Optical and Quantum Electronics 25 (1993) 219-229

TUTORIAL REVIEW
M icrowave optoelectronics
A. J. S E E D S
Department of Electronic and Electrical Engineering, University College
London, Torrington Place, London, WCIE 7JE, UK

Received 6 November; accepted 2 December 1992

The low-loss, wide-bandwidth capability of optoelectronic systems makes them

attractive for the transmission and processing of microwave signals. This paper con-
siders the technology required for generating, transmitting and detecting microwave
modulated optical signals. It also reviews the developing research area of directly
optically controlled microwave devices, and describes some typical microwave opto-
electronic systems applications.

1. Introduction
Digital optical fibre systems now carry the bulk of terrestrial long-distance communications
traffic and active work is under way to bring fibre into the local network. The wideband
transmission properties of fibre also suggest applications in the transmission and processing
of microwave signals, and it is to these applications that this paper is directed.
In Section 2, after a brief review of the properties of the optical fibre transmission
medium, technologies for the generation, transmission and detection of microwave modu-
lated optical signals are reviewed, leading to a simple analysis of link performance.
Section 3 introduces the concept of direct control of microwave devices using optical
signals, with examples of the major signal processing functions realized so far.
Section 4 gives examples of some of the applications of these technologies to microwave
systems, including wideband transmission links for antenna remoting and subcarrier multi-
plex transmission, delay line signal processing and phased-array signal distribution and
beam forming. Finally, Section 5 gives conclusions and some directions for future work.

2. Optical techniques for wideband signal transmission

Interest in the use of optical techniques for wideband signal transmission arises directly
from the low transmission loss possible in optical fibres compared with electrical media.
Figure 1 shows the loss performance, as a function of signal frequency, for a 9.5-mm rigid
coaxial system, an X-band rectangular waveguide (WG-16) and silica optical fibre at
wavelengths of 850 nm and 1550 nm. It can be seen that the loss figures for optical fibre at
microwave signal frequencies are much lower than for the metallic media. The rise in fibre
loss at high signal frequencies is due to dispersion - an optical source of linewidth 0.2 nm
was assumed for the comparison.

2.1. Link gain

In order to take advantage of this low-loss transmission property of optical fibre it is
0306-8919 9 1993 Chapman & Hall 21 9
 A. J. Seeds

1000 i i i i
Loss
(dB/km)
100

10 , / . , ~ . 5 m m coax

850 n m ~
1.(3 mode

0.1 1.55 grn m o n o - m o d e

0.31 0.t 1.b i0 160 1 ,00 Figure 1 Comparason between signal
transmission loss of optical fibre and
Frequency (GHz) metallic transmission media.

necessary to convert the signal from the electrical to the optical domain before transmission
and return it to the electrical domain after transmission. Figure 2 shows the complete
optical link with gain given by [1].
a = Pout/Pin = FsG2otFd (1)
where Poutis the output signal power from the link, P,n is the input signal power to the link
and the factors are defined by
F. = /~o2=/P,. (2)
& = Pou,lPdr (3)
Got = L,//~om (4)
where/~om is the peak value of the modulated component of the optical power launched into
the fibre or other medium and ~iDoris the peak value of the modulated component of the
optical power incident on the detector. Note that the source factor, Fs, has the dimensions
of power while the detector factor, Fd, has the dimensions of reciprocal power, so that the
link gain is dimensionless, as required.

2. 1. I. S o u r c e s
Current wideband links are based on intensity modulation/direct detection, although wide
dynamic range links using optical frequency modulation have also been proposed [2]. For

Optical Pom ^
Por Detector
Source Transmission M e d i u m
Got
lPm ~Pout
Electrical Electrical
Input Output
Figure 2 Intensity-modulated optical transmtssion hnk.

220
Microwave optoelectronics

intensity modulation schemes the only suitable directly modulated source is the semicon-
ductor laser, and bandwidths in excess of 30 GHz have been demonstrated [3]. At frequen-
cies below the photon-electron resonance the modulation response is uniform and given by
Pom = t/,i, (5)
where it is the modulating current and qt is defined by
q, = dPo/diL (6)
with P0 the optical output power and iL the laser bias current.
If parasitic components can be neglected, the laser input impedance can be represented
by a resistance Rt of typical value of few ohms. This will need to be matched to the system
impedance, normally 50 s A simple technique is to use a series resistor, Rs, so that the input
resistance, R,n = Rt + Rs, and
F, = 2q2 /R,n (7)
for sinusoidal drive. An alternative and more efficient approach is to use a matching
transformer [1], giving
F, = 2 ~ /R, (8)
for a perfect transformer.
Turning now to external modulators, devices based on the electrooptic effect [4, 5] have
been demonstrated with microwave bandwidths. For a Mach-Zehnder interferometric
modulator [1] the source factor is given by
F, = (~GMPI/V.) 2 R,n/2 (9)
where GM (normally < l) is the optical power gain of the modulator when biased for
maximum transmission, P~ is the incident unmodulated laser power and V, is the input
voltage required to produce a phase shift of ~ between the arms of the interferometer and
hence extinguish the optical output.
Since Fs is proportional to p E, the gain of the link can be increased by increasing P~, the
limit being set by available laser power, the onset of optical damage in the modulator or
saturation of the detector. External modulators have been realized in both lithium niobate
[4] and III-V semiconductor technologies [5] with bandwidths exceeding 30 GHz.
For links involving transmission distances of more than 1 km, where fibre dispersion
effects can become significant, it is important to minimize the spectrum occupancy of the
modulated optical signal. External modulators used with narrow-linewidth sources, such as
laser diode-pumped YAG lasers, can offer a significant advantage over directly modulated
semiconductor lasers for such applications.

2. 1.2. Transmission
In order to avoid the modal noise problems characteristic of multimode fibre systems,
single-mode fibre is used in most microwave optoelectronic systems. Table I gives loss and
dispersion values for silica fibre at the three most-used transmission wavelengths. For
short-distance applications, such as optical signal distribution in phased-array antennas,
loss and dispersion do not present a serious limitation, even at 850 nm wavelength, but for
longer-distance applications, such as antenna remoting or delay line signal processors
1300 nm or 1550 nm wavelength operation is preferred. Future systems are expected to be

221
 A. J. Seeds

TABLE I Loss and dispersion of silica optical fibre

Wavelength Loss Dispersion

(W (dB km-‘) (ps km-’ nm-‘)

850 2.0 90
1300 0.4 14
1550 0.2 < 17

mainly at 1550 nm, given the availability of dispersion-shifted fibre with dispersion less than
1.5 ps km-’ nm-’ for a loss penalty of 0.1 dB km-‘.
For multiway signal distribution, complex assemblies of fused, tapered couplers with
excess losses of less than 0.2dB per bifurcation have been realized [6].
The development of optical amplifiers has enabled ‘transparent’ optical networks to be
realized, in which signals of near arbitrary format can be distributed with small degradation
due to noise and amplifier nonlinearity. The most important technologies for amplifiers are
the travelling-wave semiconductor amplifier (SLA) [7] and the doped fibre amplifier (DFA)
[8]. Figure 3 shows the modelled distortion performance of a typical SLA as a function of
the modulation frequency of the incident light [7]. When the modulation frequency is
greater than the reciprocal of the carrier lifetime, typically 2 ns, the distortion is seen to be
small. This condition is met for microwave signal distribution applications.
Figure 4 shows the structure and typical performance of an erbium-doped fibre amplifier.
The DFA is pumped using a semiconductor laser and has the advantage that it can be
spliced directly into a fibre system, avoiding significant coupling losses. Since the fluor-
escence lifetime of erbium is long ( > 10 ms), low-distortion performance can be maintained
for modulation frequencies down to the kilohertz region.
The choice between SLAs and DFAs for microwave optoelectronic applications depends

SPECTRUM OF OUTPUT
SIGNALS
POWER (TIMES lE-5 W)

60
50 ’
40 .’
30 ’
20
10 ,’
700 1
1 2 3, 4 5 6 7 6
FREQUENCY (TIMES Fo)

Figure 3 Distortion performance of semiconductor laser amplifier.

222
Microwave optoelectronics

Input "-~ 0 ~ - - ~ - ' 7 - ~ - - 0 "~ Output

J
I~i D r e

Centre Wavelength: 1.53 p.m 3 dB Bandwidth: 35 n m

Optical Gain: 20 dB Noise Figure: 5 dB

Pump Wavelength: 1.48 tim Sat. O / P Power: 25 mW

Figure 4 Construction and typical performance of erbium-doped fibre amplifier.

on the systems context. SLAs can be integrated into optoelectronic integrated circuits
(OEICs), whereas DFAs interface naturally with fibre systems. SLAs offer greater power-
added efficiency, an important requirement for space applications, whereas DFAs offer
lower added noise and lower minimum modulation frequency. It therefore seems likely that
both types will find applications.
The total optical transmission gain determines Got through Equation 4.

2. 1.3. D e t e c t i o n
For wideband links, depletion layer photodetectors are preferred and 3 dB bandwidths in
excess of 100 GHz have been reported [9]. For operation well within the 3 dB bandwidth,
a simple current generator model for the photodiode can be used, giving
Fd = RZRL/2 (10)
where R is the responsivity of the detector, R L is the detector load resistance, and the
modulation is assumed to be sinusoidal.

2.2. Noise p e r f o r m a n c e
For an intensity modulation/direct detection system there are four major sources of noise:
source intensity noise, including contributions from Johnson noise in the laser matching
circuit; amplifier noise, if optical amplifiers are used; shot noise due to the flow of current
in the photodetector; and Johnson noise in the photodetector and its load resistance.
Assuming these noise sources to be uncorrelated, the total mean squared output noise
current is given by
t. = [Ne(RPopGot) 2 + (~.a/B) + 2eRGotPop + (4kT/RL)]B (11)
where B is the bandwidth, NLis the laser relative intensity noise (RIN), Pop is the unmodu-
lated source output power, i~a is the mean squared output noise current due to amplifier
noise, e is the electronic charge, and k is Boltzmann's constant.
For a sinusoidally modulated source with modulation index m the mean squared signal
current is
t2s = (mReopGot)2/2 (12)
so that the signal-to-noise ratio becomes

SNR = __(mRP~ Got)2 (13)

2B[NL(RPopGot) 2 + (i~a/B) + 2eRGotPov + (4kT/RL)]

223
 A. J. Seeds

SNR 150
(dB.Hz)
~ " " " " -. S h o t
%
140
",~Th e d a ~ " -.
", Intensity;:.,....,<
130

120

i
I I I I
Figure 5 Dependence of signal-to-noise ratio
5 10 15 20 on link loss for typical microwave bandwidth
Optical Loss (dB) fibre link.

Figure 5 illustrates how the signal-to-noise ratio in a typical system varies with trans-
mission loss (Go~l). For small values of loss, the limitation is usually laser intensity noise
or shot noise. For large loss values, Johnson noise in the detector and load is dominant. The
situation when amplifiers are included depends on the location of the amplifier within the
transmission system. With currently available technology microwave optoelectronic links
with signal-to-noise ratios better than 125dB Hz can be realized [10].

3. O p t i c a l control of microwave devices

In the systems described in the previous section, the optical signal was returned to the
electrical domain using a depletion photodetector. An alternative approach is to use the
optical signal to control or introduce signals directly into microwave devices. This approach
has several attractions. First, no extra electronic circuits are required to process the detected
signals before application to the microwave device; nor are any circuit parasitics, which may
limit response speed, introduced. Second, optical control introduces an extra control port
to the microwave device. Third, the optical control signal is immune to most electromagnetic
disturbances, such as EMP.
The basic process used in direct optical control of microwave devices is photogeneration
of carriers within the device by the incident optical signal, usually through intrinsic
absorption. In depletion regions this produces a photocurrent and alters the built-in
potential, thus changing the device capacitance. In undepleted material the photoconduc-
tive effect increases the conductivity of the semiconductor material.
Optical control of a wide range of microwave devices has been demonstrated [11]; some
of the more important examples are described below.

3.1. Optical control of amplifiers

The gain of microwave MESFETs and HEMTs depends strongly on the gate-source bias.
It is possible to control the gain of amplifiers using these devices by illuminating the gate
region and including an appropriate series resistor in the gate bias circuit to produce a
change in gate bias in response to the optically generated current [12]. Gain changes of up
to 20 dB in MESFET amplifiers can be achieved using optical powers of a few microwatts.
HEMT amplifiers exhibit an optical sensitivity that is typically between 7 and 10 times
higher [l 3].
224
Microwave optoelectronics

Pop P0

fo I_
fo
t,~ t
to
(a)
Pop ~ / ~

f~
~ t e~ t
(b)
Pop 1
%
m

- t ,, ~o
f2 k fm
(c)
Figure 6 Optical control of oscillators: (a) optical switching, (b) optical tuning, (c) optical injection locking.

3.2. Optical control of oscillators

Three main forms of oscillator control are possible, as shown in Fig. 6. In optical switching,
Fig. 6a, a change in the intensity of the optical control signal changes the oscillator output
power. In optical tuning, Fig. 6b, the optical control signal intensity is also varied, but the
intensities used are too small to produce significant oscillator output power variation.
Finally, in optical injection locking, Fig. 6c, the optical control signal is intensity-modulat-
ed at a frequency close to the free-running frequency of the oscillator (k = l, fundamental
locking), one of its harmonics (k integral, harmonic locking), or one of its subharmonics
(k fractional, subharmonic locking). The modulated optical signal absorbed in the device
active region gives rise to current flow at the modulation frequency in the device, leading
to injection locking of the oscillator output frequency.
The above phenomena have been demonstrated for oscillators using IMPATT diodes
[14], MESFETs [15] and bipolar transistors [16]. The tuning and injection locking ranges
have generally been less than 1% of oscillator free-running frequency owing to difficulty in
coupling light into the active region of the device efficiently. There is scope for ingenious
device work to combine satisfactory microwave performance with improved optical response.

3.3. Optically pumped mixers and phase detectors

Figure 7 shows the principle of the optically pumped mixer. The signal input to the device
is electrical but the local oscillator source is supplied by an intensity-modulated optical
source. The converse arrangement, in which an electrical local oscillator signal is used to
down-convert an intensity-modulated optical signal, has also been demonstrated [17].
Integrating the photodetection and mixing functions offers the attraction that electrical
coupling at the local oscillator frequency between a separate detector and mixer, Fig. 7b,

225
 A. J. Seeds

INTENSITY

MODULATEO
x) OPTO-ELEC- ) I F
~RONIC MIXER OUTPUT
OPTICAL

S~GNAL

ca) 1[,

CONVENTIONAL

MOOULATEO PHOTO- MIXER I F

OPTICAL
> OUTPUT

SIGNAL

Cb) Figure 7 (a) Optically pumped mixer and

(b) equivalent using conventional com-
ELECTRICAL
SIGNAL
ponents.

with consequent matching and parasitic component problems, is not required. There is also
the attraction of simplicity. Photoconductive mixers fabricated in GaAs have been realized
for frequencies up to 4.SGHz [18], but the optical power requirements are in excess of
10 mW for efficient operation. Tunnelling in reverse-biased Schottky diodes has been used
to give a mixer with a conversion loss of less than 16 dB [19], with lower losses predicted
for more efficient optical coupling. Optically pumped mixers have also been realized using
MESFETs [20] and HEMTs [21].
A recent development has been a phase detector using MESFETs that produces an
electrical output representing the phase difference between two intensity-modulated optical
inputs [22].

4. Microwave systems applications

4.1. Signal distribution and processing
The wideband signal transmission properties of optical fibre make it possible to transmit
a group of microwave frequency division multiplex (FDM) channels from an antenna to a
remote site without prior demultiplexing [23].
The cable television industry is also using wideband fibre technology for signal distri-
bution. Figure 8 shows the microwave subcarrier multiplexing technique used. Each channel
is mixed with a subcarrier in the electrical domain to form a composite signal which is used
to modulate the optical source. Linearity requirements in such systems are stringent and are

Ch.1
Ch ~ Optical[
Source Fibre

I
Figure 8 Microwave subcarrier multi-
t
plexing technique.

226
Microwave optoelectronics

Optical Photo-
Source detector

Input -~
Delay
Pre-proc-
essor Processor
Adapt

Output Figure 9 Optical fibre delay line signal processor.

the subject of intensive study [24]. Similar techniques have been proposed for signal dis-
tribution in cellular radio systems [25].
Optical fibre delay lines offer longer delays for microwave bandwidth signals than
competing technologies, such as bulk acoustic wave devices. Figure 9 shows a typical signal
processor architecture in which a processor is adapted to re-analyse the incoming signal
while it is travelling through the delay line. Deborgies et al. [26] report a 100/~s optical fibre
delay line with a directly modulated semiconductor laser source, for use up to 8 GHz.
Signal-to-noise ratio exceeds 127 dB/Hz up to 4 GHz, falling to 115 dB/Hz at 8 GHz. Higher
figures would be achievable using an externally modulated source. However, the existing
system exceeded the performance of bulk acoustic wave technology for all frequencies
greater than 1 GHz.

4.2. Phased-array antennas

In a phased-array antenna the beam is formed by adjusting the phase relationship between
a number of radiating elements. Advances in monolithic microwave integrated circuits
(MMIC) make it possible to use active elements at acceptable cost. Much of the expense
then lies in the signal distribution scheme required to obtain the necessary phase relation-
ship betweeia elements. Traditional microwave power splitters and transmission systems are
cumbersome and lossy, particularly at millimetre-wave frequencies. There has thus been
interest in optical fibre techniques for both signal transmission [27] and, more recently, for
beam forming [28].
A recent development has been the successful demonstration of the use of integrated
optics coherent techniques for beam forming. Figure l0 illustrates the principle. Two
optical signals are generated with a frequency difference equal to the desired microwave
frequency. One of the signals passes through an optical phase shifter, experiencing a phase
shift, q~. The two signals are then combined and illuminate a photodiode. The output signal
from the photodiode includes a component at the difference frequency, with phase ~b. Thus
the optical phase shift is translated to the microwave output. Birkmayer and Wale [29] have
demonstrated a beam former of this type for the 12/14 GHz satellite communications band.
Crucial to the success of such techniques is the availability of suitable technology for
generating the required optical frequencies. Optical phase-lock loops (OPLL) using diode-
pumped YAG lasers [30] have been used in system demonstrators. Recent work on
wideband OPLL using semiconductor lasers [31] suggests that this will be a viable approach
for future systems.
227
 .4. J. Seeds

Eo=Eosin(~ot)
~,Photo- I is
Optical diode F
phase
E1 = E l sin(~ t) shifter I E'I = 1~1 sin(co 1 t + (~)

Control

Figure 10 Coherent optical beam former -

is ~1~o ]~1 c~ ((r176- C~ + q~) operating principle.

5. Conclusion
The application of optoelectronic techniques in microwave systems depends on advances
in wideband optoelectronic technology. Directly modulated sources, external modulators
and detectors, with bandwidths extending into the millimetre-wave region are now com-
mercially available. The use of external modulators with high-power, low-intensity noise
sources enables optical links with excellent noise performance to be realized. Optical
amplifier technology enables wideband networks with well-controlled noise performance to
be constructed, and seems likely to play an important part in distribution networks for
phased-array antennas and cable television. Advances in coherent optical signal generation
and processing technology suggest that it will play an increasing part in optical beam
forming and signal processing schemes.
An issue that is becoming of increasing importance, as noise limitations in microwave
optoelectronic systems are overcome, is the problem of nonlinearity in optical modulation
schemes. The sinusoidal nonlinearity of interferometric optical modulators is one example
of an inherent nonlinearity. A number of groups are working on techniques for linearizing
microwave optoelectronic components and major improvements are likely, perhaps by the
use of electrical feed-forward/feedback techniques.
A number of the applications proposed for microwave optoelectronics when the tech-
nology was in an embryonic state have now become practical reality. With continued
investment in the underlying technology, many more applications will also come to
fruition.

Acknowledgements
The author thanks his colleagues in academe and industry for their many contributions to
the work described here. Work at University College London has been supported by the
United Kingdom Science and Engineering Research Council, the European Space Agency,
Northern Telecom Europe Optoelectronics and the United Kingdom Ministry of Defence.
The author holds the Bell Northern Research (Europe) Senior Lectureship in Optoelectron-
ics at University College London.
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