O3.3.

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WOCC 2014

An Optical Power Efcient Asymmetrically

Companded DCO-OFDM for IM/DD Systems
F. Barrami1,2 , Y. Le Guennec2 , E. Novakov2 and P. Busson1
Crolles, 850 rue Jean Monnet, Crolles, France
2 IMEP-LAHC, 3 parvis Louis Neel, Grenoble, France

1 STMircroelectronics

AbstractUnipolar forms of orthogonal frequency division

multiplexing (OFDM) such as DC biased optical OFDM (DCOOFDM) and asymmetrically clipped optical OFDM (ACOOFDM) are widely used in intensity-modulated and direct detection (IM/DD) systems. At low data rate, ACO-OFDM is more
efcient in terms of optical power but it suffers from spectral
inefciency. For large constellations, DCO-OFDM with large DC
bias has more optical power efciency, since it requires lower
constellation size than ACO-OFDM. However, the required DC
bias to obtain an acceptable clipping noise degrades the optical
power efciency. To overcome these drawbacks, we propose an
optimized DCO-OFDM technique capable to transmit large
constellations with a moderate DC bias. To reduce the clipping
impact, a linear companding function is used in order to compress
the negative part of the bipolar signal and therefore to reduce
the amount of the clipped peaks and the loss of information. We
demonstrate that the proposed technique has better bit error rate
and optical power performances than conventional DCO-OFDM
and ACO-OFDM. For a bit rate/normalized bandwidth of 6, a
gain of 4dB in optical power is reached.
Index TermsOptical OFDM; IM/DD systems; DCO-OFDM;
ACO-OFDM; companding; optical power.

I. I NTRODUCTION
Optical Orthogonal Frequency-Division Multiplexing
(OOFDM) is considered as the most promising technology
for next generation optical systems due to its high spectral
efciency and its immunity to inter-symbol interferences (ISI).
For example, for next generation passive optical networks
(NG-PON2), OFDM access based PON (OFDMA-PON) has
been shown to provide the highest upstream and downstream
rates with the highest passive reach [1], [2]. For low cost
approach, intensity modulation direct detection (IM/DD)
systems are preferred for both wireless and wired OFDM
based optical links. In IM/DD systems, the electric signal
is used to directly drive the optical source, which implies
that the OFDM signal applied to the optical transmitter
must be real and positive. Various forms of unipolar OFDM
schemes compatible with IM/DD systems were proposed in
the literature. DC biased optical OFDM (DCO-OFDM) [3][5] and asymmetrically clipped optical OFDM (ACO-OFDM)
[4]- [7] are commonly used. The DCO-OFDM technique
consists on adding a DC bias to the real OFDM signal and
hard clipping the remaining negative values. This technique
is simple to implement but it suffers from optical power
inefciency due to the added DC bias. Moreover, the hard
clipping results in a signicant clipping noise, especially for
low bias levels (7dB) and large constellation sizes. An optical

978-1-4799-5249-6/14/$31.00 2014 IEEE

power efcient alternative technique called ACO-OFDM was

proposed in [6]. In ACO-OFDM, only odd subcarriers are
modulated, resulting in an anti-symmetric time symbols at
the IFFT output. The time ACO-OFDM signal is then made
positive by clipping the entire negative excursion. Since, only
the positive part of the ACO-OFDM signal is transmitted
with no need to add any DC bias, the ACO-OFDM technique
exhibits high optical power efciency. However, the ACOOFDM technique is spectrally less efcient than DCO-OFDM,
due the odd subcarriers modulation constraint. Furthermore,
in order to achieve a given bit rate, ACO-OFDM requires
higher constellation size because only half of the available
subcarriers are used to carry data. For large constellations,
the required signal to noise ratio (SNR) in each ACO-OFDM
subcarrier becomes signicant, increasing drastically the
required optical power. Therefore, as spectral efciency
increases, DCO-OFDM with large DC bias performs better
than ACO-OFDM in terms of optical power.
In order to improve the optical power and spectral efciencies, a new technique called ADO-OFDM was proposed in [8].
This technique consists on transmitting simultaneously ACOOFDM on the odd subcarriers and DCO-OFDM on the even
subcarriers. To recover the DCO-OFDM signal, an estimate
of the ACO-OFDM clipping noise on the even subcarriers is
performed from the received ACO-OFDM signal. However,
using three additional FFT/IFFT blocks in the receiver and
one additional IFFT block in the transmitter to generate
and recover the DCO-OFDM and ACO-OFDM signals, the
proposed ADO-OFDM technique results in an excessive circuit complexity, increasing greatly the power consumption
and the occupied chip area. In this paper, we propose an
optical efcient technique based on DCO-OFDM to improve
the optical power and spectral efciencies with a moderate
circuit complexity. To overcome the optical power efciency
limitation caused by the clipping noise and the added DC bias
in conventional DCO-OFDM systems, we use an asymmetric
companding transformation, inspired from linear companding
techniques [9]- [12], generally used in radio communications
to reduce the peak to average power ratio of OFDM signals.
The proposed companding technique consists on compressing
the negative part of the bipolar real OFDM signal, so that
after the addition of the DC bias, the amount of the remaining
negative peaks is reduced and less amplitudes are affected
by the clipping. In the receiver side, the inverse companding
transform is applied on the received signal in order to recover
the uncompanded transmitted signal.

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Fig. 1. The block diagram of an IM/DD system based on optical OFDM

II. O PTICAL OFDM

Fig. 1 shows the block diagram of a general IM/DD system
using optical OFDM modulation. In this system, the input
serial data is partitioned into N parallel data and mapped onto
frequency samples using quadrature amplitude modulation
(QAM) or pulse amplitude modulation (PAM). To ensure realvalued OFDM signals, the input frequency symbols to the
IFFT block are constrained to have Hermitian symmetry
XN k = Xk ,

k = 0, 1, ..., N2 1,

(1)

where denotes the complex conjugation. In addition, to avoid

any residual complex components, X0 and XN/2 are set to
zero. The discrete time signal at the IFFT output is given by
x(n) =

N
1

k=0

X(k)exp(j2

kn
),
N

n = 0, 1, ..., N 1. (2)

At the digital analog converter (D/A) output, the time

continuous signal, x(t), is made positive by hard clipping
the negative amplitudes. The resulting unipolar signal is next
modulated onto the power intensity of the optical transmitter
(Laser diode LD or a light-emitting diode LED). In the receiver
part, a photodiode detects the optical signal and delivers an
electric current proportional to the detected optical power.
The discrete time signal at the analog digital converter (A/D)
output is next converted back to a parallel signal and input
to a fast Fourier transform (FFT) block in order to recover
the transmitted frequency symbols. The bit stream is nally
recovered performing QAM or PAM maximum likelihood
detection. As aforementioned, DCO-OFDM [3]- [5] and ACOOFDM [4]- [7] are commonly used to reduce the clipping
noise. In DCO-OFDM, a DC bias is added to the bipolar
signal. The required DC bias to guarantee non-negativity is
equal to the absolute value of the maximum negative amplitude
of the bipolar OFDM signal. However, OFDM signals suffer
from a high peak to average power ratio (PAPR) resulting in
a high required bias level to ensure non-negative signals. In
practice, for large values of N (i.e. N 64), the OFDM

signal amplitude can be approximated by a Gaussian distribution. Therefore, in order to avoid an excessive DC bias and
minimize the required optical power, an approach is to use
a DC bias Kb proportional to the root mean square RMS of
x(t), .
Kb = k,
(3)


where k is the clipping factor and 2 = E x2 (t) is the
variance of x(t). This is dened in the literature [4] as a bias
of 10 log10 (k 2 + 1)dB. The DC-biased time signal, xDC (t),
is given by
xDC (t) = x(t) + Kb .
(4)
The remaining negative peaks are clipped at zero to ensure
non-negativity of the time signal at the optical transmitter input, thereby resulting in clipping noise. The obtained unipolar
signal can be expressed as,
xu,DCO (t) = x(t) + Kb + nc (Kb ),

(5)

where nc (Kb ) is the clipping noise component. As the DC bias

level decreases, more subcarriers are affected by the clipping,
thereby increasing the clipping noise, nc (Kb ).
In DCO-OFDM, for N IFFT points, only N/2 1 independent complex symbols are transmitted due to the Hermitian
symmetry constraint. Moreover, the electric signal modulates
the intensity (not the amplitude) of the optical transmitter.
This implies that the required optical power is proportional
to the OFDM signal amplitude. As a consequence, the DCOOFDM technique suffers from an optical power consumption
penalty due to the added DC bias. An optical power efcient
asymmetrically clipped optical OFDM (ACO-OFDM) was
proposed in [6]. In this technique, only odd subcarriers are
modulated.

XN k =

Xk ,

k odd

0,

k even

(6)

It was clearly shown in [6], that the discrete time signal at

the IFFT output has an anti-symmetric property,

O3.3.pdf

N
N
) = x(n), n = 0, 1, ...,
1.
(7)
2
2
The anti-symmetric signal is made positive by hard clipping
all the negative values. The continuous time unipolar signal
can be expressed as

x(t), if x(t) > 0
xu,ACO (t) =
(8)
0,
if x(t) 0
x(n +

Thanks to the anti-symmetric property, clipping the negative values does not cause any loss of information, and the
transmitted odd data, X(k), can be integrally recovered from
the clipped signal. In ACO-OFDM, only the positive part of
the anti-symmetric bipolar signal is transmitted, with no need
to add a DC bias. Hence, the ACO-OFDM technique has more
optical power efciency than DCO-OFDM. However, for N
IFFT points, only N/4 subcarriers are used to carry data due
to Hermitian symmetry and the odd subcarriers modulation
constraint. As a consequence, the ACO-OFDM technique is
50% spectrally less efcient than DCO-OFDM.
III. A SYMMETRICALLY COMPANDED DCO-OFDM
A. System model
The block diagram of the asymmetrically companded DCOOFDM is shown in Fig. 2. First, the DC bias Kb is computed
from the real discrete time signal at the IFFT output, x(n).

Kb = k E {x2 (n)}.
(9)
In conventional DCO-OFDM systems, the DC bias is directly
added to the continuous time signal at the D/A converter
output and a hard clipping is performed in order to set to
zero the negative amplitudes. However, the dynamic range
of the bipolar real ODFM signal increases with the spectral
efciency. Thus, if a moderate DC bias is used, more negative
peaks are clipped, resulting in a higher clipping noise penalty.
As a result, for large constellations ( 64-QAM), the DCOFDM technique becomes inefcient in terms of BER. To
overcome this inefciency, an approach is to increase the
added DC bias [4], so that less negative peaks remain after
the addition of the DC bias and the clipping noise penalty
is reduced. However, this approach results in a high required
optical power to transmit the unipolar signal and therefore in
higher optical power inefciency. In this paper, we propose a
new technique to minimize the clipping noise with a moderate
DC bias. This technique consists on applying an asymmetric
companding transform to the time signal at the IFFT output,
so that the negative part is compressed and less negative peaks
are clipped even if a moderate DC bias is used. The discrete
time companded signal is given by

x(n),
if x(n) >
xc (n) =
(10)
x(n), if x(n)
where [0, 1] and [min {x(n)} , 0]. The DC bias
computed from the IFFT output signal is next added to the
companded signal, as shown in (11).
xDC (n) = xc (n) + Kb ,

n = 0, 1, ..., N 1.

(11)

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Fig. 2. The block diagram of the asymmetrically companded DCO-OFDM

The remaining negative amplitudes in the resulting DC-biased

companded signal, xDC (n), are hard clipped at zero in order
to ensure non-negativity of the electric signal at the optical
transmitter input. In the receiver part, the discrete time signal
at the (A/D) converter output is recovered as in conventional
DCO-OFDM receivers and the DC component is removed before performing the OFDM demodulation. In order to recover
the transmitted bipolar signal, the received companded signal,
y(n), is expanded using the inverse companding transform as
follows

y(n),
if y(n) >
ye (n) =
(12)
1
y(n), if y(n)
The resulting expanded signal is then demodulated using
the FFT transform and the transmitted data is recovered as in
conventional DCO-OFDM systems.
B. Companding function
The companding technique is widely used in radio OFDM
systems to reduce the PAPR of the OFDM signals, in order
to overcome the performances degradation due to the nonlinearity of the electric components such as power ampliers
and data converters. Various companding transforms were
proposed in the literature [9]- [12]. As shown in [11], the
linear companding transforms such as linear nonsymmetrical
transform (LNST) and linear companding transform (LCT)
have better performances in terms of PAPR reduction and
BER and less computational complexity than the logarithmicbased transforms such as -law companding. The companding
technique has been also investigated for optical OFDM. In
[16]- [17], a -law transformation is applied to coherent
optical OFDM and IM/DD systems in order to reduce their
PAPR. In this work, we use the companding concept in order
to reduce the clipping noise caused by the optical transmitters
in the IM/DD systems. For this purpose, we propose a new
asymmetric linear transform in order to reduce the dynamic
range of the negative part of the real-valued bipolar signal.
The proposed linear companding transform is shown in Fig. 3.
Indeed, the proposed companding transform is a linear function with two degrees of freedom, and . The conventional
linear transforms such as LNST have in general one or

O3.3.pdf

more discontinuities. As shown in [10], the discontinuities

in the companding transforms have two drawbacks. First, the
companding transforms with discontinuities are not injective.
Thus, some elements of the companded signal are mapped to
distinct elements of the original signal, which results in an
erroneous recovery of the transmitted signal at the receiver.
Second, the abrupt jumps degrade the power spectral density
due to the presence of unwanted high frequency components in
the companded signal. In order to overcome these drawbacks,
the proposed companding function was designed so that the
companded signal exhibits no discontinuities. Furthermore, the


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Fig. 3. Prole of the proposed linear companding transform

real-valued bipolar OFDM signal, x(n), can be approximated

by a Gaussian distribution with zero mean and a variance 2 .
The probability density function of x(n) is given by
 2
x
1
p(x) = exp
.
(13)
2 2
2
The bipolar signal can be considered as the sum of a positive
part, x+ (n), and a negative part, x (n).

x(n), if x(n) 0
+
x (n) =
,
(14)
0,
otherwise

x(n), if x(n) < 0

x (n) =
.
(15)
0,
otherwise
The positive and the negative parts can be approximated
by one-sided Gaussian distributions with means + and ,
respectively.

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and the receiver or adaptive. When they are xed, the companding process is independent of the OFDM signal statistical
characteristics and the parameters are not optimized to have
better performances. In adaptive companding transforms, the
parameters are computed adaptively so that the companding
process performs optimal performances in terms of PAPR and
BER. However, this technique results in data rate degradation,
because the updated parameters need to be transmitted to the
receiver in order to update the inverse companding transform.
In the proposed companding function, the parameter is
equal to the mean of the negative part of the bipolar signal
(i.e. = ). According to (16) and (17), | | = |+ |.
Furthermore, since the positive part is not modied by the
companding process, the means of the positive part before
and after the companding transformation are the same. On the
other hand, in wired IM/DD systems, the intensity modulation
can be done using either a Distributed Feedback laser (DFB) or
a Vertical-Cavity Surface-Emitting Laser (VCSEL). Contrary
to DFBs, which have a linear transfer function, VCSLEs
exhibit a nonlinear behavior [14]. However, as shown in [15],
when a dynamic signal is used to modulate the VCSEL around
the DC bias current, the VCSEL characteristic is almost a
linear function. The electric to optical converter (DFB or
VCSEL) being the main source of nonlinearity, the clipping
of the positive peaks is negligible. As a result, the mean of the
positive part is affected neither by the companding transformation nor by the clipping distortion. Thus, since = and
= + , the parameter at the receiver can be directly
extracted from the received companded signal. Meanwhile, the
parameter is xed according to the used constellation in
order to perform optimal clipping noise reduction. As a result,
no additional transmission data is needed.
IV. S IMULATION RESULTS
A. Clipping noise reduction
In the proposed companding technique, the negative part
of the bipolar OFDM signal is compressed, so that after the
addition of the DC bias, the DC-biased companded signal
has less negative peaks. Fig. 4 shows the amplitudes of a
conventional DC-biased OFDM signal and a companded DCbiased OFDM signal. The added DC bias in the two cases is
equal to 5dB.


=
=

E[x (n)]
 2

t
1

dt = ,
t exp
2 2
2 0
2



(16)

E[x (n)]
 2
0
t
1

t exp
dt = .
2 2
2
2








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In the conventional companding transforms, the companding
function parameters are either once xed at the transmitter

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Fig. 4. Time domain waveforms: (a) Conventional DC-biased OFDM signal

(b) Companded DC-biased OFDM signal

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Fig. 5. Constellation diagram: (a) Conventional 16-QAM DCO-OFDM with

7dB (b) Companded 16-QAM DCO-OFDM with 7dB

In the case of a conventional DCO-OFDM, the recovered

constellation points after clipping have small splatter around
the ideal constellation points, due to the clipping noise. In the
proposed technique, the recovered constellation points are very
close to the ideal constellation points. As a result, no clipping
noise is present in the transmitted signal and the performances
in terms of BER would be only affected by the channel noise.
B. BER as a function of Eb(elec) /N0
Fig. 6 shows the simulation results for the BER of the
conventional and the proposed DCO-OFDM techniques as
function of electric energy-per-bit to noise power spectral
density, Eb(elec) /N0 . The simulated OOFDM frame is formed
by 1000 symbols each with 256 subcarriers. Furthermore, an
oversampling with an oversampling factor of 4 is performed
in order to correctly approximate the PAPR of the continuous
OOFDM signal [18]. Moreover, the considered oversampling
reduces the noise timing jitter due to the nonideal sampling
clocks [19], [20]. The guard interval is then set to zero.
As shown in [4], the performance in an additive white
Gaussian noise (AWGN) channel forms a theoretical basis for
OOFDM systems from which the results for the more general
case of a frequency selective channel can be found. Thus, we
consider an AWGN in order to make a judicious comparison
of this work with the state-of-the-art. The comparison is
performed for a DC bias of 7dB and constellation sizes from
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It can be clearly seen that using the companding technique,

the remaining negative peaks are signicantly reduced. Therefore, the companded OFDM signal will be less affected by
the clipping noise, with no need to add an excessive DC bias.
Contrary to the clipping, the proposed companding transformation is injective and reversible. As a result, the negative
amplitudes, which are in general clipped in the conventional
DCO-OFDM technique, are not lost in the proposed technique
and can be efciently recovered at the receiver using the
inverse companding transform. The clipping noise reduction
can be also seen on the constellation of the clipped OFDM
signal. Fig. 5 shows the constellation diagrams before and
after clipping of the conventional and the proposed DCOOFDM techniques. In the two cases, the channel noise is not
considered, so that only the clipping noise is present.

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Fig. 6. BER as function of Eb(elec) /N0 for different constellations of the

conventional (Conv) and the proposed (Prop) DCO-OFDM techniques

In conventional DCO-OFDM systems, for low constellations (i.e. 4-QAM), the time OFDM signal has a small dynamic range which results in a negligible clipping noise. Since,
the dynamic range of the time OFDM signal increases with
the constellation size, the clipping noise becomes signicant
for 16-QAM and dominant for larger constellations. As a
consequence, the BER curves at for constellations larger than
16-QAM [4], [5]. In the proposed DCO-OFDM technique,
since the clipping noise is negligible for 4-QAM constellation,
the parameter is set to 1, so that the channel noise, which
is the dominant noise, is not amplied at the receiver. For
larger constellations, the companding transformation, with
< 1, reduces signicantly the remaining negative values
and therefore the clipping noise. Furthermore, the proposed
companding function was designed so that a small part of the
time signal is amplied at the receiver. Thus, the amplication
of the channel noise is less signicant compared to the clipping
noise cancellation. As a result, the BER curves do not at
for the constellations larger than 16-QAM and very low BER
levels can be reached using only moderate DC bias levels.
C. Optical power efciency
The BER as a function of Eb(elec) /N0 forms a theoretical basis to compare OFDM schemes. However, in optical
systems, the transmitted optical power is the main system
constraint. Thus, the optical energy-per-bit to noise power
spectral density metric, Eb(opt) /N0 , is usually used to evaluate the optical power efciency of optical systems [4], [7].
Contrary to the electric power, which is proportional to x2 (t),
the transmitted optical power is equal to the amplitude of the
transmitted signal. Thus, the average transmitted optical power
is given by
Popt = E {x} .
(18)
For a normalized optical power, the optical energy-per-bit
to noise power spectral density is dened as,
Eb(opt)
E 2 {x} Eb(elec)
=
,
N0
E {x2 }
N0

(19)

O3.3.pdf

 
where E x2 is the average electric power of the transmitted
unipolar signal. Fig. 7 compares the optical power efciency
of the proposed technique with conventional ACO-OFDM and
DCO-OFDM schemes.




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Fig. 7. BER as function of Eb(opt) /N0 of conventional ACO-OFDM and

DCO-OFDM schemes and the proposed DCO-OFDM technique

To make a judicious comparison, two sets of particular

modulations, having the same bit rate/normalized bandwidth,
Rb /BW , are used. 1024-QAM ACO-OFDM is compared with
32-QAM DCO-OFDM for a Rb /BW of 5, while 4096-QAM
ACO-OFDM is compared with 64-QAM DCO-OFDM for
a Rb /BW of 6. To achieve high data rate, either DCOOFDM with a large DC-bias (13dB) or ACO-OFDM with
larger constellation size (M 2 ) in each ACO-OFDM subcarrier
can be used. Both of these schemes require a high optical
power to transmit the OFDM signal and the optical power
penalty increases as the constellation size increases. In the
proposed technique, a DCO-OFDM with lower DC bias (7dB)
than conventional DCO-OFDM and lower constellation size
than conventional ACO-OFDM can be used. As a result,
the proposed technique requires the lowest Eb(opt) /N0 . For
Rb /BW = 6 and BER = 104 , a gain of 4dB in optical power over conventional ACO-OFDM and DCO-OFDM
schemes is reached.
V. C ONCLUSION
An optical power efcient technique based on DCO-OFDM
compatible with IM/DD systems is presented in this paper.
This technique takes advantage from the spectral efciency
of DCO-OFDM and uses a linear companding technique to
overcome the clipping noise and the large required DC bias in
order to improve the optical power efciency. For this end, a
companding function simple to implement has been proposed
to compress the negative part of the bipolar OFDM signal
and reduce the amount of the peaks affected by the clipping.
The proposed companding function was designed, so that the
drawbacks of the conventional linear companding transforms
such as power spectral density and data rate degradation are
overcome. We have shown that using the proposed technique,
the clipping noise is almost canceled, resulting in a signicant

WOCC 2014

improvement in BER performances. As a result, high bit rates

can be achieved using large constellations with a moderate DC
bias. Furthermore, the proposed technique has been shown to
be more efcient in terms of optical power than conventional
DCO-OFDM and ACO-OFDM techniques. Currently, we are
building a test system to validate the theoretical results of this
study.
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