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Optimization Techniques Applied to

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DOI: 10.15866/irece.v7i5.10294

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 International Review of Civil Engineering (I.RE.C.E.), Vol. 7, N. 5
ISSN 2036 - 9913 September 2016

Optimization Techniques Applied to Earthmoving

and Highway Construction: a Survey

Viviane Adriano Falcão1, Ernesto Ferreira Nobre Júnior2, Bruno de Athayde Prata3

Abstract – Some studies claim that for overall savings in construction, planners should develop
a strategy to optimize the cost of construction. In earthworks to highway construction, there are
some ways to accomplish this using specific optimization techniques, such as minimizing the total
distance traveled by equipment, minimizing total costs, and minimizing the execution time in
balance with resource utilization. Mathematical programming is emphasized because it enables
the development of important tools to minimize time, effort, and decision making, with the proven
ability to determine optimal or near-optimal solutions.
This paper presents a review of previous studies that employed optimization techniques to solve
problems associated with earthmoving and highway construction. The review is organized around
optimization techniques with the objective of optimizing cost and time through the efficient use of
constrained and unconstrained resources. From the area of operations research, we can apply
three principal techniques to solve earthmoving problem: transportation, scheduling, and routing.
The article also provides an overview of this research area and its potential for practical use and
discusses gaps that need to be filled in future studies.
Many studies and papers have focused on mathematical optimization, but few have been applied in
real-world projects and few have been designed to interface with commercially available software.
Therefore, the practical application of such tools is still limited. Copyright © 2016 Praise Worthy
Prize S.r.l. - All rights reserved.

Keywords: Earthworks, Highway, Mathematical Programming, Optimization

I. Introduction As well as resource optimization can lead to a

These Normally, earthwork is equivalent to
approximately 25% of total highway construction costs,
and this can increase considerably, depending on the
place where the road is inserted [1].
Earthmoving is a significant factor in determining the
total construction cost of a road project and may
represent more than 25% according the works location.
Thus, obtaining optimal earthmoving costs is essential
for a road. Earthmoving operations in road construction
are an important item in contractor bids. Therefore,
proper planning and accurate cost estimation are
considered essential for project execution and profit
maximization.
The careful selection of borrow/disposal sites,
equipment, and materials is essential in this process [2].
The planning of highway works requires the inclusion
of a budget and construction activity schedule. The
inherent uncertainty and complexity of construction
makes planning the work a particularly difficult task for
project managers because of the necessity to predict and
preview likely future events.
Planners should develop a strategy to minimize the
total distance traveled by vehicles between the cutting
areas and landfill to achieve overall savings in
Construction [3].
significant reduction of the duration and cost of repetitive
construction projects, such as roads, buildings, and
housing developments [4]. In this context, computer
models that automate the cost minimization process in
earthworks are highly desirable. Three principal
techniques are available in the area of operations
research to solve earthmoving problem: transportation,
scheduling, and routing.
These techniques can minimize the total cost,
minimize execution time, and optimize the trade-off
between costs and resource utilization. The objective of
this paper is to present an analysis of previous studies
that employed optimization techniques to solve
scheduling problems associated with earthmoving and
highway construction. The article provides an overview
of this research area and its potential for practical use,
demonstrating gaps that need to be filled by future
studies.
The article is divided into four sections. The second
section presents the delimitation of the study, which
addresses the main definitions, considerations, and
planning techniques used. The third section is the core of
the work. It presents an overview of the papers in this
domain after we analyzed the studies that used
optimization techniques for earthwork and repetitive
construction.

Copyright © 2016 Praise Worthy Prize S.r.l. - All rights reserved DOI: 10.15866/irece.v7i5.10294

137
 Viviane Adriano Falcão, Ernesto Ferreira Nobre Júnior, Bruno de Athayde Prata
We categorized this section into Integer Linear
Programming, Quadratic Programming, Dynamic
Programming, Genetic Algorithms, and others
metaheuristics. The fourth section discusses future
research.
II. Mathematical Programming
for Highways Works
This section presents the main studies on optimizing
costs and scheduling earthwork and roadwork. We first
provide a brief introduction of optimization techniques,
followed by an analysis of each paper, classified by type
of optimization technique: Integer Linear Programming,
Dynamic Programming, Quadratic Programming,
Genetic Algorithms, and other techniques, such as the
Neural Dynamics Model and Optimal Control Theory.
Troubleshooting using optimization techniques is
considered effective and low-cost because it does not
require large financial expenditures.
These techniques can be classified into two main
groups. Exact methods, like Integer/Linear
Programming, Non-linear Programming and Dynamic
Programming have a main feature of finding the optimal
solution with high computational cost. Heuristics or
metaheuristics (Genetic Algorithm, Ant Colony,
Simulated Annealing and Particle Swarm Optimization)
provide no evidence of an optimal solution, but the
computational cost is permissible. Linear Programming
models have linear objective functions and constraints.
Integer Programming variables assume only integer
values. Models that have integer and non-integer
variables together but object functions and constraints
that are linear are considered Mixed Integer Linear
Programming models. The Nonlinear Programming
model has objective functions and nonlinear constraints.
The Dynamic Programming model can be
decomposed into simpler submodels. Some mathematical
models are so complex that it is very difficult or
impossible to find the optimal solution within acceptable
computational time. In these cases, planners may need to
opt for a near optimal solution provided by heuristics or
metaheuristics [5].
Before we begin discussing these studies, we must
acknowledge that problems associated with highway
works can normally be solved by utilizing three principal
problem from the area of operations research:
transportation, routing, and scheduling. The first two
techniques are more common in earthworks projects, and
solving scheduling problems is more common in civil
works projects to optimize the tradeoff between project
duration and resource utilization.
Two terms that need to be defined are repetitive
projects and linear projects. Repetitive projects as those
that are characterized by repetitive construction activities
at all stages (i.e., sections or levels) of the project [4],
[6]-[16]. Examples of repetitive projects include
highways, pipelines, and buildings, among others. The
repetitive construction projects can be classified in two
Copyright © 2016 Praise Worthy Prize S.r.l. - All rights reserved
138
main groups: linear (e.g., roads, railways, and pipelines)
and non-linear (e.g., high-rise buildings and multiple
dwellings). In non-linear projects, work teams repeat
certain tasks for each project unit [15]. Lineares designs,
unlike non-lineares designs, are usually divided into
sections to which teams are assigned.
II.1. Integer Linear Programming
Integer Linear Programming is extensively employed
in earthmoving modeling because of its simplicity and
effectiveness. Normally, when we use Integer Linear
Programming, the analyst transforms the earthmoving
problem into a transportation problem. In the
transportation problem, the distances between the source
(cut) and destination (fill) are predetermined, and the
variables in the decision include the volumes that are
transported. The objective function can then utilize two
main approaches: minimizing cost and minimizing
distance. Ref. [17] may be considered the first to have
studied and analyzed the earthmoving (translocation
mass) problem. This paper presents a mathematical
formulation in order to minimize the costs of earth
displacements. It is an important study in linear
programming that presents a mathematical formulation to
minimize the cost of earthmoving.
Ref. [18] employed Linear Programming to solve
earthmoving transportation problems for a large
earthmoving project in Ahmednagar, India. The objective
of the model was to minimize the cost of transportation
in earthworks. Two kinds of indices of the decision
variable (i.e., the volume transported) were analyzed: the
cost and distance between each cut and fill zone. The
difficulty in using cost involves the fact that there are no
unit costs for all corresponding options for cut and fill.
Thus, the author chose to use distance as the decision
variable, and the distance was decreased by
approximately 4%. Despite having dismissed some
practical aspects (e.g., borrow pit and disposal site zones
and shrinkage factors), an analysis of this case study
confirmed that Linear Programming was an effective tool
for determining the optimal solution to reduce
earthmoving costs.
Ref. [19] presented a method that was based on Mixed
Integer Programming to minimize earthmoving costs.
The cost is the index for the decision variable (i.e., the
volume transported), and they split earthwork costs into
three parts: (1) excavation and loading, (2)
transportation, and (3) placement and compaction.
The transportation unit cost was considered
proportional to distance, and the authors do not
considered the impact of soil type in the operations.
Additional costs were considered when necessary, such
as borrow pits. With regard to distance, the authors
considered the center of mass (i.e., average distance
transported), and they considered the setup cost for the
borrow pit zone when necessary. The objective function
was defined as the sum of the multiplication of unit costs
by the decision variables, represented by the quantity of
International Review of Civil Engineering, Vol. 7, N. 5
 Viviane Adriano Falcão, Ernesto Ferreira Nobre Júnior, Bruno de Athayde Prata

material transported (i.e., cut and fill areas, cut to activities are represented by links. The graphical
disposal site, and cut to borrow pit). technique includes time cost curves and lines of balance.
Compared with [18], [19] incorporated more details in The analytical model used Linear Programming. The
their analysis, such as shrinkage factors, borrow pits, objective was to minimize the direct costs of the project
disposal zones, different degrees of compaction, and for each feasible project duration. The model that was
different soil strata. The results of [19] were comparable developed by [7] had many advantages.
to the mass diagram and confirmed that mathematical The model logic was based on productivity. For
programming can be applied in situations in which the example, to reduce the duration of the project, it was
mass diagram is unsuitable. Notably, the model of [19] necessary to increase the productivity of the staff and
was not applied to a case study, which greatly limits the thus increase the direct cost of then. Unlike the
results of the model. aforementioned studies, the focus of this study was to
find the best tradeoff between cost and project duration
Ref. [20] proposed a model to optimize earthmoving
and thus cannot be considered an approach that is based
operations by minimizing the total cost. Unlike previous
on transportation problems but rather scheduling
models, this new model assumed that unit costs are not
problems.
constant throughout the project. More specifically, the
Ref. [23] extended and improved the model that was
paper investigated the factors that affect variations in unit
developed by [2]. This new model was divided into the
costs. Unit costs for purchases and excavation from
following steps:
borrow pits were considered variable in terms of amount,
(1) simulation to provide unit costs and productivity
and other costs were assumed to be constant. This new
rates, depending on the fleet;
model combined Integer and Linear Programming and
(2) optimization of the quantity and distribution of
applied them to a numerical example that is considered
materials and equipment by considering the
an extension of the model of [19].
constraints of the project’s duration and availability
Ref. [21] also modeled earthmoving. They considered
of materials and equipment;
the shrinkage factor, transportation costs, compaction
(3) sequencing of operations based on Mixed Integer
costs, and the need to use borrow pits or disposal areas.
Linear Programming; and
They applied Linear Programming to minimize the total
(4) scheduling of work activities.
cost of earthmoving. However, this study was criticized
One criticism of this model is based on the fact that is
by [22] because of the fact that Christian and Caldera
uses simulation for costs and fleet productivity.
considered only the areas of the borrow pit and disposal
Furthermore, not all possible connections for earth
zones when there was no balance between the volumes of
moving are used, only those that are closer to each other.
cut and fill areas. The second aspect that was criticized
It have been considered two rather of fleet one with
was the scheme that the authors to treat the cut and fill
higher cost and the other with lower cost. The model by
points, which would make it physically impossible to
[23] was applied in two case studies. The first case study
receive or dispose of the material between them. They
was a highway (8 km length). Using this model, the costs
considered a high unit cost between these points to
could be reduced by approximately 20%. The second
prevent the optimal solution passed by them.
case study was a fictional example that was used in
Generally, the studies that were published in the 1980s
previous works [23]. One conclusion that can be drawn is
applied Mathematical Programming techniques to
that to reduce model complexity, the optimal solution
highway works to minimize costs and maximize profits
should not be required.
without considering the duration of work (i.e., the focus
Ref. [24] specifically focused on planning linear
was only on earthmoving). Ref. [2] developed a Linear
projects (e.g., tunnels, roads, etc.). Their objective was to
Programming model that incorporated the work duration,
optimize the rate of construction based on available
soil strata, shrinkage factors, and equipment availability.
resources. They used a Linear Programming technique
The model sought to minimize earthwork costs in road
combined with graphical techniques (line of balance) to
construction by considering different alternatives to
plan linear projects. They created the Planning and
available equipment and thus provide material
Optimization for Linear Operations system. This system
distribution and optimal equipment choices to complete
provides a graphical interface. LINDO software is used
the work in the required time. This was a complex
for Mathematical Programming in linear analysis.
problem, and the formulation became very long as the
Another work that is not based on the Transportation
number of sections of road increased. The example that
Problem. As the two following papers: [25] and [26].
was presented by the authors only considered a fictional
Ref. [25] introduced a Multiobjective Linear
highway with six sections.
Programming model to plan linear repetitive projects and
Ref. [7] presented a new approach to model planning
minimize project durations, costs, and delays. For
for repetitive projects. The model incorporated three
application, some aspects of the model need to be
different techniques (network [chart], graphical [line of
considered.
balance], and analytical [Linear Programming]) in a
First, the project should be divided into sections
unified fashion to model repetitive projects. The network
(units), and activities are repeated within each unit.
technique was a node network, in which activities are
Second, a particular activity may only commence when a
represented by nodes, and the dependencies between

Copyright © 2016 Praise Worthy Prize S.r.l. - All rights reserved International Review of Civil Engineering, Vol. 7, N. 5

139
 Viviane Adriano Falcão, Ernesto Ferreira Nobre Júnior, Bruno de Athayde Prata
prior unit is finalized. Importantly, in real-world
construction, some activities are not repeated in all
sections, such as reinforcement of the subgrade or
subgrade regularization.
The multiple objective functions of the model by [25]
are divided into the minimization of project duration,
interruption time, total cost, penalties for delays, and
tradeoff penalties between work completion delays and
project resource delays. Thus, the model considers the
project duration cost, resource idle time, and project unit
finalization. The proposed model can generate alternative
schedules by considering the proportional importance of
the different cost elements. A noticeable aspect of this
article was that its focus was mainly mathematical, with
little discussion of case studies or implications in the area
of project management.
Ref. [26] developed a 0-1 Integer Programming model
that sought to simultaneously maximize quality and
minimize time and budget. This author applied the model
in a roadworks case study in northwestern Portugal. The
model formulation utilized an objective function to
minimize construction duration and maximize
performance within minimum budget constraints.
Different tradeoffs were made between duration and
cost to define the best resource scenario with regard to
cost and quality. To calculate the level of quality, the
index that was suggested by [27] was used.
Ref. [1] extended the classic models of Linear Integer
Programming to minimize earthmoving costs in a road
construction project. They considered the removal of
physical barriers (e.g., rivers, trees, and rocks) that may
considerably influence earthwork operations. They also
included the option of borrow pits and disposal areas.
The results provided significant savings for road projects.
However, with the increasing number of road sections,
the binary variables of the model increased, and the
computation time made it impractical. Because of this,
the second part of the paper introduced an algorithm that
reduced the resolution time of the model.
Ref. [28] presented a mathematical model that related
the geometry and geotechnical characteristics of a road
construction site to the allocation of materials, seeking to
find the minimum construction cost. A Linear
Programming model was proposed to optimize
earthmoving and roadwork. This model allowed the
assessment of alternative sites with different soil layers
and different degrees of compaction. Borrow pits were
allocated in the most economical manner, and more
inputs could be incorporated, such as the mix of
materials. The proposed model showed that the cost of
the work could be reduced through the rational allocation
of materials.
Another method to lower costs in earthworks is to
analyze routing problems. The decision variables include
the routes and distances between the source (cut) and
destination (fill), which are predetermined.
The objective function seeks to minimize the total
distance traveled by vehicles. Ref. [29] developed a
Linear Programming model based on an analysis of
Copyright © 2016 Praise Worthy Prize S.r.l. - All rights reserved
140
routing problems that minimizes the distance traveled by
trucks in the materials distribution of earthmoving
activities. This model was applied in a road works case
study, which allocated optimal cut and fill areas to
minimize the distance traveled by trucks, consequently
optimizing truck routes. Comparisons of the model’s
results with the mass diagram yielded a distance savings
of 12%.
II.2. Dynamic Programming
Some highway works use the scheduling problem to
optimize the work. They consider these activities, their
duration and available resource. In the Scheduling
problem, each activity have one or more execution
modes, with different combinations of duration and
resource utilization with cost. The objective function is to
minimize project duration doing a tradeoff between time,
resources and costs. Studies of this section used the
dynamic programming technique to solve the problem of
planning repetitive linear projects based Scheduling
Problem.
Ref. [30] was the first to use Dynamic Programming
for planning repetitive projects. The model aims to
minimize the project duration by considering two
elements—work continuity and quantity of resources to
minimize the project duration. According to the author,
this coincides with minimum costs. Different alternatives
with regard to the quantity of resources for each section
were evaluated. More resources were generally
considered the better alternative to minimize the project’s
duration. Ref. [6] extended the model of [30] by
introducing two decision variables and used dynamic
programming formulation to minimize the project’s
duration. The first variable represents the durations
possible to complete each project activity.
The second variable represents the durations of
interruptions possible in each activity. Additionally, a
sensitivity analysis process was described that allows the
identification of near-optimal solutions. A bridge
construction example based on [30] was used to illustrate
application of the formulation. Previous works that
applied Dynamic Programming were able to identify the
ideal size of the crew for each activity from a set of
possible alternatives in a repetitive project. The
optimization criterion of these formulations, however,
was limited to minimization of the project’s duration.
Although this may result in indirect cost minimization, it
does not guarantee the minimum overall cost. [8]
presented a model that incorporates cost as a decision
variable in an objective function. They used a Dynamic
Programming model and a bridge project [30] as an
example to demonstrate one application and the validity
of the model. Ref. [9] proposed a model that uses
Dynamic Programming to optimize the construction
schedule for repetitive projects. The model considers that
the crew works continuously, without interruptions. For
each repetitive activity, the model identifies the optimal
crew formation that minimizes the project’s total cost.
International Review of Civil Engineering, Vol. 7, N. 5
 Viviane Adriano Falcão, Ernesto Ferreira Nobre Júnior, Bruno de Athayde Prata
Because it is a repetitive project, they considered that
improvements in crew productivity occur as work
progresses. The model also considers the influence of
weather conditions on crew production rates.
Ref. [10] used Dynamic Programming to provide
resource selections and consider interruptions and delays
that contribute to the minimum total project cost.
This model generated a graph of the project’s cost that
depicts variations in the total cost of the project with total
duration. These graphs are frequently used for decision
making in the finance department. With the project
duration defined, the system generates a line of balance,
with the possibility of updating the line of balance
according to input information.
Ref. [11] developed an object-oriented model to
optimize the scheduling of repetitive projects. The model
provides various practical features and incorporates a
new algorithm for planning repetitive projects.
Optimization is based on Dynamic Programming.
The formulation incorporates cost, providing support
for project members to minimize the total cost. For each
activity, the model helps the planner select the optimal
crew and interruption vector among the existing
alternatives.
Ref. [4] presented an automated and practical
optimization model. The model uses the formulation of
Dynamic Programming and incorporates a scheduling
and interruption algorithm to automate the occurrence of
interruptions during planning. They also used the bridge
example of [30] to demonstrate the model’s application.
Ref. [31] established a model to optimize resource use
in highway construction, minimizing the duration and
cost of the work. The model is based on the A + B
bidding method that is widely used by many
transportation departments in the United States.
Component A is the bid price for the construction costs.
Component B is incorporated into the bid price to
represent the economic benefits of the road to the public
and local economy. The model is developed with a
Dynamic Programming formulation, and a decision
support system is incorporated that provides a user-
friendly interface to facilitate optimization analysis.
The model was applied to a numerical example of a
road work was applied to illustrate its operation.
Ref. [13] developed a model to automate data
acquisition and guide roadwork scheduling. He used the
Geographic Information System (GIS) to acquire and
analyze spatial data of the project and automate the
quantities of cut and fill to establish a Brückner diagram.
He also created a database model to monitor
contractor resources. He developed a procedure to
identify the critical path of an activity and thus accelerate
construction. Based on this model, he was able to
optimize the project duration and total cost. The model
was developed using Dynamic Programming combined
with heuristics.
Ref. [15] presented a model that was designed to
optimize linear project scheduling. They optimized the
project construction duration, the total cost and a
Copyright © 2016 Praise Worthy Prize S.r.l. - All rights reserved
141
combination of the two. The model compiles other
models previously studied a number of interesting
features and add others features. Among these features
are the ability to represent physical obstructions, such as
rivers and streams, utilize resource-driven scheduling,
incorporate repetitive and non-repetitive activities,
consider various predecessors and successors for each
activity, and consider variations in the amount of work
activities. A numerical example of a road construction
project in literature was used to illustrate the model
skills.
Ref. [16] developed a model that was designed to
integrate the planning stages of road construction
projects. The model automatically generates the work
breakdown structure and precedence network respecting
the work logic. It uses Dynamic Programming to
generate schedules that optimize the total project cost,
duration, or both. The Scheduling Algorithm expands the
proposal developed earlier by [12] and provides
additional resources that are adapted primarily to road
construction. Work interruptions are not allowed in the
proposed model because equipment is very expensive.
The model is incorporated into a software prototype
that operates in the Microsoft Windows environment and
generates graphical schedules.
II.3. Genetic Algorithm
The model developed by [32] had the objective of
minimizing total construction costs, including direct
costs, indirect costs, interruption costs, and incentives
and claims (penalties). The model is based on complete
integration between the critical path and line of balance
and uses a non-exact optimization technique (i.e., genetic
algorithms). The result defines the crew number,
construction method, and interruptions needed to
maintain continuity of the activities. Resource
constraints, project deadlines, and precedence relations
are considered, and the total cost (both direct and
indirect) is minimized. This model is implemented in
Microsoft Excel, which can be considered a positive
point because engineers usually work with spreadsheets.
Another positive point is the establishment of a Gantt
chart to determine the optimal cost in Microsoft Project.
Unlike a large proportion of prior models that are able
to optimize only one objective at a time (e.g., minimize
duration or cost), [33] developed a model that optimizes
resource utilization in repetitive projects. This model is
able to simultaneously minimize the project’s duration
and crew work interruptions. The model incorporates a
Multiobjective Genetic Algorithm and a Scheduling
Algorithm. The bridge example of [30] was used to
demonstrate the model’s application.
Ref. [34] developed a model to optimize costs in
highway construction.
The objective of the model is to minimize total
construction costs with regard to duration limitations,
interruptions, and project resources. Software that can be
International Review of Civil Engineering, Vol. 7, N. 5
 Viviane Adriano Falcão, Ernesto Ferreira Nobre Júnior, Bruno de Athayde Prata
integrated with Microsoft Project was developed using
Visual Basic language, and cost optimization was
implemented using Evolver software, which uses Genetic
Algorithms. To demonstrate the capabilities of the
system, a real example of a road project was used.
The results demonstrated time and cost optimization
and provided crew tasks and the evolution of activity
progress. Ref. [27] created a multi-objective optimization
model that minimizes time and construction costs while
maximizing quality. To reduce the complexity of the
model, decision variables were compiled. The
construction method, crew training, and overtime rules
were incorporated into one variable called resource
utilization. The model was developed as a multi-
objective Genetic Algorithm.
A parallel Multiobjective Genetic Algorithm structure
was developed by [35]. The objective of this structure is
to allow the optimization of resource utilization in large-
scale construction projects. The purpose of this parallel
assembly is to reduce computation time. The results of
this experiment confirmed that the economy of the
computation time was significant.
The development of a practical and automated system
based on the model developed by [27] to optimize the
use of construction resources was presented by [36]. The
system is called the Multiobjective Automated
Construction in Resource Optimization System
(MACROS) and incorporates the following modules: (1)
a module based on multiobjective optimization
techniques [27], (2) a database module to facilitate data
storage that was developed using Microsoft Access (this
module allows the manual input of data or can import
existing data from another format; e.g., Microsoft
Project, (3) a tool module (middleware) to provide
integration between internal modules of the MACROS
and commercially available management software, and
(4) a user interface module to facilitate the input of
project data and visualization of the construction plans
generated. The optimization model of [37] has multiple
objectives for planning repetitive construction projects.
The model allows planners to generate and evaluate
construction schedules that minimize the project’s
duration and maximize the work continuity of the crew
simultaneously. The model is organized into three main
modules: scheduling, optimization, and classification.
The scheduling module uses a scheduling algorithm to
develop resource-driven scheduling for repetitive
construction projects. The optimization module uses
Multiobjective Genetic Algorithms to search for and
identify viable construction plans that establish an
optimal balance between project duration and work crew
continuity. The classification module employs
Multiattribute Utility Theory to rank the plans generated
to facilitate the selection and implementation of the best
global plan for the project. Finally, they applied the
model in the case of [30].
Ref. [38] presented a model based on the
Multiobjective Genetic Algorithm for linear construction
project optimization. The model allows planners to
Copyright © 2016 Praise Worthy Prize S.r.l. - All rights reserved
142
manage construction schedules and evaluate optimal
construction that minimizes both time and cost. The
model developed in this study is almost identical to the
one developed by [27].
All studies analyzed above, which are addressed in
item Genetic Algorithm, based their models on
Scheduling Problem. The model developed by [39]
sought to optimize earthmoving operations in heavy
construction projects. The model uses a Genetic
Algorithm, Linear Programming, and the GIS.
The Genetic Algorithm is used to generate different
crew formation scenarios and seek near-optimal
solutions. Linear Programming is used to determine the
quantity of earth to be moved, minimize the project’s
duration, and minimize direct and indirect costs. GIS is
used to develop a Pathfinder Algorithm that feeds the
model with road data and X, Y, and Z coordinates. The
model was implemented in prototype software using
object-oriented programming is used in two examples
literature. Ref. [40] used Genetic Algorithms and
Scheduling Algorithms to optimize repetitive project
planning and both duration and cost, separately and
together. Furthermore, the unit cost is a function of
duration, which can be continuous or discrete. The
example of Selinger’s bridge was analyzed to validate
the proposed method as another example to illustrate its
ability to plan a project.
Ref. [41] presented an approach for the Multiobjective
Optimization Model to plan linear projects. This model
allows planners to create optimum construction
schedules that minimize the project’s duration, total work
interruptions, and total crew number. The model is
implemented in an Excel spreadsheet. It is optimized by
combining a weighted sum approach and Genetic
Algorithms using Evolver software. Moreover, it
provides a line of balance for the analyzed project.
II.4. Other Techniques
The [42] developed a discrete formulation that applies
Optimal Control Theory to minimize the project’s
duration by considering production rates. The problem of
planning the construction of the bridge of [30] was
solved using this method. Ref. [22] provided a model of
Quadratic Programming to optimize earthworks.
This model was an extension of the [19] model. It
added linear functions for purchase costs and borrow pit
excavation and disposal area costs. A mathematical
formulation to optimize planning construction was
developed by [43]. The construction schedule was
considered as an optimization problem, in which the
direct costs of the project were minimized for a specified
period. They adapted a neural network model that was
previously developed by [44]. Six possible durations of
the project were considered. Ref. [12] presented an
algorithm to plan resources for repetitive activities.
For the activity of each section, the algorithm
identified the best start and end dates, as the crew for this
activity. It provided a schedule that attended to the
International Review of Civil Engineering, Vol. 7, N. 5
 Viviane Adriano Falcão, Ernesto Ferreira Nobre Júnior, Bruno de Athayde Prata

constraints of precedence relations, crew availability, and [46] and [47], the Great Control Theory [42], Neural
uninterrupted crew work. A numerical example with and Networks [43] and Genetic Algorithms [27]; [32]-[41].
without activity interruptions were analyzed, showing Fig. 1 graphically illustrates the percentage of studies
that activity interruption can reduce project time. considered in this paper that used optimization
Reference [14] described a model that was designed to techniques for highway work.
automate the acquisition and analysis of highway By analyzing the graph, we see that most of the works
construction planning data. GIS was used to analyze used Integer Linear Programming, with 30%, Dynamic
spatial data and estimate the quantities of cut and fill. Programming and Genetic Algorithms, with 26% each.
The model automatically generated a precedence Fig. 2 illustrates the increase, decrease, and emergence of
network with regard to work logic, in addition to a mass new techniques over time. For example the Integer
haul diagram to develop an optimal earthmoving plan. Linear Programming was the most used techniques in the
The model is implemented in prototype software that 1980s and 1990s.
runs under Windows. Various input and output formats From 2000 onward, these techniques were losing
are supported to facilitate data sharing with commercially ground to Genetic Algorithms. This was attributable to
available software. the necessity of incorporating discrete variables that
Ref. [45] studied the automation of the earthwork increase computational complexity.
planning process and presented basic techniques. A
computational system was developed to help planners
use existing technologies more efficiently. The purpose
of this work is not to optimize the excavation process,
but help planners to use the techniques through an
automated system.
Reference [46] developed a flexible model to solve
problems associated with linear project planning and
different goals. The proposed model uses Constrained
Programming, with flexibility to optimize both total costs
and the project duration. Moreover, the concept of
outsourcing resources was introduced to improve project
performance. The example of the bridge of [30] was used
to validate the model, and two scenarios were presented
to demonstrate the capability of the model.
The first scenario sought to minimize the project’s
duration by considering manpower outsourcing, if
necessary, to avoid interruptions. The second scenario
sought to minimize the project’s total cost by assigning a
maximum acceptable duration as a constraint.
Ref. [47] proposed an optimization model with regard
to project duration and introduced the concept of Fig. 1. Percentage of studies classified by optimization technique
polyvalence to join the crews to improve work
performance. The new model could be considered an
extension of the model proposed by [46], in which they
added heuristic rules to improve the selection of
polyvalent crews. The analysis was based on two
scenarios. The objective of the first scenario was to
minimize the project’s duration with a minimum of
interruptions. The objective of the second scenario was to
minimize the project’s duration without interruption.of
prior models that are able to optimize only one objective
at a time (e.g., minimize duration or cost), [33]
developed a model that optimizes

III. Discussion
Different optimization techniques have been
introduced to optimize costs, time or both on roadworks,
such as Integer Linear Programming [1], [2]; [7]; [18];
[19]-[21]; [23]-[26]; [28] and [29], Dynamic
Programming [4]; [6]; [8]-[10]; [14]; [15] and [30], Fig. 2. Papers classified by optimization technique
by submission period
Quadratic Programming [22], Constraint Programming

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143
 Viviane Adriano Falcão, Ernesto Ferreira Nobre Júnior, Bruno de Athayde Prata

Substantial advances in construction resource
optimization research led to an increase in the number of
optimization models that have been developed using
various methods, including Integer Linear Programming,
Dynamic Programming, and Genetic Algorithms.
Fig. 3 shows growth through the years. Since 2000,
studies in this area doubled compared with the previous
two decades.
This probably occurred because contractors’ mindsets
changed with regard to resource optimization in an effort
to maximize profits in a shortest possible time.
Fig. 3. Cumulative Number of studies over time (1958-2010)
In this context, these models can be classified
according to their optimization goals using models that
(1) minimize project duration; (2) minimize costs; and
(3) minimize both cost and duration.
Table I lists the papers that were discussed in this
review according to optimization technique and objective
model.
Importantly, there are many ways to classify these
studies, and this classification was chosen because of its
simplicity and to inform the reader.
Integer Linear Programming and Genetic Algorithms
were the two techniques that were most often used in the
studies. Considering the models’ objectives, nearly 40%
of them would minimized both cost and project duration.
Another important classification is based on the
problems that are faced in the area of operations
research: transportation, routing, and scheduling.
Table II shows that transportation problems are
currently the primary focus. However, for planning
purposes and to optimize resource utilization, scheduling
problems should be the focus. To optimize earthmoving
allocation, transportation problems should be the focus.
Routing problems are often not the focus in highway
works, but [3] and [48] used this technique in civil
works, and [29] confirmed the efficiency of this
technique with regard to earthmoving in roadworks.
Fig. 4 illustrates the papers classified by the journals
in which they were published. The largest number of
papers published in this area appeared in Journal of
Construction Engineering and Management. Exactly half
of the publications appeared in this journal since 1958.
The journal Automation in Construction is ranked
second, with 11% of the publications. Other journals
include Advances in Engineering Software, Construction
Management and Economics, Housing & Building
National Research Center Journal, Transportation
Research Record, Proceedings of the Institution of Civil
Engineers: Transport, and European Journal of
Operational Research.

TABLE I
STUDIES CLASSIFIED BY OPTIMIZATION TECHNIQUES VERSUS MODEL OBJECTIVE
Optimization Techniques 1
Objective Model
Linear Programming and/or Integer Dynamic Programming Genetic Algorithm Other
Kantorovitch (1958)
Mayer and Stark (1981)
Nandgaonkar (1981)
Easa (1987)
Christian and Caldera (1988)
Easa (1988) Adeli and
Jayawardane and Harris (1990) Eldin and Senouci (1994) Hegazy and Wassef (2001)
Cost Minimization Karim (1997)
Reda (1990) El-Rayes (1997) Hegazy (2005)
Askew et al. (2002)
Jayawardane and Price (1994a,b)
Huang and Halpin (1995) Hare et al.
(2011)
Lima et al. (2013)
Falcão et al. (2015)
Handa and Barcia
Selinger (1980) (1986)
Hyari and El-Rayes (2004)
Russell and Caselton (1988) El-Rayes and Moselhi
Duration Minimization Hyari and El-Rayes (2006)
Moselhi and El-Rayes (1993b) (1998)
Agrama (2012)
El-Rayes and Moselhi (2001) Hassanein and
Moselhi (2002)
Moselhi and El-Rayes (1993a)
Moselhi and Alshibani
Cost and Duration El-Rayes (2001) Liu and Wang (2007)
Ipsilandis (2007) (2009)
Minimization Hassanein (2002) Liu and Wang (2012)
Long and Ohsato (2009)
Moselhi and Hassanein (2003,2004)
El-Rayes and Kandil (2005)
Kandil and El-Rayes
Cost and Duration (2006b)
Minimization and Quality Cristóbal (2009) Kandil and El-Rayes
Maximization (2006a)
Senouci and Al-Derham
(2008)
1
Some studies applied more than one technique. In this case, we opted to classify the technique that is considered most innovative and robust.

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144
 Viviane Adriano Falcão, Ernesto Ferreira Nobre Júnior, Bruno de Athayde Prata

TABLE II
STUDIES CLASSIFIED BY OPTIMIZATION TECHNIQUES VERSUS OR PROBLEM
Optimization Techniques
Problem
Linear Programming and/or Integer Dynamic Programming Genetic Algorithm Other
Kantorovitch (1958)
Mayer and Stark (1981)
Nandgaonkar (1981)
Easa (1987)
Transportation Christian and Caldera (1988) Moselhi and Alshibani (2009) Easa (1988)
Jayawardane and Harris (1990)
Jayawardane and Price (1994a,b)
Hare et al. (2011)
Lima et al. (2013)
Selinger (1980)
Russell and Caselton (1988)
Hegazy and Wassef (2001)
Moselhi and El-Rayes (1993a)
Hyari and El-Rayes (2004)
Moselhi and El-Rayes (1993b)
Hegazy (2005)
Eldin and Senouci (1994)
Scheduling El-Rayes and Kandil (2005)
El-Rayes (1997) Liu and Wang (2007)
Hyari and El-Rayes (2006)
El-Rayes and Moselhi (2001) Liu and Wang (2012)
Moselhi and Alshibani (2009)
El-Rayes (2001)
Agrama (2012)
Hassanein (2002)
Moselhi and Hassanein (2003,2004)
Routing Falcão et al. (2016)

Although the aforementioned models have made

significant contributions to the area of construction
optimization, their practical application is limited.

Fig. 4. Papers classified by journal
III.1. Existing Gaps
Note that although it was an analysis together a
number of different optimization techniques (exact and
heuristic methods), when considering the studies
discussed herein, very clear divisions can be seen
between techniques. For example, if the work focuses
only on cost minimization, then precise optimization
methods can solve the problem. For larger works, we can
apply a heuristic model to lower computation time.
When the aim is to plan the work (e.g., tradeoffs
between resources, costs, and work duration), more
robust methods or combinations of methods may be
needed. Many studies have focused on mathematical
optimization, but few of these have been applied to real-
world projects. When we analyzed the routing technique,
only one work considered multiple equipment.
The necessity of construction optimization tools
motivated the development of various automatic
optimization models that were designed to interface with
commercially available software. These models were
developed to facilitate the implementation of
construction optimization using a number of tools,
including spreadsheet software [32] and [41] and project
planning software [35] and [36].
IV. Conclusion
This article presented an overview and relatively
detailed discussions of previous studies that used
optimization techniques to determine optimal or near-
optimal solutions for repetitive/linear highway and
earthwork projects. The analyzed studies were mostly
published in leading journals in the area. Despite our best
efforts to include all of the publications in this specific
area, a few papers may have been omitted.
The studies were organized by optimization
techniques, and each study was analyzed individually.
The results indicated that the number of studies in this
area has increased over the years, with double the
number of studies that have been published since 2000.
Thus, we can conclude that the use of optimization
techniques in planning highway projects is promising.
Among all of the techniques, Genetic Algorithms are
increasingly employed, although Integer Linear
Programming is still the most utilized because of its
substantial use in the past. Another important result from
this paper is about the application of Operations
Research in highway works. All of the studies that were
discussed herein focused on transportation, routing, and
scheduling problems. The results also suggest that focus
on the mathematical optimization, but few applied in real
projects. Furthermore, there is a need for automatic
optimization tools that are designed to interface with
commercially available software; therefore, the practical
application of such tools is still limited.
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International Review of Civil Engineering, Vol. 7, N. 5
 Viviane Adriano Falcão, Ernesto Ferreira Nobre Júnior, Bruno de Athayde Prata

embedded simulated annealing for the shortest route cut and fill Bruno de Athayde Prata was born in 1980 in
problem. Journal of the Operational Research Society (2005) 56, Fortaleza, Brazil. In 2011, he completed
816–824. doi:10.1057/palgrave.jors.2601900 Published online 1 doctoral studies in Industrial Engineering and
December 2004. Management at University of Porto, Portugal.
He is Assistant Professor of Department of
Industrial Engineering at Federal University of
Authors’ information Ceará, Brazil. Nowadays, he has been working
with Operational Research applied to the
1
Ph.D. Adjunct Professor. Department of Civil Engineering. Federal operations management and heavy civil construction. Prof. Prata has
University of Triângulo Mineiro, Av. Doutor Randolfo Borges Júnior, published in several high impact journals, such as Journal of
1250 – Univerdecidade - 38064-200 - Uberaba – MG – Brasil. Construction Engineering and Management, Transportation Research
E-mail: viviane.falcao@icte.uftm.edu.br Record, Water Resources Management and Journal of Petroleum
Science and Engineering.
2
Ph.D. Associate Professor, Department of Transportation Engineering,
member of Doctoral Program in Transportation Engineering, Federal
University of Ceará. Av. Mister Hull, s/n - Pici - CEP 60455-760 -
Fortaleza – CE – Brasil. Research Group on Modeling Network
Infrastructure. Vice-President of Brazilian Institute of the Audit
Engineering.
E-mail: nobre@ufc.br
3
Ph.D. Adjunct Professor, Department of Production Engineering,
Federal University of Ceará. Av. Mister Hull, s/n - Pici - CEP 60455-
760 - Fortaleza – CE – Brasil. Research Group on Modeling Network
Infrastructure.
E-mail: baprata@ufc.br

Viviane Adriano Falcao was born in 1983, 27

December in Fortaleza, Brazil. Graduation at
Civil Engineering from Federal do Ceará
University (2007) and exchange in Civil
Engineering from Ecole Centrale de Lyon
(2006) , master's at Transports Engineering from
Instituto Tecnológico de Aeronáutica (2012) and
PhD at Transports Engineering from Federal do
Ceará University (2016). She is Assistant Professor of Department of
Civil Engineering at Federal do Triangulo Mineiro University, Brazil.
She has been working with Transportation Engineering, acting on the
following subjects: level of service, efficiency, airports, earthmoving
and operational research. Prof. Falcao has published some papers about
Level of Service – Airports, Efficiency of Transportation Systems and
Operational Research applied in Earthworks. She is member of
Research Group on Modeling Network Infrastructure and leader of
Research Group on Sustainable Urban Engineering.

Ernesto Ferreira Nobre Júnior was born in

1952 in Fortaleza, Brazil. In 1993, he completed
doctoral studies in Transportation Engineering
(Highways and Airports) at University of São
Paulo - USP, Brazil. He is Associated Professor
of Department of Transportation Engineering at
Federal University of Ceará, Brazil. Currently,
he has been working with highways and airports
management and management of heavy construction operations.
Prof. Nobre Júnior has published in several journals, such as
International Journal of Research Transportation; Transportation
Research Record and Journal of Construction Engineering and
Management.

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