On decision aided carrier phase and frequency offset estimation in coherent optical receivers

Abstract

We investigate carrier estimation (CE) for coherent optical receivers where the received signal is impaired by additive white Gaussian noise, laser phase noise, and frequency offset. Best practical 4-, 8-, and 16-point constellations are identified. A generalized differential encoding rule for signal constellations is presented. Performance of our complex-weighted decision-aided maximum-likelihood (CW-DA-ML) phase noise and frequency offset estimator is analyzed at low signal-to-noise ratio (SNR) and the optimal filter lengths are found. CW-DA-ML CE is put in perspective with respect to two fundamental estimators in the literature: (i) differential frequency estimator followed by block $M$th power phase estimator (DiffFE-$M$th CE), and (ii) fast Fourier transform based frequency estimator followed by block $M$th power phase estimator (FFTbE-$M$ th CE), in terms of laser linewidth tolerance, frequency estimation range and speed, SNR threshold, and cycle slip probability. CW-DA-ML CE is 2.5 and 10.5 times faster than DiffFE-$M$ th CE in 4 phase-shift keying and 16 quadrature amplitude modulation signals, respectively, at a 1-dB system penalty for a bit-error rate of $10-3. Our CE has lower cycle slip probability and transmission overhead than DiffFE-$M$th and FFTbE-$M$th CE. Hence, our CE is shown to be favourable in pilot-assisted (PA) systems. A PA CW-DA-ML CE is introduced and shown to be robust against time-varying frequency offset with minimal training overhead. Analog-to-digital convertor quantization error on our CE performance is also addressed. © 1983-2012 IEEE.