Advanced Digital Optical Communications  book cover
2nd Edition

Advanced Digital Optical Communications

ISBN 9781482226522
Published February 12, 2015 by CRC Press
937 Pages 781 B/W Illustrations

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Book Description

This second edition of Digital Optical Communications provides a comprehensive treatment of the modern aspects of coherent homodyne and self-coherent reception techniques using algorithms incorporated in digital signal processing (DSP) systems and DSP-based transmitters to overcome several linear and nonlinear transmission impairments and frequency mismatching between the local oscillator and the carrier, as well as clock recovery and cycle slips. These modern transmission systems have emerged as the core technology for Tera-bits per second (bps) and Peta-bps optical Internet for the near future.

Featuring extensive updates to all existing chapters, Advanced Digital Optical Communications, Second Edition:

  • Contains new chapters on optical fiber structures and propagation, optical coherent receivers, DSP equalizer algorithms, and high-order spectral DSP receivers
  • Examines theoretical foundations, practical case studies, and MATLAB® and Simulink® models for simulation transmissions
  • Includes new end-of-chapter practice problems and useful appendices to supplement technical information

Downloadable content available with qualifying course adoption

Advanced Digital Optical Communications, Second Edition supplies a fundamental understanding of digital communication applications in optical communication technologies, emphasizing operation principles versus heavy mathematical analysis. It is an ideal text for aspiring engineers and a valuable professional reference for those involved in optics, telecommunications, electronics, photonics, and digital signal processing.

Table of Contents






Digital Optical Communications and Transmission Systems: Challenging Issues

Enabling Technologies

Modulation Formats and Optical Signal Generation

Advanced Modulation Formats

Incoherent Optical Receivers

DSP-Coherent Optical Receivers

Transmission of Ultra-Short Pulse Sequence

Electronic Equalization

Ultra-Short Pulse Transmission

Organization of the Book Chapters


Optical Fibers


Optical Fiber: General Properties

Geometrical Structures and Index Profile

Fundamental Mode of Weakly Guiding Fibers

Equivalent Step-Index Description

Nonlinear Effects

Nonlinear Self-Phase Modulation Effects

Self-Phase Modulation

Cross-Phase Modulation

Stimulated Scattering Effects

Signal Attenuation in Optical Fibers

Intrinsic or Material Absorption Losses

Waveguide Losses

Attenuation Coefficient

Signal Distortion through Optical Fibers

Material Dispersion

Waveguide Dispersion

Polarization-Mode Dispersion

Transfer Function of Single-Mode Fibers

Linear Transfer Function

Nonlinear Fiber Transfer Function

Transmission Bit Rate and the Dispersion Factor

Fiber Nonlinearity Revisited

SPM and XPM Effects

SPM and Modulation Instability

Effects of Mode Hopping

SPM and Intrachannel Nonlinear Effects

Nonlinear Phase Noises in Cascaded Multispan Optical Link

Special Dispersion Optical Fibers

SMF Transfer Function: Simplified Linear and Nonlinear Operating Region

Numerical Solution: Split-Step Fourier Method

Symmetrical Split-Step Fourier Method

Concluding Remarks


Optical Transmitters

Optical Modulators

Phase Modulators

Intensity Modulators

Structures of Photonic Modulators

Operating Parameters of Optical Modulators

Return-to-Zero Optical Pulses


Phasor Representation

Differential Phase Shift Keying


Optical DPSK Transmitter

Generation of Modulation Formats

Amplitude–Modulation ASK-NRZ and ASK-RZ

Discrete Phase–Modulation NRZ Formats

Continuous Phase–Modulation PM-NRZ Formats

Single-Sideband (SSB) Optical Modulators

Multicarrier Multiplexing Optical Modulators

Spectra of Modulation Formats

Spectral Characteristics of Digital Modulation Formats

I–Q Integrated Modulators

In-Phase and Quadrature-Phase Optical Modulators

I–Q Modulator and Electronic Digital Multiplexing for Ultra-High Bit Rates

Digital-to-Analog Converter for DSP-Based Modulation and Transmitter

Fujitsu DAC


Generation of I and Q Components

Concluding Remarks

Problems on Tx for Advanced Modulation Formats for Long-Haul Transmission Systems


Optical Receivers and Transmission Performance: Fundamentals


Digital Optical Receivers

Photonic and Electronic Noise

Performance Evaluation of Binary Amplitude Modulation Format

Received Signals

Probability Distribution Functions

Receiver Sensitivity

OSNR and Noise Impact

Quantum Limit of Optical Receivers under Different Modulation Formats

Direct Detection

Coherent Detection

Coherent Detection with Matched Filter

Binary Coherent Optical Receiver

Noncoherent Detection for Optical DPSK and MSK

Photonic Balanced Receiver

Optical Frequency Discrimination Receiver

Transmission Impairments

Chromatic Dispersion

Chromatic Linear Dispersion

Polarization-Mode Dispersion

Fiber Nonlinearity

MATLAB® and Simulink® Simulator for Optical Communications Systems

Fiber Propagation Model

Nonlinear Effects via Fiber Propagation Model

Performance Evaluation

BER from Monte Carlo Method

BER and Q Factor from Probability Distribution Functions

Histogram Approximation

Optical SNR

Eye Opening Penalty

Statistical Evaluation Techniques

Generalized Pareto Distribution

Novel BER Statistical Techniques

Effects of Source Linewidth

Concluding Remarks


Appendix: Sellmeier’s Coefficients for Different Core Materials

Appendix: Total Equivalent Electronic Noise


Optical Coherent Detection and Processing Systems


Coherent Receiver Components

Coherent Detection

Optical Heterodyne Detection

Optical Homodyne Detection

Optical Intradyne Detection

Self-Coherent Detection and Electronic DSP

Electronic Amplifiers: Responses and Noise


Wideband TIAs

Amplifier Noise Referred to Input

Digital Signal Processing Systems and Coherent Optical Reception

DSP-Assisted Coherent Detection

Coherent Reception Analysis

Digital Processing Systems

Concluding Remarks


Differential Phase Shift Keying Photonic Systems


Optical DPSK Modulation and Formats

Generation of RZ Pulses

Phasor Representation

Phasor Representation of CSRZ Pulses

Phasor Representation of RZ33 Pulses

Discrete Phase Modulation—DPSK

DPSK-Balanced Receiver

DPSK Transmission Experiment

Components and Operational Characteristics

Spectra of Modulation Formats

Dispersion Tolerance of Optical DPSK Formats

Optical Filtering Effects

Performance of CSRZ-DPSK over a Dispersion-Managed Optical Transmission Link

Mutual Impact of Adjacent 10G and 40G DWDM Channels

DQPSK Modulation Format


Offset DQPSK Modulation Format

MATLAB® and Simulink® Model

Comparisons of Different Formats and ASK and DPSK

BER and Receiver Sensitivity

Dispersion Tolerance

PMD Tolerance

Robustness toward Nonlinear Effects

Concluding Remarks

Appendix: MATLAB® and Simulink® Model for DQPSK Optical System


Multilevel Amplitude and Phase Shift Keying Optical Transmission


Amplitude and Differential Phase Modulation

ASK Modulation

Differential Phase Modulation

Comparison of Different Amplitude and Phase Optical Modulation Formats

Multilevel Optical Transmitter Using Single Dual-Drive MZIM Transmitter

MADPSK Optical Transmission

Performance Evaluation

Implementation of MADPSK Transmission Models

Transmitter Model

Receiver Model

Transmission Fiber and Dispersion Compensation Fiber Model

Transmission Performance

Star 16-QAM Optical Transmission


Design of 16-QAM Signal Constellation

Signal Constellation

Optimum Ring Ratio for Star Constellation

Detection Methods

Transmitter Design

Receiver for 16-Star QAM

Other Multilevel and Multi-Subcarrier Modulation Formats for 100 Gbps Ethernet Transmission

Concluding Remarks


Continuous Phase Modulation Format Optical Systems


Generation of Optical MSK-Modulated Signals

Detection of M-ary CPFSK-Modulated Optical Signal

Optical MSK Transmitter Using Parallel I–Q MZIMs

Optical MSK Receivers

Optical Binary Amplitude MSK Format


Optical MSK

Numerical Results and Discussion

Transmission Performance of Linear and Nonlinear Optical MSK Systems

Transmission Performance of Binary Amplitude Optical MSK Systems

Concluding Remarks


Frequency Discrimination Reception for Optical Minimum Shift Keying


ONFDR Operational Principles

Receiver Modeling

Receiver Design

Optical Filter Passband

Center Frequency of the Optical Filter

Optimum ODL

ONFDR Optimum Bandwidth and Center Frequency

Receiver Performance: Numerical Validation

ONFDR Robustness to Chromatic Dispersion

Dispersion Tolerance

10 Gbps Transmission

Robustness to PMD of ONFDR

Resilience to Nonlinearity (SPM) of ONFDR

Transmission Limits of OFDR-Based Optical MSK Systems

Dual-Level Optical MSK

Generation Scheme

Incoherent Detection Technique

Optical Power Spectrum

Receiver Sensitivity


Concluding Remarks


Partial Responses and Single-Sideband Optical Modulation

Partial Responses: Duobinary Modulation Formats


DBM Formatter

40 Gbps DB Optical Fiber Transmission Systems

Electro-Optic Duobinary Transmitter

DuoB Encoder

External Modulator

DuoB Transmitters and Precoder

Alternative Phase DB Transmitter

Fiber Propagation

Duobinary Direct Detection Receiver

System Transmission and Performance

DB Encoder


Transmission Performance

Alternating-Phase and Variable-Pulse-Width DuoB: Experimental Setup and Transmission Performance


DWDM VSB Modulation-Format Optical Transmission

Transmission System

VSB Filtering and DWDM Channels

Transmission Dispersion and Compensation Fibers

Transmission Performance

Single-Sideband Modulation

Hilbert Transform SSB MZ Modulator Simulation

SSB Demodulator Simulation

Concluding Remarks


OFDM Optical Transmission Systems


Principles of oOFDM: OFDM as a Multicarrier Modulation Format

FFT- and IFFT-Based OFDM Principles

Optical OFDM Transmission Systems

Impacts on Nonlinear Modulation Effects on Optical OFDM

Dispersion Tolerance

Resilience to PMD Effects

OFDM and DQPSK Formats for 100 Gbps Ethernet

Concluding Remarks


Digital Signal Processing in Optical Transmission Systems under Self-Homodyne Coherent Reception


Electronic Digital Processing Equalization

System Representation of Equalized Transfer Function

Generic Equalization Formulation

Impulse and Step Responses of the Single-Mode Optical Fiber

Electrical Linear Double-Sampling Equalizers for Duobinary Modulation Formats for Optical Transmission

MLSE Equalizer for Optical MSK Systems

Configuration of MLSE Equalizer in OFDR

MLSE Equalizer with Viterbi Algorithm

MLSE Equalizer with Reduced-State Template Matching

MLSE Scheme Performance

Performance of MLSE Schemes in 40 Gbps Transmission

Transmission of 10 Gbps Optical MSK Signals over 1472 km SSMF Uncompensated Optical Link

Performance Limits of Viterbi-MLSE Equalizers

Viterbi-MLSE Equalizers for PMD Mitigation

On the Uncertainty and Transmission Limitation of Equalization Process

Nonlinear MLSE Equalizers for MSK Optical Transmission Systems

Nonlinear MLSE

Trellis Structure and Viterbi Algorithm

Optical Fiber as an FSM

Uncertainties in Optical Signal Transmission

Uncertainty in ASK Modulation Optical Receiver without Equalization

Uncertainty in MSK Optical Receiver with Equalization

Electronic Dispersion Compensation of Modulation Formats

Concluding Remarks


DSP-Based Coherent Optical Transmission Systems


Quadrature Phase Shift Keying Systems

Carrier Phase Recovery

112G QPSK Coherent Transmission Systems

I–Q Imbalance Estimation Results

Skew Estimation

Fractionally Spaced Equalization of CD and PMD

Linear, Nonlinear Equalization, and Back Propagation Compensation of Linear and Nonlinear Phase Distortion

16QAM Systems

Terabits/Second Superchannel Transmission Systems


Nyquist Pulse and Spectra

Superchannel System Requirements

System Structure

Timing Recovery in Nyquist QAM Channel

128 Gbps 16QAM Superchannel Transmission

450 Gbps 32QAM Nyquist Transmission Systems

DSP-Based Heterodyne Coherent Reception Systems

Concluding Remarks


DSP Algorithms and Coherent Transmission Systems


General Algorithms for Optical Communications Systems

Equalization of DAC-Limited Bandwidth for Tbps Transmission

Linear Equalization


Maximum A Posteriori Technique for Phase Estimation



Carrier Phase Estimation


Correction of Phase Noise and Nonlinear Effects

Forward Phase Estimation QPSK Optical Coherent Receivers

Carrier Recovery in Polarization Division Multiplexed Receivers: A Case Study

Systems Performance of MLSE Equalizer-MSK Optical Transmission Systems

MLSE Equalizer for Optical MSK Systems

MLSE Scheme Performance

Adaptive Joint CR and Turbo Decoding for Nyquist Terabit Optical Transmission in the Presence of Phase Noise


Terabit Experiment Setup and Algorithm Principle


Optical Soliton Transmission System


Fundamentals of Nonlinear Propagation Theory

Numerical Approach

Beam Propagation Method

Analytical Approach—ISM

Fundamental and Higher-Order Solitons

Soliton Evolution for N = 1, 2, 3, 4, and 5

Soliton Breakdown

Interaction of Fundamental Solitons

Two Solitons’ Interaction with Different Pulse Separation

Two Solitons’ Interaction with Different Relative Amplitude

Two Solitons’ Interaction under Different Relative Phases

Triple Solitons’ Interaction under Different Relative Phases

Triple Solitons’ Interaction with Different Relative Phases and r = 1.5

Soliton Pulse Transmission Systems and ISM

ISM Revisited

ISM Solutions for Solitons

N-Soliton Solution (Explicit Formula)

Special Case A = N

N-Soliton Solution (Asymptotic Form as τ→±∞)

Bound States and Multiple Eigenvalues

Interaction between Two Solitons in an Optical Fiber

Soliton Pair with Initial Identical Phases

Soliton Pair with Initial Equal Amplitudes

Soliton Pair with Initial Unequal Amplitudes

Design Strategy

Generation of Bound Solitons

Generation of Bound Solitons in Actively Phase Modulation Mode-Locked Fiber Ring Resonators

Active Harmonic MLFL for Soliton Generation

Concluding Remarks


Higher-Order Spectrum Coherent Receivers

Bispectrum Optical Receivers and Nonlinear Photonic Preprocessing

Introductory Remarks


Bispectrum Coherent Optical Receiver

Triple Correlation and Bispectra

Transmission and Detection

Nonlinear Photonic Signal Processing Using Higher-Order Spectra

Introductory Remarks

FWM and Photonic Processing for Higher-Order Spectra

Third-Order Nonlinearity and Parametric FWM Process

Optical Domain Implementation

Transmission Models and Nonlinear Guided Wave Devices

System Applications of Third-Order Parametric Nonlinearity in Optical Signal Processing

Parametric Amplifiers

Nonlinear Photonic Preprocessing in Coherent Reception Systems

Concluding Remarks


Temporal Lens and Adaptive Electronic/Photonic Equalization


Space–Time Duality and Equalization

Space–Time Duality

Equalization in Transmission System

Simulation of Transmission and Equalization

Single-Pulse Transmission

Pulse Train Transmission

Equalization of Timing Jitter and PMD

Equalization in 160 Gbps Transmission System

System Overview

Simulation Model Overview

Simulation Results

Concluding Remarks


Comparison of Modulation Formats for Digital Optical Communications

Identification of Modulation Features for Combating Impairment Effects

Binary Digital Optical Signals

M-ary Digital Optical Signals

Multi-Subcarrier Digital Optical Signals

Modulation Formats and Electronic Equalization

Amplitude, Phase, and Frequency Modulation Formats in Dispersion-Compensating Span Transmission Systems

ASK—DPSK and DPSK—DQPSK under Self-Homodyne Reception

NRZ-ASK and NRZ-DPSK under Self-Homodyne Reception

RZ-ASK and RZ-DPSK under Self-Homodyne Reception

CSRZ-ASK and CSRZ-DPSK under Self-Homodyne Reception

ASK and DPSK Spectra

ASK and DPSK under Self-Homodyne Reception in Long-Haul Transmission

Nonlinear Effects in ASK and DPSK under Self-Homodyne Reception in Long-Haul Transmission

Performance of DWDM RZ-DPSK and CSRZ-DPSK

Nonlinear Effects on CSRZ-DPSK and RZ-DPSK

Nonlinear Effects on CSRZ-ASK and RZ-ASK

Continuous Phase versus Discrete Phase Shift Keying under Self-Homodyne Reception

Multi-Subcarrier versus Single/Dual Carrier Modulation under Self-Homodyne Reception

Multilevel versus Binary or I–Q Modulation under Self-Homodyne Reception

Single-Sideband and Partial Response Modulation under Self-Homodyne Reception

100 G and Tbps Homodyne Reception Transmission Systems

Generation of Multi-Subcarriers

Nyquist Signal Generation Using DAC by Equalization in Frequency Domain

Function Modules of a Nyquist-WDM System

DSP Architecture

Key Hardware Subsystems

Non-DCF 1 Tbps and 2 Tbps Superchannel Transmission Performance

Multicarrier Scheme Comparison

Modulation Formats and All-Optical Networking

Advanced Modulation Formats in Long-Haul Transmission Systems

Advanced Modulation Formats in All-Optical Networks

Hybrid 40 Gbps over 10 Gbps Optical Networks: 328 km SSMF + DCF for 320 km Tx—Impact of Adjacent 10 G/40 G Channels

Ultra-Fast Optical Networks

Concluding Remarks


Annex 1: Technical Data of Single-Mode Optical Fibers

Annex 2: Coherent Balanced Receiver and Method for Noise Suppression

Annex 3: RMS Definition and Power Measurement

Annex 4: Power Budget

Annex 5: Modeling of Digital Photonic Transmission Systems


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Le Nguyen Binh is technical director of Huawei Technologies’ European Research Center, Munich, Germany. He holds a BE (Hons) and Ph.D from the University of Western Australia, Crawley. He has authored and co-authored more than 300 journal papers and eight books, in addition to several refereeing conferences. Previously, he was professorial fellow at Nanyang Technological University of Singapore; the Christian Albrechts University of Kiel, Germany; and several Australian universities. He also served as Chair of Commission D (Electronics and Photonics) of the National Committee for Radio Sciences of the Australian Academy of Sciences (1995–2005).


"This book is excellent and potentially can be used by many universities. … I have not seen that any books are better than this book in this topic."
—John Xiupu Zhang, Concordia University, Montreal, Quebec, Canada

"The main strengths of the book are that it is comprehensive, covers the material in depth, and is up-to-date, covering topics which, in many cases, are still being actively investigated by the research community. It provides explicit guidance on the computer simulation of optical communication systems and is very accessible, being well structured and clearly written."
—Robert Killey, University College London