Tutorial Optical Transmission Systems Peter J Winzer

Optic Communication Systems
For Non-Optical Communications Engineers

Peter J. Winzer
Bell Labs, Alcatel-Lucent, USA
COPYRIGHT 2015 ALCATEL-LUCENT. ALL RIGHTS RESERVED.
ACKNOWLEDGMENT
Bell Labs
S.Chandrasekhar
A.R.Chraplyvy
R.-J.Essiambre
N.K.Fontaine
G.J.Foschini
H.Kogelnik
G.Kramer
A.Leven
X.Liu
S.Randel
G.Raybon
R.Ryf
R.W.Tkach
Univ. Tel Aviv

Univ. LAquila
C.Antonelli
R.Dar
A.Mecozzi
M.Shtaif
Politecnico di Torino
P.Poggiolini
AND MANY OTHERS
OVERVIEW
The role of optics in data networks

Linear and nonlinear impairments in optical networks
Optical modulation and detction techniques

Optical multiplexing techniques
Spatial multiplexing in optical communications
(MIMO and MIMO-SDM security)
The role of optics

in data networks
MASSIVE TRAFFIC GROWTH

MULTI-MEDIA & MACHINE-TO-MACHINE APPLICATIONS
HiDef Video Communication
Panasonics LifeWall
zspace.com
100 Tb/s
[R.W.Tkach, Bell Labs Tech. J., 2010]
10 Tb/s
1 Tb/s
2 dB / year
(58%/year)
US data network traffic
100 Gb/s
60% 10 log10(1.6) dB 2 dB
1995
2000
2005
10 Gb/s
2010
3D manipulation
MASSIVE TRAFFIC GROWTH

MULTI-MEDIA & MACHINE-TO-MACHINE APPLICATIONS
Amdahls rule of thumb
1 Floating point operation (Flop) triggers ~1 Byte of transport
Cloud services turn the network into a giant multi-processor interface
http://www.circuitboards1.com
100 TFlops
[P.J.Winzer, Proc. ECOC, 2010]
10 TFlops
1 TFlops
100 GFlops
100 Tb/s
Top 500 Supercomputers

2.7 dB / year
(86%/year)
10 GFlops
1 GFlops
10 Tb/s
1 Tb/s
2 dB / year
(58%/year)
US data network traffic
100 Gb/s
60% 10 log10(1.6) dB 2 dB
1995
2000
2005
10 Gb/s
2010
TRAFFIC GROWTH VARIATIONS: 20% TO 90%

DEPENDING ON APPLICATION AND GEOGRAPHY
[P. J. Winzer, Bell Labs Tech. J., 2014]

IEEE 802.3 Industry Connections Ethernet Bandwidth Assessment, http://www.ieee802.org/3/ad_hoc/bwa/BWA_Report.pdf
Metro Network Traffic Growth, Bell Labs Strategic White Paper, http://resources.alcatel-lucent.com/asset/171568
M. Nowell, Cisco Visual Networking Index; 20102015, http://www.ieee802.org/3/ad_hoc/bwa/public/sep11/nowell_01_0911.pdf
Cisco Visual Networking Index: Forecast and Methodology, 20132018, http://www.cisco.com
DATA NETWORKING INFRASTRUCTURE

OPTICAL COMMUNICATIONS EVERYWHERE
Transport
Switching
Satellites
Core
LAN
Data center
Access
WHY OPTICAL COMMUNICATIONS?

Regeneration-free transmission distance
[P. J. Winzer et al., Proc. IEEE 94, 952-985 (2006)]
Alcatel-Lucents
1830 PSS
High data rates

and
long distances
Fiber to the home

(FTTH)
Aggregate link capacity

Metric: Maximum transmission distance that can be
bridged before digital regeneration becomes necessary.
TX
10110
1011 0
RX

REASON #1: LARGE NARROW BANDWIDTHS
At 200 THz (1.5mm) carrier frequency
Low-loss fiber
Efficient sources & detectors
Low-noise amplifiers (EDFAs)
5 50 THz of channel bandwidth
is still narrowband at 200 THz
(~a few
% relative
bandwidth)
Thats
where
most digital
radio happens
MF
HF
VHF
UHF
SHF
EHF
~ 5 GHz
1 kHz
1 MHz
1 GHz
1 THz
1 km
1m
1 mm
Frequency / wavelength of the electromagnetic field
10
Visible
Light
LF
hn = kT
VLF
1 PHz
1 mm

REASON #2: VERY LOW PROPAGATION LOSSES
Attenuation of glass
Divergence in free space

Divergence angle ~ l/D
2 D 2 / l2
PRX ~ PTX DTX
RX
Loss [dB/km]
E.g., 200 THz instead of 20 GHz

108 x higher antenna gain (80dB)
Accurate pointing needed
(~ mrad @ kHz vibrations)
Today: < 0.2 dB / km

(RF coax: ~ 100x to 1000x more loss)
K. H. Kudielka et al.,
Proc. IEEE Phased Array
Symposium, Boston, 419 (1996)
11
TELECOMMUNICATIONS BEFORE FIBER-OPTICS

AT&TS LONG-HAUL BUSINESS
Technology
Coax
Microwave
Relay
mmWaveguide
Designation
Year
Voice circuits
per channel
2-way
channels
Repeater
distance
Total 2-way
voice circuits
L-1
1941
600
8 miles
2400
L-3
1950
1,860
4 miles
11,160
L-4
1967
3,600
10
2 miles
36,000
L-5E
1975
13,200
11
1 mile
145,200
TD-2 (4 GHz)
1969
1,200
12
26 miles
14,400
TH-1 (6 GHz)
1961
1,860
26 miles
14,880
AR6A (6 GHz)
1981
4,000
26 miles
32,000
WT4 (trial)
1975
4,032
57
25 miles
230,000
12
FIBER VS. COPPER - A CLEAR BUSINESS CASE

Courtesy: H. Kogelnik
For 6x less in cable diameter,

and 23x less in weight,
and 25x longer repeater spacing,
you got 156x more capacity!
Ca. 1977
13
OPTICAL NETWORKS: WORKHORSE OF THE INTERNET

Reconfigurable optical
add/drop multiplexer
Client interface
(e.g., 4 x 25 Gbit/s)
Line interface
(ROADM)
(e.g., 100 Gbit/s)
Router
Optical network
~ 5 THz bandwidth
WDM system
~ 100 km of fiber
Tx
Rx
(e.g., 80 x 100 Gbit/s) Spectral efficiency (SE) in [b/s/Hz]:

SE = per-channel bit rate / WDM spacing
Increase per-wavelength interface rate

Increase aggregate per-fiber capacity
Increase network flexibility
14
Tb/s
100
10
1
100
Gb/s
Serial Interface Rates and WDM Capacities
HIGH-SPEED OPTICAL INTERFACES

WHY A TERABIT IS CHALLENGING BUT NEEDED
10
1
1986
!
1990
1994
1-port 100GigE
1998
2002
2006 2010
2014
2018
2022
200G optical line interfaces are now available

Router interface scaling has merged with transport rates
Network processors available at 400G
Router port aggregation no longer possible
[P. J. Winzer, IEEE Comm. Mag. 26-30 (2010)]
15
HIGH-CAPACITY WDM SYSTEMS

WHEN WILL WE NEED FASTER INTERFACES ?
Fact: Leading-edge providers started installing 100G interfaces in 2010.
Question: When will such providers want higher-rate interfaces?
(Simple extrapolation of higher interface needs)
20%
40%
60%
80%
400 Gb/s
2018
2014
2013
2012
1 Tb/s
2023
2017
2015
2014
10 Tb/s
2035
2024
2020
2018
Assumed
interface rate
requirement
Assumed
traffic
growth rate
Extrapolated availability requirement

for higher-speed interfaces
16
Tb/s
100
10
1
100
Gb/s

COMMERCIAL CAPACITY SATURATION AT ~ 50 TB/S
10
1
1986
1990
1994
1998
2002
2006 2010
2014
2018
2022
WDM systems available up to ~10 to 20 Tb/s

WDM capacity scaling has slowed from ~100%/year to ~20%/year in 2000
17

WHEN WILL WE NEED FASTER INTERFACES ?
Fact: Leading-edge providers started installing 10T WDM systems in 2010.
Question: When will such providers want higher-capacity systems?
(Simple extrapolation of higher WDM capacity needs)
20%
40%
60%
80%
50 Tb/s
2019
2015
2013
2012
200 Tb/s
2026
2019
2016
2015
1 Pb/s
2035
2024
2020
2018
Assumed
WDM capacity
requirement
Assumed
Traffic
growth rate
Extrapolated availability requirement

for higher-capacity systems
18
Tb/s
100
10
1
100
Gb/s

10
1
1986
1990
1994
1998
2002
2006 2010
2014
2018
2022

19
Impairments in optical
networks
20
NOISE FROM OPTICAL AMPLIFIERS

AMPLIFIED SPONTANEOUS EMISSION (ASE)
Fiber and optical component loss
Noise from in-line amplification (EDFA, Raman); proportional to gain G
Lower bound on noise dictated by quantum mechanics
Optical signal power
Optical signal-to-noise ratio (OSNR):
Optical noise power
[R.-J. Essiambre et al., J. Lightwave Technol. (2010)]
TX
RX
Amplified spontaneous emission (ASE)
21

Optical noise power
Span length
100km 50km
Span loss (=G) 20dB
10dB
Spans
Nspan
2 Nspan
Total noise
100 Nspan 20 Nspan
TX
G amplifier gain = span loss

Nspan number of spans
RX
22

Optical noise power
[R.-J. Essiambre et al., J. Lightwave Technol. (2010)]
TX
RX
23
FIBER NONLINEARITIES
THE ULTIMATE LIMIT OF FIBER TRANSMISSION
Signal power
Increase signal power for better (O)SNR:
(Optical) noise power
Fiber nonlinearities
(within a signal, between WDM signals, between signal and noise)
Core diam. ~8 mm
Megawatt / cm2 optical intensities
n = n0+n1 Popt + (Kerr effect)
A A ejznz A ejzn0z ejzn1Popt z

Leads to nonlinear distortions over hundreds of kilometers
24
FIBER NONLINEARITIES
THE ULTIMATE LIMIT OF FIBER TRANSMISSION
Signal power
Increase signal power for better (O)SNR:
(Optical) noise power
Fiber nonlinearities
(within a signal, between WDM signals, between signal and noise)
TX
RX
25
CHROMATIC DISPERSION AND PMD

Signal-distortions
Fiber nonlinearity
Chromatic dispersion, polarization-mode dispersion
26
CONCATENATED FILTERING IN OPTICAL NETWORKS

Signal-distortions
Fiber non-linearity
Optical filter concatenation
DEMUX
l1
l1
lN
lN
Drop
27
MUX
Add
WDM multiplexer
WDM demultiplexer
CROSSTALK IN OPTICAL NETWORKS

Signal-distortions
Fiber non-linearity
Optical filter concatenation
Crosstalk (WDM, inband)
28
OPTICAL FIBER TRANSMISSION

Optical field propagating in the fibers transverse mode
+N
(Nonlinear Schrdinger Equation)
Fiber
Nonlinearity
Filtering
Effects
Noise
Chromatic Dispersion
Optical Filtering (ROADMs)
Spontaneous emission from

in-line optical amplifiers
ROADM Reconfigurable optical add/drop multiplexer

29
SPLIT-STEP FOURIER TRANSFORM METHOD

NUMERICAL SOLUTION OF FIBER PROPAGATION
Consider short pieces of fiber (dispersion only, nonlinearity only)
Alternate between simple solution in t and f
Simulation steps
0
Dz
Step size Dz
Dispersion (but no nonlinearity)
Nonlinearity (but no dispersion)
30
Distance
Courtesy: Pierluigi Poggiolini
31
32
33
34
Spectral efficiency
per polarization [b/s/Hz]
DISPERSION-MANAGED SYSTEMS
MANAGING NONLINEARITY WAS REALLY HARD
10
1
~1 dB/year
0.1
0.01
1990
1994
1998
Year
2002
2006 2010
x-pol x-pol
y-pol y-pol
Laser & filter stability

Modulation
Detection
PDM
35
36
37
38
39
FINDING THE FACTOR h
Optics Express, 16335 (2014)
J. Lightwave Technology (2015)
40
Modulation in
optical communications
41
Tb/s
100
10
1
100
Gb/s

10
1
1986
1990
1994
1998
2002
2006 2010
2014
2018
2022

42
THE COMMUNICATION ENGINEERS TOOLKIT

5 DIMENSIONS OF AN ELECTRO-MAGNETIC WAVE
Polarization
Space
Frequency
Modulation of the field in

Time
Quadrature
Same 5 dimensions across communications technologies

(Wireless, DSL, Optics, )
43
USING THE FIVE PHYSICAL DIMENSIONS

AN OPTICAL COMMUNICATIONS POINT OF VIEW
1.2
Loss [dB]
0.9
O
1260
Space
1360
1460
C
L
1530 1625
1565
0.6
0.3
0
Polarization
1300
1400
1500
Wavelength [nm]
1600
Frequency
Physical dimensions
Time
Quadrature
16-QAM
F
f
44
32-QAM
64-QAM
256-IPM
3.1
Intensity modulation
45
MODULATING THE INTENSITY DIMENSION
Intensity
Easiest property to modulate
Use absorption or interference processes
datap
p
i
n
[P.J. Winzer et al., Proc. IEEE, p.952 (2006).]

46
DETECTING THE INTENSITY DIMENSION
Intensity
Photodetection
Easiest property to modulate

Use absorption or interference
Electrical signal Optical intensity
Easiest property to demodulate
'Direct detection' (better1): 'demodulation) = optical intensity detection,
photodetection
Practical modulation techniques are important for high-speed optical systems.
Practical detection schemes are important for high-speed optical systems.
1)
Demodulation refers to the process of moving an (optical) passband signal to (electrical) baseband, while
detection refers to the extraction of digital information out of the baseband signal.
47
THE #1 TRANSPONDER DESIGN STRATEGY

MODULATE AS FAST AS ECONOMICALLY FEASIBLE
Polarization
Space
Frequency
Physical dimensions
Time
Quadrature
10 Gb/s
25 Gb/s
100G CDR Demux
[Derksen et al., OFC06]
Research:
53.5 Gb/s
107 Gb/s
107-Gb/s electrical signal

[Winzer et al., ECOC05]
48
100G Photo-receiver
[Sinsky et al., OFC07]
3.2
Phase modulation
49
OPTO-ELECTRONIC CONVERTERS DETECT INTENSITIES
Intensity
Phase
Photodetection
Electrical signal Optical intensity
Phase-to-amplitude conversion at detection

Also known as interference in optics
Local oscillator laser (coherent receiver)
Signal self-reference (differential mod.)
Direct detection with delay demodulation

Coherent receiver
Differential phase modulation

Information in phase difference
50
BINARY DIFFERENTIAL PHASE MODULATION

NEED BALANCED DETECTION TO GAIN 3 dB
Im{E}
Im{E}
constructive
Re{E}
Re{E}
destructive
balanced
OSNR penalty [dB]
OOK
DPSK
Detector amplitude imbalance

[Gnauck et al., JLT, 115 (2005)]
51
3.3
Multi-level modulation
52
NEED HIGHER BIT RATES ?

ONE OPTION: MULTI-LEVEL
Polarization
Space
Frequency
Physical dimensions
Time
Quadrature
10 Gb/s
50 Gb/s Multilevel (PAM)
25 Gb/s
53.5 Gb/s
107 Gb/s
10
11
01
00
PAM: Pulse amplitude modulation

53
NEED HIGHER BIT RATES ?

ONE OPTION: MULTI-LEVEL
Polarization
Space
Frequency
Physical dimensions
Time
Quadrature
10 Gb/s
50 Gb/s Multilevel (PAM)
25 Gb/s
56 Gb/s (28 GBd)
112 Gb/s (56 GBd)
[Gnauck et al., OFC 2011] [Winzer et al., ECOC 2011]
160 Gb/s (80 GBd)
214 Gb/s (107 GBd)
[Raybon et al., PTL 2012]
[Raybon et al., ECOC 2013]
PAM: Pulse amplitude modulation

54
QUADRATURE PHASE SHIFT KEYING (QPSK)

MULTI-LEVEL IN BOTH QUADRATURES
Im{E}
Re{E}
55
16-QAM TRANSMITTER
USING A DAC AND AN I/Q MODULATOR
2-bit arbitrary waveform generator
D1
D1
215-1
PRBS at
14.0 Gb/s
(D2 outputs
half-pattern
delayed wrt
D1 outputs)
6 dB
Multiple-bit
delay
6 dB
11-GHz LPF
Laser
p/2
Integrated
I/Q Modulator
D2
D2
6 dB
6 dB
11-GHz LPF
PRBS: Pseudo-random bit sequence

I/Q: In-phase/quadrature (or: Re{E} / Im{E})
Im{E}
Re{E}
4
4
[Winzer et al., ECOC08]

56
HIGHER-LEVEL FORMATS
USING A DAC AND AN I/Q MODULATOR
N-level Electronic Signal I
p/2
N2 QAM Signal
Laser
N-level Electronic Signal Q
Format
QPSK
16-QAM
64-QAM
256-QAM
N2-QAM
N Bits/symbol
2
2
4
4
8
6
16
8
N
2 log2(N)
8-level drive for 64-QAM
10 GBaud
[A. Sano et al., ECOC2010, PD2.4]
50 GBaud
[J. Godin et al., BLTJ, 2013]
[J. Godin et al., BLTJ, 2013]
21.4 GBaud
57
CONSTELLATION SIZE VERSUS SYMBOL RATE
PDM 512-QAM
3 GBaud (27 Gb/s)
PDM 256-QAM
4 GBaud (32 Gb/s)
PDM 64-QAM
21 GBaud (128 Gb/s)
PDM 16-QAM
80 GBaud (320 Gb/s)
PDM QPSK
107 GBaud (224 Gb/s)
[Okamoto et al., ECOC10]
[Nakazawa et al., OFC10]
[Gnauck et al., OFC11]
[Raybon et al., PTL12]
[Raybon et al., PTL12]
ADC & DAC resolution
Bandwidth
[Winzer, J. Lightwave Technol. 30, 3824 (2012)]
[R. H. Walden, JSAC (1999), and Proc. CSIC (2008)]

[A. Khilo et al., Opt. Ex. (2012)]
Line rate [Gb/s]
300
200
16-QAM
100
58
4
5
6
Bits per symbol
SCALING THROUGH MORE LEVELS OR SYMBOL RATE ?
ATT
PDM 512-QAM EDFA
3 GBaudOSNR
(54 Gb/s)
[Okamoto et al., ECOC10]
Ix
Pol-div.
90 deg
Hybrid
PDM 256-QAM
PC
Y-polarization
4 GBaud (64 Gb/s)
PC
0 Gb/s
1 nm
OF
[Nakazawa et al., OFC10]
LO
PDM 64-QAM
21 GBaud (256 offline
Gb/s)
PDM 16-QAM
80 GBaud (640 Gb/s)
processing [Raybon et al., IPC12]

[Gnauck et al., OFC11]
LeCroy
LabMaster
scaling 9 Zi
Logarithmic
[T. Pfau et al., J. Lightwave Technol. 27(8), 989 (2009)]

59
X-polarization
PDM QPSK
107 GBaud (448 Gb/s)
[Raybon et al., ECOC12]
Linear scaling
Bits per symbol (per polarization)
PRACTICAL CONSIDERATIONS
IMPLEMENTATION PENALTY
9
8
7
6
5
3.3
1.5
1.5
4
3
2
1
2.0
2.8
1.0 1.3
1.7
1.6
2.4
0.6
0.5
0.6
2
4.3
2.1
0.7
0.6
0.7
0.5
0.9
10
20
50
Symbol rate [Gbaud]

60
2.4
0.9
100
EVOLUTION OF HIGH-SPEED TRANSPONDERS

TOWARDS 1 TB/S ON A SINGLE CARRIER
Single pol -1
Polarization
Space
Frequency
Single pol -2
Physical dimensions
Time
Quadrature
107 Gbaud 16-QAM
(856 Gb/s)
PDM
[Randel et al, 2014]
Serial interface rates [Gb/s]
72 GBd PDM-64-QAM (864 Gb/s)

[Raybon et al, 2013]
1000
107 Gbaud QPSK
100
10
1
1986
1990
1994
1998
61
2002
2006 2010
2014
2018
2022
10
1
0.1
~1 dB/year
0.01
1990 1994 1998 2002 2006 2010
x-pol x-pol
Year
y-pol y-pol
Spectral efficiency
Spectral efficiency
SPECTRAL EFFICIENCY AND ITS PRICE IN SNR

10 SE = log2 (1 + SNR)
64
16
4
2x
2x
Laser & filter stability

Modulation
Detection
PDM
20 years ago: Device physics set engineering

limits on spectral efficiency
Today: Information theory sets fundamental
limits on spectral efficiency
62
256
3.7 dB 8.8 dB
5
10
15
20
Required SNR per bit [dB]
Simple on-off modulation,

direct detection
Higher-order modulation,
coherent detection
25
Spectral efficiency [b/s/Hz]
LOW SPECTRAL EFFICIENCY MODULATION

(SPACEBORNE APPLICATIONS)
Intensity
Pulse Position Modulation (PPM)

10
01
00
11
10 Capacityconstrained
1
PPM
8
16
32
0.1
64
0
Position within PPM symbol
Time
63
256
Sensitivityconstrained
5
10
15
20
25
SNR (photons) per bit [dB]
LOW SPECTRAL EFFICIENCY MODULATION

(SPACEBORNE APPLICATIONS)
Intensity
Pulse Position Modulation (PPM)

10
01
00
11
10 Capacityconstrained
1
PPM
8
Shot-noise
limited
16
channels
32
0.1
64
0
Position within PPM symbol
Time
64
256
Sensitivityconstrained
5
10
15
20
25
SNR (photons) per bit [dB]
FROM CLASSICAL TO QUANTUM TECHNIQUES

[J. Gordon, Quantum effects in communication systems, Proc. IRE 50, 1898 (1962)]
[A. S. Holevo, The capacity of a quantum channel with general signal states, Trans. Inf. Theory 44, 269 (1998)]
Quantum
Classical
[C. Antonelli et al., J. Lightwave Technol. (2014)]
Sensitivity [dB bits/photon]
10
???
Photon counting
0
Gordon/Holevo
quantum capacity
Linear Shannon
-10
-20
0.001
0.01
0.1
1
Spectral efficiency [bits/s/Hz]
65
10
100
SOME MORE ADVANCED TRICKS

4D, CODING, SHAPING, OVER-FILTERING
10
Constellation
shaping
256-QAM
64-QAM
Coded modulation 16-QAM
[Liu et al., OFC12]
Over-filtering
ISI
4-QAM
1
MAP
[Cai et al., ECOC10]
5
10
15
20
Required SNR per bit [dB]
25
Whatever you do, Shannon will be the limit

[C. E. Shannon, BLTJ (1948)]
[Karlsson & Agrell, ECOC10]
ISI: Inter-symbol interference; MAP: Maximum a posteriori

66
4-DIMENSIONAL MODULATION
CLOSER SYMBOL PACKING THROUGH CORRELATIONS
Simple 2D example: 16-QAM, viewed as 2 independent, orthogonally muxed 4-PAMs
Im{E}
Im{E}
Re{E}
4
Im{E}
Im{E}
Re{E}
Re{E}
4
In 4D space:
(Ix/Qx/Iy/Qy)
Re{E}
=4
=
[H. Buelow et al., OFC 2013]
4
Here, the two dimensions
are no longer independent
2D modulation
Sacrifice SE for performance
[Karlsson & Agrell, ECOC10]

67
Spectral efficiency =
Information bits
Signal spectral width
Spectrum [dB]
DIGITAL PULSE SHAPING

PULSE BANDWIDTH AND SPECTRAL EFFICIENCY
10 dB
56 GHz
Frequency
68
MODERN OPTICAL TRANSPONDERS

DIGITAL PULSE SHAPING
t
DAC
Transmit
DSP
DAC
DAC
DAC
PDM
I/Q-MOD
TX Laser
First 200G 16-QAM coherent interface

Alcatel-Lucent 2013
Modern coherent transponders use pulse shaping for:

Spectral efficiency
Pre-compensation of various fiber impairments
(dispersion, nonlinearity, filtering)
69
Coherent detection and

digital signal processing
70
COHERENT DETECTION BASICS
Signal
|ESig(t) + ELO|2 = |ESig(t)|2 + |ELO|2 2 Re{ESig(t) ELO e
Beat term
Requires signal-LO
polarization alignment
Local
Oscillator (LO)
Signal
j2pfIFt+jfSig(t)
Second signal quadrature Im{ESig(t) ELO e

90-deg hybrid
90-deg shifted LO
71
j2pfIFt+jfSig(t)

Polarization-diversity 90-degree hybrid
x-polarization
y-polarization
Signal
Local
Oscillator (LO)
Signal
90-deg shifted LO
Signal
Local
Oscillator (LO)
Signal
90-deg shifted LO
72
The good news:

Polarization multiplexing
comes for free

THE ROLE OF THE INTERMEDIATE FREQUENCY
Signal
|ESig(t) + ELO|2: 2 Re{ESig(t) ELO e j2pfIFt +jfSig(t)}
Beat term
Local
Oscillator (LO)
Heterodyne
Homodyne
Intradyne
Front-end bandwidth
~ 5* Symbol rate
Symbol rate
~Symbol rate
Phase/frequency locking
Frequency locking
Analog optical PLL
Digital electronic PLL

(free-running LO)
Spectral sketch
0 IF
Im{E}
Constellation sketch
0
Im{E}
Re{E}
73
Re{E}
IF
Im{E}
Re{E}
MODERN COHERENT DETECTION

DO AS MUCH AS YOU CAN DIGITALLY, IN CMOS
Im{E}
Coherent optical front-end
Re{E}
Signal
LO laser
In-phase component
90 deg
Hybrid
Quadrature component
PBS
PBS
In-phase component
90 deg
Hybrid
PBS Polarization beam splitter

A/D Analog-to-digital conversion
Quadrature component
LO Local oscillator
DSP Digital signal processing
74
y-pol.
y pol.
x-pol.
x pol.

HIGH-SPEED A/D CONVERSION IN THE LAB
Digitization
Agilent 90000 Q-Series
160 GS/s @ 63GHz
x pol.
y pol.
Signal
LO laser
90 deg
Hybrid
Qx
PBS
PBS
Ix
90 deg
Hybrid
Iy
Qy

A/D
A/D
A/D
A/D
LO Local oscillator
75
LeCroy LabMaster 10Zi

160 GS/s @ 65 GHz

HIGH-SPEED A/D CONVERSION ON CHIP
Digitization
x pol.
y pol.
Signal
LO laser
90 deg
Hybrid
Qx
PBS
PBS
Ix
90 deg
Hybrid
Iy
Qy

A/D
A/D
A/D
A/D
LO Local oscillator
76
Qx
Iy
Qy
A/D
A/D
A/D
A/D
Chromatic dispersion
Ix
Front-end corrections
MAIN COHERENT DSP BUILDING BLOCKS

Digital computation of
exp(-j a f2 )
Fiber
Transmit pulse
DSP
Dispersed received pulse
77
Compensated pulse
Qx
Iy
Qy
A/D
A/D
A/D
A/D
Ix

Digital computation of
exp(-j a f2 )
Local oscillator laser needs to be coherent
across dispersed pulse width
Electronically enhanced laser phase noise
[W. Shieh et al., Opt. Exp., vol. 16, 15718 (2008)]
[C. Xie, Proc. OFC, OMT4 (2009)]
Received phase
Ideal
Fiber
with LO phase noise
Transmit pulse
Dispersed received pulse
78
Compensated pulse
OSNR
A/D
LO
Y-polarization
offline
processing
LeCroy
LabMaster 9 Zi
Jones matrix inversion
PBS
Fiber
Y-polarization
Signal 1
ffline
cessing
Polarization rotation
PBS
Axxx + Axyy
Ix
Ayxx + Ayyy
Signal 2
X-polarization
9 Zi
y
79
LO
offline
processing
ol-div.
0 deg
ybrid
X-polarization
Y-polarization
X-polarization
offline
processing
A/D
Ix
Y-polarization
EDFA
Pol-div.
90 deg
Hybrid
Retiming, resampling
Qy
PC
Clock recovery
Iy
A/D
ATT
PC
Qx
1 nm
j OF
640 Gb/s
A/D
PC
Ix
Qy
A/D
A/D
PBS
Iy
A/D
Clock recovery
Qx
Ix
A/D

Hxx
Hxy
Hyx
Hyy
Fiber
Y-polarization
Signal 1
ffline
cessing
+
PBS
Axxx + Axyy
Ayxx + Ayyy
Signal 2
X-polarization
offline
processing
X-polarization
Y-polarization
9 Zi
80
Hxy
Hyx
Hyy
+
Im{E}
81
Re{E}
Phase tracking
A/D
Hxx
Frequency locking
Qy
A/D
Iy
Clock recovery
Qx
A/D
Ix
A/D
Hxy
Hyx
Hyy
[T. Mizuochi et al., Proc. OFC, 2012 ]
82
Decision/Decoding
Phase tracking
A/D
Hxx
Frequency locking
Qy
A/D
Iy
Clock recovery
Qx
A/D
Ix
A/D
A WORD ON FEC IN OPTICAL SYSTEMS

Thats how most optical communications engineers view FEC:
Hard decision, 7% Overhead
-Log(Corrected BER)
BER = 210-3 FEC

BER = 10-16
decoder
FEC correction threshold
Assumes hard-decision FEC

Assumes independent errors
(sufficient scrambling wrt burst errors)
-Log(Uncorrected BER)
Problem: Soft-decision FEC
83
A WORD ON SOFT FEC IN OPTICAL SYSTEMS

Thats what nonlinearities can do:
(Outside the assumptions leading to the Gaussian Noise model)
[J. Cho et al., Optics Express, 7915 (2012)]

84

Thats what nonlinearities can do:
(Outside the assumptions leading to the Gaussian Noise model)
[A. Leven et al., Phot. Technol. Lett., 1547 (2011)]

85

Back-to-back
After 1600-km transmission
Gaussian-like signal statistics down to ~1E-5 even after 1600-km transmission

The performance of SD-FEC expected to be fully obtained.
86
MAJOR DSP ASIC MILESTONES IN OPTICS

ADC resolution vs. sample rate
9
2
~70% per year
10
Number of bit
Gate Counts (Million)
10
7
6
5
4
Stated
ENOB
3
2
10
2005
2006
2007
2008
2009
2010
10
2011
Year
20
30
40
50
Sample rate [GS/s]
70M+ gates
Nortel electronic pre-EDC 10G Tx (2005)

20GS/s DAC
Nortel 40Gb/s PDM-QPSK (2007)

20GS/s ADC/DSP
87
Alcatel-Lucent 112Gb/s (2010)

56GS/s ADC/DSP
60
Multiplexing in optical
communication systems
88
SAME 5 DIMENSIONS FOR MULTIPLEXING

AN EXHAUSTIVE LIST
1.2
Loss [dB]
0.9
O
1260
Space
1360
1460
C
L
1530 1625
1565
0.6
0.3
0
Polarization
1300
1400
1500
Wavelength [nm]
1600
Frequency
Physical dimensions
Time
Quadrature
16-QAM
F
f
89
32-QAM
64-QAM
256-IPM
WAVELENGTH-DIVISION MULTIPLEXING (WDM)
Orthogonality through non-overlapping frequency bins (WDM)
90
-35
-45
VARIOUS SUPERCHANNEL DEMONSTRATIONS

-55
-65
-75
193950
200 GHz
194000
194050
194100
194150
194200
200 GHz
-35
263 GHz
-10
300 GHz
-45
-20
-55
-30
-65
-40
Ix
-75
193950
Y-polarization
-50
1551.5
1552.0
1552.5 1553.0 1553.5
1554.0
1 Tb/s
(2 subcarriers)
16-QAM
offline
Wavelength,
nm
5.2
bit/s/Hz
processing
3200 km transmission
LeCroy
[Raybon
LabMaster 9 Zi
X-polarization
et al., IPC12]
194000
194050
194100
194150
194200
1 Tb/s (4 subcarriers) 16-QAM

5.0 bit/s/Hz
1.5 Tb/s (8 subcarriers) 16-QAM

5.7 bit/s/Hz
1.2 Tb/s (24 subcarriers) QPSK

3.74 bit/s/Hz
[Renaudier et al., OFC12]
[Liu et al., ECOC12]
[Chandrasekhar et al., ECOC09]
ADC&DAC bandwidth & resolution

Few carriers
High symbol rate
Optical parallelism
Laser
Mod.
Laser
Mod.
Laser
Mod.
Laser
Mod.
f
f
f
f
91
Large # of carriers
Lower symbol rate
OFDM IN OPTICAL COMMUNICATIONS

Electrical OFDM
56 Gb/s net rate (65 Gb/s line rate)
32-QAM per subcarrier
[Takahashi et al., OFC09]
All subcarriers modulated at once
Laser
Optical OFDM
Mod.
Mod.
All subcarriers modulated individually

Parallel optical hardware
f
Comb
Mod.
Mod.
Mod.
65 GHz
f
f
f
f
300 GHz
60 GHz
448 Gb/s (10 subcarrier) 16-QAM

5 bit/s/Hz
2000 km transm.
606 Gb/s (10 subcarrier) 32-QAM

7 bit/s/Hz
2000 km transm.
1.2 Tb/s (24 subcarrier) QPSK

3 bit/s/Hz
7200 km transm.
[X. Liu et al., OFC10]
[X. Liu et al., ECOC10]
[S. Chandrasekhar et al., ECOC09]
92
POLARIZATION-DIVISION MULTIPLEXING (PDM)

A standard single-mode fiber supports two orthogonal polarizations
One can transport independent signals in both polarizations, provided
that one can separate them again at the receiver in the presence of
random polarization rotations within the transmission fiber
Polarization diversity receivers detect both polarizations
(see section on coherent detection below)
PDM increases spectral efficiency by a factor of 2
93
SPACE-DIVISION MULTIPLEXING (SDM)

Spatially disjoint optical beams are orthogonal
Multiple fiber strands
Multi-core fiber
http://www.occfiber.com/
Spatially overlapping optical beams can also be orthogonal

Multiple modes in multi-mode fiber
provided that one can selectively excite and detect those modes
94
Capacity limits
95
THE NONLINEAR SHANNON LIMIT

Increasing the signal power (i.e. the SNR) creates signal distortions from fiber
nonlinearity, eventually limiting system performance
Capacity C [bits/s]
Maximum
capacity
C = B log2 (1 + SNR)
SNR [dB]
Signal launch power [dBm]
Distributed Noise
Tx
Rx
Nonlinear distortions
Quantum mechanics dictates a lower bound on amplifier noise
[R.-J. Essiambre et al., Phys. Rev. Lett. (2008) or J. Lightwave Technol. (2010)]
96
AN LOWER BOUND ESTIMATE FOR THE SHANNON LIMIT
Capacity per unit bandwidth

(bits/s/Hz)
Assume ring constellations

Deterministic signal back-propagation to remove (most of the) channel memory
Numerical solution of nonlinear Schrdinger equation Numerical statistics
Capacity C [bits/s]
Maximum
capacity
SNR [dB]
Signal launch power [dBm]
1 ring
2 rings
4 rings
8 rings
16 rings
7
6
5
4
3
2
1
0
Distributed Noise
Tx
10
15
20
25
30
35
SNR (dB)
Rx
Numerical statistics
[R.-J. Essiambre et al., Phys. Rev. Lett. (2008) or J. Lightwave Technol. (2010)]
97
40
1/2
Imag part of field [ mW ]
0.2
0.1
1 ring
2 rings
4 rings
8 rings
16 rings
-0.1
0.1
0.2
1/2
Real part of field [ mW ]
0
-0.5
-0.5
0.5
1
1/2
5
4
3
2
2
1
0
-1
-2
-2
-1
2
1/2
1
0
-1
-1
1/2
-0.2
-0.2
0.5
-0.1
Capacity per unit bandwidth

(bits/s/Hz)
1/2
SOME EXAMPLE RESULTS
10
15
20
25
30
SNR (dB)
Note: Capacity maximum occurs at fairly high SNRs

R.-J. Essiambre et al., Phys. Rev. Lett. (2008) or J. Lightwave Technol. (2010)
98
35
40
VARIOUS CONTRIBUTIONS TO CAPACITY
R.-J. Essiambre et al., J. Lightwave Technol. (2010)

99
SENSITIVITY ANALYSIS TO FIBER PARAMETERS
Capacity is fairly insensitive to (heroic!)

improvements of fiber loss, nonlinearity,
or dispersion
Dont waste your money improving
single-mode fiber...
[R.J.Essiambre and R.W.Tkach, Proc. IEEE, 2012]
100
15
75
10
50
25
Metro
2
100
Long-haul Submarine
1,000
10,000
Transmission distance [km]
101
10
C-band capacity [Tb/s]
THE RATE-REACH TRADE-OFF IN OPTICAL FIBER
10
75
50
5
Metro
2
100
25
Long-haul Submarine
1,000
10,000
102
10
15
<2x
15
75
10
50
25
2
100
10
1,000
10,000
103
Commercial WDM
product needs
in 2021, 2018, 2016
20, 30, 60%

traffic growth
per year
WDM products, 2013
SCALING SERIAL OR PARALLEL ?
OR
20
TX
RX
TX
RX
TX
RX
~ 500 regenerators
(every ~3 km, ~4096-QAM)
3 parallel
systems
10
[P. J. Winzer, PTL 23, 851 (2011)]
10
100
1,000
104
10,000
MULTI-BAND SYSTEMS USE MORE SPECTRUM

Polarization
Frequency
Space
1.2
Quadrature
Loss [dB]
Time
0.9
Attenuation of various fiber types

O
1260 1360
S
1460
C
L
1530 1625
1565
0.6
0.3
0
1300
1400
1500
Wavelength [nm]
Use more bandwidth within the low-loss fiber window

Multi-band systems: C, L, S(?) bands
Requires wide-band optical amplifiers, transponders, ROADMs, ...
If all bands were exploited: ~5x capacity gain
Sufficient for 3 to 9 years at 60% to 20% traffic growth
105
1600
SPATIAL MULTIPLEXING PARALLEL SYSTEMS

Polarization
Frequency
Space
Time
Quadrature
High scalability (~100 spatial paths)

Sufficient for 10 to 25 years at 60% to 20% traffic growth
106
Spatial multiplexing:
The final frontier
107
INTEGRATION FOR ECONOMIC SUSTAINABILITY

Deploying M parallel paths is better than using multiple regenerators
But: M systems cost M times as much & consume M times the energy
Cost/bit (or energy/bit) remains constant
Integration is key to scale capacity in parallel systems
Both from a CAPEX and an OPEX point of view
TX
RX
TX
RX
TX
RX
Integration
Integration
108
THE PRICE FOR INTEGRATION IS CROSSTALK

HOW MUCH END-TO-END CROSSTALK IS ACCEPTABLE?
TX
SDM
ROADM
ROADM
TX
TX
RX
RX
MIMO
DSP
RX
[Winzer et al., ECOC 2011]
Ix
X-polarization
Jones matrix inversion
X-polarization
LeCroy
LabMaster 9 Zi
offline
processing
offline
processing
Y-polarization
Y-polarization
LeCroy
LabMaster 9 Zi
Ix
OSNR: Optical signal-to-noise ratio

MIMO: Multiple-input multiple-output
DSP: Digital signal processing
SDM: Space-division multiplexing
ROADM: Reconfigurable optical add/drop multiplexer
MIMO required
109
Small penalty
SPATIAL MULTIPLEXING USING MIMO

THREE ESSENTIAL INGREDIENTS
[Winzer and Foschini, Proc. OFC, OThO5 (2011)]
PBS
Fiber
PBS
Axxx + Axyy
Y-polarization
Signal 1
offline
ocessing
Ayxx + Ayyy
Signal 2
x
X-polarization
Y-polarization
X-polarization
LeCroy
LabMaster 9 Zi
Beam
Splitters
f2 FMF
Lenses
Mirror
[R. Ryf, et.al., JLT 30(4), 2012]

[N. Fontaine et al. ECOC 2012 (Th.2.D.6)]
EDFA
PC
SMF
port 2
LO
Phase
Plates
Pol-div.
90 deg
Hybrid
f1
PC
SMF
port 1
Ix
SMF
port 0
offline
processing
1. MIMO processing of all modes
w1,1
w1,2
w1,3
w1,4
w1,5
w1,6
w2,1
w2,2
w2,3
w2,4
w2,5
w2,6
w3,1
w3,2
w3,3
w3,4
w3,5
w3,6
w4,1
w4,2
w4,3
w4,4
w4,5
w4,6
w5,1
w5,2
w5,3
w5,4
w5,5
w5,6
w6,1
w6,2
w6,3
w6,4
w6,5
w6,6
640 Gb/s
ATT
OSNR
1 nm
OF
2. Coherent detection of any complete orthogonal set of modes

3. Selective excitation of any complete orthogonal set of modes
110
Aggregate spectral efficiency [b/s/Hz]
SPATIAL MULTIPLEXING USING MIMO

IMPRESSIVE RESULTS
[Takara, ECOC 2012]
90
80
70
60
[Liu, ECOC 2011]
50
40
[Gnauck, ECOC 2012]

[Sakaguchi, OFC 2012]
30
[Ryf, OFC 2013]
[Chandrasekhar, ECOC 2011]
20
[Takahashi, ECOC 2012]
10
10
100
1,000
10,000
111
MIMO-SDM IN FIBER DIFFERENCES TO WIRELESS
MT
MIMO channel N
0
+
+
MR
MIMO
Decoder
Potential addressability of all propagation modes (complete set)

Perturbed unitary channel (mode-dependent loss)
Fiber nonlinearity (likely to set per-mode power constraints)
High reliability requirements (99.999%), low outage probabilities (10-5)
Distributed noise (from optical amplifiers
RX TX feedback almost always impossible
Nonlinear MIMO signal processing ?
MIMO
Encoder
N0
MxM
Channel
matrix H
112
SELECTIVE MODE EXCITATION AND OUTAGE

WHAT IS CAUSING OUTAGE ?
MIMO
Decoder
MR
MIMO
Encoder
MT
MIMO channel N
0
+
N0
MxM
Channel
matrix H
[Winzer and Foschini, Optics Express, 2011]

113

QUANTIFYING OUTAGE
1. Generate 100,000 instantiations of random (unitary) matrices H
MIMO channel N
0
MR
MIMO
Encoder
MT
Per-mode power limitation
MIMO
Decoder
Relative frequency
2. Calculate MIMO capacity for each matrix
10
10
10
10
10
-1
-2
-3
-4
-5
MIMO capacity
(Multiples of a single mode)
N0
MxM
Channel
matrix H
[Antonelli et al., Optics Express, 2013]

[Ryf et al., OFC 2013, PD]

114

QUANTIFYING OUTAGE
1. Generate 100,000 instantiations of random (unitary) matrices H
Per-mode power limitation
3. Integrate statistics to get outage

1
Outage probability
(Probability that
channel does not
support target
capacity Ct )
Relative frequency
2. Calculate MIMO capacity for each matrix
10
10
10
10
10
-1
-2
-3
-4
-5
2
Ct
MIMO capacity
(Multiples of a single mode)
10
-1
10
-2
10
-3
10
-4
10
-5
MIMO capacity Ct
115

MATCHING TRANSPONDERS AND FIBER MODES
Capacity CT / CS
100
10
1
No crosstalk
64-mode fiber
10 modes addressed
4
M = 128
0.1
SNR = 20 dB
10-4 outage
0.01
1
10
100
Transponder modes (MTR)
Severe capacity penalties for exciting just a subset of modes

Strong mode coupling Match transponder and fiber modes
[R. Dar et al., Trans. Inf. Theory, 2013]
116
OUTAGE AND AVERAGE BIT ERROR RATIOS

QUANTITATIVE RESULTS
BER for different

channel realizations
-2
10
Outage
Probability
Average BER
-3
BER
10
BER
Threshold
Unperturbed
-4
10
SNR penalty
-5
10
7.5
8.5
SNR (dB)
[K. Guan et al., Photon. Technol. Lett. (2014)]
117
90
0.05
0.1
Probability Density
OUTAGE AND AVERAGE MIMO PERFORMANCE

IMPLICATIONS OF A STOCHASTIC CHANNEL MATRIX
Probability density
Frequency-flat channel
10
10
10
-1
10
-2
BERmax
BER
BER
BER
BER
BERth
f
t
Rapidly frequency-varying channel

BER
BERth
BER
BER BERmin
BER
BER
BERth
f
t
[Ho and Kahn, J. Lightwav Technol., 3719 (2011)]
Pre-FEC BER
BER =
1
N
S BER
i=1
[B. Wedding et al., Proc. OFC, WAA1 (2001); X. Liu et al., Photon. Technol. Lett. 17, 1109 (2005).]
118
OUTAGE AND AVERAGE MIMO CAPACITIES
IMPLICATIONS OF A STOCHASTIC CHANNEL MATRIX
Probability density
Frequency-flat channel
C, BER
10
10
10
-1
10
-2
C, BER
C, BER
BER
BERth
f
t
Rapidly frequency-varying channel

C, BER
BERmax
BER BERmin
BERth
C, BER
C, BER
BER
BERth
f
t
Pre-FEC BER
1
CT / CS
C=
CA / CS 2
MIMO Capacity C/CS
1
N
SC
i=1
[L. H. Ozarow et al., Trans. Vehic. Tech. 43, 359 (1994); E. Bilgeri et al., Trans. Inf. Theory 44, 2619 (1998)]
119
OUTAGE OR AVERAGE MIMO CAPACITIES

ARE THE CAPACITIES MUCH DIFFERENT ?
Outage capacities
Average capacities
10
1
0.1
100
Capacity CA / CS
Capacity CT / CS
100
No crosstalk
M = 128
SNR = 20 dB
10-4 outage
0.01
1
10
100
10
1
No crosstalk
4
M = 128
0.1
SNR = 20 dB
Average cap.
0.01
1
10
100
[Winzer, Randel, Ryf, Optical Fiber Telecommunications VI, Chapter 10, 2013]
120
SMF
port 1
Beam
Splitters
f1
f2
FMF
Phase
Plates
SMF
port 2
Lenses
Mirror
LP01 X-pol
LP01 Y-pol
LP11a X-pol LP11a Y-pol LP11b X-pol LP11b Y-pol
Phase
SMF
port 0
Intensity
HOW TO PERFORM SELECTIVE EXCITATION

UNITARY TRANSFORM INTO (ANY COMPLETE) BASE
[R. Ryf, et.al., JLT 30(4), 2012]
[H. Blow et al., ECOC2011 (Tu.5.B);

N. Fontaine et al. ECOC 2012 (Th.2.D.6)]
[R. Ryf et al., PTL, 1973 (2012); C. R. Doerr et al., PTL, 597 (2011)]
121
OA
SDM
ROADM
OA
Splice
Spatial superchannel
Coh
Spectral superchannel
Space
Space
OA
SDM Demux
Fiber Span
Coh
SDM Demux
Mod
WDM Mux
Mod
Spatial Superchannel
WDM Demux
Coding
&
TX-DSP
Mod
SDM Mux
Coding
&
TX-DSP
Mod
SDM Mux
GENERIC SDM SYSTEM ARCHITECTURE

SPATIAL SUPERCHANNELS NEEDED FOR MIMO
Wavelength
122
Wavelength
Coh
Coh
RX-DSP
&
Dec.
RX-DSP
&
Dec.
OA
SDM
ROADM
OA
Splice
OA
SDM Demux
Fiber Span
Coh
SDM Demux
Mod
WDM Mux
Mod
WDM Demux
Coding
&
TX-DSP
Mod
SDM Mux
Coding
&
TX-DSP
Mod
SDM Mux
GENERIC SDM SYSTEM COMPONENTS

PHYSICAL IMPAIRMENTS
Coh
Coh
Coh
RX-DSP
&
Dec.
RX-DSP
&
Dec.
SDM Mux/Demux:
Insertion loss
Imperfect orthogonality (crosstalk)
Network elements (ROADMs):

Mode-dependent loss
Imperfect orthogonality (crosstalk)
Fiber span, splices:

Mode coupling
Mode-dependent loss
Differential modal delays
Optical Amplifiers:
Mode-dependent gain
Mode-dependent noise
Distributed noise loading
123
OA
OA
Splice
MIMO channel
MIMO
TX
SDM
ROADM
OA
L1
N1,1
N2,1
NK,1
L2
H1
LK
H2
N1,M
N2,M
Fiber Span
124
SDM Demux
Fiber Span
Coh
SDM Demux
Mod
WDM Mux
Mod
WDM Demux
Coding
&
TX-DSP
Mod
SDM Mux
Coding
&
TX-DSP
Mod
SDM Mux
GENERIC SDM SYSTEM ABSTRACTION

MATRIX CONCATENATION WITH DISTRIBUTED NOISE
Coh
Coh
Coh
MIMO
RX
HK
+
NK,M
RX-DSP
&
Dec.
RX-DSP
&
Dec.
OA
SDM
ROADM
OA
Splice
OA
SDM Demux
Fiber Span
Coh
SDM Demux
Mod
WDM Mux
Mod
WDM Demux
Coding
&
TX-DSP
Mod
SDM Mux
Coding
&
TX-DSP
Mod
SDM Mux
RECEIVER DEMULTIPLEXER
MATRICES AFTER NOISE ADDITION DONT COUNT
Coh
Coh
Coh
RX-DSP
&
Dec.
RX-DSP
&
Dec.
NK,1
+
MIMO
TX
HK
MIMO
RX
+
NK,M
Matrices after noise addition can (in principle) be fully inverted by the RX
125
OA
SDM
ROADM
OA
Splice
OA
SDM Demux
Fiber Span
Coh
SDM Demux
Mod
WDM Mux
Mod
WDM Demux
Coding
&
TX-DSP
Mod
SDM Mux
Coding
&
TX-DSP
Mod
SDM Mux
RECEIVER MULTIPLEXER
MATRICES BEFOR NOISE ADDITION DO COUNT
Coh
Coh
Coh
NK,1
+
MIMO
TX
L1
MIMO
RX
H1
+
NK,M
126
RX-DSP
&
Dec.
RX-DSP
&
Dec.
NK,1
+
MIMO
TX
L1
MIMO
RX
H1
+
NK,M
127
NK,1
+
MIMO
TX
L1
MIMO
RX
H1
+
Unitary
NK,M
Decompose matrix as
L UDV
Diagonal
Mode-average insertion loss
l1
lM
Mode-dependent loss (MDL)
Other MDL definition in use:

Use a definition that is
Easily measurable, can be specified and can be standardized
Makes statements on system performance
128
EXAMPLE DEVICE PERFORMANCE

CHARACTERIZING A SPOT-BASED MODE MULTIPLEXER
10
MDL (dB)
Accessible
design
space
6
4
2
4
6
CIL (dB)
[Ryf et.al. IEEE Summer Topicals 2012, TuC3.2 ]

129
10
EXAMPLE SYSTEM PERFORMANCE

CHARACTERIZING A MODE MULTIPLEXER
MIMO capacity
Isolated
crosstalk
0.8
Random
crosstalk
Distributed
crosstalk
0.6
0.4
M = 10
0.2 SNR = 20 dB
-20
-10
0
SDM-Mux crosstalk [dB]
Distributed crosstalk
130
Isolated crosstalk
EXAMPLE SYSTEM PERFORMANCE

CHARACTERIZING A MODE MULTIPLEXER
Isolated
crosstalk
0.8
Random
crosstalk
Distributed
crosstalk
0.6
0.4
M = 10
1
MIMO capacity
MIMO capacity
0.2 SNR = 20 dB
-20
-10
0
SDM-Mux crosstalk [dB]
Isolated
crosstalk
0.8
0.6
Distributed
crosstalk
0.4
Random
crosstalk
M = 10
0.2 SNR = 20 dB
1 2
5 10 20 50
SDM-Mux MDL [dB]
Neither crosstalk nor MDL and IL fully describe system impact of multiplexer
Physics of coupling mechanism remains important
Approximate statement: ~10 20 dB of MDL for 10% capacity penalty
131
OA
SDM
ROADM
OA
OA
Splice
MIMO channel
SDM Demux
Fiber Span
Coh
SDM Demux
Mod
WDM Mux
Mod
WDM Demux
Coding
&
TX-DSP
Mod
SDM Mux
Coding
&
TX-DSP
Mod
SDM Mux
CONCATENATED MDL ELEMENTS

WITHOUT ACCOUNTING FOR DISTRIBUTED NOISE
Coh
Coh
Coh
N0
+
MIMO
TX
L1
H1
L2
H2
LK
MIMO
RX
HK
+
N0
Segment
132
RX-DSP
&
Dec.
RX-DSP
&
Dec.

MIMO channel
N0
+
MIMO
TX
L1
H1
L2
H2
LK
MIMO
RX
HK
+
N0
Segment
133

MIMO channel
N0
+
MIMO
TX
L LS
H1
L2
H2
LK
MIMO
RX
HK
+
N0
Matrix concatenation (K segments)
134

MIMO channel
N0
+
MIMO
TX
L LS
H1
H2
MIMO
RX
HK
+
N0
MDLseg,dB = 1 dB
10x
10x
Log(PDF)
10x
Log(PDF)
Log(PDF)
MDLseg,dB = 2 dB
MDLseg,dB = 5 dB
0.95
1
1.05
0.8
1
1.2
Mode-average loss (LS) Mode-average loss (LS)
0.5 1
2.5
Mode-average loss (LS)
Full uniformly random mode coupling, M=16, K=64

135
(a ~ 10-3)

MIMO channel
N0
+
MIMO
TX
L LS
H1
H2
MIMO
RX
HK
+
N0
Constant signal
power per mode
(a ~ 10-3)
136

MIMO channel
N0
+
MIMO
TX
L LS
H1
H2
MIMO
RX
HK
+
N0
Capacity at 10-4 outage

(CT / MCS)
0.8
SNR = 20 dB
0.6 M = 128, 32, 16, 8

0.4
0.2
1 2
5 10 20 50
Average system MDL [dB]
137

MIMO channel
N0
+
MIMO
TX
L LS
H1
H2
MIMO
RX
HK
+
N0
0.8
1
Average capacity
(CA / MCS)

(CT / MCS)
SNR = 20 dB
0.6 M = 128, 32, 16, 8

0.4
0.2
0.8
SNR = 20 dB
0.6 M = 128, 32, 16, 8

0.4
0.2
1 2
5 10 20 50
1 2
5 10 20 50
138
DISTRIBUTED AMPLIFIER NOISE

DEFINITIONS AND ASSUMTIONS ARE IMPORTANT
MIMO channel
MIMO
TX
L1
N1,1
N2,1
NK,1
L2
H1
LK
H2
HK
N1,M
N2,M
NK,M
rt =
MIMO
RX
M E0 L
N0
Constant signal
power per fiber
139
EXAMPLE MULTIPLY SPLICED FIBER LINK

THERE ARE ~1000 SPLICES ON A LONG-HAUL LINK
512 splices, 10-4 outage probability
[S. Warm and K. Petermann, Opt. Ex. 519 (2013)]

140
OA
OA
Splice
MIMO channel
MIMO
TX
SDM
ROADM
OA
L1
N1,1
N2,1
NK,1
L2
H1
LK
H2
HK
N1,M
N2,M
NK,M
Fiber Span
141
SDM Demux
Fiber Span
Coh
SDM Demux
Mod
WDM Mux
Mod
WDM Demux
Coding
&
TX-DSP
Mod
SDM Mux
Coding
&
TX-DSP
Mod
SDM Mux
GENERIC SDM SYSTEM ABSTRACTION

EFFECTS OF DISTRIBUTED AMPLIFIER NOISE
Coh
Coh
Coh
MIMO
RX
RX-DSP
&
Dec.
RX-DSP
&
Dec.

SPATIAL NOISE CORRELATION
Spatial noise correlation

MIMO channel
MIMO
TX
L1
N1,1
N2,1
NK,1
L2
H1
LK
H2
HK
N1,M
N2,M
NK,M
Fiber Span
142
MIMO
RX

SPATIAL NOISE CORRELATION
MIMO channel
MIMO
TX
L1
N1,1
N2,1
NK,1
L2
H1
LK
H2
HK
N1,M
N2,M
NK,M
Fiber Span
Spatial noise correlation
If segment matrices are unitary:
143
MIMO
RX

SPATIAL NOISE WHITENING FILTER
MIMO channel
MIMO
TX
L1
N1,1
N2,1
NK,1
L2
H1
LK
H2
HK
N1,M
N2,M
NK,M
Equiv channel N0
MIMO
RX
MIMO receiver
+
MIMO
TX
G-1 HS
G-1
G
+
MIMO
RX
N0
Spatial noise whitening filter
144

NOISE LOADING AT TRANSMITTER IS BEST
MIMO channel
Average MIMO capacity
MIMO
TX
L1
N1,1
N2,1
NK,1
L2
H1
HK
N1,M
N2,M
NK,M
Noise
TX
M = 32
K = 32
0.8 SNR = 20 dB
nd
3 1st 2
0.6
LK
H2
th
MIMO
RX
[Winzer et al. JLT 2010]
Filter before noise loading

Filter after noise loading
Evenly distr. noise
0.4
Noise at RX
0.2
0
0.4 0.6 0.8 1.0 1.2 1.4 1.6 1.8 2.0
Filter bandwidth / Symbol rate
1 2
5 10 20 50
Total system MDL [dB]
145

~10 dB SYSTEM MDL FOR 10% CAPACITY PENALTY
MIMO channel
L1
N2,1
NK,1
L2
H1
LK
H2
+
N1,M
N2,M
NK,M
1
0.8
HK
MIMO
RX
1
SNR = 20 dB
0.6 M = 128, 32, 16, 8

0.4
Average capacity
(CA / MCS)

(CT / MCS)
MIMO
TX
N1,1
0.2
0.8
SNR = 20 dB
0.6 M = 128, 32, 16, 8

0.4
0.2
1 2
5 10 20 50
1 2
5 10 20 50
146
Security in MIMO systems
147
SECURE TRANSMISSION
EVERYBODY SHOULD BE INTERESTED
Secret Message
Alice
Eve (Eavesdropper)
HOW CAN SDM HELP ?

148
Bob
DOES TAPPING REDUCE SPATIAL INFORMATION?

VARIOUS MEASURES OF SDM SECURITY
[S. K. Miller,
Inf. Sec. Mag.,
November 2006]
Secrecy and equivocation

Rate/distortion analysis
Computational security
Mode dependent loss (MDL) from eavesdropping

Detect an eavesdropper
Achieve provable security against physical layer attacks
Increase secure data rates
Need to understand both sides of the coin
How secure can an SDM waveguide be?
How can an SDM waveguide be wire-tapped?
149
INFORMATION-THEORETIC SECURITY
Information-theoretic security (strictest notion of
security, similar to quantum key distribution, QKD):
Secrecy (equivocation) is the eavesdroppers uncertainty

(entropy) of the source message given the received signal
Secrecy capacity is the maximum amount of information

that can be sent to a legitimate receiver while ensuring
that zero information can be intercepted by an
eavesdropper
[1] A. D. Wyner, Bell Syst. Tech. J., vol. 54, 1355(1075).

[2] S. K. Cheong, et. al., IEEE Trans. Inf. Theory, vol. 24, 451(1978).
150
System Model (I) - MIMO Channel
Channel between Alice-Bob
Channel between Alice-Eve
Mode-average gain
(loss)
We assume that H is known only to legitimate receiver. No channel

side information (CSI) at the transmitter.
Eavesdropper knows He at the receiver
151
MIMO-SDM CHANNEL DYNAMICS

3 RESULTING DEFINITIONS OF SECRECY CAPACITY
-1
Probability Density
10
-2
10
Slow-varying frequency-flat
Interception
Probability
Average
Outage
Guaranteed
-3
10
Interception-free
0.5
Frequency-selective
Average Secrecy Capacity
Guaranteed
Secrecy Capacity
Outage Secrecy Capacity
-4
10
Cs
Cs
Cs
1.5
Average
Outage
Guranteed
Cs
Secrecy Capacity (normalized to C )

o
H and He are unknown at the transmitter

Trade-off between information rate and security
Guaranteed secrecy capacity
Outage secrecy capacity
Average secrecy capacity
152
Cs
Cs
f
t
MIMO-SDM MAY GIVE VERY HIGH, SECURE BIT RATES

(A SINGLE SPATIAL PATH CAN BE 100 TB/S!)
Secrecy Capacity
[% of single spatial path]
1000
100
M=4
M=8
M=16
M=32
M=64
10
1
5
10
15
20
25
MDL (dB)
[K. Guan et al., Proc. ECOC 2012]

[K. Guan et al., Asilomar 2012]
[K. Guan et al., IEEE Trans. Inf. Sec. For. (2015)]
153
30
35
40
SOME FURTHER READING

(WHERE MOST OF THE MATERIAL IN HERE IS FROM)
Modulation and multiplexing in optical communications:
P. J. Winzer et al., Advanced optical modulation formats, in Optical Fiber Telecommunications V, I. Kaminow
et al. (eds.), Elsevier (2008).
P. J. Winzer et al., Advanced optical modulation formats, Proc. IEEE 94(5), 952-985 (2006).
P. J. Winzer, Modulation and multiplexing in optical communication systems, IEEE/LEOS Newsletter, February
2009, http://photonicssociety.org/newsletters/feb09/modulation.pdf
R.-J. Essiambre et al., Capacity limits of optical fiber networks, J. Lightwave Technol. 28(4), 662-701 (2010).
P. J. Winzer, Beyond 100G Ethernet, IEEE Comm. Mag. 48(7), 26-30 (2010).
P. J. Winzer, High-spectral-efficiency optical modulation formats, J. Lightwave Technol. 20(26), 3824-3835
(2012).
X. Liu et al., Digital signal processing techniques enabling multi-Tb/s superchannel transmission, IEEE Signal
Processing Magazine 31(2), 16-24 (2014).
Spatial multiplexing and MIMO-SDM:
P. J. Winzer et al., Spatial multiplexing using multiple-input multiple-output signal processing, in Optical Fiber
Telecommunications VI, I. Kaminow, T. Li, and A. Willner (eds.), Elsevier (2013).
P. J. Winzer, Optical networking beyond WDM, IEEE Phot. J. 4(2), 647-651 (2012).
P. J. Winzer, Making spatial multiplexing a reality, Nature Photonics 8, 345-348 (2014).
P. J. Winzer, Spatial multiplexing in fiber optics: The 10x scaling of metro/core capacities, Bell Labs Tech. J.
19, 22-30 (2014).
P. J. Winzer and G. J. Foschini, MIMO capacities and outage probabilities in spatially multiplexed optical
transport systems, Optics Express 19(17), 16680-16696 (2011).
K. Guan et al., BER performance of MDL-impaired MIMO-SDM systems with finite constellation inputs, Photon.
Technol. Lett. 26(12), 1223-1226 (2014).
K. Guan et al., Secrecy Capacities in Space-Division Multiplexed Fiber Optic Communication Systems, IEEE
Trans. Information Security and Forensics (2015).
154
Thank you!
155

Tutorial Optical Transmission Systems Peter J Winzer

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Optic Communication Systems

For Non-Optical Communications Engineers

COPYRIGHT 2015 ALCATEL-LUCENT. ALL RIGHTS RESERVED.

Univ. Tel Aviv

AND MANY OTHERS

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The role of optics in data networks

Optical modulation and detction techniques

The role of optics

COPYRIGHT 2015 ALCATEL-LUCENT. ALL RIGHTS RESERVED.

MASSIVE TRAFFIC GROWTH

[R.W.Tkach, Bell Labs Tech. J., 2010]

MASSIVE TRAFFIC GROWTH

[P.J.Winzer, Proc. ECOC, 2010]

Top 500 Supercomputers

TRAFFIC GROWTH VARIATIONS: 20% TO 90%

[P. J. Winzer, Bell Labs Tech. J., 2014]

DATA NETWORKING INFRASTRUCTURE

WHY OPTICAL COMMUNICATIONS?

[P. J. Winzer et al., Proc. IEEE 94, 952-985 (2006)]

High data rates

Fiber to the home

Aggregate link capacity

WHY OPTICAL COMMUNICATIONS?

WHY OPTICAL COMMUNICATIONS?

Divergence in free space

E.g., 200 THz instead of 20 GHz

Today: < 0.2 dB / km

COPYRIGHT 2015 ALCATEL-LUCENT. ALL RIGHTS RESERVED.

TELECOMMUNICATIONS BEFORE FIBER-OPTICS

COPYRIGHT 2015 ALCATEL-LUCENT. ALL RIGHTS RESERVED.

FIBER VS. COPPER - A CLEAR BUSINESS CASE

For 6x less in cable diameter,

OPTICAL NETWORKS: WORKHORSE OF THE INTERNET

(e.g., 100 Gbit/s)

(e.g., 80 x 100 Gbit/s) Spectral efficiency (SE) in [b/s/Hz]:

Increase per-wavelength interface rate

Serial Interface Rates and WDM Capacities

HIGH-SPEED OPTICAL INTERFACES

200G optical line interfaces are now available

HIGH-CAPACITY WDM SYSTEMS

Extrapolated availability requirement

COPYRIGHT 2015 ALCATEL-LUCENT. ALL RIGHTS RESERVED.

Serial Interface Rates and WDM Capacities

HIGH-CAPACITY WDM SYSTEMS

WDM systems available up to ~10 to 20 Tb/s

HIGH-CAPACITY WDM SYSTEMS

Extrapolated availability requirement

COPYRIGHT 2015 ALCATEL-LUCENT. ALL RIGHTS RESERVED.

Serial Interface Rates and WDM Capacities

HIGH-CAPACITY WDM SYSTEMS

WDM systems available up to ~10 to 20 Tb/s

COPYRIGHT 2015 ALCATEL-LUCENT. ALL RIGHTS RESERVED.

NOISE FROM OPTICAL AMPLIFIERS

[R.-J. Essiambre et al., J. Lightwave Technol. (2010)]

Amplified spontaneous emission (ASE)

COPYRIGHT 2015 ALCATEL-LUCENT. ALL RIGHTS RESERVED.

NOISE FROM OPTICAL AMPLIFIERS

G amplifier gain = span loss

Amplified spontaneous emission (ASE)

COPYRIGHT 2015 ALCATEL-LUCENT. ALL RIGHTS RESERVED.

NOISE FROM OPTICAL AMPLIFIERS

[R.-J. Essiambre et al., J. Lightwave Technol. (2010)]

Amplified spontaneous emission (ASE)