大气激光通信中光强闪烁及其抑制技术的研究
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摘要
大气激光通信（ALC）是以激光光束为载体，以大气空间作为传输媒介的一项通信技术。与射频（RF）通信相比，由于采用了更高频率（更短波长）的光波作为载波，ALC能够提供更高的传输速率、更好的隐蔽性（波束宽度非常窄）以及体积更小重量更轻的设备组件，而且它还无需频率许可、不受电磁干扰影响、对人体无辐射。与光纤通信相比，由于采用大气作为信道，ALC系统不用预先铺设传输线路，机动性好，建立迅速，成本低廉。这些优点使得ALC技术在宽带接入、局域网互连、城域网扩展、航空航天、军事通信、应急通信等领域有着广阔的应用前景，是当前通信领域研究的热点之一。
但一直以来，大气信道的各种不利影响难以克服，阻碍了ALC技术的实用化发展。例如恶劣天气（如雾霾）条件会引起显著的光功率衰减。即使在天气晴朗时，大气信道也并不友善。这时大气折射率的随机变化（大气湍流）引起了光强闪烁、光束漂移和光束扩展等效应。其中光强闪烁是指在大气湍流的影响下光强在时间和空间上出现随机起伏，这种随机起伏又称为信道衰落，会导致接收信号的光强下降至可检测的门限之下，造成误比特率上升，甚至通信中断。
空间分集和孔径平均是两种被普遍认可的光强闪烁抑制技术，但在推广应用之前仍非常有必要详尽地探讨和评估其性能。本论文首先综述了国内外在这方面的研究进展。关于空间分集，迄今已取得较为丰富的研究成果，但已有工作大多是局限在弱湍流或强湍流环境下进行的，这些环境下的信道衰落分别用Lognormal分布和K分布、Negative Exponential分布来描述。事实上，Gamma-Gamma衰落模型尽管相对复杂，但是它能够代表更为广泛（从弱至强湍流）的实际信道情形。关于孔径平均，近期的研究发现Gamma-Gamma模型虽然在点接收（接收孔径无限小）的情况下能够与实验数据完美匹配，但并不适合描述有限接收孔径条件下的光强起伏，在这种背景下，新的可准确描述孔径平均光强闪烁的衰落信道模型——Exponentiated Weibull模型被提出，但基于Exponentiated Weibull模型的ALC系统性能分析却未见报道。Lognormal和Gamma-Gamma信道模型的参数与光强闪烁系数有关。现有关于光强闪烁系数的理论结果大多是基于传统的Kolmogorov幂律谱得到的，但最新的实验结果表明在中高层大气中，湍流需要用非Kolmogorov幂律谱来描述。根据国内外的研究现状，本论文做了如下工作。
1．研究了在Gamma-Gamma衰落环境下采用等增益合并（EGC）分集接收技术的ALC系统的性能。对于光强度调制/直接检测（IM/DD）系统，首次推导出各分集支路经历的衰落独立非同分布条件下开关键控（OOK）调制的平均误比特率（BER）闭合表达式，该表达式对信道参数的取值无限制，与已有结果相比更具一般性。对于光强度调制加光前置放大的直接检测系统，基于光放大器自发辐射（ASE）噪声主导光接收机噪声的假设，首次推导出了独立非同分布衰落下二元制脉位调制（BPPM）的平均误比特率闭合表达式。为了获得对系统性能更为深入的了解，还推导出了高发射光功率条件下的渐近误比特率闭合表达式。依据推导出的理论公式，讨论了系统所能获得的分集增益。此外，对于外差式相干检测系统，推导出了系统中断概率（OP）和二进制相移键控（BPSK）平均误比特率的闭合上界，仿真验证了界的紧致性。
2．基于Exponentiated Weibull衰落信道模型研究了孔径平均技术的抗湍流效果。利用高斯拉盖尔数值积分方法首次推导出了Exponentiated Weibull衰落下OOK调制的平均误比特率近似表达式。设计了相应的计算机仿真程序，并用仿真结果验证了理论推导的正确性。所提数值方法可用于快速评估不同湍流强度条件下孔径平均效应对系统误比特性能的改善程度。
3．基于非Kolmogorov幂律谱和扩展的Rytov理论研究了水平路径上的光强闪烁及其对ALC系统信号衰落特性的影响。基于非Kolmogorov幂律谱之一的广义vonKármán谱，首次推导出了从弱至强任意湍流强度下平面波和球面波的光强闪烁系数数学表达式。依据获得的理论公式，分析了非Kolmogorov湍流中湍流内尺度和外尺度对光强闪烁系数的影响。基于非Kolmogorov幂律谱之一的广义修正大气谱首次推导出了任意湍流强度下平面波和球面波的光强闪烁系数数学表达式。考虑了高波数处幂律谱“突起”对光强闪烁的贡献，并依据光强闪烁系数与Gamma-Gamma模型参数的关系，分析了非Kolmogorov湍流对ALC系统衰落特性的影响。
4．研究了地对卫星上行激光通信链路通过非Kolmogorov湍流信道后的性能。采用最新提出的三层高度谱模型描述近地处大气边界层中的Kolmogorov湍流和中高层大气中的非Kolmogorov湍流，分析了弱湍流条件下准直高斯光束在接收机处的光强闪烁，考虑了光束漂移对光强闪烁的贡献。根据获得的光强闪烁系数和适用于弱湍流条件的Lognormal衰落模型研究了ALC系统的信号中断概率。研究结果表明存在一个最优的发射光束束腰半径使得光强闪烁系数最小，从而使得中断概率最小。分析了最优发射光束束腰半径存在的原因，并与Kolmogorov湍流下得到的结果进行了比较。
Atmospheric laser communications (ALC) uses laser beams as the modulated carrierto establish a wireless link between two outdoor sites through the atmospheric channel.Compared with conventional radio frequency (RF) systems, there are severalsignificant advantages offered by ALC systems that are the direct consequence of thehigher frequencies (shorter wavelengths) associated with optical waves. Among theseadvantages are higher data rates, higher security (very narrow beam), smaller size andweight of the components. Moreover, ALC is also no need for frequency licensing,immune to electromagnetic interference, and no radiation on the human body. Ascompared with fiber optics systems, ALC systems are quickly deployable and morecost-and time-efficient due to its wireless connection property. With these advantages,ALC can find wide applications in the field of broadband access, local area networkinterconnection, metropolitan area network extension, aerospace, militarycommunication, and emergent communication. Currently, ALC becomes a researchhotspot in the communication field.
But all the time, the deleterious atmospheric effects on ALC links is difficult tomitigate, and thus limits the widespread deployment of ALC systems. For instance,inclement weather (e.g. heavy fog) imposes severe optical power losses. Even in theclear weather conditions, the atmosphere is not entirely benign. Refractive-indexrandom fluctuations, also known as optical turbulence, leads to intensity scintillation,beam wander and beam spread. Scintillation represents turbulence-induced irradiancefluctuations in temporal and spatial domain. This random fluctuation leads to fading ofthe received signal below a detectable threshold, and even causing communicationinterruption.
Spatial diversity and aperture averaging are the two well accepted techniques formitigating scintillation. But it is still necessary to discuss and evaluate the performanceimprovement by these two techniques before their wide application in practicalsystems. Firstly, this paper introduces the research progress in this field. As for spatialdiversity, there have been obtained a number of theorectical results. However, most ofthe previous results were limited to Lognormal (weak turbulence), K distribution andNegative Exponential (strong turbulence) fading environments. In fact, althoughGamma-Gamma model is more mathematically complex, it can cover a wide range of turbulence conditions (from weak to strong). As for aperture averaging, recent researchindicated that although the Gamma-Gamma channel model matches well with theexperimental data for a pointer receiver, it deviates from the experimental results of thefinite aperture receiver. In this context, a new and accurate channel model for thereceiver-aperture-averaging scintillation, named Exponentiated Weibull model, wasproposed. However, to the best of our knowledge, the evaluation of the ALC systemperformance based on this model has not been documented. The channel parameters inLognormal and Gamma-Gamma model are related to scintillation index. Previousresults for scintillation index were obtained by using Kolmogorov power-lawsprectrum. But recent experimental results showed that upper atmosphere exhibitsnon-Kolmogorov properties. To this end, the main research works are listed as follows:
1. Under Gamma-Gamma fading, the performance of ALC systems employing equalgain combining (EGC) diversity reception technique is investigated. For the intensitymodulation/direct detection (IM/DD) system, the exact closed-form expression for theaverage bit error rate (BER) of on-off keying (OOK) is firstly derived for independent,but not necessarily identically distributed (i.n.i.d) fading. The obtained expression hasno constraints on the values of the channel parameters. For the intensity modulationand optical preamplification reception system, the exact closed-form BER expressionfor binary pulse position modulation (BPPM) over i.n.i.d fading is firstly developedunder the assumption that the amplifier sponsetanous emission (ASE) noise dominatesthe receiver noise. To gain more insight, a closed-form asymptotic BER formula is alsoderived at high transmitted optical power. With the derived formula, the diversity gainof the considered system is analyzed. For the heterodyne coherent detection system,closed-form upper bounds for the outage probability (OP) and the average BER ofbinary phase shift keying (BPSK) are derived. The computer simulations verify thetightness of the bounds.
2. The effects of aperture averaging on mitigating irradiance scintillation areinverstigated based on the Exponetiated Weibull fading model. A computationallyefficient and approximated expression is presented for evaluating the average BER ofOOK modulation by use of the Gauss–Laguerre quadrature rule. The computersimulation program is designed, and the theoretical results are verified by thesimulation results. The proposed numerical approach can be used for fastly evaluatingthe BER performance improvement by aperture averaging under different turbulenceconditions.
3. By use of non-Kolmogorov power-law spectrum and the extended Rytov theory, irradiance scintillations for horizontally propagating optical waves and their effects onthe fade statistics of ALC systems are studied. Based on one of the non-Kolmogorovtype spectrums, the generalized von Kármán spectrum, analytical expressions aredeveloped for the scintillation index of a plane wave and spherical wave that are validunder moderate-to-strong irradiance fluctuations. With these general models, theimpacts of finite inner and outer scales on the scintillation index of an optical wave areexamined under various non-Kolmogorov fluctuations conditions. By use of thegeneralized modified atmospheric spectrum that features inner scale parameter andhigh wave number ‘‘bump’’ for non-Kolmogorov atmospheric turbulence, tractableexpressions are developed for the scintillation index of a plane wave and a sphericalwave that are valid under weak and moderate-to-strong irradiance fluctuations. Withthe derived scintillation index and the Gamma–Gamma distribution, fade statistics forALC systems are investigated. The presented numerical results reveal some newdetails about how the inner scale and spectrum exponent values influence thescintillation index and the associated fade statistics.
4. Uplink laser satellite-communication system performance is studied based onnon-Kolmogorov spectrum. A newly proposed three-layer attitude spectrum model thatexhibits Kolmogorov properties in boundary layer and non-Kolmogorov properties inportions of the upper troposphere and stratosphere is adopted. Using this spectrum inweak turbulence, the scintillation index for an uplink collimated untracked Gaussianbeam that is subject to scintillation and beam wander impairments is analyzed. Basedon the obtained scintillation index and the Lognormal channel model, the outageprobability of the considered system is examined. It is shown that there exists anoptimum transmitter beam radius that can minimize the scintillation index, andtherefore minimizes the outage probability. The physical interpretion for the existenceof optimum transmitter beam radius is provided, and the results are compared with theconventional Kolmogorov results.
但一直以来，大气信道的各种不利影响难以克服，阻碍了ALC技术的实用化发展。例如恶劣天气（如雾霾）条件会引起显著的光功率衰减。即使在天气晴朗时，大气信道也并不友善。这时大气折射率的随机变化（大气湍流）引起了光强闪烁、光束漂移和光束扩展等效应。其中光强闪烁是指在大气湍流的影响下光强在时间和空间上出现随机起伏，这种随机起伏又称为信道衰落，会导致接收信号的光强下降至可检测的门限之下，造成误比特率上升，甚至通信中断。
空间分集和孔径平均是两种被普遍认可的光强闪烁抑制技术，但在推广应用之前仍非常有必要详尽地探讨和评估其性能。本论文首先综述了国内外在这方面的研究进展。关于空间分集，迄今已取得较为丰富的研究成果，但已有工作大多是局限在弱湍流或强湍流环境下进行的，这些环境下的信道衰落分别用Lognormal分布和K分布、Negative Exponential分布来描述。事实上，Gamma-Gamma衰落模型尽管相对复杂，但是它能够代表更为广泛（从弱至强湍流）的实际信道情形。关于孔径平均，近期的研究发现Gamma-Gamma模型虽然在点接收（接收孔径无限小）的情况下能够与实验数据完美匹配，但并不适合描述有限接收孔径条件下的光强起伏，在这种背景下，新的可准确描述孔径平均光强闪烁的衰落信道模型——Exponentiated Weibull模型被提出，但基于Exponentiated Weibull模型的ALC系统性能分析却未见报道。Lognormal和Gamma-Gamma信道模型的参数与光强闪烁系数有关。现有关于光强闪烁系数的理论结果大多是基于传统的Kolmogorov幂律谱得到的，但最新的实验结果表明在中高层大气中，湍流需要用非Kolmogorov幂律谱来描述。根据国内外的研究现状，本论文做了如下工作。
1．研究了在Gamma-Gamma衰落环境下采用等增益合并（EGC）分集接收技术的ALC系统的性能。对于光强度调制/直接检测（IM/DD）系统，首次推导出各分集支路经历的衰落独立非同分布条件下开关键控（OOK）调制的平均误比特率（BER）闭合表达式，该表达式对信道参数的取值无限制，与已有结果相比更具一般性。对于光强度调制加光前置放大的直接检测系统，基于光放大器自发辐射（ASE）噪声主导光接收机噪声的假设，首次推导出了独立非同分布衰落下二元制脉位调制（BPPM）的平均误比特率闭合表达式。为了获得对系统性能更为深入的了解，还推导出了高发射光功率条件下的渐近误比特率闭合表达式。依据推导出的理论公式，讨论了系统所能获得的分集增益。此外，对于外差式相干检测系统，推导出了系统中断概率（OP）和二进制相移键控（BPSK）平均误比特率的闭合上界，仿真验证了界的紧致性。
2．基于Exponentiated Weibull衰落信道模型研究了孔径平均技术的抗湍流效果。利用高斯拉盖尔数值积分方法首次推导出了Exponentiated Weibull衰落下OOK调制的平均误比特率近似表达式。设计了相应的计算机仿真程序，并用仿真结果验证了理论推导的正确性。所提数值方法可用于快速评估不同湍流强度条件下孔径平均效应对系统误比特性能的改善程度。
3．基于非Kolmogorov幂律谱和扩展的Rytov理论研究了水平路径上的光强闪烁及其对ALC系统信号衰落特性的影响。基于非Kolmogorov幂律谱之一的广义vonKármán谱，首次推导出了从弱至强任意湍流强度下平面波和球面波的光强闪烁系数数学表达式。依据获得的理论公式，分析了非Kolmogorov湍流中湍流内尺度和外尺度对光强闪烁系数的影响。基于非Kolmogorov幂律谱之一的广义修正大气谱首次推导出了任意湍流强度下平面波和球面波的光强闪烁系数数学表达式。考虑了高波数处幂律谱“突起”对光强闪烁的贡献，并依据光强闪烁系数与Gamma-Gamma模型参数的关系，分析了非Kolmogorov湍流对ALC系统衰落特性的影响。
4．研究了地对卫星上行激光通信链路通过非Kolmogorov湍流信道后的性能。采用最新提出的三层高度谱模型描述近地处大气边界层中的Kolmogorov湍流和中高层大气中的非Kolmogorov湍流，分析了弱湍流条件下准直高斯光束在接收机处的光强闪烁，考虑了光束漂移对光强闪烁的贡献。根据获得的光强闪烁系数和适用于弱湍流条件的Lognormal衰落模型研究了ALC系统的信号中断概率。研究结果表明存在一个最优的发射光束束腰半径使得光强闪烁系数最小，从而使得中断概率最小。分析了最优发射光束束腰半径存在的原因，并与Kolmogorov湍流下得到的结果进行了比较。
Atmospheric laser communications (ALC) uses laser beams as the modulated carrierto establish a wireless link between two outdoor sites through the atmospheric channel.Compared with conventional radio frequency (RF) systems, there are severalsignificant advantages offered by ALC systems that are the direct consequence of thehigher frequencies (shorter wavelengths) associated with optical waves. Among theseadvantages are higher data rates, higher security (very narrow beam), smaller size andweight of the components. Moreover, ALC is also no need for frequency licensing,immune to electromagnetic interference, and no radiation on the human body. Ascompared with fiber optics systems, ALC systems are quickly deployable and morecost-and time-efficient due to its wireless connection property. With these advantages,ALC can find wide applications in the field of broadband access, local area networkinterconnection, metropolitan area network extension, aerospace, militarycommunication, and emergent communication. Currently, ALC becomes a researchhotspot in the communication field.
But all the time, the deleterious atmospheric effects on ALC links is difficult tomitigate, and thus limits the widespread deployment of ALC systems. For instance,inclement weather (e.g. heavy fog) imposes severe optical power losses. Even in theclear weather conditions, the atmosphere is not entirely benign. Refractive-indexrandom fluctuations, also known as optical turbulence, leads to intensity scintillation,beam wander and beam spread. Scintillation represents turbulence-induced irradiancefluctuations in temporal and spatial domain. This random fluctuation leads to fading ofthe received signal below a detectable threshold, and even causing communicationinterruption.
Spatial diversity and aperture averaging are the two well accepted techniques formitigating scintillation. But it is still necessary to discuss and evaluate the performanceimprovement by these two techniques before their wide application in practicalsystems. Firstly, this paper introduces the research progress in this field. As for spatialdiversity, there have been obtained a number of theorectical results. However, most ofthe previous results were limited to Lognormal (weak turbulence), K distribution andNegative Exponential (strong turbulence) fading environments. In fact, althoughGamma-Gamma model is more mathematically complex, it can cover a wide range of turbulence conditions (from weak to strong). As for aperture averaging, recent researchindicated that although the Gamma-Gamma channel model matches well with theexperimental data for a pointer receiver, it deviates from the experimental results of thefinite aperture receiver. In this context, a new and accurate channel model for thereceiver-aperture-averaging scintillation, named Exponentiated Weibull model, wasproposed. However, to the best of our knowledge, the evaluation of the ALC systemperformance based on this model has not been documented. The channel parameters inLognormal and Gamma-Gamma model are related to scintillation index. Previousresults for scintillation index were obtained by using Kolmogorov power-lawsprectrum. But recent experimental results showed that upper atmosphere exhibitsnon-Kolmogorov properties. To this end, the main research works are listed as follows:
1. Under Gamma-Gamma fading, the performance of ALC systems employing equalgain combining (EGC) diversity reception technique is investigated. For the intensitymodulation/direct detection (IM/DD) system, the exact closed-form expression for theaverage bit error rate (BER) of on-off keying (OOK) is firstly derived for independent,but not necessarily identically distributed (i.n.i.d) fading. The obtained expression hasno constraints on the values of the channel parameters. For the intensity modulationand optical preamplification reception system, the exact closed-form BER expressionfor binary pulse position modulation (BPPM) over i.n.i.d fading is firstly developedunder the assumption that the amplifier sponsetanous emission (ASE) noise dominatesthe receiver noise. To gain more insight, a closed-form asymptotic BER formula is alsoderived at high transmitted optical power. With the derived formula, the diversity gainof the considered system is analyzed. For the heterodyne coherent detection system,closed-form upper bounds for the outage probability (OP) and the average BER ofbinary phase shift keying (BPSK) are derived. The computer simulations verify thetightness of the bounds.
2. The effects of aperture averaging on mitigating irradiance scintillation areinverstigated based on the Exponetiated Weibull fading model. A computationallyefficient and approximated expression is presented for evaluating the average BER ofOOK modulation by use of the Gauss–Laguerre quadrature rule. The computersimulation program is designed, and the theoretical results are verified by thesimulation results. The proposed numerical approach can be used for fastly evaluatingthe BER performance improvement by aperture averaging under different turbulenceconditions.
3. By use of non-Kolmogorov power-law spectrum and the extended Rytov theory, irradiance scintillations for horizontally propagating optical waves and their effects onthe fade statistics of ALC systems are studied. Based on one of the non-Kolmogorovtype spectrums, the generalized von Kármán spectrum, analytical expressions aredeveloped for the scintillation index of a plane wave and spherical wave that are validunder moderate-to-strong irradiance fluctuations. With these general models, theimpacts of finite inner and outer scales on the scintillation index of an optical wave areexamined under various non-Kolmogorov fluctuations conditions. By use of thegeneralized modified atmospheric spectrum that features inner scale parameter andhigh wave number ‘‘bump’’ for non-Kolmogorov atmospheric turbulence, tractableexpressions are developed for the scintillation index of a plane wave and a sphericalwave that are valid under weak and moderate-to-strong irradiance fluctuations. Withthe derived scintillation index and the Gamma–Gamma distribution, fade statistics forALC systems are investigated. The presented numerical results reveal some newdetails about how the inner scale and spectrum exponent values influence thescintillation index and the associated fade statistics.
4. Uplink laser satellite-communication system performance is studied based onnon-Kolmogorov spectrum. A newly proposed three-layer attitude spectrum model thatexhibits Kolmogorov properties in boundary layer and non-Kolmogorov properties inportions of the upper troposphere and stratosphere is adopted. Using this spectrum inweak turbulence, the scintillation index for an uplink collimated untracked Gaussianbeam that is subject to scintillation and beam wander impairments is analyzed. Basedon the obtained scintillation index and the Lognormal channel model, the outageprobability of the considered system is examined. It is shown that there exists anoptimum transmitter beam radius that can minimize the scintillation index, andtherefore minimizes the outage probability. The physical interpretion for the existenceof optimum transmitter beam radius is provided, and the results are compared with theconventional Kolmogorov results.
引文
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