Telecommunication Systems

Principles and Applications of Wireless-Optical

Technologies

Edited by Isiaka A. Alimi,

Paulo P. Monteiro and António L. Teixeira
 Telecommunication
Systems - Principles and
Applications of Wireless-
Optical Technologies
Edited by Isiaka A. Alimi, Paulo P.
Monteiro and António L. Teixeira

Published in London, United Kingdom

Supporting open minds since 2005
Telecommunication Systems - Principles and Applications of Wireless-Optical Technologies
http://dx.doi.org/10.5772/intechopen.80140
Edited by Isiaka A. Alimi, Paulo P. Monteiro and António L. Teixeira

Contributors
Tomas Horvath, Petr Munster, Josef Vojtech, Kiran Deep Singh, Ojo O. Adedayo, Oluwafemi B.
Ilesanmi, Ogunlade M. Adegoke, Ajibade Adedayo, Ali Hadi Abdulwahid, Juan Manuel Velazquez Arcos,
Ricardo Teodoro Paez Hernandez, Jaime Granados Samaniego, Tomas David Navarrete Gonzalez, Isiaka A.
Alimi, Paulo P. Monteiro, António L. Teixeira, Ana Tavares, Cátia Pinho, Abdelgader M. Abdalla, Teddy
Purnamirza, Toms Salgals, Inna Kurbatska, Sandis Spolitis, Vjaceslavs Bobrovs, Girts Ivanovs, Mário
Lima, Amer Al-Canaan, Iman Almomani, Mamdouh Alenezi

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Telecommunication Systems - Principles and Applications of Wireless-Optical Technologies

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 Meet the editors

Isiaka A. Alimi obtained a PhD in Telecommunications Engi-

neering from the University of Aveiro, Portugal, in 2018. He was
with Federal Radio Corporation of Nigeria from 2004 to 2012.
He joined Federal University of Technology, Akure, Nigeria, in
2013. He is currently a researcher at the Instituto de Telecomu-
nicações, Aveiro, Portugal, where he has been participating in
various R&D activities. He has published more than fifteen tech-
nical papers and six book chapters. He has served as an academic editor for a book
and a guest editor of a special issue. His research interests include network security,
optical communication networks, microwave photonics, advanced signal process-
ing and their applications for effective management in access networks. Dr. Alimi is
a member of the Institute of Electrical and Electronics Engineers (IEEE).

Paulo P. Monteiro obtained a “Licenciatura” in Electronics and

Telecommunications Engineering from the University of Aveiro,
Portugal, in 1988; an MSc in Electronic Engineering from the
University of Wales, UK, in 1990; and a PhD in Electrical Engi-
neering from the University of Aveiro, in 1999. Presently, he is
Associate Professor at the University of Aveiro and Researcher
at the Instituto de Telecomunicações. His main research inter-
ests include optical communication networks, microwave photonics and electronic
subsystems. He successfully tutored and co-tutored more than 14 PhDs, having
participated in more than 28 projects. He has authored/co-authored more than 18
patent applications, more than 100 papers in journals and 300 conference contribu-
tions. Dr. Monteiro is a senior member of the Institute of Electrical and Electronics
Engineers (IEEE).

Dr. António L. Teixeira obtained a PhD in Electrical Engineering

from the University of Aveiro, Portugal, in 1999. He is a tenured
associate professor at the University of Aveiro and presently
the dean of the university’s doctoral school. He has successfully
tutored more than 70 MSc and 14 PhD students, having par-
ticipated in more than 35 national and international projects.
Previously, he worked at Nokia Siemens Networks and Coriant
as a standardization expert. Dr. Teixeira has published more than 400 papers (more
than 130 in journals), has co-edited and contributed to several books, and holds 11
patents. In 2014 he co-founded PICadvanced, a startup in the field of telecommuni-
cations. He has also served as TPC at major conferences and is a member of several
scientific organizations.
Contents

Preface XIII

Acknowledgements XV

Section 1
Telecommunication Protocol, Optimization, and Security Frameworks 1

Chapter 1 3
Telecommunications Protocols Fundamentals
by Amer Al-Canaan

Chapter 2 21
Optimum Efficiency on Broadcasting Communications
by Juan Manuel Velazquez Arcos, Ricardo Teodoro Paez Hernandez,
Tomas David Navarrete Gonzalez and Jaime Granados Samaniego

Chapter 3 41
Android Application Security Scanning Process
by Iman Almomani and Mamdouh Alenezi

Section 2
Next-Generation Optical Access Technologies 65

Chapter 4 67
Deployment of PON in Europe and Deep Data Analysis of GPON
by Tomas Horvath, Petr Munster and Josef Vojtech

Chapter 5 87
Research of M-PAM and Duobinary Modulation Formats for Use in
High-Speed WDM-PON Systems
by Toms Salgals, Inna Kurbatska, Sandis Spolitis, Vjaceslavs Bobrovs
and Girts Ivanovs

Chapter 6 105
Mitigating Turbulence-Induced Fading in Coherent FSO Links: An Adaptive
Space-Time Code Approach
by Ojo O. Adedayo, Oluwafemi B. Ilesanmi, Ogunlade M. Adegoke
and Ajibade Adedayo
Chapter 7 115
Spatial Light Modulation as a Flexible Platform for Optical Systems
by Cátia Pinho, Isiaka Alimi, Mário Lima, Paulo Monteiro and António Teixeira

Section 3
Convergence of Wireless-Optical Networks 135

Chapter 8 137
Enabling Optical Wired and Wireless Technologies for 5G and Beyond
Networks
by Isiaka A. Alimi, Ana Tavares, Cátia Pinho, Abdelgader M. Abdalla,
Paulo P. Monteiro and António L. Teixeira

Chapter 9 169
Role of Optical Network in Cloud/Fog Computing
by Kiran Deep Singh

Section 4
Advanced Relay and Antenna Systems for Smart Networks 183

Chapter 10 185
Radial Line Slot Array (RLSA) Antennas
by Teddy Purnamirza

Chapter 11 203
New High-Speed Directional Relay Based on Wireless Sensor Network for
Smart Grid Protection
by Ali Hadi Abdulwahid

XII
 Preface

Telecommunication is the act of transmitting information at a considerable dis-

tance with the aid of transmission media. Typical telecommunication equipment
comprises a set of well-assembled hardware with embedded software to facilitate
reliable and efficient communications. For compatibility purposes, telecommunica-
tion equipment performance and design should conform to international standards.
Globally, telecommunications have been contributing immensely to economic
growth on an unprecedented scale. However, with the ever-increasing deployment
of innovative wireless technologies and exponential traffic growth, communication
systems have been subjected to significant pressures. To address the challenges,
modern telecommunication systems have evolved from being economical and
efficient homogeneous systems to converged heterogeneous networks, capable of
supporting reliable and quality voice, data, video and other information transmis-
sion services. This can be attributed to the advancements in microelectronics and
cloud computing-based technologies as well as other fields of telecommunication
systems as expatiated in this book.

This book is grouped into four parts: “Telecommunication Protocol, Optimization,

and Security Frameworks”; “Next-Generation Optical Access Technologies”;
“Convergence of Wireless-Optical Networks”; ”Advanced Relay and Antenna
Systems for Smart Networks.”

Part I presents telecommunication protocol, optimization, and security frame-

works. It is noteworthy that there are a number of well-defined protocols in tele-
communication systems. These protocols help in achieving efficient communication
through collections of distinct rules and regulations. Since telecommunication
systems entail several areas, multiple protocols can be employed in different
communication fields to accomplish a specified goal. A number of the field-related
protocols, such as cellular communication protocols, public switched telephone
network communication protocols, data networking protocols, and hybrid com-
munication protocols, are well established. So, well-defined protocols can help in
preventing signal loss and in optimizing communication system efficiency. Another
important factor in telecommunication systems is system security. All these aspects
are comprehensively described in Part I.

The exponential growth in bandwidth demand calls for viable means of meeting
system requirements. The advancements in optical communication have been
notable solutions to the current and future networks. With optical devices, both
short and long transmission can be effectively achieved. Part II provides detailed
information on the next-generation optical access technologies. It focuses on differ-
ent passive optical network variants and advanced optical modulation formats that
are vital to telecommunication systems for enhanced spectral efficiency and energy
efficiency (EE). Apart from the presented optical fiber-based schemes, free-space
optical (FSO) is also considered as a cost-effective, flexible and comparatively
easier network deployment. Part II also covers a number of spatial light modulator
technologies, which are viable for different applications such as FSO, multicore
fiber and spatial division multiplexing.
It is remarkable that wireless and optical network convergence is an attractive solu-
tion for leveraging the optical network’s inherent bandwidth as well as the mobility
benefit of wireless connectivity. Apart from being a good approach for realizing
high-network penetration with the anticipated ubiquitous feature, it can facilitate
achievement of the 5G network-envisioned EE and capacity. In Part III, enabling
technologies for effective convergence of wireless-optical networks are presented.
In addition, means of exploiting network convergence in cloud/fog computing are
discussed.

Part IV focuses on advanced relay and antenna systems for smart networks. In this
part, high-gain and miniaturized antennas capable of operating at microwave and
millimeter wave bands are presented. The antennas offer good features such as
low-cost, simplified structure, low footprint and ease of installation. Part IV also
covers high-speed directional relay based on wireless sensor network for smart grid
protection.

In general, this book presents not only the fundamental features, concepts and
the associated evolutions of telecommunication, but also explains the underlying
technical principles of state-of-the-art systems with good perceptions into the
expectation of the next-generation telecommunication systems. The information
presented in the book is clear, easy to follow, concise and comprehensible. It covers
both theoretical and practical aspects of system implementation in such a way that
makes it suitable for students, researchers and professional engineers. It is a good
reference for all prospective readers to keep abreast of the current trends in tele-
communication systems and to motivate them towards innovative ideas.

Isiaka A. Alimi, Paulo P. Monteiro and António L. Teixeira

Universidade de Aveiro,
Instituto de Telecomunicações,
Aveiro, Portugal

XIV
 Acknowledgements

The editors would like acknowledge and appreciate all the collaborators that have
contributed to the compilation and completion of this book with recent discoveries
in different fields of telecommunication systems. Furthermore, we would like to
acknowledge the members of the Optical Communications group at the Instituto
de Telecomunicações, Aveiro, Portugal, who have vastly contributed with valuable
ideas, comments, recommendations and fruitful discussions. In addition, the
editors would like to acknowledge support of the European Regional Development
Fund (FEDER), through the Regional Operational Programme of Lisbon (POR
LISBOA 2020) and the Competitiveness and Internationalization Operational
Programme (COMPETE 2020) of the Portugal 2020 (P2020) framework, under
Project 5G (POCI-01-0247-FEDER-024539). Also, we acknowledge support of the
FEDER through COMPETE 2020 of the P2020, under the Project Virtual Fiber Box
with Nr. 033910 (POCI-01-0247-FEDER-033910)]. The projects have contributed
immensely both technically and financially towards Chapters 7 and 8. Likewise,
we deeply appreciate the technical support being offered under the project
DSPMetroNet (POCI-01- 0145-FEDER-029405). Without the project’s support,
it would have been challenging for this book to come to fruition.

Isiaka A. Alimi, Paulo P. Monteiro and António L. Teixeira

Universidade de Aveiro,
Instituto de Telecomunicações,
Aveiro, Portugal
 Section 1

Telecommunication Protocol,
Optimization, and Security
Frameworks

1
Chapter 1

Telecommunications Protocols
Fundamentals
Amer Al-Canaan

Abstract

The need for communication amongst people and electrical systems motivated
the emergence of a large number of telecommunications protocols. The advances in
digital networks and the internet have contributed to the evolution of telecommu-
nications worldwide. The purpose of this chapter is to provide students and
researchers with a clear presentation of telecommunications core protocols that are
utilised in different research domains including telephony, brain-computer inter-
face (BCI) and voice and digital telecommunications. Indeed, BCI involves different
electrical signals, communications concepts and telecommunications protocols.
This chapter introduces the reader to the core concepts in communications includ-
ing analogue and digital telecommunications protocols that are utilised generally in
communications and in particular in BCI systems. The topics covered in this chapter
include telecommunications protocols, communications media, electrical signals,
analogue and digital modulation techniques in digital communications, software-
defined radio, overview on 10-Mbps Ethernet protocol and Session Initiation Pro-
tocol (SIP).

Keywords: BCI, SDR, protocols, Ethernet, analogue modulation, digital modulation

1. Introduction

Telecommunications protocols play an important role in the advanced modern

communication systems that convey information, signals and messages over
short and long distances. Telecommunications protocols were developed for
data (digital) and voice (analogue) messages.
In a typical brain-computer interface (BCI) [1] application, the electroencepha-
lography (EEG) [2] signals are acquired from the brain, encoded and sent over
wireless protocols, such as Bluetooth or Wi-Fi data channels, to a control module.
However, in a basic BCI system, signals may be sent through wires between signal
acquisition and control modules through a certain serial data communications
protocol. BCI is one of several vital engineering domains where researchers and
students have to understand and deal with telecommunications protocols.
The need for data communications has inspired researchers and led to the
emergence of digital communications, integration of Voice over Internet Protocol
(VoIP) or IP telephony with multimedia services offered on IP networks over public
switched telephone network (PSTN). Modern telecommunications through VoIP
software are common on personal computers and portable devices including smart
phones and handheld devices. VoIP systems employ packet switching protocols,

3
Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

which have numerous advantages over circuit switching upon which is based on the
traditional PSTN.
VoIP applications for local area network (LAN), wide area networks (WAN),
wireless local area network (WLAN) and mobile telephone networks offer better
availability, scalability, flexibility, minimum hardware and low cost than PSTN. On
the other hand, Internet-related problems such as delay and congestion causing
jitter and packet loss are inherent in VoIP.
However, circuit switching is compelling in many applications where real-time,
low delay and high QoS are desired, where each customer of modern PSTN profits
from dedicated analogue or digital circuits. This implies that a communication
channel is reserved during a call or a data session. Due to the limited number of
circuits and control units in PSTN, only a fraction of customers can perform
simultaneous calls within a switch.
One of the main protocols that has been developed for IP telephony is SIP, which
is inspired from establishing and ending a call session and for changing parameters
of an established session. The simplicity of SIP and the emergence of Java applica-
tion interfaces for integrated networks (JAIN)-SIP which is a Java-based API for SIP
have reinforced the development and implementation of platform-independent IP
telephony services.
In this chapter, core concepts in telecommunications protocols, as well as other
related topics including communications media, analogue and digital modulation
techniques in digital communications, software-defined radio, overview on
10-Mbps Ethernet protocol and SIP protocol, are presented in an easy and simple
style with a number of figures to explain the basic principles of telecommunications
protocols.

1.1 Telecommunications core concepts

This section introduces the reader to selected core concepts in

telecommunications including telecommunications media and digital encoding.

1.1.1 Twisted pair

Twisted pairs are utilised to carry analogue and digital signals. Depending on
distance, analogue signals may be limited to 250 kHz, and digital signals are limited
to 10 Mbps for distances around 100 m [3]. At the onset of electrical telecommuni-
cation systems, copper was the main transmission medium because of its electrical
characteristics such as low resistivity to electric current.

1.1.2 Morse code

The Morse code is a variable-length code, where each character is given a series
of dots and dashes. Some letters have one dot and others have one dash. The code
length varies from 1 to 5, covering 36 symbols. The telegraph signals were carried
using copper twisted pairs. Signal wires are twisted in order to cancel out unwanted
noise and reduce the effective inductance of the transmission line. At the sending
side, a switch is used to open and close the electric circuit in a certain pattern in
order to produce Morse code at the receiving side.

1.1.3 Coaxial cable

A coaxial cable consists of a core wire and a cylindrical shield separated by

insulation material. It provides better noise rejection and baud rate over longer

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Telecommunications Protocols Fundamentals
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distances than the twisted pair. Analogue signal frequency can exceed 500 MHz,
and baud rate can reach 500 Mbps depending on distance.

1.1.4 Optical fibre

Optical fibre systems consist of a laser diode transmitter and receiver separated
by transparent optical fibre. The signals are transmitted as light pulses that propa-
gate inside the optical fibre. The optical fibre has small diameter and consists of
three components: the core (pure glass or plastic), the cladding and the protective
cover. The cladding material (glass or plastic) is less optically dense, which allows
the light to travel easier through the core. The optical fibre can be used on longer
distances with attenuation.

1.1.5 Wireless transmission

Radio and TV broadcasting was made possible through various modulation

techniques of electrical signals over different carrier frequencies. For example, the
short waves (SW) include frequencies from 3 up to 30 MHz, very high frequencies
(VHF) range from 30 to 300 MHz and ultra-high frequency (UHF) cover frequency
spectra from 0.3 to 3 GHz. Lower frequencies have longer propagation distances,
while higher frequencies suffer from reflections and attenuation over long dis-
tances. On the other hand, radio frequency (RF) and high-frequency (HF) trans-
missions require small antennas since their wavelengths are much shorter.

1.1.6 Microwave transmission

With shorter wavelengths in the range 4–6 GHz, microwave signals travel in
straight lines and do not penetrate solid objects. They are affected by clouds, rain
and obstacles blocking the line of sight between the transmitter and receiver. Usu-
ally parabolic antennas are used for large systems. The received signal is focused at
the focal point of the parabola.

1.1.7 Very small aperture terminal (VSAT)

In the 1980s, the very small aperture terminal devices made it possible to
telecommunicate, utilising small dish dimensions between remote areas by means
of highly directional parabolic antennas [4].

1.1.8 Telephone systems

The microphone in a telephone set converts sound into analogue electric signals
that are conveyed traditionally through copper wires and reproduced back at the
receiver into sound waves through the speaker. The first telephone systems were
analogue, while today’s telephone systems are completely digital with tone dialling,
voice and data services. Telephone networks have profited from advancements in
wireless communications by the implementation of the mobile [5, 6] communica-
tions. Old telephone networks were designed mainly to convey voice before the
emergence of digital data networks and the Internet.

1.1.9 Analogue and digital signals

Digital signals are characterised by two discrete levels, high and low (1 or 0),
while analogue signals have continuous forms. Digital and analogue signals are both

5
Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

utilised in modern telecommunications [7] systems and computer networks. Popu-

lar digital codes include American Standard Code for Information Interchange
(ASCII) and binary-coded decimal (BCD). ASCII is used in basic character symbols
for computer systems, while BCD is mainly used for seven-segment displays.

1.1.10 Non-return to zero (NRZ)

Non-return to zero is the simplest digital encoding as shown in Figure 1, where

a logic one corresponds to a positive high signal level and the logic zero is simply
at ground potential or zero voltage. The NRZ encoding is inconvenient for data
transmission specially when data contain a long series of zeros or ones.

1.1.11 Return to zero (RZ)

Return to zero is an improved digital encoding over the NRZ encoding, where
logic one signals return to zero as shown in Figure 2. The RZ encoding is
inconvenient for data transmission when data contain a long series of zeros.

1.1.12 Manchester encoding

To assure reliable transmission of digital data (such as Ethernet and IP), the
Manchester encoding (refers to Figures 3 and 4 with clock signal) is convenient to
solve the issue of sending a long series of zeros or ones through a data communica-
tion line. The Manchester encoding encodes logic 1 as a transition from level high to
low signal, while a 0 is a transition from low to high. The needed bandwidth is twice
as the original signal, and there is always a change in the middle of each bit.
An improved version of this encoding is called the differential Manchester
encoding, where a 0 causes the signal to change at the start of the interval (refer to
Figure 5). On the other hand, a 1 causes a change at the end of the interval. A 1
keeps the signal level unchanged as in the previous bit and changes to high at the
middle. This is advantageous and permits interchanging the wiring of a differential
pair without any issue.

Figure 1.
Unipolar non-return to zero (NRZ).

6
Telecommunications Protocols Fundamentals
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Figure 2.
Unipolar return to zero (RZ).

Figure 3.
Manchester encoding.

Figure 4.
Manchester encoding example.

7
Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

Figure 5.
Manchester differential encoding example.

1.1.13 Shannon’s theory

Shannon studied noisy channels, and his theory is based upon the fact that
a signal has to have high signal-to-noise (S/N) ratio in order to be
successfully distinguished. This influences the maximum bit rate that can be used
as follows:

Data rate in bps ¼ bandwidth � log 2 ð1 þ S=N Þ (1)

To increase the data rate, a channel with high S/N should be used. Other means
that can increase the bit rate is data compression.

1.1.14 Sampling theory

To convert a continuous signal x(t) into a digital form [8], it is first sampled at
equal intervals of time. To be able to reconstruct a sampled signal, xδ ðtÞ is defined as
∞
xδ ðtÞ ¼ ∑ xðnT s Þδðt � nT s Þ (2)
n¼�∞

The sampling interval Ts is 1/fs, where the sampling frequency fs should be at

least twice the highest frequency component fmax of the original signal x(t). The
frequency 2fmax is called the Nyquist frequency.

1.1.15 Analogue-to-digital (A/D) conversion

An analogue signal with a given frequency f1 can be converted into a digital

form by sampling it at a constant frequency fs, where f 1 , f s . A sampled signal has
the form of pulses with different amplitudes called pulse amplitude modulation
(PAM). The PAM signal is then quantised, and every level is given a binary code
number. This process is called pulse-code modulation (PCM). The sampling fre-
quency fs has to be at least twice as much as the signal frequency being sampled f 1 in
order to produce a good approximation of the original signal that can be reproduced
and converted back to analogue form. In telephony systems the 8-kHz frequency is
used to sample voice that is encoded using 8-bit code. The bit rate in this case is
8000 � 8 ¼ 64 kbps. In compact disc (CD) technology, the audio is sampled
at 44:1 kHz.

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1.1.16 Multiplexing

Multiplexing occurs when data are collected from different sources and are
transmitted into one common communication channel. Three types of multiplexing
are utilised, namely:

1. Frequency-division multiplexing (FDM). This type of multiplexing employs

subcarriers to transmit different message signals.

2. Time-division multiplexing (TDM). This type of multiplexing employs time

slots to transmit different message signals.

3. Quadrature multiplexing (QM). This type of multiplexing employs quadrature

carriers to transmit different message signals. This type of multiplexing can be
distinguished from FDM by the fact that they have overlapped frequency
spectra. QM represents double-sideband (DSB) and single-sideband
modulations (SSB).

2. Modulation techniques

In the past, digital networks were connected through telephone networks via the
modem (modulation/demodulation). Modern telecommunications systems utilise
optical fibres that carry many digital channels, which can be translated into voice
signals in a telephone by using a codec (coder/decoder). This involves digital-to-
analogue (D/A)  and analogue-to-digital
 (A/D) conversions. When a signal
mðtÞ ¼ Am cos 2πf m t þ ϕm ðtÞ is transmitted, it is normally modulated using a car-
 
rier cðtÞ ¼ Ac sin 2πf c t þ ϕc ðtÞ signal, which can be changed or modulated in
amplitude (Ac), phase shift  (ϕc ) or frequency
 (fc) [9]. The carrier signal can be
generalised as cðtÞ ¼ Ac ðtÞ sin 2πf c t þ ϕc ðtÞ .

2.1 Analogue modulation

To transmit analogue signals over long distances, analogue modulation

techniques are used by changing either the amplitude, phase or frequency of
analogue signals.

2.1.1 Amplitude modulation (AM)

Amplitude modulation (AM) takes place when Ac ðtÞ is linearly related to the
modulating signals (message). In this modulation technique, the carrier frequency
is kept constant, and its amplitude is varied according to the amplitude of the
transmitted analogue signal as shown in Figure 6. An AM signal yðtÞ is the result of
multiplying the message mðtÞ and carrier
 cðtÞ functions. Assuming a sinusoidal
carrier signal defined as cðtÞ ¼ Ac sin 2πf c t is used to modulate the message signal
 
mðtÞ ¼ Am cos 2πf m t þ ϕðtÞ :

yðtÞ ¼ ½1 þ mðtÞ=Ac �cðtÞ

  (3)
yðtÞ ¼ ½1 þ m cos ð2πf m t þ ϕÞ�Ac sin 2πf c t

In the above equation, m is the modulation index, which is the ratio of the
amplitude of the message signal Am to the amplitude Ac of the carrier signal.

9
Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

Figure 6.
AM modulation.

To be able to recover the message, m should be less than 1, i.e., 1 , m . 0. The

resulting product function yðtÞ is composed of three frequencies:

  1         
yðtÞ ¼ Ac sin 2πf c t þ mAc sin 2π f c þ f m t þ ϕ þ sin 2π f c � f m t � ϕ
2
(4)

The equation above shows three frequencies:

1. The carrier frequency fc.

2. The sum of the carrier and modulated frequencies f c þ f m þ ϕ with the same
phase shift of the message signal.

3. The difference between the carrier and modulated frequencies f c � f m � ϕ

with the negative phase shift of the message signal.

2.1.2 Frequency modulation (FM)

Frequency modulation (FM) takes place when the time derivative of ϕðtÞ is
linearly related to the modulating signal. In this modulation technique, the ampli-
tude of the carrier signal is kept constant, and its frequency is varied according to
the amplitude of the transmitted analogue signal as shown in Figure 7. Frequency
and phase modulations
 are
 considered as special cases of angle modulation
sðtÞ ¼ Ac cos 2πf c t þ ϕðtÞ . The carrier frequency is changed such that the fre-
quency fc depends on the message signal. Since the frequency is the derivative of the
phase, the relation between the input signal and frequency can be written as [9]
ϕ0 ðtÞ ¼ mf mðtÞ. The FM signal yðtÞ can be written as

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Telecommunications Protocols Fundamentals
DOI: http://dx.doi.org/10.5772/intechopen.86338
  
Am f Δ  
yðtÞ ¼ Ac cos 2πf c t þ sin 2πf m t (5)
fm

In the above equation, Am is the amplitude of the message signal, f m is the

frequency of the message signal and f Δ is the maximum frequency that corresponds
to the maximum amplitude Am value. The frequency modulation index mf
describes the variation in carrier frequency compared [10]:

fΔ
mf ¼ (6)
fm

The frequency modulation index can be less than 1 (for narrowband FM) or
much greater than 1 (for wideband FM).

2.1.3 Phase modulation (PM)

Phase modulation (PM) takes place when ϕðtÞ is linearly related to the modulat-
ing signal. In this modulation technique, the amplitude of the carrier signal is kept
constant, and its phase is varied according to the amplitude of the transmitted
analogue signal as shown in Figure 8. The phase of the PM signal can be written in
terms of the phase modulation index mp as ϕðtÞ ¼ mp mðtÞ.

2.2 Digital modulation

Transmission of digital signals involves modulation of amplitude, frequency or

phase of carrier signals. The difference between analogue and digital modulation is
that in digital modulation, the changes are at discrete intervals. For example, the

Figure 7.
FM modulation.

11
Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

Figure 8.
PM modulation.

amplitude of the carrier signal can be assigned to a maximum value or zero to

represent the binary data 1 and 0.

2.2.1 Frequency-shift keying (FSK)

Frequency-shift keying is called also frequency modulation (FM). A bit 0 corre-

sponds to low frequency, and a 1 corresponds to high frequency as shown in
Figure 9. An FSK signal s(t) can be written as
( � � ��
Ac cos 2π f c þ k t , if bit ¼ 1
sð tÞ ¼ � � �� (7)
Ac cos 2π f c � k t , if bit ¼ 0

In the equation above, k is a constant shift in frequency. Obviously, the FSK uses
two frequencies ( f c þ k and f c � k) for logic 0 and 1, respectively. This type of FSK
is called binary FSK (BFSK).
In case k and 3k are used to shift the carrier frequency, the resulting FSK signal
has four different frequencies and can be utilised to encode the binary codes
00, 01, 10 and 11, as follows:
8 � � ��
> Ac cos 2π f c þ 3k t , if bits ¼ 00
>
< A cos �2π � f � k�t�,
>
if bits ¼ 01
c
sðtÞ ¼ � � c �� (8)
> Ac cos 2π f c þ k t ,
> if bits ¼ 10
>
: � � ��
Ac cos 2π f c � 3k t , if bits ¼ 11

2.2.2 Amplitude-shift keying (ASK)

Amplitude-shift keying is similar to amplitude modulation (AM) as shown in

Figure 10. Each signal amplitude is assigned to a sequence of bits. If four amplitudes

12
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DOI: http://dx.doi.org/10.5772/intechopen.86338

Figure 9.
FSK modulation.

Figure 10.
ASK modulation.

13
Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

are considered, the following bit code sequences can be defined as 00, 01, 10 and 11.
A ASK signal s(t) can be written as
� � �
Ac cos 2πf c t , if bit ¼ 1
sð tÞ ¼ (9)
0, if bit ¼ 0

2.2.3 Phase-shift keying (PSK)

Phase-shift keying (PSK) is also called phase modulation (PM). The signal can have
a variable phase as shown in Figure 11. If the signal is compared with its predecessor,
this technique is called differential phase-shift keying (DPSK). Each phase shift can be
assigned to a given binary code [11]. A PSK signal sðtÞ can be written as
( � �
Ac cos 2πf c t þ π , if bit ¼ 1
sð tÞ ¼ � � (10)
Ac cos 2πf c t if bit ¼ 0

Since the above equation contains two distinct phases, this type is called binary
phase-shift keying (BPSK). If the number of phase variations is increased to 4, the
quadrature PSK (QPSK) ca be defined as follows:
8 � π�
>
> Ac cos 2πf c t þ , if bits ¼ 00
>
> 4
>
> � �
>
> 3π
>
>
> A cos 2πf t þ , if bits ¼ 01
< c
> c
4
sðtÞ ¼ �
5π
� (11)
>
>
> Ac cos 2πf c t þ
> , if bits ¼ 10
>
> 4
>
> � �
>
>
>
> 7π
: Ac cos 2πf c t þ , if bits ¼ 11
4

2.2.4 Quadrature amplitude modulation (QAM)

Though the above three approaches can be used with any number of signals,
they tend to be difficult to implement due to the fact that special hardware will
be needed to distinguish between adjacent amplitudes, phases and frequencies. To
overcome this limitation, a combination of bits can be assigned to groups of
signals that can be different in amplitude and phase, for example. For example,
using signals with two amplitudes and two phase shifts produces four
different signals.

2.2.5 Analogue pulse modulation

Pulse modulation can be achieved by modifying either amplitude, width or

position of a pulse signal:

• Pulse amplitude modulation (PAM): The PAM signal (as shown in Figure 12)
is similar to the sampled signal. The pulses in PAM can have a finite width
unlike the sampling delta pulses. The PAM-modulated signal yðtÞ can be
written as

þ∞
yðtÞ ¼ ∑ xðkÞδðt � kÞ (12)
k¼�∞

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Telecommunications Protocols Fundamentals
DOI: http://dx.doi.org/10.5772/intechopen.86338

Figure 11.
PSK modulation.

• Pulse width modulation (PWM): In PWM as shown in Figure 13, the width of
each pulse is related to the modulating signal. This type of modulation is used
in DC motor control applications.

• Pulse position modulation (PPM): In PPM as shown in Figure 14, the position
of each pulse is related to the modulating signal.

2.2.6 Digital pulse modulation

Digital pulse modulation includes two types:

1. PCM: This modulation technique is achieved by sampling the message signal

and assigning a digital code (quantisation) to each pulse. The level of the signal
is not transmitted; instead the quantised code is assigned according to the
available bits for encoding. For example, in 8-bit PCM (with n ¼ 8), each level
is assigned to a discrete value between 0 and 255. For a signal that has a
bandwidth (BW) and a sampling rate of 2BW, the number of transmitted
pulses becomes 2nBW.

2. Delta modulation: In delta modulation, only the difference between the

previous and following codes is sent, as shown in Figure 15. For a reference
signal ms ðtÞ and a message signal mðtÞ, the difference ΔðtÞ is computed and fed
to a pulse generator in order to produce the delta-modulated signal to be
transmitted:

þ∞
yðtÞ ¼ ΔðtÞ ∑ δðt � nT s Þ (13)
n¼�∞

15
Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

Figure 12.
PAM modulation.

Figure 13.
PWM modulation.

In Figure 15, the reference signal ms ðtÞ is the signal with rectangular edges
superimposed on the smooth sine wave message signal. The reference signal is
obtained by integrating yðtÞ as follows [8]:

þ∞
ðt
ms ðtÞ ¼ ∑ ΔðnT s Þ δðt � nT s Þdτ (14)
n¼�∞

The difference value ΔðnT s Þ is calculated at the nth sampling instant. The refer-
ence signal ms ðtÞ is a stair-step approximation of mðtÞ as shown in Figure 15.

16
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DOI: http://dx.doi.org/10.5772/intechopen.86338

Figure 14.
PPM modulation.

Figure 15.
Delta modulation.

3. Session initiation protocol (SIP)

Modern telephony systems are based upon the Voice over IP (VoIP) protocols,
such as SIP, which is a call control and signalling protocol adopted by the 3GPP in

17
Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

order to deliver IP multimedia services [12] to the mobile network [6]. The design
of SIP was inspired from HTTP protocol and standardised by the Internet Engi-
neering Task Force (IETF). The purpose of SIP is to enable initiating, terminating
interactive call sessions and changing parameters of ongoing sessions. The simplic-
ity of SIP and the emergence of JAIN-SIP [13] have facilitated the development and
implementation of platform-independent IP telephony services. Multimedia ses-
sions enable communicating via voice, video and text. SIP messages are either
requests or responses and use Session Description Protocol (SDP) in order to deter-
mine and negotiate session parameters at either endpoint. SIP supports name map-
ping and redirection functionalities and, thus, permits user mobility. A typical SIP
architecture consists of SIP user agents (UAs) and servers.

4. Software-defined radio (SDR)

Software-defined radio (SDR) [14] is a wireless communication device that

employs software to perform most of the operations that are traditionally done by
hardware in conventional radio circuits. Similar to the first radio receivers, SDR
uses the same hardware for antenna and RF amplifiers. Unlike traditional radios
that are based upon hardware to perform modulation and demodulation, software-
defined radios are dependent on software to achieve filtering, modulation and
demodulation. The IF signal is sampled and converted to digital signal that can be
manipulated using software. Common modules between traditional radio and SDR
include the antenna and the D/A and A/D converters. Some SDR implementations
are freely available using field-programmable gate arrays (FPGA) [15].

5. Overview of 10-Mbps Ethernet

The core protocol of the Internet is the Ethernet protocol, which is based upon
serial digital communications. This section provides an overview on the 10-Mbps
Ethernet standard. The composition of Ethernet frames (at the MAC sub-layer) and
the generation of differential signals at the physical interface (Phy) layer can be
implemented on different hardware types as well as FPGA through hardware
description language (HDL) code. For 10-Mbps Ethernet, Manchester encoding is
utilised, where every bit of information is encoded as a transition from 1 to 0 or
from 0 to 1.This is advantageous for the synchronisation between the sender and
the receiver and for the recovery of the transmission clock. This encoding method
prohibits sending consecutive zeros or ones, which appear as constant DC signal in a
conventional RZ encoding. Since every bit of information is composed of two
voltage levels, the reference clock is at 20 MHz (double the baud rate).
To identify the beginning of an Ethernet frame, a special pattern of bits is sent,
which consists of preamble and a start of frame delimiter (SFD). The preamble and
SFD are sent prior to the actual data. The pattern ‘10’ is repeatedly sent, such that a
total of 62 bits of 101010 are followed by 11. The last byte (SFD) is 10101011. In
hexadecimal, the preamble is 7 bytes of 0x55 followed by a single SFD byte of 0xD5.
The first byte that is sent is 0x55, whereas the byte 0xD5 is sent last. The leftmost
bytes are sent first, of which the rightmost bits (LSB) are sent first. This is why the
first byte in the preamble 10101010 is sent from right to left, as 0x55, i.e., the first
bit to be transmitted, is 0. Data are usually transferred from an FPGA to the
Ethernet port through a physical interface. Taking into consideration the media-
independent interface (MII) standard, where the Phy interface communicates
nibbles (4 bits) at a time, the SFD 10101011 byte is sent as 0xD and 0x5, since the

18
Telecommunications Protocols Fundamentals
DOI: http://dx.doi.org/10.5772/intechopen.86338

lower nibble 0xD (in binary, 1011) is sent first starting by 1 (rightmost bit). The
reference clocks are 2.5 and 25 MHz for 10-Mbps and 100-Mbps Ethernet, respec-
tively. Reduced MII (RMII) and serial MII (SMII) are two reduced versions of MII,
where 2-bit and 1-bit bus widths are used for the Phy, respectively. Compared to the
10-Mbps MII, the gigabit MII (GMII) communicates through 8-bit width bus with a
reference clock of 125 MHz. However, the 10-Gbit MII (XGMII) standard deals
with 32 bits of data at a time.
Some implementations of Ethernet on FPGA depend upon finite state machines
(FSM) programmed in HDL, such as VHDL. Several open-source codes [13] offer
Ethernet implementations in VHDL or Verilog.

6. Conclusion

This review chapter contains an overview of telecommunications protocols that

are part of modern telecommunications systems. This chapter also provides an
overview on analogue and digital signal modulation techniques that are currently
used in many research fields including BCI. The researcher in BCI domain as well as
the electrical engineering student may find the flow of information smooth and
convenient.
The information in this chapter are intended to introduce the reader as well as
the researcher in BCI to the core concepts in communications and to analogue and
digital telecommunications protocols in an easy-to-follow approach supported with
multiple figures and mathematical expression.
The topics covered in this chapter include core concepts in electrical signals,
communications, telecommunications protocols as well as other related topics
including communications media, analogue and modulation techniques, software-
defined radio, 10-Mbps Ethernet protocol and SIP protocol. The topics in this
chapter are presented in an easy and simple style with a number of figures to
explain the basic principles and fundamentals of telecommunications protocols.

Author details

Amer Al-Canaan
Department of Electrical Engineering, Islamic University of Al-Madinah,
Al-Madinah Al-Munnawara, KSA

*Address all correspondence to: [email protected]

© 2019 The Author(s). Licensee IntechOpen. This chapter is distributed under the terms
of the Creative Commons Attribution License (http://creativecommons.org/licenses/
by/3.0), which permits unrestricted use, distribution, and reproduction in any medium,
provided the original work is properly cited.

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

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[2] Jiang X, Bian GB, Tian Z. Removal of 1236-1249
artifacts from EEG signals: A review.
Sensors. 2019;19(5) [12] Al-Canaan A, Khoumsi A. Cross-
platform approach to advanced IP-
[3] Shay WA. Understanding Data telephony services using JAIN-SIP.
Communications and Networks. Boston, Journal of Networks. 2010;5(7):
USA: PWS Publishing Company; 1994 8080-8814

[4] Manohar V, Kovitz JM, Rahmat- [13] Al-Canaan A, Khoumsi A. Advanced

Samii Y. Synthesis and analysis of low IP-Telephony Service Creation using
profile, metal-only stepped parabolic JAIN-SIP API: Crossplatform approach.
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66(6):2788-2798 Information Technology (MIC-CNET
2008); December 2008; Amman,
[5] Sauter M. From GSM to LTE- Jordan. pp. 46-51
Advanced Pro and 5G: An Introduction
to Mobile Networks and Mobile [14] Machado-Fernandez J. Software
Broadband. Hoboken, NJ, USA: Wiley; defined radio: Basic principles and
2017 applications. Revista Facultad de
Ingéniera. 2015;24(01):79-96
[6] Lee W. Mobile Cellular
Telecommunications: Analog and [15] Opencores.org. OpenCores; 2015
Digital Systems. Columbus, OH, USA:
McGraw Hill Education; 2017

[7] Frenzel LE. Principles of Electronic

Communication Systems. 4th ed.
Columbus, OH, USA: McGraw-Hill;
2016

[8] Ziemer RE, Tranter WH.

Communications Systems, Modulation,
and Noise. 6th ed. Hoboken, NJ, USA:
John Wiley; 2010

[9] Siva C, Murthy R, Manoj BS. Ad Hoc

Wireless Networks. Upper Saddler
River, NJ, USA: Printice Hall; 2004

[10] Wikipedia. Frequency Modulation,

2019

[11] Swierczynski P, Fyrbiak M, Koppe

P, Paar C. FPGA Trojans through

20
Chapter 2

Optimum Efficiency on
Broadcasting Communications
Juan Manuel Velazquez Arcos,
Ricardo Teodoro Paez Hernandez,
Tomas David Navarrete Gonzalez
and Jaime Granados Samaniego

Abstract

This chapter is devoted to review a set of new technologies that we have devel-
oped and to show how they can improve the process of broadcasting in two princi-
pal ways: that is, one of these avoiding the loss of transmission signals due to abrupt
changes in sign of the diffraction index and the other, preventing the mutual
perturbation between signals generating information leak. In this manner, we pro-
pose the join of several of the mentioned technologies to get an optimum efficiency
on the process of broadcasting communications showing the theoretical foundations
and discussing some experiments that bring us to create the plasma sandwich model
and others. Despite our very innovative technology, we underline that a complete
recipe must include other currently in use like multiple-input multiple-output
(MIMO) simultaneously. We include some mathematical proofs and also give an
academic example.

Keywords: wireless communications, optimal broadcasting, information packs,

negative refraction index, communication theory, wave
propagation through plasma

1. Introduction

Nowadays, one of the most innovative procedures to improve communications

is the random scattering of microwave or radio signals that may enhance the
amount of information that can be transmitted over a channel. This fact, from a
mathematical point of view, is due to the growth of the phase space available for
that channel, which provides a more rich mathematical base to define every single
signal. In many recent papers, a common subject is the use of a broad range of base
functions to span each signal. The hope is that every single collision of the initial
signals will be scattered and reaches another phase space region providing addi-
tional information, but the increase of phase space involves a more complicated set
of describing functions. A multiple scattering of the obstacles enlarges the effective
aperture in a time-reversed process for acoustic or electromagnetic signals when
they are placed in random manner.

21
Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

Another current tool is time reversal, or phase conjugation in the frequency

domain, where a source at one location transmits sound or electromagnetic waves,
which are received at another place, time reversed (or phase conjugated), and
retransmitted. The effect is to eliminate noise pollution.
Despite the existence of the mentioned resources and others like multiple-input
multiple-output (MIMO), many problems survive, but fortunately, we have
proposed some additional ways to improve the broadcasting by diminishing the
information loss. Some of our results are based on communication theory and
others in the mathematical properties of particular integral equations and their
solutions.
Through the present chapter, we introduce for convenience a hypothetical dis-
crete system in order to write finite matrices. But we can certainly extend the
validity of our expressions as we will see, even for both discrete and continuum
systems provided the involved potentials fulfill very general conditions not
discussed in the present work.
In the same manner, because the formalism we have developed for the study of
time reversibility refers to acoustic systems, we recall that the scalar wave equation
for acoustic signals can be written as:

ð1Þ

We now describe the quantities appearing in Eq. (1), represents the mass
density and the compressibility of the propagation medium, while is
the acoustic signal.
Because the wave equation is of second order in time, we can talk about time
reversibility, and then allows solutions, which travel toward the future or the past.
An efficient time reversal requires to ensure that the system be ergodic, making
possible that the signal may travel both senses in time. To improve focusing, we
must describe the signal propagation towards the future or past by means of equa-
tions of the same type [18, 22, 27] that is both directions inhomogeneous or both
homogeneous. Linearity permits that a signal traveling toward the past can be
written with the aid of the integral equation:

ð ∞
ð
ð∘Þ
f ðr; T � tÞ ¼ f ðr; T � tÞ þ U ∗ ðr0 ÞGð∘Þ ∗ ðr0 ; r; T � t0 ; tÞf ðr0 ; T � t0 Þdt0 dV 0 (2)
V �∞

In Eq. (2), Gð∘Þ ∗ ðr0 ; r; T � t0 ; tÞ is the free Green function, U ∗ ðr0 Þ depicts the
complex dispersion coefficients, and f ðr; T � tÞ is the returning signal that has
traveled toward the past. The inhomogeneous term f ð∘Þ ðr; T � tÞ is known as a sink
term and makes both the outgoing and returning equations inhomogeneous integral
equations. In Eq. (2), the parameter represents the time during which the outgo-
ing signal (the one traveling toward the future) is being considered and recording.
It is observed experimentally [9] that the time-reversed signal has a definition of a
14th of , the wavelength of the used signal for acoustic signals but this is also true
for electromagnetic waves. On several experiments [9, 10], Lerosey, de Rosny,
Tourin, and Fink have shown that when such a source term is included, the appar-
ent cross section is increased in two ways: first, the multiple scattering also multi-
plies the available phase space so when the time is reversed, the information is
increased, and second, in the electromagnetic case, the sink term stimulates and
triggers the braking of the confinement of the evanescent waves that also raise the
information and in consequence the definition to level of about λ=14 . In acoustics,
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Optimum Efficiency on Broadcasting Communications
DOI: http://dx.doi.org/10.5772/intechopen.84954

the sink term consists in the operation of the source in reverse order; in the elec-
tromagnetic case, the sink term can be implemented with a crest of fine wires
around the antennas.

2. Recovering the matrix equations

As we have said above and considering that from a strictly mathematical point of
view, both the acoustic and electromagnetic waves achieve the same wave equation
type (with a vector version in the electromagnetic case). Then, we can regain,
without further ado, the vector matrix formalism [1–7, 11–14] which generalizes the
discrete scalar time reversal acoustic model and includes an original model for
discrete broadcasting systems that we have called the plasma sandwich model
(PSM) [8, 16–18] and we put some associated parameters appeared on it into the
named vector matrix formalism (VMF) [8, 20, 24]. But we must underline that is
the resonant behavior the one must be considered for increasing efficiency on
communications and to achieve extraordinary resolution. To this end, we remember
that a three-dimensional version of Eq. (1) can be written as the Fourier transform
of an integral generalized homogeneous Fredholm’s equation (GHFE) [21–24] for
resonances, and does not matter if for acoustic or electromagnetic ones. To analyze
the resonant behavior, we must eliminate the inhomogeneous term so we can write
the following algebraic equation satisfied by the Fourier transform of the resonant
waves:

ð3Þ

where the kernel is the product of the Fourier transform of the free
Green function with the interaction U (without loss of generality we can
suppose that U does not depend on ), so this can be written explicitly as:
h im
1 � ηR ðωÞGð∘Þ ðωÞU wnR ðωÞ ¼ 0 (4)
n

At this point, we must say that we could obtain a transfer matrix description
[16–18] instead Eq. (4), but our last equation represents the core of the VMF
version. The fact is there are important differences between the two formalisms;
for example, VMF makes the time-reversal process easy. Of course, we are moving
over a frequency domain and not over a time-dependent one, the former the
appropriate in agreement with information theory applications. And certainly, the
most important difference is that VMF formalism includes the concept of the
resonant solutions.

3. Introducing the PSM parameters

One of the methods we have proposed is based on experiments executed by

Xiang-kun Kong, Shao-bin Liu, Hai-feng Zhang, Bo-rui Bian, Hai-ming Li et al. [8]
in which they put three layers of plasma joined and alternated with one of them
magnetized in the core and the other two unmagnetized in the extremes of the
device; when this plasma sandwich is submitted to an external electric potential, it
is observed that for a range of values of the external potential, the refraction index
is negative [15, 19]. When we analyzed those experiments, we conclude that for this
range of the electric potential, the plasma sandwich brakes the confinement of the
evanescent waves as occurs in a left-hand material and we proposed a model named
23
Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

the plasma sandwich model for the behavior of the propagation media. Depending
on the particular conditions of the propagation media, that is, depending of the
values of the plasma sandwich parameters, and for particular conditions of the
external electric potential, the propagation media may behave like the plasma
sandwich and acquire a negative refraction index. In this section, we introduce the
PSM parameters and find the resonant frequencies for a specific problem, underly-
ing that resonant frequencies can be used only to associate an interval of frequencies
of a real signal to a device that could be an antenna and not to a single emitted
frequency by them; this is because resonant waves are released evanescent waves
that vanish in the resource sites and not precisely information carriers. The fre-
quency bands we can build from the resonant frequencies can be considered as
convenient highways for the transit of information. Every kernel depends on the
response of the media in circumstances that can vary for different time intervals. In
this manner, we present an example very easy to work but in which is not relevant
the particular behavior of the signal we used to get it. Next, we can find the
resonant frequencies for an academic example. First, we choose an appropriate
discrete kernel , for convenience; in this particular kernel, we do not take
into account the three components of the electromagnetic field (usually represented
for the indices n and m). However, we propose a system constituted by two emit-
ting antennas. One possible may be written [1, 3–7]:

ð5Þ

In kernel (5), we have introduced the plasma sandwich model (PSM) parameter
, which is defined as:

ð6Þ

Definition (6) involves with the physical meaning of the wave number of an
incident beam that interacts with the magnetic and electric fields in a way that the
whole kernel is the expressed in Eq. (5); is the average thickness of a plasma-
magnetized layer that generates this interaction; parameter is the average value
for the plasma frequency in the magnetized plasma layer which can be written in
terms of the local electron concentration in the layer as:

ð7Þ

In this definition, is the electron concentration, is the electronic charge, and

is the permittivity of vacuum.
It is possible to note that any change in the parameter values gives different
broadcasting conditions [5]. PSM suggests that there is not a single stationary set of
iterated layers but a bunch of sets evolving in time and in consequence with differ-
ent effects for each frequency. We must remember that the equation to solve is
Eq. (3) where,
(
� � 0
0 if r ¼ r
Knmð∘Þ
0
r ; r; ω ¼ � � nmð∘Þ � 0 �
nm 0 0 (8)
U r Gω r ; r if r 6¼ r

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DOI: http://dx.doi.org/10.5772/intechopen.84954

The last two ubiquitous conditions to achieve resonance are the vanishing of
Fredholm’s determinant for Eq. (4), and that Fredholm’s eigenvalue λ equals to 1
[6, 11, 22, 23]. The last two conditions give us the expected resonant frequencies for
the system constituted by two antennas dependent on the PSM parameters. Now,
we must remember that resonances have a special behavior that can be represented
by a complex frequency:
ð9Þ

The transformation of the evanescent waves for traveling ones is due precisely
to the imaginary part In addition, the relation between and the wave
number is:

ð10Þ

Substituting expressions (9) and (10) into Eq. (3), we can write the resonance
condition as:

ð11Þ

The abbreviated components of the matrix in (11) are explicitly

ð12Þ

and

ð13Þ

In Eqs. (12) and (13), we have used the following definitions:

ð14Þ

ð15Þ

ð16Þ

ð17Þ

To have an image of the solutions of Eq. (11) (see Figure 1), we can make
and those are the real and imaginary parts of , and fix the value for the
plasma frequency so we have the following image:

25
Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

We obtain for the particular conditions:

ð18Þ

ð19Þ

The solutions (resonances):

ð20Þ

ð21Þ

In this case only, is properly a resonance and has not physical meaning but
maintain their orthogonality properties.

4. Communication theory measurement of information loss

Because we have now a wide vision of the loss of information and we know that
this is the reason that the images are not perfect, we can use the results of Shannon,
Nyquist, Wiener, Hartley, Hopf [25–29], and other authors that have formulated a
measure of the loss of information in communication systems. We support our
mathematical results on related works [6, 11, 24, 26, 28], which give us a solid
theoretical frame to our present and future papers. Indeed, because the capacity of a
channel and entropy are very close concepts, we can use some of the results we have
cited above to answer the problem for TRT and LHM.
Basically, we recall two theorems:
Theorem I.
If the signal and noise are independent and the received signal is the sum of the
transmitted signal and the noise, then the rate of transmission is:

ð22Þ

This means that the rate of transmission is the entropy of the received signal less
the entropy of the noise. The channel capacity is:

ð23Þ

Theorem II.
The capacity of a channel of band Θ perturbed by white thermal noise power
when the average transmitter power is limited to is given by:
 
PþN
C ¼ Θ log (24)
N

In this expression, P is the average power of the transmitted signal and N is the
average noise power.
From these two theorems, we make our proposal for a channel where we have
lost information in three ways. That is, we have limitations on the maximum
frequency Θ (band), the presence of different classes of noise, and on a limited time

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T available for a time-reversal process. Then, defining a joint average for the power
, the channel capacity is:
 
P þ Q ðn; T Þ
CT ¼ Θ log (25)
Q ðn; T Þ

This remains equal to zero when . The very significant feature of this
proposal is the explicit dependence on , in both the joint average power and the
channel capacity, as opposed to the conventional treatment of the signal time
duration that is considered as a limit process which tends to infinity. This is a
consequence of the explicit form of the Fourier transform of the time-reversed
Green function that changes with a factor , so even if we are not forced to do so,
we can think of it as a parameter that defines the channel. We can think of an
arbitrary channel but, when we use it to reverse any signal in time, we follow a
different process depending on the time we decide to fit. Then, we can label the
channel with each as a different one and of course with a different capacity with
those corresponding to other values of . Because of the arguments expressed
previously in this work, we can use this measure to the same extent on LHM, ATR,
and TRT. For a related discussion of the equivalence of the time-reversal methods
and the employment of left-hand materials, we can see ref. [30], and for the use of
time reversal on antennas, we can see also ref. [16].

5. An academic example

In order to give an insight into information measurement applied to TR, let us

propose that our system behaves like a filter. So, in this particular example, we have
no loss if we select t < T. We also propose that we have a signal like [12]:

sin ð2πΘtÞ
(26)
2πΘt
And, that we have instead of the incoming signal in Eq. (15) another like [10]

1 sin 2 ðπΘtÞ
(27)
2 ðπΘtÞ2

The input function Eq. (26) is a sample of a more general function generated by
the sum of a series of shifted functions

sin ð2πΘtÞ
a (28)
2πΘt

where a, the amplitude of the sample is no greater than (S is the peak

allowed transmitter power).
The channel capacity would be [23] approximately (provided that S=N is small)
 
S þ Q ðn; T Þ
CT ¼ Θ log (29)
Q ðn; T Þ

In the time-reversal process, we have shown that for each Fourier component,
we should add a complex exponential factor dependent on T. But we know now that
the tool is the same and that only the numerical value of channel capacity CT

27
Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

changes. We see how in practice the time-reversal parameter T appears explicitly

but also that when we cut the time duration of reversed signal, it is possible to
consider them as an additive contribution to . But the form of Eq. (25)
suggests a generalized measure of a blend or mix channel capacity when sharing the
same band W and differ only by the recording time
 
S þ Q ðn; T 1 ; T 2 ; ⋯; T n Þ
CT 1 , T 2 , ⋯, T n ¼ Θ log (30)
Q ðn; T 1 ; T 2 ; ⋯; T n Þ

The fact that we are using the same band but different cutting limits
also suggests that we can design an appropriate filter that can distinguish between
signals according to the recording time that is we can superpose signals with the
same frequency range but with different recording times. In a previous work, we
have sketched a filter, but now we give a better-defined device, so we propose (see
Figure 2) as a hint to get the filter, the following steps for both the transmitter and
the receiver:

5.1 Transmitter

First, increase the n frequencies on the unique entrance band (that is

centered in frequency ) incoming from the inverse of , then the n
new top frequencies are used to create n transformed signals with the
rule suggested by communication theory and these last signals enter a blender.
Then, the mixed signal is taken by a band generator and projected in Q new bands
centered at the frequencies (each corresponds to a resonant frequency).
Finally, each band enters this signal transmitter.

5.2 Receiver

The traveling signals enter the mirror band amplifier, so called because it
knows that there are resonant frequencies and then can create (or separate the
signal in Q resonant bands) sub-bands and amplify the signal in each band (at
this moment, each band carries a piece of the original n different signals); after this,

Figure 1.
Image of the solutions of Eq. (11) when the related equation is 987.93(x2-y2–106) = y (106-2x).

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Figure 2.
Flow chart for a proposal device. This can emit and read the blended messages with recording times
beneath to the unique band .

the signals are blended and then sending to a secondary mirror band generator
which knows that there are n recording times and because of that it can
create n bands with the higher central frequencies (these last signals
could be amplitude-modulated signals) and distribute the blended signal among
them. Then, every signal on each band enters a frequency dimmer (the inverse
operation performed by the frequency elevators in the transmitter), so we retrieve
the n original signals corresponding to the unique band . For example, in
Section 3, we have that the total number of resonances is , and the two
resonant frequencies are and .
At this point, it is important to say that the key point on the use of the proposed
device is the build of information packs described in another place in order to
diminish mutual interference between different signals.

6. Error in time reversing and a related theorem

Based on the equivalence of the TRT and the properties of the Green function,
we can trust that any discussion about the interaction of metamaterials with elec-
tromagnetic field can be done through this function and simultaneously observe the
effect of a time reversal. For this reason, we can now describe the error in terms of
the Green function by the hypothesis that LHM can be put to test by forward and
backward in time signals and read the results with two points of view: first, the
direct effect of the loss of information because of the limited record time T or
second, how the negative refraction index helps to preserve information. Now, we
can review our previous results and generalize using the kernels, so we can charac-
terize the capacity of a channel in many different circumstances. So, we have made
29
Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

use of the analogies [30] between the TRT and the employment of LHM to propose
that we can express the capacity of any of these negative refraction index materials
in the same terms or procedures as those of TRT. Also, we can propose an identical
description for the channel capacity that is Eq. (24) and its generalization Eqs. (25)
and (30). Then, the matrix formalism for discrete systems can be used to charac-
terize the channel capacity of transmission of information in a process of time
reversibility using the Fourier transforms of the Green functions (properly we use
the kernels with the interaction matrix ) forward and backward. That is, by
the first step, the signal transforms like (in the following equations I and F stand for
initial and final places):

ð31Þ

then in the second step, it returns to the initial place by means of the operation.

ð32Þ

Then, the complete signal trip would be:

ð33Þ

So that by defining the error in the time-reversing process by:

ð34Þ

We can write this like:

ð35Þ

or

ð36Þ

Eq. (36) is a corollary that shows explicitly the role of both the forward and
backward Fourier transforms of the Green function (we have done on
Eq. (8) for convenience and also for the complete kernels and ).
Eq. (36) is very clear about the origin of the errors because we can see, for example,
that in the case that the forward and backward Green functions are mathematically
one the transpose conjugated of the other for a perfect time reversal (when acting
the first on a column vector and on a row vector the other), we get that the error is
zero and that the error increases as the differences of both functions also increase.
In a very special case, we can then propose that and only differ by the
factor or when the only source of error is the recording time , so that we
obtain from Eq. (36) that:

ð37Þ

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DOI: http://dx.doi.org/10.5772/intechopen.84954

In Eq. (37), the function has the form of the Fourier transform of
the Green function but with the argument translated by an amount equal to the
recording time that appears explicitly in Eq. (19) that is the Fourier transform of:

ð38Þ

But with the time running backward, so, as we will show in a moment, if T is
very short, the error will be very huge. On the contrary, if the time goes to infinity,
the error will go to zero. Resuming, the new Eqs. (33)–(38), make possible a
characterization of the lost information in left-hand materials not only for micro-
wave range, but also for visible frequencies because we have extended recently the
time-reversal techniques (see ref. [3, 12]).
Now, we can define:

ð39Þ

So, we can write Eq. (37) like:

ð40Þ

and because the kernel of the Fourier transform of the generalized inhomoge-
neous Fredholm’s equation (GIFE) satisfies the following integral equations:

ð41Þ

ð42Þ

While Eq. (41) exactly represents the problem with a finite recording time T,
Eq. (42) represents a hypothetical problem in which the recording time is infinite.
Substituting Eq. (41) into Eq. (40), we have:

ð43Þ

Then, we can suppose that the two kernels in Eq. (40) represent the real and the
hypothetical problem described above. Of course, we see that if real conditions
approximate the ideal ones, the error is clearly zero. But we can factorize the
interaction matrix in Eq. (43):

ð44Þ

But Eq. (44) says clearly that the error does not depend on the form of the
interaction, only depends on the recording time T. Even we have supposed that the
only source of error was the recording time, we do not suppose any particular
behavior for the interaction. So, we have enunciated and proved a theorem:
Theorem III.
In the time-reversal problem and for left-hand material conditions, the normal-
ized error:

31
Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

ð45Þ

is independent of the explicit form of the interaction provided the last is isotropic.

Returning to the time representation, for the time-dependent retarded isotropic

(remember that in the following expression, the indices m and n indicates compo-
nents of the field and can be omitted), free Green function related to , we
can write explicitly.

ð46Þ

and for the advanced time-dependent free Green function related to :

ð47Þ

That is the recording time appears explicitly in the advanced Green function and
we can show that its value makes possible to blend many signals on the same
channel without interference. It is important to note that for resonances, the rele-
vant Green functions are precisely the free ones and not the complete ones as we
can see in Eqs. (5) and (6).

7. Information packs

In this section, we present the support and the definition of the information
packs that are required for the adequate performance of the device shown in Section
6 and that by him constitute a method to improve the broadcasting efficiency. To
this end, we must remember that on communication theory [9, 10] are defined the
so-called ensembles of functions dependent on time. One of their properties is really
a group one from the mathematical point of view and lies in that any ensemble
transforms into another member of the same ensemble when we change the func-
tion at any certain amount of time. To illustrate this property, we shift by an
amount t1 the argument of all the members of the ensemble defined as follows:

Fθ ðtÞ ¼ sin ðt þ θÞ (48)

where θ is distributed uniformly from 0 to 2π.

Then, we have:

ð49Þ

where φ is distributed uniformly from 0 to 2π.

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Then, each function has changed individually, but the ensemble as a whole is
invariant under the transformation. Also, if we apply the operator T which gives for
each member

Sα ðtÞ ¼ TFα ðtÞ (50)

It implies that

Sα ðt þ t1 Þ ¼ TFα ðt þ t1 Þ (51)

It is possible to prove that if T is an invariant operator and the input ensemble

Fα ðtÞ is stationary, the output ensemble Sα ðtÞ is also stationary. Now, for communi-
cation purposes, the operator T, which could be a modulation process, is not
invariant because of the phase carrier that gives certain time structure, but if the
translations are multiples of the periods of the carrier, then the modulation will be
invariant. At this stage, it is important to remember that Wiener [6] has pointed out
that if a device is linear as well as invariant (in the sense of the last definition), then
the Fourier analysis is the appropriate mathematical tool for dealing with the prob-
lem. Now, suppose in addition that we are interested on functions that are limited to
the band from 0 to Θ cycles per second, then we have the following theorem [10]:
Let F ðtÞ contain no frequencies over Θ. Then:

∞ sin π ð2Θt � nÞ
where, F ð tÞ ¼ ∑ X n (52)
�∞ π ð2Θt � nÞ
 n 
Xn ¼ F (53)
2W
In this expansion, F ðtÞ is represented as a sum of orthogonal (basis) functions.
The coefficients X n of the various terms can be considered as coordinates in an
infinite dimensional “functions space.” We will take the last theorem (Eqs. (52) and
(53)) as a very suggestive rule to consider the recently obtained resonant frequen-
cies. If we use physical arguments about the reasons of the presence of a resonance,
we can be sure that channels available for broadcasting are also limited in number.
Indeed, in a recent paper, we have generalized the procedure for electromagnetic
scalar and vector potentials [30] and we have established that we can use either the
electromagnetic field or the potentials for obtaining the resonances and also for the
use of the recording time as a resource to optimize communications. And now, we
can build information packs (IP) that are functions, which represent a part of the
signal we want to send with the minimum loss of information. The resultant
expression is:

∞ sin ½π ð2ωe t � nÞ�

Fe ðtÞ ¼ ∑ X n, e (54)
�∞ π ð2ωe t � nÞ

where,
 
n
X n, e ¼ F e (55)
2ωe

Every ωe allows us to build a decomposition like (54) but we expect that only a
few terms are necessary for a well representation of Fe ðtÞ. Next, we send separately
each F e ðtÞ by its own device and it is all we need for broadcasting. To receive the
signal, we need a separate device for each ωe .

33
Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

A very important feature is that because of the properties of the modulation

process stated in Eqs. (50) and (51), we can recover, for any arbitrary signal, the
behavior under spectral representation and under separated pack representation. So
we can either talk about F e ðtÞ in Eq. (54) as the representation of some element of
the basis function for the spectral representation or directly as the e component of
an arbitrary signal SðtÞ ¼ TF ðtÞ. Now, we recall the two resonances founded in
another work [3]:

π
ω1 ¼ þ ω0 (56)
4d
and

3π
ω2 ¼ þ ω0 (57)
4d
Suppose that SðtÞ is the signal

sin ½π ð2ΘtÞ�
SðtÞ ¼ (58)
π ð2ΘtÞ

Then, we have the first pack:

∞ sin ½π ð2ω1 t � nÞ�

with S1 ðtÞ ¼ ∑ X n, 1 (59)
�∞ π ð2ω1 t � nÞ
 
n
X n, 1 ¼S (60)
2ω1

And, we have the second pack

∞ sin ½π ð2ω2 t � nÞ�

S2 ðtÞ ¼ ∑ X n, 2 (61)
�∞ π ð2ω2 t � nÞ

with
 
n
X n, 2 ¼S (62)
2ω2

We can see that if Θ ¼ ω1 , the only coordinate distinct to zero is X 0, 1 ¼ 1 and if

Θ ¼ ω2 , only survives the term X 0, 2 ¼ 1. So, we remark self-consistency of the
method.
Even VMF has a broad application on the microwave range, maybe it would be
more useful to apply for larger frequencies. But even the great technological boom,
there is not any device that could manipulate visible light at length as happens with
microwaves. Whatever we can recall some of the basic early ideas on radio broad-
casting when the option was sending information by means of modulating the
wave’s amplitude as appears in Figure 3. However, we can take our definition of
information packs and put it in a modulated visible-light signal taking the
enveloping of the signal we name the wrapping signal (WS) as the information that
can be injected inside Eq. (54). Technically, we rewrite Eqs. (50) and (51) in the
form:

Hβ ðtÞ ¼ ΩSβ ðtÞ (63)

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Optimum Efficiency on Broadcasting Communications
DOI: http://dx.doi.org/10.5772/intechopen.84954

Figure 3.
The former radio broadcasting procedure: modulated amplitude. Image given by Pérez-Martinez [31].

It implies that

Hβ ðt þ t1 Þ ¼ ΩSβ ðt þ t1 Þ (64)

Now, the operator Ω is a generic operator like T but acting over the ensemble
Sβ ðtÞ. Some care must be taken when reading the WS information, because the
translations stated in Eqs. (63) and (64) were multiples of the periods of the carrier,
and then as we said above, the modulation will be invariant. The resonant frequen-
cies will be obtained by the same procedure.
In order to complete the methodology, we recall the concept of group velocity
cg ðtÞ and construct this inherent quotient between them and the enveloping fre-
quency ωg which results in the wave number κ g , so we associate them with the
resonance frequencies in a similar form as we styled with microwaves, but now
these last signals come from the measured properties of the Green’s function asso-
ciated with the modulated signal. In this way, in Eq. (54), we put directly the WS
first for a non modulated beam:

∞ sin ½π ð2ωe0 t � nÞ�

Se0 ðtÞ ¼ ∑ X n, e0 (65)
�∞ π ð2ωe0 t � nÞ

in which the coefficients are given by:

 
n
X n, e0 ¼ Se0 (66)
2ωe0

The signal Se0 ðtÞ in (65) can be viewed as the representation of some element of
0
the new basis functions or as the e component of an arbitrary amplitude-modulated
signal He0 ðtÞ. Now, we can give an example where we use the same values for the
resonances on Eqs. (56) and (57) and where we propose an arbitrary amplitude
modulated or WS (for a modulated visible light beam) signal given as follows:

HðtÞ ¼ a cos ðΘA t þ δÞ (67)

In Eq. (67), ΘA ¼ Θp � Θm is an arbitrary frequency, and in a same manner, a

and δ are preconceived constants but otherwise arbitrary.
With these preliminaries, we can build the first IP:

∞ sin ½π ð2ω1 t � nÞ�

H 1 ð tÞ ¼ ∑ X n , 1 (68)
�∞ π ð2ω1 t � nÞ

35
Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

where explicitly the coefficients are:

� �
n
X n, 1 ¼H (69)
2ω1

And taking expression (67)

� � � �
n
X n, 1 ¼ a cos ΘA þδ (70)
2ω1

In a similar manner, the second IP will be:

∞ sin ½π ð2ω2 t � nÞ�

H2 ðtÞ ¼ ∑ X n, 2 (71)
�∞ π ð2ω2 t � nÞ

in which
� �
n
X n, 2 ¼ H (72)
2ω2

Also, by taking Eq. (67):

� � � �
n
X n, 2 ¼ a cos ΘA δ (73)
2ω2

As we said above, the resonances must come also for the WS. By this procedure,
we have enlarged the scope of the formalism we named vector-matrix or VMF
[1–3].
In order to complete our example, we put explicit values of the resonances for
the two visible light IP:
� � �π � ��
∞ sin π 2 4d þ ω0 t � n
H1 ðtÞ ¼ ∑ X n, 1 � �π � � (74)
�∞ π 2 4d þ ω0 t � n

And explicitly
" ! #
n
X n, 1 ¼ a cos ΘA �π � þδ (75)
2 4d þ ω0

For the second IP

� � �3π � ��
∞ sin π 2 4d þ ω0 t � n
H2 ðtÞ ¼ ∑ X n, 2 � �3π � � (76)
�∞ π 2 4d þ ω0 t � n

in which
" ! #
n
X n, 2 ¼ a cos ΘA �3π � þδ (77)
2 4d þ ω0

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DOI: http://dx.doi.org/10.5772/intechopen.84954

8. Conclusions

In Eqs. (25), (29), (30), (34)–(40), we have shown that it is possible to use an
operator language and the properties of the Green function to define the capacity of
a channel, the loss of information, and finally, the error in the time-reversal process.
Therefore, we can use our results to describe the behavior of LHM interacting with
electromagnetic field whether forward or backward in time. Thanks to our inter-
pretation of a resonance in the broadcasting problem with the left-hand material
conditions, and the application of the model PSM, we make up a broadcasting
system that has the power for distinguishes between signals according to their
recording time, and allows to superpose signals in the same frequency range having
different recording times with the minor loss because of resonance technology; to
this end, we have presented a detailed support and definition of the information
packs (IP) and the possibility of application for visible light. In addition, we have
enunciated and proved a theorem (theorem III) that establishes: for the TRT and
LHM, the normalized error is independent of the particular behavior of the inter-
action. Summarizing, we give a complete recipe for optimizing communications
efficiency.

Author details

Juan Manuel Velazquez Arcos*, Ricardo Teodoro Paez Hernandez,

Tomas David Navarrete Gonzalez and Jaime Granados Samaniego
Universidad Autónoma Metropolitana, Mexico City, Mexico

*Address all correspondence to: [email protected]

© 2019 The Author(s). Licensee IntechOpen. This chapter is distributed under the terms
of the Creative Commons Attribution License (http://creativecommons.org/licenses/
by/3.0), which permits unrestricted use, distribution, and reproduction in any medium,
provided the original work is properly cited.

37
Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

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film-based magneto-optical isolator telegraph speed. Bell System Technical
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[18] Kato H, Matsushita T, Takayama A,
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Theoretical analysis of optical and Extrapolation and Smoothing of
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3906 [28] Wiener N. The Ergodic theorem.
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[19] Hernández-Bautista F, Vargas CA,
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39
Chapter 3

Android Application Security

Scanning Process
Iman Almomani and Mamdouh Alenezi

Abstract

This chapter presents the security scanning process for Android applications.
The aim is to guide researchers and developers to the core phases/steps required to
analyze Android applications, check their trustworthiness, and protect Android
users and their devices from being victims to different malware attacks. The
scanning process is comprehensive, explaining the main phases and how they are
conducted including (a) the download of the apps themselves; (b) Android applica-
tion package (APK) reverse engineering; (c) app feature extraction, considering
both static and dynamic analysis; (d) dataset creation and/or utilization; and
(e) data analysis and data mining that result in producing detection systems, classi-
fication systems, and ranking systems. Furthermore, this chapter highlights the app
features, evaluation metrics, mechanisms and tools, and datasets that are frequently
used during the app’s security scanning process.

Keywords: Android, application, scanning, security, malware

1. Introduction

This section introduces the Android operation system and its applications.
Moreover, it defines Android malware and shares its recent statistics. Android
permissions and security model are also presented. This section ends with discuss-
ing the security scanning framework for Android applications.

1.1 Android and application definition

Android is one of the most popular operating systems that provide open-source
development environment based on Linux. It allows the development for mobile,
tablets, smartwatches, and smart TVs. Android was established by Open Handset
Alliance that started working in 2003, while Google released its first Software
Development Kit (SDK) in 2007, but the first commercial version was released in
September 2008 called as Android 1.0 [1] with the first device executed being HTC
Dream. The sale of the Android phone was increased from 75% in 2013 [2] to 88%
in 2018 [3]. Table 1 lists the sales of smartphones from 2011 to 2018 which show
a clear capture of the market over the years. This market penetration reveals the
successful implementation of features as well as cheap price.
The Android system is composed of five important layers:

• Applications refer to the software stack of native as well as user-based

applications.

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

• Android runtime allows the application to run on mobile devices by convert-

ing the Android code into DEX format or byte code. The conversion of DEX
code into device-related code is done before compilation, and this kind of
technique is referred to as ahead of time (AOT).

• Application framework manages and runs the applications using the services
such as activity manager, content providers, telephony manager, package
manager, location manager, etc.

• Android libraries are a set of Java-based development application program-

ming interfaces (APIs) that can help in performing general purpose tasks, as
well as location-based and string handling.

• Android kernel is based on the Linux 2.6 kernel and is used to provide abstrac-
tion between device hardware and other software layers [4, 5].

The efforts for making each of the component secure have been made. However,
still there are issues due to open-source development, and every vendor and com-
pany following their own standards has led to serious security issues [6].
The Android application contains four types of components shown in Figure 1 [7]:

• Activities: each activity represents a single screen with a user interface.

• Services: a service operates in the background to execute long-running

operations. Services could be initiated by other components like activity or
broadcast receiver.

• Content providers: to share data between different applications.

• Broadcast receivers: to listen for specific system-wide broadcast announce-

ments and react to them.

Android applications are written in Java programming language and distributed

as .apk files. Android application package (APK) file is a ZIP compressed file that
includes the following files:

• AndroidManifest.xml file: it describes the application’s capabilities and

informs the OS about the other components of the application. It identifies the
needed hardware and software features such as the camera, in addition to, the
minimum API level required by the application. The permissions requested by
the app and the permissions required to access the application’s interfaces/data
are defined in its manifest file.

• Dalvik executable or classes.dex file: the Java classes and methods defined in
the application code are grouped into one single file (classes.dex).

• .xml files: which are used to define the user interface of the application.

• Resources: the external resources that are associated with the application (e.g.,
images).

Android applications run in a virtual environment to improve security. However,

they can be downloaded from any source whether trusted or not. After an applica-
tion is initiated, it grants its own virtual environment, so the code will be isolated

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Year Android share iOS shares Other OS shares

2011 46.66 18.87 34.45

2012 66.34 19.11 14.53
2013 78.50 15.54 5.94
2014 80.70 15.37 3.91
2015 81.60 15.88 2.50
2016 84.79 14.44 0.75
2017 85.91 13.98 0.09
2018 88 11.75 0.03

Table 1.
The detail of the Android phone compared to iOS and other smartphone sales shares from 2011 to 2018 retrieved
from Statista.com [3].

Figure 1.
The Android application components.

from other apps. Although the applications are isolated, still they can interact with
the system and other applications through APIs. Meanwhile, Android assigns Linux
user ID for each application.
API stands for application programming interface that refers to the set of tools
providing interfaces for communication between different software components. APIs
are used to access data and key features within Android devices. API framework con-
sists of a set of API packages that include specific classes and methods. Additionally, it
contains a set of XML elements and attributes for declaring a manifest file and access-
ing resources besides permissions and intents. Looking into API component calls in the
executable file may allow exploring the behavior of an app and reporting its capabili-
ties. However, in many cases, the attackers hide the API calls using cryptography,
reflection, or dynamic code loading techniques to increase the difficulty of analysis.

1.2 Malware definition and statistics

Presently, mobile device apps are distributed through online marketplaces such
as Google Play Store. Such marketplaces are considered hubs to allow developers

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

to publish their apps and distribute them as well. Today, there are more than 2.5
million applications available in the Google Play Store [8].
When downloading apps from unofficial markets, the user is usually at risk
because there is no centralized control like official markets. As more users shift to
Android devices, cybercriminals are also turning to Android to inflate their gain.
However, many Android apps turn out to be malicious. The number of malicious
software (malware) samples in the Android market has surged to an alarming
number reaching over 5.49 million by the end of 2018 [9, 10].
A recent report from F-Secure [11] showed that over 99% of all malware pro-
grams that target mobile devices are designed for Android devices. Another report
from the security firm G DATA shows that a new instance of Android malware
pops up nearly every 10 seconds. Another report from AV-TEST [12] states very
clearly that anyone seeking to make money by attacking mobile devices will choose
Android devices as targets.
Malware is an umbrella term used to stand for an assortment of types of hos-
tile or intrusive software, including viruses, worms, Trojan horses, ransomware,
spyware, adware, and different malicious programs [13].
Ransomware is considered one of the most threating malwares nowadays.
There are two types of ransomware: crypto ransomware and lock screen ransom-
ware. The crypto ransomware encrypts the information, while the locker ransom-
ware hinders users from gaining access to their data by locking the device’s screen.
For both types, the attack demands a payment (ransom) to recover the files or
access to the device. It is worth mentioning that paying the ransom money does not
guarantee that the files will be back or that the ransomware will be removed from
the device [14, 15].
According to Kaspersky, ransomware has taken place in most of the majority of
notorious security attacks for the past decade. Also, 116.5 million attacks were noted
in 2018, compared to 66.4 million in 2017, an increase of twofold in just 1 year [16].
Malicious apps, in general, are distributed mostly through phishing, drive-by
attacks, and app stores. Phishing messages might comprise links to malicious apps
and are sent over SMS or WhatsApp. Drive-by attacks are carried out by Web page
exploits. When the user has a vulnerable browser, the exploit is able to execute a
code. To infect users through app stores, malwares are submitted to them hiding
as some legitimate app. In fact, in some cases some popular apps are modified to
include malicious actions while keeping the app’s main functionalities [17].
Therefore, a reliable tool is needed to test the trustworthiness of these apps
before being installed. App risk scoring or rating should be empirically calculated
according to different risk scoring techniques. The visualization of these risks
should be easy enough for a normal user to recognize the risk associated with a
specific app.

1.3 Android permissions and security model

Android platform is very popular due to its available and comprehensive API
framework [18]. Android API offers the developers of mobile apps the ability to
gain access to hardware information, accessing user’s data, knowing phone state,
changing phone settings, etc. The developers are impacted by the permission model
while developing mobile applications. To develop a mobile app, the engineers are
required to determine, for each API functionality, what permissions are needed and
how they are correctly activated. Android asks the developers to list publicly what
permissions are used by the app; however, there are no mechanisms to know the
exact purpose of such permissions and what kind of sensitive data they could use.
Android permissions mainly fall under four categories [19]:

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• Normal: minimal risk permission is assigned automatically by the system and

does not require an explicit declaration.

• Dangerous: the permission to private data, system process, and other hard-
ware is referred to as dangerous and should be assigned explicitly at the time of
installation or usage of the application.

• Signature: the applications get the same ID and the same access rights if the
two application certificates are the same.

• SignatureOrSystem: the applications that are signed with the same certificate
will get the same permission as the base system automatically.

Take the camera permission as an example; it belongs to the dangerous category.

These permissions also ensure the safety of the system by keeping the user aware of
what he is trying to do and what permissions have been requested. The issue with
Android permission is that they are coarse-grained and violate the principle of least
privileges (PoLP) that ensure that the only required thing is permitted. In contrast,
Android allows overall permission about most of the features such as phone contact
permission can allow checking phone state and other details.
The Android permission system obliges app’s developers to state which security
critical resources are needed. At runtime, the access requests are controlled by
the permission checker component in order to secure the critical resources and
operations.
In general, the security policy for the phones is delegated to their users. The
lists of permissions will be shown to the users where they can accept or reject. It is
essential and challenging to make sure that these apps appropriately deal with great
value sensitive data [18].
Since Android 6.0, dangerous permissions are now asked explicitly to the user
when requested the first time and then granted automatically. Android 6.0 changed
some areas with regard to permissions. Two major changes were introduced.
(1) Apps targeting SDK 23 (Software Development Kit) or higher can request
permissions at run-time. (2) If an app requests a dangerous permission, with
another permission from the same group that has been already granted, the system
immediately grants it without any further interaction with the user.
The Android permission system received several criticisms [20]. The system is
considered to be too coarse-grained since the user has to choose whether to accept
all of the permissions declared by an app or to refuse to install the app. Users are
usually not sure to determine if an app can be trusted or not. Actually, how Android
is showing the required permissions is not very user-friendly and quite difficult to
understand the risks associated with these permissions.
Android apps are allowed to define new custom permissions on Android. These
permissions are used to protect an app’s own resources from others. To define new
custom permission, a permission name is needed, optionally including a permission
group and a description regarding the permission purpose. Sixty-five percent of
Google Play Store apps define their custom permissions, whereas 70% of these apps
request them for their operation [21].
Mobile app history has shown that the users’ privacy and security must be
protected against benign applications not to mention malware ones. Actually, lots of
widely used apps have been reported as requiring too many permissions or leaking
user information to their servers intentionally [22].
Android uses both discretionary access control (DAC) and mandatory access
control (MAC) to form a multilayer security model [23]. The model implements a

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

kernel-level application sandbox that uses Linux user identifiers (UIDs) and UNIX-
style file permissions. Since version 4.3, Security-Enhanced Linux (SELinux) was
introduced, and from version 4.4 it started being deployed in enforcing mode.
Android security has seen other improvements as well. In version 5.0, Google
introduced smart lock, which allows users to unlock the phone using a trusted
device, such as Bluetooth/NFC beacon, smartwatch, or facial recognition. In ver-
sion 6.0, they introduced a fingerprint API. All these features are an extra step to
make security easier for the average user. However, Android’s security model is still
based on a set of coarse-grained permissions.
Android builds its security basis on multiuser capabilities of Linux by assigning
a unique ID to each application that will manage its own processes [24]. The run-
time manager runs the applications in its sandbox that provides security as it does
not allow:

• Inter-process communication

• Data access to other processes

• Hardware access such as camera, GPS, or network

• Access to local data of the phone such as media libraries and contacts

As a contrast to other OS platforms, the sandbox facility is provided by runtime

manager for direct access to resources and hardware, while other operating systems
provide sandboxing based on their kernel. This is based on features such as all kinds
of requests outside the applications are by default denied and have to be permitted
explicitly. When an application is installed, the permissions are allocated in addition
to a unique, permanent identification (ID) that is also assigned to this app. This
application ID is used to enforce the permissions for application, processes, and file
system [25–27].
The files in the application are always private unless they are explicitly set
to be shared using two modes, (1) readable and (2) writable. In order for two
applications to share other’s files, then the application ID must be the same for
both applications, as well as the user ID. Additionally the public key infrastruc-
ture (PKI) certificate value must be shared to be considered as one application
[27]. The paranoid network security mechanism is used to protect the network
access by keeping all kinds of network access in separate groups such as WiFi, the
Internet, and Bluetooth. Thus, if the application or process gets the permission to
access a Bluetooth, then its application ID will be added to the group access list for
Bluetooth and similarly for others. Consequently, one application can be assigned
to one or more access groups [28].
Before any application distribution, Google that manages the main play store
requires to sign the application using developers’ personal certificate to make sure
that the distributed copy is done through the right developer and no modification
can be made to the application. If the two application matches the same certificate,
Android will assign the same application ID to both applications and will access to
private files for each application [27, 28].
Relying only on the current Android security model and permission levels to
secure Android app is inefficient. Other more comprehensive security systems need
to be considered and implemented to ensure efficient detection of malware apps.
Consequently, the following sections present a reference model for Android appli-
cation’s security scanning process.

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1.4 Android application scanning framework

A reference model for Android scanning process is shown in Figure 2. This

model provides the core steps/phases vital to analyze Android apps and malware
detection. The following sections highlight each one of these phases, starting from
allocating the source of Android apps, downloading mechanisms, app’s source code
generation process, app’s features extraction, applying static and dynamic analysis,
generating datasets, detecting and classifying the app into benign or malware, and
ranking its risk if it is detected as a malware app. Moreover, the mostly used mecha-
nisms and tools utilized by researchers and developers at each process’s phase are
also presented.

Figure 2.
Android application security scanning model [29].

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

2. Android application

The app’s source and how they are downloaded are presented in this section, in
addition to the source code generation for Android applications.

2.1 App source and download

Android application collection process includes gathering APK files from

different Android marketplaces. The main application sources include Google
Play, Anzhi, and AppChina. For every potential free app, the crawler script must
ensure that the app has not been downloaded before and then calculate the app’s
hash using the SHA256 algorithm [30]. Once the app is downloaded, it can be
archived for future use. Chrome APK Downloader, a desktop version of APK
downloader tool, can be used to download the APK files of the free Android appli-
cations into desktop from Google Play marketplace [31]. For the paid applications,
the Raccoon APK Downloader can be used to download APK files from Google
Play Store [32].

2.2 Source code generation

After downloading the apps, they need to be analyzed. In order to do that, APK
reverse engineering process is required to decompile, rebuild, and convert the
Android executable code (.apk file) into an intermediate language such as Smali,
Jimple, and Jasmin [33]. The aim of reverse engineering is to retrieve the source
file from the executable files in order to apply program analysis. Unzipping the
APK files generates .dex files. By reassembling the dex files using an APK reverse
engineering tool, the Java files can be retrieved. Three of the most popular tools
that have been used in Android APK reverse engineering are Apktool, Dex2jar, and
Soot. A comparison of Android reverse engineering tools was conducted in [33].
The results showed that Apktool which uses Smali reassembled 97% of the original
code, whereas Soot which uses Jimple and Dex2jar which uses Jasmin preserve 73%
and 69% of the app’s original code, respectively.

3. Android application analysis

The process of analyzing Android apps to detect different types of malwares and
the result of such analysis in terms of datasets are illustrated in this section.

3.1 Feature extraction

Once the app’s source code is retrieved, the feature extraction process starts. The
features that are usually extracted depend on the type of malware and the analysis
mode whether static or dynamic. This will be explained in the following two sub-
sections. Table 2 lists the most commonly used static and dynamic features [34].

3.2 Static analysis

The static analysis aims to check the existence of malware by disassembling the
source code without executing the application. Tools which perform static analysis
are mainly categorized into three approaches as shown in Figure 3: (1) signature-
based detection, (2) permission-based detection, and (3) Dalvik Bytecode detec-
tion. There is some limitation which is related to each static detection approach. The

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Static features Dynamic features

Permission Network, SMS, power usage, CPU, process info, native and Dalvik memory

API calls Data packets being sent, IP address, no. of active communications, system calls

String extracted Process ID, system calls collected by strace, returned values, times between
consecutive calls

Native commands Network traffic, destination IP address

XML elements System calls collected by strace, logs of system activities

Meta data Data collected by logger, Internet traffic, battery percentage, temperature collected
every minute
Opcodes from .dex
file

Task intents

Table 2.
Most commonly used features in static and dynamic analyses [34].

Figure 3.
Existing malware detection techniques.

signature-based detection which relies on stored signatures for known malwares

does not have the ability to detect unidentified malware signatures [35]. In the
permission-based detection, the benign app could be considered, incorrectly, as a
malware due to the minor variation of the requested permissions from the original
and the malware application [30]. Finally, the Dalvik Bytecode detection, which
assists in evaluating the applications actions, consumes more resources [36]. Several
tools were discussed and analyzed in [35–41] such as FlowDroid [39], PScout [40],
and ApkAnalyser [41]. Each of the aforementioned tools focuses on one or more
features. The most generally extracted static features are the permissions [18], API
calls [42], and source code metrics [43].
Years ago, different rival static approaches have been proposed like TaintDroid
[43], DroidRanger [45], and RiskRanker [46] to detect malicious malware features.
But all of them rely on manually crafted detection patterns which may not be able to
detect new malware and come with significant device performance cost [47].
Authors in [48] proposed DREBIN as the first approach which provides
detection of Android malicious code directly on the mobile device. They used

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

static analysis in a machine learning system to distinguish malware from trusted

applications. They considered linear support vector machines for classification.
This approach, however, cannot detect runtime loaded and obfuscated malicious
applications because it relies on static analysis [47].
Yang [49] developed a prototype (AppContext) that detects malicious apps
using static analysis. They mined 633 benign apps from Google Play and 202
malware apps from various malware datasets. AppContext identifies applications
using machine learning based on the contexts that trigger security-sensitive behav-
iors (e.g., the conditions and events that cause the security-sensitive behaviors to
occur). But this approach can be evaded by dynamic code loading and consumes
huge human efforts in labeling each security-sensitive behavior [50].
Akhuseyinoglu and Akhuseyinoglu [51] have proposed an automated feature-
based static malware detection system called AntiWare for Android devices. It is
automated since it engages the machine learning method for detecting malicious
applications by using the extracted apps’ features. They took into consideration the
requested permissions and Google market data, including developer name, down-
load time, and user ratings from Google Play as a feature set. AntiWare is designed
to predict the rank of an application inquired by the user as malicious or benign and
then report the results to the user. The main disadvantages are primarily depending
on market data on Google Play and the requested permissions. The market data
is not reliable since a lot of applications are invented by different new developers
every second. Additionally, the permissions by its own are not sufficient to assess
the malicious behavior of an application.

3.3 Dynamic analysis

In dynamic analysis, the application actions are dynamically analyzed and

monitored during the execution time. The unexecuted code might be missed by this
approach, but it can effectively detect the malware behaviors which are not detect-
able by the static analysis. Since this approach occurs during runtime, it can be
performed in a controlled environment to avoid damaging the device [52].
Android dynamic malware analysis detection techniques (see Figure 3) can be
classified into [53, 54]:

• Anomaly detection: the anomaly-based detection has the ability to identify

suspicious behaviors to indicate the presence of malware. A drawback for this
technique is that it can sometimes flag a benign application as malware because
it displayed similar behaviors of malware.

• Taint analysis: it is an efficient technique that checks and monitors sensitive

information; however, a limitation is that the performance becomes very slow
rendering it useless to be applied in real time.

• Emulation-based detection: it is a detection technique, where it scans the

application behavior by simulating the conditions of its execution environment
to determine if the application is a benign or malware application from the
behavior. Similar to this technique is sandbox-based detection, but the main
difference originates from the details of designing each approach. A major
drawback for this approach is that it requires more resources.

Tam [55] applied dynamic analysis method and machine language to detect
malware. They capture real-time system calls performed by the application as key
information to discriminate between ransomware, malware, and trusted files and

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called it CopperDroid. CopperDroid runs the Android application in the sandbox

and records all system calls, in particular inter-process communications (IPC) and
remote procedure call (RPC) interactions which are essential to understanding an
application maliciousness behavior. However, some types of malware can detect the
virtual environment and act differently (as a benign) which gives false positives.
Recent research [56] dynamically classifies Android applications to malicious or
benign in the first launching of the app. The classification is applied based on the fre-
quency of system calls as an indicator of suspicious behavior. They have built a syscall-
capture system to capture and analyze the behavior of system call traces made by each
application during their runtime. They have achieved an accuracy level of 85% and
88% using the decision tree algorithm and the random forest algorithm, respectively.
Also, Wang [57] proposed a dynamic analysis to analyze an application on the fly
to detect malicious behavior. They developed a prototype called Droid-AntiRM to
identify malware applications that employ anti-analysis techniques. The prototype
identifies the condition statements in applications that could trigger the malicious
acts of malware, which are unable to be recognized by static analysis. However,
their prototype cannot handle dynamic code loading, encryption, or other various
obfuscation techniques.
Many tools have been developed based on the dynamic perspective such as
TaintDroid [44], Droidbox [58], and MobSF [59]. Additionally, some tools are consid-
ering both static and dynamic analysis in their solutions such as VirusTotal tool [60].

3.4 Ransomware detection

Unfortunately, there were very few researches studying ransomware where the
malicious app blocks access to the Android device or/and its data. In [61] the authors
presented a tool called Cryptolock that focuses on detecting ransomware by tracking
the changes in real-time user data. They have implemented the tool on Windows
platform. However, Cryptolock may send a false-positive alert because it cannot
differentiate whether the user or the ransomware is encrypting a set of files [62].
They focus on changes on user’s data rather than trying to discover ransomware by
investigating its execution (e.g., API call monitoring and access permissions).
HelDroid tool [63] was developed to analyze Android ransomware and to detect
both crypto and locking ransomwares. The tool includes a text classifier that uses
natural language processing (NLP) features, a lightweight Smali emulation technique
to detect the locking scheme, and the application of taint tracking for detecting file-
encrypting flows. The primary disadvantage of this approach is that it highly depends
on a text classifier as it assumes the availability of text. Also, it cannot be applied
to some languages that have no specific phase structure like Chinese, Korean, and
Japanese. This approach can be easily avoided by ransomware by applying techniques
such as encryption and code obfuscation [63]. Moreover, like whatever machine
learning approach, HelDroid trains the classifier in order to label an app as a ransom-
ware. The detection capability of the model depends on the training dataset [64–66].
Another work in literature exploring the ransomware detection in Android
mobiles was presented in [67]. The authors presented R-PackDroid as a static
analysis approach that classifies Android applications into ransomware, malware,
or benign using random forest classifier. The classification employed was based on
information taken from the system API packages. An advantage over the previous
approach (HelDroid) is its ability to detect ransomware regardless of the applica-
tion language. Also, it flags the applications that were recognized as ransomware
with very low confidence by the VirusTotal service. However, R-PackDroid cannot
analyze applications with a feature code that is dynamically loaded at runtime or
classes that are fully encrypted because it relies on static analysis.

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

Likewise, Mercaldo [68] focused on ransomware detection specifically in

Android. They tested a dataset composed of 2477 samples with real-world ran-
somware and benign applications. The main issue of this approach is that it is
manual and requires a lot of effort to analyze and build logic rules used for the
classification [69].
Another automated detection approach was introduced in [70] to analyze and
penetrate the malicious ransomware. They have introduced some features of static
and dynamic analysis of malware. In static analysis, malicious features can be dis-
covered with permissions, API calls, and APK structure, while malicious features in
the dynamic analysis may include access to sensitive data or sensitive paths, access
to the HTTP server, and user charge without notification and bypass permissions.
The aim was to produce a better performance apparatus that supports ransomware
detection in Android mobiles which they have designed but did not implement.
The authors analyzed one malware and listed the steps of APK analysis as a concept
but did not implement the proposed design. Therefore, there are no results that can
prove the effectiveness of their approach.
In [71], the authors experimentally presented a new framework called
DNADroid which is a hybrid of static and dynamic techniques. This framework
employs a static analysis approach to classify apps into suspicious, malware, or
trusted. Only suspicious classified applications are then inspected by dynamic
analysis to determine if it is ransomware or not. The main weakness is that dynamic
analysis is only applied to suspicious applications leaving the possibility of having
malware not successfully recognized by static analysis.

3.5 Dataset creation and utilization

Datasets are mainly in two types. The first type is the Android application
datasets. These include both benign apps and malicious apps. For the benign apps,
the majority of researchers are collecting them from the app stores like Google
Play Store [30, 37, 60]. For malicious apps, it depends on malicious behavior under
study. For example, for malware Android apps, VirusTotal was one of the main
sources for many researchers [38, 60]. For ransomware apps, HelDroid project [63]
and RansomProper project [38] were also used.
The second type is the datasets generated after extracting the app’s features. The
researchers can either use existing constructed datasets considering the features
under study or build new ones by screening the apps and extracting their features.
The main concerns regarding the use of existed datasets are (1) absence of up-to-
date apps and operating system version (2) including many duplicate samples
(3) and not being accessible. These reasons could motivate researchers to build their
own up-to-date and labeled datasets.

4. Android malware application detection and ranking

Many previous works have considered the problem of ranking Android apps
and classify them to either malware or benign apps. The majority of these solutions
have relied mainly only on the permission model and what types of permissions are
requested/used by the application. They used different ways and depth of analysis
in this regard.
The work presented in [72] studied the permission occurrences in the market
apps and the malware apps. Also, the authors analyzed the rules (a combination of
permissions) defined in Kirin [73] in order to calculate the risk signals and to reduce
the warning rates. Gates et al. in [74] have compared work presented in [72, 73],
naïve-based algorithms and two proposed methods for risk scoring. These methods
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consider the rarity of permissions as the primary indicator that contributes to rais-
ing a warning. The performance comparison was in terms of the detection rate.
The authors in [75] used similar hypotheses of listing the permissions in each
app and count occurrences of permissions in similar apps (a game category in their
case) excluding the user-defined permissions that are not affecting the privacy. In
their solution, they gave the user the choice to turn off the permission(s). In [76],
the authors used the combination of features (permissions) to compare the clean
app values with the malware values to come up with thresholds that will be used to
classify new Android apps. Within the same context, the idea presented in [77] was to
construct a standard permission vector model for each category, which can be used as
a baseline to measure and assess the risk of applications within the same category. For
each downloaded app, the permission vector will be extracted and compared with the
standard one; the amount of deviation from the baseline will calculate the app’s risk.
While discussing the approaches in the existing risk scoring systems and their
main dependency on the Android permissions, it is worth asking how many of them
have considered the involvement of the user with the scoring results and, if they
decided to involve the user, how the risk was displayed and communicated to the
user. The empirical study conducted in [78], which implemented an intensive study
on top, used permissions with a high-risk level. They calculated the risk level based
on the type of permissions and the probability they will be requested by the app.
The risk value for each permission in addition to its technical name and description
was transmitted to the users. Although a coloring code was used to indicate the level
of risk, still users are involved in technical details which will not help them to take
proper decisions regarding the apps’ installation. The work presented in [79] has
utilized fuzzy logic to measure the risk score. Also, in addition to the permissions
and their categories, they took input from different antivirus tools to calculate the
score. Their system allowed the user to upload the app’s APK through the browser and
provided them with a risk report. This report showed the risk score, permission usage
rate, and unnecessary permission usage rate in addition to the list of permissions,
their categories, and risk level. On the other hand, the authors in [80] have considered
the statistical distribution of the Android permissions in addition to the probabilistic
functions. The declared but not exploited permissions and vice versa were all consid-
ered in their risk analysis. Machine learning was also utilized to measure risk.
In terms of visualizing the permissions and their risks, the authors in [81] intro-
duced Papilio to visualize Android application permissions graphically. This helped
them to find the relations among the applications and applications’ permissions as
well. Papilio was able to find the permissions requested frequently by applications
and permissions that either never requested or requested infrequently. The authors
in [82] stressed the importance of visualizing the statistical information related to
Android permissions. Having graphical representation for the permissions’ statics
within a specific category encouraged the users to choose more often apps with a
lower number of permissions. A privacy meter was used in [83] to visualize the
permissions’ statistics through a slider bar which outperformed the existing warn-
ing system like Google’s permission screens. Visualizing app activities enhances
user’s awareness and sensitivity to the privacy intrusiveness of mobile applications
[84]. Another attempt to visualize the permissions statistics was also introduced in
[85] using lifelog analysis views in terms of risk history and app’s risk view.
From the above-related work, we can observe that the majority of the previous
solutions have mainly relied on permissions either statistically or based on prob-
ability to analyze Android apps, to classify them as malwares, and to measure their
risk level. Although permissions are important to analyze and classify Android
applications. However, these permissions should be up-to-date. Also, other impor-
tant static and dynamic metrics need to be considered to guarantee a comprehensive
evaluation and consequently an accurate detection of malware apps.
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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

There have been many types of research on designing malicious detec-

tion approaches. Such approaches resort to static analysis of the malware,
and others use dynamic analysis, while some methods utilize both static and
dynamic analyses to get better detection of a malicious incident. Moreover, the
generated datasets will be analyzed in order to detect any potential security
threats, regardless whether these datasets were constructed based on static or
dynamic tests or even both. Usually, data mining techniques could be used for
the purpose of detecting and classifying attacks [42, 52]. Moreover, intelligence
techniques could be utilized to even rank the risk by assigning the attack a risk
score [42, 86].
The scanning service might fruit in developing a mobile application that is
installed on user’s devices to examine the Android application and discriminate,
if it is a clean app or a malicious app to warn the user and protect her/his Android
device. DREBIN [87] is one of the malware detection systems available for smart-
phones. One of the major features that DREBIN provides is instantaneous malware
detection. When a new application is downloaded, DREBIN starts the analyzing
process directly. As a result, the user is protected against any unreliable sources.
Another example of anti-malware software is HinDroid [88] which has been
integrated as one of Comodo’s mobile security scanning tools. HinDroid structures
the APIs based on heterogeneous information network in order to make predictions
about the tested application. Consequently, HinDroid can reduce the time and cost
of analyzing Android apps.

5. Statistical analysis

This section presents a statistical study to show the frequency of the used
approaches, methods, datasets, and tools in the current systems. Various, related,
recent, published solutions in 2017–2018 were considered in this study.
In regard to reverse engineering tools utilized by researchers, APKtool was heav-
ily used by 54% in comparison with other tools (see Figure 4). Soot was next with
20% of usage.

Figure 4.
Reverse engineering tool usage in 2017–2018 research.

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Figure 5.
Static tool frequency in 2017–2018 research work.

Figure 6.
Dynamic tool frequency in 2017–2018 research work.

Figure 5 shows a comparison among the static tools which were utilized by research-
ers. It can be observed that 48% of the static-based systems used FlowDroid tool in their
solutions. PScout was the second most used with percentage reaching around 28%.
Dynamic analysis tool usage is illustrated in Figure 6. The majority of existing
solutions used Droidbox with 27% and TaintDroid with 24% in comparison with
other approaches. The rest of the results are shown in Figure 6.
The results in Figure 7 reveal that AndroZoo was the most used dataset in
2017–2018. The percentage of usage reached 43%. Genome and DREBIN datasets
came next with frequencies 30 and 16%, respectively.

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

Figure 7.
Dataset frequency in 2017–2018 research work.

6. Conclusions

This chapter highlighted the booming of Android technologies and their appli-
cations which make them more attractive to security attackers. Recent statistics of
Android malwares and their impact were presented. Additionally, this chapter has
provided the main phases required to apply security scanning to Android applica-
tions. The purpose is to protect Android users and their devices from the threats of
different security attacks. These phases include the way of downloading Android
apps, decoding them to generate the source code, and how this code is screened to
extract the required features to apply either static analysis or dynamic analysis or
both. The feature extraction process resulted in constructing different datasets.
Proper data analysis and data mining techniques could be applied to examine the
app and classify it as benign or malware with high accuracy. The malware detection
service could be implemented and provided in terms of a mobile application that
will communicate the scanning results to the user in a friendly way. The chapter
was concluded by presenting a statistical study that showed the most used tools and
datasets throughout the scanning process for the last 2 years 2017 and 2018.

Acknowledgements

We would like to acknowledge the Security Engineering Lab (sel.psu.edu.sa)

team and Prince Sultan University for supporting this work. Special thanks go to
Ms. Samah Alsoghyer and Ms. Aala Khayer.

Conflict of interest

The authors declare that there is no “conflict of interest” in regard to publishing

this book chapter.

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Android Application Security Scanning Process
DOI: http://dx.doi.org/10.5772/intechopen.86661

Author details

Iman Almomani1,2* and Mamdouh Alenezi1

1 Prince Sultan University, Riyadh, KSA

2 The University of Jordan, Amman, Jordan

*Address all correspondence to: [email protected]

© 2019 The Author(s). Licensee IntechOpen. This chapter is distributed under the terms
of the Creative Commons Attribution License (http://creativecommons.org/licenses/
by/3.0), which permits unrestricted use, distribution, and reproduction in any medium,
provided the original work is properly cited.

57
Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

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 Section 2

Next-Generation Optical
Access Technologies

65
Chapter 4

Deployment of PON in Europe

and Deep Data Analysis of GPON
Tomas Horvath, Petr Munster and Josef Vojtech

Abstract

This chapter discusses the extensibility of fiber to the x (FTTx) households,

specifically in the territory of the European Union. The Czech Republic has made
a commitment to other member states to provide connectivity of at least 100
Mbit/s for half of the households by 2020. Although Internet access in the Czech
Republic is mostly dominated by wireless fidelity (WiFi), this technology is not
capable of meeting the demanding current demands at a reasonable price. As a
result, passive optical networks are on the rise in access networks and in mobile
cell networks by fiber to the antenna (FTTA). Passive optical networks use much
more complex networks. In cooperation with Orange Slovakia, the analysis of
the transmitted data was conducted. The optical network unit management and
control interface (OMCI) channel data, as well as the activation data associ-
ated with specific end units, were analyzed. We propose a complete analysis
of the end-unit-related activation process, download, and initialization of the
data image for setting the end units and voice over Internet protocol (VoIP)
parameters. Finally, we performed an analysis of the transmission of dying gasp
messages.

Keywords: dying gasp, GPONxpert, OMCI channel analysis, ONU activation process
analysis, PON deployment, transmission convergence layer

1. Introduction

The optical infrastructure is essential for current applications that demand a

high bandwidth [1–3]. The International Telecommunication Union (ITU) has been
developing standards for passive optical networks (PONs) for over 20 years [4, 5].
The second most active organization in this area is the Institute of Electrical and
Electronics Engineers (IEEE) [6, 7].
Passive optical networks are currently expanding, as the European Union
(EU) has allocated budget to extend the coverage of these networks [8]. Today,
the access network is not only about transferring data streams from/to the
Internet. The popularity of Amazon TV, Netflix, and so on puts increased
demands on bandwidth. Current transmission speeds are not sufficient, and a
bandwidth of at least 100 Mbit/s in every household is still under consideration.
In the Czech Republic, the utilization of gigabit PON (GPON) standard still
dominates. However, such standard was in its first version approved back in 2003
[9]. This standard makes it possible to achieve a bandwidth of up to 2.5 Gbit/s in
full duplex mode, but the disadvantage is that the bandwidth is fully shared by

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

all end users (in theory, up to 128 customers per port). The available bandwidth
can be operatively changed in time and according to the requirements using
dynamic bandwidth allocation (DBA) algorithms [10–13]. The decreasing cost
of the necessary devices allows GPON optical line termination (OLT) to be used
more often for service providers; on the other hand, the standard in use may
not be sufficient for the future. The cost of the next-generation PON (XG-PON)
terminal units is still quite high, regardless of the OLT unit price. The price of the
technology itself is determined by the price of the optical network unit (ONU)
terminal units. The advantage of deploying next-generation networks would be
the ability to a share the transfer rate of up to 10 Gbit/s. Together with appropri-
ate DBA algorithms, the full bandwidth utilization or its adequate distribution
between endpoints would be efficiently used. GPON networks theoretically allow
us to transfer data up to 19 Mbit/s for each ONU (considered for the maximum
transfer rate and a split ratio of 1:128). XG-PON networks are limited by higher
split ratios but have higher transfer rates available. Theoretically, 39 Mbit/s can
be achieved for each ONU. In other words, the transfer rates are the maximum
possible in both GPON and XG-PON networks. Usually, the guaranteed transfer
rates are several times lower according to the use of a transmission container
(T-CONT) [14].

2. Current state of the access networks in the Czech Republic

The Czech Republic has committed itself within the European Union to ensur-
ing a transmission rate of at least 30 Mbit/s toward users by 2018 [15]. In 2020, the
next milestone is going to be to increase the downlink speed up to 100 Mbit/s for
approximately half of all households [15]. Both variables account for asymmetric
transmission rates (usually higher transmission rates in the downstream direction).
Based on [16], this “scarcity” should be eliminated by 2030. At that time, only a
symmetric variant of Internet access will be considered.
Current technologies such as asymmetric digital subscriber line (ADSL) are no
longer able to meet the previously mentioned bandwidth requirements. The plans
of the Czech Republic include a GPON or a variant of an active optical network.
As presented in [17], the formal definition for next-generation networks can be
defined as follows: next-generation networks (NGNs) are networks based on data
packet transfer technologies capable of providing electronic communications
services, allowing for the use of various high technologies that are able to manage
and control the quality of the provided services, and whose functions related to
these services are independent of basic transmission technologies. The network
provides subscribers with unlimited access to various providers of publicly avail-
able electronic communications services and consistently supports the provision of
services to subscribers at any point in the network. Additionally, next-generation
networks can be split into backbone and access networks. This work, however, deals
exclusively with access networks.
On the other hand, the Czech Republic is not entirely prepared to satisfy the
high demands on the connection speed in all locations. Based on [18], the dominant
transmission rates were mostly up to 10 Mbit/s. No significant growth of higher
transmission rates has been recorded.
In 2016, the Czech Telecommunication Office published an annual report sum-
marizing current technologies for Internet access. The associated graph can be seen
in Figure 1. Figure 1 clearly shows that the dominant technology in this area is wire-
less fidelity (WiFi) (26.8%), i.e., wireless transmission of information. The annual
report does not include the frequencies used; however, the basic frequencies in the

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DOI: http://dx.doi.org/10.5772/intechopen.82679

Figure 1.
Access technologies market share in the Czech Republic [15].

license-free band (2.5/5 GHz) can be assumed. The second technology with the
highest penetration is represented by mobile networks (23.2%). The third technol-
ogy combines all types of xDSL technologies. This area is dominated by Telefonica
O2 Czech Republic, a.s., with a penetration of 20.6%. Other xDSL technologies
only reach 3.5%. According to [16], fiber to the x (FTTx) connections at the same
value of penetration (11.9%) as cable operator UPC Czech Republic, s.r.o., currently
offers the fastest connection speed of 500/30 Mbit/s (depending on the location).
Conversely, FTTx connections depend only on the selected standard as with the
fiber to the home (FTTH) variant. FTTx connections can support transmission
rates up to 10/10 Gbit/s (depending on the number of end units connected to the
OLT control unit).
The properties of the next-generation access networks can be summarized as
follows [16]:

• providing high transmission rates for subscribers and providing reliable

services through optical networks or other comparable technologies,

• supporting a variety of advanced digital and converged services based on

Internet protocol (IP),

• providing significantly higher transmission rates in the downstream direction,

i.e., toward the user.

3. Household penetration

The current state of fiber to the building (FTTB) or FTTH connections is

generally problematic to analyze. These data are usually not freely available, and the
cost of these documents is high (on the order of thousands of dollars). A company
named IDATE has published its market research for the FTTH Council Europe
conference [19]. The outcome of the analysis for Europe clearly shows that Latvia
has the best FTTB/H (households) connection (see Figure 2). Their household pen-
etration is approximately 50.6% (25.3% are FTTH connections). Another dominant
country is Sweden, with a total penetration of 43.3% (only 8.5% are FTTH con-
nections). The total penetration for the Czech Republic is very low compared to
other countries, with a total penetration of 3.7% (only 2% are FTTH connections).
Compared to the neighboring state, Slovakia has an overall penetration of 17.7%

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

Figure 2.
Selected EU states with FTTH/B penetration [19].

Figure 3.
Selected global states with FTTH/B penetration [19].

(7% are FTTH connections, and the remaining 10.7% are FTTB connections). This
is mainly because in Slovakia, there is a very strong operator, Orange SK. Orange
SK may test the use of new technologies in this relatively small market, and if this
technology stands, it can be deployed, for example, in Orange home (formally
France Telecom) in France.
Another objective of the current FTTB/H connection analysis is to focus on
the global market (see Figure 3). Globally, the United Arab Emirates (UAE) has
a total penetration of 94.3%. This penetration is completely composed of FTTH

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Deployment of PON in Europe and Deep Data Analysis of GPON
DOI: http://dx.doi.org/10.5772/intechopen.82679

Figure 4.
Progress in FTTH/B deployments according to IDATE [19].

connections. Strong competitors for the UAE are Qatar and Singapore. Qatar has
a penetration of 81% for FTTH connections and of 9.4% for FTTB connections.
Singapore has a similar total penetration, but in a different ratio, 68% for FTTH
connections and 22.3% for FTTB connections. FTTH-only countries are Mauritius,
New Zealand, Spain, Vietnam, Portugal, Slovenia, Jamaica, Saudi Arabia, Australia,
Macedonia, Switzerland, Oman, Kuwait, Chile, Ecuador, Colombia and Angola.
The total penetration of the last 4 states does not exceed 5% [19].
The total penetration is strongly dependent on the number of individual con-
nections. IDATE focused on the analysis of the global market and the comparison
of the state of connections in buildings in four stages, December 2014, September
2015, September 2016, and September 2017 (see Figure 4). The largest increase
in connections was in Poland, with a total difference of 46%. Italy was the second
country with the largest increase in connections (35%), followed by Great Britain
and France (31%), Spain (24%), and Portugal (22%). Unfortunately, the Czech
Republic was not included in this analysis because the number of connections is
not as significant. In other words, the trend of building connections is greater in
Belarus, Norway, Lithuania, and Hungary.
A detailed view of the number of FTTB/H customers can be seen in report
[20]. The report shows that at the end of 2010, the total number of customers was
balanced across the EU28 and the commonwealth of independent states (CIS).
From a wider perspective, the EU39 reached approximately 8 million customers.
However, this difference must be attributed, in particular, to 11 other countries
that are counted in the EU39. The aligned trend between the EU28 and the CIS
was maintained until 2015. Later, the number of customers increased in the EU28,
and the previous dominance of the CIS was diminished. In September 2017, the
total number of customers was approximately 25 million, while for the CIS “only,”
it was 20.5 million. Most places for customers are connected to the provider’s
network, but there have also been new locations for housing, new towns, and
satellite residences created. During the preparation of the work, developers are
working hard to build a data infrastructure and negotiations are taking place
between Internet services providers (ISPs) and developers. EXFO defines these
connections as home passed: premises to which an operator has the capability to
connect in a service area, but the premises may or may not be connected to the
network [21].

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

4. Access networks and 5G networks

The primary determination of all technologies for xPON is evident from their
name, a passive optical (access) network. This trend continues from the original
asynchronous transfer mode PON (APON), broadband PON (BPON), GPON,
XG-PON, and the latest approved next-generation PON stage 2 (NG-PON2) recom-
mendations. The latest recommendation has become the pioneer of extending the
passive optical network to mobile customers as well. However, residential customers
with a fixed connection (flat or house) still remain the priority. With the onset of
5G technology in mobile communications, it will be necessary to reduce the area of
cells to ensure coverage of the entire territory by radio signals. This is mainly due
to the increasing permeability and diminishing cell size, so it is necessary to build
more cells that cover the same area. It is possible to divide the area according to its
antenna density into low density (<20 small cells/km2), medium density (<75 small
cells/km2), dense (<200 small cell/km2), and ultrahigh density (>200 small cells/km2).
Current long-term evolution (LTE) technology has been providing broadband data
services; however, these technologies seem to be inadequate for certain services
(virtual reality or generally the most sensitive services for low latency, such as
access to data networks of the Internet of things devices). Current customer needs
may include gigabit transmissions per second, smart home/buildings, self-driving
car, working and playing in the cloud, and 3D or UHD video. Minimal latency
requirements will be determined mainly based on data transmission within the
national network (10–200 km). The transmission delay in the current networks
ranges from 5 to 41 ms, and the delay for the access part of the network (1–10 km)
is approx. 7–12 ms. Another key factor that affects the delay is the time it takes to
process incoming requests from a data center (approximately 8 ms). The round-trip
time (RTT) of current networks is approximately 106 + 8 ms. 5G networks aim to
limit this value to 14 + 8 ms. The major merit of RTT depreciation will be to move
cloud services closer to the user. Then, the RTT will be reduced to 14 ms, which will
primarily generate a delay (7 ms) on the access technology. However, the question
remains how the operators will move the data centers closer to the customer, since
until now, a distance of 200 km a data center from the customer has been enough.
Such a distance is not sufficient for 5G networks.
Among the available technologies covering the 5G signal area, there are
technologies for access networks: G.fast, data over cable service interface specifi-
cation (DOCSIS) and NG-PON2. G.fast technology offers symmetric transmission
speeds of up to 500 Mb/s over a short distance (up to 100 m). This speed can be
increased to 10 Gb/s, but the overall system reach will be shortened. In theory,
G.fast can only be deployed in special cases, such as brownfield scenarios, to
ensure connectivity of very small cells in buildings. The basic prerequisite is the
combination of functions within the baseband unit (BBU) and remote radio unit
(RRU). DOCSIS 3.1 offers bandwidth of 10/1–2 Gb/s share per coaxial segment
(192 MHz orthogonal frequency-division multiplexing (OFDM) channels).
Full-duplex communication (current downstream and upstream) can take up to
10 Gb/s per coaxial segment. However, neither of these methods is capable of fully
serving the 5G network because the available bandwidth is shared and the com-
mon public radio interface (CPRI) does not support the lowest possible latency for
transmission.
The basic idea behind the NG-PON2 network is to provide all end stations with
sufficient bandwidth. The station shares the total bandwidth that the associ-
ated OLT unit is able to handle properly. NG-PON2 network parameters such as
distribution ratios, power levels, transfer rates, etc. are described in [22–25]. In
5G network areas, there is ultradense deployment of basic radio stations required,

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Deployment of PON in Europe and Deep Data Analysis of GPON
DOI: http://dx.doi.org/10.5772/intechopen.82679

Figure 5.
Coexistence NG-PON2 and GPON scheme with dedicated lambdas for 5G networks.

and their radiations are constrained to prevent intra- and inter-cell interference.
In general, the reach of NG-PON2 (up to 20 km from the OLT) is sufficient for
covering an acceptable number of end users and for effective usage of its coverage
(the division of covered territory into several smaller sectors/cells). The use of
access technologies for data transfers or generally for triple play has already been
noted out by ITU in [26]. Figure 5 defines a possible scheme of the NG-PON2
network for its connection to the 5G network. The connection can be realized by
dedicated wavelengths (λ). By using a coexistence element (CE), such a coexis-
tence scheme for older PON standards under the ITU recommendations can be
established. Regarding the aforementioned dedicated wavelengths, up to 4λ with a
10 Gbit/s transfer rate is considered. One disadvantage of this radio tower connec-
tion method is the custom lock method that is publicly available but is much more
complex than in the case of the IEEE network. As a result, it will be necessary to
use the conversion station to transmit the signal from the radio station toward the
end customers.

5. GPON frame structure and activation process analysis

At present, GPON is one of the most promising solutions for modern access
networks. Among other useful and important features, it provides us with triple
play services on a single optical fiber, good scalability, DBA, simple topology
management, etc. In comparison with the previous standards that only supported
transmission over asynchronous transfer mode (ATM), GPON is the first standard
that supports transmission over both ATM and ethernet technologies. In the ether-
net mode, the ethernet frames are encapsulated using GPON encapsulation mode
(GEM) and transferred inside GEM frames. As a result, some ethernet structures,
such as interpacket gap, preamble, or start of frame delimiter, are not available. For
more information, see Figure 6.
The basic GPON topology comprises the following three components: OLT,
ONU, and optical distribution network (ODN). Typically, there is/are a single/
more OLT/s in the network (depending on the preferences of the associated Internet
service provider) performing encapsulation and de-encapsulation of downstream
and upstream network traffic, respectively, for multiple end users (up to 128 end
users per port). The ONU is located at the end user’s premises and converts the
signals from the optical to the electrical domain. Finally, an ODN is composed of
the elements placed between OLTs and ONUs such as optical fibers, splitters, and
connectors.

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

Figure 6.
Ethernet encapsulation into the GEM frame [26].

Figure 7.
Interception of downstream communications.

The risk of passive interception of communications results directly from the

nature of PON communication. Downstream communication can be secured;
however, the major disadvantage is that security is only optional. A potential
attacker could, therefore, modify the firmware of an ONU and eavesdrop on all the
communication in the downstream direction [26, 27]. The traffic in this direction
can also be captured using optical radiation detectors, not necessarily an ONU
detector, so encryption of data in the downstream direction had to be introduced
[28]. However, the subsequent processing of the captured signal is an essential next
step. The situation where the modified end unit receives all frames, including those
not directly assigned to it, can be seen in Figure 7.
The previously mentioned passive interception could also occur in the upstream
direction because no security is used for the upstream communication. This type of
interception is complicated; however, it is feasible. The recommendations for use do
not define any security for this direction of communication. The reason for this is
based on the fact that it is not possible to capture the communication of other end
users in the upstream direction via the ONU, so communication is not necessary
to be encrypted. To eavesdrop on the communications in this direction, a potential

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Deployment of PON in Europe and Deep Data Analysis of GPON
DOI: http://dx.doi.org/10.5772/intechopen.82679

attacker would have to disrupt the PON optical line. This situation would, however,
affect the transmission properties of the network in question, which should be
captured by the service provider’s surveillance center. This way of interception is
therefore very unlikely [29].
The abovementioned reason resulted in the fact that no security standard has
been provided for any of the individual PON standards. In the event of encryption
of the downstream transmission, e.g., using advanced encryption standard (AES)
or other secret key-based technology, these keys would have to be sent in an unse-
cured form—plain text in the upstream direction. It was based on the assumption
that upstream communication was safe; therefore, it was not necessary to provide
any additional security [30].
The research described in [31] focused specifically on the possibilities of intercep-
tion of the communication in the upstream direction. The authors tested whether
it was possible to intercept the communication through the back reflections of the
optical signal. These reflections could be caused by a variety of commonly used optical
components, such as passive optical hubs and/or connectors. Moreover, the optical
positive-intrinsic-negative (PIN) detectors and avalanche photodiode (APD), as well as
the preamplifiers, also had an effect on capturing the communications in the upstream
direction. Testing was carried out at various ODN configurations, mainly aimed at
testing the back reflection of the optical signal. The success of the potential attacker
depended primarily on the type of connector used and the photodetector. A polished
connector (PC) was considered inappropriate in terms of network security. The angled
polish connector (APC) reduced signal reflections by virtual vertical grinding. Using an
APD connector, however, increased the probability of a successful interception of the
communicating ONU. Nevertheless, the capability of eavesdropping in the upstream
direction was not dependent on the particular bit rate; it depended mostly on the power
level of the retroreflection and the type of connector in use [31].
The following demonstrates how to intercept communication in both directions
with a specialized tool in hand. Real-time network analysis of the transmitted data
(ONU management and control interface (OMCI) channel and GEM data units for
end units) was performed. For the purpose of the demonstration, the GPONxpert
tool was used. This tool has been developed specifically for passive optical net-
works. The tool allows for the real-time analysis of ONU-ID, performance levels,
and Alloc-ID. However, a detailed analysis of the transmitted data is still necessary
to be implemented in the form of postprocessing. Although the manufacturer,
TraceSpan, also has other modifications to this device, for our purposes, the
most popular measuring device was used. The lite versions contained support for
ONU-ID analysis. The real-time analysis of levels, Alloc-IDs, and other parameters
was stored using field programmable gate array (FPGA) and sent to the device
manufacturer for the postprocessing. The manufacturer then sent the report from
the measurement back to the customer.
This work is focused on the analysis of downstream and upstream transmission
in GPON standard topology. At the start of the measurement, all ONUs search for
their associated network parameters (e.g., serial number, ONU-ID, etc.) that are
stored inside the previously mentioned GEM frames. Since the distance between
the ONUs and the OLT are different, it was also necessary to use an equalization
delay parameter that is assigned by the OLT during the activation process. For more
information, see [31, 32]. Consequently, all ONUs wait for a random period prior
to starting data transmission. In the frame of this work, data are broadcasted in
the downstream direction. In the upstream direction, time slots assigned by the
OLT are used instead. Moreover, in this work, we did not use the DBA algorithm.
Consequently, all ONUs are expected to transfer data in time slots with prespecified
start and stop times.

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

Figure 8.
GPON activation process with encryption channel establishment messages [29].

To summarize, on the one hand, this work is interested in the analysis of user
data and the activation process. However, on the other hand, the description of the
activation process is omitted, as has already been described in our previous work
[32]. Since the user plane and control plane data are transferred using GEM frames,
it is not possible to use a common packet analyzer such as Wireshark. For this
purpose, we used a GPONxpert analyzer in a standalone mode in which all data are
transferred and saved to a hard drive. Therefore, to perform a deeper inspection or
analysis, all the data must to be postprocessed. In general, the control plane data can
be divided into signaling, OMCI. First, we focused on the signaling data analysis.
When the connection is established, messages such as Assign ONU-ID, Configure
Port-ID, Assign Alloc-ID, Encrypted Port-ID, Encryption_key, key_request_mes-
sage, and Key_switching_time are transmitted three times. This, as well as a com-
plete GPON signalization, can be seen in Figure 8.
It can be seen that a physical layer operations, administrations and maintenance
(PLOAM) message, specifically the “Serial number ONU,” are transferred from the
ONU to the OLT. This message holds information such as the vendor serial number,
a list of supported data profiles, and the value of random delay of 82 μs [28]. The
OLT uses these messages to extract the serial number and allocate the associated
ONU-ID. Moreover, to minimize the impact of unequal distances among the ONUs
and the OLT, it uses unique random delays for each of the ONUs that are based on
the time between two successive “Serial number ONU” messages. As soon as the

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DOI: http://dx.doi.org/10.5772/intechopen.82679

OLT receives the ONU-ID, it sends the PLOAM message: “Assign ONU-ID.” At this
point, even though the OLT is aware of the assigned ONU-ID, it is not able to use
unicast addressing because the ONU itself still cannot recognize the ONU-ID as its
own, and therefore, broadcast addressing needs to be used (the ONU serial number
is taken as the identifier) [29]. This means that every ONU receives this message;
however, based on the comparison of the incoming and internal serial numbers,
only the targeted ONU processes the message. In Table 1, it can also be seen that
ZTE company is the final unit manufacturer. Based on hard-defined bytes in the
MAC address, the manufacturer can be checked directly using its unique label:
“0xC03B4EB4.” GPON networks supported the transfer of ATM cells; however,
in the last review in 2014, this support completely disappeared as these networks
did not find their real application. For this reason, “ATM support Disable” can also
be observed in the captured data. On the other hand, GEM support is necessary
for any GPON data transfer: “GON support Enable.” The captured data also have
a description of the signal’s power level, however, only with the following levels:
low/medium/high power.
After the OLT sends the “Assign ONU-ID” message, it consequently sends
the “Ranging request” message using the specific ONU-ID. Consequently, the
ONU is capable of using a single grant to transmit data. The OLT unit’s response
to the “Serial Number ONU” message is a PLOAM message, “Assign ONU-ID.”
This message already carries a unique identifier for the designated end unit.
From the nature of PON technology, it is clear that each end unit receives all
messages. Using the unique ONU-ID, also called a serial number (if ONU-ID is
not assigned), ONUs decide which messages to process. In this case, the assign-
ment of ONU-ID = 1, i.e., the first end unit has already been replied to. The serial
number of the unit equals “0x5A544547C03B4EB4”, the Psync field is fixed and
does not change throughout the communication. This fact is evidenced by the
other messages listed in Table 1. “Ident Superframe Counter: 499314877” speci-
fies the order of the transmitted frame/s. The ONU endpoint activation process
in the GPON network is based on the sending of specific messages three times
in a row. The second copy of the message is left for the demonstration of the
Superframe counter being incremented by 1. After that, the ONU responds with
the “Serial number ONU” message using the maximum priority T-CONT class
(i.e., urgent data). The OLT computes a new value for the equalization delay using
the “Ranging Time” message sent by the ONU. In the initial ONU report, the unit
generates a random delay of 82 μs. The control unit must virtually ensure the
same distance for all ONU end units. Each unit is located at a different distance,
different customer stores, and/or residential units or streets. Supporting up to
20 km in the distribution part allows for the entire housing estate to be connected.
The OLT sends a “Ranging request” message to specify a unique ranging time for
each ONU. For this particular message, ONUs are required to respond immedi-
ately with their ONU-IDs and serial numbers. The OLT unit repeats the “Ranging
request” message three times in total. It is important to note the second response,
where the ONU specifies the mandatory parameters such as ONU-ID, the serial
number (now omitted), and adds information about the Urgent PLOAM waiting
and Traffic waiting in type 2 T-CONTs. The individual T-CONTs represent the
distribution of traffic according to their classification by importance. T-CONT
1 responds to urgent data, i.e., data with the highest priority (e.g., voice over
Internet protocol—VoIP) and fixed bandwidth. TCONT2 + 3 transfer Internet
protocol television (IPTV) data with guaranteed bandwidth, T-CONT 4 is com-
monly used for best-effort data, and the last T-CONT5 is a mixed type including
all types of bandwidth and services. Based on the received OLT responses, the
OLT unit evaluates the assigned delay for the given ONU and sends the delay value

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

ID ONU-ID Message type Message type

2 Unassigned Serial number Vendor ID: ZTEG, Vendor SN: PLOAM

ONU ID ONU 0xC03B4EB4, Random Delay: 82 μs, ATM
Support: Disable, GEM support: Enable,
ONU TX power level: high power

117 Broadcast Assign ONU ID: 1; serial number: PLOAM

message ONU-ID 0x5A544547C03B4EB4; Psync:
0xB6AB31E0; Ident Superframe Counter:
499314877; PLOAM CRC: 142

118 Broadcast Assign Ident superframe counter: 499314878 PLOAM

message ONU-ID

120 1 Ranging Psync: 0xB6AB31E0; Ident FEC Indicator: BWmap

request 1; Ident Superframe Counter: 499315777

1 1 Serial number ONU ID: 1; vendor ID: ZTEG; vendor SN: PLOAM
ONU 0xC03B4EB4; random delay: 0

121 1 Ranging Psync: 0xB6AB31E0; Ident FEC Indicator: BWmap

request 1; Ident Superframe Counter: 499315777

2 1 Serial number Delimiter: 0xAB5983; ONU ID: 1; Urgent PLOAM

ONU PLOAM waiting: 1; Traffic waiting in type
2, 3, 4, 5 T-CONTs: 0

122 1 Ranging time Path EqD descriptor: main path EqD; BWmap
delay: 265409

125 1 Request Ident Superframe Counter: 499318309 PLOAM

password

1 1 Password Password (Hex): PLOAM

0x47433033423445423400; password
(ASCII): GC03B4EB4

126 1 Request key Psync: 0xB6AB31E0 PLOAM

4 1 Encryption Key index: 0; fragment index: 0; key PLOAM

key bytes: 0x681A055363E86213

7 1 Encryption Key index: 0; fragment index: 1; key bytes: PLOAM

key 0x62677982F890BA9C

127 1 Key switching Superframe counter: 499321133 PLOAM

time

10 1 Acknowledge DM_ID: key switching time PLOAM

130 1 Configure Activate: enable; port-ID: 1 PLOAM

Port-ID

13 1 Acknowledge DM_ID: configure port-ID PLOAM

133 1 Encrypted Port-ID: 1 PLOAM

Port-ID/VPI

16 1 Acknowledge DM_ID: encrypted port-ID/VPI; ONU PLOAM

ID: 1

136 1 BER interval BER interval: 40000 PLOAM

19 1 Acknowledge DM_ID: BER interval PLOAM

142 1 Assign Alloc-ID: 1; Alloc-ID: Type GEM payload PLOAM

Alloc-ID

22 1 Acknowledge DM_ID: assign Alloc-ID PLOAM

Table 1.
Activation process details in captured data in real GPON networks.

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Deployment of PON in Europe and Deep Data Analysis of GPON
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to the “Ranging time” message. GPON networks support so-called backup paths
and link recovery systems when an alternative route is available. The message
contains two fields: “Path EqD Descriptor: Main Path EqD” identifying the pri-
mary path and the backup path (the backup path was not available at the time of
testing; therefore, it is not included in the message). The delay value specifies the
delay for the end unit in “Delay: 265409,” but this value does not match the value
in μs. These steps set the basic communication parameters, the assigned ONU-ID,
and the equalization delay. During the measurement, secure communication was
enabled. The definition of reached states in which communication security can be
performed and the prerequisites for negotiating the key are given in [33–35]. The
entire process is started with the PLOAM message, “request password” contain-
ing “Ident Superframe Counter: 499318309.” This message requires the end unit
to respond with the same message with a password three times in a row. The
captured data contain two fields: “Password (Hex): 0x47433033423445423400”
and “Password (ASCII): GC03B4EB4.” Next, the “Request Key” message is
sent, the content of the message is not fully defined in this case; it is necessary
to respond to this message with the Encryption Key message. The “Encryption
Key” message consists of “Key Index: 0,” “Fragment Index: 0” and “Key Bytes:
0x681A055363E86213.” The sequence of these messages is followed and sent
three times in a row. In our case, a single message is not enough to deliver the
key, so another three messages are used to deliver the remaining part of it. This
fact is illustrated by the following: “Fragment Index entry: 1,” and “Key Bytes:
0x62677982F890BA9C.” The next “Key Switching Time” message should define
the start time when a new key is used that was not reached because the tool did
not detect these fields. It only detected “Superframe Counter field: 499321133.”
The start time field contents must confirm the end unit using the “Acknowledge”
message. The “Acknowledge” message contains the “Downstream Message Id: Key
switching Time” field, confirming the previous message. Next, the OLT sends the
“Configure Port-ID” message to the ONU specified by the ONU-ID. In the context
of data transmission, the ONU-ID is used for the data flow allocation in a GEM
frame. The ONU had to send the acknowledgement (ACK) messages three times
(one for each of the received messages). As visualized in Table 1, the downstream
message identification (DM_ID) contains a “Configure Port-ID” field that holds
the confirmed message’s name, and an ONU ID equaling the ONU-ID of the
end unit (in our case 1). Subsequently, the OLT checks whether the Port-ID is
encrypted. If it is not (i.e., the ONU remains in the registration process), the ONU
sends the ACK message as a response to each correctly received message. Next, the
OLT sends a “BER” (Bit Error Rate) message to specify an accumulation interval
for each of the ONUs (number of downstream frames per ONU) that is used to
count the number of downstream bit errors [29]. At this point, the ONU knows
the Port-ID. However, to establish bidirectional data communication, the Alloc-ID
is required to identify a traffic-bearing entity (e.g., T-CONT), which represents
the recipient of the upstream data allocated during the BWmap procedure [29]. It
is important to note that each ONU requires at least a single Alloc-ID that is equal
to the ONU-ID and that is not transmitted by the OLT in the “Assign Alloc-ID”
message. In this work, the following Alloc-ID was provided by the OLT: 1. The end
unit must always contain at least one ONU-ID identifier, but it may contain sev-
eral Alloc-IDs. Often, the initial Alloc-ID corresponds to the assigned ONU-ID,
which also occurred in this case. The ONU acknowledges each of the PLOAM
messages. After that, the encryption of the Port-IDs is rechecked. Nevertheless, it
should be mentioned that data encryption is optional, and in reality, many ISPs do
not use Port-ID encryption.

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

5.1 OMCI channel analysis

After the signaling phase is over, the operation, administration and maintenance
(OAM) can be transferred using the OMCI channel. In our work, the OMCI pro-
cedures begin when the OLT sends a “Get/Set request” message to the ONU. When
the ONU receives such a message, it responds with its own “Get/Set” message. In
this work, we used a single ONU, see Table 2. At this point, the crucial phase of the
OMCI analysis is the software image entity type inspection, as the ONU is to be
authorized by its own serial number against the database of the OLT (depending
on the particular ISP implementation). In the case that the OLT does not have the
record of the ONU in the database, the ONU is not allowed to download the software
image along with the configuration. On the other hand, if the record is present, the
ONU downloads the data. It is important to stress that because the ISPs may offer
different transmission speeds, functions, etc., to customers, each customer should
have his or her own distinct software image. The software image message responds
to the image data transfer used to set the parameters. The message parameters are
reported as “inactive” as they are in the initial phase of the file download. The next
analyzed message informs about the software image being valid and active. As
soon as the ONU has the software image, it is capable of transferring the customer
service support data as well as the metadata. To support VoIP telephony, which is a
QoS-demanding service, the ONU downloads an additional configuration contain-
ing information such as the type of codec, constant bit rate allocation, and T-CONT
priority. The next step is to set the parameters for VoIP service. This service is a key
service used for the highest priority end units. Their setting corresponds to the
priority operation, i.e., T-CONT1, in which a fixed bandwidth must be assigned. In
the case of most of the service providers, this value is set to 512 kbit/s. This speed

ID Type Entity

367 Get TCI priority: 1 ONU

368 Get response TCI priority: 1; result reason: command processed successfully; ONU
vendor id: ZTEG

370 Get TCI priority: 1 Software

image

371 Get response Result reason: command processed successfully; version: Software
V3R016C00S917T; is committed: uncommitted; is active: image
inactive; is valid: valid
373 Get response Is committed: committed; is active: active; is valid: valid Software
image

378 Get VOIP configuration state VOIP config

data

379 Get response VOIP configuration state inactive: configuration retrieval has VOIP config
not been attempted data

381 Get response Profile version: 00000000 VOIP config

data

400 Get all ONU DATA

alarms

401 Get all OMCI alarms received on ME—physical path termination point ONU DATA
alarms ETHERNET UNI, instance—257, LAN-LOS No carrier at the
response Ethernet UNI.

Table 2.
OMCI channel details in the analyzed GPON network.

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Deployment of PON in Europe and Deep Data Analysis of GPON
DOI: http://dx.doi.org/10.5772/intechopen.82679

Figure 9.
OMCI channel diagram for the analyzed ONU.

must be guaranteed, even though it is considerably higher than the bandwidth of the
G.711 codec (64 kbit/s). Successful reception and setting of the VoIP parameters are
indicated with the message with ID 381 “Profile version: 00000000.” In addition to
the previously mentioned OMCI channel procedures that take place on the side of
the ONU, there are also procedures on the side of the OLT: channel synchronization,
verification, alarm indication, FEC monitoring, and so on, see Table 2. In summary,
by analyzing the OMCI channel data, we performed active monitoring of the alarms
of the distribution network. As seen in the “Get all alarms” message (ID: 400), the
end-point ONU has reported a message signaling a failure on the Ethernet port.
In the case of OMCI channel measurement, it would be possible to summarize
the transferred software image data, ONU data and the VoIP configuration file, see
Figure 9.
A special case of the activation process is the message sequencing that can be
seen in Table 3. This part of the activation is not mandatory for end units but is the
last deactivation process aimed at the previously allocated parameters, most often
the ONU-ID. This occurs when there is an immediate power outage. In the case of
charged capacitors, the end unit sends a “Remote Error Indication” message. The
message indicates that the ONU encountered an error. In the context of our experi-
ments, this particular message was sent six times in total. When detecting a certain
number of errors, most commonly defined by the manufacturer of the control unit,
a “Dying Gasp” message follows. This message is dedicated to informing the control
unit about an end unit failure, i.e., the loss of communication. The critical param-
eter of this message is the ONU-ID. After receiving such a message, the control
unit sends the PLOAM message, “Deactivate ONU-ID,” that causes this identifier to
be released and consequently be reused by another end unit within the activation
process. The PLOAM message is sent three times. Other parameters are discarded
as internal timers have expired and communication/synchronization has not been
restored in the downstream direction.

ID ONU-ID Message type

1 1 Remote error indication Sequence number: 3

6 1 Remote error indication Sequence number: 8

7 1 Dying gasp ONU ID: 1

9 1 Dying gasp ONU ID: 1

59 1 Deactivate ONU-ID Ident superframe counter: 498791449

60 1 Deactivate ONU-ID Ident superframe counter: 498791451

Table 3.
Dying gasp PLOAM message details after the ONU lost power supply.

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

6. Conclusion

According to its grant policy, the European Union should contribute to

building high-speed networks in the member states. This chapter introduced
the state of the art in the field of Internet access technologies in the Czech
Republic. The Czech Republic, as a member of the European Union, has com-
mitted to building high-speed Internet access for at least half of the households
by 2020. Current market research has shown that WiFi technology is still
dominant in the Czech Republic. The Czech Republic is behind the trend in
FTTH/FTTB high-speed fiber optic connections by up to 10 and 5% for FTTB
and FTTH, respectively.
The key part of this chapter is dedicated to the analysis of data transmitted
in the GPON network. In cooperation with the Internet service provider Orange
Slovakia, an active capture of transmitted data on the network was performed.
As soon as the activation process of the end unit was completed successfully,
data communication in both directions in GPON networks was possible. On
the one hand, the sequence of the associated messages was defined by ITU-T
Recommendation G.984, but on the other hand, it was only a recommendation
and the specific implementation was fully within the manufacturer’s competen-
cies. Even though the end units were supposed to preserve the frame structure
and the transmitted messages, as a result of the previously mentioned facts, it was
often the case that the different manufacturers’ end units were not compatible
among themselves. Within the context of our analysis, TraceSpan’s GPONxpert
tool was used to capture network data. This device allowed for active listening
of communication and real-time evaluation of its parameters. Detailed data
analysis was a necessary form of postprocessing. To present the result of the
activation process analysis, a sequence of key messages ensuring the activation
of the end unit was displayed. Using these messages, it was possible to read the
manufacturer and serial number of the end unit, set parameters such as ONU-ID
and Alloc-ID. The OMCI channel provided end user parameters for a defined set
of services, most often by downloading a profile image file corresponding to paid
services and speeds. According to the reports, it was obvious that the VoIP param-
eters were also set.
Transmission of “Dying Gasp” messages was a special case of the activation
process, or the logout and release of allocated parameters of the associated end
units. These messages reflected a power outage of these units. Because the end
units had unique UNU-ID/Alloc-ID parameters, the same parameters were used
for other end units in the event of a power failure occurring in an already activated
unit.

Acknowledgements

The presented research has been supported by a project of the Ministry

of the Interior under grant no. VI20172019072, “E-infrastructure CESNET-
modernization,” registration no. CZ.02.1.01/0.0/0.0/16 013/0001797, and the
National Sustainability Program under grant no. LO1401. For the research, the
infrastructure of the SIX Center was used.

Conflict of interest

The authors declare no conflict of interest.

82
Deployment of PON in Europe and Deep Data Analysis of GPON
DOI: http://dx.doi.org/10.5772/intechopen.82679

Notes/thanks/other declarations

Tomas Horvath would like to dedicate his part to his girlfriend (Lucie Baierova)
and his family (Dagmar, Jan, and Petra). They have supported him during his
University study. He also would like to give thanks to Ales Buksa for his support at
the University. Ales has taught and inspired him with many things in his personal
life.

Author details

Tomas Horvath1,2*, Petr Munster1,2 and Josef Vojtech2

1 Department of Telecommunications, Brno University of Technology, Brno,

Czech Republic

2 Department of Optical Networks, CESNET a.l.e., Prague, Czech Republic

*Address all correspondence to: [email protected]

© 2019 The Author(s). Licensee IntechOpen. This chapter is distributed under the terms
of the Creative Commons Attribution License (http://creativecommons.org/licenses/
by/3.0), which permits unrestricted use, distribution, and reproduction in any medium,
provided the original work is properly cited.

83
Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

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Chapter 5

Research of M-PAM and

Duobinary Modulation Formats
for Use in High-Speed WDM-PON
Systems
Toms Salgals, Inna Kurbatska, Sandis Spolitis,
Vjaceslavs Bobrovs and Girts Ivanovs

Abstract

The exponential growth of Internet data traffic and progress of Information and
Communication Technology (ICT) sector pushes hard the telecommunication infra-
structure for upgrading the transmission data rate. Wavelength division multiplexed
passive optical networks (WDM-PONs) can be the next generation solution for nowa-
days problems which are related to transmission capacity. Next-generation WDM-PON
systems based on mixed wavelength transmitters are expected to become more cost-
efficient at high per user data rates, e.g., over 10 Gbit/s per channel. Important advan-
tage of this technology is to set various channel spacing and use different modulation
formats to increase spectral efficiency in the same time and provide different trans-
mission speeds for end user, based on pay-as-you-grow approach. Therefore, several
modulation formats like non-return to zero (NRZ) also called 2-level pulse-amplitude
modulation (PAM-2), four level PAM or PAM-4 and Duobinary (DB) are investigated
to understand their limitations, advantages and disadvantages to be further used in
next generation PON systems to increase its capacity and spectral efficiency.

Keywords: wavelength division multiplexed passive optical network (WDM-PON),

non-return to zero (NRZ), four level pulse-amplitude modulation (PAM-4),
duobinary (DB), capacity, spectral efficiency

1. Introduction

The exponential growth of Internet data traffic and progress of Information and
Communication Technology (ICT) sector pushes hard the telecommunication infra-
structure for upgrading the transmission data rate [1]. Power and cost-efficient fiber
optical access networks, like passive optical network (PON) and short-range fiber
optical links are one of the key technologies enabling bandwidth hungry services like
video on demand (VoD), high definition TV, and cloud computing supported by large
scale high-performance computers and data centers. Such optical links typically use
direct detection and on-off keying modulation (OOK) with NRZ line code. Today’s
challenge for optical access networks and data centers is to increase the serial line rate
of a NRZ link meeting the requirements to the physical bandwidth of the photonic
and electronic components like optical signal modulators and photodiodes [2].

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Solution for telecommunication infrastructure upgrade and alternative solution for

increase of the serial line rate of the NRZ link is to use multi-level signaling formats
such as pulse-amplitude modulation (PAM), abbreviated as PAM-M or M-PAM, where
multiple digital bits per symbol are encoded into M different signal amplitude levels.
The four-level PAM modulation format is receiving significant attention because of
its relative ease of implementation in comparison to higher-order modulation formats
like quadrature phase-shift keying (QPSK), and m-ary quadrature amplitude modula-
tion (m-QAM). It is clear that M-PAM offers a good trade-off between performance
and complexity. Usage of PAM-4 format is effective way to double the data rate of
NRZ link. Previously PAM-4 modulation formats have been investigated for applica-
tion with traditional electrical networks [3, 4], but now researchers are focused on
investigation of PAM-4 and M-PAM modulation formats for utilization in optical
access networks as well as data center interconnections [5]. Also, there are very limited
number of studies which are focused on spectrum slicing and stitching back method,
which deals with bandwidth bottleneck problem by slicing the broadband signal in
lower-bandwidth signal slices. This spectrum slicing and stitching back method or
technique allows transmission of wide bandwidth signals from the service provider
to the end user over an optical distribution network via low bandwidth equipment
[6, 7]. It is ideally suited for cost sensitive fiber optical access networks where vari-
able bandwidth and scalability as well as flexibility are important. It must be noted
that this method is investigated for intensity modulated direct detection NRZ-OOK
and duobinary systems, but there are no investigations on its usage together with
M-PAM systems [8, 9]. It must be noted that multi-level signaling also changes some
rules, which were used in NRZ coded transmission systems. For M-PAM systems it is
important to implement more complex and precise level threshold detection for signal
inputs, also signal-to-noise (SNR) requirements are higher than in case of NRZ. Eye
time skew, amplitude compression in lower eye diagram eyes, intersymbol interfer-
ence for M-PAM systems also is an issue which must be investigated. So, we can say
that PAM-4 links are new science—still learning what impairments create errors in
receivers [10, 11]. Significant efforts have been put on investigation of PAM-4 format
in fiber optical transmission networks, however there are following aspects, which
have not been studied or have been studied insufficiently. High-level PAM modulation
techniques, like PAM-4, can dramatically improve the spectral efficiency and available
bitrate by using the bandwidth of already existing optical, electro-optical or electrical
devices. Minimal available channel spacing (which has direct impact on the utiliza-
tion of resources like optical spectrum), maximal available number of channels, by
wavelength division multiplexing (WDM) technique, maximal transmission distance
(network reach) in dispersion compensated and non-compensated M-PAM modu-
lated WDM-PON optical access systems.
Another way to improve capacity of limited bandwidth is by using duobinary
modulation format. Transmission capacity will be increased in comparison with
NRZ, utilization of DB will increase the transmission capacity by improving the
bandwidth efficiency and reducing channel spacing with this modulation format
[12]. Duobinary modulation format is type of proficient pseudo-multilevel modu-
lation format, and therefore is the area of interest due to its increased spectral
efficiency. It has been already used to increase the channel capacity by improving
the bandwidth utilization in commercial links. The most important feature of
duobinary modulation format is its usage for longer transmission distances where it
has high tolerance to the influence of chromatic dispersion (CD) [13].
At first, in the paper we investigate the performance and minimal channel interval
of 10 Gbit/s per channel NRZ-OOK (which is basically PAM-2) modulated transmission
system, then we investigate PAM-4 and raise the transmission speed up to 20 Gbit/s per
wavelength and in the end compare it to NRZ and duobinary modulation formats.

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2. Evaluation of various channel spacings for increasing spectral

efficiency of WDM-PON transmission system

At the moment passive optical networks have been standardized to next-

generation NG-PON2 accordingly to ITU-T G.989.2 recommendation standards and
are widely investigated. Operators are widely deploying time-division multiplexing
(TDM) based passive optical networks in urban areas with bitrates up to 10 Gbit/s,
but WDM-PON’s still are in stage of research [14, 15].
The ITU-T G.694.1 recommendation provides a frequency grid for (WDM)
transmission systems and specifies inter-channel intervals. The same frequency
grid or channel spacing is used for spectral effectiveness improvement of PON
system in our research. Anchored to 193.1 THz (central channel frequency), it sup-
ports a variety of inter-mediate channel spacings ranging from narrowed 12.5 GHz
to 100 GHz and wider. Depending on the selected step of the inter-channel interval
are defined the following abbreviations and acronyms:

WDM—wavelength division multiplexing.

CWDM—coarse wavelength division multiplexing.
DWDM—dense wavelength division multiplexing.

There are two types of inter-channel interval definitions in (WDM) systems:

Fixed inter-channel interval (fixed grid).

Flexible inter-channel interval (flexible grid).

According to ITU-T G.694.1 rec. the minimum step of a fixed channel interval is
12.5 GHz (please see Table 1). The flexible channel step is half of the 12.5 GHz, that
can be used for the inter-channel interval like 6.25 GHz. Reducing the inter-channel
interval leads to increase of crosstalk and non-linear effects (NOE) of transmitted
optical signal [16–18].
For research of spectral efficiency increasing, the experimental 2-channel
NRZ-OOK modulated 10 Gbit/s bit rate per channel transmission system model
was created for Next-generation WDM-PON systems based on tunable wavelength
transmitters, please see in Figure 1. First step of the research is based on various
channel spacing impact on the end user transmitted signal with following fixed
10 Gbit/s transmission speed per channel.
As one can see in Figure 1. transmitter (Tx) part of our investigated transmis-
sion system model consists of two continuous wave (CW) laser sources—Agilent
81949A, with fixed central frequency 193.1 THz or 1552.524 nm in wavelength, and
COBRITE DX-1 laser with tunable central frequency, which can be set the neces-
sary channel spacing. Agilent 81949A continuous wave laser source was connected

Table 1.
Nominal central frequencies grid of the DWDM grid [17].

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

Figure 1.
2-Channel NRZ-OOK modulated optical transmission system with 10 Gbit/s transmission speed per channel
and flexible channel spacing.

to the 40G intensity Mach-Zehnder (MZM) modulator, COBRITE DX-1 laser light
source was connected to the second MZM intensity modulator. Both laser sources
were used with minimal output power +9 dBm for Agilent 81949A and +6 dBm for
COBRITE DX-1. To provide the same level of optical power for both optical chan-
nels, after the PHOTLINE 40G MZM, an optical attenuator of 3.05 dB insertion loss
was additionally attached to the modulator’s optical output. Pulse Pattern Generator
(PPG) with Pseudo random bit sequence (PRBS9) was used for generation of NRZ
coded electrical signals. The external 10 GHz clock signal generator was used in this
experiment for as a clock signal source for PPGs. Two electrical PPG non-inverted
RF data signal outputs were connected to each of MZMs electrical signal inputs. The
data rate for each of the PPGs was 10 Gbit/s throughout the experiment.
ITU-T G.652 standard single mode fiber (SSMF) with dispersion coefficient of
16 ps/(nm × km), and 0.2 dB/km attenuation coefficient was used in optical distri-
bution network. Depending of SSMF fiber span length (20 or 40 km), an Erbium
doped fiber amplifier (EDFA) with additional gain was used to provide sufficient
optical power level before the PIN photoreceiver.
At the receiver part (Rx), the incoming optical signal was divided by 50% power
splitter with 3.5 dB insertion loss. One output of optical power splitter was con-
nected to the optical spectrum analyzer (OSA). Second output of power splitter
was connected to the optical band pass filter (BPF) OTF-350 with a tuned 35 GHz
3-dB bandwidth. After BPF filter, fiber Bragg grating dispersion compensation
module (FBG DCM), with 3 dB insertion loss was connected for post-compensation
purposes of chromatic dispersion (CD). To avoid the maximum optical input opti-
cal power level rating of +3 dBm before the 10G PIN photoreceiver (PD) a monitor-
ing power splitter with a power ratio of 10–90% and power meter was used. First
channel was filtered out by using optical BPF. As one can see in Figure 2(a), optical
spectrum with central channel frequency 1552.560 nm (193.096 THz in frequency)

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Figure 2.
Central channel spectrum of 2-channel NRZ-OOK modulated optical transmission system with 10 Gbit/s per
channel: (a) after BPF and (b) measured amplited frequency response of BPF.

Figure 3.
Simulation scheme of 2-channel NRZ modulated optical transmission system with 10 Gbit/s transmission speed
per channel with flexible channel interval.

is slightly shifted relative to ITU-T G.694.1 rec. Grid central frequency of 193.1 THz.
By obtained results from the optical spectrum analyzer (OSA), the BPF pass band is
Δλ = 0.280 nm equal to 35 GHz, where λ0 = 1552.564 nm and λ1 = 1552.424 nm.
An eye analyzer was used for measurements of received electrical signal quality.
The eyes of received signals for both channels were open, therefore leading to error
free transmission. As the eye pattern analyzer for quality measurement use special
masks to determine if the signal is above or below necessary quality. We continued
our research in OptSim simulation environment by creating relevant simulation
model and using the previously obtained experimental data.
For more precise expected Bit-error-rate (BER) values of received signal the
simulation model was created in OptSim simulation software environment. The
model used BER estimator based on statistical signal analysis. As one can see in
Figure 3, simulation scheme implemented in OptSim simulation software for BER
measurements has the same setup as experimental system. In the OptSim simula-
tion environment, it is necessary to perform the assembly of used electrical-optical
components in order to repeat the 2-channel NRZ-OOK modulated 10 Gbit/s per
channel transmission system to research impact of various channel spacings.
According to ITU-T G.694.1 rec., see Table 2, during the experiment, the inter-
channel interval for transmission system was changed from 100 GHz to 25 GHz. We
started the experiment at a 20 km long fiber ODN distance with 100 GHz channel
spacing. Firstly, the measurements was carried out without the chromatic disper-
sion (CD) post-compensation, at 20 km fiber link. For transmission over 20 km
fiber span we observed negligible chromatic dispersion impact on 10 Gbit/s signal,
received signal is mainly insignificant impact of dispersion [19].
The 12.5 GHz channel spacing interval was not obtained in this step of research.
The reason for that was too wide filter pass-band, as a result photoreceiver captured

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Table 2.
Experimentally used channel interval according to ITU-T G.694.1 rec.

Table 3.
Channel spacing dependence on the channel interval.

both channels simultaneously. They did not appear on the Eye Analyzer because
it was not possible to synchronize between the transmitter and receiver. After
obtaining the results at fixed inter-channel intervals from 100 to 25 GHz, the
smallest inter-channel interval at which transmission is possible was found. The
step used to search for the inter-channel interval is 6.25 GHz and half of the found
step 6.25/2 = 3.125 GHz. Result of channel spacing impact was obtained from chan-
nel with fixed central frequency of 193.1 THz = 1552.524 wavelength corresponding
to the laser source used by Agilent 81949A. Our transmission system has only two
channels, it is not possible to choose a central channel, both channels have mainly
the same effect of crosstalk. The channel interval was changed by changing the
central wavelength of the second CW laser source with 6.25 and 3.125 GHz step.
Instead of experiment for 2-channel NRZ-OOK modulated optical transmission
system with 10 Gbit/s transmission speed per channel previously calculated flexible
channel interval was used in our research, please see Table 3.
Fiber optical transmission system made by the optical components affected by
various factors caused by higher attenuation mentioned in specification insertion
loss. To create same simulation model in OptSim simulation software environment,
it was necessary to adapt model optical elements of the actual loss. In Figure 4. we
can see BER estimated from the data obtained in OptSim simulation according to
different channel intervals.
The BER threshold of 10−9 for our investigated transmission system was used
to evaluate maximal crosstalk impact between the channels. According to the

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Figure 4.
BER dependence on the channel interval for a 20 km long 2-channel NRZ-OOK modulated optical
transmission system with 10 Gbit/s transmission speed per channel.

Figure 5.
Comparison of experimental and simulative results: eye diagrams of 20 km 2-channel NRZ-OOK modulated
optical transmission system with 10 Gbit/s transmission speed per channel without CD post-compensation:
(a) 100 GHz channel spacing, (b) 50 GHz channel spacing, (c) 25 GHz channel spacing, (d) 100 GHz channel
spacing in the environment of OptSim, (e) 50 GHz channel spacing in the environment of OptSim, and
( f) 25 GHz channel spacing in the environment of OptSim.

obtained results channel interval effect up to 30 GHz can be evaluated, higher than
used value of BPF filter. Deterioration of the BER used for channel interval less
than 30 GHz in our research, can be explained by adjacent channel overlapping. At
20 km long SSMF fiber optical link minimal channel spacing was achieved ensuring
BER < 10−3 threshold at 25 GHz. In Figure 5, we can see experimental and theoreti-
cal (simulation data) eye diagrams of received signal for second channel with 100,
50 and 25 GHz channel spacing crosstalk impact, please see Figure 5.
In second part of our research the length of ODN was increased from 20 to
40 km, by adding 20 km SSMF fiber span. The effect of chromatic dispersion was
observed in upgraded transmission system. Fiber Bragg grating dispersion compen-
sation module (FBG DCM) with −640 ps/nm was used for dispersion compensa-
tion. The BER value exceeded our defined BER threshold of 1x10−9 at 31.25 GHz
channel spacing according to the obtained results of OptSim simulation software.
By performing experiment, the 31.25 GHz inter-channel spacing was the last inter-
val at which mask testing with eye diagram analyzer for received eye diagrams was

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

Figure 6.
Comparison of experimental and simulative results: eye diagrams of 40 km 2-channel NRZ modulated optical
transmission system with 10 Gbit/s transmission speed per channel with CD post-compensation: (a) 50 GHz
channel spacing, (b) 31.25 GHz channel spacing, (c) 25 GHz channel spacing, (d) 50 GHz channel spacing in
the environment of OptSim, (e) 31.25 GHz channel spacing in the environment of OptSim, and ( f) 25 GHz
channel spacing in the environment of OptSim.

Figure 7.
Comparison of experimental and simulative results: eye diagrams of 40 km 2-channel NRZ modulated optical
transmission system with 10 Gbit/s transmission speed per channel without CD post-compensation: (a) 50 GHz
channel spacing, (b) 31.25 GHz channel spacing, (c) 25 GHz channel spacing, (d) 50 GHz channel spacing in
the environment of OptSim, (e) 31.25 GHz channel spacing in the environment of OptSim, and ( f) 25 GHz
channel spacing in the environment of OptSim.

Figure 8.
BER dependence on channel interval for a 40 km 2-channel NRZ-OOK modulated optical transmission system
with 10 Gbit/s transmission speed per channel.

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possible [20]. By obtained experimental and simulation results it can be concluded

that the model of optical transmission created in the simulation environment
corresponds to the experimental fiber optic transmission system. Channel overlaps
at 40 km long fiber section, with use of dispersion compensation, see Figure 6 and
without dispersion compensation see Figure 7. Results, with BER below our inter-
channel interval, please see Figure 8.
Our defined BER threshold of 1 × 10−9 was exceeded at the 31.25 GHz channel
interval where the BER of received signal was 7.4 × 10−11.

3. Evaluation of PAM-4 modulation format use in WDM-PON systems

In our research we investigated the 4-channel 10 Gbaud/s (20 Gbit/s) per chan-
nel PAM-4modulated WDM-PON access system with minimal allowable channel
spacing, which has a direct impact on the utilization of resources like optical spec-
trum. The research was made with and without fiber chromatic dispersion (CD)
fiber Bragg grating compensation module (FBG DCM). We evaluate system per-
formance and found the maximal transmission distance for multichannel PAM-4
modulated WDM-PON transmission system operating at 20 Gbit/s per channel.
In OptSim simulation software we created transmission system model to evaluate
the performance of 4-channel PAM-4 modulated WDM-PON transmission system
operating at 10 Gbaud/s or 20 Gbit/s per channel under the condition with BER
threshold of 10−3, by use of Reed Solomon (RS 255,223) forward error correction
(FEC) code for 10 Gbit/s PONs [21, 22]. The theoretical FEC relationship restores
1.1 × 10−3 pre-FEC BER to a 10−12 post-FEC in the PON standards. As it is shown
in Figure 9, the PAM-4 modulated WDM-PON simulation scheme was created in
OptSim simulation software environment. Here the Matlab software was used for
BER estimation of received PAM-4 signals. WDM-PON simulation model consists
of 4 channels, with central frequency 193.1 THz for second channel and chosen 50
or 100 GHz, according to the previously mentioned ITU G.694.1 rec. According to
our previously channel interval research of flexible channel spacing like 37.5 and
25 GHz also was realized. However, the quality of received signal was low, with
crosstalk impact and error-free transmission was not possible, performance was
above our defined BER threshold 1 × 10−3.
We evaluated the performance of WDM-PON architecture in terms of maximal
transmission reach. Optical line terminal (OLT) is located in central office (CO) and
consists of four transmitters (OLT_Tx). Each OLT_Tx transmitter consists of two
pseudo-random bit sequence (PRBS) generators and NRZ drivers, as a result two

Figure 9.
Simulation scheme of 4-channel PAM-4 modulated WDM-PON transmission system operating at 10 Gbaud/s
per wavelength.

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

electrical signals are generated where one of them has twice larger amplitude than
other for each particular electrical signal. An electrical coupler is used to couple
both electrical signals in such a way generating electrical PAM-4 signal. Afterwards,
additional electrical filters were used for ensuring of optimal system performance.
Generated PAM-4 signal was send to external MZM with 3 dB insertion loss and
20 dB extinction ratio. Continuous wavelength (CW) laser with linewidth of
50 MHz and output power of +3 dBm is used as the light source [23].
Optical signals from four transmitters are coupled together by using optical
coupler with 1 dB insertion loss. Chromatic dispersion pre-compensation by FBG
DCM, with additional 3 dB insertion loss is realized for all channels before launch-
ing optical signal in ITU-T G.652 single mode fiber (SMF), used for transmission
in optical distribution network (ODN). After transmission in ODN, all channels
are separated by arrayed waveguide grating (AWG) demultiplexer which insertion
loss is 3.5 dB. Here we applied various channel spacings—50 or 100 GHz (3-dB
bandwidth is 20 GHz) for research of the crosstalk impact. Each receiver of optical
network terminal (ONT) consists of PIN photoreceiver (sensitivity is −19 dBm for
BER of 10−12). An optimal electrical Bessel low-pass filter (LPF) with bandwidth
(3-dB bandwidth is 7.5 GHz), was adopted for more successful system performance.
An electrical scope was used for evaluation of received signal bit patterns quality,
accordingly, eye diagrams.
As it is shown in Figure 10(a) in B2B configuration for first investigated
100 GHz channel spacing, the signal quality is good, eye is open and error-free
transmission can be provided. After 59 km transmission which was the maximum
transmission distance without use of FBG DCM, the BER of received signal was
7.5 × 10−4, please see Figure 10(b). Dispersion compensation FBG DCM module
was implemented to evaluate transmission distance in terms of maximal reach. As
it is shown in Figure 10(c) by using this technique of FBG DCM, the maximum
achievable transmission distance 74 km was reached, where BER of received signal
was 9 × 10−4. Extra 15 km or 25.4% of link length was gained.
Therefore, basis on our research data we can conclude that narrower channel
spacing for 4-channel PAM-4 10 Gbaud/s WDM-PON system is 50 GHz. As it is
shown in Figure 11(a) in B2B configuration for second investigated 50 GHz chan-
nel spacing, the signal quality is good, eye is open and error-free transmission can
be provided. After 58 km transmission, which was the maximum transmission
distance without use of FBG DCM, the BER of received signal was 8 × 10−4, shown
in Figure 11(b). In our research we show the eye diagrams of received signal for
the second channel, the drop in BER performance can be explained by the impact
of crosstalk between channels. Dispersion compensation FBG DCM module was

Figure 10.
Eye diagrams of received signal (a) after B2B transmission, (b) after 59 km transmission without use of CD
pre-compensation, (c) after 74 km transmission with use of CD pre-compensation for 4-channel 20 Gbit/s per
channel PAM-4100 GHz spaced WDM-PON transmission system.

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Figure 11.
Eye diagrams of received signal (a) after B2B transmission, (b) after 58 km transmission without use of CD
pre-compensation (c) after 72 km transmission with use of CD pre-compensation for 4-channel 20 Gbit/s per
channel PAM-4 50 GHz spaced WDM-PON transmission system.

implemented to evaluate transmission distance in terms of maximal reach. As it is

shown in Figure 11(c), by using this technique of FBG DCM, the maximum achiev-
able transmission distance was 72 km, with BER of received signal 5.5 × 10−4. Extra
14 km or 24% of link length was gained.
It was shown, that maximal transmission distance with BER below FEC limit
of 10−3 for 100 GHz spaced 4-channel PAM-4 WDM-PON system can be increased
by 15 km or 25.4% by use of implemented FBG DCM. In case of 50 GHz channel
spacing, maximum transmission system reach can be increased by 14 km or 24% by
use of FBG DCM.

4. Evaluation of PAM-4, NRZ and duobinary modulation formats

performance in WDM-PON system architecture

In case of research we improve our previously made 4-channel PAM-4 WDM-

PON system simulation model capacity by increasing number of multilevel chan-
nels and implement the use of different modulation formats in terms of system
performance by maximal achievable reach. Several modulation formats have been
proposed in the past and have become standards. In this research are investigated
several modulation formats for use in WDM-PON architecture-based system, like
NRZ, PAM-4 and duobinary (DB). Alternative solution instead widely used direct
detection on-off keying modulation format NRZ-OOK with physical bandwidth
limitations is to use more spectrally efficient multi-level formats such as PAM-4
[24, 25]. Another way to improve the bandwidth efficiency and reduce channel
spacing is by using duobinary modulation format [12]. The most important feature
of this multi-level modulation format duobinary is a viability of usage for longer
transmission distances without regeneration with high tolerance to chromatic
dispersion CD influence. As we know duobinary is used to increase the channel
capacity by improving the bandwidth utilization [13].
The goal of our created 8-channel 20 Gbit/s per channel WDM-PON simulation
model evaluate maximum transmission reach using different modulation formats,
discussed previously in this paper like NRZ, PAM-4 and perspective duobinary
modulation format. As it is shown in Figure 12 the 8-channel WDM-PON simula-
tion scheme with different optical transmitters (Tx) located in CO Optical Line
Terminal (OLT_Tx) part for each modulation format realization are shown.
According to ITU-T G.694.1 rec. Frequency with grid central frequency of 193.1 THz
and channel spacing of 50 and 100 GHz are chosen for research of crosstalk impact
on modulation formats under research [26].

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

Figure 12.
Simulation scheme of 8-channel 20 Gbit/s transmission speed per channel PAM-4, DB and NRZ modulated
WDM-PON optical transmission system.

In first simulation model PAM-4 transmitter is designed like previously, from

two 10 Gbit/s NRZ coded electrical data signals (where one of them has twice larger
amplitude), by coupled together with electrical coupler. Coupled PAM-4 electrical
signal filtered with electrical Bessel low-pass filter (3-dB bandwidth is 10 GHz) and
send to external MZM [21].
Second simulation model duobinary transmitter was realized with 20 Gbit/s bit
rate per channel. Data source element with pseudo random bit sequence (PRBS) has
only one logical output, where the output signal is divided in two signals. One of
those signals is inverted by logical NOT element. Afterwards each data signal sent
to NRZ drivers and filtered by Bessel low-pass filters (3-dB bandwidth is 5 GHz).
Each NRZ coded electrical signal is passed to inputs of dual-arm MZM, at the end
forming the DB transmitter [27].
Third simulation model NRZ transmitter consists of one NRZ driver with
electrical signal input of data source with PRBS sequence. Afterwards NRZ coded
data signal are directly connected to MZM RF signal input.
Following fixed parameters of optical and electrical elements was used: continu-
ous wavelength (CW) laser output power + 6 dBm, extinction ratio 20 dB and 3 dB
insertion loss of MZM, ITU-T G.652 SSMF with dispersion coefficient 17 ps/
(nm × km), dispersion slope 0.056 ps/nm2 × km and 0.2 dB/km attenuation coeffi-
cient [28]. Bandwidth of electrical LPF filters has been adjusted for optimal perfor-
mance of each modulation format and have not been changed during research.
Each receiver consists of 40 GHz PIN photodiode with sensitivity equal to
−19 dBm at 10 Gbit/s reference bit rate, dark current of 10 nA and responsivity of
0.8 A/W [29]. An electrical LPF filter bandwidth was adopted at receiver side for
more successful system performance depending on the used modulation format.
During the simulations LPF bandwidth of 15 GHz was chosen for PAM-4 modulated
signals, and 10 and 17 GHz for DB and NRZ modulated electrical signals.

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Figure 13.
Eye diagrams of received (a) PAM4, (c) DB and (e) NRZ signals after B2B transmission, and after maximal
reached transmission distance: (b) 50 km with PAM-4, (d) 62 km with DB, ( f) 27 km with NRZ modulated
signals for 8-channel 20 Gbit/s per channel WDM -PON transmission system.

The BER threshold of 10−3 with additional FEC was used for our investigated
WDM-PON transmission system to compare performance in terms of maximal net-
work reach for PAM-4, DB, NRZ modulated optical signals. During the simulations
it was observed that maximal achievable distance has minimal crosstalk impact on
BER for all modulation formats, which was negligible, depending on our chosen
channel spacing.
As it is shown in Figure 13(a, c and e) in B2B configuration for narrowest
investigated 50 GHz channel spacing, the signal quality is good, eye is open
and error-free transmission can be provided. After transmission the BER of
received DB modulated signal with maximum reached distance of 62 km was
3.7 × 10−4. PAM-4 and NRZ modulated signals shows 50 km and 27 km maximal
reached transmission distance, where BER of received signal was 5.8 × 10−4 and
3.1 × 10−4, please see Figure 13(b, d and f ). The largest network reach with BER
below defined threshold, was provided by DB modulation format, extending the
reach of 62 km.

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

5. Conclusions

Nowadays the WDM-PON systems rely on fixed wavelength transmitters and are
expected to become more cost-efficient at high per user data rates. It was examined
that different types of optical modulation formats are available for passive WDM
fiber optical access networks. Implementation and research of multilevel modula-
tion formats like PAM-4 and duobinary can dramatically improve the spectral
efficiency and available bitrate by using the bandwidth of already existing optical,
electro-optical or electrical devices. Theoretical simulations and experimental
research methods showed possibility to double the available transmission speed
in optical access networks by using the same bandwidth, e.g., instead of 10 Gbit/s
transmit 20 Gbit/s signal by using 10 GHz electrical and electro-optical equipment,
if PAM-4 modulation method is used. In our research we investigated existing
optical modulation formats—widely used NRZ, DB and PAM-4 for optical access
networks, by experimentally demonstrating and modeling system transmission
in RSOFT OptSim simulation environment and Matlab software. As it shown by
simulation results, narrowest channel spacing provides higher spectral efficiency.
However, better signal quality and system performance are achieved with larger
channel spacing interval, e.g., 100 GHz, mainly due to crosstalk between channels.
From experimental data we can clearly see that the chromatic dispersion limits
transmission capacity when bit rates increase. Implementation of the efficient com-
pensation solution may sufficiently extend the reach of optical link and improve the
transmission quality in our investigated WDM-PON systems.

Acknowledgements

This work has been supported by the European Regional Development Fund
within the Activity 1.1.1.2 “Post-doctoral Research Aid” of the Specific Aid
Objective 1.1.1 “To increase the research and innovative capacity of scientific
institutions of Latvia and the ability to attract external financing, investing in
human resources and infrastructure” of the Operational Programme “Growth and
Employment” (No. 1.1.1.2/VIAA/1/16/044).

Author details

Toms Salgals*, Inna Kurbatska, Sandis Spolitis, Vjaceslavs Bobrovs

and Girts Ivanovs
Institute of Telecommunications, Riga Technical University, Riga, Latvia

*Address all correspondence to: [email protected]

© 2019 The Author(s). Licensee IntechOpen. This chapter is distributed under the terms
of the Creative Commons Attribution License (http://creativecommons.org/licenses/
by/3.0), which permits unrestricted use, distribution, and reproduction in any medium,
provided the original work is properly cited.

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Chapter 6

Mitigating Turbulence-Induced
Fading in Coherent FSO Links:
An Adaptive Space-Time Code
Approach
Ojo O. Adedayo, Oluwafemi B. Ilesanmi,
Ogunlade M. Adegoke and Ajibade Adedayo

Abstract

Free space optical communication systems have witnessed a significant rise in

attention over the last half a decade owing largely to their enormous bandwidth
and relative ease of deployment. Generally, free space optical communication sys-
tems differ in their detection mechanism as various detection mechanisms are being
reported, including intensity modulation/direct detection FSO, differential FSO
and coherent FSO. In this chapter, we explore the prospect of obtaining an opti-
mally performing FSO system by harnessing the cutting-edge features of coherent
FSO systems and the coding gain and diversity advantage offered by a four-state
space-time trellis code (STTC) in order to combat turbulence-induced fading
which has thus far beleaguered the performance of FSO systems. The initial
outcomes of this technique are promising as a model for various visible light
communication applications.

Keywords: free space optical communication, space-time trellis code, turbulence,

coherent detection

1. Introduction

Telecommunication is one of the most important innovations in the history of

mankind as it affords people the opportunity to communicate rapidly and reliably
over long distances, often breaking physical and geographical barriers to make the
world a global village as it is known today. One of the key ingredients in the heart of
communication technologies over the last century is wireless communication. The
advent of RF wireless communication techniques and protocols has been instru-
mental to the giant strides made in the communication domain as it eliminates the
cumbrous requirement of lengthy wired connections, a requirement which has
often been a great limitation for wired communication systems.
RF wireless communication systems enjoyed significant attention and penetration
but soon became a victim of its success as more and more contents are demanded by
users due to the proliferation of data, video, gaming and general broadband multi-
media. These demands have prompted communication system engineers to explore

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

more efficient, faster and reliable wireless communication techniques. To this end,
free space optical (FSO) communication has been a viable solution [1].
Free space optical communication is a communication technology that employs
light as carrier by modulating baseband information with optical carriers often
from laser beams through free space to the receiver [2]. The path of connection
between FSO transmitters and the receivers are known as FSO links. Even though
the very first optical system dates back to the eighteenth century, modern FSO
communication systems were first widely deployed by the National Aeronautics
and Space Administration (NASA) and have since become a promising broadband
wireless access technology. FSO communication systems are also being combined
with standard RF systems in order to form hybrid communication systems that
harness the unique features of RF and FSO communication systems to enhance
performance, capacity and reliability.
Characteristically, FSO communication systems are highly secure as they have
high immunity to interference with the use of secure point-to-point line-of-sight
links, they require no licensing or regulatory permission, and they are fast and can
be easily deployed and operated compared to other systems like the fiber optic
systems [3]. These features make FSO communication the favored option for the
provision of high-speed links for a variety of next generation optical applications
including broadcast, security, wireless backhaul at a data rate as high as 40 Gbps
[4], fiber backup and last mile communication [5]. Finally, the ease of setup and
cost effectiveness of FSO systems have made them the preferred option for restor-
ing connection in case of disaster.
However, the performance of FSO communication systems are greatly affected
by turbulence-induced fading [6–12], and different investigations are currently
being explored to address this challenge. The inhomogeneity of the temperature and
pressure of the atmosphere causes local variations in the refractive index as light
propagates from the transmitter to the photoreceptor; these variations degrade the
performance of FSO links significantly.
Geared towards the improvement of the performance of coherent FSO commu-
nication systems in the presence of atmospheric turbulence, this work examines the
error reduction schemes currently being employed for FSO links and presents an
adaptive space-time trellis code (STTC) scheme for coherent FSO links.

2. Free space optical communication: types and variants

In terms of reception technique, however, the most commonly reported variants

of FSO communication systems are the direct detection/intensity modulated
(IM/DD) FSO system and the coherent FSO system. The IM/DD FSO communica-
tion systems convey the information to be transmitted only on the intensity of the
emitted light, and the receivers simply decode the information as the light changes
in intensity. In coherent FSO communication systems, however, other signal prop-
erties such as phase and frequency may be employed in conveying the information.
At the receiving end, as against simply observing changes in light intensity as in the
case of IM/DD FSO systems, coherent FSO communication systems, first, mix the
received field optically with a local oscillator before the actual photodetection. So
far, more works on the IM/DD FSO communication system are being reported in
literature owing to its simplicity of detection as less complex receivers and algo-
rithms are required. Coherent FSO systems, though more complex, however, offer
superior performance in terms of improved receiver sensitivity and background
noise rejection [13].
Finally, in terms of communication range, FSO communication systems can be
characterized into short-range, medium-range, long-range and inter-terrestrial FSO
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systems depending on the application for which they are deployed, and these
applications include inter-chip communication, inter-vehicular communication,
metropolitan area communication as well as satellite and space exploration.

3. FSO system and channel models

Concerted efforts being expended by researchers in the quest of effectively

modeling the FSO channel are geared towards understanding the channel and
serving as the template upon which FSO modulators, demodulators, receivers and
other devices can work. Accurate mathematical models for FSO communication
system are the basis upon which the development of high-performing hardware is
established, despite huge technical challenge of turbulence-induced fading. This
challenge is however being addressed using various techniques as summarized in
Figure 1.
In the wavelength diversity schemes, the source information is encoded into
different wavelengths obtainable from different constituents of the infrared
spectrum.

4. Turbulence models

One of the most crucial steps in the attempts to mitigate the degradation in the
performance of optical communication systems is accurate modeling of the
atmospheric turbulence under different conditions. Below are some of the
irradiance functions presented in terms of probability distribution functions.

4.1 Lognormal distribution

The lognormal distribution is one of the most widely employed for weak atmo-
spheric turbulence distribution. Here, the irradiance value received at the receiver
follows the distribution [9]
!
1 ðln a þ 2σ x Þ2
f A ðaÞ ¼ � �21 exp � (1)
2a 2πσ 2x 8σ 2x

where μx is the mean value of fading and σ 2x is the fading covariance.

Figure 1.
Some turbulence mitigation techniques in FSO systems.

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

4.2 K-distribution

The K-distribution turbulence model is often used to describe strong

atmospheric turbulence conditions (non-Rayleigh sea clutter). For K-distribution
atmospheric turbulence model, the probability distribution function pðIÞ is
expressed as [14]

2α α�1
� pffiffiffiffiffi�
pðIÞ ¼ ðαIÞ 2 K α�1 2 αI , I > 0, α > 0 (2)
ΓðαÞ
K m ð∙Þ ¼ modified Bessel function of second kind and order m:

4.3 Negative exponential distribution

Negative exponential turbulence model is employed for saturated turbulence

cases where the probability distribution function of the received irradiance value is
expressed as [15]
� �
1 �I
pðIÞ ¼ exp , I0 > 0 (3)
I0 I0

where I0 denotes the mean irradiance.

4.4 Gamma-gamma distribution

The gamma-gamma model is very commonly used in FSO communication liter-

atures because it is applicable for a wider range of turbulence conditions. In com-
parison with measured data, gamma-gamma distribution is effective in describing
weak to strong atmospheric turbulence conditions. The PDF is expressed as [16]
αþβ
� pffiffiffiffiffiffiffiffi�
e GG ðhÞ ¼ 2ðαβÞ h 2 �1 K α�β 2 αβh
2 αþβ
fH (4)
ΓðαÞΓðβÞ

where K v ðxÞ is the modified Bessel function of the second kind and α and β are
the turbulence parameter.

5. Space-time trellis coded coherent FSO

The essence of space-time trellis encoder is to employ mapping functions which

are representatives of their trellis diagrams to map binary data to modulation
symbols. We design and evaluate the performance of space-time trellis code with
two transmit antennas for FSO channel. In order to simplify the design and yet
ensuring that there is no jeopardy to the intended MIMO configuration, we repre-
sent, for the two transmit antennas, the input bitstream c as [17]

c ¼ ðc0 ; c1 ; c2 ; …; ct ; …Þ (5)

where ct , at any instant t denotes a group of two information bits expressed as

� �
c1 ¼ c1t ; c2t (6)

As shown in Figure 2, the encoder, made up of feedforward shift registers,

converts the input bit sequence into a sequence of modulated signals

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x0 , x1 , x2 , …, xt , …, where each element xt of this sequence is the space-time symbol

at a given time t.
The output xit of the encoder for the ith transmitter at time t is expressed as [19]
m vk
xit ¼ ∑ ∑ g kj, i ckt�j Mod 2, i ¼ 1, 2 (7)
k¼1 j¼0

Space-time code (STC) leverages on the features of both time diversity and
space diversity to combat turbulence-induced fading in wireless communication
systems. RF wireless systems in particular have witness an explosion of interest in
the use of space-time coding to improve communication system performance in
terms of error control and turbulence mitigation, and FSO communication systems
are also witnessing a lot of interest in using this same tool for similar purpose.
In this chapter, we present an adaptive four-state space-time trellis coded
coherent FSO system with two transmit lasers, as illustrated in Figure 3. Firstly, the
error correction performance of the system is complemented by the interleaver, a
mechanism put in place to distribute the burst errors—an effect of deep fade, onto
different codeword lengths.
Denoting the average SNR as γ, we take the received signal matrix for each
codeword C as [20]
pffiffiffi
R¼ γ CH þ Z (8)

where H and Z are the channels and noise matrices, respectively, and H is
modeled in terms of the uniformly distributed channel gain phase ϕμv and the
channel gain amplitude aμv as [20]

Figure 2.
STTC encoder [18].

Figure 3.
Space-time trellis coded FSO communication system.

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

½H�μv ¼ aμv ejϕμv 1 ≤ μ ≤ 2, 1 ≤ v ≤ N (9)

We begin our analysis using the pairwise error probability (PEP), which is the
probability
� that the � decoder erroneously decodes a transmitted STTC codeword C
as C0 ¼ c00 …c0T�1 . Then, assuming a gamma-gamma fading distribution as
portrayed in Eq. (4), we represent the conditional PEP as [5]
0sffiffiffiffiffiffiffiffiffiffiffiffiffiffi1
γd2 ðEÞA
Pe ðEjHÞ ¼ Q @ (10)
2

where
� �
d2 ðEÞ ¼ tr HH EH EH (11)

Now, writing a matrix B and its constituent elements as

� �
b11 b12
B¼ ∗ (12)
b12 b22

and by equating B with the positive semi-definite matrix EH E and comparing the
elements thereof, where E represents the error matric in the decoding of the
codewords and ð∙ÞH denotes the Hermitian transpose function, we write the
asymptotic pairwise error probability of the systems as [21]
� � ��N � �
πa2h Γ2 ð2μÞF μ; μ; 1; ξ2 Γ 2μN þ 21 γ �2μN
PEP ¼ pffiffiffi � � (13)
2 π ðb11 b22 ÞμN Γð2μN þ 1ÞΓ2N μ þ 21

where the Gaussian hypergeometric function F ð∙Þ is readily computed by using

specialized computing functions from libraries of most engineering computing
applications or by using fast-converging series [20] as

�t t � �� t � �2
2þn�1
∞
2
F ; ; 1; ξ ¼ ∑ ξn (14)
2 2 n¼0 n

The function Γ in Eq. (13) is a function of the channel parameters α and β; these
parameters may be obtained through the Rytov variance, which in turn is a function
of the refractive index, the transmission path length between the transmitter and
the receiver and the optical wave number [22].
With proper modifications of the values of ξ, Eq. (13) and by extension,
Eq. (14), could be modified for general case as well as specific non-orthogonal
space-time codes for coherent free space optical communication system. We lever-
age onto this feature to introduce an adaptive orthogonality controller which adjusts
its parameters to any STC supplied thereby not merely eliminating the orthogonal-
ity condition as presented in [21] but effectively introduces additional flexibility to
the coding scheme.
Readers are to note, however, that several space-time code designs reported for
IM/DD FSO communication systems cannot be simply employed for coherent FSO
communication systems. This caveat is due to the peculiarities inherent in coherent
FSO systems. In addition to this, it should also be noted that in this work, it is
assumed that the transmit lasers simultaneously illuminate the receivers with the
receivers far away enough from the transmit lasers to assume independent and
identically distributed (iid) fading gain.

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6. Results and discussion

In this section, the results of the space-time code technique for mitigating
turbulence-induced fading in coherent FSO communication systems are presented.
Free space optical systems often face the challenge of fading as well as pointing
error, and the effect of the latter has been well addressed [23]. The performance of
the link under gamma-gamma turbulence is investigated for two transmit lasers,
first, with two receivers and then four and six receivers, respectively, as shown in
Figure 4. Apart from the reduction of the average bit error rate with increase in
SNR values, the result shows that at low average SNR, the average performance of
the link under the turbulence condition for the different number of receivers are
relatively close. However, the difference in performance becomes apparent at
higher SNRs as evidenced from SNR 20 to SNR 38.
Although gamma-gamma distribution have been well reported as suitable for
modeling weak turbulence as well as strong turbulence scenarios, for the sake of
analysis, we employ the values α ¼ 3:0 and β ¼ 2:7. The choice of these values is

Figure 4.
Performance of coherent FSO link with different receivers.

Coding scheme Modulation Detection type SNR (dB) References

scheme

STBC OOK IM/DD — [24]

STC variant—no additional PPM IM/DD 0 ≤ SNR ≤ 30 [25]

constellation extension

STBC OOK IM/DD with — [26]

maximum
likelihood (ML)

Alamouti-type STC OOK and Coherent detection Additional 3 dB loss [27]

PPM and IM/DD relative to BPSK

STTC — IM/DD 0 ≤ SNR ≤ 90 [28]

Extended Alamouti STC with PPM IM/DD 0 ≤ SNR per bit ≤ 30 [29]
turbo coding

STTC QPSK Coherent detection 0 ≤ SNR ≤ 35 This work

Table 1.
Some coding schemes employed for FSO links.

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

informed by their popularity in literature as the performance of this work is com-

pared with earlier works in this domain, many of which employed the gamma-
gamma distribution parameter above.
FSO communication systems vary in their reception mechanisms as well as
modulation techniques. Many works have employed OOK, PPM and QPSK or a
combination of these modulation schemes all in a bid to mitigate turbulence-
induced fading in FSO links. A few of these works and their corresponding features
in comparison to this work are presented in Table 1.
Even though the efficiency of space-time codes for turbulence mitigation or
error correction in intensity modulated/direct detection FSO systems remains
inconclusive in literature, we establish that space-time coding—adaptive space-time
trellis codes as in the case of this work, together with inherent potentials of coherent
reception for FSO systems—remains a promising solution for free space optical
communication systems.

7. Conclusion

For coherent free space optical communication links, we explore the space-time
approach to mitigating turbulence-induced fading which thus far remains a serious
performance degrading factor for FSO systems. Additionally, as an effort geared
towards realizing the promising potentials of coherent free space optical communi-
cation systems, we propose an adaptive orthogonality controller for seamless
deployment of space-time codes for coherent free space optical communication
systems.

Author details

Ojo O. Adedayo1*, Oluwafemi B. Ilesanmi2, Ogunlade M. Adegoke1

and Ajibade Adedayo1

1 Department of Electrical Electronic and Computer Engineering, College of

Engineering, Afe Babalola University Ado-Ekiti (ABUAD), Ado-Ekiti, Ekiti State,
Nigeria

2 Department of Electrical Electronic Engineering, Faculty of Engineering, Centre

for Research in Electrical Communication (CRECO), Ekiti State University,
Ado-Ekiti, Ekiti State, Nigeria

*Address all correspondence to: [email protected]

© 2019 The Author(s). Licensee IntechOpen. This chapter is distributed under the terms
of the Creative Commons Attribution License (http://creativecommons.org/licenses/
by/3.0), which permits unrestricted use, distribution, and reproduction in any medium,
provided the original work is properly cited.

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Mitigating Turbulence-Induced Fading in Coherent FSO Links: An Adaptive Space-Time Code…
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Chapter 7

Spatial Light Modulation as a

Flexible Platform for Optical
Systems
Cátia Pinho, Isiaka Alimi, Mário Lima, Paulo Monteiro
and António Teixeira

Abstract

Spatial light modulation is a technology with a demonstrated wide range of

applications, especially in optical systems. Among the various spatial light modula-
tor (SLM) technologies, e.g., liquid crystal (LC), magneto-optic, deformable mir-
ror, multiple quantum well, and acoustic-optic Bragg cells, the ones based on liquid
crystal on silicon (LCoS) have been gaining importance and relevance in a plethora
of optical contexts, namely, in telecom, metrology, optical storage, and microdis-
plays. Their implementation in telecom has enabled the development of high-capac-
ity optical components in system functionalities as multiplexing/demultiplexing,
switching and optical signal processing. This technology combines the unique light-
modulating properties of LC with the high-performance silicon complementary
metal oxide semiconductor properties. Different types of modulation, i.e., phase,
amplitude or combination of the two, can be achieved. In this book chapter, we
address the most relevant applications of phase-only LCoS SLM for optical telecom
purposes and the employment of SLM technology in photonic integrated circuits
(PICs) (e.g., field-programmable silicon photonic (SiP) circuits and integrated SLM
application to create versatile reconfigurable elements). Furthermore, a new SLM-
based flexible coupling platform with applications in spatial division multiplexing
(SDM) systems (e.g., to efficiently excite different cores in MCF) and characteriza-
tion/testing of photonic integrated processors will be described.

Keywords: spatial light modulator (SLM), liquid crystal silicon (LCoS) SLM,
optical transforms, computer-generated holography (CGH), photonic integrated
circuits (PICs), spatial division multiplexing (SDM)

1. Introduction

There has been significant growth in the required capacity of the telecommunica-
tion systems, which can be attributed to the proliferation of mobile devices, band-
width-intensive applications, and services [1–3]. As a result, a significant increase in
the broadband connections as well as the related multimedia traffic on a yearly basis
[4–6] has been progressing. Moreover, the traffic explosion has been one of the chal-
lenges being faced in telecommunication systems [2, 7]. Also, it has been observed
that the traditional electronic media which are based on copper are unable to meet the
system requirements majorly in terms of bandwidth and latency [5, 8–10].

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

To address the challenges, optical fiber-based transport systems have been

employed in different fields of communication systems as viable and reliable
solutions. The widely employed optical transport systems are based on single-mode
fiber (SMF). To enhance the capacity of single-core SMF, advanced modulation
formats and wavelength division multiplexing (WDM) are normally employed.
However, the growing demand for further video/image storage capacity and the
increase in cloud service adoption, which is as a result of numerous smartphones
and other Internet-based gadgets, have led to research on solutions for effective
bandwidth optimization [11, 12]. This is due to the fact that the conventional SMF-
based transport systems have been observed to be approaching Shannon’s limit [13]
and the achievable maximum capacity will not be sufficient to support the envis-
aged massive connection demanded by the next-generation networks [5, 14–16].
Besides the capacity that is expected to be saturated around 100 Tbit/s owing to the
physical limits, the conventional SMF schemes with WDM might be unable to meet
the power consumption, spatial efficiency, and cost requirements of the communi-
cation systems [16, 17].
There has been considerable attention on multicore fiber (MCF) as a feasible
solution capable of addressing the capacity limit of a conventional SMF-based
scheme [15, 18, 19]. For effective implementation of MCF, the research community
has been working diligently on improved cost-efficient and scalable networking
infrastructure solutions. A notable optical transport scheme that can exploit the
space dimension in order to address the optical system capacity crunch and improve
the system performance is spatial division multiplexing (SDM) [19]. Moreover, it
has been observed that MCF is an efficient and main enabling technology for the
SDM systems [16, 18]. Apart from the MCF, SDM implementation for multimode
fiber (MMF) has also been attracting significant attention [17, 18]. Nevertheless, the
MCF implementation is susceptible to and can be constrained by the transmission
impairments such as nonlinearities and inter-core cross talk (XT) between signals
at the neighboring cores that may be presented via multiple optical paths. This may
have a significant effect on the system performance regarding the transmission range
and the network size [16, 17]. Furthermore, the extent of the presented performance
degradation by the transmission impairments varies with the MCF fiber types (i.e.,
3-core, 7-core, 13-core, 19-core, 37-core, and 61-core) [16, 20]. A practical solution
for addressing the MCF implementation challenges is spatial light modulation.
Spatial light modulators (SLM) can be employed for exciting different cores and/
or modes in order to mitigate the transmission impairments introduced by multiple
optical paths, as it enables arbitrary removal or addition of channels with the aid
of software, i.e., implementation of a diffractive optical element by computer-gen-
erated holograms (CGH). Due to the SLM support for dynamic reconfiguration of
optical wave fronts, it can be employed for core and mode multiplexing and demul-
tiplexing [5, 21, 22]. In addition, the use of silicon photonic (SiP) onboard trans-
ceivers that are coupled on the MCF for supporting transmissions has been shown to
be promising. This is due to the fact that there is no need for fan-in/fan-out or core
pitch conversion devices that may give rise to further system complexity [16].
Optical communication evolution has brought about the emergence of improved
photonic integrated circuits (PICs) that present economic and sustainable alterna-
tive to data transmission [9]. Therefore, it is expected to be an enabling technology,
capable of contributing significantly in a number of fields [8]. As a result, various
benefits are offered, such as small weight and volume, low power consumption,
high mechanical and thermal stability, and the ease of assembling a number of
complex systems.

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PIC can be generally characterized as a multiport device with an integrated

system of optical elements such as attenuators, modulators, multiplexers, detectors,
lasers, and optical amplifiers that are embedded in a single chip using a waveguide
(WG) architecture [23]. However, it has been observed that optical component test-
ing is very challenging and time-consuming as well [24]. This can be attributed to
the required tight three-dimensional (3D) alignment tolerances, to ensure accurate
light coupling. Hence, with notable development and growing adoption of PIC in
the communication networks, advanced methods are imperative for an accurate PIC
performance testing as well as characterization. As aforementioned, based on the
support for dynamic reconfiguration of light, SLM can be employed for optical PIC
testing and characterization, by exploring this feature in the feeding and/or receiv-
ing the optical signal into the PIC [8, 23].
In this chapter, we focus on the most pertinent applications of phase-only liquid
crystal on silicon (LCoS) SLM for optical telecom purposes and the employment of
SLM technology in PIC, e.g., field-programmable silicon photonic circuits and inte-
grated SLM application to create versatile reconfigurable elements. Furthermore,
a new SLM-based flexible coupling platform for applications in SDM systems and
characterization/testing of photonic processors will be presented.
In Section 2, SLM working principle and their applications in telecom are
addressed in more detail. The applied methodology (i.e., algorithms and experi-
mental setup) to create a diffraction optical element through the implementation
and optimization of CGH is described in Section 3. In Section 4, discussion on
the obtained results from the experimental implementation of CGH for SDM
and PIC applications is presented. An overall conclusion regarding the employ-
ment of the SLM technology as a flexible platform for optical systems is provided
in Section 5.

2. Spatial light modulator (SLM)

Optical signal processing has been providing relevant solutions to convert data
into spatially modulated coherent optical signals with SLM devices, allowing the
effective implementation of digital holograms [25]. One of the most useful proper-
ties of the hologram is its ability to control phase and amplitude of light in the far
field. The Fourier transform describes the relationship between a hologram (near
field) and its corresponding replay field (far field). The far field can be formed at
the focal point of a positive lens or an infinite distance from the near field plane in
free space [25, 26], as depicted in Figure 1.
Holograms can reproduce waveforms from an existing object. With digital
advances and optical signal processing, it is possible to numerically calculate
interference patterns to generate completely synthetic wave fronts of arbitrary
form. These interference patterns can have different denominations, such as CGH,
diffractive optical elements (DOE), phase/amplitude masks, diffractive grating,
etc. [26]. All operate in the principle of diffraction, so it is somehow an arbitrary
choice of terminology.
The SLM is a device that can be used to modulate light in accordance with a
fixed spatial (pixel) pattern and can be programed electrically. Usually, it can
be exploited for incident light phase and/or amplitude control. Subsequently,
phase-only, amplitude-only, or the combination of phase-amplitude can be read-
ily realized with SLM. There are a number of modulation mechanisms that can be
employed. One of the attractive and widely used ones is electro-optical SLM. The

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

Figure 1.
Diagram of a Fourier transform through a positive lens. A complex design pattern (diffractive optical element
(DOE)) is provided to the SLM to generate the expected hologram in the replay field ( far field).

modulation material of electro-optical SLM is liquid crystal. Similarly, a liquid

crystal SLM has a microdisplay being employed for the incident light modulation
and collection. This can be realized in a transmissive form using a liquid crystal
display (LCD) SLM technology or in a reflective form with LCoS SLM technol-
ogy. One of the leading features of the modulators is in the liquid crystal molecule
alignment. Typically, this can be either vertical, parallel, or with twisted formation.
Consequently, with suitable polarizing optics, this influences the incident light
beam properties that can be effectively changed, i.e., amplitude, phase, or their
combination [8, 23, 27].
It should be noted that the common hologram generation techniques can-
not arbitrarily modulate the beam phase and amplitude concurrently [26, 27].
Therefore, it is unrealistic to basically address the desired pattern inverse Fourier
transform into the far field and replicate the resulting amplitude and phase
distribution directly on the SLM. As a consequence, the employment of optimiza-
tion algorithms is highly recommended for evaluating the best potential hologram
within the device constraints, e.g., the best pixel distribution in which each pixel
will be able to take only one of two states that correspond to a 0 or π phase shift
[23, 26].
The nematic LCoS technology is a type of SLM with phase-only modulation
capability. Moreover, it is an electrically addressed reflection modulator category
in which a direct and accurate voltage controls the liquid crystal and the light
beam wave front can be modulated as well [28, 29]. An example of an LCoS SLM is
illustrated in Figure 2 [23]. The LCoS SLM can be employed as a diffractive device
for reconstructing images from CGH [30].
CGH can be employed for different communication purposes and has been gain-
ing application in indoor visible light communication systems [31]. Furthermore,
suitable holograms can be readily generated by employing a variety of optimization
techniques such as iterative Fourier transform algorithm (IFTA) [5, 32–34]; linear
Fourier transform (i.e., linear phase mask) [5, 18, 23, 35]; simulated annealing [36];
and Gerchberg-Saxton algorithm [37]. The employment of the SLM as a diffractive
device for reconstructing images from CGH permits the light beam wave front to be
modulated [8, 23].
As aforementioned, LCoS displays have been gaining significant recognition
as promising microdisplays for various types of SLM applications. Similarly, they
possess attractive and significant features like very high spatial resolution and

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Figure 2.
LCoS SLM Pluto phase modulator from Holoeye© 2018 Holoeye photonics AG.

light efficiency [38]. Due to this, they have been applicable in a plethora of opti-
cal contexts such as communication, reconfigurable interconnects [39], storage
[40], diffractive optics [41], metrology [42], and quantum computing [43]. They
are also applicable in the wave shaper technology for optical signal processing and
monitoring [44]. In addition, other advantages of the LCoS are that it is highly
cost-effective and can as well be flexibly programmed. This helps in supporting a
number of additional functions like group delay ripple compensation, wavelength
filtering, and chromatic dispersion compensation. Besides, it can aid in ensuring
variable attenuation for individual wavelength channels as well as output ports.
Consequently, LCoS device offers a cost-effective and promising solution for the
wavelength selective switch (WSS) [40].
The LCoS microdisplay SLM has a good implementation history in the WSS
systems. Its employment in the WSS system core component can be attributed
to a number of advantages such as larger spatial bandwidth, more port avail-
ability, and enhanced resolution, as well as the system miniaturization. The WSS
systems have been exploited in the reconfigurable optical add/drop multiplexers
(ROADM) in WDM optical networks. It has been observed that ROADM is one
of promising schemes that can be employed to improve on the traffic capacity
of the existing and future telecommunication systems [40, 45]. Moreover, in
communication networks, the ease of adding or dropping the wavelength is
essential. They can ensure effective information access or rerouting to another
appropriate path in the network. It should be noted that WSS is the ROADM
sub-system that has been extensively employed in optical switch applications.
In addition, microelectromechanical systems (MEMS) [46] and WSS based on
LCoS [47] have been commercialized for different applications. Also, WSS by
means of LCoS operates on the principle of “disperse and select,” in which the
inward bound WDM channels are dispersed into a distinct wavelength channel
and subsequently relayed by LCoS through programmable grating patterns.
This is in an attempt to facilitate an add and drop function. It is envisaged
that the next-generation ROADM will hold different attractive features such
as directionless, colorless, and contentionless in order to improve the system
performance [40].
Furthermore, LCoS technology can also be employed in flex grid that has
been considered as the major feature for the next-generation networks [40, 48].
It should be noted that the traditional fixed grid with 50 GHz spacing standard-
ized by the International Telecommunication Union (ITU) Telecommunication
Standardization Sector (ITU-T) possesses a number of challenges. The fixed grid
has been observed to bring about the optical spectra being inefficiently used.
Besides, it constrains the system transmission capacity considerably. On the other
hand, the flex grid implementation enables the use of different modulation formats

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and their coexistence on a shared infrastructure. They can also be densely and effi-
ciently multiplexed which aids the optical networks, not only to extend the reach
but also the per channel bit rate. It has also been envisaged that implementation of
WSS and SDM will significantly help further in extending the network reach and
capacity [40].

3. Methodology

The adopted methodology to implement the SLM flexible platform for optical
systems can be subdivided into two main sections: (i) the algorithms employed
for the CGH generation and optimization methodology (in Section 3.1) and (ii)
the SLM framework setup implementation with application in SDM systems and
characterization/testing of PIC (in Section 3.2).
The framework ability to improve the overall alignment process and excite
different cores of a MCF, can provide a valuable contribution for the impairment
mitigation of the system optical path, which can relax digital signal processing
(DSP) equalization requirements of the SDM system [5, 18, 22, 34, 49].
Furthermore, its use as a flexible platform for feeding photonic integrated
processors was also explored for the characterization/test of PICs, and results have
been presented for its implementation as a parallel implementation of the Haar
transform (HT) image compression algorithm [8, 18, 23].

3.1 CGH pattern establishment

Holography is a 3D-based display system that comprises exploiting diffraction

and interference for recording and reconstructing optical wave fronts. Moreover,
computer-generated holography is an effective technique that is appropriate for
a broad variety of displays such as two-dimensional (2D), volumetric, autoste-
reoscopic, stereoscopic, and true 3D imaging. It is remarkable that the CGH is
becoming feasible due to the emergence of progressively powerful computers
that prevents the conventional interferometric recording step in the formation of
hologram [50]. In addition, the CGH can be viewed as a phase mask with spatially
variable transmittance or a diffractive optical element that can be readily displayed
on the devices such as SLM, which are capable of diffracting light [5, 51]. Also,
the information that needs to be transformed is presented to an optical system,
through the SLM. This is effected with a suitable phase mask for the concerned
input function [25].
From a set of different available techniques for the generation of CGH (e.g.,
IFTA, linear Fourier transform, simulated annealing, and Gerchberg algorithm,
as described in Section 2), in our SLM framework, higher focus was given to the
linear Fourier transform principle for the calculus of the numerical interference
patterns to generate the holograms (CGH). This decision was mainly due to the
intensive computational requests and high power loss (up to 9 dB [26]) associ-
ated with the implementation of the simulated annealing and Gerchberg-Saxton
algorithms and additional computational cost of IFTA when compared to linear
phase mask.
Thus, a simplified approach based on the implementation of a linear phase mask
generation (in Section 3.1.1) and the development of a new iterative algorithm
experimentally driven for CGH effective optimization (in Section 3.1.2) is proposed
and tested.
All algorithms were developed and implemented in MATLAB© [52].

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3.1.1 Linear phase mask CGH

A linear phase mask can be described as a numerical information transformation

(in the Fourier domain) of the input function of interest [25], which can be intro-
duced into the optical system through an SLM.
The CGH implemented with a linear phase mask can be expressed in the fre-
quency domain as expressed in Eq. (1) [5, 23], where fx and fy denote the spatial
frequency vector components that correspond to the image to be generated in both
X and Y axes, respectively, and cx and cy represent the horizontal and vertical tilt
parameters, respectively.

Mlinear = M( fx, fy) = − 2π(cx fx + cy fy) (1)

A collimated Gaussian beam with transverse profile Sin is imaged onto the SLM
via a lens, Eq. (2), where (x0, y0) offer the horizontal and vertical position, respec-
tively, and (wx, wy) represent the width and the height of the beam, respectively, as
depicted in Figure 3 [8].

( ( ( wy log (√2 ) ) )
2 2
y − y0
wx log (√ 2 ) )
x−x
Sin = exp − 2 _0
_ − 2_ _ (2)

With the adoption of Fraunhofer approximation, the Fourier transform is

produced on the SLM plane, fft(Sin). Afterward, the subsequent illumination profile
is multiplied with the phase mask, e iHmask. The resultant signal is then Fourier trans-
formed via the second lens by means of an inverse Fourier transform to achieve the
output signal Sout, which can be defined as Eq. (3) [5, 8]:

Sout = ifft(H( fft( Sin)) (3)

A graphical user interface (GUI) was also developed to test different masks to be
applied to the SLM device [18] (see Figure 4).
Different phase masks can be attained by adjusting the different available
parameters from the developed GUI. For the Input Beam GUI panel the following

Figure 3.
Cartesian coordinate system description of the parameters (x0, y0) and (wx, wy) employed for the input beam Sin
estimation [8].

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

Figure 4.
GUI SLM_mask to generate the different phase masks applied to the SLM [18].

input parameters are available: (i) horizontal position (x0); (ii) vertical position
(y0); (iii) width of the beam (wx); and (iv) height of the beam (wy) (see GUI panel
Input Beam in the Figure 4).

Sout = ifft(H( fft( Sin)) (4)

The Phase Mask GUI panel offers the correspondent input parameters: (i) hori-
zontal translation (dx); (ii) vertical translation (dy); (iii) horizontal frequency delay
(cx); (iv) vertical frequency delay (cy); (v) percentage of zoom (%); (vi) rotation
in degrees (°); and (vii) selection of three possible input functions, i.e., sinusoidal
Eq. (4), linear Eq. (1), or defined by the user (user-defined). The option to save or
replace the phase mask file is also made available, as depicted in the Phase Mask
GUI panel from Figure 4.
The implemented scripts and GUI were written in MATLAB© [52].

3.1.2 Optimization of the linear phase mask CGH

In an effort to realize the hologram that can suitably replicate the output signal,
we estimated the hologram of the beam through the image phase-only information
of the generated hologram. Thus, a first linear phase mask is generated to produce
the expected initial field, i.e., the input function of interest.
Since a phase-only SLM does not permit the inverse Fourier of the desired
pattern to be addressed into the far field and replicated into the resultant
distribution of amplitude and phase on the SLM directly. It is quite demand-
ing to generate a CGH with guarantees for the light to be spatially modulated
with the required accuracy and resolution. To address these challenges and
obtain the desired hologram with an error factor δ ≤ 10%, we implemented
an iterative algorithm to optimize the generation of the linear phase mask.
Also, the error factor threshold was set so as to prevent an infinite loop in the
adopted optimization algorithm, while guaranteeing that the output result has
an accuracy ≥90%.
The algorithm was implemented to generate a hologram that replicates the
output of the four waveguides (WG) of an optical chip for data compression
proposes [8, 23, 53]. A hologram of four beams was calculated by a phase-only

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superimposition of four independent holograms generated by Eq. (1). Then, the

corresponding linear transformations in the Fourier domain provided in Eq. (5) and
Eq. (6) were applied [8, 23]:

H = ∠(e iH1 + e iH2 + e iH3 + e iH4) (5)

H1 = exp (i2π(cx1 fx + cy1 fy)) (6)

The block diagram of the employed algorithm is given in Figure 5, and the major
steps of the algorithm are enumerated as follows [23]:

i. Generate a first linear phase mask to produce the expected initial field based
on Eq. (5).

ii. Initially set the four values a1−4 to 1, from H = ∠(a1 e + a2 e

iH1 iH2

+ a3 e + a4 e ).
iH
3 iH
4

iii. Acquire the replay field from the hologram generated by SLM (I SLM) with a
camera, and feed this data to the algorithm.

iv. Calculate the difference between the hologram generated and the initial field
expected, defined as error factor: δ = |ISLM − I1| ≤ 0.1.

v. If the condition δ ≤ 0.1 is not satisfied, repeat steps ii–iv by iteratively adjust-
ing the values of a1−4 to compensate for the error factor.

The developed algorithm in MATLAB® is capable of controlling both SLM and

camera hardware, providing a dynamic experimentally driven algorithm for effec-
tive CGH optimization.
The error factor (δ) is defined to quantify the generated hologram deviation
from the optical chip anticipated output [8, 23].

3.2 CGH generation setup

The employed SLM is a reflective LCoS phase-only type, and its model
is PLUTO-TELCO-012. It can operate within the wavelength range of

Figure 5.
Block diagram of the algorithm applied for the optimization of the linear phase mask CGH [23].

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

1400–1700 nm. Additionally, an active area of 15.36 × 8.64 mm2, a pixel pitch of
8.0 μm, a 92% fill factor, and 80% reflectivity are employed for displaying the
generated hologram.
Two different setup arrangements were implemented to create CGH for SDM
(e.g., MCF) and PIC applications.

3.2.1 CGH setup for SDM

Setup alignments were carried out, using a red laser of 637 nm (power 70 mW,
SM fiber-pigtailed laser diode), a collimator, two lenses, a charge-coupled device
(CCD) image sensor, and the LCoS-SLM. After the alignments, an MCF of 10 m of
length and a bit error rate (BER) tester were introduced in the setup, as depicted
in Figure 6.

Figure 6.
[A] Setup diagram of the SLM platform for MCF applications. [B1, B2] photographs of the setup.

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Figure 7.
[A] Hologram reconstruction scheme using an infrared (IR) laser of 1550 nm, a polarization controller, lens L1,
an LCoS-SLM, lens L2, and an IR camera. [B] Photography of the presented setup.

The MCF contained four cores arranged in a quadrangular lattice pattern, with a
side length of 36.25 μm and attenuation @1550 nm of 0.45 dB/km.
The nonreturn-to-zero (NRZ) signal was generated by a pattern generator
(Agilent N4901B) using a pseudorandom binary sequence (PRBS) 231–1. This signal
was injected to the tunable direct modulator laser to create 10 Gb/s optical signal.
After the MCF, the signal was detected by avalanche photodiode (APD) receiver
inside the small form-factor pluggable (SFP) transceiver.

3.2.2 CGH setup for PIC

In an effort to eliminate the phase distortion and enable the full Fourier trans-
form scale by the focal length (f) factor, the optical system is designed based on the
4f system configuration. The implementation is the basis of a low distortion optical
system.
The setup consists of devices such as two lenses (AC254–050-C-ML, AR
coating 1050–1620 nm) L1 and L2 with a focal length of 75 and 250 mm, respec-
tively; polarization controller; an infrared (IR) laser of 1550 nm (wavelength);
a near-infrared (1460–1600 nm) camera (sensing area, 6.4 × 4.8 mm; resolu-
tion, 752 × 582; pixel size, 8.6 × 8.3 μm) for capturing the produced hologram;
and a neutral density filter, to prevent saturation in the camera acquisition
(see Figure 7) [8, 23].

4. Results and discussion

In this section, we present the experimental CGH results obtained for the SDM
and PIC applications.

4.1 SLM platform for MCF

A BER of 1.2 × 10−3 was measured in the experiment described in Section 3.2.1.
Test result shows an error-free transmission below the BER limit of 3.8 × 10−3
(7% hard-decision FEC) [54, 55] threshold.
Thus, the SLM framework was able to properly function as a spatial coupling
interface between the SLM generated pattern and the MCF cores. The platform
allows an easy adjustment of the generated phase mask (CGH), contributing to an
effective dynamic optimization of the MCF fiber transmission [18].

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

Future work will be performed in order to optimize the current convergence,

namely, improve the optical system components (e.g., lenses and collimator) and
the implemented phase masks [18].

4.2 CGH for PIC applications

An integrated approach for compression applications implemented in an indium

phosphide (InP) optical chip was fabricated to realize a Haar wavelet transform
[53]. The HT is a wavelet-based method with promising attributes for compres-
sion transformation techniques. Their application in image processing and pattern
recognition due to its simple design, fast computation power, and efficiency can be
easily realized by optical planar interferometry [53, 56, 57].
The HT operations include low-pass (L) and high-pass (H) filters applied over
one dimension at a time. This filtering operation corresponds to the calculation of
the average between two neighbors’ pixel values (LP) or the difference between
them (HP) [57]. The HT is implemented with a two-level network composed by
three asymmetric adiabatic couplers (AAC) 2 × 2, reproducing the required opera-
tions, i.e., the average (sum) and the difference (subtraction) between the optical
input pair [53]. The 2D HT can be decomposed in four sub-bands, LL, LH, HL, and
HH [57]. The LL gives the data compressed.
In the optical chip (or PIC), these four sub-bands can be extrapolated from the
four output WG at the end of the three AAC network, as depicted in Figure 8.
The optical chip is composed of four distributed feedback (DFB) source lasers
(L1–L4), three asymmetric adiabatic coupler (AAC1–AAC3), six positive-intrinsic-
negative (PIN) photodiodes for network monitoring, six MMI splitters 1 × 2, one
MMI splitter 2 × 2, and two spot size converters (SSC), at the correspondent HT
network output LL (compression) and HH. Further details about the PIC can be
found elsewhere [23, 53].
In the described SLM framework, the hologram is generated in an attempt to
create the beam profile in the first order of diffraction when being displayed on the
SLM. The CGH is expected to reproduce the four WG outputs of the PIC imple-
menting the HT [23, 53] (see Figure 8).

Figure 8.
[A] Design architecture of the PIC for data compression based on HT. [B] Measurements of the distance
between the four WG at the end of the two-level compression network of the PIC [23].

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In Figure 9, we present the obtained image from the hologram replay field
generated with the initial (I1) and optimized (Iout) CGH [8, 23].
The analysis of the obtained replay field images can be described by the steps
described below:

i. Calculate the intensity integration of the image matrix, i.e., the sum of all
elements along each line of the image matrix, depicted as Sraw.

ii. Application of the Savitzky–Golay (SG) filter to smoothen the intensity

integration signal obtained in step (1), depicted as SSG.

iii. Implementation of a first-order Gaussian fit curve to the filtered signal,

depicted as Gauss fit.

iv. Extraction of Gaussian parameters to calculate the distances between the

four beams (obtained from the CGH) and compare with the expected results
(d1, d2, and d3 from the optical chip).

Results from the integrated intensity profile of the replay field after the CGH
optimization, i.e., after step (3), are presented in Figure 10.
The distance between the four beams was calculated from the center posi-
tion of each beam profile, given by the Gaussian fit coefficient corresponding
to the position of the center of the peak. The coefficients were obtained with
95% confidence bounds [23]. The deviation values (δ) between the generated
holograms (i.e., initial I1 and optimized Iout), when compared with the expected
output of the optical chip (i.e., d1, d2 and d3 from Figure 8), are presented in
Table 1 [23].
The measured power of the beams obtained by the integration intensity profiles
is depicted in Table 2 [23].
An improved hologram is achieved with the optimization of the linear phase
mask CGH, i.e., with a reduction of up to 11% in the error factor (between

Figure 9.
Hologram replay field obtained by the IR camera with an (i) initial hologram (left figure) and (ii) optimized
hologram (right figure).

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

Figure 10.
Gaussian fit (Gauss fit, blue line) of smoothed integrated intensity signal from the replay field image (S , red
SG

dots) of final optimized CGH [23].

Initial CGH (%) Optimized CGH (%)

δ d1 19.76 7.48

δ d2 1.96 2.90

δ d3 14.31 9.44

Table 1.
Error factor (δ) values for d1, d2, and d3.

Beam Initial CGH (u.a.) Optimized CGH (u.a.)

1 6.30 5.12
2 8.21 5.78
3 7.18 6.37
4 7.69 5.51
Mean 7.35 ± 0.81 5.69 ± 0.52
Std (%) 11.17 9.14

Table 2.
Integration of the intensity profiles for the four beams.

initial and optimized holograms). Nonetheless, the loss of 1.1 dB identified on the
mean beam power for the optimized CGH, an improved equalization between the
beams was observed, with a 2% reduction in the standard deviation [23].
Algorithm improvements should be implemented to mitigate the power
discrepancies between the four beams and optical artifacts associated with the
diffraction of light, with the objective of mitigating the signal loss at the output of
the optical chip.

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A possible approach to correct some of this artifacts can be the application of the
Gerchberg-Saxton [37] or simulated annealing [36] algorithms; nonetheless, due
to the power loss (up to 9 dB [26]) associated with these approaches, they were not
addressed in this implementation [23].
The phase mask that replicates the expected output of the PIC optical operation
can be used to multiplex/demultiplex the obtained result. Furthermore, a phase
mask, which addresses the HT operations, can also be applied to invert the com-
pression induced by the HT (optically implemented in the PIC all-optical network
with three AAC). Thus, a proof of concept of the PIC operation through the SLM
coupling framework is expected [8, 23].

5. Conclusion

LCoS SLM technology implementation has been gaining importance in

optical system applications, like telecom with the development of high-capacity
optical components in system functionalities as switching (in ROADM), mul-
tiplexing and demultiplexing, and optical signal processing. In this chapter, a
proof of concept on the implementation of a new SLM-based flexible coupling
platform has been provided. We have also explored its implementation for appli-
cations in SDM systems and PIC characterization/testing. Furthermore, opti-
mized methodologies to generate the CGH were developed and implemented.
Main results include (i) BER = 1.2 × 10−3 for a SDM system, i.e., the use of the
SLM to efficiently excite the different cores of a MCF, and (ii) CGH (δ ≤ 1.5%)
to feed/receive the output of an optical chip for data compression based on the
HT. The demonstrations pave the way for the potential use of the SLM flexible
platform in the development of multidimensional optical systems, by providing
a versatile optical method which can overcome impairments introduced by the
optical path in a MCF (e.g., by improving the setup alignment and excitation of
different cores in MCF) and deliver a more robust optical methodology to assess
and test photonic processors (e.g., offering a proof of concept of the PIC HT
operation).

Acknowledgements

This work is funded by Fundação para a Ciência e a Tecnologia (FCT) through

national funds under the scholarship PD/BD/105858/2014. It is also supported by
FCT/MEC/MCTES and when applicable co-funded by FEDER – PT2020 partner-
ship agreement under the project COMPRESS – PTDC/EEI-TEL/7163/2014 and
the project UID/EEA/50008/2019. The authors acknowledge PICadvanced for its
collaboration.

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Author details

Cátia Pinho1,2*, Isiaka Alimi1,2, Mário Lima1,2, Paulo Monteiro1,2

and António Teixeira1,2

1 Instituto de Telecomunicações (IT), University of Aveiro, Aveiro, Portugal

2 Department of Electronics, Telecommunications and Informatics (DETI),

University of Aveiro, Aveiro, Portugal

*Address all correspondence to: [email protected]

© 2019 The Author(s). Licensee IntechOpen. This chapter is distributed under the terms
of the Creative Commons Attribution License (http://creativecommons.org/licenses/
by/3.0), which permits unrestricted use, distribution, and reproduction in any medium,
provided the original work is properly cited.

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 Section 3

Convergence of
Wireless-Optical Networks

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Chapter 8

Enabling Optical Wired and

Wireless Technologies for 5G and
Beyond Networks
Isiaka A. Alimi, Ana Tavares, Cátia Pinho,
Abdelgader M. Abdalla, Paulo P. Monteiro
and António L. Teixeira

Abstract

The emerging fifth-generation mobile communications are envisaged to support

massive number of deployment scenarios based on the respective use case require-
ments. The requirements can be efficiently attended with ultradense small-cell
cloud radio access network (C-RAN) approach. However, the C-RAN architecture
imposes stringent requirements on the transport networks. This book chapter pre-
sents high-capacity and low-latency optical wired and wireless networking solu-
tions that are capable of attending to the network demands. Meanwhile, with
optical communication evolutions, there has been advent of enhanced photonic
integrated circuits (PICs). The PICs are capable of offering advantages such as low-
power consumption, high-mechanical stability, low footprint, small dimension,
enhanced functionalities, and ease of complex system architectures. Consequently,
we exploit the PICs capabilities in designing and developing the physical layer
architecture of the second standard of the next-generation passive optical network
(NG-PON2) system. Apart from being capable of alleviating the associated losses of
the transceiver, the proposed architectures aid in increasing the system power
budget. Moreover, its implementation can significantly help in reducing the optical-
electrical-optical conversions issue and the required number of optical connections,
which are part of the main problems being faced in the miniaturization of network
elements. Additionally, we present simulation results for the model validation.

Keywords: 5G, backhaul, centralized unit (CU), common public radio interface
(CPRI), distributed unit (DU), fiber to the X (FTTX), fronthaul, functional split,
optical wireless communication (OWC), passive optical network (PON), photonic
integrated circuits (PICs), radio access network (RAN), radio over fiber (RoF)

1. Introduction

There have been growing concerns regarding the increasing number of unprec-
edented bandwidth-intensive mobile applications and services being experienced
by the Internet. A notable cause of the increase in the traffic and the subsequent
pressure on the network is the Internet of things (IoT) technologies. For instance,
massive IoT (mIoT) schemes have caused remarkable revolutions in the amount of

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mobile devices and applications in the networks. This is in an effort to enhance the
user experience in delivering enhanced mobile broadband (eMBB) services and
providing ultra-reliable low-latency communication (uRLLC) for critical commu-
nication and control services. In theory, IoT comprises universal existence of a
collection of things like mobile PCs, tablets, smartphones, actuators, sensors, wire-
less routers, as well as radio-frequency identification (RFID) tags. It is remarkable
that these devices are capable of cooperating not only with each other but also with
their neighbors. By this approach, they are able to achieve common network goals
by means of unique addressing scheme [1, 2]. Furthermore, it has been predicted
that massive number of mobile devices on which various bandwidth-intensive
applications and services will be operating and will be Internet connected [3]. In
actual fact, there is a tremendous demand for effective systems that are capable of
delivering various services in a cost-effective manner while meeting the essential
network demands. Consequently, in an effort to accomplish the next-generation
mobile network technical demands, there have been intensive researches on viable
solutions that can satisfy the network requirements.
Additionally, to support the anticipated massive devices, there has been general
consensus that the fifth-generation (5G) wireless communication system is the
viable and promising solution. Meanwhile, massive multiple-input multiple-output
(M-MIMO) antenna and millimeter-wave (mm-wave) technologies are anticipated
to be integrated into the 5G networks, so as to enhance the wireless system band-
width. This is due to the fact that radio-frequency (RF)-based wireless system
transmission speeds are highly constrained by the regulated RF spectrum. This
limitation can be attributed to numerous advanced wireless systems and standards
such as UWB (IEEE 802.15), iBurst (IEEE 802.20), WiMAX (IEEE 802.16), Wi-Fi
(IEEE 802.11), as well as the cellular-based 3G and 4G. On the other hand, there is a
vast amount of unexploited and underutilized frequency at high bands [2, 4] as
expatiated in Section 2. Nevertheless, the radio propagation at higher frequency
bands is comparatively demanding. Consequently, advanced scheme like
beamforming (BF) technique is essential for radio operation at the bands. The
technique will help in compensating mm-wave band inherent path loss in the radio
access network (RAN) [5–7].
In addition, owing to several innovative technologies that have been
implemented in the optical communications, significant improvements have been
noted in the network performance [8]. Among the remarkable improvements are
the increase in the network reach, optical system capacity, and the number of users
that can be effectively supported. This is as a result of cutting-edge optical fiber-
based technologies. The optical schemes have been increasingly advancing deeper
into different access networks, in order to provide various services such as mobile
backhaul/fronthaul and multitenant fiber to the X (FTTX) with some variants of
fiber-based broadband network architectures as discussed in Section 3. For
instance, the optical broadband network architectures, such as fiber to the curb or
cabinet (FTTC), fiber to the node (FTTN), fiber to the building (FTTB), fiber to the
premise (FTTP), and fiber to the home (FTTH), proffer commercial solutions to
the communication network performance bottleneck, by progressively delivering
services in close proximity to the numerous subscribers [2].
It is noteworthy that various 5G use cases like uRLLC and eMBB can be effec-
tively achieved by radio elements and BSs that are not far-off the end users or
wireless devices. This is due to the fact that close proximity helps in facilitating
better signal quality, with lower latency and higher data rates in the system [9]. This
can be effectively realized by means of passive optical network (PON) technologies
such as gigabit PON (GPON), 10Gbps PON (XG-PON), as well as Ethernet PON
(EPON). It is noteworthy that one of the key issues is the process of supporting

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different service demands with the intention of realizing ubiquitous and elastic
connections. As a result, optical and wireless networks convergence is very indis-
pensable. This is not only a cost-effective approach but also enables high-network
penetration, in order to achieve the envisaged ubiquitous feature of the next-
generation network (NGN) [2]. Based on this, there is a growing consensus of
opinion that high-capacity optical fronthaul scheme is one of potential solutions for
addressing the network demands. For instance, if the CPRI standard is to be directly
employed for the transportation of a considerable number of long-term evolution-
advanced (LTE-A) and/or 5G radio signals, an enormous aggregate bandwidth will
be required on the backhaul/fronthaul networks [10].
Furthermore, it has been observed that the reference system architectures for
the 5G standardizations are based on the notion of heterogeneous networks where
mm-wave small cells are overlaid on the larger macrocells [9]. This will enable the
RAN to handle the growing traffic demands. In addition, to contain the massive
deployment of small-cell BSs, cloud RAN (C-RAN) has been adopted as a promising
architecture to ensure effective scalability regarding deployment cost as well as
energy consumption [11–14]. The C-RAN offers an innovative architecture that is
really different from the traditional distributed RAN (DRAN). In the C-RAN archi-
tecture, the baseband unit (BBU) is shifted away from the cell sites where it is
normally located in the DRAN. Consequently, BBU collections that are usually
referred to as BBU pools are centralized at the central office (CO). With this
configuration, the remote radio heads (RRHs) are left at the cell sites.
As a result, C-RAN implementation offers significant benefits such as improved
system spectral efficiency and better flexibility for further RRH deployments than
the DRAN. Likewise, with the centralized BBUs, C-RAN supports greener infra-
structure, enhanced interference mitigation/coordination, better resource pooling,
improved BS virtualization, as well as simplified management and operation.
Besides, multiple technologies can be supported with smooth and scalable evolu-
tion. Furthermore, in the C-RAN architecture, the BBU pools are connected via the
fronthaul network to the RRHs. It is remarkable that the de facto air interface
standard that is usually employed for connecting the BBU pools to the RRHs is the
common public radio interface (CPRI) protocol. This is an interface that helps in
the digital baseband sample distribution on the C-RAN fronthaul. However, strin-
gent requirements concerning jitter, latency, and the bandwidth are imposed on the
fronthaul network for seamless connectivity. This makes the CPRI-based fronthaul
links to be prone to flexibility and bandwidth limitations, which may prevent them
from being visible solutions for the next-generation networks [11, 12]. Meanwhile,
it has been noted that the 5G systems will impose higher requirements on the
transport network regarding latency, bandwidth, reliability, connectivity, and
software-defined networking (SDN) capability openness [15]. A number of
approaches such as cooperative radio resource allocation and data compression
technologies have been adopted to address the challenges; however, the fronthaul
capacity demand is still considerable high [11, 12].
The viable means of addressing the capacity requirement is through the imple-
mentation of passive optical network (PON) solutions such as wavelength division
multiplexed PON (WDM-PON) and ultradense WDM-PON (UDWDM-PON). The
PON architectures are compatible with the 5G networks and are capable of
supporting both wired and wireless services. Based on the PON architecture, indi-
vidual RRH has the chance to communicate with the BBU pools using a dedicated
wavelength. Besides, in the upstream direction, the aggregate wavelengths can be
further multiplexed into a single shared fiber infrastructure at the remote node
(RN). They can eventually be de-multiplexed at the CO [11, 12]. As aforementioned
and as depicted in Figure 1, optical and wireless network convergence is a

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Figure 1.
A scenario for optical and wireless access networks convergence (adapted from Alimi et al. [2]).

promising scheme for exploiting the optical system inherent bandwidth and the
mobility advantage of wireless connectivity, which can help in realizing the 5G
network envisaged capacity and energy efficiency. In addition, optical wireless
communication (OWC) is another feasible and attractive optical broadband access
solution that is capable of supporting high-capacity, high-density, and low-latency
networks. Therefore, it can effectively address the network requirements for dif-
ferent applications and services at a comparatively lower cost. So, it has been seen as
an alternative and/or complementary solution for the existing wireless RF solutions
[4, 16–18]. This chapter presents optical wired and wireless networking solutions
for high-capacity, high-density, and low-latency networks. Furthermore, because of
its potential for intense revolution and salient advantages, we focused on the second
standard of the next-generation PON (NG-PON2) system. In addition, with the
exploitation of notable features of photonic integration, we design and develop the
physical (PHY) layer architecture of the NG-PON2 system. The proposed NG-
PON2 architectures offer an enabling platform for active device integration into the
chip to ensure a significantly low propagation loss. We also present simulation
results for model validation. This helps in demonstrating the potential of photonic
integration for optical architectures.
Furthermore, with concise information on the enabling optical wired and wire-
less technologies and the need for alleviating the stringent requirements in the
network being introduced, we present comprehensive overview of the fronthaul
transport solutions in Section 2. The salient needs for PON in the envisaged
ultradense network deployments are considered in Section 3. In Section 4, a
practical method for network investment optimization by the operators based on
PON system coexistence is discussed. In Section 5, we present a number of viable
schemes for alleviating the imposed stringent requirements in the system. The
NG-PON2 PHY architecture design and development based on photonic integration
are demonstrated in Section 6. In Section 7, the obtained simulation results with
further discussion are presented. Section 8 concludes the chapter.

2. Fronthaul transport solutions

The fronthaul protocol can be transported by different viable means. Apart from
the usually employed small form pluggable and serial constant bit rate CPRI

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specification that is based on digital radio over fiber (D-RoF) implementation, there
are other innovative and standard fronthaul interfaces such as Open Base Station
Architecture Initiative (OBSAI), next-generation fronthaul interface (NGFI), open
radio interface (ORI), and enhanced CPRI (eCPRI) that can be used [19–21]. In
[11], we give an overview of various prospective and standard fronthaul interfaces.
In this chapter, for reference purposes, we focus on the extensively employed CPRI
protocol. However, it should be noted that the transport methods to be discussed in
this section are applicable to other fronthaul interfaces. The transport methods
discussed in this section are grouped into wired and wireless fronthaul solutions.

2.1 Wireless fronthaul solution

Wireless transport schemes are very viable fronthaul solutions that have resulted
into tremendous evolutions in the communication systems. This is due partly to the
inherent advantages such as operational simplicity, ease of deployment, scalability,
roaming support, effective collaboration, and cost-effectiveness. Furthermore, it is
an appropriate scheme for complementing fiber-based fronthaul solutions. How-
ever, their susceptibility to transmission channel conditions makes their implemen-
tation effective for short range. Besides, the current solution can only support few
CPRI interface options. This brings about bandwidth limitation for this solution.
Moreover, to alleviate this, promising wireless technologies like mm-wave and
wireless fidelity (Wi-Fi) can be employed in the fronthaul [11, 22, 23].
As aforementioned in Section 1, there is a huge amount of unexploited and
underutilized frequency at high bands. The fronthaul in which mm-wave is being
employed is feasible due to the availability of various compact and high-
dimensional antenna arrays for commercial use in the band. Besides, as a result of
60 GHz standards like 802.11ad, 802.15.3c, and WirelessHD that have been issued,
considerable attention has been given to mm-wave communications. Nonetheless,
the inherent high propagation losses of the mm-wave communications give rise to
comparatively shorter transmission range [11, 22, 24, 25].
In addition, as stated in Section 1, RF-based system transmission speeds are
substantially limited due to a number of advanced wireless systems being deployed
in the network. Consequently, to meet the demands of the current and future
wireless networks, many chipset suppliers and wireless operators have been paying
significant attention to the unlicensed spectrum. The major focus is in the 2.4 GHz
and 5 GHz frequency bands that are under implementation by the Wi-Fi. This is
being used for the 5G LTE-Unlicensed communication systems [11, 26]. With this
implementation, the unlicensed spectrum resources could be effectively allotted to
the LTE system, in order to have more capacity for supporting the Wi-Fi users [27].
Furthermore, it is remarkable that the Wi-Fi unlicensed spectrum is a promising
solution for the fronthaul network. A notable advantage of exploiting the
unlicensed spectrum for the fronthaul network is due to the fact that separate
frequency procurement for the fronthaul might not be necessary for the network
providers. Besides, the same spectrum could be effectively reused in the access and
fronthaul links. This can be accomplished by means of time-division multiplexing
(TDM) and frequency-division multiplexing (FDM) schemes. Another way of
achieving this is through opportunistic fronthauling, in which unlicensed spectrum
can be sensed. For instance, the RRH can sense unlicensed spectrum that is available
(unused unlicensed spectrum) and then employ it for fronthauling. Besides, in a
situation where the active user signal is considerably lower than the predefined
threshold, the RRH can also make use of the spectrum. In addition, the fronthaul
link constraints could be effectively eased via the Wi-Fi. This is majorly due to the
fact that it can be employed for offloading [26]. Although Wi-Fi networks are

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capable of offering relatively high-data rates, they exhibit limited mobility and
coverage. The drawbacks can be reduced by employing Wi-Fi mesh networks
[11, 28].

2.2 Wired fronthaul solution

The wired network offers a number of advantages such as low interference,

enhanced coverage, low latency, and high reliability and security. Due to these
advantages, they have been able to stand the test of time and continue to be relevant
despite the advent of wireless systems. Some of the fronthaul solutions that are
based on wired links are dark fiber, passive WDM, WDM-PON, WDM/optical
transport network (OTN), and Ethernet. In this subsection, we present potential
wired-based fronthaul solutions that can support the network requirements.

2.2.1 Dark fiber solution

Dark fiber offers an attractive fronthaul solution. With this implementation,

transmission equipment is not required between the BBU pools and the radio
remote units (RRUs), consequently resulting in easiest deployment solution with
least possible latency. Nevertheless, since dark fiber solution is based on point-to-
point (P2P) direct connections, it lacks the required network protection, making it
not a good candidate to support 5G use cases such as uRLLC services in which high
reliability is required. Besides, its implementation demands huge amount of fiber
resources. In the 5G systems in which ultradense networks are envisaged, the
required amount of fiber is even more challenging. So, the fiber resources may be
inadequate to support mIoT devices and other envisaged multimedia devices.
Therefore, availability of fiber and the associated deployment cost may be the
limiting factors for the dark fiber solution employment. This inefficiency can be
addressed with the aids of different WDM and Ethernet solutions [11, 22, 23, 29].

2.2.2 Ethernet solution

In Ethernet-based fronthaul solution, packet technologies that encourage statis-

tical multiplexing feature are employed. This helps in achieving traffic convergence
and in enhancing the line bandwidth usage. Besides, considerable fiber resources
can be saved due to its support for point-to-multipoint (P2M) transmission. Never-
theless, a number of issues such as identification as well as fast forwarding of low
latency services deserve considerable research attention in this approach. Also,
further efforts are required for backward compatibility with CPRI transmission and
high-precision synchronization. Based on these, the Institute of Electrical and Elec-
tronics Engineers (IEEE) has established a task group known as time-sensitive
networking (TSN) which is a part of the IEEE 802.1 working group, to study the
latency-sensitive Ethernet forwarding technology. Reasoning along the same lines,
the IEEE 1914 next-generation fronthaul interface (NGFI) working group has been
established not only for the development of the NGFI transport architectures and
the associated requirements but also for the definition of radio signal encapsulation
specification into Ethernet packets [11, 29].

2.2.3 WDM-based solution

The requirement for low-latency transmission in the range of 10-Gb/s makes

WDM-based network the usually adopted option for the fronthaul links. At large,
WDM-based fronthaul methods can be grouped into two solutions which are active

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and passive. In active solution, other protocols are used for the CPRI traffic encap-
sulation, before being multiplexed on the fronthaul network. Also, the solution
offers robust network topologies with considerable flexibility. Moreover, with opti-
cal amplifiers, the network reach can be significantly extended. Another important
distinguishing feature of an active solution is that the cell site demarcation point
requires power supply for operation. On the other hand, a passive solution mainly
depends on CPRI link passive multiplexing (MUX)/demultiplexing (DEMUX).
Besides, this solution’s demarcation point can function effectively without any
battery backup and power supply. Nonetheless, active equipment can be employed
for the system monitoring at the CO demarcation point [11, 22, 23, 29].
In general, the main dissimilarities between the passive and active solutions can
be recognized in the nature of their routing table and switching granularity. For
instance, unlike the active solution, routing table can be statically and dynamically
configured as well as associated with the interface; that of passive solution is fixed
and lacks configuration capability. Likewise, the passive solution switching granu-
larity is based on spectrum or time slot as being implemented in the TWDM-PON,
while an active solution presents finer switching granularity which can be based on
packet or frame switching. Consequently, the active solution offers better configu-
ration flexibility; however, it is power-consuming and relatively complicated [12].
In the following, we expatiate on different WDM-based fronthaul solutions.

2.2.3.1 Passive WDM

In this approach, a passive optical MUX/DEMUX is employed for multiplexing a

number of wavelengths on a shared optical fiber infrastructure for onward trans-
mission. Therefore, the implementation can save considerable fiber resources via
the support for multiple channels per fiber. Also, the employed optical components
introduce negligible latency, so, the stipulated jitter and latency requirements for
CPRI transport can be effectively met. Moreover, due to the passive nature, power
supply is not required for the associated equipment operation. This brings about
high power efficiency in the network. Besides, this approach is not only a cost-
effective solution but also offers simple maintenance. Nevertheless, the cost impli-
cation of the wireless equipment deserves significant attention. This is due to the
required colored optical interfaces at the BBU and RRU. Also, factors that need
consideration are the limited transmission range and inadequate optical power
budget of a relatively complex topology such as chain or ring network. This can be
attributed to the accumulated insertion loss owing to multiple passive WDM com-
ponents. Besides, the approach offers no robust operations, administration, and
maintenance (OAM) potentials, and usually, line protection is not provided. Passive
WDM implementation can also be limited by the need for well-defined network
demarcation points [11, 22, 23, 29].

2.1.3.2 WDM/OTN

When WDM/OTN scheme is employed, multiplexed and transparent signal

transmissions can be achieved over the fronthaul link to multiple sites. Thus, the
fiber capacity is increased by enabling multiple channels on a shared fiber infra-
structure [11, 23, 29]. This can be realized by encapsulating the inphase and quad-
rature component (I/Q) data by means of OTN frame; this is subsequently
multiplexed to the WDM wavelength. Consequently, any wavelength can be
employed for routing the resulting frame to the destination port [12]. Apart from
being able to save fiber resources, other notable advantages of this solution are
provision for OAM capabilities, network protection, service reliability, as well as

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service level agreement (SLA) management and network demarcation. Further-

more, this solution presents attractive features regarding low latency and high
bandwidth. It is also a good approach for attending to the required colored optical
interface at BBU and RRU by the passive WDM. Since colored optical interface is
not demanded, wireless equipment deployment challenges are alleviated drastically
by the WDM/OTN solution. Another significant advantage of the approach is the
offered easy scalability. This is due to the fact that there is no need for replacing the
wireless equipment optical interfaces while upgrading from non-C-RAN to the
C-RAN architecture. Notwithstanding, the major drawback of the solution is the
relatively higher cost of the equipment. Although power supply is not required for
WDM transport in the approach, it is essential for wavelength translation and active
management [11, 23, 29].
In addition, the WDM-based systems such as coarse WDM (CWDM) and dense
WDM (DWDM) exhibit promising features for the fronthaul transport applica-
tions. For instance, apart from the offered high throughput and low latency,
CWDM is very cost-effective regarding fiber resource usage and equipment
expenses. Also, DWDM is widely known for the higher channel counts that can be
efficiently supported. This can help further in increasing the number of small cells
and the associated RRHs that can be deployed effectively. Furthermore, it helps in
improving the fiber resource efficiency.

Figure 2.
Potential 5G fronthaul solutions: (a) microwave, (b) point-to-point, (c) WDM-PON, (d) OTN, and
(e) Ethernet.

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It is remarkable that WDM-based schemes can be used in conjunction with PON

technology in order to further enhance the system performance. This scheme is
highly appropriate for the anticipated massive RRHs and ultradense small cell
deployment as explicated in Section 3. It should be noted that, for RAN to be well
deployed, especially in the urban environments, the radio elements should be, as
much as possible, in close proximity to the subscribers. So, the remote elements
could be mounted on different places such as buildings and street lamp poles.
Therefore, the arbitrary nature of the remote element placement can be efficiently
supported with the implementation of WDM schemes.
Furthermore, as discussed, there are a number of ways by which the C-RAN
fronthaul can be realized; nonetheless, the imposed stringent requirements make
fiber-based method the widely adopted in the C-RAN. However, optical fiber
implementation for ultradense networks, besides being time-consuming, may ren-
der the C-RAN schemes uneconomical and less flexible. It is remarkable that wire-
less fronthaul offers attractive and flexible solutions for information exchange
between the centralized unit (CU) and distributed unit (DU). This is owing majorly
to the offered advantages such as higher flexibility, lower cost, and undemanding
deployment when than the fixed wired fronthaul counterparts. Therefore, innova-
tive optical wireless solutions with good scalability and operational simplicity,
coupled with easy of deployment, are really desirable [11].
In addition, apart from physical fiber-based methods being discussed, OWC
system, also known as a free-space optical (FSO) communication system, is another
attractive and feasible optical wireless fronthaul. The FSO provides a range of
benefits such as low latency and high capacity that make it viable for addressing
network requirements in a cost-effective manner [4, 16–18]. The potentials for the
FSO implementation in the fronthaul network and different innovative concepts
that are appropriate for improving the FSO system performance, while easing the
stringent system requirements, are discussed in Section 5. Different potential 5G
fronthaul solutions are depicted in Figure 2.

3. Passive optical network (PON)

The existing fiber-based methods as well as active P2P Ethernet might unable to
meet the envisaged bandwidth-intensive traffic requirements by the 5G and beyond
networks. For instance, ultradense network deployments with the associated huge
network resources are envisaged in the 5G network. As illustrated in Figure 3, PON
system can make better use of the current fiber infrastructures than the existing P2P
system such as CPRI. This helps considerably in reducing the required number of
interfaces in the network. As a result, it aids not only in reducing the site space, but
also substantial amount of system power can be saved [30]. As explained in Section
2, PON technology has been deemed as an attractive access network solution owing
to the presented advantages such as low-operation cost, high bandwidth, and low-
maintenance cost [11, 31, 32].
It should be noted that the PON architectures have been experiencing continu-
ous and gradual evolution, so as to considerably enhance the service availability and
the related data rates. The offered technological options and the intrinsic benefits
have been attracting the operators in deploying a number of PON systems. It has
been observed that the most widely deployed one is the gigabit PON (GPON)
system. Moreover, the first standard 10 Gbps PON technology, the next-generation
PON (NG-PON) system, known as 10-gigabit PON (XG-PON1) has also been
gaining considerable attention. With continuous demand for further capacity, there
are innovative PON generations such as 10-gigabit symmetric PON (XGS-PON)

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Figure 3.
Potential fronthaul solutions (a) CPRI-based and (b) PON-based schemes.

and the second standard of NG-PON (NG-PON2) that are now becoming the target
of various providers [33]. In PON system, WDM and TDM techniques are normally
employed to further enhance the capacity and fiber efficiency. Based on these
techniques, the PON system can be broadly grouped into WDM-PON and
TDM-PON.
Moreover, it is noteworthy that the TDM-PON is capable of giving considerable
greater bandwidth for various data applications; however, availability of the
resources that can be delivered to the end users is limited. In contrast, the issue can
be effectively addressed with the WDM-PON scheme. This can be done by
assigning a peculiar wavelength per subscriber. As a result of this, a distinct, high-
data rate, as well as secure P2P channel, can be delivered over a high-capacity and
longer optical reach, between each of the subscriber and the CU. Consequently, a
WDM-PON scheme is suitable for partitioning the ONUs into a number of distinc-
tive virtual P2P links over the shared physical optical infrastructure by multiple
operators. This attribute facilitates fiber efficiency compared to P2P Ethernet. Sim-
ilarly, in relation to TDM-based systems, it gives lower latency. These features make
WDM-PON a disruptive solution that is very appropriate for FTTX as well as
mobile backhaul and fronthaul applications. This will eventually aid the operators
not only in developing converged networks but also in enhancing the current access
networks. As a consequence of this, some redundant COs can be eliminated in an
attempt to enhance the network performance in cost-effective ways [11, 31, 32].

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Moreover, it is remarkable that advantages of both WDM-PON and TDM-PON can

be effectively exploited though joint application of the schemes. This results in the
TWDM-PON architecture. The potential PON architectures and their applications
in telecommunication systems are presented in the subsequent subsections.

3.1 TDM-PON application

The TDM-PON can be grouped into broadband PON (BPON), asynchronous

transfer mode (ATM) PON (APON), Ethernet PON (EPON), and GPON. In the
existing telecommunication networks, GPON and EPON are the widely adopted
schemes. Therefore, in the following, we focus on both schemes.

3.1.1 EPON application

The data traffic being encapsulated in the Ethernet frames as defined by the
IEEE 802.3 standard is transported by the EPON solution. Different network ele-
ments such as optical network unit (ONU), optical line terminal (OLT), and optical
distribution network (ODN) are the building blocks of a standard EPON system and
other PON architectures. In the EPON solution, PON topology is exploited for
getting the Ethernet access. Based on the joint schemes, EPON solution is capable of
offering high bandwidth and good network scalability. Besides, due to the fact that
it is highly compatible with Ethernet, network management can be supported in
cost-effective manners. Likewise, as illustrated in Figure 4, FTTB, FTTC, and
FTTH network architectures can be supported depending on the ONU deployments
and demarcation point between the copper cable and optical fiber termination [32].
Typically, ONUs can be deployed beside the telegraph pole junction boxes, or
else, at roadside when FTTC system is employed. Also, different types of twisted
pair cables can be utilized for connecting the ONUs and the respective customer. It
has been observed that FTTC technology offers a cost-effective and practical solu-
tion for delivering narrowband services. However, FTTC solution is not an ideal
scheme, when broadband and narrowband services are to be incorporated [32].
Moreover, the ONU deployment can be made closer to the users in the FTTB
solution. So, it can be located inside the buildings through further optical fiber
penetration into customer homes. This can be achieved by means of cables, local

Figure 4.
FTTX architectures.

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

area networks (LANs), or asymmetric digital subscriber line (ADSL) broadband

communication technologies. Relatively, FTTB employs more optical fiber in the
connection than FTTC solution. This makes it more appropriate for broadband/
narrowband service integration [32].
Furthermore, ONU deployment can take place right inside the subscribers’
homes or offices in the FTTH solution. This facilitates a fully transparent network in
which the ONUs are independent of the wavelength, bandwidth, as well as trans-
mission mode and technology. These benefits enable FTTH scheme to be very ideal
for access network implementations [32].
In addition, the discussed IEEE 802.3 Ethernet is a 1-Gbit/sec EPON standard. It
is remarkable that there is a 10G EPON standard that is capable of supporting 10G/
10G symmetric DS and US transmission. In another effort to attend to the system
requirement, the IEEE 802.3ca task force has been working relentlessly on the
development of 25G/50G/100G EPON standards. A notable feature of the entire
EPON standards is that they are designed to be both backward and forward com-
patible. This is to ensure that legacy service, as well as innovative higher-speed
service, can be effectively supported using the same ODN [34].

3.1.2 GPON application

Furthermore, to address the growing traffic demands, XG-PON1 has been

presented. The XG-PON1 is capable of delivering higher data transmission than the
legacy GPON system. Moreover, in an effort to keep the existing investments, it is
backward compatible with the GPON. Also, the GPON ODN, as well as framing and
management, is inherited by the XG-PON1. This encourages the reuse of the
existing network elements [35].

3.2 WDM-PON application

The WDM-PON enables multiple-wavelength transmission through the multiple

operators’ shared optical fiber infrastructure rather than one wavelength in the PON
system. This helps in ensuring that WDM-PON meets the huge subscribers’ band-
width demands. Furthermore, it presents various merits such as high wavelength
efficiency and relatively simpler network management. This encourages support for
various services than the TDM-PON. Besides, all anticipated services can be deliv-
ered over a shared communication network infrastructure.
In addition, it can effectively support different access networks such as FTTB,
FTTH, and FTTC. Also, both small-scale and large-scale subscribers can be concur-
rently supported as well. Based on the inherent huge bandwidth, different types of
BS bandwidth requirements can be appropriately met. Its implementation can also
help in the network reach extension and in the current EPON network transition.
This will help in keeping the current network investment while enhancing the
network scalability [32]. In addition, UDWDM-PON offers a wavelength grid that
is relatively denser for the WDM scheme. This helps not only in supporting a huge
amount of aggregated wavelengths per fiber but also in accommodating higher
number of RRHs per feeder fiber. Nonetheless, with the envisaged NGN stringent
transport network requirements, UDWDM will be unable to maintain the high per-
wavelength bit rates resourcefully. For instance, subcarriers’ aggregation for high-
speed services usually bring about considerable latency. Therefore, UDWDM
implementation is preferred in situations where there are ultradense RRH deploy-
ments and inadequate feeder fiber accessibility. Besides, it also finds application in
antenna sites which demand a low-peak but high sustainable rate [6]. As discussed
in subsection 3.3, WDM-PON can be employed along with TDM-PON to achieve a

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hybrid WDM-TDM-PON solution known as time and wavelength division

multiplexed (TWDM-PON) scheme. Apart from being efficient for both small-scale
and large-scale subscribers, the hybrid scheme offers a promising solution for
applications in telecommunication environment.

3.3 TWDM-PON application

It is notable that TDM-PON implementation in the 4G networks offers a very

cost-efficient solution for a wavelength channel sharing between the cell sites, by
means of diverse time slot allocations for different cell sites. However, with the
evolution of mobile networks, the major ITU-defined application scenarios such as
eMBB, uRLLC, and massive machine-type communications (mMTC) could make
TDM-PON solution unsuitable for the fronthaul transport network in the 5G and
beyond networks. As aforementioned, a hybrid TWDM-PON scheme is a feasible
solution with abundant bandwidth capable of supporting the fronthaul demands.
With the scheme, time slots, as well as wavelength resources, can be allocated
dynamically between the RRHs. The offered centralized and virtualized PON BS
can considerably help in the system energy savings. Likewise, the virtualized
scheme presents a number of advantages such as low handover delay, excessive
handover reduction, and better network reliability. This results in cost saving, cell-
edge user throughput improvement, and enhanced mobility management [32, 36, 37].
The associated multiple wavelengths, as well as potential for wavelength tena-
bility, give TWDM-PON unprecedented means of improving the network func-
tionalities compared with the basic TDM-PONs [36, 37]. Likewise, orthogonal
frequency-division multiplexed PON (OFDM-PON) is another promising PON
solution. With OFDM, there is a comparable high potential for flexible bandwidth
resource sharing as experienced in the TWDM. On the other hand, regarding the
reach, the OFDM variants in which direct detection is employed usually present
poor performance. Similarly, variants in which coherent detection is implemented
are comparatively too expensive [6]. Furthermore, it is noteworthy that among its
counterparts such as standard WDM-PON, optical code division multiplexed PON
(OCDM-PON), and OFDM-PON that are capable of offering 40 Gb/s or higher
(80 Gb/s) aggregated bandwidth, the full service access network (FSAN) commu-
nity has chosen TWDM-PON as a major broadband solution. Apart from the inher-
ent huge capacity with 1:64 splitting ratio, it has a long reach of 40 km. The salient
features enable TWDM-PON system to meet the future broadband service require-
ments [37–39].
A typical TWDM-PON system architecture is depicted in Figure 5. In a conven-
tional TWDM-PON solution, multiple wavelengths can effectively coexist in a
shared ODN by means of WDM. Moreover, each of the wavelengths is capable of
serving multiple ONUs through TDM access. With reference to the ITU-T recom-
mendation, 4–8 wavelengths in L band (1590–1610 nm) and C band (1520–
1540 nm) can be employed for the downstream (DS) and upstream (US) trans-
missions, respectively. Also, each of the DS wavelengths can operate at 10 Gb/s,
while the US can function each at 2.5 or 10 Gb/s data rate [32, 37].
In addition, the TWDM-PON ONUs employ colorless tunable transceivers for
selective transmission/reception of any US/DS wavelengths (data) via a pair of US/
DS wavelengths. With this approach, the ONU inventory issue can be prevented. In
essence, the transceiver features help in easing network deployment as well as
inventory management. Furthermore, load balancing can be supported effectively
in the TWDM-PON system. Besides, with dynamic wavelength and bandwidth
allocation (DWBA) implementation, large bandwidth can be flexibly exploited. It is
remarkable that TWDM-PON is a stack of four 10-gigabit PONs (XG-PONs) with

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Figure 5.
Typical TWDM-PON architecture.

four pairs of wavelengths. In the stack, each XG-PON is operating on different

wavelengths. Also, as stated earlier, the GPON and XG-PON GEM frames are
compatible with and can be employed in the TWDM-PON solution. Based on this
and the ability for coexistence with existing PON solutions, it is a viable scheme for
optical access network swift evolution [11, 32, 37]. Consequently, TWDM-PON has
been adopted for the NG-PON2. In NG-PON2, TWDM-PON can be employed with
optional P2P WDM overlay extension. It is remarkable that DWDM scheme will
enable NG-PON2 to deliver multiple unshared P2P connections, while TDM scheme
simultaneously offers multiple P2M connections. This will enable the operators to
efficiently support both fronthaul/backhaul and business services with the P2P
WDM overlay technology, by using dedicated wavelengths [11, 40, 41].
In addition, based on the inherent colorless tunable transceivers of the TWDM-
PON ONUs, three classes of wavelength channel tuning time have been specified
for the NG-PON2 by the physical media dependent layer recommendation (ITU-T
G.989.2). Table 1 illustrates the specified tuning time classes by the G.989.2 rec-
ommendation. It should be noted that different innovative technologies can be
exploited by the wavelength tunable devices in order to have the capability for
supporting various classes. This will enable a number of potentials for the NG-
PON2 system at relatively different costs. Out of the defined three classes, Class 3 is
based on the slowest tunable devices. Consequently, it is applicable in scenarios
with occasional tuning operations or in applications that can tolerate short service
disruption. On the other hand, Class 1 wavelength tunable devices present the
shortest tuning time. This feature makes them attractive for offering DWBA feature
in the network. Besides, with this class implementation, the ONU transmission
wavelengths can be dynamically controlled by the OLT for wavelength hopping
between the transmission periods [42].

Class

1 2 3

Tuning time <10 μs 10 μs to 25 ms 25 ms to 1 s

Table 1.
Tuning time classes [42].

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Although a TWDM-PON offers effective bandwidth resource allocation among

multiple clients, meeting the low latency and jitter requirements of certain services
may be challenging. Consequently, its implementation for the NGN RAN transport
network depends mainly on the RAN use cases and deployment scenario require-
ments [6]. In Section 5, we present a number of viable means for alleviating the
growing stringent requirements in the system. Furthermore, as aforementioned, the
NG-PON2 system employs multiple wavelengths that demand for tunable trans-
ceivers at the ONUs. However, this requirement might hinder its implementation as
the existing optical tunable transceivers are uneconomical. Based on this, a number
of operators have been looking for ways around this by envisaging provisional
scheme adoption before the full NG-PON2 migration. This will enable them to have
a seamless transition with least possible or no disruption in the offered services. One
of viable solution is the XGS-PON. It offers an improved commercial solution as a
result of the less costly elements being employed.

3.4 XGS-PON application

The XGS-PON presents a novel technology that offers a generic solution for the
NG-PON system. It can be viewed as an uncomplicated variant of TWDM-PON in
which the wavelength tunability and mobility are eliminated for a more cost-
effective reason. In addition, there can be an efficient coexistence between the
XGS-PON and TWDM-PON using the same fiber infrastructure, since the
employed wavelengths by each technology are different. Consequently, the opera-
tors can exploit the lower-cost XGS-PON for quick delivery of 10 Gbps services.
This will also enable them to seize 10 Gbps services opportunities for immediate
deployments. With XGS-PON, there can be cost-efficient, gradual upgrade, and
well-controlled transition to a full TWDM-PON system, with minimum or no
disruption to the offered services. It can also facilitate TWDM-PON system by
enabling its deployment using the wavelength by wavelength approach. This
will really help in pay-as-you-grow scheme for effective system upgrade and
migration [33, 43].
Besides its capability for delivering 10 Gbps in both US and DS directions, XGS-
PON has high potential for the dual rate transmission support as well [44]. Based on
this, the 10/2.5G XG-PON ONUs and 10/10G XGS-PON ONUs can be coupled to
the same OLT port via a native dual US rate TDMA scheme. It is remarkable that
XGS-PON dual rate presents a comparable cost to XG-PON; nonetheless, it is
capable of providing 4 times of the XG-PON US bandwidth. In addition, XGS-PON
has been seen as a transitional scheme to NG-PON2 due to its ability for offering the
associated NG-PON2 high-data rates in conjunction with the XG-PON1 CAPEX
efficiency [33, 43]. Furthermore, it should be noted that the GPON employs 1490
and 1310 nm in the DS and UP, respectively. Likewise, XGS-PON utilizes 1578 and
1270 nm in the DS and UP, respectively. This implies that the XGS-PON service can
be effectively overlaid on the same infrastructure as that of GPON. Similarly, the
G.989 standard is employed in NG-PON2. The G.989 supports TWDM technologies
and it is a multiwavelength access standard [44].
In addition, NG-PON2 is not only a state-of-the-art PON technology with the
potential for intense revolution in the operational models of providers but also
offers them flexible platform that is capable of enhancing their agility to the market
demands as never before. Besides, it has the ability for cost-effective support for
both the scale and capacity of the existing gigabit services while at the same time
having more than enough room for the multi-gigabit bandwidth requirements of
the future networks [38]. Consequently, based on the aforementioned advantages
and its proficiency for multiple networks converging with outstanding

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performance, in this work, we focus on the NG-PON2 system. Its PHY architecture
and development are presented in Section 6.

4. PON system coexistence

Furthermore, in an effort to make considerable profit, different operators have

been developing high-bandwidth demanding applications and services. Good
examples of such notable ultra-broadband systems are high-definition television
(TV) and mIoT. It has been envisaged that there will be a further increase in the
bandwidth demand due to the innovative services such as online gaming, home
video editing, interactive e-learning, next-generation 3D TV, and remote medical
services. However, it should be noted that NG-PON system deployment entails
huge initial investments. For instance, in the greenfield FTTH systems, out of the
total network investments, the ODN deployment takes between 70 and 76%.
Therefore, network investment optimization can be achieved by the operators with
the existing ODN exploitation. Besides, compatibility between the NG-PON evolu-
tion and the present GPON system is highly essential [35, 44].
Moreover, efficient support for bandwidth-intensive applications and services
depends on coexistence of different PON technologies. The coexistence will help in
the network investment optimization when the existing ODNs are shared. For
instance, a network in which service delivery is being offered by GPON and needs
upgrade in order to support new FTTH access technologies can coexist with the
PON technologies such as XGS-PON and NG-PON2. This can be realized with the
aids of a coexistence element. Based on the desired scenario, various ONT and OLT

Class

A B B+ C N1 N2 E1 E2

Loss Min. (dB) 5 10 13 15 14 16 18 20

Max. (dB) 20 25 28 30 29 31 33 35
Note: The degree of severity of specific class requirements could vary from one system category to another.

Table 2.
ODN optical path loss classes [42, 46].

Figure 6.
PON system coexistence.

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generations can effectively coexist over a shared ODN fiber infrastructure. Besides,
optical time-domain reflectometer (OTDR) and RF signals can also coexist with the
PON systems. This is mainly due to the fact that there is no wavelength overlap
between each of the technologies. So, this permits in-band measurement without
any service interruption [34, 45]. Different ODN optical path loss classes are
presented in Table 2.
It is remarkable that, apart from the fact that the existing GPON subscribers can
be kept together with higher-bandwidth services, the coexistence will also give the
operators the profound chance to take advantage of different approaches such as
asymmetrical and symmetrical data rates. They also have deployment flexibility by
operating on fixed or tunable wavelengths in order to offer appropriate operations
and services at suitable costs. It will also assist the operators in the NG-PON
evolution path not only by allowing them to upgrade their networks accordingly but
also for gradual migration to the evolving PON technologies that are capable of
offering the full optical potential. Thus, they have the liberty of adopting the cost
and deployment pace that best fit their precise business requirements [43]. More-
over, this will enable the operators in making further revenue by exploiting flexible
bandwidth and wavelength plans in order to support any service type as well as any
business need. Figure 6 depicts a PON system coexistence for a gradual and pay-
as-you-grow expansion [33].

5. System requirement alleviation schemes

As explained in Section 1, C-RAN is envisioned to be a promising candidate for

efficient management of the access network and the associated emergent complex-
ity. This is due in part to its cost-effectiveness and remarkable flexibility for the
network element deployments. Normally, the inphase and quadrature (I/Q) com-
ponent stream transmission in this architecture is via the D-RoF-based CPRI. It is
remarkable that CPRI-based fronthaul demands huge bandwidth which could be a
limiting factor in the 5G and beyond networks in which mm-wave and massive
MIMO are anticipated to be implemented. Consequently, an advanced optical
transmission technology such as analog RoF (ARoF) has to be employed for an
efficient fronthaul solution realization [11, 13, 14].

5.1 RoF schemes

The RoF schemes offer efficient and economical methods for modulated RF
signal transmission. For instance, it can be used for transmission from the CO, to a
number of distributed RRHs, through low-loss optical fiber networks, by employing
an optical carrier. In addition, as aforementioned in Section 1, optical and wireless
network convergence is highly imperative for scalable and cost-effective broadband
wireless networks. The envisaged convergence for the next-generation mobile
communication networks can be efficiently achieved with the implementation of
RoF. This is due to its simplicity and efficiency in conveying wireless signal via an
optical carrier. Furthermore, the inherent low attenuation and huge bandwidth of
optical link can effectively support multiple wireless services on a shared optical
fronthaul network. Moreover, with RoF implementation, the CUs and DUs can be
well-supported. This offers effective centralized network control that subsequently
presents advantages such as easy upgrade, simple maintenance, and efficient
resource sharing [11, 47, 48].
It should be noted that there are various RoF options that can be employed in the
network. Furthermore, each of the viable options presents related distinct merits

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and demerits. Out of the variants, the highly spectrally efficient scheme is the
ARoF. Besides, its implementation results in a most power-efficient and least com-
plex RRH design. Nevertheless, it is susceptible to intermodulation distortion which
is as a result of optical and microwave component nonlinearity. This results in
relatively shorter operating distance. Moreover, the transmitter components such as
oscillators, digital to analog converters (DACs), and mixers consume a considerable
amount of power. On the other hand, with D-RoF implementation, the ARoF-
associated nonlinearity issue can be effectively mitigated. However, in a scenario
where high baud rates and high carrier frequencies are required, the DAC power
consumption and expenditure are excessively high. Also, if upconversion is
required or implemented at the RRHs, it turns out to be substantially high. Conse-
quently, having a fixed phase relation among various RRHs is really challenging.
Besides, digitized sample transmission, rather than the analog signal, brings about a
significantly low spectral efficiency. The aforementioned drawbacks can be more
challenging when densely distributed RRHs are to be supported [11, 47, 48]. There-
fore, to address the challenges, a hybrid scheme that is capable of exploiting the
ARoF and D-RoF schemes can be employed. One of notable techniques for a hybrid
scheme is based on the implementation of sigma-delta-over-fiber (SDoF). This
scheme helps in ensuring digital transmission that can support simple and power-
efficient RRHs. Besides, there is no need for high-resolution and high-speed DACs
with its implementation [47].
It is noteworthy that the RoF scheme employment is contingent on physical
optical fiber availability. On the other hand, for the envisaged ultradense
small-cell deployment, fiber deployment is not only time-consuming but also
capital intensive. Likewise, there could be inappropriate system deployment due
to the associated right-of-way acquisition. For these reasons, as well as limited
number of the deployed fiber, the FSO system practicability has been considered
[11, 13, 14].

5.2 FSO scheme

FSO communication presents an alternative technology for optical fiber systems.

It is based on RF signal transmission between the CU and the DU apertures via the
free space. Therefore, being an optical wireless technology, the fiber media are not
required, and, consequently, trenches are unnecessary for its implementation.
Moreover, like a well-developed, viable, and widely employed RoF technology, FSO
scheme is capable of supporting multiple RF signal transmission. Apart from having
inherent optical fiber features like RoF, FSO scheme offers additional merits
regarding time-saving and cost-effectiveness, since there is no need for physical
fiber deployment. This makes it to be very applicable in scenarios where physical
network connectivity through optical fiber media is challenging and/or unrealistic.
Besides, it is capable of delivering broadband services in rural area where there is an
inadequate fiber infrastructure [11, 13, 14]. It is noteworthy that, when employed as
a complementary solution for fronthauling, FSO can be a promising mobile traffic
offloading scheme for alleviating the stringent requirements of bandwidth-
intensive services transmission via the mobile networks.
In addition, the FSO scheme offers a number of benefits such as high bit rates,
ease of deployment, full duplex transmission, license-free operation, improved
protocol transparency, and high-transmission security. These salient merits enable
the FSO scheme to be considered as a viable broadband access technology. It is
capable of addressing various services and applications’ bandwidth requirements at
low cost for the NGNs. Based on these, the RF signals over FSO (RoFSO) idea have
been presented. This is in an effort to exploit the inherent massive transport

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capacity of optical systems and the related deployment simplicity of wireless net-
works [11, 13, 14].
Furthermore, a DWDM RoFSO scheme implementation has the capability of
supporting concurrent multiple wireless signal transmission [49]. Nevertheless, the
FSO systems have some drawbacks due to their susceptibility to the atmospheric
turbulence and local weather conditions. The effects of these can cause beam wan-
dering, as well as scintillation, which in due course results in the received optical
intensity fluctuation. Consequently, the system reliability and availability can be
determined by the extent of the effects. As a result, FSO technology is relatively
unreliable like the normal optical fiber technology. Therefore, apart from the fact
that these can limit the RoFSO system performance, its employment for uRLLC
applications might also be limited as well. Consequently, the drawbacks hinder the
FSO scheme as an effective standalone solution. Therefore, for the FSO scheme to
be effective, the associated turbulence-induced fading has to be alleviated [2, 17,
18, 50]. Based on this, several PHY layer ideas like maximum likelihood sequence
detection, diversity schemes, adaptive optics, and error control coding with inter-
leaving have been presented to address the issue [11, 50, 51]. Besides, innovative
schemes such as relay-assisted transmission and hybrid RF/FSO technologies can be
implemented to enhance the system performance regarding capacity, reliability,
and availability [11].

5.3 Hybrid RF/FSO scheme

A hybrid RF/FSO scheme exploits the inherent high-transmission bandwidth of

the optical wireless system and the related deployment simplicity of wireless links
[2]. In addition, the hybrid RF/FSO system idea does not only base on concurrent
means of attending to the hybrid scheme related limitations, but it also entails ways
of exploiting both approaches for a reliable heterogeneous wireless service delivery.
The hybrid scheme is able to achieve this by incorporating the RF solutions’ scal-
ability and cost-effectiveness with the FSO solutions’ high data rate and low latency.
Consequently, the technology is able to address the high throughput, cost-
effectiveness, and low-latency requirements of the system. Besides, it presents a
heterogeneous platform for wireless service provisioning for the envisaged 5G and
beyond networks [11, 13, 14, 52, 53].

5.4 Relay-assisted FSO scheme

One of feasible methods of turbulence-induced fading mitigation is the spatial

diversity scheme. In this technique, there are multiple deployed apertures at the
receiver and/or transmitter sides. This is in an effort to realize extra degrees of
freedom in the spatial domain. It is remarkable that spatial diversity is an appealing
fading mitigation scheme, owing to the presented redundancy feature. On the other
hand, multiple-aperture deployment in the system causes a number of challenges
like an increase in the cost and system complexity. Moreover, in order to prevent
the spatial correlation detrimental effects, the aperture separation should be suffi-
ciently large. Furthermore, a notable approach for simplified spatial diversity
implementation is a dual-hop relaying scheme. It is noteworthy that there has been
extensive implementation of the scheme in the RF and wireless communication
systems. Application of the scheme in these fields not only aids in improving the
receive signal quality but also helps considerably in the network range extension
[2, 11, 13, 14].
Conceptually, multiple virtual aperture systems are generated in the relay-
assisted transmission with the intention of realizing salient MIMO technique

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features. The architecture takes advantage of the RF and FSO features for an
efficient and reliable service delivery. In addition, a relay-assisted transmission
system is an innovative communication technique known as a mixed RF/FSO dual-
hop communication system. The dual-hop scheme meaning can be easily under-
stood from its architecture. In the architecture, the transport networks from the
source to the relay system are RF links; however, the transport networks between
the relay system and the associated destination node(s) are FSO links. Hence, in a
dual-hop system, RF is used for signal transmission at one hop, while FSO trans-
mission is implemented at the other. The FSO link mainly functions to facilitate the
RF users’ communication with the backbone network. This is purposely for filling
the connectivity gap between the backbone and the last-mile access networks.
Accordingly, the offered architecture can efficiently address the system-related
last-mile transmission bottleneck. This can be effectively achieved by supporting
multiplexed users with RF capacities. The users can also be aggregated onto a shared
high-capacity FSO link. This will help in harnessing the inherent huge bandwidth of
an optical communication system. Another outstanding advantage of this scheme is
that any kind of interference can be easily inhibited via its implementation. This is
due mainly to the fact that the RF and FSO operating frequency bands are
completely different. Consequently, it offers better performance than the tradi-
tional RF/RF transmission schemes [2, 11, 13, 14].

5.5 RAN functional split

The RAN functional split is another innovative and practical scheme for allevi-
ating the imposed fronthaul requirements by the C-RAN architecture [11, 54]. For
instance, to address the drawbacks of CPRI-based fronthaul solutions, an eCPRI
specification presents additional physical layer functional split options and a
packet-based solution. Consequently, unlike the conventional constant data rate
CPRI in which the stream significantly depends on the carrier bandwidth, as well as
the number of antennas, the eCPRI stream does not depend on either of the factors
but on the actual traffic load. In essence, apart from being able to alleviate the
stringent bandwidth demands, multiple eCPRI stream can also be multiplexed onto
a wavelength for onward transmission over the fronthaul network [12].
In addition, with recent network architecture development, the traditional BBU
and RRU have been reformed into different functional entities which are the CU,
DU, and RRU/active antenna unit (AAU). With the configuration, the CU majorly
focuses on non-real time and part of the traditional Evolved Packet Core function-
alities. This involves high-level protocol processing like dual connectivity and radio
resource management. In addition, the DU is responsible for the real-time media

Figure 7.
Functional split options between CU and DU with emphasized PHY layer.

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access control layer functions like HARQ flow and physical layer function
processing. Also, when massive MIMO antennas are to be employed, certain parts
of the physical layer functions can also be shifted to the RRU/AAU. The implemen-
tation will not only aid in lessening the associated transmission bandwidth between
the RRU/AAU and DUs but will also help in reducing the transmission cost consid-
erably. Therefore, a number of functional split options have been presented in order
to reduce the processing and network resource cost considerably. As shown in
Figure 7, each of the option is categorized according to the demarcation point
between the CU and the DU. Therefore, depending on the deployment scenarios
and use cases, each option offers different degrees of flexibility regarding resource
allocation for different service requirements [12, 29].

6. NG-PON2 physical layer architecture design and development

The NG-PON2 physical layer requirements are very challenging. Besides, the
requirements are even more strict than the legacy PON technologies. For instance,
when compared with the GPON taken into consideration the related spectrum,
GPON employs only one channel for the transmission and one for the reception,
with a very wide wavelength allocation (up to 100 nm). On the other hand, in NG-
PON2, there are <4 nm to accommodate four channels. Consequently, this means
that the thermal control must be very precise in order to keep each channel inside
the specified channel space (which is +/20 GHz). As aforementioned, there are
multiple channels in NG-PON2 transmission; therefore, the receiver must be tun-
able so as to work for any one of them at a particular time while others are rejected.
This requirement implies that there is a need for a very tight band-pass filter too for
efficient operation. Also, the tuning time classes, already presented in Table 1 in
Section 3, are likewise strict and difficult to achieve on the hardware side. Besides,
one of the major related issues is the amount of the required optical-electrical-
optical (OEO) conversions, which can bring about an unviable and unsustainable
system [55].

6.1 Photonic integrated circuit

The optical communications evolution has initiated enhanced photonic inte-

grated circuits (PICs) that present a cost-effective alternative to data transmission.
With PIC technology implementation, a number of optical components such as
modulators, lasers, amplifiers, detectors, etc. can be merged/integrated on a single
chip. Consequently, it helps in optical system design simplification, system reliabil-
ity enhancement, as well as significant power consumption and space reduction. In
addition, there can be considerable reduction in the amount of OEO converters
required for the system implementation. This subsequently results in the total
network cost reduction [55]. Thus, it is anticipated to be an enabling and viable
technology with immense flexibility and reconfigurability in a number of fields
[56]. A PIC has numerous advantages over the traditional optical sub-assemblies
(OSAs). For instance, considering the occupied volume, the PICs allow a very dense
architecture in a small area, passing also by the optical losses; however, the losses in
the OSAs are higher because of the internal free-space alignment between each
optical component. Also, other notable advantages of the PICs compared with the
OSAs are lower power consumption, lower footprint, and cost-effectiveness.
Therefore, PICs have the capability of permitting flexible and high data rate solu-
tions [39, 55].

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In the following, for the system realization, we propose three different architec-
tures: the ONU architecture, the OLT architecture, and the architecture that can
perform both functions just by hardware selection. It should be noted that all of
these architectures have the transmit and the receive parts.

6.1.1 NG-PON2 ONU transceiver architecture

The ONU transceiver architecture is represented in Figure 8. This is a very

simple structure regarding the optical setup, but the electrical control is very tough,
mostly because of the tunability (both on the transmitter and on the receiver). In
this example, there is one tunable laser. The laser can be tuned by temperature and
can be directly or externally modulated (the latter would also need a modulator
after the laser). On the receiver part, there is an optical band-pass filter which has to
be tunable to allow one of the downstream channels and cut the rest of the spec-
trum. The tunable band-pass filter is followed by an optical receiver.

6.1.2 NG-PON2 OLT transceiver architecture

As explained before, the OLT is not tunable; both transmitter and receiver
should work on the same fixed wavelength pair, as depicted in Figure 9. Conse-
quently, four pairs of optical devices will be needed. Since it is very difficult to
encapsulate everything on the same transceiver, the solution that is being followed
commercially is having four different transceivers, one for each wavelength pair,
and the wavelength multiplexer (WM) device is external. This WM should, in each
port, allow one wavelength pair, meaning that in each port, it should pass only one
downstream and the respective upstream channel.

6.1.3 NG-PON2 OLT/ONU transmission architecture

The architectures presented in Figures 8 and 9 are the basic ones to have
functional devices for NG-PON2. But taking advantage of photonic integration, it is
possible to develop a much more complex circuit with more functionalities, which is
being presented next. Figure 10 illustrates the block diagram of an architecture that
can be used both as ONU and OLT. This helps in exploiting the advantage of both
functionalities on a single chip. The purpose (OLT or ONU) to be served can be
achieved just by hardware selection. This proposed architecture fits inside a 4
4.6 mm indium phosphide (InP) PIC. In the following subsection, we present the
final design and some obtained simulation results.

Figure 8.
ONU transceiver architecture.

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Figure 9.
OLT transceiver architecture.

Figure 10.
Block diagram of OLT/ONU transmission architecture.

6.2 PIC implementation of OLT/ONU and receiver circuits

The architecture comprises four lasers, four Mach-Zehnder modulators (MZM),

and a number of filters. Two of the filters are for changing the operational fre-
quency band (C band for upstream transmission and L band for downstream). Also,
one filter is employed for tuning the four lasers to the correct wavelength. Besides,
at the output, there is one filter working as a combiner of the four lasers. The band
selection is made using the two semiconductor optical amplifiers (SOAs) that are
placed after the band filters. It is noteworthy that the two SOAs are working as

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switches and determine the chip’s operating mode (i.e., OLT or ONU). Therefore,
one of the SOAs is amplifying the light (active SOA), while the other is absorbing
(passive SOA). Consequently, by this configuration, only one band filter is contrib-
uting to the setup. The employed lasers are built using laser cavities which contain
SOAs that are being used for gain purposes, filters, and reflectors on both sides. The
C þ L band filter helps in the selection of the downstream or upstream channel [39].
Moreover, the architecture includes also a multimode interferometer reflector
(MMIR) before the band selection and another one after each gain SOA. These
reflectors define the laser cavity limits. The second MMIR, after the gain SOAs, only
reflects 50% of the light, and the remaining 50% is the laser cavity output and is
sent to the MZM for modulation. After the modulation on the MZMs, all four
channels are combined in just one, and the resulting light signal is sent to the output

Figure 11.
Receiver block diagram.

Figure 12.
OLT/ONU integrated transceiver design masks.

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of the PIC, where a fiber will be aligned to collect the light, and subsequently, it will
be sent to the network [39].

6.2.1 PIC implementation of receiver circuit

This PIC has also a receiver circuit, but it is a simple one, with just a wavelength
division multiplexer (WDM) filter which receives the light from the network and
routes each NG-PON2 channel for a different PIN. The receiver circuit schematic is
depicted in Figure 11.

6.2.2 PIC implementation of OLT/ONU circuit

Using the photonic design kit (PDK) from the foundry Smart Photonics and a
software for PIC design (Phoenix Software at the time, meantime bought by syn-
opsis) for the implementation, the final circuit masks of the chip are shown in
Figure 12.

7. Results and discussion

In this section, we present the obtained simulation results with further discus-
sion on NG-PON2 physical layer architecture design and development based on
PICs. Figure 13 shows the spectral simulation results obtained using advanced
simulator for photonic integrated circuits (Aspic) software from filarete. On the left
figure, there is the downstream operation (L band selected), and on the right there
is the upstream (C band selected). In the figure, the spectra in blue, pink, orange,
and green are the four channels. In both cases, it is possible to conclude that there is
about 30 dB of suppression of replicas. The suppression facilitates smooth operation
of the system by preventing intra-channel interference.
The reason for using laser cavities is due to the limitations on the foundry.
During the chip’s design period, the Smart Photonics did not offer lasers on their
process design kit (PDK). Consequently, improvements in the architecture can be
undertaken to potentiate the results. For instance, the laser cavities could be
replaced by distributed feedback (DFB) or distributed Bragg reflector (DBR) lasers
that have narrow linewidth and a stable single mode operation. In this case, the
cavity would disappear, and the filtering should be done after the lasing. In addi-
tion, the architectures can be simplified using only one modulator; nevertheless, it

Figure 13.
Optical spectra at the transmitter output (a) downstream and (b) upstream.

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

would not be possible to transmit the four channels simultaneously; this implies that
only one channel can be transmitted at a time. The proposed and developed archi-
tectures demonstrate the potential of photonic integration for optical architectures.
Consequently, the architectures not only have the ability of supporting high data
rates, high density, and flexible solutions but also offer advantages such as low
power consumption, improved functionality, low footprint, and cost-effectiveness.

8. Conclusion

The 5G based system is a promising solution for attending to the growing

concerns about the traffic pressure on the network. Also, the envisaged massive
number of deployment scenarios and use cases to be supported brings about high-
bandwidth and low-latency requirements for the 5G networks. The small-cell-based
C-RAN approach can efficiently attend to the associated ultradense deployment.
However, the C-RAN-based approach imposes stringent requirements regarding
jitter, bandwidth, and latency for the mobile transport networks. In this book
chapter, we have presented wired and wireless transport solutions that are capable
of addressing the C-RAN-based stringent requirements and, consequently, the 5G
mobile transport network demands. Furthermore, owing to its significant and
inherent advantages for the 5G and beyond networks, we have focused on the NG-
PON2 system. We have exploited the salient advantages and the low footprint
platform offered by the PICs in the NG-PON2 system design and implementation.
Based on these technologies, the proposed architectures are capable of alleviating
the associated losses in the system while also helping in increasing the system power
budget. In addition, employment of the proposed architectures can help the device
makers, service/network providers, and infrastructure and chip vendors, in lower-
ing the footprint of network elements.

Acknowledgements

This work is funded by Fundação para a Ciência e a Tecnologia (FCT) through

national funds under the scholarships PD/BD/105858/2014. It is also supported by
the European Regional Development Fund (FEDER), through the Regional Opera-
tional Programme of Lisbon (POR LISBOA 2020) and the Competitiveness and
Internationalization Operational Programme (COMPETE 2020) of the Portugal
2020 framework, Project 5G (POCI-01-0247-FEDER-024539), ORCIP (CENTRO-
01-0145-FEDER-022141), and SOCA (CENTRO-01-0145-FEDER-000010). It is
also funded by Fundação para a Ciência e a Tecnologia (FCT) through national
funds under the project COMPRESS-PTDC/EEI-TEL/7163/2014 and by FEDER,
through the Regional Operational Program of Centre (CENTRO 2020) of the Por-
tugal 2020 framework [Project HeatIT with Nr. 017942 (CENTRO-01-0247-
FEDER-017942)] and [Project Virtual Fiber Box with Nr. 033910 (POCI-01-0247-
FEDER-033910)]. Additional support is provided by the COST action CA16220
European Network for High Performance Integrated Microwave Photonics
(EUIMWP) and IT (UID/EEA/50008/2013).

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Enabling Optical Wired and Wireless Technologies for 5G and Beyond Networks
DOI: http://dx.doi.org/10.5772/intechopen.85858

Author details

Isiaka A. Alimi1*, Ana Tavares1,2, Cátia Pinho1, Abdelgader M. Abdalla1,

Paulo P. Monteiro1 and António L. Teixeira1

1 Department of Electronics, Universidade de Aveiro, Instituto de

Telecomunicações, Telecommunications and Informatics, Aveiro, Portugal

2 PICadvanced, University of Aveiro Incubator, Portugal

*Address all correspondence to: [email protected]

© 2019 The Author(s). Licensee IntechOpen. This chapter is distributed under the terms
of the Creative Commons Attribution License (http://creativecommons.org/licenses/
by/3.0), which permits unrestricted use, distribution, and reproduction in any medium,
provided the original work is properly cited.

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

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Chapter 9

Role of Optical Network in

Cloud/Fog Computing
Kiran Deep Singh

Abstract

This chapter is a study of exploring the role of the optical network in the cloud/
fog computing environment. With the growing network issues, unified and
cost-effective computing services and efficient utilization of optical resources are
required for building smart applications. Fog computing provides the foundation
platform for implementing cyber-physical system (CPS) applications which require
ultra-low latency. Also, the digital revolution of fog/cloud computing using opti-
cal resources has upgraded the education system by intertwined VR using the fog
nodes. Presently, the current technologies face many challenges such as ultra-low
delay, optimum bandwidth, and minimum energy consumption to promote virtual
reality (VR)-based and electroencephalogram (EEG)-based gaming applica-
tions. Ultra-low delay, optimum bandwidth, and minimum energy consumption.
Therefore, an Optical-Fog layer is introduced to provide a novel, secure, highly
distributed, and ultra-dense fog computing infrastructure. Also, for optimum
utilization of optical resources, a novel concept of OpticalFogNode is introduced that
provides computation and storage capabilities at the Optical-Fog layer in the soft-
ware defined networking (SDN)-based optical network. It efficiently facilitates the
dynamic deployment of new distributed SDN-based OpticalFogNode which supports
low-latency services with minimum energy as well as bandwidth usage. Therefore,
an EEG-based VR framework is also introduced that uses the resources of the optical
network in the cloud/fog computing environment.

Keywords: cloud/fog computing, optical resources, virtual reality, cyber physical

system, electroencephalogram (EEG)

1. Introduction

Optical transmission is the most cost-effective technology to implement

high-bandwidth-based communication in the fog/cloud computing environment.
The passive optical network (PON) uses optical line terminals (OLT) and opti-
cal network units (ONU) for delivering fog/cloud-based services effectively [1].
Introducing this technology with the present information technology, Internet of
Things (IoT), cloud computing, 5G wireless networking, and embedded artificial
intelligence have tremendous potential to assist the development of smart applica-
tions that demand a large amount of data to be processed locally and operate on-
premise with minimum latency and network congestion [2]. Optical technology
has supported IoT-based applications for transferring massive information in a

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

virtual frictionless fashion by using the optical network elements. It has provided
new ways for various business applications to move over the latest technologies
such as big data analytics, machine learning, etc. in the era of the 5G network.
Fog computing is a new distributed architecture which brings computing,
storage, and networking services closer to the proximity of the end user [3]. As
compared to the traditional cloud computing techniques, it processes real-time
applications and data at the edge with minimum latency, minimum network
congestion, and lower energy consumption which are the key demand of many
industries such as manufacturing, e-health, education, oil and gas, smart cities,
smart homes, and smart grids [4]. Fog nodes aggregate the computing resources of
edge devices to perform the critical data-sensitive computations where the data of
analysis part is directly sent to the cloud for further processing because traditional
fog nodes have limited storage and computing power.
The integration of fog computing and PON is an inexpensive, scalable, and simple
technology to provide a most promising solution for building e-learning-based smart
educational applications [5]. The dynamic capabilities of SDN combined with the
state-of-the-art optical technologies have the ability to modernize the optical trans-
port network through its primary feature, i.e., programmability [6]. The purpose of
this chapter is to explore efficient techniques to combine SDN-based optical technol-
ogy at different levels of design and development of smart VR-based applications.

2. Utilization of optical resources in cloud/fog computing environment

In order to handle real-time and bandwidth-intensive applications, fog leverages

the computing resources of the SDN-based optical network. Figure 1 shows that the
Optical-Fog layer [7] uses ONUs in the middleware of the cloud and IoT layer. In a
typical PON channel with multiple OLTs, each OLT is connected with multiple ONUs
(16–256) [8]. The Optical-Fog layer is designed by using their residual processing,
storage, and interconnection capabilities. It can enable fast service provisioning,
dynamic service restoration, network automation, and network optimization at
different layers of the underlying network infrastructure. It makes optical network

Figure 1.
Utilization of optical resources in cloud/fog computing environment.

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centralized, intelligent, and controlled (real time) which can serve application-level
services efficiently in the heterogeneous IoT, machine learning, big data, and cloud
computing paradigms. The acronyms used in this paper are defined in Table 1.

2.1 SDN-based optical network

Presently, SDN is supporting wide area network to deal with many more tech-
nologies for delivering several benefits. It has adopted a hierarchical approach in
which domain controllers collect information and delegate the control (real time)
over the network layers and geographic clusters to support applications and provide
higher levels of service orchestrations. Initially, SDN was used in data centers for
separating the data plane, control plane, and management plane from each other
[9]. The interface like OpenFlow is used by the centralized controller to deliver
computing infrastructure for making better communication. While applying this
concept to the optical network, optical domain controller (ODC) plays an impor-
tant role. As shown in Figure 2, it provides a more programmatic and abstract view
of the underlying optical network through the northbound interface [10]. The
programming feature of SDN makes it capable of fulfilling customized demands
for manipulating network infrastructure. To handle real-time, bandwidth-intensive
applications, fog uses the computing resources of the SDN-based optical network.
The SDN-based optical network infrastructure fulfills the demand of increas-
ingly high-performance and network-based applications with flexibility and
efficiency. The key security issues in fog/cloud computing over optical network lies
at both downstream and upstream channels of PON. PON uses broadcasting in the
downstream channel which is prone to eavesdropping attacks where an attacker can
modify the behavior of ONUs at its media access control (MAC) layer. On the other
hand, the traffic in the upstream channel is only visible to the OLT rather than other
ONUs that can also be exploited for attacks. In PON network, OLT uses time division
multiplexing access (TDMA) that provides sharing of the upstream channel among

PON Passive optical network

OLT Optical line terminal

ONU Optical network unit

CPS Cyber physical systems

VR Virtual reality

EEG Electroencephalogram

QoE Quality of experience

QoS Quality of service

ONV Optical network virtualization

SDN Social-defined network

FAR Free available resource

TDMA Time division multiplexing access

MPCP Multipoint control protocol

ODC Optical domain controller

MAC Media access control

Table 1.
List of acronyms.

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

Figure 2.
SDN-based optical network.

ONUs [11]. It assigns static or dynamic nonoverlapping time slots to connected ONUs.
Here, OLT and all connected ONUs are well synchronized that result in the collision-
free transmission of the traffic or data frames. In the security aspects of PON, more
research work is required that can restrict the ONUs to send data frames outside of
their preassigned time-slots. In case if a malicious ONU intends to send data frames
outside its preassigned time slot, the collision can encounter with the data-frames of
other ONUs that degrade the quality of service (QoS) of the optical channel.
To ensure QoS and quality of experience (QoE) to the end-user for various
real-time CPS-based applications, Optical-Fog layer is utilized. To handle real-time
processing, this layer uses the optical network resources by creating OpticalFogNode.
The optical network can effectively realize the interconnected optical resources
(PON, OLTs, and ONUs) across the 5G network. It provides ultralow delay and
less energy consumption for IoT devices and uses the majority of the computing
resources of the optical layer rather than the cloud layer.

2.2 OpticalFogNode for implementing CPS system

CPS enables the integration of cyber components such as sensors, computational

and control units, and network devices into the physical components (such as
objects, end-users, and infrastructures) by connecting them to the Internet and
each other. It also has shown tremendous progress in many fields like communica-
tion, healthcare, education, manufacturing, robotics, transportation, military, etc.
It has also encouraged many innovative and ever-growing projects in the applica-
tion domain of cloud and fog computing. CPS requires a novel, highly distributed,
secure fog computing infrastructure in the heterogeneous network for strengthen-
ing its position for the mobile and wireless network in the new 5G era [12]. It can
provide unified and cost-effective computing services for smart cities, vertical
industries, and IoTs at the extreme edge of the new 5G network.
Further, the concept of an OpticalFogNode is proposed that supports low-cost
and on-demand access to the computing infrastructure of the Optical-Fog layer
in the 5G network. The main challenge is to run the CPS-based applications on the
OpticalFogNode. The optical network virtualization (ONV) and SDN provide a

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novel solution to deploy OpticalFogNode at the edge of the network. All free avail-
able resources (FARs) of the optical elements are grouped together to form an
OpticalFogNode with the computing capabilities like processor, memory, and band-
width. ONV converts the free available physical resources of the optical network ele-
ments into the virtual resources as infrastructure-as-a-service (IaaS) model. Initially,
each submitted task is categorized as CBS-based or non-CPS-based task on the basis
of requested resources in terms of processing power, storage, bandwidth, accept-
able security level, etc. The Optical-Fog manager can dynamically reconfigure the
OpticalFogNode which provides the desired reliability and QoS for the CPS. An algo-
rithm is proposed that identify all possible created OpticalFogNode on the SDN path
and assign them CPS-based tasks for further processing. The non-CPS-based tasks are
directly sent to the cloud layer only if the resources of OpticalFogNode are not free.

In the proposed algorithm, the resources required by the new task are evalu-
ated and then allocated on the OpticalFogNode. This node is scalable to provide the
required computing resources dynamically by using the concept of ONV.

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

If the computing resources of OpticalFogNode are already occupied, then there

are two options to execute the task on the basis of its preference. If the requested
new task is a non-CPS task, it can be directly allocated to the cloud. Otherwise,
CPS-centric task can be executed.

• T represents the requirements of submitted task for the framework along with
its category as CPS-based or non-CPS-based task.

• RunningTask represents the already running tasks.

• OpticalFogNode is virtual and a dynamically configurable smart node using the

concept of ONV at the Optical-Fog layer.

• TaskToPlaced all coming task to be allocated to the OpticalFogNode for further

processing.

• OpticalFogNodeNodeAvail is a free available resource at the OpticalFog.

• is a free available resource at the dynamically configured

Avail
OpticalFogNode DC
OpticalFogNode.

Further, this layer uses the SDN-based controller for optimizing the distribu-
tion of the flow among various redundant paths. In order to increase the QoS,
the shortest path is chosen that minimizes the delay. In the optical network in the
5G environment, the OpticalFogNode has a flow table which is used to match the
routing information of the received packet in the path. If there is no entry found in
the flow table, the received packet is forwarded to the SDN controller for finding
the shortest path so that the particular packet can be forwarded. Thus, a new entry
is added (once the path is chosen) in the flow table of the OpticalFogNode for the
coming future packets. Hence, the proposed SDN controller identifies the shortest
path with the least congestion among all possible paths.

2.2.1 Architecture of OpticalFogNode

In SDN-based Optical-Fog/cloud network, the key challenge with the deploy-

ment of a fog node is to make it secure from the attackers. However, attackers are
capable to create malicious programs with the ability to detect and evade their tar-
gets in distributed computing environments. Figure 3 shows that optical network
virtualization provides a novel solution to deploy OpticalFogNode in the middleware
of IoT devices and the cloud rather than deploying at cloud data centers.
SDN technology combined with optical network virtualization allows for run-
ning the control logic of each tenant on a virtual SDN controller rather deploying
and running at the cloud data centers.
The resources to the proposed OpticalFogNode can be provisioned on demand
from geographically distributed optical elements specially ONUs. The architecture
of OpticalFogNode is shown in Figure 4 where it can be deployed and configured
virtually. The architecture has southbound and northbound interface along with
SDN controllers which belong to different tenants of OpticalFogNode to emulate
them for different IoT applications. It has the capability to control optical network
elements for processing the configuring demand of different OpticalFogNode tenants
such as computing resources, topology, address scheme, node mapping options, etc.
Hence, virtual OpticalFogNode can be created in the form of infrastructure-as-a-
service for providing real-time control to each OpticalFogNode tenant over its virtual

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Figure 3.
Deployment scenario of OpticalFogNode at Optical-Fog layer.

Figure 4.
SDN-based OpticalFogNode architecture.

network. In order to form virtual infrastructure, a free-available-resource concept is

proposed which uses the freely available resources of the optical network elements
that lie at the Optical-Fog layer. Since routers and switches have limited resources,
only optical elements such as optical network units and optical line terminals are
taken into account for implementing FAR. Optical elements like ONUs and OLTs
have their own processing, storage, and interconnection capabilities that are not
fully utilized by the present network scenario. Thus, as shown in Figure 5, each
optical element has some amount of running resources as well as FAR. Our proposed
OpticalFogNode aggregates those FARs for facilitating the computing capability to
each OpticalFogNode tenant.

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

Figure 5.
Free available resource.

Hence, all FARs of optical network are grouped together to form virtual data
centers with computing resources such as processor, memory, and bandwidth.
ONV converts the physical resources of optical network elements into the virtual
resources as infrastructure-as-a-service (IaaS) model to build virtual honeypots
that prevents vulnerability and its identity from the attacker.

2.3 EEG-based VR gaming applications

SDN-based Optical-Fog network introduced as shown in Figure 3 provides optimum

bandwidth and ultralow delay for EEG-based VR gaming applications. The Edge-Fog
layer and Optical-Fog layer provide rich gaming experience and QoE for EEG-based
VR gaming applications by utilizing the optical resources than the cloud resources [13].
The Optical-Fog layer executes the game logic where the VR scenes can be encoded and
streamed at the Edge-Fog layer. SDN-based controller improves the QoE and supports
the playing of a game across the distributed geo-locations with minimum delay. It
optimizes the flow distribution among the various redundant paths inside the Optical-
Fog network to reduce the delay. In contrast to a traditional controller, the proposed SDN
controller provides the shortest path with the least congestion among all possible paths

Figure 6.
SDN-based Optical-Fog network.

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from the requesting Core Fog nodes to the Top of Rack (TOR) Fog nodes in the optical
network which is shown in Figure 6. It uses an open-loop congestion control mechanism
to employ congestion aware direct routing. Each node of the SDN network keeps the esti-
mation cost Cnc(t) for delivering packets to their destination node c [14]. It helps to find
the shortest path with least congestion by using the historical knowledge of the connec-
tion to node c and the waiting time of packets to c in the node n’s queue. It is assumed that
all nodes broadcast a request for the cost frequently to their neighbors. Also, all neighbor
nodes keep updating their cost table on the basis of the received request for the cost. To
find the shortest path with the least congestion, the node with minimum delivery cost
is selected as shown in Figure 7. The convoluted parameters are referred to as Proximity
Measure Θcn(t) and Net Destination Queue Waiting Time Ωcn(t) are used to compute the
delivery cost [13].

Q c(t)
Θ cn(t) = _____
n
c (1)
Tn(t)

The value of Θcn(t) lies between 0 and 1. The value 1 indicates the connection
between n and c, whereas 0 shows that they were never connected. Here, Tnc(t) is the
time increment, and Qnc(t) is the time duration while c and n remains connected.

2.3.1 Net destination queue waiting time

N
Ω cn(t) = ∑ (τ − an,i
c
) (2)
i=0

Figure 7.
Workflow to find the shortest path.

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

c
Here, τ id the present time and an,i is the arrival time of packets i. Since the queue
waiting time is used to predict the congestion, delivery cost can be considered as an
exponentially increasing function. Hence, the delivery cost to c via n is computed as:

Cnc(t) = Ω cn(t).[1 − Θ cn(t)] + Cnc(t − 1) (3)

Thus, the shortest path with least congestion is identified by pulling packets
toward the neighbors that have the smallest queue. It helps the SDN controller to set
the threshold value for decision making.

2.3.2 Modules placement strategy in the Optical-Fog network

In order to deploy gaming modules, an algorithm is proposed that utilizes the

Edge-Fog layer and Optical-Fog layer in the Optical-Fog network. The proposed
algorithm places gaming modules using the SDN topology and iterates over all
paths. Here, it places modules on the devices in incremental fashion starts from edge
devices dEdge to the optical devices dOptical and to the cloud data-centers. The modules
that can be placed for each fog device in the path ε dEdge ∪ dOptical are identified by
computing the processing requirement against the available capacity of fog devices.
A module M is placed on a fog device dEdge or dOptical only if all other modules are
already placed in the bottom-up path.

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3. Performance analysis

The real-time gaming applications and CPS systems require ultralow latency,
minimum energy consumption, and optimum bandwidth. The proposed Optical-
Fog layer provides the desired QoE by evaluating the following parameters such
as latency measure, energy consumption and bandwidth usage in contrast to the
traditional cloud computing.

3.1 Latency measure

The proposed system utilizes the Optical-Fog layer that reduces the delay and
improves QoE. The latency measured in the context of delay is the most concerning
issue. The communication between ONU and OLT is supported by the multi-point
control protocol (MPCP) which is a frame-based protocol [15]. Here, only GATE
and REPORT messages are exchanged between OLT and ONU. So, in the Optical-
Fog network, the delay is measured as the time between the arrival of its last bit at
ONU and the arrival of its last bit at OLT. The delay tD(fi) is the computation of
adding three basic components shown as:

tD( fi) = Γ i + tp + TR (4)

Alternatively, it is the time during which the respective REPORT message

reaches at the OLT completely, where Γi represents the one-way propagation time
of ONUi, tp represents the time between the request arriving at ONUi and the start
of the next REPORT message, and TR represents the time duration of REPORT
message [16]. Thus, the Optical-Fog layer processes more smart applications which
require ultralow delay as well as efficient QoS requirements.

3.2 Energy consumption analysis

For computing energy consumption, only the edge devices of the network is a
concerning issue because energy consumption by the PON channel is negligible.
Thus, the total energy consumption is computed as:

ΔE = EEdge−Fog + EOptical−Fog + Ecloud (5)

• EEdge–Fog = Σ(EEdge–devices) represents the energy consumed by all edge devices.

• EOptical–Fog = Σ(EONU + EOLT + EPON) represents the energy consumed by the opti-
cal elements which is negligible.

• Ecloud is the energy consumption of cloud data centers.

The proposed framework computes most of the computations at the Optical-Fog

layer which reduces the overhead on the cloud data centers. Thus, QoE is improved
by minimizing the overall energy consumption.

3.3 Bandwidth measure

Real-time applications require more bandwidth to process the extraordinarily

huge volume of data. Thus, the traditional cloud system increases the overhead
on communication bandwidth which results in increasing delay and poor QoE. To

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

compute the communication bandwidth constraint, the traffic rate is assumed to

be dispatched from the fog node i located at Edge-Fog layer to the server j located at
cloud data center through the transmission path [17]. There is a limitation λ max
i,j on the

bandwidth capacity of each path which is computed as:

0 ≤ λ i,j ≤ λ max
i,j ∀ i ϵ Nfog and ∀ i ϵ Mcloud (6)

Here, Nfog represents the set of fog devices where Mcloud is the set of cloud data
center servers. The optimum utilization of Optical-Fog network is more effective
than the traditional cloud.

4. Conclusion

The utilization of optical resources provides several benefits such as high

scalability, optimum bandwidth capacity, ultralow delay, and very less energy
consumption. A novel concept of FRF and ONV is used to create OpticalFogNode in
SDN-based optical network technology. In the realization of the SDN-based optical
network in fog/cloud environment, the optical network uses SDN controller effi-
ciently to identify the shortest path (with the least congestion) to minimize delay.
Also, the proposed framework effectively enhances the QoE by using the proposed
module placement algorithm which enhances the QoE and makes applications more
entertaining. The realization of CPS-based tasks requires optimum placement strat-
egy which is one of the concerning issues. The proposed algorithm efficiently finds
the shortest path by utilizing the concept of SDN over the optical network. The
novel concept of configuring OpticalFogNode successfully implemented to fulfill the
requirements of the CPS system. Further, the performance of the proposed system
is evaluated by effectively interpreting the delay measure, bandwidth usage, and
energy consumption. Finally, Optical-Fog-based deployment provides an effective
platform which enhances the QoE for smart applications.

Author details

Kiran Deep Singh

Department of Computer Science and Engineering, Khalsa College of Engineering
and Technology, Amritsar, Punjab, India

*Address all correspondence to: [email protected]

© 2019 The Author(s). Licensee IntechOpen. This chapter is distributed under the terms
of the Creative Commons Attribution License (http://creativecommons.org/licenses/
by/3.0), which permits unrestricted use, distribution, and reproduction in any medium,
provided the original work is properly cited.

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Role of Optical Network in Cloud/Fog Computing
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 Section 4

Advanced Relay and

Antenna Systems for Smart
Networks

183
Chapter 10

Radial Line Slot Array (RLSA)

Antennas
Teddy Purnamirza

Abstract

Radial line slot array (RLSA) antenna was initially developed for satellite
antenna receivers at a frequency of Ku-band. The success of this development
inspired researchers to continue the study to other bands and other applications,
such as Wi-Fi at 5.8 GHz. Wi-Fi applications need small antennas that lead to the
diminution of RLSA antennas. Small-RLSA antennas experienced high reflection
due to the small number of slots. One of the techniques that effectively eliminates
the reflection was developed and named as extreme beamsquint technique. Several
researches have successfully developed small-RLSA antennas by implementing this
technique for Wi-Fi applications. Furthermore, for the future, it is possible to
widen the researches to other frequencies and other features of RLSA antennas such
as multibeam, multiband, and diminution by cutting off RLSA antennas.

Keywords: RLSA antennas, extreme beamsquint, small RLSA, RLSA for Wi-Fi,
future RLSA antennas

1. Introduction

Radial line slot array (RLSA) antennas are a type of cavity or waveguide anten-
nas. These antennas were firstly developed for satellite receivers as an option
besides parabolic antennas. Unlike parabolic antennas, RLSA antennas have an
advantage of having feeders at the back of the antenna, so that the feeders do not
block out incoming signals. The other advantage is their flat shape so that they are
more aesthetic compared to parabolic antennas. Nowadays, RLSA antennas are
developed for different frequency applications such as Wi-Fi, 5th G, etc.
This chapter discusses briefly all about radial line slot array (RLSA) antennas,
especially for the linearly polarized (LP)-RLSA antennas. Firstly, in Section 2, the
review of RLSA antennas including the development of RLSA antennas, their
applications, their development obstacles and the developed technique to overcome
the obstacles are reviewed. Secondly, in Section 3, the theory of RLSA antennas is
explained which includes how the antenna works and several equations to calculate
antenna parameters. Thirdly, in Section 4, the mechanism of reflections in RLSA
antennas, which is due to slot reflections and due to remaining power in antenna
perimeter, is discussed. Fourthly, in Section 5, the theory of extreme beamsquint
technique is also explained in detail. Lastly, in Section 6, the idea of future research
in topic of RLSA antennas is briefly explained, including the idea of cutting off
RLSA antennas to smaller size, multibeam RLSA antennas, utilizing background as

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

radiating element and multiband RLSA antennas. It is hoped that the ideas can
inspire researches for the next development of RLSA antennas.

2. Review of RLSA antenna developments

Kelly introduced the concept of RLSA antennas in the 1950s [1]. Although Kelly
could produce a high-gain RLSA antenna, the structure of the antenna feeder was
still complex, leading it to be costly.
In 1988, Ando et al. proposed a RLSA antenna at a frequency of 12 GHz. This
antenna was designed using the technique of slot arrangements. The technique aims
to produce a uniform-aperture distribution. This antenna has a double-layer cavity
and exhibits a good linear polarization. Ando also proposed a beamsquint technique
to improve the poor reflection coefficient in linearly polarized RLSA antennas
[2, 3]. In the same year, by applying a reflection coefficient suppression and slot
coupling technique, Ando successfully designed a LP-RLSA antenna for satellite
applications at 12 GHz. This antenna has the efficiency of 76% and the gain of 36 dB
[4–6]. Takada et al. introduced a technique to improve the reflection coefficient
using a reflection cancelling slot technique. This technique successfully improved
the reflection coefficient of RLSA antennas from 2 to 10 dB [7]. Endo et al.
designed an optimum thickness of double-layer RLSA antennas in order to realize
the mass production of thinner RLSA antennas [6].
In 1990, Ando et al. furthermore introduced a circularly polarized RLSA (CP-
RLSA) antenna. This antenna utilizes a single-layer cavity instead of a double-layer
cavity. This simpler cavity structure improves the complexity of RLSA fabrications
and can achieve the gain of 35.4 dBi and the efficiency of 65%. Ando used two
techniques to improve the antenna performance. The first is the technique of
varying the slot length and slot spacing used to event out the aperture illuminations
of the antenna. The second is the technique of matching spiral used to reduce the
reflection of the residual power at the antenna perimeters [8, 9]. In 1991, Takashi
et al. proposed the technique of varying the slot length and spacing. Utilizing this
technique Takahashi proposed several high-efficiency single-layer RLSA antennas
with the diameter of 25–60 cm. These antennas can achieve efficiencies of between
70 and 84% [10]. Furthermore, Takashi et al. produced and marketed a-78% effi-
ciency, 32.6 dB gain and single-layer RLSA [11–13].
Australian researchers started to investigate RLSA in 1995. They reported several
investigations to design LP-RLSA antennas for satellite receivers. These investiga-
tions used the combination of the theoretical and experimental approach. The
availability of low-cost materials (polypropylene) and low-cost fabrication also
become a consideration in these researches. In 1997, Davis reported a 60 cm diam-
eter LP-RLSA prototype designed using the reflection cancelling slot technique.
This technique can overcome the inherent poor reflection coefficient of LP-RLSA
antennas [4]. Davis and Bialkowski also successfully tested a RLSA antenna
designed utilizing the reflection cancelling slot technique and a beamsquint value of
20° [14, 15]. Furthermore, Davis and Bialkowski reported an investigation of LP-
RLSA antennas utilizing the beamsquint technique for several squint angles. This
technique successfully improved the reflection coefficient under 25 dB [16]. Davis
integrated the report of [2, 4, 7, 11] to form a beam synthesis algorithm used to
calculate the design parameter of LP-RLSA antennas [17].
Due to the successful development of RLSA antennas for satellite applications,
researchers tried to bring RLSA antennas into small antenna application for Wi-Fi
devices. However, the design of small-RLSA antennas was not easy since small-size
RLSA antennas normally performed high reflection coefficient [18–20]. Hirokawa

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et al. used a technique for matching slot pair in order to reduce the remaining power
at the antenna perimeter of small-aperture RLSA, so that this technique can mini-
mize the reflection coefficient [21, 22]. Akiyama et al. also used the same technique
for matching slot pair [23, 24]. However, the technique for matching slot pair is
only used to radiate the remaining power at the antenna perimeter and does not
contribute to the antenna gain. Reference [25] introduced the use of long slots in
order to increase the ability of slots to radiate power, so that it can reduce the
remaining power at the perimeter of small-aperture RLSA antennas, thus reducing
the reflection coefficient. However, although this method can reduce the reflection
coefficient, this method also can decrease the antenna gain. This is because that
the long slots cannot radiate a focus power.
In 2002, Malaysian and Australian researchers started to investigate the applica-
tion of RLSA antennas for wireless LANs. Tharek and Ayu successfully fabricated a
low-profile RLSA antenna at a frequency of 5.5 GHz with a broad radiation pattern
of 60° used for indoor wireless LANs [26]. Bialkowski and Zagriatski investigated
the design of RLSA antennas for wireless LANs and successfully fabricated a dual-
band 2.4/5.2 GHz antenna [27, 28]. Furthermore, Imran et al. reported the design
and test of RLSA antennas for outdoor point-to-point applications at the frequency
of 5.8 GHz [29–31]. However, this design utilized a beamsquint technique that is
similar with the technique used to design RLSA antennas for satellite applications.
Hence, the diameter of this antenna is still considered large with a diameter of
650 mm, so that it is not applicable for small Wi-Fi devices. Islam reported the
utilization of low-cost FR4 materials to fabricate RLSA antennas at the frequency of
5.8 GHz for wireless LANs. This invention is quite innovative since FR4 materials
are a low-cost material and easy to be fabricated [32, 33]. However, there are some
drawbacks in designing this antenna, such as a design of overlap slots, a loss cavity
due to the use of several FR4 boards and the use of material loss of FR4. These all
lead to low gain (only 8 dB) and low bandwidth (75 MGhz).
Purnamirza et al., in 2012, introduced a technique called extreme beamsquint
technique in order to overcome the problem of high reflection in small-RLSA
antennas [34]. This technique uses the beamsquint values higher than 60°. The
theory of how the high values of beamsquint can significantly minimize the reflec-
tion coefficient is explained. Purnamirza also developed RLSA antennas that mimic
the specification of other types of antenna that is available in markets [35–38].

3. Basic theory of RLSA antennas

This section discusses the theory of RLSA antennas including the structure, the
theory of how RLSA antennas work as well as several formulas to design RLSA
antennas.

3.1 Structure of RLSA antennas

Figure 1 shows the illustration of the structure of a RLSA antenna. The figure
shows the structure of RLSA antennas consisting of a radiating element, a cavity, a
background and a feeder. The radiating element usually is a circular plate made of
metals, such as aluminium, copper or brass. The radiating element consists of many
slot pairs. One slot pair acts as one antenna element so that all the slot pairs form an
array antenna. The background is a metal plate just like the radiating element, but
the background does not have slots. The cavity is a dielectric material that has the
form of a tube. Together with the radiating element and the background, the cavity
operates as a circular waveguide that guides the signal from the feeder to propagate

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in radial direction. The feeder is a part of RLSA antennas used to feed signals from a
transmission line into the antenna.

3.2 How RLSA antennas work

Figure 2 shows the wave propagation mechanism including TEM cavity mode
and TEM coaxial mode. The feeder placed in the centre of the antenna cavity feeds
the electromagnetic power (indicated by the arrows). The feeder is an ordinary
SMA feeder, which is modified by adding a head disc. The head disc has a function
to convert the electromagnetic power from a TEM coaxial mode into a TEM cavity
mode (a radial mode), so that the electromagnetic power fed by the feeder will
propagate in a TEM mode and in a radial direction within the antenna cavity.
When the power passes the slot pair, some amount of the power escapes through
the slot pair and radiates as illustrated in Figure 3. Hence, the slot pair can be
considered as one antenna element. Since there are many slot pairs (thousands in
normal-size RLSA antennas), all the slot pairs will form an array antenna. There-
fore, this is the reason why ‘array’ word is included in the name of RLSA.

Figure 1.
(a) The component of RLSA antennas. (b) The magnified view of the feeder [39].

Figure 2.
Illustration of the TEM cavity mode and the TEM coaxial mode [39].

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3.3 Polarizations

A slot pair, which represents a signal source in RLSA antennas, is located in the
top surface of the radiating element of a RLSA antenna. A linear polarization in the
RLSA antenna can be produced by combining two signals from the slot pair.
Figure 4a shows the illustration of the slot pair. The signal from Slot 1 and the signal
from Slot 2 have a phase difference of 180° or phi radians since Slot 1 and Slot 2
have the distance of half wavelength (0.5λg Þ to each other. Since the orientation of
Slot 1 and Slot 2 is perpendicular to each other, the signals from Slot 1 (at y axis) and
Slot 2 (at x axis) are also perpendicular to each other, as shown in Figure 4b.
Figure 4b shows that when Signal 1 is increasing in positive values, Signal 2 is
decreasing in negative values. Since their position is perpendicular to each other,
the resulting wave becomes a line in Quadrant II. When Signal 1 is decreasing
towards zero and Signal 2 is increasing towards zero, the resulting signal will be a
line in Quadrant II but with a shorter length compared to the line in the previous
case. When Signal 1 is decreasing in negative values and Signal 2 is increasing in
positive values, then the resulting signal will be a line in Quadrant IV. When Signal
1 is increasing towards zero and Signal 2 is decreasing towards zero, then the
resulting signal will be a line in Quadrant IV but with the shorter length compared
to the line in the previous case. Now, we can understand that the resulting signal
of Signal 1 and Signal 2 results in a signal that looks like a straight line where the

Figure 3.
Illustration of the power escaping from the slot pairs [39].

Figure 4.
Polarization establishment in a linearly polarized RLSA [39]. (a) slot pair position (b) signal of each slot.

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

length changes as a function of time; this is the reason why its name is ‘linear
polarizations’.

3.4 Orientation of the slot in RLSA antennas

Figure 5 shows the position of the slots (indicated by ‘A’ and ‘B’) and the squint
of the inclination angles of the slots (indicated by 'θ1 and θ2). The slot pair must be
located in the correct position on the radiating surface of RLSA antennas. The slot
pair must be located in different and unique positions in order to prevent
overlapping between them.
Equations (1) and (2) express the squint of the slots obtained by the beamsquint
technique [4, 14–17, 39–43]:
� � � �
π 1 cos ðθT Þ
θ1 ¼ þ arctan � ðϕ � ϕT Þ (1)
4 2 tan ðϕT Þ
� � � �
3π 1 cos ðθT Þ
θ2 ¼ þ arctan � ð ϕ � ϕT Þ (2)
4 2 tan ðϕT Þ

where θ1 is the inclination angle of Slot 1; θ2 is the inclination angle of Slot 2; θT is

the beamsquint angle in elevated direction; ϕ is the azimuth angle of Slot 1 and Slot
2 position; and ϕT is the beamsquint angle in azimuth direction.

3.5 Arrangement of slot pairs

Figure 6 shows the geometrical arrangement of a slot pair or also called a unit
radiator. The arrangement of the unit radiator in the radiating surface of RLSA
antennas must be carefully calculated and drawn since a little deviation of the unit
radiator position will rapidly decrease the performance of RLSA antennas.
Based on Figure 6, the distance of a particular unit radiator from the centre
point of RLSA antennas is expressed in Eq. (3) [4, 14–17, 39–43]:

nλg
ρρ ¼ (3)
1 � ξsinθT cos ðϕ � ϕT Þ

Where ξ ¼ p1ffiffiffi
ffi
εr:

Figure 5.
Slot pair geometry [39].

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Figure 6.
Geometrical arrangement of a unit radiator [39].

Equation (4) expresses the distance between two adjacent unit radiators located
in two different rings (the distance in the radial direction) [4, 14–17, 39–43]:

λg
Sρ ¼ (4)
1 � ξsinθT cos ðϕ � ϕT Þ

Equation (5) expresses the distance between two adjacent unit radiators in a
same ring (the distance in the azimuth direction) [4, 14–17, 39–43]:

2πλg q
Sϕ ¼ pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi (5)
2 2p
1 � ξ sin θT

where λg is the length of the wavelength inside the cavity of RLSA antennas; εr is
the relative permittivity of the cavity of RLSA antennas.
n is the ring numbers (1,2,3, etc.); q is the integer numbers (1, 2, 3, etc.) that
express the distance of the innermost ring from the centre of RLSA antennas; and p
is the number of unit radiators in the innermost ring.
The parameters of Sρ , Sϕ , ρρ ,ρ1 , and ρ2 are shown in Figure 7. Since the distance
from the centre of the unit radiator to Slot 1 or Slot 2 is ‘λg =4’, Eqs. (5)–(7) express
the distance of slots from the centre of antennas [4, 14–17, 39–43]:

ðn � 1 þ q � 0:25Þλg
ρρ1 ¼ (6)
1 � ξsinθT cos ðϕ � ϕT Þ
ðn � 1 þ q þ 0:25Þλg
ρρ2 ¼ (7)
1 � ξsinθT cos ðϕ � ϕT Þ

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Figure 7.
Definition of some slot parameters [39].

3.6 Length of slots

The length of the slots on the radiating surface of RLSA antennas must be varied
in order to achieve a uniform aperture illumination. The farther a slot from the
centre of the antenna, the longer the length of the slot will be. The length of the slot
is the function of ρ that is the distance of the slot from the centre of the antennas, as
expressed by Eq. (8) [42]:

  12:5 x109
Lrad ¼ 4:9876 � 10�3 ρ (8)
f0

The formula in Eq. (8) is an approximate formula. To get an accurate formula,

we need to do some measurements and experiments.

4. Reflection in small-RLSA antennas

4.1 Signal reflection due to remaining power

The power (P) comes from the feeder, which is located at the centre of the
antenna, and flows towards the antenna perimeter, as illustrated in Figure 8b.
When the power passes the slots, some amount of the power radiates through the
slots. The power inside the cavity will decrease every time the power passes the slots
and will continue to decrease until the power reaches the antenna perimeter. Equa-
tion (9) expresses the remaining power (PR) at the antenna perimeter [42]:

ðPR Þ ¼ P ð1 � αÞn (9)

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Figure 8.
(a) Top view of RLSA. (b) Cut view of a RLSA antenna and the power flow mechanism inside the RLSA cavity [39].

Figure 9.
Illustration of the reflected signals from the slot [39].

Equation (9) shows that the amount of the remaining power depends on the
number of rings (n), which is also proportional to the number of slots. For small-
RLSA antennas, which have a small number of slots, the amount of the remaining
power at the antenna perimeter will be high. Part of this remaining power will be
reflected back to the feeder and result in a high signal reflection, thus increasing the
reflection coefficient. For normal-size RLSA antennas, which have thousands of
slots, the remaining power at the antenna perimeter is very small so that its effect to
the signal reflection is neglected.

4.2 Signal reflection due to the reflected signal from slots

Figure 9 shows the front cut view of a RLSA antenna and the signal flow within
the cavity of the RLSA antenna. The grey arrows represent the signals that flow
from the centre of the RLSA antenna to the antenna perimeter, and the black arrows
represent the reflected signal from the slots. Figure 9 shows that since the distance
between the slots (d) is λg/2, the signal from slot ‘A’ will travel for λg/2 to reach ‘B’.
At ‘B’, some of the signal will be reflected back and travel for another λg/2 to reach
‘A’. Therefore, the reflected signal from slot ‘A’ and slot ‘B’ will have a different

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

phase of λg/2 + λg/2 = λg or 360° (or can be said there is no phase difference), so that
they will strengthen each other and result in a high signal reflection [42].

5. Extreme beamsquint technique

The ability of beamsquint technique in minimizing the reflected signal from the
slots depends on one condition, that is, the number of ring must be sufficient. As an
example, Figure 10a and b shows the reflected signals of a three-ring RLSA antenna
and the reflected signals of a two-ring RLSA antenna, respectively. Since every ring
consists of two slots, hence, there are six reflected signals for the three-ring RLSA
antenna and four reflected signals for the two-ring RLSA antenna. It is assumed that
the amplitude of all reflected signals is the same in order to simplify the analysis.
From Figure 10a, it can be observed that all the graph space is covered by the
reflected signals; hence the combination of all reflected signals will cancel out each
other, and the minimum signal reflection is obtained. In contrast, from Figure 10b,
it can be seen that not all graph space (the area pointed by ‘A’) is covered by the
reflected signals; hence the combined signal will be greater than the combined
signal in Figure 10a.
From the example in the previous paragraph, it can be concluded that a smaller
number of ring will decrease the ability of beamsquint technique in cancelling the
reflected signal. Therefore, this is the reason why the reflection coefficient of small-
RLSA antennas, which have few numbers of rings (less than 2), is high and why the
normal beamsquint technique fails to minimize the reflection coefficient of small-
RLSA antennas. The next section will explain how the proposed extreme
beamsquint technique can reduce the high reflection coefficient of small-RLSA
antennas by increasing the number of ring.
The position of the ring in radial direction (Sρ ) can be expressed by Eq. (10) [21]:

rλg
Sρ ¼ (10)
1 � ξ sin θT cos ðϕ � ϕT Þ

θT is the beamsquint angle, ϕ is the position of slots in azimuth, ϕT is the

azimuth angle of beamsquint and r is the ring number. Figure 11a illustrates the
definition of all this parameters.
Based on Eq. (10), by utilizing r = 1, ϕT ¼ 0 and ϕ = 0–360°, the rings for
beamsquint angle of 10°, 30° and 60° are plotted as shown in Figure 11b.

Figure 10.
(a) Reflected signal of a three-ring RLSA antenna. (b) Reflected signal of a two-ring RLSA antenna [39].

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Figure 11.
(a) Illustration of some parameters of ring position. (b) Plot of the ring for beamsquint of 20, 30 and 60°.
(c) Plot of various ring numbers for beamsquint angle of 20°. (d) Plot of various ring numbers for beamsquint
angle of 80° [39].

It illustrates that the beamsquint technique performs the ring in the shape of ellipse
rather than in the shape of circular. From Figure 11b, it can be observed that the
position of the ring at the left-hand side will move closer to the centre of the
antenna as the beamsquint increases. In contrast, the position of the ring at the
right-hand side will move farther from the centre of the antenna as the beamsquint
increases.
Still based on Eq. 3, by utilizing ϕT ¼ 0 and ϕ = 0 to 360°, the rings are plotted
for various ring numbers both for the beamsquint angle of 20° and 800 as shown in
Figure 11c and d, respectively. From these figures, it can be observed that at the
left-hand side, the distance between rings for beamsquint angle of 80° is shorter
than the distance between the rings for beamsquint angle of 20°. Due to the shorter
distance between rings, the beamsquint angle of 80° has more rings (nine rings)
that can be plotted in the antenna area compared to the beamsquint angle of 20° (six
rings). Based on the previous examples and explanations, it can be concluded that
the higher beamsquint angle can yield more rings. This fact is very useful to include
additional rings for the small-RLSA antenna, which originally has a low number of
rings (less than 2). The extra number of rings will have more ability to minimize the

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

reflection coefficient of small-RLSA antenna. The use of extra high beamsquint

angle underlies the naming of extreme beamsquint technique.

6. Future development of RLSA antennas

Space to be explored for RLSA antennas has remained wide, since only few
researchers study this topic. This is due to the drawing slots of RLSA antennas that
are difficult without using computer programmes. This is unlike microstrip anten-
nas which are easy to draw since their shape is simple. Moreover, it is more difficult
to fabricate RLSA antennas compared to microstrip antennas since there is no row
material that is ready to be cut or to be formed. This is unlike microstrip, which can
use many types of boards such as FR4. Therefore, due to these reasons, less
researchers are interested in studying RLSA antennas than microstrip antennas.
Below, several research ideas in the field of RLSA are presented to be explored
deeper, especially for doctoral dissertation and master thesis.

6.1 Cutting antennas

6.1.1 Concentrated slot area

The use of extra high beamsquint results in concentrated slots in a certain area of
radiating elements, and leaving other areas vacant from slots, as shown in
Figure 12a.
Our hypothesis is that since the vacant area is not useful, then it can be cut off,
thus resulting in a smaller antenna, as shown in Figure 12b. We have studied that
definitely there will be an effect of the cut, which is a leakage power along the
cutting line, shown in Figure 12c. This leakage power reduces the antenna gain.
However, the antenna gain will not be affected significantly since the power density
within the cut antenna will increase, thus also will increase the gain, then counter-
ing the decrease gain due to the leakage power.

6.2 The use of background as radiating element

Theoretically, only radiating elements that are used as place for slots, as shown
in Figure 13a. The background always functions as conventional background to

Figure 12.
(a) Concentrated slots. (b) Cut antennas. (c) Leakage power.

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Figure 13.
(a) Radiating element. (b) Background. (c) Radiation pattern.

Figure 14.
(a) Design of dual-beam antenna. (b) Beam result.

radiating elements. Our hypothesis is that the background can be used to draw slots
on it, as shown in Figure 13b. This will result in a dual-beam antenna as shown in
Figure 13c. Of course, the gain will decrease by 3 dB compared to the originally
single-beam antenna, since the power is divided into two beams.

6.3 Multibeam antennas

Multibeam antennas can be produced by designing slots using different

beamsquint values. The slots are grouped and placed based on its beamsquint
values. Figure 14a shows the slot design of two beams, and Figure 14b shows its
beams. Things to note are that there will be a slot coupling between adjacent slot
groups, which will lessen the sharpness of beams or the gains. Therefore, it is
needed to put the slot group not too close together such that we get satisfied gains.

6.4 Multiband antennas

Multiband antennas can be produced by designing slots using different frequen-

cies. Figure 15 shows the slots that are used for two frequencies. It is noted that we
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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

Figure 15.
(a) Design of dual-band antenna. (b) Band result.

cannot differentiate between the 5.4 and 5.8 GHz slots since they are plotted mixed.
This will not effect to the gain since all slots are designed using a same beamsquint
value. Research on this topic can be as follows: firstly, a study on how to correctly
place different frequency slots, so that the correct placement will not increase
antenna reflections. Secondly, a study of how far two different bands or more can
be separated since a different band needs a different feeder structure. However in
multiband antennas, we use a same feeder structure so that it will effect to the
increase of reflection, such that different bands cannot be separated too far.

7. Conclusions

RLSA antennas have been developed since the 1980s until nowadays. They were
initially developed for satellite receiver antennas. Due to their advantages, such as
high gains and flat shapes, these antennas have been also developed for small device
applications at smaller frequencies, such as Wi-Fi, 5th G, 4th G, etc. However
developing RLSA antennas for small device applications had been facing the prob-
lem of high signal reflections, due to the limited number of slots. Several techniques
had been proposed to overcome the problem. Among the techniques, the extreme
beamsquint technique is the most effective technique in reducing signal reflections.
By resolving the problem of signal reflections, the research areas for RLSA antennas
become wide open, especially for multibeam RLSA antennas, multiband RLSA
antennas and size minimization by cutting RLSA antennas.

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Author details

Teddy Purnamirza
Universitas Islam Negeri Sultan Syarif Kasim, Pekanbaru Riau, Indonesia

*Address all correspondence to: [email protected]

© 2019 The Author(s). Licensee IntechOpen. This chapter is distributed under the terms
of the Creative Commons Attribution License (http://creativecommons.org/licenses/
by/3.0), which permits unrestricted use, distribution, and reproduction in any medium,
provided the original work is properly cited.

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

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Chapter 11

New High-Speed Directional Relay

Based on Wireless Sensor Network
for Smart Grid Protection
Ali Hadi Abdulwahid

Abstract

The production of energy from water represents large amounts of clean and
renewable energy. However, only 30% of this energy has been developed so far.
Hydropower, particularly hydropower plants, is not only environmentally friendly
but also economical, and operates more efficiently than any other renewable energy
system. Hydropower plants are largely automated and have relatively low operating
costs. The main components of the power system must be continuously monitored
and protected to maintain the quality and reliability of the power source. This task
is provided by the data collection, monitoring and protection system. Turbines
must be protected not only by short circuits but also by abnormal conditions.
The proposed protection has been designed to avoid damaging the original power
(motor or turbine), this usually happens when the generator fails, and the machine
operates as a synchronous motor connected to the power system. In this case, the
generator becomes an active load, causing a rise in temperature and severe damage
to the main turbine, and hence it becomes a need to quickly detect these conditions.
This study proposes a new controller for Neuro-Fuzzy to prevent reverse power
flow and to keep the quality and reliability of supply. Fuzzy system network has
attracted various scientific and engineering researchers. The new feature of this
work is to adjust the membership function as a reverse mechanism derived of the
Fuzzy Logic Controller. The smart meter network is the basis of the smart grid. In
this study, smart grid meters were implemented using ZigBee technology based
on wireless sensor networks. The ZigBee network of wireless sensors due to its low
battery, low power consumption, become more useful than other wireless com-
munication systems to provide a high-performance measurement. This study shows
the ZigBee network using the OPNET simulation. Depending on the performance,
parameters were analysed to understand the operating characteristics of the star,
tree, and mesh.

Keywords: smart grids, ZigBee IEEE 802.15.4, neuro-fuzzy network, directional relay

1. Summary

Literature reviews play a vital role in improving renewable energy because

science is still a cumulative effort in the first place. As with any discipline, the
synthesis of rigorous knowledge becomes indispensable to keeping up with the is
growing searched pace of smart grid domain, which is developing exponentially
by academics and engineers and scientific searched in the content of many papers,

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

evaluated and synthesized [1–3]. The proposed study could provide a theoretical
basis for confirming the need for investigative questions, proving that research
methods have increased accumulated knowledge. Besides, high-quality reviews
have made researchers look for a lot of literature when conducting empirical
research.
In addition, high-quality reviews have made researchers look for a lot of
literature when conducting empirical research. To conclude, our main objective
in this chapter is to develop solutions to improve the spread of distributed energy
and with high-speed synchronisation communication, that is central to the
continuous development of the smart grid field. We hope that ours. This chapter
will serve as a valuable source for those conducting, evaluating or engineers in
this important and growing domain. The future distribution network may include
a large-scale distributed power generation penetration into the smart grid. This
scenario is aimed at the transition from a passive distribution network to an active
distribution. The integration of DG units has a significant impact on the operation
of power flow, voltage distribution, and protection systems in the distribution
network [1]. (1) Explore issues that drive the demands of future rapid Intelligent
protection systems, (2) design and develop a protection strategy that can be
applied to any grid equipped DG. The concept of innovative protection must
ensure the selectivity of protection in case of failure, (3) apply the new concept of
intelligent protection algorithm.
As a result, the performance of the existing distribution network’s traditional
inverse-time protection system was evaluated. In this way, we have identified
the problems faced by the current applicable protection strategies; the results
of the simulation prove that the traditional protection system is insufficient to
provide a satisfactory level of protection selectivity. This chapter introduces
the transformation of the traditional protection strategy to the future intel-
ligent distribution network protection system. This shows how unprecedented
advances in sensor technology and the emergence of new communication proto-
cols have stimulated innovation in protection systems. The latest technological
advances have enabled existing protection systems based on local information
to be transferred to innovative security systems, In Addition; the details of the
new communication mechanism for the application of high-speed protection
systems were discussed. Clever’s protection strategies are fast, flexible and offer
a high level of selectivity protection.
This chapter designs and develops a new concept of intelligent protection
strategy. This approach applies to any network administered by DG. The proposed
intelligent protection system aims to reduce the time to eliminate failures, to
ensure the selectivity of protection and to enhance the availability of the units of
the DG throughout faults. The new scheme of realising a protection scheme using
advanced sensor, neural fuzzy scheme and ZigBee network is expounded. The
intelligent algorithm ensures the selectivity of the protection by minimising the
time of failure and eliminating the problem of the large time disconnection in
the system [1].

2. Introduction

The smart grid (SG) is the next generation of power grids. Its purpose is to over-
come the problems that exist in the conventional power grid. Smart grid technology
has been used, such as sensors and communication networks, and advanced soft-
ware and sensors to provide control and enhance the protection and optimisation
of all network components, including production, transmission, and distribution.

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Although neural networks implement to solve tuning problems, the fuzzy logic
controller is intended to use structured knowledge in the form of rules [4, 5].
The combination of Fuzzy Logic and neural networks provides the ability to solve
optimisation problems. This new method consolidates the established advantages of
both approaches and avoids the limitations of both approaches. Control algorithms
are used to prevent unexpected fluctuations in voltage and frequency. Smart grids
use energy storage systems and communication networks to ensure total coordi-
nation between power generation and energy use. Reduce the energy loss of the
network to minimise demand and energy costs [6–8]. A reliable, real-time informa-
tion flow among parts of the network is critical to the success of the smart grid
self-regulation process. There are many wireless standards for technical applications
[9]. One of the most popular technologies is ZigBee wireless sensor network (WSN),
which is distributed on the smart grid structure, which has a lot of equipment to
communicate with each other through the wireless network. These electronic devices
are called Sensors/Detectors/Transducers [9]. Sensors are devices that can recognise
several of the physical units, such as current, voltage, impedance, etc. Also, the
ZigBee system is featured by low energy consumption. It is also more economical
than other communications because it provides flexibility and scalability [10–12].
The construction of this chapter is as follows: Section 2 confers a study of the SG
communication system. The proposed protection system and results are analysed
in Section 3; Section 4 the wireless sensor network using OPNET and simulation
results; In Section 5, the conclusions are discussed.

3. The smart grid communication network architecture

The old communication system is characterised by limited efficiency and limited

information exchange; the intelligent metering network is the backbone of a smart
distribution network. It is essential to select the appropriate communications to
facilitate the real-time flow of bi-directional information. It is mainly used by the
main transmission point and a limited number of sensors on the transmission line
for control and fault detection. Compared with the traditional network, an intelli-
gent system contains a much larger number of sensors. Sensors are used to exchange
information between terminals devices and data centres to handle such a large data
stream, the SG must-have reliable communications and security infrastructure.
The communication infrastructure must be self-managed and configured to change
automatically [13].

Figure 1.
Communication network architecture [14].

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

Figure 1 shows the smart grid communication architecture, including the neigh-
bourhood network (NANs), home LAN (HANs), wide area network (WANs), substa-
tion and data centre. These networks as follows will be displayed briefly [14–16].

3.1 Wireless area network (WAN)

It serves as backbones that help the power grid that provides communication
between utility systems and substation systems. The can help prevent power
outages by providing real-time information from the electricity grid. It supports
real-time control and protection. This system is useful when dealing with unfore-
seen contingencies, and it is essential to avoid interruptions and failures [17–20].
This application helps in performing a generator process and provides support for
large power systems. The main disadvantage of this kind of WLAN is the possibility
of devices interfering at the same frequency is high. The network operates between
2.4 and 3.5 GHz. Among its advantages are low-cost equipment, the use of which
has spread across a wide range of applications.

3.2 Network home area (HAN)

Some technologies introduced in the Home Network System are ZigBee, WLAN
with PLC. The construction of a Building Area Network (BAN) is considered to be
more complicated than the Home Area Networks (HAN). The HAN can be classi-
fied as a part of the customer network structure; HAN is often used by consum-
ers in the housing and business sectors, using power tools to communicate [21].
It is a combination of connected devices, management software and dedicated
LAN. HAN supports communication between smart meters and appliances used
in homes, industries or buildings. It supports several other services, including
Demand Response, pre-payment, real-time pricing and load control. The essential
of the HAN communication system is to include low-cost, low power consumption
with secure communication [6, 10, 22].

3.3 Neighbourhood area network (NAN)

NAN is best described as a bridge between WAN and HAN and used in a NAN to
collect data of points adjacent with the help of intelligent electronic devices (IEDs),
which are widely deployed in the whole area. It is a two-way communication tech-
nology developed that give information about the control system for smart grids.
Compared to WAN, the data rate is not high, and the transmission power is low for
short-range transmission. WLAN, PLC and ZigBee are some of the techniques on
which the NAN network can be implemented [23].

4. Proposed protection system simulation and modelling

In some cases, the generator starts to behave like a motor when the prime
mover does not provide enough torque to keep the generator rotor rotating at the
same frequency as the line of the parallel power source, and instead of giving
power; it draws power from the parallel power source. Also, if the synchronisa-
tion ranges process rotates slowly, also both the loss of the alternator excitation.
The governor is the fault of the original sender. Similarly, the generator will
also extract the current from the source line [24]. When the rotating part of the
generator fails, the generator stops generating electricity and starts drawing elec-
tricity from the parallel power source [25]. This situation may damage the drive

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unit and is not desirable. It should be detected as soon as a possible problem, and
quickly disconnect the equipment from the parallel power supply, thereby pro-
tecting the generator from damage. In exceptional turbine cases, the power supply
direction is changed from line to generator. It usually uses a directional protection
relay to monitor the current flow and take appropriate action to prevent all outage
case. The directional protection relay is working when the reverse power exceeds
a certain percentage of the rated power output; it will trip the circuit breaker of
the generator, disconnect the generator from the line under not normal circum-
stances, the relay setting is about 5% of the power generator [26]. The directional
protection relay is located on the generator latch cabinet and is an integral part of
the circuit breaker. The structure of the relay is designed to limit the reverse cur-
rent flow depending on the amount of current and voltage between the two phase
angles. If the line power is inverted, the current through the relay current coil will
be inverted concerning the polarisation voltage and provide directional torque
[27]. This technique compares the relative phase angle between the (current and
voltage), as shown in Figure 2.
Typically, the phase angle is used to define the fault compares to the refer-
ence value. The voltage is usually applied as a reference amount. By comparing
the operating voltage and current phase angle, can be inferred the fault occurs.
Therefore, the fault current can be described with the phase relationship with
the voltage line −90 for the forward fault, 90 for reverse fault. The relay wills
response to the phase angle difference between the two quantities to come out trip
signal [28]. In cases where optimal protection is required, Rogowski coil current
sensors are used as CT and PT to avoid faults in conventional AC Transformers
and must set a certain amount of delay during operation, to prevent power
fluctuations, the transient effect during synchronisation. If the angle between
the current vector and the voltage is Δ, the power flow is −900 < Δ < 900 [29].
Under normal conditions, the voltage overlaps with the current range is more
significant than their non-overlapping interval. However, in the case of reversing
energy flow, this overlap is reduced to a lower level. Figure 3 shows this assembly
and implementation. The low signal of the current and voltage of RC sensors
changes to form a square wave having a value of “±1” and then multiplying these
level signals to produce a positive number in the overlap interval, in the negative
numbers are generated in the non-overlap interval [30].
The integration limit of the scheme is set to zero, therefore the integration of the
load is perpetually <0 under normal conditions. However, in the opposite trend, the
production condition system as a whole tends to decline until the threshold constant

Figure 2.
According to the reverse power relay current with a voltage vector diagram.

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

Figure 3.
Diagram of implementing a directional component.

Figure 4.
Modelling of a directional relay component.

is reached. In this situation, the constant is set to 0.01 and the select value based on
the amount of reverse power [23]. The output of the reverse power relay (RPR) is
transferred to a decision where the production is one for normal operation, zero for
abnormal conditions, as displayed in Figure 4.
Figure 5(a) presents the 3ø current directions, cos ø, and power factor, and
Figure 5(b) the same ideas of the P and Q expansion.

4.1 The adaptive neuro-fuzzy approach

The selection of the membership function dramatically affects the quality

of the fuzzy controller. Therefore, the method requires a more fuzzy logic
controller. In this paper, a new method of neural networks is used to solve the
adjustment problem of a fuzzy logic controller. We consider a dynamic system
of multiple entrances, a single exit. The system is exported to the desired state of
the control action can be described by the concept of the well-known “if-then”
rule, where the input variables are first converted to their respective linguistic

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Figure 5.
(a) Quadrants of current/voltage. (b) Quadrants of a power.

Figure 6.
Control method using adaptive neuro-fuzzy.

variables, also known as fuzzification. The value of these rules certainly output.
Then use defuzzification to convert the output to a precise value. For simplicity,
we used a modified centre of area method, and the Triangle fuzzy set will be used
for input and output.
The linguistic form of the control rules is the basis of the designed fuzzy unit. It
depends on the accuracy of the choice of parameters, which is the translation of the
linguistic rules of the fuzzy set theory. The neural network (NN) is used to improve
the selection of these parameters. In this scenario, the neural network is combined
with the fuzzy logic unit. As shown in Figure 6, it uses the first fuzzy logic rule
and then uses the neural network to generate the automatic adjustment output.
References input [in (1)] related to the existing input [in (2)], product e(t), and
incremental changes Δe(t) [31, 32]:

Δe(t) = e(t) − e(t − 1) (1)

The proposed unit has two input factor gain measures of control, Ge and
GΔe, and one scaling gain GΔu. The output-input scale factors are expressed as
follows:

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

ΔeN(t) = 𝛥𝛥e(t).G𝛥𝛥e, (2)

eN(t) = e(t).Ge (3)

In the same eN and ΔeN scaling factor system to identify the fuzzy logic con-
troller input signal product [33, 34]. Fuzzy logic controller output signal is ΔuN,
it is the scale factor input. The neural network has two inputs, e(t) and Δe(t), and
the neural network signal output α, which is used to fine-tune the product control
of the operator. The output signal of the scale factor can be expressed by the
formula:

𝛥𝛥u(t) = Δ uN(t)α.G𝛥𝛥u (4)

The output signal can be written as follows:

u(t) = 𝛥𝛥u(t) + u(t − 1) (5)

The results are displayed in Figure 7, which illustrates the specified fuzzy rules.
We have selected fuzzy set and membership functions, Table 1 summarizes the
development of the rules used in this study [1].
Forming a neural network composed of three layers (two input layers, three hid-
den layers and one output layer). Neural network input (NN) is including the same
number of output of fuzzy logic. The activated function has a value from −1 to +1
for the output signal, as shown in Figure 8 [35–37].

Figure 7.
Fuzzy logic membership functions.

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Table 1.
Rules of FL.

Figure 8.
The description of the neural network compositions.

−x
1−e
f(x) = _____ (6)
−x
1+e

The activation function neuron in the output layer is:

1
h(x) = _____ (7)
−x
1+e

Control Unit based on the measured output signal u(t) from neuro-fuzzy circuit
to adjust the trip circuit:

θ new = θ initial − k.u (8)

where the θ initial is the initial switching output and k is a constant.

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4.2 Simulation results

As shown in Figure 9, the simulation design uses 200 MVA /11 kV, with a
synchronous generator connected to a transmission line 25 kV through an 11/25
transformer, 60 Hz, Load10 MW, and 3 Mvar. Relays are tested in a variety of situa-
tions. The conditions and results of the discussion are as follows.

Figure 9.
Model of a reverse power relay in an electrical power system.

Figure 10.
(a) Performance of input-output power; and (b) relay status.

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Figure 11.
(a) Performance of the input-output power; and (b) relay status.

The structure of propose protection is shown in Figure 4. The nodes of in_1 and
in_2 represent the input variables and pass their values to the blocks that contain
the respective membership functions in Neuro-Fuzzy controller. The relays are
tested under a variety of conditions. We have provided the details of the system in
Table A1 [1].

4.2.1 Simulation results under the normal condition

In this case, the mechanical power input of the generator within 1–2 seconds
differs from 0.6 to 0.7 pu, at the under normal circumstances the observed state is
shown in Figure 10, and the relay does not trip.

4.2.2 Simulation results under the faulty condition

In this case, the mechanical power input in 2–3 seconds from 0.7 to −0.1 pu.
Relay responds to this change after 0.15 second for safe, and the relay is triggered,
where the fault occurred at 2 seconds as shown in Figure 11. Input Mechanical
Power (pu).
The reverse current adjustment knob and the delay time are shown in Table A2
of the Appendix, and then the trip is confirmed with the minimum reverse current
in the range of 2–20%. The trip time delay setting range is 0–20 seconds.

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5. Wireless sensor network using OPNET simulator

5.1 Zigbee network method

The OPNET modeller is one of the most important simulation tools for com-
munication network inspection. ZigBee networks are known for their low power
consumption, low cost, low data rate, and high battery life.
The current work as shown in Figure 12, consists of the workstation featur-
ing a coordinated connection to six routers, with eight nodes installed at a range
(200 meters) from each other. To participate in the calculation of system variables,
the OPNET collected a large number of variables. The indicators relate to two types
of statistical data for the agreement: local and global statistics. However, in terms
of network performance, this study is more occupied in collecting quantitative
information for the system. As a result, current research is based on data obtained
from global statistics [1].
The values of the design parameters are shown in Figure 13, and the values of
the parameters on the router are shown in Figure 14. Transmission power is esti-
mated to be 0.1 w.
The ZigBee coordinator parameter is illustrated in Figure 15.

5.2 Simulation results

The simulation results are simulated under different topologies of the wireless sen-
sor network, and the effects of different topologies on network efficiency are discussed.

Figure 12.
Basic scenario consisting of one coordinator, (6) routers and (8) end devices.

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Figure 13.
End-device parameters.

Figure 14.
Router parameters.

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Figure 15.
ZigBee coordinator parameter.

Figure 16.
Throughput case.

5.2.1 Throughput

Defined as the average number of bits or packets that are successfully transferred
from source to destination. The steady-state results for the star, mesh and tree topol-
ogy are 0.041, 0.034, and 0.028 Mbit/s, In the star topology, can achieve maximum
throughput, this finding is that the star topology interacts with the personal area
network (PAN) coordinator, (Figure 16).

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5.2.2 Data traffic sent

As shown in Figure 17, and finding indicates that the maximum data traffic is in
a star topology because this topology type allows communication with the coordina-
tor. The data traffic sent was 0.1465, 0.0385, and 0.0325 Mbit/s, for a star, mesh and
tree topology [1].

5.2.3 Data traffic received

Data traffic is defined as the number of data bits received per unit of time.
Figure 18 shows that the received data traffic for (star, mesh, and tree) topology is
0.650, 0.650, and 0.3805 Mbit/s.
This discovery means that the traffic received in the star topology is the largest
because all devices communicate via the PAN coordinator and are responsible for
generating traffic and routing [1].

Figure 17.
The total number of data bits transmitted.

Figure 18.
Data traffic received.

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5.2.4 End-to-end delay

It is the time it takes for a home target application to get the package generated
by the source application. The results show the mesh/tree, and star topology delays
are 9.6 and 7.9 ms. And the delay time of the mesh/tree topology is longer than
that of the star topology, as shown in Figure 19. In a star topology, only one parent
object is represented by a ZigBee coordinator. Therefore, the final mobility of the
device may cause some delay.

5.2.5 Medium access control (MAC) load

As shown in Figure 20, MACload is used for forwarding the load for each PAN
in the transmission of packets in the IEEE 802.15.4 MAC, that is, the physical layer,
in the upper layers. The performance of the MACload presents similar results to the
throughput performance. In other words, this result confirms the conclusion that

Figure 19.
Data arrival rate against delay.

Figure 20.
Simulation scenario against a MAC load.

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Definition Value

Test zone (radius) ~100 meters

Number of end devices 8

Number of routers 6

Number of coordinators 1

Mobility model Random

Simulation duration 1200 s

Table 2.
Summary of the simulation parameters.

the faster the load transfer to the upper layers from the physical level is, the more
efficient the network. As shown in Table 2 the local routing information covers
only a small area (the diameter of the test distance is about 250 meters) [1].

6. Conclusions

The difference between the ZigBee and the WiMAX mobile networks is the
distinction in their technology standard. The WiMAX mobile networks used in the
simulation employ the IEEE 802.16 standard technology, whereas ZigBee follows
the 802.15.4 standard. Mobile WiMAX seems to have better functionality than
ZigBee, but taking into account the scalability of the latter, the former can install
additional ZigBee devices because of its low-cost features and the possibility of
reducing the battery size and operation hours. However, ZigBee may be more effec-
tive in certain areas because if its low energy consumption rate. The advantages of
proposed protection are as follows:
(1) To prevent the flow in the opposite direction, and damage to the generator
or the main engine. (2) To avoid the occurrence of explosion or fire, this is mostly
caused by unburned fuel in the generator.
The existing power system is undergoing significant changes. Smart grid
technology is the method used in the future power system framework, the integra-
tion of energy and communications infrastructure is inevitable. Intelligent network
technology is characterised by the realisation of a complete dual communications
infrastructure, automatic measurement, renewable energy integration, distribution
automation and network monitoring. Wireless network to achieve the collection
and transmission of real-time data. With flexibility in a wireless sensor network,
high detection accuracy, low cost and excellent performance. Therefore, it can be
used to develop interesting remote sensing applications. Implementation of sen-
sor networks must meet the flexibility, scalability, cost, equipment, changes in
the topology of the environment and energy consumption and other factors and
limitations. Wireless sensor network has the flexibility, with high precision sensing,
low cost and other excellent characteristics. Therefore, the sensor network must
meet the flexibility, scalability, cost, environmental topology changes and energy
consumption and other factors. The performance analysis of the topology of the
ZigBee wireless network was carried out by using OPNET 14.5 simulators. The
network topology of the star, tree and mesh is compared according to the end-to-
end delay, throughput, Mac traffic load, and the four parameters of the transmit
and receive traffic parameters. In terms of star topology throughput, the MacLoad
is higher than the resulting value of the mesh topology, so the use of star topology
is considered to be very important. The network types of the star, tree, and grid are

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compared according to the end-to-end delay, throughput, MAC traffic load, and the
four parameters of the transmit and receive traffic parameters. The star topology
is the best in terms of performance and has a MAC load that is similar to the mesh
topology. Since the ZigBee network has a large number of nodes, so the use of star
topology is considered to be very important.

Acknowledgements

The author would wish to thank the editors and critics for their constructive
comments and suggestions. The project was supported by the BETC/Southern
Technical University.

Author contributions

I would like to thank Ms. Janan Abd-Ali and Dr. Shaorong Wang for overseeing
my studies. Thank you very much, Dear Ms. Sandra Maljavac, and all the staff who
have cooperated with you, and I wish you all the best.

A. Appendix

Set point Value

Range ~2–20% reverse current

Time delay Adjustable 0–20 seconds

Table A1.
Technical data for reverse power monitoring.

Microgrid Parameters Value

Generator Voltage 11 k V L-L, S = 200 MVA

Transformer Voltage VP/VS (L-L) = 11 kV/220 kV

Frequency 60 Hz

Feeders Line impedance R = 0.02 X, L = 0.64 mH

15 km feeder R/km = 0.4 Ω, X/km = 0.3 Ω

Load Dyn load 10 MW, 3 Mvar

Table A2.
Microgrid simulator parameters [1].

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Author details

Ali Hadi Abdulwahid1,2

1 Engineering Technical College, Southern Technical University, Basra, Iraq

2 School of Electrical and Electronic Engineering, Huazhong University of Science

and Technology, Wuhan, Hubei Province, China

*Address all correspondence to: [email protected]

© 2019 The Author(s). Licensee IntechOpen. This chapter is distributed under the terms
of the Creative Commons Attribution License (http://creativecommons.org/licenses/
by/3.0), which permits unrestricted use, distribution, and reproduction in any medium,
provided the original work is properly cited.

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Telecommunication Systems – Principles and Applications of Wireless-Optical Technologies

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 Edited by Isiaka A. Alimi,
Paulo P. Monteiro and António L. Teixeira

This book is based on both industrial and academic research efforts in which a
number of recent advancements and rare insights into telecommunication systems
are well presented. The volume is organized into four parts: “Telecommunication
Protocol, Optimization, and Security Frameworks”, “Next-Generation Optical Access
Technologies”, “Convergence of Wireless-Optical Networks” and “Advanced Relay and
Antenna Systems for Smart Networks.” Chapters within these parts are self-contained
and cross-referenced to facilitate further study.

ISBN 978-1-83962-597-8
978-1-78984-293-7

Published in London, UK
© 2019 IntechOpen
© TheDigitalArtist / pixabay