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Optical Modulation
Advanced Techniques and Applications in
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 Optical Modulation
Advanced Techniques and Applications in
Transmission Systems and Networks
 Optical Modulation
Advanced Techniques and Applications in
Transmission Systems and Networks

Le Nguyen Binh
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In the memory of my father
Contents
Preface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xxi
Authors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xxiii

Chapter 1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.1 Evolution of Optical Transmission Systems and Networks: Modulation,
Amplification, and Dispersion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.1.1 In the Beginning There Was Light . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.1.2 Weakly Guiding Phenomena and SMF Non-Coherent
and Coherent Systems. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
1.1.3 Optical Amplification: No-Longer Loss Limited But
Dispersion, External Modulation Emerges. . . . . . . . . . . . . . . . . . . . . . . . 2
1.1.4 Modern DSP-Based Optical Transmission, Advanced
Modulation Formats, Electronic—Photonic Integrated
Circuit (e-PIC) Technology. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
1.2 Tera-Streams, Core, Metro-Core, Metro-Access Technologies,
and Modulation Schemes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
1.3 Integrated Optics and Integrated Photonics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
1.4 Data Center Eccentric Networking and Flattened Traditional
Telecom Networks. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
1.5 Digital Optical Communications and Transmission Systems:
Challenging Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
1.6 Modulation Formats and Optical Signals Generation. . . . . . . . . . . . . . . . . . . . . . 9
1.6.1 Binary Level. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
1.6.2 Binary and Multi-Level . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
1.6.3 In-Phase and Quadrature Phase Channels. . . . . . . . . . . . . . . . . . . . . . . . 12
1.6.4 External Optical Modulation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
1.6.5 Advanced Modulation Formats . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
1.6.6 Incoherent Optical Receivers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
1.6.7 Coherent Optical Receivers. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
1.6.8 Electronic Equalization. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
1.6.8.1 Feed-Forward Equalization . . . . . . . . . . . . . . . . . . . . . . . . . . 16
1.6.8.2 Decision Feedback Equalization . . . . . . . . . . . . . . . . . . . . . 16
1.6.8.3 Minimum Mean Square Error Equalization and
Maximum Likelihood Sequence Estimation . . . . . . . . . . 17
1.6.8.4 Volterra Filtering. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
1.7 Organization of the Chapters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

SECTION I
Chapter 2 Direct Modulation of Laser and Optical Injection Locking Sources. . . . . . . . . . . . . . 25
2.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
2.2 Direct Modulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
2.2.1 General Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

vii
viii Contents

2.2.2 Physics of Semiconductor Lasers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27

2.2.2.1 The Semiconductor p-n Junction for Lasing
Lightwaves . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
2.2.2.2 Optical Gain Spectrum . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
2.2.2.3 Types of Semiconductor Lasers . . . . . . . . . . . . . . . . . . . . . . 28
2.2.2.4 Fabry–Perot (FP) Heterojunction Semiconductor
Laser . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
2.2.2.5 Distributed-Feedback (DFB) Semiconductor Laser . . . . 30
2.2.2.6 Constricted-Mesa Semiconductor Laser . . . . . . . . . . . . . . 31
2.2.2.7 Special Semiconductor Laser Source . . . . . . . . . . . . . . . . . 32
2.2.2.8 Single Mode Optical Laser Rate Equations . . . . . . . . . . . 32
2.2.2.9 Dynamic Response of Laser Source . . . . . . . . . . . . . . . . . . 34
2.2.2.10 Frequency Chirp . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
2.2.2.11 Laser Noises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
2.3 External Cavity Lasers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
2.3.1 Tunable External-Cavity Diode Lasers . . . . . . . . . . . . . . . . . . . . . . . . . . 39
2.3.2 Mode-Locked External-Cavity Diode Lasers . . . . . . . . . . . . . . . . . . . . 41
2.4 Measurements of Laser Linewidth and Phase Noises. . . . . . . . . . . . . . . . . . . . . 41
2.4.1 Generic Aspects of Intensity and Phase Noise . . . . . . . . . . . . . . . . . . . 41
2.4.2 Intensity Noise. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
2.4.3 Phase Noise and Linewidth . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
2.4.4 Remarks. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
2.4.5 Experimental Phase Noise Measurement of a Semiconductor
Narrow Linewidth CW Laser by Self-Heterodyne Detection. . . . . . 46
2.4.5.1 Experimental Platform. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
2.4.5.2 Linewidth and Phase Noises: Analytical
Derivations and Measurements. . . . . . . . . . . . . . . . . . . . . . . 47
2.5 Introduction to External Modulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
2.5.1 Phase Modulators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
2.5.2 Intensity Modulators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
2.5.3 Phasor Representation and Modulation Transfer
Characteristics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
2.5.4 Bias Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
2.5.5 Chirp Free Optical Modulators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
2.5.5.1 Structures of Photonic Modulators . . . . . . . . . . . . . . . . . . . 56
2.5.5.2 Typical Operational Parameters of Optical
Intensity Modulators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
2.5.6 MATLAB® Simulink Models of External Optical Modulators . . . . 56
2.5.6.1 Phase Modulation Model and Intensity Modulation . . . 56
2.5.6.2 DWDM Optical Multiplexers and Modulators . . . . . . . . 57
2.6 Optical IQ Modulators for Coherent 100G and Beyond . . . . . . . . . . . . . . . . . . 57
2.6.1 InP-Based Direct Modulation Sources and Optical Injection . . . . . . 61
2.6.2 Limits of Lithium Niobate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62
2.6.3 InP Traveling-Wave MZ Modulator. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63
2.6.4 Modulator Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64
2.6.5 Application Requirements of InP IQ Modulators. . . . . . . . . . . . . . . . . 64
2.6.6 Low-Vπ, High Bandwidth InP IQ Modulator. . . . . . . . . . . . . . . . . . . . . 65
2.7 Laser Injection for Bandwidth Extension to Direct Modulation . . . . . . . . . . . 66
2.7.1 Introductory Remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66
2.7.2 Modulation by Optical Injection Laser (OIL) . . . . . . . . . . . . . . . . . . . . 67
2.7.3 Integrated Mutual Coupled Cavity for Optical Injection Locking . . . 72
Contents ix

2.8 Concluding Remarks. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73

Appendix 2A: MATLAB® Program for Solving the Laser Rate Equation. . . . . . . . 74
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76

Chapter 3 Binary Digital Optical Modulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79

3.1 Advanced Photonic Communications and Challenging Issues . . . . . . . . . . . . 79
3.1.1 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79
3.1.2 Challenging Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80
3.1.3 Enabling Technologies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81
3.1.3.1 Digital Modulation Formats . . . . . . . . . . . . . . . . . . . . . . . . . 81
3.1.3.2 Self-Coherent Optical Receivers . . . . . . . . . . . . . . . . . . . . . 82
3.2 Return-to-Zero Optical Pulses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83
3.2.1 Generation Principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83
3.2.2 Phasor Representation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85
3.2.2.1 Phasor Representation for CS-RZ Pulses . . . . . . . . . . . . . 86
3.2.2.2 Phasor Representation for RZ33 Pulses. . . . . . . . . . . . . . . 87
3.3 Differential Phase Shift Keying (DPSK) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88
3.3.1 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88
3.3.2 Optical DPSK Transmitter. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89
3.3.3 Self-Coherent Detection of Optical DPSK . . . . . . . . . . . . . . . . . . . . . . . 90
3.3.4 Minimum Shift Keying (MSK) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
3.3.5 CPFSK Approach. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
3.3.5.1 Theoretical Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
3.3.5.2 Proposed Generation Scheme . . . . . . . . . . . . . . . . . . . . . . . . 92
3.3.6 ODQPSK Approach . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94
3.3.6.1 Theoretical Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94
3.3.6.2 Generation Scheme. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95
3.3.6.3 Incoherent Detection of Optical MSK . . . . . . . . . . . . . . . . 97
3.4 Continuous Phase Dual-Level MSK . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98
3.4.1 Theoretical Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98
3.4.1.1 Pre-Coder. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99
3.4.2 Generation Scheme . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99
3.4.3 Non- and Self-Coherent Detection of Optical
Dual-Level MSK . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100
3.4.4 Spectral Characteristics of Advanced Modulation Formats . . . . . 101
3.4.5 Remarks. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103
3.5 Partial Responses and Single-Sideband Modulation Formats . . . . . . . . . . . . 104
3.5.1 Partial Responses: Duo-Binary Modulation. . . . . . . . . . . . . . . . . . . . 105
3.5.1.1 Introductory Remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105
3.5.1.2 The DBM Formatter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106
3.5.1.3 40 Gb/s DB Optical Fiber Transmission Systems . . . . 107
3.5.1.4 Electro-Optic Duobinary Transmitter . . . . . . . . . . . . . . . . 109
3.5.1.5 The Duobinary Encoder . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110
3.5.1.6 The External Modulator . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110
3.5.1.7 Duobinary Transmitters and Pre-Coder . . . . . . . . . . . . . . 113
3.5.1.8 Alternative Phase DB Transmitter. . . . . . . . . . . . . . . . . . . 114
3.5.2 Single Side Band Modulation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114
3.5.2.1 Hilbert Transform SSB MZ Modulator Simulation . . . 114
3.5.2.2 SSB Demodulator Simulation. . . . . . . . . . . . . . . . . . . . . . . 115
3.5.2.3 SSB in Comb-Generation Techniques . . . . . . . . . . . . . . . 116
x Contents

3.6 Si Optical Modulator. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117

3.6.1 Optical Phase Modulator . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117
3.6.2 SI MZI Modulator . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119
3.6.3 Micro-Ring Modulator (MRM) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 120
3.6.4 SI CMOS Modulator . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125

SECTION II
Chapter 4 Guided-Wave Photonic Transmitters: External Modulation and Formats . . . . . . . . 131
4.1 Integrated Optical Modulators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 131
4.1.1 Phase Modulators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132
4.1.2 Intensity Modulators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133
4.1.2.1 Phasor Representation and Transfer Characteristics . . . 133
4.1.2.2 Bias Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 134
4.1.2.3 Chirp-Free and Chirped Modulation. . . . . . . . . . . . . . . . . 134
4.1.2.4 Structures of Photonic Modulators . . . . . . . . . . . . . . . . . . 137
4.1.3 Return-to-Zero Optical Pulses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137
4.1.3.1 Generation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137
4.1.3.2 Phasor Representation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 139
4.1.3.3 Phasor Representation of CSRZ Pulses in
Dual-Drive MZIM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140
4.1.3.4 Phasor Representation of RZ33 Pulses . . . . . . . . . . . . . . 141
4.2 Differential Phase Shift Keying Modulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . 142
4.2.1 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 142
4.2.2 Optical DPSK Transmitter. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 143
4.3 Generation of Modulation Formats . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 143
4.3.1 Amplitude–Modulation ASK-NRZ and ASK-RZ . . . . . . . . . . . . . . 145
4.3.2 Amplitude–Modulation OOK-RZ Formats . . . . . . . . . . . . . . . . . . . . 145
4.3.3 Amplitude–Modulation Carrier-Suppressed RZ (CSRZ)
Formats . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 145
4.3.4 Discrete Phase–Modulation NRZ Formats . . . . . . . . . . . . . . . . . . . . . 147
4.3.4.1 Differential Phase Shift Keying (DPSK) . . . . . . . . . . . . . 147
4.3.4.2 Differential Quadrature Phase Shift
Keying (DQPSK) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 148
4.3.4.3 M-ary Amplitude DPSK (M-ary ADPSK) . . . . . . . . . . . 148
4.3.5 Continuous Phase–Modulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 150
4.3.5.1 Linear and Non-Linear MSK . . . . . . . . . . . . . . . . . . . . . . . 151
4.3.5.2 MSK as a Special Case of Continuous Phase
FSK (CPFSK) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153
4.3.5.3 MSK as Offset Differential Quadrature Phase
Shift Keying (ODQPSK) . . . . . . . . . . . . . . . . . . . . . . . . . . . 154
4.3.5.4 Configuration of Photonic MSK Transmitter Using
Two Cascaded Electro-Optic Phase Modulators. . . . . . 154
4.3.5.5 Configuration of Optical MSK Transmitter Using
Mach–Zehnder Intensity Modulators:
I-Q Approach . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 155
4.3.5.6 Single Side Band (SSB) Optical Modulators . . . . . . . . . 157
Contents xi

4.3.5.7 Multi-Carrier Multiplexing (MCM) Optical

Modulators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 158
4.3.5.8 Spectra of Modulation Formats . . . . . . . . . . . . . . . . . . . . . 160
4.3.6 Spectra of Modulation Formats . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 160
4.3.7 Integrated Complex Modulators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 162
4.3.7.1 Inphase and Quadrature Phase Optical Modulators . . . 162
4.3.7.2 IQ Modulator and Electronic Digital Multiplexing . . . 167
4.3.8 Digital-to-Analog Converter for DSP-Based Modulation and
Transmitter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 168
4.3.8.1 Digital-to-Analog Converter (DAC) . . . . . . . . . . . . . . . . . 168
4.3.8.2 Hardware Structure. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 168
4.3.8.3 Generation of Nyquist Pulse-Shaped I- and
Q-Components. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 168
4.3.9 Remarks. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 174
Appendix 4A: Laser Intensity and Phase Noises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183

Chapter 5 Binary and Multi-Level Complex Signal Optical Modulation . . . . . . . . . . . . . . . . . . 187

5.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 187
5.2 Amplitude and Differential Phase Modulation . . . . . . . . . . . . . . . . . . . . . . . . . . 189
5.2.1 ASK Modulation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 189
5.2.1.1 NRZ-ASK Modulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 189
5.2.1.2 Differential Phase Modulation . . . . . . . . . . . . . . . . . . . . . . 191
5.2.2 Comparison of Different Optical Modulation Formats. . . . . . . . . . 199
5.2.3 Multi-Level Optical Transmitter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 200
5.3 MADPSK Optical Transmission . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 203
5.3.1 Single Dual-Drive MZIM Transmitter for MADPSK. . . . . . . . . . . 204
5.3.2 Performance Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 205
5.3.3 Implementation of MADPSK Transmission Models . . . . . . . . . . . 208
5.3.3.1 System Modeling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 208
5.3.3.2 Simulink Transmitter Model . . . . . . . . . . . . . . . . . . . . . . . . 208
5.3.3.3 Simulink Receiver Model. . . . . . . . . . . . . . . . . . . . . . . . . . . 211
5.3.3.4 Dispersion-Compensating Optical Transmission
Line Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 212
5.3.3.5 Transmission Performance. . . . . . . . . . . . . . . . . . . . . . . . . . 213
5.3.3.6 Critical Issues. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 220
5.3.3.7 Offset Detection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 222
5.4 Star 16-QAM Optical Transmission. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 222
5.4.1 Introductory Remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 223
5.4.2 Design of 16-QAM Signal Constellation . . . . . . . . . . . . . . . . . . . . . . 224
5.4.3 Signal Constellation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 224
5.4.4 Optimum Ring Ratio for Star Constellation. . . . . . . . . . . . . . . . . . . . 225
5.4.4.1 Square 16-QAM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 226
5.4.4.2 Offset-Square 16-QAM. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 227
5.4.5 Detection Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 227
5.4.5.1 Direct Detection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 227
5.4.5.2 Coherent Detection. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 227
5.4.6 Star 16-QAM Format . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 228
5.4.6.1 Transmitter Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 228
5.4.6.2 Receiver for 16-Star QAM. . . . . . . . . . . . . . . . . . . . . . . . . . 230
xii Contents

5.4.6.3 Coherent Detection Receiver without Phase

Estimation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 231
5.4.6.4 Coherent Detection Receiver with Phase
Estimation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 232
5.4.6.5 Direct Detection Receiver . . . . . . . . . . . . . . . . . . . . . . . . . . 234
5.4.6.6 Coherent Receiver without Phase Estimation . . . . . . . . 234
5.4.6.7 Remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 237
5.5 Other Multi-Level and Multi-Sub-Carrier Modulation Formats for
100 Gb/s Transmission . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 239
5.5.1 Multi-Level Modulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 240
5.5.2 Optical Orthogonal Frequency Division
Multiplexing (oOFDM) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 241
5.5.3 100 Gb/s 8-DPSK_2-ASK 16-Star QAM . . . . . . . . . . . . . . . . . . . . . 243
5.5.3.1 Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 243
5.5.3.2 Configuration of 8-DPSK_2-ASK Optical
Transmitter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 244
5.5.3.3 Configuration of 8-DPSK_2-ASK Detection
Scheme . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 245
5.5.3.4 Transmission Performance of 100 Gb/s
8-DPSK_2-ASK Scheme . . . . . . . . . . . . . . . . . . . . . . . . . . . 246
5.5.3.5 Power Spectrum . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 247
5.5.3.6 Receiver Sensitivity and Dispersion Tolerance . . . . . . . 248
5.5.3.7 Long-Haul Transmission . . . . . . . . . . . . . . . . . . . . . . . . . . . 248
5.6 Remarks and Further Discussions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 248
5.6.1 Offset MADPSK Modulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 249
5.6.2 Multi-level Amplitude-Minimum Shift Keying (MAMSK)
Modulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 250
5.6.3 Star QAM Coherent Detection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 251
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 252

Chapter 6 Incoherent and Coherent Optical Receivers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 253

6.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 253
6.2 Incoherent Optical Receivers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 254
6.2.1 Incoherent Receiver in Various Systems. . . . . . . . . . . . . . . . . . . . . . . 254
6.2.2 Incoherent Receiver Components . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 254
6.2.2.1 Photodiodes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 256
6.2.2.2 High-Speed Photodetectors . . . . . . . . . . . . . . . . . . . . . . . . . 258
6.3 Incoherent Detection and Noises. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 259
6.3.1 Linear Channel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 259
6.3.2 Data Recovery . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 259
6.3.3 Noises in Photodetcetors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 259
6.3.4 Receiver Noises. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 260
6.3.4.1 Shot Noises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 260
6.3.4.2 Noise Calculations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 261
6.4 Incoherent Dectrection Performance Calculations for Binary
Digital Optical Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 263
6.4.1 Signals Received. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 263
6.4.2 Probability Distribution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 265
6.4.3 Minimum Average Optical Received Power . . . . . . . . . . . . . . . . . . . 266
6.4.3.1 Fundamental Limit: Direct Detection . . . . . . . . . . . . . . . . 268
Contents xiii

6.4.3.2 Equalized Signal Output. . . . . . . . . . . . . . . . . . . . . . . . . . . . 268

6.4.3.3 Photodiode Shot Noise . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 269
6.4.3.4 Total Output Noises and Pulse Shape Parameters . . . . 270
6.4.4 Multi-Level Performance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 271
6.5 Receiver Front End Noises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 272
6.5.1 FET Front-End Optical Receiver. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 272
6.5.2 BJT Front-End Optical Receiver . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 273
6.5.3 Noise Generators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 273
6.5.4 Equivalent Input Noise Current . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 274
6.5.5 HEMT Matched Noise Network Pre-Amplifier . . . . . . . . . . . . . . . . 275
6.5.6 Remarks. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 280
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 281

Chapter 7 Coherent Optical Receiver . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 283

7.1 Introductory Remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 283
7.2 Coherent Detection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 284
7.2.1 Optical Heterodyne Detection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 286
7.2.2 ASK Coherent System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 288
7.2.3 Envelop Detection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 288
7.2.4 Synchronous Detection. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 290
7.2.5 PSK Coherent System. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 290
7.2.6 Differential Detection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 291
7.2.7 FSK Coherent System. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 292
7.3 Optical Homodyne Detection. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 292
7.3.1 Detection and Optical PLL . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 292
7.3.2 Quantum Limit Detection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 294
7.3.3 Linewidth Influences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 295
7.3.3.1 Heterodyne Phase Detection . . . . . . . . . . . . . . . . . . . . . . . . 295
7.3.3.2 Differential Phase Detection with Local Oscillator . . . 295
7.3.3.3 Differential Phase Detection under
Self-Coherence. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 296
7.3.3.4 Differential Phase Coherent Detection of
Continuous Phase FSK Modulation Format. . . . . . . . . . 298
7.3.3.5 Optical Intra-Dyne Detection . . . . . . . . . . . . . . . . . . . . . . . 299
7.4 Self-Coherent Detection and Electronic DSP . . . . . . . . . . . . . . . . . . . . . . . . . . . 300
7.5 Electronic Amplifiers: Responses and Noises. . . . . . . . . . . . . . . . . . . . . . . . . . . 301
7.5.1 Introductory Remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 301
7.5.2 Wideband Trans-Impedance Amplifiers (TIA) . . . . . . . . . . . . . . . . . 302
7.5.2.1 Single Input Single Output . . . . . . . . . . . . . . . . . . . . . . . . . 302
7.5.2.2 Differential Inputs, Single/Differential Output . . . . . . . 302
7.5.2.3 Amplifier Noise Referred to Input. . . . . . . . . . . . . . . . . . . 303
7.5.3 Integrated Photodetector and Wideband High
Trans-Impedance Amplifier. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 305
7.6 Digital Signal Processing Systems and Coherent Optical Reception. . . . . . 308
7.6.1 DSP-Assisted Coherent Detection. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 308
7.6.2 DSP-Based Reception Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 309
7.6.3 Coherent Reception Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 309
7.6.3.1 Sensitivity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 309
7.6.3.2 Shot Noise-Limited Receiver Sensitivity . . . . . . . . . . . . 314
7.6.3.3 Receiver Sensitivity under Non-Ideal Conditions . . . . 314
xiv Contents

7.6.3.4 Digital Processing Systems . . . . . . . . . . . . . . . . . . . . . . . . . 315

7.6.3.5 Impact of ENOB on Transmission Performance. . . . . . 321
7.6.3.6 Digital Processors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 323
7.7 Concluding Remarks. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 325
Appendix 7A: Noise Equations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 326
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 327

Chapter 8 Multi-Carrier OFDM Optical Modulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 331

8.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 331
8.1.1 Principles of oOFDM: OFDM as a Multi-Carrier
Modulation Format . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 331
8.1.1.1 Spectra . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 331
8.1.1.2 Orthogonality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 332
8.1.1.3 Sub-Carriers and Pulse Shaping . . . . . . . . . . . . . . . . . . . . . 333
8.1.1.4 OFDM Receiver . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 335
8.1.2 FFT- and IFFT-Based OFDM Principles . . . . . . . . . . . . . . . . . . . . . . 335
8.2 oOFDM Transmission Systems. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 337
8.2.1 Impacts on Non-Linear Modulation Effects on oOFDM . . . . . . . . 341
8.2.2 Dispersion Tolerance. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 342
8.2.3 Resilience to PMD Effects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 342
8.3 OFDM and DQPSK Formats for 100 Gb/s Ethernet . . . . . . . . . . . . . . . . . . . . 343
8.4 OFDM SSB in Data Center Networking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 345
8.5 Concluding Remarks. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 347
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 348

Chapter 9 Modulation for Short-Reach Access Optical Transmission . . . . . . . . . . . . . . . . . . . . . 349

9.1 Introductory Remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 349
9.1.1 Economical Aspects in Access Network Delivery. . . . . . . . . . . . . . 349
9.1.2 Wavelength Channels and Modulation Techniques . . . . . . . . . . . . 349
9.2 High-Order PAM Transmission Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 350
9.3 Beyond 50G VCSEL Modulated VCSEL Short Reach . . . . . . . . . . . . . . . . . . 350
9.3.1 VCSEL Structure and Gain . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 351
9.3.2 Transverse Laser Modes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 353
9.3.3 Single Mode VCSEL. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 353
9.3.4 VCSEL Equivalent Circuit Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . 354
9.3.5 Effects of Optical Mode on Data Transmission . . . . . . . . . . . . . . . . 356
9.3.6 Modal Effects on VCSEL Eye Diagram Quality . . . . . . . . . . . . . . . 356
9.3.7 Multi-Level Direct Modulation Format . . . . . . . . . . . . . . . . . . . . . . . . 356
9.3.8 PAM-4 Measurement Challenges . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 359
9.3.9 PAM-4 Theoretical Simulation/Characteristics. . . . . . . . . . . . . . . . . 360
9.3.10 PAM-4 Pattern Generation Method . . . . . . . . . . . . . . . . . . . . . . . . . . . 363
9.3.11 Remarks. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 364
9.3.12 DMT Modulation Formats. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 364
9.4 Digital Pre-Emphasis PAM4, DMT, and CAP: Digital Signal
Processing for Different Modulation Formats at Transmitters. . . . . . . . . . . . 366
9.4.1 Principles. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 366
9.4.1.1 PAM Schemes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 366
9.4.1.2 CAP Modulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 367
9.4.1.3 DMT Modulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 367
9.4.1.4 CAP Transceiver . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 368
Contents xv

9.4.2 DSP for PAM-4 Signal. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 369

9.4.3 Pol-Mux-N-ary-QAM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 371
9.4.4 DSP for CAP-16 Signal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 371
9.4.5 DSP for DMT Signal. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 373
9.4.6 Remarks. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 373
9.4.7 Non-DSP Hardware Pre-Emphasis for Equalization . . . . . . . . . . . . 374
9.4.7.1 Electronic Feed-Forward Equalizer. . . . . . . . . . . . . . . . . . 374
9.4.7.2 Analog Device (ADI) Equalizers . . . . . . . . . . . . . . . . . . . . 377
9.5 Module . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 377
9.5.1 28 GBd Module . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 377
9.5.2 112 Gbps PAM-4 Time Domain Multiplexing Transceiver
Chipset in 0.18 µm SiGe Bi-CMOS . . . . . . . . . . . . . . . . . . . . . . . . . . . 378
9.5.2.1 Transmitter Structure Driver Plus FFE
Integrated Driver . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 378
9.5.2.2 Receiver Structure. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 380
9.5.2.3 Fabrication and Packaging . . . . . . . . . . . . . . . . . . . . . . . . . . 383
9.5.3 PAM-4 Double and Single-Sideband DuoB Modulation
Formats for up to 80 km SSMF Transmission . . . . . . . . . . . . . . . . . 383
9.5.3.1 Introductory Remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 383
9.5.3.2 Complex Signal Generation Using Dual Drive
MZ Modulator (DDMZM). . . . . . . . . . . . . . . . . . . . . . . . . . 385
9.5.3.3 DSB-DB-PAM-4 System . . . . . . . . . . . . . . . . . . . . . . . . . . . 386
9.5.3.4 SSB-DB-PAM-4 System . . . . . . . . . . . . . . . . . . . . . . . . . . . 388
9.5.3.5 Remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 389
9.6 Multi-Tera-Bits/s Optical Access Transport Technology . . . . . . . . . . . . . . . . 390
9.6.1 Introductory Remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 391
9.6.2 100G Access Systems and Networks. . . . . . . . . . . . . . . . . . . . . . . . . . 392
9.6.3 Tbps Access Transmission and Optical Routing Technology . . . 393
9.6.3.1 Direct Detection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 394
9.6.3.2 Tbps Coherent Reception Systems . . . . . . . . . . . . . . . . . . 395
9.6.4 Optical Interconnect for Multiple Tbps Access Networks. . . . . . . 398
9.6.4.1 Remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 399
9.6.5 Super-Channel Coherent Technologies to Improve Network
Efficiency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 400
9.6.5.1 Baud Rate Flexibility. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 401
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 403

Chapter 10 Pulse Shaping Modulation and Superchannels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 407

10.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 407
10.1.1 Overview. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 407
10.1.2 Chapter Organization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 408
10.2 System Requirements, Specifications, and Pulse Shaping
Modulation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 408
10.2.1 Requirements and Specifications. . . . . . . . . . . . . . . . . . . . . . . . . . . 408
10.2.2 Comparison of Nyquist_N_Tbps
Transmission System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 409
10.2.3 Superchannels by Pulse Shaping Modulation for
Tera-bps Transmission . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 409
10.3 Multi-Carrier Nyquist Pulse Shaping Modulation under
Transmission System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 411
xvi Contents

10.3.1
Nyquist Signal Generation Using DAC by Equalization
in Frequency Domain . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 411
10.3.2 Functional Modules of Nyquist Pulse Shaper. . . . . . . . . . . . . . . 413
10.3.3 DSP Architecture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 414
10.4 Key Hardware Sub-Systems of the Tbps Superchannel
Transmission Platform . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 415
10.4.1 Comb-Generation Techniques . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 415
10.4.1.1 Recirculating Frequency Shifting . . . . . . . . . . . . . . 415
10.4.1.2 Non-Linear Excitation Comb-Generation
and Multiplexed Laser Sources . . . . . . . . . . . . . . . . 415
10.4.2 Comb-Generators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 417
10.4.2.1 RCFS Comb-Generator . . . . . . . . . . . . . . . . . . . . . . . 417
10.4.2.2 Comb-Generation by Non-Linear Driving of
Optical Modulators . . . . . . . . . . . . . . . . . . . . . . . . . . . 418
10.4.3 Multi-Carrier Pulse Shaping Modulation . . . . . . . . . . . . . . . . . . . 420
10.4.3.1 Generation of Multi-Sub-Carriers for Tbps
Superchannels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 422
10.4.3.2 Supercomb-Generation Modulated Channels
as Dummy. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 429
10.4.3.3 2 and 1 Tbps Optical Transmitter at Different
Symbol Rates. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 430
10.4.4 Digital to Analog Converter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 431
10.4.4.1 Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 431
10.4.4.2 Generation of I and Q Components . . . . . . . . . . . . 432
10.4.4.3 Optical Modulation . . . . . . . . . . . . . . . . . . . . . . . . . . . 434
10.4.4.4 Synchronization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 436
10.4.4.5 Modular Hardware Platform . . . . . . . . . . . . . . . . . . . 436
10.5 Non-DCF Optically Amplified Multi-Span Transmission Line . . . . . . . . 437
10.5.1 Transmission Platform . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 437
10.5.2 Performance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 438
10.5.2.1 Tbps Initial Transmission Using Three
Sub-Channel Transmission Test . . . . . . . . . . . . . . . 438
10.5.2.2 N-Tbps (N = 1,2 … N) Transmission . . . . . . . . . . 441
10.5.2.3 Tbps Transmission Incorporating FEC at
Coherent DSP Receiver . . . . . . . . . . . . . . . . . . . . . . . 445
10.5.2.4 MIMO Filtering Process to Extend
Transmission Reach. . . . . . . . . . . . . . . . . . . . . . . . . . . 445
10.6 Multi-Carrier Scheme Comparison . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 450
10.7 Concluding Remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 453
Appendix 10A: Technical Data of Standard Single Mode Optical Fiber . . . . . . . 454
Appendix 10B: DAC Operating Conditions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 456

SECTION III
Chapter 11 Single Mode Planar Optical Waveguide . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 461
11.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 461
11.2 Formation of Planar Single Mode Waveguide Problems . . . . . . . . . . . . . . 462
11.2.1 TE/TM Wave Equation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 462
11.2.2 Continuity Requirements and Boundary Conditions . . . . . . . . 463
Contents xvii

11.2.3 Index Profile Construction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 463

11.2.4 Normalization and Simplification . . . . . . . . . . . . . . . . . . . . . . . . . . 464
11.2.5 Modal Parameters of Planar Optical Waveguides . . . . . . . . . . . 465
11.2.5.1 Mode Size . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 465
11.2.5.2 Propagation Constant and Effective Refractive
Index. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 465
11.2.5.3 Waveguide Dispersion and Spot Size . . . . . . . . . . 466
11.3 Approximate Analytical Methods of Solution . . . . . . . . . . . . . . . . . . . . . . . . 467
11.3.1 Asymmetrical Waveguides . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 468
11.3.1.1 Variational Techniques . . . . . . . . . . . . . . . . . . . . . . . . 468
11.3.1.2 WKB Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 473
11.3.2 Symmetrical Waveguides . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 478
11.3.2.1 WKB Eigenvalue Equation . . . . . . . . . . . . . . . . . . . . 479
11.3.2.2 Two-Parameter Profile Moment Method. . . . . . . . 479
11.3.2.3 A New Equivalence Relation for Planar
Optical Waveguides. . . . . . . . . . . . . . . . . . . . . . . . . . . 486
11.3.3 Concluding Remarks. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 487
Appendix 11A: Maxwell Equations in Dielectric Media . . . . . . . . . . . . . . . . . . . . . . 489
Appendix 11B: Exact Analysis of Clad-Linear Optical
Waveguides . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 491
Appendix 11C: WKB Method, Turning Points, and Connection Formulae. . . . . 493
Appendix 11D: Design and Simulation of Planar Optical Waveguides. . . . . . . . . 504
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 510

Chapter 12 Graded-Index Integrated Modulators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 515

12.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 515
12.2 Non-Uniform Grid SV Polarized FDM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 516
12.2.1 The Propagation Equation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 516
12.2.2 Formulation of NU Grid Difference Equation . . . . . . . . . . . . . . 517
12.2.2.1 Quasi-TE Mode. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 518
12.2.2.2 Quasi-TM Mode . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 520
12.2.3 The Inverse Power Method. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 522
12.2.4 Graded-Index Channel Waveguide. . . . . . . . . . . . . . . . . . . . . . . . . 524
12.2.4.1 Refractive Index Profile of Ti-LiNbO3
Waveguide . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 524
12.2.4.2 Numerical Simulation and Discussion . . . . . . . . . . 530
12.3 Remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 534
12.4 Traveling Wave Electrodes for Ultra-Broadband Electro-Optic
Modulation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 534
12.4.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 535
12.4.2 Electric Field Formulation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 536
12.4.2.1 Discrete Fields and Potentials. . . . . . . . . . . . . . . . . . 536
12.4.2.2 Capacitance, Impedance, and Microwave
Index. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 538
12.4.2.3 Electric Fields Ex and Ey and the
Overlap Integral . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 539
12.4.3 Electrode Simulation and Discussions. . . . . . . . . . . . . . . . . . . . . . 539
12.4.3.1 Grid Allocation and Modeling
Performance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 539
12.4.3.2 Model Accuracy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 540
xviii Contents

12.4.4 EO Overlap Integral, Γ. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 543

12.4.5 Tilted-Wall Electrode . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 546
12.4.6 Frequency Responses of Phase Modulation by Single
Electrode . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 548
12.4.7 Remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 550
12.5 Lithium Niobate Optical Modulators: Devices and
Applications. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 551
12.5.1 MZIM and Ultra-High Speed Advanced Modulation
Formats . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 552
12.5.1.1 Amplitude Modulation . . . . . . . . . . . . . . . . . . . . . . . . 552
12.5.1.2 Phase Modulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 552
12.5.1.3 Frequency Modulation . . . . . . . . . . . . . . . . . . . . . . . . 552
12.5.2 LiNbO3 Modulator Fabrication . . . . . . . . . . . . . . . . . . . . . . . . . . . . 552
12.5.3 Effects of Angled-Wall Structure on
RF Electrodes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 553
12.5.4 Remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 556
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 557

Chapter 13 3D Integrated Optical Waveguides for Modulators . . . . . . . . . . . . . . . . . . . . . . . . . . . 559

13.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 559
13.2 Marcatilli’s Method. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 561
13.2.1 Field and Modes Guided in Rectangular Optical
Waveguides . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 562
13.2.1.1 Mode Fields of Hx Modes . . . . . . . . . . . . . . . . . . . . . 562
13.2.1.2 Mode Fields of Ey Modes . . . . . . . . . . . . . . . . . . . . . 565
13.2.1.3 Dispersion Characteristics . . . . . . . . . . . . . . . . . . . . . 566
13.3 Effective Index Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 568
13.3.1 General Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 568
13.3.2 A Pseudowaveguide . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 570
13.4 Mode Modeling of Rib Waveguides . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 570
13.4.1 Choice of Grid Size. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 572
13.4.2 Numerical Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 575
13.4.3 Higher Order Modes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 575
13.5 Remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 577
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 577
Further Reading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 578

Chapter 14 Optical Fibers: Geometrical and Lightwaves Guiding Properties . . . . . . . . . . . . . . 581

14.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 581
14.2 Dielectric Slab Optical Waveguides . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 582
14.2.1 Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 582
14.2.2 Numerical Aperture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 582
14.2.3 Modes of Symmetric Dielectric Slab Waveguides . . . . . . . . . . 584
14.2.3.1 The Wave Equations . . . . . . . . . . . . . . . . . . . . . . . . . . 584
14.2.3.2 Optical Guided-Modes . . . . . . . . . . . . . . . . . . . . . . . . 585
14.2.3.3 Even TE Modes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 586
14.2.3.4 Odd TE Modes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 586
14.2.3.5 Graphical Solutions for Guided TE Modes
(Even and Odd). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 587
14.2.4 Cut-Off Properties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 587
Contents xix

14.3 Optical Fiber: General Properties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 587

14.3.1 Geometrical Structures and Index Profile. . . . . . . . . . . . . . . . . . . 587
14.3.2 Index Profiles. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 589
14.3.2.1 Step-Index Profile . . . . . . . . . . . . . . . . . . . . . . . . . . . . 589
14.3.2.2 Graded: Index Profile . . . . . . . . . . . . . . . . . . . . . . . . . 589
14.3.2.3 Power-Law-Index Profile . . . . . . . . . . . . . . . . . . . . . 589
14.3.2.4 Gaussian: Index Profile . . . . . . . . . . . . . . . . . . . . . . . 590
14.3.3 The Fundamental Mode of Weakly Guiding Fibers . . . . . . . . . 590
14.3.3.1 Solutions of the Wave Equation for
Step-Index Fiber . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 590
14.3.3.2 Cut-Off Properties . . . . . . . . . . . . . . . . . . . . . . . . . . . . 594
14.3.3.3 Power Distribution . . . . . . . . . . . . . . . . . . . . . . . . . . . . 595
14.3.3.4 Approximation of Spot-Size r0 of a
Step-Index Fiber . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 596
14.3.3.5 Equivalent: Step: Index (ESI) Description . . . . . . 597
14.4 Non-Linear Optical Effects. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 600
14.4.1 Non-Linear Phase Modulation Effects . . . . . . . . . . . . . . . . . . . . . 600
14.4.1.1 Self-Phase Modulation . . . . . . . . . . . . . . . . . . . . . . . . 600
14.4.1.2 Cross-Phase Modulation . . . . . . . . . . . . . . . . . . . . . . 601
14.4.1.3 Stimulated Scattering Effects . . . . . . . . . . . . . . . . . . 602
14.4.1.4 Four Wave Mixing. . . . . . . . . . . . . . . . . . . . . . . . . . . . 604
14.4.2 Large Effective Area Fibers for Ultra-High Capacity. . . . . . . . 605
14.5 Optical Fiber Manufacturing and Cabling . . . . . . . . . . . . . . . . . . . . . . . . . . . . 609
14.6 Concluding Remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 610
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 611
Further Reading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 612

Chapter 15 Introduction to Design of Optical Transmission Systems . . . . . . . . . . . . . . . . . . . . . 613

15.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 613
15.2 Long Haul Self-Coherent Optical Transmission Systems. . . . . . . . . . . . . . 614
15.2.1 Intensity Modulation Direct Detection Systems. . . . . . . . . . . . . 614
15.2.2 Loss-Limited Optical Communications Systems . . . . . . . . . . . . 617
15.2.3 Dispersion-Limited Optical Communications Systems . . . . . . 617
15.2.4 System Preliminary Design. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 618
15.2.4.1 Single Span Optical Transmission System . . . . . . 618
15.2.4.2 Power Budget . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 618
15.2.4.3 Rise-Time/Dispersion Budget . . . . . . . . . . . . . . . . . 618
15.2.4.4 Multiple-Span Optical Transmission System . . . 620
15.2.5 Gaussian Approximation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 621
15.2.6 System Preliminary Design under Non-Linear Effects . . . . . . 623
15.2.6.1 Link Budget Measurement . . . . . . . . . . . . . . . . . . . . 623
15.2.6.2 System Margin Measurement . . . . . . . . . . . . . . . . . . 623
15.2.7 Some Notes on the Design of Optical Transmission
Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 627
15.2.7.1 Allocations of Wavelength Channels . . . . . . . . . . . 627
15.2.7.2 The Link Design Process . . . . . . . . . . . . . . . . . . . . . . 630
15.2.7.3 Link Budget Considerations . . . . . . . . . . . . . . . . . . . 630
15.2.8 Link Budget Calculations under Linear and Non-Linear
Effects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 631
15.2.8.1 Budget . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 631
xx Contents

15.2.8.2 System Impairments . . . . . . . . . . . . . . . . . . . . . . . . . . 632

15.2.8.3 Power and Time Eyes . . . . . . . . . . . . . . . . . . . . . . . . . 632
15.2.8.4 Dispersion Tolerance due to Wavelength
Channels and Non-Linear Effects . . . . . . . . . . . . . . 632
15.2.8.5 Example 4: Self-Coherent Six-Span Optically-
Amplified Link—Upgrading of Existing
Transmission Systems with Standard Single
Mode Optical Fibers . . . . . . . . . . . . . . . . . . . . . . . . . . 633
15.2.9 Engineering an OADM Transmission Link. . . . . . . . . . . . . . . . . 637
Appendix 15A: Wavelength Transmission Band in Fiber Optic Network . . . . . 637
Reference . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 638

Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 639
Preface
Since the invention of the laser in 1961, the modulation of lightwaves has become the principal sub-
jects of several lightwave systems, especially in optical guided structures for fiber optic communica-
tions systems and networks. It is even more important today with the emerging connection of the
world and things: the Internet of Things and 5G mobile networks, the demand for bandwidth,
ultra-high-speed minimum latency, and optical to wireless convergence. Optical networking is
extremely essential to carry the enormous capacity of information in an intelligent, economical,
and energy-efficient way. The modulation of lightwaves, as always, plays a critical role in the trans-
mission of information via optical pipelines.
Integrated optics techniques and technology were created more than 30 years ago, and it describes
a family of technologies where light-guided structures are integrated on planar substrates. The con-
cept corresponds to electronic integration, where lithographical tools are used to create structures in
the micron range with sub-micron precision. This term is commonly known as integrated photonics
and photonic circuit technology (PIC) and thence electronic PIC (e-PIC), which is the ultimate con-
vergent integration of electronic integrated technology and photonic integrated circuits. The modu-
lation of guided lightwaves in these PIC structures is simple at a low voltage level, and thus
within the capability of broadband microwave frequency devices.
Integrated optical modulators were then developed extensively in semiconductor heterostructures
for lasers, amplifiers, electro-absorption modulators, anisotropic crystals as substrate for high-speed
modulators, mainly LiNbO3 by Ti diffusion or ion exchange, and electro-optic polymeric wave-
guides. These external modulators allow practical transmitters in which the linewidth of lasers can
be preserved. Hence, both coherent and non-coherent receiver sub-systems can be realized. The exter-
nal modulators have dominated the manufacturing of transmitters for a few decades due to overcom-
ing the loss by optical amplifiers.
The baud rates of optical systems have been progressively increased from 2.5 Gbps to 10 Gbps,
and then 28 GBd of 100 Gbps via polarization multiplexing and quadrature amplitude modulation
(QAM) of multi-level. Currently, the bit rate can reach 400 Gbps in four wavelength lanes. Even
1.0 Tbps can be reached with optical injection locking lasers of the slave laser, which can be modu-
lated to an effective 3 dB bandwidth to 100 GHz and higher.
Data center networking and flattening of traditional telecom networks has placed tremendous pres-
sure on reducing the costs of the transmission equipment and reducing the latency in switching and
routing. Hence, Si-based optical integrated modulators have emerged as the main contender medium
for integration of electronics and photonics in CMOS and bi-CMOS platforms.
This book focuses on optical modulation techniques and external modulators, as well as direct
modulation of lasers, which offer ultra-broadband signaling for the current and next generation of
optical transmission systems over core, metro, or access networks. The contents can be divided
into the following three sections.
Section I on direct modulation and laser generation, as well as optical injection locking master-
slave direct modulation.
Section II on external modulators and modulation formats in association with optical receivers
employing coherent and/or non-coherent technique, including transmission performance evaluation.
This section also deals with digital signal processing technique to overcome the problems of fre-
quency offset between carriers and local oscillator, equalization of fiber chromatic dispersion, polar-
ization tracking of the states of multiplexed channels, non-linear impairments, etc.
Section III gives a number of basic principles of modulation, integrated devices, and fibers, which
are necessary for readers who may want to strengthen the basic principles related to optical
transmission.

xxi
xxii Preface

I thank Huawei for allowing me to address the importance of optical modulation in optical trans-
mission systems. My experiences over the last 6 years at Huawei produced insights into transmission
equipment and demonstrations over installed fiber transmission lines, and have strengthened my
understanding of optical modulations. I thank my colleagues—Mr Sun Chun, Dr Xie Changsong,
Dr Nebojsa Stonajovic, Dr Fotini Karinou, Dr Mike Zhang Qiang, Dr Thomas Wang Tao, and Dr
Mao BangNing—for technical exchanges in several experimental platforms. My sincere thanks go
to Dr Thomas Lee, Vice President of SHF AG (Berlin), for several fruitful exchanges on signals
and systems, and to the technical teams at Keysight Inc., Tektronix Inc., and many collegial company
partners for collaborations on measurement sciences sessions and discussions on components, mod-
ules, system characterization, and performance evaluations.
Finally, this book is dedicated to my mother, Mrs Nguyen Thi Huong, who has dedicated her life to
encouraging me to excel at practical and academic learning. My wife, Phuong Nguyen, and my son,
Lam, have been very understanding concerning my long and quiet times of writing in my home office.

Le Nguyen Binh
Schwabing, Munich, Germany

MATLAB® and Simulink® are the registered trademark of The MathWorks, Inc. For product infor-
mation, please contact:

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3 Apple Hill Drive
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Web: www.mathworks.com
Author
Le Nguyen Binh earned BE (Summa Cum Laude), PhD, and Dr Eng
in electronic engineering and integrated photonics, all from the Uni-
versity of Western Australia, Nedlands, Western Australia. He then
joined the Department of Electrical Engineering of Monash Univer-
sity as reader after a stint three-year period with CSIRO (Common-
wealth Scientific and Industrial Research Organisation) Australia
(Canberra) as a research scientist conducting research on super paral-
lel computing systems.
He has worked as principal research engineer/scientist for Siemens
AG Central Research Laboratories in Munich and the Advanced Tech-
nology Centre of Nortel Networks in Harlow, UK. He was appointed
as professorial fellow at the Christian Albretchs University of Kiel, Deutschland and the Tan-Chin Tuan
professorial fellow of Nanyang Technological University, Singapore. He is currently acting as adjunct
professor with a number of universities around the world.
Besides integrated optics and photonics, he has worked on several major advanced world-class
projects, especially the Tb/s and 100 Gb/s dense wavelength division multiplexing (DWDM)
non-coherent and coherent optical transmission systems for long haul, metro and access networks
employing both direct and coherent detection techniques under dispersion-compensating module
(DCM)-compensated and ultra-long non-DCM compensated optical transmission line. He worked
at the Department of Optical Communications of Siemens AG Central Research Laboratories in
Munich and the Advanced Technology Centre of Nortel Networks in Harlow, UK.
Professor Dr Eng Binh has authored and coauthored more than 300 papers in leading ISI (Institute
for Scientific Information) journals and refereed conferences and 12 books in the field of photonic
signal processing and digital optical communications, all published by CRC Press, Taylor & Francis
Group LLC of Boca Raton, Florida, USA (www. crcpress.com). His research interests are in the fields
of integrated photonics, photonic signal processing, and advanced optical transmission systems and
networks.
While in the university sector, he developed and read several courses in engineering such as
fundamentals of electrical engineering, physical electronics, small signal electronics, large signal
electronics, signals and systems, signal processing, digital systems, micro-computer systems, electro-
magnetism, wireless and guided wave electromagnetics, communications theory, coding and
communications, optical communications, advanced optical fiber communications, advanced pho-
tonics, integrated photonics, and fiber optics. He led several course and curriculum developments
in electrical and electronic engineering (EEE) and joint courses between physics and EEE.
From January 2011 he has been appointed technical director, the European Research Center of
Huawei Technologies in Munich, Deutschland. His current research responsibilities/interests include
Multi-Peta-bps optical transmission systems and networks, Si-photonics and integrated nano-
photonic and nano-electronics, ultra-high-speed optical modulation techniques and associate methods
to mitigate non-linear impairments, convergence of wireless and optical technologies in 5G networks,
novel techniques for non-linear equalization using high-order spectral methods and non-linear FFT.
He has received four Gold Medal Awards by Huawei Technologies for these research advances.
Professor Dr Eng Binh chaired (1995–2005) the Commission D on electronics and photonics
of the National Committee of Radio Sciences of the Australian Academy of Sciences. He currently
contributes as the editor of CRC Press, Series on Optics and Photonics, and associate editor of SPIE
Journal of Optical Engineering.
Le Binh is an alumnus of the Phan Chu Trinh and Phan Boi Chau high schools of Phan Thiet
Vietnam.

xxiii
 1 Introduction
Historically, since the proposed and analytical study of dielectric waveguides by Kao and Hockham
[1] more than 50 years ago, the demonstration of the guiding of lightwaves through an optical circular
waveguides fiber [2,3]. Since then, advances in research and development of several aspects of optical
fibers, opto-electronics components, and sub-systems, as well as transmission systems and networks
based on optical fibers to-date have influenced nonstop explorations and exploitation of such guiding
phenomena in the near-infrared spectral windows. The information capacity has also been reaching
the Shannon’s limit. The convergence of digital processing systems and optical transmission and
detection by both coherence and non-coherence techniques has significantly pushed the optical sys-
tems to these limits.

1.1 EVOLUTION OF OPTICAL TRANSMISSION SYSTEMS AND NETWORKS:

MODULATION, AMPLIFICATION, AND DISPERSION
In the following, we give an outline of the development phases of such optical communications sys-
tems with some emphases on the modulation of lightwaves. The developments are categorized into a
number of phases according to the significant techniques that created breakthroughs in optical tech-
nology in optical fiber communications.

Dr C. Kao conducted (1966) an experiment on waveguiding in Corning scientists Dr P. Schultz, Dr D. Keck, and
dielectric waveguide by laser beam in the former Standard Dr R. Maurer invented the first low-loss optical
Telecommunications Cables Co. Ltd. of Harlow, England, later as fiber in 1970. (Extracted from Corning website [D.
Advanced Technology Center of Nortel Networks. Keck et al., IV Method of producing optical
waveguide fibers, U.S. Patent 3,711,262, 1973-01].)

1.1.1 IN THE BEGINNING THERE WAS LIGHT

Stage 1: Invention of electronic transistor and amplification, invention of laser, and invention of opti-
cal dielectric wave guides and optical fibers.
Stage 2: Dielectric waveguide for optical frequency waves. Demonstration of optical guided
waves. Multi-mode and single mode. Deployment of multi-mode optical systems—short distance.
1981 SMF fiber systems 40 km span length begins. Integrated optics starting with the whole paper
by Miller and Marcatilli, and then Tien [4–6].

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