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Ivan B. Djordjevic
Advanced Optical
and Wireless
Communications
Systems
Advanced Optical and Wireless Communications
Systems
Ivan B. Djordjevic
Advanced Optical
and Wireless
Communications Systems
Ivan B. Djordjevic
Department of Electrical and Computer Engineering
University of Arizona
Tucson, AZ, USA
The purpose of this book is to introduce the reader to most advanced topics of
(i) wireless communications, (ii) free-space optical (FSO) communications, (iii)
indoor optical wireless (infrared, IR) communications, and (iv) fiber-optics com-
munications. So far these different types of communication systems have been
considered as separate disciplines. However, the fundamental concepts, such as
propagation principles, modulation formats, channel coding, diversity principles,
MIMO signal processing, multicarrier modulation, equalization, adaptive modula-
tion and coding, detection principles, and software-defined transmission, are com-
mon. The key idea of this book is to consider these different types of
communication systems in a unified fashion. The fundamental concepts, listed
above, are described first, followed by a detailed description of each particular
system. The book is self-contained and structured to provide straightforward
guidance to readers looking to capture fundamentals and gain theoretical and
practical knowledge about wireless communications, free-space optical communi-
cations, and fiber-optics communications, which can be readily applied in their
research and practical applications.
This book unifies wireless, free-space optical, IR, and fiber-optics communica-
tions. Unique features of the book include as follows:
• This book integrates wireless communications, free-space optical communica-
tions, indoor IR (optical wireless) communications, and fiber-optics communi-
cation technologies.
• This book does not require prior knowledge in communication systems.
• This book does not require any prerequisite material except basic concepts on
vector algebra at undergraduate level.
• This book offers in-depth exposition on propagation effects in different media
(free space, fiber optics, atmospheric turbulence channels), channel impairments
in these media, noise sources, key components and modules enabling wireless
and optical communications, channel capacity studies, advanced modulation and
multiplexing techniques, advanced detection and channel compensation
vii
viii Preface
1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.1 Historical Perspective of Optical and Wireless
Communication Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.1.1 Wireless Communication Historical Perspective . . . . . 2
1.1.2 Optical Communication Historical Perspective . . . . . . 6
1.2 Optical Communication Systems and Networks Fundamentals . . . . 8
1.3 Wireless Communication Systems Fundamentals . . . . . . . . . . . 14
1.4 Organization of the Book . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
1.5 Concluding Remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
2 Propagation Effects in Optical and Wireless Communications
Channels, Noise Sources, and Channel Impairments . . . . . . . . . . . 31
2.1 Electromagnetic Field and Wave Equations . . . . . . . . . . . . . . . 32
2.1.1 Vector Derivatives (Grad, Div, and Curl)
in Orthogonal Curvilinear Coordinate System . . . . . . . 34
2.1.2 Vector Derivatives (Grad, Div, and Curl)
in Cylindrical Polar and Spherical
Coordinate Systems . . . . . . . . . . . . . . . . . . . . . . . . . . 36
2.2 Propagation of Electromagnetic Waves . . . . . . . . . . . . . . . . . . 38
2.2.1 Propagation of Plane Waves . . . . . . . . . . . . . . . . . . . . 38
2.2.2 Vectorial Nature of the Light, Snell’s Law
of Refraction, Reflection Coefficients,
and Total Internal Reflection . . . . . . . . . . . . . . . . . . . 40
2.2.3 Electromagnetic Potentials and Electromagnetic
Waves . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
2.2.4 Interference, Coherence, and Diffraction in Optics . . . . 70
2.2.5 Laser Beam Propagation over the Atmospheric
Turbulence Channels . . . . . . . . . . . . . . . . . . . . . . . . . 85
ix
x Contents
The earliest optical and wireless communication systems consisted of fire or smoke
signals, signaling lamps, and semaphore flags to convey a single piece of informa-
tion [1–4]. For example, a relatively sophisticated ancient communication system,
along the Great Wall of China, was composed of countless beacon towers [5].
In this ancient communication system, the number of lanterns or the color of smoke
was used as a means to inform the size of an invading enemy, which represents a
crude form of simultaneously digital communication and multilevel signaling. By
using the beacon towers, with the guards in each tower positioned at regular
distances along the Great Wall, a message could be transmitted from one end of
the Great Wall to the other, more than 7300 km, in slightly more than 1 h
[5]. Therefore, this ancient communication system has many similarities with
today’s relay or regeneration systems, in which the beacon towers can be consid-
ered as relays. Relay or regeneration systems were further studied by Claude
Chappe in 1792 to transmit coded messages optically over distance of 100 km
[1]. In next two subsections, we describe the evolution of both wireless communi-
cation systems [2, 6–10] and optical communication systems [1, 3–5, 11–15].
Toward these goals, the FCC recently approved the new spectrum for 5G,
including the 28, 37, and 39 GHz bands [18]. Key enabling technologies for 5G
include [19]:
(i) The employment of a wireless software-defined network (WSDN).
(ii) The use of network function virtualization (NFV).
(iii) Introduction of massive MIMO.
(iv) Much higher network density.
(v) The utilization of the millimeter wave spectrum.
(vi) The breakthroughs in big data and mobile cloud computing.
(vii) High-mobility device-to-device connections.
(viii) Better energy efficiency communications.
(ix) The introduction of new radio access technologies.
(x) Scalable Internet of Things techniques.
Regarding the wireless LANs (WLANs), the most relevant is the IEEE 802.11
standard family, representing the set of MAC and PHY standards implementing
WLAN computer communications in 0.9, 2.4, 3.6, 5, and 60 GHz frequency bands
[20–25]. The first wireless networking standard from this family was 802.11–1997;
however, the 802.11b was widely accepted one, which was followed by 802.11a,
802.11g, 802.11n, and 802.11ac. Other standards in this family (such as c–f, h, j)
represent the service amendments to the existing ones that are used to extend the
scope, or eventually the amendments represent the corrections to the previous
specification. The IEEE 802.11 g PHY standard is very similar to 801.11a, except
that it is related to the 2.4 GHz unlicensed ISM band (2.4–2.497 GHz).
To increase the aggregated data rates in IEEE 802.11n and 802.11 ac PHY
standards, the MIMO-OFDM concept, explained in Chap. 8, is used. Namely,
through MIMO concept, several independent data streams can be simultaneously
transmitted increasing the aggregate data rates. The IEEE 802.11n PHY standard is
applicable to both 2.4 and 5 GHz bands, while 802.11ac to 5 GHz band only. In
IEEE 802.11n standard, the available channel bandwidths are {20 MHz, 40 MHz},
while in 802.11ac the available channel bandwidths are {20, 40, 80, 160} MHz. The
highest data rate in 802.11ac standard, for 160 MHz bandwidth, is 780 Mb/s.
The WiMAX represents one of the most popular broadband wireless access
(BWA) technologies, aiming to provide high-speed bandwidth access for wireless
MANs [22, 26–28]. The WiMAX is based on IEEE 802.16 set of standards, in
particular IEEE 802.16-2004 (fixed-WiMAX) and IEEE 802.16e-2005 (mobile-
WiMAX) standards, which provide multiple PHY and MAC options. The WiMAX
represents the last-mile wireless broadband access alternative to the cable and DSL
services, and it is a direct competitor to the LTE Advanced standard. The IEEE
802.16e-2005 provides several improvements compared to the IEEE 802.16-2004
including [26–28]:
1. Providing support for mobility by enabling the soft and hard handover between
base stations.
6 1 Introduction
2. Introducing the concept of scalable OFDM (SOFDM) by scaling the FFT to the
channel bandwidth to ensure that the carrier spacing is constant across different
channel bandwidths, ranging from 1.25 MHz through 5 MHz and 10 MHz all
way to 20 MHz, and thus improving the spectral efficiency.
3. Introducing the advanced antenna diversity schemes and hybrid automatic repeat
request (HARQ).
4. Introducing the adaptive antenna systems (AAS) and MIMO signal processing.
5. Providing the denser sub-channelization and therefore improving the indoor
penetration.
6. Introducing downlink sub-channelization, in order to trade the coverage for
capacity or vice versa.
7. Introducing the LDPC coding to improve the error-correction strength.
8. Introducing an extra QoS class for VoIP applications.
semiconductor. The bit rate of these systems was limited to <100 Mb/s due to
dispersion in multimode fibers (MMFs). Single-mode fiber (SMF) was then incor-
porated. By 1987 the second generation systems were operating at 2.5 Gb/s at
1.3 μm with repeater spacing of 50 km.
The third generation systems were based on the use of 1.55 μm sources and
detectors and dominated in the first half of 1990s. At this wavelength the attenua-
tion of fused silica fiber is minimal. The deployment of these systems was delayed
however due to the relatively large dispersion at this wavelength. Two approaches
were proposed to solve the dispersion problem. The first approach was to develop
single-mode lasers, and the second was to develop dispersion-shifted fiber (DSF) at
1.55 μm. In 1990, 1.55 μm systems operating at 2.5 Gb/s were commercially
available and were capable of operating at 10 Gb/s for distances of 100 km [1, 3–
5, 11–13]. The best performance was achieved with DSFs in conjunction with
single-mode lasers. A drawback of these systems was the need for electronic
regeneration with repeaters typically spaced every 60–70 km. Coherent optical
detection methods were investigated in late 1980s and early 1990s to increase
receiver sensitivity. However, this approach was superceded by the development
of the optical amplifier.
The 3.5th generation systems are based on the use of optical amplifiers to
increase repeater spacing and wavelength-division multiplexing (WDM) to increase
the aggregate bit rate. Erbium-doped fiber amplifiers (EDFAs) were developed to
amplify signals without electronic regeneration during the 1980s [1, 3–5, 11–13]. In
1991 signals could be transmitted 14,300 km at 5 Gb/s without electronic regener-
ation [1, 3–5, 11–13]. The first transpacific commercial system went into operation
sending signals over 11,300 km at 5 Gb/s, and other systems are being deployed.
System capacity is increased through use of WDM. Multiple wavelengths can be
amplified with the same optical amplifier. In 1996 20 5 Gb/s signals were
transmitted over 9100 km providing a total bit rate of 100 Gb/s and a bandwidth-
length (B-L) product of 910 (Tb/s)-km. In these broadband systems, dispersion
becomes an important issue to be addressed.
In the 3.75th generation systems, the effort is primarily concerned with the fiber
dispersion problem. Optical amplifiers solve the loss problem but increase the
dispersion problem since dispersion effects accumulate over multiple amplification
stages. An ultimate solution is based on the novel concept of optical solitons [1, 31,
32]. These are pulses that preserve their shape during propagation in a loss less fiber
by counteracting the effect of dispersion through fiber nonlinearity. Experiments
using stimulated Raman scattering as the nonlinearity to compensate for both loss
and dispersion were effective in transmitting signals over 4000 km [1, 31,
32]. EDFAs were first used to amplify solitons in 1989 [1, 31, 32]. By 1994 a
demonstration of soliton transmission over 9400 km was performed at a bit rate of
70 Gb/s by multiplexing seven 10 Gb/s channels [1, 31, 32]. In parallel, dispersion
compensating fibers (DCFs) were invented to deal with chromatic dispersion, and
various dispersion maps were proposed [1, 31, 32]. The WDM channel count
increased to maximum 128, with data rates per single wavelength ranging from
2.5 Gb/s to 10 Gb/s. The operating wavelength region ranges from 1530 nm to
8 1 Introduction
A generic WDM optical network, which can be used to identify the key optical
components, concepts, and system parameters is provided in Fig. 1.1. The end-to-
end optical transmission involves both electrical and optical signal paths. To
1.2 Optical Communication Systems and Networks Fundamentals 9
demultiplexer
(OA)
Wavelength
Wavelength
Client 2 SMF Data 2
multiplexer
Tx 2 Rx 2
data ROADM OA OA
…
…
…
…
Client N Data N
Tx N Rx N
data
Fig. 1.1 A generic WDM optical network identifying key optical components, concepts, and
parameters
perform conversion from electrical to optical domain, the optical transmitters are
used, while to perform conversion in the opposite direction (optical-to-electrical
conversion), the optical receivers are used. The single-mode fiber (SMF) serves as a
foundation of an optical transmission system because the optical fiber is used as
medium to transport the optical signals from the source to destination. The optical
fibers attenuate the signal during transmission, and someone has to use optical
amplifiers, such as EDFAs, Raman amplifiers, or parametric amplifiers, to restore
the signal level. Unfortunately, the amplification process is accompanied with the
noise addition. For better exploitation of enormous bandwidth of SMF, the WDM
concept is introduced, which corresponds to the scheme with multiple optical
carriers at different wavelengths that are modulated by using independent electrical
bit streams, as shown in Fig. 1.1, and then transmitted over the same SMF. During
transmission of WDM signals, occasionally several wavelengths have to be added/
dropped, which is performed by the reconfigurable optical add-drop multiplexer
(ROADM), as shown in Fig. 1.1. The optical networks require the switching of
information among different fibers, which is performed by the optical cross-connect
(OXS). To combine several distinct wavelength channels into composite channel,
the wavelength multiplexers are used. On the other hand, to split the composite
WDM channel into distinct wavelength channels, the wavelength demultiplexers
are used. To impose the information signal and perform electro-optical conversion,
the optical modulators are used. The optical modulators are commonly used in
combination with semiconductor lasers.
The optical transmission systems can be classified according to different criteria.
When bit rate is used as classification criteria, the optical transmission systems can
be classified as low speed (tens of Mb/s), medium speed (hundreds Mb/s), high
speed (Gb/s), and ultra-high speed (tens of Gb/s). From application perspective
point of view, the systems can be either power budget (loss) limited or bandwidth
(transmission speed) limited. If transmission length is used for classification, we
can identify very short reach (hundreds of meters), short reach (from several
kilometers to several tens of km), long reach (hundreds of kilometers), and ultra-
long reach (thousands of kilometers) optical transmission systems.
To provide a global picture, we describe a typical optical network shown in
Fig. 1.2. We can identify three ellipses representing the core network, the edge
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Title: L'onorevole
Language: Italian
L’ONOREVOLE
VOLUME UNICO
MILANO
SOCIETÀ EDITRICE SONZOGNO
14 — Via Pasquirolo — 14
1896.
Proprietà letteraria riservata
Milano. — Tip. della Società Editrice Sonzogno.
INDICE
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