Events for Community Colleges [4] 1,521 1,001 2,596 1,654 59<br />
% Women [5] 30% 29% 28% 31% 35%<br />
% Underrepresented Racial<br />
Minorities [6] 14% 18% 16% 27% 26%<br />
% Hispanic [6] 10% 12% 7% 9% 12%<br />
Publications Average Average Average Total Total<br />
In Peer-Reviewed Technical 28 47 38 78 68<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 39
Journals<br />
In Peer-Reviewed Conference<br />
Proceedings 18 21 17 13 37<br />
Multiple Authors: Co-Authored With<br />
ERC Students 32 42 42 63 55<br />
Multiple Authors: Co-Authored With<br />
Industry 3 7 4 13 15<br />
Intellectual Property Average Average Average Total Total<br />
Invention Disclosures 6 3 8 4 3<br />
Patent Applications (Provisional and<br />
Full) 3 3 4 5 5<br />
Patents Awarded 1 2 2 4 2<br />
Licenses (patents, software) 0 0 0 0 0<br />
Education and Outreach Outputs Average Average Average Total Total<br />
New Courses Developed 3 3 4 5 5<br />
Currently Offered, Ongoing Courses<br />
With ERC Content 16 24 14 12 19<br />
New Full Degree Programs 0 1 0 1 0<br />
New Degree Minors or Minor<br />
Emphases 0 0 0 0 0<br />
New Certificate Programs Based on<br />
ERC Research 0 0 1 0 0<br />
[1] - Includes new support (unrestricted cash, restricted cash, and in-kind donations) from Table 9 only. Residual<br />
funds carried over from previous years are not included in benchmarking figures.<br />
[2] - Includes Directors, Thrust Leaders, Education Program Leaders, Research Thrust Management & Strategic<br />
Planning, Administrative Director, and Industrial Liasion Officer.<br />
[3] - Includes Directors, Education Program Leaders, Thrust Leaders, Senior Faculty, Junior Faculty, and Visiting<br />
Faculty.<br />
[4] - Includes participant values from Table 1 Quantifiable Outputs.<br />
[5] - Calculated out of total number of personnel.<br />
[6] - Calculated out of total number of U.S. Citizens or Permanent Residents.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 40
HIGHLIGHTS OF SIGNIFICANT ACHIEVEMENTS AND IMPACTS<br />
Research Highlights<br />
Thrust 1 Highlight: Optical/Electrical Hybrid Switched Datacenter<br />
Outcome and Accomplishments: During year 5 we built a data center network with hybrid optical/electrical<br />
switch architecture. This network which is called MORDIA (Microsecond Optical Research Datacenter<br />
Interconnect Architecture) is the first of its kind to use optics in routing inside a data center. This hybrid<br />
network uses an optical circuit switched (OCS) architecture based on a wavelength-selective switch<br />
(WSS) that has a measured mean host-to-host network reconfiguration time of 11.5 s, three orders of<br />
magnitude faster than the system we reported in year 3 that used 25 ms Glimmer Glass switch. This<br />
network is one of the two <strong>CIAN</strong> system-level testbeds for the insertion of <strong>CIAN</strong> and industry devices.<br />
Impact and Benefits: Today data centers are electronic systems that are difficult to scale. <strong>CIAN</strong> is doing<br />
research to introduce optics in data centers in order to address the existing bottlenecks including scaling,<br />
energy consumption and cost.<br />
Explanation and Background: The MORDIA hybrid network is shown in the figure below. Each port of<br />
each host is connected to both a standard 10G Ethernet electrical packet switch (EPS) and a research<br />
OCS. The two networks are run in parallel producing a hybrid network. At each station, each of the four<br />
hosts adds a wavelength to the ring (see b). Each station has a WSS with a custom interface (see c) to<br />
enable high-speed switching using a trigger signal. The WSS selects four of 24 wavelengths and routes<br />
one each to the four hosts at that station. Each of the six nodes in the ring can support four ports for a<br />
total of 24 ports. Each port of the connected device transmits on a fixed wavelength.<br />
System level research on the MORDIA network over the past year has included measurements of the<br />
performance of TCP and UDP networks, the system-level switching speed, and the performance of virtual<br />
machines using a hybrid network. Current work is focused on developing a control plane that can react on<br />
the 10 microsecond time scale of the network.<br />
References<br />
Rasmussen, Alexander, Porter, George, Conley, Michael, Madhyastha, Harsha, Mysore, Radhika,N.,<br />
Pucher, Alexander, Vahdat, Amin, "TritonSort: A Balanced and Energy-efficient Large-Scale Sorting<br />
System", ACM Transactions on Computer Systems, Vol. 10, 1, (2013).<br />
The Physical architecture of the OCS, a unidirectional ring of N wavelengths in a single fiber. Wavelengths are<br />
added or dropped from the OCS at six stations.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 41
Thrust 2 Highlight: An optical diode on a Silicon Chip: Electrically Driven Nonreciprocity Induced<br />
by Interband Photonic Transition<br />
Outcome and Accomplishments: <strong>CIAN</strong> has been investigating various<br />
optical functionalities on Si chips. We reported about an optical isolator<br />
in a Science article in year 4 that resulted from a collaborative effort<br />
between two <strong>CIAN</strong> university partners. In a Physical Review letter<br />
publication in <strong>Year</strong> 5, we demonstrated an optical isolator (optical<br />
diode) on a silicon chip. The diode allows light to go in one direction<br />
but does not allow it to get back.<br />
Impact and Benefits: <strong>CIAN</strong> research is focused on creating<br />
optoelectronic Si chips that have both optoelectronic components,<br />
such as detectors, as well as optical components such as lasers and<br />
modulators. Such Silicon integration platforms allow use of existing<br />
electronic manufacturing equipment to reduce the cost and enhance<br />
the performance of transducers. Optical diode is one of those<br />
functionalities that need to be integrated on Si.<br />
Transition from the Even to the Odd mode is<br />
possible by modulating ½ of the waveguide. For<br />
the same modulation, Odd to Even mode<br />
transition is NOT possible (mismatch).<br />
Even<br />
Mode<br />
Odd<br />
Mode<br />
Slotted waveguide design that<br />
supports two optical modes,<br />
even and odd.<br />
Explanation and Background: The isolator operation concept relies on photonic transition between two<br />
modes of a waveguide that have different wavevectors,<br />
Even and Odd modes. The waveguide is designed using<br />
an MMI to couple from single mode of waveguide to<br />
Even mode of slotted waveguide. Another MMI is used<br />
at output to combine the slotted mode back into the<br />
single mode of standard waveguide. For forward<br />
propagation, only Even mode allowed, and at the end of<br />
slotted waveguide, the MMI combines the Even mode<br />
into the single mode of the waveguide, and light goes<br />
back into the input waveguide, thus providing optical isolation. The<br />
actual design requires that ½ of the slotted waveguide be modulated<br />
with electrical signal to create nonreciprocal behavior.<br />
A modulation (of the index of refraction) is required to provide phase<br />
matched coupling between two modes at (ω, k) and (ω+Δω, k+Δk).<br />
A series of alternating diodes is used, and the voltages are varied<br />
sinusoidally (transmission line). This creates the change in index of<br />
refraction required for mode conversion. Experimental<br />
measurements confirm isolation behavior: isolation increases as<br />
electrical signal input power increases.<br />
Reference<br />
1. Lira, H., Yu, Z., Fan, S. and Lipson, M., Physical Review Letters<br />
109, 3, 033901 (2012).<br />
2. A. Scherer, S. Fainman et al., Science 333, 729 (2011).<br />
on. For backward propagation, Even mode is converted<br />
into Odd mode, the<br />
MMI combines the<br />
Odd mode and<br />
destructive<br />
interference results<br />
in NO light going<br />
Experimental measurement:<br />
isolation increases as electrical<br />
input signal power increases.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 42
Thrust 3 Highlight:<br />
1. Hybrid optical light sources<br />
Outcome and Accomplishments: In two Physical Review Letters publications, we reported on the<br />
fabrication of silver dipole antennas on top of a near-surface InGaAs quantum well designed to have peak<br />
gain at 1.5μm. High quality quantum wells were grown by molecular beam epitaxy 3-5nm from the<br />
surface. In order to achieve emission at 1.5μm, relevant to telecommunications, the emitters are made of<br />
InGaAs/AlInAs, lattice matched to indium phosphide substrates.<br />
Impact and Benefits: Being able to obtain fast<br />
response times from III-V semiconductors at<br />
1.5μm is a vital ingredient for improved<br />
performance of ultra-fast nonlinear switches and<br />
light emitting diode modulators, essential to the<br />
<strong>CIAN</strong> strategic plan. The ability to speed up<br />
spontaneous emission of the quantum wells by<br />
coupling to a metallic antenna is important for<br />
future high-speed semiconductor devices.<br />
Explanation and Background: Samples were<br />
characterized by photoluminescence spectroscopy<br />
and atomic force microscopy before fabrication of<br />
the metallic cavities. Arrays of metallic antennas<br />
were produced using an advanced nanofabrication<br />
process. This process involves the patterning of<br />
PMMA resist using electron-beam lithography,<br />
(left) Schematic of a near-surface quantum well<br />
(13.8nm InGaAs layer) beneath a silver antenna.<br />
(Right) SEM image of a dipole antenna array<br />
fabricated on top of a quantum well.<br />
silver evaporation, and finally a chemical procedure to lift-off remaining PMMA and unwanted silver,<br />
resulting in an array of metallic antennas on top of our quantum well.<br />
Nonlinear time-resolved pump-probe experiments were done to understand the coupling of this hybrid<br />
system. Unraveling the behavior of a quantum well under high excitation and comparing with the<br />
complicated theory, including coulomb effects are useful for understanding the hybrid system behavior.<br />
References<br />
1. J. L. Tomaino, A. D. Jameson, Yun-Shik Lee, G. Khitrova, H. M. Gibbs, A. C. Klettke, M. Kira, and S.<br />
W. Koch, Phys. Rev. Lett. 108, 267402 (2012).<br />
2. W. D. Rice, J. Kono, S. Zybell, S. Winnerl, J. Bhattacharyya, H. Schneider, M. Helm, B. Ewers, A.<br />
Chernikov, M. Koch, S. Chatterjee, G. Khitrova, H. M. Gibbs, L. Schneebeli, B. Breddermann, M. Kira,<br />
and S. W. Koch, Phys. Rev. Lett. (Accepted February, 2013).<br />
2. Thresholdless nanoscale coaxial lasers<br />
Outcome and Accomplishments: We reported on fabrication and testing of a nanolaser that operates<br />
without threshold. This work was published in the prestigious Journal of Nature in 2012. It can be used<br />
for energy efficient and optimal communication on a chip.<br />
Impact and Benefits: Short distance communication on a chip requires light sources with very little power<br />
consumption. This research allowed realization of a nanolaser, first of its kind, with extremely small<br />
threshold. This research is alighted with the strategic research plan of <strong>CIAN</strong> to reduce energy<br />
consumption in the future Internet.<br />
Explanation and Background: The idea was to create a nanolaser resonator that scales to very small<br />
volumes of the mode of the resonator and allows complete overlap with the light emitters in the gain<br />
medium. This is achieved using a resonator made of a coaxial structure. It is well known from microwave<br />
transmission theory, that a coax with a total diameter much less than the transmission wavelength can<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 43
carry a long wavelength RF signal. We exploited this idea and created a coax resonator that was deeply<br />
subwavelength in structure between the metallic core and shield. The size of the coax nanolaser was<br />
optimized to support only one mode (TEM-like) within the gain window of the semiconductor gain<br />
(InGaAsP). The TEM-like mode continues to exist with further reduction of the laser in size. The testing<br />
clearly shows thresholdless operation on both light-light curve (supported by the blue line from modeling<br />
rate equations) as well as spectrum evolution. On the latter, we observe a narrow line emission from the<br />
moment the pump level is enough to overcome noise level in our photodetection system of the<br />
spectrometer.<br />
TEM-like scalable mode of coaxial resonator alleviates the threshold constrain<br />
References<br />
M. Khajavikhan, A. Simic, M. Kats, J. H. Lee, B. Slutsky, A. Mizrahi, V. Lomakin, and Y. Fainman,<br />
“Thresholdless Nanoscale Coaxial Lasers” Nature, 10840, 2012<br />
Innovation EcoSystem Highlights<br />
The <strong>CIAN</strong> Innovation program achieved a number of significant milestones since the last reporting period.<br />
Spin-off/Start-up Companies: <strong>CIAN</strong> related technology has been used to found three startup companies.<br />
Bandwidth10 was formed by a former <strong>CIAN</strong> graduate student, Chris Chase, <strong>CIAN</strong> UC Berkeley professor,<br />
Connie Chang-Hasnain, Phil Worland, and Yi (Frank) Rao to commercialize tunable VCSEL technology<br />
developed at Berkeley. Two other startup companies have recently formed: Berkley Lights and T-<br />
Photonics. Berkeley Lights Inc. is an early stage start-up dedicated to research and development of<br />
products using revolutionary micro-droplet and cell manipulation technologies to enable advancements<br />
within pharmaceutical and<br />
biotechnology industries. Berkeley<br />
Lights is co-founded by Professor<br />
Input Fiber Array<br />
Ming Wu from UC Berkley. T-<br />
Photonics is a company founded by<br />
Holographic Switch<br />
University of Arizona Professor<br />
Mahmoud Fallahi and graduate<br />
student Chris Hessenius. The<br />
company is developing high-power<br />
tunable mid- to far-IR lasers using<br />
novel two-color VECSEL for military<br />
and medical applications.<br />
Output Fiber Array<br />
… N ...<br />
… N ...<br />
Technology Transfer and<br />
Commercialization: This year <strong>CIAN</strong><br />
implemented its initial Blue-Sky<br />
research program, based upon the<br />
recommendation by IAB by bringing<br />
Holographic Optical Switch Schematic and two wavelength image<br />
after switching<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 44
together three IAB members: Cisco, Texas Instruments and Nistica. The ultimate commercial product<br />
would be a large port count (e.g. 1000 x 1000) switch operating at telecom wavelengths. The initial<br />
research program began by identifying possible solutions that could meet the market requirements and<br />
testing the feasibility of those solutions. Figure below shows a simplified schematic of the proposed<br />
system. The holographic grating is composed of a binary pattern “written” to the Texas Instruments DLP<br />
display. A unique holographic pattern directs a given set of input ports to the desired set of output ports.<br />
The technical program focused on demonstrating the feasibility of the concept with visible light using a<br />
single input beam. After a successful demonstration, an additional input wavelength was added to show<br />
the capability for switching multiple channels, as shown in the figure. In December, 2012, the team<br />
successfully applied for additional outside funding from Tech Launch Arizona’s Proof of Concept<br />
Program. The project was selected to receive $40,000 to develop a proof-of-concept prototype operating<br />
at telecommunication wavelengths. The proof of concept demonstration program is scheduled to run<br />
through May 14, 2013 and will demonstrate fiber coupling and operation at 1550 nm telecom.<br />
Education/Outreach/Diversity Highlights<br />
1. Partnership with Native American Science and Engineering Program (NASEP) yields two <strong>CIAN</strong><br />
Young Scholars in <strong>CIAN</strong> labs<br />
The UA Office of Early Academic Outreach’s (EAO)<br />
Native American Science and Engineering Program<br />
(NASEP) is designed to provide Native American high<br />
school students in Arizona with the necessary<br />
resources to enroll in college and pursue a career in a<br />
Science Technology Engineering & Mathematics<br />
(STEM). <strong>CIAN</strong> is currently hosting two NASEP Young<br />
Scholars throughout the 2012-2013 academic year as<br />
researchers in <strong>CIAN</strong> labs. This is a new <strong>CIAN</strong> activity<br />
to have academic year Young Scholars. The students<br />
started in September and received basic training in<br />
principals and safety, such as Laser Radiation and<br />
Safety Training. The student that was placed under<br />
the mentorship of Dr. Jun He in the TOAN Testbed,<br />
spent the first semester obtaining background<br />
Sun Bear Milda, One of UA’s Young Scholars<br />
working with <strong>CIAN</strong> faculty, Khan Kieu<br />
information in optical networking and learning how to operate the laboratory equipment. The student<br />
spent several months reading network equipment manuals and then working with the physical network<br />
elements. The student is now familiar with some of the terminology in optical networks and is able to<br />
operate the devices by following instructions from both Dr. He and a graduate mentor. The second high<br />
school senior is being mentored by Dr. Khanh Kieu. The student worked with a graduate student to<br />
observe diatoms on single-walled nano-tubes using an electron microscope. The student also gained<br />
experience in designing a water-tight housing to contain the diatoms and will now be collecting data<br />
regarding the diatoms, as well as testing the housing designs. Both Young Scholars have applied to<br />
colleges, and both say they plan to major in a science-related field.<br />
2. Innovation and technology commercialization<br />
To expose students to the basic concepts of innovation, technology commercialization, entrepreneurship<br />
and evaluation of ideas for market feasibility, <strong>CIAN</strong> Organized the workshop “Framing and Harvesting<br />
Innovation” during its annual retreat This workshop kicked off the process of evaluating <strong>CIAN</strong><br />
technologies for commercialization. Two teams of researchers were formed to investigate and explore in<br />
detail some of the promising <strong>CIAN</strong> technologies. One of the teams was formed from Columbia University<br />
consisting of four <strong>CIAN</strong> students who recruited two MBA students with industry experience to work<br />
together. This <strong>CIAN</strong> team was selected for the Columbia program and is now engaged in an intense<br />
competition with other teams there. The second team was formed at the University of Arizona consisting<br />
of a <strong>CIAN</strong> PI, M. Fallahi, his PhD student Chris Hessenius with Srinivas Sukumar from UC San Diego as<br />
the mentor. The UA team received NSF I-Corps funding to commercialize their two-color semiconductor<br />
lasers, VECSELs. This team went through the I-Corp program of the NSF to learn to develop a clear idea<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 45
of who the customer is for their technology and what is their customer value proposition. This team is in<br />
the process of developing a complete business plan for commercialization of their technology. In total,<br />
the team involved in about 100 customers interactions. The key distinction between this methodology and<br />
a standard business planning process is the focus on finding the match between the customer value<br />
proposition and the minimal viable product that can deliver that value.<br />
Collaborations across disciplines such as this not only allows <strong>CIAN</strong> students to apply skills essential to<br />
industrial practice, such as communication, dynamism, agility, resilience, and professionalism, but it also<br />
provides a unique opportunity for <strong>CIAN</strong> engineering students to learn the business side of innovation,<br />
creativity, and entrepreneurism. Acquiring and fostering these skill sets will give <strong>CIAN</strong> students a distinct<br />
advantage as engineers in industry.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 46
STRATEGIC RESEARCH PLAN AND OVERALL RESEARCH<br />
PROGRAM<br />
<strong>CIAN</strong> ERC’S STRATEGIC RESEARCH PLAN<br />
<strong>CIAN</strong>’s mission is to use manufacturable optoelectronic technology, particularly network devices that<br />
employ silicon-based photonic integrated circuits, to create transformative communication networks that<br />
address emerging bottlenecks for data aggregation in regional networks and data centers.<br />
Figure 2.1. The networking vision that guides <strong>CIAN</strong>’s strategic research plan.<br />
<strong>CIAN</strong>’s Network Vision and High-Level Goals: Figure 2.1 illustrates <strong>CIAN</strong>’s vision for dynamic, highcapacity,<br />
and energy efficient networks. The figure shows the scope of work for the Center’s two working<br />
groups and the overlap for the working groups where regional networks are connected to server networks<br />
at data center front ends. <strong>CIAN</strong>’s Strategic Research Plan is guided by this infrastructure vision and the<br />
following quantitative high-level goals:<br />
100 Gigabit per sec on-demand end-to-end service delivery<br />
Real-time multi-user applications delivery with time-of-flight latencies<br />
100 x Less power consumption for regional and data center networks<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 47
Matrix Organization: In order<br />
to unify technology<br />
development across the<br />
Center, <strong>CIAN</strong>’s research effort<br />
has been organized into a<br />
matrix structure, as pictured in<br />
Figure 2.2, in order to unify<br />
technology development<br />
across the Center. The<br />
Center’s two primary testbeds<br />
at the University of Arizona and<br />
the University of California at<br />
San Diego are supported by<br />
several satellite facilities.<br />
Figure 2.2. <strong>CIAN</strong>’s matrix research structure connects projects<br />
and investigators among the technology-based thrusts.<br />
<strong>CIAN</strong>’s Working Groups<br />
(WGs): The two WGs are<br />
application-based and serve to<br />
connect and promote<br />
collaboration among the<br />
research projects and<br />
investigators. The WGs are<br />
related by a common emphasis<br />
on data routing that leverages<br />
both the electrical/optical<br />
planes using intelligent hybrid<br />
switching and the incorporation<br />
of chip-scale photonic<br />
integrated circuits.<br />
The application for Working Group 1 is data center networking. As pictured in Figure 2.3, the Data Center<br />
Working Group is investigating the use of a hybrid combination of an optical circuit switched (OCS)<br />
network and an electronic packet switched (EPS) network to optimize data flow between servers,<br />
resulting in a more on-demand network architecture in which bandwidth can be dynamically reallocated to<br />
where it is needed in the data center. Research efforts for Working Group 1 focus on the implementation<br />
and characterization of the Microsecond Optical Research Datacenter Interconnect Architecture<br />
(MORDIA), the fasterswitching<br />
successor<br />
to the Helios<br />
architecture we<br />
demonstrated in <strong>Year</strong><br />
3.<br />
The MORDIA ring<br />
was assembled with<br />
commerciallyavailable<br />
components<br />
over the past two<br />
years. Current efforts<br />
for Working Group 1<br />
include design and<br />
assembly of a control<br />
plane for MORDIA,<br />
evaluation of the<br />
trade-off between<br />
packet and circuit<br />
Figure 2.3. Working Group 1 studies the trade-offs between circuit and packet<br />
switching in data centers.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 48
switching, analysis of energy efficiency, and use of photonic integrated circuits to replace larger,<br />
expensive commercial components. Integrating hybrid networks based on optical circuit switching into<br />
data centers supports <strong>CIAN</strong>’s vision of low-cost, high data rate networks, since a significant cost inherent<br />
in these fabrics are discrete optical transceivers, which can be reduced in number by adopting optical<br />
circuit switching.<br />
The application for Working Group 2 is access aggregation in regional communication networks. The<br />
research focus for Working Group 2 is the development of a network of switching nodes, called <strong>CIAN</strong><br />
Boxes, that use hybrid OCS and EPS to efficiently deliver high peak bandwidth end to end for<br />
heterogeneous services on-demand. Unlike current networks that implement circuit (layer 2) and packet<br />
(layer 3) electronic switching over an over-provisioned quasi-static optical network (layer 1), the <strong>CIAN</strong><br />
boxes will implement<br />
intelligent switching<br />
architectures in the<br />
optical systems (Figure<br />
2.4). The combination<br />
of intelligent switching<br />
in the optical layer and<br />
the use of photonic<br />
integrated circuit<br />
devices will drive<br />
higher levels of energy<br />
efficiency and enable<br />
high bandwidth to be<br />
delivered on demand.<br />
The additional<br />
complexity of<br />
transmission over a<br />
distributed<br />
infrastructure is<br />
addressed through a<br />
combination of system<br />
design and algorithm<br />
development and new<br />
Figure 2.4. Working Group 2 drives the vision of intelligent aggregation<br />
networking through the insertion of cross-layer enabled <strong>CIAN</strong> box network<br />
elements.<br />
device capabilities.<br />
Optical transmission and switching systems will use service awareness and impairment monitoring to<br />
optimize transmission performance to the service requirements. Photonic integrated optical performance<br />
monitoring devices are developed to provide cost effective and thereby ubiquitous signal quality<br />
information. Optical switching decisions contingent on switching speed, regeneration needs, signal<br />
conditioning, and energy use are facilitated by real time optical performance information. Current efforts<br />
for Working Group 2 include the evolution of a series of <strong>CIAN</strong> boxes that optically switch increasingly finer<br />
data granularity incorporating photonic integrated devices with higher performance and intelligent control.<br />
The development of advanced modulation formats that use polarization states, spatial modes, and optical<br />
codes will augment these capabilities.<br />
<strong>CIAN</strong>’s Research Thrusts and Research Projects: <strong>CIAN</strong>’s thirteen research projects are divided<br />
among three technology-based thrusts. Figure 2.5 shows how projects are allocated, key project<br />
personnel, and how technology flows from Thrusts 2 and 3 through Trust 1 to <strong>CIAN</strong>’s testbeds. The<br />
majority of <strong>CIAN</strong> projects are in Thrust 1, reflecting the emphasis on system-oriented research. The<br />
projects in Thrust 1 provide much of the direction and context for <strong>CIAN</strong>’s research. Four of the projects in<br />
Thrust 1 are associated with both Working Groups.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 49
Figure 2.5. <strong>CIAN</strong>’s technology flows from Thrust 2 and 3 through Thrust 1 to the <strong>CIAN</strong> testbeds.<br />
Thrust 2 contains research on silicon photonic subsystems and manufacturing that has the potential to<br />
greatly reduce the cost and energy consumption of the systems designed within Thrust 1. The research<br />
projects on materials and devices in Thrust 3 are focused on fundamental device and material properties<br />
necessitating longer time horizons and higher risk profiles than the other two Thrusts. The network<br />
technology that is being developed in Trusts 2 and 3 is less strictly tied to specific applications, and all<br />
projects in Thrust 2 and Thrust 3 can provide technology for either or both of the Working Groups.<br />
A summary of the research topics for the three Thrusts is listed here:<br />
Thrust 1 - Optical Communication Systems and Network Architectures<br />
<br />
<br />
<br />
<br />
Hybrid switching networks with i) electronic packet switching for high-utilization of data links, ii)<br />
optical circuit switching for guaranteed availability of service and ultra-high data capacity, and iii)<br />
application and impairment-awareness to optimize network resources and minimize power<br />
consumption.<br />
Advanced modulation, coding, and aggregation schemes for increased link capacity, reduced<br />
error rates, and greater energy efficiency.<br />
Dynamic shut-down of underutilized network components such as servers and optical<br />
regenerators in order to reduce power consumption.<br />
Control plane software and hardware based on the emerging OpenFlow protocol.<br />
Thrust 2 – Subsystem Integration and Silicon Nanophotonics<br />
<br />
Silicon and InP-based photonic integrated circuits for low-cost network technology.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 50
Software for simulation of photonic integrated circuits and hardware for characterization of<br />
unpackaged chips in <strong>CIAN</strong> testbeds<br />
Photonic design toolkits to promote manufacturable chip processes and to facilitate access to<br />
foundries.<br />
Thrust 3 - Device Physics and Fundamentals<br />
<br />
<br />
<br />
Tunable VCSELs and electro-optic polymers for faster, scalable, and more energy-efficient<br />
switching.<br />
Parametric wavelength conversion for wavelength re-use in interconnected, multi-wavelength<br />
networks; and for multicasting.<br />
Fundamental studies of low-threshold nanolasers and high-finesse nanobeam cavities for future<br />
network components.<br />
The Three-Plane Chart: <strong>CIAN</strong>’s three thrusts coincide with the three planes of the ERC three-plane<br />
strategic planning chart that is pictured in Figure 2.6 along with examples of <strong>CIAN</strong> technology that are<br />
representative of the three planes. The three-plane chart indicates key technological barriers that are<br />
addressed by each Thrust, and also illustrates that technical requirements acquired from industry<br />
partners lead to products and outcomes transferred to industry.<br />
Figure 2.6. <strong>CIAN</strong>’s thrusts coincide with the planes in the three-plane strategic planning chart.<br />
Manufacturable Silicon Photonics: <strong>CIAN</strong> has made significant progress during the past year towards its<br />
goal of developing a common process that enables investigators from <strong>CIAN</strong> and other institutions to<br />
collaborate on complex, silicon-based photonic integrated circuits. <strong>CIAN</strong> has teamed with Sandia National<br />
Laboratories to develop device libraries, design software, and new types of photonic devices to be used<br />
for <strong>CIAN</strong>’s networking technology. Silicon photonic devices will be fabricated in Sandia’s photonic<br />
fabrication facility in Albuquerque, and <strong>CIAN</strong> will share chip space with devices for Sandia’s high<br />
performance computing program. Figure 2.7 shows the preliminary layout for a “<strong>CIAN</strong>-chip” that was<br />
produced collaboratively by faculty and students in seven <strong>CIAN</strong> research groups. Device fabrication is<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 51
scheduled for the middle of<br />
the 2013 calendar year.<br />
Devices on the <strong>CIAN</strong>-chip<br />
will be inserted in the<br />
<strong>CIAN</strong>’s testbeds, replacing<br />
expensive and much larger<br />
discrete components.<br />
Figure 2.8 shows how<br />
silicon photonic devices will<br />
be used in a switching<br />
station in the MORDIA ring.<br />
Figure 2.9 illustrates the<br />
Figure 2.7. A <strong>CIAN</strong>-chip design from a team of seven <strong>CIAN</strong> research groups.<br />
planned insertion of a monolithically integrated OSNR monitor, consisting of a tunable filter and quarter bit<br />
delay line interferometer in a <strong>CIAN</strong> Box. Importantly, the vast majority of integrated device technologies<br />
developed in Thrusts 2 and 3 will have critical ‘dual-use’ insertions into both WG1 and WG2.<br />
Figure 2.8. Devices on the <strong>CIAN</strong>-chip will replace expensive and larger components in MORDIA.<br />
Figure 2.9. Planned insertion of a monolithically integrated optical performance monitor in a <strong>CIAN</strong> box.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 52
Integration of switching<br />
and compute systems<br />
Optics to the chip<br />
architectures<br />
PIC integration with 3D<br />
CMOS structures<br />
Nano-structure devices<br />
<strong>CIAN</strong> II<br />
2018+<br />
0<br />
Figure 2.10A. Timeline for <strong>CIAN</strong> research for the current and next five reporting years.<br />
The timelines for <strong>CIAN</strong>’s strategic research plan with a collection of key milestones and testbed insertions<br />
are illustrated in Figure 2.10 A and B. Several devices and subsystems from Thrusts 2 and 3 are planned<br />
for insertion in the Data Center Testbed and the Testbed for Optical Aggregation Networks. More detailed<br />
descriptions of recent results and plans for <strong>CIAN</strong>’s working groups and Thrusts in included in following<br />
sections.<br />
Impairment Aware<br />
Networking & Control<br />
Dynamic Service-Aware Hybrid<br />
Switching Demonstration<br />
PIC & Appl Driven<br />
EMACS Architecture<br />
<strong>CIAN</strong> III/IV Field<br />
Prototype<br />
NG PIC<br />
Switching<br />
<strong>Year</strong> 5<br />
2012-2013<br />
<strong>Year</strong> 6<br />
2013-14<br />
<strong>Year</strong> 7<br />
2014-15<br />
<strong>Year</strong> 8<br />
2015-2016<br />
<strong>Year</strong> 9<br />
2016-17<br />
<strong>Year</strong> 10<br />
2017-18<br />
<strong>Year</strong> 11+<br />
2018-<br />
Figure 2.10B. Time line and goals for Time line and goals for WG2.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 53
WORKING GROUP 1 – SCALABLE AND ENERGY EFFICIENT DATA CENTERS<br />
Amin Vahdat, George Papen, George Porter, Shaya Fainman, Thomas DeFante, Tajana Rosin (UCSD),<br />
Alan Willner (USC), Ivan Gjordjevic, Milorad Cvijectic, Jun He (Arizona), Axel Scherer (Caltech), Ming Wu<br />
(Berkeley).<br />
WG 1 Vision:<br />
WG1 works to make possible achieving the <strong>CIAN</strong> vision of enabling end user access to emerging real<br />
time, on demand, network services at data rates up to 100 Gbps anytime and anywhere at low cost and<br />
with high energy efficiency. It does this by leveraging fast switching of flows in the optical domain at high<br />
data rates, without resorting to EOE conversion. By omitting multiple layers of transceivers, <strong>CIAN</strong><br />
enables network architectures that operate at lower power, cost, and complexity than existing<br />
approaches. Optical switching enables “movable” bandwidth within the data center to meet application<br />
demands by responding to the needs of application as their access patterns change on short time scales<br />
in response to changing user demands. The vast majority of end hosts have already largely adopted 10<br />
Gbps Ethernet, with 40 Gbps becoming increasingly common, and 100 Gbps is already on the horizon.<br />
Given the limitations of individual channels (which are largely limited to 10-25 Gbps each), future<br />
bandwidth scaling will increasingly rely on parallelism, with multiple parallel channels forming individual<br />
logical links. For example, 100 Gbps Ethernet will largely be 10x 10 Gbps, with 400 Gbps Ethernet taking<br />
the form of 16x 25 Gbps. Thus, supporting 100-400 Gbps per host will drive <strong>CIAN</strong> developed technology<br />
deeper into the network stack, both at the end hosts, as well as in the network fabric itself.<br />
While supporting high data rates within a given data center is important, equally relevant is bridging<br />
connectivity within the data center to the outside world. In this way, enabling efficient aggregation into/out<br />
of the data center is key to delivering relevant content to the end user. In this way both <strong>CIAN</strong> working<br />
groups—WG1 and WG2—work together to deliver efficient aggregation between data centers and the<br />
outside world. Of course, modern realities depend on low-cost operation, both in terms of capital and<br />
operational costs, as well as low ecological and resource costs in delivering global-scale computing to<br />
billions of end users. <strong>CIAN</strong> works to develop novel photonic technologies in part to deliver high<br />
bandwidth and low-latency connectivity at low-cost, low-energy usage, and low complexity, focusing<br />
specifically on solutions that admit easy to manage control planes.<br />
The vision of <strong>CIAN</strong> requires the development of networks that use the best attributes of both optics and<br />
electronics to achieve its vision. Working Group 1 applies this vision to networking issues that arise in<br />
datacenters. The research in this focused area is not only directly useful with respect to the design of<br />
future datacenters, but also acts as a proxy for other research challenges in building future access<br />
networks.<br />
<strong>CIAN</strong> Working Group 1 envisions future data center networks with the necessary properties to scalably<br />
support the delivery of applications to millions of end users in a reliable, geographically distributed<br />
manner. Inherent in meeting this challenge is supporting real-time operation, namely fast switching at<br />
high enough rates to meet the strict bandwidth and latency requirements of data center applications.<br />
New circuit switched data center network architectures must support the ability to dynamically move<br />
bandwidth to meet application demands. This is made increasingly challenging as end hosts inevitably<br />
move from 10 to 40 to 100 Gbps or beyond. Within a data center, cost is a key driver of what can be<br />
adopted, and so eliminating the bulk of network costs, specifically discrete optical transceivers, is a key<br />
challenge addressed by WG1 (as described below). Through <strong>CIAN</strong>, WG1 seeks to integrate novel<br />
devices, including electrical/optical aggregators and source and receivers to address this challenge.<br />
Lastly, the computation and storage in the data center must be efficiently bridged with the wider world.<br />
Delivering data in a timely manner to its ultimate consumer, whether another data center or a mobile user<br />
across the world, is a basic requirement of any architecture proposed by WG1.<br />
By examining the trends in datacenter networking, shown in Figure 1.1, the motivation for forming this<br />
working group is evident. If the current scaling trends continue, a large data center constructed one<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 54
N-Layers<br />
decade from now could easily have<br />
hundreds of thousands of end hosts,<br />
each of which will be able to process<br />
in excess of 1 Tb/s through massive<br />
multi-core processing. Data center<br />
networks were originally based on<br />
telecom networks, which scale by<br />
introducing increasingly faster<br />
switches towards the core of the<br />
network.<br />
There are two distinct challenges in<br />
scaling this type of network. The first<br />
is the complexity and cost of scaling<br />
the network. The second challenge is<br />
the forwarding speed. We address<br />
each of these issues in turn. With<br />
respect to the complexity and the cost,<br />
SN,0 SN,1<br />
... = Core transceiver<br />
SN,k/2<br />
= Edge transceiver<br />
S2,0 S2,1 S2,2 S2,3<br />
... S2,k<br />
S1,0 S1,1 S1,2 S1,3<br />
... S1,k<br />
S0,0 S0,1 S0,2 S0,3<br />
... S0,k<br />
Hi Hi Hi Hi Hi<br />
Figure 2.11: A multi-layer scale-out packet switched network. Each<br />
of the N layers consists of k^(N-1)/2^(N-2) k-radix switches<br />
as end host servers move from 1 Gbps to 10 Gbps and beyond (e.g., 100 Gbps and 400 Gbps), the<br />
conventional network topologies no longer scale. Instead, data center operators have begun adopting<br />
multi-rooted, folded-Clos tree topologies (e.g., as shown in Error! Reference source not found.).<br />
Multi-rooted tree topologies provide significant scalability by providing end devices with many parallel<br />
paths, which result not only in significant bisection bandwidth, but also fault tolerance in the event of link<br />
failure. However, these two benefits come with associated costs of capital and operation expenses.<br />
Each layer of switching requires K^(N-1) / 2^(N-2) individual switches, each with k ports. Each of these<br />
ports typically requires a discrete transceiver to connect to the layer of switching above or below,<br />
respectfully. The total cost to build the network can be in the 10s of millions of dollars in the largest data<br />
centers.<br />
The second challenge is the increased rate at which the control plane must operate. Packet switching<br />
requires per-packet decisions at the line rate. This requirement means a tight coupling of the forwarding,<br />
control, and buffering within a packet switch. This coupling becomes more difficult as the line rates<br />
continue to scale from 10 Gb/s upward resulting in expensive complex switches. <strong>CIAN</strong> WG1 considers<br />
the potential of adopting optical circuit switching to address this challenge, since it enables decoupling the<br />
decision of what is forwarded from where forwarding takes place. Since the vast bulk of data center<br />
traffic exhibits short-term correlation (if even at the microsecond granularity), the ability to amortize<br />
forwarding decisions over the duration of a short-lived circuit is a key advantage compared to entirely<br />
packet switched approaches which must make a forwarding decision on every packet, even those that<br />
are all destined to the same ultimate destination.<br />
These daunting research issues means that no existing interconnect architecture can efficiently scale<br />
from either a cost, performance, control, or energy perspective. Working Group 1 was founded on the<br />
premise is that hybrid electrical/optical architectures can provide a viable path to a scalable interconnect<br />
solution.<br />
Hybrid switches based on a combination of electrical packet switching and optical circuit switching<br />
address both of these research challenges by using optical circuit switching to decouple the line rate from<br />
the speed of control plane, while using packet switching to handle ‘tail’ (or mice) of the traffic demand.<br />
Based the attractive features of a hybrid architecture, the research conducted within Working Group 1 has<br />
four distinct aspects:<br />
1) Conducting system-level research on prototype hybrid electrical/optical systems that<br />
are built with commercially available technology. This research provides the<br />
technology drivers for Thrust 2 and Thrust 3.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 55
2) Conducting research into the optimal optical network architectures for the optical part<br />
of the network. This research is not constrained by the available technology, which is<br />
used in the prototype network, and is focused on more speculative solutions that may<br />
be attractive in a five to ten year time frame. This part of the working group has seen<br />
the most significant activity in the past year.<br />
3) Using prototype networks as testbeds for specific systems-oriented projects as well as<br />
an insertion platform for <strong>CIAN</strong> developed subsystems and devices. The major focus of<br />
working group 1 over the past year is to develop a real-time control plane that can<br />
react to incoming data in real time based on microsecond optical circuit switching.<br />
4) Engaging system-level companies such as Google and Cisco as well as component<br />
companies such as Corning and Mindspeed to determine the system-level issues in<br />
datacenter networks.<br />
Objectives<br />
The four aspects of our work are applied is to study network architectures that can substantially improve<br />
the overall network performance of large warehouse-scale datacenters using hybrid networks. At the<br />
system level, researchers within Working Group 1 have conducted large-scale experiments using the<br />
MORDIA network prototype to test standard protocols such at UDP and TCP on an optical circuitswitched<br />
network. The prototype has also been used to measure the performance of Virtual Machine<br />
(VM) migration within a datacenter. The specific results of these experiments are reported in <strong>Volume</strong> 2.<br />
With respect to the optical technology development, the previous space-based prototype system (Helios)<br />
and current prototype in the MORDIA project, which uses wavelength switching, provide starting points to<br />
consider more extensible architectures which use emerging optical technologies being developed within<br />
<strong>CIAN</strong> and elsewhere. The optical<br />
technologies, along with an appropriate<br />
control plane, are the core focus of<br />
Working Group 1. Below, we separately<br />
consider the optical technology drivers<br />
for the data plane and the system-level<br />
drivers for the control plane.<br />
Optical Technology Drivers for the Data<br />
Plane<br />
The optical technology drivers required<br />
for the data plane can be grouped into<br />
four functionalities:<br />
Pkt<br />
= Edge transceiver<br />
OCSkxk<br />
S0,0 S0,1 S0,2 S0,3<br />
... S0,k<br />
Hi Hi Hi Hi Hi<br />
Figure 2.12: A hybrid electrical packet / optical circuit switched<br />
Function 1: Switching There are network interconnect architecture<br />
fundamental trade-offs between speed<br />
and port count that require quantifying. Wavelength selective switches clearly offer another degree of<br />
freedom, but there are significant issues in going from a passive network (PON) to a wavelength agile<br />
source. Is polarization switching viable What is the architectural advantage of having tunable<br />
transmitters and receivers over a network that has only tunable receivers<br />
Function 2: Signal Conditioning This involves amplification, and controlling both the spectral content<br />
through filtering and the temporal content through waveform shaping. It also involves the level of<br />
complexity of the physical layer interface with respect to end-to-end latency given that an optical circuit<br />
switch has been established.<br />
Function 3: Signal Translation This involves translating the signal. Examples of signal translation include<br />
efficient multimode/single mode conversion, wavelength conversion, or multicasting. A specific research<br />
topic is how functionalities that are typically implemented in higher-level layers within a datacenter might<br />
be more efficiently implemented at the physical layer. A specific technology is multicasting.<br />
Function 4: Transceivers In current designs, 80% of the cost of the datacenter is in the optical<br />
transceivers. Clearly, cost and energy efficient solutions are essential, particularly for “fat-tree” connection<br />
fabrics that provide fully connectivity at the cost of high port count and cabling.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 56
Thrust 2 and Thrust 3 Technology Drivers<br />
1. High port count (> 4k) high-speed (8 channels) at both 1500 nm and 850 nm to enable cost-effective dense WDM<br />
solutions operating over a wide temperature range without external modulators. The<br />
development of cost-effective array WDM technology is a critical enabling functionality.<br />
3. Physical layer broadcast capability. This driver appears across both working groups with several<br />
technologies based on SOAs and parametric processes being interesting approaches. To this<br />
point, we are testing parametric wavelength conversion of a 3.2 nm (400 GHz) band over 10 nm<br />
within the MORDIA testbed.<br />
System-Level Drivers for the Control Plane<br />
In addition to driving the optical technology developed within Thrusts 2 and 3 within <strong>CIAN</strong>, Working Group<br />
1 also has acted as a catalyst for additional system-level research on the hybrid network control plane<br />
architecture. This aspect of Working Group 1 has been the primary focus over the past year. We have<br />
successfully engaged several other system-level researchers at UCSD and have formed an associated<br />
systems-level research project that specifically addresses the control plane issues that arise in the<br />
development of a hybrid network. Some of the keys issues for this effort are:<br />
1. What do traffic patterns in a datacenter look like on<br />
a microsecond time scale To this end, there is a<br />
significant effort within the associated research<br />
project to measure and simulate datacenter network<br />
traffic on a microsecond time scale in order to better<br />
understand how to build a hybrid control plane.<br />
2. How does a circuit schedule interact with TCP<br />
Initial work on MORDIA over the past year has<br />
shown that when TCP is run over a circuit-switched<br />
network, the performance of the network can suffer<br />
because of the dynamics of TCP. Understanding<br />
how TCP interacts with circuits is essential to<br />
develop an efficient hybrid control plane.<br />
3. How do you design and implement a circuit<br />
schedule for a large datacenter on a microsecond<br />
time scale Given a demand for each host within a<br />
datacenter, how to you build a scalable scheduler<br />
that can dynamically adjust to the varying network<br />
traffic and not interfere with TCP<br />
A real-time control plane testbed based on a Virtex-6 FPGA,<br />
which can process packets at a 10 Gb/s, is being<br />
Figure 2.13: Tradeoff between the<br />
length of the circuit schedule (n), the<br />
amount of traffic sent over the circuit<br />
switch (CSN), and the amount sent<br />
over a packet switched network<br />
(PSN).<br />
implemented in collaboration with the associated research project. We are currently in the process of<br />
integrating this control plane with the MORDIA optical circuit switch.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 57
We have gained experience with developing and evaluating a general approach to circuit scheduling in<br />
microsecond-latency optical networks, which we call Traffic Matrix Scheduling. Using this approach, a<br />
time-varying demand matrix is decomposed into a set of discrete, weighted permutation matrices. The<br />
intuition is that any data center traffic demand, whether highly skewed (with ‘hotspots’) or smooth (‘all-toall’)<br />
can be serviced by rapidly reconfiguring the optical switching layer and multiplexing circuits across a<br />
large set of network destinations. The key metrics for assessing the practicality of this approach are the<br />
number of decomposed permutations needed to meet a particular workload demand (also called the<br />
‘length’ of the circuit schedule), and the computation time for determining the decomposition. This last<br />
point is important since this decomposition algorithm must be run quickly to track changes in the<br />
underlying workload.<br />
Figure 2.13 shows that for a representative traffic matrix, a small number (10) of optical circuit<br />
reconfigurations are necessary to support all of the traffic, assuming a 91% duty cycle. Intrinsic to<br />
supporting these results is adopting fast circuit switching technologies with microsecond switching times<br />
or faster. The results from Figure 2.13 underpin the “real-time” aspect of <strong>CIAN</strong>’s vision, namely that by<br />
integrating sufficiently fast optical devices, it is possible to support a large fraction of data center traffic in<br />
a manner invisible to applications, which is key to optics being adopted in data centers.<br />
The issues associated with developing the control plane are all significant research challenges in their<br />
own right and are arguably well beyond the initial scope of the system-level effort with <strong>CIAN</strong>. However,<br />
the prototype networks developed within <strong>CIAN</strong> have allowed us to engage experts in the networking<br />
community to help us address the details of design and development of the hybrid network control plane.<br />
This is a specific example of how <strong>CIAN</strong> has leveraged additional research efforts with the systems area.<br />
<strong>CIAN</strong> Research Thrusts to Address Gaps and Reach WG1 Goals:<br />
The research projects in thrust 1, C1-1, C1-4, C1-5, C1-6 and C1-7 help WG1 reach its goals. Project C1-<br />
1 designs and build the hybrid optical circuit / electrical packet data center systems and an architecture<br />
and established the testbed to verify the research. In addition to supporting hybrid architectures, <strong>CIAN</strong>developed<br />
technology is focused on delivering faster per-bit switching through the adoption of novel<br />
advanced adaptive coded-modulation data formats. It is well known that extending individual link rates<br />
beyond 25 Gbps is a significant challenge, and so developing more efficient modulation formats is critical<br />
to delivering faster bandwidths, which results in lower per-switched bit cost and energy usage. The goal<br />
of low energy consumption is addressed by project C1-4. This project seeks to leverage the service<br />
model delivered by hybrid networks to work collaboratively with virtual machine management, network<br />
management, and centralized schedulers to deploy computation in such a way that the overall energy<br />
requirements of the network are minimized. Rather than simply focusing on lowering the per-bit energy<br />
costs of the delivered network fabric, <strong>CIAN</strong>, and specifically project C1-4, focus on lowering the aggregate<br />
energy of the entire system, specifically by ensuring that servers are maximally utilized by removing<br />
bandwidth bottlenecks. Through thrust 2 efforts in developing integrated photonic devices on a single<br />
chip, <strong>CIAN</strong> thrust 1 architectures can adopt higher density solutions to integrating optics into scale-out<br />
data centers. As a result, the number of discrete components necessary to deliver next-generation<br />
architectures is reduced, resulting in lower cost and lower management overheads. Project C1-5<br />
supports the <strong>CIAN</strong> mission of enabling a better management plane by providing tools to enable network<br />
reliability. Since the first data networks developed over 50 years ago, diagnostic tools have played a<br />
pivotal role in enabling developers to build networks that can be reasoned about. Through the signal<br />
analysis tools developed as part of C1-5, <strong>CIAN</strong> is giving network managers the tools necessary to reason<br />
about next-generation photonic networks. Network control, especially cross-layer control, is critical for<br />
efficiently integrating next-generation photonic technology into the network. Through project C1-6, <strong>CIAN</strong><br />
is developing a cloud-based control and management software system (CNCMS) that will be used to<br />
coordinate individual components with a more holistic network control plane. This fits into <strong>CIAN</strong>’s vision<br />
of providing efficient, low-cost networking in a manner amenable to effective network control and<br />
management.<br />
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Metrics:<br />
WG1 metrics for data centers was established in the two workshops <strong>CIAN</strong> planned with OIDA. Table 1<br />
describes these metrics. As shown, over years 5 and 10, significant movement along a variety of metrics<br />
is expected as a result of <strong>CIAN</strong> activities. In terms of link bandwidths, we expect to move from 10 Gbps in<br />
2012 to over 100 Gbps in 2017, with 250 Gbps / 400 Gbps and beyond by year 2022. This will be<br />
accomplished through more sophisticated, adaptive coding formats, augmented by supporting multiple<br />
parallel lanes to deliver larger aggregate bandwidth. A key goal of <strong>CIAN</strong> is lowering the overall costs of<br />
next-generation networks, and to this extent we expect that the costs per interconnect bandwidth to<br />
reduce significantly over the next five and ten years, both as a result of novel photonic technologies<br />
delivered by <strong>CIAN</strong> thrusts 2 and 3, as well as more efficient network architectures relying on optical circuit<br />
switching moving closer to end devices, rather than being restricted to the core of the network. This<br />
migration hinges on developing faster optical circuit switch technologies that support high port counts.<br />
The energy per switched bit will likewise reduce (as described in Table 1) through a combination of lowerenergy<br />
photonic devices, coupled with higher server efficiency resulting from removing bandwidth<br />
bottlenecks in the network by increasing delivered bisection bandwidth. In all cases, bringing the benefits<br />
of optical switching deeper in the network requires matching the optical circuit switch speed with the<br />
speed of the underlying bursts emanating from end host servers, which requires faster fundamental<br />
optical circuit switch technologies.<br />
Table 1: <strong>CIAN</strong> WG1 Metrics as discussed at the OIDA data center workshop (2013).<br />
Future Plans and Milestones:<br />
The goals and time lines for WG1 research are to deliver a next-generation network architecture based<br />
on novel photonic technologies developed by <strong>CIAN</strong> thrusts. Specifically, we highlight several milestones<br />
over the next years.<br />
Thrust 1:<br />
o MORDIA Assembly and Control Plane Development (2012-2014)<br />
o 2.4 Tbps + Hybrid electrical packet / optical circuit switched architectures (2014-2015)<br />
o Network scale-up, nanosecond circuit switching to support 100 and 400 Gbps networking<br />
at the switch layer (2015-2018)<br />
o Hybrid ToR switches with 100 Gbps NICs (10x 10 Gbps) (2015-2016)<br />
o Hybrid ToR switches with 400 Gbps NICs (16x 25 Gbps) (2016-2018)<br />
o Optical circuit switching with disggregated compute/storage/memory (2016-2018)<br />
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Thrust 2<br />
o Low cost/power, compact 10 and 25 Gbps transceiver arrays for ToR switches and servers<br />
(2015-2016 @ 10 Gbps, 2016-2017 @ 25 Gbps)<br />
Thrust 3<br />
o Low cost/power, compact tunable sources with 10,25 Gbps modulators (2014-2015)<br />
o 576-port (blocking is ok) microsecond optical circuit switch (2014-2015)<br />
Taken together, these milestones and future plans will combine to form an integrated, cross-layer network<br />
architecture that lowers the per-switched bit cost and energy requirements of the network, while enabling<br />
rapid scaling through improved channel efficiency and parallelism. Lastly, through the adoption of<br />
software-defined network techniques, the entire composed system—from individual photonic devices to<br />
high-level transport protocols and applications—will be able to be managed as a single system, lowering<br />
the complexity and management burdens of supporting large-scale and data-intensive computing<br />
applications.<br />
Summary of WG1:<br />
The Data Center Working Group is investigating the use of a hybrid combination of an optical circuit<br />
switched (OCS) network and an electronic packet switched (EPS) network to optimize data flow between<br />
servers, resulting in a more on-demand network architecture in which bandwidth can be dynamically<br />
reallocated to where it is needed in the data center. Research efforts for Working Group 1 focus on the<br />
implementation and characterization of the Microsecond Optical Research Datacenter Interconnect<br />
Architecture (MORDIA), the faster-switching successor to the Helios architecture we demonstrated in<br />
<strong>Year</strong> 3. The system level research in WG1 used commercially-available components over the past two<br />
years. Current efforts for WG 1 include design and assembly of a control plane for MORDIA, evaluation of<br />
the trade-off between packet and circuit switching, analysis of energy efficiency, and use of photonic<br />
integrated circuits to replace larger, expensive commercial components. Integrating hybrid networks<br />
based on optical circuit switching into data centers supports <strong>CIAN</strong>’s vision of low-cost, high data rate<br />
networks, since a significant cost inherent in these fabrics are discrete optical transceivers, which can be<br />
reduced in number by adopting optical circuit switching. Finally, the research focus provided by examining<br />
data centers has enabled WG 1 to define key research issues for all three thrusts and to leverage<br />
additional research efforts, to help solve the primary research issues.<br />
WORKING GROUP 2 – INTELLIGENT AGGREGATION NETWORKS (IAN)<br />
Keren Bergman, Gil Zussman (Columbia), Alan Willner, Joe Touch (USC), Ivan Gjordjevic, June He,<br />
Hyatt Gibbs, Galina Khitrova, R. Norwood, N. Peyghambarian (Arizona), Shaya Fainman (UCSD),<br />
Bahram Jalali (UCLA), Axel Scherer (Caltech), Ming Wu (Berkeley).<br />
IAN Working Group 2 Strategic Research Plan<br />
<strong>CIAN</strong>’s vision for the next-generation access aggregation network is driven by the rapid growth in<br />
user/subscriber demand for broadband access and the expanding heterogeneity of applications, services,<br />
and emerging technologies. Trends indicate that a significant portion of the future traffic will be bursty<br />
applications (e.g. video-conferencing, tele-surgery, 3D MRI, immersive/interactive gaming etc.) that<br />
require high bandwidth and low latency. With fiber to the premises widely available, home and enterprise<br />
subscribers have the potential to access wavelength services and interfaces in the 10-100 Gb/s range.<br />
However, such applications and high service capacities simply cannot be delivered to each subscriber<br />
continuously in a cost effective manner under the current tree-type distribution/aggregation networks.<br />
Current subscriber services range from 10 Mb/s for residential users to 1 Gb/s enterprise clients. Services<br />
operating at subscription rates of 10 Gb/s for residential users and 500 Gb/s for enterprise clients would<br />
represent up to a 1000-fold increase over current peak traffic rates for subscription services today. Using<br />
today’s aggregation architecture, this would require a commensurate 1000-fold increase in the network<br />
capacity. Conventional switching and transmission technology is rapidly approaching physical capacity,<br />
thermal, and energy limits. There is no clear path to scale the current architecture by 1000 times. <strong>CIAN</strong>’s<br />
Working Group 2 (WG2) addresses exploding traffic demand and increasing network energy use by<br />
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investigating novel photonic technologies that enable new scalable aggregation architectures that deliver<br />
network resources intelligently as on-demand services.<br />
Aggregation networks today (Figure 2.14A) consist of a quasi-static optical transmission network () and<br />
separate layers of electronic switching (L2) and routing (IP). Peak service rates are 10Mbps-1 Gb/s to the<br />
subscriber and are realized using many small packets that require electronic processing at each node in<br />
order to determine their next destination along their routes and to apply various service dependent<br />
functions such as quality of service (QoS) handling, firewalling, and protection. Even if a service involves<br />
large bursts of data (> 1 GB), the data is still broken down into many small packets with multiple layers of<br />
headers and repetitive electronic processing along the path. The optical systems use reconfigurable<br />
optical add-drop multiplexer (ROADM) based wavelength division multiplexing (WDM) systems. The<br />
switching capability in the ROADMs is not used for service switching, instead it is used to automatically<br />
setup the path when a new wavelength channel is provisioned—a process that can take hours to days. A<br />
new wavelength channel must be turned up without impacting existing channels and error free operation<br />
is established by carefully tuning many transmission elements along a path. Once provisioned, a<br />
wavelength channel is fixed and typically will not be reconfigured for the life of the system. Even services<br />
commonly referred to as wavelength on-demand are actually implemented by making use of already<br />
provisioned wavelengths and moving traffic in the higher layers onto these dedicated wavelengths.<br />
A. Existing Network Layered Architecture<br />
Campus/Home<br />
Aggregation Network<br />
Service<br />
IP IP Routing &<br />
Switching<br />
IP IP<br />
L2 L2<br />
L2 L2 L2<br />
IP<br />
L2<br />
Long<br />
Haul<br />
λ<br />
λ λ<br />
λ<br />
λ λ λ<br />
FTTP<br />
… … …<br />
Switched 10M-1G On-Demand Service<br />
Aggregated Packets<br />
B. <strong>CIAN</strong> Box-Enabled Cross-Layer Architecture<br />
Campus/Home<br />
Aggregation Network<br />
Hybrid Electronic /<br />
Optical Switching<br />
Service<br />
IP<br />
L2<br />
E/λ<br />
Routing &<br />
Switching<br />
E/λ<br />
E/λ<br />
E/λ<br />
E/λ<br />
Long<br />
Haul<br />
λ<br />
FTTP<br />
λ<br />
… … …<br />
Switched 10G/100G On-Demand Service<br />
End-to-End Flow/Large Packets<br />
Figure 2.14 A. Current state of the art commercial network, 10M-1Gb/s peak services are delivered as short packets<br />
that are aggregated and repetitively processed in multi-tiered electronic switching and routing fabrics. B. The <strong>CIAN</strong><br />
box uses hybrid electronic and optical switching to minimize the electronic processing and set up end to end data<br />
flows or large packets to deliver 10-100 Gb/s services on demand.<br />
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The main strategy of <strong>CIAN</strong> WG2 is to move higher layer switching functions down into the physical/optical<br />
layer in which photonic devices can be used to efficiently switch and aggregate traffic at 10-100 Gb/s<br />
rates. Studies have shown that photonic technologies can provide more than an order of magnitude<br />
efficiency improvement over electronic methods in basic switching and transmission functions. <strong>CIAN</strong> WG2<br />
envisions a new architecture (Figure 2.14B) based on cross-layer ‘<strong>CIAN</strong> boxes’ that use hybrid electronic<br />
and optical switching to overcome the bottlenecks created in the current architecture<br />
.<br />
Large packets or flows can be delivered to the end service on-demand at rates reaching 10-500 Gb/s.<br />
End to end optical paths enable efficient, scalable operation at these high subscription rates.<br />
Furthermore, <strong>CIAN</strong> box enabled networks can provision cost effective direct inter-data center connectivity<br />
reaching multi-Tb/s. In the hybrid approach, electronic packet switching and processing is still used for<br />
low bandwidth data services and for processing intensive functions. However, cross-layer service<br />
awareness is used to set up end-to-end optical paths on demand for large data transactions, avoiding<br />
unnecessary and repetitive processing. This requires new optical switching devices and architectures,<br />
cross-layer integration of network management functions, and new technologies and algorithms to<br />
address the challenges of dynamic optical transmission. Because aggregation networks are distributed<br />
over a wide area, the WG2 research differs from WG1 in that the management and control functions and<br />
switching architectures are distributed and constrained by a physical topology. Optical transmission is<br />
another element that is unique to WG2. Switching nodes are separated by optically amplified fiber links in<br />
which signals suffer transmission impairments and inter-channel dynamics and cross-talk. WG2<br />
addresses each of these challenges within the mission of <strong>CIAN</strong>, which is to create integrated<br />
optoelectronic technologies to enable these new scalable architectures.<br />
<strong>CIAN</strong> Research Thrusts to Address Gaps and Reach WG2 Goals:<br />
The research projects in thrust 1, C1-2, C1-3, C1-4, C1-5, C1-6 and C1-7 supported by the integrated<br />
subsystems and device technologies developed in thrusts 2 and 3 are specifically geared to support the<br />
research agenda and goals of WG2. The <strong>CIAN</strong> WG2 research is organized around an evolving <strong>CIAN</strong> box<br />
led in project C1-2, an information aggregation node that can be interconnected to create a dynamic and<br />
adaptive optical aggregation network architecture. The boxes integrate real-time optical performance<br />
measurement (OPM) developed in project C1-5, energy consumption monitoring pursued in C1-4, highperformance<br />
switching, signal conditioning and recovery, and the ability to extract in-band data that can<br />
be used as context to a broader systems approach, supported by the integrated photonic subsystems in<br />
C2-2 and the switching devices in C3-2. The goal is to explore both experimentally and with modeling and<br />
simulations the system impact of <strong>CIAN</strong> box enabled aggregation networks. A critical aspect to the<br />
successful insertion of <strong>CIAN</strong> boxes is the development of intelligent network control and management<br />
protocols specifically within the OpenFlow environment focused on in project C1-6. Project C1-3 drives<br />
the development real-time cross-layer algorithms that leverage the dynamic capabilities of the <strong>CIAN</strong> box<br />
to mitigate effects of optical-layer impairments while improving energy-efficiency in optical aggregation<br />
networks. The effort in C1-3 also addresses the integration of heterogeneous applications by developing<br />
the scheduling, channel allocation, and routing algorithms that are essential in order to control the flow<br />
from the high capacity core network to the wireless access (mesh and cellular) networks. WG2 is further<br />
supported by project C1-7 toward increasing the overall information bandwidth and energy through<br />
advanced and adaptive code modulation.<br />
<strong>CIAN</strong> WG2 research is organized around developing and evolving the <strong>CIAN</strong> box. This box is a<br />
hybrid electronic and optical switching node realized in different evolutionary stages in order to<br />
study the different trade-offs and performance benefits from different levels of hybridization in the<br />
physical systems and management planes. Each instantiation is optimized to support increased<br />
data rates, network performance and flexibility, while maximizing the network’s energy efficiency<br />
for scalable aggregation of heterogeneous service traffic.<br />
Metrics<br />
WG2 metrics for aggregation networks were established in two workshops that <strong>CIAN</strong> organized together<br />
with the OIDA, as well as our collaboration with the GreenTouch Consortium (Table 2.1). Assuming<br />
business-as-usual (B.A.U), the total backbone traffic across the Internet in 2020 is expected to grow by<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 62
50 times, increasing from 40 Tb/s to 2000 Tb/s. This near exponential increase in bandwidth demand is<br />
characterized by an expansion of heterogeneous services subscribed by end users. These services can<br />
be categorized into 1.) home users, 2.) enterprise users, and 3.) datacenter-to-datacenter transfers. The<br />
insertion of <strong>CIAN</strong> Boxes enables more efficient switching between peers and improves the bandwidth<br />
utilization of the aggregation network, and enables the delivery of peak bandwidth services to home,<br />
enterprise, and data center subscribers that are 10-20 X over the projected BAU. Furthermore, a key<br />
conclusion of the workshops indicated that even the BAU traffic projections are unlikely to be sustainable<br />
given the current technology trends. The <strong>CIAN</strong> innovations will provide a scalable path to support the<br />
steady growth of the mean traffic demands while enabling new high bandwidth on-demand capability.<br />
Table 2.1. WG2 metrics to quantify impact of <strong>CIAN</strong> Box<br />
The aggregation network can be broadly divided into nodes (routers and switches) and links (amplifiers).<br />
Under B.A.U. conditions, the energy efficiency of the aggregation network will follow a 13% year-overyear<br />
improvement in the electronic components. This corresponds to a 5x improvement for the nodes and<br />
a 2.5x improvement for the links. <strong>CIAN</strong> technology is targeting up to 100x improvement in energy<br />
efficiency in the nodes and a 5x improvement in the links through:<br />
Enabling dynamic lightpath reconfiguration (aided by OPM) to utilize bandwidth more efficiently.<br />
(C1-5, C2-3)<br />
Redesign of <strong>CIAN</strong> box architecture and cross-layer routing algorithms to minimize usage of<br />
electronics (C1-2, C1-3)<br />
Silicon photonic integration of optical switches (C2-2)<br />
More energy-centric design of network management and control (C1-4, C1-6)<br />
Moreover, the performance improvement for the services can be quantified by the reconfiguration speed<br />
of the network. Faster network reconfiguration allows faster demand-based reallocation of the bandwidth,<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 63
esulting in more energy efficient utilization of network resources. In today’s static network,<br />
reconfiguration happens on the order of hours or days when network operators need to provision a new<br />
path; once this path is set-up, it is not likely to be changed to a different path. Networks are projected to<br />
become more dynamic by 2020 in order to scale efficiently with the bandwidth demand and the use of<br />
<strong>CIAN</strong> box can provide bandwidth reconfiguration speeds ranging from seconds down to time of flight<br />
delay limits. This is achieved through using real-time awareness of the optical signal quality via OPMs<br />
and service quality-of-services (QoS) to enable fast switching and tuning of the network to minimize the<br />
adverse transmission effects that accumulate in dynamic networks. Further, <strong>CIAN</strong> also aims to improve<br />
the optical switching speed via novel switch design and silicon photonic integration.<br />
Our Approach<br />
The <strong>CIAN</strong> WG2 research plan centers on the concurrent development of a sequence of <strong>CIAN</strong> boxes that<br />
examines an evolutionary path of hybrid electronic and optical switched networking and enables the<br />
exploration of distributed systems interactions. Figure 2.15 illustrates this path starting from the current<br />
state of the art, which is made up of independent equipment and management layers. Optical systems<br />
today are composed of quasi-static ROADM nodes in which switching on time scales of hours and days is<br />
used to flexibly provision new wavelength channels, which are then fixed, usually for the life of the<br />
system. Central to each of the <strong>CIAN</strong> boxes are new real-time OPM devices and signal conditioning and<br />
control mechanisms with adaptive configuration and path management to break out of this quasi-static<br />
model and enable wavelengths to be switched onto new paths over time.<br />
C. <strong>CIAN</strong>-Box Evolution<br />
Current Technology <strong>CIAN</strong> I <strong>CIAN</strong> II<br />
IP Routing/<br />
Service Proc.<br />
Ethernet/<br />
OTN/MPLS<br />
Quasi-Static<br />
ROADM<br />
IP<br />
L2<br />
λ<br />
E<br />
O<br />
Dynamic<br />
ROADM, OPM<br />
Trans. Mgmt<br />
IP<br />
L2<br />
λ <strong>CIAN</strong><br />
<strong>CIAN</strong><br />
OPM<br />
E<br />
O<br />
OpenFlow<br />
Control<br />
Plane<br />
Flow/Data<br />
Switching<br />
IP<br />
E/λ<br />
λ <strong>CIAN</strong><br />
<strong>CIAN</strong><br />
OPM<br />
E<br />
O<br />
<strong>CIAN</strong> III<br />
Hybrid<br />
Si PIC<br />
Networking<br />
Comp.<br />
Integrated<br />
on chip<br />
IP<br />
E<br />
SiPoC O<br />
E/λ<br />
λ <strong>CIAN</strong><br />
<strong>CIAN</strong><br />
OPM<br />
All-Optical<br />
Integrated IP<br />
Service<br />
Processing<br />
Digital Optics<br />
IP<br />
λ DIG<br />
E/λ<br />
E<br />
O<br />
Optical Packet<br />
Aggregator<br />
λ <strong>CIAN</strong><br />
<strong>CIAN</strong><br />
OPM<br />
Figure 2.35. The <strong>CIAN</strong> box and its stages of evolution<br />
The Stage I <strong>CIAN</strong> box integrates OPM to enable feedback-based signal adaptation and automatic circuit<br />
rerouting to stabilize performance in the presence of path and device variations. The Stage II <strong>CIAN</strong> box<br />
introduces new optical switching devices ( <strong>CIAN</strong> ) to reconfigure on smaller timescales and supporting new<br />
switching architectures, and can use in-band data plane context, such as QoS labels, to control tuning<br />
and adaptation. An important step in Stage II is a first use of hybrid optical-electronic switching in the form<br />
of circuit or flow switching (E/) based on the application’s needs and implemented through an OpenFlow<br />
based protocol. The Stage III <strong>CIAN</strong> box is a fully evolved node that switches on packet timescales,<br />
reconfigures on bit timescales, and can direct data on a per-packet basis towards the desired path. <strong>CIAN</strong><br />
is building and demonstrating the technologies that will ultimately enable such a node. Two potential<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 64
Capacity<br />
technology paths are considered. The first is a hybrid switched approach in which the photonic<br />
networking components are brought on chip with the CMOS electronics (SiPoC). An alternate path takes<br />
an all-optical approach using an optical packet aggregator and digital optics ( DIG ). Stage III is also<br />
envisaged with a fully integrated cross-layer control and management system although the full<br />
development of such a system is beyond the mission of <strong>CIAN</strong>. These three stages represent an evolution<br />
of optical circuit switching into adaptive, reactive, and self-correcting hybrid or all-optical switching. Their<br />
development is concurrent, such that earlier stage prototypes provide a testbed for existing and emerging<br />
optical devices and subsystem implementations, and the design and analysis of later stages helps<br />
provide context to drive the development of new optical device and subsystem capabilities.<br />
The different stages of <strong>CIAN</strong> box evolution are designed to enable an overall network evolution toward a<br />
future high capacity network with agility to efficiently support heterogeneous services. Figure 2.16<br />
illustrates the different network architectures<br />
with the highest efficiency depending on the<br />
capacity requirements and the<br />
heterogeneity of the services in the network.<br />
A high degree of heterogeneity requires<br />
more computation, for which electronic<br />
processing is most efficient. If a small<br />
number of services are supported with<br />
uniform traffic characteristics and minimal<br />
processing requirements (low<br />
heterogeneity), then optical packet switching<br />
can be a highly efficient solution. With the<br />
rapid expansion of different services in the<br />
Internet, however, networks are requiring<br />
both high capacity and heterogeneous<br />
service support. A hybrid switching<br />
approach that uses heavy integration<br />
between optical and electronic devices,<br />
ultimately even bringing the optical<br />
networking components on chip with the<br />
CMOS processors, is expected to be the<br />
most efficient solution in this regime.<br />
Opt Packet<br />
Switching<br />
Transparent<br />
Add/Drop<br />
State of Art Commercial Networks<br />
Dynamic<br />
Transparency<br />
Hybrid<br />
Networks<br />
Digital/Opaque<br />
Networks<br />
Heterogeneity<br />
Figure 4.16. Efficient network paradigms for different capacity<br />
and service heterogeneity requirements. Hybrid networks<br />
support cross-layer end to end traffic management spanning<br />
circuit to packet capabilities using combinations of optical and<br />
electronic technologies.<br />
Current networks support wavelength or transparent add/drop capability on quasi-static, long time scales<br />
(hours-days). An important step toward hybrid switched networks is dynamic transparency for which<br />
wavelengths are continuously switched and routed throughout the network.<br />
a. The <strong>CIAN</strong> Box<br />
The <strong>CIAN</strong> Box is a cross-layer network element that enables intelligent interaction between the network<br />
layers. The high-level concept of the <strong>CIAN</strong> Box is that it uses real-time introspective access to the optical<br />
layer in conjunction with awareness of higher layer network constraints (e.g. application, QoS and energy)<br />
to make more informed routing/ regeneration decisions which result in improved network performance.<br />
Some of the functionalities supported by the <strong>CIAN</strong> Box are:<br />
(i) optical multi-casting<br />
(ii) real-time monitoring of the quality of the optical signal<br />
(iii) application awareness<br />
(iv) heterogeneous traffic and high-bandwidth applications, with varying levels of QoS<br />
(v) simultaneous delivery of high optical QoT while maintaining application-specific QoS<br />
constraints<br />
(vi) multi-layer optimization and traffic engineering protocols<br />
The <strong>CIAN</strong> Box (Fig. 2.17) is a modular platform consisting of three main sub-systems: (i) the data plane,<br />
(ii) the optical performance monitoring (OPM) plane and the (iii) control plane (CP). Bi-directional cross-<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 65
layer signaling between the control plane and the data and OPM planes allow for a more intelligent optical<br />
layer and dynamic control. Initial prototypes of the <strong>CIAN</strong> box, each showcasing new functionalities, are<br />
implemented using commercial components. Future iterations however will be constructed with <strong>CIAN</strong><br />
developed components.<br />
Figure 2.17. Detailed architecture of the <strong>CIAN</strong> Box: A system level description indicating the bidirectional information<br />
flow between the control, OPM and data planes.<br />
OPM Plane: This consists of a dedicated OPM sub-system per input port which is capable of monitoring a<br />
comprehensive range of physical layer impairments such as OSNR, PMD and CD. Previous experiments<br />
have demonstrated the ability to use <strong>CIAN</strong> developed performance monitoring techniques to measure<br />
BER (using TiSER) and OSNR and PMD (quarter bit DLI). Current work in progress is to develop a small<br />
form-factor and carbon footprint OPM chip that will integrate the various <strong>CIAN</strong> performance monitors. The<br />
first instantiation of this chip will be an OSNR monitor based on the quarter bit delay line interferometer<br />
technique developed at USC. The OSNR monitor (Figure 2.1) has fast response speeds and supports<br />
multiple modulation formats and with slight modification to the architecture, can measure PMD and CD as<br />
well. The OSNR is proportional to and thus extrapolated from the ratio of P const / P dest . A filter is used to<br />
round-robin through all the wavelengths in a WDM signal and thus the filtering speed determines overall<br />
speed of the device.<br />
Figure 2.18. DLI based all optical OSNR monitor<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 66
The first OPM-on-chip demonstration will consist of a discrete filer and DLI chips. The filter chip is a<br />
thermally tunable add-drop filter consisting of a series of ring resonators embedded between microheaters<br />
for homogeneous temperature distribution. This device has several advantages over the<br />
commercial filters: (i) improved spectral pass-band due to optimized micro-ring coupling for each channel<br />
(ii) energy efficient and most importantly, (iii) much faster tuning speeds (µs versus ms -tuning response).<br />
For an automated the introspection process, the control plane has to have the capability of dynamically<br />
tuning the filter. In order to achieve this, an FPGA is used as a channel selection interface (Figure 2.) to<br />
the control plane. A pre-defined heating configuration look-up table for each channel is available for the<br />
control plane and allows for rapid channel configuration.<br />
Depending on the instructions from the CP, the FPGA will<br />
tune all heaters simultaneously to a certain temperature to<br />
achieve channel selection.<br />
The initial OPM-on-chip demonstration will be for OSNR<br />
monitoring of a 20G signal using an 80G free spectral range<br />
(FSR) Mach-Zehnder interferometer (MZI), specifically<br />
fabricated for this experiment. Previously, commercially<br />
available 40G DPSK demodulator was used to achieve the<br />
quarter bit delay and this limited OSNR monitoring<br />
capabilities to that for 10G data only. The next phase of the<br />
WG2 chip effort, which will be done in collaboration with<br />
SANDIA, is an OSNR monitor on single photonic integrated<br />
circuit. The CAD of the proposed chip is shown in Figure 2.2.<br />
In this iteration, 160G FSR DLI will be fabricated that will<br />
allow monitoring of 40G data, a functionality that cannot be<br />
achieved using today’s commercial components. In addition,<br />
the DLI will be athermalized to nullify any effect temperature<br />
may have on the amount of delay.<br />
Custom driving circuitry<br />
FPGA<br />
Figure 2.19. Micro-ring filter with FPGA<br />
interface.<br />
Data Plane: The data plane is essentially the optical switching fabric and based on the granularity of<br />
switching, two different prototypes of the <strong>CIAN</strong> Box have been demonstrated: (i) wavelength switched<br />
<strong>CIAN</strong> Box and (ii) sub-wavelength/ packet switched <strong>CIAN</strong> Box. The data plane of wavelength switched<br />
<strong>CIAN</strong> Box consists of large radix wavelength selective switches (WSS). The data plane of the packet/<br />
sub-wavelength switched <strong>CIAN</strong> Box is comprised of photonic switching elements (PSE) that is made up of<br />
discrete macroscale commercial components such as passive optical devices and couplers, fixed<br />
wavelength filters, photodetectors, SOAs and electronic circuitry. Each PSE has four SOAs organized in<br />
broadcast and select topology to act as low-power and fast gating elements and they are gated by<br />
complex programmable logic device (CPLD) that is programmed with the routing truth table.<br />
An energy efficient data plane is one of the major goals for <strong>CIAN</strong> and this drives the research at UCSD<br />
and other Thrust 2 projects on the development of an<br />
integrated N x N non-blocking switching module. This module<br />
can be used as a building block for future <strong>CIAN</strong> Box data<br />
planes and will enable the exploration of different network<br />
topologies. The switching module can consist of integrated<br />
SOAs or electro-optic (EO) polymer based hybrid devices that<br />
are capable of fast switching and modulation. Although they<br />
have the potential to be scalable to larger port counts, the EO<br />
hybrid devices are slower than SOAs. The trade-offs and<br />
performance benefits of having EO modulators in the <strong>CIAN</strong><br />
box instead of integrated SOAs is an area of active research.<br />
Another vision for the data plane is a hybrid switched optical<br />
fabric i.e. a switching fabric that is capable of switching at the<br />
wavelength, sub-wavelength and packet level. Depending on<br />
the traffic load, transaction size and the application itself, a<br />
Figure 2.20. Integrated OSNR monitor on<br />
chip<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 67
particular granularity of switching ensures better bandwidth utilization, network performance and energy<br />
efficiency (ref). The cross-layer capabilities of the <strong>CIAN</strong> Box enables the CP to consider the service<br />
requirements of a given application (latency, fidelity etc) and choose the optimum granularity.<br />
Control Plane: The third component in the <strong>CIAN</strong> box is an intelligent control plane that analyzes the<br />
measurements from the optical layer and manages service-aware network reconfiguration, such as<br />
impairment-aware connection provisioning, energy-efficient data aggregation, cost-effective component<br />
deployment, and adaptive coding & modulation. Previous demonstrations have shown the ability of the<br />
control plane to use real-time physical layer awareness to route around impaired links, by-pass<br />
regenerators and re-provision optical connection around failed (or sleeping) routers etc.<br />
Figure 2.21. Proposed architecture of Intelligent Network Control and Management software (ICNMS)<br />
The proposed architecture for Intelligent Network Control and Management software (ICNMS) is shown in<br />
Figure 2.2. The control and management functions consist of new algorithms for QoT-awareness, green<br />
routing, protection and fault localization, energy awareness and dynamic wavelength resource<br />
management. Distributed and centralized schemes will be implemented for the control signaling. Energy<br />
management and application-aware control software (EMACS) is a <strong>CIAN</strong> developed network energy<br />
consumption tracking software that can be linked with the CP to make energy aware routing decisions.<br />
Middleware will consist of software to integrate various heterogeneous components discussed in the<br />
previous section (TiSER, OPM, etc). It will also provides hardware encapsulation, open Application<br />
Programming Interfaces (APIs), core routers (example Cisco routers) interfaces, and GUIs. It is<br />
important to note that our main goal is not to design a new control plane standard. Rather, the<br />
main purpose of developing the control plane is to serve as an interface that will enable the<br />
insertion of a collection of <strong>CIAN</strong> Boxes into the aggregation network without changing the<br />
existing protocols. To that end, the INCMS platform is being OpenFlow enabled and thus<br />
compatible with industry standards. This work is jointly done by UA and Columbia.<br />
b. Experimental Test-beds for <strong>CIAN</strong> Box<br />
<strong>CIAN</strong>’s WG2 has a main system level test-bed and a satellite test-bed, [explained in detail in the<br />
following sections] that enable different experimental functionalities. The Dynamic Optical Network<br />
Emulation Test-bed (satellite) at Columbia allows testing of the <strong>CIAN</strong> Box through optical transmission<br />
experiments for networks of any size. The main system level Test-bed for Optical Aggregation Networking<br />
(TOAN) in the University of Arizona supports integration of <strong>CIAN</strong>-developed technologies, ranging from<br />
silicon photonic chips to control plane software, with existing off-the-shelf networking equipment for<br />
further experimentation.<br />
As shown in Figure , the eventual goal of <strong>CIAN</strong> is to connect the two WG2 test-beds with the data center<br />
test-bed in WG1 at University of California in San Diego (UCSD). The three test-beds will be connected<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 68
together by commodity Internet. The UCSD and Arizona test-beds are each connected to a dedicated<br />
optical link. The Columbia test-bed is directly connected to the Internet, but utilizes an Optical Network<br />
Interface Card (ONIC) to convert the incoming Internet data to an optical signal. In addition to providing a<br />
demonstration of <strong>CIAN</strong> box functions at scale, this capability will enable the study of the various software<br />
control systems in a network setting. <strong>CIAN</strong> is seeking to work with a scientific/research network provider<br />
such as GENI so that we can maximize the functionality of the commodity Internet connection. Successful<br />
implementation within GENI would also enable us to make the <strong>CIAN</strong> box elements and control systems<br />
available to the GENI community to investigate integration with future higher layer control and<br />
management systems.<br />
Commodity Internet<br />
Dedicated Optical Link<br />
WG2 Dynamic Optical<br />
Network Test-bed<br />
(Columbia)<br />
ONIC<br />
WG1 Data Center<br />
Test-bed (UCSD)<br />
WG2 TOAN<br />
Test-bed (Arizona)<br />
Figure 2.22. Connectivity among all <strong>CIAN</strong> Test-beds (WG1 and WG2)<br />
Dynamic Optical Network Emulation Platform (Columbia)<br />
The goal of the <strong>CIAN</strong> box is to enable dynamic optical networking i.e. allow wavelengths to be set-up and<br />
removed on the fly to achieve a new operating state in response to the changing traffic demand.<br />
However, due to its unpredictable nature, dynamic networking has inherent problems such as the<br />
difficulty of setting reliable margins that take into account all possible scenarios. Margin failures result in<br />
reconfigurations which are a source of instability and cause inefficient resource utilization and increased<br />
energy consumption. In order to achieve a feasible dynamic network that will provide net overall network<br />
efficiency gain, it is imperative to study the impact of fast reconfiguration in a network and the<br />
compensations that can be applied by the <strong>CIAN</strong> Box. To this end, the network emulation platform<br />
illustrated in Figure 2.23 is being built at Columbia.<br />
The new test-bed will be used to create the physical phenomena that occur in long distance transmission<br />
and study their impact on the network performance under dynamic operating conditions. The key physical<br />
impairments can be reproduced using a variety of techniques: (i) noise generator to introduce ASE, (ii)<br />
high launch power for non-linear effects such as self and cross phase modulation that can be tuned to<br />
represent different distances, (iii) different filter widths to create the filtering effects due to multiple<br />
ROADM hops, (iv) amplifier ripple and operating characteristics adjustment for power dynamics. As can<br />
be seen from Fig 2.23, the data source allows wavelengths that have “travelled” various distances<br />
(created using the distance emulators) to be injected at any node. Once in the network, the signal can be<br />
switched along any path, allowing for different path configurations. Similar to recirculating loops<br />
commonly used to emulate long distance signal propagation, this setup can thus emulate a large network<br />
(both distance and number of hops) and complex topologies without requiring the use of prohibitive<br />
amount of equipment. The nodes in the test-bed are connected via emulators that replicate the effect of<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 69
multiple links and ROADM hops. Thus, by changing the parameters of the distance emulator, a variety of<br />
network topologies can be created from the same set-up.<br />
This test-bed will be used to establish the <strong>CIAN</strong> Box as a key enabling technology for dynamic<br />
networking. As a first experiment, the benefits of using ubiquitous OPM devices under dynamic conditions<br />
to choose an optimal path will be studied. Since the margins are difficult to predict in a dynamic network,<br />
impairment aware routing is the most promising way of converging on a viable path. Thus, the <strong>CIAN</strong> Box<br />
dynamic network is projected to require less trial and error to find an optimal path, reducing latency and<br />
energy consumption and improving network stability.<br />
Dynamic Optical Network Emulation Test-bed<br />
Figure 2.23. Studying the effects of dynamic optical networking in an emulation test-bed.<br />
The Stage III All-Optical <strong>CIAN</strong> Box USC/ISI is currently developing an Optical Packet Aggregator (OPA)<br />
and its supporting technologies, both at the system level as a complete switch design, and at the<br />
component level for an optical checksum, conveyor queue, and sub-nanosecond switching. The OPA is<br />
currently able to perform all-optical hopcount management and the research focus now is on enabling alloptical<br />
re-computation of the Internet checksum of IP packets. The OPA uses header information to<br />
enable independent routing of packets. As all optical technologies mature and are able to demonstrate<br />
superior system performance and cost effective design, they will be integrated into the hybrid-switch <strong>CIAN</strong><br />
III box. More advanced technologies will be considered future research beyond the initial <strong>CIAN</strong> 10 year<br />
timeline.<br />
c. <strong>CIAN</strong> box Network Modeling and Simulations<br />
In order to understand the performance of the <strong>CIAN</strong> Box in a large-scale network, we propose to model<br />
the aggregation network in an optical simulator. The ATOM simulator that will be used for this study has<br />
been developed at Alcatel-Lucent Bell Labs, a <strong>CIAN</strong> partner. The package includes detailed models of<br />
optical devices, such as optical amplifiers and ROADMs. Large networks with many WDM links can be<br />
analyzed in this way by combining the device models.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 70
The optical network simulator will be used to solve deployment issues of OPMs. Each deployed unit<br />
increases the accuracy with which the control plane can detect impairments. However, this increased<br />
accuracy comes at a cost of energy that the devices continuously consume. In such a scenario, the<br />
knowledge of the optimal number of OPM deployments, and their location is of great interest to telecom<br />
operators. Another proposed study is the evaluation of the optimal reconfiguration strategy in dynamic<br />
optical networks. Once the RWA algorithm has identified a new network setup, there may be many ways<br />
the new setup can be reached. Certain changes will cause more impairments than others. An interesting<br />
research venue is to design a predictive algorithm that can identify the sequence of changes that should<br />
be carried out in the network.<br />
Future Plans and Milestones<br />
We plan to demonstrate the aggregation experiment on the <strong>CIAN</strong> test-beds, with high-bandwidth and low<br />
latency applications such as, immersive gaming, high-definition 3D video, holographic 3D transmissions<br />
(telepresence), multi-view videos, and telemedicine. These demonstrations will also show the essential<br />
functionalities of the <strong>CIAN</strong> Box to co-optimize energy consumption while meeting the performance<br />
requirements of each application. Two large scale demonstrations are planned. The first demonstration<br />
will use the commodity Internet to link testbeds at UCSD, Arizona, and Columbia in order to provide a<br />
platform to study hybrid electrical and optical switching. The INCMS control system will communicate with<br />
experimental systems in each testbed to coordinate service aware switching. <strong>CIAN</strong> box II/III innovations<br />
will be combined for a demonstration of end to end 100Gb/s operation. While the key functionality can be<br />
shown laboratory demonstrations, our stretch goal for this demonstration is a prototype implementation in<br />
the field. Field prototyping of end to end dynamic functionality requires the use of a dark fiber on the scale<br />
of an aggregation network, which will be contingent on securing a network operator partner and dark fiber<br />
resources. The main benefit of the field implementation would be to provide a more advanced proof of<br />
concept on the way toward commercialization. Therefore, the IAB will be a key partner and driver for this<br />
effort. The main working group activities building toward each demonstration is shown in Figure 2.24.<br />
Figure 2.24. Main research activities building toward large scale demonstrations.<br />
a. <strong>Year</strong> 6-7 Goals<br />
We have already been very successful in implementing and demonstrating high-quality video streaming<br />
application on the first prototype version of the <strong>CIAN</strong> Box. Our next goals are to develop more integrated<br />
versions of the <strong>CIAN</strong> Box for enabling fast reconfigurable dynamic optical networking:<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 71
1. Dynamic optical<br />
network emulation<br />
test-bed with 4<br />
interconnected <strong>CIAN</strong><br />
Box prototypes for<br />
demonstration of<br />
reduced latency<br />
path reconfiguration<br />
time, as shown in<br />
Error! Reference<br />
source not found..<br />
Implement multiple<br />
applications<br />
including streaming<br />
high-bandwidth<br />
video to stress the<br />
low latency<br />
characteristics, as<br />
well as bursty realtime<br />
interactive<br />
video.<br />
2. Collaborate with<br />
Thrust II & III groups<br />
in <strong>CIAN</strong> to design<br />
1<br />
C<br />
2<br />
A<br />
λ being added<br />
and dropped<br />
D<br />
Initial<br />
lightpath<br />
E<br />
3 4<br />
B<br />
alternate<br />
routes<br />
Figure 2.25. <strong>CIAN</strong> Box reduces path reconfiguration latency in dynamic<br />
optical network. This example demonstrates the ability of <strong>CIAN</strong> box to<br />
enable intelligent reconfiguration, allowing faster convergence on viable<br />
path and path of least damage. When no OPM, assume AB as state 1.<br />
The reroute strategy may be AE => CDB => CDE. It configure network to<br />
state2 where CDE is only viable path for application. It would iterate<br />
through all other paths before converging on CDE. With <strong>CIAN</strong> box, the link<br />
OSNR will be known in real time. The system finds path with least<br />
degradation and path CDE will be chosen.<br />
and fabricate an integrated version of the OPM. This chip will be able to support up to 40Gbps data<br />
transmission. We aim to insert this chip into the <strong>CIAN</strong> Box and demonstrate a system level<br />
experiment using the chip.<br />
3. Develop a control plane for the <strong>CIAN</strong> Box that is standardized and can be integrated seamlessly with<br />
the TOAN test-bed and other test-beds throughout <strong>CIAN</strong>. Openflow is an option that is currently being<br />
explored.<br />
4. Connect together the TOAN test-bed at Arizona, dynamic optical network emulation satellite test-bed<br />
at Columbia, and the WG1 data center test-bed in San Diego. Demonstrate real application running<br />
across these test-beds to showcase the benefit of the <strong>CIAN</strong> Box in aggregating traffic from data<br />
centers onto a dynamically reconfigurable optical network.<br />
5. Develop an energy model and performance model for the <strong>CIAN</strong> Box and simulate its behavior in a<br />
large-scale network. The simulation will enable us to study how to support heterogeneous traffic<br />
requirements (such as through application-aware path reconfiguration) while co-optimizing energy<br />
consumption across the network. Further, we aim to use the simulation to test various predictive<br />
algorithms that can provide stability for a dynamic optical network.<br />
6. Complete the traffic analysis of shift-forward packet switching under varying loads to verify its<br />
feasibility.<br />
7. Explore the potential for multibit arithmetic functions to support digital packet processing.<br />
b. <strong>Year</strong>s 7-8 Goals<br />
1. Insertion of the WG2 identified projects (Thrust 2/Caltech, Berkeley) that will have low-cost, largeradix<br />
optical switches that can support optical multicast, broadcast, and wavelength selective<br />
add/drop capabilities. These switches are implemented on the III-V Photonic Integrated Circuits<br />
(PICs) and will replace the present SOA-based switches and off-the-shelf wavelength selective<br />
switches in the <strong>CIAN</strong> box.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 72
2. Incorporate multiple data rates aggregation (such as 10 Gb/s and 40 Gb/s) in the <strong>CIAN</strong> box, via<br />
different coded-modulation schemes (Thrust 1/UA).<br />
3. Insertion of hybrid EO modulators and switches (Thrust 3/UA) in both wavelength and packet version<br />
of the <strong>CIAN</strong> boxes.<br />
4. Large scale demonstration of applications running across the WG1 and WG2 test-beds. Each testbed<br />
will be populated with the <strong>CIAN</strong> silicon photonic devices, ranging from OPM monitors to<br />
wavelength selective switches. The experimental demonstration will continue to be aided with<br />
modeling and simulation effort to validate the capabilities of the <strong>CIAN</strong> Box in meeting heterogeneous<br />
application demand while co-optimizing energy expenditure in a large-scale network.<br />
5. Analyze the feasibility of an optical packet switch based on the integration of previous digital optical<br />
components, including its energy/capacity tradeoff vs. electronic switching.<br />
6. Explore opportunities to implement integrated versions of previous digital optical packet processing<br />
functions.<br />
c. <strong>Year</strong> 9-10 Goals<br />
During years 9 and 10 WG2 will build toward a large scale demonstration of an advanced <strong>CIAN</strong> box<br />
implementation deployed in a prototype network. The energy management and application-aware control<br />
software (EMACS) will be used to control the <strong>CIAN</strong> box systems and demonstrate efficient and rapid<br />
provisioning of wavelengths on-demand. Experiments on the photonic integrated circuit switching and<br />
monitoring devices will be used to determine the implementation for the demonstration. Since dynamic<br />
wavelength operation is not compatible with commercial equipment a field demonstration requires a dark<br />
fiber implementation. Thus, a field demonstration is contingent on securing dark fiber plant and hardware<br />
through partner organizations. Laboratory demonstrations will be used in the event that such facilities are<br />
not available The goal of this demonstration will be to provide a working field prototype built on photonic<br />
integrated components that provide the foundation to a commercialization roadmap for cost and energy<br />
efficient 100 Gb/s wavelength on-demand services in an aggregation network.<br />
Summary of WG2<br />
Accomplishment of WG2 goals will have a significant impact on the existing aggregation/access<br />
networks. Effective delivery of the high bandwidth sensitive applications is guaranteed using intelligent<br />
aggregation and physical layer data introspection.<br />
The <strong>CIAN</strong> mission is to combine the high data rate handling capabilities of existing core<br />
networks with the diversity of existing local and access networks to produce the technology to<br />
enable a transformative integrated high data rate access network that is both low-cost and<br />
energy-efficient. <strong>CIAN</strong> technologies are aimed to reduce the energy consumption in the<br />
aggregation network of the present and the future Internet.<br />
The broader impact of <strong>CIAN</strong> research over time will improve educational access (multi-media delivery, e-<br />
learning), enhance distribution of medical information (telemedicine), reduce the expense and<br />
externalities of unnecessary commuting (telecommuting / telepresence) substantially reducing our<br />
dependence on energy imports, increase the effectiveness of Internet and VoIP communication<br />
infrastructure, and enable new and varied entertainment and business opportunities.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 73
1) OPTICAL COMMUNICATION SYSTEMS AND NETWORKING<br />
(Alan E. Willner)<br />
Table 2: Estimated Budgets by Research Thrust and Cluster [1]<br />
Thrust<br />
Cluster<br />
Title<br />
Cluster<br />
Leader<br />
Project<br />
Name<br />
Organiz<br />
ational<br />
Sponsor<br />
Project<br />
Leader<br />
Investigat<br />
ors<br />
University<br />
and<br />
Department<br />
Current<br />
<strong>Year</strong><br />
Budget<br />
Estimated<br />
Next <strong>Year</strong><br />
Budget<br />
FIONA (The<br />
Flash I/O<br />
Network<br />
Appliance)<br />
(Center<br />
Controlled<br />
Project)<br />
NSF<br />
ERC<br />
Program<br />
Tom<br />
DeFanti<br />
$36,025<br />
C1-1 :<br />
MORDIA<br />
(Microseco<br />
nd Optical<br />
Research<br />
Datacenter<br />
Interconne<br />
ct<br />
Architectur<br />
e)<br />
George<br />
C.<br />
Papen<br />
MORDIA<br />
(Microsecon<br />
d Optical<br />
Research<br />
Datacenter<br />
Interconnect<br />
Architecture)<br />
(Center<br />
Controlled<br />
Project)<br />
A1 :<br />
Microsecond<br />
Optical<br />
Research<br />
Data Center<br />
Interconnect<br />
Architecture<br />
- Google<br />
(Associated<br />
Project -<br />
translational<br />
research)<br />
A2 : Cost-<br />
Effective,<br />
Ubiquitous<br />
Optical SNR<br />
Performance<br />
Monitoring<br />
to Enhance<br />
Stability and<br />
Reconfigura<br />
bility in<br />
Advanced,<br />
High-<br />
Capacity<br />
Google<br />
Networks -<br />
Google<br />
(Associated<br />
Project)<br />
NSF<br />
ERC<br />
Program<br />
Google<br />
Inc<br />
Google<br />
Inc<br />
George<br />
C.<br />
Papen<br />
George<br />
C.<br />
Papen<br />
Alan E.<br />
Willner<br />
Yeshaiahu<br />
Fainman<br />
John<br />
Forencich<br />
George<br />
Porter<br />
Richard<br />
Strong<br />
Yeshaiahu<br />
Fainman<br />
George<br />
Porter<br />
Tajana<br />
Rosing<br />
Amin M.<br />
Vahdat<br />
Alan E.<br />
Willner<br />
University of<br />
California<br />
San Diego<br />
University of<br />
California<br />
San Diego<br />
University of<br />
California<br />
San Diego<br />
University of<br />
California<br />
San Diego<br />
University of<br />
California<br />
San Diego<br />
University of<br />
California<br />
San Diego<br />
University of<br />
California<br />
San Diego<br />
University of<br />
California<br />
San Diego<br />
University of<br />
Southern<br />
California<br />
$112,050<br />
$150,000<br />
$75,000<br />
$385,404<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 74
A3 : Efficient<br />
Data-<br />
Intensive<br />
Scalable<br />
Computing -<br />
Cisco<br />
(Associated<br />
Project)<br />
Cisco<br />
George<br />
C.<br />
Papen<br />
George<br />
Porter<br />
University of<br />
California<br />
San Diego<br />
$12,329<br />
Subtotal for Cluster Within Thrust $385,404 $385,404<br />
Atiyah S.<br />
Ahsan<br />
Columbia<br />
University<br />
Berk<br />
Birand<br />
Columbia<br />
University<br />
C1-2 :<br />
Programm<br />
able<br />
Access<br />
Network<br />
Interface<br />
via Cross-<br />
Layer<br />
Communic<br />
ations<br />
Keren<br />
Bergma<br />
n<br />
Programma<br />
ble Access<br />
Network<br />
Interface via<br />
Cross-Layer<br />
Communicat<br />
ions<br />
(Center<br />
Controlled<br />
Project)<br />
NSF<br />
ERC<br />
Program<br />
Keren<br />
Bergma<br />
n<br />
Cathy<br />
Chen<br />
Michal<br />
Lipson<br />
Joseph D.<br />
Touch<br />
Michael<br />
Wang<br />
Alan E.<br />
Willner<br />
Gil<br />
Zussman<br />
Columbia<br />
University<br />
Cornell<br />
University<br />
University of<br />
Southern<br />
California<br />
Columbia<br />
University<br />
University of<br />
Southern<br />
California<br />
Columbia<br />
University<br />
$203,134<br />
$303,134<br />
A4 :<br />
Optically<br />
Interconnect<br />
ed Data<br />
Centers -<br />
APIC Inc<br />
(Associated<br />
Project)<br />
APIC Inc<br />
Keren<br />
Bergma<br />
n<br />
$100,000<br />
Subtotal for Cluster Within Thrust $303,134 $303,134<br />
C1-3 :<br />
Cross<br />
Layer<br />
Interaction<br />
s between<br />
Wireless,<br />
IP, and<br />
Optical<br />
Aggregatio<br />
n<br />
Networks<br />
Gil<br />
Zussma<br />
n<br />
Cross Layer<br />
Interactions<br />
between<br />
Wireless, IP,<br />
and Optical<br />
Aggregation<br />
Networks<br />
(Center<br />
Controlled<br />
Project)<br />
NSF<br />
ERC<br />
Program<br />
Gil<br />
Zussma<br />
n<br />
Keren<br />
Bergman<br />
Berk<br />
Birand<br />
Varun<br />
Gupta<br />
Jelena<br />
Marasevic<br />
Robert S.<br />
Margolie<br />
Howard<br />
Wang<br />
Columbia<br />
University<br />
Columbia<br />
University<br />
Columbia<br />
University<br />
Columbia<br />
University<br />
Columbia<br />
University<br />
Columbia<br />
University<br />
$69,750 $69,750<br />
Subtotal for Cluster Within Thrust $69,750 $69,750<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 75
C1-4 :<br />
Energy<br />
Efficiency<br />
Through<br />
Optical<br />
TDMA<br />
Networks<br />
Tajana<br />
Rosing<br />
Energy<br />
Efficiency in<br />
Optical<br />
Communicat<br />
ion<br />
Networks<br />
(Center<br />
Controlled<br />
Project -<br />
translational<br />
research)<br />
NSF<br />
ERC<br />
Program<br />
Tajana<br />
Rosing<br />
Richard<br />
Strong<br />
University of<br />
California<br />
San Diego<br />
$36,025 $36,025<br />
C1-5 :<br />
Real-time<br />
Optical<br />
Performan<br />
ce<br />
Monitoring<br />
and<br />
Broadband<br />
Data<br />
Generatio<br />
n and<br />
Aggregatio<br />
n for<br />
Integrated<br />
Optical<br />
Access<br />
Networks<br />
Alan E.<br />
Willner<br />
Real-time<br />
Optical<br />
Performance<br />
Monitoring<br />
and<br />
Broadband<br />
Data<br />
Generation<br />
and<br />
Aggregation<br />
for<br />
Integrated<br />
Optical<br />
Access<br />
Networks<br />
(Center<br />
Controlled<br />
Project)<br />
A5 :<br />
Flexible,<br />
Reconfigura<br />
ble Capacity<br />
Output of<br />
High-<br />
Performance<br />
Optical<br />
Transceivers<br />
Enabling<br />
Cost-<br />
Efficient,<br />
Scalable<br />
Network<br />
Architecture<br />
s - Cisco<br />
(Associated<br />
Project)<br />
NSF<br />
ERC<br />
Program<br />
Cisco<br />
Subtotal for Cluster Within Thrust $36,025 $36,025<br />
University of<br />
David<br />
California<br />
Borlaug<br />
Los Angeles<br />
Bahram<br />
Jalali<br />
Alan E.<br />
Willner<br />
Brandon<br />
W.<br />
Buckley<br />
Connie<br />
Chang-<br />
Hasnain<br />
Mohamma<br />
d Reza<br />
Chigarha<br />
Abram<br />
Ellison<br />
Yeshaiahu<br />
Fainman<br />
Cejo<br />
Lonappan<br />
Joseph D.<br />
Touch<br />
Alan E.<br />
Willner<br />
Morteza<br />
Ziyadi<br />
University of<br />
California<br />
Los Angeles<br />
University of<br />
California<br />
Berkeley<br />
University of<br />
Southern<br />
California<br />
University of<br />
California<br />
Los Angeles<br />
University of<br />
California<br />
San Diego<br />
University of<br />
California<br />
Los Angeles<br />
University of<br />
Southern<br />
California<br />
University of<br />
Southern<br />
California<br />
University of<br />
Southern<br />
California<br />
$183,709<br />
$75,000<br />
$258,709<br />
C1-6 :<br />
Intelligent<br />
Aggregatio<br />
n Network<br />
Control<br />
Jun He<br />
Intelligent<br />
Aggregation<br />
Network<br />
Control and<br />
Managemen<br />
NSF<br />
ERC<br />
Program<br />
Subtotal for Cluster Within Thrust $258,709 $258,709<br />
Jun He<br />
Ivan B.<br />
Djordjevic<br />
Massoud<br />
Karbassian<br />
University of<br />
Arizona<br />
University of<br />
Arizona<br />
$33,784 $33,784<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 76
and<br />
Managem<br />
ent<br />
System<br />
t System<br />
(Center<br />
Controlled<br />
Project)<br />
Weiyang<br />
Mo<br />
Robert A.<br />
Norwood<br />
Nasser<br />
Peyghamb<br />
arian<br />
Axel<br />
Scherer<br />
Ashley<br />
Sean<br />
University of<br />
Arizona<br />
University of<br />
Arizona<br />
University of<br />
Arizona<br />
California<br />
Institute of<br />
Technology<br />
University of<br />
Arizona<br />
John W.<br />
Wissinger<br />
University of<br />
Arizona<br />
Subtotal for Cluster Within Thrust $33,784 $33,784<br />
C1-7 :<br />
Advanced<br />
Optical<br />
Networks<br />
Adaptive<br />
Coded-<br />
Modulation<br />
Ivan B.<br />
Djordjevi<br />
c<br />
Advanced<br />
Optical<br />
Networks<br />
Adaptive<br />
Coded-<br />
Modulation<br />
(Center<br />
Controlled<br />
Project)<br />
A6 : Coded<br />
Modulation<br />
And Turbo<br />
Equalization<br />
Techniques<br />
Enabling<br />
Ultra-High<br />
speed Long-<br />
Haul Optical<br />
Transmissio<br />
n - NEC<br />
(Associated<br />
Project)<br />
I1 :<br />
International<br />
Collaboarion<br />
with<br />
Technische<br />
Universitat<br />
Darmstadt -<br />
Advanced<br />
Access<br />
Networks<br />
(Associated<br />
Project)<br />
NSF<br />
ERC<br />
Program<br />
NEC<br />
Institute<br />
of<br />
Microele<br />
ctronics,<br />
TU<br />
Darmsta<br />
dt<br />
Ivan B.<br />
Djordjev<br />
ic<br />
Ivan B.<br />
Djordjev<br />
ic<br />
Franko<br />
Kuepper<br />
s<br />
Milorad<br />
Cvijetic<br />
Stanley<br />
Johnson<br />
Yequn<br />
Zhang<br />
Ding Zou<br />
Milorad<br />
Cvijetic<br />
Ivan B.<br />
Djordjevic<br />
University of<br />
Arizona<br />
University of<br />
Arizona<br />
University of<br />
Arizona<br />
University of<br />
Arizona<br />
University of<br />
Arizona<br />
University of<br />
Arizona<br />
$144,263<br />
$45,000<br />
$28,080<br />
$217,343<br />
Subtotal for Cluster Within Thrust $217,343 $217,343<br />
Translational Research Projects Within Thrust $186,025<br />
Subtotal (all projects) for Thrust $1,304,149 $1,304,149<br />
Total Number of Undergraduate Students in Thrust 3<br />
Total Number of Graduate Students (M.S. and Ph.D.) in Thrust 18<br />
Total Number of Postdocs in Thrust 1<br />
Total Number of Personnel in Thrust 43<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 77
2) SUBSYSTEM INTEGRATION AND SILICON NANOPHOTONICS<br />
(Axel Scherer)<br />
Fabrication<br />
and<br />
Characteriza<br />
tion of<br />
Silicon<br />
Based<br />
Photonic<br />
Devices<br />
(Center<br />
Controlled<br />
Project)<br />
Heterogene<br />
ously<br />
Integrated<br />
Long<br />
Wavelength<br />
VCSEL-<br />
Based<br />
Transceivers<br />
(Center<br />
Controlled<br />
Project)<br />
NSF<br />
ERC<br />
Program<br />
NSF<br />
ERC<br />
Program<br />
Kalyan<br />
K. Das<br />
Demetri<br />
s<br />
Geddis<br />
Melvin<br />
DeBerry<br />
Li Jiang<br />
Quinton<br />
Kennedy<br />
Ronesha<br />
Rivers<br />
Tuskegee<br />
University<br />
Tuskegee<br />
University<br />
Tuskegee<br />
University<br />
Norfolk State<br />
University<br />
$83,200<br />
$94,084<br />
C2-1 : Silicon<br />
Photonics -<br />
Hetrogeneou<br />
s Interation<br />
Axel<br />
Scherer<br />
Heterogeno<br />
us Silicon<br />
Photonics<br />
(Center<br />
Controlled<br />
Project)<br />
NSF<br />
ERC<br />
Program<br />
Ming C.<br />
Wu<br />
Sangyoon<br />
Han<br />
Anthony<br />
M. Yeh<br />
University of<br />
California<br />
Berkeley<br />
University of<br />
California<br />
Berkeley<br />
$97,289<br />
$414,559<br />
Thermo-<br />
Optic<br />
Tunable<br />
Devices<br />
(Center<br />
Controlled<br />
Project)<br />
A7 :<br />
Integrated,<br />
Athermal,<br />
Low Power,<br />
High<br />
Bandwidth<br />
Silicon<br />
Photonic<br />
Transceiver<br />
Technologie<br />
s - Intel<br />
(Associated<br />
Project)<br />
NSF<br />
ERC<br />
Program<br />
Intel<br />
Axel<br />
Scherer<br />
Ming C.<br />
Wu<br />
William<br />
Fegadolli<br />
Andrew<br />
Homyk<br />
Se-Heon<br />
Kim<br />
California<br />
Institute of<br />
Technology<br />
California<br />
Institute of<br />
Technology<br />
California<br />
Institute of<br />
Technology<br />
$79,986<br />
$60,000<br />
Subtotal for Cluster Within Thrust $414,559 $414,559<br />
C2-2 : Silicon<br />
Photonics –<br />
Monolithic<br />
Integration<br />
Shayan<br />
Mookher<br />
jea<br />
Silicon<br />
Photonics -<br />
Multi-Mode<br />
Waveguide<br />
Interconnect<br />
s<br />
(Center<br />
Controlled<br />
Project)<br />
NSF<br />
ERC<br />
Program<br />
Michal<br />
Lipson<br />
Keren<br />
Bergman<br />
Carl<br />
Poitras<br />
Lawrence<br />
Tzuang<br />
Columbia<br />
University<br />
Cornell<br />
University<br />
Cornell<br />
University<br />
$52,032 $86,147<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 78
Silicon<br />
Photonics -<br />
Silicon<br />
Device And<br />
Process<br />
Developmen<br />
t<br />
(Center<br />
Controlled<br />
Project -<br />
translational<br />
research)<br />
NSF<br />
ERC<br />
Program<br />
Shayan<br />
Mookhe<br />
rjea<br />
Ryan<br />
Aguinaldo<br />
Connie<br />
Chang-<br />
Hasnain<br />
Yeshaiahu<br />
Fainman<br />
Michal<br />
Lipson<br />
Robert A.<br />
Norwood<br />
Axel<br />
Scherer<br />
Ming C.<br />
Wu<br />
University of<br />
California<br />
San Diego<br />
University of<br />
California<br />
Berkeley<br />
University of<br />
California<br />
San Diego<br />
Cornell<br />
University<br />
University of<br />
Arizona<br />
California<br />
Institute of<br />
Technology<br />
University of<br />
California<br />
Berkeley<br />
$34,115<br />
C2-3 : Silicon<br />
Photonics -<br />
Manufacturin<br />
g<br />
Shayan<br />
Mookher<br />
jea<br />
Silicon<br />
Photonics -<br />
Silicon<br />
Device And<br />
Process<br />
Developmen<br />
t<br />
(Center<br />
Controlled<br />
Project -<br />
translational<br />
research)<br />
NSF<br />
ERC<br />
Program<br />
Subtotal for Cluster Within Thrust $86,147 $86,147<br />
University of<br />
Ryan<br />
California<br />
Aguinaldo<br />
San Diego<br />
Shayan<br />
Mookherj<br />
ea<br />
Connie<br />
Chang-<br />
Hasnain<br />
Yeshaiah<br />
u<br />
Fainman<br />
Michal<br />
Lipson<br />
Robert A.<br />
Norwood<br />
Axel<br />
Scherer<br />
Ming C.<br />
Wu<br />
University of<br />
California<br />
Berkeley<br />
University of<br />
California<br />
San Diego<br />
Cornell<br />
University<br />
University of<br />
Arizona<br />
California<br />
Institute of<br />
Technology<br />
University of<br />
California<br />
Berkeley<br />
$34,115 $34,115<br />
C2-4 :<br />
Optical Spice<br />
Simulation<br />
and<br />
Validation<br />
Vitaliy<br />
Lomakin<br />
Fast<br />
Electromagn<br />
etic Solvers<br />
For<br />
Modeling<br />
Complex<br />
Photonic<br />
Structures<br />
(Center<br />
Controlled<br />
Project)<br />
A8 :<br />
Modeling of<br />
the Heat<br />
Assisted<br />
Magnetic<br />
Recording<br />
System -<br />
ASTC<br />
(Associated<br />
Project)<br />
NSF<br />
ERC<br />
Program<br />
Advance<br />
d<br />
Storage<br />
Technolo<br />
gy<br />
Consorti<br />
um<br />
Subtotal for Cluster Within Thrust $34,115 $34,115<br />
Vitaliy<br />
Lomakin<br />
Vitaliy<br />
Lomakin<br />
Ruinan<br />
Chang<br />
Sidi Fu<br />
Dor<br />
Gabay<br />
University of<br />
California<br />
San Diego<br />
University of<br />
California<br />
San Diego<br />
University of<br />
California<br />
San Diego<br />
$36,025<br />
$65,000<br />
$161,025<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 79
3) DEVICE PHYSICS AND FUNDAMENTALS<br />
(Connie Chang-Hasnain)<br />
A9 :<br />
Modeling of<br />
granular<br />
recording<br />
system -<br />
Western<br />
Digital<br />
(Associated<br />
Project)<br />
Western<br />
Digital<br />
Corporati<br />
on<br />
Vitaliy<br />
Lomakin<br />
$60,000<br />
Subtotal for Cluster Within Thrust $161,025 $161,025<br />
Translational Research Projects Within Thrust $68,230<br />
Subtotal (all projects) for Thrust $695,846 $695,846<br />
Total Number of Undergraduate Students in Thrust 3<br />
Total Number of Graduate Students (M.S. and Ph.D.) in Thrust 9<br />
Total Number of Postdocs in Thrust 1<br />
Total Number of Personnel in Thrust 26<br />
C3-1 :<br />
Efficient<br />
Tunable and<br />
Broad-Band<br />
Optical<br />
Sources<br />
Connie<br />
Chang-<br />
Hasnain<br />
Hybrid<br />
Optical Light<br />
Sources<br />
(Center<br />
Controlled<br />
Project -<br />
translational<br />
research)<br />
Integrated<br />
Light<br />
Sources and<br />
Switching<br />
(Center<br />
Controlled<br />
Project)<br />
Integrated<br />
Tunable<br />
High-<br />
Contrast-<br />
Grating<br />
(HCG)<br />
VCSEL<br />
(Center<br />
Controlled<br />
Project)<br />
NSF<br />
ERC<br />
Program<br />
NSF<br />
ERC<br />
Program<br />
NSF<br />
ERC<br />
Program<br />
Galina<br />
Khitrova<br />
Yeshaiahu<br />
Fainman<br />
Connie<br />
Chang-<br />
Hasnain<br />
Michael<br />
P. Gehl<br />
Ricky<br />
Gibson<br />
Jasmine<br />
s. Sears<br />
Sander<br />
Zandber<br />
gen<br />
Keren<br />
Bergma<br />
n<br />
Olesya<br />
Bondare<br />
nko<br />
Qing Gu<br />
George<br />
C.<br />
Papen<br />
Nasser<br />
Peygha<br />
mbarian<br />
Janelle<br />
Shane<br />
Moham<br />
mad<br />
Reza<br />
Chigarh<br />
a<br />
Yi Rao<br />
Alan E.<br />
Willner<br />
Morteza<br />
Ziyadi<br />
University of<br />
Arizona<br />
University of<br />
Arizona<br />
University of<br />
Arizona<br />
University of<br />
Arizona<br />
Columbia<br />
University<br />
University of<br />
California<br />
San Diego<br />
University of<br />
California<br />
San Diego<br />
University of<br />
California<br />
San Diego<br />
University of<br />
Arizona<br />
University of<br />
California<br />
San Diego<br />
University of<br />
Southern<br />
California<br />
University of<br />
California<br />
Berkeley<br />
University of<br />
Southern<br />
California<br />
University of<br />
Southern<br />
California<br />
$70,551<br />
$126,088<br />
$127,289<br />
$527,557<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 80
Ultra-Wide<br />
Reconfigura<br />
ble<br />
MultiCasting<br />
and Energy<br />
Efficient<br />
Transport<br />
(Center<br />
Controlled<br />
Project)<br />
NSF<br />
ERC<br />
Program<br />
Nikola Alic<br />
Vahid<br />
Ataie<br />
Stojan<br />
Radic<br />
University of<br />
California<br />
San Diego<br />
University of<br />
California<br />
San Diego<br />
$72,050<br />
A10 :<br />
Spectral<br />
Filter Using<br />
Metal-<br />
Dielectric<br />
Stacks -<br />
Innovega Inc<br />
(Associated<br />
Project)<br />
Innovega<br />
Inc<br />
Yeshaiahu<br />
Fainman<br />
$16,579<br />
A11 : Silicon<br />
Photonics<br />
For Chip<br />
Scale<br />
Interconnect<br />
s - Sun /<br />
Oracle<br />
(Associated<br />
Project)<br />
Oracle<br />
Sun<br />
Yeshaiahu<br />
Fainman<br />
$100,000<br />
I2 :<br />
International<br />
Collaboarion<br />
with KAIST<br />
(Associated<br />
Project)<br />
Korea<br />
Advance<br />
d<br />
Institute<br />
of<br />
Science<br />
and<br />
Technolo<br />
gy<br />
Yong Hee<br />
Lee<br />
Galina<br />
Khitrova<br />
University of<br />
Arizona<br />
$15,000<br />
Subtotal for Cluster Within Thrust $527,557 $527,557<br />
C3-2 :<br />
Modulators<br />
Switches and<br />
Photodetecto<br />
rs<br />
Robert<br />
A.<br />
Norwoo<br />
d<br />
Integrated<br />
Coherent<br />
Receivers<br />
(Center<br />
Controlled<br />
Project)<br />
Low Cost<br />
EO Polymer<br />
Modulators<br />
and<br />
Switches<br />
(Center<br />
Controlled<br />
Project)<br />
NSF<br />
ERC<br />
Program<br />
NSF<br />
ERC<br />
Program<br />
Thomas<br />
Koch<br />
Robert<br />
A.<br />
Norwoo<br />
d<br />
Mahmoud<br />
Fallahi<br />
Keren<br />
Bergman<br />
Hannah<br />
Grant<br />
Oscar D.<br />
Herrera<br />
Roland<br />
Himmelhu<br />
ber<br />
University of<br />
Arizona<br />
Columbia<br />
University<br />
University of<br />
Arizona<br />
University of<br />
Arizona<br />
University of<br />
Arizona<br />
$34,791<br />
$71,655<br />
$854,744<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 81
Seppo K.<br />
Honkanen<br />
Shayan<br />
Mookherje<br />
a<br />
George C.<br />
Papen<br />
Nasser<br />
Peyghamb<br />
arian<br />
George<br />
Porter<br />
Michael<br />
Wang<br />
University of<br />
Eastern<br />
Finland<br />
University of<br />
California<br />
San Diego<br />
University of<br />
California<br />
San Diego<br />
University of<br />
Arizona<br />
University of<br />
California<br />
San Diego<br />
Columbia<br />
University<br />
Reconfigura<br />
ble Optical<br />
Switch<br />
(Center<br />
Controlled<br />
Project -<br />
translational<br />
research)<br />
NSF<br />
ERC<br />
Program<br />
Pierre-<br />
Alexand<br />
re<br />
Blanche<br />
John W.<br />
Wissinger<br />
University of<br />
Arizona<br />
$33,003<br />
A12 : Sol-<br />
Gel<br />
Dielectrics -<br />
Intel<br />
(Associated<br />
Project)<br />
Intel<br />
Robert<br />
A.<br />
Norwoo<br />
d<br />
$166,360<br />
A13 :<br />
Electro-optic<br />
polymer<br />
characterizat<br />
ion using<br />
machzehnder<br />
interferometr<br />
y -<br />
Lightwave<br />
Logic<br />
(Associated<br />
Project)<br />
Lightwav<br />
e Logic<br />
Robert<br />
A.<br />
Norwoo<br />
d<br />
Mahmoud<br />
Fallahi<br />
University of<br />
Arizona<br />
$16,935<br />
A14 : T-<br />
Photonics<br />
ICorps<br />
Training -<br />
ICorps<br />
(Associated<br />
Project -<br />
translational<br />
research -<br />
NSF)<br />
NSF<br />
ICorps<br />
Mahmo<br />
ud<br />
Fallahi<br />
Thomas<br />
Koch<br />
Srinivas<br />
Sukumar<br />
University of<br />
Arizona<br />
University of<br />
California<br />
San Diego<br />
$50,000<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 82
4) Testbed<br />
(John W. Wissinger)<br />
A15 : Index<br />
Engineered<br />
Materials -<br />
Canon<br />
(Associated<br />
Project)<br />
Canon<br />
Nasser<br />
Peygha<br />
mbarian<br />
Robert A.<br />
Norwood<br />
University of<br />
Arizona<br />
$300,000<br />
A16 :<br />
Reconfigura<br />
ble Optical<br />
Switch<br />
(Associated<br />
Project -<br />
translational<br />
research)<br />
Tech<br />
Launch<br />
Arizona<br />
Pierre-<br />
Alexand<br />
re<br />
Blanche<br />
John W.<br />
Wissinger<br />
University of<br />
Arizona<br />
$40,000<br />
I3 :<br />
International<br />
Collaboratio<br />
n with<br />
Academy of<br />
Finland<br />
(Associated<br />
Project)<br />
Academ<br />
y of<br />
Finland<br />
Seppo<br />
K.<br />
Honkan<br />
en<br />
Lasse<br />
Karvonen<br />
Galina<br />
Khitrova<br />
Robert A.<br />
Norwood<br />
Nasser<br />
Peyghamb<br />
arian<br />
Antti<br />
Säynätjoki<br />
University of<br />
Eastern<br />
Finland<br />
University of<br />
Arizona<br />
University of<br />
Arizona<br />
University of<br />
Arizona<br />
University of<br />
Eastern<br />
Finland<br />
$182,000<br />
Subtotal for Cluster Within Thrust $894,744 $854,744<br />
Translational Research Projects Within Thrust $193,554<br />
Subtotal (all projects) for Thrust $1,422,301 $1,382,301<br />
Total Number of Undergraduate Students in Thrust 1<br />
Total Number of Graduate Students (M.S. and Ph.D.) in Thrust 15<br />
Total Number of Postdocs in Thrust 1<br />
Total Number of Personnel in Thrust 36<br />
Testbed<br />
John W.<br />
Wissing<br />
er<br />
Data Center<br />
Testbed<br />
(Center<br />
Controlled<br />
Project)<br />
NSF<br />
ERC<br />
Program<br />
George<br />
C.<br />
Papen<br />
Nathan M.<br />
Farrington<br />
George<br />
Porter<br />
University of<br />
California<br />
San Diego<br />
University of<br />
California<br />
San Diego<br />
$182,920 $677,937<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 83
Testbed for<br />
Optical<br />
Aggregation<br />
Networks<br />
(TOAN)<br />
(Center<br />
Controlled<br />
Project)<br />
NSF<br />
ERC<br />
Program<br />
John W.<br />
Wissing<br />
er<br />
Massoud<br />
Karbassia<br />
n<br />
University of<br />
Arizona<br />
$495,017<br />
Subtotal for Cluster Within Thrust $677,937 $677,937<br />
Translational Research Projects Within Thrust $0<br />
Subtotal (all projects) for Thrust $677,937 $677,937<br />
Total Number of Undergraduate Students in Thrust 0<br />
Total Number of Graduate Students (M.S. and Ph.D.) in Thrust 1<br />
Total Number of Postdocs in Thrust 1<br />
Total Number of Personnel in Thrust 5<br />
[1] - The sum of personnel for all thrusts may be greater than the total number of personnel associated with the ERC if personnel<br />
are associated with projects under multiple thrusts.<br />
Figure 2a. Research project investigators by disciplne<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 84
ERC’S RESEARCH PROGRAM (BY THRUST)<br />
THRUST 1: OPTICAL COMMUNICATION SYSTEMS AND NETWORKS<br />
Alan Willner, Thrust Lead (USC), Keren Bergman, Thrust Co-Lead (Columbia), Milorad Cvijetic, Ivan<br />
Djordjevic, Jun He, Massoud Karbassian (Arizona), Shaya Fainman, George Papen, George Porter,<br />
Tajana Rosing, Amin Vahdat (UCSD), Joseph Touch (USC), Gil Zussman (Columbia), Bahram Jalali<br />
(UCLA), Tom DeFanti (UCSD), Phil Papadopoulos (UCSD) and Jurgen Schulze (UCSD)<br />
The two focused system level research projects in thrust 1 are: (1) Cost effective and energy efficient high<br />
performance data center access networks and (2) Intelligent access aggregation network through cross<br />
layer optimization. The systems research in Thrust 1 drives center-wide activities on integrated<br />
subsystems and new device development. To provide the expected size and performance scaling for<br />
future scalable energy efficient data centers to minimize the cost and energy per switched bit, we need to<br />
develop an integrated solution that encompasses physical layer hardware, protocols and topologies.<br />
<strong>CIAN</strong>’s approach to develop the protocols and the necessary optical aggregation technology is based on<br />
a rate agnostic switch fabric which does not regenerate optical signals, to route the data flows in data<br />
centers.<br />
Optimizing the access/aggregation network’s energy efficiency and capabilities in order to support the<br />
unprecedented requirements of future networks is the main goal of <strong>CIAN</strong> working groups. To achieve this<br />
goal, we are considering several projects which are listed as follows;<br />
<br />
<br />
<br />
Project C1-1: Optical/Electrical Hybrid Switching for Datacenter Communications<br />
In this project, we study the hybrid optical/electrical networks for data centers and evaluate a<br />
prototype hybrid network for datacenters called MORDIA (Microsecond Optical Research Datacenter<br />
Interconnect Architecture). This hybrid network uses an optical circuit switched (OCS) architecture<br />
based on a wavelength-selective switch (WSS). System level research on the MORDIA network over<br />
the past year has included measurements of the performance of TCP and UDP networks, the systemlevel<br />
switching speed, and the performance of virtual machines using a hybrid network.<br />
Project C1-2: Programmable Access Network Interface Via Cross-Layer Communications<br />
The <strong>CIAN</strong> Box, a cross-layer enabled network element, is the intelligent and reconfigurable interface<br />
between the core and heterogeneous edge and is thus an integral part of the strategic research plan.<br />
In this project, we have developed a novel wavelength-striped packet WDM test-bed with multi terabit<br />
capacity and also demonstrated a multicast-capable fabric architecture that can seamlessly support<br />
unicasting, multicasting, and broadcasting. Moreover, we developed a cross-layer node that performs<br />
real time, packet-rate all optical signal to noise ratio (OSNR) monitoring and initiates different packet<br />
protection schemes based on priority. We also propose optical packet switch architecture with<br />
lookahead/conveyor shift-forward design and study different encodings (power, phase, and<br />
wavelength) and their impact on the feasibility of integrated digital optical component technologies<br />
such as an optical IP packet checksum.<br />
Project C1-3: Cross Layer Interactions between Wireless, IP, and Optical Aggregation<br />
Networks<br />
In this project, we develop real-time cross-layer algorithms that leverage the dynamic capabilities of<br />
the <strong>CIAN</strong> box to mitigate effects of optical-layer impairments while improving energy-efficiency in<br />
optical aggregation networks. Also, we develop scheduling, channel allocation, and routing algorithms<br />
that are essential in order to control the flow from the high capacity core network to the wireless<br />
access (mesh and cellular) networks via the envisioned high capacity optical backhaul networks. In<br />
order to evaluate the performance of optical-wireless algorithms, we have integrated a 4G wireless<br />
(WiMAX) testbed with the <strong>CIAN</strong> box testbed. We demonstrated the connection of the WiMAX base<br />
station to a wavelength-striped WDM optical link. We showed that simple routing decisions on the<br />
optical domain could be made from inputs from the wireless link quality.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 85
Project C1-4: Using Optical Networks in the Data Center For Energy Efficiency<br />
The goal of this work is to quantify the energy benefits of using optical communication infrastructure.<br />
To accomplish this, we could enable TCP/IP communication over MORDIA infrastructure so that we<br />
could run all of our experiments on an actual microsecond optical switch. We have shown that at high<br />
speeds, when we start to have 100G+ of traffic flowing in a datacenter due to the continuous growth<br />
in demand for data processing, the energy efficiency of optical circuit switching will be evident. Just<br />
by introducing an OCS like MORDIA at the core switch level, we could save the combined power<br />
consumption of the servers and network compared to an all electrical system.<br />
Project C1-5: Real-time Optical Performance Monitoring and Reconfigurable Data Aggregation<br />
for Integrated Optical Access Networks<br />
The two main goals of this project are to develop the optical performance monitoring (OPM) and<br />
broadband data aggregation and deaggregation by flexible data manipulation. Toward the first goal,<br />
based on our design for OPM, we have examined, provided design guidelines and demonstrated an<br />
OSNR performance monitor for 200 Gbit/s pol-muxed 16- quadrature amplitude modulation (QAM)<br />
and 100 Gbit/s polarization-multiplexed (pol-muxed) (PM) quadrature phase shift keying (QPSK) in<br />
both single and WDM data channels. Moreover, we designed and manufactured the digitizer and<br />
signal processing board for real-time acquisition and processing. This board will be used as the<br />
electronic back-end for the time stretch enhanced recording (TiSER) oscilloscope. Also, we<br />
demonstrated all-optical TiSER oscilloscope for direct optical capture and stretching of 40 Gbps data.<br />
On the other hand and in order to get the efficient aggregation network, we experimentally<br />
demonstrated a reconfigurable optical flexible multiplexer to generate arbitrary optical QAM in<br />
different configurations.<br />
Project C1-6: Intelligent Aggregation Network Control and Management System<br />
Nowadays, optical circuit networks and electronic packet networks start to converge under the new<br />
technologies, e.g. <strong>CIAN</strong> photonic devices and software defined networking (SDN). Converged<br />
networks provide more capabilities that current networks do not have but bring several important<br />
issues to be addressed, e.g. situational-aware routing. The ultimate goal of our project is to develop<br />
intelligent network control and management protocols to solve these issues in networks. We also<br />
delivered a beta version of cloud based control and management software system (CNCMS) and a<br />
local OpenFlow based network control system to TOAN testbed. Two new systems successfully<br />
demonstrated impairment-aware wavelength re-provisioning and protocol-aware multipath re-routing<br />
functions in TOAN testbed.<br />
Project C1-7: Advanced Adaptive Coded-Modulation<br />
To increase the information bandwidth and energy efficiency in optical aggregation network, we<br />
propose to combine OFDM and optical MIMO with coded modulation to enable multidimensional<br />
dynamic and elastic optical networking scheme and also to employ real time DSP (FPGA) for elastic<br />
multidimensional networking in data centres, and utilize direction detection scheme and VCELS for<br />
signal detection/generation as well as employment of adaptive LDPC-coded OFDM and optimum<br />
energy-efficient signal constellation design in combination with 4-D signalling.<br />
The following sections summarize the activities in these research directions and provide the<br />
accomplishments and future plans, as well. A summary of the related individual Thrust 1 projects is also<br />
provided.<br />
Project C1-1: Optical/Electrical Hybrid Switching for Datacenter Communications<br />
This project is studying hybrid optical/electrical networks for data centers. Data center applications have<br />
been observed to exhibit short-term correlated access patterns, with each server sending data to a small<br />
number of destinations at any given time. Hybrid networks take advantage of this correlation by<br />
delivering the bulk of those flows via circuit-switched optical links, bringing down the cost of the network<br />
while providing substantial increases in bandwidth scalability. We have experimentally evaluated a<br />
prototype hybrid network for datacenters called MORDIA (Microsecond Optical Research Datacenter<br />
Interconnect Architecture). This hybrid network uses an optical circuit switched (OCS) architecture based<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 86
on a wavelength-selective switch (WSS) that has a measured mean host-to-host network reconfiguration<br />
time of 11.5 µs. This work is important because it provides the system-level network drivers to inform<br />
Thrusts 2 and 3 of the required sub-system and component requirements. The same system is also used<br />
as a system-level testbed for the insertion of <strong>CIAN</strong> and industry devices.<br />
The system-level diagram of the MORDIA hybrid network is shown in Fig. C1-1-1.Each port of each host<br />
is connected to both a standard 10G Ethernet electrical packet switch (EPS) and a research OCS. The<br />
two networks are run in parallel producing a hybrid network.<br />
Figure C1-1-1. (a) Physical Structure of optical circuit switch (OCS). (b) Hardware components inside one station (c)<br />
Control plane for one station.<br />
The physical architecture of the OCS is shown in Fig. C1-1-1(a). It is a unidirectional ring of N<br />
wavelengths in a single fiber. Wavelengths are added or dropped from the OCS at six stations.<br />
At each station, each of the four hosts adds a wavelength to the ring as shown in in Fig. C1-1-1(b). Each<br />
station has a wavelength-selective switch with a custom interface (see Fig. C1-1-1(c)) to enable highspeed<br />
switching using a trigger signal. The input to each of the six WSS contains all 24 wavelengths. The<br />
WSS selects four of 24 wavelengths and routes one each to the four hosts at that station. Each of the six<br />
nodes in the ring can support four ports for a total of 24 ports. Each port of the connected device<br />
transmits on a fixed wavelength. These four wavelengths are combined in a wavelength multiplexer<br />
shown in Figure C1-1-1(b).<br />
System level research on the MORDIA<br />
network over the past year has included<br />
measurements of the performance of TCP<br />
and UDP networks, the system-level<br />
switching speed, and the performance of<br />
virtual machines using a hybrid network.<br />
Current work is focused on developing a<br />
control plane that can react on the 10<br />
microsecond time scale of the network.<br />
To augment <strong>CIAN</strong> by providing image<br />
sources and displays that can easily and<br />
meaningfully consume and measure usage of<br />
100s of gigabytes/sec, new project named as<br />
FIONA is defined. FIONA, the Flash I/O<br />
Network Appliance will provide superfast “clipon”<br />
network storage to serve megapixels and<br />
even gigapixels to interactive big data<br />
Figure C1-1-2. FIONA conceptual diagram—20Gbps<br />
to 80Gbps per box (using 40Gbps NICs)<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 87
screens, fast enough for low-latency collaboration (Fig. C1-1-2).FIONA will be integrated with the <strong>CIAN</strong><br />
efforts that use optical networks to go way beyond current cluster networking technology. FIONA is<br />
designed to have a maximum bandwidth of 3GBytes/s. We can easily conceive of engaging FIONA as it<br />
evolves, to explore the benefits of novel data center optical switching technology part of <strong>CIAN</strong>. While<br />
<strong>CIAN</strong> is focused on physical design of the optical switch and its integration into the classical data center<br />
infrastructure, as a use of FIONA, we will develop a software layer that will enable GPU-based systems to<br />
efficiently leverage the high bandwidth TDMA access available on an optical interconnect<br />
FIONA will have 18TB of rotating disk, 1.4TB of Flash Memory and will be connected to the Arista switch<br />
at 20-100Gb/s. This Arista switch also will feed each of the 10Gb/s-networked display nodes. FIONA will<br />
be built from optimized components of UCSD’s expandable visualization instrument on wheels, the<br />
OptIPortable, combined with flash memory, GPUs, and rotating storage, all tuned for big data. FIONA will<br />
be the first “box on wheels” designed to deliver both still and motion images to users at 50 times the<br />
resolution 60 times faster than now typically available. . Looking forward to future funding, we would like<br />
develop a HW/SW infrastructure that will enable us to monitor the types of data flows coming from the<br />
GPUs in FIONA and/or the network, and to provide an easy way to increase the TDMA slot availability<br />
when large amount of QoS-sensitive traffic is present, and to also scale down the number of slots<br />
allocated to systems that either do not need the bandwidth or are lower priority. With evolving models of<br />
FIONA, we will be able to run various workloads (both visualization/graphics, and general purpose<br />
applications accelerated on GPUs) on the system and quantify benefits in terms of both performance and<br />
energy efficiency relative to traditional systems.<br />
Project C1-2: Programmable Access Network Interface Via Cross-Layer Communications<br />
<strong>CIAN</strong> Box Architecture<br />
Intelligent Aggregation Network<br />
Optical Data in<br />
Higher layer protocols<br />
QoS,<br />
Energy<br />
Optical Data out<br />
Dynamic programmable optical switching<br />
Measurements<br />
Optical Performance Monitoring<br />
Campus Networks<br />
Triple Play<br />
for the<br />
Home<br />
Aggregation<br />
Networks<br />
100 G<br />
On Demand<br />
National and<br />
International<br />
Fiber-Optic<br />
Networks<br />
The “Core”<br />
Simulation & Modeling<br />
Experiment<br />
Wireless<br />
Business<br />
Services<br />
<strong>CIAN</strong> Box<br />
Energy<br />
Model<br />
Performance<br />
Model<br />
Network<br />
Scale<br />
Simulations<br />
Silicon<br />
photonic<br />
integration<br />
of <strong>CIAN</strong> Box<br />
Control plane<br />
development<br />
Validation of<br />
dynamic network<br />
functionalities<br />
Data Centers<br />
100 G<br />
100 G<br />
(a)<br />
(b)<br />
Figure C1-2-1. (a) <strong>CIAN</strong> Box architecture. (b) Intelligent aggregation network.<br />
The rapidly increasing number of users and the vast heterogeneity of applications, services, and<br />
emerging technologies have resulted in explosive demand for broadband access The <strong>CIAN</strong> Box, a crosslayer<br />
enabled network element, is the intelligent and reconfigurable interface between the core and<br />
heterogeneous edge nodes needed to make the network dynamic in order to achieve improved<br />
application performance and reduced energy consumption and is thus an integral part of the strategic<br />
research plan. The <strong>CIAN</strong> Box is a modular platform with bi-directional cross-layer signaling of three main<br />
sub-systems: (i) the data plane, (ii) the optical performance monitoring (OPM) plane and the (iii) control<br />
plane (CP). Monitoring all optically for OSNR, BER, PMD etc. (via the OPM plane) creates real-time<br />
awareness of the physical layer which can then be used in conjunction with higher layer network<br />
constraints (e.g. application, QoS and energy) by the control plane to make more informed routing/<br />
regeneration decisions. Our accomplishments can be summarized as follows:<br />
<br />
insertion of TiSER into the wavelength-striped test-bed to measure BER all optically along with crosslayer<br />
signaling<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 88
Σ<br />
<br />
<br />
<br />
development of a cross-layer node that performs real time, packet-rate all optical OSNR monitoring<br />
and initiates different packet protection schemes based on priority<br />
demonstration of a failure recovery scheme where traffic by-passes a failed node/link on-the-fly due<br />
to real-time signaling<br />
simulation of a network of <strong>CIAN</strong> Boxes to demonstrate that real-time monitoring of OSNR can reduce<br />
energy intensive regenerations by 60%<br />
In the current program, there are three<br />
configurations of the <strong>CIAN</strong> Box with<br />
increasingly lower latency; the ultimate goal is<br />
a Stage III <strong>CIAN</strong> Box, which is a true optical<br />
packet switch. Optical packet switching can<br />
provide increased capacity without requiring<br />
complex, expensive, and energy-inefficient<br />
OEO conversion. We continued research on<br />
packet aggregation and digital optical logic to<br />
enable a network of optically-packet switched<br />
<strong>CIAN</strong> boxes. We completed a detailed<br />
simulation analysis of a novel shift-based<br />
packet switch that can optically merge packet<br />
streams without requiring random-access<br />
storage. The analysis compared output<br />
throughput for 100% input-load bimodal<br />
Internet traffic. Aggregated (Pareto) traffic was<br />
most efficiently switched by random-access<br />
Figure C1-2-2. Comparison of optical-compatible packet<br />
switch approaches<br />
approaches, and shift-forward comes very close to that; shift-backwards performed significantly worse<br />
(Fig. C1-2-2). The analysis demonstrates that shift-forward can be reasonably efficient with as little as<br />
four packets’ worth of configurable delay.<br />
We also explored the potential for all-optical digital packet processing, such as would be required in such<br />
an all-optical router. This year we focused on the design of a phase-encoded half-adder. Phase encoding<br />
was selected as the simplest encoding that could support multiple bits per symbol, a requirement for very<br />
high speed transmission. The half-adder sums two input symbols, and outputs a modulus sum and carry.<br />
We are currently developing this design. Our optical packet switch architecture uses a shift-forward<br />
architecture to merge packets together by adjusting delays, much in the way that cars merge on a<br />
highway on-ramp (Fig. C1-2-3(a)).<br />
Lookahead<br />
Shift<br />
CTL<br />
Optical<br />
data<br />
Electronic<br />
control<br />
X X X X<br />
SDL<br />
(a)<br />
(b)<br />
Figure C1-2-3. (a) Shift-forward switch architecture (b) Carry generation for phase-encoded summation.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 89
Our half-adder extends a previous solution to modulus summation with a separate design for carry<br />
generation, as shown in Fig. C1-2-3(b). Our packet switch architecture demonstrates packet aggregation<br />
using shift-forward merging rather than random-access queuing, using a very small and practical amount<br />
of configurable delay. Our adder architecture demonstrates a critical arithmetic function in optics. Both<br />
technologies help suggest the feasibility of developing a useful all-optical packet switch – and packet<br />
aggregator - using currently-available technology.<br />
Project C1-3: Cross Layer Interactions between Wireless, IP, and Optical Aggregation Networks<br />
Backhauling traffic originating-from and destined-to wireless networks will pose major challenges to future<br />
aggregation networks. Moreover, the overall increase in traffic will result in increased energy consumption<br />
of the aggregation networks. The <strong>CIAN</strong> ERC focuses on developing various components and systems<br />
that will support the next generation of optical aggregation<br />
networks. This project complements these efforts by<br />
<br />
<br />
Developing real-time cross-layer algorithms that<br />
leverage the dynamic capabilities of the <strong>CIAN</strong> box to<br />
mitigate effects of optical-layer impairments while<br />
improving energy-efficiency in optical aggregation<br />
networks.<br />
Develop scheduling, channel allocation, and routing<br />
algorithms that are essential in order to control the<br />
flow from the high capacity core network to the<br />
wireless access (mesh and cellular) networks via the<br />
envisioned high capacity optical backhaul networks<br />
(see Figure C-1-3-1).<br />
The algorithms will address the issues discussed above<br />
and will focus on decreasing the energy consumption of<br />
Figure C1-3-1. Example scenario in which the<br />
wireless scheduling decisions need to be<br />
aggregation networks by utilizing the recent advances in<br />
made in conjunction with the optical network.<br />
the dynamic optical physical layer and cross layer<br />
optimization methods that were originally designed for wireless networks.<br />
By developing mechanisms that will enable wireless and optical convergence, we will enhance <strong>CIAN</strong>’s<br />
support for a major future source of backhaul traffic and will allow better utilization of the significant<br />
bandwidth increase at the edge/aggregation that will be enabled by other <strong>CIAN</strong> projects.<br />
A few selected accomplishments are listed below:<br />
<br />
<br />
<br />
Efficient operation of wireless access networks and switches operating at the aggregation networks<br />
requires using simple (and in some cases distributed) scheduling algorithms. In general, simple<br />
greedy algorithms are guaranteed to achieve only a fraction of the maximum possible throughput<br />
(e.g., 50% throughput in switches). We identified the specific network topologies that satisfy the<br />
conditions for which greedy maximal scheduling achieves 100% throughput and showed that the<br />
performance of these algorithms is very bad in certain specific topologies.<br />
In order to evaluate the performance of optical-wireless algorithms, we integrated a 4G wireless<br />
(WiMAX) testbed with the <strong>CIAN</strong> box testbed at Columbia University. 1 We demonstrated the<br />
connection of the WiMAX basestation to a wavelength-striped WDM optical link. We showed that<br />
simple routing decisions on the optical domain could be based on the wireless link quality.<br />
We formulated the problem of controlling the optical power on individual wavelengths by continuously<br />
making OPM measurements, and provided a simple algorithm for solving it in real-time. We<br />
demonstrated that this formulation can be used by higher-layer RWA algorithms to dynamically add<br />
1 The deployment of a WiMAX base-station on campus is part of a GENI project.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 90
and drop wavelengths. We evaluated our solution through extensive simulations, on a detailed optical<br />
network simulator, and in a testbed.<br />
We have also published 16 papers in journals and highly competitive conferences (including 1 best paper<br />
and 2 best paper candidates). Students received the IBM Ph.D. Fellowship and the NSF Graduate<br />
Research Fellowship. Also we have ongoing collaborations with ALU, IBM, and AT&T.<br />
Project C1-4: Using Optical Networks in the Data Center For Energy Efficiency<br />
The goal of this work is to quantify the energy benefits of using optical communication infrastructure.<br />
While other projects within WG1 investigate delivering network bandwidth at lower cost and energy<br />
requirements, the work described in this project specifically<br />
leverages available networking infrastructure to deliver lower<br />
energy and cost across the stack, from application down to<br />
individual switched bits. To accomplish this, we worked with<br />
the MORDIA team to enable TCP/IP communication over the<br />
MORDIA infrastructure so that we can run all of our<br />
experiments on an actual microsecond optical switch. We<br />
also developed interfaces that make much of the<br />
infrastructure controllable from the web at https://mordia.info.<br />
We added support to the Linux kernel to send Ethernet<br />
frames across 23 servers to the correct destinations when<br />
the circuits became available. Since circuits could switch in<br />
10μs, this<br />
Figure C1-4-2. The microsecond-scale<br />
circuit module module for the linux kernel.<br />
became a<br />
synchronization<br />
problem of how<br />
to get 23<br />
can set a shared memory location with information that details<br />
the duration of the circuit, the circuit number, and the status of<br />
the circuit. The qdisc can then check this shared state in less<br />
than a microsecond to avoid sending packets to an incorrect<br />
destination or along a circuit that is currently down. This system<br />
allows the qdisc to transmit packets in the correct virtual queue<br />
across a valid circuit in less than 3μs across 24 hosts. Our<br />
measurements show that we can utilize 94.3% of the available<br />
bandwidth (9.1Gbps) for circuits that last 100μs with 35μs<br />
reprogramming time at an average loss rate of 0.5%.<br />
We next setup an environment that would let us fully investigate<br />
virtualized services in a more data center like environment to<br />
measure the effect of the network on energy efficiency. We<br />
setup a system as shown in Figure C1-4-2 that uses<br />
Figure C1-4-1. The microsecond-scale<br />
circuit module module for the Linux kernel.<br />
servers to all transmit packets to specific destinations<br />
simultaneously in software. We developed a microsecondscale<br />
circuit module (MSCM) for the Linux kernel as shown<br />
in Figure C1-4-1. MSCM uses the Linux’s queuing discipline<br />
(qdisc) stack that sits just above the NIC driver to minimize<br />
the latency of packet transmission once a valid control signal<br />
is received. MSCM organizes packets into per destination<br />
virtual queues. To minimize latency, the qdisc shares<br />
memory with the rx softirq that processes synchronization<br />
frames sent to all hosts. This means that once a<br />
synchronization message is sent to all servers, the rx softirq<br />
Figure C1-4-3. The running time of 3<br />
NAS parallel benchmarks using either<br />
an EPS or OCS network only.<br />
Openvswitch (OVS). OVS is a software network switch used to support virtualized environments. It is<br />
attached to two NIC interfaces that can transmit at 10G across the electrical packet switch (EPS) or the<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 91
optical circuit switch (OCS) running the MSCM qdisc. The main advantage of OVS is that it permits finegrained<br />
control over whether a traffic flow uses the EPS or OCS enabling us to easily compare how an<br />
application reacts on the same hardware when using either an EPS or the MORDIA OCS or a<br />
combination.<br />
On top of each OVS, we run multiple KVM virtualized guests that support a number of services. We<br />
currently can run the following services across both the EPS and OCS: Hadoop, MapReduce, Mesos,<br />
Spark, Rubis, and NAS. Each OVS runs a protocol that maintains a reachability graph that determines<br />
how one KVM guest can communicate to any other KVM guest along the OCS. As KVM guests migrate,<br />
this protocol is able to dynamically update the mapping of circuits to guest reachability. Further, this<br />
system is compatible with DNS and DHCP to make guest naming and ip assignment occur behind the<br />
scenes from the system administrator. Figure C1-4-3 shows that for three NAS benchmarks, there was<br />
little difference in between using the EPS and OCS network. This means that even with its inherent<br />
limitations, the optical circuit switching infrastructure is able to deliver similar performance for some<br />
classes of applications while still consuming less power compared to electrical switching (approximately<br />
1W/port compared to 12.5W/port [2]). At higher speeds, when we start to have 100G+ of traffic flowing in<br />
a datacenter due to the continuous growth in demand for data processing, the energy efficiency of optical<br />
circuit switching will be even more evident.<br />
Figure C1-4-4. Server and network power<br />
consumption as a function of server<br />
utilization.<br />
We extended this analysis to determine a possible impact<br />
of integrating an OCS into a data center. We compared the<br />
power consumption of a data center that provides fullbisection<br />
bandwidth to 65,536 hosts each requiring 40 Gb/s<br />
of bandwidth via fully electronic network versus an<br />
electronic network with an optical core switch. Further, we<br />
considered what would happen as servers become more<br />
utilized in the data center, in which increasing the server’s<br />
draw of power. Just by introducing an OCS like MORDIA at<br />
the core switch level, the combined power consumption of<br />
the servers and network can be reduced by 19% compared<br />
to an all electrical system.<br />
Project C1-5: Real-time Optical Performance Monitoring and Reconfigurable Data Aggregation for<br />
Integrated Optical Access Networks<br />
From the development of the first modern data networks over five decades ago, diagnostic tools and<br />
measurement infrastructure has played a pivotal role in enabling researchers and engineers to build<br />
reliable networks. Whereas in an all-packet network tools like ‘ping’ and ‘traceroute’ are indispensible in<br />
determining where faults lie, such tools are not available as we convey <strong>CIAN</strong>’s vision of optical circuit<br />
switching in new network designs. To begin to provide these tools, we first consider a critical need,<br />
namely understanding the integrity and quality of the underlying optical signal underpinning the hybrid<br />
network.<br />
The two main goals of this project are to develop the optical performance monitoring (OPM) and<br />
broadband data aggregation and deaggregation by flexible data manipulation. Toward the first goal, we<br />
plan to concentrate our effort in investigating methods for monitoring optical signal-to-noise ratio (OSNR),<br />
polarization-mode dispersion (PMD), and chromatic dispersion (CD). These parameters are considered to<br />
be three main degrading effects for deploying high-speed transmission systems. The second goal<br />
focuses on investigating broadband data generation and manipulation of data granularity, which is in line<br />
with the scope of <strong>CIAN</strong>’s plan. We propose several approaches for data aggregation, deaggregation and<br />
manipulation which could enable flexible, reconfigurable and reliable network with lower cost and higher<br />
bandwidth.<br />
One of the most basic parameters to measure at various points around a network is the optical signal-tonoise<br />
ratio (OSNR). In addition to the main point that the monitor should specifically measure the signal<br />
and in-channel-band noise, there are several desirable features such as cost, accommodation of monitor<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 92
Measured OSNR (dB)<br />
with different modulation formats and accuracy and operating design parameters for an OSNR monitor<br />
that should be considered. On behalf of the previous design for optical performance monitoring for <strong>CIAN</strong><br />
and in collaboration with Google, we have studied the delay-line interferometer (DLI)-based OSNR<br />
monitoring (Fig. C1-5-1). The DLI-based OSNR monitor measures the optical power of the constructive<br />
and destructive output ports using simple low-speed photodiodes in order to determine the signal and<br />
noise powers. The OSNR monitor has been successfully tested on high speed and high spectral<br />
efficiency data signals such as polarization-multiplexed quadrature phase shift keying (QPSK) and 16-<br />
quadrature amplitude modulation (QAM) signals in a WDM grid, thus confirming the feasibility and<br />
practicality of the monitor for various formats and speed. We examine, provide design guidelines and<br />
demonstrate an OSNR performance monitor for 200 Gbit/s pol-muxed 16-QAM and 100 Gbit/s<br />
polarization-multiplexed (pol-muxed) QPSK in both single and WDM data channels. Our OSNR<br />
monitoring scheme is capable of achieving
Straight-Forward<br />
Modulation<br />
Reconfigurable<br />
Nonlinear<br />
Optical<br />
QAM<br />
Multiplexer &<br />
Wavelength<br />
Converter<br />
We have also designed and<br />
manufacture the digitizer and signal<br />
processing board for real-time<br />
acquisition and processing (Fig. C1-<br />
5-2(b)). This board will be used as<br />
the electronic back-end for the<br />
TiSER oscilloscope and will enable<br />
real-time OPM for dynamic<br />
response to signal impairments.<br />
Design and simulation of broadband<br />
super-continuum generation in<br />
silicon using seed pulses to Figure C1-5-3. Simulation results of seeded supercontinuum generation<br />
stimulate and stabilize broadening in silicon. (a) unseeded, no significant broadening, (b) seeded,<br />
significant improvement in broadening factor<br />
is another work that is<br />
accomplished (Fig. C1-5-3). This work paves the way towards a chip scale, energy efficient source of<br />
time-stretching pulses.<br />
Reconfigurable data aggregation gateways for integrated optical access networks is another goal in<br />
<strong>CIAN</strong>’s plan which could enable high spectral efficiency especially for multi-user networks. In those<br />
gateway nodes, we should be able to allocate the bandwidth in a flexible and reconfigurable manner to<br />
achieve efficient operation between the different layers of the network. In collaboration with Cisco<br />
systems, we were able to develop an optical flexible data aggregator which can allocate different<br />
modulation formats on different wavelengths. The conceptual block diagram of a flexible capacity data<br />
aggregator is shown in Fig. C1-5-4. One potential approach to achieving such a flexible aggregator could<br />
be the use of optical nonlinearities to perform reconfigurable multiplexing of different data channels, such<br />
that the capacity and data constellation can be reapportioned among different output wavelengths. The<br />
optical QAM multiplexer/wavelength converter utilizes a series of cascaded second order nonlinear wave<br />
mixings in periodically poled- lithium-niobate (PPLN) waveguides in conjunction with dispersion<br />
compensating fiber (DCF) to create the output. We experimentally demonstrate a reconfigurable optical<br />
flexible transmitter to generate arbitrary optical QAM. Optical 16-QAM and 64-QAM at 20 Gbaud is<br />
generated at error vector magnitude (EVM) 8.5% and 7.2% respectively. We demonstrated successful<br />
transmission through 80-km SMF-28 after compensating with 20-km DCF with negligible penalty.<br />
Electrical<br />
Time<br />
Signal #1<br />
Flexible Optical QAM multiplexer<br />
λ<br />
Output fiber with multiple<br />
wavelength channels<br />
λ<br />
Configuration<br />
#2<br />
Electrical<br />
Time<br />
Signal #6<br />
e.g., QPSK Signals<br />
Laser Bank<br />
Configuration<br />
#1<br />
64-QAM<br />
EVM=7.2%<br />
Configuration<br />
#3<br />
QPSK<br />
EVM=11%<br />
QPSK<br />
16-QAM<br />
EVM=8.5%<br />
QPSK<br />
QPSK<br />
Figure C1-5-4. Block diagram of an optical flexible aggregator with experimental results for 20 Gbaud signals with<br />
different modulation formats.<br />
Project C1-6: Intelligent Aggregation Network Control and Management System<br />
One of <strong>CIAN</strong>’s visions is the development of real-time networks that deliver on-demand bandwidth to<br />
applications. The level of dynamism that can be provided in any network is gated by the speed of the<br />
control plane. In this project, we tackle the challenge of delivering a <strong>CIAN</strong>-compatible control plane with<br />
sufficient dynamism to support data center applications.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 94
Today optical circuit networks and electronic packet networks are starting to converge under the new<br />
technologies, e.g. <strong>CIAN</strong> photonic devices and software defined networking (SDN). Converged networks<br />
provide more capabilities that current networks do not have but bring several important issues to be<br />
addressed, e.g. situational-aware routing. The ultimate goal of our project is to develop intelligent<br />
network control and management protocols to solve these issues in networks. New protocols will provide<br />
signaling control and connection management to support the newly developed algorithms, devices,<br />
coding and modulation schemes in current <strong>CIAN</strong> projects and provision the networking services, such as<br />
call admission control, path protection and restoration, in intelligent software-defined converged networks<br />
(SDCNs). The project will examine the interconnection and aggregation requirements of <strong>CIAN</strong> boxes and<br />
testbeds and the specifications of these new devices and technologies. In particular, the main objectives<br />
of the project are<br />
Provide a unified network<br />
element control drive interface<br />
for<br />
heterogeneous<br />
components and aggregation<br />
traffic in all layers<br />
Manage signaling and<br />
feedback for heterogeneous<br />
functionalities, such as<br />
situation-aware multipath<br />
routing, energy-efficient data<br />
aggregation, and adaptive Figure C1-6-1. Architecture of <strong>CIAN</strong>’s unified network control and<br />
coding & modulation<br />
management system (CNCMS).<br />
Implement an unified<br />
intelligent control and<br />
management system to satisfy interconnection and aggregation requirements for <strong>CIAN</strong> projects<br />
This project will satisfy the needs of <strong>CIAN</strong> and support emerging applications, such as high throughput<br />
network applications in e-science and delay sensitive network applications in finance and e-health. The<br />
project is directly aligned with <strong>CIAN</strong>’s strategic plan and will offer<br />
<br />
<br />
<br />
Protocol to support SDN, cross-layer optimization, optical performance monitoring, and adaptive<br />
coding & modulation for the projects in Thrust 1<br />
Unified network element control drive Interface for seamless integration of newly developed<br />
optical components and emerging technologies in <strong>CIAN</strong> Thrusts 2 and 3<br />
Cross-site connection provisioning and networking management between the <strong>CIAN</strong> testbeds<br />
To provide services for heterogeneous subsystems developed by <strong>CIAN</strong> projects, we are developing an<br />
intelligent network control and management system, which utilizes SDN technology and enables the<br />
interconnection and seamless integration of cross-layer optimization, heterogeneous devices, and<br />
subsystems in networks. In our work, we consider system complexity as well as many practical issues,<br />
such as scalability, delay and<br />
response time limitations,<br />
centralized versus decentralized<br />
control architecture, requirements<br />
to support heterogeneity in<br />
equipment sets, and the network<br />
resiliency. We have identified the<br />
functionalities to be supported and<br />
we are working toward an<br />
advanced architecture (shown in<br />
Figure C1-6-1), which can support<br />
sophisticated network operations<br />
such as low-latency network<br />
service re-provisioning, cross-site<br />
Figure C1-6-2. An illustration of distributed experiments cross <strong>CIAN</strong>’s<br />
test facilities using CNCMS.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 95
Adaptive OFDM<br />
connection setup, and situation-aware routing and wavelength assignment. Figure C1-6-2 illustrates that<br />
CNCMS spans <strong>CIAN</strong>’s distributed test facilities and support creation of cross-site experiments. For<br />
implementation, we are using the emerging technologies, such as OpenFlow. We modify and extend the<br />
protocol to contain situation-aware information (impairments, energy, CAPEX/OPEX cost, etc.) to achieve<br />
improvement in many aspects, such as QoS, latency, and energy efficiency. We are investigating the<br />
trade-offs between control overhead and efficiency of the network bandwidth and issues of large SDN<br />
management. In our research, key <strong>CIAN</strong> components PIs are involved to ensure the alignment with the<br />
component specifications and network means.<br />
In the previous year, we delivered a beta version of cloud based control and management software<br />
system (CNCMS) and a local OpenFlow based network control system to TOAN testbed. Two new<br />
systems successfully demonstrated impairment-aware wavelength re-provisioning and protocol-aware<br />
multipath re-routing functions in TOAN testbed. We accomplished the first proof-of-concept demo that<br />
shows a network consisting of electronic packet switched and optical circuit switched portions to be<br />
dynamically reconfigurable in a seamless fashion using OpenFlow and completed a joint experiment<br />
spanning <strong>CIAN</strong>’s distributed test facilities using cloud based CNCMS. Our work was accepted and will be<br />
presented in OFC 2013.<br />
Project C1-7: Advanced Adaptive Coded-Modulation<br />
In the future, advances in delivered bandwidth are going to come from two sources: (1) taking existing link<br />
speeds and developing parallel network links to increase aggregate bandwidth, and (2) increasing the<br />
speed of individual links. In fact, both of these trends can be adopted in an orthogonal manner. To meet<br />
the high-data rate vision of <strong>CIAN</strong>, it will not be enough to simply provide high aggregate bandwidth, but<br />
instead we must increase the speed of individual links, in part to avoid the high port count necessary to<br />
interconnect multiple, parallel network links. Project C1-7 focuses on increasing the rates of individual<br />
links in a manner that meets <strong>CIAN</strong>’s other goals of low-energy, low-cost devices.<br />
The increase in the information bandwidth and energy efficiency are the key tasks that should be<br />
addressed in both aggregation networks and data center networks. In addition, the fast and dynamic<br />
bandwidth switching and distribution should be enabled as well. We introduced the adaptive modulation<br />
concept to address issues mentioned above. If we are successful, the results will contribute to the WG1<br />
objectives in two ways: (i) improve the capacity of the links between ToR switches in data centers while<br />
decreasing the total energy consumption per data unit transferred, and dynamically adjusting the<br />
bandwidth to specific needs and (ii) increase the total link capacity connecting remote data centers, while<br />
elevating physical link impairments by advanced LDPC coding schemes. This solution can also be used<br />
for dynamic signal transmission between <strong>CIAN</strong> boxes in WG2.<br />
The adaptive coded-OFDM scheme to be used as<br />
a key enabling technology for data center<br />
connections and intelligent aggregation networks<br />
(IAN). This includes following types of<br />
connections: (i) intradata center (connection<br />
inside data centers, see Fig. C1-7-1), (ii) interdata<br />
connection between remote data centers (see Fig.<br />
C1-7-2), and (iii) IANs connection between <strong>CIAN</strong><br />
boxes (see Fig. C1-7-2). The key objectives of<br />
this research are: (1) increase the total capacity of<br />
the fiber links by using spectrally efficient OFDM<br />
modulation formats, (2) enable dynamic<br />
adjustment of the transmission bandwidth and the<br />
coding strength based on the traffic requirements<br />
and link conditions, (3) enable energy efficiency<br />
data unit, and (4) enable automatic and dynamic<br />
elastic network operation. There are two<br />
subprojects within C1-7 task:<br />
Serial/parallel<br />
Adaptive encoding<br />
IFFT+CP<br />
Parallel/serial<br />
DAC<br />
E/O<br />
Rack<br />
Ethernet<br />
Parallel/serial<br />
Adaptive decoding<br />
-CP+FFT<br />
Serial/parallel<br />
ADC<br />
Low pass Filter<br />
O/E<br />
MMF<br />
Parallel/serial<br />
Adaptive decoding<br />
-CP+FFT<br />
Serial/parallel<br />
ADC<br />
Low pass Filter<br />
O/E<br />
Adaptive OFDM for data centers<br />
Rack<br />
Ethernet<br />
Serial/parallel<br />
Adaptive encoding<br />
IFFT+CP<br />
Parallel/serial<br />
Figure C1-71. Adaptive coded-modulation for data<br />
centers.<br />
DAC<br />
E/O<br />
Adaptive OFDM<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 96
…<br />
…<br />
…<br />
…<br />
…<br />
…<br />
…<br />
A. Intra-data center connection (WG1- test bed):<br />
Our approach is to use the most efficient and optimized adaptive modulation schemes adjusted for intra<br />
data center connections (see Fig. C1-71). These signals will be also input to MORDIA switch (intradata<br />
center connections). Optimized (tunable) VCELS will be utilized in combination with direct detection of<br />
dynamically modulated OFDM signals.<br />
This technology will be implemented in real time through FPGA electronic circuits and will be directly<br />
connected to the input ports of the MORDIA switch.<br />
B. Inter-data center connection (WG1/WG2- test bed):<br />
We propose the application of optimized coded modulation schemes adjusted for inter data center<br />
connections. These signals will present the input to content switch/ load balancers for intra data center<br />
connection (see Fig. C1-72). The same scheme can also be applied to connections between <strong>CIAN</strong><br />
boxes. The optimized LDPC coding will be applied on the top of optimized signal constellation diagram to<br />
elevate the impacts of signal distortion due to physical layer impairments. Multidimensional modulation<br />
schemes with coherent detection will be utilized. The scheme based a feedback-based channel capacity<br />
increase through an optimum signal constellation design (FCC-OSCD) that we intend to implement. The<br />
iterative process is performed starting from a training sequence to achieving an optimum constellation<br />
based on minimum Euclidean distance. This procedure needs to be repeated for different OSNR values.<br />
The results of our investigation on<br />
<strong>CIAN</strong> project have been published in<br />
several invited chapters and invited<br />
conference papers, and more than<br />
20 journal publications and<br />
conference papers. In addition, some<br />
portion of <strong>CIAN</strong> related research<br />
accomplishments were included into<br />
the textbook that was published in<br />
January 2013, as well to the <strong>CIAN</strong><br />
related courses OPTI/ECE 430/530,<br />
ECE/OPTI 632 and OPTI 671.<br />
Insertions to the Testbed<br />
Adaptive<br />
LDPC encoder<br />
Adaptive<br />
LDPC encoder<br />
Adaptive<br />
LDPC encoder<br />
Adaptive<br />
LDPC encoder<br />
RF OFDM<br />
transmitter<br />
RF OFDM<br />
transmitter<br />
RF OFDM<br />
transmitter<br />
RF OFDM<br />
transmitter<br />
Content<br />
Switch#1<br />
I/Q<br />
Mod.<br />
I/Q<br />
Mod.<br />
I/Q<br />
Mod.<br />
I/Q<br />
Mod.<br />
Spectral multiplexing<br />
(all-optical OFDM Tx)<br />
Spectral band group<br />
Spectral multiplexing<br />
(all-optical OFDM Tx)<br />
Spectral band group<br />
Data center 1 Data center 2<br />
Content<br />
Switch#2<br />
Power<br />
combiner<br />
SMF<br />
OSNR<br />
monitoring<br />
Power<br />
splitter<br />
CO-OFDM<br />
receiver<br />
CO-OFDM<br />
receiver<br />
CO-OFDM<br />
receiver<br />
Channel<br />
estimation<br />
&<br />
compensation<br />
Adaptive<br />
LDPC decoder<br />
Adaptive<br />
LDPC decoder<br />
Adaptive<br />
LDPC decoder<br />
Figure C1-72. Adaptive software-defined coded-modulation for inter<br />
data centers communication and IANs.<br />
In this section, we summarize the insertions of different projects to the testbed as a list:<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
Providing a flexible testbed by the MORDIA project for the insertion of a variety of <strong>CIAN</strong>developed<br />
devices Within <strong>CIAN</strong>, the MORDIA project is related to Triton sort, which is a specific<br />
system-level research project focused on using the prototype network to study all-to-all<br />
communication patterns within a data center<br />
Insertion of TiSER into the wavelength-striped test-bed to measure BER all optically along with<br />
cross-layer signaling<br />
Experimental set-up for demonstration of the <strong>CIAN</strong> box functionalities in a sub-wavelength<br />
switched network<br />
Integration a, we integrated a 4G wireless (WiMAX) testbed with the <strong>CIAN</strong> box testbed in order to<br />
evaluate the performance of optical-wireless algorithms. We demonstrated the connection of the<br />
WiMAX base station to a wavelength-striped WDM optical link.<br />
Running different algorithms for latency and energy consumption on top of the MORDIA and<br />
SEED testbed.<br />
Evaluation of OSNR monitor at high bit rate and for WDM channels at Google lab as a testbed<br />
Insertion of a hybrid two-channel TiSER front-end into the USC test-bed to capture and generate<br />
constellation diagrams of 100 Gbps QPSK optical data<br />
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Demonstration of all-optical TiSER oscilloscope for direct optical capture and stretching of 40<br />
Gbps data in the UCSD test-bed<br />
Delivered a beta version of cloud based control and management software system (CNCMS) and<br />
a local OpenFlow based network control system to TOAN testbed.<br />
Employing real time DSP (FPGA) for elastic multidimensional networking in data centers<br />
Collaborations with Industry<br />
We have had several collaborations with industrial partners on different projects which could be<br />
summarized as;<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
AT&T; collaboration on designing predictive scheduling algorithms and developing joint wirelesswireline<br />
algorithms for network MIMO environments.<br />
Bell Laboratories, Alcatel-Lucent; collaboration on the energy-centric EDFA design and the<br />
hybrid switched <strong>CIAN</strong> box and also on an integrated network management layer<br />
Cisco systems; collaboration on designing and demonstration of reconfigurable optical<br />
aggregator and multiplexer<br />
Fujitsu; collaboration on providing the equipment to develop the <strong>CIAN</strong> testbed at University of<br />
Arizona and also collaboration on intelligent network control and management system<br />
Google; collaboration on designing the optical performance monitor and studying the impact of<br />
different parameters of the design in the field and also collaboration on energy consumption and<br />
latency study in the network<br />
HP; collaboration on energy consumption and latency study in the network<br />
Intel; collaboration on energy consumption and latency study in the network<br />
IBM; collaboration on Cross Layer Interactions between IP and Optical Aggregation Networks<br />
Oracle; collaboration on energy consumption and latency study in the network<br />
Thrust 1 Future Plans<br />
Project C1-1 plans:<br />
Develop a software layer that will enable GPU-based systems to efficiently leverage the high<br />
bandwidth TDMA access available on an optical interconnect.<br />
Build, test, measure performance of FIONA, replicate to test on 40Gb/s networks<br />
Replicate FIONA for larger GPU-hosting motherboard; start rdma strategies and plan 100Gb/s<br />
network tests<br />
Develop a HW/SW infrastructure that will enable us to monitor the types of data flows coming<br />
from the GPUs in FIONA and/or the network<br />
Project C1-2 plans:<br />
Develop a performance model and an energy model for the CLONE node<br />
Create a network-scale simulation tool<br />
Demonstration of energy-centric EDFA line card<br />
Insertion of silicon chip OSNR monitor in sub-wavelength switched <strong>CIAN</strong> box test-bed at<br />
Columbia<br />
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Network-scale simulation of CLONEs for quantifying performance and energy consumption<br />
metrics<br />
Hybrid switched <strong>CIAN</strong> box with OpenFlow control plane<br />
Market feasibility study of an OPM chip and control software [though a Innovation course at<br />
Columbia Business School<br />
Project C1-3 plans:<br />
Identify and study the interactions between our control policies and regeneration, a feature that<br />
will be supported the <strong>CIAN</strong> box.<br />
Develop real-time network adaptation algorithms<br />
Develop optical-wireless scheduling algorithms<br />
Develop joint regeneration-control formulation and algorithm<br />
Incorporate network adaptation algorithms into the TOAN testbed<br />
Implement network control and optical-wireless algorithms in TOAN<br />
Project C1-4 plans:<br />
Hybrid Network (EPS/OCS) Virtualized Aware Scheduler<br />
Mice Hunter Scheduler<br />
Modified TCP/IP stack to better support microsecond/nanosecond circuits<br />
Software design for microsecond/nanosecond circuits<br />
Project C1-5 plans:<br />
Collaboration with other groups on integrated OPM module using Si-Photonics.<br />
Implementation and testing of the integrated OPM modules at USC<br />
Real-time acquisition and processing of time-stretch data with custom designed logic<br />
implemented on FPGA<br />
Insertion of real-time TiSER into a <strong>CIAN</strong> test-bed<br />
Fully functioning prototype of real-time TiSER oscilloscope<br />
Implementation of multiplexing of multiple lower order QAMs to a higher order QAM and<br />
demultiplexing of a higher order QAM to multiple lower order of QAMs in order to potentially<br />
enable more flexible and high dynamic range optical networks<br />
Project C1-6 plans:<br />
Continue to work on optical control and management architectures to provide unified network<br />
element control drive interface for different planes in the three-layer cake<br />
Continue to implement OpenFlow-based control and management system for <strong>CIAN</strong> testbeds to<br />
enable cross-site interconnection, data aggregation, and traffic grooming<br />
Integrate new functionalities and support sophisticated network operations: optical tunable filter,<br />
situation-aware multipath routing and wavelength assignment, low-latency network service reprovisioning,<br />
and adaptive coding & modulation<br />
Deliver the software system to TOAN testbed and perform experiments in <strong>CIAN</strong>’s testbeds to<br />
test and evaluate our new control and management system<br />
Project C1-7 plans:<br />
Optimization of the signal constellation design (OSCD)<br />
Optimization of the adaptive coded-modulation schemes adjusted to intra and inter data center<br />
connections<br />
Design and optimization of the hybrid multidimensional coded modulation concept<br />
Implementation of adaptive OFDM into FPGA<br />
Implementation of software-defined Open Flow control on LDPC-coded OFDM<br />
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THRUST 2: SUBSYSTEM INTEGRATION AND SILICON NANOPHOTONICS<br />
Axel Scherer (Caltech), Thrust Lead, Ming Wu Thrust Co-Lead (Berkeley), Michal Lipson (Cornell),<br />
Shayan Mookherjea (UCSD), Kaylan Das (Tuskegee), Demetris Geddis (NSU), Vitaliy Lomkin (UCSD)<br />
Over the past year, Thrust 2 research has continued to focus on combining devices generated through<br />
Thrust 3 and building sub-systems that can be used in Thrust 1. In this effort, it is necessary to adapt<br />
devices for integration on platforms, such as silicon photonic chips, and this optimization process has<br />
been the center of activities. Two approaches were taken to this end, and can broadly be differentiated as<br />
heterogeneous integrated systems and all-silicon integrated systems. For example, germanium and III-V<br />
materials can be integrated with lithographically defined silicon waveguides to define detectors in hybrid<br />
electronic-photonic integrated circuits. Alternatively, silicon photonics can be further enabled with new<br />
device functions through microfabrication of the silicon into new devices. In Thrust 2, we have pursued<br />
both of these approaches, and have developed capabilities ranging from advanced modeling tools for<br />
predictive design of subsystems and evaluation of their performance to development of devices and their<br />
integration and characterization. To achieve this goal, we are considering several projects which are<br />
listed as follows:<br />
• Project C2-1. Silicon Photonics: Heterogeneous Integration<br />
Silicon photonics<br />
has evolved into a<br />
standard data<br />
communications<br />
approach, but the<br />
c-Ge<br />
cost of integration<br />
with efficient light<br />
sources and<br />
Silicon Oxide<br />
Si detectors as well<br />
as the power<br />
Figure C2.1. Integrated Ge detectors developed by Das (Tukegee) and Wu (UCB) for requirements for<br />
silicon photonic integrated O-E conversion systems.<br />
tuning<br />
wavelengths are<br />
still very high.<br />
Here, we propose to define new low-cost and highly energy-efficient devices that can be integrated into<br />
silicon photonic subsystems using heterogeneous integration.<br />
Heterogeneous integration efforts have focused on the addition of more materials to silicon to define a<br />
new set of hybrid optoelectronic devices. For examples, Wu’s (UC Berkeley) and Das (Tuskegee) show<br />
new designs and results for integrated germanium detectors (Figure C2.1) that are integrated with silicon<br />
photonics to add functions. Other examples of wafer-bonding III-V gain onto silicon for light sources have<br />
also been shown by Geddis (Norfolk State) and Scherer (Caltech). In general, heterogeneous integration<br />
of new materials focuses on developing robust post-processing approaches that enable the<br />
manufacturable integration and packaging of different materials systems onto silicon to enable robust<br />
hybrid systems at low cost.<br />
• Project C2-2. Silicon Photonics: Monolithic Integration<br />
Silicon photonics has evolved into a standard technique to create passive optical components and<br />
devices essential for realization of various optical functionalities needed by data center and access<br />
aggregation systems. So far these individual components have been developed and recently we started<br />
to integrate them into a photonic light wave circuit (PLC) with desired functionality. Specifically we<br />
developed new device concepts for on chip integration including modulators, switches and tunable filters.<br />
Many applications of silicon photonics do not require the addition of new materials systems for more<br />
efficient or flexible functions, or even completely novel functions such as optical isolation. New designs of<br />
silicon photonic devices can be tuned by using electronic control or feedback available through CMOS<br />
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silicon circuits. This capability is important in subsystems that can be more robust to environmental<br />
changes. In Thrust 2, we have added functionality by changing the geometry of the devices (Fainman,<br />
Wu and Lipson). New methods of creating additional bandwidth in silicon photonic systems through multimode<br />
communications by judiciously adding light into different modes, pioneered by Lipson, (Fig. C2.2)<br />
also increases the performance of traditional silicon photonic systems without the need of new materials.<br />
Figure C2.3. Optical Isolator (Lipson).<br />
Figure C2.2. Adding bandwidth through multi-mode control<br />
on-chip and waeguide design shown by Lipson.<br />
We also demonstrated an optical isolator (optical diode) on a silicon chip (Lipson). The isolator operation<br />
concept relies on photonic transition between two modes of a waveguide (see Fig. C2.3) that have<br />
different wavevectors for Even and Odd modes in an MMI slotted waveguide. The actual design requires<br />
that ½ of the slotted waveguide be modulated with electrical signal to create nonreciprocal behavior. For<br />
forward propagation, only Even mode are allowed, and for<br />
backward propagation, only Odd modes are allowed. Since the<br />
MMI output is coupled back to a single mode waveguide, the<br />
Even mode in the forward direction does not experience<br />
attenuation, whereas backward propagating Odd modes do not<br />
couple to the input waveguide, thus providing optical isolation.<br />
We also demonstrated low-power thermo-optical tuning and<br />
switching of silicon photonic filters (Scherer, Figure C2.4) that<br />
enable efficient and inexpensive WDM systems to be<br />
integrated with silicon waveguides. The local thermal control<br />
increases the tuning range to over 15nm within microseconds<br />
and at sub-mW power levels, as well as the ambient<br />
temperature range to create systems robust to thermal<br />
fluctuations and enables introspective measurement of data<br />
flow in individual WDM channels within silicon photonic<br />
subsystems.<br />
Figure C2.4. Tunable filter structure with<br />
a feed waveguide (top) and thermally<br />
tunable resonator (bottom) that are<br />
integrated with SOI.<br />
• Project C2-3: Si Photonic Manufacturing<br />
The goal of this project is to design and fabricate a system-on-a-chip which advances the functionality,<br />
speed and energy efficiency of wavelength switches and routers used in data-center environment optical<br />
networks by orders-of-magnitude. The technical goal of this project is that it is only possible to achieve<br />
the desired magnitude of improvements (e.g., 100x improvement in channel switching time from<br />
MORDIA’s current implementation) while remaining energy efficient and scalable by designing and<br />
fabricating multiple components on a common silicon photonics platform. This is in contrast to using<br />
COTS (conventional off-the-shelf) components for wavelength selective switching, filters, add/drop and<br />
variable optical attenuation, as is done today.<br />
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Changes to the Strategic Research Plan<br />
One of the key changes to the original strategic research plan revolves around the use of silicon<br />
foundries. Clearly, excellent capabilities of building opto-electronic systems based on silicon photonics<br />
have evolved in many companies (IBM, Luxtera, IMEC, LETI, Singapore and Intel), and some of these<br />
are now accessible through consolidators such as Opsis. Unfortunately, these services are either<br />
currently inadequate to offer the high resolution or flexibility needed to develop radically new silicon<br />
photonic subsystems. Over the past year, Thrust 2 researchers have developed a special strategic<br />
relationship with the silicon processing group at Sandia National Laboratories, who can offer high<br />
resolution, CMOS functionality, as well as the flexibility of including new materials and geometries.<br />
Researchers at <strong>CIAN</strong> and Sandia both benefit from this new relationship, as new ideas and access to<br />
advanced silicon fabrication enable both groups to explore the next generation photonic subsystems. To<br />
this end, Thrust 2 researchers have signed non-disclosure agreements and committed part of their<br />
funding to joint fabrication runs in the Sandia facility to fabricate our optoelectronic subsystems.<br />
Figure C2.5. Cross-section of the monolithic integration<br />
based on Sandia’s silicon photonic process (SPP)<br />
which is capable of integrating waveguides, resonators,<br />
interferometers, modulators, heaters, and detectors.<br />
This effort has been led by Mookherjea (UCSD),<br />
who has identified and coordinated the joint<br />
efforts between <strong>CIAN</strong> and Sandia. His group,<br />
which has in the past gained extensive<br />
experience in interacting with silicon foundries for<br />
building photonic components, has taken the<br />
initiative to propose a solution for the traditional<br />
problem of how to obtain reliable and uniform<br />
photonic devices that can be modified for specific<br />
applications within the university environment.<br />
The collaborative design effort is between the<br />
groups of seven faculty at UC San Diego,<br />
Caltech, UC Berkeley, Univ. of Arizona and<br />
Cornell (see Fig C2.5).<br />
At the first stage, we are designing components<br />
of a compact opto-electronic chip, which will be<br />
designed collaboratively by <strong>CIAN</strong> researchers, in<br />
consultation with Sandia scientists, and fabricated through a cost-effective, yet versatile, multi-project<br />
wafer (MPW) at Sandia. The chip will achieve, with orders-of-magnitude cost, energy and space savings,<br />
as well as scaling from microsecond to nanosecond speeds, the wavelength-division multiplexing<br />
add/drop functionality that is today achieved by bulk and conventional optical components, e.g., in<br />
MORDIA.<br />
Our design of the chip is based on the requirements that emerge from extended discussions with the<br />
Working Group, e.g., the wavelength-selective switch (WSS) hardware that comprises the circuit-switched<br />
24-lambda, 6-node ring shown in the left side of Fig. C2.6 is being integrated into a chip-scale<br />
architecture, with several building blocks as shown in the right side of Fig. C2.6, including tunable VCSEL<br />
array with wavelength multiplexer, energy-efficient multi-channel optical add/drop multiplexer (MC-<br />
ROADM), fixed-wavelength OADM, tunable Fabry-Perot filter with wide spectral coverage etc. Some of<br />
these components have been fabricated using specialized processes in individual university laboratories<br />
and are making a transition to becoming compatible with a multi-project wafer (MPW) process for cost<br />
efficiencies, scale-up, and accessibility by a wider user base; others are original designs for components<br />
that achieve novel functionality and orders-of-magnitude improvement in performance.<br />
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Figure C2.6. Existing circuit-switched ring architecture using conventional off-the-shelf components (LEFT). Via the<br />
<strong>CIAN</strong>-Sandia collaboration, <strong>CIAN</strong> researchers from seven universities are designing for chip-scale integration of the<br />
various components and sub-systems (RIGHT) of the wavelength-division multiplexing node, by participating in a<br />
multi-project wafer (MPW) fabrication effort hosted by Sandia.<br />
The proposed work is an important component of Design for Manufacturability and is of lasting interest<br />
and benefit to both <strong>CIAN</strong> and Sandia. Sandia has already designed, fabricated and tested some of the<br />
elemental building blocks of silicon photonic circuits e.g., waveguides, couplers, microring resonators,<br />
microdisks, Mach-Zehnder modulators, and Germanium photodetectors. In this collaboration, <strong>CIAN</strong><br />
utilizes a 3.5 mm x 24 mm section of the reticle as a multi-project wafer (MPW) run to reduce costs<br />
(Figure C2.7). <strong>CIAN</strong> participants will use Sandia’s MPW capabilities and the building blocks to create<br />
several functional sub-systems as shown in Figure C2.7, as an intermediate step to the creation of a<br />
more complex, multi-functional WSS-on-a-chip.<br />
As one part of the process, we will help establish a design rules manual, which will be populated with<br />
measured data to create a more realistic component models for optoelectronic device simulators. In the<br />
broader context, the <strong>CIAN</strong>-Sandia collaboration strategy utilizes MPWs to benefit from the scalability and<br />
high yield of the microelectronics industry, but also provides a valuable point of reference and yields a<br />
large quantity of useful data on actual devices to inform future, widely-available fabrication cycles. Higherlevel<br />
design-to-layout tools, a primitive version of layout-versus-schematic (LVS) for photonic circuits, are<br />
being used, refined and extended as part of the design strategy, and may benefit future MPW<br />
participation with a broader user base. Our own efforts in this direction will aim for a higher degree of<br />
integration of the different building blocksinto sub-systems at the chip scale, but the dense integration of<br />
micro-photonic components eventually allows for complete energy-efficient, high-bandwidth systems<br />
within a compact footprint. Our collaborative effort also serves as a catalyst for larger e.g., national-scale<br />
investment in silicon foundry fabrication to meet the needs of the lightwave components community.<br />
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Figure C2.7. The silicon photonic chip will be fabricated using a versatile and adaptable multi-project wafer (MPW)<br />
effort hosted by Sandia, where <strong>CIAN</strong> researchers are able to share costs and utilize a segment of the reticle<br />
adequate in size to realize several different types of key components needed for the composite device shown in Fig.<br />
7. Several of the fundamental building blocks of these devices will be obtained from a library of elemental<br />
components being assembled by Sandia researchers with input from <strong>CIAN</strong>.<br />
• Project C2-4: Optical Spice Simulation and Validation<br />
The project is on the development of a high-performance computational framework for the<br />
electromagnetic modeling of complex nanophotonic circuits. The goals include the development of<br />
integral equation solvers for electromagnetic fields in complex structures with multiple photonic<br />
components using massively parallel computing systems as well as testing and validating the developed<br />
solvers by modeling a selected set of photonics devices. In addition, the developed techniques are being<br />
developed to include unique material properties of the underlying devices. These tools will have an<br />
impact on PLC design similar to that of the SPICE in electronics.<br />
The electromagnetic modeling of optical circuits requires the ability to account for the complexity of the<br />
geometry and material<br />
compositions of the<br />
circuit components<br />
and coupling between<br />
them (see example in<br />
Fig. C2.8). This<br />
complexity makes the<br />
development of<br />
efficient modeling<br />
methods challenging.<br />
(a) (b) (c)<br />
In this work we<br />
address<br />
this Figure C2.8. Examples of structures and simulations: (a) an array of coupled disks for<br />
complexity by the which the speed was 20x faster than for the commercial COMSOL solver; (b)<br />
complex nano-laser with gain, dielectrica, and plasmonic materials; (c) scattering<br />
development of<br />
from an infinite arrays of complex unit cells; the simulation is ~20x faster than that in<br />
efficient integral<br />
COMSOL, and we can find all complex solutions, including wavenumbers (not<br />
equation based<br />
possible in most commercial solvers.)<br />
electromagnetic<br />
simulators that scale favorably with the computational system size and the development of parallelization<br />
techniques to enable the use of emerging massively parallel hardware architectures, such as Graphics<br />
Processing Units (GPUs).<br />
Highlights of significant progress during the past year<br />
The goal of the work performed within Thrust 2 during the past year has been to connect needs from<br />
Thrust 1 with technological solutions provided by Thrust 3. Energy efficiency, speed, manufacturability<br />
and cost guide the selection of these subsystem designs, and, in general, lead to increased integration of<br />
more functions onto the same chip. Over the past year, Thrust 2 research groups have demonstrated<br />
most of the components necessary for integrating functions on such systems, including light generation,<br />
multiplexing/demultiplexing, modulation, isolation and detection – all on the unified platform of silicon<br />
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photonics that can, in principle, offer the CMOS “intelligence” for optoelectronic control. Moreover, we<br />
have demonstrated methods for coupling light in lateral as well as vertical directions within silicon-oninsulator<br />
geometries (Figure C2.9). This evolution of device development now leads to the opportunity for<br />
Thrust II and Thrust III scientists to offer solutions to meet the needs of Thrust I goals.<br />
In general, these devices fall into the categories of advanced silicon photonic systems and<br />
heterogeneous integrated systems on silicon. Our member groups have focused on building the individual<br />
components of such integrated<br />
systems, and much effort has been<br />
placed on characterizing the<br />
performance of these components<br />
within the <strong>CIAN</strong> testbeds at the<br />
University of Arizona and UCSD. As a<br />
natural next step in the evolution of<br />
Thrust 2, we intend to integrate our<br />
components into subsystems that will<br />
enable Thrust 1 requirements.<br />
However, universities are traditionally<br />
limited in taking this important<br />
conversion from demonstration of<br />
individual devices for publication of<br />
journal articles into reliable fabrication<br />
of useful systems that can are available<br />
to Thrust 1 customers. For this reason,<br />
we have recently established a<br />
collaboration with Sandia National<br />
Laboratories, who have built a silicon<br />
foundry for silicon photonic device<br />
fabrication. Our devices will be<br />
designed, integrated and fabricated in<br />
this foundry, with the goal of enabling<br />
“<strong>CIAN</strong> chips” which will serve the<br />
purpose of Thrust 1 needs by<br />
consolidating technologies developed<br />
by the individual Thrust 3 and Thrust 2<br />
groups over the past years. This<br />
interaction is enabled through a nondisclosure<br />
agreements that open the<br />
opportunities for sharing information<br />
between Sandia and <strong>CIAN</strong> member<br />
groups.<br />
Bragg Grating<br />
F-P Cavity<br />
Bragg Grating<br />
Of course, it is necessary to carefully consider whether and when to add different materials to a silicon<br />
photonic process and how to interfaced electronic CMOS with silicon photonic chips. Usually, III-V<br />
materials must be integrated into such a fabrication process towards the end by wafer-bonding in order to<br />
avoid contamination and other complications associated with conventional thermal and packaging<br />
procedures. These difficult decisions can only successfully be made in collaboration with a foundry<br />
partner, and our <strong>CIAN</strong>/Sandia collaboration will enable the evolution of our sub-systems by trading off<br />
performance and manufacturability, reproducibility and reliability. A key requirement for this goal is the<br />
development of additional complexity in higher level predictive models. To enable this goal, Lomakin’s<br />
group at UCSD and other <strong>CIAN</strong> thrust II groups are developing higher-level optical modeling software that<br />
can establish an optics equivalent of the SPICE models that so successfully are used in electronics<br />
design.<br />
HCG<br />
SOI Waveguide<br />
Figure C2.9. Grating types for coupling and filtering light that<br />
have been evaluated by <strong>CIAN</strong> researchers: Top shows the<br />
corrugated waveguide by Fainman and Wu, middle shows the<br />
nanobeam resonator (Scherer) and bottom shows the HCG by<br />
Chang-Hasnain and Wu.<br />
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Thrust 2 Future Plans<br />
Near Term 2013-2014<br />
The Fabry-Perot add/drop and other on-chip devices are due back from the foundry in December<br />
2013, at which time we will begin measurement. This device has the potential to impact WG1 by<br />
providing the requested 4-channel block switching functionality. The VIP coupler has been<br />
fabricated and is ready to begin testing. The Poly-Si sub-µs MEMS switch has also been<br />
fabricated, and will benefit from lower insertion loss compared with our previously reported<br />
cantilever-based sub-µs MEMS switch. The promising Ge growth results will be expanded into an<br />
integrated NanoPD on silicon photonics<br />
The first transceiver is expected to be completed by March 2013. This device will consist of<br />
silicon MSM PD fabricated onto a SOI substrate with a heterogeneously integrated VCSEL. An<br />
InP based transceiver is expected to be completed by December 2013<br />
Completing the design, fabrication and preliminary testing phases of several photonic devices<br />
using the Sandia platform via their multi-project wafer collaborative opportunity. Examples of<br />
devices include: wavelength selective switch, filter, multiplexer / de-multiplexer and optical<br />
performance monitor. One of the main risks associated with these plans is the timeliness of the<br />
foundry’s delivery of fabricated chips, which is currently anticipated to occur around December<br />
2013. In addition to the chips themselves, we will have helped establish a design rules procedure<br />
for manufacturability of silicon photonics components in a CMOS-compatible foundry, and a<br />
cross-cutting design approach that involves frequent discussions between device designers and<br />
systems architects to jointly address the desirable performance specifications<br />
Completion of chip design for fabrication by Sandia<br />
Delivery of chips from Sandia for testing<br />
Preliminary demonstration of component performance<br />
Completion of 3D ITO-MSM/VCSEL Transceiver<br />
Operational characterization of devices inserted into systems<br />
Complete implementing and testing the new quadrilateral surface integral equation solver. Test<br />
multi-GPU BAIM implemented using Open-MP for shared memory systems<br />
Complete implementing and testing the new hexahedral volume integral equation solve. Work on<br />
the development of a multi-GPU NGIM. Test the code by analyzing several coupled photonic<br />
systems<br />
Couple the surface and volume solvers with BAIM and NGIM to enable the programs to run on<br />
multi-GPU systems. Use these programs to analyze the photonic structures, including validation<br />
(in collaboration with experimental groups).<br />
Longer Term 2014-2018<br />
Completion of the 2 nd and 3 rd generation Sandia Chips<br />
Completion of 3D VCSEL-based InP transceiver<br />
Design, development, fabrication, testing and FPGA module integration of multi-channel WDM<br />
photonic chip with >30 dB crosstalk<br />
Optimize the developed codes to run on clusters of CPUs and GPUs. Test the obtained results<br />
versus experimental data. Continue creating the data base of devices<br />
A mask set will be designed for the fabrication of Ge/SOI HJFET, alongside process steps will<br />
developed. It is expected that by early 2014, a batch of devices will be available for<br />
electrical/optical characterization<br />
We will design, fabricate and measure the device, and measure the bandwidth with an actual<br />
data signal. Bergman’s group at Columbia will measure the device for bandwidth and data<br />
transmission and develop the FPGA-module for the control interface<br />
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Insertions to the Testbed<br />
In this section, we summarize the insertions of different projects to the testbed:<br />
2013 Insertions<br />
Insertion of Fabry-Perot add/drop into WG1 Data center testbed and WG2 Aggregation Network<br />
testbed<br />
Design and develop the device simulations, CAD, and verify FPGA module WSS at WG1 testbed<br />
2014-2018 Insertions<br />
Insertion of 2 nd and 3 rd generation Sandia chips into TOAN and Data Center testbeds<br />
Insertion of 3D ITO-MSM/VCSEL Transceiver<br />
Insert integrated sub-µs switching and wavelength add/drop<br />
Insert integrated sub-system with switching, detection<br />
Insertion of 3D VCSEL-based InP transceiver in TOAN Testbed<br />
Fully integrated VCSEL-based InP transceiver on Si Circuitry tested in both testbeds<br />
Insertion into Data Center testbed the FPGA multi-channel WDM photonic chip module with >30<br />
dB crosstalk<br />
THRUST 3: DEVICE PHYSICS AND FUNDAMENTALS<br />
Connie-Chang Hasnain, Thrust Co-Lead (Berkeley), Robert A. Norwood, Thrust Co-Lead (Arizona),<br />
Mahmoud Fallahi, Galina Khitrova, Thomas Koch, Nasser Peyghambarian (Arizona), Shaya Fainman,<br />
Stojan Radic (UCSD), Axel Scherer (Cal Tech), Pierre Blanch (Arizona).<br />
Thrust 3 investigates new optical device technologies in direct support of the two working groups of <strong>CIAN</strong>,<br />
Data Centers (WG 1) and Heterogeneous Aggregation (WG2). This thrust also conducts studies in the<br />
physics of nanophotonics to support fundamentally new concepts for future device technologies. In<br />
addition, Thrust 3 drives the study of aspects of novel devices that will lead to performance, costeffectiveness<br />
and levels of integration that are currently not achievable. A central hypothesis of Thrust<br />
3’s work has been that the development of integrable device functionalities will ultimately lead to more<br />
effective, efficient and novel subsystems at the Thrust 2 level, which will impact the critical systems<br />
metrics defined by WG1, WG2, and Thrust 1 as a whole. In a major development, during <strong>Year</strong> 5 a<br />
significant fraction of the Center’s PI’s in Thrust 2 and Thrust 3 worked together to support the creation of<br />
a collaboration with Sandia National Laboratories, for the major purpose of establishing a common<br />
integration platform, with its base in silicon but capable of incorporating silicon nitride, germanium, and<br />
bonded III-V elements and additional diverse optical and electrical materials. This collaboration has led to<br />
the creation of five initial designs that will be explored within the Sandia fabrication facility and design<br />
space, comprising a major effort during the latter part of <strong>Year</strong> 5 and throughout <strong>Year</strong> 6. The potential<br />
impact of this collaboration is significant as <strong>CIAN</strong> Thrust 2 and Thrust 3 research groups will learn a<br />
common set of tools and processes for fabricating state-of-the-art silicon photonics based devices; both<br />
Sandia and <strong>CIAN</strong> look to this relationship to result in multiple new device demonstrations, and indeed one<br />
can envision a long term relationship where <strong>CIAN</strong> provides the interface between industry and Sandia, a<br />
possible legacy role of the Center.<br />
The research in Thrust 3 comprises two major device areas: (1) sources, (2) optical switches, modulators<br />
and tunable filters. In C3-1 Sources, a truly unique and high impact efforts are underway to address the<br />
needs of emerging high bit rate applications in optical communications. Each project is complementary<br />
and supports the <strong>CIAN</strong> strategic plan for WG1 and/or WG2 as well as Thrust 1 as a whole. The work in<br />
semiconductor nanolasers, while quite fundamental, addresses the long-term needs of data centers for<br />
ultracompact and efficient semiconductor laser transmitters; in <strong>Year</strong> 5 this work has been extended to<br />
comprise fully integrated III-V/Si sources that include low-loss, compact coupling between the Iii-V laser<br />
and Si photonic circuit. In <strong>Year</strong> 5 10Gbps direct modulated HCG VCSELs signals have been propagated<br />
over 80km in SMF-28, with an essentially open-eye being recovered with 20km of DCF, highlighting the<br />
broad potential of this robust technology, which has been spun out of <strong>CIAN</strong> into the startup company<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 107
Bandwidth 10; a novel scheme for multiplexing a HCG VCSEL array has been developed for the Sandia<br />
chip effort. All-optical multicasting supports <strong>CIAN</strong>’s strategic plan by enabling a seamless interface<br />
between wireless access technology and the high-capacity optical layer; in <strong>Year</strong> 5, the platform was<br />
extended to include phase sensitive multicasting and was inserted into the data center testbed at UCSD.<br />
The research interfaces with UA efforts on unconventional and hybrid coding and novel integrated<br />
devices. Work is also in progress to bring this technology from a fiber-based embodiment onto a silicon<br />
or silicon nitride chip, bringing it into consonance with most of <strong>CIAN</strong>’s other Thrust 3 efforts.<br />
Project C3-2 Modulators and Switches, has top-level goals to develop compact (mm 2 footprints), low<br />
power consumption (1V operation), high bandwidth (100GHz), low insertion loss hybrid devices for<br />
ultrafast switching and modulation. These goals have been continually refined to target specific <strong>CIAN</strong><br />
working group objectives. During the Center’s existence EO polymer modulator devices have progressed<br />
from stand-alone devices based on low index sol-gel waveguides to the current work, which targets<br />
intimately integrating EO polymers with silicon both for modulation and switching. The project directly<br />
supports the <strong>CIAN</strong> Box project (WG2 – C1-2) and the MORDIA project (WG1 – C1-1) by working to<br />
provide both high speed, low port count switches for C1-2/C1-1 and high speed modulators (100Gbps) for<br />
C1-1. In <strong>Year</strong> 5 EO polymer/silicon phase modulators were demonstrated for the first time in a geometry<br />
that is directly integrable with the general silicon photonics platform; a significant advance in coplanar EO<br />
polymer poling was needed for this to come fruition. In <strong>Year</strong> 5 this work was augmented by two seed<br />
projects, Reconfigurable Optical Switch (P. Blanche/N. Peyghambarian) has made rapid progress toward<br />
demonstrating the realization of a non-blocking, high port count, low insertion loss, wavelength agile<br />
switch, based upon using Texas Instruments DLP technology to create gratings that can properly direct<br />
light between input and output fibers. In another seed project, M. Fallahi and T. Koch are exploring the<br />
integration of III-V MSM detectors with silicon photonics, with the goal of making an ultracompact receiver<br />
for coherent communications. The following narrative describes projects in the two main topic areas.<br />
• Project C3-1: Sources<br />
C3-1a Tunable High Contrast Grating VCSELs<br />
Tunable lasers are important for DWDM systems with applications including sparing, hot backup, and<br />
fixed wavelength laser replacement for inventory reduction. They give network designers another degree<br />
of freedom with which to drive down overall system cost; such considerations are especially important for<br />
fiber-to-the-home and data center applications. Vertical-cavity surface-emitting lasers (VCSELs) are key<br />
sources for optical communications, currently deployed in local area networks using multimode optical<br />
fibers at 850 nm. The advantages of VCSELs include wafer-scale testing, low-cost packaging, and the<br />
ease of fabrication into arrays. Tunable 1550nm VCSELs are desirable because of their continuous<br />
tuning characteristics, making them promising for low cost manufacturing and low power consumption.<br />
Although many structures have been reported with wide, continuous tuning [1], largely due to their<br />
fabrication complexity, low-cost tunable 1550nm VCSELs have not yet been available on the market. In<br />
particular, tunable VCSELs can enable several innovative and efficient embodiments of the MORDIA data<br />
center optical networking architecture.<br />
The high contrast<br />
grating approach<br />
(HCG) [2, 3, 4] that<br />
has been developed<br />
within <strong>CIAN</strong> (Figure<br />
C3.1.1(a)) results in a<br />
MEMs structure that<br />
can be scaled down<br />
by a factor of 10 in<br />
each of the three<br />
spatial dimensions.<br />
The small movable<br />
mass,
egular DBR-based MEMS, leads to a 33-fold increase in the mechanical resonance frequency and hence<br />
the speed. With proper design to increase the spring constant, the tuning speed can be increased to the<br />
GHz range (~1nsec), leading to an ultra-fast (microsecond), continuously tunable VCSEL (30nm) that will<br />
enable dramatic flexibility in switch network in data center. This design uses an HCG that can be grown<br />
in a single epitaxial step with a low cost, proton-implantation current aperture, which had previously not<br />
been explored on InP. The device achieves a peak power output of >2.5mW and operates up to 80ºC; it<br />
also exhibits single mode lasing with more than 45dB side band suppression ratio.<br />
During <strong>Year</strong> 5, a cw HCG VCSEL has been achieved with continuous wavelength tuning over 26.3nm<br />
near 1550nm. Figure C3.1.1(b) shows the wavelength tuning versus actuation voltage. The tuning range<br />
can be further improved by red shifting the cavity wavelength in the epi-structure. Theoretically, more<br />
than C-band (32nm) tuning range is achievable.<br />
To test the feasibility of<br />
the tunable HCG<br />
VCSEL as a light<br />
source for optical<br />
communications, the<br />
HCG VCSEL was<br />
initially used as an<br />
external modulator<br />
together with cw<br />
tunable devices. A 40<br />
Gbps PRBS of length<br />
2 31 -1 was used to drive<br />
an IQ modulator to<br />
generate a differentialphase-shift-keyed<br />
(DPSK) signal. Fiber<br />
transmission<br />
performance of the<br />
signal was assessed<br />
(a)<br />
Figure C3.1.2. (a) 18 Bit-error-rate (BER) measurements and eye diagrams for<br />
transmission of VCSEL 40-Gbps DPSK B2B (blue line) and through a dispersion<br />
compensated 100 km SMF link with direct detection (red line).; (b) 10 Gb/s eye<br />
diagram at 20 o C, error free operation (BER < 10 -9 ) over 100km SMF.<br />
using bit-error-rate (BER) measurements before (back-to-back-B2B) and after transmission through a<br />
dispersion-compensated 100-km fiber link. As can be seen Figure C3.1.2(a) there was a negligible power<br />
penalty after fiber transmission of the VCSEL signal. Direct modulation on these novel HCG devices has<br />
also been successfully demonstrated. Figure C3.1.2 shows the eye diagram of large signal modulation at<br />
room temperature. Open eye, error free (BER < 10 -9 ), 10 Gb/s direction modulation over 100 km fiber has<br />
been achieved.<br />
Industry Partner: Bandwidth 10, Berkeley VCSEL spin-out.<br />
C3-1b. Si Photonic Integrated Semiconductor Lasers and Amplifiers (S. Fainman, UCSD)<br />
Lasers and laser amplifiers are indispensable sources of narrowband emission and are indispensible for<br />
telecommunications and data center applications. A number of novel semiconductor nanolasers have<br />
been developed within <strong>CIAN</strong> as reported last year [5]. However, it is critical to develop methods for<br />
integrating III-V lasers and amplifiers with the silicon photonic platform in order to achieve higher-level<br />
functionalities. Indeed, one of the goals of WG1 and WG2 is to create integrated N×N non-blocking<br />
switching node modules for future cross-layer access and circuit switching for Data Centers. The main<br />
component of this model is a semiconductor optical amplifier (SOA), serving for signal loss compensation<br />
on the multiple switching nodes (i.e. a lossless switch). Thus, Si compatible SOA switching components<br />
with high gain, low noise figure, fast switching speeds (< ns) are needed, that also support the<br />
wavelength spectrum in/beyond C & L bands. The integrated functionality is a key to realizing the vision<br />
of a “PC-equivalent” of the access/aggregation node, as optical bench top demonstrations do not suffice.<br />
(b)<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 109
A promising new approach to this integration has now been demonstrated. Low temperature plasma<br />
assisted wafer bonding is used [6] to integrate III-V gain materials with silicon, since it is direct III-V/Si<br />
bonding, as well as low temperature (
demonstrated classical – phase insensitive multicast [8,9]; and (b) its newly developed phase sensitive<br />
counterpart [10].<br />
While first order multicasting is<br />
easily obtained in any mixing<br />
process by means of idler<br />
generation, the real challenge in<br />
this respect represents the ability to<br />
efficiently project signals to 10’s and<br />
even 100’s of replicas. Our group<br />
has previously, developed a novel<br />
class of efficient multicasters –<br />
namely the shock wave multicasters<br />
that combine four wave mixing and<br />
dispersion tailoring to achieve<br />
efficient wideband signal replication<br />
Figure C3.1.4. Parametric multicasting principle a) phase insensitive<br />
replications and (b) phase sensitive replication.<br />
that has emerged as the dominant architecture. Furthermore, the concept has recently been applied to<br />
phase sensitive mixers and has yielded more than 50 replicas, approaching quantum limited performance<br />
in practice. In particular in <strong>Year</strong> 5 the first phase-sensitive multicasting spanning 200 nm continuous<br />
bandwidth has been demonstrated, yielding unprecedented signal replication in terms of copy purity as<br />
well as OSNR. Note that while all of these demonstrations have been performed in highly nonlinear fiber,<br />
work is underway to move to integrated platform, with candidate materials such as silicon nitride being<br />
explored.<br />
C3.1d. Hybrid Nanolasers (G. Khitrova, UA)<br />
The natural radiative lifetimes of III-V semiconductors are on<br />
the order of 1ns. For high-speed devices, faster carrier<br />
recombination times are essential. The Purcell effect, a<br />
fundamental relationship between mode volume and<br />
spontaneous emission, can be used to shorten these lifetimes.<br />
The Purcell factor is proportional to the quality factor divided<br />
by the mode volume, so by using metallic cavities one can<br />
achieve a volume three orders of magnitude below the<br />
smallest volume possible in a dielectric cavity ((λ/n) 3 ). By<br />
coupling these cavities to semiconductor quantum wells one<br />
can observe enhanced recombination times; Carrier dynamics<br />
of ~ 15ps have already been seen in metallic split-ring<br />
resonators.<br />
State-of-the-art InGaAs/AlInAs quantum wells (suitable for<br />
1.55μm) are being grown 3-5nm from the surface by students<br />
at the University of Arizona using MBE on InP substrates (Fig.<br />
C3.1.5). Samples are characterized by photoluminescence<br />
Figure C3.1.5. Diagram of a near-surface<br />
QW (13.8nm InGaAs layer) beneath Ag<br />
nanorod.<br />
and AFM before metallic cavity fabrication. The quantum wells are sent to Karlsruhe Institute of<br />
Technology, where metallic nanorods are fabricated by University of Arizona students in collaboration<br />
with students from the group of Professor Martin Wegener. This is an advanced nanofabrication process,<br />
involving the patterning of PMMA resist using electron-beam lithography, silver evaporation, and finally a<br />
chemical procedure to lift-off remaining PMMA and unwanted silver, resulting in an array of metallic<br />
nanorods on top of our quantum well. By controlling the length and position of individual nanorods, the<br />
collective response of the metallic cavities can be tailored over a broad range including the<br />
telecommunication bands. Coupling between split-ring resonators and quantum wells has been observed<br />
by performing time-resolved pump-probe experiments. Good agreement was found between a simple<br />
coupled harmonic oscillator theory and experiment. A decrease in response time from 600ps to 15ps<br />
was observed and attributed to Purcell enhancement. By moving from split-ring resonators to metallic<br />
nanorods, further enhancement is expected due to the larger dipole moment.<br />
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• Project C3-2: Low-Cost, Low-Voltage EO Modulators and Switches<br />
C3-2a. Electro-optic Polymer/Si Hybrid Devices (R. A. Norwood and N. Peyghambarian, UA)<br />
The top-level goals of the project are to develop compact (mm 2 footprints), low power consumption (1V<br />
operation), high bandwidth (100Gbps), low insertion loss<br />
EO polymer/silicon hybrid devices for ultrafast switching<br />
and modulation. These goals have been continually<br />
refined to target specific <strong>CIAN</strong> WG objectives. The primary<br />
goal is the development of the EO polymer/silicon<br />
nanowire platform, a key aspect of which is the<br />
demonstration of efficient EO polymer poling in a coplanar<br />
geometry on silicon photonic circuitry; Figure C3.2.1 shows<br />
the first device results from this platform, an EO polymer/Si<br />
nanowire phase modulator, which met the milestone<br />
performance goals. We have identified important device<br />
needs in WG1 and WG2, as well as at our industrial<br />
sponsor, Intel. We have initiated work on polymer/silicon<br />
microring hybrid optical add-drop multiplexers (OADM), in<br />
collaboration with Sandia National Laboratories where we<br />
have a student (Adam Jones) interning.<br />
The primary focus of the effort is on 40-100Gbps EO<br />
polymer/silicon hybrid phase EO modulator and switches<br />
with small footprint. Future data center photonics networks<br />
Figure C3.2.1. EO polymer/Si<br />
nanowire phase modulator<br />
performance; modulator schematic<br />
(inset)<br />
and short reach terrestrial networks will make use of 40Gbps to 100Gbps serial data rates, and EO<br />
polymer technology is well-suited to this purpose. The phase modulator shown in the inset of Figure 6 is<br />
the first EO polymer/silicon device that has been efficiently poled (Figure C3.2.2), setting the stage for<br />
more complex<br />
modulator devices<br />
(i.e. Mach-Zehnders,<br />
DQPSK modulators)<br />
as well as directional<br />
coupler based<br />
switches, and<br />
microring resonator<br />
based devices, such<br />
as ultra-compact<br />
Figure C3.2.2. Poling current profile for microstrip (left) and coplanar (right)<br />
modulators and<br />
geometries; similar shape evidences high efficiency coplanar poling; inset<br />
tunable filters.<br />
shows unique poling fixture<br />
The primary approach<br />
of this project is to exploit the exceptional properties of EO polymers [11-14], which have been shown to<br />
have exceptionally high EO coefficients (~ 200pm/V), together with the emerging ability to create complex<br />
photonic circuits in SI that can be fabricated by state-of-the-art foundries. In this way we can combine our<br />
core competencies in optical polymer device design, processing, waveguide fabrication and<br />
characterization with the unparalleled success of lithography in Si to create devices having a unique<br />
combination of high performance, small footprint, and low cost. In <strong>Year</strong> 5 the Si nanowire approach to<br />
develop designs that optimize the figure of merit, to arrive at Si waveguides with optimal dimensions;<br />
devices were made from the optimized Si chips for the first time. At the same time, major progress was<br />
made in efficient coplanar poling of EO polymers, a key processing step to realize efficient integration of<br />
EO polymers with Si.<br />
A key new capability that was demonstrated in <strong>Year</strong> 5 was multiphoton imaging (MPI) microscope, an inhouse<br />
designed and built system shown in Figure C3.2.3. This compact system is based upon an ultracompact<br />
modelocked fiber laser that emits several hundred femtosecond pulses at 1550nm. The MPI<br />
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modalities available include second and third harmonic generation (SHG and THG, respectively),<br />
coherent anti-Stokes Raman scattering (CARS), and multiphoton fluorescence, among others.<br />
To assess the efficiency of EO polymer poling on SI, we compared the MPI SHG signal of a coplanar<br />
poled polymer (SEO 100 from Soluxra) with that of a z-cut lithium niobate crystal, whereby we were able<br />
to estimate the r 33 of the poled polymer to be approximately 130pm/V, very close to the value achieved by<br />
Figure C3.2.3: Left: Schematic diagram of the multi-photon microscope.<br />
MLL: mode-locked fiber laser with carbon nanotube saturable absorber.<br />
VA: variable attenuator. Right: A photograph of the actual microscope,<br />
the handheld femtosecond fiber laser is also shown.<br />
performing conventional<br />
“sandwich” poling. Figure C3.2.4<br />
shows the MPI results for this<br />
sample, where we see the<br />
intense SHG that exists between<br />
the poling electrodes and<br />
extending out the top of the<br />
electrodes, as would be<br />
expected for fringing fields. The<br />
green regions represent THG<br />
from the EO polymer that is<br />
significantly enhanced by the<br />
plasmonic resonance in the<br />
underlying gold layer. We note<br />
that an unpoled sample (RHS of<br />
Fig. C3.2.4) shows no SHG as<br />
would be expected. This system<br />
for the first time provides the capability to optimize coplanar poling for EO polymers on silicon and we are<br />
designing a variety of test masks to carry out this process. We have already demonstrated a number of<br />
other applications of this MPI system and a<br />
provisional patent application has already been<br />
filed.<br />
Industrial Partner: Intel<br />
C3-2b. Reconfigurable Optical Switch (P. A.<br />
Blanche, R. A. Norwood, and N. Peyghambarian,<br />
UA)<br />
In this seed project, <strong>CIAN</strong> is exploring the potential Figure C3.2.4. Phase modulator that has been<br />
for manufacturing a high port count, fast, low<br />
poled (left) and unpoled (right) as obtained by<br />
MPI – red indicates SHG while green indicates<br />
insertion loss optical switch based on using the<br />
THG.<br />
proven Texas Instruments digital micro-mirrors<br />
device (DMD) in a diffractive mode. The<br />
advantages of this technology include fast reconfiguration<br />
time (50 µs), latching, and low power consumption. Existing<br />
high volume opto-electronics manufacturing process will<br />
provide large advantages in cost and reliability compared to<br />
traditional optics. This work clearly has the potential to<br />
impact WG1 and WG2’s switching needs.<br />
The current approach takes advantage of the DMD, but by<br />
using diffraction instead of reflection (Figure C3.2.5). Here<br />
diffraction is defined as the change of direction of the<br />
switching light due to an aperture, such as a slit. By<br />
carefully organizing the size and position of multiple<br />
apertures, the direction of the diffracted light can be finely<br />
tuned. Such an arrangement of apertures is referred as a<br />
diffraction pattern, or hologram, and can be loaded as an<br />
Figure C3.2.5. Conceptual sketch of<br />
an optical switch using the DMD array<br />
in a diffractive mode.<br />
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image on the DMD. Light striking the DMD binary hologram will<br />
be redirected according to the calculated pattern and enter the<br />
output fibers. Using a hologram, the diffracted direction is not<br />
limited to just 2 directions as with reflection from the DMD<br />
mirrors. This approach is truly non-blocking, moreover, one<br />
incoming beams can be divided into different output directions, or<br />
different input beams can be combined together at the same<br />
output location.<br />
An early demonstrator testbed has been assembled, where all<br />
the basic performance attributes of the switch have been<br />
demonstrated, including the possibility to steer different sources<br />
by using two lasers (a red HeNe, and a blue DPSS), each one<br />
covering only half of the DMD chipset (Fig C3.2.6).<br />
C3-2c. III-V/Si Integrated Coherent Receiver (M. Fallahi/T.<br />
Koch, UA)<br />
Figure C3.2.6. Diffracted light from<br />
two sources demonstrating the ability<br />
of the diffractive DMD to<br />
simultaneously direct sources in<br />
different directions.<br />
In this seed project, the integration of active III-V semiconductor photonics with silicon photonics is<br />
exploited to develop an integrated coherent receiver. Hybrid integration is expected to provide the<br />
necessary technology for complex optoelectronic integration and facilitate the realization of system-on-achip.<br />
The heterogeneous integration of III-V actives with Si-photonics and its compatibility with CMOS<br />
technology is a<br />
powerful approach to<br />
addresses the<br />
growing demands for<br />
faster, lower cost and<br />
InGaAs/<br />
more compact<br />
InAlAs<br />
InP<br />
TiAu<br />
MSM<br />
components and<br />
InGaAs/InAlAs<br />
subsystems. The<br />
SiO2<br />
Au<br />
proposed research<br />
targets a new class<br />
Si<br />
Si<br />
of coherent receivers<br />
for heterodyne Figure C3.2.7. BPM simulation of a SOI-compact SOI-based 2x2 MMI (top);<br />
detection systems. Schematic cross-section of III-V MSM on SOI waveguide (bottom).<br />
Intimate integration<br />
of high-speed 1550 nm III-V detectors on SOI waveguides is an important step towards the development<br />
of hybrid integration in Si photonics and CMOS. Heterogeneous integration by wafer bonding of InGaAs<br />
1550 nm light absorbing films is an important element in Si-based photonic receivers. The advancement<br />
in components assembly and alignment with micron range accuracy is the new driving force in hybrid<br />
integration. By combining the optical properties of Si photonics, including high index, low loss and<br />
integrability of high-speed interdigitated MSM detectors by wafer bonding a new class of ultra-compact Sibased<br />
photonic integration is enabled.<br />
Summary of Thrust 3 Goals and Future Plans<br />
Design multichannel MUX for Sandia chip (3/31/13)<br />
Receive chips from Sandia (12/31/13)<br />
Demonstrate and fabricate tunable VCSEL array (12/31/13)<br />
Demonstrate MUX with fixed wavelength VCSEL integrated on <strong>CIAN</strong> chip and deliver to test bed<br />
(3/31/14)<br />
Demonstrate 4 x 1 tunable VCSEL array integrated onto <strong>CIAN</strong> chip and deliver to testbed<br />
(5/31/14)<br />
Design and fabricate a monolithically coupled hybrid SOA (1/31/14)<br />
Electrically pumped 1x2 switch and characterization in Columbia University testbed (1/31/15)<br />
2x2 switch, build and integrate with electronic logic – demonstrate system level integration<br />
(1/31/18)<br />
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Demonstrate a 2 dB flat multicast over C + L band bandwidth (1/31/14)<br />
Demonstrate phase sensitive flat multicast over 100nm (1/31/15)<br />
Demonstrate 400 Gb/s multicast (1/31/18)<br />
<br />
Design/fabrication of 1.55m band quantum wells with sub-picosecond radiative response<br />
(12/21/13)<br />
Demonstrate 1 x 2 hybrid EO polymer silicon switch (4/15/13)<br />
High speed silicon nanowire hybrid EO polymer modulator with < 15dB IL and
<strong>CIAN</strong>’S TESTBEDS<br />
John Wissinger, Testbed Lead (UA), George Papen, Co-Lead (UCSD)<br />
A significant strength of <strong>CIAN</strong> is the comprehensive testbed infrastructure that supports its verticallyintegrated<br />
research agenda. <strong>CIAN</strong>’s testbed strategy has been designed to enable evaluation and<br />
benchmarking of innovative optical devices and subsystems within the context of network systems and<br />
data centers. There is facility support up the vertical development chain from the materials level, through<br />
to chip scale components, packaged devices, and integrated subsystems.<br />
<strong>CIAN</strong>’s testbed activities are closely aligned with the working groups and thrusts as shown in Figure 2.2.<br />
At the top level, the main TOAN testbed at UA and the Data Center testbed at UCSD provide systemslevel<br />
evaluation frameworks to explore and prove out enabling technologies for next-generation<br />
aggregation networks and data centers. Specifically:<br />
<br />
Testbed for Optical Aggregation Networks (TOAN): provides a network emulation environment<br />
with multiple programmable network elements, a reconfigurable fiber plant, a customizable<br />
control plane, and a variety of traffic generation mechanisms including Gig Ethernet, SONET, and<br />
WDM<br />
Datacenter Testbed: provides a comprehensive data center emulation environment including 72<br />
servers, customizable optical and electronic switching fabrics, and application test software<br />
available for experimentation on new hardware, network architectures, networking protocols, and<br />
networking software<br />
Additional testing capabilities across the partner institutions in <strong>CIAN</strong> support the upward flow of innovation<br />
toward the system testbeds, and are organized to provide complementary areas of focus that are<br />
necessary to address the broader set of technology challenges that <strong>CIAN</strong> is attempting to address.<br />
The two primary systems testbeds provide<br />
emulation of reference architectures, allowing<br />
assessment of the impact of <strong>CIAN</strong>-developed<br />
technologies on system-level metrics. Because<br />
the testbeds are required to support a wide variety<br />
of experiments, they have been designed to be i)<br />
flexible, i.e., modular and reconfigurable, ii) open<br />
in architecture, via multiple insertion points in<br />
hardware/software, and iii) instrumented with<br />
various monitors to support benchmarking studies<br />
and metric evaluation. The physical testbed<br />
facilities are complemented by increasingly strong<br />
mathematical modeling initiatives that provide<br />
complementary “virtual evaluation” and<br />
performance prediction capabilities that can be<br />
tied to actual performance characteristics<br />
measured in the labs.<br />
Figure T.1: <strong>CIAN</strong>’s Modular Data Center Testbed<br />
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For <strong>CIAN</strong>, system-level metrics refer to measures such as dropped packets, bit error rates, capacity<br />
utilizations, in-situ power consumptions, and application-specific measures such as roundtrip latencies.<br />
Such evaluations provide a useful complement to assessments that have been performed on devices,<br />
subsystems, and software items that have been tested in isolation. Some specific examples of the kinds<br />
of questions the testbeds can help to answer include:<br />
How does the <strong>CIAN</strong> technology allow the system to perform in the face of application-specific,<br />
realistic traffic loads, e.g., bursty, bi-directional, etc<br />
Are there specific timing, synchronization, or other coordination requirements which must be<br />
addressed to integrate the technology successfully into the network<br />
Can the technology support emerging advanced modulation formats and protocols, in a WDM<br />
context, and at the required data rates and system availability/reliability levels<br />
Can the technology be deployed in the context of standard control planes, or are novel control<br />
functionalities required to exploit its advantages<br />
<br />
<br />
How does a <strong>CIAN</strong> technology improve system performance over a benchmark capability<br />
Are there additional design requirements related to interoperabilities with other subsystems or<br />
network components, e.g., adaptive power equalization schemes<br />
To illustrate these points, consider the datacenter testbed. It provides an integrated platform spanning<br />
fundamental devices through to system-level protocols. It is unique in the sense that <strong>CIAN</strong> researchers<br />
“own everything” and can swap out any component to determine its effect on the overall system. This<br />
plug-and-play feature is what enabled the design of the current MORDIA network that can support<br />
devices with up to 20 dB of insertion loss. Among the research questions that the data center testbed can<br />
help answer is the interplay between the control plane for the network and the effect this has on the<br />
fundamental requirements of the devices. Studying this interplay is not generally feasible in other network<br />
environments because the control plane is standardized. A specific research question that the datacenter<br />
testbed can answer is the relationship between the network throughput and the speed of a circuit switch.<br />
WORKING GROUP 1: DATA CENTER TESTBED<br />
Unique Capabilities<br />
The datacenter testbed supports a research agenda that is focused on investigating photonic<br />
technologies as a means to enhance performance while providing a path to energy-efficient scale up. To<br />
this end, the communication infrastructure has been designed to be modular and reconfigurable to enable<br />
benchmarking the performance of novel photonic communication architectures against the commercial<br />
state-of-the-art approaches. Because datacenter performance is application dependent, the software<br />
infrastructure is readily reconfigurable to provide for application-specific benchmarks. The ability of the<br />
testbed to have supported the evaluation of space-based switching architecture of Helios and<br />
wavelength-switched architecture of MORDIA is a testament to these capabilities. In addition, the<br />
datacenter testbed delivers a flexible, hybrid network interconnect and topology, and is able to generate<br />
heterogeneous traffic streams representative of real datacenter capabilities.<br />
A unique aspect of the datacenter testbed is that it is physically connected to the <strong>CIAN</strong> chip-scale testing<br />
facility (located elsewhere in the same building) via a set of optical fibers running through conduits in the<br />
ceiling. This allows for insertion unpackaged devices directly into datacenter-wide experiments.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 117
Over the past year, we have substantially upgraded the real-time capabilities of the control plane that can<br />
implement a circuit schedule for the MORDIA switch in tens of mircoseconds as opposed to the tens of<br />
milliseconds that was used for the Helios project. This flexible real-time control plane is based on a large<br />
(Virtex-6) FPGA.<br />
Alignment to Strategic Plan<br />
The data center testbed is an evolving dynamic platform that enables construction of various research<br />
prototype systems. These prototype systems are designed to admit insertion of <strong>CIAN</strong>-developed<br />
subsystems and components. Over the last year, we have enhanced the capability of the datacenter<br />
testbed to handle wavelength-multiplexed components by the development of the MORDIA prototype<br />
system. Pictures of this testbed along with<br />
some of the diagnostic equipment are<br />
shown below.<br />
The current version of the datacenter<br />
testbed at the University of California, San<br />
Diego coordinates academia (<strong>CIAN</strong><br />
Partners) and industry (<strong>CIAN</strong> Industry<br />
Boards) efforts providing a vehicle for<br />
experimental validation and integration. It<br />
contains the prototype MORDIA<br />
interconnect (described above), as well as<br />
70 dual-processor servers, each with 20<br />
Gbps of network capacity (for a total of 1.4<br />
Tbps of bandwidth). In addition to MORDIA,<br />
there are two Cisco datacenter switches<br />
capable of providing full electrical packet<br />
switching functions.<br />
We are currently working both with <strong>CIAN</strong><br />
researchers that are fabricating a set of<br />
chips in collaboration with Sandia National<br />
Labs and with IBM, who is loaning us one<br />
of the research optical switch chips to insert<br />
into the MORDIA testbed. Both of these<br />
insertions will enable the testbed to switch<br />
optical circuits at less than a microsecond.<br />
We plan on using this switch for the next<br />
generation of network architectures that<br />
involve a combination of space-based<br />
switching and wavelength-based switching.<br />
Figure T.2: (top) Fully-racked Mordia prototype. (bottom)<br />
One tray from the Mordia rack.<br />
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Network Nodes<br />
WORKING GROUP 2: OPTICAL AGGREGATION NETWORK TESTBED, TOAN<br />
Unique Capabilities<br />
The TOAN testbed emulates the aggregation<br />
portion of the Network, as depicted in Figure T.4<br />
below. This regime of the network interfaces a<br />
highly diverse set of user demands at the<br />
Network’s edge with core optical transport<br />
functionalities. This portion of the network is now<br />
undergoing severe stress as emerging trends such<br />
as cloud computing, the vast proliferation of<br />
mobile wireless devices, and big video distribution<br />
demands are driving an explosion of complexity in<br />
terms of numbers of users, requested<br />
connections, and service types. This regime of<br />
the network is technically interesting from the<br />
requirement to interface electronically packetswitched<br />
data services to a legacy optical circuitswitched<br />
telecom structure as part of a converged<br />
infrastructure. To our knowledge, TOAN is unique<br />
in providing a research-grade test facility that<br />
spans this portion of the network: it is fairly common to find facilities that are focused purely on electronic<br />
networks, or on core optical transport networks, but this hybrid regime is not commonly modeled, with the<br />
exception of some of the larger industry players and telcos.<br />
Broadband<br />
& Triple Play<br />
Financial Enterprise<br />
WDM<br />
MSPP<br />
MSPP<br />
Ethernet-Switched<br />
Packet Network<br />
SONET/SDH, OTN<br />
Transport Network<br />
Wireless<br />
Backhaul<br />
<strong>CIAN</strong> Insertion Stations<br />
Fig T.3: <strong>CIAN</strong>’s Aggregation Networking Testbed<br />
Business<br />
Services<br />
Packet<br />
ONP<br />
Packet<br />
ONP<br />
Packet<br />
ONP<br />
Aggregation Platform:<br />
Packet & TDM Svcs. +<br />
Optical transport<br />
Packet<br />
ONP<br />
Metro Aggregation<br />
Packet<br />
ONP<br />
Packet<br />
ONP<br />
<strong>CIAN</strong> Cross-Layer Box<br />
Packet<br />
ONP<br />
Packet<br />
ONP<br />
Regional & Long Haul<br />
…..<br />
…..<br />
Customer Premises<br />
TOAN Regime<br />
Core Transport<br />
Figure T.4: TOAN emulates the interface regime in the network where heterogeneous traffic streams from<br />
the edge are aggregated and groomed for optical transport. Emerging “super central office” concepts<br />
reside in this portion of the network.<br />
Ethernet<br />
SONET<br />
WDM<br />
The target configuration for TOAN is shown in Figure T.5 below. The principal research focus for this<br />
facility is on addressing the resource contention challenges that arise in the aggregation network, as<br />
opposed to enabling advances in long haul, high speed optical transport. <strong>CIAN</strong>’s focus on in-situ optical<br />
performance monitoring (OPM) as a means for enabling dynamic decision making has driven<br />
requirements for researcher access both in the network fiber spans, and also in the equipment sets, at<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 119
oth a hardware and software level. The facility was constructed with close support from industry<br />
partners Fujitsu, Yokogawa, Agilent and Newport.<br />
Computation<br />
w/ NetFPGA<br />
INTERNET<br />
10GigE<br />
<strong>CIAN</strong> Control Mngmt. Plane<br />
OpenFlow<br />
Edge Routers<br />
Source Options<br />
Packet<br />
ONP<br />
Ethernet<br />
• Real, Live: PC, Video, Wireless sensor net<br />
• Real, Recorded: Internet trace files<br />
• Simulated: IXIA traffic generator<br />
SONET<br />
• Simulated by network analyzer<br />
WDM<br />
• Laser Bank, ITU Grid, 100GHz spacing<br />
• WDM-PON<br />
Packet<br />
ONP<br />
Packet<br />
ONP<br />
Internet Access<br />
Control Switch<br />
Variable Fiber Runs<br />
Reconfigurable Mesh<br />
<strong>CIAN</strong> Box<br />
Packet<br />
ONP<br />
Packet<br />
ONP<br />
Edge Routers<br />
Sink Options<br />
HD Display<br />
Network Analyzer<br />
DCA<br />
Traffic Analyzer<br />
<strong>CIAN</strong> Insertion Stations:<br />
WS1: OPM WS2: Aggregate WS3: ChipScale<br />
Impairment Introduction<br />
VOA<br />
ASE Source<br />
Optical Switch for Path Routing<br />
Disperse Color and/or Polarization<br />
Analysis & Monitoring<br />
BERT<br />
OSA<br />
Transport Analyzer<br />
Photonic Loss Analyzer<br />
Figure T.5: The target configuration for TOAN testbed comprises a modest-scale research network in a<br />
reconfigurable mesh topology. Fiber spans are user controllable. A variety of traffic sources both real<br />
and simulated are available. There are multiple insertion stations to enable integration with the<br />
network, including a programmable control and management plane. The aggregation nodes are socalled<br />
packet optical networking platforms which represent latest generation equipment sets that<br />
converge packet and TDM services with optical transport (ROADM) functionality.<br />
Over the past year, a major focus for TOAN’s research agenda has been Software-Defined Networking<br />
(SDN), which separates the control and data planes and provides open-architecture constructs to enable<br />
researchers to program more sophisticated behaviors in the network to better address emerging<br />
application needs, e.g. those involving big data transport. The TOAN team has been leveraging<br />
OpenFlow, which is an open-source approach to building up an SDN that has been promoted heavily by<br />
NSF’s GENI program. OpenFlow was originally developed for the electronic packet switching network,<br />
but our group has focused on extending the framework to optical transport nodes, so that unified control<br />
of the entire hybrid electronic-optical network is possible. Some details of the current infrastructure are<br />
summarized in Figure T.6.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 120
• Switches<br />
• 4x Pronto 3290 switches (48x 1GE<br />
ports + 4x 10GE ports – SFP+ )<br />
• 2x NEC ProgramableFlow PF5240<br />
switches (48x 1GE ports + 4x 10GE<br />
ports – SFP+)<br />
• NEC switches are in loan for 60-day<br />
evaluation period<br />
• Controllers<br />
• Started with NOX (C++/Python)<br />
• Developed applications (apps) on POX<br />
(Python)<br />
• Adding FloodLight (Java)<br />
• Capabilities<br />
• NetFPGA blades<br />
• Multirate multiservice hosts<br />
• GE traffic generation and analysis<br />
• 10GE HPC (Campus-wide connectivity)<br />
• WDM-PON integration<br />
Figure T.6: Current TOAN SDN Hybrid Network Infrastructure.<br />
At the University of Arizona, the campus<br />
IT department has also stood up an SDNbased<br />
research network to which TOAN<br />
is connected with a fat 10G pipe. This<br />
research network spans Electrical &<br />
Computer Engineering, Computer<br />
Science, Optical Science, and<br />
BioScience, as shown in Figure T.7,<br />
creating a collaborative environment for<br />
cross-disciplinary<br />
networking<br />
investigations. For example, we are<br />
actively discussing experiments involving<br />
transport of very large genomic datasets<br />
to offsite datacenters for analysis.<br />
Figure T.7: UA Campus SDN supporting a multi-department<br />
Science DMZ. This infrastructure is decoupled from the<br />
campus-wide production network at this time.<br />
For physical layer studies, TOAN also<br />
includes a workbench for in-situ<br />
evaluation of chip-scale photonic devices<br />
as shown in Figure T.8. Within this<br />
station, devices can be characterized in<br />
isolation for both electrical and photonic<br />
performance, and then can be inserted<br />
directly into the lightpath of the optical<br />
network, where impacts on system-level<br />
measures can be assessed. In particular,<br />
real packet streams can be flowed<br />
through the device, and the network’s<br />
ability to process the streams with<br />
suitable latency, bit rates, etc. can be<br />
evaluated. A key benefit of this capability<br />
is that we are able to find barriers to<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 121
integration at the system level much earlier in the process, and prior to expensive and time consuming<br />
packaging efforts.<br />
To Network<br />
Optical Comms.<br />
T&E Capability<br />
Photonic Circuit Insertion<br />
DC and RF Test<br />
Capability<br />
Figure T.8: TOAN’s Photonic Circuit insertion station allows unpackaged, chip-scale photonic devices<br />
to be coupled into the network to assess system-level impacts.<br />
Alignment to Strategic Plan<br />
During previous years of the Center’s operation, the TOAN facility has supported the following<br />
experiments and capability demonstrations:<br />
Impairment-aware switching and wavelength reprovisioning<br />
Energy-efficient, application-aware dynamic optical networking<br />
Unified network control & management<br />
All-optical aggregation and deaggregation<br />
Tunable VCSEL insertion for adaptive optical networking<br />
Adaptive coded-modulation for optical networks<br />
Over the last year, the TOAN testbed infrastructure evolved in the following areas:<br />
Incorporated SDN/OpenFlow into the testbed’s control plane, added six OpenFlow-enabled<br />
packet switches, and established connectivity to the UA campus research network<br />
Lighted a dedicated 10G connection to UA campus edge for distributed experiments with partner<br />
institutions<br />
Added a workstation platform with onboard SSD to support sustained delivery of very large flows<br />
(approaching 10G) to support test and evaluation work<br />
Ongoing experiments that will be presented at the upcoming <strong>Year</strong> 5 site review include:<br />
Situation-aware multipath routing with decision making based on channel quality (optical and<br />
electrical), energy consumption, traffic protocol, and application category; these capabilities will<br />
be demonstrated within an SDN-enabled framework<br />
Evaluation of a DMD-based fast optical space switch based on DLP from our industry partner<br />
Texas Instruments<br />
Strategic Initiatives<br />
We will continue our efforts to expand the network infrastructure through external funding sources (e.g.,<br />
MRI, DURIP) and industry contributions. Some specific areas requiring investment are illustrated in<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 122
Figures T.9 and T.10. Our network is currently comprised of just two optical aggregation nodes, and is<br />
operating at 10G NRZ format. Our network nodes are Fujitsu’s current state-of-the-art (model FW9500),<br />
and could be upgraded in straightforward fashion via a plug-in transponder unit to 100G DP-QPSK with<br />
coherent detection, with a 400G option available soon. While the focus of our TOAN network is not on<br />
high speed, long haul transport, these advanced modulation formats will penetrate the aggregation<br />
portion of the network, and <strong>CIAN</strong> developments should be tested in that context. Additional network<br />
nodes with more degrees of ROADM would enable evaluation of scalability, allow us to evaluate multidevice<br />
deployments (e.g., multiple OPMs dispersed in network), and also enable investigation of more<br />
advanced control and management plane concepts.<br />
External Lab Connectivity<br />
1 GigE<br />
Control Management<br />
Plane<br />
Netsmart500/<strong>CIAN</strong> CMS v1<br />
10 GigE<br />
Netsmart500/CNCMS v1, OFlow<br />
Netsmart1500/<strong>CIAN</strong> CNCMS v2<br />
Client Side Application Interfaces<br />
1GE/10GE, SONET , Wireless Sensor Net<br />
<strong>CIAN</strong> Device & Subsystem Insertions<br />
<strong>CIAN</strong> Technology OPM, Switch Insertions <strong>CIAN</strong> Box r1, VCSEL DMD Optical Switch<br />
Testbed Modeling Effort<br />
Max Optical Rate/Modulation Format<br />
OC-192, WDM 44ch 10G NRZ<br />
TOAN ModSim r1<br />
WiMax<br />
<strong>CIAN</strong> Box r2<br />
TOAN ModSim r2<br />
100G, DP-QPSK<br />
Topology & Optical Network Infrastructure<br />
2-node link<br />
5-node hub<br />
6-node mesh<br />
2011 2012 2013 2014<br />
Figure T.9: Roadmap for TOAN Buildout. <strong>CIAN</strong> technology insertions are shown in highlights.<br />
Ethernet<br />
Edge Router<br />
NETSMART<br />
1500 EMS<br />
4 Degree 4 Degree<br />
NETSMART 500 EMS<br />
SONET<br />
NETSMART<br />
1500 EMS<br />
Ethernet<br />
1GE<br />
Edge Router<br />
1 Degree<br />
ROADM<br />
1 Degree<br />
ROADM<br />
Ethernet<br />
Edge Router 1GE<br />
8Degree<br />
Optical Hub<br />
Edge Router<br />
Ethernet<br />
4 Degree<br />
10GE<br />
10GE<br />
FLASHWAVE 9500<br />
SONET<br />
SONET<br />
FLASHWAVE 9500<br />
WDM Link<br />
(44 channel)<br />
FLASHWAVE 9500<br />
SONET<br />
Edge Router<br />
4 Degree<br />
Metro-Regional Span<br />
SONET<br />
Ethernet<br />
4 Degree<br />
4 Degree<br />
Metro & Long-Haul<br />
(a) Single Link, 2011 (b) Hub Architecture, 2014<br />
Figure T.10: Proposed TOAN Topology Evolution.<br />
(c) Mesh Network, 2015<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 123
We believe it is strategically important to continue our efforts to create a high fidelity simulation model of<br />
the TOAN testbed, as this will improve our ability to predict performance impacts of potential device<br />
innovations before actually building them. We also feel our research can be best enabled by removing<br />
certain “black box” barriers to key pieces of equipment, such as our network nodes, to enable<br />
benchmarking and evaluation of new hardware and software technologies that reside “under the hood” in<br />
these systems. Some specific examples include the scheduling and traffic management algorithms of the<br />
Flashwave system, as well as its tunable laser systems and switching fabrics. It would also be valuable to<br />
be able to plug in new coding and modulation schemes. Developments with OpenFlow to separate<br />
hardware and software functionalities in network equipment such as routers and switches, to help enable<br />
software defined networking concepts, provide useful capability and momentum in this direction which we<br />
will continue to exploit.<br />
Evolution of Distributed Testbed Capabilities<br />
<strong>CIAN</strong> has maintained a focus on interconnecting the distributed testbed and laboratory facilities at the<br />
partner institutions with the aim of leveraging specialized capabilities at each location as part of an overall<br />
unified testbed infrastructure. Significant benefits would be realized by providing shared access to the<br />
expensive resources that reside at the various partner institutions, and that are frequently used in a<br />
restricted and host-centric fashion. It would increase collaboration and reduce duplication. Furthermore,<br />
distributed experiments, performed jointly across TOAN, the DataCenter testbed, and facilities at<br />
Columbia or UCSD, even provide a driving application and use-case for the network enhancements that<br />
<strong>CIAN</strong> seeks to deliver. Part of the reason that the INCMS control plane effort conforms to a hybrid cloud<br />
paradigm is to enable such distributed experiments.<br />
Both the UA and Columbia are active participants in the GENI program, and both institutions host nodes<br />
in the legacy Planetlab framework. An experimental slice for <strong>CIAN</strong> has been established that joins the<br />
UA and Columbia Planetlab nodes, and capabilities to stream data over this slice from TOAN to Columbia<br />
and vice versa have been established. This has already proved useful for sharing live video regarding<br />
experimental setups, and also to exchange data files. But more importantly, this connectivity establishes<br />
concrete linkages between the <strong>CIAN</strong> testbed facilities and the larger GENI program, paving the way for<br />
larger scale experiments that exploit GENI shared network resources. We believe this positions <strong>CIAN</strong> to<br />
create important strategic linkages into the network engineering and computer science communities. It<br />
also offers the exciting prospect of coupling novel device or subsystem experiments, such as<br />
performance monitors or switches from <strong>CIAN</strong>, with new architectural concepts deriving from GENI.<br />
In the West, UCSD, USC, and UA all share connectivity via the CENIC network. CENIC has undergone<br />
significant bandwidth upgrades to 10G+ that will enhance the connectivity between these partner<br />
institutions. This will facilitate cross-site experimentation between the UCSD and USC testbeds, and the<br />
UA TOAN testbed, and it will also enable shared experiments with UCSD’s CalIT2, which is advancing<br />
high bandwidth applications in areas such as interactive telepresence and extreme scientific computing.<br />
We also anticipate that this will stimulate tighter interactions between <strong>CIAN</strong> and UCSD’s Center for<br />
Networked Systems (CNS).<br />
<strong>CIAN</strong> TESTBEDS ASSESSMENT<br />
Over the past few years, recognizing the critical role that testbeds play in achieving the mission of the<br />
ERC, NSF made large strides in formalizing evaluation criteria to help reviewers assess and quantify<br />
progress. The criteria are organized into “early stage”, “developing stage”, and “mature”, to reflect the<br />
natural time progression and evolution that is expected in the ERC testbeds over time. <strong>CIAN</strong>’s testbeds<br />
are considered “developing stage”. The seven criteria for this stage from NSF are as follows:<br />
1. Requirements & Metrics: With a set of performance metrics in place, the ERC has successfully<br />
implemented some of its near-term test bed milestones. In response to milestone<br />
accomplishments, test bed requirements are being refined to be consistent with the vision and<br />
system goals of the ERC. Long term test bed goals continue to push the state-of-the-art.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 124
2. Technology Integration: The test bed is utilized to probe the research by testing the enabling<br />
technology at its different levels of maturity, including devices, modules or subsystem<br />
components in a system-like environment.<br />
3. Function in Research: The test bed serves as a versatile experimentation site, through which<br />
the performance of component technologies may be measured and/or compared with competing<br />
technologies and results are fed back into the research thrusts to stimulate improvements or<br />
generate new research directions.<br />
4. Technology Translation: Test bed results are improving confidence in the technology’s<br />
performance and reproducibility, highlighting relevant applications. The test bed data collection is<br />
designed to help facilitate potential technology translation opportunities.<br />
5. Guidance: Test beds are reviewed on a yearly basis by the ERC team with input from the IAB,<br />
SAB, and other appropriate users input, i.e. clinicians or local government users, etc.<br />
6. Role in Education: Test beds are providing students with hands-on experience in “building”<br />
technology that result in peer-reviewed publications or conference presentations. Hands-on<br />
experience includes integrating devices and components, or testing system-level performance.<br />
7. Assessment: Through the refining of objective, stage-appropriate metrics, successful<br />
technologies are being identified and pursued; the test bed has become a tool for comparing and<br />
validating the research approach(es). Accomplishments are benchmarked against the state-ofthe-art.<br />
Below we provide a brief self-assessment against these criteria.<br />
Table T.1: Self-assessment of <strong>CIAN</strong>’s current testbed efforts against the seven new NSF evaluation criteria. The<br />
ratings are coarsely Strength (S), Weakness (W), or more progress Needed (N).<br />
Criteria Rating Comments<br />
Requirements &<br />
Metrics<br />
Technology<br />
Integration<br />
S<br />
N<br />
Testbeds strongly tied to WG requirements and metrics<br />
Need to accelerate device and subsystem insertions from <strong>CIAN</strong> researchers<br />
Function in Research S Evaluation of switching technologies and OPM are driving new research<br />
directions<br />
Technology<br />
Translation<br />
N<br />
Need more direct industry participation beyond Nistica, Fujitsu, and Google<br />
Guidance N Testbeds are briefed to IAB and SAB, but need more formal feedback<br />
mechanisms<br />
Role in Education S Students are heavily involved in both testbeds; cross-partner visits are frequent<br />
Assessment S Testbeds are being used for quantified benchmarking and directing of research<br />
Enhancing Industry Impact<br />
We do have a successful history of industry collaboration through our testbeds, but this success is largely<br />
localized to just a few companies. As we go forward, we will work toward broadening the base of<br />
collaboration, both in terms of the numbers of engagements, but also the depth of engagements. Our<br />
objective is deeper productive research collaborations with clear prospect of technology translation.<br />
<strong>CIAN</strong>’s testbeds provide a valuable asset for recruiting new industry partners, particularly because the<br />
testbed capabilities span the entire development chain from the material/device level all the way up to the<br />
system and network operator level, offering a wide range of value propositions that can be shopped to<br />
industry. Smaller technology companies and startups in particular can realize significant benefits from<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 125
access to the diverse and expensive equipment sets and researcher expertise provided by <strong>CIAN</strong> that<br />
would require significant funds, manpower, and time to establish from scratch.<br />
<strong>CIAN</strong> is strengthening its outbound marketing effort to industry by clarifying specific value propositions<br />
and enhancing its collateral. Some specific messages we have targeted include:<br />
<br />
<br />
<br />
<br />
<br />
Accelerate R&D<br />
o Obtain feedback on product performance within realistic network and datacenter settings<br />
o Test prototype devices and system concepts, perform beta testing, assess<br />
interoperability<br />
Increase Sales<br />
o Seed new/future users, create brand awareness, showcase new products<br />
Enhance Fit of New Recruits<br />
o Trained with hands-on experience with real operational systems, commercial SOA<br />
equipment<br />
o Proficient in member company’s own product capabilities<br />
Gain Visibility into New Products Needs & Markets<br />
o Obtain input into future product requirements<br />
o Identify unrecognized requirements or constraints<br />
o Identify gaps in current industry capability that present opportunities<br />
Facilitate Member-Member Partnering & Joint Developments<br />
o Up and down the customer – member – vendor chain<br />
We are enhancing testbed collateral, in the form of videos, spec sheets, and brochures, etc. to better<br />
describe these value propositions and to better promote the Center.<br />
INTERNATIONAL PARTNER CONTRIBUTIONS<br />
<strong>CIAN</strong>’s international collaborations have continued to be active and beneficial to both domestic and<br />
international partiers. A brief summary of three major efforts (Aalto/U. of Eastern Finland, Darmstadt, and<br />
KAIST) is provided below.<br />
Associated Project Funds, Finland Academy of Science: $79,000 for Sep 1, 2012 – Jan 31, 2013,<br />
$103,000 for Feb. 1, 2013 – Aug. 31, 2013<br />
Title: Growth and Characterization of Thin Films for Photonics<br />
Project Co-Leads: Seppo Honkanen (Univ. of Eastern Finland), Robert Norwood (UA)<br />
Aalto University and University of Eastern Finland (Finland): A number of significant research<br />
interactions occurred with Dr. Seppo Honkanen’s of the University of Eastern Finland and his<br />
collaborators at Aalto University. The ongoing research in Dr. Norwood’s and Dr. Peyghambarian’s group<br />
at the University of Arizona on polymer-based magneto-optic devices, in particular integrated optical<br />
isolators, has been a fruitful area for interaction with Dr. Honkanen for several years, and has featured<br />
joint publications and conference presentations. Dr. Antti Säynätjoki, a post-doc in Prof. Honkanen’s<br />
group, has spearheaded collaboration with the UA team on silicon photonics based hybrid optical<br />
isolators, which would be a significant breakthrough in the field of integrated optics. Dr. Säynätjoki began<br />
a visit to the College of Optical Sciences at the University of Arizona in January of 2012, and will stay<br />
through April 2012. In addition to the collaboration with the Norwood/Peyghambarian team, the Aalto/U. of<br />
Eastern Finland team has also been collaborating with Dr. Galina Khitrova. In this case, the group at<br />
Aalto has been forming titanium dioxide layers on semiconductor resonator structures (provided by<br />
Khitrova) by atomic layer deposition (ALD). The researchers have found that ALD films actually improve<br />
the quality (Q) of these resonators, a result that continues to be under investigation.<br />
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Darmstadt University of Technology (Germany): During the summer of 2012, Mohammadreza<br />
Malekizandi of the Institute of Microwave Engineering and Photonics at TU Darmstadt, joined<br />
the Advanced Optical Networks group of Professor Milorad Cvijetic at the College of Optical Sciences,<br />
University of Arizona, for a 3-months exchange within the framework of the international partnership. The<br />
overall focus of the research is an exhaustive study on the role that semiconductor optical amplifiers<br />
(SOA) play in the regeneration of impaired phase modulated signals; Mohammadreza worked on<br />
modeling and simulating a promising new SOA configuration known as ''the colliding-pulses<br />
scheme''. This is in continuation of the ongoing joint project, but now with the extension of applying<br />
orthogonal frequency division multiplexing (OFDM) to the passive optical network (PON) extender<br />
concept potentially leading to a further increase in bandwidth and spectral efficiency. Thanks to <strong>CIAN</strong><br />
support, a thorough characterization of this new scheme was made possible and the findings were<br />
presented during the SPIE Photonics West 2013 conference. In addition to the well-established and<br />
frequent student exchange between the two institutions, in Jan. 2013 we started to exchange faculty<br />
members as well. Professor Ivan Djordjevic, ECE UA, is spending a sabbatical (Jan. through Dec. 2013)<br />
at TU Darmstadt were he now holds the position of a TU-Darmstadt-Fellow.<br />
Korea Advanced Institute of Science and Technology (KAIST): <strong>CIAN</strong> faculty member Galina Khitrova<br />
continued her fruitful collaboration with Professor Yong-Hee Lee at KAIST. Professor Lee’s group focuses<br />
on semiconductor nano photonics with Si and III-V materials. They have nano-fabrication facilities and<br />
excellent optical spectroscopy capabilities both for free space and fiber-coupled measurements, allowing<br />
for fabrication of nano structures, subsequent characterization, and final experiments. The Khitrova group<br />
provides the Lee group with MBE samples for use in the Lee group’s experiments while the Lee group<br />
fabricates structures for experiments in the Khitrova group. Within the last three years, the Khitrova group<br />
published several papers and a book chapter on the use of a curved single mode optical micro-fiber taper<br />
spectroscopy apparatus that a visiting student from KAIST helped to implement. The Khitrova group had<br />
no previous experience making the custom fiber tapers needed to use this spectroscopy apparatus. <strong>CIAN</strong><br />
students Sander Zandbergen and J. D. Olitsky learned about the necessary equipment and techniques<br />
needed to fabricate micro-fiber tapers while in Korea working with Prof. Lee’s group, ultimately bringing to<br />
the University of Arizona the ability to set up a micro-fiber curving/taper apparatus in a <strong>CIAN</strong> lab at the<br />
UA/s College of Optical Sciences.<br />
TRANSLATIONAL RESERACH<br />
The <strong>CIAN</strong> ERC has continued to develop Translational Research Programs as a key component of the<br />
technology commercialization activities. The <strong>CIAN</strong> management team is actively working with our<br />
industrial partners to identify unmet technical needs by creating dedicated industry faculty and student<br />
interactions to identify potential insertion opportunities for internally developed technologies into current<br />
and future products. The strategic value of these interactions is demonstrated in the multiple programs<br />
that are advancing toward commercialization. The Optical Transceiver program is a multi-organization<br />
effort, whereby the University of Arizona is working to aid in the commercialization of VCSELS developed<br />
at University of California Berkeley. These VCSELS could form the basis of a new transceiver product for<br />
Bandwidth 10, a component/sub-system developer and IAB member. The Optical Switch program is an<br />
18 month effort to develop a multi-port switch using DLP technology developed by Texas Instruments,<br />
configured for a new application by researchers at the University of Arizona based on market<br />
requirements developed in conjunction with Cisco and Fujitsu. In addition, <strong>CIAN</strong> is supporting other<br />
translational research activities, including: Development of UCSD, UA and Columbia University energy<br />
aware technologies for Alcatel-Lucent, development of University of Arizona high-speed optical modulator<br />
technology for GigOptix, and development of high-speed selective switching at UCSD with Nistica.<br />
RESPONSE TO PREVIOUS SWOT<br />
Weaknesses<br />
The overall effectiveness of Thrust 2 as a linkage between Thrusts 3 and 1 is not evident - Need<br />
functional integration of key components/ functionalities and Need to demonstrate how to go from<br />
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component concept to integration into a system, and make use of conceptual designs where<br />
needed.<br />
We addressed this issue through the development of integrated optoelectronic chips (developed by<br />
Thrust 2 using components developed by Thrust 3) in initiating collaboration with Sandia and using<br />
Sandia as the as our Silicon manufacturing partner and their insertion into the <strong>CIAN</strong> box (developed by<br />
Thrust 1). Both our data center testbed and Access Aggregation testbed are now equipped with chipbased<br />
insertion capability. This process was helped by obtaining an NSF MRI instrumentation grant and<br />
will result in final packaging of the chip for complete testbed insertion and compatibility with the<br />
equipment resident at industrial partner sites.<br />
Opportunities<br />
Better articulate the value of testbeds, such as what specific questions they can help answer.<br />
The testbeds were designed to evaluate the impact of <strong>CIAN</strong>-developed technologies on system-level<br />
metrics. Our system-level metrics refer to measures such as dropped packets, bit error rates, capacity<br />
utilizations, in-situ power consumptions, and application-specific measures such as roundtrip latencies.<br />
As an example, the datacenter testbed provides an integrated platform spanning fundamental devices<br />
through to system-level protocols. It is unique in the sense that <strong>CIAN</strong> researchers “own everything” and<br />
can swap out any component to determine its effect on the overall system. Among the research questions<br />
that the data center testbed addressed in year 5 was the interplay between the control plane for the<br />
network and the effect this has on the fundamental requirements of the devices. Studying this interplay is<br />
not generally feasible in other network environments because the control plane is standardized.<br />
Threats<br />
Design for manufacturability is not part of the selection process for new technologies. The SVT<br />
sees an opportunity for Thrust 2 activities to become the catalyst for a larger national-scale<br />
investment in silicon foundry capabilities for photonics that could meet needs of the device<br />
community within and outside <strong>CIAN</strong>.<br />
This issue is addressed in year 5 by our design and fabrication (Q3 2013) of the CAIN chips through<br />
Sandia. We recognized the need for additional involvement and resource allocation towards<br />
manufacturable device technologies. This process was facilitated by the two Seed projects we started on<br />
manufacturability in year 4 (Mookherjea at UCSD and Lipson at Cornell). <strong>CIAN</strong> researchers are now able<br />
to use silicon foundry capabilities to test, evaluate, optimize and ultimately advise the research<br />
community on the best-practices and best-choices from the hundreds of different variants of devices that<br />
have been invented in the rapidly-growing silicon photonics field today.<br />
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UNIVERSITY AND PRE-COLLEGE EDUCATION PROGRAMS<br />
Partner<br />
Table 3-1. <strong>CIAN</strong> Education Activities Matrix<br />
Course Materials for New and<br />
Young<br />
REU RET<br />
Ongoing Courses<br />
Scholar<br />
Precollege<br />
Practitioner<br />
Education<br />
UA<br />
UCSD<br />
Caltech<br />
UCLA<br />
Berkeley<br />
Columbia<br />
NSU<br />
Tuskegee<br />
USC<br />
Cornell<br />
= in place = new this year = future year<br />
The vision of our education program is that <strong>CIAN</strong> students become innovative, globally<br />
competitive scientists and engineers who excel in their research areas of expertise, and all<br />
students with whom we interact become motivated and driven to pursue higher education and<br />
professions in STEM disciplines. <strong>CIAN</strong>’s education program has been developed, and continues to<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 129
mature, using a quadrilateral paradigm, as seen in Figure 3.1 below. This paradigm enables <strong>CIAN</strong> to not<br />
only educate university and pre-college students on optics and photonics concepts, but also to engender<br />
in them the characteristics that make for a well-rounded student and professional. Programs and activities<br />
within <strong>CIAN</strong>’s Education Program are ultimately categorized as University Education or Pre-College<br />
Education; however, there is an important element of overlap that is integral to <strong>CIAN</strong>’s overall Education<br />
Strategic Plan. In adhering to <strong>CIAN</strong>’s quadrilateral paradigm, <strong>CIAN</strong> ensures that all its university and precollege<br />
education activities fall within at least one of the four categories considered to enrich the<br />
educational experiences of all who are directly and indirectly involved in <strong>CIAN</strong> education activities.<br />
Figure 3.1. <strong>CIAN</strong> Quadrilateral Paradigm indicating values and<br />
motivations for university and pre-college education programs.<br />
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The four categories shown in Figure 3.1 enable students to benefit from industry exposure and<br />
networking; collaboration across <strong>CIAN</strong> and teamwork during pre-college activities; outreach activities<br />
that develop leadership skills, as well as cultivate an interest in STEM; and professional development<br />
activities that improve classroom curriculum for our youth and encourage Engineer of 2020 attributes in<br />
our students.<br />
UNIVERSITY EDUCATION PROGRAM<br />
<strong>CIAN</strong>’s university education strategic plan aspires to develop attributes in our students, through offered<br />
activities and programs, which prepare them for success in the modern photonics workforce, which is<br />
globally connected and based on proficiencies in diverse disciplines of high technology as well as<br />
knowledge of innovation and commercialization processes. The design of <strong>CIAN</strong>’s university education<br />
programs is guided by the understanding that through engagement in diverse learning and<br />
leadership experiences, in <strong>CIAN</strong>’s multi-institutional inter-disciplinary research environment, and<br />
through interactions with industry, students will gain the essential skills sets championed as the<br />
Engineer of 2020 attributes that will prepare them to be innovative engineers equipped for<br />
success in next-generation, diverse and global work environments.<br />
University Education Program Blueprint<br />
<strong>CIAN</strong>’s education programs and activities are distinctly linked to one or more of the attributes essential to<br />
preparing them to work in the next-generation’s innovative, global, diverse work environments. <strong>CIAN</strong>’s<br />
activities are developed and refined based on a culture of diversity of ideas and people, and <strong>CIAN</strong><br />
continually strives to ensure that <strong>CIAN</strong>’s programs provide opportunities for a diverse group of students<br />
from all backgrounds. Underrepresented communities continue to be a resource where future scientists<br />
and engineers can be generated. To this end, <strong>CIAN</strong> conducts pre-college outreach activities especially<br />
targeted to underrepresented communities near <strong>CIAN</strong> partner institutions. Greatly valuable to <strong>CIAN</strong> are<br />
its outreach partners who work directly with underrepresented student populations and who are experts in<br />
their outreach strategies.<br />
Table 3-2 provides an overview of <strong>CIAN</strong>’s university and pre-college education programs and activities,<br />
respective assessment tools, and maps them to the Engineer of 2020 attributes. Each activity has a<br />
purpose and is measured to demonstrate the degree to which the activity achieves its objective.<br />
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Strong Analytical Skills<br />
Practical Ingenuity,<br />
Innovation, & Creativity<br />
Communication<br />
Business, management and<br />
leadership<br />
Ethical Standards and<br />
Professionalism<br />
Dynamism, Agility,<br />
Resilience, & Flexibility<br />
Life Long Learners<br />
Engineer of 2020 Attributes<br />
Table 3-2. Map of <strong>CIAN</strong> Educational<br />
activities to desired skills sets and<br />
respective assessment tools to<br />
measure impact.<br />
Assessment Tools<br />
INDUSTRY<br />
ACTIVITIES<br />
Workshops on Industrial<br />
Practices<br />
Industry Webinars<br />
Internships<br />
Industry Speed<br />
Networking<br />
Graduate Student<br />
Portfolio<br />
• Post-Activity<br />
Survey<br />
• Data Collection<br />
• Graduate Student<br />
Portfolio<br />
• Participant <strong>Report</strong>s<br />
• Data Collection<br />
• Alumni Surveys<br />
• Data collection<br />
• Interview<br />
• Data Collection<br />
COLLABORATION<br />
ACTIVITIES<br />
SLC Organizing<br />
Committee<br />
• Graduate Student<br />
Portfolio<br />
Student Web<br />
Presentations<br />
• Data Collection<br />
• Graduate Student<br />
Portfolio<br />
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Student Travel Grants<br />
SLC Student Retreat<br />
IAB <strong>Annual</strong> Meeting<br />
Cross-<strong>CIAN</strong> and<br />
Cross-Discipline<br />
Collaboration Efforts<br />
Undergraduate<br />
Research Fellowships<br />
• Data Collection<br />
• Participant<br />
<strong>Report</strong>s*<br />
• Post-Activity<br />
Survey<br />
• Data Collection<br />
• Post-Activity<br />
Survey<br />
• Data Collection<br />
• Data Collection<br />
• Deliverables *<br />
• Data Collection<br />
• Participant<br />
<strong>Report</strong>s*<br />
REU<br />
Student Presentations<br />
• Pre-Post Surveys<br />
• Deliverables<br />
• Alumni Surveys<br />
• Data Collection<br />
• Graduate Student<br />
Portfolio<br />
• Faculty<br />
PROFESSIONAL<br />
DEVELOPMENT<br />
ACTIVITIES<br />
Mentoring<br />
REU/RET/Young<br />
Scholars<br />
Professional<br />
Development<br />
Workshops<br />
Complete Online<br />
Training Module for<br />
Responsible Conduct of<br />
Research<br />
Education<br />
Presentations<br />
• Participant Mentor<br />
Surveys*<br />
• Graduate Student<br />
Portfolio<br />
• Post-Activity<br />
Survey<br />
• Graduate Student<br />
Portfolio<br />
• Data Collection<br />
• Graduate Student<br />
Portfolio<br />
• Graduate Student<br />
Portfolio<br />
• Data Collection<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 133
Perfect Pitch<br />
Competition<br />
• Graduate Student<br />
Portfolio<br />
• Presentation<br />
critique rubric<br />
Super-course Modules • Course Evaluation<br />
• Faculty Evaluation<br />
• Graduate Student<br />
Portfolio<br />
• Data Collection<br />
OUTREACH<br />
ACTIVITIES<br />
Presentation and<br />
Demonstrations<br />
• Short oral pre-post<br />
survey*<br />
• Data collection<br />
RET • Pre-Post Surveys<br />
• Deliverables<br />
• Data Collection<br />
• Follow-up<br />
interviews<br />
• Participant Mentor<br />
Evaluation*<br />
• Pre-Post Survey*<br />
Young Scholars • Deliverables<br />
• Data Collection<br />
• Monthly report of<br />
experiences<br />
• Follow-up<br />
Interviews<br />
Summer Camps • Pre-Post Surveys<br />
• Data Collection<br />
• Deliverables<br />
Community Outreach<br />
Activities<br />
• Data Collection<br />
Tours • Data Collection<br />
*in development<br />
The <strong>Year</strong> 5 education goals for <strong>CIAN</strong> were to:<br />
- Ensure cross-<strong>CIAN</strong> collaboration<br />
- Ensure industry-student interaction<br />
- Ensure graduate student to undergraduate researcher ratio across <strong>CIAN</strong> remains below or at 2:1<br />
- Continue to engender in <strong>CIAN</strong> students the qualities of the Engineer of 2020<br />
- Expand Super-course modules<br />
University Education Activities<br />
<strong>CIAN</strong> offers activities that provide students with opportunities to improve and increase skills that engender<br />
the Engineer of 2020 attributes, and that involve industry, collaboration, professional development, and<br />
outreach. Many of the activities cut across these categories, but are grouped according to their primary<br />
objectives.<br />
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Industry-Student Activities<br />
1. Framing and Harvesting Innovation Workshop<br />
To expose students to the basic concepts of innovation, technology commercialization, entrepreneurship<br />
and evaluation of ideas for market feasibility, <strong>CIAN</strong> provided the workshop “Framing and Harvesting<br />
Innovation.” This workshop kicked off the process of evaluating <strong>CIAN</strong> technologies for commercialization.<br />
Following the workshop, teams of researchers, MBA students and IAB members were formed to<br />
investigate and explore in detail some of the promising <strong>CIAN</strong> technologies. There will be a continuous<br />
follow up of this process with additional training and involvement of the UCSD von Liebig Center and<br />
Graduate Schools of Business at University of Arizona, UC San Diego and other <strong>CIAN</strong> participating<br />
universities.<br />
Day one consisted of a series of industry speakers, <strong>CIAN</strong> researchers, and Kenneth Smith, former Dean<br />
of the Eller College of Management at the University of Arizona. This set the stage for the exercises on<br />
day two. The goal was to develop the technology commercialization understanding of scientific and<br />
engineering leaders so that students can partner with business professionals in identifying potential<br />
opportunities for commercialization, complete commercial feasibility studies, develop a licensing plan, a<br />
business venture plan and/or a technology roadmap as appropriate.<br />
Participants were organized into two working group teams based on the <strong>CIAN</strong> focus areas of 1) Intelligent<br />
Aggregation Networks and 2) Data Center Backend. These teams applied the concepts of the workshop<br />
to identify and evaluate numerous commercialization opportunities for <strong>CIAN</strong> research. At the end of day<br />
one, participants were given a Harvard Business Case Study to prepare for a discussion during day two<br />
of the workshop. Developing a partnership between MBA students and <strong>CIAN</strong> students harnesses<br />
complementary resources who share the same vision and goals for innovation and entrepreneurship.<br />
Highlight: A team of <strong>CIAN</strong> students from Columbia (Michael Wang and Atiyah Ahsan), applied for a<br />
course and have been accepted next semester at the Columbia Business School. The team consists of<br />
Columbia MBA students as well. The extended team is made up <strong>CIAN</strong> students, Anthony Yeh from<br />
Berkeley, Brandon Buckley from UCLA, Quentin Kennedy (undergraduate student) from Tuskegee and<br />
Brett Wingad from UCSD. In order to apply the principles learned at the Innovation Workshop, <strong>CIAN</strong><br />
wanted the student researchers from the <strong>CIAN</strong> University to partner with the local business school to<br />
create a technology feasibility plan or mini business plan. The course at the Columbia Business School is<br />
a way to create this plan. The plan is to present to the IAB at the appropriate time as an innovative way to<br />
start the process of commercializing <strong>CIAN</strong> technologies. Michael and his team are planning to engage as<br />
many interested <strong>CIAN</strong> students as possible to be on this great journey over the next semester.<br />
Evaluation:<br />
In October 2012, eight graduate students from six <strong>CIAN</strong> universities made up the two student-teams for<br />
<strong>CIAN</strong>’s “Framing and Harvesting Innovation Workshop.” Responses to an online survey measuring the<br />
success of the workshop revealed the participants felt the activities in the workshop were useful to<br />
learning basic concepts of innovation, technology, commercialization, entrepreneurship and evaluation of<br />
ideas for market feasibility. First, students were asked to rate the usefulness of individual workshop<br />
sessions. Next, they were prompted to describe how the Engineer 2020 attributes, Creativity and<br />
Practical Ingenuity, were cultivated. Respondents were then asked to list three things learned from the<br />
workshop and how they planned on using the newly acquired information. Lastly, they were given the<br />
opportunity to leave additional feedback about the workshop.<br />
Figure 3.2 below displays the various presentation topics and how useful participants rated each<br />
presentation. Values on each bar indicate the number of respondents who selected that rating, and there<br />
is an overwhelming abundance of “useful” ratings (purple) and a significant number of “very useful” and<br />
“extremely useful” (blue and orange) ratings as well. In general, participants found the presentations to be<br />
very helpful in teaching basic concepts of innovation, technology commercialization, entrepreneurship<br />
and evaluation of ideas for market feasibility.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 135
Number of Respondents<br />
Figure 3.2. Student self-report of how useful each Framing and<br />
Harvesting Innovation presentation and activity was in<br />
developing the basic concepts of innovation, technology<br />
commercialization, entrepreneurship and evaluation of ideas for<br />
market feasibility.<br />
Students were also asked how the workshop related to certain Engineer of 2020 attributes. Table 3-3<br />
below summarizes the ratings:<br />
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Table 3-3. Impact of Innovation Workshop on Developing Engineer of 2020 Attributes<br />
To what degree did you<br />
gain insight, increase<br />
your ability to use, or<br />
learn skills related to the<br />
following Engineer 2020<br />
attributes<br />
PRACTICAL<br />
INGENUITY<br />
Not at all A little Somewhat<br />
20% (1) 20% (1) 60%(3)<br />
In this <strong>CIAN</strong> activity, and related to this<br />
attribute, was anything in particular taught,<br />
cultivated, or encouraged The following<br />
responses were given:<br />
-“They show you how you can go a little<br />
further to get the answer or results you<br />
need”<br />
-“brainstorming existing pain points for<br />
potential customers was very useful.”<br />
- “Our research efforts typically involve<br />
asking theoretical questions. Thinking about<br />
real world problem gave a very interesting<br />
perspective.”<br />
CREATIVITY 0% 40% (2) 60% (3)<br />
-“They showed you ways to present in your<br />
own way”<br />
-Taught you “ how to sell yourself in a way<br />
that is comfortable for you”<br />
When workshop participants were asked to list three things learned during the workshop, they gave the<br />
following responses:<br />
Entrepreneurship seems daunting, but there are proven keys to success that exist<br />
How to become a leader<br />
Communication is essential to solving customers’ problems<br />
A compelling presentation format is just as important as the idea<br />
Customer problems are different from research problems<br />
How to negotiate<br />
<strong>CIAN</strong> projects have the potential to address real world problems, TODAY<br />
Finally, students stated that they would be using information gained from the Innovation workshop in the<br />
following ways:<br />
“I'm less intimidated about the process of becoming an entrepreneur” and “I will be sure to start<br />
making friends with people who are smart at business, not just technical folks.”<br />
“I can use this info in the business world and presentation”<br />
“Better prepared for a start-up/entrepreneurial experience”<br />
Summary<br />
The Framing and Harvesting Innovation Workshop was a great success and participants found the<br />
experience to be both useful and informative.<br />
2. OIDA/<strong>CIAN</strong> Workshops<br />
Seventeen graduate and postdoctoral students from five <strong>CIAN</strong> universities attended the OIDA/<strong>CIAN</strong> Data<br />
Center Workshop on Optical Communication Networks: Quantitative Metrics in the Data Center<br />
Workshop/Roadmap <strong>Report</strong> Session on March 4, 2012. Two non-<strong>CIAN</strong> students participated as well,<br />
bringing the total student participants to nineteen. All students participated in a poster session at the<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 137
workshop. <strong>CIAN</strong> will partner with OIDA again on March 17, 2013 to host another OIDA/<strong>CIAN</strong> Workshop<br />
on Future Needs of “Scale-Out” Data Centers: An OIDA Workshop for Stakeholders. Funding is available<br />
to support a poster session for up to eighteen student participants.<br />
3. Industry Web Presentations<br />
The Student Leadership Committee (SLC) plans monthly web presentations and interactive discussions<br />
by industry, education, and student presenters. The SLC Organizing Committee is charged with planning<br />
the Industry Web Presentations between <strong>CIAN</strong> industry members and students. During these<br />
presentations, <strong>CIAN</strong> students from across campuses view and interact live with our industry presenters.<br />
IAB members are also invited to attend the web presentations. Education and student web presentations<br />
are also offered monthly, as will be discussed further in sections below.<br />
Industry Related Web Presentations:<br />
February 2012: Panel presentation by <strong>CIAN</strong> alumni working in industry and a government lab with<br />
advice for students on the job hunt, skills needed, and interviewing and negotiating. Participants<br />
on the panel were:<br />
- Michael Shearn (Caltech <strong>CIAN</strong> alumnus) from NASA Jet Propulsion Laboratory<br />
- Earl Parsons (UA <strong>CIAN</strong> alumnus) from TE SubCom<br />
- Okechukwu Akpa (Tuskegee <strong>CIAN</strong> alumnus) from Intel<br />
- Steve Zamek (UCSD <strong>CIAN</strong> alumnus) from KLA-Tencor Corp<br />
April 2012: Presenter, Craig Healey from Fujitsu<br />
December 2012: Presenter, Bala Bathula from AT&T (<strong>CIAN</strong> alumnus)<br />
January 2013: Presenter, Rakesh Kumar, President and CEO of TCX Technology Connexions<br />
Links to Industry Web Presentations and student-participation is discussed under the Student Web<br />
Presentations section and illustrated in table 3-4.<br />
4. Internships<br />
Nine <strong>CIAN</strong> students participated in internships during <strong>Year</strong> 5. Robert Margolies from Columbia<br />
University interned at AT&T Research Labs. He characterized the repeatability, predictability, and<br />
applications of experimentally obtained received signal power on cellular networks in the presence of<br />
human mobility. He demonstrated that the repeatable patterns of received signal power along a user’s<br />
commute can improve handoff procedures and scheduling algorithms. This work resulted in a patent<br />
(pending) and a conference paper submission (also pending). The algorithm’s cross-layer design<br />
attempts to improve the efficiency of base station schedulers and hence, improve throughput on the edge<br />
network, also aligning with the goals of <strong>CIAN</strong>. He benefitted significantly from numerous discussions with<br />
cellular and networking industry experts. Additionally, his Columbia research group has continued their<br />
collaboration over the past seven months. This collaboration leverages his research background from<br />
Columbia which is more theory-oriented and the practical deployment knowledge of the members of<br />
AT&T. Further, AT&T has provided significant data-sets to be used as inputs to their algorithms. Byron<br />
Cocilovo from UA has been interning at Sharp Laboratories of America. He is constantly presented with<br />
new and interesting challenges that require the full breadth of his optics knowledge. He reports that<br />
exploring the possibilities and limitations of new inventions is stimulating and exciting, especially when he<br />
is able to combine his expertise with the expertise of others. Byron commented, “Seeing how companies<br />
direct their research in contrast to academic institutions has been interesting. In academia, many<br />
problems are solved mostly for their intellectual merit, whereas in industry the focus is on making<br />
products. This focus on making products forces each team member to constantly be considering all the<br />
stages of the device, from design to fabrication, to ensure that the product will be economically and<br />
practically feasible.” Ruinan Chang from UCSD interned at ANSYS and learned how to use the HFSS<br />
software series, particularly SIwave and Designer. These software can be used to simulate optical<br />
structures, which will be helpful for this <strong>CIAN</strong> research. Adam Jones from UA has had a long-term<br />
internship with Sandia National Laboratories since February 2012 through the current date, February<br />
2013. He is learning how to design, fabricate and test silicon photonic circuits. Frank Rao from UC<br />
Berkeley interned at Bandwidth 10, which is a startup company that is trying to convert the technology<br />
sponsored by <strong>CIAN</strong> to a commercially available product. Frank reported that the internship was a great<br />
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opportunity to connect what he has learned from his university research to industry, especially in regards<br />
to how to develop a true product. A valuable insight was the finesse and discipline required in industry<br />
and the continuous feedback that guides their daily research. Mike Zhang from UA interned at NEC<br />
Laboratories America and really valued the opportunity to work on leading-edge research in optical<br />
communications. The training he received in the practical applications of the technology that industry<br />
uses has been helpful in his graduate classes. His broadened vision of optical communication<br />
research as well as his new training is proving to be helpful in his <strong>CIAN</strong> research. Marco Escobari<br />
interned at Western Digital Corporation; Shaojing Li interned at Qualcomm; and Olesya Bondarenko<br />
interned at Oracle Labs, all three from UCSD.<br />
5. Industrial Advisory Board <strong>Annual</strong> Meeting<br />
This year, 17 students from 10 <strong>CIAN</strong> universities (1 foreign partner) were in attendance at the IAB <strong>Annual</strong><br />
Meeting, to include an international student from Germany:<br />
- Olesya Bondarenko, UCSD<br />
- Brandon Buckley, UCLA<br />
- Cathy Chen, Columbia<br />
- William Fegadolli, Caltech<br />
- Alex Forencich, UCSD<br />
- Michael Gehl, UA<br />
- Roland Himmelhuber, UA<br />
- Quinton Kennedy, Tuskegee<br />
- Weiyang Mo, UA<br />
- Ali Emsia, Technische Universität Darmstadt, Germany<br />
- Frank Rao, Berkeley<br />
- Michael Wang, Columbia<br />
- Anthony Yeh, Berkeley<br />
- Sander Zandbergen, UA<br />
- Morteza Ziyadi , USC<br />
- Ronesha Rivers, NSU<br />
- Noam Ophir, Columbia<br />
Activities that brought industry members and students together during the IAB meeting include:<br />
Student Presentations to Industry<br />
After brief introductions from the working group, primary investigators, along with select students gave<br />
brief six minute overviews of research followed by questions. The research overview section of the<br />
meeting was especially rewarding for the students to showcase their work and offered a platform for<br />
conversations with industry members during the speed networking session to follow.<br />
Industry Panel for Students<br />
This meeting also included an IAB panel made up of several IAB members that answered student<br />
questions. Students were able to ask candid questions about interviewing, day-to-day experiences at<br />
specific companies, and garner advice from the IAB members.<br />
Speed Networking with Industry<br />
Students participated in a “speed networking” session. Students rotated through short 5-minute<br />
networking sessions with all members of the IAB. This was a great culmination to the day, as it offered<br />
students the opportunity to speak one-on-one with potential mentors and employers. This event was<br />
received warmly by both sides.<br />
6. Graduate Student Portfolio Program<br />
The Graduate Student Portfolio Program serves two purposes: 1) to provide a way for industry members<br />
to evaluate the dynamism of our <strong>CIAN</strong> students beyond their resume or CV; and 2) as a tool for <strong>CIAN</strong><br />
Education Director, Dr. Huff, and <strong>CIAN</strong> faculty advisors to directly evaluate the progress of <strong>CIAN</strong> students<br />
in developing Engineer of 2020 attributes. Students were sent instructions for putting together their<br />
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portfolio and a rubric to help them recognize relevant work and activities. Dr. Huff will review the portfolio<br />
at minimum once a year and provide students appropriate feedback. Portfolios will be promoted with our<br />
industry members once they are developed and available online (summer 2013).<br />
Collaboration Activities<br />
1. SLC Organizing Committee Participation Across <strong>CIAN</strong><br />
In keeping with one of <strong>CIAN</strong> education program’s priorities, participation from <strong>CIAN</strong> students across the<br />
center continued to be encouraged in <strong>Year</strong> 5. Given that there are a greater number of <strong>CIAN</strong> students at<br />
UA and UCSD, it is reasonable that more <strong>CIAN</strong> education activities may<br />
occur at these sites. However, <strong>CIAN</strong> has gone to great lengths in <strong>Year</strong>s 4<br />
and 5 to ensure collaborative education activities occur more<br />
proportionately across <strong>CIAN</strong> sites. The SLC was strengthened in <strong>Year</strong> 5<br />
by having four officers that were given leadership and decision-making<br />
roles for specific education programs, and a SLC representative at each<br />
<strong>CIAN</strong> partner university. The SLC was responsible for activities such as<br />
coordinating the monthly web presentations, awarding domestic travel<br />
grant funds, coordinating the SLC Student Retreat and its professional<br />
development workshops, and planning and coordinating the annual IAB<br />
meeting. The SLC Officers engaged the SLC representatives in the<br />
planning of these events, ensuring cross-<strong>CIAN</strong> input, collaboration, and<br />
participation. The SLC meetings take place online using webcams so<br />
SLC Reps and Organizing<br />
Committee<br />
students can see each other “face-to-face” and recognize each other at <strong>CIAN</strong> meetings to facilitate better<br />
networking. Student officer positions are one-year terms to ensure continuity for SLC leadership and<br />
activities. The Vice-Chair is selected with the understanding that he or she will serve as chair the<br />
following year.<br />
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2. Student Research Web Presentations<br />
The student research web presentations offer an excellent opportunity for students at different <strong>CIAN</strong> sites,<br />
as well as <strong>CIAN</strong> industry members and leadership, to learn more about cross-<strong>CIAN</strong> research, as well as<br />
for Dr. Huff to offer constructive criticism of presentation skills off-line (Dr. Huff taught OPTI 597B,<br />
Technical Communication, at UA Fall 2011 and 2012). The student presenters are given the opportunity<br />
to practice their presentations beforehand for practice and to be critiqued by Dr. Huff. The SLC Chair<br />
coordinates the student web presentations and, again, engages the SLC Site Representatives to assist in<br />
finding student presenters at their site.<br />
Student Research Web Presenters<br />
April 2012: Overview Project Presentations<br />
- Hudu Mohammad, Tuskegee University, Project C2-1 - Heterogeneous Integration<br />
- Ryan Aguinaldo, UCSD, Project C2-2 - Si Manufacturing<br />
- Roland Himmelhuber, UA, Project C3-2 - Optical Modulators<br />
- Atiyah Ahsan, Columbia University, Project C1-3 - <strong>CIAN</strong> Boxes<br />
<br />
<br />
<br />
June 2012: Overview Project Presentations<br />
- Lawrence Tzuang, Cornell University, Project C2-2 - Integrated CMOS Compatible<br />
Isolator<br />
- Richard Strong, UCSD, Project C1-1 - MORDIA: Microsecond Optical Switching<br />
September 2012: Overview Project Presentations<br />
- Yi (Frank) Rao, UC Berkeley, Project C3-1 Optical Sources, "Tunable Long Wavelength<br />
High-Contrast-Grating (HCG) VCSEL"<br />
- Michael Gehl, UA, Project C3-1 Optical Sources, "Active Silicon Nanobeam Cavities"<br />
January 2013: Overview Project Presentations<br />
- Ryan Aguinaldo, UCSD, “Silicon Thermo-Optic Switching”<br />
- Ruinan Chang, UCSD, “Fast Integral Methods for Optical SPLICE”<br />
Table 3-4. Evidence of <strong>CIAN</strong> cross-center interaction and collaboration<br />
OIDA OIDA/<strong>CIAN</strong> Optical Communication Workshop:<br />
Future Directions and Metrics in Aggregation Networks<br />
17 graduate and post-doc<br />
students<br />
5 <strong>CIAN</strong><br />
institutions<br />
<strong>CIAN</strong> <strong>Annual</strong> Retreat, LA<br />
Creating Innovation for the Market Workshop, UCSD<br />
Feb. 14, 2012 <strong>CIAN</strong> Alumni in Industry Web Panel<br />
http://chem-stc-vid.chemistry.arizona.edu/p36373056/<br />
April 13, 2012 <strong>CIAN</strong> student web presentation<br />
http://chem-stc-vid.chemistry.arizona.edu/p26162501/<br />
April 16, 2012 <strong>CIAN</strong> industry web presentation<br />
Fujitsu<br />
http://chem-stc-vid.chemistry.arizona.edu/p87528637/<br />
34 graduate students<br />
8 graduate students<br />
16 graduate students, 1<br />
undergraduate, 1 postdoc,<br />
2 staff<br />
19 graduate students, 2<br />
undergraduate<br />
researchers<br />
11 graduate students, 1<br />
undergraduate researcher<br />
10 <strong>CIAN</strong><br />
institutions<br />
6 <strong>CIAN</strong><br />
institutions<br />
9 <strong>CIAN</strong><br />
institutions<br />
8 <strong>CIAN</strong><br />
institutions<br />
6 <strong>CIAN</strong><br />
institutions<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 141
June 1, 2012 <strong>CIAN</strong> student web presentation<br />
http://chem-stc-vid.chemistry.arizona.edu/p94735091/<br />
Sept. 7, 2012 Education free webinar<br />
Stanford’s “Design Thinking and Peak Performance:<br />
Getting the Most out of Innovation”<br />
Sept. 21, 2012 <strong>CIAN</strong> student web presentation<br />
https://sas.elluminate.com/site/external/jwsdetect/playba<br />
ck.jnlppsid=2012-09-<br />
21.1059.M.0C6AEE9C6C7753483E3A5315253B73.vcr<br />
&sid=2009207<br />
Dec. 14, 2012 <strong>CIAN</strong> industry presentation<br />
17 graduate students, 1<br />
undergraduate researcher<br />
Participation could not be<br />
tracked<br />
13 graduate students<br />
11 graduate students<br />
5 <strong>CIAN</strong><br />
institutions<br />
5 <strong>CIAN</strong><br />
institutions<br />
5 <strong>CIAN</strong><br />
institutions<br />
Jan. 11, 2013 <strong>CIAN</strong> student web presentation<br />
https://sas.elluminate.com/site/external/jwsdetect/native<br />
playback.jnlpsid=2009207&psid=2013-01-<br />
11.1123.M.0C6AEE9C6C7753483E3A5315253B73.vcr<br />
Jan. 18, 2013 <strong>CIAN</strong> industry presentation<br />
https://sas.elluminate.com/site/external/jwsdetect/native<br />
playback.jnlpsid=2009207&psid=2013-01-<br />
18.1140.M.0C6AEE9C6C7753483E3A5315253B73.vcr<br />
14 graduate students, 2<br />
undergraduate<br />
researchers<br />
12 graduate students<br />
5 <strong>CIAN</strong><br />
institutions<br />
5 <strong>CIAN</strong><br />
institutions<br />
3. Student Travel Grants<br />
Domestic Travel Grants<br />
Six domestic travel grants were used for <strong>CIAN</strong> students to collaborate on <strong>CIAN</strong> research at other <strong>CIAN</strong><br />
universities. The domestic travel grants are $1,000, and the international travel grants are $2,000.<br />
Two students from UC Berkeley (Research Thrust 2), Anthony Yeh and Sangyoon Han, visited the <strong>CIAN</strong><br />
lab at Columbia University (Research Thrust 1) to bring a test chip for the ongoing collaboration to make<br />
an integrated chip for the OPM device.<br />
One Columbia University student, Cathy Chen, visited a <strong>CIAN</strong> lab at UCLA as part of an initiative to link<br />
Columbia’s optical testbed to a wireless WiMax station. The goal was to collaborate with Professor Jalali's<br />
lab to integrate Fiber Optic ICs into Columbia’s testbed to further it's dynamic, cross layer routing abilities.<br />
Two other Columbia University students, Michael Wang and Atiyah Ahsan, along with industry member,<br />
Bala Bathula, visited University of Arizona’s <strong>CIAN</strong> TOAN testbed in order to insert the <strong>CIAN</strong> Box. The<br />
research agenda of WG2 is specifically geared towards developing a cross-layer information exchange<br />
node called <strong>CIAN</strong> Box that optimizes the network’s energy efficiency, while providing QoS/QoT via optical<br />
layer introspection on heterogeneous access aggregation traffic.<br />
International Travel Grants<br />
Michael Gehl, a student from University of Arizona’s Khitrova’s group (Thrust 3), traveled to Germany and<br />
Finland, and met with one of <strong>CIAN</strong>’s collaborating partners. He first traveled to Karlsruhe Institute of<br />
Technology in Germany and worked with the group of Dr. Martin Wegener to learn how to fabricate nano-<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 142
optical devices using electron beam lithography. Michael then visited Aalto University, a <strong>CIAN</strong><br />
collaborating partner, in Helsinki, Finland. Dr. Galina Khitrova’s group has been collaborating with the<br />
group of Prof. Seppo Honkanen at Aalto on a project aiming to incorporate erbium with silicon nanobeam<br />
cavities.<br />
The goal of Michael’s trip was to be trained in the use of electron beam lithography for the fabrication of<br />
nano-optical devices. As a result of his training Michael was able to learn how to fabricate silver nanocavities<br />
which are being studied to increase the modulation speed of semiconductor photonic devices.<br />
After his trip, this work was continued by his colleague and has led to several samples which are currently<br />
being studied at the University of Arizona. Michael plans to return to Germany in April of 2013 to<br />
fabricate more devices for this project.<br />
Michael’s trip to Finland has helped facilitate more<br />
effective communication with their collaborators. During<br />
his visit he was given a tour of the Aalto University clean<br />
room facilities, in particular the atomic layer deposition<br />
reaction chambers. The Aalto group was using these<br />
facilities to deposit erbium on silicon nanobeam cavities.<br />
As a result of his visit, Michael was able to return to the<br />
University of Arizona with an erbium coated sample which<br />
was studied by his group. Since Michael’s visit Antti<br />
Sayanatjoki, a member of the Aalto group, has made two<br />
trips to the University of Arizona, continuing their<br />
collaboration.<br />
The main lecture hall of Aalto University<br />
These 6 travel grants greatly enabled our <strong>CIAN</strong> students to collaborate on research efforts at other <strong>CIAN</strong><br />
universities, and are a valuable means of engendering key Engineer of 2020 attributes, such as<br />
communication, practical ingenuity, and dynamism, agility, resilience, and flexibility.<br />
4. Foreign Partnerships and Faculty to Faculty Foreign Collaborations<br />
<strong>CIAN</strong>’s international collaborations have continued to be active and beneficial to both domestic and<br />
international partners.<br />
Aalto University and University of Eastern Finland (Finland): A number of significant research<br />
interactions occurred with Dr. Seppo Honkanen’s of the University of Eastern Finland and his<br />
collaborators at Aalto University. The ongoing research in Dr. Norwood’s and Dr. Peyghambarian’s group<br />
at the University of Arizona on polymer-based magneto-optic devices, in particular integrated optical<br />
isolators, has been a fruitful area for interaction with Dr. Honkanen for several years, and has featured<br />
joint publications and conference presentations. <strong>CIAN</strong> student, Michael Gehl, from University of Arizona’s<br />
Khitrova group (Thrust 3), used a <strong>CIAN</strong> international travel grant to spend two months visiting foreign<br />
partner schools, as detailed in the section above. Dr. Antti Säynätjoki, a post-doc in Prof. Honkanen’s<br />
group, has spearheaded collaboration with the UA team on silicon photonics based hybrid optical<br />
isolators, which would be a significant breakthrough in the field of integrated optics. Dr. Säynätjoki began<br />
a visit to the College of Optical Sciences at the University of Arizona in January of 2012, and stayed<br />
through April 2012. In addition to the collaboration with the Norwood/Peyghambarian team, the Aalto/U. of<br />
Eastern Finland team had also been collaborating with Dr. Hyatt Gibbs (deceased) and Dr. Galina<br />
Khitrova.<br />
Darmstadt University of Technology (Germany): During the summer of 2012, Mohammadreza<br />
Malekizandi of the Institute of Microwave Engineering and Photonics at TU Darmstadt, joined<br />
the Advanced Optical Networks group of Professor Milorad Cvijetic at the College of Optical Sciences,<br />
University of Arizona, for a three month exchange within the framework of the international<br />
partnership. The overall focus of the research is an exhaustive study on the role that semiconductor<br />
optical amplifiers (SOA) play in the regeneration of impaired phase modulated signals. Mohammad Reza,<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 143
from USC, worked on modeling and simulating a promising new SOA configuration known as ''the<br />
colliding-pulses scheme''. Thanks to <strong>CIAN</strong> support, a thorough characterization of this new scheme was<br />
made possible and the findings were presented during the SPIE Photonics West 2013 conference. In<br />
addition to the well-established and frequent student exchange between the two institutions, <strong>CIAN</strong> started<br />
to exchange faculty members as well in January 2013. Professor Ivan Djordjevic, ECE UA, is going to<br />
spend a sabbatical (Jan. through Dec. 2013) at TU Darmstadt where he now holds the position of a TU-<br />
Darmstadt-Fellow.<br />
Korea Advanced Institute of Science and Technology (KAIST): <strong>CIAN</strong> faculty member Galina Khitrova<br />
continues fruitful collaboration with Professor Yong-Hee Lee at KAIST. Professor Lee’s group focuses on<br />
semiconductor nano photonics with Si and III-V materials. Within the last three years, the Khitrova group<br />
published several papers and a book chapter on the use of a curved single mode optical micro-fiber taper<br />
spectroscopy apparatus that a visiting student from KAIST helped to implement. The Khitrova group had<br />
no previous experience making the custom fiber tapers needed to use this spectroscopy apparatus. <strong>CIAN</strong><br />
students Sander Zandbergen and J. D. Olitsky learned about the necessary equipment and techniques<br />
needed to fabricate micro-fiber tapers while in Korea working with Prof. Lee’s group, ultimately giving the<br />
Khitrova group the ability to set up a micro-fiber curving/taper apparatus in the lab at the College of<br />
Optical Sciences.<br />
5. SLC Student Retreat<br />
The SLC Student Retreat took place in conjunction with the<br />
<strong>CIAN</strong> <strong>Annual</strong> Retreat in October 2012, Los Angeles, CA. The<br />
SLC Organizing Committee and SLC Site Representatives<br />
coordinated the retreat with minimal guidance from the<br />
Education Director. The retreat brought together 34 <strong>CIAN</strong><br />
students, including two undergraduate students, across 10<br />
<strong>CIAN</strong> institutions. The students participated in professional<br />
development workshops and activities together. Professional<br />
development workshops will be discussed further under the<br />
Professional Development section.<br />
<strong>CIAN</strong> Students at SLC Retreat<br />
6. Cross-<strong>CIAN</strong> and Cross-Discipline Collaboration<br />
In order to apply the principles learned during the Framing and Harvesting Innovation Workshop held<br />
earlier this year, Student researchers from the <strong>CIAN</strong> universities will partner with local business schools to<br />
create a Technology Feasibility Plan or mini business plan. This cross-<strong>CIAN</strong>, cross-discipline approach<br />
allows <strong>CIAN</strong> student researchers to leverage off the business and entrepreneurial knowledge of MBA<br />
students. These collaborations will provide <strong>CIAN</strong> students with a greater understanding of innovation,<br />
technology commercialization, entrepreneurship, and evaluation of ideas for market feasibility.<br />
Highlight: As a follow up from this year’s Harvesting and Framing Innovation Workshop, a team of <strong>CIAN</strong><br />
students from Columbia has been accepted into a course at the Columbia Business School. The team<br />
consists of Columbia MBA students from the Columbia Business School as well. The extended team<br />
consists of <strong>CIAN</strong> students, Anthony Yeh (Berkeley), Brandon Buckley (UCLA), Quentin Kennedy<br />
(undergraduate from Tuskegee), and Brett Wingad (UCSD). The course at the Columbia Business School<br />
is a way to create this plan. The plan will be presented to the IAB when it is completed as an innovative<br />
way to start the process of commercializing <strong>CIAN</strong> technologies. The Columbia team is planning to engage<br />
as many interested <strong>CIAN</strong> students as possible to be on this great journey over the next semester at<br />
Columbia.<br />
7. <strong>CIAN</strong> Undergraduate Research Fellowships<br />
Participation in education activities by partner institutions was enhanced by providing ten research<br />
fellowships of up to $5,000 to undergraduate students each year. These fellowships have enabled <strong>CIAN</strong><br />
to lower its graduate to undergraduate ratio to 1.8. In <strong>Year</strong> 5, <strong>CIAN</strong> has awarded twenty-one<br />
undergraduate research fellowships to eighteen students at all ten <strong>CIAN</strong> partner institutions (three<br />
students received a follow-on fellowship). This program allows undergraduate students to work on<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 144
esearch projects in <strong>CIAN</strong> labs, improving the graduate to undergraduate ratio. One of the fellows was a<br />
student at one of our outreach partner institutions, Pima Community College, which is a Hispanic-serving<br />
institution and is a S-STEM grant recipient.<br />
- Patrick Thrasher, University of Arizona<br />
- Jared Anderson, University of Arizona<br />
- Sean Ashley, University of Arizona<br />
- Jose Casares, Pima Community College<br />
- Sarah Larsen, University of California, San Diego<br />
- Dor Gabay, University of California, San Diego<br />
- Princeton Jackson, Tuskegee University<br />
- Quinton Kennedy, Tuskegee University<br />
- Donnita McArthur, Norfolk State University<br />
- Franiece Bennett, Norfolk State University<br />
- Nathan Mungo, Norfolk State University<br />
- Elliot Katz, Columbia University<br />
- Luis Pena, Columbia University<br />
- Nic Murillo, University of Southern California<br />
- Abram Ellison, University of California, LA<br />
- Jodi Loo, University of California, Berkeley<br />
- Tsung-Ju Lu, Caltech<br />
- Brian Stern, Cornell University<br />
8. Integrated Optics for Undergraduates (IOU) REU Program<br />
<strong>CIAN</strong> continued its fourth year of a Research Experience for Undergraduates (REU) Program, named<br />
Integrated Optics for Undergraduates (IOU), in photonic communications. Since <strong>CIAN</strong> began, 50<br />
students have participated in our REU program. The goals of the program are to expand student<br />
participation and interest in optics; to develop a diverse and internationally competitive pool of<br />
undergraduates with cross-disciplinary perspectives on photonic communication research; to encourage<br />
undergraduate students to pursue graduate school studies and professional careers in science and<br />
engineering; and to develop the teaching, mentoring, and project management skills of <strong>CIAN</strong> graduate<br />
and postdoctoral mentors. Specific dates vary by institution due to the host universities’ academic<br />
calendar. REU students are integrated into <strong>CIAN</strong> research activities since REU research projects are<br />
based on <strong>CIAN</strong>-related research. REU students are also partnered with <strong>CIAN</strong> graduate student mentors<br />
and <strong>CIAN</strong> faculty. Several <strong>CIAN</strong> REUs also attended <strong>CIAN</strong>’s SLC monthly student presentations and<br />
industry online presentations.<br />
University of Arizona, Tucson: June 3-August 7, 2012<br />
University of California, San Diego: June 26-August 17, 2012<br />
Columbia University: May 27-August 3, 2012<br />
University of California, Berkeley: June 10-August 11, 2012<br />
University of Southern California: June 4-August 3, 2012<br />
<strong>CIAN</strong> is committed to running the IOU program in concert with other undergraduate summer programs on<br />
each of these campuses. At the U of A site, the IOU program partners with the summer activities of NSF<br />
and NIH undergraduate research programs targeting underrepresented students, including Minority<br />
Access to Research Careers (MARC), McNair, and Minority Health Disparities (MHD) programs. These<br />
partnerships are made possible through <strong>CIAN</strong>’s membership in the Undergraduate Research<br />
Opportunities Consortium (UROC). UROC is a consortium of federally and institutionally funded research<br />
programs designed to increase the number of first generation-college, low income and underrepresented<br />
students who are interested in graduate school. At UCSD, <strong>CIAN</strong> partners with the Summer Training<br />
Academy for Research in the Sciences (STARS) program, which targets underrepresented students and<br />
is funded by several NSF diversity programs, such as LSAMP, CAMP, RISE, and MARC.<br />
Ordinarily, twelve IOU students are funded each summer - ten through a <strong>CIAN</strong>-associated REU Site<br />
Award and two with <strong>CIAN</strong>’s base education funds. In 2012 four additional students were funded and the<br />
program expanded its summer sites to include the University of Southern California (USC) and the<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 145
University of California, Berkeley (UC Berkeley). A total of sixteen IOU students participated in the<br />
program - twelve were funded through the site award and four were funded with base funds. The<br />
students conducted summer research in <strong>CIAN</strong> laboratories at the following sites: The University of<br />
Arizona (4), University of California, San Diego (6), Columbia University (3), University of California,<br />
Berkeley (1), and University of Southern California (2). In <strong>Year</strong> 5, a total of $169,662 (including IDC) was<br />
spent on the IOU program - $36,726 from <strong>CIAN</strong>’s base funding and $132,936 from the REU site award.<br />
Under-represented Minority Student Recruitment for the 2012 Program<br />
<strong>CIAN</strong> continued to increase recruitment efforts to sites with large populations of Native American and<br />
Hispanic students and students with disabilities. Methods of recruitment involved phone calls, e-mails,<br />
mailings and presentations. <strong>CIAN</strong> graduate students and staff represented <strong>CIAN</strong> and brought advertising<br />
material to national minority conferences such as the National Society of Black Engineers (NSBE), the<br />
Society for the Advancement of Chicanos/Hispanics and Native Americans in Science (SACNAS), and<br />
the American Indian Science and Engineering Society (AISES). <strong>CIAN</strong> joined other ERCs at the ERC<br />
recruitment booth at the SACNAS and AISES conferences.<br />
<strong>CIAN</strong>’s staff and students also gave presentations to and sent emails to contacts at Historically Black<br />
Colleges and Universities (HBCUs), Hispanic Serving Institutions (HSIs), and student chapters of SHPE,<br />
SACNAS, NSBE, and SWE at <strong>CIAN</strong> institutions or sites near <strong>CIAN</strong> institutions with high populations of<br />
Hispanic or Native American students. This included Arizona State University, Northern Arizona State<br />
University, University of Arizona, Norfolk State University, Columbia University, Rose-Hulman Institute of<br />
Technology, and <strong>CIAN</strong> HSI partners Pima Community College and San Diego City College. Presentations<br />
were also given at San Diego State University’s S-STEM program by a former REU student, at UC San<br />
Diego’s SWE and NSBE chapters by <strong>CIAN</strong> graduate students, at UC San Diego’s California Louis Stokes<br />
Alliance for Minority Participation (CAMP) in Science, Engineering and Mathematics program, at San<br />
Diego City College’s MESA program, and at the Norfolk State University’s Two + Three Community<br />
College to University Program students. <strong>CIAN</strong> professor, Frances Williams, from NSU traveled to our new<br />
partner, the Southwestern Indian Polytechnic Institute (SIPI), to give a recruitment presentation and meet<br />
with faculty and the Department Chair of the Engineering and Engineering Technology Programs. SIPI is<br />
located near Albuquerque, New Mexico, is a “National Indian Community College and Land Grant<br />
Institution”. A campus visit was also conducted at Gallaudet University. Both Gallaudet and Rochester<br />
Institute of Technology were contacted because of their large population of deaf and hard of hearing<br />
students. Packets were mailed and emailed to California Alliance for Minority Participation (CAMP)<br />
coordinators, LSAMP coordinators, MEP Directors, SHPE or AISES chapter advisors, and SPIE chapter<br />
advisors throughout California, New Mexico, Arizona, and Texas. The packets included an introductory<br />
letter about <strong>CIAN</strong> and flyers about our REU, RET, diversity graduate research fellowships, diversity travel<br />
grants, and the M.S. Photonic Communications Engineering programs.<br />
Y5 Student Recruitment for the 2013 Program<br />
We continued our usual recruitment efforts from 2012 for the 2013 IOU program with some additions.<br />
We’ve been especially reaching out to many disabled student programs across the country and have<br />
already received applications from students who indicated they are disabled. Our recruitment effort at<br />
community colleges included contacting their science instructors, contacting Phi Theta Kappa club<br />
presidents at community colleges in Arizona and New Mexico, and providing presentations to <strong>CIAN</strong>’s<br />
community college partners, Pima Community College and San Diego City College. A scientific<br />
presentation was planned for the SHPE chapter at the City College of New York. However, due to the<br />
<strong>CIAN</strong>B students’ schedules, it was rescheduled for March 2013. Also, a presentation was planned for the<br />
Southwestern Indian Polytechnic Institute (SIPI) in January. However it had to be rescheduled for March<br />
2013. <strong>CIAN</strong> professor, Frances Williams, recently did visit SIPI and gave a scientific presentation in<br />
addition to a recruitment presentation for next year’s activities.<br />
Our own IOU database of applications was utilized. IOU alumni were asked to forward information about<br />
the IOU program. Also, all of the professors who provided recommendations for the past three years’<br />
applicants were contacted. We also reviewed what students listed in their applications as how they heard<br />
about the program as an additional recruitment resource. We invited all past applicants from the past<br />
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three years who had not graduated to apply for the program again. This year we also posted a listing<br />
about the IOU REU on SACNAS’ website, the Pathways to Science website, and the Computing<br />
Community Consortium’s website listing undergraduate research positions in Computer Science.<br />
To reach out to underrepresented students across the country, we also reached out to science faculty at<br />
tribal colleges, SACNAS chapter advisors, directors of Multicultural Engineering Programs, SHPE<br />
regional representatives, the east coast LSAMP network of which NSU is a member, the Western Alliance<br />
to Expand Student Opportunities (WAESO), also an LSAMP, and posted a listing in the AISES Winds of<br />
Change magazine.<br />
REU Evaluation:<br />
Both before and after their summer internships, REU participants were asked to complete an online<br />
survey via surveymonkey.com. In order to assess the degree of education and learning, these surveys<br />
asked how much the students knew about photonics. Table 3-5 demonstrates that Prior to beginning the<br />
REU program, the majority of participants (10) felt they had little to no knowledge regarding photonics and<br />
optics:<br />
Degree<br />
Knowledge<br />
Photonics<br />
Table 3-5. Participants’ Degree of Knowledge Pre-REU<br />
of<br />
of<br />
Percent of<br />
Participants<br />
Response<br />
Count<br />
No knowledge at all: 28.6% 4<br />
Small degree of<br />
knowledge:<br />
Moderate degree of<br />
knowledge:<br />
Very<br />
knowledgeable:<br />
42.9% 6<br />
21.4% 3<br />
7.1% 1<br />
Table 3-6 reveals that After the REU program, the majority of participants (9) felt they had a moderate<br />
degree of knowledge regarding photonics and optics:<br />
Degree of Knowledge<br />
of Photonics<br />
Table 3-6 Participants Degree of Knowledge Post-REU<br />
Percent<br />
Participants<br />
No knowledge at all: 0.0% 0<br />
of<br />
Response<br />
Count<br />
Small degree of<br />
knowledge:<br />
Moderate degree of<br />
knowledge:<br />
28.6% 4<br />
64.3% 9<br />
Very knowledgeable: 7.1% 1<br />
This increase in optics knowledge suggests that the REU program was an effective, educational<br />
experience for the majority of participants.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 147
Participant Confidence in Research Skills<br />
With regard to specific research-related skills, table 3-7 demonstrates that collectively, participant<br />
confidence increased dramatically as a result of the REU program. All skills showed an increase in<br />
participant confidence, and the most significant increases are shown in table 3-7 below:<br />
Research Skills<br />
Table 3-7 Impact of REU Program on Level of Participant Confidence<br />
Percent of<br />
participants who<br />
were confident<br />
BEFORE REU<br />
program<br />
Percent of<br />
participants who were<br />
confident AFTER REU<br />
program<br />
Preparing scientific presentations 14% 57%<br />
Delivering scientific presentations 21% 71%<br />
Communicating ideas to team members 14% 43%<br />
Planning experiments 0% 21%<br />
Identifying relevant questions for inquiry 7% 36%<br />
Keeping a lab notebook 64% 93%<br />
Upon completion of the REU program, 86% of participants indicated that they think of themselves as<br />
engineers and are confident in their ability to access experts in engineering. Also, 93% of respondents<br />
either agreed or strongly agreed with the statements, “I am confident in my ability to work in a research<br />
lab,” and, “I think that it is important to make oral presentations about my scientific investigation.” Lastly,<br />
93% indicated that they were going to pursue graduate studies in engineering research.<br />
Satisfaction:<br />
Overall, 69% of REU participants said that the research internship met their expectations and 93% rated<br />
the experience as either good, very good, or excellent. Additionally, 93% agreed that the experience has<br />
greatly strengthened their graduate application. When asked what was most beneficial about their<br />
summer research experience, the following responses were given:<br />
Insight gained about the operation of a research lab<br />
Hands-on experience<br />
General education concerning the field of optics and photonics<br />
Gained confidence to work at graduate-level standards<br />
Learned to cope with challenges<br />
One participant left the following comment: “This is a great experience for undergraduates. This being my<br />
first internship, I got very much out of it. I learned very much and enjoyed the learning and working<br />
experience!”<br />
REU Student Statistics (2009-2012)<br />
Over the course of <strong>CIAN</strong>’s REU program, from 2009 to 2012, the following data has been collected<br />
regarding participant demographics and educational achievements:<br />
The participation of female students has averaged 39%, underrepresented minority students have made<br />
up an average of 56% of IOU REU participants, an average of 52% have been students from institutions<br />
with limited research opportunities, and 62% have been freshmen and sophomore students. Additionally,<br />
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34% (N=18) of students have since completed their undergraduate degrees and 32% (17 of the 18) are<br />
currently pursuing graduate degrees in STEM fields. The graduate degrees being pursued by REU alumni<br />
include Optical Sciences, Electrical Engineering, Mechanical Engineering, and Aeronautics and<br />
Astronautics, among others. Of the total students who have not yet graduated (N=32), 94% are still<br />
pursuing undergraduate degrees in STEM fields (N=30). Some of these statistics are displayed in table 3-<br />
8 below for ease of interpretation.<br />
Table 3-8. Data on REU Alumni<br />
Total IOU REU individual students N = 50<br />
Total graduated with BS in STEM field 36% (18 out of 50)<br />
-Currently in Graduate School & in STEM field 94% (17 out of 18)<br />
REU Students who have not yet graduated 64% (32 out of 50)<br />
-Still an undergraduate studying in a STEM field 94% (30 out of 32)<br />
Left School 4% (2 out of 32)<br />
Number of students for which REU was their first<br />
research experience outside of class<br />
56% (Average from all four years)<br />
Professional Development<br />
1. Mentoring Opportunities<br />
Mentors are graduate or post-doc students assigned to work closely with the undergraduate REU<br />
program participants, Young Scholars program participants, and RET program participants. Being a<br />
research mentor helps graduate students enter their professions with the added benefit of being better<br />
prepared teachers and possessing a deeper experience and appreciation of science education that has<br />
been integrated with their specific research interests. To adequately mentor a younger student, it is<br />
important that the mentor and participant have a personal comfort level and a clear understanding of a<br />
proposed research project for the participant. <strong>CIAN</strong>’s REU and RET programs start off with a mentorparticipant<br />
meet and greet in an effort to aid in developing a comfort level before working together in the<br />
lab, as well as an opportunity to clarify the research experience goals and requirements.<br />
Mentoring Goal for <strong>Year</strong> 6:<br />
An evaluation tool was recently developed to give the REU/RET/YS participants the opportunity to<br />
evaluate their mentor. This is important to <strong>CIAN</strong> to ensure that the mentor training provided prior to these<br />
programs is adequate and to ensure the participants are getting the guidance necessary and have an<br />
enjoyable and knowledgeable experience.<br />
2. Professional Development Workshops<br />
During the SLC Student Retreat, on October 21-22, 2012 in Los Angeles, CA, a series of professional<br />
development workshops took place. Each workshop was carefully selected based on Engineer of 2020<br />
attributes.<br />
Presentation Skills Workshop<br />
The SLC brought back Communication Consultant, Kathryn Kellner, as the students benefited from her<br />
presentations skills workshop last year, as well as her constructive criticism during individual coaching<br />
sessions. Students learned about observing and becoming aware of their own attributes as individual<br />
communicators to gain a perspective of how others see and hear them. Understanding this helps them<br />
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decide which strategies or tools they can draw upon to communicate more effectively. The workshop also<br />
involved a discussion on understanding the intention, goals, or desired outcomes of a presentation and<br />
the importance of learning the circumstances to reach the desired outcome of the communication.<br />
Kathryn Kellner also discussed and demonstrated techniques and skills in breath, voice, and body<br />
language. Then, she met with each student to provide individual coaching and feedback sessions on their<br />
presentation skills over the two days of the <strong>Annual</strong> Retreat. The purpose was to make the students more<br />
competent and effective in their presentations. All of the students who competed within <strong>CIAN</strong> for the ERC<br />
elevator pitch competition practiced their pitches during their individual coaching sessions.<br />
Negotiation Skills Workshop<br />
This workshop was facilitated by Vince Padilla, Esq., an employee of<br />
Boeing Commercial Satellite, responsible for structuring contracts for<br />
the sale of satellite services. He was previously the Boeing Contracts<br />
lead responsible for the final price settlement of the Army’s $12 billion<br />
former Future Combat Systems (FCS)/ Brigade Combat Team<br />
Modernization (BCTM) program. His workshop examined the<br />
concepts of what makes a good negotiator, the four-step principled<br />
negotiation process, and cross-cultural negotiations. The students<br />
participated in an exercise, broke up into groups for negotiation<br />
brainstorming, and the results of the exercise were assessed and<br />
critiqued by Mr. Padilla in an open forum where students could<br />
participate as peer critiques.<br />
SLC Retreat Negotiation<br />
Skills Presentation<br />
Project Management Workshop<br />
This workshop was facilitated by Margaret Meloni, certified Project Management Professional and<br />
President of Meloni Coaching Solutions, Inc. The workshop focused on the benefits and basics of good<br />
project management, and was tailored specifically for optical and electrical engineers. The discussion<br />
during the workshop went beyond project management and into the advantages and disadvantages of<br />
pursuing an M.B.A. in addition to an M.S. or Ph.D. in Optical Sciences/Electrical Engineering.<br />
Engineer of 2020 Seminar<br />
This seminar was led by Dr. Allison Huff, <strong>CIAN</strong>-ERC Education Director. The purpose of the workshop<br />
was to educate <strong>CIAN</strong> students on Engineer of 2020 skill sets and how the activities provided by <strong>CIAN</strong><br />
education are designed to help engender these attributes in them. The ultimate goal was to help students<br />
understand the importance of education beyond their coursework and research. <strong>CIAN</strong> faculty member,<br />
Pat Mead from NSU, attended the seminar and provided valuable information to the students regarding<br />
background information on the development of the Engineer of 2020 attributes, as she was the Study<br />
Director for the National Academy of Engineering for the Engineer of 2020 project. During this<br />
presentation, Dr. Huff also held an open discussion regarding students’ motivation behind their <strong>CIAN</strong><br />
research and the importance of being able to articulate how their research fits into the overall research<br />
vision of <strong>CIAN</strong>.<br />
Team Building Activities<br />
The SLC coordinated a team building activity with Watson Adventures, which is a company that engages<br />
corporate teams in Scavenger Hunts as a way to improve team building and communication. Currently,<br />
Watson Adventures spans the nation with more than 200,000 people participating in hunts, including<br />
employees of more than 1,000 prestigious corporations. Watson Adventures’ scavenger hunts have been<br />
acclaimed by ABC News, the NEW YORK TIMES, the WASHINGTON POST, the BOSTON HERALD,<br />
the CHICAGO TRIBUNE, the PHILADELPHIA INQUIRER, and numerous other media outlets. The<br />
students participated in an outdoor scavenger hunt, which was designed to help them get to know one<br />
another better, and to communicate effectively and work as a team to accomplish a goal within a time<br />
limit.<br />
SLC Workshop Evaluation:<br />
Students were asked to rate the presentations according to the degree to which they gained insight or<br />
increased their ability to apply skills related to specific Engineer of 2020 attributes. Results indicate that a<br />
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large majority of respondents agreed that the presentations cultivated Engineer of 2020 attributes. Table<br />
3-9 below shows the percentage of respondents who believed the presentations were beneficial for<br />
developing Engineer of 2020 attributes, as well as which specific attribute(s) were rated most relevant to<br />
the individual presentations.<br />
Presentation Title<br />
Table 3-9. Impact of SLC Workshops on Developing Engineer of 2020 Attributes<br />
Percentage of<br />
respondents who<br />
agreed it cultivated<br />
E2020 attributes<br />
Highest-Rated Attribute<br />
Project Management 76% Business & Management<br />
Watson Adventures<br />
Team Building<br />
77% Thinking Outside the Box<br />
Presentation Skills 96% Non-Verbal/Verbal communication<br />
Negotiation Skills 100% Ethical standards and Professionalism<br />
3. Online Training Module for Responsible Conduct of Research<br />
Responsible Conduct of Research (RCR) training is one aspect of <strong>CIAN</strong>’s commitment to maintain the<br />
highest possible standards for integrity among its research participants. Responsible Conduct of<br />
Research denotes good citizenship in research conduct. Faculty, students and staff who report their work<br />
honestly, accurately, and objectively help maintain public trust in research and help convey the ethics of<br />
research to future generations of. RCR training is available online, which introduces students to principles<br />
on the ethical conduct of research. Students are exposed to potential ethical dilemmas, and receive<br />
guidance on how the principles of RCR can be used to resolve these dilemmas.<br />
4. Perfect Pitch Competition<br />
This reporting year, five <strong>CIAN</strong> students competed in <strong>CIAN</strong>’s Perfect Pitch competition, and Jasmine Sears<br />
from UA won. The Education Director worked with the students directly on presentations skills, as did<br />
Kathryn Kellner. In preparation for the NSF Perfect Pitch Competition, Jasmine presented in front of UA<br />
<strong>CIAN</strong> faculty and students, and was critiqued using an oral presentation rubric. She was also recorded<br />
and given the recording on CD, so she could review her presentation for practice.<br />
5. Education Monthly Webinars<br />
The education webinars are part of SLC’s monthly webinar presentations series. The education<br />
presentations were:<br />
September 2012: Education Webinar<br />
- Stanford’s “Design Thinking and Peak Performance: Getting the most out of innovation”<br />
<br />
<br />
<br />
November 2012: Education Webinar<br />
- “Executing Strategy in Challenging Times: Tools and Insights that deliver results”<br />
November 2012: Education Webinar<br />
- “Technology Transfer in Academia” by Amy Phillips, Technology Transfer Specialist<br />
December 2012: Education Webinar<br />
- “The Basics of Technology Transfer” by Amy Phillips, Technology Transfer Specialist<br />
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6. Super-course Modules<br />
Super-course: Undergraduate and Graduate Modules<br />
Super-course content at the undergraduate and graduate level now includes approximately 100 video<br />
recordings of lectures, slides for each lecture, and approximately 20 book-chapter-length written modules.<br />
Much of the Super-course material was produced for the University of Arizona’s two semester course in<br />
Photonic Communications Engineering (PCE), which is the foundation for the <strong>CIAN</strong>-developed MS<br />
Degree in Photonic Communications Engineering at the University of Arizona. At least 33 <strong>CIAN</strong> faculty,<br />
two <strong>CIAN</strong> students, and a member of <strong>CIAN</strong>’s Strategic Advisory Board have contributed content. The<br />
material is archived on <strong>CIAN</strong>’s D2L web site, which can be accessed at https://d2l.arizona.edu/,<br />
username: explore.cian, password: explore.cian. Topics covered by the Super-course include:<br />
Introduction to Networks WDM and SONET WDM Networks<br />
Transmission Systems Data Networks Data Networks &<br />
Convergence<br />
Networks Convergence Evolving Networks Intelligent Optical Networks<br />
Bouncing Ray Slides<br />
Wave Equation, Slab<br />
Waveguide<br />
Numerical Aperture<br />
Optical Attenuation 1 Optical Attenuation 2 Fiber Modes<br />
Slab Waveguide Mode<br />
Calculation Summary<br />
V-Number<br />
The Effective Index<br />
Optical Fiber Modes Optical Monitoring Fiber Attenuation and<br />
Dispersion<br />
Chromatic Dispersion and<br />
PMD<br />
Optical amplifiers<br />
Waveguide Input, Numerical<br />
Methods<br />
Introduction to Sources<br />
Intro to Optical Amplifiers<br />
Network Control in Optically<br />
Switched Networks<br />
Semiconductor Optical<br />
Amplifiers<br />
Semiconductor Lasers &<br />
LEDs<br />
Bend Loss, Nonlinear Effects<br />
Optical Communications and<br />
Networks - Review and<br />
Evolution<br />
Source Design<br />
EO Modulators Transmitter Design Photodetectors Part 1<br />
Photodetectors Part 2<br />
Photocathodes and<br />
Microchannel Plates<br />
100G+ Data Links<br />
Coherent Transmitters The GMPLS Protocol Optical Switching<br />
The goals for the college-level Super-course effort are to make widely available up-to-date multi-media<br />
material to support a wide range of educational programs. Of particular interest is to provide support for<br />
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college that could not otherwise offer a class in optical communications and networking. Super-course<br />
material is ideal for use at Colleges where there are no faculty members with sufficient background to<br />
create their own course. Alternatively, faculty may choose to augment their classes using Super-course<br />
lectures as background assignments for students. Beginning graduate students at <strong>CIAN</strong> are encouraged<br />
to use Super-course material to get up to speed on specific areas of photonics to prepare for their<br />
research. The Super-course material is also offered as background material for REU students before<br />
beginning their summer research projects.<br />
Throughout <strong>Year</strong> 5, <strong>CIAN</strong> has tested Super-course material with <strong>CIAN</strong> students and continued to improve<br />
the quality of audio and video recordings. During the Fall 2012 semester, Super-course material was<br />
provided live and simultaneously to twelve students enrolled in the Photonic Communications<br />
Engineering class at the University of Arizona and four graduate students in an Applied Optics Research<br />
class at Norfolk State University. This spring, Super-course material was used to teach six students in<br />
class at the University of Arizona and two at Tuskegee University. One of the students at Tuskegee<br />
University is an undergraduate at the junior level. Her participation has been particularly helpful for<br />
ensuring that the content is suitable for students at varying skill levels. <strong>CIAN</strong> students at all ten lead,<br />
partner, and collaborating universities are notified of live online lectures and provided access to Supercourse<br />
content. Last spring, a Super-course lecture on Nonlinear Optics, presented by Professor Elsa<br />
Garmire of Dartmouth University (a member of <strong>CIAN</strong>’s Strategic Advisory Board) was viewed live by<br />
about 45 <strong>CIAN</strong> students and industry partners.<br />
Current content development includes the creation of additional content, especially on “hot current topics”<br />
such as optical switching in data centers for which material is not available in text books. <strong>CIAN</strong> is also<br />
organizing and editing existing content to make it easier for users to find what they need and digest it<br />
quickly. Recently <strong>CIAN</strong> has added an effort to produce 15-20 minute mini lectures that <strong>CIAN</strong> call “versus”<br />
lectures. These focused lectures cover topics identified by <strong>CIAN</strong> faculty as key enabling concepts and are<br />
designed to both engage the learner and provide foundational pillars that students can use to build a<br />
better understanding of optical communications. Some of the “versus” lectures topics that <strong>CIAN</strong> is<br />
exploring are:<br />
VCSEL’s vs. Edge Emitters<br />
Photonic Integrated Circuits vs.<br />
Discrete Components<br />
Distributed vs. Centralized<br />
Network Control<br />
Direct Modulation vs. External<br />
Modulation of Semiconductor Lasers<br />
Silicon Photonics vs. III-V Photonics<br />
Transparent vs. Opaque Optical<br />
Networks<br />
Semiconductor vs. Polymer<br />
Devices<br />
Super-course: Pre-College Modules<br />
Throughout <strong>Year</strong> 5, <strong>CIAN</strong> has been focused on developing and editing the content for the pre-college<br />
modules. This editing phase includes formatting, technical content editing, grammatical editing, obtaining<br />
permission for image use or replacing copyrighted images, and editing applets/animations. As reported in<br />
<strong>Year</strong> 4, based on feedback from technology, biology, math, and physical science teachers at a <strong>CIAN</strong><br />
partner high school who understand the needs of underserved, diverse students at a school with a high<br />
population of low-income students, the pre-college modules needed attention before being launched.<br />
Currently, <strong>CIAN</strong> has launched 3 pre-college modules, which are currently used by teachers in Arizona<br />
and California. The process of editing and revising the modules is time consuming, and will continue with<br />
force during summer 2013.<br />
The modules, in their current format can be viewed at:<br />
www.d2l.arizona.edu<br />
Special guest username: explore.cian<br />
Password: explore.cian<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 153
REU students or entering <strong>CIAN</strong> graduate students will still be able to use these high school modules for<br />
background material. The Super-courses will enable broad access to cutting-edge technology with<br />
content ranging from scientifically accurate but non-technical information to highly sophisticated science<br />
and technology instruction. The varying levels of technical content make the modules useful from those in<br />
our communities with curious minds to the engineering student and scientist.<br />
Graduate Super-course Goals for <strong>Year</strong> 6<br />
1. Photonic Communications Professional Graduate Certificate<br />
Leveraging off the value of the distinctive and specialized photonics education provided by the <strong>CIAN</strong> M.S.<br />
PCE program, a 15 unit Professional Graduate Certificate is in the process of being approved by the<br />
University of Arizona Graduate College. The <strong>CIAN</strong> Photonic Communication Professional Graduate<br />
Certificate will be offered as a distance learning program, which will facilitate the enrollment of students<br />
not physically in Arizona. The professional certificate option will be an especially attractive opportunity for<br />
those in industry who may already possess an M.S. or Ph.D. in a related field, but who would benefit from<br />
a professional certificate in Photonic Communication, rather than return to school for a second master’s<br />
degree or Ph.D.<br />
2. Mapping Core Curriculum of Partner <strong>CIAN</strong> Universities to Graduate Super-course Modules<br />
The objective of mapping the core courses in the graduate programs (Electrical Engineering, Electrical<br />
and Computer Engineering, or Optics) at our partner universities to <strong>CIAN</strong> graduate Super-course Modules<br />
is to provide a roadmap to faculty and students at our partner institutions on the utility of the Super-course<br />
Modules for supplemental resources, preview, and/or review of content in particular core courses.<br />
Pre-College Super-course Goals for <strong>Year</strong> 6<br />
1. Match Pre-College Modules to State/National Education Standards<br />
The <strong>CIAN</strong> education team will work with local high school and middle school teachers to match the<br />
module material to state and/or national education standards for teachers to be able to use them in their<br />
classrooms seamlessly.<br />
2. Finalize Editing and Revisions for Remaining Pre-College Modules<br />
This will culminate with at least two additional pre-college modules launched for use by the public by end<br />
of <strong>Year</strong> 6.<br />
3. Develop a “Teacher and Student Resource” Site/Link on <strong>CIAN</strong>’s Website<br />
<strong>CIAN</strong> is considering including the pre-college modules on its own site to improve tracking of individual<br />
users, and a more user-friendly location for teacher and student resources.<br />
University Outreach Activities<br />
Several pre-college outreach activities occur across <strong>CIAN</strong> universities. <strong>CIAN</strong> students who participate in<br />
either planning or developing outreach activities have the opportunity to foster leadership and<br />
communication skills, as well as a sense of pride for giving back to their communities. These skills are<br />
important Engineer of 2020 attributes. Specific pre-college outreach activities are discussed in the Pre-<br />
College Education Program section.<br />
Examples of How <strong>CIAN</strong>’s Interdisciplinary and Cross-University Research and Education<br />
Programs have Benefited Students’ Educational Experiences<br />
The interdisciplinary and cross-university research and education culture has benefited and enhanced<br />
<strong>CIAN</strong> and non-<strong>CIAN</strong> students’ overall educational experiences in many ways. Selecting from several<br />
exemplary <strong>CIAN</strong> graduates, table 3-10 provides a glimpse of five <strong>CIAN</strong> alumni, what program and <strong>CIAN</strong><br />
university they graduated from, where they went after graduation, and some of their contributions to the<br />
field, or noteworthy updates since graduating.<br />
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Table 3-10. Snapshot of exemplary <strong>CIAN</strong> Alumni<br />
Student<br />
<strong>CIAN</strong><br />
Home<br />
University<br />
Grad. Date Program Post-Graduation Contribution<br />
Publication (2012, American Chemical<br />
Society): Three-Dimensional Optical<br />
Trapping and Manipulation of Single<br />
Silver Nanowires<br />
Post-doc Fellow at<br />
UA 2009-2010<br />
Located at:<br />
http://pubs.acs.org/doi/abs/10.1021/nl30<br />
2100n<br />
Julian<br />
Sweet<br />
UA 2009<br />
PhD in<br />
Optical<br />
Sciences<br />
Post-doc Fellow at<br />
Argonne National<br />
from 2010-2013<br />
Scientist at Air<br />
Force Research<br />
Laboratory 2013 to<br />
present<br />
Publication (2012, American Chemical<br />
Society): Controlling the Position and<br />
Orientation of Single Silver Nanowires<br />
on a Surface Using Structured Optical<br />
Fields<br />
Located at:<br />
http://pubs.acs.org/doi/pdfplus/10.1021/<br />
nn302795j<br />
NASA Group Achievement Awards:<br />
MaRS and NASA Gulf of Mexico Oilspill<br />
Projects<br />
First Author Publication (2011, IEEE<br />
Computer Society):<br />
Spectrally and Radiometrically Stable<br />
Wide-Band On<br />
James<br />
Coles<br />
UCSD 2009<br />
MS EE in<br />
Applied<br />
Optics<br />
Jet Propulsion<br />
Laboratory<br />
Board Calibration Source for In-Flight<br />
Data Validation in<br />
Imaging Spectroscopy Applications<br />
Author on proceedings of the 2011<br />
IEEE Aerospace Conference (2011,<br />
IEEE Computer Science):<br />
Mercury-cadmium-terruride focal plane<br />
array performance under non-standard<br />
operating conditions<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 155
Both articles can be located at:<br />
http://dl.acm.org/author_page.cfmid=8<br />
1490682735&coll=DL&dl=ACM&trk=0&<br />
cfid=192125497&cftoken=84817127<br />
-Research Staff Member, IBM TJ<br />
Watson Research Center on Integrated<br />
Silicon Nanophotonics - silicon electrooptic<br />
modulators team<br />
Jessie<br />
Rosenberg<br />
Caltech 2009<br />
PhD in<br />
Applied<br />
Physics<br />
Postdoc<br />
Researcher at IBM<br />
2010<br />
Research Staff<br />
Member at IBM<br />
2010 to present<br />
-Selected as one of Forbes Magazines<br />
“30 Under 30” in Science (30<br />
noteworthy scientists under 30 years<br />
old) located at:<br />
http://www.forbes.com/pictures/mkg45gi<br />
if/jessie-rosenberg-research-staffmember-silicon-photonics-team-ibm-tjwatson-research-center-25/<br />
-graduated from Bryn Mwar with her BS<br />
at the age of 17. Graduated with her<br />
PhD from Caltech at the age of 23.<br />
-More than 11 First Author<br />
Publications by 27 years old. See all<br />
scholarly publications at:<br />
http://scholar.google.com/citationshl=e<br />
n&user=BXah6f0AAAAJ&view_op=list_<br />
works&cstart=20<br />
-Showcased as a brilliant young<br />
scientist in the Daily Progress located at<br />
http://www.dailyprogress.com/news/busi<br />
ness/article_e812410b-ea0f-5729-b9fe-<br />
762e10205ee9.html<br />
Hacene<br />
Chaouch<br />
UA 2011<br />
PhD<br />
Optical<br />
Sciences<br />
Visiting Scientist<br />
TU Darmstadt in<br />
Germany (<strong>CIAN</strong><br />
Foreign Partner<br />
University) 2010 –<br />
2011<br />
-Currently working on 100 & 400 Gbit/s<br />
PM-QPSK and 16 QAM coherent<br />
technology. In the optical transport<br />
industry, which is the new standard.<br />
Work-related contributions are currently<br />
confidential.<br />
Senior Optical<br />
Systems Engineer<br />
at OCLARO (<strong>CIAN</strong><br />
IAB member)<br />
-First Author Publications: 8<br />
(including dissertation) 16 publications<br />
from 2009 to 2012.<br />
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-Many scholarly publications (~29).<br />
Located at:<br />
http://scholar.google.com/citationshl=e<br />
n&user=WcsL6KoAAAAJ&view_op=list<br />
_works&cstart=20<br />
Nathan<br />
Farrington<br />
UCSD 2012<br />
PhD in<br />
Computer<br />
Science &<br />
Computer<br />
Engnring<br />
Facebook, Data<br />
Center Network<br />
Engineer<br />
-Served as a reviewer for IEEE/ACM<br />
Transactions on Networking, IEEE/OSA<br />
Journal of Lightwave Technology, and<br />
ACM SIGCOMM Computer<br />
Communications Review<br />
-Recent projects:<br />
MORDIA, a 24-port 11.5 µs optical<br />
circuit switch for data centers (Live<br />
Demo)<br />
Redis (Github) (Ruby) (PHP) (Python)<br />
-Website: http://nathanfarrington.com/<br />
Personal Anecdotes Related to <strong>CIAN</strong>’s Education Program<br />
Edgar Madril participated in the first year of <strong>CIAN</strong>’s IOU REU program, and was a student at a <strong>CIAN</strong><br />
partner community college. The following is what Edgar says about his <strong>CIAN</strong> experience:<br />
“I had the privilege to participate in the first year of <strong>CIAN</strong>’s IOU REU program. As a Hispanic, low income<br />
first-generation college student, a young husband and father of three beautiful children, a former<br />
mechanic / jack of all trades, and a student at one of <strong>CIAN</strong>’s pre-college partner non-research community<br />
colleges before transferring to University of Arizona’s<br />
College of Optical Sciences, I succeeded against<br />
many odds. At the time I was pursuing my<br />
undergraduate degree, my wife was also completing<br />
her higher education, and we were living off of part<br />
time jobs and student income. My path was paved with<br />
challenges. When I applied for and was selected for<br />
Edgar Madril with <strong>CIAN</strong> students and faculty<br />
Edgar Madril meeting with <strong>CIAN</strong> students and<br />
faculty<br />
<strong>CIAN</strong>’s IOU REU program, many doors opened up for<br />
me. Through <strong>CIAN</strong>’s partnership with UA’s UROC, I<br />
was recruited into the UA McNair Achievement<br />
Program; I successfully completed both <strong>CIAN</strong>’s IOU<br />
and the MCNAIR REU program; was awarded the<br />
John Tipton Scholarship, Arthur B and Beatrice DeBell<br />
Memorial Scholarship, and the Western Alliance to<br />
Expand Student Opportunities [LSAMP] University of<br />
Arizona Undergraduate STEM Research Grant. I was also able to participate in many events such as the<br />
Ronald E. McNair California Scholars Symposium, Berkeley, CA (2011); Undergraduate Research<br />
Opportunities Consortium in Tucson, AZ (2010 and 2011); <strong>CIAN</strong> undergraduate poster session University<br />
of California, San Diego (2010); Industrial Affiliates Show Case Presentation, University of Arizona<br />
(2010); and the SPIE Undergraduate Poster Show Case at the University of Arizona (2010). I graduated<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 157
with my B.S. degree in Optical Sciences and Engineering in 2012, and applied for, and was accepted into<br />
graduate school with full funding as a teaching assistant at UA in Optical Sciences, and am currently<br />
completing my Master’s degree and working on research in a non-<strong>CIAN</strong> lab. My academic career has<br />
greatly been inspired by my involvement in the <strong>CIAN</strong> ERC. As a minority that was raised on the borders of<br />
Nogales Arizona, I learned many outstanding qualities in life, but higher education was not one of them.<br />
The <strong>CIAN</strong> program served as an excellent tool for me to gain the information necessary to make some<br />
important life decisions. I was able to learn the importance of graduate education and funding<br />
opportunities in academia. I personally wanted to thank all the people I have had the opportunity to meet<br />
along the way in <strong>CIAN</strong> and Optical Sciences but in particular one of the original coordinators of the <strong>CIAN</strong><br />
IOU REU program, Dr. Meredith Kupinski, for being an amazing mentor and inspiration in my academic<br />
endeavors.”<br />
Benjamin Cromey was homeschooled when he first participated in <strong>CIAN</strong>’s UA Young Scholars summer<br />
camp (OSAYS). Later, while attending Pima Community College, he applied for and was selected to<br />
participate in <strong>CIAN</strong>’s IOU REU program. As an<br />
undergraduate student in Optical Sciences and Engineering<br />
at the UA, he continues to work in a <strong>CIAN</strong> lab and is<br />
mentored by <strong>CIAN</strong> faculty. Here is what he said about<br />
<strong>CIAN</strong>:<br />
“<strong>CIAN</strong> has significantly impacted my education, as well as<br />
my future career. When I was trying to determine if Optics<br />
was a field I wanted to pursue an education in, I partook in<br />
the Optical Sciences Academy for Young Scholars<br />
(OSAYS), a one week summer camp designed to introduce<br />
high schoolers to Optics. I was fascinated by what I saw,<br />
Benjamin Cromey, REU Poster Session<br />
and after that camp I decided to major in Optics, a<br />
conviction I have never doubted since. Later, as I was finishing up my freshman year of college at Pima<br />
Community College, I applied and was accepted to the <strong>CIAN</strong> Integrated Optics for Undergraduates<br />
Research Experience for Undergraduates (IOU REU). This ten week summer program has made a huge<br />
impact for me. I worked in the 3D Holographic Display lab, a lab that I had toured during OSAYS three<br />
years before, mentored by a fantastic faculty member and graduate student from <strong>CIAN</strong>. I was given an<br />
extensive introduction to research throughout the program, learning how to prepare a written research<br />
summary, poster, and professional presentation. This internship is still significantly impacting my<br />
education and career. Because of the IOU program, I was selected by the University of Arizona as one of<br />
four nominees from the entire college for the Barry M. Goldwater scholarship, a very prestigious<br />
scholarship for STEM. The final scholarship results have not yet come back, but as this scholarship is<br />
meant for undergraduates with research experience, I would never have been selected without the benefit<br />
of the IOU program. In fact, it was the people from <strong>CIAN</strong> that I had met over the IOU program, and that I<br />
still work with that wrote my three recommendation letters for the Goldwater Scholarship. Because of the<br />
presentation I gave at the College of Optical Sciences’ Industrial Affiliates workshop, I have already<br />
received internship offers, including year-round internship offers. I still am part of <strong>CIAN</strong>’s cutting edge<br />
research throughout the semester, working alongside professors in <strong>CIAN</strong> as well as graduate students.<br />
So much of this is a result of <strong>CIAN</strong>’s investment in me, and I am very grateful for how much of an<br />
academic head start it has given me.”<br />
Carolyn Reynolds, a graduating master’s student at the University of Arizona has greatly benefited from<br />
her connections with <strong>CIAN</strong>. While pursuing her bachelor’s degree in Optical Engineering at Norfolk State<br />
University, a <strong>CIAN</strong> partner university and an HBCU, Carolyn participated in the first year of <strong>CIAN</strong>’s IOU<br />
REU program at UA (2009). After completing her bachelor’s degree, Carolyn accepted the offer to come<br />
to the University of Arizona’s College of Optical Sciences as a <strong>CIAN</strong> student. Carolyn was awarded a<br />
<strong>CIAN</strong> diversity fellowship that enabled her to conduct research with Dr. Robert Norwood her first year in<br />
graduate school. Since then, Carolyn has served as an outreach volunteer on several occasions; the<br />
2012-2013 Education and Outreach SLC officer; and an attendee at the 2012 annual <strong>CIAN</strong> student<br />
retreat in Los Angeles. In Carolyn’s words:<br />
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“Thank you for the opportunity to interact with<br />
some of the brightest scientists within the<br />
Photonics field. Without <strong>CIAN</strong>, I would not have<br />
made connections with other graduate students<br />
pursuing research similar to mine. The<br />
collaboration efforts and professional skills this<br />
program has built into its infrastructure have<br />
better prepared me for entering into a career<br />
with <strong>CIAN</strong>’s very own industry partner, Texas<br />
Instruments.”<br />
Brianna Peeples was a <strong>CIAN</strong> student from<br />
2010 to December 2012. She graduated in<br />
December 2012 with her MS in Materials<br />
Science from NSU. Here is her perspective on<br />
how <strong>CIAN</strong> benefited her:<br />
Carolyn Reynolds at an outreach event at SUSD<br />
“Being a part of <strong>CIAN</strong> has been quite advantageous, contributing immensely to my professional,<br />
academic and personal growth. My first encounter with the students, faculty members and affiliates of<br />
<strong>CIAN</strong> was the 2010 annual meeting in San Jose, CA. All of whom I came in contact with, from<br />
administrative staff to research group leaders, received me warmly. The activities that were so<br />
thoughtfully planned and implemented by Meredith, Kimberly and Trin allowed for collaboration and<br />
cohesion amongst the students from the partnership universities. <strong>CIAN</strong> has provided (and continues to<br />
provide) a network of students, professors and administrative staff offering valuable professional advice,<br />
guidance and unlimited resources. Numerous seminars exposed me to the professional opportunities<br />
presented by industry, government and academia. Training, namely the public speaking workshop that<br />
took place at a student retreat, enhanced my oratory skills and equipped me with the ability to effectively<br />
present my research. Taking part in the <strong>CIAN</strong> Student Leadership Council (as vice chairperson in 2011)<br />
allowed for the development of my leadership skills, as did starting a <strong>CIAN</strong> STEM outreach program<br />
locally with [<strong>CIAN</strong>’s] Dr. Williams [of NSU]. Organizing <strong>CIAN</strong> STEM outreach at an elementary school has<br />
not only served to strengthen my leadership capabilities, but has also solidified the importance of<br />
mentorship within the realm of science. <strong>CIAN</strong> also provided financial support to contribute to the funding<br />
of my coursework. Without the financial support that <strong>CIAN</strong> provided, I may not have had the means to<br />
fully pursue the necessary training.”<br />
Hacene Chaouch is a UA <strong>CIAN</strong> Alumnus who, upon graduation, participated in research collaboration<br />
with one of <strong>CIAN</strong>’s foreign partner universities as a visiting scientist. After spending time overseas,<br />
Hacene was hired at one of <strong>CIAN</strong>’s IAB member companies, OCLARO. Hacene shares his thoughts on<br />
the impact <strong>CIAN</strong> had on his educational experiences and his career trajectory:<br />
"<strong>CIAN</strong> was extremely beneficial for me both on a personal and professional level. Throughout its multiple<br />
meetings and workshops, graduate students like me had a unique opportunity to present their research,<br />
get a valuable feedback from industry insiders and closely interact with world-renowned professors in<br />
optical communication. It also provided a great environment to meet new colleagues from other<br />
collaborating universities; some of whom turned out to be friends I interact with in my daily work...<strong>CIAN</strong><br />
was also committed to supporting my research by contributing in funding an important project I did in<br />
Germany in collaboration with the Darmstadt University of Technology aimed at extending the reach and<br />
split ratio of passive optical networks. In conclusion, I would like to say that the Center for Integrated<br />
Access Networks made my transition from academia to industry much more integrated, seamless, and<br />
efficient; exactly like optical access networks!"<br />
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<strong>CIAN</strong> Education Program Assessment<br />
In an effort to ensure that <strong>CIAN</strong>’s education program activities are in line with the desired skill sets of our<br />
students, and have the desired impact, the <strong>CIAN</strong> Education Director, Dr. Allison Huff, along with a parttime<br />
Ph.D. student hired to assist with <strong>CIAN</strong>’s evaluation and assessment, manage the assessment plan.<br />
<strong>CIAN</strong> previously employed an evaluation specialist who left in 2011, and contracted another evaluation<br />
specialist during summer of 2012 in order to develop an assessment framework within which <strong>CIAN</strong>’s<br />
education program and activities can be measured. These specialists reviewed and revised the <strong>CIAN</strong><br />
education program annual assessment plan that Dr. Huff and her graduate student are implementing and<br />
continue to revise as needed. Dr. Huff has her master’s degree in Education and her doctorate in Health<br />
Education, and has a strong understanding of program assessment and evaluation. The graduate student<br />
is pursuing his Ph.D. in Education Counseling, and also has a strong background in assessment and<br />
evaluation.<br />
Types of <strong>CIAN</strong> Assessment<br />
Formative (or process) evaluation provides ongoing measurement while developing <strong>CIAN</strong> education<br />
activities for the purpose of monitoring and improving the achievement of <strong>CIAN</strong>’s educational objectives<br />
of developing an education program that graduates students who are more effective in industrial and<br />
academic practices. Formative tools are used to assess <strong>CIAN</strong>’s education program and ensure that its<br />
activities are aligned with the desired skill sets <strong>CIAN</strong>’s Education program is engendering in its students.<br />
Results from the process evaluation are used mainly to improve the quality of the activities and reinforce<br />
the educational strategy.<br />
Summative (or outcome) evaluation provides a comprehensive evaluation at the conclusion of an activity<br />
that measures the achievement of <strong>CIAN</strong>’s education outcomes of producing engineers who are creative,<br />
innovative and adaptive with skill sets in line with the Engineer of 2020 attributes. Insight from participants<br />
and examples of their efforts are typical tools <strong>CIAN</strong> uses to measure the achievement of learning<br />
outcomes.<br />
Some amount of change is expected from engagement with each of the main <strong>CIAN</strong> activities; however,<br />
students who participate the most in <strong>CIAN</strong>’s education activities will likely see the biggest achievement of<br />
the learning outcomes. These students tend to be our SLC officers and representatives. Tracking these<br />
students post-graduation is important. The Student Leadership Council (SLC) represents the nexus of the<br />
ideal research, industry, and education overlap of goals and opportunities. The long-term intent for<br />
assessment of <strong>CIAN</strong> graduates will include all students (undergraduates and graduates) and post docs<br />
active in <strong>CIAN</strong> research labs and enrolled in <strong>CIAN</strong>-related courses. However, the focal point of the<br />
longitudinal assessment will be the members of the SLC.<br />
<strong>Annual</strong> SWOT Analysis<br />
This year’s SWOT analysis was administered completely online via surveymonkey.com. It was split into<br />
two surveys issued in two parts. Sixty-eight students responded to SWOT part one, which consisted of<br />
open-ended response items asking for strengths, weaknesses, opportunities, and threats to <strong>CIAN</strong> as<br />
identified by <strong>CIAN</strong> student respondents. Forty-two students responded to the second survey, SWOT part<br />
two, which included several groups of statements about <strong>CIAN</strong>, to which students were asked to disagree,<br />
strongly disagree, agree, or strongly agree. The findings of both surveys are found below. Percentages<br />
indicate what percentage of respondents identified the given statement as a strength, weakness,<br />
opportunity, or threat to <strong>CIAN</strong>.<br />
Strengths<br />
1. Clear, identifiable goals known to majority of students (84%)<br />
2. Students have an understanding of how their research contributes to <strong>CIAN</strong>’s strategic plan (84%)<br />
3. Offers a competitive advantage in students’ future endeavors (72%)<br />
4. High degree of student participation in activities<br />
5. Brings researchers across campuses together for a common goal<br />
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6. SLC presence is strong and purposes are well known to <strong>CIAN</strong> student population<br />
7. Nearly all students are aware of the various forms of support offered, such as initiating<br />
collaborations, publishing papers, making industrial contacts, and finding employment.<br />
8. Awareness of research happening at other <strong>CIAN</strong> institutions<br />
9. Extensive student involvement in research and outreach<br />
10. <strong>Annual</strong> student retreats provide excellent opportunities to learn and interact with students from<br />
other universities<br />
11. Students gain valuable research/work experience<br />
Weaknesses<br />
1. Industry collaboration is insufficient (only 30% of students have contacts with <strong>CIAN</strong>’s industry<br />
partners, and only 22% of students are currently collaborating or working with industry partners)<br />
2. Students do not gain satisfactory leadership experience through their involvement with SLC/<strong>CIAN</strong><br />
activities (68%)<br />
3. Accessibility to support may be deficient; few students take advantage of support, despite<br />
knowing it is available (refer to Strength #4)<br />
4. Poor communication; both among students and faculty, as well as between thrusts, research<br />
groups, and campuses<br />
Opportunities<br />
1. More collaboration with <strong>CIAN</strong> members on other campuses (71%)<br />
2. A majority of students want to know how they can get more involved with the SLC<br />
3. Inter-thrust collaboration, specifically sharing knowledge of current new technologies (60%)<br />
4. More industry collaboration with <strong>CIAN</strong> students (88%)<br />
5. Students would like advice from industry partners regarding their research ideas (86%)<br />
6. Expand the program for more students/researchers<br />
7. More community and campus outreach to recruit students and affiliates<br />
8. More foreign research connections<br />
9. One student stated, “The biggest opportunity for <strong>CIAN</strong> would be for the industrial partners to<br />
license or commercialize the technology. This will show that it is possible to create real value<br />
through academic research, and show to the NSF that these initiatives are paying off.”<br />
Threats<br />
1. Students who aren't committed to <strong>CIAN</strong> because they don't understand <strong>CIAN</strong>’s purpose and<br />
advantages<br />
2. Lack/loss of funding<br />
3. Competing research, such as industry R&D, may advance faster than <strong>CIAN</strong> research<br />
4. Not enough student participation, due to excessive external demands on time<br />
5. Difficult leadership structure<br />
6. Current limitations on the components <strong>CIAN</strong> is developing might require expensive or timeconsuming<br />
workarounds.<br />
<strong>CIAN</strong> Program Assessment Plans<br />
The Engineer of 2020 outcomes of producing engineers who are creative, innovative and adaptive with<br />
skill sets in line with the Engineer of 2020 attributes have typically been assessed using self-report<br />
surveys. As demonstrated in table 3-11, <strong>CIAN</strong> uses an array of tools to measure the impact on<br />
participants and students of its education program and activities. In <strong>Year</strong> 5, <strong>CIAN</strong> introduced the<br />
Graduate Student Portfolio Program (GSPP), and will work closely with students to help them put a strong<br />
portfolio together during <strong>Year</strong> 6. The GSPP will serve as a direct measure of the attainment of Engineer<br />
of 2020 skill sets.<br />
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Pre-college<br />
RET<br />
REU<br />
Undergraduate<br />
Researchers<br />
Curriculum<br />
Development<br />
Graduates, SLC,<br />
Post Doc<br />
Table 3-11. <strong>CIAN</strong> Education Program and Activity Assessment Table<br />
METHODS/TOOL/MEASURES<br />
Strategy/Activity/Program<br />
Blue = In Use<br />
Green= In Development<br />
PROCESS EVALUATION<br />
Data Collection<br />
(Number of participants, demographics, academic status,<br />
etc.)<br />
Document Review<br />
Formal documents uploaded to <strong>CIAN</strong> website; working<br />
documents, course materials, handouts, slide presentations,<br />
recruitment materials, planning documents, etc.<br />
<br />
<br />
Interviews and Focus Groups<br />
During and post program discussions are conducted with<br />
individuals and groups to gather specific examples of<br />
effective experiences and suggestions for program<br />
improvement<br />
Mentor Surveys and Interviews<br />
Feedback from lab and internship mentors provides<br />
suggestion for program improvement and helps solidify longterm<br />
relationships for lab opportunities<br />
REU/RET/YS Participant Evaluation of Mentor<br />
Feedback will be obtained from participants of the REU,<br />
RET, and Young Scholars programs concerning the<br />
performance and helpfulness of their assigned mentors.<br />
Curriculum Mapping to Super-course Modules<br />
The core graduate courses in EE, ECE, and Optics at <strong>CIAN</strong><br />
partner universities will be mapped to the Super-course<br />
modules in an effort to best identify modules that can be<br />
used as a supplemental resource, preview, and/or review of<br />
the core curricula content.<br />
Engineer of 2020/<strong>CIAN</strong> Activities Mapping<br />
The skills sets we strive to engender in our students are<br />
derived from the Engineer of 2020 attributes, which have<br />
been mapped to our <strong>CIAN</strong> Education activities as a<br />
formative program assessment tool. This ensures our<br />
activities cultivate the intended skill sets for our students<br />
Graduate Student Portfolio Development & Review<br />
A template for a portfolio that reflects the attributes of the<br />
Engineer of 2020 provides students a tool to track and show<br />
their growth as a creative, adaptive, innovative engineer<br />
prepared to work in a global economy<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
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Pre-college<br />
RET<br />
REU<br />
Undergraduate<br />
Researchers<br />
Curriculum<br />
Development<br />
Graduates, SLC,<br />
Post Doc<br />
METHODS/TOOL/MEASURES<br />
Strategy/Activity/Program<br />
Blue = In Use<br />
Green= In Development<br />
<strong>Annual</strong> SWOT Analysis by <strong>CIAN</strong> Students<br />
Also includes suggestions for <strong>CIAN</strong> improvement<br />
<br />
<br />
Pre-Post Surveys<br />
OUTCOME EVALUATION<br />
Participant perceptions, beliefs, expectations and knowledge<br />
are assessed before and after specific programs<br />
Participant <strong>Report</strong>s on Experiences<br />
Alumni post profiles, talks, and descriptions of their research<br />
experiences, career plans and job placement<br />
Follow-up Interviews<br />
Participants are asked to describe in detail the lessons they<br />
have implemented in their classrooms as a result of their<br />
research experience. <strong>CIAN</strong> students who participate in<br />
outreach are asked to reflect on their experience.<br />
<strong>Annual</strong> Survey of <strong>CIAN</strong> Students<br />
A survey of <strong>CIAN</strong> students’ beliefs and attitudes related to<br />
global preparedness and career planning<br />
Exit Interviews<br />
<strong>CIAN</strong> graduates participate in an exit interview process to<br />
summarize their perceptions of the benefits of participation,<br />
their plans for the future, and their suggestions for improving<br />
the process.<br />
<strong>CIAN</strong> Alumni Survey<br />
A survey will be administered annually to all <strong>CIAN</strong> students<br />
who have graduated, with the intent of discovering their<br />
current career circumstances and potentially measuring<br />
<strong>CIAN</strong>’s impact on students’ job prospects/career success<br />
Industry Survey regarding <strong>CIAN</strong> Student Hires<br />
Survey designed to receive Industry feedback on quality and<br />
quantity of <strong>CIAN</strong> student hires and interns. and interviews<br />
with <strong>CIAN</strong> graduate job placement supervisors will<br />
document the value and provide feedback for improvement<br />
of the preparation of successful graduates<br />
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Pre-college<br />
RET<br />
REU<br />
Undergraduate<br />
Researchers<br />
Curriculum<br />
Development<br />
Graduates, SLC,<br />
Post Doc<br />
METHODS/TOOL/MEASURES<br />
Strategy/Activity/Program<br />
Blue = In Use<br />
Green= In Development<br />
Pre-college Presentation Impact Surveys<br />
Oral pre-test/post-test evaluations will be administered to<br />
high school age students 1 to 2 years after giving a<br />
presentation or demonstration to a class, in order to assess<br />
impact.<br />
<br />
Assessment Goals for <strong>Year</strong> 6:<br />
1. Graduate Student Portfolio Review<br />
<strong>CIAN</strong> plans to make the Graduate Student Portfolio available online in order to make it easier for students<br />
to upload documents directly to it, as well as for IAB members to access it for hiring needs.<br />
2. Finalizing Assessment Tools<br />
<strong>CIAN</strong> Education is currently developing new activity assessment tools (indicated above by the green<br />
color). The goal is to have all the assessment tools created and in use during Y6.<br />
3. Project Competition each semester (fall, spring, summer)<br />
Development a <strong>CIAN</strong> project competition that serves as a direct measure of creativity, the design<br />
process, ethical and professional responsibilities, and communication is in the beginning stages of<br />
planning <strong>Year</strong> 6. This competition will take place once in the fall, once in the spring, and once in the<br />
summer. Students will be given the same problem or prototype and will be charged with developing the<br />
best solutions, projects, or designs. The three project themes will be 1) an Engineering design project; 2)<br />
an outreach demonstration/project; and 3) a business plan or proposal project. A monetary prize will be<br />
given to the winner, and hopefully serve as incentive for student participation. The plan is to also involve<br />
IAB members in the evaluation process.<br />
PRE-COLLEGE EDUCATION PROGRAM<br />
<strong>CIAN</strong>’s Pre-College Strategic Plan<br />
<strong>CIAN</strong> is committed to developing a <strong>CIAN</strong>-wide pre-college outreach program that entices the youth of<br />
today to study the scientific fields needed for photonics research and tackles the challenges often<br />
involved in attracting students to STEM-related fields. Our pre-college activities are designed to increase<br />
awareness in pre-college and community college students, as well as local communities of optics and<br />
photonics concepts via presentations, demonstrations, participation in events, teacher training, and<br />
curriculum development. An application-oriented introduction to our research is meant to impart an early,<br />
confident understanding of the subject matter to beginners. The model for all outreach endeavors is to<br />
provide participants with an awareness of optics and photonics concepts, as well as the purpose and<br />
usefulness of scientific study. Thereby, inspiring ambition for post-secondary education and consequently<br />
greater technical literacy and proficiency.<br />
Partnerships<br />
Integral to <strong>CIAN</strong>’s pre-college education program is the development and nurturing of long-term<br />
partnerships with pre-college institutions.<br />
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<strong>CIAN</strong> has been establishing long-term partnerships with elementary schools, middle schools, high<br />
schools, community colleges, and university organizations. The <strong>CIAN</strong> network is ever-expanding as more<br />
teachers and students go through our programs and continue to share their experiences with others.<br />
Students at <strong>CIAN</strong> universities engage in various pre-college outreach activities. <strong>CIAN</strong> students are<br />
encouraged to get involved in outreach, since they are a closer role model than <strong>CIAN</strong> faculty to which<br />
young students can better relate.<br />
Arizona Vicinity:<br />
1. Apollo Middle School<br />
2. Desert View High School<br />
3. Flagstaff Unified School District<br />
4. Indian Oasis Baboquivari District Schools<br />
5. Johnson Primary School<br />
6. Lauffer Middle School<br />
7. Office of Early Academic Outreach (UA campus)<br />
8. Pima Community College<br />
9. Pueblo High Magnet School<br />
10. Tully Elementary School<br />
11. Vechij Himdag Alternative School<br />
12. Window Rock Unified School<br />
New Mexico Vicinity:<br />
1. Southwestern Indian Polytechnic Institute (New Mexico)<br />
California Vicinity:<br />
1. Berkeley High School<br />
2. Blair High School<br />
3. Carpenter Charter Elementary School<br />
4. Chula Vista High School<br />
5. High Tech High<br />
6. Hoover High School<br />
7. Lincoln High School<br />
8. Marengo Elementary School<br />
9. Millennium Tech Middle School<br />
10. Miramonte Elementary School<br />
11. Monarch School<br />
12. Monta Vista High School<br />
13. Pride Academy<br />
14. San Diego Academy<br />
15. Sweetwater High School<br />
16. The Accelerated School<br />
17. Town and Country Learning Center<br />
18. Valley Christian High School<br />
Alabama Vicinity:<br />
1. Auburn High School<br />
Washington, DC/Virginia Vicinity:<br />
1. Booker T. Washington High School<br />
2. Churchland High School<br />
3. Ingleside Elementary School<br />
4. Norfolk Public Schools<br />
Idaho Vicinity:<br />
1. Lapwai High School<br />
Washington State Vicinity:<br />
1. Muckleshoot Tribal<br />
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Oregon Vicinity:<br />
1. Nixyaawii Community School<br />
New York Vicinity:<br />
1. Blind Brook High School<br />
2. High School for Dual Language and Asian Studies<br />
Young Scholars<br />
<strong>CIAN</strong>'s faculty members support and encourage the upcoming generation of engineers and scientists in<br />
several ways. To this end, many contribute their time and laboratory resources to activities designed to<br />
bring pre-college students into the university research environment. <strong>CIAN</strong>’s Young Scholars program<br />
entices talented and curious young minds to study the scientific fields needed for photonics research by<br />
providing them a hands-on, first-person experience with laboratory concepts, equipment, and the<br />
scientific enquiry process. Goals of the Young Scholars program are to improve knowledge in scientific<br />
enquiry process, improve conceptual knowledge in the area of optics/photonics research, and ultimately,<br />
to inspire or confirm an interest in pursuing higher education in STEM disciplines.<br />
Programmatic elements and titles of <strong>CIAN</strong>-funded Young Scholars programs vary by site, but all precollege<br />
participants earn certificates of completion from <strong>CIAN</strong> and contact is maintained to track their<br />
future academic endeavors. Pre-college research opportunities and educational opportunities for high<br />
school students are incorporated into <strong>CIAN</strong>-funded activities at six universities:<br />
Native American Science & Engineering Program (NASEP) – UA (24)<br />
Research Experience for High School Graduates (REG) - Tuskegee (4)<br />
Summer High School Apprenticeship Research Program (SHARP) – Berkeley (2)<br />
Young Scholars Summer Research – UCLA (1)<br />
Young Scholars Summer Research – NSU (1)<br />
Young Scholars Summer Research – Columbia (2)<br />
Young Scholars Academic <strong>Year</strong> Research – UA (2)<br />
Since 2009, 71 high school students have participated in <strong>CIAN</strong>’s Young Scholars Programs at UCLA,<br />
Tuskegee, Columbia, UC Berkeley, NSU, and UA. Of the 71 students, we have data that reveals 24 have<br />
graduated from high school, all 24 are attending college, and nearly 90% are studying a STEM major.<br />
NASEP<br />
Last summer, 24 students participated in NASEP-UA. The UA Office of<br />
Early Academic Outreach’s (EAO) Native American Science and<br />
Engineering Program (NASEP) is a free year-long program designed to<br />
provide Native American high school students in Arizona with the<br />
necessary resources to enroll in college and pursue a career in a Science<br />
Technology Engineering & Mathematics (STEM). EAO has partnered with<br />
The University of Alaska Anchorage in a National Science Foundation<br />
Partnership for Innovation Proposal titled Indigenous Alliance: Pre-College<br />
Component Expanding on Success. By participating in the Indigenous<br />
Alliance, Arizona joins nine other states in an attempt to effect a systematic<br />
change in the hiring patterns of Indigenous Americans in the STEM fields<br />
by increasing the number of individuals on the path to leadership in those<br />
fields.<br />
NASEP and <strong>CIAN</strong> student<br />
Throughout the year, NASEP connects students with academic professionals and industry<br />
representatives from STEM fields to catalyze the student’s motivation to complete chemistry, physics, and<br />
pre-calculus before graduating high school. NASEP works closely with the UA’s College of Optical<br />
Sciences, the Center for Integrated Access Networks (<strong>CIAN</strong>), and <strong>CIAN</strong>’s Research in Optics for K-14<br />
Educators and Teachers (ROKET) to assist with this goal. Other NASEP partners include: UA’s College<br />
of Engineering, Raytheon Missile Systems, IBM, the Tohono O’odham Nation, and the Ak-Chin Indian<br />
Community.<br />
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To kick-off the program, participants are invited to the UA during the summer for a one-week overnight<br />
residential program where students assemble a desktop computer from its essential components, learn<br />
computer programming through Botball Robotics, tour research labs like the College of Optical Sciences<br />
and the College of Geography, receive important information about academic success, learn how to<br />
effectively prepare for the college admissions process, and are exposed to different STEM career paths.<br />
The highlight of the program is when students receive a new iPad and a TI-84 graphing calculator.<br />
Students are officially awarded the iPad when they complete the required chemistry, physics, and precalculus<br />
courses. More information about NASEP can be found here: http://eao.arizona.edu/nasep.<br />
A video recap of NASEP’s 2012 summer experience can be viewed at: http://youtu.be/vN-9PmfO4mw.<br />
<strong>CIAN</strong> has assisted NASEP since its first summer program through funding, workshops, lab tours, and<br />
mentorship of its participants. During the 2012 NASEP summer experience, NASEP students visited the<br />
College of Optical Sciences and interacted with <strong>CIAN</strong> participants. To view NASEP’s experience at the<br />
College of Optical Sciences, please see this youtube video: http://youtu.be/ggBduV3jAP0. Additionally,<br />
since the beginning of the Fall 2012 semester, two NASEP seniors have been working with UA faculty in<br />
<strong>CIAN</strong> labs as part of the Young Scholars program to gain research experience.<br />
Demographics of NASEP participants<br />
Since 2009, NASEP has served 73 American Indian high school juniors and seniors in four<br />
different cohorts (36 students have graduated)<br />
Of the 36 NASEP students who have graduated from high school, 22 students have successfully<br />
fulfilled the NASEP requirements by successfully passing Chemistry, Pre-Calculus or<br />
Trigonometry, and Physics with a C or higher (61%)<br />
In the summer of 2012, NASEP welcomed its fourth cohort of 24 Native American students to the<br />
UA campus.<br />
From the 73 NASEP participants, students identified themselves as Tohono O’odham, Navajo,<br />
Pascua Yaqui, Apache, and Hopi.<br />
REG – Tuskegee University<br />
At Tuskegee, four college-bound students from Booker T. Washington High School and Auburn High<br />
School participated in the <strong>CIAN</strong> sponsored summer REG outreach program from June 4 to June 29,<br />
2012. They conducted research on two projects at the Microelectronics Laboratory at Tuskegee<br />
University under the guidance of <strong>CIAN</strong> faculty Professor Li Jiang and <strong>CIAN</strong> Master’s students. The<br />
subjects of the two projects are: “Fabrication and Characterization of Ge Devices on SOI for Photonic<br />
Integration” (The high school students who performed the project were Azizi Turner and Irene Lee and<br />
their supervisor was master student Hudu Mohammed) and “Determination of Contact Resistance in<br />
CGS/n-Si Solar Cells” (The high school students who performed the project were Bianca Davis and Deja<br />
Collis and their supervisor was master student Uwadiae Obahiagbon). Two reports and two posters were<br />
produced as a result of the research activities. The high school students had also taken special arranged<br />
lectures mainly provided by master student Manisha Vangari and <strong>CIAN</strong> faculty, Dr. Naga Korivi (Assistant<br />
Professor in Electrical Engineering at Tuskegee University), which were equivalent to 2 credit hours. The<br />
high school students received lab training from Hudu Mohammed, Uwadiae Obahiagbon and our<br />
undergraduate researchers David Mohammed and Quinton Kennedy. Three out of the four students are<br />
now attending Tuskgee University majoring in Chemical Engineering and<br />
Mechanical Engineering.<br />
SHARP – UC Berkeley<br />
The program webpage for SHARP is:<br />
http://conium.org/~nanotec/educational/sharp.html. For its sixth cohort, in<br />
the summer of 2012, SHARP admitted a group of twelve rising seniors<br />
selected from an applicant pool of over 240 applications. <strong>CIAN</strong> supports two<br />
“SHARPies” in Dr. Connie Chang-Hasnain’s lab. Applications were received<br />
from 90 high schools from across the country. There were five females and<br />
two Latino students in the group. They were placed in labs in all three of the<br />
SHARP Young Scholar<br />
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colleges participating in the Nanoscale Science & Engineering Graduate Group: Chemistry, Engineering,<br />
and Letters & Science (Physics). SHARP combines several qualities that make it a distinctive<br />
education/outreach experience. Interns spend the majority of their time working directly with graduate<br />
student mentors on the actual current research problems in their P.I.’s lab rather than on canned lessons<br />
or exercises tailored for youngsters. This exposes the interns to real bench work. Mentors are the primary<br />
responsible individuals, which means that graduate students gain the most practical and basic experience<br />
in supervision and project management. Each SHARPie successfully completed the term of the program<br />
and presented an oral progress report with slides. The project titles of Dr. Chang-Hasnain’s two students<br />
were “Nanopillar Laser on Silicon” and “Fabricating and Characterizing LEDs and Lasers.”<br />
University of California, Los Angeles<br />
During the summer of 2012, high school student Adam Schwartz from Brentwood High School conducted<br />
summer research at the Photonics Laboratory at the University of California Los Angeles under the<br />
mentorship of <strong>CIAN</strong> faculty Bahram Jalali. The project was entitled “Audio signal processing using<br />
National Instrument data acquisition board. The goal of the project was real-time feedback for the<br />
purpose of noise cancellation. The student learned fundamentals of signal capture using analog to digital<br />
converters and analysis using digital signal processing.<br />
Norfolk State University<br />
During the summer of 2012, high school student Kenedy Boone worked in the<br />
research lab of Professor Frances Williams at Norfolk State University. Kenedy<br />
attends Churchland High School in Portsmouth, VA. During the summer, she was<br />
able to learn about microelectromechanical systems (MEMS) devices and their<br />
applications in the optical communications field. She was also exposed to<br />
semiconductor processing in NSU’s Micro- and Nano-technology Center (MiNaC)<br />
Cleanroom where the MEMS switches she was investigating are fabricated.<br />
During this time, she was able to work on processes including photolithography<br />
and oxidation.<br />
University of Arizona<br />
Two Native American high school seniors are being funded by<br />
<strong>CIAN</strong> to conduct research at the University of Arizona. They were<br />
recruited through our partnership with the UA’s Early Academic<br />
Outreach Office and the Math, Engineering, and Science<br />
Achievement (MESA) program. The students started in September<br />
and received basic training in principals and safety, such as Laser<br />
Radiation and Safety Training. The student that was placed under<br />
the mentorship of Dr. Jun He in the TOAN Testbed, spent the first<br />
semester obtaining background information in optical networking<br />
and learning how to operate the laboratory equipment. The student<br />
spent several months in reading network equipment manuals and<br />
NSU Young Scholar<br />
then working with the physical network elements. The student is now familiar with some of the<br />
terminology in optical networks and is able to operate the devices by following instructions from both Dr.<br />
He and a graduate mentor.<br />
The second high school senior is being mentored by Dr. Khanh Kieu. The student worked with a graduate<br />
student to observe diatoms on single-walled nano-tubes using an electron microscope. The student also<br />
gained experience in designing a water-tight housing to contain the diatoms and will now be collecting<br />
data regarding the diatoms, as well as testing the housing designs.<br />
Columbia University<br />
UA Young Scholar with<br />
Faculty Mentor<br />
During summer 2012, Jia Wen Li from High School for Dual Language and Asian Studies learned graph<br />
theory and its application in computer networking. In the first part of her internship, she learned very basic<br />
definitions in graph theory including nodes, edges, degree, connectivity, etc. Next, she learned more<br />
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advanced concepts like shortest path, betweenness centrality, clustering coefficient, and adjacency<br />
matrix of a graph. In the second part of her internship she studied well-known algorithms for computing<br />
the shortest paths between all pair of nodes in a graph, and she implemented Dijkstra algorithm in java. In<br />
the last part of her internship she got familiar with Small World graphs and learned how her knowledge<br />
and the programs that she had written in java (one for computing shortest paths and one for computing<br />
clustering coefficients) can be used for studying the properties of real life networks, such as (but not<br />
limited to) optical networks studied within <strong>CIAN</strong>. Two other young scholars also participated in research at<br />
Columbia in <strong>CIAN</strong> labs, and on <strong>CIAN</strong>-related research, but were funded from other sources.<br />
Evaluation of Young Scholars:<br />
For 2012, feedback was obtained from Young Scholars participants through an online survey. Seven<br />
responded to the survey, and they identified their program’s campus as the University of Arizona (2),<br />
Tuskegee (3), and Columbia (1). Four of the seven respondents have already graduated high school,<br />
while the other three expect to graduate in May of 2013. The same four high school graduates said that<br />
they are currently attending college, with three indicating intended majors in Chemical Engineering and<br />
one in Computer Science. Regarding the three graduates of 2013, one said he/she plans on applying to<br />
Pima Community College, while the second will be applying to Columbia, Johns Hopkins, and Duke<br />
University, among others, the third has applied and was accepted to Northern Arizona University and is<br />
awaiting acceptance to UA, and plans to major in Environmental Science. When asked how likely they<br />
were to pursue a career in STEM fields, four individuals indicated that they were “very likely.”<br />
Additionally, four of the former Young Scholars agreed that the program “somewhat increased” their<br />
desire to pursue college majors in STEM. Another item also asked respondents how much the Young<br />
Scholars program helped them feel prepared for college, to which 67% said it helped them feel “much<br />
more prepared.” Two of the seven respondents also indicated that their research experience “somewhat<br />
encouraged” them to think about attending graduate school. Two out of three respondents said that the<br />
lab portions of the program were their favorite experiences.<br />
Other Cross-<strong>CIAN</strong> Outreach Activities<br />
Pre-college innovative outreach projects allow <strong>CIAN</strong> students a chance to teach engineering and<br />
introduce the basic concepts of optics to beginners (K-14) and explain their research projects in a way<br />
that everybody understands. Such outreach opportunities also provide <strong>CIAN</strong> undergraduate and graduate<br />
students the chance to develop and foster leadership and communication skills, as well as engendering a<br />
sense of the importance of giving back to community.<br />
Outreach by NSU<br />
Outreach at Local Elementary<br />
During the school year, NSU <strong>CIAN</strong> faculty and students<br />
conduct monthly outreach activities at a local elementary<br />
school in Norfolk, VA. The <strong>CIAN</strong> Engineering and Science<br />
Ambassadors (CESA) go to Ingleside Elementary School, a<br />
minority-serving school approximately three miles from NSU,<br />
and provide fun, engaging engineering and science activities<br />
in STEM-related fields. These activities range from learning<br />
about light and primary and secondary colors to learning<br />
about chemical compounds. Each month approximately 15-<br />
35 students in grades 3-5 participate in the outreach. There<br />
are usually one to three Ingleside teachers present at the<br />
NSU CESA students leading pre-college<br />
outreach activities at Ingleside Elem.<br />
monthly outreach. The efforts were led by <strong>CIAN</strong> graduate students Ronesha Rivers (Electronics<br />
Engineering student) and Brianna Peeples (Materials Science student) and faculty member, Prof.<br />
Frances Williams. The NSU student chapter of the National Society of Black Engineers also participated<br />
with CESA in these outreach activities.<br />
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Saturday Scientist Program at Norfolk State University<br />
The College of Science, Engineering, and Technology (CSET) at NSU hosts high school students<br />
monthly on campus to participate in fun, hands on science and engineering activities and demonstrations.<br />
<strong>CIAN</strong> faculty and students at NSU hosted students during the month of February 2012. Approximately 10<br />
students attended, ranging from 9 th to 12 th grades. During the optics module presented, students<br />
participated in an activity dealing with image distance based on a convex lens. This experiment verified<br />
the thin lens equation and gave students a better understanding of how our eyes work and how useful<br />
this equation is when designing microscopes, telescopes, or cameras. In this activity, students placed an<br />
object at various distances from the lens and then measured the distance between the screen and lens<br />
and the size of the image. The thin lens equation was used to get the calculated distance and size. The<br />
students calculated the percentage error from what was measured and what was calculated to see how<br />
far off they were.<br />
Community College Outreach Partnership<br />
NSU <strong>CIAN</strong> faculty, Pat Mead, coordinated a number of<br />
outreach activities in partnership with the “Two + Three<br />
Community College to University Programs Project”<br />
(T-CUP) in the Department of Engineering at NSU.<br />
The T-CUP program is a partnership with NSU and<br />
four community colleges from the Virginia Community<br />
College System (VCCS): Central Virginia Community<br />
College (CVCC), Northern Virginia Community<br />
College, Thomas Nelson Community College (TNCC),<br />
and Tidewater Community College (TCC). The<br />
innovative program leverages the community college<br />
pathway into the engineering profession where students<br />
completing the program will receive three post-secondary<br />
degrees: the associate degree in engineering, the Bachelor<br />
Ronesha Rivers leading NSU Pre-<br />
College Outreach Activity<br />
of Science in engineering (electronics or optical engineering), and the Master of Science in engineering<br />
(electronics or optical). The program facilitates a number of outreach activities where T-CUP students<br />
from the community colleges participate.<br />
A Telescope Construction Workshop was presented as a Saturday Scientist activity in March 2012 (15<br />
student attendees) and again for a Girl Scouts event (45 student attendees) in October 2012. The<br />
workshop was designed and presented by NSU engineering students and community college students<br />
participating in the T-CUP program. The community college students were from the Engineering Science<br />
program at Thomas Nelson Community College in Hampton, VA. Middle and High School students<br />
constructed hand-made telescopes and learned about the power of lenses to collect and bend light<br />
energy. The students also decorated the telescopes and were allowed to take them home. The telescope<br />
design allowed students to read small print messages on a wall about 20-25 ft. away from the hand-held<br />
devices.<br />
Health and Science Summer Academy Workshop (50 student<br />
attendees/1 teacher)<br />
<strong>CIAN</strong> faculty Frances Williams hosted 50 middle school students during<br />
NSU's Health and Science Summer Academy 2012 where she taught<br />
about the Engineering Design process and then engaged students in fun,<br />
hands-on Rube Goldberg Design Projects. At the end of her two-day<br />
Module, she hosted a competition of the best designed project. Below she<br />
poses with the winning team.<br />
Introduction to Fabrication of Micro- and Opto-electronics devices<br />
(16 student attendees/2 teachers)<br />
Diversity Dir., Dr. Williams<br />
leading NSU Pre-College<br />
Outreach<br />
Students from the Orangeburg, SC National Society of Black Engineers (NSBE) Junior Chapter were<br />
hosted for a campus visit on Norfolk State's campus. During their tour, they were able to learn about the<br />
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fabrication of micro- and opto-electronics devices and were given a tour by Professor Frances Williams of<br />
NSU's 6000 square foot research cleanroom where micro- and opto-electronics devices are processed.<br />
Outreach by UA<br />
The UA continues to present outreach demonstrations at established partner schools, such as, Johnson<br />
Primary, Tully Elementary, Baboquivari High School, and Pueblo High School. Originally we started with<br />
Tully Elementary's 5th grade and we had to do demonstrations in their mobile classroom. This year, we<br />
expanded to Tully's 4th and 5th grade classes and were able to give presentations in a classroom<br />
dedicated to science instruction. Tully has also invited us to give a motivational talk to their African<br />
refugee students after meeting one of our graduate students who is originally from Kenya.<br />
Johnson Primary School is a K-2 school, 65% Native American, 35% Hispanic and 95% low income. To<br />
assist in encouraging these youngsters, ages 5-7, that school is fun, 58 National Junior Honor Society<br />
(NJHS) students from Tucson Country Day School (middle school) join us and read to the entire student<br />
body of 350 students while the coordinator and a graduate student do optics presentations. This also<br />
fosters a mentoring relationship between the K-2 and NJHS students. All of the students participate in our<br />
optics demonstrations.<br />
This year, the UA has also increased the number of partnerships in<br />
the Sunnyside District in Tucson, having been invited to give optics<br />
presentations at Apollo Middle School, Lauffer Middle School, and<br />
Desert View High School. Presentations were given at each of the<br />
schools' A.V.I.D. classes. A.V.I.D. (Advancement Via Individual<br />
Determination) is usually for underserved students with the belief<br />
that if you raise expectations of students and, with the AVID<br />
support system in place, they will rise to the challenge. The<br />
Sunnyside District is comprised of 88% Hispanic students, 5%<br />
Native American, 5% White, and 2% African American. The<br />
presentations included optics demonstrations, STEM recruitment Carolyn Reynolds at Pre-College Outreach<br />
information, and a question and answer session between the<br />
Event<br />
middle and high school students and the optics undergraduate and graduate students.<br />
<strong>CIAN</strong> was also invited to give presentations at charter schools (Basis High School and Sonoran Science<br />
Academy) and special events: Women in STEM--presentation to 6th grade girls and their female<br />
mentors; Laser Fun Day--in conjunction with SocK, opens up the College of Optical Sciences to a day of<br />
hands-on activities and optics lectures that is open to the public and is family oriented; Science and<br />
Engineering Funfest--2-day event where we gave talks on polarization and how the 3D TV works to K-12<br />
students throughout Southern Arizona. 6000 students attended this event; Expanding Your Horizon--<br />
demos for the Girl Scouts--<strong>CIAN</strong> co-funded optics kits that were assembled by the Women in Optics for<br />
the Girl Scouts Leaders. These kits contain a variety of simple, readily-available ingredients and parts that<br />
can be used to demonstrate approximately 25 different optical properties; and the Tucson Festival of<br />
Books--<strong>CIAN</strong> took the lead in the 2012 Tucson Festival of Books. This festival was 2 days long and had<br />
approximately 120,000 attendees. <strong>CIAN</strong> flew its banner next to two tables filled with a variety of optical<br />
displays, demos, and a solar telescope on the university mall area<br />
called "Science City". We also organized 2 classrooms for more indepth<br />
lectures and had ambassadors give tours to the public of our<br />
optics museum. One of our community college partners, Pima<br />
Community College (PCC), assisted with the lecture on 3D<br />
technology, and some of the PCC students also volunteered with<br />
the demos.<br />
The University of Arizona, as the lead institution, continues to follow<br />
up with the partner universities with regard to outreach activities. At<br />
the annual retreat, the coordinator led a workshop for the graduate<br />
and undergraduate students to familiarize them with the "<strong>CIAN</strong><br />
Outreach Backpack" which was sent to them last year. The idea<br />
UA Pre-College Outreach using<br />
Fresnel Lens<br />
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eing, the backpack would make it easier and less time consuming and students could "pick up and go"<br />
and do presentations at local schools or events. Since the backpacks already had instructions included,<br />
this year we distributed a list of schools that served underrepresented students in the vicinity of the<br />
respective partnering universities. We also added a fresnel lens and an Optics 101 Grab Bag (both<br />
donated by Edmund Optics) to everyone's backpack. Ronesha Rivers, graduate student at NSU, gave a<br />
PowerPoint presentation during the workshop on the outreach she was involved in at NSU. We hope to<br />
continue with this workshop at our retreat and increase the participation of our faculty and students at<br />
partnering universities.<br />
Outreach by UCSD<br />
<strong>CIAN</strong> students at UCSD have visited the several schools in the Sweetwater Union High School District,<br />
which is one of the most ethnically and economically diverse districts in California with 80.3%<br />
Hispanic/Latino, 12.3% Filipino, 3.1% African American, 4.3% White/Other. Working collaboratively with<br />
high school teachers, <strong>CIAN</strong> looks for ways to attract more high school graduates into the fields of<br />
engineering and science. <strong>CIAN</strong>-UCSD participates in Girls’ Day Out Every April during which <strong>CIAN</strong><br />
graduate students are invited to speak to over 40 girls and do research presentations with interactive<br />
optics demo at UCSD. The objectives of this event are to attract high school girls to the amazing<br />
opportunities that Computer Science and Engineering/Information Technology can offer. In order to<br />
accomplish this goal, this event exposes these girls to interactive and real-world applications to the field.<br />
<strong>CIAN</strong> students visit schools such as Chula Vista high school and Roosevelt Middle school.<br />
The myLab program was established at the California Institute of Telecommunications and Information<br />
Technology (Calit2) to provide practical hands on engineering experience to UC San Diego<br />
undergraduate as well as San Diego community K-12 population. The program’s mission statement is to<br />
inspire passion in engineering by creating informal project-based learning environments.<br />
<strong>CIAN</strong> has been supporting the myLab program since November 2012. This support has allowed the<br />
program to grow in many ways.<br />
ISS Project<br />
Fifteen girls from high schools around San Diego County have<br />
been meeting once a week since September to conceive,<br />
design, engineer and program a micro-experiment set to be<br />
deployed on the International Space Station (ISS) in March<br />
2013. They are building a crystal growth experiment for a<br />
microgravity environment. myLab provided computer science<br />
technical support for the girls and provided one on one<br />
programming learning sessions. All of the girls participating in<br />
the project are members of Better Education for Women in<br />
Science and Engineering (BE WiSE), a program of the San<br />
Diego Science Alliance (SDSA), an important catalyst of<br />
Science, Technology, Engineering and Math (STEM) learning<br />
for K-12 students in San Diego County. “As part of our mission,<br />
UCSD Education Coordinator,<br />
Saura Naderi leading ISS Project<br />
SDSA strives to build bridges between business, education and scientific research communities to ignite<br />
STEM learning.” More on this project to which <strong>CIAN</strong> provides funding:<br />
http://ucsdnews.ucsd.edu/pressreleases/california_high_school_girls_build_experiment_for_space_statio<br />
n.<br />
<strong>CIAN</strong>-UCSD supports, and <strong>CIAN</strong> staff teaches, a weekly robotics class at Calit2 (on UCSD campus) and<br />
at Morse High School. Most of the kids are low-income and “at-risk.” The robotics class myLab provides<br />
enables these students to dive right in and start programming right away using a platform called Arduino.<br />
The primary objective of this class is to provide students with an in-depth understanding and control of the<br />
basic abilities of interactive and creative robots: movements, senses, and logic/intelligence. Students<br />
explore a dynamic range of engineering skills, including:<br />
Mechanical design of interactive and mobile robots<br />
Actuation: DC motors and servo motors for robot motion<br />
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Perception: Range sensing and vision for interaction with the user<br />
Cognition: Specific actions based on certain movements, colors, etcetera (computer programming<br />
problem solving and debugging).<br />
In addition, students will gain critical thinking, effective project management and teamwork skills, and<br />
communication skills that will help them in their future academic pursuits. The undergraduates supporting<br />
this program serve as mentors with the high school students to bridge the generation gap between the<br />
robotics instructor, <strong>CIAN</strong>’s Saura Naderi, and the students. In exchange, the engineering undergraduates<br />
are learning robotics as well, albeit at a faster pace, and turn out and provide technical support for the<br />
high school students.<br />
Outreach by Berkeley<br />
Through U.C. Berkeley’s Electrical Engineering Graduate Student Association and Bay Area Scientists in<br />
Service (BASIS), a <strong>CIAN</strong> graduate student and two non-<strong>CIAN</strong> graduate students designed and built<br />
hands-on activities with a coordinated lesson plan to instruct 4 th graders on the nature of electric and<br />
magnetic fields and their interrelations. Over the course of 2012, these lessons were given to a variety of<br />
local Bay Area 4 th grade classes and, with modifications, at science classes in one high school. In<br />
addition to several other hands-on electromagnetism demonstrations, the lessons introduced students to<br />
engineering design by allowing them to build and improve their own electric motor and electromagnet.<br />
The schools visited represented a wide range of economic and ethnic diversity; some schools were<br />
comprised of predominantly recent Asian-American immigrants, including ESL students, while others<br />
were predominantly African-American and Latina/o students. At the moment, the optics teaching tools<br />
provided by <strong>CIAN</strong>, together with resources from the newly restarted UC Berkeley chapter of the Optical<br />
Society of America, are being used to develop an optics-focused lesson plan to be presented through<br />
BASIS and other venues.<br />
Outreach by UCLA<br />
UCLA’s primary outreach activity involved the creation of an optics booth at the university’s annual<br />
educational science fair for K-12 students. Approximately 100 students visited the booth, which utilized<br />
optics education kits provided by <strong>CIAN</strong>.<br />
Outreach by Caltech<br />
Outreach efforts by Caltech focused on visits to elementary and high schools where K-12 students were<br />
taught and introduced to optics. One notable outreach effort from Caltech was participation in a science<br />
night at Marengo Elementary in South Pasadena, California, at which a <strong>CIAN</strong> student presented<br />
experimental demonstrations concerning electricity, magnetism, and optics. Additionally, on multiple<br />
occasions <strong>CIAN</strong> students gave science tutoring to students at Carpenter Charter Elementary and Blair<br />
High School.<br />
Research Experience for Teachers (RET)<br />
RET: Research in Optics for K-14 Educators and Teachers (ROKET) at:<br />
California Institute of Technology, Pasadena<br />
University of Arizona<br />
University of California, San Diego<br />
Norfolk State University<br />
The Engineering Research Center for Integrated Access Networks (<strong>CIAN</strong>) initiated a Research<br />
Experience for Teachers (RET) Program in photonic communications in 2009. To distinguish itself from<br />
RET programs in other disciplines; this program is named Research in Optics for K-14 Educators &<br />
Teachers (ROKET). The goals of the program are to advance pre-college students’ interest in science<br />
and engineering careers through the compelling and informative lessons developed by RET teachers, to<br />
establish long-term collaborative relationships between K-14 STEM teachers and <strong>CIAN</strong>’s research<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 173
community, and to develop novel and exciting science and engineering curriculum to share with the<br />
community of pre-college educators.<br />
Teachers currently can participate in a research experience on four of <strong>CIAN</strong>’s partnering university<br />
campuses: the California Institute of Technology, Pasadena; the University of California, San Diego; the<br />
University of Arizona, Tucson, and in Y5 was expanded to include Norfolk State University, Norfolk. The<br />
experiences are all based in research labs, but the details of the summer program vary by institution.<br />
At the University of Arizona, a continuing partnership with the American Indian Language Development<br />
Institute (AILDI) added resources, energy and activities for 2012.<br />
During its over thirty year tenure, AILDI has led efforts to document,<br />
revitalize, and promote indigenous languages, reinforcing the<br />
processes of intergenerational language transfer. As noted in the<br />
proposal, the partnership between <strong>CIAN</strong> and AILDI represents a<br />
unique program for science educators working in Native American<br />
communities. The combined programming efforts resulted in the<br />
2012 RET program activities included courses concerning language,<br />
culture revitalization, and teaching methods to improve science<br />
education for Native American students. The teachers who ROKET RET Participant<br />
participated at UA spent approximately four weeks in classes with<br />
AILDI, reinforcing the importance of cultural sensitivity with regard to their Native American students.<br />
Eleven teachers conducted six weeks of summer internship in <strong>CIAN</strong> laboratories at: University of Arizona<br />
(6); University of California San Diego (2); California Institute of Technology (2); and Norfolk State<br />
University (1). The six ROKET participants at the University of Arizona were funded with the RET site<br />
award ($104,282 – including IDC of $8,100), and the other five RET participants were funded with <strong>CIAN</strong><br />
base funding ($65,509 – including IDC of $4,050).<br />
Teacher Recruitment<br />
Recruiting for the 2012 ROKET program began in October 2011 with online applications and alumni<br />
project descriptions so that teachers may decide if the research and lesson plan scope of the program<br />
suits their interest, program dates, and mentor bios. We also contacted ROKET alumni to help distribute<br />
recruiting materials to their colleagues. Our partner for the UA ROKET program, the American Indian<br />
Language Development Institute (AILDI), also utilized their extensive network of contacts in education in<br />
Native American communities to advertise the ROKET program. An optics outreach program from the<br />
National Optics Astronomy Observatory (NOAO) connected us with teachers from Native American<br />
communities in Arizona that participated in their workshops. We also distributed information to our<br />
contacts at <strong>CIAN</strong> partners including Pima Community College and San Diego City College. <strong>CIAN</strong><br />
members at Caltech, UCSD, UA, and NSU sent out information to their K-12 outreach contacts and<br />
partners.<br />
RET Evaluation<br />
For the <strong>Year</strong> 5 ROKET program, surveys were administered to participants both before and after the<br />
summer research experience, via an online survey website (surveymonkey.com). A focus group was also<br />
held with UA site participants to collect qualitative feedback about their experience. Additionally, RET<br />
mentors consisting of faculty and <strong>CIAN</strong> graduate students were asked to complete a survey following the<br />
summer ROKET program. The surveys contained a variety of measurement methods, including multiple<br />
choice items, yes/no questions, rating scales, and open-ended response questions.<br />
When comparing before and after responses, RET participants’ general views were that they were still<br />
greatly motivated as teachers to expand the instructional techniques they were currently using in the<br />
classroom, incorporate more hands-on activities, and introduce more technology into the classroom,<br />
among others.<br />
RET Participant Confidence<br />
Pre and Post surveys measured the degree of confidence that participants expressed concerning their<br />
teaching skills. When compared to Pre-RET survey results, confidence increased to “very confident” for<br />
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some participants in each respective category. Most notable were confidence increases in “using inquirybased<br />
practices;” “ability to determine the depth, breadth, and pace of coverage in your teaching;” “ability<br />
to make presentations at professional meetings;” and “ability to incorporate technology.”<br />
After the summer research experience, teachers were asked to rate their confidence in several skills.<br />
Table 3-12 displays the percentage that reported confidence to a moderate or great extent. The teachers’<br />
confidence levels in these skills continue to be strong at the end of each summer program. Some<br />
positive shifts in confidence were seen, specifically related to making presentations and developing<br />
assessment tools.<br />
Table 3-12. Measure of impact of RET program on participant levels of confidence<br />
Area of confidence – post<br />
program<br />
2009 - Moderate<br />
or great extent<br />
2010 - Moderate<br />
or great extent<br />
2011 - Moderate<br />
or great extent<br />
2012 –Moderate<br />
or great extent<br />
Ability to advise students about<br />
job opportunities in the subject<br />
area<br />
Ability to advise students about<br />
opportunities to receive further<br />
training/experience in the subject<br />
area<br />
Ability to determine the depth,<br />
breadth, and pace of coverage in<br />
your teaching<br />
Ability to develop appropriate<br />
and authentic assessment tools<br />
Ability to supervise research<br />
projects of your students<br />
Ability to make presentations at<br />
teacher inservices or<br />
professional meetings<br />
91% 80% 80% 64%<br />
100% 90% 100% 91%<br />
100% 80% 80% 73%<br />
91% 100% 80% 91%<br />
90% 90% 80% 73%<br />
90% 90% 60% 82%<br />
The teachers were also asked, “To what extent do you feel each of the following statements describes the<br />
kind of teacher you are” The program has had a strong impact on the teachers’ motivations and beliefs<br />
in the areas indicated in table 3-13 below regarding their responses to the post-survey. Of special note is<br />
that 100% of 2012 participants considered themselves to be subject matter experts to a moderate or<br />
great extent; this was a first-time occurrence for this statistic.<br />
Table 3-13. Impact of RET program on participants’ levels of motivation and beliefs<br />
Statements<br />
2009 -<br />
Moderate or<br />
great extent<br />
2010 -<br />
Moderate or<br />
great extent<br />
2011 -<br />
Moderate or<br />
great extent<br />
2012 –<br />
Moderate or<br />
great extent<br />
I am motivated to change the way I use<br />
hands-on materials and manipulatives in<br />
my teaching 91% 90% 100% 90%<br />
I am motivated to use more technology in<br />
my teaching<br />
91% 100% 100% 90%<br />
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I consider myself to be a "subject matter<br />
expert" in my main teaching field<br />
I consider preparing students for the<br />
kinds of expectations they will encounter<br />
in a work setting as an important part of<br />
my job<br />
I believe I can truly make a difference in<br />
the lives of my students in terms of their<br />
choices for further education and their<br />
careers<br />
82% 80% 80% 100%<br />
100% 100% 100% 100%<br />
100% 100% 100% 100%<br />
Rewards, Challenges, and Benefits<br />
When asked what the most rewarding aspect of the RET program was, teachers said the following:<br />
<br />
<br />
<br />
“Research experience... something fun I haven't been exposed to before.”<br />
“The crash course in OPTICS and the cultural piece with AILDI and Professor Cajete- both<br />
shared valuable methods in incorporating indigenous language.”<br />
“The collaboration offered by the department and other partners of the program…they went<br />
above and beyond to make my experience very rich and enlightening.”<br />
RET participants also identified some challenging aspects of the program, such as:<br />
Learning new, difficult material<br />
Turning an interesting concept or phenomena into a classroom activity or lesson.<br />
Microteaching. When preparing for a lesson, it's important to make sure it works well, connects<br />
with the students, and everyone has fun.<br />
Despite the challenges, expectations were met to a “great extent” for 60% of the RET participants. They<br />
listed many skills and experiences taken away from the program, such as:<br />
A firmer grounding in research methods; research lab skills and contacts with staff in the field<br />
Presentation methods, and collaboration with other teachers of native students lessons<br />
How to prepare culturally relevant science lessons; telescope practice<br />
Increased knowledge to develop activities and lessons covering many subjects<br />
Highlight: Based on the challenges identified, changes have been made to the ROKET program for<br />
2013. Instead of launching the teacher participants into a laboratory experience, they will spend the first 2<br />
weeks attending an Optics Research Workshop with an Optical Sciences professor. In this workshop,<br />
teacher participants will gain a foundation in research methods, lab skill, and lab equipment, as well as<br />
the opportunity to collaborate with other teachers in the program, who are also teaching Native American<br />
students. Further, in this workshop, the professor will demonstrate the cultural relevancy of current<br />
research to the Native American culture.<br />
Participant Satisfaction: When surveyed about their summer experience: 100% of the participants<br />
agreed that the summer research experience positively impacted them, and 100% also stated that they<br />
learned a moderate to great deal about optics compared to what they knew before. Additionally, 50% of<br />
the respondents indicated that interaction with their mentors was “more than sufficient, someone was<br />
always available to answer my questions.” Also, 90% agreed that the research experience was<br />
“structured enough,” such that there was a good balance between structured learning opportunities and<br />
freedom to pursue personal creativity and projects.<br />
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To conclude, RET participants were asked to rate the overall experience, to which 70% indicated it was<br />
“excellent,” 20% said it was “good,” and 10% said it was “fair,” while no one selected “poor”. Final<br />
feedback was collected to assess what might be done to further meet teachers’ needs. Participants were<br />
also given an opportunity to leave additional comments; their descriptions below elucidate the extent to<br />
which the RET experience inspired and excited them.<br />
“The AILDI coursework, micro teaching, and Cajete’s course is already impacting my lesson<br />
planning.”<br />
“I was very happy to be part of this research experience. It was hands down amazing.”<br />
“I have been to a lot of programs that promised great things and fell way short of their promises. The<br />
ROKET program met their promises and offered much more.”<br />
“The crash course in OPTICS and the cultural piece with AILDI and Professor Cajete- both shared<br />
valuable methods in incorporating indigenous language.”<br />
Of the 2012 teachers, 90% of the teachers reported that the program met their expectations to a great or<br />
moderate extent and 100% felt they had learned a great or moderate amount about optics when<br />
compared to their knowledge prior to the research experience. The teacher participants reported that their<br />
perceptions of being a “subject matter expert” did increase slightly.<br />
Of the 2011 teachers, 100% of the teachers reported that the program met their expectations to a great or<br />
moderate extent and 80% felt they had learned a great or moderate amount about optics when compared<br />
to their knowledge prior to the research experience.<br />
Of the 2010 teachers, 80% of the teachers reported that the program met their expectations to a great or<br />
moderate extent and 80% felt they had learned a great or moderate amount about optics when compared<br />
to their knowledge prior to the research experience.<br />
Of the 2009 teachers, 91% of the teachers reported that the program met their expectations to a great or<br />
moderate extent.<br />
RET Program Impact on Former RET Participants<br />
For 2012, eleven teachers who had participated in the RET program in 2011 and past years were<br />
surveyed via surveymonkey.com. On the basis of survey data, it is evident that the RET experience leads<br />
to substantial changes in teachers’ classroom methods and changes their lesson plans. Figure 3.3 below,<br />
displays ratings of how their methods changed as a result of their RET experience. At least 73% or more<br />
of the respondents indicated that they engage in each of the specified activities more often or “a lot more<br />
often,” as a result of their ROKET experience (notice the red and green bars). In short, those who<br />
participated in the RET program were heavily influenced by the experience.<br />
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Figure 3.3. Impact of 2012 RET experience<br />
on participants’ belief about a change in their<br />
teaching methodology.<br />
The most significant results of the RET program are the direct impact on classrooms as a result of<br />
teacher participation. Teachers report that their students enjoy class more because of the fascinating<br />
demonstrations and labs, they have become interested in careers in optics, and they have gained an<br />
appreciation for STEM-related subject matter. Not only this, but teachers’ reports of the RET experience<br />
have increased students’ desires to obtain a college education and become involved in research. The<br />
following comments reflect this:<br />
“Because of the exposure of the students to some of the science kits that has to do with optics<br />
and the continuous visit of the College of Optical Science in the school, some students are asking<br />
a lot of questions about how to go to college and major in optics or careers associated with this.”<br />
“Working with lasers was one of the most enjoyable projects that my class did. A number of<br />
students who were normally very disengaged became very involved with the project, and were<br />
quite excited by the problem solving that it presented”<br />
RET survey respondents were also given the opportunity to leave additional feedback, which several<br />
individuals took advantage of. Many simply reiterated their gratitude for the summer research experience,<br />
while one teacher said, “The experiences I had in the RET program I will never forget. My summer<br />
experience opened my eyes to optical research.” Another stated, “In addition to lectures enhancement, I<br />
was able to convey to my students the availability of research opportunities in <strong>CIAN</strong> and in optical<br />
sciences in general.” Overall, positive feedback and praise was abundant.<br />
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2012 RET Mentor Surveys<br />
In order to obtain a balanced perspective of the success of the RET program, eleven mentors, consisting<br />
of six faculty and five graduate students, were surveyed following the end of the experience. Of these,<br />
54.5% (6) had prior experience working with pre-college science teachers in previous RET programs or<br />
other outreach activities. With regards to the quality of collaboration, mentor descriptions of their working<br />
relationships with the teachers were extremely positive:<br />
Poor 0%<br />
Fair 0%<br />
Good 9.1% (1)<br />
Very Good 36.4% (4)<br />
Excellent 54.5% (6)<br />
Mentors were also asked to rate the frequency of their participants’ engagement in specific scientific<br />
activities. The most frequent scientific processes that mentors observed their participants engaging in<br />
were “making observations,” “collecting data,” “communicating ideas to others,” “analyzing data,” and<br />
“interpreting results.”<br />
Overall, feedback was very positive and most mentors were able to identify ways in which their personal<br />
research was able to benefit from the RET experience in some way. For example:<br />
“Helped me to design a new outreach project involving Native foods. I plan to follow up on this new<br />
direction.”<br />
“I was able to use one of the butterfly samples we measured in a conference paper I submitted.”<br />
“The measurements we performed on his samples gave us new insights into ways we could use our<br />
unique measurement system.”<br />
“We setup a piece of equipment for integrating electronic and photonic components which is useful<br />
for my research also.”<br />
Goals for Pre-college Education in <strong>Year</strong> 6<br />
1. Seek external funding for outreach activities.<br />
Expect Academic Success in STEM (EASIS)<br />
Dr. Huff submitted a proposal for funding for a year-long program with a school district in the Navajo<br />
Nation. Should the program be funded, it will incorporate two existing pre-college education programs:<br />
OSAYS and ROKET, and include classroom presentations and demonstrations.<br />
Expect Academic Success in STEM (EASIS) is a year-long outreach program in partnership with Winslow<br />
Unified School District (WUSD), which is approximately 300 miles (6 hours) north of Tucson, Arizona.<br />
This program incorporates existing <strong>CIAN</strong> pre-college activities and teacher training programs, with the<br />
purpose of introducing and sustaining optics and photonics concepts to middle and high school<br />
underrepresented minorities, particularly Native Americans.<br />
The intended outcome of EASIS is to encourage underrepresented minority students, particularly Native<br />
Americans, to master optical sciences concepts, pursue higher education and engineering professions,<br />
and improve classroom STEM curriculum. The OSAYS summer camp offers 35 hours of optics<br />
demonstrations and presentations by Optical Sciences graduate students and faculty, and approximately<br />
10 hours of guided tours of optics and STEM labs, as well as a college preparation workshop given by<br />
<strong>CIAN</strong>’s partner, Native America Science and Engineering Program (NASEP) to 20 WUSD students.<br />
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Classroom visits to the middle and high school will impact approximately 100 WUSD students. At<br />
minimum, 1 WUSD Science teacher will be given a priority spot to attend <strong>CIAN</strong>’s Research Experience for<br />
Teachers program (ROKET) summer 2013.<br />
2. Increase Outreach Across <strong>CIAN</strong><br />
Positive strides have been made to ensure outreach occurs at all <strong>CIAN</strong> universities. Although pre-college<br />
activities should not be expected to be equal across sites due the differentiation of administrative support<br />
and number of <strong>CIAN</strong> students at each site, <strong>CIAN</strong> SLC and Dr. Huff continue to work together to ensure<br />
pre-college activities occur cross-<strong>CIAN</strong>. Actions that will increase pre-college activities at all <strong>CIAN</strong> sites<br />
during <strong>Year</strong> 6 include:<br />
<br />
<br />
Outreach backpacks from year 4 will be updated<br />
Non-<strong>CIAN</strong> Outreach personnel from each university that has minimal <strong>CIAN</strong> administrative support<br />
will be put in contact with each <strong>CIAN</strong> SLC representative at the respective university to facilitate<br />
outreach<br />
<strong>CIAN</strong>’s pre-college activities strategic plan will be shared with each SLC representative for<br />
increased buy-in<br />
Graduate Student Portfolio will be reviewed for outreach activities<br />
Participation in outreach will be a focus of an SLC <strong>Annual</strong> Retreat workshop in <strong>Year</strong> 6.<br />
Pre-College Super-course modules will continue to be encouraged to be used by each RET<br />
participant, and pre-college partner schools.<br />
Why Would a <strong>CIAN</strong> Student Participate in <strong>CIAN</strong>’s University and Pre-college Activities<br />
Students get the opportunity to develop and improve essential skills, such as:<br />
Interpersonal and teamwork<br />
Communication<br />
Leadership<br />
Intrinsic satisfaction<br />
Teaching and training<br />
Mentoring<br />
The goal for the upcoming reporting year is to continue to help students make the connection between<br />
<strong>CIAN</strong> Education activities and the development of the Engineer of 2020 attributes. This will be done by<br />
increasing communication with the students via email, reviewing the graduate student portfolio in terms of<br />
the Engineer of 2020 attributes, and creating a “Certificate of Completion” for each activity, including precollege<br />
activities.<br />
Overall <strong>CIAN</strong> Education Program Goals for <strong>Year</strong> 6<br />
1. Increase student-industry relations:<br />
- Social media connections between students and industry strengthened<br />
- Create student employment listserv to email students seeking employment job postings<br />
- Overhaul <strong>CIAN</strong> Resume Website<br />
- Develop on-line Graduate Student Portfolio domain on <strong>CIAN</strong> Resume website<br />
- Develop a <strong>CIAN</strong> Student JobSearchers page on our website to act as a virtual bulletin board of<br />
job/internship postings<br />
2. Super-course<br />
- Continue to map the Super-course modules to core curricula at UA and <strong>CIAN</strong> partner<br />
universities<br />
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- Market the distance learning Graduate Certificate in Photonics Communication Engineering<br />
- Continue to revise and launch pre-college modules<br />
- Finalize and launch remaining pre-college modules<br />
3. Professional Development and Collaboration<br />
- Continue to provide industry, student, and education web presentations.<br />
- Continue to offer appropriate professional development workshops that engender the<br />
Engineer of 2020 Attributes.<br />
- Continue to work with <strong>CIAN</strong> students to build their Graduate Student Portfolio<br />
- Offer certificates of completion for participants of professional development activities<br />
- Increase international student collaboration<br />
- Maintain/improve cross-<strong>CIAN</strong> collaboration<br />
- Maintain/improve graduate to undergraduate <strong>CIAN</strong> student ratio (
Site Visit Concern: Participation in educational activities across various <strong>CIAN</strong> institutions appears<br />
to be quite uneven.<br />
<br />
For <strong>Year</strong> 5, all 10 <strong>CIAN</strong> partner institutions participated in educational activities. Eight of ten <strong>CIAN</strong><br />
partner universities participated in pre-college educational activities. University of Southern<br />
California hosted an REU student, and <strong>CIAN</strong> awarded a USC undergraduate an Undergraduate<br />
Research Fellowship. A <strong>CIAN</strong> student from Cornell University presented his research across<br />
<strong>CIAN</strong> during the Student Web Presentations, and a Cornell undergraduate student was awarded<br />
an Undergraduate Research Fellowship. Students from all 10 <strong>CIAN</strong> universities participated in the<br />
SLC Student <strong>Annual</strong> Retreat. Some schools participated in more outreach than others, and this<br />
was likely due to the differentiation of <strong>CIAN</strong> staff and students across <strong>CIAN</strong> partner universities.<br />
Site Visit Concern: Have other universities developed or planning to develop additional courses<br />
for the <strong>CIAN</strong> students, and how is the Super-course related to overall curricula at various <strong>CIAN</strong><br />
institutions<br />
<br />
<br />
<br />
<br />
<br />
Courses taught by <strong>CIAN</strong> faculty with <strong>CIAN</strong>-related content have been offered to students at USC,<br />
UCSD, and Columbia, in addition to the University of Arizona.<br />
New in <strong>Year</strong> 5, students at NSU and Tuskegee enrolled in <strong>CIAN</strong>’s PCE courses.<br />
At least 33 <strong>CIAN</strong> faculty, two <strong>CIAN</strong> students, and a member of <strong>CIAN</strong>’s Strategic Advisory Board<br />
have contributed content to <strong>CIAN</strong> super-course modules.<br />
Last Spring, a Super-course lecture on Nonlinear Optics, presented by Professor Elsa Garmire of<br />
Dartmouth University (a member of <strong>CIAN</strong>’s Strategic Advisory Board) was viewed live by about<br />
45 <strong>CIAN</strong> students and industry partners.<br />
Currently, <strong>CIAN</strong> is mapping the core curricula of its partner universities to the Super-course<br />
modules to provide a roadmap for modules to be more easily used as supplemental resources,<br />
preview, and/or review for content in core curricula.<br />
Site Visit Concern: Rotating SLC Leadership to different institutions may lead to a lack of<br />
continuity and follow up.<br />
<br />
The positions for new officers in the SLC have been more clearly defined, and these positions are<br />
no longer rotated every six months; instead they are now held for a minimum of one year. A new<br />
Vice-Chair position has also been created, and this selection is made with the understanding that<br />
he or she will serve as chair the following year, ensuring that there is at least one experienced<br />
officer to lead the SLC. Also, faculty members are asked to nominate students who are wellsuited<br />
to the positions and who are not completing their final year in graduate school.<br />
Threat from <strong>Year</strong> 4 SWOT: Lack of communication between students and industry is a concern.<br />
<strong>CIAN</strong> SCL officers and representatives were charged with planning the annual IAB meeting. The<br />
planning took place in <strong>Year</strong> 5, and the event took place February 4, 2013 (<strong>Year</strong> 6).<br />
SLC officers interact with industry members to plan the Industry Web Presentations, and <strong>CIAN</strong><br />
students across <strong>CIAN</strong> universities view the presentations and interact with industry presenters.<br />
Resumes/CVs for internships and/or employment are now specifically requested from <strong>CIAN</strong><br />
students during the Spring and sent directly to our IAB members and faculty advisors to help<br />
place students in industry.<br />
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Table 3a: Educational Impact<br />
Total from<br />
Table 1:<br />
Quantifiable<br />
Outputs<br />
With Engineered<br />
Systems Focus<br />
Feb 01,<br />
2012-Jan<br />
31, 2013 Percent<br />
With Multidisciplinary<br />
Content<br />
Feb 01,<br />
2012-Jan<br />
31, 2013 Percent<br />
Team Taught by Faculty From<br />
More Than 1 Department<br />
Feb 01,<br />
2012-Jan<br />
31, 2013 Percent<br />
Undergraduate<br />
Level<br />
Feb 01,<br />
2012-Jan<br />
31, 2013 Percent<br />
Graduate Level<br />
Feb 01,<br />
2012-Jan<br />
31, 2013 Percent<br />
Used at More Than<br />
1 ERC Institution<br />
Feb 01,<br />
2012-Jan<br />
31, 2013 Percent<br />
New Courses<br />
Currently<br />
Offered [1] 5 4 80% 3 60% 2 40% 0 0% 4 80% 2 40% 19<br />
Cumulative<br />
Total for All<br />
<strong>Year</strong>s<br />
Currently<br />
Offered Ongoing<br />
Courses With<br />
ERC Content [2] 19 10 53% 3 16% 0 0% 6 32% 12 63% 2 11% N/A<br />
Workshops,<br />
Short Courses,<br />
and Webinars 11 5 45% 7 64% 1 9% 1 9% 2 18% 1 9% 30<br />
New textbooks<br />
based on ERC<br />
research 6 3 50% 3 50% N/A N/A 5 83% 5 83% 1 17% 9<br />
Table 3b: Ratio of Graduates to Undergraduates<br />
Center Grouping Undergraduates Graduate<br />
Students<br />
Ratio<br />
Grad/UG<br />
REU<br />
Students<br />
Total College<br />
Students<br />
Young<br />
Scholars<br />
Total Students<br />
(Graduate,<br />
Undergraduate,<br />
Young Scholar, and<br />
REU Students)<br />
Average All Active ERCs FY 2012 40 75 1.9 15 130 19 149<br />
Average Micro/Optoelectronics, Sensing, and<br />
Information Technology Sector FY 2012 27 66 2.4 23 116 14 130<br />
Average for Class of 2008 FY 2012 50 102 2.0 17 169 20 189<br />
Arizona-<strong>CIAN</strong> FY 2012 47 88 1.9 11 146 37 183<br />
Arizona-<strong>CIAN</strong> FY 2013 43 77 1.8 15 135 36 171<br />
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<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 184
INNOVATION ECOSYSTEM<br />
<strong>CIAN</strong> has established an Innovation Management Team (IMT) consisting of Nasser Peyghambarian<br />
(Director), Shaya Fainman (Deputy Director), Alan Kost (Administrative Director), Saied Agahi (ILO),<br />
Robert Norwood (Thrust Leader), John Wissinger (<strong>CIAN</strong> Testbed Manager), Lloyd LaComb, (Associate<br />
ILO) and Srinivas Sukumar (Strategic Initiatives Director). The IMT holds bi-weekly meeting to discuss<br />
recent activities and coordinate upcoming actions. The IMT has worked to coordinate efforts across a<br />
broad range of activities including: new membership acquisition, retention of existing <strong>CIAN</strong> IAB<br />
members, identification of collaborative efforts with industrial partners such as Blue Sky programs, and<br />
student training and innovation. A simplified schematic of the connection functions supported by the IMT<br />
is shown in Figure 4.1. The IMT team continually monitors the needs of industry and the ongoing<br />
research programs; providing connections where research developments have reached a point of<br />
technological readiness.<br />
In Y5, the IMT has focused<br />
on programs that can deliver<br />
opportunities for the<br />
commercialization of <strong>CIAN</strong><br />
technology. The initial Blue<br />
Sky program (described<br />
more fully later in the report)<br />
demonstrated<br />
that<br />
connecting the industry’s<br />
need for a high port-count<br />
optical switch with University<br />
research on updatable<br />
holographic gratings can<br />
deliver results not available<br />
to stand alone commercial<br />
research labs. This<br />
approach allows the <strong>CIAN</strong><br />
IMT to identify areas where<br />
industry interest and<br />
knowledge coincide with<br />
INDUSTRY<br />
Industry Needs<br />
IMT<br />
Research Programs<br />
<strong>CIAN</strong> Research<br />
Figure 4.1. Schematic showing relationship between <strong>CIAN</strong> Research and<br />
Industry and the function of the IMT in connecting research programs to<br />
industrial needs<br />
knowledge and capability embodied by <strong>CIAN</strong> to help focus our innovation strategy. The <strong>CIAN</strong> IMT will<br />
continue to foster and nurture strategies that enable the development of a dynamic and highly productive<br />
Innovation Ecosystem.<br />
ORGANIZATION<br />
The ILO team was reorganized during Y5 with Dan Carothers accepting a position with IAB member<br />
Texas Instruments and Dr. Saied Agahi and Dr. Lloyd LaComb joining the ILO team. Dr. Sukumar<br />
Srinivas continued in his role managing innovation activities during the transition. The current ILO team is<br />
composed of three members (Saied, Sukumar and Lloyd) supplemented by the support of Dr. John<br />
Wissinger and Dr. Robert Norwood, who continue to assist the team and provide continuity from their past<br />
ILO experiences, and Trin Riojas who provides logistical support to the team. The “extended” ILO team<br />
provides continuity from the original ERC proposal writing team through the most recent industry<br />
interactions. This structure enables the ILO team to retain the “tribal knowledge” gained over the past six<br />
years and allows new ideas and discussions to balance past experiences with ongoing strategy. The<br />
roles, responsibilities and experience of the ILO team are outline in Table 4.1<br />
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Table 4.1 ILO Team Member Roles and Responsibilities<br />
ILO Team Member Primary Responsibilities Industrial Experience<br />
Dr. Saied Agahi - Chief Industry<br />
and Innovation Officer, UA<br />
Dr. Sukumar Srinivas – Director<br />
of Strategic Initiatives, UCSD<br />
Dr. Lloyd LaComb, Jr. –<br />
Associate ILO for Industrial<br />
Recruitment<br />
ILO Contact for NSF<br />
Overall ILO Strategy<br />
Sustaining Strategy<br />
Innovation Ecosystem<br />
I-Corps Mentor<br />
Membership Recruitment and<br />
Retention<br />
<strong>CIAN</strong>-Industry Intellectual<br />
Property Point-of-Contact<br />
SalesForce.com Administration<br />
20+ years of telecommunications<br />
and media experience with<br />
companies such as Huawei and<br />
Motorola Mobility<br />
20+ years of research and<br />
technology management with<br />
Hewlett-Packard Research Labs<br />
and UCSD.<br />
20+ years of research,<br />
technology management, and<br />
startup experience with<br />
companies such as KLA-Tencor<br />
and Veeco Instruments.<br />
.<br />
ILO CONSULTANCY VISIT<br />
Peter Keeling (Innovation Director, CBiRC ERC) and Jack Whalen (Director of Business Development<br />
and Industry Partnerships, BMES ERC) visited the University of Arizona to meet with the ILO team to<br />
review processes and discuss best practices. The consultancy team met with the ERC management and<br />
ILO teams over the course of the three days and engaged in various discussions regarding ongoing <strong>CIAN</strong><br />
ILO activities and novel potential sustainability approaches. The consultancy team created a list of<br />
recommendations based upon their observations and the best practices implemented at other ERCs.<br />
Table 4.2 lists the recommendations highlighted by the consultancy team and the current status of <strong>CIAN</strong>’s<br />
plan to address the issues.<br />
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Table 4.2 ILO Consultancy Visit Recommendations and Actions<br />
Recommendation<br />
The ILO Consultant Team recommended that the<br />
<strong>CIAN</strong> Leadership Team make an effort to review<br />
the membership and confidentiality agreements of<br />
CBiRC, BMES, and the NSE ERC Sample<br />
Agreement with a view to deciding whether this is<br />
workable for their ERC. The Consultant Team<br />
additionally recommended that <strong>CIAN</strong> clearly<br />
articulate to NSF how their strategy fits with<br />
providing their desired open innovation ecosystem<br />
that <strong>CIAN</strong> and their industry partners see as<br />
appropriate for this industry as evidenced by the<br />
current industry members (20 entities) that had not<br />
viewed this as a problem.<br />
The ILO Consultant Team recommended that the<br />
<strong>CIAN</strong> Leadership Team carefully explore all details<br />
of this concept (<strong>CIAN</strong> Corp.) in terms of legal<br />
agreements, funding and operational details. The<br />
Consultant Team additionally emphasized how<br />
important it was to assure that there would be no<br />
negative impacts on the existing ERC industry<br />
membership program.<br />
The Consultant Team applauded this process<br />
(Using Salesforce.com for tracking renewals and<br />
new membership activities) as it clearly helps <strong>CIAN</strong><br />
maintain a healthy pipeline of prospective members<br />
and also helps to convey the effectiveness of their<br />
industry program to prospective recruits as well as<br />
the NSF site visit team. This might be seen as a<br />
Best Practice for the ERC Program.<br />
It was recommended that the industry program<br />
team assess what challenges would be involved<br />
with updating their existing MOU document to<br />
employ a more conventional membership<br />
agreement, as this may be a critical concern for the<br />
NSF site visit team for year 5. If it is confirmed that<br />
current industry partners may elect to not renew<br />
based on this new membership agreement draft,<br />
then a plan to mitigate any risks and concerns<br />
associated with using the existing MOU should be<br />
prepared and included in their annual report for<br />
year 5. The Consultant Team cannot prescribe a<br />
path forward as this is NSF’s role, but does provide<br />
opinions and impressions based on personal<br />
experience and communications with NSF ERC<br />
program managers and other ILOs.<br />
Actions<br />
<strong>CIAN</strong> management and ILO teams have completed<br />
the review of the CBiRC, BMS, and ERC sample<br />
membership and confidentially agreements and<br />
have created a draft <strong>CIAN</strong> ERC confidentially<br />
agreement based upon the best-practices<br />
membership and CDA agreements. The draft<br />
agreements are under review by the University of<br />
Arizona legal and technology transfer teams. The<br />
<strong>CIAN</strong> open innovation strategy of strong,<br />
established agreements between University<br />
partners and broad, flexible agreements with<br />
corporate members addresses the norms of an<br />
industry that is both research intensive and<br />
relatively conservative.<br />
The <strong>CIAN</strong> leadership team is continuing to review<br />
the legal, funding, and operational details of <strong>CIAN</strong><br />
Corp. as part of the on-going dialogue on the<br />
Center’s sustainability. The leadership team feels<br />
that the <strong>CIAN</strong> Corp discussions are in the<br />
preliminary phase, involve few <strong>CIAN</strong> members, and<br />
have not negatively impacted <strong>CIAN</strong> on-going<br />
activities.<br />
The <strong>CIAN</strong> ILO has continued to expand the use of<br />
SalesForce.com. The ILO team will explore<br />
additional social media extensions to<br />
SalesForce.com in Y5 and Y6. The team will<br />
monitor the success of the implementation and<br />
could present the results at a future ILO retreat or<br />
other gathering.<br />
<strong>CIAN</strong> management and ILO teams have reviewed<br />
the CBiRC, BMS, and ERC sample membership<br />
agreements and have created a draft <strong>CIAN</strong> ERC<br />
membership agreement based upon the provided<br />
agreements. The draft CDA is under review by the<br />
University of Arizona legal and technology transfer<br />
teams.<br />
The <strong>CIAN</strong> management team has discussed the<br />
need for new Membership and Confidentiality<br />
Agreements with several IAB members and is<br />
incorporating their feedback into the agreement<br />
rollout strategy. The <strong>CIAN</strong> and ILO management<br />
teams will monitor the IAB reaction and feedback to<br />
the new agreements and adjust the strategy as<br />
needed to mitigate potential membership loss.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 187
Recommendation<br />
The Consultant Team recommended that the <strong>CIAN</strong><br />
team prioritize a process to reconsider the CDA for<br />
<strong>CIAN</strong>. Identifying and making available one-way (or<br />
mutual) CDAs for each institution within <strong>CIAN</strong> was<br />
recommended.<br />
If <strong>CIAN</strong> decides that an open-innovation paradigm<br />
is indeed the best pathway to maintain the ERC’s<br />
mission, a high number of industry members, and<br />
high level of participation, then the Consultant team<br />
recommends providing in the <strong>CIAN</strong> annual report, a<br />
clear explanation of how this system works and<br />
why it works for the emerging optical network<br />
industry.<br />
The ILO Consultant Team pointed out that<br />
sustaining this higher level of membership will<br />
require an active process of communication<br />
designed to facilitate good member retention. The<br />
Team recommended that this be identified as an<br />
important ongoing task for the ILO.<br />
The ILO Consultant Team provided ERC guidelines<br />
(from CBiRC and BMES) for supporting Intellectual<br />
Property flow through the ERC and recommended<br />
that <strong>CIAN</strong> review this document with a view to<br />
devising their own guidelines.<br />
Actions<br />
The <strong>CIAN</strong> management and ILO teams<br />
immediately began work on a draft CDA agreement<br />
that could be used by all institutions. The draft<br />
version was completed and was discussed with<br />
NSF on February 19 th . The document is under<br />
review by the University of Arizona’s Legal and<br />
Technology Transfer Offices<br />
<strong>CIAN</strong> currently employs an open innovation<br />
strategy with strong, established agreements<br />
between University partners and broad, flexible<br />
agreements with corporate members. These<br />
arrangements are common in the optical<br />
telecommunication industry. The benefit of this<br />
structure in the optical networking industry allows<br />
open communication of ideas and standards but<br />
competition in the market place.<br />
ILO team has substantially improved<br />
communication over the past year by implementing<br />
a number of new initiatives:<br />
Initiated a periodic newsletter designed to<br />
highlight <strong>CIAN</strong> activities of interest to the IAB<br />
Monthly IAB teleconference calls lead by the<br />
IAB chair<br />
Pre-IAB meeting Dinner<br />
Pre-<strong>Annual</strong> Meeting Dinner (scheduled for<br />
May 2013)<br />
ILO communication activities are reviewed during<br />
the monthly IAB conference calls and during<br />
monthly <strong>CIAN</strong> management meetings to ensure<br />
frequent and appropriate communication between<br />
the ILO and IAB.<br />
The ILO team reviewed the CBiRC and BMS<br />
process flow charts for intellectual property. The<br />
<strong>CIAN</strong> ILO will implement a process based upon the<br />
CBiRC process for intellectual property<br />
management. The updated process is described<br />
later in the report.<br />
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Recommendation<br />
The ILO Consultant Team recommended that<br />
internal faculty webinars could also be provided to<br />
industry members.It was additionally noted that this<br />
might be problematic without a signed<br />
confidentiality agreement.<br />
The ILO Consultant Team recommended that this<br />
[webinars] could be explored with its industry<br />
members as a future opportunity and is a possible<br />
growth area for the ERC.<br />
Generally speaking, it was the Consultant Team’s<br />
opinion that the idea (<strong>CIAN</strong> Corp) has some<br />
exciting potential, but is still in its infancy and will<br />
require significant investment of time to develop a<br />
strong business case that is acceptable to NSF,<br />
Industry Members, the universities and other<br />
stakeholders. The Consultant Team recommended<br />
that the <strong>CIAN</strong> industry team focus efforts on the<br />
Industry Program responsibilities defined in the<br />
ERC best practices manual first, as well as other<br />
key issues cited in this report, before exploring this<br />
concept in great detail.<br />
Once the other critical concerns for <strong>CIAN</strong>-ERC<br />
have been addressed, the Consultant Team thinks<br />
it may be possible for the industry team to pick up<br />
exploration of the <strong>CIAN</strong> System Inc. concept.<br />
Further investigation into <strong>CIAN</strong> System Inc. should<br />
include financial and legal input from experts in<br />
these areas.<br />
The ILO Consultant Team pointed out that ideally<br />
this (the delay in communications between the<br />
partner OTT organizations and the <strong>CIAN</strong> ILO office)<br />
should be rectified with industry and the OTT’s as<br />
soon as possible. The ILO Consultant Team<br />
provided guidelines from CBiRC as well as BMES.<br />
The ILO Consultant Team re-emphasized the need<br />
to understand the NSF-ERC flow chart for<br />
Translational Research. It was additionally<br />
emphasized that the ILO plays a critical role in<br />
monitoring this process so that opportunities are<br />
captured as they emerge from the timeline.<br />
Actions<br />
The <strong>CIAN</strong> and ILO management team feel this<br />
could be an effective retention activity for <strong>CIAN</strong> IAB<br />
members. Several of the partner Universities have<br />
recording and broadcasting facilities that could be<br />
used for this purpose. <strong>CIAN</strong> Administrative<br />
Director, Alan Kost, currently teaches a yearlong<br />
course that is accessible to IAB members. This<br />
activity will be further discussed after the CDA<br />
agreement is clarified.<br />
Employees from three IAB companies have given<br />
webinars over the past year. The webinars are<br />
recorded and made available to all <strong>CIAN</strong><br />
participants. The <strong>CIAN</strong> and ILO management<br />
team feel this could aid in retention of <strong>CIAN</strong> IAB<br />
members. <strong>CIAN</strong> will investigate expanding the<br />
number of industry presentations.<br />
The <strong>CIAN</strong> and ILO Management teams are focused<br />
on implementing the ERC recommendations<br />
highlighted during the ILO consultancy visit. The<br />
exploratory activities on the <strong>CIAN</strong> Corp. are limited<br />
to a few members working on sustaining planning<br />
and are not negatively impacting the central work of<br />
the Center.<br />
The <strong>CIAN</strong> and ILO Management will review the<br />
<strong>CIAN</strong> System Inc. concept as part of the periodic<br />
sustainability review meetings. As the discussion<br />
progresses, input will be gathered from financial,<br />
legal, and business experts.<br />
The Management and ILO teams are reviewing<br />
how patent disclosures are communicated from the<br />
member universities and how each university<br />
determines how patents are designated as <strong>CIAN</strong>related<br />
patents. The ILO team is reaching out to<br />
the University PIs on a monthly basis to identify<br />
potential IP disclosures and timing and<br />
strengthening the relationship with our partner<br />
Universities OTT offices.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 189
Recommendation<br />
The <strong>CIAN</strong> executive committee may want to<br />
consider revisiting the IAB meeting agendas to<br />
include a working dinner meeting as the kick off to<br />
the meeting, preceding the full day of presentations<br />
and activities. Also, <strong>CIAN</strong> may want to consider<br />
hosting a pre-sight visit IAB meeting the night<br />
before the start of the annual meeting. This would<br />
afford them the opportunity to review latest<br />
developments with industry prior to meeting the<br />
NSF Site Visit Team.<br />
Actions<br />
In February, the <strong>CIAN</strong> team held a successful<br />
dinner the night before the IAB meeting. The<br />
dinner was attended by six industry members.<br />
The <strong>CIAN</strong> team has invited the IAB to a dinner the<br />
night before the annual meeting.<br />
VISION, GOALS AND STRATEGY<br />
Leveraging Industry Partnerships<br />
Besides cultivating the partnerships with individual companies, <strong>CIAN</strong> is working to foster collaborative<br />
research projects among <strong>CIAN</strong> PIs and selected industry partners and to enhance the industry-<strong>CIAN</strong><br />
interfaces to provide valuable information to <strong>CIAN</strong> researchers on industry and customer needs. These<br />
interactions are described in more detail in sections below.<br />
<strong>CIAN</strong> is using industry associations such as OIDA to bring together several hundred industry participants<br />
in public forums to discuss key metrics for <strong>CIAN</strong> related system areas (aggregation networks and future<br />
datacenters). In Y5 <strong>CIAN</strong> continued to work with the Optoelectronic Industry Development Association<br />
(OIDA) to expand our Y4 road mapping activities. <strong>CIAN</strong> and OIDA recently completed a very successful<br />
road mapping workshop - March 17th, 2013 in Anaheim, CA (co-located with the Optical Fiber<br />
Conference) on “Future Needs of Scale-Out Data Centers”. Dr. Nasser Peyghambarian (<strong>CIAN</strong> Director),<br />
Dr. George Porter (<strong>CIAN</strong> Researcher, UCSD), Dr. Madeline Glick (APIC, <strong>CIAN</strong> IAB Member) and Dr.<br />
Karen Liu (Ovum, <strong>CIAN</strong> SAB Member) made presentations and participated in the road mapping<br />
discussions. Over 120 participants from industry and academia attended the road mapping meeting.<br />
These workshops are part of a continuing <strong>CIAN</strong> effort to establish broad-based, quantitative, system-level<br />
metrics that guide strategic research planning for <strong>CIAN</strong>’s working groups. The workshop reports also<br />
provide industry with roadmaps to guide their own research and development. <strong>CIAN</strong> co-hosted a<br />
networking reception for the participants after the workshop. The <strong>CIAN</strong> ILO team held fruitful discussions<br />
with several domestic and international organization regarding <strong>CIAN</strong> membership.<br />
Technology Transfer Strategies<br />
<strong>CIAN</strong> continues to encourage all PIs and students to file invention disclosures and pursue patent filings.<br />
Based upon the feedback during the recent ILO consultancy visit, we have modified our technology<br />
transfer process to more aggressively monitor potential IP opportunities and improve coordination with<br />
the technology transfer offices at each of the partner universities. <strong>CIAN</strong> has also identified that placing<br />
students in IAB member’s facilities (internships) and IAB member’s employees co-locating at our partner<br />
universities has dramatically increased the opportunities for technology transfer.<br />
Internships<br />
A total of nine <strong>CIAN</strong> students participated in internships in industry during <strong>Year</strong> 5 (up from seven in Y4).<br />
Table 4.3 below shows the variety of internships available to <strong>CIAN</strong> students. Three of the students took<br />
internships with IAB members, while two students took internships with IAB candidates AT&T and<br />
Qualcomm. All students reported that they gained valuable insights into the commercial requirements for<br />
a successful product.<br />
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Table 4.3 Internships with Industry in Y5<br />
Student University Company<br />
Interns with IAB Companies<br />
Olesya Bondarenko UC – San Diego Oracle Labs<br />
Frank Rao UC – Berkley Bandwidth 10<br />
Mike Zhang University of Arizona NEC Laboratories America<br />
Interns with non-IAB Companies<br />
Ruinan Chang UC – San Diego ANSYS<br />
Byron Cocilovo University of Arizona Sharp Laboratories America<br />
Marco Escobari UC – San Diego Western Digital<br />
Adam Jones University of Arizona Sandia National Lab<br />
Shaojing Li UC – San Diego Qualcomm<br />
Robert Margolies Columbia AT&T Research Labs<br />
The goal for <strong>Year</strong> 6 will be to increase the number of interns to 12 with approximately one-half in IAB<br />
member companies. <strong>CIAN</strong> has completed initial discussions with Oracle, Bandwidth 10, and FNE<br />
regarding intern opportunities and will approach the remainder of the IAB members by the middle of April.<br />
In conjunction with the Education Director, the ILO team is soliciting resumes from students interested in<br />
internships. These resumes will be distributed to IAB members electronically to expedite matching of<br />
interns and openings.<br />
Co-location<br />
As part of several sponsored projects, IAB member employees have co-located their offices within the<br />
recipient university. In this process the IAB employees have been exposed to additional aspects of the<br />
<strong>CIAN</strong> activity and are able to communicate information about the progress <strong>CIAN</strong> is making to their home<br />
organization. For example, Canon has extensively engaged University of Arizona <strong>CIAN</strong> researchers for a<br />
number of years in associated projects and have maintained a continuous presence in the College of<br />
Optical Sciences.<br />
Collaboration<br />
<strong>CIAN</strong> has some of the top research Universities in Photonics and Opto-electronics in the US with PIs who<br />
have significant experience in cutting edge research and technology transfer to industry. <strong>CIAN</strong> is<br />
leveraging our expertise in optical materials and devices, opto-electronic sub-systems and networking<br />
and computer systems through close collaborations. Through the Workgroup structure, there is a focus<br />
on the key issues that are being faced by end-users and industry partners. New innovative technologies<br />
in optical networking and optical sub-systems in datacenters are emerging through collaboration with<br />
industrial partners who can guide the research agenda.<br />
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Testbeds<br />
One of the significant benefits of IAB membership is access to the two <strong>CIAN</strong> testbeds located in Tucson,<br />
AZ and San Diego, CA. <strong>CIAN</strong> testbeds provide industry members with a unique opportunity to test<br />
recently developed devices in a system environment without the need for complete packaging. The<br />
testbed infrastructure has evolved to provide component and system testing capabilities as shown in<br />
Figure 4.2. The testbeds are used to insert devices and components to simulate system level traffic and<br />
loading environments that represent current and future network configurations. The goal is to test the<br />
devices under “real world” performance conditions and identify bottlenecks and potential solutions.<br />
Technologies developed both within <strong>CIAN</strong> and by industrial partners can be tested within a testbed or<br />
within the site and nationally linked testbed infrastructures. The testbeds also provide opportunities for<br />
collaborative work between <strong>CIAN</strong> researchers and industry partners. The <strong>CIAN</strong> testbeds enable<br />
innovation with our industry partners by obtaining feedback on product performance within realistic<br />
network environments. The partner engineers, <strong>CIAN</strong> researchers and students are collaboratively<br />
involved in testing prototype devices and system concepts, beta testing and interoperability. This<br />
interaction provides to<br />
<strong>CIAN</strong> students hands-on<br />
experience with real<br />
operational systems,<br />
commercial state-of-theart<br />
equipment and<br />
proficiency with the<br />
member company’s own<br />
product capabilities.<br />
These interactions<br />
enable <strong>CIAN</strong> and the<br />
industry partner to gain<br />
visibility into new product<br />
needs and markets,<br />
obtain input into future<br />
product requirements,<br />
identify unrecognized<br />
requirements or<br />
constraints, identify gaps<br />
in current industry<br />
capability that present<br />
opportunities.<br />
Figure 4.2. TOAN Testbed equipment for integrating photonic devices (center) to a<br />
broad array of network testing equipment (left and right)<br />
Education<br />
At the <strong>Annual</strong> Retreat, the <strong>CIAN</strong> Education and ILO team created a separate breakout session targeted at<br />
encouraging innovation among the students. The training and material were focused on teaching<br />
students on how to think about innovation, the role and value of patents, the need to understand<br />
customer needs and market dynamics, targeting a particular technology towards a marketable product<br />
idea etc., the goal is to make students a critical part of the innovation ecosystem. These skills provide<br />
students with great skills after they graduate and make them valuable contributors to the institutions that<br />
they join.<br />
Development of Strategic Industry Interfaces<br />
In <strong>Year</strong> 5, the ILO office created a number of programs targeted at the enhancement of IAB member<br />
value and to improve our ability to extract critical roadmap information from IAB members to help shape<br />
the development of <strong>CIAN</strong> core research and the identification of critical evolving technologies.<br />
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Blue Sky Research Projects<br />
In year 5, <strong>CIAN</strong> has implemented its initial Blue-Sky research program, based upon the market needs and<br />
technologies identified by two of our IAB members. The program brought together the application and<br />
technical knowledge of three IAB members and is described in Figure 4.3. The commercial goals of the<br />
program were driven by the IAB members with the research performed at the University of Arizona.<br />
The ultimate commercial product would be a large port count (e.g. 1000 x 1000) switch operating at<br />
telecom wavelengths. The initial research program began by identifying possible solutions that could<br />
meet the market requirements and testing the feasibility of those solutions. Figure 4.4 (a) shows a<br />
simplified schematic of the proposed system. The holographic grating is composed of a binary pattern<br />
“written” to the Texas Instruments DLP display. A unique holographic pattern directs a given set of input<br />
ports to the desired set of output ports.<br />
Figure 4.3. Collaboration partners for the initial Blue Sky Project<br />
The technical program focused on demonstrating the feasibility of the concept with visible light using a<br />
single input beam. After a successful demonstration, an additional input wavelength was added to show<br />
the capability for switching multiple channels, Figure 4.4(b). In December, 2012, the team successfully<br />
applied for additional outside funding from Tech Launch Arizona’s Proof of Concept Program. The project<br />
was selected as one of 19 funded programs receiving $40,000 to develop a proof-of-concept prototype<br />
operating at telecommunication wavelengths. The proof of concept demonstration program is scheduled<br />
to run through May 14, 2013 and will demonstrate fiber coupling and operation at 1550 nm telecom<br />
wavelengths.<br />
In <strong>Year</strong> 5 and 6, our goal is to fund 2-3 small efforts to allow the evaluation of new technical concepts that<br />
may have future impact on critical areas of interest, or may allow for the future development of previously<br />
unexpected technology advancement in the area of optical networking and its implementation. To this<br />
end, <strong>CIAN</strong> has been working to solicit feedback from each of its IAB members on:<br />
1) Areas of technical interest to individual companies.<br />
2) Individual topics that industry members may champion that allow evaluation of new technical<br />
concepts.<br />
3) The level of interaction member companies would like to see occurring between industry and the<br />
university partners under this effort.<br />
This information will be used to guide the solicitation of proposals from <strong>CIAN</strong>’s academics members as<br />
additional rounds of blue-sky projects are implemented (Figure 4.5). Examples of these types of programs<br />
include initial research into advanced data modulation formats, as well as the application of existing<br />
modulation formats to a specific data communication format or environment.<br />
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Input Fiber Array<br />
… N ...<br />
Holographic Switch<br />
… N ...<br />
Output Fiber Array<br />
(a)<br />
(b)<br />
Figure 4.4. (a) Holographic Optical Switch Schematic, (b) Two wavelength image after switching.<br />
Communication system<br />
Integrators/Developers<br />
Directed Technical<br />
Exchange between<br />
<strong>CIAN</strong> Industry<br />
Members to solve<br />
near term problems<br />
Bandwidth 10<br />
Sub-system, Component<br />
and Device Suppliers<br />
Figure 4.5. Proposed form of the Sidebar interactions, focused on enhancing Industry member product<br />
development and competitiveness, while enhancing <strong>CIAN</strong>’s Mission.<br />
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Membership<br />
The participation of Industry Members is critical as they both drive the development of the technology as<br />
well as define and provide the path to commercialization for <strong>CIAN</strong> technologies. <strong>CIAN</strong> currently offers one<br />
class of membership to all IAB members for an annual fee of $25,000. The membership fee can be<br />
modified on a case-by-case basis by the Center Director. As part of their membership, Industrial Advisory<br />
Board members receive a range of benefits that include:<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
Preferential access to <strong>CIAN</strong>’s intellectual property<br />
Access to faculty expertise, short courses and lectures<br />
Access to prospective intern employees with expertise in their area of application<br />
Exclusive access to the <strong>CIAN</strong> web site, downloadable project descriptions, descriptive video<br />
overviews of <strong>CIAN</strong> technologies and student presentations<br />
Access to <strong>CIAN</strong>’s research facilities including the technology centric TOAN and data Datacenter<br />
testbeds<br />
Participation in targeted cross-industry information exchanges<br />
Input into <strong>CIAN</strong> programs<br />
Targeted and or specialized research programs<br />
<strong>CIAN</strong> focused connections between suppliers and customers in settings that foster networking<br />
and collaborative planning.<br />
<strong>CIAN</strong> has worked with its Industry Members to establish frequent interaction with <strong>CIAN</strong> students and<br />
postdocs that have included targeted onsite and video-conference talks and interactions. The February<br />
2013 IAB meeting featured 13 talks by students discussing recent advances in their research programs, a<br />
dedicated student-IAB member breakout session, and a “speed networking” event focused on one-on-one<br />
interaction between the industrial partners and students. Industry Members have access to student and<br />
postdoc CV booklets and “video resumes”. Industry Members also receive assistance from investigators<br />
and <strong>CIAN</strong> administrators in placing students and postdocs in internships and arranging for industrial<br />
mentorship of students and postdocs. In the past year, IAB members Okechukwu Akpa from Intel and<br />
Craig Healey from Fujitsu gave presentations to the students as part of the monthly industry-student<br />
video conferences.<br />
The <strong>CIAN</strong> industry members participate directly in the Center’s strategic planning process, the<br />
identification of critical evolving technologies, and provide input into the commercial potential of <strong>CIAN</strong><br />
projects. This input has a strong influence on the planning and development of core <strong>CIAN</strong> Research and<br />
<strong>CIAN</strong> projects. Industry members also actively participate in the identification, evaluation and realization<br />
of translational research programs to move <strong>CIAN</strong> technologies to industry. IAB members also participate<br />
in the identification and planning for educational programs, providing their perspective on the critical skills<br />
that graduating students need to have to succeed in industry.<br />
<strong>CIAN</strong> added one new member, APIC Corporation, in the Y5 reporting period. APIC was founded in 1999<br />
to advance the research, development, and production of highly integrated photonic and electronic<br />
technology. APIC has developed a set of photonic building blocks designed to answer the needs of a<br />
host of advanced military applications. The <strong>CIAN</strong> ILO and management team expect to lose two<br />
members during year five. Luxdyne is currently “hibernating” due to financial difficulties. <strong>CIAN</strong> remains in<br />
contact with the principals, and Luxdyne expects to rejoin <strong>CIAN</strong> once its prospects improve. Huawei’s<br />
membership was not renewed by the <strong>CIAN</strong> management team. Figure 4.6 highlights the <strong>CIAN</strong><br />
membership and their position in the optical communications value chain.<br />
<strong>CIAN</strong> has continued to leverage our academic and industrial connections to aggressively pursue targeted<br />
companies that could provide additional insight into the optical communications value chain, in particular<br />
the apparent migration of value to the emerging data center photonics market. Examples of this can be<br />
found in the recruitment of current IAB memberships of Texas Instruments and CISCO. In both cases<br />
company specific benefits of <strong>CIAN</strong> membership were highlighted though multiple presentations. APIC<br />
joined <strong>CIAN</strong> because key technical personnel at APIC had participated in <strong>CIAN</strong> another IAB member<br />
company, in addition to the strong technical interaction with Keren Bergman at Columbia University.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 195
Relative Size/Market<br />
The in-kind members provide equipment or other services needed by <strong>CIAN</strong>. For example, Newport<br />
provided $50K of equipment to equip <strong>CIAN</strong>’s new laboratory course on fiber optics technology which is a<br />
required course for the new MS degree in Optical Communication Engineering and has continued to<br />
provide materials critical to the <strong>CIAN</strong> mission. VPI has also provided over $60k in software licenses to<br />
their photonic device and system simulation suite critical to the continuing mission of <strong>CIAN</strong>. This software<br />
suite is also being used in <strong>CIAN</strong> coursework to help its students better understand numerical simulation of<br />
communications networks and better prepare them for future employment. Associated projects include<br />
efforts funded by Canon, Intel, and NEC, each funding a specific project with individual <strong>CIAN</strong> faculty.<br />
Test and<br />
Measurement<br />
Simulation<br />
Software<br />
Bandwidth10<br />
Materials Devices Components Subsystems<br />
Position in Value Chain<br />
System<br />
Integrators<br />
Figure 4.6. The makeup and value chain distribution of the Y5 participating <strong>CIAN</strong> members<br />
During the past year, the ILO team embarked on two new initiatives based upon SWOT feedback from<br />
IAB members and strategic direction provided by the IMT. The first initiative was focused on increasing<br />
the frequency of <strong>CIAN</strong>’s engagement with industrial partners through improved communication and<br />
publication of <strong>CIAN</strong> activities. Starting in June 2012 the ILO office has electronically published a<br />
newsletter to provide industrial members with updated information on <strong>CIAN</strong> activities (Figure 4.7). The<br />
newsletter topics typically cover recent research activities at one of the partner universities, updates from<br />
recent activities such as the annual meeting or retreat, and information on student activities such as the<br />
“perfect pitch” competition. Past issues of the newsletter are available on the website and are included in<br />
the recruitment package provided to prospective members.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 196
Figure 4.7. February 2013 Newsletter<br />
The second initiative centered on improving the<br />
process for engaging prospective members,<br />
tracking the level and frequency of contact with<br />
prospective members, and automating some<br />
routine membership renewal activities. The ILO<br />
team implemented SalesForce.com<br />
(www.salesforce.com), a cloud-based sales<br />
automation software application. The program<br />
provides multi-user access to a cloud-based<br />
database complete with mobile and desktop access.<br />
The program is targeted at managing sales leads<br />
and forecasts, but much of the functionality can be<br />
morphed to ERC membership acquisition and<br />
management. The application’s database contains<br />
a list of current and potential IAB members<br />
(Accounts), a list of personnel that have interacted<br />
with <strong>CIAN</strong> (Contacts),and numerous sales<br />
management tools to access and summarize<br />
progress on IAB membership renewals and new<br />
member acquisition. The application can also store<br />
copies of presentations and associated documents<br />
for access when the ILO team is travelling. The<br />
reporting tool is capable of generating a dashboard<br />
that can provide visual summaries of key<br />
performance indicators (KPIs) as shown in Figure<br />
4.8. The initial project for the SalesForce<br />
application was to monitor the status of current<br />
membership renewals and activities. After<br />
successfully implementing the renewal campaign, the ILO team implemented a second application<br />
focusing on status of new member recruitment. The initial feedback on both applications has been<br />
positive and the ILO team plans to expand its SalesForce use in the upcoming year by implementing<br />
social media extensions to the program. The social media extension will allow the contact’s information<br />
to be connected to their LinkedIn profile and will be updated if the contact changes their employer or other<br />
information.<br />
Roles of the Members of the Industry Advisory Board<br />
<strong>CIAN</strong> has secured 19 companies as members and is in discussions with 4 more regarding membership<br />
during Y5. <strong>CIAN</strong> is also accessing the rich industrial ecosystem that supports today’s communications<br />
network infrastructure – carriers, systems providers, component providers, and tool-set providers.<br />
The traditional end-user community has also expanded to include media/content and application/service<br />
providers (Google, Facebook, etc.) that are increasingly important drivers of requirements on the network<br />
infrastructure and topology. The ecosystem in a <strong>CIAN</strong> context is reflected not only in today’s group of<br />
players, but also in new entities that are emerging, or will emerge over the lifetime of the Center.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 197
Figure 4.8 <strong>Report</strong>ing Capabilities of SalesForece.com. This pie chart shows<br />
the status of membership renewal for the 2012-13 Financial year as of<br />
February 28, 2013. Renewal complete means the funding has been<br />
received; Renewal in Process indicates that the IAB member has committed<br />
to renew but the check has not been received; Membership Active indicates<br />
that the membership is not up for renewal as of this date;, and Membership<br />
Not Renewed indicates that those companies will not be IAB members for<br />
this period.<br />
technology to companies. The following activities have taken place:<br />
<strong>CIAN</strong>’s approach to building a<br />
strong team of industrial<br />
partners that spans the value<br />
chain is based on mapping<br />
prospects from various parts<br />
of the industrial ecosystem to<br />
organizational units within the<br />
<strong>CIAN</strong> research program. This<br />
has proven to be an effective<br />
way to create direct linkages<br />
between <strong>CIAN</strong>’s research<br />
activities and industrial<br />
interests, and supports the<br />
desire to obtain industrial<br />
input on project selection and<br />
direction, as well as the<br />
translational research<br />
strategy. During Y5, this<br />
approach proved successful<br />
in engaging APIC as a<br />
research partner and IAB<br />
member.<br />
<strong>CIAN</strong> fully utilizes the IAB<br />
members in strategic planning<br />
and problem solving in order<br />
to accelerate transfer of<br />
1. Monthly conference calls with IAB members to gather input for upcoming events. The agenda is<br />
developed prior to each meeting to address the most pressing issues. Agenda topics include<br />
recruitment of additional IAB members, progress in technology transfer to IAB member companies,<br />
progress towards adoption of <strong>CIAN</strong> technology development as well as strategies needed to achieve<br />
the <strong>CIAN</strong> Gen 3 ERC goals, and preparation of the SWOT analysis.<br />
2. Monthly newsletter to provide updated communication on <strong>CIAN</strong> activities<br />
3. Periodic meetings with industry members at the annual IAB meeting, the joint OIDA road mapping<br />
meeting, and at the <strong>Annual</strong> NSF site visit. In addition to the structured meetings, <strong>CIAN</strong>-IAB<br />
interactions are facilitated via web conferencing and in person at technical conferences such as OFC.<br />
4. Opportunities for recruiting <strong>CIAN</strong> students for internships, summer work and permanent employment<br />
5. General discussions among the IAB members on industry trends and standards, and ways to benefit<br />
from their common association with <strong>CIAN</strong>.<br />
<strong>CIAN</strong> recently held its <strong>Annual</strong> IAB Meeting in San Francisco on February 4, 2013 in conjunction with the<br />
SPIE Photonics West Conference. The new <strong>CIAN</strong> member companies were introduced at the meeting<br />
which was attended by more than 45 industry and university participants. The thrust leaders gave an<br />
overview of the major programs and 13 students gave presentations on their research followed by a<br />
round table discussion where industry members presented their vision of the future of the optical<br />
communications marketplace. The program concluded with an industry-student “speed networking”<br />
session which provided the students with an opportunity to interact with the industrial partners.<br />
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Table 4.4. 2013 IAB Meeting Participants<br />
Table of Participants in the <strong>CIAN</strong> 2013 IAB Conference<br />
Company Name<br />
Participant<br />
APIC<br />
Madeleine Glick<br />
Bandwidth10<br />
Rob Lucas<br />
Frank Rao<br />
Canon<br />
Mamoru Miyawaki<br />
FNE<br />
Marcus Nebeling<br />
Fujitsu<br />
Motoyoshi Sekiya<br />
NEC<br />
Eichi Kabaya<br />
Newport<br />
Craig Goldberg<br />
Oracle<br />
Kannan Raj<br />
Texas Instruments<br />
Peter Deane<br />
IAB Advisor<br />
Lou Lome<br />
TECHNOLOGY TRANSFER AND NEW BUSINESS DEVELOPMENT<br />
<strong>CIAN</strong> Startups<br />
Bandwidth10 was formed by a former <strong>CIAN</strong> graduate student, Chris Chase, <strong>CIAN</strong> UC Berkeley professor,<br />
Connie Chang-Hasnain, Phil Worland, and Yi (Frank) Rao to commercialize tunable VCSEL technology<br />
developed at Berkeley. Bandwidth10, is an industrial member of <strong>CIAN</strong> and Phil Worland is the CEO of<br />
the company. Chris Chase is in the process of completing his degree and will join Bandwidth10 full time.<br />
Two other startup companies have recently formed: Berkley Lights and T-Photonics. Berkeley Lights Inc.<br />
is an early stage start-up dedicated to research and development of products using revolutionary microdroplet<br />
and cell manipulation technologies to enable advancements within pharmaceutical and<br />
biotechnology industries. Berkeley Lights is co-founded by Professor Ming Wu from UC Berkley. T-<br />
Photonics is a company founded by University of Arizona Professor Mahmoud Fallahi and graduate<br />
student Chris Hessenius. The company is developing high-power tunable mid- to far-IR lasers using<br />
novel two-color VECSEL for military and medical applications. Dr. Srinivas Sukumar has worked with T-<br />
Photonics as an iCorps Mentor.<br />
<strong>CIAN</strong> is exploring several other ways of creatively transferring technology to industry. Some <strong>CIAN</strong><br />
technologies fit within certain product categories such as optical switches and the transfer path is<br />
obvious. Other <strong>CIAN</strong> innovations may not have such a direct path and may be disruptive technologies<br />
that can create a brand new product category. Traditional methods of engaging industry and business<br />
partners may not be effective in this case. Creating a mini business plan to go along with the technology<br />
description and its application makes the potential of the technology explicit to our partners, allowing us to<br />
engage them in discussions of market and business innovation needed to bring the technology to the<br />
service of customer needs. <strong>CIAN</strong> is also working with industry networking organizations such as<br />
CONNECT in San Diego (a strategic partner of UCSD) which could bring together new industry<br />
ecosystems necessary to incubate new startups and pave the way for their success.<br />
Policy for Handling <strong>CIAN</strong> Generated IP<br />
Figure 4.9 outlines the process for disclosure and licensing of <strong>CIAN</strong>-generated intellectual property. An<br />
intellectual property agreement has been executed by all partner Universities of <strong>CIAN</strong>. The <strong>CIAN</strong> IP<br />
framework is conventional with respect to ownership of the IP, which resides with the inventing institution<br />
or institutions (if joint IP). To be consistent with the vision of Gen-3 ERC’s, the use of <strong>CIAN</strong> generated IP<br />
is available at no cost to all Participating Institutions, and to Industry Members for the purpose of <strong>CIAN</strong><br />
research within the Participating Institution’s and Member’s own facilities and for the duration of the ERC.<br />
In summary, the policy is:<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 199
Royalty-free, non-exclusive license to use <strong>CIAN</strong> IP for internal research purposes<br />
First option to acquire a non-exclusive, royalty-bearing license for a period of one year from the date<br />
of disclosure of the <strong>CIAN</strong> IP, which will not be offered to a non-member during the first year.<br />
The process for determining ownership of IP generated at the center is:<br />
1. IP is disclosed.<br />
2. IP is offered to IAB members with a one year exclusivity period.<br />
3. If there is an interest, members may obtain a license for commercialization.<br />
4. Any interested IAB members may negotiate a non-exclusive license.<br />
Core<br />
Research<br />
Programs<br />
and<br />
Associated<br />
Projects<br />
ILO Team works with PIs, students<br />
and Licensing Offices to encourage<br />
disclosures and monitor disclosure<br />
status<br />
Invention<br />
Disclosure<br />
submitted<br />
to ERC<br />
schools<br />
Fund<br />
ed<br />
Funded<br />
by<br />
by ERC<br />
ERC<br />
core<br />
core<br />
support<br />
supp<br />
ort<br />
University<br />
Licensing<br />
Office<br />
notifies ILO<br />
Team<br />
University<br />
Licensing<br />
Office<br />
notifies ILO<br />
Team<br />
ILO Team<br />
notifies IAB<br />
Members.<br />
Exclusivity<br />
period<br />
begins<br />
Any Other<br />
Entity with<br />
IP rights<br />
through<br />
associated<br />
project<br />
funding<br />
offered first<br />
option<br />
Interest<br />
University<br />
negotiates<br />
with<br />
member<br />
companies<br />
for royalty<br />
bearing<br />
license<br />
No Interest or Exclusivity ends<br />
No Interest or Rights<br />
Interest<br />
Follow<br />
Other Entity<br />
IP<br />
agreement<br />
Successful<br />
Negotiation<br />
Failed<br />
Negotiation<br />
Pool of<br />
venture<br />
technology<br />
available to<br />
other nonmember<br />
companies for<br />
Translational<br />
Research<br />
Failed<br />
Negotiation<br />
Successful<br />
Negotiation<br />
Successful<br />
Commercialization<br />
$$$<br />
Eligible for<br />
NSF<br />
Translational<br />
Research Fund<br />
Successful<br />
Commercialization<br />
$$$<br />
Figure 4.9. IP handling strategy, from the NSF, that <strong>CIAN</strong> has been employing to guide how it deals with IP<br />
generated through the center<br />
<strong>CIAN</strong> Patents Issued over Life of the Center<br />
Patent<br />
Number<br />
TBD<br />
Patent Title Brief Description of Technology Date Awarded<br />
External lens with flexible<br />
membranes for automatic correction<br />
of the refractive errors of a person<br />
8,306,047 Packet switch with (SLA) Separate<br />
Look Ahead, computation and shift<br />
phases<br />
8,102,885 All-fiber mode selection technique for<br />
multicore fiber laser devices<br />
Phoropter System Feb, 2013<br />
A packet switch architecture that<br />
can switch optical packets at high<br />
throughput without using any<br />
random access memory<br />
An optical device that includes a<br />
gain section having a plurality of<br />
core regions including dopant<br />
species configured to absorb<br />
incident radiation<br />
Nov. 6. 2012<br />
Dec. 13, 2011<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 200
Patent<br />
Number<br />
8,077,747 Phosphate glass based optical<br />
device and method<br />
Patent Title Brief Description of Technology Date Awarded<br />
An optical device includes an Jan. 24, 2012<br />
optical fiber having a core including<br />
multicomponent phosphate<br />
glasses, and a cladding<br />
surrounding the core, and a first<br />
fiber Bragg<br />
7,973,989 System and method using a voltage<br />
kick-off to record a hologram on a<br />
photorefractive polymer for 3D<br />
holographic display and other<br />
applications<br />
Method for optimizing the writing of<br />
holographic images<br />
Jul. 05, 2011<br />
7,912,327 Hybrid strip-loaded electro-optic<br />
polymer/sol-get modulator<br />
7,693,355 Hybrid electro-optic olymer/Sol-Gel<br />
Modulator<br />
7,612,355 Optoelectronic tweezers for<br />
microparticle and cell manipulation<br />
A hybrid strip-loaded EO<br />
Mar 22,2011<br />
polymer/sol-gel modulator in which<br />
the sol-gel core waveguide does<br />
not lie below the active EO polymer<br />
waveguide increases the electric<br />
field/optical field overlap<br />
A hybrid EO polymer/sol-gel<br />
modulator in which the sol-gel core<br />
waveguide does not lie below the<br />
active EO polymer waveguide<br />
An optical image-driven light<br />
induced dielectrophoresis (DEP)<br />
apparatus and method are<br />
described which provide for the<br />
manipulation of particles or cells<br />
with a diameter on the order of 100<br />
µm or less.<br />
Apr. 6, 2010<br />
Nov. 3, 2009<br />
<strong>CIAN</strong> Patents Application Filed over Life of the Center<br />
Application<br />
Number<br />
Title<br />
Filing Date<br />
61/206,886 Fiber design for high power narrow linewidth Raman amplification 02/05/2009<br />
System and method using a voltage kick-off to record a hologram on a<br />
photorefractive polymer for 3D holographic display and other applications<br />
02/19/2009<br />
61/209,903 Magnetic room temperature ionic liquids as MO materials 3/12/2009<br />
61/211,645 Magnetite-core polymer-shell nanocomposites with tunable magneto-optical<br />
and optical properties<br />
61/216,197 Self assembled magnetic nanoparticle polymer composites with enhanced<br />
magneto-optic properties<br />
04/01/2009<br />
05/14/2009<br />
61/216,213 Multiple window mirrors 05/14/2009<br />
61/216,217 Pneumatically adjustable phoropter 05/14/2009<br />
All-fiber mode selection technique for multicore fiber laser devices 06/18/2009<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 201
Application<br />
Number<br />
Title<br />
Filing Date<br />
61/269,656 Nanoarchitectured Precursor for Graphite Electrode Preparation 06/26/2009<br />
61/273,853 Metal electrodes and active polymer layers for solar cells 08/10/2009<br />
Microstructured optical fibers and manufacturing methods thereof 08/13/2009<br />
12/569,588 Hybrid strip-loaded electro-optic polymer/Sol-Gel Modulator 09/29/2009<br />
Autostereoscopic 3D telepresence using integral holography 03/18/2010<br />
System and method for synchronizing a spatial light modulator with a pulsed<br />
laser to record a hologram at the repetition rate of the pulsed laser<br />
03/03/2010<br />
61/401,309 Metal electrodes and active polymer layers for solar cells 05/01/2010<br />
PCT/US10/4<br />
0237<br />
Nano-architectured carbon structures and methods for fabricating same 05/01/2010<br />
61/395,437 Multiple window mirrors 05/01/2010<br />
61/456,724 Fabrication of hybrid glass-polymer electro-optic Modulators 05/01/2010<br />
61/398,101 - See-through adaptive phoropter 05/01/2010<br />
398,102<br />
61/398,619 Non-mechanical auto focus and optical zoom 05/01/2010<br />
61/399,515 Non-mechanical auto focus and optical zoom 05/01/2010<br />
12/779,248 High contrast grating integrated VCSEL using ion implantation 5/13/2010<br />
UA 11-132 Electronic compliant optical packaging and method of manufacture 06/14/2011<br />
Cross-layer Box 08/15/2011<br />
11190002.3-<br />
2205<br />
Laser Illumination system and methods for dual-excitation wavelength nonlinear<br />
optical microscopy and micro-spectroscopy systems<br />
Systems and methods for improving the performance of a photorefractive<br />
device<br />
01/01/2012<br />
01/01/2012<br />
Scalable photonic WDM multiplexers/demultiplexers 01/02/2012<br />
61/588,914 Short cavity surface emitting laser with double high contrast gratings with and<br />
without airgap<br />
High efficiency vertical optical coupler using sub-wavelength high contrast<br />
grating<br />
2/20/2012<br />
4/27/2012<br />
61/796,053 Reconfigurable optical switch based on digital micro-mirror device 11/1/2012<br />
Laser illumination systems and methods for dual-excitation wavelength nonlinear<br />
optical microscopy and micro-spectroscopy system<br />
11/19/2012<br />
High power mid infrared supercontinuum fiber laser at 2-5 m 11/9/2012<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 202
Technology Transfer Evaluation<br />
<strong>CIAN</strong> technology, based on its intended application to optical networking and datacenters, can be<br />
classified from the point of view of its development relative to the final system level application. Given the<br />
diversity in technologies and applications, <strong>CIAN</strong>’s technologies span several technology readiness level<br />
(TRL) definitions depending on the application, the specific structure and device design.<br />
At the higher TRL level are <strong>CIAN</strong>’s devices and systems representing a fully developed component<br />
technology, employed in real world applications. At the lower TRL levels are those elements of <strong>CIAN</strong><br />
technology that are undergoing initial development or for which theory has been developed and concept<br />
is being proven. Figure 4.10 shows the TRL level of each of the major <strong>CIAN</strong> programs. Table 4.5<br />
presents the TRL in tabular form and shows the change in the level of technology readiness from Y4 to<br />
Y5. Table 4.6 lists the NSF ERC description of each of the TRL levels with a brief description of how<br />
those definitions are applied to <strong>CIAN</strong> specific benchmarks.<br />
The application of technology readiness levels, in regard to our <strong>CIAN</strong> technology allows us to address<br />
three key elements related to our technologies:<br />
<br />
<br />
<br />
Communication of predicted level of technical performance<br />
Definition of technical path required to commercially viable technology.<br />
Communication of risks and opportunities involved in the realization of the technology.<br />
Technology Impact<br />
Incremental Breakthrough<br />
TR-1<br />
TR-2<br />
Idea Stage<br />
TR-3<br />
TR-4<br />
TR-5<br />
TR-6<br />
TR-7<br />
C1-6<br />
C1-2<br />
C1-3<br />
C1-4<br />
C1-5<br />
C3-1<br />
C1-7<br />
C2-1<br />
C3-2<br />
C1-1<br />
C2-3<br />
C2-4<br />
C2-2<br />
Technology Maturation Level<br />
TR-8<br />
TR-9<br />
Transfer to<br />
Industry<br />
Figure 4.10. Technology Readiness of Core <strong>CIAN</strong> Projects<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 203
Table 4.5 Guide to <strong>CIAN</strong> Technology Transfer Chart<br />
Project Description Y5 TRL TRL<br />
C1-1 MORDIA (Microsecond Optical Research Datacenter Interconnect<br />
Architecture)<br />
C1-2 Programmable Access Network Interface via Cross-Layer Communications<br />
(<strong>CIAN</strong> BOX)<br />
C1-3 Cross Layer Interactions between Wireless, IP, and Optical Aggregation<br />
Networks<br />
6 +1<br />
5 +2.5<br />
4 +1<br />
C1-4 Energy Efficiency in Optical Communication Networks 4 +0.5<br />
C1-5 Real-time Optical Performance Monitoring and Broadband Data<br />
Generation and Aggregation for Integrated Optical Access Networks<br />
5 +2<br />
C1-6 Intelligent Aggregation Network Control and Management System 5.5 +1.5<br />
C1-7 Advanced Optical Networks Adaptive Coded-Modulation 3 0<br />
C2-1 Silicon Photonics – Heterogeneous Integration 4 0<br />
C2-2 Silicon Photonics – Monolithic Integration 4 +1<br />
C2-3 Silicon Photonics – Manufacturing 4 +1.5<br />
C2-4 Optical Spice Simulation and Validation 3 +1.5<br />
C3-1 Efficient, Tunable, and Broad-Band Optical Sources 5 0<br />
C3-2 Low Cost EO Polymer Modulators and Switches 4.5 +0.5<br />
Table 4.6 NSF ERC standard TRL level definitions and <strong>CIAN</strong> specific benchmarks for various levels<br />
The basic TRL definitions used in the reference of <strong>CIAN</strong> technology (based on ERC discussions to standardize TRL<br />
definitions – additional text added to provide guidance for <strong>CIAN</strong> researchers in assessing technology readiness).<br />
TRL Definition<br />
1 Basic principles observed and reported<br />
2 Technology concept and/or application formulated. Concept application or device defined<br />
and its predicted operation described, as well as the proposed level of integration into <strong>CIAN</strong><br />
targeted applications<br />
3 Proof-of-concept through analysis, simulation or experimentation. Analytical and or<br />
experimental analysis demonstrate proof of critical functions, and/or characteristic proof of<br />
concept.<br />
4 Component or methodology developed and tested in the laboratory. Validation of<br />
component operation in laboratory environment, or demonstration of technologies required to<br />
enable realization of technology<br />
5 Component or methodology verification on real parts or with a real case study.<br />
Validation and demonstration of <strong>CIAN</strong> technology operation and performance<br />
6 Methodology or prototype demonstrated in a relevant environment. Functional<br />
demonstration of <strong>CIAN</strong> technology as a stand-alone element or subsystem prototype<br />
demonstration. At this level component testing may still require external components to<br />
realize some measure of functionality.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 204
Total # of<br />
Associated<br />
Projects<br />
Total # of<br />
Sponsored<br />
Projects<br />
New Member<br />
(Yes/No)<br />
Size<br />
(Industry Only)<br />
Domestic / Foreign<br />
Type of<br />
Involvement<br />
Type of<br />
Financial<br />
Support<br />
Product Focus<br />
(Industry only)<br />
Sector<br />
Organization<br />
Domestic<br />
7 System prototype or methodology demonstrated in a plant or field trial. Demonstration<br />
of a whole system prototype in an operational environment (<strong>CIAN</strong> Test bed). At this level the<br />
overall operation of the element, components and systems should be self-contained, and<br />
require no external interface for intended level of operation. Limited or no documentation<br />
8 Industry, investor, or government commitment of funding for development of<br />
production system or robust methodology. Actual system level integration of <strong>CIAN</strong><br />
technology into existing commercial systems completed and operationally qualified through<br />
test and demonstration, critical proof of reliability and process uniformity<br />
9 Turn-key system completed and validated through testing. Commercial deployment or<br />
implementation into a critical public works engineering system. Components ready for<br />
full rate application across all platforms and systems, or in the case of <strong>CIAN</strong> technologies,<br />
they have been transitioned to a customer and are employed in a product application<br />
Table 4: Industrial/Practitioner Members, Innovation Partners, Funders of Sponsored Projects, Funders of<br />
Associated Projects and Contributing Organizations<br />
Summary:<br />
19 - Industrial/Practitioner Members<br />
4 - Innovation Partners<br />
0 - Funder of Sponsored Projects<br />
10 - Funders of Associated Projects<br />
2 - Contributing Organizations<br />
Section 1: 19 Industrial/Practitioner Members<br />
Industrial/Practitioner Members That Have Already Provided Current Award <strong>Year</strong> Support.<br />
Agilent<br />
Technologi<br />
es, Inc.<br />
Industry Test instrumentation<br />
In-Kind<br />
Donations<br />
Member of<br />
Center's<br />
Industrial<br />
Advisory Board<br />
Large<br />
(>1000<br />
employe<br />
es)<br />
No 0 0<br />
Participates in<br />
science/engine<br />
ering research<br />
projects<br />
Involvement in<br />
Technology<br />
Transfer<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 205
Domestic<br />
Foreign<br />
Domestic<br />
Foreign<br />
Domestic<br />
APIC Inc Industry Optical<br />
technologies<br />
Canon Industry Optical<br />
technologies<br />
Unrestricted<br />
Cash<br />
Donations<br />
Associated<br />
Project<br />
Support<br />
Unrestricted<br />
Cash<br />
Donations<br />
Associated<br />
Project<br />
Support<br />
Member of<br />
Center's<br />
Industrial<br />
Advisory Board<br />
Participates in<br />
science/engine<br />
ering research<br />
projects<br />
Involvement in<br />
Technology<br />
Transfer<br />
Small<br />
(1000<br />
employe<br />
es)<br />
Yes 0 1<br />
No 0 1<br />
Cisco Industry Telecommunications<br />
solutions<br />
Unrestricted<br />
Cash<br />
Donations<br />
Associated<br />
Project<br />
Support<br />
Member of<br />
Center's<br />
Industrial<br />
Advisory Board<br />
Participates in<br />
science/engine<br />
ering research<br />
projects<br />
Large<br />
(>1000<br />
employe<br />
es)<br />
No 0 2<br />
Involvement in<br />
Technology<br />
Transfer<br />
Huawei Industry Telecommunications<br />
solutions<br />
Member of<br />
Center's<br />
Industrial<br />
Advisory Board<br />
Large<br />
(>1000<br />
employe<br />
es)<br />
No 0 0<br />
Intel Industry Microelectronics<br />
Unrestricted<br />
Cash<br />
Donations<br />
Associated<br />
Project<br />
Support<br />
Participates in<br />
science/engine<br />
ering research<br />
projects<br />
Large<br />
(>1000<br />
employe<br />
es)<br />
No 0 2<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 206
Foreign<br />
Domestic<br />
Domestic<br />
Domestic<br />
NEC Industry Electronics Unrestricted<br />
Cash<br />
Donations<br />
Associated<br />
Project<br />
Support<br />
Member of<br />
Center's<br />
Industrial<br />
Advisory Board<br />
Participates in<br />
science/engine<br />
ering research<br />
projects<br />
Large<br />
(>1000<br />
employe<br />
es)<br />
No 0 1<br />
Involvement in<br />
Technology<br />
Transfer<br />
Oracle Sun Industry Datacenters,<br />
computing,<br />
databases<br />
Texas<br />
Instruments<br />
Industry<br />
Microelectronics<br />
Unrestricted<br />
Cash<br />
Donations<br />
Associated<br />
Project<br />
Support<br />
In-Kind<br />
Donations<br />
Unrestricted<br />
Cash<br />
Donations<br />
Member of<br />
Center's<br />
Industrial<br />
Advisory Board<br />
Involvement in<br />
Technology<br />
Transfer<br />
Member of<br />
Center's<br />
Industrial<br />
Advisory Board<br />
Large<br />
(>1000<br />
employe<br />
es)<br />
Large<br />
(>1000<br />
employe<br />
es)<br />
No 0 1<br />
No 0 0<br />
Participates in<br />
science/engine<br />
ering research<br />
projects<br />
Participation in<br />
education/outr<br />
each activities<br />
Involvement in<br />
Technology<br />
Transfer<br />
VPI<br />
Photonics<br />
Industry<br />
Simulation<br />
Software for<br />
photonics and<br />
communication<br />
networks<br />
In-Kind<br />
Donations<br />
Member of<br />
Center's<br />
Industrial<br />
Advisory Board<br />
Participation in<br />
education/outr<br />
each activities<br />
Medium<br />
(500-<br />
1000<br />
employe<br />
es)<br />
No 0 0<br />
Involvement in<br />
Technology<br />
Transfer<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 207
Foreign<br />
Domestic<br />
Domestic<br />
Industrial/Practitioner Members That Will Provide Support by the End of the Current Award <strong>Year</strong>.<br />
Alcatel<br />
Lucent<br />
Industry Optical<br />
technologies<br />
No 0 0<br />
Unrestricted<br />
Cash<br />
Donations<br />
Member of<br />
Center's<br />
Industrial<br />
Advisory Board<br />
Large<br />
(>1000<br />
employe<br />
es)<br />
Bandwid<br />
th10 Inc<br />
Industry<br />
Telecommunications<br />
solutions<br />
Unrestricted<br />
Cash<br />
Donations<br />
Member of<br />
Center's<br />
Industrial<br />
Advisory Board<br />
Small<br />
(
Foreign<br />
Domestic<br />
Domestic<br />
Domestic<br />
Fujitsu<br />
Networki<br />
ng<br />
Commun<br />
ications<br />
Industry<br />
Optical<br />
technologies<br />
Unrestricted<br />
Cash<br />
Donations<br />
Member of<br />
Center's<br />
Industrial<br />
Advisory Board<br />
Participates in<br />
science/engine<br />
ering research<br />
projects<br />
Large<br />
(>1000<br />
employe<br />
es)<br />
No 0 0<br />
Involvement in<br />
Technology<br />
Transfer<br />
GigOptix Industry Optical<br />
technologies<br />
Unrestricted<br />
Cash<br />
Donations<br />
Member of<br />
Center's<br />
Industrial<br />
Advisory Board<br />
Involvement in<br />
Technology<br />
Transfer<br />
Medium<br />
(500-<br />
1000<br />
employe<br />
es)<br />
No 0 0<br />
Newport Industry Optical<br />
technologies<br />
In-Kind<br />
Donations<br />
Member of<br />
Center's<br />
Industrial<br />
Advisory Board<br />
Participation in<br />
education/outr<br />
each activities<br />
Medium<br />
(500-<br />
1000<br />
employe<br />
es)<br />
No 0 0<br />
Nistica,<br />
Inc.<br />
Industry<br />
Telecommuni<br />
cations<br />
solutions<br />
Unrestricted<br />
Cash<br />
Donations<br />
Member of<br />
Center's<br />
Industrial<br />
Advisory Board<br />
Small<br />
(
Foreign<br />
Foreign<br />
Nitto<br />
Denko<br />
Technica<br />
l Corp<br />
Industry<br />
Develops<br />
novel photorefractive<br />
materials,<br />
Electro optic<br />
polymers, and<br />
organic solar<br />
films<br />
Unrestricted<br />
Cash<br />
Donations<br />
Member of<br />
Center's<br />
Industrial<br />
Advisory Board<br />
Participates in<br />
science/engine<br />
ering research<br />
projects<br />
Large<br />
(>1000<br />
employe<br />
es)<br />
No 0 0<br />
Participation in<br />
innovation/entr<br />
epreneurship<br />
activities<br />
Involvement in<br />
Technology<br />
Transfer<br />
Yokaga<br />
wa<br />
Corpora<br />
tion of<br />
America<br />
Industry<br />
Manufacturer<br />
and supplier<br />
of test and<br />
measurement<br />
equipment<br />
In-Kind<br />
Donations<br />
Member of<br />
Center's<br />
Industrial<br />
Advisory Board<br />
Participates in<br />
science/engine<br />
ering research<br />
projects<br />
Large<br />
(>1000<br />
employe<br />
es)<br />
No 0 0<br />
Involvement in<br />
Technology<br />
Transfer<br />
Section 2: 4 Innovation Partners<br />
Organization<br />
Arizona Center<br />
for Innovation<br />
Columbia<br />
Business School<br />
UA Eller College<br />
of Management<br />
UCSD von Liebig<br />
Center for<br />
Entrepreneurism<br />
Sector<br />
State<br />
government<br />
Other<br />
Sector<br />
State<br />
government<br />
State<br />
government<br />
Product<br />
Focus<br />
(Industry<br />
only)<br />
N/A<br />
N/A<br />
N/A<br />
N/A<br />
Type of<br />
Involvement<br />
Participation in<br />
innovation/entr<br />
epreneurship<br />
activities<br />
Participation in<br />
innovation/entr<br />
epreneurship<br />
activities<br />
Participation in<br />
innovation/entr<br />
epreneurship<br />
activities<br />
Participation in<br />
innovation/entr<br />
epreneurship<br />
activities<br />
New<br />
Domestic /<br />
Foreign<br />
Size<br />
(Industry<br />
Only)<br />
Partner<br />
(Yes/No<br />
)<br />
Domestic N/A No<br />
Domestic N/A Yes<br />
Domestic N/A No<br />
Domestic N/A No<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 210
Domestic /<br />
Foreign<br />
Foreign<br />
Domestic<br />
Domestic<br />
Domestic<br />
Foreign<br />
Section 3: 0 Funder of Sponsored Projects<br />
Product<br />
Focus<br />
(Industry<br />
only)<br />
Type of<br />
Financial<br />
Support<br />
Dom<br />
estic<br />
/<br />
Forei<br />
gn<br />
Size<br />
(Indu<br />
stry<br />
Only)<br />
New<br />
Part<br />
ner<br />
(Yes<br />
/No)<br />
Type of<br />
Organization Sector<br />
Involvement<br />
There are no organizations of the organization type Funder of Sponsored Projects for which support has been<br />
received.<br />
Total<br />
# of<br />
Spon<br />
sored<br />
Proje<br />
cts<br />
Section 4: 10 Funders of Associated Projects<br />
Organization<br />
Sector<br />
Product<br />
Focus<br />
(Industry<br />
only)<br />
Type of<br />
Financial<br />
Support<br />
Type of<br />
Involvement<br />
Size<br />
(Indu<br />
stry<br />
Only)<br />
New<br />
Part<br />
ner<br />
(Yes<br />
/No)<br />
Funders of Associated Projects That Have Already Provided Current Award <strong>Year</strong> Support.<br />
Academy of<br />
Finland<br />
Foreign<br />
government<br />
N/A<br />
N/A No 1<br />
Associated<br />
Project<br />
Support<br />
Participates in<br />
science/engine<br />
ering research<br />
projects<br />
Total<br />
# of<br />
Asso<br />
ciated<br />
Proje<br />
cts<br />
Participation in<br />
education/outr<br />
each activities<br />
Advanced<br />
Storage<br />
Technology<br />
Consortium<br />
Industrial<br />
Association<br />
N/A<br />
Associated<br />
Project<br />
Support<br />
Participates in<br />
science/engine<br />
ering research<br />
projects<br />
N/A Yes 1<br />
Google Inc Industry Seach ,<br />
data<br />
centers<br />
Associated<br />
Project<br />
Support<br />
Participates in<br />
science/engine<br />
ering research<br />
projects<br />
Involvement in<br />
Technology<br />
Transfer<br />
Large<br />
(>100<br />
0<br />
emplo<br />
yees)<br />
No 2<br />
Innovega Inc Industry Optical<br />
technologi<br />
es<br />
Associated<br />
Project<br />
Support<br />
Participates in<br />
science/engine<br />
ering research<br />
projects<br />
Small<br />
(
Foreign<br />
Domestic<br />
Domestic<br />
Domestic<br />
Domestic<br />
Domestic<br />
/ Foreign<br />
Domestic<br />
Domestic<br />
Korea<br />
Advanced<br />
Institute of<br />
Science and<br />
Technology<br />
Foreign<br />
government<br />
N/A<br />
Associated<br />
Project<br />
Support<br />
Participates in<br />
science/engine<br />
ering research<br />
projects<br />
Participation in<br />
education/outr<br />
each activities<br />
N/A No 1<br />
Lightwave<br />
Logic<br />
Industry<br />
Optical<br />
technologi<br />
es<br />
Associated<br />
Project<br />
Support<br />
Participates in<br />
science/engine<br />
ering research<br />
projects<br />
Small<br />
(100<br />
0<br />
emplo<br />
yees)<br />
Yes 1<br />
Section 5: 2 Contributing Organizations<br />
Organizatio<br />
n<br />
Sector<br />
Product<br />
Focus<br />
(Industry<br />
only)<br />
Type of<br />
Financial<br />
Support<br />
Type of<br />
Involvement<br />
Size<br />
(Indu<br />
stry<br />
Only)<br />
Contributing Organizations That Have Already Provided Current Award <strong>Year</strong> Support.<br />
OIDA Nonprofit N/A In-Kind<br />
Donations<br />
Participation in<br />
innovation/entr<br />
epreneurship<br />
activities<br />
N/A<br />
New<br />
Part<br />
ner<br />
(Yes<br />
/No)<br />
Yes<br />
Sandia<br />
National<br />
Laboratories<br />
U.S.<br />
Government<br />
(Not NSF)<br />
N/A<br />
In-Kind<br />
Donations<br />
Involvement in<br />
Technology<br />
Transfer<br />
N/A<br />
Yes<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 212
Section 6: Summary<br />
Sector<br />
Industrial/Pr<br />
actitioner<br />
Members<br />
Percent<br />
Foreign<br />
Percent Small<br />
Percent<br />
Medium<br />
Perc<br />
ent<br />
Larg<br />
e<br />
Industry 19 37% 21% 16% 63%<br />
Total 19 37% N/A N/A N/A<br />
Table 4a: Organization Involvement in Innovation and Entrepreneurship Activities<br />
Organization Name<br />
Innovation/<br />
Entrepreneurship<br />
Training<br />
Activities<br />
Provides<br />
Incubation<br />
Facilities<br />
Technology<br />
Screening<br />
Activities<br />
Connections to<br />
Sources of<br />
Commercializati<br />
on Funding<br />
Arizona Center for<br />
Innovation <br />
Columbia Business<br />
School <br />
Fiber Network<br />
Engineering Co., Inc. <br />
Nitto Denko Technical<br />
Corp <br />
OIDA <br />
UA Eller College of<br />
Management <br />
UCSD von Liebig Center<br />
for Entrepreneurism <br />
Other<br />
Activity<br />
Student<br />
Internship<br />
Table 5: Innovation Ecosystem Partners and Support by <strong>Year</strong><br />
Sep 01,<br />
2009 - Aug<br />
31, 2010<br />
Sep 01, 2010<br />
- Aug 31,<br />
2011<br />
Sep 01, 2011<br />
- Aug 31,<br />
2012<br />
Sep 01, 2012<br />
- Aug 31,<br />
2013 [1]<br />
Industrial/Practitioner Members 11 12 20 19<br />
Innovation Partners 1 2 3 4<br />
Funders of Sponsored Projects 0 0 0 0<br />
Funders of Associated Projects 0 5 6 10<br />
Contributing Organizations 0 0 0 2<br />
Total Participating Organizations 12 19 29 35<br />
Number of Member-Sponsored Projects 0 0 0 0<br />
Number of Non-Member-Sponsored<br />
Projects 0 0 0 0<br />
Total Number of Sponsored Projects 0 0 0 0<br />
Membership Fees Received - Cash $0 $160,000 $305,000 $100,000<br />
Membership Fees Expected from Prior <strong>Year</strong><br />
Members [2] N/A N/A N/A $205,000<br />
Member-Sponsored Projects Total Dollar<br />
Amount $0 $0 $0 $0<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 213
Member-Associated Projects Total Dollar<br />
Amount $256,195 $253,000 $565,000 $858,689<br />
Member In-Kind Total Dollar Amount [3] $280,000 $216,000 $191,500 $141,456<br />
Total Dollar Amount, Industrial/Practitioner<br />
Member Support to Center $536,195 $629,000 $1,061,500 $1,305,145<br />
[1] Partial Award <strong>Year</strong> data only.<br />
[2] Only applies for organizatons that were already Industrial/Practitioner Members in a prior year.<br />
[3] Data for this row is from the In-Kind Support reported in the Organizations section. There is no data prior to<br />
2010 since it is a new field that year.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 214
Table 5a - Technology Transfer Activities<br />
Organization Name<br />
Aalto University and University<br />
of Eastern Finland<br />
Advanced Storage Technology<br />
Consortium<br />
Faculty<br />
On Site<br />
at<br />
Organization<br />
Individual<br />
from<br />
Organization<br />
on Lead<br />
Institution<br />
Campus<br />
Faculty<br />
Instruction<br />
to<br />
Organization<br />
Licensed<br />
Software<br />
Licensed<br />
Technology<br />
(other than<br />
software)<br />
Graduate<br />
Hired by<br />
Organization<br />
Student On<br />
Participation<br />
Site at<br />
in Test Bed<br />
Organization<br />
Agilent Technologies, Inc. <br />
Alcatel Lucent<br />
APIC Inc<br />
Arizona Center for Innovation<br />
Bandwidth10 Inc <br />
Canon<br />
<br />
Cisco<br />
<br />
Fiber Network Engineering<br />
Co., Inc. <br />
Fujitsu Networking<br />
Communications <br />
GigOptix<br />
<br />
Google Inc<br />
<br />
Huawei<br />
Innovega Inc<br />
Institute of Microelectronics,<br />
TU Darmstadt<br />
Intel<br />
Korea Advanced Institute of<br />
Science and Technology<br />
Lightwave Logic<br />
NEC <br />
Newport<br />
Nistica, Inc.<br />
Nitto Denko Technical Corp <br />
Oracle Sun<br />
Texas Instruments<br />
UA Eller College of<br />
Management<br />
UCSD von Liebig Center for<br />
Entrepreneurism<br />
VPIphotonics<br />
Western Digital Corporation<br />
Yokagawa Corporation of<br />
America<br />
<br />
<br />
<br />
<br />
Other Activities<br />
Working to develop<br />
commercialization path<br />
for <strong>CIAN</strong> Technology<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 215
Table 5b: Lifetime Industrial/Practitioner Membership History<br />
Member<br />
Y1 Y2 Y3 Y4 Y5<br />
2008-09 2009-10 2010-11 2011-12 2012-13<br />
Member <strong>Year</strong>s<br />
Apic Semiconductor 2012-2013<br />
Bandwidth10 Bandwidth10 Inc. 2011-2013<br />
Canon 2011-2013<br />
Cisco 2011-2013<br />
Intel 2011-2013<br />
NEC 2011-2013<br />
Nistica, Inc. 2011-2013<br />
Texas Instruments 2011-2013<br />
Alcatel Lucent 2010-2013<br />
GigOptix 2010-2013<br />
Newport 2010-2013<br />
Oracle Sun 2010-2013<br />
VPI Systems 2010-2013<br />
Agilent Technologies, Inc. 2009-2013<br />
Fiber Network Engineering 2009-2013<br />
Fujitsu Networking<br />
Communications<br />
Yokagawa Corporation of<br />
America<br />
2009-2013<br />
2009-2013<br />
Nitto Denko Technical Corp 2008-2013<br />
Luxdyne, Ltd. 2008-2012<br />
Kotura 2009-2012<br />
Huawei 2011-2012<br />
Intex 2008-2010<br />
NP Photonics 2008-2010<br />
TIPD, LLC 2008-2010<br />
Veeco Instruments, Inc. 2008-2010<br />
Qualcomm 2008-2009<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 216
Table 5c. Total Number of Industrial/Practioner Members<br />
Table 5d. Industrial/Practitioner Member Support by <strong>Year</strong>, FY 2013<br />
[1] - Member support provided through end of current reporting year (includes only partial data).<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 217
INNOVATION<br />
Creating Innovation for the Market<br />
Over the last several years, <strong>CIAN</strong> has begun the process of educating its students in the concepts of<br />
innovation and commercialization. As <strong>CIAN</strong> technologies mature, we believe that it is paramount that we<br />
explore the processes of commercialization and the various paths <strong>CIAN</strong> technologies can take on their<br />
way to market.<br />
Framing and Harvesting Innovations Workshop<br />
To expose students to the basic concepts of innovation, technology commercialization, entrepreneurship<br />
and evaluation of ideas for market feasibility, <strong>CIAN</strong> provided the workshop “Framing and Harvesting<br />
Innovation” during the annual retreat. This workshop kicked off the process of evaluating <strong>CIAN</strong><br />
technologies for commercialization.<br />
Day One consisted of a series of industry speakers, <strong>CIAN</strong> researchers, and Kenneth Smith (Figure 4.11),<br />
former Dean of the Eller College of Management at the University of Arizona. This set the stage for the<br />
exercises on Day Two. The goal was to develop the technology commercialization understanding of<br />
scientific and engineering leaders so that they can partner with business professionals in identifying<br />
potential opportunities for commercialization, complete commercial feasibility studies, develop a licensing<br />
plan, a business venture plan and/or a technology<br />
roadmap as appropriate.<br />
Participants were organized into two working<br />
group teams based on the <strong>CIAN</strong> thrusts: 1)<br />
Intelligent Aggregation Networks and 2) Data<br />
Center Backend. These teams applied the<br />
concepts of the workshop to identify and evaluate<br />
numerous commercialization opportunities for<br />
<strong>CIAN</strong> research. At the end of Day One,<br />
participants were given a Harvard Business<br />
School Case Study to prepare for a discussion<br />
during Day Two of the workshop. A partnership<br />
between MBA and <strong>CIAN</strong> students harnesses<br />
complementary resources brought by people who<br />
share the same vision and goals for Innovation<br />
and Entrepreneurship.<br />
Figure 4.11 Dr. Kenneth Smith discussing innovation<br />
Workshop Evaluation<br />
concepts with the students during the annual retreat.<br />
In October 2012, 8 graduate students from 6 <strong>CIAN</strong><br />
universities made up the two student-teams for<br />
<strong>CIAN</strong>’s Framing and Harvesting Innovation Workshop. Responses to an online survey measuring the<br />
success of the workshop revealed the participants felt the activities in the workshop were useful. The<br />
students stated that they would be using information gained from the Innovation workshop in the following<br />
ways:<br />
“I'm less intimidated about the process of becoming an entrepreneur” and “I will be sure to start<br />
making friends with people who are smart at business, not just technical folks.”<br />
“I can use this info in the business world and presentation”<br />
“Better prepared for a start-up/entrepreneurial experience”<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 218
Innovation to Market through Customer Focus<br />
Following the workshop, teams of researchers were formed to investigate and explore in detail some of<br />
the promising <strong>CIAN</strong> technologies. One of the teams was formed in Columbia University consisting of four<br />
<strong>CIAN</strong> students under the leadership of Michael S. Wang. They in turn recruited two MBA students with<br />
industry experience from the Columbia School of Business and applied to be part of a cohort in a course<br />
offered by the Columbia School of Business for entrepreneurship and technology commercialization. The<br />
<strong>CIAN</strong> team was selected for the Columbia program and is now engaged in an intense competition with<br />
other teams there. The second team was formed at the University of Arizona consisting of a <strong>CIAN</strong> PI and<br />
his PhD student together with Srinivas Sukumar from UC San Diego as the mentor.<br />
The UA-based team is going through the ICorps program of the NSF to learn to develop a clear idea of<br />
who the customer is for their technology and what is their customer value proposition. After this exercise,<br />
the team will develop a complete business model canvas, which outlines all the details that would be in a<br />
classic business plan. In total, the team will be involved in about 100 customers interactions. The key<br />
distinction between this methodology and a standard business planning process is the focus on finding<br />
the match between the customer value proposition and the minimal viable product that can deliver that<br />
value. The technology that the team started with may be a small part of the overall solution needed to<br />
create a market and a business.<br />
Both these teams are being trained in the methodology developed by Steve Blank of Stanford University,<br />
which the NSF has wholeheartedly adopted. NSF provides funds for teams to be trained in this<br />
methodology by a team of very capable instructors, who have been involved in both successful and<br />
unsuccessful ventures. These instructors lead the team through something similar to a “boot camp” for<br />
six weeks to drill into them the importance of customer focus and speaking in the customer’s language<br />
instead of technical jargon.<br />
NSF has created new iCorps nodes, one of which involves Columbia University. This team is using the<br />
Steve Blank Business Model Canvas as well, though their introduction to this process is through being<br />
enrolled in a semester-long course with the Columbia Business School.<br />
There will be an active follow up of this process with additional training and involvement of the UCSD von<br />
Liebig Center and Graduate Schools of Business at University of Arizona, UC San Diego, Columbia<br />
University and other <strong>CIAN</strong> participating Universities.<br />
Partnering with Business Schools and Innovation Centers<br />
Business Schools and Innovation Centers located near <strong>CIAN</strong> research students provide an opportunity<br />
for collaboration and bring complementary resources to the process of Innovation to Market. But, it is<br />
very important to understand that <strong>CIAN</strong> is operating in a very early technology phase and most of these<br />
institutions are dealing with technologies where the technical risk has been eliminated. The Business<br />
Schools typically want to teach their students all the business processes required to take the technology<br />
to market.<br />
Innovation Centers are also typically dealing with startup companies and are not so familiar with very<br />
early stage processes where the teams are evaluating if they should even start a company. In <strong>CIAN</strong>, we<br />
have to evaluate the market feasibility of the technologies that are being researched so that we can<br />
develop them further based on market analysis. Such a process has been deemed to be critical to the<br />
success of research for Gen 3 ERCs by the National Science Foundation.<br />
<strong>CIAN</strong> uses its strong ties with Business Schools and Innovation Centers near the <strong>CIAN</strong> research<br />
institutions to engage professors and graduate students in business to collaborate with <strong>CIAN</strong> PIs and<br />
student researchers to translate technology innovation to business and market innovation. This<br />
partnership also provides very critical education to <strong>CIAN</strong> students regarding market and business<br />
strategies. Once a technology is patented, <strong>CIAN</strong> uses standard University practices to commercialize this<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 219
technology. In addition, <strong>CIAN</strong> uses its strategic relations with the industry partners to explore other<br />
innovative ways of getting the technologies to market.<br />
The NSF’s ICorps program is training teams of PIs and their PhD students with an industry veteran as a<br />
Mentor in the process of customer discovery, creating a business model canvas and market development<br />
for early stage technologies. The ICorps Management team at NSF has offered that selected teams from<br />
<strong>CIAN</strong> would be welcome to go through an ICorps cohort during the next 12 months.<br />
Multiple Paths to Commercialization<br />
<strong>CIAN</strong> has explored many ways to train students on the principles of entrepreneurship and technology<br />
commercialization. From invention disclosure to patents to communicating the value of the technologies<br />
in customer terms, this training will equip the <strong>CIAN</strong> research students with the skills and tools necessary<br />
to successfully bring technology to market (Figure 4.12). It could result in a start up with a technology<br />
that could disrupt the market or a simple licensing deal with a major corporation. In either case, the<br />
decision will be made by <strong>CIAN</strong> with proper analysis.<br />
The Role of the IAB<br />
The IAB members are industry veterans who are interested in <strong>CIAN</strong> research and emerging technologies.<br />
As individuals, they represent their company’s interest in keeping abreast of the latest technical<br />
developments in the field. The two working groups of <strong>CIAN</strong> are becoming important focus areas for<br />
possible contributions for optics and optoelectronic technologies.<br />
The IAB has several roles:<br />
1. They can act as mentors for teams that want to go through the ICorps process with their<br />
technology.<br />
2. By involving their marketing departments, they can provide customer insights for key product<br />
areas such as optical switches.<br />
3. They can work with <strong>CIAN</strong> teams to explore and identify complementary technologies that would<br />
be needed to complete the customer solution. With their keen awareness of industry<br />
developments, they can provide connections to potential partners who might collaborate with<br />
<strong>CIAN</strong>.<br />
4. They can indicate potential changes to the research direction in order to better serve the market.<br />
5. They can assist in crafting value propositions for <strong>CIAN</strong> technologies through their deep<br />
understanding of industry economics and business models.<br />
6. Finally, they can help transfer the <strong>CIAN</strong> technologies into their own companies.<br />
In summary, <strong>CIAN</strong> takes a very broad view of innovation opportunities to create and manage a very<br />
vibrant innovation ecosystem that can produce economic benefit at a national level. An engaged IAB is<br />
crucial to the success of this endeavor.<br />
Table 4.7 lists the <strong>CIAN</strong> related startup companies along with their funding status and technology focus.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 220
Figure 4.12. Multiple paths to commercialization schematic shown to students during the Innovation<br />
Workshop.<br />
Table 4.7 ERC Related Startup Firms<br />
Name of Firm Contact Information at Firm Date Name of Principle Funding<br />
Established & Relationship to<br />
ERC (e.g. faculty,<br />
student, graduate,<br />
if any)<br />
status<br />
(SBIR, 1st<br />
round,<br />
positive tax<br />
income,<br />
etc.)<br />
BANDWIDTH10 Philip Worland<br />
Bandwidth10<br />
8000 Jarvis Ave<br />
Suite 1522<br />
Newark, CA 94560<br />
510-390-3506<br />
pworland@bandwidth10.com<br />
Berkeley Lights Ming Wu<br />
ming.wu.berkeley@gmail.com<br />
2011 Connie Chang-<br />
Hasnain, Professor<br />
UC Berkeley, <strong>CIAN</strong><br />
thrust lead.<br />
2012 Ming Wu, Professor<br />
UC Berkeley<br />
T-Photonics CHessenius@optics.arizona.edu 2013 Mahmoud Fallahi,<br />
Professor<br />
University of<br />
Arizona, Chris<br />
Hessenius,<br />
Graduate Student<br />
1st Round<br />
Venture<br />
funded<br />
Privately<br />
Funded<br />
Seeking<br />
funding<br />
Technology<br />
VCSEL's for<br />
optical<br />
transceivers<br />
Light-Actuated<br />
digital<br />
microfluidics for<br />
large-scale<br />
droplet an cell<br />
manipulation<br />
High-power<br />
tunable mid- to<br />
far-IR lasers<br />
Market Impact<br />
or Societal<br />
Benefit (in terms<br />
of value added)<br />
Smaller, lower<br />
power<br />
transceivers<br />
Smaller and<br />
faster chemical<br />
and biological<br />
screening<br />
Smaller and more<br />
power efficient<br />
lasers for military<br />
and commercial<br />
applications<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 221
TRANSLATIONAL RESEARCH<br />
The <strong>CIAN</strong> ILO office is actively pursuing advanced translational research efforts that respond to the<br />
needs of our IAB Members. Examples that show the wide scope of these are the Optical Transceiver and<br />
Switch programs. The Optical Transceiver program (Figure 4.13) is a multi-organization effort, whereby<br />
the University of Arizona is working to aid in the commercialization of VCSELS developed at University of<br />
California Berkeley. These VCSELS could form the basis of a new transceiver product for Bandwidth 10,<br />
a component/sub-system developer and IAB member. In Y4 and Y5, <strong>CIAN</strong> increased the funding for the<br />
TOAN testbed at the University of Arizona to expand its capability to evaluate tunable VCSELs. This new<br />
capability allows full characterization of the VCSEL performance as well as direct integration with the<br />
TOAN testbed to allow their evaluation relative to the networking environment, leading to rapid<br />
optimization Bandwidth 10’s product performance.<br />
UC Berkley<br />
Tunable<br />
VCSEL’s<br />
Base Technology<br />
Development<br />
University of<br />
Arizona Test<br />
and evaluation<br />
Evaluation and<br />
Test for<br />
Optimization and<br />
Transition<br />
Bandwidth10<br />
Transceiver<br />
Targeted Product<br />
Application<br />
U of A’s<br />
Holography + Optical<br />
Packaging<br />
Technology<br />
Performance<br />
system<br />
Requirements from<br />
Fujitsu and Cisco<br />
Texas<br />
Instruments<br />
DLP Technology<br />
U of A Large<br />
Port Count<br />
Switch<br />
Development<br />
Next Generation Nistica<br />
Multiport-Switch<br />
a) Ongoing Translational Research with Bandwidth10 b) Evolving Translational Research with multiple IAB<br />
members<br />
Figure 4.13. An overview of the ongoing and evolving industrial and University interactions associated with<br />
translational research activities. (a) Translational activities for VCSEL research and commercialization. (b)<br />
research activities for high port-count switch.<br />
The Optical Switch program, an overview of which is shown in 4.13(b), is a much larger effort that the ILO<br />
office has been working on for over 18 months. This large translational research program is geared to<br />
address a number of IAB member needs though a single research effort. In the multi-port switch program,<br />
University of Arizona developed technology, in conjunction with existing components from Texas<br />
Instruments, a <strong>CIAN</strong> IAB member, is being used as the foundation of a research effort on high speed fiber<br />
switching. If successful, this research program will allow a company such as <strong>CIAN</strong> IAB member Nistica to<br />
realize a large port count fiber optic switch product that will fill a market need identified by Cisco and<br />
Fujitsu, two <strong>CIAN</strong> IAB members that are responsible for the integration and development of large scale<br />
networking systems. The initial research progress on this program has been described earlier in the<br />
report. The ILO team is continuing to work with Cisco and Fujitsu to identify the market requirements<br />
such as the required packaging and interfaces to allow Nistica to rapidly and quickly bring these products<br />
to market to address critical needs of <strong>CIAN</strong> IAB members further along in the value chain. The internally<br />
funded program has demonstrated the key performance metrics and has received outside funding to<br />
advance the development to the proof-of-concept phase.<br />
In addition, <strong>CIAN</strong> is supporting other translational research activities, including: Development of UCSD,<br />
UA and Columbia University energy aware technologies for Alcatel-Lucent, development of University of<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 222
Arizona high-speed optical modulator technology for GigOptix, and development of high-speed selective<br />
switching at UCSD with Nistica.<br />
Table 4.8 Technology Translation Programs submitted by Center<br />
Proposal # Innovation Proposal Title Status<br />
Award High-power tunable mid- to far-IR lasers using a novel T-<br />
Awarded<br />
number cavity co-linear two-color VECSEL.<br />
1313878<br />
AZ POC N/A Fast optical switch for data communication applications<br />
Awarded<br />
SECO Multifunctional cladding materials for ultrahigh speed (> 100<br />
Gbps) electro-optic polymer modulators<br />
Declined<br />
4.9 Translation Research Partners Table<br />
Translation<br />
Project Title<br />
Research<br />
Partner Firm<br />
NST/I-Corps High-power tunable mid- to far-IR lasers using<br />
a novel T-cavity co-linear two-color VECSEL.<br />
Funding<br />
Level<br />
Funding Sources<br />
$50,000 Industrial Innovation and<br />
Partnerships<br />
Tech Launch Fast optical switch for data communication<br />
Arizona Proofof-Concept<br />
applications<br />
program<br />
$40,000 Tech Launch Arizona funded by<br />
Arizona Technology Research<br />
Initiative Fund (TRIF), including a<br />
contribution from the Water,<br />
Environmental and Energy<br />
Solutions (WEES) initiative<br />
GOALS AND FUTURE PLANS<br />
We define the following major five-year goals:<br />
Establish a stable and engaged group of <strong>CIAN</strong> IAB members that span the value chain<br />
Promote close interactions between <strong>CIAN</strong> faculty and IAB members<br />
Establish and maintain an access/aggregation network reference architecture and supporting<br />
technology roadmaps<br />
Promote innovation and technology transfer from <strong>CIAN</strong> to industry<br />
Provide innovation training for 100% of <strong>CIAN</strong> graduate students<br />
Establish a robust process for establishing <strong>CIAN</strong> start-ups based on translational research<br />
In particular, we focus on metrics such as the number of<br />
Industrial members<br />
<strong>CIAN</strong> facilitated sponsored research programs<br />
Publications jointly-authored by <strong>CIAN</strong> researchers and collaborators from industry<br />
Industrial internships for <strong>CIAN</strong> students, including alumni from <strong>CIAN</strong>’s REU program working in<br />
industry the following summer<br />
Conference short courses co-taught by <strong>CIAN</strong> researchers and industry collaborators<br />
<strong>CIAN</strong> students hired by IAB members<br />
Provisional patent applications filed<br />
Utility patent applications filed<br />
<strong>CIAN</strong> patents (and licensed to whom)<br />
<strong>Year</strong> 1:<br />
Establish initial membership agreement - DONE<br />
Establish process for funding Phase 0 translational research efforts – DONE<br />
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<strong>Year</strong> 2:<br />
<br />
Obtain commitments from 10 founding members - DONE<br />
<strong>Year</strong> 3:<br />
Extend to a multi-tiered membership agreement structure- DONE (Bandwidth10 as initial)<br />
Recruit additional new industry members from strategically targeted areas<br />
Evaluate projects in the <strong>CIAN</strong> Thrusts to determine their potential readiness for technology<br />
transfer to new ventures. Define possible technologies to be transferred and update the<br />
Technology Transfer Roadmap based on this information<br />
Use the Technology Transfer Roadmap to match the technology to the needs of possible new<br />
IAB members to influence recruiting activities<br />
Obtain “professor of practice” inputs from industry for super-course content for at least two<br />
modules<br />
Provide innovation training for 50% of <strong>CIAN</strong> graduate students<br />
Institute the New Venture Review Team<br />
Launch at least one new business out of <strong>CIAN</strong><br />
<strong>Year</strong> 4:<br />
Recruit more companies to IAB with a goal of adding at least three companies per year. - DONE<br />
Customize marketing materials to various business focus of IAB - DONE<br />
Engage IAB in strategic planning - DONE<br />
Complete strategic planning within <strong>CIAN</strong> to address industry - DONE<br />
<strong>Year</strong> 5:<br />
Complete Initial Blue Sky program - DONE<br />
Obtain commitments for 5 additional members – 1 added, 4 in progress<br />
Maintain IAB memberships at approximately 20 – In progress<br />
Implement SalesForce.com application - DONE<br />
Provide innovation training for up to 10 additional <strong>CIAN</strong> graduate students – Completed training<br />
for 8 additional students<br />
Initiate <strong>CIAN</strong> sustainability planning - DONE<br />
Launch at least one additional new business out of <strong>CIAN</strong><br />
Implement new NDA and Membership agreements based on ERC best practices<br />
<strong>Year</strong> 6:<br />
Initiate 1-2 additional Blue Sky programs<br />
Complete <strong>CIAN</strong> sustainability plan, present to IAB and NSF<br />
Intensify transfer of technology into R&D projects/products for IAB members and others<br />
Provide innovation training for up to 10 additional <strong>CIAN</strong> graduate students<br />
Work with IAB to support commercialization of technology<br />
<strong>Year</strong> 7:<br />
Intensify transfer of technology into R&D projects/products for IAB members and others<br />
Work with IAB to support commercialization of technology<br />
ACTIONS TAKEN IN RESPONSE TO YR4 SWOT PRESENTED AT THE SITE REVIEW<br />
Weaknesses<br />
The innovation ecosystem would benefit from an increased focus and more engaged leadership.<br />
Certain practices, such as those put in place at UCSD, are not yet an integral part of <strong>CIAN</strong>.<br />
Response and Action: We have addressed this issue by starting several activities including:<br />
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1. During the <strong>Annual</strong> Retreat, the Von Liebig team at UCSD and <strong>CIAN</strong> team led a workshop titled<br />
“Framing and Harvesting Innovation”. This workshop kicked off the process of evaluating <strong>CIAN</strong><br />
technologies for commercialization. Dr. Kenneth Smith, former Dean of the Eller College of Management<br />
at the University of Arizona, presented material on innovation concepts to reinforce the presentations<br />
from the Von Liebig team.<br />
2. One of the student lead teams was formed in Columbia University consisting of four <strong>CIAN</strong> students<br />
under the leadership of Michael S. Wang. They in turn recruited two MBA students with industry<br />
experience from the Columbia School of Business and applied to be part of a cohort in a course offered<br />
by the Columbia School of Business for entrepreneurship and technology commercialization. The <strong>CIAN</strong><br />
team was selected for the Columbia program and is now engaged in an intense competition with other<br />
teams there.<br />
3. T-Photonics, a startup founded by University of Arizona Professor Mahmoud Fallahi and UA graduate<br />
student Chris Hessenius was selected for the I-Corps program and has completed the initial training. Dr<br />
Sukumar Srinivas served as the I-Corps mentor for the program.<br />
4. <strong>CIAN</strong> also partnered with two IAB members, CISCO and Texas Instruments, to develop the commercial<br />
requirements for an associated project based to develop a high port count N x N optical switch based on<br />
Texas Instrument’s DLP technology. Based upon the initial success and positive feedback from Texas<br />
Instruments and Cisco, the UA research team sought additional outside funding from the Tech Launch<br />
Arizona’s Proof of Concept Program. The project was selected as one of 19 funded programs receiving<br />
$40,000 to develop a proof-of-concept prototype operating at telecommunication wavelengths.<br />
<br />
The overall effectiveness of Thrust 2 as a linkage between Thrusts 3 and 1 is not evident<br />
o Need to address missing internal component infeed through external partnerships<br />
(academic or industrial) where appropriate.<br />
Response and Action: <strong>CIAN</strong> has entered into a long term development and manufacturing relationship<br />
with Sandia National Laboratory to act as a foundry for <strong>CIAN</strong> silicon photonic devices developed in Thrust<br />
3 and implemented into subsystems in Thrust 2. <strong>CIAN</strong> identified three foundries capable of meeting the<br />
programs needs and after extensive evaluation selected Sandia as the organization most capable of<br />
meeting the program’s needs.<br />
<br />
Major service provider is still not part of <strong>CIAN</strong>.<br />
Response and Action: The <strong>CIAN</strong> management, ILO and technical teams have devoted considerable<br />
effort over the past year to recruit a service provider for <strong>CIAN</strong>. Our initial efforts focused on AT&T based<br />
on the positive response to our initial meetings. During our most recent discussion with AT&T, they<br />
indicated that they are not interested in joining any academic consortia at this time but will monitor the<br />
activities of the Center and may be interested in joining at a later date. We are working with two of our<br />
SAB members, Hossein Eslambolchi and Kaveh Hushyar, both former AT&T senior executives to identify<br />
key decision makers in the organization to re-engage AT&T at a more senior level. We are also pursuing<br />
several other opportunities: Verizon, T-Mobile, Sprint, Century Link, Comcast, and Time Warner.<br />
Opportunities<br />
Value proposition to the industry should be rearticulated periodically.<br />
o Address satisfaction/communication issues with certain industrial partners.<br />
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Response and Action: We have published 8 newsletters from June 1, 2012 through March 1 2013. The<br />
newsletters are “pushed” to all IAB members and are posted on the public website for viewing by the<br />
general community. The newsletters are used in recruitment packages provided to potential new<br />
members. Typical newsletter content covers new member recruitment announcements, <strong>CIAN</strong> research<br />
activity updates, student activities, patent disclosures, and upcoming events and activities.<br />
o Membership should be perceived as more than just having the member’s logo on the <strong>CIAN</strong><br />
website.<br />
Response and Action: The <strong>CIAN</strong> team undertook several actions during the past year to improve the<br />
perception of the value of <strong>CIAN</strong> membership:<br />
1. We have updated the industry benefit description and have reviewed it with IAB members to<br />
verify their understanding of the list of benefits.<br />
2. We have expanded our IAB interaction by incorporating dinner meetings before the IAB and site<br />
visit meetings to allow a more relaxed environment for industry members to interact with each<br />
other and with the <strong>CIAN</strong> management and ILO teams. The first dinner was held before the IAB<br />
meeting and was attended by 6 IAB members.<br />
3. We have increased the student IAB interactions to highlight the benefit of student access which<br />
the IAB identified as a key membership benefit. During the IAB meeting 13 students presented<br />
their research. The IAB meeting also featured a dedicated student-IAB networking social and<br />
“speed networking” session.<br />
<br />
Ensure that new information is shared proactively with all industry partners.<br />
Response and Action: The <strong>CIAN</strong> team improved the amount of information shared with the IAB affiliates<br />
by implementing a monthly newsletter describing recent research and Center activities. We have<br />
modified our IAB presentations to provide them with more up to date information regarding the research<br />
activities of each of our groups.<br />
<br />
Expand and leverage the role of the IAB.<br />
a. Consider adding an IAB chair (e.g., on a rotating basis) as a liaison with the <strong>CIAN</strong> point of<br />
contact.<br />
Response and Action: Dan Kilper from Alcatel/Lucent was selected at the IAB chairperson in August,<br />
and attended the NSF annual meeting, and the IAB meeting. Dan was actively engaged in the role and<br />
has accelerated communication between the Center and the IAB membership. Dan has recently<br />
transitioned from Alcatel/Lucent to Columbia University. We are currently seeking a new chair to serve<br />
the remainder of Dan’s term. We have discussed the IAB chairperson role with three members of the IAB<br />
and expect to have a new chair in place by the site visit.<br />
<br />
Seek more collaboration with other leaders in the field where in-house expertise is insufficient.<br />
Response and Action: <strong>CIAN</strong> identified network and system architectures as one of the areas that need<br />
additional support from outside the current Center composition. To address this need, Dan Kilper<br />
(formerly of Alcatel/Lucent) was added to the <strong>CIAN</strong> research staff and Kaveh Hushyar, formerly of AT&T,<br />
was added to the SAB.<br />
Threats<br />
Partnership or additional outreach may be needed to give access to enabling technology that is<br />
currently not available.<br />
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Response and Action: <strong>CIAN</strong> reached out to several organizations during the year to incorporate<br />
enabling technologies into the program. Dan Kilper joined <strong>CIAN</strong> from Lucent/Alcatel where he led their<br />
energy efficient initiative. Joe Touch, a <strong>CIAN</strong> researcher from USC, developed a collaborative<br />
relationship with Fujitsu on efficient network protocols.<br />
<br />
Assessing eventual commercial viability of potential new concepts is not necessarily part of<br />
decision process.<br />
Response and Action: <strong>CIAN</strong> initiated three new projects during Y5:<br />
1. FIONA--THE FLASH I/O NETWORK APPLIANCE, PI: Tom DeFanti, UCSD<br />
2. Reconfigurable Optical Switch, PI: Pierre-Alexandre Blanche, UA<br />
3. Modulators and Switches, PI: Thomas Koch, UA<br />
All projects were evaluated for commercial viability using criteria related to market need, market size,<br />
Technological Readiness Level (TRL) and the opportunity for industrial funding.<br />
YEAR 5 IAB SWOT<br />
Analysis by IAB February 4th 2013<br />
STRENGTHS<br />
World-class researchers and Test Beds<br />
facilities<br />
<strong>CIAN</strong>’s research programs are making good<br />
progress.<br />
The overall vision and concept are clear and<br />
important<br />
Initial Blue Sky program on optical switches<br />
provides a model that can be expanded<br />
Industrial participation has increased<br />
measurably including industry sponsored<br />
projects<br />
Improved student-industry interactions.<br />
OIDA collaborative workshops<br />
OPPORTUNITIES<br />
WEAKNESSES<br />
<br />
<br />
<br />
<br />
Need better follow up and/or communication<br />
regarding some IAB suggestions<br />
Not enough partnerships with industry that<br />
result in short- and midterm viable commercial<br />
projects<br />
ERC structure imposes significant overhead on<br />
researchers and industry members.<br />
Although the strategic plan is coherent and<br />
consistent across the various thrusts with good<br />
linkages, the results of each project should be<br />
linked to resolving the key technical bottleneck<br />
issues.<br />
THREATS<br />
<br />
<br />
<br />
<br />
<br />
<br />
Explore opportunities for students to participate<br />
in multiple academic and industry programs to<br />
gain a better view of overall optical telecom<br />
ecosystem<br />
Examine European research centers, funding<br />
models, and interaction with European partners<br />
Engage IAB and Non <strong>CIAN</strong> groups more often<br />
in project discussions and prioritization<br />
Optical component level research needs to<br />
include packaging and manufacturability<br />
Add Service Provider IAB members<br />
<strong>CIAN</strong> should explore passive architecture<br />
solutions (PONs) for access networks.<br />
<br />
<br />
<br />
40 Gb/s and 100 Gb/s electrical solutions are<br />
entering the marketplace. They are not optimal<br />
(high cost and power inefficient) but may push<br />
out need for optical solutions to higher<br />
bandwidths<br />
Need to develop a long term sustainability<br />
roadmap without 100% industry funding<br />
Insufficient funding from NSF. US sponsored<br />
optical research should not fall behind other<br />
regions such as China or Europe<br />
<strong>CIAN</strong> has focused much on all-optical<br />
switching, which may be too expensive for the<br />
intended applications<br />
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Responses to suggestions and issues raised by the <strong>CIAN</strong> IAB at the Meeting on February 4, 2013<br />
WEAKNESSES<br />
Item: Need better follow up and/or communication regarding some IAB suggestions.<br />
Response and Action: We have established a monthly IAB conference call to address the<br />
communication gap.<br />
In addition, we created the <strong>CIAN</strong> Dashboard doc that captures a detailed snapshot of all the activities<br />
with <strong>CIAN</strong> IAB members. This document will be used to track the status of IAB action items. Please<br />
see attached doc.<br />
Industrial Advisory Board Dashboard<br />
Start Date<br />
End Date<br />
IAB Activities<br />
Description and status of IAB activities: roadmap, SWOT, project review, etc.<br />
Researchers<br />
Information about staffing, new hires, awards, etc<br />
Projects<br />
Information about projects<br />
Students<br />
Information about students<br />
Assets<br />
General information about assets<br />
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Intellectual Property<br />
Status Title IAB Status<br />
IAB Review<br />
Application<br />
Filing<br />
Disclosures under review by IAB<br />
Patent applications<br />
Patent filings<br />
Media and PR activities<br />
General info about media/PR activities<br />
New ideas that are being formulated in <strong>CIAN</strong>, separate to defined Project<br />
Ideas outside of projects<br />
<strong>Report</strong>ing<br />
<strong>Report</strong> Title<br />
Status <strong>Report</strong><br />
<br />
Not enough partnerships with industry that result in short- and midterm viable commercial projects<br />
<br />
<br />
Response and Action: We are enhancing our strategy of mutual engagement with the IAB members<br />
towards a more project-based approach with shorter development time periods. The ongoing Blue<br />
Sky project involving Cisco, Texas Instruments and the University of Arizona will deliver a proof-ofconcept<br />
prototype in less than 12 months. Based upon the success of this program, <strong>CIAN</strong> will<br />
expand these activities in Y5 and Y6.<br />
ERC structure imposes significant overhead on researchers and industry members.<br />
Response and Action: Our goal is to make every effort to enable our researchers to focus on their<br />
research activities. We have created ready to use templates, summary notes of conference calls, <strong>CIAN</strong><br />
IAB Dashboard (see below).<br />
We are also creating shorter term commercial projects so our industry members can benefit directly. Our<br />
recent successful Blue Sky program has demonstrated our ability to develop prototypes in a short<br />
timeframe.<br />
<br />
Although the strategic plan is coherent and consistent across the various thrusts with good linkages,<br />
the results of each project should be linked to resolving the key technical bottleneck issues.<br />
Response and Action: One of the major issues in developing a new product is testing in a silo, not in an<br />
integrated environment. We are using <strong>CIAN</strong> state of art Testbeds of making sure our chipset modules,<br />
access, devices, and applications, will meet a defined quality of service. Internet pipes are filled with<br />
diverse traffic, including streaming video and audio, which could negatively impact, say, a database's<br />
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performance. Also, many new applications haven't been cloud-hardened -- meaning the modules not<br />
been tightened up to reduce the back-and-forth, among other steps -- and they may start to break down.<br />
We are investigating using emulation tools -- such as those from Keren Bergman’s lab for traffic<br />
monitoring -- to discover potential bandwidth bottlenecks before permanently putting applications and<br />
data into the environment. We could emulate typical peak scenarios through the use of various<br />
applications. It's no longer about delivering an application that is great; it's about whether that application<br />
can survive in the wild.<br />
<br />
OPPORTUNITIES<br />
Explore opportunities for students to participate in multiple academic and industry programs to gain a<br />
better view of overall optical telecom ecosystem<br />
Response and Action: We have expanded the number of students participating in the internship<br />
program from 7 in Y4 to 9 in Y5 with a goal of 12 in Y6. In Y5, we had one student who completed an<br />
internship with a second company in a different part of the value chain. The Y6 internship program will<br />
expand the number of opportunities to participate in multiple segments of the value chain<br />
<br />
Examine European research centers, funding models, and interaction with European partners<br />
Response and Action: The <strong>CIAN</strong> team will reach out to our two European partner institutions (Darmstadt<br />
Technical University and the University of Eastern Finland/Aalto University) to better understand their<br />
research center funding model. The team will report its findings and opportunities back to the IAB by<br />
August 1, 2013.<br />
<br />
Engage IAB and Non <strong>CIAN</strong> groups more often in project discussions and prioritization<br />
Response and Action <strong>CIAN</strong> has expanded the IAB participation in new project selection. The Blue Sky<br />
program for an all-optical switch was driven by IAB members Cisco and Texas Instruments. The next<br />
Blue Sky proposals will be distributed to our IAB members this summer for comments and prioritization.<br />
<strong>CIAN</strong> has added new members to the SAB to expand the technical resources available for project and<br />
prioritization discussions.<br />
<br />
Optical component level research needs to include packaging and manufacturability<br />
Response and Action: <strong>CIAN</strong> has entered into a long term development and manufacturing relationship<br />
with Sandia National Laboratory to act as a foundry for <strong>CIAN</strong> silicon photonic devices developed in Thrust<br />
3 and implemented into subsystems in Thrust 2. The Sandia partnership will leverage their fabrication<br />
and packaging expertise into our component and subsystem designs.<br />
<br />
Add Service Provider IAB members<br />
Response and Action: The <strong>CIAN</strong> management, ILO and technical teams have devoted considerable<br />
effort over the past year to recruit a service provider for <strong>CIAN</strong>. Our initial efforts focused on AT&T based<br />
on the positive response to our initial meetings. During our most recent discussion with AT&T, they<br />
indicated that they are not interested in joining any academic consortia at this time but will monitor the<br />
activities of the Center and may be interested in joining at a later date. We will continue to use our<br />
current IAB members to help facilitate connections with potential carriers. We are also pursuing several<br />
other opportunities: Verizon, T-Mobile, Sprint, Century Link, Comcast, and Time Warner.<br />
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<strong>CIAN</strong> could spend more time looking at devices and architectures for access networks such as<br />
PONs.<br />
Response and Action: <strong>CIAN</strong>’s two testbeds are configured to support both active (AON) and passive<br />
(PON) network architectures. New devices can be tested in PON configurations to determine the<br />
device’s performance. The results can be compared to testing in active configurations.<br />
THREATS<br />
<br />
40 Gb/s and 100 Gb/s electrical solutions are entering marketplace. They are not optimal (high cost<br />
and power inefficient) but may push out need for optical solutions to higher bandwidths<br />
Response and Action The <strong>CIAN</strong> team is monitoring the performance of the current commercial<br />
offerings. The compelling advantages of optical solutions continue to generate interest in optical<br />
solutions at 40 and 100 Gb/s and become more compelling at 200 and 400 Gb/s. <strong>CIAN</strong>’s roadmap will<br />
allow our technologies to intersect the commercial timeline at nodes from 10 Gb/s to 1 Tb/s.<br />
The new information and communication technology era will become more powerful and complex.<br />
Network traffic will be more diverse carrying multimedia content, high performance computing, highly<br />
reliable data storage, high precision and real time control signals. At the same time the network elements<br />
are becoming more diverse as well including machine to machine connections. In such a hyperconverged<br />
network, the traditional network design inhibits optimal performance. To cope with these challenges, we<br />
believe the future network solutions will relay on increased optical content.<br />
<br />
Need to develop a long term sustainability roadmap without 100% industry funding<br />
Response and Action: <strong>CIAN</strong> is developing a long-term sustainability roadmap that would include a<br />
combination of industry, government, and commercial funding. The sustaining funding model will be<br />
expanded and evaluated as part of the year 6 ERC proposal. Two of the major goals of the ERC program<br />
and the <strong>CIAN</strong> ERC in particular are creation of opportunities for the commercialization of <strong>CIAN</strong><br />
technology and technology transfer for the market. A range of strategies are being employed to better<br />
target these efforts and enable and nurture the development of a dynamic and highly sustainable<br />
Innovation Ecosystem.<br />
We are investigating several sustainability strategies:<br />
1. Accelerating the commercialization of <strong>CIAN</strong> created IP<br />
2. Facilitating technology transfer<br />
3. Enhancing interaction between <strong>CIAN</strong> students and its industrial partners<br />
4. Allowing a better integration of IAB and <strong>CIAN</strong> projects<br />
5. Establishing a systematic learning for <strong>CIAN</strong> students to invent<br />
<br />
Insufficient funding from NSF. US sponsored optical research should not fall behind other regions<br />
such as China or Europe<br />
Response and Action: The <strong>CIAN</strong> technical team received over $1.5M in associated project funding<br />
during Y5. This non-NSF funding allows the center to maintain a high level of funding for cutting edge<br />
research<br />
<br />
<strong>CIAN</strong> has focused much on all-optical switching, which may be too expensive for the intended<br />
applications<br />
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Response and Action: The <strong>CIAN</strong> management and technical teams have introduced commercial viability<br />
as a key element for new project funding to ensure that cost, manufacturability and reliability are<br />
considered in new proposals.<br />
Multicast applications such as IPTV, video conferencing, telemedicine and online multiplayer gaming are<br />
expected to be major drivers of Internet traffic growth. The disparity between the bandwidth offered by a<br />
wavelength and the bandwidth requirement of a multicast connection can be tackled and managed more<br />
easily by all-optical switching<br />
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INFRASTRUCTURE<br />
RESPONSE TO PRIOR SWOT<br />
Weaknesses<br />
The overall effectiveness of Thrust 2 as a linkage between Thrusts 3 and 1 is not evident - Need<br />
functional integration of key components/ functionalities and Need to demonstrate how to go from<br />
component concept to integration into a system, and make use of conceptual designs where<br />
needed.<br />
We addressed this issue through the development of integrated optoelectronic chips (developed by<br />
Thrust 2 using components developed by Thrust 3) in initiating collaboration with Sandia and using<br />
Sandia as the as our Silicon manufacturing partner and their insertion into the <strong>CIAN</strong> box (developed by<br />
Thrust 1). Both our data center testbed and Access Aggregation testbed are now equipped with chipbased<br />
insertion capability. This process was helped by obtaining an NSF MRI instrumentation grant,<br />
resulting in final packaging of the chip for complete testbed insertion and compatibility with the equipment<br />
resident at industrial partner sites.<br />
Opportunities<br />
<br />
Better articulate the value of testbeds, such as what specific questions they can help answer.<br />
The testbeds were designed to evaluate the impact of <strong>CIAN</strong>-developed technologies on system-level<br />
metrics. Our system-level metrics refer to measures such as dropped packets, bit error rates, capacity<br />
utilizations, in-situ power consumptions, and application-specific measures such as roundtrip latencies.<br />
As an example, the datacenter testbed provides an integrated platform spanning fundamental devices<br />
through to system-level protocols. It is unique in the sense that <strong>CIAN</strong> researchers “own everything” and<br />
can swap out any component to determine its effect on the overall system. Among the research questions<br />
that the data center testbed addressed in year 5 was the interplay between the control plane for the<br />
network and the effect this has on the fundamental requirements of the devices. Studying this interplay is<br />
not generally feasible in other network environments because the control plane is standardized.<br />
Threats<br />
<br />
Design for manufacturability is not part of the selection process for new technologies. The SVT<br />
sees an opportunity for Thrust 2 activities to become the catalyst for a larger national-scale<br />
investment in silicon foundry capabilities for photonics that could meet needs of the device<br />
community within and outside <strong>CIAN</strong>.<br />
This issue is addressed in year 5 by our design and fabrication (Q3 2013) of the CAIN chips through<br />
Sandia. We recognized the need for additional involvement and resource allocation towards<br />
manufacturable device technologies. This process was facilitated by the two Seed projects we started on<br />
manufacturability in year 4 (Mookherjea at UCSD and Lipson at Cornell). <strong>CIAN</strong> researchers are now able<br />
to use silicon foundry capabilities to test, evaluate, optimize and ultimately advise the research<br />
community on the best-practices and best-choices from the hundreds of different variants of devices that<br />
have been invented in the rapidly-growing silicon photonics field today.<br />
CONFIGURATION AND LEADERSHIP EFFORT<br />
<strong>CIAN</strong>’s core partner institutions were selected because of their crucial personnel, expertise, infrastructure,<br />
and facilities. <strong>CIAN</strong> employs a matrix-style management organization that allows the Center to<br />
simultaneously coordinate intra-Thrust projects and cross-Thrust research threads among the 9 core<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 233
partners. This structure allows <strong>CIAN</strong> to achieve maximum leverage of NSF direct funding. The Center<br />
directs support to the core eight partner institutions and its three collaborating institutions with<br />
subcontracts from the University of Arizona, the lead Institution. <strong>CIAN</strong> maintains collaborations with three<br />
foreign partner institutions, providing a multi-national element to <strong>CIAN</strong> programs. <strong>CIAN</strong> collaborates with a<br />
number of education partners to assist with RET, REU, and other outreach efforts. <strong>CIAN</strong>, a Gen-3 ERC,<br />
has industry representation via an Industrial Advisory Board, which elects its own Chairperson. <strong>CIAN</strong><br />
receives independent advice and direction from its Scientific Advisory Board.<br />
Coordination of efforts between the different institutions is accomplished using several means. <strong>CIAN</strong>’s<br />
Working Groups include students, postdocs, and faculty from all <strong>CIAN</strong> institutions, and vertically integrate<br />
cross-Thrust efforts in data centers and intelligent aggregation networks. Thrust Co-leads coordinate and<br />
horizontally integrate projects within Thrusts. <strong>CIAN</strong>’s Executive and Technical Program Committees<br />
provide oversight for both the Working Groups and Thrusts to ensure they are implementing the Center’s<br />
strategic research plan. Most <strong>CIAN</strong> Projects have participants from multiple universities. The Center’s<br />
mission is supported by multi-disciplinary faculty which includes many of the top performers in their fields.<br />
This diversity of experience facilitates innovative and creative solutions to data centers and intelligent<br />
aggregation networks. <strong>CIAN</strong> investigators share a common vision and mission, clarifying their role in<br />
producing the Internet of the future.<br />
<strong>CIAN</strong> has three international partners including University of Eastern Finland (UEF)/Aalto University,<br />
Korea Advance Institute of Science and Technology (KAIST), and Darmstadt University of Technology<br />
(DUT). Collaborative research with <strong>CIAN</strong> is complementary to the existing programs and promotes<br />
interactions for investigation of fundamental photonic device issues, such as components for chip-scale<br />
all-optical signal processing. Student exchange between <strong>CIAN</strong> universities and all its three international<br />
partners is underway. UEF Professor Seppo Honkanen and DUT professor Franko Kueppers visit the<br />
University of Arizona several times annually to coordinate activities. KAIST professor Yong Lee visited UA<br />
in March 2013. KAIST has expertise in semiconductor photonic crystal devices and is assisting with the<br />
fabrication and characterization of photonic crystal nanocavities with embedded quantum dots. Professor<br />
Galina Khitrova at the University of Arizona hosted a visiting student from KAIST to work in his laboratory.<br />
Efforts by foreign partners are funded entirely by non-NSF sources.<br />
<strong>CIAN</strong>’s vision is maintained by Director Nasser Peyghambarian, Professor at the University of Arizona,<br />
who has 30 years of research experience in telecommunications, optical components, and subsystems.<br />
Professor Peyghambarian also heads <strong>CIAN</strong>’s Executive Committee. <strong>CIAN</strong>’s Deputy Director, Yashaishu<br />
(Shaya) Fainman, a Professor at the University of California at San Diego, has over 20 years of research<br />
experience in telecommunications, network systems and fiber optics. Professor Fainman is head of<br />
<strong>CIAN</strong>’s Technical Program Committee (TPC). The TPC monitors <strong>CIAN</strong>’s research efforts and takes the<br />
lead in developing <strong>CIAN</strong>’s strategic research plan and maintaining Center cohesiveness. The TPC<br />
reviews Center projects and selects which projects to sustain, augment, or graduate. The TPC also<br />
selects seed projects to support new research directions initiated by young and underrepresented faculty.<br />
Thrust 1 Leads, Professor Keren Bergman and Professor Alan Willner, are able to leverage their long<br />
standing working relationship to facilitate collaboration among and coordination between projects in the<br />
area of Optical Communication Systems and Networking. Thrust 2 Leads Professor Ming Wu and<br />
Professor Axel Scherer share a common vision for Subsystem Integration and Silicon Nanophotonics.<br />
Thrust 3 Leads Professor Connie Chang-Hasnain and Professor Robert Norwood have complementing<br />
expertise for the direction of projects in the area of Materials and Devices.<br />
<strong>CIAN</strong>’s REU/RET Site Director, Dr. Allison Huff, and Ms. Trin Riojas lead <strong>CIAN</strong>’s annual REU/RET<br />
program and organize orientations, weekly professional development workshops, and final capstone<br />
events. <strong>CIAN</strong>’s REU and RET programs have been held at eight <strong>CIAN</strong> universities.<br />
<strong>CIAN</strong>’s Education Director, Dr. Allison Huff, Ms. Riojas, and Diversity Program Directors Frances Williams<br />
and Kimberly Sierra- Cajas recruit diverse applicants to <strong>CIAN</strong>’s education programs through<br />
communication with <strong>CIAN</strong>’s diversity team at Norfolk State University and recruitment visits to local<br />
Tucson schools and Pima Community College.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 234
<strong>CIAN</strong>’s Education program has established relationships with education administrators in Tohono<br />
O’odham Community College, Pima Community College, TUSD’s Science Resource Center, the Arizona<br />
School for the Deaf and Blind, and outreach personnel at the University of Arizona who work with<br />
community extension and diversity inclusion initiatives. Collaboration with personnel working for the<br />
College of Optical Sciences multiplies outreach efforts.<br />
Administrative Director Alan Kost and Education Director oversee <strong>CIAN</strong>’s Master Degree in Photonics<br />
Communication Engineering with the aid of curriculum committee that consists of faculty from the College<br />
of Optical Sciences at the University of Arizona. Kost also teaches the Photonic Communications<br />
Engineering classes that are part of <strong>CIAN</strong>’s Super-Course.<br />
<strong>CIAN</strong> Administrative Director assists the Director and Deputy Director with day-to-day operations. He<br />
develops <strong>CIAN</strong>s administrative processes, oversees data collection, coordinates committee meetings and<br />
other meetings, generates reports, provides financial oversight, and ensures compliance with NSF<br />
guidelines. The Administrative Director conducts management and staff meetings at least once a month.<br />
Dr. Kost receives support on financial and accounting issues from <strong>CIAN</strong>’s Finance Manager, Rick Franco,<br />
OSCs accounting office, and the University of Arizona’s Sponsored Projects office. Ms. Trin Riojas and<br />
Ms. Linda Schadler provide assistance on event coordination, requisition processing, and other<br />
administrative matters. The Manager of Information Technology, Yousaf Riaz, maintains <strong>CIAN</strong>’s public<br />
information web site, www.cian-erc.org , http://data.cian-erc.org, as well its data collection site. Mr. Riaz<br />
also assists with technical aspects of the Super-Course.<br />
<strong>CIAN</strong>s legal agreements and subcontracts are in place, as are all center accounts and foreign partner<br />
agreements. Industry membership Agreement and the non-disclosure agreement were modified in<br />
response to NSF consultants’ visit in early 2013 and are being reviewed by <strong>CIAN</strong> partner universities<br />
before their implementation. <strong>CIAN</strong>’s various committees (the IAB, SAB, Council of Deans, etc.) are<br />
functioning as per NSF guidelines. <strong>CIAN</strong> manages its industrial interaction and innovation ecosystem<br />
through a team consisting of Saied Agahi (UA, hired in November 2012), Lloyd LaComb (UA) and S.<br />
Sukumar (UCSD). Dr. Saied Agahi is the ILO and overseas all of the <strong>CIAN</strong> activities in the innovation<br />
ecosystem. Lloyd LaComb handles all of the industrial interactions and industry membership. S. Sukumar<br />
is responsible for innovation workshops and other innovation, startups and commercialization activities.<br />
<strong>CIAN</strong>’s public and private web sites promote exchange of information across <strong>CIAN</strong>’s multi-institution,<br />
cross-matrix research organization, and are an invaluable aid for the day-to-day operation of the Center.<br />
<strong>CIAN</strong>’s Administrative Director and Manager of Information Technology are participating in a multi-ERC<br />
committee to help rebuild the NSF’s ERC data collection site.<br />
<strong>CIAN</strong>’s Student Leadership Council, funded as part of the Center’s education program lead is rotating.<br />
The SLC currently has representatives from nine of the core/partner universities. The SLC generates its<br />
own SWOT analysis of the center which is shared with <strong>CIAN</strong> management.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 235
Graduate<br />
Young Scholars<br />
Non-RET<br />
UG Non-REU<br />
Post Docs<br />
Faculty<br />
Large Number of URM Students in<br />
Engineering<br />
Hispanic Serving<br />
HBCU<br />
Minority<br />
Serving<br />
Female Serving<br />
Total<br />
RET<br />
REU<br />
Name and Type<br />
Doctoral<br />
Masters<br />
Table 6: Institutions Executing the ERC’s Research, Technology Transfer, and Education Programs<br />
Institutions<br />
Personnel in ERC Activities [1]<br />
Students<br />
Teachers<br />
I. Lead 1 1 1 0 0 0 15 1 10 3 2 15 N/A N/A N/A<br />
University of<br />
Arizona,<br />
Tucson, AZ 15 1 10 3 2 15 N/A N/A N/A<br />
II. Core<br />
Partners 6 0 1 1 0 1 18 4 23 0 6 45 N/A N/A N/A<br />
California<br />
Institute of<br />
Technology,<br />
Pasadena, CA 1 1 1 0 0 6 N/A N/A N/A<br />
Columbia<br />
University, New<br />
York, NY 2 2 3 0 2 9 N/A N/A N/A<br />
Norfolk State<br />
University,<br />
Norfolk, VA 3 0 11 0 2 1 N/A N/A N/A<br />
University of<br />
California<br />
Berkeley,<br />
Berkeley, CA 2 1 1 0 0 6 N/A N/A N/A<br />
University of<br />
California San<br />
Diego, La Jolla,<br />
CA 8 0 6 0 2 20 N/A N/A N/A<br />
University of<br />
Southern<br />
California, Los<br />
Angeles, CA 2 0 1 0 0 3 N/A N/A N/A<br />
III. Foreign<br />
Partners 3 0 0 0 0 0 3 1 0 0 0 1 N/A N/A N/A<br />
Korea Advance<br />
Institute of<br />
Science and<br />
Technology 1 0 0 0 0 0 N/A N/A N/A<br />
Technische<br />
Universitat<br />
Darmstadt 1 0 0 0 0 0 N/A N/A N/A<br />
University of<br />
Eastern Finland 1 1 0 0 0 1 N/A N/A N/A<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 236
IV.<br />
Collaborating<br />
Institutions 4 0 1 1 0 1 4 0 10 0 5 3 N/A N/A N/A<br />
Arizona Center<br />
for Innovation,<br />
Tucson, AZ 0 0 0 0 0 0 N/A N/A N/A<br />
Cornell<br />
University,<br />
Ithaca, NY 1 0 1 0 0 1 N/A N/A N/A<br />
Tuskegee<br />
University,<br />
Tuskegee, AL 2 0 8 0 3 0 N/A N/A N/A<br />
University of<br />
California Los<br />
Angeles, Los<br />
Angeles, CA 1 0 1 0 2 2 N/A N/A N/A<br />
V. Non-ERC<br />
Institutions<br />
Providing REU<br />
Students 10 2 6 0 8 4 N/A N/A N/A<br />
Arizona State<br />
University,<br />
Phoenix, AZ N/A N/A N/A 1<br />
California<br />
Polytechnic<br />
State University,<br />
San Luis<br />
Obispo, San<br />
Luis Obispo, CA N/A N/A N/A 1<br />
California State<br />
Polytechnic<br />
University,<br />
Pomona,<br />
Pomona, CA N/A N/A N/A 1<br />
Southwestern<br />
Indian<br />
Polytechnic<br />
Institute,<br />
Albuquerque,<br />
NM N/A N/A N/A 1<br />
SUNY<br />
Binghamton<br />
University, New<br />
York, NY N/A N/A N/A 1<br />
The University<br />
of Texas at El<br />
Paso, El Paso,<br />
TX N/A N/A N/A 1<br />
University of<br />
California<br />
Riverside,<br />
Riverside, CA N/A N/A N/A 1<br />
University of<br />
Denver, Denver,<br />
CO N/A N/A N/A 1<br />
University of<br />
Puerto Rico at<br />
Bayamón,<br />
Bayamón, PR N/A N/A N/A 1<br />
University of<br />
Puerto Rico Rio<br />
Piedras, San<br />
Juan, PR N/A N/A N/A 1<br />
1<br />
0<br />
N/<br />
A<br />
N/<br />
A<br />
N/<br />
A<br />
N/<br />
A<br />
N/<br />
A<br />
N/<br />
A<br />
N/<br />
A<br />
N/<br />
A<br />
N/<br />
A<br />
N/<br />
A<br />
N/<br />
A<br />
N/<br />
A N/A N/A N/A<br />
N/<br />
A N/A N/A N/A<br />
N/<br />
A N/A N/A N/A<br />
N/<br />
A N/A N/A N/A<br />
N/<br />
A N/A N/A N/A<br />
N/<br />
A N/A N/A N/A<br />
N/<br />
A N/A N/A N/A<br />
N/<br />
A N/A N/A N/A<br />
N/<br />
A N/A N/A N/A<br />
N/<br />
A N/A N/A N/A<br />
N/<br />
A N/A N/A N/A<br />
VI. NSF<br />
Diversity<br />
Program<br />
Awardees 5 0 5 0 0 0 2 0 0 0 0 0 N/A N/A N/A<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 237
Alliances for<br />
Graduate<br />
Education and<br />
the<br />
Professoriate<br />
(AGEP) 0 0 0 0 0 0 N/A N/A 0 0 0 0 N/A N/A N/A<br />
No AGEP institutions were entered.<br />
Centers of<br />
Research<br />
Excellence in<br />
Science and<br />
Technology<br />
(CREST) 0 0 0 0 0 0 N/A N/A 0 0 0 0 N/A N/A N/A<br />
No CREST institutions were entered.<br />
Louis Stokes<br />
Alliances for<br />
Minority<br />
Participation<br />
(LSAMP) 2 0 2 0 0 0 N/A N/A 0 0 0 0 N/A N/A N/A<br />
Washington<br />
Baltimore<br />
Hampton Roads<br />
Alliance for<br />
Minority<br />
Participation<br />
(WBHR-AMP) N/A N/A 0 0 0 0 N/A N/A N/A<br />
Western<br />
Alliance to<br />
Expand Student<br />
Opportunities N/A N/A 0 0 0 0 N/A N/A N/A<br />
Tribal Colleges<br />
and<br />
Universities<br />
Program<br />
(TCUP) 0 0 0 0 0 0 N/A N/A 0 0 0 0 N/A N/A N/A<br />
No TCUP institutions were entered.<br />
NSF Diversity<br />
Program<br />
Collaborations<br />
(NSF Diversity<br />
Program<br />
Collaborations) 3 0 3 0 0 0 2 0 0 0 0 0 N/A N/A N/A<br />
American Indian<br />
languauge<br />
development<br />
Institute (AILDI) 2 0 0 0 0 0 N/A N/A N/A<br />
Materials and<br />
Devices for<br />
Information<br />
Technology<br />
Research 0 0 0 0 0 0 N/A N/A N/A<br />
Native American<br />
Science and<br />
Engineering<br />
Program 0 0 0 0 0 0 N/A N/A N/A<br />
VII. Precollege<br />
Partners 48 0 7 1 9 6 N/A N/A N/A N/A N/A N/A 0 11 36<br />
Apollo Middle<br />
School, Tucson,<br />
AZ N/A N/A N/A N/A N/A N/A 0 0 0<br />
Arizona<br />
Lutheran<br />
Academy,<br />
Gilbert, AZ N/A N/A N/A N/A N/A N/A 0 0 1<br />
Auburn High<br />
School, Auburn,<br />
AL N/A N/A N/A N/A N/A N/A 0 0 1<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 238
Baboquivari<br />
High School,<br />
Sells, AZ N/A N/A N/A N/A N/A N/A 0 0 0<br />
Basis Tucson<br />
Upper, Tucson,<br />
AZ N/A N/A N/A N/A N/A N/A 0 0 1<br />
Berkeley High<br />
School,<br />
Berkeley, CA N/A N/A N/A N/A N/A N/A 0 0 1<br />
Blind Brook High<br />
School, Rye<br />
Brook, NY N/A N/A N/A N/A N/A N/A 0 0 1<br />
Blue Ridge High<br />
School, Pinetop,<br />
AZ N/A N/A N/A N/A N/A N/A 0 0 1<br />
Booker T<br />
Washington,<br />
Tuskegee, AL N/A N/A N/A N/A N/A N/A 0 0 3<br />
Brentwood High<br />
School, Los<br />
Angeles, CA N/A N/A N/A N/A N/A N/A 0 0 1<br />
Churchland High<br />
School,<br />
Portsmouth, VA N/A N/A N/A N/A N/A N/A 0 0 1<br />
Desert Ridge<br />
High School,<br />
Mesa, AZ N/A N/A N/A N/A N/A N/A 0 0 1<br />
Desert View<br />
High School,<br />
Tucson, AZ N/A N/A N/A N/A N/A N/A 0 0 0<br />
Flagstaff Unified<br />
School District,<br />
Flagstaff, CA N/A N/A N/A N/A N/A N/A 0 1 0<br />
Hasan<br />
Preparatory &<br />
Leadership<br />
School, Tucson,<br />
AZ N/A N/A N/A N/A N/A N/A 0 0 2<br />
High School for<br />
Dual Language<br />
and Asian<br />
Studies, New<br />
York, NY N/A N/A N/A N/A N/A N/A 0 0 1<br />
High Tech High<br />
Chula Vista,<br />
Chula Vista, CA N/A N/A N/A N/A N/A N/A 0 1 0<br />
Home School,<br />
Mesa, AZ N/A N/A N/A N/A N/A N/A 0 0 1<br />
Hoover High<br />
School, San<br />
Diego State<br />
University, San<br />
Diego, CA N/A N/A N/A N/A N/A N/A 0 1 0<br />
Johnson<br />
Elementary<br />
School, Tucson,<br />
AZ N/A N/A N/A N/A N/A N/A 0 0 0<br />
Lapwai, Lapwai,<br />
ID N/A N/A N/A N/A N/A N/A 0 1 0<br />
Lauffer Middle<br />
School, Tucson,<br />
AZ N/A N/A N/A N/A N/A N/A 0 0 0<br />
Marcos de Niza,<br />
Tempe, AZ N/A N/A N/A N/A N/A N/A 0 0 1<br />
Monta Vista<br />
High School,<br />
Cupertino, CA N/A N/A N/A N/A N/A N/A 0 0 1<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 239
Monument<br />
Valley High<br />
School,<br />
Kayenta, AZ N/A N/A N/A N/A N/A N/A 0 0 1<br />
Monument<br />
Valley High<br />
School -<br />
Tonalea,<br />
Tonalea, AZ N/A N/A N/A N/A N/A N/A 0 0 1<br />
Mountain View<br />
High School,<br />
Tucson, AZ N/A N/A N/A N/A N/A N/A 0 0 1<br />
Muckleshoot<br />
Tribal School,<br />
Auburn, WA N/A N/A N/A N/A N/A N/A 0 1 0<br />
Nixyaawii<br />
Community<br />
School,<br />
Pendleton, OR N/A N/A N/A N/A N/A N/A 0 1 0<br />
Norfolk Public<br />
Schools,<br />
Norfolk, VA N/A N/A N/A N/A N/A N/A 0 1 0<br />
Page High<br />
School, Page,<br />
AZ N/A N/A N/A N/A N/A N/A 0 0 1<br />
Palo Verde High<br />
School, Tucson,<br />
AZ N/A N/A N/A N/A N/A N/A 0 0 1<br />
Pueblo High<br />
School, Tucson,<br />
AZ N/A N/A N/A N/A N/A N/A 0 0 0<br />
Red Mountain<br />
High School,<br />
Mesa, AZ N/A N/A N/A N/A N/A N/A 0 0 2<br />
Rincon High<br />
School, Tucson,<br />
AZ N/A N/A N/A N/A N/A N/A 0 0 1<br />
San Miguel<br />
Crista Rey,<br />
Tucson, AZ N/A N/A N/A N/A N/A N/A 0 0 1<br />
Snowflake High<br />
School, Taylor,<br />
AZ N/A N/A N/A N/A N/A N/A 0 0 2<br />
Sonoran<br />
Science<br />
Academy,<br />
Tucson, AZ N/A N/A N/A N/A N/A N/A 0 0 0<br />
St. Michael's<br />
Indian School,<br />
St. Michael, AZ N/A N/A N/A N/A N/A N/A 0 0 1<br />
The Accelerated<br />
School, Los<br />
Angeles, CA N/A N/A N/A N/A N/A N/A 0 1 0<br />
Tucson High<br />
School, Tucson,<br />
AZ N/A N/A N/A N/A N/A N/A 0 0 3<br />
Tully Elementary<br />
School, Tucson,<br />
AZ N/A N/A N/A N/A N/A N/A 0 0 0<br />
Valley Christian<br />
High School,<br />
San Jose, CA N/A N/A N/A N/A N/A N/A 0 1 0<br />
Valley High<br />
School, Houck,<br />
AZ N/A N/A N/A N/A N/A N/A 0 0 1<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 240
Vechij Himdag<br />
Alternative<br />
School, Scaton,<br />
CA N/A N/A N/A N/A N/A N/A 0 1 0<br />
Window Rock<br />
High School,<br />
Window Rock,<br />
AZ N/A N/A N/A N/A N/A N/A 0 0 1<br />
Window Rock<br />
Unified School,<br />
FT. DEFIANCE,<br />
AZ N/A N/A N/A N/A N/A N/A 0 1 0<br />
Winslow High<br />
School,<br />
Winslow, AZ N/A N/A N/A N/A N/A N/A 0 0 1<br />
VIII.<br />
Community<br />
Colleges 2 0 2 0 2 0 1 0 0 2 0 0 N/A 0 N/A<br />
Pima<br />
Community<br />
College,<br />
Tucson, AZ 1 0 0 1 0 0 N/A 0 N/A<br />
San Diego City<br />
College, San<br />
Diego, CA 0 0 0 1 0 0 N/A 0 N/A<br />
Total 79 3 23 3 19 12 43 6 43 15 13 64 0 11 36<br />
[1] - Only ERC personnel executing the ERC mission are shown in this table.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 241
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 242
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 243
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 244
DIVERSITY EFFORT AND IMPACT<br />
<strong>CIAN</strong>’s long-term goal is to create self-sustaining initiatives, on each of the core campuses, which have a<br />
lasting impact to improve diversity in engineering programs. Further, <strong>CIAN</strong> aims to provide<br />
comprehensive diversity programs to ensure that the gender, race, ethnicity, and disabilities composition<br />
of the leadership, faculty, students, and staff will exceed the national averages in engineering. <strong>CIAN</strong>’s<br />
practices are designed to continually diversify the composition of our team in each subsequent year. Our<br />
recruitment efforts for education programs, student research positions, and faculty openings strive to find<br />
highly qualified minority and female candidates. The educational and outreach programs of <strong>CIAN</strong> provide<br />
opportunities to expose pre-college female and underrepresented minority (URM) students to <strong>CIAN</strong>related<br />
fields as well as opportunities to involve undergraduate and graduate URMs in research and<br />
courses. Currently, in all categories, including leadership, faculty, PhD and MS students, and<br />
undergraduate students, <strong>CIAN</strong>’s team exceeds the national averages for percentage of underrepresented<br />
minorities (as shown in Tables 7a and 7f, as well as Figures 7b-7e). These tables and figures also show<br />
that in the categories for leadership, faculty, MS students, and undergraduate students, <strong>CIAN</strong>’s team<br />
exceeds the national averages for percent female. <strong>CIAN</strong> also exceeds the national averages for the<br />
percentage of Hispanic/Latino students. When comparing the diversity of students in last year’s Table 7<br />
of the annual report to <strong>Year</strong> 5’s Table 7a: Diversity Statistics for ERC Faculty and Students, one can see<br />
the impact of <strong>CIAN</strong>’s diversity efforts. The number of Hispanic students across all levels increased from<br />
10 to 15. In addition, the number of female students increased from 38 to 40.<br />
The diversity initiatives of the Center include research partnerships with Historically Black College and<br />
Universities (HBCUs), Native American-serving institutions, and Hispanic-serving institutions (HSIs),<br />
recruitment at STEM conferences and institutions that serve minority students and students with<br />
disabilities, and diversity fellowships and travel grants.<br />
Partnerships with Nationwide Organizations and Minority Serving Institutions:<br />
<strong>CIAN</strong> has partnered with the Washington-Baltimore-Hampton Roads—Louis Stokes Alliance for Minority<br />
Participation (WBHR-LSAMP) as well as its HBCU partner institutions (Norfolk State University and<br />
Tuskegee University) to advertise graduate school and REU opportunities. <strong>CIAN</strong> is collaborating further<br />
with its outreach partner, Pima Community College (Tucson, AZ), a Hispanic-serving institution, by not<br />
only advertising our research opportunities, but also supporting their outreach efforts in the new NSF S-<br />
STEM award. Pima is also very interested in utilizing our pre-college Super Course modules in photonics<br />
once complete. We also invited a Pima optics professor and his students to assist with our outreach<br />
presentations and activities in the Tucson community. They have very little resources to advertise their<br />
program and student enrollment has been very small. Therefore, <strong>CIAN</strong> is sharing our resources and staff<br />
to include them in opportunities to advertise their program, thereby funneling more future students into<br />
our four-year college degree. Through this partnership, students who become interested in optics<br />
become aware of two paths towards obtaining a B.S. in optical engineering or optical sciences. The<br />
Southwestern Indian Polytechnic Institute (SIPI), a Native American-serving institution, is a new <strong>CIAN</strong><br />
outreach partner who has already begun to assist us in advertising our REU opportunities. We had a<br />
student from SIPI participate in our REU program last summer.<br />
Diversity on the Student Leadership Council:<br />
In 2012, the SLC Organizing Committee had participation across all partner schools, including NSU and<br />
Tuskegee. In fact, the Vice-Chair, Brianna Peeples, was a graduate student at NSU. Three of the 10<br />
students were underrepresented minorities and three of the students were female.<br />
Diversity Fellowship Program:<br />
The <strong>CIAN</strong> Diversity Fellowship Program provides partial funding for minority and female postdoctoral and<br />
graduate researchers who were new hires in <strong>CIAN</strong> research groups. The goal of this funding program is<br />
to open the door into <strong>CIAN</strong> research labs for underrepresented students and postdoctoral researchers<br />
and encourage faculty members to consider diversity a priority in their hiring practices. During <strong>Year</strong> 5,<br />
<strong>CIAN</strong> awarded fellowships to a Hispanic M.S. student at Columbia, a Hispanic Ph.D. student at Caltech,<br />
an African-American M.S. student at the University of Arizona, and an African-American/Hispanic<br />
graduate student at the University of California-San Diego. Cathy Chen from Columbia also received a<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 245
enewal for the Graduate Research Diversity Supplement (GRDS) from NSF. Details about the<br />
fellowships are available at http://www.cian-erc.org/fellow.cfm.<br />
Diversity Travel Grant Program:<br />
In <strong>Year</strong> 5, <strong>CIAN</strong> continued offering the Diversity Travel Grant Program to increase minority student<br />
participation. This program allows underrepresented undergraduate students to visit one of <strong>CIAN</strong>’s<br />
partner campuses to meet with <strong>CIAN</strong> faculty and students, to learn more about <strong>CIAN</strong> research and<br />
graduate programs, and to tour the campus. The goal is to expose potential students to the partner<br />
campuses and research early in their graduate school decision-making process. <strong>CIAN</strong> pays for travel<br />
costs and coordinates the visit with faculty and staff. During <strong>Year</strong> 5, five diversity travel grants were<br />
awarded. Of the five awardees, two students are now in graduate school at the University of Arizona and<br />
the other three have not yet graduated from their undergraduate institutions. However, one of the three is<br />
a graduating senior and has applied to the University of Arizona for graduate school. More information<br />
about the travel grants can be found at: http://www.cian-erc.org/travel_grants_dev.cfm.<br />
Building Relationships with Deans/Department Chairs/Campus Personnel:<br />
<strong>CIAN</strong> maintains communications with campus administrators and personnel at the home departments of<br />
<strong>CIAN</strong> faculty members to facilitate recruitment opportunities for undergraduate minority students.<br />
Moreover, <strong>CIAN</strong> has interacted with campus personnel to acquire information about graduate recruitment<br />
weekends—especially those focused on URM recruitment—to find additional venues to recruit students to<br />
the Center. Further, <strong>CIAN</strong> communicates with local education administrators and teachers working on<br />
tribal reservations, UA’s Special Advisor to the President on Native American Student Affairs, and UA’s<br />
American Indian Language Development Institute to solidify a bridge between the Native American<br />
communities in the southwest and <strong>CIAN</strong>’s resources.<br />
Recruitment Efforts:<br />
One of the goals of <strong>CIAN</strong> this year was to increase recruitment efforts to sites with large populations of<br />
Native American and Hispanic students and students with disabilities, particularly deaf and hard of<br />
hearing students. Recruiting activities involved phone calls, e-mails, mailings and presentations.<br />
<strong>CIAN</strong>’s staff and students gave presentations to and sent emails to contacts at Historically Black Colleges<br />
and Universities (HBCUs), Hispanic Serving Institutions (HSIs), and student chapters of SHPE, SACNAS,<br />
NSBE, and SWE at <strong>CIAN</strong> institutions or sites near <strong>CIAN</strong> institutions with high populations of Hispanic or<br />
Native American students. This included Arizona State University, Northern Arizona State University,<br />
University of Arizona, Norfolk State University, Columbia University, Rose-Hulman Institute of<br />
Technology, and <strong>CIAN</strong> HSI partners Pima Community College and San Diego City College.<br />
Presentations were also given at San Diego State University’s S-STEM program by a former REU<br />
student, at UC San Diego’s SWE and NSBE chapters by <strong>CIAN</strong> graduate students, at UC San Diego’s<br />
California Louis Stokes Alliance for Minority Participation (CAMP) in Science, Engineering and<br />
Mathematics program, at San Diego City College’s MESA program, and at the Norfolk State University’s<br />
Two + Three Community College to University Program students.<br />
Packets were mailed and emailed to Gallaudet University for Deaf and Hard of Hearing Students in<br />
Washington, D.C., the Rochester Institute of Technology’s (RIT) National Technical Institute for the Deaf,<br />
the Disability Resource Offices at <strong>CIAN</strong> partner institutions, California Alliance for Minority Participation<br />
(CAMP) coordinators, LSAMP coordinators, MEP Directors, SHPE or AISES chapter advisors, and SPIE<br />
chapter advisors throughout California, New Mexico, Arizona, and Texas. The packets included an<br />
introductory letter about <strong>CIAN</strong> and flyers about our REU, RET, diversity graduate research fellowships,<br />
diversity travel grants, and the M.S. Photonic Communications Engineering programs.<br />
Special emphasis on the recruitment of REU and RET participants from Community Colleges creates<br />
diverse pathways to higher education in science and engineering. NSU has a partnership with five<br />
community colleges in its NSF-funded “Two-Three Community College to University Programs (T-CUP)<br />
Project.” The REU and RET information was distributed to students and faculty members at T-CUP<br />
community colleges as well as numerous community colleges with optics programs.<br />
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Partnerships with the Native American Community:<br />
<strong>CIAN</strong> has worked to strengthen and continue to build partnerships with institutions with high populations<br />
of Native American students or organizations focused on outreach in the Native American community.<br />
<strong>CIAN</strong> has continued its long-term partnership with the UA Office of Early Academic Outreach and its<br />
MESA program. . IN Y5, UA <strong>CIAN</strong> professor Galina Khitrova and her research group visited science<br />
classes at Baboquivari High School to continue to generate interest in optics.<br />
During the spring semester, Dr. Frances Williams, from Norfolk State University will travel again to<br />
Southwestern Indian Polytechnic Institute (SIPI) to give a recruitment presentation and meet with faculty<br />
and the Department Chair of the Engineering and Engineering Technology Programs. SIPI, located in<br />
Albuquerque, New Mexico, is a “National Indian Community College and Land Grant Institution” and has<br />
agreed to become one of <strong>CIAN</strong>’s outreach partners. She also visited there last academic year and gave<br />
a talk to faculty and students about educational opportunities in <strong>CIAN</strong>. One student from SIPI participated<br />
in the REU program in 2012.<br />
A new president is now in place at Tohono O’odham Community College (TOCC) and <strong>CIAN</strong> is witnessing<br />
renewed interest by TOCC in partnering with organizations at UA. They are currently constructing a new<br />
building with a fiber optic infrastructure and state-of-the-art classrooms to enable students to utilize long<br />
distance learning programs, opening up the possibility of web-based tutoring with <strong>CIAN</strong> students.<br />
Providing tutoring to students on the Tohono O’odham reservation has been difficult for outreach<br />
programs at UA due to the 1.5 hour one-way commute to Sells, Arizona. However, their new technology<br />
infrastructure will help eliminate this obstacle. Students will also be able to access <strong>CIAN</strong>’s Super Course<br />
modules.<br />
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Table 7a: Diversity Statistics for ERC Faculty and Students<br />
US Citizens or Permanent Residents Foreign (Temporary Visa Holders) Citizenship Not <strong>Report</strong>ed<br />
Leader-<br />
Faculty Doctoral Masters Undergrad<br />
ship<br />
[5] Students Students Non-REU<br />
Team[4]<br />
REU<br />
Students<br />
Leader-<br />
ship<br />
Team[4]<br />
Faculty<br />
[5]<br />
Doctoral<br />
Students<br />
Masters<br />
Students<br />
Undergrad<br />
Non-REU<br />
REU<br />
Students<br />
Leader-<br />
ship<br />
Team[4]<br />
Faculty<br />
[5]<br />
Doctoral Masters Undergrad<br />
Students Students Non-REU<br />
Center<br />
Total 14 29 29 5 42 15 0 7 28 8 1 0 0 0 7 0 0 0<br />
REU<br />
Students<br />
Women<br />
Category<br />
Total 6 10 6 3 13 7 0 0 9 2 0 0 0 0 0 0 0 0<br />
Center<br />
Percent 42.9% 34.5% 20.7% 60.0% 31.0% 46.7% 0 0.0% 32.1% 25.0% 0.0% 0 0 0 0.0% 0 0 0<br />
National<br />
Percent<br />
[1][2] N/A 13.8% 23% 20.2% 18.7% N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A<br />
Underrepresented Racial Minorities<br />
Category<br />
Total 3 4 3 4 17 1 0 0 0 2 1 0 0 0 0 0 0 0<br />
Center<br />
Percent 21.4% 13.8% 10.3% 80.0% 40.5% 6.7% 0 0.0% 0.0% 25.0% 100.0% 0 0 0 0.0% 0 0 0<br />
National<br />
Percent<br />
[1][2] N/A 3% 4.7% 5.8% 6.3% N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A<br />
Hispanic/Latinos<br />
Category<br />
Total 2 0 4 2 3 6 0 0 2 0 0 0 0 0 0 0 0 0<br />
Center<br />
Percent 14.3% 0.0% 13.8% 40.0% 7.1% 40.0% 0 0.0% 7.1% 0.0% 0.0% 0 0 0 0.0% 0 0 0<br />
National<br />
Percent<br />
[1][2] N/A 3.8% 5.5% 8.6% 10.9% N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A<br />
Persons With Disabilities<br />
Category<br />
Total 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0<br />
Center<br />
Percent 7.1% 0.0% 0.0% 0.0% 0.0% 0.0% 0 0.0% 0.0% 0.0% 0.0% 0 0 0 0.0% 0 0 0<br />
National<br />
Percent<br />
[1][2] [3] N/A 5.3% 3.3% 3.3% 10% N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A<br />
[1] The National Percents for Underrepresented Racial Minorities and Hispanic/Latinos are based only on U.S. citizens and permanent residents. The National Percents for Women and<br />
Persons With Disabilities disregard citizenship.<br />
[2] National Percents are from the following years: Women - 2011, Underrepresented Racial Minorities - 2011, Hispanic/Latinos - 2011, and Persons with Disabilities - 2008.<br />
[3] The National Percents shown above for Persons with Disabilities for Doctoral Students and Masters Students are from the National Percent for Graduate Students (Masters and<br />
Doctoral students combined).<br />
[4] Leadership Team includes Directors, Thrust Leaders, Education Program Leaders, Industrial Liason Officer, Administrative Director, and Research Thrust Management and Strategic<br />
Planning.<br />
[5] Faculty includes Research - Senior Faculty, Research - Junior Faculty, Research - Visiting Faculty, Curriculum Development and Outreach - Senior Faculty, Curriculum Development<br />
and Outreach - Junior Faculty, and Curriculum Development and Outreach - Visiting Faculty.<br />
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Table 7a Summary: Count of ERC Personnel<br />
Faculty<br />
Post Docs<br />
UG Non-REU<br />
REU<br />
Students<br />
Doctoral<br />
Graduate<br />
Masters<br />
Non-RET<br />
Teachers<br />
Other [6]<br />
36 6 43 15 64 13 0 11 36 32 259<br />
RET<br />
Young<br />
Scholars<br />
Total<br />
[6] Other includes Industrial Liaison Officer, Administrative Director, Research Thrust Management and Strategic Planning, Staff, Research - Industry Researchers, Research -<br />
Other Visiting College Students, Research - Research Staff, Curriculum Development and Outreach - Industry Researchers, Curriculum Development and Outreach - Other<br />
Visiting College Students and Curriculum Development and Outreach - Staff.<br />
Averages<br />
National Engineering Averages 2011<br />
All ERC's 2012<br />
Percentage for ERC for Integrated Access Networks (<strong>CIAN</strong>)<br />
at University of Arizona 2013<br />
Leadership Team Faculty Graduate Undergraduate<br />
N/A 13.8% 21.2% 18.7%<br />
32.3% 22.2% 25.7% 34.2%<br />
42.9% 27.8% 26% 33.9%<br />
[1] The Leadership Team includes Directors, Thrust Leaders, Industrial Liaison Officer,<br />
Education Program Leaders, Administrative Directors, and Research Thrust Management and<br />
Strategic Planning.<br />
[2] Faculty includes Research - Senior Faculty, Research - Junior Faculty, Research - Visiting<br />
Faculty, Curriculum Development and Outreach - Senior Faculty, Curriculum Development and<br />
Outreach - Junior Faculty, and Curriculum Development and Outreach - Visiting Faculty.<br />
[3] Graduate students include Doctoral and Master's students.<br />
[4] Undergraduate students include non-REU and REU students.<br />
[5] Total counts include personnel regardless of citizenship status.<br />
[6] The number of personnel for whom gender was not reported are not excluded from the<br />
percentage calculations.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 249
Averages<br />
National Engineering Averages 2011<br />
All ERC's 2012<br />
Domestic Percentage for ERC for Integrated<br />
Access Networks (<strong>CIAN</strong>) at University of Arizona<br />
2013<br />
Foreign Percentage for ERC for Integrated<br />
Access Networks (<strong>CIAN</strong>) at University of Arizona<br />
2013<br />
Leadership Team Faculty Graduate Undergraduate<br />
N/A 3% 5.4% 6.3%<br />
9.9% 7.7% 9.7% 26.8%<br />
21.4% 13.8% 20.6% 32.7%<br />
0% 0% 5.6% 100%<br />
[1] The Leadership Team includes Directors, Thrust Leaders, Industrial Liaison Officer, Education Program Leaders,<br />
Administrative Directors, and Research Thrust Management and Strategic Planning.<br />
[2] Faculty includes Research - Senior Faculty, Research - Junior Faculty, Research - Visiting Faculty, Curriculum<br />
Development and Outreach - Senior Faculty, Curriculum Development and Outreach - Junior Faculty, and Curriculum<br />
Development and Outreach - Visiting Faculty.<br />
[3] Graduate students include Doctoral and Master's students.<br />
[4] Undergraduate students include non-REU and REU students.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 250
Figure 7d. Hispanic / Latinos in the ERC<br />
Averages<br />
National Engineering Averages 2011<br />
All ERC's 2012<br />
Domestic Percentage for ERC for Integrated Access<br />
Networks (<strong>CIAN</strong>) at University of Arizona 2013<br />
Foreign Percentage for ERC for Integrated Access<br />
Networks (<strong>CIAN</strong>) at University of Arizona 2013<br />
Leadership Team Faculty Graduate Undergraduate<br />
N/A 3.8% 7.5% 10.9%<br />
7.4% 7.5% 10.8% 12.4%<br />
14.3% 0% 17.6% 16.4%<br />
0% 0% 5.6% 0%<br />
[1] The Leadership Team includes Directors, Thrust Leaders, Industrial Liaison Officer, Education Program Leaders, Administrative Directors,<br />
and Research Thrust Management and Strategic Planning.<br />
[2] Faculty includes Research - Senior Faculty, Research - Junior Faculty, Research - Visiting Faculty, Curriculum Development and Outreach -<br />
Senior Faculty, Curriculum Development and Outreach - Junior Faculty, and Curriculum Development and Outreach - Visiting Faculty.<br />
[3] Graduate students include Doctoral and Master's students.<br />
[4] Undergraduate students include non-REU and REU students.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 251
Averages<br />
National Engineering Averages 2008<br />
All ERC's 2012<br />
Percentage for ERC for Integrated Access<br />
Networks (<strong>CIAN</strong>) at University of Arizona<br />
2013<br />
Leadership Team Faculty Graduate Undergraduate<br />
N/A 5.3% 3.3% 10%<br />
3.1% 1.9% 0.6% 2.2%<br />
7.1% 0% 0% 0%<br />
[1] The Leadership Team includes Directors, Thrust Leaders, Industrial Liaison Officer, Education Program<br />
Leaders, Administrative Directors, and Research Thrust Management and Strategic Planning.<br />
[2] Faculty includes Research - Senior Faculty, Research - Junior Faculty, Research - Visiting Faculty,<br />
Curriculum Development and Outreach - Senior Faculty, Curriculum Development and Outreach - Junior<br />
Faculty, and Curriculum Development and Outreach - Visiting Faculty.<br />
[3] Graduate students include Doctoral and Master's students.<br />
[4] Undergraduate students include non-REU and REU students.<br />
[5] Total counts include personnel regardless of citizenship status.<br />
[6] The number of personnel for whom disability was not reported are not excluded from the percentage<br />
calculations.<br />
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Table 7f: Center Diversity, by Institution<br />
Underrepresented<br />
Institution<br />
Women Racial Minorities Hispanics [1] [3]<br />
[1] [2]<br />
Number Percent Number Percent Number Percent<br />
Lead Institution<br />
University of Arizona 14 25% 6 15% 7 17%<br />
Core Partners<br />
California Institute of Technology 3 30% 0 0% 1 17%<br />
Columbia University 7 35% 1 9% 2 18%<br />
Norfolk State University 10 53% 17 89% 0 0%<br />
University of California Berkeley 3 30% 0 0% 0 0%<br />
University of California San Diego 14 31% 3 9% 2 6%<br />
University of Southern California 0 0% 0 0% 1 33%<br />
Collaborating Institutions<br />
Arizona Center for Innovation 1 100% 0 0% 0 0%<br />
Cornell University 1 25% 0 0% 0 0%<br />
Tuskegee University 6 46% 7 78% 0 0%<br />
University of California Los Angeles 1 14% 0 0% 1 25%<br />
Non-ERC Institutions Providing REU Students<br />
Arizona State University 1 100% 0 0% 0 0%<br />
California Polytechnic State University, San Luis Obispo 0 0% 0 0% 1 100%<br />
California State Polytechnic University, Pomona 0 0% 0 0% 1 100%<br />
Southwestern Indian Polytechnic Institute 0 0% 1 100% 0 0%<br />
SUNY Binghamton University 1 100% 0 0% 0 0%<br />
The University of Texas at El Paso 0 0% 0 0% 1 100%<br />
University of California Riverside 1 100% 0 0% 0 0%<br />
University of Denver 1 100% 0 0% 0 0%<br />
University of Puerto Rico at Bayamón 1 100% 0 0% 0 0%<br />
University of Puerto Rico Rio Piedras 0 0% 0 0% 1 100%<br />
Precollege Partners<br />
Flagstaff Unified School District 1 100% 1 100% 0 0%<br />
High Tech High Chula Vista 1 100% 0 0% 0 0%<br />
Hoover High School, San Diego State University 0 0% 0 0% 0 0%<br />
Lapwai 1 100% 0 0% 0 0%<br />
Muckleshoot Tribal School 1 100% 1 100% 0 0%<br />
Nixyaawii Community School 0 0% 0 0% 0 0%<br />
Norfolk Public Schools 1 100% 1 100% 0 0%<br />
The Accelerated School 1 100% 0 0% 0 0%<br />
Valley Christian High School 0 0% 0 0% 0 0%<br />
Vechij Himdag Alternative School 0 0% 1 100% 0 0%<br />
Window Rock Unified School 1 100% 1 100% 0 0%<br />
Foreign Partners<br />
Korea Advance Institute of Science and Technology 0 0% 0 0% 0 0%<br />
Technische Universitat Darmstadt 0 0% 0 0% 0 0%<br />
University of Eastern Finland 0 0% 0 0% 0 0%<br />
Community Colleges<br />
Pima Community College 1 50% 0 0% 0 0%<br />
San Diego City College 1 100% 0 0% 1 100%<br />
NSF Diversity Program Collaborations (NSF Diversity Program Collaborations)<br />
American Materials and Indian Devices languauge for Information development Technology Institute (AILDI) 2 100% 2 100% 0 0%<br />
Research 1 100% 0 0% 1 100%<br />
Native American Science and Engineering Program 1 100% 1 100% 0 0%<br />
[1] - This data only includes U.S. Citizens and Legal Permanent Residents.<br />
[2] - Underrepresented Racial Minorities is a sum of all personnel entered in the following categories: American Indian or<br />
Alaska Native, Black or African American, Native Hawaiian or Other Pacific Islander, or More than one race reported,<br />
minority.<br />
[3] - Hispanics is a sum of all U.S. Citizens that are indicated to be of hispanic ethnicity.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 253
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 254
MANAGEMENT EFFORT<br />
<strong>CIAN</strong>’S MANAGEMENT Organization is structured to: (1) select, focus, and direct research activities; (2)<br />
manage the ERC’s technical and other relationships among participants, with other institutions, and with<br />
the public; (3) plan, select, develop, and evaluate educational and outreach programs and mentorship<br />
activity; (4) enhance industrial membership, including small companies; (5) encourage and foster the<br />
development of intellectual property derived from <strong>CIAN</strong>’s translational research with an ultimate goal to<br />
create new start-up companies and jobs; and (6) encourage and create a culture of innovation and<br />
entrepreneurship in the Center. The management structure of <strong>CIAN</strong> has not changed over the last year<br />
and can be seen in Figure 7.1.<br />
Management Team<br />
Leadership of the <strong>CIAN</strong> ERC is provided by Center Director, Dr. Nasser Peyghambarian; Deputy Director,<br />
Dr. Yashaiahu Fainmen, and Administrative Director, Dr. Alan Kost. This leadership team coordinates,<br />
directs, and delegates authority to various committees; Thrusts leads; Working Groups leads; Testbed<br />
Leads; the Industrial Liaison Officer; Project Investigators; the Education, Outreach, and Diversity<br />
Directors; and the Student Leadership Council. The leadership team also receives independent guidance<br />
from Industrial and Scientific Advisory Boards and a Dean’s Council. The key management groups are<br />
described below.<br />
Executive Committee (EC)<br />
This committee holds monthly teleconferences and includes the Center Director, Deputy Director, the<br />
Administrative Director, the research Thrust leads and co-leads, The Working Group leads and co-leads,<br />
the Education/Outreach Director, the Pre-college Education Director, the Diversity Director and co-<br />
Director, the Industrial Liaison Officer, the Testbed Director, and the President of the Student Leadership<br />
Council. The Executive Committee makes general decisions regarding research budgets, Testbed<br />
development and usage of facilities. The Executive Committee directs manpower and resources as<br />
needed to support the vision, mission, and strategic research plan for the Center. The Executive<br />
Committee sets goals and dates for the Industrial Advisory Board meetings, site visits, and other ERC<br />
events. The Executive Committee works with the Industrial Liaison Officer to define strategy for<br />
interaction with industry and technology transfer. The Executive Committee also makes decisions<br />
concerning strategy for education and outreach. The presence of the President of the Student Leadership<br />
Council on the Executive Committee gives the students a voice in Center operations<br />
Technical Program Committee (TPC)<br />
This committee which is chaired by the Deputy Director includes the Thrust leads and co-leads, the<br />
Working Group leads and co-leads, and the Testbed Directors. The TPC is charged with fostering the<br />
systems level vision and direction of <strong>CIAN</strong>. It does so in conjunction with <strong>CIAN</strong>s Working Groups. The<br />
committee examines and formulates new research initiatives within the Center that form the basis of<br />
future research areas. All center projects are reviewed critically by this committee following a rating<br />
system based on the following metrics: industrial endorsement, intellectual merit, transformational<br />
character, synergy across Thrusts, connection to the Working Groups, plans for Testbed insertion,<br />
broader impact, student participation, and balance between short-term and long-term goals. The TPC<br />
regularly assesses the quality and impact of the various projects in progress, and guides the research<br />
efforts to best achieve <strong>CIAN</strong>’s transformational system level goals. The TPC also determines which<br />
Projects should be graduated, funded, or dropped.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 255
Figure 7.1. <strong>CIAN</strong>’s Managerial Organizational Chart<br />
Working Groups (WGs)<br />
In order to foster collaborations between <strong>CIAN</strong> investigators and projects vertically across Thrusts, <strong>CIAN</strong><br />
has formed two Working Groups: WG1 - Scalable and Energy Efficient Data Centers and WG2 – Crosslayer<br />
Intelligent Access/Aggregation Networks. The Working Groups examine the key technical<br />
challenges for future data centers and aggregation networks and create multi-project research threads<br />
that address the Center’s system level goals in these areas. Each Working Group has a faculty lead and<br />
co-lead. Much of the day-to-day collaboration and coordination activities within the working group is<br />
performed by the graduate students and post-docs as shown in Figure 7.2. This structure allows the<br />
students and postdocs to contribute in the activities of all three thrusts and gain an all-encompassing view<br />
of Center strategic plan.<br />
Each faculty research group selects a student representative. The student representatives and two<br />
postdoc coordinators hold teleconferences twice a month to define and implement the collaborative crossthrust<br />
research threads. The postdoc coordinators discuss progress with the faculty lead and co-lead,<br />
who in turn discuss progress with the Executive Committee during the EC’s monthly teleconference.<br />
Testbed Director, John Wissinger, chairs a committee charged with managing the <strong>CIAN</strong> Testbed and<br />
advises the Executive Committee and the Center Director about <strong>CIAN</strong> Testbed needs, including<br />
requirements for capital equipment purchases and testbed maintenance. The Testbed Director, after<br />
discussions with the Thrust and Working Group leaders, presents plans for the testbed designs and a<br />
schedule for testbed insertions to the Technical Program Committee for approval.<br />
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Executive<br />
Committee<br />
Faculty<br />
Research<br />
Group<br />
Faculty<br />
Research<br />
Group<br />
Faculty<br />
Leaders<br />
Postdoc<br />
Coordinators<br />
Student<br />
Student<br />
...<br />
Student<br />
Student<br />
Working<br />
Group<br />
Faculty<br />
Research<br />
Group<br />
Faculty<br />
Research<br />
Group<br />
Figure 7.2. The structure of a <strong>CIAN</strong><br />
Working Group.<br />
Thrust Leads and Co-leads<br />
<strong>CIAN</strong> is organized into three Thrusts: Thrust 1 - Optical<br />
Communication Systems and Networks, Thrust 2 -<br />
Subsystems Integration and Silicon Nanophotonics, and<br />
Thrust 3 - Device Physics and Fundamentals. Within<br />
Thrust 1, the two WGs define the two high level system<br />
level projects: data centers and access aggregation<br />
network. Within Thrust 2, projects are in the Silicon<br />
Photonics, heterogeneous integration, monolithic<br />
integration, silicon photonic manufacturing and Optical<br />
Spice Software Development and Measurement Systems.<br />
Thrust 3 contains two major projects in the areas of optical<br />
sources and optical switches/modulators.<br />
Industry Advisory Board (IAB)<br />
The IAB is comprised of individuals from companies that<br />
have become Industrial affiliates of <strong>CIAN</strong>. The IAB<br />
provides feedback on projects and Center’s strategic<br />
research plan that is used by the Executive Committee and<br />
Technical Program Committee to guide the allocation of<br />
Center resources. The IAB reviews the Center’s progress<br />
and prepares a SWOT analysis for the Center at an annual<br />
IAB Meeting. The IAB also participates in teleconferences every two months with the Industrial Liaison<br />
Officer and other <strong>CIAN</strong> personnel.<br />
Strategic Advisory Board (SAB)<br />
The SAB plays a central role in the development and oversight of <strong>CIAN</strong>, keeping the focus on providing<br />
transformational research initiatives. The SAB consists of internationally known experts from academia,<br />
government, and industry and assists the Center Director on the technical aspects of managing the<br />
research program and helps define the best most relevant high-level goals. The SAB members are listed<br />
in Table 7.1 below. The Strategic Advisory Board meets with <strong>CIAN</strong> participants twice a year, a one-day<br />
meeting at the Optical Fiber Conference and at the site visit. Frequent correspondence between the SAB<br />
members and the Center Director and Deputy Director is the norm. The SAB also provides a SWOT<br />
analysis of the Center.<br />
Table 7.1 <strong>CIAN</strong>’s Strategic Advisory Board (SAB)<br />
Name Title Organization (Department or<br />
Division)<br />
Ravi Athale Principal Scientist and Emerging Technology Office<br />
Department Head<br />
Institution or Firm<br />
Mitre<br />
Peter Chang Group Leader High Bandwidth Device Intel<br />
Hossein Chairman and CEO 2020 Venture Partners ATT<br />
Eslambochi<br />
Shahab Etemad Chief Scientist and Applied Research<br />
Telcordia<br />
Director<br />
Elsa Garmire Professor Thayer School of Engineering Dartmouth College<br />
Ekaterina<br />
Golovchenko<br />
Director Transmission Design Tyco Telecommunications,<br />
Ltd.<br />
Kaveh Hushyar CEO (Former Sr. VP<br />
of ATT)<br />
Telemetria<br />
Technologies, Inc.<br />
Robert Leheny Former Director,<br />
DARPA<br />
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Fred<br />
Leonberger<br />
Formerly CTO-JDSU<br />
EOVation<br />
Technology, LLC<br />
Karen Liu Vice President Components Ovum RHK<br />
Frederick B.<br />
McCormick<br />
Manager<br />
Applied Photonics Microsystems<br />
Dept.<br />
Sandia National<br />
Laboratories<br />
Sumit Roy Professor Communications and Networking University of<br />
Washington<br />
Elias Towe Albert and Ethel Materials Science and Engineering Carnegie Mellon<br />
Grobstein Memorial<br />
Professor<br />
& Electrical and Computer<br />
Engineering<br />
Cardinal Warde Professor Electrical Engineering and<br />
Computer Science<br />
MIT<br />
Council of Deans<br />
The Council is comprised of the College Deans from <strong>CIAN</strong>’s core institutions who meet annually at the<br />
site visit to ensure that the Center is well integrated into the academic programs of the participating<br />
universities, facilitate inter-university programs, and work with the ERC to enhance the curricula. The<br />
Dean’s Council would initiate a nation-wide search to find a prominent and suitable successor in case the<br />
Center Director could no longer serve. The Council also advises the Center Director on issues related to<br />
the coordination of consistency of <strong>CIAN</strong>’s plans and policies and their consistency with respect to the<br />
Universities’ education and research missions.<br />
Student Leadership Council (SLC)<br />
The role of the SLC is to provide a voice for students in the operation of the Center, to foster multi-<br />
University student collaboration, to emphasize the collective and cooperative nature of <strong>CIAN</strong> participation,<br />
and to provide students with access to career guidance. The SLC, which consists of both <strong>CIAN</strong><br />
undergraduate and graduate students, is led by a student President. Each partner University also has a<br />
designated SLC lead. The SLC coordinates a wide range of student activities including participation in<br />
education, outreach, and industrial collaboration events. The SLC advises the Center Director on student<br />
concerns, and the SLC President is a member of the Executive Committee. The SLC holds student<br />
retreats where students discuss each other’s research. The SLC also arranges for speakers at various<br />
<strong>CIAN</strong> events to discuss topics such as intellectual property and patents, innovation and entrepreneurship,<br />
and technical writing. The SLC also fosters student participation in the Working Groups.<br />
Management Methods<br />
Project Review Process<br />
An internal project review is conducted annually to determine which projects should be continued, which<br />
new projects should be funded, and which Projects should be graduated. The Technical Program<br />
Committee in consultation with the SAB and the IAB identifies research gaps, solicit proposals, proposes<br />
direction for broad research of the Center, and makes project recommendations to the Center Director.<br />
Ongoing Center projects are evaluated based on industrial endorsement, intellectual merit,<br />
transformational character, synergy across Thrusts, connection to the Working Groups, plans for testbed<br />
insertion, broader impact, student participation, and balance between short-term and long-term goals.<br />
In year 5 we kept the number of major projects to 13. Some of the projects are in clusters to promote<br />
collaboration among investigators.<br />
Administrative Meetings<br />
The Administrative Director leads teleconferences as needed with administrative support staff at the lead<br />
and partner Universities, the Finance Director, Education Director, Industrial Liaison Officer, the SLC<br />
President, the Testbed lead, and the Information Technology Manager. This team discusses site<br />
coordination, financial management, compliance with NSF and University policies, communication tools,<br />
event coordination, and other issues related to the operation of the Center. The Administrative Director,<br />
Financial Director, and accounting staff keeps abreast of NSF financial reporting and expense<br />
management policies, and ensures that all subcontrators are following the policies.<br />
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Allocation of Funds Among Partner Universities<br />
Funding allocations in each budget year are determined by the TPC and the Center Director. Program<br />
funding is based upon the strategic plan and the staff and financial resources needed to conduct the<br />
centers various research programs and efforts. The lead and partner institutions then submit summary<br />
budgets with budget justifications and statements of work. Budgets and justifications are also submitted<br />
by administrative, education, industry, and diversity personnel. A consolidated budget is prepared and the<br />
final budget allocations are decided by the Center Director and Administrative Director.<br />
Assessment of <strong>CIAN</strong> Programs<br />
The Technical Program and Executive Committees provide regular internal assessments of the overall<br />
quality of <strong>CIAN</strong>’s research, education, and industry programs. <strong>CIAN</strong>’s Working Groups evaluate research<br />
quality based on their mission to foster cross-Thrust collaboration. The Thrust leads and co-leads also<br />
assess their research project portfolios based on impact on the <strong>CIAN</strong> mission, cross-Thrust collaboration,<br />
and intra-Thrust collaboration. Independent assessment of <strong>CIAN</strong> programs is provide by the Scientific<br />
and Industrial Advisory Boards by way of frequent oral and written communications as well as annual<br />
SWOT analyses. The Industrial Advisory Board also provides feedback during the IAB teleconferences<br />
held every two months. The metrics for assessment of programs is similar to those used to evaluate<br />
individual projects. Identification and assessment the contributions of <strong>CIAN</strong>’s Associated Projects to the<br />
Center’s overall goals are carried out primarily by the Center’s Industrial Liaison Officer in conjunction<br />
with <strong>CIAN</strong> investigators. An evaluation of the benefits provided to students by the Center is carried out by<br />
the Student Leadership Council and communicated to the Executive Committee by the President of the<br />
SLC. Finally, <strong>CIAN</strong> also solicits feedback on Center programs from REU an RET participants.<br />
Selection of <strong>CIAN</strong> Research Team Members<br />
Formation of the research team, including research outreach, is determined by the Director and Deputy<br />
Director and the Thrust leads and co-leads. The Technical Program Committee and the Executive<br />
Committee are also involved in this function.<br />
Coordination of REU and RET Programs<br />
Integration of <strong>CIAN</strong> related Research Experiences for Undergraduates (REU) and Research Experiences<br />
for Teachers (RET) summer programs at the University of Arizona and the partner universities is handled<br />
by <strong>CIAN</strong>’s REU/RET Site Director, Education Director, Education Coordinators at partner universities,<br />
Diversity Director, and Pre-College Education Director, with help from <strong>CIAN</strong> faculty and other <strong>CIAN</strong><br />
management. These personnel strive to bring research experiences for undergraduates to students with<br />
diverse research capabilities and interests, and to encourage undergraduates to continue their education<br />
as graduate students. A range of career preparation is offered to REU participants to supplement their 10-<br />
week research projects, including GRE-prep, ethics training, technical writing, and public speaking<br />
classes. Most of these additional activities are shared with other non-<strong>CIAN</strong> REU programs at the<br />
Universities. Students summarize their research activities in a capstone presentation to the campus<br />
community and REU participants from other departments. Each summer <strong>CIAN</strong> also invites STEM K-12<br />
and community college teachers to campus as a part of the RET program Research in Optical<br />
Communication for K-14 Educators and Teachers (ROCKET). The Center aims to update the RET<br />
participant's perception of the real-world impact of collegiate research, as well as support the teachers'<br />
objective to bring this experience back to their classrooms. All RET teachers complete a research project<br />
designed to increase their scientific competency. The relationships developed while the teachers are on<br />
campus result in collaborations that last much longer than the summer experience. <strong>CIAN</strong> students visit<br />
the RET participants classrooms for demonstrations, for career fairs, and for tutoring. <strong>CIAN</strong> also host<br />
tours of its laboratories for RET participants’ students.<br />
Statement of Postdoctoral Mentoring Activities<br />
Mentoring activities for postdoctoral researcher that are supported by the center is provided primarily by<br />
the faculty member to whom the postdoctoral researcher reports. The mentoring plan included in<br />
Appendix II at the end of this <strong>Volume</strong> is provided to faculty hiring postdocs in order to provide uniform<br />
guidance for mentoring.<br />
An important part of <strong>CIAN</strong> mentoring activities is the guidance that it provides students in its Research<br />
Experience for Undergraduates (REU) Program, named Integrated Optics for Undergraduates (IOU), the<br />
Young Scholars program for high school researchers, and the Research in Optical Communication for K-<br />
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14 Educators and Teachers (ROKET), which is <strong>CIAN</strong>’s Research Experience for Teachers (RET)<br />
program. The goals of these programs are to expand student participation and interest in optics; to<br />
develop a diverse and internationally competitive pool of undergraduates and graduate students with<br />
cross-disciplinary perspectives on photonic communication research; and to encourage undergraduate<br />
students to pursue graduate school studies and professional careers in science and engineering.<br />
Mentoring is also provided to the teachers in our summer RET program. Mentoring is performed by the<br />
faculty, post-docs, and graduate students that oversee the work of the undergraduates, teachers, and<br />
high school students. All graduate students that mentor the Young Scholars, REUs and RETs experience<br />
the added benefit of creating long term relationships and learning the beginning steps of how to manage<br />
their own future research groups, such as guiding students in managing a research project, training them<br />
in the use of equipment, motivating them when experiments don’t go as planned, and mentoring them in<br />
writing a research paper and poster. Our graduate students and post-docs are provided with mentor<br />
training, and some are compensated with a stipend of approximately $1,000. The mentors have stated in<br />
surveys that they felt the mentoring experience was a personal benefit to them in terms of both their own<br />
research and professional development. The graduate student mentors also often stated that this was a<br />
method which allowed them to reflect on their own teaching.<br />
Information Management<br />
<strong>CIAN</strong> has a Manager of Information Technology who oversees and coordinates all information technology<br />
efforts of this large matrix structured center. This includes development, implementation and maintenance<br />
of <strong>CIAN</strong>’s public interface. The Manager is also in charge of the design, development and execution of<br />
<strong>CIAN</strong>’s state-of-the-art Super-Course and its integration with the University of Arizona’s E-Learning<br />
management system. The Manager maintains <strong>CIAN</strong>’s relational database, a source and archive for<br />
<strong>CIAN</strong>’s research, education, industry, financial, and demographic data. <strong>CIAN</strong>’s data gathering site assists<br />
in accumulating all output and activities produced by Center faculty throughout the year. Other activities<br />
of the Manager of Information Technology include maintenance and troubleshooting of the Center’s<br />
MSSQL server, maintenance of the <strong>CIAN</strong> IIS Web Server, maintenance of <strong>CIAN</strong> COLDFUSION server,<br />
maintenance and monitoring of <strong>CIAN</strong>’s backup server, maintenance and troubleshooting of <strong>CIAN</strong>’s virtual<br />
server at the University of Arizona’s information technology service, and management of the <strong>CIAN</strong>’s<br />
audio/visual and teleconferencing needs. The IT Manager reports directly to the Administrative Director<br />
and attends the Executive Committee and Administrative group meetings.<br />
Ethics Training<br />
<strong>CIAN</strong> conducts periodic ethics training for its personnel, including discussion of fair treatment of<br />
intellectual property, in order to achieve a superior level of the ethical conduct.<br />
Conflict of Interest<br />
Faculty such as the <strong>CIAN</strong> Director at UA and the Deputy Director at UCSD and others that are involved in<br />
start-up firms, are never involved in a funding decision that might be beneficial or detrimental to their firm.<br />
This is in accordance with the conflict of interest policy of the University of Arizona which is included in the<br />
<strong>Volume</strong> I, Appendix II. All such situations within the ERC are handled based on this policy. If a funding<br />
decision arises where a member of the ERC leadership team is involved with a start-up firm, he or she<br />
must recues themselves from this decision.<br />
Technology Transfer Management<br />
The Office of Technology Transfer at the University of Arizona and corresponding offices at the partner<br />
Universities help foster effective interactions with industry and coordinate a coherent intellectual property<br />
(IP) policy for the Center. These offices work closely with <strong>CIAN</strong>’s Industrial Liaison officer. The former<br />
Administrative Director for <strong>CIAN</strong> is now a licensing specialist in the University of Arizona’s Office of<br />
Technology Transfer. <strong>CIAN</strong> also fosters transfer of technology to small start-up businesses through its<br />
collaboration with the Arizona Center for Innovation (AzCI) at the University of Arizona Science and<br />
Technology Park. AzCI and its partner companies are led by Joann MacMaster, Director, and Bruce<br />
Wright, Vice President for University Research Parks at the University of Arizona.<br />
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Selection of SEED Grants<br />
<strong>CIAN</strong> selects a small number of competitive seed projects based on the Center’s gap analysis and Center<br />
needs. In selecting seed projects <strong>CIAN</strong> also considers promoting young faculty advancement. The<br />
selection criteria are similar to those other <strong>CIAN</strong> projects and include relevance to center vision, industrial<br />
endorsement, intellectual merit/transformational, synergy across Thrusts, plans for Testbed insertion,<br />
broader impact, student participation, participation in the Center activities, and balance between longterm<br />
and short-term goals.<br />
Promotion of Diversity<br />
Diversity in research and education is managed by <strong>CIAN</strong>’s Diversity Director. The <strong>CIAN</strong> Diversity<br />
Fellowship Program provides up to $50,000 in funding for minority and/or female postdoctoral<br />
researchers. Additional information on the Diversity Fellowship can be found at: http://www.cianerc.org/fellow.cfm.<br />
In <strong>Year</strong> 5 <strong>CIAN</strong> applied and received an NSF Graduate Research Diversity<br />
Supplement for Cathy Chen as a continuation of her research Professor Keren Bergman’s research group<br />
at Columbia University.<br />
Evaluation of Education Program<br />
<strong>CIAN</strong> engages in systematic assessment and evaluation of its education programs. <strong>CIAN</strong> Education<br />
Director, Dr. Allison Huff, oversees the assessment and evaluation of the education programs. Dr. Huff<br />
has her master’s degree in Educational Psychology and her doctorate in Health Education. She has also<br />
served as the evaluation specialist for the United States Embassy Association’s Welfare Committee. Dr.<br />
Huff hired a doctoral student as a part-time assessment evaluation graduate assistant, Daniel<br />
Lamoreaux. The graduate student is pursuing his doctoral degree in School Psychology and has a strong<br />
academic background in data analysis, survey design/development of assessment tools, and reporting.<br />
Financial Management<br />
The <strong>CIAN</strong> ERC financial support, budget allocations, expenditures and fiscal planning are discussed in<br />
the following pages. The Functional Budged is presented in Table 8. This table does not include overhead<br />
figures. If the overhead is considered, in YR5, 51% of NSF and University Matching funds were directed<br />
towards the research program. This year the burdened funding research was: Thrust 1 - $1,132,000,<br />
Thrust 2 - $685,000, Thrust 3 - $730,000 and testbeds - $830,000, Education programs - $648,593 and<br />
administration/management - $459,203. Supplemental NSF funding of $25,000 was also provided for a<br />
student poster session at a <strong>CIAN</strong>-OIDA roadmapping workshop.<br />
STRATEGIC SELF-SUFFICIENCY BUSINESS PLAN<br />
The <strong>CIAN</strong> management team initiated discussions on a self-sufficiency/sustaining strategy as part of the<br />
overall strategic review at the retreat in October. The planning process focused on identifying two distinct<br />
funding areas: 1) research funding and 2) education, outreach and administrative funding. The research<br />
programs would be sustained by government or industrial funding targeted toward research programs in<br />
support of <strong>CIAN</strong>’s vision to provide ubiquitous end user access to emerging real time, on demand,<br />
network services at data rates up to 100 Gbps with high energy efficiency. While the research funds<br />
would provide support or the PIs and graduate students, they typically do not provide funds that can be<br />
used to support the administrative organization or the education and outreach goals of <strong>CIAN</strong> with the<br />
exception that professors and graduate students could participate in <strong>CIAN</strong> sponsored outreach. Funding<br />
for the education and outreach program would need to access a separate funding mechanism either<br />
grants from either national, state or local governments, private foundations, or membership fees from<br />
industrial partners.<br />
Research Funding<br />
The <strong>CIAN</strong> team identified several sources of multi-university funding including: Multidisciplinary<br />
University Research Initiative (MURI) grants from the Department of Defense, and topical programs<br />
supported by advanced projects authorities of the DOD and DOE. The MURI program is designed to<br />
support research by teams of investigators that intersect more than one traditional science and<br />
engineering discipline in order to accelerate both research progress and transition of research results to<br />
application. MURI awards fund at the rate of $1.5/year for five years. MURI grants are an excellent fit to<br />
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<strong>CIAN</strong> multi-university structure and focus on transitioning technology from the laboratory to industry for<br />
commercialization. <strong>CIAN</strong>’s world-class researchers have successfully competed and been awarded<br />
MURI grants in the past and feel that <strong>CIAN</strong>’s demonstrated ability to develop technology will place the<br />
team in a strong position to compete for future awards. The <strong>CIAN</strong> research team has also identified a<br />
number of potential multi-university/multi-discipline awards such as the DOE’s ARPA-e program for<br />
improved energy efficiency.<br />
In the past year, the <strong>CIAN</strong> research team has submitted two MURI proposals and one ARPA-E proposal<br />
as described in the table below:<br />
Funding<br />
Type<br />
MURI<br />
MURI<br />
ARPA-E<br />
Proposal Title<br />
Near-Field Nanophotonics<br />
for Energy Efficient<br />
Computing and<br />
Communication (NECom)<br />
Random Lasers and<br />
Rogue Waves in<br />
Plasmonic and<br />
Nanostructured Media<br />
Micro Data Center<br />
Networks for Smart<br />
Energy Economies<br />
Lead<br />
Organization<br />
UCSD<br />
Arizona State<br />
University<br />
Alcatel-<br />
Lucent<br />
Partner<br />
Organization(s)<br />
U. Arizona,<br />
USC, UCLA,<br />
UC Berkley<br />
U. Arizona,<br />
UCSD, USC<br />
U. Arizona,<br />
UCSD,<br />
Columbia<br />
<strong>CIAN</strong><br />
Funding<br />
level<br />
$1.5M /year<br />
for 5 years<br />
$910K /year<br />
for 5 years<br />
$500K /year<br />
for 3 years<br />
Funding<br />
Org.<br />
ONR<br />
ONR<br />
DOE<br />
The new research funding would replace the NSF funding beginning in Y9 and continuing for the 5 year<br />
duration of the MURI program. The center would also seek additional multi-university/multi-disciplinary<br />
funds from DARPA and ARPA-E based upon internet infrastructure improvements and energy efficiency<br />
improvements targeted by <strong>CIAN</strong> research programs.<br />
Non-Research Funding<br />
Funding to cover the non-research aspects of <strong>CIAN</strong> must be raised from different sources than those<br />
used to fund the research. The <strong>CIAN</strong> management team identified three funding sources that will be<br />
further evaluated during Y5.<br />
Educational Funding<br />
Educational funding to continue the REU and RET programs is available through a number of federal,<br />
state and local agencies. Federal agencies, such as National Science Foundation and Department of<br />
Education will be instrumental in <strong>CIAN</strong>’s education sustainability plan. For example, continued support of<br />
<strong>CIAN</strong>’s REU and RET programs will be sought from NSF; the Department of Education’s Native American<br />
Serving Non-Tribal Institutions Grant (NASNTI will be tangential in supporting <strong>CIAN</strong>’s education programs<br />
that serve the Native American population. Other state and local agencies, as well as our industry<br />
partners, will be integral to supporting <strong>CIAN</strong>’s education programs. <strong>CIAN</strong> has successfully received<br />
funding from NSF for its REU and RET site award, as well as the OIDA Workshop. It is <strong>CIAN</strong>’s belief that<br />
the compelling track record of success that has been demonstrated in the REU and RET programs will<br />
provide a substantial foundation for additional funding.<br />
Membership Funds<br />
A second avenue of funding is the <strong>CIAN</strong> Industrial Partner membership fees. <strong>CIAN</strong>’s goal is to maintain<br />
approximately 20 industrial affiliates through year 10 and into sustaining operation. <strong>CIAN</strong> current<br />
membership fee is $25,000 per year which should conservatively generate $400K in funding that could be<br />
used for various sustaining activities. The <strong>CIAN</strong> management would develop a hold-back strategy that<br />
would hold in reserve $125K/year for years 7-10 to create a $500K cushion to sustain the Center during<br />
the transition from NSF-funded operation into sustaining operation. The reserve fund would be spent<br />
over the first three years of sustaining operation.<br />
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Commercial Operations<br />
The <strong>CIAN</strong> management team explored several non-traditional concepts for sustaining funding. One<br />
concept that has been further developed is to create a corporation to integrate the combined IP and<br />
technical knowledge of the <strong>CIAN</strong> team into a commercial entity. The commercial entity called <strong>CIAN</strong><br />
Corp. or <strong>CIAN</strong>, Inc. would act as an incubator to accelerate the transition of <strong>CIAN</strong>’s technology from the<br />
lab to the commercial market. The goal would be for <strong>CIAN</strong>, Inc. to provide a streamlined entity that could<br />
provide the business, marketing and commercialization support to move <strong>CIAN</strong> technologies rapidly<br />
through the “valley of death” and toward commercial success. The optimal legal framework,<br />
organizational structure, and funding mechanisms are still evolving based on preliminary discussions with<br />
the NSF and potential industrial partners. <strong>CIAN</strong>, Inc. would provide “royalties” back to the sustaining<br />
<strong>CIAN</strong> ERC based upon the commercial success of the technology transfers. These royalties would be in<br />
addition to any license payments associated with the intellectual property. The <strong>CIAN</strong> management team<br />
will further develop this concept, including the organizational and legal structure during Y5 and, if the<br />
concept seems viable, present a business case to the NSF before the Y6 site meeting.<br />
Preliminary P&L<br />
The <strong>CIAN</strong> team has developed a preliminary profit and loss statement for Y9 through sustaining Y5. The<br />
P&L makes the following assumptions:<br />
<br />
<br />
<br />
<br />
<br />
<br />
In Y7-Y10 $125K/year of the <strong>CIAN</strong> IAB membership fees are reserved into a separate account<br />
that can be used for sustaining funding. This $500K will be used to fund leadership, educational,<br />
and innovation programs in sustaining year 1 through sustaining year 3.<br />
All Research Funding (MURI, Associated Projects, etc.) will fund research and not be used to<br />
fund leadership, education, or innovation activities.<br />
The <strong>CIAN</strong> multi-university team is awarded one or more MURI grants by Y9 and receives an<br />
additional multi-university grant in sustaining year Y3.<br />
<strong>CIAN</strong> is able to maintain an engaged IAB at the Y5 support level<br />
The associate project funding remains constant at approximately $1.5M/year<br />
To achieve self-sufficiency, Leadership expenses would need to be reduced by approximately<br />
50% from Y5 levels, and Educational and Innovation expenses would need to be reduced by 33%<br />
from Y5 levels.<br />
Table 7.2 presents the preliminary P&L developed by the team.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 263
Table 7.2 <strong>CIAN</strong> sustaining P&L<br />
Sustaining<br />
Y1<br />
Sustaining<br />
Y2<br />
Sustaining<br />
Y3<br />
Sustaining<br />
Y4<br />
Funding Y5 Y9 Y 10<br />
NSF ERC $4,000,000 $2,680,000 $1,795,000<br />
MURI Funding $1,500,000 $1,500,000 $1,500,000 $1,500,000 $1,500,000 $1,500,000<br />
Other Multi University $500,000 $500,000<br />
Reserve Drawdown $250,000 $150,000 $100,000 $0<br />
<strong>CIAN</strong>, Inc $0 $0 $50,000 $100,000 $150,000 $200,000 $200,000<br />
Membership $400,000 $400,000 $400,000 $400,000 $400,000 $400,000 $400,000<br />
Associated Projects $1,517,000 $1,500,000 $1,500,000 $1,500,000 $1,500,000 $1,500,000 $1,500,000<br />
Other Grants $620,000 $200,000 $200,000 $200,000 $200,000 $200,000 $200,000<br />
Total $6,537,000 $6,280,000 $5,445,000 $3,950,000 $3,900,000 $4,400,000 $4,300,000<br />
Expenses (includes indirect)<br />
Research $4,906,000 $5,050,000 $4,340,000 $3,000,000 $3,000,000 $3,500,000 $3,500,000<br />
Leadership/Admin $529,000 $405,000 $350,000 $330,000 $300,000 $300,000 $260,000<br />
Education $589,000 $475,000 $450,000 $440,000 $425,000 $425,000 $395,000<br />
Innovation $219,000 $225,000 $180,000 $180,000 $175,000 $175,000 $145,000<br />
Reserve Accumulation $294,000 $125,000 $125,000<br />
Total Expenses $6,537,000 $6,280,000 $5,445,000 $3,950,000 $3,900,000 $4,400,000 $4,300,000<br />
The funding mechanisms are shown graphically in Figure 7.3, and the expenses by category are shown<br />
in Figure 7.4.<br />
$7,000,000<br />
$7,000,000<br />
$6,000,000<br />
$6,000,000<br />
$5,000,000<br />
$4,000,000<br />
$3,000,000<br />
$2,000,000<br />
Other Grants<br />
Associated Projects<br />
Membership<br />
<strong>CIAN</strong>, Inc<br />
Reserve Drawdown<br />
Other Multi University<br />
MURI Funding<br />
NSF ERC<br />
$5,000,000<br />
$4,000,000<br />
$3,000,000<br />
$2,000,000<br />
Reserve Accumulation<br />
Innovation<br />
Education<br />
Leadership/Admin<br />
Research<br />
$1,000,000<br />
$1,000,000<br />
$0<br />
$0<br />
Figure 7.3 Sources of funding<br />
Figure 7.4 Expense by category<br />
Financial Tables<br />
Table 8: Current Award <strong>Year</strong> Functional Budget<br />
Funding from Associated Projects from <strong>CIAN</strong> industrial partners totaled $1,557,283 for this reporting<br />
period. Typically, a research faculty participant receives $100k in support while faculty members who are<br />
part of the management team receive $125k. A total of $448,890 was allocated to <strong>CIAN</strong>’s education,<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 264
outreach, and diversity programs. This includes support for a full time Education Director, as well as<br />
support for the Diversity Director and a part time Education Program and Diversity Manager. A total of<br />
$394,415 was allocated for administrative costs that include a full time Administrative Director, a full time<br />
Manager of Information Technology, a part-time Financial Manager, and an ERC Coordinator. $164,082<br />
was also allocated to cover the costs of a full-time ILO and a part-time Associate ILO for industrial<br />
membership.<br />
Figure 8a: Functional Budget as a Percentage of Direct Support<br />
Table 8b: Portion of Current Award <strong>Year</strong> Budget by Institution<br />
The majority of funds are directed to research and indirect costs with additional provisions for education<br />
and administration. Table 8b gives the current award year, <strong>Year</strong> 5, budget allocation by institution.<br />
Table 8c: Current Award <strong>Year</strong> Education Functional Budget (These figures do not include indirect costs)<br />
Pre-college Education Activities include $5,000 for the Native American Science and Engineering<br />
Program (NASEP), $4,000 for other outreach supplies and activities, and $4,457 for outreach-related<br />
travel.<br />
Student Leadership Council (SLC) funding consists of $6,000 for SLC travel grants, $6,030 for SLC travel<br />
to <strong>CIAN</strong>’s annual retreat, $6,000 for international travel grants, $3,026 for 4 professional development<br />
workshops at the <strong>CIAN</strong> <strong>Annual</strong> Retreat, $1,954 for entrepreneurship training, and $300 for a professional<br />
development workshop after the <strong>CIAN</strong> Site Visit.<br />
The budget for Young Scholars includes $11,600 for high school researchers and $15,000 for the<br />
Summer High School Apprenticeship Research Program (SHARP) at Berkeley where high school<br />
students have the opportunity participate in hands-on scientific research with graduate students.<br />
The REU budget consists of stipends for 4 students of $20,000, participant support for 4 students of<br />
$17,252, and $4,800 for mentor fellowships. This includes support for 10 students from site funds.<br />
The RET budget consists of stipends for 2 teachers ($10,800), participant support for 2 teachers ($9,700),<br />
$7,300 for mentor fellowships, $21,787 for salaries and benefits for program personnel and $728 for other<br />
direct programs costs.<br />
The assessment budget includes $25,000 for an evaluator at .5 FTE.<br />
Community College Activities consists of travel expense for various activities at local community colleges.<br />
The budget for other consists of salaries for the <strong>CIAN</strong> Education Director ($81,771), Education and<br />
Program Diversity Manager at .5 FTE (17,161), ERC Coordinator ($27,825), and undergraduate student<br />
assistant ($9,150). $3,700 is included for operations. $22,157 is for travel to NSF meetings, <strong>CIAN</strong><br />
meetings, and recruitment and outreach travel. $50,000 is included for stipends for the Undergraduate<br />
Research Fellowship Program. $23,764 is funding for 1 OIDA Workshop and consists of travel costs for<br />
students and invited speakers, facility costs and staff support of $1,236. $80,215 is UCSD’s education<br />
budget and includes salaries, travel, and communications.<br />
Table 9: Sources of Support<br />
Table 9a: History of the ERC Funding of the Center<br />
NSF support for <strong>CIAN</strong> for <strong>Year</strong> 5 was $4,025,000. <strong>CIAN</strong> leverages NSF funds with industry support and<br />
university cash cost share. The total cash cost share for the first five years of the program is projected to<br />
be $1,977.5k from the contributing organizations - the University of Arizona, University of California at<br />
San Diego, and University of California at Berkeley. In the current reporting period year <strong>CIAN</strong> has<br />
secured cash cost share of $395,500 (UA $250,000, UCSD $100,000, and UC Berkeley $45,000). <strong>CIAN</strong><br />
committed from the UA to hire three Center-related faculty members and has hired two so far. In its first 5<br />
years, <strong>CIAN</strong> has secured additional NSF awards of $3,970,437 bringing the total amount to $22,470,437.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 265
Table 9c: Funding for International Partner Universities<br />
Funding of Associated Project involving international partner universities totaled $105,700 from three<br />
institutions.<br />
Table 10: <strong>Annual</strong> Expenditures and Budgets<br />
Table 10 a: Unexpended Residual in the Current Award and Proposed Award <strong>Year</strong><br />
In <strong>Year</strong> 5, <strong>CIAN</strong> is projected to expend $2,090,679 on salaries and fringe benefits. General operating<br />
expenses will total $1,530,710 and indirect costs $1,104,111. <strong>CIAN</strong> continues to keep its residual funds to<br />
a manageable level.<br />
Table 11: Modes of Support, by Industry and Other Practitioner Organizations<br />
<strong>CIAN</strong> has $1,205,145 in received and promised support from its Industry Members – a 23% increase over<br />
<strong>Year</strong> 4 which was mainly due to an increase in associated projects. Non-member organizations have<br />
contributed an additional $728,594.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 266
Table 8: Current Award <strong>Year</strong> Functional Budget<br />
Function<br />
Direct Support<br />
Unrestricted<br />
Cash<br />
(Core<br />
Projects)<br />
Restricted<br />
Cash<br />
(Sponsored<br />
Projects)<br />
Direct<br />
Support<br />
Total<br />
Associated<br />
Projects<br />
Total<br />
Budget<br />
1) OPTICAL COMMUNICATION SYSTEMS<br />
AND NETWORKING $818,740 $0 $818,740 $485,409 $1,304,149<br />
2) SUBSYSTEM INTEGRATION AND<br />
SILICON NANOPHOTONICS $510,846 $0 $510,846 $185,000 $695,846<br />
3) DEVICE PHYSICS AND<br />
FUNDAMENTALS $535,427 $0 $535,427 $886,874 $1,422,301<br />
4) Testbed $677,937 $0 $677,937 $0 $677,937<br />
Research Total $2,542,950 $0 $2,542,950 $1,557,283 $4,100,233<br />
General Shared Equipment $0 $0 $0 $0 $0<br />
New Facilities/New Construction $0 $0 $0 $0 $0<br />
Leadership/Administration/Management $394,415 $0 $394,415 $0 $394,415<br />
Education Program Total $425,126 $23,764 $448,890 $0 $448,890<br />
Industrial Collaboration/Innovation Program $164,082 $0 $164,082 $0 $164,082<br />
Center Related Travel $13,000 $0 $13,000 $0 $13,000<br />
Residual Funds Remaining $294,434 $0 $294,434 N/A $294,434<br />
Indirect Cost $1,160,927 $1,236 $1,162,163 N/A $1,162,163<br />
Total $4,994,934 $25,000 $5,019,934 $1,557,283 $6,577,217<br />
Figure 8a: Functional Budget as a Percentage of Direct Support<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 267
Table 8b: Allocation of Current Award <strong>Year</strong> Budget, by Institution, FY 2013<br />
Institutional Distribution of Current Award <strong>Year</strong> Budget<br />
Institution<br />
Direct Cash Associated<br />
Projects<br />
Total Cash and<br />
Associated Projects<br />
Percent of Total<br />
Direct Cash<br />
Percent of Total<br />
Associated Projects<br />
University of Arizona $2,228,500 $618,295 $2,846,795 47% 40%<br />
UCSD $1,100,000 $403,908 $1,503,908 23% 26%<br />
USC $262,000 $150,000 $412,000 6% 10%<br />
UCLA $100,000 $100,000 2% 0%<br />
Caltech $150,000 $150,000 3% 0%<br />
UC Berkeley $295,000 $60,000 $355,000 6% 4%<br />
Columbia University $390,000 $100,000 $490,000 8% 6%<br />
Tuskegee University $100,000 $100,000 2% 0%<br />
NSU $100,000 $100,000 2% 0%<br />
U. Darmstadt $28,080 2%<br />
Aalto/U.E. Finland $182,000 12%<br />
KAIST $15,000 1%<br />
Grand Total $4,725,500 $1,557,283 $6,282,783 100% 100%<br />
Table 8c: Current Award <strong>Year</strong> Education Functional Budget<br />
Education Programs<br />
Unrestricted Cash<br />
OR Core Projects<br />
Direct Support<br />
Restricted Cash OR<br />
Sponsored Projects<br />
Direct<br />
Support<br />
Total<br />
Associated<br />
Projects<br />
Total<br />
Budget<br />
Precollege Education<br />
Activities $25,507 $0 $25,507 $0 $25,507<br />
University Education $0 $0 $0 $0 $0<br />
Student Leadership<br />
Council $33,020 $0 $33,020 $0 $33,020<br />
Young Scholars $11,600 $0 $11,600 $0 $11,600<br />
REU $42,052 $0 $42,052 $0 $42,052<br />
RET $50,315 $0 $50,315 $0 $50,315<br />
Assessment $35,709 $0 $35,709 $0 $35,709<br />
Community College<br />
activities $200 $0 $200 $0 $200<br />
Other $226,723 $23,764 $250,487 $0 $250,487<br />
Education Program<br />
Total $425,126 $23,764 $448,890 $0 $448,890<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 268
Table 9: Sources of Support<br />
Sep 1,<br />
Sources of 2008 - Aug<br />
Support 31, 2009<br />
Unrestricted Cash<br />
Government<br />
NSF Funding<br />
Sep 1,<br />
2009 - Aug<br />
31, 2010<br />
Sep 1,<br />
2010 - Aug<br />
31, 2011<br />
Sep 1,<br />
2011 - Aug<br />
31, 2012<br />
Sep 1, 2012 - Aug 31, 2013<br />
Received Promised<br />
Total<br />
Cumulative<br />
Total [1]<br />
NSF ERC Base<br />
Award $3,250,000 $3,500,000 $3,750,000 $4,000,000 $4,000,000 $0 $4,000,000 $18,500,000<br />
Other NSF (Not<br />
ERC Program) $0 $383,914 $113,352 $249,871 $0 $0 $0 $747,137<br />
TOTAL NSF<br />
FUNDING $3,250,000 $3,883,914 $3,863,352 $4,249,871 $4,000,000 $0 $4,000,000 $19,247,137<br />
Other U.S.<br />
Government<br />
(Not NSF) $0 $0 $0 $0 $0 $0 $0 $0<br />
State<br />
Government $0 $0 $0 $0 $0 $0 $0 $0<br />
Local<br />
Government $0 $0 $0 $0 $0 $0 $0 $0<br />
Foreign<br />
Government $0 $0 $0 $0 $0 $0 $0 $0<br />
Quasigovernment<br />
research<br />
organization $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL<br />
GOVERNMENT<br />
FUNDING $3,250,000 $3,883,914 $3,863,352 $4,249,871 $4,000,000 $0 $4,000,000 $19,247,137<br />
Industry<br />
U.S. Industry $0 $0 $80,000 $167,500 $50,000 $142,500 $192,500 $440,000<br />
Foreign Industry $0 $0 $80,000 $137,500 $50,000 $62,500 $112,500 $330,000<br />
Industrial<br />
Association $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL<br />
INDUSTRY<br />
FUNDING $0 $0 $160,000 $305,000 $100,000 $205,000 $305,000 $770,000<br />
University<br />
U.S. University $395,500 $395,500 $395,500 $395,500 $301,563 $93,937 $395,500 $1,977,500<br />
Foreign<br />
University $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL<br />
UNIVERSITY<br />
FUNDING $395,500 $395,500 $395,500 $395,500 $301,563 $93,937 $395,500 $1,977,500<br />
Other<br />
Private<br />
Foundation $0 $0 $0 $0 $0 $0 $0 $0<br />
Medical Facility $0 $0 $0 $0 $0 $0 $0 $0<br />
Non Profit $0 $0 $0 $0 $0 $0 $0 $0<br />
Venture<br />
Capitalist $0 $0 $0 $0 $0 $0 $0 $0<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 269
Other $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL<br />
OTHER<br />
FUNDING $0 $0 $0 $0 $0 $0 $0 $0<br />
Total<br />
Unrestricted<br />
Cash $3,645,500 $4,279,414 $4,418,852 $4,950,371 $4,401,563 $298,937 $4,700,500 $21,994,637<br />
Restricted Cash<br />
NSF Funding<br />
NSF ERC<br />
Program<br />
Special<br />
Purpose<br />
Awards and<br />
Supplements $0 $0 $24,300 $104,000 $25,000 $0 $25,000 $153,300<br />
Other NSF (Not<br />
ERC Program) $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL NSF<br />
FUNDING $0 $0 $24,300 $104,000 $25,000 $0 $25,000 $153,300<br />
Restricted Cash - Non Translational<br />
Government<br />
Other U.S.<br />
Government<br />
(Not NSF) $0 $0 $0 $0 $0 $0 $0 $0<br />
State<br />
Government $0 $0 $0 $0 $0 $0 $0 $0<br />
Local<br />
Government $0 $0 $0 $0 $0 $0 $0 $0<br />
Foreign<br />
Government $0 $0 $0 $0 $0 $0 $0 $0<br />
Quasigovernment<br />
research<br />
organization $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL<br />
GOVERNMEN<br />
T FUNDING $0 $0 $0 $0 $0 $0 $0 $0<br />
Industry<br />
U.S. Industry $0 $0 $0 $0 $0 $0 $0 $0<br />
Foreign<br />
Industry $0 $0 $0 $0 $0 $0 $0 $0<br />
Industrial<br />
Association $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL<br />
INDUSTRY<br />
FUNDING $0 $0 $0 $0 $0 $0 $0 $0<br />
University<br />
U.S. University $0 $0 $0 $0 $0 $0 $0 $0<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 270
Foreign<br />
University $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL<br />
UNIVERSITY<br />
FUNDING $0 $0 $0 $0 $0 $0 $0 $0<br />
Other<br />
Private<br />
Foundation $0 $0 $0 $0 $0 $0 $0 $0<br />
Medical Facility $0 $0 $0 $0 $0 $0 $0 $0<br />
Non Profit $0 $0 $0 $0 $0 $0 $0 $0<br />
Venture<br />
Capitalist $0 $0 $0 $0 $0 $0 $0 $0<br />
Other $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL<br />
OTHER<br />
FUNDING $0 $0 $0 $0 $0 $0 $0 $0<br />
Total<br />
Restricted<br />
Cash - Non<br />
Translational $0 $0 $0 $0 $0 $0 $0 $0<br />
Restricted Cash - Translational<br />
Government<br />
Other U.S.<br />
Government<br />
(Not NSF) $0 $0 $0 $0 $0 $0 $0 $0<br />
State<br />
Government $0 $0 $0 $0 $0 $0 $0 $0<br />
Local<br />
Government $0 $0 $0 $0 $0 $0 $0 $0<br />
Foreign<br />
Government $0 $0 $0 $0 $0 $0 $0 $0<br />
Quasigovernment<br />
research<br />
organization $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL<br />
GOVERNMEN<br />
T FUNDING $0 $0 $0 $0 $0 $0 $0 $0<br />
Industry<br />
U.S. Industry $0 $0 $0 $0 $0 $0 $0 $0<br />
Foreign<br />
Industry $0 $0 $0 $0 $0 $0 $0 $0<br />
Industrial<br />
Association $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL<br />
INDUSTRY<br />
FUNDING $0 $0 $0 $0 $0 $0 $0 $0<br />
University<br />
U.S. University $0 $0 $0 $0 $0 $0 $0 $0<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 271
Foreign<br />
University $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL<br />
UNIVERSITY<br />
FUNDING $0 $0 $0 $0 $0 $0 $0 $0<br />
Other<br />
Private<br />
Foundation $0 $0 $0 $0 $0 $0 $0 $0<br />
Medical Facility $0 $0 $0 $0 $0 $0 $0 $0<br />
Non Profit $0 $0 $0 $0 $0 $0 $0 $0<br />
Venture<br />
Capitalist $0 $0 $0 $0 $0 $0 $0 $0<br />
Other $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL<br />
OTHER<br />
FUNDING $0 $0 $0 $0 $0 $0 $0 $0<br />
Total<br />
Restricted<br />
Cash -<br />
Translational $0 $0 $0 $0 $0 $0 $0 $0<br />
Total<br />
Restricted<br />
Cash $0 $0 $24,300 $104,000 $25,000 $0 $25,000 $153,300<br />
Residual Funds carried over from prior years [2]<br />
Government<br />
NSF Funding<br />
NSF ERC Base<br />
Award $0 $0 $0 $0 $0 N/A $0 N/A<br />
Other NSF (Not<br />
ERC Program) $0 $0 $0 $0 $0 N/A $0 N/A<br />
TOTAL NSF<br />
Residual<br />
Funds from<br />
Prior <strong>Year</strong>s $0 $0 $0 $0 $0 N/A $0 N/A<br />
Other U.S.<br />
Government<br />
(Not NSF) $0 $0 $0 $0 $0 N/A $0 N/A<br />
State<br />
Government $0 $0 $0 $0 $0 N/A $0 N/A<br />
Local<br />
Government $0 $0 $0 $0 $0 N/A $0 N/A<br />
Foreign<br />
Government $0 $0 $0 $0 $0 N/A $0 N/A<br />
Quasigovernment<br />
research<br />
organization $0 $0 $0 $0 $0 N/A $0 N/A<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 272
TOTAL GOVT<br />
Residual<br />
Funds from<br />
Prior <strong>Year</strong>s $0 $0 $0 $0 $0 N/A $0 N/A<br />
Industry<br />
U.S. Industry $0 $0 $0 $78,014 $76,934 N/A $76,934 N/A<br />
Foreign<br />
Industry $0 $0 $0 $80,000 $217,500 N/A $217,500 N/A<br />
Industrial<br />
Association $0 $0 $0 $0 $0 N/A $0 N/A<br />
TOTAL<br />
INDUSTRY<br />
Residual<br />
Funds from<br />
Prior <strong>Year</strong>s $0 $0 $0 $158,014 $294,434 N/A $294,434 N/A<br />
University<br />
U.S. University $0 $0 $0 $0 $0 N/A $0 N/A<br />
Foreign<br />
University $0 $0 $0 $0 $0 N/A $0 N/A<br />
TOTAL<br />
UNIVERSITY<br />
Residual<br />
Funds from<br />
Prior <strong>Year</strong>s $0 $0 $0 $0 $0 N/A $0 N/A<br />
Other<br />
Private<br />
Foundation $0 $0 $0 $0 $0 N/A $0 N/A<br />
Medical Facility $0 $0 $0 $0 $0 N/A $0 N/A<br />
Non Profit $0 $0 $0 $0 $0 N/A $0 N/A<br />
Venture<br />
Capitalist $0 $0 $0 $0 $0 N/A $0 N/A<br />
Other $0 $0 $0 $0 $0 N/A $0 N/A<br />
TOTAL<br />
OTHER<br />
Residual<br />
Funds from<br />
Prior <strong>Year</strong>s $0 $0 $0 $0 $0 N/A $0 N/A<br />
Total Residual<br />
Funds carried<br />
over from<br />
prior years [2] $0 $0 $0 $158,014 $294,434 N/A $294,434 N/A<br />
Associated Projects [3]<br />
NSF Funding<br />
NSF ERC<br />
Program $0 $0 $0 $0 $0 $0 $0 $0<br />
Other NSF (Not<br />
ERC Program) $0 $1,779,477 $1,179,477 $0 $0 $0 $0 $2,958,954<br />
TOTAL NSF<br />
FUNDING $0 $1,779,477 $1,179,477 $0 $0 $0 $0 $2,958,954<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 273
Associated Projects - Non Translational [3]<br />
Government<br />
Other U.S.<br />
Government<br />
(Not NSF) $0 $0 $0 $0 $0 $0 $0 $0<br />
State<br />
Government $0 $0 $0 $0 $0 $0 $0 $0<br />
Local<br />
Government $0 $0 $0 $0 $0 $0 $0 $0<br />
Foreign<br />
Government $0 $0 $0 $648,641 $86,500 $110,500 $197,000 $845,641<br />
Quasigovernment<br />
research<br />
organization $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL<br />
GOVERNMEN<br />
T FUNDING $0 $0 $0 $648,641 $86,500 $110,500 $197,000 $845,641<br />
Industry<br />
U.S. Industry $460,163 $256,195 $453,000 $980,000 $832,203 $0 $832,203 $2,981,561<br />
Foreign<br />
Industry $0 $0 $50,000 $100,000 $345,000 $0 $345,000 $495,000<br />
Industrial<br />
Association $0 $0 $0 $0 $65,000 $0 $65,000 $65,000<br />
TOTAL<br />
INDUSTRY<br />
FUNDING $460,163 $256,195 $503,000 $1,080,000 $1,242,203 $0 $1,242,203 $3,541,561<br />
University<br />
U.S. University $0 $0 $0 $0 $0 $0 $0 $0<br />
Foreign<br />
University $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL<br />
UNIVERSITY<br />
FUNDING $0 $0 $0 $0 $0 $0 $0 $0<br />
Other<br />
Private<br />
Foundation $0 $0 $0 $0 $0 $0 $0 $0<br />
Medical Facility $0 $0 $0 $0 $0 $0 $0 $0<br />
Non Profit $0 $0 $0 $0 $0 $0 $0 $0<br />
Venture<br />
Capitalist $0 $0 $0 $0 $0 $0 $0 $0<br />
Other $0 $0 $0 $18,000 $11,700 $16,380 $28,080 $46,080<br />
TOTAL<br />
OTHER<br />
FUNDING $0 $0 $0 $18,000 $11,700 $16,380 $28,080 $46,080<br />
Total<br />
Associated<br />
Projects - Non<br />
Translational $460,163 $256,195 $503,000 $1,746,641 $1,340,403 $126,880 $1,467,283 $4,433,282<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 274
Associated Projects - Translational [3]<br />
Government<br />
Other U.S.<br />
Government<br />
(Not NSF) $0 $0 $0 $0 $0 $0 $0 $0<br />
State<br />
Government $0 $0 $0 $0 $40,000 $0 $40,000 $40,000<br />
Local<br />
Government $0 $0 $0 $0 $0 $0 $0 $0<br />
Foreign<br />
Government $0 $0 $0 $0 $0 $0 $0 $0<br />
Quasigovernment<br />
research<br />
organization $0 $0 $0 $0 $50,000 $0 $50,000 $50,000<br />
TOTAL<br />
GOVERNMENT<br />
FUNDING $0 $0 $0 $0 $90,000 $0 $90,000 $90,000<br />
Industry<br />
U.S. Industry $0 $0 $0 $0 $0 $0 $0 $0<br />
Foreign Industry $0 $0 $0 $0 $0 $0 $0 $0<br />
Industrial<br />
Association $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL<br />
INDUSTRY<br />
FUNDING $0 $0 $0 $0 $0 $0 $0 $0<br />
University<br />
U.S. University $0 $0 $0 $0 $0 $0 $0 $0<br />
Foreign<br />
University $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL<br />
UNIVERSITY<br />
FUNDING $0 $0 $0 $0 $0 $0 $0 $0<br />
Other<br />
Private<br />
Foundation $0 $0 $0 $0 $0 $0 $0 $0<br />
Medical Facility $0 $0 $0 $0 $0 $0 $0 $0<br />
Non Profit $0 $0 $0 $0 $0 $0 $0 $0<br />
Venture<br />
Capitalist $0 $0 $0 $0 $0 $0 $0 $0<br />
Other $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL OTHER<br />
FUNDING $0 $0 $0 $0 $0 $0 $0 $0<br />
Total<br />
Associated<br />
Projects -<br />
Translational $0 $0 $0 $0 $90,000 $0 $90,000 $90,000<br />
Total<br />
Associated<br />
Projects $460,163 $2,035,672 $1,682,477 $1,746,641 $1,430,403 $126,880 $1,557,283 $7,482,236<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 275
Value of New Construction<br />
Government<br />
NSF Funding<br />
NSF ERC<br />
Base Award $0 $0 $0 $0 $0 $0 $0 $0<br />
Other NSF<br />
(Not ERC<br />
Program) $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL NSF<br />
FUNDING $0 $0 $0 $0 $0 $0 $0 $0<br />
Other U.S.<br />
Government<br />
(Not NSF) $0 $0 $0 $0 $0 $0 $0 $0<br />
State<br />
Government $0 $0 $0 $0 $0 $0 $0 $0<br />
Local<br />
Government $0 $0 $0 $0 $0 $0 $0 $0<br />
Foreign<br />
Government $0 $0 $0 $0 $0 $0 $0 $0<br />
Quasigovernment<br />
research<br />
organization $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL<br />
GOVERNMEN<br />
T FUNDING $0 $0 $0 $0 $0 $0 $0 $0<br />
Industry<br />
U.S. Industry $0 $0 $0 $0 $0 $0 $0 $0<br />
Foreign<br />
Industry $0 $0 $0 $0 $0 $0 $0 $0<br />
Industrial<br />
Association $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL<br />
INDUSTRY<br />
FUNDING $0 $0 $0 $0 $0 $0 $0 $0<br />
University<br />
U.S. University $0 $0 $0 $0 $0 $0 $0 $0<br />
Foreign<br />
University $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL<br />
UNIVERSITY<br />
FUNDING $0 $0 $0 $0 $0 $0 $0 $0<br />
Other<br />
Private<br />
Foundation $0 $0 $0 $0 $0 $0 $0 $0<br />
Medical Facility $0 $0 $0 $0 $0 $0 $0 $0<br />
Non Profit $0 $0 $0 $0 $0 $0 $0 $0<br />
Venture<br />
Capitalist $0 $0 $0 $0 $0 $0 $0 $0<br />
Other $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL<br />
OTHER<br />
FUNDING $0 $0 $0 $0 $0 $0 $0 $0<br />
Total Value of<br />
New<br />
Construction $0 $0 $0 $0 $0 $0 $0 $0<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 276
Value of Equipment<br />
Government<br />
NSF Funding<br />
NSF ERC<br />
Base Award $0 $0 $0 $0 $0 $0 $0 $0<br />
Other NSF<br />
(Not ERC<br />
Program) $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL NSF<br />
FUNDING $0 $0 $0 $0 $0 $0 $0 $0<br />
Other U.S.<br />
Government<br />
(Not NSF) $0 $0 $0 $0 $0 $0 $0 $0<br />
State<br />
Government $0 $0 $0 $0 $0 $0 $0 $0<br />
Local<br />
Government $0 $0 $0 $0 $0 $0 $0 $0<br />
Foreign<br />
Government $0 $0 $0 $0 $0 $0 $0 $0<br />
Quasigovernment<br />
research<br />
organization $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL<br />
GOVERNMEN<br />
T FUNDING $0 $0 $0 $0 $0 $0 $0 $0<br />
Industry<br />
U.S. Industry $10,000 $157,000 $0 $75,000 $26,456 $50,000 $76,456 $318,456<br />
Foreign<br />
Industry $0 $0 $0 $50,000 $0 $25,000 $25,000 $75,000<br />
Industrial<br />
Association $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL<br />
INDUSTRY<br />
FUNDING $10,000 $157,000 $0 $125,000 $26,456 $75,000 $101,456 $393,456<br />
University<br />
U.S. University $0 $0 $0 $0 $0 $0 $0 $0<br />
Foreign<br />
University $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL<br />
UNIVERSITY<br />
FUNDING $0 $0 $0 $0 $0 $0 $0 $0<br />
Other<br />
Private<br />
Foundation $0 $0 $0 $0 $0 $0 $0 $0<br />
Medical Facility $0 $0 $0 $0 $0 $0 $0 $0<br />
Non Profit $0 $0 $0 $0 $0 $0 $0 $0<br />
Venture<br />
Capitalist $0 $0 $0 $0 $0 $0 $0 $0<br />
Other $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL<br />
OTHER<br />
FUNDING $0 $0 $0 $0 $0 $0 $0 $0<br />
Total Value of<br />
Equipment $10,000 $157,000 $0 $125,000 $26,456 $75,000 $101,456 $393,456<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 277
Value of New Facilities in Existing Buildings<br />
Government<br />
NSF Funding<br />
NSF ERC<br />
Base Award $0 $0 $0 $0 $0 $0 $0 $0<br />
Other NSF<br />
(Not ERC<br />
Program) $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL NSF<br />
FUNDING $0 $0 $0 $0 $0 $0 $0 $0<br />
Other U.S.<br />
Government<br />
(Not NSF) $0 $0 $0 $0 $0 $0 $0 $0<br />
State<br />
Government $0 $0 $0 $0 $0 $0 $0 $0<br />
Local<br />
Government $0 $0 $0 $0 $0 $0 $0 $0<br />
Foreign<br />
Government $0 $0 $0 $0 $0 $0 $0 $0<br />
Quasigovernment<br />
research<br />
organization $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL<br />
GOVERNMEN<br />
T FUNDING $0 $0 $0 $0 $0 $0 $0 $0<br />
Industry<br />
U.S. Industry $0 $0 $0 $0 $0 $0 $0 $0<br />
Foreign<br />
Industry $0 $0 $0 $0 $0 $0 $0 $0<br />
Industrial<br />
Association $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL<br />
INDUSTRY<br />
FUNDING $0 $0 $0 $0 $0 $0 $0 $0<br />
University<br />
U.S. University $0 $0 $0 $0 $0 $0 $0 $0<br />
Foreign<br />
University $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL<br />
UNIVERSITY<br />
FUNDING $0 $0 $0 $0 $0 $0 $0 $0<br />
Other<br />
Private<br />
Foundation $0 $0 $0 $0 $0 $0 $0 $0<br />
Medical Facility $0 $0 $0 $0 $0 $0 $0 $0<br />
Non Profit $0 $0 $0 $0 $0 $0 $0 $0<br />
Venture<br />
Capitalist $0 $0 $0 $0 $0 $0 $0 $0<br />
Other $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL<br />
OTHER<br />
FUNDING $0 $0 $0 $0 $0 $0 $0 $0<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 278
Total Value of<br />
New Facilities<br />
in Existing<br />
Buildings $0 $0 $0 $0 $0 $0 $0 $0<br />
Value of Visting Personnel<br />
Government<br />
NSF Funding<br />
NSF ERC<br />
Base Award $0 $0 $0 $0 $0 $0 $0 $0<br />
Other NSF<br />
(Not ERC<br />
Program) $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL NSF<br />
FUNDING $0 $0 $0 $0 $0 $0 $0 $0<br />
Other U.S.<br />
Government<br />
(Not NSF) $0 $0 $0 $0 $0 $0 $0 $0<br />
State<br />
Government $0 $0 $0 $0 $0 $0 $0 $0<br />
Local<br />
Government $0 $0 $0 $0 $0 $0 $0 $0<br />
Foreign<br />
Government $0 $0 $0 $0 $0 $0 $0 $0<br />
Quasigovernment<br />
research<br />
organization $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL<br />
GOVERNMEN<br />
T FUNDING $0 $0 $0 $0 $0 $0 $0 $0<br />
Industry<br />
U.S. Industry $65,000 $48,000 $0 $0 $0 $0 $0 $113,000<br />
Foreign<br />
Industry $0 $0 $0 $0 $0 $0 $0 $0<br />
Industrial<br />
Association $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL<br />
INDUSTRY<br />
FUNDING $65,000 $48,000 $0 $0 $0 $0 $0 $113,000<br />
University<br />
U.S. University $0 $0 $0 $0 $0 $0 $0 $0<br />
Foreign<br />
University $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL<br />
UNIVERSITY<br />
FUNDING $0 $0 $0 $0 $0 $0 $0 $0<br />
Other<br />
Private<br />
Foundation $0 $0 $0 $0 $0 $0 $0 $0<br />
Medical Facility $0 $0 $0 $0 $0 $0 $0 $0<br />
Non Profit $0 $0 $0 $0 $0 $0 $0 $0<br />
Venture<br />
Capitalist $0 $0 $0 $0 $0 $0 $0 $0<br />
Other $0 $0 $0 $0 $0 $0 $0 $0<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 279
TOTAL<br />
OTHER<br />
FUNDING $0 $0 $0 $0 $0 $0 $0 $0<br />
Total Value of<br />
Visting<br />
Personnel $65,000 $48,000 $0 $0 $0 $0 $0 $113,000<br />
Value of Other Assets<br />
Government<br />
NSF Funding<br />
NSF ERC<br />
Base Award $0 $0 $0 $0 $0 $0 $0 $0<br />
Other NSF<br />
(Not ERC<br />
Program) $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL NSF<br />
FUNDING $0 $0 $0 $0 $0 $0 $0 $0<br />
Other U.S.<br />
Government<br />
(Not NSF) $0 $0 $0 $0 $5,000 $10,000 $15,000 $15,000<br />
State<br />
Government $0 $0 $0 $0 $0 $0 $0 $0<br />
Local<br />
Government $0 $0 $0 $0 $0 $0 $0 $0<br />
Foreign<br />
Government $0 $0 $0 $0 $0 $0 $0 $0<br />
Quasigovernment<br />
research<br />
organization $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL<br />
GOVERNMEN<br />
T FUNDING $0 $0 $0 $0 $5,000 $10,000 $15,000 $15,000<br />
Industry<br />
U.S. Industry $50,000 $75,000 $101,000 $41,500 $40,000 $0 $40,000 $307,500<br />
Foreign<br />
Industry $0 $0 $115,000 $25,000 $0 $0 $0 $140,000<br />
Industrial<br />
Association $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL<br />
INDUSTRY<br />
FUNDING $50,000 $75,000 $216,000 $66,500 $40,000 $0 $40,000 $447,500<br />
University<br />
U.S. University $0 $0 $0 $0 $0 $0 $0 $0<br />
Foreign<br />
University $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL<br />
UNIVERSITY<br />
FUNDING $0 $0 $0 $0 $0 $0 $0 $0<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 280
Other<br />
Private<br />
Foundation $0 $0 $0 $0 $0 $0 $0 $0<br />
Medical Facility $0 $0 $0 $0 $0 $0 $0 $0<br />
Non Profit $0 $0 $0 $0 $10,000 $5,000 $15,000 $15,000<br />
Venture<br />
Capitalist $0 $0 $0 $0 $0 $0 $0 $0<br />
Other $0 $0 $0 $0 $0 $0 $0 $0<br />
TOTAL<br />
OTHER<br />
FUNDING $0 $0 $0 $0 $10,000 $5,000 $15,000 $15,000<br />
Total Value of<br />
Other Assets $50,000 $75,000 $216,000 $66,500 $55,000 $15,000 $70,000 $477,500<br />
Total In-Kind<br />
Support, All<br />
Sources $125,000 $280,000 $216,000 $191,500 $81,456 $90,000 $171,456 $983,956<br />
Total Cash<br />
Support, All<br />
Sources [2] $3,645,500 $4,279,414 $4,443,152 $5,212,385 $4,720,997 $298,937 $5,019,934 $22,147,937<br />
Percent Non-<br />
ERC Program<br />
Cash 11% 18% 15% 21% 15% 100% 20% 16%<br />
Total Cash +<br />
In-Kind $3,770,500 $4,559,414 $4,659,152 $5,403,885 $4,802,453 $388,937 $5,191,390 $23,131,893<br />
Grand Total<br />
(Cash + In-<br />
Kind +<br />
Associated<br />
Projects) $4,230,663 $6,595,086 $6,341,629 $7,150,526 $6,232,856 $515,817 $6,748,673 $30,614,129<br />
[1] - No Residual amounts are included in the Cumulative Total column because the funds are by definition included<br />
in the year in which they were received.<br />
[2] - Cash Total = The sum of Unrestricted Cash, Restricted Cash, and Residual Funds for a particular NSF Award<br />
<strong>Year</strong>, but NOT Support for Associated Projects. This cash amount in Table 9 is also the total for the 'Expenditure'<br />
column pertaining to the same Award <strong>Year</strong> in Table 10: <strong>Annual</strong> Expenditures and Budgets.<br />
[3] - Associated project support is the sum of the received and promised amounts from the prior year. Actual amounts<br />
are not collected for associated project support.<br />
Explanation of Residual Funds entry in Direct Sources of Support - Cash<br />
Residual funds brought forward into the current year consisted of both US and Foreign Industry membership funds. It<br />
is anticipated that $150,000 of this will be used during this current year 5 for fabrication of chips to be used in the<br />
<strong>CIAN</strong> testbeds.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 281
Table 9a: History of ERC Funding of the Center<br />
Award<br />
Number Award Type Award Title<br />
EEC-<br />
0812072 Base<br />
EEC-<br />
0946397<br />
CNS-<br />
0923523<br />
EEC-<br />
0946412<br />
Associated<br />
Project of ERC<br />
Associated<br />
Project of ERC<br />
Associated<br />
Project of ERC<br />
EEC-<br />
1004331 REU Site<br />
Award<br />
Duration Amount Status<br />
Center for Integrated Access<br />
In<br />
Networks (<strong>CIAN</strong>) 5 years $18,500,000 Progress<br />
Scalable Array Packaging for<br />
Optoelectronic Components 3 years $500,000 Completed Yes<br />
Scalable Energy Efficient Data<br />
In<br />
center – SEED 3 years $2,000,000 Progress<br />
<strong>CIAN</strong>'s New Testbed for Optical<br />
Aggregation Networking (TOAN) 1 year $600,000 Completed Yes<br />
REU Site: Integrated Optics for<br />
In<br />
Undergraduates (IOU) 3 years $340,069 Progress<br />
Final <strong>Report</strong><br />
Approved<br />
N/A<br />
N/A<br />
N/A<br />
EEC-<br />
1009496 RET Site<br />
EEC-<br />
0812072 Supplement<br />
RET Site: Research in Optics for K-14<br />
In<br />
Educators and Teachers (ROKET) 3 years $407,068 Progress<br />
Graduate Research Diversity<br />
In<br />
Supplement 1 year $24,300 Progress<br />
N/A<br />
Yes<br />
EEC-<br />
0812072 Supplement<br />
EEC-<br />
0812072 Supplement<br />
EEC-<br />
0812072 Supplement<br />
Optical Communication in Networks<br />
Workshop - Future Directions in<br />
Aggregation Networks 6 months $25,000 Completed Yes<br />
Optical Communication Networks<br />
Workshop – Qualitative Metrics in<br />
the Data Center 6 months $25,000 Completed Yes<br />
Graduate Research Diversity<br />
In<br />
Supplement 1 <strong>Year</strong> $24,000 Progress<br />
N/A<br />
EEC-<br />
0812072 Supplement<br />
Optical Communication in Networks<br />
Workshop-Qualitative Metrics in<br />
the Data Center 6 months<br />
In<br />
$25,000 Progress<br />
Total $22,470,437<br />
N/A<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 282
Table 9c: International Partner Universities – Funding and Collaboration Activities<br />
International<br />
Partner<br />
University<br />
Foreign<br />
Funding<br />
Entity<br />
Type of<br />
Activity<br />
Aalto University<br />
and University of<br />
Eastern Finland<br />
Institute of<br />
Microelectronics,<br />
TU Darmstadt<br />
Korea Advanced<br />
Institute of<br />
Science and<br />
Technology<br />
Finland<br />
Germany<br />
South<br />
Korea<br />
Current<br />
Award<br />
<strong>Year</strong><br />
Foreign<br />
Funding<br />
Rec’d<br />
US<br />
$79,000<br />
US<br />
$11,700<br />
US<br />
$15,000<br />
Research/<br />
Student<br />
Exp.<br />
Research/<br />
Student<br />
Exp<br />
Research /<br />
Student<br />
Exchange<br />
Number of<br />
ERC<br />
Foreign<br />
Faculty (FF)<br />
and ERC<br />
Faculty<br />
(ERCF)<br />
1 (FF)<br />
3 (ERCF)<br />
1 (FF)<br />
2 (ERCF)<br />
1 (FF)<br />
1 (ERCF)<br />
Number of U.S.<br />
ERC Students<br />
Working in<br />
Foreign<br />
Research Labs<br />
for more than<br />
30 days<br />
Number of<br />
Foreign<br />
Students<br />
Working in<br />
ERC Lab for<br />
more than 30<br />
days<br />
0 2<br />
0 1<br />
2 in Fall 2011<br />
1 in Summer<br />
2013<br />
Table 10: <strong>Annual</strong> Expenditures and Budgets<br />
Sep-01-2008<br />
Total Direct Center - Aug-31-<br />
Cash Support<br />
2009<br />
Sep-01-2009<br />
- Aug-31-<br />
2010<br />
Sep-01-2010<br />
- Aug-31-<br />
2011<br />
Sep-01-2011<br />
- Aug-31-<br />
2012<br />
Sep-01-2012<br />
- Aug-31-<br />
2013<br />
Next Award<br />
<strong>Year</strong><br />
Direct Cash Support<br />
(All Sources) $3,645,500 $4,279,414 $4,443,152 $5,054,371 $4,725,500 N/A<br />
Residual Funds from<br />
Prior <strong>Year</strong> (All Sources) $0 $0 $0 $158,014 $294,434 N/A<br />
Total Direct Center<br />
Cash Support $3,645,500 $4,279,414 $4,443,152 $5,212,385 $5,019,934 N/A<br />
Expenses Proposed<br />
and Residual Budget<br />
Sep-01-2008<br />
- Aug-31-<br />
2009<br />
Sep-01-2009<br />
- Aug-31-<br />
2010<br />
Sep-01-2010<br />
- Aug-31-<br />
2011<br />
Sep-01-2011<br />
- Aug-31-<br />
2012<br />
Sep-01-2012<br />
- Aug-31-<br />
2013<br />
Proposed<br />
Budget - Next<br />
Award <strong>Year</strong><br />
Salaries & Benefits<br />
A. Senior Personnel:<br />
PI/PD, Co-PIs, Faculty<br />
and Other Senior<br />
Associates $272,101 $217,822 $243,984 $335,327 $335,482 $332,632<br />
B. Other Personnel: $880,883 $1,342,650 $1,146,979 $1,142,305 $1,167,794 $1,211,217<br />
Postdoctoral associates $22,730 $65,696 $68,289 $62,787 $156,809 $176,251<br />
Other professionals<br />
(technician, programmer,<br />
etc.) $93,767 $49,896 $156,584 $148,448 $0 $0<br />
Graduate Students $433,863 $682,693 $516,600 $473,983 $528,748 $514,360<br />
Undergraduate students $76,565 $120,476 $49,063 $36,057 $13,500 $13,500<br />
Secretarial - clerical N/A N/A $28,727 $65,011 $33,429 $43,834<br />
Other $253,958 $423,889 $327,716 $356,019 $435,308 $463,272<br />
C. Fringe Benefits $287,699 $379,384 $425,438 $466,943 $587,403 $648,034<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 283
Total Salaries &<br />
Benefits (A+B+C) $1,440,683 $1,939,856 $1,816,401 $1,944,575 $2,090,679 $2,191,883<br />
Other Expenses<br />
D. Equipment $35,092 $230,839 $181,527 $459,443 $471,156 $134,108<br />
E. Travel N/A N/A $149,682 $192,631 $223,681 $222,771<br />
F. Participant Support N/A N/A $195,423 $369,272 $180,849 $149,485<br />
G. Other Direct Costs $502,349 $595,584 $542,353 $579,110 $655,024 $579,496<br />
H. Direct Costs Total (A<br />
through G): $1,978,124 $2,766,279 $2,885,386 $3,545,031 $3,621,389 $3,277,743<br />
I. Indirect Costs $861,214 $951,972 $973,782 $1,033,804 $1,104,111 $1,117,757<br />
J. Direct and Indirect<br />
Costs Total (A through<br />
I): $2,839,338 $3,718,251 $3,859,168 $4,578,835 $4,725,500 $4,395,500<br />
K. Residual Funds<br />
Remaining $806,162 $561,163 $583,984 $633,550 $294,434 $0<br />
TOTAL Expenditures<br />
and Budgets (J+K) $3,645,500 $4,279,414 $4,443,152 $5,212,385 $5,019,934 $4,395,500<br />
Current <strong>Year</strong> Support $3,645,500 $4,279,414 $4,443,152 $5,212,385 $5,019,934 N/A<br />
Prior Award <strong>Year</strong> Residual Funds spent in Current Award <strong>Year</strong><br />
ERC Program $0 $806,162 $349,908 $330,501 $183,800 $0<br />
Other NSF $0 $0 $211,255 $95,469 $5,316 $0<br />
Other Federal $0 $0 $0 $0 $0 $0<br />
Industry $0 $0 $0 $16,329 $444,434 $0<br />
Other $0 $0 $0 $0 $0 $0<br />
Prior Award <strong>Year</strong><br />
Residual Funds spent<br />
in Current Award <strong>Year</strong> $0 $806,162 $561,163 $442,299 $633,550 $0<br />
[1] - For Centers in operation for more than five years.<br />
Explanation for differences between residual funds spent and reported.<br />
Residual expenditures in the industry category for the prior award were less than reported and were carried forward<br />
into the current award year and is being held in reserve to be used for testbed expenditures.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 284
Table 10a: Unexpended Residual in the Current Award and Proposed Award <strong>Year</strong><br />
Total Unexpended Residual Funds<br />
[1]<br />
Committed, Encumbered, Obligated<br />
Funds [2]<br />
Residual Funds Without Specified<br />
Use [3]<br />
Previous Award <strong>Year</strong> to Current<br />
Award <strong>Year</strong><br />
Current Award <strong>Year</strong> to Proposed<br />
Award <strong>Year</strong> [4]<br />
$<br />
633,550 $ -<br />
$<br />
339,116 $ -<br />
$<br />
294,434 $ -<br />
Notes:<br />
1) Unexpended residual funds represented funds left after all invoices and expenses were incured at the both the<br />
lead and subcontract universities within the Previous Award <strong>Year</strong> Sept 1, 2011 - Aug. 31, 2012.<br />
2) Previous Award <strong>Year</strong> to Current Award <strong>Year</strong> Committed, Encumbered, Obligated Funds are funds left on<br />
subcontracts and on the <strong>CIAN</strong> direct accounts as of Aug. 31, 2012.<br />
3) This amount consists of funding that at the current time has not been designated for a particular purpose but<br />
will probably be by the end of the year and industry funding.<br />
4) <strong>CIAN</strong> is not planning for residual funds without specified use in Current Award <strong>Year</strong> to Proposed Award <strong>Year</strong>.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 285
Table 11: Modes of Support by Industry and Other Practitioner Organizations<br />
Organization<br />
Industrial/Practitioner Member Organizations<br />
Fees and<br />
Contributions<br />
Nontranslational<br />
Translational<br />
Sep 1, 2011 - Aug 31, 2012 Sep 1, 2012 - Aug 31, 2013<br />
Sponsored Projects Associated Projects<br />
Nontranslational<br />
Translational<br />
Fees and<br />
In-Kind Support Contributions<br />
Sponsored Projects Associated Projects<br />
Nontranslational<br />
Translational<br />
Nontranslational<br />
Translational In-Kind Support<br />
Agilent Technologies, Inc. $0 $0 $0 $0 $0 $25,000 $0 $0 $0 $0 $0 $25,000 $0<br />
Alcatel Lucent $25,000 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $25,000<br />
APIC Inc $0 $0 $0 $0 $0 $0 $25,000 $0 $0 $100,000 $0 $0 $0<br />
Bandwidth10 Inc $12,500 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $12,500<br />
Canon $25,000 $0 $0 $50,000 $0 $0 $25,000 $0 $0 $300,000 $0 $0 $0<br />
Cisco $25,000 $0 $0 $150,000 $0 $0 $0 $0 $0 $87,329 $0 $0 $25,000<br />
Fiber Network Engineering Co., Inc. $0 $0 $0 $0 $0 $25,000 $0 $0 $0 $0 $0 $0 $25,000<br />
Fujitsu Networking Communications $25,000 $0 $0 $0 $0 $25,000 $0 $0 $0 $0 $0 $0 $25,000<br />
GigOptix $25,000 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $25,000<br />
Huawei $25,000 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0<br />
Intel $25,000 $0 $0 $215,000 $0 $0 $0 $0 $0 $226,360 $0 $0 $25,000<br />
Kotura $0 $0 $0 $0 $0 $1,500 $0 $0 $0 $0 $0 $0 $0<br />
Luxdyne, Ltd. $0 $0 $0 $0 $0 $25,000 $0 $0 $0 $0 $0 $0 $0<br />
NEC $25,000 $0 $0 $50,000 $0 $0 $25,000 $0 $0 $45,000 $0 $0 $0<br />
Newport $0 $0 $0 $0 $0 $25,000 $0 $0 $0 $0 $0 $0 $25,000<br />
Nistica, Inc. $25,000 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $25,000<br />
Nitto Denko Technical Corp $12,500 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $12,500<br />
Oracle Sun $30,000 $0 $0 $100,000 $0 $0 $0 $0 $0 $100,000 $0 $1,456 $30,000<br />
Texas Instruments $25,000 $0 $0 $0 $0 $0 $25,000 $0 $0 $0 $0 $0 $0<br />
VPI Photonics $0 $0 $0 $0 $0 $40,000 $0 $0 $0 $0 $0 $40,000 $0<br />
Yokagawa Corporation of America $0 $0 $0 $0 $0 $25,000 $0 $0 $0 $0 $0 $0 $25,000<br />
Total Members $305,000 $0 $0 $565,000 $0 $191,500 $100,000 $0 $0 $858,689 $0 $66,456 $280,000<br />
Promised<br />
Support<br />
Non-Member Organizations: Funders of Sponsored Projects, Funders of Associated Projects, and Contributing Organizations<br />
Academy of Finland $0 $0 $0 $633,641 $0 $0 $0 $0 $0 $79,000 $0 $0 $103,000<br />
Advanced Storage Technology<br />
Consortium $0 $0 $0 $0 $0 $0 $0 $0 $0 $65,000 $0 $0 $0<br />
Corning $0 $0 $0 $50,000 $0 $0 $0 $0 $0 $0 $0 $0 $0<br />
Google Inc $0 $0 $0 $415,000 $0 $0 $0 $0 $0 $225,000 $0 $0 $0<br />
IBM $0 $0 $0 $50,000 $0 $0 $0 $0 $0 $0 $0 $0 $0<br />
Innovega Inc $0 $0 $0 $0 $0 $0 $0 $0 $0 $16,579 $0 $0 $0<br />
Institute of Microelectronics, TU<br />
Darmstadt $0 $0 $0 $18,000 $0 $0 $0 $0 $0 $11,700 $0 $0 $16,380<br />
Korea Advanced Institute of Science<br />
and Technology $0 $0 $0 $15,000 $0 $0 $0 $0 $0 $7,500 $0 $0 $7,500<br />
Lightwave Logic $0 $0 $0 $0 $0 $0 $0 $0 $0 $16,935 $0 $0 $0<br />
NSF ICorps $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $50,000 $0 $0<br />
OIDA $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $10,000 $5,000<br />
Sandia National Laboratories $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $5,000 $10,000<br />
Tech Launch Arizona $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $40,000 $0 $0<br />
Western Digital Corporation $0 $0 $0 $0 $0 $0 $0 $0 $0 $60,000 $0 $0 $0<br />
Total Non-Members $0 $0 $0 $1,181,641 $0 $0 $0 $0 $0 $481,714 $90,000 $15,000 $141,880<br />
Total $305,000 $0 $0 $1,746,641 $0 $191,500 $100,000 $0 $0 $1,340,403 $90,000 $81,456 $421,880<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 286
RESOURCES AND UNIVERSITY COMMITMENT<br />
<strong>CIAN</strong>’s headquarters are located at the University of Arizona’s College of Optical Sciences (OSC). The<br />
College provides resources for both applied research and theoretical programs in all areas related to<br />
optics and the optical sciences. The Center headquarters is on the 5th floor of the 47,000 square-foot<br />
West Wing addition, completed in 2006.<br />
Our experimental efforts center on our testbeds and additional shared laboratory facilities. <strong>CIAN</strong> now has<br />
two main testbeds, each associated with a Working Group. The Data Center Testbed, located at the<br />
University of California at San Diego, provides a demonstration platform for research threads<br />
implemented by Working Group 1. The Testbed for Optical Aggregation Networks (TOAN) at the<br />
University of Arizona serves a corresponding role for Working Group 2. Both the Data Center Testbed<br />
and TOAN continue to evolve and expand.<br />
These testbeds are complemented by facilities at Columbia University for experiments in “cross-layer”<br />
optimization and at the University of Southern California for optical data introspection, as well as facilities<br />
at the University of Arizona and University of California at San Diego for chip-scale testing. The testbeds<br />
and supporting facilities offer cutting-edge capabilities to serve <strong>CIAN</strong>’s research and education efforts,<br />
and our Industry Members.<br />
<strong>CIAN</strong> maintains both public and private web sites (www.cian-erc.org and data.cian-erc.org). The public<br />
web site helps facilitate information exchange between <strong>CIAN</strong> and the outside world. Communications with<br />
industry and strategic advisors is further supplemented with our periodic newsletter, teleconferences, and<br />
meetings. For internal communication <strong>CIAN</strong> maintains its private website. These two sites provide<br />
information about <strong>CIAN</strong>’s research, education, industry, and diversity activities. The private web site also<br />
serves as a warehouse for <strong>CIAN</strong> information. It contains a complete member directory, calendar of<br />
events, an outline of the structure of the center (Projects, Thrusts, and Working Groups), a repository for<br />
output and activities, a project report interface, an SAB interface, a blog, and a document archive. The<br />
private site also provides online meeting registration, online submission of subcontract invoices, and<br />
online data submission that mirror NSF’s online data submission for ERCs. <strong>CIAN</strong>’s web sites are crucial<br />
for maintaining cross-campus and cross-institution communication. The University of Arizona also<br />
maintains a Polycom video conferencing system that has been employed for various orientation<br />
meetings.<br />
The research, industry, and education/diversity programs of the University of Arizona and its partner<br />
institutions are supported by their respective deans and administration. <strong>CIAN</strong>’s Council of Deans provides<br />
a forum for discussion between deans on various matters of administration and institutional support,<br />
particularly those matters that involve multi-university coordination. <strong>CIAN</strong>’s effort to offer its Super-Course<br />
at all partner universities is an example of a multi-university task that is addressed by the Dean’s Council.<br />
Our graduate students and post-docs are provided with mentor training, and some are compensated with<br />
a stipend of approximately $1,000.<br />
Training and Laboratory Procedures<br />
All staff are required to take an on-line laboratory safety course prior to working in any ERC laboratories.<br />
This course focuses on general laboratory safety practices, including electrical and chemical safety. For<br />
staff using Class IIIb or above lasers, laser safety training is required, and the laser safety course is<br />
offered on a periodic basis (every month or so), so that staff members are not unduly delayed in<br />
performing their duties. Discussion of critical safety concerns is included in all project team meeting<br />
within the ERC and installation/use of new equipment and procedures must be approved by the<br />
laboratory manager in every instance. Hazardous waste is properly disposed of and collected on a<br />
periodic basis by dedicated University personnel. In labs including significant safety concerns, such as<br />
the clean room and chemical labs, dedicated facilities personnel oversee all activities and further ensure<br />
the use of proper procedures.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 287
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 288
BIBLIOGRAPHY OF PUBLICATIONS<br />
THRUST 1<br />
Bergman, Keren<br />
Brunina, Daniel,P., Lai, Caroline, Bergman, Keren, "A Data Rate- and Modulation Format-Independent<br />
Packet-Switched Optical Network Test-Bed," IEEE Photonics Technology Letters, Vol. 24, 5, 377 - 379<br />
(2012).<br />
Lai, Caroline,P., Fidler, F.,J., Winzer, P.,K., Thottan, M., Bergman, Keren, "Cross-Layer Proactive Packet<br />
Protection Switching," Journal of Optical Communications and Networking, Vol. 4, 10, 847 - 857 (2012).<br />
Wang, Howard, Bergman, Keren, "Optically Interconnected Data Center Architecture for Bandwidth<br />
Intensive Energy Efficient Networking," International Conference on Transparent Optical Networks,<br />
(2012).<br />
Wang, Howard, Chen, Cathy, Sripanidkulchai, Kunwadee, Sahu, Sambit, Bergman, Keren, "Dynamically<br />
Reconfigurable Photonic Resources for Optically Connected Data Center Networks," OFC, (2012).<br />
Pedrola, Oscar, Careglio, Davide, Klinkowsky, Miroslaw, Velasco, Luis, Bergman, Keren, Sole-Pareta,<br />
Josep, "Metaheuristic hybridizations for the regenerator placement and dimensioning problem in<br />
sub-wavelength switching optical networks," European Journal of Operational Research, Vol. 224, 3,<br />
614 - 624 (2013).<br />
Bergman, Keren, Kachris, Christoforos, Ioannis, Tomkos, "Optical Interconnects for Future Data Center<br />
Networks", , (2012).<br />
Lai, Caroline,P., Bergman, Keren,M., "Broadband Multicasting for Wavelength-Striped Optical<br />
Packets," Journal of Lightwave Technology, Vol. 30, 11, 1706 - 1718 (2012).<br />
Padmaraju, Kishore,M., Ophir, Noam,M., Xu, Qianfan,M., Schmidt, Bradley,M., Shakya, Jagat,M.,<br />
Manipatruni, Sasikanth,M., Lipson, Michal,M., Bergman, Keren,M., "Error-free transmission of<br />
microring-modulated BPSK," Optics Express, Vol. 20, 8, 8681 - 8688 (2012).<br />
Padmaraju, Kishore,M., Ophir, Noam,M., Xu, Qianfan,M., Schmidt, Bradley,M., Shakya, Jagat,M.,<br />
Manipatruni, Sasikanth,M., Lipson, Michal,M., Bergman, Keren,M., "Error-Free Transmission of DPSK<br />
at 5 Gb/s Using a Silicon Microring Modulator," European Conference on Optical Communications<br />
(ECOC) Technical Digest, 2011, Geneva, Switzerland, Vol. Th.12.LeSaleve.2, (2012).<br />
Cvijetic, Milorad<br />
Cvijetic, Neda, Tanaka, Akira, Huang, Yue-Kai, Cvijetic, Milorad, Ezra, Ip, Shao, Yin, Wang, Ting, "4+G<br />
Mobile Backhaul over OFDMA/TDMA-PON to 200 Cell Sites per Fiber with 10Gb/s Upstream Burst-<br />
Mode Operation Enabling < 1ms Transmission Latency," OFC, Vol. PDP5B.7, (2012).<br />
Cvijetic, Milorad,B., Djordjevic, Ivan, Cvijetic, Neda, "Spectral-Spatial Concept of Hierarchical and<br />
Elastic Optical Networking," IEEE Conf. on Transparent Opt Networks, ICTON 2012, (2012).<br />
Cvijetic, Milorad, Djordjevic, Ivan, Cvijetic, Neda, "Dynamic multidimensional optical networking based<br />
on spatial and spectral processing," Optics Express, Vol. 20, 9144 - 9150 (2012).<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 289
Cvijetic, Milorad,M., He, Jun,M., "Impairement Aware Routing in Elastic Multirate Optical Networks,"<br />
IEEE Photonics in Switching Conf., PS 2012, Vol. PS 2012 Th-S4-P05, (2012).<br />
Djordjevic, Ivan<br />
Zhang, Yequn, Arabaci, Murat, Djordjevic, Ivan,B., "Evaluation of four-dimensional nonbinary LDPCcoded<br />
modulation for next-generation long-haul optical transport networks," Optics Express, Vol. 20,<br />
8, 9296 - 9301 (2012).<br />
Zhang, Yequn, Arabaci, Murat, Djordjevic, Ivan, "Rate-Adaptive Four-Dimensional Nonbinary LDPC-<br />
Coded Modulation for Long-Haul Optical Transport Networks," OFC, JW2A.46, (2012).<br />
Djordjevic, Ivan,B., "Quantum Information Processing and Quantum Error Correction: An Engineering<br />
Approach", , (2012).<br />
Cvijetic, Milorad,B., Djordjevic, Ivan, "Advanced Optical Communication Systems and Networks", , (2012).<br />
Djordjevic, Ivan,B., "Coding and modulation techniques for optical wireless channels" in Advanced Optical<br />
Wireless Communication Systems, (S. Arnon, J. Barry, G. Karagiannidis, R. Schober and M. Uysal<br />
Eds.)", , 11 - 53 (2012).<br />
Djordjevic, Ivan,B., ""Advanced coding for optical communication systems," in Optical Fiber<br />
Telecommunications VI, (I. Kaminow, T. Li and A. Willner, Editors)", , 1 - 50 (2013).<br />
Lin, Changyu,B., Djordjevic, Ivan, Zou, Ding, Arabaci, Murat, Cvijetic, Milorad, "Non-binary LDPC coded<br />
mode-multiplexed coherent optical OFDM 1.28 Tbit/s 16-QAM signal transmission over 2000-km of<br />
few-mode fibers with mode dependent loss," IEEE Photonics Journal, Vol. 4, 5, 1922 - 1929 (2012).<br />
Zhang, Shaoliang,B., Zhang, Yequn, Huang, Ming-Fang, Yaman, Fatih, Mateo, Eduardo, Qian, Dayou,<br />
Xu, Lei, Shao, Yin, Djordjevic, Ivan, "Transoceanic Transmission of 40×117.6 Gb/s PDM-OFDM-<br />
16QAM over Hybrid Large-Core/Ultra Low-Loss Fiber," Journal of Lightwave Technology, 1 - 8 (2012).<br />
Liu, Tao, Djordjevic, Ivan,B., "On the optimum signal constellation design for high-speed optical<br />
transport networks," Optics Express, Vol. 20, 18, 20396 - 20406 (2012).<br />
Arabaci, Murat, Djordjevic, Ivan,B., Xu, Lei, Wand, Ting, "Nonbinary LDPC-Coded Modulation for Rate-<br />
Adaptive Optical Fiber Communication without Bandwidth Expansion," IEEE Photonics Technology<br />
Letters, Vol. 24, 16, 1402 - 1404 (2012).<br />
Djordjevic, Ivan,B., Liu, Tao, Xu, Lei, Wang, Ting, "On the multidimensional signal constellation design<br />
for few-mode fiber based high-speed optical transmission," IEEE Photonics Journal, Vol. 4, 5, 1325 -<br />
1332 (2012).<br />
Djordjevic, Ivan,B., "Spatial-Domain-Based Hybrid Multidimensional Coded-Modulation Schemes<br />
Enabling Multi-Tb/s Optical Transport," Journal of Lightwave Technology, Vol. 30, 14, 2315 - 2328<br />
(2012).<br />
Arabaci, Murat, Djordjevic, Ivan,B., Xu, Lei, Wang, Ting, "Nonbinary LDPC-Coded Modulation for High-<br />
Speed Optical Fiber Communication without Bandwidth Expansion," IEEE Photonics Journal, Vol. 4,<br />
3, 728 - 734 (2012).<br />
Djordjevic, Ivan,B., Xu, Lei, Wang, Ting, "Statistical physics inspired energy-efficient codedmodulation<br />
for optical communications," Optics Lett., Vol. 37, 8, 1340 - 1342 (2012).<br />
Lin, Changyu,B., Djordjevic, Ivan, Cvijetic, Milorad, "Quantum Few-Mode Fiber Communications based<br />
on the Orbital Angular Momentum," IEEE Photonics Technology Letters, (2012).<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 290
Lin, Changyu,B., Djordjevic, Ivan, Zou, Ding, Arabaci, Murat, Cvijetic, Milorad, "Nonbinary LDPC-Coded<br />
OFDM over Four/Eight-Mode Fibers with Mode-Dependent Loss," Proc. IEEE Photonics Conference<br />
2012, WU3-1 - WU3-2 (2012).<br />
Liu, Tao, Djordjevic, Ivan,B., Xu, Lei, Wang, Ting, "Multidimensional Optimum Signal Constellation<br />
Design for Few-Mode Fiber based High-Speed Optical Transport," Proc. IEEE Photonics Conference<br />
2012, TuM2-1 - TuM2-2 (2012).<br />
Arabaci, Murat, Djordjevic, Ivan,B., "Nonbinary LDPC-coded modulation for multi-Tb/s optical<br />
transport," Proc. IEEE Photonics Conference 2012, WM1-1 - WM1-2 (2012).<br />
Zou, Ding,B., Djordjevic, Ivan, "Beyond 1Tb/s Superchannel Optical Transmission based on<br />
Polarization Multiplexed Coded-OFDM over 2300 km of SSMF," Proc. 2012 Signal Processing in<br />
Photonics Communications (SPPCom), SpTu2A.6-1 - SpTu2A.6-2 (2012).<br />
Cvijetic, Milorad, Djordjevic, Ivan, Cvijetic, Neda, "Multidimensional Elastic Routing for Next<br />
Generation Optical Networks," Proc. EEE Conference on High Performance Switching and Routing<br />
2012, 198 - 203 (2012).<br />
Zhang, Jianyong,B., Djordjevic, Ivan, "Three-Dimensional Spherical Signal Constellation for Few-<br />
Mode Fiber based High-Speed Optical Transmission," Proc. CLEO 2012, CF3I.5-1 - CF3I.5-2 (2012).<br />
Arabaci, Murat, Djordjevic, Ivan,B., Xu, Lei, Wang, Ting, "Hybrid LDPC-Coded Modulation Schemes for<br />
Optical Communication Systems," Proc. CLEO 2012, CTh3C.3-1 - CTh3C.3-2 (2012).<br />
Zou, Ding,B., Lin, Changyu, Djordjevic, Ivan, "LDPC-Coded Mode-Multiplexed CO-OFDM over 1000<br />
km of Few-Mode Fiber," Proc. CLEO 2012, CF3I.3-1 - CF3I.3-2 (2012).<br />
Liu, Tao, Djordjevic, Ivan,B., Xu, Lei, Wang, Ting, "Feedback Channel Capacity Inspired Optimum<br />
Signal Constellation Design for High-Speed Optical Transmission," Proc. CLEO 2012, CTh3C.2-1 -<br />
CTh3C.2-2 (2012).<br />
Djordjevic, Ivan,B., "Orbital angular momentum modulation for fiber-optics communication," Proc. 17th<br />
OptoElectronics and Communications Conference (OECC 2012), 753 - 754 (2012).<br />
Djordjevic, Ivan,B., Liu, Tao, Cvijetic, Milorad, "Optimum Signal Constellation Design for Ultra-High-<br />
Speed Optical Transport Networks," Proc. IEEE 14th International Conference on Transparent Optical<br />
Networks (ICTON 2012), We.B1.1-1 - We.B1.1-7 (2012).<br />
Djordjevic, Ivan,B., Xu, Lei, Wang, Ting, "Optimum Signal Constellation Design for High-Speed Optical<br />
Transmission," OFC, OW3H.2-1 - OW3H.2-3 (2012).<br />
Djordjevic, Ivan,B., "Energy-efficient hybrid coded modulations enabling terabit optical Ethernet,"<br />
SPIE OPTO, Optical Metro Networks and Short-Haul Systems IV, 8283-3-1 - 8283-3-16 (2012).<br />
Jalali, Bahram<br />
Devore, Peter,T. S., Solli, Daniel,R., Ropers, Claus, Koonath, Prakash, Jalali, Bahram, "Stimulated<br />
supercontinuum generation extends broadening limits in silicon," Appl. Phys. Lett., (2012).<br />
Fard, Ali,M., Buckley, Brandon,W., Zlatanovic, Sanja, Bres, Camille-Sophie, Radic, Stojan, Jalali,<br />
Bahram, "All-Optical Time-Stretch Digitizer," Appl. Phys. Lett., (2012).<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 291
Kueppers, Franko<br />
Karbassian, Massoud, Kueppers, Franko, "Enhancing spectral efficiency and capacity in synchronous<br />
OCDMA by transposed-MPC," J. Optical Switching and Networks, Vol. 9, 2, 130 - 137 (2012).<br />
Rosing, Tajana<br />
Zhang, Eric,L., Rosing, Tajana,S., "vGreenNet: Managing Server and Networking Resources of Colocated<br />
Heterogeneous VMs," (2012).<br />
Farrington, Nathan, Strong, Richard, Forencich, Alex, Sun, Pang-Chen, Rosing, Tajana, Fainman,<br />
Yeshaiahu, Ford, Joseph, Papen, George, Porter, George, Vahdat, Amin, "MORDIA: A Data Center<br />
Network Architecture of Microsecond Circuit Switches," (2012).<br />
Dhiman, Gaurav, Kontorinis, Vasileios, Ayoub, Raid, Zhang, Liuyi, Sadler, Chris, Tullsen, Dean, Rosing,<br />
Tajana,S., "Themis: Energy Efficient Management of Workloads in Virtualized Data Centers," VHPC<br />
2012, (2012).<br />
Touch, Joe<br />
Touch, Joe, "Components developed for all-optical Internet router," (2008).<br />
Touch, Joe, Suryaputra, Stephen, Bannister, Joe, Willner, Alan, "Optical Packet Switch Using Forward-<br />
Shift SDLs," OFC, (2013).<br />
Vahdat, Amin<br />
Vattikonda, Bhanu, Porter, George, Vahdat, Amin, Snoeren, Alex, "Practical TDMA for Datacenter<br />
Ethernet," USEnix EuroSys, (2012).<br />
Farrington, Nathan, Porter, George, Fainman, Yeshaiahu, Papen, George, Vahdat, Amin, "Hunting Mice<br />
with Microsecond Circuit Switches," HotNets, (2012).<br />
Rasmussen, Alexander, Porter, George, Conley, Michael, Madhyastha, Harsha, Mysore, Radhika,N.,<br />
Pucher, Alexander, Vahdat, Amin, "TritonSort: A Balanced and Energy-efficient Large-Scale Sorting<br />
System," ACM Transactions on Computer Systems, Vol. 10, 1, (2013).<br />
Rasmussen, Alexander, Conley, Michael, Kapoor, Rishi, Lam, Vinh The, Porter, George, Vahdat, Amin,<br />
"Themis: An I/O Efficient MapReduce," ACM Symposium on Cloud Computing, Vol. 3, N/A, N/A - N/A<br />
(2012).<br />
Willner, Alan<br />
Khaleghi, Salman, Yilmaz, Omer, Chitgarha, Mohammad Reza, Tur, Moshe, Ahmad, Nisar, Nuccio, Scott,<br />
Fazal, Irfan, Wu, X., Haney, M.W., Langrock, C., Fejer, M.M., Willner, Alan,E., "High-Speed Correlation<br />
and Equalization Using a Continuously Tunable All-Optical Tapped Delay Line," IEEE Photonics<br />
Journal, Vol. 4, 4, 1220 - 1235 (2012).<br />
Khaleghi, Salman, Chitgarha, Mohammad Reza, Yilmaz, Omer,F., Tur, Moshe, Haney, Michael,W.,<br />
Langrock, Carsten, Fejer, Martin,M., Willner, Alan,E., "Experimental Performance of a Fully Tunable<br />
Complex-Coefficient Optical FIR Filter Using Wavelength Conversion and Chromatic Dispersion,"<br />
Optics Lett., Vol. 37, 16, 3420 - 3422 (2012).<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 292
Chitgarha, Mohammad Reza, khaleghi, salman, Yilmaz, Omer,F., Tur, Moshe, Haney, Michael,W.,<br />
Langrock, Carsten, Fejer, Martin,M., Willner, Alan,E., "Demonstration of Channel-Spacing-Tunable<br />
Demultiplexing of Optical Orthogonal-Frequency-Division-Multiplexed Subcarriers Utilizing<br />
Reconfigurable All-Optical Discrete Fourier Transform," Optics Lett., Vol. 37, 19, 3975 - 3977 (2012).<br />
Yilmaz, Omer,F., Yaron, Lior, khaleghi, salman, chitgarha, mohammad reza, Tur, Moshe, Willner, Alan,E.,<br />
"True Time Delays Using Conversion/Dispersion with Flat Magnitude Response for Wideband<br />
Analog RF Signals," Optics Express, Vol. 20, 8, 8219 - 8227 (2012).<br />
Huang, Hao, Yang, Jeng-Yuan, wu, Xiaoxia, khaleghi, salman, ziyadi, Morteza, Tur, Moshe, langrock,<br />
carsten, Fejer, Martin,M., paraschis, Loukas,M., Willner, Alan,E., "Simultaneous Subchannel Data<br />
Updating for Multiple Channels of 16-Quadrature Amplitude Modulation Signals Using a Single<br />
Periodically Poled Lithium Niobate Waveguide," Optics Lett., (2012).<br />
Bogoni, Antonella, Wu, Xiaoxia, Nuccio, Scott, Wang, Jian, Bakhtiari, Zahra, Willner, Alan,E., "Photonic<br />
640 Gb/s Reconfigurable OTDM Add-Drop Multiplexer Based on Pump Depletion in a single PPLN<br />
Waveguide," IEEE Journal of Selected Topics in Quantum Electronics, (2012).<br />
Willner, Alan,E., Byer, Robert,L., Chang-Hasnain,, Constance,J., Forrest, Steven, Kressel, Henry,<br />
Kogelnik, Herwig, Tearney, Guillermo,J., Townes, Charles,H., Zervas, Michalis, "Optics and Photonics:<br />
Key Enabling Technologies," Invited Paper, Proceedings of the IEEE, Special Centennial Issue, (2012).<br />
Willner, Alan,E., Byer, Robert,L., Chang-Hasnain,, Constance,J., Forrest, Steven,R., Kressel, Henry,<br />
Kogelnik, H., Tearney, Guillermo,J., Townes, Charles,H., Zervas, Michalis,N., "Prolog to the Section on<br />
Optics and Photonics," Invited Paper, Proceedings of the IEEE, Special Centennial Issue, (2012).<br />
Yan, L.-S., Willner, Alan,E., Wu, Xiaoxia, Yi, A.-L., Bogoni, Antonella, Chen, Z.-Y., Jiang, H.-Y., "All-<br />
Optical Signal Processing for Ultra-High Speed Optical Systems and Networks," Journal of Lightwave<br />
Technology, (2012).<br />
Chitgarha, Mohammad Reza, Khaleghi, Salman, Ma, Zichen, Ziyadi, Morteza, Gerstel, Ori, Paraschis,<br />
Loukas, Langrock, Carsten, Fejer, Martin,M., Willner, Alan,E., "Flexible, Reconfigurable Capacity<br />
Output of a High-Performance 64-QAM Optical Transmitter," European Conference on Optical<br />
Communications (ECOC), (2012).<br />
Chitgarha, Mohammad Reza, Khaleghi, Salman, Yilmaz, Omer,F., Tur, Moshe, Haney, Michael,W.,<br />
Willner, Alan,E., "Coherent Multi-Pattern Correlator and All-Optical Equalizer Enabling Simultaneous<br />
Equalization, Wavelength Conversion and Multicasting," OFC, (2012).<br />
Khaleghi, Salman, Chitgarha, Mohammad Reza, Yilmaz, Omer,F., Tur, Moshe, Haney, Michael,W.,<br />
Willner, Alan,E., "Universal QAM Encoder/Converter using Fully Tunable Complex-Coefficient Optical<br />
Tapped-Delay Line," OFC, (2012).<br />
Bakhtiari, Zahra, Hellwarth, Robert, Willner, Alan,E., "Optical Sub-QPSK Symbol Information Extraction<br />
from 16-QAM Signal using Optical Phase Erasure," OFC, (2012).<br />
Willner, Alan,E., "Optical Tapped-Delay-Lines," OFC, Invited Presentation, in Workshop "All-optical<br />
Signal Processing: Next-generation Materials,", (2012).<br />
Wang, Jian, Willner, Alan,E., "Review of Robust Data Exchange Using Optical Nonlinearities," Invited<br />
Review Article, International Journal of Optics,, (2012).<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 293
Willner, Alan,E., "Tunable Optical Tapped-Delay-Lines for Signal Processing Applications," Invited<br />
Paper, Society of Photo-Instrumentation Engineers (SPIE) Photonics West, (2012).<br />
Bogoni, Antonella, Wu, Xiaoxia, Nuccio, Scott,R., Willner, Alan,E., "640 Gb/s All-Optical Regenerator<br />
Based on a Periodically Poled Lithium Niobate Waveguide," Journal of Lightwave Technology, (2012).<br />
Wang, Jian, Nuccio, Scott,R., Yang, Jeng-Yuan, Wu, Xiaoxia, Bogoni, Antonella, Willner, Alan,E., "High-<br />
Speed Addition/Subtraction/Complement/Doubling of Quaternary Numbers using Optical<br />
Nonlinearities and DQPSK Signals," Optics Lett., (2012).<br />
Kaminow, Ivan,P., Li, Tingye, Willner, Alan,E., "Optical Fiber Telecommunications VI, <strong>Volume</strong>s A and B,”<br />
(2013).<br />
Ataie, V, Wiberg, A,O., Liu, L, Radic, S, "Parametric sampling gate linearization by pump intensity<br />
modulation," IPC2012, San Francisco, (2012).<br />
Zussman, Gil<br />
Coffman, E., Robert, P., Simatos, F., Tarumi, S., Zussman, G., ", Channel Fragmentation in Dynamic<br />
Spectrum Access Systems - Performance Evaluation", Queueing Systems - Theory and Applications<br />
(QUESTA, Vol. 71, 3, 293 - 320 (2012).<br />
Birand, B., Chudnovsky, M., Ries, B., Seymour, P., Zussman, G., Zwols, Y., "Analyzing the Performance<br />
of Greedy Maximal Scheduling via Local Pooling and Graph Theory", IEEE/ACM Trans. on Networking,<br />
Vol. 20, 1, (2012).<br />
Rochlin, I., Sarne, D., Zussman, G., "Sequential Multilateral Search for a Common Goal", Web<br />
Intelligence and Agent Systems, (2012).<br />
Jaganathan, K., Menache, I., Modiano, E., Zussman, G., "Non-cooperative Spectrum Access - The<br />
Dedicated vs. Free Spectrum Choice", IEEE Journal on Selected Areas in Communications, Vol. 30, 11,<br />
2251 - 2261 (2012).<br />
Fainman, Yeshaiahu<br />
THRUST 2<br />
Khajavikhan, Mercedeh, Simic, Aleks, Katz, Michael, Lee, Jin,Hyoung., Slutsky, Boris, Mizrahi, Amit,<br />
Lomakin, Vitaliy, Fainman, Yeshaiahu, "Thresholdless Nanoscale Coaxial Lasers," Nature Mat., Vol.<br />
482, 7384, 204 - 207 (2012).<br />
Grieco, Andrew, Slutsky, Boris, Tan, T.H. Dawn, Zamek, Steve, Nezhad, Maziar,P., Fainman, Yeshaiahu,<br />
"Optical Bistability in a Silicon Waveguide Distributed Bragg Reflector Fabry-Perot Resonator,"<br />
Journal of Lightwave Technology, Vol. 30, 14, 2352 - 2355 (2012).<br />
Pang, Lin, Chen, H. Matthew, Freeman, Lindsay, Fainman, Yeshaiahu, "Optofluidic Devices and<br />
Applications in Photonics, Sensing and Imaging," Lab on a Chip, Vol. 12, 19, 3543 - 3551 (2012).<br />
Jiang, Li<br />
Vangari, Manisha, Pryor, Tonya, Jiang, Li, "Supercapacitors: Materials and Fabrication Methods<br />
Review," Journal of Energy Engineering, (2012).<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 294
Jiang, Li, Islam, Saidul, Korivi, Naga,S., "Micro-patterning of Nanocomposites of Polymer and Carbon<br />
Nanotubes," Microelectronic Engineering, Vol. 93, 10 - 14 (2012).<br />
Lipson, Michal<br />
Tzuang, Lawrence,D., Soltani, Mohammad, Lipson, Michal, "High frequency intensity modulation in<br />
silicon ring resonators beyond the cavity linewidth limit," Optics Express, (2012).<br />
Lomakin, Vitaliy<br />
Boag, A, Lomakin, V, "Generalized Equivalence Integral Equations," IEEE Antennas and Wireless<br />
Propagation Letters, Vol. 11, 1568 - 1571 (2013).<br />
Lomakin, V, Li, A, Chang, R, "Fast integral equation solvers on Graphics Processing Units for<br />
Electromagnetics," IEEE Antennas and Propagation Magazine, Vol. 54, 71 - 87 (2012).<br />
Orden, D, Lomakin, V, "Rapidly convergent representations for periodic Green’s function of a linear<br />
array in layered media," IEEE Transactions on Antennas and Propagation, Vol. 60, 870 - 879 (2012).<br />
Lomakin, v, Ding, Q, Escobar, M, Lubarda, M, Li, S, "Electromagnetic Design of Heat-Assisted<br />
Magnetic Recording System," IEEE Antennas and Propagation Symposium and USNC-URSI National<br />
Radio Science Meeting, (2012).<br />
Lomakin, V, Rodriguez, A,R., Hansen, P, Koyama, L, Ding, Q, "LF Antenna Optimization over High<br />
Impedance Ground Plane," IEEE Antennas and Propagation Symposium and USNC-URSI National<br />
Radio Science Meeting, (2012).<br />
Li, S, Chang, R, Boag, A, Lomakin, V, "Massively Parallel FFT and Interpolation Based Methods on<br />
GPU and CPU Systems," IEEE Antennas and Propagation Symposium and USNC-URSI National Radio<br />
Science Meeting, (2012).<br />
Lomakin, V, "Generalized Equivalence Integral Equations," IEEE Antennas and Propagation<br />
Symposium and USNC-URSI National Radio Science Meeting, Chicago, Illinois, (2012).<br />
Lomakin, V, Chang, R, Michielssen, E, "Coupling Electromagnetics and Micromagnetics," IEEE<br />
Antennas and Propagation Symposium and USNC-URSI National Radio Science Meeting, (2012).<br />
Liu, Y, Yucel, A,C., Lomakin, V, Michielssen, E, "A Scalable Parallel Implementation of the Plane<br />
Wave Time Domain Algorithm on Graphics Processing Unit-Augmented Clusters," IEEE Antennas<br />
and Propagation Symposium and USNC-URSI National Radio Science Meeting, (2012).<br />
Lomakin, V, Li, S, "Fast iterative electromagnetic integral equation solvers on GPUs," (2012).<br />
Boag, A, Lomakin, V, "Generalized Equivalence Integral Equations," (2012).<br />
Mookherjea, Shayan<br />
Mookherjea, Shayan, Grant, H.R, "High dynamic range microscope infrared imaging of silicon<br />
nanophotonic devices," Optics Lett., Vol. 37, 22, 4705 - 4707 (2012).<br />
Aguinaldo, Ryan, Shen, Y, Mookherjea, Shayan, "Large dispersion of silicon directional couplers<br />
obtained via wideband microring parametric characterization," IEEE Photonics Technology Letters,<br />
Vol. 24, 14, 1242 - 1244 (2012).<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 295
Shneider, M.A, Mookherjea, Shayan, Mookherjea, Shayan, "Modeling transmission time of silicon<br />
nanophotonic waveguides," IEEE Photonics Technology Letters, Vol. 24, 16, 1418 - 1420 (2012).<br />
Aguinaldo, Ryan, Mookherjea, Shayan, "Large Dispersion of Silicon Waveguide Directional Couplers,"<br />
CLEO 2012, (2012).<br />
Shneider, M.A, Mookherjea, Shayan, "Avoiding bandwidth collapse in hundreds of coupled silicon<br />
micro-resonators," CLEO 2012, (2012).<br />
Scherer, Axel<br />
Fegadolli, William,S., Vargas, German,A. M., Wang, Xuan,B., Valine, Felipe,R., Barea, Luis,R., Oliveira,<br />
José Edimar, Frateschi, Newton, Scherer, Axel, Almeida, Vilson, Panepucci, Roberto, "Reconfigurable<br />
silicon thermo-optical ring resonator switch based on Vernier effect," Optics Express, Vol. 20, 13,<br />
14722 - 14733 (2012).<br />
Kim, Se-Heon, Huang, Jingqing, Scherer, Axel, "Photonic crystal nanocavity laser in an optically very<br />
thick slab," Optics Lett., Vol. 37, 4, 488 - 490 (2012).<br />
Kim, Se-Heon, Huang, Jingqing, Scherer, Axel, "From vertical-cavities to hybrid metal/photonic-crystal<br />
nanocavities: towards high-efficiency nanolasers," J. Opt. Soc. Am. B, Vol. 29, 4, 577 - 588 (2012).<br />
Feng, Liang,S., Xu, Ye-Long,B., Fegadolli, William,R., Lu, Ming-Hui, Oliveira, Jose Edimar, Almeida,<br />
Vilson, Chen, Yan-Feng, Scherer, Axel, "Experimental demonstration of a unidirectional reflectionless<br />
parity-time metamaterial at optical frequencies," Nature Mat., Vol. Advanced on-line publication,<br />
(2008).<br />
Kim, Se-Heon, Homyk, Andrew, Walavalkar, Sameer, Scherer, Axel, "High-Q impurity photon states<br />
bounded by a photonic band pseudogap in an optically thick photonic crystal slab," Physical Review<br />
B, Vol. 86, 24, 245114-1 - 245114-6 (2012).<br />
Kim, Se-Heon, Huang, Jingqing, Scherer, Axel, "Higher-order defect-mode laser in an optically thick<br />
photonic crystal slab," Optics Letters, Vol. 38, 2, 94 - 96 (2012).<br />
Wu, Ming<br />
Going, Ryan,C., Kim, Myung-Ki, Wu, Ming, "Sub-fF nanophotodetector for efficient waveguide<br />
integration," 2012 IEEE 9th International Conference on Group IV Photonics (GFP), 96 - 98 (2012).<br />
Grutter, Karen,E., Grine, Alejandro,TC., Kim, Myung-Ki,C., Quack, Niels, Rocheleau, Tristan, Nguyen,<br />
Clark, Wu, Ming, "A Platform for On-Chip Silica Optomechanical Oscillators with Integrated<br />
Waveguides," Conference of Lasers and Electro-Optics, (2012).<br />
Choo, Hyuck, Kim, Myung-Ki, Staffaroni, Matteo, Seok, Tae Joon, Bokor, Jeffrey, Cabrini, Stefano,<br />
Schuck, P. James, Wu, Ming,C., Yablonovitch, Eli, "Nanofocusing in a metal-insulator-metal gap<br />
plasmon waveguide with a three-dimensional linear taper," Nature Photonics, Vol. 6, 12, 838 - 844<br />
(2012).<br />
Going, Ryan, Kim, Myung-Ki, Wu, Ming,C., "Metal-Optic Cavity for a High Efficiency Sub-fF<br />
Germanium Photodiode on a Silicon Waveguide," Optics Express, (2012).<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 296
THRUST 3<br />
Chang-Hasnain, Connie<br />
Chang-Hasnain, C., Wang, W., "High-contrast gratings for integrated optoelectronics," Adv. Opt.<br />
Photon, Vol. 4, 379 - 440 (2012).<br />
Rao, Y.,R., Chase, C.,P., Huang, M.,J., Chitgarha, M., Zayadi, M., Worland, D., Willner, A, Chang-<br />
Hasnain, C, "Continuous Tunable 1550-nm High Contrast Grating VCSEL," 2012 CLEO, San Jose,<br />
CA, (2012).<br />
Rao, Y.,R., Chase, C.,P., Huang, M.,J., Chitgarha, M., Zayadi, M., Worland, D., Willner, A, Chang-<br />
Hasnain, C, "MEMS Tunable 1550-nm High Contrast Grating VCSEL," 2012 IEEE International<br />
Semiconductor, (2012).<br />
Rao, Y., Chase, C., Huang, M., Khaleghi, S., Zayadi, M., Worland, D,P., Willner, A, Chang-Hasnain, C,J.,<br />
"Tunable 1550-nm VCSEL Using High Contrast Gratings," 2012 IEEE Photonics Conference (IPC),<br />
Burlingame, CA,, (2012).<br />
Chang-Hasnain, Connie,M., Yang, Weijian,M., "High-contrast gratings for integrated optoelectronics,"<br />
Adv. Opt. Photon, Vol. 4, 379 - 440 (2012).<br />
Khitrova, Galina<br />
Gehl, Michael,C., Gibson, Ricky,M., Hendrickson, Joshua, Homyk, Andrew, Saynatjoki, Antti, Alasaarela,<br />
Tapani, Karvonen, Lasse, Tervonen, Ari, Honkanen, Seppo, Zandbergen, Sander, Richards, Benjamin,<br />
Olitzky, J. D., Scherer, Axel, Khitrova, Galina, Gibbs, Hyatt, Kim, Ju-Young, Lee, Yong-Hee, "Effect of<br />
atomic layer deposition on the quality factor of silicon nanobeam cavities," J. Opt. Soc. Am. B, Vol.<br />
29, 2, A55 - A59 (2012).<br />
Tomaino, Joseph,L., Jameson, Andrew,D., Lee, Yun-Shik, Khitrova, Galina, Gibbs, Hyatt,M., Klettke,<br />
Andrea,C., Kira, Mackillo, Koch, Stephan,W., "Terahertz excitation of a coherent three-level Lambdatype<br />
exciton-polariton microcavity mode," Phys. Rev. Lett., Vol. 108, 26, 267402-1 - 267402-5 (2012).<br />
Norwood, Robert<br />
Gangopadhyay, Palash, Lopez-Santiago, Alejandra, Grant, Hannah,R., Peyghambarian, Nasser,<br />
Norwood, Robert,A., "New materials for magneto-optic in-fiber waveguide isolators," Advances in<br />
Optical Materials 2012, Vol. 2012, IF2A3, (2008).<br />
Nguyen, Dan,T., Norwood, Robert,A., "Label-free, single-object sensing with a microring resonator,"<br />
Optics Express, Vol. 21, 49 (2013).<br />
Tada, Kazunari, Cohoon, Gregory, Kieu, Khanh, Mansuripur, Masud, Norwood, Robert,A., "Fabrication<br />
of high-Q microresonators by femtosecond laser micromachining of optical fiber," IEEE Photonics<br />
Technology Letters, Vol. 25, 515 (2013).<br />
DeRose, Christopher,T., Greenlee, Charles,M., Yeniay, Aydine, Norwood, Robert,A., "Organic<br />
waveguides, ultra-low loss demultiplexers, and electro-optic polymer devices" (2008).<br />
Lau, P,C., Norwood, Robert,A., Mansuripur, Masud, Peyghambarian, Nasser, "An effective and simple<br />
oxygen nanosensor made from MPA-capped water soluble CdTe nanocrystals," Nanotechnology,<br />
Vol. 24, 015501 (2013).<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 297
Shahin, Shiva, Gangopadhyay, Palash, Norwood, Robert,A., "Ultrathin organic bulk heterojunction<br />
solar cells: Plasmon enhanced performance using Au nanoparticles," Appl. Phys. Lett., Vol. 101,<br />
053109 (2008).<br />
Cocilovo, Byron, Amooali, Akram, Shahin, Shiva, Islam, Safatul, Duong, B,A., Campbell, Matthew,<br />
Gangopadhyay, Palash, Thomas, Jayan, Norwood, Robert,A., "The effect of diffraction gratings on<br />
absorption in P3HT:PCBM layers," Optics for Solar Energy, JMFA.16, (2012).<br />
Nguyen, Dan,T., Norwood, Robert,A., "A novel sensing approach using nonlinear defect photonic crystal<br />
structures," Proceedings SPIE, Vol. 8497, 8497-22 (2012).<br />
Makarov, Nikolai,S., Lau, Pick,C., Kieu, Khanh, Norwood, Robert,A., Peyghambarian, Nasser, Perry,<br />
Joseph, "Correlating one-photon, two-photon, and excited sate spectroscopy of CdSe quantum<br />
dots," QELS 2012, Vol. 2012, JW4A.46, (2012).<br />
Cohoon, Gregory, Norwood, Robert,A., Tada, Kazunari, Kieu, Khanh, Mansuripur, Masud, "Fabrication<br />
of high-Q microresonators using femtorsecond laser micromachining," CLEO 2012, Vol. 2012,<br />
CM1M.6, (2012).<br />
Peyghambarian, Nasser<br />
Karbassian, Massoud, Ghafouri-Shiraz, Hooshang Ghafouri-Shiraz, "Optical CDMA Networks: Principles,<br />
Analysis and Applications" (2012).<br />
Qian, Jin, Karbassian, Massoud, Ghafouri-Shiraz, Hooshang, "Energy-Efficient High-Capacity Optical<br />
CDMA Networks by Low-Weight Large Code-Set MPC," Journal of Lightwave Technology, Vol. 30, 17,<br />
2876 - 2883 (2012).<br />
Zou, Sicheng, Karbassian, Massoud, Ghafouri-Shiraz, Hooshang, "1D and 2D Multi-Weight Multi-<br />
Length Codes in Optical CDMA Networks Supporting Multi-Rate Differentiated-QoS," Journal of<br />
Optical Communications and Networking, (2013).<br />
Mo, Weiyang, He, Jun, Karbassian, Massoud, Wissinger, John, Peyghambarian, Nasser, "Quality of<br />
Transmission Awareness in Converged OpenFlow-based Electronic Packet and Optical Circuit<br />
Switched Networks," Communications Letters (2013).<br />
Mo, Weiyang, He, Jun, Karbassian, Massoud, Wissinger, John, Peyghambarian, Nasser, "Situationaware<br />
Protocol-Aware OpenFlow-based Converged Network," OFC, (2013).<br />
Fang, Q, Shi, W, Kieu, K, Petersen, E, Chavez-Pirson, A, Peyghambarian, N, "High power and high<br />
energy monolithic single frequency 2 µm nanosecond pulsed fiber laser by using large core Tmdoped<br />
germanate fibers: Experiment and Modeling," Optics Express, (2012).<br />
Lopez-Santiago, A, Grant, H,R., Gangopadhyay, P, Voorakaranam, R, Norwood, R,A., Peyghambarian,<br />
P, "Cobalt ferrite nanoparticles polymer composites based all-optical magnetometer," Opt. Mat.<br />
Express, (2012).<br />
Fang, Q, Shi, W, Kieu, K, Chavez-Pirson, A, Peyghambarian, N, "Half-mj all-fiber-based singlefrequency<br />
nanosecond pulsed fiber laser at 2-um," IEEE Photonics Technology Letters, (2012).<br />
Kieu, K, Schneebeli, L, Norwood, R,A., Peyghambarian, N, "Integrated liquid-core optical fibers for<br />
ultra-efficient nonlinear liquid photonics," Optics Express, (2012).<br />
Kieu, K, Schneebeli, L, Merzlyak, E, Hales, J,M., DeSimone, A, Perry, J,W., Norwood, R,A.,<br />
Peyghambarian, N, "All-optical switching based on inverse Raman scattering in liquid-core fibers,"<br />
Optics Lett., (2012).<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 298
Petersen, E, Chavez-Pirson, A, Shi, W, Peyghambarian, N, "High peak-power single-frequency pulses<br />
using multiple stage, large core phosphate fibers and preshaped pulses," Appl. Phys. Lett., Applied<br />
Optics, (2012).<br />
Peyghambarian, N, Zhu, X, Wang, J, Nguyen, D, Thomas, J, Norwood, R,A., Peyghambarian, N, "Linear<br />
and non-linear properties of Co3O4 nanoparticle-doped polyvinyl-alcohol thin films," Optical<br />
Materials Express, (2012).<br />
Kieu, Khanh, Churin, Dimitriy, Norwood, Robert,A., Peyghambarian, Nasser, "Brillouin lasing in<br />
integrated liquid-core optical fibers," CLEO 2012 Postdeadline, Vol. PD 2012, Cth5D.8, (2012).<br />
Lau, P.,A., Norwood, R, Mansuripur, M., Peyghambarian, N., "An effective and simple oxygen<br />
nanosensor made from MPA-capped water soluble CdTe nanocrystals," Optical Engineering, (2012).<br />
Kieu, Khanh, Merzlyak, Yevgeniy, Schneebeli, Lukas, Hales, Joel, Perry, Joseph, Norwood, Robert,A.,<br />
Peyghambarian, Nasser, "Integrated liquid-core optical fibers for ultra-efficient nonlinear liquid<br />
photonics," CLEO 2012, Vol. 2012, Cth3G.4, (2012).<br />
Radic, Stojan<br />
Alic, N, Wiberg, A,O., Liu, L, Tong, Z, Myslivets, E, Ataie, V, "Cavity-Less Pulse Source Based Optical<br />
Sampled ADC," OSA, (2012).<br />
Liu, L, Tong, Z, Wiberg, A, Alic, N, "Generation and Characterization of self-phase-modulation based<br />
cavity-less source," OSA, (2012).<br />
Wiberg, A,O., Tong, Z, Liu, L, Ponsetto, J,L., Ataie, V, Myslivets, E, Alic, N, "Demonstration of Parallel<br />
Polychromatic Sampling based analog-to-Digital conversion at 8 GS/s," OSA, (2012).<br />
Ataie, V, Myslivets, E, Wiberg, A,O., Alic, N, "Pump Noise cancellation in parametric wavelength<br />
converters," OSA, (2012).<br />
Gholami, F, Myslivets, E, Zlatanovic, S, Kuo, B, Alic, N, "Octave-Wide Characterization of highly<br />
nonlinear fiber dispersion," OSA, (2012).<br />
Kuo, B,P., Wiberg, A,O., Liu, L, Alic, N, "Self-Linearization in Analog Parametric Sampling Gate using<br />
Higher-order Parametric Mixing," OSA, (2012).<br />
Tong, Z, Wiberg, A, Myslivets, E,M., Kuo, B,P., alic, N, "Linewidth Preserved Broadband Parametric<br />
Comb Seeded by Two Injection-Locked Pumps," OSA Technical digest, (2012).<br />
Tong, Z, Liu, L, Wiberg, A,O., Radic, S, "Self-Phase-Modulation Based Low-Noise, Cavity-less Short<br />
Pulse Source For Photonic-Assisted ADC," OSA Technical digest, (2012).<br />
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BUDGET REQUESTS<br />
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SUMMARY LIST OF APPENDICES<br />
Appendix I – Glossary<br />
Appendix II – Agreements and Certifications<br />
Industrial Practitioner Membership Agreement<br />
Confidential Disclosure Agreement<br />
Intellectual Property Agreement<br />
Human Research Determination<br />
Certification of the Industrial/Practitioner Membership List<br />
Conflict of Interest Policy and Certification<br />
Certification of Unexpended Residual Funds<br />
Postdoctoral Researcher Mentoring Activities<br />
Appendix III – Table 7 ERC Personnel<br />
Appendix IV – Diversity Plan<br />
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APPENDIX I – GLOSSARY<br />
ACK – Acknowledgement<br />
AFM – Atomic Force Microscope<br />
ANSI – American National Standards Institute<br />
APD – Avalanche Photo Diode<br />
ASE – Amplified Spontaneous Emission<br />
ASIC – Application Specific Integrated Circuit<br />
ATM – Asynchronous Transfer Mode<br />
BER – Bit error rate<br />
BERT – Bit Error Rate Test<br />
BPM – Beam Propagation Method<br />
CBG – Chirped Vertical Bragg Gratings<br />
CalIT2 – California Institute for Telecommunications and Information Technology<br />
CD – Chromatic Dispersion<br />
CDMA – Code Division Multiple Access<br />
CENIC – Corporation for Education Network Initiatives in California<br />
CMOS – Complementary Metal-Oxide Semiconductor<br />
CPLD – Complex programmable logic device<br />
CPU – Central Processing Unit<br />
CVD – Chemical Vapor Deposition<br />
CWDN – Coarse Wavelength Division Multiplexing<br />
DBR – Distributed Bragg Reflector<br />
DEP – Dielectrophoresis<br />
DFG – Difference Frequency Generation<br />
DPSK – Differential Phase-Shift Keying<br />
DQPSK – Differential Quadrature Phase Shift Keying<br />
DRAM – Dynamic Random Access Memory<br />
DWDM – Dense Wavelength Division Multiplexing<br />
EEP – Ethernet Extension Protocol<br />
ELO – Epitaxial Lateral Overgrowth<br />
EO – Electro Optical<br />
FCA – Free Carrier Absorption<br />
FDL – Fiber Delay Lines<br />
FFT – Fast Fourier Transform<br />
FO – Fiber Optics<br />
FPGA – Field-Programmable Gate Array<br />
FSK – Frequency Shift Keying<br />
FSR – Free Spectral Range<br />
FSR – Free Spectral Range<br />
FTP – File Transfer Protocol<br />
FTTC – Fiber to The Curb<br />
FTTH – Fiber to The Home<br />
Gbps – GigaBits per Second<br />
GENI – Global Environment for Network Innovations<br />
GHz – GigaHertz<br />
GigE – Gigabit Ethernet<br />
GPU – Graphics Processing Unit<br />
HCG – High Contrast Grating<br />
Hz – Hertz<br />
IAB – Industrial Advisory Board<br />
IAN – Intelligent Aggregation Network<br />
IEEE – Institute of Electrical & Electronics Engineers<br />
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IEEE – Institute of Electrical and Electronics Engineers<br />
IP – Internet Protocol<br />
ISO – International Standards Organization<br />
ISP – Internet Service Provider / Information Service Provider<br />
IT – Information Technology<br />
ITU – International Telecommunications Union<br />
kHz – kilohertz<br />
LAN - Local Area Network<br />
LC – Liquid Crystal<br />
LOET – Lateral Field Optoelectronic Tweezers<br />
MAC – Media Access Control<br />
MBE – Molecular Beam Epitaxial<br />
MEMS - Micro-Electro-Mechanical Systems<br />
MHZ – MegaHertz<br />
MIMO – Multiple Input and Multiple Output<br />
MLSE – Maximum Likelihood Sequence Estimation<br />
MMF – Multi-Mode Fiber<br />
MOCVD – Metalorganic Chemical Vapor Deposition<br />
MORDIA - Microsecond Optical Research Datacenter Interconnect Architecture<br />
MQW – Multiple Quantum Wells<br />
MUX Multiplexer<br />
MZI – Mach Zehnder Interferometer<br />
NA – Numerical Aperture<br />
NGM – Non-uniform Grid Method<br />
NIC – Network Interface Card<br />
NRZ – NonReturn to Zero<br />
NRZI – NonReturn to Zero Inverted<br />
NSF – National Science Foundation<br />
NSOM – Near Field Scanning Optical Microscope<br />
OCS – Optical Circuit Switching<br />
OEO – Optical-Electrical-Optical<br />
OFC – Optical Fiber Conference<br />
OOK – On Off Keying<br />
OPM – Optical Performance Monitor<br />
OPS – Optical Packet Switching<br />
OSNR – Optical Signal to Noise Ratio<br />
OPM – Optical Performance Monitoring<br />
PMD – Polarization Mode Dispersion<br />
PSK – Phase Shift Keying<br />
Q – Quality Factor<br />
QoS – Quality of Service<br />
QoT – Quality of Transmission<br />
RF – Radio Frequency<br />
RZ/NRZ – Return to Zero, None Return to Zero<br />
SAB – Strategic Advisory Board<br />
SDN – Software Defined Networking<br />
SEED – Scalable and Energy Efficient Data Centers<br />
SEM – Scanning Electron Microscope<br />
SLC – Student Leadership Council<br />
SMF – Single Mode Fiber<br />
SOA – Semiconductor Optical Amplifier<br />
SOI – Silicon on Insulator<br />
SONET – Synchronous Operating/Optical Network<br />
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SPICE – General-Purpose Circuit Simulation Program for Nonlinear DC, Transient, and Linear AC<br />
Analyses<br />
SPM – self phase modulation<br />
TOAN – Testbed for Optical Aggregation Networking<br />
TCP – Transmission Control Protocol<br />
TDM – Time Division Multiplexing<br />
TEM – Transmission Electron Microscope<br />
TOSA – Transmitter Optical Sub-Assembly<br />
TPA – Two Photon Absorption<br />
Tx/Rx –Transmitter/Receiver<br />
UWB – Ultra Wide Bandwidth<br />
VA – Viterbi Algorithm<br />
VCSEL – Vertical Cavity Surface Emitting Laser<br />
W-CDMA - Wideband-CDMA<br />
WDM – Wavelength Division Multiplexing<br />
WG1 – Working Group 1, Data Centers<br />
WG2 – Working Group 2, Intelligent Aggregation Networks<br />
WSC – Wavelength Selective Coupler<br />
XPM – Cross Phase Modulation<br />
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APPENDIX II – AGREEMENTS AND CERTIFICATIONS<br />
INDUSTRIAL/PRACTITIONER MEMBERSHIP AGREEMENT<br />
Industry Membership Agreement<br />
Center for Integrated Access Networks<br />
This Agreement is made _______________ (“Effective Date”) by and among The University of<br />
Arizona (the “UNIVERSITY”), through the Center for Integrated Access Networks (hereinafter<br />
“<strong>CIAN</strong>”), each company that participates as a Member and signs a copy of this Agreement<br />
(“Member”), and the Cooperators defined below. UNIVERSITY, Members and Cooperators<br />
together are the “Parties” and UNIVERSITY, each Member, and each Cooperator are each a<br />
“Party”.<br />
WHEREAS, UNIVERSITY is the recipient of funding from the National Science Foundation<br />
(“NSF”) and has joined with its academic partner institutions including the University of<br />
California at San Diego, the California Institute of Technology, the University of Southern<br />
California, University of California at Los Angeles, University of California at Berkeley,<br />
Columbia University, Cornell University, Norfolk State University and Tuskegee University, has<br />
established the National Science Foundation Engineering Research Center for Integrated Access<br />
Networks; (individually a “Cooperator”; in any combination “Cooperators”) to establish the<br />
Center for Integrated Access Networks (“<strong>CIAN</strong>”), an NSF Engineering Research Center (“NSF<br />
ERC”); and<br />
Whereas, <strong>CIAN</strong> will conduct research into transformative technologies for optical access<br />
aggregation networks and data centers;<br />
Whereas, <strong>CIAN</strong> will be operated by certain faculty, staff, and students at the UNIVERSITY and<br />
its academic partner institutions;<br />
Whereas, <strong>CIAN</strong> will be supported jointly by the National Science Foundation, the<br />
UNIVERSITY and its Partner Institutions, Industrial Firms, Federal Laboratories, and State and<br />
Local Agencies;<br />
Whereas, the UNIVERSITY, in cooperation with its Partner Institutions, has established an<br />
Industrial Membership program in support of <strong>CIAN</strong>;<br />
NOW THEREFORE, IN CONSIDERATION OF THE PREMISES AND OF THE MUTUAL<br />
COVENANTS CONTAINED HEREIN, THE PARTIES AGREE AS FOLLOWS:<br />
1. Agreement Purpose<br />
The Industrial Partners in Innovation Program has been created to foster productive working<br />
relationships between <strong>CIAN</strong> and companies that are stakeholders in the future evolution of<br />
optical communication networks. <strong>CIAN</strong> and Member are joining together in a cooperative effort<br />
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to support the research and development needs of the Member, while furthering the mission of<br />
<strong>CIAN</strong> to deliver high impact research that advances understanding, creates transformative new<br />
systems capabilities, delivers economic impact through translation of technology to the<br />
marketplace, and educates the next generation of scientists and engineers.<br />
2. <strong>CIAN</strong> Industrial Advisory Board (IAB)<br />
<strong>CIAN</strong> shall have an Industrial Advisory Board (hereinafter the “IAB”) composed of one<br />
representative from each of its member companies. The function of the IAB shall be to provide<br />
advice to the <strong>CIAN</strong> consistent with the aims of the NSF ERC program, including guidance on<br />
strategic direction, research activities, education programs and technology transfer efforts. The<br />
meeting logistics and other operating procedures of the IAB shall be determined outside of this<br />
Agreement.<br />
The rights and obligations of Members under this agreement shall also extend only to Member’s<br />
affiliates or subsidiaries who routinely share in a free flow of member company’s internal<br />
technical information.<br />
At the sole discretion of the <strong>CIAN</strong> management team, any organization may become a member<br />
of <strong>CIAN</strong>’s IAB, and additional cooperators and members may be added at any time.<br />
3. Terms of Membership<br />
A. IAB Participation<br />
Execution of this agreement entitles company to become a <strong>CIAN</strong> Industrial member, and<br />
to hold one voting seat on <strong>CIAN</strong>’s IAB.<br />
B. Benefits<br />
The benefits of membership to Member are summarized in Appendix A attached to this<br />
Agreement.<br />
C. Member’s Obligations<br />
With membership come certain obligations for Member as follows:<br />
- designate a named representative to <strong>CIAN</strong> to serve as an interface, and attempt to<br />
ensure that the representation is kept as stable as possible for purposes of<br />
continuity<br />
- support <strong>CIAN</strong> by attending Industry Retreats and Workshops, and <strong>Annual</strong> Site<br />
review meetings held for the program’s NSF sponsors<br />
- provide inputs to <strong>CIAN</strong> technology roadmapping exercises to an extent not<br />
restricted by company proprietary considerations<br />
- give consideration to providing internships for <strong>CIAN</strong> students<br />
- support recruiting of other industry or Government participants as deemed to<br />
enhance the Center’s quality of dialogue and value proposition<br />
- provide financial support for <strong>CIAN</strong> annually as outlined in Article 3.D<br />
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D. Fee<br />
The fee for membership comprises an annual cash contribution of $25K provided in the<br />
form of an unrestricted gift of funds. Equivalent in-kind donations may be evaluated on a<br />
case-by-case basis only. Any exceptions of the fee schedule must be approved by the<br />
<strong>CIAN</strong> center director.<br />
Sponsored research programs in which research funding is directed specifically to <strong>CIAN</strong><br />
faculty and students, and in excess of $150K in value, may be evaluated for membership<br />
equivalency on a case-by-case basis.<br />
E. Payment of Fee<br />
Payments shall be made annually, with the first payment coming due in full within thirty<br />
(30) days of the execution of this Agreement.<br />
Fee<br />
Checks shall be made payable to:<br />
University of Arizona, <strong>CIAN</strong> Industrial Membership<br />
Checks shall be mailed to:<br />
Rick Franco, <strong>CIAN</strong> Office<br />
The University of Arizona<br />
College of Optical Sciences<br />
1630 E. University Blvd., room 541<br />
Tucson, AZ 85721<br />
F. Term<br />
The initial term of the membership will be from the date of execution of this Agreement<br />
through the following 12 months, with subsequent terms continuing for 12 months<br />
thereafter.<br />
G. Renewal & Termination<br />
This agreement will be renewed annually and automatically. Either party of this<br />
Agreement may terminate annual continuation by providing the other party with written<br />
notice at least ninety (90) days prior to the end of the one-year membership period.<br />
Member may terminate for any reason. Fee is non-refundable.<br />
H. Other Costs<br />
Member shall bear all costs and expenses related to its membership, such as travel to and<br />
from semiannual meetings and other visits to <strong>CIAN</strong> partners.<br />
4. Publication and Intellectual Property<br />
4.1 The Parties acknowledge and agree that the goals of the <strong>CIAN</strong> may be met by both<br />
public disclosure of results of <strong>CIAN</strong> project activities (“Results”) and by protection of patentable<br />
subject matter arising or resulting from <strong>CIAN</strong> project activities (“Inventions”). Notwithstanding<br />
anything to the contrary in this Agreement, UNIVERSITY and/or Cooperators shall have the<br />
unrestricted right to publicly disclose the Results developed under this Agreement. With<br />
consideration of the advice and guidance of the IAB, UNIVERSITY and Cooperators shall<br />
reasonably endeavor to balance the timely publication of results with the need to seek protection<br />
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for Inventions. The Parties shall implement a confidentiality agreement promptly upon execution<br />
of this Agreement, and shall implement other agreements or procedures as needed, to facilitate<br />
timely review of Results for patentability and for prevention of patent bars caused by premature<br />
disclosures.<br />
4.2 All Inventions created by an investigator(s) of UNIVERSITY and/or Cooperators<br />
under <strong>CIAN</strong> projects shall vest with the employer or designated assignee of such investigator(s).<br />
Inventorship shall be determined in accordance with U.S. law. Prosecution and licensing of<br />
Inventions shall be conducted by the Cooperator with which an inventor is associated, or such<br />
Cooperator’s designee. In the case of joint Inventions by investigators of different institutions, an<br />
inter-institutional agreement will be reached – with terms and conditions consistent with this<br />
Agreement – regarding the management of such joint Inventions and the sharing of value therein.<br />
4.3 Subject to the terms and conditions of this Agreement, member shall have a nonexclusive,<br />
noncommercial, royalty-free license under UNIVERSITY and/or Cooperator(s)<br />
Inventions or joint Inventions created during the time that Member is in paid-up status under this<br />
Agreement to use such Inventions for internal research and non-commercial use. Such license<br />
shall not include the right to make, use, or sell products or processes for commercial purposes or<br />
to sublicense. Subject to the terms and conditions of this Agreement, Member shall also have a<br />
right to negotiate a commercial, royalty-bearing license to make, use, and sell products and<br />
processes under such Inventions. This first right to negotiate shall extend for three hundred and<br />
sixty-five days (1 year) after disclosure of the Invention to Member by UNIVERSITY and/or<br />
Cooperator(s). If more than one Member of <strong>CIAN</strong> requests a license within the same field of use,<br />
only a fee and/or royalty bearing, non-exclusive license shall be available for that field. If only<br />
one Member desires a license in a field of use, such Member shall have the right to negotiate for<br />
a fee and/or royalty bearing exclusive license in such field of use. Such licenses shall be<br />
consistent with industry standards and the objectives and mission of the <strong>CIAN</strong>. The technology<br />
will not be licensed outside of the Members for a period of three hundred sixty five (365) days<br />
after disclosure of the Invention to Member by UNIVERSITY and/or Cooperator(s).<br />
4.4 At the end of such period of three hundred sixty-five (365) days, UNIVERSITY<br />
and/or Cooperators shall have the right to grant licenses to non-Member third parties. For any<br />
licenses granted to non-Member third parties, UNIVERSITY and/or Cooperators shall make<br />
reasonable efforts in good faith to ensure that the terms and conditions of such licenses shall be<br />
on terms no more favorable than terms and conditions offered to Members for similar licenses.<br />
4.5 The granting of fee and/or royalty bearing licenses to Member herein shall be subject<br />
to any third party rights or restrictions and to the payment of patent costs by Member. Member<br />
shall pay to the institution prosecuting the relevant Invention(s) its proportional share, divided<br />
equitably among licensees, of patent costs of the Invention(s) for which Member has elected to<br />
take a license.<br />
4.6 Regardless of the licenses status of any intellectual property, the University and<br />
Cooperators retain the right to be free to use patented inventions and copyrighted material for<br />
educational and research purposes only.<br />
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4.7 EXCEPT AS OTHERWISE MAY BE EXPRESSLY SET FORTH IN THIS<br />
AGREEMENT, INVENTIONS ARE LICENSED “AS IS” WITHOUT ANY EXPRESS OR<br />
IMPLIED WARRANTIES WHATSOEVER. UNIVERSITY OF ARIZONA AND<br />
COOPERATORS MAKE NO REPRESENTATION, NOR EXTEND ANY WARRANTIES OF<br />
ANY KIND, EITHER EXPRESS OR IMPLIED, AND ASSUME NO RESPONSIBILITY<br />
WHATSOEVER WITH RESPECT TO USE, SALE, OR OTHER DISPOSITION BY FULL<br />
Member OR ITS VENDEES OR OTHER TRANSFEREES OF PRODUCTS<br />
INCORPORATING OR MADE BY USE OF INVENTIONS LICENSED UNDER THIS<br />
AGREEMENT.<br />
5. Copyright<br />
Copyrightable materials created while working on <strong>CIAN</strong> projects shall be owned and controlled<br />
by the author of such materials or his/her designee.<br />
6. Use of Names<br />
Except as required by law, no party shall use the name, logos, marks, emblems and designs<br />
(“Mark”) of UNIVERSITY, a Cooperator, Strategic Member, or Member in any publicity or<br />
advertisement, whether with respect to this Agreement or any other related matter, without the<br />
prior written approval of an authorized representative of the owner of the Mark.<br />
Acknowledgement of funding or participation in <strong>CIAN</strong> in a factual statement shall not be<br />
considered to be publicity or an advertisement and shall not be restricted by this requirement.<br />
7. Notices<br />
Any notices required or permitted to be given hereunder will be in English and will be in writing<br />
delivered by first class mail or facsimile to the following:<br />
Rick Franco, <strong>CIAN</strong> Office<br />
The University of Arizona<br />
College of Optical Sciences<br />
1630 E. University Blvd., room 541<br />
Tucson, AZ 85721<br />
8. Independent Parties<br />
For purposes of this Agreement, UNIVERSITY, Cooperators, Members and Strategic Members<br />
shall be independent contractors, and none shall at any time be considered an agent or an<br />
employee of the other. No joint venture, partnership or like relationship is created among<br />
UNIVERSITY, the Cooperators, Members or Strategic Members by this Agreement.<br />
9. Indemnification<br />
Member shall indemnify, defend and hold Cooperators and UNIVERSITY, including each of<br />
their trustees, Members and Strategic Members, officers, directors, employees, students,<br />
affiliates, inventors, and authors, harmless against any and all claims, proceedings, demands,<br />
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liabilities, and expenses, including legal expenses and reasonable attorney’s fees, arising out of<br />
the death of or injury to any person or persons or out of any damage to property and against any<br />
other claim, proceeding, demand, expense and liability of any kind resulting from Member’s<br />
activities under this Agreement, use of results of this Agreement, and/or the production,<br />
manufacture, sale, use, lease, consumption or advertisement of products of Member and/or its<br />
affiliates arising from any license right of Member hereunder.<br />
10. Entire Agreement<br />
This Agreement sets forth the entire understanding among the Parties with respect to the subject<br />
matter hereto and supersedes all previous agreements written or otherwise. This Agreement may<br />
be amended only in writing by an authorized signatory on behalf of the Parties.<br />
11. Signatures<br />
This Agreement may be executed in any number of counterparts, including facsimile or scanned<br />
PDF documents. Each such counterpart, facsimile or scanned PDF document shall be deemed an<br />
original instrument, and all of which, together, shall constitute one and the same executed<br />
Agreement.<br />
Agreed by<br />
__________________________________/_____________<br />
Name: University of Arizona Representative Date<br />
Title:<br />
Approved by Member Company<br />
__________________________________/_____________<br />
Name:<br />
Date<br />
Title:<br />
Appendix A: Membership Benefits<br />
<strong>CIAN</strong>’s Industrial Affiliates Board (IAB) supports the mutual needs of industry and the Center in areas of<br />
transformative technologies for optical access and aggregation networks. This is accomplished by<br />
providing appropriate mechanisms for technical information exchange and research collaborations<br />
involving investigators and senior management at the partner institutions.<br />
Benefits of <strong>CIAN</strong> IAB Membership<br />
‣ Access to cutting edge research at the 10 <strong>CIAN</strong> affiliated Universities:<br />
o University or Arizona,<br />
o University of California at San Diego,<br />
o University of California at Los Angeles,<br />
o University of California-Berkley,<br />
o University of Southern California,<br />
o California Institute of Technology,<br />
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o Tuskegee University,<br />
o Columbia University,<br />
o Norfolk Statue University,<br />
o Cornell University.<br />
‣ 12 Month exclusivity to license <strong>CIAN</strong> generated intellectual property for commercial purposes.<br />
‣ Access to <strong>CIAN</strong> related intellectual property for the purpose of <strong>CIAN</strong> related research within IAB<br />
members own facilities and for the duration of the ERC.<br />
‣ Access to the <strong>CIAN</strong> test beds for prototype testing.<br />
‣ Invitation to the annual IAB Meeting that includes presentations by <strong>CIAN</strong> researchers, students<br />
and Members; and opportunities to meet and interview prospective employees.<br />
‣ Participate in guiding <strong>CIAN</strong>’s strategic project selection process.<br />
‣ Access to <strong>CIAN</strong> non-public web pages with copies of research and industrial presentations<br />
‣ Access to “network industry ready” undergraduate <strong>CIAN</strong> students resumes through non-public<br />
website. These resumes span all 10 <strong>CIAN</strong> institutions. Each year more than 10 of our<br />
undergraduate student intern or have summer employment at our IAB members.<br />
‣ Access to graduate and undergraduate resumes via non-public websites. Every year several<br />
graduate and undergraduate students join <strong>CIAN</strong> Members.<br />
‣ Access to faculty expertise for problem solving, consultation and research collaboration.<br />
‣ Capability to enter into sponsored research projects with <strong>CIAN</strong> faculty or faculty member at<br />
multiple institutions.<br />
‣ Opportunities for industrial researchers to work at partner university labs.<br />
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CONFIDENTIAL DISCLOSURE AGREEMENT<br />
CONFIDENTIAL DISCLOSURE AGREEMENT<br />
Center for Integrated Access Networks<br />
This Confidential Disclosure Agreement ("CDA") is made _______________ (“Effective Date”) by and<br />
among The University of Arizona (the “UNIVERSITY”), located at 1630 E. University Blvd. Tucson, AZ<br />
8572, through its Center for Integrated Access Networks (hereinafter “<strong>CIAN</strong>”), the Cooperators and<br />
Affiliates as defined below and each company entity with a signature affixed hereto ("Member").<br />
UNIVERSITY, Cooperators, Affiliates, and Members together are the "Parties" and UNIVERSITY, each<br />
Member, each Cooperator and each Affiliate are each a "Party". UNIVERSITY, Cooperators, and<br />
Affiliates are each an "Institution" and together "Institutions."<br />
WHEREAS, UNIVERSITY is the recipient of funding from the National Science Foundation (“NSF”) and<br />
has joined together with committed sub recipient entities including the University of California at San<br />
Diego, the California Institute of Technology, the University of Southern California, University of California<br />
at Los Angeles, University of California at Berkeley, Columbia University, Norfolk State University and<br />
Tuskegee University, has established the National Science Foundation Engineering Research Center for<br />
Integrated Access Networks; (individually a “Cooperator”; in any combination “Cooperators”) to establish<br />
the Center for Integrated Access Networks (“<strong>CIAN</strong>”), an NSF Engineering Research Center (“NSF ERC”);<br />
and<br />
WHEREAS, Members have joined the <strong>CIAN</strong> through a <strong>CIAN</strong> Membership Agreement that contemplates<br />
and provides for the development of patentable subject matter, the licensing thereof, and the need to<br />
develop confidentiality understandings thereto in order to facilitate protection of such patentable subject<br />
matter;<br />
WHEREAS, Institutions desire to disclose the results of <strong>CIAN</strong> activities to other Parties in order to enable<br />
the performance of activities under the <strong>CIAN</strong>; to NSF, in order to meet the reporting requirements of the<br />
Prime NSF-ERC Agreement; and to Members, for review for patentable subject matter as contemplated in<br />
the <strong>CIAN</strong> Membership Agreement.<br />
WHEREAS, the purpose of this CDA is to set forth the expectations of confidentiality with respect to the<br />
submission and review of results that may contain patentable subject matter and to coordinate the<br />
necessities of collaborative research activity, publication, and reporting attendant thereto.<br />
NOW THEREFORE, the Parties acknowledge and agree to the following:<br />
l. Certain research activities of <strong>CIAN</strong> may result in the development of subject matter by investigators that<br />
is of a scope and content deemed sufficient for consideration of patentability ("Inventions"). The Parties<br />
have a mutual interest in maintaining Inventions as confidential for a limited period of time to allow the<br />
filing of patent applications in a manner that preserves the patent rights that may be available under<br />
United States and foreign patent laws. In addition to the other terms and conditions set forth herein the<br />
Parties shall endeavor to develop awareness and operating procedures in order to coordinate the<br />
confidentiality expectations set forth in this CDA with the need for open collaborative activity among the<br />
Parties, the reporting obligations to NSF, and other publication rights and obligations.<br />
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2. The Institutions shall be a "disclosing party" and/or a "receiving party" as context dictates. Members<br />
shall be a "receiving party" only. "Confidential Information" shall mean any and all Inventions that are<br />
desired by a disclosing party to be reviewed for patentability and that are disclosed or provided by a<br />
disclosing party to a receiving party in written form, provided that Confidential Information shall not<br />
include information:<br />
a) that is or becomes generally known or available to the public without breach of this<br />
Agreement;<br />
b) that is known to the receiving party at the time of disclosure, as evidenced by written<br />
records of the receiving party;<br />
c) that is independently developed by the receiving party, as evidenced by written records of<br />
the receiving party; or<br />
d) that is disclosed to the receiving party in good faith by a third party who has an<br />
independent right to such subject matter and information; or<br />
e) that is required to be disclosed by law.<br />
3. A receiving party agrees to hold in confidence all Confidential Information, to not disclose any<br />
Confidential Information to any third party, and to use Confidential Information solely for consideration of<br />
patentability. A receiving party shall have the right to disclose Confidential Information of the disclosing<br />
party to employees, faculty, staff, students, agents, or consultants of its organization ("'Representatives")<br />
provided that the receiving party causes such Representatives to be bound to the terms of this<br />
Agreement.<br />
4. Receiving parties will be informed in writing of Inventions by email or through web. Members shall have<br />
thirty (30) days to comment in writing on the patentability of Inventions and, if desired, to express any<br />
interest in licensing and payment of patent costs thereto. By mutual written agreement, the involved<br />
Parties shall have the right to extend such review within the thirty (30) day period. Upon expiration of such<br />
thirty (30) days or any extension thereto, the disclosing party shall have the right to make public<br />
disclosure of Inventions, subject to Article 5 herein below. It is also anticipated that Members and/or<br />
Institutions may identify in advance preliminary or projected results that are likely to be patentable, and<br />
the Parties shall consider entering into more specific confidentiality arrangements thereto as<br />
circumstances dictate.<br />
5. This CDA shall be effective as long as the company is a <strong>CIAN</strong> member. All Confidential Information<br />
shall be held confidential for a period of time which is the sooner of the time of either A) when the<br />
disclosing party notifies the receiving party in writing that the obligations of holding in confidence all or a<br />
portion of disclosing party's Confidential Information (see Article 3 above) are terminated or B) two (2)<br />
years from the date at which the Confidential Information was first disclosed by the disclosing party.<br />
6. Nothing contained in this CDA shall be construed as an obligation to enter into any further agreement<br />
concerning the Confidential Information, or as a grant of a license to the Confidential Information or to any<br />
patent or patent application existing now or in the future.<br />
7. This CDA shall not be assignable or otherwise transferable by either Party without the consent of the<br />
other Party.<br />
8. This CDA shall be the entire understanding between the Parties with respect to the subject matter<br />
hereto. Notwithstanding anything to the contrary in this Agreement, in the case of any conflict,<br />
inconsistency, ambiguity, or differences in interpretation between this CDA and the terms and conditions<br />
of the Prime Agreement between NSF and University of Arizona in regards to <strong>CIAN</strong> and subcontracts<br />
thereof, the terms and conditions of the Prime Agreement and subcontracts thereof shall prevail.<br />
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9. The parties agree that this Agreement may be executed by facsimile or PDF copies and in two (2) or<br />
more counterparts, each of which shall be deemed an original and all of which together shall constitute<br />
but one.<br />
IN WITNESS WHEREOF, the Parties hereto have caused this Agreement to be executed by their duly<br />
authorized representatives as of the date first set forth below ("Effective Date").<br />
UNIVERSITY OF ARIZONA<br />
Agreed and Understood<br />
__________________________________/_____________<br />
Name: University of Arizona Representative<br />
Date<br />
Title:<br />
Approved by Member Company<br />
__________________________________/_____________<br />
Name:<br />
Date<br />
Title:<br />
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INTELLECTUAL PROPERTY AGREEMENT<br />
The National Science Foundation<br />
Engineering Research Center for Integrated Access Networks<br />
January 30, 2009<br />
<strong>CIAN</strong> INTELLECTUAL PROPERTY MANAGEMENT AGREEMENT<br />
This agreement (“Agreement”) is among the Arizona Board of Regents acting on behalf of the<br />
University of Arizona (“UA”), the California Institute of Technology, Columbia University,<br />
Norfolk State University, Stanford University, Tuskegee University, the University of California<br />
Berkeley, the University of California Los Angeles, the University of California San Diego, and<br />
the University of Southern California (collectively, "Participating Institutions" and individually<br />
“Participating Institution” or “Institution”) and applies to the Center for Integrated Access<br />
Networks ("<strong>CIAN</strong>"). This Agreement records the Participating Institutions’ intent regarding<br />
management of patents, copyrights, and proprietary information related to patents and copyrights<br />
("Intellectual Property") created in whole or in part with personnel, resources, or facilities funded<br />
by the <strong>CIAN</strong> (“Subject Intellectual Property” or “Subject IP”).<br />
1. Applicability of Existing Institutional Policies and Practices. Except where in conflict<br />
with the terms of this Agreement or in conflict with each other, the intellectual property<br />
policies and practices of the Participating Institutions (including those policies relating to<br />
the distribution of royalties and other benefits to creators of intellectual property) apply to<br />
Subject IP.<br />
2. Harmonization of Participating Institutions’ Practices. Prior to beginning any research or<br />
expenditure of funds through the <strong>CIAN</strong>, each Participating Institution will review its<br />
intellectual property practices generally to determine if they are consistent with the<br />
provisions of this Agreement. An institution whose policies or practices are not consistent<br />
will notify the other Participating Institutions of this fact and confer with them for the<br />
purpose of adopting compatible and mutually acceptable practices to apply to the <strong>CIAN</strong>.<br />
3. Ownership of Intellectual Property. Inventorship, authorship and other creation of Subject<br />
IP shall be determined in accordance with the U.S. law applicable to the type of<br />
Intellectual Property and the status of the creators thereof. Ownership of Subject IP shall<br />
be determined in accordance with the employment status (or other relevant relationship)<br />
of the creator of the Intellectual Property.<br />
4. Management of Solely-Owned Intellectual Property. Generally, Subject IP that is solely<br />
owned by one Participating Institution (the "Owner") will be exclusively managed by that<br />
Institution. Alternatively, the Owner, at its sole option, may designate another<br />
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Participating Institution to manage the Owner’s Subject IP when warranted, for example<br />
when the designated institution is managing closely related Intellectual Property.<br />
5. Management of Jointly-Owned Intellectual Property. Generally, if more than one<br />
Participating Institution has an ownership interest in Subject IP, then each of those<br />
Institutions (the "Joint Owners") shall, in accordance with the U.S. patent laws of<br />
inventorship, own an undivided interest in the invention. The Joint Owners agree to<br />
consult with one another prior to taking any action to obtain patent protection and shall<br />
use reasonable efforts to mutually agree on the funding, filing, and administration of<br />
patent applications.<br />
6. Form of Invention Management Agreement for Jointly-Owned Intellectual Property.<br />
Management of each instance of jointly-owned patent Subject IP shall be reflected in an<br />
agreement in substantially the form attached hereto as Exhibit 1 (“Inter-Institutional<br />
Intellectual Property Agreement”). Jointly-owned Subject IP other than patents shall be<br />
managed using a similar form of agreement that has been modified as required to reflect<br />
the nature of the particular Subject IP.<br />
7. No Duty to Patent. The Participating Institutions may elect not to apply for a utility patent<br />
on Subject IP that they solely or jointly own.<br />
8. Availability of Subject IP for Research. The Owners and Joint Owners of Subject IP will<br />
make that Intellectual Property available at no cost to all Participating Institutions, and to<br />
industry Members in good standing, for the purpose of <strong>CIAN</strong> research within the<br />
Participating Institution’s and Member’s own facilities and for the duration of the ERC.<br />
9. Right to License Subject IP. This Agreement does not limit an Owner’s or Joint Owner’s<br />
right to license their own Subject IP for commercial purposes, provided that any license<br />
reserves for all Participating Institutions, and for industry Members in good standing, the<br />
rights specified in Section 8.<br />
10. Visiting Researchers. Prior to, and as a condition for, making <strong>CIAN</strong> resources or facilities<br />
available to any Participating Institution’s visiting researcher(s), that Participating<br />
Institution will obtain a written agreement that secures for itself no less than joint<br />
ownership of any Intellectual Property made by its visiting researcher(s), and will<br />
manage that intellectual property as Subject IP.<br />
11. Federal <strong>Report</strong>ing. Federal reporting of Subject IP as required by Federal statute shall be<br />
performed by the Participating Institution managing that Intellectual Property in<br />
accordance with its institutional policies and practices as harmonized under this<br />
agreement.<br />
12. Publication Rights. Each Participating Institution retains the right to publish results of<br />
<strong>CIAN</strong>-funded research undertaken, at least in part, by its own personnel. If the planned<br />
publication discloses, or reasonably might disclose, any Subject IP that it owns or jointly<br />
owns, then the publishing Institution will, to the best of its ability and with the<br />
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cooperation of its researchers, ensure that its technology licensing office files an enabling<br />
provisional patent application on that Subject IP (“PPA”) before the publication date. If<br />
one Participating Institution's planned publication discloses, or reasonably might disclose,<br />
Subject IP jointly owned with another Participating Institution, then the publishing<br />
Institution must send an advance copy of the report to the other joint Owner(s) of the<br />
Subject IP at least 30 (thirty) days prior to submitting it for publication. The Owner(s) or<br />
other joint Owner(s) will have 30 (thirty) days from receipt to review and comment on<br />
the proposed publication and to request that the publishing Institution confirm that it has<br />
filed a PPA, or request a delay of publication, or both. Any Participating Institution<br />
making such a request must identify the specific subject matter of concern, must identify<br />
that Participating Institution's actual or possible ownership interest in the subject matter,<br />
and must specify the reasons for the requested delay in publication. The publishing<br />
Institution and the Institution(s) requesting a confirmation or delay agree to confer to<br />
make a good faith evaluation of the request. Delays in publication are at the discretion of<br />
the publishing Institution and will not exceed thirty (30) days unless a longer period is<br />
mutually agreed upon.<br />
13. Agreement to Resolve Intellectual Property Issues. If a disagreement arises among the<br />
Participating Institutions regarding the management of any Subject IP or the sharing of<br />
net revenues from licensing and other activities involving jointly-owned Subject IP, then<br />
the disagreeing Participating Institutions will meet and confer in good faith to resolve<br />
their differences. To assist their discussions, the disagreeing Participating Institutions<br />
may seek and obtain a non-binding opinion from the Subcommittee on Intellectual<br />
Property Issues of the Strategic Advisory Board of the <strong>CIAN</strong>.<br />
14. Disclosures of Intellectual Property. Each Participating Institution agrees to advise its<br />
researchers to disclose their new Subject IP in a timely and thorough manner, in<br />
accordance with that Institution’s policies and practices. Each Participating Institution<br />
agrees to notify all other Participating Institutions, and industry Members in good<br />
standing, of any new Subject IP.<br />
15. Confidential Information. "Confidential Information" means elements of any Subject IP<br />
that the owner has not published or placed into the public domain and that is marked<br />
“Confidential” or the equivalent or, if first made available orally, is reduced to writing<br />
within thirty (30) days thereafter. A Participating Institution (“Disclosing Institution”)<br />
may transfer its own Confidential Information to another Participating Institution<br />
(“Receiving Institution”), but doing so does not change either the confidential nature or<br />
the ownership of the Confidential Information transferred. Subject to any applicable law<br />
governing disclosure of public records, the Participating Institutions agree to hold<br />
Confidential Information in confidence for 3 (three) years from the date of receipt, using<br />
at least the same degree of care as the Receiving Institution uses to protect its own<br />
proprietary information of a like nature, but in all cases no less than reasonable care. A<br />
Receiving Institution may use another Institution's Confidential Information only for the<br />
purposes of <strong>CIAN</strong> research and only within the Receiving Institution's own facilities<br />
(including computers and portable computers owned by Receiving Institution) and only<br />
by its own students and employees. A Receiving Institution’s duty of confidentiality does<br />
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not apply to information that: is or becomes known to the Receiving Institution<br />
independently of its receipt from the Disclosing Institution; is disclosed to the Receiving<br />
Institution by a third party that the Recipient believes has a legal right to do so; or is or<br />
becomes known to the public through no fault of the Receiving Institution; or is required<br />
to be disclosed by law or court order. The Participating Institutions agree that UA has the<br />
authority to enter into confidentiality agreements and non-disclosure agreements with<br />
third parties on behalf of the <strong>CIAN</strong> and its Participating Institutions for the purpose of<br />
disclosing Confidential Information for <strong>CIAN</strong> purposes at <strong>CIAN</strong> annual meetings,<br />
retreats and site visits; UA agrees to promptly provide copies of these confidentiality<br />
agreements to Members.<br />
16. Tracking and Coordination of Intellectual Property. The UA will establish a database and<br />
tracking system, including regular reports, for tracking and sharing summary information<br />
on all Subject IP. The other Participating Institutions agree to cooperate in UA's effort in<br />
this regard and will convey to UA all disclosures of new Subject IP and such other<br />
information as is necessary for inclusion in the database and tracking system. The UA<br />
agrees to cooperate with the other Participating Institutions to provide database and<br />
tracking information needed for federal reporting purposes.<br />
17. Laboratory Notebooks and Training. The Participating Institutions agree to inform all<br />
researchers funded by the <strong>CIAN</strong> of their obligations and responsibilities under this<br />
Agreement, including: responsibilities for the disclosure and protection of Subject IP;<br />
compliance with all applicable laws, rules and regulations pertaining to ethics and<br />
conflicts of interest; and instruction on proper documentation of research results and<br />
maintenance of laboratory notebooks. The Participating Institutions agree that such<br />
training, and the maintenance of durable, authenticatable laboratory notebooks in<br />
electronic or bound notebook form is mandatory for all employees conducting <strong>CIAN</strong>funded<br />
research that is likely to result in Subject IP.<br />
18. Participation and other Agreements. The Participating Institutions agree to require each<br />
of their employees conducting <strong>CIAN</strong>-funded research that is likely to result in Subject IP<br />
to i) enter into an appropriate form of participation agreement with the employing<br />
Institution protecting that Institution's rights in Subject IP and ii) to assign all Subject IP<br />
to their employing Participating Institution. In addition, the Participating Institutions shall<br />
ensure that they have from the creator(s) of Subject IP all the rights and authorities<br />
necessary to enter into any inter-institutional Intellectual Property Management<br />
Agreement executed in accordance with Section 6 of this Agreement.<br />
19. Counterpart Signatures. This Agreement may be executed in counterparts, each of which<br />
is to be deemed an original and all of which together constitute one instrument.<br />
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Exhibit 1:<br />
INTER-INSTITUTIONAL INTELLECTUAL PROPERTY AGREEMENT<br />
Relating to Inventions Made under The National Science Foundation Engineering<br />
Research Center for Integrated Access Networks (<strong>CIAN</strong>)<br />
Draft of January 29, 2009<br />
(Particulars to be established once specific Inventions and Institutions become known.)<br />
This agreement ("Agreement") is between <br />
("Managing Institution"), a having offices at and ("Non-managing Institution"), a having offices at (the<br />
“Institutions”), and is effective on ("Effective Date").<br />
The Institutions agree to the following:<br />
0. BACKGROUND<br />
1. Research performed at Managing Institution and at Non-managing Institution resulted in<br />
the development of inventions disclosed in their respective case numbers and ("Inventions").<br />
2. For each Invention, Managing Institution and at Non-managing Institution list the<br />
following as inventors ("Inventors"): .<br />
3. The development of the Inventions was sponsored in part by the National Science<br />
Foundation and this Agreement, any licenses, and the Inventions are subject to<br />
obligations to the United States Federal Government under 35 U.S.C. §§200-212 and<br />
applicable U.S government regulations.<br />
4. Management of the Inventions is governed by the National Science Foundation<br />
Engineering Research Center for Integrated Access Networks Intellectual Property<br />
Management Agreement dated (the "<strong>CIAN</strong><br />
Agreement"). Any conflict between this Agreement and the <strong>CIAN</strong> Agreement will be<br />
resolved in favor of the <strong>CIAN</strong> Agreement.<br />
5. The Institutions mutually desire Managing Institution to administer and commercialize<br />
Inventions on behalf of both Institutions.<br />
1. DEFINITIONS<br />
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1. "Licensee" means any licensee to a License Agreement.<br />
2. "Licensee Agreement" means any license agreement that is entered into by Managing<br />
Institution under this Agreement and grants to a third party the right to make, have made,<br />
use, have used, sell, have sold, offer to sell or import products covered by Patent Rights,<br />
or any agreement granting an option for such a license.<br />
3. "Net Revenues" means gross proceeds received by Managing Institution from the<br />
licensing of Patent Rights, less:<br />
a. fifteen percent (15%) of gross proceeds for Managing Institution’s administrative<br />
fee, and<br />
b. less Managing Institution’s reasonable and actual out-of-pocket costs (exclusive<br />
of any salaries, administrative costs or other indirect costs) incurred by the<br />
Managing Institution in the preparation, filing, prosecution, licensing of Patent<br />
Rights, and<br />
c. less Managing Institution’s litigation costs, except for those litigation costs<br />
covered by Article 6 (Patent Infringement), and,<br />
d. less Managing Institution’s cost of maintaining Patent Rights.<br />
4. "Patent Rights" means all rights in patents, patent applications, and provisional patent<br />
applications claiming any of the Inventions, and in particular including:<br />
a. filed by (the “Parent<br />
Application”);<br />
b. divisions or continuations of the Parent Application;<br />
c. continuations-in-part of the Parent Application;<br />
d. corresponding foreign applications to the Parent Application; and<br />
e. U.S or joint foreign patents issued on the Parent Application and any of its<br />
reissues or extensions.<br />
2. PATENT PROSECUTION AND PROTECTION<br />
1. Each Inventor will assign Patent Rights to his or her employing institution.<br />
2. Managing Institution shall prepare and file appropriate U.S patent applications claiming<br />
the Inventions and keep the Non-Managing Institution informed of the progress.<br />
Managing Institution will also promptly provide to Non-managing Institution all serial<br />
numbers and filing dates, together with copies of all the applications, including, upon<br />
request, copies of all Patent Office Actions, responses, and all other Patent Office<br />
communications. Managing Institution shall promptly provide to Non-managing<br />
Institution copies of all patents issued under Patent Rights.<br />
3. The Institutions will share the expenses associated with preparing, filing, prosecuting,<br />
and maintaining all patent applications and patents relating to the Invention as follows:<br />
Managing Institution, X% (percentage written out; may be 100% if the parties agree that<br />
Managing Institution, in a traditional role of “Lead Institution”, will cover all patent costs<br />
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and get reimbursed under §1(3)(b)); Non-managing Institution, Y% (percentage written<br />
out).<br />
4. Managing Institution shall consult with Non-managing Institution within eight (8) months<br />
of any U.S filing to determine whether, when, and in what countries, the Institutions wish<br />
to file foreign patent applications. If foreign patent applications are filed, then Managing<br />
Institution shall promptly provide to Non-managing Institution all serial numbers and<br />
filing dates. Managing Institution shall also promptly provide to Non-managing<br />
Institution copies of foreign patent applications and Patent Office Actions in the course of<br />
prosecution. Non-managing Institution may file and/or maintain patent applications at its<br />
own expense in any country in which Managing Institution elects not to file or maintain<br />
patent applications, and those costs incurred by shall be treated as reimbursable expenses<br />
in calculating Net Revenues.<br />
5. Managing Institution shall record assignments of domestic Patent Rights in the U.S.<br />
Patent and Trademark Office and shall provide Non-managing Institution with a<br />
photocopy of each recorded assignment.<br />
6. Inventors shall assign all their respective rights in the Inventions and Patent Rights to<br />
their respective employing institutions. The Institutions will use reasonable efforts to<br />
assure that their respective Inventors fully cooperate in the preparation, filing,<br />
prosecution and maintenance of the Patent Rights.<br />
7. Managing Institution shall not abandon the prosecution of any patent application (except<br />
for purposes of filing continuation or continuations-in-part applications) or the<br />
maintenance of any Patent Rights without prior written notice to Non-managing<br />
Institution.<br />
3. LICENSING<br />
1. Non-managing Institution shall not grant to any party (other than to Managing Institution)<br />
any right, license, title or interest in the Patent Rights. Non-managing Institution grants to<br />
Managing Institution the sole responsibility for administering and commercializing the<br />
Inventions, subject to the provisions of this Agreement, including maintaining the<br />
License Agreement and collecting revenues from Licensee.<br />
2. Managing Institution shall diligently seek a Licensee for the commercial development of<br />
the Inventions and shall promptly provide to the Non-managing Institution copies of all<br />
Licensee Agreements relating to the Inventions.<br />
3. Managing Institution shall not issue any paid-up-licenses or assign Patent Rights to any<br />
party without the prior written consent of Non-managing Institution.<br />
4. License Agreements shall expressly reserve to Managing Institution and Non-managing<br />
Institution the right to practice the Inventions and associated technology for educational<br />
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and research and education purposes, including publication, and shall be consistent with<br />
Section 8 (“Availability of Subject IP for Research”) of the <strong>CIAN</strong> Intellectual Property<br />
Management Agreement.<br />
5. In addition to customary and prudent financial, compliance, diligence, and reporting<br />
terms determined by the Managing Institution, any License Agreement will include<br />
provisions, or substantially similar provisions, as follows:<br />
THIS LICENSE AND THE ASSOCIATED INVENTION(S), PATENT<br />
RIGHTS, PATENT PRODUCTS, AND PATENT METHODS ARE<br />
PROVIDED WITHOUT WARRANTY OF MERCHANTABILITY OR<br />
FITNESS FOR A PARTICULAR PURPOSE OR ANY OTHER<br />
WARRANTY, EXPRESS OR IMPLIED.<br />
LICENSOR AND PATENT RIGHTS OWNER MAKE NO<br />
REPRESENTATION OR WARRANTY THAT THE INVENTIONS,<br />
PATENT RIGHTS, PROPERTY RIGHTS, PATENT PRODUCTS, OR<br />
PATENT METHOD WILL NOT INFRINGE ANY PATENT OR OTHER<br />
PROPRIETARY RIGHT.<br />
IN NO EVENT WILL LICENSOR OR PATENT RIGHTS OWNER BE<br />
LIABLE FOR LOST PROFITS OR DAMAGES RESULTING FROM<br />
EXERCISE OF THIS LICENSE OR THE USE OF THE INVENTIONS,<br />
PATENT RIGHTS, PROPERTY RIGHTS, PATENT PRODUCTS, OR<br />
PATENT METHOD.<br />
Nothing in the license will be construed as:<br />
i. a warranty or representation by licensor or patent rights owner, or the US<br />
Government as to the validity, enforceability, or scope of any patent rights;<br />
ii. a warranty or representation that anything made, used, sold, or otherwise<br />
disposed of under any license granted in this Agreement is or will be free from<br />
infringement of patents of third parties;<br />
iii. an obligation to bring or prosecute actions or suits against third parties for<br />
patent infringements; conferring by implication, estoppel, or otherwise any<br />
license or rights under any patents of licensor and patent rights owner, or the US<br />
Government other than patent rights, regardless of whether such patents are<br />
dominant or subordinate to patent rights; or an obligation to furnish any knowhow<br />
not provided in patent rights.<br />
Licensee will (and requires its sublicenses to, if applicable) indemnify, hold<br />
harmless, and defend licensor and patent rights owner, and the US Government,<br />
their officers, employees, and agents; the sponsors of the research that led to the<br />
Invention; the inventors of the patent rights and the inventors of any property<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 376
ights of the invention covered by patents or patent applications in patent rights<br />
(including the patent products and patent method contemplated thereunder) and<br />
their employers against any and all claims, suits, losses, damage, costs, fees, and<br />
expenses resulting from or arising out of the exercise of the license agreement or<br />
any sublicense. This indemnification will include, but will not be limited to, any<br />
product liability.<br />
Nothing in this license will be construed as conferring any right to use in<br />
advertising, publicity, or other promotional activities any name, trade name,<br />
trademark, or other designation of either Institution by the other (including<br />
contraction, abbreviation, or simulation of any of the foregoing). Unless required<br />
by law, the use by licensee of the name, trademark, domain name, or other<br />
designation of licensor or any other patent rights owners is expressly prohibited.<br />
4. FINANCIAL TERMS<br />
1. On or before June 30 of each year, Managing Institution shall distribute to Non-managing<br />
Institution of Net Revenues accrued during Managing Institution's most recently completed<br />
fiscal year, which ends .<br />
2. Each Institution is solely responsible for calculating and distributing to its respective<br />
Inventors any share of Net Revenues due in accordance with its respective patent policy.<br />
5. RECORDS AND REPORTS<br />
1. Managing Institution shall keep complete, true and accurate accounts of all expenses and<br />
of all proceeds received by it from each Licensee and shall permit to allow Nonmanaging<br />
Institution its own agents or a certified public accounting firm, which is<br />
reasonably acceptable to Managing Institution to examine its books and records in order<br />
to verify the payments due or owing under this Agreement. Non-managing Institution<br />
shall pay the cost of each examination and shall request no more than one (1)<br />
examination per year.<br />
2. Managing Institution shall submit to Non-managing Institution, either annually or on<br />
request as the parties may agree, a report listing the status of all patent prosecution,<br />
commercial development and licensing activity relating to the Inventions.<br />
6. PATENT INFRINGEMENT<br />
1. If either Institution learns of substantial infringement of any Patent Rights, that Institution<br />
shall notify the other Institution and provide written evidence of infringement. Managing<br />
Institution shall, in cooperation with Non-managing Institution, use all reasonable efforts<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 377
to terminate infringement without litigation.<br />
2. If the efforts of the Institutions are not successful in abating the infringement within<br />
ninety (90) days after the infringer has been notified of the infringement, then Managing<br />
Institution may:<br />
a. commence suit on its own account; or<br />
b. permit an exclusive licensee to commence suit on its own account or with the<br />
governing board of the Managing Institution; or<br />
c. request that Non-managing Institution join Managing Institution as a party<br />
plaintiff in patent infringement litigation. Non-managing Institution has ninety<br />
(90) days to inform Managing Institution of its decision to join or not to join in<br />
the litigation. In no event may Non-managing Institution be joined in any suit<br />
without its prior written consent. If Managing Institution chooses not to<br />
commence suit, or to allow an exclusive licensee to do so, Non-managing<br />
Institution may do so independently or jointly at its own election.<br />
3. Legal action by a single Institution to terminate infringement or to recover damages shall<br />
be at the full expense of that Institution and all amounts recovered from that legal action<br />
shall belong to that Institution. Legal action brought jointly by both Institutions and fully<br />
participated in by both Institutions shall be at their joint expense (in shares to be mutually<br />
agreed upon), and all recoveries they shall share all recoveries jointly in direct proportion<br />
to their respective shares of expense paid.<br />
4. Each Institution shall cooperate with the others in litigation proceedings instituted under<br />
this Agreement. Litigation shall be controlled by the Institution bringing the suit, but<br />
either Institution may be represented by counsel of its choice in any suit brought by the<br />
other Institution.<br />
7. This Section Intentionally Blank<br />
8. NOTICES<br />
1. Any notice or payment required to be given to either Institution shall be deemed to have<br />
been properly given if delivered to the respective addresses given below or to such other<br />
addresses as may be designated in writing by the Institutions from time to time during the<br />
term of this Agreement and to be effective:<br />
a. on the date of delivery if delivered in person;<br />
b. five (5) days following the date of mailing if mailed by first-class certified mail,<br />
postage paid; or<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 378
c. on the day after mailing if mailed by any global express carrier service utilizing a<br />
next or 2nd day delivery schedule that requires the recipient to sign the documents<br />
demonstrating the delivery of such notice of payment.<br />
2. In the case of Managing Institution, notice shall be delivered to:<br />
<br />
3. In the case of Non-Managing Institution , notice shall be delivered to:<br />
<br />
9. TERMINATION<br />
1. This Agreement is in full force and effect from the Effective Date and remains in effect<br />
for the life of the last-to-expire patent in Patent Rights, unless otherwise terminated by<br />
operation of law or by acts of the Institutions in accordance with the terms of this<br />
Agreement.<br />
2. If two (2) years have passed from the Effective Date and no License Agreement is in<br />
effect or has been agreed upon as to all material financial terms, then either Institution<br />
may terminate this Agreement for any reason, provided that the terminating Institution<br />
has first provided at least sixty (60) days' written notice to the other Institution, but, in<br />
any event, not less than sixty (60) days' written notice prior to the date on which<br />
responses to any pending Patent Office Actions must be taken to preserve Patent Rights.<br />
After effective termination, each Institution may separately license its interest in the<br />
Patent Rights according to its policy provided that, as an obligation surviving<br />
termination, first dollars of revenue from any licenses are directed to reimbursement of<br />
all costs that have been incurred prior to termination by either Institution in the<br />
preparation, prosecution and maintenance of Patent Rights. Partial reimbursements will<br />
be made proportionally to the parties’ then unreimbursed costs or in some other equitable<br />
manner. Apart from the obligation to reimburse patent costs and apart from obligations<br />
identified in Article 10 (Confidentiality) and specific obligations accrued prior to<br />
termination, the Institutions shall have no further rights or obligations under this<br />
Agreement after effective termination.<br />
10. CONFIDENTIALITY<br />
1. Subject to any applicable law governing disclosure of public records, each Institution<br />
shall hold the other Institution's proprietary business and patent prosecution information<br />
in confidence using at least the same degree of care as that Institution uses to protect its<br />
own proprietary information of a like nature, which shall in any event be no less than<br />
reasonable care. The disclosing Institution shall label or mark confidential, or as<br />
otherwise appropriate, all proprietary information. If proprietary information is orally<br />
disclosed, the disclosing Institution shall reduce the proprietary information to writing or<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 379
to some other physically tangible form and deliver it to the receiving Institution within<br />
thirty (30) days of the oral disclosure, marked and labeled as set forth above.<br />
2. Notwithstanding Paragraph 10.1, nothing in this Agreement in any way restricts or<br />
impairs the right of or to use, disclose or otherwise deal with any information or data that:<br />
a. recipient can demonstrate by written records was previously known to it;<br />
b. is now, or becomes in the future, public knowledge other than through acts or<br />
omissions of recipient;<br />
c. is lawfully obtained without restrictions by recipient from sources independent of<br />
the disclosing Institution;<br />
d. was made independently without the use of proprietary information received<br />
hereunder; or<br />
e. was required by law to be disclosed.<br />
3. The confidentiality obligations of the recipient under these terms shall remain in effect<br />
for three (3) years from the termination date of this Agreement.<br />
11. GENERAL<br />
1. Use of Names and Trademarks. This Agreement does not confer any right to use any<br />
name, trade name, trademark or other designation of either Institution (including<br />
contraction, abbreviation or simulation of any of the foregoing) in advertising, publicity<br />
or other promotional activities. The use of the names of the Institutions or of any campus<br />
associated with these Institutions, is prohibited.<br />
2. No Waiver. No waiver by either Institution of any breach or default of any of the<br />
covenants or agreements herein set forth may be deemed a waiver as to any subsequent<br />
and/or similar breach or default.<br />
3. No Implied License. This Agreement does not confer by implication, estoppel or<br />
otherwise, any license or rights under any patents of any Institution, other than the<br />
specific Patent Rights, regardless of whether such patents are dominant or subordinate to<br />
Patent Rights.<br />
4. Complete Agreement. This Agreement constitutes the entire agreement, both written and<br />
oral, between the Institutions, and all prior agreements respecting the subject matter of<br />
this Agreement, written or oral, expressed or implied, are canceled.<br />
5. The Institutions are not partners or joint venturers, and nothing herein shall be construed<br />
as causing them to be. Neither of the Institutions has the authority to act in the other's<br />
name, nor act for the other's benefit, except as is expressly provided in this Agreement.<br />
6. The Institutions agree to be bound by applicable state and federal rules governing equal<br />
employment opportunity and nondiscrimination.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 380
7. Either Institution may cancel this Agreement by written notice to the other Institution if<br />
any person substantially involved in obtaining, drafting, or procuring this Agreement for<br />
or on behalf of the Institutions becomes an employee or consultant in any capacity of the<br />
other Institution.<br />
8. The Institutions have executed this Agreement in duplicate originals.<br />
<br />
<br />
Signed:______________________<br />
Name:<br />
Title:<br />
Date:<br />
Signed:______________________<br />
Name:<br />
Title:<br />
Date:<br />
Inventor's Acknowledgement (Optional):<br />
I have read this Agreement and I understand, accept, and will abide by its terms and conditions.<br />
Signed:________________________________<br />
Name:<br />
Title:<br />
Date:<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 381
HUMAN RESEARCH DETERMINATION<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 382
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 383
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 384
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 385
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 386
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CERTIFICATION OF THE INDUSTRIAL/PRACTITIONER MEMBERSHIP LIST<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 388
CONFLICT OF INTEREST POLICY<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 389
University of Arizona Interim Policy on Investigator Conflict or Interest in Research<br />
(Effective August 24, 2012)<br />
INTRODUCTION<br />
POLICY REQUIREMENTS<br />
A. Investigator Requirement:<br />
Training on Conflict of<br />
Interest<br />
B. Investigator Requirement:<br />
Disclosures of Significant<br />
Financial Interests<br />
C. Investigator Requirement:<br />
Compliance<br />
D. Institutional Obligations:<br />
Review, Assessment,<br />
Management and<br />
<strong>Report</strong>ing of Financial<br />
Interests<br />
E. Subrecipients<br />
F. Noncompliance<br />
G. References<br />
DEFINITIONS<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
Investigator(s)<br />
Senior/key personnel<br />
Institutional<br />
Responsibilities<br />
Institutional Review<br />
Committee (IRC)<br />
Relatedness to<br />
Institutional<br />
Responsibilities<br />
Relatedness to a<br />
specific research<br />
project<br />
Significant Financial<br />
Interest<br />
Exclusions from<br />
Significant Financial<br />
Interest<br />
Financial Conflict of<br />
Interest (FCOI)<br />
Public Health Service<br />
(PHS)<br />
INTRODUCTION<br />
The University of Arizona (“University”) is dedicated to research integrity.<br />
This means that in its performance of research the University is<br />
committed to ethical conduct, upholding the principles of transparency<br />
and accountability, free and unbiased inquiry, the transfer of ideas and<br />
technologies for the benefit of the public, sound stewardship of the<br />
resources entrusted to it, and compliance with all applicable state and<br />
federal laws and terms of relevant contracts and grants.<br />
The University recognizes that faculty and other employees engage in<br />
many relationships with external entities, some of which could have a<br />
direct relevance to University research. These interrelationships are<br />
increasingly common and are not only sometimes unavoidable but often<br />
arise as part of conscious 21st Century national public policies fostering<br />
public-private partnerships and interactions in research and<br />
development. The University is committed to facilitating technology<br />
transfer activity that moves University-developed knowledge into<br />
practical applications, the creation of new businesses, and general<br />
economic development for the benefit of the people of Arizona.<br />
Because the intersection of individuals’ personal financial interests with<br />
University research creates both possibility and perception of potential<br />
for bias in research, the University recognizes its obligation to protect the<br />
reasonable expectation that the design, conduct and reporting of<br />
University research is free from bias generated by Investigators’ financial<br />
conflict of interest. Commitment to the following principles guides this<br />
University research policy:<br />
Objectivity, integrity and credibility in the University’s research activities<br />
and related institutional research review processes;<br />
The safety and welfare of participants in University research;<br />
The public’s trust in the University and its research;<br />
Full compliance with applicable federal and state laws and<br />
regulations and sponsor agreements for research funding;<br />
Nothing in this Policy is intended to restrict faculty members from<br />
choosing the subject matter of their research, scholarly work or other<br />
activities.<br />
(NOTE: The first occurrence of bolded words or phrases in this policy<br />
refers to terms listed in the ‘Definitions’ section.)<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 390
University of Arizona Interim Policy on Investigator Conflict or Interest in Research<br />
(Effective August 24, 2012)<br />
INTRODUCTION<br />
A. Investigator Requirement:<br />
Training on Conflict of<br />
Interest<br />
B. Investigator Requirement:<br />
Disclosures of Significant<br />
Financial Interests<br />
C. Investigator Requirement:<br />
Compliance<br />
D. Institutional Obligations:<br />
Review, Assessment,<br />
Management and<br />
<strong>Report</strong>ing of Financial<br />
Interests<br />
E. Subrecipients<br />
F. Noncompliance<br />
A. Investigator Requirement: Training on Conflict of Interest<br />
1. Who must complete this course<br />
Every Investigator (see ‘Definitions’).<br />
2. Timing of required course completion<br />
a. Prior to engaging in any Public Health Service (PHS,<br />
(including NIH) funded project begun on or after August 24,<br />
2012 (excluding Phase I SBIR/STTR grants); and<br />
b. Prior to January 1, 2013, for all University of Arizona<br />
Investigators; and<br />
c. At least every four years; and<br />
d. As directed by the University when one of the following<br />
applies:<br />
(i)<br />
the University revises the requirements for Investigators<br />
pursuant to this policy;<br />
G. References<br />
(ii)<br />
the Investigator is new to the University;<br />
DEFINITIONS<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
Investigator(s)<br />
Senior/key personnel<br />
Institutional<br />
Responsibilities<br />
Institutional Review<br />
Committee (IRC)<br />
Relatedness to<br />
Institutional<br />
Responsibilities<br />
Relatedness to a<br />
specific research<br />
project<br />
Significant Financial<br />
Interest<br />
Exclusions from<br />
Significant Financial<br />
Interest<br />
Financial Conflict of<br />
Interest (FCOI)<br />
Public Health Service<br />
(PHS)<br />
(iii) the Investigator is found not to be in compliance with this<br />
policy or a University management plan for the<br />
Investigator’s financial conflict of interest<br />
[42 CFR 50.604(b)]:<br />
http://grants.nih.gov/grants/policy/coi/fcoi_final_rule.pdf).<br />
3. Link to the course<br />
Course information: http://orcr.arizona.edu/coi/training<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 391
University of Arizona Interim Policy on Investigator Conflict or Interest in Research<br />
(Effective August 24, 2012)<br />
INTRODUCTION<br />
A. Investigator Requirement:<br />
Training on Conflict of<br />
Interest<br />
B. Investigator Requirement:<br />
Disclosures of Significant<br />
Financial Interests<br />
C. Investigator Requirement:<br />
Compliance<br />
D. Institutional Obligations:<br />
Review, Assessment,<br />
Management and<br />
<strong>Report</strong>ing of Financial<br />
Interests<br />
E. Subrecipients<br />
F. Noncompliance<br />
G. References<br />
DEFINITIONS<br />
B. Investigator Requirement: Disclosures of Significant Financial<br />
Interests<br />
1. Who must disclose and what must be disclosed<br />
Investigators must disclose all significant financial<br />
interests that can reasonably be deemed related to any of<br />
the Investigator’s institutional responsibilities, including<br />
areas of professional activity or expertise broadly.<br />
This “relatedness” is not a judgment on whether the<br />
employee would deliberately within his/her exercise of<br />
institutional responsibilities make choices for the purpose of<br />
affecting the value of her/his significant financial value.<br />
“Relatedness” is the condition in which it may reasonably<br />
appear that choices directly and significantly affecting the<br />
value of the significant financial interest could be made.<br />
See the ‘Definitions’ section of this policy for more<br />
information on “relatedness” of significant financial interests.<br />
2. When and how required disclosures are made<br />
Investigators must file an initial disclosure of significant<br />
financial interests or update previously filed disclosures.<br />
Each Investigator is required to recertify their disclosure:<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
Investigator(s)<br />
Senior/key personnel<br />
Institutional<br />
Responsibilities<br />
Institutional Review<br />
Committee (IRC)<br />
Relatedness to<br />
Institutional<br />
Responsibilities<br />
Relatedness to a<br />
specific research<br />
project<br />
Significant Financial<br />
Interest<br />
Exclusions from<br />
Significant Financial<br />
Interest<br />
Financial Conflict of<br />
Interest (FCOI)<br />
Public Health Service<br />
(PHS)<br />
a. <strong>Annual</strong>ly; and<br />
b. Within 30 days of acquisition of a new significant<br />
financial interest not previously disclosed; and<br />
c. As may be required by the University’s Human<br />
Subjects Protection Program for new or continuing<br />
IRB review applications; and<br />
d. For projects that have received from PHS (including<br />
NIH) on or after August 24, 2012, a Notice of Award<br />
or noncompeting continuation with funding<br />
(excluding Phase I SBIR/STTR grants):<br />
(1) For new awards, at least 45 days prior to access<br />
to funds; and<br />
(2) For ongoing projects, at least 105 days before the<br />
start of the new budget period; and<br />
(3) For Investigators newly joining an existing<br />
sponsored project, no later than 45 days in<br />
advance of their first day of participation as an<br />
Investigator in the project.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 392
University of Arizona Interim Policy on Investigator Conflict or Interest in Research<br />
(Effective August 24, 2012)<br />
3. Link to disclosure<br />
The required form and instructions for disclosing<br />
significant financial interests are online at<br />
http://orcr.arizona.edu/coi/forms.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 393
University of Arizona Interim Policy on Investigator Conflict or Interest in Research<br />
(Effective August 24, 2012)<br />
INTRODUCTION<br />
A. Investigator<br />
Requirement: Training on<br />
Conflict of Interest<br />
B. Investigator<br />
Requirement:<br />
Disclosures of Significant<br />
Financial Interests<br />
C. Investigator Requirement: Compliance<br />
Investigators are required to comply with the provisions of this<br />
policy including all management plans and administrative<br />
directives issued to them as a result of the University’s<br />
evaluation of their significant financial interests, which process is<br />
described below.<br />
C. Investigator<br />
Requirement:<br />
Compliance<br />
D. Institutional Obligations:<br />
Review, Assessment,<br />
Management and<br />
<strong>Report</strong>ing of Financial<br />
Interests<br />
E. Subrecipients<br />
F. Noncompliance<br />
G. References<br />
DEFINITIONS<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
Investigator(s)<br />
Senior/key personnel<br />
Institutional<br />
Responsibilities<br />
Institutional Review<br />
Committee (IRC)<br />
Relatedness to<br />
Institutional<br />
Responsibilities<br />
Relatedness to a<br />
specific research<br />
project<br />
Significant Financial<br />
Interest<br />
Exclusions from<br />
Significant Financial<br />
Interest<br />
Financial Conflict of<br />
Interest (FCOI)<br />
Public Health Service<br />
(PHS)<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 394
INTRODUCTION<br />
University of Arizona Interim Policy on Investigator Conflict or Interest in Research<br />
(Effective August 24, 2012)<br />
A. Investigator<br />
Requirement: Training<br />
on Conflict of Interest<br />
B. Investigator<br />
Requirement:<br />
Disclosures of<br />
Significant Financial<br />
Interests<br />
C. Investigator<br />
Requirement:<br />
Compliance<br />
D. Institutional<br />
Obligations: Review,<br />
Assessment,<br />
Management and<br />
<strong>Report</strong>ing of Financial<br />
Interests<br />
E. Subrecipients<br />
F. Noncompliance<br />
G. References<br />
DEFINITIONS<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
Investigator(s)<br />
Senior/key<br />
personnel<br />
Institutional<br />
Responsibilities<br />
Institutional Review<br />
Committee (IRC)<br />
Relatedness to<br />
Institutional<br />
Responsibilities<br />
Relatedness to a<br />
specific research<br />
project<br />
Significant Financial<br />
Interest<br />
Exclusions from<br />
Significant Financial<br />
Interest<br />
D. Institutional Obligations: Review, Assessment, Management<br />
and <strong>Report</strong>ing of Financial Interests<br />
1. Institutional Review Committee (“IRC”)<br />
Evaluations of Financial Conflict of Interest and<br />
determination of any management plan are performed by the<br />
IRC with the support of the University’s Conflict of Interest<br />
Program staff. More detail is provided in the “Procedures for<br />
the University of Arizona Policy on Investigator Conflict of<br />
Interest in Research<br />
(http://orcr.arizona.edu/coi/procedures/investigator).<br />
2. Evaluation of Financial Conflict of Interest (“FCOI”)<br />
The first step is an evaluation to determine whether the<br />
significant financial interest constitutes an FCOI. An FCOI is<br />
a significant financial interest that is deemed to have<br />
potential to directly and significantly affect the design,<br />
conduct, or reporting of research.<br />
3. Determination of management plan<br />
If an FCOI is identified, the second step is an evaluation to<br />
determine whether the FCOI is permissible with a<br />
management plan. More detail is provided in the<br />
“Procedures for the University of Arizona Policy on<br />
Investigator Conflict of Interest in Research”<br />
(http://orcr.arizona.edu/coi/procedures/investigator).<br />
4. IRC report to Investigator, supervisor, involved offices<br />
If the IRC determines that there is an FCOI, the IRC will<br />
report that determination and any IRC-specified management<br />
plan to the Investigator and the Investigator’s immediate<br />
supervisor as well as to the University’s Human Subjects<br />
Protection Program if the project is human subjects research.<br />
The IRC-specified management plan will also be reported to<br />
any other offices that have a role in the plan.<br />
5. Investigator certification of commitment to management plans<br />
If the Investigator certifies his or her commitment to the IRC’s<br />
management plan, then the affected research will be<br />
permitted to proceed, subject to any IRB approval that may<br />
be separately required pursuant to human subjects research<br />
regulations.<br />
6. University reports FCOI to research sponsors as required<br />
The University will make FCOI identification and management<br />
reports to research sponsors with the timing and format<br />
required under the terms and conditions of the relevant<br />
sponsorship rules and agreements.<br />
Financial Conflict of<br />
Interest (FCOI)<br />
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Public Health<br />
Service (PHS)
University of Arizona Interim Policy on Investigator Conflict or Interest in Research<br />
(Effective August 24, 2012)<br />
For PHS/NIH-funded projects, initial, annual and revised<br />
FCOI reports will be made to the NIH in accord with following<br />
NIH requirements:<br />
a. Prior to the initial expenditure of PHS funds;<br />
b. Within sixty (60) days of new or newly-identified<br />
significant financial interest;<br />
c. At least annually, at the time of an extension or the<br />
annual progress report;<br />
d. Within 120 days for a retrospective review pursuant to<br />
F.2 below.<br />
7. Public access to FCOI information for PHS-funded studies<br />
For projects that have received from PHS (including NIH) on<br />
or after August 24, 2012, a Notice of Award or noncompeting<br />
continuation with funding (excluding Phase I SBIR/STTR<br />
grants), the University is required to respond within five (5)<br />
business days of receipt of a request from a member of the<br />
public for information about identified financial conflicts of<br />
interest of senior/key personnel in a specific PHS-funded<br />
project by providing: the senior/key personnel name, title and<br />
role in the research project, the name of entity in which the<br />
financial conflict of interest is held by the senior/key<br />
personnel, the nature of the financial conflict of interest and<br />
its approximate dollar value [42 CFR 50.605(a)(5) and 45<br />
CFR 94.5(a)(5)]:<br />
(http://grants.nih.gov/grants/policy/coi/fcoi_final_rule.pdf).<br />
The procedure and form for making such a request is posted<br />
online at http://orcr.arizona.edu/coi/public.<br />
8. IRC additional actions<br />
As part of the IRC’s review, the IRC may determine that<br />
disclosed significant financial interests do not constitute FCOI<br />
for the design, conduct or reporting of a research project but<br />
may require administrative direction to the disclosing<br />
Investigator pursuant to the University’s commitment to<br />
financial interest transparency, to student/trainee protection,<br />
or to other relevant policies on financial interests. The IRC<br />
may respond with a letter of administrative direction to the<br />
Investigator, copying the department head and dean; it may<br />
refer the matter to another University office or review group<br />
(such as the Executive Review Committee) with relevant<br />
responsibilities; or it may submit recommendations to the<br />
Senior Vice President for<br />
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University of Arizona Interim Policy on Investigator Conflict or Inter est in Research<br />
(Effective August 24, 2012)<br />
Research, who will make the final determination regarding<br />
specific actions on a case-by-case basis.<br />
9. Link to detailed procedures<br />
The details of the procedures for these evaluations and<br />
reports are provided in the “Procedures for the University of<br />
Arizona Policy on Investigator Conflict of Interest in<br />
Research”<br />
(http://orcr.arizona.edu/coi/procedures/investigator).<br />
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University of Arizona Interim Policy on Investigator Conflict or Interest in Research<br />
(Effective August 24, 2012)<br />
INTRODUCTION<br />
E. Subrecipients<br />
A. Investigator<br />
Requirement: Training<br />
on Conflict of Interest<br />
B. Investigator<br />
Requirement:<br />
Disclosures of<br />
Significant Financial<br />
Interests<br />
C. Investigator<br />
Requirement:<br />
Compliance<br />
D. Institutional<br />
Obligations: Review,<br />
Assessment,<br />
Management and<br />
<strong>Report</strong>ing of Financial<br />
Interests<br />
E. Subrecipients<br />
F. Noncompliance<br />
G. References<br />
DEFINITIONS<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
Investigator(s)<br />
Senior/key<br />
personnel<br />
Institutional<br />
Responsibilities<br />
Institutional Review<br />
Committee (IRC)<br />
Relatedness to<br />
Institutional<br />
Responsibilities<br />
Relatedness to a<br />
specific research<br />
project<br />
Significant Financial<br />
Interest<br />
Exclusions from<br />
Significant Financial<br />
Interest<br />
For any subcontract pursuant to a PHS award to the University of<br />
funding (initial or noncompeting continuation) on or after August<br />
24, 2012 (excluding Phase I SBIR/STTR grants), one of the<br />
following two options will be established in the subrecipient<br />
contract [42 CFR 50.604(c)]:<br />
(http://grants.nih.gov/grants/policy/coi/fcoi_final_rule.pdf).<br />
1. Option 1<br />
The subrecipient shall certify that it has a PHS-compliant COI<br />
policy and process and shall agree to apply its PHScompliant<br />
COI policy to all of its investigators performing<br />
under the PHS-supported subrecipient contract and that it will<br />
be responsible for its investigators’ compliance under its<br />
policy and pursuant to the subcontract.<br />
2. Option 2<br />
The subrecipient shall agree that all of its investigators<br />
participating in the subcontracted work will be subject to the<br />
University’s COI Policy and processes, and that it will be<br />
responsible for its investigators’ compliance under the<br />
University’s policy and pursuant to the subcontract.<br />
3. Link to detailed procedures<br />
The University’s relevant procedures are described in greater<br />
detail in the “Procedures for the University of Arizona Policy<br />
on Investigator Conflict of Interest in Research”<br />
(http://orcr.arizona.edu/coi/procedures/investigator).<br />
Financial <strong>CIAN</strong> NSF Conflict ERC of<br />
YR5 ANNUAL REPORT – VOL 1 398<br />
Interest (FCOI)<br />
Public Health<br />
Service (PHS)
INTRODUCTION<br />
University of Arizona Interim Policy on Investigator Conflict or Interest in Research<br />
(Effective August 24, 2012)<br />
A. Investigator<br />
Requirement: Training<br />
on Conflict of Interest<br />
B. Investigator<br />
Requirement:<br />
Disclosures of<br />
Significant Financial<br />
Interests<br />
C. Investigator 2. Retrospective review<br />
Requirement:<br />
Compliance<br />
D. Institutional<br />
Obligations: Review,<br />
Assessment,<br />
Management and<br />
<strong>Report</strong>ing of Financial<br />
Interests<br />
E. Subrecipients<br />
F. Noncompliance<br />
G. References<br />
DEFINITIONS<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
Investigator(s)<br />
Senior/key<br />
personnel<br />
Institutional<br />
Responsibilities<br />
Institutional Review<br />
Committee (IRC)<br />
Relatedness to<br />
Institutional<br />
Responsibilities<br />
Relatedness to a<br />
specific research<br />
project<br />
Significant Financial<br />
Interest<br />
Exclusions from<br />
Significant Financial<br />
Interest<br />
F. Noncompliance<br />
1. Inquiries to determine facts<br />
In the event that the University becomes aware through its<br />
active monitoring processes or otherwise that one or more<br />
requirements of this policy may not have been complied with,<br />
the University will make appropriate inquiries to determine the<br />
facts.<br />
2. Retrospective Review<br />
For any University project that has received on or after<br />
August 24, 2012, from PHS (including NIH) a Notice of Award<br />
or noncompeting continuation with funding (excluding Phase I<br />
SBIR/STTR grants), if the University determines (a) that there<br />
has been noncompliance with this policy or (b) that there has<br />
been noncompliance with a required FCOI management plan,<br />
or (c) that a significant financial interest related to the project<br />
has not been timely reported and reviewed and managed:<br />
a. The IRC will complete a review within sixty (60) days to<br />
assess (a) whether there is an FCOI, in which case the<br />
University will immediately implement an interim<br />
management plan, and (b) if so, within 120 days the<br />
University will complete a retrospective review to<br />
determine whether the FCOI, and/or any noncompliance<br />
with this policy or with an FCOI management plan, has<br />
biased the design, conduct or reporting of the research<br />
and (c) how any identified bias may be mitigated [42<br />
CFR 50.605 (3)]:<br />
(http://grants.nih.gov/grants/policy/coi/fcoi_final_rule.pdf).<br />
3. Required reports to PHS<br />
If the IRC retrospective review described above has identified<br />
FCOI, the University will timely make the required reports to<br />
the PHS [42 CFR 50.605 (3)(B)(9)(iii)]:<br />
(http://grants.nih.gov/grants/policy/coi/fcoi_final_rule.pdf).<br />
4. Additional sanctions or administrative actions<br />
In cases of noncompliance with this policy, the University may<br />
apply employee sanctions or administrative actions as it<br />
deems appropriate to the case and in accord with relevant<br />
employment policies.<br />
5. Sponsor requirements for corrective action<br />
Research sponsors may make their own determinations<br />
regarding the adequacy of the University’s corrective<br />
responses and may also direct specific different or additional<br />
Financial Conflict of<br />
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Service (PHS)
University of Arizona Interim Policy on Investigator Conflict or Interest in Research<br />
(Effective August 24, 2012)<br />
corrective actions, for example: “In any case in which the<br />
HHS determines that a PHS-funded project of clinical<br />
research whose purpose is to evaluate the safety or<br />
effectiveness of a drug, medical device, or treatment has<br />
been designed, conducted, or reported by an Investigator<br />
with a financial conflict of interest that was not managed or<br />
reported by the Institution as required by this part, the<br />
Institution shall require the Investigator involved to disclose<br />
the financial conflict of interest in each public presentation of<br />
the results of the research and to request an addendum to<br />
previously published presentations.” [42 CFR 50.606(c)]:<br />
(http://grants.nih.gov/grants/policy/coi/fcoi_final_rule.pdf).<br />
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University of Arizona Interim Policy on Investigator Conflict or Interest in Research<br />
(Effective August 24, 2012)<br />
INTRODUCTION<br />
G. References<br />
A. Investigator<br />
Requirement: Training<br />
on Conflict of Interest<br />
B. Investigator<br />
Requirement:<br />
Disclosures of<br />
Significant Financial<br />
Interests<br />
C. Investigator<br />
Requirement:<br />
Compliance<br />
D. Institutional<br />
Obligations: Review,<br />
Assessment,<br />
Management and<br />
<strong>Report</strong>ing of Financial<br />
Interests<br />
E. Subrecipients<br />
F. Noncompliance<br />
G. References<br />
DEFINITIONS<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
Investigator(s)<br />
Senior/key<br />
personnel<br />
Institutional<br />
Responsibilities<br />
Institutional Review<br />
Committee (IRC)<br />
Relatedness to<br />
Institutional<br />
Responsibilities<br />
Relatedness to a<br />
specific research<br />
project<br />
Significant Financial<br />
Interest<br />
Exclusions from<br />
Significant Financial<br />
Interest<br />
NIH 42 CFR Part 50 and 45 CFR Part 94 “Responsibility of<br />
Applicants for Promoting Objectivity in Research for which<br />
Public Health Service Funding is Sought and Responsible<br />
Prospective Contractors” (DHHS Final Rule August 25, 2011):<br />
http://www.gpo.gov/fdsys/pkg/FR-2011-08-25/pdf/2011-<br />
21633.pdf<br />
NIH FAQs on COI Rules:<br />
http://grants.nih.gov/grants/policy/coi/coi_faqs.htm<br />
CFR Part 54 (US Food and Drug Administration “Financial<br />
Disclosure by Clinical Investigators”):<br />
http://www.accessdata.fda.gov/scripts/cdrh/cfdocs/cfcfr/cfrsear<br />
ch.cfm<br />
FDA:<br />
http://www.fda.gov/ScienceResearch/SpecialTopics/RunningCli<br />
nicalTrials/ProposedRegulationsandDraftGuidances/default.ht<br />
m<br />
NSF:<br />
http://www.nsf.gov/pubs/manuals/gpm05_131/gpm5.jsp<br />
NSF:<br />
http://www.iecjournal.org/iec/2011/10/nsf-conflict-of-interestissues.html<br />
AAMC:<br />
https://www.aamc.org/initiatives/coi/<br />
Financial Conflict of<br />
Interest (FCOI)<br />
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Public Health<br />
Service (PHS)
University of Arizona Interim Policy on Investigator Conflict or Interest in Research<br />
(Effective August 24, 2012)<br />
INTRODUCTION<br />
A. Investigator<br />
Requirement: Training<br />
on Conflict of Interest<br />
B. Investigator<br />
Requirement:<br />
Disclosures of<br />
Significant Financial<br />
Interests<br />
C. Investigator<br />
Requirement:<br />
Compliance<br />
D. Institutional<br />
Obligations: Review,<br />
Assessment,<br />
Management and<br />
<strong>Report</strong>ing of Financial<br />
Interests<br />
E. Subrecipients<br />
DEFINITIONS<br />
Investigator(s): The Project Director or Principal Investigator or Co-<br />
Principal Investigator and any other person, regardless of title or position,<br />
who is responsible for the design, conduct or reporting of research<br />
performed by the University. This may include students, trainees,<br />
collaborators, and consultants. This term includes only persons who<br />
have some degree of independence in performing some aspect of<br />
design, conduct or reporting of the research and does not include<br />
persons whose performance within the research activities is purely<br />
ancillary or solely under immediate supervision.<br />
With respect to clinical research this term includes all persons who are<br />
directly involved in the research intervention or consenting or evaluation<br />
of human research subjects, but it does not include hospital staff or office<br />
staff who only provide ancillary or intermittent care and who do not make<br />
direct and significant contributions to the data.<br />
Senior/key personnel: The Principal Investigator, the Project Director<br />
and any other person identified as senior/key personnel in the grant<br />
application, contract proposal and contract, progress report, or any other<br />
report submitted to the sponsor by the University. “Zero percent” or “as<br />
needed” is not an acceptable level of involvement for senior/key<br />
personnel.<br />
F. Noncompliance<br />
G. References<br />
DEFINITIONS<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
<br />
Investigator(s)<br />
Senior/key<br />
personnel<br />
Institutional<br />
Responsibilities<br />
Institutional Review<br />
Committee (IRC)<br />
Relatedness to<br />
Institutional<br />
Responsibilities<br />
Relatedness to a<br />
specific research<br />
project<br />
Significant Financial<br />
Interest<br />
Exclusions from<br />
Significant Financial<br />
Interest<br />
Institutional Responsibilities: An Investigator’s activities in<br />
performance as a University employee, as a collaborator with or<br />
consultant to the University, or related to activities involving the<br />
Investigator’s professional expertise, such as: teaching, administrative<br />
duties, clinical activities, research (sponsored or unsponsored), PHSsponsored<br />
project activities, service on University committees,<br />
professional participation on panels and review boards including data<br />
and safety monitoring boards, creation and presentation of scholarly<br />
work, etc., regardless of when and where the activities occur.<br />
Institutional Review Committee (IRC): A University-wide committee,<br />
consisting of at least 10 voting members who are appointed by the<br />
Senior Vice President for Research: 3 faculty from the Health Sciences;<br />
1 faculty from the College of Engineering; 2 faculty from the College of<br />
Science; 4 faculty from other academic units. Members should be active<br />
researchers with an understanding of their respective disciplines’<br />
research practices and activities. The committee also includes nonvoting,<br />
ex-officio members as necessary: the Assistant Vice President for<br />
Research Compliance and Policy; Director of Technology Transfer;<br />
Director of Office of Research Contracts and<br />
Analysis; a representative from Sponsored Projects; the Human Subjects<br />
Protection Program; Procurement and Purchasing. Office of the General<br />
Counsel shall provide legal advice to the committee. The committee may<br />
invite other non-voting, ad hoc members to assist in discussions and<br />
decisions as needed.<br />
Financial Conflict of<br />
<strong>CIAN</strong> Interest NSF ERC (FCOI)<br />
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<br />
Public Health<br />
Service (PHS)
University of Arizona Interim Policy on Investigator Conflict or Interest in Research<br />
(Effective August 24, 2012)<br />
Relatedness to Institutional Responsibilities: When applied to a<br />
significant financial interest and institutional responsibilities,<br />
“relatedness” means that the value of the significant financial interest<br />
may reasonably appear to have potential to be significantly and directly<br />
affected by the Investigator’s performance of his or her institutional<br />
responsibilities.<br />
This relatedness is not a judgment on whether the Investigator would<br />
deliberately within his/her exercise of institutional responsibilities make<br />
choices for the purpose of affecting the value of her/his significant<br />
financial value. Relatedness is the condition in which it may reasonably<br />
appear that choices directly and significantly affecting the value of the<br />
significant financial interest could be made.<br />
Following are a few nonexclusive examples of appearance of<br />
relatedness to institutional responsibilities:<br />
One’s professional activities include presentations on topics that are<br />
directly and significantly material to one’s own significant financial<br />
interests.<br />
One’s clinical practice includes professional choices that could benefit<br />
one’s own significant financial interests.<br />
One’s professional or administrative responsibilities include potential to<br />
influence University research, business, or purchase decisions (1)<br />
with a company in which one has equity; (2) regarding real property<br />
one owns or regarding intellectual property from which one earns<br />
royalties paid outside the University; (3) with a company for which<br />
one is an officer or a board member.<br />
Relatedness to a specific research project: When applied to a<br />
significant financial interest and any of the investigator’s research<br />
projects, “relatedness” means that the value of the significant financial<br />
interest may reasonably appear to have potential to be significantly and<br />
directly affected by the employee’s performance in the design, conduct<br />
or reporting of the research.<br />
This relatedness may be to: services for which an investigator has<br />
received external compensation or equity; or to the best interests of the<br />
entity from which the investigator has received external compensation or<br />
equity; or to the intellectual property that is evaluated or used in the<br />
research; or to more than one of these interfaces.<br />
This relatedness is not a judgment on whether the investigator would<br />
deliberately make choices within design, conduct or reporting of the<br />
research for the purpose of affecting the value of her/his significant<br />
financial value. Relatedness is the condition in which it may reasonably<br />
appear that choices directly and significantly affecting the value of the<br />
significant financial interest could be made.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 403
University of Arizona Interim Policy on Investigator Conflict or Interest in Research<br />
(Effective August 24, 2012)<br />
Following are a few nonexclusive examples of appearance of<br />
relatedness to a research project:<br />
The research evaluates or uses drugs, devices, assays, biologics,<br />
software, equipment, or other products, procedures or materials in<br />
which the investigator has a significant financial interest.<br />
The research evaluates or uses drugs, devices, assays, biologics,<br />
procedures, software, equipment, or other products, procedures or<br />
materials owned by, or with significant potential impact on, an entity<br />
in which the investigator has a significant financial interest.<br />
The research evaluates or uses intellectual property that is a direct<br />
competitor to intellectual property in which the investigator has a<br />
significant financial interest.<br />
Significant Financial Interest: A financial interest consisting of one or<br />
more of the following interests of the Investigator, and those of the<br />
Investigator’s spouse or domestic partner, and dependent children, that<br />
reasonably appear to be related to the Investigator’s institutional<br />
responsibilities (see definition of Institutional Responsibilities above):<br />
With regard to any publicly traded entity, a significant financial interest<br />
is:<br />
o an aggregated value of $5,000 or more composed of any<br />
remuneration received from the entity in the twelve months<br />
preceding the disclosure plus the value of any equity interest in<br />
the entity as of the date of disclosure plus the value of any loans<br />
between the Investigator and the publicly traded entity.<br />
o For purposes of this definition, remuneration includes salary and<br />
also any payment for services not otherwise identified as salary<br />
(e.g., consulting fees, honoraria, paid authorship).<br />
o For purposes of this definition equity interest includes any stock,<br />
stock option, or other ownership interest. Value of equity<br />
interests is determined through reference to public prices or<br />
other reasonable measures of fair market value.<br />
<br />
non-publicly traded entity, a significant<br />
financial interest is:<br />
o any remuneration received from the entity that exceeds<br />
$5,000 in aggregate in the twelve months preceding the<br />
disclosure.<br />
o<br />
any equity interest at all, regardless of value (e.g., any stock,<br />
stock option, or other ownership interest);<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 404
University of Arizona Interim Policy on Investigator Conflict or Interest in Research<br />
(Effective August 24, 2012)<br />
o<br />
any loan of any amount between the Investigator and the nonpublicly<br />
traded entity.<br />
<br />
<br />
<br />
Any intellectual property right or interest (e.g., patent, copyright,<br />
license) for which income related to such right or interest has been<br />
received, unless the intellectual property rights have been assigned<br />
to the University and income received is per a royalty-sharing<br />
agreement with the University.<br />
Position as an official, advisory board member, or other board<br />
member in a for-profit entity, whether or not compensated.<br />
Travel-related significant financial interest:<br />
Investigators in projects that have received from the U.S.<br />
Department of Health and Human Services (“Public Health Service”<br />
or “PHS” or NIH) on or after August 24, 2012 (excluding Phase I<br />
SBIR/STTR grants), a notice of award (initial or noncompeting<br />
continuation) with funding, must disclose to the University all travel<br />
related to institutional responsibilities (see definition of “institutional<br />
responsibilities”) that is reimbursed or sponsored by an entity other<br />
than a U.S. Federal, state, or local government agency, a U.S.<br />
Institution of higher education as defined at 20 U.S.C. 2 1001(a),<br />
an academic teaching hospital, a medi cal center, or a research<br />
institute that is affiliated with a U.S. Institution of higher education<br />
(note that this exclusion does not encompass all nonprofit entities)<br />
[42 CFR 50.603 (2) under “Significant financial interest means…”]:<br />
(http://grants.nih.gov/grants/policy/coi/fcoi_final_rule.pdf).<br />
<br />
Exclusions from Significant Financial Interest:<br />
The following types of financial interests are not considered<br />
significant financial interests even if related to the Investigator’s<br />
institutional responsibilities:<br />
o<br />
o<br />
o<br />
salary, royalties, or other remuneration paid by the University to<br />
the Investigator if the Investigator is currently employed or<br />
otherwise appointed by the University, including intellectual<br />
property rights assigned to the University and agreements to<br />
share with the University in royalties related to such rights;<br />
income from investment vehicles, such as mutual funds and<br />
retirement accounts, as long as the Investigator does not<br />
directly control the investment decisions made by the<br />
investment managers within these mutual funds or retirement<br />
accounts;<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 405
University of Arizona Interim Policy on Investigator Conflict or Interest in Research<br />
(Effective August 24, 2012)<br />
o<br />
o<br />
income from seminars, lectures, teaching engagements or<br />
service on advisory committees or review panels sponsored by<br />
a U.S. Federal, state, or local government agency, a U.S.<br />
Institution of higher education as defined at 20 U.S.C. 1001(a),<br />
a U.S. academic teaching hospital, medical center, or a<br />
research institute that is affiliated with a U.S. institution of<br />
higher education (note that this exclusion does not encompass<br />
all nonprofit entities);<br />
for Investigators in PHS-funded research required to report<br />
sponsored or reimbursed travel as noted above, excluded from<br />
this reporting requirement is travel sponsored or reimbursed by<br />
a U.S. federal, state, or local government agency, a U.S.<br />
institution of higher education as defined at 20 U.S.C. 2<br />
1001(a), or an academic teaching hospital, medical center, or<br />
research institute that is affiliated with a U.S. institution of<br />
higher education (note that this exclusion does not encompass<br />
all nonprofit entities).<br />
Financial Conflict of Interest (FCOI): A significant financial interest that<br />
is deemed to have potential to directly and significantly affect the design,<br />
conduct, or reporting of research. This policy requires that Investigators<br />
report significant financial interests to the University. The University is<br />
responsible for determining whether any of the significant financial<br />
interests constitutes an FCOI.<br />
Public Health Service (PHS): The U.S. Department of Health and<br />
Human Services (DHHS), and any components of the PHS to which the<br />
authority involved may be delegated, including the NIH.<br />
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CERTIFICATION OF UNEXPENDED RESIDUAL FUNDS<br />
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POSTDOCTORAL RESEARCHER MENTORING ACTIVITIES<br />
Mentoring Plan<br />
Postdoctoral Researcher:<br />
University:<br />
Postdoctoral Mentor:<br />
Research Project:<br />
Research Activities and Responsibilities: (One paragraph description)<br />
Orientation will include in-depth conversations between mentor and the Postdoctoral Researcher. Mutual<br />
expectations will be discussed and agreed upon in advance. Orientation topics will include (a) the amount<br />
of independence the Postdoctoral Researcher requires, (b) a clearly defined role within the research team<br />
(c) productivity including the importance of scientific publications, (d) reporting of research progress (e)<br />
documentation of research methodologies so that the work can be continued by other researchers in the<br />
future.<br />
Career Counseling will be directed at providing the Postdoctoral Researcher with the skills, knowledge,<br />
and experience needed to excel in his/her chosen career path. In addition to guidance provided by<br />
mentor, the Postdoctoral Researcher will be encouraged to discuss career options with other researchers<br />
and managers and with former students and colleagues.<br />
Experience with Preparation of Grant Proposals will be gained by direct involvement of the<br />
Postdoctoral Researcher in proposals preparation. The Postdoctoral Researcher will have an opportunity<br />
to learn best practices in proposal preparation including identification of key research questions, definition<br />
of objectives, description of approach and rationale, and construction of a work plan, timeline, and<br />
budget. The postdoctoral researcher will submit at least one proposal per year.<br />
Publications and Presentations are expected to result from the work supported by the grant. These will<br />
be prepared with guidance and review of the mentor, and in collaboration with other researchers, as<br />
appropriate. The Postdoctoral Researcher will receive guidance and training in the preparation of<br />
manuscripts for scientific journals and presentations at conferences.<br />
Teaching and Mentoring Skills will be developed in the context of regular meetings within the ERC<br />
research group during which graduate students and postdoctoral researchers describe their work to<br />
colleagues within the group and assist each other with solutions to challenging research problems, often<br />
resulting in cross fertilization of ideas.<br />
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Instruction in Professional Practices will be provided on a regular basis in the context of the research<br />
work and will include fundamentals of the scientific method, laboratory safety, and other standards of<br />
professional practice. In addition, the Postdoctoral Researcher will be encouraged to affiliate with one or<br />
more professional societies in his/her chosen field.<br />
Technology Transfer activities will include regular contact with researchers at industrial partners of the<br />
ERC. The Postdoctoral Researcher will be given an opportunity to become familiar with the universityindustry<br />
relationship including applicable confidentiality requirements and preparation of invention<br />
disclosure applications.<br />
Success of the Mentoring Plan will be assessed by monitoring the personal progress of the<br />
Postdoctoral Researcher through a tracking of the Postdoctoral Researcher’s progress toward his/her<br />
career goals after finishing the postdoctoral program.<br />
Signature of Mentor<br />
Date<br />
Signature of Postdoctoral Researcher<br />
Date<br />
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<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 410
Disability<br />
Citizenship Not <strong>Report</strong>ed<br />
Citizenship Foreign/ Temp Visa<br />
U.S. Citizen/ Perm Resident<br />
Citizenship Not <strong>Report</strong>ed<br />
Citizenship Foreign/ Temp Visa<br />
Race Not <strong>Report</strong>ed<br />
More than one race reported, non-minority<br />
More than one race reported, minority<br />
Total [1]<br />
A<br />
W<br />
B/AA<br />
NH/PI<br />
AI/AN<br />
Gender Not <strong>Report</strong>ed<br />
Female<br />
Male<br />
Personnel Type<br />
APPENDIX III – TABLE 7 ERC PERSONNEL<br />
Table 7: ERC Personnel<br />
Gender<br />
Citizenship Status<br />
Race—U.S. citizens and permanent<br />
residents only<br />
Ethnicity:<br />
Hispanic<br />
Total All Institutions<br />
Total [2] 223 140 78 5 12 1 28 83 26 2 2 12 49 8 20 2 0 2<br />
Leadership/Administration<br />
Directors 2 2 0 0 0 0 0 2 0 0 0 0 0 0 0 0 0 0<br />
Thrust Leaders 6 4 2 0 0 0 0 4 1 0 0 1 0 0 0 0 0 0<br />
Industrial<br />
Liaison Officer<br />
(ILO) 1 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 1<br />
Education<br />
Program<br />
Leaders 4 0 4 0 1 0 2 1 0 0 0 0 0 0 2 0 0 0<br />
Administrative<br />
Director 1 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0<br />
Staff 19 5 13 1 0 1 2 9 3 1 0 2 0 1 2 0 0 1<br />
Subtotal 33 13 19 1 1 1 4 18 4 1 0 3 0 1 4 0 0 2<br />
Research Under Strategic Research Plan<br />
Senior Faculty 24 18 6 0 0 0 1 15 4 0 0 1 3 0 0 0 0 0<br />
Junior Faculty 8 7 1 0 0 0 1 3 1 0 0 0 3 0 0 0 0 0<br />
Research Staff 4 4 0 0 0 0 0 4 0 0 0 0 0 0 0 0 0 0<br />
Industry<br />
Researchers 1 0 1 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0<br />
Total Postdocs 6 6 0 0 0 0 0 0 1 0 0 0 5 0 0 0 0 0<br />
Total Doctoral<br />
Students 64 45 15 4 0 0 2 17 7 1 0 2 28 7 4 2 0 0<br />
Total Master's<br />
Students 13 8 5 0 1 0 3 1 0 0 0 0 8 0 2 0 0 0<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 411
Total<br />
Undergraduate<br />
Students 38 27 11 0 0 0 14 14 5 0 2 2 1 0 3 0 0 0<br />
Other Visiting<br />
College<br />
Students 1 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0<br />
Subtotal 159 116 39 4 1 0 21 56 18 1 2 5 48 7 9 2 0 0<br />
Curriculum Development and Outreach<br />
Senior Faculty 2 0 2 0 1 0 0 1 0 0 0 0 0 0 0 0 0 0<br />
Junior Faculty 2 1 1 0 1 0 0 0 0 0 0 0 1 0 0 0 0 0<br />
Research Staff 5 0 5 0 3 0 1 0 0 0 0 1 0 0 0 0 0 0<br />
Total<br />
Undergraduate<br />
Students 7 4 3 0 0 0 3 3 1 0 0 0 0 0 0 0 0 0<br />
Other Visiting<br />
College<br />
Students 1 0 1 0 0 0 0 1 0 0 0 0 0 0 1 0 0 0<br />
Subtotal 17 5 12 0 5 0 4 5 1 0 0 1 1 0 1 0 0 0<br />
ERC REU Students<br />
NSF REU Site<br />
Award Students 3 1 2 0 0 0 0 2 1 0 0 0 0 0 1 0 0 0<br />
ERC's Own<br />
REU Students 12 7 5 0 1 0 0 7 2 0 0 2 0 0 5 0 0 0<br />
Subtotal 15 8 7 0 1 0 0 9 3 0 0 2 0 0 6 0 0 0<br />
Precollege (K-12)<br />
Teachers (RET) 11 4 7 0 4 0 1 3 2 0 0 1 0 0 0 0 0 0<br />
Subtotal 11 4 7 0 4 0 1 3 2 0 0 1 0 0 0 0 0 0<br />
University of Arizona - Lead Institution<br />
Total [2] 55 41 14 0 3 1 2 30 3 0 1 1 13 1 7 1 0 2<br />
Leadership/Administration<br />
Directors 1 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0<br />
Thrust Leaders 1 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0<br />
Industrial<br />
Liaison Officer<br />
(ILO) 1 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 1<br />
Education<br />
Program<br />
Leaders 2 0 2 0 1 0 0 1 0 0 0 0 0 0 2 0 0 0<br />
Administrative<br />
Director 1 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0<br />
Staff 7 3 4 0 0 1 0 4 1 0 0 1 0 0 1 0 0 1<br />
Subtotal 13 7 6 0 1 1 0 9 1 0 0 1 0 0 3 0 0 2<br />
Research Under Strategic Research Plan<br />
Senior Faculty 7 5 2 0 0 0 0 6 1 0 0 0 0 0 0 0 0 0<br />
Junior Faculty 5 5 0 0 0 0 0 3 0 0 0 0 2 0 0 0 0 0<br />
Research Staff 1 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0<br />
Total Postdocs 1 1 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0<br />
Total Doctoral<br />
Students 15 12 3 0 0 0 1 6 0 0 0 0 7 1 2 1 0 0<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 412
Total Master's<br />
Students 2 2 0 0 0 0 0 0 0 0 0 0 2 0 0 0 0 0<br />
Total<br />
Undergraduate<br />
Students 10 8 2 0 0 0 1 7 1 0 1 0 0 0 1 0 0 0<br />
Subtotal 41 34 7 0 0 0 2 23 2 0 1 0 12 1 3 1 0 0<br />
Curriculum Development and Outreach<br />
Junior Faculty 1 1 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0<br />
Research Staff 2 0 2 0 2 0 0 0 0 0 0 0 0 0 0 0 0 0<br />
Total<br />
Undergraduate<br />
Students 1 0 1 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0<br />
Subtotal 4 1 3 0 2 0 0 1 0 0 0 0 1 0 0 0 0 0<br />
ERC REU Students<br />
ERC's Own<br />
REU Students 3 2 1 0 0 0 0 3 0 0 0 0 0 0 1 0 0 0<br />
Subtotal 3 2 1 0 0 0 0 3 0 0 0 0 0 0 1 0 0 0<br />
California Institute of Technology - Core Partner<br />
Total [2] 10 6 3 1 0 0 0 4 1 0 0 1 2 2 1 0 0 0<br />
Leadership/Administration<br />
Thrust Leaders 1 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0<br />
Staff 1 0 1 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0<br />
Subtotal 2 1 1 0 0 0 0 2 0 0 0 0 0 0 0 0 0 0<br />
Research Under Strategic Research Plan<br />
Total Postdocs 1 1 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0<br />
Total Doctoral<br />
Students 6 3 2 1 0 0 0 2 0 0 0 1 1 2 1 0 0 0<br />
Total<br />
Undergraduate<br />
Students 1 1 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0<br />
Subtotal 8 5 2 1 0 0 0 2 1 0 0 1 2 2 1 0 0 0<br />
Columbia University - Core Partner<br />
Total [2] 20 12 7 1 0 0 0 5 4 1 0 1 8 1 2 0 0 0<br />
Leadership/Administration<br />
Thrust Leaders 1 0 1 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0<br />
Staff 2 0 1 1 0 0 0 0 0 1 0 0 0 1 0 0 0 0<br />
Subtotal 3 0 2 1 0 0 0 1 0 1 0 0 0 1 0 0 0 0<br />
Research Under Strategic Research Plan<br />
Senior Faculty 1 0 1 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0<br />
Junior Faculty 1 1 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0<br />
Total Postdocs 2 2 0 0 0 0 0 0 0 0 0 0 2 0 0 0 0 0<br />
Total Doctoral<br />
Students 9 6 3 0 0 0 0 2 3 0 0 0 4 0 0 0 0 0<br />
Total Master's<br />
Students 2 1 1 0 0 0 0 1 0 0 0 0 1 0 1 0 0 0<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 413
Total<br />
Undergraduate<br />
Students 3 2 1 0 0 0 0 1 1 0 0 1 0 0 1 0 0 0<br />
Subtotal 18 12 6 0 0 0 0 5 4 0 0 1 8 0 2 0 0 0<br />
Norfolk State University - Core Partner<br />
Total [2] 19 9 10 0 0 0 17 2 0 0 0 0 0 0 0 0 0 0<br />
Leadership/Administration<br />
Education<br />
Program<br />
Leaders 2 0 2 0 0 0 2 0 0 0 0 0 0 0 0 0 0 0<br />
Staff 2 0 2 0 0 0 2 0 0 0 0 0 0 0 0 0 0 0<br />
Subtotal 4 0 4 0 0 0 4 0 0 0 0 0 0 0 0 0 0 0<br />
Research Under Strategic Research Plan<br />
Senior Faculty 1 0 1 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0<br />
Junior Faculty 1 1 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0<br />
Total Doctoral<br />
Students 1 1 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0<br />
Total Master's<br />
Students 2 0 2 0 0 0 2 0 0 0 0 0 0 0 0 0 0 0<br />
Total<br />
Undergraduate<br />
Students 6 4 2 0 0 0 6 0 0 0 0 0 0 0 0 0 0 0<br />
Subtotal 11 6 5 0 0 0 11 0 0 0 0 0 0 0 0 0 0 0<br />
Curriculum Development and Outreach<br />
Research Staff 1 0 1 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0<br />
Total<br />
Undergraduate<br />
Students 5 3 2 0 0 0 3 2 0 0 0 0 0 0 0 0 0 0<br />
Subtotal 6 3 3 0 0 0 4 2 0 0 0 0 0 0 0 0 0 0<br />
University of California Berkeley - Core Partner<br />
Total [2] 10 7 3 0 0 0 0 2 4 0 0 1 3 0 0 0 0 0<br />
Leadership/Administration<br />
Thrust Leaders 2 1 1 0 0 0 0 0 1 0 0 1 0 0 0 0 0 0<br />
Subtotal 2 1 1 0 0 0 0 0 1 0 0 1 0 0 0 0 0 0<br />
Research Under Strategic Research Plan<br />
Senior Faculty 1 1 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0<br />
Total Postdocs 1 1 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0<br />
Total Doctoral<br />
Students 6 5 1 0 0 0 0 2 1 0 0 0 3 0 0 0 0 0<br />
Total<br />
Undergraduate<br />
Students 1 0 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0<br />
Subtotal 9 7 2 0 0 0 0 2 4 0 0 0 3 0 0 0 0 0<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 414
University of California San Diego - Core Partner<br />
Total [2] 45 29 14 2 1 0 1 22 6 1 0 2 11 1 2 1 0 0<br />
Leadership/Administration<br />
Directors 1 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0<br />
Staff 6 2 4 0 0 0 0 4 2 0 0 0 0 0 0 0 0 0<br />
Subtotal 7 3 4 0 0 0 0 5 2 0 0 0 0 0 0 0 0 0<br />
Research Under Strategic Research Plan<br />
Senior Faculty 7 6 1 0 0 0 0 6 1 0 0 0 0 0 0 0 0 0<br />
Research Staff 2 2 0 0 0 0 0 2 0 0 0 0 0 0 0 0 0 0<br />
Total Doctoral<br />
Students 20 12 6 2 0 0 0 4 2 1 0 1 11 1 1 1 0 0<br />
Total Master's<br />
Students 2 1 1 0 1 0 1 0 0 0 0 0 0 0 1 0 0 0<br />
Total<br />
Undergraduate<br />
Students 6 5 1 0 0 0 0 5 1 0 0 0 0 0 0 0 0 0<br />
Other Visiting<br />
College<br />
Students 1 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0<br />
Subtotal 38 27 9 2 1 0 1 18 4 1 0 1 11 1 2 1 0 0<br />
Curriculum Development and Outreach<br />
Research Staff 1 0 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0<br />
Total<br />
Undergraduate<br />
Students 1 1 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0<br />
Subtotal 2 1 1 0 0 0 0 0 1 0 0 1 0 0 0 0 0 0<br />
University of Southern California - Core Partner<br />
Total [2] 6 6 0 0 0 0 0 2 0 0 1 0 2 1 1 0 0 0<br />
Leadership/Administration<br />
Thrust Leaders 1 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0<br />
Subtotal 1 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0<br />
Research Under Strategic Research Plan<br />
Senior Faculty 1 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0<br />
Total Doctoral<br />
Students 3 3 0 0 0 0 0 0 0 0 0 0 2 1 0 0 0 0<br />
Total<br />
Undergraduate<br />
Students 1 1 0 0 0 0 0 0 0 0 1 0 0 0 1 0 0 0<br />
Subtotal 5 5 0 0 0 0 0 1 0 0 1 0 2 1 1 0 0 0<br />
Arizona Center for Innovation - Collaborating Institution<br />
Total [2] 1 0 1 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0<br />
Research Under Strategic Research Plan<br />
Industry<br />
Researchers 1 0 1 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0<br />
Subtotal 1 0 1 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0<br />
Cornell University - Collaborating Institution<br />
Total [2] 4 3 1 0 0 0 0 2 1 0 0 1 0 0 0 0 0 0<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 415
Research Under Strategic Research Plan<br />
Senior Faculty 1 0 1 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0<br />
Research Staff 1 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0<br />
Total Doctoral<br />
Students 1 1 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0<br />
Total<br />
Undergraduate<br />
Students 1 1 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0<br />
Subtotal 4 3 1 0 0 0 0 2 1 0 0 1 0 0 0 0 0 0<br />
Tuskegee University - Collaborating Institution<br />
Total [2] 13 7 6 0 0 0 7 0 2 0 0 0 4 0 0 0 0 0<br />
Research Under Strategic Research Plan<br />
Senior Faculty 1 1 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0<br />
Junior Faculty 1 0 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0<br />
Total Master's<br />
Students 3 2 1 0 0 0 0 0 0 0 0 0 3 0 0 0 0 0<br />
Total<br />
Undergraduate<br />
Students 8 4 4 0 0 0 7 0 0 0 0 0 1 0 0 0 0 0<br />
Subtotal 13 7 6 0 0 0 7 0 2 0 0 0 4 0 0 0 0 0<br />
University of California Los Angeles - Collaborating Institution<br />
Total [2] 7 5 1 1 0 0 0 2 0 0 0 2 2 1 1 0 0 0<br />
Leadership/Administration<br />
Staff 1 0 1 0 0 0 0 0 0 0 0 1 0 0 1 0 0 0<br />
Subtotal 1 0 1 0 0 0 0 0 0 0 0 1 0 0 1 0 0 0<br />
Research Under Strategic Research Plan<br />
Senior Faculty 1 1 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0<br />
Total Doctoral<br />
Students 2 1 0 1 0 0 0 1 0 0 0 0 0 1 0 0 0 0<br />
Total Master's<br />
Students 2 2 0 0 0 0 0 0 0 0 0 0 2 0 0 0 0 0<br />
Total<br />
Undergraduate<br />
Students 1 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0<br />
Subtotal 6 5 0 1 0 0 0 2 0 0 0 1 2 1 0 0 0 0<br />
Korea Advance Institute of Science and Technology - Foreign Partner<br />
Total [2] 1 1 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0<br />
Research Under Strategic Research Plan<br />
Senior Faculty 1 1 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0<br />
Subtotal 1 1 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0<br />
Technische Universitat Darmstadt - Foreign Partner<br />
Total [2] 1 1 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0<br />
Research Under Strategic Research Plan<br />
Senior Faculty 1 1 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0<br />
Subtotal 1 1 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 416
University of Eastern Finland - Foreign Partner<br />
Total [2] 3 3 0 0 0 0 0 0 0 0 0 0 2 1 0 0 0 0<br />
Research Under Strategic Research Plan<br />
Senior Faculty 1 1 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0<br />
Total Postdocs 1 1 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0<br />
Total Doctoral<br />
Students 1 1 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0<br />
Subtotal 3 3 0 0 0 0 0 0 0 0 0 0 2 1 0 0 0 0<br />
Arizona State University - Non-ERC Institution Providing REU Students<br />
Total [2] 1 0 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0<br />
ERC REU Students<br />
ERC's Own<br />
REU Students 1 0 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0<br />
Subtotal 1 0 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0<br />
California Polytechnic State University, San Luis Obispo - Non-ERC Institution Providing REU Students<br />
Total [2] 1 1 0 0 0 0 0 1 0 0 0 0 0 0 1 0 0 0<br />
ERC REU Students<br />
ERC's Own<br />
REU Students 1 1 0 0 0 0 0 1 0 0 0 0 0 0 1 0 0 0<br />
Subtotal 1 1 0 0 0 0 0 1 0 0 0 0 0 0 1 0 0 0<br />
California State Polytechnic University, Pomona - Non-ERC Institution Providing REU Students<br />
Total [2] 1 1 0 0 0 0 0 1 0 0 0 0 0 0 1 0 0 0<br />
ERC REU Students<br />
ERC's Own<br />
REU Students 1 1 0 0 0 0 0 1 0 0 0 0 0 0 1 0 0 0<br />
Subtotal 1 1 0 0 0 0 0 1 0 0 0 0 0 0 1 0 0 0<br />
Southwestern Indian Polytechnic Institute - Non-ERC Institution Providing REU Students<br />
Total [2] 1 1 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0<br />
ERC REU Students<br />
ERC's Own<br />
REU Students 1 1 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0<br />
Subtotal 1 1 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0<br />
SUNY Binghamton University - Non-ERC Institution Providing REU Students<br />
Total [2] 1 0 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0<br />
ERC REU Students<br />
NSF REU Site<br />
Award Students 1 0 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0<br />
Subtotal 1 0 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0<br />
The University of Texas at El Paso - Non-ERC Institution Providing REU Students<br />
Total [2] 1 1 0 0 0 0 0 0 0 0 0 1 0 0 1 0 0 0<br />
ERC REU Students<br />
ERC's Own<br />
REU Students 1 1 0 0 0 0 0 0 0 0 0 1 0 0 1 0 0 0<br />
Subtotal 1 1 0 0 0 0 0 0 0 0 0 1 0 0 1 0 0 0<br />
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University of California Riverside - Non-ERC Institution Providing REU Students<br />
Total [2] 1 0 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0<br />
ERC REU Students<br />
ERC's Own<br />
REU Students 1 0 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0<br />
Subtotal 1 0 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0<br />
University of Denver - Non-ERC Institution Providing REU Students<br />
Total [2] 1 0 1 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0<br />
ERC REU Students<br />
NSF REU Site<br />
Award Students 1 0 1 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0<br />
Subtotal 1 0 1 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0<br />
University of Puerto Rico at Bayamón - Non-ERC Institution Providing REU Students<br />
Total [2] 1 0 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0<br />
ERC REU Students<br />
ERC's Own<br />
REU Students 1 0 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0<br />
Subtotal 1 0 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0<br />
University of Puerto Rico Rio Piedras - Non-ERC Institution Providing REU Students<br />
Total [2] 1 1 0 0 0 0 0 1 0 0 0 0 0 0 1 0 0 0<br />
ERC REU Students<br />
NSF REU Site<br />
Award Students 1 1 0 0 0 0 0 1 0 0 0 0 0 0 1 0 0 0<br />
Subtotal 1 1 0 0 0 0 0 1 0 0 0 0 0 0 1 0 0 0<br />
Pima Community College - Community College<br />
Total [2] 2 1 1 0 0 0 0 2 0 0 0 0 0 0 0 0 0 0<br />
Curriculum Development and Outreach<br />
Senior Faculty 1 0 1 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0<br />
Subtotal 1 0 1 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0<br />
ERC REU Students<br />
ERC's Own<br />
REU Students 1 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0<br />
Subtotal 1 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0<br />
San Diego City College - Community College<br />
Total [2] 1 0 1 0 0 0 0 1 0 0 0 0 0 0 1 0 0 0<br />
ERC REU Students<br />
ERC's Own<br />
REU Students 1 0 1 0 0 0 0 1 0 0 0 0 0 0 1 0 0 0<br />
Subtotal 1 0 1 0 0 0 0 1 0 0 0 0 0 0 1 0 0 0<br />
Flagstaff Unified School District - Pre-college Partner<br />
Total [2] 1 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0<br />
Precollege (K-12)<br />
Teachers (RET) 1 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0<br />
Subtotal 1 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0<br />
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High Tech High Chula Vista - Pre-college Partner<br />
Total [2] 1 0 1 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0<br />
Precollege (K-12)<br />
Teachers (RET) 1 0 1 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0<br />
Subtotal 1 0 1 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0<br />
Hoover High School, San Diego State University - Pre-college Partner<br />
Total [2] 1 1 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0<br />
Precollege (K-12)<br />
Teachers (RET) 1 1 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0<br />
Subtotal 1 1 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0<br />
Lapwai - Pre-college Partner<br />
Total [2] 1 0 1 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0<br />
Precollege (K-12)<br />
Teachers (RET) 1 0 1 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0<br />
Subtotal 1 0 1 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0<br />
Muckleshoot Tribal School - Pre-college Partner<br />
Total [2] 1 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0<br />
Precollege (K-12)<br />
Teachers (RET) 1 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0<br />
Subtotal 1 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0<br />
Nixyaawii Community School - Pre-college Partner<br />
Total [2] 1 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0<br />
Precollege (K-12)<br />
Teachers (RET) 1 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0<br />
Subtotal 1 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0<br />
Norfolk Public Schools - Pre-college Partner<br />
Total [2] 1 0 1 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0<br />
Precollege (K-12)<br />
Teachers (RET) 1 0 1 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0<br />
Subtotal 1 0 1 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0<br />
The Accelerated School - Pre-college Partner<br />
Total [2] 1 0 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0<br />
Precollege (K-12)<br />
Teachers (RET) 1 0 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0<br />
Subtotal 1 0 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0<br />
Valley Christian High School - Pre-college Partner<br />
Total [2] 1 1 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0<br />
Precollege (K-12)<br />
Teachers (RET) 1 1 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0<br />
Subtotal 1 1 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0<br />
Vechij Himdag Alternative School - Pre-college Partner<br />
Total [2] 1 1 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 419
Precollege (K-12)<br />
Teachers (RET) 1 1 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0<br />
Subtotal 1 1 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0<br />
Window Rock Unified School - Pre-college Partner<br />
Total [2] 1 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0<br />
Precollege (K-12)<br />
Teachers (RET) 1 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0<br />
Subtotal 1 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0<br />
American Indian languauge development Institute (AILDI) - Alliance with NSF Diversity Awardees<br />
Total [2] 2 0 2 0 2 0 0 0 0 0 0 0 0 0 0 0 0 0<br />
Curriculum Development and Outreach<br />
Senior Faculty 1 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0<br />
Junior Faculty 1 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0<br />
Subtotal 2 0 2 0 2 0 0 0 0 0 0 0 0 0 0 0 0 0<br />
Materials and Devices for Information Technology Research - Alliance with NSF Diversity Awardees<br />
Total [2] 1 0 1 0 0 0 0 1 0 0 0 0 0 0 1 0 0 0<br />
Curriculum Development and Outreach<br />
Other Visiting<br />
College<br />
Students 1 0 1 0 0 0 0 1 0 0 0 0 0 0 1 0 0 0<br />
Subtotal 1 0 1 0 0 0 0 1 0 0 0 0 0 0 1 0 0 0<br />
Native American Science and Engineering Program - Alliance with NSF Diversity Awardees<br />
Total [2] 1 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0<br />
Curriculum Development and Outreach<br />
Research<br />
Staff 1 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0<br />
Subtotal 1 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0<br />
[1] The Total column will not equal the sum of the values in each row. This is because an individual will be reported<br />
more than once across Gender, Citizenship Status, Ethnicity: Hispanic, and Disability.<br />
[2] If ERC Personnel were entered at the individual level the Total row may not equal the sum of the line items. This<br />
is because an individual may be reported in more than one personnel category but is only counted once for the<br />
purposes of the Total.<br />
Legend<br />
AI/AN: American Indian or Alaska Native<br />
NH/PI: Native Hawaiian or Other Pacific Islander<br />
B/AA: Black/African American<br />
W: White<br />
A: Asian, e.g., Asian Indian, Chinese, Filipino, Japanese, Korean, Vietnamese, Other Asian<br />
More than one race reported, minority - Personnel reporting a) two or more race categories and b) one or more of the<br />
reported categories includes American Indian or Alaska Native, Black or African American, or Native Hawaiian or<br />
Other Pacific Islander<br />
More than one race reported, non-minority - Personnel reporting a) both White and Asian and b) no other categories<br />
in addition to White and Asian<br />
US/Perm: U.S. citizens and legal permanent residents<br />
Non-US: Non-U.S. citizens/Non-legal permanent residents<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 420
<strong>CIAN</strong> Diversity Strategic Plan<br />
APPENDIX IV – DIVERSITY PLAN<br />
<strong>CIAN</strong>’s goal for diversity is to broaden access to STEM disciplines through education and outreach<br />
programs for diverse populations from the elementary to college levels. Further, the diversity strategic<br />
plan includes measures to establish a gender, race, ethnicity, and disabilities composition of <strong>CIAN</strong> that<br />
will exceed the national averages in engineering. The strategic plan for achieving these goals includes the<br />
following initiatives:<br />
Partnerships with Nationwide Organizations and Minority Serving Institutions (MSIs)<br />
Recruitment of diverse talent at all positions in <strong>CIAN</strong><br />
Diversity Travel Grant Program<br />
Diversity Fellowship Program<br />
One component of the Diversity Strategic Plan includes partnering with various organizations and minority<br />
serving institutions. Since <strong>CIAN</strong>’s inception, there have been research partnerships with two Historically<br />
Black Colleges and Universities (HBCUs)—Norfolk State University and Tuskegee University. These<br />
partnerships foster collaborative research between the HBCUs and the other <strong>CIAN</strong> institutions and allow<br />
HBCU faculty and students to engage in cutting-edge research. Further, students at these institutions<br />
participate in <strong>CIAN</strong>’s educational programs and activities in optical communications, including the<br />
Supercourse and seminar webcasts. This partnership also provides for <strong>CIAN</strong> researchers to be colloquia<br />
speakers and give invited research talks at these campuses, further engaging and exposing the broader<br />
research community at NSU and TU to research that is being done across the Center. The plan also<br />
includes establishing outreach partners that <strong>CIAN</strong> interacts with in various ways including campus visits<br />
for research talks, outreach activities, and recruitment for the REU and RET programs. The outreach<br />
partners currently include Pima Community College (HSI), San Diego City College (HSI), and<br />
Southwestern Indian Polytechnic Institute (TCU).<br />
One of <strong>CIAN</strong>’s goals is to recruit the best and brightest talent on all levels from students to faculty<br />
researchers. Therefore, the diversity strategic plan includes initiatives to recruit a diverse but talented<br />
pool of researchers and includes the strategic recruitment of underrepresented minorities (URMs) through<br />
various national organizations/programs. We collaborate on recruitment with Louis Stokes Alliance for<br />
Minority Participation (LSAMP) programs as well as an Alfred P. Sloan Foundation program. Specifically,<br />
we recruit students through the Washington-Baltimore-Hampton Roads LSAMP (which includes NSU)<br />
and Western Alliance to Expand Student Opportunities LSAMP Alliance. We also collaborate with the<br />
Alfred P. Sloan Foundation Indigenous Graduate Partnership at the University of Arizona for the<br />
recruitment of Native American graduate students.<br />
The diversity initiatives of the Center also include recruitment at STEM conferences that are geared<br />
towards URM attendees including the American Indian Science and Engineering Society (AISES), the<br />
Society for Advancement of Chicanos and Native Americans in Science (SACNAS), the National Society<br />
of Black Physicists (NSBP), the National Society of Hispanic Physicists (NSHP), the Society of Hispanic<br />
Engineers (SHPE), and the National Society of Black Engineers (NSBE). Further, the plan includes<br />
campus visits and/or mailings to contacts at various HBCUs, HSIs, TCUs as well as student organizations<br />
at <strong>CIAN</strong> institutions or sites near <strong>CIAN</strong> institutions with high populations of Hispanic or Native American<br />
students. The student organizations include: SHPE, SACNAS, NSBE, AISES, SPIE, and SWE (Society of<br />
Women Engineers). Further, <strong>CIAN</strong> will send mailings about its education programs to campus minority<br />
affairs offices and minority engineering program offices including Minority Engineering Programs (MEP)<br />
and Math, Engineering, Science Achievement (MESA) Programs. The packets included an introductory<br />
letter about <strong>CIAN</strong> and flyers about our REU, RET, diversity graduate research fellowships, diversity travel<br />
grants, and the M.S. Photonic Communications Engineering programs. <strong>CIAN</strong> will also contact a number<br />
of community colleges about the RET and REU programs.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 421
The Diversity Strategic Plan also consists of efforts to recruit students with disabilities, including visits or<br />
contacts with programs that serve students with disabilities. STEM programs at Gallaudet University (for<br />
deaf and hard of hearing students) and the National Technical Institute for the Deaf at Rochester Institute<br />
of Technology will be contacted to notify students and faculty about <strong>CIAN</strong>’s various education programs<br />
such as the REU program, diversity travel grants, and the M.S. Photonic Communications Engineering<br />
programs. <strong>CIAN</strong> will also contact the Disability Resources offices at <strong>CIAN</strong> campuses to inform students<br />
of research and education opportunities in the Center.<br />
Another component of the Diversity Strategic plan is the Diversity Travel Grant program. In this program,<br />
<strong>CIAN</strong> will award travel grants to up to 10 undergraduate minority or female students for visits to <strong>CIAN</strong><br />
universities. During the visits the students are able to meet with <strong>CIAN</strong> faculty and students, learn about<br />
<strong>CIAN</strong> research, and tour the research laboratories and campus. The visits will be scheduled around<br />
established recruitment weekends/activities (when possible) or arranged through <strong>CIAN</strong> staff and faculty.<br />
The website for the program is: http://www.cian-erc.org/travel_grants_dev.cfm.<br />
The Diversity Fellowship Program is another initiative of the diversity plan. This fellowship provides<br />
funding for minority and/or female post-doctoral researchers or new graduate students in <strong>CIAN</strong> research<br />
groups. It encourages <strong>CIAN</strong> faculty members to consider talented post-docs from a diverse group of<br />
applicants for new hires. It also encourages faculty members to seek qualified and competitive minority<br />
students to work in their research laboratories. This program is targeted to core <strong>CIAN</strong> institutions that are<br />
not MSIs.<br />
In addition to the involvement of URM undergraduate and graduate students in <strong>CIAN</strong>’s education<br />
programs, outreach to minority pre-college students is important to ensure that the pipeline of a diverse,<br />
but talented stream of researchers in STEM fields is established. This will be achieved by recruiting<br />
minority K-12 students for <strong>CIAN</strong>’s young scholars program for high school students. Moreover, K-12<br />
outreach activities and projects will be performed in minority serving communities or for programs with<br />
high numbers of URM participants. These activities will be performed across the various <strong>CIAN</strong><br />
institutions.<br />
Over time the diversity strategic plan is designed to create legacy initiatives, leading to sustained<br />
opportunities in these disciplines that attract diverse candidates based solely on their abilities and<br />
potential for success. Establishing a critical mass of diversity in the demographics of engineering at<br />
<strong>CIAN</strong>’s partner institutions is a long-term objective of the Diversity Strategic Plan.<br />
<strong>CIAN</strong> NSF ERC YR5 ANNUAL REPORT – VOL 1 422
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