Library of Congress Catalaging In Publication Data Senior, John, M., 1951— Optical fiber communications. Bibliography: p. Includes indax. 1. Optival communications. 2. Fibor optics. . Title. TK5103.59.846 1984 621.380414 a4-8315, ISBN 0-13-638248-? (caso) ISBN 0-13-638222-3 {pbk} British Library Cataloging in Publication Data Sesion he M Optical fiber communications. SE ar opts oe 621.38'0414 TK5103.59° \seno-13-ec028-7 ak6 Sev ocisesezneo roe 32566 21985 by Prentice-Hall International, Ine., London All rights reserved, No part of this publication may be reproduced, stored in @ retrioval system, or transmitted, in any form or by any moans, electronic, mechanical, photocopying, recording or otherwise, without the aria: permission of Prentice-Hall Internetional, inc., London. For permission within the United States contact Prentice-Hall inc., Englewood Clits, NJ 07632. ISBN 0-13-b38246 7 ISBN O-13-b38222 3 {PBK Prentice-Hall International, Inc. London Prentice-Hall of Austral.a Pty. Ltc., Sydney Prentice-Hall Caneda, Inc., Toronto Prentice-Hall of India Private Lid., New Dethi Prentice-Hall of Sautneas! Asia Pte., Ltd, Singapore Prentice-Hall Ino., Englewood Clits, Now Jersey Prontice-Hall da Bresil Ltdo.,Aio de Janaira Whitehall Books Ltd., Wellington, New Zealand 987654921 ‘Typeset by Pintail Studios Lte., Ringwood, Hants., UK. Printed in tha United States of AmericaContents Preface ix Glossary of Symbols and Abbreviations —_ xi 1 INTRODUCTION 1 1.1 Historical Development — 1 1.2 TheGenaral System 4 1.3 Advantages of Optical Fiber Communication 7 References 10 2 OPTICALFIBER WAVEGUIDES 11 2.1 Introduction 11 2.2 Ray Theory Transmission 12 22.1 Total internalrefiection 42 2.2.2 Acceptance angle 14 2.2.3 Numerical aperture 15 2.2.4 Skewrays 19 2.3. Electromagnetic Moda Theory For Optical Propagation 22 Electromagnetic waves: 22 Modes in a plarar guide 24 Phase and group velocity 27 Phase shift with total intemal reflection and the evanescent fild 29 Goos-Haenchen shift 34 Cylindrical fiber Mode coupling 41 2.4 Step Index Fibers 43 2.4.1. Multimode step index fibers 44 24.2 Single made step index fibers 45. 2.5 Graded IndexFibors 48 Problems 57 References 59 3 TRANSMISSION CHARACTERISTICS OF OPTICAL FIBERS 62 3.1 Introduction 62 3.2 Attenuation 63 3.3 Material Absorption Losses 65 3.3.1 Intrinsic absorption 65 3.3.2 Extrinsic absorption 66 3.4 Linger Boattering Lost 68 3.41 Rayisigh scattering 69. 34.2 Miescattering = 713.5 Nontinaar Scattering Losses 71 3.5.1 Stimulated Brillouin scattering 72 3.5.2 Stimulatad Raman scattering — 72 3.6 FiberBondLoss 73 3.7 Dispersion 76 3.8 Intramodal Dispersion 80 3.8.1 Materialdispersion 81 3.8.2 Waveguide dispersion 84 3,9. intermodal Dispersion 84 3.9.1. Multimode step index fiber 85. 9.9.2 Multimode graded index fiber 90. 3.10 Qvarall Fiber Dispersion 93 3.10.1 Multimode fibers 93 3.10.2 Single mode fibers 94 3.11 Modai Noise 98 3.12 Polarization 100 3.12.1 Modal birefringence 100 Problems 104 References 108 OPTICAL FIBERS, CABLES AND CONNECTIONS 44 4.2 43 44 45 46 47 48 43 4.10 441 Introduction Preparation of Optical Fibers uid Phase (Melting) Techniques Fiber drawin: Vapor Phase Deposition Techniques 431 4.4.1 442 443 444 445 Optical Fibers 4.5.1 4.5.2 4.5.3 484 4.5. Optical Fiber Cables 4.6.1 4.6.2 Cable Design 474 4.7.2 473 ara Optical Fiber Connection 4.8.5 Fiber Splices 49.1 4.9.2 4.9.3 Fiber Connectors Butt Jointed Connectors 4,114 Ferrule connactor 4.11.2. Bieonical connector 141 112 113 14 118 ‘Outside vapor phase oxidation (OVPO} pracess Vapor axial deposition (VAD} 124 Modified chemical vapor deposition (MCVD) Plasme-activated chemical vapor deposi Summary of vapor phase deposition techniques 128 Multimode step index fisers Multimode graded index fibers Single mode fibers 130 Pisstic-clad fibers 131 Aikplestic fibers 132 133 Fiber strenath and durabil 134 Stability of the fiber transmission characteristics 138 Fiber buffering Cable structural and strength members 138 139 Cable sheath and water barrier Examples offiber cables. 141 144 Fiber alignment and joint loss 156 Fusion splices 157 Mechanical splices Multiple splices. 164 140 146 159 163 168 166 167 ” in (PVD) CONTENTS aw 120 123 126 126 138CONTENTS. v 4,11.3 Ceramic capillary connector 168 4.11.4 Double eceentricconnector 168 4.11.5 Triple ball connector 169 4.11.6 Single mode fiber connector 170. 4.11.7 Multiple connectors 170 4.12 Expanded Beam Connectors = 172 Problems 173 References 177 6 OPTICAL FIBER MEASUREMENTS = 183 6.1 Introduction — 183 6.2 Fiber Attenuation Measurements 186 5.2.1 Totalfiber ettenuation 186 5.2.2 Fiber absorption loss measurement 190 5.2.3 Fiber scattering loss measurement 194 5.3 Fiber Dispersion Mezsurements 196 5.3.1 Timedomain measurement 197 5.3.2 Frequency domain measurement 200 5.4 Fiber Refractive Index Profile Measurements 202 5.4.1 Interferometric methods 202 5.4.2 Nearfie'd scanning method — 204 5.4.3 Endrefiection method 206 5.5 Fiber Numerical Aperture Measurements 209 5.6 Fiber Diameter Measurements 212 6.6.1 Outerdiameter 212 5.6.2 Corediameter 214 5.7 Field Measurements 215 5.7.1 Optical time domain reflectometry (OTOR) 219 Problems = 224 References 228 6 OPTICALSOURCES 1: THELASER = 231 6.1 Introduction 231 62 Basic Concepts 233 6.2.1 Absorption and emission of radiation 234 8.2.2 TheEinstein relations 236 6.2.3 Populationinversion 238, 6.2.4 Optical feedback and laser oscillation 240 6.2.5 Threshold condition for laser oscillation 244 6.3. Optical Emission From Semiconductors 245 6.3.1 Thep-njunetion 245 4.3.2 Spontansousemission 248 €3.3 Cerrierrecombination 250 ‘ 6.3.4 Stimulated emission end lasing 253 6.3.6 Heterojunctions 258 8.3.8 Semiconductor materials 260 #84 The Semiconductor injection Laser 262 . 9.4.1 Efficiency 264 6.4.2 Swipe geometry 265 28 Multimode Injectler ra 267 4 Laser mod: 267 2 Etructures = 268 2 Optlosi output power = 268 4 Recent developments = 270vi CONTENTS 6.6 Single Mode Injection Lasers 271 1 Single mode operation 272 €e7 Single Mode Structures 273 6.7.1 -Buried heterostructure (BH) laser 273 6.7.2. sTransverse junction stripe (TUS} laser 274 6.7.3 Channeled substrate lasers: 274 6.7.4 Distributed feedback (DFB) lesers 276 6.7.5 Large optical cavity (LOCH lasers 277 68 Longer Wavelength Injection Lasers 278 6a in Laser Characteristics 281 Threshold current temperature dependence 281 Dynamic response — 283 Self pulsations 284 Noise 285 9.6 Modehopping 286 6.9.6 Reliability 287 6.10 Injection Laser Coupling and Packaging = 288 6.11 Nonsemiconductor Lasers 289 Problems 290 References 292 7 OPTICAL SOURCES 2: THE LIGHT EMITTING DIODE = 296 7.1 Introduction 296 7.2 LEDEfficiency 298 7.2.1 The doubie he:erojunction LED 302 7.3 LeODStuctures 303 7.3.1 PlanarLeD 303 73.2 DomelFD 304 7.3.3 Surface emitter (Bucrus type) LED 304 7.3.4 Lens coupling — 306 7.4.5 Edge emitterLeO 308 7.4 LeDCharacteristics 910 7.4.1 Optical output power 310 74.2 Output spectrum 311 7.4.3. Modulation bandwidth — 313 744 Reliability 318 7.5 Modulation 320 Problems 321 References 323 8 OPTICALDETECTORS 326 8.1 Introduction 326 8.2 DaviceTypes 327 8.3 Optical Detection Principles 328 B.4 Absorption 329 84.1 Absorption coeffecient 329 8.4.2 Direct and indirect absorption: 843 iLValloys 331 8.5 Quantum Efficiency 332 86 Responsiviy 333 8.7 Long Wavelength Cutoff 335 ilicon and germanium = 331CONTENTS vil 8.8 Semiconductor Photodiodes Without Internal Gain 336 8.8.1 p-nphotodiode 336 8.8.2 pinphotodicde 338 8.9 Semiconductor Photodiodes With Internal Gain 340 8.9.1 Avalanche photodiodes 340 8.9.2 Silicon reach-through avalanche photodiodes 342. 8.9.3 Germanium avalanche photodiodes 343 8.9.4 IIL-Valloy avalanche photodiodes 343 8.9.5 Drawbacks with the avatanche photodiode 344 8.9.6 Multiplication factor 345 8.10 Photorransistors 345 Problems 348 References 350 9 RECEIVER NOISE CONSIDERATIONS 352 9.1 Introduction 352 92 Noise 353 9.2.4 Thermalnoise 353 9.2.2 Darkcurrentnoise 353 9.2.3 Quantum noise 354 9.2.4 Digital signalling quantum noise 365 9.2.5 Analog transmission quantum noise 357 9.3 ReceiverNoise 359 9.3.1 p-nandp-in photodicde receiver 360 9.3.2 Recsivercapacitancs 364 9.3.3 Avalanche photodiode (APD) receiver 366 9.3.4 Excoss avalanche noisa factor = 377 94 Receiver Structures 372 9.4.1 Lowimpedancetrontend 3/2 9.4.2 High impedance {integrating) frontend 373 9.4.3 The transimpedence frontend = 374 9.5 FETPreamplifies 377 9.5.1 Gallium ersenide MESFETs = 378 9.5.2 PIN-FEThybrids 379 Problems 381 References 384 10 OPTICALFIBERSYSTEMS 385 10.1 Introduction 386 10.2 The Optical Transmiter Circuit 388 10.2.1 Source limitations 388 10.2.2 LEOdrive circuits 394 10.2.3 Laser drive circuits 399 10.3. The Optical:Receiver Circuits 403 10.3.1. The preamplifier 404 10.3.2 Automatic gain control (AGC} 409 10.3.3 Equelization 412 10.4 System Design Considerstions = 415 10.4.1 Gomponentchoico 416 10.4.2 Multiplexing = 417 10.8 Digital Systeme (418CONTENTS, [10,6 Digital System Planning Considerations 423 10.6.1__Tha regenerative repeater _424| 10.6.2 The optical transmitter 426 30.6.3 Theontical receiver 427 10.6.4 Chenneliosses 435) Temporal response __ 439) [10.6.6 Optical power budgeting 444] 10.6.7 Line coding _446 10,7 Analog Systems 449) 10.7.1 _ Direct intensity modulation (DIM) 467 10.2.2 System planning 457 10.7.3 Subvarrier intensity modulation _ 460) [10.7.4 Subcarrier double sideband modulation (DSE—IM)___ 462] [10.7.5 Subsartier frequency modulation |FM—IM) 463 10.7.6 Subcartier phase modulation (PM-IM) 466 40.7.7 Pulse analo; i 2] 10.8 Coharent Systems 470 Problems 473 References 479 11. APPLICATIONS AND FUTURE DEVELOPMENTS = 424 11.1 Introduction 484 11.2 Public Network Applications 486 11.2 Trunk network 486 11.2.2 Junction network 489] 14.2.3 Local and rural networks 491] 11.2.4 Submerged systems 493 11.3. Military Applications 494] 11.3.1 Mobiles 49a [41.3.2 Communication links 495 11.4 Civil and Consumer Applications 497 114.1 Civil 497 114.2 Consumer 499 industrial Applications 00) 11.6.1 Local area networks 508] 11.7 _Intograted Optics 512 12.1 Planar wavequides 513 11.8 Integrated Optical Devices 517 11.8.1 Beam splitters and switches _617 11.8.2 Modulators 521 11.8.3 Periodic structures for filters and injection lasers 524 11.8.4 _Bistable optical devices 526) 14.8.5 Ostoolectronic integration 530, 11.8.6 Summary _532| References 533] Appendix A The Field Relations ina PlanarGuide 530 Appendix 8 — Variance of aRandom Variable 540 Appendix C Variance of the Sum of Independent Random Veriables 541 Appendix D Speed of Response of a Photodiode 542 Appendix E — Closed Loop Transfer Function for the Transimpedance Amplifier 643 Appendix F Gaussian Pulse Response 544 Index 5463 Preface The concept of guided lightwave communication along optical fibers has stimulated major new technology which has come to maturity over the last fifteen years. During this period tremendous advances have been achieved with optical fibers and com- ponents as well as with the associated optoelectronics, As a result this new technology has now reached the threshold of large scale commercial exploitation. Installation of optical fiber communication systems is progressing within both national telecom- munication networks and morc localized data communication and telemetry environ- ments. Furthermore, optical fiber communication has become synonymous with the current worldwide revolution in information technology. The relentless onslaught will undoubtedly continue over the next decade and the further predlicted developments will ensure even wider application of optical fiber communication technology in this ‘infor- niation age’. The practical realization of wide-scale optical fiber communications requires suitable education and training for engineers and scientists within the technology. In this context the book has been developed from both teaching the subject to final year undergraduates and from a successful series of short courses on optical fiber com- munications conducted for professional engineers at Manchester Polytechnic. This book has therefore been written as a comprehensive introductory textbook for use by undergraduate and postgraduate engineers and scientists to provide them with a firm grounding in the major aspects of this new technology whilst giving an insight into the possible future developments within the field. The reader shoukd therefore be in a posi- tion to appreciate developments as they occur. With these aims in mind the book has been produced in the form of a teaching text enabling the reader to progress onto the growing number of specialist texts concerned with optical fiber waveguides, optoelectronics, integrated optics, etc. In keeping with the status of an introductory text the fundamentals are included where necessary and there has been no attempt to cover the entire field in full mathematical rigor. However, selected proofs are developed in important areas throughout the text. It is assumed that the reader is conversant with differential and integral calculus and differential cquations. In addition, the reader will find it useful to have a grounding in optics as well as a reasonable familiarity with the fundamentals of solid state physics. Chapler | gives a short introduction to optical fiber commurications by considering the historical development, the general system and the major advantages provided by this new technology. In.Chapter 2 the concept of the optical fiber as a transmission medium is introduced using a simple ray theory approach, This is followed by discus- sion of electromagnetic wave theory applied to optical fibers prior to consideration of lightwave transmission within the various fiber types. The major trensmission characteristics of optical fibers are then discussed in some detail in Chapier 3. Chapters 4 and $ deal with the more practical aspects of optical fiber communica: tlone atid therefore could be omitted from an initial teaching program. In Chapter 4 the ix PREFACE manufacture andl cabling of the various fiber types are described, together with fiber to fiser connection or jointing. Chapter $ gives a general treatrnent of the major measure- ments which may be undertaken on optical fibers in both the laboratory and the field. This chapter is intended to provide sufficient background for the reader to pursue useful laboratory work with aptical fibers. Chapters 6 and 7 discuss the light sources employed in optical fiber communica- tions. In Chapter 6 the fundamental physical principles of photoemission and laser action are covered prior to consideration of the various types of semiconductor ané nonsemiconduetor laser currently in use, or under investigation, for optical fiber com- munications. The other important semiconductor optical source. aamely the light emitting diode, is dealt with in Chapter 7. The next two chapters are devoted to the detection of the optical signal and the amplification of the electrical signal obtained. Chapter 8 discusses the basic principles of optical detection in semiconductors; this is followed by a description of the various types of photodetector currently utilized. The optical fiber receiver is considered in Chapter 9 with particular emphasis on its performance in noise. Chapter (0 draws together the preceding material in a detailed discussion of optical fiber communication systems, aiming to provide an insight into the design criteria and practices for all the main aspects of both digital and analog fiber systems. A brief account of coherent optical fiber systems is also included to give an appreciation of this area of future development. Finally, Chapter [1 describes the many current and pre- dicted application areas for optical fiber communications by drawing on examples from research and development work which has already been undertaken, This discus- sion is expanded into consideration of other likely future developments with a brief account of the current technology involved in integrated optics and optoelectronic integration. Worked examples are interspersed throughout the text to assist the learning process by illustrating the use of equations and by providing realistic values for the various parameters encountered. In addition, problems have been provided at the end of relevant chapters (Chapters 2 to 10 inclusive) to examine the reader's understanding of the text and to assist tutorial work. 4 Teachet’s Manual containing the solutions to these problems may be obtained from the publisher, Extensive end-of-chapter references provide a guide for further reading and indicate 2 source for those equations which have been quoted without derivation. A complete glossary of symbols, together with a list of common abbreviations employed in the text, is provided. ST units are used throughout the text. Tam very grateful for the many useful comments and suggestions provided by reviewers which have resulted in significant improvements to this text. Thanks must also be given to the authors of numerous papers, articles and books which 1 have referenced whilst preparing the text, and especially to those authors, publishers and companies who have kindly granted permission for the reproduction of diagrams and photographs. Further, I would like to thank my collcagues in the Dept. of Electrical and Electronic Engineering at Manchester Polytechnic for their many helpful com- ments on the text; in particular Dr. Norman Burrow, Dr. John Edwards and Stewart Cusworth for the time spent checking the manuscript. I am also grateful to my family and friends for tolerating my infrequent appearances over che period of the writing of this book. Finally, words cannot express my thanks to my wife, Marion, for her patience and encouragement with this project and for her’ skilful typing of the manuscript. JM, Senior Manchester PolytechnicGlossary of Symbols and Abbreviations constant, area (cross-section, emission), far ficld pattern size, mode amplitude, wave amplitude (4 .) Einstein coefficient of spontaneous emission peak amplitude of the subcarrier waveform (analog transmission) Fiber core radius, parameter defining the asymmetry of a planar guide (eqn. 11.6), baseband message signal (a(2)) integer 1 or 0 constant, electrical bandwidth (post detection), magnetic flux density, mode amplitude, wave amplitude (Bo) Einstein coefficients of absorption, stimulated emission modal birefringence bandwidth of an intensity modulated optical signal mi?) optical bandwidth recombination coefficient for electrons and holes bit rate, when the system becomes dispersion limited (By (DL) normalized propagation constant for a fiber, ratio of luminance to com- posite video constant, capacitance, crack depth (fiber), wave coupling coefficient per unit length effective input capacitance of an optical fiber receiver amplifier optical detector capacitance eapacitance associated with the feedback resistor of a transimpedance optical fiber receiver amplifier total optical fiber channel loss in decibels, including the dispersion— equalization penalty (Cip) wave amplitude total capacitance yelocity of light in a vacuum, constant (¢;. ¢) tap coefficients for a transversal cqualizer amplitude coefficient, electric flux density, distance, corrugation period, decision threshold in digital optical fiber transmission frequency deviation ratio (subcarrier FM) dispersion—equalization penaity in decibels frequency deviation ratio (subcarrier PM) fiber core diameter, distance, width of the absorption region (photo- detector), pin diameter (mode scrambler) fiber outer (cladding) diameter electric field, energy, Youngs modulus, expected valus of a random vari- ableGLOSSARY OF SYMBOLS AND ABBREVIATIONS. activation energy of homogeneous degradation for an LED Fermi level (energy), quasi-Fermi level located in the conduction band (By), valence band (E,) of a semiconductor separation energy between the valence and conduction bands in a semiconductor (bandgap energy) subcarrier electric field (analog transmission) optical energy separation energy of the quasi-Fermi levels electronic charge, base for natural logarithms probability of failure, transmission factor of a semiconductor—external interface, excess avalanche noise factor (F(M)) Fourier transformation noise figure (amplifier) frequency peak to peak frequency deviation (PFM-IM) peak frequency deviation (subcarrier FM anc PM) pulse rate (PFM—IM) open loop gain of an optical fiber receiver amplifier amplitude function in the WKB method. optical gain (phototransistor) Gaussian (distribution) degeneracy parameter gain coefficient per unit length (laser cavity) transconductance of a field effect transistor threshold gain per unit length (laser cavity) magnetic field optical power transfer function (fiber), circuit transfer function optical fiber receiver amplifier frequency response (including any equaliza- tion) closed loop eurrent to voltage transfer function (receiver amplifier) equalizer transfer function (frequency response} open loop current to voltage transfer function (receiver amplifier) output pulse spectrum from an optical fiber receiver Planck's constant, thickness of a planar waveguide, power impulse response for an optical fiber (A()) optical fiber receiver amplifier impulse response (inchiding any equaliza- tion) effective thickness of a planar waveguide common emitter current gain for a bipolar transistor opticat fiber impulse response output pulse shape from an optical fiber receiver input pulse shape to an optical fiber receiver transmitted pulse shape on an optical fiber link electrical current, optical intensity background radiation induced photocurrent (optical receiver) bias current for an optical detector collector current (phototransistor} dark current (optical detector) maximum optical intensity photocurrent generated in an optical detector threshold current (injection laser) electrical currentGLOSSARY OF SYMBOLS AND ABBREVIATIONS xi NA NEP optical receiver preamplifier shunt noise current optical receiver preamplifier total noise current decision threshold current (digital transmission) photodiode dark noise current Output current from an optical detector noise current generated in the feedback resistor of an optical fiber receiver transimpedance preamplifier total noise current at a digital optical fiber receiver multiplied shot noise current at the cutput of an APD excluding dark noise current shot noise current on the photocurrent for a photodiode multiplied shot noise current at the ourput of an APD including the dark noise current signal current obtained in an optical fiber receiver thermal noise current generated in a resistor total shot noise current for a photodiode without internal gain Bessel Function, current density thethots current density (injection laser) —1 Boltzmann’s constant, constant dependent on the optica’ fiber properties, modified Bessel function stress intensity factor, for an elliptical crack {Kic) wave propagation constant in a vacuum (free space wave number), wave vector for an electron in a crystal, ratio of ionization rates for holes and electrons, integer angular frequency deviation (subcarrier FM) phase deviation constant (subcarrier PM) length (fiber), distance between mirrors (laser) beat length in a single mode optical fiber coherence length in a single mode optical fiber characteristic length (fiber) constant with dimensions of length lateral misalignment loss at an optical fiber joint transmission loss factor (transmissivity) of an optical fiber azimuthal mode number, distance, length atomic spacing (bond distance) wave coupling length avalanche multiplication factor, material dispersion parameter, total number of guided modes or mode volume; for a multimode step index fiber (M,); far multimode graded index fiber (M,), mean value (M,) and mean square value (;) of a random variable safety margin in an optical power budget ‘optimum avalanche multiplication factor excess avalanche noise factor, (also denoted as F(AZ)) radial mode number, Weibull distribution parameter, intensity modulated optical signal (t(¢} ), mean value of 9 random variable, integer modulation index integer, density of atoms in a particular energy level (e.g. N,, Ny, Na), minority carrier concentration in type semiconductor material, group index of an optical waveguide (N,) ‘numerical aperture of an optical fiber noise equivalent powerxiv GLOSSARY OF SYMBOLS AND ABBREWATIONS. defined by equation 10.80 refractive index (e.g. 11, 2, 23), stress corrosion susceptibility, negative type semiconductor material effective refractive index of a planar waveguide refractive index of air electrical power, minority carrier concentration in p type semiconductor material, 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 zeto when a one is transmitted (P(0/1)}, of detecting a one when a zero is transmitted «P(1/0) ) total power in a baseband message signal a() threshold optical power for Brillouin scattering optical power coupled into a step index fiber optical power density dc, optical output power optical power emitted from an optical source optical power in a guided mode mean input (transmitted) optical power launched into a fiber internally generated optical power (optical source) total power in an intensity modulated optical signal m(/) mean output (received) optical power from a fiber mean optical power travelling in a fiber initial output optical power (prior to degradation) from an optical source peak received optical power reference optical power level threshold optical power for Raman scattering backscattered optical power (Rayleigh) within a fiber optical power scattered from a fiber frequency spectrum of the mean input optical power launched into a fiber frequency spectrum of the mean output optical power received from a fiber crystal momentum, average photoelastic coefficient, positive type semiconductor material, probability density function (p(x) ) integer, fringe shift photodiode responsivity, radius of curvature of a fiber bend, eleciricat resistance (@.g. Ri, Roy) upward transition rate for electrons from energy level 1 to level 2 downward transition rate for electrons from energy level 2 to level 1 effective input resistance of an optical fiber receiver preamplifier bias resistance, for optical fiber receiver preamplifier (Ry) critical radius of an optical fiber radiance of an optical source ratio of electrical input power in decibels for an opticai fiber system feedback resistance in an optical fiber receiver transimpedance pre- amplifier load resistance associated with an optical fiber detector ratio of optical output power to optical input power in decibels for an optical fiber system total load resistance within an optical fiber receiver radial distance from the fiber axis, Fresnel reflection coefficient, mirror reflectivity, electro-optic coefficientGLOSSARY OF SYMBOLS AND ABBREVIATIONS ay generated electron rate in an optical detector reflection and transmission coefficients respectively for the electric field at aplanar, guide-cladding interface reNection and transmission cocfficients respectively for the magnetic field at a planar guide-cladding interface incident photon rate at an optical detector fraction of captured optical power, macroscopic stress fracture stress phase function in the WKB method spectral density of the intensity modulated optical signal m(i) peak signal power to ims noise power ratio, with peak to peak signal power [(5/N},, |, with tms signal power ((S/N) rms] theoretical cohesive strength pin spacing (mode scrambler} temperature, time insertion loss resulting from an angular offset between jointed optical fibers 10-90% rise time arising from intramodal dispersion on an optical fiber link 10-90% rise time for an optical detector fictive temperature insertion loss resulting from a lateral offset between jointed optical fibers 10-90% rise time arising from intermodal dispersion on an optical fiber tink threshold temperature (injection laser), nominal pulse period (PFM-IM) 10-90% rise time at the regenerator circuit input (PFM-IM) 10-90% rise time for an optical source total 10-90% rise time for an optical fiber system total insertion loss at an optical fiber joint temperature rise al time ¢ maximum temperature rise time time constant switch on delay (laser) 1/e pulse width from the center * 10-90% rise time eigenvalue of the fiber core clectrical voltage, nomalized frequency for an optical fiber or planar waveguide bias voltage for a photodiode cutoff value of normalized frequency collector supply voltage collector-emitter voltage (bipolar transistor) emitter supply voltage voltage reading corresponding to the total optical power in a fiber voltage reading corresponding to the scattered optical power in a fiber electrical voltage amplifier series noise voltage receiver amplifier output voltage crack velocity group velocity output voltage from an RC filter circuitNNT *NR ESS GLOSSARY OF SYMBOLS AND ABBREVIATIONS phase velocity eigenvalue of the fiber cladding, random variable electric pulse width optical pulse width random variable coordinate, distance, constant, evanescent field penctration depth, slab thickness constant, shunt admittance, random variable coordinate, lateral offset at a fiber joint random variable electeical impedance coordinate, number of photons average or mean number of photons arriving at a detector in a time period t average number of photons detected in a time period ¢ characteristic refractive index profile for fiber (profile parameter), optimum profile parameter (6.,,) loss coefficient per unit length (laser cavity) connector loss at transmitter and receiver in decibels signal attenuation in decibels per unit length fiber cable loss in decibels per kilometer fider joint loss in decibels per kilometer signal attenuation in nepers absorption coefficient radiation attenuation coefficient wave propagation constant gain factor (injection laset cavity) isothermal compressibility proportionality constant degradation rate angic, attenuation coefficient per unit length for a fiber surface energy of a material Rayleigh scattering coefficient for a fiber relative refractive index difference between the fiber core and cladding phase shift associated with transverse electric waves, uncorrected source Frequency width phase shift associated with transverse magnetic waves optical source spectral width (linewidth) intermodal dispersion time in an optical fiber delay difference detween an extreme meridional ray and an axial ray for a graded index fiber delay difference between an extreme meridional ray and an axial ray for a step index fiber, with mode coupling (87,.) electrical permittivity, of free space (¢,), relative (¢,) solid acceptance angle quantum efficiency (optical detector) angular coupling efficiency (fiber joint) coupling efficiency (optical source to fiber) differential external quantum efficiency (optical source} external power efficiency (optical source) internal quantum efficiency {optical source) lateral coupling efficiency (fiber joint) overall power conversion efficiency (optical source) total external quantum efficiency (optical source) eeeEPPE pre A-D ac. AGC AM APD ASK BER BH BOD CAM CATY cCTY CDH GLOSSARY OF SYMBOLS AND ABBREVIATIONS xvit angie, fiber acceptance angle (8,), Bragg diffraction angle @) acoustic wavelength, period for perturbations in a fiber cutoff period for perturbations in a fiber optical wavelength long wavelength cutoff (photodiode) wavelength at which first order dispersion is zero magnetic permeability, relative permeability (u,), permeability of free space (uo) optical source bandwidth in gigahertz polarization rotation in a single mode optical fiber spectral density of the radiation energy at a transition frequency f standard deviation, (rms pulse width), variance (6*) rms pulse broadening resuiting from intramodal dispersion in a fiber tms pulse broadening resulting from material dispersion in a fiber rms pulse broadening resulting from intermodal disperion, in a graded index fiber (9,), in a step index fiber (c,) total rms pulse broadening in a fiber or fiber link tms spectral width of emission from optical source time period, bit period, pulse duration 3 dB pulse with (v(3 dB}) spontaneous transition lifetime between energy levels 2 and 1 time delay in a transversal equalizer Ve full width pulse broadening due to dispersion on an optical fiber link group delay injected (minority) carrier lifetime radiative minority carrier lifetime linear retardation angle, critical angle (-) soalar quantity representing £ or H field angular frequency, of the subcarrier waveform in analog transmission (a, }, of the moduiating signal in analog transmission (10 ,,) spot size of the fundamental mode ‘yector operator, Laplacian operator (V7) analog to digital cmos complementary metal alternating current oxide silicon automatic gain CNR cartier to noise ratio control cpu central processing unit amplitnde modulation CSP channelled substrate avalanche photodiode planar (injection laser) amplitude shift keying cw continuous wave or bit error rate operation buried heterostructure D-A digital to analog (injection laser) dB decibel bistable optical device DAM direct intensity modula- computer aided manu- tion facture DBF distributed feedback (in- common antenna televi- jection laser) sion DBR distributed Bragg reflec- close cireuit television tor (injection laser) constricted doubie dc. direct current heterojunction (injection DH double heterostructure or er) heterojunction (injection Janer or LED)xviii DSB EH EMI EMP erfo FDM FET EM PSK FWHP HDB HE He-Ne HF HV IF ILD IM 10 vo ISI LAN LED Loc LP LPE MCVD MESFET MISFET Nd:YAG NRZ OTDR OVvPO PAM PCM Pcs GLOSSARY OF SYMBOLS AND ABBREVIATIONS double sideband (ampii- tude modulation) traditional mode designa- tion electromagnetic inter- ference electromagnetic pulse error function complementary error function frequency division multi- plexing field effect transistor frequency modulation frequency shift keying full width half power high density bipolar traditional mode designa- tion helium-neon (laser) high frequency high voltage intermediate frequency injection laser diode intensity modulation integrated optics input/output intersymbol interference local area network Tight emitting diode large optical cavity (in- jection laser) linearly polarized (mode notation) liquid phase epitaxy modified chemical vapor deposition metal Schottky field effect transistor metal integrated-semi- conductor field effect transistor neodymium-doped yttrium—aluminum— garnet (laser) nonreturn to zero optical time domain teflectometry outside yapor phase oxidation pulse amplitude modula- tion pulse code modulation plastic-clad silica (fiber) PCVD PCW PDF PFM PIN-FET PM PPM PSK PIT PWM RAPD. RFI rms RO RZ SAW spM SHE SML SNR TDM TE TEM TIS ™ TTL UHF vAD vco VHE VPE WDM WKB WPS zD plasma-activated chemical vapor deposi- tion plano-convex waveguide {injection laser) probability density fune- tion pulse frequency modula- tion p-i-n photodiode fol- lowed by a field effect transistor phase modulation pulse position modulation phase shift keying Post, Telegraph and Tele- communications pulse width modulation teach-through avalanche photodiode radio frequency inter- ference root mean square telaxation oscillation return to zero surface acoustic wave space division multi- plexing super high frequency separated multiclad layer {injection laser) signal to noise ratio time division multiplexing, transverse electric transverse electromag- netic transverse junction stripe (injection laser) transverse magnetic transistor-iransistor logic ultra high frequency vapor axial deposition voltage controlled oscil- lator very high frequency vapor phase epitaxy wavelength division multi- plexing ‘Wenizel, Kramers, Bril- louin (analysis tech: nique) for graded fiber wideband switch point zener diode1 Introduction Communication may be broadly defined as the transfer of information from ‘one point to another, When the information is to be conveyed over any distance a communication system is usually required, Within a communication y system the information transfer is frequently achieved by superimposing or modulating the information onto an clectromagnetic wave which acts as a carrier for the information signal. This modulated carrier is then transmitted to k the required destination where it is received and the original information signal is obtained by demodulation, Sophisticated techniques have been developed for this process using electromagnetic carrier waves operating at radio frequencies as well as microwave and millimeter, wave frequencies, However, ‘communi- cation’ may also be achieved using an electromagnetic carrier which is selected i from the optical range of frequencies. Oi on Tb 1.1 HISTORICAL DEVELOPMENT E The use of visible optical carrier waves or light for communication has been common for many years. Simple systems such as signal fires, reflecting mitrors and, more recently, signalling lamps have provided successful, if ‘limited, information transfer. Moreover, as early as 1880 Alexander Graham Bell reported the transmission of specch using a light beam [Ref 1], The photophone proposed by Bell just four ycars after the invention of the tele- phone modulated sunlight with a diaphragm giving speech transmission over a distance of 200m. However, although some investigation of optical com- munication continued in the early part of the 20th Century |Refs. 2 and 3] its ‘use was limited to mobile, low capacity communication links. This was due to oth the lack of suitable light sources and the problem that light transmission in the atmosphere is restricted to line of sight and severely affected by distur- nces such as rain, snow, fog. dust and atmospheric turbulence, Neverthele: wer frequency and hence longer wavelength clectromagnetic waves* (ie. ‘adio and microwave) proved suitable carriers for information transfer in the For the propagation of electromagnetic waves in free space, the wavelength & cquals the i, Velaplty of tight in a vacuum o times the reciprocal of the frequency fin heriz or % =2 OPTICAL FIBER COMMUNICATIONS: PRINCIPLES AND PRACTICE atmosphere, being far less affected by these atmospheric conditions. Depend- ing on their wavelengths these electromagnetic carriers can be transmitted over considerable distances but are limited in the amount of information they can convey by their frequencies (je. the information-carrying capacity ig directly related to the bandwidth or frequency extent of the modulated carrier, which is generally limited 1o a fixed fraction of the carrier frequency). In theory, the greater the carrier frequency, the larger the available transmission bandwidth and thus the information-carrying capacity of the communication system. For this reason radio communication was developed to higher frequencies (ie. VHF and UHF) leading to the introduction of the even higher frequency microwave and, latterly, millimeter wave transmission. The relative frequencies and wavelengths of these types of electromagnetic wave can be observed from the clectromagnetic spectrum shown in Fig. 1.1. In this context it may also be noted that communication at optical frequencies offers an increase in the Potential usable bandwidth by a factor of around 10* over high frequency microwave transmission. An additional benefit of the use of high carrier fre- quencies is the general ability of the communication system to concentrate the available power within the transmitted electromagnetic wave, thus giving an improved system performance [Ref. 4], A renewed interest in optical communication was stimulated in the early 1960s with the invention of the laser |Ref. 5|. This device provided a powerful coherent light source together with the possibility of modulation at high fre- quency, In addition the low beam divergence of the laser made enhanced free space optical transmission a practical possibility. However, the previously mentioned constraints of light transmission in the atmosphere tended to restrict these systems to short distance applications. Nevertheless, despite the problems some modest free space optical communication links have been implemented for applications such as the linking of a television camera to a base vehicle and for data links of a few hundred meters between buildings. There is aiso some interest in optical communication between satellites in outer space using similar techniques [Ref. 6] Although the use of laser for free space optical communication proved somewhat limited, the invention of the laser instigated a tremendous research cffort in the study of optical components 10 achieve reliable information transfer using a lightwave carrier. The proposals for optical communication via diclectric waveguides or optical fibers fabricated from glass were made almost simultancously in 1966 by Kao and Hockham [Ref. 7] and Werts [Ref 8] fo avoid degradation of the optical signal by the atmosphere. Such systems were viewed as a replacement for coaxial cable or carrier transmission systems. Initially the optical fibers exhibited very high attenuation (uc. 1000 dB km”) and were therefore not comparable with the coaxial cables they were to replace (ic, 5-10 dB km”! ). There were also serious problems involved with jointing the fiber cables in a satisfactory manner to achieve low loss and to enable the process to be performed relatively easily and repeatedly in the“suonesiunusuoa Jeg) (eondo Jo} pasn uoIBas sys Bumous winaveds saauGewonoaia ays, LE “BLE cep we = ueD MOE ue EG se | wwe NOS WN QOOE Fee 9 |_| | It | T. - prime BEN pomaaasy | aumboyt | aia | tsopean sven Boe poreg Bepens sex tien nant a 03s siereweny ~~ wipe wee 1404 sumaspads o1gst9, INTRODUCTION4 OPTICAL FIBER COMMUNICATIONS: PRINCIPLES AND PRACTICE ficld. Nevertheless, within the space of ten years optical fiber losses were reduced to below 5dB km! and suitable low loss jointing techniques were perfected. In parallel with the development of the fiber waveguide, attention was also i focused on the other optical components which would constitute the optical | fiber communication system. Since optical frequencies are accompanied by extremely small wavelengths the development of all these optical components essentially required a new technology. Thus semiconductor optical sources (i.e. injection lasers and light emitting diodes), as well as detectors (.c. photodiodes and to a certain extent phototransistors) compatible in size with optical fibers were designed and fabricated to enable successful implementation of the optical fiber system. Initially the semiconductor lasers exhibited very short lifetimes of at best a few hours, but significant advances in the device structure enabled lifetimes greater than 1000 hr |Ref. 9| and 7000 hr |Ref. 10] to be obtained by 1973 and 1977 respectively.* These devices were originally | fabricated from alloys of gallium arsenide (AlGaAs) which emitted in the near infrared between 0.8 and 0.9 um. More recently this wavelength range has been extended to include the 1.1-1.6ym region by the use of other semiconductor alloys (see Section 6.3.6) to take advantage of the enhanced performance characteristics displayed by optical! fibers over this range. Similar developments in the generally simpler structure of light emitting diodes and detector photodiodes also contributed to the realization of reliable optical fiber communication, The achievement of these impressive results has stemmed from the enor- ‘I mous amount of work directed into these areas due to the major distinct advantages offered by optical fiber communications. However, prior to discus- sion of thesc advantages we will briefly consider the salient features of the optical fiber communication system. 1.2 THE GENERAL SYSTEM ‘An optical fiber communication system is similar in basie concept to any type of communication system. A block schematic of a general communication system is shown in Fig. 1.2{a}, the function of which is to convey the signal from the information source over the transmission medium to the destination. The communication system therefore consists of a transmitter or modulator linked to the information source, the transmission medium, and a receiver or demodulator at the destination point. In electrical communications the infor- mation source provides an electrical signal, usually derived from a message * Projected semiconductor laser lifetimes are currently in the region of 10° to (Oth (see ; Section 6.9.6) indicating a substantial improvement since 1977. \ a ns vepanamee opel ee jINTRODUCTION _ s Tratamisios lion Receser Islemoxtsliier Lbestination foation Lyi | Tronsuiter soune m) Gonndulator) Electieat prea Dpriea fiber sable Hectic eptcal Setestor pocal fer cosrnmenteation system ww Fig. 1.2 is) The general communicetion system. (b} The optical fiber communication system, = signal which is not electrical (e.g. sound), to a transmitter comprising electrical and electronic components which converts the signal into a suitable form for propagation over the transmission medium. This is often achieved by modu- lating a carrier which, as mentioned previously, may be an cleciro- magnetic wave. The transmission medium can consist of a pair of wires, a coaxial cable or a radio link through free space down which the signal is transmitted to the receiver, where it is transformed into the original electrical information signal (demodulated) before being passed. to the destination. [However it must be noted that in any transmission medium the signal is attenuated, or suffers Joss, and is subject to degradations due to contam- dnation by random signals and noise as well as possible distortions imposed by mechanisms within the medium itself. Therefore, in any communication stem there is a maximum permitted distance between the transmitter and the iver beyond which the system effectively ceases to give intelligible com- E munication. For long haul applications these factors necessitate the installation f repeaters or line amplifiers (see Section 10.4) at intervals, both to remove signal distortion and to increase signal level before transmission is continued “down the link. For optical fiber communications the system shown in Fig. 1.2(a) may be sidered in slightly greater detail, as in Fig. 1.2(b). In this case the informa- source provides an electrical signal to a transmitter comprising an6 OPTICAL FIBER COMMUNICATIONS: PRINCIPLES AND PRACTICE electrical stage which drives an optical source to give modulation of the light- wave carrier. The optical source which provides the electrical-optical conver- sion may be either a semiconductor laser or light emitting diode (LED), The transmission medium consists of an optical fiber cable and the receiver con- sists of an optical detector which drives a further electrical stage and hence provides demodulation of the optical carrier. Photodiodes (p—n, p-i-n or avalanche} and, in some instances, phototransistors are utilized for the detec- tion of the optical signal or the optical-electrical conversion. Thus there is a requirement for electrical interfacing at either end of the optical link and at present the signal processing is usually performed electrically." The optical carrier may be modulated using either an analog or digital infor- mation signal. In the system shown in Fig. 1.2(b) analog modulation involves the variation of the light emitted from the optical source in a continuous manner, With digital. médulation, however, discrete changes in the fight intensity are obtained (Le. on-off pulses). Although often simpler to imple- ment, analog ttiodulation with an optical fiber communication system is less efficient, requiring a far higher signal to noise ratio at the receiver than digital modulation. Also the linearity needed for analog modulation is not always provided by semiconductor optical sources, especially at high modulation fre- quencies. For these reasons, analog optical fiber communication links are generally limited to shorter distances and lower bandwidths than digital links. Figure 1.3 shows a block schematic of a typical digital optical fiber link. Initially the input digital signal from the information source is suitably encoded for optical transmission. The laser drive circuit directly modulates the intensity of the semiconductor laser with the encoded digital signal. Hence a digital optical signal is launched into the optical fiber cable. The avalanche photodiode (APD) detector is followed by a front-end amplifier and equalizer or filter to provide gain as well as linear signal processing and noise bandwidth reduction. Finally, the signal obtained is decoded to give the original digital information. The various elements of this and alternative optical fiber system configurations are discussed in detail in the following chapters. However, at this stage it is instructive to consider the advantages provided by lightwave 1.3. A digitat optical fiber link using a semiconductor laser source and an avalanche photodiode (APD) detector. Laser Amplifier deve and eu ecuater . hacer * * Significant developments are taking place in optical signal processing which may alter this situation in the future (see Sections 11.7 and 11.8).INTRODUCTION 7 communication via optical fibers in comparison with other forms of line and radio communication which have brought about the introduction of such systems in many areas throughout the world. 1.3 ADVANTAGES OF OPTICAL FIBER COMMUNICATION,” f] features offered by optical fiber communications over more conventional F) clectrical communications. Inahiacontext we _ with the originally I forescen advantages and then consider additional features Which have becomes“ / Aangrent as the technology developed. a {a} Enormous potential bandwidth The optical carrier frequency in the range 10"? to 10'° Hz (generally in the near infrared around 10'¢ Hz or 10° GHz) yields a far greater potential transmission bandwidth than metallic cable systems (Le. coaxial cable band- width up io around 500 MHz) or even millimeter wave radio systems (ie. } systems currently operating with modulation bandwidths of 700 MHz). At present, the bandwidth available to fiber systems is not fully utilized but B modulation at several gigahertz over a few kilometers and hundreds of megahertz over tens of kilometers without intervening electronics (repeaters) is possible, Therefore, the information-carrying capacity of optical fiber systems is already proving far superior to the best copper cable systems. By cam- F parison the losses in wideband coaxial cable systems restrict the transmission B distance to only a few kilometers at bandwidths over a hundred megahertz. Moreover, it is certain that the usable fiber system bandwidth will be extended E further towards the optical carrier frequency in the future to provide an fnformation-carrying capacity far in excess of that obtained using copper cables or a wideband radio system. (0) Small size and weight -Optical fibers have very small diameters which are often no greater than the diameter of a human hair. Hence, even when such fibers are covered with F protective coatings they are far smaller and much fighter than corresponding eopper cables, This is a tremendous boon towards the alleviation of duct con- gestion in cities, as well as allowing for an expansion of signal transmission thin mobiles such as aircraft, satellites and even ships. | Biectrical isolation gal fibers which are fabricated from glass or sometimes a plastic polymer8 OPTICAL FIBER COMMUNICATIONS: PRINCIPLES AND PRACTICE are clectrical insulators and therefore, unlike their metallic counterparts, they do not exhibit earth loop and interface problems. Furthermore, this property makes optical fiber transmission ideally suited for communication in electrically hazardous environments as the fibers create no arcing or spark hazard at abrasions or short circuits. (d) Immunity to interference and crosstalk Optical fibers form a dielectric waveguide and are therefore free from electromagnetic interference (EMI), radiofrequency interference (REI), or switching transients giving electromagnetic pulses (EMP). Hence the operation of an optical fiber communication system is unaffected by transmission through an electrically noisy environment and the fiber cable requires no shielding from EMI. The fiber cable is also not susceptible to lightning strikes if used overhead rather than underground. Moreover, it is fairly easy to ensure that there is no optical interference between fibers and hence. unlike com- munication using electrical conductors, crosstalk is negligible. even when many fibers arc cabled together, (©) Signal security The light from optical fibers does not radiate significantly and therefore they provide a high degree of signal security. Unlike the situation with copper cables, a transmitted optical signai cannot be obtained from a fiber in a non- invasive manner (iz. without drawing optical power from the fiber), Therefore, in theory, any attempt to acquire a message signal transmitted optically may be detected, This feature is obviously attractive for military, banking and general data transmission (ic. computer network) applications, (f) Low transmission loss The development of optical fibers over the last 15 years has resulted in the production of optical fiber cables. which exhibit very low attenuation of transmission loss in comparison with the best copper conductors. Fibers have been fabricated with losses as low as 0.2 dB km (see Section 3.3.2) and this feature has become a major advantage of optical fiber communications. It facilitates the implementation of communication links with extremely wide repeater spacing (long transmission distances without intermediate elec- tronics), thus reducing both system cost and complexity. Together with the already proven modulation bandwidth capability of fiber cable this property provides a totally compelling case for the adoption of optical fiber communica- tion in the majority of long-haul telecommunication applications. (g) Ruggedness and flexibility Although protective coatings are essential, optical fibers may be manufactured with very high tensile strengths (sec Section 4.6.1). Perhaps surprisingly for a glassy substance, the fibers may also be bent to quite small radii or twistedINTRODUCTION q without damage. Furthermore. cable structures have been developed {see Section 4.7.4) which have proved flexible, compact and extremely rugged: Taking the size and weight advantage into account, these optical fiber cables are generally superior in terms of storage, transportation, handling and installation than corresponding copper cables whilst exhibiting at least com- parable strength and durability. (h) System reliability and ease of maintenance These features primarily stem from the low loss property of optical fiber cables which reduces the requirement for intermediate repeaters or line amplifiers to. boost the transmitted signal strength. Hence with fewer repeaters, system reliability is generally enhanced in comparison with conventional electrical conductor systems. Furthermore, the reliability of the optical components is no longer a problem with predicted lifetimes of 20-30 years now quite common. Both. these factors also tend to reduce maintenance time and costs. () Potential low cost The glass which generally provides the optical Aber transmission medium is made from sand—not a scarce resource. So, in comparison with copper con- ductors, optical fibers offer the potential for low cost line communication. As yet this potential has not been fully realized because of the sophisticated, and therefore expensive, processes required to obtain ultra-pure glass, and the lack of production volume. At present, optical fiber cable is reasonably competilive with coaxial cable, but not with simple copper wires (c.g. twisted pairs). However, it is likely that in the future it will become as cheap to use optical fibers with their superior performance than almost any type of electrical conductor. Moreover, overall system costs when utilizing optical fiber communication on long-haul links are generally reduced to those for equivalent electrical line systems because of the low loss and wideband properties of the optical transmission medium. As indicated in (f), the requirement for intermediate repeaters and the associated electronics is reduced. giving a significant cost advantage. However, although this cost benefit gives a net gain for long-haul links this is not usually the case in short-haul applications where the additional cost incurred, due to the electrical-optical conversion {and vice versa), may be a deciding factor. Nevertheless, there are other possible cost advantages in relation to shipping, handing, installation and maintenance, as weli as the features indicated in (c) and (d) which may prove significant in the system. choice. The low cost potential of optical fiber communications not only provides strong competition with electrical line iransmission systems, but also with microwave and millimeter wave radio transmission system: Although these ; syatems are reasonably wideband the relatively short span ‘line of sight’ {fansmission necessitates expensive aerial towers at intervals no greater than a few tens of kilometers.10 OPTICAL FIBER COMMUNICATIONS: PRINCIPLES AND PRACTICE Many advantages are thercfore provided by the use of a lightwave carrier withia a transmission medium consisting of an optical fiber. The fundamental principles giving rise to these enhanced performance characteristics, together with their practical realization, are described in the following chapters. However, a general understanding of the basic nature and properties of light is assumed. If this is lacking, the reader is directed to the many excellent texts encompassing the topic, a few of which are indicated in Refs, 16-22. REFERENCES 1 AG, Bell, ‘Selenium aad the photophone’, The Elecirician, pp. 214, 215, 220, 221, 1880. W.S. Huxford and J.R. Platt, ‘Survey of near infra-red communication systems’, 4. Opt. Sac, dm., 38, pp, 253-268, 1948, N.C. Beese, “Light sources for optical communication’, Infrared Phys. pp. 5-16, 1961. R.M. Gagliardi and $, Karp, Optical Communications, John Wiley, 1976. T.H. Maiman, ‘Stimulated optical radiation in ruby’, Nature, Lond. 187, pp. 493-494, 1960. AR. Kraemer, ‘Free-space optical communications’, Signal, pp. 26-32, 1977. K.C, Kao and G, A. Hockham, ‘Dielectric-fiber surface waveguides for optical Srequencies’, Proe, IEE, 113(7), pp. (151-1158, 1966, A. Werts. “Propagation de la lumigre cohérente dans les fibres optiques’, L’Onde Electrique, 46, pp. 967-980, 1966. R.L. Hartman, J.C, Dyment, C. J. Hwang and H. Kuhn, ‘Continuous operation of GaAs-Ge, Al|_,As, double heterostructure lasers with 30°C half lives exceeding 1000 h’, App! Paps. Lett., 23(4), pp. 181-183, 1973. 10 A.R. Goodwin, J. F. Peters, M, Pion and W. O, Bourne, "GaAs lasers with con- sistently low degradation rates al room temperature’, dppl. Phys. Lest., 30(2), pp. 110-113, 1977, 11 P, Russer, ‘Introduction to optical communication’, M.J. Howes and D, V. Morgan (Eds.), Optical Fibre Communications, pp. 1-26, John Wiley. 1980. 12 1.6. Midwinter, Optica! Fibres for Transmission, John Wiley, 1979, 13 B. Costa, ‘Historical remarks’, in Optical Fibre Comnmnicarion by the Technical Staif of CSELT, McGraw-Hill, 1981. 14°C. P, Sandbank (Ed.), Optical Fibre Communication Systems, Joan Wiley, 1980, 18H. F, Wolf (Ed.), Handbook of Fiber Optics, Theory and Applications, Granada, 1981, 16 F.A, Jenkins and H, E, White, Fundamentals of Opiics (4th cdn.), McGraw-Hill, 1976 17 E. Hecht and A. Zajac, Optics. Addison-Wesley, 1974, 18 G.R. Fowles. Introduction to Modern Optics Qnd édn.), Holt, Rinehart & Winston. 1975. 719 R.S, Longhurst. Geometrical and Physical Optics, (3rd edn.}. Longman, 1973. 20 F.G, Smith and J.H. Thomson, Opties, John Wiley, 1980. 21° S.G. Lipson and H. Lipson, Optical Physics, (2nd edn,), Cambridge University Press, 1981. 22 M. Born and E. Wolf, Principles of Optics, (6th edn.), Pergamon Press, 1980, NO gp wo NR oo2 Optical Fiber Waveguides 2.1. INTRODUCTION The transmission of light via a dielectric waveguide structure was first proposed and investigated at the beginning of the 20th Ceniury, In 1910 Hondros snd Debye [Ref. 1] conducted a theoretical study and experimental work was renorted by Schriever in 1920 [Ref. 2|. However. a transparent dielectric rod, typically of silica glass with a refractive index of around 1.5, sur- rounded by air, proved to be an impractical waveguide due to its unsupported structure (especially when very thin waveguides wore considered in order to limit the number of optical modes propagated) and the excessive losses at any discontinuities of the glass—air interface. Nevertheless, interest in the applica- tion of dielectric optical waveguides in such areas as optical imaging and medical diagnosis (e.g. endoscopes) led to proposals (Refs. 3 and 4/ for a clad dielectric rod in the mid 1950s in order to overcome these problems. This structure is illustrated in Fig. 2.1 which shows a transparent core with a refrac- tive index 2, surrounded by a transparent cladding of slightly lower refractive index 7. The cladding supporls the waveguide structure whilst also, when suf- ficiently thick, substantially reducing the radiation loss into the surrounding air. In essence, the light energy travels in both the core and the clad- ding allowing the associated fields to decay (o a negligible value at the cladding—air interface. The invention of the clad waveguide structure led to the first serious proposals by Kao and Hockham [Rel. S|, and Werts |Ref. 6] in 1966 to utilize optical fibers as a communications medium even though they had losses in excess of 1000dB km-', These proposals stimulated tremendous efforts to Fig. 2.1 Optical flber waveguide showing the core of refractive index n, surrounded by the {ding of slightly lower refractive index 7,.12 OPTICAL FIBER COMMUNICATIONS: PRINCIPLES AND PRACTICE reduce the attenuation by purification of the matcrials, This has resulted in improved coaventional glass refining techniques giving fibers with losses of around 4.2dB kr! [Ref. 7]. Also progress in glass refining processes such as depositing vapor-phase reagents to form silica [Ref. 8] has allowed fibers with losses below | dB km ! to be fabricated, Most of this work was focused on the 0.8-0.9 um wavelength band because the first generation optical sources fabricated from gallium aluminum arsenide alloys operated in this region. However, as silica fibers were studied in further detail it became apparent that transmission at longer wavelengths (1.1-1.6 yum) would result in lower losses and reduced signal dispersion. This produced a shift in optical fiber source and detector technology in order to provide operation at these longer wavelengths. Hence at longer wavelengths, especially around 1.55 um, fibers with losses as low as 0.2 dB km! have been reported [Ref. 9]. In order to appreciate the transmission mechanism of optical fibers with dimensions approximating to those of a human hair, it is necessary to consider the optical waveguiding of cylindrical glass fibers, Such a fiber acts as an oper: optical waveguide, which may be analyzed utilizing simple ray theory. However, the concepts of geometric optics are not sufficient when considering all types of optical fiber and electromagnetic made theory must be used to give a complete picture, The following sections will therefore outline the transmis sion of light in optical fibers prior to a more detailed discussion of the various types of fiber. In Section 2.2 we continue the discussion of light propagation in optical fibers using the ray theory approach in order to develop some of the funda- mental parameters associated with optical fiber transmi n {acceptance angle, numerical aperture, etc.). Furthermore, this provides a basis for the discussion of electromagnelic wave propagation presented in Section 2.3. In this section the electromagnetic mode theory is developed for the planar (rectangular) waveguide prior to consideration of the cylindrical fiber. Follow- ing. in Section 2.4, we discuss optical propagation in step index fibers (both multimode and single mode), Finally, Section 2.5 gives a brief account of the waveguiding mechanism within graded index fibers, 2.2 RAY THEORY TRANSMISSION 2.2.1 Total Internal Reflection To consider the propagation of light within an optical fiber utilizing the ray theory model it is nevessary to take account of the refractive index of the dielectric medium. The refractive index of a medium is defined as the ratio of the velocity of light in a vacuum to the velocity of light in the medium, A ray of light travels more slowly in an optically dense medium than in one that is less dense, and the refractive index gives a measure of this effect. When a ray isOPTICAL FIBER WAVEGUIDES 13 incident on the interface between two dielectrics of differing refractive indices (e.g. glass-air), refraction occurs as illustrated in Fig, 2.2{a). It may be observed that the ray approaching the interface is propagating in a dielectric of refractive index 2, and is at an angle 6, to the normal at the surface of the. interface. If the dielectric on the other side of the interface has a refractive index #) which is less than m, then the refraction is such that the ray path in this lower index medium is at an angle 4, to the normal, where 6» is greater than @). The angles of incidence , and refraction 4. are related to each other and to the refractive indices of the dielectrics by Snell’s law of refraction {Ref. 10], which states that: my sin §) = 2, sin 6 or sing, sing; 1) Ik may also be observed in Fig. 2.2(a} that a small amount of light is reflected back into the originating dielectric medium (partial internal reflec- tion), As 7, is greater than n;, the angle of refraction is always greater than the angle of incidence. Thus when the angle of refraction is 90° and the refracted ray emerges parallel to the interface between the dielectrics the angle of incidence must be less than 90°. This is the limiting case of refraction and the angle of incidence is now known as the critical angie $, as shown in Fig. Ene Ligh iden annua tae BN ete | ineidest cap | aah 1 1 m I “ wes Fig. 2.2 Light rays incident on high to low retractive index interface (o.g. glass—air: {ai refraction; (b) the limiting case of rafraction showing the critical ray at an angle dq: ic) total Internal reflection where ¢ >.14 OPTICAL FIBER COMMUNICATIONS: PRINCIPLES AND PRACTICE 2,%b). From Eq, (2.1) the value of the critical angle is given by: Ry sin 6 (2.2) na ‘At angles of incidence greater than the critical angle the light is reflected back into the originating dielectric medium (total internal reflection) with high efficiency (around 99.9%), Hence it may be observed in Fig, 2.2(c) that total internal reflection occurs at the interface between two dielectrics of differing refractive indices when Sight is incident on the dielectric of lower index from the dielectric of higher index, and the angle of incidence of the ray exceeds the critical value. This is the mechanism by which light at a sufficiently shallow angle (less than 90° - 6.) may be considered to propagate down an optical fiber with low loss. Figure 2.3 illustrates the transmission of a light ray in an optical fiber via a series of total internal reflections at the interface of the silica core and the slightly lower refractive index silica cladding. The ray has an angle of incidence @ at the interface which is greater than the critical angle and is reflected at the same angle to the normal. Lowe ratex elaing : Fig. 2.3 The transmission of a light ray in 2 perfect optical fiber. The light ray shown in Fig, 2.3 is known as a meridional ray as it passes (hrough the axis of the fiber core. This type of ray is the simplest to describe and is generally used when illustrating the fundamental transmission properties of optical fibers. It must also be noted that the light transmission illustrated in Fig. 2.3 assumes a perfect fiber, and that any discontinuities or imperfections at the core-cladding interface would probably result in refraction rather than total internal reflection with the subsequent loss of the light ray into the cladding, 2.2.2 Acceptance Angle Having considered the propagation of light in an optical fiber through Lotal internal reflection at the core—cladding interface, it is useful to enlarge upon the geometric optics approach with reference to light rays entering the fiber. Since only rays with a sufficiently shallow grazing angle (ic. with an angle to the normal greater than @,) at the core-cladding interface are transmitted by totalOPTICAL FIBER WAVEGUIDES 16 chndaing Fig. 2.4 Tha acceptance angle @, when launching light into an optical fiber internal reflection, it is clear that not all rays entering the fiber core will con- tinue to be propagated down its length. The geometry concerned with launching a light ray into an optical fiber is shown in Fig, 2.4 which illustrates a meridional ray A al the critical angle 9, within the fiber at the core-cladding interface. It may be observed that this ray enters the fiber core at an angle @, to the fiber axis and is refracted at the air— core interface before transmission Lo the core~cladding interface at the critical angle. Hence, any rays which are incident into the fiber core at an angle greater than 8, will be transmitted to the core-cladding interface at an angle less than 6, and will not be totally internally reflected. This situation is also illustrated in Fig, 2.4 where the incident ray B at an angie greater than @, is refracted into the cladding and eventually lost by radiation. Thus for rays to be transmitted by total internal reflection within the fiber core they must be incident on the fiber core within an acceptance cone defined by the conical half angle 8,. Hence 6, is the maximum angle to the axis that light may enter the fiber in order to be propagated and is often referred to as the acceptance angle* for the fiber. If the fiber has a regular cross section (ie. the core—cladding interfaces are parallel and there are no discontinuities) an incident meridional ray at greater than the critical angle will continue to be reflected and will be transmitted through the fiber. From symmetry considerations it may be noted that the output angle to the axis will be equal to Lhe input angie for the ray, assuming E the ray emerges into a medium of the same refractive index from which it was input. 2.2.3. Numorical Aperture The acceptance angle for an optical fiber was defined in the previous section. However, it is possible to continue the ray theory analysis to obtain a "@, in somecimes referred to as the maximum or total acceptance angle.18 OPTICAL FIBER COMMUNICATIONS: PRINCIPLES AND PRACTICE relationship between the acceptance angle and the refractive indices of the three media involved, namely the core, cladding and air. This leads to the definition of a more generally used term, the numerical aperture (NA) of the fiber. It must be noted that within this analysis, as with the previous discussion of acceptance angle, we are concerned with meridional rays within the fiber. Figure 2.5 shows a light ray incident on the fiber core at an angle @, 10 the fiber axis which is less than the acceptance angle for the fiber 0,, The ray enters the fiber from a medium (air) of refractive index a,, and the fiber core has a refractive index #1,, which is slightly greater than the cladding refractive index #,. Assuming the entrance face at the fiber core to be normal to the axis, then considering the refraction at the air-core interface and using Snell's law given by Eq. (2.1): ny sin 8, = 1, sin By (2.3) Considering the right-angled triangle ABC indicated in Fig. 2.5, then: (2.4) where 6 is greater than the critical angle at the core—cladding interface. Hence Eq. (2.3) becomes ny sin @) = 7, cos > (2.5) Using the trigonometrical relationship sin? 9 + cos? 9 = 1, Eq. (2.5) may be written in the form: ny sin 8, =n, Uh — sin? 6)! (2.6) When the limiting case for total internal reflection is considered 9 becomes equal to the critical angie 6, for the core—cladding interface and is given by Eg. (2.2). Also in this limiting case 8, becomes the acceptance angle for the fiber 6,. Combining these limiting cases into Eq. (2.6) gives: no sin 8, = GH — Equation (2.7), apart from relating the acceptance angle to the refractive Fig. 2.5 The ray path for a meridional ray launched into an aptical fiber in air at an input angle loss than the acceptance angle for the fiber.OPTICAL FIBER WAVEGUIDES 17 indices, serves as the basis for the definition of the important optical fiber parameter, the numerical aperture (NA), Hence the NA is defined as: NA = ny sin 8, = (nr) - 1)! (2.8) Since the NA is often used with the fiber in air where 1, is unity, it is simply equal to sin 8,. It may also be noled thal incident meridional rays over the range 0<0, <8, will be propagated within the fiber. The numerical aperture may also be given in terms of the relative refractive index difference A between the core and the cladding which is defined as: ok Ue (2.9) mone ~ forA<1 m Hence combining Eq. (2.8) with Eq. (2.9) we can write: NA ~ 7, (2A)! (2.10) The relationships given in Eqs. (2.8) and (2.10) for the numerical aperture are a very uscful measure of the light-collecting ability of a fiber. They are independent of the fiber core diameter and will hold for diameters as small as 8m. However, for smaller diameiers they break down as the geometric optics approach is invalid. This is because the ray theory model is only a partial description of the character of light. It describes the direction 4 plane wave component takes in the fiber but does not take into account interference between such components. When interference phenomena are considered it is found that only rays with certain discrete characteristics propagate in the fiber core. Thus the fiber will only support a discrete number of guided modes, This becomes critical in small core diameter fibers which only support one or a few modes. Hence electromagnetic mode theory must be applied in these cases [Ref. 12]. Example 2.1 A silica optical fiber with a core dismeter large enough to ba considered by ray theory analysis has a core refractive index of 1.60 and a cladding refractive index of 1.47. Determine: (ai the critical angle at the core-cladding interfece: |b) the NA for tha fiber: (c) the acceptance angle in air for the fiber. Solution: (al The critical angle 4, at the core—cladding interface is givan by Eq (2.2) where: maT18 OPTICAL FIBER COMMUNICATIGNS: PRINCIPLES AND PRACTICE (b) From Eq. (2.8) the numerical aperture is: Wa = [nt ~ 03}? = (1.507 — 1.478)? = (2.25 ~ 2.16)! = 0.30 (c) Considering Ea. (2.8) the acceptance angle in air 9, is given by. @, = sin? NA = sin“? 0.30 - 17.48 Example 2.2 A typical relative refractive index difference for an optical fiber designed for long distance trangmission is 1%. Estimate the NA and the solid acceptance angie in air for the fiber when the core index is 1.46. Further calculste the criticel angle at the core.-claciding interface within the fiber. It may be ssumed that the concepts of geometric optics hold for the fiber. Sofution: Using Eg. (2.10) with A=0.01 gives the numerical aperture as: NA =n, |Z) = 1.66 10.02)? = 0.21 For small angles the solid acceptance angle in air ¢ is given by: &~ ny. msin? 8, Hence from Eq. (2.8) Ge ntNA? 0.04 0.13 reds Using Eq. (2.9) for the relative refractive index difference A gives: Heneo A 1-06.01 = 0.99 From Ey, (2.2) the critical angle at the core-cladding interface —=sin 1099 ~ 81.9OPTICAL FIBER WAVEGUIDES 19 2.2.4 Skew Rays In the previous sections we have considered the propagation of meridional rays in the optical waveguide. However, another category of ray exists which is transmitted without passing through the fiber axis, These rays, which greatly outnumber the meridional rays. follow a helical path through the fiber as illustrated in Fig. 2.6 and are called skew rays. It is not casy to visualize the skew ray paths in two dimensions but it may be observed from Fig. 2,6(b) that the helical path traced through the fiber gives a change in direction of 2y at each reflection where ¥ is the angle between the projection of the ray in two dimensions and the radius of the fiber core at the point of reflection. Hence. unlike meridional rays, the point of emergence of skew rays from the fiber in air will depend upon the number of reflections they undergo rather than the input conditions to the fiber. When the light input to the fiber is nonuniform, skew rays will therefore tend to have a smoothing effect on the distribution of the light as it is transmitted, giving a more uniform output. The amount of smoothing is dependent on the number of reflections encountered by the skew rays. A further possible advantage of the transmission of skew rays becomes apparent when their acceptance conditions are considered. In order to calculate the acceptance angle for a skew ray it is necessary to define the direc- tion of the ray in two perpendicular planes. The geometry of the situation is illustrated in Fig. 2.7 where a skew ray is shown incident on the fiber core at the point A, at an angle 9, to the normal at the fiber end face. The ray is refracted at the air—core interface before travelling to the point B in the same plane. The angles of incidence and reflection at the point B are § which is greater than the critical angle for the core-cladding interface. Cove anit ol ig 2.6 id helical path taken by a skaw ray in an optical fiber: (al skew ray path down eotional view of the fiber,20 OPTICAL FIBER COMMUNICATIONS: PRINCIPLES AND PRACTICE: Airweed Causing Fig. 2.7. The ray path within the fiber core for a skew ray incident at an angle @, to the nermel at the air-core interface. When considering the ray between A and B it is necessary to resolve the direction of the ray path AB to the core radius at the point B. As the incident and reflected rays at the point B are in the same plane, this is simply cos 9. However, if the two perpendicular planes through which the ray path AB traverses are considered, then y is the angle between the core radius and the projection of the ray onto a plane BRS normal to the core axis, and @ is the angle between the ray and a line AT drawn parallel to the core axis, Thus to resolve the ray path AB relative to the radius BR in these two perpendicular planes, requires multiplication by cos 7 and sin 6 Hence, the reflection at point B at an angle 6 may be given by: cos ¥ sid @ = cos > (2.11) Using the trigonometrical relationship sin? ¢ + cos? @=1, Eq. (2.11) becomes: cos 7 sin 8 = cos @ = (I — sin? (2.12) If the limiting case for total internal reflection is now considered then ¢ becomes equal to the critical angle o, for the core-cladding interface and following Ey. (2.2) is given by sin 6, =m /n,, Hence Ey. (2.12) may be written ast my! cos 7 sin 0

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