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JOURNAL OF LIGHTWAVE TECHNOLOGY, VOL. 31, NO.

7, APRIL 1, 2013

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High Spectral Efciency 400 Gb/s Transmission Using PDM Time-Domain Hybrid 3264 QAM and Training-Assisted Carrier Recovery
Xiang Zhou, Senior Member, IEEE, Lynn E. Nelson, Peter Magill, Rejoy Isaac, Benyuan Zhu, David W. Peckham, Peter I. Borel, and Kenneth Carlson

AbstractWe report the successful transmission of ten 494.85 Gbit/s DWDM signals on the standard 50 GHz ITU-T grid over 32 100 km of ultra-large-area (ULA) ber. A net spectral efciency (SE) of 8.25 b/s/Hz was achieved, after excluding the 20% soft-decision forward-error-correction (FEC) overhead. Such a result was accomplished by the use of a recently proposed polarization-division-multiplexed (PDM) time-domain hybrid 3264 quadrature-amplitude-modulation (QAM) format, along with improved carrier frequency and phase recovery algorithms. It is shown that time-domain hybrid QAM provides a new degree of design freedom to optimize the transmission performance by ne tuning the SE of the modulation format for a specic channel bandwidth and FEC redundancy requirement. In terms of carrier recovery, we demonstrate that 1) hardware efcient estimation and tracking of the frequency offset between the signal and local-oscillator (LO) can be achieved by using a new feedback-based method, and 2) a training-assisted two-stage phase estimation algorithm effectively mitigates cyclic phase slipping problems. This new phase recovery algorithm not only improves the receiver sensitivity by eliminating the need for differential coding and decoding, but also enables an additional equalization stage following the phase recovery. We have shown that the introduction of this additional equalization stage (with larger number of taps) helps reduce the implementation penalty. This paper also presents the rst experimental study of the impact of inphase (I) and quadrature (Q) correlation for a high-order QAM. It is shown that an adaptive equalizer could exploit the correlation between I and Q signal components to articially boost the performance by up to 0.7 dB for a PDM time-domain hybrid 3264 QAM signal when the equalizer length is signicantly longer than I/Q de-correlation delay.

I. INTRODUCTION ROM a historical point of view, lowering the cost per transmitted bit is the main driving force for the transport interface rate evolution, which was achieved by increasing both the per-channel data rate and the spectral efciency (SE). So far, the continuing advancement in transport technology has enabled operation at 10 Gb/s, 40 Gb/s, and 100 Gb/s rates within the same optical networks based on the 50 GHz-grid. Such a proportional increase of transport interface rate and SE has brought signicant cost saving by reducing the transponder foot-print and power consumption and by sharing more capacity over the common network infrastructure. For the next-generation transport system, it would therefore be very attractive to continue to follow this path, i.e. to transmit the 400 Gb/s signals on the standard 50 GHz ITU-T grid, achieving a SE as high as 8 b/s/Hz. Such a high-SE transport system could be compatible with current recongurable optical add/drop multiplexer (ROADM) based networks, while providing a four-fold increase in the transport capacity. 400 Gb/s transmission has been experimentally explored by using various high-order quadrature amplitude modulation (QAM) formats combined with different multiplexing schemes, such as orthogonal frequency division multiplexing (OFDM) [1], [2], optical TDM [3], electrical TDM [4], and single-carrier frequency-division-multiplexing (SC-FDM, a Nyquist-shaped single-carrier signal) with digital pilot tone [5]. Several of these rst demonstrations [1][4] reported long-haul transmission reaches of 800 to 2000 km, yet the experiments used 50 GHz WDM channel spacing, which is sub-optimal in terms of maximizing the SE and/or allowing a smooth path for evolving an existing lower-rate system based on the 50 GHz grid. Experimental demonstration of 400 Gb/s transmission on the 50 GHz WDM grid was rst achieved in [6] by using coherent OFDM-32 QAM with 80 km transmission reach. The rst 400 Gb/s transmission over a 50 GHz-based system with a ROADM 450 Gb/s polarwas reported in [7]. In that experiment, 8 ization-division-multiplexed (PDM) Nyquist-shaped 32 QAM 100 km of ultra-large area signals were transmitted over 4 (ULA) ber and also passed through one standard 50 GHz-grid ROADM. In [8], the transmission distance was improved to 800 km by using a broadband optical spectral shaping technique to counteract the ROADM ltering effects. Most recently, the transmission distance has been extended to 1200 km by using a hybrid 3264 QAM technique [9]. In this paper, we report that a 400 Gb/s-class signal on the standard 50 GHz ITU-T grid can be transmitted over more than

Index TermsCoherent, equalization, ber, frequency recovery, hybrid QAM, modulation format, optical transmission, phase recovery, QAM, spectral efciency.

Manuscript received July 27, 2011; revised September 14, 2012; accepted October 11, 2012. Date of publication January 28, 2013; date of current version February 06, 2013. This paper should have appeared as part of the Special Issue on Optical Fiber Communications/National Fiber Optics Engineers Conference 2012, Vol. 31, No. 4, February 15, 2013. X. Zhou, L. E. Nelson, P. Magill, and R. Issac are with AT&T Labs-Research, Middletown, NJ 07748 USA (e-mail: zhoux@research.att.com). B. Zhu is with OFS Labs, Somerset, NJ 08873 USA. D. W. Peckham is with OFS, Norcross, GA 30071 USA. P. I. Borel and K. Carlson are with OFS, Broendby 2605, Denmark. Color versions of one or more of the gures in this paper are available online at http://ieeexplore.ieee.org. Digital Object Identier 10.1109/JLT.2013.2243643

0733-8724/$31.00 2013 IEEE

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JOURNAL OF LIGHTWAVE TECHNOLOGY, VOL. 31, NO. 7, APRIL 1, 2013

Fig. 1. Effective channel bandwidth versus modulation SE at several FEC code rates for a 400 GigE system.

Fig. 2. A time-domain hybrid 3264 QAM with

3000 km of ULA ber by using time-domain hybrid 3264 QAM combined with cascaded two-stage equalization and improved carrier frequency and phase recovery algorithms. This paper also intends to correct a mistake made in our previous paper [10], where the transmission distance was over-estimated by about 1 dB due to the use of an adaptive equalizer with a third-stage length greater than both the de-correlation delays between the inphase (I) and quadrature (Q) components and between the X and Y-polarizations. By using independent I/Q data sequences and increasing the X- and Y-polarization de-correlation delay, we veried that the articial performance gain in [10] mainly arose from the I/Q correlation. Such an I/Q correlation problem may also plague some earlier few-mode ber transmission experiments, where the multiple-input-multiple-output (MIMO) equalizer length was greater than I/Q de-correlation length. The remainder of this paper is organized as follows. In Section II we describe the concept of time-domain hybrid QAM. Section III is devoted to the experimental setup and the digital signal processing (DSP) algorithms. The measured results are presented in Section IV. Experimental investigation of I/Q correlation on the coherent receiver performance is reported in Section V. Finally we summarize this paper in Section VI. II. CONCEPT OF TIME-DOMAIN HYBRID QAM Higher-order QAM formats such as 16 QAM, 32 QAM and 64 QAM (combined with polarization multiplexing) have recently been experimentally explored to achieve WDM SEs greater than 2 b/s/Hz for WDM systems at 100 G and higher rates [1][8]. However, these regular -ary QAM systems may not be optimal for a 400 Gb/s system on a 50 GHz grid. In Fig. 1 we show the effective required channel bandwidth for regular -ary QAM formats at several different FEC code by rates for a 400 GigE system (net data taking into consideration the 66 b/64 b Ethernet line code). Here the effective channel bandwidth assumes ideal Nyquist signaling with no ltering penalty or inter-symbol interference (ISI). One can see that regular PDM-16 QAM, PDM-32 QAM, and PDM-64 QAM (with 8, 10, and 12 bits/symbol, respectively) allow only certain effective channel bandwidths for a specic FEC code rate. Arbitrary SE can be realized by using a recently proposed time-domain hybrid QAM technique [9][11]. For this technique, two regular -ary QAMs with different SE (in terms of bit/symbol) are assigned to different time slots within each TDM frame. Using this method, any SE that falls between the

SE of the two regular QAMs can be realized easily by appropriately designing the TDM frame length and the time slot occupancy ratio of the two QAMs. Fig. 2 shows a time-domain hybrid 3264 QAM with , where each TDM frame consists of 128 symbols, where 28 symbols are 64 QAM and 97 are 32 QAM. The extra 3 symbols are used as training symbols for carrier phase recovery. The 64 QAM symbols are uniformly distributed within each TDM frame: every (approximately) three 32 QAM symbols are followed by one 64 QAM symbol. We used such a modulation format in the 400 Gb/s transmission experiment to be reported in the following sections. For ease of processing, the Euclidean distances for the 64 QAM and 32 QAM are designed to be identical, resulting in a 64 QAM-like constellation with un-equal constellation occupation probability, as can be seen in Fig. 2. Note that arbitrary SE also can be achieved by using frequency-domain based hybrid QAM. For example, one can assign two regular QAMs with different SE to different subcarriers, for an OFDM-modulated system [12]. Compared to such a frequency-domain-based method, time-domain hybrid QAM exhibits several potential advantages such as lower peak-to-average power ratio [13] and better tolerance toward laser phase noise due to the fundamentally shorter symbol period. These two advantages could be important for high-SE optical communication systems where, in addition to additive Gaussian noise, ber nonlinear effects and laser phase noise are also major performance limiting factors. III. EXPERIMENTAL SETUP AND DSP ALGORITHMS Fig. 3 shows the PDM time-domain hybrid 3264 QAM transmitter. To overcome the limitation of available digital-to-analog (D/A) converter bandwidth, ve subcarriers were utilized to create the 494.85 Gb/s per-channel signal. The ve frequency-locked subcarriers were generated from a single laser source by using two Mach-Zehnder modulators (MZMs), each driven with a 9.9 GHz clock, and followed by either a 12.5/25 GHz interleaver lter (ILF) or two cascaded 25/50 GHz ILFs. The spectra of the three odd and two even subcarriers are displayed in Fig. 3 as insets a and b, respectively. All unwanted harmonics were suppressed to be at least 40 dB below the subcarrier signals. The odd and even subcarriers were modulated by two independent I/Q data modulators, each driven with a Nyquist-shaped 9.7 Gbaud pre-equalized time-domain hybrid 3264 QAM signal, having 2 pseudorandom pattern length. Note that independent I and Q data sequences were used in the experiments reported in

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Fig. 4. Experimental setup for transmission experiments. Fig. 3. 494.85 Gbits/s PDM 32/64 QAM transmitter. Insets (a) to (e) are measured optical spectra in 0.01 nm bandwidth at different locations indicated in the gure. VOA: variable attenuator, PC: polarization controller, PBS: polarization beam splitter.

Sections III and IV of this paper: the I data was generated , while Q based on generator polynomial of data was based on . The Nyquist pulse shaping had roll-off factor of 0.01, realized by using a T/2-spaced nite impulse response (FIR) lter having 128 taps. Frequency-domain based pre-equalization [14] was used to compensate for the band-limiting effects of the D/A converters, which have 3-dB bandwidths 5 GHz at 10 bit resolution and a 24 GSa/s sampling rate. 24 GSa/s oversampling (combined with the use of four 4.9 GHz low-pass electrical lters) was employed in this experiment to suppress the D/A converter aliasing components (to reduce inter-subcarrier crosstalk). Then the sets of two and three 49.485 Gb/s sub-carriers (see insets c and d in Fig. 3) were passively combined and polarization multiplexed with relative delay of 500 symbols, resulting in a 494.85 Gb/s signal that occupied a spectral width of 49.3 GHz with a well conned spectral shape allowing it to t into the 50 GHz grid, as is displayed in inset e. The experimental setup for 10 494.85 Gb/s PDM-32/64 QAM WDM transmission is shown in Fig. 4. The ten 494.85 Gb/s, 50 GHz-spaced, C-band channels are derived from odd (192.25 to 192.65 THz) and even (192.20 to 192.60 THz) sets of multiplexed, 100 GHz-spaced external cavity lasers (ECL) with 100 kHz linewidth. They are combined using a 3 dB optical coupler (OC) and modulated in the 494.85 Gb/s PDM hybrid 3264-QAM transmitter (see Fig. 3). The ten DWDM channels are effectively de-correlated because they are from different sources and their optical phases are de-correlated. Then the ten 494.85-Gb/s channels are sent into a re-circulating transmission loop, which consists of four 100-km spans of ULA ber having, at 1550 nm, 135 average Aeff and 0.179 dB/km average attenuation. As shown in Fig. 4, the spans are congured for all-Raman amplication, resulting in total span losses (ber components) of between 19.7 and 20.1 dB. For each span, counter-pumps at 1435 nm and 1455 nm with 310 mW and 650 mW, respectively, provide an average of 17 dB on-off Raman gain, while co-pumps at 1455 nm with 180 mW power provide an average of 3 dB on-off gain. After the last span, a

loop-synchronous polarization controller is followed by a wavelength-blocker-based channel power equalizer. The power variation among the ten channels after 3200 km (8 loops) transmission is controlled to be within 0.6 dB. A DSP-enabled coherent receiver is used for the detection and demodulation of the received PDM hybrid 3264 QAM signal. As shown in Fig. 4, the coherent receiver front-end consists of a polarization-diverse 90-degree hybrid, a tunable external cavity laser (ECL) of 100 kHz linewidth serving as the local oscillator (LO), and four balanced photo-detectors. For our experiments, each subcarrier is independently received by passing the signal through a tunable optical lter with 37.5 GHz 3 dB bandwidth, and the LO is tuned to be within 200 MHz of the center frequency of each subcarrier. A four-channel real-time sampling scope with 50 GSa/s sampling rate and 16 GHz analog bandwidth performs the sampling and digitization (ADC) function, followed by post-transmission DSP of the captured data on a desktop computer. The ADC bandwidth was set to be 10 GHz, which we found to be the optimal electrical bandwidth for a 9.7 Gbaud signal. The major DSP functional blocks are shown in Fig. 5. A cascaded, two-stage equalization strategy is used for polarization demultiplexing and linear distortion mitigation. The rst-stage 2 2 equalizer (i.e. EQ1) has 21 T/2-spaced taps, whereas the second stage equalizer (EQ2) has 301 T/2-spaced taps. EQ1 is initially optimized using a decision-independent constant modulus algorithm (CMA), but it is switched to a decision-dependent least-mean-square (LMS) algorithm once pre-convergence is achieved, rst in a training-based manner using 16000 T/2 spaced samples, and then in a decision-directed manner for steady-state operation. TDM synchronization is achieved by using the starting training sequence. The carrier frequency and phase recovery are performed after EQ1 but before EQ2. The initial signal-LO frequency offset (FO) is estimated through a time-domain-based differential phase method [15] by using the starting training sequence. For the steady-state operation, the FO is tracked through a feedback conguration using the recovered carrier phases, as shown in Fig. 6. Note that, unlike the fast-changing phase noise that cannot tolerate extended feedback delay in high-speed optical systems requiring a high-degree of parallel processing, carrier frequency typically varies more slowly and thus it can

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Fig. 5. Major post-transmission ofine DSP functional blocks. CD: chromatic dispersion, EQ: equalizer, FOE:frequency offset estimate. Fig. 7. Measured back-to-back performance.

Fig. 8. Launched and received optical spectra. BW: bandwidth. Fig. 6. Schematic illustration of the proposed frequency recovery algorithm. : estimated carrier frequency offset. T: symbol period,

be tracked by using the proposed feedback-based method. The advantages of this new method are: 1) it is applicable to arbitrary QAM, and 2) its implementation complexity is very low because it requires signicantly fewer complex multiplications than FFT-based algorithms [16], [17] or blind frequency search based algorithms [18], [19]. For phase recovery, a new training-assisted two-stage method is used in this experiment. It is performed within the EQ1 loop. In the rst stage, the average carrier phase for each TDM frame (consisting of 128 symbols) is estimated by using the three training symbols (located in the 32th, 64th, and 96th time slots within each TDM frame) through a maximum likelihood estimation (MLE) method [20]. The three training symbols employ a QPSK modulation format, which is equivalent to the four outer-most 64 QAM symbols, because these four symbols are most sensitive to phase change. In the second stage, we divide each TDM frame into 4 groups, where each group consists of 32 consecutive symbols. The carrier phase for each group is rened by using a blind phase search algorithm (BPS) [21] over a small phase-varying range ( was used in this experiment). We have found that such a training-assisted two-stage algorithm effectively mitigates cyclic phase slipping problems, which improves the receiver sensitivity by removing the need for differential coding and decoding, but also enables an additional equalization stage (i.e. EQ2 in Fig. 5) following the phase recovery. Because phase-recovered X- and Y-polarized signals are used as the input of EQ2, a very long lter length can be used in EQ2 to mitigate some low-frequency/narrow-band distortion that may occur in the transmitter and the receiver. Note that the allowable lter length used for EQ1 is limited by the phase noise and therefore cannot be too long (see Section V). For an equalizer with a large number of taps, the implementation complexity can be greatly reduced by using a frequency-domain based method [22], although the time-domain based method is used in this paper.

For our ofine processing, the bit error ratios (BER) are counted over of information for each subcarrier ( for each channel). No differential coding/decoding is utilized in this paper. Standard Gray-coding based technique is used to map/de-map 32/64 QAM symbol into binary bits. IV. MEASURED RESULTS In Fig. 7 we show the measured back-to-back performance, where the BER versus OSNR curves are displayed for a single PDM hybrid 3264 QAM subcarrier (98.97 Gb/s), for a single 494.85 Gb/s channel (average of the ve subcarriers), and for the center subcarrier (sub. 3) of a single 494.85 Gb/s channel. For comparison, the theoretical prediction for a single subcarrier is also presented in this gure. At the required OSNR for a single subcarrier is 16.9 dB, which is 1.8 dB away from the theoretical prediction. The OSNR penalty for intersubcarrier crosstalk is 0.2 dB. And, the required OSNR for a single 494.85 Gb/s channel is 24.0 dB at . The DWDM transmission results are displayed in Fig. 810, where the total launch power entering the transmission ber for the ten WDM channels was 8.5 dBm, corresponding to 1.5 dBm per channel and 8.5 dBm per subcarrier, which we found to be the optimal launch power for 3200 km transmission. Fig. 8 shows measured optical spectra (in 0.1 nm resolution bandwidth) of the DWDM signals launched into span 1 and after 3200 km transmission. The launched OSNR was above 38 dB for all the WDM channels. After 8 circulations (3200 km), the spectrum of the ten 494.85 Gb/s channels was at to within 1.2 dB. Due to the all-Raman amplication, the OSNRs after 3200 km were still greater than 25.2 dB for all ten WDM channels, despite the relatively low per-channel launch power. In Fig. 9 we show the measured BER and OSNR of the central channel (Ch. 5) with transmission distance ranging from 400 km to 4000 km. The measured BERs after 2800, 3200 and 3600 km transmission were , , and , respectively, with corresponding OSNRs of 26, 25.4 and 24.9 dB, respectively. The measured BERs of all ten 494.85-Gb/s WDM channels after 32 100 km transmission are presented

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Fig. 9. BER and OSNR of Ch. 5 versus transmission distance.

Fig. 12. Recovered carrier phases using two different algorithms: trainingassisted two-stage algorithm and single-stage blind phase search algorithm.

Fig. 13. BER versus OSNR for different EQ2 lengths for (a) I/Q and (b) independent I and Q.

V. DISCUSSION
Fig. 10. BER of all ten 494.85 Gb/s, 50 GHz-spaced WDM channels after 32 100 km transmission.

Fig. 11. (a) Probability density function of the signal distortion and (b) the statistics of error burst length for the center subcarrier of ch. 5 after 3200 km.

in Fig. 10. The BERs for the ve individual subcarriers of Ch. 5 are also plotted. The BERs of the ten DWDM channels ranged from to , which are below the threshold for 20% soft-decision FEC using LDPC convolution codes and layered decoding algorithm [23]. The recovered constellation diagrams for the X- and Y-polarizations of one of Ch. 5s subcarriers are shown in Fig. 10 as insets. The probability density function of the measured signal distortion and the statistics of burst error length for the center subcarrier of ch. 5 after 3200 km transmission (at 8.5 dBm/ch launch power) is shown in Fig. 11(a) and (b), respectively. One can see that the signal distortion in both the in-phase and quadrature components can be well approximated as a Gaussian distribution. The measured burst error probability decreases exponentially with increasing burst length, agreeing with the prediction for uncorrelated error events. These results indicate that soft-decision FEC can be effective in this system. In Fig. 12 we show the recovered carrier phases using two different carrier phase recovery algorithms in a back-to-back measurement (single subcarrier, ). One can see that there was no phase jump when using the proposed training-assisted two-stage algorithm, whereas the phase-jump problem was severe when using the conventional single-stage BPS algorithm.

Recently it has been shown that an adaptive equalizer can exploit the correlation between the I and Q components to articially boost the performance when the equalizer length is greater than the I/Q de-correlation delay [24]. To quantify this effect, here we present a comparison between the results obtained by using independent I/Q sequences (as described in the Section IV of this paper) and the results using the transmitter setup described in [10], where the quadrature component was a delayed copy of the in-phase component and the I/Q sequence de-correlation delay was 32 symbols. For the setup used in [10], the X- and Y-polarization de-correlation delay was 228 symbols, whereas in Section IV the X- and Y-polarization de-correlation delay was 500 symbols. The impact of EQ2 length on the BER performance is displayed in Fig. 13(a) and (b). Fig. 13(a) shows the result where the I/Q de-correlation delay is 32 symbols and X/Y polarization de-correlation delay is 228 symbols (i.e. the setup described [10], denoted as case I hereafter). Fig. 13(b) presents the results where I and Q are independent and the X/Y-polarization de-correlation delay is 500 symbols (i.e. the experiment of Section IV, denoted as case II hereafter). Both results are based on the center subcarrier of a 494.85 Gb/s PDM hybrid 3264 QAM channel (back-to-back measurement with loading ASE noise). For this study, EQ1 length was xed at 21 taps. One can see that, for both cases, the BER decreases as EQ2 length increases (up to 801 taps for case I and up to 301 taps for case II), but the performance improvement is more signicant for case I as compared to case II. By increasing EQ2 length from 0 (i.e. single-stage case) to 801 taps, 1.3 dB OSNR improvement (at ) is observed for case I, whereas only 0.6 dB improvement is observed for case II. For both cases one can observe that major performance gain is obtained by increasing EQ2 length from 0 to 301 taps, whereas increasing EQ3 length from 301 to 801 taps only results in minor BER reduction for case I (slight performance degradation is observed for case II when the EQ2 length is increased from 301 to 801 taps). These results indicate that the extra 0.7 dB performance gain observed in case I is mostly due to I/Q correlation, and not polarization correlation.

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Fig. 17. A comparison between one-stage and two-stage equalization. For the two-stage case, EQ1 length was xed at 21 taps while we increases the number of taps for EQ2. Fig. 14. The four FIR lter impulse response functions of EQ2 for case I.

Fig. 15. The four FIR lter impulse response functions of EQ2 for case II.

a result, hxx and hyy of EQ2 will remain a centered impulse response when using typically small convergence parameters ( is used in our experiments). Thus the output of EQ2 will not converge into a single polarization, as we pointed out in [10]. However, if the length of EQ2 is allowed to be greater than twice the polarization de-correlation delay (i.e. 912 taps for case I), polarization correlation will result in signicant performance gain even with centered hxx and hyy responses. In Fig. 17 we compare the performance of one-stage equalization to that of two-stage equalization for the center subcarrier of a 494.85 Gb/s PDM hybrid 3264 QAM channel (back-toback, , independent I and Q), where the BER versus total number of equalizer taps (the sum of EQ1 and EQ2) is displayed. For the two-stage case, EQ1 length was xed at 21 taps while we increases the number of taps for EQ2. One can see that two-stage equalization performs better than one-stage equalization, and the performance difference increases as the EQ2 length increases. The main reason is due to the impact of laser phase noise, because phase noise will degrade the performance of EQ1 when the length of EQ1 is too long. This result indicates that, in order to mitigate some low-frequency/narrowband distortions that require long equalizer length, an additional equalizer followed by phase recovery may be needed. VI. CONCLUSIONS In conclusion, we demonstrated 32 100 km ULA ber transmission of ten 400 Gb/s DWDM signals on the standard 50 GHz grid. The net SE of 8.25 b/s/Hz was achieved by using PDM time-domain hybrid 3264 QAM, along with improved carrier frequency and phase recovery algorithms. We have shown that time-domain hybrid QAM can be used to ne tune the SE of the modulation format to optimize the transmission performance for specic channel bandwidth and FEC redundancy requirements. We also proposed and demonstrated a new hardware-efcient carrier frequency offset estimation algorithm and a new training-assisted two-stage phase estimation algorithm. The proposed phase recovery algorithm effectively mitigates cyclic phase slipping problems, which not only improves the receiver sensitivity by removing the need for differential coding, but also allows an additional equalization stage following the phase recovery. We have shown that the introduction of such an additional equalization stage with longer lter length helps to reduce the implementation penalty. This paper also presented the rst experimental study of the impact of I/Q correlation for a high-order QAM. Results showed that an adaptive equalizer could exploit the correlation between

Fig. 16. Frequency spectrum of hxx for EQ2 with 301 taps (for case II with independent I/Q data sequences).

Further evidence that the performance gain arises from the I/Q correlation is provided by the measured impulse response functions of the four EQ2 nite impulse response (FIR) lters (hxx, hxy, hyx, and hyy, each with 801 T/2-spaced taps) shown in Fig. 14. One can observe multiple small peaks, and the spacings between each two consecutive peaks are exactly equal to the I/Q de-correlation delay. As a comparison, Fig. 15 shows the measured impulse response functions of EQ2 for case II, also with 801 taps. No such peaks are observed for case II, where I and Q are independent. The corresponding frequency spectrum of hxx for case II is shown in Fig. 16. One can observe three dominant narrow-band ripples (below 2 GHz). Such narrow band distortions may arise from imperfect DAC, electrical-optical modulator or the ADC responses and may be compensated by using a xed equalizer in a real system. Polarization correlation does not contribute to signicant performance gain for case I when EQ2 length is as large as 801 taps, because EQ2 is initiated with a centered impulse response for both hxx and hyy lters, and the input to EQ2 is already an equalized signal (i.e. at a local minimum). As

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I and Q signal components, articially boosting the performance by up to 0.7 dB for a PDM time-domain hybrid 3264 QAM signal when the equalizer length is signicantly longer than the I/Q de-correlation delay in the transmitter. ACKNOWLEDGMENT The authors would like to thank Robert Lingle, Jr. of OFS, and Mark Feuer and Ken Reichmann of AT&T Labs-Research for their generous support of these results. The authors also thank Peter Winzer for helpful discussions. REFERENCES
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Xiang Zhou received his Ph.D. degree in electrical engineering from Beijing University of Posts & Telecommunications in 1999. From 1999 to 2001, he was with Nangang Technological University, Singapore, as a Research Fellow, doing research on optical CDMA and wide-band Raman amplication. He has been with AT&T Labs-Research since October 2001, working on various aspects of long-haul optical transmission and photonic networking technologies, including Raman amplication, polarization-related impairments, optical power transient control, advanced modulation formats and digital signal processing at bit rate 100 Gb/s and beyond. He has authorized/co-authorized more than 100 peerreviewed journals and conferences publication, and holds 32 USA patents. He currently serves as an associate editor of Optics Express. He is member of OSA, and a senior member of IEEE. Lynn E. Nelson, biography not available at the time of publication. Peter Magill, biography not available at the time of publication. Rejoy Isaac, biography not available at the time of publication. Benyuan Zhu, biography not available at the time of publication. David W. Peckham, biography not available at the time of publication. Peter I. Borel, biography not available at the time of publication. Kenneth Carlson biography not available at the time of publication.

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