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 Chapter 15

Digital Signal Processing for Optical Communications

and Networks

Tianhua Xu

Additional information is available at the end of the chapter

http://dx.doi.org/10.5772/intechopen.68323

Abstract
The achievable information rates of optical communication networks have been widely
increased over the past four decades with the introduction and development of optical
amplifiers, coherent detection, advanced modulation formats, and digital signal processing
techniques. These developments promoted the revolution of optical communication sys-
tems and the growth of Internet, towards the direction of high-capacity and long-distance
transmissions. The performance of long-haul high-capacity optical fiber communication
systems is significantly degraded by transmission impairments, such as chromatic disper-
sion, polarization mode dispersion, laser phase noise and Kerr fiber nonlinearities. With the
entire capture of the amplitude and phase of the signals using coherent optical detection,
the powerful compensation and effective mitigation of the transmission impairments can be
implemented using the digital signal processing in electrical domain. This becomes one of
the most promising techniques for next-generation optical communication networks to
achieve a performance close to the Shannon capacity limit. This chapter will focus on the
introduction and investigation of digital signal processing employed for channel impair-
ments compensation based on the coherent detection of optical signals, to provide a
roadmap for the design and implementation of real‐time optical fiber communication
systems.

Keywords: optical communications, optical networks, digital signal processing, coherent

detection, chromatic dispersion, polarization mode dispersion, laser phase noise, fiber
nonlinearities

© 2017 The Author(s). Licensee InTech. This chapter is distributed under the terms of the Creative Commons
Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use,
distribution, and reproduction in any medium, provided the original work is properly cited.
298 Optical Fiber and Wireless Communications

1. Introduction

The performance of high-capacity optical communication systems can be significantly degraded

by fiber attenuation, chromatic dispersion (CD), polarization mode dispersion (PMD), laser
phase noise (PN), and Kerr nonlinearities [1–10]. Using coherent detection, the powerful com-
pensation of transmission impairments can be implemented in electrical domain. With the full
information of the received signals, the chromatic dispersion, the polarization mode dispersion,
the carrier phase noise, and the fiber Kerr nonlinearities can be equalized and mitigated using
digital signal processing (DSP) [11–22].
Due to the high sensitivity of the receiver, coherent optical transmission was investigated
extensively in the eighties of last century [23, 24]. However, the development of coherent
communication has been delayed for nearly 20 years after that period [25, 26]. Coherent optical
detection re-attracted the research interests until 2005, since the advanced modulation formats,
i.e., m-level phase shift keying (m-PSK) and m-level quadrature amplitude modulation
(m-QAM), can be applied [27–30]. In addition, coherent optical detection allows the electrical
mitigation of system impairments. With the two main merits, the reborn coherent detections
brought us the enormous potential for higher transmission speed and spectral efficiency in
current optical fiber communication systems [31, 32].

With an additional local oscillator (LO) source, the sensitivity of coherent receiver reached
the limitation of the shot-noise. Furthermore, compared to the traditional intensity modula-
tion direct detection system, the multilevel modulation formats can be applied using the
phase modulations, which can include more information bits in one transmitted symbol than
before.

Meanwhile, since the coherent demodulation is linear and all information of the received
signals can be detected, signal processing approaches, i.e., tight spectral filtering, CD equali-
zation, PMD compensation, laser PN estimation, and fiber nonlinearity compensation, can be
implemented in electrical domain [33–40].

The typical block diagram of the coherent optical transmission system is shown in Figure 1.
The transmitted optical signal is combined coherently with the continuous wave from the
narrow-linewidth LO laser so that the detected optical intensity in the photodiode (PD) ends
can be increased and the phase information of the optical signal can be obtained. The use of LO
laser is to increase the receiver sensitivity of the detection of optical signals, and the perfor-
mance of coherent transmission can even behave close to the Shannon limit [3, 12].
The development of the coherent transmission systems has stopped for more than 10 years
due to the invention of Erbium-doped fiber amplifiers (EDFAs) [1, 2]. The coherent trans-
mission techniques attracted the interests of investigation again around 2005, when a new
stage of the coherent lightwave systems comes out by combining the digital signal
processing techniques [41–46]. This type of coherent lightwave system is called as digital
coherent communication system. In the digital coherent transmission systems, the electrical
 Digital Signal Processing for Optical Communications and Networks 299
http://dx.doi.org/10.5772/intechopen.68323

signals output from the photodiodes are sampled and transformed into the discrete signals
using high-speed analogue-to-digital convertors (ADCs), which can be further processed by
the DSP algorithms.
The phase locking and the polarization adjustment were the main obstacles in the traditional
coherent lightwave systems, while they can be solved by the carrier phase estimation and the
polarization equalization, respectively, in the digital coherent optical transmission systems
[47–55]. Besides, the chromatic dispersion and the nonlinear effects can also be mitigated by
using the digital signal processing techniques [56–62]. The typical structure of the DSP com-
pensating modules in the digital coherent receiver is shown in Figure 2.

Figure 1. Schematic of coherent optical communication system with digital signal processing.

Figure 2. Block diagram of DSP in digital coherent receiver.

2. Digital signal processing for compensating transmission impairments

In this section, the chromatic dispersion compensation, polarization mode dispersion equali-
zation, and carrier phase noise compensation are analyzed and discussed using corresponding
DSP algorithms.
300 Optical Fiber and Wireless Communications

2.1. Chromatic dispersion compensation

Digital filters involving the time-domain least-mean-square (TD-LMS) adaptive filter, the
static time-domain finite impulse response (STD-FIR) filter, and the frequency-domain
equalizers (FDEs) are investigated for CD compensation. The characters of these filters are
analyzed based on a 28-Gbaud dual-polarization quadrature phase shift keying (DP-QPSK)
coherent transmission system using postcompensation of dispersion. It is noted that the
STD-FIR filter and the FDEs can also be used for the dispersion predistorted coherent com-
munication systems.

2.1.1. Time domain least-mean-square equalizer

The TD-LMS filter employs an iterative algorithm that incorporates successive corrections to
weights vector in the negative direction of the gradient vector, which eventually leads to a
minimum mean square error [34, 38, 63–65]. The transfer function of the TD-LMS digital filter
can be described as follows:
!H !
yout ðnÞ ¼ W LMS ðnÞ x in ðnÞ ð1Þ
! ! !
W LMS ðn þ 1Þ ¼ W LMS ðnÞ þ μLMS x in ðnÞeLMS ðnÞ ð2Þ

eLMS ðnÞ ¼ dLMS ðnÞ yout ðnÞ ð3Þ

!
where x in ðnÞ is the vector of received signals, yout(n) is the equalized output signal, n is the
!
index of signal, W LMS ðnÞ is the vector of tap weights, H is the Hermitian transform operator,
dLMS(n) is the desired symbol, eLMS(n) is the error between the desired symbol and the output
signal, * is the conjugation operator, and μLMS is the step size. To ensure the convergence of tap
!
weights W LMS ðnÞ, the step size μLMS has to meet the condition of μLMS < 1=U max , where Umax
! !H
is the largest eigenvalue of the correlation matrix R ¼ x in ðnÞ x in ðnÞ [63]. The TD-LMS disper-
sion compensation filter can be applied in the “decision-directed” or the “sequence-training”
mode [63].

The tap weights in TD-LMS adaptive equalizer for 20 km fiber CD compensation are shown in
Figure 3. The convergence for 9 tap weights in the TD-LMS filter with step size equal to 0.1 is
shown in Figure 3(a), and it is found that the tap weights reach their convergence after ~5000
iterations. The distribution of the magnitudes of the converged tap weights is plotted in
Figure 3(b), and it is found that the central tap weights take more dominant roles than the
high-order tap weights [34, 66].

2.1.2. Static time-domain finite impulse response filter

Compared with the iteratively updated TD-LMS filter, the tap weights in STD-FIR filter have a
relatively simple specification [34, 67–69], the tap weight in STD-FIR filter is given by the
following equations:
 Digital Signal Processing for Optical Communications and Networks 301
http://dx.doi.org/10.5772/intechopen.68323

(a)

(b)

Figure 3. Taps weights of TD-LMS filter. (a) Tap weights magnitudes convergence and (b) converged tap weights
magnitudes distribution.

sffiffiffiffiffiffiffiffiffiffiffiffi
jcT 2 πcT 2 2
     
N N
ak ¼ exp j k ≤k≤ ð4Þ
Dλ2 L Dλ2 L 2 2

jDjλ2 L
 
A
N ¼ 2· þ1 ð5Þ
2cT 2

where D is the CD coefficient, λ is the carrier central wavelength, L is the length of fiber, T is
the sampling period, NA is the maximum number of taps, and ⌊x⌋ means the nearest integer
smaller than x.
302 Optical Fiber and Wireless Communications

Figure 4. Tap weights of STD-FIR chromatic dispersion compensation filter.

For 20 km fiber with CD coefficient of D ¼ 16ps=ðnm
kmÞ, the distribution of the tap weights
in the STD-FIR filter is shown in Figure 4.

2.1.3. Frequency domain equalizers

Since the complexity is very low for compensating large CD [34, 70], the most promising and
popular chromatic dispersion compensation filters in coherent transmission systems are the
frequency domain equalizers. The transfer function of the frequency domain equalizers is given
by the following expression:

jDλ2 ω2 L
 
Gc ðL, ωÞ ¼ exp ð6Þ
4πc

where D is the chromatic dispersion coefficient, λ is the carrier central wavelength, ω is the
angular frequency, L is the length of fiber, and c is the light speed in vacuum.
The frequency domain equalizers are generally implemented using the overlap-save (OLS) and
the overlap-add (OLA) approaches based on the fast Fourier transform and the inverse fast
Fourier transform (iFFT) convolution algorithms [71–73], as described in Figure 5.

2.2. Polarization mode dispersion equalization

Due to the random character of the polarization mode dispersion and the polarization rotation,
the compensation of the PMD and the polarization rotation are generally realized by the
adaptive algorithms such as the least-mean-square (LMS) and the constant modulus algorithm
(CMA) filters.
 Digital Signal Processing for Optical Communications and Networks 303
http://dx.doi.org/10.5772/intechopen.68323

Figure 5. Schematic of frequency domain equalizer for chromatic dispersion compensation.

2.2.1. LMS adaptive PMD equalization

In the electrical domain, the impact of the PMD and the polarization fluctuation can be
adaptively equalized using the decision-directed LMS (DD-LMS) filter [36, 63], of which the
transfer function is given by:

!H
2 3
!H "!
w ðnÞ w ðnÞ
#
xout ðnÞ x in ðnÞ
 
6 xx xy
¼4 5
! ð7Þ
7
yout ðnÞ !H !H y ðnÞ
wyx ðnÞ wyy ðnÞ in

!
8! !
> wxx ðn þ 1Þ ¼ wxx ðnÞ þ μp
εx ðnÞ
x ðnÞ
in
>
>
>
! ! !
>
< wyx ðn þ 1Þ ¼ wyx ðnÞ þ μp
εy ðnÞ
x ðnÞ
>
>
in
!
ð8Þ
>!
>
!
wxy ðn þ 1Þ ¼ wxy ðnÞ þ μp
εx ðnÞ
y ðnÞ
>
> in
!
>
>!
> !
: wyy ðn þ 1Þ ¼ wyy ðnÞ þ μp
εy ðnÞ
y ðnÞ
in

εx ðnÞ ¼ dx ðnÞ xout ðnÞ

ð9Þ
εy ðnÞ ¼ dy ðnÞ yout ðnÞ

! !
where x in ðnÞ and y in ðnÞ are the vectors of the input signals, xout(n) and yout(n) are the equalized
! ! ! !
output signals, respectively, wxx ðnÞ, wxy ðnÞ, wyx ðnÞ and wyy ðnÞ are the complex tap weights
vectors, dx(n) and dy(n) are the desired symbols, εx(n) and εy(n) are the estimation errors
between the desired symbols and the output signals in the two polarizations, respectively,
and μp is the step size in the DD-LMS algorithm.

2.2.2. CMA adaptive PMD equalization

The influence of the PMD and the polarization fluctuation can also be compensated employing
the CMA adaptive filter [74, 75], of which the transfer function can be described as:
304 Optical Fiber and Wireless Communications

!H
2 3
!H "
!
#
6 ν xx ðnÞ ν xy ðnÞ 7
 
xout ðnÞ x ðnÞ
¼
!in ð10Þ
yout ðnÞ !H
4 !H
y in ðnÞ
5
ν yx ðnÞ ν ðnÞ
yy

8! ! !
> ν xx ðn þ 1Þ ¼ ν xx ðnÞ þ μq
ηx ðnÞ
x ðnÞ
> in
!
>
<! !
>
ν yx ðn þ 1Þ ¼ ν yx ðnÞ þ μq
ηy ðnÞ
x ðnÞ
>
in
! ! !  ð11Þ
> ν xy ðn þ 1Þ ¼ ν xy ðnÞ þ μq
ηx ðnÞ
y ðnÞ
in
>
>
:! ! !
>
>
ν ðn þ 1Þ ¼ ν ðnÞ þ μ
η ðnÞ
y ðnÞ
yy yy q y in
(
ηx ðnÞ ¼ 1 jxout ðnÞj2
ð12Þ
ηy ðnÞ ¼ 1 jyout ðnÞj2

! !
where x in ðnÞ and y in ðnÞ are the vectors of the input signals, xout(n) and yout(n) are the equalized
! ! ! !
output signals, respectively, ν xx ðnÞ, ν xy ðnÞ, ν yx ðnÞ, and ν yy ðnÞ are the complex tap weights
vectors, ηx(n) and ηy(n) are the estimation errors between the desired amplitude and the output
signals in the two polarizations, respectively, and μq is the step size in the CMA algorithm.

It can be found that the CMA algorithm is based on the principle of minimizing the modulus
variation of the output signal to update its weight vector.

2.3. Carrier phase estimation

In this section, the analyses on different carrier phase estimation algorithms, involving the one-
tap normalized LMS, the differential phase estimation, the block-wise average (BWA), and the
Viterbi-Viterbi (VV) methods in the coherent optical transmission systems, will be presented.

2.3.1. The normalized LMS carrier phase estimation

The one-tap normalized LMS filter can be employed effectively for carrier phase estimation
[76–78], of which the tap weight is expressed as:

μNLMS
wNLMS ðn þ 1Þ ¼ wNLMS ðnÞ þ xin ðnÞeNLMS ðnÞ ð13Þ
jxin ðnÞj2

eNLMS ðnÞ ¼ dPE ðnÞ wNLMS ðnÞ
xin ðnÞ ð14Þ

where wNLMS(n) is the tap weight, xin(n) is the input signal, n is the symbol index, dPE(n) is the
desired symbol, and eNLMS(n) is the carrier phase estimation error between the desired symbol
and the output signal, and μNLMS is the step size in the one-tap normalized LMS filter.
It has been demonstrated that the one-tap normalized LMS carrier phase estimation behaves
similar to the differential phase estimation [28, 53, 55, 76], of which the BER floor in the m-PSK
coherent optical transmission systems can be approximately described by the following ana-
lytical expression:
 Digital Signal Processing for Optical Communications and Networks 305
http://dx.doi.org/10.5772/intechopen.68323

 
1 π
BERNLMS
f loor ≈ erf c pffiffiffi ð15Þ
log2 m m 2σ

where σ is the square root of the phase noise variance. The schematic of the one-tap normalized
LMS carrier phase estimation is illustrated in Figure 6.

2.3.2. Differential carrier phase estimation

The differential signal demodulation can be also applied for carrier phase estimation in coherent
transmission system [28, 53, 55], where the differentially encoded data can be recovered using
the “delay and multiply” algorithm. Using differential carrier phase estimation, the encoded
information can be recovered according to the phase difference between the two consecutive
symbols, i.e., the decision variable Ψ ¼ xn x∗nþ1 exp fiπ=mg, where xn and xn+1 are the consecutive
n-th and (n+1)-th received symbols. The BER floor of the differential carrier phase estimation can
be evaluated using the principle of conditional probability. For the m-PSK coherent systems, the
BER floor in differential phase estimation is expressed as the following equation [28, 53]:
 
Dif f erential 1 π
BERf loor ¼ erf c pffiffiffi ð16Þ
log2 m m 2σ

where σ is the square root of the phase noise variance. The schematic of the differential carrier
phase estimation is described in Figure 7.

Figure 6. Schematic of one-tap normalized LMS carrier phase estimation.

Figure 7. Schematic of differential carrier phase estimation.

306 Optical Fiber and Wireless Communications

2.3.3. The block-wise average carrier phase estimation

The block-wise average approach calculates the m-th power of the received symbols in each
processing unit to remove the information of phase modulation, and the computed phase is
summed and averaged over the entire process block, where the length of the process block is
called block size. Then the averaged phase is divided by m, and the result leads to the phase
estimate for the entire data block [79–81]. For the m-PSK coherent communication system, the
estimated carrier phase in each process block using the block-wise average approach is given
by the following expression:
8 9
M
N b
^ BWA ðnÞ ¼ 1 arg
< X =
Φ xm ðkÞ ð17Þ
m :k¼1þðM 1Þ
N ;
b

n
M¼ ð18Þ
Nb

where Nb is the block size in the BWA approach, and ⌈x⌉ means the nearest integer larger than x.
The performance of the block-wise average carrier phase estimation method in the m-PSK
coherent optical communication system can be derived based on the Taylor expansion of the
estimated carrier phase error, and the BER floor in the block-wise average carrier phase
estimation can be described using the following expression [52, 53, 55, 79]:
!
Nb
1 X π
BERBWA
f loor ≈
erf c pffiffiffi ð19Þ
N b
log2 m k¼1 m 2σBWA, k

σ2 h i
σ2BWA, k ¼
2ðk 1Þ3 þ 3ðk 1Þ2 þ 2ðN b kÞ3 þ 3ðN b kÞ2 þ N b 1 ð20Þ
6N2b

where σ2 represents the total phase noise variance in the coherent transmission system. The
schematic of the block-wise average carrier phase estimation is shown in Figure 8.

Figure 8. Schematic of block-wise average carrier phase estimation.

 Digital Signal Processing for Optical Communications and Networks 307
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2.3.4. The Viterbi-Viterbi carrier phase estimation

The Viterbi-Viterbi carrier phase estimation approach also operates the symbols in each process
block into the m-th power to remove the information of the phase modulation. The computed
phase is also summed and averaged over the entire process block, where the length of the
process block is also called block size. Then the averaged phase is divided by m as the estimated
carrier phase. However, compared to the BWA approach, the estimated phase in the Viterbi-
Viterbi carrier phase estimation approach is only applied in the phase recovery of the central
symbol in each process block [55, 81–83]. The estimated carrier phase in the Viterbi-Viterbi
approach in m-PSK optical communication systems is given by the following expression:
8 9
1 < ðNXv 1Þ=2 =
Φ^ VV ðnÞ ¼ arg xm ðn þ kÞ , N v ¼ 1, 3, 5, 7… ð21Þ
m :k¼ ðN 1Þ=2 ;
ν

where Nν is the block size in the Viterbi-Viterbi carrier phase estimation approach.
The performance of the Viterbi-Viterbi carrier phase estimation in the m-PSK coherent optical
communication system can also be derived employing the Taylor expansion of the estimated
carrier phase. The BER floor in the Viterbi-Viterbi carrier phase estimation for the m-PSK
transmission system can be expressed as follows [52, 53, 55]:
 
VV 1 π
BERf loor ≈ erf c pffiffiffi ð22Þ
log2 m m 2σVV

N2v 1
σ2VV ¼ σ2
ð23Þ
12Nv

where σ2 represents the total phase noise variance in the coherent transmission system. The
schematic of the Viterbi-Viterbi carrier phase estimation is illustrated in Figure 9.
According to Eqs. (20) and (23), it can be found that the phase estimate error in the Viterbi-
Viterbi carrier phase estimation corresponds to the phase estimate error of the central symbol
(the smallest error) in the block-wise average carrier phase estimation. Therefore, the Viterbi-

Figure 9. Schematic of Viterbi-Viterbi carrier phase estimation.

308 Optical Fiber and Wireless Communications

Viterbi approach will generally perform better than the block-wise average approach, in terms
of the phase estimate error. However, it requires more computational complexity to update the
process unit for the phase estimation of each symbol.
It is noted that the one-tap normalized LMS algorithm can also be employed for the m-QAM
coherent transmission systems, while the block-wise average and the Viterbi-Viterbi methods
cannot be easily used for the classical m-QAM coherent systems except the circular constella-
tion m-QAM systems.

3. Conclusions

In this chapter, the digital signal processing techniques for compensating transmission impair-
ments in optical communication systems including chromatic dispersion, polarization mode
dispersion, and laser phase noise have been described and analyzed in detail. Chromatic disper-
sion can be compensated using the digital filters in both time domain and frequency domain.
Polarization mode dispersion can be equalized adaptively using the least-mean-square method
and the constant modulus algorithm. Phase noise from the laser sources can be estimated and
compensated using the feed-forward and feed-back carrier phase recovery approaches.
Digital signal processing combined with coherent detection shows a very promising solution
for long-haul high-capacity optical communication systems, which offers a great flexibility in
the design, deployment, and operation of optical communication networks. Fiber nonlinear-
ities, including self-phase modulation, cross-phase modulation, and four-wave mixing, can be
mitigated using single-channel and multichannel digital back-propagation in the electrical
domain, which will be discussed in future work.

Acknowledgements

This work is supported in part by UK Engineering and Physical Sciences Research Council
(project UNLOC EP/J017582/1), in part by European Commission Research Council FP7-PEO-
PLE-2012-IAPP (project GRIFFON, No. 324391), in part by European Commission Research
Council FP7-PEOPLE-2013-ITN (project ICONE, No. 608099), and in part by Swedish Research
Council Vetenskapsradet (No. 0379801).

Author details

Tianhua Xu

Address all correspondence to: tianhua.xu@ucl.ac.uk

Department of Electronic and Electrical Engineering, University College London, London,

United Kingdom
 Digital Signal Processing for Optical Communications and Networks 309
http://dx.doi.org/10.5772/intechopen.68323

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