1446
3, MARCH 2009
Numerical Performance Evaluation for
Alamouti Space Time Coded OFDM under
Receiver Impairments
Marco Krondorf, Member, IEEE, and Gerhard Fettweis, Fellow, IEEE
Abstract—We present a methodology for the analysis of the
capacity and symbol/bit error rate performance of Alamouti
space time coded OFDM links that jointly captures the aggregate
effects of real life receiver imperfections and mobile channel
effects. Specifically, we investigate carrier frequency offset, chan-
nel estimation error, outdated channel state information due to
time selective channel properties and flat receiver I/Q imbalance.
Hence, we provide a numerical tool for realistic Alamouti space
time coded (STC) OFDM performance evaluation. The main
contribution of this work is the derivation of the probability
density function of the received frequency domain signal with
respect to the mentioned impairments. The density function is
then used for numerical calculations of both the symbol and bit
error rates, as well as the capacity for Alamouti STC OFDM
links. Finally, we illustrate which of the mentioned impairments
has the most severe impact on the overall STC OFDM system
performance. The abstract goes here.
Index Terms—OFDM, space time coding, RF impairments.
I. I NTRODUCTION
O RTHOGONAL Frequency Division Multiplexing
(OFDM) is a widely applied technique for wireless
communications which enables simple frequency domain
equalization by cyclic prefix insertion. Conversely, the
sensitivity of OFDM systems to various receiver impairments
is higher than that of single-carrier systems. The usage of
transmit diversity techniques such as the well-known and
easy to implement 2x1 Alamouti space time coding (STC)
scheme increases the reliability of OFDM links even further
and is therefore of great importance for OFDM system
concepts. Furthermore, for OFDM system designers it is
often desirable to have easy-to-use numerical tools to predict
the system performance under various receiver impairments.
Within this article the term performance means both the
uncoded symbol and bit error rate (SER and BER) as well
as the ergodic link capacity. Link level simulations are often
used to obtain reliable performance measures for a given
system configuration. Unfortunately simulations are highly
time consumptive especially when the parameter space of the
system under investigation is large. Therefore, the intention
of this article is to introduce a numerical method to predict
the performance metrics of a given Alamouti space time
Manuscript received February 5, 2008; revised August 21, 2008; accepted
October 30, 2008. The associate editor coordinating the review of this paper
and approving it for publication was F. Daneshgaran.
The authors are with Vodafone Chair Mobile Communications Systems,
Technische Universität Dresden, 01069 Dresden, Germany (e-mail: krondorf,
fettweis@ifn.et.tu-dresden.de).
Digital Object Identifier 10.1109/TWC.2009.080172
1536-1276/09$25.00 
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IEEE TRANSACTIONS ON WIRELESS COMMUNICATIONS, VOL. 8, NO.
coded (STC) OFDM system configuration. We investigate
the performance of OFDM systems using the Alamouti space
time block code in its simplest form of two transmit antennas
and one receive antenna (2 × 1 MISO channel) for three
reasons:
1) The 2 × 1 Alamouti scheme offers full diversity gain of
2 without rate loss;
2) The Alamouti scheme is practically relevant. It has been
included in various 3.5G/4G wireless communication
standards such as 802.16-2005 WiMAX and 3GPP LTE,
where it is used in the downlink to allow for low
complexity mobile terminals;
3) The Alamouti scheme requires no channel knowledge
at the transmitter and hence no dedicated feedback
channel.
To get realistic performance results, our approach takes
into account a variety of receiver characteristics and
impairments as well as mobile channel properties such as:
• residual carrier frequency offset (CFO) after synchroniza-
tion,
• flat receiver I/Q imbalance in case of direct conversion
receivers,
• channel estimation errors,
• outdated channel state information due to time selective
mobile channel properties and
• frequency selective mobile channel characteristics .
In present OFDM standards, such as IEEE802.11a/g or
DVB-T, preamble (or pilots) are used to estimate and
compensate for the carrier frequency offset (CFO) and the
channel impulse response. Unfortunately, after CFO estimation
and compensation, the residual carrier frequency offset still
destroys the orthogonality of the received OFDM signals and
corrupts channel estimates, which degrade performance of
OFDM systems during the STC decoding process.
In the literature, the effects of carrier frequency offset on
Alamouti space time coded OFDM symbol/bit error rate are
mostly investigated under the assumption of perfect channel
knowledge in [1], [2] and [3]. In [4] and [5] the effects
of channel estimation errors on the performance of general
narrow-band Alamouti STC systems are considered but the
authors do not extend their results to the case of impaired
OFDM transceiver concepts.
Additionally, receiver I/Q imbalance has been identified
as one of the most serious concerns in the practical imple-
mentation of direct conversion receiver architectures. Since,
c 2009 IEEE
KRONDORF/FETTWEIS: NUMERICAL PERFORMANCE EVALUATION FOR ALAMOUTI SPACE TIME CODED OFDM UNDER RECEIVER IMPAIRMENTS
transmitter I/Q imbalance has significantly less effect on
OFDM systems [8] than receiver I/Q imbalance, transmitter
I/Q imbalance is not considered in this work. In [10] the
effect of receiver I/Q imbalance on SISO OFDM systems
is considered for frequency selective fading channels under
the assumption of perfect channel knowledge and perfect
receiver synchronization. Additionally, in order to cope with
this impairment, the authors of [9] proposed a digital I/Q
imbalance compensation method.
In order to overcome the afore mentioned limitations, this
article summarizes parts of the author’s previous work on
Alamouti STC OFDM in order to finally give one compre-
hensive view on the topic. Specifically, parts of this article
can be found in [13] and [14]. Moreover, OFDM performance
analysis results for SISO and SIMO systems under receiver
impairments can be found in [15]. Finally, we observe that
knowledge about the quantitative relationship between receiver
parameters (such as I/Q imbalance, channel estimation error
and residual CFO) and performance metrics is essential for
the design of OFDM systems and receiver algorithms.
In this article, after introducing the general impaired OFDM
system model (Sec.III) we provide a detailed stochastic analy-
sis of Alamouti STC systems under channel estimation error in
Sec.IV-A and extend our findings toward impaired Alamouti
space time coded OFDM signals in Sec.IV-B. Our results are
verified by means of SER and BER computation in Sec.IV-D
and Sec.V-A. Finally, we conclude in Sec.VI.
II. OFDM P ERFORMANCE A NALYSIS
A. The Approach
We choose ergodic link capacity per subcarrier, measured in
[Bit / Channel Use], as an important performance metric for
STC OFDM systems. This information theoretic metric allows
the characterization of the system behavior subject to real life
receiver impairments independently from any kind of channel
coding details. Fig.II-A depicts an OFDM transceiver chain
including channel and receiver effects. These effects can be
modeled as an effective channel between the data source and
detector, which is often called the modulation channel. The
modulation channel is characterized by its conditional PDF
pZ (z|x), a function that describes the statistical relationship
between the discrete input symbols x and the continuously
distributed decision variable z. Using any given complex M-
QAM constellation alphabet X, the link capacity can be
expressed as the mutual information between source and sink
that depends only on the input statistic of X and pZ (z|x).
Since our performance analysis framework intends to describe
the mutual information (and hence the ergodic link capacity
under a given input statistic), we propose and implement the
following method for OFDM performance analysis:
1) Derive pZ (z|x) under receiver impairments, mobile
channel properties and OFDM system parameters.
2) Apply pZ (z|x) to uncoded SER and BER calculations
and verify their suitability by comparing the SER/BER
prediction results with those obtained from simulation.
3) Calculate the mutual information, i.e. ergodic Alamouti
STC OFDM link capacity per carrier, using the verified
statistic pZ (z|x).
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1447
B. OFDM Performance Metrics
The derived PDF of the decision variables can be used
to compute relevant performance metrics such as SER, BER
and ergodic link capacity on certain subcarriers. For SER
computation for instance we have to solve the following
equation to yield the corresponding average probability of
error on subcarrier l:
M 
1 
Pe (l) = 1 − pZl (zr + jzi |Xm ) dzr dzi (1)
M m=1
Rm
where z = zr + jzi , M denotes the number of constellation
points and Rm is the decision region of point Xm . If the bit
mapping is taken into account, bit error rates can be calculated
in an equivalent manner of solving the double integral w.r.t.
appropriate decision regions and averaging over all OFDM
data carriers.
For information theoretic concerns, the ergodic Alamouti
STC OFDM link capacity in terms of mutual information
Il (X; Z) on subcarrier l between the discrete complex input
alphabet X (mostly the M-QAM modulation alphabet) and the
continuous complex alphabet Z of the decision variables, is
of greater importance than BER or SER metrics. In addition,
it is well known from [12] that Il (X; Z) can be computed as:
  
Il (X; Z) = P (Xm ) pZl |Xm (zr + jzi |Xm ) (2)
m
Zr Zi
 
pZl |Xm (zr + jzi |Xm )
×log2  dzr dzi ,
n pZl |Xn (zr + jzi |Xn )P (Xn )
where P (Xm ) stands for the probability of the input constel-
lation point Xm .
III. OFDM S YSTEM M ODEL
In this article we consider a N-point FFT OFDM system.
The data on each subcarrier is modulated by a QAM modulator
and transformed to a time domain signal by performing an
IFFT operation. Subsequently, a cyclic prefix is added which
is chosen to be longer than the channel impulse response
(CIR). At the receiver side, the sampled complex time domain
baseband signal is transformed in the frequency domain by
FFT after cyclic prefix removal. Finally, the Alamouti STC
OFDM frequency domain received signal Yl,1 and Yl,2 on
subcarrier l at time instants 1 and 2 can be written
Xl,1 Xl,2
Yl,1 = √ Hl,1 + √ Hl,2 + Wl,1 (3)
2 2
∗ ∗
Xl,2 Xl,1
Yl,2 = − √ Hl,1 + √ Hl,2 + Wl,2 , (4)
2 2
where Xl,1 and Xl,2 represent the complex QAM symbols
on subcarrier l which are transmitted alternatingly by both
Tx antennas in the two time slots. The terms Wl,1 and Wl,2
are complex Gaussian noise samples at both time instants.
The coefficients Hl,1 and Hl,2 denote the frequency domain
channel transfer function on subcarrier l between the receive
antenna and transmit antennas 1 and 2 respectively. The
1448 IEEE TRANSACTIONS ON WIRELESS COMMUNICATIONS, VOL. 8, NO. 3, MARCH 2009

Mobile Channel continuous

Discrete complex complex detector
input alphabet OFDM OFDM input alphabet
X Modulation Demodulation
Coding & Z Detection &
& &
Symbol Mapping Decoding
Space Time Space Time
Coding Alamouti STC Decoding

Modulation Channel – representing PHY impairments,

Modulation Characteristics and Mobile Channel Properties

Fig. 1. The modulation channel concept used for capacity evaluation.

channel coefficients Hl are given by the discrete Fourier capabilities of the receiver on subcarrier l can be quantified
transform of the corresponding CIR h(τ ) having L taps in terms of the image rejection ratio - IRR:
 2
L−1
  1 
Hl = h(τ )e−j2πlτ /N . (5) IRRl =   . (8)
Kl
τ =0
In this paper, we consider flat I/Q imbalance, which simply
In this article it is assumed that the residual carrier frequency means IRRl = IRR for all values of l.
offset (after frequency synchronization) is a deterministic vari- Pilot aided least squares frequency domain channel estima-
able. Ignoring the STC structure for now, the CFO-impaired tion is considered in the following where we assume a time
frequency domain OFDM baseband signal on subcarrier l has orthogonal pilot structure. Here, two similar OFDM symbols
the following structure are used where the Tx antennas transmit their corresponding
N
−1 OFDM pilot symbols in a time division duplex manner.

2

Yl = Xl Hl I(0) + Xk Hk I(k − l) +Wl . (6) Subsequently, the channel estimate on subcarrier l is given
k=− N
by:
2 ,k=l
 
 
ICI ỸP,l k=l XP,k Hk I(k − l) + Wl
Ĥl = = I(0)Hl +
XP,l XP,l
Here, the coefficient I(k − l) represents the impact of the  ∗ ∗ ∗ 
received signal at subcarrier k on the received signal at X
m P,m H m I (m + l) + W−l
+Kl , (9)
subcarrier l due to the residual carrier frequency offset [6]: XP,l

sin(π((k − l) + Δf )) where XP,l and ỸP,l denote the transmitted and received
I(k − l) = ejπ((k−l)+Δf )(1−1/N ) , preamble symbols on subcarrier l. The Gaussian noise of the
N sin(π((k − l) + Δf )/N )
preamble part Wl has the same variance as Wl of the data
where Δf is the residual carrier frequency offset normal- 2
part (σW 2
 = σW ). The power of the preamble signals and the
ized to the subcarrier spacing. In addition, the summation l l
average power of the data symbols is normalized to one on
 N2 −1 
k=− N ,k = l
will be abbreviated as k=l in the following. all subcarriers, i.e. |XP,l |2 = σX
2
= 1. We therefore define the
2
In (6) we can see, that residual CFO causes a phase rotation average subcarrier SNR as
of the received signal I(0) and inter carrier interference (ICI). 2 2 2
σX σH σH
Furthermore, there is a time variant common phase shift for all γ= 2 = 2 ,
subcarriers due to Δf, as given in [7], that is not modeled here. σW σW
This is due to the fact that this time variant common phase which we use for performance evaluation in Sec.IV-D and
term is considered to be robustly estimated and compensated Sec.V-A.
by continuous pilots that are inserted in the OFDM data
symbols.
A. Mobile Channel Characteristics
I/Q imbalance of direct conversion OFDM receivers directly
translates to mutual interference between each pair of subcar- To obtain precise performance analysis results in the case
riers located symmetrically with respect to the DC carrier [9]. of subcarrier crosstalk induced by CFO and I/Q imbalance,
Hence, the received signal Yl at subcarrier l is interfered by the it is desirable to use exact expressions for the subcarrier
received signal Y−l at subcarrier −l, and vice versa. Therefore, channel cross-correlation properties. The cross-correlation
the undesirable leakage due to I/Q imbalance can be modeled between frequency domain channel coefficients is mainly
by [9], [11] determined by the CIR power delay profile and the CIR tap
∗
Ỹl = Yl + Kl Y−l (7) cross-correlation properties. Furthermore, the discrete nature
of the sampled CIR is modeled as a tapped delay line having
where (.)∗ represents complex conjugation and Kl denotes L channel taps. Although our analysis is not limited to a
a complex-valued weighting factor that is determined by the specific type of frequency selective channel, we consider
receiver phase and gain imbalance [9]. The image rejection mobile channels having an exponential power delay profile

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KRONDORF/FETTWEIS: NUMERICAL PERFORMANCE EVALUATION FOR ALAMOUTI SPACE TIME CODED OFDM UNDER RECEIVER IMPAIRMENTS 1449

(PDP) in our numerical examples: Applying (5) we then get:

1 E{Hl (t)Hl∗ (t + λ)} = (14)

στ2 = e−Dτ /L , τ = 0, 1, . . . , L − 1 . L−1 L−1
C  (τ −ν)
E h(τ, t)h∗ (ν, t + λ)e−2πl N .
L−1
Here, στ2 = E{|h(τ )|2 } and the factor C = τ =0 e−Dτ /L τ =0 ν=0
L−1 2 2
is chosen to normalize the PDP so that τ =0 στ = σH = When assuming uncorrelated channel taps it follows from (14):
2
E{|Hl | }. The channel taps h(τ ) are assumed to be complex L−1

zero-mean Gaussian RV with uncorrelated real and imaginary E{Hl (t)Hl∗ (t + λ)} = rh (τ, λ)στ2 . (15)
parts. Hence, after DFT according to (5), the channel coef- τ =0
ficients are zero-mean complex Gaussian random variables.
Here, rh (τ, λ) denotes the auto-correlation coefficient of CIR
Additionally, the CIR length L is assumed to be shorter
tap hτ where we assume that all CIR taps have the same auto-
than the cyclic prefix. The cross-correlation coefficient of the
correlation properties what means that rh (τ, λ) = rh (λ), 0 ≤
channel transfer function on subcarriers k and l in case of
τ ≤ L − 1. As an interesting consequence, we observe that:
frequency selective fading is defined as
rH (l, λ) = rh (λ), (16)
E{Hk Hl∗ } L−1 2
rk,l = = 1 , ∀ k = l , (10) 2
2
σH where the relationship τ =0 στ = σH was applied. For
the numerical evaluation of SER and BER in Sec.IV-D and
2 Sec.V-A, the time selectivity of the complex Gaussian channel
where σH is equivalent for all subcarriers. Assuming mutual
uncorrelated CIR taps and applying (5), one obtains taps was modeled as
L−1
 h(τ, t + λ) = rh (τ, λ)h(τ, t) + vτ,λ (17)
E{Hk Hl∗ } = στ2 e−j2π(k−l)τ /N . (11)
with
τ =0
E{|h(τ, t)|2 } = E{|h(τ, t + λ)|2 } = στ2 (18)
From (11) we observe that the PDP, i.e. the variances is στ2 , where vτ,λ is a complex Gaussian RV with variance σv2τ ,λ =
only used to calculate the cross-correlation which is required στ2 (1 − |rh (τ, λ)|2 ) and E{h(τ, t)vτ,λ
∗
} = 0. For sake of
in the impairment analysis of the next sections. Hence, the simplicity, it is assumed that the channel is constant during
analytical results of this article can be applied for arbitrary one OFDM symbol but changes from symbol to symbol in
power delay profiles. Specifically, certain tap powers can be the above defined manner.
set to zero in order to implement channel models of unequal
tap delay spacing. Finally, the cross correlation of the complex
Gaussian channel coefficients can be formulated to be B. Channel Estimation and Estimation Error Model
We can rewrite the channel estimates on subcarrier l in (9)
Hk = rk,l Hl + Vk,l , (12) with respect to the frequency selective fading characteristic
given in (12) to be
where Vk is a complex zero-mean Gaussian RV with variance  
σV2 k,l = σH
2
(1 − |rk,l |2 ) and E{Vk,l Hl∗ } = 0. k=l rk,l XP,k I(k − l)
Ĥl = I(0)Hl 1 + (19)
In current OFDM systems such as 802.11a/n or 802.16,  
I(0)XP,l
H̃l
there is a typical OFDM block structure. Typically, an OFDM  ∗ ∗ ∗ 
block consists of a set of preamble symbols used for acqui- Kl m rm,l XP,m I (m + l)
+η + ν̃l ,
sition, synchronization and channel estimation, followed by I(0)XP,l
a set of serially concatenated, in our case space time coded, where the effective noise term ν̃l of the channel estimate is
OFDM data symbols. given by
User mobility gives rise to a considerable variation of 
the mobile channel during one OFDM block which causes   k=l XP,k Vk,l I(k − l)
ν̃l = Wl + Kl W−l + (20)
outdated channel information in certain OFDM symbols if XP,l
 ∗ ∗ ∗
there is no appropriate channel tracking. To be precise, during m XP,m Vm,l I (m + l)
+Kl
the time period λ between channel estimation and OFDM XP,l
symbol reception the channel changes in a way that the
estimated channel information used for equalization does not with variance σν̃2l as presented in (21). The factor α̃l given in
fit the actual channel anymore. If there is no channel tracking (19)
  ∗ ∗
at the receiver side, our aim is it to incorporate the effect rk,l XP,k I(k − l) + ηKl rm,l XP,m I ∗ (m + l)
k=l m
of outdated channel information into our PDF derivation and α̃l = 1 +
performance evaluation. Therefore we have to define the auto- I(0)XP,l
(22)
correlation properties of channel coefficients Hl . The auto-
represents the cross-correlation coefficient between Hl and
correlation coefficient on subcarrier l is defined as
its estimate Ĥl . In impairment-free OFDM systems (i.e. no
E{Hl (t)Hl∗ (t + λ)} CFO and no I/Q imbalance) we have that αl = 1 although it
rH (l, λ) = . (13)
2
σH should be noted that αl deviates from 1 in the case of carrier

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1450 IEEE TRANSACTIONS ON WIRELESS COMMUNICATIONS, VOL. 8, NO. 3, MARCH 2009


σν̃2l = ∗
XP,k XP,n I(k − l)I ∗ (n − l)(rk,n − rk,l rn,l
∗ 2
σH ) (21)
k=l n=l

+|Kl |2 ∗
XP,k XP,n I ∗ (k + l)I(n + l)(rk,n
∗ ∗
− rk,l 2
rn,l σH 2
) + σW (1 + |Kl |2 )
k n

crosstalk. Furthermore, η denotes the random variable e−j2φl and ICI parts, respectively. If we substitute (6) and (12) into
that represents the stochastic part of αl . This is due to the fact (7), we get
that the complex Gaussian channel coefficient can be written 
H∗ W̃l = Wl + Kl W−l + Xk Vk,l I(k − l) (27)
as Hl = |Hl |ejφl . Hence, we obtain Hll = e−j2φl = η, where
k=l
φl is an equally distributed RV in the interval [−π, π]. In order 
∗ ∗
to simplify the analysis, we neglect the stochastic properties +Kl Xm Vm,l I ∗ (m + l) .
of α̃l induced by η = ej2φl and finally use the heuristic φl = m

0. This method greatly simplifies the further derivations and For an exact expression of σW̃ 2
we take (27), σV2 k,l = σH
2
(1 −
l
is quite reasonable under realistic receiver characteristics and 2
|rk,l | ) together with the assumptions of mutually uncorrelated
IRR ≥ 30 dB. From (19) we finally obtain data symbols to obtain

Ĥl = α̃l H̃l + ν̃l (23) 2
σW̃ = σW 2
(1 + |Kl |2 ) + σH2
|I(k − l)|2 (1 − |rk,l |2 )
l
by defining the effective channel H̃l = I(0)Hl with variance k=l
2

σH̃ = |I(0)|2 σH
2
where we also have that +|Kl |2 σH
2
|I(m + l)|2 (1 − |rm,l |2 ) . (28)
l
m=l
E{|Ĥl |2 } = σĤ
2
= |α̃l |2 σH̃
2
+ σν̃2l .
l l

D. Alamouti STC OFDM System Model including all Impair-

C. System Model Statistics ments
Applying the channel cross-correlation properties allows us Based on the OFDM signal and channel modeling presented
to further refine the impaired OFDM system model. Specifi- in the course of this section, we are now able to give the
cally, if we substitute (6) into (7) and use the channel cross impaired Alamouti STC OFDM system model using the
correlation decomposition of (12) as well as the effective effective stochastic symbol concept as well as our effective
channel H̃l definition we obtain: channel definition:
 
k=l rk,l Xk I(k − l) X̃l,1 X̃l,2
Yl = H̃l Xl + (24) Yl,1 = √ H̃l,1 + √ H̃l,2 + W̃l,1 (29)
I(0) 2 2
 ∗ ∗ ∗ 
Kl m rm,l Xm I (m + l) ∗
X̃l,2 ∗
X̃l,1
+η + W̃l Yl,2 = − √ H̃l,1 + √ H̃l,2 + W̃l,2 . (30)
I(0) 2 2
Yl = H̃l X̃l + W̃l . (25) Here, we do not observe any formal difference compared to
Given (24) and (25), the effective symbol X̃l , which is no the classical impairment free Alamouti STC model presented
longer a deterministic value but a stochastic quantity due to in (3) and (4). This fact is of great importance in our subse-
i.i.d. data symbols on the subcarriers k = l, can be defined. quent investigations because we can now apply the classical
Furthermore, given a certain transmit symbol Xl and assuming Alamouti STC signal model to find an analytical expression
uncorrelated data symbols Xk with k = l, we can decompose for the PDF pZ (z|x) without explicitly taking into account the
X̃l into more complex OFDM system model resulting from CFO and
X̃l = Xl + Jl , I/Q imbalance.

which shows the stochastic nature of X̃l due to the random IV. P ERFORMANCE OF A LAMOUTI STC OFDM
interference part Jl resulting from CFO and I/Q imbalance. T RANSMISSION
We model Jl as a zero-mean Gaussian random variable Jl =
In this section we derive the desired PDF pZ (z|x) for
pl + jql where the mutual uncorrelated real and imaginary
impaired Alamouti STC OFDM links and subsequently use
parts pl and ql have the same variance:
the results for SER prediction.
σp2l = σq2l = (26)
 2 2 2
 2 2
k=l |I(k − l)| |rk,l | + |K l | m |I(m + l)| |rm,l | A. PDF Derivation
2|I(0)|2 In Sec.III-D we draw the important conclusion that there is
with a formal equivalence between the impaired and non-impaired
σJ2l = σp2l + σq2l . OFDM signal model. Hence, in this subsection it is enough to
first derive pZ (z|x) for a simplified OFDM signal model ac-
The term W̃l of (25) represents the effective noise of the cording to (3) and (4) where we neglect any impairments and
received signal that consists of the AWGN parts Wl , W−l subcarrier indexes but take into account channel estimation

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KRONDORF/FETTWEIS: NUMERICAL PERFORMANCE EVALUATION FOR ALAMOUTI SPACE TIME CODED OFDM UNDER RECEIVER IMPAIRMENTS 1451

errors1 . Based on the PDF obtained we then move forward and (37) we can summarize that
extend our findings toward the more complex OFDM system ∗ 2
∗ α rh (λq,p )σH
model under CFO and I/Q imbalance in the next subsection rYq Ĥp = −Xm √ with q, p ∈ {1, 2}. (38)
Sec.IV-B. Let Y1 and Y2 denote the received complex symbol 2σYq σĤp
at time instants 1 and 2. Furthermore, there are two un- For sake of simplicity, we assume that λq,p = λ, and hence
correlated flat zero-mean complex Gaussian channels having rh (λq,p ) = rh (λ), which is reasonable under moderate time
realizations H1 and H2 . The corresponding channel estimates selective channel properties that we typically find in mobile
are given by Ĥ1 and Ĥ2 with Ĥp = αp Hp + νp , p ∈ {1, 2}, communications. Furthermore, it is easy to verify that
where αp denotes a multiplicative deterministic complex con-
stant coming from the channel estimation scheme and νp σY2 1 = σY2 2 = σY2 = σX
2 2 2
σH + σW
represents a zero-mean complex Gaussian RV of variance σν2 . and
It is therefore reasonable to write α1 = α2 = α since it is 2
σĤ 2
= σĤ 2
= σĤ = |α|2 σH
2
+ σν2 .
assumed that there is a stationary impairment situation during 1 2

the channel estimation process and that the same channel We can now calculate the variance of both RV V1 and V2 from
estimation scheme and pilot symbols are used for channel (35) and (36):
estimation for both Ĥ1 and Ĥ2 . Finally, the decision variables |α|2 rh2 (λ)σH
4
Z1 and Z2 are obtained from the well known Alamouti space σV2 1 = σV2 2 = σV2 = σX
2 2 2
σH + σW − 2 . (39)
σĤ
time decoding operation:
  √  ∗   Substituting (35) and (36) into (32) and applying (37) and (38)
Z1 2 Ĥ1 Ĥ2 Y1 we finally obtain expression (40) for the decision variable Z1 .
= . (31)
Z2 ∗
|Ĥ1 |2 + |Ĥ2 |2 Ĥ2 −Ĥ1 Y2∗ In the general impaired OFDM system model analysis of
Sec.III-C, it has been shown, that X1 and X2 are no longer
The variables Z1 and Z2 are then fed into the decoder and
deterministic symbols, but stochastic quantities due to CFO
detector stage. Assuming equal stochastic properties of Z1
and I/Q imbalance, leading to the effective stochastic symbols
and Z2 , it is reasonable only to investigate decision variable
X̃1 and X̃2 . Hence, all instances of X1 and X2 in (40) have
Z1 for sake of simplicity. Therefore, Z1 reads
√ to be substituted by their effective symbols. Therefore, we
2   perform the following decomposition according the derivations
Z1 = Ĥ1∗ Y1 + Ĥ2 Y2∗ . (32) of Sec.III-C:
|Ĥ1 |2 + |Ĥ2 |2
X̃1 = X1 + p1 + jq1 .
It is important to note that the values of Y1 and Y2 are complex
Gaussian random variables when considering fixed transmit It is assumed, that the stochastic part of X̃1 is characterized by
symbols and fixed complex Gaussian channel coefficients as the i.i.d. Gaussian random variables p1 and q1 with E{|p1 +
well as AWGN: jq1 |2 } = σJ2 . The same holds for X̃2 . Hence we obtain from
(40) a refined expression for Z1 which is given in (41).
1 1
Y1 = √ H1 X1 + √ H2 X2 + W1 (33) In the last step, we observe from (32) that the decision
2 2 variable Z1 is a complex Gaussian random variable if Ĥ1 ,
1 1
Y2 = √ H1 (−X2∗ ) + √ H2 (X1∗ ) + W2 . (34) Ĥ2 , X1 and X2 are considered to be deterministic values.
2 2 Hence, Z1 can be characterized by its complex mean mZ1
2
In the next step, we use the cross correlation properties of the and its variance σZ 1
. We derive both quantities using (41)
channel estimates and Y1 and Y2 to rewrite (33) and (34): under the assumption that (α∗ − α) ≈ 0. This is reasonable
rY1 Ĥ1 σY1 r σY1 because it can be seen in (22) that the imaginary part of α
Y1 = Ĥ1 + Y1 Ĥ2 Ĥ2 + V1 (35) converges to zero the lower the receiver impairments. More
σĤ1 σĤ2
precisely, α is getting one in the impairment-free case and
rY2 Ĥ1 σY2 r σY2
Y2 = Ĥ1 + Y2 Ĥ2 Ĥ2 + V2 , (36) the channel estimation error model reduces to the often used
σĤ1 σĤ2 equation Ĥ = H +ν. Finally, using the abbreviations |Ĥ1 |2 =
where V1 and V2 represent zero-mean complex Gaussian RV r1 and |Ĥ2 |2 = r2 the mean and variance are given by:
with variance σV2 1 = σY2 1 (1 − |rY1 Ĥ1 |2 − |rY1 Ĥ2 |2 ) and σV2 2 = 2σV2 σ 2 r2 (λ) σ 4  
σ 2 
2
σY2 2 (1 − |rY2 Ĥ1 |2 − |rY2 Ĥ2 |2 ). = + J h 2 H4 |α∗ r1 + αr2 |
Z1 r1 ,r2 r1 + r2 (r + r ) σ1 2
For the correlation coefficients we find that Ĥ
(42)
E{Y1 Ĥ1∗ } X1 α ∗ 2
rh (λ1,1 )σH and
rY1 Ĥ1= = √ , (37) 2
 
σY1 σĤ1 2σY1 σĤ1 rh (λ)σH α∗ r1 + αr2
mZ1 |X1 ,r1 ,r2 = 2 X1 . (43)
σĤ r1 + r2
where λq,p represents the time duration between estimation of
Hp and reception of Yq . Applying the same techniques as in
B. Statistics of the OFDM STC Alamouti System Model under
1 Some of the basic derivations in this work can also be found in [5] where Impairments
the authors investigated non-OFDM Alamouti space time coded systems in It has been shown in the last subsection that the statistics
static flat channel environments and BPSK digital modulation. However, in
this work the basic derivations of [5] are extended to impaired OFDM systems of Z1 and Z2 form a complex conditional Gaussian PDF. As-
and complex mobile channel conditions. suming equal statistical properties for Z1 and Z2 on subcarrier

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1452 IEEE TRANSACTIONS ON WIRELESS COMMUNICATIONS, VOL. 8, NO. 3, MARCH 2009

   ∗      
√ 2
α rh (λ)σH 2
αrh (λ)σH
2 Ĥ1∗ Ĥ1 X1 + Ĥ2 X2 √ 2
2σ
+ V1 + Ĥ 2 Ĥ ∗
X
2 1 − Ĥ ∗
X
1 2
√
2σ2
+ V2
∗
Ĥ Ĥ
Z1 = . (40)
|2
|Ĥ1 + |Ĥ2 |2

 
2   2
1 rh (λ)σH ∗ 2 2 rh (λ)σH ∗ ∗
Z1 = Xm,1 2 α |Ĥ1 | + α|Ĥ2 | + Xm,2 2 (α − α)Ĥ1 Ĥ2 (41)
|Ĥ1 |2 + |Ĥ2 |2 σĤ σĤ

√ 2 
1 rh (λ)σH
+ 2(Ĥ1∗ V1 + Ĥ2 V2∗ ) + 2 (p1 + jq1 )(α∗ |Ĥ1 |2 + α|Ĥ2 |2 )
|Ĥ1 |2 + |Ĥ2 |2 σĤ

+ (p2 + jq2 )(α∗ − α)Ĥ1∗ Ĥ2 .

l and using the notation of our OFDM system model we now For example, consider a QPSK constellation with the as-
can write sumption of an equal conditional symbol error probability
   
1 z − mZ |X,r ,r 2 Pe (r1 , r2 ) for all constellation points. Under such conditions
pZl (z|X, r1 , r2 ) = 2 exp − 2
l 1 2
. it is enough only to evaluate the conditional symbol error
πσZ σZ
l |r1 ,r2 l |r1 ,r2 probability for the first QPSK symbol x1 = √1 (1 + j).
(44) (2)
Here, z is a complex variable with real part zr and imaginary Specifically, applying (48) we obtain:
part zi . We now map the mean and the variance of the
Pe (r1 , r2 ) = (49)
Gaussian PDF onto our impaired OFDM system model of    
Sec.III-B and Sec.III-C where we have to modify (43) and 2Re{mZl |x1 ,r1 ,r2 } 2Im{mZl |x1 ,r1 ,r2 }
1−Q − 2 Q − 2 .
(42) according to the Alamouti STC OFDM system model σz|r 1 ,r2
σz|r 1 ,r2
under impairments as follows:
  Because Ĥl = α̃l H̃l + ν̃l is a complex Gaussian RV and we
rh (λ)|I(0)|2 σH 2
α̃∗l r1 + α̃l r2
mZl |X,r1 ,r2 = 2 X , (45) assume uncorrelated channels between the transmit antennas
σĤ r1 + r2
l and the receive antenna, we understand r1 and r2 to be
4   independent identical exponentially distributed RVs with PDF
2
2σV2 l σJ2l
rh2 (λ) σH̃ ∗ 2
σZ l |r1 ,r2
= + 2 |α̃l r 1 + α̃l r2 | .  
r1 + r2 (r1 + r2 ) σĤ 4
1 r
l
(46) pR1 (r) = pR2 (r) = 2 exp − 2 . (50)
σĤ σĤ
Here, the parameters I(0), α̃l , σJ2l , σH̃
2
and σĤ2
are explained l l
l l
in Sec.III, while the parameter σV2 l can be calculated using the The resulting symbol error probability for the QPSK scenario
following equation according (39): on subcarrier l can then be formulated as
∞∞  
|α̃l |2 rh2 (λ)|I(0)|4 σH
4
1 r1 + r2
σV2 l = σX
2
|I(0)|2 σH
2 2
+ σW̃ − 2 . (47) Pe = 1 − 4 Pe (r1 , r2 ) exp − 2 dr1 dr2 .
l σĤ σĤ σĤ
l
l 0 0 l
It is important to state that (45) and (46) are especially (51)
valid under the assumption of mutually uncorrelated mobile
channels between the receive antenna and the two transmit
antennas, all having similar power delay profiles. D. Numerical Results
In the following numerical examples, we consider an
C. Verification of the derived PDF by means of SER calcula- OFDM system with a 64-point FFT. Here, the data is QPSK-
tion modulated and Alamouti space time coded to different sub-
It is well known that the derived PDF can be used for the carriers, then transformed to a time domain signal by IFFT
calculation of relevant performance metrics such as symbol operation and prepended by a 16-tap cyclic prefix. The data
error rate (1). Hence, cross-checking of simulated and calcu- is randomly generated and one OFDM pilot symbol was used
lated SER provides us with a tool to verify the accuracy of for channel estimation for each transmit antenna. The used
our PDF derivation. In order to derive the conditional sym- frequency domain training data used in each of the two OFDM
bol error probability Pe (xm |r1 , r2 ) of the m-th constellation pilot symbols is given by:
point for given a r1 and r2 , we have to evaluate the two-
dimensional integral over the appropriate decision region Rm XP,l = (−1)l for subcarrier index l = [−32 : 1 : 31] .
with z = zr + jzi as follows
In addition, we consider frequency selective Rayleigh fading
Pe (xm |r1 , r2 ) = (48) channels having an exponential PDP according to the channel
   2 
1 z − mZl |xm ,r1 ,r2  model of Sec.III-A
1− 2 exp − 2 dzr dzi . 1
Rm
πσZ l |r1 ,r2
σz|r 1 ,r2 στ2 = e−Dτ /L , τ = 0, 1, . . . , L − 1 ,
C

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KRONDORF/FETTWEIS: NUMERICAL PERFORMANCE EVALUATION FOR ALAMOUTI SPACE TIME CODED OFDM UNDER RECEIVER IMPAIRMENTS 1453

10
−1 V. M ARGINAL D ENSITY D ERIVATION
For sake of performance evaluation, it is desirable to have
10
−2
an easy to use closed form PDF pZl (z|X) expression available
instead of the conditional PDF pZl (z|X, r1 , r2 ) found in the
−3
last section. Hence, we have to compute the marginal PDF
10
using the following expression:
SER

Δf = 1% Simulation
−4
Δf = 1% Numerical ∞
10 IRR = 30 dB
Δf = 5% Simulation
pZl (z|X) = pZl (z|X, r1 , r2 ) pR1 (r1 ) pR2 (r2 ) dr1 dr2 .
Δf = 5% Numerical
Δf = 1% Simulation 0
10
−5
Δf = 1% Numerical (52)
Δf = 3% Simulation It is known, that r1 and r2 are i.i.d. exponential distributed
Δf = 3% Numerical IRR = 40 dB random variables with PDFs:
 
−6
10
10 15 20 25 30 35 40
1 r
Average Subcarrier SNR in dB pR1 (r) = pR2 (r) = 2 exp − 2 . (53)
σĤ σĤ
l l
Fig. 2. Comparison of simulated and analytical uncoded SER vs. SNR
for QPSK Alamouti space-time coded OFDM under residual CFO in static By the usage of computer algebra tools we found that without
exponential PDP 8 taps channel environment. 2
simplifications to mZl |Xm ,r1 ,r2 and σZ l |r1 ,r2
a closed form
solution to the double integral (52) does not exist. We therefore
propose three simplifications (I), (II) and (III) that finally lead
to a closed form marginal PDF. We then show that the resulting
−1
10 marginal PDF still provides accurate performance prediction
results under moderate impairments (i.e. IRR > 30 dB and
−2
residual CFO below 5%).
10
(I) Since Re{α̃l } >> Im{α̃l }, we can write
r h (λ) = 0.993
α̃∗l r1 + α̃l r2 = Re{α̃l }(r1 + r2 ), (54)
SER

−3
10
and the conditional mean of (45) is reduced to
r h (λ) = 0.997
−4 rh (λ)|I(0)|2 σH
2
10 IRR = 30 dB Simulation
mZl |X = 2 XRe{α̃l } . (55)
IRR = 30 dB Numerical σĤ
IRR = 40 dB Simulation l

IRR = 40 dB Numerical
10
−5 r h (λ) = 1 (II) We can reformulate the variance of (46) to be
5 10 15 20 25 30 35 40
2σV2 l σJ2 rh2 (λ) σH̃
4
Average Subcarrier SNR in dB 2
σZ l |r1 ,r2
= + l 4 (Re{α̃l })2 (56)
r1 + r2 σĤ
l
Fig. 3. Comparison of simulated and analytical uncoded SER vs. SNR for
QPSK Alamouti space-time coded OFDM with residual CFO of 5% under and subsequently use the approximation
time selective exponential PDP 8 taps channel conditions.
σJ2l rh2 (λ) σH̃
4

4 ≈0, (57)
σĤ
L−1 l
where we set D=7. The factor C = τ =0 e−Dτ /L is chosen
2 σ2 which is reasonable since σJ2l << 1 for moderate receiver
to normalize σH for a given average subcarrier SNR γ = σ2H .
W impairments and thus
Additionally, the CIR length is set to L = 8. In order to solve
(51) we used the Matlab 7.0.1 built-in numerical integration 2σV2 l
2
function. σZ l |r1 ,r2
= . (58)
r1 + r2
Fig.2 presents the calculated and simulated QPSK SER vs.
(III) We define a random variable r = r1 + r2 having a Chi-
SNR γ with given CFO Δf (in % subcarrier spacing). The
squared PDF of four degrees of freedom which can be written
results illustrate that our analysis approximates the simulated
as:  
performance accurately, when the PDP of fading channels and
the image rejection ratio of the direct conversion receiver and r r
pR (r) = 4 exp − 2 . (59)
CFO are included as input parameters to the link level analysis. σĤ σĤ
l l
In Fig.3 we use a fixed Δf of 5% to investigate QPSK SER
for time variant exponential 8 tap PDP channels, characterized Hence, substituting (58) into (44) we obtain
by the channel tap auto correlation coefficient rh (λ). It is    
r z − mZ |X 2
remarkable how vulnerable the system responds when rh (λ) pZl (z|X, r) = exp −r l
. (60)
deviates slightly from 1. 2πσV2 l 2σV2 l

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1454 IEEE TRANSACTIONS ON WIRELESS COMMUNICATIONS, VOL. 8, NO. 3, MARCH 2009

−1 −1
10 10

r h (λ) =0.98

−2 −2
10 10
BER

BER
r h (λ) =0.995
Δf = 5%, Simulation
Δf = 5%, Numerical
−3 Δf = 3%, Simulation −3 r h (λ) =0.998
10 10
Δf = 3%, Numerical Simulation
No Δf, Simulation Numerical
No Δf, Numerical
r h (λ) = 1
−4 IRR = 30 dB −4
10 10
0 5 10 15 20 25 30 35 40 0 5 10 15 20 25 30 35 40
Average Subcarrier SNR in dB Average Subcarrier SNR in dB

Fig. 4. Comparison of simulated and numerical uncoded BER vs. SNR for Fig. 5. Comparison of simulated and analytical uncoded BER vs. SNR for
16-QAM Alamouti space-time coded OFDM under residual CFO and I/Q 16-QAM Alamouti space-time coded OFDM with I/Q imbalance of IRR =
imbalance in static frequency selective fading channel 30 dB under time and frequency selective fading channel conditions

4
16−QAM upper bound
Finally, the marginal PDF can be computed as
3.5
∞
Mutual Information per Channel Use in Bit
pZl (z|Xm ) = pZl (z|Xm , r)pR (r)dr (61) 3
0
1 2.5
=  2
3 .
|z−mZl |Xm | 1 2
πσV2 l σĤ
4
2
2σV
+ σ2
l l Ĥl
1.5

perfect channel estimation, no impairments

A. Numerical Results 1
channel est. error, no impairments
Δf 3%
The closed form PDF allows for easy BER computation 0.5
channel est. error, IRR 30 dB,
channel est. error, IRR 30 dB, Δf 3%,
even with higher order M-QAM schemes such as 16-QAM. r (λ) = 0.98
h
Hence, in the following numerical examples, we consider 0
−5 0 5 10 15 20 25
an Alamouti STC OFDM system equivalent to the one in Average Subcarrier SNR in dB
Sec.IV-D which uses 16-QAM modulation on each sucarrier.
Again, the two channels between the transmit and receive Fig. 6. 16-QAM mutual information per channel use averaged over all data
carriers vs. SNR under static and time/frequency selective fading channel
antennas are modeled to be uncorrelated. conditions
Fig.4 presents the calculated and simulated 16-QAM BER
vs. SNR γ under given carrier frequency offset Δf (in % the performance loss mainly stems from channel estimation
subcarrier spacing) and IRR = 30 dB. Again, the results errors and outdated channel state information while CFO
illustrate that our analysis can approximate the simulative and I/Q imbalance play only a minor role. This important
performance accurately, when the PDP of fading channels, observation is illustrated in Fig.6 where we plotted 16-QAM
the image rejection ratio of the direct conversion receiver, mutual information vs. SNR γ under CFO = 3% and IRR = 30
and the CFO are all taken as input parameters to the link dB for both static and time-variant channel properties. Fig.6
level analysis. Nevertheless, we observe slight inaccuracies also has two reference curves. The first is a plot without any
in the upper SNR regime at higher CFO induced by the I/Q imbalance, CFO, nor channel estimation error. The second
simplifications made. We expect the inaccuracies to grow reference curve is without I/Q imbalance and without CFO but
further at increasing impairments. However, frequency offsets measures channel estimation errors.
greater then 5% are highly improbable events in practical
systems due to the applied synchronization algorithms which VI. C ONCLUSIONS
typically work stable in the medium to high SNR regime. In this article, we have shown how to evaluate the uncoded
In Fig.5 we use a fixed IRR of 30 dB to investigate 16-QAM symbol and bit error rate as well as the link capacity of
BER for time variant channels characterized by the channel Alamouti STC OFDM systems subject receiver impairments
tap auto correlation coefficient rh (λ). Again, we observe the and mobile channel characteristics. Specifically, the effects
close match between numerical prediction and simulations as incorporated into our analysis are carrier frequency offset,
well as the vulnerability of the Alamouti STC OFDM system channel estimation errors, outdated channel state information
w.r.t. outdated channel state information. Finally, we highlight and flat receiver I/Q imbalance in Rayleigh frequency and
the fact that in the case of moderate receiver impairments time-selective mobile fading channels. The probability density

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KRONDORF/FETTWEIS: NUMERICAL PERFORMANCE EVALUATION FOR ALAMOUTI SPACE TIME CODED OFDM UNDER RECEIVER IMPAIRMENTS
function of the frequency domain received signal subject to
the mentioned impairments was derived. Furthermore, this
PDF was verified by means of symbol and bit-error rate
prediction. We demonstrated that our approach can be used
to exactly evaluate uncoded symbol and bit error rates when
a priori knowledge of the mobile channel power delay pro-
file, the image rejection ratio and receiver CFO is used.
Furthermore, we demonstrated how to use the derived PDF
to calculate Alamouti STC OFDM link capacity under the
aggregate effects of receiver impairments and mobile channel
characteristics. Finally, we observed that channel uncertainty
induced by channel estimation errors as well as outdated
channel state information are far more significant factors on
Alamouti STC OFDM capacity than CFO or I/Q imbalance.
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Marco Krondorf received his Dipl.-Ing. degree
in electrical engineering from Dresden University
of Technology, Dresden, Germany, in 2005. Since
2005 he is with the Vodafone Chair Mobile Com-
munications Systems, Dresden University of Tech-
nology, Dresden, Germany. His research interests
range from radio technology performance analysis
to PHY design for Cognitive Radio applications. He
is currently working towards his Ph.D. under the
supervision of Prof. Gerhard Fettweis.
Gerhard Fettweis received the Ph.D. degree in
electrical engineering from Aachen University of
Technololgy, Aachen, Germany, in 1990. From 1990
to 1991, he was a Visiting Scientist at IBM Al-
maden Research Center, San Jose, CA, developing
signal processing innovations for IBMs disk-drive
products. From 1991 to 1994, he was a Scientist
with TCSI Inc., Berkeley, CA, responsible for signal
processor development projects for mobile phone
chip-sets. Since September 1994, he has been the
Chair of the Vodafone Chair Mobile Communica-
tions Systems, Dresden University of Technology, Dresden, Germany. His
current research interests include new wireless communication systems for
cellular and short-range networks, and their hardware/software implementa-
tion.