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Automation in Construction 93 (2018) 78–90

Contents lists available at ScienceDirect

Automation in Construction
journal homepage: www.elsevier.com/locate/autcon

Automated tower crane planning: leveraging 4-dimensional BIM and rule- T


based checking

Yuanshen Ji , Fernanda Leite
Construction Engineering and Project Management Program, Department of Civil, Architectural and Environmental Engineering, The University of Texas at Austin, 301 E.
Dean Keeton St. C1752, Austin, TX 78712-1094, USA

A R T I C LE I N FO A B S T R A C T

Keywords: Reviewing tower crane plans in the pre-construction phase is an iterative process and one that is in need of an
Planning approach that improves its effectiveness and efficiency. This study proposes a framework that integrates 4D
Rule checking modeling and rule-based checking for reviewing tower crane plans. A template of crane-specific rules that are
Building information model (BIM) based on prevailing tower crane design standards in the United States was developed. This framework is capable
Simulation
of automating the review process and identifying potential spatial and capacity conflicts based on design models
Crane safety
and construction schedules. This work presents a prototype system to which crane-specific rules are applied in a
rule-checking platform that uses a 4D model as input. In the validation tests, the system's effectiveness is de-
monstrated by its high recall rates. Efficiency is achieved through diminishing manual interventions. The pro-
posed approach also gives rise to an automated tower crane-planning process, reducing the need for manual
input. Higher efficiency allows users to review more alternatives consistently when compared with the manual
approach.

1. Introduction overlooking critical conditions (i.e., hypothetical scenarios in pre-


construction planning) that might make certain tower crane plan al-
The last decade has seen a broader adoption of tower cranes on ternatives unfeasible; such a process could also facilitate the disclosing
building construction projects in North America as well as around the of constraints that are unique to each project.
world. The presence of tower cranes is especially prevalent in high-rise The effectiveness of advanced tower crane planning systems is af-
building construction and in projects with high levels of prefabrication, fected by various factors. Tangible factors include the geometric re-
which rely heavily on machinery equipment for material handling ac- lationship between the crane and site [12,16] along with permissible
tivities [1,2]. The benefits of tower cranes over mobile cranes include equipment specifications [9,17]. Intangible factors include the number
higher productivity rates [3] with reduced safety-related risks [4–6] of repetitive and manual tasks that, in actual projects, implementing
and decreased daily operations management demands [7,8]. these systems can give rise to. Users can be quickly overwhelmed by
To leverage such benefits, project engineers need to invest time in excessive manual iterations, directly impacting the performance of
the preconstruction phase by planning the placement of the possible advanced design systems.
tower cranes in their specific jobsites [1]. This extra planning effort is The solution space for tower crane planning problem is multi-di-
needed because of the complex interactions between the design and the mensional. Each solution belongs to a three-dimensional space, which
other parts of site layout—interactions that have cost, safety, and pro- features critical conditions, site-specific constraints, and design alter-
ductivity implications [9–14]. Moreover, extra planning is needed be- natives, as shown in Fig. 1. Each cell in the solution space cube has a
cause of the timing of the design, which occurs long before execution value with respect to each dimension. Those getting the “passing” va-
[15]. Planners need to synthesize project data and generate hypothe- lues from all attributes of critical conditions and site-specific constraints
tical scenarios in which engineers can review proposed design alter- are feasible solutions. The feasible solutions are difficult to identify
natives. The hypothetical scenarios reflect designers' personal under- because each dimension of the tower crane solution space has multiple
standing of site-specific conditions (e.g., spatial, time-space, or attributes. For example, critical conditions may include but are not
availability constraints) based on their engineering experience. There- limited to critical lift, erection, dismantle, height alteration, and
fore, an enhanced design process should aim to eliminate the risk of maintenance. Finding the cells with a “passing” value from each


Corresponding author.
E-mail addresses: yuanshen@utexas.edu (Y. Ji), fernanda.leite@utexas.edu (F. Leite).

https://doi.org/10.1016/j.autcon.2018.05.003
Received 21 December 2017; Received in revised form 19 April 2018; Accepted 5 May 2018
0926-5805/ © 2018 Elsevier B.V. All rights reserved.
Y. Ji, F. Leite Automation in Construction 93 (2018) 78–90

Fig. 1. Example solution space of tower crane design in building construction projects.

attribute of every dimension is an iterative, time-consuming, and often CAD” [26]. This approach integrates 3D models and project schedules
manual process. Manual iterations can be reduced, if not eliminated, by to generate a 4D simulation. A 4D simulation, compared to synthesizing
an approach for enhanced tower crane planning. a process hypothetically, is a much more intuitive, efficient, and ef-
The ultimate aim of this research study is to improve the effec- fective way to understand the construction process. This concept was
tiveness and efficiency of tower crane planning. We propose an en- quickly embraced by the AEC industry and many applications have
hanced design system for tower crane planning to eliminate repetitive since been developed and implemented.
tasks and manual information input. The proposed framework defines Al-Hussein et al. [9] conducted a study that explored an approach to
effectiveness as a system that permits engineers to expand the search complement simulation with visualization. It reduces difficulties
space (see Fig. 1) within a limited time frame and explore more options stemming from lack of proficiency in generating detailed simulations, a
for an optimum solution; efficiency refers to reducing the number of skill that engineers are not typically trained for. They claimed that the
repetitive tasks. To improve a building information model (BIM)-based integration of a 3D model and lifting event simulations is helpful in
planning system, we leverage 4D modeling and rule-based checking. validating lifting plans. However, users of this system have to rely on
The following section summarizes the milestone research studies in the visuals to identify the conflicts associated with each simulated event.
field that have utilized 4D and rule-based design to enhanced project The system cannot proactively capture spatial conflicts or capacity
outcomes, including improved productivity for construction planning limitations that invalidate the simulated event. Several research studies
and management. The remainder of this paper introduces the proposed [16,21] experimented with model-based simulation for lift planning.
approach, provides a demonstration of our prototype implemented on Shorter operation time can be achieved. However, these proposed ap-
an actual construction project, and presents a discussion of the results, proaches may generate plans without identifying spatial conflicts that
including listing limitations for further exploration. commonly exist during implementation. Furthermore, these approaches
are not capable of assisting in pre-construction planning. The amount of
2. Background research effort required to generate one single simulation in these studies is
costly for implementation in pre-construction planning, which typically
A considerable amount of effort has been invested in developing requires validating hundreds of events and scenarios.
design systems to support crane planning. These systems [18–23] en-
able users to understand the alternative's impacts on project success.
Many advanced systems, however, are typically devised for reviewing 2.2. Kinetic motion of cranes
selected challenging scenarios for higher accuracy and automation ra-
ther than for tackling the large amount of general, iterative checking The reach and range of motion of crane components are dynami-
requirements. To bridge the gap between the status-quo and a broad cally affected by the load applied on the hook. Tower crane planning
adoption in actual projects, designers must come up with a system that needs to iteratively check these factors for validation. Tantisevi and
improves usability, reduces manual data input and iterations, and au- Akinci [15] developed a system to automatically generate sequential
tomates the repetitive activities along the process. Nevertheless, pio- movements of mobile cranes to support the detection of spatial conflicts
neering studies have identified key characteristics that have the po- and a boom's range of motion. The system can restrict the allowed range
tential to reduce manual as well as iterative activities. The major of motion dynamically according to payload under the hook. However,
findings in this regard are summarized in this section. Indeed, these this system still requires a significant amount of manual data input to
research studies serve as points of departure for this study. develop the initial crane model. More importantly, the framework does
not support validating the clearance that is critical for crane safety.
Kang and Miranda [27] explored lift path planning using the kinetic
2.1. Simulation and 3D visualization for lift planning motion of cranes as constraints. The outcome of the path-planning al-
gorithm can avoid physical collisions for individual lift activities.
Simulations cannot replace human intervention when it comes to Hence, this approach is especially useful in crane collaboration plan-
space or time-space conflicts [24,25]. In the late 1990s, Stanford Uni- ning and critical lift planning. It is challenging to apply this approach in
versity researchers at the Center for Integrated Facility Engineering pre-construction planning, which has a large solution space and does
(CIFE) introduced to the architecture, engineering, and construction not only plan for a single event.
(AEC) community the concept of 4D simulation, originally termed “4D-

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Y. Ji, F. Leite Automation in Construction 93 (2018) 78–90

Fig. 2. IDEF0 diagram for the proposed framework.

2.3. Automatic validation using quantitative metrics and rules events. However, pre-construction planning requires validation on
hundreds of events because the problem is multi-dimensional (see
Researchers have made significant progress in optimization algo- Fig. 1). To practically validate such a large solution space, manual input
rithms for tower crane design. When a design target is quantitatively and repetitive tasks should be reduced, especially when it comes to
described, these algorithms are now capable of not only analyzing transitioning between alternatives. This research study explores an
specific design alternatives, but also suggesting the optimal solution to approach that aims to integrate rule-based design review and 4D si-
the problem [14,16,28–30]. However, the research community is pre- mulation for consistent and automated tower crane plan review. A
vented from using solely optimization to solve design problems due to semi-automated model update tool will be used to revise the 4D model
two major barriers—the lack of definition of optimal design and the based on alternative plans. Permitted crane configuration and load
computational complexity introduced by design constraints. The defi- charts are embedded in the tool and automatically checked; this re-
nition of an optimal crane plan is not universal since the set of con- petitive task is automatically conducted by the framework. Rule sets are
straints governing the validity of design alternatives is mostly unique pre-programmed to automate the validation of all alternatives.
for each project [31]. Without a preliminary review to narrow down the Rule-based 4D design review for tower crane planning offers the
solution space, mathematic formulation of the constraints is too com- following contributions: a method to develop a system that can be
plex to implement or the running time is prohibitively long. In response adapted to multiple types of projects, an approach to generate plan
to these two barriers, several research teams [31–33] have experi- rules that are extensible and can be adapted to site-specific conditions,
mented on integrating a rule-based system and BIM to effectively re- and a method to guide 4D model scope and level of development (LOD)
duce the solution space for design review problems. Zhang et al. [33] definitions.
implemented rule-based checking on 4D simulation models of building
projects aiming to identify the potential falling hazards based on de-
3. Proposed framework and method
sign, schedule, and construction methods. The outcome was inspiring
because it showcased that rule-based checking is automatic and each
The goal of this research is to develop a framework to assist tower
iteration of review requires a minimal amount of time and steps for
crane design to achieve higher effectiveness and efficiency in pre-
either preparation or execution. Additionally, it demonstrated that rule-
construction planning. This goal may be achieved through auto-
checking could capture complex conflicts in design. For example, when
matically validating design alternatives based on site-specific con-
more than one object occupies a spot in a model, minimum space be-
straints, reducing manual data input in iterative design, and increasing
tween objects is not provided, and neither are time-space conflicts.
the number of alternatives to be validated within restricted time frame.
These are common types of constraints to tower crane design problems,
Fig. 2 illustrates an IDEF0 diagram providing an overview of our pro-
and they are repetitively examined in each iteration as well. Un-
posed framework, as well as improvements related to this study.
fortunately, no formalized approach to developing pre-programmed
This framework consumes project data as input to establish a si-
rules specifically for tower crane planning is available. Neither did
mulation 4D model. The model integrates building model, project
Zhang et al. [33] explore the steps to customizing rules for transitioning
schedule, and a specialized Tower Crane (TC) model. The building
between design alternatives or projects. Rule-based design review is
model may include both to-be-built structures and relevant existing
worth further investigation to assist engineers as they try to effectively
structures, depending on site-specific constraints. For example, certain
and efficiently shrink the solution space in the tower crane design
design alternatives require crane booms to swing over public roads or
problem.
buildings next to the jobsite, or to maneuver in close proximity to utility
lines. In these cases, the building model should, for validation purposes,
2.4. Need for a rule-based 4D tower crane planning system include all relevant elements (e.g., existing buildings, utility lines,
public road). Projects vary, however, in their requirements for the
Current 4D simulation systems for tower crane planning primarily building model for crane planning. Indeed, each project has a unique
use scenario-based simulation and specialize in reviewing standalone set of site-specific constraints [31].

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Developing a 4D model can be time-consuming and can even out- rule-based design systems inform users which items from pre-defined
weigh the benefits of automated validation, without a guideline on rules are satisfied (or not) by each design alternative. In final decision
model scope, and LOD. However, BIM has been increasingly used in the making, rule-based systems cannot replace human intervention. In fact,
building construction industry and, hence, we envision that existing these systems are devised to organize complex pre-defined rules and to
models can be leveraged for crane planning, which were originally automatically check, in a consistent manner, multiple design candidates
created for other construction management purposes (e.g. design co- against these rules.
ordination). It is important that the site-specific rules must be generated Rule-based systems can potentially lead to more efficient and ef-
before determining the scope and LOD of a 4D model. Detailed plan fective tower crane planning. First, pre-defined rules are a formalized
review process will be used to demonstrate how this framework le- documentation of the knowledge and implicit reasoning behind deci-
verages site-specific rules to determine the appropriate model specifi- sion making. The status quo depends on an individual's collective
cations, in the application and validation section. working experience to be transformed into cognition in each project. It
The controls incorporate crane specification, site-specific rules, and is easy to overlook constraints that might have a prohibitive impact on
construction methods. Crane specifications (e.g., jib length, mast a project, given the complexity of interaction between tower cranes and
height, rated capacity) are permitted by equipment manufacturers or many other elements on site. Furthermore, the rule sets represent the
competent personnel when modifications occur. The data in Microsoft formalized principle for planning. The logic in rule sets can be adapted
Excel format is project-independent and can be accessed, updated, or to suit new projects. Rule sets can also serve as the intermediary of
expanded at any time in the iterative design review. Site-specific rules information exchange among engineers for discussion and training
are a group of constraints that engineers assemble to represent the purposes. Last but not least, rule-based checking systems can automate
definition of valid designs for a particular project. The content of rules the validation processes that are repetitively conducted. Project en-
reflects one version of the description of validity, which includes but is gineers are allowed to concentrate on aspects that machines can hardly
not limited to sufficient coverage and capacity provided at certain handle, such as identifying different construction methods to shift the
spots, clear of obstructions in operations, and safety protocols and so solution space towards a better outcome.
on. Since site-specific rules state only valid and not optimum solutions, The rule-based design review method we have developed was in-
more than one alternative could pass a review of these rules. Further spired by previous studies that applied rule checking in various appli-
review on valid alternatives would be conducted mostly by leveraging cations [33,36–39]. Despite some variations in previous studies, the
mathematical optimization [14,30,34]—a rather self-contained topic core steps are as follows: 1) knowledge extraction and rule preparation;
that is beyond the scope of this paper. Another piece of information 2) model preparation to include necessary information for rule assess-
initially determined before each review iteration are construction ment; 3) assessment of the model based on predefined rules; and 4)
methods. Different methods could affect the minimum capacity needed reporting and documenting the assessment results. This process de-
from tower cranes on various locations at a jobsite. Additionally, con- scribes one iteration of rule checking and, to make informed decisions,
struction methods may change the clearance-related constraints, be- it may require multiple iterations to compare different design options.
cause a fleet of machinery equipment will demand different site lay- The first two steps provide insight into developing a rule-checking
outs. Even though controls are deterministic within each iteration, system. Therefore, this approach is followed in this research study.
when a broader solution space is being explored, engineers can change Fig. 3 provides an overview of the procedures for knowledge extraction
construction methods or modify rule parameters between iterations. and rule preparation. A prerequisite for model preparation is having
To develop the proposed framework, the researcher conducted case formalized rules. The model scope and LOD depend on formalized rules
studies on six building construction projects. These projects consist of as guidance. This study began by extracting domain knowledge and
mid-rise to high-rise constructions in the range of five to thirty-five then generating the parametric rules. The rules contain domain-specific
stories. The total area is between 219,000 and 1.15 million ft.2, with the knowledge and are extensible to accommodate site-specific constraints.
construction cost from $52 million to $334 million in US dollars. The As sources of domain knowledge, the researchers used published
number of tower cranes implemented on these projects is from one to standards applicable to tower crane planning, namely ASME B30.3-
four. The structural components are mostly concrete with a few steel 2016 Edition “Tower Cranes” and Occupational Safety and Health
elements. The six case studies were used for the development of the Administration (OSHA) electronic code of federal regulations (e-CFR)
knowledge representation, which is described in [35]. For validation Title 29, Part 1926, Subpart CC – “Cranes & Derricks in Construction.”
purposes, we selected one of the six projects, given that it used multiple In the United States, these standards are the baseline for informing
cranes on a congested job site, as well as for the fact that we had full tower crane planning strategies.
access to the project models and data. In the validation, 295 automated To retrieve the domain knowledge, researchers used semantic-based
reviews were conducted (59 rules applied to five alternative plans) and information extraction (IE), as regulatory standards are written in
126 clashes were analyzed to evaluate the performance of proposed natural language. This approach can be broadly used on other sources
framework. of the TC domain knowledge. After all, text form is the most common
The outcome of the proposed framework is the 4D simulation for way of documenting guides or best practices related to tower crane
both valid and invalid design alternatives, along with an analysis report usage. A critical piece of semantic-based information extraction is
for each alternative. Violated rules are reported accompanied by asso- feature selection. This aids in reducing the discrepancy between the
ciated visual illustrations. This research focuses on the approach to outcome and the original text and to make sure that the extracted
reduce repetitive activities and manual data input and to validate more knowledge is domain specific [40]. The features proposed in this study
alternatives before refining their details for optimization. In future are the following: condition, object(s), attribute(s), threshold, and op-
work, we will explore further automated approaches to suggest optimal erator. The intermediate format to document the extracted knowledge
solutions based on quantitative metrics. is a table of parameterized rules. Zhang et al. (2013) pointed out that
parametric rules organized in a tabular manner is common in the
3.1. Parametric rules to accommodate site-specific conditions construction research community and can facilitate transforming ex-
periential knowledge to a “computer-processable” form. Table 1 de-
Rule-based design review is typically seen as part of a piece of monstrates an example of domain-specific knowledge retrieved from
software that analyzes candidate designs based on the layout, config- one paragraph of standards using the selected features. When im-
uration, relations and attributes of objects in the model under in- plemented in real-world cases, the object names are subject to change
vestigation without modifying the design itself or the model [36]. In- to represent site-specific data. The threshold value might also be revised
stead of suggesting the appropriate alternatives with full automation, if competent personnel recognize the necessity to accommodate certain

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Y. Ji, F. Leite Automation in Construction 93 (2018) 78–90

Fig. 3. Summary of steps to extract knowledge and prepare rules.

site-specific conditions. The second step is transitioning the as-planned schedule, as well as
To manage and maintain the site-specific rules, this study used construction methods, to crane-specific phases, such as assembling,
Solibri Model Checker v9.7 (SMC). SMC, which was also used to im- operating, weather waning, height altering, and disassembling. This
plement the automated rule-based review, is a 3D model analysis approach uses an as-planned schedule as input since this framework is
software that applies the aforementioned rule-based approach. A 3D designed for pre-construction crane design review. However, this ap-
model can be imported to the software in Industry Foundation Classes proach can be used for short-term site management by utilizing an
(IFC) file format, which many 3D native modeling software systems actual schedule, instead of an as-planned one. Crane-specific phases
support as an export format. In this case, the research team used the IFC vary based on project characteristics. For example, low-rise building
model generated by Autodesk Revit as input to SMC. construction typically need not see crane jumps (i.e., increasing the
height of a tower crane during construction, typically seen in high-rise
construction projects). Moreover, the phases created based on a sche-
3.2. 4D model for rule-based tower crane design review dule must be consistent with the “condition” attribute of site-specific
rules.
4D models are created by linking the objects from the 3D model for The last step is finalizing 4D modeling by assigning condition in-
tower crane design with the construction phases specific to tower crane formation to each of the objects in the 3D model. Different design al-
operations. Fig. 4 illustrates in detail the three-step approach to 4D ternatives may require different phases assigned to certain objects. For
modeling for tower crane design. The usefulness of 4D simulation relies example, if the number of tower cranes changes, or the location of a
on the content in both the 3D model and phasing information, which tower crane changes, a different group of objects will be affected by a
should align with the purpose of 4D modeling [41–43]. Therefore, the crane assembly process. Hence, when transitioning between design al-
content of the 3D model and the phasing in this approach is specific to ternatives, crane-specific phases may be updated for certain objects.
assisting tower crane design. Step one is preparing the 3D model for The following section reports on the performance of the proposed
tower crane design, which includes the building model and the tower framework in a real-world project through prototype deployment. Also
crane model. As it contains crane-related objects, the building model is introduced in the section are quantitative metrics used for validation.
different from those used for Mechanical, Electrical, and Plumbing
clash detection. These objects include but are not limited to occupied
properties in proximity to the jobsite (e.g., buildings, infrastructure), 4. Application and validation of the framework
utility lines near the envelope of the crane, and machinery equipment
that demand specific elevated spaces. Site-specific rules provide a The framework was applied to a real-world construction project for
guideline on what objects are modeled. Consequently, as suggested in demonstration and validation purposes. The project was a multi-
Fig. 2, site-specific rules and design alternatives should be assembled disciplinary 9-floor complex used for engineering education and re-
before modeling starts. Design alternatives govern the parameters for search activities on the main campus of a higher education institute.
the tower crane model, such as mast height, jib length, and locations for The complex contains over 430,000 ft.2 of floor space in two buildings
each piece of equipment and each phase (when needed). and an auditorium (attached to the south end of the project). Total

Table 1
Example of domain knowledge extracted from design standard.
Standard index Extracted knowledge

Condition Object A Attribute of A Object B Attribute of B Operator Threshold

ASME B30.0-2016 3-3.4.3 (1) Operation PowerLine_50kV Location CraneMast Location ≥ 10 ft. (3 m)
CraneJib Location ≥ 10 ft. (3 m)
CraneCounterJib Location ≥ 10 ft. (3 m)
CraneCable Location ≥ 10 ft. (3 m)
CraneHook Location ≥ 10 ft. (3 m)
Load Location ≥ 10 ft. (3 m)

Note: the content of the selected paragraph is: “For lines rated 50 kV or below, minimum clearance between the lines and any part of the crane or load (including
handling appendages) shall be 10 ft. (3 m).”

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Y. Ji, F. Leite Automation in Construction 93 (2018) 78–90

Fig. 4. Approach to 4D modeling for tower crane design.

construction cost was approximately $310 million. The construction


phase, completed in October 2017, was 22 months long. Two fixed-
based hammerhead tower cranes were applied to assist in the con-
struction process. The BIM models of major building systems, such as
architectural, structural, and mechanical, electrical, and plumbing
(MEP), were collected from the general contractor to assist the de-
monstration and validation. The research team conducted multiple in-
terviews with the project management team to acquire data regarding
the alternative plans reviewed in pre-construction planning, along with
the site-specific constraints that engineers used to validate the plans.
The final version of the crane plan was obtained from the general
contractor. Among the alternative plans, one was feasible and im-
plemented in construction. The results of a review by the project team
were provided to the research team as the “ground truth” to validate
the framework.

4.1. Development of alternative plans and 4D model

To apply this framework, the research team developed the 4D model


for tower crane planning following the steps presented in Fig. 5. This
process started with formalizing the alternative plans that were used by
the planners in a real-world scenario. The second step is organizing the
site-specific rules in a formalized manner. Formalized rules define the
objects and their attributes that are needed to conduct the rule-based
checking. Therefore, formalized rules are fundamental for determining
model scope and LOD, as well as crane phases. The building model and
the tower crane model are generated according to site-specific rules. Fig. 5. Summary of steps for developing a 4D tower crane model.
The last step is merging the building model and the tower crane model,
and assigning phase information to relevant elements.
the alternative index. The configuration data of each alternative is
Five alternative plans were carefully reviewed by the project team
compliant with manufacturer permitted data. Alternative 1 was a fea-
in the pre-construction phase. Therefore, the researchers reviewed
sible plan that was actually implemented in the project execution.
those alternatives using this framework. Table 2 presents each alter-
As shown in Fig. 6, the locations of crane foundations vary among
native in detail. The major differences between alternatives are the
alternative plans. SK575 and SK315 are placed on two opposite corners
location and the configuration of two tower cranes. Equipment model
on the jobsite. The project engineers consciously selected such combi-
was fixed due to availability; it was not a decision variable. The re-
nation of locations as alternative plans, because it allows cranes to
searchers labeled the SK575 as crane “a” and the SK315 as crane “b” in

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Y. Ji, F. Leite Automation in Construction 93 (2018) 78–90

Table 2
Summary of alternative plans reviewed in pre-construction planning.
Alternatives index Model Configuration Location

Mast height (ft.) Jib length (ft.) Max hook height (ft.) (from top of foundation) X Y Z (top of foundation)

1.a SK575 267 213 255 7 −195 534


1.b SK315 208 230 198 −15 −522 528
2.a SK575 233 246 221 7 −195 534
2.b SK315 208 180 198 −15 −522 528
3.a SK575 267 213 255 67 −195 534
3.b SK315 208 230 198 −170 −522 528
4.a SK575 233 246 221 67 −195 534
4.b SK315 208 180 198 −170 −522 528
5.a SK575 267 213 255 122 −270 534
5.b SK315 208 230 198 −195 −413 528

Fig. 6. Tower crane foundation layout of five alternative plans.

provide coverages over the most of the to-be-built structure. The jobsite disassembly. Each of the four events can challenge alternative plans
has a sloped ground with the northeast corner at a higher elevation. with respect to spatial constraints, or capacity constraints, or a com-
Hence, SK575 has a higher elevation than SK315 when it comes to the bination of both. Table 3 presents the number of constraints in each of
top of the foundation. The location and size of material yards desig- the four events.
nated to each crane are shown in Fig. 6 as well. For demonstration purposes, the spatial and capacity constraints of
Based on an in-depth review of the crane plan, the researchers found the atrium panels are shown in Tables 4 and 5 respectively. The spatial
that the project team was leveraging four construction events to vali- constraints include two main categories: the minimum clearance be-
date the alternative plans: lifting the atrium panels, lifting the con- tween crane element and its surroundings (e.g., A-S-1, -2, -9, and -10),
struction materials for cast-in-place (CIP) concrete decks, lifting the as well as the coverage over the targeted area by boom (e.g., A-S-3 to A-
formwork of staircase well, and tower crane assembly as well as S-8, A-S-11, and -12). The thresholds in spatial constraints are site-

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Y. Ji, F. Leite Automation in Construction 93 (2018) 78–90

Table 3
Site-specific constraints for reviewing alternative plans.
Atrium panels CIP Decks Formwork of staircases well Erection & dismantle

Spatial Capacity Spatial Capacity Spatial Capacity Spatial Capacity

# of constraints 12 8 13 8 NA 5 10 NA

For example, if the 4D model is developed only for checking A-S-1


Table 4 rule, the scope of the model is defined by the objects of A-S-1:
Description of spatial constraints governing atrium panels lifting.
SK575_Jib and SK315_Jib. An LOD 200 model (see Fig. 7) that contains
Constraint index Description the information of Top_Elevation and Bottom_Elevation of the booms is
sufficient. An LOD 300 model is not needed to review A-S-1 rule.
A-S-1 The minimum vertical distance between the booms of tower
Site-specific crane phases are also developed based on all rules ap-
cranes is 35 ft.
A-S-2 The minimum horizontal distance between SK315 boom and plied to review the alternative plans. In this case study, six phases were
SK575 mast is 50 ft. developed: 1) pre-assembly; 2) erection; 3) operation-0-2Level; 4) op-
A-S-3 SK575 boom covers the 3rd floor concrete slab of the north eration-3-9Level; 5) dismantle; and 6) post-dismantle. Fig. 8 shows the
building.
conditions at the end of each site-specific crane phase.
A-S-4 SK315 boom covers the 3rd floor concrete slab of the south
building.
A-S-5 SK575 boom covers the 1st floor concrete slab of the north 4.2. Implementation of rule-based checking
building.
A-S-6 SK315 boom covers the 1st floor concrete slab of the south
This section demonstrates the process of updating models and rule
building.
A-S-7 SK575 boom covers the middle sections of the atrium panels. sets (when needed) in the iterative review of alternative plans. The
A-S-8 SK575 boom covers the end sections of the atrium panels. general process is illustrated in Fig. 9. Automated iterations, reduced
A-S-9 The minimum vertical distance between SK315 boom and the manual input, and shorter iteration time are achieved, compared with
Roof Level is 38 ft.
the manual approach and prior research studies. Alternative plans, site-
A-S-10 The minimum horizontal distance between foundation (and
mast) of both cranes and the surroundings are 12 ft.
specific constraints, and a 4D tower crane model are input information.
A-S-11 SK575 boom covers its designated material yard. In each iterative review, the 4D tower crane model is updated based on
A-S-12 SK315 boom covers its designated material yard. the alternative plan that is currently under investigation. A rule-set is
developed in the first round of iteration according to the site-specific
constraints. The rules get minor updates in the subsequent iterations
specific and should be determined by competent personnel. In this case, when necessary. Iteration terminates when all alternative plans have
the values are defined by the collaboration of project owner and the been reviewed.
general contractor. This study used Solibri Model Checker (v9.7) for rule-based
The capacity constraints represent that the responsible crane should checking. The 4D model was developed and updated in Autodesk Revit
provide sufficient lifting capacity at both the supply spots (e.g., A-C-1, 2017, with the assistance of a Dynamo definition that was specifically
-3, -5, and -6) and the demand spots (e.g., A-C-2, -4, -7, and -8). The devised for preparing a tower crane model. This Dynamo definition was
thresholds in capacity constraints deserve attention, especially when it the outcome of another study by the research group [35]. Users can
gets close to the capacity at lifting radius. In this case, the planner accurately place tower crane models into any building BIM model using
derived the values of 10,500 lbs. (4763 kg) and 7000 lbs. (3175 kg) as this Dynamo definition. The tower crane models presented by this de-
the minimum capacity governing the capacity constraints. finition comply with manufacturer permitted specifications. Fig. 10
The process to conclude the minimum capacity for a given activity is presents an example of a tower crane model. The “coverage” represents
demonstrated in Table 6. The gross weight is typically the summation of the range of area that a tower crane's boom can reach. The “lift capacity
the weight of items, rigging accessories, and the block. The weight of at radius” stands for the area where certain lift capacity is available.
rigging accessories and the block range from 1000 lbs. (454 kg) to Each tower crane model can have multiple “lift capacity at radius” to
2500 lbs. (1134 kg). To increase the safety margin in operations, it is a satisfy the requirements of rule-based checking.
good practice to limit the gross weight below 85% of total capacity at
lift radius. Otherwise, that particular lift is considered a critical lift,
4.3. Validation
which requires rigorous planning and extra permitting for approval.
Formalized rules specify the model scope and LOD. Table 7 presents
To evaluate the effectiveness of the framework, precision and recall
the formalized site-specific rules regarding A-S-1 and A-S-2. The scope
rates, as well as the final decision by the proposed framework, were
of the model is defined by objects, and the LOD is specified by the
analyzed. The research team applied the rule-based 4D approach on this
attributes of each object.
real-world project to evaluate the alternatives. In addition, an

Table 5
Description of capacity constraints governing lifting atrium panels.
Constraint index Description

A-C-1 SK575 has the capacity of 10,500 lbs. at its designated material yard.
A-C-2 SK575 has the capacity of 10,500 lbs. at all eight middle sections of the atrium panel.
A-C-3 SK575 has the capacity of 7000 lbs. at its designated material yard.
A-C-4 SK575 has the capacity of 7000 lbs. at two end sections of the atrium panel.
A-C-5 SK315 has the capacity of 10,500 lbs. at its designated material yard.
A-C-6 SK315 has the capacity of 7000 lbs. at its designated material yard.
A-C-7 Either SK575 or SK315 has the capacity of 10,500 lbs. at all eight middle sections of the atrium panel.
A-C-8 Either SK575 or SK315 has the capacity of 7000 lbs. at two end sections of the atrium panel.

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Y. Ji, F. Leite Automation in Construction 93 (2018) 78–90

Table 6
Minimum capacity of tower crane for atrium panels at lift radius.
Line and block weight (lbs.)⇒ 1500 lbs.

Lift no. Weight Item Gross weight Height (above ground level) % of chart Minimum capacity

1–8 7500 lbs. Sun shade double panel – Middle sections 9000 lbs. 129 ft. 85% 10,500 lbs.
9–10 4500 lbs. Sun shade single panel – End sections 6000 lbs. 129 ft. 85% 7000 lbs.

Table 7
Example of formalized site-specific constraints.
Constraint index Condition Object A Attributes of A Object B Attributes of B Operator Threshold

A-S-1 Operation_3-9Level SK575_Jib Bottom_Elevation SK315_Jib Top_Elevation ≥ 35 ft.


SK575_Jib. Bottom_Elevation − SK315_Jib. Top_Elevation ≥ 35 ft.
A-S-2 Operation_3-9Level SK315_Jib Radius (X, Y, Z) SK575_Mast (X, Y, Z) ≥ 50 ft.
Sqrt[(SK575_Mast.X − SK315_Jib.X)^2 − (SK575_Mast.Y − SK315_Jib.Y)^2] ≥ 50 ft.

LOD 200 LOD 300


Fig. 7. Tower crane model with booms at different LODs.

Pre-Assembly Erection Operation-0-2 Level

Operation-3-9 Level Dismantle Post-Dismantle


Fig. 8. Tower crane planning model at the end of each site-specific crane phase.

evaluation of the alternatives using the traditional manual approach intermediate and final decision on each alternative plans are summar-
was conducted. Table 8 contains the results of both tests. Recall rate ized in Table 9. Given that the final decisions from proposed framework
describes the percentage rate of relevant conflicts the framework suc- are consistent with those provided by the project team, the effectiveness
cessfully retrieved. From the recall rate in Table 8, the researcher ob- is demonstrated.
served that the rule-based 4D approach had a consistently high recall The recall rates of most items were nearly 100%, with an exception
rate and outperformed the manual approach. The framework provides a in spatial conflicts on the atrium panel installation. One false negative
more comprehensive search in the solution space of tower crane plan- was found when the results were compared with the “ground truth”. In
ning. practical terms, engineers believed that when one design alternative
The proposed approach is meant for decision support. To demon- (i.e. index 5.b) was selected the tagline would be blocked by the
strate the correctness of decisions suggested by this approach, the building and deemed unsafe for execution, without using a second pair

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Y. Ji, F. Leite Automation in Construction 93 (2018) 78–90

Table 8
Precision and recall rates based on observation of manual approach and this
framework.
Items analyzed Manual Rule-based Elements needed to
approach 4D approach capture all clashes

Atrium-Spatial Precision 5/5 = 1.00 8/24 = 0.33


(A-S) Recall 5/9 = 0.56 8/9 = 0.89 Tagline, clearance
objects, a new rule
set to represent the
safety protocol for
using taglines
Atrium-Capacity Precision 2/2 = 1.00 7/21 = 0.33
(A-C) Recall 2/7 = 0.29 7/7 = 1.00
CIP Deck-Spatial Precision 4/4 = 1.00 6/23 = 0.26
(D-S) Recall 4/6 = 0.67 6/6 = 1.00
CIP Deck- Precision 4/4 = 1.00 4/18 = 0.22
Capacity (D- Recall 4/4 = 1.00 4/4 = 1.00
C)
Formwork- Precision 2/2 = 1.00 4/30 = 0.13
Capacity (F- Recall 2/4 = 0.50 4/4 = 1.00
C)
Erection/ Precision 3/3 = 1.00 3/10 = 0.30
Dismantle- Recall 3/3 = 0.30 3/3 = 1.00
Fig. 9. Process to conduct rule-based iterative validation of alternative plans. Spatial (ED-
S)

of taglines (see Fig. 11). As taglines were not included in the model, the Note: 1) Precision = TP / (TP + FP), Recall = TP / (TP + FN); 2) TP: true con-
framework failed to capture this conflict. flicts retrieved by prototype, FP: false conflicts retrieved by prototype, FN:
The rule-based 4D plan validation has a relatively low precision actual conflicts, not retrieved by prototype.
rate, even though the recall rate is consistently high, which means the
search is comprehensive in the solution space. We observed that many enough capacity on the farthest panel. Similarly, in the case of stair-
of the retrieved clashes are false positives (FP). For example, the case-2, twelve issues were false positive. The rules cannot distinguish
Formwork-Capacity (F-C) rule set generated 26 false positives (see the cluster of twelve clashes; however, an experienced engineer can
Table 8), of which over half is attributed to the case illustrated in identify the existence of multiple clashes. Given that the automated
Fig. 12. The case is applying the capacity rule set for a staircase well validation leads to a comprehensive identification of issues in a fraction
formwork with alternative plan 4. The system retrieved 17 issues in of the time needed in the manual approach, the example of low pre-
total, out of which 15 were false positives and only two were true po- cision rate is expected and acceptable. In addition, the cost and con-
sitives. False positives are issues that can be resolved if the true posi- sequence of dealing with field detected tower crane issues is prohibi-
tives are resolved. Specifically, for staircase-1, SK575 cannot provide tive. Therefore, the importance of recall outweighs that of precision.
sufficient capacity to four panels. However, three are false positive Table 10 displays the number of steps required to update both
because they will not suffer capacity limitation when SK575 have models and rule sets before the beginning of each iteration. This metric

Fig. 10. Parametric tower crane model.

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Y. Ji, F. Leite Automation in Construction 93 (2018) 78–90

Table 9
Final decisions made by the proposed framework on each alternative in the validation test case.
Alternative Rule-based 4D approach Decision by the project team

A-S A-C D-S D-C F-C ED-S Decision

1 Valid Valid
2 Invalid Invalid Invalid Invalid Invalid
3 Invalid Invalid Invalid Invalid Invalid Invalid
4 Invalid Invalid Invalid Invalid Invalid Invalid Invalid
5 Invalid Invalid Invalid Invalid Invalid Invalid Invalid Invalid

Fig. 11. Schematic view of lifting the end section of the atrium panel using SK315 – tagline issue.

reflects the amount of effort required of the user to ready this system for this proposed system, we were able to review, in less than 30 min, five
the next iteration. The preparation work requires manual input. A alternatives against spatial and capacity conflicts in all four scenarios.
smaller value indicates that the framework can provide higher effi- Admittedly, a user might affect the actual duration of design review
ciency for crane design review. The data shows that a minimal number when implementing this prototype in a real-world project, depending
of manual interventions are needed after the first iteration is complete, on how proficient users are with the system setup. However, the re-
which means a user needs to make only minor updates to the system to search outcome demonstrates the capability of this approach in redu-
prepare it for the next alternative design review. For example, to pre- cing the amount of manual input and improving the level of automation
pare the model for reviewing the alternatives on the spatial rule set in in tower crane design review.
the atrium panel installation, five steps are needed to start: formalized
site-specific constraints, alternative plans, the 4D model, the rule set,
5. Discussions and conclusions
and the iteration process (as shown in Fig. 9). However, starting from
the second round of iteration, only two steps are needed: update the 4D
This study has proposed a framework that integrates 4D modeling
model based on the alternative plan (with the assistance of Dynamo for
and rule-based checking for tower crane design review in the pre-con-
semi-automation), and update the items in the rule set (i.e., manually
struction phase. The prototype system is able to automatically capture
update the objects). Compared to the current manual approach, which
potential spatial and capacity conflicts associated with candidate de-
demands a similar amount of effort for every iteration, this framework
signs. A template of parametric rules for crane design review was de-
can significantly reduce manual input and provides a higher level of
veloped based on prevailing tower crane design standards (i.e., OSHA
automation for tower crane design review. To better contextualize the
1926 and ASME B30.3). In this study, we also developed an approach to
improvement, in the current state of practice the case study's site su-
integrate 4D modeling and rule-based checking to assist design review.
perintendent used drawings and other hardcopy project documents,
This research demonstrates that requirements for a tower crane design-
spending over 2 h to roughly understand if these five design alternatives
reviewing system are different from conventional BIM for design co-
would have any spatial and/or capacity conflicts in only two scenar-
ordination or construction schedule simulation. The performance of this
ios—installing the atrium panels and CIP decks. Whereas, by leveraging
framework is shown through implementing the prototype system in an

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Y. Ji, F. Leite Automation in Construction 93 (2018) 78–90

Fig. 12. Examples of true positives and false positives.

Table 10
Number of steps for preparing the system before each iteration — Efficiency.
Alternatives Atrium panels CIP decks Formwork of staircases Erection & dismantle

Spatial Capacity Spatial Capacity Spatial Capacity Spatial Capacity

1 5 6 4 5 4 5 6 7
2 2 1 1 1 1 1 2 1
3 2 1 1 1 1 1 2 1
4 2 1 1 1 1 1 2 1
5 2 1 1 1 1 1 2 1

actual building construction project. The prototype system was able to and as-planned schedules, respectively.
effectively identify spatial and capacity constraints violated by each In applying the framework to the validation case study, researchers
design alternative. The high recall rate suggests this prototype can found the following limitations. 1) The optimal solution is not ne-
generate reliable evaluations of design alternatives. Meanwhile, the cessarily suggested by this system, as the rules represent the minimal
manual input in the iterative review process was drastically reduced by requirements for feasibility; the optimal solution is a subset of feasible
using the proposed approach when compared to the current approach. designs. 2) Disregarded conflicts could exist, if the site-specific rules or
From a user's standpoint, when checking each design alternative, one model lack associated details, such as the tagline missing from the va-
needs less time as well as less manual intervention. In real-world cases, lidation case.
in a given time frame, the project team can expand the search space and Future work will focus on an approach to further reduce the solution
explore the validity of more design options. Additionally, this frame- space of tower crane planning problem. Crane collaboration will be
work can be adapted to daily tower crane management if as-build considered as additional constraints for validation. To achieve this goal,
models and actual schedules are used as input, instead of design models a promising solution seems to be optimization. Researchers also plan to

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Y. Ji, F. Leite Automation in Construction 93 (2018) 78–90

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