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Risk-Based Construction Inspection: A Guide (2023)

Chapter: Appendix A - Input Forms and Expert Ratings for Inspection Activities

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Page 45
Suggested Citation:"Appendix A - Input Forms and Expert Ratings for Inspection Activities." National Research Council. 2023. Risk-Based Construction Inspection: A Guide. Washington, DC: The National Academies Press. doi: 10.17226/27099.
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Page 46
Suggested Citation:"Appendix A - Input Forms and Expert Ratings for Inspection Activities." National Research Council. 2023. Risk-Based Construction Inspection: A Guide. Washington, DC: The National Academies Press. doi: 10.17226/27099.
×
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Page 47
Suggested Citation:"Appendix A - Input Forms and Expert Ratings for Inspection Activities." National Research Council. 2023. Risk-Based Construction Inspection: A Guide. Washington, DC: The National Academies Press. doi: 10.17226/27099.
×
Page 47
Page 48
Suggested Citation:"Appendix A - Input Forms and Expert Ratings for Inspection Activities." National Research Council. 2023. Risk-Based Construction Inspection: A Guide. Washington, DC: The National Academies Press. doi: 10.17226/27099.
×
Page 48
Page 49
Suggested Citation:"Appendix A - Input Forms and Expert Ratings for Inspection Activities." National Research Council. 2023. Risk-Based Construction Inspection: A Guide. Washington, DC: The National Academies Press. doi: 10.17226/27099.
×
Page 49
Page 50
Suggested Citation:"Appendix A - Input Forms and Expert Ratings for Inspection Activities." National Research Council. 2023. Risk-Based Construction Inspection: A Guide. Washington, DC: The National Academies Press. doi: 10.17226/27099.
×
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Suggested Citation:"Appendix A - Input Forms and Expert Ratings for Inspection Activities." National Research Council. 2023. Risk-Based Construction Inspection: A Guide. Washington, DC: The National Academies Press. doi: 10.17226/27099.
×
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Suggested Citation:"Appendix A - Input Forms and Expert Ratings for Inspection Activities." National Research Council. 2023. Risk-Based Construction Inspection: A Guide. Washington, DC: The National Academies Press. doi: 10.17226/27099.
×
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Suggested Citation:"Appendix A - Input Forms and Expert Ratings for Inspection Activities." National Research Council. 2023. Risk-Based Construction Inspection: A Guide. Washington, DC: The National Academies Press. doi: 10.17226/27099.
×
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Suggested Citation:"Appendix A - Input Forms and Expert Ratings for Inspection Activities." National Research Council. 2023. Risk-Based Construction Inspection: A Guide. Washington, DC: The National Academies Press. doi: 10.17226/27099.
×
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Suggested Citation:"Appendix A - Input Forms and Expert Ratings for Inspection Activities." National Research Council. 2023. Risk-Based Construction Inspection: A Guide. Washington, DC: The National Academies Press. doi: 10.17226/27099.
×
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Suggested Citation:"Appendix A - Input Forms and Expert Ratings for Inspection Activities." National Research Council. 2023. Risk-Based Construction Inspection: A Guide. Washington, DC: The National Academies Press. doi: 10.17226/27099.
×
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Suggested Citation:"Appendix A - Input Forms and Expert Ratings for Inspection Activities." National Research Council. 2023. Risk-Based Construction Inspection: A Guide. Washington, DC: The National Academies Press. doi: 10.17226/27099.
×
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Suggested Citation:"Appendix A - Input Forms and Expert Ratings for Inspection Activities." National Research Council. 2023. Risk-Based Construction Inspection: A Guide. Washington, DC: The National Academies Press. doi: 10.17226/27099.
×
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Suggested Citation:"Appendix A - Input Forms and Expert Ratings for Inspection Activities." National Research Council. 2023. Risk-Based Construction Inspection: A Guide. Washington, DC: The National Academies Press. doi: 10.17226/27099.
×
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Suggested Citation:"Appendix A - Input Forms and Expert Ratings for Inspection Activities." National Research Council. 2023. Risk-Based Construction Inspection: A Guide. Washington, DC: The National Academies Press. doi: 10.17226/27099.
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A-1   A P P E N D I X A Input Forms and Expert Ratings for Inspection Activities 0 1 2 3 4 0 None 1 Contractual 2 Minor 3 Major 4 Critical 1 2 3 Continual Intermittent End Product Required inspection only after the construction is completed No likelihood of failure Remote likelihood of nonconforming work Low likelihood of nonconforming work Required inspection at critical times in the operation Moderate likelihood of nonconforming work High likelihood of nonconforming work Results in life loss/multiple Severe injuries/critical safety concern Table 3. Activity Inspection Frequency Required inspection during the entire operation (full time inspection) Table 1. Probability Assessment No impact to achieve remaining service life Impact on uniform standards for bidding/contractual issues Materially affecting performance/ highway service interruption Substantial economic loss/ uselessness of the highway Table 2. Consequence Factor Assessment INSTRUCTIONS Please rate each critical inspection activity shown in the next Tab based on both probability and consequences (Tab 1_Insp. Risk Assessment). Please also provide your input on inspection frequency, documentation, and inspector experience associated with each activity (Tab 2_Insp. Strategies). Tables 1, 2, 3, 4, and 5 provide a brief definition of scales used for the assessment process. Thank you very much for your time and effort! NCHRP 10-102 A Guidebook for Risk-Based Construction Inspection (Inspection Risk Assessment Questionnaire) A.1 Risk Input/Assessment Forms None Rare Low Moderate High

A-2 Risk-Based Construction Inspection: A Guide Probability Consequence What is likelihood of nonconforming work? What is the consequence of nonconformance or failure of the work? 1 Lift Thickness: Verify material placement within specified lift thickness. 2 Embankment Stability: Ensure stability of embankment and slope against sliding by providing suitable materials, construction, foundation and a suitable bond. 3 Embankment Fine Grade Line: Ensure embankment to be constructed according to plan limits, and finished to specified line and grade. 4 Placement Inspection: Inspect placement of fill material and review checklist including required construction operations and tests. 5 Compaction Control: Perform and document density and moisture tests. 6 Drainage Work: Check placement of traditional drainage stone or geotextile accordance to specifications. 7 Foundation Preparation: Verify the foundation to be firm and uniform to line and grade as shown in the plans. 8 Slope Rounding/Shaping: Check slope rounding to be as shown in the plans. 9 Geotextile Placement: Verify placement of geotextile according to plans and specifications. 10 Excavation: Check excavation limits, required undercuts, safety. 11 Erosion control: Verify installation and maintenance of temporary erosion control devices and compliance with permits and Contract requirements … Others: _______________________________ 1 Base Patching: Ensure all failed pavement is defined, sub-grade is structurally sound, and delaminated concrete is removed 2 Lift Thickness: Verify base material placement within specified lift thickness. 3 Compaction Control: Verify moisture content, watering operations, and compaction 4 Placement Inspection: Inspect placement of base course material and review checklist including required construction operations and tests. 5 Drainage Layer and Pipe Installation: Verify construction of drainage layer, and check material approval and placement of drainage pipes. 6 Surface Smoothness/Tolerance: Inspect and document finished grade for smoothness and line and grade, and determine if all loose and segregated areas are repaired. … Others: _______________________________ Earthwork and Embankment (including structural backfills) Subbase/Base Course TYPICAL WORK TYPES CORE INSPECTION ACTIVITY RISK ASSESSMENT CONTACT INFORMATION (This information is only for checking, not reporting). First Name: Job Title: Last Name: Phone #: Your Organization: Email: NOTE: Please note that several activities are repeated in some Divisions/typical work types. However, the risk impact (e.g., probability and consequence) of these activities may be different. Please provide any comments if necessary. Thank you! 0 None 1 Junior < 2 years 1 Minimum 2 Intermediate 2 to 5 years 2 Moderate 3 Senior > 5 years 3 High 4 Very High Table 4. Documentation Level of Efforts Table 5. Inspector Experience 0% of inspector time < 10% of inspector time 10-30% of inspector time 30-70% of inspector time >70% of inspector time NOTE: Please note that Documentation Effort should include all required documentation related to core inspections, measurement and payment, and Contract compliance for Work Types.

Input Forms and Expert Ratings for Inspection Activities A-3   1 Expansion Joint Inspection: Verify construction of expansion joints according to plans and specifications. 2 Waterproofing Membrane: Check approval of waterproofing materials and provided documents, and inspect placement according to project specifications and plans. 3 Assembly, Erection, and Testing of Steel Girder Elements: Verify assembly, erection, and testing of steel girder elements according to contract plans and specifications 4 Precast Concrete Deck and Girders Placement: Inspect placement of precast concrete deck panels and girders; check for any damage or cracks. 5 Rebar Placement/Concrete Cover: Check placement of reinforced steel and concrete cover for length, location, size, spacing, and cover depth according to plans and specs. 6 Curing: Verify curing methods of concrete according to specified method and duration. 7 Finish/Texture/Skid Resistance: Inspect the finishing of concrete and check for finish, cracking, and skid resistance to comply with project specifications. 8 Formwork/ False Work: Inspect formwork elements and erection to comply with the required loading capacity, dimensions, and project specifications. 9 Fresh Concrete Testing (Slump, Air Content, Strength, Thickness): Cast strength specimens, perform required slump, temperature, air content, and probe tests 10 Vibration/Placement of Concrete: Monitor placement of concrete and use of vibrators or other approved equipment to consolidate concrete. 11 Surface Smoothness/Tolerance: Determine of smoothness using a straightedge, profiler or any other approved tool certified by the Department. 12 Monitoring Concrete Placement Duration: Verify concrete placement within specified duration to avoid hardening. … Others: _______________________________ 1 Finish/Texture: Inspect that concrete finishing complies with specification. 2 Formwork/ False work: Inspect formwork elements and erection to comply with the required loading capacity, dimensions, and project specifications. 3 Vibration/Placement of Concrete: Monitor placement of concrete and use of vibrators or other approved equipment to consolidate concrete. 4 Dimensions, Thickness and Grades: Check dimensions, thickness and grades of foundation according to project plans. 5 Rebar Placement/Concrete Cover: Check placement of reinforced steel and concrete cover for length, location, size, and covering space according to specifications and plans. 6 Survey Checking: Determine the precise location and elevations by surveying, staking, measurement, and calculations essential to different construction elements. 7 Fresh Concrete Testing (Slump, Air Content, Strength): Cast strength specimens, perform required slump, temperature, and air content tests 8 Piles and Drilled Shafts Operations: Ensuring proper placement and depth; Inspect piling for defects; splicing methods. 9 Pile Loading Test: Check loading capacity of the pile according to specifications and design requirements. 10 Monitoring Concrete Placement Duration: Verify concrete placement within specified duration to avoid hardening. … Others: _______________________________ 1 Curing: Verify curing method of concrete according to specified method and duration. 2 Vibration/Placement of Concrete: Monitor placement of concrete and use of vibrators or other approved equipment to consolidate concrete. 3 Formwork/ False work: Inspect formwork elements and erection to comply with the required loading capacity, dimensions, and project specifications. 4 Dimensions, Thickness and Grades: Check dimensions, thickness and grades of foundation or wall according to specifications. 5 Rebar Placement/Concrete Cover: Check placement of reinforced steel and concrete cover for length, location, size, and cover depth according to specifications and plans. 6 Fresh Concrete Testing (Slump, Air Content, Strength): Cast strength specimens, perform required slump, temperature, and air content tests 7 Monitoring Concrete Placement Duration: Verify concrete placement within specified duration to avoid hardening. … Others: _______________________________ 1 Checking for Damage before Placement: Check precast concrete elements for damage before placement. 2 Installation to Dimensions and Specifications: Verify concrete element dimension and installation according to specifications and plans. 3 Monitoring Rebar Placement during Fabrication: Visit manufacturing workshop to verify rebar placement and size according to specifications and plans. … Others: _______________________________ Bridge Deck and Girder Bridge Foundation, Pile, Abutment, Column, and Pier Cast-in-Place Structural Concrete (Retaining walls, Box culverts, Drainage structure, Concrete bases) Precast Concrete (Retaining walls, Box culverts, Drainage structure, Storm sewer) Probability Consequence What is likelihood of nonconforming work? What is the consequence of nonconformance or failure of the work? TYPICAL WORK TYPES CORE INSPECTION ACTIVITY RISK ASSESSMENT

A-4 Risk-Based Construction Inspection: A Guide 1 Joint Inspection: Verify joint spacing and reinforcement according to plans and specifications. 2 Vibration/Placement of Concrete: Monitor placement of concrete and use of vibrators or other approved equipment to consolidate concrete. 3 Surface Smoothness/Tolerance: Determine the minimum International Roughness Index (IRI) for pavement smoothness using a profiler approved by the Department. 4 Rebar Placement/Cover/Dowels: Review reinforcing steel, joint detailing, and dowel placement plan and verify dowel bar cages. 5 Fresh Concrete Testing (Slump, Air Content, Strength, Thickness): Cast strength specimens, perform required slump, temperature, air content, and probe tests 6 Dimensions, Thickness and Grades: Check dimensions, thickness and cross slope of PCCP pavement according to specifications. 7 Curing: Verify curing method of concrete according to specified method and duration. 8 Finish/Texture/Skid Resistance: Verify the finishing of concrete and inspect skid resistance to comply with specifications. … Others: _______________________________ 1 Coat and Surface Preparation: Check placement of liquid or emulsified asphalt/coat to a prepared subgrade or untreated base course according to project specifications. 2 Dimensions, Thickness and Grade: Verify HMA placement dimensions, thickness and grade according to specifications and plans. 3 Finish/Texture/Skid Resistance: Verify finishing HMA according to plans and inspect skid resistance to comply with specifications. 4 Surface Smoothness/Tolerance: Review profilograph/profile information as required for smoothness testing in accordance with specifications. 5 Longitudinal Joint Inspection: Check construction and location of longitudinal joints according to plans and project specifications. 6 Density (nuclear Gauge or other): Check and document density, stability, and moisture content of underlying material. 7 Laydown Inspection: Make sure cleaning of the roadway, usually by brooming to help HMA bonds to the underlying pavement and coat is applied. 8 Segregation: Observe any possible segregation during pavement placement. … Others: _______________________________ 1 Temporary Traffic Control: Verify the placing and maintaining temporary traffic control devices and related pavement markings to ensure the safety. 2 Pavement Marking: Verify pavement marking according to specifications and plans. 3 Traffic Signing: Check traffic sign size, orientation, elevation, visibility and installation, including supports and foundations. 4 Traffic Signals, Electrical, and Lighting: Verify type, locations and elevations of traffic signal, foundations, and poles according to plans and specifications. 5 Guardrail/Guiderail and Fencing Installation: Verify guardrail elements and post are installed and driven according to specifications to ensure that it performs correctly. 6 Coatings and Penetrating Sealants: Verify and record field condition, thickness; Ensure proper cleaning and painting of misc. items and placement. … Others: _______________________________ Rigid Pavement (PCCP) Flexible Pavement (HMA) Miscellaneous Probability Consequence What is likelihood of nonconforming work? What is the consequence of nonconformance or failure of the work? TYPICAL WORK TYPES CORE INSPECTION ACTIVITY RISK ASSESSMENT

Input Forms and Expert Ratings for Inspection Activities A-5   A.2 Inspection Frequency, Documentation, and Experience Input Form Inspection Frequency Documentation Effort Inspector Experience What is the required inspection frequency for this activity? What is the required inspector experience for this activity? 1 Lift Thickness: Verify material placement within specified lift thickness. 2 Embankment Stability: Ensure stability of embankment and slope against sliding by providing suitable materials, construction, foundation and a suitable bond. 3 Embankment Fine Grade Line: Ensure embankment to be constructed according to plan limits, and finished to specified line and grade. 4 Placement Inspection: Inspect placement of fill material and review checklist including required construction operations and tests. 5 Compaction Control: Perform and document density and moisture tests . 6 Drainage Work: Check placement of traditional drainage stone or geotextile accordance to specifications. 7 Foundation Preparation: Verify the foundation to be firm and uniform to line and grade as shown in the plans. 8 Slope Rounding/Shaping: Check slope rounding to be as shown in the plans. 9 Geotextile Placement: Verify placement of geotextile according to plans and specifications. 10 Excavation: Check excavation limits, required undercuts, safety. 11 Erosion control: Verify installation and maintenance of temporary erosion control devices and compliance with permits and Contract requirements … Others: _______________________________ 1 Base Patching: Ensure all failed pavement is defined, sub-grade is structurally sound, and delaminated concrete is removed 2 Lift Thickness: Verify base material placement within specified lift thickness. 3 Compaction Control: Verify moisture content, watering operations, and compaction 4 Placement Inspection: Inspect placement of base course material and review checklist including required construction operations and tests. 5 Drainage Layer and Pipe Installation: Verify construction of drainage layer, and check material approval and placement of drainage pipes. 6 Surface Smoothness/Tolerance: Inspect and document finished grade for smoothness and line and grade, and determine if all loose and segregated areas are repaired. … Others: _______________________________ 1 Expansion Joint Inspection: Verify construction of expansion joints according to plans and specifications. 2 Waterproofing Membrane: Check approval of waterproofing materials and provided documents, and inspect placement according to project specifications and plans. 3 Assembly, Erection, and Testing of Steel Girder Elements: Verify assembly, erection, and testing of steel girder elements according to contract specifications and plans. 4 Precast Concrete Deck and Girders Placement: Inspect placement of precast concrete deck and girders according to plans and specifications and check for any damage or cracks. 5 Rebar Placement/Concrete Cover: Check placement of reinforced steel and concrete cover for length, location, size, and cover depth according to specifications and plans. 6 Curing: Verify curing methods of concrete according to specified method and duration. 7 Finish/Texture/Skid Resistance: Inspect the finishing of concrete and check skid resistance to comply with project specifications. 8 Formwork/ False Work: Inspect formwork elements and erection to comply with the required loading capacity, dimensions, and project specifications. 9 Fresh Concrete Testing (Slump, Air Content, Strength, and Thickness): Cast strength specimens, perform required slump, temperature, air content, and probe tests 10 Vibration/Placement of Concrete: Monitor placement of concrete and use of vibrators or other approved equipment to consolidate concrete. 11 Surface Smoothness/Tolerance: Determine of smoothness using a straightedge, profiler or any other approved tool certified by the Department. 12 Monitoring Concrete Placement Duration: Verify concrete placement within specified duration to avoid hardening. … Others: _______________________________ Subbase/Base Course TYPICAL WORK TYPES CORE INSPECTION ACTIVITY INSPECTION PRACTICES AND STRATEGIES Earthwork and Embankment (including structural backfills) Bridge Deck and Girder What is the documentation level of efforts for this activity?

A-6 Risk-Based Construction Inspection: A Guide 1 Finish/Texture: Inspect that concrete finishing complies with specification. 2 Formwork/ False work: Inspect formwork elements and erection to comply with the required loading capacity, dimensions, and project specifications. 3 Vibration/Placement of Concrete: Monitor placement of concrete and use of vibrators or other approved equipment to consolidate concrete. 4 Dimensions, Thickness and Grades: Check dimensions, thickness and grades of foundation according to project plans. 5 Rebar Placement/Concrete Cover: Check placement of reinforced steel and concrete cover for length, location, size, and cover depth according to specifications and plans. 6 Survey Checking: Determine the precise location and elevations by surveying, staking, measurement, and calculations essential to different construction elements. 7 Fresh Concrete Testing (Slump, Air Content, Strength): Cast strength specimens, perform required slump, temperature, and air content tests 8 Piles and Drilled Shafts Operations: Ensuring proper placement and depth; Inspect piling for defects; splicing methods. 9 Pile Loading Test: Check loading capacity of the pile according to specifications and design requirements. 10 Monitoring Concrete Placement Duration: Verify concrete placement within specified duration to avoid hardening. … Others: _______________________________ 1 Curing: Verify curing method of concrete according to specified method and duration. 2 Vibration/Placement of Concrete: Monitor placement of concrete and use of vibrators or other approved equipment to consolidate concrete. 3 Formwork/ False work: Inspect formwork elements and erection to comply with the required loading capacity, dimensions, and project specifications. 4 Dimensions, Thickness and Grades: Check dimensions, thickness and grades of foundation or wall according to project plans. 5 Rebar Placement/Concrete Cover: Check placement of reinforced steel and concrete cover for length, location, size, and cover depth according to specifications and plans. 6 Fresh Concrete Testing (Slump, Air Content, Strength): Cast strength specimens, perform required slump, temperature, and air content tests 7 Monitoring Concrete Placement Duration: Verify concrete placement within specified duration to avoid hardening. … Others: _______________________________ 1 Checking for Damages before Placement: Check precast concrete element for damages before placement. 2 Installation to Dimensions and Specifications: Verify concrete element dimension and installation according to specifications and plans. 3 Monitoring Rebar Placement during Fabrication: Visit manufacturing workshop to verify rebar placement and size according to specifications and plans … Others: _______________________________ 1 Joint Inspection: Verify joint spacing and reinforcement according to plans and specifications. 2 Vibration/Placement of Concrete: Monitor placement of concrete and use of vibrators or other approved equipment to consolidate concrete. 3 Surface Smoothness/Tolerance: Determine the minimum International Roughness Index (IRI) for pavement smoothness using a profiler approved by the Department. 4 Rebar Placement/Cover/Dowels: Review reinforcing steel, joint detailing, and dowel placement plan and verify dowel bar cages. 5 Fresh Concrete Testing (Slump, Air Content, Strength, Thickness): Cast strength specimens, perform required slump, temperature, air content, and probe tests 6 Dimensions, Thickness and Grades: Check dimensions, thickness and cross-slope of PCCP pavement according to specifications. 7 Curing: Verify curing method of concrete according to specified method and duration. 8 Finish/Texture/Skid Resistance: Verify the finishing of concrete and inspect skid resistance to comply with specifications. … Others: _______________________________ Bridge Foundation, Pile, Abutment, Column, and Pier Cast-in-Place Structural Concrete (Retaining walls, Box culverts, Drainage structure, Concrete bases) Precast Concrete (Retaining walls, Box culverts, Drainage structure, Storm sewer) Rigid Pavement (PCCP) Inspection Frequency Documentation Effort Inspector Experience What is the required inspection frequency for this activity? What is the required inspector experience for this activity? TYPICAL WORK TYPES CORE INSPECTION ACTIVITY INSPECTION PRACTICES AND STRATEGIES What is the documentation level of efforts for this activity?

Input Forms and Expert Ratings for Inspection Activities A-7   1 Coat and Surface Preparation: Check placement of liquid or emulsified asphalt/coat to a prepared subgrade or untreated base course according to project specifications. 2 Dimensions, Thickness and Grade: Verify HMA placement dimensions, thickness and grade according to specifications and plans. 3 Finish/Texture/Skid Resistance: Verify finishing HMA according to plans and inspect skid resistance to comply with specifications. 4 Surface Smoothness/Tolerance: Review profilograph/profile information as required for smoothness testing in accordance with specifications. 5 Longitudinal Joint Inspection: Check construction and location of longitudinal joints according to plans and project specifications. 6 Density (nuclear Gage or other): Check and document grade and density of underlying material. 7 Laydown Inspection: Make sure cleaning of the roadway, usually by brooming to help HMA bonds to the underlying pavement and coat is applied. 8 Segregation: Observe any possible segregation during pavement placement. … Others: _______________________________ 1 Temporary Traffic Control: Verify the placing and maintaining temporary traffic control devices and related pavement markings to ensure the safety. 2 Pavement Marking: Verify pavement marking according to specifications and plans. 3 Traffic Signing: Check traffic sign size, orientation, elevation, visibility and installation, including supports and foundations. 4 Traffic Signals, Electrical, and Lighting: Verify type, locations and elevations of traffic signal, foundations, and poles according to plans and specifications. 5 Guardrail/Guiderail and Fencing Installation: Verify guardrail elements and post are installed and driven according to specifications to ensure that it performs correctly. 6 Coatings and Penetrating Sealants: Verify and record field condition, thickness; Ensure proper cleaning and painting of misc. items and placement. … Others: _______________________________ Miscellaneous Flexible Pavement (HMA) Inspection Frequency Documentation Effort Inspector Experience What is the required inspection frequency for this activity? What is the required inspector experience for this activity? TYPICAL WORK TYPES CORE INSPECTION ACTIVITY INSPECTION PRACTICES AND STRATEGIES What is the documentation level of efforts for this activity?

A-8 Risk-Based Construction Inspection: A Guide A.3 Expert Ratings for Core Inspection Activities (Average Risk Scores, Inspection Frequency, Documentation Levels, and Inspector Experience) (Based on the input from 15 state DOTs and verified by 31 state DOTs) Component No. Field Inspection Average Risk Score Inspection Frequency (Mode) Documentation Effort (Mode) Inspector Experience (Mode) Earthwork and Embankment (including structural backfills) 1 Compaction Control: Perform and document density and moisture tests. 7.27 Intermittent Level 2 Junior 2 Embankment Stability: Ensure stability of Embankment and slope against sliding by providing suitable materials, construction, foundation, and a suitable bond. 7.80 Intermittent Level 3 Intermediate 3 Lift Thickness: Verify material placement within specified lift thickness. 6.40 Intermittent Level 3 Junior 4 Drainage Work: Check the placement of traditional drainage stone or geotextile in accordance with specifications. 6.80 Intermittent Level 2 Junior 5 Foundation Preparation: Verify the foundation to be firm and uniform to line and grade as shown in the plans. 7.93 Intermittent Level 3 Junior 6 Erosion control: Verify installation and maintenance of temporary erosion control devices and compliance with permits and Contract requirements. 6.27 Intermittent Level 2 Junior 7 Geotextile Placement: Verify placement of geotextile according to plans and specifications. 6.60 Intermittent Level 3 Junior 8 Embankment Fine Grade Line: Ensure Embankment is constructed according to plan limits and finished to the specified line and grade. 4.60 End Product Level 3 Junior 9 Excavation: Check excavation limits, required undercuts, and safety. 5.47 Intermittent Level 3 Intermediate 10 Placement Inspection: Inspect placement of fill material and review checklist including required construction operations and tests. 4.36 Intermittent Level 2 Junior

Input Forms and Expert Ratings for Inspection Activities A-9   Component No. Field Inspection Average Risk Score Inspection Frequency (Mode) Documentation Effort (Mode) Inspector Experience (Mode) 11 Slope Rounding/Shaping: Check slope rounding as shown in the plans. 2.67 End Product Level 3 Junior Subbase/Base Course 1 Base Patching: Ensure all failed pavement is defined, subgrade is structurally sound, and delaminated concrete is removed. 6.73 Intermittent Level 3 Junior 2 Compaction Control: Verify moisture content, watering operations, and compaction. 7.00 Intermittent Level 2 Junior 3 Drainage Layer and Pipe Installation: Verify construction of drainage layer and check material approval and placement of drainage pipes. 7.47 Intermittent Level 2 Intermediate 4 Surface Smoothness/ Tolerance: Inspect and document finished grade for smoothness and line and grade and determine if all loose and segregated areas are repaired. 5.53 End Product Level 3 Intermediate 5 Lift Thickness: Verify base material placement within specified lift thickness. 5.27 Intermittent Level 3 Junior 6 Placement Inspection: Inspect placement of base course material and review checklist, including required construction operations and tests. 5.13 Intermittent Level 2 Junior Bridge Deck and Girder 1 Assembly, Erection, and Testing of Steel Girder Elements: Verify assembly, erection, and testing of steel girder elements according to contract specifications and plans. 12.00 Continual Level 2 Senior 2 Precast Concrete Deck and Girders Placement: Inspect the placement of precast concrete deck and girders according to plans and specifications and check for any damage or cracks. 9.53 Continual Level 2 Intermediate 3 Rebar Placement/Concrete Cover: Check the placement of reinforced steel and concrete cover for length, location, size, and cover depth according to specifications and plans. 10.13 Intermittent Level 3 Intermediate

A-10 Risk-Based Construction Inspection: A Guide Component No. Field Inspection Average Risk Score Inspection Frequency (Mode) Documentation Effort (Mode) Inspector Experience (Mode) 4 Formwork/ False Work: Inspect formwork elements and erection to comply with the required loading capacity, dimensions, and project specifications. 7.53 Intermittent Level 3 Senior 5 Fresh Concrete Testing (Slump, Air Content, Strength, and Thickness): Cast strength specimens, perform required slump, temperature, air content, and probe tests. 8.80 Intermittent Level 1 Junior 6 Curing: Verify curing methods of concrete according to specified method and duration. 7.13 Intermittent Level 3 Junior 7 Vibration/Placement of Concrete: Monitor placement of concrete and use of vibrators or other approved equipment to consolidate the concrete. 7.60 Continual Level 3 Junior 8 Monitoring Concrete Placement Duration: Verify concrete placement within a specified duration to avoid hardening. 6.87 Continual Level 3 Junior 9 Expansion Joint Inspection: Verify construction of expansion joints according to plans and specifications. 7.00 Intermittent Level 3 Intermediate 10 Finish/Texture/Skid Resistance: Inspect the finishing of concrete and check skid resistance to comply with project specifications. 5.47 End Product Level 3 Intermediate 11 Surface Smoothness/Tolerance: Determine smoothness using a straightedge, profiler, or any other approved tool certified by the Department. 5.13 End Product Level 3 Junior 12 Waterproofing Membrane: Check approval of waterproofing materials and provided documents and inspect placement according to project specifications and plans. 6.00 Intermittent Level 3 Junior

Input Forms and Expert Ratings for Inspection Activities A-11   Component No. Field Inspection Average Risk Score Inspection Frequency (Mode) Documentation Effort (Mode) Inspector Experience (Mode) 2 Formwork/ Falsework: Inspect formwork elements and erection to comply with the required loading capacity, dimensions, and project specifications. 8.20 End Product Level 3 Intermediate 3 Pile Loading Test: Check the loading capacity of the pile according to specifications and design requirements. 8.33 Intermittent Level 2 Senior 4 Rebar Placement/Concrete Cover: Check the placement of reinforced steel and concrete cover for length, location, size, and cover depth according to specifications and plans. 8.33 Intermittent Level 2 Intermediate 5 Fresh Concrete Testing (Slump, Air Content, Strength): Cast strength specimens, perform required slump, temperature, and air content tests. 8.20 Intermittent Level 2 Junior 6 Vibration/Placement of Concrete: Monitor placement of concrete and use of vibrators or other approved equipment to consolidate the concrete. 7.93 Continual Level 3 Junior 7 Monitoring Concrete Placement Duration: Verify concrete placement within a specified duration to avoid hardening. 6.33 Continual Level 3 Junior 8 Dimensions, Thickness and Grades: Check the dimensions, thickness, and grades of the foundation according to project plans. 7.47 Intermittent Level 2 Intermediate 9 Survey Checking: Determine the precise location and elevations by surveying, staking, measurement, and calculations essential to different construction elements. 7.33 Intermittent Level 1 Intermediate 10 Finish/Texture: Inspect that concrete finishing complies with the specification. 5.20 End Product Level 3 Junior Column, and Pier Bridge Foundation, Pile, Abutment, 1 Piles and Drilled Shafts Operations: Ensuring proper placement and depth; Inspect piling for defects; splicing methods. 9.27 Continual Level 1 Senior

A-12 Risk-Based Construction Inspection: A Guide Component No. Field Inspection Average Risk Score Inspection Frequency (Mode) Documentation Effort (Mode) Inspector Experience (Mode) 2 Formwork/ Falsework: Inspect formwork elements and erection to comply with the required loading capacity, dimensions, and project specifications. 6.27 End Product Level 3 Intermediate 3 Curing: Verify the curing method of concrete according to the specified method and duration. 6.00 Intermittent Level 3 Junior 4 Fresh Concrete Testing (Slump, Air Content, Strength): Cast strength specimens, perform required slump, temperature, and air content tests. 7.13 Intermittent Level 2 Junior 5 Vibration/Placement of Concrete: Monitor placement of concrete and use of vibrators or other approved equipment to consolidate the concrete. 5.80 Intermittent Level 3 Junior 6 Rebar Placement/Concrete Cover: Check the placement of reinforced steel and concrete cover for length, location, size, and cover depth according to specifications and plans. 7.27 Intermittent Level 2 Intermediate 7 Dimensions, Thickness and Grades: Check the dimensions, thickness, and grades of the foundation or wall according to project plans. 6.20 Intermittent Level 2 Intermediate Precast Concrete (Retaining walls, Box culverts, Drainage structure, Storm sewer) 1 Monitoring Rebar Placement during Fabrication: Visit the manufacturing workshop to verify rebar placement and size according to specifications and plans. 7.20 Intermittent Level 2 Intermediate 2 Checking for Damages before Placement: Check precast concrete elements for damages before placement. 6.87 Intermittent Level 3 Intermediate 3 Installation to Dimensions and Specifications: Verify concrete element dimension and installation according to specifications and plans. 6.07 Intermittent Level 2 Intermediate culverts, Drainage structure, Concrete bases) Cast-in-Place Structural Concrete (Retaining walls, Box 1 Monitoring Concrete Placement Duration: Verify concrete placement within a specified duration to avoid hardening. 5.60 Continual Level 3 Junior

Input Forms and Expert Ratings for Inspection Activities A-13   Component No. Field Inspection Average Risk Score Inspection Frequency (Mode) Documentation Effort (Mode) Inspector Experience (Mode) 2 Rebar Placement/ Cover/Dowels: Review reinforcing steel, joint detailing, and dowel placement plan and verify dowel bar cages. 7.20 Intermittent Level 3 Intermediate 3 Fresh Concrete Testing (Slump, Air Content, Strength, Thickness): Cast strength specimens, perform required slump, temperature, air content, and probe tests. 6.60 Intermittent Level 1 Junior 4 Vibration/Placement of Concrete: Monitor placement of concrete and use of vibrators or other approved equipment to consolidate the concrete. 5.47 Intermittent Level 3 Junior 5 Joint Inspection: Verify joint spacing and reinforcement according to plans and specifications. 5.53 Intermittent Level 3 Junior 6 Surface Smoothness/Tolerance: Determine the minimum International Roughness Index (IRI) for pavement smoothness using a profiler approved by the Department. 4.67 End Product Level 1 Intermediate 7 Dimensions, Thickness and Grades: Check dimensions, thickness, and cross-slope of PCCP pavement according to specifications. 4.40 Intermittent Level 3 Junior 8 Finish/Texture/Skid Resistance: Verify the finishing of concrete and inspect skid resistance to comply with specifications. 4.67 End Product Level 3 Intermediate Flexible Pavement (HMA) 1 Laydown Inspection: Make sure cleaning of the roadway, usually by brooming to help HMA bonds to the underlying pavement and coat is applied. 6.87 Continual Level 3 Junior 2 Density (nuclear Gage or other): Check and document the grade and density of underlying material. 6.53 Intermittent Level 1 Intermediate 3 Segregation: Observe any possible segregation during pavement placement. 6.73 Intermittent Level 3 Intermediate Rigid Pavement (PCCP) 1 Curing: Verify the curing method of concrete according to the specified method and duration. 6.00 Intermittent Level 3 Junior

A-14 Risk-Based Construction Inspection: A Guide Component No. Field Inspection Average Risk Score Inspection Frequency (Mode) Documentation Effort (Mode) Inspector Experience (Mode) 4 Coat and Surface Preparation: Check the placement of liquid or emulsified asphalt/coat to a prepared subgrade or untreated base course according to project specifications. 5.80 Intermittent Level 3 Junior 5 Longitudinal Joint Inspection: Check construction and location of longitudinal joints according to plans and project specifications. 5.80 Intermittent Level 3 Intermediate 6 Dimensions, Thickness and Grade: Verify HMA placement dimensions, thickness, and grade according to specifications and plans. 5.87 Intermittent Level 2 Junior 7 Surface Smoothness/ Tolerance: Review profile graph/profile information as required for smoothness testing in accordance with specifications. 4.53 End Product Level 2 Intermediate 8 Finish/Texture/Skid Resistance: Verify finishing HMA according to plans and inspect skid resistance to comply with specifications. 3.80 End Product Level 3 Intermediate Miscellaneous 1 Temporary Traffic Control: Check the placing and maintaining temporary traffic control devices and related documentation to ensure safety. 10.07 Intermittent Level 3 Intermediate 2 Guiderail and Fencing Installation: Verify guardrail elements and post are installed and driven according to specifications to ensure that it performs correctly. 7.40 Intermittent Level 3 Intermediate 3 Pavement Marking: Verify pavement marking according to specifications and plans. 5.80 Intermittent Level 3 Junior 4 Traffic Signals, Electrical, and Lighting: Verify the type, locations, and elevations of the traffic signal, foundations, and poles according to plans and specifications. 6.00 Intermittent Level 2 Intermediate 5 Traffic Signing: Check traffic- sign size, orientation, elevation, visibility, and installation, 4.60 Intermittent Level 3 Intermediate

Input Forms and Expert Ratings for Inspection Activities A-15   Component No. Field Inspection Average Risk Score Inspection Frequency (Mode) Documentation Effort (Mode) Inspector Experience (Mode) including supports and foundations. 6 Coatings and Penetrating Sealants: Verify and record field condition and thickness; Ensure proper cleaning and painting of miscellaneous items and placement. 4.20 Intermittent Level 3 Intermediate

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Due to budget cuts and reduced experience levels of inspectors and engineers, state departments of transportation (DOTs) have implemented risk-based strategies to achieve greater efficiency in construction inspection. These strategies include prioritizing inspection based on inherent risks related to construction operations, using emerging technology applications to save time, and accepting certification and contractors' test results to offset shortages of experienced inspection resources.

NCHRP Research Report 1039: Risk-Based Construction Inspection: A Guide, from TRB's National Cooperative Highway Research Program, discusses the importance of construction inspection and aims to assist state DOTs and the U.S. Federal Highway Administration in meeting quality standards.

Supplemental to the report are NCHRP Web-Only Document 344: Risk-Based Construction Inspection: Conduct of Research Report and an Inspection Risk Assessment Questionnaire.

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