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EJASA - Part 3Page 9 INTRODUCTION This paper suggests that the modern Search for Extraterrestrial Intelligence (SETI) [1-45,86], which was initiated by Cocconi, Morrison [1,13], and Drake (Project Ozma) [2,3,13] is being conducted in the wrong part of the electromagnetic spectrum, i.e., that SETI receivers are presently "tuned to the wrong frequencies". This paper revisits a subject first discussed by Schwartz and Townes [46-47] thirty years ago and subsequently investigated by the late Shvartsman [48,50,54], Connes [49], Zuckerman [52], Betz [53,57] and Beskin [58]. Dr. John Rather (NASA-HQ) also considers that Optical SETI has much to commend it. [56] According to the modern broader definition of the word "optical", the wavelength region embraced covers the region between 350 nm in the ultra-violet, and far-infrared wavelengths greater than 300,000 nm (millimeter-waves start at 1 million nanometers). Our Milky Way galaxy contains about 400 billion stars. We assume, as does most of the SETI community, that at any time there are perhaps thousands or tens of thousands of technical civilizations (the Drake Equation, Page 71, Equ. 1) [2-39] within our own galaxy. There should be at least a reasonable chance that at any time, one such civilization might be signalling in our direction from within a sphere several thousand light years in radius. The volume of space within a sphere of two thousand light years in diameter contains about ten million stars, one million of which may be capable of supporting life. The sign of a mature technical civilization is not to waste power over empty space, but to use refined signalling techniques in preference to brute force. Although some authors have suggested that optical ETI signals would appear in the form of bright flashing points of light, this author thinks it very unlikely. The idea that such signals will be like heliographs or semaphores, sending out intense beams at Morse Code rates, is not one that should be seriously contem- plated. As will be shown, there is no need to modulate the entire output of a star in order to be detected across the galaxy. [20,33] Just as on this planet, where there are a variety of communication techniques employed, depending on distance, bandwidth, and techno- logies available, there is no reason to assume that there is only one universal communication frequency or spectral regime employed by Extra- terrestrial Intelligences (ETIs). Different applications and environ- ments will lead to the optimization of different technologies, so that there may be many "magic wavelengths or frequencies". For example, because of the huge distances and lower propagation losses, radio waves may be better for communication between galaxies. If the reader does not believe that advanced extraterrestrial technical civilizations would have the wherewithal to aim tight optical beams into neighboring stars, then they need read no further. In correspondence with the author, Dr. Bernard Oliver, Deputy Director of NASA's SETI Office, has put it very strongly that ETIs would not have this capability. This viewpoint has dominated SETI rationale for several decades, and in the author's opinion, is somewhat responsible for the "bad press" that the optical approach has received. Page 10 It is the author's view that the capability to target tight optical beams is probably much easier to achieve than developing relativistic or near-relativistic spacecraft. The same large optical antenna array capability which would allow ETIs to produce narrow transmitter beams would also allow them to "view" planets orbiting nearby stars. Over millennia they will have developed catalogs for the stars in their vicinity, with full details of each star's planetary system. For them, the ballistic skills (point ahead targeting) required to land photons on a designated target, over the equivalent of twice the light time distance, will be relatively trivial. This is not to discount the possibility that ETIs may send out space probes to nearby planetary systems to gather information directly. There is a concept inherent in the conventional SETI rationale which might best be termed "Signpost SETI". This says, that the signals we are looking for in the microwave spectrum, may only be monochromatic/semi-monochromatic beacons or acquisition carriers, and that the main transmission channels for extraterrestrials are elsewhere. If this is the case, we might find a narrow-band modulated microwave signal that tells us to tune to some place in the optical regime, and perhaps provide the "Rosetta Stone" for decoding the wideband optical channel. However, it is not clear why extra- terrestrials would spectrally separate these signals into two different wavelength regimes. Both the semi-monochromatic beacon and the main wideband transmission channel could be side-by-side in the optical spectrum (see Figure 1 below). Indeed, there would be good signal processing reasons (advantages) for using what we terrenes would call a "pilot-tone technique", particularly for reception within an atmosphere (see Page 83 for a theoretical description of this technique). Ep(t) * Signal Modulation * Bandwidth * <-------------> * ------------- Es(t) * | | Beacon * | Signal | or * | (Main | Pilot-Tone * | Channel) | * | | -----------------------------------------------------------> fp fs Optical Frequency Figure 1 - Signpost SETI or pilot-tone system. The beacon or pilot-tone carrier is at frequency fp and has an electric-field amplitude Ep(t), while the information signal with amplitude Es(t) is intensity, polarization, or frequency-modulated onto a signal carrier at frequency fs. The frequency separation (fs-fp) may be several MHz to several GHz, depending upon the signal modulation bandwidth, and other factors, and fp may be above fs. The ETI beacon or pilot-tone might also contain a simple very low bandwidth intensity or polarization modulation providing the Rosetta Stone for decoding the main channel. Page 11 Such techniques can reduce the effect of transmitter and local- oscillator laser phase-noise and correct for phase-noise and wavefront distortion produced by Earth's atmosphere, allowing more efficient reception with large heterodyning telescopes, i.e., reduced signal fading and improved mean SNR. [81-82,84] The coherence cell size (ro) at visible wavelengths (Wl) is approximately 20 cm (8"), and is proportional to (Wl)^1.2. In the infrared at 10,600 nm, ro can be as large as eight meters. At the best astronomical observatories in the world, the spectral power in atmospheric turbulence is confined below 30 to 50 Hz. Clearly, this pilot-tone technique could be used for free-space optical communications between space and Earth with some advantage. It also reduces the differential Doppler Shift and Chirp (Drift) by the ratio (fs-fp)/fs; a ratio which can be of the order of 10^-8. Note that the wideband optical signal might use spread-spectrum techniques, so that the signal energy density might be too low to be detectable. Without the "key" to unlock the pseudo-random sequence, we might mistake the main signal channel for an excess amount of random noise. There is something quite philosophically appealing about the pilot- tone technique. It satisfies the conventional SETI rationale for the need of a "Signpost", while at the same time provides the means for more efficiently detecting the main wideband ETI channel from within a planetary atmosphere. THE MICROWAVE OBSERVING PROJECT (MOP) From time to time, references will be made to NASA's Microwave Observing Project, otherwise known by the acronym MOP. The objectives of this program are summarized as follows: Project Goal: To carry out a search for microwave signals of extraterrestrial intelligent origin. Project Objectives: 1. To use existing large radio telescopes, e.g. Arecibo, to carry out a Targeted Search of about 800 nearby solar-type stars with high spectral resolution of 1 Hz, and sensitivity in the region of 5 X 10^-27 to 1.4 X 10^-25 W/m^2, over the frequency range from 1 to 3 GHz. (Ames Research Center) 2. To use the 34-meter telescopes of NASA's Deep Space Network (DSN) to carry out a Sky Survey that will examine the whole sky at a moderate spectral resolution of 30 Hz, and sensitivity 2 X 10^-23 to 2 X 10^-22 W/m^2) over the frequency range from 1 to 10 GHz. (Jet Propulsion Laboratory - JPL) Duration: 1990 to 1999 Cost: $12.1 million for starters, $100 million over ten years. Page 12 As will be indicated later, the author would like to add (and has recommended this to the SETI Institute) that a third objective be added to this program, to run concurrently with the previous: 3. To solicit the help of dedicated groups of amateur astronomers and coordinate their activities to conduct with their ground- based optical telescopes, a low-sensitivity Targeted Search of about 800 nearby solar-type stars with spectral resolution < 1 nm, and sensitivity 10^-16 W/m^2. For selected wavelength bands in the visible and near-infrared wavelength range (350 nm to 1,200 nm). Page 13 ASSUMPTION OF INEPTITUDE Unfortunately, despite declarations to the contrary, many SETI activists have been very anthropocentric and have in the main assumed that ETIs are technically inept. The "Assumption of (Technical) Ineptitude" (private discussions between the author and Clive Goodall), not to be confused with the "Assumption of Mediocrity" [5-39] applied to our own emerging technical civilization, has caused a gross under- estimate of the technical prowess of ETIs, e.g., their capability to aim very high-power tight beams into the life zones of nearby stars. The onus will be on them to transmit the strongest signal with their stellar or nuclear-pumped orbital lasers. It is humbling to remind ourselves that just one century ago, very few people on this planet used electricity. We have come a long way in a short time! Yet, in the space of one hundred years, we have been able to send astronauts to the Moon, robot probes to other planets, and deploy a large space telescope in Earth orbit. Despite the very unfortunate technical problems that have plagued the 2.4-meter aperture Hubble Space Telescope (HST), we should note that being representative of state-of-the-art terrene technology, it has a designed angular resolution of 0.043" and a designed pointing accuracy of 0.012". [59-62] In 1961, just after the invention of the laser and only two years following Cocconi and Morrison's [1] classic paper which initiated modern SETI, Schwartz and Townes [46-47] (of laser fame) suggested that in other societies, laser communications technology may have been developed before microwave communications. From looking at the development of technology during the Twentieth Century, it is probable that the development of microwave and laser technology must occur within a short time of each other. As Schwartz and Townes implied, another society, having developed laser technology first, might cultivate a SETI rationale which was based on the superiority of laser communications over its radio frequency counterpart. It may only be a historical accident that the science of SETI on this planet became so dominated by radio astronomers. Even Townes and his colleagues [46-47,51-53] have been somewhat constrained in imagination by limiting beam divergences to be greater than about one second of arc. A uniformly illuminated diffraction limited ten-meter diameter carbon dioxide (CO2) transmitter has a FWHM beamwidth equals 0.22 arc seconds (see Table 1, Page 19, and Table 2, Line 5, Page 22), so that even this system has a beam that is slightly too narrow by their definition. Note that more recently, Betz [57] has reduced the technical limits on beam divergence to 0.1 arc seconds. When we decide what might be technically feasible in one hundred, one thousand, or ten thousand years, the only thing which should constrain our imagination are the laws of physics as we presently know them. We are reminded that mere decades ago, the idea of geosynchronous communication satellites and men walking on the Moon was considered science fiction by most people. Although SETI is about the passive activity of listening for signals, otherwise it would be (and was) called CETI (Communications Page 14 With Extraterrestrial Intelligence), how close are we to being able to transmit strong gigawatt-type optical signals across the galaxy? The answer to this question is that we are now much closer in time to be in a position to do this than we are to the Industrial Revolution. This is practically no time at all on the Cosmic Time Scale. Perhaps SETI is one way to take those Strategic Defense Initiative (SDI) "swords" on both sides of the now defunct Iron Curtain and turn them into CETI "plowshares"! PROFESSIONAL OPTICAL SETI In this paper, the model employed for the Professional Optical SETI analysis is based on a very modest continuous wave (C.W.) transmitter power of 1 kilowatt (1 kW) over a range of ten light years. As a modelling convenience, it assumes symmetrical systems, i.e., that the receiver aperture is identical to that of the transmitter. This symmetrical modelling technique is one often adopted by previous comparative analyses. In reality, because by definition Extra- terrestrial Intelligences (ETIs) will be older and more technically mature civilizations, if and when we do detect ETI, it will be found that the alien transmitters are huge compared to our own puny receivers. Figure 2 is a schematic diagram showing the most important features of a heterodyning receiving system (Equs. 23, 32, and 34) suitable for Professional Optical SETI. The optical pre-detection filter is not really required for SETI activities because of the excellent background noise rejection inherent in such systems. In practice, such a receiver would at least be duplicated for the detection of two orthogonally- polarized or circularly-polarized signal components. This optical heterodyne receiver might well use a dye local- oscillator laser that has very narrow linewidth (< 5 kHz), and which is tunable across the entire visible and near-infrared regimes. The intermediate frequency (I.F.) bandwidth of such a system might be as high as 10 GHz. The output of each photodetector might be taken to a single 10 GHz Multi-Channel Spectrum Analyzer (MCSA) which sequentially samples all 16,384 photodetectors in the 128 X 128 pixel array, or there might be one MCSA for every row or for every photodetector, leading to substantial reductions in search time. For several practical reasons, e.g., Doppler de-chirping, it is likely that the alternative coherent detection technique called "homodyne detection" (Equ. 33), which is essentially equivalent to a heterodyne system with a zero I.F., would not be used for the frequency search, though it might be employed after acquisition of an ETI signal. One major reason why the SETI community generally discounts the optical approach is the considerable amount of quantum noise generated by optical photons. As we increase frequency, the number of photons for a given flux intensity progressively falls, so that there is a noise component associated with the statistics of photon arrival times, which exceeds the thermal kT noise. If Bif is the electrical bandwidth, it is assumed that sufficient photons arrive in the observa- Page 15 I ----------<-------- | -- Beamcombiner | Signal Pr | | ------- | -----------> | | -------> | . | ---->> ----- PIN Photodetector -----------> | | -------> | . | ---->> / \ (One detector in a -----------> | | -------> | . | ---->> ----- 128 X 128 array) Background | | ------- | Pb -- ^ ^ ^ ^ | ----- Optional | | | | | | | Optical | | | | --->---| |----> Bandpass Filter | | | | Po | | | | | | ----- ------------- Intermediate Frequency | | Electrical Bandpass Filter | Local | Bif Po >> Pr | Oscillator | | Laser | | | ------------- | | -----------------<---------------- Frequency Control Figure 2 - Coherent optical heterodyne receiver. The diagram shows just a single photodetector, but in a large professional heterodyning telescope, a focal-plane array of about 128 X 128 photodetectors would be used to reduced the search time. This would also ensure that if a star is centered on the array, the signal from an orbiting ETI transmitter would fall on the same pixel or on an adjacent one within the array area, depending on the distance of the star, the orbital distance and position of the transmitter, and its plane of ecliptic. For each array pixel (photodetector), the local-oscillator power Po >> the received signal Pr to ensure quantum noise limited detection. A focussed local- oscillator (L.O.) laser may be scanned across the photodetector array in synchronism with the electronic sampling of the array. This would avoid the requirement for a high power L.O., and would thus eliminate heat dissipation problems in the array. tion or measurement time 1/Bif, for Gaussian and Poisson statistics to apply. In practice, this means that about ten photons have to be detected during each measurement interval. For the photon-starved situation at small and negative Carrier-To-Noise Ratios (CNRs), the (analog) CNR values are somewhat meaningless. The effective noise temperature (Equ. 30) of the 656 nm system modelled in this paper is 43,900 Kelvin, considerably more than the 10 K of the microwave system. However, it is the potential high-gain transmitting capability of optical antennas (Equ. 10) which can more Page 16 than make up for this 36 dB reduction in sensitivity (36 dB increase in the noise floor). As a reference performance criterion, it should be noted that a symmetrical microwave system based on the 300-meter diameter Arecibo radio telescope on the island of Puerto Rico, a 1 kW transmitter and a 10 K system temperature, would produce a CNR of about 20 dB re 1 Hz (this is illustrated in Figure 4, Page 28). For discussions about Professional Optical SETI heterodyne receivers, we will often refer to the term Signal-To-Noise Ratio (SNR) in a generic manner as a means of denoting signal detectability. In such cases, what we really mean is CNR, as the measurement is taken at the intermediate frequency (I.F.) before electrical demodulation (detection) of the signal. In the material on Amateur Optical SETI photon-counting receivers, we will be dealing with the post-detection signal-to-noise ratio, so it is more accurately denoted by the term SNR. Communication engineers know that it is often expedient to normalize the CNR or SNR to a 1 Hz electrical bandwidth; a bandwidth which is thought to be substantially smaller than the minimum bin bandwidth required for actual SETI observations with Professional Optical SETI receivers. This allows us to subtract 10 dB from the CNR (SNR) for each decade increase in electrical bandwidth. For instance, a CNR (SNR) of 94 dB re (with respect to) 1 Hz is equivalent to 19 dB re 30 MHz, a figure arrived at by subtracting 10.log(30 X 10^6) from 94 dB. We shall be referencing these particular numbers again later. A bandwidth of "1 Hz" has a special significance to Microwave SETI researchers. It is often the minimum bin bandwidth employed to analyze the received signals as dispersion effects and Doppler chirp rates in the low microwave region, i.e., around 1.5 GHz, would spread the most monochromatic of signals to that order (Table 2, Line 30, Page 22) shows the maximum equatorial ground-based chirp due to Earth's rotation to be about 0.17 Hz/s). Thus, it is important to realize that for this Optical SETI analysis, the 1 Hz bandwidth is used just for the con- venience of normalizing the SNR. It does not imply anything about the ideal electrical (I.F.) or post-detection bandwidth. Note that in this study, it is generally assumed that the optical predetection bandwidth is at least twice the electrical or post-detection bandwidth. Although in Figure 2 we have indicated an optoelectronic front-end array, it is possible that future developments in photonic computer technology will allow for the employment of an all-optical receiver and signal processing array. In terms of mean transmitter power, it is useful to normalize the different ETI transmitters to a basic unit of 1 kW. Again, this implies no preconception about the actual powers available to ETIs, which inevitably will be far in excess of this. The noise level associated with the signal is assumed to be only that due to quantum shot noise. For power-starved receiving condition, non-Poisson noise at optical frequencies may actually raise the noise floor and degrade the CNR. In the quantum (Poisson) limited detection case, for every factor of ten that we increase the power, the CNR (SNR) will increase by 10 dB. If the optical receiver is background or internally noise Page 17 Relative Levels Per Pixel re 1 Hz | 34 dB |___1 kW Signal *** 1.6 X 10^-15 W______ | *S* | *I* CNR = 34 dB re 1 Hz | *G* 0 dB |___Quantum Shot Noise_________*N*________6.3 X 10^-19 W/Hz___ | .A. | .L. | . . -32 dB |___Planckian Continuum__ . . __4.0 X 10^-22 W/Hz___ | \ . . / | \ . . / -52 dB |___Fraunhofer Dark Line_ \___._.___/ __4.0 X 10^-24 W/Hz___ | <-----------> | H_alpha (656.2808 nm) Bandwidth = 0.402 nm = 280 GHz -72 dB |___Day_Sky_______________________________4.0 X 10^-26 W/Hz___ | | | | | -154 dB |___Night_Sky_____________________________2.5 X 10^-34 W/Hz___ | | H_alpha ------------------------------------------------------------- Wavelength or Frequency Figure 3 - Spectral levels at a range of ten light years, per diffraction limited pixel. The normalized transmitter power is 1 kW at 656 nm, and various noise sources for a space-based or adaptive ground-based heterodyne observatory are indicated. Both the transmitter and receiver are of 10 meters aperture and are assumed perfect. Receiver quantum efficiency equals 0.5. For convenience, the quantum noise level is taken as a reference level from which the signal and other noise sources are measured. Fraunhofer dark lines are typically 10 to 20 dB below the Planckian continuum level. limited, the CNR (SNR) will increase by 20 dB. Figure 3 is a graph of signal and relative noise spectral levels for an imagined symmetrical visible SETI system with heterodyne receiver (Equs. 32 and 34). One of the main benefits from the optical approach is its ability to sustain wideband communications over vast distances with very high Effective Isotropic Radiated Powers (EIRPs), but using relatively small apertures (Equ. 10). The latter attribute is particularly useful for spacecraft applications. [63-66] The EIRP is the apparent power that the transmitter would have to emit for a given received signal intensity, if it was an isotropic radiator, i.e., if it radiated energy uniformly in all directions, instead of confining the energy to a narrow beam. It is given by the product of the antenna gain and Page 18 transmitter power (Equ. 11). The 656 nm system has a Full Width Half Maximum (FWHM) beamwidth of 0.014 arcseconds (Page 73), so that over ten light years, the beam diameter has expanded to about 0.04 Astronomical Units (A.U.); roughly two percent of the diameter of Earth's solar orbit (Page 74)! For many years the author had been perplexed by the fact the optical approach to SETI had been ignored. There was very much a feeling of "What did the SETI community know that he did not?". Investigations over the past eighteen months indicate that to a large extent, the answer to this paradox was that the SETI community had simply refused to believe in the possibility that ETIs could aim narrow beams, such as the 0.04 A.U. dia. beam just described, and hit their targeted planet. Continued
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