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Transmission Impairments in DWDM Networks With Reconfigurable Optical

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JOURNAL OF LIGHTWAVE TECHNOLOGY, VOL. 28, NO. 4, FEBRUARY 15, 2010
Transmission Impairments in DWDM Networks With
Reconfigurable Optical Add-Drop Multiplexers
Sorin Tibuleac, Member, IEEE, and Mark Filer, Member, IEEE
(Invited Paper)
Abstract—Reconfigurable optical add/drop multiplexers
(ROADMs) based on 1 N wavelength-selective switches (WSS)
are evolving to support DWDM networks with higher capacity
and increased flexibility in wavelength routing. Different WSS
technologies can be employed to provide colorless and steerable
functionality for ring, or meshed architectures. Improvements in
specifications of WSS modules operating on the 50 GHz wave-
length grid have enabled 40 Gb/s transmission rates through
extensive ROADM networks. The same ROADMs are also ex-
pected to support 100 Gb/s transmission in the near future. In
parallel, development of lower-cost WSS technologies is allowing
ROADMs to expand into edge networks. In all these network
applications, propagation through multiple ROADMs generates
transmission penalties for the DWDM channels, which need to
be factored into the network design. Such OSNR or Q factor
penalties can be induced by passband narrowing, imperfect iso-
lation across the signal bandwidth, insertion loss, PDL, and other
effects. The impact of these impairments depend on the trans-
mitter and receiver types (e.g., data rate and modulation format),
and on the WSS characteristics (e.g., insertion loss, passband
width, shape, isolation magnitude and isolation stopband). Key
transmission impairments such as bandpass narrowing, crosstalk,
insertion loss, and PDL are estimated based on experiments and
numerical simulations for common data rates and modulation
formats. Implications of temporal fluctuations during power
setting throughout a ROADM network are also discussed.
Index Terms—Bandwidth limitations, crosstalk, optical fil-
tering, reconfigurable optical add/drop multiplexer (ROADM),
wavelength-selective switch (WSS).
I. INTRODUCTION
ENSE WAVELENGTH division multiplexed (DWDM)
D systems have become the standard technology in high
capacity telecommunication networks ranging in distance
from a few kilometers to thousands of kilometers. Commer-
cial DWDM systems use wavelengths modulated at 2.5, 10,
or 40 Gb/s covering the C and L band spectral range with
typical frequency spacing between channels of 100 GHz or
50 GHz. These wavelengths are added and dropped from
the multi-wavelength network fiber at geographical locations
where the optical information is converted to electronic format
Manuscript received November 10, 2009. First published December 15, 2009;
current version published February 10, 2010.
The authors are with ADVA Optical Networking, Norcross, GA 30092 USA
(e-mail: stibuleac@advaoptical.com).
Color versions of one or more of the figures in this paper are available online
at http://ieeexplore.ieee.org.
Digital Object Identifier 10.1109/JLT.2009.2037832
0733-8724/$26.00 © 2010 IEEE
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557
for processing and switching. Such network nodes, known as
optical add/drop multiplexer (OADM) nodes use optical filters
to add/drop the desired wavelengths, while passing through all
other wavelengths towards other OADM nodes in the network.
Over the past few years, there has been a growing trend to
add wavelength reconfigurability to OADM nodes (ROADMs),
thereby allowing remote changes to the add/drop traffic pattern
across the network [1].
This versatility of ROADM-enabled DWDM systems trans-
lates to several benefits for the network operator including
simpler network planning, installation and turn-up, and a
simplified process of adding new wavelengths to the network.
The elimination of manual fiber connections upon changes in
wavelength add/drop pattern also reduces the time required to
implement these changes and increases network availability. All
these benefits contribute to a reduction in operating expenses of
the DWDM network. Capital expenses can also be reduced in
ROADM networks by eliminating opto-electronic conversion
and switching of each wavelength at fiber junction nodes, and
accomplishing the same function with multi-degree ROADM
nodes [2]. Wavelength power equalization, typically available
at ROADM nodes, can also increase the optical transmission
distance, eliminating potential opto-electronic regeneration
points and their associated cost. Equally important, ROADMs
represent a key element required for DWDM networks to
evolve towards new network topologies, from the prevalent
point-to-point and ring based fiber connectivity to meshed
networks [3]–[5]. New types of telecommunication services,
whereby wavelength connections are scheduled for shorter time
intervals than in today’s networks, are also made possible by
the remote and automated wavelength switching capability of
ROADMs [6], [7].
ROADM deployments began in long-haul networks, where
the added cost of reconfigurability represented a smaller
fraction of the total network cost. Technical innovations, im-
provements in manufacturing yield, and increasing deployment
volume have reduced the cost of ROADMs and enabled them
to penetrate into regional and metropolitan DWDM networks
[8], [9]. Multiple types of ROADMs have been proposed and
implemented to provide different combinations of functionality,
performance, and cost adapted to each network application
[3]. The paper reviews some key ROADM architectural op-
tions from the simplest 2-degree ROADM node with fixed
add/drop wavelengths, to the more flexible colorless or steer-
able wavelength ROADMs, and more complex multi-degree
node architectures required at junction nodes. The following
558 JOURNAL OF LIGHTWAVE TECHNOLOGY, VOL. 28, NO. 4, FEBRUARY 15, 2010

Fig. 1. ROADM node architectures: 2-degree ROADM with fixed wavelength per port (a), colorless 2-degree ROADM (b), colorless 2-degree ROADM with
power equalization (c) steerable 2-degree ROADM (d), colorless and steerable 2-degree ROADM (e), and 4-degree ROADM (f).

section presents the technologies currently employed in design
of wavelength-selective switches and their most relevant speci-
fications impacting transmission performance. The paper then
focuses on the key ROADM-induced transmission impairments:
insertion loss, polarization-dependent loss, passband effects,
in-band crosstalk, and transient power effects. Measurements
and simulation results quantify the performance impact of each
impairment type independent of the others. These studies use
conventional ROADMs operating in systems with typical data
rates (10 Gb/s and 40 Gb/s) and modulation formats of the
DWDM wavelengths (OOK, DPSK, DQPSK).
II. ROADM NODE CONFIGURATIONS
Throughout this paper, ROADMs are referred to as network
nodes capable of selective and automatic addition and removal
of individual wavelengths from an optical fiber. Beyond this
basic property, there are a number of features typically as-
sociated with ROADM nodes, for instance: channel power
monitoring, the addition and removal of any number and
combination of wavelengths, the support of a wide variety
of channel bandwidths, the absence of any impact on other
channels during switching, and the ability to switch wave-
lengths from other DWDM equipment. Multiple ROADM
implementations are possible [3], with some relevant examples
shown in Fig. 1. The key element of a ROADM node is a
wavelength-selective switch (WSS), capable of demultiplexing,
multiplexing, and switching DWDM wavelengths between
one, or multiple input fiber ports, and one or more output fiber
ports. Common WSS subsystems provide 1 input (or output)
port, and N output (or input) ports where N can be up to 9
at present, but increasing port counts up to 20–23 ports are
expected in the near future. Prototypes with multiple input and
output ports (NxM) have been reported [10], [11], and may
find applications in the future. The wavelength selective switch
is typically also capable of adjusting the attenuation for each
wavelength on the output port(s), or blocking it altogether. This
requires additional components to monitor the output power
per channel. Other optical components, which may be found
within a ROADM node are: 1:N power splitters or couplers,
multiplexers and demultiplexers for local wavelengths, taps for
power monitoring, amplifiers for pass-through and/or add and
drop channels.

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TIBULEAC AND FILER: TRANSMISSION IMPAIRMENTS IN DWDM NETWORKS
Fig. 1(a) shows a common ROADM node configuration using
a power splitter to transmit all channels towards the drop and
pass-through paths. Only one direction of propagation through
the ROADM node is shown. The wavelength selective switch
with two input ports and one output port selects wavelengths
coming from either the multiplexer or the splitter while blocking
the same wavelength from the other port. It becomes apparent
that any residual power that is not blocked on the pass-through
path becomes in-band crosstalk for the add channel [12], [13].
This potential problem can be alleviated by replacing the power
splitter with another WSS operating with one input and 2 output
ports, thereby improving the isolation between the add and pass-
through channels. However, the crosstalk penalties in a single
WSS ROADM are usually low and can be accommodated in
the system OSNR or Q factor budget, while the increased cost
of the second WSS makes this solution less desirable in practical
applications.
Although this ROADM node offers the choice of passing
through or adding any combination of wavelengths from the net-
work fiber, the wavelength-specific connections between the de-
multiplexer and the receiver prevents a transponder from being
used on any other wavelengths without manual fiber reconnec-
tion. Additional flexibility is provided by the wavelength-inde-
pendent (colorless) ROADM configuration employing a 1 N
WSS and an N:1 coupler (Fig. 1(b)). This ROADM type used in
conjunction with transponders employing tunable lasers allows
any wavelength to be terminated at a given transponder [3]. Note
that in this case, power equalization cannot be accomplished be-
tween the channels on the add and express paths. An alternative
colorless ROADM design with full wavelength equalization ca-
pability is achieved (Fig. 1(c)) by combining the 2 1 WSS and
1:2 coupler of Fig. 1(a) with the 1 N WSS and N:1 coupler of
Fig. 1(b).
Another avenue for increasing the functionality of a ROADM
node is to allow, in addition to an express path through the
node, multiple add/drop paths for a given transponder. Fig. 1(d)
illustrates such a steerable (or directionless) ROADM where
a 2 1 WSS on the drop path selects a wavelength from ei-
ther east or west direction of propagation through the trans-
mission fiber. These wavelength and direction independent add/
drop switching features can be combined into more complex
node architectures, with an example shown in Fig. 1(e) [4].
The number of network interfaces defines the degree
of a ROADM. The ROADM configurations presented in
Figs. 1(a)–(e) are all 2-degree ROADMs. A multi-degree
ROADM is achieved using several 1:N splitters and N 1
WSS modules, where the N output ports on each splitter are
connected to an input port on each of the N 1 WSS modules
(Fig. 1(f)) [3]. This results in the equivalent of an N N WSS
with the advantages over the single N N WSS offered by
the modular implementation. The node can evolve towards
higher degrees of connectivity with incremental cost and with
no impact on existing traffic through the node. The modular
design also ensures higher equipment reliability and network
availability.
III. ROADM TECHNOLOGIES AND SPECIFICATIONS
A. Technologies for Wavelength-Selective Switches
Wavelength-selective switching is achieved with parallel de-
multiplexing of all wavelengths on the incident fiber port using
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559
a free-space grating, or an integrated optical grating (arrayed-
waveguide grating—AWG). A similar diffractive device, often
the same component, is used for multiplexing wavelengths into
a single data stream emerging from an output port. The wave-
length routing function is accomplished by a number of different
implementations which include the following.
• 2-degree MEMS mirror array, with one mirror per wave-
length, where one rotation axis provides wavelength
routing, while the second offsets the beam from the fiber
core thereby controlling attenuation [14].
• Liquid Crystals (LC) arrays, each array using polarization
control to provide 1 2 WSS functionality, including at-
tenuation control [15], [16].
• Combined 1-degree MEMS and Liquid Crystals, where the
MEMSs achieve wavelength switching, while the LC’s set
the desired attenuation [15].
• Liquid Crystal on Silicon (LCOS), which consists of a
large liquid crystal array, similar to one that would be used
in video display applications, with a multitude of LC’s per
wavelength fulfilling both switching and attenuation func-
tions [17], [18].
• Digital MEMS using a different video display technology
consisting of an array of MEMS mirrors with two possible
angular positions, and multiple mirrors assigned to a single
wavelength [5].
• Integrated planar lightwave circuit (iPLC) devices fabri-
cated in Silica or polymer waveguides which include an
array of 2 1 switches and variable optical attenuators
[19]–[21].
A different category of ROADMs can be implemented with
tunable filters using one of several technologies [5], [22]. A tun-
able wavelength filter can separate a single wavelength from a
DWDM spectrum. Multiple filters in sequence can be used to
add/drop a corresponding number of wavelengths at a ROADM
node. Alternatively, filters with wavelength and bandwidth tun-
ability have also been proposed as a solution for add/drop of 4–8
DWDM channels with a single device [5].
B. WSS Specifications Impacting System Performance
Wavelength-selective switches are characterized by a set
of optical, electrical, and mechanical parameters specified in
product data sheets. A subset of optical parameters which
impact the transmission performance of the DWDM system
is presented in Table I, along with typically-specified values
for each parameter across the different technologies used for
WSS implementation. These values represent the worst-case
over specified temperature range, wavelengths, and across all
polarization states, and may include margin for ageing. Av-
erage values measured at room temperature can be significantly
better. For instance, average values for insertion loss at room
temperature for an 8 1 WSS operating on the 100 GHz grid
can be in the 3–4 dB range, whereas the specifications are
1–2 dB higher. Higher loss is expected on WSS subsystems
designed for 50 GHz channel spacing.
The transmission bandwidth of the WSS has a significant im-
pact on the transmission performance, particularly for wide-
bandwidth (high-data rate) signals [23], [24]. Since different
WSS implementations may yield different passband shapes, it is
560
TABLE I
KEY SPECIFICATIONS OF WSS SUBSYSTEMS FOR 50 GHZ OR 100 GHZ
CHANNEL SPACING UNDER ALL OPERATING CONDITIONS
common to define the bandwidth at two different values below
the peak, e.g., at 0.5 dB and at 3 dB below the transmission
maximum. A third characteristic of the passband is the offset
with respect to the wavelength specified for the DWDM sig-
nals [25]. The passband and the offset can be combined into a
single passband specification defined as twice the minimum be-
tween the two half-bandwidths at 0.5, or 3 dB below the trans-
mittance at the reference (ITU-T) wavelength [26]. The isolation
is a critical parameter, which determines the in-band crosstalk
in a DWDM system. However, a simple definition of minimum
isolation over a fixed bandwidth is not adequate to characterize
the impact of this parameter on the system performance [12],
[13], as discussed in more detail in Section 6.
The next sections are dedicated to the ROADM-induced im-
pairments which have the highest impact on the transmission
performance of the DWDM system: insertion loss and polariza-
tion-dependent loss (PDL), passband, and isolation. Other rel-
evant specifications with potential impact on channel BER, but
not discussed are polarization-mode dispersion (PMD), chro-
matic dispersion and phase ripple, accuracy of power setting,
and power stability.
IV. LOSS IMPACT
A. Insertion Loss and Optical Transmission Distance
The reduction of insertion loss is a primary goal of any
DWDM network design. The attenuation of signals passing
through a ROADM node is compensated by amplifiers, which
increase signal power at the cost of added noise. The accu-
mulated noise throughout the optical link and the associated
reduction in optical signal to noise ratio (OSNR) limits the
maximum distance for propagation of optical signals with
acceptable bit error rate (BER). Hence, there is a desire to
reduce the loss and the amplification requirements throughout a
DWDM network. The insertion loss of a ROADM node depends
largely on the node architecture and the type of components that
are required to support it. For example, multi-degree ROADMs
employing 1:8 power splitters and 8 1 WSS modules on the
pass-through path incur higher loss than two-degree ROADMs
using a 1:2 splitter and a 2 1 WSS per direction of propa-
gation. For a particular node architecture, and given the fixed
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JOURNAL OF LIGHTWAVE TECHNOLOGY, VOL. 28, NO. 4, FEBRUARY 15, 2010
Fig. 2. Decrease in OSNR with number of 20 dB or 25 dB spans for 2 cases of
ROADM insertion loss: 12 dB and 20 dB.
loss of the power splitter, the ROADM node loss varies with
the loss specification of the ROADM’s main building block,
the WSS. The power levels entering the post-amplifier also
depend on the power variation across the spectrum resulting
from propagation through upstream fiber and other network
elements. The ROADM performs wavelength equalization by
reducing the power on all wavelengths to the lowest channel
power within the spectrum. Therefore, the difference in power
between the average channel power and the lowest channel
power, and the accuracy in power setting also need to be
considered as contributors to the total ROADM loss [27], [26].
As an example, the impact of ROADM insertion loss values
on the transmission distance of an 80-channel long-haul DWDM
network with identical ROADM nodes is analyzed for two cases
of total ROADM loss: 12 dB and 20 dB. The 12 dB node can
correspond to a 2-degree ROADM (Fig. 1(a)) while the 20 dB
loss may represent an 8-degree ROADM (similar to Fig. 1(f)).
Each node is assumed to have an EDFA pre-amplifier and an
EDFA post-amplifier to compensate fiber span and node loss,
respectively. The reduction in OSNR with span number is illus-
trated in Fig. 2 for span loss values of 20 dB and 25 dB. The
amplifiers are assumed to have noise figure values:
dB at 12 dB gain, dB at 20 dB gain and
dB at 25 dB gain. The relatively minor contributions to OSNR
degradation of EDFA gain ripple, and uncompensated fiber tilt
are also included. The maximum propagation distance is deter-
mined by the intersection of the link OSNR curve with the line
representing the minimum OSNR required at the receiver for a
specified BER. The additional number of spans supported with
the lower loss ROADM is higher for 20 dB spans than for 25
dB spans. For a minimum required OSNR at the receiver of 16
dB, the lower loss ROADM offers an increase in transmission
distance by 4 spans.
In metropolitan networks characterized by shorter span
lengths, lower loss ROADMs offer the possibility of elimi-
nating the post-amplifier, thereby simplifying the network, and
reducing its cost. For example, a network with 10 dB spans
requires post-amplification in the case of the 20 dB ROADM
loss. By reducing the ROADM loss to 12 dB, the network can
be supported without post-amplifiers at approximately the same
OSNR values across the link.
TIBULEAC AND FILER: TRANSMISSION IMPAIRMENTS IN DWDM NETWORKS
Fig. 3. OSNR evolution across multiple 20 dB or 25 dB spans with PDL values
of 0, 0.5, and 1.0 dB, assuming fixed ROADM loss of 12 dB.
B. Polarization-Dependent Loss
A similar degradation in OSNR results from the polariza-
tion-dependent loss (PDL) of the ROADMs [28]. Although most
ROADMs have the capability to adjust power levels, and re-
duce any slow variations in power originating from upstream
nodes, or from the same node, PDL-induced power changes can
occur at a faster rate than the typical response time of a ROADM
system (Table I). This power variation increases in a statistical
manner with number of ROADM nodes present in the optical
link [29]. A network designer therefore needs to estimate the
impact of PDL when calculating the lowest OSNR across all
channels propagating on an optical path. On most WSS sub-
systems PDL increases with attenuation setting. Since it is dif-
ficult to associate specific attenuation values required on each
wavelength for equalization of the DWDM spectrum, a statis-
tical worst-case assumption for PDL value has to be made for
reliable network design. Fig. 3 shows the impact of PDL on the
OSNR and the optical transmission distance for optical links
with identical spans and ROADM nodes for span loss values of
20 dB and 25 dB, and PDL values for each ROADM of 0 dB,
0.5 dB, and 1 dB. The ROADM node loss is assumed to be 12
dB in all cases. For a minimum OSNR required at the receiver
equal to 16 dB, an increase in PDL from 0.5 dB to 1 dB reduces
the maximum number of spans from 23 to 18.
V. PASSBAND EFFECTS
A. Performance With 10 Gb/s NRZ-OOK Modulation
The transmission passband of the ROADM can be the
most significant contributor to performance degradation in a
DWDM network, and this topic has been the subject of several
research studies published to date [23], [24], [30]–[32]. The
transmission penalties incurred by ROADMs can be attributed
to filtering/shaping of the frequency spectrum of the optical
communication signals and distortion of the optical pulses as
they propagate through a sequence of ROADM nodes. This can
be generated by the limited bandwidth of the ROADM in com-
parison to the signal bandwidth, or by the amplitude and phase
variations within the signal bandwidth accumulated with prop-
agation through multiple ROADMs. Signals with modulation
rates of 10 Gb/s and lower using standard non-return-to-zero
on/off keying (NRZ-OOK) modulation format are robust to
passband narrowing and shaping induced by a large sequence
of typical ROADM filter transmittance functions. This was
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561
verified in a recirculating loop [33] experiment performed with
a DWDM signal generated by a 10 Gb/s NRZ-OOK transmitter
using a Lithium Niobate modulator with zero chirp and 12
dB extinction ratio. The signal was transmitted multiple times
through the same sequence of three 50 GHz ROADM nodes.
Each ROADM node consisted of a 100 GHz WSS, which in-
cludes a pair of arrayed waveguide gratings to demultiplex and
multiplex 100 GHz spaced channels, a planar lightwave circuit
(PLC) array of 2 1 switches, and a pair of interleaver filters
to separate and recombine the 50 GHz spectrum into, and from
two sets of 100 GHz-spaced DWDM channels. The receiver
was based on a PiN photodiode and a limiting amplifier with
optimized decision threshold. Controlled amounts of ASE were
added at the receiver to replicate the lower OSNR that may be
obtained in a real network. The loop included an EDFA for
each ROADM node and an additional amplifier to compensate
the loss of loop components (switch and attenuators). A short
length of standard single-mode fiber (10 km) with matching
DCM was employed to minimize any effects from fiber and iso-
late only the passband effects. Fig. 4(a) shows the transmittance
on two DWDM channels of the individual interleavers and 100
GHz PLC WSS with 3 dB bandwidths in the range 38–42 GHz,
and 62–65 GHz, respectively. The measured transmittance
after propagation eight times through the same sequence of
three PLC ROADMs and three pairs of interleaver filters is
shown in Fig. 4(b). An insignificantly small, but systematic dip
(0.1–0.2 dB) in the center of the transmittance function of each
interleaver is enhanced by the 48 traversals, generating a notch
around the transmitter wavelengths of up to 5 dB. The impact
of the recirculating loop set-up itself is verified with Q factor
measurements performed on the same experimental configura-
tion with attenuators replacing the ROADMs. No measureable
difference is recorded between the Q factors of the signals
bypassing the recirculating loop or traversing it 8 times without
the ROADMs. In spite of the severe passband distortion of the
cascaded ROADMs, the Q factor values resulting from BER
measurements at an dB are between 13.5–14.5
dB for 38 wavelengths across the spectrum (Fig. 5). These Q
factor values are well above the FEC correction limit of 9.5
dB, demonstrating robust performance of the DWDM system
with 24 50 GHz ROADMs. The experiment was repeated with
the identical set-up except for a different receiver which has
a fixed decision threshold. In this case, Q penalties between
0.5–1.5 dB were measured across different wavelengths passed
through the 24 50 GHz ROADMs. A clear dependence of the
passband penalties on the receiver design emerges from these
experimental studies.
B. ROADMs in Access Networks
The impact of the ROADM bandwidth is aggravated by rela-
tive detuning between the center of the passband and the trans-
mitter wavelength, which may occur due to limited manufac-
turing tolerances, temperature, and ageing effects. The spectral
shift of the ROADM passband from the ITU-T grid can be up
to nm, while the wavelength offset of the laser depends
on the transmitter design. Core networks typically use wave-
length-locked lasers with wavelength setting accuracy specified
over the lifetime of the network to be within nm from
562
Fig. 4. Transmittance spectrum of 3 individual PLC ROADMs and 6 inter-
leavers used in recirculating loop experiments (a), and of the three 50 GHz
ROADMs cascaded 8 times in the recirculating loop (b).
Fig. 5. Q factor measurements across different 10 Gb/s NRZ-OOK channels
transmitted 8 times through the recirculating loop with three 50 GHz ROADMS
in the loop. Reference measurements at 3 wavelengths with ROADMs replaced
by attenuators in the loop, and in back-to-back configuration are also shown;
OSNR = 15 dB for all measurements.
the ITU-T grid. The cost sensitivity of DWDM access networks
require ROADMs to operate with low-cost transmitters with un-
locked lasers which may drift up to nm from the nominal
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JOURNAL OF LIGHTWAVE TECHNOLOGY, VOL. 28, NO. 4, FEBRUARY 15, 2010
Fig. 6. OSNR penalty generated by propagation of 10 Gb/s NRZ-OOK chan-
nels up to 6 times through the loop (6 TF-ROADMs per loop) with different
laser detuning values from the ITU-T grid.
wavelength. This generates a much larger relative detuning be-
tween the ROADM passband and the signal wavelength, and po-
tentially higher transmission penalties. The impact of cascaded
bandwidth under wavelength drift conditions was studied [30]
for a metro-access ROADM, comprised of a 3-port tunable filter
able to drop (or add) between 1–8 wavelengths on a 100 GHz
ITU grid on one port, and pass-through the remaining wave-
lengths on the other output (or input) port of this tunable-filter
ROADM (TF-ROADM).
A tunable laser was modulated with NRZ-OOK by a Lithium
Niobate modulator at 10.7 Gb/s, and transmitted through the
recirculating loop with six TF-ROADMs within the loop. The
signal was detected with a PiN receiver with optimized deci-
sion threshold. Optical filtering of the signal passing through the
TF-ROADMs occurs only in the case when an adjacent channel
in the spectrum is added or dropped. Therefore, in an effort to
measure potential worst-case filtering, the devices were set to
pass the test channel and drop the adjacent channel, alternating
between the lower and higher frequency neighbor from one de-
vice to the next. An ASE source with variable output power cou-
pled to the test wavelength in front of the receiver was used to
add controlled amounts of noise. The BER was measured as
a function of the OSNR at the receiver for one to six signal
passes through the loop, corresponding to propagation through
6–36 devices. The measurements were then repeated with the
TF-ROADMs replaced by an increased loss in the loop VOA to
determine the OSNR penalty incurred by transmission through
the cascaded TF-ROADM devices. The OSNR penalties were
repeated for different wavelength detuning values from the ITU
grid. Fig. 6 summarizes the results across different detuning
values and number of passes through the recirculating loop. For
locked lasers, the penalties generated by propagation through up
to 36 devices are negligible, and lie within the margin of mea-
surement error. The OSNR penalties increase for large detuning
values, but remain below 0.8 dB in the range corresponding to
typical wavelength drift of unlocked lasers (up to nm).
C. Core Networks With High Spectral Density DWDM Systems
Core metro and long-haul networks continue to expand
transmission capacity by increasing the modulation rate of
the DWDM wavelengths (at 40 Gb/s and 100 Gb/s) while
TIBULEAC AND FILER: TRANSMISSION IMPAIRMENTS IN DWDM NETWORKS 563

Fig. 7. Bandwidth narrowing with increasing number of filters in the optical

path, for different Gaussian orders, and for typical bandwidths of 100 GHz
ROADMs (70 GHz) and 50 GHz ROADMs (40 GHz).
Fig. 8. Spectrum of 40 Gb/s NRZ-DPSK and RZ-DQPSK relative to typical
passbands of 100 GHz and 50 GHz ROADMs.
maintaining the channel spacing at 50 GHz. Under these condi-
tions of high spectral density, passband narrowing in ROADM
networks can become the limiting factor, which determines the
maximum number of ROADM nodes allowed in an all-optical
transmission link. The gradual narrowing of the passband with
increasing number of ROADMs on the optical path is depicted
in Fig. 7 for two 3 dB bandwidths, 70 GHz, and 40 GHz, corre-
sponding to typical values for 100 GHz and 50 GHz ROADMs,
respectively. The shape of the passband, represented in this
example by Gaussian-type filters of different orders, plays an
important role in the rate of bandwidth decrease with number
of ROADM units. For example, the 3-dB bandwidth resulting
from a sequence of 16 ROADMs, where each ROADM has
a 2nd order Gaussian filter shape with 40 GHz bandwidth
is 19 GHz. The same number of ROADMs with the same
3 dB bandwidth but with a 4th order Gaussian filter shape
yields a cumulative 3-dB bandwidth of 27 GHz. First order Fig. 9. Required OSNR at BER 1E-5 for 40 Gb/s RZ-DPSK transmission
through 100 GHz and 50 GHz ROADM nodes as a function of net bandwidth
Gaussian bandwidths are not shown since they generate a more of the cascaded ROADMs. Results with tunable bandwidth filter are also
pronounced bandwidth decrease, which severely limits any presented.
network application.
This practical challenge of transmitting high data rate sig-
nals through increasing number of ROADMs with tighter fre- OSNR penalties can be tolerated on transmission distances up
quency spacing has spurred numerous studies reported to date to 1500 km due to the low OSNR requirements of DPSK re-
on passband effects [23], [24], [32], [34]. Among several mod- ceiver (13.5 dB at the FEC BER threshold of 1E-3).
ulation formats which have been proposed for 40 Gb/s trans- A study of passband effects on 40 Gb/s RZ-DPSK transmis-
mission [35], differential phase-shift keying (DPSK) [23], and sion was conducted in a linear link with separate 100 GHz or
differential quadrature phase-shift keying (DQPSK) [36] have 50 GHz ROADM devices. The DPSK signal was transmitted
become the most widely used in commercial networks due to through up to ten 100 GHz PLC ROADMs with AWG multi-
the low required OSNR and high tolerance to nonlinear effects plexers and demultiplexers characterized by a 3 dB bandwidth
and passband narrowing. However, as illustrated in Fig. 8, the of 67 GHz and a passband shape approximated by a Gaussian
spectra of the RZ-DPSK and NRZ-DPSK modulation formats order 1.8. No significant length of fiber was used in order to iso-
at the 40 Gb/s data rate are relatively wide compared to a typ- late the passband impact from fiber-induced effects. The BER
ical 3-dB bandwidth of a ROADM passband for 100 GHz (70 was measured as a function of OSNR, which varied with addi-
GHz) and even more so relative to the 3-dB bandwidth of a 50 tional ASE inserted in front of the receiver. The required OSNR
GHz ROADM (40 GHz). In spite of the severe clipping of the for BER 1E-5 was determined after each ROADM and plotted
high frequencies in the signal, transmission through up to 16 as a function of the accumulated 3 dB bandwidth. The results
ROADMs has been reported with an OSNR penalty of 1.5 dB of Fig. 9 indicate a slight improvement in performance after 10
using NRZ-DPSK with free spectral range (FSR) of the receiver ROADMs resulting in a net bandwidth of GHz. Inserting
delay-line interferometer (DLI) of 66 GHz [23], [37]. Simul- 50/100 GHz interleavers before, and after each PLC ROADM
taneous optimization of the power imbalance between the two to form a sequence of 50 GHz ROADM induces higher required
DLI outputs and of the FSR can further improve the tolerance OSNR for the same BER with a 3 dB increase between the 1st
to optical filtering of DPSK transmission allowing up to 20 cas- and 7th ROADM. Moreover, the required OSNR is higher for
caded ROADMS with less than 1 dB penalty [34]. Such low the 50 GHz ROADMs than for the 100 GHz case even for the

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564 JOURNAL OF LIGHTWAVE TECHNOLOGY, VOL. 28, NO. 4, FEBRUARY 15, 2010

Fig. 10. Measured OSNR penalty at BER 1E-5 as a function of 3 dB bandwidth Fig. 11. Numerical simulations of 40 Gb/s DQPSK eye opening penalty (EOP)
of variable bandwidth filter for 40 Gb/s NRZ-DPSK and RZ-DQPSK. after 4 passes through identical filters as a function of the filter bandwidth and
for filter shapes of different Gaussian orders.

same net bandwidth. This can be attributed to the different pass-

band shape resulting from the two ROADM sequences.
This sensitivity to passband shape is reflected by additional
measurements on a DPSK transponder with a tunable band-
width filter. While some discrepancies can be observed at wider
bandwidths, at narrower bandwidths, where the penalties are
higher, the required OSNR values for the tunable bandwidth
filter and the sequence of interleaver ROADMs converge to the
same values. These results indicate that DPSK offers adequate
performance at 40 Gb/s modulation rates with net bandwidth
higher than GHz. The tolerance to passband narrowing
is improved with the more complex RZ-DQPSK modulation
Fig. 12. Similar 40 G DQPSK simulation results as shown in Fig. 11 but with
format due to the narrower signal bandwidth achieved with the 16 filters instead of 4.
encoding of 2 bits per symbol. Fig. 10 shows a direct compar-
ison of bandwidth-induced OSNR penalties at BER 1E-5 be-
tween NRZ-DPSK and RZ-DQPSK. The DPSK and DQPSK
signals at the wavelength of 1546.12 nm were passed through
a VOA and combined with ASE noise for OSNR adjustment.
The noise-loaded signal was then transmitted through a tunable-
bandwidth optical filter with a constant 3 dB-to-25 dB band-
width difference of 35 GHz. The bandwidth was tuned over a
range of 22–80 GHz to measure the impact of optical filtering on
the DPSK and DQPSK signals. For each modulation format, the
OSNR penalty is calculated with respect to the lowest required
OSNR with optimum filtering. At the minimum bandwidth set-
ting of 22.6 GHz the penalty generated on RZ-DQPSK is 0.7
Fig. 13. Illustration of wide bandwidth signal (solid line) filtered by a narrow
dB, while NRZ-DPSK has a penalty above 3 dB. filter stop-band (dotted-dashed), resulting in a spectrally-shaped crosstalk
The impact of transmittance filter shape on 40 Gb/s DPSK (dashed), and the resulting weighted crosstalk (dotted).
and DQPSK signal distortions for different bandwidth values
can be distinguished more clearly with numerical simulations
of the modulated signals passing through cascaded filter ele- at narrow bandwidths. For a low number of ROADM nodes, a
ments in the absence of any other signal degradation effects low-order Gaussian filter (1 or 2) may yield similar or slightly
between the transmitter and the receiver. The optical filter was lower EOP than a higher order Gaussian filter (4 or 6). How-
modeled with a Gaussian transfer function of different orders ever, at a higher number of ROADM nodes, filters with steeper
and bandwidths and placed in a loop to simulate bandpass nar- edges yield better performance. The same trends are observed
rowing through the same filter. The DPSK receiver had a DLI for NRZ-DPSK, but the penalties corresponding to the same
FSR of 66 GHz for enhanced optical filtering tolerance, whereas bandwidth, Gaussian filter order and number of filters is con-
the DQPSK receiver utilized a classical 1-symbol (2-bit) delay. sistently higher than for RZ-DQPSK.
The transmission performance impact for RZ-DQPSK quanti-
fied in terms of eye opening penalty (EOP) relative to the case VI. IN-BAND CROSSTALK
of no optical filtering is presented in Figs. 11 and 12 for 4 and Crosstalk can be caused either by imperfect isolation from
16 filter transitions, respectively. These figures demonstrate that an adjacent channel in the spectrum (out-of-band or hetero-
the transmittance function shape has a more significant impact dyne crosstalk) or by imperfect isolation from another signal
on performance at higher number of filters in sequence, and transmitted at the same wavelength (in-band or homodyne). The

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TIBULEAC AND FILER: TRANSMISSION IMPAIRMENTS IN DWDM NETWORKS
Fig. 14. OSNR penalty as a function of unweighted (f) and weighted (g) crosstalk with crosstalk values calculated for different isolation filters: no filtering (a),
shaped isolation level (b), frequency offset (c), filter bandwidth (d), and filter shape (e).
out-of-band crosstalk has a minor effect since it is typically re-
jected by the optical demultiplexing filter in front of the re-
ceiver. The in-band crosstalk, which can potentially be gener-
ated for example in the ROADM configuration of Fig. 1(a) by
the drop channel interfering with the add channel in the WSS,
can have a significant impact on the signal BER [38]. Wave-
length-selective switches typically have an isolation around the
passband center in excess of 35 dB. This isolation level ensures
a low crosstalk for narrow-linewidth signals. However, when the
bandwidth of the signal approaches the channel spacing (e.g., 43
Gb/s DPSK at 50 GHz channel spacing), the interfering signal
may be shaped by the block port of the WSS. In this case,
the crosstalk can vary significantly across the signal bandwidth
reaching high peak crosstalk values. The traditional method for
computing crosstalk as the ratio of the total power in the primary
signal to the total power of the interfering signal is inadequate.
This is due to its failure to take into account the higher impact
on the signal BER of the interfering signal energy closest to the
center frequency of the primary signal compared to the energy
towards the edges. Addressing this challenge, several authors
proposed integrated and weighted crosstalk parameters to char-
acterize the crosstalk regardless of its spectral content and cor-
relate it with the effect it has on system performance [12]–[13],
[39]–[41].
For an N 1 WSS, the weighted crosstalk for a given port
may be calculated based on the spectral characteristics of the
primary signal and blocked signal(s), and on the port isolation
profile of the block port(s). For the specific case of a 2 1 WSS,
the crosstalk signal may be computed by simply multiplying
the blocked signal spectrum by the isolation profile [13]. The
same general principle applies to the calculation of the weighted
crosstalk when arbitrary modulation formats and data rates are
present on each of the blocking ports. In all cases, once the
crosstalk function is known, it can then be weighted by the
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565
power spectral density of the input signal to yield the weighted
crosstalk function (Fig. 13).
The weighted crosstalk approach was applied to a set of
simulations employing isolation filters of varying properties
to demonstrate its usefulness in predicting the impact of the
filter isolation profile on transmission performance [13]. For
the simulation examples, 2 1 WSS isolation filters were
generated with the following variable parameters as depicted in
Fig. 14: (a) uniform isolation level, (b) shaped isolation level,
(c) filter center frequency offset, (d) filter bandwidth, and (e)
filter shape.
Fig. 14(f) and (g) illustrate the resulting OSNR penalties
as a function of the integrated crosstalk without, and with the
weighting applied, respectively. It is evident that unlike the
(unweighted) crosstalk, the weighted crosstalk is a reliable pa-
rameter to use in predicting the performance impact of shaped
crosstalk signals. By accounting for the shape of the signal
and appropriately weighting the crosstalk function, there is
very high correlation between OSNR penalty and the weighted
crosstalk value in all filter cases studied. Furthermore, simu-
lations demonstrate that the same OSNR penalty is obtained
for a given crosstalk value obtained with interfering signals
of different data rates (10 and 40 Gb/s), modulation formats
(OOK, DPSK, and DQPSK) and detuning values from the
primary signal (up to 40 GHz).
Experiments were also performed in order to validate the nu-
merical simulation results, as well as to demonstrate the feasi-
bility of using the weighted crosstalk approach on real-world
devices. In this case, a 2 1 WSS prototype was used to mea-
sure the performance impact of the crosstalk caused by a 43
Gb/s NRZ-DPSK interfering (block) signal on an identical pri-
mary (add) signal. Three channels were chosen on the WSS,
each of which exhibited different bandwidths, center frequency
offsets, and peak isolation levels. In each case, OSNR penalties
566
were measured as a function of increasing crosstalk power. Ex-
pressing the crosstalk in terms of the weighted crosstalk leads
to a common OSNR penalty curve, as predicted by numerical
simulations. Good agreement was seen between measured and
simulated performance, with matching within 0.2 dB for OSNR
penalties up to 2 dB [13].
VII. TRANSIENT POWER VARIATIONS
Channel power levels in DWDM networks are subject to tem-
poral fluctuations, which have an adverse impact on the signal
BER through reduction in OSNR, increase in nonlinear effects,
power drop below the receiver threshold, or increase above re-
ceiver saturation limit. A variety of sources of power varia-
tions with different time scales may occur in a fiber optic net-
work [1]. These include slow changes caused by temperature
and ageing effects, PDL and amplifier gain instabilities, and fast
power changes with rise/fall times in the millisecond range or
faster, generated by network failures such as fiber cuts or equip-
ment malfunction. These failure scenarios can induce large tran-
sient power excursions on surviving channels, which increase
with propagation through a sequence of amplifiers. Following
the transient power changes, modifications in DWDM channel
distribution and power levels also lead to steady-state power
changes on surviving channels due to stimulated Raman scat-
tering and amplifier gain ripple and tilt [27], [28], [42]. Such
power variations have been studied, and the transient suppres-
sion techniques have been proposed prior to large scale deploy-
ment of ROADMs. However, ROADMs do enable propagation
through a larger number of network nodes, which means that
transient power effects previously associated only with long-
haul networks can be encountered in metro networks covering
a smaller geographical area but including a large density of net-
work nodes.
The power adjustment capability typically offered by com-
mercial ROADM subsystems allows compensation or reduction
in amplitude of slower power variations, depending on the re-
sponse time of the ROADM node’s power control algorithm and
the network level power control algorithm. At the node level, the
response time results from the addition of the time delays associ-
ated with channel power measurement, power setting, and soft-
ware for communication and control of channel power. A power
adjustment on all DWDM channels can occur in the timeframe
of s, which is adequate for compensation of slow effects,
but not fast enough for PDL compensation and EDFA transient
control, for instance.
The ROADM itself does introduce a potential new source of
power variation to a ROADM-based DWDM network through
the process of addition and deletion of wavelengths. The auto-
matic setting of power levels through a sequence of ROADM
nodes can lead to large power excursions towards the end of the
ROADM chain, caused by the inherent delays between power
measurement and power setting on each node. This can lead to
down-stream ROADM nodes attempting to set the target output
power by increasing or decreasing the power of channels based
on measurements taken at a previous time instant, unaware of
the power change that has occurred in the meantime.
This increase in power setting error with ROADM node
count can be shown with a simple model, whereby each
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JOURNAL OF LIGHTWAVE TECHNOLOGY, VOL. 28, NO. 4, FEBRUARY 15, 2010
Fig. 15. Increase in power oscillations after 5 and 10 ROADMs with input vari-
6
ations of 3 dB.
ROADM is equivalent to a multiplexer/demultiplexer pair and
a VOA. There is no correlation between the ROADM nodes
at the network level, thereby allowing the ROADMs to adjust
the channel power simultaneously (and independently). In this
example, each ROADM attempts to reach a target channel
power of dBm while the input power varies within a range
of dB. The delay between power measurement and power
setting is 8 ms, the rise time of the power setting VOA is 1
ms, and the maximum step in power adjustment is 1 dB. The
time evolution of the channel power after 10 ROADM nodes
indicates fluctuations up to 10 dB from the desired power level
(Fig. 15). Such power fluctuations cause delays in dynamic
network restoration, and can lead to traffic impacting power
fluctuations on other channels. This example does not include
several other effects, which can impact the temporal evolution
of power levels throughout a large ROADM network such as
error in power setting, potential variations in ROADM attenu-
ation, fiber propagation delay, Raman-induced power transfer,
amplifier gain ripple, or gain fluctuations. This emphasizes the
need for intelligent control software at the network level to
provide fast power convergence while preventing large power
variations.
VIII. CONCLUSION
This paper reviews some of the more significant ROADM-in-
duced transmission impairments, which are common to multiple
WSS technologies used in commercial ROADM networks. The
insertion loss of the ROADM is largely dependent on the node
architecture choice with multi-degree ROADMs typically incur-
ring a penalty compared to lower-loss 2-degree ROADMs. The
loss of wavelength selective switches also increases with tighter
frequency of the DWDM channels (50 GHz vs. 100 GHz). Po-
larization-dependent loss can be significant at high attenuation
settings, and may not be compensated by the power adjustment
ability of the WSS, inducing an OSNR penalty at the receiver.
Faster wavelength power monitoring and power setting can be
achieved on some WSS technologies, which can open new av-
enues in the future for reduction of power variations in DWDM
networks [5].
Passband effects enhanced by propagation through multiple
nodes represent the most significant steady-state impairment in-
duced by ROADMs. The impact depends on the signal modu-
lation type and data rate, and on the filter transmittance func-
TIBULEAC AND FILER: TRANSMISSION IMPAIRMENTS IN DWDM NETWORKS
tion of the WSS characterized by the bandwidth, the passband
shape, and the frequency offset. Performance degradation gener-
ated by passband effects can occur in networks with a high spec-
tral density of DWDM channels and large number of ROADMs.
This is a particular challenge for 100 Gb/s transponders cur-
rently under development, which are required to operate on an
existing ROADM network infrastructure designed for 10 Gb/s
and 40 Gb/s modulated signals. The solution being actively pur-
sued is the development of transponders with high tolerance to
passband narrowing [35], [43]–[45]. Filtering effects can also
become a major factor limiting the number of nodes for all-op-
tical transmission in DWDM access networks, which employ
lower-cost transponders with relaxed specifications. Improve-
ments in design and manufacturing of WSS subsystems have
led to filter passbands with steeper edges (equivalent to 4th order
Gaussian filter shape [23]) even for 50 GHz frequency spacing.
Other avenues for mitigation of passband effects are offered
by WSS technologies with continuous transmittance function
and software-defined passband [5]. In this case, the WSS would
not create a passband and induce a corresponding penalty on a
DWDM signal passing through a ROADM node where adjacent
channels are not dropped.
In-band crosstalk is generated in 50 GHz ROADMs with non-
ideal isolation across the wide bandwidth of a signal such as
DPSK and DQPSK for 40 Gb/s and higher data rates. Accu-
rate estimation of crosstalk-induced penalties is required, and
this can be accomplished in simulation and experiments using a
weighted crosstalk definition that accounts for the spectral vari-
ation in crosstalk across the signal bandwidth.
The power setting feature of ROADM nodes can reduce
some of the power variations occurring in a DWDM network,
and their associated transmission penalties. At the network
level, however, simultaneous power adjustments on multiple
ROADMs can lead to power variations high enough to impact
traffic on other channels. An optimum software algorithm is
required to reach the best trade-off between power stability and
speed of network-level power equalization.
Design of ROADM-based DWDM networks requires estima-
tion of the performance impact (e.g., OSNR or Q penalties)
induced by each ROADM impairment, understanding of the
scaling rules of these penalties with the number of ROADMs,
and a methodology to combine these ROADM penalties with
those generated by other propagation effects (fiber nonlinearity,
PMD, etc.). These engineering rules can become complex since
they vary with ROADM technology and depend on transponder
parameters, as described in previous sections. Such calculations
of cumulative OSNR transmission penalties for each path in a
network are currently performed by network planning software
tools.
As WSS modules continue to evolve to higher port count and
improved optical characteristics, they enable meshed networks
with increased transparency, and more complex topologies.
Planning and operation of extended meshed DWDM networks
requires new software for on-line computation of transmission
penalties and optical path validation during provisioning and
recovery of optical connections. GMPLS control plane software
[46] currently used for optimum route and wavelength selection
based on physical layer constraints such as network topology,
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567
available wavelengths, and channel protection requirements
can be extended to include transmission impairments, including
those induced by ROADMs. Such impairment-aware routing
demands simple and fast, yet reliable algorithms for calculation
of end-to-end transmission penalties. The amount of signal
degradation occurring at each node can be quantified through
off-line analysis and assumed to be constant in time. Alter-
natively, optimum paths can be established based on actual
measurements of signal quality obtained from more complex
optical performance monitoring devices than currently used at
typical ROADM nodes [47]. The latter approach also includes
the temporal variations in component characteristics which
impact the system performance [48]. Impairment-aware routing
in ROADM networks is an active research topic enabling
dynamic traffic reconfiguration and promising to further extend
the limits of all optical networking.
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Sorin Tibuleac graduated with a Diploma in applied physics from the Univer-
sity of Bucharest, Romania, in 1988, and received the M.Sc. and Ph.D. degrees
in electrical engineering from The University of Texas at Arlington (UTA), in
1996 and 1999, respectively.
Between 1988 and 1993, he was a Research Scientist at the Lasers Depart-
ment of the Institute of Atomic Physics, Bucharest, Romania studying laser-in-
duced dynamic gratings, four-wave mixing and phase conjugation. During his
graduate studies at UTA his research focused on properties and applications of
guided-mode resonances in waveguide grating devices. In 1999 he joined Ge-
nuity Inc. (formerly GTE Internetworking), where he evaluated 10 Gb/s long-
haul DWDM transmission systems for nation-wide network deployment. Since
2001 he has held key positions in system design and product management at
Movaz Networks and ADVA Optical Networking in Norcross, Georgia. In his
current position of Director of Optical Systems, he is responsible for devel-
opment of optical engineering rules for ADVA Optical Networking’s DWDM
system. His activity involves research in optical system impairments occurring
in high data rate transmission systems, and evaluation of new optical technolo-
gies for system performance enhancement.
Mark M. Filer (M’08) received the B.Sc. and M.Sc degrees in electrical en-
gineering from Georgia Institute of Technology, Atlanta, in 2000 and 2005,
respectively.
Since August 2000, he has been employed as an Optical Systems Engineer
with ADVA Optical Networking (formerly Movaz Networks) in Norcross,
Georgia. His work has included optical systems studies at 10, 40, and 100 Gb/s,
phase ripple effects, ROADM and optical filtering impairments (crosstalk,
concatenation), FWM optimized channel allocation, dispersion management,
recirculating loop studies, and modeling of system performance.