5546
17, SEPTEMBER 1, 2023
Optical MIMO Communication Based on Joint
Control of Base Station and OPA-Type OIRS
Haibo Wang , Member, IEEE, Zaichen Zhang , Senior Member, IEEE, Bingcheng Zhu , Senior Member, IEEE,
Jian Dang , Senior Member, IEEE, and Liang Wu , Senior Member, IEEE
Abstract—As a new type of optical communication device, the
optical intelligent reflecting surface (OIRS) can reflect, shape and
split optical signals in real time, and is expected to expand the
application scenarios of optical wireless communication. However,
in the existing research, a single OIRS cannot support optical mul-
tiple input multiple output (MIMO) communication since OIRS
performs the same modulation on all incident light. In this article,
we propose an optical MIMO communication system based on
joint control of base station and optical phased array (OPA)-type
OIRS. The communication system utilizes the OPA-type OIRS’s
characteristic of superimposing the input optical phase and the
OIRS’s phase to implement a joint beam control scheme of the
base station and the OIRS, thereby realizing optical MIMO com-
munication with a single OIRS. Considering the OIRS’s physical
model, pointing error, atmospheric turbulence and attenuation, our
work establishes the mathematical model of the optical MIMO
communication system, and derives the closed-form expression
of the probability density function (PDF) of the channel fading,
asymptotic outage probability and bit error rate (BER) for the first
time. Experiments and simulations are built to verify the feasibility
and accuracy of our system model and theoretical derivation, which
proves that our results are consistent with the actual system.
Index Terms—Optical intelligent reflecting surface, multiple
input multiple output, optical phase superposition, pointing error,
atmospheric turbulence.
I. INTRODUCTION
PTICAL intelligent reflecting surfaces (OIRS), as a new
O type of passive programmable optical communication de-
vices, have attracted extensive attention [1], [2], [3], [4]. OIRSs
are set up in free space. By adjusting the direction, amplitude,
phase, and shape of the incident beam, OIRS can achieve beam
deflection, focusing and splitting, multi-beam power allocation,
Manuscript received 18 July 2022; revised 8 January 2023, 16 February 2023,
and 25 March 2023; accepted 31 March 2023. Date of publication 5 April 2023;
date of current version 4 September 2023. This work was supported in part by
the National Key R & D Program of China under Grants 2018YFB1801101
and 2020YFB1806603, in part by NSFC Projects under Grants 61960206005,
61803211, 61971136, and 62171127, in part by the Fundamental Research
Funds for the Central Universities under Grant 2242022k30001, and in part by
the Research Fund of National Mobile Communications Research Laboratory.
(Corresponding author: Zaichen Zhang.)
The authors are with the National Mobile Communications Research Labo-
ratory, Frontiers Science Center for Mobile Information Communication and
Security, Southeast University, Nanjing 210096, China, and also with the
Purple Mountain Laboratory, Nanjing 211111, China (e-mail: haibowang@
seu.edu.cn; zczhang@seu.edu.cn; zbc@seu.edu.cn; dangjian@seu.edu.cn;
wuliang@seu.edu.cn).
Color versions of one or more figures in this article are available at
https://doi.org/10.1109/JLT.2023.3264625.
Digital Object Identifier 10.1109/JLT.2023.3264625
0733-8724 © 2023 IEEE. Personal use is permitted, but republication/redistribution requires IEEE permission.
See https://www.ieee.org/publications/rights/index.html for more information.
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JOURNAL OF LIGHTWAVE TECHNOLOGY, VOL. 41, NO.
user tracking, etc. [5], [6], [7], [8]. The application of OIRS
expands the scenario of optical wireless communication, espe-
cially free space optics (FSO) communication. OIRS itself can
establish an optical communication link different from the direct
path, which can be used as an alternative link when the direct path
is blocked. The function of OIRS’s beam deflection in real time
can support the mobility of users [9], [10], while the function of
beam splitting can support multi-user communication [6], [11],
[12], which is a promising direction of development for optical
communication.
However, in the existing OIRS-assisted optical wireless com-
munication system, the functions of beam control are all un-
dertaken by the OIRS. The base station is only responsible for
sending the optical signal to one or more OIRSs. However,
OIRS is different from relays, which do not have the ability
to receive and process signals [10], [13], [14]. If the closed-loop
control of the system needs to be realized, the system must
establish a communication link between the OIRS and the base
station, and the OIRS needs to set up a signal receiving and
processing module, which wastes a lot of resources and loses
the OIRS’s advantages of low latency and cost. The base station
itself needs to receive the uplink signal and process it, so as
to obtain the current status of the user. We need to control the
output beam at the base station without establishing an additional
communication link between the base station and the OIRS.
Therefore, this paper proposes an optical multiple input mul-
tiple output (MIMO) communication system based on joint con-
trol of base station and optical phased array (OPA)-type OIRS.
Due to the strong directivity of optical signals and the difficulty
for PDs to distinguish signals from different sources, in this
system we separately send the signals over FSO links and sepa-
rately decode them. In the existing research, most optical MIMO
systems also use the working method of separately sending the
signals over FSO links and separately decoding them, which is
determined by the characteristics of the optical signal [15], [16],
[17], [18]. These studies also refer to such systems as optical
MIMO, which is conceptually different from MIMO in the radio
frequency band. Therefore, we believe that the system in this
paper is not only a multi-link system, but can be regarded as
an optical MIMO system, which is consistent with the existing
research and has a certain rationality [16], [17], [19]. The base
station adjusts the position of the output beam by adding a phase
offset to the input signal, which superimposes and interferes
with the phase distribution of the OPA-type OIRS. Based on this
method, the base station can adjust the output beam position, and
 WANG et al.: OPTICAL MIMO COMMUNICATION BASED ON JOINT CONTROL OF BASE STATION AND OPA-TYPE OIRS
realize optical MIMO diversity transmission and multi-beam
real-time switching. In this system, the base station transmits
multiple beams with different phase offsets to the OIRS. Then
the beams are reflected by the OIRS to reach multiple receivers
with different orientations and positions. The base station can
adjust the input phase offset of the optical beam according to the
channel states, and switch the optical beam with poor channel
state to a better channel, thereby improving the performance of
the system. Conventional MIMO systems set up precoding and
decoding of beamforming based on the channel state information
(CSI) so that the RF beam can be focused on a specific user. In
this system, as we are using an optical signal, whose directivity
is good, this type of precoding is replaced by a phase shift su-
perimposed on the optical signal. Our system achieves the effect
of different sources pointing to different PDs by superimposing
phase offsets on the optical signals and using the interaction be-
tween different phase optical signals and the OIRS, which works
in the same way as the beamforming precoding in conventional
MIMO systems. In addition to the beamforming precoding, the
space-time coding (STC) technique enables the MIMO system
to transmit one combined signal which will be separated later at
the decoder [19], [20], [21], [22]. It aims to use MIMO antenna
systems to improve transmission quality, reduce BER and obtain
higher coding and diversity gains, thereby increasing system
capacity and spectrum utilisation. The three common STC
schemes used in MIMO wireless communications are Layered
Space-Time Codes (LST), Space-Time Lattice Codes (STTC)
and Space-Time Packet Codes (STBC). In different scenarios,
we can use different STC approaches to improve the system
performance.
Unlike traditional optical MIMO systems, the position of the
beam in this system is not fixed, which can be flexibly adjusted
according to the actual situation [15], [16], [17]. The base station
can switch the MIMO channel by adjusting the phase of the
optical signal to direct the beam to different receivers. OIRS can
also adjust its phase distribution for beam deflection to move
the output beam with the target. Unlike OIRS-assisted FSO
systems [23], due to the multiple-transmission and multiple-
reception operating mode used by both the transmitting and
receiving ends in this system, that is, the base station has multiple
sources and the user has multiple receivers, the performance of
the system has been improved compared with the single-source
single-receiver mode in the OIRS-assisted FSO system. Our
system can realize multi-beam parallel transmission with a
single OIRS and the base station can also control the OIRS’s
output beam, which increases communication rate and freedom
of beam control [4], [24], [25]. Compared with OIRS-assisted
multilink FSO system [26], our system uses different types of
OIRSs used and corresponding algorithms, while the mirror-
array type OIRS is used in [26]. Through different light sources
illuminating different mirror units on the OIRS, the function of
beams from different light sources pointing to different PDs is
realized. Our system uses an OPA-type OIRS, which uses the
diffraction between the input beams of different phases and the
OIRS to realize that the beams from different light sources point
to different PDs. Therefore, our system does not require beams
from different light sources to illuminate different OIRS units.
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5547
All the beams in our systems can be irradiated on the OIRS. In the
reference, different light sources are required to illuminate the
corresponding unit of OIRS, so the corresponding pointing sys-
tem and algorithm need to be designed at the base station, which
is not necessary in our system. Compared with multiple OIRSs-
assisted optical MIMO systems, our system saves resources of
OIRS and space, and makes full use of the optical phase [6],
[27]. In incoherent communications, the optical phase is not used
since intensity modulation is employed by incoherent receivers
without phase modulation and detection [28]. However, in our
system, the optical phase is fully used as the information bit
for beam control by the base station, and does not occupy other
resources in the original communication system. Considering
that the base station has limited phase modulation capability for
optical signals, in the application scenario we designed, the base
station is only responsible for signal switching among multiple
receivers. In this scenario, the transmitted signal only needs to
be switched among several fixed phase offsets, and the base
station does not need to continuously modulate the phase. The
contributions of this paper are as follows:
1) This paper designs an optical MIMO communication sys-
tem based on joint control of base station and OPA-type
OIRS. The communication system utilizes the OPA-type
OIRS’s characteristic of superimposing the input optical
phase and the OIRS’s phase to implement a joint beam
control scheme of the base station and the OIRS, thereby
realizing optical MIMO communication with a single
OIRS.
2) Considering the OIRS’s physical model, pointing error,
atmospheric turbulence and attenuation, our work estab-
lishes the mathematical model of the OIRS-assited optical
MIMO communication system, and derives the closed-
form expression of the probability density function (PDF)
of the channel fading, asymptotic outage probability and
bit error rate (BER) for the first time.
3) In this paper, both optical experiments and simulations are
built to verify the feasibility and accuracy of our system
model and theoretical derivation. According to the exper-
imental and simulation results, the mathematical model
and theoretical derivation in this paper are consistent with
the actual system.
The rest of this paper are organized as follows. Section II
introduces our system model and proposes a theoretical
derivation for adjusting OIRS output beam’s position
with input phase offset. Meanwhile, in Section II, we
analyze the channel fading of the optical MIMO system.
In Section III, we derive the closed-form expression for
system’s asymptotic outage probability and BER. Sec-
tion IV shows some numerical results. Section V draws
conclusion.
II. SYSTEM MODEL
Fig. 1 is a schematic diagram of an optical MIMO com-
munication system based on joint control of base station and
OPA-type OIRS. It is assumed that the base station contains N
optical transmitters, corresponding to the N optical receivers
 5548
Fig. 1. Schematic diagram of an optical MIMO communication system based
on joint control of base station and OPA-type OIRS.
of the user. The optical receiver can be implemented by the
photo-diode (PD). In this system, as the beams from different
sources are reflected by OIRS and directed to the specific PD,
that is, there is a one-to-one correspondence between source
and PD, the user does not discriminate between the information
from different sources by means of decoding crosstalk, unlike
in conventional RF-MIMO systems. All transmitters of the base
station send optical signals to the same OIRS. Since the optical
signals from different transmitters contain different phase off-
sets, the positions of the output beams after interference with
the OIRS are different. We jointly adjust the phase offset of the
transmitted optical signal and the OIRS phase distribution, so
that the optical signal output from each transmitter is aligned
with the corresponding PD. In this system, the optical signal
received by the OIRS yo can be expressed as

N
yo = hsn ,o sn ejϕn ,
n=1
where hsn ,o is the channel fading from source n to OIRS, sn is
the optical signal transmitted by the source n. We utilize intensity
modulation direct detection (IM/DD) with on-off keying (OOK)
modulation in this system and sn = 0 or 2Pn , where Pn is the
transmitted optical power at the source n. ejϕn is the phase
offset added by the base station to the optical signal, which can
be a two-dimensional spatial phase distribution. Then the optical
signal received by the user n can be expressed as

N
yr = βn,m hsn ,o ho,rn αn sn
n=m=1

N 
N
+ βn,m hsn ,o ho,rm αm sn + nr ,
n=1 m=1,m=n
where αm represents the optical power efficiency of the OIRS
as the output beam is directed to the receiver m, which is related
to the deflection angle of the OIRS’s output beam; ho,rm is
the channel fading between OIRS and receiver m; nr is the
Gaussian white noise of the user with a variance of σn2 r ; βn,m is
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JOURNAL OF LIGHTWAVE TECHNOLOGY, VOL. 41, NO. 17, SEPTEMBER 1, 2023
the channel selection parameter, which indicates which receiver
the source sends the signal to; In the initial setup, each source
has its corresponding receiver, for example, source n sends a
signal to receiver n. However, as the channel state changes, the
base station can adjust the phase offset of the optical signal to
send the signal source to other receivers, so as to optimize the
system performance. βn,m has the following restrictions:
βn,m = 0 or 1

N
βn,m = 1 (3)
m=1

In (2), N n=m=1 βn,m hsn ,o ho,rn αn sn indicates that the source
sends
 a signal to the corresponding user, that is, m =
n. N n=1
N
m=1,m=n βn,m hsn ,o ho,rm αm sn indicates that the
source sends a signal to a non-corresponding user, that is, the
case where m = n. From (2) and (3), we can observe that in
this system each PD will receive signals from other sources.
Although these signals are interfering signals for a particular
PD, the PD can use them to detect the signal, monitor the
channel and assist in localisation. Firstly, as the sources are
located adjacent to each other, when the PD receives signals from
other sources, the relative position of the PD can be determined
based on the strength of the signals from the other sources, and
thus detecting the position of the corresponding signal. The
receiver can provide feedback on the current signal reception
via the uplink to the base station, which in turn ensures that
the corresponding signal can be aligned with each PD through
the joint control of the phase shift of the input optical signal and
OPA. Secondly, there is a high degree of correlation between the
channels of different sources, so the channel state information
(CSI) of the MIMO system can be determined based on the
interference from other sources, and thus a reasonable allocation
of resources can be made based on this information. Thirdly, we
(1) can also use special coding methods so that the information
transmitted by neighbouring sources is correlated, so that the
PD can obtain useful information from the received interfering
signal or perform signal error correction.
A. Theoretical Derivation for Adjusting OIRS Output Beam’s
Position With Input Phase Offset
The principle of the OPA is based on the light interference
with different phases. When optical signals with different phase
shifts are shone onto the same OPA, their output beam positions
are different. We can determine the state of the output light field
from the OPA phase distribution and the position of each PD,
and thus invert the phase shift of the input optical signal. By
loading the phase offset and OPA phase distribution onto the
input signal and OIRS respectively, the signal can be aligned
(2)
to their corresponding PD. The lens system is placed after the
OIRS to promote the interference, thereby generating the desired
light field distribution. For OPA-type OIRS, since the reflected
beam is deflected after passing through the lens, the incident
light must be incident obliquely. After collimation, the laser
passes through a beam expander to cover the OIRS. The beam
reflected by the OIRS passes through the lens group to produce
 WANG et al.: OPTICAL MIMO COMMUNICATION BASED ON JOINT CONTROL OF BASE STATION AND OPA-TYPE OIRS 5549

a specific interference pattern. Furthermore, the output beam is to adjust the beam shape. In the case of far-field, the pro-
focused on the focal plane of the lens. Therefore, the receiver cess of the beam passing through the lens can be considered
plane needs to coincide with the lens focal plane to achieve Fraunhofer diffraction. In the case of near-field, the process
maximum receiving efficiency. The lens group with a variable of the beam passing through the lens should be decomposed
focal length can be utilized to improve system stability. In this into two Fresnel diffractions [32], [33], [34]. Both functions of
system, the joint adjustment of input phase offset and OPA- Fraunhofer diffraction and Fresnel diffraction of the light field
type OIRS are mainly based on optical Fourier transform and can be written in the form of optical Fourier transform [35],
optical holography technology. Below we will derive the light [36], [37], [38], which is actually used in our system for OIRS
field function of the beam reflected by OIRS based on its physical modulation. In the digital holography algorithms, optical Fourier
model. transform is usually used to encode and decode the light field
Assuming that there are P × Q phased units in OIRS, each after passing through the lens, which is in line with the ac-
unit can be regarded as a square with a side length of d. The tual physical model [36], [38], [39]. Therefore, the light field
spacing between adjacent phase units’ center is Δd. The light function T (u, v) after passing through the lens is the Fourier
field function of the beam reflected by OIRS t(x, y) is (4) [7], transform of the OIRS reflectivity function t(x, y). That is,
[29], [30], [31], T (u, v) = F {t(x, y)}, where F {·} is the Fourier transform.
 Substituting into (4), we can obtain the light field function of
x y
t(x, y) = i(x, y)e jϕn (x,y)
a(x, y) rect , ⊗ b(x, y) output beam T (u, v) as (8) shown at the bottom of this page,
d d where
 
 x y  x y
+ rect , − rect , ⊗ c(x, y) , I(u, v) = F {i(x, y)} ,
Δd Δd d d
A(u, v) = F {a(x, y)} ,
(4)
sin(πu) sin(πv)
where i(x, y) is the amplitude function of incident light; sinc(u, v) = . (9)
jϕn (x,y) πu πv
e is the phase offset of incident light; rect(.) is the
rectangular function, ⊗ is the convolution operation, and From (8), we can observe that the phase offset of the input signal
a(x,y), b(x,y), c(x,y) are will be directly superimposed on the phase distribution of the
x y OIRS, and the influence of the input phase offset and the OIRS’s
a(x, y) = rect , phase shift on the output light field is equivalent. Therefore, we
P Δd QΔd
can adjust the position of the system’s output beam by changing
 x  y
= rect rect , (5) the phase offset of the incident optical signal. After assuming
P Δd QΔd the output beam’s position and OIRS phase distribution, we can
−1 Q−1 also use (4) and (8). to infer the optical phase shift of the incident

P 
iϕo (x,y) signal. The inversely deduced phase offset of the input optical
b(x, y) = e δ(x − pΔd, y − qΔd), (6)
p=0 q=0 signal can be expressed as (10) shown at the bottom of the next
page, where F −1 (·) is the inverse Fourier transform, i (x, y)

P −1 Q−1

iϕo (x,y) is the estimated input light field amplitude distribution, which
c(x, y) = e δ(x − pΔd, y − qΔd). (7) can be set to a Gaussian distribution. In this system, we only
p=0 q=0
need to calculate the input optical phase offset corresponding
In (6), ϕo (x, y) is the phase distribution on OIRS’s phased to each receiver’s position, and then the beam switching among
units. In (7), ϕo (x, y) is the phase shift superimposed on the receivers can be realized.
gap between the OIRS phased units, which is a constant and We superimpose the above derived input optical phase offset
can not be adjusted. Due to the existence
 of element gap, Δd on the input optical signal, thereby separating the signal of
> d, rect Δd x
, Δdy
− rect xd , yd ⊗ c(x, y) < 0. This results different sources for focusing on their corresponding PD. When
in the power loss of OPA-type OIRS, which is proportional to the PD’s position or OPA’s phase distribution changes, we need
Δd-d. to use the above derivation again to obtain the new input optical
The light reflected by OPA-type OIRS only changes the phase phase offset and then superimpose it on the input signal again
distribution, and needs to pass through the lens for interference to achieve the tracking to the corresponding PD.

  ∞
  m n 
T (u, v) = F {t(x, y)} = I(u, v) ⊗ A(u, v) ⊗ d2 sinc(ud, vd)F ei(ϕn +ϕo ) ⊗ δ u− ,v −
m,n=−∞
Δd Δd

  
 ∞
  m n 
+ I(u, v) ⊗ A(u, v) ⊗ Δd2 sinc(uΔd, vΔd) − d2 sinc(ud, vd) F ei(ϕn +ϕo ) ⊗ δ u− ,v − ,
m,n=−∞
Δd Δd
(8)

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 5550 JOURNAL OF LIGHTWAVE TECHNOLOGY, VOL. 41, NO. 17, SEPTEMBER 1, 2023

B. Channel Fading 2
where σX is the log-amplitude variance, which is given by
Below we will analyze the channel fading from source n to 2
2 7 11 σR
receiver m, which arises from atmospheric attenuation, atmo- σX = 0.30545κ 6 Cn2 (L)(lsn ,o + lo,rm ) 6 ≈ (14)
4
spheric turbulence and pointing error. Therefore, the channel
where Cn2 (L) is the index of refraction structure parameter at
fading hsn ,rm from source n to receiver m can be expressed as
altitude L, which can be assumed to be constant along the
propagation path, κ = 2πλ is the optical wavenumber, λ is the
hsn ,rm = hsn ,o ho,rm = hatmn,m han,m hpn,m , (11) 2
optical wavelength, and σR is the Rytov variance defined as
7 11
2
where hatmn,m is the channel fading from source n to receiver m σR = 1.23 Cn2 κ 6 (lsn ,o + lo,rm ) 6 (15)
caused by atmospheric attenuation, han,m is the channel fading 3) Pointing Error: In FSO system, pointing error refers to
from source n to receiver m caused by atmospheric turbulence, performance degradation caused by random misalignment errors
and hpn,m is the channel fading from source n to receiver m of the OPA, transmitter, or receiver, causing the receiving spot
caused by pointing error. to be off-centre of the receiver [46], [47]. In this system, the
1) Atmospheric Attenuation: Optical signals will be scat- reflection of the beam by the OIRS magnifies the effect of beam
tered and absorbed as they go through the atmosphere. Optical jitter at the transmitter. At the same time, the jitter of the OIRS
signals of different wavelengths correspond to different trans- surface is also superimposed on the beam shift at the receiver.
mission efficiencies. In this system, we choose a laser with a According to the physical model of OIRS in [4], [6], [48], the
wavelength of 1550 nm, which has lower atmospheric atten- PDF of the jitter angle at the receiving plane θn,m can be written
uation and is suitable for optical wireless communication [40], as
[41]. Besides wavelength, atmospheric attenuation is also related
θn,m
to weather conditions and propagation distance. In mist and haze fθn,m (θn,m ) =  2
σθ2n,m + 4σβ2
lsn ,o
with a visibility of 1 km, the attenuation at 1550 nm is about 3 1 + lo,r 
m
dB/km. Therefore, the atmospheric attenuation at 1550 nm can ⎛ ⎞
be expressed as [40] 2
⎜ θn,m ⎟
× exp ⎝−  2 ⎠,
αatmn,m (lsn ,o +lo,rm )
2 1+
lsn ,o
σ 2 + 8σ 2
hatmn,m = 10− 104 , (12) lo,rm

θn,m β
(16)
where αatmn,m represents the atmospheric attenuation per km in 
where θn,m is the beam’s jitter angle at the source n while
the optical channel under current weather conditions, whose unit pointing to receiver m, β is the jitter angle of OIRS, which
is dB/km, lsn ,o is the link distance from source n to OIRS, and is independent of source and receiver, σθ2n,m is the variance
lo,rm is the link distance from OIRS to receiver m. Since the rate 2
of θn,m , and σβ is the variance of β. (16) is oriented to the
of change of weather conditions is much slower than the signal OIRS-assisted FSO system and takes into account the impact of
transmission rate, the channel fading caused by atmospheric OIRS fluctuations.
attenuation can be regarded as large-scale fading. As θn,m is the angle corresponding to the optical beam offset
2) Atmospheric Turbulence: Since the OIRS is set on or near in the receiving plane, the instantaneous displacement from the
the ground with a small area, the optical link will not be set at receiver m’s center to receiving light spot Rm can be presented
high altitude and the link distance will not exceed 1 km [42], [43]. as
Whereas the main regions of atmospheric turbulence are in the
boundary layer at the base of the atmosphere, inside the cloud Rm = tan θn,m lo,rm ≈ θn,m lo,rm (17)
bodies of convective clouds and other regions at high altitudes, From [45], the channel fading caused by pointing error hpn,m
atmospheric turbulence near the ground is realistically described can be approximated as
in terms of weak turbulence. Therefore, in this system, we
2
choose the weak turbulence model to be more appropriate to the 2Rm
hpn,m ≈ A0 exp − 2
, (18)
actual situation. For weak turbulence, the intensity fluctuation is ωzeq
modeled as a log-normal distribution, which is experimentally where A0 is the fraction of the receiver’s collected power
verified. From [44], [45], the PDF of the channel fading caused at Rm = 0 and ωzeq is the equivalent beam width. We have
by atmospheric turbulence ha can be expressed as √ π a
A0 = [erf(z)]2 and ωzeq 2
= ωz2 2zexp(−z
πerf(z)
2 ) , where z = 2 ωz is
2 the ratio
 x −tbetween aperture radius and the beam width, erf(x) =
(lnhan,m +2σX
2
) 2
1 8σ 2
√2 e dt is the error function, ωz is the beam waist radius
fhan,m (han,m ) =  e X (13) π 0
2han,m 2
2πσX and can be approximated by ωz = φ(lsi ,oi + loi ,ui ), φ is the

F −1 {T (u, v)}
ϕn (x, y) = −jln   , (10)
i (x, y)a(x, y) rect( xd , yd ) ⊗ b(x, y) + rect( Δd
x y
, Δd ) − rect( xd , yd ) ⊗ c(x, y)

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 WANG et al.: OPTICAL MIMO COMMUNICATION BASED ON JOINT CONTROL OF BASE STATION AND OPA-TYPE OIRS 5551


divergence angle of the beam. The approximation in (18) is very ∞ 
× αatmn,m (lsn ,o +lo,rm)
h−ρ
an,m fhan,m han,m dhan,m
accurate if ωaz > 6, where a is the receiver’s aperture radius [45]. 10 104 hsn ,rm
The (18) describes the relationship between the received light A0
ραatmn,m (lsn ,o +lo,rm )
intensity of the receiver and the displacement of the beam center
10 104 ρ
from the receiver’s center when the beam is Gaussian [45]. In = hρ−1
this system, the effect between the incident light with phase Aρ0 sn ,rm

 ∞
offset and the OPA light field is equivalent to adding a phase 1
grating to the incident beam, which does not change the intensity × αatmn,m (lsn ,o +lo,rm )
104
h−ρ
an,m 
2
10
A0
hsn ,rm
2han,m 2πσX
distribution of the outgoing beam [9], [11], [29]. Therefore, the 
2
2 
outgoing beam is still Gaussian distributed, which still applies lnhan,m + 2σX
to the model of (18). × exp 2 dhan,m
8σX
Then substituting (17) and (18) into (16), the PDF of hpn,m
ραatmn,m (lsn ,o +lo,rm )
can be derived as
10 104 ρ 2
2σX ρ(1+ρ)
2
ωzeq = hρ−1
sn ,rm e
fhpn,m (hpn,m ) = 2Aρ0
4A0 σθ2n,m
 (lsn ,o + lo,rm )2 + 16A0 σβ2 ls2n ,o ⎛ αatmn,m (lsn ,o +lo,rm ) ⎞
10 104 2 2
2
ωzeq ⎜ ln A0 + 2σX + 4ρσX ⎟
−1 × erf c ⎝ √ ⎠.
hpn,m 4σ 2
 (lsn ,o +lo,rm )2 +16σβ
2 l2
sn ,o 2 2σX
× θn,m
, 0 < hpn,m < A0 ,
A0
(19) (22)

fhpn,m (hpn,m ) shows that pointing error is always present and III. PERFORMANCE ANALYSIS
may cause signal loss, where the probability of hpn,m = 0 is al-
According to (2) and (11), the SNR received by receiver m
ways present. We can reduce the impact of random misalignment
from source n can be expressed as
errors of the OPA, transmitter, or receiver on system performance
2 2 2
to the order of 10−7 or less by fixing the transmitter and receiver 2βn,m αm hsm ,rm μ2n Pt2
γn,m = , (23)
and using OPA to dynamically adjust the beam. σn2 r
4) Analysis of Channel Fading: Since hatmn,m is a large
scale channel fading, the PDF of channel fading from the source where μn is the power allocation coefficient corresponding to
n to the receiver m hsn ,rm can be expressed as source n, which is equal to the ratio of the transmit power of
source n to the total transmit power of the base station, and Pt
fhsn ,rm (hsn ,rm ) is the total transmit power of the base station. Substituting (23)
 into (22), we can obtain the PDF of γn,m as
 
= fhsn ,rm |han,m hsn ,rm | han,m fhan,m han,m dhan,m
hatmn,m ρ ρ  γn,m  ρ2 −1 2σ2 ρ(1+ρ)
fγn,m (γn,m ) = κn,m e X
(20) 8Aρ0 2
2 2
where fhsn ,rm |han,m (hsn ,rm | han,m ) is the conditional PDF 2σX + 4ρσX − lnA0 hatmn,m
× erf c √ ,
given the turbulence state han,m , which can be derived from 2 2σX
(11) and (19) as (24)

fhsn ,rm |han,m hsn ,rm | han,m where κn,m = σn r
βn,m αm μn Pt .

1 hsn ,rm Then according to the analytical technique in [49], the asymp-
= fh totic moment generating function (MGF) of γn,m can be derived
han,m hatmn,m pn,m han,m hatmn,m
from (24) as
⎛ ⎞ρ−1 
αatmn,m (lsn ,o +lo,rm ) α atmn,m (lsn ,o +lo,rm )
104 ρ⎝hsn ,rm 10 104 Mγn,m (v) = E e−vγn,m
= 10 ⎠ ,
hatmn,m ρκρn,m  ρ  2σ2 ρ(1+ρ)
A0 han,m A0 han,m
≈ ρ ρ Γ e X
(21) 2 2 +2 Aρ0 v 2 2
2 2
2
ωzeq 2σX + 4ρσX − lnA0 hatmn,m
where ρ = 4σθ2 2 l2
(lsn ,o +lo,rm )2 +16σβ
. × erf c √ , (25)
n,m
sn ,o
2 2σX
Substituting (21) and (13) into (20), we can obtain the closed-
form PDF of hsn ,rm as where E[·] is the expectation  ∞function, and Γ(·) is the Gamma
function defined as Γ(v) = 0 uv−1 e−u du.
fhsn ,rm (hsn ,rm ) In our MIMO system, the user’s receiving end includes mul-
ραatmn,m (lsn ,o +lo,rm ) tiple receivers. In order to facilitate the derivation and represen-
10 104 ρ tation of the gain of this MIMO system for performance, we
= hρ−1
Aρ0 sn ,rm let different sources send the same information, thus achieving

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 5552 JOURNAL OF LIGHTWAVE TECHNOLOGY, VOL. 41, NO. 17, SEPTEMBER 1, 2023

diversity transmission. At the receiving end, we utilize maximal
ratio combining (MRC). As a result, the SNR of the OIRS-
assisted optical MIMO communication system can be expressed
as

N 
N
γ= γn,m
n=1 m=1
N N
2Pt2 n=1 μ2n m=1
2 2
αm βn,m h2sm ,rm
= .
σn2 r
Since γn,m are independent for different sources and receivers,
then the MGF of the SNR of the system can be derived as
(27) shown at the bottom of this page.
The outage probability refers to the case where the SNR of the
corresponding source signal received by the PD is not sufficient
to maintain communication [50], [51]. Based on the asymptotic
analysis techniques in [49], the outage probability of our system
can be derived from (27) as (28) shown at the bottom of this
page.
For IM/DD with OOK modulation, the system’s conditional
error rate is Pe (γ) = Q( 12 γ). Based on [49], we can derive the
asymptotic average BER from (27) as (29) shown at the bottom
of the next page.
IV. NUMERICAL RESULTS
A. Experimental and Simulation Setup
In this paper, we build both the experiment and simulation of
the optical MIMO communication system. The main purpose
of the experiment is to observe the influence of the phase offset
of the input signal on the output beam of the OIRS, so as to
verify the feasibility of the MIMO communication system. The
purpose of the simulation is to verify the accuracy of the system
performance expression derived in this paper by using the Monte
Carlo method according to the actual physical model of the
communication system.
The optical path of the experiment is shown in Fig. 2. The light
emitted by the laser is collimated and passed through the phase
blazed grating, which changes the beam’s phase distribution.
The beam then passes through a polarizer and a half-wave plate,
and is expanded by a beam expander before reaching the OIRS.
The OIRS reconstructs the beam and reflects it to the lens group,
so as to output the desired light field. The actual experimental
system is shown in Fig. 3. In order to facilitate the observation
of the position of the output beam, we choose a laser source
with the wavelength of 532 nm and adjust the hologram loaded
by OIRS to make the output beam shape as a single circular
spot. After collimated by the collimator, the parallel-like light
with extremely small emission angle is obtained. The light beam
(26)
reaches the beam expander after passing through the blazed
grating and half-wave plate, and is expanded into a larger parallel
beam to cover the OPA-type OIRS. In the OPA-type OIRS
system, the light beam needs to pass through a convex lens. The
light screen or optical power sensor is placed at the focal length
of the lens to obtain the highest power receiving efficiency.
When observing the relative position of the light spot, we use
the light screen to receive. When measuring the spot power, we
use an optical power sensor to receive. Since the position of
the zero-order diffracted light output by OIRS does not change,
we do not remove it and use it to observe the relative position of
the desired light field (i.e., the first-order diffracted light). Due to
the large displacement of the output light spot, we choose a light
screen instead of a charge coupled device (CCD) in the receiving
plane to directly observe the output light. In this experiment, a
pure phased modulated liquid crystal optical phase control array
(1920 × 1152 pixels, fill factor 95.7%, size 17.7 × 10.6 mm) is
adopted as the OPA-type OIRS. Due to the limitation of the
experimental site, we utilize the OPA and lens with centimeter
size in this experiment. In the actual system, we can increase the
coverage area of the beam by using a large-area OPA and lens
group.
The simulation in this paper is based entirely on physical
modeling and optical laws. The simulation parameters are shown
in Table I. We have added independent jitter random variables
to the direction vector of the incident beam and the normal
vector of the OIRS. The incident optical beam is reflected to
the receiving plane by the OIRS according to the optical reflec-
tion law. We simulated 109 independent optical signals at the
transmitting end with multiple sources, and used Monte Carlo
method at the receiving end to count the outage probability and
BER.

 N N ! "N "
N
Mγ (v) = E e−vγ = E e− n=1 m=1 vγn,m = Mγn,m (v)
n=1 m=1

ρN
2  ρ !N 2 2 2
"
N "
N 2
2σX 2
+ 4ρσX − lnA0 hatmn,m
≈ Γ e2σX ρ(1+ρ)N hatmn,m κρn,m × erf c √ . (27)
2
ρN 2
2 +2 N 2 AρN 2 v ρN
2
2
2 2 2σX
0 n=1 m=1

ρN 2  2
ρN
2
−1
γth2 Γ ρ N
2 2
"N " N 2
2σX 2
+ 4ρσX − lnA0 hatmn,m
POU T (γth ) ≈ ρN 2
 2  e2σX ρ(1+ρ)N
2
hatmn,m κρn,m ×erf c √ .
2 2 +2 N 2 −1 N 2 AρN 2
0 Γ 2
ρN
n=1 m=1
2 2σX
(28)

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 WANG et al.: OPTICAL MIMO COMMUNICATION BASED ON JOINT CONTROL OF BASE STATION AND OPA-TYPE OIRS 5553

blazed grating at the transmitting end, that is, under the initial
signal’s phase distribution. Fig. 4(b) is the OIRS output light field
after adding a transverse blazed grating. We can observe that
the position of the desired light field (the first-order diffracted
beam) is shifted left by some distance. Fig. 4(c) is the output
light field of OIRS after adding a longitudinal blazed grating.
We can observe that the position of the desired light field (the
first-order diffracted beam) is shifted upward by some distance.
The output of OIRS in the experiment still contains zero-order
diffraction and multi-order diffraction, which can be eliminated
by holographic algorithm or adding occlusion. According to
the experimental results, we can find that the phase shift of
Fig. 2. Optical path of the experiment of the optical MIMO communication
system.
the incident beam can change the position of the OIRS output
beam. Therefore, the principle that our system controls the OIRS
output beam by adjusting the incident phase offset at the base
station, and then realizes the MIMO communication is correct
and achievable. In this experiment, we only use two kinds of
grating sheets for phase modulation of incident light, which are
fixed and limited for the change of phase offset. In the actual
system, we can add an OIRS at the base station without lens
group to adjust the phase of the optical signal, thereby improving
the freedom and accuracy of the base station’s control to the
OIRS’s output beam.
Meanwhile, according to the experiment we can observe that
due to the beam divergence of transmitter and OIRS, the size
of the spot is larger than the size of PD. In order for each PD
to efficiently receive the signal from the corresponding source,
we need to redesign the PD array. Our PD array requires larger
PDs’ spacing and independent signal reception and processing
for each PD. Collimation devices can also be added in front of
each PD to reduce the beam spread angle irradiated to the PD
Fig. 3. Photo of the actual experimental system. within a certain angle, so as to reduce signal crosstalk [52], [53].
Moreover, we need to utilize special coding methods to correlate
the information transmitted by neighbouring sources so that the
TABLE I PD can obtain useful information from the received interfering
SYSTEM SETTINGS
signal or perform signal error correction. Therefore, even if the
signal of each source is received by other PDs, we can use these
interfering signals to improve the system performance.

C. Simulation and Analysis of System Performance

B. Experimental Verification of Input Phase Controlling
OIRS’s Output Beam
Fig. 4 is the output light field result of our experiment. Fig. 4(a)
is a photo of the output light field of OIRS without adding a
In Fig. 5, we show the asymptotic BERs and the simulated
BERs for the OIRS-assisted optical MIMO communication
system with different parameters. The asymptotic BER curves
are based on (29). The outage probability curves for the same
systems with SNR threshold γth = 5 dB are presented in Fig. 6,
where the asymptotic outage probability curves are obtained
by (28). From Fig. 5, the simulated BER curves for IM/DD
with OOK modulation agree with the asymptotic BER curves in
high SNR regimes. The same behavior can be observed for the

N 2  
ρN 2 ρN 2 +1
2 2 −2 N 2 −1 N 2 −1
ρ Γ ρ
2 Γ 2 2 2
"
N "
N 2
2σX 2
+ 4ρσX − lnA0 hatmn,m
Pe ≈ √ 2
  e2σX ρ(1+ρ)N hatmn,m κρn,m ×erf c √ .
πN 2 AρN
0 Γ ρN 2
n=1 m=1
2 2σX
2
(29)

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 5554
Fig. 4. Output light field result of the experiment.
Fig. 5. Asymptotic BERs and the simulated BERs for the OIRS-assisted
optical MIMO communication system with different parameters, the asymptotic
results are obtained from (29).
outage probability in Fig. 6. The numerical results indicate that
the asymptotic estimation of system performance is accurate in
large SNR regimes.
Comparing the curves with different σθ , we can observe
that the reduction of the pointing error jitter angle will greatly
improve the system performance. Therefore, at the transmitting
end of the base station, we need to fix the light source as much
as possible to reduce the jitter of the outgoing beam. Comparing
the curves with different link distances, we can observe that as
the system’s link distance increases, the system performance
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JOURNAL OF LIGHTWAVE TECHNOLOGY, VOL. 41, NO. 17, SEPTEMBER 1, 2023
Fig. 6. Asymptotic outage probability and the simulated outage probability
for the OIRS-assisted optical MIMO communication system with different
parameters, the asymptotic results are obtained from (28).
will further decrease, which is due to the fact that the increase of
the link distance will amplify the effects of pointing error, atmo-
spheric absorption and turbulence. However, from the simulation
results we can find that although the link distance is increased by
half, the change in system performance is small, which indicates
that the system performance is not sensitive to the change in link
distance. Comparing the curves with different αatm , we can
observe that changes in weather conditions can greatly affect
system performance. However, when αatm = 1.2 dm/km, the
weather is already in a bad state, and the system performance
 WANG et al.: OPTICAL MIMO COMMUNICATION BASED ON JOINT CONTROL OF BASE STATION AND OPA-TYPE OIRS
does not drop significantly, which indicates that atmospheric
absorption has relatively little impact on the system perfor-
mance. Comparing the curves with different MIMO scales,
we can observe that the MIMO system with 3 soures and 3
receivers outperforms the MIMO system with 2 soures and 2
receivers. As the SNR increases, the performance gap of the
system is still widening, which indicates that increasing the scale
of MIMO in our system can significantly improve the system
performance.
To sum up, in this system, pointing error and MIMO scale
have a greater impact on system performance than other factors
in the system, which need to be specially considered in system
design. Moreover, according to the actual measurement, the
performance of the system is better than the simulation curve
in the paper, which we attribute to the laboratory environment
where the system is less affected by atmospheric turbulence and
atmospheric absorption. Taking into account the environmental
variables in the laboratory (link length of 5 m, atmospheric
turbulence and atmospheric absorption of approximately 0),
the measured results match the simulation results. Meanwhile,
according to the simulation results of this paper, the outage
probability of our system can reach the order of 10−7 at Pt =
25 dB. The communication system can work steadily with an
outage probability of 10−7 [45], [50], [51]. Thus we cannot
guarantee that every PD will always receive a corresponding
signal, but we can ensure that the communication system will
work steadily and reliably.
V. CONCLUSION
In this work, we propose an optical MIMO communication
system based on joint control of base station and OPA-type
OIRS. The communication system utilizes the OPA-type OIRS’s
characteristic of superimposing the input optical phase and the
OIRS’s phase to implement a joint beam control scheme of
the base station and the OIRS, thereby realizing optical MIMO
communication with a single OIRS. The principle of adjusting
OIRS output beam’s position with input phase offset has been
theoretically derived. Moreover, experiments and simulations
are built to verify the feasibility and accuracy of our system
model and theoretical derivation, which proves that our results
are consistent with the actual system. Due to the large displace-
ment of the expected light field caused by the phase of the input
signal, and the CCD cannot observe the displacement of the
output beam clearly, we choose a light screen at the receiving end
for observation. Therefore, the presentation of the experimental
results is not as clear as observed with CCD. In future work, we
will improve this by ultilizing CCD with a larger photosensitive
area.
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Haibo Wang (Member, IEEE) received the B.Eng. degree in information engi-
neering in 2018 from Southeast University, Nanjing, China, where he is currently
working toward the Ph.D. degree with the School of Information Science and
Engineering.
Zaichen Zhang (Senior Member, IEEE) was born in Nanjing, China in 1975. He
received B.S. and M.S. degrees in electrical and information engineering from
Southeast University, Nanjing, in 1996 and 1999, respectively, and the Ph.D.
degree in electrical and electronic engineering from The University of Hong
Kong, Hong Kong, in 2002. From 2002 to 2004, he was a Postdoctoral Fellow
with National Mobile Communications Research Lab., Southeast University. He
joined the School of Information Science and Engineering, Southeast University,
China in 2004 and is currently a Professor there. He has authored or coauthored
more than 250 papers and issued over 70 patents. His research interests include
6G mobile communication systems, optical mobile communications, and quan-
tum information technologies.
Bingcheng Zhu (Senior Member, IEEE) received the B.A.Sc. degree in informa-
tion engineering from the South China University of Technology, Guangzhou,
China, in 2010, and the Ph.D. degree in information and communication engi-
neering from Southeast University, Nanjing, China in 2015. He was a Visiting
Student with The University of British Columbia, Kelowna, BC, Canada, in
2014. He is currently an Associate Professor with Southeast University. His re-
search interests include optical positioning, free-space optical communications,
visible light communications, and diversity over fading channels.
Jian Dang (Senior Member, IEEE) received the B.S. degree in information
engineering and the Ph.D. degree in information and communications engineer-
ing from Southeast University, Nanjing, China, in 2007 and 2013, respectively.
From 2010 to 2012, he was with the Department of Electrical and Computer
Engineering, University of Florida, Gainesville, FL, USA, as a Visiting Scholar.
Since 2013, he has been with National Mobile Communications Research
Laboratory, Southeast University. He is currently an Associate Professor. His
research interests include signal processing in wireless communications, and
optical mobile communications.
Liang Wu (Senior Member, IEEE) received the B.S., M.S., and Ph.D. degrees
from the School of Information Science and Engineering, Southeast University,
Nanjing, China, in 2007, 2010, and 2013, respectively. From 2011 to 2013, he
was with the School of Electrical Engineering and Computer Science, Oregon
State University, Corvallis, OR, USA, as a Visiting Ph.D. Student. In 2013,
he joined National Mobile Communications Research Laboratory, Southeast
University. Since 2018, he has been an Associate Professor with Southeast
University. He is also with Purple Mountain Laboratories. His research interests
include optical wireless communications, multiple input and multiple output
technology, massive machine type communications, interference alignment, and
wireless indoor localization.