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Enabling Technologies for High Spectral-efficiency Coherent Optical Communication Networks Presents the technological advancements that enable high spectral-efficiency and high-capacity fiber-optic communication systems and networks

This book examines key technology advances in high spectral-efficiency fiber-optic communication systems and networks, enabled by the use of coherent detection and digital signal processing (DSP). The first of this books 16 chapters is a detailed introduction. Chapter 2 reviews the modulation formats, while Chapter 3 focuses on detection and error correction technologies for coherent optical communication systems. Chapters 4 and 5 are devoted to Nyquist-WDM and orthogonal frequency-division multiplexing (OFDM). In chapter 6, polarization and nonlinear impairments in coherent optical communication systems are discussed. The fiber nonlinear effects in a non-dispersion-managed system are covered in chapter 7. Chapter 8 describes linear impairment equalization and Chapter 9 discusses various nonlinear mitigation techniques. Signal synchronization is covered in Chapters 10 and 11. Chapter 12 describes the main constraints put on the DSP algorithms by the hardware structure. Chapter 13 addresses the fundamental concepts and recent progress of photonic integration. Optical performance monitoring and elastic optical network technology are the subjects of Chapters 14 and 15. Finally, Chapter 16 discusses spatial-division multiplexing and MIMO processing technology, a potential solution to solve the capacity limit of single-mode fibers.





Contains basic theories and up-to-date technology advancements in each chapter Describes how capacity-approaching coding schemes based on low-density parity check (LDPC) and spatially coupled LDPC codes can be constructed by combining iterative demodulation and decoding Demonstrates that fiber nonlinearities can be accurately described by some analytical models, such as GN-EGN model Presents impairment equalization and mitigation techniques

Enabling Technologies for High Spectral-efficiency Coherent Optical Communication Networks is a reference for researchers, engineers, and graduate students.
List of Contributors
xv
Preface xvii
1 Introduction
1(12)
Xiang Zhou
Chongjin Xie
1.1 High-Capacity Fiber Transmission Technology Evolution
1(3)
1.2 Fundamentals of Coherent Transmission Technology
4(4)
1.2.1 Concept of Coherent Detection
4(1)
1.2.2 Digital Signal Processing
5(2)
1.2.3 Key Devices
7(1)
1.3 Outline of this Book
8(5)
References
9(4)
2 Multidimensional Optimized Optical Modulation Formats
13(52)
Magnus Karlsson
Erik Agrell
2.1 Introduction
13(2)
2.2 Fundamentals of Digital Modulation
15(5)
2.2.1 System Models
15(2)
2.2.2 Channel Models
17(1)
2.2.3 Constellations and Their Performance Metrics
18(2)
2.3 Modulation Formats and Their Ideal Performance
20(11)
2.3.1 Format Optimizations and Comparisons
21(9)
2.3.2 Optimized Formats in Nonlinear Channels
30(1)
2.4 Combinations of Coding and Modulation
31(9)
2.4.1 Soft-Decision Decoding
31(6)
2.4.2 Hard-Decision Decoding
37(2)
2.4.3 Iterative Decoding
39(1)
2.5 Experimental Work
40(14)
2.5.1 Transmitter Realizations and Transmission Experiments
40(5)
2.5.2 Receiver Realizations and Digital Signal Processing
45(4)
2.5.3 Formats Overview
49(1)
2.5.4 Symbol Detection
50(1)
2.5.5 Realizing Dimensions
51(3)
2.6 Summary and Conclusions
54(11)
References
56(9)
3 Advances in Detection and Error Correction for Coherent Optical Communications: Regular, Irregular, and Spatially Coupled LDPC Code Designs
65(58)
Laurent Schmalen
Stephan ten Brink
Andreas Leven
3.1 Introduction
65(2)
3.2 Differential Coding for Optical Communications
67(16)
3.2.1 Higher-Order Modulation Formats
67(2)
3.2.2 The Phase-Slip Channel Model
69(2)
3.2.3 Differential Coding and Decoding
71(7)
3.2.4 Maximum a Posteriori Differential Decoding
78(3)
3.2.5 Achievable Rates of the Differentially Coded Phase-Slip Channel
81(2)
3.3 LDPC-Coded Differential Modulation
83(18)
3.3.1 Low-Density Parity-Check (LDPC) Codes
85(6)
3.3.2 Code Design for Iterative Differential Decoding
91(9)
3.3.3 Higher-Order Modulation Formats with V < Q
100(1)
3.4 Coded Differential Modulation with Spatially Coupled LDPC Codes
101(11)
3.4.1 Protograph-Based Spatially Coupled LDPC Codes
102(3)
3.4.2 Spatially Coupled LDPC Codes with Iterative Demodulation
105(3)
3.4.3 Windowed Differential Decoding of SC-LDPC Codes
108(1)
3.4.4 Design of Protograph-Based SC-LDPC Codes for Differential-Coded Modulation
108(4)
3.5 Conclusions
112(11)
Appendix: LDPC-Coded Differential Modulation---Decoding Algorithms
112(2)
Differential Decoding
114(1)
LDPC Decoding
115(2)
References
117(6)
4 Spectrally Efficient Multiplexing: Nyquist-WDM
123(34)
Gabriella Bosco
4.1 Introduction
123(2)
4.2 Nyquist Signaling Schemes
125(9)
4.2.1 Ideal Nyquist-WDM (Δf = Rs)
126(2)
4.2.2 Quasi-Nyquist-WDM (Δf >Rs)
128(2)
4.2.3 Super-Nyquist-WDM (Δf < Rs)
130(4)
4.3 Detection of a Nyquist-WDM Signal
134(3)
4.4 Practical Nyquist-WDM Transmitter Implementations
137(9)
4.4.1 Optical Nyquist-WDM
139(2)
4.4.2 Digital Nyquist-WDM
141(5)
4.5 Nyquist-WDM Transmission
146(3)
4.5.1 Optical Nyquist-WDM Transmission Experiments
148(1)
4.5.2 Digital Nyquist-WDM Transmission Experiments
148(1)
4.6 Conclusions
149(8)
References
150(7)
5 Spectrally Efficient Multiplexing -- OFDM
157(44)
An Li
Di Che
Qian Hu
Xi Chen
William Shieh
5.1 OFDM Basics
158(3)
5.2 Coherent Optical OFDM (CO-OFDM)
161(8)
5.2.1 Principle of CO-OFDM
161(8)
5.3 Direct-Detection Optical OFDM (DDO-OFDM)
169(5)
5.3.1 Linearly Mapped DDO-OFDM
169(4)
5.3.2 Nonlinearly Mapped DDO-OFDM (NLM-DDO-OFDM)
173(1)
5.4 Self-Coherent Optical OFDM
174(6)
5.4.1 Single-Ended Photodetector-Based SCOH
175(2)
5.4.2 Balanced Receiver-Based SCOH
177(1)
5.4.3 Stokes Vector Direct Detection
177(3)
5.5 Discrete Fourier Transform Spread OFDM System (DFT-S OFDM)
180(3)
5.5.1 Principle of DFT-S OFDM
180(2)
5.5.2 Unique-Word-Assisted DFT-S OFDM (UW-DFT-S OFDM)
182(1)
5.6 OFDM-Based Superchannel Transmissions
183(10)
5.6.1 No-Guard-Interval CO-OFDM (NGI-CO-OFDM) Superchannel
184(2)
5.6.2 Reduced-Guard-Interval CO-OFDM (RGI-CO-OFDM) Superchannel
186(2)
5.6.3 DFT-S OFDM Superchannel
188(5)
5.7 Summary
193(8)
References
194(7)
6 Polarization and Nonlinear Impairments in Fiber Communication Systems
201(46)
Chongjin Xie
6.1 Introduction
201(1)
6.2 Polarization of Light
202(4)
6.3 PMD and PDL in Optical Communication Systems
206(3)
6.3.1 PMD
206(2)
6.3.2 PDL
208(1)
6.4 Modeling of Nonlinear Effects in Optical Fibers
209(2)
6.5 Coherent Optical Communication Systems and Signal Equalization
211(4)
6.5.1 Coherent Optical Communication Systems
211(2)
6.5.2 Signal Equalization
213(2)
6.6 PMD and PDL Impairments in Coherent Systems
215(13)
6.6.1 PMD Impairment
216(6)
6.6.2 PDL Impairment
222(6)
6.7 Nonlinear Impairments in Coherent Systems
228(12)
6.7.1 System Model
229(1)
6.7.2 Homogeneous PDM-QPSK System
230(3)
6.7.3 Hybrid PDM-QPSK and 10-Gb/s OOK System
233(1)
6.7.4 Homogeneous PDM-16QAM System
234(6)
6.8 Summary
240(7)
References
241(6)
7 Analytical Modeling of the Impact of Fiber Non-Linear Propagation on Coherent Systems and Networks
247(64)
Pierluigi Poggiolini
Yanchao Jiang
Andrea Carena
Fabrizio Forghieri
7.1 Why are Analytical Models Important?
247(1)
7.1.1 What Do Professionals Need?
247(1)
7.2 Background
248(12)
7.2.1 Modeling Approximations
249(11)
7.3 Introducing the GN-EGN Model Class
260(9)
7.3.1 Getting to the GN Model
260(5)
7.3.2 Towards the EGN Model
265(4)
7.4 Model Selection Guide
269(25)
7.4.1 From Model to System Performance
269(1)
7.4.2 Point-to-Point Links
270(2)
7.4.3 The Complete EGN Model
272(14)
7.4.4 Case Study: Determining the Optimum System Symbol Rate
286(3)
7.4.5 NLI Modeling for Dynamically Reconfigurable Networks
289(5)
7.5 Conclusion
294(17)
Acknowledgements
295(1)
Appendix
295(1)
A. 1 The White-Noise Approximation
295(1)
A. 1 BER Formulas for the Most Common QAM Systems
295(1)
A.2 The Link Function μ
296(1)
A.3 The EGN Model Formulas for the X2-X4 and M1-M3 Islands
297(2)
A.4 Outline of GN-EGN Model Derivation
299(4)
A.5 List of Acronyms
303(2)
References
305(6)
8 Digital Equalization in Coherent Optical Transmission Systems
311(22)
Seb Savory
8.1 Introduction
311(1)
8.2 Primer on the Mathematics of Least Squares FIR Filters
312(6)
8.2.1 Finite Impulse Response Filters
313(1)
8.2.2 Differentiation with Respect to a Complex Vector
314(1)
8.2.3 Least Squares Tap Weights
314(2)
8.2.4 Application to Stochastic Gradient Algorithms
316(1)
8.2.5 Application to Wiener Filter
317(1)
8.2.6 Other Filtering Techniques and Design Methodologies
318(1)
8.3 Equalization of Chromatic Dispersion
318(5)
8.3.1 Nature of Chromatic Dispersion
318(1)
8.3.2 Modeling of Chromatic Dispersion in an Optical Fiber
318(1)
8.3.3 Truncated Impulse Response
319(1)
8.3.4 Band-Limited Impulse Response
320(1)
8.3.5 Least Squares FIR Filter Design
321(1)
8.3.6 Example Performance of the Chromatic Dispersion Compensating Filter
321(2)
8.4 Equalization of Polarization-Mode Dispersion
323(6)
8.4.1 Modeling of PMD
324(1)
8.4.2 Obtaining the Inverse Jones Matrix of the Channel
325(1)
8.4.3 Constant Modulus Update Algorithm
325(1)
8.4.4 Decision-Directed Equalizer Update Algorithm
326(1)
8.4.5 Radially Directed Equalizer Update Algorithm
327(1)
8.4.6 Parallel Realization of the FIR Filter
327(1)
8.4.7 Generalized 4 × 4 Equalizer for Mitigation of Frequency or Polarization-Dependent Loss and Receiver Skew
328(1)
8.4.8 Example Application to Fast Blind Equalization of PMD
328(1)
8.5 Concluding Remarks and Future Research Directions
329(4)
Acknowledgments
330(1)
References
330(3)
9 Nonlinear Compensation for Digital Coherent Transmission
333(22)
Guifang Li
9.1 Introduction
333(1)
9.2 Digital Backward Propagation (DBP)
334(5)
9.2.1 How DBP Works
334(1)
9.2.2 Experimental Demonstration of DBP
335(1)
9.2.3 Computational Complexity of DBP
336(3)
9.3 Reducing DBP Complexity for Dispersion-Unmanaged WDM Transmission
339(3)
9.4 DBP for Dispersion-Managed WDM Transmission
342(7)
9.5 DBP for Polarization-Multiplexed Transmission
349(1)
9.6 Future Research
350(5)
References
351(4)
10 Timing Synchronization in Coherent Optical Transmission Systems
355(40)
Han Sun
Kuang-Tsan Wu
10.1 Introduction
355(2)
10.2 Overall System Environment
357(2)
10.3 Jitter Penalty and Jitter Sources in a Coherent System
359(9)
10.3.1 VCO Jitter
359(2)
10.3.2 Detector Jitter Definitions and Method of Numerical Evaluation
361(2)
10.3.3 Laser FM Noise- and Dispersion-Induced Jitter
363(3)
10.3.4 Coherent System Tolerance to Untracked Jitter
366(2)
10.4 Digital Phase Detectors
368(15)
10.4.1 Frequency-Domain Phase Detector
369(2)
10.4.2 Equivalence to the Squaring Phase Detector
371(2)
10.4.3 Equivalence to Godard's Maximum Sampled Power Criterion
373(1)
10.4.4 Equivalence to Gardner's Phase Detector
374(3)
10.4.5 Second Class of Phase Detectors
377(1)
10.4.6 Jitter Performance of the Phase Detectors
378(2)
10.4.7 Phase Detectors for Nyquist Signals
380(3)
10.5 The Chromatic Dispersion Problem
383(3)
10.6 The Polarization-Mode Dispersion Problem
386(4)
10.7 Timing Synchronization for Coherent Optical OFDM
390(1)
10.8 Future Research
391(4)
References
392(3)
11 Carrier Recovery in Coherent Optical Communication Systems
395(40)
Xiang Zhou
11.1 Introduction
395(2)
11.2 Optimal Carrier Recovery
397(2)
11.2.1 MAP-Based Frequency and Phase Estimator
397(1)
11.2.2 Cramer-Rao Lower Bound
398(1)
11.3 Hardware-Efficient Phase Recovery Algorithms
399(17)
11.3.1 Decision-Directed Phase-Locked Loop (PLL)
399(2)
11.3.2 Mth-Power-Based Feedforward Algorithms
401(4)
11.3.3 Blind Phase Search (BPS) Feedforward Algorithms
405(3)
11.3.4 Multistage Carrier Phase Recovery Algorithms
408(8)
11.4 Hardware-Efficient Frequency Recovery Algorithms
416(8)
11.4.1 Coarse Auto-Frequency Control (ACF)
416(2)
11.4.2 Mth-Power-Based Fine FO Estimation Algorithms
418(3)
11.4.3 Blind Frequency Search (BFS)-Based Fine FO Estimation Algorithm
421(2)
11.4.4 Training-Initiated Fine FO Estimation Algorithm
423(1)
11.5 Equalizer-Phase Noise Interaction and its Mitigation
424(5)
11.6 Carrier Recovery in Coherent OFDM Systems
429(1)
11.7 Conclusions and Future Research Directions
430(5)
References
431(4)
12 Real-Time Implementation of High-Speed Digital Coherent Transceivers
435(12)
Timo Pfau
12.1 Algorithm Constraints
435(7)
12.1.1 Power Constraint and Hardware Optimization
436(2)
12.1.2 Parallel Processing Constraint
438(2)
12.1.3 Feedback Latency Constraint
440(2)
12.2 Hardware Implementation of Digital Coherent Receivers
442(5)
References
446(1)
13 Photonic Integration
447(26)
Po Dong
Sethumadhavan Chandrasekhar
13.1 Introduction
447(2)
13.2 Overview of Photonic Integration Technologies
449(2)
13.3 Transmitters
451(8)
13.3.1 Dual-Polarization Transmitter Circuits
451(1)
13.3.2 High-Speed Modulators
452(3)
13.3.3 PLC Hybrid I/Q Modulator
455(1)
13.3.4 InP Monolithic I/Q Modulator
455(2)
13.3.5 Silicon Monolithic I/Q Modulator
457(2)
13.4 Receivers
459(8)
13.4.1 Polarization Diversity Receiver Circuits
459(2)
13.4.2 PLC Hybrid Receivers
461(1)
13.4.3 InP Monolithic Receivers
462(1)
13.4.4 Silicon Monolithic Receivers
462(3)
13.4.5 Coherent Receiver with 120° Optical Hybrids
465(2)
13.5 Conclusions
467(6)
Acknowledgments
467(1)
References
467(6)
14 Optical Performance Monitoring for Fiber-Optic Communication Networks
473(34)
Faisal N. Khan
Zhenhua Dong
Chao Lu
Alan Pak Tao Lau
14.1 Introduction
473(9)
14.1.1 OPM and Their Roles in Optical Networks
474(1)
14.1.2 Network Functionalities Enabled by OPM
475(2)
14.1.3 Network Parameters Requiring OPM
477(3)
14.1.4 Desirable Features of OPM Techniques
480(2)
14.2 OPM TECHNIQUES FOR DIRECT DETECTION SYSTEMS
482(8)
14.2.1 OPM Requirements for Direct Detection Optical Networks
482(1)
14.2.2 Overview of OPM Techniques for Existing Direct Detection Systems
483(2)
14.2.3 Electronic DSP-Based Multi-Impairment Monitoring Techniques for Direct Detection Systems
485(3)
14.2.4 Bit Rate and Modulation Format Identification Techniques for Direct Detection Systems
488(1)
14.2.5 Commercially Available OPM Devices for Direct Detection Systems
489(1)
14.2.6 Applications of OPM in Deployed Fiber-Optic Networks
489(1)
14.3 OPM For Coherent Detection Systems
490(9)
14.3.1 Non-Data-Aided OSNR Monitoring for Digital Coherent Receivers
491(3)
14.3.2 Data-Aided (Pilot Symbols Based) OSNR Monitoring for Digital Coherent Receivers
494(1)
14.3.3 OPM at the Intermediate Network Nodes Using Low-Cost Structures
495(1)
14.3.4 OSNR Monitoring in the Presence of Fiber Nonlinearity
496(3)
14.4 Integrating OPM Functionalities in Networking
499(1)
14.5 Conclusions and Outlook
499(8)
Acknowledgments
500(1)
References
500(7)
15 Rate-Adaptable Optical Transmission and Elastic Optical Networks
507(40)
Patricia Layec
Annalisa Morea
Yvan Pointurier
Jean-Christophe Antona
15.1 Introduction
507(4)
15.1.1 History of Elastic Optical Networks
509(2)
15.2 Key Building Blocks
511(16)
15.2.1 Optical Cross-Connect
512(1)
15.2.2 Elastic Transponder
513(2)
15.2.3 Elastic Aggregation
515(1)
15.2.4 Performance Prediction
516(4)
15.2.5 Resource Allocation Tools
520(4)
15.2.6 Control Plane for Flexible Optical Networks
524(3)
15.3 Practical Considerations for Elastic WDM Transmission
527(3)
15.3.1 Flexible Transponder Architecture
527(2)
15.3.2 Example of a Real-Time Energy-Proportional Prototype
529(1)
15.4 Opportunities for Elastic Technologies in Core Networks
530(4)
15.4.1 More Cost-Efficient Networks
531(1)
15.4.2 More Energy Efficient Network
532(1)
15.4.3 Filtering Issues and Superchannel Solution
532(2)
15.5 Long Term Opportunities
534(5)
15.5.1 Burst Mode Elasticity
534(2)
15.5.2 Elastic Passive Optical Networks
536(1)
15.5.3 Metro and Datacenter Networks
537(2)
15.6 Conclusions
539(8)
Acknowledgments
539(1)
References
539(8)
16 Space-Division Multiplexing and MIMO Processing
547(62)
Roland Ryf
Nicolas K. Fontaine
16.1 Space-Division Multiplexing in Optical Fibers
547(1)
16.2 Optical Fibers for SDM Transmission
548(3)
16.3 Optical Transmission in SDM Fibers with Low Crosstalk
551(2)
16.3.1 Digital Signal Processing Techniques for SDM Fibers with Low Crosstalk
552(1)
16.4 MIMO-Based Optical Transmission in SDM Fibers
553(5)
16.5 Impulse Response in SDM Fibers with Mode Coupling
558(8)
16.5.1 Multimode Fibers with no Mode Coupling
561(1)
16.5.2 Multimode Fibers with Weak Coupling
561(4)
16.5.3 Multimode Fibers with Strong Mode Coupling
565(1)
16.5.4 Multimode Fibers: Scaling to Large Number of Modes
566(1)
16.6 MIMO-Based SDM Transmission Results
566(2)
16.6.1 Digital Signal Processing for MIMO Transmission
567(1)
16.7 Optical Components for SDM Transmission
568(25)
16.7.1 Characterization of SDM Systems and Components
570(1)
16.7.2 Swept Wavelength Interferometry for Fibers with Multiple Spatial Paths
571(5)
16.7.3 Spatial Multiplexers
576(2)
16.7.4 Photonic Lanterns
578(4)
16.7.5 Spatial Diversity for SDM Components and Component sharing
582(1)
16.7.6 Wavelength-Selective Switches for SDM
583(7)
16.7.7 SDM Fiber Amplifiers
590(3)
16.8 Conclusion
593(16)
Acknowledgments
593(1)
References
594(15)
Index 609
Xiang Zhou is a Tech Lead within Google Platform Advanced Technology. Before joining Google, he was with AT&T Labs, conducting research on various aspects of optical transmission and photonics networking technologies. Dr. Zhou is an OSA fellow and an associate editor for Optics Express. He has extensive publications in the field of optical communications.

Chongjin Xie is a Senior Director at Ali Infrastructure Service, Alibaba Group. Before joining Alibaba Group, he was a Distinguished Member of Technical Staff at Bell Labs, Alcatel-Lucent. Dr. Xie is a fellow of OSA and senior member of IEEE. He is an associate editor of the Journal of Lightwave Technology and has served in various conference committees.