Optical fiber communicationby john m senior

1971, with permission from The Optical Society of America; Figure 2.30 from Fiber manufacture at AT&T with the MCVD process in Journal of Lightwave Technology, LT-48, pp.. 1978, © IEEE 1

Optical Fiber Communications Principles and Practice

Third Edition

JOHN M SENIOR

Third Edition

JOHN M SENIOR

This highly successful book, now in its third edition, has been extensively updated to include

both new developments and improvements to technology and their utilization within the optical

fiber global communications network

The third edition, which contains an additional chapter and many new sections, is now structured

into 15 chapters to facilitate a logical progression of the material, to enable both straightforward

access to topics and provide an appropriate background and theoretical support

Key features

• An entirely new chapter on optical networks, incorporating wavelength routing and

optical switching networks

• A restructured chapter providing new material on optical amplifier technology,

wavelength conversion and regeneration, and another focusing entirely on integrated

optics and photonics

• Many areas have been updated, including: low water peak and high performance

single-mode fibers, photonic crystal fibers, coherent and particularly phase-modulated

systems, and optical networking techniques

• Inclusion of relevant up-to-date standardization developments

• Mathematical fundamentals where appropriate

• Increased number of worked examples, problems and new references

This new edition remains an extremely comprehensive introductory text with a practical

orientation for undergraduate and postgraduate engineers and scientists It provides excellent

coverage of all aspects of the technology and encompasses the new developments in the field

Hence it continues to be of substantial benefit and assistance for practising engineers,

technologists and scientists who need access to a wide-ranging and up-to-date reference

to this continually expanding field

Professor John Senior is Pro Vice-Chancellor for Research and Dean of the Faculty of

Engineering and Information Sciences at the University of Hertfordshire, UK This third edition

of the book draws on his extensive experience of both teaching and research in this area

Third Edition

Optical Fiber Communications

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Optical Fiber Communications

Principles and Practice

Third edition

John M Senior

assisted by

M Yousif Jamro

Pearson Education Limited

Edinburgh Gate

Harlow

Essex CM20 2JE

England

and Associated Companies throughout the world

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First published 1985

Second edition 1992

Third edition published 2009

© Prentice Hall Europe 1985, 1992

© Pearson Education Limited 2009

The right of John M Senior to be identified as author of this work has

been asserted by him in accordance with the Copyright, Designs and Patents Act 1988.

All rights reserved No part of this publication may be reproduced, stored in a retrieval

system, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording or otherwise, without either the prior written permission of the publisher or a licence permitting restricted copying in the United Kingdom issued by the Copyright

Licensing Agency Ltd, Saffron House, 6–10 Kirby Street, London EC1N 8TS.

All trademarks used herein are the property of their respective owners The use of any

trademark in this text does not vest in the author or publisher any trademark ownership rights in such trademarks, nor does the use of such trademarks imply any affiliation with

or endorsement of this book by such owners.

ISBN: 978-0-13-032681-2

British Library Cataloguing-in-Publication Data

A catalogue record for this book is available from the British Library

Library of Congress Cataloging-in-Publication Data

Senior, John M., 1951–

Optical fiber communications : principles and practice / John M Senior, assisted by

M Yousif Jamro — 3rd ed.

p cm.

Includes bibliographical references and index.

ISBN-13: 978-0-13-032681-2 (alk paper) 1 Optical communications 2 Fiber optics.

I Jamro, M Yousif II Title.

Printed and bound by Ashford Colour Press Ltd, Gosport

The publisher’s policy is to use paper manufactured from sustainable forests.

To Judy and my mother Joan, and in memory of my father Ken

1.3 Advantages of optical fiber communication 7

2.3.4 Phase shift with total internal reflection and the

2.5.2 Mode-field diameter and spot size 60

2.5.4 Group delay and mode delay factor 64

4.4.4 Plasma-activated chemical vapor deposition

4.4.5 Summary of vapor-phase deposition

4.7 Stability of the fiber transmission characteristics 199

4.8.3 Cable sheath, water barrier and cable core 206

Chapter 5: Optical fiber connections: joints,

6.2.4 Optical feedback and laser oscillation 303 6.2.5 Threshold condition for laser oscillation 307

6.3 Optical emission from semiconductors 309

6.6.3 Vertical cavity surface-emitting lasers 347

6.7.1 Threshold current temperature dependence 350

6.10 Narrow-linewidth and wavelength-tunable lasers 369

Chapter 7: Optical sources 2: the light-emitting diode 396

8.8.3 Speed of response and traveling-wave photodiodes 462

8.9 Semiconductor photodiodes with internal gain 470

8.9.2 Silicon reach through avalanche photodiodes 472

8.9.5 Benefits and drawbacks with the avalanche photodiode 480

9.4.2 High-impedance (integrating) front-end 526

Chapter 10: Optical amplification, wavelength

10.4.2 Raman and Brillouin fiber amplifiers 571 10.4.3 Waveguide amplifiers and fiber amplets 575

10.5.1 Cross-gain modulation wavelength converter 584 10.5.2 Cross-phase modulation wavelength converter 586 10.5.3 Cross-absorption modulation wavelength converters 592

11.4.1 Beam splitters, directional couplers and switches 616

11.4.3 Periodic structures for filters and injection lasers 627 11.4.4 Polarization transformers and wavelength converters 634

Chapter 12: Optical fiber systems 1: intensity

12.6.1 The optoelectronic regenerative repeater 708 12.6.2 The optical transmitter and modulation formats 711

12.6.7 Line coding and forward error correction 734

12.7.4 Subcarrier double-sideband modulation (DSB–IM) 752 12.7.5 Subcarrier frequency modulation (FM–IM) 754

12.9.3 Orthogonal frequency division multiplexing 768

12.10 Application of optical amplifiers 778

13.4 Practical constraints of coherent transmission 835

13.4.4 Transmission medium limitations 843

13.6.6 Polarization diversity reception and polarization

14.4 Fiber refractive index profile measurements 926

15.2.2 Optical network node and switching elements 974 15.2.3 Wavelength division multiplexed networks 976 15.2.4 Public telecommunications network overview 978

15.3 Optical network transmission modes, layers and protocols 979

15.3.3 Open Systems Interconnection reference model 985

representative or visit www.pearsoned.co.uk/senior-optical

The preface to the second edition drew attention to the relentless onslaught in the ment of optical fiber communications technology identified in the first edition in the context of the 1980s Indeed, although optical fiber communications could now, nearlytwo decades after that period finished, be defined as mature, this statement fails to signalthe continuing rapid and extensive developments that have subsequently taken place.Furthermore the pace of innovation and deployment fuelled, in particular, by the Internet

develop-is set to continue with developments in the next decade likely to match or even exceedthose which have occurred in the last decade Hence this third edition seeks to record andexplain the improvements in both the technology and its utilization within what is largely

an optical fiber global communications network

Major advances which have occurred while the second edition has been in print include:those associated with low-water-peak and high-performance single-mode fibers; thedevelopment of photonic crystal fibers; a new generation of multimode graded index plasticoptical fibers; quantum-dot fabrication for optical sources and detectors; improvements inoptical amplifier technology and, in particular, all-optical regeneration; the realization ofphotonic integrated circuits to provide ultrafast optical signal processing together with silicon photonics; developments in digital signal processing to mitigate fiber transmissionimpairments and the application of forward error correction strategies In addition, therehave been substantial enhancements in transmission and multiplexing techniques such asthe use of duobinary-encoded transmission, orthogonal frequency division multiplexingand coarse/dense wavelength division multiplexing, while, more recently, there has been aresurgence of activity concerned with coherent and, especially, phase-modulated transmis-sion Finally, optical networking techniques and optical networks have become establishedemploying both specific reference models for the optical transport network together withdevelopments originating from local area networks based on Ethernet to provide for thefuture optical Internet (i.e 100 Gigabit Ethernet for carrier-class transport networks).Moreover, driven by similar broadband considerations, activity has significantly increased

in relation to optical fiber solutions for the telecommunication access network

Although a long period has elapsed since the publication of the second edition in 1992,

it has continued to be used extensively in both academia and industry Furthermore, asdelays associated with my ability to devote the necessary time to writing the updates forthis edition became apparent, it has been most gratifying that interest from the extensiveuser community of the second edition has encouraged me to find ways to pursue the neces-sary revision and enhancement of the book A major strategy to enable this process has beenthe support provided by my former student and now colleague, Dr M Yousif Jamro, workingwith me, undertaking primary literature searches and producing update drafts for manychapters which formed the first stage of the development for the new edition An extensiveseries of iterations, modifications and further additions then ensued to craft the final text

In common with the other editions, this edition relies upon source material from thenumerous research and other publications in the field including, most recently, theProceedings of the 33rd European Conference on Optical Communications (ECOC’07)which took place in Berlin, Germany, in September 2007 Furthermore, it also draws uponthe research activities of the research group focused on optical systems and networks that

I established at the University of Hertfordshire when I took up the post as Dean of Faculty

in 1998, having moved from Manchester Metropolitan University Although the bookremains a comprehensive introductory text for use by both undergraduate and post-graduate engineers and scientists to provide them with a firm grounding in all significantaspects of the technology, it now also encompasses a substantial chapter devoted to opticalnetworks and networking concepts as this area, in totality, constitutes the most importantand extensive range of developments in the field to have taken place since the publication

of the second edition

In keeping with a substantial revision and updating of the content, then, the practicalnature of the coverage combined with the inclusion of the relevant up-to-date standardiza-tion developments has been retained to ensure that this third edition can continue to bewidely employed as a reference text for practicing engineers and scientists Followingvery positive feedback from reviewers in relation to its primary intended use as a teaching/learning text, the number of worked examples interspersed throughout the book has beenincreased to over 120, while a total of 372 problems are now provided at the end of relev-ant chapters to enable testing of the reader’s understanding and to assist tutorial work.Furthermore, in a number of cases they are designed to extend the learning experiencefacilitated by the book Answers to the numerical problems are provided at the end of therelevant sections in the book and the full solutions can be accessed on the publisher’s web-site using an appropriate password

Although the third edition has grown into a larger book, its status as an introductorytext ensures that the fundamentals are included where necessary, while there has been noattempt to cover the entire field in full mathematical rigor Selected proofs are developed,however, in important areas throughout the text It is assumed that the reader is conversantwith differential and integral calculus and differential equations In addition, the readerwill find it useful to have a grounding in optics as well as a reasonable familiarity with thefundamentals of solid-state physics

This third edition is structured into 15 chapters to facilitate a logical progression ofmaterial and to enable straightforward access to topics by providing the appropriate back-ground and theoretical support Chapter 1 gives a short introduction to optical fiber com-munications by considering the historical development, the general system and the majoradvantages provided by this technology In Chapter 2 the concept of the optical fiber as atransmission medium is introduced using the simple ray theory approach This is followed

by discussion of electromagnetic wave theory applied to optical fibers prior to tion of lightwave transmission within the various fiber types In particular, single-modefiber, together with a more recent class of microstructured optical fiber, referred to as photonic crystal fiber, are covered in further detail The major transmission characteristics

considera-of optical fibers are then dealt with in Chapter 3 Again there is a specific focus on theproperties and characteristics of single-mode fibers including, in this third edition, enhanceddiscussion of single-mode fiber types, polarization mode dispersion, nonlinear effects and,

in particular, soliton propagation

Chapters 4 and 5 deal with the more practical aspects of optical fiber communicationsand therefore could be omitted from an initial teaching program A number of these areas,however, are of crucial importance and thus should not be lightly overlooked Chapter 4deals with the manufacturing and cabling of the various fiber types, while in Chapter 5 thedifferent techniques to provide optical fiber connection are described In this latter chapterboth fiber-to-fiber joints (i.e connectors and splices) are discussed as well as fiber branch-ing devices, or couplers, which provide versatility within the configuration of optical fibersystems and networks Furthermore, a new section incorporating coverage of optical isola-tors and circulators which are utilized for the manipulation of signals within optical net-works has been included.

Chapters 6 and 7 describe the light sources employed in optical fiber communications

In Chapter 6 the fundamental physical principles of photoemission and laser action arediscussed prior to consideration of the various types of semiconductor and nonsemi-conductor laser currently in use, or under investigation, for optical fiber communications.The other important semiconductor optical source, namely the light-emitting diode, isdealt with in Chapter 7

The next two chapters are devoted to the detection of the optical signal and the fication of the electrical signal obtained Chapter 8 discusses the basic principles of opticaldetection in semiconductors; this is followed by a description of the various types of photodetector currently employed The optical fiber direct detection receiver is then con-sidered in Chapter 9, with particular emphasis on its performance characteristics

ampli-Enhanced coverage of optical amplifiers and amplification is provided in Chapter 10,which also incorporates major new sections concerned with wavelength conversion pro-cesses and optical regeneration Both of these areas are of key importance for current andfuture global optical networks Chapter 11 then focuses on the fundamentals and ongoingdevelopments in integrated optics and photonics providing descriptions of device techno-logy, optoelectronic integration and photonic integrated circuits In addition, the chapterincludes a discussion of optical bistability and digital optics which leads into an overview

of optical computation

Chapter 12 draws together the preceding material in a detailed discussion of the majorcurrent implementations of optical fiber communication systems (i.e those using intensitymodulation and the direct detection process) in order to give an insight into the design criteria and practices for all the main aspects of both digital and analog fiber systems Twonew sections have been incorporated into this third edition dealing with the crucial topic

of dispersion management and describing the research activities into the performanceattributes and realization of optical soliton systems

Over the initial period since the publication of the second edition, research interest andactivities concerned with coherent optical fiber communications ceased as a result of theimproved performance which could be achieved using optical amplification with conven-tional intensity modulation–direct detection optical fiber systems Hence no significantprogress in this area was made for around a decade until a renewed focus on coherent optical systems was initiated in 2002 following experimental demonstrations using phase-modulated transmission Coherent and phase-modulated optical systems are thereforedealt with in some detail in Chapter 13 which covers both the fundamentals and the initialperiod of research and development associated with coherent transmission prior to 1992,together with the important recent experimental system and field trial demonstrations

primarily focused on phase-modulated transmission that have taken place since 2002 Inparticular a major new section describing differential phase shift keying systems togetherwith new sections on polarization multiplexing and high-capacity transmission have beenincorporated into this third edition.

Chapter 14 provides a general treatment of the major measurements which may beundertaken on optical fibers in both the laboratory and the field The chapter is incorpor-ated at this stage in the book to enable the reader to obtain a more complete understanding

of optical fiber subsystems and systems prior to consideration of these issues It continues toinclude the measurements required to be taken on single-mode fibers and it addresses themeasurement techniques which have been adopted as national and international standards.Finally, Chapter 15 on optical networks comprises an almost entirely new chapter forthe third edition which provides both a detailed overview of this expanding field and a dis-cussion of all the major aspects and technological solutions currently being explored Inparticular, important implementations of wavelength routing and optical switching net-works are described prior to consideration of the various optical network deployments thathave occurred or are under active investigation The chapter finishes with a section whichaddresses optical network protection and survivability

The book is also referenced throughout to extensive end-of-chapter references whichprovide a guide for further reading and also indicate a source for those equations that havebeen quoted without derivation A complete list of symbols, together with a list of com-mon abbreviations in the text, is also provided SI units are used throughout the book

I must extend my gratitude for the many useful comments and suggestions provided bythe diligent reviewers that have both encouraged and stimulated improvements to the text.Many thanks are also given to the authors of the multitude of journal and conferencepapers, articles and books that have been consulted and referenced in the preparation ofthis third edition and especially to those authors, publishers and companies who havekindly granted permission for the reproduction of diagrams and photographs I would alsolike to thank the many readers of the second edition for their constructive and courteousfeedback which has enabled me to make the substantial improvements that now comprisethis third edition Furthermore, I remain extremely grateful to my family and friends whohave continued to be supportive and express interest over the long period of the revisionfor this edition of the book In particular, my very special thanks go to Judy for her con-tinued patience and unwavering support which enabled me to finally complete the task,albeit at the expense of evenings and weekends which could have been spent more fre-quently together

John M Senior

We are grateful to the following for permission to reproduce copyright material:

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List of symbols and

abbreviations

A constant, area (cross-section, emission), far-field pattern size, mode

ampli-tude, wave amplitude (A0)

A21 Einstein coefficient of spontaneous emission

Ac peak amplitude of the subcarrier waveform (analog transmission)

a fiber core radius, parameter which defines the asymmetry of a planar guide

(given by Eq (10.21)), baseband message signal (a(t))

ab(λ) effective fiber core radius

aeff bend attenuation fiber

ak integer 1 or 0

am(λ) relative attenuation between optical powers launched into multimode and

single-mode fibers

B constant, electrical bandwidth (post-detection), magnetic flux density, mode

amplitude, wave amplitude (B0)

B12, B21 Einstein coefficients of absorption, stimulated emission

BF modal birefringence

Bfib fiber bandwidth

BFPA mode bandwidth (Fabry–Pérot amplifier)

Bm bandwidth of an intensity-modulated optical signal m(t), maximum 3 dB

bandwidth (photodiode)

Bopt optical bandwidth

Br recombination coefficient for electrons and holes

BT bit rate, when the system becomes dispersion limited (BT(DL))

b normalized propagation constant for a fiber, ratio of luminance to composite

video, linewidth broadening factor (injection laser)

C constant, capacitance, crack depth (fiber), wave coupling coefficient per unit

length, coefficient incorporating Einstein coefficients

Ca effective input capacitance of an optical fiber receiver amplifier

Cd optical detector capacitance

Cf capacitance associated with the feedback resistor of a transimpedance

optical fiber receiver amplifier

Cj junction capacitance (photodiode)

CL total optical fiber channel loss in decibels, including the dispersion–

equalization penalty (CLD)

C0 wave amplitude

CT total capacitance

CT polarization crosstalk

c velocity of light in a vacuum, constant (c1, c2)

D amplitude coefficient, electric flux density, distance, diffusion coefficient,

corrugation period, decision threshold in digital optical fiber transmission,

fiber dispersion parameters: material (DM); profile (DP); total first order (DT);

waveguide (DW), detectivity (photodiode), specific detectivity (D*)

(photodetector), thickness of recombination region (optical source), pindiameter (mode scrambler)

vari-able, electron energy

EF Fermi level (energy), quasi-Fermi level located in the conduction band (EFc),

valence band (EFv) of a semiconductor

semicon-ductor (bandgap energy)

Em(t) subcarrier electric field (analog transmission)

F probability of failure, transmission factor of a semiconductor–external

inter-face, excess avalanche noise factor (F(M)), optical amplifier noise figure

Fto total noise figure for system of cascaded optical amplifiers

cavity gain of a semiconductor laser amplifier

C gain coefficient per unit length (laser cavity)

gm transconductance of a field effect transistor, material gain coefficient

C

H(ω) optical power transfer function (fiber), circuit transfer function

equalization)

HCL(ω) closed loop current to voltage transfer function (receiver amplifier)

Heq(ω) equalizer transfer function (frequency response)

HOL(ω) open loop current to voltage transfer function (receiver amplifier)

Hout(ω) output pulse spectrum from an optical fiber receiver

for optical fiber (h(t)), mode coupling parameter (PM fiber)

hA(t) optical fiber receiver amplifier impulse response (including any equalization)

hout(t) output pulse shape from an optical fiber receiver

hp(t) input pulse shape to an optical fiber receiver

ht(t) transmitted pulse shape on an optical fiber link

Ibias bias current for an optical detector

coherent receiver

iamp optical receiver, preamplifier total noise current

if noise current generated in the feedback resistor of an optical fiber receiver

transimpedance preamplifier

iN total noise current at a digital optical fiber receiver

noise current

noise current

isig signal current obtained in an optical fiber receiver

iTS total shot noise current for a photodiode without internal gain

KI stress intensity factor, for an elliptical crack (KIC)

vector for an electron in a crystal, ratio of ionization rates for holes and electrons, integer, coupling coefficient for two interacting waveguidemodes, constant

(wave-guide modes)

Lac insertion loss of access coupler in distribution system

LD diffusion length of charge carriers (LED), fiber dispersion length

of guided modes or mode volume; for a multimode step index fiber (Ms); for

multimode graded index fiber (Mg), mean value (M1) and mean square value

(M2) of a random variable

M x

excess avalanche noise factor (also denoted as F(M))

optical signal (m(t)), mean value of a random variable, integer, optical

modulation index (subcarrier amplitude modulation)

N integer, density of atoms in a particular energy level (e.g N1, N2, N3),

minority carrier concentration in n-type semiconductor material, number of

input/output ports on a fiber star coupler, number of nodes on distribution

system, noise current, dimensionless combination of pulse and fiber eters (soliton)

n refractive index (e.g n1, n2, n3), stress corrosion susceptibility, negative-type

semiconductor material, electron density, number of chips (OCDM)

neff effective refractive index of a single-mode fiber

mater-ial, probability of error (P(e)), of detecting a zero level (P(0)), of detecting a one level (P(1)), of detecting z photons in a particular time period (P(z)),

conditional probability of detecting a zero when a one is transmitted

power (P1, P2, etc.)

transmitted through fiber sample

Pc optical power coupled into a step index fiber, optical power level

Pint internally generated optical power (optical source)

Pout initial output optical (prior to degradation) power from an optical source

PRa(t) backscattered optical power (Rayleigh) within a fiber

p crystal momentum, average photoelastic coefficient, positive-type

semicon-ductor material, probability density function (p(x))

R photodiode responsivity, radius of curvature of a fiber bend, electrical

resist-ance (e.g Rin, Rout); facet reflectivity (R1, R2)

R12 upward transition rate for electrons from energy level 1 to level 2

R21 downward transition rate for electrons from energy level 2 to level 1

Ra effective input resistance of an optical fiber receiver preamplifier

Rb bias resistance, for optical fiber receiver preamplifier (Rba)

REdB ratio of electrical output power to electrical input power in decibels for an

optical fiber system

Rf feedback resistance in an optical fiber receiver transimpedance preamplifier

ROdB ratio of optical output power to optical input power in decibels for an optical

fiber system

RTL total load resistance within an optical fiber receiver

reflectivity, electro-optic coefficient

rER, rET reflection and transmission coefficients, respectively, for the electric field at

a planar, guide–cladding interface

rHR, rHT reflection and transmission coefficients respectively for the magnetic field at

a planar, guide–cladding interface

(fiber), power spectral density S(ω)

Sm(ψ) spectral density of the intensity-modulated optical signal m(t)

[(S/N)p–p] with rms signal power [(S/N)rms]

Ta insertion loss resulting from an angular offset between jointed optical fibers

fiber link

TF fictive temperature

Tl insertion loss resulting from a lateral offset between jointed optical fibers

fiber link

Tsyst total 10 to 90% rise time for an optical fiber system

TT total insertion loss at an optical fiber joint

t time, carrier transit time, slow(ts), fast (tf)

waveguide

Vopt voltage reading corresponding to the total optical power in a fiber

Vsc voltage reading corresponding to the scattered optical power in a fiber

vA(t) receiver amplifier output voltage

thickness, grating line spacing

z coordinate, number of photons

period τ

α characteristic refractive index profile for fiber (profile parameter), optimum

profile parameter (αop), linewidth enhancement factor (injection laser), opticallink loss

αcr connector loss at transmitter and receiver in decibels

αi internal wavelength loss per unit length (injection laser)

γ angle, attenuation coefficient per unit length for a fiber, nonlinear coefficient

resulting from the Kerr effect

difference)

graded index fiber

step index fiber, with mode coupling (δTsc)

ε electric permittivity, of free space (ε0), relative (εr), semiconductor (εs),

extinction ratio (optical transmitter)