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New Strategies for Estimation of Cut and Fill Areas in Road Design with
Different Ground Cross-section Offsets

Article  in  Scandinavian Journal of Forest Research · June 2017


DOI: 10.1080/02827581.2017.1338748

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Scandinavian Journal of Forest Research

ISSN: 0282-7581 (Print) 1651-1891 (Online) Journal homepage: http://www.tandfonline.com/loi/sfor20

New strategies for estimation of cut and fill areas


in road design with different ground cross-section
offsets

Razieh Babapour, Ramin Naghdi, Ismael Ghajar & Reza Ghodsi

To cite this article: Razieh Babapour, Ramin Naghdi, Ismael Ghajar & Reza Ghodsi (2017): New
strategies for estimation of cut and fill areas in road design with different ground cross-section
offsets, Scandinavian Journal of Forest Research, DOI: 10.1080/02827581.2017.1338748

To link to this article: http://dx.doi.org/10.1080/02827581.2017.1338748

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Jun 2017.
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SCANDINAVIAN JOURNAL OF FOREST RESEARCH, 2017
https://doi.org/10.1080/02827581.2017.1338748

New strategies for estimation of cut and fill areas in road design with different
ground cross-section offsets
Razieh Babapoura, Ramin Naghdia, Ismael Ghajara and Reza Ghodsib
a
Department of Forestry, Faculty of Natural Resources, University of Guilan, Sowmeh, Iran; bEngineering Department, Central Connecticut State
University, New Britain, CT, USA

ABSTRACT ARTICLE HISTORY


Earthwork operations accounted for great amount of forest road construction costs. Any Optimization Received 9 March 2016
in planning road profile needs a reliable objective function that calculates earthwork volume in an Accepted 28 May 2017
appropriate time and accuracy. This study aimed at incorporating the shape of the ground cross
KEYWORDS
sections in calculating cut/fill areas using three alternative methods including: Multiple Linear Forest road; earthwork
Regression (MLR), Artificial Neural Network (ANN) and heuristic programming in MATLAB volume; artificial neural
environment. The accuracy of results was validated via AutoCAD as a manual method for area network; MATLAB; multiple
calculation of road’s cross-section. Trapezoidal method applied to calculate the area of cut/fill in linear regression; heuristic
the heuristic method. Paired sample T-Test and statistical analysis (ANOVA) with confidence level of
0.95 indicated that the heuristic method not only reduced computing time but also provided
accurate estimations as same as the manual AutoCAD based method. It can be concluded that
although MLR and ANN estimations were as well as AutoCAD results within a reasonable time, they
need to be retrained by adding, removing or changing entrance parameters.

Introduction
program. Otherwise, manual calculation of cut/fill area could
Forest roads are the most costly structures in forestry and play not be used in an automatic planning of forest road profile
a crucial role in managing forest resources. Optimal design of because it is a consuming task and a mainly a real-time calcu-
forest road profile can efficiently reduce earth work volume. lation is needed through the optimization process.
Optimal design of forest road profile is inevitable in mountai- After collecting the basically needed data (terrain slope
nous forests where more excavation is needed than flat areas and ground elevation), road design has three different
and consequently more construction cost is usually involved. stages (Hare et al. 2014) (1) Planning road horizontal align-
According to the general form of forest road cross section, ment (2) designing vertical alignment of road profile, using
each cross section has its own natural ground shape (varied heuristic or meta-heuristic algorithms (Fwa et al. 2002;
from a flat surface to steep side slope). On the other hand, ver- Aruga et al. 2005) or by using both heuristic algorithms and
tical distance of road surface from natural ground surface nonlinear programming (Lee and Cheng 2001) and (3) opti-
could change from each cross section to another depending mizing the earthwork volume. Applying imprecise methods
on the ground shapes (Figure 1). This variability influences may result in inaccurate estimates of the optimal earthwork
the volume of cut/fill in forest road construction. What is cost, due to ignoring the shape of ground cross sections
done in practice (as an exact method with real results) is an which surprisingly affects the cut/fill volumes, especially in
expert-based drawing of road profile in AutoCAD environ- mountainous regions like forest areas in the northern Iran.
ment. After calculation of earth work operation for a Although many models used to optimize horizontal (Shaw
number of road profile variants, expert selects one of them and Howard 1982; Trietsch 1987; Brauers et al. 2008) and ver-
as the most appropriate alternative that should be con- tical alignments (Fwa 1989), some 3D designing models
structed in the field. When drawing road profile, each cross merge these three stages in a single process, using al.
section can be located on many possible heights (e.g. 2003; Jha and Maji 2007). A test of 3-D alignment optimization
between +5 to −5 m above and below ground). So, the in a complex mountainous terrain showed those models can
problem is to generate a framework to calculate cut/fill find very good solutions in regions with complex topography
areas in each cross section. It is clear that manual drawing (Jha and Schonfeld 2004). In many other research works, opti-
the road profile could not ensure an optimal solution for mizing earthwork volume was performed via employing a
this problem. The general aim in drawing the road profile is linear programming approach (Mayer and Stark 1981; Hare
to minimize the total volume of earth work. To perform et al. 2011). Applying LIDAR (Light Detection and Ranging)
such optimization process, a function that calculates cut/fill is one of the fastest growing systems in the field that can
area of each cross section form with a specified vertical dis- provide a high-resolution and accurate digital elevation
tance from natural ground is essential core of optimization model (DEM) of forested areas (Akay et al. 2004). Contreras

CONTACT Ramin Naghdi rnaghdi@guilan.ac.ir Department of Forestry, Faculty of Natural Resources, University of Guilan, P.O. Box 1144, Sowmeh Sara, Iran
© 2017 Informa UK Limited, trading as Taylor & Francis Group
2 R. BABAPOUR ET AL.

The aim of present study is generating a framework to take


the ground shape into account in estimation of earthwork
volume using three alternative methods including: MLR,
ANN prediction models and MATLAB heuristic programming
based on detailed and mathematically unrestrictive functions,
Figure 1. The effect of ground profile on cut area in two different natural for the cut/fill area, employing terrain slope properties. These
ground slopes. three alternative methods can determine the area of cut/fill
for every cross section by only taking the natural side slopes
et al. (2012) developed a computerized model to accurately of ground and their length as input variables. Auto CAD
estimate earthwork volumes for the proposed forest roads results (as an exact, but time consuming, manual method of
using DEM by applying it on three roads with different calculating the earthwork volume) just used to verify results
ground slopes. They tested the effect of the space between of proposed methods for selecting the best one. There were
every two consecutive cross sections on precise of results two reasons for modeling of cut/fill areas using ANN and
and compare their achievements with those of the end area MLR; first, there was an assumption that despite of existing
method. They clarified the negative effects of long distances error in any estimation, a model can accelerate earthwork cal-
between cross sections on the results in spite of the high culations just by receiving limited properties of cross section
ability of LIDAR on accurate estimation of earthwork volumes. in shorter time than a pseudo-heuristic MATLAB code in
Aruga et al. (2005) applied two heuristic techniques, that each cross section divided by numerous trapezoidal
genetic algorithm (GA) and Tabu search (TS), in their model and total area obtained by adding their areas; Second result
to design a forest road profile with minimum construction of such modeling can be compared with exact calculation
and maintenance costs, both with an embedded linear pro- of pseudo-heuristic code.
gramming routine to allocate earthwork. Then they extended
the model to optimize a forest road profile while changing
heights at control points as well as the placement of control Materials and methods
points considering the effect of the placement and the
number of control points. They concluded that both GA and Study site
TS found good solutions within a reasonable runtime. The study was carried out in Khojedareh, a forest district cov-
Jha and Schonfeld (2000) integrated genetic algorithms ering approximately 1742 ha of Shafaroud watershed in
with geographic information system using specialized Guilan province – northern Iran (Figure 2). The area is
dynamic link libraries enabling dynamic communication located between 48° 44′ 36′′ and 48° 49′ 58′′ of Longitude,
during the search for and 37° 37′ 23′′ and 37° 42′ 31′′ of latitude. The altitude
Artificial Neural Networks (ANNs) are another type of soft range of the site is between 250 and 1150 m above sea level.
computing and data driven techniques that because of their From the view point of slope, 74% of the region has the
heuristic problem-solving capabilities, have been applied suc- slope of less than 70%. The soil texture can be grouped in
cessfully for modeling in many fields of geological engineer- six classes of Sandy Loam, Sandy Clay Loam, Loam, Loamy
ing problems (Shahin et al. 2008). As ANN has a great Sand, Clay Loam and Clay, with 57% share of sandy texture
potential in building such models, this study applied it to in the region. The area contains three bedrock types
model the cut/fill areas in different slopes. ANN is applicable include: Tuff, Basalt and Shale with 59% share of tuff bedrock.
in virtually every situation in which a relationship between
the input and output variables exists, even when that relation-
ship is very complex and not easy to articulate in common Methodology
statistical terms (Aron 1992). ANN has some special abilities:
it is independent to the normalizing data (Civco and Waug The influence of different ground slopes at every cross section
1994) with high speed (because of parallel processing), easy on cut/fill areas were investigated at first. To compute the cut/
to adapt in the new situations and able in solving the pro- fill area based on ground profile at each cross section, the
blems that are not capable to simulation (Kia 2010). Exception exact locations of the cross sections (as control points)
of Peyrov et al. (2014) that applied ANN algorithm to predict through the existing road were surveyed (the map of the
forest road, there aren’t any other application of this algor- existing road and the data of study cross sections was in
ithm in designing of forest road. While it successfully access). The following five steps were performed:
applied in different fields of forestry such as predicting the
forest ages using TM photos (Jensen et al. 1999), morality of Cut/fill area calculation in AutoCAD map environment
Picea Abies stands (Hasenauer et al. 2001) and predicting As shown in the Figure 3, the area of cut/fill in each cross
the effective factors in felling time (Karaman and Caliskan section was calculated in various alternative heights of road
2009). Tiryaki (2008), Babapour et al. (2015) and Meulenkamp surface at of 1 m intervals up to 8 m above and under
and Grima (1999) used ANN engineering sciences and Ghajar natural ground in AutoCAD map environment.
et al. (2012) used Adaptive Neuro-Fuzzy Inference System as a For each cross section, standard single lane forest road
combination of ANN and fuzzy logic theory in predicting rock with 3.5 m width, cut slope of 2:1, fill slope of 4:5 were
proportion. Aron (1992) applied ANN and slope-curvature drawn in each offsets. The area values obtained from
model to predict forest roads design. AutoCAD map were used as base values to verify the results
SCANDINAVIAN JOURNAL OF FOREST RESEARCH 3

Figure 2. Location of the study area.

using linear regression dialog box in SPSS ver.19 for


windows (SPSS Inc., Chicago, USA). A separate model was pro-
duced for each of dependent variables (i.e. cut and fill areas).
The model calculates cut/fill areas for each height alternative
of road at each cross section.

ANN cut/fill area estimation model


Due to high generalization power and flexibility of Artificial
Neural Network for nonlinear data pattern, ANN as second
alternative framework was employed to estimate cut/fill
Figure 3. An example for cut/fill areas in an assumed road cross section in areas for different offsets of ground profile. Neural networks
AutoCAD map environment. The cut/fill areas vary by changing the vertical dis- was used in this research as follows:
tance of road surface rather than natural ground. There were concerned with establishing prediction models
for the area of cut/fill, employing the slopes (ai) of the ground
of three alternative methods (MLR, ANN and heuristic) profile, their height (Yi) and the height of road at control
estimation. points (Z) that was the AutoCAD based cross sections data
and the corresponding calculated areas. The feed-forward
back propagation network with two hidden layers and
Multiple linear regression tangent sigmoid transfer function were used to build the pre-
As first alternative method Multiple Linear Regression was diction models. The Levenberg–Marquardt algorithm because
used to determine the cut/fill areas. of faming as a fastest method for training moderate-sized
MLR estimates the coefficients of the linear equation invol- feed-forward neural networks (Tiryaki 2008) was applied as
ving one or more significant independent variables to esti- learning algorithm. Before implementing, input and output
mate the dependent variable value linearly. It should be data was normalized and divided by training, validation, and
noted that in general, cut area mostly tends to zero at positive test subsets. The 20% of the data were taken for the validation
height and fill areas mostly lean to zero at negative height set, 20% for the test set, and 60% for the training set. The ANN
(Figure 4). model then was generated in MATLAB ver. 2012a
The data of modeling was the AutoCAD based cross sec- environment.
tions data and the corresponding calculated areas. In each The models’ performance could be evaluated using a large
cross section (Figure 5), the Slopes of the natural ground set of input–output data, and parameters of the system could
profile, their width (e.g. Xi) and the height (e.g. Yi) after the be fine-tuned in order to achieve a low generalization error
test of normality, homogeneity of variance, and skewness (Ghajar et al. 2010). In the present study data of 200 different
were entered as independent variables to estimate cut/fill cross sections were entered into the best model of ANN
4 R. BABAPOUR ET AL.

Figure 4. Schematic representation of possible number of forest road cross sections that are formed by changing the vertical position of road surface. Cut/fill areas in
different positive and negative height intervals of ground.

Figure 5. An example of natural ground cross section (upslope and down slope parts with their angles (a) length (Yi) and width (Xi).

network with the highest amount of R 2 and low amount of Height offset between natural ground and road surface at
root mean square error (RMSE) for estimating the area of cross sections could be located in the range of −4.8 m to
cut/fill. +4.8 m continuously. This concept was used for vertical align-
ment modeling of road with a discretely 0.1 m offsets. Conse-
Heuristic programming cut/fill quently, by changing the vertical distance of road surface up
As third alternative method of estimating cut/fill areas, the and down in 0.1 m intervals, 97 possible road cross section
heuristic method was done in three steps as follows: forms were generated (Figure 4).
Natural grounds shape definition: At the first step, to In the final step, the calculation of cut/fill areas for each
model the elevation changes at both sides of cross sections, cross section was made by summation of trapezoids areas
as it shown in the Figure 5, up and down slopes were at different offset levels of the ground profile (Figure 7).
divided to the various parts based on natural breaks of the Trapezoidal method seems to be suitable at the detailed
ground. The horizontal length (Xi) and the elevation difference design level when better precision is required. In trapezoi-
(Yi) and the angle of natural ground in each part was extracted dal method, at first the assumed area divided by various
in AutoCAD map. For each cross section, the angels of up trapezoids with same widths (Figure 7) and the area of
slope and down slope (au and ad) and their length (uy and each trapezoid is calculated separately, then the total (cut
ly) which were extracted from AutoCAD maps, also were or fill) area is obtained from the summation of the trape-
entered to model as the input variables. zoids calculated areas. Cross-sectional profiles under cut/
The second step indicated the road cross section proper- fill conditions are considered here in more detail. The
ties with its slopes in different cross sections as well as the cut/fill areas in every cross section are the output data
heights of road placement. In this case, it was possible to for the model.
find all conjunctions of road slopes with natural ground By implementation of trapezoidal method in the heuristic
using the standards of road construction in Iran (Figure 6). programming, the cut/fill areas were estimated in 0.1 m
SCANDINAVIAN JOURNAL OF FOREST RESEARCH 5

Figure 6. Geometrical standards of road cross section in Iran.

MLR models
Results of MLR modeling of cut and fill areas are shown in the
Equations (1) and (2) given, respectively.
cut = −24.975 − 16.852z + 13.546uy1 + 9.944uy2
− 48.936ly1 + 2.277ad1 − 3.078uy5 + 41.843ly2 (1)
− 2.168ad2 + 0.19au1 R = 0.94,
2

fill = −19.361 + 17.748z + 47.458ly1 + 3.201ly2


Figure 7. An example of cut/fill area division in trapezoidal method. − 0.222au1 − 1.768ad1 + 7.311uy2 − 0.375au2 (2)
+ 0.125au3 R = 0.93,
2

interval between 4.8 m up and down the natural ground.


whereas z is the alternative height at control points within
According to this point that the AutoCAD-based earthwork
4.8 m above and below ground height; au1,u2,u3,u4,u5 the
volumes were for the 1 m intervals at the control points
slope of every break lines of up slope; ad1,d2,d3,d4,d5 the slope
while the heuristic method have been programmed for the
of every break lines of down slope; ly1,2,3,4,5 the height of
0.1 m intervals, to compare the result of the heuristic
every break lines of down slope; and uy1,2,3,4,5 the height of
method with the results of manual AutoCAD-based method,
every break lines of up slope.
the areas estimations of the heuristic method were made
The Figures 8 and 9 illustrated the plots of MLR estimations
another time by changing the heights of control points in
against the values calculated in AutoCAD environment.
1 m intervals.

ANN
Validation of the suggested methods
The T-Test were used for pairwise comparing of the heuristic In this study a back propagation network with 2 hidden layers
method with the manually practiced method and also one- and 10 neurons were used to train, test and validate the
way ANOVA test was applied to compare the results of the network. It had the best results of network with R = 0.99 and
three alternative proposed methods (MLR, ANN and the heur- RMSE = 3.07. The cut/fill points and predicted model line
istic) with each other. were very closely overlaid (Figure 10). The Figures 11 and 12
illustrated the plots of ANN estimations against the values cal-
culated in AutoCAD environment.

Results
Heuristic
Results of three alternative applied earthwork estimation
methods and their comparisons against the manual approach Figure 13 illustrates an example for the heuristic model simu-
(AutoCAD) are presented as follows: lation against alternative offsets (in a case cross section with
6 R. BABAPOUR ET AL.

300

250

200

Cut area (m2)


150
cut AutoCAD 100
cut MLR 50

0
10 8 6 4 2 0 -2 -4 -6 -8 -10
-50

-100
Off set (m)

Figure 8. MLR’s cut area estimations against the AutoCAD calculations.

200

150

Fill area (m2)


100
fill AutoCAD
fill MLR 50

0
10 8 6 4 2 0 -2 -4 -6 -8 -10

-50
Off set (m)

Figure 9. MLR’s fill area estimations against the AutoCAD calculations.

Figure 10. The distribution of cut area values and estimated line using artificial neural network method for the training, validation and test data.

1 m intervals). A heuristic model to calculate cut/fill areas was The Figures 14 and 15 illustrated the plots of heuristic esti-
developed and introduced as a new technique in this mations against the values calculated in AutoCAD
research. The road location with 0.1 m intervals within 4.8 m environment.
above and below height of ground was defined based on The abilities of the heuristic model were tested by compari-
the Iranian road design standards. To compare the results of son with the result of AutoCAD calculation for each cross
the heuristic and the common AutoCAD method intervals section form (Table 1). As it shown in the Table 1, estimations
changed from 0.1 to 1 m (Figure 13). of the heuristic model were not significantly different from the
SCANDINAVIAN JOURNAL OF FOREST RESEARCH 7

300

250

Cut area (m2)


200

150
cut AutoCAD
cut ANN 100

50

0
10 8 6 4 2 0 -2 -4 -6 -8 -10
Off set (m)

Figure 11. ANN’s cut area estimations against the AutoCAD calculations.

200
180
160
140

Fill area (m2)


120
100
fill AutoCAD
80
fill ANN 60
40
20
0
10 8 6 4 2 0 -2 -4 -6 -8 -10
Off set (m)

Figure 12. ANN’s fill area estimations against the AutoCAD calculations.

10

8 Natural ground

m 0

-2

-4

-6

-8

-10 Road cross sections

-15 -10 -5 0 5 10 15 20
m
Figure 13. Forest road cross section simulated by the heuristic model.
8 R. BABAPOUR ET AL.

300

250

Cut area (m2)


200

150
cut AutoCAD
cut Heuristic 100

50

0
10 8 6 4 2 0 -2 -4 -6 -8 -10
Off set (m)

Figure 14. Heuristic’s cut area estimations against the AutoCAD calculations.

200
180
160
140

Fill area (m2)


120
100
fill AutoCAD
80
fill Heuristic 60
40
20
0
10 8 6 4 2 0 -2 -4 -6 -8 -10
Off set (m)

Figure 15. Heuristic’s fill area estimations against the AutoCAD calculations.

Table 1. Pairwise T-Test results of heuristic and common method (AutoCAD) for Table 2. ANOVA results of comparing two applied and AutoCAD method for cut/
calculation of cut/fill areas. fill areas.
Mean Standard deviation P-value df t Sum of squares df Mean square F P-value
Cut 32.7 5.6 0.47 1499 0.72 Cut / between group 666.47 3 222.16 0.08 0.97
Fill 26.2 3.06 0.28 1499 1.07 Fill / between group 220.26 3 73.42 0.06 0.98

AutoCAD results. The P-values 0.47 and 0.28 obtained for cut logically, a reliable framework should be able to calculate
and fill areas respectively, indicated that the heuristic model the cut/fill areas for smaller changes of cross section elevation
showed a reliable performance for cut/fill area estimations. intervals that were 0.1 m in the present study. The run time of
According to the P-values (0.97 and 0.98) in one-way each method was not of any significant value and is thus not
ANOVA with confidence level of 0.95, there were no signifi- reported.
cant differences between the suggested methods of area cal- The road location with 0.1 m intervals within 4.8 m above
culation (Table 2). and below height of ground is defined based on the Iranian
road design standards as it shown in Figure 5. In the work
by Aruga et al. (2005), excavation in rock was at a ratio of 1:
Discussion
0.3. If a cut slope or a fill slope exceeds 5 m in height, it was
Similar to the result of this study, Aruga et al. (2005) con- assumed that blocks are used to fix a slope at 1: 0.3 ratios.
sidered ground slope effects on earthwork volume in 1-m Although it will increase the precision of the design, but it is
intervals. In practice, the control points’ positions often not a common practice in Iran and thus, this study had to
change less than 1 m in road profile planning. Therefore, ignore it.
SCANDINAVIAN JOURNAL OF FOREST RESEARCH 9

As noted earlier three practical earthwork area models, . All of three proposed methods determined the cut/fill
which can work with real slope databases, were developed areas as well as the AutoCAD method in a short run time.
in this study. Some tests were used to examine the relative . Although the ANN and MLR determinations were as well as
effects of various models and the usability considerations. AutoCAD results, they were not able to swift change paral-
The results of Table 2 demonstrated the correlation (P < lel of road structure modifying without any extra
0.01) of three proposed methods compared to the common educating.
practice method and verified that not only all of them can . Except of exact determination of areas, the proposed heur-
determine the cut/fill area as well as the AutoCAD method istic method had a capability that by adding an extra factor,
but also they can do it in a short run time. removing or changing some existence parameters of road
This study employed trapezoidal method to calculate the structures like the slope, road width or any other ones, it
occupied area because of its high precision, as it was used just needs a little change in model entrances without any
by Jha and Schonfeld (2004). extra needed of retraining.
The heuristic method is based on the mathematical formu-
lation, so inclusion of all influential factors in the model is
possible and it will result in more accurate estimation. This
study used trapezoidal method to calculate the occupied Disclosure statement
area. Dividing the occupied area to the small trapezoidal
No potential conflict of interest was reported by the authors.
and computing their areas, led us to a more precise results.
In this study the occupied area was divided in 50 trapezoidal.
As it shown in Figure 3, in this study, when applying MLR,
negative offsets of ground height were ignored for fill areas References
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