Risk-Based Construction Inspection: A Guide (2023)

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2023 N A T I O N A L C O O P E R A T I V E H I G H W A Y R E S E A R C H P R O G R A M NCHRP RESEARCH REPORT 1039 Risk-Based Construction Inspection A GUIDE Sid Scott Linda Konrath HKA Global, Inc. Philadelphia, PA Daniel Tran Mamdouh Mohamed University of Kansas Lawrence, KS Dulcy M. Abraham West Lafayette, IN Cecil Jones Diversified Engineering Services, Inc. Raleigh, NC Keith Molenaar Molenaar and Associates, LLC Boulder, CO Stephen Ryan JBC Associates, Inc. King of Prussia, PA Subscriber Categories Highways • Bridges and Other Structures • Construction Research sponsored by the American Association of State Highway and Transportation Ofcials in cooperation with the Federal Highway Administration

NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM Systematic, well-designed, and implementable research is the most effective way to solve many problems facing state departments of transportation (DOTs) administrators and engineers. Often, highway problems are of local or regional interest and can best be studied by state DOTs individually or in cooperation with their state universities and others. However, the accelerating growth of highway transporta- tion results in increasingly complex problems of wide interest to high- way authorities. These problems are best studied through a coordinated program of cooperative research. Recognizing this need, the leadership of the American Association of State Highway and Transportation Officials (AASHTO) in 1962 ini- tiated an objective national highway research program using modern scientific techniques—the National Cooperative Highway Research Program (NCHRP). NCHRP is supported on a continuing basis by funds from participating member states of AASHTO and receives the full cooperation and support of the Federal Highway Administration (FHWA), United States Department of Transportation, under Agree- ment No. 693JJ31950003. The Transportation Research Board (TRB) of the National Academies of Sciences, Engineering, and Medicine was requested by AASHTO to administer the research program because of TRB’s recognized objectivity and understanding of modern research practices. TRB is uniquely suited for this purpose for many reasons: TRB maintains an extensive com- mittee structure from which authorities on any highway transportation subject may be drawn; TRB possesses avenues of communications and cooperation with federal, state, and local governmental agencies, univer- sities, and industry; TRB’s relationship to the National Academies is an insurance of objectivity; and TRB maintains a full-time staff of special- ists in highway transportation matters to bring the findings of research directly to those in a position to use them. The program is developed on the basis of research needs iden- tified by chief administrators and other staff of the highway and transportation departments, by committees of AASHTO, and by the FHWA. Topics of the highest merit are selected by the AASHTO Special Committee on Research and Innovation (R&I), and each year R&I’s recommendations are proposed to the AASHTO Board of Direc- tors and the National Academies. Research projects to address these topics are defined by NCHRP, and qualified research agencies are selected from submitted proposals. Administration and surveillance of research contracts are the responsibilities of the National Academies and TRB. The needs for highway research are many, and NCHRP can make significant contributions to solving highway transportation problems of mutual concern to many responsible groups. The program, however, is intended to complement, rather than to substitute for or duplicate, other highway research programs. Published research reports of the NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM are available from Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet by going to https://www.mytrb.org/MyTRB/Store/default.aspx Printed in the United States of America NCHRP RESEARCH REPORT 1039 Project 10-102 ISSN 2572-3766 (Print) ISSN 2572-3774 (Online) ISBN 978-0-309-69867-2 Library of Congress Control Number 2023937736 © 2023 by the National Academy of Sciences. National Academies of Sciences, Engineering, and Medicine and the graphical logo are trade- marks of the National Academy of Sciences. All rights reserved. COPYRIGHT INFORMATION Authors herein are responsible for the authenticity of their materials and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce material in this publication for classroom and not-for-profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB, AASHTO, APTA, FAA, FHWA, FTA, GHSA, or NHTSA endorsement of a particular product, method, or practice. It is expected that those reproducing the material in this document for educational and not-for-profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission from CRP. NOTICE The research report was reviewed by the technical panel and accepted for publication according to procedures established and overseen by the Transportation Research Board and approved by the National Academies of Sciences, Engineering, and Medicine. The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research and are not necessarily those of the Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; the FHWA; or the program sponsors. The Transportation Research Board does not develop, issue, or publish standards or spec- ifications. The Transportation Research Board manages applied research projects which provide the scientific foundation that may be used by Transportation Research Board sponsors, industry associations, or other organizations as the basis for revised practices, procedures, or specifications. The Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; and the sponsors of the National Cooperative Highway Research Program do not endorse products or manufacturers. 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e National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, non- governmental institution to advise the nation on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Marcia McNutt is president. e National Academy of Engineering was established in 1964 under the charter of the National Academy of Sciences to bring the practices of engineering to advising the nation. Members are elected by their peers for extraordinary contributions to engineering. Dr. John L. Anderson is president. e National Academy of Medicine (formerly the Institute of Medicine) was established in 1970 under the charter of the National Academy of Sciences to advise the nation on medical and health issues. Members are elected by their peers for distinguished contributions to medicine and health. Dr. Victor J. Dzau is president. e three Academies work together as the National Academies of Sciences, Engineering, and Medicine to provide independent, objective analysis and advice to the nation and conduct other activities to solve complex problems and inform public policy decisions. e National Academies also encourage education and research, recognize outstanding contributions to knowledge, and increase public understanding in matters of science, engineering, and medicine. Learn more about the National Academies of Sciences, Engineering, and Medicine at www.nationalacademies.org. e Transportation Research Board is one of seven major programs of the National Academies of Sciences, Engineering, and Medicine. e mission of the Transportation Research Board is to provide leadership in transportation improvements and innovation through trusted, timely, impartial, and evidence-based information exchange, research, and advice regarding all modes of transportation. e Board’s varied activities annually engage about 8,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. e program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. Learn more about the Transportation Research Board at www.TRB.org.

C O O P E R A T I V E R E S E A R C H P R O G R A M S AUTHOR ACKNOWLEDGMENTS This research was performed under NCHRP Project 10-102 by HKA Global, Inc. (HKA). Sidney Scott III, P.E., of HKA and Daniel Tran, Ph.D., of the University of Kansas serve as Co-Principal Investigators. Other members of the research team include the following: • Mamdouh Mohamed, University of Kansas, • Linda Konrath of HKA, • Cecil Jones, P.E., of Diversified Engineering Services, Inc., • Dulcy Abraham, Ph.D., • Stephen Ryan, P.E., of JBC Associates, Inc., and • Keith Molenaar, Ph.D. The research team extends its gratitude and appreciation to the many DOT representatives who gave their time to participate in the survey and interviews. CRP STAFF FOR NCHRP RESEARCH REPORT 1039 Christopher J. Hedges, Director, Cooperative Research Programs Waseem Dekelbab, Deputy Director, Cooperative Research Programs, and Manager, National Cooperative Highway Research Program Ahmad Abu-Hawash, Senior Program Officer Sheila A. Moore, Program Associate Natalie Barnes, Director of Publications Heather DiAngelis, Associate Director of Publications Kathleen Mion, Assistant Editor NCHRP PROJECT 10-102 PANEL Field of Materials and Construction—Area of Specs, Procedures, and Practices Richard Paul Foley, California Department of Transportation (Caltrans), Sacramento, CA (Chair) Arif Cekic, HNTB Corporation, Detroit, MI Daba Shabara Gedafa, University of North Dakota, Grand Forks, ND Lanyea Griffin, Blacks In Green, Chicago, IL Ivan E. Ramirez, Contra Costa Transportation Authority, Walnut Creek, CA Lamar Sylvester, North Carolina Department of Transportation, Fuquay-Varina, NC Matthew Corrigan, FHWA Liaison

NCHRP Research Report 1039: Risk-Based Construction Inspection: A Guide presents a state-of-the-art methodology for risk-based construction inspection using a three-stage approach. This was achieved by prioritizing inspection activities and optimizing inspec- tion efforts and resources. Pilot studies involving several states were conducted to test and refine the methodology. A series of virtual workshops introduced the guide to state depart- ments of transportation (DOTs) and resulted in additional refinement. This report will be of immediate interest to the American Association of State Highway and Transportation Officials (AASHTO) Committee on Construction (COC), and highway construction and material engineers at state DOTs. State DOTs are currently facing the critical challenge of meeting an increased demand for highway system rehabilitation and construction work with reduced levels of funding and staff. NCHRP Synthesis 450: Forecasting Highway Construction Staffing Requirements found that DOTs are managing larger roadway systems with fewer in-house staff than they had 10 years ago. Experienced staff have developed skills to make effective decisions and address specific risks during the performance of their duties; however, those skills can be lost when they retire or are replaced by less seasoned staff. NCHRP Synthesis 450 found that staff constraints and the lack of needed skills are affecting virtually all DOT functions, with major impacts on construction inspection capabilities. This situation has motivated DOTs to seek out effective strategies to accomplish construction inspection operations and opti- mize resource allocation. There is an immediate need to incorporate risk-based approaches into current practices for construction inspection with an emphasis on increasing the effec- tiveness of inspection and optimizing inspection frequency. Under NCHRP Project 10-102, “A Guidebook for Risk-Based Construction Inspection,” HKA Global, Inc. was asked to (1) develop a guide for risk-based construction inspection and (2) plan and conduct a workshop to introduce the proposed guide to an audience of DOT staff and other stakeholders. F O R E W O R D By Ahmad Abu-Hawash Staff Officer Transportation Research Board

1 Summary 3 Chapter 1 Introduction 3 1.1 Background 3 1.2 Scope and Purpose 4 1.3 Overview of Risk-Based Methodology 5 1.4 Overview and Organization of the Guide 7 Chapter 2 Understanding Current Inspection Practices 7 2.1 Construction Inspection 12 2.2 Optimization Strategies 15 2.3 Summary 16 Chapter 3 Risk Assessment to Determine Priority of Inspections and Acceptance Methods 16 3.1 Overview of Risk-Based Construction Inspection Framework 16 3.2 Identification of Baseline Listing of Construction Inspection Activities 18 3.3 Risk Assessment of Core Inspection Activities and Construction Materials 27 Chapter 4 Determine Project-Level Resource Optimization 27 4.1 Step 1. Quantify Inspection Resources Based on Risk Tier 29 4.2 Step 2. Adjust Project Inspection Resources Based on Risk Mitigation Strategies 36 4.3 Summary of Strategies to Optimize Inspection Resources 39 Chapter 5 Implementation Strategies 39 5.1 Establishing the Need and Communicating the Benefits 40 5.2 Piloting the RBI Methodology with a Selected Number of Stakeholder DOTs 40 5.3 Demonstrating Savings with RBI and Emerging Technology 40 5.4 Training and Outreach 41 5.5 Demonstrations 42 References and Other Resources 44 Acronyms A-1 Appendix A Input Forms and Expert Ratings for Inspection Activities B-1 Appendix B Supplemental Guide Regarding Materials RBI C-1 Appendix C Emerging Inspection Technology Applications D-1 Appendix D Illustrative Case Study—Application of RBI Framework to Optimize Inspection Resources C O N T E N T S Note: Photographs, figures, and tables in this report may have been converted from color to grayscale for printing. The electronic version of the report (posted on the web at nap.nationalacademies.org) retains the color versions.