978-981-16-7949-0

Lecture Notes in Civil Engineering
Han Ay Lie · Monty Sutrisna ·

Joewono Prasetijo ·
Bonaventura H.W. Hadikusumo ·
Leksmono Suryo Putranto Editors
Proceedings
of the Second
International Conference
of Construction,
Infrastructure, and
Materials
ICCIM 2021, 26 July 2021, Jakarta,
Indonesia
Volume 216
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Han Ay Lie Monty Sutrisna
• •
Joewono Prasetijo
•
Bonaventura H.W. Hadikusumo •
Leksmono Suryo Putranto

Editors
Proceedings of the Second

International Conference
of Construction,
Infrastructure, and Materials
ICCIM 2021, 26 July 2021, Jakarta, Indonesia
123
Editors
Han Ay Lie Monty Sutrisna
Department of Civil Engineering School of Built Environment
Diponegoro University Massey University
Semarang, Indonesia Auckland, New Zealand
Joewono Prasetijo Bonaventura H.W. Hadikusumo

Department of Transportation Engineering Department of Construction, Engineering
Technology and Infrastructure Management
Universiti Tun Hussein Onn Malaysia Asian Institute of Technology
Panchor, Malaysia Klong Luang, Thailand
Leksmono Suryo Putranto

Civil Engineering Department
Universitas Tarumanagara
Jakarta Barat, Indonesia
ISSN 2366-2557 ISSN 2366-2565 (electronic)

ISBN 978-981-16-7948-3 ISBN 978-981-16-7949-0 (eBook)
https://doi.org/10.1007/978-981-16-7949-0
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Organization
Steering Committee
Prof. Han Ay Lie, Diponegoro University, Indonesia

Prof. Buntara Sthenly Gan, Nihon University, Japan
Dr. Najid, Universitas Tarumanagara, Indonesia
Dr. Widodo Kushartomo, Universitas Tarumanagara, Indonesia
International Scientific Committee
Prof. Leksmono Suryo Putranto, Universitas Tarumanagara, Indonesia

Prof. Buntara Sthenly Gan, Nihon University, Japan
Dr. Dimas Bayu Endrayana Dharmowijoyo, Universiti Teknologi Petronas,
Malaysia
Dr. Bashar S. Mohammed, Universiti Teknologi Petronas, Malaysia
Dr. Andri Setiawan, Ecole Polytechnique Federale de Lausanne, Switzerland
Dr. Fadhilah Muslim, Universitas Indonesia, Indonesia; Technical University of
Munich, Germany
Prof. Han Ay Lie, Universitas Diponegoro, Indonesia
Prof. Chaidir Anwar Makarim, Universitas Tarumanagara, Indonesia
Prof. Dewa Made Priyantha Wedagama, Universitas Udayana, Indonesia
Prof. Sofyan M. Saleh, Universitas Syiah Kuala, Indonesia
Prof. Eng. Joni Arliansyah, Universitas Sriwijaya, Indonesia
Prof. Sakti Adji Adisasmita, Universitas Hassanuddin, Indonesia
Prof. Siti Malkhamah, Universitas Gadjah Mada, Indonesia
Prof. Krishna Mochtar, Institut Teknologi Indonesia, Indonesia
v
vi Organization
Prof. Ade Sjafruddin, Institut Teknologi Bandung, Indonesia

Prof. Ludfi Djakfar, Universitas Brawijaya, Indonesia
Prof. Wimpy Santosa, Universitas Parahyangan, Indonesia
Prof. Antonius, Universitas Islam Sultan Agung, Indonesia
Prof. Erika Buchari, Universitas Sriwijaya, Indonesia
Prof. Ria Asih Aryani Soemitro, Institut Teknologi Sepuluh November, Indonesia
Prof. I Nyoman Arya Thanaya, Universitas Udayana, Indonesia
Dr. Hermawan, Universitas Katolik Soegijapranata, Indonesia
Dr. Maria Wahyuni, Universitas Katolik Soegijapranata, Indonesia
Dr. Djoko Suwarno, Universitas Katolik Soegijapranata, Indonesia
Dr. Bayu Martanto Adji, Universitas Andalas, Indonesia
Dr. Aine Kusumawati, Institut Teknologi Bandung, Indonesia
Dr. Bagus Hario Setiadji, Universitas Diponegoro, Indonesia
Dr. Basuki Anondho, Universitas Tarumanagara, Indonesia
Dr. Widodo Kushartomo, Universitas Tarumanagara, Indonesia
Dr. Najid, Universitas Tarumangara, Indonesia
Dr. Dewanti Marsoyo, Universitas Gadjah Mada, Indonesia
Dr. Wati A. Pranoto, Universitas Tarumanagara, Indonesia
Dr. Noor Mahmudah, Universitas Muhammadiyah Yogyakarta, Indonesia
Dr. Eng. Muhammad Isran Ramli, Universitas Hassanuddin, Indonesia
Dr. Eng. Imam Muthohar, Universitas Gadjah Mada, Indonesia
Dr. Achmad Wicaksono, Universitas Brawijaya, Indonesia
Dr. Caroline A. Sutandi, Universitas Parahyangan, Indonesia
Dr. Hera Widyastuti, Institut Teknologi Sepuluh November, Indonesia
Dr. R. Sony Sulaksono Wibowo, Institut Teknologi Bandung, Indonesia
Dr. Resdiansyah, Universitas Pembangunan Jaya, Indonesia
Dr. Yosritzal, Universitas Andalas, Indonesia
Dr. M. Asad Abdurrahman, Unversitas Hassanuddin, Indonesia
Dr. Eng. M. Zudhy Irawan, Universitas Gadjah Mada, Indonesia
Dr. Ir. Hitapriya Suprayitno, M.Eng., Institut Teknologi Sepuluh November,
Indonesia
Dr. Ani Hairani, Universitas Muhammadiyah Yogyakarta, Indonesia
Dr. Hendy Setiawan, Universitas Gadjah Mada, Indonesia
Dr. Alfred Jonathan Susilo, Universitas Tarumanagara, Indonesia
Dr. Aksan Kawanda, Universitas Trisakti, Indonesia
Dr. Nurul Fajar Januriyadi, Universitas Pertamina, Indonesia
Dr. Neil Andika, Universitas Gadjah Mada, Indonesia
Dr. Faizal Immaddudin Wira Rohmat, Institut Teknologi Bandung, Indonesia
Dr. Usman Wijaya, Universitas Kristen Krida Wacana, Indonesia
Dr. Leni Sagita Riantini, Universitas Indonesia, Indonesia
Dr. Hendrik Sulistio, Universitas Tarumanagara, Indonesia
Dr. Jane Sekarsari, Universitas Trisakti, Indonesia
Organization vii
Local Organizing Committee
Chairman
Prof. Chaidir Anwar Makarim, Universitas Tarumanagara, Indonesia
Vice Chairwoman
Anissa Noor Tajudin, Universitas Tarumanagara, Indonesia
Members
Prof. Leksmono Suryo Putranto, Universitas Tarumanagara, Indonesia
Yenny Untari, Universitas Tarumanagara, Indonesia
Dewi Linggasari, Universitas Tarumanagara, Indonesia
Vittorio Kurniawan, Universitas Tarumanagara, Indonesia
Aniek Prihatiningsih, Universitas Tarumanagara, Indonesia
Arif Sandjaya, Universitas Tarumanagara, Indonesia
Abdul Roji, Universitas Tarumanagara, Indonesia
Slamet Riyadi, Universitas Tarumanagara, Indonesia
Daniel Christianto, Universitas Tarumanagara, Indonesia
Arianti Sutandi, Universitas Tarumanagara, Indonesia
Ni Luh Putu Shinta Eka Setyarini, Universitas Tarumanagara, Indonesia
Anugerah Tiffanyputri, Universitas Tarumanagara, Indonesia
Matthew Ephraim, Universitas Tarumanagara, Indonesia
Saskia Calysta Zetira, Universitas Tarumanagara, Indonesia
Channy Saka, Universitas Tarumanagara, Indonesia
Jessica Clarita, Universitas Tarumanagara, Indonesia
Prem Singh, Universitas Tarumanagara, Indonesia
Federick Luanga, Universitas Tarumanagara, Indonesia
Preface
This new volume of Lecture Notes in Civil Engineering contains the proceedings
of the Second International Conference of Construction, Infrastructure, and
Materials (ICCIM 2021). This book presents the latest development in civil engi-
neering on a global scale. It highlights the conference scopes, such as Structural
Engineering, Construction Materials, Geotechnical Engineering, Transportation
System and Engineering, Constructions Management, Water Resources
Engineering, and Infrastructure Development. The 55 articles published in this
book went through peer-review processes double-blindly and plagiarism check.
Manuscript assessments by the expert reviewers were based on the organizer’s
technical criteria, including technical criteria, quality criteria, and presentation
criteria.
The Second International Conference of Construction, Infrastructure, and
Materials (ICCIM 2021) was hosted by the Civil Engineering Undergraduate Study
Program of Universitas Tarumanagara, Indonesia, on 26 July 2021. The conference
brought together national and international experts to share their researches,
knowledge, and experiences. ICCIM 2021 carried the theme “Research and
Technology in Civil Engineering to Enhance the Sustainability of the Built
Environment”.
Due to the global COVID-19 pandemic, which has impacted all activities
globally, ICCIM 2021 was held as an online conference. ICCIM 2021 online
conference aimed to capture a broader range of participants. The Conference was
also expected to facilitate researchers, practitioners, and students in their respective
fields of expertise to share information and exchange ideas about the current state of
civil engineering development.
ICCIM 2021 was supported by Massey University, New Zealand; Universiti Tun
Hussein Onn Malaysia, Malaysia; Nihon University, Japan; fib Indonesia;
Diponegoro University, Indonesia; Soegijapranata Catholic University, Indonesia;
Universitas Sebelas Maret, Indonesia; and Universitas Atma Jaya Yogyakarta,
Indonesia.
ICCIM 2021 has received papers from various countries, such as Indonesia,
Japan, Thailand, the United Kingdom, the United States of America, the
ix
x Preface
Philippines, India, Nigeria, and Bangladesh. More than 600 researchers, practi-
tioners, and students from all over the world registered to attend the Conference.
We are likewise grateful to the keynote speakers for bringing the exciting topics
to ICCIM 2021: Prof. Roesdiman Soegiarso (Universitas Tarumanagara,
Indonesia); Prof. Monty Sutrisna (Massey University, New Zealand); Dr.-Ing.
Joewono Prasetijo (Universiti Tun Hussein Onn Malaysia, Malaysia); and Dr. Tam
Chat Tim (National University of Singapore, Singapore).
We would also like to extend our appreciation to the supporting institutions.
Secondly, thank you to the sponsors for the utmost support and kind contribution:
PT. Waskita Karya (Persero) Tbk, PT. Pamapersada Nusantara, and PT. Bank
Negara Indonesia Tbk.
Many people have worked very hard for the organization of this Conference.
Special thanks are needed to the Organizing Committee, Steering Committee,
Editorial Board, and Scientific Committee. All of whom have generously worked to
make this Conference rich in content and pleasant for the attendees. We would also
like to thank all the authors who have contributed to the success of this Conference.
Semarang, Indonesia Han Ay Lie

Auckland, New Zealand Monty Sutrisna
Panchor, Malaysia Joewono Prasetijo
Klong Luang, Thailand Bonaventura H. W. Hadikusumo
Jakarta Barat, Indonesia Leksmono Suryo Putranto
Contents
Additional Horizontal Movement of the Single Pile Foundation

with Combined Loads . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Sumiyati Gunawan, Niken Silmi Surjandari, Bambang Setiawan,
and Yusep Muslih Purwana
The Combined Effects of Terraces Slope Model and Geotextile
Reinforcement Design in Sendangmulyo, Wonogiri . . . . . . . . . . . . . . . . 13
Siti Nurlita Fitri and Niken Silmi Surjandari
Erosion and Distribution of Total Suspended Sediment (TSS)
Using Landsat-8 in Krueng Pase Watershed . . . . . . . . . . . . . . . . . . . . . 23
Ichwana Ramli, Ashfa Achmad, Hairul Basri, and Atika Izzaty
Shoreline Change Cause of Abrasion in Bantan District Bengkalis
Island as the Outstanding Beach Area . . . . . . . . . . . . . . . . . . . . . . . . . . 35
H. Tampubolon
Nonlinear Effect of Fluid–Structure Interaction Modeling
in the Rock-Fill Dam Jatiluhur . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49
Albert Sulaiman, Wati A. Pranoto, Tati Zera, and Mouli De Rizka
Dewantoro
Assessment of Flooding Event in the Upper Sunter Watershed,
Jakarta, Indonesia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
Anasya Arsita Laksmi, Anthony Harlly Sasono Putro,
Wisnu Setia Dharma, Pungky Dharma Saputra, Nina Purwanti,
and Muhammad Hamzah Fansuri
Modeling of Flood Propagation in the Lower Citarum River
Using a Coupled 1D-2D HEC-RAS Model . . . . . . . . . . . . . . . . . . . . . . . 77
Angga Prawirakusuma, Sri Legowo Wignyo Darsono,
and Arno Adi Kuntoro
xi
xii Contents
Review: Effects of Climate on the Geochemical Properties of Volcanic

Rocks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85
Novi Asniar, Yusep Muslih Purwana, Niken Silmi Surjandari,
and Bambang Setiawan
Analysis of the Utilization of the Embung Klampeyan, Tlogoadi
Village, Mlati District, Sleman Regency, Indonesia . . . . . . . . . . . . . . . . 93
Edy Sriyono
Analysis of Shift Pile Foundation on Mall and Hotel Projects
in Bontang, East Kalimantan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105
Nicholas Joshua and Alfred Jonathan Susilo
Analysis of Diaphragm Wall Stability with Dewatering and Ground
Freezing Treatment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117
Eduard Teja and Aniek Prihatiningsih
Analysis of Hollow Concrete Column with CFRP Wrapping Using
Finite Element Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129
William Supardjo and Sunarjo Leman
The Use of Fly Ash in Pervious Concrete Containing Plastic Waste
Aggregate for Sustainable Green Infrastructure . . . . . . . . . . . . . . . . . . . 141
Steve W. M. Supit and Priyono
Artificial Aggregate Made from Expanded Polystyrene Beads Coated
with Cement Kiln Dust—An Experimental Trial . . . . . . . . . . . . . . . . . . 153
A. P. Wibowo, M. Saidani, and M. Khorami
Load Transfer Shear Wall to Pile Cap Modelling Partially
for Group Precast Pile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 165
Daud Rahmat Wiyono, Roi Milyardi, Yosafat Aji Pranata,
Asriwiyanti Desiani, Ginardi Husada, and Maria Christine Sutandi
Effect of Cement–Water Ratio on the Mechanical Properties
of Reactive Powder Concrete with Marble Powder as Constituent
Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 177
Widodo Kushartomo, Henny Wiyanto, and Daniel Christianto
Structural Analysis Using Matched Acceleration Time Histories . . . . . . 187
Windu Partono
Non-linear Analysis of Steel Shear Key at Epoxy Joint . . . . . . . . . . . . . 199
Khairunnisa Masturoh, Nuraziz Handika, and Heru Purnomo
On-Field Testing of the Monolith Joint of the Full Slab
on a Slab-on-Pile Bridge . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 213
Ahmad Zaki Risadi, Josia Irwan Rastandi, Bastian Okto Bangkit Sentosa,
and Nuraziz Handika
Contents xiii
Seismic Design Load Comparison of Reinforced Concrete Special

Moment Frame and Dual Systems Based on SNI 1726:2019 . . . . . . . . . 231
Suradjin Sutjipto and Indrawati Sumeru
Analysis of Asphalt Damping Ratio on Shear Test . . . . . . . . . . . . . . . . . 239
Sunarjo Leman, Maria Kevinia Sutanto, Elizabeth Ivana Harsono,
Vryscilia Marcella, Anugerah Tiffanyputri, and Yuskar Lase
Analysis of the Sand Grains Influence on Damping Ratio Using
Shear Test . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 247
Daniel Christianto, Vryscilia Marcella, Channy Saka,
Alvira Nathania Tanika, and Yuskar Lase
Parametric Study on Neutral Axis Growth of Concrete Beams
Reinforced with Fiber-Reinforced Polymer and Steel Bars . . . . . . . . . . 255
Ahmad Zaki and Rendy Thamrin
Dr. Saharjo Road Condition Audit Using IRAP Method
to Achieve 3 Star Rating . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 265
Ni Luh Putu Shinta Eka Setyarini and Garry Edison
Analyzing Zones and Accessibility of Public Senior High School
in Makassar City . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 277
Ardiansyah, Syafruddin Rauf, and Sumarni Hamid Aly
Evaluation Readiness of Contractor and Government in Implementing
the Road Preservation Program: Case Study National Road
in Indonesia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 289
Maharani Pasha Umar, Ayomi Dita Rarasati, and R. Jachrizal Sumabrata
Analysis of Travel Behavior Under Flooding Condition Based
on Probe Data in Ubon Ratchathani City, Thailand . . . . . . . . . . . . . . . 303
Noriyasu Tsumita, Kohga Miyamura, Sittha Jaensirisak,
and Atsushi Fukuda
Modeling Movement of Rice Commodities Between Provinces
in Indonesia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 317
Dwi Novi Wulansari, Saskia Kanisaa Puspanikan,
and Zafir Istawa Pramoedya
Single Tariff System to Provide Incentive for Longer Distance
Users and to Keep Efficient Toll Gates Operations . . . . . . . . . . . . . . . . 329
Apta Sampoerna and Leksmono Suryo Putranto
Analysis of Transportation Accessibility in Shopping Areas
in Makassar City . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 341
Jefryanto Londongsalu, Syafruddin Rauf, and Sumarni Hamid Aly
xiv Contents
Priority of Sustainable Transport Policy Implementation

in Expert Perspective . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 353
Nindyo Cahyo Kresnanto, Ricko Nasrianda Sinaga, Risdiyanto,
and Wika Harisa Putri
Prioritizing District Road Maintenance Using AHP Method . . . . . . . . . 363
Nindyo Cahyo Kresnanto
Overview of Side Friction Factors for Evaluation of Capacity
Calculation at Indonesian Highway Capacity Manual . . . . . . . . . . . . . . 373
Najid and Tamara Marlianny
Thickness Pavement Design Based on Heavy Vehicle Loads . . . . . . . . . 385
Anita Rahmawati, Emil Adly, and Wahyu Widodo
Performance of Polymer Modified Asphalt Mixture Using Gypsum
Filler . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 399
Rindu Twidi Bethary, Dwi Esti Intari, and Siti Asyiah
Resistance of Modified Concrete-Wearing Course Mixture Using
LDPE Polymer Against Damage Due to Water Immersion . . . . . . . . . . 411
Indah Handayasari, Dyah Pratiwi Kusumastuti,
and Arief Suardi Nur Chairat
Experimental Study on the Self-healing Ability of Wearing
Course-Asphalt Concrete Mixes Reinforced with Steel Particles . . . . . . 421
Anissa Noor Tajudin, Arif Sandjaya, Daniel Christianto,
and M. Bagas Haris Kurniawan
The Use of Gauss-Jordan Elimination Method in Determining
the Proportion of Aggregate Gradation . . . . . . . . . . . . . . . . . . . . . . . . . 431
Bagus Hario Setiadji, Supriyono, and Amelia Kusuma Indriastuti
Conceptual System Model Dynamic OSH Performance Improvement
of Building Construction Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 441
Feri Harianto, Nadjadji Anwar, I Putu Artama Wiguna, and Erma Suryani
Experiment the Effect of Providing Monetary Incentives
and Safety Patrols on Work Safety Behavior in Construction
Project Implementation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 449
Feri Harianto, Nadjadji Anwar, I Putu Artama Wiguna, and Erma Suryani
Development of Activity-Based Safety Plan for Precast Parapet
Panel Work in Elevated Construction . . . . . . . . . . . . . . . . . . . . . . . . . . 459
Pungky Dharma Saputra, Anasya Arsita Laksmi, Nina Purwanti,
and Muhammad Hamzah Fansuri
Contents xv
Game Theory Approach for Risk Allocation in Public Private

Partnership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 471
Adhika Nandi Wardhana, Farida Rachmawati, and Erwin Widodo
Analysis of Change Orders Based on the Type of Road
Construction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 479
Mega Waty and Hendrik Sulistio
Implementation of Occupational Safety and Health Management
Systems During COVID-19 Pandemic on High-Rise Building
Construction Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 489
Alexsander Martin and Mega Waty
Developing Knowledge Management Strategy to Improve Project
Communication in Construction of Coal Mining Infrastructure:
A Conceptual Study . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 497
Alfandias Seysna Putra, Leni Sagita Riantini, and Mohammad Ichsan
Portable Structure for Post-disaster Temporary Shelter . . . . . . . . . . . . 511
Bayu Ariaji Wicaksono, Dalhar Susanto, and Emirhadi Suganda
Concrete Damage Risk Rating Examination to Existing Buildings . . . . . 523
Henny Wiyanto, Reagen Yocom, and Glen Thenaka
A Literature Review of Life Cycle Costing of Dam Asset
Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 533
Ismi Astuti Anggraini, Ayomi Dita Rarasati, and R. Jachrizal Sumabrata
An Explorative Study to Public Rental Housing’s Tenants Using
Importance Performance Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 543
Indira Surya Kumala and Farida Rachmawati
Modeling of Conceptual Framework to Understand Stakeholders’
Awareness in Construction Industry in Thailand Affected
by the 3rd Wave of COVID-19 Pandemic . . . . . . . . . . . . . . . . . . . . . . . 557
Nattasit Chaisaard and Grit Ngowtanasuwan
A Literature Review on Healthy Buildings Based on Various
Perspectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 567
Louferinio Royanto Amatkasmin, Mohammed Ali Berawi,
and Mustika Sari
Analysis of Dominant Influence Factors of the Application
of the Incentive Plan Model on the Material Waste . . . . . . . . . . . . . . . . 585
Triongko Agatha Bayuaji and Basuki Anondho
Accuracy of Schedule Performance Calculation with ES Method
and EV Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 597
Cangga Kristiandi and Basuki Anondho
xvi Contents
Analysis of Dominant External Factors on Construction Project

Overhead Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 609
Hendi Wijaya and Basuki Anondho
A Competency Model of Thai Small-Medium Enterprise Contractors
for Owner Satisfaction in Construction Projects . . . . . . . . . . . . . . . . . . 619
Grit Ngowtanasuwan
About the Editors
Prof. Dr. Han Ay Lie is working as Professor in the Department of Civil

Engineering, Diponegoro University, Indonesia. At present, she is also Chairwoman
of the International Federation of Structural Concrete Indonesia (fib-Indonesia). She
has also taken the role of external examiner and is Advisor for many national and
international universities. Her research interests include graded concrete,
fibre-reinforced plastics for concrete, retrofitting and external reinforcing, modeling,
and finite element analysis.
Prof. Dr. Monty Sutrisna is Professor of Construction and Project Management at

Massey University, New Zealand. He is currently Head of the School of Built
Environment at the same institution. His expertise includes Construction and
Engineering Management, Construction Productivity, Construction Procurement
and Contracts, Construction IT and other Advanced Technologies applied in
Construction, Construction Project Management, Decision Making
Modelling/Support, and Knowledge-Based Systems and Artificial Intelligence.
Dr.-Ing. Joewono Prasetijo teaches in the Department of Transportation Engi-

neering Technology at Universiti Tun Hussein Onn Malaysia (UTHM), Malaysia. He
has been Head of the Industry Center of Excellence—Railway (ICoE Rel) of
Universiti Tun Hussein Onn Malaysia (UTHM) since 2020. He is professionally
certified as Permanent Way Inspection: CO2 Track Maintenance Works (2019) and
Professional Technologist (2020). His research interests include land transportation
engineering, transportation safety, and rail technology.
xvii
xviii About the Editors
Prof. Dr. Bonaventura H. W. Hadikusumo is Professor at the School of

Engineering and Technology, Asian Institute of Technology, Thailand. His key
expertise and interests encompass the area of safety management, system dynamics,
project visualization, intelligent agent system, knowledge management tools, IT
applications like building information modeling (BIM) and simulation in construction
site improvement, and Web-based project management.
Prof. Dr. Leksmono Suryo Putranto is Professor in the Department of Civil

Engineering, Universitas Tarumangara, Indonesia. He has been actively involved in a
leading role in research conferences as organizing and scientific committees. He
currently acts as Chief of Research and Development Commission in Jakarta
Transportation Council. Social psychology, safety engineering, and transportation
engineering are some of his areas of expertise and interest.
Additional Horizontal Movement
of the Single Pile Foundation
with Combined Loads
Sumiyati Gunawan , Niken Silmi Surjandari, Bambang Setiawan,

and Yusep Muslih Purwana
Abstract Pile-foundation support the upper structure to the subgrade, it generally

supports vertical loads, occasionally when the horizontal loads are found to be more
dominant, it becomes an important consideration in the design. Pile foundations with
combined loads are generally analyzed separately, however on the site, the two loads
work simultaneously. In-Indonesia, particularly, loading tests do not performed once.
Therefore, it does not account for the additional vertical displacement and lateral
deflection. Therefore, this research was conducted to investigate and analyze, effect
of horizontal loads or displacement on a single pile foundation in order to determine
the impact of combined loads. It was also used to determine their relationship which is
expected to be used as a reference in analyzing additional horizontal displacement
through independent loading test. The process was in three stages with the first being
the preliminary analysis through 2D Finite Element Method (2D-FEM) Plaxis2D8.6
while the second was an experimental test in the laboratory, and third, being the
analysis through 3D-FEM Plaxis3DFoundation1.1 for validation with soil data and
loading test on several projects in the field and the results showed the horizontal
deflection increased significantly after reaching (Pu.D)/(Hu.L.E) 2.5 10−6.
This increment is required to be considered in the design.
Keywords Combined-load Single-pile Horizontal-displacement
1 Introduction
The foundation supports structural loads and transmits to the subgrade, usually
using pile foundations, not only supporting axial loads, horizontal loads are dom-
inant in some other structures. This means it is very important to calculate the
S. Gunawan (&) N. S. Surjandari B. Setiawan Y. M. Purwana

Department of Civil Engineering, Sebelas Maret University, Surakarta, Indonesia
e-mail: sumiyatig07@gmail.com
S. Gunawan
Department of Civil Engineering, Atma Jaya Yogyakarta University, Sleman, Indonesia
© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 1
H. A. Lie et al. (eds.), Proceedings of the Second International Conference
of Construction, Infrastructure, and Materials, Lecture Notes in Civil Engineering 216,
https://doi.org/10.1007/978-981-16-7949-0_1
2 S. Gunawan et al.
horizontal loads in pile foundations [1]. Combined loads are seldomly analyzed in
simultaneity. This involves calculating the axial load first to determine the axial
carrying capacity and vertical displacement followed by determining the lateral load
to evaluate the lateral bearing capacity and deflection. Meanwhile, the two loads
work simultaneously on the site [2]. In Indonesia, these loading tests are not usually
conducted simultaneously, and this means the additional lateral deflection due to
the combined loads is not considered in construction as required by the ASTM
D3966-07 [3].
Previous studies reported the reduction of lateral deflection in pile foundation
under combined loads due to axial loads [4], while lateral loading was discovered
not to be causing any vertical movement but has the ability to increase the
movement in combined loads [5]. A study also showed lateral bearing was reducing
as the embedded part of the pile decreased while lateral deflections reduced with the
increase in vertical load on the pile head [6]. Three-dimensional finite element
analysis was also conducted to determine the influence of combined axial and
lateral loads on homogeneous clay and sandy soils. The results showed a significant
increase in the effect of axial load on the lateral bearing capacity in sandy soil and a
slight decrease in clay soil, but a substantial influence of axial load was recorded for
sandy soils, even for piles with 30D, D = Diameter in length, and a less significant
impact was found with clay soils for piles above 15D in length [7].
Another test on poorly graded sand with variations in the pile and loading also
showed an increase in the lateral bearing capacity as the vertical load was increased
[8]. Numerical study analysis of pile-soil interactions which were subjected to axial
and lateral loads simultaneously using LPILE, a finite element (FE) model with
Abaqus/Cae and SAP 2000, showed an increase in axial load caused a reduction in
the induced bending moment and lateral deflection and this subsequently increased
its capacity to withstand lateral forces [9]. It was also discovered in another research
that the influence of axial loads on the lateral bearing capacity pile increased
significantly in sandy soils but less significant in loamy soils [10].
Vertical loads were also reported to have less effect on lateral resistance in sandy
soils, but the progression was observed to be increasing as the soil density increased
[11, 12]. Moreover, the influence of axial load on lateral bearing capacity signifi-
cantly increased in sandy soils and slightly in clay soils while the square-shaped
pile was found to have the ability to withstand 1.3 times more load than the round
pile [13]. The numerical analysis also showed the effects of combined loads are
beneficial, but the interactions were very complex and, depending on the load
conditions, there is a possibility of a contrary effect on system rigidity and max load
[14]. Limited experimental research discovered the application of a static axial load
has a minimal effect on the lateral behavior of micropiles fixed in rigid clay soil
[15]. Furthermore, some studies also provided evidence that lateral loads were
decreased in combined loads even though deflection was reduced by axial loads due
to their presence.
The initial analysis using FEM with several load combinations, pile dimensions,
and soil types (homogeneous and non-homogeneous, submerged or drained)
showed that by comparing the lateral forces, vertical forces, pile dimensions, and a
Additional Horizontal Movement of the Single Pile … 3
certain modulus of soil elasticity, the horizontal deflection increases significantly at

a certain point until the period of collapse due to combined forces. Therefore, this
research was conducted to investigate the effects of simultaneous axial and lateral
loading on a horizontal deflection in a single pile foundation. It was also intended to
obtain the axial-lateral load relationship which can be used as a reference to analyze
additional horizontal deflection due to simultaneous loading through the use of an
independent loading test. The process was divided into three stages, with the first
being the analysis conducted using the Finite Element Method Plaxis2D approach,
the second was the Laboratory Model Experimentation test. The model used was a
150 150 120 cm box filled with silty-sand soil, pile foundation steels at 50
and 60 cm lengths and 1.5 and 2 cm diameters, load variations, and combined loads
and the third with being the analysis conducted using the Finite Element Method
Plaxis3D approach based on the results of loading tests in several projects in the
field.
2 Research Method
The process was divided into three stages.
2.1 Stage I: Analysis Using Finite Element Method 2D
The analysis was conducted using the 2D Finite Element Method (2D-FEM) with
Plaxis2D8.6, and this involved modeling a single pile foundation with the
axisymmetry menu on the FEM. The variables used include the axial, lateral, and
combined loadings, lengths and diameters of the pile, and soil types (soft, medium,
or dense, homogeneous or layered, submerged or drained). The variations of the
soil parameters are presented in Tables 1 and 2.
2.2 Stage II: Laboratory Model Experimental Test
The model was a 1.5 1.5 1.5 m3 test box filled with silty-sand soil obtained
from Berbah District, Sleman City, Yogyakarta. The pile foundations were modeled
using steel bars with 0.5 and 0.6 m lengths and 0.015 and 0.02 m diameters and
subjected to axial, horizontal, and combined loads. The model is presented in Fig. 1
and the differences in foundations’ lengths and diameters and combined loads
(loading rate every 10 min with interval load 2500 g for vertical load and 500 g for
lateral load, the addition of the load is carried out after the decreasing speed is less
than 0.05 mm/10 min (<0.0125 mm/2.5 min)), are indicated in Table 3.
4 S. Gunawan et al.
Table 1 Variations of soil parameters

Name T3 T5 T6 Pile
Lyr. 1 Lyr. 2 Lyr. Lyr. 1 Lyr. 2 Lyr. 3 Lyr. 4
1
Material MC MC MC MC MC MC MC LE
Condition D D D D D D D NP
ck (kN/m3) 16 17 16.5 11.86 12.22 12.86 13.57 24
csat (kN/ 20 21 20 17.5 18.03 17.67 17.83 25.33
m3)
E (kN/m2) 1.2 1.2 8 1.6 1.6 1.6 1.6 0.3
105 105 104 106 106 106 106
Poisson 0.3 0.3 0.3 0.3 0.3 0.3 0.3
ratio (µ)
Cohesion 1 1 1 2.05 2.3 0.05 0.02
(kN/m2)
/ (o) 30 33 31 30 30 35 40
Rinter 1 0.7 1 0.4 0.35 0.7 0.7 1
D Drained, NP nonporous, MC Mohr Coulomb, LE linear elastic
Table 2 Variation of the load Type of Pile Load (kN), until it collapses
on FEM 2D soil dimensions
D L Lateral Axial Combined
(m) (m)
T5 0.65 17 OK OK OK
T5 0.65 30 OK OK OK
T3 0.65 22 OK OK OK
T3 0.65 26 OK OK OK
T3 0.65 30 OK OK OK
T6 0.6 17 OK OK OK
T5 soft soil, T3 medium soil, T6 hard soil
2.3 Stage III: Analysis Using Finite Element Method 3D
The analysis was carried out using the Finite Element Method (FEM) with 3D
Plaxis, and this involved modeling a single pile foundation with soil data from
several projects in the field, namely: Citarum Bridge, South Jakarta Cikampek II;
Dompak Bridge, Tanjung Pinang, Riau; PLTU Batang, Central Java, The variables
used include axial, lateral, and combined loads until it collapses, presented in
Table 4.
Fig. 1 Laboratory test model
Table 3 Variation of loads Type of Pile Load (g) (until collapsed)

soil dimensions
(m) (m)
Silty 0.015 0.5 OK OK OK
sand
Silty 0.02 0.6 OK OK OK
sand
Table 4 Variation of the load Project Pile Load (kN), until it collapses
on FEM 3D dimensions
(m) (m)
Citarum 1.20 20 OK OK OK
bridge
Dompak 1.00 18 OK OK OK
bridge
PLTU 0.60 17 OK OK OK
6 S. Gunawan et al.
3 Results and Discussion
3.1 Result
Analysis with 2D-FEM, with axial loading, lateral loading, combined loads (axial
and lateral), variation of length and diameter of the pile, soft soil type, medium and
dense, homogeneous soil and layered, submerged and not submerged in water,
illustrates movement at the head of the pile due to axial and lateral loading as shown
in Fig. 2, from the initial research, it is obtained as shown in Fig. 3, one inflection
point of the increase in lateral deflection for each soil density is at (Pu.D)/(Hu.L)
and Fig. 4 shows the same inflection point after taking into account the soil density
factor (elastic modulus of soil) is at (Pu.D)/(Hu.LE) 2.5 10−6.
Experimental tests of laboratory scale models, with silty sand as a description of
conditions in the field, using the single pile foundation of steel with a length of 0.5
and 0.6 m, the diameter of 0.015 and 0.02 m, and the movement at the head of the
pile with variations in axial loads and lateral loads are presented in Fig. 5. While the
horizontal movement because of the combination of loads is shown in Fig. 6.
Fig. 2 Movement at the head of the pile (FEM 2D). a Displacement vertical without lateral load,
b deflection horizontal without axial load
Fig. 3 Horizontal deflection at the head of the pile (FEM 2D). a Horizontal deflection for T5 (soft
soil), b horizontal deflection for T3 (medium density soil), c horizontal deflection for T6 (dense
soil)
Fig. 4 Horizontal deflection at the head of the pile based (FEM 2D)
8 S. Gunawan et al.
Fig. 5 Movement at the head of the pile (laboratory test). a Displacement vertical without lateral
load, b deflection horizontal without axial load
Analysis with FEM 3D, with axial loading, lateral loading, combined loads
(axial and lateral), based on soil data from several projects in the field, movement at
the head of the pile due to axial and lateral loading are shown in Figs. 7 and 8.
3.2 Discussion
The lateral loads were observed to have increased the vertical downward movement
while the vertical loads increased the lateral load capacity in all slenderness ratios
for the combined loads, as previously stated. There was also no limit on how much
the combined load ratio affected the vertical subsidence and lateral deflection on the
pile foundation. Moreover, something new was found with the FEM 2D analysis
and this was that the horizontal deflection started to increase significantly after
reaching the load (Pu.D)/(Hu.LE) 2.5 10−6 up to the moment it collapsed
Fig. 6 Horizontal deflection at the head of the pile (laboratory test)
when combined axial and lateral loads acted on the pile foundation, where Pu is
axial load (kN, g), D = Diameter of the pile (m), Hu = lateral load (kN, g),
L = length of the pile (m) and E = modulus elastic of silty sand (kN/m2, g/cm2).
Following up on the preliminary FEM 2D analysis test above, the research was
continued with a scale-3D experimental test in the laboratory and validation by
modeling the FEM 3D using 3D based on loading test data on several projects in
the field. The test results for scale-3D experimental test in the laboratory and
validation by modeling the FEM 3D not much different from FEM 2D, that hori-
zontal deflection was increased significantly at (Pu.D)/(Hu.LE) 2.5 10−6, to
the period of collapse due to axial forces.
10 S. Gunawan et al.
Fig. 7 Movement at the head of the pile (FEM 3D). a Displacement vertical without lateral load,
b deflection horizontal without axial load
4 Conclusion
This research focused on investigating the effect of combined loads on the hori-
zontal displacement of single pile foundations through analyses and laboratory
experiments. It was also used to determine the relationship to be used as a reference
to analyze additional horizontal displacement on a single pile foundation.
A preliminary 2D-FEM analysis was first conducted, and this was followed by the
laboratory experiment and further validated with a 3D-FEM model using loading
test data from several field projects.
The results from the experiments and 3D-FEM modeling were observed not to
be much different from those obtained from the 2D-FEM for single pile foundation
that on (Pu.D)/(Hu.L.E) 2.5 10−6. The horizontal displacement was observed
to have increased significantly due to the combined load.
Fig. 8 Horizontal deflection

at the head of the pile (FEM
3D)
This, therefore, needs to be considered in calculating and planning the pile

foundations’ bearing capacity. The layered soil was also observed to have different
young modulus and shear modulus values and this means the horizontal deflection
added was not linear. Therefore, further research is required to determine the
average curvature of the line and the curve equation for the increase in lateral
deflection in order to estimate the horizontal deflection added and Full-scale models
also need to be verified through further studies to obtain satisfactory results.
12 S. Gunawan et al.
References
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J Geotech Eng 114(11):1261–1276
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geotechnical engineering, vol 16, no 1. AA Balkema Publishers, p 177
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States. https://doi.org/10.1520/d3966-07
4. Ibrahim SF, Al-Soud MS, Al-Asadi FI (2018) Performance of a single pile under combined
axial and lateral loads in layered sandy soil. J Eng Sustain Dev 22(1):121–136
5. Anagnostopoulos C, Georgiadis M (1993) Interaction of axial and lateral pile responses.
J Geotech Eng 119(4):793–798
6. Zhu MX, Zhang Y, Gong WM, Wang L, Dai GL (2017) Generalized solutions for axially and
laterally loaded piles in multilayered soil deposits with transfer matrix method. Int J Geomech
17(4):04016104
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vertical load on the lateral response of piles. J Geotech Geoenviron Eng 133(5):512–521
8. Nugroho SA (2016) Pengaruh Beban Vertikal terhadap Daya Dukung Lateral Pondasi Tiang.
Dissertation, Riau University
9. Khodair Y, Abdel-Mohit A (2014) Numerical analysis of pile-soil interaction under axial and
lateral loads. Int J Concr Struct Mater 8(3):239–249
10. Rajagopal K, Karthigeyan S (2008) Influence of combined vertical and lateral loading on the
lateral response of piles. Int Assoc Comput Methods Adv Geomech (IACMAG) 3272–3282
11. Hazzar L, Hussien MN, Karray M (2016) Investigation of the influence of vertical loads on
the lateral response of pile foundations in sands and clays 2. J Rock Mech Geotech Eng
12. Hazzar L, Hussien MN, Karray M (2017) Influence of vertical loads on lateral response of pile
foundations in sands and clays. J Rock Mech Geotech Eng 9(2):291–304
13. Abbas JM, Chik Z, Taha MR (2018) Modelling and assessment of a single pile subjected to
lateral load. Studia Geotechnica et Mechanica 40(1):65–78
14. Achmus M, Thieken K (2010) On the behavior of piles in non-cohesive soil under combined
horizontal and vertical loading. Acta Geotech 5(3):199–210
15. Kershaw KA, Luna R (2014) Full-scale field testing of micropiles in stiff clay subjected to
combined axial and lateral loads. J Geotech Geoenviron Eng 140(1):255–261
The Combined Effects of Terraces Slope
Model and Geotextile Reinforcement
Design in Sendangmulyo, Wonogiri
Siti Nurlita Fitri and Niken Silmi Surjandari
Abstract Several areas in Wonogiri Regency are vulnerable to natural disasters,

particularly landslides. This is due to the hilly and steep contours and the high
rainfall. In addition, the potential probability due to earthquake hazards leads to
landslides. Soil improvement using geotextile and terracing is an alternative that
can be used to protect slopes. This research aims to find the relationship between
the number of geotextiles needed with various models of terracing in Wonogiri in
post-rain conditions, as well as with external load, pseudo-static-earthquake, and
traffic load. The number of geotextiles required uses the moment of resistance
resulting from the analysis of the limit equilibrium method. The results of this study
generated the terraces model affect the number of geotextiles; increasing the
number of terraces steps reduces the quantity of geotextiles. The terraces slope with
five steps of total height provided the fewest number of geotextile layers. The
results of this study can be a reference in the form of the required number of
geotextiles installed in the slopes for various terracing variations to prevent
landslides.
Keywords Terraces Landslide Geotextile Limit equilibrium Slope
1 Introduction
Landslides are the most natural disaster that occurs in Wonogiri. The topography of
some areas in Wonogiri dominated with the steep and abrupt slope are a major
factor that caused the landslide. The damage of this case gave the high fatalities,
people, cost, and material. The Indonesian National Disaster Management Agency
S. N. Fitri (&) N. S. Surjandari

Department of Civil Engineering, Sebelas Maret University, Ir. Sutami No. 36, Kentingan,
Jebres, Surakarta, Central Java 57126, Indonesia
e-mail: sitinurlitafitri@staff.uns.ac.id
N. S. Surjandari
e-mail: nikensilmisurjandari@staff.uns.ac.id
https://doi.org/10.1007/978-981-16-7949-0_2
14 S. N. Fitri and N. S. Surjandari
Table 1 Landslide case in Wonogiri based on BNPB data (2014–2018)

No District Landslide No District Landslide No District Landslide
1 Pracimantoro 1 9 Baturetno 1 17 Jatiroto 6
2 Paranggupito 2 10 Eromoko 3 18 Kismantoro 6
3 Giritontro 0 11 Wuryantoro 0 19 Purwantoro 2
4 Giriwoyo 5 12 Manyaran 2 20 Bulukerto 3
5 Batuwarno 2 13 Selogiri 6 21 Puhpelem 0
6 Karangtengah 5 14 Wonogiri 1 22 Slogohimo 1
7 Tirtomoyo 6 15 Ngadirojo 2 23 Jatipurno 7
8 Nguntoronadi 5 16 Sidoharjo 1 24 Girimarto 5
(BNPB) discovered the landslides phenomenon appeared in many areas of

Wonogiri in Table 1.
Table 1 describes the landslide case from 2014 to 2018. The 72 landslides had
detected in Wonogiri. The zero accident of landslide was just found in 3 districts of
Wonogiri. Others arise maximal in 7 events in 4 years. As a result, the landslide is
one of the major problems that must be addressed.
There is much reinforcement to manage the landslide. In the previous study [1],
the slope improvement was design by terracing. The method successfully increases
the stability of the slope in traffic load conditions [2]. The terracing model is the
suitable method to protect the Sendangmulyo slope and many areas because the
method also avoids erosion, is moderate, and is able to protect slopes safely [3, 4].
Moreover, the terrace variation is the requirement for a technology that stabilizes
bench terraces that is simple, successful, and economically viable and minimizes
soil erosion by absorbing rainfall, slowing runoff velocity, and sediment loss [5, 6].
Besides of terraces method, geotextile is one of the soil improvement methods
which commonly use to protect natural or manmade slopes. The successful design
of geotextile to prevent the landslide in many bridges approach and highway
embankment project in Central Java of Indonesia have been carried out in other
studies [7–10]. Whereas the research of natural slope reinforcement has been per-
formed in [11–13]. The design of the geotextile model is appropriate with the
natural angle of slope. Recently, there is very few research in slope stability mit-
igation toward landslide in Indonesia that particularly incorporates terracing con-
figuration and the use of geotextiles. Although the combination of bronjong and
terracing has been studied previously [14].
This study aims to know the behavior of the geotextile reinforcement model
combines with terraces design. The simulation condition uses post-rain analysis of
the groundwater table. Furthermore, the external load model with traffic and
earthquake load as a result of the location of the case study must be conversant as
the dynamic prone area including connecting zone between East Java, Central Java,
and the Special Region of Yogyakarta.
The Combined Effects of Terraces Slope … 15
2 Method
This research started with the collection of secondary data from previous studies to
learn about the soil properties of slope in Sendangmulyo Village, Wonogiri
Regency. As a crucial consequence of the earlier findings, the natural angle slope is
60 and 30 degrees. After rainfall, the simulation model is used, along with ten
variations of the terraces model. This study assumes homogeneous and isotropic
soil. According to other studies, the use of the model analysis in rainfall conditions
perception gives the best impact on the simulation result [15–17]. The calculation
has accumulated with earthquakes load and traffic load. The traffic load was sim-
ulated with the load of two vehicles in different paths and pavement. While the
pseudo-static analysis was carried out based on the new earthquake map [18],
Sendangmulyo has the ad = 0.9. The values were considered in Eq. 1.
ad
kh ¼ ð1Þ
g
with
kh horizontal earthquake coefficient
ad bedrock acceleration (cm/s2)
g gravity acceleration (cm/s2)
2.1 Soil Parameter and Model
The ten terraces model, soil properties, and traffic load were adopted from [1]. Data
on soil parameters were collected in Sendangmulyo Village is cb = 17.81 kN/m3,
csaturated = 19.15 kN/m3, u = 37.47°, and c = 0 kN/m2. The variation model of the
terrace was analyzed with an initial divided height of slope in many models of step;
1/2 until 1/5 of existing height and the combination of 1/2–1/5 of total initial height.
Traffic load simulated with the weight of pavement and addition of trucks in 2 way.
Furthermore, the other external load as a dynamic load was conducted based on
[19] in the pseudo-static simulation model.
2.2 Research Analysis Model
The ten models of terraces were simulated in the Limit Equilibrium Method
(LEM) to conducted the landslide parameter; Safety Factor (SF), circle radius of
landslide (R), and resistance moment (Mr). Additionally, the result of landslide
simulation was carried out to calculated the number of geotextile reinforcements.
The formula to predict the number of geotextiles was adopted by the geotextile’s
allowable stress factors.
2.3 The Geotextile’s Allowable Stress Factors
The stress of geotextile reinforcement was corrected with the external factor as
chemical, creep, installation, and environment depend on the engineer perception of
the geotextile area installation. This study was constructed with ultimate stress of
geotextile (Tult) = 52 kN/m and divided by factor in 1–1.5 values. The formula is
given in Eq. 2.

1
rall ¼ rult ¼ ð2Þ
fdfenv fm fc
rall geotextile’s allowable stress (kN/m2)

rult geotextile’s ultimate stress (kN/m2)
fd biological factor (1–1.5)
fenv environment factor (1–1.5)
fm installation factor (1–1.5)
fc creep factor (1–1.5).
2.4 The Geotextile’s Reinforcement Analysis
The factor of stability, which has a minimum value of 1.2, is an overall calculation
that accounts for all uncertainty in problems involving geometry, soil variability,
and applied loads. The slope reinforcement, SF, becomes one after the overall factor
of stability is taken into account in the stability analyses. A solution for the variable
of safety was found by applying the Bishop method in Eq. 3 [20].

Mr R Tall R
SF ¼ þ ð3Þ
Md unreinforced Md
Mr resistance moment (kNm)

Md overturning moment (kNm)
Tall geotextile’s allowable stress (kN/m2)
R Radius of circle landslide.
Based on Eq. 2, the Tall was considered with the distance of circle radius of
landslide. This means the spacing of geotextile is required to analyze the number of
geotextile reinforcements. This study was carried out with a 0.5 m range of geo-
textile. The combination model of many terraces and geotextile reinforcement is
described in Figs. 1 and 2.
Figures 1 and 2 illustrates ten different models examined in this article. In
several models of terraces step, the four others are combined with each variation
model; 1/2 with 1/3, 1/4, 1/5 respectively from the initial height. Variation 1 has
a b
Geotextile Geotextile
1/2H
H space 0.5m space 0.5m
1/2H
c d
1/4H
1/3H Geotextile Geotextile
1/4H
1/3H space 0.5m space 0.5m
1/4H
1/3H 1/4H
e f
1/5H 1/3H
1/5H Geotextile Geotextile
space 0.5m 1/3H space 0.5m
1/5H
1/5H 1/2H
1/5H
Fig. 1 The simulation combination model of terraces and geotextile reinforcement, a existing
model, b variation 1, c variation 2, d variation 3, e variation 4, f variation 5
a b
Geotextile
1/4H Geotextile 1/5H space 0.5m
1/4H space 0.5m 1/5H
1/2H 1/2H
c d
1/4H Geotextile
1/5H
1/4H Geotextile
space 0.5m 1/5H
1/4H space 0.5m
1/5H
1/3H 1/3H
e
1/5H Geotextile
1/5H space 0.5m
1/5H
1/4H
1/4H
Fig. 2 The simulation combination model of terraces and geotextile reinforcement, a variation 6,
b variation 7, c variation 8, d variation 9, e variation 10
two terrace steps, variations 2, 6, 5 has three terrace steps, variation 3, 7, 8 has four
terrace steps, and variation 4, 9, 10 has five terrace steps. The detail of the terraces
model is based on the past study [21].
3 Result and Discussion
The landslide variable result of this study shows in Figs. 3, 4, 5 and 6. The first
parameter is the resistance moment illustrates in Fig. 3.
The relationship between the moment of resistance and various terraces models
is depicted in Fig. 3. With traffic and earthquake pseudo-static load study, the result
was simulated in different degrees of the slope; 30°, and 60°. In the pseudo-static
model. 60 E load means the models of terraces with 60° angles of slope and
addition of earthquake load, while 30 E load has different slope angle (30°) with
earthquake load. 60 traffic means the 60-degree slope with the simulation of traffic
load in two ways path. The lowest value is in a 60-degree slope. In contrast, a slope
with 30° with traffic load has the highest rate in resistance of moment.
The other factor of the landslide simulation result is the circle radius of the
landslide and was explained in Fig. 4. Based on this outcome, the positions of
120000
100000
80000 60 E load
Resistance 60000 30 E Load
moment 40000
60 Traffic
20000
30 Traffic
0
0 1 2 3 4 5 6 7 8 9 10 11
Variation type
Fig. 3 The result of resistance moment (Mr) in various model
50
40 60 E load
30
R 30 E Load
20
10 60 Traffic
0 30 Traffic
0 1 2 3 4 5 6 7 8 9 10 11
Variation type
Fig. 4 The result of radius of circle landslide (R) in various model

1.5
1 60 E load
SF
30 E Load
0.5
60 Traffic
0 30 Traffic
0 1 2 3 4 5 6 7 8 9 10 11
Variation type
Fig. 5 The result of factor of safety (SF) in various model
30
25
20 60 E load
n-Geotextile
15 30 E Load
10
60 Traffic
5
0 30 Traffic
0 1 2 3 4 5 6 7 8 9 10 11
Variation type
Fig. 6 The result of n geotextile of safety in various model
radius in the similar model (30 and 60 degrees, respectively) are not exactly in the
related coordinate.
The last result of the simulation model is the Safety Factor (SF). In this research,
The SF values are illustrated in Fig. 5. The Safety factor ranged between 0.4 and
0.68 in earthquake simulation and varied between 0.75 and 1.2 when traffic load is
applied. All the condition in post-rain simulation describes the similar trend in
variation of terraces model. The value rose in the first until the fourth variation, yet
directly fall at the next model of terraces in all the conditions of the slope model.
The highest SF is in model 4, the initial slope divided into five steps; 2 m for each
number of steps. The lowest value is model 5, which is related to the first model, as
a result of the cutting of the slope in 2 and 3 parts, respectively.
The number of geotextiles reinforcement is one of the simulation’s goals. The
variable that will be determined to obtain the number of geotextiles will be all of the
landslide data from the LEM process. The final calculation is shown in Fig. 6.
According to Fig. 6, The maximum number of geotextiles is dominated in
models 1 and 5. Otherwise, the minimum is shown in variations 4 and 10. The
result indicates the relationship in the SF factor. However, the Factor of safety is not
only the variable that given an effect on the outcome, but also other parameters such
as landslide geometric, the correction factor, and tensile strength of geotextiles.
The actual number of geotextiles is not always interpreted by the minimum SF.
According to the findings of the previous report, the lowest landslide Safety Factor
does not result in the greatest amount of reinforcement requirements [22]. The
terraces model that dividing the slope in half part (model 1) obtains a high number
of geotextiles. Otherwise, the few numbers found in models 4, 9, and 10 (five steps
on terraces slope). This result is appropriated with the previous study [21]. If the
number of steps is increased, SF will rise. However, as step height rises, the SF
value decreases.
4 Conclusion
From the result and discussion shows that the terraces model of geotextile design
does not influence by SF all the time, but other external variables are also con-
tributed, such as the slope models, resistance moment, and circle radius of the slope.
The terraces model is contributing to the number of geotextiles, if the number of
terraces steps is increase, the number of geotextiles will decrease. The lowest
number of geotextile layers was obtained in this study, which the terraces slope
with five steps of total height generates; variation 4(1/5H), 9(1/3H and 1/5H), and
10(1/4H and 1/5H).
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Tirtomoyo. Thesis, Universitas Sebelas Maret, Wonogiri
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perkuatan geotekstil menggunakan metode elemen hingga. Matriks Teknik Sipil 5(3)
13. Famungkas F, Suyadi W, Zaika Y (2015) Analisis stabilitas lereng memakai perkuatan
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Erosion and Distribution of Total
Suspended Sediment (TSS) Using
Landsat-8 in Krueng Pase Watershed
Ichwana Ramli , Ashfa Achmad , Hairul Basri , and Atika Izzaty
Abstract Damage and loss of land resources due to improper land management
tend to increase erosion. It will affect the production, ecological, and hydrological
functions in the upstream watershed area. However, sedimentation that occurs due
to erosion often affects the practical life of the dams. The purpose of this research is
to estimate erosion and the distribution of Total Suspended Sediments
(TSS) geospatially from Landsat-8 imagery data in 2015 and 2019 for Krueng Pase
Watershed. The considerable erosion that occurred in 2014 was 117,987.71 tons.
While the erosion that occurred in January 2015 was 18,624.45 tons, and the
erosion in August 2019 was 6,672.06 tons. The results of the TSS distribution using
algorithms in 2015 obtained the largest total suspended sediment with a
value >17.15 mg/l found on the coastal, riverbanks and the smallest TSS with a
value of 12.73 mg/l found on the upstream area. The TSS were found on the
coastal with a value of >16.05 mg/l, and the smallest TSS >12.92 mg/l found on
the upstream area in 2019. Information on the distribution of total sediment is a
I. Ramli (&)
Agricultural Engineering Department, Universitas Syiah Kuala, 23111 Banda Aceh,
Indonesia
e-mail: ichwana.ramli@unsyiah.ac.id
A. Achmad
Architecture and Planning Department, Universitas Syiah Kuala, 23111 Banda Aceh,
Indonesia
H. Basri
Department of Soil Science, Faculty of Agriculture, Universitas Syiah Kuala, 23111 Banda
Aceh, Indonesia
A. Izzaty
Geomatics Engineering Department, Institut Teknologi Sepuluh Nopember, 60111 Surabaya,
Indonesia
I. Ramli
Research Center for Environmental and Natural Resources, Universitas Syiah Kuala,
23111 Banda Aceh, Indonesia
Department of Environmental Master’s Program, Universitas Syiah Kuala, 23111 Banda
Aceh, Indonesia
https://doi.org/10.1007/978-981-16-7949-0_3
24 I. Ramli et al.
consideration in the application of the eco-hydrology concept as a short-term

solution in water management.
Keywords Erosion Total suspended sediment Landsat-8
1 Introduction
The issue of soil erosion and sediment loads in watersheds is one of the hot spots
that are currently of concern. River sediment loads are influenced by changes in
land cover due to climate change in the watershed in an integrated manner [1]. If the
sedimentation in the river is high, it can cause the river’s capacity to decrease in
terms of discharge. Several studies have stated that the most prominent natural
factors include meteorology, geology, topography, the composition of the earth’s
surface and vegetation cover, as well as human activities that play a positive and
negative role in soil erosion. Human activities change the hydrological cycle
through land use change, the construction of dams and reservoirs, and the with-
drawal of surface and groundwater [2]. The Krueng Pase watershed experiences
flooding every year, there is a change in land use due to an increase in population,
migration, and this has resulted in the expansion of the built-up area and reducing
the area of vegetation [3]. Soil erosion and sediment transport at the watershed scale
can be estimated using water and sediment balance models that take into account
topography, soil properties, land cover, and land use [4, 5].
Sediment measurements can be carried out directly by measuring sediment
deposits in rivers. However, direct measurements are sometimes difficult to do due
to various constraints, such as limited tools. Advances in earth observation satellite
technology for monitoring natural resources and for monitoring environmental
quality. This is a change in human work that is expected to be realized as the
implementation of government programs through industrial technology 4.0. With
increasingly sophisticated spectral sensors and algorithms that are constantly being
developed, detection of environmental quality parameters. Therefore, this study
aims to estimate the erosion with the Modified Universal Soil Loss Equation
(MUSLE) method and distribution of total suspended sediment using Landsat-8
image data and algorithms.
2 Methods
This research was conducted in the Krueng Pase Watershed (Fig. 1). It is located
between 5o09′12″–4o49′25″ North Latitude and 96o51′27″–97o14′55″ East
Longitude. The Krueng Pase watershed is located in Lhokseumawe city, Aceh
Utara district, and Bener Meriah district. The types of data used are secondary data
and primary data. Secondary data, which is needed is rainfall, watershed
Erosion and Distribution of Total Suspended Sediment (TSS) … 25
Fig. 1 Location of the research. Source http://portal.ina-sdi.or.id/home/; http://tides.big.go.id/

DEMNAS/
characteristics, types of resistance, land use. Primary data in the form of Landsat
Satellite Imagery for 2015 and 2019, obtained at http://eartheexplorer.usgs.gov/.
This year’s selection is based more on the availability of images that have less than
5% cloud.
2.1 Stage of Calculating Erosion
The analysis of the erosion’s amount in the Krueng Pase watershed uses the
MUSLE equation (Eq. 1) [6].
Y ¼ 11:8ðQ QpÞ0:56 ðK C P LSÞ ð1Þ
where
Y the resulting erosion (ton);
Q surface runoff;
Qp peak discharge;
26 I. Ramli et al.
K soil erodibility factor;

C land cover factor;
P land management factors;
LS slope factor;
The determination of surface run-off based on the SCS method (Soil
Conservation Services method) is shown in Eq. 2.
ðP IaÞ2
Q¼ ð2Þ
ðP IaÞ þ S
The Ia value can also vary according to soil conditions and land cover types,
although the Ia value varies for each region. In general, the Ia value for P Ia is
Ia = 0.2S. According to [7], S value is the maximum potential water retention
(potential maximum retention) as calculated in Eq. 3.
25400
S¼ 254 ð3Þ
CN
where
Q runoff volume (mm);
P rainfall (mm);
S maximum potential water retention (mm/year);
CN curve number.
Determining the value of the peak discharge using the rational method [8] is
shown in Eq. 4.
Qp ¼ 0:278 C I A ð4Þ
where
Qp Peak discharge (m3/s);
C flow coefficient;
I Maximum rain intensity (mm/h);
A Watershed area (km2).
2.2 Steps to Calculate Total Suspended Sediment
1 The corrections made to Landsat images are radiometric corrections consisting

of radiometric calibration and atmospheric correction. Radiometric calibration is
an improvement due to errors in the optical system, errors due to interference
from electromagnetic radiation energy in the atmosphere, and errors due to the
influence of the sun’s elevation angle.
2 Atmospheric correction aims to derive the object reflectance from the total
radiance ToA (Top of Atmosphere) after normalizing the lighting conditions and
eliminating atmospheric effects. This stage produces surface reflectance value
data from Landsat 8 images. Radiometric calibration is done by converting the
Digital Number (DN) to a Radian value and or a ToA reflectance value.
3 After the satellite imagery data is corrected for atmospheric correction to get the
corrected reflectance value, then the separation between land and sea is carried
out using the land water algorithm [9]. To determine the separation boundary
between the oceans, in this study, the NDWI (Normalized Difference Water
Index) algorithm was used. This is done by dividing the image data into 2 pixel
values. If the NDWI value is > 0, then the area is land and if NDWI < 0, the
area is water. Band 3 (Green) and band 5 (Near-Infrared) are used to produce the
correct NDWI value based on Landsat-8 satellite imagery. With the separation
between the land and the sea, it can be seen the identified part of the occurrence
of sediment.
4 Calculating TSS is calculated spatially from Landsat-8 image data.
The processed data is Landsat-8 image data which is a subset according to the
area. The sensor type is changed from radiance to reflectance using Band Math
on Bands 5, 4, 3, 2. As a representation of the band that has been converted into
reflectance, it is used the following algorithm with (log10 (rrs_band_2))/(log10
(rrs_band_4)).
Algorithm formula used [10] is shown in Eq. 5.

Logðband 3Þ
TSS ¼ 31:42 12:719 ð5Þ
Logðband 4Þ
In general, the soil conditions of the Krueng Pase watershed have moderate to good
ability to withstand erosion, and soil types were obtained from Bappeda in 2019.
There are four types of soil in the Krueng Pase watershed, namely inceptisol
(30.01%) andisol (1.49%), Entisol-inceptosol (0.1%), and ultisol (68.4%). Each
type of soil has a different erodibility (K), which indicates the soil’s ability to
withstand erosion. The higher the K value, the easier the soil will be eroded. Based
on the K value, the types of soil that are easily eroded are inceptosol and andisol.
While the types of soil that are not easily eroded are ultisol.
The slopes of 0–8% generally have a flat surface relief with an area of 14.31%.
This area is an area that is used as land for agricultural development, urban
development. Slopes 8–15% with an area of 10.67%. The area with this sloping
condition is to be used as a location for the development of plantation cultivation.
28 I. Ramli et al.
Slopes 15–25% with an area of 1.23%. This area is a primary dryland forest area
dan built-up area. Slope 25–40% with an area of 73.8%. Areas and areas with this
slope are hilly areas or primary dryland forest areas.
3.1 Erosion
Overlay data on land use, rainfall, slope, and soil type resulted in potential erosion
occurring in the Krueng Pase watershed. In this research, land use is classified into
six types, namely forest, built-up area, agriculture, mixed agriculture, wetland, and
water body. Land use based on the 2019 image classification consisting of forest
53.13%, built-up area (4.17%), agriculture (36.92%), mixed agriculture (2.18%),
wetland (1.9%), and water body (1.69%). Land use agriculture category including
areas being utilized by cropland, rice fields, livestock land, grasslands. Built-up
areas including urban, residential, industrial, road, and other made structures. Mix
agriculture, including land covered by more than one type of perennials and is not
uniform. Water body includes seas and rivers, whereas wetland includes fish ponds
and land that is saturated with water.
Run off is an important element in the water cycle and one of the causes of
erosion. The calculation of run-off uses Eq. 2, where the parameters needed are
rainfall and retention values. The retention value uses Eq. 3. The calculation of the
retention value requires the curve number value parameter. The highest run off
occurred in 2014 at 31,754.94 mm.
One of the other parameters in calculating erosion using the MUSLE method is
peak discharge. Peak discharge using a rational method which is influenced by the
watershed area, rainfall intensity, and run-off coefficient. The run-off coefficient
obtained is 0.19. This means that the run-off water in the watershed is 19%, while
81% becomes groundwater storage. Each land use in the Krueng Pase watershed
has a different coefficient value for agricultural land (0.4), settlement (0.6), forest
(0.02), mixed garden (0.1), the body of water (0.05), and wetland (0.15).
The increase and decrease in surface run-off every year is due to the high and
low rainfall that occurs. This results in a different intensity of rainfall each year. The
peak discharge (Eq. 4) that occurred between 2011 and 2020 varied between 40 m3/
s (in 2019) and 810.21 m3/s (2014). Meanwhile, the peak discharge in 2015 was
262.48 m3/s. The decrease and increase in erosion are influenced by surface run-off,
peak discharge, soil erodibility, slope and land cover, and land management.
Erosion and run-off that occurred in 2011–2020 can be seen in Table 1. From the
results of the analysis using the MUSLE formula, erosion that occurred as the
highest is upstream. The highest erosion occurred in 2014 at 117,987.71 tons with a
run-off of 31,754.94 mm at an annual average rainfall of 145 mm/year. In this
study, Land use 2019 is used to calculate run-off in erosion analysis from 2011 to
2020. The size of the erosion was different each year depending on the rainfall.
Table 1 Erosion and run off that occurred in 2011–2020

Year Erosion (ton) Average annual rainfall (mm/year) Run off (mm)
2011 32,701.26 135.92 27,854.56
2012 34,902.59 115.75 22,781.17
2013 31,409.37 109.67 19,084.75
2014 117,987.71 145.17 31,754.94
2015 42,343.85 110.50 20,867.80
2016 16,185.23 91.50 15,837.70
2017 49,596.43 148.92 29,976.94
2018 34,902.59 119.67 23,005.87
2019 6,869.98 80.83 12,076.86
2020 78,438.54 123.58 26,143.50
45,000 350
40,000
300
35,000
250
rain fall(mm)
30,000
Erosion (ton)
25,000 200
20,000 150
15,000
100
10,000
50
5,000
- 0
Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Des
Erosion 2015 Erosion 2019 rainfall 2015 rainfall 2019
Fig. 2 Comparison of monthly rainfall erosion in 2015 and 2019
Figure 2 shows the difference in erosion between 2015 and 2019. The selection
of the period is adjusted to the image to estimate cementation. When compared to
the erosion that occurred between 2015 and 2019 (according to the image for
sedimentation analysis, the largest erosion, which amounted to 42,343.85 tons,
occurred in 2015, while the erosion in August 2019 was 6,869.98 tons. There was a
decrease in the amount of erosion from the two observation periods. During the
period 2011–2020, the lowest erosion occurred in 2019 as shown in Table 1.
Erosion is influenced by different land uses, the relationship between run-off,
erosion on various land uses can be seen in Fig. 3. The largest run-off occurs on
agricultural land and the smallest on the wetland. The increase and decrease in a
surface run-off in various land use are influenced by different rainfall and curve
30 I. Ramli et al.
(a)
10,000
9,000
8,000
7,000
run off (mm)
6,000
5,000
4,000
3,000
2,000
1,000
-
2011 2012 2013 2014 2015 2016 2017 2018 2019 2020
Agriculture Built up Area Forest Mixed Agriculture Water body Wet land
(b)
40,000
35,000
30,000
Erosion (ton)
25,000
20,000
15,000
10,000
5,000
-
2011 2012 2013 2014 2015 2016 2017 2018 2019 2020
Agriculture Built up Area Forest Mixed Agriculture Water body Wet land
Fig. 3 a Surface run-off on land use from 2011 to 2020, b erosion based on land use from 2011 to
2020
number values. The erosion occurs based on land use. The highest erosion occurred
on agricultural land, built-up areas, and mixed gardens. While the highest run-off
occurs on agricultural land, which is on a slope less than 8% (11,289.52 ha) and 8–
15% (2210.07 ha) with inceptisol soil types that are easily eroded.
3.2 Sedimentation
Sediment is the result of the process of erosion. Eroded soil will settle in one place.
Sediment is influenced by all watershed biophysics, namely land use, the slope of
soil type, surface run-off, and peak discharge. Damage to land resources, especially
in the upstream part of the watershed, will reduce land productivity, affect pro-
duction functions, ecological functions, and watershed hydrological functions [11].
NDWI can detect the extent of surface water areas and is useful in understanding
the dynamics of surface water in basins and is effectively used in water resource
management [12, 13]. NDWI is an indicator of moisture content in vegetation and
land surface temperature [14]. Water index derived from satellite data is an effective
use in the management of water resources. As a result of erosion and subsequent
sedimentation can cause water quality to exceed the quality standard.
Based on the results of the application of the algorithm on the reflectance data of
Landsat 8 images in the Kreung Pase watershed (Fig. 4), in 2015, the largest total
suspended sediment with a value >17.15 mg/l was found on the coast and river-
banks and the smallest suspended sediment with a value of <12.73 m/l upstream of
the Krueng Pase watershed. The results of suspended sediment in 2019 also con-
tained the largest suspended coast with a value of >16.05 mg/l and the smallest
suspended with a value of <12.92 mg/l in the upstream part of the Krueng Pase
watershed. Although the image used on January 8, 2015, when the rainfall in
January 2015 was 122 mm, while the image in August 2019 when the rainfall in
August 2019 was 88 mm. The results of the sedimentation calculation above use
[12] and there are several other logarithms that can calculate TSS from the image
and need to be tested for validation from water samples.
One of the important indicators for determining the damage of a watershed is its
hydrological condition which is characterized by erosion, landslides, sedimentation,
and unbalanced flow distribution (flood and drought). Another indicator can be seen
2015 2019
Fig. 4 Sediment distribution in January 2015 and August 2019 at the study location
32 I. Ramli et al.
from the shrinking of forest areas and damage to land, especially the protected areas
around the watershed. This is due to the increasing population, which increases the
intensity of land and water use [15]. Watersheds that are characterized by dry and
semi-arid water will be eroded and sediment transport which can cause soil fertility
to gradually decline. In addition, clogged sedimentation in waterways also allows
the transfer of pollutants to agricultural land and dams so that it can interfere with
the quality of drinking water and irrigation water as well as the age of the water
building [16].
TSS is a reflection of the dynamics of changes in the ecology of waters and land.
TSS is also an early indicator of the possibility of sedimentation in water areas.
A high TSS value will indicate a high level of pollution. TSS concentration can be
caused by various things, namely the level of turbidity in the waters and the level of
sedimentation brought about by the flow of water that empties into the location of
these waters. It can be said that suspended solids content is an early indicator of
signs of sedimentation in waters, so that the concept of eco-hydrology becomes a
consideration in land and water management.
4 Conclusion
1. The highest erosion occurred in 2014 of 117,987.71 tons with a run-off of

31,754.94 mm at an average annual rainfall of 145.17 mm/year, and in agri-
cultural land use, erosion and run-off are highest.
2. Total suspended sediment in Kreung Pase watershed using Landsat 8 image,
which was observed in January 2015 rainfall of 122 mm was > 17.15 mg/l was
found on the coast and riverbanks and the smallest suspended sediment with a
value of < 12.73 m/l upstream of the Krueng Pasee watershed.
3. The results of suspended sediment in august 2019 with rainfall of 88 mm, also
contained the largest suspended coast with a value of > 16.05 mg/l and the
smallest suspended with a value of < 12.92 mg/l in the upstream part of the
Krueng Pase watershed. With 88 mm of rainfall. Sedimentation distribution can
be obtained from the image using the logarithm, but there needs to be validation
from the sample in the field to get the TSS value.
Acknowledgements The authors thanks to BAPPEDA and BMKG Indrapuri Aceh for sup-
porting this research. Also thanks to Universitas Syiah Kuala for funding this research with
contract number 167/UN11/SPK/PNBP/2021 tanggal 19 Februari 2021.
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Shoreline Change Cause of Abrasion
in Bantan District Bengkalis Island
as the Outstanding Beach Area
H. Tampubolon
Abstract This research is located in Bengkalis Regency, which is directly opposite

the Malacca Strait, and cannot be separated from the problem of coastal abrasion.
This abrasion is thought because by the impact of ocean waves and the conversion
of land which was originally mangroves into oil palm plantations. The purpose of
the study is to determine the characteristics and problems that exist in the coastal
area and causes of changes in the coastline, both technically and non-technically
which have an impact on reducing the boundaries of the sovereignty of the State of
Indonesia. The methodology based on visual observations and primary data such as
bathymetry, tides, wave height, wave direction, wave period and wind. Bantan
District is flat to wavy, the type of soil in Bantan District very susceptible to
abrasion, if this is allowed to result in land loss around the coast, agricultural crops
and community land. This condition is triggered by high waves which are estimated
to be as high as 3 m and erode the land. The placement of breakwater structures and
hybrid engineering have been carried out for coastal protection after there is sed-
iment deposition to overcome the problem of abrasion.
Keywords Shoreline Abrasion Bantan
1 Introduction
Indonesia is an archipelagic country, in addition to causing the land area to be

smaller than the ocean area. Geographically, Indonesia’s territory, especially in this
case, Riau Province, is directly adjacent to neighboring countries such as Malaysia
and Singapore.
Riau Province has a total area of 87,023.66 km2 with a coastline of 3201.95 km,
directly opposite the Malacca Strait, including the Bantan District located in
H. Tampubolon (&)
University of Riau, Riau, Indonesia
e-mail: lilyartha1234@gmail.com
https://doi.org/10.1007/978-981-16-7949-0_4
36 H. Tampubolon
Bengkalis Regency and is one of the outer islands in Riau Province, which is
experiencing coastal abrasion problems.
Observation Background Changes in geomorphological processes result from
a number of oceanographic parameters that play a role, such as waves, currents, and
tides [1]. This abrasion is caused by the impact of ocean waves and the conversion
of land which was originally mangroves into oil palm plantations. The waves come
from the Andaman Sea, where there is a large fetch whose height is further mag-
nified by narrowing the waters in the Malacca Strait. The study by [2] stated that the
average abrasion on Bengkalis Island reached 32.75 m per year. Dynamic nature is
an indicator of coastal erosion and accretion [3]. The regional map of Bantan
District is shown in Fig. 1.
This threatens the lives of coastal residents and the tourism sector of Riau, as
well as the diminishing boundaries of the sovereignty of the Republic of Indonesia,
which are caused by the retreat of the coastline. The purpose of this study is to
determine the characteristics and problems that exist in the coastal area and the
causes of changes in the coastline, both technically and non-technically which have
an impact on reducing the boundaries of the sovereignty of the State of Indonesia.
Fig. 1 Regional map of Bantan district. Source The Central Bureau of Statistics
Shoreline Change Cause of Abrasion … 37
2 Methodology
2.1 Research Sites
Bantan District is one of the districts in Bengkalis Regency, precisely on the island
of Bengkalis, with an area of 495 km2, where the largest village is Bantan Tua with
an area of 39 km2 or 7.88% of the total area of Bantan District. Bantan District is
flat to wavy, the type of soil in Bantan District is organic soil which is very
susceptible to abrasion. As reported by [4], the northern part of Bengkalis Island is
directly adjacent to the Malacca Strait, so that the influence of waves and currents
that occur there is quite large.
Research data in the form of primary data originating from the observation
location and secondary data from the relevant department in Bengkalis Regency as
well as interviews with the community at the observation location. In general, the
condition of this beach is not so potential because it does not have white sand, and
most of the coastline area is only used as an area for coconut plantations and shrubs.
Located at an altitude of 2–5 m above sea level, it has a tropical climate with air
temperatures ranging from 26 to 30 °C. The state of rainfall every year with an
average of 189.1 m2/year. Geographically it is located at 1020.00 East Longitude—
102o30′29″ East Longitude and 10.15 North Latitude—1o36′43″ North Latitude,
based on observations at the research location in Bantan district, Bengkalis Regency
in 2020 there was cliff damage that had an impact on public facilities, and setbacks.
Coastline, whose position is on the outermost island and affects the boundaries of the
sovereignty of the Republic of Indonesia. This location is a natural beach area and
some (at some points) are used as tourist attractions. The location of an unspoiled
beach with a high level of abrasion is in Muntai village. While the beaches used as
tourist attractions are Parit 2 beach, Parit 3 beach and Madani beach which is located
in Teluk Pambang Village. The location of the coast that experienced a decline in
coastline due to abrasion can be seen in Figs. 2 and 3. The picture shows the damage
caused by abrasion and also changes in the shoreline from 2015 to 2019.
2.2 Wave Period
The wind causes ocean waves, therefore wind data can be used to estimate the
height and direction of waves at the study site. Wind data is needed as input data in
wave forecasting so that the design wave height is obtained. Wind data required is
hourly wind data along with information about its direction. Analysis of the design
wind distribution pattern in the study area was also carried out using various
distributions, namely the Log-Normal, Pearson, Log Pearson, and Gumbel distri-
butions. Furthermore, the most suitable distribution will be obtained to be applied to
the wind patterns that occur in the study area. Maximum wind speed at the study
site is shown in Table 1.
38 H. Tampubolon
Fig. 2 Villages affected by abrasion (Parit 3, Parit Madani, Parit 2) in Bantan district
To get the design wave, a post-wave forecast is carried out based on long-term
wind data. The method applied follows the Method given in the Shore Protection
Manual [5] edition which is a standard reference for practitioners of coastal
development, protection and preservation works. Long-term wind data, a minimum
of 10 years, provide more convincing statistical data for this hindcasting method.
To forecast waves in water required input in the form of wind data and bathymetry
Fig. 3 Shoreline changes from 2015 to 2020
Table 1 Bengkalis Island No Direction Effective fetch (m)

effective fetch calculation
1 N North 64.77
results
2 NE North East 52.792
3 E East 105.989
4 SE South East 82.662
5 S South –
6 SW South West –
7 W West –
8 NW North West 120.058
maps. The interaction between the wind and the surface of the water causes waves
(wind-induced waves). A map of the location and surrounding waters is needed to
determine the size of the “fetch” or wave formation area, the fetch length is mea-
sured from the observation point at 50 intervals.
2.3 Modeling Methodology
Wave forecasting is based on wind data as the main wave generator and wave
formation area (fetch). The wind data used is obtained from BMKG Tanjung Balai
Karimun wind data from 2010 to 2019.
40 H. Tampubolon
Wind climate data is presented in the form of monthly windrose or in total. The
total windrose is presented in Fig. 4, while the distribution of the number and
percentage of wind events is presented in Tables 2 and 3.
2.4 Shoreline Change Modeling
One of the problems in this research is to determine the pattern of sediment

movement or the pattern of shoreline changes that have occurred or will occur in a
certain period of time. By knowing the pattern that occurs, it will be easy to study
the characteristics of the beach.
Sediment transport analysis was carried out to obtain the following parameters:
1. The rate of bottom sediment transport, whether caused by currents alone or a
combination of currents and waves.
2. The rate of deposition of floating sediments in harbor ponds and shipping lanes.
According to the Shore Protection Manual 1984 [5], the longshore transport of
sedimentary material is called longshore transport. The naming of longshore
Fig. 4 Total windrose from wind observation station at BMKG Tanjung Balai Karimun
Table 2 Distribution of total wind speed and direction of BMKG Tanjung Balai Karimun
(number of hours)
Direction Number of hours
<5 5–10 10–15 15–20 >20 Total
North 13,096 8399 688 168 32 22,383
North East 3888 14,016 2152 360 32 20,448
East 3264 5400 288 64 8 9024
South East 4360 3072 96 48 0 7576
South 3672 4008 152 0 0 7832
South West 1136 1640 40 16 0 2832
West 2096 3160 256 16 8 5536
North West 784 2360 360 24 0 3528
Windy 79,159
Not windy 7128
Not recorded 1313
Total 87,600
Table 3 Distribution of total wind speed and direction of BMKG Tanjung Balai Karimun
(percentage)
Direction Percentage
<5 5–10 10–15 15–20 >20 Total
North 14.95 9.59 0.79 0.19 0.04 25.55
North East 4.44 16 2.46 0.41 0.04 23.34
East 3.73 6.16 0.33 0.07 0.01 10.30
South East 4.98 3.51 0.11 0.05 0 8.65
South 4.19 4.58 0.17 0 0 8.94
South West 1.30 1.87 0.05 0.02 0 3.23
West 2.39 3.61 0.29 0.02 0.01 6.32
North West 0.89 2.69 0.41 0.03 0 4.03
Windy 90.36
Not windy 8.14
Not recorded 1.5
Total 100.00
transport has the same meaning as littoral transport or the movement of littoral drift,
which is sediment that moves in the littoral zone. The littoral zone in coastal
terminology is the area of water from the shoreline to just before the wave area
breaks.
In determining the pattern of sediment movement or the pattern of shoreline
changes that occur or will occur over a certain period of time, the GENESIS
(Generalized Model for Simulating Shoreline Change) simulation program from the
US Army Corps of Engineers (ASCE) is used.
42 H. Tampubolon
Fig. 5 Layout modeling the shoreline of the existing condition of the Bengkalis Island
Because the movement is parallel to the coast, there are two possible directions
of movement, namely towards the right and left relative to an observer standing on
the beach facing the sea, as shown in Figs. 5 and 6.
Fig. 6 Changes to the shoreline of the existing condition of Bengkalis Island

Fig. 7 Measurement and Bathymetry of Bengkalis Island
3 Discussion
3.1 Bathymetry
Bathymetry surveys or often also called sounding, are carried out to measure and
observe the depth of the water using a depth measuring instrument so that an
overview of the seabed formation, positions of large rocks, or the position of objects
that can affect wave and current deformation can be obtained seen in Figs. 7 and 8.
Refraction/diffraction analysis that requires a rather large area of water can be
obtained from the Hydro-Oceanography Service of the Indonesian Navy
(DISHIDROSAL).
3.2 Tides
The coastal environment of Bengkalis Island that is of concern is the condition of

coastal erosion that has occurred every time. This erosion event resulted in the
reduction of the shoreline to be more protruding into the sea. Suppose this is
allowed to result in land loss around the coast. Likewise, public facilities around the
44 H. Tampubolon
Fig. 8 Topographic map and Bathymetry of Bengkalis Island
coast will be disturbed and even lost due to the brunt of the water, both from waves
and from the ebb and flow of seawater.
Tides are the movement of rising and falling sea levels, where the amplitude and
phase are directly related to periodic geophysical forces. In this case, sea level
elevation (Mean High Water Level, Mean Low Water Level, Mean Sea Level) is
determined based on tidal measurements for a minimum of 15 days. Measurements
are carried out using a local topographic system at the worksite/project location.
With 15 days of observation, one tidal cycle has been covered which includes
spring tides and neap tides, as shown in Tables 4 and 5 and Fig. 9 for tidal chart.
3.3 Beach Sedimentation
Sediment produced by the erosion process and carried away by the flow of water
will be deposited in a place where the speed of the water slows down or stops. This
depositional event is known as a sedimentation event or process [6].
A sampling of basic and suspended sediments was carried out at the same time
and position as the current measurement. Time of collection is also done at spring
Table 4 Bengkalis Island plan wave 0–12 (waves in the deep sea)
Tidal analysis table (admirality methode)
Altitude: 0 0 0 South altitude
Short series Location: Bengkalis Island Longitude: 0 0 0 West longitude
(15 days) in 2020
Date Time
0 1 2 3 4 5 6 7 8 9 10 11 12
24-Jun 230 180 130 100 85 35 40 60 110 150 170 180 155
25-Jun 270 190 110 80 45 19 15 35 70 130 150 170 160
26-Jun 250 220 190 150 120 80 55 55 60 115 150 170 180
27-Jun 240 230 180 160 130 105 80 60 40 75 200 180 170
28-Jun 190 200 180 160 150 140 120 100 50 55 70 90 120
29-Jun 130 160 190 150 120 110 95 95 70 55 55 85 100
30-Jun 95 100 116 125 140 160 140 110 80 60 60 60 70
1-Jul 75 80 105 140 140 145 140 140 110 80 60 45 30
2-Jul 55 60 70 80 120 145 170 155 140 130 100 70 45
3-Jul 80 50 45 75 125 140 160 180 150 130 100 70 50
4-Jul 100 75 60 50 55 110 140 165 180 160 130 90 50
5-Jul 160 100 75 45 85 110 160 180 190 190 170 120 50
6-Jul 180 150 130 125 95 80 75 100 160 190 165 160 130
7-Jul 220 180 160 140 30 50 60 170 185 190 195 200 180
8-Jul 220 160 140 110 60 70 75 80 110 130 150 180 165
tide and neap tide. The results of the sediment samples obtained were then tested in
the laboratory to obtain the characteristics of the sediment samples, namely d50 and
specific gravity, as shown in Table 6.
3.4 Wave Height
The wave height used as input data for this numerical model is the wave height
obtained from the post-wave forecast based on long-term wind data. According to
information from the local community and based on observations in the field, the
abrasion at this location is very disturbing. The abrasion that has occurred has
worried residents because agricultural crops and community land have been lost. So
that residents expect from the government of Bengkalis Regency to immediately
anticipate the damage caused by this abrasion. This condition is triggered by high
waves which are estimated to be as high as 3 m and erode the land. This location is
on the edge of the beach facing the Malacca strait, which if not addressed imme-
diately can drift and turn into the ocean.
46 H. Tampubolon
Table 5 Bengkalis Island plan wave 13–23 (waves in the deep sea)
Tidal analysis table (admirality methode)
Altitude: 0 0 0 South altitude
Short series (15 days) Location: Bengkalis Island Longitude: 0 0 0 West
in 2020 longitude
Date Time
13 14 15 16 17 18 19 20 21 22 23
24-Jun 120 75 35 10 2 23 70 120 150 230 240
25-Jun 120 105 60 35 15 10 50 110 180 200 230
26-Jun 160 150 100 70 40 20 23 60 130 180 235
27-Jun 160 150 130 110 80 50 55 55 140 155 170
28-Jun 140 130 120 100 90 70 50 45 35 3 50
29-Jun 140 165 180 175 150 140 100 80 40 35 50
30-Jun 120 140 160 175 190 170 150 125 90 80 60
1-Jul 10 130 170 200 220 240 200 170 130 120 100
2-Jul 55 65 110 150 180 220 240 260 240 170 100
3-Jul 20 15 100 110 180 230 260 240 220 200 140
4-Jul 30 20 30 50 60 190 240 270 275 260 170
5-Jul 40 15 40 80 100 150 230 250 270 260 200
6-Jul 75 40 25 3 45 110 180 250 260 170 170
7-Jul 70 60 50 80 85 90 130 210 230 260 240
8-Jul 150 130 100 70 30 85 140 180 210 220 230
Fig. 9 Tidal chart

Table 6 Description of sediment at the point of retrieval

Sediment 00.00– 00.10 Clay, black, medium plastic, medium stiffness, high
01 00.10 moisture content
00.10– 00.40 Clay, brown, medium plastic, moderate stiffness, moderate
00.50 to high moisture content
Sediment 00.00– 00.10 Clay, blackish, medium plastic, moderate stiffness, high
00.10– 00.40 Clay, brown, medium plastic, medium stiffness, high
00.50 moisture content
Sediment 00.00– 00.15 Clay, blackish, medium plastic, medium stiffness, high
00.15– 00.35 Clay, yellow, medium plastic high, medium stiffness, high
00.50 moisture content
Sediment 00.00– 00.40 Peat, dark brown, medium plastic, low stiffness, moderate
04 00.40 to high moisture content
4 Conclusion
1. Beach conditions in the sub-district are still natural with a very high level of
abrasions, such as in Parit 3, Parit 2, and Madani
2. Abrasion on the island can cause the shrinkage of Indonesia’s maritime
boundaries which are internationally measured from the country’s outermost
coastline. Abrasion resulting in loss of coastline in the outermost island coast of
Riau Province which is directly adjacent to Malaysia and Singapore and the
Melaka strait as an international shipping lane
3. Coastal erosion occurs due to changes in the balance of the coast, namely the
balance of sediment transport by waves and the supply of sediment
4. To protect houses from the threat of waves, the residents have made sea walls,
which are generally upright sea walls without foot protectors as wave absorbers
5. The condition of the waters on Bengkalis Island requires a breakwater to protect
the coastline/shoreline which has been eroded by sea waves.
With the existence of a protective building for ocean currents and waves, it will
be reduced, and this will actually trigger sedimentation around the breakwater.
References
1. Opa ET (2011) Perubahan garis pantai Desa Bentenan Kecamatan Pusomaen, Minahasa
Tenggara. Jurnal Perikanan dan Kelautan Tropis 7(3):109–114
2. Sutikno S (2014) Analisis laju abrasi pantai Pulau Bengkalis dengan menggunakan data satelit.
In: Pertemuan Ilmiah Tahunan (PIT) HATHI (Himpunan Ahli Teknik Hidraulik Indonesia)
XXXI, Padang
48 H. Tampubolon
3. Ghosh MK, Kumar L, Roy C (2015) Monitoring the coastline change of Hatiya Island in
Bangladesh using remote sensing techniques. ISPRS J Photogrammetry Remote Sens 101:137–
144. https://doi.org/10.1016/j.isprsjprs.2014.12.009
4. Loka Penelitian Sumberdaya dan Kerentana Pesisir (2012) Laporan Akhir: Kajian Kerentanan
Pesisir Berdasarkan Karakteristik dan Geodinamika Pantai (Studi kasus Kab. Agam dan Kab.
Bengkalis). BPPKP DKP Bengkalis, Riau
5. Coastal Engineering Research Center (1984) Shore protection manual. US Army Corps of
Engineers, Washington DC
6. Rantung MM, Binilang A, Wuisan EM, Halim F (2013) Analisis Erosi dan Sedimentasi Lahan
di Sub DAS Panasen Kabupaten Minahasa. Jurnal Sipil Statik 1(5):309–317
Nonlinear Effect of Fluid–Structure
Interaction Modeling in the Rock-Fill
Dam Jatiluhur
Albert Sulaiman , Wati A. Pranoto , Tati Zera ,

and Mouli De Rizka Dewantoro
Abstract Earthquake effects, hydrodynamic forces, and nonlinear effects (structure

properties represented by elastic constants) on rock-fill dam vibrations are inves-
tigated with a special case in the Jatiluhur dam, Indonesia. The vibration was
studied by using the Single Degree of Freedom (SdoF) model with hydrodynamic
forces and earthquakes as external forces. The analytical solution is obtained by the
Laplace transform. Variations in hydrodynamic forces are obtained from water level
measurement data where three scenarios are carried out, namely the lowest water
level, middle and highest. The results show that the resulting hydrodynamic force
does not have a significant effect on the vibration of the dam. The change in the
vibration amplitude corresponds to the earthquake amplitude when the earthquake
ends. The effects of the earthquake are still felt for a few seconds. The second
model is to study the inhomogeneous-isotropic behavior of the Dam constituent
material in a nonlinear elastic coefficient. We express the elastic properties of the
material in terms of the Taylor expansion. By using the Taylor expansion for the
nonlinear effect up to the fifth-order show that the nonlinear term did not give effect
on the vibration amplitude but the vibration shift.
Keywords Fluid-structure Groundmotion Jatiluhur Rock-fill dam
A. Sulaiman (&)
Research Center for Physics, Indonesian Institute of Science—LIPI, Jakarta, Indonesia
e-mail: albertus.sulaiman@lipi.go.id
A. Sulaiman W. A. Pranoto
Department of Civil Engineering, Universitas Tarumanagara, Jakarta, Indonesia
e-mail: watip@ft.untar.ac.id
T. Zera
Faculty of Science and Technology, Universitas Islam Negeri Syari Hidayatullah, Tangerang,
Indonesia
e-mail: tati_zera@uinjkt.ac.id
M. De Rizka Dewantoro
Jasa Tirta II Public Corporation, Purwakarta, Indonesia
e-mail: derizkadewantoro@jasatirta2.co.id
https://doi.org/10.1007/978-981-16-7949-0_5
50 A. Sulaiman et al.
1 Introduction
The Dam is a hydraulic structure that is very important for humans life, so that it
has received serious attention, especially in the aspect of structural durability due to
environmental influences. An important environmental effect is a force due to water
itself which takes place continuously, the abundance of excess rainfall (overtop-
ping), landslides, and earthquakes, especially for earthquake-prone areas. The
failure or breaking of a rockfill or gravity dam during an earthquake is extensive
cracking and deformation in the zone between the base of the dam and the foun-
dation rock. In the event of an earthquake, the interaction between rigid structures
(dams) and water creates additional (hydrodynamics) pressure upstream of the dam.
The hydrodynamic force which is manifested in continuous hydrodynamic pressure
will give dam elastic deformation. This is called the water-structure interaction and
the excitation effect due to earthquakes has become a hot topic that has been studied
a lot [1, 2]. Related to the research, many approaches have been developed where
one of the most popular is the finite element method. This method is used to
determine the acceleration demands of the floor in gravity dam vulnerability due to
earthquakes. The studies and simulation are very useful for the evaluation of the
safety of the dam structure [3].
Several studies related to the effects of earthquakes on dam structures have been
carried out, such as soil-structure interactions where the material damage for both
soil and structure occurs as a result of the dissipation of earthquake energy acting on
it [4, 5]. Studies related to earthquake wave response (seismic) on concrete gravity
dam in near-fault and far-fault ground motion [6]. Several studies related to
dam-reservoir interactions have been carried out, especially by looking at the effect
of acceleration amplification on the dam crest which is calculated based on the
harmonic acceleration load. Estimation of stress and strain on the dam will be
underestimated if this effect is neglected [7, 8]. On the other hand, earthquake is
studied by taking into account the stochastic effect of vibrations on the dam
structure. The results show that the random effect of vibrations after the peak of the
earthquake affects the fragility and fatigue of the dam structure [9]. The stochastic
effect was also studied by using wavelet transform, which can be used to detect
damage from noisy [10]. The physical model approach is also carried out by giving
more realistic results but requires a large amount of money and time [11].
In this paper, the fluid–structure interaction of a rock-fill Jatiluhur Dam (see
Fig. 1) subjected to horizontal ground motion due to earthquake and hydrostatic
pressure is investigated. This Dam started operations in 1967 with gravity con-
struction with a rock embankment structure where the center is filled with clay. This
structure has a length of 1.2 km and dams the Citarum river with water storage is
about 4500 km2. The water capacity is 12.9 billion m3/year and installed six turbine
units with the power of 187 MW with an average electricity production of 1000
million kWh per year. In addition, Jatiluhur Dam has the function of providing
irrigation water for 242,000 ha of rice fields (twice a year), drinking water, fisheries
cultivation, and flood control. In the case of the Jatiluhur dam, we use water level
Nonlinear Effect of Fluid–Structure … 51
a b
Fig. 1 a Location of Jatiluhur dam in Java Island, Indonesia, b the rock-fill Jatilihur dam. Source
Perusahaan Jasa Tirta II
measurement to analyze the hydrodynamics force and seismograph waveform for

earthquake effect.
2 The Model
In this paper, we investigate the vibrational behavior of the Dam structure due to the
effects of earth echoes and hydrodynamic forces working on it. The geometry of the
model is depicted in Fig. 2. First, we use a one-dimensional vibration model with
external forces in the form of the hydrodynamic forces and the earthquakes known
as the single degree of freedom model. Second, we study the stiffness properties of
the Dam structure on vibration due to hydrodynamic and earthquake forces where
the effect of the structure is modeled by taking into account the nonlinear terms of
the coefficient of elasticity.
Fig. 2 Idealized of the

Jatiluhur dam, hydrodynamics
forces (purple arrow), ground
motion due to earthquake (red
arrow)
2.1 Single Degree of Freedom (SdoF)
In general, the interaction of rock-fill Dam with water in a reservoir is formulated in

terms of finite elements that describe the interactions solid field elasticity and
fluid-based potential expressed in Eq. 1. [3],

m 0 €u cs cfs u_ k 0 u €
ug
0 ek /€ þ csf cf /_
þ s
0 kf /
¼ ½I
u_ g
ð1Þ
where u is an element of dam displacement (x-coordinate, m is the mass of an

element of structure, ks is the stiffness, cs is a damping factor, cf is viscous damping,
csf is the damping of water-structure interaction, / is the potential velocity of water,
ek, and kf are the potential, and kinetic energy of water particle and ug is dis-
placement due to earthquake. The ‘dot’ means derivative with respect to the time
coordinate.
In this paper, the hydrodynamic force is studied with the water level data at the
Jatiluhur Dam so that to simplify the problem. We look at the hydrodynamic force
as an input to the vibrational dynamics of the dam structure. Many external forces
affect vibration in a Dam, but the most important are hydrodynamic forces and
earthquakes [1]. With the heigh (Hd) of a rock-fill Dam subjected to a horizontal
ground acceleration due to earthquake (∂2ug/∂t2) and hydrodynamics acceleration
(∂up/∂t) with up is a particle fluid velocity, then the single degree of freedom of the
Dam system is given in Eq. 2 [3],

d2 u du @up @ 2 ug
þc þx u ¼
2
þ ð2Þ
dt2 dt @t @t2
where c = cs/m, x = √ks/m, m is the mass of an element of structure, and up = ∂//

∂z is horizontal particle velocity due to hydrodynamics pressure. It is not difficult to
show, by using Laplace transform, we have an analytic solution of Eq. 2 as shown
in Eq. 3.
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi ðuð0Þ þ u0 ð0ÞÞ pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
uðtÞ ¼ uð0Þect cos x2 c2 t þ pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi eyt sin x2 c2 t
x 2 c2
1 Zt
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi @u @ 2 up
ð3Þ
cðtsÞ p
þ pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi e sin x c ð t sÞ
2 2 þ ds
m x 2 c2 0 @s @s2
2.2 Nonlinear Model
The elastic coefficient in Eq. 2 is constant so that the material making up the dam is
considered to be homogeneous-isotropic. For rock-fill Dam such as Jatiluhur, the
material is not homogeneous isotropic so that the elastic coefficient is not constant
and the material properties are no longer linear. The relationship between stress and
strain is no longer linear. In this paper, we study the inhomogeneous-isotropic
behavior of the Dam constituent material in a nonlinear elastic coefficient. We
express the elastic properties of the material in terms of the Taylor expansion. This
is the simplest method in the theory of nonlinear elasticity. The expression of the
Taylor series of the sine function is sin(ku) * ku − 1/3!k3u3 + 1/5!k5u5 − …. By
maintaining until the second term then Eq. 2 becomes Eq. 4.

d2 u du @up @ 2 ug
þc þ x u au þ bu ¼
2 3 5
þ ð4Þ
dt2 dt @t @t2
If we perform the following transformation in Eq. 5, this yields Eq. 6.
du
¼v ð5Þ
dt

dv @up @ 2 ug
¼ cv x u þ au bu
2 3 5
þ ð6Þ
dt @t @t2
This is a system of first-order nonlinear ordinary differential equations with

unknown functions u and v. This equation will be solved using the Runge–Kutta
method with Matlab software.
The multipurpose Jatiluhur Dam is located in West Java Province at a position of 7°

South and 107° East, 130 km southeast of Jakarta. This dams the Citarum River in
the Purwakarta Regency area and has functions for flood control, water supply
irrigation, drinking water, and industrial and hydroelectric power plants. With a
design capacity of 3.00 billion m3, this dam is capable of ensuring water supply to
irrigation areas to the west, north, and east of the River Citarum. In addition to
controlling the irrigation area, the Jatiluhur Dam is also a source of hydroelectric
power plants with a production of 1.12 billion kWh per year and flood control as
well as tourism and freshwater aquaculture. Jatiluhur Dam is designed to hold water
with a maximum height of 109 m above sea level. The varying water level is
depicted in Fig. 3. The result shows that the time series of water level has the peak
of spectrum around 370 days. This indicates that the annual variability is influenced
Fig. 3 a The time series of water level on the Jatiluhur dam and the lowpass filter with cut-off
period 30 days, b normalized power spectrum with the maximum energy 370 days
strongly by the monsoon system. The lowpass filter pattern (30 days cutoff period)
is significant, indicating that the daily-weekly variability is not dominant. So the
quantity of water sources in the Jatiluhur reservoir is stable.
We study the effects of earthquakes and hydrostatic pressure on the upstream
face of the dam. The hydrodynamic pressure can be estimated by using
Westergaard’s (1933) formula, which uses a parabolic approximation for additional
stress due to an earthquake. Westergaard’s hydrodynamics pressure p = 7/
8qax√(hz) where q water density, ax = ∂up/∂t horizontal acceleration, h the
depth of dam, and z is the water level. In calculations it is assumed that q = 1000
kgm−3 and g = 10 ms−2. With the length of the Jatiluhur dam is about 1220 m, the
maximum depth is 110 m, then hydrodynamics acceleration is given by ah = p/
(qA) with A is the area of interest. The Dam vibration due to ground motion and the
hydrodynamics forces for the lowest water table is depicted in Fig. 4. In the sim-
ulation, we assume the Dam has m * 2 ton/m3, k = 0.5 N/m [5], and the damping
coefficient is about 0.0005 Nms−1.
Fig. 4 The ground motion and the dam vibration with normalized of ground motion and SdoF
By using the Westergaard formula and the synthetic ground motion data, we
calculate the Dam vibration due to these two forces, as shown in Fig. 4. In general,
changes in the vibration amplitude correspond to the earthquake amplitude when
the earthquake ends. The effects of the earthquake are still felt for a few seconds.
Meanwhile, the change in hydrodynamic force (as seen from the change in water
level) is depicted in Fig. 5. In general, a change in depth of about 10–20 m does not
give a significant change in the vibration amplitude.
In this study, hydrodynamic data has different time intervals from earthquakes
where the water level has daily intervals. In an earthquake interval of milliseconds,
the hydrodynamic force is constant. So that, we consider the hydrodynamic forces
in the three scenarios above. Next, we calculate the effect of change in hydrody-
namic forces due to changes in water level on the vibration response during an
earthquake. These results are shown in Fig. 6. The results show that the change in
hydrodynamic force due to changes in the water level of about 20 m (green line)
has no significant effect on the vibration amplitude.
Furthermore, by expanding the elastic terms in the nonlinear term to the
fifth-order (Eq. 4), the simulation results are expressed in Fig. 7. This solution is
obtained by converting second-order differential equations into a first-order system
of differential equations by transforming through Eq. 5. The solution is solved by
the Runge–Kutta method. The simulation shows that the nonlinear effect does not
significantly contribute to the amplitude but has a shift effect on the vibrational
motion. Previous paper studies have shown that an earthquake acceleration
amplitude of 1 m/s2 can increase the vibration amplitude by about 10 mm [5]. In
this paper, we use normalized synthetic data which increases amplitude by about
5 mm. The use of real waveforms will give more qualitative results. This will be
done in future research.
Fig. 5 The dam vibration with the middle and the highest water table
Fig. 6 The dam vibration or conditions without hydrodynamic forces and with hydrodynamic
forces due to changes in water level 20 m
Fig. 7 Nonlinear effect of SdoF related to hydrodynamics and earthquake in dam vibration
4 Conclusion
The behavior of Jatiluhur Dam vibration with the hydrodynamic forces and
earthquakes as external forces have been investigated in this paper. The basic model
used in the investigation is called the SdoF where the analytical solution has been
founded with the Laplace transform methods. The result shows that changes in the
vibration amplitude correspond to the earthquake amplitude when the earthquake
ends, the effects of the earthquake are still felt for a few seconds. Variations in
hydrodynamic forces are obtained from water level measurement data where three
scenarios are carried out, namely when the water level is lowest, middle, and
highest. The results show that the resulting hydrodynamic force does not have a
significant effect on the vibration of the dam. The hydrodynamic forces due to the
difference in water level did not have a significant effect on the Dam vibration. In
other words, the hydrodynamic forces may only have a long-term effect on the Dam
vibration. The second model is to study the stiffness behavior of building materials
by looking at the non-linear stiffness coefficients. By using the Taylor expansion for
the nonlinear effect up to the fifth-order show that the nonlinear term did not give
effect on the vibration amplitude but the vibration shift.
Acknowledgements This research funded by P2FT-LIPI and Magister Teknik Sipil Universitas
Tarumanagara for fiscal year 2021. We also to thank the anonymous reviewer who has made a lot
of improvements to this manuscript.
References
1. Novák P, Moffat AIB, Nalluri C, Narayanan RAIB (2017) Hydraulic structures. CRC Press,
United States
2. Faria R, Oliveira S, Silvestre AL (2019) A fluid-structure interaction model for dam-water
systems: analytical study and application to seismic behavior. Adv Math Phys 2019.https://
doi.org/10.1155/2019/8083906
3. Bouaanani N, Renaud S (2014) Effects of fluid–structure interaction modeling assumptions on
seismic floor acceleration demands within gravity dams. Eng Struct 67:1–18
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analysis of concrete gravity dams. In: COMPDYN proceedings, vol 3. European Community
on Computational Methods in Applied Sciences (ECCOMAS), pp 5662–5673
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Institutului Politehnic din lasi. Sectia Constructii, Arhitectura 54(3):57
Assessment of Flooding Event
in the Upper Sunter Watershed,
Jakarta, Indonesia
Anasya Arsita Laksmi , Anthony Harlly Sasono Putro ,

Wisnu Setia Dharma , Pungky Dharma Saputra ,
Nina Purwanti , and Muhammad Hamzah Fansuri
Abstract Flood is one of Jakarta’s tremendous problems, which induces loss and
damage to society. Thus, the city needs improvements from many aspects, espe-
cially the assimilation between hard and soft solutions to provide an integrated
flood risk management system. As one of 13 rivers that flow across Jakarta, Sunter
River is threatened by floods every rainy season. The flooding behavior was
assessed by analyzing hydrologic modeling. As the flood assessment, the objective
of this research focused on developing the hydrologic model to simulate hourly
rainfall events in the Sunter River generated using Hydrologic Modelling System
(HEC-HMS) software. The condition of the simulation also depends on the envi-
ronmental situation in this watershed, such as land use and availability of its flood
plain. Then, the calibration and validation processes produce the optimized
parameter value based on the model efficiencies parameters. These results were
used to simulate the storm designs for several return periods. Therefore, the peak of
discharge for each return period can be assessed value for flooding behavior. This
assessment analysis can be used and improved for early warning system analysis
and further design as a soft structure solution. Hence, the strategic plan for flood
management can be formulated in the watershed.
Keywords Flood Hydrologic modelling Sunter river
A. A. Laksmi (&) P. D. Saputra N. Purwanti M. H. Fansuri

Department of Civil Engineering, Faculty of Military Engineering, Republic of Indonesia
Defense University, Bogor, Indonesia
e-mail: anasyaarsita@gmail.com
A. H. S. Putro
Directorate General of Water Resources, Ministry of Public Works and Housing, Jakarta,
Indonesia
W. S. Dharma
Engineering Procurement and Construction Division, PT Waskita Karya (Persero) Tbk,
Pekanbaru, Indonesia
https://doi.org/10.1007/978-981-16-7949-0_6
60 A. A. Laksmi et al.
1 Introduction
Jakarta, the capital city of Indonesia, has been overwhelmed by tremendous floods
in the last decade, with at least three major flood events that happened in 2002,
2007, and 2013. The floods occurred due to some causes, such as climate change,
urbanization, and land subsidence. Flooding in Jakarta left unsolved problems for a
long time in rescue or rehabilitation of health, environment, employment, and many
other issues. It takes billions of rupiah as well as material losses for the people who
live along the riverbank. Additionally, the megacity’s economic development
allows the opportunity of working and accommodation to its citizen [1]. It leads to
rapid urbanization that contributes to the worse land use situation and has led to the
reduction of water infiltration ability. The data from Indonesian Bureau Statistics
shows that the city has a population rate of 0.92% and is predicted to grow in the
future [2].
As one of the river basins in Jakarta, Sunter Watershed is prone to flood events.
The 56 km long river has a total area of around 181.24 km2 and the slope is
approximately 25–35% [3]. This river flows along with several inundation areas,
such as Pondok Gede, Cipinang, and Kelapa Gading, a dense population and the
center of business and housing. Even though the hard-structure solution by con-
structing the East Flood Canal (KBT) was performed to reduce the discharge
downstream, it does not immediately free the watershed from flood risk. Aside from
KBT construction, a soft-structure approach is needed to improve the city’s inte-
grated flood risk management system.
Thus, this study aims to assess the flooding event in the upper area of Sunter
Watershed as one of the most prone areas. A rainfall-runoff simulation model using
the Hydrologic Modelling System (HEC-HMS) was performed to assess the area in
several storm events. The model also generates the discharge data based on the
design storm events for several return-period from 2 to 200 years. In future
research, the output of this study is expected to be implemented for society edu-
cation about flood events as a part of the early warning system in Jakarta.
2 Study Site
The study area of this research is located at the upper of Sunter Watershed, as
shown in Fig. 1. The watershed contains two upstream rivers: Sunter River and
Cipinang River that merge into one main river downstream. The maximum length
of the watershed is approximately 37 km stream, and the river basin of 329.93 km2
with an annual average temperature in the area is 26 °C. In addition, the average
annual rainfall is around 1883 mm based on Cipinang gauge station data from 2001
to 2007. The Cipinang Gauge is the streamflow observation point located at point 4
of Fig. 1. According to [4], the water usage of the rivers is categorized for agri-
cultural purposes, urban business, and the hydroelectric power industry.
Nevertheless, the river function is only for urban purposes nowadays.
Assessment of Flooding Event … 61
Fig. 1 The study area of Sunter watershed
3 Materials and Methods
3.1 Data
In order to set up the map of the watershed for modeling in HEC-HMS, this study
used several diverse datasets (raster data), such as Digital Elevation Model (DEM),
land use, and soil. The DEM data was extracted from U.S. Geological Survey
(USGS) repository global data with 30 m resolution. The Global Hydrologic Soil
Groups (HSGs) NASA provides the soil dataset with a projected resolution of
approximately 250 m, and the land use data supplied from WaterBase of United
Nations University global repository data with 400 m resolution for Australia/
Pacific data. Additionally, the hydrologic model simulation uses the selected
rainfall events of the hourly rainfall data from January 2000 to May 2008. These
data were obtained from the Meteorological, Climatological, and Geophysical
Agency of Indonesia at Station No: Meteorologi 745. Furthermore, the calibration
and validation of the hydrologic model were performed using daily discharge data
from 2000 to 2008 which was obtained from the Ministry of Public Works and
Housing at Cipinang Station. Since the observed precipitation and discharge dataset
is in a different time base, the methodology in this research accommodates several

additional steps to obtain an acceptable analysis result.
3.2 Methodology
The first step of this research was developing a model for the watershed basin using
ArcGIS and HEC-GeoHMS, consisting of several processes using the input: DEM,
land use, and soil map. HEC-GeoHMS is a tool developed by the U.S. Army Corps
of Engineers to generate a map in ArcGIS with the output of a basin model that can
be imported directly to HEC-HMS. In the process, the watershed system can be
delineated into some sub-basins, reaches, and junctions.
After the development of the basin model, HEC-HMS was performed to sim-
ulate the selected precipitation model. This software has an important role in pro-
ducing hydrological simulations based on the hourly and daily data in the dendritic
watershed system. The software consists of several methods to conduct the analysis,
such as the Loss method (e.g., Initial and Constant, Soil Conservation Service
(SCS) Curve Number, Smith Parlange), Transformation method (e.g., Mod Clark,
Snyder Unit Hydrograph, SCS Unit Hydrograph), and Routing method (e.g.,
Kinematic Wave, Muskingum, Muskingum-Cunge) [5]. Furthermore, this study
specifies the SCS Curve Number for Loss method, SCS Unit Hydrograph for the
Transformation method, and Muskingum for Routing method. In addition, the
applied parameters in this study were SCS Curve Number, Initial Abstraction,
Impervious (Loss), SCS Unit Hydrograph, Lag Time (transform), Muskingum K,
Muskingum X, Number of Subreaches (routing). Those parameters were adjusted to
get the nearest value of simulation discharge to the observation data. This study
simulated 3 (three) selected rainfall storm events (Event 1: 12–18 March 2007,
Event 2: 9–17 December 2004, Event 3: 9–15 February 2005).
The simulation output was calibrated using the observed discharge data to
improve the result. However, the observed discharge data were on a daily basis.
Thus, the hourly discharge simulation result is processed to get the average daily
streamflow. Then, the WHAT program, developed by Purdue University, was
performed to separate the baseflow to get the direct runoff output. WHAT program
is an internet-based tool to analyze streamflow time series data. In this case, the
observation and simulation discharge compared until the model efficiency criteria
show an acceptable outcome. After the calibration process, several values for the
optimized parameter were obtained and used to validate several rainfall-runoff
events. This study used the selected optimized parameter to simulate 2 (two) se-
lected storm events (Event 1: 24 February–03 March 2003 and Event 2: 04–12
February 2006) for validation.
Moreover, the input parameter was also used for the design storm model, which
simulated for several return periods from 2 to 200 years. This study also used
HEC-HMS to produce hydrographs for each design storm. Furthermore, the
methodology of the hydrological simulation in this study can be seen in Fig. 2.
Fig. 2 The methodology used to perform the modeling
3.3 Model Performance Criteria
Several parameters of model efficiency were used to evaluate the accuracy of the
calibration and validation model in this research. This study used R-squared (R2),
Nash–Sutcliffe Efficiency (NSE), and Root Mean Square Error (RMSE) to evaluate
the accuracy. R2 is a statistical measure of curve distance to the fitted regression
line. It is also known as the coefficient of determination or the coefficient of mul-
tiple determination for multiple regression. R2 ranges from 0 to 1, with higher
values indicating less error variance, and typically values greater than 0.5 are
considered acceptable. The equation for R2 is shown in Eq. 1, in which n, Q0, and
Qs are the total sample size, observed discharge, and simulated discharge,
respectively.
" sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
X X !#2
X X X 2 X 2 2 X 2
R ¼
2
n Q0 Qs Q0 Qs = n Q0 Q0 n Qs Qs ð1Þ
The second model efficiency is RMSE or Root Mean Square Error which is
commonly used to analyze the error-index statistics. The lower RMSE shows better
model performance. According to [6], the equation can be seen in Eq. 2.
ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
r ffi
X 2
RMSE ¼ ðQ0 Qs Þ ð2Þ
Meanwhile, Nash–Sutcliffe Efficiency (NSE) is used to assess the predictive

power of hydrological models. According to [7], the formula is presented in Eq. 3.
hX 2 i
NSE ¼ 1 ðQ0 Qs Þ2 = Q0 Q ð3Þ
The HEC-HMS simulation result for the selected rainfall period was calibrated
using daily discharge observed data. Some parameters, such as Muskingum-K,
Muskingum-X, and impervious, were adjusted to perform the calibration process.
This study used 3 (three) periods of rainfall events for the calibration process to
obtain the optimum value for the rainfall model at Sunter River. In order to get the
optimum value for each simulation, the model efficiency was tested for each sim-
ulation by using several objective values such as Nash–Sutcliffe (N.S.), root mean
square error (RMSE), R-squared (R2). Table 1 shows the optimum parameter for
each calibration simulation. The daily and the hourly result of the calibration graph
for case 1 (12–18 March 2007) can be seen in Figs. 3, 4, 5 and 6 show the
calibration of case 2 (9–17 December 2004), while case 3 (9–15 February 2005)
results are shown in Figs. 7 and 8.
Moreover, the model efficiency output for each calibration case can be seen in
Table 2. The average acceptable value was indicated from the result of calibration 2.
Therefore, the parameter used in calibration 2 was performed in the validation
process.
Furthermore, the optimum value for each model was validated with two periods
of rainfall events, as shown in Figs. 9 and 10 for the daily hydrograph and the
hourly hydrograph of validation case 1 (24 February–03 March 2003), respectively.
Figures 11 and 12 show the result for validation 2 (04–12 February 2006). In this
case, the optimum value obtained based on the model efficiencies in the validation
process can be seen in Table 3.
Table 1 The parameter value Parameter Calibration Calibration Calibration

for three calibration cases 1 2 3
Muskingum-K 6 30 80
(h)
Muskingum-X 0.01 0.01 0.01
Impervious (%) 0 0 0
Fig. 3 The daily calibration model result for Calibration 1 (12–18 March 2007) scenario
Fig. 4 The hourly calibration model result for Calibration 1 (12–18 March 2007) scenario
Fig. 5 The daily calibration model result for Calibration 2 (9–17 December 2004) scenario
Fig. 6 The hourly calibration model result for Calibration 2 (9–17 December 2004) scenario
Fig. 7 The daily calibration model result for Calibration 3 (9–15 February 2005) scenario
Fig. 8 The hourly calibration model result for Calibration 3 (9–15 February 2005) scenario
Table 2 The model Parameter RMSE R2 NSE

efficiency output for each
calibration case Calibration 1 9.64 0.41 0.31
Calibration 2 5.94 0.54 0.43
Calibration 3 8.03 0.27 0.16
Fig. 9 The daily validation model result for Validation 1 (24 February–03 March 2003) scenario
Moreover, the result shows that the model efficiency output for each validation
process has an acceptable value. It indicates that the optimized parameters from
calibration 2 can be used for flood modeling in the Sunter Watershed. Furthermore,
the selected optimized parameter (Muskingum K = 30; Muskingum x = 0.01; and
impervious = 0) used to simulate design storm for several return periods.
4.1 Design Storm Simulation
After the calibration and validation process, the optimized parameter was used to
simulate the design storm. According to [8], several design storm events for Sunter
Watershed were calculated by using Fisher Tippet I Distribution methods for
several return periods from 2 to 200 years. Table 4 shows the calculation result in
the value of 24-h rainfall (mm) for the selected return period. The analysis of storm
Fig. 10 The hourly validation model result for Validation 1 (24 February–03 March 2003)
scenario
Fig. 11 The daily validation model result for Validation 2 (04–12 February 2006) scenario
Fig. 12 The hourly validation model result for Validation 2 (04–12 February 2006) scenario
Table 3 Model efficiency for Simulation RMSE R2 NSE

validation case
Validation 1 4.23 0.38 0.21
Validation 2 9.20 0.58 0.55
Table 4 The return period Return period (Tr) R24 (mm)

and the value of the 24-h
rainfall event 2 135.97
5 189.97
10 225.72
25 270.90
50 304.42
100 337.68
200 370.83
events was performed using the Depth-Duration-Frequency (DDF) curves. In

addition, Fig. 13 shows the DDF curves for the selected return period.
The design storms were simulated in the HEC-HMS by using the optimized
parameter to generate the hydrograph for 48 h by performing the Frequency Storm
module in HEC-HMS, as shown in Figs. 14, 15, 16, 17, 18, 19 and 20. The
summary of peak discharge data of each graph is presented in Table 5. The
Fig. 13 Rainfall depth duration curves for Sunter watershed
Fig. 14 The simulation of design storm at Sunter watershed using 2 years return period
Table 5 The peak value of Return period (Tr) Discharge (m3/s)

the simulated design storm
2 2329.4
5 3257.0
10 3871.1
25 4647.1
50 5222.9
100 5794.3
200 6363.6
frequency storm result shows a very high value of inflow in the watershed. This
data could be used for the basis of infrastructure design or hazard prevention in the
future. Generally, the design of hydraulic structure use at least 50 years return
period. Thus, the estimated discharge of the Sunter Watershed is 5222.9 m3/s.
5 Conclusions
Sunter Watershed is one of the most flood-prone areas in Jakarta, with some
inundation areas, such as Pondok Gede, Cipinang, and Kelapa Gading. This
research developed a hydrological model to assess the rainfall events in the upper
Sunter Watershed with the simulation input of hourly precipitation data and daily
river discharge data. The model performance criteria (R2, NSE, and RMSE) are
used to optimize the calibration and validation process, in which the simulation
demonstrates an accepted result. Moreover, the storm event simulation of Sunter
River presents the peak value of 50 until 100 years return periods are 5333.9 m3/s
to 5794.3 m3/s, respectively. This value can be considered as the design storm result
for hydraulic structure design purposes. Additionally, the methodology of the study
is expected to be implemented in the analysis of another watershed with a lack of
hourly discharge data.
Acknowledgements The author gratefully acknowledges the Ministry of Public Works and
Housing of the Republic of Indonesia for providing the data of this research and Dr. Younghyun
Cho from K-Water South Korea for the assistance on the data processing.
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Jakarta
Modeling of Flood Propagation
in the Lower Citarum River Using
a Coupled 1D-2D HEC-RAS Model
Angga Prawirakusuma, Sri Legowo Wignyo Darsono,

and Arno Adi Kuntoro
Abstract Lower Citarum experiences recurring flood that caused by extreme

rainfalls. Study of flood models is now needed to anticipate and prepare flood risk
management to reduce losses. This study presents the modeling of the Lower
Citarum flood flow using 1D-2D flood modeling in HEC-RAS to understand the
behavior of floods. A combination of topographic survey and satellite data was used
to model the river channel. Fifteen lateral structures were used to couple the 1D and
2D regimes, where the locations of the structure were based on observations.
Results showed minor excesses over the lateral structures, which gradually grow
into large areas over time. The study identifies locations with a high risk of flooding
in the Lower Citarum Zone, which can be used in further studies for academic and
practical purposes. The model result has a discrepancy with the observed data. This
difference probably occurred due to the different analysis methods between the
observed data and flood modeling or the model’s accuracy.
Keywords Flood Coupled 1D-2D HEC-RAS Lower Citarum
1 Introduction
Weather changes cause the natural flow of rivers and streams to vary significantly
over time. Periods of overflow and valley flooding may occur alternately with low
flows or droughts. Therefore, the role of reservoirs is to retain water during periods
of high flow, thereby preventing catastrophic flooding and then allowing the
gradual release of water during periods of low flow [1]. Simple reservoirs were
A. Prawirakusuma (&)
Doctoral Program of Civil Engineering, Institut Teknologi Bandung, Jalan Ganesa No. 10,
Bandung 40132, Indonesia
e-mail: aprawirakusuma@students.itb.ac.id
S. L. W. Darsono A. A. Kuntoro
Water Resources Engineering Research Group, Institut Teknologi Bandung, Jalan Ganesa
No. 10, Bandung 40132, Indonesia
https://doi.org/10.1007/978-981-16-7949-0_7
78 A. Prawirakusuma et al.
created early in human history to provide water for drinking and irrigation. From
southern Asia and northern Africa, reservoir use spread to Europe and other con-
tinents. The history of reservoir construction in Indonesia has also experienced
physical and functional development [2].
In West Java, Indonesia, the Citarum River is the longest and biggest river. After
Bengawan Solo and Brantas, it is Java Island’s third longest river. It plays a
significant role in the lives of the inhabitants of West Java since it provides water,
agriculture, fisheries, industry, sewerage, and energy to a population of 25 million
people [3]. It is one of the world’s most polluted rivers. All rivers in the Citarum
River Basin flow from south to north, with their headwaters at the surrounding area
of Bandung City. The river empties into the north coast (Java Sea) in the Muara
Gembong area, Java Sea. Citarum zones are divided into upper, middle, and lower
Citarum. The Upper Citarum zone starts from the upstream of the river to the inlet
of the Saguling Reservoir. The Middle Citarum zone is a series of
Saguling-Cirata-Jatiluhur cascade reservoirs, and the Lower Citarum Zone is lim-
ited between the outlet of the Jatiluhur Reservoir to its estuary at Muara Gembong.
Figure 1 presents the division of Citarum River Zones.
Fig. 1 Citarum zone divisions

Modeling of Flood Propagation … 79
The Lower Citarum is experiencing degradation of flood control infrastructure

and irrigation network infrastructure. There are even some points that lack flood
control infrastructure in the estuary. Besides that, there is also coastal abrasion in
the estuary, which exacerbates the situation. Floods are caused by high rainfall that
takes place continuously. Simultaneously with the overflowing of the Cikao River
in Purwakarta, the Cibeet River in Karawang flows into the Citarum River. The
Citarum River channel in Karawang could no longer accommodate flood discharges
from upstream, resulting in flooding in Karawang and Bekasi Regencies.
Flood modeling is one of the methods which able to assist flood event analysis.
Hydraulic model dimensionality could affect the result simulations. 1D hydraulic
modeling using HEC-RAS Software is widely used to describe the flood event in
the main channel, yet the 2D hydraulic modeling can be used to analyze the
floodplain. In order to obtain an optimal approach to a modeling flood event, 1D
and 2D hydraulic modeling can be combined and known as coupled 1D-2D model.
Some previous studies used coupled 1D-2D model in simulating flood events. The
model results provide an accurate estimation of the flood hazard area and show
similarities with the observed data [4, 5]. This study presents the modeling of the
Lower Citarum flood flow using 1D-2D flooding using HEC-RAS. This research
aims to understand the behavior of floods in the Lower Citarum river and its
potential solutions. This study can be used to analyze further studies both for
academic and practical purposes.
2 Methodology
The study of flood models is now needed to anticipate and prepare flood risk
management due to flooding. Simulation or modeling of flood inundation can be
done using a 1-dimensional (1D) hydrodynamic model combined with two
dimensions (2D), called a 1D-2D coupled model. This hydrodynamic model is used
to calculate flood Water Surface Elevation (WSE). 1D and 2D modeling have either
advantages and disadvantages, especially regarding accuracy. The advantages of 1D
modeling are the accuracy of the flow in the river channel and the fast runtime. The
disadvantages are that it is less accurate in overland flow and the tedious model
building. The advantages of 2D modeling are high accuracy in overland flow and
rapid model building. At the same time, 2D modeling is not accurate enough to
model the flow in the river channel and the model time running is longer. Coupled
1D-2D modeling combines the advantages of 1D model accuracy on river flow and
2D model accuracy on overland flow, with the cost of more complex model building
and slower run. Flood modeling using HEC-RAS software is one of the hydrody-
namic models that has been recognized by the Federal Management Agency
(FEMA). HEC-RAS is a software developed by the Hydrologic Engineering Center
(HEC) under the US Army Corps of Engineers (USACE) [6]. HEC-RAS uses the
Saint–Venant equation or diffusion wave in the simulation process.
Primary topographic survey data were used to model the river channel, while the
overland flow uses MERIT Digital Elevation Model (DEM). Each dataset is
required to model the 1D and 2D portions of the model, respectively. The
HEC-RAS’s lateral structure feature couples the 1D and 2D hydrodynamic models.
The 1D and 2D model is connected by using lateral structures command in
HEC-RAS. The type of lateral structure is weir/embankment by coupling 1D and
2D model using this command, when the water spill from the river to the bank, it
will flow to the 2D flow area (overland flow). Figure 2 presents the screenshot of
the 1D-2D model building process. There are 15 points of lateral structures modeled
along the Lower Citarum River (which is shown by red color in Fig. 2). These
points were identified from field observations conducted by The Citarum River
Basin Authority (BBWS Citarum). There are eight and seven lateral structures on
the left and right sides of the river, respectively. The grid size for each 2D Flow
Area is 200 200, while the distance between cross sections is 50 m.
The modeling scenario is unsteady flow using historical discharge data for the
release of the Jatiluhur Reservoir and the discharge of the Cibeet River on March
18–23, 2010. The modeling period was chosen because there was an extreme flood
event in the Lower Citarum Zone since the discharge was relatively high. Those
data are used as input at the upstream. Then for boundary condition of the
downstream is 0 m above sea level.
River
Lateral structure
2D flow area
Fig. 2 Screenshot of the 1D-2D domain model building process using HEC-RAS software
Modeling is carried out along the Citarum Hilir section from the Citarum-Cibeet
confluence to Muara Gembong. The discharge scenario used is historical discharge
data, as mentioned in the previous section. The modeling is conducted using a
coupled 1D-2D model to obtain accuracy in river flow and inundation areas.
Merging 1D-2D was carried out at 15 lateral structures, which were identified as
points prone to flooding. As shown in the flood modeling results in Fig. 3, the blue
area is the inundation area based on the flood depth. The flooded overflow has
slowly occurred since March 19, 2010. At this modeling stage, overflow occurred in
each lateral structure. The overflow then gradually increased as the day progressed
so that the peak was obtained on March 23, 2010. The accumulation of floods that
occurred caused the flow to cross laterally to the west and east.
BNPB (The National Agency for Disaster Mitigation), as the national agency
that handles and mitigates disasters, including floods, also issued a map of flood
events during that period [7]. This flood map was prepared by identifying the field,
then marking each sub-district affected by the flood using shading. Because of this,
the flood map produced by BNPB uses a sub-district basis. The comparison
between the HEC-RAS model result and the BNPB flood event map is shown in
Fig. 4. HEC-RAS modeling detects the area’s topography from the DEM in the
simulations. As for the relationship between the HEC-RAS modeling and com-
parisons to the BNPB flood event map, the HEC-RAS model can identify locations
that experience overflow more accurately, especially at points in the middle section
of the Lower Citarum River. Based on Fig. 4, there is a significant difference in the
west–east area away from the Citarum River. The difference is probable to occur
because HEC-RAS modeling is using a different method from the BNPB
observation.
Another thing that can cause differences in the result is the input data. In this
model, the input data is limited to only use historical discharge data to release the
Fig. 3 Flood inundation area process modeled by coupled 1D-2D process using HEC-RAS
HEC-RAS Model BNPB ObservaƟon
Fig. 4 Comparison between HEC-RAS model and BNPB observation [7]
Jatiluhur Reservoir and the discharge of the Cibeet River. The local discharge, such
as from local rainfall in Lower Citarum Zone, has not been included yet. The
location of the lateral structure also determines the model result. Thus, for further
study, the lateral structure can be more accurate to increase model accuracy towards
the observation data. Nevertheless, through this study, a coupled 1D-2D HEC-RAS
model can be developed for analyzing flood events.
4 Conclusions
This study presented the modeling of the Lower Citarum flood flow using a 1D-2D
coupled model using HEC-RAS. The model’s objective is to understand the flood
in the modeling period, i.e., 18–23 March 2010, where an extreme flood occurred in
the Lower Citarum River. The model used 15 lateral structures to connect the 1D
and 2D regimes, while geometrical data is built on topographical and satellite-based
elevation surveys. The model presented the flood inundation process, which started
with minor overflows in the lateral structures on March 19, 2010. Then the flood
gradually grows into larger inundation areas. Comparing with the observation
conducted by the BNPB, there were agreements around the area on the inundated
regions. However, significant discrepancies were still present in the lateral direc-
tions (west–east area away from the Citarum River). This discrepancy could be
caused either by BNPB’s methodology or the accuracy of the coupled model. The
findings presented in this study can be used as an analysis for further studies both
for academic and practical purposes.
References
1. Zhao G, Gao H, Naz BS, Kao SC, Voisin N (2016) Integrating a reservoir regulation scheme
into a spatially distributed hydrological model. Adv Water Resour 98:16–31
2. Schnitter NJ (1994) A history of dams: the useful pyramids. Balkema, Rotterdam
3. Fulazzaky MA (2010) Water quality evaluation system to assess the status and the suitability of
the Citarum river water to different uses. Environ Monit Assess 168(1):669–684
4. Vozinaki AEK, Morianou GG, Alexakis DD, Tsanis IK (2017) Comparing 1D and combined
1D/2D hydraulic simulations using high-resolution topographic data: a case study of the
Koiliaris basin. Greece. Hydrol Sci J 62(4):642–656
5. Dasallas L, Kim Y, An H (2019) Case study of HEC-RAS 1D–2D coupling simulation: 2002
Baeksan flood event in Korea. Water 11(10):2048
6. Brunner GW (2002) Hec-ras (river analysis system). In: North American water and
environment congress & destructive water, pp 3782–3787. ASCE
7. BNPB Homepage (2021). https://www.bnpb.go.id/. Accessed 11 Jun 2021
Review: Effects of Climate
on the Geochemical Properties
of Volcanic Rocks
Novi Asniar , Yusep Muslih Purwana, Niken Silmi Surjandari,

and Bambang Setiawan
Abstract Volcanic rocks are formed from lithification magma that occurs on the
surface of the earth. This lithification process can be influenced by climatic con-
ditions in locations where volcanic rocks are formed. Koppen’s climate map divides
the region in the world into 5 (five) climates, namely: tropical climates, dry cli-
mates, temperate/mesothermal climates, continental/microthermal climates, and
polar climates. This study was conducted by collecting various literature from the
results of research on the geochemical content of volcanic rocks from various
locations in the world to classify the types/types of volcanic rocks based on their
climate. Grouping types/types of volcanic rocks are using a diagram of Total Alkali
versus Silica (TAS diagram). From the results of this review, it was found that
volcanic rocks in tropical climates generally are basalt and andesite; volcanic rocks
in dry climates generally vary from basaltic trachyte-andesite, trachyte-andesite,
andesite, and trachyte; volcanic rocks in the temperate/mesothermal climates gen-
erally are dacite and trachydacite; the volcanic rocks of the continental/
microthermal climates are generally basaltic andesite, andesite, and dacite.
Keywords Volcanic rock Climate Geochemical TAS diagram
1 Introduction
Climate is a statistical probability for various atmospheric conditions such as

temperature, pressure, wind, humidity that occur in an area for a long period of time
with an investigation of at least 30 years and covering a large area. Climate is a
continuation of the results of recording weather elements from day by day for a long
time so that it is referred to as the average of the weather element in general.
N. Asniar (&)
Civil Engineering Department, Perjuangan University, Tasikmalaya, Indonesia
e-mail: asniarnovi78@gmail.com
Y. M. Purwana N. S. Surjandari B. Setiawan
Civil Engineering Department, Sebelas Maret University, Surakarta, Indonesia
https://doi.org/10.1007/978-981-16-7949-0_8
86 N. Asniar et al.
Climate affects every aspect of human life. One of them is the process of rock
formation on earth. The rock cycle on earth involves three main rocks, namely
igneous, sedimentary, and metamorphic rocks. The process of forming these three
rocks is influenced by climate, especially the temperature at the location where the
process takes place. Temperature is an important factor in the formation, modifi-
cation, destruction, and re-formation of rocks.
Igneous rock as part of the rock cycle, formed by the cooling process of magma
that occurs beneath the surface of the earth (intrusive) and on the surface of the
earth (extrusive). Extrusive igneous rocks are often referred to as volcanic rocks.
Volcanic rocks are formed when the lava that comes out to the surface of the earth
meets the air temperature then cools rapidly. This fast cooling process forms
fine-grained rocks, for example, basalt rocks. Besides rock texture, the oxidation
process can change silicon as the main material for lava into Silicon dioxide, also
known as silica (SiO2).
The major oxides of the rocks are generally determined by their silica content:
rocks with low silica content are rich in magnesium oxide (MgO) and iron oxides
(FeO, Fe2O3, and Fe3O4) and depleted in soda (Na2O) and potassium (K2O);
whereas rocks with high silica content have low magnesium and iron oxides but are
enriched with soda and potassium. Because of the importance of this silica content,
it is common to use these features of igneous rocks as a basis for dividing them into
the following groups: silicate or felsic (or acidic), intermediate, mafic, and
ultramafic.
Igneous rock classification is generally based on two diagrams: the QAPF dia-
gram of quartz (Q), alkali feldspars (A), plagioclase feldspars (P), and feldspathoids
(F) for plutonic rocks and the TAS diagram of Total Alkali versus Silica for
volcanic rock. TAS diagrams can be used to classify common types of volcanic
rock based on the relationship between combined alkali content and silica content.
This chemical composition is useful because the relative proportions of alkali and
silica are very important in determining actual mineralogy and normative miner-
alogy. Volcanic rocks that have been chemically analyzed will be more easily
classified with the help of TAS diagrams [1].
This paper aims to analyze the relationship between the classification of volcanic
rocks from around the world with the climate conditions of the location.
Geochemical analysis data of volcanic rocks from several studies that have been
conducted are then analyzed using TAS diagrams to determine the classification of
volcanic rocks. Then concluded the relationship between the classification of vol-
canic rock and the climatic conditions in the location of the volcanic rock is located.
2 Previous Study
A study on the geochemistry of volcanic rocks has been carried out by researchers
to identify the characteristics of rocks and their classification. The location of the
previous study and the number of samples are shown in Table 1.
Review: Effects of Climate … 87
Table 1 Location of the previous study and number of samples

Location Researchers Number of
samples
Rinjani Mountain, Indonesia Wahidah et al. [1] 30
Galunggung Mountain, Indonesia Ramadhan et al. [2] 8
Singa Mountain, Hulu Lisung Mountain, Hutabarat [3] 8
Indonesia
the South Kauaì Swell Volcano, Hawaiì Ito et al. [4] 111
South Neyshabour, NE Iran Harsini et al. [5] 20
West and South West of Salafchegan, Qom, Taheri et al. [6] 29
Iran
Ghezelchekand (NE Ghorveh), Iran Sheikhzakariaee et al. 11
[7]
Jeju Island, South Korea Tatsumi et al. [8] 42
Dufur West Quadrangle, Oregon Herinckx et al. [9] 28
Andes, Chile Lopez-Escobar et al. 32
[10]
Gurasada Area, Southern Aouseni MTS, Constantina et al. [11] 10
Romania
Valencia, Spain Ryan et al. [12] 9
The Crommyonia volcanic rocks, Greece Soen [13] 35
Andes, Southern Peru Aramaki et al. [14] 87
Chispa Mountain Quadrangle, Texas Teal et al. [15] 66
Tampomas, Mountain, Indonesia Mesker [16] 18
3 Köppen Climate Classification
One of the most widely used climate classification systems is The Köppen Climate
Classification. It was the Russian climatologist Wladimir Köppen who first intro-
duced this climate classification in 1884. The Köppen climate classification divides
the climate into five main climate groups (Fig. 1). Five climate groups are divided
based on seasonal rainfall and temperature patterns, namely Group A (tropical),
Group B (dry), Group C (moderate), Group D (continental), and Group E (polar).
Each group and subgroup is represented by a letter. The first letter represents the
name of the group and the second letter represents the subgroup. All climates have
group and subgroup names, except climate E, which has no subgroups.
Group A: Tropical (Mega Thermal) Climates This type of climate has an
average temperature of 18 °C (64.4 °F) throughout the year or higher, with a
significant rainfall.
Group B: Dry (Arid and Semiarid) Climates This type of climate is charac-
terized by little rainfall and an annual average temperature of 20 °C.
Group C: Temperate (Mesothermal) Climates This type of climate has the
coldest month with an average temperature of between 0 °C (32 °F) or 3 °C (27 °F)
88 N. Asniar et al.
Fig. 1 The Köppen climate classification map [17]
and 18 °C (64.4 °F) and at least one month the average temperature is above 10 °C
(50 °F).
Group D: Continental (Microthermal) Climates This type of climate has at
least one month with an average temperature below 0 °C (32 °F) or 3 °C (27 °F)
and at least one month with an average temperature above 10 °C (50 °F).
Group E: Polar and Alpine (Montane) Climates This type of climate has an
average temperature of below 10 °C (50 °F) throughout the year.
4 Total Alkali Versus Silika (TAS) Diagram
The TAS classification diagram has proven useful for the following reasons: (a) it is
based on simple chemical parameters and not on modal content because it is very
difficult to determine aphanitic or glassy content; (b) use straight lines to define the
classification field; (c) the chemical composition of most natural rocks can be
plotted on this diagram [18]. TAS diagram is shown in Fig. 2.
5 Methodology
Geochemical analysis using the XRF method produces percent chemical elements
of oxides such as SiO2, TiO2, Al2O3, Fe2O3, MnO3, CaO, MgO, Na2O, K2O, and
P2O5. The results of this analysis will determine the characteristics of volcanic
rocks and are also used as a basis for the classification of volcanic rocks using TAS
Fig. 2 The Total

Alkali-Silica (TAS) diagram
[18]
diagrams. The Total Alkali-Silica (TAS) diagram used is binary diagram Le Bas
et al. [19].
Geochemical analysis of volcanic rocks from various locations in the world is
collected, and the classification of volcanic rocks is based on TAS diagrams. The
next step is to divide the locations of the research into the Koppen world climate
classification map.
6 Data and Analysis
Geochemical data of volcanic rocks from several studies that have been carried out
are then set in the Total Alkali versus Silica (TAS) diagram to determine the
classification of volcanic rocks. So that the type of volcanic rock that dominates can
be known. Then, using the Koppen climate classification map, we can determine the
climatic conditions of the location where samples of volcanic rock were taken. The
results of this data analysis are shown in Table 2.
In the process of cooling magma where the magma is not all frozen immediately
but slowly decreases the temperature even quickly. This decrease in temperature is
followed by the start of the formation and deposition of certain minerals according
to their temperature. The formation of minerals in magma due to a decrease in
temperature was compiled by Bowen [20]. Bowen has made a table of mineral
formation for use in interpreting these minerals (Fig. 3).
On the left represents mafic minerals, the first to form at very high temperatures
is Olivine. However, if the magma is saturated by SiO2, then Pyroxene is formed
first. The temperature decreases continuously and the formation of minerals occurs
according to the temperature. The last mineral formed is Biotite. It is formed in low
temperatures.
90 N. Asniar et al.
Table 2 Climate classification and dominance of volcanic rock types

Location Climate Volcanic rock types
classification
Rinjani Mt., Indonesia Tropical Basalt, Basaltic trachy-andesite,
trachy-andesite
Galunggung Mt., Indonesia Tropical Basalt, Basaltik andesite, andesite
Singa Mt. and Hulu Lisung Mt., Tropical Andesite, Dacite
Indonesia
South Kaua’I Swell, Hawai’i Tropical Basalt
Tampomas Mt., Indonesia Tropical Basaltic andesite, andesite, dacite
South Neyshabour, NE Iran Dry Basaltic trachy-andesite,
trachy-andesite, trachyte,
trachy-dacite
West and South West of Salafchegan, Dry Basaltic andesite, andesite, dacite
Qom, Iran
Ghezelchekand (NE Ghorveh), Iran Dry Tephrite, phonotephrite, basaltic
trachy-andesite
Andes, Chile Dry Basalt, basaltic andesite
Andes, South Peru Dry Andesite, Dacite
Chispa Mountain Quadrangle, Texas Dry Basaltic trachy-andesite,
trachy-andesite, trachy-dacite
Jeju Island, South Korea Continental Trachy-basalt, basaltic
trachy-andesite, trachy-andesite
Gurusada Area, Southern Continental Basaltic andesite, andesite, dacite
Apuseni MTS, Romania
Dufur West Quadrangle, Oregon Temperate Andesite, dacite
Valencia, Spain Temperate Basaltic andesite, andesite, dacite
The Crommyonia volcanic rocks Temperate Dacite, Rhyolite
north of the Saronic Gulf, Greece
Fig. 3 The Bowen reaction series shows the order in which minerals will form and disappear
during the fractional crystallization of Molten Magma. The left shows minerals crystallized in
Magma [20]
The mineral on the right is represented by the Plagioclase group mineral because
it is the most abundant and widely distributed. Anorthite is a mineral that was first
formed at high temperatures and is abundant in alkaline igneous rocks such as
Basalt. Andesin forms a medium temperature gap, and there are Andesite igneous
rocks. While minerals formed at low temperatures are albits, these minerals are
widely spread on acidic rocks such as dacite or rhyolite.
The dry climate has an average temperature above 30 °C and a little rainfall in
each year, so the process of decreasing the temperature of magma is slower than the
tropical climate which has high humidity and rainfall, so that volcanic rocks in dry
climates generally are basalt rocks with the amount of total alkaline are quite high
compared to basalt rocks that found in tropical climates. Volcanic rocks in a tropical
climate are generally basalt and andesite rocks because the process of decreasing
the temperature of the magma is still slow.
In continental and temperate climates, the average temperature is below 18 °C
each year, so the magma temperature drops faster. Therefore, volcanic rocks that are
formed generally are dacite or rhyolite.
7 Conclusion
The process of forming Igneous rocks, Sedimentary Rocks, and Metamorphic are
influenced by climate, especially temperature at the location where the process
takes place. Temperature is an important factor in the formation, modification,
destruction, and re-formation of rocks.
The Köppen climate classification divides the climate into five main climate
groups. Five climate groups are divided based on seasonal rainfall and temperature
patterns, namely Group A (tropical), Group B (dry), Group C (moderate), Group D
(continental), and Group E (polar).
Volcanic rocks in dry climates generally are basalt and basaltic trachyandesite
rocks with the amount of total alkaline are quite high. Volcanic rocks in a tropical
climate are generally basalt and andesite rocks because the process of decreasing
the temperature of the magma is still slow. In continental and temperate climates,
volcanic rocks that are formed generally are dacite or rhyolite.
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Analysis of the Utilization
of the Embung Klampeyan, Tlogoadi
Village, Mlati District, Sleman Regency,
Indonesia
Edy Sriyono
Abstract Embung Klampeyan which was established in 2009, has an area of

approxi-mately 54 329 m2 with a depth of 4.15 m with a water capacity of
15,000 m3 and can drain water up to 25 ha. Currently the Embung Klampeyan is
still functioning properly. The dam performance will be reviewed using a
system-based approach: physical aspects, utilization aspects, as well as operational
and maintenance aspects. Descriptive procedure with quantitative approach is used
in this research. Descriptive analysis is intended to describe the results of the
research to each of the assessed aspect variables. The Likert scale is used to assess/
measure the attitudes, opinions and perceptions of a person or group of people
towards research variables in the form of events or social symptoms that specifically
determined. The results of the analysis show that the Physical Aspects have a value
of 4.02 in very good conditions, the Utilization Aspects have a value of 4.13 in very
good conditions, and the Operations and Maintenance Aspects have a value of 4.06
in very good conditions as well. Thus it can be concluded that the Klampeyan
Embung is in very good condition or can pro-vide very good benefits for the
surrounding community.
Keywords Physical Utilization Operation and maintenance Embung

Klampeyan
1 Introduction
Embung Klampeyan is a pond or a small reservoir that is used to store water when
there is excess water during the rainy season and is used when there is a shortage of
water during the dry season, for several purposes, among others drinking water,
tourism, irrigation, flood control, and others [1, 2]. In Undang-Undang Republik
Indonesia Number 17 of 2019 concerning Water Resources, it is explained that the
E. Sriyono (&)
Janabadra University, Jalan Tentara Rakyat Mataram 55-57, Yogyakarta 55231, Indonesia
e-mail: edysriyono@janabadra.ac.id
https://doi.org/10.1007/978-981-16-7949-0_9
94 E. Sriyono
community can play a role when carrying out the operation and maintenance
(OM) of water resources, including reservoirs [3]. The operation of the reservoir is
an effort made to optimally use the water stored in the effective reservoir.
Meanwhile, reservoir maintenance is an effort made to maintain that existing
infrastructure facilities can function properly during the life of the reservoir building
and during the planned service time [4].
Embung Klampeyan is located in Toragan Hamlet, Tlogoadi Village, Mlati
District, Sleman Regency, Yogyakarta Special Region. Embung Klampeyan is one
of several artificial lakes that have been built by the Regional Government of
Sleman Regency, the implementation of which was carried out in three stages
starting from 2007 to 2009 by the Department of Irrigation, Mining and Natural
Disaster Management of Sleman Regency. Embung Klampeyan has an area of
54 329 m2 with a depth of 4.15 m. The water capacity of this reservoir is
planned to reach 15,000 m and can drain up to 25 ha of land around the reservoir
area. The Embung Klampeyan has the function of storing water when there is more
water when it rains to be used when there is a shortage of water during the dry
season. In addition, the dam also functions as an interesting tourist attraction. This
reservoir is also filled with fish seeds, and because the location of the reservoir is
located in the middle of a fairly beautiful rice field area, it can become a separate
tourist attraction for the surrounding community.
In addition, in Mozambique, small dams or dams were also built in semi-arid
areas or other locations to overcome the problem of water scarcity [5]. Meanwhile,
in the Sleman district of the Special Region of Yogyakarta, Indonesia, the reservoir
can also function as a source of clean water for the city of Yogyakarta [6].
With this research, it will be known the benefits of the construction of the
Embung Klampeyan in the Toragan hamlet, Tlogoadi village, for the community in
the Tlogoadi village and its surroundings in terms of: Physical, Utilization, and
Operation, and Maintenance.
2 Literature Review
2.1 Embung Klampeyan Component
Embung Klampeyan buildings usually consist of several components, namely:

rain-fed areas, storage areas, embankments, spillways, distribution and transmission
pipelines, service tanks such as clean water tanks, livestock water tanks, garden
water tanks, safety fences (fences around embankments and puddles, as well as
gates), and complementary buildings such as peil schaal, benchmarks, and the
nameplate of the reservoir [1].
Analysis of the Utilization of the Embung … 95
2.2 Embung Klampeyan Operation and Maintenance
There are three parts to the operation and maintenance of the reservoir as follows:
1. Embung Klampeyan operation activities
Considering the limited volume of water in the reservoir, a plan for the operation
of the reservoir must be made in advance. Based on the calculation of water
needs, the amount of water distribution provided to the population can be
determined.
2. Monitoring and inspection activities
In order to obtain correct and precise data, regular monitoring is necessary.
Monitoring is carried out to organize operational activities and early inspection
of the reservoir for the safety of the reservoir itself after the reservoir is operated.
The data that must be monitored continuously are data: rainfall, discharge that
runs over spillway buildings, raw water supply discharge at the valve house,
water level elevation in the upstream section of the dike, and seepage discharge
data in the downstream section of the dike. In addition, it is also necessary to
check the overall condition of the dike building.
3. Embung Klampeyan maintenance and repair
In order to maintain the sustainability of the function of the reservoir building, it
is necessary to carry out routine maintenance of all components and com-
pleteness of the reservoir building. Routine maintenance activities, consisting
of:
– Dike maintenance
Dike damage is generally in the form of cracks, leaks, and so on. Therefor
the planted grass needs to be watered during the dry season and cut to
determine possible damage to the dike.
– Storage pool maintenance
Garbage such as tree trunks sometimes enters the reservoir column, so
cleaning is necessary.
– Maintenance of spillway
It is also necessary to clean up trash or tree trunks carried by runoff water and
prevent perennials from growing along or along the edge of the spillway.
– Maintenance of distribution network and supporting buildings for reservoirs
The importance of maintenance is to prevent damage or leakage, which can
result in water loss and uneven water distribution.
2.3 Aspects Reviewed
Embung Klampeyan has 3 (three) important aspects that must be reviewed, namely
aspects: physical, utilization, and Operation and Maintenance (OM). In each aspect,
there are several variables [2, 7].
96 E. Sriyono
1. Physical Aspect
– The dike consists of: Areas of seepage through the reservoir body or local
landslides on the foundation because the soil is saturated, Areas of seepage
along the reservoir body, Transverse cracks in the reservoir body,
Longitudinal cracks at the top of the reservoir body. These cracks can be
straight or curved, Shrinkage cracks, generally short, shallow, narrow,
numerous, and irregular in direction, Erosion of grooves in the reservoir
body, and Perennials along the pond body.
– Spillway, consisting of: Collapse in the spillway, Erosion of grooves in the
spillway, and local scour on the spillway.
– Storage pond, consisting of: silt sediment, garbage/rotten tree branches,
fence around the pond, peil schaal, buoy, and water availability.
– Distribution network pipelines, consisting of: Transmission pipelines, and
distribution pipelines.
– Tub service, consisting of: tanks for humans, tanks for livestock, and tanks
for gardens.
2. Aspects of Utilization, consisting of: Water distribution, feeling of comfort in
the existence of guaranteed water for the reservoir, and Improving the standard
of living/health of the community around the reservoir.
3. Operation and Maintenance Aspects, consisting of: The implementation of OM
implementation, Availability of OM facilities and budget, Subsidies, and
Implementation of OM training.
3 Method
3.1 Research Sites
This research was conducted in the Embung Klampeyan location in Toragan

Hamlet, Tlogoadi Village, Mlati District, Sleman Regency, Yogyakarta Special
Region Province, Indonesia as shown in Figs. 1 and 2.
3.2 Population and Sample
The population in this study consisted of the relevant and the community who used
the Embung Klampeyan water along with their education ranging from elementary
school to undergraduate. The sample determined in this study used a proportional
stratified random sampling system, which is a technique where the population has
members with different educational levels. The reason for using the sampling
technique mentioned above is because the users of the Embung Klampeyan have
Fig. 1 Research sites
Fig. 2 Top view of the

Embung Klampeyan
educational levels that vary from elementary to undergraduate, with a total popu-
lation of 232 people. Furthermore, data collection was carried out in 2020.
The Taro Yaname and Slovin formulas are used to determine the total number of
sample members. This refers to the opinion [8] that the sampling technique can be
used if the population is known and consists of more than 100 people. The formula
of number of sample members is shown in Eq. 1.
N
n¼ ð1Þ
N d2 þ 1
where n is the number of sample members, N is the number of population, and d2 is

the precision. The precision is set at 10%, then: n ¼ NdN2 þ 1 ¼ 232:ð0:1
232
Þ2 þ 1
¼ 70
respondent.
The number of sample members is calculated by the proportional allocation
formula in Eq. 2.
Ni
ni ¼ n ð2Þ
N
where ni is the number of sample members by strata, n is the total number of sample
members, Ni is the number of population members by strata, and N is the total
number of population members.
So the number of sample members based on education level is:
98 E. Sriyono
Elementary School = 15 people, Junior High School 17 people, High

School = 34 people, Diploma = 1 person, and Bachelor = 3 people. The occupa-
tions of the people around Embung Klampeyan are all farmers.
3.3 Data Collection
Field observation techniques and questionnaires were used to collect data by using
descriptive methods through quantitative approaches and data collection tech-
niques. Quantitative research is research that determines a sample of the population
through a questionnaire that serves as the main data collection tool [9]. The
observation technique is a field research technique that is useful for collecting data
with the researcher become participants in the cultural environment of the research
object [10].
Analysis Questionnaire technique is a way of collecting data by giving a series
of questions which are generally in the form of written questions to be answered by
respondents [11]. In this study used a questionnaire with a Likert scale [11]. With a
Likert Scale, attitudes, opinions, and perceptions of a person or group of people
towards social phenomena can be measured/assessed. Variables that are measured/
assessed on a Likert scale are described as variable indicators. Then this indicator is
used as a starting point for compiling instrument items, either statements or
questions. The answer to each instrument item with a Likert scale will have a
gradation ranging from very positive to negative.
3.4 Data Analysis
All research data were then analyzed using the Likert scale method, namely by
giving a certain value to each variable. With a Likert scale, the attitudes, opinions,
and perceptions of a particular person or group of people towards a phenomenon
can be measured. The phenomenon in question is a research variable that has been
specifically determined. The Likert scale has a value of:
1. Strongly Agree or Always or Very Important 5
2. Agree or Important or Often 4
3. Doubtful or Fairly Important or Almost Never 3
4. Less Agree or Less Important or Almost Never 2
5. Disagree or Not Important or Never 1
Every aspect that is reviewed, its performance is measured with the value
mentioned above. Each aspect that has the same value indicates that each com-
ponent of all variables has the same contribution to the management of the Embung
Klampeyan. Table 1 is used to assess the performance of each aspect of a reservoir.
Table 1 Embung Klampeyan performance scores for various interpretations [11]

Aspect Value
Very Good Pretty Not good Not very
good good good
Physical 4.01–5.00 3.51–4.00 2.51–3.50 1.51–2.50 1.00–1.50
Utilization 4.01–5.00 3.51–4.00 2.51–3.50 1.51–2.50 1.00–1.50
Operation and 4.01–5.00 3.51–4.00 2.51–3.50 1.51–2.50 1.00–1.50
maintenance
The questionnaire has two types of questions or statements using positive sen-
tences or negative sentences, with the aim that respondents can give answers to
each question seriously and not mechanistically. The value of answers to questions
or statements with positive sentences is:
1. Strongly Agree or Very Important or Always 5
3. Doubtful or Quite Important or Sometimes 3
4. Less Agree or Less Important or Never 2
The value of answers to questions or statements with negative sentences is:
1. Strongly agree or Very Important or Always 1
3. Doubtful or Quite Important or Sometimes 3
4. Less Agree or Less Important or Never 4
Each variable contains several questions or statements with positive sentences or
negative sentences, so the assessment is the number of positive sentence answers
and the number of negative sentence answers added and then divided by the number
of questions from all these variables. After the value of each variable is obtained,
then the sum of the variables is carried out to obtain the average value of each
variable. To calculate the average value, use formula in Eq. 3.
x1 þ x2 þ þ xn
x¼ ð3Þ
n
with x is mean, x1 ; x2 ; . . .; xn , is the value of the nth variable according to the Likert
scale, and n is the number of variables or it can be written as in Eq. 4.
P
fi xi
x¼ P ð4Þ
fi
100 E. Sriyono
with x is mean, fi is the number of variables, and xi is the value of the nth variable
according to the Likert scale, and n is the number of variables.
Then the conclusion of whether the performance of the reservoir management is
optimal according to the plan or not is obtained from the average value of the three
aspects of the value of the benefit, namely aspects: physical, utilization, and OM
(Operations and Maintenance). Then the final scores of the three aspects mentioned
above are averaged. This is the final answer to this research problem. To calculate
the average value, use formula in Eq. 5.
NAF þ NAP þ NAOP

NFINAL ¼ ð5Þ
3
with NFINAL is Final value, NAF is the mean value of the physical aspect, NAP is the
mean value of the aspect of utilization and NAOP is the mean value of O&M aspects.
4.1 Respondent Characteristics
1. Number of respondents from citizen and users of the Embung Klampeyan: 70

people
2. Gender: Male = 58 people and female = 12 people
3. Age: 25–30 years = 1 person, 31–35 years = 6 people, 36–40 years = 4 peo-
ple, 41–45 years = 8 people, 46–50 years old = 16 people, 51–55 years old =
26 people, and 56–60 years old = 9 people
4. Education: Elementary School = 15 people, Junior High School 17 people,
High School = 34 people, Diploma = 1 person, and Bachelor = 3 people.
4.2 Physical Aspect
Table 2 shows that the respondent’s observations of the dike are in good condition,
the spillway is in good condition, the storage pond is in good condition, the dis-
tribution network pipe is in very good condition, and the service tank is in good
condition.
Most respondents answered very well on the physical aspect, and it can be
concluded that the 5 (five) physical aspects of the Embung Klampeyan, namely
embankments, storage ponds, spillways, distribution network pipes, and service
tanks are in very good condition, so that the utilization factor of the Embung
Klampeyan is already functioning very good.
Table 2 Variable condition No Variable Value % of

value for physical aspect respondents
1 Embankment 4.00 19
2 Spillway 4.00 19
3 Storage pool 4.00 19
4 Distribution network 5.00 24
pipeline
5 Service tank 4.00 19
Total 21.00 100
Mean value 4.02
4.3 Utilization Aspect
Table 3 shows that most of the respondents answered very well on the condition
value of each variable in the utilization aspect. Respondents stated that the water
distribution is in very good condition, there was no conflict in the struggle for the
distribution of water in the Embung Klampeyan, the respondents felt comfortable
with the existence of water guarantees in the long dry season because the reservoir
water is never dry, and there was an increase in the quality of life with the existence
of tourist attractions so that it can improve the welfare of the residents of Tlogoadi
village and its surroundings.
4.4 Operation and Maintenance Aspect
Table 4 shows that the majority of respondents responded very well to aspects of
surgery and maintenance. This shows that respondents consider operational and
maintenance training activities very good, the availability of facilities and funds for
maintenance surgery is very good, subsidies are considered good, and compliance
with surgery and maintenance is also good. considered very good.
Table 3 Variable condition value for utilization aspect

No Variable Value % of respondents
1 Water distribution 4.11 32
2 Comfort with water guarantee 4.12 33
3 Improving the quality of life of a tourist attraction 4.15 35
Total 12.38 100
Mean value 4.13
102 E. Sriyono
Table 4 Variable condition value for operation and maintenance aspect

No Variable Value % of respondents
1 Obedience to carry out operation and maintenance 4.05 25
2 Availability of operation and maintenance funds 4.08 25
3 Subsidy 4.01 24
4 Operation and maintenance training activities 4.10 26
Total 16.24 100
Mean value 4.06
4.5 Utilization Analysis
Based on the results of information analysis and reviews of research results on

aspects of: physical, utilization, and surgery and maintenance, it can be seen that the
overall value of the benefit analysis of the Embung Klampeyan is: NAF = 4.02,
NAP = 4.13, and NAOP = 4, Utilization analysis of the Embung
Klampeyan = NAF þ NAP 3
þ NAOP
= 4:02 þ 4:13
3
þ 4:06
= 4.07.
Based on the results of the analysis, it can be seen that the overall Embung
Klampeyan is in very good condition. This condition is certainly due to the
influence of aspects: physical, utilization, and Operation and Maintenance. The
achievements of each variable can be seen in Fig. 3.
Dike
Operational training and 5
Spillway
maintenance activities 4
Subsidy
3 Pool storage
2
Availability of facilities 1
and Operation and 0 Distribution pipes
Maintenance Funds
Obedience implementing
Tub service
Operation and Maintenance
Improvement of the quality
of life of the tourism Water distribution
attraction
Comfortable feeling with
water guarantee
Fig. 3 Research variable radar diagram graph

5 Conclusions and Recommendations
5.1 Conclusions
Based on the results of the utilization analysis of the Embung Klampeyan, the
following conclusions are obtained:
1. Based on the physical aspect, the reservoir has a value of 4.02. This indicates
that the overall parts of the reservoir are in very good condition, be it
embankments, spillways, storage ponds, pipelines, and service tanks.
2. Based on the aspect of the use of the reservoir, it has a value of 4.13. This
indicates that the reservoir has been used very well by the community.
3. Based on the operational and maintenance aspects, the reservoir has a value of
4.06. This indicates that the O&M reservoir is in very good condition.
Based on the results of the total analysis, the use of the Embung Klampeyan is in
very good condition. This means that Embung Klampeyan can provide very good
benefits for the surrounding community, both based on aspects: physical, utiliza-
tion, as well as based on operation and maintenance.
5.2 Recommendations
Based on conclusions such as those described above, some suggestions can be

made as follows:
1. There is a need for increased compliance in carrying out the operation and
maintenance (O&M) of Embung Klampeyan.
2. It is necessary to add an operational standard (SOP) in carrying out the O&M of
the Klampeyan Embung so that the entire user community can better understand
the importance of the operation and maintenance system and know what actions
to take if problems occur in the Klampeyan Embung.
3. It is necessary to make a Regent’s Decree (SK) regarding village regulations
governing the distribution of reservoir water.
4. There needs to be an independent maintenance fee from the village that does not
depend on the government to pay for the maintenance of the reservoir.
5. It is necessary to pay attention to physical aspects such as embankments,
overflow buildings, water storage ponds, network pipes, and service tanks in
order to keep the dams functioning properly.
104 E. Sriyono
References
1. Direktorat Bina Rehabilitasi dan Pengembangan Lahan (1998) Petunjuk Teknis Pembuatan
Embung. Direktorat Bina Rehabilitasi dan Pengembangan Lahan, Jakarta
2. Kasiro I, Wanny-Rusli BSN, Sunario CL (1994) Pedoman kriteria desain embung kecil untuk
daerah semi kering di Indonesia. Direktorat Jenderal Pengairan Departemen Pekerjaan Umum,
Jakarta
3. Pemerintah Republik Indonesia (2019) Undang-undang Republik Indonesia Nomor 17 Tahun
2019 Tentang Sumber Daya Air. Pemerintah Republik Indonesia, Jakarta
4. Suripin (2002) Pelestarian sumber daya tanah dan air. Penerbit Andi, Yogyakarta
5. dos Anjos LA, Cabral P (2021) Small dams/reservoirs site location analysis in a semi-arid
region of Mozambique. Int Soil Water Conserv Res 9(3):381–393
6. Sriyono E, Purwanto A, Sardi NCK, Bhakty TE, Biddinika MK (2020) Assessing the
Potential of Tambakboyo Retention Basin for Raw Water Supply in the City of Yogyakarta
Indonesia. In: Proceedings of the 2nd ICASESS 2019, pp 96–100
7. Sardi FHL, Sriyono E, Kresnanto NC, Bhakty TE, Biddinika MK (2020) Analysis of Embung
Abimanyu Utilization in Temanggung, Central Java, Indonesia. In: Proceedings of the 2nd
ICASESS 2019, pp 143–148
8. Reduwan E (2007) Teknik Pengambilan Sample Taro Yamane atau Solvin. Alfabeta,
Bandung
9. Masri S, Effendi S (1989) Metode Penelitian Survai. LP3ES, Jakarta
10. Mantju (1994) Teknik Perekaman Data. Lemlit IKIP, Malang
11. Sugiyono (2011) Statika dan Penelitian. Cetakan ke-18. Alfabeta, Bandung
Analysis of Shift Pile Foundation
on Mall and Hotel Projects in Bontang,
East Kalimantan
Nicholas Joshua and Alfred Jonathan Susilo
Abstract Indonesia has many areas dominated by clay soils. Including in Bontang
city, East Kalimantan. This research focuses on malls and hotel projects located at
that location. Regarding the construction in this project, there is a case of foundation
pile shifting due to several factors, including the soil embankment factor. It causes
additional loads outside the design of the foundation pile and the clay soil type
factor with high moisture content and plasticity, as well as the impact load factor
caused by the driving machine foundation pile. So, an analysis of the foundation
piles before and after the addition of the load was carried out using the p-y curve
method to find the maximum lateral load. It focuses on the Mall and Hotel project in
Bontang, which is shifting pile due to additional loads such as soil embankment and
driving machine pile. The two analyses will be compared and searched for the two
piles’ lateral bearing capacity and can later improve the case or prevent similar
cases in other projects. The main result is maximum lateral load (3.436 Ton),
additional lateral loads (8.157 Ton), so the conclusion is the pile cannot hold the
lateral loads.

Keywords Shift pile Lateral load Clay soil Additional lateral load Bontang
1 Introduction
The discussion of this research focuses on the case of the shift of the foundation
piles in the Mall and Hotel project in Bontang to a distance of approximately 1.5 m
due to the addition of unplanned loads when designing the foundation piles. The
load in question is the 5-m high project land embankment due to the excavated soil
that is not removed or moved because the soil condition is too plastic, so that it is
N. Joshua (&) A. J. Susilo

Universitas Tarumanagara, Letjen S. Parman Street No.1, Jakarta, Indonesia
e-mail: nicholas.325170123@stu.untar.ac.id
A. J. Susilo
e-mail: alfred@ft.untar.ac.id
https://doi.org/10.1007/978-981-16-7949-0_10
106 N. Joshua and A. J. Susilo
difficult to dispose or transfer the excavated soil. Then there is also an additional
load in the form of an impact load from the heavy pile driving equipment, namely
the 120 Ton Hydraulic Static Pile Driver (HSPD). If the project is continued
without any repairs, then the building above it will not be able to withstand the load
because the foundation piles are tilted due to the shift of the piles [1]. For this
reason, it is necessary to calculate the maximum lateral load that the foundation
piles on the project can receive. This study uses the p-y curve method for calcu-
lating the maximum lateral load. There is also a calculation of the addition lateral
loads to the pile due to soil embankment at the project site, and also the addition
lateral loads due to the movement of the piling machine (HSPD) by finding the
magnitude of the impact load using the method discovered by Boussinesq [2].
1.1 p-y Curve Method
In 2010, Georgiadis proposed a p-y curve construction approach compared to the

Finite Element approach. Georgiadis modified an equation that has often been
adopted to interpret the pile test results [3]. This curve has an initial slope of Ki and
is described by the hyperbolic equation in Eq. 1.
y
p¼ ð1Þ
1
ki þ y
pu
Determining the value of Pu (ultimate load) based on the depth of the point is
considered necessary in constructing the p-y curve. Based on the results of research
by Georgiadis [3], Pu can be calculated by Eq. 2.
pu ¼ Np:Cu:D ð2Þ
where Np is the bearing capacity factor which can be calculated by Eq. 3.
p ¼ Npu ðNpu Npo coshÞekðDÞ=ð1 þ tanhÞ

z
ð3Þ
where Npu is the ultimate lateral bearing capacity factor that can be calculated by
Eq. 4, Npo is the surface bearing capacity factor for horizontal soils, k is a
dimensionless factor, z is the depth point under consideration, and D is D the pile
diameter. Npo and k are derived from the finite element method analysis conducted
by Georgiadis [3] and depend on the pile-soil adhesion factor (a).

D D
Npu ¼ p þ 2D þ 2cosD þ 4 cos þ sin ð4Þ
2 2
Analysis of Shift Pile Foundation … 107
which D ¼ sin 1a.

The Npo value can be calculated by Eq. 5.
Npo ¼ 2 þ 1:5a ð5Þ
And the value k of can be calculated by Eq. 6.
k ¼ 0:55 0:15a ð6Þ
The pile-soil adhesion factor (a) can be determined from the cu (undrained shear
strength) and z/D parameters where z is the depth of the pile under consideration
and D is the diameter of the pile with the graph shown in Fig. 1.
In 1961 Vesic proposed the correlation relation of the subgrade reaction ks for
beams in elastic half-space to the elastic properties of the beam and soil [4].
Rajashree and Sitharam proposed that the initial stiffness ki of the p-y curve is twice
the value of ks determined based on the proposed Vesic correlation as shown in
Eq. 7 [5].
1
1:3Ei EiD4 12
ki ¼ : ð7Þ
1 l2 EpIp
where Ei is the initial modulus of elasticity, is the Poisson ratio of the soil, Ep is the
modulus of elasticity of the pile, Ip is the moment of inertia of the pile section and
D is the pile diameter [4].
Fig. 1 Graph of relationship

between a and cu (kPa) [3]
1.2 Vertical Stress Due to Point Load (Boussinesq Method)
In 1883 Boussinesq solved the magnitude of the stress produced at each point,
which is homogeneous and isotropic due to the point load applied to the soil
surface. Figure 2 shows how point load causes vertical stress [6].
The equations to calculate vertical stress are shown in Eqs. 8–10.
3Pz3 3P z3
Drz ¼ ¼ ð8Þ
2pL5 2p ðr 2 þ z2 Þ5=3
pffiffiffiffiffiffiffiffiffiffiffiffiffiffi
r¼ x2 þ y2 ð9Þ
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi pffiffiffiffiffiffiffiffiffiffiffiffiffi
L¼ x2 þ y2 þ z 2 ¼ r 2 þ z 2 ð10Þ
Description:
Drz: Vertical Stress (kN/m2)
P: Large Applied Load 2 (kN).
2 Research Methods
In general, the procedures carried out in this study are as follows:

1. The initial stage is to determine the land data to be used.
2. The next step is to check the soil types and their properties through the results of
soil correlation.
Fig. 2 Vertical stress due to point load [6]

3. Then carried out a literature study on the shift of the foundation pile and the
lateral bearing capacity of the pile.
4. The next stage is to design the foundation piles before and after adding the load.
5. The next step is to analyze the lateral bearing capacity of the pile using the p-y
curve method.
6. Then analyze the lateral bearing capacity compared to the lateral load.
7. Next, check the pile foundation that has been added to the load and before it is
added.
8. The next stage is to check the applicable terms and conditions. If it does not
meet the requirements, then there is a need for additional reinforcement con-
siderations or options and will be rechecked whether it meets the requirements
or not.
9. The last stage is to formulate conclusions that can be useful for future planners.
Pile Foundation Design Data Fig. 3 shows the building layout of the research
subject location, explaining the pile number and explaining that only axle J and I
need to be concerned. Tables 1 and 2 illustrate that all piles on both axles can
withstand the total lateral load before the additional load, so there is no need to add
piles on both axles.
Fig. 3 Building layout

Table 1 Efficiency pile group on Axle J

Joint Force n Efficiency Force/Pile Force of 1 Need to add
(kN) Pile (kN) pile pile
1 31.77 2 0.83 15.89 28.52 No
41 58.41 3 0.88 19.47 30.47 No
81 58.18 3 0.88 19.39 30.47 No
128 58.21 3 0.88 19.40 30.47 No
172 58.23 3 0.88 19.41 30.47 No
218 58.23 3 0.88 19.41 30.47 No
261 58.23 3 0.88 19.41 30.47 No
301 58.21 3 0.88 19.40 30.47 No
341 58.17 3 0.88 19.39 30.47 No
381 58.13 3 0.88 19.37 30.47 No
421 58.35 3 0.88 19.45 30.47 No
461 31.70 2 0.83 15.85 28.52 No
Table 2 Efficiency pile group on Axle I

3 0.95 4 0.77 0.239 28.52 No
43 0.87 5 0.90 0.174 30.47 No
83 0.67 5 0.90 0.134 30.47 No
130 0.72 5 0.90 0.144 30.47 No
174 0.73 5 0.90 0.147 30.47 No
220 0.75 5 0.90 0.15 30.47 No
263 0.78 5 0.90 0.157 30.47 No
303 0.79 5 0.90 0.158 30.47 No
343 0.79 5 0.90 0.159 30.47 No
383 0.74 5 0.90 0.148 30.47 No
423 0.88 5 0.90 0.176 30.47 No
463 0.92 4 0.77 0.231 28.52 No
3 Result
3.1 Recap of Maximum Lateral Load Calculation Using

the p-y Curve Method
This method requires the following data that are useful in calculations:
Cu (undrained shear strength) = 84 kPa
S’vo (effective overburden stress at depth z) = 87 kPa
Table 3 Results of y (mm) p (kN/m)

calculations using the p-y
curve method 0 0
1 55.70
2 70.18
3 80.33
4 88.42
5 95.25
6 101.21
7 106.55
J (soil coefficient) = 0.5

e50 (soil coefficient) = 0.02
K (soil coefficient) = 8140 kPa/m
Nc (bearing capacity factor) = 9
Pu (ultimate load) = 302.4 kN/m
Depth z = 30 m
B (pile size) = 0.4 m
k’h (slope at 0.5 pu) = 7560 kN/m2
k’hi (initial slope) = 244,200 kN/m2
yc (plot slope on curve) = 20 mm
8 yc (plot slope on curve 8 times yc) = 160 mm
From the data above, the calculation process, the results, and graphs of the p-y
curve are as shown in Table 3.
From Table 3, the allowable deflection is 6.35 mm with force (P) of 10.3089
tons and divided by a safety factor of 3, so the maximum lateral force of 3.436 tons
is used.
3.2 Summary of Calculation of Added Load Due to Land

Embankment
After the project took place and the pile shift occurred, several speculations about
the cause of the pile shift had previously been designed and calculated that the pile
was strong enough to withstand lateral loads. The addition of lateral loads includes
soil embankment at the project site with a height of about 5 m, as shown in Fig. 4.
So in this study, the addition of lateral loads caused by soil embankment was
calculated.
Fig. 4 Illustration of
calculation of added load due
to landfill
Soil
5m
Pile
1m
1m
30 m
0.4 m
Assuming the width of the land is 1 m.
Volume ¼ 0:5 5 1 1
¼ 2:5 m3
k ¼ 1:8 Ton=m3
P ¼ 1:8 2:5
¼ 4:5 Ton
4:5 2
Momen ¼
3
¼ 3 Ton m
P Lateral ¼ 3 Ton ðLeft directionÞ
So the addition of lateral load due to soil embankment is 3 Tons to the left.
3.3 Summary of Additional Load Due to Impact Load

with Boussinesq Method
The addition of lateral loads occurs due to soil movement due to the movement of
piling machines such as HSPD and others. This study focuses on the impact of the
HSPD Jacking Pile machine with a total machine weight of 54 Tons.
The calculation refers to the Boussinesq method, which can solve the problem of
the stress magnitude at each point on the ground surface, following the calculation
[6]:
Due to Impact Load (HSPD Machine):

pffiffiffiffiffiffiffiffiffiffiffiffiffiffi pffiffiffiffiffiffiffiffiffiffiffiffiffiffi
r1 ¼ x 2 þ y 2 ¼ 02 þ 02 ¼ 0
pffiffiffiffiffiffiffiffiffiffiffiffiffi pffiffiffiffiffiffiffiffiffiffiffiffiffiffi
L1 ¼ r 2 þ z 2 ¼ 02 þ 22 ¼ 2
3Pz3 3 529:74 23
Drz ð1Þ ¼ ¼ ¼ 63:233 kN=m2
2pL5 2p 25
Based on the conditions at this project location, the depth used is 2 m because
the most extreme pile shift occurs at this depth, and refers to Boussinesq’s theory
that the pressure generated by the impact load is getting smaller and smaller.
Furthermore, it is necessary to find the addition of lateral loads due to the impact
load utilizing stress multiplied by area.
Additional Lateral Load:
P ¼ Drz ð1Þ 0:4 2

¼ 63:233 0:4 2
¼ 50:586 kN ¼ 5:157 Ton ðleft directionÞ
So the total additional load due to soil embankment and impact load is 8.157
Tons to the left.
3.4 Summary of Lateral Efficiency Results of Axle J

and Axle I After Adding Load
After calculating the additional lateral loads to the piles, these loads are included in
the lateral piles’ efficiency calculation and compared with the results of the p-y
curve calculations that have been obtained. Then it will be checked whether the
foundation pile can withstand the total lateral load that occurs or the reinforcement
or pile foundation needs to be added.
Table 4 explains that all piles cannot withstand the total lateral load after the
additional load, so adding piles on axle J is needed. For example, in Joint 1, the
total lateral load is 55.89 kN, but the maximum force of the pile is only 28.52 kN.
The conclusion is the pile cannot withstand the lateral load.
Table 5 explains that after the additional load, only two piles cannot withstand
the total lateral load, which is pile on joint 3 and joint 463, so adding piles on this
both joint are needed. For example, in Joint 1, the total lateral load is 31.60 kN, but
the maximum force of the pile is only 28.52 kN. The conclusion is the pile cannot
withstand the lateral load.
Table 4 Efficiency pile group on axle J after adding load

1 111.79 2 0.83 55.89 28.52 Yes
41 138.43 3 0.88 46.14 30.47 Yes
81 138.20 3 0.88 46.06 30.47 Yes
128 138.23 3 0.88 46.07 30.47 Yes
172 138.25 3 0.88 46.08 30.47 Yes
218 138.25 3 0.88 46.08 30.47 Yes
261 138.25 3 0.88 46.08 30.47 Yes
301 138.23 3 0.88 46.07 30.47 Yes
341 138.19 3 0.88 46.06 30.47 Yes
381 138.15 3 0.88 46.05 30.47 Yes
421 138.37 3 0.88 46.12 30.47 Yes
461 111.72 2 0.83 55.86 28.52 Yes
Table 5 Efficiency pile group on axle I after adding load

3 126.40 4 0.77 31.60 28.52 Yes
43 106.32 5 0.9 21.26 30.47 No
83 106.12 5 0.9 21.22 30.47 No
130 106.17 5 0.9 21.23 30.47 No
174 106.18 5 0.9 21.23 30.47 No
220 106.20 5 0.9 21.24 30.47 No
263 106.24 5 0.9 21.24 30.47 No
303 106.24 5 0.9 21.24 30.47 No
343 106.24 5 0.9 21.24 30.47 No
383 106.19 5 0.9 21.23 30.47 No
423 106.33 5 0.9 21.26 30.47 No
463 124.37 4 0.77 31.09 28.52 Yes
4 Conclusions and Suggestions
4.1 Conclusions
Based on the results of the analysis that has been carried out, the following con-
clusions are obtained:
1. Based on the soil data obtained, the soil type is clay with high plasticity and
small bearing capacity.
2. Based on calculations using the p-y curve method, the maximum lateral bearing
capacity for foundation piles with a diameter of 0.4 m and a depth of 30 m is
3.436 tons.
3. Based on the building data obtained, the calculation results for the maximum
lateral pile capacity are sufficient to withstand the load.
4. After the analysis, the results showed that the pile shift occurred due to the
addition of an unplanned load, namely the load of the soil embankment and also
the impact load of the HSPD piling machine.
5. Based on the additional lateral load calculation from the soil embankment is 3
Tons to the left.
6. Based on the Boussinesq method calculation, the additional lateral load from the
impact load is 5.157 tons to the left.
7. The total additional load outside the plan is 8.157 tons.
8. After adding a load of 8.157 Tons in an Axle J group pile efficiency calculation,
all piles cannot withstand the total lateral load. In Axle I, two piles are unable to
withstand the total lateral load, causing a pile shift in these two axles to occur.
4.2 Suggestions
Based on the results of research and analysis conducted, the following are sug-
gestions to complete this study:
1. The soil test results must be reviewed to be able to determine with certainty the
types of soil and how the properties of the soil. In this project, the type of clay
soil with high plasticity properties. So it should be repaired first.
2. The recommended soil improvement is jet grouting by adding cement material
into the soil to become denser and harder. This method also does not cause
vibration or noise.
3. If the project is already running without any improvement, it should be
strengthened by adding drill piles into the existing pile group foundation.
4. Do not stockpile too much soil at the project site and soil filling should be
carried out gradually and removed gradually as well.
5. In the field conditions of this project and based on the type and nature of the soil,
a drilled pile foundation should be used so as not to cause an impact load that
can cause additional lateral loads.
References
1. Meyerhof GG, Mathur SK, Valsangkar AJ (1981) Lateral resistance and deflection of rigid
walls and piles in layered soils. Can Geotech J 18(2):159–170
2. Hakim AR, Akbar A (2018) Analisis Produktivitas Hydraulic Static Pile Driver Pada
Pembangunan Apartemen Victoria Square Tower B Tangerang Banten. Jurnal Teknik
Sipil ITB 25(2):103–112
3. Georgiadis M, Georgiadis K (2010) Undrained lateral pile response in sloping ground.

J Geotech Geoenviron Eng 136(11):1489–1500
4. Vesić AB (1961) Bending of beams resting on isotropic elastic solid. J Eng Mech Div 87
(2):35–53
5. Rajashree SS, Sitharam TG (2001) Nonlinear finite-element modeling of batter piles under
lateral load. J Geotech Geoenviron Eng 127(7):604–612
6. Das BM, Sobhan K (2014) Principles of geotechnical engineering. Cengage Learning,
Connecticut
Analysis of Diaphragm Wall Stability
with Dewatering and Ground Freezing
Treatment
Eduard Teja and Aniek Prihatiningsih
Abstract In underground construction, we really need to consider the presence of

groundwater. Groundwater can interfere and even endanger the construction and
excavation process. Usually, in the tunnel construction process, groundwater needs
to be eliminated. So that the tunnel construction process can be carried out as safely
as possible. Sometimes the construction of a tunnel in the middle of a city also needs
some soil reinforcement to not disturb the surrounding buildings. One method that
can be used to eliminate and strengthen excavated walls is ground freezing. Also, we
know the dewatering process to eliminate the effects of groundwater by lowering the
groundwater level. In this research, the effect of the dewatering and ground freezing
processes will be calculated by stabilizing the diaphragm wall. Ground freezing will
cause the bonding of soil particles to become stronger. Then the stability of the soil
will be much better than dewatering. The result shows that ground freezing has the
smallest deflection and moment. So, the stability of the ground freezing excavation
has the best value. However, in terms of the price of ground freezing, it is still too
high, so studies are needed to minimize the price.
Keywords Ground freezing Dewatering Diaphragm wall
1 Introduction
Indonesia is one of the largest countries in Southeast Asia in terms of regional area
and population. It is very important for Indonesia to continue to improve its
infrastructure development. One of the infrastructures that are being built rapidly is
transportation. As we know in Jakarta has just had MRT (Mass Rapid Transit) and
LRT (Light Rail Transit). In the construction of MRT and LRT must have high
E. Teja (&) A. Prihatiningsih

Universitas Tarumanagara, Letjen S. Parman Street No. 1, Jakarta, Indonesia
e-mail: eduard.325170114@stu.untar.ac.id
A. Prihatiningsih
e-mail: aniekp@ft.untar.ac.id
https://doi.org/10.1007/978-981-16-7949-0_11
118 E. Teja and A. Prihatiningsih
work safety. The most crucial thing is the excavation for the tunnels, this is crucial
because the excavation of the tunnels is below groundwater level, at a depth of 17–
36 m below ground level [1].
In excavation that are under groundwater, the thing that must be prevented is
swelling. Swelling of the soil occurs due to the pressure of water trying to get out of
the ground. This pressure will later become a disturbance in the installation of the
tunnel shield/tunnel wall and can cause failure in excavation stability. If this
problem is not addressed, it will be very dangerous and can even cause fatalities, so
for this reason, this problem must be prevented. Various precautions can be taken to
prevent swelling. The thing that is often applied is dewatering.
Dewatering (Fig. 1) is done by lowering the groundwater level to an adjustable
depth. By lowering the groundwater level to minimize swelling. In addition to
dewatering abroad, there is also a ground freezing method. The ground freezing
method itself is done by freezing the groundwater around the excavation so that a
waterproof layer is formed around the excavation. This waterproof layer is useful
for protecting excavations. Before determining the dewatering method to be used,
the nature of the soil must be considered. Because if we use the wrong dewatering
method, it will not only hamper the project but also increase the costs incurred [2].
Ground freezing (Fig. 2) has been carried out since 1862 where this method is
used to build mining tunnels [4]. Ground freezing was first time used in North
Wales. With the development of the era, this method can be used for tunnel
Fig. 1 Wellpoint system [3]

Analysis of Diaphragm Wall Stability … 119
Fig. 2 Ground freezing [5]
construction. Ground freezing is done by inserting a pipe around the excavation.

This pipe installation also needs to be considered because pipes with different sizes
and different temperatures can affect the area of land that can be frozen. The ground
freezing method has not been used in Indonesia, but in Singapore, it was used
during the construction of the Thomson East-Coast Line Marina Bay Station.
1.1 Diaphragm Wall
The diaphragm wall or bulkhead wall is an artificial membrane with a certain

thickness (according to the thickness of the digging tool called a grabber) and a
certain depth [6]. A diaphragm wall is a retaining wall that is installed as a system
for further development of the secant pile and contiguous pile system. In calculating
the stability of the diaphragm wall, it will be done by calculating the active and
passive earth stresses that appear in Eqs. 1–4 [7].
Pa ¼ chka ð1Þ

;
ka ¼ tan2 45 ð2Þ
2
Pp ¼ chkp ð3Þ

;
kp ¼ tan 2
45 þ ð4Þ
2
The formulas above are used because the soil is considered unable to hold itself
(worst condition). For condition 4, a formula will be used where the ability of the
soil to hold itself is considered. Because when ground freezing, the water around
the soil freezes so that the soil bonds become stronger. In theory, this freezing will
increase the compressive strength of the soil to be stronger. As a result, the shear
strength of the soil also increases (Fig. 3).
So, to calculate the ability of the soil to hold itself underground freezing con-
ditions, the following formula is shown in Eqs. 5 and 6.
pffiffiffiffiffi
Pa ¼ chka 2c 2 ka ð5Þ
pffiffiffiffiffi
Pp ¼ chkp þ 2c 2 kp ð6Þ
for ka and kp, use the same formula as before.
Fig. 3 Relationship between

temperature and unconfined
compressive strength [8]
2 Research Methods
The research will be carried out in 4 soil conditions with excavations held in place
with a diaphragm wall. Excavation with a depth of 20 m and a diaphragm wall with
a depth of 40 m. The size of the diaphragm wall used is 1 m with a calculation of
every 1 m, so a cross-section of 1 1 m is used. The first condition is in-situ soil,
where the unit weight of soil used is obtained from correlation and laboratory data.
In condition 2, the soil is saturated, then the unit weight of soil is used to use the
saturated specific gravity obtained from the correlation. Condition 3 occurs in soil
with dewatering treatment where it is considered that in the lower soil (soil under
excavation), there is still water flow due to dewatering. So that at a depth of 20–
40 m, the unit weight of soil used is the saturation density, and for a depth of 0–
20 m, the in-situ unit weight of soil is used. Then for condition 4, namely the
ground freezing condition, the in-situ unit weight of soil will be used. The differ-
ence with the in-situ condition is the use of soil properties.
2.1 Soil Properties
Unit weight of soil was obtained from correlation and laboratory data. Unit weight
is divided into 2, namely the state of the original soil (in-situ) and the state of wet
soil. For wet soil conditions, the density with the largest number will be taken in the
correlation table. In the original soil condition, the density of laboratory results and
correlations will be used. Then soil density will be obtained and tabulated as
Table 1.
Cohesion is obtained from laboratory results and correlations which will then be
taken the average value of correlations and laboratory data. Then it will be tabulated
as Table 2.
The value of undrained shear strength is obtained from the correlation and
tabulated in Table 3.
Table 1 Unit weight of soil

Soil layer Soil classification csat (kN/m3) c (kN/m3)
Top elev. (m) Bottom elev. (m)
0 7 Fine grained 22 15
11 20 Coarse grained 20 20
23 26 Coarse grained 20 19
Table 2 Cohesion
Soil layer Soil classification Consistency C′ (kPa)
0 7 Fine grained Very soft 8
7 11 Fine grained Stiff 24
11 20 Coarse grained Dense –
20 23 Fine grained Soft 20
23 26 Coarse grained Dense –
26 35 Fine grained Very stiff 30
35 40 Fine grained Hard 60
Table 3 Shear strength

Soil layer Soil classification Consistency Su (kPa)
0 7 Fine grained Very soft 9.6
7 11 Fine grained Stiff 81.439
11 20 Coarse grained Dense 90
20 23 Fine grained Soft 28.8
26 35 Fine grained Very stiff 109.867
35 40 Fine grained Hard 194.133
The value of the internal shear angle is obtained from the correlation and tab-
ulated in Table 4.
The correlation results and lab data will then be processed to obtain the earth
stress acting on the wall. Then the deflection will be searched, and the results will
be compared. In the calculation of the earth lateral pressure, the following results
are obtained. For Fig. 4 shows the earth’s stress in in-situ conditions. Figure 5 for
earth stress at saturation condition. Figure 6 is an image of the earth’s stress for the
dewatering condition. The ground freezing conditions are depicted in Fig. 7.
Table 4 Shear angle

Soil layer Soil classification Consistency U′ (o)
0 7 Fine grained Very soft 10
7 11 Fine grained Stiff 17
20 23 Fine grained Soft 14
26 35 Fine grained Very stiff 17
35 40 Fine grained Hard 26
Fig. 4 Earth lateral pressure in-situ conditions
Fig. 5 Earth lateral pressure saturated conditions
Fig. 6 Earth lateral pressure dewatering conditions

Fig. 7 Earth lateral pressure ground freezing conditions
3 Result
3.1 Deflection and Moment
The results are as shown in Figs. 8 and 9. For in-situ conditions, the maximum
deflection is 8.964 m, the saturation condition is maximum deflection 12.154 m,
and for dewatering conditions, the maximum deflection is 7.831 m. For ground
freezing conditions, if we look at the graph, the maximum is 3.865 m.
4.1 Conclusions
1. The greatest deflection occurs when the soil is saturated, which is 12.154 m.
Then the second largest deflection is 8.964 m in in-situ conditions. The
third-largest deflection is the dewatering condition, which is 7.831 m. The
smallest deflection during ground freezing is 3.865 m.
2. From the results of the deflection comparison, it can be concluded that when
ground freezing produces the best soil stability.
3. The deflection that occurs in 4 conditions is still more than the permitted limit,
namely L/360 or 111 mm.
4. The biggest moment that the wall must hold is during saturation conditions with
a moment magnitude of 41,082 kNm/m and the smallest moment is during
ground freezing conditions, which is 17,818 kNm/m.
5. Each condition requires reinforcement in the excavation.
Fig. 8 Deflection results 0
-5
-10
-15
Depth (m) -20
-25
-30
-35
-40
-15 -10 -5 0
Displacement (m)
In-Situ Saturated
Dewatering Ground Freezing
4.2 Suggestions
1. Even though ground freezing is the best method, it is expensive in terms of

price. Therefore, it is necessary to conduct further studies or research to reduce
and develop this method in Indonesia.
2. The disadvantage of in-situ conditions is that the deflection is too large so that it
cannot rely solely on the ability of the retaining wall, and therefore it is nec-
essary to do much more reinforcement compared to dewatering or ground
freezing.
3. In the use of ground freezing, because it is only up to a depth of 20 m
(equivalent to excavation) and the calculation using the worst cohesion and
shear strength (in-situ soil properties), results are obtained that still require
reinforcement. If ground freezing is done at different depths and a cooler tem-
perature is used. Then the possibility of ground freezing does not require
reinforcement at all so that an open excavation can be done.
Fig. 9 Moment results 0
-5
-10
-15
Depth (m)
-20
-25
-30
-35
-40
0 10000 20000 30000 40000 50000
Moment kNm/m
In-Situ Saturated
Dewatering Ground Freezing
4. The use of ground freezing also has additional benefits, one of which is that it
does not cause additional settlement due to underground water flow during
dewatering which carries fine particles and erodes the soil. Ground freezing
should be considered in the future.
References
1. Jakarta MRT (2020) Profil MRT Jakarta Fase 2A. https://jakartamrt.co.id/id/info-terkini/profil-

mrt-jakarta-fase-2a. Accessed 15 Feb 2021
2. Federal Highway Administration (1982) Groundwater control in tunneling. Department of
Transportation, Massachusetts
3. Cashman PM, Preene M (2020) Groundwater lowering in construction: a practical guide to
dewatering. CRC Press, Florida
4. Vakulenko I (2018) Feasibility of ground freezing as potential stabilizing measure for
tunnelling through soil filled depression at Bergåsen road tunnel. Master’s thesis, NTNU
5. Powers JP, Corwin AB, Schmall PC, Kaeck WE (2007) Construction dewatering and
groundwater control: new methods and applications. Wiley, New Jersey
6. Mistra H (2012) Struktur dan konstruksi bangunan tinggi sistem top and down. Griya Kreasi,
Jakarta
7. Bowles JE (1997) Foundation analysis and design. McGraw-Hill, Illinois
8. Sayles FH (1966) Low temperature soil mechanics. Technical Note, Cold Regions Research
and Engineering Laboratory, Hanover, NH
Analysis of Hollow Concrete Column
with CFRP Wrapping Using Finite
Element Method
William Supardjo and Sunarjo Leman
Abstract The use of concrete in construction is very common even though there
are several problems such as massive structure self-weight and it causes the
increment of the seismic load carried by structure. Therefore, engineers usually
prefer the use of hollow cross-sections in reinforced concrete since it gives higher
structural efficiency. This research was done to analyze Hollow Concrete Column
(HCC) using the finite element method with the help of MIDAS FEA application to
obtain an efficient and effective model ratio between the hollow-core variation
which use CFRP (Carbon Fiber Reinforced Polymer) as wrapping. The analysis
result shows that for the solid cross-section sample, the use of CFRP correlates to
the needs of force resistance because the effectivity curve shows that the line
intersects with one another at some variety of eccentricity. It also shows even
though the effectivity increases with the increment of the hollow ratio, there is a
capacity reduction of 5.5% for each 5% increment. From the analysis, it shows
that the effectivity of the sample with CFRP wrapping exceeds the solid conven-
tional sample, where the best ratio is 30%.
Keywords Carbon fiber reinforced polymer Hollow concrete column Finite

element method
1 Introduction
Part of vertical structure which function is to support axial load either with or
without a moment is called a column [1]. The use of concrete in construction is very
common even though there is some problem especially the massive self-weight that
W. Supardjo (&) S. Leman

Department of Civil Engineering, Tarumangara University, Jl. Letjen S. Parman No. 1,
Jakarta, Indonesia
e-mail: williamsupardjo@gmail.com
https://doi.org/10.1007/978-981-16-7949-0_12
130 W. Supardjo and S. Leman
will affect the seismic load carried by structure. It can be illustrated with basic
physics theory (F = m.a), which shows that forces will increase along with the
increment of masses [1].
Since such a problem has arisen, the use of hollow cross-section has become more
preferable in construction because it will give a better structural efficiency from the
power or stiffness to masses ratio point of view [2]. Hollow Concrete Columns (HCCs)
is one of the main choices in civil construction, including bridge pile with expectation
in reducing the overall weight and the cost since there will be less use of concrete in the
column and pile construction [3]. Although the benefit of using HCC has been
explained, it has not been used extensively in seismic design practice because there is
still not enough understanding about the confinement behavior and design guide [4].
This research was initiated to analyze the HCC using the finite element method to
obtain an effective and efficient ratio among variations of hollow-core with CFRP
(Carbon Fiber Reinforced Polymer) as a wrapping and hopefully by using CFRP
wrapping on the outside can give better performance even though there is a
hollow-core. Hence, the observed force in this paper will strictly be axial and
moment only. The main purpose was to achieve maximum volume reduction with a
minimum capacity decrease to produce higher sample effectivity than a conventional
column. The effectivity mentioned in this paper will be about the ratio between the
column, whether moment or axial compared to the volume. The greater the ratio, the
better effectivity it will have since it will have less concrete but the same capacity.
The result hopefully also could be additional literature in HCC practice application.
To predict and validate the result from MIDAS FEA, there will be a manual
calculation to make a column interaction diagram as a method of approach for the
tested samples, which was based on the guidance in ACI 318-14 [5] and ACI 440
2R-17. For validation purposes (see Fig. 1), only three conditions in the manual
interaction diagram that corresponded with the compression-controlled failure will be
used [6].
18000
17000
16000
15000
Pn (kN)
14000
13000
12000
11000
10000
9000
0 500 1000 1500 2000 2500
Mn (kNm)
Parameter M00 M02 M04 M06 M08 M10
Fig. 1 Manual versus MIDAS strength analysis result comparison example

Analysis of Hollow Concrete Column … 131
1.1 FRP (Fiber Reinforced Polymer)
Fiber Reinforced Polymer (FRP) is a composite-based material that was made with
polymer matrix and strengthened by using fiber. Generally, fiber can be glass,
carbon, or aramid, even though another fiber is sometimes being used, such as
paper, wood, or even asbestos. The commonly used polymer is epoxy, vinyl ester,
or polyester thermosetting plastic, and phenol–formaldehyde resins. FRP applica-
tions are common in several industries such as aerospace, automotive, marine, and
construction industries [7].
The reason this material is very popular as a construction retrofitting option is a
significantly higher addition in strength, especially in tension. Because as we all
know, concrete is very vulnerable to tension. The tension strength possessed by this
material is very high, around 20–100% higher or even more depends on the material
properties. Table 1 shows that FRP has a relatively higher tensile strength depends
on the fiber content in the FRP and Table 2 shows that carbon has better strength
than others.
2 Research Methodology
2.1 Specimen ID
There is a total of seven specimen that will be tested and each one of them will have
a unique ID to differentiate them from one another (see Fig. 2). The first sample
Table 1 Composite and steel tension strength comparison [8]

No. Properties Fiber glass Tensile strength
Unit % 103 psi MPa
Test method D790 D638
A. Fiber reinforced thermoset
1 Polyester (pultrusion) 22 30 206.85
2 Polyester (woven roving) 50 37 255.115
3 Epoxy (filament winding) 80 80 551.6
B. Fiber reinforced thermoplas
1 Polypropylene 20 6.5 44.8175
2 Nylon 6 30 23 158.585
3 Polycarbonate 10 12 82.74
C. Metal
1 ASTM A-606 HSLA cold rolled steel – 65 448.175
2 AISI 304 stainless steel – 80 551.6
3 2036-T4 wrought aluminium – 49 337.855
Table 2 Basic material strength comparison [9]

Glass Carbon Steel Alumunium PVC Wood
profile profile
Density (kg/m3) 2100 1650 7900 2700 1380 520
Flexural strength 1000– 1400–2500 400– 180 44 150
(MPa) 1400 1200
Flexural modulus 45–56 120–300 196 70 2.4 10
(GPa)
Tensile strength 1000– 1400 400– 180 70 100
(MPa) 1400 1200
Tensile modulus 45 140 196 70 2.4 9
(GPa)
Thermal conductivity 0.5 1.4 47 209 0.24 0.47
(w/m k)
Coefficient of linear 10−5 −0.2 10−6 10−5 2.3 10−5 10 10
thermal expansion (1/
k)
Specific heat capacity 1880 950 461 921 1100 1700
(J/kg K)
Solid Convenonal (SK)
Tested
Sample
Hollow Rao 10% (HW-1) Hollow Rao 15% (HW-2)
Solid FRP Wrap (SW) Hollow Rao 30% (HW-5)
Hollow Rao 20% (HW-3) Hollow Rao 25% (HW-4)
Fig. 2 Specimen ID diagram
will be SK which stands for Solid Conventional Column with Steel Rebar. The rest
of the sample will be a variation of Column with CFRP Wrapping. So, there will be
six variations which will be labeled by number such as SW (Solid Column with
CFRP Wrapping), HW-1, HW-2, HW-3, HW-4, and HW-5. The number will
represent the increment of 5% hollow-core ratio from a solid cross-section.
2.2 Properties Specification
The sample was modeled with 35 MPa of concrete compressive strength specifi-
cation, 850 mm of outside diameter, and 4200 mm length. Conventional concrete
with a solid cross-section and steel rebar (SK) is used as the control sample. It was
modeled using a rebar with 400 MPa yield strength and 550 MPa ultimate strength.
As for the sample with CFRP wrapping (SW and HW), it was modeled with a
966 MPa tensile strength and 66,190 MPa modulus of elasticity specification.
2.3 MIDAS FEA Modelling
Structural Geometry Modelling Column modeling used the solid element for the
concrete, 3D line element to make the rebar, and shell element in modeling the
CFRP Wrapping.
Material Modelling and Its Function Every structural geometry that was made
will have different material and function. For rebar and CFRP Wrapping, a hard-
ening function was used and the parameter will be manually inputted, such as
material yield and ultimate strength according to the factory specification. For
concrete, the total strain crack function will be used. For the compressive behavior
(as shown in Fig. 3a), the Thorenfeldt function was used (as shown in Fig. 3b). As
for the tensile behavior, the brittle function was used (as shown in Fig. 3c).
Model Meshing After all the structural and material modeling was done, then
meshing needed to be done in order to merge the modeled geometry and material
into one element (see Fig. 4a, b).
Interface Modelling The interface was needed in modeling the CFRP wrapping
because the bonding between the wrapping and concrete must be made so that the
condition can represent the real-time condition in which the wrapping will give an
effect to the structure and became one unity with the concrete. The interface was
modeled using rigid parameter because it was assumed to have a perfect bonding
between the CFRP and concrete.
Constraint and Load Modelling Constraint and load were modeled using the help
of rigid link option where it will make only one joint that is needed to be put load
and constraint since it will represent the whole surface is loaded and can support the
load evenly (see Fig. 5a, b).
a b c
Fig. 3 Material function. a Rebar hardening, b concrete compression (Thorenfeldt), c concrete

tension (Brittle)
Fig. 4 MIDAS FEA meshing a

view for a concrete and rebar,
b CFRP wrapping
Fig. 5 MIDAS FEA load a

view a and constraint view
b with rigid link
Determining the Analysis Case Analysis case needed to be set so the app will
analyze the sample with nonlinear analysis. In the analysis case, we also need to
choose the iteration model and in this case, the Newton–Raphson iteration was
used. The number of load steps and iteration can also be adjusted to obtain the best
result.
Solving the Model After all the structural modeling and analysis control was done,
then everything is set to be analyzed using the solving option in MIDAS FEA. After
the option was run, the app will analyze the sample using the finite element method
and produce the needed output.
2.4 Data Compilation
Data were obtained using the MIDAS FEA application that calculates the crack and
displacement pattern of nonlinear analysis with the finite element method. The load
step and eccentricity which caused a reasonable crack pattern will be taken as the
axial and moment value for analysis. Then the value will be divided with the sample
volume so the ratio of axial to force and moment to force will be obtained. From the
ratio comparison, it will show which sample gives the best ratio effectivity.
3 Analysis and Discussion
3.1 Solid Cross Section Column
Based on the result comparison between all three of the solid cross-section sample
(see Fig. 6a), it shows that the sample that has a good decreasing consistency in
strength is SW and excels in several conditions as the moment increases but shows
that it underperformed in strength especially when the sample was applied with the
biggest moment. The sample which has the biggest strength when tested with the
biggest eccentricity was SK.
a b
18000
17000 17000
16000
15000
15000
Pn (kN)
14000
Pn (kN)
13000
13000
11000
12000
11000 9000
10000
9000 7000
0 200 400 600 800 1000 1200 1400 0 500 1000 1500
Mn (kNm) Mn (kNm)
HW-1 HW-2
SK SW HW-3 HW-4
Fig. 6 Strength comparison of a SK versus SW, b hollow cross-section with CFRP wrapping
sample
From this result, it shows that sample selection to be used in construction

practice depends on the force that needs to be carried by the element because SK
will be the best choice if the carried moment and axial compression was above 900
kNm and under 12,000 kN. But besides these two conditions, SW will be the best
choice available.
3.2 Hollow Cross Section Column with CFRP Wrapping
The result shows that there are decreases in strength along with the increment of the
hollow-core ratio (see Fig. 6b). The decrease in strength has already been antici-
pated since the net cross-section area will decrease along with the increment of the
hollow-core ratio. This statement is given based on the P-M Curve calculation
theory.
The decrease in strength is not that big of a problem since what needs to be
checked further is the strength to volume ratio (Effectivity Ratio). The checking was
done to know whether a certain hollow-core sample effectivity can give a result that
differs from a downward trend referring to the P-M Curve theory.
3.3 Sample Effectivity
The sample effectivity was obtained that HW gives a similar effectivity ratio with
the SK from the 10–15% hollow-core ratio (see Figs. 7 and 8). When it was 20–
25%, the effectivity slowly surpassing the SK effectivity and finally, at the 30%
hollow-core ratio, it shows that the HR effectivity surpasses the SK effectivity
by +7%.
4 Conclusion
Based on the modeling and analysis done with the MIDAS FEA application, the
conclusion was:
1. It shows that there is a decrease in strength as big as +5.5% for every 5% hollow
ratio increment.
2. From the analysis result, it shows that the best hollow core ratio is 30%. It is
because even though the sample experiencing a decrease in strength along with
the hollow ratio increment, the sample effectivity increases both in axial and
moment capacity.
a b
600 600
500 500
Effectivity (kNm/m^3)
400 400
300 300
200 200
100 100
0 0
0 2 4 6 8 0 2 4 6 8
Eccentricity Increment (0-106.25mm; @20mm) Eccentricity Increment (0-106.25mm; @20mm)

HW-2
HW-1 SK SK
c d
600 600
500 Effectivity (kNm/m^3) 500

400 400
300 300
200 200
100 100
0 0
0 1 2 3 4 5 6 7 0 2 4 6 8
HW-3 HW-4 SK
e
600
500
400
300
200
100
0
0 2 4 6 8
Eccentricity Increment (0-106.25mm; @20mm)
HW-5
Fig. 7 Moment capacity to volume effectivity ratio comparison of a HW-1 versus SK, b HW-2
versus SK, c HW-3 versus SK, d HW-4 versus SK, e HW-5 versus SK
3. The analysis result shows that none of the hollow samples with CFRP wrapping
can give a higher strength compare to SK (Solid Conventional Sample with
Steel Rebar).
4. From an effectivity point of view, it shows that there is some variation of HW,
which has an effectivity that exceeds SK.
5. MIDAS FEA application able to simulates crack pattern step by step from initial
loading until it reaches collapse state (see Fig. 9).
a b
8000 8000
7500 7500
7000 7000
Effectivity (kN/m^3)
6500 6500
6000 6000
5500 5500
5000 5000
4500
4500
4000
4000
0 2 4 6 8
0 2 4 6 8
HW-1
HW-2 SK
c d
8000 8000
7500 7500
7000 7000
6500 6500
6000 6000
5500 5500
5000 5000
4500 4500
4000 4000
0 2 4 6 8 0 2 4 6 8
HW-3 SK HW-4 SK
e
8500
8000
7500
7000
6500
6000
5500
5000
4500
4000
0 1 2 3 4 5 6 7
HW-5
Fig. 8 Axial capacity to volume effectivity ratio comparison of a HW-1 versus SK, b HW-2
versus SK, c HW-3 versus SK, d HW-4 versus SK, e HW-5 versus SK
Fig. 9 Step by step cracking pattern output in MIDAS FEA
References
1. Wight JK, Richart FE (2016) Reinforced concrete mechanics and design, 7th edn. Pearson
Education, New Jersey
2. Mo Y, Wong D, Maekawa K (2003) Seismic performance of Hollow bridge column. ACI
Struct J 100(3):337–348
3. AlAjarmeh OS, Manalo AC, Benmokrane B (2020) Effect of spiral spacing and concrete
strength on behavior of GFRP-reinforced hollow concrete columns. J Compos Constr 24
(1):04019054
4. Liang X, Sritharan S (2019) Effects of confinement in square hollow concrete column sections.
Eng Struct 191:526–535
5. ACI Committee 318 (2014) Building code requirements for structural concrete (ACI 318–14).
American Concrete Institute, Farmington Hills
6. ACI Committee 440 (2017) ACI 440.2R-17: guide for the design and construction of externally
bonded FRP systems for strengthening concrete structures. American Concrete Institute,
Farmington Hills
7. Masuelli MA (2013) Introduction of fibre-reinforced polymers—polymers and composites:
concepts, properties and processes. Fiber reinforced polymers—the technology applied for
concrete repair. IntechOpen. https://doi.org/10.5772/54629
8. Molded Fiber Glass Companies (2003) Designing with fiber reinforced plactics/composites.
Molded Fiber Glass Companies, Ohaio
9. Unicomposite (n.d.) Carbon Fiber/Roller. https://www.unicomposite.com/product/carbon-
fiber-roller/. Accessed 15 Sep 2020
The Use of Fly Ash in Pervious Concrete
Containing Plastic Waste Aggregate
for Sustainable Green Infrastructure
Steve W. M. Supit and Priyono
Abstract The aim of this research is to experimentally investigate the use of fly ash
in pervious concrete containing plastic waste aggregate for solving environmental
problems. The effects of fly ash are investigated based on the weight of volume
concrete, compressive strength, and void ratio of pervious concrete samples. The
percentages of 5, 10, and 15% plastic were used to replace the natural aggregate
content. The amount of 15% fly ash is selected based on the optimum compressive
strength of cement mortar tested seven days after water curing. This percentage was
then used in pervious concrete containing 5% of plastic waste aggregate that
achieved the highest compressive strength in comparison to other mixtures. The
results show that pervious concrete incorporated with 15% fly ash and 5% plastic
waste aggregate reduced the weight of the volume of pervious concrete compared to
control concrete without plastic aggregate addition. In terms of compressive
strength and void ratio, the use of fly ash shows comparable results with the control
specimens. Furthermore, combining 15% fly ash and 5% plastic waste in making
pervious concrete can be considered as one of the environmentally construction
materials for sustainable green infrastructure.
Keywords Fly ash Pervious concrete Plastic waste Compressive strength

Void ratio
1 Introduction
Pervious concrete can be defined as a special type of concrete consists of cement,

coarse aggregate, a little to no fine aggregates, additives, and water that is normally
used for improving the ecological environment of soil and water quality, protecting
S. W. M. Supit (&)
Civil Engineering Department, Manado State Polytechnic, Manado, Indonesia
e-mail: stevewmsupit@gmail.com
Priyono
Mechanical Engineering, Manado State Polytechnic, Manado, Indonesia
https://doi.org/10.1007/978-981-16-7949-0_13
142 S. W. M. Supit and Priyono
groundwater resources, and managing storm-water runoff [1, 2]. When compared to
normal or typical concrete, pervious concrete is more permeable with a porous
structure (15–30% per volume) that allows the water to penetrate through the
concrete matrix and offers sustainable drainage solutions. Some major factors that
generally influence the performances of pervious concrete are the water/cement
ratio, the aggregate sizes, aggregate: cement ratio, void volume. Upon the benefits
of pervious concrete, some disadvantages have been discussed in relation to the
characteristics of typical pervious concrete, such as limited bond strength between
the aggregates, risk of clogging by organic and inorganic material, and low dura-
bility resistance [3]. These issues have brought more experimental works in order to
enhance the properties of pervious concrete, for example by partially replacing
cement with a variety of supplementary cementitious materials like natural poz-
zolans and by-product materials. One of the by-product materials that has been
widely used to substitute cement content in the proportion of normal concrete is
fly ash.
Fly ash has been known as a fuel combustion product (ASTM C618-17a, 2017)
[4] composed of glassy particles that can act as a pozzolanic material with the
presence of silicate and aluminate to contribute to the strength and durability
properties of concrete [5–7]. The pozzolanic products of Calcium Silicate Hydrate
(CSH) and Calcium Aluminate Hydrate (CAH) formed by the reaction of fly ash
with calcium hydroxide can be very effective in making a denser matrix leading to
the increase of mechanical strength and durability resistance [8, 9].
Based on the discussions above, the effect of fly ash in pervious concrete con-
taining plastic waste aggregate is interesting to be evaluated. The efforts of maxi-
mizing the plastic waste to substitute aggregate in concrete have been investigated
recently in order to overcome the environmental problem due to the increase in the
quantity of plastic-based waste. Reference [10] reported that concrete containing
15% replacement of stone aggregate by recycled plastic improved the compressive
strength of concrete up to 18.34 MPa, making it applicable for structural applica-
tion. On the other study conducted by Rahmani et al. [11], it was reported that
concrete containing plastic aggregate type Polyethylene Terephthalate (PET) as fine
aggregate increased the compressive strength of concrete with the maximum
replacement of fine aggregate was 5%. This study also found that the ductility
behavior can be obtained in concrete with 10% PET waste particles with no neg-
ative effect on its compressive strength. Among the results from previous studies,
very few reports are available on the use of plastic waste as a natural aggregate
replacement in pervious concrete. The report on the effect of fly ash in pervious
concrete is also still limited. Therefore, the reinforcement of fly ash in pervious
concrete containing plastic waste aggregate is interesting to be evaluated. The
outcome results on the inclusion of fly ash in pervious concrete with plastic waste
aggregate can be an alternative sustainable construction material for a structural and
non-structural application.
The Use of Fly Ash in Pervious Concrete … 143
2 Materials
Materials used in this experiment are cement type Portland Composite Cement
(PCC), fly ash type C from Steam Power Plant (PLTU) 2 Amurang, natural coarse
aggregate with a maximum size of 20 mm, water and superplasticizer type F as
chemical admixture. Table 1 presents the chemical composition of PCC and fly ash
used in this experiment.
Moreover, the plastic waste sourced from the plastic bottle type Polyethylene
Terephthalate (PET) was prepared following the procedure are presented in Fig. 1.
The plastic bottle was cut into small pieces then melted under a temperature of
Table 1 Chemical Chemical analysis PCC Fly ash

composition of PCC and fly
ash (%) SiO2 8.43 18.77
Al2O3 1.65 6.89
Fe2O3 4.81 21.8
CaO 73.12 28.13
MgO – 4.65
K2O – 1.38
Na2O – 7.41
SO3 2.71 6.65
Fig. 1 Procedure on obtaining plastic waste aggregate

150 °C. The melted plastic was poured into the mold and pressed to form a
hardened paving block. The plastic paving block was then crushed manually with a
hammer to obtain a plastic aggregate with a maximum size that is similar to the
natural coarse aggregate.
3 Experimental Method
The experimental works are divided into three parts. The first part investigated the
optimum percentage of fly ash when replacing PCC in the mortar with the dosage of
10, 15, 20, and 25% by weight of cement. The evaluation was taken based on the
compressive strength of mortar tested 7 days after curing in water. The mixture
proportions of mortar with fly ash can be seen in Table 2. In this part, cement and
fly ash were dried mixed before mixing it with water using the mortar mixer. After
completing the mixes for around 10 min, the mixtures were then placed into the
molds with a size of 50 mm 50 mm 50 mm. After 24 h, the samples were
then demolded for curing until the day of testing. The second part investigated the
effect of plastic waste aggregate in pervious concrete with the variation of
replacement, i.e., 5, 10, and 15% by weight of total natural aggregate. The mixture
proportions of different types of pervious concrete are presented in Table 3. In this
Table 2 Mixture proportions of mortars containing fly ash

Type of mortar Cement (g) Fly ash (g) Fine aggregate (g) Water (ml)
CM 500 0 1200 120
FA-10% 450 50 1140 120
FA-15% 425 75 1080 120
FA-20% 400 100 1020 120
FA-25% 375 125 1140 120
CM control mortar, FA-10% 10% fly ash in mortar, FA-15% 15% fly ash in mortar, FA-20% 20%
fly ash in mortar, FA 25% 25% fly ash in mortar
Table 3 Mixture proportions of different type of pervious concrete (kg/m3)

Type of Cement Fly Natural Plastic Water Superplasticizer
concrete ash coarse coarse
aggregate aggregate
PC 400 0 1200 0 120 2
PW-5% 400 0 1140 60 120 2
PW-10% 400 0 1080 120 120 2
PW-15% 400 0 1020 180 120 2
PC-PW5%- 340 60 1140 60 120 2
FA15%
PC porous concrete, PC-5% 5% plastic in concrete, PC-10% 10% plastic in concrete, PC-15%
15% plastic in concrete, PC-PW5%-FA15% 5% plastic in concrete with 15% fly ash
part, the natural aggregate was mixed with the plastic aggregate and then poured
into the concrete mixer containing cement paste with a water binder ratio of 0.3 and
aggregate: cement ratio = 1:3. The dosage of 0.5% superplasticizer by weight of
cement was selected to be used in this mixture. The pervious concrete mixtures
were then cast in 100 mm/200 mm size of cylinder specimens for compressive
strength and voids ratio testing after curing underwater at 7 and 28 days. The third
part evaluates the characteristics of pervious concrete when mixed with fly ash and
plastic waste aggregate with the percentage used is based on the results gained from
the first and second parts.
3.1 Compressive Strength Fly Ash Mortar and Pervious

Concrete
The compressive strength of mortar is conducted based on ASTM C109 (ASTM)

[12] using the 50 mm 50 mm 50 mm cube size specimens while the ASTM
C39/C39M-18 [13] standard is used for conducting the compressive strength test of
pervious concrete. The concrete cylinder with the size of 100/200 mm was used.
The mortar and concrete sample was placed on the compression machine and the
load was applied until fracture. The ultimate load of each sample was then recorded,
and the average of three samples on each mixture was used as the final result.
3.2 Weight Volume of Pervious Concrete
The weight of the volume of pervious concrete was calculated after the samples
were cured at 7 and 28 days and weighed in air. The weight (kg) of each sample
was then divided by the volume (cm3) to determine the effect of using fly ash and
plastic waste in the pervious concrete mixture.
3.3 Void Ratio of Pervious Concrete
This test was proposed by Japan Concrete Institute (JCI) [14] and conducted in
order to calculate the total void ratio that is defined as the percentage of the total
volume of voids to the total volume of the specimen. In this test, the concrete
cylinder specimens with the size of 100 200 mm were prepared after curing at 7
and 28 days. The volume of specimens was measured as V1. After water curing, the
mass of samples in water was recorded (W1). The samples were then left for 24 h at
room temperature and then weighted as W2. On the next day, the measurement in
water was taken again (W3) to calculate the total void ratio (At) based on the
formula in Eq. 1.
ðW2 W1 Þ=qw
At ð%Þ ¼ 1 100 ð1Þ
V1
Additionally, the continuous void ratio (Ac) can be also calculated using the
formula in Eq. 2.
ðW1 W3 Þ=qw
Ac ð%Þ ¼ At 100 ð2Þ
V1
4 Results and Discussions
4.1 Compressive Strength of Mortars Containing Fly Ash
Figure 2 presents the compressive strength results of typical mortars containing

different percentages of fly ash tested after water curing at 7 days. The results were
calculated as the average of three pervious concrete samples on each mixture. The
error bars are also presented to represent the standard deviation. This part was
conducted in order to evaluate the maximum percentage replacement of fly ash that
contributed to the higher compressive strength. The figure shows that maximum
compressive strength is achieved by mortar with 15% fly ash by weight of cement.
Increasing the fly ash content up to 20 and 25% reduces the compression load
resistance. By comparing the strength of CM and FA-15% samples, CM sample has
20
17.60
18 15.41 16.19
16 14.94
Compressive strength (MPa)
14 10.86
12
10
8
6
4
2
0
CM FA-10% FA-15% FA-20% FA-25%
Type of Mortars
Fig. 2 Compressive strength of mortar containing fly ash at 7 days

higher compressive strength than FA-15% mortar with the difference is about 8%.
Another study conducted by Ref. [15] also reported a similar trend when using the
same source of fly ash. In this study, it was found that mortar with the proportion of
1 cement: 3 sand and 15% fly ash by wt. of cement achieved 27.71 MPa of
compressive strength on the 28th day. However, increasing the sand content up to
five times of cement resulted in reducing the compressive strength results but still
acceptable to be used as a pavement mixture. Furthermore, according to the pre-
liminary results on mortar, 15% of fly ash was selected to replace cement in the
pervious concrete mixture.
4.2 Compressive Strength of Pervious Concrete Containing

Plastic Waste and Fly Ash
The compressive strength results of pervious concrete containing plastic waste and
fly ash can be seen in Fig. 3. It can be clearly seen the effect of replacing partially
natural aggregate with plastic waste aggregate. In this case, the pervious concrete
with 5% plastic waste that replaces the natural coarse exhibited higher compressive
strength at 7 days when compared to the strength of normal concrete. On the 28th
day, the strength on compression load was found comparable with the value of
19 MPa. Increasing the plastic waste content reduced the compressive strength
development of pervious concrete after all curing periods. The significant effect of
using plastic waste in pervious concrete can be found on the 7th day since all of
percentages replacement of natural coarse aggregate with the plastic waste aggre-
gate performed higher strength than the normal concrete (PC).
The influence of PET particles was also commented on by the study from
Rahmani [11]. In this study, the presence of PET particles was found to act as a
25
7 days 28 days
23 20 21
19
Compressive Strength (MPa)
20
16
18 15
14
15
12 12
10
13
10 8
8
5
3
0
PC PC+PW10% PC+PW5%+FA15%
Type of concrete mixes
Fig. 3 Compressive strength of pervious concrete at 7 and 28 days

barrier that prevented the transition zone between cement paste and aggregates.
However, the presence of plastic particles is beneficial when ductility is concerned.
When the pervious concrete with 5% plastic aggregate is combined with 15% fly
ash as a cement replacement, the compressive strength results show that the
replacement of cement using fly ash was less effective in improving the compres-
sive strength on the 7th day. However, there is an increase of strength is found at
the 28th day on pervious concrete containing 15% fly ash. The addition of fly ash
affects the cement paste thickness leading to an increase in the bonding between
aggregates, thus influences the compression load resistance of pervious concrete.
Torres et al. [16] also reported that a thicker cement coating could give a positive
effect on the mechanical strength improvement. However, the use of mineral
admixtures on pervious concrete as a cement replacement should be properly
proportioned in order to achieve the desired strength without defeating the purpose
of pervious concrete. Overall, all of the compressive strength of pervious concrete
results fall within the range of 2.8–20 MPa, as reported in ACI 522R-10 [17].
Considering the compressive strength of the combined plastic waste aggregate
and fly ash in pervious concrete that reached 21 MPa on the 28th day, the appli-
cations of this pervious concrete mixture are potential for parking lots, lightweight
wall structure when thermal insulation is considered, base course for roads, sea-
walls, embankments, etc. [18]. Since the research in Ref. [19] reported the
improvement of splitting and flexural strength of pervious concrete due to the
presence of fly ash as supplementary cementitious materials, further research on
other mechanical properties such as splitting and flexural strength test should be
taken into account for the previous concrete containing fly ash and plastic waste.
4.3 Weight Volume of Porous Concrete
The weight volume of porous concrete containing fly ash and different percentage
of plastic waste is presented in Fig. 4. The weight of volume was determined after
the samples were cured in water at 7 and 28 days. As seen, there is no significant
change in the weight volume of pervious concrete due to a longer curing period.
The interesting point that can be observed is the effect of replacing the natural
aggregate with some percentage of plastic waste, which are 5, 10, and 15%. The
increase of plastic waste content up to 15% significantly reduces the weight volume
of porous concrete that can be due to the smaller specific gravity of plastic
aggregate compared to the natural aggregate that leads to form lightweight pervious
concrete. According to the research reported in Ref. [20], the specific gravity of
crushed plastic aggregates with sizes 4.75 to 20 mm is 0.93 with a density of
0.84 g/cc. This is an indication that including plastic waste aggregate has a potential
application in forming lightweight construction materials. By adding 15% fly ash
into the 5% plastic waste concrete, the weight volume is increased but still lighter
than the control pervious concrete. This trend can be found in the case of 7 and
28 days after water curing.
(a)
Weight of volume concrete (kg/m3)

2400
2350 7 days
2300
2250 2193
2153 2168
2200
2150 2101
2100
2050 1975
2000
1950
1900
1850
1800
PC+PW5%+FA
PC+PW5%
PC
PC+PW10%
PC+PW15%
15%
Type of Mixes
(b)
Weight of volume concrete (kg/m3)
2400
2350 2283 28 days
2300
2250 2203
2200 2125 2100
2150
2100
2050 1960
2000
1950
1900
1850
1800
PC
PC+PW5%
PC+PW10%
PC+PW15%
PC+PW5%+F
A15%
Type of Mixes
Fig. 4 Weight of volume of different types of pervious concrete at a 7 d days, b 28 days
4.4 Void Ratio of Pervious Concrete
The results of the void ratio of pervious concrete containing plastic waste with and
without the addition of fly ash are presented in Table 4. In these results, the
percentage of continuous voids represents the bonding performance between the
aggregate and the cement paste. It can be clearly seen that the total voids of PC-5%
are 18.4% at 7 days and around 17.5% at 28 days. The results are higher than the
total voids of pervious concrete without plastic waste aggregate. It means that the
pervious concrete when combined with plastic waste aggregate obtains a higher
Table 4 Percentage of voids in different types of concrete

Type of 7 days 28 days
mixes Total Continuous Discontinuous Total Continuous Discontinuous
voids—At voids—Ac voids—Ad voids—At voids—Ac voids—Ad (%)
(%) (%) (%) (%) (%)
NC 10.5 10.0 0.5 11.0 8.8 2.2
PC-PW5% 18.4 17.7 0.7 17.5 17.1 0.4
PC-PW5%- 11.8 11.2 0.6 10.4 9.6 0.8
FA
percentage of total voids in comparison to the normal concrete sample. However,

the continuous voids of pervious concrete with 5% plastic waste addition (PC-5%)
is observed higher than the NC sample indicating the presence of 5% plastic waste
as a natural coarse aggregate replacement increases the bonding of the coated thin
layer among the coarse aggregate due to its sharp edges and corner shape that also
leads to the improvement of compressive strength. On the other hand, the addition
of 15% fly ash as cement could lower the total voids content, lower than the total
voids of PC-5% concrete, and comparable with NC concrete sample. This can be
suggested due to the micro-filler effect of fly ash that increases the paste thickness of
pervious concrete, thereby reducing the total voids content from 17.7 to 10.4%.
The reduction of total voids due to fly ash involvement is also reported in the
study of Ref. [21]. It was reported that the reduction of the total voids could be due
to the micro-filler effect of fly ash and the plasticizer used that caused a cohesive
action. The beneficial effects of fly ash in terms of technical, economic, and
environmental were also reported in this study.
5 Conclusions
According to the results presented in this experiment, some valuable conclusions

could be drawn for further research as follows:
1. The results from the compressive strength test show that the pervious concrete
containing 5% plastic waste aggregate is 16 and 19 MPa at 7 and 28 days,
respectively, higher when compared to the compressive strength of normal
pervious concrete. From the void ratio results, this specimen also increases the
continuous voids indicating that the presence of 5% plastic waste as a natural
coarse aggregate replacement could increase the bonding of the coated thin layer
among the coarse aggregate.
2. Combining fly ash with a dosage of 15% by weight of cement effectively
increases the compressive strength due to the thicker paste layer formed that also
reduced the void ratio leading to the strength improvement. However, there is no
significant difference found when the results are compared with the pervious
concrete containing 5% of the plastic waste aggregate.
3. By adding 15% fly ash into the 5% plastic waste concrete, the weight volume is
increased but still lighter than the control pervious concrete. On the other hand,
the increase of plastic waste content up to 15% significantly reduces the weight
volume of porous concrete leading to form lightweight pervious concrete.
4. Combining fly ash with plastic waste aggregate to make pervious concrete is
very promising for maximizing the utilization of waste, including by-products
materials for application in the construction field. Based on the compressive
strength results, the mixture can be used in the pavement for a light load, such as
for pedestrian walks or parking lots.
Acknowledgements The authors would like to thank Direktorat Sumber Daya, Direktorat
Jenderal Pendidikan Tinggi Kementerian Pendidikan, Kebudayaan, Riset, dan Teknologi Republik
Indonesia for the research funding under scheme Penelitian Dasar Unggulan Perguruan Tinggi
Year 2021 No. 095/E4.1/AK.04.PT/2021—12 Juli 2021.
References
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characteristics of pervious concrete. Int J Appl Eng Res 12(8):1598–1609
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concrete. Constr Build Mater 98:51–60. https://doi.org/10.1016/j.conbuildmat.2015.08.027
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pozzolan for use in concrete. ASTM International, Pennsylvania
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1080/23311916.2017.1318802
Artificial Aggregate Made
from Expanded Polystyrene Beads
Coated with Cement Kiln Dust—An
Experimental Trial
A. P. Wibowo , M. Saidani, and M. Khorami
Abstract The use of waste materials from industrial products to support green
building and environmentally friendly construction needs more attention and
becomes a common thought. The use of waste materials such as Cement Kiln Dust
(CKD) or often referred to as Bypass Dust (BPD), as a concrete substitution
material, has been done a lot and not a few have given positive results. However, it
is necessary to have other alternatives regarding using this waste material, one of
which is to try to use it as a coating material for lightweight materials such as
Expanded Polystyrene (EPS) to manufacture artificial aggregate. This coating
technique uses a solvent/adhesive in the form of liquid (acetone–water and poly-
vinyl acetate-water). The resulting weights of coated EPS with BPD are 154–175 g/
l. Artificial lightweight aggregate made from EPS grains coated with CKD powder
with an adhesive solution of a mixture of Polyvinyl Acetate (PVA)-water gave
more promising results than an acetone–water binder. The process of creating
coated EPS shows the potential as artificial aggregates for a lightweight concrete.
The coated EPS gives a better result in strength than pure EPS beads when
replacing the coarse aggregate.
Keywords Expanded polystyrene (EPS) beads Coating Cement Kiln dust

(CKD) Acetone Polyvinyl acetate
1 Introduction
Cement Kiln Dust (CKD) or often called Bypass Dust (BPD) [1], is the residual/
waste material from the cement manufacturing process. The amount of CKD waste
generated from the rotary kiln during the calcination process can reach 8–20% of
A. P. Wibowo (&)
Department of Architecture, Universitas Atma Jaya Yogyakarta, Sleman, Indonesia
e-mail: andi.prasetiyo@uajy.ac.id
A. P. Wibowo M. Saidani M. Khorami
Institute for Future Transport and Cities, Coventry University, Coventry, United Kingdom
https://doi.org/10.1007/978-981-16-7949-0_14
154 A. P. Wibowo et al.
the total cement production [2, 3]. Therefore, the large amount of waste generated
needs to be adequately managed and handled in the name of the environment. The
use of waste materials from industrial products to support green building and
environmentally friendly construction needs more attention and becomes a common
thought.
In concrete technology, the use of CKD is mainly used as a substitute for
cement. Replacing cement with up to 60% CKD [4] can produce concrete with
compressive strength and durability performance comparable to normal concrete
and capable of producing high-quality concrete. However, it still has to be com-
bined with other materials such as Nano Silica [5]. In another study, CKD had been
used as material to create an environmentally friendly lightweight brick [6], which
was then tried to be developed by Saleh et al., which combines other waste
materials such as polystyrene waste [7].
The use of Expanded Polystyrene (EPS) in lightweight concrete has been studied
and has been widely used for decades. However, the weight of EPS beads and their
smooth surface make this material segregate in the concrete matrix, impacting the
weak bond and strength of the concrete. Modifications are needed to anticipate and
reduce these weaknesses. Based on previous research, CKD can positively affect
increasing flow ability and reduce segregation in a Controlled Low-Strength
Material (CLSM), which is also cement-based [8]. There have also been many
attempts to create artificial aggregates from concrete waste products by utilizing
waste concrete powder obtained from crushed waste concrete [9] and the building’s
debris of post-earthquake [10]. These studies produced aggregates that can sub-
stitute natural aggregates even though the concrete strength is still below whilst
using natural aggregates. Some of the research listed above then become an insight
for further study to use cement/concrete-based waste materials by incorporating
different materials to create types of artificial aggregates in the manufacture of
concrete.
This research will focus on creating lightweight aggregates using CKD as a
coating material for EPS beads. Besides utilizing waste materials, combining these
two materials might be considered as a development for an alternative of light-
weight aggregates to create lightweight concrete.
2 Material and Method
This study is a laboratory-based experimental activity. The study was conducted at

the Concrete and Materials Laboratory, Faculty of Engineering, Environment and
Computing, Coventry University, United Kingdom. In addition, the literature study
method was also used to be the basis of theories as a literature study and to support
the analysis and discussion. This experiment focuses on creating an artificial
aggregate and reporting the result as a part of an ongoing and enhancements process
for further research.
Artificial Aggregate Made from Expanded … 155
2.1 Materials
The material used in this study consists of three parts. First, EPS grain is the main
part of the artificial aggregate creation. Second, the material/powder that will be
used as a coating, and third, the solution that functions as an adhesive or binder.
The EPS beads used in this study have a range of diameter between 3 and 6 mm,
with the weight of 8–9.5 g per 1000 ml. The coating material utilizes the residual
waste material from cement production, namely Cement Kiln Dust (CKD) or
Bypass Dust (BPD). The CKD material cement material obtained from Rugby
Cement Plant of CEMEX company that also used by previous research [11]. There
were two types of binder that is used in this research. The first type is a mixture of
acetone and water, and the second type by using a mixture of PVA (Polyvinyl
Acetate) and water (as shown in Table 1). The composition for EPS beads: binder:
CKD is 5:0.1:1 by volume for acetone binder, and 1:4:40 by weight for PVA binder
(Figs. 1, 2, and 3 and Table 2). The proportion of acetone solution/binder is 1:3
(acetone: water) by volume, while the PVA binder is created from the proportion by
weight 1:1.5 (PVA: water).
2.2 Mixing and Coating Process
The mixing process was carried out in a mechanical mixer. For the type of acetone–
water binder, the EPS beads were placed in the mixer container (Fig. 4). The mixer
was turned on at low speed, then CKD/BPD powder was put into the mixer con-
tainer. The solution mixture was sprayed into the mixer container. For the type of
PVA-water binder, firstly PVA mixed with water to create a solution like glue
(Fig. 5). The mixing process then carries on in the mixer.
Table 1 Composition for coated EPS beads as an artificial aggregate

Type of binder Materials Proportion by Proportion by
volume weight
Aceton: water EPS beads 5 –
1:2 Cement Kiln Dust 1 –
(CKD)
Binder/solution 0.1 –
PVA: water EPS beads – 1
1:1.5 Cement Kiln Dust – 40
(CKD)
Binder/solution – 4
Fig. 1 EPS beads (diameter 3–6 mm)
2.3 Replacing the Coarse Aggregate with Coated Expanded

Polystyrene
To determine the effect on the resulting concrete, the use of coated EPS beads in
concrete will be compared as a substitute for coarse aggregate. In addition to
comparing with normal concrete, the use of EPS beads without coating will also be
compared. Calculation of the concrete composition (mix design) is presented in
Table 3.
A mechanical mixer tends to produce homogeneous mixing. The composition of the

solution made of acetone and water ratio of 1:2 only tends to wet it, without
drastically changing the shape of the EPS beads (The physical form of EPS beads
was still in granular shape). This is likely affected by the ratio of acetone and water
ratio. The optimum water acetone ratio as the binder was expected to make the bond
better. Acetone makes it possible to make the EPS surface melted and slightly
rough (Fig. 6). It can be considered to increase the ratio of the amount of acetone in
the composition to the ratio of the adhesive solution components to create better
bonding. On the other hand, mixing with PVA-water binder tends to give a better
result (Fig. 7).
From the visual observation of the results of the mixing/stirring with acetone–
water binder, there were still some EPS beads that have not been completely coated
Fig. 2 Bypass dust or cement kiln dust

Fig. 3 PVA and acetone as a binder
Table 2 Chemical Chemical composition wt%

composition of CKD [11]
SiO2 12.45
Al2O3 3.68
Fe2O3 2.14
MgO 0.93
CaO 36.96
Na2O 1.22
K2O 6.15
SO3 9.06
Cl 7.43
LOI 5.87
(white appearance). This could be possible due to the insufficient amount of CKD
powder to coat the entire surface of the EPS. Some sections also show clumps of
CKD paste combining 2–3 EPS grains. There is a possibility that because the most
significant element of CKD is lime (CaO), so that when it reacts with water, it
produces a kind of clay form which, if not adequately distributed, tends to
clump. Determining the right amount of coating powder is expected to provide a
more even coating without causing many paste clumps. The result of the mixing/
stirring with PVA-water binder gives a more promising result since almost all the
EPS beads are coated with the CKD powder.
After the stirring process, the weight of the EPS indicated a significant increase,
from the original 8–9.5 g per 1000 ml to 154–175 g per liter. Thus, this weight was
Fig. 4 Mixing/coating process with acetone–water binder

Fig. 5 Preparation before mixing/coating process with PVA/water binder
Table 3 Concrete mix design (per m3)

Type of Cement w/c Fine aggregate Coarse aggregate EPS
concrete (kg) (sand) (kg) (gravel) (kg) beads (kg)
NC 445 0.54 848 882 –
EPS-C 445 0.6 848 – 5.4
CEPS-C 445 0.6 848 – 106
NC normal concrete, EPS-C concrete with pure EPS, CEPS-C concrete with coated EPS
much lighter than the modification using cement paste carried out by previous
studies, resulting in a weight of coated EPS weighing 517 kg/m3 [12]. This result
shows the potential for the use of CKD powder and coating techniques with the
help of binder (acetone–water and PVA-water) to be continued in the effort to create
artificial lightweight aggregates.
The use of EPS as a substitute for coarse aggregate is very influential on the
weight of the concrete and also on its strength. The data is expected to be able to
provide an overview of the trend comparison between three types of concrete with
different types of coarse aggregate. The coating treatment on EPS beads gave better
results compared to the use of EPS without coating. The results of the comparison
of density and compressive strength of concrete can be seen in Table 4. The density
and compressive strength test for NC (normal concrete) based on 100 100
100 mm cube specimens, while the EPS-C and CEPS-C used 50 50 50 mm
cube specimens.
Fig. 6 Coated EPS beads with acetone–water binder

Fig. 7 Coated EPS beads with PVA-water binder

Table 4 Density and compressive strength

Type of Density 7 days strength 14 days strength 28 days strength
concrete (kg/m3) (MPa) (MPa) (MPa)
NC 2300 35.04 44.39 45.07
EPS-C 1420 4.32 4.96 5.10
CEPS-C 1600 4.44 6.12 7.84
4 Conclusions
Artificial lightweight aggregate made from EPS grains coated with CKD powder
with an adhesive solution of a mixture of PVA-water gave more promising results
than acetone–water binder. The process of creating coated EPS shows the potential
as artificial aggregates for a lightweight concrete. The coated EPS gives a better
result in strength than pure EPS beads when replacing the coarse aggregate.
However, there are still many trials and errors to perfecting this technique in terms
of better coating rates, better adhesion, and finding the best proportion of mix
design.
The creation of artificial aggregates is expected to provide positive support to
reduce the exploitation of natural materials in the construction process, especially in
the manufacture of concrete. Techniques for making lightweight aggregates from
lightweight materials reinforced with coating techniques provide opportunities to
continue to be developed. There is still a need for further research by expanding the
variety of mixtures and types of coating materials, and not to be forgotten the
advanced testing techniques to obtain more comprehensive data. Inventing the
artificial aggregate itself does not stop at the stage of creation itself. It is a wide
possibility for further research to study its effect on concrete.
Acknowledgements The first author expresses his appreciation to the Directorate General of
Higher Education, Ministry of Education and Culture, the Republic of Indonesia for the financial
support for his Ph.D. scholarship [BPPLN DIKTI 2019].
References
1. Barnat-Hunek D, Góra J, Suchorab Z, Łagód G (2018) Cement kiln dust. Waste and
supplementary cementitious materials in concrete: characterisation, properties and applica-
tions, pp 149–180
2. Peethamparan S, Olek J, Lovell J (2008) Influence of chemical and physical characteristics of
cement kiln dusts (CKDs) on their hydration behavior and potential suitability for soil
stabilization. Cem Concr Res 38(6):803–815
3. Kaliyavaradhan SK, Ling TC, Mo KH (2020) Valorization of waste powders from
cement-concrete life cycle: a pathway to circular future. J Cleaner Prod 268:122358
4. Shubbar AA, Jafer H, Abdulredha M, Al-Khafaji ZS, Nasr MS, Al Masoodi Z, Sadique M
(2020) Properties of cement mortar incorporated high volume fraction of GGBFS and CKD
from 1 day to 550 days. J Build Eng 30:101327
5. AlKhatib A, Maslehuddin M, Al-Dulaijan SU (2020) Development of high performance
concrete using industrial waste materials and nano-silica. J Mater Res Technol 9(3):6696–
6711
6. Ali MAM, Yang HS (2011) Utilization of cement kiln dust in industry cement bricks.
Geosystem Eng 14(1):29–34
7. Saleh HM, Salman AA, Faheim AA, El-Sayed AM (2020) Sustainable composite of
improved lightweight concrete from cement kiln dust with grated poly(styrene). J Clean Prod
277:123491
8. Lachemi M, Şahmaran M, Hossain KMA, Lotfy A, Shehata M (2010) Properties of controlled
low-strength materials incorporating cement kiln dust and slag. Cem Concr Compos 32
(8):623–629
9. Jiang Y, Ling TC, Shi M (2020) Strength enhancement of artificial aggregate prepared with
waste concrete powder and its impact on concrete properties. J Clean Prod 257:120515
10. Wibowo AP (2018) Efficiency of house-walls construction using building ruins. IOP Conf Ser
Mater Sci Eng 401:012017 (IOPScience)
11. Kamara KBB, Bure K (2020) Making road base and foundation from secondary waste
minerals and recycled aggregates. Coventry University
12. Enda D (2016) Kajian eksperimental perkuatan agregat kasar styrofoam dengan lapisan
coating pada pembuatan beton ringan. Inovtek 6(2):103–111
Load Transfer Shear Wall to Pile Cap
Modelling Partially for Group Precast
Pile
Daud Rahmat Wiyono, Roi Milyardi, Yosafat Aji Pranata,

Asriwiyanti Desiani, Ginardi Husada, and Maria Christine Sutandi
Abstract Pile cap has the function to transfer the load from the upper structure to
group of piles. Purpose of this research is comparing the support reaction of pile cap
which loads from support reaction and loads from internal forces with pile cap
modelling partially in elevator shaft. Building 14th story with shear wall frame has
two model pile cap that are pile cap 1 (5 element pier with 44 piles) and pile cap 2
(11 element pier with 108 piles). The conclusion are the difference between support
reaction as loads and support reaction correction are 49.10% in pile cap 1 and
56.11% in pile cap 2, and the difference between support reaction correction as
loads and internal forces shear wall in 1st floor as loads are 3.86% in pile cap 1, and
3.19% in pile cap 2. With modelling pile cap partially with stiffness of piles are
considered, the support reaction from support reaction correction comparing with
support reaction pile cap are 3.68% in pile cap 1 and 2.51% in pile cap 2, and the
support reaction from internal forces as loads comparing with support reaction pile
cap are 50.11% in pile cap 1 and 69.93% in pile cap 2.
Keywords Load transfer Shear wall Pile cap Stiffness
1 Introduction
In the upper structure, the location of loads from the upper structure to pile cap is
important because it can give a different value of support reaction from piles
modeling as support in pile cap. Loads of element shear wall are in the center of
gravity of the element, and the loads from support reaction of upper structure are in
the location of support in the shear wall if do not mesh in the shear wall, so the
restraint is at the end of element pier [1]. Some shear walls are connected together
as elevator shaft given duplicated support reaction in the joint which connected with
D. R. Wiyono (&) R. Milyardi Y. A. Pranata A. Desiani G. Husada M. C. Sutandi

Department of Civil Engineering, Faculty of Engineering, Universitas Kristen Maranatha,
Bandung, West Java, Indonesia
e-mail: hwiesiong@gmail.com
H. A. Lie et al. (eds.), Proceedings of the Second International Conference of
Construction, Infrastructure, and Materials, Lecture Notes in Civil Engineering 216,
https://doi.org/10.1007/978-981-16-7949-0_15
166 D. R. Wiyono et al.
another shear wall. In modeling a partially pile cap, the support reaction depends on
the position of group piles as support. SAP 2000 can provide modeling as one pile
cap as block foundation to received loads from several shear walls [2]. This soft-
ware can give the support reaction in piles near the actual condition by input
stiffness of piles [3].
The purpose of this research is to give the difference between without modeling
pile caps partially and with modeling pile caps partially as one block foundation.
The variation of loads are loads from support reaction with a correction from the
duplicate node at the joint between other shear walls and loads from internal forces
of the shear wall at 1st story. The variation of support is by using the stiffness of
piles and by restraint as usual. Focusing on supporting reaction given from mod-
eling pile cap partially as one block foundation. To modeling, the pile cap is used a
thick shell element. The difference stress from internal forces as loads and support
reaction correction as loads are obtained too.
2 Literature Study
Two methods are commonly used in pile cap design. There are beam theory and
truss analogy/method of strut and tie. The pile cap is designed as a beam for internal
forces, which are bending and shear. Types of pile caps use in this paper are shown
in the following Fig. 1.
Figure 1 has shown the position of several shear walls connected to each other.
The reaction from the upper structure is not the same as the reaction from a group of
(a)
(b)
Fig. 1 Type of pile cap model a pile cap with 5 element pier 44 piles, b pile cap with 11 element
piers with 108 piles
Load Transfer Shear Wall to Pile Cap … 167
piles. That is why it can be modeling pile cap partially to obtain the reaction of
group piles. Stiffness has been determined by soil investigations on the soil profile
and characteristics. Pile caps design must satisfy to resist the punching shear of each
pile [3]. The bearing force in the pile cap and the piles do not exceed the capacity of
the element [4]. The pile cap reinforcement depends on the loading on the pile cap,
the spacing of the piles, and the depth of the pile cap. To design pile foundations is
done using finite element software, which is SAP2000 nonlinear, to calculate the
reaction of piles. Shell thick element is used to model the pile cap element. The pile
cap is assumed to be rigid, and at the top and at the bottom of the pile are pinned.
The pile receives vertical load and receives force in terms proportional to the
displacement [3].
3 Numerical Model
The 14th floor reinforced concrete shear wall frames building is modeling with SAP
2000 given in Fig. 2a. There are two elevator shafts on the left side and right side of
the building. The elevator shaft on the left side is pile cap 1, and the elevator shaft
on the right side is pile cap 2. The loads from internal forces and from support
reaction are displayed in Fig. 2b–e. In Fig. 3a–d are displayed the loads from
bending moment of the pile cap [4–10].
(a) (b) (c)
(d) (e)
Fig. 2 Building model and loads from internal forces and loads from support reaction a 3D
building model, b pile cap 1 (internal forces), c pile cap 2 (internal forces), d pile cap 1 (support
reaction), e pile cap 2 (support reaction)
(a) (b)
(c) (d)
Fig. 3 Bending moment of loads from internal forces and loads from support reaction a pile cap 1
(internal forces), b pile cap 2 (internal forces), c pile cap 1 (support reaction), d pile cap 2 (support
reaction)
Pile cap modeling as one because there are two groups of shear wall naming by pile
cap with five-element pier 44 piles and pile cap with 11 element piers with 108
piles. Pile cap 1 (44 piles) without pile cap modeling partially in Tables 1, 2, and 3,
and support reaction as a loads comparison, the value of support reaction correction
as loads is 49.1% lower, the value of internal forces as loads is 49.1% lower, when
support reaction correction as loads, the value of internal forces as loads is 3.86%
higher, when support reaction as loads, the value is 57.91% lower, when support
reaction correction as loads, the value of at support reaction 14.13% lower. When
pile cap modeling partially and the stiffness of piles are considered in Tables 4
Table 1 Comparison loads of pile cap 1 (44 piles) without pile cap modeling partially (support
reaction vs. support reaction correction)
Story Pier ID P load ETABS P load ETABS support Difference with
name support reaction reaction correction (kN) support reaction (%)
(kN)
Story1 P1 50,285 50,285 0.00
Story1 P2 50,569 50,569 0.00
Story1 P3 44,423 44,423 0.00
Story1 P4 45,517 45,517 0.00
Story1 P14 10,914 10,914 0.00
Total 201,708 201,708 −49.10
Story1 Other 0 102,854 −49.10
correction
Total 201,708 98,854 −49.10
Table 2 Comparison loads of pile cap 1 (44 piles) without pile cap modeling partially (internal
forces at internal forces location)
Story Pier ID P load ETABS at Difference with Difference with
name internal forces Story support reaction support reaction
1 (kN) (%) correction (%)
Story1 P1 27,695 −44.92
Story1 P2 25,393 −49.79
Story1 P3 20,412 −54.05
Story1 P4 19,090 −58.06
Story1 P14 10,079 −7.65
Total 102,669 −49.10
Story1 Other 0 0.00
correction
Total 102,669 −49.10 3.86
reaction at support reaction location)
Story Pier ID P load ETABS at Difference with Difference at support
name support reaction support reaction reaction correction
(kN) (%) (%)
Story1 P1 25,290 −49.71
Story1 P2 26,857 −46.89
Story1 P3 16,057 −63.85
Story1 P4 9811 −78.45
Story1 P14 6875 −37.01
Total 84,890 −57.91
Story1 Other 0
correction
Total 84,890 −57.91 −14.13
Table 4 Comparison support reaction of pile cap 1 (44 piles) with pile cap modeling with the
stiffness of piles considered (with stiffness support reaction at support reaction location)
Story Pier ID P load ETABS P reaction ETABS support Difference
name support reaction from support reaction with support
reaction axial + moment reaction
correction (kN) stiffness = 169,600 (kN) correction (%)
Story1 P1 50,285 25,290
Story1 P2 50,569 26,857
Story1 P3 44,423 16,057
Story1 P4 45,517 6875
Story1 P14 10,914 10,914
Total 201,708 84,890
Story1 Other 102,854 17,606
correction
Total 98,854 102,495 3.68
stiffness of piles considered (with stiffness internal forces at internal forces location)
Story Pier ID P load ETABS internal P reaction ETABS support Difference
name forces Story 1 reaction from internal with
axial + moment forces axial + moment internal
stiffness = 169,600 stiffness = 169,600 (kN) forces (%)
(kN)
Story1 P1 27,695 12,811 −53.74
Story1 P2 25,393 6574 −74.11
Story1 P3 20,412 5722 −71.97
Story1 P4 19,090 4589 −75.96
Story1 P14 10,079 4205 −58.28
Total 102,669 33,901 −66.98
Story1 Other 17,322 16.87
correction
Total 102,669 51,223 −50.11
and 5 and support reaction correction as a loads comparison, the value of support
reaction from support reaction as loads is 57.91% lower, and when internal forces
as loads comparison the value of support reaction from internal forces as loads is
66.98% lower. When the support as a restraint in Tables 6 and 7 and support
reaction correction as loads comparison, the value of support reaction from support
reaction as loads is 0.86% lower, and when internal forces as loads comparison the
value of support reaction from internal forces as loads is 75.87% lower. For pile cap
2 (108 piles) without pile cap modeling partially in Tables 8, 9 and 10, and support
reaction as loads comparison, the value of support reaction correction as loads is
56.11% lower, the value of internal forces as loads is 56.11% lower, when support
reaction correction as loads, the value of internal forces as loads is 3.19% lower,
when support reaction as loads, the value is 72.89% lower, when support reaction
Table 6 Comparison support reaction of pile cap 1 (44 piles) with pile cap modeling with
restraint at support (with restraint support reaction at support reaction location)
Story Pier ID P load ETABS P reaction ETABS support Difference with
name support reaction from support reaction support
reaction axial and moment restraint reaction
correction (kN) (kN) correction (%)
Story1 P1 50,285 49,652
Story1 P2 50,569 51,935
Story1 P3 44,423 42,863
Story1 P4 45,517 45,662
Story1 P14 10,914 11,098
Total 201,708 201,209
Story1 Other 102,854 −98,714
correction
Total 98,854 102,495 3.68
restraint at support (with restraint internal forces at internal forces location)
Story Pier ID P load ETABS internal P reaction ETABS Difference
name forces Story 1 axial and support reaction from % with
moment restraint (kN) internal forces internal
axial + moment restraint forces (%)
(kN)
Story1 P1 27,695 386 −98.61
Story1 P2 25,393 −3836 −115.11
Story1 P3 20,412 11,702 −42.67
Story1 P4 19,090 11,069 −42.01
Story1 P14 10,079 5449 −45.94
Total 102,669 24,771 −75.87
correction
Total 102,669 51,223 −50.11
reaction vs. support reaction correction)
Story Pier ID P load ETABS P load ETABS support Difference with
name support reaction reaction correction (kN) support reaction
(kN) (%)
Story1 P5 66,543 66,543
Story1 P6 55,937 55,937 0.00
Story1 P7 57,512 57,512 0.00
Story1 P8 51,382 51,382 0.00
Story1 P10 68,268 68,268 0.00
Story1 P11 45,831 45,831 0.00
Story1 P12 44,958 44,958 0.00
Story1 P13 13,586 13,586 0.00
Story1 P15 11,580 11,580 0.00
Story1 P16 39,215 39,215 0.00
Story1 P18 41,115 41,115 0.00
Total 495,930 495,930 −56.11
Story1 Other 0 271,080 −56.11
correction
Total 495,930 224,851 −56.11
correction as loads, the value of at support reaction 40.20% lower. When pile cap
modeling partially and the stiffness of piles considered in Tables 11 and 12 and
support reaction correction as loads comparison, the value of support reaction from
support reaction as loads is 2.51% higher, and when internal forces as loads
comparison the value of support reaction from internal forces as loads is 69.93%
lower. When the support as a restraint in Tables 13 and 14 and support reaction
Table 9 Comparison loads of pile cap 2 (108 piles) without pile cap modeling partially (internal
forces at internal forces location)
Story Pier ID P load ETABS Difference with Difference with support
name at support reaction reaction correction (%)
internal forces (%)
Story 1 (kN)
Story1 P5 41,105 −38.23
Story1 P6 14,598 −73.90
Story1 P7 18,594 −67.67
Story1 P8 17,830 −65.30
Story1 P10 42,577 −37.63
Story1 P11 18,874 −58.82
Story1 P12 16,186 −64.00
Story1 P13 13,328 −1.90
Story1 P15 11,407 −1.49
Story1 P16 10,972 −72.02
Story1 P18 12,205 −70.31
Total 217,675 −56.11
Story1 Other 0 0
correction
Total 217,675 −56.11 −3.19
reaction at support reaction location)
Story Pier ID P load ETABS at Difference with Difference at support
name support reaction support reaction reaction correction
(kN) (%) (%)
Story1 P5 23,948 −64.01
Story1 P6 19,113 −65.83
Story1 P7 11,131 −80.65
Story1 P8 8847 −82.78
Story1 P10 23,073 −66.20
Story1 P11 10,255 −77.63
Story1 P12 8969 −80.05
Story1 P13 8170 −39.87
Story1 P15 7707 −33.45
Story1 P16 6007 −84.68
Story1 P18 7229 −82.42
Total 134,450 −72.89
Story1 Other 0
correction
Total 134,450 −72.89 −40.20
stiffness of piles considered (with stiffness support reaction at support reaction location)
Story Pier ID P load ETABS P reaction ETABS support Difference
name support reaction from support reaction with support
reaction axial + moment reaction
correction (kN) stiffness = 169,600 (kN) correction (%)
Story1 P5 66,543 23,948
Story1 P6 55,937 19,113
Story1 P7 57,512 11,131
Story1 P8 51,382 8847
Story1 P10 68,268 23,073
Story1 P11 45,831 10,255
Story1 P12 44,958 8969
Story1 P13 13,586 8170
Story1 P15 11,580 7707
Story1 P16 39,215 6007
Story1 P18 41,115 7229
Total 495,930 134,450
Story1 Other 271,080 96,055
correction
Total 224,851 230,505 2.51
stiffness of piles considered (with stiffness internal forces at internal forces location)
Story Pier ID P load ETABS internal P reaction ETABS support Difference
name forces Story 1 reaction from internal with
axial + moment forces axial + moment internal
stiffness = 169,600 stiffness = 169,600 (kN) forces (%)
(kN)
Story1 P5 41,105 3936 −90.42
Story1 P6 14,598 5659 −61.23
Story1 P7 18,594 2533 −86.38
Story1 P8 17,830 1111 −93.77
Story1 P10 42,577 7255 −82.96
Story1 P11 18,874 2910 −84.58
Story1 P12 16,186 1898 −88.27
Story1 P13 13,328 2298 −82.76
Story1 P15 11,407 2303 −79.81
Story1 P16 10,972 1463 −86.66
Story1 P18 12,205 2481 −79.68
Total 217,675 33,848 −84.45
correction
Total 217,675 65,449 −69.93
restraint at support (with restraint support reaction at support reaction location)
Story Pier ID P load ETABS P reaction ETABS support Difference with
name support reaction from support reaction support
reaction axial and moment restraint reaction
correction (kN) (kN) correction (%)
Story1 P5 66,543 66,375
Story1 P6 55,937 56,524
Story1 P7 57,512 57,689
Story1 P8 51,382 51,436
Story1 P10 68,268 69,847
Story1 P11 45,831 46,179
Story1 P12 44,958 45,193
Story1 P13 13,586 13,792
Story1 P15 11,580 11,867
Story1 P16 39,215 39,341
Story1 P18 41,115 41,334
Total 495,930 499,577
Story1 Other 271,080 269,072
correction
Total 224,851 230,505 2.51
restraint at support (with restraint internal forces at internal forces location)
Story Pier ID P load ETABS internal P reaction ETABS Difference
name forces Story 1 axial and support reaction from % with
moment restraint (kN) internal forces internal
axial + moment restraint forces (%)
(kN)
Story1 P5 41,105 2538 −93.83
Story1 P6 14,598 594 −95.93
Story1 P7 18,594 277 −98.51
Story1 P8 17,830 223 −98.75
Story1 P10 42,577 −1172 −102.75
Story1 P11 18,874 46,179 0.88
Story1 P12 16,186 16,354 1.04
Story1 P13 13,328 13,612 2.14
Story1 P15 11,407 11,588 1.58
Story1 P16 10,972 690 −93.71
Story1 P18 12,205 842 −93.10
Total 217,675 64,586 −70.33
Story1 Other 863 0.40
correction
Total 217,675 65,449 −69.93
correction as loads comparison, the value of support reaction from support reaction
as loads is 2.51% higher, the value of support reaction from internal forces as loads
is 69.93% lower. The location of the higher bending moment shown in the picture is
near the position of the loads.
5 Conclusion
The conclusions are:

1. Without modeling pile cap partially, the difference between support reaction as
loads and support reaction correction as loads are 49.10% in pile cap 1 and
56.11% in pile cap 2, and the difference between support reaction correction as
loads and internal forces shear wall in 1st floor as loads are 3.86% in pile cap 1
and 3.19% in pile cap 2.
2. With modeling pile cap partially in condition stiffness of piles is considered, the
support reaction from support reaction correction compare with support reaction
pile cap are 3.68% in pile cap 1 and 2.51% in pile cap 2, and the support
reaction from internal forces as loads compare with support reaction pile cap are
50.11% in pile cap 1 and 69.93% in pile cap 2, 3. With modeling pile cap
partially in condition restraint, the support reaction from support reaction cor-
rection compare with support reaction pile cap are 3.68% in pile cap 1 and
2.51% in pile cap 2, and the support reaction from internal forces as loads
compare with support reaction pile cap are 50.11% in pile cap 1 and 69.93% in
pile cap 2.
References
1. MacLeod IA (1970) Shear wall-frame interaction: a design aid. Portland Cement Association,
Illinois
2. Mays TW (2015) Design guide for pile caps. Concrete Reinforcing Steel Institute, Illinois,
p 156
3. Van De Graaf AV (2006) Structural design of reinforced concrete pile caps: the strut-and-tie
method extended with the stringer-panel method. Graduation Report, TUDelft
4. Magade SB, Ingle RK (2020) Comparison of moments for pile-cap design. Soil Mech Found
Eng 56(6):414–419. https://doi.org/10.1007/s11204-020-09624-9
5. Nageh M (2007) How to model and design high rise building using ETABS program.
Scientific Book House for Publishing and Distributing, Cairo, Cairo
6. Atkins Structural Department (2007) Manual for analysis & design using ETABS. Atkins
Dubai, Dubai
7. Computers and Structures Inc (2000) CSI ETABS: concrete shearwall design manual.
Computers and Structures Inc., California
8. Wight JK, MacGregor JG (2012) Reinforced concrete: mechanics and design, 6th edn.
Pearson Education Inc., New Jersey
9. American Concrete Institute (2011) Building code requirements for reinforced concrete (ACI
318–11). American Concrete Institute, Michigan
10. Badan Standarisasi Nasional (2012) Tata cara perencanaan ketahanan gempa untuk struktur
bangunan gedung dan non gedung (SNI 1726:2012). Badan Standarisasi Nasional, Jakarta
Effect of Cement–Water Ratio
on the Mechanical Properties of Reactive
Powder Concrete with Marble Powder
as Constituent Materials
Widodo Kushartomo, Henny Wiyanto, and Daniel Christianto
Abstract The main principle of developing reactive powder concrete is to improve

the microstructure by compacting density and increasing toughness. To achieve this
principle very high-grade cement is used together with pozzolanic materials. The
research was conducted to study the effect of the water-cement ratio on the
mechanical properties of reactive powder concrete with marble powder as con-
stituent materials. Trial mixes were prepared using cement, sand, silica fume,
marble powder, and super-plasticizer. A mix ratio of 1.0:1.1:0.2:0.1:0.03 was
adopted with water-cement ratio of 0.18, 0.20, and 0.22. Concrete cylinder of size
∅10 cm 20 cm and the concrete beam of size 10 cm 10 cm 35 cm were
cast and cured in steam curing at 95 °C for 4 h and tested to study the compressive
strength, modulus elasticity, splitting strength, and flexural strength in relation to
the water-cement ratio. The results indicate that reduced water-cement ratio from
0.22 to 0.18 increases the compressive strength, modulus elasticity, splitting
strength, and flexural strength. Using a lower water-cement ratio for the mixing
process is difficult to handle, so this research recommended a 0.20 water-cement
ratio to produce reactive powder concrete with optimum mechanical properties.
Keywords Concrete Water-cement ratio Mechanical properties Strength

Marble powder
1 Introduction
The low water-cement ratio (w/c ratio) impacts concrete’s high strength and
durability, as shown in Fig. 1 [1], but a lower water-cement ratio resulted in dif-
ficulties in mixing and placing. Workability can be resolve by using admixture such
as super-plasticizer.
W. Kushartomo (&) H. Wiyanto D. Christianto

Department of Civil Engineering, Faculty of Engineering, Universitas Tarumanagara, Jakarta
11440, Indonesia
e-mail: widodo@untar.ac.id
https://doi.org/10.1007/978-981-16-7949-0_16
178 W. Kushartomo et al.
Fig. 1 Correlation water-cement ratio with compressive strength for normal concrete [1]
However, a mixture with a water-cement ratio between 0.18 and 0.22 will not
mix well and is not plastic enough to be poured into the formwork. The presence of
water is technically required for the hydration reaction to occur in cement.
Water-cement ratios between 0.45 and 0.60 are more often used in regular concrete.
For high-strength concrete, use a low water-cement ratio plus a plasticizer to
increase workability. Excess water in a mixture causes segregation of the coarse
aggregate to the cement paste. Water that is not used in the hydration reaction, when
the concrete hardens, will leave a trail in the form of pores, whether the pores are
open or closed. The pores that are formed will reduce the strength of concrete.
A concrete mix with too much water can also cause shrinkage as the concrete dries
and cracks concrete corners. The shrinkage in the end also reduces the strength of
the concrete [1].
Reactive powder concrete (RPC) is categorized as ultra-high-performance con-
crete (UHPC). The term reactive powder means that all powder components in RPC
can react chemically. However, the word concrete is preferred over mortar to
describe UHPC by including steel fiber as one of its compositions. The use of steel
fiber aims to increase its ductility. However, the RPC development does not include
steel fiber as one of the development objects. The microstructural modification
method is chosen as an effort to develop RPC with very high compressive strength,
very high durability, and very high toughness. The principles of RPC development
are as follows:
• Develop microstructure and eliminate coarse aggregate
• Enhance particle packing
• Increase toughness.
Effect of Cement–Water Ratio … 179
RPC’s performance is associated with a low water-cement ratio, admixture,

fineness of quartz sand, super-plasticizer, and small-sized steel fiber. Due to its
excellent mechanical properties, RPC is exhibited in various applications in the
construction field, such as bridge structures, high rise buildings, nuclear waste
structures, marine structures, precast applications, and as an effective repair material
[2].
To achieve the perfect density and homogeneity of the matrix to form pores as
minimal as possible, the RPC must be related to the aggregate gradation between
150 and 600 µm. It is not recommended to use fine aggregate with a grain size
below 150 µm to produce an optimum granular packing [2].
The function of marble powder is as a paste-aggregate interface filler, which
significantly reduces the void of RPC, which will cause the pores to break and result
in very low permeability, no cracks, and thus increase the strength. An
Improvement of the RPC microstructure can be made by increasing the curing
temperature, which causes the C-S-H (Calcium Silicate Hydrate) chain to be longer
due to the high hydration of the cement. The high curing temperature also causes an
increasing pozzolanic activity from marble powder to reactive silica, thus encour-
aging the pozzolanic reaction and producing more CSH gel [1, 2].
The addition of marble powder to the RPC can increase the compressive strength
by up to 20%. The amount of marble powder used in the manufacture of RPC
should be 10–30% of the amount of cement.
RPC quality can be achieved if the ratio of the amount of water-cement ranges
from 0.18 to 0.22. The low water-cement ratio will reduce porosity on RPC and
increase the compact density. Increasing compact density has a positive impact on
decreasing porosity in the mortar.
The primary purpose of the RPC mix design development process is to get the
best mechanical properties. There are two basic parameters in achieving the best
mechanical properties:
• Appropriate selection of RPC constituent materials
• Water-cement ratio.
Packing density for RPC can be achieved by adjusting all grain sizes used, such
as fine aggregate, silica fume, and quartz powder. Temperature and maintenance
pressure also significantly affect the mechanical properties of RPC. Steam main-
tenance at high temperature and pressure can accelerate the hydration reaction and
force a chemical reaction to occur in all RPC ingredients.
This study aims to develop the mechanical properties of RPC with the
water-cement ratio as an influencing component.
2 Methodology
The materials used in this investigation are cement, sand, silica fume, marble
powder, and super-plasticizer, and water. Experimental Test Procedures Mix pro-
portions of 1.0:1.1:0.25:0.1:0.03 were adopted with a water-cement ratio of 0.22,
0.20, and 0.18 was determined using cement, fine aggregates, silica fume, marble
powder, and super-plasticizer, respectively as shown in Table 1. The cylinder
∅10 cm 20 cm and the beam of size 10 cm 10 cm 35 cm molds of con-
crete were oiled to ease the de-molding process late. After 24 h of sitting time, the
samples were de-molded and placed in a curing water tank for 7. After that, the
samples were cast and cured in steam curing at 95 °C for 4 h. All samples were
tested to study the compressive strength, splitting strength, and flexural strength in
relation to the water-cement ratio at 28 age.
The mechanical properties of reactive powder concrete (RPC) as w/c ratio functions
results are presented in Fig. 2. The strength value of mechanical properties RPC
will be increased if the w/c ratio reduces. The highest value of mechanical prop-
erties reached the lowest w/c ratio, which corresponds to an improvement of
microstructure, particle packing, and cementitious constituents.
3.1 Improvement of Microstructure
RPC’s mechanical properties and durability are influenced by the bond between the
cement paste and aggregate, known as the Interfacial Transition Zone (ITZ).
Observing the microstructure in the ITZ area shows the pattern of micro cracks and
Table 1 Materials composition

Materials q (kg/ w/c = 0.22 w/c = 0.20 w/c = 0.18
m3) Ratio Wight Ratio Wight Ratio Wight
(kg) (kg) (kg)
Cement 3150.0 1.00 880.00 1.00 896.00 1.00 912.00
Water 1000.0 0.22 193.60 0.20 179.20 0.18 164.16
Micro silica 2200.0 0.25 220.00 0.25 224.00 0.25 228.00
Sand 2617.8 1.10 968.00 1.10 985.60 1.10 1003.20
Marble powder 2563.0 0.10 88.00 0.10 89.60 0.10 91.20
Superplasticizer 1150.0 0.03 26.40 0.03 26.88 0.03 27.36
Fig. 2 Mechanical properties of RPC as w/c ratio functions
the occurrence of crack propagation. The stress–strain graph for aggregate, con-
crete, and cement paste is shown in Fig. 3 [2].
Figure 3 shows the elastic and brittle behavior of cement paste and aggregate,
while concrete shows ductile behavior. This is related to the development of the rift
in the ITZ area. RPC is designed by developing microstructures, such as compact
density using pozzolanic materials and admixtures that increase its homogeneity.
The addition of fine particles such as marble powder can increase the packing
density, increasing the density in the ITZ region without noticeable pores, as shown
in Fig. 4. The low water-cement ratio significantly impacts the decrease in porosity,
as shown in Fig. 4.
As shown in Fig. 4, ettringite is formed between the material that is not entirely
hydrated and the C-S-H gel. The main hydration products (C-S-H gel) were
homogeneous, Ca(OH)2 was not found, and ettringite was formed [1, 2].
The microstructure of RPC depends on the conditions of heat treatment
behavior. This is because the treatment temperature can change the microstructure
of ITZ and the activity of pozzolanic materials.
The real improvement in improving the microstructure of RPC as well as dis-
tinguishing RPC from other classic high-performance concrete HPC is the removal
of coarse aggregate and replacing it with quartz sand to increase bond strength
within the matrix, increase homogeneity, reduce the effect of heterogeneity of
microstructure which minimizes internal defects of the material such as voids and
microcrack [2].
Fig. 3 Comparative stress–strain curves for aggregate, paste, and concrete [2]
3.2 Particle Packing
The primary purpose of applying the packing density model is to obtain high
mechanical strength. This can be achieved by combining the appropriate size and
proportion of small particles to reduce the voids formed. In this case, the perfor-
mance of RPC is influenced by the size and percentage of pores formed, which
affects the type and a density level of the constituent components. The finer par-
ticles fill the voids found between the cement and the aggregate particles. This
causes efficient compaction of the voids between cement grains so that the overall
performance of the concrete mix increases significantly [2–4].
The performance of RPC is enhanced by incorporating powder into the mix,
which is the opposite of ordinary concrete which is highly affected by these fine
materials. This powder creates a large surface area which requires high amounts of
C-S-H gel. The high cement content in the RPC anticipates the formation of large
C-S-H gels and increases the powder’s surface area, thereby increasing the packing
density [1, 2].
Fig. 4 Scanning electron microscope (SEM) of RPC, compacting interfacial transition zone with
low w/c ratio
Ideally, the gradation curve and filling properties of powder materials such as
cement, silica fume, quartz sand, and marble powder are the main concepts of the
packing density approach, as shown in Fig. 5.
Some of the cement grains remain hydrated in the RPC mixture due to the low
moisture content. Cement granules play a crucial role in the packing density of RPC
because the grain size is between the sizes of silica fume and marble powder, thus
helping in the process of filling pores [2, 4, 5].
The distance between the particles is filled with finer grains so that the density
becomes better, as shown in Fig. 4. Using the principle of granular packing of
cementations materials in RPC, capillary porosity in RPC is significantly reduced.
Fig. 5 Scanning electron microscope (SEM) of RPC, particle packing
3.3 Cementitious Constituents
The binder in RPC is divided into two materials, namely cement and pozzolan. The
most used pozzolanic material is silica fume.
The cement and pozzolan used in the manufacture of RPC can be anything
because there are no special requirements for the type of cement and pozzolan. The
cement that is often used is cement with a low heat of hydration, considering that
the quantity used is very high, namely type II cement. In the selection of cement,
the cement grain size is also a consideration. Using cement with a high level of
fineness will consume large amounts of water. The low water-cement ratio and the
fine grain size of cement in RPC impact the mortar’s performance factor, so caution
is needed to use cement dosage. The dosage of cement commonly used in RPC
ranges from about 700–1000 kg/m3 to achieve ultra-high strength with very low
moisture content. High cement content is vital to increase the formation of C-S–H
gel to cause the compaction of particles in fine grains. Incomplete hydration of
cement in RPC causes a lot of free cement granules. These grains play an essential
role in the granular packing in RPC [1, 2, 6].
The use of enormous amounts of cement in RPC has many disadvantages to the
environment, cost, and concrete behavior when it hardens. A high temperature of
hydration, shrinkage, and dimensional stability are problems that often arise in
using a lot of cement. Mineral admixtures such as silica fume can be an excellent
alternative to reduce the adverse effects of using high cement content in RPC.
Improvement of concrete performance through the packing density effect acti-

vates a pozzolanic reaction. It accelerates the cement hydration process, which
increases the formation of calcium silicate hydrate (C-S–H) and its derivatives. In
terms of mechanics and durability, the advantages obtained from combining steel
fiber and pozzolanic materials in RPC are high tensile strength, high flexural
strength, high compressive strength, low permeability, high resistance to chemical
attack (acid, nitric, chloride, and sulfate), high abrasion resistance, toughness,
excellent durability [1, 2, 4].
4 Conclusions
1. The mechanical properties of RPC are determined mainly by the water-cement

ratio and the components used. The smaller the value of the water-cement ratio,
the greater the value of the mechanical strength of the RPC. Likewise, the finer
the grain of the components used, the higher the value of the RPC mechanical
strength.
2. Improvement of microstructure, removing coarse aggregate, adjusting grain size
are the basic principles in the manufacture of RPC to improve its mechanical
properties.
3. RPC requires high cement content, and pozzolanic materials must be used to
obtain the required reactivity.
4. The enhancement in compressive strength can reaches when using marble
powder.
References
1. Mindess S, Young JF (2002) Concrete. Prentice Hall, New Jersey

2. Mayhoub OA, Nasr ESAR, Ali YA, Kohail M (2021) The influence of ingredients on the
properties of reactive powder concrete: a review. Ain Shams Eng J 12(1):145–158. https://doi.
org/10.1016/J.ASEJ.2020.07.016
3. Kim YY, Lee KM, Bang JW, Kwon SJ (2014) Effect of W/C ratio on durability and porosity in
cement mortar with constant cement amount. Adv Mater Sci Eng 2014. https://doi.org/10.1155/
2014/273460
4. Apebo NS, Shiwua AJ (2013) Effect of water-cement ratio on the compressive strength of
gravel—crushed over burnt bricks concrete. Civ Environ Res 3:74–81
5. Hiremath PN, Yaragal SC (2017) Effect of different curing regimes and durations on early
strength development of reactive powder concrete. Constr Build Mater 154:72–87. https://doi.
org/10.1016/J.CONBUILDMAT.2017.07.181
6. Al-Tikrite A, Hadi MNS (2017) Mechanical properties of reactive powder concrete containing
industrial and waste steel fibres at different ratios under compression. Constr Build Mater
154:1024–1034. https://doi.org/10.1016/J.CONBUILDMAT.2017.08.024
Structural Analysis Using Matched
Acceleration Time Histories
Windu Partono
Abstract The seismic design of buildings in Indonesia is usually calculated using

response spectral acceleration (RSA) design. This seismic force model can be
obtained based on the Indonesian seismic code. Another seismic force model that
can be used for structural analysis can be developed using acceleration time his-
tories (TH). The TH used for structural analysis should be matched with the RSA
design. This paper describes the structural analysis of buildings using two different
seismic force models, response spectra acceleration and acceleration time histories.
The analysis was carried out at a sample building in Semarang. Two different soil
investigations were carried out at the building area: soil boring and array micro-
tremor. The purpose of the array microtremor investigation is to predict the bedrock
position and soil profile from bedrock elevation up to the earth’s surface. However,
the purpose of the soil boring investigation is to obtain the site soil class. In terms of
horizontal floor displacement and internal drift ratio, the performance of RSA
design and matched TH (matched to RSA design) earthquake force models were
almost equal, and no significant output differences were obtained using these two
seismic force models.
Keywords Acceleration time histories Bedrock Microtremor Response

spectra design
1 Introduction
The structural analysis of buildings under seismic forces is usually performed using
Response Spectral Acceleration (RSA) design, the seismic force model that was
developed based on the Indonesian seismic code [1, 2]. Another seismic force
model that can be used for structural analysis is acceleration time histories
W. Partono (&)
Civil Engineering Department, Engineering Faculty, Diponegoro University, Semarang
50275, Indonesia
e-mail: windupartono@lecturer.undip.ac.id
https://doi.org/10.1007/978-981-16-7949-0_17
188 W. Partono
(TH) [3–5]. This seismic force model can be obtained using TH data recorded from
specific earthquake events or earthquake databases. For building design purposes,
the TH collected from seismic events or earthquake databases cannot be directly
used for building design. The TH should be matched with the RSA design calcu-
lated based on the Indonesian seismic code.
This paper describes the dynamic structural analysis of a building using two
different seismic force models, response spectral acceleration and acceleration time
histories. The building is located in Semarang, Indonesia. The TH used in this
structural analysis was collected from a Shallow Crustal Fault (Semarang Fault)
earthquake scenario located close to the building position. According to the 2017
Indonesian seismic map, the Semarang Fault is a reverse mechanism earthquake
source and part of the Baribis-Kendeng seismic fault trace. Figure 1a shows the
building position, site class distribution map developed by [6], and Semarang fault
trace. Figure 1b shows the predicted bedrock elevation of Semarang, developed by
[7] using a single station microtremor. The earthquake magnitude and epicenter
distance used in this study were 6.5 Mw and ±5 km, respectively. The earthquake
source and magnitude used in this study were obtained from the 2017 Indonesian
seismic map [8]. Due to the existing condition of the Semarang fault seismic source,
no earthquake event had a magnitude 6.5 Mw and ±5 km epicenter distance, so the
TH used in the analysis was obtained from the Pacific Earthquake Engineering
Research (PEER) ground motion database.
a b
Fig. 1 a Building position, Semarang fault trace and predicted distance to Semarang fault,
b predicted bedrock elevation
Structural Analysis Using Matched … 189
2 Methodology
Structural analysis of the building was carried out based on soil boring and array
microtremor investigations, site-specific analysis, matching analysis, and dynamic
structural analysis. The purpose of soil boring observation was to find the soil
profile figure, in terms of N-SPT (Standard Penetration Test) and the site soil class.
Three boring investigations were carried out in the study area. Figure 2a shows the
N-SPT profile developed, based on the boring-log records. The second soil
investigation carried out in the study area related to the bedrock elevation and soil
profile, in terms of shear wave velocity profile (Vs) and predicted soil density (from
bedrock up to the soil surface). Figure 2b shows the predicted soil profile, in terms
of Vs values developed by a one array microtremor investigation. Figures 3a, b
show the predicted shear wave velocity and soil density contours, obtained from
one array microtremor investigation position. Based on the soil boring and array
microtremor investigations, the study area is located in a medium soil class (SD).
The soil profile model for site analysis was developed based on three soil boring
and array microtremor investigations. Figure 3c shows the soil profile model used
for site analysis. Figure 4 shows the structural analysis flowchart conducted in this
study. The soil properties, such as soil density and shear wave velocity (Fig. 3c),
were adjusted based on soil boring and microtremor investigation data. The shear
wave of each soil layer in the top 30 m was calculated based on the average of three
empirical correlations, proposed by [9–11]. The shear modulus (G) for each soil
layer located in the top 30 m was developed based on the N-SPT and G empirical
correlation [9, 10, 12].
Based on the soil boring and microtremor investigations, site analysis was
conducted at the study area. The purpose of the site analysis is to calculate surface
TH by conducting seismic wave or TH propagation analysis from bedrock up to
surface elevation. The TH used for site analysis was first evaluated and adjusted
a Boring Investigation b
0
-5
-10
Depth (m)
-15
-20 Boring No 1
Boring No 2
-25
Boring No 3
-30
0 10 20 30 40 50 60
N-SPT
Fig. 2 a N-SPT profile, b Vs profile investigation results at the study area

190 W. Partono
a b c
Fig. 3 a Shear wave velocity (Vs), b density contour at the study area, c soil profile model for site
analysis
using spectral matching analysis. To perform spectral matching analysis at bedrock

elevation, a scenario spectral target was calculated using deterministic seismic
hazard analysis (DSHA) of a 6.5 Mw earthquake model, having an epicenter dis-
tance of ±5 km. The spectral matching analysis was carried out because no real TH
data can be used or investigated from the Semarang Fault earthquake event. The TH
was collected from the San Simeon earthquake event (6.52 Mw and with an epi-
center distance of 6.59 km) and applied as PEER time histories. Figure 5 shows the
response spectral matching analysis results from two directions, NS (North–South)
and EW (East–West) TH of the San Simeon TH.
The site analysis was carried out based on one-dimensional direction propaga-
tion analysis of matched (Original) TH at bedrock position. Figure 6 shows the two
different results of site analyses conducted in two matched TH directions. These
two TH are also popular as surface TH.
Two directions surface TH, obtained from site analysis, were then re-calculated
using response spectral matching by conducting RSA design SNI 1726:2019 as a
target spectral acceleration. The spectral acceleration design used for spectral
matching was developed up to a maximum period of 5 s. The maximum period of
RSA design was developed based on the natural period of the building.
A comparative study in developing spectral matching analysis was conducted using
bedrock (original) TH. No site analysis was carried out for the second model of TH.
Figure 7 shows the RSA design developed, based on SNI 1726:2019, the modified/
matched two RS4 (developed using surface time histories) and modified two RS2
(developed directly from bedrock/original TH). All modified RS2 and RS4 were
calculated using response spectral matching. According to Fig. 7c, no significant
Start
TH collected from PEER ground motion database, Soil Boring

and Microtremor Investigation, Soil Profile and Site Soil Class
Matched TH to Deterministic
Seismic Hazard (DSHA) Spectra
RSA Design
Original
Site Analysis
Bedrock TH
Surface TH
Matched to RSA
Design
Matched to RSA Design
TH2 & RS2
TH1 TH3 TH4 & RS4 RSAD
Structural Analysis using RSAD, TH1, TH2, RS2,

TH3, TH4 and RS4
Comparative Analysis of Floor Displacement and Internal

Drift Ratio due to Seven Different Earthquake Force Models
Stop
Fig. 4 Structural analysis flowchart
difference of matched response spectral acceleration was developed directly using

surface TH and bedrock (original) TH.
Figures 8a, b show two TH developed using response spectral matching analysis
of two direction surface TH (NS and EW) (TH4). These two surface TH (NS and
EW) were obtained from site analysis. Figures 9a, b show two matched TH,
developed using response spectral matching analysis of the bedrock (original) TH
(TH2).
The dynamic structural analysis conducted in this study, related to the calcula-
tion of horizontal floor displacement and internal drift ratio. The results of structural
analysis are not all described in this paper. The purpose of this analysis was to
evaluate the performance of TH used for dynamic structural analysis. Seven dif-
ferent seismic force models were applied to the structure (see Fig. 4), such as RSA
design (RSAD), bedrock/original TH (TH1), surface TH (TH3), matched spectral
acceleration obtained from surface TH (RS4), matched spectra acceleration
obtained from bedrock (original) TH (RS2), matched surface TH (TH4) and mat-
ched bedrock TH (TH2). All horizontal floor displacement and internal drift ratio
results, calculated using these models of seismic forces, were then re-evaluated to
192 W. Partono
a b
c
1.4
1.2 Target DSHA Spectra
Acceleration (g)
PEER TH Spectra NS
1
Matched (Original) Spectra NS
0.8
PEER TH Spectra EW
0.6 Matched (Original) Spectra EW
0.4
0.2
0
0 0.5 1 1.5 2 2.5 3 3.5 4
Period (sec)
Fig. 5 a Response spectral matching of PEER for North–South TH direction, b East–West TH

direction at bedrock elevation, c All response spectral matching analysis results
a b
Fig. 6 Matched bedrock/original TH (TH1) and surface TH (TH3), a NS, b EW directions results
developed from site analysis
observe the performance of matched response spectra and matched TH.

A comparative analysis, in terms of horizontal floor displacement and internal drift
ratio, between the RSAD, surface, and bedrock (original) TH was also carried out in
this study. The purpose of the comparative study was to evaluate the performance
of bedrock/original and surface time histories for dynamic structural analysis.
Figure 10 shows the 3D and 2D structural model: 13 stories, 23.36 34.75 m2
plan, and 45.8 m height.
a b
Fig. 7 a Response spectral accelerations developed from spectral matching to RSAD spectra
target using surface TH (RS4), b matched bedrock/original TH (RS2), and c all matched response
spectral acceleration
a b
Fig. 8 Surface TH (TH3) and matched TH (TH4), a NS, and b EW directions
a b
Fig. 9 Original TH (TH1) and matched TH (TH2), a NS, and b EW directions

194 W. Partono
Fig. 10 Reinforced concrete structural model
a b
Fig. 11 a Horizontal floor displacement and b internal drift ratio due to RSAD, TH2, and TH4
3 Result and Discussions
The first structural analysis was carried out by conducting RSAD, TH2, and TH4.
The structural analysis was carried out following the Indonesian Codes SNI
1726:2019 [1], SNI 2847:2019 [13], and SNI 1727:2013 [14]. Figure 11 shows the
floor displacement and internal drift ratio performance of the structural model.
Table 1 shows the absolute difference of floor displacement and drift ratio of RSDA
compared to TH2 and TH4, respectively. The smaller the difference of displacement
and drift ratio compared to the RSDA model, the better the performance of the
model. As can be seen in Fig. 11 and Table 1, the performance of structural
analysis, using matched surface TH (TH4), is better compared to the same analysis
using matched bedrock (original) TH (TH2).
Figure 12 shows horizontal floor displacement, and internal drift ratio results
performance due to RSAD, RS2, and RS4 earthquake force models. According to
Table 1 Maximum displacement and internal drift ratio due to RSAD, TH2, and TH4
RSAD RSAD TH2 TH2 Absolute TH4 TH4 Absolute
X Y X Y difference X Y difference
Disp. (mm) 37.9 34.8 26.1 27.9 6.9–11.8 37.9 32.9 0–1.9
Drift ratio 15.1 14.7 10.9 11.6 3.1–4.2 16.3 12.9 1.2–1.8
(%)
a b
Fig. 12 a Horizontal floor displacement and b internal drift ratio due to RSAD, RS2, and RS4
Table 2 Maximum displacement and internal drift ratio due to RSAD, RS2, and RS4
RSAD RSAD RS2 RS2 Absolute RS4 RS4 Absolute
Disp. (mm) 37.9 34.8 37.6 34.4 0.3–0.4 37.7 33.4 0.2–1.4
Drift ratio 15.1 14.7 15.0 14.5 0.1–0.2 15.0 14.0 0.1–0.7
(%)
this figure, no significant differences in horizontal floor displacement and internal

drift ratio were observed, using three different response spectral acceleration
models. Table 2 shows the maximum absolute difference of floor displacement and
drift ratio calculated using RSAD, RS2, and RS4 earthquake force models.
Compared to the previous horizontal floor displacement and internal drift ratio
calculation using TH2 and TH4, the performance of RS2 and RS4 earthquake
models for structural analysis are better.
Figure 13 and Table 3 show the horizontal floor displacement and internal drift
ratio results calculated using RSAD, bedrock (original) TH (TH1), and surface TH
(TH3). According to Fig. 13 and Table 3, it seems that the differences of TH1 and
TH3 to RSDA model are greater than TH2 and TH4. The surface and bedrock TH
cannot be directly used for dynamic structural analysis.
196 W. Partono
a b
Fig. 13 a Horizontal floor displacement and b internal drift ratio due to RSAD, TH1, and TH3
Table 3 Maximum displacement and internal drift ratio due to RSAD, TH1, and TH3
RSAD RSAD TH1 TH1 Absolute TH3 TH3 Absolute
Disp. (mm) 37.9 34.8 13.0 10.7 24.1–24.9 30.5 29.4 5.4–7.4
Drift ratio 15.1 14.7 4.2 4.3 10.4–10.9 13.2 12.1 1.9–2.6
(%)
Based on the analysis conducted for the building model developed in this study,
a better performance of TH used for dynamic structural analysis can be obtained for
TH, developed using site analysis. The best performance of TH used for structural
analysis was observed when the TH was developed using matched surface TH
(TH4).
4 Conclusions
Dynamic structural analysis of buildings is usually performed using RSA design,

the earthquake model calculated based on the Indonesian seismic code. The
acceleration time histories (TH) collected from specific earthquake events or
national/international ground motion databases can also be used as an alternative
earthquake force model. For building design purposes, when TH is used as a model
of earthquake force, the TH used in the structural analysis should be matched with
the RSA design used at the building position.
The acceleration time histories used for building design can be obtained directly
from matched bedrock (original) TH or matched surface TH, two different matched
time histories developed using RSA design as a spectral acceleration target. The
matched surface TH can be obtained using site analysis of bedrock (original) TH at
the building location. In terms of horizontal floor displacement and internal drift
ratio calculation, the performance of matched surface TH is better, compared to

matched bedrock TH.
Modified response spectral acceleration can also be developed using spectral
matching analysis of bedrock (original) and surface time histories and conducting
RSA design as a spectral acceleration target. In terms of horizontal floor dis-
placement and internal drift ratio, no significant difference was obtained in the
results when the dynamic structural analysis was calculated using RSA design and
matched response spectral acceleration, as a model of seismic force.
The bedrock/original time histories (obtained from national/international ground
motion databases or from specific earthquake events) or surface time histories
developed from site analysis cannot be directly used for dynamic structural analysis
design. Matched analysis to RSA design as a spectral acceleration target should be
performed to get a better performance of structural analysis results.
Acknowledgements This paper was financially supported by the Faculty of Engineering,

Diponegoro University, Semarang, Indonesia, through the Strategic Research Grant 2021.
References
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structures
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Jakarta
Non-linear Analysis of Steel Shear Key
at Epoxy Joint
Khairunnisa Masturoh, Nuraziz Handika, and Heru Purnomo
Abstract As a crucial part of a precast concrete segmental bridge system,

connection joints should ensure shear force propagation due to the loading appli-
cation from the bridge’s deck to the section below. In this study, double L-shaped
concrete blocks connected by a steel shear key with epoxy are numerically simu-
lated using Midas FEA to represent the precast concrete segmental bridge con-
nections. The L-shaped concrete blocks are loaded in two directions, vertical load,
which represents the deck load, while horizontal load acts as a prestressed load. By
applying horizontal load separately on the segmental precast, epoxy shear stress is
increased by 4–8%, as well as 6–13% for concrete shear stress. The highest hori-
zontal load application is 14.7 kN at K1P6E-NL specimen on 2-stage modeling.
Overall from 3 specimens, the maximum force difference between numerical results
and previous experiments is from 1 to 28%, while the maximum displacement
reaches a difference of up to 40%. The experimental results show a continuous
constant trend after the failure of the epoxy. This means that the upper L-shaped
block has already touched the lower one. The numerical simulation results proved
that the epoxy joint provides brittle failure.
Keywords Epoxy Shear stress Steel shear key Shear key C capacity
K. Masturoh (&) N. Handika H. Purnomo

Departement of Civil Engineering, Faculty of Engineering, Universitas Indonesia,
Kampus UI Depok, Depok 16424, Indonesia
e-mail: khairunnisa.masturoh@ui.ac.id
N. Handika
e-mail: nuraziz.handika@ui.ac.id
H. Purnomo
e-mail: heru.purnomo@ui.ac.id
https://doi.org/10.1007/978-981-16-7949-0_18
200 K. Masturoh et al.
1 Introduction
The precast concrete segmental bridge is one type of bridge that is commonly used
in long-span (or medium-span) bridge structures. However, the connection between
precast concrete segments needs to be considered. This connection is very impor-
tant in transferring the forces from the bridge decks to the girder segments, which
are then passed on by the column to the foundation. Each segment is joined by a
shear key, which is either made of the concrete segment itself (with serrated form)
or steel material. Shear capacity is the main parameter to be increased in the joint
connection. Moreover, steel as a shear key material is considered promising as it
has advantages in terms of strength, stiffness, and ductility, making it very suitable
for use in structures that withstand certain loads.
Based on the characteristics of the joints, shear keys can be categorized into two
types of joints. The first type is called dry joint, where the adjacent precast segments are
not coated with any substance. The second type is called epoxy joints, where the two
adjacent precast segments are coated by adhesive material, epoxy, with a thickness of
1 mm up to 3 mm [1]. Based on the results of experiments conducted by Buyukozturk,
1 mm thickness of epoxy gives the best results compared to 2 and 3 mm thickness of
epoxy [2]. The dry joints are highly dependent on the friction force possessed by the
joints between the two segments themselves. The transfer of shear is due to the
operation of the shear forces in the potential crack area, which can be resisted by the
frictional force from the normal compressive force along with the joint [3].
The failure that occurs in epoxy joints is in the form of brittle failure, where the
load will suddenly drop after the load has increased constantly [2]. On the other
hand, in epoxy joints, the epoxy played several important roles [4]:
• During assembly before hardening:
– To lubricate the mating surface while final positioning took place.
– To compensate for minor imperfections in the match-cast surface.
• In the finished structure after hardening:
– To ensure the water-tightness of joints, especially in the top slab.
– To participate in the structural resistance by transmitting compression and
shear force.
In this study, a numerical analysis is carried out using the Midas FEA program to
study the stress behavior of steel shear keys. To do so, numerical modeling is
performed on a precast concrete segment which is described as two L-shaped
concrete blocks. These two concrete blocks are joined by a steel shear key. One
layer of epoxy is used at the joint interface of the concrete blocks, with pinned and
roller boundaries as its boundary condition on the bottom and side of the concrete
blocks. The loading applications (in the form of imposed displacement) are applied
in the vertical direction. The constitutive law used for concrete is the Total Strain
Crack Model (T-S Model) [5], and the Von Mises yield criterion [6] for steel shear
key material.
Non-linear Analysis of Steel Shear Key … 201
2 Methodology
The non-linear analysis is carried out by creating a numerical model using

Midas FEA (PKID: 09AQPQZGB7QLN8EP). The modeling results are then
compared with the results of experiments of previous works [7]. Numerical mod-
eling is done following the geometry of two L-shaped concrete blocks with a pair of
shear key (male–female) connections and one layer of 1 mm epoxy adhesive on the
two concrete blocks surfaces, forming an area of 150 150 mm. Detail of the
shear key and the concrete blocks can be seen in Fig. 1.
As boundary condition, pinned support is set at the bottom side of the concrete
block, and roller support is on the right side of the concrete block, as shown in
Fig. 2. Vertical loading is set as incrementally imposed displacement whilst the
horizontal load is given as a constant rate during the analysis, which represents the
prestress load. Three horizontal load variations are given (see Table 1) at the point
of horizontal load, as can be seen in Fig. 2.
Fig. 1 Shear key geometry (unit: mm) a lateral-section of concrete blocks, b cross-section of
concrete block
Fig. 2 Modeling in Midas FEA a Model-1, b Model-2

Table 1 Horizontal load Shearky geometry Code Horizontal load (Kn)

application variation
K1 K1P3E-NL* 7.358
K1P5E-NL* 11.036
K1P6E-NL* 14.715
*
Code E refers to model with epoxy joint; and NL refers to
non-linier analysis
The geometry of the shear key and concrete block is modeled with a scale of
50% from its prototype [8] (see Fig. 1). The data of material used in this modeling
is defined from the result of previous experiments [7] (see Table 2, Fig. 3), whilst
the geometry of the L-shaped blocks and shear key in Midas FEA are as presented
in Fig. 2.
The constitutive law of concrete used in this modeling is the Total Strain Crack
Model (T-S Model) following [5]. T-S Model refers to the model from The
Modified Compression Field, which was first proposed by Vecchio and Collins.
This model is able to predict the load–displacement response in the plane as well as
the shear stress [5]. Some advantages of the total strain crack model are that the
crack distribution is easy to display and the crack unit does not separate at the crack
position, the direction of the crack changes with the direction of the principal strain,
and only the normal stress is generated on the surface of the crack, so the calcu-
lation process is simpler [8].
Furthermore, the constitutive law used for steel shear key material is the Von
Mises yield criterion following [6]. This criterion, which is mostly used for ductile
materials such as metals, defines a threshold where the yielding process begins. It is
defined as the strain-energy density distortion at a certain point that is the same as
the strain-energy density distortion when yielding at uniaxial tension, or uniaxial
compression occurs [6]. The Von Mises yield criterion characterizes the condition
that is equal to or greater than the threshold of yield limit as the yielded condition.
Table 2 Material properties [7]

Propeties Units Materials
Concrete Epoxy Steel
Tensile strength MPa 3.3 9.53 –
Compressive strength MPa 41.2 34.56 –
Elastic modulus MPa 27,526.11 4476.807 129,259.26
Weight density N/mm3 2.353E—05 – 7.698E−05
Poisson’s ration – 0.2 – 0.3
Shear strength MPa – 17.6 –
Shear modulus MPa – 2819.75 –
Yield stress MPa – – 410
Tensile stress MPa – – 645
Elongation % – – 26.64
Fig. 3 Tensile stress–tensile strain curve for steel [7]
During the numerical simulation, Midas FEA has not been able to distinguish the
two loading stages for the two directions of loading at the same time. Instead of
being loaded constantly, the horizontal loading is given incrementally at the same
moment as the vertical imposed-displacement load. The vertical load is intentionally
given incrementally. Therefore, as an approximation regarding this condition, the
numerical modeling is performed with two steps simultaneously; the two models are
called Model-1 and Model-2 for the first and the second step, respectively.
In the first step, Model-1, linear static analysis is carried out by only providing
horizontal loads and recording the stress changes that occur in the model. Then,
these changes are applied and added to the calculated average stress that occurs to
the shear stress-shear strain curve of the epoxy and to the concrete property material
data. Thus, the modification of shear stress-shear strain is now obtained and can be
used as input data for Model-2. In the second step, Model-2 with additional shear
stress capacity from Model-1 as obtained previously is loaded in vertical imposed
displacement. The results of the analysis of Model-2 are then compared with the
experimental results [7].
3.1 Model-1
From the model-1 simulation results, the three horizontal load variations provide
different average shear stress values in concrete and epoxy. Figure 4 shows the
superimposed shear stress–strain stress curves. The black dash line in Fig. 4a, b
Fig. 4 a Shear stress–shear strain curve for epoxy, b shear stress–shear strain curve for concrete
shows the original condition. The dotted points represent the modified conditions,
with red, blue, and green representing 7.358, 11.036, and 14.715 kN. There is a
slight increase in the average shear stress resulting from the addition of horizontal
loads. The increase of average shear stress values for horizontal loads P3, P5, and
P6 respectively are 0.86 MPa, 1.28 MPa, and 1.70 MPa (both epoxy and concrete),
with a difference of 4–8% for epoxy and 6–13% for concrete (see Fig. 4 and
Table 3). It can be seen that the higher the prestress (horizontal) force exerted on the
precast concrete segment, the higher the increase of the shear capacity of the epoxy
joints shear key.
Table 3 Comparison of experiment versus numerical analysis results (Model-2)

Code Max displacement Percentage Max. force (kN) Percentage
(mm) (%) (%)
Experiment Numeric Experiment Numeric
K1P3E-NL 0.63 0.70 12 96.63 114.69 19
K1P5E-NL 0.34 0.48 40 77.01 98.30 28
K1P6E-NL 1.01 0.90 11 130.18 131.07 1
3.2 Model-2
For the numerical modeling of Model-2, using the additional shear capacity
obtained from Model-1 and the same configuration of concrete L-shaped blocks and
steel shear key, a vertical load is incrementally applied until the shear key joint
collapses. Figure 5 shows the numerical modeling results (vertical load displace-
ment) compared to the experimental results for the 3 cases of horizontal prestress
forces.
Epoxy Steel Shear Key with Horizontal Load 7.358 kN The maximum vertical
load obtained from the numerical modeling for the K1P3E-NL is 114.69 kN (see
Fig. 5), with a 19% difference in the maximum load value between the numerical
and experimental results. The displacement values that occur when the maximum
load is reached are 0.70 mm (numerical analysis) and 0.63 mm (experimental),
Fig. 5 Force–displacement curve, numerical modeling result using Midas FEA and experimental
result [7]
Fig. 6 3D Element stress for K1P3E-NL: male-shear key and concrete block a Von Mises stress
on male-shear key, b SPXX on upper concrete block
with a difference of 12% (see Table 3). Experiment results are shown to continu-
ously be constant after the failure of the epoxy [7]. It means that the upper L-shaped
block already touched the lower one. In Fig. 6, Von Misess stress on the shear key
(P Von Mises, in unit N/mm2), and primary stress in x-direction force (SPXX, in
unit N/mm2) on the L-shaped concrete blocks are shown. Furthermore, Fig. 7
shows crack status. The cracking status indicates whether a tension cutoff limit has
been exceeded at an integration point [9]. The types of crack status that appear in
the output indicating the branch on the tension softening diagram (tensioning
softening is not taken into the calculation).
The maximum Von Mises stress on the shear key is 412.9 MPa, while the
compressive stress on the concrete block is 48.4 MPa. Figure 6 shows the stress on
the concrete block, which is centered around the shear key. Meanwhile, on the shear
key, the stress is centered on the outer radial of the shear key. When the load
reaches 18.4 kN, the epoxy begins to crack (at shear stress occurs 0.846 MPa), until
finally, the epoxy fails (at shear stress occurs 8.012 MPa) when the load reaches
Fig. 7 Crack status for K1P3E-NL: concrete block and epoxy a status crack on concrete block at
maximum load, b Status crack on epoxy at load 65.5 kN
65.5 kN. In that condition, the joint is only held by the shear key until it fails when
the load reaches 114.69 kN. Based on Fig. 7, cracks occur on the shear key area and
at the location of vertical load application.
load obtained from numerical modeling for the K1P5E-NL is 98.30 kN (see Fig. 5),
with a 28% difference in the maximum load value between the numerical and
experimental results. The displacement values that occur when reaching the max-
imum load are 0.48 mm (numerical analysis) and 0.34 mm (experimental), with a
difference of 40% (see Table 3).
The maximum Von Mises stress on the shear key is 406 MPa, while the com-
pressive stress on the concrete block is 47.8 MPa. Figure 8 shows that stress on the
concrete block is centered around the shear key. Meanwhile, on the shear key, stress
is centered on the outer radial of the shear key. When the load reaches 14.08 kN, the
epoxy begins to crack (at shear stress occurs 0.537 MPa), until finally, the epoxy
fails (at shear stress occurs 9.21 MPa) when the load reaches 81.9 kN. In that
condition, the joint is only held by the shear key until it fails when the load reaches
98.3 kN. Based on Fig. 9, cracks occur on the shear key area and at the location of
vertical load application.
load obtained from numerical modeling for the K1P6E-NL is 131.07 kN (see
Fig. 5), with a 1% difference in the maximum load values between the numerical
and experimental results. The displacement values that occur when reaching the
maximum load are 0.9 mm (numerical analysis) and 1.01 mm (experimental), with
a difference of 11% (see Table 3).
The maximum Von Mises stress on the shear key is 412.95 MPa, while the
compressive stress on the concrete block is 45.3 MPa. Figure 10 shows that stress
on the concrete block is centered around the shear key. Meanwhile, on the shear
key, stress is centered on the outer radial of the shear key. When the load reaches
Fig. 8 3D Element stress for K1P5E-NL: male-shear key and concrete block a Von Mises stress
Fig. 9 Crack status for K1P5E-NL: concrete and epoxy a status crack on concrete block at
maximum load, b status crack on epoxy at load 81.9 kN
Fig. 10 3D element stress for K1P6E-NL: male-shear key and concrete block a Von Mises stress
17.41 kN, the epoxy begins to crack (at shear stress occurs 0.766 MPa), until
finally, the epoxy fails (at shear stress occurs 13.267 MPa) when the load reaches
90.1 kN. In that condition, the joint is only held by the shear key until it fails when
the load reaches 131.07 kN. Based on Fig. 11, cracks occur on the shear key area
and at the location of vertical load application.
Fig. 11 Crack status for K1P6E-NL: concrete and epoxy a status crack on concrete block at
maximum load, b status crack on epoxy at load 90.1 kN
4 Conclusion
Numerical modeling using Midas FEA with two loading directions can be per-
formed separately and consecutively. The use of two separate models is an
approximative approach. At stage 1 (Model-1), each horizontal load variation gives
4–8% epoxy shear stress escalation, as well as 6–13% escalation for concrete shear
stress. The numerical results provide a significant difference with experimental
results, with a difference of up to 28% (K1P3E-NL). In the K1P6E-NL model, the
maximum force that can be held is 131.07 kN, which is 33 and 14% greater than the
ones from K1P3E-NL and K1P4E-NL, respectively. This value is very similar to
the experimental results of 130.18 kN, with a difference of only 1%. This shows
that K1P6E-NL is the most optimum load to give the best results compared to the
two other horizontal load cases on 2-stage modeling. Numerical simulation results
proved that the epoxy joint provides brittle failure, where the load is held by the
epoxy in the beginning, but once the epoxy has collapsed, the load will be held by
the shear key, which will then experience a sudden drop in load and the connection
will fail.
References
1. Cruzado HJ (1998) Assesment of a precast prestressed segmental concrete rail transit guideway
design. Dissertation, Massachusetts Institute of Technology
2. Buyukozturk O, Bakhoum MM, Michael BS (1990) Shear behavior of joints in precast
concrete segmental bridges. J Struct Eng 116(12):3380–3401
3. Koseki K, Breen JE (1983) Exploratory study of shear strength of joints for precast segmental
bridges No. FHWA-TX-84–32+ 248–1 Intrm Rpt. The National Academies of Sciences,
Engineering, and Medicine, Washington DC
4. Podolny W Jr, Muller JM (1982) Construction and design of prestresed concrete segmental
bridges. A Wiley-Interscience Publication, USA
5. Vecchio FJ, Collins MP (1986) The modified compression field theory for r inforced concrete
elements subjected to shear ACI J 83(22):219–231
6. Boresi AP, Schmidt RJ (2003) Advanced mechanics of materials, 6th edn. Wiley, USA
7. Tjiknang F (2017) Study of mild steel shear key behaviour with 50% reduction scale on
segmental precast bridge subjected to vertical load. Universitas Indonesia
8. Purnomo H, Nursani R, Mentari S, Rahim SA, Tjahjono E (2017) Numerical evaluation of the
shear behavior of a metal shear key used in joining precast concrete segmental bridge girders
without epoxy. Int J Technol 8(6):1050–1059
9. Midas (n.d) Midas IT analysis and algorithm. https://globalsupport.midasuser.com/helpdesk.
Accessed 16 April 2021
On-Field Testing of the Monolith Joint
of the Full Slab on a Slab-on-Pile Bridge
Ahmad Zaki Risadi, Josia Irwan Rastandi,

Bastian Okto Bangkit Sentosa, and Nuraziz Handika
Abstract Indonesia’s acceleration of infrastructure development brings about

issues regarding land availability, suboptimal soil conditions, and the need for faster
constructions, which are resolved by using slab-on-pile bridges for bridge con-
structions. However, the lack of beam elements in slab-on-pile bridges makes the
monitoring of slab joint deflections more significant. Static and dynamic load tests
are necessary to make sure the joint performs as well as designed. The tests were
conducted using weighted trucks to induce the static and forced vibration. The data
is compared to numerical analysis results. The results show that the occurring
deflections are significantly smaller than the numerical results. The natural fre-
quencies of the structure (16.05–18.75 Hz) is higher than the numerical analysis
natural frequency (11.84 Hz). The maximum tensile strains of the structure
(241.329 and 19.058 microstrains) are lower than the numerical analysis tensile
strain (329.9 microstrains). This is due to the numerical analysis not factoring the
extra stiffness due to prestressing, causing the structure to perform better than
designed. The deflections of adjacent slab elements are almost identical, suggesting
that the joint performs well and allows the slabs to behave as one unity. The
dynamic amplification factor is calculated to be 1.325–1.563.
Keywords Slab-on-pile bridge Static loading test Dynamic loading test

Forced vibration
A. Z. Risadi (&) J. I. Rastandi B. O. B. Sentosa N. Handika

Department of Civil and Environmental Engineering, Faculty of Engineering, Universitas
Indonesia, Depok 16424, Indonesia
e-mail: ahmad.zaki91@ui.ac.id
J. I. Rastandi
e-mail: jrastandi@eng.ui.ac.id
B. O. B. Sentosa
e-mail: bastian.sentosa@ui.ac.id
N. Handika
e-mail: nhandika@ui.ac.id
https://doi.org/10.1007/978-981-16-7949-0_19
214 A. Z. Risadi et al.
1 Introduction
In recent years, Indonesia has implemented policies to accelerate the development

of infrastructures. Due to this condition, several issues revolving around bridge
constructions have emerged, namely lack of land availability, suboptimal soil
conditions, and the need for faster constructions. Slab-on-pile bridges serve as an
alternative for resolving the previously mentioned issues [1].
A slab-on-pile bridge structure is a bridge that does not require a beam element.
Slab-on-pile bridges, also known as slab bridges, consist of a plate element that is
placed on pile caps, which are held up by singular piles, not pile groups.
A Slab-on-pile bridge is an attractive alternative due to its simplicity in construction
as well as requiring lower cost to construct [2].
However, due to the nature of the slab-on-pile bridge structure that does not have
a beam element, there is no structural element that provides support to reduce the
deflection of the slabs. Therefore, the deflection on the slabs needs to be specially
monitored so that it does not exceed the code limits. Section 9.2.1 of Indonesia
Nasional Standard RSNI T-12–2004 [3] states that the serviceability limit state for
midspan deflection is L/800.
To make up for the absence of beam elements, the slabs on slab-on-pile bridges
are given prestressing tendons to provide more stiffness and vertical support.
However, since the prestressing provide support to deflections only in the
x-direction, the connection of the slabs in the y-direction becomes more significant.
Therefore, the connections must perform as well as they are designed.
This study aims to evaluate the performance of a joint on a full slab element of a
slab-on-pile bridge structure. Static and dynamic load tests were conducted using
weighted trucks to induce the static and forced vibration loading on the structure.
A static load test was conducted to measure the structure’s deflections and strains,
while a dynamic loading test was conducted to determine the natural frequency of
the structure. The data is then compared to numerical analysis results, which are
obtained through numerical modeling.
2 Structural Data
The structure that is to be modeled is a slab-on-pile bridge with six spans, each of
which is 7.5 m in length. The width of the bridge is 32.4 m long, supported by eight
piles with a distance of 4.3 m from one another. The cross-sectional view of the
bridge can be seen in Fig. 1. The data of the materials used in the structure are as
described in Table 1.
The slabs are connected with a 42 MPa non-shrink concrete. The non-shrink
concrete ties the slabs with an anchor. The non-shrink concrete has a width of
1000 mm and is placed on a pile cap.
On-Field Testing of the Monolith Joint … 215
Fig. 1 A sectional view of the bridge structure
Table 1 Material data, as tested by the consultant prior to the conduct of the field tests
Value Unit
Full slab concrete grade (fc′) 42 MPa
Pile cap concrete grade (fc′) 30 MPa
Steel rebar grade (fy) 400 MPa
Full slab prestress strand size 12.7 mm
Full slab prestress standard JIS-3536 or ASTM A-416
Fci (at strand release) 30 MPa
Jacking force 77.5% UTS
Spun pile prestressed concrete grade 48 MPa
(fc′)
Spun pile prestressed concrete bars JIS G 3137–2008 Grade 1 Class 1 SBPD
standard 1275/1420
Spun pile Mcrack 25 T.m
Spun pile Mult 45 T.m
Spun pile Pallowable 120 Ton
The foundation of the structure is a spun pile foundation with a diameter of

600 mm and a wall thickness of 100 mm. The hollow pipe is supported with 24
prestressed concrete (PC) bars of 9 mm diameter. The PC bars are tied with a spiral
PC wire of 4 mm diameter with 120 mm spacing. The inner part of the spun pile
foundation is filled with 30 MPa concrete and supported with a longitudinal rein-
forcement of 8D16, tied with Ø10-150 spiral ties. The cross-sectional view of the
spun pile foundation is as illustrated in Fig. 2.
Fig. 2 Cross-sectional view

of the foundation
Pile caps are placed on top of the piles to support the slabs. There are two pile
caps: inner pile caps (continuous pile caps) and outer pile caps (expansion joint pile
caps). The expansion joint pile cap is placed where two sections of the bridge meet.
One side of the pile cap is made fixed while the other is made rolling. The
expansion joint pile cap has a size of 1100 700 mm. The continuous pile cap is
placed where slabs of the same section of the bridge meet. This pile cap has a size
of 1400 600 mm.
3 Static Loading Test
Table 2 shows the amount of equipment used for the static loading test. Vibrating
wire strain gauges (VWSG) from Geokon were used. This device measures the
strain that occurs during loading. The VWSG Datalogger records the data from the
VWSG devices. Dial gauges were also used. The dial gauges measured the dis-
placement that occurs on the expansion joints. Lastly, OU Displacement
Transducers were used, which is a mixture of a circular plate and a strain gauge.
The device was placed below the structure. When loading is applied, the plate
deforms, which is measured by the gauge and recorded on the datalogger.
Table 2 The number of the Equipment Amount Unit

equipment for the static
loading test Displacement transducer 4 set
Vibrating wire strain gauge 7 set
VWSG datalogger 2 set
Displacement transducer datalogger 1 set
Dial gauge 4 set
Midspan
Fig. 3 Detailed top view of the placement of the instruments under the slab
The instruments were placed on the joint between two slabs at the middle of the
span of the bridge. The location of the instruments in the testing area is described in
Fig. 3. More detailed illustrations of the placement of the instruments are shown in
Figs. 4 and 5. The strain gauges S1–S5 were placed on the rebars of the full slab
joint. The joint was then poured into a non-shrink grout material.
The load for the static loading test used a weighted dump truck with a total load
of 42,480 kg and a hind wheel load of 32,400 kg [4–6]. The dimension of the truck
is illustrated in Fig. 6. The static loading test was conducted in 5 stages, where the
weighted truck was placed in different locations on the slab. The details for the
configuration of the five stages of the test are shown in Fig. 7.
Edge of truck wheel Truck loading
Fig. 4 Side view of the placement of the instruments under the slab
Fig. 5 Detail of the strain gauges located in the full slab joint
Fig. 6 Truck dimensions in mm
Fig. 7 Stage 1–5 of the static loading test
4 Dynamic Loading Test
For the dynamic loading test, type 8396A accelerometers from Kistler were used to
measure the acceleration response. The accelerometers were located at the midspan,
adjacent to the ends of the SG6 strain gauge. A data logger from Kistler was used to
record the data. To induce the forced vibration on the structure, a jumper was used.
Fig. 8 Side and front view of

the jumper
This jumper allows the weighted truck to gain elevation and fall onto the slab at the
height of 200 mm. The front and side view of the jumper are shown in Fig. 8.
The procedure of the dynamic loading test began with the front wheels of the
truck being placed on the jumper, then turning off the machine to eliminate the
external source of vibrations, and then letting the truck fall onto the slabs and
immediately pressing the brakes afterward.
The results of the dynamic loading test will be compared with the result from the
numerical analysis. The relative damage factor Drelative [7] will then be calculated in
the following Eq. 1, where ftheory and factual refers to the natural frequency obtained
from analysis and from testing, respectively. The structure’s critical damping
(h) will also be calculated, following Eq. 2, where A0 and An refers to the 1st and
the nth amplitude, respectively, and n being the number of amplitudes. The method
used in Eq. 2 is called the logarithmic decrement method [8].

ftheory factual
Drelative ¼ ð1Þ
ftheory

d 1 1 A0
h¼ ¼ ln 100 ð2Þ
2p n 2p An
5 Numerical Analysis
A numerical model has been made on Midas Civil [9]. The model is analyzed
replicating the static loading test conditions, and the results of the theoretical
deformations are shown in Table 3.
The maximum tensile strain of the lowest part of the full slab is calculated using
Eqs. 3 and 4. Equation 3 uses the modulus of rupture (fr) definition as stated in
Section 19.2.3 of SNI 2847:2019 [10], while E is the elastic modulus. The strain
distribution in the section is depicted in Fig. 9. The maximum tensile strain at the
lowest part of the full slab (es2) is obtained to be 329.79 microstrains.
pffiffiffiffiffi
i 0; 62 42
es ¼ ¼ pffiffiffiffiffi ¼ 131:91le ð3Þ
E 4700 42
250
es2 ¼ 131; 91le ¼ 329:79le ð4Þ
100
Table 3 Theoretical Deformation

deformation due to static
OU1-m OU2-m OU3-m OU4-m
loading test simulation
Stage 1 −1.626 −1.556 −1.674 −1.597
Stage 2 −1.941 −1.840 −1.990 −1.880
Stage 3 −2.178 −2.058 −2.168 −2.050
Stage 4 −2.028 −1.916 −1.956 −1.856
Stage 5 −1.547 −1.467 −1.457 −1.389
Fig. 9 Strain distribution of the full slab
Modal analysis is also conducted on the model. The mass participation factor of
the model can be seen in Table 4. From Table 4, the vertical natural frequencies of
the model can be obtained. The vertical natural frequencies of the slab element are
taken from mode no. 2 (11.84 Hz) and mode no. 6 (16.98 Hz). The vertical mode
shapes are shown in Figs. 10 and 11.
6 Static Load Test Results and Discussion
The readings of OU1–OU4 are presented in Fig. 12. The data are summarized in
Table 5. The data is then presented in Fig. 13, where it is compared to the theo-
retical deformation. The expansion joint support of the slabs is given dial gauges to
measure the deflection. The recorded data are summarized in Table 6. The sum-
marized data is then presented in Fig. 14.
The readings on the strain gauges are also recorded. The data for the strain
gauges placed on the rebars inside the joint, namely SG1–SG5, is shown below in
Fig. 15. The data for the strain gauges placed under the full slab element, namely
SG6 & SG7, are shown in Fig. 16. The strain data are then presented in graphs, as
shown in Figs. 17 and 18 for SG1–SG5 and SG6 and SG7.
The data presented above in Table 7 shows that all OU readings have dis-
placements lower than the numerical analysis results. This suggests that the actual
full slab joint performs better than designed. This is due to the fact that the
numerical analysis model does not accommodate the extra stiffness provided by the
prestressing in the slabs. This prestressing in the slabs allow the slab to be stiffer,
thus having smaller deformation than accounted in the model.
Table 4 Mass participation factor
Mode Frequency Translation-X Translation-Y Translation-Z Rotation-X Rotation-Y Rotation-Y
No. (Hz) Mass Sum Mass Sum Mass Sum Mass Sum Mass Sum Mass Sum
(%) (%) (%) (%) (%) (%) (%) (%) (%) (%) (%) (%)
1 11.453 5.1 5.1 0 0 0 0 0 0 32.8 32.8 0 0
2 11.848 0 5.1 0 0 12.02 12.02 0 0 0 32.8 0 0
3 13.493 0 5.1 0 0 0 12.02 0 0 0 32.8 0.72 0.72
4 13.507 0 5.1 0.01 0.01 0 12.02 7.17 7.17 0 32.8 0 0.72
5 16.967 3.14 8.24 0 0.01 0 12.02 0 7.17 0.06 32.86 0 0.72
On-Field Testing of the Monolith Joint …
6 16.982 0 8.24 0 0.01 0.01 12.02 0 7.17 0 32.86 0 0.72

7 16.984 0 8.24 0 0.01 0 12.02 0 7.17 0 32.86 87.32 88.04
8 17.321 69.54 77.77 0 0.01 0 12.02 0 7.17 0.35 33.21 0 88.04
9 19.261 0 77.77 76.15 76.16 0 12.02 5.94 13.11 0 33.21 0 88.04
10 19.275 0.46 78.24 0 76.16 0 12.02 0 13.11 2.73 35.94 0 88.04
11 21.676 0 78.24 0 76.16 2.98 15 0 13.11 0 35.94 0 88.04
12 24.668 0 78.24 0 76.16 0 15 0 13.11 0 35.94 0.02 88.06
13 24.669 0 78.24 0.01 76.17 0 15 0 13.11 0 35.94 0 88.06
14 24.695 2.38 80.62 0 76.17 0 15 0 13.11 6.83 42.77 0 88.06
15 26.022 0 80.62 9.55 85.72 0 15 0.16 13.26 0 42.77 0 88.06
16 26.084 0 80.62 0 85.72 0 15 0 13.26 0 42.77 0.04 88.1
17 26.916 0 80.62 0 85.72 1.18 16.18 0 13.26 0 42.77 0 88.1
221
Fig. 10 Mode no. 2
Fig. 11 Mode no. 6

Fig. 12 Deformation on OU1–OU4 displacement transducers
Table 5 Maximum deformation on the OU displacement transducers

Dial Maximum deformation
Step 1 Step 2 Step 3 Step 4 Step 5 Step 6
OU1-e −0.934 −1.188 −1.302 −1.186 −0.875 −0.052
OU2-e −0.992 −1.276 −1.409 −1.288 −0.922 −0.071
OU3-e −1.123 −1.369 −1.407 −1.199 −0.849 −0.058
OU4-e −1.148 −1.420 −1.461 −1.238 −0.868 −0.066
Dial OU1 Dial OU2 Dial OU3 Dial OU4

6 6 6 6
5 5 5 5
4 4 4 4
Load Step
Load Step
Load Step
Load Step
3 3 3 3
2 2 2 2
1 1 1 1
0 0 0 0
0.0 -1 . 0 -2 . 0 -3 . 0 0.0 -1 . 0 -2 . 0 -3 . 0 0.0 -1 . 0 -2 . 0 -3 . 0 0.0 -1 . 0 -2 . 0 -3 . 0
Deformation (mm) Deformation (mm) Deformation (mm) Deformation (mm)
OU1-e OU2-e OU3-e OU4-e
Fig. 13 Deformation versus loading steps of OU1–OU4

Table 6 Deformation on the expansion joint

Stage Deformation (mm)
D1 D2 D3 D4
0 0 0 0 0
1 0.04 0.29 0.38 0.40
2 0.07 0.33 0.41 0.44
3 0.07 0.31 0.37 0.41
4 0.06 0.24 0.29 0.34
5 0.05 0.15 0.19 0.23
6 −0.01 0 0.03 0.04
Dial 1 Dial 2 Dial 3 Dial 4

6 6 6 6
5 5 5 5
4 4 4 4
Load Step
Load Step
Load Step
Load Step
3 3 3 3
2 2 2 2
1 1 1 1
0 0 0 0
-0.25 0.00 0.25 0.50 0.75 -0.25 0.00 0.25 0.50 0.75 -0.25 0.00 0.25 0.50 0.75 -0.25 0.00 0.25 0.50 0.75
Deformation (mm) Deformation (mm) Deformation (mm) Deformation (mm)
D1 D2 D3 D4
Fig. 14 Deformation versus loading steps at the expansion joint supports
SG1 – SG5 Readings

Strain (µε)
Fig. 15 Strain readings for SG1–SG5

Δ Strain (με)
SG6 – SG7 Readings
Fig. 16 Strain readings for SG6 and SG7
VWSG 1 VWSG 3 VWSG 4 VWSG 5

VWSG 2
6 6
6 6 6
5 5 5
5 5
4 4 4 4
4
Load Step
Load Step
Load Step
Load Step
Load Step
3 3 3 3 3
2 2 2 2 2
1 1 1 1 1
0 0 0 0 0
40 20 0 -20 -40 40 20 0 -20 -40 40 20 0 -20 - 40 40 20 0 -20 -40 40 20 0 -20 -40
Strain (με) Strain (με) Strain (με) Strain (με) Strain (με)
SG1 SG2 SG3 SG4 SG5
Fig. 17 Strain readings graph for SG1–SG5 during the static loading test
The deformation ratio between OU1:OU2 and OU3:OU4, which are placed
across one another as shown in Figs. 3 and 4, are 0.924 and 0.963, respectively.
This ratio is very close to 1, which suggests that the 200 600 mm connection
allows the full slab to perform well and behave as one unity.
The strain readings of SG6 and SG7, as shown in Fig. 18, show maximum
tensile strains of 241.329 and 19.058 microstrains, respectively. These values are
lower than the theoretical tensile strain obtained from the numerical analysis,
defined in Eq. (2) to be 329.9 microstrains. This further proves that the joint per-
forms better than the analysis results since the theoretical model does not accom-
modate the extra stiffness provided by the prestressing tendons in the slabs.
VWSG 6 VWSG 7
6 6
5 5
4 4
Load Step
Load Step
3 3
2 2
1 1
0 0
600 400 200 0 -200 600 400 200 0 -200
Strain (με) Strain (με)
SG6-m SG6-e SG7-m SG7-e
Fig. 18 Strain readings graph for SG6 and SG7 during the static loading test
Table 7 Deformation on the expansion joint due to the static loading test
Step 3 deformation (mm)
OU1 OU2 OU3 OU4
OU displacement transducer reading −1.302 −1.409 −1.407 −1.461
Numerical analysis result −2.178 −2.058 −2.168 −2.050
7 Dynamic Load Test Results and Discussion
The forced vibration is induced three times. The reading from the accelerometers
have been recorded, such as in Fig. 19, and transformed using the fast Fourier
transform method as shown in Fig. 20. The peak natural frequencies from the
readings have been obtained. The summary of the accelerometer data is shown in
Table 8.
The data in Table 8 shows that all actual natural frequencies are higher than the
frequency of the model. This is due to the same phenomenon as discussed previ-
ously, where the prestressing in the slabs provide extra stiffness to the structure. The
model does not take this into account, thus allowing for the actual structure to
perform better.
Fig. 19 Time-domain for the 1st vibration reading at point 1
Fig. 20 Frequency domain for the 1st vibration reading at point 1
Readings on the displacement transducers during the vibration testing are

recorded. The data, as shown above in Fig. 19 for the reading on OU1 for the 1st
vibration, shows an initial displacement U0 and static displacement Ust as marked in
Fig. 21. 4 points are observed during three vibration periods. The data are sum-
marized in Table 9.
Table 8 Summary of readings from the accelerometers

Point 1 Point 2
1st 2nd 3rd 1st 2nd 3rd
vibration vibration vibration vibration vibration vibration
factual 18.517 18.750 16.050 18.229 18.880 16.670
(Hz)
ftheory 11.840 11.840 11.840 11.840 11.840 11.840
(Hz)
Drelative −56 −58 −36 −54 −59 −41
(%)
Fig. 21 OU1 reading for 1st vibration—time domain
The readings from the transducers cannot be performed for FFT because the data
frequency is only 50/s. This is not accurate enough for the calculation of the full
slab’s natural frequency.
The critical damping ratio at point 1 is also calculated. Using the formulation in
Eq. (2), the critical damping ratio obtained is 10.862%. Using the half-power
bandwidth method, the critical damping ratio obtained is 11.25%.
Table 9 Dynamic amplification factor
On-Field Testing of the Monolith Joint …
1st vibration 2nd vibration 3rd vibration

Point 1 Point 2 Point 3 Point 4 Point 1 Point 2 Point 3 Point 4 Point 1 Point 2 Point 3 Point 4
U0 0.98 1.05 1.00 1.06 1.00 1.06 1.00 1.07 1.09 1.06 1.16 1.14
Ust 0.70 0.74 0.64 0.69 0.74 0.78 0.72 0.77 0.80 0.80 0.80 0.84
U0/Ust 1.400 1.419 1.563 1.536 1.351 1.359 1.389 1.390 1.363 1.325 1.450 1.357
229
8 Conclusion
The measured maximum displacement is smaller than that of the numerical anal-
ysis. This is due to the prestressing in the slabs providing extra stiffness, which the
numerical analysis does not take into account. The phenomenon also contributes to
the actual natural frequency of the structure. The actual natural frequency of the
structure is 16.05–18.75 Hz, while the theoretical natural frequency is 11.84 Hz.
The strain readings of SG6 and SG7, which are placed under the slabs, show
maximum tensile strains of 241.329 and 19.058 microstrains, respectively. These
values are lower than the theoretical tensile strain obtained from the numerical
analysis, which is 329.9 microstrains. This further proves that the joint performs
better than the analysis results.
The vertical displacements of the adjacent displacement transducers are almost
identical to one another. This shows that the connection allows the slab elements to
perform well and behave as one unity.
The dynamic amplification factor obtained ranges between 1.325 and 1.563.
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Frame and Dual Systems Based on SNI
1726:2019
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Abstract The response modification coefficient (R) and the fundamental period of
the structure (T) are the two main keys in determining the seismic design load of a
building according to the current Indonesian Seismic Code, SNI 1726:2019. The
code prescriptively requires that the values of R and T must be established based on
the type of structural system. By developing a chart showing the relationships of the
various structural systems, the number of stories, the height of the structure, and the
approximate fundamental periods of the structure, a structural engineer can easily
see which structural system is the most efficient to be applied in the design of
buildings in earthquake-prone areas. This paper will demonstrate that the use of a
special moment frame system can be much more economical than the dual system,
which is more commonly used in practice. For a 32-story reinforced concrete office
building, the seismic design load of the special moment frame system can be
approximately 30% less than that of the dual system.

Keywords SNI 1726:2019 Response modification coefficient Fundamental

period Special moment frame system Dual system
1 Introduction
In designing high-rise buildings, many structural engineers tend to use a dual

system for the lateral force resisting system of the building due to the presence of
the elevator core wall. This makes the structural system stiffer but less ductile. Even
though low ductility is not suitable for buildings located in areas with high seis-
micity, this is what is commonly encountered in practice.
S. Sutjipto (&) I. Sumeru (&)

Civil Engineering Department, Universitas Trisakti, Jakarta, Indonesia
e-mail: suradjin@trisakti.ac.id
I. Sumeru
e-mail: indrawati@trisakti.ac.id
https://doi.org/10.1007/978-981-16-7949-0_20
232 S. Sutjipto and I. Sumeru
Meanwhile, seismic loads stipulated by the newer seismic code are likely to
increase, corresponding to the discovery of new earthquake sources that have not
been previously revealed. The seismic design requirements for structural systems
have also become more stringent in accordance with the recommendations of the
latest research results. Therefore, the selection of the type of building seismic force
resisting structural system is especially important.
According to the current Indonesian seismic design code SNI 1726:2019 [1],
which adopted the ASCE 7–16 [2] with some modifications to suit local Indonesian
conditions, the special moment frame system has higher ductility than the dual
system. Therefore, the response modification coefficient value (R) is set higher,
resulting in a lower design seismic base shear. Furthermore, since the special
moment frame system is more flexible, the code gives a bigger allowable limit of
the fundamental period (T) compared to the dual system, causing significantly lower
design seismic base shear.
Actually, the ductility concept and the determination of the design seismic loads,
which depends on the fundamental period of the building structure, have been
applied in the Indonesian seismic code since the 1980s [3]. Although several
developments and modifications have been implemented, the basic concepts are
retained up to now.
For further discussion in this paper, the terminology of special moment frame
system refers to the special reinforced concrete moment frames; and the dual system
refers to special reinforced concrete shear walls combined with special reinforced
concrete moment frames that are capable of resisting at least 25% of prescribed
seismic forces, as listed in Table 12 of SNI 1726:2019.
In order to give a clear illustration, this paper will present a comparison of the
design seismic base shear of the special moment frame system and the dual system
used as a seismic force-resisting system of a high-rise building, following standard
design procedures [4].
2 Case Study Building
A 32-story reinforced concrete office building located in Jakarta is considered for a

case study. The building has a typical story height of 3.5 m and consists of 15 of 8
by 8 m modules with a total floor area of 960 m2. A special moment frame system
and a dual system are proposed to be used as structural system alternatives. Their
typical floor plans are shown in Fig. 1.
The city of Jakarta was selected because it is located in a moderate seismicity
area without design response spectra anomaly, where the design response spectra of
site class SC < SD < SE [5, 6].
The design response spectrum parameters are obtained by using the Desain
Spektra Indonesia web application (http://rsa.ciptakarya.pu.go.id/2021/). For
Seismic Design Load Comparison … 233
(a) (b)
Fig. 1 Floor plans of two structural system alternatives, a special moment frame system and
b dual system
0.8
0.7
0.6
Jakarta - SE
0.5
Sa (g)
0.4
0.3
0.2
0.1
0.0
0.0 0.5 1.0 1.5 2.0 2.5 3.0 3.5 4.0 4.5 5.0
T (second)
Fig. 2 The design response spectrum of Jakarta with site class category SE
Jakarta with site coordinates of −6.191° (latitude) and 106.786° (longitude), and
site class category SE (soft soil), the design spectral response acceleration param-
eters are SDS = 0.670 and SD1 = 0.634, thus TS = 0.946 s. Based on these values,
the design response spectrum curve is plotted and shown in Fig. 2.
With the design spectral response acceleration parameters SDS = 0.670 and
SD1 = 0.634, and the risk category II (office building), referring to Tables 8 and 9 in
Section 6.5 of SNI 1726:2019, the Seismic Design Category (SDC) of the building
is D.
3 Response Modification Coefficient
Section 7.2 of SNI 1726:2019 stipulates the selection of seismic force-resisting

systems. Table 12 of Section 7.2 SNI 1726:2019 provides eight groups of structural
systems [1]. Each group consists of several structural system types with limitations
of use based on SDC and structural height.
According to Table 12 of Section 7.2 SNI 1726:2019, the special reinforced
concrete moment frame system and the dual system can be used in SDC D with no
height limit (NL).
Furthermore, Table 12 of Section 7.2 SNI 1726:2019 specifies also three design
parameters for each structural system: the response modification coefficient (R), the
overstrength system factor (X0), and the deflection amplification factor (Cd). In
particular, the response modification coefficient, R, is especially important because
it is within the seismic response coefficient (Cs), and it is inversely proportional to
the seismic design base shear (V). Therefore, the higher the value of R, the lower the
seismic design base shear V.
Referring to Table 12 of Section 7.2 SNI 1726:2019, the R-value of the special
reinforced concrete moment frame system is 8, and that of the dual system is 7.
Accordingly, the base shear of the special reinforced concrete moment frame sys-
tem is 12.5% lower than that of the dual system. See the comparison of the red and
blue curves of Cs in Fig. 4.
4 Fundamental Period
The fundamental period of the building structure (T) is another important value in
determining the design seismic load. Similar to the response modification coeffi-
cient (R), T is also within the seismic response coefficient (Cs), and it is inversely
proportional to the seismic design base shear (V). Hence, the longer the T, the lower
the seismic design base shear V.
The SNI 1726:2019 strictly requires that the fundamental period of the building
structure (T) is not allowed to be more than the code specified value, Cu Ta. This is
basically to take into account the additional structural stiffness contributed from
structural elements that are not included in the structural analysis model, such as
partition walls, façades, and other nonstructural components.
Cu is the upper limit coefficient set in Table 17 of SNI 1726:2019, which its
value depends on the design spectral response acceleration parameter at 1 s (SD1).
Hence, for the case study building with SD1 = 0.634, Cu = 1.4.
Ta is the approximate fundamental period of the building structure. It is com-
monly used in the preliminary design stage when the structural member sizes have
not been obtained, so that the fundamental period of the building structure cannot
be calculated yet. There are three empirical methods provided in Section 7.8.2.1 of
SNI 1726:2019 for calculating the approximate fundamental period: Eqs. 36–38.
Table 1 Approximate Structural system Ta

fundamental period (Ta)
Moment frames Steel 0.0724 hn0.8
Reinforced concrete 0.0466 hn0.9
Steel EBF and BRBF 0.0731 hn0.75
All other structural systems 0.0488 hn0.75
Essentially, these equations give the lower limit of the fundamental period of the
building structure, which then gives the upper limit of the seismic design base shear
V.
Equation 36 of Section 7.8.2.1 SNI 1726:2019 can be used for all types of
structures, and it is generally used in the design. Equation 37 of Section 7.8.2.1 SNI
1726:2019 is restricted to reinforced concrete or steel moment frame structures,
with a maximum number of stories 12 and a minimum average story height of 3 m.
While Eq. 38 of Section 7.8.2.1 SNI 1726:2019 is specified for masonry or con-
crete shear wall structures.
The approximate fundamental period (Ta) based on Eq. 36 of Section 7.8.2.1
SNI 1726:2019 and Table 18 of SNI 1726:2019 is rewritten in a simpler form in
Table 1. Figure 3 presents the plot of the approximate period (Ta) of all structural
systems based on the corresponding equations listed in Table 1 for varying numbers
of stories and heights of structures. The height of each story is set at a typical 3.5 m.
The number of stories is on the left Y-axis and the height of the structure is on the
right Y-axis, while Ta is on the X-axis.
Observing the blue and red curved lines in Fig. 3, it appears that up to 40 stories,
they are almost straight, and the approximate fundamental period of the reinforced
concrete moment frame system is Ta 0.1 N, while that of the dual system is Ta
100 350
90
300
80
250
70
Number of Stories (N)
Structural Height (hn)
60
200
50
150
40
RC MF
30
Steel MF 100
20
Steel EBF/BRBF
Other Systems 50
10
0 0
0 1 2 3 4 5 6 7 8 9 10
Ta (second)
Fig. 3 Approximate period versus the number of stories and structural height
0.12
0.11
0.10
SMF
0.09
Dual System
0.08
Minimum
0.07
CS
0.06
0.05
0.04
0.03
0.02
0.01
0.00
0.0 0.5 1.0 1.5 2.0 2.5 3.0 3.5 4.0 4.5 5.0
T (second)
Fig. 4 Seismic response coefficient (Cs) of special moment frame system and dual system
0.05 N, where N = number of stories. It concludes that the fundamental period of

the dual system is approximately twice that of the reinforced concrete moment
frame system. Therefore, the seismic design base shear (V) of the reinforced con-
crete moment frame system is half that of the dual system.
5 Seismic Design Load
The seismic design load applied to a building structure is commonly represented by

the seismic design base shear (V). In SNI 1726:2019, it is determined by Eq. 30 in
Section 7.8.1: V = Cs W. Cs is the seismic response coefficient, and W is the
effective seismic weight of the building.
According to Section 7.8.1.1 of SNI 1726:2019, the seismic response coefficient
is divided into three parts:
SDS
for 0 T TS : Cs ¼ ð1Þ
R
Ie
SD1
for TS \T\TL : Cs ¼ ð2Þ
T IRe
SD1 TL
for T [ TL : Cs ¼ ð3Þ
T 2 IRe
Table 2 Seismic design base Parameters Special moment frame Dual

shear comparison system system
hn (m) 112 112
Ta (s) 3.256 1.680
Cu 1.4 1.4
T = Cu Ta 4.558 2.352
(s)
Ie 1 1
R 8 7
Cs 0.0174 0.0385
SDS 0.670 0.670
Cs Min 0.0295 0.0295
V (kN) 0.0295 W 0.0385 W
Equations 1–3 are basically Eqs. 31–33 in Section 7.8.1.1 of SNI 1726:2019. The
code also provides Eq. 34 of Section 7.8.1.1 SNI 1726:2019 which specifies a
minimum value of Cs = 0.044 SDS Ie 0.01. This lower bound limit usually
governs especially for flexible building structural systems with long fundamental
periods, including moment frame systems.
The long-period transition period (TL) for Jakarta is 20 s, which falls within the
domain of mega-tall buildings and is beyond the scope of this paper. It also means
nothing when the minimum value of Cs applies.
Figure 4 shows the plots of the seismic response coefficients for the special
moment frame system and the dual system based on the corresponding R values for
each system.
The comparison of the seismic design base shear of the special moment frame
system and the dual system based on the previously discussed parameters is pre-
sented in Table 2. The ratio is 0.0385/0.0295 = 1.31, which means that the seismic
design load of the dual system is 31% higher than that of the special moment frame
system.
If the Cs Min requirement is neglected, the ratio becomes 0.0385/0.0174 = 2.21.
This means that the seismic design load of the dual system is more than double that
of the special moment frame system.
6 Conclusion
The conclusions that can be drawn from the discussion in this paper are:
1. The selection of a structural system is an important decision in the structural
design of a building. Something that is commonly done in practice might not be
the best choice. Structural system selection should be studied thoroughly to get
the best one.
2. The seismic design load of the special moment frame system can be approxi-
mately 30% lower than that of the dual system commonly used. Therefore, the
special moment frame system is a much more economical structural system that
structural engineers should choose for building structures located in
earthquake-prone areas.
References
1. Badan Standardisasi Nasional (2019) SNI 1726:2019 Tata cara perencanaan ketahanan gempa
untuk struktur bangunan gedung dan non gedung. Badan Standardisasi Nasional, Jakarta
2. American Society of Civil Engineers (2017) ASCE/SEI 7–16 minimum design loads and
associated criteria for buildings and other structures. American Society of Civil Engineers,
Virginia
3. Sutjipto S (1994) Indonesia international handbook of earthquake engineering—code,
programs and examples (Paz m (ed)). Chapman and Hall, New York, pp 277–295
4. Fanella DA (2018) Structural load determination—2018 IBC and ASCE/SEI 7–16.
International Code Council, Washington DC
5. Sutjipto S, Sumeru I (2019) Comparison of the RSNI 1726:2018 and the SNI 1726:2012 design
response spectra of 17 major cities in Indonesia. In: Proceedings of 1st international conference
of construction, infrastructure, and materials, Jakarta. IOP conference series: MSE 650: 012032
6. Sutjipto S, Sumeru I (2021) Anomaly Phenomena on the New Indonesian seismic code SNI
1726:2019 design response spectra. In: Mohammed BS et al (ed) Proceedings of 6th
international conference on civil, offshore and environmental engineering 2020, vol 132,
LNCE. Springer, Singapore, pp 375–384
Analysis of Asphalt Damping Ratio
on Shear Test
Sunarjo Leman, Maria Kevinia Sutanto, Elizabeth Ivana Harsono,

Vryscilia Marcella, Anugerah Tiffanyputri, and Yuskar Lase
Abstract Seismic resistance structure on high-rise buildings is considered vital to

be applied in present days to reduce structural damage caused by the earthquake.
Therefore, it requires technology to control the dynamic response of the structure
due to lateral forces, including earthquake force. Passive structure control system
altering mass or stiffness and incorporating damping material is one representative
technology in which could be applied. This study focuses on damping
material-Pertamina asphalt with 60/70 penetration as the additional substance for
the damper. Asphalt addition in seismic force damping system is to increase
damping ratio on building structure and therefore lateral force from earthquake
influencing it, is reduced and diverted to damping system. The behavior of asphalt
on the shear test conducted on contact fields 9.3333, 23.0667, and 34.7 cm2 become
the main objective of this research. The law of Hooke and force equilibrium
dynamic equation is applied to analyze the damping ratio. Verdict on the investi-
gation of this study has shown results to be supercritical (f > 1).
Keywords Asphalt Damping Stiffness
1 Introduction
The gravitational and lateral force is a fundamental contributing factor in the design
of structural systems due to the importance of earthquake force. Lateral force on
high-rise buildings is considered to be more destructive, in particular, due to
S. Leman M. K. Sutanto (&) V. Marcella A. Tiffanyputri

Civil Engineering Undergraduate Study Programme Universitas Tarumanagara, Jakarta,
Indonesia
e-mail: keviniamaria@gmail.com
E. I. Harsono
Department of Civil Engineering, Dordt University, Sioux Center, USA
Y. Lase
Department of Civil Engineering, Universitas Indonesia, Depok, Indonesia
https://doi.org/10.1007/978-981-16-7949-0_21
240 S. Leman et al.
seismic force. Therefore, the application of earthquake resistance structure is nec-

essary to be carried out on the design of high-rise buildings.
A structure may be designed for earthquake resistance by making it strong and
ductile, or by designing it so that plastic beam-column joint may occur in which
results in energy reduction and damped structure [1]. In order to decrease the
damage to building structures from the earthquake, an alternative design is being
established. The reduction of seismic force is able to be practiced by incorporating a
damping system on structural components where the primary force from the
earthquake working on the building is absorbed.
Increasing the damping ratio on building structure damping systems is another
possible method to be applied. Additional damping is expected to carry out more
energy absorption due to the occurrence of seismic force so that only a small
portion of earthquake force working on the building which reduces possible
damage from happening. The method of designing this earthquake resistance
structure is known as the passive control system [2].
Damping system using passive control system existing in the time being requires a
further upgrade to overcome few issues such as the addition of building mass which
results in P-delta effect, influence on structure stiffness and deflection [3, 4]. Due to
these objectives, more advanced damping equipment needs to be established. Asphalt
could be implemented as an alternative material to increase damping effectivity on the
damping apparatus due to the large damping value it has, which results in the
absorption of primary force from seismic activity working on building [5].
On a previous study conducted on the analysis of the influence of viscosity on
asphalt damping ratio as earthquake force damper with a penetration test method
had shown result that asphalt is able to be applied as damping material [6, 7]. The
high viscosity of asphalt is able to provide a larger coefficient of damping.
2 Materials and Method
An Analog model is applied to this study to mimic an asphalt damping system

focusing on asphalt behavior on conducted shear tests [8]. The area of contact tested
on this study vary between 9.3333, 23.0667, and 34.7 cm2. An illustration of the
model is displayed in Fig. 1.
General equation of motion from the system is stated in Eq. 1:
€ þ C U_ þ KU ¼ 0
M UðtÞ ð1Þ
where
Ü acceleration (m/s2)
U_ velocity (m/s)
U displacement (m)
Analysis of Asphalt Damping Ratio … 241
Fig. 1 Asphalt shear test
M mass (kg)
C damping (Ns/m)
k stiffness (N/m)
which also can be written as displayed in Eq. 2:
U ¼ ef:xn :t ðA Cosxd :t þ B Sinxd :tÞ ð2Þ
With A and B presented in Eqs. 3–4:
A ¼ U0 ð3Þ
U_ 0 þ f:xn :U0
B¼ ð4Þ
xd
where
U displacement (m)
f damping ratio
xn natural frequency of undamped vibration (rad/s)
xd natural frequency of damped vibration (rad/s)
t time variable (s)
U0 initial displacement (m)
U_ 0 initial velocity (m/s)
242 S. Leman et al.
There are three following conditions on viscously damped free vibration [1]:
1. Underdamped system oscillates about its equilibrium position with a progres-
sively decreasing amplitude, where c < ccr and f < 1
2. Critically damped system returns to its equilibrium position without oscillating,
where c = ccr dan f = 1
3. The overdamped system does not oscillate and returns to its equilibrium position
as in the critically damped system but at a slower rate, where c > ccr, f > 1.
Figure 2 shows a plot of the motion U(t) due to initial displacement U(0) for
three values of n.
By assuming damping is supercritical, the general solution from Eq. 2 are
obtained as Eq. 5:
UðtÞ ¼ A:eðP1 :tÞ þ B:eðP2 :tÞ ð5Þ
With A and B values to be calculated as Eqs. 6–7:
U_ U0 :P2
A¼ ð6Þ
P1 P2
U0 :P1 U_
B¼ ð7Þ
P1 P2
And P1 and P2 to be written as Eqs. 8–9:
P1 ¼ f:x þ xd ð8Þ
P2 ¼ f:x xd ð9Þ
Fig. 2 Free vibration of underdamped, critically damped, and overdamped systems [1]
where
U_ velocity (m/s)
f damping ratio
x forcing frequency (rad/s)
Through entering boundary condition of the experiment where damped vibration
time variable (td) and initial velocity (U_ 0 ) equal to zero onto Eqs. 6 and 7. Therefore
a new formula is calculated as displayed on Eq. 10.
2xd :UðtÞ ¼ U0 :f:xf:xt :exd :t þ U0 :xd :ef:xt :exd :t

ð10Þ
U0 :f:x:ef:xt :exd :t þ U0 :xd :ef:xt :ed :t
where
U(t) displacement at certain time variable (m)
f damping ratio
x forcing frequency (rad/s)
t time variable (s)
Equation 10 is used on Matlab to analyze the damping ratio of asphalt. The
procedure of this study is presented in Fig. 3.
There are few test objectives conducted in this study which include investigation on
asphalt physical properties, stiffness of pipe and spring, and the influence of contact
area variation. Test results on asphalt physical characteristics are displayed in Table 1.
The different areas of contact will result in variation of damping coefficient
value. This study runs testing on three different areas of contact, where each size of
areas is assessed five times. The area of contact tested on this study vary between
9.3333, 23.0667 and 34.7 cm2.
Results of damping ratio analysis using Matlab and Eq. 10 are presented in
Table 2.
The relation of damping ratio and area of contact is shown in a graphical form in
Fig. 4.
From Fig. 4, it can be seen that the asphalt damping ratio for 9.3333 cm2 large
area is calculated as 1.152, for area size of 23.0667 cm2 is 1.184 and for the area of
contact 34.7 cm2, the analysis of asphalt damping ratio results in the value of 1.091.
In contrast, the damping ratio without asphalt incorporation is approximately 0.0018.
244 S. Leman et al.
Fig. 3 Research flow chart
Table 1 Results of asphalt physical test

Asphalt test First experiment Second experiment Testing standards
Penetration (%) 59.5 73 [9]
Specific gravity (g/cm3) 1.04 0.95 [10]
Softening point (ºC) 45 45 [11]
Ductility (cm) >100 >100 [12]
Table 2 Result of damping Trial f

ratio analysis
9.3333 cm2 23.0667 cm2 34.7 cm2
1 1.168 1.166 1.060
2 1.151 1.211 1.099
3 1.171 1.148 1.106
4 1.153 1.204 1.093
5 1.116 1.190 1.095
1.4
1.2 1.184
1.152 1.091
1
Damping Ratio
0.8
0.6
0.4
0.2
0.018 0.018 0.018

0
0 10 20 30 40
Area of contact (cm2)
Asphalt damping ratio Pipe damping ratio Poly. (Asphalt damping ratio)
Fig. 4 Damping ratio value

246 S. Leman et al.
4 Conclusion
Analysis conducted for the objective of this study has shown results that the asphalt
damping ratio is larger than one (f > 1). This occurrence proves that asphalt
damping is found to be supercritical. The damping ratio of asphalt varies between
1.08 and 1.18. On the contrary, the damping ratio of a damping system without
asphalt is only 0.018, which proves the compatibility of asphalt as a damping
material. Correlation between the area of contact and damping ratio value is pre-
sented through y = 0.0004 x2 + 0.0155 x + 1.0426, where y is the damping ratio
value and x is the size of the contact area.
The supercritical result of the asphalt damping ratio test makes it a feasible,
innovative material to be applied on seismic force damping systems, where it could
be studied further in future research.
References
1. Chopra AK (2012) Dynamics of structures: theory and applications to earthquake

en-gineering, 4/E. Pearson, California
2. Symans MD, Constantinou MC (1999) Semi-active control systems for seismic protec-tion of
structures: a state-of-the-art review. Eng Struct 21(6):469–487
3. Lily S (2000) Structural control systems for earthquake resistant structural design. Jurnal
Teknik Sipil 6(1):55–66
4. Setio HD, Setio S (2005) Kontrol Vibrasi Struktur Bangunan dengan Menggunakan Peredam
Massa Aktif. Jurnal Infrastruktur dan Lingkung Binaan 2:30–39
5. Ashadi (2002) Pengukuran Rasio Redaman pada Material Aspal sebagai Bahan Redaman
pada Struktur. Thesis, Universitas Indonesia
6. Gunawan J (2011) Analisis Pengaruh Viskositas Terhadap Koefisien Redaman Aspal Sebagai
Alat peredam Gempa. Universitas Tarumanagara, Thesis
7. Christianto D, Surachmat D, Leonardy E, Lim WH, Theodora M (2018) Analysis of damping
ratio in passive control devices with graded sand as fillers in the shaft section. In:
Tarumanagara international conference on the applications of technology and engineering,
Jakarta, 22–23 November 2018. IOP conference series: materials science and engineering, vol
508. IOP Publishing Ltd, Bristol, p 012007
8. Supriyadi Y (2002) Pengukuran Redaman Material Aspal dengan Penambahan Tekanan
Lateral. Universitas Indonesia, Thesis
9. Badan Standardisasi Nasional (1991) SNI 06–2456–1991 Bahan aspal, Metode pengujian
penetrasi. Badan Standardisasi Nasional, Jakarta
10. Badan Standardisasi Nasional (1991) SNI 06–2441–1991 Metode Pengujian Berat Jenis
Aspal Padat. Badan Standardisasi Nasional, Jakarta
11. Badan Standardisasi Nasional (1991) SNI 06–2434–1991 Metode Pengujian Titik Lembek
Aspal dan Ter. Badan Standardisasi Nasional, Jakarta
12. Badan Standardisasi Nasional (1991) SNI 06–2432–1991 Metode Pengujian Daktilitas
Bahan-bahan Aspal. Badan Standardisasi Nasional, Jakarta
Analysis of the Sand Grains Influence
on Damping Ratio Using Shear Test
Daniel Christianto, Vryscilia Marcella, Channy Saka,

Alvira Nathania Tanika, and Yuskar Lase
Abstract The earthquake-resistant structural building design is a necessity

nowadays. Therefore, the development of earthquake damping device is indis-
pensable. This research focuses on the usage of sand as an additional damping
material on a silencer attached to the building structure. The selection of sand as an
additional damper is based on the shape of the grain, which could provide addi-
tional internal friction between each grain to cause damping. This research is
conducted on various types of grains size retained on the sieve analysis with uni-
form composition within the container and thin plate as oscillating contact area in
the sand. The thin plate is connected to a perfectly fixed acrylic-free end tube. The
sensor used is a device to gather oscillation data to be processed for the value of
damping ratio to be known. The experimental result shows the disproportionate
damping ratio (n) increment to the increase of contact area (A) and the sand shear
angle.
Keywords Sand Damping Stiffness
1 Introduction
In seismic resistant structure design, there is a particular technique to transfer

earthquake force from the main structure to a specially designed earthquake
damping device to absorb the force from the substructure [1]. To reduce the damage
that occurred to the structure even further, the earthquake damping device could be
set right to the main structure. Passive structure control system by mass and stiff-
ness modifying or by the addition of damping material to control the lateral
D. Christianto (&) V. Marcella C. Saka A. N. Tanika

Civil Engineering Undergraduate Study Programme, Universitas Tarumanagara, Jakarta
11440, Indonesia
e-mail: danielc@ft.untar.ac.id
Y. Lase
Department of Civil Engineering, Universitas Indonesia, Depok, West Java 16424, Indonesia
https://doi.org/10.1007/978-981-16-7949-0_22
248 D. Christianto et al.
dynamic structure control, including earthquake force [1–3]. The ability of the
earthquake damping device to reduce the seismic force is heavily entwined to the
making material [3]. In this research, an experiment against sand for additional
earthquake damping device material was conducted due to the sand’s ability to
dampen the seismic force.
The purpose of this study is to determine the effect of sand materials due to
friction between the uniform sand grains and to determine the damping ratio (n) of
the sand constituent itself. This study rather focused on establishing the outcome on
the usage of sand grain size to damping that occurred between sand grains and
distinguishes the affiliation between piston’s contact area to damping ratio.
From the analysis carried out, it is expected that the uniform shape of the sand
grains will cause friction between the sand itself, causing damping [4]. The shear
angle in the sand that of 45° will produce a large coefficient of friction (l = tan
a = 1). A large coefficient of friction will contribute greatly to damping [5, 6].
Several analyses to the various scope of the problem will take place, in which the
sand grains used are the ones with uniform grain size composition that are retained
on the sieve no. 4, 10, 20, 40, and 60. The was only carried out to determine the
damping ratio of the sand grain material. The data obtained in this study are
experimental data.
2 Research Methods
Figure 1 shows the research scheme to find the damping value in sand grains. The
value of deviation and vibration time produced in Fig. 2 will be obtained upon
oscillating the rod, as seen in Fig. 3 [7].
Fig. 1 Damping experiment

schematics
Analysis of the Sand Grains Influence … 249
Fig. 2 Critical and supercritical chart [8]
Fig. 3 Rod used to determine Δ

rod stiffness
The equations of the chart in Fig. 2 can be seen in Eqs. 1–9.

• Critical condition [8, 9]:
n o
U ¼ ext U 0 þ ðU0 þ xU0 Þt ð1Þ
n ¼ 1 ! C ¼ Ccr ð2Þ
pffiffiffiffiffiffiffiffi
Ccr ¼ 2Mx ¼ 2 KM ð3Þ
• Supercritical condition:
U ¼ A eP1 t þ B eP2 t ð4Þ

U U0 P2
A¼ ð5Þ
P1 P2

U0 P1 U
B¼ ð6Þ
P1 P2
P1 ¼ nx þ xD ð7Þ
P2 ¼ nx xD ð8Þ
qffiffiffiffiffiffiffiffiffiffiffi
xD ¼ x n2 1 ð9Þ
where
U_ velocity (m/s)
U displacement (m)
M mass (kg)
C damping (Ns/m)
k stiffness (N/m)
n damping ratio
xn natural frequency of undamped vibration (rad/s)
t time variable (s)
U_ 0 initial velocity (m/s)
Figure 4 presents the steps of the research methodology as a form of flowchart.
The variable used for the sand grains diameter used for the damping experiment
of (0.850, 0.425, 0.250 mm), the contact area of (4.5, 6, 7.2, 8.4, 9.35 cm2), done
five times.
As identified in Fig. 5, the damping experiment with the container without sand
was conducted five times, and for the sand grains diameter 0.850, 0.425, 0.250 mm
done five times with each contact area of 4.5, 6, 7.2, 8.4, 9.35 cm2. The whole
damping experiment was totaled to 80 times.
The damping ratio is obtained after carrying out damping experiments in the
laboratory, as seen in Eq. 10 [8, 9].

1 ui
n¼ ln ð10Þ
2pj ui þ j
START
Literature Study
Material Preparation Preparation of Specimen
Stiffness Test Standard

Analysis of Sand of Acrylic Pipe Sand Test
Damping Ratio
Strength Test of - Specific Gravity

- Sieve Analysis
Acrylic Pipe
- Direct Shear Test
No OK
OK No
Yes Yes
Data Collection
Analysis
Result
END
Fig. 4 Research flow chart
3 Results
The relation between the damping and contact area that is directly related to the
sand grains can be seen in Fig. 6.
Without sand 5×
4.5 cm2
0.850 mm 80×
6 cm2
0.425 mm 7.2 cm2 75×
8.4 cm2
0.250 mm
9.35 cm2
Fig. 5 Variables in damping experiments
Relation between contact area vs. damping ratio

45
41.72743278
38.3799313 39.01028358
40
37.48424618
35 37.60194666
35.60353752 32.07817906 30.9995987
29.10098139
30 29.63449351
Damping Ratio (%)
28.24748139
25.5004968 29.15658115
25
23.49222161
20
Grain diameter 0.850 mm, φ = 33.011˚
15 Grain diameter 0.425 mm, φ = 25.0963˚
10.82454062
Grain diameter 0.250 mm, φ = 21.9296˚
10
Without sand
5
1.800716827
0
4.5 5.5 6.5 7.5 8.5 9.5 10.5
Contact Area (cm2)
Fig. 6 Relation between contact area versus damping ratio

As seen in Fig. 6, the increment of damping ratio (n) is not proportional to the
increment of contact area (A) and the sand grains diameter. The maximum damping
ratio (n) value to each sand grains diameter did not happen on the same contact area
(A). According to the provided analysis, the conclusion that contact area and sand
grains diameter do not affect sand damping ratio (n) could be reached. It has been
determined that this research’s damping ratio is classified as subcritical (under-
damped) on the grounds that obtained damping ratio falls behind 100%.
4 Conclusion
Based on the test results, several conclusions can be drawn, namely the increase in
the damping ratio (n) is not proportional to the increase of contact area (A) and sand
grains diameters. The increase in the damping ratio (n) is not proportional to the
increase of contact area (A) and sand shear angle. Each of the sand grains diameters
has a maximum damping ratio (n) in a certain contact area (A). The value of the
damping ratio is influenced by the value of the coefficient of friction (l) between the
thin plate with sand. The damping ratio (n) in the sand with a diameter of 0.850 mm
ranges from 10.8245 to 39.0103%. The damping ratio (n) in the sand with a
diameter of 0.425 mm ranges from 25.5005 to 41.7274%. The damping ratio (n) in
the sand with a diameter of 0.250 mm ranges from 23.4922 to 37.6019%.
References
1. Cheng FY, Jiang H, Lou K (2008) Smart structures: innovative systems for seismic response
control. CRC Press, Florida
2. Klink BSA, Connor JJ (1996) Motion-based design methodology for buildings. Computational
Mechanics Publication, Southampton
3. Takewaki I (2009) Building control with passive dampers: optimal performance-based design
for earthquakes. Wiley, Singapore
4. Christianto D, Surachmat D, Leonardy E, Lim WH, Theodora M (2018) Analysis of damping
ratio in passive control devices with graded sand as fillers in the shaft section. In:
Jakarta, 22–23 November 2018. IOP conference series: materials science and engineering, vol
508. IOP Publishing Ltd., Bristol, p 012007
5. Pujianto A (2009) Pengaruh Lapisan Pasir di Bawah Fondasi terhadap Redaman dan Frekuensi
Natural. J Ilm Semesta Tek 12:28–43
6. Yimer G (2010) Shear modulus and damping ratio of dry koka sand using cyclic simple shear
test. Addis Ababa University, Addis Ababa
7. Marcella (2014) Analisis Rasio Redaman pada Benda Uji Karet dengan Butiran Pasir
Bergradasi Sebagai Pengisi pada Bagian Poros. Universitas Tarumanagara, Thesis
8. Chopra AK (1997) Dynamics of structures: theory and applications to earthquake engineering.
Pretince Hall, New Jersey
9. Paz M, Kim YH (1987) Structural dynamics. Van Nostrand Reinhold Company, New York
Parametric Study on Neutral Axis
Growth of Concrete Beams Reinforced
with Fiber-Reinforced Polymer
and Steel Bars
Ahmad Zaki and Rendy Thamrin
Abstract This paper presents a parametric study on neutral axis growth of simply
supported reinforced concrete (RC) beams. Fifteen reinforced concrete beams have
been analyzed. Carbon fiber-reinforced polymer (CFRP), glass fiber-reinforced
polymer (GFRP), and steel bars have been used as tensile reinforcements. Two
symmetrical concentrated loads were applied to each RC beam specimen. The
results show that the RC beams with under-reinforced FRP had experienced the
tension failure, while over-reinforced FRP had experienced the compression failure,
and all of the beams with steel reinforcement had experienced the tension failure
indicated by yielding of tensile reinforcement. The results of the parametric study
show that the growth of the neutral axis has been classified into three following
zone: the first is the zone before crack, the second is the zone after crack, and the
third is the zone after yielding of the tensile reinforcement (in case of steel rein-
forcement only).
Keywords Neutral axis depth RC CFRP GFRP Steel reinforcement
1 Introduction
Composites made of fiber-reinforced polymer (FRP) are currently used as

cost-effective options for reinforcing, rehabilitating, and strengthening concrete
structures [1–4] because of their high stiffness-weight, strength-weight ratio, and
durability against reinforcement corrosion. They are highly controllable and fre-
quently utilized to reinforce and strengthen the reinforced concrete (RC) structures
A. Zaki (&)
Department of Civil Engineering, Faculty of Engineering, Universitas Muhammadiyah
Yogyakarta, Bantul, 55183 Daerah Istimewa Yogyakarta, Indonesia
e-mail: ahmad.zaki@umy.ac.id
R. Thamrin
Department of Civil Engineering, Faculty of Engineering, Universitas Andalas, Padang
25163, West Sumatera, Indonesia
https://doi.org/10.1007/978-981-16-7949-0_23
256 A. Zaki and R. Thamrin
[5–7]. Since FRP has several advantages over conventional steel reinforcing bars
(rebars) in concrete constructions, research on fiber-reinforced polymer (FRP) has
grown more popular than ever. It has been touted as a possible concrete structure
reinforcement alternative [8–10].
RC structures possibly not be the best application field for FRP composites
because of their mechanical characteristics (i.e., high strength, elastic behavior, and
low elastic modulus) which are best utilized when pre- or post-tensioned rein-
forcement is used [11, 12]. Some applications of FRP composites, such as concrete
slabs, bridge decks, retaining walls, and concrete beams. Increasing the durability
of FRP rebars by using FRP reinforcement instead of steel rebars is appropriate.
The additional benefit of FRP reinforcement is that it can be applied in 2D and 3D
fabric networks. By using FRP in these applications, there will be additional
benefits as compared to non-prestressed applications [1, 5].
FRP rebars have quite different mechanical characteristics than steel rebars. In
addition, several elements of the FRP rebars have exhibited significant differences,
such as failure modes, bond mechanisms, ductility, and cracking [1, 5]. The
moment against curvature curves of RC beams with steel rebars reinforcing bars
have been shown in three separate stages; each was defined by three conditions:
cracking of the concrete, yielding of steel rebars, and crushing of concrete [13, 14].
As a result, it is crucial to investigate the growth of the neutral axis until failure load
[15–17]. The parameter x/d in failure and its relationship to ductility are also
important [17, 18]. This paper aims to investigate the behavior of the neutral axis
growth in first cracking, yielding of the reinforcement, and failure of the CFRP,
GFRP, and steel-reinforced concrete beams, as well as the possibilities of in-elastic
behavior of steel under-reinforced beams, FRP over-reinforced beams, and FRP
under-reinforced beams.
2.1 Concrete Specimens
Fifteen simply longitudinal supported beams reinforced by tensile reinforcement

with CFRP, GFRP, and steel rebars have been simulated and analyzed. The data of
the concrete beams were obtained from Thamrin [19]. The beams were divided into
seven groups: GF1, GF2, G0, G1, G2, G3, and G4 of beam specimens. There were
several different parameters of the beam specimens, i.e., type of the reinforcement,
the concrete properties, beam length (L), and shear length (Ls). The beam speci-
mens have different dimensions and properties, as shown in Fig. 1 and Table 1.
The types of beam reinforcement are shown in Fig. 2. The beam specimens were
divided into two types, i.e., type I (under-reinforced beams) and type II
(over-reinforced beams). The width (b), height (h), and length (l) of the beam
specimens were 130 mm, 230 mm, and 1300 mm, respectively. Two-point loads
with shear spans of 530 mm and 450 mm were applied to the beam specimens.
Parametric Study on Neutral Axis … 257
Fig. 1 Dimensions of the beams
Fukui Fibertech, Co. Ltd., Toyohashi (Japan) supplied the CFRP rebars used in
this study, which had a nominal diameter of 10.6 mm, as displayed in Fig. 3.
The CFRP rebars were pultruded and made of carbon fiber (60%) and epoxy resin
(40%). To improve bond characteristics, polyester strands are wrapped around the
rebars with a rib width of 6.0 mm and a height of 0.5 mm [20].
2.2 Data Analysis Using RCSSA
The RCCSA program is a FORTRAN language-based computer program to per-

form flexural analysis of reinforced concrete beams or columns. The method used in
the program is the section discretization method of concrete [21, 22]. In the
direction of the cross-sectional height, the reinforcement is divided into several
layers of small elements [23]. The front page and data input of the RCCSA program
can be seen in Fig. 4a, b.
3.1 Analysis of Load Against Deflection
As depicted in Fig. 5, the load and deflection of the first crack are insignificantly
different between the FRP and steel-reinforced concrete beams. However, the load
and deflection of failure between FRP and steel-reinforced beams are different due
to the relationship of load–deflection. The FRP-reinforced concrete beams (CFRP
and GFRP) explain that the load–deflection relationship is linear. After the first
visible crack, the FRP reinforcement breaks at the ultimate failure, as displayed in
Fig. 5b. Failure loads for GFRP and CFRP reinforced concrete beams are in the 80
kN–100 kN and 20 kN–40 kN ranges, respectively. While for steel reinforcement,
the load–deflection relationship is bilinear. The bilinear relationship explains the
high ductility of the steel reinforcement. After the reinforcing steel yields, the
Table 1 Materials properties
258
Beam Profile Fc Top Bottom L Lm Ls Lh

(Mpa) Fy Es As' d' Fy Es As d (mm) (mm) (mm) (mm)
(Mpa) (Mpa) (mm)
GF1- I 34.5 1264 162,000 158.34 20 1264 162,000 158.34 210 1500 400 549 550
(1-4)
GF1-5 352 185,000 352 185,000
GF1-6 888 68,000 888 68,000
GF2- 41.6 1875 196,000 1875 196,000
(1-3)
GF2-4 694 193,000 694 193,000
GF2-5 778 54,000 778 54,000
G 0-1 36.5 565 183,000 1490 135,000 200 300
G0- 400 200
(2-8)
G1- 38.25 403 168,000 1725 153,000 1300 449 160
(1-3)
G1- 220
(4-6)
G1- 280
(5-7)
G2 II 40.5 160
G3 35 1906 164,000 313.95
G4- 38.4 1805.25 160,000
(1-6)
G4- 210
(7-9)
A. Zaki and R. Thamrin
Fig. 2 The profile type of the

reinforced beams
Fig. 3 Steel and CFRP rebars
deflection increases significantly until the reinforcing steel reaches its maximum
stress, as demonstrated in Fig. 5c.
Based on the load and deflection graph, there are two different areas for the FRP
reinforced beams, i.e., the uncracked beam section and the section after the first
crack until the FRP reinforced beam failure, as demonstrated in Fig. 5b. While for
the steel-reinforced beams, there are three different areas, i.e., first, before the beam
section is cracked, second, after the first crack until reinforcement had reached yield
point, and finally, after steel reinforcement had reached yield point until failure of
the concrete beam, as depicted in Fig. 5c.
3.2 Analysis of Neutral Axis Growth
Figure 6 exhibits the existence of three distinct areas of the growth of the neutral
axis. First, the growth of the neutral axis of the beam specimens at a value of h/2.
Because of the influence of the compression and tension reinforcement, the neutral
axis was located near the section’s midweight in the uncracked state. Second, after
the first crack of the beam specimen, the growth of the neutral axis has decreased
until the reinforcement reaches the failure point for the CFRP and GFRP rein-
forcement and reaches the yield point for the steel reinforcement (fs = fy). The
capacity of the beam section during cracking was smaller than the capacity of the
Fig. 4 RCCSA a front page, b data input
beam section before cracking, causing an uncontrolled crack until the cracking
moment. It happened after the first crack until the yield or failure of the rein-
forcement. Finally, for steel reinforcement, the growth of the neutral axis decreases
while the reinforcement reaches the yield point until failure or reaching the
Fig. 5 Graphic load (y) and a

120
deflection (x) of the
reinforced concrete beams 100
a FRP and steel
reinforcement, b The CFRP 80
and GFRP reinforcement,
Load (KN)
c The steel reinforcement 60
40
20
0
0 2 4 6 8 10 12 14 16 18 20 22 24
Deflection (mm)
GF1-(1-4) GF1-5 GF1-6
GF2-(1-3) GF2-4 GF2-5
G0 G1 G2
b
120
100
80
Load (KN)
60
40
20
0
0 2 4 6 8 10 12
Deflection (mm)
GF1-(1-4) GF1-6 GF2-(1-3)
GF2-5 G0 G1
G2 G3 G4
c 120
100
80
Load (KN)
60
40
20
0
0 2 4 6 8 10 12 14 16 18 20 22 24
Deflection (mm)
GF1-5
GF2-4
maximum stress of the concrete beam (ecm = 0.003). Two behaviors of the neutral
axis depth of CFRP and GFRP reinforcement are presented in Fig. 6b, c. As a
result, the neutral axis growth for steel reinforcement has three behaviors, as pre-
sented in Fig. 6d.
Fig. 6 Graphic load (x)— a Load (kN)

0 20 40 60 80 100 120
neutral axis depth (y) of the 0
reinforced concrete beams
a GF1-G4, b under-reinforced 20
Neutral Axis (mm)

CFRP and GFRP rebars,
c over-reinforced CFRP 40
rebars, d under-reinforced
GF1-(1-4)
steel rebars 60 GF1-5
GF1-6
80 GF2-(1-3)
GF2-4
GF2-5
100 G0
G1
G2
b Load (kN)
0 20 40 60 80 100 120
0
Neutral Axis (mm)
20
40
60
GF1-(1-4)
80 GF1-6
GF2-(1-3)
100 GF2-5
G0
c Load (kN)
0 20 40 60 80 100 120
0
Neutral Axis (mm)
20
40
60
80
G2
100 G3
G4
d Load (kN)
0 20 40 60 80 100 120
0
Neutral Axis (mm)
20
40
60
80
100 GF1-5
GF2-4
4 Conclusions
There were three behaviors in the neutral axis growth areas. First, the area indi-
cating the depth of the neutral axis growth was around the center of the beam
cross-section (h/2). Second, the area showing the neutral axis decreased signifi-
cantly to a certain depth and, after reaching that, the neutral axis was around that
depth. Third, the area depicting the depth of the neutral axis decreased toward the
compression reinforcement. For FRP-reinforced concrete beams with under rein-
forcement, the type of failure was tension—the yielding of the reinforcement before
concrete beam failure. Meanwhile, steel-reinforced concrete beams experienced a
tension failure, the concrete failure immediately after the reinforcement has yielded.
Regarding FRP reinforced concrete beams with over-reinforced reinforcement, the
failure was compression—a concrete failure before yielding the reinforcement.
References
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78:112–125
2. D’Antino T, Triantafillou TC (2016) Accuracy of design-oriented formulations for evaluating
the flexural and shear capacities of FRP-strengthened RC beams. Struct Concr 17(3):425–442
3. Deng J, Eisenhauer Tanner J, Mukai D, Hamilton H, Dolan C (2015) Durability performance
of carbon fiber-reinforced polymer in repair/strengthening of concrete beams. ACI Mater J 11
(2):247–257
4. Pellegrino C, Maiorana E, Modena C (2009) FRP strengthening of steel and steel-concrete
composite structures: an analytical approach. Mater Struct 42(3):353–363
5. Wang JU, Gangarao H, Liang R, Liu W (2016) Durability and prediction models of
fiber-reinforced polymer composites under various environmental conditions: a critical
review. J Reinf Plast Compos 35(3):179–211
6. Singh SB (2015) Analysis and design of FRP reinforced concrete structures. McGraw-Hill
Education, New York
7. Zhuang N, Zhou Y, Ma Y, Liao Y, Chen D (2017) Corrosion activity on CFRP-strengthened
RC piles of high-pile wharf in a simulated marine environment. Adv Mater Sci Eng
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8. Al-Khafaji AF, Myers JJ, Wang W (2021) Bond assessment of two types of SRP
strengthening systems subjected to severe conditions. Constr Build Mater 273:121968
9. Nanni A (2001) Guides and specifications for the use of composites in concrete and masonry
construction in North America. In: International workshop on composites in construction,
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mechanics and design. CRC Press, New York
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multilayered and fibre-reinforced composites. NATO ASI Series (3. High Technology), vol
43. Springer, Dordrecht. https://doi.org/10.1007/978-94-007-0868-6_1
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for reinforced concrete beams with changes in concrete condition. Compos Part B Eng
161:514–529
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by conical-nosed projectiles. Compos Struct 81(2):243–252
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Dr. Saharjo Road Condition Audit
Using IRAP Method to Achieve 3 Star
Rating
Ni Luh Putu Shinta Eka Setyarini and Garry Edison
Abstract Traffic accidents are not just individual tragedies, but they also hinder
economic growth, especially in developing countries. Traffic accidents continue to
increase every year. One of the reasons is that there are still many roads that haven’t
applied the principle of safe roads to their design. The increase in traffic accidents
shouldn’t be underestimated because traffic accidents are predictable and prevented.
To reduce the risk of accidents, it is necessary to carry out a strategy to improve
road safety using existing methods. One of the methods is International Road
Assessment Programme (IRAP) which was used in this study on Dr. Saharjo Road
to achieving star ratings 3. From the observation, it was found the existing road
conditions were very good for the vehicle occupant it had reached 4 stars, and it was
functional for motorcycles and bicycles it had reached 3 stars, but for pedestrians on
the road is still lacking in facilities because it only reaches 2 stars. So, it is necessary
to do countermeasures through the existing treatment options to increase the star
rating to 3 stars in all road users.
Keywords Accident Road safety IRAP Dr. Saharjo road
1 Introduction
Based on the data received from the police and published by the Ministry of
Transportation stated that across 2016 happened as many as 105,374 accident cases
caused losses which are estimated to reach 2.9–3.1% of Indonesia’s total Gross
Domestic Product (GDP) [1]. There is a hypothetical statement that stated a positive
relationship between GDP and the traffic accident number that caused death or
injury [2]. Along with the increment of traffic accidents in Indonesia, it’s harder to
achieve good economic growth and development. Therefore, a country from both
N. L. P. S. E. Setyarini (&) G. Edison

Department of Civil Engineering Study Program, Tarumanagara University, Jl. Letjen S.
Parman No. 1, Jakarta, Indonesia
e-mail: niluhs@ft.untar.ac.id
https://doi.org/10.1007/978-981-16-7949-0_24
266 N. L. P. S. E. Setyarini and G. Edison
government and society’s point of view, especially in Indonesia, needs to pay more
attention and become more responsive in doing preventive and treatment measures
to the occurring accident [3].
Indonesia has also done a traffic accident preventive measure by assembling
Presidential Instruction Number 4 of 2013 about a safety action program decade,
and by forming Government Regulation Number 37 of 2017 about traffic and road
transport safety. The inaction of Section 206 Government Regulation Number 37 of
2017, traffic and road transport safety can be done by using road safety improve-
ment strategies approach with some conditions.
A road segment that has a high number of accidents and fatality rate should
receive special attention to decrease both the road accident and fatality rate [4]
because basically, road accidents are predictable and preventable [5]. To improve
road safety, finding and fixing the existing problem is very important to prevent
reoccurring accidents in the same spot [6].
To be able to do a preventive and treatment measure also to improve the road
safety optimally, road condition assessment is needed for the existing and opera-
tional road [7]. It can be done by using the International Road Assessment
Programme (IRAP) method to evaluate the accident-prone area in Dr. Saharjo
Road, Menteng Atas Village, Setiabudi District, as shown in Fig. 1. IRAP method
can give a measurement to the road safety performance from the road infrastructure
point of view. IRAP method can also give the needed treatment recommendation
based on the generated performance measurement [8].
Based on this description, this research is to conduct a study of road safety
evaluation that has been carried out on the main road of Jakarta, namely Jenderal
Sudirman Road, using the IRAP method to achieve Star Rating 4 by examining the
existing along with road Star Rating. The examined roads and provide input on
improving problematic roads. This research has the following objectives:
1. To find out the Safer Road Investment Plan (SRIP) and calculate the existing
star rating of Dr. Saharjo Road using the IRAP method.
2. To find out how to reach Star Rating 3 for Dr. Saharjo Road using the IRAP
method.
3. To determine the advantages of the IRAP method through the handling and
calculation of the Benefit Cost Ratio (BCR).
The benefit of this research is to provide an evaluation of the IRAP method that
was implemented in Indonesia, as well as to provide recommendations for how to
repair Dr. Saharjo Road Jakarta that was carried out.
Dr. Saharjo Road Condition Audit Using … 267
Fig. 1 Dr. Saharjo road section. Source Google Maps
2 Literature Review
Traffic safety is a form of effort/method to prevent accidents in the form of security,

comfort, and economy in moving cargo (people or goods/animals) by using certain
means of transportation through certain media or routes from the location/place of
origin to the location/place of destination, travel [9].
Traffic accidents are a negative event of road infrastructure and accidents also
pose a risk to the safety of road users which also results in damage to vehicles and
goods so that they become material losses [10].
The International Road Assessment Program (IRAP) is a road assessment pro-
gram developed by an international organization in the field of road safety that has
succeeded in developing ways of assessing road safety for road users through
determining the value or risk score that may occur due to road infrastructure ele-
ments [11]. There are four protocols in IRAP:
1. Risk mappings, which is road risk mapping using detailed accident data to
describe the actual number of deaths and injuries on a road segment.
2. Star Rating, which is the performance shown by a road segment to be classified.
In a road segment, there are four modes that were assessed for its star rating,
namely passenger vehicles, motorbikes, bicycles, and pedestrians. Increase the
star rating on a road segment,
3. A safer road investment plan, which is the preparation of a star rating plan for a
road segment. To increase the star rating on a road segment, eligible costs
(affordable, eligible) were needed so that one alternative it’s was chosen from
the best planning.
4. Performance tracking, tracking of a road segment which is repeated continu-
ously and re-evaluated.
Road Attribute is an element in a road segment such as markings, signs, geo-
metric, road sections, complementary road buildings, road equipment.
Star Ratings are based on road inspection data and provide simple and objective
measures of road elements installed for passenger vehicles, motorcyclists, cyclists,
and pedestrians. Roads with a five-star rating are the safest, while roads with a
one-star rating are the least secure. Coding the path attribute is at the heart of the
IRAP method. The purpose of coding road attributes is to use images from the
geometric reference of the road collected during the survey and record the road
attributes of each 100 m segment. Risk factors or Crash Modification Factors
(CMF) are used in the IRAP method to relate road attributes and accident rates.
CMF is a multiplier factor to estimate the number of accidents after a counter-
measure is applied to a certain place. A total of 94 precautions/countermeasures can
be used in the IRAP method.
IRAP is a method for measuring the road safety rate based on the infrastructure
condition and situation also plans a treatment measure to increase the road safety
quality that is developed by a Non-Profit Organization. The purpose of having a
partnership with a government and non-government organization was to:
Star Rating
Road Survey Star Rating
Scores
Safer Road
Road Coding Countermeasure
ilnvestmen Plan
Detailed Estimate of death

Supporting Economic
Condition and serious injury
Data Assessment
Report prevented
Fig. 2 IRAP road inspection, star rating, and SRIP

1. Assessing the road with high risk and developing a star rating along with a safer
road investment plan as shown in Fig. 2.
2. Giving training, technology, and support that can be built and maintain the
national, regional, and local ability.
3. Tracking the road safety performance to ensure the investor can assess potential
profit from their investment.
4. Has been implemented in many countries, e.g., Brazil, China, Malaysia,
Australia, New Zealand, South Africa, India with a real achievement, including
in Indonesia.
5. IRAP could evaluate the countermeasure result by calculating the BCR for it to
be compared quantitatively (With currency value).
6. Could calculate the recommended implementation result by taking account of
the quantitative decrease in the accident rate.
The survey method is direct observation at the location to be reviewed. This method
is the primary method of this research which covers many aspects, including
geometric, road sections, road markings and signs, road complementary buildings,
and road equipment, namely on Jenderal Sudirman Road. Researchers used Google
Street View and Google Earth to get the results of the observations and analyze
them by the IRAP method. The IRAP method was used to determine and analyze
the star rating of the existing roads. In the initial stage, coding is carried out every
100 m road segment according to the Road Attribute form. The attributes reviewed
were 78 elements, 66 technical and 12 non-technical. The crash type scores formula
can be seen in Eq. 1.
Crash Type Scores ¼Likelihood Severity Operating speed

ð1Þ
External flow influence Median traversability
Likelihood refers to the risk factors for the road attribute, which take into
account the possibility of accidents occurring. Severity refers to the road attribute
risk factors that explain the severity of the accident. Operating Speed refers to the
factors that describe the extent to which risk changes with speed. External flow
influence factors explain the extent to which a person’s risk is involved in an
accident which is a function of road use. Median traversability factors take into
account the potential for a wrong vehicle to cross the median (only applies to
collisions of one vehicle and direct collisions of passenger vehicles and
motorcyclists).
The SRS represents the relative risk of death and serious injury for individual
road users and the value expressed in Eq. 2.
X
SRS ¼ Crash Type Scores ð2Þ
The SRS value was compared with the Star Rating Band table to obtain the Star
Rating results, describe in Table 1
Each color represents a star rating as follows: black in sections represents Star
Rating 1, red in sections represents Star Rating 2, orange in sections represents Star
Rating 3, yellow in sections represents Star Rating 4, and green in sections rep-
resents Star Rating 5. Calibration of accident victims is carried out to relate the
amount of traffic flow to the types of accidents that may occur on these roads within
one year.
Used the formula of CF VO RO-D = calibration factor for vehicles with a single
passenger accident (driver’s side), n = number of segments per 100 m, SRS
VO = Star Rating Score for passenger vehicles, a = AADT multiplier = 1,
AADT = average daily traffic average, b = AADT power = 1, Fatality growth = 1.
The CF VO RO-D = calibration factor for vehicles with a single passenger accident
(driver’s side) seen in Eq. 3.
the real number of victims dying in a single accident on a road segment

CF VOROD ¼ P
n b
t¼1 SRSvo aðAADTÞ AADT without MC Fatality growth
ð3Þ
With Severity Index we can refers and accounted to the road attribute risk factors
that explain the severity of the accident seen in Eq. 4.
the real number of victims who injured in the network=area

SI ¼ F ð4Þ
the real number of victims who died in the network=area
The next step is calculate FSI total = total number of deaths and serious injuries
and calculation of BCR to see the treatment is feasible (BCR value > 1 = feasible),
the formula of benefit of the countermeasure can be pictured in Eq. 5.
Benefit ¼ FSI Saved GDP per capita ð5Þ
Table 1 Star rating band [12]

Star rating Star rating score
Vehicle occupants and motorcyclists Bicyclists Pedestrians
Total
5 0 to <2.5 0 to <5 0 to <5
4 2.5 to <5 5 to <10 5 to <15
3 5 to <12.5 10 to <30 15 to <40
2 12.5 to <22.5 30 to <60 40 to <90
1 22.5+ 60+ 90+
With FSI Saved = the number of victims who died and serious injuries were
spared after treatment; GDP per capita = gross domestic product per capita.
4.1 Coding of Dr. Saharjo Existing Road Condition Survey

Result
The data that was obtained from the survey through Google Street View and
Google Maps was used for coding to obtain Dr. Saharjo’s existing road element risk
factor. The coding process was done for every 100 m road segment. Table 2 is the
coding example for five road attributes and risk factors from the first segment of the
existing road.
4.2 Initial Score Rating
To obtain the initial score rating on each road segment, the SRS equation was used.
The SRS calculation was done to each road segment, or every 100 m was done
based on each road user which is the car, motorcycle, bicycle, and pedestrian. SRS
value was adjusted with the risk level, and if the SRS value is high, then the risk
level was high, which caused the road to have a low star rating. SRS calculation for
vehicle occupant on run-off accident on the Dr. Saharjo Road for every 1 km
segment was described in Table 3.
The rating score from the SRS equation used to calculate vehicle occupant,
motorcyclist, cyclist, and pedestrian was converted into the star rating range for
each road user. The result compilation for all segments is described in Table 4. In
segments 1–7 and segment 10, the star rating of the existing road for vehicle
occupant, motorcyclist, cyclist, and pedestrian are 4, 3, 3, and 2. That means Dr.
Saharjo’s existing road safety condition for the vehicle occupant is high, for
motorcyclists and cyclist is worthy of usage, and for the pedestrian, it is very bad.
Table 2 Coding attribute example to obtain the vehicle occupant risk factor
No. Attributes Category Vehicle
Occupant
1 Lane width Narrow ( 0 to 2.75 m) 1.1 1.1
2 Curvature Straight or gently curving 1 1
3 Quality of curve Adequate 1 1
4 Delineation Poor 1.2
5 Shoulder rumble strips Not present 1.2
Table 3 Example of the SRS equation for vehicle occupant on run-off accident (driver side)
Type of risk factor Category Risk Score
factor
Road attribute (likelihood)
Lane width Narrow ( 0 to 2.75 m) 1.1
Curvature Straight or gently curving 1
Quality of curve Adequate 1
Delineation Poor 1.2
Road condition Medium 1.2
Grade 0 to <7.5% 1
Skid resistance/grip Sealed—medium 1.4
Product of road attribute (likelihood) risk factors 2.66112
Road attribute (severity)
Median type Physical median width 1.0 m 80
to <5.0 m
External flow 4221 vehicles/day 0.5
influence
Operating speed 50 km/h 0.02
Head-on (loss-of-control) star rating score 2.128896
Table 4 Dr. Saharjo road star rating compilation

Star rating Road user
Seg. Seg. Seg. Seg. Seg. Seg. Seg. Seg. Seg. Seg.
1 2 3 4 5 6 7 8 9 10
4 4 4 4 4 4 5 5 5 4 Vehicle
occupant
3 3 3 3 3 3 3 3 3 3 Motorcyclist
3 3 3 3 3 3 3 3 3 3 Bicyclist
2 2 2 2 2 2 3 3 3 2 Pedestrian
4.3 Countermeasure
Countermeasure to improve the star rating to 3 through the existing treatment

option. The treatments that were chosen are fences in the median, fences on side-
walks, and speed limit signs. Table 5 is the accident data for vehicle occupant that
has been calibrated with star rating score, and Table 6 is the example for treatment
on vehicle occupant that shows fatal and injury saved if the treatment was done.
Table 5 Vehicle occupant FSI crash type

Crash type Fatality Serious injury
Run-off driver side 0.0208 0.2076
Run-off passenger side 0.0726 0.7265
Head-on lost of control 0.2767 2.7675
Head-on overtaking 0.0000 0.0000
Intersection 0.0737 0.7371
Property accident 0.0000 0.0000
Table 6 Countermeasure for vehicle occupant

Vehicle Risk factor Accident Effectivity FSI
occupant type (%) saved
Countermeasure Before After
Median type Median 0 m Safety
to < 1.0 m barier—
metal
90 0 Head-on 100 3.0442
lost of
control
Road fence Building Road
fence
60 12 Run-off 80 0.6392
passenger
side
Speed None Exist
limitation signs 1.25 1 Intersection 20 0.1621
4.4 Economic Assessment
The economic assessment was started with the alternative cost calculation for the
road element changes that were done in Table 7.
The treatment cost also needs to be optimized with the budget constrain. BCR
calculation was used to find out whether the cost for the treatment has already been
optimized. Treatment benefits that can be obtained from the calculation are the
reduction in FSI which has been calculated. Treatment cost is calculated based was
obtained from data by the Center for National Road Implementation VI.
BCR calculation for treatment measures shows that all of the treatment that was
done benefits in the next 20 years as the IRAP recommended. Table 8 shows the
countermeasure needs a budget of IDR 8,840,597,002 for a 20-year period that
generates a profit from the decrease of road accident rate that has been calculated at
IDR 6,058,918,001 for the fence addition in the median along 700 m in the
Table 7 Draft budget and treatment cost for 20-year period

Needed treatment Unit price Total (IDR) Cost (IDR)
(IDR)
Fence installation on 1000 m 2,500,000 2,500,000,000 5,180,240,001
sidewalks
Fence installation in median 700 m 2,500,000 1,750,000,000 3,626,168,001
40 km/h speed limitation 4 unit 2,750,000 11,000,000 22,793,000
signs
40 km/h end of speed 2 unit 2,750,000 5,500,000 11,396,001
limitation signs
Table 8 Benefit of accident treatment on pedestrian for 20 years period

Countermeasure Cost (IDR) Benefit (IDR) BCR
Median type 3,626,168,001 66,058,918,001 18.22
Road fence 5,180,240,001 63,892,866,001 12.33
Speed limitation signs 34,189,001 3,945,474,002 115.40
Total 8,840,597,002 133,897,258,004 15.15
20 years, then a profit of IDR 63,892,866,001 for the fence addition on the side-
walk, and a profit of IDR 3,945,474,002. BCR result of 15.15 was obtained for all
treatments. With the benefit/cost result is above 1, then the treatment is considered
worthy.
4.5 Final Score Rating
After the SRS value for each road user on each 100 m road segment was obtain, the
SRS value was allocated to the star rating value to determine the star rating for each
road segment. Data compilation of initial star rating is shown in Table 9. It can be
seen that the road condition which has been countermeasure on each road segment
has a star rating increment for the vehicle occupant and pedestrian. It happened
because the road elements treatment measure has been rated based on the worthi-
ness standard of the BCR method. With the addition of sidewalks fence, speed limit
signs, and fence in road median gives a result which is the achieved star rating for
all of the road users are 3 or more, and it made this road became a forgiving road.
Table 9 Dr. Saharjo road final star rating compilation

Star rating Road user
Seg. Seg. Seg. Seg. Seg. Seg. Seg. Seg. Seg. Seg.
1 2 3 4 5 6 7 8 9 10
5 5 5 5 5 5 5 5 5 5 Vehicle
occupant
3 3 3 3 3 3 3 3 3 3 Motorcyclist
3 3 3 3 3 3 3 3 3 3 Bicyclist
4 4 4 4 4 4 4 4 4 4 Pedestrian
5 Conclusion
Based on the data analysis done by using the IRAP method, the conclusion was:
1. From segment 1–6 and 10 in Dr. Saharjo Road Jakarta, star rating 4, 3, 3, and 2
was obtained for the car, motorcycle, bicycle, and pedestrian on the existing and
also because of the fence in the median for segment 7–9, star rating for each
road user was 5, 3, and 2.
2. Road existing condition for the car has already had a high safety condition, for
the motorcycle and bicycle are categorized as worthy of usage, and for the
pedestrian still very bad, which is proved by the star rating of 2.
3. For the pedestrian, crossing the road is being reevaluated for its possibility and
severeness since it is the most troublesome one. Reevaluation was done in order
to increase the star rating to 3 and 4 stars through the existing treatment mea-
sure. The pedestrian fence was chosen as the treatment measure because by
adding the fence in the median and sidewalk. Hopefully, it decreases the acci-
dent possibility for pedestrians.
4. The final star rating in Dr. Saharjo Road after countermeasure was done to the
car, motorcycle, bicycle, and the pedestrian is 5, 3, 3, and 4. It means that by the
increment of star rating on this road, the accident possibility and fatality
decrease.
5. The advantage of using the IRAP method is that issuing recommendations was
done by a certain computerized algorithm based on the international applied
empiric rules and faster analysis procedure. Also, besides give a treatment
recommendation, it also gives a road attribute rating and the benefits after
implementation.
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Accessed 20 Sep 2020
Analyzing Zones and Accessibility
of Public Senior High School
in Makassar City
Ardiansyah, Syafruddin Rauf, and Sumarni Hamid Aly
Abstract This research analyses the accessibility of public transportation to senior

high school locations. There are 12 public transportation routes with 5 sample
public senior high schools (SMA Negeri) and 474 students in research of acces-
sibility base on total time and total distance. We use two data in this research,
walking to school from public transportation and walking to public transportation
from school. SMA Negeri 4 Makassar has high accessibility of public transporta-
tion, and it’s very good, SMA Negeri 5 Makassar has high accessibility and low
accessibility of public transportation and then it is good, SMA Negeri 8 Makassar
has very low accessibility public transportation and then it is so bad and must add
another public transportation routes around it, SMA Negeri 16 Makassar has low
accessibility of public transportation and very low accessibility of public trans-
portation and then a closer public transportation route must add, and SMA Negeri
21 Makassar has medium accessibility of public transportation and then the
accessibility of public transportation good enough for school. So, we hope that an
additional length of public transportation routes to the school location is expected.
In order to be a solution for government relate to public transportation.
Keywords Accessibility Public transportation Geographic information system

(GIS)
Ardiansyah (&) S. Rauf (&) S. H. Aly (&)

Department of Civil Engineering, Hasanuddin University, Gowa, South Celebes, Indonesia
e-mail: ardiday.day@gmail.com
S. Rauf
e-mail: syafrauf@yahoo.co.id
S. H. Aly
e-mail: marni_hamidaly@yahoo.com
https://doi.org/10.1007/978-981-16-7949-0_25
278 Ardiansyah et al.
1 Introduction
The admission zoning system priority closer distance of student residences to

school in addition to increasing students’ comfort level psychologically also
increases students’ and societies’ sense of ownership of the school followed by
parents and surrounding community [1].
Our proposed competitive accessibility measure combines information about the
place of residence of students, the spatial distribution of public schools, and public
transport accessibility into a single measure. Travel-to-school times by public
transport are based on actual commuting times obtained through to use of routing
algorithms provided through an online service [2].
Student’s journey from home to school is related to transportation. Starting from
transportation facilities to infrastructure that connects all trips. Where the student’s
houses are connecting to the school with transportation infrastructure, road. The
influence of traffic flow in students crossing areas makes the problem of density
unavoidable. As the students’ houses are further away from the school, the
accessibility will be lower, which makes the trip even farther, which is directly
proportional to the density of traffic flow. If the trip gets farther, the density point
will pass by students too [3].
The improvement of public transportation facilities is carrying out in order to
attract the public’s interest to choosing these facilities on their movements for
reducing traffic load on road network due to using private vehicles. The lack of
public interest in using public transportation is due to the low accessibility of the
transportation network system [4].
Makassar City has a high population density according to Badan Pusat Statistik
2019 data. High population density is relating to the condition of dense trans-
portation flow [5]. The location of the school is one location of congestion due to the
large number of public transport waiting for passengers or dropping passengers [6].
This research aims to analyze the accessibility of public transportation to the
location of Senior High School.
2 Research Method
Figure 1 shows there are four steps in the research framework. First, the intro-
duction starts from searching literature that relates to the research theme and
developing the hypothesis. Second, preparation for survey. Third, collecting data is
in two ways with primary data and secondary data. Fourth, analysis and modeling
with descriptive and spatial analysis.
2.1 Research Location, Time and Research Tools
This research was conducted from August 2020 to December 2020, during which
time the survey was conducting at the research location. Selection of research
Analyzing Zones and Accessibility of Public … 279
2. SURVEY 4. ANALYSIS &

1. INTRODUCTION 3. DATA COLLECT
PREPARATION, MODELING
TOOLS & MATERIALS
1. LITERATURE 1. SURVEY 1. PRIMARY DATA 1. DESCRIPTIVE

REVIEW LOCATION - School’s Location ANALYZE
- Public - Makassar City’s - Student House’s - School’s Location
Transportation Map Location - Student House’s
- Accessibility - Public Senior High - Questionnaire Location
Research Scope School’s Map

Formulation - Student House’s
- Problem Map
- Purpose - Route’s Map
- Stead
2. SPATIAL
2. SECONDARY
ANALYZE
DATA
- Isochrone map of
- Name & student
accessibility
address
- Public
2. HYPOTHESIS 2. TOOLS & SURVEY transportation total
MODEL - GPS and routes
DEVELOPMENT - Format Survey - Spatial data of
- Analyze the Makassar City
accessibility of
public transportation
to the location of
Senior High School
3. SURVEYOR
PREPARATION
- Survey Training
- GPS Map Camera
testing
Fig. 1 Research framework
location based on preliminary study observation. The regional scope in this research
is Makassar City. There are 22 public senior high schools for this research [7].
Equipment in this research is a GPS application. Where this application we use to
sending the location of the school and student’s home. And a camera to take the
front of the school.
2.2 Data Collect
In this study, we are using 2 data, primary data and secondary data. Primary data,
conducting a direct survey to all locations of public high schools in Makassar City.
By using the GPS application in determining the location of the school. Likewise,
with the home location of students in the research sample, where the surveyors
come to student’s houses and then took the coordinate of students’ houses. After
visiting 22 schools, we take five school samples or 22.5% of public senior high
schools in five zones in Makassar City (North of Makassar, East of Makassar, South
of Makassar, West of Makassar, and Centre of Makassar) as research material
because public transportation routes are not equal to all zone. And immediately to
get accessibility of five zones in Makassar City. Then distribute questionnaires
online and offline to school students. Secondary data, taken from each sample
school administration, the form names and addresses of these students.
2.3 Data Analysis
Public transport route data is obtaining from Dinas Perhubungan Makassar city
which is useful to analyze the accessibility of public transportation to school. The
data is entering into the QGis application. To find out the support of public
transportation for schools, data on students walking down from public transporta-
tion to school, and data on students walking out of school to public transportation.
That data we get from the ORS plugin in the QGis application. The accessibility of
public transportation analyses based on total time and total distance against schools
classify as high, medium, low, and very low. This classification is obtaining from
the results of analysis using SPSS application with percentile statistical method.
Then by using the excel application, the accessibility and percentage of public
transport accessibility determine to get a conclusion.
3 Research Finding and Discussion
3.1 Makassar City Transport Routes
Figure 2 shows the whole of public transport fleets operating in Makassar City
which are 4113 units. And there are 12 city transportation service routes that go
along the corner of Makassar City. In Fig. 2, there are 22.72% of public senior high
Fig. 2 Makassar public transportation routes map

Table 1 Makassar city public transport route

Code Street Name Length
A Jl. Jend. Sudirman—Jl. DR. Ratulngi—Jl. S. Alauddin 24.252
B Jl. Sulawesi—Jl. Ahmad Yani—Jl. Botolempangan—Jl. Arief Rate—Jl. 22.449
Cendrawasih—Jl. Daeng Tata
B1 Jl. Kampus Unhas—Jl. P. Kemerdekaan—Jl. Urip Sumoharjo—Jl. 35.509
Bawakareang—Jl. Botolempangan—Jl. Arif Rate—Jl. Cendrawasih
C Jl. Cokroaminoto—Jl. Bandang—Jl. Mesjid Raya—Jl. Bawakaraeng—Jl. 11.322
Sunu—Jl. Pongtiku—Jl. A. R. Hakim—Jl. Gatot Subroto—Jl. Juanda
D Jl. Kapasa Raya—Jl. P. Kemerdekaan—Jl. Urip Sumoharjo—Jl. Andalas 28.068
—Jl. K. H. Ramli—Jl. Cokroaminoto—Jl. Mesjid Raya
E Jl. Toddopuli Raya—Jl. Tamalate—Jl. Mapala—Jl. A. P. Pettarani—Jl. 20.770
Urip Sumoharjo—Jl. Andalas—Jl. P. Diponegoro—Jl. Bandang—Jl.
Mesjid Raya
E1 Jl. Kampus Unhas—Jl. P. Kemerdekaan—Jl. Dr. J. Leimena—Jl. Abd. Dg. 30.650
Sirua—Jl. A. P. Pettarani—Jl. Hertasning—Jl. Toddopuli Raya
G Jl. Kalimantan—Jl. Tentara Pelajar—Jl. Yos Sudarso—Jl. Pannampu—Jl. 28.690
Galangan Kapal—Jl. Teuku Umar—Jl. Prof. Ir. Sutami—Jl. Kapasa Raya
H Jl. Dr. J. Leimena—Jl. Urip Sumoharjo—Jl. Jend. Sudirman—Jl. 23.313
Cokroaminoto—Jl. Dr. W. Sudirohusodo—Jl. P. Diponegoro—Jl. Andalas
—Jl. Mesjid Raya
I Jl. Toddopuli Raya Timur—Jl. Batua Raya—Jl. Urip Sumoharjo—Jl. Jend. 18.689
Sudirman—Jl. Cokroaminoto—Jl. Dr. W. Sudirohusodo—Jl.
P. Diponegoro—Jl. Andalas—Jl. Mesjid Raya
J Jl. Toddopuli Raya—Jl. Tamalate—Jl. S. Alauddin—Jl. Dr. Sam Ratulangi 22.025
—Jl. Jend. Sudirman—Jl. Cokroaminoto—Jl. Nusa Kambangan
S Jl. Tamalanrea Raya—Jl. P. Kemerdekaan—Jl. Urip Sumoharjo—Jl. 27.384
G. Latimojong—Jl. Andalas—Jl. K. H. Ramli—Jl. Cokroaminoto—Jl.
G. Bulusaraung—Jl. Mesjid Raya
schools that traverse by public transport routes. This will not make public trans-
portation being the main choice.
Table 1 shows the total distance route of public transport and street name of
traverse and average distance route of public transportation length in Makassar City
is 24.42 km, with the longest distance is code B1 with 35.50 km and the shortest
distance is code C with 11.32 km.
3.2 Time and Distance on Foot from Public Transportation

to School
There are 474 student samples from 5 schools in Fig. 3 showing time and Fig. 4
showing distance to walk down from public transportation to the school location.
At SMA Negeri 4 Makassar, there is one point where students get off from public
transportation, which is right in front of the school at a distance of 2 m with a time
Time (minutes) 15
10
5
0
171
1
18
35
52
69
86
103
120
137
154
188
205
222
239
256
273
290
307
324
341
358
375
392
409
426
443
460
Sample
Fig. 3 Time on foot from public transportation to school
in 10 s. At SMA Negeri 5 Makassar, there are three points where students drop off
from public transportation, right in front of SMA Negeri 5 Makassar with a distance
of 2 m in 10 s, a distance of 112 m with a time in 1 min 19.2 s, and a distance of
116 m in 1 min 22.8 s. At SMA Negeri 8 Makassar, there are three points where
students drop off from public transportation, a distance of 479 m in 5 min 45.6 s, a
distance of 671 m in 8 min 2.4 s, and a distance of 1 km 59 m in 12 min 43.2 s.
At SMA Negeri 16 Makassar, there are three points where students drop off from
public transportation, 118 m in 1 min 26.4 s, a distance of 271 m in 3 min 14.4 s,
and a distance of 399 m in 4 min 48 s. At SMA Negeri 21 Makassar, there is one
point where students drop off from public transportation, a distance of 54 m in
39.6 s.
3.3 Time and Distance on Foot from School to Public

Transportation
There are 474 student samples from 5 schools in Fig. 5 showing time and Fig. 6
showing distance on foot out of school to public transportation. At SMA Negeri 4
Makassar, there is one point location to take public transportation, which is right in
front of the school at a distance of 2 m in 10 s. At SMA Negeri 5 Makassar, there
are three-point locations for public transportation, in front of SMA Negeri 5
Makassar with a distance of 2 m in 10 s, a distance of 112 m in 1 min 19.2 s, and a
distance of 116 m in 1 min 22.8 s. At SMA Negeri 8 Makassar, there are
three-point locations for public transportation, distance 479 m in 5 min 45.6 s,
distance 671 m in 8 min 2.4 s, and distance 1 km 59 m in 12 min 43.2 s. At SMA
Negeri 16 Makassar, there are three points to take public transportation, distance
118 m in 1 min 26.4 s, distance 271 m in 3 min 14.4 s, and distance 399 m in
4 min 48 s. At SMA Negeri 21 Makassar, there is one point location for public
transportation, the distance of 54 m in 39.6 s.
Distance (meter)
1500
1000
500
0
1
18
35
52
69
86
103
120
137
154
171
188
239
205
222
256
273
290
307
324
341
358
375
392
409
426
443
460
Sample
Fig. 4 Distance on foot from public transportation to school
15
Time (minutes)
10
5
0
222
307
392
52
137
1
18
35
69
86
103
120
154
171
188
205
239
256
273
290
324
341
358
375
409
426
443
460
Sample
Fig. 5 Time on foot from school to public transportation

Distance (meter)
1500
1000
500
0
290
307
1
18
35
52
69
86
103
120
137
154
171
188
205
222
239
256
273
324
341
358
375
392
409
426
443
460
Sample
Fig. 6 Distance on foot from school to public transportation
3.4 Accessibility Based on Distance
Accessibility based on distance can be determined from total distance on foot

student to public transportation around schools to see the role of public trans-
portation for school. There are 2 data add in this study, distance walking to school
and distance walking to public transportation.
Table 2 shows the classification of level accessibility base on total distance is
dividing into four parts, starting from high, medium, low, and very low level. This
classification is obtaining from results of analysis using SPSS application with
percentile statistical method.
Table 2 Accessibility Classification

classification based on total
distance High accessibility Distance 4 m
Medium accessibility 4 m < Distance 108 m
Low accessibility 108 m < Distance 517 m
Very low accessibility Distance >517 m
Figure 7 shows the Isochrone map of the QGIS application. We make this
starting from input classification accessibility based on distance nominal to
Isochrone Map plugin and the area in every level automatically showing. The white
zone is showed high accessibility, the pink zone is showed medium accessibility,
the red zone is showed low accessibility, and the dark red is showed very low
accessibility.
Table 3 shows the result percentage of public transport accessibility base on the
distance of the school sample. SMA Negeri 4 Makassar has high accessibility base
on total distance with a value of 100%, SMA Negeri 5 Makassar has high public
transportation accessibility with a value of 70.09%, and accessibility of public
transportation is low with a value of 29.91% base on total distance, SMA Negeri 8
Makassar has very low public transportation accessibility with a value of 100%
base on total distance, SMA Negeri 16 Makassar has low public transportation
accessibility with a value of 68.93% and very low public transportation accessibility
Fig. 7 Isochrone map of accessibility classification based on distance

Table 3 Accessibility percentage based on total distance

Accessibility Schools
SMA SMA SMA SMA SMA
Negeri 4 Negeri 5 Negeri 8 Negeri 16 Negeri 21
Makassar Makassar Makassar Makassar Makassar
High 100% 70.09% 0% 0% 0%
Medium 0% 0% 0% 0% 100%
Low 0% 29.91% 0% 68.93% 0%
Very low 0% 0% 100% 31.07% 0%
with a value of 31.07% base on total distance. And SMA Negeri 21 Makassar has
medium public transportation accessibility with a value of 100% base on total
distances.
3.5 Accessibility Based on Time
Accessibility based on time can be determined from the total foot time of students
on public transportation around the school to see the role of public transportation
for schools. There are 2 data adding in this study, time walking to school and time
walking to public transportation.
Table 4 shows the classification of level accessibility based on total time is
dividing into four parts, starting from high, medium, low, and very low level. This
classification is obtaining from results analysis using SPSS application with per-
centile statistical method.
Figure 8 shows the Isochrone map of the QGIS application. We make this
starting from input classification accessibility based on time nominal to Isochrone
Map plugin and the area in every level automatically showing. The white zone is
showed high accessibility, the pink zone is showed medium accessibility, the red
zone is showed low accessibility, and the dark red is showed very low accessibility.
Table 5 shows the results percentage of public transport accessibility base on
time in sample schools. SMA Negeri 4 Makassar has high accessibility base on total
time with a value of 100%, SMA Negeri 5 Makassar has high public transportation
accessibility with a value of 70.09%, and accessibility of public transportation is

classification based on total
time High accessibility Time 20 s
Medium accessibility 20 s < Time 1 m 19.2 s
Low accessibility 1 m 19.2 s < Time 6 m 14.4 s
Very low accessibility Time > 6 m 14.4 s
Fig. 8 Isochrone map of accessibility classification based on time
low with a value of 29.91% based on the total time, SMA Negeri 8 Makassar has
very low public transportation accessibility with a value of 100% base on the total
time, SMA Negeri 16 Makassar has low public transportation accessibility with a
value of 68.93% and very low public transportation accessibility with a value of
31.07% base on the total time, and SMA Negeri 21 Makassar has medium public
transportation accessibility with a value of 100% base on total time.
Table 5 Accessibility percentage based on total time

Accessibility School
SMA SMA SMA SMA SMA
Negeri 4 Negeri 5 Negeri 8 Negeri 16 Negeri 21
Makassar Makassar Makassar Makassar Makassar
High 100% 70.09% 0% 0% 0%
Medium 0% 0% 0% 0% 100%
Low 0% 29.91% 0% 68.93% 0%
Very low 0% 0% 100% 31.07% 0%
4 Conclusion
The accessibility of public transportation to the location of Senior High School is

seeing from the total distance and total time that students on foot to public trans-
portation around schools to see the role of public transportation for schools. There
are two data adding in this research, total time and total distance walking to school
and total time and total distance walking to public transportation. So that the data
obtains to showing that the accessibility of public transportation is still very low to
Senior High School location. From our research, SMA Negeri 4 Makassar has high
accessibility base on total time and total distance with a value of 100% then the
accessibility of public transportation is very good, SMA Negeri 5 Makassar has
high public transportation accessibility with a value of 70.09% and low public
transportation accessibility with a value of 29.91% base on total time and total
distances and then the accessibility of public transportation is good, SMA Negeri 8
Makassar has very low public transport accessibility with a value of 100% base on
total time and total distances and then it makes public transportation accessibility to
SMA Negeri 8 Makassar very bad and must add public transportation routes around
it, SMA Negeri 16 Makassar has low public transportation accessibility with a value
of 68.93% and public transportation accessibility is very low with a value of
31.07% and then the accessibility of public transportation is poor to serve schools
which must be add public transport route closer, and SMA Negeri 21 Makassar has
medium public transport accessibility with a value of 100% and then the accessi-
bility of public transportation is good enough for schools. An evaluation must make
for good accessibility of public transportation and as soon as possible to add other
public transportation routes to school locations and the surrounding locations.
Acknowledgements We would like to thank all those who support this research: our parents who
always provide moral and material support, our supervisors Mr. Syafruddin Rauf and Mrs.
Sumarni Hamid who give their time in preparation of this research, to school principals and staff
who supported us in sampling the research, to leader and staff of BPS Makassar City, and to leader
and staff of Dinas Perhubungan Makassar City who gives us access to data collection.
References
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zoning system for acceleration education quality in Indonesia. Journal of Management Info
6:19–24
2. Moreno-Monroy IA, Ramos FR, Lovelace R (2018) Public transport and school location
impacts on educational inequalities: insights from São Paulo. J Transp Geogr 67:110–118
3. Rauf S, Aboe F, Samang L (2013) Rute Pemetaan Dan Permintaan Angkutan Umum Kampus
Universitas Hasanuddin Makassar Berbasis Quantum Gis Open Source, 1–10
4. Suthanaya PA (2009) Analisis Aksesibilitas Penumpang Angkutan Umum Menuju Pusat Kota
Denpasar di Provinsi Bali. GaneC Swara Edisi Khusus 3:87–93
5. Tamin O (2000) Perencanaan & Pemodelan Transportasi. Bandung Institute of Technology,
Bandung, Indonesia
6. Perdana N (2019) Implementasi PPDB zonasi dalam upaya pemerataan akses dan mutu
Pendidikan. Jurnal Pendidikan Glasser 3:1–15
7. Kementerian Pendidikan dan Kebudayaan Republik Indonesia (2019) Peraturan Menteri
Pendidikan dan Kebudayaan Republik Indonesia Nomor 44 Tahun 2019 tentang Penerimaan
Peserta Didik Baru pada Taman Kanak-kanak, Sekolah Dasar, Sekolah Menengah Pertama,
Sekolah Menengah Atas, dan Sekolah Menengah Kejuruan, Jakarta, Indonesia
Evaluation Readiness of Contractor
and Government in Implementing
the Road Preservation Program: Case
Study National Road in Indonesia
Maharani Pasha Umar, Ayomi Dita Rarasati,

and R. Jachrizal Sumabrata
Abstract The implementation of the road preservation program in Indonesia has

been regulated by the Ministry of Public Works and Public Housing to ensure that
road infrastructure can carry out its role properly to improve Indonesia’s social and
economic mobility. The implementation of the road preservation program is very
dependent on the stakeholders who carry it out. The performance indicators of
contractors and government are the main things in achieving the quality of the
output from implementing the road preservation program. The contractor’s per-
formance and government’s performance were obtained from the distribution of
questionnaires filled out with a total of 62 respondents. The results show that the
readiness of the contractor to support the government is 80.65%, the attitude of the
contractor is 93.55%, the understanding of the contractor is 90.32%, the financial
aspect is 93.54%, and the accuracy of the schedule is 80.65% of the implementation
performance—road preservation program. Meanwhile, the government’s readiness
for the application of technology was 35.48%, and the government’s attitude was
45.16% on the performance of the road preservation program implementation and
all the hypotheses are accepted.
Keywords Contractor readiness Government readiness Road preservation

program
1 Introduction
Based on data from the Ministry of Public Works and Public Housing, the length of
the national road in Indonesia reaches 47,017.39 km (under the authority of the
central government). Based on road conditions, 50% of national roads are in
moderate, damaged, and severely damaged condition which is 23,293.05 km.
M. P. Umar (&) A. D. Rarasati R. J. Sumabrata

Department of Civil Engineering, Faculty of Engineering, Universitas Indonesia, Depok,
Indonesia
e-mail: maharanipashaumar@gmail.com
https://doi.org/10.1007/978-981-16-7949-0_26
290 M. P. Umar et al.
Meanwhile, 50% of national roads are in good condition which is 23,724.34 km

[1]. According to the United States National Park Service, road conditions will start
to deteriorate due to solar radiation, waterlogging, and traffic loads that are not as
planned [2].
Preventive maintenance is maintenance that is carried out before component
failure in a predetermined period before or by specified criteria and is provided to
reduce the failure rate or deterioration of the function of an object [3]. Meanwhile,
based on the Regulation of the Minister of Public Works Number 13/PRT/M/2011,
road maintenance is divided into 4, namely: (1) routine maintenance, (2) periodic
maintenance, (3) rehabilitation, (4) reconstruction [4]. Suppose the road preserva-
tion program in Indonesia has been running optimally. In that case, good road
conditions in Indonesia should dominate over damaged road conditions, so it is
necessary to evaluate the performance of contractors and the government in
implementing the road preservation program. Meanwhile, based on the surface,
326,629 km (60.7%) of roads in Indonesia are in the form of asphalt, 179,457 km
(33.37%) are gravel and soil, and the surface in other forms reaches 31,752 km
(5.9%).
The indicators that influence the optimal implementation of the road preservation
program carried out by the government are: (1) the application of technology,
(2) government attitude. Apart from the government, indicators that affect the
optimal implementation of the road preservation program carried out by contractors
must also be evaluated, namely: (1) support for the government, (2) contractor
attitude, (3) contractor’s understanding, (4) financial aspects, (5) schedule accuracy.
This research aims to evaluate the performance of contractors and the govern-
ment in implementing the road preservation program from indicators related to the
questionnaire method.
2 Method
The framework used to conduct research using the method of distributing ques-
tionnaires to respondents. Respondents for contractor readiness are government
employees. Meanwhile, respondents for government readiness are contractor
employees with the following criteria for respondents: (1) minimum education
3-year Diploma, (2) minimum three years experience in the road preservation
program.
Respondents will provide an assessment of the implementation of the road
preservation program implemented by the contractor or government to determine
the performance or readiness of the contractor and the government; the assessment
is carried out using a Likert scale from a scale of 1 (strongly disagrees) and 6
(strongly agrees). From 31 people who filled out the questionnaire, 29% had work
experience for 3–5 years, 3% for 11–15 years, while 68% had 16–20 years. And,
45% have educational qualifications as a bachelor’s degree and 55% as an
Evaluation Readiness of Contractor and Government … 291
undergraduate degree. While filling out the questionnaire related to the readiness to
government consisted of 31 respondents with work experience qualifications of
90% for 3–5 years and 10% for 6–10 years. And, 19% have educational qualifi-
cations as an associate’s degree, 78% as a bachelor degree, and 3% as an under-
graduate degree.
The operational research model consists of: (1) literature studies are used to
determine the problem by collecting data from various sources related to the topic
raised, (2) problem identification is used to determine the problem which will be
discussed in research, (3) variable determination is used to specify indicators that
determine the readiness of contractor and government, (4) questionnaire deploy-
ment for the readiness of the contractor is deployed to government employees
whilst questionnaire deployment for the readiness of government is deployed to
contractor employees, (5) data collection is done online which spreads the ques-
tionnaire to the respondents who meet the criteria, (6) validity and reliability test for
the instrument in the questionnaire, from determining indicators the readiness of
contractor and government are divided into 3 categories which are high, medium,
and low, (7) linear regression analysis is done to know if the indicators which affect
the contractor and government readiness to be accepted or not.
3 Data Analysis
3.1 Contractor Readiness
Research to determine the performance of contractors in implementing road

preservation programs using primary data, namely answers from respondents. The
construct variables used in this study consist of 6 indicators with 42 instruments [5–
11], the indicators that affect the readiness of the contractor and indicator the
readiness of the contractor can be seen in Tables 1, 2, 3, 4, 5, and 6.
These are five indicators that determine the contractor’s readiness to implement
the road preservation program, with readiness divided into three categories: high,
medium, and low. The contractor readiness and indicators that affect can be seen in
Tables 7, 8, 9, 10, and 11.
Table 1 Support for the government indicator that affects the readiness of contractor
Variable Reliability Validity
The contractor responds to the government quickly 0.8020654 Valid
The contractor has the same thought as the government Valid
Table 2 Contractor attitude indicator that affects the readiness of contractor

The contractor always coordinates with the government on any 0.87357496 Valid
problems
The contractor takes corrective action for the needs of the project Valid
The contractor selects equipment effectively and as needed Valid
The contractor provides additional resources to meet targets Valid
The contractor conducts the survey on an ongoing basis Valid
The contractor inputs data online and in real-time Valid
The contractor carries out a preservation program in accordance Valid
with the work plan
The contractor evaluates after every repair Valid
The contractor carries out heavy equipment maintenance Valid
The contractor conducts a daily inspection of pavement conditions, Valid
cut and fill, drainage, and all structures
The contractor follows the inspection results for maintenance work Valid
planning
The contractor carries out emergency maintenance in the event of Valid
an accident or disaster
The contractor has technical specifications for road maintenance Valid
based on on-site surveys, natural conditions surveys, social and
environmental surveys
If a scope change occurs, the contractor quickly notifies every Valid
stakeholder
Table 3 Contractor’s understanding indicator that affects the readiness of contractor

The contractor more concerns with project quality 0.8226 Valid
The contractor knows the age of the pavement under review Valid
The contractor knows the cause of the damage Valid
The contractor determines the extent of the damage Valid
The contractor determines the priority of the roads that receive Valid
corrective action
The contractor uses work methods that comply with quality Valid
standards
The contractor uses a work method in accordance with the Valid
characteristics of the material
The contractor uses a work method in accordance with the Valid
environment
The contractor has a form to document field data Valid
Table 4 Financial aspect indicator that affects the readiness of contractor

The contractor has a clear payment system in the internal system 0.6855 Valid
The contractor and the government have a payment agreement that is Valid
in accordance with the agreement
The contractor always coordinates with the government on any Valid
problems
The contractor prepares for construction material price fluctuations Valid
Table 5 Schedule accuracy indicator that affects the readiness of contractor

The contractor always works according to the planned schedule 0.9227 Valid
The contractor prioritizes the project objectives so that there is no Valid
overscheduling
Table 6 Indicators of the readiness of contractor

The project did not exceed the budget due to negligence of the 0.8389 Valid
contractor
The project head has good managerial skills Valid
The contractor distributes the workforce as needed Valid
The contractor has the ability to solve a problem quickly and Valid
precisely
The contractor has experience working on similar projects in the past Valid
Contractors working on projects meet technical specifications Valid
The contractor evaluates the performance of the supplier/ Valid
subcontractor
The contractor has a skilled workforce in implementing road Valid
preservation programs
The contractor applies reward and punishment to workers Valid
The contractor meets safety standards in implementing the road Valid
preservation program
Table 7 Contractor’s Category Interval F %

readiness for support to the
government High 10–12 25 80.65
Medium 6–9 6 19.35
Low 2–5 0 0.00
Total 31 100.00

readiness for support to
contractor’s attitude High 61–84 29 93.55
Medium 38–60 2 6.45
Low 14–37 0 0.00
Total 31 100.00

contractor’s understanding High 44–60 28 90.32
Medium 28–43 3 9.68
Low 10–27 0 0.00
Total 31 100.00

financial aspects High 18–24 29 93.5483871
Medium 11–17 2 6.451612903
Low 4–10 0 0
Total 31 100.00

schedule accuracy High 10–12 25 80.65
Medium 6–9 6 19.35
Low 2–5 0 0.00
Total 31 100.00
3.2 Government Readiness
Research to determine government performance in implementing road preservation

programs uses primary data, namely answers from respondents. The construct
variables used in this study consist of 3 indicators with 36 instruments [7, 9–13], the
indicators that affect the readiness of government and indicators of the readiness of
contractor can be seen in Tables 12, 13, and 14.
There are two indicators determining the government’s readiness to implement
the road preservation program, with readiness divided into three categories: high,
medium, and low. The government readiness and indicators that affect can be seen
in Tables 15 and 16.
Table 12 Technology indicators that affect the readiness of government

The government chooses to use the latest technology in the 0.6761 Valid
implementation of the road preservation program
The government has a development strategy related to road Valid
preservation programs
Table 13 Government attitude indicators that affect the readiness of government

The government collects project-related information 0.8527 Valid
The government gathers stakeholders Valid
At the planning stage, the government conducts negotiations with Valid
stakeholders
The government regularly updates the scheduling Valid
The government manages risks that occur during the implementation Valid
period
The government carefully manages every procurement Valid
At the closing stage, the government closes any work with Valid
stakeholders administratively
The government conducts an environmental and social impact Valid
assessment
The government conducts an evaluation after road repair Valid
The government controls the contractors Valid
The government controls the supervisory consultant Valid
The government controls implementations costs Valid
The government controls the quality of construction Valid
The government carries out routine monitoring Valid
The government maintains a relationship with the community so that Valid
the community always provides input on road conditions
3.3 Linear Regression Analysis
Linear regression analysis is done by comparing t-table and t-test. To get t-test, the
instrument is processed using software SPSS whilst the t-table is got by calculating
(a/2; n − 1). The hypothesis used in this research is:
• H0 = Contractor and government readiness do not affect the implementation of
the road preservation program.
• H1 = Contractor and government readiness affect the implementation of the
road preservation program.
Table 14 Indicators of the readiness of government

The government has the ability and empowerment to implement 0.9504 Valid
road preservation programs
The government has workers with educational qualifications and Valid
skills in accordance with the needs of the person in charge of
implementing the road preservation program
The government has workers who obey the rules that have been set Valid
The government has a budget related to the implementation of the Valid
road preservation program
The government has the engineered funding so that maintenance Valid
funds are always available
The government has managerial experience in the road preservation Valid
program
The government is able to control contract administration Valid
The government has a list of road ownership Valid
The government has a road management list Valid
The government has road identification data under review Valid
The government has documents of the road damage conditions Valid
The government conducts a road structural assessment (IRI score) Valid
twice a year
The government has Average Daily Traffic (ADT) data Valid
The government know the weather conditions Valid
The government has a track record of implementation Valid
The government has Term of Reference (TOR) Valid
The government knows the conditions in the field Valid
The government has the policy to prevent traffic accidents Valid
Table 15 Government Category Interval F %

readiness to technology
application High 10–12 11 35.48
Medium 6–9 19 61.29
Low 2–5 1 3.23
Total 31 100
Table 16 Government Category Interval F %

readiness to government
attitude High 69–96 14 45.16
Medium 43–68 17 54.84
Low 16–42 0 0.00
Total 31 100
The following is the result of the linear regression analysis:

1. Support for the government, from data processing using SPSS software can be
seen in Table 17.
Based on data analysis using SPSS, the result of the regression equation are
shown in Eq. 1.
Y ¼ 25:088 þ 2:642 ð1Þ
With the following conclusions:

• The constant value of the regression equation of the relationship between the
independent variable and dependent variable is 25.088, meaning that if there is
no change in the variable (Support to the Government), then the contractor’s
readiness to implement the preservation is 25.088 units
• The t-test value was 4.496, while the t-table value = 2.04227. so that the t-test
value is bigger than the t-table (4.496 > 2.04227), then h0 is rejected, and h1 is
accepted, so the hypothesis which reads that support for the government affects
the implementation of the road preservation program is accepted.
2. Contractor attitude, from data processing using SPSS software can be seen in
Table 18.
Based on data analysis using SPSS, the results of the regression equation are
shown in Eq. 2.
Y ¼ 8:876 þ 0:618 ð2Þ

• The constant of the regression equation of the relationship between the inde-
pendent variable and the dependent variable is 8.876, meaning that if there is no
change in a variable (Contractor’s Attitude), then the contractor’s readiness for
the implementation of the preservation program is 8.876 units.
• The t-test value was 7.515, while the t-table value = 2.04227. So that the t-test
Table 17 Regression test results in support for the government

Coefficientsa
Model Unstandardized Standardized t Sig
coefficients coefficients
B Std. Beta
Error
1 (Constant) 25.088 6.509 3.854 0.001
Support to the 2.642 0.588 0.641 4.496 0.000
Government
a
Dependent variable: contractor readiness
Table 18 Regression test results contractor attitude

Coefficientsa
B Std. Beta
Error
1 (Constant) 8.876 6.053 1.466 0.153
Contractor 0.618 0.082 0.813 7.515 0.000
attitude
a
Table 19 Regression test results contractor’s understanding

Coefficientsa
B Std. Beta
Error
1 (Constant) 20.179 9.041 2.232 0.034
Contractor’s 0.663 0.176 0.574 3.770 0.001
understanding
a
accepted, so the hypothesis that says contractor attitude affects the implemen-
tation of the road preservation program is accepted.
3. The contractor’s understanding of data processing using SPSS software can be
seen in Table 19.
shown in Eq. 3.
Y ¼ 20:179 þ 0:663 ð3Þ

independent variable and the dependent variable is 20.179, meaning that if there
is no change in a variable (Contractor’s Understanding), then the contractor’s
readiness for the implementation of the preservation program is 20.179 units
• The t-test value was 3.770, while the t-table value = 2.04227. So that the t-test
accepted, so the hypothesis which reads that contractor understanding affects the
implementation of the road preservation program is accepted.
4. The financial aspect, from data processing using SPSS software can be seen in
Table 20.
Table 20 Regression test results financial aspect

Coefficientsa
B Std. Beta
Error
1 (Constant) 13.751 5.817 2.364 0.025
Financial 1.938 0.277 0.792 6.986 0.000
aspect
a
shown in Eq. 4.
Y ¼ 13:751 þ 1:938 ð4Þ

is no change in a variable (Financial Aspect), the contractor’s readiness for the
implementation of the preservation program is 13.751 units
• The t-test value was 6.986 while the t-table value = 2.04227. So that the t-test
accepted, so that the hypothesis that the financial aspect affects the implemen-
5. Schedule accuracy from data processing using SPSS software can be seen in
Table 21.
shown in Eq. 5.
Y ¼ 20:338 þ 3:066 ð5Þ
Table 21 Regression test results schedule accuracy

Coefficientsa
B Std. Beta
Error
1 (Constant) 20.338 3.351 6.070 0.000
Schedule 3.066 0.300 0.884 10.206 0.000
accuracy
a

is no change in the variable (Schedule Accuracy), the contractor’s readiness for
the preservation program is 20.338 units
accepted, so that the hypothesis that reads schedule accuracy affects the
6. Technology, from data processing using SPSS software can be seen in Table 22.
shown in Eq. 6.
Y ¼ 32:170 þ 5:673 ð6Þ

is no change in the variable (Technology Application), then the government’s
readiness to implement the preservation program is 32.170 units
accepted, so the hypothesis which reads that technology affects the implemen-
7. Government attitude, from data processing using SPSS software can be seen in
Table 23.
shown in Eq. 7.
Y ¼ 4:343 þ 1:124 ð7Þ
Table 22 Regression test results technology

Coefficientsa
Model Unstandardized Standardized coefficients t Sig
coefficients
B Std. Error Beta
1 (Constant) 32.170 8.498 3.785 0.001
Technology 5.673 0.964 0.738 5.885 0.000
a
Dependent variable: Government readiness
Table 23 Regression test results government attitude

Coefficientsa
Model Unstandardized Standardized T Sig
B Std. Beta
Error
1 (Constant) 4.343 9.759 0.445 0.660
Government 1.124 0.141 0.828 7.953 0.000
attitude
a
Dependent variable: Government readiness

is no change in the variable (Government Attitude), then the government’s
readiness to implement the preservation program is 4.343 units.
accepted, so the hypothesis which reads that government attitude affects the
4 Conclusion
The contractor’s readiness to support the government was 80.65%, the contractor’s
attitude was 93.55%, the contractor’s understanding was 90.32%, the financial
aspect was 93.54%, and the accuracy of the schedule was 80.65% on the perfor-
mance of the implementation of the road preservation program.
Meanwhile, the government’s readiness for the application of technology was
35.48%, and the government’s attitude was 45.16% on the performance of the road
preservation program implementation, which was obtained from 31 respondents as
government employees and 31 respondents for contractor employees. All the results
from linear regression analysis show all the hypotheses are accepted.
It can be seen from the results that the readiness of contractors from all indicators is
greater than 80% with input from government employees, namely that it must
improve the quality of human resources, while the readiness of the government of
all indicators is not more than 50%. With input from contractor employees,
improving standard operating procedures for road preservation programs and

conducting detailed evaluations every time they perform maintenance. The appli-
cation of technology is unavoidable at this time; the use of an integrated system is
something that can facilitate road maintenance decisions in the implementation of
road preservation programs so that a breakthrough is needed that connects the
information system and the implementation of road preservation program.
References
1. Direktorat Pengembangan Jaringan Jalan (2019) Laporan Kondisi Jalan Nasional. Direktorat
Jenderal Bina Marga, Jakarta, Indonesia
2. National Park Service U.S. Department of Interior (2018) National park service active
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https://doi.org/10.1108/17538371211192900
Analysis of Travel Behavior Under
Flooding Condition Based on Probe
Data in Ubon Ratchathani City,
Thailand
Noriyasu Tsumita, Kohga Miyamura, Sittha Jaensirisak,

and Atsushi Fukuda
Abstract Recently, urban floods have frequently occurred and severely affected
urban activities in developing cities. To minimize the impacts of transport from
urban flooding, it is essential to implement adaptation measures in the transport
field. Firstly, it is crucial to understand the impacts of travel behaviors and traffic
states from urban flooding. Therefore, this study focused on the relationship
between travel speed and inundation depth and evaluating adaptation measures in
the transport field. The relationship between travel speed and inundation depth was
analyzed based on the probe data. A traffic assignment model was developed to
evaluate the raising arterial road measure as an adaptation measure in the transport
field while reflecting the analysis results of relationships between travel speed and
inundation depth. This found that the implementation in raising arterial road
measure for the western bypass could be an effective adaptation measure by
reducing Vehicle Kilometer Traveled (VKT) by 65% while decreasing the number
of detoured by 5000 vehicles compared to the flooding situation without taking any
adaptation measures.
Keywords Travel behavior Urban flooding Probe data Adaptation measure
N. Tsumita (&) K. Miyamura

Program of Transportation Systems Engineering, Nihon University College of Science and
Technology, Narashinodai Funabashi-shi 2748501, Japan
e-mail: csno20001@g.nihon-u.ac.jp
S. Jaensirisak
Department of Civil Engineering, Faculty of Engineering, Ubon Ratchathani University,
Ubon Ratchathani 34190, Thailand
A. Fukuda
Department of Transportation Systems Engineering, Nihon University College of Science and
Technology, Narashinodai Funabashi-shi 2748501, Japan
https://doi.org/10.1007/978-981-16-7949-0_27
304 N. Tsumita et al.
1 Introduction
Nowadays, the impacts of extreme weather events such as downpours and storms
could no longer be neglected in the cities of Southeast Asia. 30% of the total floods
occurred in the Asia region [1, 2]. Urban flooding has caused severe damages to the
residents. Not only does it cause buildings and housings to collapse, but it also
hinders urban activities due to disruptions of road sections and bridges. With the
growing concerns of global warming, the negative impact on transportation tends to
become more severe due to extreme weather events caused by climate change.
Ensuring a resilient urban transport system is necessary to minimize the effects of
urban life on residents and social or economic costs [3, 4].
To counter the effects of urban floods on urban activities, including trans-
portation, it is essential to implement adaptation measures by focusing on the
transport field. Therefore, some of the national and local governments have
established climate change adaptation plans and strategies during the last decade
[5]. For example, the Thai government has begun developing a draft of the National
Adaptation Plan (NAP) [6]. Mainly, in developing countries, it is essential to take
mitigation policies to minimize greenhouse gas emissions and adaptation measures
to prevent the increase in damages caused by natural disasters, including urban
floods. This means that urban transportation should be both low carbon and resilient
as much as possible. Until now, mitigation policies in the transport field are actively
discussed not only in developed countries but also in developing countries.
However, it is insufficient to implement and evaluate adaptation measures in the
transport field. To minimize the impacts of extreme weather events damages and to
take effective adaptation measures, it is necessary to appropriately understand the
impacts of transport and analyze adaptation measures in the transport field,
including the actual travel behavior data and traffic state data.
Thus, this study aims to analyze the travel behaviors under the flooding con-
dition and evaluate the adaptation measures in Ubon Ratchathani City, Thailand.
Specifically, the impacts of traffic states were analyzed using probe data under the
flooding conditions. The relationships with the inundation depth for five travel
speed range under the usual condition and flooding condition were estimated.
Furthermore, the raising arterial road measure was evaluated based on the results of
traffic assignment reflecting the analysis of probe data, which shows the relationship
between travel speed and inundation depth. By reflecting on these data, it is pos-
sible to analyze and evaluate the adaptation measures under the actual impacts of
urban floods on transport systems.
This study proceeded according to the following procedure. In Sect. 2, some
literature about the analysis of traffic states based on the various data and the
evaluation of adaptation measures in the transport field was reviewed. The analysis
framework details, analysis of traffic states by the probe data, and the methodology
for evaluating adaptation measures in the transport field are explained in Sect. 3.
The results and discussions of the impacts on traffic state under flooding conditions
Analysis of Travel Behavior Under Flooding … 305
and simulated traffic assignment for evaluation of adaptation measures, including

the analysis of probe data, are presented in Sect. 4. Finally, Sect. 5 concludes the
main idea of the paper.
2 Literature Review
Recently, utilizing mobile data has become effective for the method of grasping
changes in traffic conditions on the road. The most common is research that esti-
mates traffic states based on big data extracted from probe data. There are many
studies using this approach to analyze the impact of urban floods on urban activity
[7–9]. These studies have clarified the traffic states, such as travel time and route
choice behavior under usual and flooding conditions. Adaptation measures to avoid
and reduce the flooding impacts on travel behaviors have been considered and
evaluated [10–12]. To ensure mobility in the network, many studies were done to
identify effective adaptation measures prioritizing resilient transport systems by
selecting vulnerable road sections, and critical points should be identified. Also,
various studies on road transportation have identified transport system vulnerabil-
ities, especially road transportation, through network analysis (e.g., Multicriteria
analysis, Accessibility, Serviceability) based on graph theory [13, 14]. Moreover, to
analyze the impacts of traffic status under the flooding condition, some studies
focused on the relationship between travel speed and inundation depth or volume of
rainfall based on the literature reviews and experimental data [15–18]. These
studies clarified that the inundation caused by the flood has a significant influence
on the traffic condition.
However, many existing studies have insufficiently considered the evaluation of
adaptation measures in the transport field, including actual travel behaviors or traffic
status based on past travel behavior data under the flooding condition. In this study,
the relationship between travel speed and inundation depth based on the analysis of
probe data was clarified. After that, the adaptation measures on the transport field
by traffic assignment reflecting based on that relationship was evaluated as a case
study of Ubon Ratchathani City, Thailand.
3 Methodology
In order to understand the flooding impacts on road transportation, the difference in

travel speed under the usual and flooding conditions was analyzed based on the
probe data as a case study of Ubon Ratchathani City, Thailand. Specifically, travel
speed was calculated and compared under both conditions for understanding the
relationship between expected inundation depth data and decrease in travel speed.
When analyzing the decrease in travel speed, even at the same inundation depth, the
volume of decrease in travel speed could differ depending on the travel speed until a
certain inundation depth. Therefore, this study classified the travel speed under the
usual condition and analyzed the decrease in travel speed in each travel speed range
based on the inundation depth. After that, the raising arterial road measure as an
adaptation measure in the transport field was evaluated to reduce urban flood
damages, reflecting this relationship by using calculation of traffic assignment.
3.1 Study Area
In this study, we selected Ubon Ratchathani City in Northeastern Thailand as the

case study area, as shown in Table 1. Citizens in Ubon Ratchathani City have
suffered severe damages caused by urban floods during the rainy seasons (May–
October). This city was divided into north and south areas by the Mun River, which
could get over this river by four road sections (No. 1: Western Bypass, No. 2 and 3:
Center Bridge, and No. 4: Eastern Bypass), as shown in Fig. 1.
In this city, the most severe floods occurred in 1938, 1950, 1978, and 1998–2002
due to a significant runoff in the upstream water. In 2002, many buildings and road
sections, including four bridges crossing the river, were inundated and disrupted,
caused by an urban flood. The total losses were estimated at more than 1 billion
THB (31.4 THB ≒ 1 US$). However, flood countermeasures such as the devel-
opment of floodwalls and dams could not wholly avoid the impacts of urban floods.
Therefore, the mobility or accessibility for residents has a substantial reduction. To
ensure mobility under flooding conditions, the local government has elevated the
western and eastern bypasses by approximately 50–150 cm after urban floods
occurred in 2002 [19]. Elevation of bypasses was expected to prevent the inter-
ruption of all the Mun River crossings and maintained accessibility during floods
for reducing the adverse effects in the residents’ routines and urban activities.
Later in September 2019, the harshest urban floods in the past 17 years occurred
in Ubon Ratchathani City (shown in Fig. 2 [20]). Fortunately, the eastern and
western bypasses were not disrupted because the level of the bypasses was raised
Table 1 Adaptation measures on the transport field

Classification Adaptation measures
Soft Improvement of climatic prediction
Provision of condition and extreme weather
Regulation of information on condition/extreme weather
Development of emergency plans among transportation
The usage of hazard maps
Hard Elevation of roads
The setting of emergency roads
Improvement of drainage systems
The usage of drainage asphalt
Fig. 1 Map of Ubon Ratchathani City, Thailand
after flooding in 2002. Thus, these bypasses were used as alternative routes (red
lines in Fig. 1). On the other hand, some of the western bypasses were flooded if the
inundation depth is significantly high, making it difficult to pass through (with
relatively slow speed). However, the western bypass was also sometimes used as an
alternative route for residents because of the shorter distance (compared to the
western side). The level of the routes in the middle (No. 2 and 3) were very low, so
they were flooded with a high depth of water.
Fig. 2 Actual flooding condition in September 2019 [20]

3.2 Analysis of Relationship Between Travel Speed

and Inundation Depth
To understand the effects of the urban flood on travel behaviors, this study com-
pared travel speed under the usual and flooding conditions, based on the taxi probe
data during September and October 2019, which were released by the Thai
Intelligent Traffic Information Center Foundation (iTIC) [21]. This data consists of
Vehicle ID, GPS location collected every minute, Timestamp, and Travel speed. In
this study, national highway No. 231 (Bypass) was chosen and analyzed. The
national highway No. 231 is the main road section in Ubon Ratchathani City, which
is used by many residents on a daily basis. As shown in Fig. 1, The Bypass was
divided into eight sections.
One day was divided into four periods (Midnight—6 a.m., 6 a.m.—12 Noon, 12
Noon—6 p.m., 6 p.m. —Midnight), and the travel speeds under the usual and
flooding conditions were calculated and compared. The presence or absence of floods
was set by referring to the published flooding data from the Thai Flood Monitoring
System [22]. The results of previous studies have clarified that higher inundation
depth and precipitation affect the decrease of travel speed. However, these existing
studies have not considered the variations of travel speed under the usual condition.
Therefore, the usual travel speed in each road section was firstly calculated and then
classified into five travel speed ranges. Afterward, the relationship between the
decrease in travel speed and inundation depth was analyzed for each of the five usual
travel speed ranges. The reason is that even if the same inundation level depth occurs
in the different road sections, the proportion of decrease in travel speed differs
depending on the travel speed under the usual condition for low levels of inundation
depth. However, if the inundation depth is critically high, it is reasonable to maintain
a constant travel speed. In other words, the more inundation depth, the less travel
speed variation. From these detailed decreases in travel speed results, by classifying
each travel speed, a more realistic impact of inundation for road transportation could
be expressed. The inundation depth was estimated based on the questionnaire survey
results from a past study [23].

This study evaluated the adaptation measure in the transport field to reduce the impacts
of road transport under flood conditions. Reflecting for analysis results of the rela-
tionship between travel speed and inundation depth, traffic assignment was applied to
estimate the impacts of some assumed scenarios. In Table 1, adaptation measures from
existing studies or reports have been shown. These measures were classified into
“Soft” and “Hard” categories, which were reviewed and summarized. In this study, the
raising arterial road measure was selected and evaluated (Road section No. 1).
To evaluate the raising arterial road measure, the traffic assignment model was
carried out based on OD table data and road network data using macroscopic
multi-modal traffic flow simulation software PTV VISUM. Concerning OD table
data, it was made from Person Trip Survey data in 2015, which was conducted by
the Office of Transport and Traffic Policy and Planning (OTP [24]). Regarding the
network data, when an urban flood occurs, the road sections located in flooded areas
express the impacts of urban floods as decreasing travel speed or cutting off
depending on inundation depth. Based on the analysis of the relationship between
travel speed and inundation depth, the impacts of urban floods for road network was
represented.
Moreover, in evaluating the raising arterial road measure, the effects of this
measure could be represented by comparing the allocated hourly traffic volume,
Vehicle Kilometer Traveled (VKT). It was assumed that the evaluated road sections
were available for passenger cars and motorcycles by introducing this measure. In
order to estimate the effect of introducing the raising arterial road measure, sce-
narios were created by combining the case where the traffic demand fluctuated in
which the road section would be improved to increase the effect. The details of the
assumed scenarios are shown below. As shown in Table 2, six scenarios were
assumed that combine fluctuations in traffic demand and implementation in raising
arterial road measure for the western bypass (Road section No. 1). Specifically, the
traffic demand assumed three cases as “No change”, “Increment 10%”, and
“Increment 20%”. Raising the arterial road measure for Road section No. 1, against
when doing nothing during flooding, were compared. There are two reasons for the
assumption of an increase in travel demand in this study. Firstly, the travel pattern
under the flooding condition could not be clarified, and there was the possibility to
vary the trip rate. Secondly, some people need to conduct evacuation behaviors for
the avoidance of urban flood damages. Thus, three traffic volume cases were
assumed. These cases were combined and made a total of six scenarios.
Table 2 Scenario setting Adaptation measure

Nothing Road section No. 1
Demand No change Scenario 1 Scenario 4
+10% Scenario 2 Scenario 5
+20% Scenario 3 Scenario 6
4 Results

In this study, the probe data was analyzed, and the travel speed under the usual and
flooding conditions was calculated. The travel speed and vehicle trajectory data
under the flooding conditions were represented in Fig. 3. Under the flooding
condition, there were no data that could be collected from the probe data on the
center of two bridges. From this data, it shows that people could not pass through
these road sections under the flooding condition. The travel speed under the
flooding condition of all bypasses was estimated to be 20–40 km/h. The travel
speed under the usual condition was also estimated based on the probe data. The
comparison results with the difference in 85 percentile value of travel speed under
the usual and flooding conditions for each road section were shown in Fig. 4. This
Figure shows the comparison of the decrease in 85 percentile value of travel speed
under the flooding condition with the travel speed under the usual condition and
overlaying of expected inundation depth based on the questionnaire survey result in
the past study [23]. From this result, particularly on section No.6 in Fig. 4, 85
percentile value of travel speed under the flooding condition was decreased by
Fig. 3 Travel speed under flooding condition

approximately 38.9 km/h, and 85 percentile value of travel speed of the whole road
sections was decreased by approximately 12.9 km/h.
Moreover, the relationship between the decrease in travel speed from the usual
condition and inundation depth was shown in Fig. 5. This Figure shows the rela-
tionship between the decrease in travel speed based on the five usual travel speed
ranges (21–30, 31–40, 41–50, 51–60, 61–70 km/h) and four inundation categories
(0.01–0.10, 0.11–0.30, 0.31–0.50, 0.51–1.00 m). It shows that the decrease in
travel speed due to the inundation depth differs greatly depending on the travel
speed under the usual condition. When the travel speed was 41–50 km/h, the travel
speed under flooding conditions was estimated at 40 km/h, and it decreased by
5 km/h at an inundation depth of 0.01–0.10 m. Moreover, for inundation depth of
0.51–1.00 m, travel speed was reduced by approximately 20 km/h. On the other
hand, when the usual travel speed was 31–40 km/h, the travel speed was estimated
at 30 km/h and decreased by 5 km/h when inundation depth was 0.01–0.10 m.
From these results, even at the same inundation depth, the rate of decrease in speed
differs depending on the usual travel speed. If the inundation depth is relatively
high, such as over 0.70 m, the travel speed under the flooding condition could be
reliably estimated at a constant of 20 km/h. However, if it is lower than 0.70 m, it
was shown that travel speed reduction would differ depending on the usual travel
speed. The variations of travel speed may be because of different types of vehicles.
At the same inundation depth, small and low vehicles tend to drive slower than
bigger and higher vehicles, particularly at the high depth.
Fig. 4 The difference in travel speed under both conditions (usual-flooding)

70
60
Travel Speed (Km/h)
50
40
30
20
10
0
0.000 0.100 0.200 0.300 0.400 0.500 0.600 0.700 0.800
Inunadtion depth (m)
21-30 (km/h) 31-40 (km/h) 41-50 (km/h) 51-60 (km/h) 61-70 (km/h)
Fig. 5 Relationship between travel speed and inundation depth
4.2 Evaluation of Adaptation Measure Impacts
The traffic assignment result under flooding conditions without and with raising
arterial road measure has shown in Figs. 6 and 7. Under the flooding condition,
residents are necessary to detour the eastern bypass because of the inability to pass
through the western bypass (Road section No. 1) and center two bridges (Road
section No. 2 and 3). On the eastern bypass, the number of hourly traffic was
assigned approximately 7000 vehicles under flood conditions without raising
arterial road measures to implement in the western bypass during one hour of peak
time. By elevating the western and passing through under the flooding condition,
the number of the hourly detoured vehicle was decreased by 5000 vehicles.
In order to evaluate the elevated arterial road measure, including fluctuation of
traffic volume, this study simulated six scenarios to apply to the traffic assignment
in PTV VISUM and calculated the VKT, which was a multiplication of the travel
distance and the number of vehicles. The results of hourly VKT during the peak
time of each scenario are shown in Fig. 8. Scenario 1 shows that the analysis results
in a situation where the traffic demand does not fluctuate and no implementation of
raising any road sections under flood conditions. Approximately 37,000 km are
estimated to be traveled during 1-h of peak time. When the traffic demand increases
10% and 20% during one hour of peak-time, VKT increased by about 4000 km and
8000 km, respectively.
On the other hand, when the western bypass (Road section No. 1) is raised,
vehicles could pass through (Scenario 4–6) under flood conditions. It is possible to
decrease the VKT value by approximately 65% of each situation by comparing it
with the case without any measures such as raising the arterial road (Scenario 1–3).
This is because the residents who detoured the eastern bypass could pass through
Fig. 6 Traffic assignment result under flooding condition without taking any measure case (result
of Scenario 1)
Fig. 7 Traffic assignment result under flooding condition with raising arterial road measure case
(result of Scenario 2)
the western bypass and decrease the trip length compared to no elevated road
section case. To clarify the impacts of implementation in raising arterial road
measure, VKT under usual conditions and raising arterial road measure case were
compared. Even if the arterial road was raised as a measure for the western bypass,
Vehicle Kilometer Travelled (Km) 45,000

40,000
35,000
30,000
25,000
20,000
15,000
10,000
5,000
0
1 2 3 4 5 6 Usual
Scenario
Fig. 8 Vehicle kilometer traveled (VKT) each scenario
it was shown that the VKT was estimated to increase by 1.5–2.0 times than VKT
under usual conditions (8000 km). This is because Bridges 2 and 3 could not allow
vehicles to pass through due to inundation, and some vehicles were still assigned
for the eastern bypass, approximately 2000 vehicles during one hour of peak time.
5 Discussion and Conclusion
In this study, to analyze the impacts on traffic states caused by urban floods, the
probe data was used and estimated the travel speed under usual and flooding
conditions. Furthermore, these analysis results were reflected to evaluate the raising
arterial road measure as an adaptation measure in the transport field for urban floods
in Ubon Ratchathani City, Thailand. Firstly, the relationship between the decrease
in travel speed and inundation depth was examined by comparing the travel speed
under usual and flooding conditions using probe data during September and
October 2019. This specific analysis of probe data confirmed that the travel speed
under flooding conditions was decreased by a maximum of 38.9 km/h during peak
time. This analysis was also clarified that the decrease in travel speed due to
flooding was significantly different depending on the travel speed under the usual
condition. As a result, it was found that urban floods had a significant impact on
road transportation by decreasing travel speed.
Additionally, the relationship between the travel speed and inundation depth was
assessed by applying traffic assignment. The result was clarified that the raising
arterial road measure could decrease VKT by approximately 65% and decrease the
taking traffic detour by 5000 vehicles compared to the urban flooding condition
without implementation in any other adaptation measures. These results showed

that raising as a measure for the western bypass could be an effective adaptation.
However, this study only evaluated raising arterial road measure as a “Hard”
aspect adaptation measure on the transport field and could not express the change in
travel behaviors caused by the variance of service level of the road network for trip
rate or modal choice, etc. Therefore, in a further study, other adaptation measures in
the transport field including, “Soft” aspect measures, such as traffic regulation for
deep inundation area and optimization of signalization, will need to be evaluated.
Nevertheless, it is necessary to consider adaptation measures carefully. This is
because of the possibility to affect conversely increasing vulnerability and damages
by adaptation measures. Moreover, based on the analysis of the probe data, the
traffic states were seen to be dramatically different under the flood conditions
compared with the usual conditions. Thus, this analysis might not ultimately be able
to reflect the effect of the different traffic states. Therefore, it could consider only
individual activities, while a more detailed activity-based travel demand model
could be applied in the future. By focusing on the individual person’s activities and
trips, it is possible to adequately represent the change in travel behaviors for not
only travel patterns but also destination choice and modal choice caused by urban
flooding.
Acknowledgements The authors would like to express our appreciation to Mr. Joseph Falout for
his helpful editing of the paper.
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pp 37
Modeling Movement of Rice
Commodities Between Provinces
in Indonesia
Dwi Novi Wulansari, Saskia Kanisaa Puspanikan,

and Zafir Istawa Pramoedya
Abstract The performance of the national logistics system will affect the economy
in Indonesia. One of the important movements of logistics goods in Indonesia is the
movement of the rice commodity. The rice commodity is a product of paddy
cultivation and is a staple food product for the majority of the world’s population,
especially in Indonesia. To support the performance of the logistics system in
Indonesia that is effective and efficient, several studies are needed that can provide
an overview of the transportation of goods in Indonesia, including modeling the
current and future movements of rice commodities. This study aims to model the
movement of rice commodities between provinces in Indonesia. The research
method uses descriptive quantitative methods. The data used in this study were data
on the movement of rice commodities in Indonesia in 2016. The analytical
approach used is a zone-based correlation-analysis model, and statistical tests are
carried out on the regression equation function to test the significant level of the
model. The modeling results show that rice production will affect the generation
and attraction of rice commodity movements linearly and positively.
Keywords Movement modeling Rice commodities Logistics Transportation
1 Introduction
The logistics system performance affects the economy in a country, including in

Indonesia. According to the Blueprint for the Development of the National
Logistics System [1], logistics costs in Indonesia reach 27% of Gross Domestic
Product and the inadequate quality of service is indicated by: (a) low levels of
infrastructure provision, both quantity and quality, (b) there are still levies unofficial
and transaction costs that cause a high cost economy, (c) still high export–import
D. N. Wulansari (&) S. K. Puspanikan Z. I. Pramoedya

Logistics Engineering Study Program, Universitas Pendidikan Indonesia, 229 Dr. Setiabudi
Street, Bandung, Indonesia
e-mail: dwinovi@upi.edu
https://doi.org/10.1007/978-981-16-7949-0_28
318 D. N. Wulansari et al.
service times and the existence of service operational barriers at ports, (d) limited
capacity and service network of national logistics service providers, (e) still scarcity
of stock and fluctuations in the price of people’s staple goods, especially on national
and religious holidays, and (e) high price disparities in the border, remote and
outermost areas.
The poor performance of the logistics system also affects the supply chain for
superior commodities in Indonesia, including commodities in the agricultural sec-
tor. The main product of commodity production in agriculture is the paddy. Paddy
is one of the cultivated plants that produces rice and is a staple food product for the
majority of the world’s population, especially in Indonesia. Rice is also used as a
staple in the manufacture of food industries such as pastries or the rice flour
industry. According to the Indonesian Central Statistics Agency, the total produc-
tion of milled dry unhulled rice (GKG) in Indonesia reached 54,649,202.24 tons in
2020 [2], if the production of milled dry unhulled rice is converted to rice based on
the GKG conversion rate of 64.02% [3], the total rice production in Indonesia
reached 34,986,419.27 tons in 2020.
Support from various sectors is needed to accelerate the pace of the economy
and the movement of goods in the logistics system in Indonesia. The transportation
sector is one of the sectors that can support economic activity. Currently, goods
transportation in Indonesia is served by land transportation, sea transportation, and
air transportation. To support the performance of the logistics system in Indonesia
that is effective and efficient, several studies are needed that can provide an over-
view of the transportation of goods in Indonesia, including modeling the current
and future movements of rice commodities. The movement of the rice commodity
must be regulated, in the sense that there is a balance between supply and demand
by taking into account the factors that influence the movement.
2 Literature Review
To represent reality in a simpler, inexpensive, fast, precise, and easy way is through
modeling. In the modeling process, a simplification process is carried out. It is
necessary to have a process of disposing of unnecessary information that can be
justified statistically. Movement is a journey from the origin zone to the destination
zone. Movement can be separated between generation movement and attraction
movement. In modeling the movement of generation and attraction, it is necessary
to pay attention to the movement of people and the movement of goods. The
movement of goods can be estimated based on the number of vehicles
(vehicle-based model) or the number (unit value of tons) of the commodity
(commodity-based model) [4]. Commodity movements are usually represented by
an origin–destination matrix containing the type and quality of goods being moved,
while vehicle movements are represented by traffic flows in different types of
vehicles [5]. Most models developed in recent years are categorized into the
commodity-based group [6]. One of the approaches used in calculating the
Modeling Movement of Rice Commodities … 319
movement of goods is the four-step commodity model. The four-step approach to

freight modeling is an adaptation of the traditional urban passenger travel demand
modeling system [7]. The main steps in the four-step modeling are movement
generation, distribution, mode choice, and route assignment. The commodity
generation models estimate the total number of tons produced and attracted by each
of the individual zones comprising the study area. The movement of goods is
influenced by the number of jobs, the number of marketplaces, the industrial roof
area, and the total area [8].
3 Methodology and Data
3.1 Zone-Based Correlation Analysis Model
In this study, the modeling of the movement of rice commodities in Indonesia uses
a zone-based correlation-analysis model. This model aims to obtain a linear rela-
tionship between the amount of movement generated or attracted by the zone and
the average socio-economic characteristics of the household in each zone. There are
three methods of analysis that can be used in this model, namely:
• Step-by-step analysis method type 1;
• Step-by-step analysis method type 2;
• The Trial Method.
This model also uses the assumption that the generation and attraction of
movement can be expressed as a function of several zone-based socio-economic
attributes so that the relationship in numerical form and the variables are related to
each other. The function is described in Eqs. 1 and 2.
P ¼ f ðX1 ; X2 ; . . .; XN Þ ð1Þ
A ¼ f ðX1 ; X2 ; . . .; XN Þ ð2Þ
where P: trip generation, A: trip attraction, X: zone-based socio-economic
attributes.
The movement modeling approach can use linear regression analysis.
Regression analysis was conducted to measure the relationship between the
dependent variable (y) and the independent variable (x) in the form of an equation
function. Linear regression analysis can be expressed in Eq. 3.
y ¼ a þ bx ð3Þ
where y = dependent variable, x = independent variable, a = constant of the

regression line intercept on the y-axis, b = regression line coefficient.
To determine the degree of the relationship between the two variables, it is

necessary to do a correlation test, where the independent variables cannot have a
relationship, while the independent variables and the dependent variables must have
a relationship. The correlation technique used is the product moment (Pearson)
correlation test proposed by Karl Pearson in 1990 [9] with Eq. 4.
P P P
nð xyÞ ð xÞð yÞ
ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
rxy ¼ rn ffi ð4Þ
P 2 P 2 on P 2 P 2o
n x ð xÞ n y ð yÞ
P
where rxy: Correlation coefficient, n: Amount of data, xy:P The sum of the product
of the value of the independent
P and dependent variables, x: Total
P 2 value of the
independent variable, y: Total value of dependentP variables, x : The sum of
the squares of the independent variable values, y2: The sum of the squares of the
dependent variable value.
Statistical tests are used to determine the important characteristics that are the
basis for understanding and predicting behavior, namely the concept of the sig-
nificance test (t-test and F-test). The t-test is intended to test the effect of each
independent variable one by one on the dependent variable. ANOVA test (F-test)
aims to reflect the effect of independent variables simultaneously on dependent
variables. The level of significance used for the t-test and ANOVA test was 0.05.
3.2 Rice Commodity Movement Pattern
The movement patterns (vehicles, passengers, and goods) moving from the origin
zone to the destination zone within the study area and over a certain period of time
can be described by the origin–destination matrix and desire line graphs. In this
study, the movement of the rice commodity is described by the desire line, which
contains information about the orientation of the movement of rice between zones
viewed through the thickness of the desire line. The data of the generation and
attraction movement of the rice commodity were obtained from the results of the
2016 ATTN Goods survey by the Ministry of Transportation of the Republic of
Indonesia [10]. From these data, a desire line model with two constraints can be
generated, namely a model with a generation-limitation and a model with an
attraction-limitation.
Figure 1 shows the orientation of the movement of rice commodities as illus-
trated by the thickness of the line on a scale of 396,114 tons/month, 792,228 tons/
month, and 1,584,456 tons/month. Meanwhile, the movement of fewer than
396,114 tons/month is not shown in Fig. 1. Based on the desire line, it can be seen
that the largest movement of rice commodities occurred between West Java
Province, East Java Province, Central Java Province, South Sumatra Province,
South Sulawesi Province, Lampung Province, and Banten Province.
Fig. 1 Desire line for the movement of rice commodities
3.3 Rice Commodity Movement Data
Movement analysis uses a zone-based correlation-analysis method using generation

and attraction data for the movement of rice commodities in 2016 as independent
variables. Meanwhile, the dependent variable was rice production in 2016 in each
zone under review, namely 34 provinces in Indonesia. Generation and attraction
data for the movement of rice commodities and rice production are shown in
Table 1.
4 The Result and Discussion
4.1 Movement Generation Model
The results of linear regression analysis for modeling the generation of rice com-
modity movements in brief can be seen in Table 2.
Based on the results of linear regression analysis in Table 2, Eq. 5. functions for
the generation of rice commodity movements are produced.
Y ¼ 36; 934:47 þ 0:57X ð5Þ
from Eq. 5, it can be concluded that:

Table 1 Data of movement generation and attraction of rice commodities and rice production
No. Zone Movement Movement Rice
generation attraction production
(tons/month) (tons/month) (tons/year)
1 Aceh 1,137,799 556,498 2,205,056
2 Bali 536,541 644,739 845,559
3 Banten 1,282,067 2,095,175 2,358,202
4 Bengkulu 371,170 247,034 641,881
5 DI Yogyakarta 171,725 759,825 882,702
6 DKI Jakarta 4,731 1,886,939 5,342
7 Gorontalo 166,744 102,840 344,869
8 Jambi 415,839 433,013 752,811
9 West Java 7,297,648 9,343,320 12,540,550
10 Central Java 6,044,281 7,378,885 11,473,161
11 East Java 8,388,837 8,437,350 13,633,701
12 West Borneo 856,465 518,863 1,364,524
13 South Borneo 1,304,481 632,105 2,313,574
14 Central Borneo 521,822 310,313 774,466
15 East Borneo 228,429 308,280 305,337
16 North Borneo 71,461 32,770 81,854
17 Bangka Belitung 14,687 166,076 35,388
Islands
18 Riau islands 874 187,684 627
19 Lampung 2,078,976 1,345,623 4,020,420
20 Maluku 62,688 88,235 99,088
21 North Maluku 44,129 71,051 82,213
22 West Nusa Tenggara 1,321,133 750,006 2,095,117
23 East Nusa Tenggara 513,367 455,507 924,403
24 Papua 116,846 63,591 233,599
25 West Papua – – 27,840
26 Riau 241,100 736,248 373,536
27 West Sulawesi 277,024 191,655 548,536
28 South Sulawesi 3,192,760 1,623,315 5,727,081
29 Central Sulawesi 625,977 321,335 1,101,994
30 Southeast Sulawesi 401,171 305,181 695,329
31 North Sulawesi 362,906 220,829 678,151
32 West Sumatra 1,576,022 766,235 2,503,452
33 South Sumatra 2,297,150 1,233,932 5,074,613
34 North Sumatra 2,272,026 1,984,424 4,609,791
Table 2 Results of Regression statistics

movement generation
regression analysis Multiple R 1.00
R square 0.99
Adjusted R square 0.99
Standard error 204,324.02
Observations 34
Coefficients Standard t Stat P-value
error
Intercept −36,934.47 42,053.99 −0.88 0.39
Rice production 0.57 0.01 57.50 7.16E
(tonnes/year) −34
• A constant value of −36,934.47 provides information that if the amount of rice

production does not change, the generation of rice commodity movements will
decrease by 36,934.47. The high constant value indicates that there are other
independent variables that affect the movement of rice commodities.
• The independent variable which is rice production has a coefficient value of 0.57
indicating that if there is a change in rice production by 1 unit, the generation of
rice commodity movement will experience a change of 0.57.
• In Table 2, it is known that the sign of the coefficient of the free variable
equation is positive (+). It can be concluded that the greater the rice production,
the generation of movement of rice commodities will be generated.
• The value of r2 in the results of the analysis above is 0.99 or 99%, which means
that rice production is able to explain changes in the generation of rice com-
modity movements and the rest is explained by variables not found in the model
by 1%.
4.2 Movement Attraction Model
The results of linear regression analysis for modeling the attraction movement of
the rice commodity in brief can be seen in Table 3.
Based on the results of the linear regression analysis in Table 3, the function of
the attraction equation for the movement of the following rice commodity is
produced.
Y ¼ 138; 683:64 þ 0:62X ð6Þ
from Eq. 6, it can be concluded that:

Table 3 Results of Regression statistics

movement attraction
regression analysis Multiple R 0.95
R square 0.90
Adjusted R square 0.89
Standard error 754,073.36
Observations 34
Coefficients Standard t Stat P-value
error
Intercept −138,683.64 155,203.46 −0.89 0.38
Rice 0.62 0.04 16.77 2.09E
production −17
(tonnes/year)
• A constant value of −138,683.64 provides information that if the amount of rice

production does not change, then the movement of rice commodities will
decrease by 138,683.64. The high constant value indicates that there are other
independent variables that affect the movement of rice commodities.
• The independent variable which is rice production has a coefficient value of 0.62
indicating that if there is a change in rice production by 1 unit, the movement of
rice commodity will change by 0.62.
• In Table 3, it is known that the sign of the coefficient of the free variable
equation is positive (+). It can be concluded that the greater the rice production,
the more attractive the movement of rice commodities will be.
• The value of r2 in the results of the above analysis is 0.90 or 90%, which means
that rice production is able to explain changes in the movement of rice com-
modities and the rest is explained by variables not found in the model by 10%.
4.3 Correlation Test
Correlation is used to measure the strength of the relationship between the two
variables and also to be able to determine the form of the relationship between the
two variables which is quantitative in nature. The strength of the relationship
between the two variables referred to here is whether the relationship is close, weak,
or not close. While the form of the relationship is whether the form of correlation is
the linear positive or linear negative. A good correlation between the variables X
and Y is indicated by the value of the relationship between 0.5 and 1.0. The results
of the correlation test that have been carried out are shown in Table 4.
Table 4 Correlation analysis results

Generation movement Attraction movement Rice production
Generation movement 1
Attraction movement 0.953 1
Rice production 0.995 0.948 1
From Table 4, it can be seen that the correlation value between independent
variables and dependent variables is as follows:
• The correlation value between the generation of rice commodity movements and
rice production is 0.953 0.5, so it can be seen that the generation of rice
commodity movements and rice production has a strong/close relationship. In
addition, the correlation value is positive (+), which means that the form of the
relationship between the two variables is positive linear.
• The correlation value between the attraction of rice commodity movements and
rice production is 0.995 0.5, so it can be seen that the rise of the movement
of rice commodities and rice production has a strong/close relationship. In
addition, the correlation value is positive (+), which means that the form of the
relationship between the two variables is positive linear.
4.4 Statistic Test
T-test The t-test or partial test is intended to test the effect of each independent
variable one by one on the dependent variable. Based on the results of linear
regression analysis of the movement generation model (Table 2) and the movement
attraction (Table 3), it can be concluded that:
• Rice production (x) has a t-count of 57.50 which is greater than the t-table of
1.69, and the probability is 7.16E−34 < 0.05, so it can be said that rice pro-
duction has a positive and significant effect on the generation of movement of
rice commodities.
• Rice production (x) has a t-count of 16.77, greater than the t-table of 1.69, and a
probability of 2.09E−17 < 0.05. It can be said that rice production has a positive
and significant effect on the attraction of the movement of rice commodities.
ANOVA Test ANOVA test (F-test) or simultaneous test aims to reflect the effect
of the independent variables together on the generation and attraction of the
movement of rice commodities. The results of the calculation are briefly shown in
Table 5.
Table 5 The results of the df SS MS F Significance F

analysis of the movement
Regression 1 1.38E+14 1.38E+14 3306 7.16E−34
generation ANOVA test
Residual 32 1.34E+12 4.17E+10
Total 33 1.39E+14
Table 6 The results of the df SS MS F Significance F

analysis of the movement
Regression 1 1.60E+14 1.60E+14 281 2.09E−17
attraction ANOVA test
Residual 32 1.82E+13 5.69E+11
Total 33 1.78E+14
From Table 5, it is known that the F-count value is 3306 > 4.17 (F-table) and a
significant value of 7.16E−34 < 0.05 which indicates that overall rice production
has an effect on the generation of movement of rice commodities.
From Table 6, it is known that the F-count value is 28 1 > 4.17 (F-table) and a
significant value is 2.09E−17 < 0.05, which indicates that overall rice production
has an effect on the attraction of movement of rice commodities.
5 Conclusion
Based on the modeling of the movement of rice commodities in Indonesia, it is

known that rice production will affect the generation and attraction of rice com-
modity movements linearly and positively. However, the model has a high constant
value indicating that there are other independent variables that affect the movement
of rice commodities. Commodity-based modeling has the potential to capture the
mechanisms driving transport demand but cannot adequately model empty trips.
This situation suggests that integrating commodity-based and vehicle-based mod-
eling will provide a better understanding of the movement of goods [11].
References
1. Presidential Regulation (2012) Presidential regulation no. 26/2012 concerning blueprint for
the Development of the National Logistics System. Republic of Indonesia, Jakarta, Indonesia
2. Ministry of agriculture of the Republic of Indonesia rice production by province 2014–2018.
In: Pertanian.go.id. https://www.pertanian.go.id/home/?show=page&act=view&id=61.
Accessed 14 Mar 2021
3. Central Bureau of Statistics of the Republic of Indonesia (2018) Conversion of grain to rice in
2018. Central Bureau of Statistics, Jakarta, Indonesia
4. Kulpa T (2014) Freight truck trip generation modelling at regional level. Proc Soc Behav Sci
111:197–202
5. Jin TG, Saito M, Schultz GG (2012) Development of a statewide commodity flow distribution
model using composite friction factors. Proc Soc Behav Sci 43:406–417
6. Wisetjindawat W, Yamamoto K, Marchal F (2012) A commodity distribution model for a
multi-agent freight system. Proc Soc Behav Sci 39:534–542
7. Cambridge Systematics, Inc (1997) A guidebook for forecasting freight transportation
demand. NCHRP Report 388. Transportation Research Board, National Academy Press,
Washington DC, United States of America
8. Tamin OZ (2008) Perencanaan, Pemodelan dan Rekayasa Transportasi. Insitut Teknologi
Bandung, Bandung, Indonesia
9. Irianto A (2014) Statistik Konsep Dasar, Aplikasi dan Pengembangannya. Kencana
Prenadamedia Group, Jakarta, Indonesia
10. Ministry of transportation of the republic of indonesia portal of origin destination for goods
transportation. In: Portal ATTN. https://attn-barang.dephub.go.id/data/site/front/?page=
pergerakan. Accessed 14 Mar 2021
11. Holguín-Veras J, Thorson E (2000) Trip length distributions in commodity-based and
trip-based freight demand modeling: investigation of relationships. Transp Res Rec 1707:
37–48
Single Tariff System to Provide Incentive
for Longer Distance Users and to Keep
Efficient Toll Gates Operations
Apta Sampoerna and Leksmono Suryo Putranto
Abstract Due to limited investment funds, the toll road construction usually
should be in stages in several segments. The toll tariff of segments that were
operated in the earlier stages may only be determined by the length of the segment
in km multiplied by toll tariff per km. After all segments have been operated, we
also need to consider additional factors, e.g., an incentive to longer distance users,
efficient toll gate operations, and smooth toll gate services. Integrated toll road
payment system usually implements open toll payment system with uniform tariff.
Logistic vehicles which usually traveled longer distances will be subsidized by
vehicles traveling shorter distances. The open toll payment system is usually
implemented by payment in the upstream barrier toll gates. It will keep efficient toll
gate operations by concentrating all payment equipment and officers in the
upstream barrier toll gates. This paper will discuss the single tariff determination of
Jakarta Outer Ring Road (JORR) 2 Area 1 connecting Jagorawi-Cinere-Serpong-
Kunciran-Cengkareng. There were several factors considered, i.e., road user ability/
willingness to pay, breakeven point based on predicted average an-nual daily traffic,
and related regulations. The resulted single tariff was Rp. 20,000.-.
Keywords Single tariff Incentive Efficient introduction
1 Background
Building additional road segments might be considered as a non-sustainable

transport supply program as it might encourage massive development along the
road and at the end will create a congested car-dependent corridor. However, we
cannot rely on a transport system on public transport provision only. The system is
for passenger service. For goods transport (logistics) and for certain passenger
A. Sampoerna L. S. Putranto (&)

Universitas Tarumanagara, Jakarta 11440, Indonesia
e-mail: leksmonop@ft.untar.ac.id
URL: http://leksmono.com
https://doi.org/10.1007/978-981-16-7949-0_29
330 A. Sampoerna and L. S. Putranto
movements (e.g., last-mile and first-mile transport) road transport is essential.

Therefore, in a long-term plan of a city transport system, road network complete-
ness, to avoid missing links and bottlenecks (including in toll road sub-systems) is a
must.
Infrastructure (including toll road) development should be given priority in
developing countries. However, the national budget is usually limited and/or should
be distributed proportionally to other sub-sectors. Private-sector funding would be
an alternatives source fund but might need time to be invested. Therefore, the toll
road construction usually should be in stages in several segments.
The toll tariff of segments that were operated in the earlier stages may only be
determined by the length of the segment in km multiplied by toll tariff per km. After
all segments have been operated, we also need to consider additional factors, such
as an incentive to longer distance users, efficient toll gate operations, and smooth
toll gate services.
Integrated toll road payment system usually implements open toll payment
system with uniform tariff regardless of the distance. Logistic vehicles which
usually traveled longer distances should be provided with an incentive to support
national welfare. They will be subsidized by vehicles traveling a shorter distance
[1]. An open toll payment system is usually implemented by payment in the
upstream barrier toll gates. It will keep efficient toll gate operations by concen-
trating all payment equipment and officers in the upstream barrier toll gates instead
of distributing payment equipment in remote downstream tollgates. However, this
may create a long queue in upstream barrier toll gates if no attention was not given
to this matter. Nevertheless, the smoothness of toll gate services will not be covered
by this paper. This paper will discuss the single tariff determination of Jakarta Outer
Ring Road (JORR) 2 Area 1. Total observed length 50.43 km (Fig. 1). The reason
to conduct this research was to balance benefits received by road users and toll
investors. There were several factors considered, i.e., road user Ability to Pay
(ATP), Willingness to Pay (WTP), breakeven point based on predicted Average
Annual Daily Traffic (AADT), and related regulations.
1.1 Scopes
To include ATP and WTP analysis, the only group I vehicles (passenger car, jeep,
pick-up, small truck, and bus) were observed (comprise of 80–90% of toll road
users). ATP and WTP questionnaire items are not relevant to company vehicles
which predominantly comprise heavy logistic vehicles (from group II to V).
Hypothetically this will not significantly affect the resulted single tariff determi-
nation. Moreover, the variability of travel length of private light vehicle users is
usually the highest among other toll road users and, therefore, more relevant in the
determination of a single tariff.
Single Tariff System to Provide Incentive for Longer … 331
Fig. 1 JORR 2 Area 1 (circled with green line)
2 Literature Review
2.1 Types of Toll Transaction System
There are three types of toll transaction systems [2], i.e.:

• Open transaction system (single tariff) and the payment conducted in off-ramp
(downstream). Please refer to Fig. 2.
• Open transaction system (single tariff) and the payment conducted in on-ramp
(upstream). Please refer to Fig. 3.
• Closed transaction system (based on distance) and therefore the vehicle should
be identified in the on-ramp (upstream) and payment conducted in off-ramp
(downstream) based on identified distance. Please refer to Fig. 4
Fig. 2 Open transaction system (off-ramp payment)

Fig. 3 Open transaction system (on-ramp payment)
Fig. 4 Closed transaction system
2.2 ATP and WTP
ATP is the ability of someone to pay for the received services based on his/her
wealth level. The approach used in ATP analysis is based on transport cost analysis
from routine income earned. In other words, ATP is the ability of the public to pay
his/her travel costs as stated by Tamin et al. [3]. According to Yulianto et al. [4],
there were several factors affecting ATP, i.e., the amount of the income, transport
demand, total transport cost, and percentage of income disbursed for transport cost.
WTP is the willingness of service users to pay for the received services.
According to Hotmaida [5] and Nugroho et al. [6], several factors were affecting
WTP, i.e., offered product, service quality, user utility of the transport services, and
transport user behavior.
3 Method of Data Collection and Analysis
3.1 Method of Data Collection
There were two groups of data used in this paper, i.e., secondary data and primary
data. The main secondary data was predicted AADT and regulations regarding toll
road financing to calculate tariff based on breakeven point. Primary data was col-
lected from group I vehicle users, consist of:
• General data (name, age, gender, educational attainment, and occupation).
• ATP data (monthly travel frequency, average travel time, travel period, monthly
income, monthly toll road expenses, and travel purpose)
• WTP data (choice between 10, 20 and 30 min time saving for choice of tariff
between twenty thousand rupiahs and thirty thousand rupiahs)
3.2 Method of Data Analysis
Figures 5, 6, and 7 describe the steps taken for determining the single tariff:
4 Profile of Respondents
There were 126 respondents (40 females and 86 males). However, only 122
responded to ATP-related questions and therefore, the ATP/ km data was only
calculated from those 122 respondents. Their mean age was about 37 years old
Monthly travel distance = travel frequency x average travel length in km.
Disbursed income = % of disbursed income for toll road use x monthly income.
ATP/ km = Disbursed income / Monthly travel distance
A cumulative frequency table (and the resulted chart) of ATP/km was developed. The median value (at a
cumulative frequency of 50%) was determined as the selected ATP/ km. For simplification, the ATP for overall
observed segments was ATP/ km multiply average segment length.
Fig. 5 Determination of ATP

WTP was determined by plotting the percentage of respondents choosing a certain combination of time-
saving (as an ordinate) and a certain toll tariff (as an abscissa)
A series of the straight line connecting 100% (representing the choice of lower tariff) and 3 different points
above higher toll tariff ordinate.
A series of the straight line connecting 100% (representing the choice of lower tariff) and three different
points above higher toll tariff ordinate.
A straight line parallel to the abscissa should then be established on the median point (50%) in the
ordinate.
From the three intersection points formed, three perpendicular lines were drawn to intersect the
abscissa.
The resulted WTP was the intersection point in abscissa related to the tariff chosen by the most
respondents.
Fig. 6 Determination of WTP
After the winner of the toll road development bid was established, a Toll Road Business Agreement was signed
between the Indonesian Toll Road Authority and the winning bidder contain the business plan including the agreed
AADT and agreed tariff/ km.
Usually, it takes years before the land acquisition was finished, and another period for construction. Therefore,
at the time of the first segment of toll road opening, the agreed AADT and agreed tariff/ km should be evaluated.
When the single tariff for the overall observed segment was another period also passed by and again the agreed
AADT and agreed tariff/ km should also be evaluated.
The tariff/ km should not exceed the WTP and the toll revenue using a single tariff should be maximized as a
result of tariff choice and the consequences of predicted AADT.
Fig. 7 Adjustment of selected single tariff

(standard deviation of 12) and ranged between 19 and 64 years old. Most of them
(about 55%) earned less than 10 million rupiahs (USD 696 as 22 May 2021
exchange rate) monthly, about 33% earned above 10 million rupiahs up to 20
million rupiahs (USD 1392) monthly, about 8% earned above 20 million rupiahs up
to 30 million rupiahs (USD 2088) monthly, and less than 5% earned above 30
million rupiahs monthly. About 31% of them spend less than 1 million rupiahs
(USD 70) on toll roads monthly, about 27% spend more than 1 million rupiahs up
to 3 million rupiahs (USD 209) monthly and most of them (about 42%) spend more
than 3 million rupiahs monthly. The monthly travel frequency of most of them
(54%) was more than seven times while the rest travel less. Travel time on the toll
of most of them (about 63%) spends 30 to 60 min while the rest travel with a less or
longer period. Most of the respondents travel on toll roads during morning and
afternoon peak hours. Most of them (66%) travel on the toll road for work/ business
purposes and the rest for various non-work purposes.
5 Results
5.1 ATP Analysis
Figure 8 shows that the 50-percentile of ATP was Rp. 2,800.-/ km. Therefore the
ATP of each segment was Rp. 39,732.- (Jagorawi-Cinere), Rp. 28,392.-
(Cinere-Serpong), Rp. 31,920.- (Serpong-Kunciran) and Rp. 39,732.-
(Kunciran-Cengkareng) respectively. To simplify the overall ATP determination,
an average of ATP of overall JORR 2 Area 1 weighted by each segment length was
established as representative ATP, i.e., Rp. 36,102.-
5.2 WTP Analysis
Table 1 shows the number and percentage of respondents choosing each pair of
time-saving and toll tariff. The lowest choice tariff (Rp. 20,000.-) was assumed to be
chosen by 100% of the respondent while the percentage higher choice of tariff
(Rp. 30,000.-) was calculated by dividing the number of respondents choosing it
divided by the total respondent choosing the particular time-saving.
Figure 9 shows the WTP for all segments in the observed JORR 2 Area 1.
The determination of WTP at three different time-savings was by selecting the
value chosen by most respondents. In this case, it was Rp. 29,000.- for a
time-saving of 30 min.
100%
Cummulative Percemt of Respondent's ATP/ km 90%
80%
70%
60%
50%
40%
30%
20%
10%
0%
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20
Thousands
ATP/ km (in 1000 ATP/km)
Fig. 8 50-percentile of ATP, i.e. Rp. 2,800.-/ km
Table 1 Number and percentage of respondents choosing certain pair of time-saving and
toll-tariff
Ruas Percentage of respondent (%) Number of respondents
10 min 20 min 30 min 10 min 20 min 30 min
JORR 2 Area 1 (50.43 km)
Tariff 20,000 100.0 100.0 100.0 93 140 162
Tariff 30,000 34.4 39.3 44.4 32 55 72
5.3 Single Tariff Adjustment
After the Toll Road Business Agreement was signed between the Indonesian Toll
Road Authority and the winning bidder, a business plan containing an agreed
AADT and an agreed toll tariff was established. Table 2 shows the agreed figures in
this stage, let’s call it stage 1.
Stage 2 was adjusted business plan after the opening of the first segment, as
shown in Table 3.
At stage 3, the adjustment was conducted using a trial and error process to
maximize revenue whilst keeping the tariff below the WTP as can be seen in
Tables 4, 5, 6, and 7. The AADT in Tables 5, 6, and 7 was adjusted inversely to the
100%
90%
80%
70%
60%
50%
40%
30%
20%
10%
0%
20,000 22,000 24,000 26,000 28,000 30,000
10 minutes 20 minutes 30 minutes
Fig. 9 WTP for all segments in the observed JORR 2 Area 1
Table 2 Toll road business AADT Toll tariff in Rupiah Toll revenue in Rupiah
plan at stage 1
42,084 22,000 333,305,280,000
52,911 17,500 333,339,300,000
62,843 17,500 395,390,910,000
44,314 19,500 311,084,280,000
Total revenue in Rupiah 1,373,639,760,000
plan at stage 2
26,697 22,000 211,440,240,000
31,977 17,500 201,455,100,000
24,732 17,500 155,811,600,000
41,313 19,500 290,017,260,000
Total revenue in Rupiah 858,724,200,000
toll tariff on trial. The trial in this stage stop at Table 7 as the total revenue has
reached its maximum value in Table 6. Therefore, the resulting single tariff was
Rp. 20,000.-. The value was acceptable as it was still under the WTP (Rp. 29,000.-).
plan at stage 3-trial 1
29,540 15,000 159,516,000,000
35,383 15,000 191,068,200,000
27,366 15,000 147,776,400,000
45,713 15,000 246,850,200,000
25,490 17,500 160,587,000,000
30,531 17,500 192,345,300,000
23,614 17,500 148,768,200,000
39,445 17,500 248,503,500,000
22,379 20,000 161,128,800,000
26,805 20,000 192,996,000,000
20,731 20,000 149,263,200,000
34,631 20,000 249,343,200,000
19,715 22,500 159,691,500,000
23,615 22,500 191,281,500,000
18,265 22,500 147,946,500,000
30,510 22,500 247,131,000,000
Based on the analysis in this paper, several conclusions can be made as follow:
1. The ATP/ km for JORR 2 Area 1 was Rp. 2,800.-/ km.
2. The overall ATP for JORR 2 Area 1 was Rp. 36,102.-.
3. The WTP for JORR 2 Area 1 was Rp. 29,000.-.
4. After conducting three stages of tariff adjustment, the resulting single tariff was
Rp. 20,000.- which was still less than WTP and therefore can be applied.
The recommended toll transaction system is an open transaction system with

on-ramp payment to avoid the provision of transaction equipment in remote gates
from the upstream barrier gate. Therefore, the toll gate operation will be more
efficient.
References
1. Panou K (2020) An empirical model for setting and adjusting road-toll rates based on
optimized equity and affordability strategies. Case Stud Transport Policy 8:1256–1269. https://
doi.org/10.1016/j.cstp.2020.08.006
2. Indonesian Highway Cooperation (2007). Operation and management division: Manajemen
pengumpulan tol, sistem transaksi, pentarifan & peramalan volume lalu-lintas. Indonesian
Highway Cooperation, Jakarta
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angkutan umum dan analisis ability to Pay (ATP) dan willingness to pay (WTP) di DKI
Jakarta. Jurnal Transportasi Forum Studi Transportasi antar Perguruan Tinggi (FSTPT)
1:121–139
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to pay (ATP) dan willingness to pay (WTP) pada Batik Solo Trans (BST) Koridor Empat di
Surakarta. Matriks Teknik Sipil 5:1094–1101
5. Hotmaida B (1999) Analisis Ability To Pay dan Willingness To Pay Tarif Angkutan Umum
Kota (Studi Kasus: Kotamadya Medan). Thesis, Master Thesis in Transportation Engineering,
Civil Engineering, Postgraduate Program, Institut Teknologi Bandung
6. Nugroho IW, Kusuma RA, Setijowarno D, Ruktiningsih R (2007) Konferensi Teknik Sipil I.
Analisis ability to pay (ATP) dan willingness to pay (WTP) Jalan Tol Semarang-Solo.
Universitas Atma Jaya Yogyakarta, Yogyakarta, Indonesia, pp 461–474
Analysis of Transportation Accessibility
in Shopping Areas in Makassar City
Jefryanto Londongsalu, Syafruddin Rauf, and Sumarni Hamid Aly
Abstract Accessibility has an important role for road users, both for users of private
vehicles and public transportation. The ease of traveling by public transport will
affect the use of this mode of transportation. This study was conducted to analyze the
accessibility of public transportation to the shopping area (Mall). There are two data
added in this study, namely walking distance and travel time from the point of public
transportation to the shopping area (Mall) or vice versa. There are 3 shopping areas
(malls) that are sampled in this study. The classification of accessibility levels based
on distance and travel time is obtained from the results of the analysis using the
percentile statistical method which is divided into four parts, namely high, medium,
low and very low. The results showed that Makassar Town Square Mall has a high
accessibility of public transportation that is 90.43%, Trans Mall has a low accessi-
bility that is 61.62%. And Panakkukang Mall has moderate accessibility, which is
68%. To improve accessibility in this shopping area (Mall), it is recommended to add
new public transportation routes to the Mall and provide scheduled services.

Keywords Accessibility Public transportation Geographic information system

(GIS) Statistical package for the social science (SPSS)
1 Introduction
Economic development and societal progress generate new expectations with

regard to mobility, environmental protection, and quality of life [1]. A more sus-
tainable urban development is one of the greatest challenges of modern times. The
J. Londongsalu (&) S. Rauf (&) S. H. Aly (&)

Department of Civil Engineering, Hasanuddin University, Gowa, South Sulawesi, Indonesia
e-mail: jefryantojhelo@gmail.com
S. Rauf
e-mail: syafraus@yahoo.co.id
S. H. Aly
e-mail: marni_hamidaly@yahoo.com
https://doi.org/10.1007/978-981-16-7949-0_30
342 J. Londongsalu et al.
transport system has a great impact on regional development patterns, economic

viability, environment, and promotion of socially acceptable quality of life levels
[2]. Transportation, in general, is connected to all aspects of urban life: Leisure,
education, business, and industry [3]. Increasing population growth from day to day
has implications for the increasing need for supporting facilities and infrastructure
in transportation. In addition, population growth has implications for higher pop-
ulation mobilization [4]. Makassar City is one of the largest cities in Eastern
Indonesia and is the center of community activities in various sectors, namely trade,
industry, and even education in South Sulawesi Province. Along with the devel-
opment of the population in Makassar City which continues to grow from year to
year with an area of 175.77 km2, as well as community activities that continue to
increase, so that the need for transportation facilities and infrastructure is increas-
ingly urgent. As one of the largest trading cities in eastern Indonesia, Makassar City
is never deserted from traffic activities, especially the travel route to the shopping
areas (Mall). This is indicated by frequent traffic jams on the roads leading to the
shopping area. In terms of efficiency, the congestion factor that increases travel time
contributes significantly to the process of traffic transportation on the route to
shopping areas (Malls), especially public transportation. Public transport has a very
important role to play in the sustainability of urban settings. Mass mobility and
quality of life in the city can be enhanced by developing public transport networks,
with stops accessible to pedestrians at a reasonable walking distance. Accessibility
of public transport is determined by how easily people get to the stops [5, 6]. For
that, we need to analyze the accessibility of public transport passenger travel in
order to determine the effectiveness and ease of reaching the location of the
shopping area (Mall). On the way to the shopping center, there are many travel
routes that have different accessibility values due to quite influential factors. These
factors include time, distance, and speed in accessing the destination (Mall). The
purpose of this study was to analyze the accessibility of public transportation to the
location of Shopping Areas (malls). In a previous study, Syamsuri Nurman (2013)
Performance Analysis of Public Transportation in Makassar City Based On Open
Source GIS (Case Study of Non-Campus Travel). The service of public trans-
portation can be seen from the effectiveness and efficiency of public transportation
operation. The effectiveness can be seen through several indicators such as
accessibility, capacity, average celerity, and frequency headway. On the other hand,
efficiency can be seen through some indicators such as achievability, expediency,
utility, operational level, load factor, and the age of transportation. Based on its
effectiveness and efficiency, the performance of public transportation in Makassar
can be analyzed. From the analysis, it is known that 25.13% of passengers state that
the public transportation (pete-pete) services are good while from the analysis of
public transportation celerity meet the world standard, i.e., 10–12 km/hour for high
density and 25 km/hour for low density [7].
Analysis of Transportation Accessibility … 343
2 Research Method
In this study, the stages of research implementation consist of four stages as shown
in Fig. 1: the preliminary studies stage, In stage preparation tools and materials, the
stage of collection or survey and data compilation and analysis or modeling stage.
1. 2. PREPARATION 3. SURVEY and 4. ANALYSIS

PRELIMINARY TOOLS and DATA and
STUDIES MATERIALS COMPILATION MODELING
1. STUDY 1. SURVEY 1. PRIMARY 1.

LITERATURE LOCATION DATA DESCRIPTIO
a. Accessibility a. Makassar City a. Mall Location N ANALYSIS
b. Public Transpor- Map b. Public a. Mall Location
tation b. Mall Map Transport Routes b. Public
c. Road Network c. Questionnaire: Transport
Map Gender, age, address, Routes
2. FORMULATING last education, occu-
THE SCOPE OF pation, amount of in-
RESEARCH 2. SURVEY come, Vehicles used 2. SPATIAL
a. Problem TOOLS & in activities, Destina- ANALYSIS
b. Destination PREPARATION tion to the Mall, Fre- a. Location
c. Benefits a. GPS Tool quency of visiting the Heatmap
b. GPS Map Cam- Mall in a month, b. Population
era Travel time to the Sample (Slovin
3. PEMBANGUNAN c. Survey Format Mall, Reasons for Method)
MODEL choosing a particular c. Accessibility
HIPOTESA Mall. Classification
3. SURVEYOR (Percentile Sta-
Analyzing the accessi-
PREPARATION tistical Method)
bility of Shopping
a. Survey Training 2. SECONDARY d. Public
Area (Mall) based on
b. GPS Map Cam- DATA Transport Ac-
public transportation
era Application a. Makassar City cessibility
routes.
Trial Spatial Data
b. Population Data
c. Road Network
Map.
d. Shopping area
(Mall) visitor data
Fig. 1 Research flow scheme

2.1 Research Location, Time and Research Tools
This research was carried out in November 2020–January 2021, during which time
a survey was conducted at the research location. The choice of research location
was based on preliminary study observations. The territorial scope of this research
is Makassar City. There are ten shopping areas in Makassar City, but three shop-
ping areas are the research locations. The equipment used in this study is a GPS
application. We use this application to send the location of the shopping area and
public transport routes. And a camera to take a front view of the research site.
2.2 Data Collect
In this study, there are 2 data used, namely primary data and secondary data.
Primary data, conducted by a direct survey to 3 shopping locations (Mall) in
Makassar City. Then distribute online and offline questionnaires to mall visitors.
Secondary data are Makassar City spatial data, population data, road network maps
obtained from Makassar City BPS and Makassar City Transportation Service and
shopping area visitor data (Mall) obtained from Mall management.
2.3 Data Analysis
Data on public transportation routes are obtained from the Makassar City
Transportation Service which is useful for analyzing the accessibility of public
transportation to shopping areas (Mall). The data is entered into the QGIS appli-
cation. To find out the support of public transportation to the Mall, the data used is
the data of respondents departing from the point of public transportation to the
shopping area (Mall) or the data of respondents leaving the shopping area (Mall) to
the point of public transportation. The results of the respondents’ distance and travel
time data were obtained from the ORS plugin in the QGIS application.
Furthermore, the accessibility of public transport will be analyzed based on the
percentile statistical method obtained from the SPSS application so that it can
classify accessibility into four groups, namely high, medium, low, and very low.
Using the Excel application will determine the level of accessibility and the per-
centage of accessibility of public transportation to the shopping area (Mall) so as to
produce a conclusion.
3 Research Finding and Discussion
3.1 Makassar City Transport Routes
Based on Fig. 2, there are 13 public transportation routes operating in Makassar

City. The length of the public transport routes in Makassar City is obtained from the
results of the analysis on the QGIS application, with the longest route being the F1
public transport route with a distance of 38,850 km and the shortest public transport
route code C with a distance of 11,322 km. The entire public transportation fleet
operating in Makassar City is 5069 units.
The number of city transportation fleets operating in Makassar City is 5069
units. And there are 13 city transportation service routes that follow to the corners
of Makassar City. Table 1 shows a list of public transportation service routes in the
city of Makassar.
3.2 Sample Population
The method that the researcher uses to determine the number of samples is the
Slovin formula. The Slovin formula is a mathematical system that is used to cal-
culate the number of a population of certain objects whose characteristics are not
known with certainty. Equation 1 shows the Slovin formula is commonly used for a
study on a particular object in a large population, so it is used to examine a sample
of a large population of objects.
Fig. 2 Makassar public transportation routes map

Table 1 Makassar City public transport routes

Code Route Length
(km)
A BTN Minasa Upa—Jl. Syech Yusuf—Jl. Sultan Alauddin—Jl. Andi Tonro 24.252
—Jl. Kumala—Jl. Ratulangi—Jl. Jendral Sudirman (Karebosi Timur)—Jl.
HOS Cokroaminoto (Sentral)—KH. Wahid Hasyim—Jl. Wahidin
Sudirohusodo—Jl. Pasar Butung
B Jl. Terminal Tamalate—Jl. Malengkeri—Jl. Daeng Tata—Jl. Abdul Kadir 22.45
—Jl. Dangko—Jl. Cendrawasih—Jl. Arief Rate—Jl. Sultan Hasanuddin—
Jl. Patimura—Ujungpandang—Jl. Riburane—Jl. Jendral Achmad Yani
(Balaikota)—Jl. Pasar Butung
B1 Jl. Cendrawasih—Jl. Arif Rate—Jl. Sultan Hasanudin—Jl. Sawerigading— 35.51
Jl. Botolempangan—Jl. Karunrung—Jl. Sungai Saddang—Jl.
G. Latimojong—Jl. Masjid Raya—Jl. Urip Sumoharjo—Jl. Perintis
Kemerdekaan—Kampus Unhas
C Jl. KH.Wahid.Hasyim—Jl. DR. Wahidin Sudirohusodo - Jl. Buru—Jl. 11.322
Bandang—Jl. Masjid Raya—Jl. Cumi-Cumi—Jl. Pongtiku—Jl. Ujung
Pandang Baru—Jl. Gatot Subroto—Jl. Juanda—Jl. Regge—Jl.
Rappokalling
D Terminal Daya—Jl. Perintis Kemerdekaan—Jl. Urip Sumoharjo—Jl. 28.068
AP. Pettarani—Jl. Bawakaraeng—Jl. G.Latimojong—Jl. Andalas—Jl.
Laiya—Selatan Makassar Mall
E Terminal Panakkukang—Jl. Toddoppuli—Jl. Tamalate—Jl. Emmy Saelan 20.77
—Jl. Mapala—Jl. AP. Pettarani—Jl. Maccini Raya—Jl. Urip Sumoharjo—
Jl. Bawakaraeng—Jl. G. Latimojong—Jl. Andalas—Jl. Laiya—Jl. KH.
Agus Salim—Timur Makassar Mall
E1 Terminal Panakkukang—Jl. Toddopuli Raya—Jl. Perumnas—Jl. 30.651
Hertasning—Jl. AP. Pettarani—Jl. Kampus IKIP—Jl. Gunung Sari—Jl.
AP. Pettarani—Jl. Pelita Raya—Jl. AP. Pettarani—Jl. Abdullah Daeng
Sirua—PLTU—Jl. Urip Sumoharjo—Jl. Perintis Kemerdekaan—Kampus
Unhas
F1 Terminal Tamalate—Jl. Mallengkeri—Jl. Daeng Tata—Jl. M. Tahir—Jl. 38.85
Kumala—Jl. Veteran—Jl. Masjid Raya—Jl. Urip Sumoharjo—Jl. Perintis
Kemerdekaan—Kampus Unhas
G Terminal Daya—Jl. Kima—TOL (Ir. Sutami)—Jl. Tinumbu—Jl. Cakalang 28.69
—Jl. Yos Sudarso—Jl. Tentara Pelajar—Jl. Kalimantan—Pasar Butung
H Perumnas Antang—Jl. Antang Raya—Jl. Urip Sumiharjo—Jl. 23.314
Bawakaraeng—Jl. Jenderal Sudirman—Jl. DR. Wahidin Sudirohusodo—Jl.
P. Diponegoro
I Terminal Panakkukang—Toddopuli Raya—Borong—Batua Raya—Jl. 18.69
Taman Makam Pahlawan - Jl. Urip Sumihorjo Jl. Bawakaraeng—Jl.
Jenderal Sudirman—Jl. DR. Wahidin Sudirohusodo—Jl. P. Diponegoro -
Jl. Andalas - Jl. Masjid Raya
J Terminal Panakkukang—Jl. Toddopuli Raya—Jl. Tamalate—Jl. Emmy 22.026
Saelan—Jl. Sultan Alauddin—Jl. Andi Tonro—Jl. Kumala—Jl. Ratulangi
—Jl. Jenderal Sudirman—Jl. HOS Cokroaminoto—Jl. Nusakambangan
S BTP Tamalanrea—Jl. Perintis Kemerdekaan—Jl. Urip Sumoharjo—Jl. 27.384
AP. Pettarani—Jl. Bawakaraeng—Jl. Latimojong—Jl. Andalas—Jl. Laiya
—Selatan Makassar Mall
Table 2 Total of respondents in each shopping area (mall)

Makassar Town Square Mall Trans Mall Panakkukang Mall
Total 94 99 50
Percentage (%) 38.68 40.74 20.58

n ¼ N 1 þ Ne2 ð1Þ
n = Number of Samples
N = Total Population
e = Error Tolerance (set 10% or 0.1)
90% confidence level.
Table 2 shows a number of respondents sample based on the location of the
shopping area (Mall).
3.3 Distance and Time on Foot from Public Transportation

to Shopping Area (Mall) or Distance and Time on Foot
from Shopping Are (Mall) to Public Transportation
A sample of 243 respondents from three Shopping Areas (Mall) in Fig. 3 shows the
distance, and Fig. 4 shows the walking time from public transportation to the
location of the Shopping Areas (mall). The average walking time from the
Makassar Town Square Mall location to the public transportation point or vice
versa is 0.018 h or 18 min and a distance of 0.09 km or 90 m. Most of the
respondent's walking time is quite short because the public transportation line is
right in front of the mall and is the only point for respondents to use public
transportation. However, there are some respondents who have to walk a bit far to
get to the public transportation point in the direction of their house.
In the Trans Mall based on the purpose of each respondent, there are two public
transportation codes which are the main transportation of respondents, namely
Transport Codes B1 and J because only these transportation codes have the closest
distance to Trans Mall even though the distance between Trans Mall and public
transportation points is quite far. The distance between the Trans Mall and the B1 public
transportation point is 3275 km with a travel time of 0.655 h, and the J code public
transportation is 3,584 km with a travel time of 0.717 h, so it greatly affects the travel
time as well. However, there were two respondents who did not reach the point of public
transportation because their area of residence was in Barombong and Galesong.
At Panakkukang Mall, based on the purpose of each respondent, there are two
different public transportation points which are the respondents’ main transporta-
tion, namely Transportation Code E1 as far as 0.805 km with a time of 0.161 h and
Transport Codes J and I as far as 1079 km with a time of 0.216 h because only
transportation codes This one has the closest distance to Panakkukang Mall.
However, there are two respondents who do not use public transportation because
the location of their residence is close to the Panakkukang Mall location.
4000
3500
3000
Distance (km)
2500
2000
1500
1000
500
0
1
9
17
25
33
41
49
57
65
73
81
89
97
105
113
121
129
137
145
153
161
169
177
185
193
201
209
217
225
233
241
Sample
Fig. 3 Distance on foot from public transportation to shopping area (mall) or distance on foot
from shopping area (mall) to public transportation
50
40
Time (minute)
30
20
10
0
1
11
21
31
41
51
61
71
81
91
101
111
121
131
141
151
161
171
181
191
201
211
221
231
241
Sample
Fig. 4 Time on foot from public transportation to shopping area (mall) or time on foot from
shopping area (mall) to public transportation
3.4 Accessibility Based on Distance
Accessibility based on distance can be determined based on the respondent's travel

distance from the shopping area (Mall) to public transportation points around the
mall to see the role of public transportation to the mall. Table 3 shows the clas-
sification of the level of accessibility is divided into four parts, starting from high,

classification based on
distance High accessibility Distance 90 m
Medium accessibility 90 m < Distance 805 m
Low accessibility 805 m < Distance 3275 m
Very low accessibility Distance > 3275 m
Table 4 Accessibility percentage based on distance

No. Accessibility Accessibility percentage (%)
1 High 90.43 0.00 0.00
2 Medium 9.57 0.00 68.00
3 Low 0.00 61.62 32.00
4 Very low 0.00 38.38 0.00
medium, low, and very low levels. This classification is obtained from the results of
the analysis using the SPSS application with percentile statistical method.
Table 4 shows that the accessibility of Makassar Town Square Mall to public
transportation points based on distance has a high value, which is around 90.43%,
because the public transportation point is right in front of the Mall location, making
it easier for visitors to use public transportation in accordance with the direction of
their destination. Compared to the Trans Mall, which has low accessibility, namely
61.62%, even very low, namely 38.38% due to the absence of access or public
transportation routes that are close to the Mall. Visitors have to travel a long
distance to get to the point of public transportation. Meanwhile, at Panakkukang
Mall, the accessibility is moderate, which is around 68.00%.
3.5 Accessibility Based on Time
Accessibility based on time can be determined based on the respondent’s travel

time from the shopping area (Mall) to public transportation points around the mall
to see the role of public transportation to the mall. Table 5 shows the classification
of the level of accessibility is divided into four parts, starting from high, medium,
low, and very low levels. This classification is obtained from the results of the
analysis using the SPSS application with percentile statistical method.
Table 6 shows that the accessibility of Makassar Town Square Mall to public
transportation points based on travel time has a high value, which is around
90.43%, because the public transportation point is right in front of the Mall loca-
tion, making it easier for visitors to use public transportation in accordance with the
direction of their destination. Compared to the Trans Mall, which has low

classification based on travel
time High accessibility Time 1.08 m
Medium accessibility 1.08 m < Time 9.66 m
Low accessibility 9.66 m < Time 39.30 m
Very low accessibility Time > 39.30 m
Table 6 Accessibility percentage based on travel time

No. Accessibility Accessibility percentage (%)
1 High 90.43 0.00 0.00
2 Medium 9.57 0.00 68.00
3 Low 0.00 61.62 32.00
4 Very low 0.00 38.38 0.00
accessibility, namely 61.62%, even very low, namely 38.38% due to the absence of
access or public transportation routes that are close to the Mall. Visitors have to
travel a long distance to get to the point of public transportation. Meanwhile, at
Panakkukang Mall, the accessibility is moderate, which is around 68.00%.
4 Conclusion
The accessibility of shopping areas (Mall) to public transportation routes is seen

from the distance and travel time of respondents (mall visitors) from public
transportation points to shopping areas (Mall). To see the role of public trans-
portation on the location of the mall, there are data obtained, namely the walking
distance from the public transportation point to the mall and the walking distance
from the mall to the public transportation point. So that the data obtained that the
accessibility of public transportation to the 3 locations of the shopping center (Mall)
studied is still very low. As is the case with the Trans Mall, which is very low at
around 61.62% because it is not accessible by public transportation routes. The
distance between the Trans Mall and public transportation points is very far. At
Panakkukang Mall, the value of public transportation accessibility to mall locations
is included in the medium category, which is around 68%. Unlike the Makassar
Town Square Mall which has a high accessibility value of 90.43% because the
location of the mall can be reached by all public transportation routes and is right in
front of the mall so that respondents (mall visitors) easily get access to their homes.
However, there are some respondents who have to connect and change public
transportation codes because the location of their homes cannot be reached by only
one public transportation code.
Acknowledgements Thanks to God Almighty for His inclusion so that we can complete this
research. We also thank all those who have supported this research: our parents who have always
provided moral and material support, our supervisors Mr. Syafruddin Rauf and Mrs. Sumarni
Hamid Aly who have taken the time to prepare this research, to the leadership and staff of BPS
Makassar City, as well as to the leadership and staff of the Makassar City Transportation Service
who have provided us with access to data collection. And to the managers of Makassar Town
Square Mall, Trans Mall, and Panakkukang Mall.
References
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Transp Environ 3:319–328
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In: Accessibility to Lagos bus rapid transit (BRT LITE) bus stops: an empirical study. Codatu,
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Hasanuddin. Dissertation, Universitas Hasanuddin
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Universitas Hasanuddin
Priority of Sustainable Transport Policy
Implementation in Expert Perspective
Nindyo Cahyo Kresnanto , Ricko Nasrianda Sinaga, Risdiyanto ,

and Wika Harisa Putri
Abstract Implementing sustainable transportation policies is a fundamental

problem for all countries, especially in choosing which policies are priorities to be
implemented. A method is needed to prioritize the implementation of the policy.
This study will develop priorities for implementing sustainable transportation
policies with an analytical hierarchy process (AHP) and involve nineteen experts as
respondents. The respondents consisted of two transportation experts from acade-
mia, eight people from the general public, three policymakers in the provincial
police, three people from the Provincial Development Planning Agency, and two
public transport operators. The results of the AHP analysis show that the K1 policy
(the application of technology to improve vehicle fuel efficiency or the use of
environmentally friendly fuels) is the most recommended policy by experts in
addition to the K3 (improved mobility and land use management) and K2 (mode
shift and travel behavior change) policies. The three most recommended policy
alternatives to be implemented in support of sustainable transportation are A2
(providing incentives for purchasing eco-friendly vehicles for vehicle renewal), A1
(building an environmentally friendly vehicle industry), and A5 (promoting better
transportation infrastructure).
Keywords AHP Policy Priority Sustainable transport
N. C. Kresnanto (&) R. N. Sinaga Risdiyanto

Department of Civil Engineering, Janabadra University, Yogyakarta, Indonesia
e-mail: nindyo_ck@janabadra.ac.id
W. H. Putri
Janabadra University, Yogyakarta, Indonesia
e-mail: wikaharisa@janabadra.ac.id
https://doi.org/10.1007/978-981-16-7949-0_31
354 N. C. Kresnanto et al.
1 Introduction
The whole world is currently faced with transportation problems, such as high
vehicle ownership [1–3], increasing pollution [4, 5], and high fuel consumption for
transportation [6]. The high level of motorized vehicle ownership continues to
increase throughout the year, especially in Organisation for Economic Co-operation
and Development (OECD) countries. By 2030 it is predicted that 56% of world
vehicle ownership will be in OECD countries, which is a substantial increase from
24% in 2004 [7]. In Indonesia in 2019, the growth of motorized vehicles was
14.55% per year, car ownership reached 324 vehicles per 1000 population [8]. This
rapid growth of vehicles will of course, also impact the growth of fuel demand. This
problem certainly has a terrible impact on the community's environmental, social
and economic conditions.
Various efforts to overcome this have been implemented, especially by imple-
menting policies that support sustainable transportation. Policies related to this are
of course, very diverse and mutually supportive of each other. There are at least
three main policies to support sustainable transportation, namely: (1) technology
application, (2) pricing and financing, and (3) transportation integration with land
use. [9]. Of the three main policies, experts then go into detail at the implementation
level [10, 11], and the implementation can vary greatly depending on each region
[12]. To determine what policies will be prioritized, a lot is also done by making
policy priorities.
One of the tools to prioritize policy implementation is
Multiple-Criteria-Decision-Making (MCDM). One method of MCDM is the ana-
lytical hierarchy process (AHP). In this research, AHP will apply to prioritize the
implementation of sustainable transportation policies from expert perceptions.
2 Literature Review
Sustainable transportation define as the ability to support community mobility

without causing negative impacts on the environment, social, and economic [13,
14]. Sustainable transportation policy should be directed towards the goal at least
[15]:
1. involving best practices on the cost–benefit analysis and environmental
assessment in the decision-making process;
2. efficient and coherent pricing and financing of infrastructure;
3. reducing CO2 emissions from road transport;
4. promoting the utilization of low emission trucks;
5. improving the competitiveness of street options—rail and inland transportation
—and eliminating hindrances to the worldwide improvement of their business
sectors;
Priority of Sustainable Transport Policy Implementation … 355
6. improving street security;

7. resolving struggles among transport and sustainable development in downtown
environments.
This study uses the Analytic Hierarchy Process (AHP) to make policy priorities
about sustainable transportation as a tool for decision-making. Thomas L. Saaty
developed AHP in the 70s. This method will extenuate complex multi-criteria
issues into a hierarchy. Hierarchy is characterized as a portrayal of an intricate issue
in a layered structure. The primary level is the objective, trailed by the degree of
elements, rules, sub-standards, and the last, degree of choices [16, 17].
AHP is part of the MCDM or Multiple-Criteria-Decision-Analysis (MCDA)
family. MCDM that is popularly used today are: AHP, Scoring Model, Utility
Model, Analytic Network Process (ANP), Out Ranking Method, Technique for
Others Reference by Similarity to Ideal Solution (TOPSIS), and others. [18].
MCDM is a sub-order of tasks research that expressly assesses a few clashing
measures in decision making. MCDM is communicated as a decision-making
technique to decide the best option from a few options dependent on specific criteria
[19]. The advantage of this method is that it can consider both financial and
non-financial impacts (measured and immeasurable) [20].
3 Methodology
They were gathering information for the contribution of this strategy utilizing a
survey intended for AHP investigation. Respondents were approached to contrast
the models and pairwise correlations. Pairwise correlations survey the overall sig-
nificance of standards/sub measures on a scale of 1, 3, 5, 7, and 9 [17]. Respondents
are experts in the field of transportation from several government agencies, lec-
turers, and business actors. The respondents consisted of two transportation experts
from academia, eight people from the general public, three policymakers in the
provincial police, three people from the Provincial Development Planning Agency,
and two public transport operators. The MCDA interaction with AHP for surveying
the components that most impact the travel ridership will be done utilizing the
accompanying advances.
Step 1. Characterize the issue and decide the ideal arrangement. The problem to
be researched is determining what policies can be done to support sustainable
transportation based on previous studies. This study will analyze three factors at the
criteria level (K) and seven factors at the sub-criteria level (A) based on the pre-
vious data review (Fig. 1).
Step 2. Make a hierarchical structure that beginnings with an overall objective,
trailed by sub-targets, standards, and possible alternatives at the lowest level of
criteria (Fig. 1).
Step 3. Make a pairwise comparison matrix that represents each element’s rel-
ative contribution or impact on every one of the objectives or standards above it.
Fig. 1 General hierarchy structure in prioritizing sustainable transportation action
Comparison is settled on the decision-making judgment by evaluating the signifi-

cance of a component contrasted with different components.
In the significance of weighting or pairwise comparison evaluation, the recip-
rocal axiom applies. Implying that component An is viewed as more significant
(5) than component B. B is more significant 1/5 contrasted with component A. On
the off chance that component An is pretty much as significant as B, each
worth = 1. Doing a pairwise comparison with the goal that general judgment is
gotten n[(n − 1)/2] pieces, where n is the quantity of standards thought about, for
this situation, the all-out judgment in level models is n [(n − 1)/2] = 3[(3 − 1)/
2] = 3 cells. With the same calculation, at the K1 sub-criteria level, there are three
judgments. At the K2 sub-criteria level, there are 15 judgments, and at the K3
sub-criteria level, there are six judgments.
The original judgment matrix, As, in subsegment s of each respondent was
initially normalized to matrix Bs. The elements in each column of the matrix (aij)
were divided by the sum of the elements of the same column (sj) to get the
normalized elements, as shown in Eq. 1.
2 3 2 3 2 3
a11 ... a17 a11 =s1 ... a17 =s7 b11 . . . b17
6 .. .. .. 7 6 .. .. .. 7 ¼ 6 .. .. .. 7
As ¼ 4 . . . 5; Bs ¼ 4 . . . 5 4 . . . 5
a71 ... a77 a71 =s1 ... a77 =s7 b7 . . . b77
ð1Þ
where bij is a normalized element in the matrix, Bs. The priority vector Vs was then
determined by getting the average of each row, as shown in Eq. 2.
Table 1 Random index value

Ordo matrix 1 2 3 4 5 6 7 8 9 10
RI 0 0 0.58 0.9 1.12 1.24 1.32 1.41 1.45 1.49
2 3 2 3
ðb11 þ b12 þ . . . þ b17 Þ=7 v1
6 .. 7 6 .. 7
Vs ¼ 4 . 5 ¼ 4 . 5 ð2Þ
ðb71 þ b72 þ . . . þ b77 Þ=7 s v7 s
Step 4. Compute eigenvalues and test the consistency of every respondent. If it is

not consistent, information recovery is rehashed, or conflicting information is dis-
posed of. The fundamental guideline in this consistency test is that if A is a higher
priority than B, B is a higher priority than C, so it is absolutely impossible that C is
a higher priority than A. The benchmark utilized is CI (Consistency Index) versus
RI (Ratio Index) or CR (Consistency Ratio), CR and CI can calculated by using
Eq. 3, Cs counted by using Eq. 4, and RI is determined based on prior research
(Table 1) [21]
CIs ð ks nÞ
CRs ¼ ; CIs ¼ ; ks ¼ Cs =n ð3Þ
RI ð n 1Þ
2 32 3 2 3
a11 . . . a17 v1 c1 =v1
6 . .. .. 76 .. 7 6 .. 7
Cs ¼ As Vs ¼ 4 .. . . 54 . 5 ¼ 4 . 5 ð4Þ
a71 . . . a77 v7 c7 =v7
Step 5. Check the CR. On the off chance that the worth is in excess of 10%, the
judgment information should be improved—the generation of a new judgment
matrix. In view of the consequences of the past advance, a new judgment matrix
developed. Judgment matrices were consistently retained, while those otherwise
were revised. Since the quantity of respondents is more than one individual, it is
important to join the respondents’ sentiments by utilizing the average geometry
equation before the AHP computation is performed. The assessment of respondents
utilized is the assessment of respondents who have tried their consistency through
an interaction of consistency testing with CR 0.10.
4 Discussion
The results of the AHP analysis at the criterion level obtained eigenvalues and
priority rankings for implementing sustainable transportation policies, as shown in
Table 2. According to experts, the K1 policy (application of technology to improve
vehicle fuel efficiency on the use of environmentally friendly fuels) is the most
Table 2 Eigenvalue and K1 K2 K3 Eigenvalue Ranking

priority at the criteria level priority
K1 0.545 0.500 0.571 0.539 1
K2 0.182 0.167 0.143 0.164 3
K3 0.273 0.333 0.286 0.297 2
prioritized policy. The next ranking is a policy of increasing mobility and land use
(K3) and a policy of changing modes and changing travel behavior (K2). With the
results of the calculation of the value of CR = 0.00964 < 0.100, it means that the
respondent's preference is consistent or valid.
Furthermore, at the sub-criteria level of the K1 criteria, the expert judgment
results are obtained, as shown in Table 3. Sub-criteria A2 is the alternative with the
highest eigenvalue (0.490), meaning it is the most prioritized to run if it only
considers the K1 criteria. With the results of the calculation of the value of
CR = 0.05234 < 0.100, it means that the respondent's preference is consistent or
valid.
At the sub-criteria level in the K2 criteria, the CR value is obtained = 0.0997
< 0.100, which means that the respondent’s preferences are consistent. Based on
Table 4, it can be concluded that in implementing the K2 criteria, alternative A5
(encouraging better transportation infrastructure) is the most priority alternative to
be implemented. It is evidenced by the weight value obtained is 0.277. While in
second place, there is alternative A7 (subsidy for public transport fares) with a
weight of 0.179. Third, there are alternative A4 (better integration between trans-
portation planning and land use) with a weight of 0.172. Fourth, alternative A3
(making a tax scheme that supports eco-friendly transportation) with a weight of
0.153. Fifth, there is alternative A2 with a weight of 0.110. While in the last place,
there is an alternative A6 (development of intelligent transport system technology)
with a weight of 0.109.
Based on Table 5, it can be concluded that in implementing the K3 criteria, the
most priority alternative to be applied is alternative A5. It is evidenced by the
weight value obtained is in the first position with a weight value of 0.387 or 38.7%.
In second place is alternative A4, with a weight of 0.275 or 27.5%. The third
position is the alternative A6 with a weight of 0.198 or 19.8%. In the last position,
there is an alternative A7 with a weight of 0.140 or 14.0%. With the value of
CR = 0.0501 < 0.1.
Table 3 Eigenvalue and A1 A2 A3 Sum Eigenvalue Rank

priority at sub-criteria level
K1 A1 0.286 0.250 0.400 0.936 0.312 2
A2 0.571 0.500 0.400 1.471 0.490 1
A3 0.143 0.250 0.200 0.593 0.198 3
Table 4 Eigenvalue and priority at sub-criteria level K2

A2 A3 A4 A5 A6 A7 Sum Eigenvalue Rank
A2 0.105 0.063 0.077 0.150 0.190 0.077 0.662 0.110 5
A3 0.211 0.125 0.077 0.150 0.048 0.308 0.918 0.153 4
A4 0.211 0.250 0.154 0.150 0.190 0.077 1.032 0.172 3
A5 0.211 0.250 0.308 0.300 0.286 0.308 1.662 0.277 1
A6 0.053 0.250 0.077 0.100 0.095 0.077 0.652 0.109 6
A7 0.211 0.063 0.308 0.150 0.190 0.154 1.075 0.179 2
Table 5 Eigenvalue and A4 A5 A6 A7 Eigenvalue Rank

priority at sub-criteria level
K3 A4 0.250 0.200 0.364 0.286 0.275 2
A5 0.500 0.400 0.364 0.286 0.387 1
A6 0.125 0.200 0.182 0.286 0.198 3
A7 0.125 0.200 0.091 0.143 0.140 4
Fig. 2 Eigenvalue and priority policy
Based on the normalized pairwise comparison matrix results, it can also be seen
that the ranking of all alternatives (Fig. 2). This ranking can be used as one of the
suggestions in developing alternative implementations. As for getting the ranking
results on the alternatives offered, it will be multiplied by the evaluation factor
(eigenvector) of each alternative by the criteria evaluation factor.
5 Conclusions
The results showed that the K1 policy (the application of technology to improve
vehicle fuel efficiency or the use of environmentally friendly fuels) was the most
recommended policy by experts in addition to the K3 and K2 policies. The three
most recommended policy alternatives to be implemented in support of sustainable
transportation are A2 (providing incentives to purchase eco-friendly vehicles for
vehicle renewal), A1 (building an environmentally friendly vehicle industry), and
A5 (encouraging better transportation infrastructure).
References
1. Kresnanto NC, Wicaksono BK (2021) The impact of growth in vehicle ownership on

commuter travel time.https://doi.org/10.1007/978-981-33-6311-3_85
2. Harriet T, Poku K, Kwabena AE (2013) An assessment of traffic congestion and its effect on
productivity in urban Ghana. Int J Bus Soc Sci 4:1–10
3. Dargay J, Gately D, Sommer M (2007) Vehicle ownership and income growth world wide:
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4. Anggarani D, Rahardjo M, Nurjazuli N (2016) Hubungan Kepadatan Lalu Lintas Dengan
Konsentrasi Cohb Pada Masyarakat Berisiko Tinggi Di Sepanjang Jalan Nasional Kota
Semarang. J Kesehat Masy 4:139–148
5. Akgüngör AP, Demirel A (2008) Investigating urban traffic based noise pollution in the city
of Kirikkale, Turkey. Transport 23:273–278. https://doi.org/10.3846/1648-4142.2008.23.273-
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6. Gallagher KS, Muehlegger E (2011) Giving green to get green? Incentives and consumer
adoption of hybrid vehicle technology. J Environ Econ Manage 61:1–15. https://doi.org/10.
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8. Kresnanto NC (2019) Model of relationship between car ownership growth and economic
growth in Java. IOP Conf Ser Mater Sci Eng 650:8. https://doi.org/10.1088/1757-899X/650/
1/012047
9. Greene DL (1997) Sustainable transport. J Transp Geogr 5:177–190. https://doi.org/10.1016/
C2013-0-17820-8
10. Ogryzek M, Adamska-Kmieć D, Klimach A (2020) Sustainable transport an efficient
transportation network—case study. Sustainability 1–14
11. Pujiati A, Nihayah DM, Adzim F, Nikensari SI (2020) Implementation of sustainable
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14. Cruzado I (2005) Sustainable transportation system. WIT Trans Built Environ 77:343–349.
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in transport problems. Arch Transp 29:47–54. https://doi.org/10.5604/08669546.1146966
Prioritizing District Road Maintenance
Using AHP Method
Nindyo Cahyo Kresnanto
Abstract Efforts to extend the useful life of roads are carried out by routine,
periodic maintenance, or reconstruction. In Indonesia, maintenance of district roads
is carried out based on the Technical Guidelines for District Road Planning and
Programming (SK No. 77 of the Directorate General of Highways, 1990). Road
maintenance regarding these instructions prioritizes roads that are maintained by 5
criteria and 17 sub-criteria conditions that must be considered. Of course, it is not
easy to prioritize with so many criteria and sub-criteria. This study will prioritize
road maintenance based on the criteria/sub-criteria used by the Analytic Hierarchy
Process (AHP) method. The research was conducted by interviewing respondents
who are road maintenance experts. Furthermore, the results of respondents’
assumptions as measured by a Likert scale were analyzed using the AHP method,
which resulted in the weight of the influence of the criteria/sub-criteria on the
priority of road maintenance. The results showed that the most important order of
priority for road maintenance is the traffic volume factor, the road condition factor,
the policy factor, the economic factor, and the last factor is land use.
Keywords Analytic hierarchy process (AHP) Priority Rehabilitation
1 Introduction
With age, the road will experience a decrease in the level of service. In addition to
traffic loads, other factors that can damage roads are temperature, weather, air
content, and road quality. To extend the life of the road, it is necessary to carry out
routine or periodic maintenance so that the road is always in a state of high service
level. The relationship between the level of road service, rehabilitation, and dura-
tion of road use can be seen in Fig. 1 [1].
N. C. Kresnanto (&)
Civil Engineering, Janabadra University, Yogyakarta, Indonesia
e-mail: nindyo_ck@janabadra.ac.id
https://doi.org/10.1007/978-981-16-7949-0_32
364 N. C. Kresnanto
Fig. 1 Rehabilitation and construction life-cycles for new and existing pavements [1]
The maintenance/rehabilitation process must be carried out with priority by

assessing road conditions based on specific criteria [2–4]. It was done because,
especially for roads with the status of district roads, the amount of maintenance funds
was not proportional to the number/length of roads that had to be handled [5, 6].
However, its condition was never reported. Thus, stakeholders who are authorized
to carry out maintenance activities must assess the condition of roads and prioritize
which roads should be rehabilitated. Prioritization is carried out by referring to
Decree No. 77 of the Directorate General of Highways (1990). There are at least
five criteria and 17 sub-criteria in this decree that must be considered in setting
priorities.
In this condition, it is necessary to calculate the weight of the influence of each
criterion/sub-criteria on the priority priorities. One of the tools used for this
weighting is the Analytical Hierarchy Process (AHP) [7, 8]. AHP is a
decision-making method developed by Thomas L Saaty in 1970 [9]. This method is
part of the Multi Criteria Decision Making (MCDM) [10]. So, in terms of priori-
tizing which roads will be maintained, the question that must be resolved is the
priority order of road handling at the maintenance stage using the AHP method. The
explanation of these questions is the purpose of this study, namely determining the
order of priority for road handling based on the AHP method.
2 Literature Review
2.1 Priority Scale Based on Decree No. 77 Director General

of Highways 1990
The procedure for SK No. 77/KPTS/Db/1990 from the Director General of

Highways is a district road planning guide issued by the Director General of
Prioritizing District Road Maintenance Using AHP Method 365
Highways as a reference in determining the priority order of district road handling.

However, the procedure does not provide how much weight value the influence of
the criteria on priority determination. In general, the priority criteria for road
handling according to the procedure are as follows:
1. The primary criterion for priority selection is to prioritize the project with the
highest Net Present Value (NPV)/Km.
2. A project evaluation code is also provided for projects marked with an NPV/Km
range to guide their selection, with the following selection instructions.
3. Give priority to the project group that has the highest feasibility.
4. Give the lowest priority to the project group with the most insufficient
feasibility.
5. Prioritizing rollout projects, especially the completion of projects whose
implementation is divided or in stages.
6. Completion of the project according to the initial plan or according to the initial
design will provide full benefits for the investment.
7. Avoid very long projects (generally projects longer than 15 km) should be
avoided at the project determination stage.
8. Prioritizing the strategic road network sections that have been determined.
9. Give priority to projects that meet district development objectives.
2.2 Analytical Hierarchy Process (AHP)
Analytical Hierarchy Process (AHP) is a complex decision-making technique with a

pairwise comparison approach between criteria and results in an assessment of the
weight of the influence of the criteria on the decision-making objectives. This
method was first developed by Thomas L Saaty in 1970. The use of the AHP
method for decision-making in the transportation sector has been widely used,
among others: to evaluate the performance of public transportation [8, 11–13], for
decision making on road safety [14], including to prioritize road maintenance [15–
17]. Several researchers have also prioritized roads with certain statuses, such as:
prioritizing the handling of district roads with four criteria (road conditions, traffic,
land use, and economy) [18], and priority one level with five criteria in district road
(road condition, traffic volume, accessibility, policy, and land use) [19, 20]. Some
researchers have also done something similar with case studies on roads with
national road status [21, 22].
366 N. C. Kresnanto
3 Methodology
The processes carried out in the AHP method are as follows:

1. Step 1. Define the issue and decide on the best remedy. In this study, the
problem to be solved is determining the priority of road maintenance based on
various criteria.
2. Step 2. Create a hierarchical structure starting with a general goal followed by
criteria and possible alternatives at the lowest criteria level. A hierarchy is
formed with five criteria and 17 sub-criteria to prioritize road maintenance. In
this study, the hierarchical level arrangement used in the Analytical Hierarchy
Process (AHP) method is as follows:
• Level I (Goal) is the purpose of determining the priority of road
maintenance.
• Level II (Criteria) consists of criteria in determining road priorities, namely:
Road Conditions (A), Road Hierarchy (B), Social Aspects (C), Economic
Aspects (D), Land Use Aspects (E)
• Level III (Sub Criteria), Sub Criteria for Road Condition Aspects, Road
Class, Economic Aspects, Road Hierarchy Aspects, Social Aspects, and
Land Use Aspects. The hierarchy chart from level I to level III can be seen in
Fig. 2.
3. Step 3. Create a pairwise comparison matrix that describes the contribution or
influence of each element on the criteria specified in it.
Fig. 2 AHP hierarchy to prioritize road maintenance

Table 1 Pairwise comparison matrix scale [23]

Intensity of importance Definition
1 Elements that are equally significant to others
3 One factor is slightly more significant than the others
5 The importance of one over the other is moderate
7 Very strong important
9 Extreme importance of one over another
2, 4, 6, 8 Intermediate value between two adjacent value
Table 2 Random index value

Ordo matrix 1 2 3 4 5 6 7 8 9 10
RI 0 0 0.58 0.9 1.12 1.24 1.32 1.41 1.45 1.49
4. Step 4. Perform pairwise comparisons so that n[(n − 1)/2] scores are obtained,
where n is the number of elements being compared, with five criteria elements, 5
[(5 − 1)/2] = 10 pairwise comparisons at the criterion level. At the sub-criteria
level, there will be a total of 17[(17 − 1)/2] = 136. Pairwise comparisons are
graded using a scale, as shown in Table 1.
5. Step 5. Calculate eigenvalues and assess each respondent’s consistency. Data
retrieval is repeated if it is not consistent, or inconsistent data is discarded. The
basic principle in this consistency test is that if A is more important than B, B is
more important than C, so there is no way C is more important than A. The
benchmark used is CI (Consistency Index) versus RI (Ratio Index) or CR
(Consistency Ratio). RI is determined based on previous studies [24], as shown
in Table 2.
6. Step 6. Repeat steps 3, 4, and 5 for each hierarchy.
7. Step 7. Determine each pairwise comparison matrix’s eigenvector.
8. Step 8. Verify the hierarchy’s consistency. The judgment data assessment must
be modified if the value is greater than 10%.
368 N. C. Kresnanto
4 Discussion and Result
Respondents in this study were experts in the field of road maintenance/

rehabilitation. The number of respondents was 29 people, consisting of eight
people from the Public Works Department's Binamarga Expert Staff, six people
from Sleman Regency, five people from Kulon Progo Regency, seven people from
Bantul Regency, and three people from Gunung Kidul Regency.
Initial assessment of pairwise comparisons between criteria A (Road
Conditions), B (Traffic Volume), C (Policy), D (Economic) and E (Land Use), Wi
values, eigenvector values (E), and kmax can be seen in Table 3.
The consistency value as a measure of the control model is calculated using the
consistency ratio (CR) by first calculating the consistency index (CI) = (kmax − n)/
(n − 1) = (5.100 − 5)/(5 − 1) = 0.025 (where n denotes the matrix’s size 5 5.
CR = CI/RI, the value of RI is taken from Table 2, so CR = 0.025/
1.12 = 0.02223 < 0.1 (meaning that the answers from respondents can be accoun-
ted for because they are consistent).
After analyzing the calculations using the AHP for each criterion and sub-criteria
according to the calculation flow as above, the influence weight of each criterion
and sub-criteria is obtained as shown in Table 4.
Table 3 Average original judgment matrix, Wi, E, and kmax

P p ffiffiffiffiffiffiffiffiffiffi
P
A B C D E Ai Wi = n
Ai Eigen kmax = Ei/R
vector Aj
E = Wi/R
Wi
A 1.000 0.949 1.138 1.805 2.457 4.790 1.368 0.257 0.999
B 1.054 1.000 2.375 1.754 2.149 9.433 1.567 0.294 1.000
C 0.879 0.421 1.000 1.485 1.724 0.947 0.989 0.185 1.070
D 0.554 0.570 0.673 1.000 2.235 0.475 0.862 0.162 1.049
E 0.407 0.465 0.580 0.447 1.000 0.049 0.547 0.103 0.982
P
Aj 3.893 3.406 5.766 6.491 9.565 15.695 5.333 1.000
kmax 5.100
Table 4 Aggregated priority weights and rankings of criteria

Criteria Subcriteria
Factor Weight against Factor Weight against
criteria (%) sub-criteria (%)
(A) Road 25.70 Light damage 33.90
condition Medium damage 44.70
Heavy damage 21.40
(B) Traffic 29.40 Light truck 26.80
volume Medium-heavy truck 35.80
Car 12.80
Bus 17.80
Motorcycle 6.86
(C) Economic 16.20 Benefits/Eligibility 66.30
Construction cost 33.70
estimation
(D) Policy 18.50 New road 13.90
construction
Maintenance 55.60
Damage prevention 30.50
(E) Landuse 10.30 Agriculture 26.40
Education 34.01
Socio-cultural 14.85
Trading area 24.74
5 Conclusions
From the research results that have been described in the discussion, conclusions
can be drawn, as follows:
1. The application of the AHP method can help provide alternative
decision-making in road maintenance, according to several aspects of the criteria
that are considered to affect road maintenance.
2. The results of the priority order of road handling criteria (level I) indicate that
the Traffic Volume factor is preferred, with a weight of 0.294 (29.4%), then
followed by the Road Condition factor of 0.257 (25.7%), the policy factor is
0.185 (18.5%), economic factors 0.162 (16.2%) and finally land-use factors
0.103 (10.3%).
370 N. C. Kresnanto
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asphalt pavements for Southern Africa (CAPSA), North West, South Africa, pp 1–15
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Program Jalan Kabupaten
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generation rates for transportation impact analyses of infill developments. Transportation
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(Ruas Jalan Puding Besar—Kota Waringin Kabupaten Bangka). Thesis, UNS-Pascasarjana
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Overview of Side Friction Factors
for Evaluation of Capacity Calculation
at Indonesian Highway Capacity
Manual
Najid and Tamara Marlianny
Abstract The Indonesian Highway Capacity Manual (IHCM) as a reference in

determining road capacity in Indonesia was made in 1997 by the Directorate
General of Highways, Ministry of Public Works and Public Housing. Currently, the
composition of traffic on roads and the number of residents is very significantly
different from the year 1997. Road capacity based on a current calculation based on
IHCM shows very pessimistically compared with the traffic volume data. Those
very significant differences indicate the need to evaluate the method of determining
road capacity based on the IHCM. To evaluate and revise the IHCM, research was
conducted on several roads grouped by road type. This research was conducted at
road type 4/2 D (four lanes two ways with separator) on the H.R. Rasuna Said
Jakarta. The survey results obtained traffic volume, speed, side friction in the
morning, midday, and afternoon. Results analysis side friction values obtained are
not accommodated with those in the IHCM, so revisions are needed for other
parameters that have a greater influence, namely basic capacity.
Keywords Road capacity Side friction IHCM 1997
1 Introduction
1.1 Background
The IHCM (Indonesian Highway Capacity Manual), which was made in 1997,
requires evaluation and revision considering that the manual is already 24 years old
and the value of the road capacity calculated based on the IHCM looks no longer in
accordance with current traffic conditions, especially with the actual road capacity
conditions. The road has several types, namely 6/2 D (six lanes two ways with
Najid (&) T. Marlianny

Department of Civil Engineering, Engineering Faculty, Universitas Tarumanagara, Jakarta,
Indonesia
e-mail: najid@ft.untar.ac.id
https://doi.org/10.1007/978-981-16-7949-0_33
374 Najid and T. Marlianny
separator), 4/2 D (four lanes two ways with separator), 2/2 UD (two lanes two ways
without separator), 4/2 UD (four lanes two ways without separator). Thus, evalu-
ation and revision plans are based on the type of road [1].
From the survey results, the traffic volume is often much higher than the road
capacity value based on the IHCM, so the traffic volume value that much higher
than the road capacity value can be assumed as the estimated road capacity value.
The value of side friction has influenced the value of traffic volume as a result of the
survey. The estimated side friction can be determined from the estimated road
capacity.
In IHCM 1997, the road capacity is calculated based on five parameters, namely
the basic capacity parameter, correction factor for road lane width, the correction
factor for the proportion of way traffic flow, the correction factor for side friction,
and the correction factor for city size. The side friction factor is an influencing
parameter that is easier to observe for evaluation. The side friction factor is
determined by the accumulation of weighted summation of type side friction and
pedestrian facility-wide. Type of side friction consisting of stop vehicle, the vehicle
from access of roadside, pedestrian, and nonmotorized vehicle at along of the
roadside.
This study needs to analyze the magnitude of the side drag adjustment factor
based on the capacity estimation results and compare it with the side friction factor
in the IHCM. To estimate the order of influence, each side friction type to road
capacity was analyzed based on respondent perception data.
1.2 Problem Identification
1. The results of the traffic volume survey are greater than the value of the Road
Capacity based on IHCM, 1997.
2. Road users’ perceptions of traffic conditions due to the influence of side friction.
3. Revision of road capacity analysis based on IHCM 1997 by analyzing roadside
friction factor.
4. The side friction factor on the H.R Rasuna Said road is more determined by stop
vehicles and vehicles access from the side of the road.
1.3 Problem Limitation
1. The location of this study was carried out on Jalan H.R Rasuna Said, Jakarta,
with the type of road is 4/2 D.
2. Data was obtained through observation (Survey Data) and questionnaire survey
with Google Form.
Overview of Side Friction Factors for Evaluation … 375
1.4 Problem Formulation
1. How is the analysis of the effect of side friction on road capacity on Jalan H.R
Rasuna Said based on IHCM 1997?
2. How is the road capacity revision based on IHCM1997 by utilizing the roadside
friction factor?
3. How is the estimated side friction factor according to the estimated road
capacity?
1.5 Objectives
1. To analyze the effect of side friction on the road capacity of H.R Rasuna Said
based on the IHCM 1997.
2. To analyze the estimation of side drag factors based on the estimated road
capacity on the H.R Rasuna Said road.
3. To evaluate the calculation of road capacity according to IHCM 1997.
2 Literature Review
2.1 Capacity
Road Capacity is the maximum number of vehicles crossing a point on the road
path at a certain time under certain road conditions or is the maximum flow that can
be passed on a road path expressed in units of vehicles per hour or units of
passenger cars per hour (pcu/h). The method for calculating road capacity based on
the 1997 Indonesian Road Capacity Manual is shown on Eq. 1 [1].
C ¼ Co FCw FCsp FCsf FCcs ð1Þ
where
C Capacity (pcu/h)
Co Basic Capacity (pcu/h)
FCw Lane Width Adjustment Factor
FCsp Split Proportion Adjustment Factor
FCsf Side Friction Adjustment Factor
FCcs City Size Adjustment Factor.
2.2 Basic Capacity
Basic capacity can be defined as the maximum number of vehicles that can cross a
certain road cross-section for one hour under ideal road and traffic conditions. The
conditions for basic capacity per lane based on road type are shown in Table 1.
2.3 Lane Width Adjustment Factor (FCw)
The determination of the capacity adjustment factor for the traffic lane width
(FCw) based on the traffic lane width can be obtained from Table 2.
2.4 Split Proportion Adjustment Factor (FCsp)
This factor is an adjustment factor due to the separation of ways of traffic flow and
is specially used for the road without road separator such as road type 4/2 UD and
type 2/2 UD. The split proportion adjustment factor for road type 4/2 D or 6/2 D
can be used value is one.
Table 1 Basic capacity Road type Basic capacity (pcu/h) Note

(Co) [1]
4/2 D 1650 Per lane
4/2 UD 1500 Per lane
2/2 UD 2900 Total two lanes
Table 2 FCw based on Road type Effective lane width (Wc) FCw
effective lane width [1]
Per lane (m)
4/2 D 3.00 0.92
3.25 0.96
3.50 1.00
3.75 1.04
4.00 1.08
2.5 Side Friction Adjustment Factor (FCsf)
Side friction adjustment factor value obtained from pedestrian facility width and
side friction class can be seen in Table 3.
Side Friction Class is determined by the number of events of each side friction
type and their weight, shown in Tables 4 and 5.
Table 3 FCsf road with kerbs [1]

Road type Side friction class FCsf
Distance Kerbs to Obstacle (Ws)
0.5 1.0 1.5 2
4/2 D VL (Very low) 1.00 1.01 1.01 1.02
L (Low) 0.97 0.98 0.99 1.00
M (Medium) 0.93 0.95 0.97 0.99
H (High) 0.87 0.90 0.93 0.96
VH (Very high) 0.81 0.85 0.88 0.92
Table 4 Weight of side Side friction type Weight

friction [1]
Pedestrian 0.50
Public transport and vehicle stop 1.00
Access vehicle 0.70
Unmotorized vehicle 0.40
Table 5 Side friction class [2]

Side friction Code Weighted number of events Typical condition
class (SFC) per 200 m/h
Very low VL <100 Residential area, road with
frontage road
Low L 100–299 Residential area, some public
transport etc.
Medium M 300–499 Industrial area with roadside
shops
High H 500–899 Commercial area, high roadside
activity
Very high VH >900 Commercial area with roadside
market activities
2.6 City Size Factor
Capacity adjustment factors for city size (FCcs) are assessed based on the popu-
lation. Table 6 is a table of capacity adjustment factors for city roads based on the
IHCM 1997.
3 Methodology
Based on Previous Research and the actual problem which traffic flow or traffic
volume have a value more than IHCM's Capacity, it needs evaluation of the IHCM,
especially the calculation of road capacity. To evaluate the IHCM's capacity, the
observation of traffic flow condition at the certain segment road when at the same
the side friction occurred.
The position of side friction type based on influence weight is needed to evaluate
based on car user experience that has to survey by questionnaire and analysis the
result of the survey then will be compared with IHCM. To see the process of
research can be seen in Fig. 1.
Method Approach of the Research for Data Collection:
1. Observation survey method on the road by counting the number of passing
vehicles within a period of fifteen minutes in the morning period (07.00–09.00),
the afternoon period (12.00–14.00), and the afternoon period (16.00–18.00).
2. Perception survey method using Questionnaire distributed using Google Form
with 100 respondents, with questions grouped into questions about respondent
characteristics, travel characteristics, and respondents’ perceptions of the dis-
turbances of each type of side friction.
Method Approach of the Research for Data Analysis:
1. Using linear equation analysis to get the side resistance factor and compare it
with IHCM [2].
2. Analysis of the data from the questionnaire which is the respondent's perception
of how far the influence of each type of side friction on the flow or smoothness
of traffic.
Table 6 FCcs based on City size (million population) City size factor
population number in the
city [1] <0.1 0.86
0.1–0.5 0.90
0.5–1.0 0.94
1.0–3.0 1.00
>3.0 1.04
Research Background
Identification, Limitation, Formulation of

Review Of Re- Problem
lated Research Research Objectives
Data Collection
Observation Data Questionnaire Data
Side Friction Calculation Ranking Of Side

Based on Estimation Capacity Friction Type
Research Finding
Conclusion and Recommendation
Fig. 1 Research process
4 Data Collection
Observation data that collected last year from Edmund and Najid [2]. Characteristic
of the location shown in Table 7 [3].
Side Friction Data consist of the type of vehicle stopped and access from the side
of the road for motorcycle (MC), light vehicles (LV), and heavy vehicles shown in
Table 8.
Observation data of traffic volume by time slice for every 15 min at H.
R. Rasuna Said road for ways Gatot Subroto to Menteng as shown in Table 9.
Table 7 Location No. Description Measurement

characteristics (observation
survey) 1 Lane width 3.5 m
2 Lane number Two lanes per way
3 Road type 4/2 D
4 Pedestrian facility width 1.5 m
5 City size >3 million population
6 Road side activity Commercial and office
Table 8 Side friction data

Time Vehicle stop Access vehicle at road side
MC LV HV MC LV HV
16.30–17.30 96 45 2 115 56 8
16.45–17.45 27 23 7 81 32 15
17.00–18.00 15 14 3 45 18 4
Table 9 Traffic Volume Data

Time slice Vehicle group Passenger
Car/ Medium Big Big Big Motor car unit
Light bus/ truck/Bus bus/Truck bus/Truck cycle (PCU)
vehicle Truck (2 axle) (3 axle) (>3 axle)
16.00–16.15 1116 48 40 32 3 2037 1772.9
16.15–16.30 1215 32 42 46 9 3528 2251.8
16.30–16.45 1161 24 39 33 10 3072 2056.2
16.45–17.00 1170 28 51 38 7 3432 2176.8
17.00–17.15 1314 36 42 25 14 3273 2272.7
17.15–17.30 1134 36 44 14 4 4635 2410.4
17.30–17.45 1104 32 31 20 9 4332 2297.4
17.45–18.00 1206 32 48 37 12 5061 2626.1
Table 10 Respondent perception about how influence each type side friction
No. Type side friction Congestion condition Not congestion
condition
1 2 3 4 1 2 3 4
1 Stop vehicle 63 32 9 0 56 34 9 1
2 Access vehicle from road side 43 38 18 1 44 38 16 2
3 Pedestrian 45 30 17 8 41 30 16 13
4 Unmotorized vehicle 37 37 12 14 39 31 18 12
where 1: Very influence, 2: Influence, 3: Influence, 4: Not Influence
To mention how much is the influence of interference from each type of side
friction is carried out by a questionnaire survey. The respondent was asked to rank
each type of side friction their influence on traffic flow based on the respondent’s
perception.
From Table 10, the ranking results for each type of side restriction are obtained
are the most affecting road capacity on traffic jam and on smooth road conditions.
Analyses of the observation data to get the side friction factor and capacity are
shown in Tables 11, 12, 13, and 14. Analysis of those data in Table 10 based on
respondent’s perception is shown in Table 15.
5 Data Analysis
5.1 Observation Data Analysis
Side Friction Analysis

Result of side friction analysis in Table 11 shown that the level of side friction is
appropriate with side friction level based on the land use condition in survey
location (see Table 5 and Table 7).
Ratio Volume and Capacity Analysis Based On IHCM
Capacity 16.30–17.45 (fcsf L) = 2 1650 1 1 1 1.04 = 3432 pcu/h
Capacity 17.00–18.00 (fcsf VL) = 2 1650 1 1 1.01 1.04 = 3466
pcu/h
From Table 12 shown traffic volume ratio at times 16.30–17.30, 16.45–17.45,
and 17.00–18.00 have a higher value than others. The V/C ratio then used to
analysis capacity estimate in Table 13.
Table 11 Data analysis of side friction

Time Vehicle stop Access vehicle Total side friction Class
16.30–17.30 143 179 268.3 L
16.45–17.45 57 128 146.6 L
17.00–18.00 32 67 78.9 VL
Table 12 Peak hour traffic volume and V/C

No. Time Traffic volume V/C
1 16.00–17.00 8257.7 2.41
2 16.15–17.15 8757.5 2.55
3 16.30–17.30 8916.0 2.60
4 16.45–17.45 9157.2 2.67
5 17.00–18.00 9606.5 2.77
Table 13 Estimate capacity

No. W time Estimate capacity Side friction data
Vehicle stop Access vehicle
1 16.30–17.30 8916.0 143 179
2 16.45–17.45 9157.2 57 128
3 17.00–18.00 9606.5 32 67
Table 14 Estimate FCsf

No. Time Co+ Estimate Estimate Remark
capacity FCsf
1 16.30–17.30 3432 8916.0 2.6 (Not available at table C-4.1
IHCM)
IHCM)
IHCM)
Estimate Capacity and Estimate Side Friction Factor

Estimate capacity is shown in Table 13 and estimate side friction (Fcsf) is shown in
Table 14.
Co+ = 2 (Co Fcw FCsp FCcs) = 2 (1650 1 1 1.04) = 3432 pcu/h
This value of Co+ use for calculate the estimate side friction factor based on
value of estimate capacity that calculate from traffic volume at peak hour, the result
of analysis is shown in Table 14.
Example Calculation Estimate FCsf at time (16.30–17.30):
Est.C = Co+ FCsf

8916 = 3432 FCsf
FCsf = 2.6 (not available at table C-4.1 IHCM).
The previous revision of IHCM is PKJI, but the revision version of PKJI only
majority is about the name of variable or parameter [4, 5].
5.2 Perception Data Analysis
The weighted total of respondent’s perceptions of the questionnaire survey is shown

in Table 15.
Table 15 Ranking of type of side friction

No. Side friction Congestion Ranking Not congestion Ranking
type condition condition
1 Vehicle stop 152 1 155 1
2 Access vehicle 177 2 172 2
3 Pedestrian 188 3 201 3
4 Unmotorized 203 4 203 4
vehicle
6.1 Conclusions
1. There is frontage road and Public Transport at Kuningan road, so side friction
class as a result of the survey is appropriate with IHCM, namely Very Low and
Low.
2. Ratio traffic volume and Road Capacity is highest during the afternoon peak
hour.
3. Traffic volume at afternoon peak hours can be used to estimate capacity.
4. Estimate side friction factor using estimate capacity and side friction data pro-
duce estimate side friction factor unaccommodated in IHCM.
5. Other parameters need to be corrected, such as basic capacity, which has the
greatest influence to determine the capacity.
6. From analysis from perception survey, get the ranking result appropriate with
IHCM.
6.2 Recommendation
The same survey and analysis need to be carried out on roads of the same type,
namely four lanes two ways with separator.
References
1. IHCM (1997) Indonesian road capacity manual (IHCM). Directorate General of Highways
Ministry of Public Works, Jakarta, Indonesia
2. Jaya ES, Najid (2021) Analisis Kapasitas dan Kinerja Lalu Lintas di Jalan H.R. Rasuna Said
Jakarta. Jurnal Mitra Teknik Sipil 4:383–396
3. Najid (2019) Evaluation of side friction in IHCM for highway two lanes two ways. In:
Proceedings of the 2nd international symposium on transportation studies in developing
countries (ISTSDC 2019), Atlantis Press, pp 116–119
4. Kristiawan D, Najid (2019) Analisis Pengaruh Hambatan Samping Akibat Aktivitas Tata Guna
Lahan di Jalan MH. Thamrin Tangerang dan Jalan Raya Serpong. Jurnal Mitra Teknik Sipil
2:31–38
5. Lowenta L, Najid (2019) Penentuan Kapasitas Jalan Dua Lajur Dua Arah Tidak Terbagi
Dengan Metode MKJI, Konsep PKJI, dan Survei. Jurnal Mitra Teknik Sipil 2:27–34
Thickness Pavement Design Based
on Heavy Vehicle Loads
Anita Rahmawati, Emil Adly, and Wahyu Widodo
Abstract Some roads in central Bengkulu often experiences pavement deteriora-

tion caused by the high number of heavy vehicles carrying load containing natural
products. One of the roads being reviewed is Karang Tinggi Penanding road with
quite severe damage. This study aimed at knowing if the current pavement thick-
ness could accommodate loads of vehicles passing through the road or it needed to
redesign the pavement thickness to accommodate the current traffic. The method
used for determining the pavement thickness was the Manual Design 2017 from
Bina Marga while knowing a load of heavy vehicles passing through the road was
done by using a 2-pad portable weighbridge. The analysis of pavement layer
thickness due to the standard load and overloading by using the method of
Binamarga 2017, it can be obtained the pavement layer thickness with a standard
and overload for surface layer are 30 mm for Hot Rolled Sheet Wearing Course
(HRS WC) and 35 mm for Hot Rolled Sheet Base Course (HRS BC), the base
course layer is 250 mm and the subbase course layer is 125 mm. The thickness of
the pavement obtained is the same because the Cumulative Equivalent Single Axle
(CESA) 5 burden obtained is still relatively low.
Keywords Manual design 2017 Overloading Pavement thickness
1 Introduction
The high intensity of road traffic overloading the required standard leads to quick
road pavement deterioration and a reduction in service design life. Flexible pave-
ment has viscoelastic property, whereby when it carries overloading, the pavement
will lose its material stiffness. Let alone, if road maintenance is not performed, the
road will have a declining service life. In general, the factors causing declining
A. Rahmawati (&) E. Adly W. Widodo

Department of Civil Engineering, Faculty of Engineering, Universitas Muhammadiyah
Yogyakarta, Jl. Brawijaya, Bantul, Daerah Istimewa Yogyakarta 55183, Indonesia
e-mail: anita.rahmawati@umy.ac.id
https://doi.org/10.1007/978-981-16-7949-0_34
386 A. Rahmawati et al.
service life or road deterioration are the traffic design life exceeding the initial
planning, puddles on the road surface caused by poor drainage sanitation, the error
in road planning and construction, poor pavement quality, overloaded vehicles
(overloading) that will make the road service life shorter than the design life that has
been established during the planning. The causes of overloaded vehicles (over-
loading) strongly result in declining road service. The Karang Tinggi–Penanding
road in central Bengkulu often experiences road pavement damage caused by many
vehicles carrying natural products, such as oil palm, wood and coal, overloading the
required standard load. Therefore, this study aimed at knowing the pavement
thickness that could accommodate the load of heavy vehicles passing through The
Karang Tinggi–Penanding road in Central Bengkulu Tengah according to the
design life. This study used the Manual Design 2017 by Bina Marga for identifying
the required pavement thickness based on the standardized maximum load and the
data of weighbridge testing in the field.
Vehicles passing on roads, which bring load exceed the maximum specified
load, cause excessive loading on the pavement and affect the design life on the road
[1]. Based on some previous studies, it can be concluded that overloading can
decrease the design life. The study which using AASHTO 1993 and the calculation
of cumulative ESAL (Equivalent Standard Axle Load) values, then the remaining
pavement life was obtained. This section contains the research background, pur-
pose, contribution (the research benefit from theoretical and practical), research
result and implication (Practical advice based on research result). The research
result and implication in the introduction section are only suggestions (not
mandatory) [2]. Based on the design life of the 20-year plan, the cumulative ESAL
value is 64,533,642 SAL, so there is a decrease in the service life of eight years.
The remaining life of the pavement plan is only 54.75% and a pavement service life
is reduced by 25.94%. Similar research on the effect of overloading was also not
much different from previous research [3, 4].
The research regarding the effect of overloading with slightly different methods
showed that there was a reduction in service life from the design life and caused
various road damage problems [5–14]. This study discussed the effect of over-
loading on design life and pavement thickness. Furthermore, this study used the
method of Binamarga 2017 to analyze the effect of overloading on pavement
thickness [15].
2 Literature Review
Rahmawati et al. [16] conducted a study on Solo–Yogyakarta highway KM 9–15;

this study found that several vehicles violated the use of maximum load causing
road deterioration and declining road service life than it should be. One of the road
deteriorations due to the high number of vehicles violating the maximum load is
overloading. Based on the previous study, there was a reduction in the road service
life of 8 years from the total service life of 20 years. The solution conducted in the
Thickness Pavement Design Based on Heavy Vehicle Loads 387
previous study for the overloading problem was redesigning the pavement thickness
to accommodate the overloading condition. Meanwhile, the study conducted in this
paper used an application known as Circly 6.0 for analyzing the deflection that
occurred on Solo–Yogyakarta Highway KM 9–15 to examine the flexible pavement
that had been constructed in the previous study. Re-designing was calculated using
the Bina Marga method in 2002 and then, the collected pavement thickness would
be analyzed using the Circly 6.0 program for analyzing the deflection and the force
that occurred on the pavement of Solo–Yogyakarta Highway KM 9–15. Hence, it
can be identified if the pavement that had been designed was eligible or not to be
used.
A study on overloading was conducted on Lago–Sorek road KM 77–78 for rigid
pavement. The method used for analyzing the pavement structure was AASHTO
1993. After observing, it was found that there was an overloading of 17.98%. The
result obtained in the study was the declining service life due to overloading of
25.94% [2]. Sari [1] was conducted on the provincial border of Jambi–Peninggalan
on overloading. Many vehicles violated the standard load by overloading on the
road even though Integrated Checkpoints (PPT) existed for weighing the vehicle
load. After analyzing using the ESAL with a design life of 10 years, it was found
that normal load for vehicles had a remaining road service life of 99.955%, while
the remaining road service life with overloading conditions was 48.393%.
A study by Wandi et al. [10] was conducted on the national road of Banda
Aceh–Meulaboh. This study aimed at knowing the vehicle damage factor caused by
overloading. From the data, it collected an average of 45.57% for the vehicles that
violated out of the total truck passing through the road. The result based on the
CESA analysis showed that there was a decline in the road service life of 9 years,
while, according to the effective formula, the road service life declined by
10.77 years from the design life of 20 years. Suriyatno et al. [4] was an analysis of
flexible pavement thickness and the design life caused by overloaded vehicles. The
case study was conducted on four different roads, namely, Tanah Badantung–
Kiliran Jao road, Border of Padang–Painan cities, provincial border of Riau–
Payakumbuh and Sicincin–Lubuk Alung road. The result showed that the actual
traffic load was higher than the standard load resulting in a higher overlay than it
should be. The big difference of load was on Tanah Badantung–Kiliran Joa,
whereby the overlay thickness for the actual traffic load was higher, or around
56.4%, than the standard load. The overload traffic load led to a declining road
service life by 56.8% from the five years of road service life or equal to two years
and ten months.
Atiya [7] conducted a study on an analysis of weighbridge performance against
the pavement performance and the design life on Jembatan Timbang Salam,
Magelang. The background of the study was the high number of heavy vehicles
passing through Keprekan road–the border of Yogyakarta that is sometimes over-
loading. On the road, there was Jembatan Timbang Salam. The method used for
calculating the CESA recapitulation on the remaining design life was by dividing it
into several conditions. First, condition A (the actual condition where the over-
loaded vehicles are only fined or receive a traffic ticket and they were allowed to
continue their travel. Condition B is where the maximum overload tolerance is

125% from weight allowed). Condition C is that the maximum overload tolerance is
115% and condition D is that the maximum overload tolerance is 105%). The
conclusion that can be drawn is as follows: for Condition A. In the actual condition,
the road pavement design life is declining from 10 years to 9.48 years in the first
analysis and the design life for Condition A in the second analysis is 9.53 years.
Syafriana et al. [8] was evaluating the road service life by calculating the over-
loading condition on the East Cross Road of Aceh Province, Bireuen road, the
border of Lhokseumawe city. The method used in this study was the guideline
planning of overlay thickness of flexible pavement using the deflection method.
Based on the analysis that had been conducted, the result showed that the Vehicle
Damage Factor (VDF) value for the overloading condition was 696%, higher than
the VDF value in a normal load condition. Meanwhile, the result of the Cumulative
Equivalent Standard Axle (CESA) analysis showed that there was a declining road
service life on that road to 4.3 years from the design life of 10 years.
3 Research Method
3.1 The Step of Research
In this step, the arrangement of planning and observing on the preliminary stage
will be carried out in order to obtain a general description of the problems in the
field. The preparation stage carried out in this study is shown in Fig. 1.
3.2 Research Location
This research was conducted on The Karang Tinggi–Penanding roads, Bengkulu

Tengah district (Fig. 2).
3.3 Data Collection Technique
The primary data came from the field observation and the secondary data was
obtained from related agencies. The technique of data collection in this study was
by finding the primary and secondary information that will be used as data pro-
cessing material. The primary data were obtained directly in the research location
both through observation or survey. The observation and survey were done through
taking pictures of heavy vehicles and conducting a survey on road surface condi-
tions on Pasar The Karang Tinggi–Penanding road, average daily traffic (ADT), the
Fig. 1 Chart of research flow
results of weighing heavy vehicles. The data were obtained from indirect research at
related agencies such as the National Road Planning and Supervision Service of the
Special Province of Bengkulu. The secondary data were CBR data and the per-
centage growth of traffic per year on The Karang Tinggi–Penanding Road.
4.1 Traffic Counting Data
Traffic Counting is the traffic volume calculation that is based on the vehicle types
and the period. Traffic counting that was conducted aimed to know the vehicle
movement and the road capacity on the road. The data collection for the traffic
volume was done using a manual method or a direct calculation in the field with an
interval of one hour and the survey was conducted for 16 h from 07:00 to 23:00.
The recording was classified based on time, location and movement direction. The
result of the ADT can be seen in Table 1.
Fig. 2 Research location
Table 1 ADT of The Karang Tinggi–Penanding road

Class of vehicle Types ADT
1 Motorcycle, Scooter, and three-wheeled vehicles 4224
2 Sedans, Jeeps, and station wagons 144
4 Pick Up, Micro truck, and delivery cars 96
6 Truck 2 Axle 240
4.2 Data for Heavy Vehicles
The data for heavy vehicles were collected from the testing using the 2-pad portable
weighbridge conducted on Karang Tinggi–Penanding road. The following is the
result of a heavy vehicle survey on two roads being reviewed. It consists of the
method and instruments for a 2-pad survey for identifying the heavy vehicle load on
the two roads. The total of overloaded vehicles on the roads being reviewed can be
seen in Table 1 and Fig. 3.
Fig. 3 Documentation of collecting heavy vehicle load data on The Karang Tinggi–Penanding
road
Table 2 Axis load testing on The Karang Tinggi–Penanding road

No. Police Type of Number of Load Load (kg) Total load Notes
load axis (kg) (kg)
Front Rear Standard Front Rear
BD 8329 CK Sand truck 1 1 8200 1600 5320 6920 OK
BD 8028 AS Sand truck 1 1 8200 3535 5200 8735 Overload
BD 8162 G Sand truck 1 1 8200 2620 3620 6240 OK
BD 8159 AH Sand truck 1 1 8200 3410 3270 6680 OK
BD 8920 AG Sand truck 1 1 8250 5090 5010 10,100 Overload
BD 8097 Y Sand truck 1 1 8250 5320 5150 10,470 Overload
BD 8105 AD Sand truck 1 1 8250 2970 3390 6360 OK
BD 8101 AI Sand truck 1 1 8250 6155 5825 11,980 Overload
BD 8170 YL Sand truck 1 1 8250 4015 3920 7935 OK
BD 8275 IU Sand truck 1 1 8250 4895 4350 9245 Overload
BD 8227 Y Sand truck 1 1 8250 3655 3725 7380 OK
BD 8057 Y Sand truck 1 1 8250 3485 5075 8560 Overload
The number of vehicles that are overloaded on the roads under review can be
seen in Table 2.
Based on Table 2, the number of overloading violations of the Karang Tinggi–
Penanding section can be seen that trucks that violate the permissible load (over-
load) are higher than trucks that do not violate. The total number of trucks that
violated the weighbridge was eight vehicles. Percentage of violations that occurred
57.2%.
4.3 Pavement Thickness Analysis
From the daily traffic load on those roads, the VDF value and the traffic load that
can be accommodated by the existing road pavement would be calculated.
Vehicle Damage Factor (VDF). VDF is a number expressing the comparison
between the distress severities against the road pavement due to the single axle load
vehicles by the standard axle load for a single axle of 8.16 tons by the Ministry of
Public Works (2002). The data from the field obtained the condition of pavement
structure for The Karang Tinggi–Penanding road with 1.72 km length with damage
road condition around the 0.52 km. By the 2-lane and 2-way road, the vehicle
distribution was 0.5 if it was in a standard load condition with the current average
traffic load and the growth rate was 10% (the secondary data from the IRMS
technical planning of Central Bengkulu District). An equivalent number can be
calculated using Eq. 1.

the load of each axle 4
VDF4 ¼ ð1Þ
8; 160
• Class of Vehicle 2 (Sedans, Jeeps and Station Wagons)

Total load = 2000 kg, load distribution (50% front and 50% rear)

50% 2000 4 50% 2000 4
VDF4 ¼ þ
8160 8160
¼ 0:0023 þ 0:0023 ¼ 0:00046
• Class of Vehicle 4 (Pick Up, Micro Truck and Delivery Cars)

Total load = 5000 kg, load distribution (50% front and 50% rear)

50% 5000 4 50% 5000 4
VDF4 ¼ þ
8160 8160
¼ 0:0088 þ 0:0088 ¼ 0:0176
• Class of Vehicle 6 (Truck 2 Axle) (Standard Load)

Total load = 8250 kg, load ditribution (50% front and 50% rear)

50% 8250 4 50% 8250 4
VDF4 ¼ þ
8160 8160
¼ 0:065305 þ 0:065305 ¼ 0:13061
• Class of Vehicle 6 (Truck 2 Axle) (Overload)

Total average overload = 10,102 kg, load ditribution (50% front and 50% rear)

50% 10; 102 4 50% 10; 102 4
VDF4 ¼ þ
8160 8160
¼ 0:146808 þ 0:146808 ¼ 0:293616
Correlation Factor Between Traffic Growth and Design Life (R). Based on
secondary data from the IRMS technical planning of Central Bengkulu District,
traffic growth was obtained by 10%. In planning, the design life of 20 years is used
so that the R value can be seen in Eq. 2.
ð1 þ 0:01iÞUR 1
R¼ ð2Þ
0:01i
ð1 þ 0:01iÞUR 1 ð1 þ ð0:01 0:1ÞÞ20 1

R¼ ¼ ¼ 57:275
0:01i 0:01 0:1
Commutative Equivalent Single Axle (CESA). The load caused by traffic can be
calculated based on the equivalent method toward a load of standard axle and
overloading. To determine the accumulation of traffic axle load during the design
life, the CESA4 (Cumulative Equivalent Standard Axle) formula can be used in
Eq. 3. The result of the calculation of CESA4 for the standard load can be seen in
Table 3.
CESA4 ¼ ADT DD DL R VDF4 365 ð3Þ
From Table 3, it can be seen that the CESA4 was obtained for a standard load of
345,899. The TM value used to calculate CESA5 is 2, so the CESA5 value is
691,798. The result of the calculation of CESA4 for overload can be seen in
Table 4.
From Table 4, it can be seen that the CESA4 was obtained for an overload of
579,253. The TM value used to calculate CESA5 is 2, so the CESA5 value is
1,158,506.
Pavement Layer Thickness for Standard Load and Overload. The analysis of
the effect of the load against pavement thickness performance aims to know the
Table 3 CESA4 value of Karang Tinggi–Penanding road for standard load

Class Types ADT DD DL R VDF4 365 CESA4
of
vehicle
1 Motorcycle, 4224 0.5 1 57.257 0 365 0
Scooter, and
three-wheeled
vehicles
2 Sedans, Jeeps, 144 0.5 1 57.257 0.00046 365 692
and station
wagons
4 Pick Up, 96 0.5 1 57.257 0.01760 365 17,655
Micro truck,
and delivery
cars
6 Truck 2 axle 240 0.5 1 57.257 0.13061 365 327,551
CESA4 Total 345,899
Table 4 CESA4 Value of Karang Tinggi–Penanding road for overload

Class Types ADT DD DL R VDF4 365 CESA4
of
vehicle
1 Motorcycle, Scooter, and 4224 0.5 1 57.257 0 365 0
three-wheeled vehicles
2 Sedans, Jeeps, and station 144 0.5 1 57.257 0.00046 365 692
wagons
4 Pick Up, Micro truck, and 96 0.5 1 57.257 0.01760 365 17,655
delivery cars
6 Truck 2 axle 103 0.5 1 57.257 0.130610 365 140,574
137 0.29362 420,331
CESA4 Total 579,253
pavement thickness performance that was caused by the standard load and over-
load. Table 5 is used to determine which number of pavement designs are
appropriate.
Table 5 is used to determine which number of pavement designs are appropriate.
The type of pavement design is 3A because the value of total CESA5 on standard
and overload ranges between 0.1–4 millions. Pavement thickness is determined by
plotting the CESA5 value in Table 6 for standard load and overloading.
The analysis of pavement layer thickness due to the standard load and over-
loading by using the method of Binamarga 2017, it can be obtained the pavement
layer thickness with a standard and overload for the surface layer are 30 mm for
Table 5 Type of pavement structure [15]

Pavement structures Design ESA4 (million) within 20 years
chart 0– 0.1– >4– >10– >30–
0.5 4 10 30 200
Rigid pavement with heavy traffic 4 – – 2 2 2
(CBR 2.5%)
Rigid pavement with low traffic 4A – 1.2 – – –
(CBR 2.5%)
Modified AC-WC and modified SMA 3 – – – 2 2
with CTB (ESA5)
AC with CTB (ESA5) 3 – – – 2 2
AC 100 mm thick with a grained 3B – – 1.2 2 2
foundation layer (ESA5)
AC or thin HRS on a grained 3A – 1.2 – – –
foundation layer
Chip Seal or Double Chip Seal Class A 5 3 3 – – –
Subbase
Soil cement foundation layer 6 1 1 – – –
Unpaved layer 7 1 – – – –
Table 6 Design chart 3A

CESA5 for 20 year on the design lane (106) FF1 FF2
CESA5 < 0.5 0.5 CESA5 4
Surface types HRS or HRS
Macadam
HRS WC 50 30
HRS Base – 35
Class A Subbase 150 250
Class A Subbase/Class B Subbase/Stabilization with 150 125
CBR > 10%
Flexible pavement design with HRS [15]
HRS WC and 35 mm for HRS Base, the class A subbase course layer is 250 mm
and the class B subbase course layer is 125 mm. From chart 3A, it can be seen that
with a standard load of 691,798 and an overload of 1,158,506, the thickness of the
pavement obtained is the same. This is because the CESA5 burden obtained is still
relatively low, less than 4 million. The composition of pavement thickness can be
seen in Fig. 4.
Fig. 4 Pavement thickness

based on the standard load
HRS-WC 30 mm
and overloading condition on
The Karang Tinggi–
Penanding road
HRS-Base 35 mm
Subbase Class A 250 mm
Subbase Class B 125 mm
5 Conclusion
Based on the analysis of the survey on The Karang Tinggi–Penanding road, it can
conclude that the road condition experiences moderate damage due to overloaded
vehicles because the result from the survey shows that the number of vehicles
overloading the standard axle is less. Consequently, the following conclusions can
be drawn:
1. The damage that occurred was caused by an excess load of heavy vehicle that
passed through the road by approximately 57.2%.
2. The analysis of pavement layer thickness due to the standard load and over-
loading by using the method of Binamarga 2017, it can be obtained the pave-
ment layer thickness with a standard and overload for the surface layer are
30 mm for HRS WC and 35 mm for HRS Base, the class A subbase course
layer is 250 mm and the class B subbase course layer is 125 mm. From chart
3A, it can be seen that with a standard load of 691,798 and an overload of
1,158,506, the thickness of the pavement obtained is the same. This is because
the CESA 5 burden obtained is still relatively low.
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Performance of Polymer Modified
Asphalt Mixture Using Gypsum Filler
Rindu Twidi Bethary , Dwi Esti Intari , and Siti Asyiah
Abstract Road infrastructure is a means of transportation that is quite important in

developing the economy in a region, so it is necessary to increase the quality and
quantity of materials used and to add or modify the material used in the asphalt
mixture by using gypsum powder waste and polymer asphalt. This study was aimed
to determine the performance of the polymer-modified asphalt mixture using
gypsum powder filler on the Asphalt Concrete Wearing Course (AC-WC) layer.
The method used in this study was a laboratory experiment with Marshall testing
with variations in the content of gypsum powder fillers, namely 0, 1, 2 and 3%. The
results showed that the addition of gypsum powder filler could increase the value of
the void in the mixture and the void in mineral aggregates, but it can reduce the
value void filled with asphalt, stability and flow values. This affected the specific
gravity and reduced durability of the asphalt mixture, but it provided the benefit of
being able to accelerate the stiffening of the asphalt and make the asphalt mixture
more, resulting in resistance to deformation damage.
Keywords Polymer asphalt Gypsum Filler AC-WC
1 Introduction
Road infrastructure plays a very important role in the development of activities in a

region in supporting economic, social and cultural growth [1, 2]. This activity will
develop if it has good transportation infrastructure and facilities. Therefore, it is
necessary to increase the quality and quantity of road infrastructure to meet the
needs of the community. Flexible stiffening, one of the road constructions used in
various countries, consists of four main materials, namely coarse aggregate, fine
aggregate, filler and bitumen [3]. The use of fillers has an effective role in deter-
R. T. Bethary (&) D. E. Intari S. Asyiah

Department of Civil Engineering, Sultan Ageng Tirtayasa University, Cilegon, Banten,
Indonesia
e-mail: rindutwidibethary@gmail.com
https://doi.org/10.1007/978-981-16-7949-0_35
400 R. T. Bethary et al.
mining the properties and behavior of asphalt mixtures [4, 5], rock ash and Portland
Cement (PC). They are usually used as fillers that are the result of limited pro-
duction quantities and are quite expensive, so that alternative materials are needed.
The use of waste in the construction industry is important because the high
amount of waste produced has a significant impact on the environment [6, 7],
several waste materials used as fillers in asphalt mixtures have been developed,
including lime recycled waste [8], coal fly ash [9], slag [10], gypsum powder [11]
and other non-plastic mineral materials. In this study, a filler of gypsum powder
containing a mineral with calcium sulfate (CaSO42H2O) was used, which is often
used as an adhesive, flame retardant and easy to repair. This makes gypsum waste
good for use as a filler. Besides being able to bind asphalt better, it also does not
cause environmental pollution [11, 12].
One type of asphalt pavement is concrete asphalt layer where the pavement
structure that is directly in contact with air and vehicle loads is the AC-WC
(Asphalt Concrete-Wearing Course) surface layer and the watertight layer so that in
addition to the selection of aggregates, it is also influenced by the quality and the
quantity of the asphalt binder [13, 14]. Asphalt material can be developed and
modified to improve its performance. This is because asphalt is a viscoelastic
material so that when the stiffness is high, cracks occur and if it is too flexible,
deformation will occur, so that appropriate modification to performance is required.
Polymer is one of the modifications of asphalt which is used as an effective modifier
to improve the performance of the mixture and increase the strength so that the
design life is longer [15]. Besides that, polymer modifier can also overcome various
damages that occur on the pavement such as permanent deformation, temperature
changes, cracking and raveling [16, 17]. This can be achieved if it is by the
characteristics of the location, traffic loading and the environment.
Increased material requirements, decreased road performance and environmental
problems can be overcome by the use of appropriate materials, where filler and
asphalt have an important role in the mixture, so based on this it is necessary to
carry out further studies to determine the performance of polymer modified asphalt
mixtures using powder fillers gypsum.
2.1 Aggregate
The aggregate material used was from Bojonegaro, Serang Regency, Banten
Province. There are 2 types of aggregate sizes used, namely coarse aggregate split
1–2 and screening, then fine aggregate (rock ash). The test results for coarse and
fine aggregates can be seen in Table 1, where the characteristics showed that the
aggregate meets the general specifications of Bina Marga in 2018 division 6 [18].
Performance of Polymer Modified Asphalt Mixture … 401
Table 1 Characteristics of coarse aggregates

No. Testing Result Test specification
Minimum Maximum
Coarse aggregates
1 Bulk specific gravity 2.72 2.5 –
2 Apparent specific gravity 2.82 2.5 –
3 SSD specific gravity 2.76 2.5 –
4 Absorption (%) 1.21 – 3
Fine aggregates
1 Bulk specific gravity 2.61 2.5 –
2 Apparent specific gravity 2.76 2.5 –
3 SSD specific gravity 2.67 2.5 –
4 Absorption (%) 2.04 – 3
Table 2 Characteristics of asphalt

No. Testing Result Test specification
Minimum Maximum
1 Penetration 25 °C; 100 g, 5 s, 0.1 mm 56.3 40 –
2 Lost weight (%) 0.06 – 0.8
3 Specific gravity 1.042 1.0 –
2.2 Asphalt
The asphalt used in this study was asphalt modified polymer type elastomer (E-55)
equal to the value of PG-76 (Performance Grade) and entered into type II modified
asphalt, which was then tested for physical properties which can be seen in Table 2.
Based on the test results, it was obtained that the asphalt met the General
Specifications of Bina Marga 2018 division 6.
2.3 Gypsum
The minerals contained in gypsum are sulfates, which are sedimentary rocks with
the composition of calcium sulfate dihydrate (CaSO42H2O). Gypsum has physical
properties in the form of crystals that have gradations of white, gray, yellow, orange
or black, with water content in the structure with the content of approximately
23.3% for lime (Ca) and sulfur (S) of 18.5%. The following is in Table 3 the
chemical composition contained in gypsum [19].
There are various types of gypsum, the most commonly found is calcium sulfate
hydrate with the formula CaSO42H2O (Calcium Sulfate Dihydrate). Evaporated
Table 3 Gypsum powder No. Material Content

chemical composition
1 Calsium (Ca) 23.82
2 Hydrogen (H) 2.34
3 Calsium Oxide (CaO) 32.57
4 Water (H2O) 20.93
5 Sulphur (S) 18.62
minerals such as carbonate, borate, nitrate and sulfate can form gypsum by
depositing these 25 minerals in oceans, lakes, caves and salt layers [11].
2.4 Method
The study on the performance of asphalt mixtures using modified elastomeric

polymer asphalt and gypsum filler used laboratory experimental methods, where the
study stages consisted of preliminary literature studies, material characteristics
testing, making asphalt mix designs, testing Marshall mixes with the Marshall
method and determining the optimum asphalt content in each mixture.
The mixing method used was asphalt mixed first with gypsum powder and then
mixed with aggregate. There were 4 variations of the mixture which are differen-
tiated based on the gypsum filler content, namely 0, 1, 2 and 3% % with the
proportion of weight calculation to the total filler. The following in Fig. 1 describes
the methodology in this study.
3 Analysis
3.1 AC-WC Layer Mixed Design
In the mixed design, the first stage was the determination of the proportion of the
aggregate in the mixture by testing the sieve analysis to get the percentage passing
of each fraction used in the mixture. Based on the gradation calculation, the mix
Characteristics Determination
Study of of Materials Marshall of Optimum Analysis and
literature Mixed Conclusions
(Asphalt, Method Asphalt
Design
Aggregate and Testing Content
Filler) (OAC)
Fig. 1 The methodology of study

100
90
80
70
Persent Passing (%)
60
50
40
30
20
10
0
0.00 0.01 0.10 1.00 10.00 100.00
Opening Size (mm)
Upper Limit Lower Limit
Fig. 2 Gradation design
design value with the composition used for split aggregates 1–2 is 15%, fraction
24% and 61% screening for rock ash aggregate. The mixed grade used was by
Fig. 2, where the design can be said to be a good proportion because the mixed
aggregate was graded close to the middle gradation of General Bina Marga 2018
specification range division 6 with the layer type (AC-WC).
3.2 Characteristic of Mix Asphalt
The use of the gypsum grade variation determined the volumetric parameters in the
mixture, where the variation is one of the factors that influence the properties of the
asphalt mixture. Analysis of the volumetric characteristics and the Marshall test are
as follows.
Void in Mixture (VIM). The total volume of air between the aggregates covered
after the compaction process was an understanding of the VIM. The magnitude of
this VIM value had an effect on the mixture durability, where the VIM value was
related to the void in mineral aggregates (VMA) and the void filled with asphalt
(VFA). Figure 3 showed the comparison of the VIM value at each asphalt content
with the gypsum filler level, where the addition of gypsum filler results in the VIM
value that was getting bigger, alkaline was caused by more asphalt dry than filler.
This gave results with previous studies where the gypsum content used was 5–9%
[11]. The VIM values were too high because the mixture easily oxidizes and cracks
when traffic loading was applied. If the road was too low bleeding, the VIM value
of the AC-WC mixture was limited to a minimum of 3% and a maximum of 5%.
Void in Aggregate Minerals (VMA). The increase in the level of asphalt used in
the mixture will decrease up to reaches the minimum point and will increase again
10
8
Void In Mixture
0
5 5.5 6 6.5 7
Percentage Asphalt
0% Filler 1% Filler 2% Filler 3% Filler Minimum Limit Maximum Limit
Fig. 3 Relationship between VIM and asphalt content
with the addition of asphalt content. This was because the asphalt filled the void
between the aggregates so that the void could not be filled by asphalt. Based on
Fig. 4, the increase in the content of the gypsum filler resulted in the VMA value
tending to increase, this indicated that the gypsum filler did not fill the gaps between
the aggregate particles, where the asphalt which served as a cover also filling the
voids between the aggregate particles. The smaller VMA value indicated that the
mixture had more durability because high VMA could cause the mixture to be
susceptible to deformation so that 1% gypsum content had better durability than
other gypsum levels.
21
Void In Mineral Agregate
20
19
18
17
16
15
5 5.5 6 6.5 7
Percentage Asphalt
0% Filler 1% Filler 2% Filler 3% Filler Minimum Limit
Fig. 4 Relationship between VMA and asphalt content

90
85
80
Void Filled With Asphalt
75
70
65
60
55
50
5 5.5 6 6.5 7
Percentage Asphalt
Fig. 5 Relationship between VFA and asphalt content
Void in Filled Asphalt (VFA). Asphalt content and the film thickness can be
expressed in terms of the volume of mixed asphalt, the relationship between VFA
and the increase in asphalt content showed that the VFA value tended to be greater
with increasing asphalt content. In Fig. 5, it can be seen that the addition of gypsum
filler results in the VFA value was getting smaller meaning that in the 3% gypsum
filler mixture the void in the aggregate minerals was filled with less bitumen than
the 1% gypsum filler mixture. The mixture with the higher VFA value is 1%
gypsum filler which indicates that this mixture can fill the voids in the aggregate
larger than the mixture with 3% gypsum filler.
Stability. One of the Marshall empirical values is the stability value, with direct
measurement from the test when the test object is loaded with the Marshall test
instrument. The stability value is influenced by several factors, including aggregate
grading, bitumen content, internal friction of aggregate particles, interlocking and
asphalt adhesion. Figure 6 shows the stability comparison for each mixture, where
the addition of gypsum filler to the asphalt mixture resulted in a decrease in the
stability value, due to the gypsum filler which affected the adhesion of the asphalt to
the aggregate. The addition of gypsum filler cannot fill the voids in the mixture so
that the bonds that occur between the aggregates are reduced.
Flow. Flow is a function of the stiffness of the binder and the content of the asphalt
mixture, which is one of the empirical parameters that states the change in the
plastic shape of the mixture due to loading. The addition of asphalt content will
result in the aggregate being covered by asphalt, which results in interlocking
between aggregates and causes an increase in melt value. Figure 7 shows that with
the increase in the percentage of gypsum, the flow value becomes smaller so that
the 1% gypsum mixture has a more flexible behavior than the 3% gypsum content.
5000
4500
4000
3500
Stability (Kg)
3000
2500
2000
1500
1000
500
5 5.5 6 6.5 7
Percentage Asphalt
Fig. 6 Relationship between stability and asphalt content
5.0
4.5
4.0
3.5
Flow
3.0
2.5
2.0
1.5
1.0
5 5.5 6 6.5 7
Percentage Asphalt
0% Filler 1% Filler 2% Filler 3% Filler Minimum Limit Maximum Limit
Fig. 7 Relationship between flow and asphalt content
Marshall Quotient. The Marshall Quotient (MQ) value is an approach to the level
of stiffness and flexibility of the mixture, where the greater the MQ value of the
mixture, the stiffer it is and the other hand the lower it is, the more flexible it is.
Based on Fig. 8 the addition of gypsum filler causes the MQ value to be smaller so
that the mixture is more flexible, this is because the flow value in the asphalt
mixture with 3% gypsum content is the lowest compared to other mixtures.
Optimum Asphalt Content. Optimum Asphalt Content (OAC) is asphalt content
that produces a mixture that fulfills all the elements of the Marshall parameter.
Figure 9 shows that in general, the addition of filler resulted in a decrease in OAC
in the gypsum filler 2% then it was added back to the 3% gypsum filler, with the
1350
1120
Marshall Quotient
890
660
430
200
5 5.5 6 6.5 7
Percentage Asphalt
Fig. 8 Relationship between Marshall quotient and asphalt content
8
Optimum Asphalt Level
0
0 0.01 0.02 0.03
Percentage Gypsum
Fig. 9 Optimum asphalt content
optimum asphalt content obtained in this study was 6.25–7.0%. Based on the case,
it can indicate that using filler gypsum needs more asphalt content with the high
VIM value and the lower VFA value so that the thick film asphalt is lower than the
mixture without using gypsum filler. It can be seen in Fig. 10.
12
10
Film Asphalt Thickness (μm)
0
5 5.5 6 6.5 7
Percentage Asphalt
0% Filler 1% Filler 2% Filler 3% Filler
Fig. 10 Relationship between film asphalt thickness and filler gypsum
4 Conclusion
From the testing and analysis carried out in this study, the following conclusions are
obtained:
1. The characteristics of the material used in this study met the General Bina
Marga requirements in 2018 division 6 with the type of layer (AC-WC), where
the aggradation used includes the intermediate value of the gradation (AC-WC)
with the mix design used for an aggregate of 1–2% for 15%, screening fraction
is 24% and rock ash for 61%.
2. The addition of gypsum powder as a filler in the asphalt mixture to the volu-
metric characteristics can increase the VIM and VMA values, as well as
decrease the VFA value. This indicated that the gypsum filler does not remove
gypsum among aggregate particles so that it was filled with asphalt resulting in
1% more gypsum mix and gypsum mixture. Meanwhile, empirical testing with
Marshall resulted in a decrease in stability and flow values.
3. The use of gypsums powder as a filler in polymer asphalt modification can
accelerate the stiffening of the asphalt. It can be seen from a decrease in asphalt
temperature then the asphalt is more flexible which is an indicator of resistance
to deformation damage. On the other hand, the specific gravity of the asphalt
mixture decreased because of the greater percentage of slack in the mixture
causing its durability to be reduced.
References
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2. Silondae S, Muthalib HAA, Ernawati (2016) Keterkaitan jalur transportasi dan interaksi
ekonomi kabupaten konawe utara dengan kabupaten/kota sekitarnya. Jurnal Progres Ekonomi
Pembangunan 1:49–64
3. Harun-Or-Rashid GM, Islam MM (2020) A review paper on: effect of different types of filler
materials on marshall characteristics of bitumen hot mix. Int J Mater Sci Appl 9(3):40–45.
https://doi.org/10.11648/j.ijmsa.20200903.11
4. Eisa MS, Basiouny ME, Youssef A (2018) Effect of using various waste materials as mineral
filler on the properties of asphalt mix. Inno Infrastruct Solutions 3:27. https://doi.org/10.1007/
s41062-018-0129-4
5. Qiu Y (2007) Design and performance of stone mastic asphalt in Singapore conditions.
Dissertation, Nanyang Technological University
6. Lau HH, Whyte AA (2007) A construction waste study for residential projects in Miri,
Sarawak. In: Proceeding of the conference on sustainable building South East Asia, p 312–
318
7. Yahya K, Boussabaine AH (2006) Eco-costing of construction waste. Manage Environ Qual:
Int J 17:6–19
8. Do HS, Mun PH, Keun RS (2008) A study on engineering characteristics of asphalt concrete
using filler with recycled waste lime. Waste Manage 28(1):191–199. https://doi.org/10.1016/j.
wasman.2006.11.011
9. Hasmiati H, La Ode M (2014) Mix design asphalt concrete wearing course (AC-WC) dengan
menggunakan fly ash batu bara sebagai pengganti filler. STABILITA Jurnal Ilmiah Teknik
Sipil 2(1):133–144
10. Bethary RT, Rahman H (2019) Effect of slag and recycled materials on the performance of hot
mix asphalt (AC-BC). J Civ Eng 26(1):1–9
11. Auditia BA, Rendih ED, Rachmansyah HHM (2018) Pengaruh Penggunaan Bubuk Gypsum
Sebagai Filler Dalam Campuran Aspal. Jurnal Teknik dan Ilmu Komputer 7(26):149–155
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Resistance of Modified
Concrete-Wearing Course Mixture
Using LDPE Polymer Against Damage
Due to Water Immersion
Indah Handayasari, Dyah Pratiwi Kusumastuti,

and Arief Suardi Nur Chairat
Abstract Damage that occurs on the pavement can be in the form of permanent
deformation, cracks due to temperature changes, material damage and material
detachment. This research tested the resistance of the Asphalt Concrete Wearing
Course (AC-WC) mixture using a plastic bag of LDPE (Low Density Polyethylene)
polymer type against water through immersion in water with a temperature of 60 °C
for 30 min, 24, 48 and 72 h with a continuous system and variations in LDPE
polymer plastic content. by 0, 5, 7 and 9%. The results of the analysis show that the
use of LDPE polymer plastic in the AC-WC mixture can increase the resistance to
damage to the mixture due to continuous water immersion by reducing the retained
strength index value and increasing the remaining strength index value with
increasing the duration of immersion.
Keywords Retained strength index Remaining strength index Concrete

wearing course
1 Introduction
One of the efforts to produce asphalt that has a high level of durability is the use of
various modifications to the asphalt by utilizing synthetic polymers as a mixture.
This is because synthetic polymers are artificial polymers that contain thermoplastic
chemical elements so that they have high elasticity and binding capacity. Asphalt
modification using polymeric materials obtained from a mixture of asphalt particles
I. Handayasari (&) D. P. Kusumastuti

Study Program of Civil Engineering, Institut Teknologi PLN, West Jakarta, Indonesia
e-mail: indah.handayasari@itpln.ac.id
A. S. N. Chairat
Study Program of Mechanical Engineering, Institut Teknologi PLN, West Jakarta, Indonesia
https://doi.org/10.1007/978-981-16-7949-0_36
412 I. Handayasari et al.
with polymer additives is known to optimize the properties of asphalt. Polymers are
able to increase the level of pavement durability from various types of damage, such
as permanent deformation, cracks due to temperature changes, material damage and
material release [1]. Modification of asphalt using polymer waste in the asphalt
mixture to withstand extreme weather shows the results that this type of polymer
can be used and provides good durability values [2]. The use of basalt material with
a 60/70 penetration asphalt concrete layer with the additive of used plastic bag
additives meets the general specifications of asphalt pavement in [3] so that in field
application, it is able to withstand traffic loads [4]. From the results of [5] analysis,
the addition of plastic bag waste to the AC-WC asphalt mixture can improve the
quality of the mixture, which can increase the strength of the aggregate against
abrasion and reduce the absorption and have a higher strength to withstand loads
than the asphalt mixture without waste Plastic.
This study uses a laboratory-scale test approach by testing the resistance of the
Asphalt Concrete Wearing Course (AC-WC) mixture using a plastic bag which is a
type of LDPE (Low Density Polyethylene) polymer against water through
immersion in water with a temperature of 60 °C for 24, 48 and 72 h with a con-
tinuous system and determination. Strength evaluation parameter after immersion or
residual strength index. Where the addition of variations in the content of LDPE
polymer plastic bags of 0, 5, 7 and 9% at the optimum asphalt content of 5.9%.
2 Durability
One of the performance parameters of the asphalt concrete mixture is durability. To

get good durability, usually high asphalt content is used. However, if the asphalt
mixture with high asphalt content is always submerged in water, the road will
gradually suffer damage. The method used in evaluating the effect of water on the
asphalt mixture with the Marshall immersion test in which the stability of the test
object is determined by immersion in water at a temperature of 60 °C. The ratio of
the immersed stability to the standard stability is expressed in percent and is called
the Index Retained Strength, which is calculated in Eq. 1.

MSi
IRS ¼ 100 ð1Þ
MSs
IRS = Index Retained Strength (%)

MSi = Marshall stability after immersion for 24, 48, 72 h at a temperature of ±60 °C,
(kg)
MSs = Standard Marshall stability in immersion for 30 minutes at 60 °C, (kg).
As shown in Table 1 for the specifications of the asphalt mixture based on the
provisions of Bina Marga [6], the IRS value must be greater than 90%.
Resistance of Modified Concrete-Wearing Course Mixture … 413
Table 1 Concrete asphalt mixture requirements [6]

Properties Asphalt concrete
WC BC Base
Number of collisions per plane 75 75 112
The ratio of particles passed the 0.075 mm sieve with the Min 0.6
effective asphalt content Max 1.2
VIM (%) Min 3.0
Max 5.0
VMA (%) Min 15 14 13
VFB (%) Min 65 65 65
Marshall Stability (kg) Min 800 1800
Max – –
Flow (mm) Min 2 3
Max 4 6
Marshall Quotient (kg/mm) Min 250 300
Remaining Marshall Stability (%) after immersion for 24 h, Min 90
60 °C
Void in the mixture (%) at refusal density Min 2
Durability modification [7] has developed a single parameter that describes the
longevity condition of a hot asphalt mixture after a series of immersion periods.
This parameter is called the Durability Index, which consists of two types, namely
the first durability index and the second durability index.
First Durability Index The first index is defined as the successive amount of slope
of the durability curve, which is expressed in Eq. 2.
X
n1
Si Si þ 1
r¼ ð2Þ
i¼0
ti þ t ti
r = The value of the decrease in strength (%) on the first durability index.
S0 = Absolute value of initial strength.
Si = Percent strength remaining at time t1.
Si+1 = Percent strength remaining at time ti+1.
ti, ti+1 = immersion time (starting from the beginning of the test).
Second Durability Index The second index is defined as the area of average
strength loss between the durability curve with the line So = 100%, which is stated
in Eq. 3.
1X n
1 Xn1
a¼ a1 ¼ ðSi Si þ 1 Þ½2tn ðti þ ti þ 1 Þ ð3Þ
tn i¼1 2tn i¼0
a = The value of the decrease in strength (%) on the second durability index.
tn = immersion time (last).
S1 = Percent strength remaining at time t1.
Si+1 = Percent strength remaining at time ti+1.
ti, ti+1 = immersion time (starting from the beginning of the test).
A positive value of (a) indicates a loss of strength, while a negative value
represents an increase in strength. By definition, a < 100 so that to express the
percentage strength of one day remaining (Sa) is stated in Eq. 4.
Sa ¼ ð100 aÞ ð4Þ
Sa = Percent strength remaining at second durability index (%).
Testing the quality of the material used in the AC-WC mixture consists of testing
the asphalt, coarse aggregate, fine aggregate and filler.
3.1 Asphalt Test
The results of tests carried out on 60/70 penetration asphalt can be seen in Table 2.
Table 2 Asphalt testing results

Test Unit Reference Terms Results Information
Apparent Density gr/cc SNI 06-2442-2011 1 1.038 Fulfilled
Flash point °C SNI 2433-2011 232 360 Fulfilled
Soft point °C SNI 06-2434-2011 48 51 Fulfilled
Penetration 0.1 mm SNI 06-2456-2011 60–70 63.1 Fulfilled
Ductility Cm SNI 2432:2011 100 100 Fulfilled
3.2 Coarse Aggregate Test
The results of tests carried out on coarse aggregate can be seen in Table 3. Based on
the test results, it was found that the coarse aggregate material had met the speci-
fications in accordance with the standards used in the inspection, namely Indonesia
National Standard SNI 1969:2016.
3.3 Fine Aggregate Test
The results of tests carried out on coarse aggregate can be seen in Table 4. The
standard used in examining specific gravity and absorption of fine aggregates is SNI
1970:2016.
3.4 Filler Test
The test for the filler sieve analysis used SNI ASTM C 136:2012. Based on the
results of the analysis, the filler sieve met the standard requirements, namely that the
minimum passing percentage of the No. 200 filter was 75%, with the percentage
value of passing the No. 200 filter of 91.24%. To test the specific gravity of the
filler following the AASHTO T-89-81 reference and from the test results obtained
the filler density value of 3.045 gr/cc.
3.5 The Resistance of the AC-WC Mixture Against

Continuous Water Immersion
The resistance of the AC-WC mixture with the addition of variations in the levels of
LDPE polymer plastic bags were 0, 5, 7 and 9%. Where the test object is immersed
in water with a temperature of 60 °C with immersion duration for 24, 48 and 72 h.
The results of durability testing can be seen in Table 5.
Table 3 Coarse aggregate testing results

Test Unit Terms Results Information
Coarse Medium
Abrasion % 40 16.75 20.32 Fulfilled
Bulk specific gravity gr/cc 2.5 2.607 2.597 Fulfilled
SSD specific gravity gr/cc 2.5 2.633 2.634 Fulfilled
Apparent density gr/cc 2.5 2.677 2.697 Fulfilled
Absorption % 3 0.997 1.425 Fulfilled
Table 4 Fine aggregate testing results

Test Unit Terms Results Information
Bulk specific gravity gr/cc 2.5 2.507 Fulfilled
SSD specific gravity gr/cc 2.5 2.563 Fulfilled
Apparent density gr/cc 2.5 2.645 Fulfilled
Absorption % 3 2.208 Fulfilled
Table 5 Asphalt mixture durability test results

Mixed variations Terms Immersion duration (h)
0.5 24 48 72
Stability (Kg)
0% LDPE 800 970.791 890.239 871.182 803.092
5% LDPE 1034.356 986.362 963.901 956.360
7% LDPE 1018.982 948.602 940.032 931.745
9% LDPE 990.828 919.201 907.878 899.344
IRS (%)
0% LDPE 90 100.00 91.70 89.74 82.73
5% LDPE 100.00 95.36 93.19 92.46
7% LDPE 100.00 93.09 92.25 91.44
9% LDPE 100.00 92.77 91.63 90.76
First Durability Index Decrease in strength, r (%)
0% LDPE 00.00 0.35 0.43 0.72
5% LDPE 00.00 0.19 0.28 0.31
7% LDPE 00.00 0.29 0.32 0.36
9% LDPE 00.00 0.31 0.35 0.38
Second Durability Index Decrease in strength, a (%)
0% LDPE 00.00 5.48 6.95 12.39
5% LDPE 00.00 3.06 4.61 5.41
7% LDPE 00.00 4.56 5.25 6.14
9% LDPE 00.00 5.11 5.67 6.46
Remaining Strength, Sa (%)
0% LDPE 100.00 94.52 93.05 87.61
5% LDPE 100.00 96.94 95.39 94.59
7% LDPE 100.00 95.44 94.75 93.86
9% LDPE 100.00 94.89 94.33 93.54
Tests conducted showed that the stability value decreased along with the longer
the asphalt mixture was submerged in water. The decrease in the stability value of
the asphalt mixture with 0% LDPE polymer plastic content after soaking was
17.27%, namely from the initial stability of 970.791–803.092 kg. Likewise, a
decrease in the value of stability occurred in the asphalt mixture with 5%, 7% and
9% content of LDPE polymer plastic. After soaking the mixture with the duration
of continuous immersion, the stability value decreased by 7.54%, 8.56% and
9.23%, respectively. Decreased stability or failure of the mixture was associated
with loss of adhesion or stripping, which is in line with the results stated [8], stated
that the decrease in the value of the stability of the mixture was due to the
immersion process carried out. The percentage reduction that occurred in the
asphalt mixture using LDPE polymer plastic was lower than that of the asphalt
mixture without LDPE polymer plastic. It can be said that asphalt mixtures with
LDPE polymer plastics have more resistance to continuous immersion compared to
asphalt mixtures without LDPE polymer plastics.
Based on the results in Table 5 and Fig. 1 shows that the IRS value of immersion
in a continuous pattern results in a decreasing value with increasing immersion
duration either with or without using LDPE polymer plastic. The IRS value on the
variation of the LDPE polymer type plastic content of 0% gave a greater reduction
than the IRS value of the asphalt mixture using LDPE polymer type plastic. It is
known from the results of testing the IRS value at the duration of immersion of 48 h
and 72 h continuously in the asphalt mixture with 0% LDPE polymer plastic
content that cannot meet the requirements for a minimum IRS value of 90%
according to Bina Marga 2018 provisions, and Figs. 2 and 3 for the value of the
decrease in strength at the first durability index (r) and the value of the decrease in
strength at the second durability index (a) increased after immersion for all varia-
tions of the LDPE polymer plastic content while the remaining strength percent
(Sa) in Table 5 and Fig. 4 give a slower reduction result than without LDPE
polymer plastic.
100
Index Retained Strength
100 100
100 92.77 95.36 91.7 92.25 91.44
93.19 92.46
100 91.63
90.76
90
IRS (%)
93.09
89.74
80 82.73
70
0.5 24 48 72
Immersion Duration (Hours)
0% LDPE 5% LDPE 9% LDPE 7% LDPE
Fig. 1 Index retained strength value

First Durability Index, r

2 0.38
0.35 0.36
1.5
0.31
0.32 0.31
r (%)
1 0.29
0.28
0.19 0.72
0.5
0 0.35 0.43
0
0.5 24 48 72
Fig. 2 First durability index value (r)
Second Durability Index. a

14
12.39
12
10 6.95
8 4.56 5.67 6.46 5.41
a (%)
5.11
5.48 4.61
6 6.14
4 5.25
0 0
2 0 3.06
0
0
0.5 24 48 72
Fig. 3 Second durability index value (a)
The effect of the duration of immersion on the AC-WC asphalt mixture using
LDPE polymer plastics showed a decreasing pattern that tended to be linear in the
IRS and Sa values. The longer the immersion, the greater the reduction in IRS in the
continuous immersion pattern. In addition, the use of LDPE polymer results in
better Index Retained Strength and remaining strength than without the use of
LDPE, so it can be stated that the LDPE polymer used in AC-WC smoke mixtures
can reduce strength loss compared to using only pure asphalt.
100
Remaining Strength, Sa
100 100 95.44 96.94 94.33 93.54
94.52
100 95.39 94.59
94.75
100 93.86
90 94.89
Sa (%)
93.05
87.61
80
70
0.5 24 48 72
Fig. 4 Remaining strength value
4 Conclusions
Based on the analysis of the test results, it can be concluded that the addition of
LDPE polymer type plastic can increase the stability of the AC-WC mixture. The
use of LDPE polymer plastic in the AC-WC mixture can increase the resistance to
damage to the mixture due to continuous water immersion, namely reducing the
Index Retained Strength value and increasing the remaining strength index value
with increasing the duration of immersion.
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(hrs-wc) akibat rendaman menerus dan berkala air rob. J Tek Sipil 13(1):124–135
Experimental Study on the Self-healing
Ability of Wearing Course-Asphalt
Concrete Mixes Reinforced with Steel
Particles
Anissa Noor Tajudin , Arif Sandjaya, Daniel Christianto ,

and M. Bagas Haris Kurniawan
Abstract The self-healing method is one of the most recent technologies used to
reduce road distress. One method to accelerate the healing process of asphalt is by
using conductive materials in the mix and heating it with electromagnetics. Various
materials are used as heat conductors, such as carbon-based fibers and nanofibers,
conductive modified bitumen and metal particles. This research uses steel fiber for
the Asphalt Concrete Wearing Course (AC-WC). Steel particles were added to the
asphalt concrete mixture with varying amount of 0, 0.25, 0.5, 0.75, 1% to the
mixture weight. The self-healing test was carried out with a three-point bending test
and microwave heating for five cycles to see the healing ratio of each variation. To
understand each variation's healing properties, the heating was done for 20, 40 and
60 s. The results showed that the pavement mixture using steel fibers was suc-
cessful in the self-healing method test. The research results on the mixture with 0%
steel particles proved to have self-healing ability but did not give results as good
mixtures using 0.25, 0.5, 0.75 and 1% of steel particles.

Keywords Self-healing pavement Steel fiber AC-WC Temperature sensitivity
A. N. Tajudin (&) A. Sandjaya D. Christianto M. B. H. Kurniawan

Universitas Tarumanagara, Jakarta 11140, Indonesia
e-mail: anissat@ft.untar.ac.id
A. Sandjaya
e-mail: arifs@ft.untar.ac.id
D. Christianto
e-mail: danielc@ft.untar.ac.id
https://doi.org/10.1007/978-981-16-7949-0_37
422 A. N. Tajudin et al.
1 Introduction
1.1 Background
Many factors can result in pavement distress. Temperature, humidity and temper-
ature on humidity are the three main factors that must be considered in pavement
design [1]. High temperatures can result in decreasing asphalt stiffness, while
stiffness will increase at low temperatures. Environmental factors also influence the
nature of the pavement.
An uncontrolled increase in traffic volume can also accelerate pavement damage
because the structure or subgrade can no longer withstand loads that exceed its
strength. The most common pavement damage is cracking. Cracks are a type of
damage that is often ignored because they do not significantly affect comfort and
safety while driving. However, cracks that are not treated immediately can develop
into potholes because water can enter the gap and aggravate the damage.
Various new methods have been developed to repair damaged roads easily and
quickly. One of them is by utilizing asphalt’s ability to self-heal. The self-healing
ability of asphalt cannot occur instantly at ambient temperature, while the road is
constantly traversed by vehicles and is exposed to the environment. It is also risky
to do a temporary closure of cracked locations because this will result in congestion.
Due to these problems, many researchers are interested in developing mixtures and
methods to accelerate the self-healing process.
Further innovations have been developed to reduce the asphalt viscosity by
several methods, such as heating the material or releasing microencapsules into the
cracks. Various materials are used as heat-conductors.
Although research on self-healing has been widely carried out, especially in
developed countries in the last ten years, such research is still limited in Indonesia.
Thus, this research aims to study the temperature characteristic and self-healing
ability using steel fibers as a conductor material with a mixture of aggregates and
asphalt commonly used in Indonesia.
1.2 Self-healing Mechanism in Pavement Mixtures
Increasing the temperature of mastic asphalt and asphalt concrete can increase the
healing rate [2, 3]. Further innovations have been developed to reduce viscosity by
several methods, such as heating the material by induction and microwaves [4, 5],
infrared radiation [6], or by releasing the microencapsulates into the cracks [7, 8].
Various materials are used as heat conductors, such as carbon-based fibers and
nanofibers [9], conductive modified bitumen [10] and metal particles of waste or
commercial origin [11].
Internal pores and crack structure are the main factors in understanding service
life extension in hot mix asphalt in thermal mixtures [12]. Further research was
Experimental Study on the Self-healing Ability … 423
conducted to explore variables that could affect the healing ability of asphalt
mixtures, such as heating characteristics, induced heating efficiency [13], mixing
and aging [14] and bitumen type [11].
1.3 Self-healing Process with Various Heating Methods
The induction heating method to speed up the asphalt recovery process requires a
conductive material to be exposed to electromagnetic waves in the form of
Kilohertz. This condition will induce an electric current into the conductive material
so that the temperature increases. The heat energy from the conductive materials
diffuses into the asphalt mixture so that the asphalt temperature increases. This
technique can restore cracked samples to up to 80% of their initial strength [3].
The second method to increase the temperature of the asphalt mixture is by
exposure to electromagnetic waves in the form of Megahertz generated by micro-
wave. Microwave heating will affect the moisture and asphalt in the mixture by
causing internal friction to increase the temperature. If there are conductive particles
in it, then microwave radiation can accelerate the temperature of the mixture. This
technique has the potential to be further developed [15].
2 Research Method
2.1 Self-healing Testing Process
The cylindrical Marshall sample is split into four semi-cylindrical samples and
heated by microwave for three different heating durations: 20, 40 and 60 s. The
various content of steel fiber added are 0, 0.25, 0.5, 0.75% and 1% of the total
aggregate weight (1200 g), with an asphalt content of 5.5% for all mixtures. The
mixture used is Asphalt Concrete-Wearing Course (AC-WC). The self-healing and
testing processes are carried out as follows:
1. All samples are coded according to the steel fiber content.
2. Samples are then stored at −20 ± 2 °C (to produce uniform cracks).
3. The sample is then split into two, using a three-point bending test. The ultimate
load is measured when the sample is split and recorded as F0.
4. The split samples are stored at room temperature for two hours. Then the two
sides are combined and then heated for a particular duration: 20, 40 and 60 s,
using a microwave. The thermal camera is used to record the temperature sur-
face after the heating process.
5. The samples are stored again until reaching room temperature.
6. Then step two is repeated for five cycles.
7. The ultimate load that occurs in each cycle is recorded as Fa.

8. The healing ratio of the sample (Sh) is obtained by Eq. 1.
Fa
Sh ¼ 100% ð1Þ
F0
2.2 Temperature Sensitivity Test
A thermal camera measured the change in temperature of the sample after being
heated by microwave. Measurements were carried out after three heating processes:
20, 40 and 60 s. Figure 1 shows the points for checking the temperatures using a
thermal camera.
3.1 Temperature Characteristics of Mixtures
The average temperature from five checkpoints (Fig. 1) and the cooling times
measured from the post-heating until the sample reaches room temperature (25 °C)
are presented in Table 1.
Asphalt mixtures with higher steel fiber content generally achieve higher surface
temperatures. However, the sample with 1% steel fiber did not get the highest
surface temperature value. This was caused by poor fiber distribution in the asphalt
mixture with 1% steel fiber, resulting in heating spots in certain zones. The samples
with 0.75 and 0.5% steel fiber reached the highest surface temperature for a heating
time of 60 s, as they presented a better fiber distribution in the asphalt mixture.
Fig. 1 Temperature
checkpoints
Table 1 Temperature characteristics

Steel fiber content Heating time Average surface temperature Cooling time
(%) (s) (°C) (min)
0 20 55.4 46
40 82.8 53
60 93.8 59
0.25 20 62.4 47
40 87.5 54
60 94.2 63
0.50 20 58.7 50
40 89.4 63
60 96 66
0.75 20 63.4 52
40 96.4 65
60 99.6 67
1 20 54.4 58
40 86.4 71
60 97.4 76
0% 0.25% 0.5% 0.75% 1%
Fig. 2 Thermal camera photos after 60 s of heating
Regarding the general observable cooling results, the longest cooling time was
recorded after heating times of 60 s, while the shortest cooling time was shown
after 20 s of heating. This result is related to the temperature reached by the sample.
Thus, the sample without steel fiber reached the lowest temperature and took a
shorter time to cool, whereas the sample with high steel fiber content reached the
highest surface temperature and took longer. The visual of heat distribution can also
be seen in Fig. 2, where blue is the coolest and white is the hottest.
3.2 The Effect of Heating Time on the Ability to Self-healing
The results of the data obtained from self-healing tests in five cycles, with variations
in the duration of heating and with various levels of steel fiber, were analyzed in the
Table 2 Healing ratio on five cycles

Steel fiber content (%) Heating time (s) Healing ratio on a specific cycle (%)
1 2 3 4 5
0 20 19.5 18.2 16.9 13.6 13.0
40 36.5 35.9 34.8 28.2 27.1
60 40.8 38.4 36.4 33.4 33.1
0.25 20 28.3 25.5 22.6 22.6 17.9
40 50.3 49.7 49.2 49.2 49.2
60 66.9 62.5 56.9 51.6 49.6
0.50 20 25.4 24.3 22.6 21.5 16.9
40 43.3 40.9 39.6 36.6 35.4
60 58.5 54.6 51.1 45.9 44.5
0.75 20 25.1 23.0 22.5 17.6 13.4
40 41.4 40.2 37.3 36.1 31.4
60 57.0 54.3 47.7 45.7 43.0
1 20 21.7 19.6 17.1 13.9 13.2
40 38.8 38.0 35.4 28.3 27.4
60 55.8 49.7 47.3 44.8 38.2
form of a healing ratio, namely the comparison of the strength of the test object after
the healing process per cycle with the strength of the initial test. The strength of the
specimens was obtained by a 3-point bending test on samples that have been
conditioned at a −20 °C for ±24 h. The healing ratios for each heating time are
presented in Table 2 and Figs. 3, 4, and 5.
The cracked test sample is first heated in a microwave and then re-cracked for up
to five cycles. The healing performance of the sample is defined as the three-point
bending strength of the test sample after curing. It can be observed that the healing
ratio decreases with increasing cycles. For example, the healing ratio with 0.25%
steel fiber in 20 s heating time reaches 23.38%, the highest healing data for an
average of five cycles of healing ratio. It can be seen that, in general, the rate of
healing ratio is lower when the fiber percentage is higher. This is because the
temperature reached by the asphalt in the steel fiber mixture is significantly higher
than the temperature reached by the asphalt in the fiberless mixture, resulting in
better thermal conductivity.
In addition, in the case of a heating time of 20 s, the number of cycles of the
healing ratio has no significant effect on the healing rate of the sample. On the other
hand, with longer heating times (40 and 60 s), it can be observed that the rate of
healing ratio decreases with the increasing number of cycles. After the first and fifth
cycles, each variation of the steel fiber content can be damaged due to the high
temperature reached by the asphalt sample when heated for a long time. This
behavior was also observed in a previous study that showed that microwave heating
could change the internal structure of the asphalt mixture, causing the aggregate
80%
60%
Healing Ratio
0% Steel
40% 0.25% Steel

0.5% Steel
0.75% Steel
20% 1% Steel
0%
1 2 3 4 5
Cycle
Fig. 3 Healing ratio in 20 s heating time
80%
60%
Healing Ratio
0% Steel
40% 0.25% Steel

0.5% Steel
0.75% Steel
20% 1% Steel
0%
1 2 3 4 5
Cycle
position in the sample to change. Moreover, the repetitive heating process can
fasten the short-term aging process of asphalt mixture.
The variation of 1% steel fiber reaches the lowest healing ratio in all heating
times. This happens because of the poor distribution of the steel fiber, which leads
to poor heating distribution. The variation of 0.5 and 0.75% steel shows a lower and
80%
60%
Healing Ratio
0% Steel
0.25% Steel
40%
0.5% Steel
0.75% Steel
1% Steel
20%
0%
1 2 3 4 5
Cycle
significant difference than the result from the variation of 0.25% steel. This happens
because the higher steel fiber content leads to a very high temperature, damaging
the asphalt, thus resulting in more significant strength loss. The highest healing ratio
is found in the variation of 0.25% of steel fiber which is 66.9%.
The healing ratio only shows the post cracked strength compared to the initial
strength. The ability of pavement to withstand traffic cannot be seen from this
experiment. However, this method aims to be done on hairline cracks at the earliest
stage of pavement distress that does not significantly impact structural strength. The
crucial purpose of this study is to find the best maintenance method at the early
stage of distress and prevent the hairline cracks from becoming a pothole.
3.3 The Visual Observation of the Self-healing Process
The observations of various cracks that are self-healed by microwave radiation,

where cracks are completely closed or partially closed, show that the duration of
heating in the microwave is a very influential factor in asphalt recovery. In the 20 s
of heating, healing only occurred on the partial part of the sample. Meanwhile, in
the 40 s and 60 s, the crack has been entirely healed to visual observation. The
visuals of the cracks before and after the heating process are shown in Figs. 6, 7,
and 8.
Partially
Crack healed
Fig. 6 Crack condition before (black arrow) and after (white arrow) 20 s of heating
Fully
Crack
healed
Crack Fully
healed
4 Conclusion
1. The self-healing results show that the highest healing ratio is 0.25% steel fiber
content variation. The results at the 5th cycle obtained for 20 s show a healing
ratio of 17.9%, 49.2% for 40 s of heating and 49.6% for 60 s of heating.
2. 0% steel fiber content was successful in self-healing but not as good as samples
with steel fibers due to the absence of additional conducting material.
3. Testing using a thermal camera showed that the maximum temperature was found
in the sample with steel fibers of 0.75% in all heating times. The results obtained
are 63.4 °C for 20 s of heating, 96.4 °C for 40 s of heating and 99.58 °C for 60 s
of heating.
4. The percentage of healing rate decreases with the addition of steel fiber content
in the AC-WC mixture.
5. On visual observation of the self-healing process, the crack is only partially

closed after 20 s of heating time. In contrast, the crack is completely closed after
40 s and 60 s of heating time.
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The Use of Gauss-Jordan Elimination
Method in Determining the Proportion
of Aggregate Gradation
Bagus Hario Setiadji, Supriyono, and Amelia Kusuma Indriastuti
Abstract The determination of the proportion of combined aggregate gradation is

an important step in the manufacture of asphalt mixtures, so this step needs to be
performed carefully. Today, the determination of the proportion of combined
aggregates is mainly done by trial and error or the graphical method, which often
gives inaccurate results. In this study, the determination of the combined aggregate
gradation proportion was carried out using the Gauss-Jordan elimination method to
find the best solution by solving a set of linear equations formed from several
aggregate grading groups. This study indicated that the Gauss-Jordan method
provides good guidance in determining a single unique aggregate gradation pro-
portion. The results of the iteration of this method can also show the trend of the
characteristics of the combined gradation that can improve the understanding of the
aggregate gradation used.

Keywords Gauss-Jordan elimination Aggregate gradation Combined aggregate
proportion
1 Introduction
In the manufacture of hot mix asphalt, the determination of the proportion of the
combined aggregate gradation is an important process, which can determine the
properties of the resulting asphalt mixture. Determination of this proportion is
generally carried out analytically or graphically. Many studies have been carried out
related to this method of determining proportions [1–6]. The methods used include:
(i) the simplest methods, namely the trial-and-error method; (ii) mathematical
methods by substitution and elimination; (iii) the use of optimization techniques
B. H. Setiadji (&) Supriyono A. K. Indriastuti

Diponegoro University, Semarang, Indonesia
e-mail: bhsetiadji@ft.undip.ac.id
https://doi.org/10.1007/978-981-16-7949-0_38
432 B. H. Setiadji et al.
such as the least square method, linear and nonlinear programming; and
(iv) graphical methods such as triangular or rectangular chart methods.
Each method has advantages and disadvantages, such as the trial-and-error
method, which is the easiest but contains high uncertainty; the mathematical
method is generally very accurate but often requires a reasonably long calculation
time. In contrast, the graphical method has the advantage of being easy to work
with, but the results are sometimes not accurate.
In this research, a mathematical method known as the Gauss-Jordan method is
used to solve the blended aggregate problem, which is generally formulated in a set
of linear equations with n unknowns. This method is one of the most accurate
methods in determining the solution and is supported by the ease of operation so
that the Gauss-Jordan method is expected to be widely used in determining the
proportion of combined aggregates. In addition, this study also aims to evaluate the
trend generated by a series of iterations of the Gauss-Jordan method on a specific
aggregate gradation.
2 Gauss-Jordan Elimination Method
In determining the combined aggregate gradation, ones have two common options,
i.e., using analytical methods or graphical methods. The analytical method, in the
form of linear equations, generally is written Eqs. 1 and 2.
X
n X
n
aij :xi ¼ bi ð1Þ
i¼1 j¼1
X
n
aij ¼ bi ð2Þ
i¼j¼1
in which: aij is the ith percentage (by weight) of aggregate gradation j passing
certain sieve size, xi is the sought proportion of aggregate gradation j; bi is the
percentage (by weight) of combined aggregate retained on certain sieve size.
The value n represents the number of unknown, i.e., the proportion of aggregate
gradation used to produce target gradation that complies with the specification. To
determine a single unique solution of the unknown, one has to use the number of a
linear equation similar to the number of unknown. Many techniques can solve a
linear system problem; one of them is the Gauss elimination method. The Gauss
elimination method systematically implements elementary row operations to a
linear system to convert the system to upper triangular form and then
back-substitute to obtain the solution. The improved method, namely Gauss-Jordan
elimination, has increased the technique’s effectiveness by conducting the ele-
mentary row operations to upper and lower triangular forms simultaneously.
The Use of Gauss-Jordan Elimination Method … 433
Coupled with the use of a computer, it could be double the speed to obtain the
solution.
Adenegan and Aluko [7] briefly provided that the procedure of Gauss Jordan
elimination is as follows.
1. Write the normal matrix into the augmented matrix [A/b].
2. Use elementary row operation on the augmented matrix [A/b] to transform
A into diagonal form.
3. Divide the diagonal elements and a right-hand side's element in each row by the
diagonal elements in the row, and this will make the diagonal elements equal to
one.
The problem encountered if there is a zero located on the diagonal of matrix A;
then it could be switched the rows until a non-zero is in that element. If there is no
possibility to find another non-zero, then stop because the system has either infinite
or no solution.
The implementations of the above procedure to a 4 4 matrix are shown in
Eqs. 3–7.
0 10 1 0 1
a11 a12 a13 a14 x1 b1
B a21 a22 a23 a24 C B x 2 C B b2 C
B CB C ¼ B C ð3Þ
@ a31 a32 a33 a34 A@ x3 A @ b3 A
a41 a42 a43 a44 x4 b4
Step a The matrix in Eq. 3 can be written in an augmented matrix [A/b] as shown
in Eq. 4.
0 1
a11 a12 a13 a14 b1
B a21 a22 a23 a24 b2 C
B C ð4Þ
@ a31 a32 a33 a34 b3 A

a41 a42 a43 a44 b4
Step b Use the elementary row operation on the matrix [A/b] to make the diagonal
of the matrix equals to one. To do so, eliminate x1 from the 2nd, 3rd, and 4th row by
subtracting the element on that row with the multiplication of the element x1 from
the 1st row and the following ratio m21 = a21/a11, m31 = a31/a11, and m41 = a41/a11,
respectively (Eq. 5).
0
a11 a12 a13 a14 b1 1
B0 ð2Þ ð2Þ ð2Þ ð2Þ
B a22 a23 a24 b2 C
B ð2Þ C ð5Þ
a34 b3 A
ð2Þ ð2Þ ð2Þ
@0 a32 a33
ð2Þ ð2Þ ð2Þ ð2Þ
0 a42 a43 a44 b4
ð2Þ ð2Þ
in which: a22 ¼ a22 a12 : m21 ; b2 ¼ b2 b1 : m21 ; the other elements follow
similar calculation pattern.
The subsequent elimination is for x2, especially on the first, third, and fourth
rows by subtracting the element on that rows with the multiplication of the element
x2 from the 2nd row and the ratio m12 = a12/a22, m32 = a32/a22, and m42 = a42/a22,
respectively (Eq. 6).
0 ð3Þ 1
a14 b1
ð3Þ ð3Þ ð3Þ
a11 0 a13
B ð2Þ ð2Þ ð2Þ ð2Þ C
B0 a22 a23 a24 b2 C
B ð3Þ ð3Þ ð3Þ C ð6Þ
@0 0 a33 a34 b3 A
a44 b4
ð3Þ ð3Þ ð3Þ
0 0 a43
ð3Þ ð2Þ ð3Þ ð2Þ

where a33 = a33 a23 . m32 ; b1 = b1 b2 . m12 ; the others follow similar cal-
culation pattern.
Repeat this elimination procedure until only the diagonal elements of A contains
non-zero elements.
Step c Divide the non-zero elements and the corresponding b element on each row
with the diagonal element on that row (Eq. 7).
0 1
1 0 0 0 b1 =a11
B 0 1 0 0 b2 =a22 C
B C ð7Þ
@ 0 0 1 0 b3 =a33 A

0 0 0 1 b4 =a44
The methodology of this work can be summarized into four steps as follows.
1. Preparing and testing the aggregate properties
Four groups of aggregate, i.e., two coarse-aggregates and two fine-aggregates,
were collected from a local quarry, and they were tested to determine the
properties before they were sieved to know the gradation. The properties of the
aggregate were tested based on the Indonesian National Standard (SNI) and the
results obtained have to comply with the specification of Directorate General of
Highways year 2018 version 2 [8].
2. Sieving the aggregate materials
Once the properties of the aggregates can fulfill the specification, the aggregates
were prepared for sieving. In this work, the aggregate was assumed to be used
for asphalt mixture AC-WC (asphalt cours—wearing course). Each group of
aggregates was a sieve, and the result was checked against the specification of
Directorate General of Highways year 2018 version 2 [8].
3. Conducting analysis using Gauss-Jordan elimination method

Four aggregate gradations were blended to obtain the target gradation; therefore,
four unknowns were to be solved, i.e., x1 to x4. According to Eqs. 1 and 2, three
equations were selected based on Eq. 1, and the last equation adopted Eq. 2.
There were nine sieve sizes, and three sieve sizes were used in each
Gauss-Jordan elimination iteration; therefore, by using the combination formula,
there were 84 Gauss-Jordan elimination iterations.
4. Evaluating the results
The analysis results were evaluated by considering whether the target gradation
can be achieved for each aggregate proportion produced and the trend of the
combined gradation against the specification used.
4 Results and Analysis
The aggregate is required to be tested first to ensure that the aggregate can be used
for the next step. As mentioned in Sect. 3, there were four groups of aggregate, i.e.,
two of them were coarse aggregate (Grad-A and Grad-B), and the rest were fine
aggregate (Grad-C and Grad-D). The results of the property test are shown in
Table 1.
Table 1 shows that all aggregate properties could fulfill the specification used,
the Specification of Directorate General of Highways Year 2018 ver. 2 [8]. It means
that both coarse and fine aggregates can be used for the next test, i.e., sieve test.
The asphalt mixture used in this study, i.e., asphalt concrete—wearing course
(AC-WC), is a mixture with a dense-graded aggregate gradation. It requires ten
Table 1 Results of the property tests of the aggregate

Types of Property of aggregate Results Specification
aggregate
Coarse aggregate Los Angeles abrasion value 14.59 Min. 40%
Bulk specific gravity of aggregate of 2.667 Min. 2.5
Grad-A
Grad-B
Absorption of aggregate of Grad-A 1.209 Max. 3%
Absorption of aggregate of Grad-B 1.406 Max. 3%
Fine aggregate Bulk specific gravity of aggregate of 2.611 Min. 2.5
Grad-C
Grad-D
Absorption of aggregate of Grad-C 1.922 Max. 3%
Absorption of aggregate of Grad-D 1.096 Max. 3%
Table 2 Different aggregate gradations were used in this study

Sieve sizes Percentage of passing sieve size
No. mm Grad-A Grad-B Grad-C Grad-D Spec
¾″ 19 100 100 100 100 100
½″ 12.5 28.71 100 100 100 90–100
3/8″ 9.5 3.35 90.36 100 100 77–90
4 4.75 0.76 23.94 100 100 53–69
8 2.36 0.56 3.70 82.80 90.23 33–53
16 1.18 0.48 2.10 55.34 74.31 21–40
30 0.6 0.44 1.79 34.68 55.10 14–30
50 0.3 0.41 1.62 24.08 36.23 9–22
100 0.15 0.33 1.23 11.94 20.28 6–15
200 0.075 0.24 0.84 6.72 6.00 4–9
aggregate sieve sizes with the maximum aggregate size is no. ¾″ (or the nominal
maximum aggregate size/NMAS is ½″). The results of the sieve test for four groups
of aggregates (Grad-A to Grad-D) are depicted in Table 2.
Table 2 shows that none of the groups of aggregate could fulfill the specification.
It is indicated that a blend of that four gradations was required to obtain the target
gradation that complies with the specification. It is possible to determine the pro-
portion of the four gradations by using the trial-and-error method, but for a par-
ticular case, it is not easy to find the exact solution and is also time-consuming.
In this work, the Gauss-Jordan elimination method is proposed. The work only
needs simple software such as an Excel spreadsheet. It has to be admitted that this
method required much work in the beginning. It included: (i) developing the
template of the calculation of the Gauss-Jordan method using Eqs. 4–7. It needed
three linear equations of Eq. 1 selected in a systematic way among nine possible
percentages of aggregate passing certain sieve size (Table 2) and one another
equation of Eq. 2; (ii) calculating the combined gradation using the proportion xi
produced by point (i); and (iii) checking whether the target gradation is achieved by
examining the percentage of aggregate passing of each sieve size against the
specification. It is beneficial if all calculation cells in the spreadsheet are linked to
the master table (see Table 2) because the proportion calculation will be conducted
directly if there is an update on the master table in the future.
As mentioned in Sect. 3, Gauss-Jordan elimination was iterated as many as 84
times in this work to enable checking the possibility of the combination of three
among nine aggregate sieve sizes to produce a correct proportion. The selection of
three aggregate sizes to form a combination was conducted systematically to make
it easier for the analysis. A result indicated a criterion of a correct proportion that
none of the proportions was less than zero and more than 1. Among all possible
combinations of aggregate sieve sizes in this work, only 15 combined gradations
can produce correct proportions. Together with some incorrect proportions (i.e.,
negative proportions and proportion more than 1, indicated by bold letters), some of
them were selected randomly and presented in Tables 3 and 4. In Tables 3 and 4, all
proportion is denoted in percentage unit.
The combined gradation (stated as CGrad) in Tables 3 and 4 are divided into two
parts: the combined gradation with correct proportions (CGrad-4 to CGrad-7) and
the rest are the combined gradation with incorrect proportions (CGrad-1 to
CGrad-3, and CGrad-8 to CGrad-10). The CGrads on the left of the table are the
ones with the most combinations of coarse aggregate; the CGrads on the right of the
table are the ones with the most combinations of fine aggregates. The combined
gradation with correct proportions generally has a relative balance of a combination
of coarse and fine aggregates.
Beside correct proportions, the target gradations have to produce a good result,
i.e., it could fulfill the specification. Unfortunately, as seen in the tables, none of the
combined gradation can produce good results. The four gradations with correct
proportions (CGrad-4 to CGrad-7) in the table are the ones that has less deviation
against the specification.
It is not too surprising to know this result because all combined gradations
obtained in this work are only a small part of a substantial possible combination that
could be produced by using the analytical method. It means that Gauss-Jordan
Table 3 The five combined gradations were used firstly in this study
Sieve Percentage passing sieve size
No. CGrad-1 CGrad-2 CGrad-3 CGrad-4 CGrad-5 Specification
x1 = 7 x1 = 7 x1 = 7 x1 = 7 x1 = 7
x2 = 101 x2 = 101 x2 = 42 x2 = 42 x2 = 44
x3 = −623 x3 = −120 x3 = 60 x3 = 33 x3 = 35
x4 = 616 x4 = 112 x4 = −10 x4 = 18 x4 = 14
¾″ 100.0 100.0 100.0 100.0 100.0 100
½″ 95.0 95.0 95.0 95.0 95.0 90–100
3/8″ 83.5 83.5 89.2 89.2 88.9 77–90
4 16.3 16.3 61.0 61.0 59.3 53–69
8 43.0 5.6 43.0 45.0 43.0 33–53
16 114.6 19.1 27.2 32.4 30.5 21–40
30 124.8 22.0 16.5 22.0 20.5 14–30
50 74.6 13.4 11.8 15.1 14.1 9–22
100 51.7 9.7 5.8 8.1 7.5 6–15
200 −4.1 −0.5 3.9 3.7 3.6 4–9
CGrad-1, CGrad-2, CGrad-3, CGrad-4, and CGrad-5 were determined using all gradation with
sieve no. ½″, 3/8″, no. 8; ½″, 3/8″, no. 30; ½″, no. 4, no. 8; ½″, no. 4, no. 30; and ½″, no. 8, no. 16,
respectively
Table 4 The other combined gradations were used in this study

Sieve No. Percentage passing sieve size
CGrad-6 CGrad-7 CGrad-8 CGrad-9 CGrad-10 Specification
x1 = 14 x1 = 13 x1 = −4 x1 = −37 x1 = −196
x2 = 33 x2 = 45 x2 = 57 x2 = 99 x2 = 256
x3 = 51 x3 = 11 x3 = 25 x3 = −4 x3 = 19
x4 = 2 x4 = 31 x4 = 22 x4 = 41 x4 = 21
¾″ 100.0 100.0 100.0 100.0 100.0 100
½″ 90.2 91.0 103.1 126.1 239.9 90–100
3/8″ 83.5 83.5 98.7 125.8 264.9 77–90
4 61.0 53.4 61.0 61.0 99.8 53–69
8 45.3 39.3 43.0 37.6 43.0 33–53
16 30.5 30.5 31.6 30.5 30.5 21–40
30 19.5 22.0 22.0 23.0 21.8 14–30
50 13.6 14.8 15.0 15.5 15.5 9–22
100 7.0 8.3 8.2 9.0 9.0 6–15
200 3.9 3.0 3.5 3.0 4.2 4–9
CGrad-6, CGrad-7, CGrad-8, CGrad-9, and CGrad-10 were determined using all gradation with
sieve no. and 3/8″, no. 4, no. 16; 3/8″, no. 16, no. 30; no. 4, no. 8, no. 30; no. 4, no. 16, no. 50; and
no. 4, no. 16, no. 50, respectively
elimination is only a method that assists ones in indicating correct proportions. If

the proportion(s) cannot produce the target gradation that fulfills the specification,
an adjustment has to be conducted by changing the proportion slightly based on the
combined gradation obtained. For example, CGrad-6 is the best combined gradation
produced by Gauss-Jordan in this study, although the gradation cannot produce a
good result. By changing x1 from 14 to 12%, and x3 from 51 to 53% while the rest
100
90
% passing sieve size
80
target gradation
70
60
lower bound
50 upper bound
40
30
20 “restricted zone”
10
0 # 200 # 100 # 50 # 30 # 16 #8 #4 3/8" 1/2" 3/4"
Sieve sizes
Fig. 1 Plotting of the selected combined gradation against the specification
remains the same, all combined gradation now can fulfill the specification. Further
examination can be carried out by plotting the combined gradation produced using
correct proportions against the specification (see Fig. 1).
Although “restricted zone” (the area with the red line in Fig. 1) is omitted in
Indonesian specification, the knowledge of this area is useful to help one in
determining a better aggregate gradation. According to Al-Khateeb et al. [9], the
crossover-through-restricted-zone curve (the target gradation in Fig. 1) could be
more susceptible to permanent deformation (rutting). A below-restricted-zone curve
is preferable to provide sufficient voids for a more long-lasting asphalt mixture.
In addition, using many iterations of Gauss-Jordan, one also can analyze the
trend produced. For example, it is more challenging to obtain target gradation with
the percentage of coarse aggregate higher than that of fine aggregate. The combined
gradation with higher coarse aggregate proportions or x1 + x2 > x3 + x4 (i.e.,
CGrad-5 and CGrad-7) has a lower percentage passing sieve no. 200 than those of
gradation with higher fine aggregates (i.e., CGrad-4 and CGrad-6).
5 Conclusions
This paper presented a systematical method, i.e., Gauss-Jordan elimination, to

determine the proportion of aggregate gradation mathematically. To do so, a dense
graded aggregate gradation consisted of four groups of aggregate was used in this
study. Eighty-four iteration was conducted by systematically selecting three of nine
possible aggregate sieve sizes plus one proportion summation to produce four linear
equation systems that will be solved using Gauss-Jordan elimination. The results
indicated that the Gauss-Jordan method could produce many benefits in solving the
blended aggregate problems. Although this method did not always produce a good
result that complies with the specification, the solution obtained can still be used as
guidance to determine a single unique solution of the aggregate proportion. In
addition, the iteration of the method may also show the trend of the characteristics
of the combined gradation that can improve the understanding of the aggregate
gradation used.
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Conceptual System Model
Dynamic OSH Performance
Improvement of Building Construction
Projects
Feri Harianto, Nadjadji Anwar, I Putu Artama Wiguna,

and Erma Suryani
Abstract In Indonesia, construction projects have a high risk of work accidents.

The human factor is the cause of work accidents. For example, most workers have
low safety awareness. Therefore, the workforce has a significant role in reducing the
risk of work accidents. This study aims to build a conceptual model for improving
the performance of Occupational Safety and Health (OSH) building construction
projects based on behavior and understanding of workplace safety. This research
method uses a dynamic system, choosing a dynamic system because this method
can explain complex systems over time, time delays and looping between variables.
OSH behavior, understanding and performance variables form the dynamic system
model to improve OSH performance. Concept scenarios for developing a dynamic
system model are financial incentives, OSH training and patrol frequency. This
research was conducted in a high-rise building construction project in Surabaya.
The results of this study are the dynamic system modeling for improving safety
performance into a sub-model of understanding construction OSH, sub-model of
building OSH behavior and sub-model of building OSH performance. Meanwhile,
the scenario for improving OSH performance is providing financial incentives,
training and increasing the frequency of safety patrols.
Keywords Training Behavior Performance Occupational safety
F. Harianto (&) N. Anwar I. P. A. Wiguna

Department of Civil Engineering, Faculty of Civil, Planning, and Geo Engineering, Institut
Teknologi Sepuluh Nopember, Surabaya, Indonesia
e-mail: feriharianto69@gmail.com
I. P. A. Wiguna
e-mail: artama@ce.its.ac
E. Suryani
Department of Information Systems, Faculty of Intelligent Electrical and Informatics
Technology, Institut Teknologi Sepuluh Nopember, Surabaya, Indonesia
e-mail: erma@is.its.ac.id
https://doi.org/10.1007/978-981-16-7949-0_39
442 F. Harianto et al.
1 Introduction
Limited time for construction projects, workers experience physical and psycho-
logical pressure in carrying out their work, so that workers tend to show unsafe
behavior at work [1, 2]. In addition, many company leaders are still oriented
towards productivity targets. And short-term financial performance so that safety
and health efforts are neglected so that the company is inconsistent in implementing
an occupational safety and health management system. Therefore, the implemen-
tation of a construction project has a very high risk of work accidents [3–6].
Unsafe behavior and conditions are the root causes of accidents. The cause of
accidents is 88% due to dangerous behavior, 10% hazardous conditions and 2%
could not be prevented [7]. Most of the construction workers in Indonesia have low
awareness and knowledge of work safety. Poor OSH communication in the work
environment, such as the number of work accidents due to a lack of good OSH
communication and reporting of work accidents to the company [8].
Behavior-based work safety is effective in preventing accidents [9, 10].
Occupational Safety and Health (OSH) training for construction projects
enhances workers’ knowledge. An effective OSH training program is an essential
part of the OSH management system [11]. The impact of OSH training is to
improve the performance of OSH construction projects and reduce the rate of work
accidents [12–15]. An effective work safety program can minimize occupational
accidents [16].
Worker's behavior is the most significant cause of work accidents, so worker
behavior is the primary variable shaping the OSH performance improvement model
[17]. The understanding of occupational safety and health can shape worker safety
behavior. Occupational safety and health can be realized through OSH training,
OSH patrols, and providing OSH financial incentives [18]. This study aims to
develop a workplace safety performance model using a dynamic system to reduce
workplace accidents.
2 Literature Review
2.1 Dynamic System Models
The model shows a representation in a real-life system that focuses on the problem
with a particular formal language. Model development usually uses basic principles,
including the validity of the model is then tested with sample data to produce a
valid model. Simulation is the process of designing a model of a real system
followed by the implementation of experiments on the model to study behavior
[19]. The variables in the dynamic system model consist of level, rate, and auxil-
iary. The level variable is the accumulation of flow over time and the rate variable is
the rate that determines the incoming or outgoing flow, while the auxiliary is an
Conceptual System Model Dynamic OSH Performance … 443
auxiliary variable that simplifies the relationship between variables. In addition to

variables, there are parameters and constants. Parameters are inputs for rate and
auxiliary; parameters have fixed values at certain times but can change at other
times. In comparison, the constant has a fixed value throughout the simulation
period.
2.2 Occupational Safety Behavior
Attitude is a reaction of someone who is still closed to an object or stimulus.

A person’s attitude is a tendency to do certain behaviors [20]. The foreman’s lead-
ership influences workers’ OSH attitude, punishment in reprimands, salary cuts, and
dismissal [7, 21]. Dangerous behavior is synonymous with harmful behavior. The
opposite of risky behavior is safety behavior. Dangerous work behavior such as:
• Do not use personal protective equipment,
• Lack of communication between friends and leaders,
• Using the equipment not according to the procedure,
• Joking at work,
• Not concentrating on work,
• Not obeying safety signs,
• Do not interfere with the operation of dangerous equipment. In principle, risky
behavior encourages the risk of work accidents [22].
The OSH understanding variables and safety behavior variables OSH can form
the concept of modeling OSH performance improvement. The knowledge of OSH
through training shows a significant relationship with project safety performance
[18]. The comfort of space influence to process of OSH training [23].
Understanding through occupational safety training can improve work safety
behavior [24]. Improving work safety performance can be achieved by focusing on
unsafe behavior at construction sites [17]. Meanwhile, OSH performance measures
depend on the number of work accidents, the number of sick workers and the
number of workdays lost.
Dynamic systems modeling begins with building a system conceptualization based

on the research problem. To conceptualize the system, then define the boundaries of
the system. After that, make a causal pie chart. In making a stock-flow diagram
based on the causal loop diagram, a validated structural model. After the concep-
tualization of the system is formed, then formulate a model, then perform a model
Table 1 The OSH performance model variable

Internal variable External variable References
Comfort space Room temperature, space area, light, wall color [23, 25]
Understanding OSH Level of education, training duration, easy of [3, 26]
transfer course material
Worker characteristics Age, level of education, length of working [3, 27, 28]
OSH commitment OSH posters, safety infrastructure, first aid, OSH [29, 30]
regulation
Patrol frequency The attitude of OSH workers [31, 32]
Infrastructure structure [33]
Punishment [7]
Using of PPE [29]
Using an id card [31]
Standard operating [29]
procedure
OSH communication [34]
Responsive to [31]
occupational safety
Safety leadership [35]
foreman
Government OSH [32]
regulation
simulation. The simulation model has good validity if the error rate is less than 5%
and the variation error is less than 30%.
Human OSH behavior and understanding improve OSH performance [17, 18].
The basis for compiling the variable understanding of OSH and OSH safety
behavior is shown in Table 1.
Figure 1 shows sub-model 1 the causal loop diagram of occupational safety

understanding, the understanding of OSH training participants influenced by the
comfort of space, level of education, duration or length of training and the ease or
clarity of the delivery of OSH training materials [3, 17, 26]. Room comfort influ-
ence by wall color, light, space area and room temperature or temperature [23, 25].
Figure 2 shows sub-model 2 the causal loop diagram of occupational safety
behavior, describes four balancing conditions, namely B1, B2, B3, and B4. The B3
balancing condition shows that punishment (warning, payroll deduction, dismissal)
increases workers’ work following the SOP. In contrast, workers who work in
harmony with SOP reduce penalties [21, 36]. The condition for balancing B4 shows
space area light

wall color
room temperature
+
+
+ comfort space
+
+ level of education
training duration +
understanding
OSH
+
easy of transfer of
OSH material
Fig. 1 Sub-model 1 the causal loop diagram of occupational safety understanding
occupational safety length of working patrol frequency

infrastructure
management system +
education level structure
audits age
+ + +
+ worker
+ characteristics
+ government OSH
OSH implementation + + responsive to
regulations + +
reference + +
standard operating occupational safety
OSH prosedure
communication + +
+ +
OSH posters -
+ + using of PPE + + +
+
OSH commitment + ++ using of an id card B3
safety + - +
+ B2
infrastructure B1
+ +
+ - punishment dismissal
+
first aid the attitude of OSH B4 +
+
OSH regulations workers safety leadership payroll deductions
+
+ foreman +
+ warning
careful attention
Fig. 2 Sub-model 2 the causal loop diagram of occupational safety behavior
that the foreman’s safety leadership actively decreases the worker’s punishment,
while the worker’s sentence makes the foreman’s safety leadership work actively
[37]. The conditions for balancing B2 and B1 show that punishment makes workers
disciplined in identity cards. The use of PPE, in contrast to the use of identity cards
and PPE in a disciplined manner, reduces the form of punishment [19, 36].
he reported number of
occupational accidents
number of
occupational accidents
the number of
workdays lost
+ + +
OSH performnace
+
+
+
safety morning talk
the number of sick
workers
infrastructure
structure
Fig. 3 Sub-model 3 the causal loop diagram of occupational safety performance
Figure 3 shows sub-model 3 the causal loop diagram of the occupational safety
performance sub-model measure by the number of reported work accidents, the
number of work accidents, the number of sick workers and the number of lost
workdays. The OSH performance of a building construction project is influence by
the safety morning talk and infrastructure structures.
The dynamic system modeling scenario to improve the safety and health per-
formance of the building construction project proposed in this study is the
parameter and structural scenario. The proposed parameter scenario is patrol fre-
quency [38, 39]. At the same time, the structural scheme proposed in this study is
the provision of incentives and OSH training [13, 40].
5 Conclusion
Behavioral variables and an understanding of worker safety can form a model for
improving OSH performance in construction project implementation. OSH training
can provide a sense of work safety. To improve safety performance in this modeling
scenario, provide financial incentives, training and increase the frequency of safety
patrols. With good understanding and safety behavior, it can minimize workplace
accidents.
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Experiment the Effect of Providing
Monetary Incentives and Safety Patrols
on Work Safety Behavior
in Construction Project Implementation
Feri Harianto, Nadjadji Anwar, I Putu Artama Wiguna,

and Erma Suryani
Abstract The process of implementing a construction project has a high risk of

work accidents. The risk of work accidents is due to the limited project imple-
mentation time, low human resources and weak work safety management system.
For this reason, efforts should be made to minimize the risk of accidents. Therefore,
the role of workplace safety management is essential. One form of policy in
occupational safety management is patrols and the provision of financial incentives
for work safety. This study aims to determine the effect of safety patrols and the
provision of financial incentives on safety behavior. This research method is
quasi-experimental with a 2 2 factorial design, with the respondents being
workers. The number of samples is 20 respondents. Sampling using purposive
sampling. The treatment of this research is the provision of financial incentives and
safety patrols. The analysis in this study used a two-way ANOVA. The result of this
study is that there is a significant effect between safety patrol and the provision of
financial incentives (together) on work safety behavior. On the other hand, what is
quite impactful is the provision of financial incentives.
Keywords Financial incentives Safety Monitoring Behavior
F. Harianto (&) N. Anwar I. P. A. Wiguna

Department of Civil Engineering, Faculty of Civil, Planning, and Geo Engineering,
Institut Teknologi Sepuluh Nopember, Surabaya, Indonesia
e-mail: feriharianto69@gmail.com
I. P. A. Wiguna
e-mail: artama@ce.its.ac
E. Suryani
Department of Information Systems, Faculty of Intelligent Electrical and Informatics
Technology, Institut Teknologi Sepuluh Nopember, Surabaya, Indonesia
e-mail: erma@is.its.ac.id
https://doi.org/10.1007/978-981-16-7949-0_40
1 Introduction
The implementation of construction projects limited time and workers do not

understand work safety and lack of OSH communication and low awareness of
work safety has implications for a high risk of work accidents in construction
projects [1–4]. The death rate in the construction industry is relatively high com-
pared to other sectors. Therefore, it is necessary to make efforts to lead to zero
accidents [5]. Worker safety performance dramatically affects the results of con-
struction project safety performance [6]. The effectiveness of occupational safety
supervision in construction projects is essential in influencing work safety [7, 8].
Supervisors have an important role in occupational safety management. Supervisor
finances have an impact on worker safety. The financial supervisor, for example,
frequently visits workplaces and safety communications [9–11]. The interactions
between workers and supervisors often influence workers’ safety attitudes and
finances [6, 12]. Supervisory situational violations are more socially influential than
routine safety violations to workers on construction projects. Workers with less
work experience are more likely to commit frequent violations, besides workers
with less education tend to commit situational safety violations [10].
Providing financial incentives motivates workers to behave safely [13, 14].
Providing financial incentives and rewards can most effectively reduce the rate of
work accidents [15]. In the same study [16], there is a significant relationship
between financial incentives and work safety performance. Based on this expla-
nation, research on work safety behavior uses a survey method with the main
parameter being worked safety management. At the same time, the main factor of
work safety is primarily determined by workers’ behavior. Therefore, this study
uses an experimental method with safety behavior parameters with work safety
supervision treatment and financial incentives. Good work safety behavior
encourages the improvement of work safety performance. Therefore, this study
aims to determine the effect of monitoring and financial incentives on work safety
behavior in construction projects.
2 Literature Review
2.1 Occupational Safety Supervision
The effectiveness of supervision carried out by supervisors has an essential role in

occupational safety management. Good safety management will undoubtedly
improve safety performance [10, 11, 17]. An occupational safety program is impact
control, direct cause control and root cause control. One form of direct cause
control is supervision or inspection of occupational safety. Occupational safety
officers carry out this activity. The essential thing in occupational safety supervi-
sion, that time it is found unsafe or non-standard conditions in the workplace,
Experiment the Effect of Providing Monetary Incentives … 451
it needs to be corrected. If the dangerous condition is high, it is necessary to carry

out a risk analysis and this is to find out the root cause of the hazardous situation. It
helps in improving the safety management system [18].
2.2 Providing Occupational Safety Incentives
To a large extent, human financial can become more robust when it has potential
consequences. On the contrary, its weakness if human finances have adverse effects.
Therefore, a good understanding is needed in managing safe behavior in the
workplace [19]. Providing financial incentives and rewards to workers reduces the
workplace's accident rate [9, 16]. Therefore, the provision of financial incentives for
workers who behave in safety at work, for example, wearing personal protective
equipment, working according to procedures, not joking while working, etc.
2.3 Occupational Safety Behavior
Attitude is a reaction of someone who is still closed to an object or stimulus—the

attitude of someone who tends to do certain behaviors [20]. Behavior is a form of a
person's attitude. Dangerous behavior is synonymous with harmful behavior.
Human behavior that deviates from what it should be has the potential to reduce
work safety. This cause occurs in the workplace due to internal and external factors.
Internal factors exist in human behavior, while external factors are due outside of
the action, such as work, organizational environment, equipment design and social
environment [18]. Several studies show that 80–90% are caused by humans’
mistakes and violations [21]. In principle, risky behavior encourages the risk of
work accidents [19]. The human factor has an essential role in occupational safety.
The fundamental cause of work accidents is dangerous behavior in the form of
mistakes made by humans. The habit of humans behave unsafely causes them to
expose to a very high risk of work accidents.
This study used a quasi-experimental method, the research design was chosen
because the control of non-experimental variables was not so strict and the sample
determination was not randomized. This quasi-experiment used a 2 2 factorial
design, with five people per group observed [22] so that the total number of samples
as respondents was 20 people (standard error data must be normally distributed).
Sampling as respondents using purposive sampling. The respondents of this
research are workers. The treatment given in this quasi-experiment provides
financial incentives [8, 13, 15, 16] and safety patrols [7, 8]. Both treatments
function as independent variables, while the dependent variable is financial
incentives. symbol of existing condition = 1, safety patrol = 2, financial incen-
tive = 3 and safety patrol and financial incentive = 4. The variable that is measured
is the variable of work safety behavior. Collecting data in this study using a
questionnaire, the measurement scale used in the questionnaire is a Likert scale with
weights 1 = not always, 2 = sometimes, 3 = almost always and 4 = always. The
analysis used is two-way ANOVA. Standard error data must be normally dis-
tributed. The research location is in the terraced building construction project of
Mawar Saron Church. The questionnaire lattice is as in Table 1. The criteria for
assessing work safety behavior are as in Table 2. The hypothesis in this study are:
• Hypothesis 1
– Ho: There is no difference in work safety behavior in existing conditions
with the safety patrol.
– H1: There are differences in work safety behavior in existing conditions with
safety patrols.
• Hypothesis 2
– Ho: There is no difference in safety behavior in existing conditions with the
existence of financial incentives.
the existence of financial incentives.
• Hypothesis 3
– Ho: There is no difference in safety behavior in existing conditions with the
interaction of safety patrols and financial incentives.
Table 1 Work safety behavior indicators

Indicator References
Using of personal protective equipment [23–25]
Occupational safety communication [11, 25–27]
Using of tools according to the procedure [25, 28]
No kidding [25, 29]
Report unsafe situation [11, 27]
Don’t touch [25, 29, 30]
Walking according to the specified path [8, 30]
Concentration on work [20, 28, 30]
Obey safety signs [8, 29]
Don’t play with work equipment [25, 29, 30]
It doesn’t interfere with the operation of dangerous tools [25, 29, 30]
Table 2 Criteria of safety Size Criteria

financial assessment
1.00–1.75 Not always
1.76–2.50 Sometimes
2.51–3.25 Almost always
3.26–4.00 Always
the interaction safety patrols and financial incentives.
• Hypothesis 4
– Ho: There is no difference in safety behavior with safety patrols and financial
incentives.
– H1: There are differences in work safety behavior with safety patrols and
financial incentives.
• Hypothesis 5
– Ho: There is no difference in work safety behavior with safety patrol and the
interaction between safety patrol and financial incentives.
– H1: There are differences in work safety behavior with the safety patrol and
the interaction between safety patrol and financial incentives.
• Hypothesis 6
– Ho: There is no difference in safety behavior with financial incentives and
safety patrol-financial incentive interactions.
– H1: There are differences in safety behavior with financial incentives and
safety patrol-financial incentive interactions.
In Table 3, the average variable of work safety behavior in safety patrol treatment,
financial incentives and their interaction has an increasing trend. Compared to
the existing conditions in the patrol safety treatment, the average is relative and the
standard deviation is the same. The average of the four states is 3.103. In the
homogeneity test of work safety behavior variables using Leneve’s trial, the results
are as in Table 4, which explains that the safety behavior variables have similar
variations (sig. 0.520 > 0.05). The normality test in Table 5 illustrates that the
residual standards for safety behavior variables are normally distributed
(sig. 0.637 > 0.05).
Table 6 explains that the overall experimental treatment (safety patrol, financial
incentives and the interaction of both treatments) affects work safety behavior
Table 3 Descriptive of Treatment Mean Std. deviation N

safety behavior variable
1 2.8160 0.12582 5
2 2.9840 0.12542 5
3 3.2600 0.08775 5
4 3.3520 0.08643 5
Total 3.1030 0.24092 20
Table 4 Homogeneity test of F df1 df2 Sig.

safety behavior variable
0.784 3 16 0.520
Table 5 Test of normality Shapiro–Wilk

for safety behavior
Statistic df Sig.
Standardized residual for safety 0.964 20 0.637
behavior
(sig. 000 < 0.05) with the sum of squares of the model of 0.916 while the mean
square is 0.305. Work safety behavior variables can be explained by the three
experimental treatments of 0.799. The model courts describe the total effect of
experimental treatment, while the mean square represents the average effect of
experimental treatment.
In Table 7, the Tukey HSD and Bonferroni test results explain that hypothesis 1
is that there is no difference in work safety behavior in existing conditions and
safety patrol treatment (sig. 0.106 > 0.05) or (sig. 0.155 > 0.05). The absence of
evidence for hypothesis 1 illustrates that workers who are not self-disciplined in
work safety behavior and lack supervisor support in safety patrols will increase
work accidents. Therefore, worker participation in workplace safety behavior is
significant [17, 31].
Table 6 Test of between-subjects effects

Source Type III: sum of squares df Mean square F Sig
a
Corrected model 0.916 3 0.305 26.133 0.000
Intercept 192.572 1 192.572 16,483.816 0.000
Treatment 0.916 3 0.305 26.133 0.000
Error 0.187 16 0.012
Total 193.675 20
Corrected total 1.103 19
a
R Squared = 0.831 (Adjusted R Squared = 0.799)
Computed using alpha = 0.05
Table 7 Multiple comparisons

(I) (J) Mean difference Std. Sig.
Treatment Treatment (I − J) error
Tukey 1 2 −0.1680 0.06836 0.106
HSD 3 −0.4440* 0.06836 0.000
4 −0.5360* 0.06836 0.000
2 1 0.1680 0.06836 0.106
3 −0.2760* 0.06836 0.005
4 −0.3680* 0.06836 0.000
3 1 0.4440* 0.06836 0.000
2 0.2760* 0.06836 0.005
4 −0.0920 0.06836 0.549
4 1 0.5360* 0.06836 0.000
2 0.0368* 0.06836 0.000
3 0.0920 0.06836 0.549
Bonferroni 1 2 −0.1680 0.06836 0.155
3 −0.4440* 0.06836 0.000
4 −0.5360* 0.06836 0.000
2 1 0.1680 0.06836 0.155
3 −0.2760* 0.06836 0.006
4 −0.3680* 0.06836 0.000
3 1 0.4440* 0.06836 0.000
2 0.2760* 0.06836 0.006
4 −0.0920 0.06836 1.000
4 1 0.5360* 0.06836 0.000
2 0.3680* 0.06836 0.000
3 0.0920 0.06836 1.000
*
The mean difference is significant at the 0.05 level
Table 7 explains that hypothesis 2 and hypothesis 3 prove a substantial differ-

ence in safety behavior between existing conditions and conditions with treatment
(sign. 0.00 < 0.05). The means that the role of financial incentives and the inter-
action of the two experimental treatments play a role in working safety behavior for
workers [14–16]. Hypothesis 4 and hypothesis 5 prove a significant difference in
safety behavior in the conditions with the treatment of safety patrols and financial
incentives and the interaction conditions of the two treatments (0.00 < 0.05). The
means that the experimental treatment of providing financial incentives and the
interaction of the two treatments can improve work safety behavior [10, 13].
Table 7 Tukey HSD test results (sig. 0.549 > 0.05) and Bonferroni (sig.
1.00 > 0.05) explained that hypothesis 6 was proven that there was no difference in
safety behavior in the conditions of financial incentive treatment and the interaction
between the two treatments. The overall hypothesis explains that work safety
management policies in financial incentives and safety patrols need to be carried out
in construction projects to increase work safety behavior to decrease workplace

accidents. The reduction in the number of work accidents will improve safety
performance in construction projects [6].
5 Conclusions
Based on the results and discussion, it can be concluded that the provision of safety
patrol treatment is not effective in increasing safety behavior. Still, safety patrol–
financial incentives together affect increasing work safety behavior. On the other
hand, the provision of financial incentive treatment impacts improving work safety
behavior. The provision of financial incentives is more important than the provision
of work safety patrol treatment. Policy Provision of incentives and work safety
patrols need to be carried out simultaneously. Therefore, this policy requires project
management support in the implementation of construction projects. So that the
occurrence of work accidents can be minimized, with a minimum of work acci-
dents, work safety performance will also increase.
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Development of Activity-Based Safety
Plan for Precast Parapet Panel Work
in Elevated Construction
Pungky Dharma Saputra , Anasya Arsita Laksmi ,

Nina Purwanti , and Muhammad Hamzah Fansuri
Abstract One of the infrastructures being developed is the construction of railways

such as MRT Jakarta. The use of precast parapet panels is still relatively new in
Indonesia and it is used in MRT Jakarta. Because the installation requires lifting
work, there is a very dangerous risk that the precast parapet will fall. The purpose of
this research is to develop an activity-based safety plan in precast parapet panel
works. The first stage was identifying safety risks by asking for expert validation,
the second stage was surveying for safety risk assessment, and the last stage was
surveying for safety objectives and programs by distributing questionnaires. The
project sample was MRT Jakarta Contract Package (CP) 103 project. The results
will be developed based on the regulation. The potential hazard is parapet panel
falls with a risk rating is 15 and categorized as high-risk level. There are 5 risk
controls to reduce the risk are lifting calculation, rigging and wire sling check,
equipment check and audit, operator training and certification, and the last are
creating, socializing, and evaluating Standard Operating Procedure (SOP). The
safety plan is developed from the risk controls in the form of safety objectives and
safety programs.
Keywords Safety plan Activity Safety risks Precast parapet work
1 Introduction
The acceleration of infrastructure development in Indonesia shows very rapid

progress. This is following government policies to accelerate infrastructure devel-
opment [1]. One of the infrastructures being developed is the construction of
railways that are capable of carrying out rapid mass transfers, such as the Jakarta
Mass Rapid Transit (MRT) since 2013 until now [2]. The construction of the MRT
P. D. Saputra (&) A. A. Laksmi N. Purwanti M. H. Fansuri

Department of Civil Engineering, Faculty of Military Engineering, Republic of Indonesia
Defense University, Bogor, Indonesia
e-mail: ir.pungky@gmail.com
https://doi.org/10.1007/978-981-16-7949-0_41
460 P. D. Saputra et al.
Jakarta which has been under development consists of elevated construction and
underground construction [2]. The superstructure of the elevated construction that
has been developed uses a precast box girder as the main beam and precast parapet
panels as safety railings.
The use of precast parapet panels is still relatively new in Indonesia because only
a few projects have applied it, such as the MRT Jakarta Contract Package (CP) no.
101, 102, and 103. The use of parapet precast is considered to be one of the
advantages in terms of ease of installation, quick implementation,
cost-effectiveness, and better quality [3]. On the other hand, the use of parapet
precast also poses a safety risk due to the use of lifting and transportation equipment
and having to work at a height [4, 5]. The construction method was using a
truck-mounted crane to lift and install the precast parapet at a location that has been
determined according to the construction drawing. The illustration of the con-
struction method is in Figs. 1, 2, and 3.
A work accident due to the fall of the precast parapet panel has occurred at the
MRT Jakarta project in 2017. The chronology of the accident was when a 3 tons
Overhead Catenary System (OCS) parapet was lifted to be installed using a
truck-mounted crane on the bridge deck, but there was a hydraulic problem in the
crane boom, causing the Overhead Catenary System (OCS) parapet to fell from a
height and hit motorbikes and cars passing under it [6]. The losses caused by this
accident were one motorcycle unit was badly damaged, one car was slightly dam-
aged and one person was slightly injured [6] (see Figs. 4 and 5). Even though this
was the first time this work has been done and inexperienced, the accident cannot be
tolerated. From the incident, this accident can be used as a lesson to improve the
construction safety management system in projects that use precast parapet panels.
As we all know that construction causes many deaths because it is a dangerous
industry [8, 9]. Moreover, the project is a big, complicated and difficult project and
this is a factor that can cause many work accidents [10, 11]. The impact is also very
large for the project, namely poor performance starting from cost performance,
quality, time and other adverse impacts [12].
Fig. 1 Construction method

[7]
Development of Activity-Based Safety Plan for Precast … 461
Fig. 2 Construction method

[7]
Fig. 3 Parapet installation [7]
Fig. 4 Evacuation process [6]

Fig. 5 Evacuation process [6]
The solution to solve the problems that arise is to develop a better construction
safety plan [11, 13]. The safety plan is developed based on the activities in the work
breakdown structure [11, 13]. Then make the identification of hazards that affect
safety, risk assessment and determine risk control [11, 13]. Safety objectives and
programs are also developed to ensure the implementation of safety at construction
sites [11, 13].
There have been many previous studies regarding the development of con-
struction safety plans in various types of buildings ranging from irrigation [14],
dams [15], airports [16], seaports [17] and stadiums [18]. Research on the devel-
opment of an elevated and bridge construction safety plan has also been carried out
[5, 6, 11, 19], but the planning is still general and has not been detailed in the work
package level. This study tries to complement previous studies, which aim to
develop a safety plan for the construction of precast parapet panel work based on
activity. Because activities are a very important basis for the implementation of
construction, such as safety planning [20] and each activity has its respective
potential hazards [19], which are identified and assessed for risk [4, 5, 13].
Activities are identified from the work breakdown structure [21]. The work
breakdown structure used in this study is the work breakdown structure of the
precast parapet that has been developed previously [22].
This research has positive implications for the safety development of elevated or
bridge construction. This research also refers to the new construction safety regu-
lations so that it is more updated, applicable and can be used as a reference for
future similar projects. And it is very useful to decrease fatal accidents.
2 Methodology
This research was classified as quantitative survey research and designed in 3 stages
(Fig. 6). The first stage was identifying safety risks by asking for expert validation,
the second stage was surveying for safety risk assessment and the last stage was
surveying for safety objectives and programs. The project sample was MRT Jakarta
Contract Package (CP) 103 project. The variables were safety risks (X1), safety
risks level (X2), risks controls (X3), safety objectives (X4), safety programs (X5).
The closed questionnaire was distributed to the experts to get their opinions and to
the respondents to assess the risk rating. The profile of five experts was requested to
validate the safety risks show in Table 1.
The survey of risk assessment was conducted on the 50 construction and safety
engineers. The respondents were engineers should have requirements minimum ten
years working experience in elevated construction such as elevated road, bridge,
flyovers, etc., minimum bachelor degree in education, minimum qualified and
certified as a junior safety engineer, respondents should be actively involved in the
project or a stakeholder of the projects (owner, consultant, contractor, or
subcontractor).
Table 1 shows that the experts were from Japan, the Philippines, and Indonesia.
The experts were the Project Manager, Deputy Project Manager, Site Manager,
Chief of Engineer, and Engineering Manager. The working experience of the
experts starts from 17 to 30 years. And the education of the experts was master and
bachelor degree in engineering.
The analysis of safety risk assessment (R) was conducted by multiplying the
probability value (P) and impact value (I) following the Eq. 1.
Main Stages
Stage 1 Stage 2 Stage 3

Preparation Safety Risk Identification Safety Risk Assessment Safety Risk Assessment Finish
(Expert Validation) (Respondent Survey) (Expert Survey)
Fig. 6 Stages of the research
Table 1 Profile of experts

No. Expert Country of Position Working Education
origin experience
1 Expert 1 Japan Project Manager 30 Years Master Degree
2 Expert 2 Japan Deputy Project 25 Years Master Degree
Manager
3 Expert 3 Japan Site Manager 37 Years Bachelor Degree
4 Expert 4 Philippines Chief of Engineer 18 Years Master Degree
5 Expert 5 Indonesia Engineering 17 Years Bachelor Degree
Manager
Impact
Very Very
Low Med High
Low High
Probability 1 2 3 4 5
Almost Never 1 1 2 3 4 5
Unlikely 2 2 4 6 8 10
Might 3 3 6 9 12 15
Very Possible 4 4 8 12 16 20
Almost 5 5 10 15 20 25
Fig. 7 Matrix of the risk level [23]
R¼PI ð1Þ
The result of the calculation of the risk level or combination of the probability
value and impact value can be seen in the matrix of risk level in Fig. 7. According
to the regulation, the results of the calculation can be categorized qualitatively, the
green color show low-risk level category with risk rating 1–4, the yellow color
show the medium risk level with risk rating 5–12 and the red color shows the
high-risk level with risk rating 15–25 [23].
3 Results and Discussions
3.1 Characteristics of Respondents
The total sample of respondents was 50 engineers. The manager position was 11
samples (22%), the assistant manager/senior engineer position was 13 samples
(26%) and the engineer/staff position was 26 samples (52%). The engineer who had
10–15 years of experience were 38 samples (76%), 16–20 years of experience were
10 samples (20%) and more than 20 years were 2 samples (4%). The level of
education of the respondents were 3 samples for diploma degree (6%), 41 samples
for bachelor degree (82%), and 6 samples for master degree (12%). The involve-
ment of respondents in the projects was 3 samples of the project owner (6%), 3
samples of supervision consultants (6%), 32 samples of contractors (64%), and 12

samples of subcontractors (24%). The detail of the characteristics of respondents is
shown in Figs. 8, 9, 10, and 11.
Fig. 8 Characteristics of
respondents by position 22%
52%
26%
Manager
Assistant Manager / Senior Engineer
Engineer / Staff
respondents by working 4%
20%
experience
76%
10 - 15 Years 16 - 20 Years
> 20 Years
respondents by education 12% 6%
82%
Diploma Degree Bachelor Degree

Master Degree
respondents by project 24% 6%6%
involvement
64%
Owner Consultant
Contractor Sub Contractor
3.2 Identification of Hazards, Assessment of Risk,

and Assigning Risk Control
Identification of hazards is carried out based on activities in the previously devel-

oped work breakdown structure [22]. And it is very important [11]. The precast
parapet activities in the level 5 work breakdown structure are preparation, surveying
of the position, installation of adjustment material, shifting precast parapet panel to
deck slab, distributing precast parapet panel, installing precast parapet panel,
installing rebar for concrete stitch, installing formwork for concrete stitch, sealing
work, casting of concrete, dismantling of formwork and finishing work [22].
The experts have validated the hazards which had been identified. The result of
expert validation analysis shows that all experts agree to all identified safety risks
with a value of more than 80% agree. Then the data of survey results were analyzed
with descriptive statistics. The result of the homogeneity test to the position,
working experience, and education characteristics shows that the sig. >0.05,
meaning the data was homogenous and there is no difference in respondents’
perceptions of the questionnaire based on characteristics. The results of the nor-
mality test for the assessment of safety risk probability and safety risk impact show
that the sig. >0.05 meaning the data does not distribute normally. Hence the con-
clusion of safety risk probability and safety risk impact use the median value. Then
the median value is operated in the risk level formula above.
The case study is precast parapet installation activity because it is dangerous.
After all, it is lifting works [4, 5]. The potential hazard of installing the precast
parapet is parapet panel falls because it is similar to the girder erection which lifting
the heavy load [4, 5]. The value of safety risk probability is 3, according to the
regulation [23], meaning the probability might happen (see Fig. 7) and the value of
safety risk impact is 5, according to the regulation [23], meaning the impact is very
high (see Fig. 7). The risk rating is 15 and categorized as high-risk level according
to the regulation (see Table 2 and Fig. 7).
Table 2 Identification of hazards, assessment of risks, and assigning risk controls

WBS level Potential Probability Impact Risk Risk Risk controls
5 activities hazards rating level
Precast Parapet 3 5 15 High 1 Lifting calculation
parapet panel fall 2 Rigging and wire sling
installation down check
3 Equipment check and
audit
4 Operator training and
certification
5 Creating, socializing, and
evaluating standard
operating procedures
(SOP)
3.3 Safety Plan Development
The safety plan development consists of safety objectives and safety programs. In
developing a safety plan, risk control is the basis for its development [5, 11].
According to the most updated regulation in construction safety, the safety objec-
tives are broken down to the description and measurements and the safety program
is broken down to the activities, resources, schedule, monitoring, achievement
indicators, and person in charge [23]. The detailed safety plan developed according
to the regulation is shown in Tables 3 and 4.
Table 3 Safety objective for precast parapet installation (WBS level 5 activity) against parapet
panel falling down as the potential hazard
Risk controls Objectives
Description Measurements
Lifting calculation The parapet precast does not fall Protected workers
down
Rigging and wire sling The rigging is not untied and the Wire sling condition is good
check wire sling is not broken and rigging is right and
strong
Equipment check and The equipment is not damaged, Equipment is in good
audit the hydraulics do not leak, and condition and stable
can be used according to their
function properly
Operator training and Competent operator Operators can operate
certification equipment and carry out lift
and transport work
Creating, socializing, and Workers follow standard Documents, Induction,
evaluating standard operating procedures (SOP) and Directions, Meetings,
operating procedures work instruction (WI) Training, Banner,
(SOP) Information Boards
Table 4 Safety program for precast parapet installation (WBS level 5 activity) against parapet
panel falling down as the potential hazard
Program
Activities Resources Schedule Monitoring Achievement PIC
indicator
Supervision Bridge lifting Before Lifting report The Engineering
and checking expert work and Safety calculation is Manager
of activity report correct and
calculations date applicable
Inspection Rigging expert Along Periodic There is no Safety
and audit and safety officer with the checklist injury to officers,
work report and workers Supervisors,
activity safety report QC Engineer
date
Inspection Mechanics and Along Periodic There is no Mechanics,
and audit safety officer with the checklist injury to operators,
work report and workers and safety
activity safety report officer
date
Training and Operator and Along Operator There is no Operators
certification safety officer with the license and injury to and safety
work safety report workers officers
activity
date
Safety talk, Supervisor, Along Supervisory There is no Safety
safety engineer, safety with the report per injury to officers,
meeting, and officer, workers, work term of work/ workers Supervisors,
toolbox written activity Safety report QC Engineer
meeting publications date
4 Conclusion
Precast parapet panel activity in precast parapet work has a potential hazard, that is
parapet panel fall with the risk rating is 15 and categorized as high-risk level. There
are five risk controls to reduce the risk are lifting calculation, rigging and wire sling
check, equipment check and audit, operator training and certification, and lastly are
creating, socializing, and evaluating standard operating procedures (SOP). The
safety plan is developed from the risk controls in the form of safety objectives and
safety programs based on the regulation. This research can be a reference for
making safety plans in other various construction and it and needs to be investi-
gated more deeply. The positive implication of this research is to provide input to
the main stakeholders of the construction project in carrying out good safety
planning to prevent and reduce fatal incidents.
Acknowledgements The author would like to show gratitude to stakeholders of the project for
giving permission and supporting this research.
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Game Theory Approach for Risk
Allocation in Public Private Partnership
Adhika Nandi Wardhana, Farida Rachmawati, and Erwin Widodo
Abstract Public Private Partnership (PPP) is a cooperation between public and

private sectors in which all stakeholders develop mutual products and services. Risk
management is important in this collaboration, considering that there must be an
equal relationship between the two parties. Several studies have been carried out in
allocating the level of PPP risk in various projects such as toll roads, buildings and
other manufactures. One of the risk allocation tools used in those studies was game
theory. The game theory consists of players, strategy and pay-off. Where each
component of this method is different in each paper but still within the scope of risk
allocation. This study is aimed to discuss the use of game theory for risk allocation
and to describe the strategy and pay-off of previous studies. This study focuses on
the similar and specific aspects of each paper.
Keywords Construction management Game theory Risk allocation
1 Introduction
Public–private partnerships (PPPs) are long-term integrated contracts between

government and investors that are used for the provision of public infrastructure.
Infrastructure that has been built recently must have the nature or purpose of
sustainability, integration which includes environmental health, social justice and
economic vitality that will create a thriving, healthy, diverse and resilient society for
A. N. Wardhana (&) F. Rachmawati

Department of Civil Engineering, Institut Teknologi Sepuluh Nopember, Surabaya, Indonesia
e-mail: adhika.wardhana24@gmail.com
E. Widodo
Department of Industrial Engineering, Institut Teknologi Sepuluh Nopember, Surabaya,
Indonesia
https://doi.org/10.1007/978-981-16-7949-0_42
472 A. N. Wardhana et al.
this generation and future generations is the goal of sustainability [1, 2]. The
practice of sustainability recognizes how these issues are interconnected and require
a systems approach and an acknowledgment of complexity. Sustainable develop-
ment is one of the biggest global challenges today. It is not surprising that sus-
tainability is increasingly recognized in the field of public procurement, as can be
seen by various policies in various countries such as Europe, America, Asia, etc.
The need for risk locations in a sustainable PPP needs to be considered [3]. Project
in California has a problem in managing their water efficiency due to demographic
pressure, declining financial and technical support at the state and federal level,
climatic stress and outdated water management systems. They were implementing
PPP to mobilize resources, provide technical expertise and share project risks. But
many studies said the goal of the private sector is maximizing their profit that can
reduce their quality of service. So the role of the private sector in partnership to
supporting sustainability and resilience by examining the distribution of project
risks is needed.
PPP has a complex risk, where the activities didn’t focus on self because other
participants joined our activities that can impact our benefit, their benefit, or both
parties. Risk management is used to reduce the level of occurrence of the risk that
occurs and the impact that will be caused by activity in the project. Understanding
and explaining the risk perceptions of stakeholders is very important in carrying out
this collaboration. Systems theory regarding the analytical distinction between
‘internal risk’ and ‘external hazard’ is a key concept for understanding whether
stakeholders will take action or not [4]. While the perception of ‘external harm’ will
not lead to action, the perception of ‘internal risk’ encourages stakeholders to take
action. The challenge to provide one clear definition of the term risk is the concept
of risk management [5]. The similarities among all risk concepts are: the possible
and chosen actions might be different. All definitions of risk contain three elements:
the impact or outcomes from humans action, the likelihood of occurrence (uncer-
tainty) and the value of combination from both elements [6].
Game theory has a function as a method that allows for modeling such as
bargaining and negotiation among rational decision makers [7], which has been
applied to many critical problems, including negotiation, finance, imperfect mar-
kets, etc. [8]. Frequent conflicts between the government and private investors,
especially in situations that can harm related parties, game theory can explain the
mechanisms of competition and cooperation and provide solutions to these mech-
anisms [9]. This method is very suitable to be applied to PPP projects where there
are usually conflicts between the government and investors, especially in risk
allocation. This study will discuss several studies on game theory as a tool for PPP
risk allocation and the scope of risks that have been studied using this method.
Game Theory Approach for Risk Allocation … 473
2 Conceptual Background
2.1 Risk Allocation
Verifying resilience to the definition of risk over time is necessary because this
definition is changing and becoming increasingly complex with respect to a subject.
The concept of risk is very important for starting a consistent discussion about an
issue. In individuals or groups, it is necessary to have risk management in order to
avoid the loss or impact of each action for both individuals and groups [10].
Increasing success probability in complex, multidisciplinary and challenging
activities in managing projects and developing products is the goal of risk man-
agement activities. [11]. Thus, it is indispensable for any business environment
such as a PPP project because risks can affect both results and processes and this is
very important to ensure the achievement of strategic objectives. According to
Berto, procedures in risk management consist of risk identification, risk assessment
and risk treatment carried out sequentially during the risk management process,
accompanied by a risk review and continuous risk monitoring [12].
A study from China shows that risks arise from a variety of sources, including
capital budgets, construction time, construction costs, operating costs, politics and
policies, market conditions, the credibility of cooperation and the economic envi-
ronment [13]. Generally, each risk must be allocated to the party best able to manage
it and at the lowest cost [14]. But this does not mean that all risks have to be left to
the private sector but to minimize the total costs of managing the public and private
sectors. So that risk allocation, such as risk transfer to third parties or sharing
between the government and the private sector, is needed in the partnership scheme.
2.2 Game Theory Approach
Game Theory (GT) is a mathematical method model that describes the interaction
between two or more rational players. GT can be used in order to face a group of
players who act with self-interest so as to maximize their profits [15]. In other
words, this method is used to find the best or win–win solution for conflicting
interests [16, 17].
The decision making on risk allocation carried out in a partnership can be in the
form of financial risk, construction risk, environmental risk and social risk. Game
theory is a quantitative decision-making tool. Financial risks can be easily analyzed
using this method, as for the financial risks commonly faced in partnerships, such as
the renegotiation of excess income [18] or renegotiation of risks that cause financial
losses [19]. Allocation of risks for construction, environmental and social risks can
also be done by using the game theory method, namely by giving the magnitude of
the impact, the chance of risk, which results in risk value [16]. The objects of
decision making using this method also vary, such as in transportation [18–20],
irrigation/sewage [21, 22], buildings [23, 24], etc. are usually carried out in the
construction industry.
3.1 Result
This research is to analyze the game theory approach for risk allocation on PPP
from previous studies. Various sources from journals are analyzed in this study.
There are 7 publication journals published from 2016 to 2020 [16, 18, 20–24]. The
literature review has been analyzed from it that listed in Tables 1 and 2. Table 1
shows the mapping result from the analyzed paper based on the structure or formula
for the game theory model and Table 2 shows the mapping result from the use-
ability of risk allocation in many sectors of risk, case studies on many infrastruc-
tures and additional methods to achieve the goal of many research.
3.2 Discussion
Judging from previous research, a mapping diagram is formed. A mapping diagram

is a group of previous research based on data sources and types of research. All
Table 1 Theoretical mapping on many research (game theory variables)

Source Input
Participants Strategies Pay-off
[20] Government, MRG, project period Calculated NPV each implemented
investor strategies
[18] Government, Investor behaviour, Sum of investor revenue and
investor government behaviour government subsidies with the
standard of MRG
[21] Government, Government surplus Calculated surplus revenue between
investor ratio, investor surplus government and investor each turn
ratio
[16] Government, Public risk ratio, Calculated risk value between public
investor private risk ratio and private sector each turn
[23] Contractor, Contractor Actual cost or bidding estimation
contractor experience, strategies
competitors implemented
[22] Client, Risk allocation Contractor cost
contractor percentage
[24] Local Enhancing Project cost
government, cooperation or not
SPV
Table 2 Theoretical mapping on many research (usability)

Source PPP object Risk subject Extra Result
method
[20] Highway Project cost NPV, Optimal period time and
monte MRG for the project, but
carlo the result can’t be
implemented on a social
project
[18] Highway Material quality, – Relation between MRG
project cost with investor effort that
affects project quality
[21] Sewage Project cost – The surplus allocation is
disposal directly proportional to the
stakeholder power status in
the coalition and is
inversely proportional to
the negotiation rate losses
[16] Combined General risk Corrected The dominant position
cooling (economic, item total holder is determined by the
heating and finance, social, correlation degree of asymmetric
power environment, (CITC) information. In the
(CCHP) political, etc.) bargaining process, the
public sector usually has a
stronger position.
Therefore, more risk will
be transferred to the private
sector
[23] Building Project cost – Skepticism of an
inexperienced contractor
can create a fear of losing a
high investment. This
could leave them behind
the opportunity to
participate in the tender.
Mechanisms to increase
competition, such as
providing incentives, need
to be considered to
strengthen competition
[22] Pipeline Project cost System It is a continuation of the
dynamic previous SD-based model.
The result is a share of the
profit from lowering
contractor costs
[24] Bridge Project cost Numerical The benefit allocation and
island tunnel simulation punishment mechanisms
are positively associated
with increased cooperation
between government and
private investors
Table 3 Risk allocation Risk allocation Research article

mapping
Engineering design [16, 21–23]
Procurement [18, 20–24]
Construction [21]
Project management [16, 21, 23]
Physical [20, 21]
Financial [16, 18, 20–24]
Social [21]
Political [21]
research data are quantitative model analysis. The mapping diagram can be seen in
Table 3, which what risk allocation that the past research analyzed. Risk involve-
ment in project life cycle Table 3 [25] and types of risks involved in commercial
activities Table 3 [26]. Mulholland and Christian (1999) categorizing risk: engi-
neering design (site investigation, design criteria and engineering estimates), pro-
curement (material, manufacture process and vendor performance), construction
(resource planning, construction mistakes and weather effects), project management
(management experience, project procedure and resource control) [25].
4 Conclusion
The game theory approach for risk allocation in research is often used on financial
problems. This occurs due to several factors such as competition for prospective
contractors in tenders, renegotiation in cooperation, or efforts issued by stake-
holders in a project. The use of game theory in general risk allocation still only one
research conducted that discusses risk in general, whereas game theory is a
mathematical method of solving problems between conflicting parties. With this
paper, we hoped that there would be research on the use of the game theory
approach for risk allocation in general, not only focusing on financial risk, which
will help stakeholders in the project to establish a sustainable collaboration in the
future.
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Heron Quay
Analysis of Change Orders Based
on the Type of Road Construction
Mega Waty and Hendrik Sulistio
Abstract Change Order is a written and valid work order that changes the scope of
the original contract, with compensation agreed upon by the owner and contractor.
Changes can be in the form of adding or reducing the scope of work, material
changes, or schedule changes. The Change Order that occurred in Banten Province
stated the value of the percentage change order for various works on road projects
expressed in the type of road construction. The changes that occur are job changes
due to added work and changes due to less work. The purpose of this study is to
determine the type of road construction that occurs in 5 change order contracts for
road construction projects and the results are the largest changes in the type of
drainage work construction, both the changes themselves and changes to additional
work Changes due to work are less in the largest type of construction in Condition
Returns and Minor Works.
Keywords Change order Road construction project Banten
1 Introduction
Change Order is a common thing that often occurs in construction projects. Almost
all existing projects always have change orders, both government projects and
private projects. During the implementation of a construction project, these changes
can occur either from the contractor or the owner [1]. A Change Order is a written
and legal work order that changes the scope of the original contract, with com-
pensation that has been agreed upon by the owner and the contractor. Changes can
be in the form of adding or reducing the scope of work, changing materials, or
changing schedules [2].
M. Waty (&)
Civil Engineering Undergraduate Program, Universitas Tarumanagara, Jakarta, Indonesia
e-mail: mega@ft.untar.ac.id
H. Sulistio
Civil Engineering Doctoral Program, Universitas Tarumanagara, Jakarta, Indonesia
https://doi.org/10.1007/978-981-16-7949-0_43
480 M. Waty and H. Sulistio
Goudreau [3] reports that there are five keys that burden the project, namely:
payment, authority, change orders, schedule of work and contract documents.
The main cause of delays in 130 projects in Jordan was change orders [4]
Change Order causes costs to cause contract items to swell, planning errors and
negligence, as well as changes in scope which can be reduced by sharpening the
final results of planning [5].
Research by Sulistio and Waty [1] shows that the percentage of change orders
occurred at 28.26% of projects in East Kalimantan in excavation and embankment
works on road pavement projects. Research by Waty and Sulistio [6] states that the
Change Order effect from the calculation of Change Order for road projects in
Banten is: delaying the project completion date, cost overruns, generating claims
and disputes, affecting performance and work morale and most contractors incur
additional costs.
The average percentage of jobs that experience the biggest change orders in road
construction projects that occur in Banten is U-shaped channel work type DS 1
(19.64%) in Waty and Sulistio’s research [6]. Seeing the large percentage of change
orders in Banten Province, the authors want further researching the types of road
construction that occurred in Banten Province, which originated from the contract
change orders that occurred.
2 Methodology
The object of research regarding changes in the type of road construction occurred
as a result of change orders carried out in Banten Province. The road project is one
of the prioritized infrastructure projects in Banten Province. Of course, it is very
necessary to pay attention to the infrastructure that continues to be built as well as
Banten province as the closest province to DKI Jakarta, which has a fairly large
percentage of change orders in previous studies.
2.1 Data Collection
The research data were obtained from the Public Works Office of Banten Province.
In total, the researchers obtained five real project data consisting of 2018 which
were analyzed in hard copy and soft copy. The real data is in the form of a contract
addendum containing the change order contract. In five projects, there were quite a
lot of project changes. This study focuses on the change order contract addendum,
which contains project changes and the reasons for the changes and is presented in
each change order note, including the following relevant information:
• Changes in overall costs and times;
• Changes in the cost per specific work item;
Analysis of Change Orders Based on the Type of Road Construction 481
• Original contract value;

• Type of construction;
• Project description; and
• The reason for each change order.
2.2 Data Analysis Method
The data analysis method consists of 5 change order contract data in 2018 at the
Banten Province project in the form of project construction change data. The cal-
culation of the change order contract is in the form of additional work changes and
fewer work changes in the change order contract that you can see below:
1. Change Order Ratio (COR)
This index measures the total cost of the variants of the project where Change
orders occur.
COR = (the amount of added and less value for the project. Change order/
original contract price) 100%
2. Change Order Ratio in Addition (CORA)
This index measures the total cost of the variants of the project where change
orders occur.
CORA = (the amount of added and less value for the project. Change order/
original contract price) 100%
3. Change Order Ratio in Subtraction (CORS) [7]
This index measures the ratio of the total subtraction achieved in change order
projects were carried out.
CORS = (the amount of work value was less than the projects performed
change order/original contract price) 100%
Based on this data, we can find the type of road construction which consists of
11 construction works based on the 2018 Bina Marga specifications [8].
3.1 Acquisition of Data
After data collection, five real data were obtained from road projects in Banten
Province. Of the five projects obtained, all of which are budget projects from 2018.
Of the five projects, the results are as in Table 1.
Table 1 Project based on balance and addition of budget

No. Project Contract Contract add Year Information
1 Road 1 17,891,881,000 17,891,881,000 2018 Balance budget
2 Road 2 28,501,187,000 30,841,291,000 2018 Additional budget
3.2 Calculation of the Percentage Change Order

for the Banten Road Project
The percentage of Change Order is calculated based on COR, CORA and CORS.
Project COR calculation is the ratio of calculating changes in the form of additional
funds or reduction of funds or addition of work items or reduction of work items or
removal of work items or addition of new work items.
The change order contract can be used to see work that has changed orders
which are divided into types of road construction and for daily work items that do
not exist, what is used in this study are [8]:
1. Drainage Work
2. Earthworks
3. Road Shoulder Pavement Widening Work
4. Cement Concrete Works
5. Structural Work
6. Asphalt Work
7. Works Restoring and Minor Works
8. Maintenance of Routine Work which consists of
9. Routine Maintenance Work
10. SKH2.10A Road Performance Maintenance
11. SKH 2.10 B Bridge Performance Maintenance.
Road Project Work Change Analysis (COR). COR calculation [7]
Change Order Ratio (COR). This index measures the total cost of the variants of the
project where Change orders occur. COR = (the amount of added and less value for
the project. Change order/original contract price) 100%
1. Total COR of Each Road Project
Total project COR calculation is the total COR calculation on the project as a
whole, which is contained in 10 construction work items which when totaled, will
get the total COR value, as can be seen in Table 2.
Table 2 COR total of each Project total COR value Project name
project
25.13 1
23.12 2
93.44 3
8.66 4
20.91 5
Table 3 COR total of the Type of constructions COR

entire road project
Div. 2 Drainage work 42.50
Div. 3 Earth work 7.01
Div. 4 Road shoulder pavement widening work 3.83
Div. 5 Cement concrete work 7.37
Div. 6 Asphalt work 36.82
Div. 7 Structural work 33.0
Div. 8 Works restoring and minor works 34.42
Div. 10 Routine maintenance work 0
SKH2.10A Road performance maintenance 6.24
SKh1-10b Bridge performance maintenance 0.04
Total 171.27
2. Total COR of All Road Projects and COR Average Projects

The total COR of all projects resulted in the largest change order change value in 5
projects was 42.50% for asphalt work and the smallest change in 5 projects was
road shoulder widening work 3.83%, so that the total change in 5 projects was
171.27% which occurs because the condition of the project field changes which
causes changes in work on the project as in Table 3. Changes in the average change
order in all construction projects can be seen in Table 4. The smallest chance of
change order in the type of bridge performance maintenance construction was
0.045% and the bigger is Drainage Work was 38.90%.
Change Order Ratio in Addition (CORA) [7]. This index measures the ratio of
the total work added to projects that are experiencing change orders. CORA = (the
amount of the added value of the project that underwent a change of order/original
contract price) 100%
1. Change Order Ratio in Addition (CORA) Total of each Project
CORA total project is a change of work plus the overall change order in one project
package, which can be seen in Table 5 on each road project. CORA Total for each
project resulted in the largest value of change in Road Project 3 at 51.49% and the
smallest on Project 4 at 5.562% that you can see in Table 5. CORA Total Project of
51.49% occurred due to changes in project field conditions which led to changes in
work on the project. The conditions in the project field have changed because
Table 4 Project average COR

Type of construction Average COR
Div. 10 Routine maintenance work
SKh-2.10a Road performance maintenance 6.24
usually project planning was carried out in the previous year and changed regu-
lations which resulted in changes in work. It occurs because the state of the project
field changes, which causes changes to work on the project. Changes of 51.49% are
not allowed according to Peraturan Presiden No. 54 of 2010 Article 87 [9], only
10% chance of work is permitted.
2. CORA Total of All Road Projects and CORA of Project Average
Changes in work added to change orders for five projects in Table 5 consist of the
smallest amount of 0.05% to Cement Concrete work and the largest percentage in
Structural Work is 24.74%, so that the total change in added work of 102.97%
occurs due to field conditions. Project changes that cause changes to the work on
the project. The average CORA of the project also experienced the same thing,
namely the type of construction of drainage works experienced the largest change
order of 37.72 0% and the smallest change of change order was in the type of bridge
performance maintenance construction of 0.045% that can be seen on Table 6.
Change Order Ratio in Subtraction (CORS) [7]. This index measures the ratio of
the total subtraction achieved in Change order projects were carried out.
CORS = (the amount of work value was less than the projects performed Change
order/original contract price) 100% CORS Total of each Project.
CORS Total Project is a change of work less a project in each project.
The CORS Total Project resulted in the largest value of change in Project number 3,
Table 5 CORA Total of Total CORA (%) Project name

each project
12.800 1
23.848 2
51.49 3
5.562 4
9.275 5
Table 6 CORA total of all Type of construction Amount

road project (%)
Div. 4 Road shoulder pavement widening 2.63
work
SKh1-10b Bridge performance maintenance 0
Total 102.97
Table 7 CORS total for each Total CORS Project name

project
12.28 1
2.35 2
42.31 3
0 4
9.92 5
amounting to 42.31% and the smallest in Project number 4 by 0%. The total project
CORS of 42.31% occurred due to changes in project field conditions which led to
changes in work on the project that can be seen in Table 7.
CORS Total of all Road Projects and Average CORS of Projects. The calcu-
lation of work lacking change orders in 5 projects (all projects) at the smallest is 0%
for bridge performance maintenance work and the largest fewer work changes in
the condition restoration work and minor work as the highest less work change,
namely 23.39% that can be seen on Table 8 and total change is 66.87% that can be
seen on Table 8.
The average change in a change order for all construction projects was obtained
with the largest result in drainage work of 15.515% and the smallest change in a
change order for the bridge maintenance construction type of 0.045% that can be
seen on Table 9.
Table 8 CORS total of all road projects

Type of construction Amount (%)
SKh1-10b Bridge performance maintenance 0
Total 66.87
Table 9 Average CORS project

Type of construction Average CORS (%)
4 Conclusion
Analysis of change order for road construction projects in Banten based on the type
of road construction derived from the calculation and analysis of change order
contracts, both the average and the total obtained are:
1. Biggest work Change on Drainage work
2. Work changes added to the largest change order for Drainage jobs
3. Work changes are less the biggest change order on work Restore Conditions and
Minor Work.
5 Suggestion
Pay more attention to the type of construction work, Drainage and Restoration of
Conditions and Works so that in the following year change orders can be reduced.
Acknowledgements We would like to thank the Institute for Research and Community Service
of Tarumanagara University which has helped fund this research.
References
1. Sulistio H, Waty M (2008) Analysis and evaluation change order in flexible pavement (case
study: road projects in East Kalimantan). Media Komunikasi Teknik Sipil 16(1):31–47
2. Lim M (2013) Analisa change order pada Proyek Perkerasan Jalan. Thabi’ Press, Bandung
3. Goudreau H (2021) The five key elements of every construction contract—forget them and
you're in trouble!. http://www.hgassociates.com/article_contracts.html. Accessed 29 Aug 2021
4. Al-Momani AH (2000) Construction delay: a quantitative analysis. Int J Project Manage 18
(1):51–59
5. Taylor TR, Uddin M, Goodrum PM, McCoy A, Shan Y (2012) Change orders and lessons
learned: knowledge from statistical analyses of engineering change orders on Kentucky
highway projects. J Constr Eng Manag 138(12):1360–1369
6. Waty M, Sulistio H (2020) Perhitungan change order proyek jalan di banten. Jurnal Muara
Sains, Teknologi, Kedokteran dan Ilmu Kesehatan 4(2):211–220
7. Hsieh TY, Lu ST, Wu CH (2004) Statistical analysis of causes for change orders in
metropolitan public works. Int J Project Manage 22(8):679–686
8. Direktorat Jendral Bina Marga (2018) Spesifikasi Umum 2018. Direktorat Jendral Bina Marga,
Departemen Pekerjaan Umum, Jakarta
9. Republik Indonesia R (2010) Peraturan Presiden Republik Indonesia Nomor 54 Tahun 2010
Tentang Pengadaan Barang/Jasa Pemerintah. Sekretariat Kabinet RI, Jakarta
Implementation of Occupational Safety
and Health Management Systems
During COVID-19 Pandemic
on High-Rise Building Construction
Projects
Alexsander Martin and Mega Waty
Abstract Indonesia is one from many countries that is struck by the COVID-19
virus pandemic. Indonesia still needs to recover from economy crisis caused by the
pandemic. Indonesia’s evolvement can be seen from their development in their
infrastructure during the COVID-19 pandemic. The Occupational Safety and Health
(OHS) Management System is a crucial part of the contractor organization’s
management system that is used to implement and develop OHS policies in all of
the existing development project. In this research study, it will discuss about the
application of OHS management systems in high-rise building projects during the
COVID-19 pandemic. The result from the analysis and calculation in this research
are compared with the Minister of Public Works Regulation No. 9/2008 regarding
the Management System and Work Safety and the Instruction of the Minister of
PUPR No. 2/IN/M/2020 concerning about the Protocol to Prevent the Spread of
Corona Virus Disease 2019 (COVID-19) in the implementation of construction
services. In its implementation, the OHS Management System is divided into 3
important parts, namely the Implementation and Operation of OHS Activities, OHS
Evaluation/Inspection and OHS Management Review. The implementation of OHS
Management System during the COVID-19 pandemic in high-rise building was
obtained 77.09% (Good Enough).

Keywords COVID-19 Occupational safety and health management system
High-rise building projects
A. Martin (&) M. Waty

Civil Engineering Undergraduate Program, Universitas Tarumanagara, Jakarta, Indonesia
e-mail: alexsander.325170001@stu.untar.ac.id
https://doi.org/10.1007/978-981-16-7949-0_44
490 A. Martin and M. Waty
1 Introduction
The ongoing global pandemic, which is caused by the Corona Virus Disease 2019
(COVID-19) that has been going on for the past year, is causing significant shocks
to Indonesia’s economic system. The construction services industry, which is one of
the economy’s main drivers, is also affected by the pandemic. The Occupational
Health and Safety Management System is an important part of the contractor
organization’s management system that is used to implement and develop occu-
pational safety and health policy on every existing construction project [1].
To ensure the quality of construction workers in the middle of the pandemic, the
Director General of Construction Development issued circular letter No. 107/SE/
Dk/2020 outlining guidelines for the development of competence for construction
workers in the New Normal Period [2].
In the middle of a pandemic, competency development must continue while also
following health procedures and minimizing the risk of COVID-19 spread.
COVID-19 is an extremely contagious virus that can be spread through direct or
indirect physical contact [3].
2 Literature Review
2.1 Occupational Health and Safety Management System
The occupational safety and health management system is part of the organization’s
management system that is used to develop and implement (Occupational Health
and Safety) OHS policies and manage risks [4].
According to Government Regulation No. 50 of 2012 the objectives of the
occupational safety and health management system are:
1. Improving the effectiveness of occupational safety and health protection that is
planned, measurable, structured and integrated.
2. Prevent and reduce workplace accidents and occupational diseases by involving
elements of management, workers/laborers and/or trade/labor unions.
3. Creating a safe, comfortable and efficient workplace to boost productivity.
2.2 Implementation of the Construction Occupational

Safety and Health Management System During
the COVID-19 Pandemic
Many jobs were disrupted by the COVID-19 pandemic, including those in the
construction services sector. Various adjustments to the implementation of existing
Implementation of Occupational Safety and Health Management … 491
work activities are required during this pandemic. Adjustments to the Occupational
Health and Safety Management System in the field are required in the construction
services sector so that work activities can continue.
The COVID-19 Prevention Protocol on Construction Projects in the field issued
by [5] is as follows:
1. The Task Force distributed or installed flyers, both digital and physical, on the
appeals/recommendations for preventing COVID-19, such as handwashing and
wearing masks, in strategic areas throughout the project field.
2. The Task Force, together with the Medical Officers, must provide explanations,
recommendations, campaigns and promotions of COVID-19 prevention tech-
niques in every morning safety education activity (safety morning talk).
3. The Task Force forbids anyone (managers, engineers, architects, employees/
staff, foremen, workers and project guests) from coming to the project site if
they are unwell with a temperature above 38 °C.
4. Medical officers carry out body temperature measurements to all workers and
employees together with the Project Security Staff and Security Officers every
morning, afternoon and evening.
If it is found that managers, engineers, architects, employees/staff, foremen and
workers in the project field are exposed to the COVID-19 virus, the Medical
Officers assisted by the project Security Officers will evacuate and spray disinfec-
tants on the premises, facilities, handles and work equipment.
2.3 Government Way to Overcome COVID-19 Pandemic

in the Construction Services Sector
The Indonesian Contractors Association (ICA) revealed that the construction sector
in Indonesia experienced a slowdown during the COVID-19 pandemic and needed
fast handling [6].
The government’s initial step in overcoming this pandemic problem is by issuing
Ministerial Instruction No. 02/IN/M/2020 regarding the Protocol to Prevent the
Spread of COVID-19 on March 27, 2020, the contents of which are as follows:
1. Establishment of a COVID-19 prevention task force.
2. Identification of potential COVID-19 hazards in the field.
3. Provision of Health Facilities in the field.
4. Implementation of COVID-19 Prevention in the field.
3 Research Methods
3.1 Research Sites
The location used to carry out this research covers the Greater Jakarta area. This
location was chosen due to the high level of development in the area around the
capital.
3.2 Research Procedure
In general, the procedures carried out in this study are as follows:

1. The first stage in this research is to determine the research covers for the projects
that will be used.
2. The data obtained will next be put to the test using a validity and reliability test.
3. The validity and reliability tests in this study use the SPSS program.
4. If the data is valid and reliable, then research can continue to the calculation
stage using the quantitative method.
5. After the data is calculated, then the results of the calculation will be displayed
in the form of a pie chart.
6. Then do the analysis of the results of the pie chart.
7. The final stage of this research is to come to a conclusion about the calculations’
results. Following that, conclusions will be drawn that will be valuable to
engineers.
3.3 Research Variable
The following are the variables used in the study, which can be seen in Table 1.
The collected data from respondents will be put into the SPSS program. The data
will be tested for validity and reliability in this program and if the data passes those
two criteria, it will be processed using quantitative methods.
Table 1 Research variable

Variable Factors for occupational safety and health management system Source
X1 Have all dangerous parts of the equipment been marked [7]
X2 Has the construction company leader taken primary responsibility for [7]
OHS and OHS management systems
X3 Does the company provide training and education for every employee [7]
to act safely in completing work
X4 Have the required documents and OHS guidelines been provided? [7]
X5 Does the company make provisions to effectively communicate [8]
occupational safety and health information
X6 Does the company make rules to get expert opinion and advice [8]
X7 Does the company provide a hand purifier (water, soap and hand [9]
sanitizer) and mask in the field
X8 Does the company provide education about COVID-19 in the field? [9]
X9 Does the company carry out routine temperature checks every morning, [9]
afternoon and evening in the field
X10 Does the company carry out regular spraying of disinfectants [9]
throughout the premises, facilities and work equipment
X11 Is there any use of tools or clothes that are still shared [9]
X12 Are the equipment and testing methods used adequately [7]
X13 Are records of inspections, testing and monitoring well maintained [7]
X14 OHS Management System audits are conducted periodically to [8]
determine the effectiveness of the implementation of the OHS
Management System
X15 Audit results are used by management in the management review [8]
process
X16 Does the management conduct periodic reviews of the occupational [7]
safety and health management system
X17 Has there been a review of the evaluation of the implementation of the [7]
OHS policy
X18 Is there a review of the OHS goals, objectives and performance [7]
X19 Is a review of the findings of the occupational safety and health [7]
management system audit conducted?
X20 Is there a review of the evaluation of the effectiveness of the [7]
implementation of the occupational safety and health management
system
Table 2 Validity test results Variable r value

X1 Pearson correlation 0.476
4.1 Validity Test
In this validity test, only 20 from 33 questions can be called valid. The data can be
valid is when the r results from the test have passed the r table (0.344). The data
from validity test results can be seen in Table 2.
4.2 Reliability Test
Data that passed the validity test will be tested for reliability test. The data can be
reliable is when the Cronbach Alpha result from the test has passed 0.6. This means
that the questionnaire data from the results of this study are reliable. The results of
the reliability of this study are good because they are in the range of 0.8–1. The data
from reliability test results can be seen in Table 3.
Table 3 Reliability test result Cronbach’s Alpha N of items

0.904 20
4.3 Percentage Result of the Occupational Health

and Safety Management System Implementation
Analysis result of the implementation of the occupational safety and health man-
agement system during the COVID-19 pandemic on high-rise building projects can
be seen in Table 4.
According to the occupational safety and health management system during the
COVID-19 pandemic, all activities for high-rise building projects reached a value
of 77.1%, indicating that the implementation has been handled effectively. This can
be seen from the regulations:
• Good, if the assessment results reach >85%
• Pretty good, if the assessment results reached 60–85%
• Not good, if the assessment results reach <60%.
Table 4 Questionnaire No. Yes (%) No (%) Total (%)

percentage results
The implementation and operation of OHS activities
X1 69.7 30.3 100
X2 87.9 12.1 100
X3 78.8 21.2 100
X4 78.8 21.2 100
X5 87.9 12.1 100
X6 57.6 42.4 100
X7 90.9 9.1 100
X8 90.9 9.1 100
X9 72.7 26.3 100
X10 45.5 54.5 100
X11 48.5 51.5 100
OHS evaluation/inspection
X12 84.8 15.2 100
X13 90.9 9.1 100
X14 81.8 18.2 100
X15 84.8 15.2 100
OHS management review
X16 72.7 26.3 100
X17 78.8 21.2 100
X18 69.7 30.3 100
X19 69.7 30.3 100
X20 69.7 30.3 100
Average (%) 77.1 22.9 100
Table 5 Classification table based on research section

Research section Percentage (%) Classification
Implementation and operation of OHS activities 73.5 Pretty good
OHS evaluation/inspection 85.6 Good
OHS management overview 72.1 Pretty good
5 Conclusion
Based on the results of research that has been carried out on the Implementation of
Occupational Health and Safety Management Systems During the COVID-19
Pandemic in high-rise construction projects, there are three parts of research in
determining the success of implementing Occupational Health and Safety
Management Systems, which can be seen in Table 5.
Several findings from the research conducted on the three sections above reveal
that the implementation of the OHS management system in high-rise building
construction projects during the COVID-19 pandemic has been carried out rela-
tively well, with an average percentage of 77.1%. However, being relatively well or
good is not enough to make the construction environment safer. In order to create a
safer environment, safety protocols such as using a mask are required.
References
1. Purwanto A (2021) Ekonomi Indonesia pada masa pandemic COVID-19: Potret dan strategi
pemulihan 2020–2021. https://kompaspedia.kompas.id/baca/paparan-topik/ekonomi-
indonesia-pada-masa-pandemi-covid-19-potret-dan-strategi-pemulihan-2020-2021. Accessed
13 Feb 2021
2. Tresnawati D (2020) Upaya pemenuhan target sertifikasi tenaga kerja konstruksi dalam periode
tatanan kehidupan baru. Buletin Konstruksi 4:7–9
3. Jati A (2020) 2 Cara Penularan Virus Corona COVID-19, Langsung dan Tidak Langsung.
https://www.liputan6.com/bola/read/4215173/2-cara-penularan-virus-corona-covid-19-
langsung-dan-tidak-langsung. Accessed 13 Feb 2021
4. British Standards Institute (2007) BS OHSAS 18001:2007: occupational health and safety
managements systems-requirements. British Standards Institute, London
5. Kementerian Pekerjaan Umum (2020) Protokol pencegahan COVID-19 di Proyek Konstruksi.
https://covid19.go.id/p/protokol/kemen-pupr-protokol-pencegahan-covid-19-di-proyek-
konstruksi. Accessed 20 Feb 2021
6. Fitriani R (2020) Mengintip panduan pengendalian COVID-19 sektor konstruksi oleh OSHA.
Buletin Konstruksi 4:4–6
7. Bramantya D (2016) Penerapan sistem manajemen keselamatan kerja di lingkungan proyek
pembangunan MIDTOWN hotel Samarinda. Kurva S Jurnal Mahasiswa 1(1):51–66
8. International Labour Organization (2021) Occupational safety and health management in the
construction sector. International Labour Organization, Geneva
9. Kementerian Pekerjaan Umum (2020) Instruksi Menteri No.2/IN/M/2020. Kementerian
Pekerjaan Umum, Jakarta
Developing Knowledge Management
Strategy to Improve Project
Communication in Construction of Coal
Mining Infrastructure: A Conceptual
Study
Alfandias Seysna Putra, Leni Sagita Riantini, and Mohammad Ichsan
Abstract Construction delays are a critical phenomenon and occur in many con-
struction industries, including construction projects in mining companies. The most
significant factor is poor communication between stakeholders, with an average
severity of 60.89% affecting the success of the project. The phenomenon that occurs
in mining companies, this study conducted in a mining contractor company, that the
organization responsible for infrastructure management only has one supervisor
with basic construction knowledge, so there is a gap of knowledge and competency
between organization members that causes weak supervision and causes delay
project. Previous studies suggest that knowledge management can affect project
performance and improve communication with knowledge alignment within
organizations. This study proposes an integrated conceptual research model to
identify how knowledge management activities can be managed effectively to
increase the level of project knowledge in the owner’s organization to improve
project communication, as well as examine the correlation between project com-
munication and project time performance with the mediation of knowledge man-
agement in coal mining construction projects.

Keywords Project management Project communication Project time perfor-

mance Infrastructure project Mining
A. S. Putra (&) L. S. Riantini

Civil Engineering Department, Faculty of Engineering, University of Indonesia, Depok,
Indonesia
e-mail: alfandias.seysna@ui.ac.id
M. Ichsan
Management Program, Binus Business School Undergraduate Program, Binus University,
Jakarta, Indonesia
https://doi.org/10.1007/978-981-16-7949-0_45
498 A. S. Putra et al.
1 Introduction
The coal mining industry is one of the strategic industries in Indonesia where the
company’s operations are greatly influenced by the dynamic reference price of coal.
Based on data from the Ministry of Energy and Mineral Resources, during 2013–
2020, the coal reference price decreased in 2014–Mid 2016 to $50/ton, then the
price recovery in 2017–2019 and a decline again in 2020 [1]. The dynamics of coal
prices greatly influence the company’s decision to invest in human resources and
infrastructure to support mining operations. PT X is a coal mining contractor
company in Indonesia that was founded in 2003 which also experienced a critical
condition due to the decline in coal prices in 2016. Infrastructure projects to support
mining operations consist of workshops, warehouses, offices, employee mess and
facilities, pedestrian bridges, weighbridges, places of worship, lightning distribution
towers, and supporting buildings in the mine. The dynamic development of
infrastructure investment, which increases and decreases in investment every year,
makes all project supervisors need to be more intense in monitoring in terms of
time, quality, and work safety. Because the fulfillment of this infrastructure greatly
affects mining operations.
Time delay in construction projects is a critical phenomenon and occurs in many
construction industries around the world [2], 70% of construction projects have
experienced delays in terms of time with an average time delay ranging from 10 to
30% of the duration of the contract [3]. This is following the phenomenon of delays
that occurred in the infrastructure project of PT X which experiences delays every
year and tends to increase as displayed on Fig. 1. The largest percentage of project
delays in the time of 1–15 days (45%) and 16–30 days (24%), exceeds the maxi-
mum limit of the Key Performance Indicator (KPI) of the infrastructure team, which
is 14 days of delay as presented on Fig. 2. This has an impact on the delay in the
operational process of the related user because after the infrastructure facility is
completed, the user still needs to procure other operational facilities such as the
procurement of tables, chairs, stationery, and others needed for daily operations. So
that if the infrastructure development process is late, it will have a domino impact
on company operations.
Project communication has a significant portion in influencing project delays.
Sanni-Anibire et al. [4]; El-Razek et al. [5]; and Akram Akhund et al. [6] stated that
poor site organization and coordination with various parties/stakeholders were the
Fig. 1 PT X infrastructure 15
14 14
project data 2016–2019 11
10 8 8
Project
7
6 6
Delay
5
Ontime
0
2016 2017 2018 2019
Years
Developing Knowledge Management Strategy to Improve … 499
Fig. 2 Percentage of PT X
7%
project delayed 2016–2019 1-15 days
17%
16-30 days
45%
31-45 days
7%
46-60 days
>60 days
24%
dominant factors in project delays. Communication and planning factors are very
important to the timeliness of project completion. Poor communication has a quite
significant impact. According to Gamil et al. [7], Gamil and Rahman [8], poor
communication, lack of, and substandard is one of the main factors for project
delays with average severity. 60.89% and harmed the success of the project.
When viewed from the cause, poor communication was caused by the lack of
knowledge of stakeholders about the project, the staff was inexperienced, the choice
of language that leads to miscommunication and stakeholder identification problem
[9]. Another study that examines the causes of the poor communication of the
project, said that the lack of effective communication between the parties, effective
communication systems, and media are bad, and the low-level communication
skills become the dominant cause of the poor communication on the construction
project [8].
The phenomenon that occurs in PT X that the communication between the
supervisors of PT X and the executing contractor encountered a problem when the
main supervisor (Civil Construction Group Leader) was on field leave. On a rooster
basis at a mining company, employees have the right to leave the field for two
weeks after working at the job site for eight weeks. So that in the duration of the
main supervisor’s field leave, the project supervisory responsibilities are replaced
by other functions in one department such as Human Capital Officer, General
Service Officer, Payroll Officer and Comdev Officer. This created a communication
problem between the project and the contractor because the replacement supervisor
did not have the competence and basic knowledge of project construction and
supervision.
This competency and knowledge gap resulted in the ineffective project super-
vision process because the replacement supervisor did not know about construction
and project supervision. This phenomenon can be avoided if there is a knowledge
management strategy that is in line with the fulfillment of minimum knowledge and
competencies for all functions in the infrastructure project supervisory team. Dalkir
[9] states that Knowledge Management is a management strategy with an integrated
collaborative approach to create, acquire, organize, access, and use company
intellectual assets. Construction projects are knowledge-intensive activities where a
lot of knowledge is involved and can produce new knowledge [10].
Therefore, optimization of communication with uniform knowledge about the
project in the project supervisory organization with a knowledge management
system is needed to improve the quality of communication between project

supervisors and contractors and improve delays in mining infrastructure projects.
1.1 Research Objective
The objective of this study is to define a framework for a knowledge management

system strategy that describes the variants of project communication factors that
affect project time performance. This study also proposes a baseline for analyzing
communication factors and their correlation in future empirical research.
2 Literature Review
2.1 Management of Infrastructure Project in Mining

Company
Construction projects in mining are divided into two criteria based on the project
value, namely projects above Rp. One hundred million with the procurement
process at the Head Office and projects under 100 million with the procurement
process at Jobsite. Most of the new infrastructure development projects are projects
over 100 million, with the procurement process being carried out at the Head Office
after the winner of the job supervision process is determined by the Jobsite team.
Infrastructure project management consists of five stages, starting from project
initiation, namely user requests related to infrastructure building needs, the project
planning process, namely design, real cost estimate, and budget approval, the
execution process, namely job package tenders, making work contracts, and
Pre-Job Activity and Kick. Off Meeting, the monitoring and control process carried
out at the project site by the project supervisory team at Jobsite, to the closing
process, namely handover from the contractor to the project supervisory team,
evaluation of contractor performance, and handover of buildings to building users.
The organizational structure used in infrastructure projects in PT X is a func-
tional organization model in which the field supervisors are responsible for mon-
itoring and reporting related to the respective functional work at Head Office. So,
within its organizational structure no owner Project Manager of the organization for
each project, all project managers are centralized at Head Office. And the supervisor
at the job site organization consisting of several functional which later merged into
one department, where the department is responsible for the implementation and
supervision of construction projects.
Therefore, there are several challenges faced, including starting from the initi-
ation process, namely the request from the user regarding the need for infrastructure
buildings to the General Service and Infrastructure Department at the Head Office
or HCGS Department at Jobsite, then requests are processed in the form of designs
and real cost estimate for review and then evaluate the availability of the budget, if
the budget is available and the application has been approved, it will enter the
pre-qualification and tender preparation process. Then the bidding process is con-
ducted by the provision, if the value is above 100 million, the project tender process
is carried out at the Head Office, whereas if the value of the project is under 100
million, the bidding process is conducted in Jobsite. After determining the winning
bidder, then be made to the employment contract the contractor, and the Pre-Job
Activity and Kick-Off Meeting.
2.2 Project Time Performance
By definition, a project is a temporary endeavor undertaken to create a product,

service, or unique outcome [11]. The temporary nature of projects indicates that the
project has a time limit for the duration of the work that will be completed when
one or more of the project objectives are achieved. The project is also in the process
of achieving the result is limited by the three major aspects of cost, schedule, and
quality that must be met. One common cause of loss of productivity in construction
activity is the low level of performance due to the time delay. Delays in the
construction project have a lot of negative impact on overall project success both on
the client/owner and the contractor, ranging from disputes, cost overruns and time,
loss of productivity and income, up to termination of the contract [12–14].
Delays can be defined as a situation where the time of project completion was
delayed for reasons that may be related to the owner of the work, consultants, and
contractors [15]. According to Lo et al. [16] and Trauner et al. [17] that “delay is a
situation when an event occurs at a slower than expected or not as planned, take
place outside the agreed date in the contract”. “Time delays on projects frequently
occur in all phases of a construction project and consequently increase the total
project duration” [18]. This is a serious thing to be noticed in the time control on
construction work for each day of delay accounts for a significant revenue loss and
is unrecoverable [19].
Several previous studies have also examined the causes of delays in construction
projects and their impact on construction performance. Globally, the three biggest
causes of project delays are financial, communication, and delivery aspects [4, 7].
Research conducted by Sanni-Anibire et al. [4] confirms that the most significant
group that causes delays is related to financing. This occurs due to delays in project
owner approval of the work that has been done. Ideally, approval can be made if the
project owner has carried out a complete inspection and carried out tests to compare
with the required specifications, but this is often constrained by poor coordination
between the contractor and the project owner, inadequate supervision, inspection,
and testing procedures by the project owner, low/traditional communication sys-
tems and media, lack of knowledge of project owners about project management,
and inexperienced owner staff [4, 6, 8, 19, 20].
2.3 Project Communication
Communication is an important aspect of the implementation of construction

projects. In construction projects, information is scattered highly specialized and
varied given the number of actors involved in all of the construction processes.
Communication is the exchange of information between people. This interaction is
determined by the rules and norms of social behavior because people are going to
translate the meaning and use such information [21, 22].
Previous studies were dealing with project communication management from the
perspective of the contractor’s project manager, while the perspective of the client/
owner as stakeholders are rarely discussed. The perspective of stakeholders requires
project management to be more responsive to the external environment forces them
to engage in the analysis of the situation and expand their understanding of the
project and other stakeholders from external parties [23, 24].
Communication needs in each phase vary, the conceptual phase focusing on the
content and recent project, setting rules and objectives of the project [25], the phase
of the implementation focused on the explanation of the purpose and objectives of
the project and the motivation of the team [26], while the phase of the post-project
focus on ensuring the exchange of information related to the activities and results of
project documentation between the parties [27]. According to Larson and Gray
[28], some core questions need to be answered in Risk Management to create a
communication channel communication that is required by the team, among others,
(1) what information should be collected and communicated? (2) When this
information should be collected and communicated? (3) Who are the recipients of
the information? (4) The method for collecting, storing, and communicating
information? (5) Restriction of access to information?.
Critical Success Factor of the Project Communication From a project man-

agement perspective, critical success factors are characteristics, conditions, or
variables that can have a significant impact on project success if properly main-
tained, maintained, or managed [29]. Delays caused by bad communication can be a
slow flow of information, communication channels are not appropriate, the wrong
design, wrong interpretation, rework, and more [12, 30–32].
Gamil and Rahman [8] state that the lack of effective communication between
the construction occurs 17 times in the different literature after the system and
communication platforms that are less effective have taken place ten times, and
poor communication skills occurred nine times. Meanwhile, according to Hussain
et al. [20], the linguistic barrier, the lack of feedback, poor communication man-
agement, and project management skills are poor have the highest repetition fre-
quency of previous studies. It shows that the categories of communication systems,
knowledge and skills, and language and culture is the dominant category of suc-
cessful communication projects.
2.4 Relationship Project Communication on Project Time

Performance
Several studies and arguments regarding the relationship between communication

and project performance indicate that aspects of communication, information
sharing, and coordination are important in the success of the project. Abuhussein
et al. [33] stated that the area of project management that most influences project
performance is communication management. Communication occurs at any time
during the project and affects the relationship between project members and indi-
vidual commitments in supporting and promoting project success. This shows that
project communication is a significant predictor of project performance [34]. In the
research of Khattak et al. [35], the perception of project members towards infor-
mation equality can foster open communication which can increase task assignment
which has implications for improving project performance. Assignment of tasks
facilitates the division of responsibilities for project coordination and control [36].
Other indicators that affect the effectiveness of communication include the accuracy
of the information, constraints and distortions of the information submitted, the
suitability of information delivery time, as well as incomplete information in the
setting report which disrupts the communication process which affects the project
performance [37]. In the context of the project owner (owner) needs to carry out
communication management because his involvement has a significant impact on
project performance, especially in overseeing the results of work under the contract
and reducing the level of project uncertainty [38, 39].
H1: Project communication positively influenced the project time performance.
2.5 Knowledge Management as Mediating Variable
In construction projects, Knowledge Management is a discipline that promotes an

integrated approach in the creation, capture, sharing, and reuse of knowledge from
certain fields obtained from previously carried out projects [40]. Knowledge
Management is also defined as a process where knowledge is acquired, created,
communicated, distributed, applied, and effectively used and managed to reach the
needs of organizations that appear [41–43]. To describe the process of knowledge
systematically, the author adopts the work of Nonaka and Takeuchi [44], i.e., the
SECI Model. The reasons for choosing the SECI Model include (1) their work has
been widely accepted in management fields such as organizational learning,
crowdfunding, new product development, and information technology; (2) The
process is carried out includes not only the creation of knowledge but also the
transfer of knowledge [45].
The stakeholder knowledge factor, in this case, the project owner, is very
important and becomes a significant factor in project communication that affects
construction failure [20]. Previous research stated that knowledge management
systems help disseminate and equalize perceptions related to project knowledge,

form a balance of project members’ contributions, and increase the competence of
project members so that the communication aspect can be improved with equal
levels of knowledge possessed by all stakeholders [46, 47]. These aspects of project
communication help employees to understand the process and be guided by the
culture of the organization, and the provision of environmental and technology as a
knowledge management system can encourage organizations (employees) to learn
and apply new knowledge in project management in the future [48].
Existing research states that knowledge management systems can improve
organizational performance by disseminating and equating perceptions regarding
project knowledge and understanding customer needs and wants [49]. With the
knowledge management system, the capacity to receive knowledge of team
members will increase so that it also affects project performance improvement [50].
Reich et al. [51] stated that knowledge management is important for project per-
formance by mediating the knowledge alignment process. Alignment of knowledge
is carried out by gathering comprehensive knowledge and specialist knowledge
according to the needs of the project. Practical knowledge management assists team
members in transferring new knowledge to practice and also improves project
performance by gaining a better understanding of project knowledge [52].
Applications that can be used for knowledge management include e-mail, social
media, and IT-based document management systems. The knowledge variable that
will be managed is related to communication and project coordination that occurs in
the project life cycle, referring to the applicable SOPs relating to the role of the
project owner and interventions that can be carried out by the project owner
organization.
Taking into account the above factors, it can be the basis for measuring the effect
of mediation on the relationship of knowledge management and project commu-
nication project time performance.
H2: Project Communication Factors influence to become Knowledge Management
input.
H3: Knowledge Management Process influences Project Time Performance.
3 Methodology/Materials
This conceptual study area refers to the construction project published literature
related to project communication, knowledge management, and project time per-
formance. All publications that match the keywords are included in the literature.
The literature study provides empirical articles relating to construction project
communication, knowledge management in construction projects as well as project
time performance. This study did not include statistical analysis as a major ship-
ment of this article is the conceptual framework in the form of research models and
related variables.
3.1 Methodology
The method used for the PT X case study in this article is a desktop study using
previous research studies that are relevant from various journals, scientific articles,
books, and secondary data from PT X is a mining company that conducted research.
This study took a three-step approach consisting of (1) identifying academic
journals, (2) collecting, submitting, and filtering relevant articles, then (3) estab-
lishing a research model.
Identify Academic Journal Initiative action identifies academic journals that

involve material for this research. Table 1 shows the results of the journal infor-
mation summarized in the process of research include project communication
variables.
Collect, Review, and Filter Relevant Article The conceptual study in this research
uses academic and public databases such as google scholarships and Mendeley
Table 1 Summary of the variable causes of poor communication of the project

Communication variables Causative factor References
Communication system – Lack of communication platforms and systems [8, 31, 32, 53]
– The communication channel is not right
– The flow of information is slow between the
parties
– Ineffective reporting system
– Submission of inaccurate information
Knowledge and skills – Poor communication skills [5, 8, 31, 53]
– Have different levels of Education
– Have different skill levels
– Poor project management skills
– Lack of training
– Lack of knowledge of the project
– The difference in experience
– Inexperienced stakeholders
– Bad feedback
Language and culture – Cultural differences [20, 22, 32]
– Language difference
– Differences in personal perception
Project communication – Poor role clarity [8, 32]
plan – Bad stakeholder identification
– Unclear project objectives
– Lack of a communication plan
– Lack of communication during the early stages
of the contract
– Lack of communication procedures
– Instructions or incorrect technical information
Project organizations – Weak organizational structure [8, 53]
– Multi-organizational interactions
search engines for an abroad approach. Subsequently conducted a literature search

of the individual publisher of several international journals and proceedings as
Elsevier, Emerald, ASCE, Taylor. Screening journals are used for literature studies
by reviewing abstracts and keywords to check the research relevance index. Only
publications related to the study were subject to literature analysis.
Data Analysis The analysis is divided into two categories, namely: (1) academic
analysis that includes the publication of journals and international conferences, and
(2) non-academic analysis covering the relevant report from the Institute, theses,
and dissertations, as well as general articles that are relevant and reliable.
4 Result and Findings
Based on the literature review mentioned above, project communication is identi-

fied and specifically influenced by five variables, including (1) communication
system, (2) knowledge and skills, (3) language and culture, (4) project communi-
cation plan, and (5) project organization, which has an influence on project per-
formance and knowledge management as a source of knowledge. Knowledge
management also influences project performance, specifically with the SECI model,
integration and generalization of stakeholder knowledge can be carried out which
has an impact on project performance so that the proposed conceptual model is
where project management works as a mediator of project communication with
project time performance with the SECI model (Fig. 3).
Fig. 3 Knowledge management as a mediator variable

5 Conclusion
The study developed and presented in this paper proposes a possible relationship
between the project communication process, knowledge management, and project
performance. Many previous studies conducted have shown that knowledge man-
agement in construction projects has a positive impact on project performance by
equating project understanding and knowledge among all team members in the
project organization. Knowledge management is also needed to increase the success
rate of the project, and any variable influencing project communication can be
developed into an input in the knowledge management process. This study also
presents the perspective of the project supervisory organization from the owner, that
knowledge management as a mediator function can be developed to improve
project communication of supervisory team members that have an impact on project
performance.
For further research, the relationship and correlation between independent and
dependent variables and moderating variables need to be analyzed using empirical
tests where there are several forms of test models such as structural equation models
and partial least squares. Further studies need to be carried out test models are most
appropriate.
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2013.286.293
Portable Structure for Post-disaster
Temporary Shelter
Bayu Ariaji Wicaksono, Dalhar Susanto, and Emirhadi Suganda
Abstract This paper aims to review about application of portable structures for
post-disaster temporary shelter. Appropriateness in applying portable structures as
temporary shelters are observed based on parameters such as ease in availability and
also user’s comfort. The data in this paper were derived based on literature studies
by examining the theory about post-disaster temporary shelter, design requirements,
and portable structure by showing some examples that have been developed. The
most important aspects in the assessment are ease and speed in moving and also
erecting process, but without ignoring the user well-being. According to the
review’s results, a deployable scissors structure is the most suitable to apply as a
temporary shelter. It is because of the simple structure system which is joining each
bar with hinged in the middle and the end, so the movement of one bar will affect
the other bars and result in structure transformation from a small closed compact
configuration to the large open. This structure has some advantages, like being
easily stowed, erected, and sustainable. In the case of sustainability, this structure
can accommodate various temporary activities. Moreover, the bar components can
be reused as materials for the next development in the recovery process.
Keywords Temporary shelter Portable structure Deployable Scissors

Simply structure system
1 Introduction
Indonesia is a disaster-prone country, it is due to its geographic location along the

pacific ring of fire and also the hydrological condition. This results in natural
disasters like earthquakes, volcanic eruptions, tsunami, floods, landslides, etc. [1].
Data from Indonesia National Disaster Management Authority (BNPB) shows there
are 2,952 disasters that happened during January–December 2020, and it has caused
B. A. Wicaksono (&) D. Susanto E. Suganda

Department of Architecture, Universitas Indonesia, Depok 16424, Indonesia
e-mail: bayu.ariajiw@gmail.com
https://doi.org/10.1007/978-981-16-7949-0_46
512 B. A. Wicaksono et al.
the damage of almost 42,762 houses [2]. Since the people can’t stay in their houses,
it requires them to stay in disaster relief shelters to obtain protection, safety,
comfort, and security [3]. In the first phase, people will stay in an emergency
shelter. In providing this facility don’t need to construct a temporary building
because it only refers to the aftermath of the disaster. Therefore, they will use
existing building space like a public or social facility. Due to the limitation of this
facility, such as space and privacy, people will be moved to the temporary shelter.
This facility is designed to suit family or group size, so it can provide privacy and
more space to carry out simple activities and ensure them to rest in good condition
for recover their emotional and psychological [4]. An emergency situation requires
the facilities must be available as soon as possible. In this context, flexible archi-
tecture can be an instant solution to answer that problem is because the characters of
flexible architecture are dynamic rather than stagnant. They are possible for moving
and transforming to be used in different functions [5]. In order to achieve it, the
building must be applied portable structure because the building will be lighter and
also able to through assembling and also mechanisms systems of the components,
so it allows the building to be stowed and moved by vehicles and time-efficient for
erecting process in different locations [6]. Considering the special behavior of the
structure and its advantages in accommodating sheltering facilities during emer-
gency situations. This paper aims to discuss the most suitable type of portable
structure to apply as a temporary shelter.
2 Temporary Shelter and Portable Structure
2.1 Temporary Shelter
Temporary shelter is an instant facility for sheltering that prioritizing speed and
costs efficiency in construction and also have a limited lifetime [7]. The refugees
stay in this facility only for a short time, just a few weeks after the disaster [4].
Although speed is the most important aspect, we must consider the human aspect.
Temporary shelter is more than just a facility. It is a process for helping rehabili-
tation, both psychological and mental [3]. As seen on Tables 1 and 2 [4], there are
some requirements in providing temporary shelter as temporary accommodation.
2.2 Temporary Shelter with Portable Structure
Portable structures are designed with prioritizing mobility and efficient aspects. It
allows the building to move easily and is also time-efficient in the erection process
to a different location. It will be a good solution functionally, structurally, and
spatially in an emergency situation. Flexible Architecture with portable structure
classified according to the configuration of products and erection process. There are
Portable Structure for Post-disaster Temporary Shelter 513
Table 1 Requirements for temporary shelter: designing for people, adequate dimensions,
local-oriented design, comfort, and easy to transport [4]
Requirements Explanation
Designing for Feeling like home. It will make the refugees comfortable psychologically
People and mentally, e.g., gathering with their family, doing the daily activities,
also getting privacy. According to the aforementioned, temporary shelter
must be designed only for groups or families [3]
Adequate Space dimensions affect comfort in movement. According to International
dimensions Federation of Red Cross and Red Crescent Societies [7], the minimum area
for one person is 3.5 m2, and the building minimum for covering space is
18 m2, it allows five people to live there, and also the headroom minimum
2.4 m [8]
Local-oriented A shelter with a local-oriented design will be more efficient because it uses
design local material and construction methods. But if it is not possible, it must be
imported from other areas and using modern technology
Comfort Comfort aspects in temporary shelter include thermal comfort, lighting,
and ventilation, either natural or artificial. Because this paper just give an
overview based on literature review, the author just explain according to
the technical product specification
Easy to Due to the Limited access in reaching for disaster areas, the shelter should
transport be designed small and lightweight to adjust the capacity of the vehicle,
e.g., trailer truck or pickup car
ready-made units, demountable, and deployable [12]. To easy understanding the

explanation, the author will show some examples of temporary shelters with por-
table structures.
Ready-Made Units This building configuration carries to the locations as one
piece ready-to-use unit without requiring an assembly process. It is good as a very
instant solution, but the most disadvantage of this type is the limited area. It is
because of the limited capacity of the vehicle to carry them [13]. But in some cases,
the unit can be separated into big components. One of the examples shown in this
paper is Exo Shelter by Michael McDaniel are displayed on Fig. 1 [14]. These
shelter components are separated as building envelopes and floor components. It
can be assembled using a magnetic system. Separating the building envelopes will
allow them to be stacked like a cup of coffee to save space in the shipping process.
The building form is a trapezoid, where the walls and roof are sloping. From that
form, it will be easier to stack. This shelter covers a 6.76 m2 area with headroom
3 m, and it has a capacity for four people with a layout of leveling bunk beds. If the
room is used for other functions, the bunk bed can be folded to the wall. The latest
technology from this shelter is to allow electric supply from portable power gen-
erators, so it allows the refugees to use it for lighting, charging a gadget, and also
get an air conditioner. This shelter has no ventilation system that can be opened but
can allow natural lighting.
Demountable It consists of components that allow being assembled and dis-
assembled with dry-system [15] and packaging in separated small components, it
Table 2 Requirements for temporary shelter: simple construction, flexibility, long term option,
durability, protection, outdoor space, and non-pollutant solution [4]
Requirements Explanation
Simple Easy and fast in erecting process. It can be done with non-professional
construction people also minimum auxiliary equipment. Because if the construction
system of shelter is complex, it requires more training and resources to
erect the shelter and potential to delay [3]
Flexibility It allows users to modified their shelter unit either space or form according
to the function and user members. e.g., unit expansion and adjusting
layout space
Long term The chance to reuse shelter unit also the component for different function
option
Durability Because the portable structure in this paper uses modern material and
technology, it is possible to use it for a few weeks. And it can be reused
for another emergency situation
Protection Shelter as a weather shield. It gives some protection to the user from snow,
wind, or other climates. One requirement in a tropical climate like
Indonesia, the shelter must respond to the rain. So the roof must be gable
or curve [9]
Outdoor space The outdoor area between shelters can be used as a social facility and
other activities. According to the Sphere project [10], the minimum
distance for each temporary shelter unit is 2 m or twice the height of the
building because it’s about fire safety risk
Non-pollutant In minimizing pollution, the building must adopt a sustainable aspect. In
solution the case of eco-friendly materials and constructions, it enables them to
reuse and recycle. Basically, a portable structure is a sustainable
architecture. It is because the prefabricated material will minimize waste
and site impact during the construction process. Also, upgrading and
improving shelters is cheaper than moving from phase to phase [11]
a b c
Fig. 1 a Separating component between building envelope and floor, b stacked building envelope
like a cups of coffee, c bunk bed inside the shelter [14]
will be more efficient in the logistic process. In Indonesia, National Disaster

Management Authority (BNPB) is using tents as temporary shelters for refugees as
shown on Fig. 2. It’s a dome configuration tent that consists of configurable
stainless steel pipe and polyester fabric as building envelope, and it covers a 20.25
m2 area and suits four people [16]. For the headroom, according to the information
from the tent factory, it is almost 3 m. These tent components can be disassembled,
folded, and packaged in 650 D polyester bags with small dimensions. Another
example of demountable is a shelter that consists of a modular panel and metal

frame, a better shelter by IKEA presented on Fig. 2 [17]. It has been used in several
countries to accommodate refugees of disasters, both natural or conflicts, and also
to use as an emergency health facility during pandemic Covid-19. With area 17.49
m2 and headroom 2.83 m, it suits five people. This facility also using solar panels as
the electrical resource and can be packaged in a box with dimensions 2.020 m
1.090 m 0.52 m (L W H).
Deployable Deployable is a structure that consists of the components that have
been integrated with mechanisms, that it allows transforming from small compact
configuration to wide compact also stable and effective in carrying load [18]. The
mechanisms are kinetic and air-supported, for architectural application, the structure
is composed of components like bar, panel, and membrane [18]. The first type is
kinetic mechanisms, and the components connect with a hinge. In structure with bar
component, it consists of many bars. One of the simplest mechanisms and also
multi-purpose is a scissors structure. Which are consists of two bars connected by a
revolute joint in the middle also the end of the bar. One movement of the bar can
affect the other bars, so it can be a wide, stable structure. One of the scissors
configurations is barrel vault, and it can give protection from the weather by adding
membrane to the structure can be seen from Fig. 3. The uniqueness of this structure
is that it can be folded into a small configuration. Previous research shows that in
the open configuration, it covers 20.2 m2 area, headroom 3 m, and can accom-
modate five people. In folding condition, the dimension are 0.9 m 1.7 m
0.5 m (L W H) [19]. Another type with kinetic mechanisms consists of panel
components. The panels are connected by hinged, and the panel plays the role of
supporting structure and roof. This structure also can be folded, but it is much
bigger and also heavy because of the dimension of the panel [18]. An example of
the project with that system is a folded house from china with an area of 27.25 m2
and headroom 2.415 m is presented on Fig. 4. In folding condition, it has dimen-
sions 4.89 m 2.52 m (L W), the folded dimensions are affected by the
dimension of panel components [20]. The second type, also the last type of
deployable structure, is pneumatic, which is composed of a membrane and can be
erected by filling the air using an air compressor. An example of a pneumatic
system in this paper is displayed on Fig. 5, a product that is sold in the market with
a cover area of 29 m2 and headroom 2.6 m. Because all of the components are
membrane, it will be more elastic and can be folded in very small configuration
[21].
a b
Fig. 2 a Dome tent [16], b shelter consists of plastic panel [17]

a b
Fig. 3 a Scissors mechanism [19], b additional membrane for stiffness and cover [19]
Fig. 4 The structure consists

of panel components and
foldable mechanisms [20]
a b
Fig. 5 a Erection process in pneumatic structure [22], b building erected [21]
3 Discussions
This chapter will assess a portable structure according to the design requirements of
a temporary shelter as displayed on Tables 3 and 4. Through this assessment, it will
result in the most suitable portable structure system for emergencies.
From Tables 3 and 4, we can see that portable structures and their examples have
advantages in terms of ease of moving and assembling. Among them, the type of
portable structure that can achieve temporary shelter design requirements are
demountable and deployable. It is because the building can achieve minimum space
dimensions and also can be packaged in one pack of small components, so it will be
easy to stow and transport. Packaging is an important aspect because access in
post-disaster situations is limited, so it can affect the ability of vehicles to rides on
the road. According to the case study, the most efficient buildings in case of easy
carrying with the small vehicle are tent, better shelter, scissors structure, and
pneumatic. In case of allowing more opportunity to use for other functions and
space arranging, all types must be applying a square floor plan. Among them also,
Table 3 Portable structure assessment according to the requirements: designing for people,
adequate dimensions, protection, simple construction system
Parameter Ready-made units Demountable Deployable
Designing Minimum space and Open plan space can accommodate more
for people arranged layout (Bunk bed functions according to the users’ needs and it
installation), only can can be used simultaneously
accommodate limited
function interchangeably
Adequate Area less than the They are made based on the minimum
dimensions minimum requirement, it is requirement, so they will be comfortable for
not comfortable for human human movement
movement
Protection Gable roof – Tent with – Scissors structure with
curved roof curved roof
– Bettershelter – Foldable panel with a flat
with gable roof
roof – Pneumatic with gable
roof
Simple Only need to stick the Assembling – Since components of
construction building envelope with the separated scissors structure are bar
system floor component using a components and connected by the
magnetic system with a dry hinge joint. It will be
system easy to erect only with
three people [19]
– Deployable structure
foldable panel, the
components are
integrated with hinge
joint, but because the
dimension is big, It
needs a mobile crane to
unload and for erecting
need more people
because the panel is
heavy. And for
pneumatic type is need
to use the air compressor
and building can be
erecting itself
automatically
the one that has the advantage in terms of ease and speed in the assembly also
possible for space expansion is scissors structure, because the bar components have
been connected by hinges and integrated with the kinetic system that enables the
construction process is only by folding and can be done by hand-operated and
non-skilled personnel also we can add more scissors portal to add more space. If it
is no longer used as a temporary shelter, all of the temporary shelters can still be
Table 4 Portable structure assessment according to the requirements: easy to transport, flexibility,
long term option, comfort, durability, outdoor space, and non pollutant solution
Easy to Must be carried with a Able to carry with a Both scissors and
transport trailer truck small truck or pickup pneumatic mechanisms
car can be carried with a
small truck or pickup
cars
But for the foldable
panel, it must be carried
with a trailer truck due
to its big panel’s
dimension
Flexibility The flexibility aspect is For both tent and Due to the open layout
only in arranging bettershelter, because in scissors mechanism,
space-layout, but it is the layout is open, it foldable panel, and
limited, and for space can be free to arrange. pneumatic. The unit
expansion, more shelter But only better shelter layout is free to arrange.
units must be added that can be expanded But among the three
[14] units, only scissors can
be expanded with a
simple solution by
adding more scissors
portals [19]
Long The shelter unit can Because the tent form is Because the floor plan
term accommodate other a dome and has a circle in scissors mechanism,
option functions, but it is very layout, it causes limited foldable panel, also
limited due to the small to rearrange the space. pneumatic is square, it
area causes limited It’s very different with will be easier to
arranging of the layout better shelter, rearrange the layout and
and also space to save considering the square reuse it for other
the stuff. For layout and functions. But only in
sustainability reasons, perpendicular wall, it the scissors mechanism
reusing the components will be more variant in that almost all of the
directly for other arranging the space. But components can be
functions is limited, for reusing components, reused directly because
e.g., only door and both tent and their components are
bunk bed and other bettershelter only bar still intact and
small parts. But for components can use multifunction [19]
reusing big components directly, and the others In pneumatic and
like building enclosure need more process for foldable panel need to
needs more recycling recycling and reuse advance process for
process reuse component
Comfort The Source of lighting More in artificial According to the
and ventilation can be lighting, because the reference about shelter
artificial or natural. But, window is small. But with scissors structure,
ventilation relies more the ability of window it just only explains the
on the air conditioner. It can be opened, and it membrane as a wall and
is because the window allows natural roofing. They do not
cannot be open if we ventilation provide doors and
want to use natural windows. So it can’t be
(continued)
Table 4 (continued)
ventilation. It is simply explained in this paper
by opening the door [19]
For pneumatic and
foldable panels, they
have small windows
that can be open, but for
lighting, they will be
better by using artificial
lighting
Durability Durable for several weeks
Outdoor The shelter position must fit the standard distance. But for further expanded, each
space refugee must discuss it first to avoid violation of the distance rule
Non- Due to the components are prefabricated, they are truly sustainable in terms of the
pollutant construction process and minimizing site impact. But for pneumatic type and also
solution foldable panels. They are less sustainable because they need auxiliary tools for
the erection process like an air compressor and mobile crane, which need
electrical power to operate them
used to accommodate other temporary functions. In the case of sustainability

aspects, almost all of the components of portable structures can still be reused for
other development.
4 Conclusions
Flexible architecture with portable structures is an instant solution for the

post-disaster temporary sheltering facility. But in designing them, we need to
consider the minimum requirements. Because it is not just the product but a process.
The most important aspect to achieve is movability, rapid erection process, com-
fortable space, and less negative impact to the environment. Among them,
deployable scissors structure almost fulfills all aspects in the requirements, because
its behavior can be transformed from small configuration to wide configuration, it
will be easy to stow and transport. And also, due to the components are connected
with a hinged joint and integrated with the kinetic system, it allows easy and rapid
erection with non-professional people. In the case of sustainability aspect, that is the
minimum damage to the site, minimal material waste, and also the components can
be reused directly for other functions. Besides its advantages, the deployable
scissors structure also has disadvantages that need to be further developed in terms
of energy resources for electrical, also a windows system to allow natural lighting
and ventilation.
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Concrete Damage Risk Rating
Examination to Existing Buildings
Henny Wiyanto, Reagen Yocom, and Glen Thenaka
Abstract Building assessment is a measure that has to be taken by building

management to the existing building or operational building because it is very
critical to the safety and comfort of the building’s users. One of the commonly used
building assessment methods is visual assessment. Visual assessment is a
non-destructive concrete assessment that is done to identify and define different
concrete conditions, which can be seen during its’ lifetime. Concrete damage
assessment is done to estimate the risk rating of concrete damage against the
existing building structures. The risk assessment process is done in three steps: risk
identification, risk analysis, and risk evaluation. There are three risk ratings: low,
medium, and high. Risk rating examination of the existing building is determined
based on the concrete damage type and condition rating value on the building
structure element, concrete damage frequency on the building, and critical weight of
the building structure element. Risk rating examination results of concrete damage
are used to determine priorities building structure element repair.
Keywords Concrete damage Risk rating Visual assessment An existing

building
1 Introduction
Concrete damage on reinforced concrete structures cannot be avoided. This is caused

by a lot of factors, one of which is poor construction implementation and low
material quality. As time goes on, existing building usage also predominantly affects
H. Wiyanto (&) R. Yocom G. Thenaka

Department of Civil Engineering, Faculty of Engineering, UniversitasTarumanagara, Jakarta
11440, Indonesia
e-mail: hennyw@ft.untar.ac.id
https://doi.org/10.1007/978-981-16-7949-0_47
524 H. Wiyanto et al.
the building’s condition. Improper building usage will cause physical damage to the
building itself. Building usage is the act of using a building according to its’ intended
function [1, 2]. Oftentimes, building management or owners neglect the building’s
condition and do not perform proper building assessments because of cost factors.
Even though building condition assessment can lower the risk of further building
damage, which severely endangers the building’s users, that is very risky towards the
safety and comfort of building users. Building condition assessment is done with
assessment towards concrete damage condition, which is done to estimate the risk of
structural and non-structural damage in order to perform building reparation.
According to ISO 31000:2009 [3], the risk assessment process is done with three
steps: risk identification, risk analysis, and risk evaluation. The search for references
about building condition rating has been performed from multiple sources, which are
[4–21]. Based on that problem, the risk assessment needs to be done towards con-
crete damage to the existing building structure.
2 Method
Concrete damage risk rating examination to the existing building is performed in

the following steps.
2.1 Risk Identification
Concrete damage risk identification is a step to identify the amount and location of
concrete damage on a building structure that can lower a building’s functionality.
Concrete damage location is divided into four structure elements: shear wall, col-
umn, beam, and slab. Concrete damage identification is made using visual
assessment.
2.2 Risk Analysis
Concrete damage risk analysis is a step done to assess risk towards the concrete
damage types that have already been identified according to the damage amount
and location. Damage location affects the structure element critical weight. The
amount of concrete damage describes the damage frequency of a damage type on
the building.
Concrete damage risk assessment is done with the following steps:
Determining Concrete Damage Type and Condition Rating Based on concrete
damage type and condition rating search results for building from multiple
Concrete Damage Risk Rating Examination to Existing Buildings 525
Table 1 Concrete damage No. Damage type Condition rating

type and condition rating [20]
1 Craze crack 2.54
2 Mapping crack 3.00
3 Random cracks 3.36
4 Delamination 3.25
5 Pop-outs (small) 2.75
6 Pop-outs (medium) 2.93
7 Pop-outs (large) 3.36
8 Scaling (light) 2.53
9 Scaling (medium) 2.88
10 Scaling (severe) 3.13
11 Scaling (very severe) 3.47
12 Spall (small) 2.86
13 Spall (large) 3.40
references, namely [4–18, 22–24], concrete damage type and condition rating are
determined for existing buildings in Indonesia by Wiyanto et al. in [19, 20] as in
Table 1.
Criteria and measures for each concrete damage condition rating are as shown in
Table 2.
Determining Concrete Damage Frequency Concrete damage frequency is
determined based on the amount of damage done to the building. Damage fre-
quency is determined using three criteria based on Table 3.
Determining Concrete Damage Risk Rating The concrete damage risk rating is
determined based on concrete damage condition rating and concrete damage fre-
quency using Eq. 1.
Table 2 Criteria and measure for each concrete damage condition rating [19, 20]
Condition Description Criteria Measure
rating
1 Very good No damage No repairs are needed, but still needs
maintenance
2 Good Light damage Needs reparation in the field of routine
maintenance
3 Medium Medium damage Immediately needs further assessment or
testing and or reparation
4 Bad Heavy damage Needs structure strengthening or weight
reduction
5 Very bad Very heavy/ It cannot be maintained or demolished
critical damage
Table 3 Damage concrete Rating Frequency

frequency
1 Rare (R)
2 Moderate (M)
3 Common (C)
P
CI fcd
RRse ¼ ð1Þ
ncd
RRse is the concrete damage risk level of each structure element, CI is the
concrete damage condition rating, fcd is the concrete damage frequency, and ncd is
the amount of damage done.
Determining Building Damage Risk Rating Building damage risk rating is
determined based on concrete damage risk rating and damage location. Concrete
damage location is divided into four structure elements, each with its own critical
weight. Based on structure element critical weight search results for buildings from
multiple references, namely [9–13, 21], structure element critical weight for
existing buildings is determined by Wiyanto et al. in [19, 20], such as in Table 4.
Building damage risk rating is determined using Eq. 2.
P
RRse wse
SR ¼ P ð2Þ
wse
SR is the building’s damage risk rating, and wse is the structure element critical
weight, as shown in Table 4. Based on the building’s damage risk rating value,
concrete damage risk rating can be described by referring to Table 5.
2.3 Risk Evaluation
Concrete damage risk evaluation is a step used to determine priority towards risk on
a building so that further measures can be taken according to the risk rating. This is
done in order to maintain and repair a building to increase safety and comfort for
the building’s users.
Table 4 Structure element Structure element Critical weight

critical weight [19, 20]
Shear wall (SW) 1
Column (C) 1
Beam (B) 0.7
Slab (S) 0.5
Table 5 Concrete damage Rating Risk Criteria

risk rating
1 Low S<5
2 Medium 5 S < 10
3 High 10 S 15
Assessment is applied to an existing high-rise building. Concrete damage risk rating

assessment is done based on visual assessment on a 13-year-old 13-story parking
building. Assessment is initiated with damage type examination, which is done on
each building structure element, and condition rating of each damage. The results of
concrete damage examination and condition rating assessment can be seen in Table 6.
Table 6 Parking building No. Damage type Element Condition rating

concrete damage type and
condition rating 1 Craze crack C 2.54
2 Mapping crack S 3.00
3 Scaling (very severe) B 3.47
4 Spall (small) B 2.86
5 Spall (small) SW 2.86
6 Random Cracks S 3.36
7 Scaling (light) S 2.53
8 Scaling (severe) S 3.13
9 Scaling (light) S 2.53
10 Random cracks C 3.36
11 Spall (large) C 3.40
12 Pop-outs (medium) B 2.93
13 Scaling (medium) B 2.88
14 Spall (small) C 2.86
15 Spall (small) S 2.86
18 Scaling (very severe) B 3.47
19 Scaling (light) C 2.53
20 Spall (small) C 2.86
22 Scaling (severe) B 3.13
23 Random cracks S 3.36
26 Delamination C 3.25
27 Scaling (very severe) C 3.47
28 Random cracks B 3.36
Table 7 Parking building No. Damage type Frequency Rating

concrete damage frequency
1 Craze crack R 1
2 Mapping crack R 1
3 Scaling (very severe) R 1
4 Spall (small) C 3
5 Random cracks R 1
6 Scaling (severe) R 1
7 Scaling (light) R 1
8 Spall (large) R 1
9 Pop-outs (medium) R 1
10 Scaling (medium) R 1
11 Delamination R 1
Based on the damage types that are identified in the visual assessment, concrete
damage frequency on that building is determined. Damage frequency from each
damage can be seen in Table 7.
Concrete damage risk rating of each structural element is determined based on
concrete condition rating assessment results and the concrete damage frequency on
the building. The risk rating assessment of each structural element can be seen in
Table 8.
The parking building’s structural damage risk rating is determined based on the
concrete damage risk rating of each structure element, with the structure element’s
critical weight. Parking building structure damage risk rating assessment can be
seen in Table 9.
Building damage risk rating is determined referring to Table 5. A risk rating of
5.95 shows that the parking building’s concrete damage risk rating is 2, which is the
medium rating. Medium risk means that further examination and reparation mea-
sures need to be done on the building. From the risk rating, it can be shown that the
shear wall and beam elements are the highest priority for examination and repa-
ration measures.
Table 8 Parking building concrete damage risk rating

No. Damage type Condition rating Frequency rating Risk rating
Shear wall
1 Spall (small) 2.86 3 8.58
RRsw 8.58
Column
1 Craze crack 2.54 1 2.54
2 Random cracks 3.36 1 3.36
3 Spall (large) 3.40 1 3.40
4 Spall (small) 2.86 3 8.58
5 Scaling (light) 2.53 1 2.53
6 Spall (small) 2.86 3 8.58
7 Delamination 3.25 1 3.25
8 Scaling (very severe) 3.47 1 3.47
RRcl 4.46
Beam
2 Spall (small) 2.86 3 8.58
3 Pop-outs (medium) 2.93 1 2.93
4 Scaling (medium) 2.88 1 2.88
5 Spall (small) 2.86 3 8.58
6 Spall (small) 2.86 3 8.58
8 Spall (small) 2.86 3 8.58
9 Scaling (severe) 3.13 1 3.13
10 Spall (small) 2.86 3 8.58
11 Spall (small) 2.86 3 8.58
RRbm 5.89
Slab
1 Mapping crack 3.00 1 3.00
4 Scaling (severe) 3.13 1 3.13
6 Spall (small) 2.86 3 8.58
RRsl 3.78
Table 9 Parking building damage risk rating

No. Structure element Risk rating Critical weight RRse wse
1 Shear Wall 8.58 1 8.58
2 Column 4.46 1 4.46
3 Beam 5.89 0.7 4.12
4 Slab 3.78 0.5 1.89
P
3.2 19.05
SR 5.95
4 Conclusion
The building damage risk rating resulted from damage type assessment based on
visual to existing buildings can be used to describe risk criteria. The risk rating
value can describe concrete damage risk towards building structure, so it can be
used to determine priorities for the measures that will be done to the building. These
measures can be in the form of building maintenance, destructive testing, and
building reparation. This risk rating assessment method can be applied to existing
buildings in order to determine building structure element reparation priority.
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A Literature Review of Life Cycle
Costing of Dam Asset Management
Ismi Astuti Anggraini, Ayomi Dita Rarasati,

and R. Jachrizal Sumabrata
Abstract The increasing demand for water from various sectors such as industry,
domestic, agriculture has led to an increase in the need for investment to develop
water resources infrastructure, particularly dams. The dam is one of the infras-
tructures that have a long service life. It requires proper management to maximize
its use which is also comparable to the costs incurred. The Life Cycle Cost
(LCC) method is one method that can be used to estimate the cost during the
operation of the dam. It considers the financial costs at different life cycle stages,
including capital costs, costs of operational, maintenance costs, replacement and
rehabilitation costs, demolition, and residual costs. Life Cycle Costing is an
inseparable part of decisions about financially expensive investments. LCC works
by calculating the life cycle length, future costs, discount rate, and inflation. This
study aims to define the integration of the life cycle costs and the management of
dam assets. The author used a literature review method from 28 compatible liter-
ature. By applying LCC to the dam, the cost of each stage of the dam’s service life
can be determined to obtain economic financing.
Keywords Asset management Dam Life cycle cost
1 Introduction
The dam is designed to store water for social purposes such as flood control,
irrigation, water supply, energy generation, entertainment, and environmental
protection. Dam can give many advantages but also the potential threats to public
safety cannot be ignored [1]. After the dam’s completion, the dam’s safety will be
affected by changes in time, maintenance, and operating conditions. Only through
continuous maintenance, inspection, and evaluation will it be known of the changes
I. A. Anggraini (&) A. D. Rarasati R. J. Sumabrata

Civil Engineering Department, Faculty of Engineering, Universitas Indonesia, Depok,
Indonesia
e-mail: ismi.astuti@ui.ac.id
https://doi.org/10.1007/978-981-16-7949-0_48
534 I. A. Anggraini et al.
that caused the dam safety. If we consider the life of a building to be decades,
assessing project alternatives only in terms of investment costs would be too narrow
and insufficient. A structure can be exposed to several conditions during its oper-
ating cycle, which have different consequences. In general, the structure’s life cycle
management activities can be divided into several types, e.g., inspection, moni-
toring, maintenance, and repair (IMMR) [2]. Maintenance operating costs is an
essential part of the investment over the life cycle. Dam asset management must be
a severe concern in order to maximize its utilization. Life Cycle Costing (LCC) is
an inseparable part of making decisions on financially expensive investments.
The principles and approaches of Life Cycle Costing (LCC) have had a sig-
nificant influence on the field of civil infrastructure. The principles and methods of
LCC are explored in this paper, with a focus on the dam. Life Cycle Costing is an
analysis method that improves the estimation of many different investment options
total long-term economic feasibility [3]. The relationships between several success
indicators are explored. LCC requires the identification of all materials and pro-
cesses used in each phase [4]. The LCC analysis is formulated to consider the
socio-economic consequences of structural collapse and the minimize of lifetime
maintenance costs. The Life Cycle Costing can be applied to the whole project or its
parting [5].
To offer greater transparency, LCC considers both user costs (e.g., decreased
flexibility at project location) as well as agency costs related to planned operations,
such as potential annual repairs and reconstruction, when calculating the cost of a
dam infrastructure. Both expenses are typically discounted and added up to arrive at
a current-day valuation known as Net Present Value (NPV). A life cycle model is
typically combined with the overall cost of ownership to give the operator, or more
specifically the owner of the entire concept, a more sophisticated and reliable
costing model [6].
A primary reason presented was an overestimation of the value of creating
datasets for expense storage and repair to help any potential costs. However, it was
discovered that the risks of maintaining these datasets outweighed the advantages.
Users inserted outdated records, cost statistics became out-of-date, and it was
impossible to directly use historical data for a component due to various types,
vendors, and technical advances, to name a few issues with databases [6]. Future
expenditures become imaginary when funding is not saved or set aside, in contrast
to capital investment, which has actual budget constraints. Furthermore, various
organizations are frequently in charge of investing and maintaining equipment, with
different budgets, reducing the ability to consider life cycle costs. There are many
reasons why the practical use of life cycle costing has been restricted due to the
methodology’s scope [7]. However, it is worth noting that the advantages of life
cycle costing are not so much about the direct quantification of life cycle costs as
they are in the way of reasoning about how to reduce overall expense over the
asset’s life cycle.
A Literature Review of Life Cycle Costing of Dam Asset Management 535
2 Objective
The construction of dams pursues several goals in ecological, social-economic

terms. Since the focus of this paper is on the economic value of dams throughout
their lifetime, economic considerations primarily determine the limits of the scope
of the study. This study aims to determine the integration of life cycle costing and
dam asset management and its benefit. Dams are one of the infrastructures that are
designed for a long service life. Taking into account the life cycle costs of a dam
can reduce overall costs during dam operation and optimize the budget reserved for
dam management. The contribution of this literature knowledge is to add to the
financing terms of asset management in the dam with the estimated costs over the
life cycle of the dam.
3 Methods
The authors gathered publications for this review using Scopus as the central
archive for scientific journals. The keywords used were “Life Cycle Costing”, “Life
Cycle Cost Infrastructure”, “Dam Maintenance”, “Management Asset of Dam”,
“Life Cycle Management”, and the publications chosen were academic and con-
ference papers written over summaries and combining pre-determined keywords to
filter out ancient documents from the search results. The publication years of papers
were set limited from 2012 to 2021. There are 37 papers that are thought to be
important to the subjects we covered. Then the text should be read in its entirety for
the second screening. After the second screening, nine papers were not chosen to be
addressed. As a result, 28 papers will be addressed and clustered based on life cycle
costing and dam asset management. Several works of literature from other infras-
tructure sectors are also used to support this review.
Life Cycle Cost is an analysis method that refers to all the costs related to con-
struction, operational, and project maintenance on a specific period [8]. LCC is
handling all cash flow during the determined duration [6]. The LCC method con-
siders the financial costs at different stages of the life cycle, including investment
costs (i.e., initial construction materials, manpower, and indirect costs), cleaning,
maintenance, replacement, and energy costs during the use phase, and also
demolition and residual costs [9]. From a statistical point of view, the stochastic life
cycle performance integrates the time-dependent behavior of structures affected by
external shocks, maintenance, and functionality. Both uncertainties regarding the
performance of the existing infrastructure and the damage quantification were taken
into account using stochastic analysis. One of the stochastic approaches used also
took into account the epistemic nature of risk analyzes, which focus on the costs of
maintaining reliable containment after an accident, and shows that maintenance and
operational safety will become an economic issue for the affected communities in
the coming decades. For such maintenance work was underlined by modeling
approaches that clarify that the safety of the local population and the reliability of
the infrastructure can only be guaranteed with high reliability if the maintenance
work is carried out at regular intervals [10]. The LCC process typically includes the
following steps: planning the LCC analysis (e.g., the definition of objectives),
selecting and developing the LCC model (e.g., structuring cost breakdowns,
identifying data sources and possibilities), applying the LCC model, and docu-
menting and reviewing the LCC Results [11, 12]. The prices of manpower, fuel,
materials, and parts can vary significantly from year to year and depend on location,
market, and quality. The lack of quantitative advantages (such as the decrease in
accidents and opportunity costs) makes it possible to evaluate infrastructure projects
in a way that minimizes costs [13]. Due to inflation, the currency’s value will be
different nowadays and within the future [14]. Life Cycle Cost Analysis can be used
to compare the advantages of different planting systems in terms of water con-
sumption, energy, and environmental pollution [15].
The dam project can be divided into the following sections: feasibility study and
planning (phase one), construction (phase two), and operation (phase three).
A conceptual error probability and risk assessment were developed for each stage
[1]. A high failure rate characterizes the initial construction and fills cycle, but at the
end of this interval, the structure failure rate stabilizes. During the operation of the
dam, damage with strong influence will occur [16]. Hence it is important to opti-
mize the maintenance and operational costs of the dam during its regular operation.
The Life Cycle Cost method uses current spent costs and costs incurred in the
future. The calculation time value of money is needed due to guarantee all the
comparable values. LCC works by calculating the life cycle length, future costs,
discount rate, and inflation. The most appropriate and most commonly used
approaches to estimate LCC are Net Present Value (NPV) and Equivalent Annual
Cost (EAC) [8].
4.1 Calculation Data
The efficiency of the LCC is highly dependent on the set of records used to carry
out structural evaluations [17]. According to [11], the data required for the calcu-
lation and analysis of LCC can be classified into three groups:
1. Data for the converting costs spent during the life cycle to their present value,
the so-called discount rate, inflation rate, length of the period analyzed.
2. Cost data, i.e., costs in the specified structure, life cycle phases.
3. Other data include the quality of buildings and structures, intensity and method
of use, and technical parameters.
In LCC analysis, the life span of the dam or other structure and its equipment is
distinguished from the length of the analyzed period. The dam is specific because
their long technical life usually exceeds their moral or economic life.
Through years of continual use and responses to environmental consumption and
environmental conditions, infrastructure, like all forms of capital spending, will
become redundant. These aging infrastructures would need periodic repairs, mod-
ernization, and reconstruction of whole or sections in order to maintain operations.
At maximum, annual repair and modernization costs range from 2 to 20% or more,
based on a variety of factors such as the scale, structure, and capability of the
facility, as well as the fit for purpose, configuration, materials, construction effi-
ciency, and, most significantly, how it performs and retains [4]. These operating
expense pieces are investments that can last 20–30 years or more. Especially in
infrastructure, the operating period is very long. It is also likely that the total capital
investment on infrastructure over its lifetime would be much higher than the initial
capital expenditure. Furthermore, we do not see enough of this kind of study when
constructing our asset, region, or megaproject. There is a pressing need to inves-
tigate this and maximize the spending on infrastructure over its whole life cycle. In
this case, a Life Cycle Cost Analysis (LCCA) is especially useful in ensuring the
cost-effectiveness of an infrastructure project [18].
In infrastructure projects such as dams, technical solutions are used in LCC
calculations to estimate costs and gaps or lack economic data [19]. Therefore, the
error is caused by incomplete data and incorrect judgment. It can cause considerable
calculation errors. To ensure Asset Performance, it is critical to replace equipment
at the appropriate time, according to best practices, company policies, and vendor
guidelines. As a result, before incurring actual costs, efficient capital planning will
increase reliability through time and money [11]. Cost reductions can also be
achieved by standardizing sourcing practices, smoothing out prices, and avoiding
widespread adoption through procuring assets from supply chain partners. Reduced
complexity in cost planning will lead to improved asset efficiency and less insta-
bility and risk to the enterprise, so the goal is to boost stakeholder trust [20]. Dam
infrastructure will benefit from life cycle cost analysis. These ventures make use of
capital investment, which is the upfront expense of building or providing a piece of
infrastructure. Stated, it is the cost of constructing the preferred infrastructure.
Another consideration of infrastructure construction is running expenses, including
a variety of expenses such as utility, manpower, insurance, facilities, health, and
regular and scheduled maintenance [21]. The cost of disposal is perhaps another
critical aspect of LCC.
Another aspect of the LCC that has received little attention is its ability to
guarantee long-term dam operational efficiency. LCC continues to be limited and
undeveloped during the life span of an object or property [18, 22]. Because of this,
LCC is not often thought of as a reliable budgeting mechanism. One explanation
may be a lack of comprehensive research spanning all aspects of an asset’s life
cycle, although life cycle costing in principle covers all costs at all points of the
dam life cycle. The use of LCC should be widespread in the portfolio’s economic
life [21]. In reality, the LCC is used for asset financial process improvement. The
procedure aids in the tracking of the asset’s gross domestic product in addition to
expectations.
As previously mentioned, LCC has progressed from a project assessment
mechanism to a more holistic way of integrating sustainable growth elements across
various industries. LCC may be seen as part of a larger system for sustainable
growth. Three interconnected sustainability aspects make up the system (economic,
environmental, social) [6]. Economic sustainability is derived from the public
finance system, which employs financial and economic analysis of investments.
Externalities system (again, from public benefit and public finance) is used to
ensure environmental protection. Environmental responsibility is based on a public
policy system that places a premium on service access, governance, and social
justice. These two parts are linked by operational policies where the system’s
performance affects the economic cost and vice versa. Therefore, the LCC of dam
projects can be tied to their performance over the life cycle based on a change in
operational policy and monitoring of the resulting changes to the system [19].
4.2 Determination of Costs Estimates
Costs incurred during the life cycle are different. Since the timing of costs is
different, this needs to be reflected in the LCC calculations [23]. This purpose uses
the most common techniques of determining the Net Present Value and time value
of money, which are expressed in the form of discount rates and depend on
inflation, capital costs, investment opportunities, and personal consumption choice.
The discount rate controls the present value of life cycle costs. Variations in the
discount rate change the impact of maintenance, operation, and end-of-life costs
throughout the infrastructure’s life cycle [23]. Therefore, identification of the dis-
count rate is critical in calculating. Determining the correct discount rate is one of
the limitations of the LCC study [23]. LCC changes significantly with changes in
the discount rate.
It is also important to analyze The Life Cycle Inventory (LCI) that consists of all
the materials, fuels, and energy needed to construct and maintain the system [24].
Some components are prone to damage to dam infrastructure, like spillway gates,
hydraulic gates, dam instruments, etc. LCC analysis is based on many input costs,
and the rest usually requires significantly different information for the cost calcu-
lation of the dam project life cycle phase. The total cost of the economic life cycle is
usually considered with market applications. The LCC analysis includes all costs to
be assessed. The cost usually includes the tendered amount (investment price) and
the minimum costs of energy. However, maintenance and other related costs are
often required in the demand information [25]. Operational costs represent costs
that arise at the operating stage of the dam. The residual value of the structure
depends on the decision to destroy, where the materials can be recycled or

reconstructed to allow the reuse of structural components [23]. In the dam infras-
tructure, which is concrete construction, it can be considered that there is no
residual value.
The life cycle of a dam generally consists of two stages: the project, design, and
construction stage, and the service and demolition stage. All explicit funds that are
consumed in these two stages are called direct costs. The negative technical impacts
on society and people in these two stages are indirect costs, such as environmental
pollution and displacement of residence. Direct costs can be divided into the fol-
lowing sections: initial costs, detection costs, reinforcement costs, failure costs, and
residual project value [18].
Initial Costs The cost required to complete the water conservation project con-
struction. That is, the funds spent in the project, design, and construction stages.
The manpower and material resources in the construction phase are all construction
costs. According to industry standards, planning and design costs are considered a
percentage of construction costs, generally 3–5% [18]. The costs at this stage are
related to the costs of the construction company. These costs include the manpower
required in extracting and manufacturing materials and the cost of transporting them
to the construction site [26]. In construction projects of the dam, feasibility studies
and preliminary tests will bring considerable costs, exceeding the construction time.
Therefore, these costs are part of LCC [19].
Detection Costs A water conservation project service phase, required to monitor
and detect structures. Safety problems and potential hazards in a project can be
identified mostly through detection or patrol [18].
Reinforcement Costs Maintenance costs of the dam are included in this cost. They
have performed before the structural reliability is reduced to the minimum value
permitted by the standard. Maintenance measures are taken to reduce the likelihood
of engineering failures and extend service time to ensure the safe operation of the
infrastructure. The maintenance procedure includes four work processes, such as
engineering failure investigation, maintenance plan design, construction quality
control, and acceptance [18]. The single maintenance cost is the sum of the four
process costs. Over time, when the structure’s performance is reduced to the
minimum allowable requirements or the dam’s safety is threatened, action must be
taken to strengthen the structure to improve performance and ensure safe project
operation. In the final stages of structural life, measures must be taken to slow the
breakdown rate and effectively reduce maintenance costs. The maintenance of the
dam must be constantly adapted to changing conditions throughout its life cycle.
The operator and the state must closely monitor it to ensure public safety in
practical management [16]. The engineering component upgrade can restore the
structure’s performance to the original construction level, which can improve the
structure’s performance and slow the speed of failure down [18].
Failure Costs Cost of losses caused by accidents in water conservation projects.

A serious accident will result in the loss of life and the safety of the property of the
downstream community. Minor accidents will result in structural failure and loss of
benefits. Apart from causing direct loss of economic property, serious accidents will
also negatively impact society and the environment, resulting in indirect losses.
During the project’s life, inspection and maintenance aim to minimize the possi-
bility of dam failure. However, it is impossible to ensure the absolute safety of the
project [18].
Residual Project Value The project’s life is t years and cannot be used after T
years, but there is still a residual value. In general, concrete structures have no
residue. The value and cost of demolition are usually estimated to correspond to a
percentage of the initial construction cost [18].
One aspect of LCC that has not been thoroughly studied is its potential to ensure
sustainable service delivery [15]. The lack of comprehensive analysis covering all
phases of an asset’s life could be one reason the LCC is not necessarily seen as a
good budgeting tool [27]. Although life cycle costs theoretically include all costs in
different life cycle phases. The implementation of LCC must be extended over the
life of the asset. The process helps to monitor the relationship between the eco-
nomic performance of the asset and the expectations set at the project beginning,
and maintain or extend the useful life of the assets or system, to maintain a certain
level of performance, such as control slippage and maintain the sustainability of
dam services. Ultimately, this can ensure that the number of system failures is
reduced, costs are minimized, system efficiency, financial stability, and service
sustainability are improved. Generally, the reliability design literature often reports
the basic probabilistic cost optimization in the maintenance strategy, but there is
usually a lack of cost accounting. The cost of failure is compared with the cost of
preventive maintenance to find the best preventive or corrective maintenance
strategy [28]. Based on the asset’s value to the community and the best time when
such an event occurs, LCC can be used in this decision-making process to assess
the feasibility of repair or replacement. It is significant for asset owners, asset
managers, and service providers.
5 Conclusion
Based on the discussion above, we can conclude that as one of the infrastructures
with long service life, the application of the LCC on the dam will help map the
costs at each phase of the dam’s life cycle. So that more economical financing is
obtained. LCC implementations use capital investment, which is the upfront cost to
build or provide infrastructure. This includes operational costs, covering various
costs such as utilities, manpower, insurance, facilities, health, and routine and
scheduled maintenance. Another benefit of applying LCC on the dam is that it can
minimize dam failures due to limited costs or errors in dam maintenance.
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An Explorative Study to Public Rental
Housing’s Tenants Using Importance
Performance Analysis
Indira Surya Kumala and Farida Rachmawati
Abstract Due to land scarcity and high land price in the city center or the area
close to workplace, has led local government to build public rental housing. It is
also expected to be the pathway to home ownership. This study aimed to determine
tenants satisfaction based on the conformity between the desired expectations and
the reality received by the tenants of the public rental housing called Rusunawa.
There were three indicators: Building Performance Evaluation (BPE), maintenance
quality and service quality (servqual). However, this paper only focuses on service
quality (servqual) as this paper will contribute to the improvement of Rusunawa
services on the invisible side. This study identified 12 attributes. Data were col-
lected by distributing questionnaires with a total of 231 tenants who were accepted
in four Rusunawa with different building ages. In this study, the Importance
Performance Analysis (IPA) method is used to produce a Cartesian diagram that
can describe four quadrants where quadrant I contains service quality attributes
which are a priority to be repaired in order to improve the quality of existing
Rusunawa and as an evaluation material for the construction of a new Rusunawa.
Keywords Tenants satisfaction Public rental housing Servqual Importance

and performance analysis
1 Introduction
Land scarcity in the urban area and increasing population have resulted in complex
problems as a result of horizontal development so that more low-income people are
homeless [1, 2]. The housing backlog problem has dominated the housing policy
made by the Indonesian government to prioritize low-income people by paying
attention to aspects of housing affordability [3]. For this reason, a solution is needed
to accommodate a large population with less land area by developing vertically so
I. S. Kumala (&) F. Rachmawati

Department of Civil Engineering, Institut Teknologi Sepuluh Nopember, Surabaya, Indonesia
e-mail: indirasuryakumala25@gmail.com
https://doi.org/10.1007/978-981-16-7949-0_49
544 I. S. Kumala and F. Rachmawati
that saving land is one of the efforts in sustainable development [1, 2]. Sustainable
development can be achieved if the building can maintain its quality, save costs in
the short and long term, the conditions inside the building and the environment are
good, durable, low maintenance costs, environmentally friendly [4]. The focus on
sustainable development for low-income communities is to increase the balance
between the need to seek business profits without sacrificing the environment and
the needs of society [4].
Many problems that arise in the post-occupancy of vertical houses include slum
occupancy, and residents do not have an awareness of caring for, noise, lack of
privacy, inadequate public facilities so that the quality of life of the residents
decreases [2]. Low-income people often complain that the buildings they live in are
not designed to fit their needs and meet their expectations even though building
planners have tried to design according to predetermined requirements. This is a
misunderstanding on both sides so that feedback from the tenants is needed after the
building is completed as an evaluation material [4, 5]. Understanding tenants needs
can be used as a guide to determine more effective resources by adjusting to the
occupants’ needs in evaluating the performance of a building [6].
Currently, many efforts are being made to carry out maintenance and repairs
only by considering tenants’ input. In other words, the management considers a lot
from a technical point of view without considering whether the tenants are com-
pletely satisfied with the services provided or not [7]. Maintenance in service
quality does not only see the results, namely the maintenance product but also the
process, namely the way of service in maintenance. Service quality is a technical
quality that is what tenants actually receive during interactions with service pro-
viders and functional quality, namely technical results [3]. Complaints raised in
service provision can be a profitable strategy because they provide benefits to all
stakeholders, can save costs and reduce repetitive work [8]. The importance of
measuring service quality, among others, is to ensure that tenants’ needs are met,
provide benchmarks, set standards for comparison, get a picture of resource allo-
cation, and can provide feedback [9] Lack of attention to measuring attributes in the
service delivery process can have an impact on the final result, namely building
quality and building age so that this study aims to identify the priority service
quality attributes to get improvements in the evaluation of tenants satisfaction based
on the age of the building using Importance Performance Analysis which includes
gap analysis and quadrant analysis.
2 Research Theory and Methods
2.1 Tenant Satisfaction
The paradigm of “satisfaction” has revolutionized almost every formation of an

organization which has become an attitude in ensuring the highest service delivery
to manage one’s expectations [10]. Tenants satisfaction is an evaluative assessment
An Explorative Study to Public Rental … 545
after the occurrence of certain interactions that depend on past experiences. In other
words, quality takes precedence for residents therefore it is not only based on the
predetermined specifications but also on user perceptions [11]. In terms of service
quality, host feedback can be positive (praise or suggestion) or negative (com-
plaint). Most studies focus on negative feedback because it is a problem that must
be solved [12]. Responding to tenant complaints is a targeted operational effort to
find solutions to negative tenant feedback and the quality of post-complaint service
should also be considered [13]. Lack of interaction between the service provider
and tenants causes dissatisfaction. This shows that service providers need to pay
attention to tenants feedback so that solutions can be found and immediately
addressed [14]. Good communication with tenants is an effective tool to collect
tenant feedback and trained employees affect the performance of service providers
[15]. It is very important for service providers to know which service attributes add
value and increase satisfaction and which meet only minimum requirements and
minimize dissatisfaction [16]. Measurement of service attributes contributes more
to the delivery of effective and efficient services related to property maintenance to
meet tenants expectations which result in tenants feedback regarding satisfaction
assessments used for building quality, which results in benchmarks in improving
service quality in multi-story tenants buildings [8].
2.2 Service Quality
Employees or physical resources or goods or service provider systems as a solution

to solving customer problems [3]. Service quality is the difference between the
desired expectations and the service perceived by the tenants. If the services pro-
vided are less than expected, the tenants will be dissatisfied. Perception is an
influencing factor to consider to compare between satisfaction and services pro-
vided [17]. Service quality is an abstract and elusive construct because of three
features unique to services: intangibility, heterogeneity and inseparability of pro-
duction and consumption [3, 17]:
• The first feature of services is intangibility, where it is not only the quality of
maintenance results that is a concern but also the quality of service for tenants.
Paying attention to service quality makes it difficult to reach the target tenants’
expectations because service quality is intangibility so that it cannot be mea-
sured and standardized. This causes service providers to find it difficult to
understand how tenants value service and evaluate service quality.
• The second feature of services is the heterogeneity in which services are con-
sidered heterogeneous in that the variation in performance can occur from
producer to producer and from tenants to tenants. The services examined
involve individuals from different categories so that they appear heterogeneous.
Service quality evaluation depends on the maintenance services provided by the
service provider.
• The third feature of services is the inseparability of production and consump-

tion, where the quality occurs during service delivery, namely the interaction
between residents and service providers. Service quality occurs by the interac-
tion of the three parties, namely the owner, tenant and service provider.
With respect to the Total Maintenance Scheme, the above review on three
features of services suggests three underlying themes:
• Service Quality is not evaluated on the end result of product maintenance
quality alone.
• Perceptions of service quality resulted from a comparison of tenants expecta-
tions with perceived service performance.
• The quality evaluation is not only based on service quality results but also
evaluates the service delivery process, namely the interaction between tenants
and service providers.
2.3 SERVQUAL
SERVQUAL is a model that measures the difference between expectations and

perceptions regarding service [15, 17] which focuses on tenants satisfaction as the
main driver for creating service improvements, productivity and profit optimization
[7]. But SERVQUAL cannot consider the dynamics of growing expectations and
focuses only on the service delivery process but not on the results of service
delivery so it cannot accurately measure the end result of the service delivered [10,
15]. Parasuraman et al. [17] identified five broad dimensions, namely tangibles,
reliability, responsiveness, assurance, and empathy which are widely applied to
measure service quality. The following five dimensions are modified as follows to
fit the context of the total maintenance scheme [17, 18]:
• Tangibility: physical facilities, equipment and appearance of personnel
• Reliability: ability to perform the promised service dependably and accurately
• Responsiveness: willingness to help customers and provide prompt service
• Assurance: knowledge and courtesy of employees and their ability to inspire
trust and confidence
• Empathy: caring, individualized attention the firm provides for its customers.
Service quality gap (gap) is the difference between tenants’ expectations and per-
ceptions of services that illustrates the level of satisfaction as presented on Eq. 1 [8].
Service Quality Score ¼ Average expectation score Average perception score ð1Þ
2.4 Research Methods
Based on the literature review identified 12 attributes derived from service quality
can be seen in Table 1. Primary data was obtained from respondents’ assessment of
the interests and performance using a questionnaire with a Likert scale of 1–5. Type
scale (1 representing “not important”, 2 representing “very important”, 3 repre-
senting “important”, 4 representing “important”, and 5 representing “very impor-
tant”). The population in Penjaringansari II is 288 tenants, Wonorejo II is 192
tenants, Grudo is 100 tenants, and Gunung Anyar is 65 tenants. For sample
determination, the solving formula is used as displayed on Eq. 2 [19].
N
n¼ ð2Þ
1 þ NðeÞ2
where n = sample size, N = population size, E = margin of error or maximum error
measured (assuming 10% = 0.1). So that a total sample of 231 respondents of
public rental housing was obtained, 75 respondents from Penjaringansari II, 66
respondents from Wonorejo II, 50 respondents from Grudo, and 40 respondents
from Gunung Anyar using incidental sampling with the consideration that they are
the original residents of the flats who live in public rental housing every day. Data
Table 1 Identification of research variables for service quality criteria assessment

Variables Code Attribute
Tangibles [20] t1 Service providers explain the information needed by tenants
correctly
t2 Service providers maintain the cleanliness and tidiness of the
work area
Empathy [20– e1 Service providers understand the needs of the tenants
22] e2 Service providers have effective operating hours
Responsiveness r1 Service providers respond to requests and complaints of tenants
[20–23] quickly and precisely
r2 Service providers are available when there are special requests
from tenants
Reliability [20– re1 Service providers respond to requests from tenants according to
23] the promised time
re2 Public rental housing prices are in accordance with the facilities
provided
re3 The terms of acceptance as tenants are carried out in accordance
with the applicable regulations
re4 The rules of the public rental housing were strictly enforced
Assurance [20, as1 Service providers have knowledge and skills in dealing with
21] complaints
as2 Service provider ensures that the rental duration is in accordance
with the duration stated in the rental contract
were analyzed using the Importance Performance Analysis including Gap Analysis
and Quadrant Analysis. The research variables for service quality criteria assess-
ment are as displayed on Table 1.
3 Result and Analysis
3.1 Gap Analysis of 12 Servqual Attributes
The gap is the difference between X (the tenants’ expectations) and Y (the tenants’
perceived reality). Based on Tables 2 and 3, it can be seen that all gaps are negative,
which means that none of the attributes meet the expectations of the occupants [24].
It was found that the biggest gap in public rental housing named:
(1) Penjaringansari II is attribute r1 (Service provider respond to requests and
complaints of tenants quickly and precisely) = −1.55 (2) Wonorejo II is attribute
re1 (Service provider respond to requests from tenants according to the promised
time) = −1.26 (3) Grudo is attribute r1 (Service provider respond to requests and
complaints of tenants quickly and precisely) = −1.02 and (4) Gunung Anyar is
attributed re4 (The rules of the public rental housing were strictly enforced) =
−2.10. While the smallest gap occurs in the same attribute is the attribute re2
(Public rental housing prices are in accordance with the facilities provided) which is
found in the public rental housing named (1) Penjaringansari II = −0.48
(2) Wonorejo II = −0.42 (3) Grudo = −0.10 and (4) Gunung Anyar = −0.40. The
bigger the gap that occurs, the worse the assessment of the attributes of the research
or the less fulfilled the expectations of tenants of public rental housing for the
perceived reality. The smaller the gap that occurs, the better the assessment of the
attributes of the research or the fulfillment of the expectations of tenants of public
rental housing regarding the perceived reality [24]. The gap between importance
and performance in four public rental housing is also interpreted on a radar chart.
As shown in Figs. 1, 2, 3, and 4. It can be seen that the Grudo Public Rental
Housing radar chat which has a line of importance and performance that coincides
or is close to each other and the opposite occurs in Penjaringansari II and Gunung
Anyar.
3.2 Quadrant Analysis
The determination of the quadrant comes from the cartesian diagram depiction.
Where is Quadrant I (low performance, low and high importance), which means the
main attribute that is emphasized more by tenants, but the performance of the public
rental housing has not satisfied the tenants so it is “Concentrate here”. Quadrant II
(high performance and high importance), which means that the main attribute that
Table 2 Gap analysis of 12 Servqual attributes for Penjaringan II and Wonorejo II

Code Penjaringan II Wonorejo II
X Y Gap % X Y Gap %
t1 3.85 4.49 −0.64 86 3.70 4.41 −0.71 84
t2 3.63 4.56 −0.93 81 3.53 4.55 −1.02 78
e1 3.41 4.44 −1.03 77 3.38 4.45 −1.08 76
e2 3.60 4.39 −0.79 84 3.82 4.29 −0.47 89
r1 3.09 4.64 −1.55 67 3.47 4.67 −1.20 74
r2 3.03 4.55 −1.52 67 3.65 4.24 −0.59 86
re1 3.29 4.63 −1.33 71 3.33 4.59 −1.26 73
re2 4.05 4.53 −0.48 89 4.08 4.50 −0.42 91
re3 4.04 4.61 −0.57 88 3.79 4.58 −0.79 83
re4 3.84 4.59 −0.75 84 3.79 4.56 −0.77 83
as1 3.60 4.53 −0.93 84 3.61 4.48 −0.88 80
as2 3.80 4.47 −0.67 85 3.76 4.44 −0.68 85
Mean suitability 80 82
Table 3 Gap analysis of 12 Servqual attributes for Grudo and Gunung Anyar
Code Grudo Gunung Anyar
X Y Gap % X Y Gap %
t1 3.98 4.32 −0.34 92 3.78 4.38 −0.60 86
t2 3.96 4.34 −0.38 91 3.48 4.53 −1.05 77
e1 3.86 4.30 −0.44 90 3.18 4.50 −1.33 71
e2 3.76 4.36 −0.60 86 3.33 4.45 −1.13 74
r1 3.44 4.46 −1.02 77 3.50 4.53 −1.03 77
r2 3.58 4.12 −0.54 87 3.78 4.25 −0.48 89
re1 3.58 4.44 −0.86 81 3.73 4.43 −0.70 84
re2 4.38 4.48 −0.10 98 4.20 4.60 −0.40 91
re3 4.12 4.34 −0.22 95 3.98 4.43 −0.45 90
re4 4.04 4.42 −0.38 91 2.70 4.55 −1.85 59
as1 3.58 4.30 −0.72 83 3.40 4.38 −0.98 78
as2 4.14 4.26 −0.12 97 3.85 4.38 −0.53 88
Mean suitability 89 80
the tenants emphasize is the performance of the public rental housing that has
satisfied the tenants so that it is “Keep up the good work”. Quadrant III (high
performance and low importance), which means that the main attributes of the
tenants are not emphasized, but the performance of the public rental housing has
exceeded the tenants’ expectations so that it is a ‘Possible overkill’. Quadrat IV (low
performance and low importance), which means that the main attributes that tenants
will not pay attention to and the performance of the public rental housing has not
satisfied tenants so it is a ‘Low priority’ [24]. Quadrant I contain attributes that must
Fig. 1 Radar chart t1

Penjaringansari II 5.00
as2 t2
4.00
as1 3.00 e1
2.00
1.00
re4 0.00 e2
re3 r1
re2 r2
re1
Performance Importance
Fig. 2 Radar chart Wonorejo t1

II 5.00
as2 t2
4.00
as1 3.00 e1
2.00
1.00
re4 0.00 e2
re3 r1
re2 r2
re1
Importance Performance
Fig. 3 Radar chart Grudo t1

5
as2 t2
4
as1 3 e1
2
1
re4 0 e2
re3 r1
re2 r2
re1
Fig. 4 Radar chart Gunung t1

Anyar 5.00
as2 t2
4.00
as1 3.00 e1
2.00
1.00
re4 0.00 e2
re3 r1
re2 r2
re1
be corrected immediately. Based on Figs. 5, 6, 7, and 8 in the public rental housing

named (1) Penjaringanansari II there are five attributes, namely t1, e2, re2, as1, as2.
(2) Wonorejo II has four attributes, namely t2, r1, re1, as1. (3) Grudo has three
attributes, namely e2, r1, re1. (4) Gunung Anyar Flats has five attributes, namely t2,
e1, e2, r1, re4. The lowest attribute assessment of Quality Service are
Fig. 5 Importance performance analysis of Pejaringansari II public rental housing

Fig. 6 Importance performance analysis of Wonorejo II public rental housing
Penjaringansari II and Gunung Anyar flats with five attributes that are in Quadrant I.
For the results of Quadrant II, III, and IV can be seen from Tables 2 and 3). It can be
seen that the attribute that is always in quadrant I of the four public rental housings is
the reliability attribute with code (re). In line with the theory that in terms of
measuring customer perceptions of service quality, reliability is considered as one of
the core dimensions. Customers may expect to do business again with such an
organization, which is renowned for keeping their promises. Consequently, customer
reliability expectations should be well studied by all service providers [21].
4 Conclusion
This study aimed to identify the tenants satisfaction attributes of public rental
housing in Surabaya which are the priority to be improved. The literature review
was used to obtain 12 attributes of residence satisfaction based on Service Quality
using the Servqual dimension. The questionnaire was distributed to a total of 231
tenants containing the assessment of the satisfaction of living in four public rental
housing which represent different building ages, namely Gunung Anyar Public
Rental Housing representing 0–5 years, Grudo Public Rental Housing representing
Fig. 7 Importance performance analysis of Grudo public rental housing
6–10 years, Wonorejo II Rental public Housing representing 11–15 years, and
Penjaringansari II Public Rental Housing representing 15–20 years the results show
that Penjaringansari II, namely attributes t1, e2, re2, as1, as2 and Gununganyar
namely attribute t2, e1, e2, r1, re4 which have the lowest service quality attribute
ratings because they have five attributes that are in quadrant I ‘Concentrate here’
which is a group of attributes that are a priority to be fixed. When there are many
complaints about the quality of maintenance and quality of buildings that are
ignored, it can cause the quality of maintenance and the quality of the building to
decline which is the result of poor service quality delivery that can affect the age of
the building. This shows that a public rental housing with a building age at least
does not necessarily have a high level of service quality attribute rating because it
depends on the services provided. Future research can close other research gaps by
formulating improved strategies, especially for areas in the main concentrated
quadrant. So, it can be used as an evaluation material for stakeholders to consider
and make policies.
Fig. 8 Importance performance analysis of Gunung Anyar public rental housing
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Modeling of Conceptual Framework
to Understand Stakeholders’ Awareness
in Construction Industry in Thailand
Affected by the 3rd Wave of COVID-19
Pandemic
Nattasit Chaisaard and Grit Ngowtanasuwan
Abstract The latest 3rd wave of COVID-19 pandemic is occurring globally from
2020 to 2021 without any sign of significant diminishing. More variants of coro-
navirus 2019 mutation have been found in Thailand, together with a high mortality
rate. While vaccination, an important national agenda, could not yet control the
pandemic, the pandemic has caused difficult circumstances in labor-intensive
industries, especially the construction industries. Consequently, the researchers
became interested in studying the conceptual framework to understand stakehold-
ers’ awareness in the Thai construction industry affected by the 3rd wave of the
COVID-19 pandemic, especially during April–May 2021. And hence did as
follows. At first, the researchers studied literature reviews from various academic
articles and online databases and gathered information through in-depth interviews
via collaboration tools such as the Microsoft team and zoom applications in
communicating with thirteen experienced construction practitioners. Secondly, the
researchers validated the information and developed a conceptual framework model
of stakeholders’ awareness in the construction industry in Thailand. In the model,
the researchers found that the pandemic changed the attitudes of Thai practitioners,
both confident and satisfaction attitudes, affected working practices, and necessi-
tated stakeholders to assess effects on construction projects and formulate future
policies and practical measures at executive and operational levels.
Keywords Conceptual framework Stakeholders’ awareness COVID-19

pandemic
N. Chaisaard (&)
Construction Management Program, School of Management Science, Sukhothai
Thammathirat Open University, Nonthaburi 11120, Thailand
e-mail: nattasit.chaisaard@gmail.com
G. Ngowtanasuwan
Construction Management Program, Faculty of Architecture, Urban Design and Creative
Arts, Mahasarakham University, Maha Sarakham 44150, Thailand
https://doi.org/10.1007/978-981-16-7949-0_50
558 N. Chaisaard and G. Ngowtanasuwan
1 Introduction
The COVID-19 pandemic has been a major global health crisis for decades. Apart
from the unprecedented number of deaths and hospitalizations, the plague has
resulted in economic slowdowns, extensive business disruptions, and significant
adversities [1, 2]. Yet another pathogenic HCoV (human coronavirus) initially
found in December 2019 next to SARS-CoV and MERS-CoV (the Middle East
Respiratory Syndrome coronavirus), the novel coronavirus, “Coronavirus disease
(COVID-19)”, was first recognized in Wuhan, the People’s Republic of China with
unprecedented rates of infection and death so high that Public health authorities and
World Health Organization, WHO, initiated preparedness and response activities
[3, 4]. March 11, 2020, WHO designated “coronavirus disease 2019” (COVID-19)
to be a global pandemic [5, 6] and found it could be infectious even before the
significant symptoms appear [7]. However, based on currently available data,
people who have symptoms account for the majority of virus spread. Then a new
ripple, the 3rd wave of the pandemic, is occurring globally throughout the year
2020 to 2021, especially in Thailand between April and May 2021, without any
sign of significant diminishing. Although globally, WHO has declared vaccination
an important mission toward herd immunity of the world’s population, still many
countries, particularly Asian and Southeast Asian countries continue to extremely
experience the pandemic with high mortality rates for several consecutive months
since last year. Especially in India, as of late May 2021, there were more than
27,367,935 people infected with COVID-19 [8], with the total mortality rate high
over 315,263. ASEAN countries such as Singapore, Malaysia, and Thailand have
all suffered such severe consequences. Particularly Thailand, although it could
control the situation well in the early period of the pandemic last year in 2020, has
been hit by the new 3rd wave of the pandemic from early April 2021. Also, the new
variants from coronavirus 2019 mutation are defined and classified as follows:
(1) variant of interest, (2) variant in concern, and (3) variant of high consequence.
Specifically, a variant of interest requires appropriate public health actions such as
enhanced sequencing-based surveillance, boosted laboratory characterization, or
epidemiological investigations to assess the extent of viral spreads, the severity of
disease, and the efficacy of therapeutics and currently authorized vaccines [9].
While the viral mutations spread quickly and easily across Asian countries, par-
ticularly Thailand, where outbreaks of many strains have been found. According to
the report from the Department of Disease Control (DDC) in Thailand, as the latest
May 27, 2021, there were 920 deaths, 143,280 infected patients, 50,595 of which
were in the public health system [10]. Apart from the widespread health crisis, the
COVID-19 pandemic has resulted in a nationwide economic downturn in Thailand
together with realms of socio-economic and cultural impacts [11]. Like other
countries, Thailand has faced the same problems precisely from the massive
shrinkage of demand in the economy that disrupts airlines, restaurants, service
businesses, manufacturing, and retail industries, particularly high labor-intensive
industries like construction industries. Thai stakeholders such as project owners or
Modeling of Conceptual Framework to Understand … 559
investors, end-users, architect and engineer (A/E) designers, construction project

consultants, supervisors, technicians, and important parties, particularly contractors,
are directly and indirectly impacted by the COVID-19 pandemic. So, the
researchers have planned to study literature reviews from various published articles
of both international and domestic contexts for clearer understanding and mean-
while gathered information through in-depth interviews via the collaboration tools
such as Microsoft team and zoom applications to communicate with thirteen
experienced construction practitioners. And then developed a conceptual frame-
work to understand awareness of stakeholders in the Thai construction industry
affected by the 3rd wave of COVID-19 pandemic from April 2021—present. While
collecting necessary information by prompt in-depth interviews, the researchers
compared the finding to the research articles, and online databases earlier studied to
create and modify a model. In the model, the researchers found that the pandemic
changed the attitudes of Thai practitioners, both confident and satisfaction attitudes,
affected working practices, and necessitate stakeholders to assess effects on con-
struction projects and formulate future policies and practical measures at executive
and operational levels.
2 Research Background
The COVID-19 pandemic has put labor-intensive industries at much risk that
practitioners in the construction industries around the world are facing high prob-
abilities of COVID-19 transmission. Their knowledge, particularly attitudes, and
practices (KAP), are so critical to prevent virus spread [12] that the practitioners in
China generally have optimistic attitudes in battling against the COVID-19 con-
tagion and are satisfied with the Chinese governments’ contingency measures [12].
Thus the researchers needed to explore further in the context of the Thai con-
struction industry for better understanding by contrasting political, economic, and
cultural aspects. Whereas both Chinese and typical Thai practitioners in Thailand
tend to actively take preventive measures such as checking body temperature,
wearing face masks, and keeping safe social distance continually [4, 12], the
researchers need to study more about the actual practices, particularly in identifying
and adopting safety measures recommended for the safe operation of construction
workplaces. The taskforce staff continuously updates the operational plan, offers
practical guidance to the site leadership on work management in construction
workplaces, and determines the acceptance of safety measures presented to workers
and site personnel on the safety risk of COVID-19 and safety management [1].
Whether such procedures are carried out in Thailand, the researchers need to
explore the real in-depth practices in the Thai construction industry by following
the guidelines [1, 4, 12, 13] on contract management practices and procedures on
various waiver compensation. Those guidelines are as follows: (1) strict access to
an organization or workplace, (2) operation in an organization or workplace still are
limited due to worker density, (3) verified attendance records, (4) coordination and
communication by smart devices and applications to avoid confrontation, (5) stan-

dard setup and organization of working condition, (6) adequate public communi-
cation and recommendation especially on working procedures for those in work
units and places. There are general measures in maintaining the social distancing
between individuals, wearing face masks along with temperature measurements,
and other special measures and requirements such as determination of working
zone, the entry and exit routes in construction site, disinfectant spray with the
dedicated station for hand cleansing, ventilation system setup, the organization in
the dining area, toilets, building-material storage, and waste sort-out, etc. Since
almost the entire construction industry in Thailand employs migrant workers from
neighboring countries such as Cambodia, Myanmar, and Laos, such migrant
workers must be strictly inspected in conjunction with firm procedures. Focusing on
common points with possible impacts in the international context [1, 12], the
researchers modified the information to the context of the Thai construction
industry and conducted an in-depth interview to confirm consistency. The infor-
mation from the interview was compiled and revised to create a conceptual
framework as defined by [14, 15] and used to form a network of conceptual dia-
grams to provide a comprehensive understanding of the phenomenon being studied.
The conceptual framework consists of factors and indicators that affect each other
within the framework [14]. There are eight steps in formulating a conceptual
framework as follows: (1) mapping the selected data sources, (2) extensive reading
and categorizing the selected data, (3) identifying and naming concepts, (4) de-
constructing and categorizing concepts, (5) integrating concepts, (6) synthesis and
re-synthesis to finalize the best approach, (7) validating the conceptual framework,
(8) rethinking the conceptual framework.
3 Research Method
First, an in-depth interview technique [16] is applied to develop the conceptual

framework model to understand the awareness of stakeholders in the construction
industry in Thailand impacted by the 3rd wave of the COVID-19 pandemic. The
method was as follows:
3.1 Identification of the Factors
First, the researchers studied, assessed factors and related variables in related works
of literature such as academic articles and online databases, and associated the data
from informal talks with experienced practitioners to compile all relevant factors to
be collected and grouped.
3.2 Validation of the Factors
The researchers confirmed the listed factors with thirteen experienced construction
practitioners in related fields by an in-depth interview technique. The experienced
practitioners selected based on their professional experiences were as follows:
• Five construction project directors and/or managers with more than 20 years of
experience in the Thai construction industry.
• Three experienced practitioners from construction consultancy companies.
• Four experienced practitioners working as project supervisors from government
agencies.
• One experienced practitioner from an academic institution.
An in-depth interview is not only one of the most effective qualitative methods
for people, in this research, the experienced practitioners, to voice their personal
feelings, opinions, and experiences, but also gives an opportunity to gain insight
into how people interpret and order the world [16]. The researchers conducted the
interview via the collaboration tools such as the Microsoft team and zoom appli-
cations, observed the causal explanations, after saturated, sought consistency with
opinion confirmation, and then constructed the conceptual framework in the next
step.
3.3 Drafting the Conceptual Framework
The researchers compared the results from the in-depth interviews of thirteen
experienced practitioners with the data from related literature to create saturated
contents, drew nodes and arrows between each factor to create the first draft of a
conceptual framework, reconfirmed the first draft with some of the thirteen expe-
rienced practitioners for validation, and categorized the validated factors to create
the final conceptual framework.
4 Results
Opinions from thirteen experienced practitioners are arranged in sequential order of

factors starting from (1) attitude of the respondents, confident and satisfaction
attitudes, that caused (2) affected practices during the pandemic leading to (3) effect
assessment on construction projects by stakeholders in various construction
industries as itemized in Tables 1, 2, 3, and 4.
Tables 1, 2, 3, and 4 show each confirmed factor and its measurement as follows:
ATT, attitude of practitioners, categorized into two sub-factors, (1) CATT, confi-
dent attitude, consisted of 3 items (CATT1–CATT3), (2) SATT, satisfaction
Table 1 Confirmed factors (attitude of respondents: confident attitude) in conceptual framework

and their measurement items
Factor Item
Attitude of CATT1: I always felt anxiety and a lack of confidence at contacting
respondents (ATT) coronavirus (COVID-19) through my routine operations
Confident attitude CATT2: I feel tired of working during the COVID-19 pandemic
(CATT) CATT3: Since construction activities require interaction with
others. I believe that my colleagues and staffs in my organization
have a chance to contact COVID-19
Table 2 Confirmed factors (attitude of respondents: satisfaction attitude) in conceptual

framework and their measurement items
Factor Item
Attitude of SATT1: My agency executives are focused and well prepared
respondents (ATT) against the 3rd wave of the COVID-19 pandemic with regularly
Satisfaction attitude reminding of policies, plans, and preventive measures
(SATT) SATT2: My organization gives priority to personnel by providing
additional materials and supplies such as body temperature
monitoring devices, hand sanitizers, face masks, etc.
SATT3: I am willing to cooperate with my organization’s policies
on safety and hygiene reasons for myself, my colleagues, and my
agencies
SATT4: My organization is affected by the management policy of
government agencies to confront the 3rd wave of coronavirus
pandemic crisis
SATT5: During the 3rd wave of outbreak, my organization
encourages staff and workers to reserve vaccination against
COVID-19 according to government policy, to which I am willing
to cooperate
SATT6: I can work efficiently without any problems or obstacles
during the 3rd wave of the COVID-19 pandemic
attitude, consisted of 6 items (SATT1–SATT6); PRA, affected practice during the

pandemic, consisted of 10 items (PRA1–PRA10); EFF, effect assessment in con-
struction projects from the stakeholders’ viewpoints, consisted of 15 items (EFF1–
EFF15) respectively. Afterward, all factors and their measurement items were used
to construct the conceptual framework shown in Fig. 1. Consequently, the extended
framework included more details on items, variables, and their indicators shown in
Fig. 2.
Table 3 Confirmed factors (affected practice) in conceptual framework and their measurement
items
Factor Item
Affected practice PRA1: Contract management and project operations are compensated
(PRA) (e.g., extension period, abstinence, or reduction of the penalty fee)
PRA2: Operation in an organization or workplace is still limited by rules
on crowd gathering, worker density, and attendance record
PRA3: To coordinate and communicate without confrontation, smart
devices and applications are definitely used to support remote operations
PRA4: Organizing and setting standards of working conditions in
workplaces are tidier than usual
PRA5: Adequate public communication and recommendation, especially
on working procedures for those in working units and places
PRA6: There are strict measures in maintaining the social distancing
between individuals, wearing face masks along with temperature
measurements, etc. Maintaining hygiene in units or workplaces is
performed according to recommendations from government agencies
PRA7: There are other special measures. For instance, a determination of
working zone, the entry and exit routes in construction site, disinfectant
spray with the dedicated station for hand cleansing, ventilation system
setup, the organization in the dining area, toilets, building-material
storage, and waste sort-out, etc.
PRA8: There is a strict screening of people in the organization or
workplace. Those not involved are not permitted into the working area
PRA9: Migrant workers are subject to rigorous scrutiny and working
regulation by cooperating with government agencies
PRA10: Due to the volatility and uncertainty from the new potential
surge, unusual construction operation will continue in conjunction with
the hygiene system of the workplace in the future
5 Conclusions
To model a conceptual framework to understand the awareness of stakeholders in

the construction industry in Thailand affected by the 3rd wave of COVID-19
pandemic, the researchers studied factors related to attitudes of the stakeholders and
identified various factors from the related theories and literature reviews from
numerous sources of articles and online databases, most of which are recent, pre-
vious studies in the year 2020 to 2021. Then confirmed the factors with thirteen
experienced construction practitioners in related fields using the in-depth interview
technique, investigated and categorized the saturated opinions of thirteen experi-
enced practitioners to create the conceptual framework shown in Fig. 2 with atti-
tudes of the respondents, confident and satisfaction attitudes, and affected practices
of the stakeholders referred from [1, 4, 12]. All The factors were shown in Tables 1,
2, 3, and 4 respectively: ATT, attitudes of practitioners, categorized into two
sub-factors, (1) CATT, confident attitude, consisted of 3 items (CATT1–CATT3),
(2) SATT, satisfaction attitude, consisted of 6 items (SATT1–SATT6); PRA,
affected practices during the pandemic, consisted of 10 items (PRA1–PRA10);
Table 4 Confirmed factors (effect assessment in construction projects) in conceptual framework

and their measurement items
Factor Item
Effect assessment in EFF1: Effect on disruption on construction activities
construction projects (EFF) EFF2: Effect on labor shortages
EFF3: Effect on working period
EFF4: Effect on construction cost overrun
EFF5: Effect on the quality of work from construction
operation
EFF6: Effect on the financial aspect (accruals, delays, delays
in settlement of trade debt, late payment, and others)
EFF7: Effect on material and equipment shortage
EFF8: Effect on price hikes and fluctuations of construction
materials and equipment
EFF9: Effect on construction planning and scheduling of
working duration and/or project implementation
EFF10: Effect on inconvenient transportation, especially
labor movement across country and provinces according to
the order of the Center for COVID-19 Situation
Administration during the outbreak
EFF11: Effect on construction contract management and/or
contracts related to the construction transactions and
activities
EFF12: Effect on activities during operations as well as
scheduled work completion
EFF13: Effect on confidence on construction occupations
impacted by economic, social conditions and the future
uncertainty
EFF14: Effect on innovation and technology that will
transform the construction industry and working context in
the future
EFF15: Effect on the expectation of continual change
adapting to the future under the next normal’s working
culture and post-COVID-19 working context
EFF, effect assessment in construction projects from the stakeholders’ viewpoints,

consisted of 15 items (EFF1–EFF15). Afterward, the researchers drew a network
diagram from effect assessment, the attitude of the respondents, and affected
practice to create a conceptual framework of the awareness of stakeholders in the
construction industry in Thailand affected by the 3rd wave of COVID-19 pandemic.
Whereas all factors and their measurement items were used to construct the con-
ceptual framework as shown in Fig. 1, the extended framework included more
details of items, variables, and their indicators shown in Fig. 2, respectively. This
improved and expanded framework will be used in quantitative analysis to deter-
mine and formulate future policies and practical measures for Thai construction
stakeholders at the executive and operational levels.
Confident Satisfaction
Attitude Attitude
(CATT) (SATT)
Attitude of
Respondents
(ATT)
Effect Assessment
in Construction
Projects (EFF)
Affected
Practice
(PRA)
Fig. 1 Conceptual framework of the awareness of stakeholders in construction industry in

Thailand affected by the 3rd wave of COVID-19 pandemic
EFF1
EFF2
CATT1 CATT2 CATT3 SATT1 SATT2 SATT3 SATT4 SATT5 SATT6

EFF3
EFF4
Confident Satisfaction
Attitude Attitude EFF5
(CATT) (SATT)
Attitude of EFF6
Respondents
(ATT)
EFF7
Effect Assessment
in Construction
Projects (EFF) EFF8
Affected EFF9
Practice
(PRA)
EFF10
EFF11
PRA1 PRA2 PRA3 PRA4 PRA5 PRA6 PRA7 PRA8 PRA9 PRA10
EFF12
EFF13
EFF14
EFF15
Fig. 2 Detailed conceptual framework

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A Literature Review on Healthy
Buildings Based on Various Perspectives
Louferinio Royanto Amatkasmin, Mohammed Ali Berawi ,

and Mustika Sari
Abstract Existing healthy building standards and guidelines are based on the dose
exposure point of view, where certain doses of safe or comfortable exposure to
light, sound, air quality, water quality and indoor temperature are established. This
poses a substandard outlook of designing a healthy indoor environment which is
defined by more than just levels of exposure that are safe. This research presents a
literature review that provides a new outlook on healthy building which is more
user-centric and improves occupant quality of life by considering the mental and
physical health effects, and the effect of the built environment on its occupants.
Literature was collected on indoor environmental quality parameters: indoor air
quality, thermal comfort, visual comfort, and acoustic comfort in relation to dif-
ferent perspectives. The current body of knowledge still needs more research on
specific health effects of buildings on occupants in order to augment existing
standards and guidelines. Literature shows that there is a surge of awareness that the
buildings we utilize have a tremendous hold on our health and life quality. In the
future a shift in mindset and practice is essential to ensure further advancement in
the construction industry.
Keywords Healthy building design Indoor environmental quality Built envi-

ronment Green building
L. R. Amatkasmin (&) M. A. Berawi M. Sari

Civil Engineering Department, Faculty of Engineering, Universitas Indonesia, Jakarta,
Indonesia
e-mail: loufirinio@hotmail.com
https://doi.org/10.1007/978-981-16-7949-0_51
568 L. R. Amatkasmin et al.
1 Introduction
Healthy building design strives to minimize the negative impacts on the environ-
ment and to maximize the positive impacts of health and well-being that buildings
have on occupants. Although urbanization shows growing health costs and other
social consequences, we should also consider the positive impact buildings can
have on people as well as reducing the impact on our environment. A healthy
building is a building that is designed to be supportive to: the well-being of its
tenants and to the preservation of the environment [1]. Indoor environmental quality
concerns are therefore a determining factor in the design and must be assessed to
evade negative effects on the well-being and prosperity of its inhabitants. This does
not just include the use of healthy materials in the design (with consideration of
acoustic comfort, thermal comfort, pollution, etc.), but also promotes healthy living
amongst occupants by means of education about living healthily. A study was done
on educational building based healthy building design on three principles and main
groups proving that work environment has a big impact on health [2]. The first
principle is building placement on the site, landscape design, and connection to the
entire city. The second principle is designing healthy buildings (from a big idea,
construction, Mechanical, Electrical, and Plumbing (MEP), etc.). Lastly, the third is
interior design and its influence on human health. For the literature review,
emphasis will be placed upon the third principle; the design of a healthy building. In
order to construct an orderly review, a systematic approach to section division is
conducted based on three viewpoints: the perspective of the built environment, the
dose exposure parameter, and the occupant or end-user effect [3]. This paper pre-
sents a state-of-the-art analysis of research in the area of healthy building design
and occupant well-being in relation to indoor environment quality. The review of
literature is narrowed down to the design of healthy spaces and how it influences
the health of humans. Indoor environmental factors paired with the dynamic nature
of occupants in different building situations make for a complex system. Existing
healthy building standards (Leadership in Energy and Environmental Design
(LEED), Building Research Establishment Environmental Assessment Method
(BREEAM), WELL, etc.) and guidelines are based on the dose exposure point of
view, where certain doses of safe or comfortable exposure to light, sound, air
quality, water quality, and indoor temperature are set [3]. This poses a substandard
outlook of designing a healthy indoor environment, which is defined by more than
just levels of exposure that are safe. This new outlook which focuses not only on
levels of ‘safe’ exposure to indoor environmental factors, but also includes the
effects of the built environment on the occupant, and the mental and physical health
effects on occupants which are not considered enough in standards and guidelines.
Literature shows that there is still much more to be researched about the effects of
buildings on human health. The paper further discusses the various threats and
challenges emerging from research in this area to aid upcoming researchers in
establishing a proper foundation. The discussion is focused on establishing a
connection between Indoor Environmental Quality (IEQ) parameters with different
A Literature Review on Healthy Buildings Based … 569
perspectives to consider for healthy building design. The next section consists of
the methodology followed by the literature review, and the discussion section and
conclusions closing the paper with possibilities for future research.
2 Methodology
The focus of the literature review is to document literature and analyze vital sub-
jects derived from this study based on the perspective of the built environment, dose
exposure to indoor environmental factors and occupant effect in various situations.
Eventually, a way forward will be established for a more integrated approach to
designing healthy indoor environments. For this study, identification of literature is
carried out with the use of keywords for each point of view. The keywords used for
the search were:
• Built environment: visual comfort, acoustic comfort, thermal comfort, and
Indoor Air Quality ergonomics and design.
• Dose exposure: visual comfort, acoustic comfort, thermal comfort, and Indoor
Air Quality paired with occupant effect.
• End-user or occupant effect: illnesses, physiological effect, illnesses, and psy-
chological effect of the building on occupant well-being.
The articles were collected from ScienceDirect, Scopus, and Google Scholar.
The bibliographies of these articles were then “snowballed” to further identify any
relevant research that can contribute to the main thread. The collection of articles
are based on the latest research available from the search engines to maintain an
up-to-date view of current research. Finally, the analysis takes place where the
papers are analyzed according to their respective topics that stand for the sections in
this paper. The topics are: indoor air quality, thermal comfort, visual comfort, and
acoustic comfort relating to the built environment, effects on occupants, and dose–
response of occupants. The upcoming sections after the previous topics consist of
relevant issues that impact healthy building design greatly. With the recent
emerging trends of designing healthy buildings using healthy building guidelines,
the discussion creates a way to establish the current state of challenges researchers
are facing and help researchers propose a way forward. The discussion will help
provide a more holistic view of how healthy spaces relate to healthy people.
3 Healthy Building from Different Viewpoints
Indicators for healthy building performance can be viewed from various different
perspectives, a few to mention: the built environment (building and components),
the occupant or end-user (illnesses, workability, symptoms), and the dose or
environmental parameter (concentrations of indoor air pollutants, indoor tempera-

ture, lighting intensity, ambient noise level) [3]. In order to have a more holistic
approach towards assessing healthy buildings, we need to consider the complexity
involved when relating human health to buildings. Standards and guidelines for
healthy building are more focused on dose-related indicators rather than the
in-depth consideration of the different viewpoints, which are integrated into the
design process [4]. This may result in designers aiming to achieve the minimum
requirements for indicators, possibly negating the consequences.
Health insurance costs reported across several references indicate that a
sub-standard indoor environment is correlated with several health conditions and
illnesses such as colds, headaches, respiratory illnesses, musculoskeletal disorders,
back pain, and symptoms of SBS (sick building syndrome) [5]. Hence the
importance of discussing the subject of human health and well-being from a built
environment perspective as a topic that requires a substantial amount of field
research and experimentation. Occupant well-being is correlated with the built
environment due to the interaction of its users with systems that often case are
solutions or problems depending on the degree of focus placed on their lifestyle and
personal traits [6]. In order to successfully implement factors that are important for
a healthy living environment, designers face many challenges. The Comfort Houses
project discovered that analysis of the indoor environment and systems that are
user-friendly (and consider patterns of human behavior) are a part of the design
process for healthy building [6].
Research shows that design choices made in engineering and architecture con-
tribute to the physical and mental effects imposed on occupants through the built
structures they inhabit. The physical health problems that are caused by poor design
and construction have been studied to a greater extent than the mental health
problems [7]. Some indoor environmental parameters can be designed to extend
more control to the occupants, which gives them more freedom to personalize
according to their complicated individual needs. Thermal comfort (and visual
comfort (glare control, zone lighting controls, etc.) are two examples where engi-
neered control can be provided to the user, improving their physical and mental
health. The design of a healthy indoor environment, therefore, is not as marginal as
attending to the physiological issues through increasing the rates of ventilation,
improved ergonomics, sufficient and efficient lighting, heating and cooling systems
[5], but also the psychological issues. Emerging trends in research address the
psychological impact that design of spaces has on the mental health of occupants.
Based on research done by Dunleavy et al. [8] on IEQ, more specifically, indoor air
quality, thermal comfort, acoustic comfort, and visual comfort have been associated
with psychological distress. Aboveground workspaces are found to have a higher
negative psychological impact when indoor air quality, thermal comfort, and
lighting are of poor quality. Underground workspaces, however, have a higher odds
of psychological distress due to poor thermal comfort and acoustic comfort, as
found by Dunleavy et al. Healthy building guidelines focused on these parameters
may be helpful in countering the negative effects.
4 Indoor Air Quality
4.1 From a Built Environment Perspective
Research indicates that from a built environment perspective, ventilation systems,

the condition and design of the building, and occupant behavior have a big impact
on ventilation design. Occupant health depends on the quality of indoor air, and
thus the amount and quality of air entering the building from the outdoors is a major
concern. Designers address this concern by considering aspects like the heating,
ventilation, and air conditioning (HVAC) system, airflow throughout between the
spaces, user control of windows or doors, and systems for ventilating areas like
kitchens and bathrooms [9–12]. Both designers and occupants play a major role in
ensuring healthy indoor air. User-control over ventilation within the safe means,
considering the balance between low and high ventilation rates, is a challenge that
designers are facing today.
4.2 From an Occupant/End-User Perspective
Physiological Health Concerns According to Hoisington et al. [13], there are

health concerns for buildings with both low and high rates of ventilation. Areas
with low rates of ventilation can increase the build-up of carbon dioxide (CO2) due
to respiratory exhalation [14]. An excess amount of CO2 can serve as a carrier for
other indoor air pollutants that come from indoor activities like cleaning activities,
cooking activities (air fresheners, combustion, household equipment), and from
indoor materials (composite-wood materials, and flooring) and furnishings [15].
Furthermore, if there is an excess in moisture due to low ventilation, mold growth
may occur and can be particularly worsened in areas like kitchens and bathrooms;
its severity depending on occupant behavior [16]. Alternatively, high rates of
ventilation have higher odds of introducing unsafe amounts of outdoor air pollu-
tants into the indoors. These outdoor air pollutants include but are not limited to
carbon monoxide, ozone, nitrogen oxides, and sulfur oxides [17]. High ventilation
rates caused by the breach of the building façade does not only have higher odds of
unsafe outdoor air pollutants indoors but also hold risks to pest intrusion, moisture,
and bad thermal comfort [13]. Poor indoor air quality has been linked to SBS
symptoms (such as headaches, irritated eyes, blocked nose), and reduced work
performance. Therefore, designers need to provide satisfactory ventilation and
thermal comfort (to mention the HVAC system) in order to support the health and
productivity of its users [8].
Another indicator for indoor air quality is humidity, measured by Relative
Humidity (RH), which has been shown to have a link to stress responses, physical
activity, and sleep quality proven in one study which was conducted on a diverse
group of study subjects in office buildings [18]. The workers were monitored on
their heart rate for three days consecutively, during which RH and temperature were
measured in their workplaces. The study mentions the concern of the relaxation of
thermal comfort standards on RH over the last 30 years, emphasizing that the initial
accounts of American Society of Heating, Refrigerating and Air-Conditioning
Engineers (ASHRAE) standards not possessing a lower limit for RH is false and
that there is in fact proof of a lower limit. The study found that workers exposed to
an environment with an RH of 30–60% experienced lower stress responses and
better sleep quality than those outside the range (25% or less); suggesting that the
range for RH should be narrower for optimal health (between 45 and 60%).
According to one study higher rates of ventilation is correlated with negative
physiological effects like asthma and asthma-like complaints, and persistent
coughing [18]. Higher rates of ventilation may reduce the humidity in the building,
affecting the relative humidity in indoors. Initial studies associated high or low RH
with the development of health problems in occupants such as asthma, SBS, dry
and irritated mucous membranes of the eyes and airways [19–21]. In addition, low
RH increases the odds of infection, irritation, and fatigue from moisture reduction in
the precorneal tear film of eyes, negative mental impacts associated with dehy-
dration, and increased risks of contracting influenza [21–23]. Lastly, dry air con-
ditions may be linked to increased levels of cortisol in the skin which in turn may
result in the weakening of our immune system response [24].
Another study on Indoor Air Quality (IAQ) which was conducted on a sample of
148 office rooms across several European countries which relates concentrations of
indoor air pollutants (volatile organic compounds) with reported health symptoms
among workers, found that higher concentration of VOCs had higher odds of
reporting health symptoms. The study concluded that xylenes were linked to
headaches, tiredness and skin symptoms, ethylbenzene with eye irritation and
respiratory symptoms, a-pinene with respiratory and heart symptoms, d-limonene
with headaches and tiredness, and styrene with skin symptoms. Moreover, alde-
hydes like formaldehyde, acrolein, propionaldehyde, and hexanal were linked to
respiratory, general symptoms, heart symptoms, and general SBS. Ozone was
associated with almost all symptom groups [25].
Psychological Health Concerns There is a lack of research done on the topic of air
quality indoors on psychological health, but there have been multiple studies on
outdoor air pollutants relating to mental health. Even though it is of different
sources, these studies may prove useful in providing some insight on the impact of
air quality on psychological health. One literature review done by Hoisington et al.
[13] has mentioned several studies (on men and women) conducted in countries like
the US, China, and South Korea where unsafe amounts of exposure to air pollutants
like SO2, NO2, CO, PM10, PM2.5 were linked to suicide, anxiety, and depression.
Alongside this study, another study has proven that proper IAQ has been linked to
lower levels of stress. This discovery was found due to occupants participating and
producing feedback concerning the maintenance of the building ventilation system
[8]. Arguably, occupant behavior and participation can play a big determining
factor in the success of establishing proper IEQ in a building. The same study
estimated and compared the negative psychological impact of underground and

aboveground workplaces, with repeated measures over time, concluded that
underground workspaces are similar to aboveground workspaces in determining
psychological distress [8]. Standards like the Regenerative Ecological, Social, and
Economic Targets (RESET) air standard [26] are limited to minimal concentrations
of particular air pollutants (particulate matter, total volatile air compounds,
carbon-dioxide, and carbon-monoxide) which are considered ‘safe’. But what is
much less certain, is whether the plausibility of psychological distress is included
within the standard. There are many other compounds which have proven to be
linked to mental and physical health symptoms, not included within many existing
guidelines and standards.
4.3 The Dose Parameter
Indoor air quality has an influence on the work-rate and well-being of occupants.
Indoor air pollutants consist of, but are not limited, to carbon dioxide (CO2), sulfur
dioxide (SO2), nitric oxide (NO), nitrogen dioxide (NO2), volatile organic com-
pounds (VOCs), semi-volatile organic compounds (SVOCs), levels of particulate
matter (PM), and biological contaminants, all of which can affect both cognitive
function and acts of learning [27]. In practice, ventilation and indoor CO2 con-
centrations are used as a measure for the varying degrees of indoor air quality. An
increase in CO2 of 1000 ppm in educational buildings has shown an increase of
student absences by 10–20% [28]. A study conducted by Sakellaris et al. [25]
examined the association of indoor chemical air pollutants with SBS symptoms in
office buildings. Across eight participating European countries and 167 office
buildings, the methodology considered the known factors that SBS possess, which
affect human health measured by some such as IEQ parameters (temperature, rel-
ative humidity, ventilation, light, noise), electromagnetic radiation, biological fac-
tors, IAQ/chemical compounds, as well as personal traits. Measurement results in
the research above show that, among the indoor VOCs present in the office
buildings, the highest quantities seemed to be: d-limonene 5.9–81 lg m−3, toluene
3.7–63 lg m−3, and a-pinene 3.2–68 lg m−3. Formaldehyde was the highest
aldehyde amount discovered concerning indoor concentration, which was recorded
to be between 10 and 48 lg m−3. Concentrations for O3 and NO2 were measured as
3.0 lg m−3 to 42 lg m−3 and 17 lg m−3 to 39 lg m−3, respectively. The study
measured several VOCs linking the above mentioned d-limonene to general
symptoms (symptoms of flu, headaches, languor, unusual tiredness) and heart
problems, toluene to eye irritation and general symptoms, a-pinene to respiratory
health problems, heart problems, and other general symptoms. Furthermore,
formaldehyde is associated with general and respiratory symptoms, and NO2 with
general, eye irritation and skin conditions. The ‘RESET’ Air Standard for healthy
residential buildings is a standard that helps monitor indoor air pollutants like
particulate matter (PM2.5), total volatile air compounds (TVOCs), carbon-dioxide
and carbon-monoxide (CO2 and CO) as a representation of the performance of

indoor air quality [26]. This is then used to educate and create awareness of indoor
air quality on the environment and human health. However, judging from the
literature review and a human health standpoint there are many more indoor air
pollutants that need to be considered and monitored alongside the concentrations of
PM2.5, TVOCs, CO2, and CO.
5 Thermal Comfort
It is now known that living in an environment with too high a temperature and level
of humidity may cause moisture damage and fungal growth in the building [29].
Designers have to consider some of the same design aspects as before mentioned
with indoor air quality, mainly the flow of air through the building, the HVAC
system, and occupant control of windows and doors. For establishing thermal
comfort, upholding standards of human health, and improving overall life quality,
humans need the right temperature condition indoors, amongst other parameters
[30]. Every person is unique when it comes to optimal thermal comfort which not
only depends on the air parameters in the building (such as airspeed and temper-
ature, mean radiant temperature] and RH), but also the individual metabolic rate or
clothing insulation and the thermal adaptation ability [31, 32]. Predicted mean vote
(PMV), predicted percentage dissatisfaction (PPD) model, adaptive thermal comfort
model, and machine learning methods for thermal comfort are amongst the most
popular models to predict the level of thermal comfort in a building [27].
A study by Yu et al. [33], researching the effect of occupant ventilation-behavior
(OVB) in dormitories during leave, on indoor thermal comfort for intermittently
heated space, found that occupants can drastically reduce the indoor thermal
comfort level during periods of heating. The study proceeds to present two solu-
tions. Firstly, decreasing the air change rate during periods of non-heating.
Secondly, the use of automatic windows (for occupant control) alongside
pre-heating is suggested for occupants who desire both indoor thermal comfort and
ventilation. By functioning based on building parameters, air change rate, and
outdoor mean temperatures, the automatic control system can do a number of
things, such as: closing windows, pre-setting the temperature, and detecting the
appropriate time to activate the heating system. The study suggests a setpoint of
3.3 h and 24 °C in case of low outdoor temperatures (e.g. 0 °C) in order to meet
indoor thermal comfort requirements. In conclusion, occupants need to be aware
and educated on the use of systems to obtain a complete understanding of the
mechanisms in place to ensure their health. Full automation of the right living
conditions of occupants is complex considering the individual requirements of each
person. Both designers and occupants play a major role in ensuring healthy thermal
comfort. User-control is therefore, one of the main aspects for designers to place
their focus on.
5.2 From an Occupant/End-User Perspective and Dose

Perspective
Sub-optimal levels of temperature, specifically lower than acceptable temperatures,

are linked with several physiological conditions like pneumonia, higher blood
pressure, asthma, bronchitis, chronic headaches [30], and respiratory tract infection
caused by a reduction in relative humidity [34]. Furthermore, psychological impacts
of living in lower than acceptable temperatures include depression and anxiety
disorders, amongst other stress-related psychological illnesses. On the opposite end,
when exposed to conditions where the temperatures and humidity are too high,
fungal growth may occur which is correlated with increased absenteeism, reduced
worker productivity, and mortality [35, 36].
6 Visual Comfort
Human health is not just dependent on exposure to the proper lighting but also on
non-visual factors like the textures of interior surfaces, design of spaces, décor,
color, natural views, biophilia, along with many more non-light visual factors which
may enhance cognitive functions and work productivity [37]. Humans have a calm
and harmonious feeling when encountering, for example, the color green in the
interior because of the association with nature [38]. Natural environments have the
effect of restoring attention in humans, enhances work performances and satisfaction
at the workplace [39]. Research has shown that access to natural landscapes results
in higher odds of proficiency in reading and mathematics in students [40].
6.2 From an Occupant/End-User Perspective
Visual comfort provided by lighting is another parameter that can be controlled by

designers in order to benefit occupants in the improvement of physical and mental
health [41]. It is known that natural daylight is the better and more preferred source
of light for occupants [42, 43]. Windows that provide natural daylight to working
areas and have a view out are more desired by occupants [44]. Glare and thermal
discomfort provided by sub-standard lighting are associated with decreased pro-

ductivity, increased absenteeism, and the choice to reduce exposure to the light
source [45]. Light has the ability to trigger alertness and provide arousal; light has a
direct influence on the natural process in humans (circadian rhythm) and the sleep
quality and length. It is known that for people with neurodegenerative diseases and
psychiatric disorders (schizophrenia, bipolar disorder, and autism), circadian
rhythm correction has a positive impact on their ability to benefit from therapy and
gain better control of their conditions of circadian abnormalities [13]. Timing and
quantity of proper lighting have a big impact on the improvement of sleep quality
and circadian rhythm correction [46]. It is therefore essential for designers to
connect human health to lighting design because of its benefits towards healthy
living. An example of faulty lighting design is the use of cool white fluorescent light
which is able to disrupt the circadian rhythm of those exposed. On the contrary, the
use of natural views and the right lighting exposure is able to reduce stress, decrease
anxiety, and improve mood [47]. There is evidence suggesting that the use of bright
light is effective as a therapeutic method (BLT) for treating the seasonal affective
disorder and non-seasonal depression (chronic and antepartum depression, and
bipolar disorder) [13].
6.3 The Dose Parameter
The quality of light is mostly determined by photometric variables (such as lumi-

nance, illuminance, color temperature, color rendering), glare, and light color
temperature. Daylight supports natural processes in humans (circadian rhythm) and
is the most satisfying, mainly due to how closely the color rendering matches the
human visual response [48–50]. The study has shown that exposure to light through
intrinsically photosensitive retinal ganglion cells called Melanopsin retinal ganglion
cells (mRGCs), which are a part of a non-visual photoreception system, may have
an enhancing effect on the alertness and performance of workers [51]. Furthermore,
other non-visual lighting findings relating to variables like light exposure duration,
timing, and spectrum distribution based on units of radiometric radiation have an
influence on enhancing alertness, cognitive performance, and mood [52–54].
7 Acoustic Comfort
According to a recent study by Alonso et al. [55], there should be a more uniform
and worldwide-wise acoustic requirements concept on external noise insulation,
specifically for reference descriptors for façade sound insulation. Building façade
acoustic performance can be expressed in terms of the acoustic performance of the

building components itself and the outdoor and indoor level of noise. The study
found that proper acoustic retrofitting of façade windows can be enough to meet
acoustic requirements worldwide with an external noise level of 60 dB(A) and
suggests that strategies surrounding the quality of window design with respect to
acoustic performance can provide a significant improvement the acoustic integrity
of the building.
7.2 From an Occupant/End-User and Dose Parameter

Perspective
A study by Dong et al. [56] concluded that an environment with high levels of noise
(>90 dB(A)) have a detrimental effect on comfort and productivity, so much so that
it has a higher influence than other indoor environmental quality parameters (like
temperature, humidity, light, air quality, etc.) weighing the heaviest when it comes
to the level of overall comfort. Environments with noise levels between 40 and
70 dB(A), although considered environments with daily noise, also have a negative
influence on human body comfort and work productivity, even more so than music.
The Environmental Noise Guidelines (ENG) published by the World Health
Organisation provides recommended values for noise exposure, including for
health, specifically sleep disturbance. It is mentioned that the noise level during
sleep should not be more than 30 dB(A) for persistent noise and not more than
45 dB(A) in the case of momentary noise with a maximum of 55 dB(A) to avoid
negative cardiovascular health impacts [57]. Furthermore, international studies have
linked traffic noise to higher odds of ischemic heart disease whenever (Leq) 65 dB
(A) is exceeded [58–60]. The assessment of façade sound insulation is a part of one
of the five broad categories defined by the Guide Development Group (GDG) that
focus on actions or interventions on environmental noise. In the case of building
façade, path intervention is utilized by altering the path between source and
receiver, or path control of the receiver through insulation [61, 62]. Designers can
utilize path intervention through the insulation of dwellings, constructing barriers or
a combination of both [63], providing healthy conditions for occupants [64].
8 Discussion
There is overwhelming evidence that suggests that buildings have a tremendous

effect on human health, especially since humans spend most of their time indoors.
Americans, for example, spend 90% of their time indoors, where concentrations of
some air pollutants are twice or five times higher than the outdoors [65, 66]. We
have gathered from research that most of the indoor pollutants come from the
interior of the building itself, with some of them originating from the outdoors.
Several strategies exist to combat poor IAQ, to mention: control of the source of
pollutants indoors (such as furnishings, wood composite materials, etc.), using air
cleaners, and optimizing ventilation [67]. The IAQ parameter is much more com-
plex after viewing it from different perspectives. Solutions do exist, but whether
they are holistic in accordance with the previous perspectives presented is another
question entirely. For example, a study on air cleaning of air-conditioned office
buildings successfully developed an IAQ system connected to an air handling unit
(AHU). The system decontaminates the air of TVOCs, converting them through
oxidation into water–vapor and CO2 [68]. Although CO2 is considered harmless to
human health, it is not exactly sustainable, as the carbon footprint of the building
increases, it contributes more to greenhouse effect-related environmental issues.
Alternatively, research shows that although green buildings possibly promote
healthy IAQ, some green practices and products are known to compromise IAQ
[69]. Rather than focusing on ventilation strategies, researchers should work on
developing better practices for source control or air cleaning. A building is more
energy-efficient when the building envelope is tighter and has lower rates of ven-
tilation. However, this negatively influences human well-being [70]. Challenges
and conflicts not only exist between human well-being, sustainable and green
practices, but also between IEQ parameters. One challenge for example is designed
using natural ventilation for the sake of thermal comfort, which can impair acoustic
comfort by permitting more exposure to outdoor noise [71]. This exposure to
outdoor noise causes some non-green certified buildings to have a higher acoustic
comfort than green building certified buildings [72]. Maintaining the balance
between human well-being and building performance with the addition of the
challenges that rise when IEQ parameters are in conflict is a complicated task.
Existing healthy building guidelines are not yet perfect, and do not include enough
of the effect on occupants (mental and physical). Sustainable building design geared
toward occupants and the environment may benefit both greatly (for example,
cognitive function, productivity, physical and mental health) and environmental
safety [73].
9 Conclusion
There is much more research needed that establish the effects of the built envi-
ronment on mental health more firmly, including the aspects that improve the
performance of occupants. Literature shows that there is a surge of awareness that
the buildings we utilize have a tremendous hold on our health and life quality.
A multidisciplinary approach is needed that involves health researchers, designers,
computer engineers, and building scientists to not only experiment on the various
specific outcomes of the built environment on overall human health, but also to
automate and integrate these findings for the purpose of creating a truly holistic
practice. In the future, a shift in mindset and practice is essential to ensure further
advancement in construction, starting with source control derived from an under-

standing of the balance between the three pillars of sustainability (economic, social,
and environmental) and overall human health.
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Analysis of Dominant Influence Factors
of the Application of the Incentive Plan
Model on the Material Waste
Triongko Agatha Bayuaji and Basuki Anondho
Abstract Incentive plans are increasingly being implemented to align objectives in

the implementation of construction projects. Incentives are additional income that is
given as an award in the form of monetary/non-monetary so that the parties
involved in the construction project are motivated to make every effort to complete
the work faster than the agreed time while maintaining the required quality. This
research was conducted to know what dominant factors need to be considered in
implementing an incentive plan and whether this incentive plan model affects the
residual material. This research was conducted by processing primary data in the
form of a Likert scale questionnaire. Likert scale 1–5 is used to measure the level of
influence of an identified factor on the incentive plan. In the process, this research
uses the Factor Analysis Method with a significance level of 5% and is assisted by
the application of Statistics Product and Service Solutions (SPSS) or a statistical
package for social sciences to test and calculate data. Based on the results of the
study obtained three dominant factors that need to be considered in the imple-
mentation of the incentive plan.
Keywords Incentive plan Incentive Material waste
1 Introduction
The increasing production of waste worldwide is a major issue requiring a man-

agement strategy that focuses on a sustainable environment. The construction
industry itself is one of the main contributors to this problem because it produces
T. A. Bayuaji (&) B. Anondho

Universitas Tarumanagara, 1 Letjen S. Parman Street, Jakarta, Indonesia
e-mail: triongko.325170041@stu.untar.ac.id
B. Anondho
e-mail: basukia@ft.untar.ac.id
https://doi.org/10.1007/978-981-16-7949-0_52
586 T. A. Bayuaji and B. Anondho
large amounts of construction materials and waste [1], which means that material is
a problem that can damage the environment. However, many people do not realize
it, the use and management of this material is not paid attention to, so there is often
a waste of both the excessive use of the material [2]. Judging from the amount of
residual material produced is not small. The construction industry in the world
produces at least 35% of total solid waste [3] and 10–30% of waste dumps [4].
The resulting effect is of course very pronounced, especially in the cost sector
because the remaining material plays an important role in that sector [5]. Not only
in the cost sector, but waste storage places are also now filling up very quickly, and
landfills for waste materials are scarce [2]. Of course, it will have a huge effect on
the environment [6].
Therefore, there must be a solution that can reduce a large amount of con-
struction waste or material waste which continues to be a polemic today. One way
that can be used to minimize the remaining material in building construction is to
find the main cause.
However, this research will focus on implementing incentive plans in sup-
pressing these problems. Recently, incentive plans are increasingly being imple-
mented to align objectives in the implementation of construction projects [7]. In
December 2005, the Hong Kong government designed a construction waste filling
scheme to fund incentive plans as well as to promote the reuse and recycling of
waste materials in order to reduce the amount of construction waste material [8].
The use of this incentive is also a means of motivation that can encourage workers
to work optimally [9]. Incentives are not only used as motivation for the contractor
but can also be used to produce alignment with project objectives [10]. Financial
incentives use monetary rewards to stimulate increased performance or production
as well as psychological incentives, as opposed to financial incentives, are also
valid means of generating increased production and or performance [11].
This study conducted a literature survey by applying an incentive plan approach
to problems with residual materials that often occur and even have become part of
the construction, it is hoped that this approach can reduce the amount of waste
material.
1.1 Definition of Waste Material
Waste material is defined as an excess that is indicated either in the form of work or
construction material that is left, scattered, or damaged so that it cannot be used
again according to its function. Many factors are the source of construction material
waste, including design, material procurement, material handling, implementation,
residuals and others such as theft [6].
Analysis of Dominant Influence Factors of the Application … 587
1.2 Definition of Incentive
The definition of incentives is additional income that is given as an award in the

form of monetary/non-monetary so that the parties involved in the construction
project are motivated to make every effort to complete the work faster than the
agreed time while maintaining the quality as required [12].
Mustafa [13] in his book defines incentives as follows: incentives as a means of
motivation can be given a set of incentives or incentives that are given intentionally
to workers so that there is greater enthusiasm for achievement for the organization.
On the other hand, financial incentives are financial rewards given to employees
whose production levels exceed predetermined standards.
1.3 Types of Incentives
According to Putra and Hufron [14] argues that basically incentives can be divided
into three types, namely: Financial incentives and Non-financial incentives.
Financial incentives are incentives in the form of income that are used to meet the
needs of life and can be valued in money, including appropriate wages or salaries,
profit sharing from companies/agencies, and welfare issues which include health
care, recreation, old-age insurance and so on. Meanwhile, non-financial incentives
are incentives that are usually psychological rewards. While the forms are, among
others: Fostering a sense of pride and pleasure towards employees, giving sympathy
and fair treatment to employees, providing opportunities to be promoted, equal
opportunities to receive training, security and peace of mind at work, as well as the
hope of getting awards, adequate welfare coverage including family medical
treatment, old-age benefits, accident insurance and others.
1.4 Initial Identification of Dominant Factors

Questionnaire
At this stage, the author summarizes several questions for the questionnaire related
to the implementation of the incentive plan model on the remaining material taken
from the references to arrange as follows.
2 Methodology
2.1 Preparation of the Questionnaire
At the stage of preparing the questionnaire, what is done is to make problems or

questions based on the literature study that has been carried out then summarized
and used as questions for the questionnaire, after which the questionnaire is vali-
dated by a number of experts. Expert validation is carried out to strengthen the
variables in the questionnaire that will be distributed to respondents. The number of
experts proposed is 5 (five) people. From the results of expert validation obtained
17 approved variables which are then used as variables in the questionnaire.
Respondents who became the target of the questionnaire were the project coordi-
nator, project manager, company owner. Presented on Table 1 are the results of a
literature study in the form of factors in the incentive plan.
Table 1 Dominant factors References Factors

that influence
[8] Giving insight
[7] Effective in making project performance better
Increase motivation for better performance
[15] Motivation
Performance goals
[16] Shorten project schedule
Budget
Project cost
[17] Project completion with few problems
[18] Motivation
[1] Professional ethics
Motivation
Effective
Budget
More precise
More efficient
Good performance
Save more waste material
Promoting environmentally friendly materials
[12] Project cost
Awards
More precise
Project cost
More efficient
More effective
2.2 Distribution of Questionnaires
At the time of distributing the questionnaire, what was done was to distribute the
questionnaire to several respondents who worked in the project scope. The ques-
tionnaire will be submitted to several respondents, namely the Quantity Surveyor
and project manager. The questionnaire will be distributed via social media with the
help of Google Form, but some respondents will use paper.
2.3 Distribution of Questionnaire Data Collection
At the time of collecting questionnaire data, what was done was to return to the
respondent and ask for the results of the questionnaire.
2.4 Analysis Method
The factor analysis technique is the method used in this research data analysis, with
the intention of determining the dominant factor by identifying the relationship
between a number of independent factors by conducting a correlation test. Before
the factor analysis is carried out, validation is needed to determine whether the data
obtained are feasible or not. The validity test technique that will be used is the
Pearson correlation, namely by correlating the item score with the total item score
for each variable, then significant testing is carried out with criteria using r tables at
a significant level of 0.05 with a 2 (two) side test [19]. Then proceed with the
reliability test which aims to determine the level of consistency of the data col-
lection tools/instruments used. That is, whether the measuring instrument will get a
measurement that remains consistent if the measurement is repeated. The method
that is often used in research to measure the Likert scale 1–5 is Cronbach’s Alpha.
After that, the data were tested for normality to determine whether the data used
were normally distributed. One way to detect the normality of the data can be done
with the Shapiro Wilk technique. After going through the three tests mentioned
earlier, the remaining data and considered valid are then used in factor analysis. In
general, the stage of factor analysis is the first to test the correlation between the
original variables with the aim of making variable depreciation simpler. Then
determine the value of KMO (Kaiser–Meyer–Olkin) and continue to determine the
value of Measure of Sampling Adequacy (MSA), namely the feasibility of all
observed variables for factor analysis. After all variables are declared eligible for
factor analysis, it is continued by extracting factors based on the eigenvalue criteria
to get the number of factors formed. Methods that can be used in factor extraction
include Principal Component Analysis. After obtaining the number of dominant
factor groups formed, factor rotation is carried out in order to obtain a simpler factor
structure for easy interpretation. The last stage of factor analysis is to interpret the
results of the factor analysis which can be done by knowing the variables that make
up it. The data analysis can be done with the help of the SPSS program.
3.1 Expert Validation
From the results of expert validation obtained 17 approved variables which are then
used as variables in the questionnaire. The variables obtained from the expert
validation results can be seen in Table 2. The number of experts proposed is five
people.
Table 2 Expert-approved variables

Code Variable
X1 Professional ethics influences incentive plans for the reduction of waste material
X2 The level of motivation of field workers affects the incentive plan for the reduction of
waste materials material
X3 Stakeholder motivation level influences incentive plan for waste material reduction
X4 Incentive plans are affected by effectiveness because this method is considered more
effective than providing punitive sanctions for the reduction of waste materials
X5 The efficiency of field workers affects incentive plans for waste material reduction
X6 Good performance of field workers affects incentive plans for waste material reduction
X7 Widespread implementation of incentive plans for building projects will save more
waste materials
X8 A project budget influences the incentive plan for waste material reduction
X9 Project costs affect incentive plans for waste material reduction
X11 Achievement of fieldworker performance objectives affects incentive plans for waste
material reduction
X12 Insights from field workers influence incentive plans for waste material space
X13 Stakeholder insights influence incentive plans for waste material reduction
X14 Few problems in the project affect the incentive plan for waste material reduction
X15 Improving the quality of field workers affects incentive plans for waste material
reduction
X16 The project schedule influences the incentive plan for waste material reduction
X17 Fewer defects that appear on the project affect the incentive plan for the reduction of
waste materials
X18 The efficiency of the contractor’s work affects the incentive plan for the reduction of
waste materials
Table 3 Characteristics of Position in the project Number of respondents

respondents based on position
or job title in the project Project Manager 5
Project Coordinator 1
Quantity Surveyor 16
Cost Control 1
Director 2
Owner 1
Supervisor 2
Site Manager 2
3.2 Questionnaire Data
Furthermore, questionnaires were distributed to 32 respondents who are project

actors who are currently involved in the construction of a construction project using
the precast concrete slab method. In this study, researchers managed to collect as
many as 30 respondents’ responses. The characteristics of the respondent’s position
in the project are divided into Table 3.
To measure the value of the questionnaire, the Likert measurement technique is
used for the measurement scale of the dominant factor that needs to be considered
in the application of the incentive planning model listed in Table 4.
3.3 Validity Test, Reliability Test, and Normality Test
The validity test was carried out using the bivariate method. Variables will be
declared valid if the value of Pearson correlation or r count on a variable is greater
than the value of r product moment from the table. The sample data used in this
study was 30 (N = 30) and the significance level used was 5%, so by looking at the
table of the product-moment r-value, the r-value was 0.361. Then the calculated r is
obtained by using SPSS software.
Then perform a reliability test for 13 variables used to determine whether or not
a research instrument is reliable by calculating the coefficient value of Cronbach’s
Alpha. From the analysis, results obtained Cronbach’s Alpha value of 0.815 so that
the data collection instrument (questionnaire) can be said to be reliable (>0.6). After
the reliability test, the normality test was carried out and the results obtained a
significance value of 0.200 so that the data can be said to be normally distributed
(>0.05).
Table 4 Description of Scale Information

Likert scale
1 Very unaffected
2 No effect
3 Neutral
4 Take effect
5 Very influential
3.4 Factor Analysis
After testing the validity, reliability, and normality, then a factor analysis was
carried out on 13 valid variables. At this stage, the factor analysis method is used
because this method can identify the dominant factors and reduce factors to make
them more applicable. After doing the factor analysis, it is known that only eight
variables can be used as dominant factors in the implementation of the incentive
plan. From the results of the initial eigen value, it shows that there are three groups
of dominant factors that will be formed, namely factors 1, 2, and 3. The eigen value
of each component can be seen in Fig. 1.
With a large variance that can be explained by factor 1 is 45.175%, by factor 2 is
13.1625%, and by factor 3 is 13.0625%. The total of these three factors will be able
to explain the variable of 71.4%. After knowing that the maximum number of
dominant factor groups that can be formed is three factors, then the determination of
each dominant factor group that will be included in the factor 1, factor 2, or factor 3
group is determined in Table 5.
In determining the input variable to a certain factor, it is followed by the cor-
relation between the variables and each group of factors, namely the variable that
has the greatest correlation value to the group of factors. Thus, it can be concluded
that the group of factors and their dominant factors are: Factor group 1, consisting
3
Eigenvalue
0
0 1 2 3 4 5 6 7 8
Component Number
Fig. 1 Scree Plot

Table 5 Result rotated Component 1 2 3

component matrix
X4 0.809 0.173 0.230
X5 0.815 0.327 0.115
X6 0.849 0.051 0.232
X7 0.055 0.875 0.135
X8 0.214 0.616 0.435
X15 0.480 0.670 −0.068
X3 0.084 0.150 0.833
X12 0.286 0.059 0.721
of dominant factors X4, X5, X6. While the factor group 2 consists of the dominant
factors X7, X8, and X15. For group 3, factors are arranged on X3 and X12.
4.1 Conclusion
The dominant factor group that can be considered in implementing the incentive
plan model for the first waste material consists of dominant factors in the form of,
Incentive plans are influenced by effectiveness because this method is considered
more effective than providing sanctions for reducing waste material, Efficiency of
field workers affects incentive plans for waste material reduction. The good per-
formance of the field workers influences the incentive plan for the reduction of
waste materials. The second dominant group of factors consists of dominant factors
such as Widespread implementation of incentive plans to build projects that will
save more waste materials, A project budget that influences incentive plans for
waste material reduction, Improved quality of field workers affects incentive plans
for waste material reduction. The third group of factors consists of the dominant
factor in the form of incentive plans which are influenced by the level of stake-
holder motivation influencing the incentive plans for waste material reduction, and
the field workers’ insights influence the incentive plans for waste material reduc-
tion. The first factor is the most dominant factor group among the three factors
formed with a value of 45.175%, followed by the second factor with a percentage of
13.1625%, then followed by the third factor with a value of 13.0625%. These three
factors can be considered in the application incentive plan model design on waste
materials.
4.2 Suggestion
The results of this study can be developed by broadening the perspective, not only
from the contractor’s point of view but can be viewed from the perspective of the
employer (owner) and director broadly. In addition, research can also be carried out
using techniques other than factor analysis to obtain the dominant factors.
Meanwhile, in terms of respondents, it can also be expanded not only around
Jakarta, where it is necessary to expand outside the island of Java. The research
influence factors can be made more broadly related to incentive plans.
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Accuracy of Schedule Performance
Calculation with ES Method and EV
Method
Cangga Kristiandi and Basuki Anondho
Abstract The importance of the method to determine the performance of the

schedule duration during the project is in planning because it can determine the
success or failure of the project because the duration often does not match the
predictions due to project uncertainty so that there is no loss. This paper will discuss
the accuracy of the schedule performance method between the earned value
(EV) method and earned schedule (ES) method. Specifically, this paper aims to
determine which schedule performance index (SPI) accuracy is better than the two
methods. This paper discusses SPI against time and progress with the aim of
knowing the performance of the project schedule over time and the progress of
work between the earned value and earned schedule methods based on the average
SPI value of the ongoing project and the results of R square ES greater than EV
which is close to 1 and the SPI graph The time and work progress shows that the ES
method is closer to 1 or closer to the plan than the EV method, so this paper shows
that the ES performance estimate is better in assessing schedule performance
compared to the EV method.
Keywords Schedule performance Earned value Earned schedule SPI
C. Kristiandi (&) B. Anondho (&)

Universitas Tarumanagara, 1 Letjen S. Parman Street, Jakarta, Indonesia
e-mail: canggakristiandi@yahoo.com
B. Anondho
https://doi.org/10.1007/978-981-16-7949-0_53
598 C. Kristiandi and B. Anondho
1 Introduction
Planning, cost, and time control are part of the overall construction project man-
agement. In addition to the assessment in terms of quality, the achievement of a
project can also be assessed in terms of cost and time. The possibility of deviations
from the plan in terms of costs and time spent on construction work must be
measured on an ongoing basis. Significant cost and time deviations indicate poor
project management [1]. The success of the project depends on the timeliness of
implementation based on the estimated project duration [2]. The duration of the
project often does not match the predictions because it is caused by uncertainty so
that the construction schedule can deviate from the original plan [3]. One of the
important pieces of information to know is how to increase the use of costs against
the budget or against time. In addition, by considering that changes are something
that often occurs in the implementation of a construction project, a more integrated
method is needed to be able to describe how progress or progress is being made in
the field [4]. Traditional cost management only presents two dimensions, namely, a
simple relationship between actual costs and planned costs [5].
With traditional cost management, the performance status cannot be known. In
Fig. 1, it can be seen that the actual costs are indeed lower, but the fact that the
actual costs are lower than this plan does not indicate that the performance that has
been carried out has been in accordance with the planned targets. In contrast, the
concept of earned value provides a third dimension besides actual costs and planned
costs. This third dimension is the amount of physical work that has been completed
or called earned value/percent complete [5]. The conventional method or the result
value method (EVM), which was developed in 1960, is one of the control methods
that quantitatively measures the performance and progress of the project. According
to Lipke, EVM is less successful in predicting project completion time because
EVM measures scheduling performance, not in terms of time parameters but more
Fig. 1 Earned value elements

Accuracy of Schedule Performance Calculation … 599
in cost parameters [6]. In 2003, Lipke developed a method that is an extension of

EVM. This method is known as earned schedule (ES), which was developed to be
able to perform scheduling analysis better. In contrast to EVM, ES demonstrates the
possibility of describing cost performance in units of time. In other words, ES
facilitates time-based analysis of a schedule so that it is easier to understand than
EV [7]. After ES was first introduced, a year later, Henderson developed ES to be
used to predict project completion duration [8].
1.1 Earned Value Method
As an industry standard defined by the American National Standards Institute

(ANSI) EIA-748 (ANSI 1999), EV has been widely accepted as a core performance
monitoring, analysis, and forecasting system [9]. Technically, Earned Value uses
work progress as an indication of what will happen to the project in the future [10].
The main element in EV analysis is cost, which means that to measure both cost
performance and schedule performance, both are cost based. According to Moselhi,
by using the Earned Value method, the accuracy of its success in predicting the use
of costs until the project completion stage is quite good. However, different results
are obtained when EV is used to predict the duration. The prediction accuracy is not
satisfactory [11].
Earned Value is a system formed based on three important principles, namely
planned value, earned value, and actual cost. These principles are interrelated,
therefore, the work process of EV is to assess all aspects simultaneously, not
separately. The earned value (EV) method measures information about the position
of project progress within a certain period of time and can estimate project progress
in the next period using two indicators, namely:
1. BCWP (Budgeted Cost of Work Performed) = shows the value of the results
from the point of view of the value of the work that has been completed against
the planned budget that has been provided to carry out the project (Earned
Value). When the ACWP figure is compared with the BCWP, it will show a
comparison between the costs incurred for the work carried out with the costs
that should have been spent for the work.
2. BCWS (Budgeted Cost of Work Scheduled) = plan budget for a work package
(Planned value), but compiled and linked to the implementation schedule. So
here, there is a combination of costs, schedules, and scope of work where each
element of the work has been allocated a cost and schedule that can be used as a
benchmark in carrying out the work.
These two parameters indicate that the EV method uses cost indicators in the
calculation of project duration predictions [12]. By using the two indicators above,
it can be calculated various factors that show progress, various factors that indicate
progress and performance of project implementation, such as:
1. Schedule variant
2. Monitor variance changes against standard numbers
3. Productivity and performance index
4. Estimated project completion time.
The formula for finding the time variance is shown in Eq. 1.
SVðSchedule VariantÞ ¼ BCWP BCWS ð1Þ
A negative number in the variance indicates that the time is late, a zero means
that the work is carried out on time, and a positive number means that the work is
carried out faster than planned. SV and SPI are used to measure the schedule
performance of a project. For example, when a project has a positive SV (SV > 0)
or an SPI above (SPI > 1.0), the project will run ahead of schedule. SPI is also used
to generate independent predictions of project duration. The formula for finding the
productivity and performance index is shown in Eq. 2.
BCWP
SPIðSchedule Performance IndexÞ ¼ ð2Þ
BCWS
A number less than one in the SPI indicates that the time is late, the number one
means that the work is carried out on time, and a number more than one means the
work is carried out faster than planned. By calculating the variance and index as
above. It will be seen that the project will be late or ahead of the plan, so the
progress of the project for the future needs to be predicted with Eqs. 3 and 4.
Plan duration Actual progress

ECD ¼ þ Actual progress ð3Þ
SPI
Percentage of Delays ECD
¼ 100% 100% ð4Þ
Schedule Acceleration Plan schedule
Estimation completion date (ECD) is an indicator that can be calculated on a

predetermined baseline/milestone so that the values obtained show the progress of
time in that period and the progress of the project in terms of time for completion in
the future [13]. SPI indicators are more often used for performance appraisal than
SV. The SPI value is a weighted value that has no dimensions so that a comparison
can be made between the performance of one project with another. In addition, the
SPI value provides a relative comparison to the BCWS or Performance
Measurement Baseline, which is the basis for assessing project status in terms of
time. This is a concept so that deviations (variances) with respect to time can be
detected, and delays can be detected earlier so as to extend the life of the project.
1.2 Earned Schedule Method
Earned Schedule Method (ESM) is a method of developing Value Method (EV),

which was introduced by Walt Lipke in the spring of 2003, showing the possibility
of describing schedule performance in units of time [14]. Earned Schedule (ES) is an
analytical technique that solves the EV dilemma. It originates from and is an
extension of the EV. No additional data is required to obtain the ES measure; only
data from the EV is needed. Unlike the cost-based indicators of EVs, the perfor-
mance indicators of ES schedules are time-based, making them easier to understand.
ES indicators provide status and predictive capabilities for schedules, similar to
facilities for costing using EV. Figure 2 shows the concept of the project’s s curve.
The theory that has been developed by Lipke is based on the idea to determine
the time at which the earned value (EV) should occur, the duration time associated
with PMB where the planned value (PV) equals EV is the Earned Schedule. In this
method shown in Fig. 2 is to determine the location of the actual time progress (EV
curve) against the planned progress that should occur (PV curve) by plotting the EV
curve at the actual time to the PV curve. The projection point obtained from the
plotting results is the ES value. The actual Time (AT) value or actual time is
obtained from the endpoint of the EV curve. The point is projected against the PV
curve to get the ES value. However, the ES obtained with this point tend to be less
precise. So, it requires empirical calculations. There are two main components in
this method, namely the value of C (Planned Duration) and I [14]. Earned Schedule
can be calculated with Eq. 5.
ESðEarned ScheduleÞ ¼ C þ I ð5Þ
Fig. 2 Earned schedule elements [15]

C: The value of the period is determined by calculating the number of additional

times from the basic performance measurement (PMB) that meets the conditions,
EV PV.
I: The value of the results of linear interpolation to determine the PMB value at the
point under consideration, with Eq. 6.
ðEV PVCÞ
I¼ ð6Þ
ðPVC þ 1 PVCÞ
SV (Schedule Variance) presented in Eq. 7 is an indicator of the difference

between the time that has been implemented after completing a job (ES) with the
actual time (AT).
SVðtÞ ¼ ES AT ð7Þ
SPI (Schedule Performance Index) displayed in Eq. 8 is a factor of performance

efficiency in completing work which is shown by comparing the time of work that
has been completed (ES) with the actual time (AT). SPI > 1; project ahead of plan,
SPI < 1; project is behind schedule, SPI = 1; project according to plan/on time.
ES
SPIðtÞ ¼ ð8Þ
AT
EAC (Estimate at Completion) calculates the estimated cost and time from the
beginning until the project is actually completed as presented in Eq. 9.
PD ES
EACðtÞ ¼ AT þ ð9Þ
SPIðtÞ
Information:
• EV: Earned Value (value received from completing work over a certain period
of time).
• PV: Planned Value at the point under review (budget of costs allocated based on
a work plan that has been prepared for a certain time).
• PVC + 1: Planned Value at one point after the point under review.
• AT: Actual Time is the actual time of the observed project duration.
• PD: Planned Duration, namely the duration of the project plan from start to
finish.
2 Methodology
The methodology that will be used in this paper is to understand the accuracy of
schedule performance between EV and ES methods by looking at SPI over time and
work progress. SPI is used to see how much accuracy between the methods and the
schedule plan. Here are the steps of this research.
2.1 Collect Data
After doing a literature study, working on the earned value and earned schedule
requires a plan s curve and an ongoing s curve to find out the duration performance
against the planned time in checking the time so that it gets SPI to find out the
performance of the ongoing project schedule.
2.2 Tabulation of SPI and SPI(t) Data
After calculating and getting the SPI value, then continued with the tabulation of
SPI and SPI(t) and continued with making SPI Graphs that have been averaged to
be able to do SPI accuracy, which is better between the Earned Value and Earned
Schedule methods on time and work progress. SPI graph uses trend line analysis
with the type of trend used is polynomial with data taken based on the average SPI,
BCWP, and EV.
2.3 SPI Accuracy
The accuracy of the Schedule Performance Index is based on the average SPI over
time, and the work progress between the EV and ES methods will be obtained from
the average Schedule Performance Index (SPI) with trend line analysis with the type
of trend used is polynomial over time and % of work progress. Comparison of EV
and ES is obtained from the accuracy of the actual duration of the project in the
estimated success rate.
2.4 Conclusion/Suggestions
Conclusions will be drawn from the average accuracy of the SPI against time and
work progress in the form of the estimated success rate. The SPI average is used to
create an SPI graph with a polynomial trend line type to see which R square is
larger. With SPI conditions: SPI > 1; project ahead of plan, SPI < 1; the project is
behind schedule, SPI = 1; project according to plan/on time at the point of
observation.
3.1 Earned Value (EV)
From Table 1, it can be seen that the SPI EV value for each project to determine
deviations from the project schedule performance and the EAC value to predict the
final project duration.
3.2 Earned Schedule (ES)
Table 2 is the result of SPI and EAC calculations for the ES method, it can be seen
the projected actual time value/ES value, the SPI ES value uses the ES value to see
schedule performance deviations and the EAC value to predict the final project
duration.
Table 1 SPI and EAC calculation results

Num Project Plan BCWS BCWP Unit of SPI EAC
duration (%) (%) time
1 P1 127 15.27 18.53 Week 1.2135 104.6894
2 P2 40 28.90 30.48 Month 1.0547 37.9423
3 P3 117 9.14 8.51 Week 0.9313 125.6237
4 P4 79 53.61 35.86 Week 0.6689 117.9260
5 P5 63 75.91 82.39 Week 1.0854 58.1063
6 P6 104 14.15 9.25 Week 0.6537 159.0564
7 P7 91 45.23 43.80 Week 0.9684 93.9565
Table 2 SPI(t) and EAC(t) calculation results

Num Project Plan Real Unit of ES SPI EAC
duration duration Time
1 P1 127 42 Week 46.0088 1.0954 115.9345
2 P2 40 19 Month 19.2703 1.0142 39.4390
3 P3 117 33 Week 31.4751 0.9538 122.6682
4 P4 79 53 Week 46.2851 0.8733 90.4610
5 P5 63 56 Week 57.7303 1.0309 61.1117
6 P6 104 37 Week 32.0063 0.8650 120.2263
7 P7 91 55 Week 54.2383 0.9862 92.2780
Table 3 Average SPI EV or SPI ES

Timespan or 1 2 3 4 5 6 X
work progress
range by the
time
Project
P1 0 1.0293 1.2384 1.8728 2.2739 2.1914 1.9505
P2 1 1 1 1 1 1 1
P3 0 0 0 0.6119 0.7572 0.8224 0.8555
P4 0.447239 0.3354 0.2982 0.2795 0.2683 0.2609 0.2555
P5 0 4.1694 4.7295 4.4822 3.6852 3.2246 3.1832
P6 0 0 0 0 0 0 0
P7 1 1 1 1 1 1.2132 1.148
Average 0.349606 1.0763 1.1809 1.3209 1.2835 1.2446 1.199
SPI EV or ES
3.3 Average SPI EV and ES
Average SPI based on time span or range of work progress per unit time. Table 3 is
an example of SPI EV and ES table. The average is taken based on previous
calculations for or range of work progress per unit of time. Example of the table
shown on Table 3 is a table of SPI EV.
1.6
1.4
y = 2E-05x2 - 0.0057x + 1.21
R² EV = 0.1925
1.2
1 SPI EV
0.8 SPI ES
y = 4E-05x2 - 0.0057x + 1.1608
R² ES = 0.4029 Poly. (SPI EV )
0.6
Poly. (SPI ES)
0.4
0.2
0
1 4 7 10 13 16 19 22 25 28 31 34 37 40 43 46 49 52 55
Fig. 3 SPI EV and ES throughout the planning process
3.4 SPI EV and ES Charts Throughout the Planning

Progress
The graph points presented on Fig. 3 are derived from the average SPI EV or ES
with a range of work progress per unit time. With X-axis units of weeks and Y-axis
units of SPI.
1.6
1.4
1.2
1
SPI EV
0.8 y = 2E-05x2 - 0.0057x + 1.21 SPI ES
0.6 R² EV = 0.1925
Poly. (SPI EV)
y = 4E-05x2 - 0.0057x + 1.1608
0.4 R² ES = 0.4029 Poly. (SPI ES)
0.2
0
0.15
1.75
2.78
3.78
5.33
7.15
9.91
7.36
8.57
9.73
11.63
15.67
18.84
25.27
31.92
37.14
43.18
47.94
61.62
Fig. 4 BCWP, EV and SPI charts throughout the planning progress

3.5 BCWP, EV, and SPI Charts Throughout the Planning

Progress
The graph points shown on Fig. 4 are derived from the average SPI EV or ES and
the average BCWP per work progress per unit time. With X-axis units of percent
work progress and the Y-axis units of SPI.
4 Conclusion and Suggestions
4.1 Conclusion
S curve data collection for ongoing projects can be used to calculate project
schedule performance using the EV and ES methods. SPI graph over time and work
progress using trend line analysis with the type of trend used is a polynomial with
an R square value of 0.1925 with the equation y = 2E−05x2 − 0.0057x + 1.21 for
EV and an R square ES value of 0.4029 with the equation y = 4E−05x2 −
0.0057x + 1.1608. The results of R square ES are greater than EV, which is close to
1, and the SPI graph of the ES method is closer to 1 or closer to the planned time
than the EV method so that this study shows that the Earned Schedule
(ES) schedule performance is better in assessing schedule performance compared to
Earned Value (EV) method.
4.2 Suggestions
The following are some suggestions that can be given for the development of
further research.
1. The data in this study only focuses on high-rise building construction projects in
Jakarta. This limitation can be expanded by analyzing project data other than
high-rise buildings, such as housing projects and infrastructure projects, and by
expanding the project data collection area outside Jakarta.
2. The comparison variable can be added by several other variables, such as the
prediction of the final duration or other variables.
References
1. Ahuja HN, Dozzi SP, Abourizk SM (1994) Project management: techniques in planning and
controlling construction projects. John Wiley & Sons Inc., Canada
2. Dursun O, Stoy C (2012) Determinants of construction duration for building projects in

Germany. Eng Constr Archit Manag 19:444–468. https://doi.org/10.1108/
09699981211237139
3. Baqerin MH, Shafahi Y, Kashani H (2016) Application of Weibull analysis to evaluate and
forecast schedule performance in repetitive projects. J Constr Eng Manag 142:04015058.
https://doi.org/10.1061/(asce)co.1943-7862.0001040
4. Czemplik A (2014) Application of earned value method to progress control of construction
projects. Procedia Eng 91:424–428. https://doi.org/10.1016/j.proeng.2014.12.087
5. Fleming QW, Koppelman JM (1994) The essence of evolution of earned value. Cost Eng 36
(11):21
6. Lipke W (2012) Earned schedule contribution to project management. PM World J 1(2):1–18
7. Lipke W (2014) Earned schedule-ten years after. PM World J 3(1):1–10
8. Henderson K (2005) Earned schedule in action. Meas News 8:23–30
9. Project Management Institute (2000) A guide to the project management body of knowledge
—2000 edition. Newtown Square, Pennsylvania
10. Bhosekar SK, Vyas G (2012) Cost controlling using earned value analysis in construction
industries. Int J Eng Inno Technol 1(4):324–332
11. Moselhi O (2011) The use of earned value in forecasting project durations. In: 28th
International symposium on automation and robotics in construction, Seoul, Korea, 29 June–2
July 2021. https://doi.org/10.22260/isarc2011/0129
12. Vanhoucke M, Andrade P, Salvaterra F, Batselier J (2015) Introduction to earned duration.
Meas News Q Mag Coll Perform Manage:15–27
13. Husen A (2009) Manajemen proyek. ANDI, Yogyakarta
14. Lipke W, Zwikael O, Henderson K, Anbari F (2009) Prediction of project outcome: the
application of statistical methods to earned value management and earned schedule
performance indexes. Int J Project Manage 27(4):400–407
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schedule approach. Int J Civil Eng Technol 9(5):1121–1127
Analysis of Dominant External Factors
on Construction Project Overhead Costs
Hendi Wijaya and Basuki Anondho
Abstract Overhead costs in construction projects are costs that are borne and
charged to the contractor to support the work. However, the amount of overhead
costs for each project is different and is influenced by external factors such as
environmental, socio-cultural, political, and the nature of the project location.
Therefore, this study aims to identify the dominant external factors that affect
construction project overhead costs and determine the percentage of overhead costs
set aside by contractors from the direct costs of construction projects to anticipate
the risks posed by overhead costs. In this study, a total of 30 questionnaires were
collected from the contractors and a Likert scale of 1–5 was used to measure the
level of influence of external factors on construction project overhead costs. Then,
the collected data is processed using factor analysis techniques and produces three
dominant external factors on construction project overhead costs, including
(1) Economics, (2) Law, (3) Social-cultural and the impact of the COVID-19
pandemic. Regarding the percentage of overhead costs on construction projects, the
results show that overhead costs on construction projects range from 6 to 10% of
direct costs.
Keywords Overhead cost External factor Construction project
H. Wijaya (&) B. Anondho

Tarumanagara University, 1 Letjen S. Parman Street, Jakarta, Indonesia
e-mail: hendi.325160103@stu.untar.ac.id
B. Anondho
https://doi.org/10.1007/978-981-16-7949-0_54
610 H. Wijaya and B. Anondho
1 Introduction
In terms of cost estimation, one of the main parameters in estimating prices in bids
is overhead costs [1]. Many contractors take risks and do not take into account the
actual overhead costs to win the tender. As a result, this makes the contractor lose
money, even go out of business [2].
Overhead costs on construction projects play a significant role and influence the
performance of construction companies in maintaining good quality work.
Therefore, Overhead costs are costs that cannot be directly related to a product or
service and components of construction work but must be incurred by the contractor
to support the course of a project [2].
The amount of overhead costs in a project varies and is influenced by external
factors of the project because, in general, every construction project must adapt the
workplace environment to certain functions, designs, and preferences [3]. Things
that become aspects of the project’s external factors include the environment,
socio-culture, politics, law, and nature.
Therefore, this study aims to identify what external factors are dominant in
construction project overhead costs so that it is hoped that in the future, contractors
can anticipate the dominant external factors in estimating overhead costs.
2 Literature Review
According to Cilensek, overhead costs in the construction industry are costs that are
not part of the actual construction costs but are part of the burden to the contractor
to support the project. Overhead costs have also been defined as the case that
represents the cost of the work and is almost considered a fixed cost that must be
borne by the contractor [4]. In addition, Filicetti in Hesami et al. said overhead costs
are independent of the type and product of the project and are costs incurred during
the project [5]. Although overhead costs are not the main component in costs, they
have an important role for contractors in winning the competition. Therefore,
overhead costs must be considered by contractors if they are to obtain competitive
margins in a bid. Inaccurate estimates of overhead costs can cause some companies
to lose their competitive advantage.
External factors are factors that come from outside the development project. In
this study, several references such as journals and books are used to determine the
number of external factors that affect overhead costs. The results of the initial
identification tabulation for dimensions: political, economy, financial, legal, nature,
and environment can be seen in Table 1 and for social, cultural and pandemic are
displayed in Table 2.
Analysis of Dominant External Factors on Construction … 611
Table 1 Initial identification of external factors in overhead costs for dimensions: political,
economy, financial, legal, nature, and environment
Code References Indicator Dimension
X1 [6, 7] Changes in laws and regulations by the government Political
X2 [6, 8] Political Force Majeure
X3 [8] Corruption and bribery
X4 [8] Delay in approval of government permits and
contracts
X5 [8, 9] Inflation and sudden price changes Economy
X6 [9, 10] Currency fluctuation
X7 [10] Fluctuations in bank interest rates
X8 [11, 12] funding from the holding/owner Financial
X9 [13, 14] The emergence of difficulties due to Patent Rights Legal
X10 [13, 14] The emergence of difficulties due to license
X11 [13] The clauses of the contract are unclear
X12 [13] Payment method, change order, and claim
X13 [8, 13] Warranty and guarantee issues
X14 [14] Lawsuits due to breach of contract
X15 [8] unexpected site conditions Nature
X16 [13, 14] Bad weather
X17 [9] Natural disasters
X18 [6, 8] Increase in liabilities due to environmental impacts Environment
beyond the permitted limits
Table 2 Initial identification of external factors in overhead costs for dimensions: social and
cultural and pandemic
Code References Indicator Dimension
X19 [8] Criminal act Social and
X20 [8, 10] Injustice in tenders cultural
X21 [8] Conflict due to differences in culture and traditions at
the project site
X22 [15] The existence of strict health protocols during the Pandemic
COVID-19 pandemic affects overhead costs
X23 [16] The decrease in the level of productivity caused by
restrictions on the number of workers (social
restrictions) during the COVID-19 pandemic affects
overhead costs
3.1 Identification and Validation of Factors
From the results of the literature study, as many as 23 measurement variables and
eight dimensions were obtained and used as initial factors. Furthermore, expert
validation was carried out aimed at strengthening the indicators used in the ques-
tionnaire. This indicator was confirmed by five experts who are people in related
fields with a minimum education of undergraduate degree, serving as project
managers or similar positions of equal or higher level, and having more than ten
years of experience. From expert validation, 21 variables were approved, then these
variables were used as variables in the questionnaire.
3.2 Questionnaire Model
In this study, a questionnaire was used as a data collection tool designed to confirm
the dominant external factors on construction project overhead costs. The ques-
tionnaire consists of 4 parts, including: (1) the introduction of the questionnaire as
the introduction of the researcher to the respondents, the definition of overhead
costs, and the aims and objectives of the research; (2) General data of respondents
in the form of respondent’s name, company name, project name, position, educa-
tion, and work experience; (3) 21 items of questions regarding external project
factors that affect overhead costs and additional questions regarding the percentage
of overhead costs in a project; (4) Respondents’ opinions regarding overhead costs,
as well as input and suggestions for the questionnaire. The measurement scale in
this questionnaire uses a Likert scale of 1–5 from “very not influential” to “very
influential”. The questionnaire items are shown in Table 3.
3.3 Data Collection and Processing
After the questionnaire was designed, the target respondents in this study were the
project manager, project coordinator, quantity surveyor, cost control, and other
similar or higher positions. Furthermore, the data that has been collected will be
processed using factor analysis techniques. However, before doing factor analysis,
it is necessary to test the validity, test reliability, and test normality.
A validity test is carried out to determine the extent of the accuracy and accuracy
of a measuring instrument in carrying out its measuring function. Measurement of
validity is done by comparing the value of r calculations with the value of r product
moment in the table with a significance level of 5%. If the value of r count r
table, then the data is valid. Then the valid data is continued with the reliability test,
Table 3 Questionnaire items

Code Indicator Dimension
X2 Political Force Majeure Political
X3 Corruption and bribery
X4 Delay in approval of government permits and contracts
X5 Inflation and sudden price changes Economy
X6 Currency fluctuation
X7 Fluctuations in bank interest rates
X8 funding from the holding/owner Financial
X9 The emergence of difficulties due to Patent Rights Legal
X10 The emergence of difficulties due license
X11 The clauses of the contract are unclear
X12 Payment method, change order, and claim
X14 Lawsuits due to breach of contract
X15 unexpected site conditions Nature
X16 Bad weather
X17 Natural disasters
X18 Increase in liabilities due to environmental impacts beyond the Environment
permitted limits
X19 Criminal act Social and
X20 Injustice in tenders cultural
X21 Conflict due to differences in culture and traditions at the project site
X22 The existence of strict health protocols during the COVID-19 Pandemic
pandemic affects overhead costs
X23 The decrease in the level of productivity caused by restrictions on
the number of workers (social restrictions) during the COVID-19
pandemic affects overhead costs
which aims to determine the level of consistency of the data collection tools/
instruments used. The method that is often used in this research is Alpha Cronbach.
If the value of Cronbach’s alpha is less than 0.6, then the data can be said to be less
reliable, while 0.7 is acceptable, and above 0.8 is good [17]. Furthermore, valid and
reliable data is tested for normality to determine whether the data used is normally
distributed or not. The normality test in this study uses the Shapiro–Wilk, where the
data can be declared normally distributed if the significance value of the Shapiro
Wilk test is greater than 0.05. After going through the three test instruments, then
the data are valid, reliable, and normally distributed in factor analysis.
In general, the factor analysis stage is the first to test the correlation between the
original variables to simplify variable shrinkage. Then determine the value of KMO
(Kaiser–Meyer–Olkin) and continue to determine the value of Measure of Sampling
Adequacy (MSA), which is the feasibility of all observed variables for factor
analysis. After all, variables are declared eligible for factor analysis, followed by
factor extraction based on eigenvalue criteria to obtain the number of factors
formed. Methods that can be used in factor extraction include Principal Component
Analysis. After obtaining the number of dominant factor groups formed, factor
rotation was carried out to obtain a simpler factor structure to facilitate interpre-
tation. The last stage of factor analysis is to interpret the results of factor analysis
which can be done by knowing the variables that compose it. Data analysis was
carried out using the Statistical Package for the Social Sciences (SPSS) program.
4 Results
4.1 Questionnaire Data
Furthermore, after going through expert validation, questionnaires were distributed

to 34 respondents who are project actors from the project contractor. In this study,
researchers managed to collect data of as many as 30 respondents. The character-
istics of the position of the respondents in the project are shown in Table 4.
4.2 Validity Test, Reliability Test, and Normality Test
In this study, the validity test was carried out using the bivariate method. The
sample data used is 30 (N = 30) with a significance level of 5%, where the value of
the r product moment in the table is 0.3610. Then the calculated r-value (Pearson
correlation) obtained from SPSS is compared with the r table value
(product-moment). From the results of the validity test for three iterations, 14 valid
variables were obtained. Then, the 14 valid variables were tested for reliability.
From the results of the analysis obtained Cronbach’s Alpha value of 0.791, which
means the value is greater than 0.6, so it can be stated that the data is reliable.
Furthermore, after the reliability test was carried out, the normality test was carried
out, and the Shapiro Wilk significance value was obtained at 0.749, so it can be said
that the data is normally distributed (>0.05).
Table 4 Characteristics of Position/Job title Number of respondents

respondents by position or job
title in the project Project Manager 8
Project Coordinator 1
Quantity Surveyor 16
Cost Control 1
Director 1
Company Owner 2
Consultant 1
Total 30
Table 5 MSA test results Variable Anti-image correlation

X5 0.638
X7 0.666
X10 0.647
X11 0.67
X20 0.761
X21 0.665
X23 0.586
4.3 Factor Analysis
Variables that are valid, reliable, and normally distributed then proceed to the factor
analysis stage. In MSA testing on 14 variables, 7 variables have MSA values above
0.5. MSA test results are shown in Table 5.
Then at the factor extraction stage, the extraction value of 7 variables is greater
than 0.5. So, it can be said that all the variables studied can be used to explain these
factors. From the results of the initial eigenvalues, three groups of dominant factors
will be formed, namely factors 1, 2, and 3. The eigenvalue of each component can
be seen in Fig. 1.
The variance that can be explained by factor 1 is 36.501%, factor 2 is 17.855%,
and factor 3 is 16.682%. The total of these three factors will be able to explain the
variables of 71.038%. After knowing the number of dominant factors that can be
formed, the next step is to determine the grouping of each dominant factor that will
be included in factor 1, factor 2, or factor 3 group by looking at the rotation table of
the matrix components in Table 6.
Scree Plot
3
2.5
Eigenvalue
2
1.5
1
0.5
0
1 2 3 4 5 6 7
Component Number
Fig. 1 Scree plot

Table 6 Rotated component Rotated component matrix

matrix
Component
1 2 3
X5 0.867 −0.056 0.072
X7 0.782 0.382 0.110
X10 0.372 0.784 −0.078
X11 −0.013 0.832 0.174
X20 0.445 0.206 0.572
X21 −0.122 0.399 0.720
X23 0.145 −0.195 0.801
In determining the input variable to certain factors, it is based on the magnitude

of the correlation between the variables and each group of factors formed, namely
the variable that has the largest correlation value to the group of factors. Thus, it can
be concluded that the group of factors and the dominant factors that compose it,
namely: factor group 1 consists of dominant factors X5, X7; Factor group 2 consists
of dominant factors X10, X11; Factor group 3 consists of dominant factors X20,
X21, X23.
In this study, the researcher also surveyed the range of what percentage of
overhead costs were set aside from the direct costs of construction projects to
anticipate losses caused by overhead costs. The results of the study are shown in
Table 7.
Most of the respondents answered that construction project overhead costs
generally ranged from 6 to 10% of the direct costs of construction projects.
However, based on the results of interviews with experts, construction project
overhead costs are also influenced by the owner of the project. For projects from the
government usually have a higher percentage of overhead costs compared to private
projects.
Table 7 Percentage of Percentage of overhead cost (%) Number of respondents

overhead cost
1–5 8
6–10 14
11–15 4
16–20 4
Total 30
5.1 Conclusions
Based on the results of the study, it was found that the most dominant external
factor was the economy, where inflation and sudden price changes occurred during
the construction phase and fluctuations in bank interest rates—then followed by
legal factors which include the emergence of difficulties as a result of the com-
pany’s license, and the unclear articles in the contract. Then, the last dominant
external factor is socio-cultural factors which include problems caused by the
COVID-19 pandemic, namely the existence of unfair/unfair competition in tenders,
conflicts due to differences in culture and traditions at the project site affecting
overhead costs, as well as a decrease in productivity levels caused by a reduction in
the number of workers due to social restrictions during the COVID-19 pandemic.
In research on the amount of overhead taken on construction projects, most
respondents answered 6–10%, and the respondents thought that overhead costs
were an important cost and needed to be calculated properly, and the lack of
attention to overhead costs could result in significant losses to the company.
5.2 Suggestions
The results of this study can be developed by broadening perspectives, not only
from the contractor’s point of view but also from the consultant’s and owner’s point
of view. In addition, finding the dominant factor can also be done by using other
techniques besides factor analysis. Meanwhile, in terms of influence factors, it can
be further expanded, and research can be carried out on the impact of a pandemic
such as COVID-19 on overhead costs.
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Yogyakarta
A Competency Model of Thai
Small-Medium Enterprise Contractors
for Owner Satisfaction in Construction
Projects
Grit Ngowtanasuwan
Abstract For construction projects, service quality involves and relates to the
project owners’ perception of the service process in terms of activities, interactions,
and the attainment of acceptable levels of operation from the construction activities.
The competency of contractors includes the personality hidden within them and that
can drive them to perform well or meet the criteria set in the construction projects
for which they are responsible. The purpose of this study was to formulate a
competency model for Thai small and medium enterprise (SME) contractors
undertaking construction projects in northeast Thailand in order to influence the
satisfaction of project owners by using a structural equation model (SEM). A total
of 198 questionnaires that were completed by project owners were analyzed and
evaluated to confirm the model. The results found that the competency of con-
tractors comprised three main factors, namely: (1) knowledge, (2) skills, and
(3) attributes. Suggestions for strategies to improve the competency of Thai SME
contractors are presented and discussed in the conclusions of this research article.
Keywords Competency model Construction project Owner satisfaction
1 Introduction
In the service industry as a construction business, the service providers as con-

struction contractors stress the quality of their service to satisfy the customer as the
project owners in order to acquire future projects [1]. Such that customer retaining
is the most crucial factor in terms of business sustainability. So, this research
G. Ngowtanasuwan (&)
Faculty of Architecture, Urban Design and Creative Arts, Mahasarakham University, Maha
Sarakham 44150, Thailand
e-mail: grit.n@msu.ac.th
https://doi.org/10.1007/978-981-16-7949-0_55
620 G. Ngowtanasuwan
extends the author’s previous study to investigate the service quality factors of Thai
provincial contractors [2], most of which are small enterprises with minimal
technology. To survive in the industry, the contractors often ask the following
questions: “How can we identify and understand core competencies of our service
quality?” “What are competencies that affect the owners’ satisfaction and decision
to offer the future projects?” “What are strategies to increase our performance?”
From such questions, the main objectives of the research are to study and analyze
the causal factors and variables related to the competency of Thai SME contractors
and project owners’ satisfaction in the Thai construction industry. The scope of the
study focused on surveys related to perceptions of construction service quality of
project owners experienced with contractors on construction projects located in
Khon Kaen, Roi Et, Kalasin, and Maha Sarakham, four provinces in the central
region of northeast Thailand. The results will help contractors assess the current
status, provide guidelines to develop operations in the industry, and present
strategies to develop and support the competencies of Thai SME contractors.
2 Literature Review
A contractor is defined by many academicians [3, 4], such as a contractor is a

person or company that arranges to supply workers or materials for building or
facility construction, performs work on a contractual basis, and provides all of the
labor, materials, services, and equipment necessary for a construction project [4].
Although general contractors often employ specialized subcontractors to carry out
some or all of the construction, the general contractors are responsible for the
quality of all work from all subcontractors [4]. According to the report from
Krungsri Research Center [5], from roughly 80,000 construction companies reg-
istered for commercial activity in Thailand, 55 are qualified, according to income
level, as large-scale companies with 50% of market share, most of which are listed
in the stock exchange of Thailand (SET), while the rest are small-medium enter-
prises (SME) with minimal technology and need to improve their performance and
service quality. The concept of competency was initially published by David C.
McClelland in 1973 under the title “Testing for Competence Rather than
Intelligence” [6]. He defined competency as the personality hidden within an
individual that can drive that individual to perform well or meet the criteria set in
the job for which they are responsible [7]. Competency comprises the knowledge,
skills, and behavior necessary for an individual to be more successful than the
general standard, which consists of three main components including (1) knowl-
edge, such as knowledge and understanding of administrative law, (2) skills, such
as ICT skills and skills in the field of modern management technology which must
be learned, and (3) attributes including desirable behaviors such as curiosity,
honesty, and commitment to success [7]. These aspects are deep within the mind
and thus are harder to cultivate than knowledge and skills. If they exist, however,
they can drive people to have highly effective behaviors. Generally, service quality
A Competency Model of Thai Small-Medium Enterprise … 621
is a key to business success in order to sustain the customers and survive in a

competitive environment. Garvin [8] stated that service quality comes from under-
standing the customer’s quality perspective and focuses on all factors affecting the
customer’s awareness of quality varying from different customers. The service quality
in the construction business is related to customer perception of the construction
process in terms of interactions, activities, dynamic events, operations, and coordi-
nation [9]. Quality in the construction industry is defined as an acceptable level of
constructing performance attained by meeting or exceeding the requirements of the
project owner according to desired specifications. Parasuraman et al. [10, 11]
developed a well-known tool for measuring service quality called SERVQUAL,
where service quality is defined as the degree of difference between customer
expectations and their perception of service done. It is widely used for surveying
owner or customer satisfaction in many service industries. SERVQUAL is a tool to
demonstrate outcomes and can be used for benchmarking business, consisting of five
dimensions: (1) tangible: equipment, physical facilities, and personnel appearance.
(2) Reliability: reliable and accurate promise delivery. (3) Responsiveness: customer
tending with prompt service. (4) Assurance: employee’s knowledge, courtesy, and
trustability as well as customer confidence. (5) Empathy: customer’s attention to
detail [11]. In this research, the researcher used SERVQUAL to measure the initial
factors of Thai SME contractor’s competency in the construction projects. Whereby
customer or owner satisfaction is a measuring of how services and products of a
company surpass or lack or meet a customer’s expectations [12], and it is defined as
the percentage of total customers, or the number of customers, who reported their
experience with the services or products of the firms exceeds specified satisfaction
goals [12]. In the construction business, the satisfaction of the customer refers to the
satisfaction of the project owner. Thus, the criteria for selecting a contractor are
mainly based on price, financial capability, the contractor’s previous experiences,
workmanship, and technical capability with the contractor’s competence [12].
Fischgrund and Omachonu [13] examined and presented gaps of the quality in
construction projects by referring to the previous studies of Parasuraman et al. [10] in
gap analysis of services. The research identified 12 gaps in construction service
quality more nuanced than those in the previous studies. One particular interesting
gap is the gap between the expectation and the perception of the project owner on
construction service quality.
3.1 Factor Identification and Research Hypothesis
The researcher used 22 items within five dimensions of measurements of

SERVQUAL as initial information to be factors in the study and conducted a
technique of in-depth interviews using related field experts covering certain topics.
The Interviews are designed as a group communication process with experts. This
technique is used for detailed discussion and examination of a particular issue and
can be repeated continuously until a consensus is reached to confirm the factors and
items. Then the researcher summarized the list of all factors and selected a group of
experts in three related fields according to their experience, namely experts from
educational institutions, a contractor, and a project owner with more than ten years
of experience in the Thai construction industry. Each expert carefully considered
the identified factors and their implications individually at least three times until a
consensus was reached. The researcher improved and modified initial factors and
items for the construction service quality suitable to the Thai context adding one
item to the list of 22. Once the listed factors were classified and confirmed by the
three experts, they were established and available for analysis as outlined in
Table 1. To study and explain the competency of Thai SME contractors, the
researcher created a research hypothesis (H1): “The competency of Thai SME
contractors has a positive effect on owner satisfaction” according to the literature
[6–13] mentioned in Sect. 2, particularly SERVQUAL [10, 11].
3.2 Questionnaire Design
For data collection, the researcher designed a questionnaire survey to confirm the
items and factors that influence the competency of Thai SME contractors for project
owners, comprising two parts: (1) demographics of the answerer: answerer’s
position, type of project, project delivery type, and project value totally four
questions measured by the frequency (percentage) of the answers; (2) project
owner’s perceptions and satisfactions totally 26 questions, measured on a 5-level
(Likert scale) from” strongly disagree” to “strongly agree”.
The researcher used both reliability and validity tests so that the items in the
questionnaire were appropriate for the collection of data. In the validity test, the
researcher interviewed three experts in identifying factors to confirm the results.
The Exerts have reviewed and commented on whether these item lists were accurate
representations and ready for measuring the service quality, as well as suggested
recommendations that are more appropriate for the research context. The technique
was useful in terms of content validity and item clarity. For the reliability test, the
researcher used Cronbach’s alpha to check the reliabilities of the questionnaire by
conducting a pilot group study with 40 target samples (SME contractors in target
areas), tested the 23 items (measured in 5-level Likert scale) by computer statistical
software, and found that the Cronbach’s alpha coefficient of 23 items in the project
owner’s expectations was 0.93 and that of the project owner’s perceptions was 0.94
respectively; both are higher than 0.7 proving the questionnaire reliable [14].
Table 1 Questionnaire items

Factor Item
Competency COM1: Showing readiness to work and sufficient equipment
COM2: Sufficient labours to finish work
COM3: Good housekeeping and proper material storage
COM4: Workmen dress properly in the site operation
COM5: Details of drawings and documents
COM6: Keeping their promises
COM7: Presenting sincerity to solving problems
COM8: Operating work orderly as required
COM9: Providing service in accordance with the time promised
COM10: Away reporting on the progress of work
COM11: Informing work plan when to the owner the service will be
operated and performed
COM12: Providing quick service for the project owner
COM13: Willingness to assist and carry the project owner in additional work
COM14: Workmen behaviors which build confidence to the project owner
COM15: Assuring the work quality is up to the standard
COM16: Contractor and workmen politeness
COM17: Having the knowledge to answer owner inquiries
COM18: Having the competence to solve problems
COM19: Understanding specific needs of the project owner
COM20: Paying attention personally to the project owner
COM21: Providing and supervising work maintenance services that have
been done
COM22: Organizing tidiness after work
COM23: Working time is convenient for the project owner
Owner SAT1: I am very satisfied with the construction work performed by this
satisfaction contractor
SAT2: I think I made the right decision by choosing this contractor
SAT3: I am very comfortable with this contractor’s work
3.3 Data Collection
After designing the questionnaire, the researcher selected a group of the project
owners by using a technique of convenience non-probability sampling targeting
project owners with experience in hiring contractors at least one project, from Khon
Kaen, Roi Et, Kalasin, and Maha Sarakham, four provinces where projects site
located in the central region of northeast Thailand. During three months of data
collection, the researcher conducted face-to-face and online interviews to explain
the details of the questionnaire and ensure that the target group understood the
objective and aim of the study. Of the total of 300 questionnaires completed, 102
were discarded due to incomplete and biased responses, and only 198 were rec-
ognized as valid and analyzed. Then the researcher develops the model with a
statistical technique called structural equation Modeling (SEM) to study the causal
factors of the model, including three factors of competency (COM1 to COM 23),
and subsequently formulate the effect factors to test the model fit with SEM by
including owner satisfaction (SAT1 to SAT3) in the model.
4 Results
4.1 Descriptive Results
The descriptive results and questionnaire items are displayed on Table 2.
Table 2 Questionnaire items Description Frequency Percentage

Respondent’s position
– Project owner 138 69.7
– Project owner representative 60 30.3
Project type
– House 92 46.5
– Commercial building/ 34 17.2
townhouse
– Office building 22 11.1
– Warehouse/factory 24 12.1
– Apartment building 15 7.6
– Others 11 5.6
Project delivery type
– Design-bid-build 129 65.2
– Design-build 69 34.8
Value of project
– Less than 1 M Baht 28 14.1
– 1–3 M Baht 75 37.9
– 3–6 M Baht 55 27.8
– 6–10 M Baht 29 14.6
– More than 10 M Baht 11 5.6
4.2 Structural Equation Models
Structural equation modeling (SEM) is a statistical method used to explain the

effects or influences among latent variables (factors) on other latent variables in a
model [15]. In this research, the studied model was originated by a statistical
technique call Exploratory Factor Analysis (EFA) [16]. Reducing the number of
variables to a smaller set of basic summation variables is known as causal factors.
EFA was applied by varimax rotation using statistical software. The results showed
that Kaiser–Meyer–Olkin (KMO) measure of sampling adequacy = 0.931
(KMO > 0.7) [17, 18]. Bartlett’s test of sphericity had a significant value = 0.001
(less than 0.05) with approx. The 23 variables of competency (COM) were cate-
gorized into three groups, with COM I comprising COM1, COM3, COM2, COM4,
COM6, COM5, and COM8 (7 items), COM II comprising COM15, COM17,
COM18, COM22, COM19, COM16, COM20, COM14, COM7, and COM21 (10
items), and COM III comprising COM12, COM11, COM13, COM10, COM9, and
COM23 (6 items). After that, the effect factor (dependent variable), which is owner
satisfaction, was added to the model. The model was then analyzed by statistical
software. The outputs were not fit in the first analysis. The software output sug-
gested that some variables must be deleted from the study model, including COM4,
COM8, COM15, COM16, COM7, COM13, COM9, and COM23. The author acted
according to the suggestions and analysis. The outputs showed that the model was
fit with Chi-square = 149.5, df = 131, p = 0.128 (>0.05), CMIN/df = 1.141 (<3),
GFI = 0.895 (>0.85) RMSEA = 0.033 (0.03 < RMSEA < 0.08) [15].
Consequently, the research hypothesis (H1) was tested according to the outputs of
the model. The results of the test were accepted by a significance level of 0.001
(<0.05) and the regression weight of 0.83, as shown in Fig. 1.
res1
COM1
.69 .86
COM2
.70
.69
COM3 COM I
.66
COM5 .74
COM6
.93 res4 res5

COM14
res2
COM17
.69 .00 .69
.69 .85
COM18 .89 SAT1
.75
.72 .92 Competency: .83 Owner .88
COM19 COM II SAT2
.70
.74
COM Satisfaction: SAT .68
COM20 SAT3
.77
COM21 .84
res3
COM22
.70
COM10
.82
COM11 .77 COM III
.74
COM12 Chi-square = 149.500, df = 131, p = .128
CMIN/DF = 1.141, GFI = .895, RMSEA = .033
Fig. 1 Structural equation model of Thai SME contractors for owner satisfaction
5 Conclusions
The researcher conducted a factor analysis of the competency of Thai SME con-
tractors for the satisfaction of the owners in construction projects in Thailand. After
the project owner with experience in hiring contractors completed a total of 198
questionnaires, the researcher analyzed the questionnaires to confirm the factors.
From the factors relating to the competency of Thai SME contractors, the researcher
formulated a causal relationship model with the statistical technique SEM and
found three competency factors with a positive effect on owner satisfaction:
(1) COM I: preparedness of equipment and manpower to start and complete
assigned work, good management on material storage, housekeeping and document
detailing as well as promise delivery. (2) COM II: worker conduct to gain the
project owners’ trust in terms of sufficient knowledge to owners’ inquiries,
understanding, and tending owners’ specific needs, problem-solving, after-sales
maintenance services, and post-work tidiness. (3) COM III: periodical report of
work progress, especially on task schedule with prompt service. According to the
competency definition presented by David C. McClelland [6, 7], COM I, COM II,
and COM III are defined as attributes, skills, and knowledge, respectively. In order
to formulate a competency model to explain Thai SME contractor behaviors for
owner satisfaction, the top two highest weight scores of each factor were selected
for the model. The completed model is shown in Fig. 2. The competency model of
Thai SME contractors could be used as a strategy to improve the service quality of
Thai SME contractors to satisfy construction project owners in Thailand, as well as
for their business sustainability in the construction industry.
Competency of Thai SME Contractors
• Keeping their promises

Attributes
• Sufficient labours to finish work
Owner
• Providing and supervising work maintenance
Satisfaction
Skills services that has been done
• Having competence to solve problems
• Reporting work progress

Knowledge
• Informing plan when the service will be performed
Fig. 2 Competency model of Thai SME contractors

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Lecture Notes in Civil Engineering

Han Ay Lie · Monty Sutrisna ·

More information about this series at https://link.springer.com/bookseries/15087

Bonaventura H.W. Hadikusumo •

Leksmono Suryo Putranto

Proceedings of the Second

Joewono Prasetijo Bonaventura H.W. Hadikusumo

Leksmono Suryo Putranto

ISSN 2366-2557 ISSN 2366-2565 (electronic)

Prof. Han Ay Lie, Diponegoro University, Indonesia

International Scientiﬁc Committee

Prof. Leksmono Suryo Putranto, Universitas Tarumanagara, Indonesia

Prof. Ade Sjafruddin, Institut Teknologi Bandung, Indonesia

Local Organizing Committee

Semarang, Indonesia Han Ay Lie

Additional Horizontal Movement of the Single Pile Foundation

Review: Effects of Climate on the Geochemical Properties of Volcanic

Seismic Design Load Comparison of Reinforced Concrete Special

Priority of Sustainable Transport Policy Implementation

Game Theory Approach for Risk Allocation in Public Private

Analysis of Dominant External Factors on Construction Project

Prof. Dr. Han Ay Lie is working as Professor in the Department of Civil

Prof. Dr. Monty Sutrisna is Professor of Construction and Project Management at

Dr.-Ing. Joewono Prasetijo teaches in the Department of Transportation Engi-

Prof. Dr. Bonaventura H. W. Hadikusumo is Professor at the School of

Prof. Dr. Leksmono Suryo Putranto is Professor in the Department of Civil

Sumiyati Gunawan , Niken Silmi Surjandari, Bambang Setiawan,

Abstract Pile-foundation support the upper structure to the subgrade, it generally

Keywords Combined-load Single-pile Horizontal-displacement

S. Gunawan (&) N. S. Surjandari B. Setiawan Y. M. Purwana

certain modulus of soil elasticity, the horizontal deflection increases signiﬁcantly at

The process was divided into three stages.

2.1 Stage I: Analysis Using Finite Element Method 2D

2.2 Stage II: Laboratory Model Experimental Test

Table 1 Variations of soil parameters

2.3 Stage III: Analysis Using Finite Element Method 3D

Fig. 1 Laboratory test model

Table 3 Variation of loads Type of Pile Load (g) (until collapsed)

3 Results and Discussion

Fig. 6 Horizontal deflection at the head of the pile (laboratory test)

Fig. 8 Horizontal deflection

This, therefore, needs to be considered in calculating and planning the pile

Siti Nurlita Fitri and Niken Silmi Surjandari

Abstract Several areas in Wonogiri Regency are vulnerable to natural disasters,

Keywords Terraces Landslide Geotextile Limit equilibrium Slope

S. N. Fitri (&) N. S. Surjandari

Table 1 Landslide case in Wonogiri based on BNPB data (2014–2018)

(BNPB) discovered the landslides phenomenon appeared in many areas of

2.1 Soil Parameter and Model

2.2 Research Analysis Model

2.3 The Geotextile’s Allowable Stress Factors

rall geotextile’s allowable stress (kN/m2)

2.4 The Geotextile’s Reinforcement Analysis

Mr resistance moment (kNm)

3 Result and Discussion

Fig. 3 The result of resistance moment (Mr) in various model

Fig. 4 The result of radius of circle landslide (R) in various model

Fig. 5 The result of factor of safety (SF) in various model

Fig. 6 The result of n geotextile of safety in various model

9. Ismanti S (2012) Analisis perilaku timbunan dengan perkuatan geosintetik menggunakan