03.10.

2022

VISVESVARAYA TECHNOLOGICAL UNIVERSITY, BELAGAVI

B.E: Electronics & Communication Engineering / B.E: Electronics & Telecommunication Engineering
NEP, Outcome Based Education (OBE) and Choice Based Credit System (CBCS)
(Effective from the academic year 2021 – 22)
VII Semester

Optical & Wireless Communication

Course Code 21EC72 CIE Marks 50
Teaching Hours/Week (L:T:P:S) 2:0:0:1 SEE Marks 50
Total Hours of Pedagogy 30 Total Marks 100
Credits 2 Exam Hours 3
Non-MCQ pattern of CIE and SEE
Course objectives:
This course will enable students to:
 Learn the basic principle of optical fiber communication with different modes of light propagation.
 Understand the transmission characteristics and losses in optical fiber.
 Study of optical components and its applications in optical communication networks.
 Understand the concepts of propagation over wireless channels from a physics standpoint
 Understand the multiple access techniques used in cellular communications standards.
 Application of Communication theory both Physical and networking to understand GSM systems that
handle mobile telephony.
Teaching-Learning Process (General Instructions)
The sample strategies, which the teacher can use to accelerate the attainment of the various course
outcomes are listed in the following:
1. Lecture method (L) does not mean only the traditional lecture method, but a different type of
teaching method may be adopted to develop the outcomes.
2. Show Video/animation films to explain the functioning of various techniques.
3. Encourage collaborative (Group) Learning in the class
4. Ask at least three HOTS (Higher-order Thinking) questions in the class, which promotes critical
thinking
5. Adopt Problem Based Learning (PBL), which fosters students’ Analytical skills, develop thinking
skills such as the ability to evaluate, generalize, and analyze information rather than simply recall
it.
6. Topics will be introduced in multiple representations.
7. Show the different ways to solve the same problem and encourage the students to come up with
their own creative ways to solve them.
8. Discuss how every concept can be applied to the real world - and when that's possible, it helps
improve the students' understanding.
Module-1
Optical Fiber Structures: Optical Fiber Modes and Configurations, Mode theory for circular
waveguides, Single mode fibers, Fiber materials.
Attenuation and Dispersion: Attenuation, Absorption, Scattering Losses, Bending loss, Signal
Dispersion: Modal delay, Group delay, Material dispersion.
[Text1 : 3.1, 3.2, 2.3[2.3.1 to 2.3.4], 2.4[2.4.1, 2.4.2],2.5, 2.7].
Teaching-Learning Chalk and talk method, Power point presentation
Process RBT Level: L1, L2, L3
Module-2
Optical Sources and detectors: Light Emitting Diode: LED Structures, Light source materials,
Quantum efficiency and LED power, Laser Diodes: Modes and threshold conditions, Rate equations,
External quantum efficiency, Resonant frequencies, Photodetectors: The pin Photodetector, Avalanche
Photodiodes.

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WDM Concepts: Overview of WDM, Isolators and Circulators, Fiber grating filters, Dielectric thin-film
filters, Diffraction Gratings.
[Text1: 4.2 ,4.3, 6.1, 10.1, 10.3, 10.4, 10.5, 10.7]
Teaching-Learning Chalk and talk method, Power point presentation
Process RBT Level: L1, L2, L3
Module-3
Mobile Communication Engineering: Wireless Network generations, Basic propagation Mechanisms,
Mobile radio Channel.
Principles of Cellular Communications: Cellular terminology, Cell structure and Cluster, Frequency
reuse concept, Cluster size and system capacity, Frequency Reuse Distance, Cochannel Interference and
signal quality.
[ Text2: 1.4, 2.4, 2.5, 4.1 to 4.4, 4.6, 4.7]
Teaching-Learning Chalk and talk method, Power point presentation
Process RBT Level: L1, L2, L3
Module-4
Multiple Access Techniques: FDMA, TDMA, CDMA, SDMA, Hybrid Multiple Access Techniques,
Multicarrier Multiple Access Schemes.
A Basic Cellular System: A basic cellular system connected to PSTN, Parts of basic cellular system,
Operation of a cellular system.
[Text2: 8.2, 8.3, 8.4.5, 8.5, 8.6, 8.10, 9.2.2, 9.2.3, 9.3]
Teaching-Learning Chalk and talk method, Power point presentation
Process RBT Level: L1, L2, L3
Module-5
Global System for Mobile (GSM): GSM Network Architecture, GSM signalling protocol architecture,
Identifiers used in GSM system, GSM Channels, Frame structure for GSM, GSM Call procedures, GSM
hand-off Procedures, GSM Services and features.
[Text2: 11.1, 11.2,11.3,11.4, 11.5, 11.8, 11.9. 11.10]
Teaching-Learning Chalk and talk method, Power point presentation
Process RBT Level: L1, L2, L3
Course outcomes (Course Skill Set)
At the end of the course the student will be able to:
1. Classification and characterization of optical fibers with different modes of signal propagation.
2. Describe the constructional features and the characteristics of optical fiber and optical devices
used for signal transmission and reception.
3. Understand the essential concepts and principles of mobile radio channel and cellular
communication.
4. Describe various multiple access techniques used in wireless communication systems.
5. Describe the GSM architecture and procedures to establish call set up, call progress handling and
call tear down in a GSM cellular network.
Assessment Details (both CIE and SEE)
The weightage of Continuous Internal Evaluation (CIE) is 50% and for Semester End Exam (SEE) is 50%.
The minimum passing mark for the CIE is 40% of the maximum marks (20 marks out of 50). A student
shall be deemed to have satisfied the academic requirements and earned the credits allotted to each
subject/ course if the student secures not less than 35% (18 Marks out of 50) in the semester-end
examination (SEE), and a minimum of 40% (40 marks out of 100) in the sum total of the CIE (Continuous
Internal Evaluation) and SEE (Semester End Examination) taken together
Continuous Internal Evaluation (CIE):
CIE will be the same as other core theory courses.

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03.10.2022

CIE methods /question paper is designed to attain the different levels of Bloom’s taxonomy as per
the outcome defined for the course.
Semester End Examination (SEE):
For non-MCQ pattern of CIE and SEE
Continuous Internal Evaluation (CIE):
At the beginning of the semester, the instructor/faculty teaching the course has to announce the methods
of CIE for the course.
Three Unit Tests each of 20 Marks (duration 01 hour)
1. First test at the end of 5th week of the semester
2. Second test at the end of the 10th week of the semester
3. Third test at the end of the 15th week of the semester
Two assignments each of 10 Marks
4. First assignment at the end of 4th week of the semester
5. Second assignment at the end of 9th week of the semester
Group discussion/Seminar/quiz any one of three suitably planned to attain the COs and POs for 20
Marks (duration 01 hours)
6. At the end of the 13th week of the semester
The sum of three tests, two assignments, and quiz/seminar/group discussion will be out of 100 marks
and will be scaled down to 50 marks
(to have less stressed CIE, the portion of the syllabus should not be common /repeated for any of the
methods of the CIE. Each method of CIE should have a different syllabus portion of the course).
CIE methods /question paper is designed to attain the different levels of Bloom’s taxonomy as per
the outcome defined for the course.
Semester End Examination:
Theory SEE will be conducted by University as per the scheduled timetable, with common question
papers for the subject (duration 03 hours)
1. The question paper will have ten questions. Each question is set for 20 marks.
2. There will be 2 questions from each module. Each of the two questions under a module (with a
maximum of 3 sub-questions), should have a mix of topics under that module.
The students have to answer 5 full questions, selecting one full question from each module. Marks scored
out of 100 shall be reduced proportionally to 50 marks
Suggested Learning Resources:
Text Books
1. Gerd Keiser, Optical Fiber Communication, 5th Edition, McGraw Hill Education (India) Private
Limited, 2016. ISBN:1-25-900687-5.
2. T L Singal, Wireless Communications, McGraw Hill Education (India) Private Limited, 2016, ISBN:0-
07-068178-3.
Reference Books
1. John M Senior, Optical Fiber Communications, Principles and Practice, 3rd Edition, Pearson
Education, 2010, ISBN:978-81-317-3266-3
2. Theodore Rappaport, Wireless Communications: Principles and Practice, 2nd Edition, Prentice Hall
Communications Engineering and Emerging Technologies Series, 2002, ISBN 0-13-042232-0.
3. Gary Mullet, Introduction to Wireless Telecommunications Systems and Networks, First Edition,
Cengage Learning India Pvt Ltd., 2006, ISBN - 13: 978-81-315-0559-5.

19.09.2023
Optical Fibers: Structures, Waveguiding, and Fabrication 39

Table 2.2 Common birefringent crystals and some applications

Crystal name Symbol no ne Applications

Calcite CaCO3 1.658 1.486 Polarization controllers and beamsplitters
Lithium niobate LiNbO3 2.286 2.200 Light signal modulators
Rutile TiO2 2.616 2.903 Optical isolators and circulators
Yttrium vanadate YVO4 1.945 2.149 Optical isolators, circulators, and beam displacers

is the use of polarizing sunglasses to reduce the glare of partially polarized sunlight reflections from
road or water surfaces. To see the polarization property of the sunglasses, a number of glare spots will
appear when users tilt their head sideways. The polarization filters in the sunglasses block out the
polarized light coming from these glare spots when the head is held normally.
A Faraday rotator is a device that rotates the state of polarization (SOP) of light passing through it
by a specific amount. For example, a popular device rotates the SOP clockwise by 45° or a quarter of a
wavelength, as shown in Fig. 2.12.
This rotation is independent of the SOP of input light, but the rotation angle is different depending on
the direction in which the light passes through the device. That is, the rotation process is not reciprocal.
In this process, the SOP of the input light is maintained after the rotation. For example, if the input light
to a 45° Faraday rotator is linearly polarized in a vertical direction, then the rotated light exiting the
crystal also is linearly polarized at a 45° angle. The Faraday rotator material usually is an asymmetric
crystal such as yttrium iron garnet (YIG), and the degree of angular rotation is proportional to the thick-
ness of the device.
Birefringent or double-refractive crystals have a property called double refraction. This means that the
indices of refraction are slightly different along two perpendicular axes of the crystal as shown in Fig. 2.13.
A device made from such materials is known as a spatial walk-off polarizer (SWP). The SWP splits the
light signal entering it into two orthogonally (perpendicularly) polarized beams. One of the beams is called
an ordinary ray or o-ray because it obeys Snell’s law of refraction at the crystal surface. The second beam
is called the extraordinary ray or e-ray because it refracts at an angle that deviates from the prediction of
the standard form of Snell’s law. Each of the two orthogonal polarization components thus is refracted at
a different angle as shown in Fig. 2.13. For example, if the incident unpolarized light arrives at an angle
perpendicular to the surface of the device, the o-ray can pass straight through the device whereas the e-ray
component is deflected at a slight angle so it follows a different path through the material.
Table 2.2 lists the ordinary index no and the extraordinary index ne of some common birefringent
crystals that are used in optical communication components and gives some of their applications.

2.3 Optical Fiber Modes and Configurations

Before going into details on optical fiber characteristics, this section first presents a brief overview of the
underlying concepts of optical fiber modes and optical fiber configurations. The discussions in Sec. 2.3
through 2.7 address conventional optical fibers, which consist of solid dielectric structures. Section 2.8
describes the structure of photonic crystal fibers, which can be created to have a variety of internal mi-
crostructures. Chapter 3 describes the operational characteristics of both categories of fibers.
40 Optical Fiber Communications

2.3.1 Fiber Types

An optical fiber is a dielectric waveguide that operates at optical frequencies. This fiber waveguide
is normally cylindrical in form. It confines electromagnetic energy in the form of light to within its
surfaces and guides the light in a direction parallel to its axis. The transmission properties of an opti-
cal waveguide are dictated by its structural characteristics, which have a major effect in determining
how an optical signal is affected as it propagates along the fiber. The structure basically establishes
the information-carrying capacity of the fiber and also influences the response of the waveguide to
environmental perturbations.
The propagation of light along a waveguide can be described in terms of a set of guided electromagnetic
waves called the modes of the waveguide. These guided modes are referred to as the bound or trapped
modes of the waveguide. Each guided mode is a pattern of electric and magnetic field distributions that
is repeated along the fiber at equal intervals. Only a certain discrete number of modes are capable of
propagating along the guide. As will be seen in Sec. 2.4, these modes are those electromagnetic waves
that satisfy the homogeneous wave equation in the fiber and the boundary condition at the waveguide
surfaces.
Although many different configurations of the optical waveguide have been discussed in the litera-
ture,3 the most widely accepted structure is the single solid dielectric cylinder of radius a and index of
refraction n1 shown in Fig. 2.14. This cylinder is known as the core of the fiber. The core is surrounded
by a solid dielectric cladding, which has a refractive index n2 that is less than n1. Although, in principle,
a cladding is not necessary for light to propagate along the core of the fiber, it serves several purposes.
The cladding reduces scattering loss that results from dielectric discontinuities at the core surface, it
adds mechanical strength to the fiber, and it protects the core from absorbing surface contaminants with
which it could come in contact.
In standard optical fibers the core material is highly pure silica glass (SiO2) compound and is sur-
rounded by a glass cladding. Higher-loss plastic-core fibers with plastic claddings are also widely in use.
In addition, most fibers are encapsulated in an elastic, abrasion-resistant plastic material. This material
adds further strength to the fiber and mechanically isolates or buffers the fibers from small geometrical
irregularities, distortions, or roughnesses of adjacent surfaces. These perturbations could otherwise cause
scattering losses induced by random microscopic bends that can arise when the fibers are incorporated
into cables or supported by other structures.
Variations in the material composition of the core give rise to the two commonly used fiber types
shown in Fig. 2.15. In the first case, the refractive index of the core is uniform throughout and undergoes
an abrupt change (or step) at the cladding boundary. This is called a step-index fiber. In the second case,

2a

n1 Core Cladding Buffer coating

n 2 < n1

Fig. 2.14 Schematic of a conventional silica fiber structure. A circular solid core of refractive
index n1 is surrounded by a cladding having a refractive index n2 < n1. An elastic
plastic buffer encapsulates the fiber.
Optical Fibers: Structures, Waveguiding, and Fabrication 41

Fig. 2.15 Comparison of conventional single-mode and multimode step-index and graded-
index optical fibers

the core refractive index is made to vary as a function of the radial distance from the center of the fiber.
This type is a graded-index fiber.
Both the step- and the graded-index fibers can be further divided into single-mode and multimode
classes. As the name implies, a single-mode fiber sustains only one mode of propagation, whereas mul-
timode fibers contain many hundreds of modes. A few typical sizes of single- and multimode fibers are
given in Fig. 2.15 to provide an idea of the dimensional scale. Multimode fibers offer several advantages
compared with single-mode fibers. As we shall see in Chapter 5, the larger core radii of multimode fibers
make it easier to launch optical power into the fiber and facilitate the connecting together of similar
fibers. Another advantage is that light can be launched into a multimode fiber using a light-emitting-
diode (LED) source, whereas single-mode fibers must generally be excited with laser diodes. Although
LEDs have less optical output power than laser diodes (as we shall discuss in Chapter 4), they are easier
to make, are less expensive, require less complex circuitry, and have longer lifetimes than laser diodes,
thus making them more desirable in certain applications.
A disadvantage of multimode fibers is that they suffer from intermodal dispersion. We shall describe
this effect in detail in Chapter 3. Briefly, intermodal dispersion can be described as follows. When an
optical pulse is launched into a fiber, the optical power in the pulse is distributed over all (or most) of
the modes of the fiber. Each of the modes that can propagate in a multimode fiber travels at a slightly
different velocity. This means that the modes in a given optical pulse arrive at the fiber end at slightly dif-
ferent times, thus causing the pulse to spread out in time as it travels along the fiber. This effect, which is
known as intermodal dispersion or intermodal distortion, can be reduced by using a graded-index profile
in a fiber core. This allows graded-index fibers to have much larger bandwidths (data rate transmission
capabilities) then step-index fibers. Even higher bandwidths are possible in single-mode fibers, where
intermodal dispersion effects are not present.
42 Optical Fiber Communications

2.3.2 Rays and Modes

The electromagnetic light field that is guided along an optical fiber can be represented by a superposition
of bound or trapped modes. Each of these guided modes consists of a set of simple electromagnetic field
configurations. For monochromatic light fields of radian frequency w, a mode traveling in the positive z
direction (i.e., along the fiber axis) has a time and z dependence given by

e j(wt-bz)

The factor b is the z component of the wave propagation constant k = 2p/l and is the main parameter
of interest in describing fiber modes. For guided modes, b can assume only certain discrete values,
which are determined from the requirement that the mode field must satisfy Maxwell’s equations and
the electric and magnetic field boundary conditions at the core-cladding interface. This is described in
detail in Sec. 2.4.
Another method for theoretically studying the propagation characteristics of light in an optical fiber is
the geometrical optics or ray-tracing approach. This method provides a good approximation to the light
acceptance and guiding properties of optical fibers when the ratio of the fiber radius to the wavelength
is large. This is known as the small-wavelength limit. Although the ray approach is strictly valid only in
the zero-wavelength limit, it is still relatively accurate and extremely valuable for nonzero wavelengths
when the number of guided modes is large; that is, for multimode fibers. The advantage of the ray ap-
proach is that, compared with the exact electromagnetic wave (modal) analysis, it gives a more direct
physical interpretation of the light propagation characteristics in an optical fiber.
Since the concept of a light ray is very different from that of a mode, let us see qualitatively what the
relationship is between them. (The mathematical details of this relationship are beyond the scope of this
book but can be found in the literature.4–6) A guided mode traveling in the z direction (along the fiber
axis) can be decomposed into a family of superimposed plane waves that collectively form a standing-
wave pattern in the direction transverse to the fiber axis. That is, the phases of the plane waves are such
that the envelope of the collective set of waves remains stationary. Since with any plane wave we can
associate a light ray that is perpendicular to the phase front of the wave, the family of plane waves cor-
responding to a particular mode forms a set of rays called a ray congruence. Each ray of this particular
set travels in the fiber at the same angle relative to the fiber axis. We note here that, since only a certain
number M of discrete guided modes exist in a fiber, the possible angles of the ray congruences corre-
sponding to these modes are also limited to the same number M. Although a simple ray picture appears
to allow rays at any angle greater than the critical angle to propagate in a fiber, the allowable quantized
propagation angles result when the phase condition for standing waves is introduced into the ray picture.
This is discussed further in Sec. 2.3.5.
Despite the usefulness of the approximate geometrical optics method, a number of limitations
and discrepancies exist between it and the exact modal analysis. An important case is the analysis of
single-mode or few-mode fibers, which must be dealt with by using electromagnetic theory. Problems
involving coherence or interference phenomena must also be solved with an electromagnetic approach.
In addition, a modal analysis is necessary when a knowledge of the field distribution of individual
modes is required. This arises, for example, when analyzing the excitation of an individual mode or
when analyzing the coupling of power between modes at waveguide imperfections (which we shall
discuss in Chapter 3).
Another discrepancy between the ray optics approach and the modal analysis occurs when an optical
fiber is uniformly bent with a constant radius of curvature. As shown in Chapter 3, wave optics correctly
Optical Fibers: Structures, Waveguiding, and Fabrication 43

predicts that every mode of the curved fiber experiences some radiation loss. Ray optics, on the other
hand, erroneously predicts that some ray congruences can undergo total internal reflection at the curve
and, consequently, can remain guided without loss.
2.3.3 Step-Index Fiber Structure
We begin our discussion of light propagation in an optical waveguide by considering the step-index fiber.
In practical step-index fibers the core of radius a has a refractive index n1, which is typically equal to
1.48. This is surrounded by a cladding of slightly lower index n2, where
n2 = n1(1 - D) (2.20)
The parameter D is called the core-cladding index difference or simply the index difference. Values
of n2 are chosen such that D is nominally 0.01. Typical values range from 1 to 3 percent for multimode
fibers and from 0.2 to 1.0 percent for single-mode fibers. Since the core refractive index is larger than
the cladding index, electromagnetic energy at optical frequencies is made to propagate along the fiber
waveguide through internal reflection at the core-cladding interface.

2.3.4 Ray Optics Representation

Since the core size of multimode fibers is much larger than the wavelength of the light we are interested in
(which is approximately l mm), an intuitive picture of the propagation mechanism in an ideal multimode
step-index optical waveguide is most easily seen by a simple ray (geometrical) optics representation.6–11
For simplicity, in this analysis we shall consider only a particular ray belonging to a ray congruence that
represents a fiber mode. The two types of rays that can propagate in a fiber are meridional rays and skew
rays. Meridional rays are confined to the meridian planes of the fiber, which are the planes that contain
the axis of symmetry of the fiber (the core axis). Since a given meridional ray lies in a single plane, its
path is easy to track as it travels along the fiber. Meridional rays can be divided into two general classes:
bound rays that are trapped in the core and propagate along the fiber axis according to the laws of geo-
metrical optics, and unbound rays that are refracted out of the fiber core.
Skew rays are not confined to a single plane, but instead tend to follow a helical-type path along the
fiber as shown in Fig. 2.16. These rays are more difficult to track as they travel along the fiber because
they do not lie in a single plane. Although skew rays constitute a major portion of the total number of
guided rays, their analysis is not necessary to obtain a general picture of rays propagating in a fiber.
The examination of meridional rays will suffice for this purpose. However, a detailed inclusion of skew

Ray path projected

on fiber end face

Ray path

Fig. 2.16 Ray optics representation of skew rays traveling in a step-index optical fiber core
44 Optical Fiber Communications

rays will change such expressions as the light- Acceptance Refracted ray
acceptance ability of the fiber and power losses cone n2 Cladding
of light traveling along a waveguide.6,10
A greater power loss arises when skew rays Reflected ray
φ
are included in the analyses because many of n < n1 θ
the skew rays that geometric optics predicts θ0 n1 Core
to be trapped in the fiber are actually leaky
rays.5,12,13 These leaky rays are only partially n2 Cladding
Entrance rays
confined to the core of the circular optical
fiber and attenuate as the light travels along Fig. 2.17 Meridional ray optics repre-
the optical waveguide. This partial reflection sentation of the propagation
of leaky rays cannot be described by pure ray mechanism in an ideal step-index
theory alone. Instead, the analysis of radiation optical waveguide
loss arising from these types of rays must be
described by mode theory. This is explained
further in Sec. 2.4.
The meridional ray is shown in Fig. 2.17 for a step-index fiber. The light ray enters the fiber core from
a medium of refractive index n at an angle q0 with respect to the fiber axis and strikes the core-cladding
interface at a normal angle f. If it strikes this interface at such an angle that it is totally internally reflected,
then the meridional ray follows a zigzag path along the fiber core, passing through the axis of the guide
after each reflection.
From Snell’s law, the minimum or critcal angle fc that supports total internal reflection for the meridi-
onal ray is given by
n2
sin φc = (2.21)
n1

Rays striking the core-cladding interface at angles less than fc will refract out of the core and be lost
in the cladding, as the dashed line shows. By applying Snell’s law to the air–fiber face boundary, the
condition of Eq. (2.21) can be related to the maximum entrance angle q0, max, which is called the accep-
tance angle qA, through the relationship

( )
12
n sin q0, max = n sin qA = n1 sin θ c = n12 − n22 (2.22)

where qc = p/2 - fc. Thus those rays having entrance angles q0 less than qA will be totally internally
reflected at the core–cladding interface. Thus qA defines an acceptance cone for an optical fiber.
Equation (2.22) also defines the numerical aperture (NA) of a step-index fiber for meridional rays:

( )
12
NA = n sin qA = n12 − n22 ≈ n1 2 Δ (2.23)

The approximation on the right-hand side is valid for the typical case where D, as defined by Eq. (2.20),
is much less than 1. Since the numerical aperture is related to the acceptance angle, it is commonly used
to describe the light acceptance or gathering capability of a fiber and to calculate source-to-fiber optical
power coupling efficiencies. This is detailed in Chapter 5. The numerical aperture is a dimensionless
quantity which is less than unity, with values normally ranging from 0.14 to 0.50.
Optical Fibers: Structures, Waveguiding, and Fabrication 45

Example 2.4 Consider a multimode silica fiber Example 2.5 Consider a multimode fiber that
that has a core refractive index n1 = 1.480 and a clad- has a core refractive index of 1.480 and a core-cladding
ding index n2 = 1.460. Find (a) the critical angle, (b) the index difference 2.0 percent (D = 0.020). Find the (a)
numerical aperture, and (c) the acceptance angle. numerical aperture, (b) the acceptance angle, and (c)
the critical angle.
Solution: (a) From Eq. (2.21), the critical angle is
given by Solution: From Eq. (2.20), the cladding index is
n2 n2 = n1(1 - D) = 1.480(0.980) = 1.450.
1.460
ϕ c = sin −1 = sin −1 = 80.5° (a) From Eq. (2.23) we find that the numerical
n1 1.480 aperture is
(b) From Eq. (2.23) the numerical aperture is NA = n1 2 Δ = 1.480(0.04)1/ 2 = 0.296

( )
1/2
NA = n12 − n22 = 0.242 (b) Using Eq. (2.22) the acceptance angle in air
(n = 1.00) is
(c) From Eq. (2.22) the acceptance angle in air
qA = sin–1 NA = sin–1 0.296 = 17.2°
(n = 1.00) is
(c) From Eq. (2.21) the critical angle at the core–
qA = sin–1 NA = sin–1 0.242 = 14°
cladding interface is
n2
ϕ c = sin −1 = sin −1 0.980 = 78.5°
n1

2.3.5 Wave Representation in a Dielectric Slab Waveguide

Referring to Fig. 2.17, the ray theory appears to allow rays at any angle f greater than the critical angle fc
to propagate along the fiber. However, when the interference effect due to the phase of the plane wave
associated with the ray is taken into account, it is seen that only waves at certain discrete angles greater
than or equal to fc are capable of propagating along the fiber.
To see this, let us consider wave propagation in an infinite dielectric slab waveguide of thickness d.
Its refractive index n1 is greater than the index n2 of the material above and below the slab. A wave will
thus propagate in this guide through multiple reflections, provided that the angle of incidence with respect
to the upper and lower surfaces satisfies the condition given in Eq. (2.22).
Figure 2.18 shows the geometry of the waves reflecting at the material interfaces. Here, we consider
two rays, designated ray 1 and ray 2, associated with the same wave. The rays are incident on the mate-
rial interface at an angle q < qc = p/2 - fc. The ray paths in Fig. 2.18 are denoted by solid lines and their
associated constant-phase fronts by dashed lines.
The condition required for wave propagation in the dielectric slab is that all points on the same phase
front of a plane wave must be in phase. This means that the phase change occurring in ray 1 when travel-
ing from point A to point B minus the phase change in ray 2 between points C and D must differ by an
integer multiple of 2p. As the wave travels through the material, it undergoes a phase shift D given by
D = k1s = n1ks = n12ps/l
where k1 = the propagation constant in the medium of refractive index n1
k = k1/n1 is the free-space propagation constant
s = the distance the wave has traveled in the material
Optical Fibers: Structures, Waveguiding, and Fabrication 47

The negative sign is needed here since the wave in the medium must be a decaying and not a growing
wave. Substituting this expression into Eq. (2.24c) yields

2π n1d sin θ
⎡
− π m = 2 arctan ⎢
2
(
⎢ cos θ − n2 n1
2 2
) ⎤⎥ (2.26a)
λ sin θ ⎥
⎢ ⎥
⎣ ⎦
or

⎛ π n d sin θ π m ⎞ ⎡ n12 cos2 θ − n22 ⎤

− ⎢ ⎥
tan ⎜ 1
λ ⎟ =⎢ θ ⎥
(2.26b)
⎝ 2 ⎠ n1
sin
⎣ ⎦
Thus only waves that have those angles q that satisfy the condition in Eq. (2.26) will propagate in the
dielectric slab waveguide (see Prob. 2.13).

2.4 Mode Theory for Circular Waveguides

To attain a more detailed understanding of the optical power propagation mechanism in a fiber, it is
necessary to solve Maxwell’s equations subject to the cylindrical boundary conditions at the interface
between the core and the cladding of the fiber. This has been done in extensive detail in a number of
works.7,10,14–18 Since a complete treatment is beyond the scope of this book, only a general outline of a
simplified (but still complex) analysis will be given here.
Before presenting the basic mode theory in circular optical fibers, in Sec. 2.4.1 we first give a qualitative
overview of the concepts of modes in a waveguide. Next, Sec. 2.4.2 presents a brief summary of the funda-
mental results obtained from the analyses in Secs. 2.4.3 through 2.4.9, so that those who are not familiar with
Maxwell’s equations can skip over those sections designated by a star (*) without loss of continuity.
When solving Maxwell’s equations for hollow metallic waveguides, only transverse electric (TE)
modes and transverse magnetic (TM) modes are found. However, in optical fibers the core-cladding
boundary conditions lead to a coupling between the electric and magnetic field components. This gives
rise to hybrid modes, which makes optical waveguide analysis more complex than metallic waveguide
analysis. The hybrid modes are designated as HE or EH modes, depending on whether the transverse
electric field (the E field) or the transverse magnetic field (the H field) is larger for that mode. The two
lowest-order modes are designated by HE11 and TE01, where the subscripts refer to possible modes of
propagation of the optical field.
Although the theory of light propagation in optical fibers is well understood, a complete description of
the guided and radiation modes requires the use of six-component hybrid electromagnetic fields that have
very involved mathematical expressions. A simplification19–23 of these expressions can be carried out,
in practice, since fibers usually are constructed so that the difference in the core and cladding indices of
refraction is very small; that is, n1 - n2 = 1. With this assumption, only four field components need to be
considered and their expressions become significantly simpler. The field components are called linearly
polarized (LP) modes and are labeled LPjm where j and m are integers designating mode solutions. In
this scheme for the lowest-order modes, each LP0m mode is derived from an HE1m mode and each LP1m
mode comes from TE0m, TM0m, and HE0m modes. Thus the fundamental LP01 mode corresponds to an
HE11 mode.
48 Optical Fiber Communications

Although the analysis required for even these simplifications is still fairly involved, this material is
key to understanding the principles of optical fiber operation. In Secs. 2.4.3 through 2.4.9 we first solve
Maxwell’s equations for a circular step-index waveguide and then describe the resulting solutions for
some of the lower-order modes.

2.4.1 Overview of Modes

Before we progress with a discussion of mode theory in circular optical fibers, let us qualitatively ex-
amine the appearance of modal fields in the planar dielectric slab waveguide shown in Fig. 2.19. The
core of this waveguide is a dielectric slab of index n1 that is sandwiched between two dielectric layers
that have refractive indices n2 < n1. These surrounding layers are called the cladding. This represents
the simplest form of an optical waveguide and can serve as a model to gain an understanding of wave
propagation in optical fibers. In fact, a cross-sectional view of the slab waveguide looks the same as the
cross-sectional view of an optical fiber cut along its axis. Figure 2.19 shows the field patterns of several
of the lower-order transverse electric (TE) modes (which are solutions of Maxwell’s equations for the
slab waveguide7–10). The order of a mode is equal to the number of field zeros across the guide. The
order of the mode is also related to the angle that the ray congruence corresponding to this mode makes
with the plane of the waveguide (or the axis of a fiber); that is, the steeper the angle, the higher the order
of the mode. The plots show that the electric fields of the guided modes are not completely confined to
the central dielectric slab (i.e., they do not go to zero at the guide-cladding interface), but, instead, they
extend partially into the cladding. The fields vary harmonically in the guiding region of refractive index
n1 and decay exponentially outside of this region. For low-order modes the fields are tightly concentrated
near the center of the slab (or the axis of an optical fiber), with little penetration into the cladding region.
On the other hand, for higher-order modes the fields are distributed more toward the edges of the guide
and penetrate farther into the cladding region.
Solving Maxwell’s equations shows that, in addition to supporting a finite number of guided modes,
the optical fiber waveguide has an infinite continuum of radiation modes that are not trapped in the core

Fig. 2.19 Electric field distributions for several of the lower-order guided modes in a
symmetrical-slab waveguide
Optical Fibers: Structures, Waveguiding, and Fabrication 49

and guided by the fiber but are still solutions of the same boundary-value problem. The radiation field
basically results from the optical power that is outside the fiber acceptance angle being refracted out of
the core. Because of the finite radius of the cladding, some of this radiation gets trapped in the cladding,
thereby causing cladding modes to appear. As the core and cladding modes propagate along the fiber,
mode coupling occurs between the cladding modes and the higher-order core modes. This coupling
occurs because the electric fields of the guided core modes are not completely confined to the core but
extend partially into the cladding (see Fig. 2.19) and likewise for the cladding modes. A diffusion of
power back and forth between the core and cladding modes thus occurs; this generally results in a loss
of power from the core modes.
Guided modes in the fiber occur when the values for b satisfy the condition n2k < b < n1k. At the limit
of propagation when b = n2k, a mode is no longer properly guided and is called being cut off. Thus un-
guided or radiation modes appear for frequencies below the cutoff point where b < n2k. However, wave
propagation can still occur below cutoff for those modes where some of the energy loss due to radiation
is blocked by an angular momentum barrier that exists near the core-cladding interface.17 These propaga-
tion states behave as partially confined guided modes rather than radiation modes and are called leaky
modes.5,6,12,13 These leaky modes can travel considerable distances along a fiber but lose power through
leakage or tunneling into the cladding as they propagate.

2.4.2 Summary of Key Modal Concepts

An important parameter connected with the cutoff condition is the V number defined by

(
2π a 2
) 2π a
12
V = n1 − n22 = NA (2.27)
λ λ
This parameter is a dimensionless number that determines how many modes a fiber can support.
Except for the lowest-order HE11 mode, each mode can exist only for values of V that exceed a certain
limiting value (with each mode having a different V limit). The modes are cut off when b = n2k. This
occurs when V £ 2.405. The HE11 mode has no cutoff and ceases to exist only when the core diameter is
zero. This is the principle on which single-mode fibers are based. The details for these and other modes
are given in Sec. 2.4.7.

Example 2.6 A step-index fiber has a normalized Solution: From Eq. (2.27) the NA is
frequency V = 26.6 at a 1300-nm wavelength. If the core
radius is 25 mm, what is the numerical aperture? λ 1.30 μ m
NA = V = 26.6 = 0.22
2π a 2π × 25 μ m

The V number also can be used to express the number of modes M in a multimode step-index fiber
when V is large (see Sec. 2.6 for modes in a graded-index multimode fiber). For this case, an estimate
of the total number of modes supported in such a fiber is
2 2
M ≈
1 ⎛ 2π a ⎞
2 ⎜⎝ λ ⎟⎠
( n12 − n22 =) V
2
(2.28)
50 Optical Fiber Communications

Example 2.7 Consider a multimode step-index Solution: From Eq. (2.27) the normalized frequency is
fiber with a 62.5-mm core diameter and a core-cladding
index difference of 1.5 percent. If the core refractive index 2π a 2π × 31.25 μ m × 1.48
V ≈ n 2Δ = 2 × 0.015
is 1.480, estimate the normalized frequency of the fiber λ 1 0.85 μ m
and the total number of modes supported in the fiber at a = 59.2
wavelength of 850 nm.
Using Eq. (2.28), the total number of modes is

V2
M ≈ = 1752
2

Example 2.8 Suppose we have a multimode step- Using Eq. (2.28), the total number of modes at 860 nm is
index optical fiber that has a core radius of 25 mm, a core
index of 1.48, and an index difference D = 0.01. What V2
are the number of modes in the fiber at wavelengths 860, M ≈ = 729
2
1310, and 1550 nm?
(b) Similarly, at 1310 nm we have V = 25.1 and
Solution:
M = 315.
(a) First, from Eqs. (2.23) and (2.28), at an operating
(c) Finally at 1550 nm we have V = 21.2 and M = 224.
wavelength of 860 nm the value of V is

2π a 2π × 25 μ m × 1.48
V ≈ n 2Δ = 2 × 0.01
λ 1 0.86 μ m
= 38.2

Example 2.9 Suppose we have three multimode Using Eq. (2.28), the total number of modes in the
step-index optical fibers each of which has a core index of 50-mm core diameter fiber is
1.48 and an index difference D = 0.01. Assume the three
fibers have core diameters of 50, 62.5, and 100 mm. What V2
are the number of modes in these fibers at a wavelength M ≈ = 224
2
of 1550 nm?
(b) Similarly, at 62.5-mm we have V = 26.5 and
Solution: (a) First, from Eqs. (2.23) and (2.28), at
M = 351.
50-mm diameter the value of V is
(c) Finally at 100-mm we have V = 42.4 and M = 898.
2π a 2π × 25 μ m × 1.48
V ≈ n 2Δ = 2 × 0.01
λ 1 1.55 μ m
= 21.2

Since the field of a guided mode extends partly into the cladding, as shown in Fig. 2.19, a final quantity
of interest for a step-index fiber is the fractional power flow in the core and cladding for a given mode.
As the V number approaches cutoff for any particular mode, more of the power of that mode is in the
cladding. At the cutoff point, the mode becomes radiative with all the optical power of the mode residing
in the cladding. Far from cutoff—that is, for large values of V—the fraction of the average optical power
residing in the cladding can be estimated by
Optical Fibers: Structures, Waveguiding, and Fabrication 51

Pclad 4
≈ (2.29)
P 3 M
where P is the total optical power in the fiber. The details for the power distribution between the core
and the cladding of various LPjm modes are given in Sec. 2.4.9. Note that since M is proportional to V 2,
the power flow in the cladding decreases as V increases. However, this increases the number of modes
in the fiber, which is not desirable for a high-bandwidth capability.

Example 2.10 Consider a multimode step-index Using Eq. (2.28), the total number of modes is
optical fiber that has a core radius of 25 mm, a core
V2
index of 1.48, and an index difference D = 0.01. Find M ≈ = 760
the percentage of optical power that propagates in the 2
cladding at 840 nm. From Eq. (2.29) we have
Solution: From Eqs. (2.23) and (2.28), at an operat- Pclad 4
ing wavelength of 840 nm the value of V is ≈ = 0.05
P 3 M
2π a 2π × 25 μ m × 1.48
V ≈ n 2Δ = 2 × 0.01 Thus approximately 5 percent of the optical power
λ 1 0.84 μ m propagates in the cladding. If D is decreased to 0.03 in
= 39 order to lower the signal dispersion (see Chapter 3), then
there are 242 modes in the fiber and about 9 percent of
the power propagates in the cladding.

2.4.3 Maxwell’s Equations*

To analyze the optical waveguide we need to consider Maxwell’s equations that give the relationships
between the electric and magnetic fields. Assuming a linear, isotropic dielectric material having no cur-
rents and free charges, these equations take the form2

∂B
∇×E= − (2.30a)
∂t
∂D
∇×H= (2.30b)
∂t
—◊D=0 (2.30c)
—◊B=0 (2.30d )
where D = ⑀E and B = mH. The parameter ⑀ is the permittivity (or dielectric constant) and m is the
permeability of the medium.
A relationship defining the wave phenomena of the electromagnetic fields can be derived from
Maxwell’s equations. Taking the curl of Eq. (2.30a) and making use of Eq. (2.30b) yields

∂ ∂ 2E
— ¥ (— ¥ E) = − μ (∇ × H ) = - μ 2 (2.31a)
∂t ∂t
Optical Fibers: Structures, Waveguiding, and Fabrication 65

1.0 0

0.8 0.2

0.6 0.4

Pcore /P
Pclad /P

03 04
0.4 13 0.6
02
12 23
22 33
01 32
0.2 11 42 0.8
21 31 41 51 61 71 81

0 1.0
0 2 4 6 8 10 12
V

Fig. 2.27 Fractional power flow in the cladding of a step-index optical fiber as a function
of V. When n π 1, the curve numbers nm designate the HEn +1,m and EHv–1,m
modes. For n = 1, the curve numbers nm give the HE2m, TE0m, and TM0m modes.
(Reproduced with permission from Gloge.20)

where, from Eq. (2.61), M is the total number of modes entering the fiber. From Fig. 2.27 and Eq. (2.72)
it can be seen that, since M is proportional to V 2, the power flow in the cladding decreases as V
increases.

2.5 Single-Mode Fibers

2.5.1 Construction
Single-mode fibers are constructed by letting the dimensions of the core diameter be a few wavelengths
(usually 8–12) and by having small index differences between the core and the cladding. From Eq. (2.27)
or (2.58) with V = 2.4, it can be seen that single-mode propagation is possible for fairly large variations
in values of the physical core size a and the core-cladding index differences D. However, in practical
designs of single-mode fibers,27 the core-cladding index difference varies between 0.2 and 1.0 percent,
and the core diameter should be chosen to be just below the cutoff of the first higher-order mode; that
is, for V slightly less than 2.4.
2.5.2 Mode-Field Diameter
For multimode fibers the core diameter and numerical aperture are key parameters for describing the signal
transmission properties. In single-mode fibers the geometric distribution of light in the propagating mode is
what is needed when predicting the performance characteristics of these fibers. Thus a fundamental param-
eter of a single-mode fiber is the mode-field diameter (MFD). This parameter can be determined from the
mode-field distribution of the fundamental fiber mode and is a function of the optical source wavelength,
66 Optical Fiber Communications

Example 2.12 A manufacturing engineer wants Example 2.13 An applications engineer has an
to make an optical fiber that has a core index of 1.480 optical fiber that has a 3.0-mm core radius and a numeri-
and a cladding index of 1.478. What should the core size cal aperture of 0.1. Will this fiber exhibit single-mode
be for single-mode operation at 1550 nm? operation at 800 nm?
Solution: Using the condition that V £ 2.405 Solution: From Eq. (2.27)
must be satisfied for single-mode operation, then from
2π a 2π × 3μ m
Eq. (2.27) we have V ≈ NA = 0.10 = 2.356
λ 0.80 μ m
Vλ 1
a= Since V < 2.405, this fiber will exhibit single-mode
2π n12 − n22 operation at 800 nm.
2.405 × 1.55μ m 1
≤ = 7.7 μ m
2π (1.480) − (1.478 )2
2

If this fiber also should be single-mode at 1310 nm, then

the core radius must be less than 6.50 mm.

the core radius, and the refractive index profile of the fiber.
The mode-field diameter is analogous to the core diameter
in multimode fibers, except that in single-mode fibers not
all the light that propagates through the fiber is carried in
the core (see Sec. 2.4). Figure 2.28 illustrates this effect.
For example, at V = 2 only 75 percent of the optical power
is confined to the core. This percentage increases for larger
values of V and is less for smaller V values.
The MFD is an important parameter for single-mode
fiber because it is used to predict fiber properties such
as splice loss, bending loss, cutoff wavelength, and
waveguide dispersion. Chapters 3 and 5 describe these
parameters and their effects on fiber performance. A
variety of models have been proposed for characterizing
and measuring the MFD.30–35 These include far-field
scanning, near-field scanning, transverse offset, variable
aperture in the far field, knife-edge, and mask methods.30
The main consideration of all these methods is how to -
approximate the optical power distribution.
A standard technique to find the MFD is to measure
the far-field intensity distribution E2 (r) and then calculate
the MFD using the Petermann II equation32 Fig. 2.28 Distribution of light in a
single-mode fiber above its
12
⎡ ∞ 2 ⎤ cutoff wavelength. For a
⎢ 2 ∫0 E ( r ) r dr ⎥
3

MFD = 2 w0 = 2 ⎢ ∞ (2.73) Gaussian distribution the

⎥ MFD is given by the 1/e2
⎢⎣ ∫0 E ( r ) r dr ⎥⎦
2
width of the optical power
Optical Fibers: Structures, Waveguiding, and Fabrication 67

where 2w0 (called the spot size) is the full width of the far-field distribution. For calculation simplicity
the exact field distribution can be fitted to a Gaussian function21

(
E ( r ) = E0 exp − r 2 w02 ) (2.74)

where r is the radius and E0 is the field at zero radius, as shown in Fig. 2.28. Then the MFD is given by
the 1/e2 width of the optical power.

2.5.3 Propagation Modes in Single-Mode Fibers

As described in Sec. 2.4.8, in any ordinary single-mode fiber there are actually two independent, degener-
ate propagation modes.36–39 These modes are very similar, but their polarization planes are orthogonal.
These may be chosen arbitrarily as the horizontal (H) and the vertical (V) polarizations as shown in
Fig. 2.29. Either one of these two polarization modes constitutes the fundamental HE11 mode. In general,
the electric field of the light propagating along the fiber is a linear superposition of these two polarization
modes and depends on the polarization of the light at the launching point into the fiber.
Suppose we arbitrarily choose one of the modes to have its transverse electric field polarized along
the x direction and the other independent, orthogonal mode to be polarized in the y direction as shown
in Fig. 2.29. In ideal fibers with perfect rotational symmetry, the two modes are degenerate with
equal propagation constants (kx = ky), and any polarization state injected into the fiber will propagate
unchanged. In actual fibers there are imperfections, such as asymmetrical lateral stresses, noncircular
cores, and variations in refractive-index profiles. These imperfections break the circular symmetry of the
ideal fiber and lift the degeneracy of the two modes. The modes propagate with different phase veloci-
ties, and the difference between their effective refractive indices is called the fiber birefringence,

Bf = ny - nx (2.75)

Equivalently, we may define the birefringence as

b = k0(ny - nx) (2.76)

where k0 = 2p/l is the free-space propagation constant.

If light is injected into the fiber so that both modes are excited, then one will be delayed in phase
relative to the other as they propagate. When this phase difference is an integral multiple of 2p, the two

y y

x x
nx ny

Horizontal mode Vertical mode

Fig. 2.29 Two polarizations of the fundamental HE11 mode in a single-mode fiber
68 Optical Fiber Communications

modes will beat at this point and the input polarization state will be reproduced. The length over which
this beating occurs is the fiber beat length,
Lp = 2p /b (2.77)

Example 2.14 A single mode optical fiber has a beat 2π 2π

β = = = 78.5 m −1
length of 8 cm at 1300 nm. What is the birefringence? Lp 0.08 m
Solution: From Eqs. (2.75) to (2.77) we have that This indicates an intermediate-type fiber because
the modal birefringence is birefringences can vary from Bf = 1 ¥ 10–3 (a typical
λ 1.3 × 10−6 m high-birefringence fiber) to Bf = 1 ¥ 10–8 (a typical low-
Bf = ny − nx = = = 1.63 × 10−5 birefringence fiber).
Lp 8 × 10−2 m
or, alternatively,

2.6 Graded-Index Fiber Structure

In the graded-index fiber design the core refractive index decreases continuously with increasing radial
distance r from the center of the fiber but is generally constant in the cladding. The most commonly used
construction for the refractive-index variation in the core is the power law relationship

⎧ 12
⎡ ⎛ r⎞ ⎤
α
⎪
⎪ n1 ⎢1 − 2 Δ ⎜ ⎟ ⎥ for 0≤r ≤ a (2.78)
n( r ) = ⎨ ⎢ ⎝ a⎠ ⎥
⎪ ⎣ ⎦
⎪⎩ n1 (1 − 2 Δ )1 2 ⯝ n1 (1 − Δ ) = n2 for r ≥a

Here, r is the radial distance from the fiber axis, a is the core radius, n1 is the refractive index at the
core axis, n2 is the refractive index of the cladding, and the dimensionless parameter a defines the shape
of the index profile. The index difference D for the graded-index fiber is given by

n12 − n22 n1 − n2
Δ= ⯝ (2.79)
2 n12 n1

The approximation on the right-hand side of this equation reduces the expression for D to that of the
step-index fiber given by Eq. (2.20). Thus, the same symbol is used in both cases. For a = •, inside the
core Eq. (2.78) reduces to the step-index profile n(r) = nl.
Determining the NA for graded-index fibers is more complex than for step-index fibers because it is
a function of position across the core end face. This is in contrast to the step-index fiber, where the NA
is constant across the core. Geometrical optics considerations show that light incident on the fiber core
at position r will propagate as a guided mode only if it is within the local numerical aperture NA(r) at
that point. The local numerical aperture is defined as40

⎧⎪[ n2 ( r ) − n2 ]1 2 ⯝ NA(0) 1 − ( r a )α for r ≤a

NA( r ) = ⎨ 2 (2.80a)
⎪⎩0 for r >a
70 Optical Fiber Communications

2.7 Fiber Materials

In selecting materials for optical fibers, a number of requirements must be satisfied. For example:
1. It must be possible to make long, thin, flexible fibers from the material.
2. The material must be transparent at a particular optical wavelength in order for the fiber to
guide light efficiently.
3. Physically compatible materials that have slightly different refractive indices for the core and
cladding must be available.
Materials that satisfy these requirements are glasses and plastics.
The majority of fibers are made of glass consisting of either silica (SiO2) or a silicate. The variety
of available glass fibers ranges from moderate-loss fibers with large cores used for short-transmission
distances to very transparent (low-loss) fibers employed in long-haul applications. Plastic fibers are less
widely used because of their substantially higher attenuation than glass fibers. The main use of plastic
fibers is in short-distance applications (several hundred meters) and in abusive environments, where the
greater mechanical strength of plastic fibers offers an advantage over the use of glass fibers.

2.7.1 Glass Fibers

Glass is made by fusing mixtures of metal oxides, sulfides, or selenides.42–44 The resulting material is a
randomly connected molecular network rather than a well-defined ordered structure as found in crystalline
materials. A consequence of this random order is that glasses do not have well-defined melting points.
When glass is heated up from room temperature, it remains a hard solid up to several hundred degrees
centigrade. As the temperature increases further, the glass gradually begins to soften until at very high
temperatures it becomes a viscous liquid. The expression “melting temperature” is commonly used in
glass manufacture. This term refers only to an extended temperature range in which the glass becomes
fluid enough to free itself fairly quickly of gas bubbles.
The largest category of optically transparent glasses from which optical fibers are made consists of
the oxide glasses. Of these, the most common is silica (SiO2), which has a refractive index ranging from
1.458 at 850 to 1.444 at 1550 nm. To produce two similar materials that have slightly different indices
of refraction for the core and cladding, either fluorine or various oxides (referred to as dopants), such
as B2O3, GeO2, or P2O5, are added to the
silica. As shown in Fig. 2.31, the addition
of GeO2 or P2O5 increases the refractive in-
dex, whereas doping the silica with fluorine
or B2O3 decreases it. Since the cladding
must have a lower index than the core,
examples of fiber compositions are
1. GeO2–SiO2 core; SiO2 cladding
2. P2O5–SiO2 core; SiO2 cladding
3. SiO2 core; B2O3–SiO2 cladding
4. GeO2–B2O3–SiO2 core; B2O3–
SiO2 cladding
Here, the notation GeO2–SiO2, for exam- Fig. 2.31 Variation in refractive index as a function
ple, denotes a GeO2-doped silica glass. of doping concentration in silica glass
Optical Fibers: Structures, Waveguiding, and Fabrication 71

The principal raw material for silica is high-purity sand. Glass composed of pure silica is referred to
as either silica glass, fused silica, or vitreous silica. Some of its desirable properties are a resistance to
deformation at temperatures as high as 1000°C, a high resistance to breakage from thermal shock be-
cause of its low thermal expansion, good chemical durability, and high transparency in both the visible
and infrared regions of interest to fiber optic communication systems. Its high melting temperature is
a disadvantage if the glass is prepared from a molten state. However, this problem is partially avoided
when using vapor deposition techniques.
2.7.2 Active Glass Fibers
Incorporating rare-earth elements (atomic numbers 57–71) into a normally passive glass gives the result-
ing material new optical and magnetic properties. These new properties allow the material to perform
amplification, attenuation, and phase retardation on the light passing through it.45–47 Doping (i.e., adding
impurities) can be carried out for silica, tellurite, and halide glasses.
Two commonly used doping materials for fiber lasers are erbium and neodymium. The ionic concen-
trations of the rare-earth elements are low (on the order of 0.005–0.05 mole percent) to avoid clustering
effects. To make use of the absorption and fluorescence spectra of these materials, one can use an optical
source that emits at an absorption wavelength of the doping material to excite electrons to higher energy
levels in the rare-earth dopants. When these excited electrons are stimulated by a signal photon to drop
to lower energy levels, the transition process results in the emission of light in a narrow optical spectrum
at the fluorescence wavelength. Chapter 11 discusses the applications of fibers doped with rare-earth
elements to create optical amplifiers.
2.7.3 Plastic Optical Fibers
The growing demand for delivering high-speed services directly to the workstation has led fiber develop-
ers to create high-bandwidth graded-index polymer (plastic) optical fibers (POF) for use in a customer
premises.48,49 The core of these fibers is either polymethylmethacrylate or a perfluorinated polymer.
These fibers are hence referred to as PMMA POF and PF POF, respectively. Although they exhibit con-
siderably greater optical signal attenuations than glass fibers, they are tough and durable. For example,
since the modulus of these polymers is nearly two orders of magnitude lower than that of silica, even a
1-mm-diameter graded-index POF is sufficiently flexible to be installed in conventional fiber cable routes.
Standard optical connectors can be used on plastic fibers having core sizes that are compatible with the
core diameters of standard multimode glass telecom fibers. Thus coupling between similar sized plastic
and glass fibers is straightforward. In addition, for the plastic fibers inexpensive plastic injection-molding
technologies can be used to fabricate connectors, splices, and transceivers.
Table 2.5 gives sample characteristics of PMMA and PF polymer optical fibers.

Table 2.5 Sample characteristics of PMMA and PF polymer optical fibers

Characteristic PMMA POF PF POF

Core diameter 0.4 mm 0.050–0.30 mm
Cladding diameter 1.0 mm 0.25–0.60 mm
Numerical aperture 0.25 0.20
Attenuation 150 dB/km at 650 nm < 40 dB/km at 650–1300 nm
Bandwidth 2.5 Gb/s over 200 m 2.5 Gb/s over 550 m
CHAPTER 3

Attenuation and Dispersion

In Chapter 2 we showed the structure of optical fibers and examined the concepts of how light propagates
along a cylindrical dielectric optical waveguide. Here, we shall continue the discussion of optical fibers
by answering two very important questions:
1. What are the loss or signal attenuation mechanisms in a fiber?
2. Why and to what degree do optical signals get distorted as they propagate along a fiber?
Signal attenuation (also known as fiber loss or signal loss) as is one of the most important properties
of an optical fiber because it largely determines the maximum unamplified or repeaterless separation
between a transmitter and a receiver. Since amplifiers and repeaters are expensive to fabricate, install, and
maintain, the degree of attenuation in a fiber has a large influence on system cost. Of equal importance
is signal distortion. The distortion mechanisms in a fiber cause optical signal pulses to broaden as they
travel along a fiber. If these pulses travel sufficiently far, they will eventually overlap with neighboring
pulses, thereby creating errors in the receiver output. The signal distortion mechanisms thus limit the
information-carrying capacity of a fiber.

3.1 Attenuation
Attenuation of a light signal as it propagates along a fiber is an important consideration in the design
of an optical communication system; the degree of attenuation plays a major role in determining the
maximum transmission distance between a transmitter and a receiver or an in-line amplifier. The basic
attenuation mechanisms in a fiber are absorption, scattering, and radiative losses of the optical energy.1–5
Absorption is related to the fiber material, whereas scattering is associated both with the fiber material and
with structural imperfections in the optical waveguide. Attenuation owing to radiative effects originates
from perturbations (both microscopic and macroscopic) of the fiber geometry.
This section first discusses the units in which fiber losses are measured and then presents the physical
phenomena giving rise to attenuation.
Attenuation and Dispersion 103

3.1.1 Attenuation Units

As light travels along a fiber, its power decreases exponentially with distance. If P(0) is the optical power
in a fiber at the origin (at z = 0), then the power P(z) at a distance z farther down the fiber is
P(z) = P(0)e -a p z (3.la)
where

1 ⎡ P( 0 ) ⎤
αp = ln ⎢ ⎥ (3.1b)
z ⎣ P( z ) ⎦

is the fiber attenuation coefficient given in units of, for example, km-1. Note that the units for 2za p can
also be designated by nepers (see App. D).
For simplicity in calculating optical signal attenuation in a fiber, the common procedure is to express
the attenuation coefficient in units of decibels per kilometer, denoted by dB/km. Designating this parameter
by a, we have

10 ⎡ P( 0 ) ⎤ −1
α (dB/km ) = log ⎢ ⎥ = 4.343 α p ( km ) (3.lc)
z ⎣ P( z ) ⎦
This parameter is generally referred to as the fiber loss or the fiber attenuation. It depends on several
variables, as is shown in the following sections, and it is a function of the wavelength.

Example 3.1 An ideal fiber would have no loss so This means that the optical signal power would decrease
that Pout = Pin. This corresponds to a 0-dB/km attenuation, by 50 percent over a 1-km length and would decrease by
which, in practice, is impossible. An actual low-loss fiber 75 percent (a 6-dB loss) over a 2-km length, since loss
may have a 3-dB/km average loss at 900 nm, for example. contributions expressed in decibels are additive.

Example 3.2 As Sec. 1.3 describes, optical powers From Eq. (3.1c) with P(0) = Pin and P(z) = Pout the
are commonly expressed in units of dBm, which is the output power level (in dBm) at z = 30 km is
decibel power level referred to 1 mW. Consider a 30-km
long optical fiber that has an attenuation of 0.4 dB/km at ⎡ P (W) ⎤
1310 nm. Suppose we want to find the optical output power Pout (dBm ) = 10 log ⎢ out ⎥
⎢⎣ 1 mW ⎥⎦
Pout if 200 mW of optical power is launched into the fiber.
We first express the input power in dBm units: ⎡ P (W) ⎤
= 10 log ⎢ in ⎥ − αz
⎢⎣ 1 mW ⎥⎦
⎡ P (W) ⎤
Pin (dBm ) = 10 log ⎢ in ⎥ = −7.0 dBm − (0.4 dB/km ) (3 0 km )
⎢⎣ 1 mW ⎥⎦ = −19.0 dBm
⎡ 200 × 10−6 W ⎤
= 10 log ⎢ ⎥ = −7.0 dBm In unit of watts, the output power is
⎢⎣ 1 × 10−3 W ⎥⎦
P(30 km) = 10 –19.0 /10 (1 mW) = 12.6 × 10 –3 mW
= 12.66 μ W
104 Optical Fiber Communications

3.1.2 Absorption
Absorption is caused by three different mechanisms:
1. Absorption by atomic defects in the glass composition.
2. Extrinsic absorption by impurity atoms in the glass material.
3. Intrinsic absorption by the basic constituent atoms of the fiber material.
Atomic defects are imperfections in the atomic structure of the fiber material. Examples of these
defects include missing molecules, high-density clusters of atom groups, or oxygen defects in the glass
structure. Usually, absorption losses arising from these defects are negligible compared with intrinsic and
impurity absorption effects. However, they can be significant if the fiber is exposed to ionizing radiation,
as might occur in a nuclear reactor environment, in medical radiation therapies, in space missions that
pass through the earth’s Van Allen belts, or in accelerator instrumentation.6–9 In such applications, high
radiation doses may be accumulated over several years.
Radiation damages a material by changing its internal structure. The damage effects depend on the
energy of the ionizing particles or rays (e.g., electrons, neutrons, or gamma rays), the radiation flux (dose
rate), and the fluence (particles per square centimeter). The total dose a material receives is expressed in
units of rad(Si), which is a measure of radiation absorbed in bulk silicon. This unit is defined as
1 rad(Si) = 100 erg/g = 0.01 J/kg
The basic response of a fiber to ionizing radiation is an increase in attenuation owing to the creation
of atomic defects, or attenuation centers, that absorb optical energy. The higher the radiation level, the
larger the attenuation, as Fig. 3.1a illustrates. However, the attenuation centers will relax or anneal out
with time, as shown in Fig. 3.1b. The degree of the radiation effects depends on the dopant materials
used in the fiber. Pure silica fibers or fibers with a low Ge doping and no other dopants have the lowest
radiation-induced losses.

6 6

5 5
Induced loss (dB/km)

Induced loss (dB/km)

4 4

3 3

2 2

1 1

0 0
0 2000 4000 6000 8000 10000 10–1 100 101 102 103 104 105
Dose [rad (Si)] Time after irradiation (s)
(a) (b)

Fig. 3.1 General trend of the effects of ionizing radiation on optical fiber attenuation.
(a) Loss increase during steady irradiation to a total dose of 104 rad (SiO2).
(b) Subsequent recovery as a function of time after radiation has stopped. (Modified
with permission from West et al.,7 © 1994, IEEE.)
Attenuation and Dispersion 105

Table 3.1 Examples of absorption loss in silica glass at different wavelengths

due to 1 ppm of water-ions and various transition-metal impurities

Impurity Loss due to 1 ppm of impurity (dB/km) Absorption peak (nm)

2+
Iron: Fe 0.68 1100
Iron: Fe3+ 0.15 400
Copper: Cu2+ 1.1 850
Chromium: Cr2+ 1.6 625
Vanadium: V4+ 2.7 725
Water: OH– 1.0 950
Water: OH– 2.0 1240
Water: OH– 4.0 1380

The dominant absorption factor in silica fibers is the presence of minute quantities of impurities in the
fiber material. These impurities include OH- (water) ions that are dissolved in the glass and transition metal
ions such as iron, copper, chromium, and vanadium. Transition metal impurity levels were around 1 part
per million (ppm) in glass fibers made in the 1970s, which resulted in losses ranging from 1 to 4 dB/km,
as Table 3.1 shows. Impurity absorption losses occur either because of electron transitions between the
energy levels within these ions or because of charge transitions between ions. The absorption peaks of
the various transition metal impurities tend to be broad, and several peaks may overlap, which further
broadens the absorption in a specific region. Modern vapor-phase fiber techniques for producing a fiber
preform (see Sec. 2.9) have reduced the transition-metal impurity levels by several orders of magnitude.
Such low impurity levels allow the fabrication of low-loss fibers.
The presence of OH ion impurities in a fiber preform results mainly from the oxyhydrogen flame used
in the hydrolysis reaction of the SiCl4, GeCl4, and POCl3 starting materials. Water impurity concentrations
of less than a few parts per billion (ppb) are required if the attenuation is to be less than 20 dB/km. The
high levels of OH ions in early fibers resulted in large absorption peaks at 725, 950, 1240, and 1380 nm.
Regions of low attention lie between these absorption peaks.
The peaks and valleys in the attenuation curves resulted in the designation of the various transmission
windows shown in Fig. 3.2. By reducing the residual OH content of fibers to below 1 ppb, standard
commercially available single-mode fibers have nominal attenuations of 0.4 dB/km at 1310 nm (in the
O-band) and less than 0.25 dB/km at 1550 nm (in the C-band). Further elimination of water ions diminishes
the absorption peak around 1440 nm and thus opens up the E-band for data transmission, as indicated
by the dashed line in Fig. 3.2. Optical fibers that can be used in the E-band are known by names such as
low-water-peak or full-spectrum fibers.
Intrinsic absorption is associated with the basic fiber material (e.g., pure SiO2) and is the principal
physical factor that defines the transparency window of a material over a specified spectral region. Intrinsic
absorption sets the fundamental lower limit on absorption for any particular material; it is defined as the
absorption that occurs when the material is in a perfect state with no density variations, impurities, or
material inhomogeneities.
Intrinsic absorption results from electronic absorption bands in the ultraviolet region and from atomic
vibration bands in the near-infrared region. The electronic absorption bands are associated with the band
gaps of the amorphous glass materials. Absorption occurs when a photon interacts with an electron
106 Optical Fiber Communications

20

10 First
window
5.0
Attenuation (dB/km)

Standard fiber
2.0
Second
1.0 window Third
window

0.5

0.2 Low-water-peak
fiber
0.1
600 800 1000 1200 1400 1600 1800
Wavelength (nm)

Fig. 3.2 Optical fiber attenuation as a function of wavelength yields nominal values of
0.40 dB/km at 1310 nm and 0.25 dB/km at 1550 nm for standard single-mode fiber.
Absorption by water molecules causes the attenuation peak around 1400 nm for
standard fiber. The dashed curve is the attenuation for low-water-peak fiber.

in the valence band and excites it to a higher energy level, as is described in Sec. 2.1. The ultraviolet
edge of the electron absorption bands of both amorphous and crystalline materials follow the empirical
relationship1, 3

auv = CeE/E0 (3.2a)

which is known as Urbach’s rule. Here, C and E0 are empirical constants and E is the photon energy.
The magnitude and characteristic exponential decay of the ultraviolet absorption are shown in Fig. 3.3.
Since E is inversely proportional to the wavelength l, ultraviolet absorption decays exponentially with
increasing wavelength. In particular, the ultraviolet loss contribution in dB/km at any wavelength (given
in mm) can be expressed empirically (derived from observation or experiment) as a function of the mole
fraction x of GeO2 as10

154.2 x ⎛ 4.63 ⎞
α uv = × 10−2 exp ⎜ ⎟ (3.2b)
46.6 x + 60 ⎝ λ ⎠
As shown in Fig. 3.3, the ultraviolet loss is small compared with scattering loss in the near-infrared
region.
Attenuation and Dispersion 107

Example 3.3 Consider two silica fibers that are (c) For the fiber with x = 0.18 and l = 0.7 mm
doped with 6 percent and 18 percent mole fractions of
GeO2, respectively. Compare the ultraviolet absorptions 1.542(0.18) ⎛ 4.63 ⎞
α uv = exp ⎜ = 3.03 dB/km
at wavelengths of 0.7 mm and 1.3 mm. 46.6(0.18) + 60 ⎝ 0.7 ⎠⎟
Solution: Using Eq. (3.2b) for the ultraviolet (d ) For the fiber with x = 0.18 and l = 1.3 mm
absorption, we have the following:
(a) For the fiber with x = 0.06 and l = 0.7 mm
1.542(0.18) ⎛ 4.63 ⎞
α uv = exp ⎜ = 0.19 dB/km
1.542(0.06) ⎛ 4.63 ⎞ 46.6(0.18) + 60 ⎝ 1.3 ⎟⎠
α uv = exp ⎜ = 1.10 dB/km
46.6(0.06) + 60 ⎝ 0.7 ⎠⎟

(b) For the fiber with x = 0.06 and l = 1.3 mm

1.542(0.06) ⎛ 4.63 ⎞
α uv = exp ⎜ = 0.07dB/km
46.6(0.06) + 60 ⎝ 1.3 ⎠⎟

Wavelength (mm)
0.5 0.6 0.7 0.8 0.9 1 1.2 1.5 2 3 5 10
100

Absorption loss in
infrared region

10
Measured
loss of fiber
Loss (dB/km)

Absorption loss in
ultraviolet region
Scattering
0.1 loss

0.01
2.5 2.0 1.5 1.0 0.5 0
Photon energy (eV)

Fig. 3.3 Optical fiber attenuation characteristics and their limiting mechanisms for a GeO2-
doped low-loss low-water-content silica fiber. (Reproduced with permission from
Osanai et al.13)
108 Optical Fiber Communications

30
20 GeO2 – B2O3 – SiO2

10
P2O5 – SiO2
Loss (dB/km)

3
2 GeO2 – SiO2

0.5
0.4 0.6 0.8 1.0 1.2 1.4 1.6 1.8
Wavelength (mm)

Fig. 3.4 A comparison of the infrared absorption induced by various doping materials in
low-loss silica fibers. (Reproduced with permission from Osanai et al.13)

In the near-infrared region above 1.2 mm, the optical waveguide loss is predominantly determined by
the presence of OH ions and the inherent infrared absorption of the constituent material. The inherent
infrared absorption is associated with the characteristic vibration frequency of the particular chemical bond
between the atoms of which the fiber is composed. An interaction between the vibrating bond and the
electromagnetic field of the optical signal results in a transfer of energy from the field to the bond, thereby
giving rise to absorption. This absorption is quite strong because of the many bonds present in the fiber. An
empirical expression for the infrared absorption in dB/km for GeO2-SiO2 glass with l given in mm is10

⎛ − 48.48 ⎞
α IR = 7.81 × 1011 × exp ⎜ ⎟ (3.3)
⎝ λ ⎠

These mechanisms result in a wedge-shaped spectral-loss characteristic. Within this wedge, losses as
low as 0.148 dB/km at 1.57 mm in a single-mode fiber have been measured.11,12 A comparison13 of the
infrared absorption induced by various doping materials in low-water content fibers is shown in Fig. 3.4.
This indicates that for operation at longer wavelengths GeO2-doped fiber material is the most desirable.
Note that the absorption curve shown in Fig. 3.3 is for a GeO2 doped fiber.
3.1.3 Scattering Losses
Scattering losses in glass arise from microscopic variations in the material density, from compositional
fluctuations, and from structural inhomogeneities or defects occurring during fiber manufacture. As
Sec. 2.7 describes, glass is composed of a randomly connected network of molecules. Such a structure
naturally contains regions in which the molecular density is either higher or lower than the average
density in the glass. In addition, since glass is made up of several oxides, such as SiO2, GeO2, and P2O5,
Attenuation and Dispersion 109

compositional fluctuations can occur. These two effects give rise to refractive-index variations that occur
within the glass over distances that are small compared with the wavelength. These index variations cause
a Rayleigh-type scattering of the light. Rayleigh scattering in glass is the same phenomenon that scatters
light from the sun in the atmosphere, thereby giving rise to a blue sky.
The expressions for scattering-induced attenuation are fairly complex owing to the random molecular
nature and the various oxide constituents of glass. For single-component glass the scattering loss at a
wavelength l (given in mm) resulting from density fluctuations can be approximated by3,14 (in base e
units)

8π 3 (3.4a)
αscat = ( n2 − 1)2 k BT f βT
3λ 4
Here, n is the refractive index, kB is Boltzmann’s constant, b T is the isothermal compressibility of the
material, and the fictive temperature Tf is the temperature at which the density fluctuations are frozen into the
glass as it solidifies (after having been drawn into a fiber). Alternatively, the relation3,15 (in base e units)

8π 3 (3.4b)
αscat = n8 p 2 k BT f βT
4
3λ
has been derived, where p is the photoelastic coefficient. A comparison of Eqs. (3.4a) and (3.4b) is
given in Prob. 3.6. Note that Eqs. (3.4a) and (3.4b) are given in units of nepers (that is, base e units). As
shown in Eq. (3.1), to change this to decibels for optical power attenuation calculations, multiply these
equations by 10 log e = 4.343.

Example 3.4 For silica the fictive temperature Solution: Using Eq. (3.4b),
T f is 1400 K, the isothermal compressibility b T is
6.8 ¥ 10 -12 cm 2 /dyn = 6.8 ¥ 10 -11 m 2 /N, and the 8π 3
α scat = n8 p 2 k BT f βT
photoelastic coefficient is 0.286. Estimate the scattering 3λ 4
loss at a 1.30-mm wavelength where n = 1.450. 8π 3
= (1.45)8 (0.2286)2
3(1.3)4
× (1.38 × 10−23 )(1400)(6.8 × 10−12 )
= 6.08 × 10−2 nepers/km = 0.26 dB/km

Example 3.5 For pure silica glass an approximate where a 0 = 1.64 dB/km at l0 = 850 nm. This formula
equation for the Rayleigh scattering loss is given by predicts scattering losses of 0.291 dB/km at 1310 nm and
4
0.148 dB/km at 1550 nm.
⎛ λ0 ⎞
α (λ ) ⯝ α 0 ⎜ λ⎟
⎝ ⎠

For multicomponent glasses the scattering at a wavelength l (measured in mm) is given by3

8π 3 (3.5)
α= (δ n2 )2 δV
4
3λ
110 Optical Fiber Communications

where the square of the mean-square refractive-index fluctuation (dn2)2 over a volume of dV is

2
⎛ ∂ n2 ⎞ m ⎛
∂ n2 ⎞
⎟ (δρ ) + ∑ ⎜
2 2
(δ n ) = ⎜ 2 2 (3.6)
⎟ (δ Ci )
⎝ ∂ρ ⎠ i =1 ⎝ ∂ C i ⎠

10.0 Here, dr is the density fluctuation and

dCi, is the concentration fluctuation of the
Attenuation rate (dB/km)

ith glass component. Their magnitudes must

Typical range be determined from experimental scattering
data. The factors ∂ n 2/∂r and ∂ n2/∂Ci are
1.0 the variations of the square of the index
with respect to the density and the ith glass
component, respectively.
Intrinsic Structural inhomogeneities and defects
scattering Intrinsic created during fiber fabrication can also cause
absorption scattering of light out of the fiber. These defects
0.1
600 800 1000 1200 1400 1600 1800 may be in the form of trapped gas bubbles,
Wavelength (nm) unreacted starting materials, and crystallized
regions in the glass. In general, the preform
Fig. 3.5 Typical spectral attenuation range manufacturing methods that have evolved
for production-run graded-index have minimized these extrinsic effects to the
multimode fibers. (Reproduced point where scattering that results from them
with permission from Keck,16 © is negligible compared with the intrinsic
1985, IEEE.) Rayleigh scattering.
Since Rayleigh scattering follows a charac-
teristic l-4 dependence, it decreases dramati-
10.0 cally with increasing wavelength, as is shown
in Fig. 3.3. For wavelengths below about 1 mm
it is the dominant loss mechanism in a fiber
Attenuation rate (dB/km)

and gives the attenuation-versus-wavelength

plots their characteristic downward trend with
1.0 Typical range
increasing wavelength. At wavelengths longer
than 1 mm, infrared absorption effects tend to
dominate optical signal attenuation.
Combining the infrared, ultraviolet, and
Intrinsic Intrinsic scattering losses, we get the results shown in
scattering absorption Fig. 3.5 for multimode fibers and Fig. 3.6 for
0.1
1000 1200 1400 1600 single-mode fibers.16 Both of these figures
Wavelength (nm)
are for typical commercial-grade silica fibers.
The losses of multimode fibers are generally
Fig. 3.6 Typical spectral attenuation range for higher than those of single-mode fibers. This
production-run single-mode fibers. is a result of higher dopant concentrations and
(Reproduced with permission from the accompanying larger scattering loss due to
Keck,16 © 1985, IEEE.) greater compositional fluctuation in multimode
Attenuation and Dispersion 111

fibers. In addition, multimode fibers are Power lost

subject to higher-order-mode losses owing to through
radiation
perturbations at the core-cladding interface. Field distribution
xc
3.1.4 Bending Losses
Radiative losses occur whenever an optical
fiber undergoes a bend of finite radius of
curvature.17–26 Fibers can be subject to two Curved fiber
types of curvatures: (a) macroscopic bends
R
having radii that are large compared with the
fiber diameter, such as those that occur when
a fiber cable turns a corner, and (b) random Fig. 3.7 Sketch of the fundamental mode field in a
microscopic bends of the fiber axis that can curved optical waveguide. (Reproduced
arise when the fibers are incorporated into with permission from E.A.J. Marcatili and
cables. S. E. Miller, Bell Sys. Tech. J., vol. 48,
Let us first examine large-curvature radia- p. 2161, Sept. 1969, © 1969, AT&T.)
tion losses, which are known as macrobend-
ing losses or simply bending losses. For slight
bends the excess loss is extremely small and is essentially unobservable. As the radius of curvature
decreases, the loss increases exponentially until at a certain critical radius the curvature loss becomes
observable. If the bend radius is made a bit smaller once this threshold point has been reached, the losses
suddenly become extremely large.
Qualitatively, these curvature loss effects can be explained by examining the modal electric field
distributions shown in Fig. 2.19. Recall that this figure shows that any bound core mode has an evanescent
field tail in the cladding that decays exponentially as a function of distance from the core. Since this field
tail moves along with the field in the core, part of the energy of a propagating mode travels in the fiber
cladding. When a fiber is bent, the field tail on the far side of the center of curvature must move faster
to keep up with the field in the core, as is shown in Fig. 3.7 for the lowest-order fiber mode. At a certain
critical distance xc from the center of the fiber, the field tail would have to move faster than the speed of
light to keep up with the core field. Since this is not possible, the optical energy in the field tail beyond
xc radiates away.
The amount of optical radiation from a bent fiber depends on the field strength at xc and on the
radius of curvature R. Since higher-order modes are bound less tightly to the fiber core than lower-
order modes, the higher-order modes will radiate out of the fiber first. Thus the total number of modes
that can be supported by a curved fiber is less than in a straight fiber. The following expression18
has been derived for the effective number of modes Meff that are guided by a curved multimode
fiber of radius a:

⎧ ⎡ 2 3 ⎤⎫
⎪ α + 2 ⎢ 2a ⎛ 3 ⎞ ⎥⎪⎬
M eff = M ∞ ⎨1 − +⎜ ⎟ (3.7)
⎪ 2α Δ ⎢ R ⎜⎝ 2 n2 kR ⎟⎠ ⎥⎪
⎩ ⎣ ⎦⎭

where a defines the graded-index profile, D is the core-cladding index difference, n2 is the cladding
refractive index, k = 2p/l is the wave propagation constant, and
112 Optical Fiber Communications

α
M∞ = ( n ka )2 Δ (3.8)
α+2 1
is the total number of modes in a straight fiber [see Eq. (2.81)].

Example 3.6 Consider a graded-index multimode ⎡ 2/3 ⎤

fiber for which the index profile a = 2.0, the core index M eff α + 2 ⎢ 2a ⎛ 3 ⎞ ⎥
= 1− +
n1 = 1.480, the core-cladding index difference Δ = 0.01, M∞ 2α Δ ⎢ R ⎜⎝ 2 n2 kR ⎟⎠ ⎥
⎣ ⎦
and the core radius a = 25 mm. If the radius of curvature
of the fiber is R = 1.0 cm, what percentage of the modes ⎡
1 ⎢ 2( 25) ⎛ 3(1.3) ⎞ ⎤
2/3
= 1− +⎜ ⎥
remain in the fiber at a 1300-nm wavelength? ⎟
.01 ⎢ 10000 ⎝ 2(1.465)2π (10000) ⎠ ⎥
⎣ ⎦
Solution: From Eq. (3.7) the percentage of modes at = 0.42
a given curvature R is

Thus 42 percent of the modes remain in this fiber at a

1.0-cm bend radius.

Another form of radiation loss in optical waveguide results from mode coupling caused by random
microbends of the optical fiber.27–30 Microbends are repetitive small-scale fluctuations in the radius of
curvature of the fiber axis, as is illustrated in Fig. 3.8. They are caused either by nonuniformities in the
manufacturing of the fiber or by nonuniform lateral pressures created during the cabling of the fiber. The
latter effect is often referred to as cabling or packaging losses. An increase in attenuation results from
microbending because the fiber curvature causes repetitive coupling of energy between the guided modes
and the leaky or nonguided modes in the fiber.
One method of minimizing microbending losses is by extruding a compressible jacket over the fiber.
When external forces are applied to this configuration, the jacket will be deformed but the fiber will

Microbends

Core Cladding

Power loss from higher-order modes

Power coupling to higher-order modes

Fig. 3.8 Small-scale fluctuations in the radius of curvature of the fiber axis lead to
microbending losses. Microbends can shed higher-order modes and can cause
power from low-order modes to couple to higher-order modes.
Attenuation and Dispersion 113

tend to stay relatively straight. For a multimode graded-index fiber having a core radius a, outer radius
b (excluding the jacket), and index difference D, the microbending loss aM of a jacketed fiber is reduced
from that of an unjacketed fiber by a factor31
−2
⎡
2 ⎛ b⎞
4
Ef ⎤
⎢
F (αM ) = 1 + π Δ ⎜ ⎟ ⎥ (3.9)
⎢ ⎝ a ⎠ Ej ⎥
⎣ ⎦
Here, Ej and Ef are the Young’s moduli of the jacket and fiber, respectively. The Young’s modulus
of common jacket materials ranges from 20 to 500 MPa. The Young’s modulus of fused silica glass is
about 65 GPa.
3.1.5 Core and Cladding Losses
Upon measuring the propagation losses in an actual fiber, all the dissipative and scattering losses will be
manifested simultaneously. Since the core and cladding have different indices of refraction and therefore
differ in composition, the core and cladding generally have different attenuation coefficients, denoted a1
and a2, respectively. If the influence of modal coupling is ignored,32 the loss for a mode of order (n, m)
for a step-index waveguide is
Pcore Pclad (3.10a)
αν m = α1 + α2
P P
where the fractional powers Pcore/P and Pclad/P are shown in Fig. 2.27 for several low-order modes. Using
Eq. (2.71), this can be written as
Pclad
αν m = α1 + (α 2 − α1 ) (3.10b)
P
The total loss of the waveguide can be found by summing over all modes weighted by the fractional
power in that mode.
For the case of a graded-index fiber the situation is much more complicated. In this case, both the
attenuation coefficients and the modal power tend to be functions of the radial coordinate. At a distance
r from the core axis the loss is32
n 2 (0) − n 2 ( r )
α ( r ) = α1 + (α 2 − α1 ) (3.11)
n2 (0) − n22
where a1 and a2 are the axial and cladding attenuation coefficients, respectively, and the n terms are
defined by Eq. (2.78). The loss encountered by a given mode is then
∞

α gi =
∫ 0 α (r ) p(r ) r dr (3.12)
∞
∫ 0 p(r ) r dr
where p(r) is the power density of that mode at r. The complexity of the multimode waveguide has
prevented an experimental correlation with a model. However, it has generally been observed that the
loss increases with increasing mode number.26,33
114 Optical Fiber Communications

3.2 Signal Dispersion in Fibers

As shown in Fig. 3.9, an optical signal weakens from attenuation mechanisms and broadens due to
dispersion effects as it travels along a fiber. Eventually these two factors will cause neighboring pulses
to overlap. After a certain amount of overlap occurs, the receiver can no longer distinguish the individual
adjacent pulses and errors arise when interpreting the received signal.
This section first discusses the general factors that cause signal distortion and then examines the
various dispersion mechanisms in more detail. Section 3.2.2 addresses modal delay and shows how this
delay is related to the information-carrying capacity of a multimode fiber in terms of a transmitted bit
rate B. Section 3.2.3 examines the various factors contributing to dispersion in terms of the frequency
dependence of the propagation constant b. The next topics include a discussion of group velocity in
Sec. 3.2.4 and details of the various dispersion mechanisms in Sec. 3.2.5 through 3.2.8.

3.2.1 Overview of Dispersion Origins

Signal dispersion is a consequence of factors such as intermodal delay (also called intermodal dispersion),
intramodal dispersion, polarization-mode dispersion, and higher-order dispersion effects. These distortions
can be explained by examining the behavior of the group velocities of the guided modes, where the group
velocity is the speed at which energy in a particular mode travels along the fiber (see Sec. 3.2.4).

Input pulses

Detection threshold (a) Separate pulses at time t1

Pulse shapes and amplitudes

(b) Distinguishable pulses at time t2 > t1

Attenuation
(c) Barely distinguishable
pulses at time t3 > t2

Output pattern Intersymbol interference (d) Indistinguishable

pulses at time t4 > t3

Distance along fiber

Fig. 3.9 Broadening and attenuation of two adjacent pulses as they travel along a fiber.
(a) Originally the pulses are separate; (b) the pulses overlap slightly and are clearly
distinguishable; (c) the pulses overlap significantly and are barely distinguishable;
(d) eventually the pulses strongly overlap and are indistinguishable
Attenuation and Dispersion 115

Intermodal delay (or simply modal

delay) appears only in multimode fibers.
Modal delay is a result of each mode having 850-nm peak
1.0
a different value of the group velocity at a

Relative output power

single frequency. From this effect one can
derive an intuitive picture of the information-
carrying capacity of a multimode fiber.

Intramodal dispersion or chro- 0.5 36 nm

matic dispersion is pulse spreading
that takes place within a single mode. This
spreading arises from the finite spectral
emission width of an optical source. The
phenomenon also is known as group veloc-
ity dispersion, since the dispersion is a result 0
790 810 830 850 870 890 910
of the group velocity being a function of the
Emission wavelength (nm)
wavelength. Because intramodal dispersion
depends on the wavelength, its effect on Fig. 3.10 Spectral emission pattern of a
signal distortion increases with the spectral representative Ga1–xAlxAs LED with a
width of the light source. The spectral width peak emission at 850 nm. The width
is the band of wavelengths over which the of the spectral pattern at its half-power
source emits light. This wavelength band point is 36 nm.
normally is characterized by the root-mean-
square (rms) spectral width sl. Depending on the device structure of a light-emitting diode (LED), the
spectral width is approximately 4 to 9 percent of a central wavelength. For example, as Fig. 3.10 illustrates,
if the peak wavelength of an LED is 850 nm, a typical source spectral width would be 36 nm; that is,
such an LED emits most of its light in the 832-to-868-nm wavelength band. Laser diode optical sources
exhibit much narrower spectral widths, with typical values being 1–2 nm for multimode lasers and 10-4
nm for single-mode lasers (see Chapter 4).
The two main causes of intramodal dispersion are as follows:
1. Material dispersion arises due to the variations of the refractive index of the core material as a
function of wavelength. Material dispersion also is referred to as chromatic dispersion, since this
is the same effect by which a prism spreads out a spectrum. This refractive index property causes
a wavelength dependence of the group velocity of a given mode; that is, pulse spreading occurs
even when different wavelengths follow the same path.
2. Waveguide dispersion causes pulse spreading because only part of the optical power propaga-
tion along a fiber is confined to the core. Within a single propagating mode, the cross-sectional
distribution of light in the optical fiber varies for different wavelengths. Shorter wavelengths are
more completely confined to the fiber core, whereas a larger portion of the optical power at longer
wavelengths propagates in the cladding, as shown in Fig. 3.11. The refractive index is lower in
the cladding than in the core, so the fraction of light power propagating in the cladding travels
faster than the light confined to the core. In addition, we note that the index of refraction depends
on the wavelength (see Sec. 3.2.5) so that different spectral components within a single mode
have different propagation speeds. Dispersion thus arises because the difference in core-cladding
spatial power distributions, together with the speed variations of the various wavelengths, causes a
116 Optical Fiber Communications

Cladding: index n2

Optical power
distributions
Core: index n1

Cladding: index n2
Long wavelength Short wavelength

Fig. 3.11 Shorter wavelengths are confined closer to the center of a fiber core than longer
wavelengths.

change in propagation velocity for each spectral component. The degree of waveguide dispersion
depends on the fiber design (see Sec. 3.3.1). Waveguide dispersion usually can be ignored in
multimode fibers, but its effect is significant in single-mode fibers.
Polarization-mode dispersion results from the fact that light-signal energy at a given
wavelength in a single-mode fiber actually occupies two orthogonal polarization states or modes (see
Sec. 2.5). At the start of the fiber the two polarization states are aligned. However, since fiber material
is not perfectly uniform throughout its length, each polarization mode will encounter a slightly different
refractive index. Consequently each mode will travel at a slightly different velocity. The resulting dif-
ference in propagation times between the two orthogonal polarization modes will cause pulse spreading.
Section 3.2.8 gives more details on this effect.

3.2.2 Modal Delay

Intermodal dispersion or modal delay appears only in multimode fibers. This signal-distorting mechanism
is a result of each mode having a different value of the group velocity at a single frequency. To see why the
delay arises, consider the meridional ray picture given in Fig. 2.17 for a multimode step-index fiber. The
steeper the angle of propagation of the ray congruence, the higher is the mode number and, consequently,
the slower the axial group velocity. This variation in the group velocities of the different modes results
in a group delay spread, which is the intermodal dispersion. This dispersion mechanism is eliminated
by single-mode operation but is important in multimode fibers. The maximum pulse broadening arising
from the modal delay is the difference between the travel time Tmax of the longest ray congruence paths
(the highest-order mode) and the travel time Tmin of the shortest ray congruence paths (the fundamental
mode). This broadening is simply obtained from ray tracing and for a fiber of length L is given by

n1 ⎛ L ⎞ L n2
Δ T = Tmax − Tmin = ⎜⎜ − L ⎟⎟ = 1 Δ (3.13)
c ⎝ sin ϕ c ⎠ c n2

where from Eq. (2.21) sin jc = n2/n1 and D is the index difference.
The question now arises as to what maximum bit rate B can be sent over a multimode step-index fiber.
Typically the fiber capacity is specified in terms of the bit rate-distance product BL, that is, the bit rate
times the possible transmission distance L. In order for neighboring signal pulses to remain distinguishable
at the receiver, the pulse spread should be less than 1/B, which is the width of a bit period. For example,
Attenuation and Dispersion 117

Example 3.7 Consider a 1-km long multimode Solution: Eq. (3.13) yields
step-index fiber in which n1 = 1.480 and Δ = 0.01, so that
n2 = 1.465. What is the modal delay per length in this ΔT n2 Δ
= 1 = 50 ns/km
fiber? L cn2

This means that a pulse broadens by 50 ns after

traveling a distance of 1 km in this type of fiber.

a stringent requirement for a high-performance link might be DT £ 0.1/B. In general, we need to have
DT < 1/B. Using Eq. (3.13) this inequality gives the bit rate-distance product
n2 c
BL <
n2 Δ
1

Taking values of n1 = 1.480, n2 = 1.465, and D = 0.01, the capacity of this multimode step-index fiber
is BL = 20 Mb/s-km.

Example 3.8 Viewed alternatively, as illustrated a spread of at most 25 ns, which occurs in a transmission
in Example 3.7, for a multimode step-index fiber with a distance of 500 m. Now, suppose the data rate is increased
bandwidth-distance value of BL = 20 Mb/s-km the pulse to 100 Mb/s, which means that one pulse is transmitted
spreading is 50 ns/km. As an example, suppose the pulse every 10 ns. In this case the 50-ns/km allowable spreading
width in a transmission system is allowed to widen by at factor will limit the transmission distance to only 50 m in
most 25 percent. Then for a 10-Mb/s data rate, in which such a multimode step-index fiber.
one pulse is transmitted every 100 ns, this limitation allows

The root-mean-square (rms) value of the time delay is a useful parameter for assessing the effect of
modal delay in a multimode fiber. If it is assumed that the light rays are uniformly distributed over the
acceptance angles of the fiber, then the rms impulse response ss due to intermodal dispersion in a step-
index multimode fiber can be estimated from the expression

Ln1Δ L( NA)2
σs ≈ ≈ (3.14a)
2 3c 4 3n1c

Here L is the fiber length and NA is the numerical aperture. Equation (3.14a) shows that the pulse
broadening is directly proportional to the core-cladding index difference and the length of the fiber.
A successful technique for reducing modal delay in multimode fibers is through the use of a graded
refractive index in the fiber core, as shown in Fig. 2.15. In any multimode fiber the ray paths associated
with higher-order modes are concentrated near the edge of the core and thus follow a longer path through
the fiber than lower-order modes (which are concentrated near the fiber axis). However, if the core has a
graded index, then the higher-order modes encounter a lower refractive index near the core edge. Since
the speed of light in a material depends on the refractive index value, the higher-order modes travel faster
in the outer core region than those modes that propagate through a higher refractive index along the fiber
center. Consequently this reduces the delay difference between the fastest and slowest modes. A detailed
118 Optical Fiber Communications

analysis using electromagnetic mode theory gives the following absolute modal delay at the output of a
graded-index fiber that has a parabolic (a = 2) core index profile (see Sec. 2.6):

Ln1Δ 2 (3.14b)
σs ≈
20 3c
Thus for an index difference of D = 0.01, the theoretical improvement factor for intermodal rms pulse
broadening in a graded-index fiber is 1000.

Example 3.9 Consider the following two multimode Solution: (a) From Eq. (3.14a) we have
fibers: (a) a step-index fiber with a core index n1 = 1.458
and a core-cladding index difference Δ = 0.01; (b) a σs nΔ 1.458(0.01)
= 1 = = 14.0 ns/km
parabolic-profile graded-index fiber with the same values L 2 3c 2 3 × 3 × 108 m/s
of n1 and D. Compare the rms pulse broadening per
kilometer for these two fibers. (b) From Eq. (3.14b) we have

σs n Δ2 1.458(.01)2
≈ 1 = = 14.0 ps//km
L 20 3c 20 3 × 3 × 108 m/s

In graded-index fibers, careful selection of the radial refractive-index profile can lead to bit rate-
distance products of up to 1 Gb/s-km.

3.2.3 Factors Contributing to Dispersion

This section briefly examines the various factors contributing to dispersion. Sections 3.2.4 through 3.2.8
and Sec. 3.3 describe these factors in more detail.
As Sec. 2.4 notes, the wave propagation constant b is a function of the wavelength, or, equivalently,
of the angular frequency w. Since b is a slowly varying function of this angular frequency, one can see
where various dispersion effects arise by expanding b in a Taylor series about a central frequency w0.
Inserting such an expansion into the waveform equation, for example Eq. (2.1), then shows the effects
of variations in b due to modal dispersion and delay effects on the frequency components of a pulse
during propagation along a fiber.
Expanding b to third order in a Taylor series yields
1 1
β (ω ) ≈ β0 (ω0 ) + β1 (ω0 ) (ω − ω0 ) + β2 (ω0 ) (ω − ω0 )2 + β3 (ω0 ) (ω − ω0 )3 (3.15)
2 6
where bm (w 0) denotes the mth derivative of b with respect to w evaluated at w = w 0; that is,

⎛ ∂ mβ ⎞
βm = ⎜ ⎟ (3.16)
⎝ ∂ ω m ⎠ ω =ω
0

Now let us examine the different components of the product b z, where z is the distance traveled
along the fiber. The resulting first term b0 z describes a phase shift of the propagating optical wave.
Attenuation and Dispersion 119

From the second term of Eq. (3.15), the factor b1(w 0) z produces a group delay tg = z/Vg, where z is
the distance traveled by the pulse and Vg = 1/b1 is the group velocity [see Eqs. (3.20) and (3.21)].
Assume b1x and b1y are the propagation constants of the polarization components along the x-axis and
y-axis, respectively, of a particular mode. If the corresponding group delays of these two polarization
components are tgx = zb1x and tgy = zb1y in a distance z, then the difference in the propagation times
of these two modes
Dt PMD = z |b1x - b1y | (3.17)

is called the polarization-mode dispersion (PMD) of the ideal uniform fiber. Note that in a real fiber the
PMD varies statistically (see Sec. 3.2.8).
In the third term of Eq. (3.15), the factor b2 shows that the group velocity of a monochromatic wave
depends on the wave frequency. This means that the different group velocities of the frequency components
of a pulse cause it to broaden as it travels along a fiber. This spreading of the group velocities is known
as chromatic dispersion or group velocity dispersion (GVD). The factor b2 is called the GVD parameter
(see Sec. 3.2.4), and the dispersion D is related to b2 through the expression

2π c
D=− β2 (3.18)
λ2
In the fourth term of Eq. (3.15), the factor b3 is known as the third-order dispersion. This term is
important around the wavelength at which b2 equals zero. The third-order dispersion can be related to
the dispersion D and the dispersion slope S0 = ∂D/∂l (the variation in the dispersion D with wavelength)
by transforming the derivative with respect to w into a derivative with respect to l. Thus we have

∂β 2 λ 2 ∂β 2 λ2 ∂ ⎡ λ2 ⎤
β3 = =− =− ⎢− D⎥
∂ω 2π c ∂λ 2π c ∂λ ⎢⎣ 2π c ⎥⎦
(3.19)
λ2
= ( λ 2 S0 + 2 λ D )
( 2π c)2

Section 3.5.3 illustrates how the factors in Eq. (3.19) are specified for commercial fibers.

3.2.4 Group Delay

As Example 3.8 mentions, the information-carrying capacity of a fiber link can be determined by examining
the deformation of short light pulses propagating along the fiber. The following discussion on signal
distortion thus is carried out primarily from the viewpoint of pulse broadening, which is representative
of digital transmission.
First consider an electrical signal that modulates an optical source. For this case, assume that the
modulated optical signal excites all modes equally at the input of the fiber. Each waveguide mode thus
carries an equal amount of energy through the fiber. Furthermore, each mode contains all the spectral
components in the wavelength band over which the source emits. In addition, assume that each of these
spectral components is modulated in the same way. As the signal propagates along the fiber, each spectral
component can be assumed to travel independently and to undergo a time delay or group delay per unit
length tg /L in the direction of the propagation given by34
120 Optical Fiber Communications

τg 1 1 dβ λ2 dβ
= = =− (3.20)
L Vg c dk 2π c d λ

Here, L is the distance traveled by the pulse, b is the propagation constant along the fiber axis, k = 2p/l,
and the group velocity
−1 −1
⎛ dβ ⎞ ⎛ ∂β ⎞ (3.21)
Vg = c ⎜ =⎜
⎝ dk ⎟⎠ ⎝ ∂ω ⎟⎠

is the velocity at which the energy in a pulse travels along a fiber.

Since the group delay depends on the wavelength, each spectral component of any particular mode
takes a different amount of time to travel a certain distance. As a result of this difference in time delays,
the optical signal pulse spreads out with time as it is transmitted over the fiber. Thus the quantity we are
interested in is the amount of pulse spreading that arises from the group delay variation.
If the spectral width of the optical source is not too wide, the delay difference per unit wavelength
along the propagation path is approximately dtg /dl. For spectral components that are dl apart and which
lie dl/2 above and below a central wavelength l0, the total delay difference dt over a distance L is

dτ g L ⎛ dβ 2 ⎞
2 d β
δτ = δλ = − ⎜ 2 λ + λ ⎟ δλ (3.22)
dλ 2π c ⎝ dλ dλ2 ⎠

In terms of the angular frequency w, this is written as

dτg d ⎛ L⎞ ⎛ d 2β ⎞
δτ = δω = ⎜ ⎟ δω = L ⎜ ⎟ δω (3.23)
dω dω ⎝ Vg ⎠ ⎝ dω 2 ⎠

The factor b2 ∫ d 2b/dw 2 is the GVD parameter, which determines how much a light pulse broadens
as it travels along an optical fiber.
If the spectral width dl of an optical source is characterized by its rms value sl (see Fig. 3.10 for a
typical LED), then the pulse spreading can be approximated by the rms pulse width,

dτg Lσ λ dβ d 2β
σg ≈ σλ = 2λ + λ2 (3.24)
dλ 2π c dλ dλ2
The factor
1 dτg d ⎛ 1⎞ 2π c
D= = ⎜ ⎟ = − 2 β2 (3.25)
L dλ d λ ⎝ Vg ⎠ λ

is designated as the dispersion. It defines the pulse spread as a function of wavelength and is measured
in picoseconds per kilometer per nanometer [ps/(nm ◊ km)]. It is a result of material and waveguide
dispersion. In many theoretical treatments of intramodal dispersion it is assumed, for simplicity, that
material dispersion and waveguide dispersion can be calculated separately and then added to give the total
Attenuation and Dispersion 121

dispersion of the mode. In reality, these two

mechanisms are intricately related, since the 1.540
dispersive properties of the refractive index
(which gives rise to material dispersion) also
1.520
affects the waveguide dispersion. However,
an examination35 of the interdependence
of material and waveguide dispersion has 1.500

Index of refraction
shown that, unless a very precise value to
a fraction of a percent is desired, a good
estimate of the total intramodal dispersion 1.480
can be obtained by calculating the effect of
signal distortion arising from one type of 1.460
dispersion in the absence of the other. Thus, to
a very good approximation, D can be written
as the sum of the material dispersion Dmat 1.440
and the waveguide dispersion Dwg. Material
dispersion and waveguide dispersion are
1.420
therefore considered separately in the next
two sections.
1.400
3.2.5 Material Dispersion 0.2 0.4 0.6 1.0 2.0 4.0
Wavelength (mm)
Material dispersion occurs because the index
of refraction varies as a function of the optical Fig. 3.12 Variations in the index of refraction as
wavelength.36 This is exemplified in Fig. 3.12 a function of the optical wavelength for
for silica. As a consequence, since the group silica. (Reproduced with permission
velocity Vg of a mode is a function of the index from I. H. Malitson, J. Opt. Soc. Amer.,
of refraction, the various spectral components vol. 55, pp. 1205–1209, Oct. 1965.)
of a given mode will travel at different speeds,
depending on the wavelength. Material dispersion is, therefore, an intramodal dispersion effect and is
of particular importance for single-mode waveguides and for LED systems (since an LED has a broader
output spectrum than a laser diode).
To calculate material-induced dispersion, we consider a plane wave propagating in an infinitely
extended dielectric medium that has a refractive index n(l) equal to that of the fiber core. The propagation
constant b is thus given as
2π n( λ )
β= (3.26)
λ
Substituting this expression for b into Eq. (3.20) with k = 2p/l yields the group delay tmat resulting
from material dispersion.

L⎛ dn ⎞
τ mat = ⎜ n−λ (3.27)
c⎝ d λ ⎟⎠
Using Eq. (3.24), the pulse spread smat for a source of spectral width sl is found by differentiating
this group delay with respect to wavelength and multiplying by sl to yield
122 Optical Fiber Communications

40

0
Material dispersion [ps/(nm · km])

Quenched
SiO2
–40
13.5% GeO2;
86.5% SiO2;

–80

–120

0.8 1.0 1.2 1.4 1.6

Wavelength (mm)

Fig. 3.13 Material dispersion as a function of optical wavelength for pure silica and
13.5-percent GeO2/86.5-percent SiO2. (Reproduced with permission from J. W.
Fleming, Electron. Lett., vol. 14, pp. 326–328, May 1978.)

dτmat σ λ L d 2n
σmat ≈ σλ = λ 2 = σ λ L | Dmat ( λ ) | (3.28)
dλ c dλ

where Dmat(l) is the material dispersion.

A plot of the material dispersion for unit length L and unit optical source spectral width sl is given
in Fig. 3.13 for the silica material shown in Fig. 3.12. From Eq. (3.28) and Fig. 3.13 it can be seen that
material dispersion can be reduced either by choosing sources with narrower spectral output widths
(reducing sl ) or by operating at longer wavelengths.

Example 3.10 A manufacturer’s data sheet lists Solution: From Eq. (3.28) we find that the rms
the material dispersion Dmat of a GeO2-doped fiber to be material dispersion is
110 ps/(nm ◊ km) at a wavelength of 860 nm. Find the rms
smat/L = slDmat = (40 nm) ¥ [110 ps/(nm ◊ km)]
pulse broadening per kilometer due to material dispersion
if the optical source is a GaAlAs LED that has a spectral = 4.4 ns/km
width sl of 40 nm at an output wavelength of 860 nm.
UNIT III
OPTICAL SOURCES
3.1 Optical Sources
Optical transmitter coverts electrical input signal into corresponding optical signal.
The
optical signal is then launched into the fiber. Optical source is the major component in an
optical transmitter .Popularly used optical transmitters are Light Emitting Diode (LED) and
semiconductor
Laser Diodes (LD)
Characteristics of Light Source of Communication
To be useful in an optical link, a light source needs the following characteristics
It must be possible to operate the device continuously at a variety of temperatures for
many years.
• It must be possible to modulate the light output over a wide range of modulating
frequencies. For fiber links, the wavelength of the output should coincide with one of
transmission windows for the fiber type used.
• To couple large amount of power into an optical fiber, the emitting area should be
small.
• To reduce material dispersion in an optical fiber link, the output spectrum should be
narrow.
• The power requirement for its operation must be low.
• The light source must be compatible with the modern solid state devices.
• The optical output power must be directly modulated by varying the input current to
the device.
• Better linearity of prevent harmonics and intermodulation distortion.
• High coupling efficiency.
• High optical output power.
• High reliability.
• Low weight and low cost.

Two types of light sources used in fiber optics are light emitting diodes (LEDs) and laser
diodes (LDs).

Light Emitting Diodes(LEDs)

p-n Junction
Conventional p-n junction is called as homojunction as same semiconductor material
is sued on both sides junction. The electron-hole recombination occurs in relatively layer = 10
μm. As the carriers are not confined to the immediate vicinity of junction, hence high current
densities can not be realized.
The carrier confinement problem can be resolved by sandwiching a thin layer ( = 0.1
μm) between p-type and n-type layers. The middle layer may or may not be doped. The
carrier confinement occurs due to bandgap discontinuity of the junction. Such a junction is
called heterojunction and the device is called double heterostructure.
In any optical communication system when the requirements is 1. Bit rate f 100-2—Mb/sec.
2. Optical power in tens of micro watts, LEDs are best suitable optical source.

LED Structures
Heterojuncitons:
• A heterojunction is an interface between two adjoining single crystal semiconductors
with different bandgap.
• Heterojuctions are of two types, Isotype (n-n or p-p) or Antisotype (p-n).
Double Heterojunctions (DH):
In order to achieve efficient confinement of emitted radiation double heterojunctions are
used in LED structure. A heterojunciton is a junction formed by dissimilar
semiconductors.Double heterojunction (DH) is formed by two different semiconductors on
each side of active region. Fig. 3.1.1 shows double heterojunction (DH) light emitter.
The crosshatched regions represent the energy levels of free charge. Recombination
occurs only in active In GaAsP layer. The two materials have different band gap energies and
different refractive indices. The changes in band gap energies create potential barrier for
both holes and electrons. The free charges can recombine only in narrow, well defined active
layer side.
A double heterojunction (DH) structure will confine both hole and electrons to a
narrow active layer. Under forward bias, there will be a large number of carriers injected into
active region where they are efficiently confined. Carrier recombination occurs in small
active region so leading to an efficient device. Another advantage DH structure is that the
active region has a higher refractive index than the materials on either side, hence light
emission occurs in an optical waveguide, which serves to narrow the output beam.

LED configurations
At present there are two main types of LED used in optical fiber links
Surface emitting LED
Edge emitting LED.
Both devices used a DH structure to constrain the carriers and the light to an active layer.
Surface Emitting LEDs

In surface emitting LEDs the plane of active light emitting region is oriented perpendicularly
to the axis of the fiber. A DH diode is grown on an N-type substrate at the top of the diode as
shown in Fig. 3.1.2. A circular well is etched through the substrate of the device. A fiber is
then connected to accept the emitted
At the back of device is a gold heat sink. The current flows through the p-type material
and forms the small circular active region resulting in the intense beam of light.

Diameter of circular active area = 50 μm

Thickness of circular active area = 2.5 μm
Current density = 2000 A/cm2 half-power
Emission pattern = Isotropic, 120o beamwidth.
The isotropic emission pattern from surface emitting LED is of Lambartian pattern. In
Lambartian pattern, the emitting surface is uniformly bright, but its projected area diminishes
as cos θ, where θ is the angle between the viewing direction and the normal to the surface as
shown in Fig. 3.1.3. The beam intensity is maximum along the normal.

The power is reduced to 50% of its peak when θ = 60o, therefore the total half-power
beamwidth is 120o. The radiation pattern decides the coupling efficiency of LED.
Edge Emitting LEDS (ELEDs)
In order to reduce the losses caused by absorption in the active layer and to make the beam
more directional, the light is collected from the edge of the LED. Such a device is known as
edge emitting LED or ELED.
It consists of an active junction region which is the source of incoherent light and two guiding
layers. The refractive index of guiding layers is lower than active region but higher than outer
surrounding material. Thus a waveguide channel is form and optical radiation is directed into
the fiber. Fig. 3.1.4 shows structure of LED

Edge emitter’s emission pattern is more concentrated (directional) providing improved

coupling efficiency. The beam is Lambartian in the plane parallel to the junction but diverges
more slowly in the plane perpendicular to the junction. In this plane, the beam divergence is
limited. In the parallel plane, there is no beam confinement and the radiation is Lambartian.
To maximize the useful output power, a reflector may be placed at the end of the diode
opposite the emitting edge. Fig. 3.1.5 shows radiation from ELED.
Features of ELED:
• Linear relationship between optical output and current.
• Spectral width is 25 to 400 nm for λ = 0.8 – 0.9 μm.
• Modulation bandwidth is much large.
• Not affected by catastrophic gradation mechanisms hence are more reliable.
• ELEDs have better coupling efficiency than surface emitter.
• ELEDs are temperature sensitive.

Usage :
1. LEDs are suited for short range narrow and medium bandwidth links.
2. Suitable for digital systems up to 140 Mb/sec.
3. Long distance analog links
Light Source Materials
The spontaneous emission due to carrier recombination is called electro luminescence. To
encourage electroluminescence it is necessary to select as appropriate semiconductor
material. The semiconductors depending on energy bandgap can be categorized into
Direct bandgap semiconductors.
Indirect bandgap semiconductors.
Some commonly used bandgap semiconductors are shown in following table 3.1.1
Semiconductor Energy bandgap (eV) Recombination Br (cm3 /
sec)
GaAs Direct : 1.43 7.21 x 10-10
GaAs Direct : 0.73 2.39 x 10-10
InAs Direct : 0.35 8.5 x 10-11
InSb Direct : 0.18 4.58 x 10-11
Si Indirect : 1.12 1.79 x 10-15
Ge Indirect : 0.67 5.25 x 10-14
GaP Indirect : 2.26 5.37 x 10-14
Table 3.1.1 Semiconductor material for optical sources
Direct bandgap semiconductors are most useful for this purpose. In direct bandgap
semiconductors the electrons and holes on either side of bandgap have same value of
crystal momentum. Hence direct recombination is possible. The recombination occurs within
10-8 to 10-10 sec.
In indirect bandgap semiconductors, the maximum and minimum energies occur at different
values of crystal momentum. The recombination in these semiconductors is quite slow i.e. 10 -
2 and 10-3 sec.
The active layer semiconductor material must have a direct bandgap. In direct bandgap
semiconductor, electrons and holes can recombine directly without need of third particle to
conserve momentum. In these materials the optical radiation is sufficiently high. These
materials are compounds of group III elements (Al, Ga, In) and group V element (P, As, Sb).
Some tertiary allos Ga1-x Alx As are also used.

Emission spectrum of Ga1-x AlxAs LED is shown in Fig. 3.1.6.

The peak output power is obtained at 810 nm. The width of emission spectrum at half
power (0.5) is referred as full width half maximum (FWHM) spectral width. For the
given LED FWHM is 36 nm.
The fundamental quantum mechanical relationship between gap energy E and
frequency
v is given as

where, energy (E) is in joules and wavelength (λ) is in meters. Expressing the gap energy (Eg)
in electron volts and wavelength (λ) in micrometers for this application.

Different materials and alloys have different band gap energies

The bandgap energy (Eg) can be controlled by two compositional parameters x and y,
within direct bandgap region. The quartenary alloy In1-x Gax Asy P1-y is the principal material
sued in such LEDs. Two expression relating Eg and x,y are –
Example 3.1.1 : Compute the emitted wavelength from an optical source having x = 0.07.
Solution : x = 0.07

Eg = 1.513 eV
now

Example 3.1.2 : For an alloy In0.74 Ga0.26 As0.57 P0.43 to be sued in Led. Find the
wavelength emitted by this source.

Solution : Comparing the alloy with the quartenary alloy composition. In1-x Gax As P1-y it is
found that
x = 0.26 and y= 0.57
Eg = 1.35 – 0.72 y + 0.12 y2
Using
Eg = 1.35-(0.72 x 0.57) + 0.12 x 0.572
Eg = 0.978 eV
now

Quantum Efficiency and Power

The internal quantum efficiency (ηint) is defined as the ratio of radiative recombination rate
to the total recombination rate.

Where,
Rr is radiative recombination rate.
Rnr is non-radiative recombination rate.

If n are the excess carriers, then radiative life time, and non-radiative life time,

The internal quantum efficiency is given The recombination time of carriers in active region is
τ. It is also known as bulk recombination life time.
Therefore internal quantum efficiency is given as –

If the current injected into the LED is I and q is electron charge then total number of re
combinations per second is –

Optical power generated internally in LED is given as –

Not all internally generated photons will available from output of device. The external
quantum efficiency is used to calculate the emitted power. The external quantum efficiency is
defined as the ratio of photons emitted from LED to the number of photons generated
internally. It is given by equation

The optical output power emitted from LED is given as –

Example 3.1.3 : The radiative and non radiative recombination life times of minority
carriers in the active region of a double heterojunction LED are 60 nsec and 90 nsec
respectively. Determine the total carrier recombination life time and optical power generated
internally if the peak emission wavelength si 870 nm and the drive currect is 40 mA.

Solutions:
Given : λ = 870 nm 0.87 x 10-6 m
τr = 60 nsec.
τnr = 90 nsec.
I = 40 mA = 0.04 Amp.
i) Total carrier recombination life time:

ii) Internal optical power

iii)

iv)

Example 3.1.4 : A double heterjunciton InGaAsP LED operating at 1310 nm has radiative
and non-radiative recombination times of 30 and 100 ns respectively. The current injected is
40 Ma.
Calculate – Bulk recombination life time. Internal quantum efficiency Internal power level.

Solution : λ = 1310 nm = (1.31 x 10-6 m)

τr = 30 ns
τnr = 100 ns
i) I = 40 MA – 0.04 Amp.
Bulk Recombination Life time (τ) :

Internal quantum efficienty (ηint)

Internal power level (Pint) :

Advantages and Disadvantages of LED

Advantages of LED
ii) Simple design.
iii) Ease of manufacture.
iv) Simple system integration.
v) Low cost.
vi) High reliability.

Disadvantages of LED
1. Refraction of light at semiconductor/air interface.
2. The average life time of a radiative recombination is only a few nanoseconds, therefore
3. Modulation BW is limited to only few hundred megahertz.
4. Low coupling efficiency.
5. Large chromatic dispersion.

Comparison of Surface and Edge Emitting LED

LED type Max. modulation freq. (MHz) Output power (mW) Fiber coupled power
Surface emitting 60 <4 < 0.2
Edge emitting 200 <7 < 1.0

Injection Laser Diode (ILD)

The laser is a device which amplifies the light, hence the LASER is an acronym for light
amplification by stimulated emission of radiation.
The operation of the device may be described by the formation of an electromagnetic
standing wave within a cavity (optical resonator) which provides an output of monochromatic
highly coherent radiation.
Principle :
Material absorb light than emitting. Three different fundamental process occurs between the
two energy states of an atom. Absorption 2) Spontaneous emission 3) Stimulated
emission.Laser action is the result of three process absorption of energy packets (photons)
spontaneous emission, and stimulated emission. (These processes are represented by the
simple two-energy-level diagrams). Where E1 is the lower state energy level. E2 is the higher
state energy level.
Quantum theory states that any atom exists only in certain discrete energy state, absorption
or emission of light causes them to make a transition from one state to another. The
frequency of the absorbed or emitted radiation f is related to the difference in energy E
between the two states. If E1 is lower state energy level. and E2 is higher state energy level
E = (E2 – E1) = h.f. Where, h = 6.626 x 10-34 J/s (Plank’s constant).
An atom is initially in the lower energy state, when the photon with energy (E2 – E1) is
incident on the atom it will be excited into the higher energy state E2 through the absorption
of the photon
When the atom is initially in the higher energy state E2, it can make a transition to the lower
energy state E1 providing the emission of a photon at a frequency corresponding to E = h.f.
The emission process can occur in two ways. By spontaneous emission in which the atom
returns to the lower energy state in random manner.
By stimulated emission when a photon having equal energy to the difference between the
two states (E2 – E1) interacts with the atom causing it to the lower state with the creation of
the second photon

Spontaneous emission gives incoherent radiation while stimulated emission gives coherent
radiation. Hence the light associated with emitted photon is of same frequency of incident
photon, and in same phase with same polarization.
It means that when an atom is stimulated to emit light energy by an incident wave, the
liberated energy can add to the wave in constructive manner. The emitted light is bounced
back and forth internally between two reflecting surface. The bouncing back and forth of light
wave cause their intensity to reinforce and build-up. The result in a high brilliance, single
frequency light beam providing amplification.
Emission and Absorption Rates
It N1 and N2 are the atomic densities in the ground and excited states.
Rate of spontaneous emission
Rspon = AN2
Rate of stimulated emission
Rstim = BN2 ρem
Rate of absorption
Rabs = B’ N1 ρem
where,
A, B and B’ are constants.
ρem is spectral density.
Under equilibrium condition the atomic densities N1 and N2 are given by Boltzmann
statistics.

where,
KB is Boltzmann constant.
T is absolute temperature.
Under equilibrium the upward and downward transition rates are equal.
AN2 + BN2 ρem = B’ N1 ρem
Spectral density ρem
Comparing spectral density of black body radiation given by Plank’s formula,
Therefore, … A and B are called Einstein’s coefficient.

Fabry – Perot Resonator

Lasers are oscillators operating at frequency. The oscillator is formed by a resonant
cavity providing a selective feedback. The cavity is normally a Fabry-Perot resonator i.e. two
parallel plane mirrors separated by distance L,

Light propagating along the axis of the interferometer is reflected by the mirrors back
to the amplifying medium providing optical gain. The dimensions of cavity are 25-500 μm
longitudinal 5-15 μm lateral and 0.1-0.2 μm transverse. Fig. 3.1.10 shows Fabry-Perot
resonator cavity for a laser diode.
The two heterojunctions provide carrier and optical confinement in a direction normal to the
junction. The current at which lasing starts is the threshold current. Above this current the
output power increases sharply.

Distributed Feedback (DFB) Laser

In DFB laster the lasing action is obtained by periodic variations of refractive index along the
longitudinal dimension of the diode. Fig. 3.1.11 shows the structure of DFB laser diode

Lasing conditions and resonant Frequencies

The electromagnetic wave propagating in longitudinal direction is expressed as –
E(z, t) = I(z) ej(ω t-β z)
where,
I(z) is optical field intensity.
is optical radian frequency.
β is propagation constant.
The fundamental expression for lasing in Fabry-Perot cavity is –

where, is optical field confinement factor or the fraction of optical power in the active layer.
α is effective absorption coefficient of material.
g is gain coefficient.
h v is photon energy.
z is distance traverses along the lasing cavity.
The condition of lasing threshold is given as –
For amplitude : I (2L) = I (0)
For phase : e-j2β L = 1
Optical gain at threshold = Total loss in the cavity.
i.e. Γ gth = αt
Now the lasing expression is reduced to –

where,
Αend is mirror loss in lasing cavity. An important condition for lasing to occur is that gain, g ≥
g th i.e. threshold gain.

Example 3.1.5 : Find the optical gain at threshold of a laser diode having following
parametricvalues – R1 = R2 = 0.32, α = 10cm-1 and L = 500 μm.

Solution : Optical gain in laser diode is given by –

Power Current Characteristics
The output optic power versus forward input current characteristics is plotted in Fig. 3.1.12
for a typical laser diode. Below the threshold current (Ith) only spontaneous emission is
emitted hence there is small increase in optic power with drive current. At threshold when
lasing conditions are satisfied. The optical power increases sharply after the lasing threshold
because of stimulated emission.The lasing threshold optical gain (gth) is related by threshold
current density (Jth) for stimulated emission by expression –
g th = β
where, β is constant for device structure

Fig. 3.1.12 Power current characteristics

External Quantum Efficiency
The external quantum efficiency is defined as the number of photons emitted per electron
hole pair recombination above threshold point. The external quantum efficiency ηext is given
by –

where,
ηi = Internal quantum efficiency (0.6-0.7).
gth = Threshold gain.
α = Absorption coefficient
Typical value of ηext for standard semiconductor laser is ranging between 15-20 %.

Resonant Frequencies
At threshold lasing
2β L = 2π m
where, (propagation constant)
m is an integer.

Since c = vλ

Substituting λ in 3.1.30
Gain in any laser is a function of frequency. For a Gaussian output the gain and frequency are
related by expression –

where, g(0) is maximum gain. λ0 is center wavelength in spectrum.is spectral width of the
gain.The frequency spacing between the two successive modes is –

Optical Characteristics of LED and Laser

The output of laser diode depends on the drive current passing through it. At low drive
current, the laser operates as an inefficient Led, When drive current crosses threshold value,
lasing action beings. Fig. 3.1.13 illustrates graph comparing optical powers of LED operation
(due to spontaneous emission) and laser operation (due to stimulated emission).
Spectral and Spatial Distribution of Led and Laser

At low current laser diode acts like normal LED above threshold current, stimulated emission
i.e. narrowing of light ray to a few spectral lines instead of broad spectral distribution, exist.
This enables the laser to easily couple to single mode fiber and reduces the amount of
uncoupled light (i.e. spatial radiation distribution). Fig. 3.1.14 shows spectral and spatial
distribution difference between two diodes

Advantages and Disadvantages of Laser Diode

Advantages of Laser Diode
• Simple economic design.
• High optical power.
• Production of light can be precisely controlled.
• Can be used at high temperatures.
• Better modulation capability.
• High coupling efficiency.
• Low spectral width (3.5 nm)
• Ability to transmit optical output powers between 5 and 10 mW.
• Ability to maintain the intrinsic layer characteristics over long periods.
Disadvantages of Laser Diode
• At the end of fiber, a speckle pattern appears as two coherent light beams add or
subtract their electric field depending upon their relative phases.
• Laser diode is extremely sensitive to overload currents and at high transmission rates,
when laser is required to operate continuously the use of large drive current produces
unfavourable thermal characteristics and necessitates the use of cooling and power
stabilization.

Comparison of LED and Laser Diode

S. No. Parameter LED LD (Laser Diode)
1 Principle of operation Spontaneous emission. Stimulated emission.
2 Output beam Non – coherent Coherent.
3 Spectral width Board spectrum (20 nm – 100 nm) Much narrower (1-5
nm).
4 Data rate Low. Very high.
5 Transmission distance Smaller. Greater.
6 Temperature sensitivity Less sensitive. More temperature
sensitive
7 Coupling efficiency Very low. High.
8 Compatible fibers Multimode step index multimode Single mode Sl
GRIN Multimode GRIN
9 Circuit complexity Simple Complex
10 Life time 105 hours. 104 hours.
11 Cost Low. High.
12 Output power Linearly proportional to drive Proportional to current
current above the threshold
13 Current required Drive current 50 to 100 mA peak. Threshold current 5 to
40 ma
14 Applications Moderate distance low data rate. Long distance high data
rates.

Important Formulae for LED and Laser

LED

•
•
LASER

1.

2.

3.
UNIT IV
OPTICAL DETECTORS AND RECEIVERS

➢ The photo-diode is in fact a p-n junction put to the exact opposite use as the LED
➢ The variation in current is a function of the incident light
➢ Use of the stimulated absorption of light by the semiconductor material for the
generation of electron-hole pairs.
➢ The energy of the absorbed photons to transfer the electrons from the ground to the
excited state contributes to the variation in circuit current.
➢ The energy of the absorbed photon must at least be equal to the band-gap of the
material for the material to respond to the incoming photons.

PIN diode
➢ A simple way to increase the depletion-region width is to insert a layer of undoped (or
lightly doped) semiconductor material between the p–n junction.
➢ Since the middle layer consists of nearly intrinsic material, such a structure is referred
to as the p–i–n photodiode.
➢ When photon enters photodetector, the low band gap absorption layer absorbs the
photon, and an electron-hole pair is generated. This electron hole pair is called
photocarrier.
➢ These photocarriers, under the influence of a strong electric field generated by a
reverse bias potential difference across the device as shown in figure produce
photocurrent proportional to number of incident photons.

Avalanche Photo Diode (APD)

➢ All detectors require a certain minimum current to operate reliably. The current
requirement translates into a minimum power requirement through Pin=IpR Pin=IpR.
➢ Detectors with a large responsivity R are preferred since they require less optical
power.
➢ The responsivity of p–i–n photodiodes is limited while Avalanche photodiode (APDs)
can have much larger values of R.
Working of APD

➢ APD is similar to PIN diode the exception is the addition of high intensity electric field

u
region.
➢ In this region primary electron hole pairs are generated by the incident photons which
are able to absorb enough kinetic energy from strong electric field to collide with the
atoms present in this region, thus generating more electron hole pairs.
➢ The physical phenomenon behind the internal current gain is known as the impact

l
ionization.
➢ This impact ionization leads to avalanche breakdown in ordinary reverse bias. It
requires very high reverse bias voltage in order that the new carriers created by
impact ionization can themselves produce additional carriers by same mechanism.
➢ This process of generating more than one electron hole pair from incident photon
through ionization process is referred to as the avalanche effect.
➢ Thus the avalanche multiplication results in amplification of photodiode current.
➢ Multiplication factor: Multiplication factor M is a measure of internal gain provided by
APD. It is defined as the ratio of total multiplied output current to the primary un
multiplied current.

M=IIpM=IIp

Where I the Total multiplied output current

IpIp is the primary un multiplied current

Multiplication depends on physical and operational characteristics of photo detector device.

Operational characteristics include the width of avalanche region, the strength of electric
field and type of semiconductor material employed.
Comparison:

Sr PIN diode APD (Avalanche photodiode)

no.

1 PIN does not have high APD has high intensity electric field region.
intensity electric field region.

2 Photo current (IpIp) generated Photo current (IpIp) generated is more compared to PIN,
is less compared to APD
Ip=qNθ.M
Ip=qNθ,
q = electron charge,
q = electron charge,
Nθ= carrier number,
Nθ = carrier number
M = multiplication factor

3 Responsively of PIN is limited. Responsively of APD can have much larger values.

4 They exhibit lower noise levels. They exhibit higher noise levels as compared to PIN due
to impact ionization and photocurrent multiplication.

5 Response time of PIN is half Response time of APD is almost double that of PIN.
that of APD.
The PIN-diode is an alteration of the PN-junction for particular applications. After the PN-
junction diode was developed in the year 1940s, the diode was first exercised as a high-

u
power rectifier, low-frequency during the year 1952. The occurrence of an intrinsic layer can
significantly increase the breakdown voltage for the application of high-voltage. This intrinsic
layer also offers exciting properties when the device operates at high frequencies in the

o
range of radio wave and microwave. A PIN diode is a one kind of diode with an undoped,
wide intrinsic semiconductor region between a P-type and N-type semiconductor

l
region. These regions are normally heavily doped as they are used for Ohmic contacts. The
wider intrinsic region is indifference to an ordinary p–n diode. This region makes the diode an
inferior rectifier but it makes it appropriate for fast switches, attenuators, photo detectors

C
and high voltage power electronics applications.
The PIN diode is a one type of photo detector, used to convert optical signal into an
electrical signal. The PIN diode comprises of three regions, namely P-region, I-region and N-
region. Typically, both the P and N regions are heavily doped due to they are utilized for
Ohmic contacts. The intrinsic region in the diode is in contrast to a PN junction diode. This
region makes the PIN diode a lower rectifier, but it makes it appropriate for fast switches,
attenuators, photo detectors and applications of high voltage power electronics.

Photo detectors:
These are Opto-electric devices i.e. to convert the optical signal back into electrical impulses.
The light detectors are commonly made up of semiconductor material. Photo detectors made up of
semiconductor material. When the light strikes the light detector a current is produced in the external
circuit proportional to the intensity of the incident light.

Optical signal generally is weakened and distorted when it emerges from the end of the fiber,
the photo detector must meet following strict performance requirements.
➢ A high sensitivity to the emission wavelength range of the received light signal
➢ A minimum addition of noise to the signal
➢ A fast response speed to handle the desired data rate
➢ Be insensitive to temperature variations
➢ Be compatible with the physical dimensions of the fiber
➢ Have a Reasonable cost compared to other system components
➢ Have a long operating lifetime

Some important parameters while discussing photo detectors:

Quantum Efficiency

It is the ratio of primary electron-hole pairs created by incident photon to the photon
incident on the diode material.

Detector Responsivity

This is the ratio of output current to input optical power.Hence this is the efficiency of
the device.

Spectral Response Range

This is the range of wavelengths over which the device will operate.

Noise Characteristics

The level of noise produced in the device is critical to its operation at low levels of input light.

Response Time

This is a measure of how quickly the detector can respond to variations in the input light intensity.

Types of Light Detectors

➢ PIN Photodiode
➢ Avalanche Photodiode

PIN photodiode

InGaAs avalanche photodiode

Photo detector materials

Operating Wavelength Ranges for Several Different Photo detector Materials

In GaAs is used most commonly for both long-wavelength pin and avalanche photodiodes

Physical Principles of Photodiodes

In GaAs is used most commonly for both long-wavelength pin and avalanche photodiodes

Physical Principles of Photodiodes

The Pin Photodetector

• The device structure consists of p and n semiconductor regions separated by a very

lightly n-doped intrinsic (i) region.
• In normal operation a reverse-bias voltage is applied across the device so that no free
electrons or holes exist in the intrinsic region.
• Incident photon having energy greater than or equal to the band gap energy of the
semiconductor material, give up its energy and excite an electron from the valence
band to the conduction band

Pin Photodetector

the high electric field present in the depletion region causes photogenerated carriers
to separate and be collected across the reverse – biased junction. This gives rise to a current
flow in an external circuit, known as photocurrent.
In GaAs is used most commonly for both long-wavelength pin and avalanche photodiodes

Physical Principles of Photodiodes

||Jai Sri Gurudev ||
Sri Adichunchanagiri Shikshana Trust®

SJB INSTITUTE OF TECHNOLOGY

Accredited by NBA & NAAC with ‘A’ Grade
No. 67, BGS Health & Education City, Dr. Vishnuvardhan Road
Kengeri, Bangalore – 560 060

Department of Electronics & Communication

Engineering
Optical and Wireless Communication [21EC72]

MODULE – 3
Notes (as per VTU Syllabus)

VII SEMESTER – B. E

Academic Year: 2024 – 2025 (EVEN)

Course Coordinator : Anushree R

Designation : Assistant Professor

Optical and Wireless Communication /21EC72

VISVESVARAYA TECHNOLOGICAL UNIVERSITY, BELAGAVI

B.E: Electronics & Communication Engineering
/B.E: Electronics & Telecommunication Engineering
NEP, Outcome Based Education (OBE) and Choice
Based Credit System (CBCS)
(Effective from the academic year 2021 – 22)

VII Semester
Optical & Wireless Communication
Course Code 21EC72 CIE Marks 50
Teaching Hours/Week (L:T:P:S) 2:0:0:1 SEE Marks 50
Total Hours of Pedagogy 30 Total Marks 100
Credits 2 Exam Hours 3
Non-MCQ pattern of CIE and SEE
Course objectives:
This course will enable students to:
• Learn the basic principle of optical fiber communication with different modes of light propagation.
• Understand the transmission characteristics and losses in optical fiber.
• Study of optical components and its applications in optical communication networks.
• Understand the concepts of propagation over wireless channels from a physics standpoint
• Understand the multiple access techniques used in cellular communications standards.
• Application of Communication theory both Physical and networking to understand GSM systems that handle
mobile telephony.
Teaching-Learning Process (General Instructions)
The sample strategies, which the teacher can use to accelerate the attainment of the various course outcomes are
listed in the following:
1. Lecture method (L) does not mean only the traditional lecture method, but a different type of
teaching method may be adopted to develop the outcomes.
2. Show Video/animation films to explain the functioning of various techniques.
3. Encourage collaborative (Group) Learning in the class
4. Ask at least three HOTS (Higher-order Thinking) questions in the class, which promotes critical
thinking
5. Adopt Problem Based Learning (PBL), which fosters students’ Analytical skills, develop thinking skills
such as the ability to evaluate, generalize, and analyze information rather than simply recall it.
6. Topics will be introduced in multiple representations.
7. Show the different ways to solve the same problem and encourage the students to come up with their
own creative ways to solve them.
8. Discuss how every concept can be applied to the real world - and when that's possible, it helps
improve the students' understanding.
Module-1
Optical Fiber Structures: Optical Fiber Modes and Configurations, Mode theory for circular
waveguides, Single mode fibers, Fiber materials.
Attenuation and Dispersion: Attenuation, Absorption, Scattering Losses, Bending loss, Signal
Dispersion: Modal delay, Group delay, Material dispersion.
[Text1 : 3.1, 3.2, 2.3[2.3.1 to 2.3.4], 2.4[2.4.1, 2.4.2],2.5, 2.7].
Teaching-Learning Chalk and talk method, Power point presentation
Process RBT Level: L1, L2, L3
Module-2
Optical Sources and detectors: Light Emitting Diode: LED Structures, Light source materials, Quantum
efficiency and LED power, Laser Diodes: Modes and threshold conditions, Rate equations, External quantum
efficiency, Resonant frequencies, Photodetectors: The pin Photodetector, Avalanche
Photodiodes.
Anushree R/ Asst. Prof/ Dept. of ECE/SJBIT Page 2
Optical and Wireless Communication /21EC72

WDM Concepts: Overview of WDM, Isolators and Circulators, Fiber grating filters, Dielectric thin-film
filters, Diffraction Gratings.
[Text1: 4.2 ,4.3, 6.1, 10.1, 10.3, 10.4, 10.5, 10.7]
Teaching-Learning Chalk and talk method, Power point presentation
Process RBT Level: L1, L2, L3
Module-3
Mobile Communication Engineering: Wireless Network generations, Basic propagation Mechanisms,
Mobile radio Channel.
Principles of Cellular Communications: Cellular terminology, Cell structure and Cluster, Frequency reuse
concept, Cluster size and system capacity, Frequency Reuse Distance, Cochannel Interference and signal
quality.
[ Text2: 1.4, 2.4, 2.5, 4.1 to 4.4, 4.6, 4.7]
Teaching-Learning Chalk and talk method, Power point presentation
Process RBT Level: L1, L2, L3
Module-4
Multiple Access Techniques: FDMA, TDMA, CDMA, SDMA, Hybrid Multiple Access Techniques,
Multicarrier Multiple Access Schemes.
A Basic Cellular System: A basic cellular system connected to PSTN, Parts of basic cellular system,
Operation of a cellular system.
[Text2: 8.2, 8.3, 8.4.5, 8.5, 8.6, 8.10, 9.2.2, 9.2.3, 9.3]
Teaching-Learning Chalk and talk method, Power point presentation
Process RBT Level: L1, L2, L3
Module-5
Global System for Mobile (GSM): GSM Network Architecture, GSM signalling protocol architecture,
Identifiers used in GSM system, GSM Channels, Frame structure for GSM, GSM Call procedures, GSM
hand-off Procedures, GSM Services and features.
[Text2: 11.1, 11.2,11.3,11.4, 11.5, 11.8, 11.9. 11.10]
Teaching-Learning Chalk and talk method, Power point presentation
Process RBT Level: L1, L2, L3
Course outcomes (Course Skill Set)
At the end of the course the student will be able to:
1. Classification and characterization of optical fibers with different modes of signal propagation.
2. Describe the constructional features and the characteristics of optical fiber and optical devices used for
signal transmission and reception.
3. Understand the essential concepts and principles of mobile radio channel and cellular
communication.
4. Describe various multiple access techniques used in wireless communication systems.
5. Describe the GSM architecture and procedures to establish call set up, call progress handling and call
tear down in a GSM cellular network.
Assessment Details (both CIE and SEE)
The weightage of Continuous Internal Evaluation (CIE) is 50% and for Semester End Exam (SEE) is 50%. The
minimum passing mark for the CIE is 40% of the maximum marks (20 marks out of 50). A student shall be
deemed to have satisfied the academic requirements and earned the credits allotted to each subject/ course if the
student secures not less than 35% (18 Marks out of 50) in the semester-end examination (SEE), and a minimum
of 40% (40 marks out of 100) in the sum total of the CIE (Continuous Internal Evaluation) and SEE (Semester
End Examination) taken together
Continuous Internal Evaluation (CIE):
CIE will be the same as other core theory courses.

Anushree R/ Asst. Prof/ Dept. of ECE/SJBIT Page 3

Optical and Wireless Communication /21EC72

CIE methods /question paper is designed to attain the different levels of Bloom’s taxonomy as per the
outcome defined for the course.
Semester End Examination (SEE):
For non-MCQ pattern of CIE and SEE
Continuous Internal Evaluation (CIE):
At the beginning of the semester, the instructor/faculty teaching the course has to announce the methods of
CIE for the course.
Three Unit Tests each of 20 Marks (duration 01 hour)
1. First test at the end of 5th week of the semester
2. Second test at the end of the 10th week of the semester
3. Third test at the end of the 15th week of the semester
Two assignments each of 10 Marks
4. First assignment at the end of 4th week of the semester
5. Second assignment at the end of 9th week of the semester
Group discussion/Seminar/quiz any one of three suitably planned to attain the COs and POs for 20 Marks
(duration 01 hours)
6. At the end of the 13th week of the semester
The sum of three tests, two assignments, and quiz/seminar/group discussion will be out of 100 marks and
will be scaled down to 50 marks
(to have less stressed CIE, the portion of the syllabus should not be common /repeated for any of the
methods of the CIE. Each method of CIE should have a different syllabus portion of the course).
CIE methods /question paper is designed to attain the different levels of Bloom’s taxonomy as per the
outcome defined for the course.
Semester End Examination:
Theory SEE will be conducted by University as per the scheduled timetable, with common question papers
for the subject (duration 03 hours)
1. The question paper will have ten questions. Each question is set for 20 marks.
2. There will be 2 questions from each module. Each of the two questions under a module (with a
maximum of 3 sub-questions), should have a mix of topics under that module.
The students have to answer 5 full questions, selecting one full question from each module. Marks scored
out of 100 shall be reduced proportionally to 50 marks
Suggested Learning Resources:
Text Books
1. Gerd Keiser, Optical Fiber Communication, 5th Edition, McGraw Hill Education (India) Private
Limited, 2016. ISBN:1-25-900687-5.
2. T L Singal, Wireless Communications, McGraw Hill Education (India) Private Limited, 2016,
ISBN:0- 07-068178-3.
Reference Books
1. John M Senior, Optical Fiber Communications, Principles and Practice, 3rd Edition, Pearson
Education, 2010, ISBN:978-81-317-3266-3
2. Theodore Rappaport, Wireless Communications: Principles and Practice, 2nd Edition, Prentice Hall
Communications Engineering and Emerging Technologies Series, 2002, ISBN 0-13-042232-0.
3. Gary Mullet, Introduction to Wireless Telecommunications Systems and Networks, First Edition,
Cengage Learning India Pvt Ltd., 2006, ISBN - 13: 978-81-315-0559-5.

Anushree R/ Asst. Prof/ Dept. of ECE/SJBIT Page 4

Optical and Wireless Communication /21EC72

Module- 3
Mobile Communication Engineering
Wireless Network Generations
The cellular systems have been classified into three distinct evolutions of generations:
The first-generation (1G) analog cellular communication systems are voice-oriented analog
cellular systems using frequency division multiple access technique.
The first-generation systems used large cells and omni-directional antennas in the 800-MHz
band.
First-Generation Analog Cellular Systems
The first-generation cellular systems are based on analog transmission technology. The most
popular first-generation cellular systems are AMPS and ETACS.
The systems transmit speech signals employing FM, and important control information is
transmitted in digital form using FSK. The entire service area is divided into logical cells, and
each cell is allocated one specific band in the frequency spectrum. To explore a frequency reuse
pattern, the frequency spectrum is divided among seven cells, improving the voice quality as
each subscriber is given a larger bandwidth.
AMPS and ETACS cellular radio systems deploy cell-sites with tall towers that support several
receiving antennas and have transmitting antennas that typically radiate a few hundred watts of
effective radiated power. Each cell-site has one control channel transmitter that broadcasts on
the forward control channel, one control channel receiver that listens on the reverse control
channel for any mobile phone to set-up a call, and eight or more FM duplex voice channels.
All the 1G cellular systems use analog frequency modulation (FM) for which the transmission
power requirement depends on the transmission bandwidth. On the other hand, power is also
related to the coverage and size of the cells. Therefore, one can compensate for the reduction in
transmission bandwidth per subscriber by reducing the size of a cell in a cellular network.
Reduction in size of the cell increases the number of cells and the cost of installation of the
infrastructure. The channel spacing, or bandwidth, allocated to each subscriber is either 30 kHz
or 25 kHz or a fraction of either of them.
Second-Generation Digital Cellular Systems
First-generation analog cellular systems were followed by second-generation digital cellular
systems. The second generation (2G) cellular systems represent the set of wireless air interface
standards that rely on digital modulation and sophisticated digital signal processing in the
handset and the base station. Digital cellular technologies support a much larger number of
mobile subscribers within a given frequency allocation, thereby offering higher user capacity,
providing superior security and voice quality, and lay the foundation for value-added services
(including data) that will continue to be developed and enhanced in future.
To have efficient use of the frequency spectrum, time division or code-division multiple access
technique is used in 2G digital cellular systems so that low-rate data along with voice can be
processed.

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Global System for Mobile (GSM), which supports eight time slotted mobile subscribers for each
200-kHz radio channel in both the cellular and PCS bands; and Pacific Digital Cellular (PDC), a
Japanese TDMA standard that is similar to IS-136, are the other two most popular TDMA based
digital cellular standards. The popular 2G CDMA standard (IS-95), also known as cdmaOne,
can support up to 64 mobile subscribers that are orthogonally coded and simultaneously
transmitted on each 1.25 MHz channel. The speech-coding technique of all 2G systems operates
at about 10 kbps. It is assumed that large cell sizes and a large number of subscribers per cell are
available, which necessitates lower speech-coding rates.
Evolution from 2G to 3G Cellular Networks
There are two steps of 3G evolution paths from present 2G technologies based on GSM and IS-
95 CDMA respectively. An evolution path from second generation digital cellular GSM
network to third generation network is depicted in Fig.

Fig: An evolution path from GSM to 3G network

GSM is an open, digital cellular technology which supports voice calls and data transfer speeds
of up to 9.6 kbps, together with the transmission of SMS.
GSM provides international roam ing capability that enables users to access the seamless
services when travelling abroad. HSCSD (High Speed Circuit Switched Data) enables data to be
transferred more rapidly than the stan dard GSM system by using multiple channels. GPRS is a
very widely deployed wireless data service, available now with most GSM networks.
Besides GSM, CDMA is the most popular mobile communication standard. The initial
evolution of CDMA started in 1991 as IS-95A cdmaOne 2G digital cellular technology for
voice communication as well as data and multimedia services because it could allow multiple
users to communicate within the spectrum, avoid ing interference or jamming among users.
Code division ensures that each user’s signal remains separate in the spectrum. An evolution
path from second generation digital cellular CDMA networks to third generation networks is
depicted in Fig.

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Fig: An evolution path from CDMA to 3G network

IS-95A describes the structure of the wideband 1.25 MHz CDMA channels, power control, call
processing, hand-offs, and registration techniques for system operation. In addition to voice
services, many IS-95A operators provide circuit-switched data connections at 14.4 kbps.
Third-Generation Digital Cellular Systems
The fundamental purpose of the 3G mobile communications system is to provide a globally
integrated wireless communication system combining different incompatible network
technologies already deployed across the world. All 2G and 2.5G cellular communications
systems and mobile phones will eventually evolve towards a global standard, which is referred
to IMT-2000. While no one common standard for the air interface has been approved, the
number of different standard specifications includes one FDMA standard, one TDMA standard,
and one CDMA standard with three variations. The IMT-2000 system incorporates three
variations of CDMA.
. The figure below illustrates how these different standards are evolved into one standard IMT-
2000.

Fig: Evolution of IMT-2000 standards

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The key features of the IMT-2000 system defining the ITU’s view of 3G cellular network
capabilities are as follows:
(a) High degree of worldwide commonality of design
(b) Compatibility of services with fixed networks and within IMT-2000
(c) More efficient use of the available spectrum
(d) Voice quality comparable to that of PSTN
(e) 144–kbps data rate available to users in high-speed vehicles over large areas
(f) 384 kbps available to pedestrians standing or moving slowly over small areas
(g) Support for 2-Mbps data rate for office use
(h) Symmetrical and asymmetrical data-transmission rates
(i) Support for both circuit-switched and packet-switched data services
(j) Support for wide variety of mobile phones for worldwide use including pico, micro, macro,
and global cellular/satellite cells
(k) Worldwide roaming capability
(l) Capability for multimedia applications and a wide range of services
(m) Flexibility to allow the introduction of new services and technologies
The third generation aims to combine telephony, Internet, and multimedia into a single device.
A convergence of all these applications in IMT-2000 is depicted in Fig.

Fig: Convergence of services in IMT-2000

To achieve the convergence of various services, IMT-2000 systems have been designed with six
broad classes of service in mind. In order of increasing data rate requirements, these services are
the following:

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(a) Voice 3G systems will offer speech quality at least as good as the fixed telephone network.
Voicemail will also be eventually integrated fully with email service through computerized
voice recognition and synthesis techniques.
(b) Switched data This includes dial-up access to corporate networks or fax service or the
Internet access that doesn’t support a fully packet-switched network.
(c) Messaging This is an extension of paging, combined with Internet e-mail service. Unlike the
text-only messaging services built into some 2G systems, 3G systems will allow e-mail
attachments. It can also be used for payment and electronic ticketing.
(d) Multimedia Messaging Service (MMS) The MMS is designed to allow rich text, colour,
icons and logos, sound clips, photographs, animated graphics, and video clips. It works over the
broadband wireless channels in 3G networks.
(e) Immediate messaging MMS features push capability that enables the message to be
delivered instantly if the called mobile user is active. It avoids the need for collection from the
server. This always-on characteristic of the mobile users opens up the exciting possibility of
multimedia chat in real time.
(f) Medium multimedia This is likely to be the most popular 3G service. Its downstream data
rate is ideal for web surfing, games, location-based maps, and collaborative group working.
(g) High multimedia This can be used for very high-speed Internet access, as well as for high-
definition video and CD-quality audio on demand. Another possible application is online
shopping for intangible products that can be delivered over the air such as a software program
for a mobile computer.
(h) Interactive high multimedia This can be used for high-quality videophones,
videoconferencing or a com bination of videoconferencing and collaborative working.
(i) Sending multimedia postcards A clip of a holiday video could be captured through the
integral video cam of a user’s mobile handset or uploaded via Bluetooth from a standard
camcorder, then combined with voice or text messages and mailed instantly to any other mobile
user.
Wireless Networking Technologies
The use of radio signals for data transmission during World War II by the US Army inspired a
group of researchers in 1971 at the University of Hawaii to create the first packet-based radio
communications network called ALOHA net, the very first wireless local area network
(WLAN). It consisted of 7 computers that communicated in a bi-directional star topology. The
first generation of WLAN technology used an unlicensed ISM band of 902–928 MHz. To
minimise the interference from small appliances and industrial machinery, a spread spectrum
was used which operated at a 500-kbps data rate. In 1990, the IEEE 802 Executive Committee
established the 802.11 Working Group to create the WLAN standard. The standard specified an
operating frequency in the 2.4-GHz ISM band. In 1997, the group approved IEEE 802.11 as the
world’s first WLAN standard with data rates of 1 and 2 Mbps. Like cellphones, wireless-
equipped laptops within range of a given access point have the ability to communicate with the
network. A single access point can communicate with multiple wireless equipped laptops. Many

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systems allow roaming between access points. Despite their limited range (up to 100 m) and
lower data rates (as compared to 1 Gbps offered by wired Ethernets), WLANs have become the
preferred Internet access method for e-mail and Web browsing applications, in many offices,
homes, campus environments, and public places.

Basic Propagation Mechanisms

With any communication system, the received signal always differs from the transmitted signal
due to various transmission impairments. In a wireless signal propagation environment, apart
from direct waves, the receiver will get a number of reflected waves, diffracted waves and
scattered waves. The mechanisms behind electromagnetic wave propagation are diverse, but can
generally be attributed to mainly three basic radio propagation mechanisms, namely, reflection,
diffraction, and scattering.
A typical propagation effect in a mobile radio environment is illustrated in Figure below. As
shown in Figure, ht is the height of the cell-site antenna from the earth’s surface, hr is the height
of the mobile antenna from the earth’s surface, and r is the distance between the cell-site and the
mobile unit.

Figure: Radio propagation mechanisms in a mobile communication

Reflection
Reflection occurs when incident electromagnetic waves are partially reflected when they
impinge on obstructions of different electrical properties. A propagating electromagnetic wave
impinges on objects the sizes of which are large compared to its wavelength, such as the surface
of the earth, buildings, walls, etc. The electromagnetic radio waves get reflected from tall
building structures which have a good amount of conductivity.

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Reflection can also occur due to metal reinforcement. The extent of reflection of radio waves
depends on the composition and surface characteristics of the objects. The angle of reflection is
equal to the angle at which the wave strikes the object and is measured by the Fresnel reflection
coefficient. Upon reflection, the signal strength of the radio wave gets attenuated that depends
on many factors like the frequency of the radio waves, the angle of incidence, and the nature of
the medium including its material properties, thickness, homogeneity, etc.
Effects of reflection on signal propagation
A wireless communication transmitter transmits a signal at 900 MHz. A receiver located at a
distance of 1 km away from transmitter receives two signals — one directly as a line-of-sight
signal and another indirectly via reflection from a building (having a height more than 10
metres), as shown in Fig.

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Diffraction
Diffraction is referred to the change in wave pattern caused by interference between waves that
have been reflected from a surface or a point. It is based on Huygen’s principle which states that
all points on a wavefront can be considered as point sources for production of secondary
wavelets that can combine to produce a new wavefront in the direction of propagation of the
signal.
Diffraction occurs when the radio path between a transmitter and receiver is obstructed by a
surface with sharp irregular edges. Waves bend around the obstacle, even when a line-of-sight
condition does not exist. It causes regions of signal strengthening and weakening irregularly.
Diffraction can also occur in different situations such as when radio waves pass through a
narrow slit or the edge of a reflector or reflect off from two different surfaces approximately one
wavelength apart. Figure below depicts a simple case of diffraction of a radio signal.

Figure: Diffraction of a radio signal

Diffraction is a description of how a radio signal propagates around and over an obstruction, and
is measured in dB. Diffraction often results in small-signal fading. In effect, diffraction results
in propagation into shadow regions because the diffracted field can reach a receiver, which is
not in the line-of-sight of the transmitter. Because a secondary wavelet is created, it suffers a
signal loss much greater than that experienced via reflection.
In mobile communication systems, diffraction loss occurs from the blockage of secondary
waves such that only a portion of the energy is diffracted around an obstacle. Most cellular
systems operate in urban areas where there is no direct line-of-sight path between the transmitter
and the receiver (either from the cell-site to the mobile unit or vice-versa), and where the
presence of high rise buildings causes severe diffraction loss. In many practical situations, the
propagation path may consist of more than one obstruction. For example, in hilly terrains, the
total diffraction loss must be computed due to all of the obstacles.
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Scattering
Scattering is a special case of reflection caused by irregular objects such as walls with rough
surfaces, vehicles, foliage, traffic signs, lamp posts, and results in many different angles of
reflection and scatter waves in all directions in the form of spherical waves. Thus, due to
availability of numerous objects, scattering effects are difficult to predict. Scattering occurs
when the size of objects is comparable or smaller than the wavelength of the propagating radio
wave, and where the number of obstacles per unit volume is large. Figure depicts a typical case
of scattering of a radio signal.

Figure: Scattering of radio signal

These three impairments to free-space propagation influence system performance in various
ways depending on local conditions and as the mobile unit moving within a cell in a cellular
system.
• If a mobile unit has a clear line-of-sight condition with the cell-site then only reflection may
have a significant effect whereas diffraction and scattering have minor effects on the received
signal levels.
• If there is no clear line-of-sight condition, such as in an urban area at busy street level, then
diffraction and scattering are the primary means of signal reception.
One major adverse effect of multipath propagation is that multiple copies of a signal may arrive
at different phases. If these phases add destructively, the signal level relative to noise declines,
making signal detection at the receiver much more difficult and unreliable.
The second major effect of multipath propagation is increase in received data errors due to
intersymbol interference in digital transmission.
An extreme form of signal attenuation is blocking or shadowing of radio signals, which is
caused by obstacles much larger in size than the wavelengths of the operating signals such as a
small wall, trees, or a large vehicle on the street. Another form of propagation effect is the effect
of refraction. Refraction occurs because the velocity of the electromagnetic waves depends on
the density of the medium through which it travels. Waves that travel into a denser medium are
bent towards the medium. This is the reason for line-of-sight radio waves being bent towards the
earth since the density of the atmosphere is higher closer to the earth.
Mobile Radio Channel
In a mobile communication system, a signal experiences multipath propagation which causes
rapid signal level fluctuations in time, called fading. Mobile radio channels introduce noise,
fading, interference, and other distortions into the signals that they transmit.
Multipath Fading
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Fading of signal received by the mobile unit is an inherent problem in mobile communication.
As the location of the mobile unit keeps on changing in real time, the resultant radio signal
incident on its antenna varies continuously. Multipath in the mobile communication channel
creates small-scale fading effects such as rapid changes in signal strength over a small time
interval or small distance traveled by a mobile; random frequency modulation due to varying
Doppler shifts on different multipath signals; and time dispersion caused by multipath
propagation delays. Fading is the rapid fluctuation of a radio signal’s amplitude in a short time
or over a short distance.
Multipath waves are also generated because the antenna height of the mobile unit is lower than
its typical surrounding structures such as in built up urban areas of operation, and the operating
wavelength is much less than the sizes of the surrounding structures at the mobile unit.
There are two main reasons that contribute to the rapid fluctuations of the signal amplitude. The
first, caused by the addition of signals arriving via different paths, is referred to as multipath
fading. The second, caused by the relative movement of the mobile unit towards or away from
the cell-site transmitter, is called Doppler effect.
Multipath fading results in fluctuations of the signal amplitude because of the addition of signals
arriving with different phases. This phase difference is caused due to the fact that signals have
traveled different path lengths. Because the phase of the arriving paths are too changing rapidly,
the received signal amplitude under goes rapid fluctuation that is often modeled as a random
variable with a particular distribution, called Rayleigh distribution.

Figure: Multipath fading in a mobile radio environment

Types of Small-Scale Fading
Fading effects in a mobile radio environment can be classified as
fading effects due to multipath time delay spread
fading effects due to Doppler spread

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Due to multipath time-delay spread, fading effects can also be classified as

1) Flat fading and 2) Frequency selective fading.
Flat fading, or non-selective fading: is that type of fading in which all frequency components
of the received signal fluctuates in the same proportions simultaneously.
Flat fading occurs when the radio channel has a constant gain and linear phase response but its
bandwidth is greater than that of the transmitted signal.
Frequency-selective fading: affects unequally the different spectral components of a radio
signal. Selective fading is usually significant only relative to the bandwidth of the overall
wireless communication channel. Frequency selective fading is due to time dispersion of the
transmitted symbols within the channel, and the channel induces intersymbol interference.
Because this effect varies by frequency, fading is different at different frequencies and it is
extremely difficult to counter its impact or compensate for the signal loss. Frequency-selective
fading channels are also known as wideband channels since the bandwidth of the transmitted
signal is wider than the bandwidth of the channel impulse response.
The time between fades is given by
Tf = (λc /2) / Vm = λc / (2Vm) = c / (2 fc Vm)

Multipath Delay Spread

Multipath interference is the reflection of radio signals from concrete structures that results in
multiple copies of the received signal. Multipath interference can allow radio signals to reach
hard-to-reach areas. It can also create some problems such as delay spread which occurs when
several signals reach a receiver at different times due to different lengths of transmission paths.
Delay spread also occurs due to Rayleigh fading which results from the signal’s amplitude and
phase being altered by reflections. For a low bit-error rate (BER) performance of a digital
transmission, the transmission data rate, r should be

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where d is the delay spread

Doppler Shift
There is always a relative motion between the cell-site transmitter and the mobile receiver. As a
result, Doppler effect occurs in the shift of the received carrier frequency. Doppler spectrum is
the spectrum of the fluctua tions of the received signal strength. Multipath fading provides the
distributions of the amplitude of a radio signal. Doppler frequency or Doppler shift is given by
fd = (1/λc) Vm cos θ
where λc is the wavelength of the carrier signal, Vm is the relative velocity of the mobile, the
angle θ is between the motion of the mobile and direction of arrival of the scattered waves, and
Vm cos θ represents the velocity component of the motion of the mobile in the direction of the
incoming signal.
The maximum Doppler frequency will be obtained when the mobile unit is moving in line with
the direction of the received signal, that is, θ = 0ο or cos θ = 1.
Then the maximum Doppler frequency is given by fdm = Vm / λc = Vm fc / c (2.9) where fc is
the frequency of transmission in Hz, Vm is the speed of the mobile and c is speed of light in
same units.

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Coherence Bandwidth The coherence bandwidth is a statistical measure of the range of

frequencies over which the channel can be considered flat. A flat channel is one which passes
all spectral components with approximately equal gain and linear phase and without any
distortion. The coherence bandwidth Bc represents the correlation between two fading signal
envelopes at frequencies f1 and f2 and is a function of the delay spread d. The coherence
bandwidth for two fading amplitudes of two received signals is given as
Δf = | f1 f2 | > Bc = 1 / (2 π fd)
Coherence Time Coherence time is the time duration over which two received signals have a
strong potential for amplitude correlation. In other words, coherence time c is inversely
proportional to the Doppler spread. It is used to characterise the time-varying nature of the
frequency dispersiveness of the channel in the time domain.

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Principles of Cellular Communication

A cell is the basic geographic unit of a cellular system. A cell is the radio area covered by a cell-
site that is located at its centre. In other words, the radio coverage by one base sta tion or a
cell-site is referred to as a cell, which is also called a footprint. For proper analysis and
evaluation of a cellular system, an appropriate model of a cell shape is needed. Figure below
depicts ideal cell, actual cell and possible cell models such as equilateral triangle, square, and
hexagon that represent a cell boundary with a radius R from the centre of the cell.

The base station, also called Cell-Site (CS), located approximately at its centre, serves all
mobile users in the cell. Figure below illustrates an ideal cell area (circular), a hexagonal cell
area (used in most models), and a square cell area (an alternative shape) with a cell-site at its
centre and a number of mobile units (M) within the cell area. The shape of the cell can be
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circular around the cell-site transmitting tower under ideal radio environment. The periphery of
the circle is equal to the acceptable received signal level from the transmitting signal. It means
that if the cell-site is located at the centre of the cell, the cell area and periphery are determined
by the signal strength within the region

Cell Structure And Cluster

The cellular topology formed by using ideal circular shape results into overlaps or gaps between
them which is not desirable in cellular communications which has to be essentially continuous.
This form of layout requires the use of regular topologies (say, a hexagonal topology) instead of
a circular shape, as depicted in Fig. below. In Fig. below, the middle dark circles represent cell-
sites. This is where the base-station radio equipment and their antennas mounted on tall towers
are located. A cell-site gives radio signal coverage to a cell. In other words, the cell-site is a
location or a point at the centre of the cell, whereas the cell is a wide geographical service area.

The design and performance of cellular systems using regular geometrical topologies may not
correspond to real mobile environments, but these topologies do provide valuable information
and guidelines for structuring practical cellular configuration layouts. Cells of the same shape
form a tessellation so that there are no ambiguous areas that belong to multiple cells or to no
cell. The cell shape can be of only three types of regular polygons: equilateral triangle, square,
or regular hexagon as shown in Fig. below. A cellular structure based on a regular hexagonal
topology, though fictitious, offers best possible non-overlapped cell radio coverage

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Consider a single high-power transmitter that can support 40 voice channels over an area of 140
km² with the available spectrum. If this area is equally divided into seven smaller areas (cells),
each supported by lower power transmitters so that each cell supports 30% of the channels, then
determine (a) coverage area of each cell (b) total number of voice channels available in cellular
system Comment on the results obtained

A Cellular Cluster A group of cells that use a different set of frequencies in each cell is called a
cellular cluster. Thus, a cluster is a group of cells with no reuse of channels within it. It is worth
mentioning here that only a selected number of cells can form a cluster. It follows certain rules
before any cell can be repeated at a different location Some common reuse cluster patterns are
given in Fig. below.

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Calculate the number of times the cluster of size 4 have to be replicated in order to
approximately cover the entire service area of 1765 km2 with the adequate number of uniform-
sized cells of 7 km2 each
Solution Size of the cluster, K = 4 (given) Area of a cell, Acell = 7 km2 (given)

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Frequency Reuse Concept

Mobile users communicate only via the base stations. Each cell is allocated a finite number of
Radio Frequency (RF) channels, depending upon the number of simultaneous users required to
be served. This enables the cells that are located sufficiently physically apart to reuse the same
set of frequencies, without causing cochannel interference. However, each adjacent cell within a
cluster operates on differ ent frequencies to avoid interference. Cells, which use the same set of
frequencies, are referred to as cochannel cells. The space between adjacent cochannel cells is
filled with other cells that use different frequencies to provide frequency isolation. A typical
cluster of seven cells, each repeated seven times with frequency reuse, is illustrated in Fig.
below. If the system is not properly designed, cochannel interference may occur due to the
simultaneous use of the same channel. This is the major concern in frequency reuse.
Specifically, if the available channels are reused for additional traffic, it is possible to serve
more number of users, thereby increasing the system capacity within allocated RF spectrum,
and hence enhancing spectrum efficiency as well. The total number of channels available in a
cellular system is finite because of limited RF spectrum alloca tion. The capacity of a cellular
system is defined by the total number of channels available, which depends on how the
available channels are deployed. So, the total number of available channels without frequency
reuse, N, is the allocated RF spectrum band divided by the number of RF channels having equal
channel bandwidth.

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Cluster Size And System Capacity

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If K is decreased and J is proportionally increased so that C = M × J × K is satisfied, it is

necessary to replicate the smaller cluster more times in order to cover the same geographical
service area. This means the value of M has to be increased. Since J × K (=N) remains constant
and M is increased, it shows that the system capacity C is increased. That is, when K is
minimised, C is maximised. But minimising K will increase cochannel interference.

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Frequency Reuse Distance

Reusing an identical frequency channel in different cells is limited by cochannel interference
between cells and the cochannel interference can become a major problem in cellular
communication. So it is desirable to find the minimum frequency reuse distance D in order to
reduce this cochannel interference. The minimum distance, which allows the same frequency to
be reused in cochannel cells, will depend on many factors such as • the number of cochannel
cells in the vicinity of the centre cell, • the type of geographic terrain contour, • the antenna
height, and • the transmitted power at each cell-site

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Cochannel Interference and Signal Quality

The cochannel interference is caused due to the reuse of the same carrier frequency at different
geographical locations. Because cochannel interfering signals are amplified, processed and
detected in the same manner as the desired signal, the receiver is particularly vulnerable to these
emissions. Thus, cochannel interference may either desensitize the receiver or override or mask
the desired signal. It may also combine with the desired signal to cause serious distortions in the
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detected output. The cochannel interference can then be measured by selecting any one channel
(as one channel represents all the channels) and transmitting on that channel at all cochannel
sites. In a fully equipped hexagonal-shaped cellular system, there are always six cochannel
interfering cells in the first tier. Figure below depicts a typical field measurement test set-up 1 to
measure cochannel interference at the mobile unit, in which the mobile unit is moving in its
serving cell. Let the symbol C, I, and N denote respectively the power of the desired signal, the
power of the cochannel interference, and the power of the noise at the output of the receiver
demodulator. Cochannel interference can be experienced both at the cell-site and at mobile units
in the serving cell. If the interference is much greater then the carrier to interference ratio C/I at
the mobile units caused by the six-interfering cell-sites is (on the average) the same as the C/I
received at the serving cell site caused by interfering mobile units in the six cells. According to
the reciprocity theorem and the statistical summation of radio propagation, the two C/I values
can be very close.

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||Jai Sri Gurudev ||
Sri Adichunchanagiri Shikshana Trust®

SJB INSTITUTE OF TECHNOLOGY

Accredited by NBA & NAAC with ‘A’ Grade
No. 67, BGS Health & Education City, Dr. Vishnuvardhan Road
Kengeri, Bangalore – 560 060

Department of Electronics & Communication

Engineering
Optical and Wireless Communication [21EC72]

MODULE – 4
Notes (as per VTU Syllabus)
VII SEMESTER – B. E
Academic Year: 2024 – 2025 (EVEN)

Course Coordinator : Anushree R

Designation : Assistant Professor

Optical and Wireless communication 21EC72

VISVESVARAYA TECHNOLOGICAL UNIVERSITY, BELAGAVI

B.E: Electronics & Communication Engineering
/B.E: Electronics & Telecommunication
Engineering NEP, Outcome Based Education
(OBE) and Choice Based Credit System (CBCS)
(Effective from the academic year 2021 – 22)

VII Semester
Optical & Wireless Communication
Course Code 21EC72 CIE Marks 50
Teaching Hours/Week (L:T:P:S) 2:0:0:1 SEE Marks 50
Total Hours of Pedagogy 30 Total Marks 100
Credits 2 Exam Hours 3
Non-MCQ pattern of CIE and SEE
Course objectives:
This course will enable students to:
• Learn the basic principle of optical fiber communication with different modes of light propagation.
• Understand the transmission characteristics and losses in optical fiber.
• Study of optical components and its applications in optical communication networks.
• Understand the concepts of propagation over wireless channels from a physics standpoint
• Understand the multiple access techniques used in cellular communications standards.
• Application of Communication theory both Physical and networking to understand GSM systems that handle
mobile telephony.
Teaching-Learning Process (General Instructions)
The sample strategies, which the teacher can use to accelerate the attainment of the various course outcomes are
listed in the following:
1. Lecture method (L) does not mean only the traditional lecture method, but a different type of
teaching method may be adopted to develop the outcomes.
2. Show Video/animation films to explain the functioning of various techniques.
3. Encourage collaborative (Group) Learning in the class
4. Ask at least three HOTS (Higher-order Thinking) questions in the class, which promotes critical
thinking
5. Adopt Problem Based Learning (PBL), which fosters students’ Analytical skills, develop thinking skills
such as the ability to evaluate, generalize, and analyze information rather than simply recall it.
6. Topics will be introduced in multiple representations.
7. Show the different ways to solve the same problem and encourage the students to come up with their
own creative ways to solve them.
8. Discuss how every concept can be applied to the real world - and when that's possible, it helps
improve the students' understanding.
Module-1
Optical Fiber Structures: Optical Fiber Modes and Configurations, Mode theory for circular
waveguides, Single mode fibers, Fiber materials.
Attenuation and Dispersion: Attenuation, Absorption, Scattering Losses, Bending loss, Signal
Dispersion: Modal delay, Group delay, Material dispersion.
[Text1 : 3.1, 3.2, 2.3[2.3.1 to 2.3.4], 2.4[2.4.1, 2.4.2],2.5, 2.7].
Teaching-Learning Chalk and talk method, Power point presentation
Process RBT Level: L1, L2, L3
Module-2

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Optical and Wireless communication 21EC72

Optical Sources and detectors: Light Emitting Diode: LED Structures, Light source materials, Quantum
efficiency and LED power, Laser Diodes: Modes and threshold conditions, Rate equations, External quantum
efficiency, Resonant frequencies, Photodetectors: The pin Photodetector, Avalanche
Photodiodes.

WDM Concepts: Overview of WDM, Isolators and Circulators, Fiber grating filters, Dielectric thin-film
filters, Diffraction Gratings.
[Text1: 4.2 ,4.3, 6.1, 10.1, 10.3, 10.4, 10.5, 10.7]
Teaching-Learning Chalk and talk method, Power point presentation
Process RBT Level: L1, L2, L3
Module-3
Mobile Communication Engineering: Wireless Network generations, Basic propagation Mechanisms,
Mobile radio Channel.
Principles of Cellular Communications: Cellular terminology, Cell structure and Cluster, Frequency reuse
concept, Cluster size and system capacity, Frequency Reuse Distance, Cochannel Interference and signal
quality.
[ Text2: 1.4, 2.4, 2.5, 4.1 to 4.4, 4.6, 4.7]
Teaching-Learning Chalk and talk method, Power point presentation
Process RBT Level: L1, L2, L3
Module-4
Multiple Access Techniques: FDMA, TDMA, CDMA, SDMA, Hybrid Multiple Access Techniques,
Multicarrier Multiple Access Schemes.
A Basic Cellular System: A basic cellular system connected to PSTN, Parts of basic cellular system,
Operation of a cellular system.
[Text2: 8.2, 8.3, 8.4.5, 8.5, 8.6, 8.10, 9.2.2, 9.2.3, 9.3]
Teaching-Learning Chalk and talk method, Power point presentation
Process RBT Level: L1, L2, L3
Module-5
Global System for Mobile (GSM): GSM Network Architecture, GSM signalling protocol architecture,
Identifiers used in GSM system, GSM Channels, Frame structure for GSM, GSM Call procedures, GSM hand-
off Procedures, GSM Services and features.
[Text2: 11.1, 11.2,11.3,11.4, 11.5, 11.8, 11.9. 11.10]
Teaching-Learning Chalk and talk method, Power point presentation
Process RBT Level: L1, L2, L3
Course outcomes (Course Skill Set)
At the end of the course the student will be able to:
1. Classification and characterization of optical fibers with different modes of signal propagation.
2. Describe the constructional features and the characteristics of optical fiber and optical devices used for
signal transmission and reception.
3. Understand the essential concepts and principles of mobile radio channel and cellular
communication.
4. Describe various multiple access techniques used in wireless communication systems.
5. Describe the GSM architecture and procedures to establish call set up, call progress handling and call
tear down in a GSM cellular network.

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Assessment Details (both CIE and SEE)

The weightage of Continuous Internal Evaluation (CIE) is 50% and for Semester End Exam (SEE) is 50%. The
minimum passing mark for the CIE is 40% of the maximum marks (20 marks out of 50). A student shall be
deemed to have satisfied the academic requirements and earned the credits allotted to each subject/ course if the
student secures not less than 35% (18 Marks out of 50) in the semester-end examination (SEE), and a minimum
of 40% (40 marks out of 100) in the sum total of the CIE (Continuous Internal Evaluation) and SEE (Semester
End Examination) taken together
Continuous Internal Evaluation (CIE):
CIE will be the same as other core theory courses.
CIE methods /question paper is designed to attain the different levels of Bloom’s taxonomy as per the
outcome defined for the course.
Semester End Examination (SEE):
For non-MCQ pattern of CIE and SEE
Continuous Internal Evaluation (CIE):
At the beginning of the semester, the instructor/faculty teaching the course has to announce the methods of
CIE for the course.
Three Unit Tests each of 20 Marks (duration 01 hour)
1. First test at the end of 5th week of the semester
2. Second test at the end of the 10th week of the semester
3. Third test at the end of the 15th week of the semester
Two assignments each of 10 Marks
4. First assignment at the end of 4th week of the semester
5. Second assignment at the end of 9th week of the semester
Group discussion/Seminar/quiz any one of three suitably planned to attain the COs and POs for 20 Marks
(duration 01 hours)
6. At the end of the 13th week of the semester
The sum of three tests, two assignments, and quiz/seminar/group discussion will be out of 100 marks and will
be scaled down to 50 marks
(to have less stressed CIE, the portion of the syllabus should not be common /repeated for any of the methods
of the CIE. Each method of CIE should have a different syllabus portion of the course).
CIE methods /question paper is designed to attain the different levels of Bloom’s taxonomy as per the
outcome defined for the course.
Semester End Examination:
Theory SEE will be conducted by University as per the scheduled timetable, with common question papers
for the subject (duration 03 hours)
1. The question paper will have ten questions. Each question is set for 20 marks.
2. There will be 2 questions from each module. Each of the two questions under a module (with a
maximum of 3 sub-questions), should have a mix of topics under that module.
The students have to answer 5 full questions, selecting one full question from each module. Marks scored
out of 100 shall be reduced proportionally to 50 marks
Suggested Learning Resources:
Text Books
1. Gerd Keiser, Optical Fiber Communication, 5th Edition, McGraw Hill Education (India) Private
Limited, 2016. ISBN:1-25-900687-5.
2. T L Singal, Wireless Communications, McGraw Hill Education (India) Private Limited, 2016,
ISBN:0- 07-068178-3.
Reference Books
1. John M Senior, Optical Fiber Communications, Principles and Practice, 3rd Edition, Pearson
Education, 2010, ISBN:978-81-317-3266-3
2. Theodore Rappaport, Wireless Communications: Principles and Practice, 2nd Edition, Prentice Hall
Communications Engineering and Emerging Technologies Series, 2002, ISBN 0-13-042232-0.
3. Gary Mullet, Introduction to Wireless Telecommunications Systems and Networks, First Edition,
Cengage Learning India Pvt Ltd., 2006, ISBN - 13: 978-81-315-0559-5.

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Module 4
FREQUENCY DIVISION MULTIPLE ACCESS
Frequency Division Multiple Access (FDMA) refers to sharing the available radio spectrum by
assigning specific frequency channels to subscribers either on a permanent basis or on a
temporary basis. The differentiation between the carrier frequencies of the forward channels
(also called downlink-communication between the cell-site and mobile subscribers) and
reverse channels (also called uplink-communication between the mobile subscribers and the
cell-site) is an important design parameter related to FDMA technique. If the forward channels
and reverse channels use different carrier frequencies that are sufficiently spaced, the duplexing
scheme is referred to as FDD. The FDD technique is mostly used in macrocellular
communication systems designed for radio coverage of several kilometres. The base station
dynamically assigns a different carrier frequency to each active mobile subscriber. In order to
adjust and maintain the transmission and reception frequencies, a frequency synthesiser is used
at the base station and the mobile station. The concept of FDMA is shown in Fig. 8.1.

Fig. 8.1 The concept of FDMA

In FDMA, the available radio spectrum is divided into a set of continuous frequency channels
labeled 1 through N, and the frequency channels are assigned to individual mobile subscribers
on a continuous-time basis for the duration of a call. FDMA bandwidth structure is illustrated
in Fig. 8.2.

Fig. 8.2 FDMA bandwidth structure

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Fig. 8.3 shows the basic structure of a FDMA system, consisting of a cell-site (CS) and many

mobile subscribers. There is a pair of simplex channels for the communication wireless link
between the CS and the mobile subscribers. The paired channel is called forward channel
(downlink) and reverse channel (uplink). A forward channel is used to transfer data from the
cell-site to the mobile subscriber and a reverse channel is used to transfer data from the mobile
subscriber to the cell-site. Different frequency channels are assigned to different mobile
subscribers. Each pair of communicating mobile subscribers is assigned different frequency
channels to enable full duplex communication. FDMA has been widely adopted in all first-
generation analog cellular systems for handheld and vehicle-installed mobile subscribers. A
duplex spacing is used between the forward and reverse channels. The structure of forward and
reverse channels in FDMA is shown in Fig. 8.4.

The frequency bandwidth allocated to each mobile subscriber is called the subband Bc. If there
are N channels in a FDMA system, the total bandwidth Bt is equal to N × Bc. A guard band
Wg is used to minimise adjacent channel interference between two adjacent channels, as shown
in Fig. 8.5.
To ensure acceptable signal quality performance, it is important that each frequency channel
signal be kept confined to the assigned channel bandwidth. Otherwise, there may be adjacent
channel interference which can degrade signal quality. In both forward and reverse channels,
the signal transmitted must be kept confined within its assigned channel bandwidth, and the
out-of-band signal energy causes negligible interference to the subscribers using adjacent

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channels. In order to minimise adjacent channel interference, two design measures are usually
considered:
The power spectral density of the modulated signal is controlled so that the power radiated into
the adjacent band is at least 60 to 80 dB below that in the desired band. This requirement can
be achieved with the use of highly selective filters in the system design. Usually, it is extremely
difficult to achieve the desired filter characteristic so as not to cause adjacent channel
interference. Guard bands are inserted as buffer frequency zones in adjacent channels.
If a large number of mobile subscribers can operate satisfactorily within the allocated radio
spectrum then the multiple-access system is said to be highly spectrally efficient. In general,
the spectral efficiency in FDMA systems depends on how closely the individual channels
(frequency subbands) can be assigned. There are several factors that limit the adjacent channel
spacing, the most important of which is adjacent channel interference (ACI).

In an FDMA system, many channels share the same transmitting antenna at the base
station. The transmitter RF power amplifiers or the transmitter multichannel power combiners
are nonlinear devices when operated at or near saturation signal levels for maximum power
efficiency. The nonlinearities cause spreading of the signal in the frequency domain and
generate intermodulation frequencies which are undesirable harmonics. Harmonic frequencies
generated within the operating frequency band cause interference to other subscribers active in

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the same wireless system at that time. Harmonic frequencies generated outside the operational
frequency band cause interference to other wireless services operating in those adjacent bands.

The first-generation analog cellular communication systems use FDMA/FDD

technique, with speech
signals being transmitted over the forward or reverse channels using frequency modulation
scheme. The data control functions are performed digitally by means of frequency-shift keying
modulation scheme for data transmission. A useful feature of FDMA systems is that the radio
transmission takes place over a narrow channel of bandwidth (B/N ) Hz for each mobile
subscriber. Due to narrowband transmissions, flat fading may be experienced by the signal.
The number of channels, N that can be simultaneously supported in an FDMA system is given
by
N = (Bt -2 Bg) / Bc
where Bt is the total spectrum allocation, Bg is the guard band allocated at the edge of the
allocated spectrum band, and Bc is the channel bandwidth.
Bt and Bc may be specified in terms of simplex bandwidths where it is understood that there
are symmetric frequency allocations for the forward band and reverse band.

The FDMA channel carries only one dedicated communication link at a time. After the
assignment of a voice channel, the base station and the mobile subscriber transmit
simultaneously and continuously. If the assigned channel is not in use then it remains idle and

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cannot be used by other mobile subscribers. This is clearly wastage of spectrum resource. The
utilisation of a channel during free time is essential to increase system capacity.
FDMA is usually implemented in narrowband systems. The bandwidths of FDMA channels
are relatively narrow (for example, 30 kHz in AMPS) as each channel supports only one
communication link per carrier.
The symbol time of a narrowband signal is large as compared to the average delay spread. This
implies that the amount of intersymbol interference is also low. So there may not be any
requirement to implement equalisation in FDMA narrowband systems which is certainly an
advantage.
The complexity of FDMA wireless communication systems is lower as compared to that of
TDMA systems. Due to continuous transmission in FDMA systems, fewer bits for
synchronisation and framing are needed for overhead purposes as compared to TDMA. FDMA
requires tight RF filtering to minimise adjacent channel interference. Therefore, there is a need
to use costly bandpass filters to eliminate spurious radiations at the base stations. The FDMA
mobile subscriber equipment uses RF duplexers since both the transmitter and receiver operate
at the same time using a common antenna. This results in an increase in the cost of FDMA!
subscriber units and base stations. Because of the single channel per carrier design, FDMA
systems have higher cell site system costs.

Problem: FDMA/FDD in AMPS

Illustrate the concept of FDMA/FDD system commonly used in First Generation (1G) analog
cellular communication
systems such as AMPS.
Multiple Access Techniques 255 Solution In FDMA/FDD systems, forward and reverse
channels use different carrier frequencies, and a fixed subchannel pair is assigned to a
subscriber during the communication session.
Fig. 8.6 shows the FDMA/FDD system commonly used in first generation analog cellular
systems. At the receiving end, the mobile unit filters the designated channel out of the
composite signal received. The Advanced Mobile Phone System (AMPS) is based on
FDMA/FDD. As shown in Fig. 8.7,the AMPS system allocates 30 kHz of channel bandwidth
for each uplink (824 MHz–849 MHz) and downlink (869 MHz–894 MHz) frequency band.
Some of the salient features of the FDMA/FDD system concept are given here.– During the
call, a mobile subscriber occupies two simplex channels, one each on the uplink and downlink,
for full-duplex communication.
– The two simplex channels are spaced by fixed duplex spacing. For example, duplex
spacing in AMPS is (869 MHz–824 MHz =45 MHz).
– When a call is terminated, or when hand-off occurs, the occupied channels are released which
can be
used by other mobile subscribers in the system.
– Multiple or simultaneous mobile subscribers are accommodated in AMPS by allocating each
calling or
called mobile subscriber a dedicated channel.
– Voice signals are sent on the forward channel from the base station to the mobile user, and
on the
reverse channel from the mobile user to the base station.
– In AMPS, analog narrowband frequency modulation technique is used to modulate the
carrier.

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TDMA
Time-division multiple access (TDMA) technique refers to allowing a number of subscribers
to access a specified channel bandwidth on a time-shared basis. TDMA systems divide the
carrier channel bandwidth into time slots, and in each time slot only one subscriber is allowed
to either transmit or receive. TDMA utilises the digital technology with more efficient and
complex strategies of sharing the available spectrum among a number of subscribers
simultaneously. In TDMA systems, number of subscribers share the same frequency band by
taking their assigned turns in time for transmission or reception. The major advantage of the
TDMA is the flexibility of its digital format which can be buffered and multiplexed efficiently,
and assignments of time-slots among multiple subscribers which are readily adaptable to
provide different access rates. With TDMA, a base-station controller assigns time slots to
subscribers for the requested service, and an assigned time slot is held by a subscriber until it
releases it. The receiver synchronises to the incoming TDMA signal frame, and extracts the
time slot designated for that subscriber. Therefore, the most critical feature of TDMA operation
is time synchronisation. In TDMA, one carrier channel is used by several subscribers, and each
subscriber is served in a round-robin method. The cell-site assigns different time slots to
different subscribers. Let there be N number of time slots in a TDMA frame. Each subscriber
occupies a cyclically repeating time slot which reoccurs in every frame periodically. The
transmission in a TDMA system for any subscriber is noncontinuous and data is transmitted in
a buffer-and-burst method. The splitting of a single carrier channel into several time slots and
distribution of time slots among multiple subscribers is shown in Fig. 8.8.

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A TDMA system may operate in either of two modes:

– TDMA/ FDD mode: The forward and reverse channel frequencies differ.
– TDMA/TDD mode The forward and reverse channel frequencies are same.
In TDMA/FDD systems, the carrier frequencies are different but frame structures are same for
the forward and reverse channels. In general, TDMA/ FDD systems intentionally induce delay
of several time slots between the forward and reverse time slots for a particular subscriber. This
avoids the need of duplexers in the subscriber unit. The illustration of forward and reverse
channels in a TDMA/FDD system employing the similar frame and time slot structure is given
in Fig. 8.9

In TDMA, a carrier channel is divided into N number of time slots. These time slots are
allocated for each subscriber to transmit and receive information. The number of distinct
consecutive time slots is called a frame before these time slots are repeated. Each frame of the
TDMA structure contains N number of time slots of equal duration. Information data is
transferred and received in the form of TDMA frames. The transmission rate for a digital
TDMA channel is typically N times higher than that required for a single channel. The bitwise
structure of each time slot is different in different types of TDMA systems. Typically, the bits
contained in each time slot of a TDMA frame are divided into two major functional groups:
Signalling and Control Data Bits These bits perform the functions which assist the receiver in
performing some auxiliary functions such as synchronisation and frame error rate. Specifically,
the synchronisation bits in a time slot enable the receiver to recover sinusoidal carrier essential
for coherent detection. The frame error bits are used to estimate the unknown impulse

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response of the wireless channel, which is needed for decoding the received signal. Traffic
Data Bits These bits represent digitised speech bits or any other forms of information bearing
data bits.

Fig. 8.10 shows a typical frame structure of TDMA.

The guard time between the time slots helps in minimising the interference due to propagation
delays along different radio paths in the wireless
channel.

Digital data encoding and digital-modulation schemes are used with TDMA. The transmission
from various subscribers is interlaced into a uniformly repeating TDMA frame structure. As
shown in Fig. 8.11, a TDMA frame consists of a preamble, an information data field, and tail
bits. The information data field of a frame consists of a number of time slots.
In a TDMA frame, the preamble contains the address and synchronisation data that is used by
both the base station and the subscribers to identify each other. Tail bits and guard bits allow
synchronisation of the receivers between different time slots and frames. Various TDMA-based
cellular standards such as USDC, GSM have different TDMA frame structures.
In a TDMA system, the communication channels essentially consist of many time slots, which
makes it possible for one frequency carrier channel to be efficiently utilised by many mobile
subscribers. Each mobile subscriber utilises a different time slot. The basic structure of a
TDMA system is shown in Fig. 8.12. The number of mobile subscribers can communicate with
the base station simultaneously on designated time slots of TDMA frame on the forward and
reverse channels. However, the system capacity is limited by the number of time slots per
carrier channel and the number of carrier channels allocated to the system.

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The features that distinguish TDMA systems from FDMA systems can be broadly classified in
two categories:
• In TDMA each subscriber has access to the total bandwidth Bt of the carrier channel,
whereas in FDMA each subscriber is assigned only a fraction of the channel bandwidth,
that is, Bc = Bt /N.
• In TDMA, each subscriber accesses the channel for only a fraction of the time that it is
in use and on a periodic regular and orderly basis, with the overall channel transmission
data rate being N times the subscriber’s required data rate. Whereas in FDMA, each
subscriber accesses the channel on a continuous-time basis.

The total number of TDMA time slots that can be provided in a TDMA system is determined
by multiplying
the number of time slots per carrier channel by the number of channels available and is given
by

N=[m (Bt-2Bg)]/Bc

where N is the total number of TDMA time slots in a TDMA system

m is the number of time slots per carrier channel or the maximum number of TDMA subscribers
supported
on each carrier channel
Bt is the total allocated spectrum bandwidth in Hz
Bc is the carrier channel bandwidth in Hz
Bg is the guard bandwidth in Hz
Two guard bands, one at the lower end and another at the higher end of the allocated frequency
band, are required to ensure that subscribers operating at the edges of the allocated frequency
band do not interfere with other wireless communication service operating in an adjacent
frequency band.
Problem

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If both forward and reverse channels use the same frequency band but they use alternating time
slots in the same frame for full duplex communication, the system is referred to as TDMA/TDD
system. In this system, 50% of the time slots in the frame are used for the forward channels
and the other 50% of the time slots in the frame are used for reverse channels. Most of the RF
components can be shared between the forward and the reverse channels because only one
frequency carrier is needed for full duplex operation. The reciprocity of the forward and reverse
channels also allows for simultaneous synchronisation as well as exact open-loop power
control. TDD techniques are used in systems where minimum interference, low system
complexity and low-power consumption are of utmost importance. Thus TDD based systems
are quite often used in local area micro- or pico- cellular systems. The structure of forward and
reverse channels in a TDMA/TDD system is shown in Fig. 8.13.

In TDMA/TDD based communication system, a simple RF switch is used in the subscriber

equipment for use of a single antenna for transmitting and receiving. The common antenna can
be connected to the transmitter when a data burst is required to be transmitted (thus
disconnecting the receiver from the antenna) and to the receiver for the received signal at
another time. An RF switch is different from duplexer which is used in TDMA/FDD based
communication system. An RF duplexer is a device with the same functionality as that of
an RF switch but is based on RF filter technique

8.3.1 Salient Features of TDMA Technique

(a) Several subscribers share a single carrier frequency by using non-overlapping time slots.
The number of
time slots per frame depends upon several factors such as available bandwidth and digital-
modulation scheme used. The transmission data rate is quite high as compared to that of in
FDMA.
(b) The available bandwidth can be utilised on demand by different subscribers as more than
one time slot per frame can be allocated to them. Thus, bandwidth can be supplied to different
subscribers on demand by concatenating or reassigning time slots as per assigned priority.
(c) Data transmission is bursty and hence not continuous in time domain. This implies that a
subscriber transmitter can be turned off when not in use, thereby saving battery power.

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(d) A significant part of the voice call consists of quiet time, when neither the calling nor the
called subscriber is speaking. Special signal-processing techniques can be employed to fill the
quiet times with data or other voice calls. This leads to considerable improvement in the
channel efficiency.
(e) The hand-off process is much simpler for a mobile subscriber in a TDMA system due to
discontinuous transmissions. During idle time slots, the mobile subscriber can monitor the
signal levels from neighbouring base stations and inform the serving base station to assist in
hand-off decisions.
(f ) Duplexers are not required in the subscriber equipment since the system uses different time
slots for transmission and reception. A fast RF switch is sufficient to switch between transmitter
and receiver to use the common antenna.
(g) Synchronisation is essential and the guard time or time for synchronisation should be
minimum.
However, if the transmitted signal at the edges of a time slot is suppressed sharply in order to
shorten
the guard time, the resulting expanded spectrum will cause interference to adjacent channels.
(h) Large overheads (framing bits) are required because of discontinuous or bursty
transmission.
A substantial amount of signal processing is needed for matched filtering and correlation
detection for synchronising with a time slot.
(i) The effects of the nonlinearity are much reduced since only one RF carrier is present at any
time in the channel.
(j) The cell-site hardware can be significantly simplified because the same transmitter/receiver
pair is shared between multiple sessions.
(k) The TDMA system can accommodate the transmission of source-channel encoded digital
data alongside digitised speech.
(l) TDMA systems use power control to handle the near–far interference problem. Due to the
near–far interference problem, the received signal on the reverse channel from a subscriber
occupying a time slot can be much larger than the received power from the subscriber using
the adjacent time slot.
(m) Adaptive equalisation is usually necessary because the transmission data rates are usually
very high.
(n) High synchronisation overhead is required because the receivers need to be synchronised
for each data burst.
In addition, guard time slots are necessary to separate subscribers, and this result in larger
overheads.
The various advantages are listed below:
(a) TDMA systems transmit each signal with sufficient guard time between time slots. This
enables to accommodate the transmission time delay because of propagation distance,
predetermined delay spread, source time inaccuracies due to clock instability, and the tails of
signal pulses due to transient responses.
(b) There is a threefold to sixfold increase in the number of mobile subscribers using a single
carrier channel because of interleaving transmissions in the time domain. Digital compression
techniques are used to realise timesharing. It produces bit rates which may be approximately
one-tenth of the initial raw sample rate and about one-fifth of the initial sample rate after
inclusion of error detection/correction bits.
(c) With the use of more advanced digital-modulation schemes and signal-processing
techniques, digital signals are much easier to process than analog signals.
(d) Digital signals can be easily encrypted at the transmitting end and decrypted at the receiver
end, leading to safeguarding against eavesdropping.Facts to Know !

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(e) It is possible to monitor the signal strength and bit error rates frame-by-frame which enable
either subscribers or base stations to initiate and implement hand-offs.
(f ) A flexible bit rate, not only for multiples of basic single channel data rate but also
submultiples is allowed for low-bit-rate broadcast-type traffic application.
(g) The TDMA based cellular communication systems are interoperable and compatible with
other digital formats such as those used in computer networks.
(h) Digital systems inherently provide a quieter environment and offer better signal quality in
a mobile radio environment
8.3.2 A Basic TDMA Communication Link
It is required to use complicated signal-processing techniques to implement various functional
needs of TDMA systems efficiently. Some of these functions include source-coding and
channel-coding techniques, sophisticated timing and fast acquisition, operations for
synchronising, and for the efficient and reliable transmission of data over the wireless channel.
The fading is frequency selective which introduces intersymbol interference (ISI) because of
wider channel bandwidths along with an increased data transmission rate. To mitigate the ISI
problem, channel equalisation has to be provided. Passband modulation techniques are required
to be used for the transmission of digitised speech and data over a wireless channel. This
necessitates the use of synchronisation for the locally generated carrier frequency, carrier
phase, and symbol timing at the receiver. Fig. 8.14 shows the block diagram of a basic TDMA
link.

Fig. 8.14 Block diagram of a basic TDMA link

The speech signal input is first sampled to convert analog signal into equivalent digitised
speech signal. In order to remove redundant information, the digitised speech signal is encoded
without compromising the ability of the receiver to provide a high-quality reproduction of the
original signal. The channel encoder introduces controlled redundancy bits into the speech-
encoded signal to provide protection against channel noise. A wireless channel produces errors

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in the form of data bursts, mainly due to deep signal fades. To mitigate this particular channel
impairment, an interleaver is used for the purpose of pseudo-randomising the order of the
binary symbols in the channel-encoded signal in a deterministic manner.
The function of a packetize is to convert the encoded and interleaved sequence of digitised
speech data into successive packets. Each packet occupies a significant part of a basic TDMA
frame. Each frame also includes synchronisation bits in order to synchronise the timing
operations in the receiver with the corresponding ones in the transmitter. Knowing the estimate
of the channel impulse response, channel equalisation at the receiving end of the TDMA
communication link is made possible. The packetized speech data is then modulated onto a
sinusoidal carrier for transmission over the channel. The receiver side consists of a cascade of
several functional blocks in order to reverse the corresponding, operations performed by the
transmitter and the wireless channel. The digital demodulator converts the modulated received
RF signal into its baseband form without any loss of information. The baseband processor
operates on the resulting complex baseband signal to estimate the unknown channel impulse
response, and channel equalisation. The resulting output is then deinterleaved, channel
decoded, source decoded, and, low-pass filtered for final delivery of an estimate of the original
speech signal to the receiver output.

8.3.3 Frame Efficiency in a TDMA System

The frame efficiency of a TDMA system is defined as the number of bits representing digitised
speech, expressed as a percentage of the total number of bits including the control overhead
bits that are transmitted in a frame. For example, in a TDMA cellular system based on IS-136
standards, the forward channel contains 260 traffic data bits out of a total of 322 bits in a TDMA
frame (ignoring 2 bits used as reserved bits). The frame efficiency in this case is (260 / 322 ×
100 =) 80.7%.

8.4.5 Spread Spectrum and CDMA

Spread spectrum is a modulation technique that is quite tolerant of interference, and it forms
the basis for the access technique known as spread-spectrum multiple access or code-division
multiple access (CDMA). CDMA refers to a multiple access technique in which the individual
mobile subscribers occupy the complete spectrum whenever they transmit. Many mobile
subscribers can occupy the same spectrum at the same time.
The integration of different types of traffic such as voice, data, and video can be readily
accomplished in a CDMA environment, as subscribers do not require any specific coordination.
In principle, CDMA can accommodate various subscribers with different bandwidth
requirements, switching methods and technical characteristics. However, implementations of

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precise power control techniques are essential in the efficient operation of a CDMA system
because each subscriber signal contributes to the interference received by other subscribers.
CDMA is a form of spread spectrum modulation in which subscribers are allowed to use the
available spectrum, but their signal must be spread with a specific PN code to distinguish it
from other signals. In CDMA, all subscribers transmit information simultaneously by using the
same carrier frequency. Each subscriber has its own code word, which is orthogonal to code
words of other subscribers. To detect the information, the receiver should know the exact code
word used by the transmitter and perform a time correlation operation. All other code words
appears as noise due to de-correlation and power should be high to minimise this noise power
at the receiver end. In CDMA technique, one unique code is assigned to each subscriber and
distinct codes are used for different subscribers. This code is employed by a subscriber to mix
with each information bit before it is transmitted. The same code is used to decode these
encoded bits, and any mismatch in code interprets the received information as noise. The
CDMA technique utilises a wider frequency band for each subscriber. In a CDMA system,
different spread-spectrum codes are generated by the PN code generator and assigned to each
subscriber, and multiple subscribers share the same frequency, as shown in Fig. 8.18.

A basic structure of a CDMA system is shown in Fig. 8.19.

under the noise caused by many other mobile subscribers. The main concern in a CDMA
system is how many
active mobile subscribers can simultaneously use it before the system collapses!
A CDMA system is based on spectrum-spread technology by spreading the bandwidth of
modulated signal substantially, which makes it less susceptible to the noise and interference.
Resistance to fading can be achieved by the use of RAKE receiver concept because of its
broadband characteristics. It is quite apparent that using a wider bandwidth for a single
communication channel may be regarded as disadvantageous in terms of effective utilisation
of available spectrum. The received signals at the cell-site from a faraway mobile subscriber
could be masked by signals from a close-by mobile subscriber in the reverse channel due to the
near–far problem. However, by using automatic power control that enables to adjust the mobile
transmitting power enables the system to overcome the near–far problem, and achieve high
efficiency of frequency utilisation in a CDMA system.

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A CDMA system is usually quantified by the chip rate of the orthogonal PN codes, which is
defined as the number of bits changed per second. The orthogonality of the codes enables
simultaneous data transmission from many mobile subscribers using the complete frequency
band assigned for a cell-site. Each mobile receiver is provided the corresponding PN code so
that it can decode the data it is expected to receive. The encoding in the transmitter and the
corresponding decoding at the receiver make the system design robust but quite complex.

The three multiple access techniques, namely, FDMA, TDMA, and SSMA have increased
spectral efficiency by increasing reuse in frequency, time, and codes. The cell-site antennas are
assumed to be omnidirectional (or directional in sectorised cells). If the transmit and receive
antenna could be focused directly at the other end of the link, then this would provide a number
of improvements such as
• Reduction in the total transmitted power as all power would be transmitted in the desired
direction only
• Reduction in the amount of interference generated by each transmitter because total transmit
power is
reduced and localised
• Receiving a stronger signal by the receiver due to directional antenna gain and less
interference
All these features are part of the Space Division Multiple Access (SDMA) technique. Thus,
SDMA techniques
control the radiated energy for each subscriber in space by using directional or spot beam
antennas at the cell-site. The wireless communication space is omni-directional by nature. It
can be divided into spatially separable sectors. These different areas in space covered by the
respective antenna beam at the cell-site may
be served by the different frequencies in an FDMA system or same frequency in a TDMA and
SSMA system. This is possible by having a base station to use smart antennas, allowing many
subscribers to use the same frequency channel simultaneously. The communication
characterised by either carrier frequency, time slot, or spreading codes can be used as shown
in Fig. 8.23.

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The deployment of high-gain directional antenna at the cellsite in a particular direction results
in extension of communication range. The use of a smart antenna at the cell-site maximises the
antenna gain in the desired direction. It reduces the number of cells required to cover a given
geographical area. Moreover, such focused transmission reduces the interference from
undesired directions.

A simplified version of transmission using SDMA is illustrated in Fig. 8.24. The cell-site (CS)
forms different antenna beams for each spatially separable subscriber on the forward and
reverse channels, The noise and interference for each subscriber and the cell-site is minimised.

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This not only enhances the quality of the communication link significantly but also increases
the overall system capacity. Currently, SDMA technology is still being explored and its future
looks quite promising. In cellular systems, a few channels are broadcast by the cell-site on the
downlink to transmit system information, and a few channels are shared by all mobile
subscribers on the uplink. Almost all the traffic channels are point-to-point communication
links between a cell-site and a specific mobile subscriber. This simply can be considered as the
active communication link being highly directional in nature when in operation.

As an example, a 7-cell frequency reuse pattern cellular system is presented in Fig. 8.25, which
uses 3-sector directional antennas in each cell. This means that each directional antenna at the
cell-site covers one sector which is 120 of the cell. In the illustration, each cell-site requires
three non-overlapping directional antennas, each with a beamwidth of 120 .
Let there be N active mobile subscribers per cell at any time, Pt is the average power radiated
per mobile subscriber by the cell-site, and Gt is the transmitting antenna gain. In the downlink,
The power radiated on one of the sector antennas = (N/3) (Pt × Gt) (8.3)
It is implied that (Pt × Gt) must be the same whether the antenna is omnidirectional or
directional.
Consequently, the total power radiated with a sector antenna is one-third of that radiated by an
omnidirectional antenna. In other words, a mobile subscriber receives only one-third of the
interference that would be produced by omnidirectional cell-site antennas with the same
number of subscribers.
All mobile subscriber equipments use omnidirectional antennas in the uplink. Assuming
uniform distribution of mobile subscribers in the cell at any time, only one-third of them are in
any one sector. So the interference is reduced by two-thirds in the uplink direction as well.
Hence it can be stated that with 120 sector antennas at the cell-site, the number of subscribers
can be increased three times relative to the omnidirectional antenna case while maintaining the
same interference levels.

8.5.1 Advantages of SDMA approach

(a) It can be applied with FDMA, TDMA, or CDMA.
(b) It allows many subscribers to operate on the same frequency and/or time slot in the same
cell.

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(c) It leads to more number of subscribers within the same allocated frequency spectrum with
enhanced
user capacity.
(d) This technology can be applied at the cell-site without affecting the mobile subscriber.
When subscriber density grows beyond the capacity of a single cell in conventional cell-sites
using omnidirectional antennas, the growth is accommodated by dividing the initial larger cell
into a number of smaller cells in a process known as cell splitting. Power control is used to
reduce the interference among these smaller cells. Although sector antennas are more
expensive than omnidirectional antennas, it is still more economical to add sector antennas than
adding new cell-sites.
The reverse link (uplink) in a cellular communication system presents the various challenges
for several reasons. First, the base station has complete control over the power of all the
transmitted signals on the forward link. However, the transmitted power from each mobile unit
must be dynamically controlled to prevent any single subscriber from increasing the
interference level for all other subscribers because of different radio propagation paths between
the base station and each mobile subscriber. Second, transmit power at the mobile unit is
limited by battery consumption, which poses limits on the extent to which power may be
controlled on the reverse link. The reverse link for each subscriber can be improved with lesser
power requirement if the base station antenna is made to spatially filter each desired mobile
subscriber so that more energy is detected from each mobile subscriber as in the SDMA system.
Some of the problems on the reverse link can be resolved by using adaptive antennas at the
base station and eventually at the subscriber units. Adaptive antennas implement optimal
SDMA in the limiting case of infinitesimal beamwidth and infinitely fast tracking ability,
thereby providing a unique channel that is free from the interference of all other subscribers
in the cell. This enables all the subscribers within the system to communicate using the same
channel at the same time. In addition, a perfect adaptive antenna system would be able to track
individual multipath components for each subscriber and combine them in an efficient manner
to gather all the available signal energy from each subscriber.

8.5.2 SDMA and Smart Antennas

SDMA technique basically takes advantage of the directional nature of wireless

communications and relies on the deployment of smart antennas at the cell-site. Some examples
of smart antennas are given below:
– The simplest example of a smart antenna is the use of sector antennas at the cell-site. The
sectored antenna arrangement provides significant capacity gains simply by dividing the
service area of each cell-site into three (or more) angular sections.
– Switched-beam antennas are the next evolution of smart antennas. These antennas have a
number of fixed beams that cover 360°. Switched-beam antennas are typically narrower than
sector antennas. The mobile receiver selects the beam that provides the best signal level and
interference reduction. Adaptive antennas are the most advanced example of smart antennas.
Adaptive antennas provide a dedicated beam for each subscriber. These antenna dynamically
adjusts its sequence to minimise the effects of noise, interference, and multipath.
The development of such smart antennas could allow even greater reuse of the radio spectrum.
The bscribers which are spatially separated by virtue of their angular directions in the cell
forms the basis of SDMA. This results into significant improvements in spectral efficiency.
Different subscribers are able to reuse the same radio spectrum as long as they are separated in
angle. In particular, multibeam antennas are used to separate radio signals by pointing them
along different directions of the subscribers.
There are many advantages to smart antennas for cellular mobile applications:

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(a) Greater Range Since the antennas are directional, they have larger gains and can therefore
provide stronger
received signal strength for the same transmit power.
(b) Fewer Cell Sites Fewer cell-sites are required in those geographical areas with a low
subscriber density
because the existing cell-site has a greater range. In areas with a high subscriber density, there
is less interference.
Moreover smart antennas provide greater subscriber isolation. Hence, a single cell-site can
serve more
number of subscribers.
(c) Better Signal Penetration Due to the greater signal strength and increased transmitter gain,
signal penetration
through building structure is better.
(d) Less Sensitivity to Power Control Errors Due to better isolation among different subscriber
signals, probability
of power control errors reduces considerably.
(e) Responsive to Hot Spots Traffic Conditions In strategic application areas such as airports,
hotels and conference centres, subscriber densities can become quite high at times, and
directional antennas allow one or a small number of cell-sites to service these areas effectively.

8.6 HYBRID MULTIPLE ACCESS TECHNIQUES

Practical cellular communication systems deploy usually a combination of two or more of the
basic multiple access techniques: FDMA, TDMA, CDMA, and SDMA. The main objective of
hybrid multiple access approach is to provide a reasonable subscriber growth strategy, thereby
reducing the network complexity as the hybrid technique remains backward compatible with
the existing system. Although one approach may have a significant technical advantage over
another, there may be other factors such as economic considerations that prevent the use of the
basic multiple access technique in isolation. Various hybrid multiple access techniques which
are in use in different wireless systems are the following

8.6.1 Hybrid TDMA/FDMA

In practical wireless communication systems, TDMA is generally implemented in an overlaid
fashion on FDMA technique. Every wireless communication system has an FDMA technique
as baseline, and multiple- access schemes such as TDMA are overlaid on this baseline. The
North American IS-54 digital cellular system is an example of such a system, which is also
called Narrowband TDMA system. The number of frequency channels is typically large but
the number of subscribers time-sharing a single channel is relatively small, of the order of 30
kHz or less. GSM digital cellular system combines TDMA with FDMA as well as frequency
hopping (optional).Accordingly, a physical channel is partitioned in both frequency and time.
The carrier channel is divided in 8 time slots and each carrier channel supports eight
simultaneous physical channels mapped onto the eight time slots. A time slot assigned to a
particular physical channel is naturally used in every TDMA frame till the channel is engaged
by a subscriber. Combined with a frequency-hopping algorithm, partitioning of the channel in
frequency arises because the carrier assigned to such a time slot changes its frequency from
one frame to the next.
In hybrid TDMA/FDMA technique, the allocated RF spectrum is divided into a number of
frequency channels, each of defined channel bandwidth, thereby enabling FDMA operation,
followed by dividing each carrier channel into a number of defined time slots in time domain,
leading to TDMA/FDMA operation.

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Figure 8.26 shows a generalised view of FDMA/TDMA technique used in 2G digital cellular
communication systems. Forward and reverse channels are separated in the frequency domain
to enable FDD operation.

Problem :

8.6.2 Hybrid TDMA/DSMA

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In a hybrid time division direct sequence multiple access (TDMA/DSMA) technique, each cell
is using a different spreading code (DSMA employed between cells) that is conveyed to the
mobile subscribers operating in its coverage area. Inside each cell (inside a DSMA channel),
TDMA is employed to multiplex multiple mobile subscribers. A particular time slot in a TDMA
frame is allocated to one mobile subscriber per cell. This implies that only one mobile
subscriber transmits in each cell at any time. This results in significant reduction of near–far
effect. During the hand-off process from one cell to another cell or from one sector to another
sector of the same cell, it is the spreading code of the mobile subscriber which changes while
retaining the same allocated time slot of TDMA frame for maintaining the communication link.

Hybrid TDMA/FHMA
In TDMA-based wireless communication systems, if the cochannel interference is excessive
or the occupied
channel coincides with a deep frequency selective fading, the received voice signal is distorted.
One of the practical methods to minimise the excessive cochannel interference or reduce the
duration of
the frequency selective fades is to provide for a slow frequency-hopping sequence that imposes
a restriction on the cochannel interference effects or duration of the frequency selective fading.
This is termed the TDMA/FHMA technique. This is widely employed in severe cochannel
interference and multi-path environments. In the hybrid TDMA/FHMA technique, the mobile
subscriber can hop to a new frequency at the beginning of every TDMA frame. At each time
slot, the mobile subscriber is hopped to a new frequency according to a pseudorandom hopping
sequence. Each successive TDMA frame in a given channel is carried on a different carrier
frequency. Usually, the hopping sequence is predefined and the mobile subscriber is allowed
to hop only on certain assigned frequencies to a cell. The hybrid TDMA/FHMA technique is
employed optionally in the GSM cellular system that supports a frequency-hopping pattern of
217.6 hops per second. This results into an increase in the system capacity by several times in
addition to improvement in the signal quality performance. In the case of slowly moving mobile
subscribers such as pedestrians, the frequency-hopping algorithm built into the design of
TDMA-based GSM system produces substantial gains against fades. The hybrid
TDMA/FHMA technique is also used in piconets over a 79 MHz wideband radio channel at a
hop rate of 1600 hops per second in Bluetooth technology.

8.6.4 Hybrid DSMA/FHMA

There are two basic types of spread-spectrum implementation methodologies: direct sequence
(DS) and frequency hopping (FH). A hybrid direct sequence/frequency hopped multiple access
(DS/FHMA) technique combines the advantages of both techniques. With direct-sequence
spreading, the original signal is multiplied by a known code signal sequence of much larger
bandwidth. The direct sequence technique is considered the most feasible generic method in
wireless communication systems when the code is selected and assigned dynamically to each
mobile subscriber. With frequency-hopped spreading, the centre frequency of the transmitted
signal is varied in a pseudorandom sequence. Practically, it is difficult to use the frequency
hopping unless a super-fast frequency synthesiser is used. In the hybrid DSMA/FHMA
technique, the signals are spread using spreading codes (direct sequence signals are obtained),
but these signals are not transmitted over a constant carrier frequency; they are transmitted over
a frequency-hopping carrier frequency. The centre frequency of a direct sequence modulated
signal is made to hop periodically in a pseudorandom manner. In this technique, there is always
possibility of transmitting the same data burst in more than one frequency-hopped channels,

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thereby improving the signal quality performance in a hostile mobile environment. The near–
far effect can be avoided but it is difficult to achieve soft hand-off because the FH base station
receivers are required to be synchronised to the multiple hopped signals.

8.6.5 Hybrid FDMA/DSMA

In the hybrid FDMA/DSMA technique, the available wideband frequency spectrum is divided
into a number of narrowband radio channels. Each one of these narrowband channel DSMA
system has processing gain which is much lower than the original wideband DSMA system.
Depending on the requirements of various mobile subscribers, different narrowband channels
can be assigned to each one of these. The overall system capacity of the hybrid FDMA/DSMA
technique remains the same as that of the original DSMA system.

8.6.6 Hybrid SDMA with FDMA/TDMA/CDMA

SDMA is generally used in conjunction with other multiple access schemes as there can be
more than one subscriber in one antenna beam in any one direction. When SDMA is used with
FDMA as well as TDMA (SDMA/ FDMA/TDMA), the higher carrier-to-interference value
can be exploited for better frequency channel reuse. When SDMA is used with TDMA as well
as DSMA (SDMA/TDMA/DSMA), different service areas can be covered by the individual
antenna beam, thereby providing a similar effect as obtained by frequency reuse.
However, this requires more network resources for proper management because there will be
more intra-cell hand-offs needed in SDMA approach as compared to TDMA or DSMA systems
alone.

MULTICARRIER MULTIPLE ACCESS SCHEMES OFDMA

Orthogonal Frequency-Division Multiple Access (OFDMA) is a multi-user version of the

Orthogonal Frequency-Division Multiplexing (OFDM) digital-modulation scheme. This is
similar to FDM in concept.
However, in the case of OFDM, all of the sub-channels are dedicated to a single data source.
The OFDM scheme uses advanced digital signal-processing techniques to distribute the data
over multiple carriers at precise frequencies. The precise relationship among the subcarriers is
referred to as orthogonality. This means that the peaks of the power spectral density of each
subcarrier occur at a point at which the power of other subcarriers is zero. With OFDM, the
subcarriers can be packed tightly together because there is minimal interference between
adjacent subcarriers.

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Fig. 8.32 illustrates the concept of OFDM.

Let there be a data stream operating at R bps and an available bandwidth of (N × b), where N
is an integer related to the number of subcarriers, and b is the base frequency, centered at 0.
The entire bandwidth could be used to send the data stream, in which case each bit duration
would be 1/R. The alternative is to split the data stream into N substreams, using a serial-to-
parallel converter. Each substream has a data rate of R/N bps and is transmitted on a separate
subcarrier, with a spacing between adjacent subcarriers of b. Now the bit duration is N/R. The
base frequency, b is the lowest-frequency subcarrier. All of the other subcarriers are integer
multiples of the base frequency, namely 2 b, 3 b, and so on.
For transmission, the set of OFDM subcarriers is further modulated to a higher frequency band.
A digital modulation scheme used with OFDM is Quadrature Phase Shift Keying (QPSK). In
this case, each transmitted symbol represents two bits. To minimise ISI, data are transmitted in
bursts, with each burst consisting of a cyclic prefix followed by data symbols. The cyclic prefix
is used to absorb transients from previous bursts caused by multipath. The resulting waveform
created by the combined multipath signals is not a function of any sample from the previous
burst.
OFDM has several advantages. First, frequency-selective fading affects some subchannels only
and not the complete signal. If the data stream is protected by a forward error-correcting code,
the impact of frequency selective fading can be minimised. Moreover, OFDM overcomes
intersymbol interference in a multipath environment. ISI has a greater impact at higher data
rates because the time duration between symbols is smaller. With OFDM, the data rate is
reduced by a factor of N, which increases the symbol period by a factor of N. Thus, if the
symbol period is T for the data source stream, the period for the OFDM signals is N × T. This
reduces the effect of ISI. Usually, N is chosen so that N × T is much greater than the root-

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mean-square delay spread of the wireless fading channel. As a result of these design
considerations, it may not be necessary to include equalisers with the use of OFDM.
Multiple access in OFDMA is achieved by assigning subsets of subcarriers to individual users,
thus allowing simultaneous low-data-rate transmission from several users as well as to support
differentiated Quality of Service (QoS), that is, to control the data rate and error probability
individually for each user.
Based on feedback information about the channel conditions, adaptive user-to-subcarrier
assignment can be achieved. By employing a sufficiently fast assignment, a significant
improvement in robustness to fast fading and narrow-band cochannel interference can be
obtained. This makes OFDMA scheme achieve even better system spectral efficiency.

SC-FDMA

Single-carrier FDMA (SC-FDMA) is a frequency-division multiple access scheme. SC-FDMA

is a new multiple access technique, which utilises single-carrier modulation, DFT-spread
orthogonal frequency multiplexing, and frequency domain equalisation. It has similar structure
and performance to OFDMA. SC-FDMA is currently adopted as the uplink multiple access
scheme in 3GPP, and a variant of SC-FDMA using code spreading is used in 3GPP2 uplink.
IEEE 802.16 is also considering it for uplink.
SC-FDMA can be viewed as a linearly precoded OFDMA scheme (LP-OFDMA). It can also
be viewed as a single-carrier multiple access scheme. In fact, it is a multi-user version of the
Single-Carrier Frequency- Domain Equalisation (SC-FDE) modulation scheme. Single Carrier
FDMA (SC-FDMA) is an extension of SC-FDE to accommodate multiple-user access. SC-
FDMA is also regarded as DFT-precoded or DFT-spread OFDMA. The main advantage of SC-
FDE and SC-FDMA/LP-OFDMA signals over conventional OFDM and OFDMA signals
is that they have lower peak-to-average power ratio (PAPR) because of its inherent single
carrier structure.
In SC-FDMA, guard intervals with cyclic repetition are introduced between blocks of symbols
in view to efficiently eliminate time spreading (caused by multi-path propagation) among the
blocks, similar to that available in OFDM. In OFDM, inverse FFT (IFFT) on the transmitter
side, and Fast Fourier Transform (FFT) is applied on the receiver side on each block of
symbols. In SC-FDE, both FFT and IFFT are applied on
the receiver side, but not on the transmitter side, whereas in SC-FDMA, both FFT and IFFT
are applied on the transmitter side as well as on the receiver side.
In SC-FDMA, multiple access is made possible by inserting silent Fourier-coefficients on the
transmitter side before the IFFT, and removing them on the receiver side before the IFFT.
Different users are assigned to different Fourier-coefficients (sub-carriers).
In SC-FDMA, equalisation is achieved on the receiver side after the FFT calculation, by
multiplying each Fourier coefficient by a complex number. This operation is identical to that
of in OFDM as well as SC-FDE. Thus, it is more capable of combating frequency-selective
fading and phase distortion. One of the main advantages is that frequency domain equalisation
and FFT requires less computation power than conventional time-domain equalisation.

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Fig. 8.33 depicts the pictorial representation of the relationship among SC-FDMA, OFDMA, and
DS-CDMA/FDE.
In terms of bandwidth expansion, SC-FDMA is very similar to the DS-CDMA system using
orthogonal
spreading codes. Both spread narrowband data into broader band. Time symbols are
compressed into chips after modulation, and spreading gain (processing gain) is achieved. SC-
FDE or SC-FDMA delivers performance
similar to OFDM with essentially the same overall complexity, even for long channel delay. It
has advantage
over OFDM in terms of low PAPR, robustness to spectral null, and less sensitivity to carrier
frequency offset.
Its disadvantage to OFDM is that channel-adaptive subcarrier bit and power loading is not
possible.

8.10.3 MC-CDMA

The Multi-Carrier Code Division Multiple Access (MC-CDMA) scheme is a combination of

OFDM and
DS-CDMA. MC-CDMA shows high envelope power fluctuation as in OFDM. For an N-
subcarrier system,
the peak power becomes N times the average power in the worst case and the signal is distorted
in the RF
power amplifiers, yielding spurious power emission. To reduce the distortion, the operating
point in the
amplifiers can be backed off, but this may lead to inefficient power usage.

MC-CDMA maintains the original signaling interval while it spreads the signal over wide
bandwidth like
DS-CDMA. To transmit 1 Mbps data with the processing gain of 20 dB, the chip rate required
in DS-CDMA
is 100 Mcps, which necessitates four times faster internal digital front-end processor or at least
a 100-MHz analogue matched filter. This requirement can be easily achieved by using multi-

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code assignment for high-speed data rate but at the cost of reduced user capacity. Small delay
spread and small Doppler spread enable the MC-CDMA scheme to work efficiently.

Small delay spread reduces the guard interval in MC-CDMA and makes it power efficient.
MC-CDMA is sensitive to frequency offset and small Doppler spread is preferred. The
difference in the arrival times of multipath signals in indoor wireless environment is typically
much less than 1 μs.
The multipath resolvability is proportional to the user chip rate. To make the rake receivers
work properly, the
chip rate should be much faster than 1 Mcps even when there is no need for high data rate
service. In such a
situation, the MC-CDMA scheme is a viable alternative.

When there is a deep frequency-selective fading, OFDM loses the corresponding data on
corrupted subcarriers.As MC-CDMA spreads an information bit over many subcarriers, it can
make use of information
contained in some subcarriers to recover the original symbol. MC-CDMA gathers nearly all
the scattered
powers effectively using the cyclic prefix insertion technique. As the received signals are
sampled at the
original symbol rate in MC-CDMA, the sampling points may not be optimum. In general, the
performance of
MC-CDMA is equivalent to the m-finger rake receiver in DS-CDMA, where m is the number
of symbols in
cyclic prefix of MC-CDMA. Various types of frequency domain equalisers are used for MC-
CDMA which
perform better than rake receivers used for DS-CDMA.

8.10.4 MC-DS-CDMA

The Multi-Carrier Direct Sequence Code Division Multiple Access (MC-DS-CDMA) scheme
is a combination
of time-domain spreading and Orthogonal Frequency Division Multiplexing (OFDM), while
Multi-Carrier Code Division Multiple Access (MC-CDMA) is a combination of frequency-
domain using Frequency-Domain Equalisation (FDE), since the frequency diversity gain is
obtained. On the other hand, conventional MC-DS-CDMA cannot obtain the frequency
diversity gain. However, MC-DS-CDMA can obtain the frequency diversity gain by applying
a Frequency Domain Equaliser (FDE) to a block of a number of OFDM symbols. For
broadband multi-path channels, conventional time domain equalisers are impractical because
of complexity, very long channel impulse response in the time domain, and prohibitively large
tap size for the time-domain filter. On the other hand, using Discrete Fourier Transform (DFT),
equalisation can be done in the frequency domain. Because the DFT size does not grow linearly
with the length of the channel response, the complexity of FDE is lower than that of the
equivalent time-domain equaliser for a broadband channel. Most of the time-domain
equalisation techniques such as MMSE equaliser, DFE, and turbo equaliser can be
implemented in the frequency domain.
Fig. 8.33 Relationship among SC-FDMA, OFDMA, and DS-CDMA/FDE

9.2.2 Main Parts of a Basic Cellular System

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A basic cellular system consists of mainly three parts: Cell-Site Equipment (CSE), Mobile
Telephone
Switching Office (MTSO), and Mobile Subscriber Unit (MSU) as shown in Fig. 9.2. There is
an air interface between the MSU and CSE. The interconnectivity between the CSE and
MTSO,MTSOs, and the MTSO and PSTN is through wirelines or dedicated point-to-point
microwave links. Cell-Site Equipment (CSE) A cell-site is a fixed base station used for wireless
communication with a mobile subscriber on one side as well as signaling/data communication
with the MTSO on the other side. It is usually located at the centre or the edge of the coverage
region of a cell. A cell-site consists of a number of transreceivers, Tx/Rx antennas mounted on
a tall tower, data links, and power plant. The radio transmitting equipment operates at
considerably higher RF power than do the mobile equipments. Tx power is shared among all
the channels that are used at the cell-site. Similarly, there are as many receivers for each control
and voice channel in use at the cell-site, as well as additional receivers for monitoring the signal
strength of mobile subscribers in adjacent cells.
Cell-site equipment basically comprises of two main parts––cell-site transceiver and cell-site
controller.
There may be adequate number of transceiver modules at the cell-site equipment in order to
meet the subscriber capacity requirement within a cell. Data links are used to carry multiple-
channel data from the cell-site to the MTSO. The transmission data rate on data links vary from
10 kbps to several Mbps. Many data-link
channels can be multiplexed and passed through a wideband T-carrier (or E-carrier) wireline
or a point-to-point microwave radio link operating at 850 MHz or higher frequency.
Radio transceivers are part of the cell-site equipment. The radio transceivers meant for voice
channels
can be either narrowband FM for analog systems or QAM/PSK modulation for digital systems
with an effective audio-frequency band (approximately 300 Hz to 3000 Hz) comparable to a
standard telephone circuit. The control channels use either FSK or PSK modulation scheme.
The cell-site controller operates under the control of the central switching centre MSC or
MTSO. The cell-site controller manages each

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of the radio channels at each cell-site, turns the radio transmitter and receiver on and off,
transfers data onto the control and voice channels, monitors calls, and performs built-in
diagnostic tests on the cell-site equipment.
The issues affecting the cellular system design in selection of cell-site antennas include antenna
pattern, antenna gain, antenna tilting, and antenna height. The antenna radiation pattern can be
omnidirectional, directional, or any other shape in both the horizontal and vertical planes. The
antenna-radiation patterns are different as viewed in the cellular mobile operating environment
from the antenna-radiation patterns as viewed in free space. Antenna gain compensates for the
transmitted power. Antenna tilting can reduce the interference to the neighbouring cells and
enhance the weak signal spots in the radio coverage of the cells. The height of the cell-site
antenna can affect the area and shape of the coverage pattern in the cellular
system.
Mobile Telephone Switching Office (MTSO) It is the central coordinating element for all the
cell-sites connected to it. It comprises of the switch and the processor. It also interfaces with
the Public Switch Telephone Network (PSTN), controls call processing and handles billing
activities. It uses voice trunks as well as data links between the cell-sites and the central
processor. Microwave radio links or T-carriers (wirelines) carry both voice and data between
the cell-site and the MTSO because the high-speed data link cannot be transmitted over the
standard telephone trunks. The capacity of switching equipment in cellular systems is not based
on the number of switch ports but on the capacity of the processor associated with the switches.
The processor should be as large as possible. Also, it is important to consider when the
switching equipment would reach the maximum capacity. It determines the service life of the
switching equipment. More control modules can be added to increase the system capacity.
Switching equipment can be linked to other switching equipments for better utilisation of hand-
off.
The electronic switching centre located in the MTSO or MSC is a sort of digital telephone
exchange that becomes the heart of a cellular telephone system. Electronic switches
communicate with cell-site controllers using a data-link protocol, such as X.25, at a
transmission rate of 9.6 kbps or higher. The electronic switching centre performs two essential
functions:
– It controls switching between the public landline telephone network and the cell-site base
stations for landline-to-mobile, mobile-to-landline, and mobile-to-mobile calls.
– It processes data received from the cell-site controllers concerning mobile subscriber status,
diagnostic data, and bill-compiling information.
Mobile Subscriber Unit (MSU) Basically, a mobile subscriber unit comprises of a single
antenna, transreceiver, and microprocessor-based control circuit. Because the cellular system
is full duplex, the transmitter and receiver must operate simultaneously with a single antenna.
A duplexer is used to separate the transmit and receive signals. The 45-MHz band separation
between transmit and receive frequencies makes the operation relatively easy, and simplifies
frequency synthesiser design.
For example, GSM mobile subscriber comprises of two parts––the mobile equipment (ME)
and an electronic smart card called a subscriber identity module (SIM). The ME is the hardware
used by the subscriber to access the cellular network. The SIM is a card, which plugs into the
ME. This card identifies the MS subscriber and also provides other information regarding the
service that the subscriber should
receive.
Facts to Know
Each mobile subscriber consists of a mobile antenna, a multiple-frequency radio transceiver,
and a control/logic unit. The transceiver uses a frequency synthesiser to tune into any
designated cellular system channel. The control unit houses all the user interfaces, including a

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built-in handset or earphone or external microphone/speaker arrangement. The logic unit

interrupts subscriber actions and system commands while managing the operation of the
transceiver including transmit power.

Voice calls over cellular communication networks require two full-duplex radio-frequency
channels simultaneously. Two types of channels are available between the mobile subscriber
and the base station: control channels and traffic channels. Control channels are used to
exchange information concerning initiating and maintaining calls and with establishing of a
relationship between a mobile subscriber and the nearest base station. The control channel is
also used for transferring control and diagnostic information between mobile subscribers
and a central cellular switch through a cell-site. Traffic channels carry a voice or data
connection between subscribers.
The traffic channel is the actual voice channel where calling mobile subscribers communicate
directly with other called mobile subscribers and landline telephone subscribers through the
cell-site and MTSO. Base stations transmit on the forward control channel and forward voice
channel and receive on the reverse control channel and reverse voice channel. Similarly, mobile
subscribers transmit on the reverse control channel and reverse voice channel and receive on
the forward control channel and forward voice channel. Establishment of a voice call within a
cellular communication system is similar to completing a telephone voice call using the
landline PSTN. The use of a cellular system is fully automated and requires no action on the
part of the mobile subscriber other than placing or answering a call. When a mobile subscriber
is first turned on, it performs a series of start-up procedures and then samples the received
signal strength on all control channels. The mobile subscriber automatically gets tuned to the
control channel with the strongest received signal strength level and synchronises to the control
data transmitted by the cell-site controller. The mobile subscriber interprets the data and
continues monitoring the control channel(s). The mobile subscriber automatically rescans the
control channels periodically to ensure that it is using the best control channel.
From a subscriber’s point of view, the operation can be divided into four parts and a hand-off
procedure.
– Mobile-unit initialisation or registration
– Mobile-originated calls
– Network-originated calls
– Call termination
– Hand-off procedure

9.3.1 Mobile-Unit Initialisation or Registration

Immediately after the mobile subscriber is switched on, it first scans the group of forward
control channels and
selects the strongest one, which usually belongs to the nearest cell-site. It then continuously
monitors that control channel until its received signal level drops below the pre-defined
threshold received level. In case the signal strength of the control channel becomes weak, the
mobile subscriber again begins scanning of the forward control channels in search of the
strongest signal. This self-location scheme is subscriber-independent. After pre-determined
time, this procedure is repeated to update the availability status of the forward control channel.
Cells assigned with different frequency bands broadcast on different forward control channels
repetitively. The mobile subscriber gets registered itself with the cell-site as being active and
this process is repeated periodically. The MTSO can then track the location of the desired
mobile subscriber by paging it on the forward control channel. For any cellular system, the
total number of allocated channels is divided into control channels and voice traffic channels.

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About 5% of the total number of channels available in the system are defined as control
channels and standardised over the entire geographic area covered. The remaining 95% of the
total number of channels are dedicated to voice and data traffic for the mobile subscribers.
Since the control channels are standardised and are identical throughout different service areas
within a large geographic service area for a particular cellular operator, every mobile subscriber
phone scans the same set of control channels.

A very important aspect for successful operation of numerous system functions in the cellular
system is that
each and every mobile subscriber units must be registered at one of the MTSOs or MSCs. This
is maintained for authentication and identity verification, access privileges, and also for billing
purposes. Moreover, the cellular system needs to know whether the MSU is currently located
in its own home service area or is visiting some other service area. This enables incoming calls
meant for roaming mobile subscribers to be routed to an appropriate cell location and assures
desirable support for outgoing calls.

CSEs periodically broadcast control signals to determine and test nearby MSUs. This is done
by exchangingsignals known as handshake signals between the CSE and the MSU. Each MSU
listens for broadcast control signals transmitted by CSEs. Some of the information contained
in the broadcast forward control signals includes cellular network identifier, timestamp, ID
(identification) of the paging area, gateway MSC address, and other system parameters of the
CSE. If the MSU listens to a broadcast forward control signal from the new CSE, it updates its
information database. The MSU uses this information to locate the nearest CSE and establish
an appropriate communication link with the cellular system through the nearest operational
CSE as a gateway.

9.3.2 Mobile-Originated Calls

When a mobile subscriber originates a call, a call initiation request is sent on the reverse control
channel. The mobile subscriber enters the called subscriber number on its mobile equipment
and presses the send button. A request for service is sent on an available reverse control
channel. With this request, the mobile subscriber transmits its own telephone number,
electronic serial number of the mobile equipment, station class mark which indicates what the
maximum transmitter power level is for the calling subscriber, and the called subscriber
number (of another mobile subscriber or landline telephone subscriber). The nearest cell-site
receives this complete data on the reverse control channel and sends a request to the MTSO for
allocation of required resources to establish the voice communication link between the calling
mobile subscriber and the desired called subscriber. The MTSO validates this call request.
After authentication, the MTSO directs a cell-site to assign an available forward voice channel
for the call. The MTSO also connects the called mobile subscriber or makes a connection to
the called landline subscriber through the PSTN. The MTSO also instructs the cellsite and the
calling mobile subscriber to shift to an unused forward and reverse voice channel pair to allow
the conversation to begin. Figure 9.3 depicts the call processing using various parts of a cellular
system.
Within a cellular communication system, the following types of mobile-originated calls can
take place involving mobile cellular subscribers originating calls:
– Mobile (cellular)-to-landline (PSTN) call
– Mobile (cellular)-to-mobile (cellular) within the same cell
– Mobile (cellular)-to-mobile (cellular) operating in different cells

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Facts to Know !
A general description for the sequence of events involved with connecting a call initiated by a
mobile subscriber in a cellular system is briefly described here.

Mobile (Cellular)-to-Landline (PSTN) Call Procedures

Step 1. Calls from mobile subscribers to landline telephone subscribers can be initiated by
entering the landline
telephone number into the mobile unit’s keypad. The mobile subscriber then presses a send
key, which
transmits the called landline telephone number as well as the mobile unit’s identification
number (MIN), ESN
and Station Class Mark over a reverse control channel to the base station.

Step 2. The base station receives a call-initiation request along with the MIN, ESN, and Station
Class Mark.
If the calling mobile unit’s ID number is valid, the cell-site controller routes the called landline
telephone
number over a wireline trunk circuit to the MTSO.

Step 3. The MTSO uses either standard call progress signals or the SS7 signaling protocol
network to locate a
switching path through the PSTN to the called landline telephone subscriber.

Step 4. Using the cell-site controller, the MTSO assigns the calling mobile subscriber an
available traffic or
voice channel and instructs the mobile subscriber to get tuned to that channel.

Step 5. After the cell-site controller receives verification that the mobile subscriber has tuned
to the selected
voice channel and it has been determined that the called landline telephone number is not busy,
the mobile
subscriber receives an audible call progress tone (ring-back) while the landline telephone caller
receives a
standard ringing tone.

Step 6. If a suitable switching path is available to the landline telephone number, the call is
completed when
the landline party answers the incoming call on its telephone.

Mobile (Cellular)-to-Mobile (Cellular) Call Procedures

Step 1. The originating mobile subscriber initiates the call in the same manner as it would do
for a mobile-to landline call.
Step 2. The cell-site controller receives the caller’s identification number and the destination
telephone
number through a reverse control channel, which are then forwarded to the MTSO.
Step 3. The MTSO sends a page command to all cell-site controllers to locate the called mobile
subscriber
(which may be anywhere within or out of the service area).

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Step 4. Once the called mobile subscriber is located, the destination cell-site controller sends a
page request
through a forward control channel to the called mobile subscriber to determine if it is on and
not busy.
Step 5. After receiving a positive response to the page, the available free traffic channels are
assigned to both
the calling and called mobile subscribers.

Fig. 9.3 Call processing in a cellular system

Step 6. Call-progress tones are given to both the calling and called mobile subscribers (ring-
back and
ringtones respectively).
Step 7. When the MTSO receives a response that the called mobile subscriber has answered
the incoming
call, the call-progress tones are terminated, and the conversation begins.
Step 8. If a mobile subscriber wishes to initiate a call and all traffic channels are busy, the
MTSO sends a directed retry command, instructing the calling mobile subscriber’s unit to
reattempt the call through a neighbouring cell.
Step 9. If the MTSO cannot allocate traffic channels through a neighbouring cell, it sends an
intercept
message to the calling mobile subscriber over the forward control channel. During the mobile-
initiated call
stage, if all the traffic channels assigned to the nearest cell-site are busy, then the mobile
subscriber makes a
preconfigured number of repeated attempts. After a certain number of failed attempts, a busy
tone is returned to the calling mobile subscriber. This situation is termed as call blocking.
Step 10. If the called mobile subscriber is busy, the calling mobile subscriber receives a busy
signal.
Step 11. If the called mobile number is invalid, the calling mobile subscriber receives a
recorded message
announcing that the call cannot be processed by the network.
9.3.3 Network-Originated Calls
When a telephone call is placed by a landline telephone subscriber to a mobile subscriber, the
MTSO dispatches the request to all cell-sites in the cellular system, or it sends a paging message
to certain cell-sites based on the called mobile subscriber number and search algorithm. Each
cell-site transmits the page on its forward control channel. The called subscriber’s mobile

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phone number is then broadcast as a paging message over all of the forward control channels
throughout the cellular system. The mobile receives the paging message sent by the base station
which it monitors, and responds by identifying itself over the reverse control channel. It also
locks on to the assigned voice channel and initiates a subscriber alert tone.
The cell-site relays back the acknowledgment signal sent by the called mobile subscriber and
informs the MTSO of the successful handshake. At this point, an alert message is transmitted
to instruct the called mobile subscriber to ring, thereby instructing the mobile subscriber to
answer the incoming call. Then, the MTSO instructs the cell-site to move the call to the
available free forward and reverse voice channel pair.

The step-by-step procedure given below shows the sequence of events involved for landline
(PSTN)-to-mobile (cellular) call in a cellular telephone system. All of these events occur within
a few seconds and are not noticeable by the subscriber.
Step 1. The landline telephone goes off hook to complete the wireline loop, receives a dial tone
from PSTN,
and then inputs the mobile subscriber’s phone number.
Step 2. The mobile phone number is transferred from the PSTN switch to the cellular network
switch
(MTSO) that services the called mobile subscriber.
Step 3. The cellular network MTSO translates the received digits, and locates the cell-sites
nearest the called
mobile subscriber, which determines if the mobile subscriber is on and ready to receive the
incoming call. It
sends the requested mobile phone number to the cell-sites.
Step 4. The base station transmits the page containing mobile subscriber phone number on
forward control
channel.
Step 5. The called mobile subscriber receives the page signal and matches the received mobile
subscriber
phone number with its own mobile phone number, assuming that the called mobile subscriber
is available.
Step 6. The called mobile subscriber acknowledges back the receipt of the mobile subscriber
phone number
and sends a positive page response including its ESN and Station Class Mark on the reverse
control channel
to the cell-site for forwarding it to the MTSO.
A Basic Cellular System 311
Step 7. The cell-site receives the mobile subscriber phone number, ESN, and Station Class
Mark and passes
the information to the MTSO.
Step 8. The MTSO verifies that the called mobile has a valid mobile subscriber phone number
and ESN
pair.
Step 9. The MTSO requests the cell-site controller to move the called mobile to the available
pair of forward
and reverse voice channels.
Step 10. The cell-site controller assigns an idle voice channel for the called mobile subscriber
and the cell-site
transmits the data message on the forward control channel for the called mobile subscriber to
move to the specified

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Optical and Wireless communication 21EC72

voice channel.
Step 11. The called mobile subscriber receives the data messages on forward control channel
to move to the
specified voice channel and sends verification of designated voice channel to the cell-site.
Step 12. The cell-site controller sends an audible call progress tone to the called mobile
subscriber, causing
it to ring. The MTSO connects the called mobile subscriber with the calling landline phone on
the PSTN. At
the same time, a ring-back signal is sent back to the landline-calling telephone subscriber by
PSTN.
Step 13. The called mobile subscriber answers back, the MTSO terminates the call-progress
tones, and the
two-way voice conversation begins on the forward voice channel and reverse voice channel
between the calling
telephone subscriber and the called mobile subscriber.
Once a call is in progress, the MTSO adjusts the transmitted power of the mobile subscriber
and changes
the channel of the mobile subscriber and cell-site in order to maintain call quality as the
subscriber moves
in and out of range of each cell-site. This is called hand-off procedure. Special control signaling
is applied
to the voice channels so that the cell-site may control the mobile subscriber while a call is in
progress.

9.3.4 Call Termination

When either the calling subscriber (cellular mobile or landline) or the called subscriber (cellular
mobile or
landline) engaged in conversation terminates the call, the MTSO is informed and the traffic
channels at the cellsite(s) are released. When the mobile subscriber terminates the call, a
particular message signal is transmitted to the cell-site. The voice channel is released. The
mobile subscriber resumes monitoring page messages through the strongest forward control
channel. During a connection, if the base station cannot maintain the minimum required signal
strength for a certain period of time because of interference or weak signal spots in certain
areas, the voice channel assigned to the mobile subscriber is dropped and the MTSO is
informed. This situation is termed as call drop, not call termination.

9.3.5 Hand-off Procedure

When the mobile subscriber moves out of the coverage area of its cell-site during the call, the
received signal level becomes weak. The present cell-site requests a hand-off to MTSO. The
MTSO switches the ongoing call to a new voice channel in a new cellsite without either
interrupting the call or alerting the engaged mobile subscriber. The call continues as long as
the conversation is on. The mobile subscriber does not notice the hand-off occurrences. Hand-
off occurrence depends on the size of the cell, radio coverage boundary, received signal
strength, fading, reflection and refraction of signals, and man-made noise. Assuming that the
cts to Know
MSUs are uniformly distributed in each cell, the probability of a voice channel being available
in a new cell

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Optical and Wireless communication 21EC72

depends on the number of channels per unit area. The number of channels per unit area
increases if the number of channels allocated per cell is increased or if the area of each cell is
decreased. But the radio resources and the number of assigned channels are limited.

The radio coverage area of the cell could be decreased for a given number of channels per cell.
This leads to a smaller cell size and may be good for the availability of free channel
perspectives. However, this would cause more frequent hand-offs, especially for MSUs with
high mobility and vehicle speed. Hand-off can be initiated by the cell-site on its own or assisted
by the mobile subscriber. Cellular systems provide a service called roaming. This allows
mobile subscribers to operate in service areas other than the one from which the service is
subscribed. When a mobile subscriber enters another geographic area that is different from its
home service area, it is registered as a roamer in the new service area.
This is accomplished over the forward control channel, since each roaming mobile subscriber
is stationed on a forward control channel at all times. After a pre-defined time interval, the
MTSO issues a broadcast command over each forward control channel in the cellular system,
requesting all mobile subscribers, which are previously unregistered to report their identities
such as mobile phone number and ESN over the reverse control channel. New unregistered
mobile subscribers in the system periodically report back their subscriber information upon
receiving the registration request. The MTSO uses the received data to request billing status
from the home location register for each roaming mobile subscriber. If a particular roaming
mobile subscriber has roaming authorisation for billing purposes, the MTSO registers the
mobile subscriber as a valid roamer. Once registered, roaming mobile subscribers are allowed
to receive and place calls from that service area, and billing is routed automatically to the
subscriber’s home service provider.

Dept. of ECE/SJBIT Page 39

||Jai Sri Gurudev ||
Sri Adichunchanagiri Shikshana Trust®

SJB INSTITUTE OF TECHNOLOGY

Accredited by NBA & NAAC with ‘A’ Grade
No. 67, BGS Health & Education City, Dr. Vishnuvardhan Road
Kengeri, Bangalore – 560 060

Department of Electronics & Communication

Engineering
Optical and Wireless Communication [21EC72]

MODULE – 5
Notes (as per VTU Syllabus)
VII SEMESTER – B. E
Academic Year: 2024 – 2025 (EVEN)

Course Coordinator : Anushree R

Designation : Assistant Professor

Optical and Wireless communication 21EC72

VISVESVARAYA TECHNOLOGICAL UNIVERSITY, BELAGAVI

B.E: Electronics & Communication Engineering /B.E:
Electronics & Telecommunication Engineering NEP,
Outcome Based Education (OBE) and Choice Based
Credit System (CBCS)
(Effective from the academic year 2021 – 22)

VII Semester
Optical & Wireless Communication
Course Code 21EC72 CIE Marks 50
Teaching Hours/Week (L:T:P:S) 2:0:0:1 SEE Marks 50
Total Hours of Pedagogy 30 Total Marks 100
Credits 2 Exam Hours 3
Non-MCQ pattern of CIE and SEE
Course objectives:
This course will enable students to:
• Learn the basic principle of optical fiber communication with different modes of light propagation.
• Understand the transmission characteristics and losses in optical fiber.
• Study of optical components and its applications in optical communication networks.
• Understand the concepts of propagation over wireless channels from a physics standpoint
• Understand the multiple access techniques used in cellular communications standards.
• Application of Communication theory both Physical and networking to understand GSM systems that handle
mobile telephony.
Teaching-Learning Process (General Instructions)
The sample strategies, which the teacher can use to accelerate the attainment of the various course outcomes are
listed in the following:
1. Lecture method (L) does not mean only the traditional lecture method, but a different type of
teaching method may be adopted to develop the outcomes.
2. Show Video/animation films to explain the functioning of various techniques.
3. Encourage collaborative (Group) Learning in the class
4. Ask at least three HOTS (Higher-order Thinking) questions in the class, which promotes critical
thinking
5. Adopt Problem Based Learning (PBL), which fosters students’ Analytical skills, develop thinking skills
such as the ability to evaluate, generalize, and analyze information rather than simply recall it.
6. Topics will be introduced in multiple representations.
7. Show the different ways to solve the same problem and encourage the students to come up with their
own creative ways to solve them.
8. Discuss how every concept can be applied to the real world - and when that's possible, it helps
improve the students' understanding.
Module-1
Optical Fiber Structures: Optical Fiber Modes and Configurations, Mode theory for circular
waveguides, Single mode fibers, Fiber materials.
Attenuation and Dispersion: Attenuation, Absorption, Scattering Losses, Bending loss, Signal
Dispersion: Modal delay, Group delay, Material dispersion.
[Text1 : 3.1, 3.2, 2.3[2.3.1 to 2.3.4], 2.4[2.4.1, 2.4.2],2.5, 2.7].
Teaching-Learning Chalk and talk method, Power point presentation
Process RBT Level: L1, L2, L3
Module-2

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Optical and Wireless communication 21EC72

Optical Sources and detectors: Light Emitting Diode: LED Structures, Light source materials, Quantum
efficiency and LED power, Laser Diodes: Modes and threshold conditions, Rate equations, External quantum
efficiency, Resonant frequencies, Photodetectors: The pin Photodetector, Avalanche
Photodiodes.

WDM Concepts: Overview of WDM, Isolators and Circulators, Fiber grating filters, Dielectric thin-film
filters, Diffraction Gratings.
[Text1: 4.2 ,4.3, 6.1, 10.1, 10.3, 10.4, 10.5, 10.7]
Teaching-Learning Chalk and talk method, Power point presentation
Process RBT Level: L1, L2, L3
Module-3
Mobile Communication Engineering: Wireless Network generations, Basic propagation Mechanisms,
Mobile radio Channel.
Principles of Cellular Communications: Cellular terminology, Cell structure and Cluster, Frequency reuse
concept, Cluster size and system capacity, Frequency Reuse Distance, Cochannel Interference and signal
quality.
[ Text2: 1.4, 2.4, 2.5, 4.1 to 4.4, 4.6, 4.7]
Teaching-Learning Chalk and talk method, Power point presentation
Process RBT Level: L1, L2, L3
Module-4
Multiple Access Techniques: FDMA, TDMA, CDMA, SDMA, Hybrid Multiple Access Techniques,
Multicarrier Multiple Access Schemes.
A Basic Cellular System: A basic cellular system connected to PSTN, Parts of basic cellular system,
Operation of a cellular system.
[Text2: 8.2, 8.3, 8.4.5, 8.5, 8.6, 8.10, 9.2.2, 9.2.3, 9.3]
Teaching-Learning Chalk and talk method, Power point presentation
Process RBT Level: L1, L2, L3
Module-5
Global System for Mobile (GSM): GSM Network Architecture, GSM signalling protocol architecture,
Identifiers used in GSM system, GSM Channels, Frame structure for GSM, GSM Call procedures, GSM hand-
off Procedures, GSM Services and features.
[Text2: 11.1, 11.2,11.3,11.4, 11.5, 11.8, 11.9. 11.10]
Teaching-Learning Chalk and talk method, Power point presentation
Process RBT Level: L1, L2, L3
Course outcomes (Course Skill Set)
At the end of the course the student will be able to:
1. Classification and characterization of optical fibers with different modes of signal propagation.
2. Describe the constructional features and the characteristics of optical fiber and optical devices used for
signal transmission and reception.
3. Understand the essential concepts and principles of mobile radio channel and cellular
communication.
4. Describe various multiple access techniques used in wireless communication systems.
5. Describe the GSM architecture and procedures to establish call set up, call progress handling and call
tear down in a GSM cellular network.

Dept. of ECE/SJBIT Page 3

Optical and Wireless communication 21EC72

Assessment Details (both CIE and SEE)

The weightage of Continuous Internal Evaluation (CIE) is 50% and for Semester End Exam (SEE) is 50%. The
minimum passing mark for the CIE is 40% of the maximum marks (20 marks out of 50). A student shall be
deemed to have satisfied the academic requirements and earned the credits allotted to each subject/ course if the
student secures not less than 35% (18 Marks out of 50) in the semester-end examination (SEE), and a minimum
of 40% (40 marks out of 100) in the sum total of the CIE (Continuous Internal Evaluation) and SEE (Semester
End Examination) taken together
Continuous Internal Evaluation (CIE):
CIE will be the same as other core theory courses.
CIE methods /question paper is designed to attain the different levels of Bloom’s taxonomy as per the
outcome defined for the course.
Semester End Examination (SEE):
For non-MCQ pattern of CIE and SEE
Continuous Internal Evaluation (CIE):
At the beginning of the semester, the instructor/faculty teaching the course has to announce the methods of
CIE for the course.
Three Unit Tests each of 20 Marks (duration 01 hour)
1. First test at the end of 5th week of the semester
2. Second test at the end of the 10th week of the semester
3. Third test at the end of the 15th week of the semester
Two assignments each of 10 Marks
4. First assignment at the end of 4th week of the semester
5. Second assignment at the end of 9th week of the semester
Group discussion/Seminar/quiz any one of three suitably planned to attain the COs and POs for 20 Marks
(duration 01 hours)
6. At the end of the 13th week of the semester
The sum of three tests, two assignments, and quiz/seminar/group discussion will be out of 100 marks and will
be scaled down to 50 marks
(to have less stressed CIE, the portion of the syllabus should not be common /repeated for any of the methods
of the CIE. Each method of CIE should have a different syllabus portion of the course).
CIE methods /question paper is designed to attain the different levels of Bloom’s taxonomy as per the
outcome defined for the course.
Semester End Examination:
Theory SEE will be conducted by University as per the scheduled timetable, with common question papers
for the subject (duration 03 hours)
1. The question paper will have ten questions. Each question is set for 20 marks.
2. There will be 2 questions from each module. Each of the two questions under a module (with a
maximum of 3 sub-questions), should have a mix of topics under that module.
The students have to answer 5 full questions, selecting one full question from each module. Marks scored
out of 100 shall be reduced proportionally to 50 marks
Suggested Learning Resources:
Text Books
1. Gerd Keiser, Optical Fiber Communication, 5th Edition, McGraw Hill Education (India) Private
Limited, 2016. ISBN:1-25-900687-5.
2. T L Singal, Wireless Communications, McGraw Hill Education (India) Private Limited, 2016,
ISBN:0- 07-068178-3.
Reference Books
1. John M Senior, Optical Fiber Communications, Principles and Practice, 3rd Edition, Pearson
Education, 2010, ISBN:978-81-317-3266-3
2. Theodore Rappaport, Wireless Communications: Principles and Practice, 2nd Edition, Prentice Hall
Communications Engineering and Emerging Technologies Series, 2002, ISBN 0-13-042232-0.
3. Gary Mullet, Introduction to Wireless Telecommunications Systems and Networks, First Edition,
Cengage Learning India Pvt Ltd., 2006, ISBN - 13: 978-81-315-0559-5.

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GSM NETWORK ARCHITECTURE

GSM uses two 25-MHz frequency bands, that is, the 890-MHz to 915-MHz band is used for mobile
subscriber unit to base station transmissions (reverse-link transmissions), and the 935-MHz to 960-
MHz frequency band is used for base station to mobile subscriber unit transmission (forward-link
transmissions). GSM uses requency-Division Duplexing (FDD) and a combination of TDMA and
FDMA techniques to provide simultaneous access to multiple mobile subscriber units.
The GSM network architecture consists of three major subsystems:
– Mobile Station (MS)
– Base Station Subsystem (BSS)
– Network and Switching Subsystem (NSS)
The wireless link interface is between the MS and the Base Transceiver Station (BTS), which is a
part of BSS.

Many BTSs are controlled by a Base Station Controller (BSC). BSC is connected to the Mobile
Switching Center (MSC), which is a part of NSS. Figure 11.1 shows the key functional elements in
the GSM network architecture.

Mobile Station (MS)

A mobile station communicates across the air interface with a base station transceiver in the same
cell in which the mobile subscriber unit is located. The MS communicates the information with the
user and modifies it to the transmission protocols of the air-interface to communicate with the BSS.
The user’s voice information is interfaced with the MS through a microphone and speaker for the
speech, keypad, and display for short messaging, and the cable connection for other data terminals.
The MS has two elements. The Mobile Equipment (ME) refers to the physical device, which
comprises of the transceiver, digital signal processors, and the antenna.
The second element of the MS in the GSM is the Subscriber Identity Module (SIM) that is a smart
card issued at the subscription time identifying the specifications of a user such as a unique number
and the type of service. The SIM card is unique to the GSM system. It is about postage-stamp size
with 32 k bytes of memory that can be plugged into any GSM mobile phone. From the user’s point
of view, one of the most remarkable features of GSM is the SIM card, which is a portable device in

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the form of a smart card or plug-in module memory device that stores information such as the
subscriber’s identification number, privacy keys, the cellular networks and regions where the
subscriber is authorised to service, and other user-specific information.
The GSM subscriber units are totally generic until a SIM is inserted. Therefore, a subscriber need
only to carry a SIM card to use a wide variety of mobile equipments simply by inserting the SIM in
the device to be used. In fact, except for certain emergency communications, the subscriber units
will not work without a SIM inserted. Thus, the mobile equipment does not roam, it is the SIM
which roams. The calls in the GSM are directed to the SIM inserted in any mobile phone. Short
messages are also stored in the SIM card.
The SIM card allows a mobile subscriber to use any GSM mobile phone anywhere in the world
where GSM services are available. Alternatively, people visiting different GSM-enabled countries
that are not keen on making calls at their home number can always carry their own mobile phone
and purchase a SIM card in any other country. This way they avoid roaming charges and the expense
of having a different contact number. Several users can also share a mobile phone with different
SIM cards. Because SIM cards carry the private information for a user, a security mechanism is
implemented in the GSM that asks for a four-digit PIN number to make the information on the SIM
card available to the user. The SIM card also offers some protection against fraudulent use. A GSM
mobile phone is useless without a SIM.

For example, if the mobile subscriber removes the SIM card when leaving the mobile phone in a
vehicle, the mobile phone cannot be used unless another person has a valid SIM. Unfortunately, the
SIM cards can be stolen too. The SIM can be set up to require the user to enter a Personal
Identification Number (PIN) whenever the mobile phone is switched on to provide some security
in case the card is lost or stolen. Once a mobile phone user has a valid SIM, buying a new GSM
mobile phone is easy. No set-up or programming is required. Similarly, a user can have a
permanently vehicle-installed mobile phone and a handheld mobile phone with the same phone
number, provided that only one is used at a time. The phone number of a mobile subscriber is usually
of 10–15 digits. The first three digits are the country code; the next two are the digits for the specific
MSC, and the rest are the telephone number. The IMSI of the same user is totally different from the
ISDN telephone number. The first three digits of the IMSI identify the country, and the next two
digits, the service provider.
Besides the SIM card, the next most remarkable feature of GSM is the on-the-air privacy which is
provided by the system. Unlike analog FM cellular phone systems which can be readily monitored,
it is virtually impossible to eavesdrop on a GSM radio transmission. The privacy is made possible
by encrypting the digital bit stream sent by a GSM transmitter, according to a specific secret
cryptographic key which changes with timefor each user that is known only to the service provider.\

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Base Station Subsystem (BSS)

A base station subsystem consists of a base station controller and one or more base transceiver
stations. Each Base Transceiver Station (BTS) defines a single cell. A cell can have a radius of
between 100 m and 35 km, depending on the environment. A Base Station Controller (BSC) may
be collocated with a BTS. It may control multiple BTS units and hence multiple cells. The BSC
reserves radio frequencies, manages the hand-off of a mobile unit from one cell to another within
the BSS, and controls paging. The BSS manages the radio interface between the mobile stations
and all other subsystems of GSM such as MSC. The BSS translates between the wireless-interface
and fixed wired infrastructure protocols. The needs for the wireless and wired media are different
because the wireless medium is unreliable, bandwidth limited, and needs to support mobility. As a
result, protocols used in the wireless medium and wired medium are different. The BSS provides
for the translation among these protocols. There are two main architectural elements in the BSS––
the Base Transceiver Subsystem (BTS), and the Base Station Controller (BSC). The BSS consists
of many BSCs which connect to a single MSC, and each BSC typically controls up to several
hundred BTSs. Some of the BTSs may be co-located at the BSC, and others may be remotely
distributed and physically connected to the BSC by microwave links or dedicated leased lines. The
BTS is the counterpart of the MS for physical communication over the air-interface. The BTS
components include a transmitter, a receiver, and signaling equipment to operate over the air-
interface, and it is physically located in the centre of the cells where the BSS antenna is installed.
One BSS may have from one up to several hundred BTSs under its control. The hand-offs of calls
between two BTSs under the control of the same BSC are handled by the BSC, and not the MSC.
This greatly reduces the switching burden of the MSC. The interface that connects a BTS to a BSC
is called the A-bis interface. The A-bis interface carries traffic and maintenance data. The main
function of the BSC is to look over a certain number of BTSs to ensure proper operation. The BSC
is a small switch inside the BSS in charge of frequency administration, maintains appropriate power
levels of the signal and hand-off among the BTSs inside a BSS. The hardware of the BSC in a single
BTS site is located at the antenna and in the multi-BTS systems, in a switching centre where other
hardware elements of NSS are located. The interface between a BSC and an MSC is called the A
interface, which is standardised within GSM. The user’s speech signal is converted into 13 kbps-
digitised voice with a speech coder and communicated over the air- interface to provide a bandwidth
efficient air-interface.

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The backbone wired network uses a 64 kbps PCM digitised voice in the PSTN hierarchy.
Conversion from analog speech signal to 13 kbps digitised voice signal takes place at the mobile
station, and the change from 13 kbps to 64 kbps coding takes place at the BSS. The call is established
through the exchange of a number of packets.

Network and Switching Subsystem (NSS)

The NSS is responsible for the network operation. It provides the link between the cellular network
and the Public Switched Telecommunications Networks (PSTN or ISDN or Data Networks). The
NSS controls hand-offs between cells in different BSSs, authenticates users and validates their
accounts, and includes functions for enabling worldwide roaming of mobile subscribers. The NSS
could be interpreted as a wireless specific switch that communicates with other switches in the
PSTN and at the same time supports functionalities that are needed for a cellular mobile
environment. The NSS interconnects to the PSTN through ISDN protocols. The NSS provides
communications with other wired and wireless networks, as well as support for registration and
maintenance of the connection with the MSs via BSCs in the radio subsystem.
The network and the switching subsystem together include the main switching functions of GSM
as well as the databases needed for subscriber data and mobility management. In particular, the
switching subsystem
consists of
– Mobile Switch Centre (MSC)
– Home Location Register (HLR)
– Visitor Location Register (VLR)
– Authentication Centre (AuC)
– Equipment Identity Register (EIR)
– Interworking Function (IWF)

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The NSS is the most elaborate element of the GSM network, and it has one hardware, Mobile
Switching Centre (MSC), and four software database elements: Home Location Register (HLR),
Visitor Location Register (VLR), Equipment Identification Register (EIR), and Authentication
Centre (AuC). An MSC is the hardware part of the wireless switch that can communicate with PSTN
switches using the signaling system-7 (SS-7) protocol, as well as other MSCs in the coverage area
of a service provider. If the MSC has an interface to the PSTN then it is called a Gateway MSC
(GMSC). The MSC also provides the network the specific information on the status of the mobile
terminals. The MSC basically performs the switching functions of the system by controlling calls
to and from other telephone and data systems. It also does functions such as network interfacing
and common channel signaling. Because the GSM represents an independent network, it must
dispose of entities which provide connection to other users. Therefore, the main component of the
switching subsystem is the Mobile Switching Centre, MSC. The main role of the MSC is to manage
the communications between the GSM users and other telecommunications network users. The
basic switching function is performed by the MSC, whose main function is to coordinate setting up
calls to and from GSM users. The MSC has interfaces with the BSS on one side (through which
MSC VLR is in contact with GSM users) and the external networks on the other side (ISDN/PSTN).
An MSC is generally connected to several BSSs, which provide radio coverage to the MSC area.
The MSC is also connected to other GSM Public Land Mobile Network (PLMN) entities such as
other MSCs and HLR through a fixed network.
The MSC is the telephone switching office for mobile-originated or terminated traffic. The MSC
controls the call set-up and routing procedures in a manner similar to the functions of a land network
end office. The MSC provides call set-up, routing, and handover between BSCs in its own area and
to/from other MSCs; an interface to the fixed PSTN; and other functions such as billing. It also
performs such functions as toll ticketing, network interfacing, common channel signaling, and
others.
The HLR is database software that handles the management of the mobile subscriber account. It
stores the subscriber’s address, service type, current location, forwarding address,
authentication/ciphering keys, and billing information. In addition to the ISDN telephone number
for the terminal, the SIM card is identified with an International Mobile Subscriber Identity (IMSI)
number that is totally different from the ISDN telephone number. The IMSI is used totally for
internal networking applications. Each HLR is identified by the HLR number which is sent to all
the required VLRs. The HLR is the reference database that permanently stores data related to
subscribers, including a subscriber’s service profile, location information, and activity status. When
an individual user buys a subscription from one of the GSM service providers, he is registered in
the HLR of that service provider. Various identification numbers and addresses as well as
authentication parameters, services subscribed, and special routing information are stored in the
HLR. Current subscriber status, including a subscriber’s temporary roaming number and associated
VLR if the mobile is roaming, are maintained.

The HLR provides data needed to route calls to all MS-SIMs home based in its MSC area, even
when they are roaming out of area or in other GSM networks. The HLR provides the current location
data needed to support searching for and paging the MS-SIM for incoming calls, wherever the MS-
SIM may be. The HLR is responsible for storage and provision of SIM authentication and
encryption parameters needed by the MSC where the MS-SIM is operating. It obtains these
parameters from the AuC. The HLR maintains records of which supplementary services each user
has subscribed to and provides permission control in granting access to these services. Based on
described functions, different types of data are stored in the HLR. Some data are permanent; that is,
they are modified only for administrative reasons, while others are temporary and modified
automatically by other network entities depending on the movements and actions performed by the

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subscriber. Some data are mandatory, other data are optional. Both the HLR and the VLR can be
implemented in the same equipment in an MSC (collocated).

A PLMN may contain one or several HLRs.

The VLR is a temporary database software similar to the HLR identifying the mobile subscribers
visiting inside the coverage area of an MSC. The VLR assigns a Temporary Mobile Subscriber
Identity (TMSI) that is used to avoid using IMSI on the air. The location of the mobile subscriber
is determined by the VLR into which the mobile subscriber is entered. The visitor location register
maintains information about mobile subscribers that are currently physically in the region covered
by the switching centre. It records whether or not the subscriber is active and other parameters
associated with the subscriber. For a call coming to the mobile subscriber, the system uses the
mobile phone number associated to identify the home switching centre of the mobile subscriber.
The home switching centre can find in its HLR the switching centre in which the mobile subscriber
is presently located. For a call coming from the mobile subscriber, the VLR is used to initiate the
call. Even if the mobile subscriber is in the area covered by its home switching centre, it is also
represented in the switching centre’s VLR.A VLR is linked to one or more MSCs. The function of
the VLR is to memorise temporarily information about the mobiles which are currently located in
the geographical area controlled by the linked MSC. The VLR is a database that contains temporary
information about subscribers that is needed by the MSC in order to service visiting subscribers.
The VLR supports a mobile paging-and-tracking subsystem in the local area where the mobile is
presently roaming. The VLR is always integrated with the MSC. A VLR may be in charge of one
or several MSC LAs (Location Areas). When a mobile subscriber roams from one LA to another,
their current location is automatically updated in their VLR. When a mobile station roams into a
new MSC area, if the old and new LAs are under the control of two different VLRs, the VLR
connected to that MSC will request data about the mobile station from the HLR. The entry on the
old VLR is deleted and an entry is created in the new VLR by copying the basic data from the HLR.
Later, if the mobile station makes a call, the VLR will have the information needed for call set-up
without having to interrogate the HLR each time. The subscriber’s current VLR address, stored at
the HLR, is also updated. This provides the information necessary to complete calls to roaming
mobiles. These two databases, HLR and VLR, are used to keep track of the current location of an
MS in GSM. Maintenance of two databases at home and at the visiting location allows a mechanism
to support dialing and call routing in a roaming situation where the MS is visiting the coverage area
of a different MSC.
GSM transmission is encrypted. The AuC database holds different algorithms that are used for
authentication and encryption of the mobile subscribers that verify the mobile user’s identity and
ensure the confidentiality of each call. The AuC protects network cellular operators from different
types of frauds and spoofing found in today’s cellular world. AuC holds the authentication and
encryption keys for all the subscribers in both the home and visitor location registers. A stream
cipher, A5, is used to encrypt the transmission from subscriber to base transceiver. However the
conversation is in the clear in the landline network. Another cipher, A3, is used for authentication.
Different classes of SIM cards have their own algorithms, and the AuC collects all of these
algorithms to allow the NSS to operate with different mobile terminals from different geographic
areas.
The EIR is another database that keeps the information about the identity of mobile equipment such
as the International Mobile Equipment Identity (IMEI) that reveals the details about the
manufacturer, country of production, and device type. This information is used to prevent calls from
being misused, to prevent unauthorised or defective MSs, to report stolen mobile phones or check
if the mobile phone is operating according to the specification of its type.

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Each mobile equipment is identified by IMEI which is memorised by the manufacturer and cannot
be removed. By the registration mechanism the MS always sends the IMEI to the network, so that
the EIR can memorise and assign them to three different lists:
White List This list contains the IMEI of the phones who are allowed to enter in the network. Black
List This list on the contrary contains the IMEI of the phones who are not allowed to enter in the
network, for example because they are stolen. Those phones are not able to enter in all the GSM
networks which dispose of an EIR. Grey List This list contains the IMEI of the phones momentarily
not allowed to enter in the network, for example because the software version is too old or because
they are in repair.
By the registration mechanism, the MSC checks if the MS is contained in the black or grey list; if
so, the mobile cannot enter the network. One EIR per GSM network is enough. In the future there
will be an interconnection between all the EIRs to avoid the situation where a mobile stolen in one
country can be used in a GSM network from a different country. Both AuC and EIR can be
implemented as individual stand-alone nodes or as a combined AuC/EIR node. The implementation
of the EIR is left optional to the service provider.
IWF-Interworking Function It is a subsystem in the PLMN that allows for non-speech
communication between the GSM and the other networks. The tasks of an IWF are particularly to
adapt transmission parameters and protocol conversion. The physical manifestation of an IWF may
be through a modem which is activated by the MSC dependent on the bearer service and the
destination network.
The SS supports operation and maintenance of the system and allows engineers to monitor,
diagnose, and troubleshoot every aspect of the GSM network. The OSS supports one or several
Operation Maintenance Centres (OMC) that are used to monitor and maintain the performance of
each MS, BS, BSC, and MSC within a GSM system. The OSS has three main functions, which are
to maintain all telecommunications hardware and network operations with a particular service area,
manage all mobile equipment in the system, and manage all charging and billing procedures. Within
each GSM system, an OMC is dedicated to each of these tasks and has provisions for adjusting all
base-station parameters and billing procedures, as well as for providing system operators with the
ability to determine the performance and integrity of each unit of mobile subscriber equipment in
the system.

GSM SIGNALING PROTOCOL ARCHITECTURE

Figure 11.2 shows the signaling protocol architecture for communication between the main
hardware elements of the GSM network architecture and the associated interfaces. The GSM
standard specifies the interfaces among all the elements of the architecture. The air-interface ‘Um’,
which specifies communication between the MS and BTS, is the wireless related interface.
Messages between the BTS and BSC flow through the A-bis interface. The support on this interface
is for voice traffic at 64 kbps and data/signaling traffic at 16 kbps. Both types of traffic are carried
over LAPD (which is a data link protocol used in ISDN).

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The interface between a BSC and a MSC is called the A’ interface, which is standardised within
GSM.
The A’ interface uses an SS7 protocol called the Signaling Connection Control Part (SCCP) which
supports communication between the MSC and the BSS, as well as network messages between the
individual mobilesubscribers and the MSC. The A’ interface allows a service provider to use base
stations and switching equipment made by different manufacturers. A number of control messages
are exchanged between the key entities of GSM network architecture that deal with radio resources,
mobility management, and connection management. The protocol stack is divided into three layers:
Layer 1 Physical Layer
Layer 2 Data Link Layer (DLL)
Layer 3 Networking or Messaging Layer

Layer I: Physical Layer

The physical layer defined in the GSM specifications is for the Um air-interface. The radio link
carries higher level data inside the TDMA format between the mobile station and the base
transceiver station. This layer specifies how the information from different voice and data services
are formatted into packets and sent through the radio channel. It specifies the radio modem details,
the packaging of a variety of services into the bits of a packet, traffic structure and control packets.
This layer specifies modulation and coding techniques, power control methodology, and time
synchronisation approaches which enable establishment and maintenance of the channels. The
physical layer of the A and A-bis interfaces follow the ISDN standard with 64 kbps digital data per
voice user.

Layer II: Data Link Layer

The control and signaling data transfer may be through the same physical channels or through
separate physical channels. Signaling and control data are conveyed through Layer II and Layer III

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messages. At the link layer, a data link control protocol known as LAPDm is used where m refers
to the modified version of LAPD adapted to the mobile environment. In essence, LAPD is designed
to convert a potentially unreliable physical link into a reliable data link. It does this by using a cyclic
redundancy check to perform error detection and Automatic Repeat Request (ARQ) to retransmit
damaged frames. The LAPD protocol is used for the A-bis and A interfaces connecting the BTS to
BSC and BSC to MSC, respectively.
The overall purpose of DLL is to check the flow of packets for Layer III and allow multiple Service
Access Points (SAP) with one physical layer. The remaining links use the normal LAPD protocol.
The DLL checks the address and sequence number for Layer III and manages acknowledgments for
transmission of the
packets. In addition, the DLL allows two SAPs for signaling and Short Messages (SMS). The SMS
traffic channel in the GSM is not communicated through voice channels. In GSM, the SMS is
transmitted through a fake signaling packet that carries user information over signaling channels.
The DLL in GSM provides this mechanism for multiplexing the SMS data into signaling streams.
Signaling packets delivered to the physical layer are each 184 bits, same as that of the length of the
DLL packets in the LAPD protocol used in the ISDN networks. The length of the LAPDm packets,
shown in Fig. 11.3, is the same as LAPD, but the format is slightly adjusted to fit the mobile
environment.

Since GSM has the time synchronisation and strong coding at the physical layer, the synchronisation
bits and CRC codes in LAPD are eliminated in the LAPDm. The address field is optional, and it
identifies the SAP, protocol revision type, and nature of the message. The control field is also
optional, and it holds the type of the frame (command or response) and the transmitted and received
sequence numbers.
The length indicator identifies the length of the information field. Fill-in bits are all 1s bits to extend
the length to the desired 184 bits. In peer-to-peer Layer II communications, such as DLL
acknowledgments, there is no Layer III payload and fill-in bits cover this field. The information
field carries the Layer III payload data.
The peer-to-peer Layer II messages are unnumbered acknowledgment, receiver ready, receiver not
ready, disconnect, and reject. These messages do not have Layer III information bits and are referred
to as Layer II messages. The information bits in Layer II packets specify Layer III operations
implemented on the logical signaling channels. These information bits are different for different
operations.

Layer III: Networking or Signaling Layer

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The networking or signaling layer implements the protocols needed to support the mechanisms
required to establish, maintain, and terminate a mobile communication session. It is also responsible
for control functions for supplementary and SMS services. The traffic channels are carried by
normal bursts in different formats associated with different speech or data services. The signaling
information uses other bursts and more complicated DLL packaging. A signaling procedure such
as the registration process is composed of a sequence of communication events or messages between
hardware elements of the systems that are implemented on the logical channels encapsulated in the
DLL frames.
Layer III defines the details of implementation of messages on the logical channels encapsulated in
DLL frames. Among all messages communicated between two elements of the network only a few,
such as DLL acknowledgment, do not carry Layer III information. Information bits of the Layer II
packets specify the operation of a Layer III message. As shown in Fig. 11.4, these bits are further
divided into several fields. The Transaction Identifier (TI) field is used to identify a procedure or
protocol that consists of a sequence of messages. This field allows multiple procedures to operate
in parallel. The Protocol Discriminator (PD) identifies the category of the operation (management,
supplementary services, call control, and test procedure). The Message Type (MT) identifies the
type of message for a given PD. Information Elements (IE) is an optional field for the time that an
instruction carries some information that is specified by an IE Identifier (IEI). The number of Layer
III messages is much larger than the number of Layer II messages.
To further simplify the description of the Layer III messages, GSM standard divides the messages
into three sublayers that provide specific functions:
– Radio Resource Management (RRM)
– Mobility Management (MM)
– Communication Management (CM)
The RRM sublayer of Layer III manages the frequency of operation and the quality of the radio
link. Radio resource management establishes and releases connections between MSs and an MSC
and maintains them despite subscriber movements. The RRM functions are mainly performed by
the MS and the BSC. The main responsibilities of the RRM are to assign the radio channel and hop
to new channels in implementation of the slow frequency-hopping option, to manage hand-off
procedure and measurement reports from MS for handoff decision, to implement power control
procedure, and to adapt to timing advance for synchronisation.
The major functions of Mobility Management (MM) sublayer are location update, registration
procedures, authentication procedure, TMSI handling, and attachment and detachment procedures
for the IMSI. This
sublayer handles mobility issues that are not directly related to the radio, and include management
of security
functions. Mobility management functions are handled by the MS/SIM, the MSC/VLR, and the
HLR/AuC.

The Communication Management (CM) sublayer is used to establish, maintain, and release the
circuits witched connection between the calling and called subscribers of GSM network. Specific
procedures for the CM sublayer include mobile-originated and mobile-terminated call
establishment, change of transmission mode during the call, control of dialing using dual-tones, and
call reestablishment. In addition to call management, it includes supplementary services
management and SMS management.
The Mobile Application Part (MAP) handles most of the signaling between different entities in the
fixed part of the network, such as between the HLR and VLR. It runs on top of two intermediate
protocols––Signal Connection Control Part (SCCP) and Message Transfer Part (MTP). SCCP and
MTP protocols are part of Signaling System Number 7, which is a set of protocols designed to
provide control signaling within digital circuit-switching networks.

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SS7 Signaling

Common Channel Signaling System No. 7 (SS7 or CC7) is a global standard that defines the
procedures and protocol by which network elements in PSTN exchange information over a digital
signaling network to effect wireless (cellular) and wireline call set-up, routing and control. The SS7
signaling protocols are mainly used for basic call set-up, call management, wireless services such
as PCS, wireless roaming, mobile subscriber authentication, local number portability, toll-free and
toll wireline services, enhanced call features such as call forwarding, calling party name/number
display, and three-way calling, efficient and secure worldwide telecommunications. The SS7
protocol provides both error correction and retransmission capabilities to allow continued service
in the event of signaling point or link failures.
SS7 messages are exchanged between network elements over 64 kbps bi-directional channels called
signalling links. Signaling occurs out-of-band on dedicated channels rather than in-band on voice
channels. Compared to in-band signaling, out-of-band signaling provides faster call set-up times,
more efficient use of voice circuits, support for Intelligent Network (IN) services which require
signaling to network elements without voice trunks (for example, database systems), and improved
control over fraudulent network usage.
There are three kinds of signaling points in the SS7 network:
– Service Switching Point (SSP)
– Signal Transfer Point (STP)
– Service Control Point (SCP)
SSPs are switches that originate, terminate, or tandem calls. An SSP sends signaling messages to
other SSPs to set up, manage, and release voice circuits required to complete a call. An SSP may
also send a query message to a centralised database, an SCP, to determine how to route a call. An
SCP sends a response to the originating SSP containing the routing number(s) associated with the
dialed number. An alternate routing number may be used by the SSP if the primary number is busy
or the call is unanswered within a specified time. Actual call features vary from network to network
and from service to service.
Network traffic between signaling points may be routed via a packet switch called STP. The STP
routes each incoming message to an outgoing signaling link based on routing information contained
in the SS7 message. Because it acts as a network hub, STP provides improved utilisation of the SS7
network by eliminating the need for direct links between signaling points. The STP may perform
global title translation, a procedure by which the destination signaling point is determined from
digits present in the signaling message. The STP can also act as a firewall to screen SS7 messages
exchanged with other networks. Because the SS7 network is critical to call processing, SCPs and
STPs are usually deployed in pair configurations in separate physical locations to ensure network-
wide service in the event of an isolated failure.

Addressing and Routing

Within the GSM network, two types of routing can be described:

– SS7 addressing and message signaling routing
– Call control/number routing
The SS7 MTP layer 3 provides the routing function. This layer is used to route within a local
network using the Signaling Point Code addressing. To interconnect all the local networks on the
national SS7 networks, the SCCP Global Title Translation (GTT) functionality is used. Global Title
Translation is one of the strong routing capabilities of SS7 SCCP layer. This SCCP functionality
allows a centralised network to hold and maintain all the addresses and routing tables, centralising
the routing function. For MSC to send a message to a particular HLR, the MSC does not need to

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know each Mobile’s HLR point code. Only the adjacent STP point code and the dialed digits
(MSISDN) needs to be provided to the STP in order to route the message to the HLR. The STP will
perform the translation of the dialed digits to physical point code (HLR or MSC).
The STP pair after checking the SCCP header information will determine if the message requires
GTT translation. It will then extract the IMSI of the subscriber from the calling number address
field in the SCCP header and from a database table determine the HLR point code where the
validation/authentication should be sent. This will eliminate book-keeping on every MSC and
centralise the routing/translation on the SS7 STP network.
A landline calling party dials the GSM mobile directory number (MS ISDN number). The PSTN
after performing the digits translation routes the call to the home PLMN GMSC. The GMSC
contains either the routing tables to relate the MSISDN number with the corresponding HLR, or if
the GMSC is connected to the SS7 network with the GTT functionality, the SS7 network will
identify the HLR. Once the GMSC interrogates the HLR with the MSISDN number, the HLR
determines the IMSI from the MSISDN number. The HLR stores the subscriber’s information based
on IMSI, not MSISDN. The HLR locates the visiting MSC/VLR point code and if the MSRN is
available, it will return the information to GMSC. If the HLR does not have the MSRN for the
subscriber it will request one from the visiting MSC/VLR. The latter can be done via GTT if an SS7
backbone with GTT (IMSI to point code) functionality is available/supported. The GMSC once it
receives the MSRN and the MSC/VLR point code, will route the call to the VMSC/VLR. The
MSC/VLR will then page the mobile subscriber.
The call-originating information including the dialed digits will be sent to the MSC/VLR. The
MSC/VLR with the subscriber’s profile information performs digits translation (if supported) and
routes the call either to the PSTN or to other MSCs. If the MSC cannot perform the digits translation
it would route the call to GMSC for translation and routing.

Location Update

A list of relevant functions of a mobile station includes provision of location updates. The location-
updating
procedures, and subsequent call routing, use the MSC and two location registers: HLR and VLR.
When a mobile station is switched on in a new location area, or it moves to a new location area or
different operator’s PLMN, it must register with the network to indicate its current location. In the
normal case, a location update message is sent to the new MSC/VLR, which records the location
area information, and then sends the location information to the subscriber’s HLR. The information
sent to the HLR is normally the SS7 address of the new VLR, although it may be a routing number.
If the subscriber is entitled to service, the HLR sends a subset of the subscriber information, needed
for call control, to the new MSC/VLR, and sends a message to the old MSC/VLR to cancel the old
registration. For reliability reasons, the GSM also has a periodic location updating procedure. If an
HLR or MSC/VLR fails, to have each mobile register simultaneously to make the database up-to-
date would cause overloading. Therefore, the database is updated as location updating events occur.
The enabling of periodic updating, and the time period between periodic updates, is controlled by
the operator, and is a trade-off between signalling traffic and speed of recovery. If a mobile does
not register after the updating time period, it is de-registered.
A procedure related to location updating is the IMSI attach and detach. A detach permits the network
to know that the mobile station is unreachable, and avoids having to needlessly allocate channels
and send paging messages. An attach is similar to a location update, and informs the system that the
mobile is reachable again. The activation of IMSI attach/detach is up to the operator on an individual
cell basis. Location update is a typical example for the connection-oriented transactions in GSM.
The local operation code UpdatLocation is required directly after the location update for the new

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VLR to update the location information in the HLR. Because this is a confirmed service, it requires
all four variants: request, indication, response and confirmation.

IDENTIFIERS USED IN GSM SYSTEM

Several identity numbers are associated with a GSM system, which are briefly described below.

IMSI

The International Mobile Subscriber Identity (IMSI) number is usually 15 digits or less. When an
MS attempts a call, it needs to contact a BS. The BS can offer its service only if it identifies the MS
as a valid subscriber. For this, the MS needs to store certain values uniquely defined for the MS,
like the country of subscription, network type, subscriber ID, and so on. These values are called the
International Mobile Subscriber Identity (IMSI). The structure of an IMSI is shown in Fig. 11.5.
The first three digits specify the country code, the next two specify the network provider code, and
the rest are the mobile subscriber identification code (the customer ID number). Another use of
IMSI is to find information about the subscriber’s home Public Land Mobile Network (PLMN). All
such information is placed on the SIM card.

Subscriber Identity Module (SIM)

Every time the MS has to communicate with a BS, it must correctly identify itself. An MS does this
by storing the mobile phone number, personal identification number for the mobile station,
authentication parameters, and so on, in the SIM card. Smart SIM cards also have a flash memory
that can be used to store small messages sent to the unit.
The main advantage of SIM is that it supports roaming with or without a cellphone, also called SIM
roaming.All a user needs to do is to carry the SIM card alone, and insert it into any GSM mobile
phone to make it work as per customised MS. In other words, the SIM card is the heart of a GSM
mobile phone, and the MS hardware equipment is unusable without it.

Mobile System ISDN (MSISDN)

MSISDN is the number that identifies a particular MS’s subscriber, with the format shown in Fig.
11.6. The GSM actually does not identify a particular mobile phone, but a particular HLR. It is the
responsibility of the HLR to contact the mobile phone.

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Location Area Identity (LAI)

As shown in Fig. 11.7, the GSM service area is usually divided into a hierarchical structure that
facilitates the system to access any MS quickly. Each PLMN area is divided into many MSCs.Each
MSC typically contains a VLR to inform the system if a particular cellphone is roaming, and if it is
roaming, the VLR of the MSC, in which the cellphone is, reflects the fact. Each MSC is divided
into many Location Areas (LAs). An LA is a cell or a group of cells and is useful when the MS is
roaming in a different cell but the same LA. Since any LA has to be identified as a part of the
hierarchical structure, the identifier should contain the country code, the mobile network code, and
the LA code.

IMSEI

Each manufactured GSM mobile phone equipment is assigned a 15-bit long International MS
EquipmentIdentity (IMSEI) number to contain manufacturing information, as shown in Fig. 11.8.
Conceptually, when the mobile phone equipment passes the interoperability tests, it is assigned a
type approval code. Since a single mobile unit may not be manufactured at the same place, a field
in IMSEI, called the final assembly code, identifies the final assembly place of the mobile unit. To
identify uniquely a unit manufactured, a Serial Number (SN) is assigned. A spare digit is available
to allow further assignment depending on requirements.

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MS Roaming Number (MSRN)

When an MS roams into another MSC, that unit has to be identified based on the numbering scheme
format used in that MSC. Hence, the MS is given a temporary roaming number called the MS
Roaming Number (MSRN), with the format shown in Fig. 11.9. This MSRN is stored by the HLR,
and any calls coming to that MS are rerouted to the cell where the MS is currently located.

TMSI
As all transmission is sent through the air interface, there is a constant threat to the security of
information sent. A temporary identity Temporary Mobile Subscriber Identity (TMSI) is usually
sent in place of IMSEI.
GSM CHANNELS
GSM-900 has been allocated an operational frequency from 890 MHz to 960 MHz. GSM uses the
frequency band 890 MHz–915 MHz for uplink (reverse) transmission, and for downlink (forward)
transmission, it uses the frequency band 935 MHz–960 MHz. The available 25-MHz spectrum for
each direction is divided into 124 Frequency Division Multiplexing (FDM) channels, each
occupying 200 kHz with 100 kHz guard band at two edges of the spectrum. This is shown in Fig.
11.10.

GSM uses FDD and a combination of TDMA and FDMA schemes to provide multiple access to
mobile subscribers. The available forward and reverse frequency bands are divided into 200-kHz
wide channels called ARFCNs (Absolute Radio Frequency Channel Numbers). The ARFCN

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denotes a forward and reverse channel pair that is separated in frequency by 45 MHz and each
channel is time shared between as many as eight subscribers using TDMA.
The total number of available channels within a 25-MHz bandwidth is 125 (assuming no guard
band).

Since each radio channel consists of eight time slots, there are thus a total of 1000 traffic channels
within a GSM. In practical implementations, a guard band of 100 kHz is provided at the upper and
lower end of the GSM spectrum, and only 124 channels are available for use. Each carrier supports
eight time slots for the TDMA operation. Each of the eight subscribers uses the same ARFCN and
occupies a unique Time Slot (TS) per frame. A guard frame of 8.25 bits is used in between any two
frames transmitted either by the BS or the MS. The data rate of each carrier is 270.833 kbps that is
provided with a modulation scheme known as GMSK (Gaussian Minimum Shift Keying) that is a
variant of FSK having a frequency deviation of ± 67.71 kHz. The channel data rate of GSM is
270.833 kbps, which is exactly four times the RF frequency shift. This minimises the bandwidth
occupied by the modulation spectrum and hence improves channel capacity. The MSK modulated
signal is passed through a Gaussian filter to smooth the rapid frequency transitions that would
otherwise spread energy into adjacent channels. The bandwidth-time product (B × Tb) of GMSK is
standardised at 0.3, a normalised bandwidth expansion factor where 0.3 describes the 3 dB
bandwidth of the Gaussian pulse shaping filter with relation to the bit rate, which provides the best
compromise between increased bandwidth occupancy and resistance to cochannel interference.
Ninety-nine per cent of the RF power of GMSK signals so specified is confined to a bandwidth of
250 kHz, which means that, for all practical purposes, the sidelobes of the GMSK signal are
insignificant, and outside this frequency band. With the channel data rate of 270.833 kbps, the
duration of each bit is 3.69 μs, and the effective channel transmission rate per user is 33.854 kbps
(270.833 kpbs/8 users). With overhead, user data is actually transmitted at a maximum rate of 24.7
kbps. The user transmission packet burst is fixed at 577 μs, which accommodates information bits
and a time gap between the packets for duration equivalent to 156.25 channel bits times the bit
duration of 3.69 μs.

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GSM employs a moderately complicated, 13-kbps regular pulse-excited speech codec

(coder/decoder) with a long-term predictor. To provide error protection for the speech-encoded bits,
concatenated convolutional codes and multilayer interleaving are employed. An overall speech
delay of 57.5 ms occurs in the system.

GSM Logical Channels

The combination of a time slot number and an ARFCN constitutes a physical channel for both the
forward and reverse links. Each physical channel in a GSM system can be mapped into different
logical channels at different times. That is, each specific time slot or frame may be dedicated to
either handling traffic data (user data such as speech, facsimile, or teletext data), signaling data, or
control channel data (from the MSC, base station, or mobile subscriber).
Communication between the mobile subscriber and the base station is involved with both voice as
well as signaling and control. Voice and signaling packets are inserted in a hierarchy and mobile
subscribers use counters to identify the location of specific packet bursts in the overall structure of
the frames. The entire communication system can be thought of as a distributed real-time computer
that uses a number of instructions to transfer information packets from one location to another.
Initial signaling is needed for registration and call establishment, followed by maintaining the
synchronisation among the mobile subscribers, mobility management, and need to transfer the data
traffic.
There is a need of a set of instructions and ports to instruct different elements of the cellular network
to perform their specified duties. In cellular communication systems, these ports are referred to as

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logical channels. Logical channels use a physical TDMA slot or a portion of a physical slot to
specify an operation in the network in GSM. GSM uses a variety of multiplexing techniques to
create a collection of logical channels.
The GSM specification defines a wide variety of logical channels that can be used to link the
physical layer with the data link layer of the GSM network. These logical channels efficiently
transmit user data while simultaneously providing control of the network on each ARFCN. GSM
provides explicit assignments of time slots and frames for specific logical channels. The logical
channels used by a GSM system are shown in Table 11.2.

The logical channels in the GSM network are divided into two principal categories: Control
Channels (CCHs) and Traffic Channels (TCHs). Control channels carry signaling and synchronising
commands between the base station and the mobile station. Certain types of control channels are
defined for just the forward or reverse link. Traffic channels carry digitally encoded user speech or
user data and have identical functions and formats on both the forward and reverse link. GSM
system uses a variety of logical control channels to ensure uninterrupted communication between
MSs and the BS.
GSM Control Channels
There are three classes of control channels defined in GSM: Broadcast Channels (BCH), Common
Control Channels (CCCH), and Dedicated Control Channels (DCCH). Each control channel
consists of several logical channels that are distributed in time to provide the necessary GSM control
functions. Specifically, the BCH and CCCH forward control channels are allocated only TS 0 and
are broadcast only during certain frames within a repetitive fifty-one frame sequence (called the
control channel multiframe) on those ARFCNs which are designated as broadcast channels. TS1
through TS7 carry regular TCH traffic, so that ARFCNs that are designated as control channels are
still able to carry full-rate users on seven of the eight time slots.
The GSM specification defines thirty-four ARFCNs as standard broadcast channels. For each
broadcast channel, the frame number 51 does not contain any BCH/CCCH forward channel data
and is considered to be an idle frame. However, the reverse channel CCCH is able to receive

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subscriber transmissions during TS 0 of any frame (even the idle frame). On the other hand, DCCH
data may be sent during any time slot and any frame, and entire frames are specifically dedicated to
certain DCCH transmissions.
The BCH channels are broadcast from the BTS to MSs in the coverage area of the BTS, and thus
are oneway channels. The broadcast channel operates on the forward link of a specific ARFCN
within each cell, and transmits data only in the first time slot (TS 0) of certain GSM frames. The
BCH provides synchronisation for all mobiles within the cell and is occasionally monitored by
mobiles in neighbouring cells so that received power and MAHO decisions may be made by out-
of-cell users. Although BCH data is transmitted in TS 0, the other seven time slots in a GSM frame
for that same ARFCN are available for TCH data, DCCH data, or are filled with dummy bursts.
Furthermore, all eight time slots on all other ARFCNs within the cell are available for TCH or
DCCH data. There are three separate broadcast channels that are given access to TS 0 during various
frames of the 51-frame sequence.
(a) The Broadcast Control Channel (BCCH) is used by BTS to broadcast system parameters such
as the frequency of operation in the cell, operator identifiers, cell ID, and available services to all
the MSs. Once the carrier, bit, and frame synchronisation between the BTS and MS are established,
the BCCH informs the MS about the environment parameters associated with the BTS covering that
area such as current control channel structure, channel availability, and congestion. The BCCH also
broadcasts a list of channels that are currently in use within the cell. Frames 2 through frame 5 in a
control multiframe (4 out of every 51frames) contain BCCH data. The BCCH is physically
implemented over the Normal Burst (NB). The BCCH is also a continuously keyed channel, and it
is used for signal strength measurements for hand-off.
(b) The Frequency Correction Control Channel (FCCH) is used by the BTS to broadcast frequency
references and frequency correction burst of 148 bits length. An MS in the coverage area of a BTS
uses the broadcast FCCH signal to synchronise its carrier frequency and bit timing. The FCCH is a
special data burst that occupies TS 0 for the very first GSM frame (Frame 0) and is repeated every
ten frames within a control channel multiframe. The physical Frequency Correction Burst (FCB) is
used to implement
the logical FCCH.
(c) The Synchronisation Channel (SCH) is used by the BTS to broadcast frame synchronisation
signals containing the synchronisation training sequences burst of 64 bits length to all MSs. Using
SCH, MSs will synchronise their counters to specify the location of arriving packets in the TDMA
hierarchy. SCH is broadcast in TS 0 of the frame immediately following the FCCH frame and is
used to identify the serving base station while allowing each mobile to frame-synchronise with the
base station. The frame number, which ranges from 0 to 2,715,647, is sent with the Base Station
Identity Code (BSIC) during the SCH burst. The BSIC is uniquely assigned to each BTS in a GSM
system. Since a mobile may be as far as 30 km away from a serving base station, it is often necessary
to adjust the timing of a particular mobile user such that the received signal at the base station is
synchronised with the base station clock. The BSC issues coarse timing advancement commands to
the mobile stations over the SCH, as well. The SCH is transmitted once every ten frames within the
control channel multiframe. The physical Synchronisation Burst (SB) is used to implement SCH.
The Common Control Channels (CCCH) are also one-way channels used for establishing links
between the MS and the BS, as well as for any ongoing call management. CCCHs are the most
commonly used control channels and are used to page specific subscribers, assign signaling
channels to specific users, and receive mobile requests for service. On the broadcast channel
ARFCN, the common control channels occupy TS 0 of every GSM frame that is not otherwise used
by the BCH or the Idle frame. There are three CCCH logical channels:
(a) The Paging Channel (PCH) is a forward link channel and is used by the BTS to page or notify a
specific individual MS for an incoming call in the cell. The PCH transmits the IMSI of the target
subscriber, along with a request for acknowledgment from the mobile unit on the RACH.

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Alternatively, the PCH may be used to provide cell broadcast ASCII text messages to all
subscribers, as part of the SMS feature of GSM. The PCH is implemented on a Normal Burst (NB).
(b) The Random Access Channel (RACH) is a reverse link channel and is used by the MS either to
access the BTS requesting the dedicated channel for call establishment or to acknowledge a page
from the PCH. The RACH is used with implementation of a slotted-ALOHA protocol, which is
used by MSs to contend for one of the available slots in the GSM traffic frames. The RACH is
implemented on the short Random Access Burst (RAB). All mobiles must request access or respond
to a PCH alert within TS 0 of a GSM frame. At the BTS, every frame (even the idle frame) will
accept RACH transmissions from mobiles during TS 0. In establishing service, the GSM base
station must respond to the RACH
transmission by allocating a channel and assigning a Standalone Dedicated Control Channel
(SDCCH) for signaling during a call. This connection is confirmed by the base station over the
AGCH.
(c) The Access Grant Channel (AGCH) is used by the base station to provide forward link
communication to the mobile for implementation of the acknowledgement from the BTS to the MS
after a successful attempt by MS using RACH in a previous CCCH frame. AGCH is also used by
the BS to send information about timing and synchronisation to the MS. The AGCH carries data
that instructs the mobile to operate in a particular physical channel (time slot and ARFCN) with a
particular dedicated control channel. The AGCH is the final CCCH message sent by the base station
before a subscriber is moved off the control channel. This channel is implemented on a Normal
Burst (NB) and indicates the TCH for access to the GSM network.
The Dedicated Control Channels (DCCH) are two-way channels having the same format and
function on both the forward and reverse links, supporting signaling and control for individual
mobile subscribers, and are used along with voice channels to serve for any control information
transmission during actual voice communication. DCCHs may exist in any time slot and on any
ARFCN except TS 0 of the BCH ARFCN.
There are three DCCH logical channels:
(a) The Stand-alone Dedicated Control Channel (SDCCH) is a two-way channel allocated with
SACCH to each mobile terminal to transfer network control and signaling information for call
establishment and
mobility management, just before a TCH assignment is issued by the base station. The SDCCH
ensures that the mobile station and the base station remain connected while the base station and
MSC verify the subscriber unit and allocate resources for the mobile. The SDCCH is used to send
authentication and alert messages (but not speech) as the mobile synchronises itself with the frame
structure and waits for a TCH. SDCCHs may be assigned their own physical channel or may occupy
TS 0 of the BCH if there is low demand for BCH or CCCH traffic. The physical channel for SDCCH
occupies four slots in every 51 control-multiframes with an approximated gross data rate of 2 kbps
per mobile terminal.
(b) The Slow Associated Control Channel (SACCH) is a two-way channel always associated with
a TCH or a SDCCH and maps onto the same physical channel. The SACCH is used to exchange
the necessary parameters between the BTS and the MS during the actual transmission to maintain
the communication link. Each ARFCN systematically carries SACCH data for all of its current
users. The gross data rate of the SACCH channel is half of that of the SDCCH. On the forward link,
the SACCH is used to send slow but regularly changing control information to the mobile
subscriber, such as transmit power level instructions and specific timing advance instructions for
each user on the ARFCN. The reverse
SACCH carries information about the received signal strength and quality of the TCH, as well as
BCH measurement results from neighbouring cells. The SACCH is transmitted during the thirteenth
frame (and the twenty-sixth frame when half-rate traffic is used) of every speech/dedicated control

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channel multiframe, and within this frame, the eight time slots are dedicated to providing SACCH
data to each of the eight full-rate (or sixteen half-rate) users on the ARFCN.
(c) The Fast Associated Control Channel (FACCH) is a two-way channel used to support fast
transitions such as a hand-off request in the channel when SACCH is not adequate. The FACCH is
physically multiplexed with the TCH or SDCCH to provide additional support to the SACCH. In
fact, FACCH is not a dedicated control channel but carries the same information as SDCCH.
However, FACCH is a part of the traffic channel, while SDCCH is a part of the control channel. To
facilitate FACCH to steal certain bursts from the TCH forward channel burst, there are 2 flag bits,
called the stealing bits in the message. If the stealing bits are set, the time slot is known to contain
FACCH data, not a TCH, for that frame.
Control information in GSM is mainly on two logical channels––the Broadcast Channel (BCCH)
and the Paging Channel (PCH). As with TDMA, it is unnecessary to use a whole RF channel for
this. Instead, one of the eight time slots on one RF channel in each cell or sector is designated as a
control channel. The broadcast information is transmitted first, followed by paging information.
Figure 11.11 shows the structure of a GSM logical control channel.
The corresponding reverse channel to the forward channels BCCH and PCH is called the Random-
Access Channel (RACH). It is used by the mobile subscribers to communicate with the cell-site.
Mobile subscribers transmit on RACH channel whenever they have information. Transmissions are
shorter than the duration of the time slot to prevent interference caused by the propagation delay
between the mobile and cell-site.The mobile subscriber equipment has only one receiver. It cannot
count on receiving the broadcast channel during a call because both channels may use the same time
slot. It is necessary to send control information on the voice channels. There are two control
channels associated with the voice channel. The slow associated control channel uses one of every
26 bursts on the voice channel. It is used to inform the serving cell-site about the measurements of
the signal strength of adjacent cells made by the mobile subscriber. The fast associated control
channel steals bits from the voice signal and is used for urgent messages from the cell-site such as
hand-off instructions.

GSM Traffic Channels

Voice channels are called Traffic Channels (TCH) in GSM. Traffic channels are two-way channels
carrying the voice and data traffic between the MS and BTS. In the GSM standard, TCH data may
not be sent in TS 0 within a TDMA frame on certain ARFCNs that serve as the broadcast station
for each cell (since TS 0 is reserved for control channel bursts in every frame). Traffic channels
carry digitally encoded user speech or user data and have identical functions and formats on both
the forward and reverse link. One RF channel is shared by eight voice transmissions using TDMA.
In terms of spectral efficiency, GSM works out to 25 kHz per voice channel, compared to about 30
kHz for AMPS and about 10 kHz for TDMA-based IS-54 or IS-136 systems. This is an approximate
comparison as it ignores differences in control-channel overhead.
As in TDMA-based systems, the mobile transmitter operates only during its allotted time slot.
Assuming other parameters similar, a GSM mobile phone has longer battery life than a phone using
either AMPS or IS-54/IS-136 because GSM mobile transmits in one-eighth of the time, compared
with one-third of the time in TDMA-based IS-54/IS-136 system.

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Figure 11.12 illustrates how the TCH data is transmitted in consecutive frames.

Furthermore, frames of TCH data are broken up every thirteenth frame by either Slow Associated
Control Channel Data (SACCH) or idle frames. Each group of twenty-six consecutive TDMA
frames is called a multiframe (or speech multiframe, to distinguish it from the control channel
multiframe described later). For every twenty-six frames, the thirteenth and twenty-sixth frames
consist of Slow Associated Control Channel (SACCH) data, or the idle frame, respectively. The
twenty-sixth frame contains idle bits for the case when full-rate TCHs are used, and contains
SACCH data when half-rate TCHs are used. TCH logical channels are implemented over the normal
burst. There are two types of TCH channels:

The full-rate traffic channel (TCH/F) uses a 13 kbps speech-coding scheme and 9,600 bps, 4,800
bps, and 2,400 bps data. After including signaling overhead, each full-rate traffic channel has a
gross bit rate of 22.8 kbps for the network. When transmitted as full-rate, user data is contained
within one time slot per frame.
The following full-rate speech and data channels are supported:

Full-Rate Traffic Data Channel (TCH/F) The full-rate speech channel carries user speech that is
digitised at a raw data rate of 13 kbps. With GSM channel coding added to the digitised speech, the
full-rate speech channel carries 22.8 kbps.

Full-Rate Data Channel at 9600 bps (TCH/F9.6) The full-rate traffic data channel carries raw user
data that is sent at 9600 bps. With additional forward-error-correction coding applied by the GSM
standard, the 9600 bps data is sent at 22.8 kbps.

Full-Rate Data Channel at 4800 bps (TCH/F4.8) The full-rate traffic data channel carries raw user
data that is sent at 4800 bps. With additional forward-error-correction coding applied by the GSM
standard, the 4800 bps is sent at 22.8 kbps.

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Full-Rate Data Channel at 2400 bps (TCH/F2.4) The full-rate traffic data channel carries raw user
data that is sent at 2400 bps. With additional forward error correction coding applied by the GSM
standard, the 2400 bps is sent at 22.8 kbps.

The half-rate traffic channel (TCH/H) uses 16 time slots per frame that has a gross bit rate of 11.4
kbps (half of gross bit rate of full-rate traffic channel). The half-rate TCH supports 4800 bps and
2400 bps data rate only. When transmitted as half-rate, user data is mapped onto the same time slot,
but is sent in alternate frames. That is, two half-rate channel users would share the same time slot,
but would alternately transmit during every other frame. The following half-rate speech and data
channels are supported:

Half-Rate Traffic Data Channel (TCH/H) The half-rate speech channel has been designed to carry
digitised speech which is sampled at a rate half that of the full-rate channel. GSM anticipates the
availability of speech coders that can digitise speech at about 6.5 kbps. With GSM channel coding
added to the digitised speech, the half-rate speech channel will carry 11.4 kbps.

Half-Rate Traffic Data Channel at 4800 bps (TCH/H4.8) The half-rate traffic data channel carries
raw user data that is sent at 4800 bps. With additional forward-error-correction coding applied by
the GSM standard, the 4800 bps data is sent at 11.4 kbps.

Half-Rate Traffic Data Channel at 2400 bps (TCH/H2.4) The half-rate traffic data channel carries
raw user data that is sent at 2400 bps. With additional forward-error-correction coding applied by
the GSM standard, the 2400 bps data is sent at 11.4 kbps.

The cell-site instructs the mobile subscriber to advance or retard the timing of its transmissions to
compensate for the changes in propagation delay as it moves about in the cell. In this way, the
transmission delay problem is avoided on the traffic channels.

FRAME STRUCTURE FOR GSM

Transmission in any TDMA-based wireless communication system is in the form of a repetitive

sequence of frames. Each TDMA frame is divided into a number of uniform time slots. Each time
slot position across the sequence of frames forms a separate logical channel. It is very critical to
determine the length and composition of the logical channel time slot that will provide effective
speech and data transmission with efficient use of the available frequency spectrum. In designing
an appropriate frame structure in TDMA, the following requirements are generally considered:

Frequency Band of Operation The most common spectrum allocated to cellular mobile
communication applications is around 900 MHz. Number of Logical Channels or Number of Time
Slots in TDMA Frame In order to justify the additional costs of multiplexing, let the minimum
number of time slots per TDMA frame be 8 so as to serve eight simultaneous users.
Channel Bandwidth The current channel bandwidth being used for analog FM cellular systems in
Europe is 25 kHz. To serve 8 mobile subscribers using TDMA technique, the channel bandwidth
should not exceed200 kHz.

Maximum Cell Radius (R) To provide radio service to high traffic in rural areas, let the maximum
cell radius be 35 km. Maximum Vehicle Speed ( Vm ) To accommodate mobile subscriber units
traveling on expressways or highspeed trains, the maximum vehicle speed be 250 km/h.

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Maximum Delay Spread (Δm ) Delay spread is the difference in propagation delay among different
multipath signals arriving at the same Rx antenna. Typical delay spread in mountainous regions is
about 10 seconds.
Maximum Coding Delay To avoid unnecessary delays within the fixed wireless network, which
may involve satellite links, maximum coding delay be approximately 20 milliseconds.

Figure 11.13 suggests the general steps to be considered in designing the time slot in a TDMA
frame.

In the design of time slot of a TDMA frame, an appropriate data rate of the speech coder should be
decided
first. It is desirable that the speech coder must provide satisfactory speech quality at minimum data
rate. The
PCM speech coder has a data rate of 64 kbps, which is undesirably high for use with wireless
systems. A data
rate of 12 kbps is reasonable for reproducing good-quality speech. Since the coding delay is
restricted to
20 milliseconds, the encoded speech can be formed into blocks of 20 ms duration. This converts the
speech
samples of 12 kbps × 20 ms = 240 bits.
Error correction can then be applied to the 240-bit blocks. Using a convolutional error-correcting
technique
with a code rate of , the number of bits in a block of 20-ms speech at 12 kbps rate increases to
(2 × 240 bits =) 480-bits. With a constraint length of 5, 4 bits per block of 240 bits are added to
account for
the length of the shift register. This brings the speech block length to (480 + 2 × 8 =) 488 bits. With
these
parameters, the minimum bit rate for an eight-channel TDMA system can be computed as follows:
Number of bits in one channel = 488 bits
Number of channels or time sots = 8
Total number of bits in 8 time slots = 488 bits × 8 = 3904 bits
Duration of one speech block = 20 ms
Overall minimum channel bit rate =3904 bits/20 ms = 195.2 kbps
To take care of other design considerations, the gross channel bit rate will be slightly higher, and
let it be greater than 200 kbps in the available channel bandwidth of 200 kHz. In a mobile radio
environment, such data rates can be achieved with the use of adaptive equalisation. Adaptive
equalisation will require the inclusion of a new training sequence in each time slot when the mobile
subscriber moves a sufficient distance to potentially cause changes in the characteristics of
transmission path. Assume that the phase angle of the carrier signal changes by λc /20 of the
maximum vehicle speed. Thus, at 900 MHz (λc = 0.333m), we have
Maximum transmission duration (one-way) = (λc / 20)/Vm
Maximum transmission duration (one-way) = (0.333m/20)/250 km/h

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Maximum transmission duration (one-way) = 0.24 ms

Or, Maximum transmission duration (two-way) = 2 × 0.24 = 0.48 ms
Hence, Duration for data transmission in a time slot, d = 0.48 ms
Assuming the number of taps on the adaptive equaliser to be equal to 6 times the number of bits
transmitted
in the maximum dispersal time (Δm = 0.01 ms), the amount of time needed for the training sequence
in the time slot, t = 0.06 ms.
To account for the differing amounts of delay between different mobile units and the base station,
a guard
interval is needed at the end of each time slot. Because eight mobile subscriber units share the same
TDMA frame,
it is necessary to adjust the timing of the transmissions of the mobile subscriber units so that the
transmission from
one mobile subscriber does not interfere with adjacent time slots. The guard time can be computed
as follows.
Let the average duration of the voice call = 120 seconds
Maximum vehicle speed of the mobile = 250 km/h
Therefore, the radial distance a mobile moving toward or away from the base station located at the
centre of
the cell = (250 km/h) × (120 s) = 8333 m
The change in propagation delay = 8333 m/(3 × 108 m/s) ≈ 0.03 ms
Or, Required duration for guard interval, g = 0.03 ms
Figure 11.14 shows the tentative design of a time slot, depicting time duration of two blocks of data
before
and after the training sequence and guard time.

So, Maximum time duration of a time slot, Ts = Td + Tts + Tg

Maximum time duration of a time slot, Ts = 0.48 ms + 0.06 ms + 0.03 ms
Maximum time duration of a time slot, Ts = 0.57 ms
Number of time sots in a TDMA frame = 8
Duration of a TDMA frame = 8 × 0.57 ms = 4.6 ms
This is quite close to actual design of a TDMA time slot and frame structure used in GSM.
Fundamentally, each 200-kHz frequency band is divided into 8 logical channels defined by the
repetitive occurrence of time slots. The GSM system uses the TDMA scheme shown in Fig. 11.15
with a 4.615 ms-long frame, divided into eight time slots each of 557 μs. Each frame is 156.25 bits
long, of which 8.25 bits are guard bits.
At the lowest level is the time slot or a burst period, which has a duration of approximately 577 μs.
With a bit rate of 270.833 kbps, each time slot has a length of 156.25 bits. The time slot includes
the following fields :Tail Bits, T (3 Bits each at the Beginning and End of a Time Slot Excluding
Guard Bits) It allows synchronisation of transmissions from mobile units located at different
distances from the base station. Encrypted Data (114 Bits) Data is encrypted in blocks by
conventional encryption of 114 plaintext bits into 114 ciphertext bits; the encrypted bits are then
placed in two 57-bit data fields in the time slot.

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Stealing Bit, S (1 Bit each at the End of Two 57-Bit Data Fields in the Time Slot) It is used to
indicate whether this block contains data or is stolen for urgent control signaling purpose during the
call. Training Data (26 Bits) It is used to adapt the parameters of the receiver to the current path-
propagation characteristics and to select the strongest signal in case of multipath propagation. The
training sequence is a known bit pattern that differs for different adjacent cells. It enables the mobile
subscriber units and base stations to determine that the received signal is from the desired base
station and not from a strong interfering base station. In addition, the training sequence is used for
multipath equalisation, which is used to extract the desired signal from unwanted reflections.

Guard Bits, G (8.25 Bits) It is used to avoid overlapping with other bursts due to different path
delays. The 148 bits of a data burst are used to transmit the information. Delimited by tail bits
(consisting of 0s), the frame contains 26 training bits sandwiched between two bursts of data bits.
These training bits allow the receiver to synchronise itself.
Moving up the frame format hierarchy, 8-time slots TDMA frames are typically organised into a
26-frame multiframe. One of the frames in the multiframe is used for control/signaling and another
is currently unused, leaving 24 frames for data traffic. Thus, each traffic channel receives one slot
per frame and 24 frames per 120-ms multiframe.
The gross channel data rate can be calculated as follows:
Number of data bits per time slot = 114 bits
Number of time slots per multiframe = 24
So, Number of bits per multiframe = 24 × 114 bits = 2736 bits
Time duration of one multiframe = 120 ms
So, Gross data rate = 2736 bits/120 ms = 22.8 kbps
GSM uses a complex hierarchy of TDMA frames to define logical channels, as shown in Fig. 11.16.
The GSM specification also allows half-rate traffic channels, with two traffic channels each
occupying one time slot in 12 of the 26 frames. With the use of half-rate speech coders, this
effectively doubles the capacity of the system. There is also a 51-frame multiframe used for control
traffic. Thus, many frames are
combined to constitute multiframe, superframe, and hyperframes.

Physical Data Bursts in GSM

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Each user transmits a burst of data during the time slot assigned to it. GSM supports five types of
packet data bursts used for control and traffic signaling. The normal burst, shown in Fig. 11.17, is
used for TCH and DCCH transmissions on both the forward and reverse link.
The normal burst consists of three bits each at the beginning and at the end of the data burst, 8.25
bits of guard period, two sets of 58 bits encrypted bits (a total of 116 bits), and a 26-bits training
sequence

The start bits are 000 providing a gap time for the digital radio circuitry to cover the uncertainty
period to ramp on and off for the radiated power and to initiate the convolutional decoding of the
data. The 26-bit training sequence is used to train the adaptive equaliser at the receiver. The training
of the equaliser is in the middle of the burst because the channel behaviour is constantly changing
during the transmission of the data burst. The 116 encrypted data bits include 114 bits of data and
two flag bits at the end of each part of the data that indicates whether data is user traffic or signaling
and control information during the call.
The Frequency-Correction (FCCH) burst is used in TS 0 of specific frames to broadcast the
frequency synchronisation control messages by the BTS on the forward link. MSs use it to
synchronise with the master clock in the system. The frame format of the FCCH data burst is shown
in Fig. 11.18.

The FCCH burst has three bits at the start and the end of the data field. The rest of the data burst
contains all 0s that allows transmission of the unmodulated carrier frequency. Guard period
equivalent to 8.25-bits duration is used between two bursts.
The synchronisation (SCH) burst, as shown in Fig. 11.19, is very similar to the normal burst except
that the training sequence is longer and the coded data are used for the specific task of identifying
the network. The SCH burst is used in TS 0 of specific frames to broadcast the frequency and time
synchronisation control messages on the forward link.

The BTS broadcasts the SCH burst, and the MSs use it for initial training of the equaliser, initial
learning of the network identity and to synchronise the time slots.
The random access (RACH) burst, as shown in Fig. 11.20, is used by the MS to access the BS as it
registers to the network.

The overall structure of the RACH data burst is similar to the normal data burst except that a longer
start bits and synchronisation sequence is used to initiate the equaliser. A much longer guard period
of 68.25 bits allows approximate estimation of the distance of the MS from its serving BTS. The
distance can be computed from the arrival time of the RACH burst. A guard period of 68.25 bits
translates to 252 μs.
The signal transmitted from a MS should travel more than 75.5 km (at the signal speed of 300,000
km/sec) before arriving at the BTS to exceed this guard period.

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The dummy burst, as shown in Fig. 11.21, is used as filler information for unused time slots on the
forward link.

Problem :Explain the concept of GSM superframe, multiframe, TDMA frame and time slot in a
GSM channel. Give suitable illustration for GSM frame hierarchy.
Solution
When a number of different time slots carry various types of control signals and user data traffic, a
hierarchy is needed to identify the location of certain type of bursts among the large stream of bursts
that are directed toward different mobile subscribers. Each mobile subscriber needs a number of
counters to track the related frames at different levels of the frame hierarchy. Figure 11.22 illustrates
the frame structure.

The Concept of Time Slot in GSM Channel A time slot consists of 156.25 bits that are transmitted
at a rate of 270.833 kbps. In one time slot, 114 bits are encrypted data bits transmitted as two times
57 data bits each. The training sequence in the middle of the time slot consists of 26 bits. It allows
the adaptive equaliser in the receivers of the base station and mobile unit to analyse the
characteristics of the wireless channel before decoding the user data. On either side of the training
sequence, there are control bits called stealing flags. The bit value of these two flags distinguishes
the time slot to contain either the voice or control information
during the call.
The Concept of TDMA Frames in GSM Channel During a frame, one time slot is used to transmit
only and another time slot is used to receive only. The remaining six time slots of a frame can be
used to measure received signal level from its serving base station as well as that from up to five
adjacent base stations.

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The GSM radio-interface standard provides a variety of control channels and traffic channels
defined in a hierarchy built upon the basic eight-slot TDMA transmission format. The frame
hierarchy, depicted inFig. 11.23, shows the TDMA hierarchy of the GSM network from a normal
data burst of 577 μs interval to a hyperframe of length of around three-and-half hours.
The basic building block of the GSM frame hierarchy is a 4.615-ms TDMA frame. Each frame
comprises of eight data bursts or time slots. The time-slot interval is equivalent to the transmission
time for about 156.25 bits, comprising of 114 bits user data and the remaining overhead bits. A
TDMA frame contains 8 × 156.25 bits = 1250 bits. The frame rate is 270.833 kbps/1250 bits/frame
= 216.66 frames per second. The Concept of Multiframes in GSM Channel Each of the normal
speech frames are grouped into larger structures called multiframes, superframes and hyperframes.
The 13th or 26th frames are used for control data only. Each 120-ms multiframe is composed of 26
fram es––24 frames carry user information, and two framescarry system control information related
to individual users. The gross data rate per user is 24 × 114 bits / 120 ms = 22.8 kbps. The speech
coder has a net data rate of 13 kbps, and the addition of error-correction coding results into gross
transmission data rate up to 22.8 kbps per user. The eight-slot TDMA frames may be also organised
into control multiframes. Control multiframes are used to establish several types of signalling and
control channels used for system access, call set-up, synchronisation, and other system control
functions. The control multiframes span 51 TDMA frames.

The Concept of Superframes in GSM Channel Either traffic or control multiframes are grouped into
superframes, which are in turn grouped into hyperframes. One traffic multiframe contains 26
frames, and one traffic superframe contains 51 traffic multiframes, or 1326 frames. A hyperframe
contains 2048 superframes, or 2,715,648 frames. A complete hyperframe takes about every 3 hours,
28 minutes, and 54 seconds. The encryption algorithms rely on the particular frame number, and
sufficient security can only be obtained by using a large number of frames as provided by the
hyperframe. Counters at the mobile subscribers need to track the frame numbers at hyperframe,
superframe, and multiframe levels to communicate with the network.

GSM CALL PROCEDURES

There are three mechanisms of call establishment which are embedded in all voice-oriented cellular
communication
networks that allow a mobile subscriber to establish and maintain a connection with the network.
These mechanisms are registration of the mobile subscriber, call establishment, and hand-off
procedures. Registration takes place as soon as the mobile subscriber unit is switched on. Call

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establishment occurs when the mobile subscriber initiates or receives a call. Hand-off mechanism
enables the MS to change its connection link from one part of the network to another part.

Registration

For an MS to operate in an MSC, it must be registered by accessing the BTS. The MSC assigns a
TMSI to the MS and updates the information in VLR and HLR. Whenever the MS is switched on,
there is a need to possibly establish a new registration with the cellular network. Sometimes a mobile
subscriber is required to connect to the cellular network at different locations through a BS that may
not be owned by its home service provider. Technically speaking, the MS passively synchronises
to the frequency, bit, and frame timings of the nearest BS to get ready for information exchange.
The MS receives the cell identity, and system parameters determine its location in the cellular
network. If the present location is not the same as before, the MS initiates a registration procedure.
During a registration procedure, the system provides the MS with a control channel for preliminary
signaling. The MS provides its own identity, and finally the system authenticates the MS.
The MS registration process is described in Table 11.3 when a mobile subscriber is switched on in
a new MSC area. Firstly, a radio communication link is established between the MS and BTS to
process the registration. It is followed by an authentication process by the system, and assignment
of TMSI. Records are updated in the VLR and HLR. After successful registration, the temporary
radio communication link is released.

In the mobile communication environment, there are two separate call-establishment procedures for
mobile-to-network and network-to-mobile calls. Mobile-to-mobile calls are a combination of these
two. The detailed procedure for both types of call establishment in the GSM network is described
next.

Mobile-to-Network Call

The mobile subscriber monitors the BCH and gets synchronised to the nearest base station. By
receiving the BCCH, FCCH, and SCH messages, the mobile subscriber is locked on to the system.
To initiate a call, the mobile subscriber first dials the called subscriber number and presses the send
button on the GSM mobile phone. The mobile subscriber transmits a burst of RACH data on the
same ARFCN as the base station.

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The base station then responds with an AGCH message on the CCCH which assigns the mobile
subscriber to a new channel for SDCCH connection. The mobile subscriber, receives its ARFCN
and TS assignment from the AGCH on TS 0 of the BCH, and then immediately shifts to the new
ARFCN and TS.The step-by-step procedure for mobile-originated call establishment is described
in Table 11.4

The mobile subscriber first waits for the SACCH frame on the SDCCH, to inform the mobile
subscriber of any required timing advance and transmitter power command. The mobile subscriber
is now able to transmit
normal burst messages as required for speech traffic. The SDCCH sends messages such as
authentication and user validation between the mobile subscriber and the base station. The PSTN
connects the called landline subscriber
to the MSC. The MSC switches the voice connection to the serving base station. The mobile
subscriber receives a command by the base station via the SDCCH to retune to a new ARFCN and
TS for the TCH assignment. Speech data is transferred on both the forward and reverse channels,
and the SDCCH is released.

Network-to-Mobile Call

To make a call from a landline telephone subscriber, the call-request information is processed
through the gateway MSC to the destination MSC after getting the information from the home HLR
of the called mobile subscriber. Then the called mobile subscriber is contacted through the BSS.
The base station broadcasts a PCH message on the BCH. The mobile subscriber locks on to the
same ARFCN, decodes its page and responds with an RACH message. The base station then uses
the AGCH on the CCCH to assign the mobile subscriber unit to a new channel for connection to
the SDCCH and SACCH while the network and the serving base station are connected. Once the
subscriber establishes timing advance and authentication on the SDCCH, the base station assigns
the TCH. As shown in Fig. 11.29, the PSTN directs the call initiated by the calling landline
telephone subscriber to the MSC identified by the dialed phone number of the called mobile
subscriber.

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The MSC requests routing information from the HLR. Since the mobile subscriber is roaming in
the area of a different MSC, the gateway MSC contacts the destination MSC. The VLR initiates a
paging procedure in all BSSs under the control of the MSC. After getting response from the MS,
the VLR sends the necessary system parameters to the MSC to establish the link to the MS.

GSM HAND-OFF PROCEDURES

Hand-off is usually initiated because of signal strength deterioration at the edge of a cell boundary.
Hand-off in GSM is divided into four major categories:
(a) Intracell-Cum-Intra-BTS Hand-off This type of hand-off is necessary when high interference
occurs during the call. The channel for the connection is changed within the cell by moving to
another frequency of the same cell or to another time slot of the same frequency. The hand-off
process is initiated by the base station.
(b) Intercell-Cum-Intra-BSC Hand-off In this type of hand-off, the change is in the radio channel
between two cells that are served by the same BSC. Initially, the hand-off request is initiated by the
serving BSS to the MSC. The MSC transmits the hand-off request to the destination BSS. After
receiving acknowledgement, the MSC gives the hand-off command. The mobile subscriber
transmits a hand-off complete message to the new BSS, which relays it to the MSC for releasing
the earlier occupied channel.
(c) Inter-BSC-Cum-Intra-MSC Hand-off A call connection is changed between two cells that are
served by different BSCs but operate in the same MSC. When the measured value of the received
signal strength at the mobile subscriber is lower than the threshold value, it informs the serving BSC
which initiates the hand-off command to the MSC of that area. The MSC relays the hand-off request
to the BSC, which sends a channel
activation request to its BTS. It is then possible for the hand-off call to be handled in the new MSC.
The BTS provides the MS with a list of available channels in neighbouring cells via the BCCH. The
mobile subscriber monitors the received signal strength from the BCCHs of these neighbouring
cells and reports these measured data to the MSC using the SACCH. This is called mobile-assisted
hand-off. The BTS also monitors the received signal strength from the mobile subscriber to make a
hand-off decision. The MSC negotiates a new channel with the new BSS and indicates to the mobile
subscriber that a hand-off should be made using a hand-off command. Upon completion of the hand-
off, the mobile subscriber confirms with a hand-off complete message to MSC.
Figure 11.30 shows the hand-off procedure between two BSSs that are controlled by one MSC.

(d) Inter-MSC Hand-off A connection is changed between two cells that are in different MSCs. This
situation

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occurs in case of roaming. This hand-off occurs wherein the home MSC is notified of the hand-off
condition
through the PSTN, and the home MSC sends the necessary data to the new MSC through the PSTN
again

GSM SERVICES AND FEATURES

GSM is an integrated voice-data service that provides a number of value-added services. A

telecommunication service supported by the GSM is defined as a group of communication
capabilities that the service provider

offers to the mobile subscribers. As per ISDN guidelines, GSM services are classified mainly into
three categories:
telephone services or teleservices, data or bearer services, and supplementary ISDN services.
Teleservices provides the mobile subscribers with necessary capabilities which enable them to
communicate with other subscribers. Bearer services give the mobile subscribers the capacity
required to transmit appropriate signals between network access points. Supplement services
supplement basic teleservices and are offered together or in association with other services..
Telephone services provide full-duplex voice communication applications between the calling and
called subscribers according to a standard protocol. Data or bearer services provide capabilities to
transmit information among user-network-interfaces. Traditional bearer services include a variety
of asynchronous and synchronous data access to PSTN/ISDN and packet switched public data
networks either in a transparent mode (where GSM provides standard channel coding for the user
data) or nontransparent mode (where GSM offers special coding efficiencies based on the particular
data interface).
Supplementary ISDN services are not standalone services but they are digital signaling services that
supplement telephone services or data services. Short Messaging Service (SMS) allows GSM
subscribers and base stations to transmit alphanumeric pages of limited length (160 7-bit ASCII
characters). SMS also provides cell broadcast, which allows GSM base stations to repetitively
transmit messages with as many as fifteen 93-character strings in a concatenated fashion. SMS may
be used for advertisement, safety, and advisory applications including broadcast of highway traffic
conditions or weather information to all GSM

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subscribers within reception range.

Short Message Service (SMS)

The Short Message Service (SMS) is the ability to send or receive a text message to or from mobile
subscriber phones. GSM system supports SMS messages using unused available bandwidth and has
several unique features. These features include automatic confirmation of message delivery. SMS
can be transmitted and received simultaneously with voice, data, or fax calls

This is possible because voice/data/fax calls utilise dedicated voice channels for the duration of the
call, while short messages occupy the control channels. SMS is basically a store and forward
service. If the recipient mobile subscriber is not available, the message can be stored with the
system. Each mobile cellular network that supports SMS has one or more messaging centres to
handle and manage the short messages. This means that SMS message is not sent directly from a
sender to the receiver but always processed via an SMS centre at MSC. A single SMS can be up to
160 characters of text in length. The characters may comprise of a combination of words, numbers,

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or alphanumeric characters. Nontext-based SMSs (binary format) are also supported. There are
ways of sending multiple SMSs also. For example, SMSs concatenation and SMS compression
within single short message features are available.

GSM Service Quality Requirements The GSM standards specify various requirements on the
quality of service delivered to the mobile users.
Some of these service requirements are
– The time from switching to service ready of 4 seconds in the home service area
– The time from switching to service ready of 10 seconds in the visiting service area
– A connect time of 4 seconds to the called network
– A release time of 2 seconds to the called network
– The time to alert a called mobile subscriber of an incoming call of 4 seconds in the first attempt
and
15 seconds in the subsequent attempts
– A maximum time gap due to hand-off of 150 ms in intercell handover
– A maximum time gap due to hand-off of 100 ms in intracell handover
– A maximum one-way speech delay of 90 ms
– An intelligibility of speech of 90%
– Probability of call release failure rate of less than 0.02%
– Probability of misconnection, incorrect charging, no tone or similar failure of less than 0.01%
– Probability of losing HLR/VLR messages of less than 0.000001%
– Mean accumulated downtime for one cell-site of less than 30 minutes per year
On the average, a fault that causes more than 50% of the established calls to be disconnected
prematurely will occur less than once a year. The service availability of an MSC is expressed in
terms of the frequency or duration of loss of service. The loss of service to particular switching
circuits, groups of switching circuits, subsystems, or the complete MSC is determined by the nature
of faults in the MSC.
The average cumulative duration of service denial due to faults affecting more than 50% of the
switching circuits will not exceed three minutes during the first year of operation and two minutes
during each subsequent year.

Power Classes in GSM

Power management in the system helps the service provider to control the interference among the
mobile subscribers and minimise the power consumption at the mobile unit. Therefore, power
management has direct impact on quality of service and the battery life. There are three major
classes of mobile phones: vehicle mounted, portable, and handheld mobile phones. Vehicle-
mounted mobile phones use the car battery, portable mobile phones use larger rechargeable
batteries, and handheld mobile phones use low-capacity smaller rechargeable batteries. The antenna
for the vehicle-mounted mobile phones is mounted outside the car, which is away from the user’s
body. The antenna for the portable mobile phones is mounted along with the transceiver.
GSM cells have radii ranging from 300 m to 35 km. The size of the cell determines the required
transmitted power for the BTS and the MS. To allow manufacturers and service providers to
accommodate the diversified requirements for different BTS and MS, a number of radiated power
classes are identified by the GSM standard. There are five power classes for the mobile phones from
+29 dBm (0.8 W) up to +44 dBm (20 W) with a 4-dB separation between consecutive mobile
classes. There are eight classes for the BTS radiated power ranging from +34 dBm (2.5 W) up to
+55 dBm (320 W) in 3-dB steps. The mobile subscriber Tx power is always controlled to its
minimum required value to minimise the interference and maximise the battery life. Power
adjustments in both directions are made using closedloop power control. The mobile subscriber is

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allowed to reduce its peak output power down to 20 mW in 2 dB steps. The BSS calculates the
optimum Tx power level for individual mobile subscribers by monitoring certain metrics of
performance such as the received signal power level, received signal-to-noise ratio, or received bit
error rate, and sends this information through control signaling packets to the mobile subscriber.

Frequency Hopping in GSM

In voice-oriented cellular networks, corrupted data packets are either discarded or retained with
incorrect value. In both these cases, distortion occurs in the voice signal at the receiver. If the
frequency channel coincides with a deep frequency selective fading or when the cochannel
interference is excessive, the distortion in the received voice signal will persist until the mobile
subscriber moves to some other location such that the frequency selective fading pattern is changed
or the cochannel interference is reduced.
One method to reduce the effect of the frequency selective fade or excessive cochannel interference
is to provide for a slow frequency-hopping pattern. This option is exercised in the GSM system that
supports an optional frequency-hopping pattern of 217.6 hops per second. When multipath fading
is a problem, the GSM system allows for frequency hopping. All GSM mobile phones are capable
of frequency hopping, but only those cells that are located in areas of severe fading are designated
as hopping cells. The system can hop only among the frequencies that are assigned to the cell, so
there will be only a few hopping possibilities.
Thus GSM is not really a true spread-spectrum system, but rather a TDMA/FDM system with some
spread spectrum capability added on. The maximum RF spectrum bandwidth for uplink or downlink
transmission is 25 MHz. Expressed as a percentage of the mean carrier frequency of 900 MHz, the
maximum frequency hopping for the downlink is approximately 25/900 × 100 = 2.8%.
With this percentage of maximum frequency hopping, it turns out that the time spent by a rapidly
moving mobile user in a deep fade is reduced to about 4.6 ms. This incidentally matches with the
frame duration. In the case of slowly moving mobile subscribers such as pedestrians, the frequency-
hopping algorithm produces substantial gains against fades. Each successive frame in a given
channel is carried on a different carrier frequency. Thus, the transmission frequency is changed once
every 4.615 ms.

EXAMPLE 11.10 Maximum frequency hopping in GSM

In Europe, GSM uses the frequency band of 890 to 915 MHz for uplink transmission, and the
frequency band of 935 to

Dept. of ECE/SJBIT Page 40

Optical and Wireless communication 21EC72

960 MHz for downlink transmission. Determine the maximum frequency hop from one frame to
the next for uplink
transmission and downlink transmission. Express it as a percentage of the mean carrier frequency.
Solution
Step 1. To find RF bandwidth for uplink transmission
Frequency band for uplink transmission = 890 MHz – 915 MHz (given)
RF Bandwidth for uplink transmission = 915 – 890 = 25 MHz
Step 2. To find RF bandwidth for downlink transmission
Frequency band for downlink transmission = 935 MHz – 960 MHz (given)
RF Bandwidth for downlink transmission = 960 – 930 = 25 MHz
Step 3. To find maximum frequency hop
Therefore, in either case, the maximum frequency hop or change from one frame to the next could
be 25 MHz.
Step 4. To express maximum frequency hop in %age.
For uplink transmission,
Mean carrier frequency = 890 + (915 – 890)/2 = 902.5 MHz
Maximum frequency hopping = 25/902.5
Hence, maximum frequency hopping = 0.0277 or 2.77%
For downlink transmission,
Mean carrier frequency = 935 + (960 – 935)/2 = 947.5 MHz
Maximum frequency hopping = 25/947.5
Hence, maximum frequency hopping = 0.0264 or 2.64%

Dept. of ECE/SJBIT Page 41