A Fuzzy Adaptive Soft Handover Scheme Supporting Four Active Sets
Kemeng Yang, Iqbal Gondal, Bin Qiu and Laurence S. Dooley
Faculty of Information Technology
Monash University
Melbourne, Australia
Abstract
Load imbalance between cells caused by random user
distribution is a common issue in cellular systems, which
often leads to traffic congestion. This can be alleviated by
embedding a load balancing strategy into the handover
scheme to dynamically reallocate load between
neighbouring cells. A fuzzy adaptive soft handover
scheme that can support four active set size is presented
in this paper. In this paper, three fuzzy systems for radio
link: addition, removal and replacement events are used
and tuned to adapt to the soft handover thresholds and
time hysteresis efficiently, depending upon the loads of
the cells in user’s active set. Simulation results show that
the new fuzzy algorithm alleviates congestion and
provides improved system performance in terms of both
lower blocking probabilities and higher system capacity.
1. Introduction
Soft handover is an essential operation in Code
Division Multiple Access (CDMA) and Wideband-
CDMA (WCDMA) systems, to ensure continuous
coverage for user equipment (UE) by switching existing
connections between different base stations (BS). Multi-
connections that are used during soft handover make this
process smoother, but also consume greater downlink
radio resources, a problem that becomes particularly
severe when a cell is overloaded and radio resources are
scarce. In CDMA based networks, users operate over a
common frequency band so cross-channel signal
interference is a frequently occurring problem with the
level of interference both within the cell, and from
surrounding cells ultimately limiting cell capacity i.e. soft
capacity. The soft capacity of CDMA systems makes load
balancing between cells more complicated, as simply
readjusting UE ownership to BSs does not achieve the
same load balancing results as in GSM (global system for
mobile communications) networks, which only consider
the available reusable frequency channels rather than the
remaining radio resources limited by the maximum
transmitting powers of the BS and the UE.
There are two main load balancing strategies for
cellular systems: pilot power adjustment approach [1-3]
and variable thresholds approach [4-7]. In the former, the
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overloaded BS reshapes the cell boundary by decreasing
the pilot channel power to force UEs to make an earlier
handoff to neighbouring BS. The disadvantage of this
technique is that the channel power adjustment is not
performed independently at a single BS so co-operation
between neighbouring BS is required in order to maintain
continuous coverage, which makes it difficult to react to
rapid load variations. An alternative approach is to use
variable thresholds during handover which can respond
quickly to load variations without adjusting BS
transmitting power. Most variable thresholds approaches
[4-6] are generally based on IS-95A [8] and IS-95B [9]/
CDMA2000 [10] principles and so are not directly
applicable to WCDMA systems because different soft
handover algorithms and threshold ranges are employed.
Based on the standard WCDMA soft handover algorithm
in the 3rd Generation (3G) Partnership Project [11], a
framework of variable thresholds soft handover for
WCDMA called adaptive soft handover algorithm
(ASHA) has been proposed [7]. In ASHA, the overloaded
BS requests mobile users to change the hysteresis
parameters for handover which then makes the handover
from the overloaded to neighbouring cells occur sooner.
The performance of ASHA is analysed in a two BS
model with the assumption that only the overloaded cell is
in the UEs active set [7]. Its limitation is that the
overloaded cell is always assumed to have the worst pilot
signal to interference and noise ratio (SINR) and so will
always be the first to be removed from the active set,
while in WCDMA soft handover [11], the radio link
removal and replacement events of any BS meeting the
trigger criteria will be either removed or replaced. This
can be the overloaded BS, but equally also a non-
congested BS we may wish to retain in the active set.
Decreasing the drop thresholds does not always achieve
the effect of congestion relief, and indeed there exists the
risk of actually exacerbating traffic congestion.
An adaptive load balancing strategy based on soft
handover will assist in providing the macro-diversity gain
contributed by multi-radio link connections during soft
handover. The load adjustment scheme should only affect
the overloaded cell, without unnecessary service quality
being sacrificed in neighbouring cells. Moreover, the load
balancing algorithm should be scalable and applicable for
multi-cells and various UE distribution and mobility
 patterns. Yang et al [12] have previously proposed a fuzzy
adaptive soft handover scheme based on two active sets
model in which both the handover thresholds and time
hysteresis can be adaptively adjusted depending upon the
load of the two neighbouring cells, with results revealing
this scheme overcame the main limitations of the variable
threshold approach by consistently providing both a lower
blocking probability and improved system throughput.
It has been shown [13, 14] that using a bigger active set
size up to 4 is more beneficial for WCDMA system
performance, with further increases leading to
performance degradation. As a consequence, this paper
presents a new adaptive soft handover scheme based on
four active sets. The increased fuzzy system complexity
will result in more inputs which will cause an
exponentially growth in number of fuzzy rules making it
impractical to share a single fuzzy system as was the case
in the two active sets algorithm. The new algorithm
therefore supports a maximum of four active sets, with
three fuzzy systems being separately developed for
addition, removal and replacement requests. Different
approaches for tuning the fuzzy membership functions are
analysed and a set of tuned fuzzy systems that make the
proposed soft handover scheme more adaptive to various
network conditions is presented. Simulation results
confirm the new algorithm improves the overall system
performance in terms of both lower blocking probabilities
and higher capacity.
The remaining paper is organized as follows: the
principles behind the adaptive soft handover algorithm are
presented in Section 2. Section 3 describes the three fuzzy
systems used in active set update delay function, while the
fuzzy membership-function tuning is discussed in Section
4. The simulation model and results are presented in
Section 5, with some conclusions being provided in
Section 6.
2. Principles of the Fuzzy Adaptive Soft
Handover Scheme
Opportunistic handover schemes have potential to
reduce system’s blocking probability and enhance
throughput for same system resources. The impact of soft
handover on link, and system level performance was
analysed in [12], which showed that soft handover splits
the user required receiving power Pj between several BS,
so the requisite power for each connection Pjk becomes
smaller than Pj . From a system perspective, soft handover
introduces more downlink power consumption which
increases the interference level and degrades capacity.
The user in an overloaded cell is thus allowed to enter the
soft handover state earlier than normal. By splitting the
user’s downlink power, the total downlink power
consumption for a BS can be reduced so that more radio
resources are released for centre users, and as a result, a
decrease in new call blocking probability could occurs for
the BS.
The BS transmission power is affected by the number
of downlink connections, transmission power of each
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downlink channel and the downlink interference level in
the cell. The aim of soft handover for load balancing is to
minimize the total transmitting power required for an
overloaded BS, with the following heuristic approaches
being adopted to achieve load balancing:
1) The UEs which are connected to the overloaded cell
should be allowed to add neighbouring BSs into the active
set earlier.
2) The UEs which have the overloaded BS in their
active set during soft handover, should be able to remove
or replace the overloaded BS from the active set sooner
and keep the non-overloaded BS in the active set longer.
3) The UEs which are connected to the neighbouring
BSs of the overloaded BS should be able to add the
overloaded BS later.
As mentioned in Section 1, load balancing algorithms
cannot be effective by solely adjusting soft handover
thresholds. To overcome this, both time hysteresis and
threshold adjustment are introduced so the algorithm
comprises the following two functions:
1) Threshold value adjustment function: the radio
network controller (RNC) will send a threshold update
command to the UEs according to the congestion states of
BS in its active set. BS uses two separate sets of soft
handover thresholds for non-congested and congested
states. The relationships between the three respective
thresholds in each state are defined as:
Add_thresholdnon-congested < Add_thresholdcongested
Drop_thresholdnon-congested > Drop_thresholdcongested
Replace_thresholdnon-congested > Replace_thresholdcongested
To avoid the ping-pong phenomenon [12], a condition
Add_thresholdcongested < Drop_thresholdcongested must be
upheld. During soft handover, a UE may receive several
threshold values, so it must always choose maximum
Add_threshold, minimum Drop_threshold and minimum
Replace_threshold.
2) Active set update delay function: when receiving the
UE active set update request, the RNC may request the
UE to increase the trigger time ∆T for the handover
according to the congestion state of the target BS. In the
active set update delay function, the load factor of the BS
being added, removed or replaced together with the load
factor of the other BS in the UE active set must be
considered. Different delay control functions need to be
applied for different request types: add, remove and
replace, with fuzzy systems being especially useful in this
regard with applications in handover [5] [15] and call
admission control algorithms [16]. By considering the
complexity of the active set update delay function, the
uncertainty of users’ movements and traffic distributions,
fuzzy methods can be successfully employed to control
the active set delay process.
The proposed load balancing algorithm is implemented
within the RNC and is usually capable of controlling
between 100 to 250 BS [17], with Lucent Flexent® RNC
[18] able to support up to 750 BS. The RNC controls all
users’ active updating and also directly knows the
congestion stage of all BS connected to it.
 3. Fuzzy Systems The four inputs for a removal request are: L1, L2-L1, L3-
L1, and L4-L1, where L1 is the load factor of the cell being
For a maximum active set size of four, there will be dropped while L2, L3 and L4 are load factors of other cells
four inputs, as mentioned in Section 1, three fuzzy in the UE active set, sorted by L2 ≥ L3 ≥ L4. Except, when
systems being developed for addition, removal and L1 > L2, the cell being dropped is the most congested cell
replacement requests. For simplicity and operational in the active set so a delay is applied according to the
efficiency, triangular and trapezoidal membership output of the fuzzy system. The membership functions for
functions with maximum support are used in the initial input L1 and L2-L1 are the same as those in addition
design for all fuzzy inputs and outputs. request in (1) to (5), while the membership functions for
For an addition request, there are four inputs: L1, L1-L2, L3-L1 and L4-L1 are different from L2-L1, because only
L1-L3, and L1-L4, where L1 is the load factor of the cell L2>L1 is known beforehand, while both L3-L1 and L4-L1
being added. L2, L3 and L4 are the respective load factors can have a negative value. The membership functions for
of each cell in an UE’s active set, such that L2 ≥ L3 ≥ L4. L3-L1 and L4-L1are:
L2, L3 and L4 can be zero if the corresponding active set is (9)
Negative(x) = 1 − x
empty. When L1 > L2, and the cell being added is more
congested than any cell in the active set, a delay is applied Positive(x) = x (10)
according to the output of fuzzy system. Only positive and negative membership functions are
There are three membership functions for input L1: low, considered for L3-L1 and L4-L1 since we are more
medium and high defined as: interested in sorting L1, L3 and L4 than measuring their
Low(x) = 1 − x (1) differences. The rules for the removal fuzzy system are
given in Table II.
x
x < 0.75
Medium(x) = { 75
0 . (2) TABLE II: FUZZY RULES FOR REMOVAL SYSTEM
1 − x x ≥ 0.75 Rules L1 L2-L1 L3-L1 L4-L1 Delay
0.25 1 High Small Positive Small
High(x) = x (3) 2 High Small Negative Zero
3 Medium Large Positive Positive Large
While there are two membership functions for inputs 4 Medium Large Positive Negative Medium
5 Medium Large Negative Medium
L1-L2, L1-L3 and L1-L4, namely small and large: 6 Medium Small Positive Positive Large
(4) 7 Medium Small Positive Negative Medium
Small(x) = 1 − x 8 Medium Small Negative Small
x x < 0.25 9 Low Large Large
Large(x) = { 0.25 (5) 10 Low Small Zero
1 x ≥ 0.25
Finally for an active set replacement request, only L1
For the output, three membership functions: small,
and L2 are considered since these are the respective load
medium and large are used:
factors of the BS being introduced into the active set and
Small(x) = 1 − x (6) will have the poorest pilot SINR in the active set. There
will be thus just two inputs: L1 and L1-L2, whose
x
x < 0.5 membership functions are the same as those of the
Medium(x) = { 0.5 (7)
addition request in (1) to (5). The rules for the
1 − x x ≥ 0.5
0.5 replacement fuzzy system are detailed in Table III.
Large(x) = x (8)
TABLE III: FUZZY RULES FOR REPLACEMENT SYSTEM
Assuming a call admission control threshold of 0.75 Rules L1 L1-L2 Delay
1 High Large Large
[14], a cell is considered as congested whenever the load 2 High Small Zero
factor reaches 0.75 so the triangular membership function 3 Medium Large Medium
of medium in (2) peaks at 0.75 and the degree of 4 Medium Small Small
membership for large in (5) reaches 1 after 0.25. The 5 Low Large Zero
6 Low Small Zero
fuzzy rules for the addition system are given in Table I.
TABLE I: FUZZY RULES FOR ADDITION SYSTEM
Rules L1 L1-L2 L1-L3 L1-L4 Delay
1 High Large Large
4. Membership Functions Tuning
2 High Small Large Small
3 High Small Small Zero This section examines and compares the performance
4 Medium Large Large of the new fuzzy system with different membership
5 Medium Small Large Medium function shapes and support in order to exploit the
6 Medium Small Small Large Small
7 Medium Small Small Small Zero potential for optimal tuning of the system. During
8 Low Large Small membership function tuning, the noise of the centre cell
9 Low Small Zero and the system blocking probability are considered as the
two performance metrics being optimized because of their
importance and independence. Due to space constraints,

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 results during the membership function tuning are not
included in this paper, while final system results are
presented in Section 5.
Various membership function shape were considered
but both Gaussian and Cosine bell have the advantage of
being smooth and nonzero at all points of importance.
These will be used for comparison with the previously
employed triangular and trapezoidal functions. From the
results, only a small variation in performance was noted
for different membership functions with no single
function consistently providing superior performance over
another. There are a wide range of possibilities for the
fuzzy membership functions with genetic algorithms
(GA) offering the option to automatically determine the
membership functions. However, considering the small
performance benefits accrued from varying the
membership function shapes together with the high
computation overhead incurred by a GA, the triangular
and trapezoidal membership functions are retained in the
new system.
The impact of different support method on fuzzy
system performance is now analyzed. Starting with the
membership functions for L1 as this is the most important
and independent of the four inputs, different support
methods were tested against the maximum support in (1)
to (3). By reducing the support for memberships low and
high, the fuzzy system gives better responses to cells’ in
congestion state by following the existing fuzzy rules.
Therefore, the centre cell’s noise rises and system
blocking probability becomes lower. Further reducing
membership function support beyond that in (11) and (12)
degrades the performance in terms of higher increase in
both noise rise and blocking probability. Thus, the partial
support for memberships low and high, given in (11) and
(12), together with the full support for medium in (2) are
applied for L1:
0.75 − x x < 0.75
Low(x) = { 0.75 (11)
0 x ≥ 0.75
0 x ≥ 0.5
x < 0.75
High(x) = { x − 0.75 (12)
x ≥ 0.75
0.25
Based on the study of L1, the membership functions (4)
and (5) are examined which are used for inputs L1-L2, L1-
L3 and L1-L4 in addition request, L2-L1 in removal request,
and L1-L2 in replacement request. The results reveal that
the system has a lower blocking probability by reducing
the support for membership function of small, and
changing function of large to maximum support by using
triangular function, as shown in (13) and (14).
0.25 − x x < 0.25
Small(x) = { 0.25 (13)
0 x ≥ 0.25
Large(x) = x (14)
This allows the fuzzy system to have better
understanding of neighbouring cells’ load factor
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difference, as well as their congestion states. Thus,
overshoot of load balancing can be prevented when
neighbouring cells become congested, which explains
why there is no further decrease of the centre cell’s noise
rise but the system blocking probability can still keep low,
as shown in Figure 2 and 4 in section 5.
We compare the performance of partial support for
input L1-L3 and L1-L4 shown in (15) and (16) with the
maximum support shown in (9) and (10). From the
results, we notice that centre cell has equal or lower noise
rise when using maximum support for membership
function of positive and negative. By using maximum
support, the system has lower blocking probabilities
except for call arrival rates higher than 3.2calls/second,
when neighbouring cells becomes congested. Therefore,
maximum support for L1-L3 and L1-L4 is always preferred
from centre cell point of view. However, from system
point of view, when neighbouring cells also becomes
congested, we can switch L1-L3 and L1-L4 to partial
support to avoid overshoot of load balancing and improve
the system overall performance.
−x x < 0
Negative(x) = { (15)
0 x≥0
0 x<0
Positive(x) = { (16)
x x≥0
The support methods for output also have been
examined against the maximum support in (6) to (8). The
partial support for membership function small and large
as shown in (17) and (18), with maximum support for
membership function medium as in (7), gave the best
performance in terms of lowest centre cell’s noise rise as
well as lowest system blocking probability.
0.5 − x x < 0.5
Small(x) = { 0.5 (17)
0 x ≥ 0.5
0 x < 0.5
Large(x) = { x − 0.5 (18)
0.5
5. Simulation and Results
A MATLAB-based WCDMA simulator has been
developed, which is used for investigating the network
performance under different radio resource management
strategies. The simulator consists of four basic modules:
network scenes generator, user traffic generator, dynamic
simulator and post processing.
The performance of the proposed adaptive soft
handover algorithm has been evaluated with the scenario
shown in Figure 1, in which there are 7 BS and 200
randomly generated UEs, whose position changes every
time interval, depending on its speed and direction which
are randomly chosen with certain mean direction and
speed changing rates (i.e., 5 changes/100 seconds). In the
traffic generator, according to a given mean call arrival
 rate and call duration, user traffic is randomly generated
with a Poisson arrival distribution.
during soft handover, so the threshold settings in [12]
were used for the variable threshold soft handover
algorithm involved in the comparison. All the critical
values were chosen from available threshold ranges for
the maximum possible load balancing gain.
In order to evaluate the load balancing effects of
different algorithms, centre cell was made to have a
higher user density than other cells. The average noise
rise of the centre cell at different call arrival rates was
measured and plotted in Figure 2, which reveals that the
noise rise increases as call arrival rates become higher.

Figure 1. Simulation Scenario of 200 UEs and 7 BSs

The main simulation parameters are given in Table IV,

with their settings being the typical range of values
specified in [11], [14] and [19].
TABLE IV: MAIN SIMULATION PARAMETERS
Cell radium 800m
Max UE moving speed 80km/hour
(22.2m/second)
Mean call duration 90s
Data rate 12.2kbps (speech)
Active factor 0.5 for speech
Chip Rate 3.84Mcps Figure 2. Average Noise Rise of Centre Cell
BS background noise power 4dB
UE background noise power 7dB While the centre cell becomes more congested, the
Pilot channel power 30dBm (1W)
Other common channels combined power 30dBm (1W) benefit of the load balancing algorithm becomes more
Maximum DCH power 30dBm (1W) prominent, with the consequence that results in centre cell
Maximum BS power 43dBm (20W) have a lower noise rise compared with the standard soft
Required Eb/No for BLER =10% 5.5dB (uplink) handover algorithm. The fuzzy adaptive soft handover
6.4dB (downlink)
Call admission control threshold 0.75 algorithm provides a lower noise rise than the variable
threshold algorithm, while the tuned fuzzy system as
A macro-cell propagation model for urban and presented in Section 4 can further reduce the noise rise of
suburban areas [20] is employed, so for a carrier the centre cell until neighbouring cells are congested as
frequency of 2GHz and a BS antenna height of 15 metres, well.
the path loss is:
Pathloss ( dB ) = 128 .1 + 37 .6 log 10 ( R ) + log( F )

where R is the distance in metres between the BS and

UE and log(F ) is the log-normal distribution shadowing
with standard deviation σ=10dB.
Both uplink and downlink power control [21] were
performed during the simulations. During soft handover
maximal radio combining was used for downlink, and the
target Eb/No is the sum of the Eb/No of each connection.
For uplink, a UE transmits at the lowest required power
from every BS in the active set.
Simulations were carried out for various sets of user
distribution and call arrival rates. The standard WCDMA
soft handover, variable thresholds soft handover, and the
proposed fuzzy adaptive soft handover algorithm were Figure 3. Average System Capacity Gain
evaluated and compared in terms of centre cell’s noise
rise [21], system call blocking probability and system The average system capacity gain under different
capacity. As mentioned in Section 1, [7] only presented traffic loads is shown in Figure 3. Both the variable
the ASHA framework and so did not show the exact thresholds soft and fuzzy adaptive soft handover
threshold values applied for different congested states algorithms balance the load between cells and reduce

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 noise rise in the congested cell so the system is able to
support more active users. In particular the results reveal
that the fuzzy adaptive soft handover algorithm can
support more active users than both variable threshold
handover and the standard WCDMA soft handover
approaches at a given call arrival rate with the
improvement being more prominent at higher call arrival
rates. As the tuned membership functions as in (11) to
(16) give better responses to adjacent cells’ congestion
states and prevent overshoot in load balancing, the tuned
fuzzy system can further increase the WCDMA system
capacity, especially for call arrival rate between 2.4
calls/second and 4 calls/second where neighbouring cells
become congested.
Figure 4. System Call Blocking Probability
Figure 4 displays the system call blocking probabilities
for different mean call arrival rates. Both the variable
thresholds and fuzzy adaptive soft handover algorithms
are able to relieve the congestion and decrease the call
blocking probabilities of the system compared with the
standard WCDMA soft handover. By introducing the
active set update delay function, the fuzzy adaptive soft
handover algorithm overcomes the limitation of variable
thresholds approach, and so can further alleviate
congestion and lead to lower blocking probabilities. The
performance improvements result from the tuned fuzzy
system again been proved by absolute lowest call
blocking probabilities amongst all comparative
algorithms.
6. Conclusions
Soft handover algorithms cause two conflicting effects
on the performance of WCDMA systems. There is a
trade-off between user quality of service and the system
capacity, as soft handover leads to link level
macrodiversity gain while consuming additional system
level resources. To minimize resource consumption, soft
handover algorithms are designed to optimise the link
level performance and also need to be dynamically
adjusted depending on the system overload state.
The proposed adaptive soft handover scheme presented
in this paper employs three fuzzy systems within RNC for
6th IEEE/ACIS International Conference on Computer and Information Science (ICIS 2007)
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active set addition, removal and replacement requests
from users. When cell congestion occurs, the proposed
scheme can balance the load between neighbouring cells
and relieve the congestion, by dynamically adjusting each
UE addition, removal and replacement thresholds, as well
as delaying the active set update, by increasing the trigger
time. A set of tuned membership functions are also
proposed for our adaptive soft handover scheme, which
make the fuzzy system more adaptive to congestion states
variation amongst neighbouring cells, therefore, further
improve the system performance. Simulation results
confirm that this novel strategy with its tuned fuzzy
systems improves system level performance in terms of
lower blocking probability and higher system capacity.
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