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1 Opto-Electronic Engineering 光电工程 Review 2019 年, 第 46 卷, 第 7 期固态激光雷达研究进展陈敬业, 时尧成 * 摘要 : 激光雷达可以高精度高准确度地获取目标的距离速度等信息或者实现目标成像, 在测绘导航等领域具有重要作用本文首先介绍了从机械式向全固态过渡的微机械系统激光雷达解决方案 ; 其次针对激光雷达全固态的发展需求, 介绍了面阵闪光相控阵激光雷达的基本原理和典型实现方法, 从液晶光波导材料等研究方向阐述相控阵激光雷达研究现状 ; 最后总结了目前激光雷达存在的问题及不同的解决方案, 并对未来发展趋势进行了展望关键词 : 激光雷达 ; 微机电系统 ; 闪光 ; 光学相控阵中图分类号 :TN249 文献标志码 :A 引用格式 : 陈敬业, 时尧成. 固态激光雷达研究进展 [J]. 光电工程,2019,46(7): Research progress in solid-state LiDAR Chen Jingye, Shi Yaocheng * State Key Laboratory of Modern Optical Instrumentation, Zhejiang University, Hangzhou, Zhejiang , China Abstract: Light detection and ranging (LiDAR) system can be used to capture the distances and speeds of the targets with high resolution and high accuracy, and can also form imaging. It is important for the applications such as mapping, and navigation, et al. This paper introduces the LiDAR solution based on micro-electromechanical system (MEMS) is a transitional scheme from mechanical one to solid-state. Meanwhile, in terms of the requirement of solid-state, the principles of Flash and optical phased array LiDAR are introduced in this paper. At the same time, the miniaturization trend of LiDAR is presented with optical phased array based on liquid crystal (LC) and integrated optical waveguides. At last, the performances and open issues of the solutions for LiDAR are concluded and the development trends of LiDAR are summarized with outlook. Keywords: LiDAR; MEMS; Flash; optical phased array Citation: Chen J Y, Shi Y C. Research progress in solid-state LiDAR[J]. Opto-Electronic Engineering, 2019, 46(7): 引言 [1-4] (LiDAR) 收稿日期 : ; 收到修改稿日期 : 基金项目 :( ) 作者简介 : (1993-) jingyechen@zju.edu.cn 通信作者 : (1981-) yaocheng@zju.edu.cn

[5-7] (micro-electro-mechanical system, MEMS) (Flash)(optical phased array, OPA) MEMS Flash OPA [8] 2 3 MEMS 4 Flash 5 OPA (liquid crystal LC) (Silicon on insulators SOI) 6 2 基本原理

2 [5-7] (micro-electro-mechanical system, MEMS) (Flash)(optical phased array, OPA) MEMS Flash OPA [8] 2 3 MEMS 4 Flash 5 OPA (liquid crystal LC) (Silicon on insulators SOI) 6 2 基本原理 1 / 3 MEMS 激光雷达 (MEMS) 2 MEMS [9] MEMS [10] 2.3 V 9 12 mw 74 Hz [11] MEMS [12] 3 Laser Scanner Synchronization Computer 图 1 激光雷达工作原理图 Fig. 1 Schematic of the LiDAR system

2 MEMS 1 khz 100 W MEMS MEMS MEMS [20] Byung-Wook Yoo 6 8 8 MEMS [21] 10 V 1.7π 0.5 MHz 9.14 9.

3 Laser MEMS mirror Synchronization Computer Lens 图 2 MEMS 激光雷达工作原理图 Fig. 2 Schematic of the MEMS LiDAR system MEMS 10 khz (PZT) [13] PZT MEMS [14] 11.2 khz 39 MEMS [15] 10 V 10 KTH [16] 4 MEMS 20 V 5.6 MEMS 7 mm MEMS [17] (time of flight TOF) 0.5 m 80 m Hz 5 LiDAR 2 7 [18] 334 mm 80% Hz 20 mm [19] 7.2 MEMS 1 khz 100 W MEMS MEMS MEMS [20] Byung-Wook Yoo MEMS [21] 10 V 1.7π 0.5 MHz Magnet Magnet B x i MEMS comb drive Tunable grating S N S N Coil Moving beam 10 μm Suspension spring (4 ) Waveguide [12] 图 3 电磁驱动 MEMS 结构图 Fig. 3 Schematic of the MEMS based on electromagnetic actuator [12] [16] 图 4 MEMS 驱动光栅电镜图 Fig. 4 SEM image of grating based on MEMS actuator [16]

3 5 6 2 1 8 7 PC 4 50 μm [18] 图 5 大孔径 MEMS 激光雷达示意 Fig.

4 PC 4 50 μm [18] 图 5 大孔径 MEMS 激光雷达示意 Fig. 5 Schematic setup of MEMS-based LiDAR with large aperture [18] 4 Flash 激光雷达 [22] 3D 7 Flash [23] 8 Flash D Flash [21] 图 MEMS 光学相控阵芯片扫描电镜图 Fig. 6 SEM image of the 8 8 MEMS optical phased array [21] [24] NASA 3D Flash 9 Flash Hz 1 km [25] 1064 nm Flash Hz [26] Flash PIN [27-28] 10 (avalanche photodetector APD) APD Laser Structure light Computer Synchronization Lens Focal plane detector 图 7 Flash 激光雷达工作原理图 Fig. 7 Schematic of the Flash LiDAR system

Rack mounted system 1998 3D portable video camera 2005 Compact TigerEye July 2009 [23] 图 8 Flash 激光雷达小型化发展过程 Fig.

development at ASCs Receiver aperture Laser transmitter aperture Laptop processes and displays 3D images Controls camera functions [25] 图 9 Flash 激光雷达框架图 Fig.

15 cm [29] 256 256 GMAPD 11 CMOS 30 ms 3.5 km [30] Raytheon (HgCdTe) LMAPD 3D 256 256 [31] [27] 图 10 Flash 激光雷达系统 Fig.

5 Rack mounted system D portable video camera 2005 Compact TigerEye July 2009 [23] 图 8 Flash 激光雷达小型化发展过程 Fig. 8 Miniaturization evolution of Flash LiDAR [23] Flash LiDAR Laser altimeter Aft port window Ribbon cable down loads 3D data to laptop Hand held 3D camera under development at ASCs Receiver aperture Laser transmitter aperture Laptop processes and displays 3D images Controls camera functions [25] 图 9 Flash 激光雷达框架图 Fig. 9 Configuration of Flash LiDAR [25] APD (linear mode avalanche photodiode LMAPD) (Geiger mode avalanche photodiode GMAPD) Lincoln GMAPD 500 MHz cm [29] GMAPD 11 CMOS 30 ms 3.5 km [30] Raytheon (HgCdTe) LMAPD 3D [31] [27] 图 10 Flash 激光雷达系统 Fig. 10 System of Flash LiDAR [27] Flash (APD) [32] Flash KAIST (polarization modulating Pockels cell, PMPC) (micro-polarizer charge-coupled device, MCCD) CMOS readout Silica substrate [30] 图 11 混合集成成像器截面图 Fig. 11 Cross section of hybridized imager [30] APDs

[33] MCCD 1024 1024 MCCD APD 0.12 mrad 16 m 5.

Fig. 12 Schematic of the OPA LiDAR system Polarization Optical beam

6 [33] MCCD MCCD APD 0.12 mrad 16 m 5.2 mm 5 OPA 激光雷达 12 [8] 5.1 液晶 (LC) 相控阵 McManamon [34] 13 (spatial light modulator SLM) Phase modulator LO Laser Phase modulator LO Computer 图 12 OPA 激光雷达工作原理图 Fig. 12 Schematic of the OPA LiDAR system Polarization Optical beam Off 360 Phase shift/( ) On V 0 0 V t 5 RMS voltage/v [34] 图 13 液晶光学相控阵结构原理 Fig. 13 Schematic of the LC optical phased array [34]

6 19 db LiDAR LiDAR [39] (frequency modulated continuous wave FMCW) 15 L mn y Column phase control Unit cell ϕ mn Row phase control SMF Intrinsic Si n-si n * -Si

7 ±10 David Engström [35] 200 μs ±3.4 V ±9 ( khz ) ( ) 5.2 集成光波导型相控阵 1972 Meyer (LiTaO 3 ) 46 [36] 2π 32 V CMOS (silicon-on- insulator SOI) SungWon Chung 1024 [37] 180 nm SOI μs MIT 14 [38] π 8.5 mw db LiDAR LiDAR [39] (frequency modulated continuous wave FMCW) 15 L mn y Column phase control Unit cell ϕ mn Row phase control SMF Intrinsic Si n-si n * -Si Contact Metal 2 Metal 1 x Input 300 μm [38] 图 14 二维硅基光学相控阵结构示意图 Fig. 14 Schematic of 2D silicon optical phased array [38] Ge PDs Control pads 10% LO tap RX TX [39] 图 15 硅基光学相控阵收发芯片显微镜图 Fig. 15 Optical microscope image of the silicon optical phased array transceiver chip [39]

46 36 0.85 0.18 2 m 20 mm [40] FMCW 5 mw 60 m 9 mm 9 mm 8 8 [41] 16 MIT 27.

8 m 20 mm [40] FMCW 5 mw 60 m 9 mm 9 mm 8 8 [41] 16 MIT 27.2 mw 2π 12 db, 6 总结与展望 OPA Flash 3D 21 MEMS MEMS LiDAR MEMS Calibration GC z o y x Output GC Input GC T/R switch Poly-Si(p+) Poly-Si(p-) Si(p-) Metal layer 2 Metal layer 1 Via Si(p+) Top metal Metal layer 3 Amplitude control line Phase control line Active cell 8 8 active OPA Dimensions are not scaled [41] 图 16 单片集成 8 8 光学相控阵收发器示意图 Fig. 16 Schematic of the 8 8 monolithic optical phased array transceiver [41] 表 1 不同类型的激光雷达芯片性能对比 Table 1 Performances comparison of different LiDAR chips Type Scanning angle/( ) Resolution/( ) Speed/Hz Voltage/V MEMS [21] NA 0.5 M 10 Flash [26] 20 NA 55 NA LC [35] k ±3.4 Silicon OPA [39] NA

9 MEMS Flash LiDAR CMOS Velodyne 1983 Leddar Tech MEMS MEMS Flash Quanergy 参考文献 [1] Hauchecorne A, Chanin M L. Density and temperature profiles obtained by lidar between 35 and 70 km[j]. Geophysical Research Letters, 1980, 7(8): [2] Koch G J, Barnes B W, Petros M, et al. Coherent differential absorption lidar measurements of CO 2 [J]. Applied Optics, 2004, 43(26): [3] Schwarz B. LIDAR: Mapping the world in 3D[J]. Nature Photonics, 2010, 4(7): [4] Collis R T H, Russell P B. Lidar measurement of particles and gases by elastic backscattering and differential absorption[m]//hinkley E D. Laser Monitoring of the Atmosphere. Berlin, Heidelberg: Springer, 1976: [5] Gschwendtner A B, Keicher W E. Development of coherent laser radar at Lincoln Laboratory[J]. Lincoln Laboratory Journal, 2000, 12(2): [6] Niclass C, Ito K, Soga M, et al. Design and characterization of a 256x64-pixel single-photon imager in CMOS for a MEMS-based laser scanning time-of-flight sensor[j]. Optics Express, 2012, 20(11): [7] McCarthy A, Ren X M, Della Frera A, et al. Kilometer-range depth imaging at 1550 nm wavelength using an InGaAs/InP single-photon avalanche diode detector[j]. Optics Express, 2013, 21(19): [8] Heck M J R. Highly integrated optical phased arrays: photonic integrated circuits for optical beam shaping and beam steering[j]. Nanophotonics, 2017, 6(1): [9] Nee J T, Conant R A, Muller R S, et al. Lightweight, optically flat micromirrors for fast beam steering[c]//proceedings of 2000 IEEE/LEOS International Conference on Optical MEMS, 2000: [10] Xu Y S, Singh J, Selvaratnam T, et al. Two-axis gimbal-less electrothermal micromirror for large-angle circumferential scanning[j]. IEEE Journal of Selected Topics in Quantum Electronics, 2009, 15(5): [11] Koh K H, Lee C. A low power 2-D raster scanning MEMS mirror driven by hybrid electrothermal and electromagnetic actuation mechanisms[c]//proceedings of 2012 International Conference on Optical MEMS and Nanophotonics, 2012: [12] Urey H. MEMS scanners for display and imaging applications[j]. Proceedings of SPIE, 2004, 5604: [13] Uchino K. Piezoelectric actuators 2006[J]. Journal of Electroceramics, 2008, 20(3 4): [14] Tani M, Akamatsu M, Yasuda Y, et al. A combination of fast resonant mode and slow static deflection of SOI-PZT actuators for MEMS image projection display[c]//proceedings of 2006 IEEE/LEOS International Conference on Optical MEMS and Their Applications Conference, 2006: [15] Chu H M, Hane K. Design, fabrication and vacuum operation characteristics of two-dimensional comb-drive micro-scanner[j]. Sensors and Actuators A: Physical, 2011, 165(2): [16] Errando-Herranz C, Le Thomas N, Gylfason K B. Low-power optical beam steering by microelectromechanical waveguide gratings[j]. Optics Letters, 2019, 44(4): [17] Hofmann U, Senger F, Soerensen F, et al. Biaxial resonant 7mm-MEMS mirror for automotive LIDAR application[c]//proceedings of 2012 International Conference on Optical MEMS and Nanophotonics, 2012: [18] Sandner T, Wildenhain M, Gerwig C, et al. Large aperture MEMS scanner module for 3D distance measurement[j]. Proceedings of SPIE, 2010, 7594: 75940D. [19] Senger F, Hofmann U, Von Wantoch T, et al. Centimeter-scale MEMS scanning mirrors for high power laser application[j]. Proceedings of SPIE, 2015, 9375: [20] Jung I W, Krishnamoorthy U, Solgaard O. High fill-factor two-axis gimbaled tip-tilt-piston micromirror array actuated by self-aligned vertical electrostatic combdrives[j]. Journal of Microelectromechanical Systems, 2006, 15(3): [21] Yang W J, Sun T B, Rao Y, et al. High speed optical phased array using high contrast grating all-pass filters[j]. Optics

10 Express, 2014, 22(17): [22] Anthes J P, Garcia P, Pierce J T, et al. Nonscanned ladar imaging and applications[j]. Proceedings of SPIE, 1993, 1936: [23] Stettner R. Compact 3D flash lidar video cameras and applications[j]. Proceedings of SPIE, 2010, 7684: [24] Natale D J, Tutwiler R L, Baran M S, et al. Using full motion 3D Flash LIDAR video for target detection, segmentation, and tracking[c]//proceedings of 2010 IEEE Southwest Symposium on Image Analysis & Interpretation, 2010: [25] Amzajerdian F, Vanek M, Petway L, et al. Utilization of 3D imaging flash lidar technology for autonomous safe landing on planetary bodies[j]. Proceedings of SPIE, 2010, 7608: [26] Ramond T, Saiki E, Weimer C, et al. Topographic mapping flash lidar for multiple scattering, terrain, and forest mapping[j]. Proceedings of SPIE, 2011, 8037: [27] Stettner R, Bailey H, Richmond R D. Eye-safe laser radar 3D imaging[j]. Proceedings of SPIE, 2004, 5412: [28] Stettner R, Bailey H, Silverman S. Large format time-of-flight focal plane detector development[j]. Proceedings of SPIE, 2005, 5791: [29] Marino R M, Stephens T, Hatch R E, et al. A compact 3D imaging laser radar system using Geiger-mode APD arrays: system and measurements[j]. Proceedings of SPIE, 2003, 5086: [30] Aull B F, Schuette D R, Young D J, et al. A study of crosstalk in a photon counting imager based on silicon geiger-mode avalanche photodiodes[j]. IEEE Sensors Journal, 2015, 15(4): [31] Jack M, Chapman G, Edwards J, et al. Advances in ladar components and subsystems at Raytheon[J]. Proceedings of SPIE, 2012, 8353: 83532F. [32] Zhang P, Du X P, Zhao J G, et al. High resolution flash three-dimensional LIDAR systems based on polarization modulation[j]. Applied Optics, 2017, 56(13): [33] Jo S, Kong H J, Bang H, et al. High resolution three-dimensional flash LIDAR system using a polarization modulating Pockels cell and a micro-polarizer CCD camera[j]. Optics Express, 2016, 24(26): A1580 A1585. [34] McManamon P F, Dorschner T A, Corkum D L, et al. Optical phased array technology[j]. Proceedings of the IEEE, 1996, 84(2): [35] Engström D, O'Callaghan M J, Walker C, et al. Fast beam steering with a ferroelectric-liquid-crystal optical phased array[j]. Applied Optics, 2009, 48(9): [36] Meyer R A. Optical beam steering using a multichannel lithium tantalate crystal[j]. Applied Optics, 1972, 11(3): [37] Chung S, Abediasl H, Hashemi H. A monolithically integrated large-scale optical phased array in silicon-on-insulator CMOS[J]. IEEE Journal of Solid-State Circuits, 2018, 53(1): [38] Sun J, Hosseini E S, Yaacobi A, et al. Two-dimensional apodized silicon photonic phased arrays[j]. Optics Letters, 2014, 39(2): [39] Poulton C V, Yaacobi A, Cole D B, et al. Coherent solid-state LIDAR with silicon photonic optical phased arrays[j]. Optics Letters, 2017, 42(20): [40] Martin A, Dodane D, Leviandier L, et al. Photonic integrated circuit-based FMCW coherent LiDAR[J]. Journal of Lightwave Technology, 2018, 36(19): [41] Abediasl H, Hashemi H. Monolithic optical phased-array transceiver in a standard SOI CMOS process[j]. Optics Express, 2015, 23(5):

11 Research progress in solid-state LiDAR Chen Jingye, Shi Yaocheng * State Key Laboratory of Modern Optical Instrumentation, Zhejiang University, Hangzhou, Zhejiang , China Laser Scanner Synchronization Computer Schematic of the LiDAR system Overview: Radar is utilized as the eyes to have the sense of the world for human, which has the ability to detect the target in dead zone and long distance. It plays a significant role in the military and civilian domains. Light detection and ranging (LiDAR) system has the shorter wavelength than that of the traditional radar. Thus, LiDAR systems have higher resolutions of distance, angle, and speed compared with the radar system. Due to the high direction and high coherence of laser, LiDAR systems can realize detection and ranging of the remote targets without external interference. The information of distance and speed can be obtained with coherent detection of LiDAR, which can be used in the fields such as missile guidance, mapping, driverless technology and so on. LiDAR can be classified as three types: mechanical, mixed solid-state, and solid-state. The mechanical LiDAR systems utilize the mechanically rotating parts to realize beam steering, of which the field of view is large but the assembly is complexed and the scanning speed is low. The solid-state LiDAR systems are without mechanical scanners and can be realized by the micro-electromechanical system (MEMS), Flash and optical phased array (OPA) technologies. MEMS based LiDAR realizes the beam scanning with micro mirror. The MEMS mirrors can be actuated by electrostatic method, electromagnetic method, piezoelectric method, and electrothermal method. The integration of the MEMS system is relatively high but the field of view is limited by the displacement of the micro mirror. Flash based solid-state LiDAR is proposed in 1990s, the techniques of which are relatively mature and have commercial applications. However, the detection range and field of view are limited. OPA emerged in 1970s is a novel optical beam scanning technology, which is based on principles and techniques of the microwave phased array. The OPAs realize beam steering based on the principle of changing the optical phase in the array unit, which will modulate the wavefronts of the emission beam. The OPA beam scanners are non-inertia, precision, accurate and have the potential to be utilized in the LiDAR field. The technique is emerging with liquid crystal (LC) and integrated optical waveguides and so on. The OPAs with high integration can satisfy the requirements of the miniaturization trends in some driverless fields. In the future, the LiDAR will develop on the way to the solid state and miniaturization trend. In this paper, we review the recent research of OPA LiDAR systems in Section 2, the basic working principle of Li- DAR system is introduced. In Section 3, the technique researches of MEMS based LiDAR are introduced. In Section 4, the principle and research of Flash LiDAR are introduced. The LC OPA and integrated waveguide OPAs for LiDAR, including the electro-optic materials, silicon-on-insulator (SOI) platform and so on, are introduced in Section 5. The performances of the techniques are compared and the open issues and outlook are given in the Section 6. Citation: Chen J Y, Shi Y C. Research progress in solid-state LiDAR[J]. Opto-Electronic Engineering, 2019, 46(7): Supported by National Natural Science Foundation of China ( ) * yaocheng@zju.edu.cn

[1-3] (Smile) [4] 808 nm (CW) W 1 50% 1 W 1 W Fig.1 Thermal design of semiconductor laser vertical stack ; Ansys 20 bar ; bar 2 25 Fig

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