Abstract

At state transportation agencies (STAs), construction inspection is pivotal to ensuring infrastructure quality. Due to current challenges, STAs have been exploring a risk-based inspection strategy. However, the lack of a systematic approach for risk identification and assessment at the construction activity level is the main limitation. Therefore, this paper introduces an integrated risk-based construction inspection framework by developing a risk breakdown matrix (RBM). Using RBM, critical risks are identified and assessed at the construction activity level. The overall framework is evaluated by using the concrete pavement project as a test case. Results show that the framework could provide risk information (e.g., risk rankings) of construction activities as well as the overall project risk level. The major contribution is that the proposed framework can be applied to various infrastructure projects at STAs, allowing for effective inspection resource allocation, reduction of the inspector’s workload, and consistency in inspection practices.

Get full access to this article

View all available purchase options and get full access to this article.

Data Availability Statement

Some or all data, models, or codes that support the findings of this study are available from the corresponding author upon reasonable request.

Acknowledgments

The study described in this paper was partially supported by the South Carolina Department of Transportation. The contents of this paper reflect the views of the authors, who are responsible for the facts and the accuracy of the data presented herein, and do not necessarily reflect the official views or policies of the sponsoring organizations. These contents do not constitute a standard, specification, or regulation.

References

Adler, N., L. Friedman, and Z. Sinuany-Stern. 2002. “Review of ranking methods in the data envelopment analysis context.” Eur. J. Oper. Res. 140 (2): 249–265. https://doi.org/10.1016/S0377-2217(02)00068-1.
Bargagliotti, A. E., S. E. Martonosi, M. E. Orrison, A. H. Johnson, and S. A. Fefer. 2021. “Using ranked survey data in education research: Methods and applications.” J. Sch. Psychol. 85 (Apr): 17–36. https://doi.org/10.1016/j.jsp.2020.12.005.
Cai, H., J. Jeon, X. Xu, Y. Zhang, and L. Yang. 2020. Automating the generation of construction checklists. West Lafayette, IN: Purdue Univ.
Cai, J., Q. Gao, H. Chun, H. Cai, and T. Nantung. 2019. “Spatial autocorrelation in soil compaction and its impact on earthwork acceptance testing.” Transp. Res. Rec. 2673 (1): 332–342. https://doi.org/10.1177/0361198118822279.
Choudhry, R. M., M. A. Aslam, J. W. Hinze, and F. M. Arain. 2014. “Cost and schedule risk analysis of bridge construction in Pakistan: Establishing risk guidelines.” J. Constr. Eng. Manage. 140 (7): 04014020. https://doi.org/10.1061/(ASCE)CO.1943-7862.0000857.
Choudhry, R. M., and D. Fang. 2008. “Why operatives engage in unsafe work behavior: Investigating factors on construction sites.” Saf. Sci. 46 (4): 566–584. https://doi.org/10.1016/j.ssci.2007.06.027.
De Carlo, F., O. Borgia, and M. Tucci. 2011. “Risk-based inspections enhanced with Bayesian networks.” Proc. Inst. Mech. Eng. Part O J. Risk Reliab. 225 (3): 375–386. https://doi.org/10.1177/1748006XJRR368.
Dick, G. P. M. 2000. “ISO 9000 certification benefits, reality or myth?” TQM Mag. 12 (6): 365–371. https://doi.org/10.1108/09544780010351517.
Dunn, J. C. 1973. “A fuzzy relative of the ISODATA process and its use in detecting compact well-separated clusters.” J. Cybern. 3 (3): 32–57. https://doi.org/10.1080/01969727308546046.
El-Sayegh, S. M., and M. H. Mansour. 2015. “Risk assessment and allocation in highway construction projects in the UAE.” J. Manage. Eng. 31 (6): 04015004. https://doi.org/10.1061/(ASCE)ME.1943-5479.0000365.
FHWA (Federal Highway Administration). 2012. “Companion resource for construction quality assurance.” Accessed July 26, 2021. https://www.fhwa.dot.gov/federal-aidessentials/companionresources/16quality.pdf.
FHWA (Federal Highway Administration). 2013. “Guidebook for risk assessment in public private partnerships.” Accessed July 2, 2021. https://rosap.ntl.bts.gov/view/dot/29038.
Friedman, M. 1937. “The use of ranks to avoid the assumption of normality implicit in the analysis of variance.” J. Am. Stat. Assoc. 32 (200): 675–701. https://doi.org/10.1080/01621459.1937.10503522.
Gan, L., Q. Shen, D. Xu, and W. Wang. 2014. “Quality risk control for GSC dynamic alliance in large-scale construction projects.” In Proc., 2014 7th Int. Conf. Computational Science Optimal, 631–635. New York: IEEE.
Ghosh, S., and S. Kumar Dubey. 2013. “Comparative analysis of K-means and fuzzy C-means algorithms.” Int. J. Adv. Comput. Sci. Appl. 4 (4): 35–39. https://doi.org/10.14569/IJACSA.2013.040406.
Gough, C. 2008. “State of the art in carbon dioxide capture and storage in the UK: An experts’ review.” Int. J. Greenhouse Gas Control 2 (1): 155–168. https://doi.org/10.1016/S1750-5836(07)00073-4.
Guo, S., J. Li, J. He, W. Luo, and B. Chen. 2022. “A modified risk matrix method for behavioral risk evaluation in the construction industry.” J. Asian Archit. Build. Eng. 21 (3): 1053–1066. https://doi.org/10.1080/13467581.2021.1905647.
Hamzaoui, F., F. Taillandier, R. Mehdizadeh, D. Breysse, and A. Allal. 2015. “Evolutive risk breakdown structure for managing construction project risks: Application to a railway project in Algeria.” Eur. J. Environ. Civ. Eng. 19 (2): 238–262. https://doi.org/10.1080/19648189.2014.939416.
Hensing, D. J., S. Rowshan, and D. Hensing. 2003. Outsourcing of state DOT capital program delivery functions. Washington, DC: Transportation Research Board.
Hillson, D. 2003. “Using a risk breakdown structure in project management.” J. Facil. Manage. 2 (1): 85–97. https://doi.org/10.1108/14725960410808131.
Hillson, D., S. Grimaldi, and C. Rafele. 2006. “Managing project risks using a cross risk breakdown matrix.” Risk Manage. 8 (1): 61–76. https://doi.org/10.1057/palgrave.rm.8250004.
Holzmann, V., and I. Spiegler. 2011. “Developing risk breakdown structure for information technology organizations.” Int. J. Project Manage. 29 (5): 537–546. https://doi.org/10.1016/j.ijproman.2010.05.002.
Hopkin, P. 2018. Fundamentals of risk management: Understanding, evaluating and implementing effective risk management. London: Kogan Page Publishers.
INDOT (Indiana Department of Transportation). 2019. Long-range transportation plan (2018-2045 Transportation Needs Report). Indianapolis: INDOT.
Iranmanesh, H., M. Jalili, and Z. Pirmoradi. 2007. “Developing a new structure for determining time risk priority using risk breakdown matrix in EPC Projects.” In Proc., 2007 IEEE Int. Conf. on Industrial Engineering and Engineering Management, 999–1003. New York: IEEE.
Jain, A. K. 2010. “Data clustering: 50 years beyond K-means.” Pattern Recognit. Lett. 31 (8): 651–666. https://doi.org/10.1016/j.patrec.2009.09.011.
Jarkas, A. M., and T. C. Haupt. 2015. “Major construction risk factors considered by general contractors in Qatar.” J. Eng. Des. Technol. 13 (1): 165–194. https://doi.org/10.1108/JEDT-03-2014-0012.
Jeon, J., X. Xu, Y. Zhang, L. Yang, and H. Cai. 2021. “Extraction of construction quality requirements from textual specifications via natural language processing.” Transp. Res. Rec. 2675 (9): 222–237. https://doi.org/10.1177/03611981211001385.
Karim, N. A. A., I. A. Rahman, A. H. Memmon, N. Jamil, and A. A. A. Azis. 2012. “Significant risk factors in construction projects: Contractor’s perception.” In Proc., 2012 IEEE Colloquium on Humanities, Science, and Engineering, 347–350. New York: IEEE.
Karlberg, C. 2015. The survey fatigue challenge: Understanding young people’s motivation to participate in survey research studies. Lund, Sweden: Lund Univ.
Katayama, H. 2017. “Legend and future horizon of lean concept and technology.” Procedia Manuf. 11 (Jan): 1093–1101. https://doi.org/10.1016/j.promfg.2017.07.227.
Kucukyilmaz, T. 2014. “Parallel K-means algorithm for shared memory multiprocessors.” J. Comput. Commun. 2 (11): 15–23. https://doi.org/10.4236/jcc.2014.211002.
Kühn, C., and K. Hillmann. 2016. “Rule-based modeling of labor market dynamics: An introduction.” J. Econ. Interact. Coord. 11 (1): 57–76. https://doi.org/10.1007/s11403-014-0139-z.
Le, A., B. H. Han, and J. J. Palamar. 2021. “When national drug surveys ‘take too long’: An examination of who is at risk for survey fatigue.” Drug Alcohol Depend. 225 (Aug): 108769. https://doi.org/10.1016/j.drugalcdep.2021.108769.
Li, F., K. K. Phoon, X. Du, and M. Zhang. 2013a. “Improved AHP method and its application in risk identification.” J. Constr. Eng. Manage. 139 (3): 312–320. https://doi.org/10.1061/(ASCE)CO.1943-7862.0000605.
Li, H., J. Li, and F. Kang. 2011. “Risk analysis of dam based on artificial bee colony algorithm with fuzzy c-means clustering.” Can. J. Civ. Eng. 38 (5): 483–492. https://doi.org/10.1139/l11-020.
Li, Q.-F., P. Zhang, and Y.-C. Fu. 2013b. “Risk identification for the construction phases of the large bridge based on WBS-RBS.” Res. J. Appl. Sci. Eng. Technol. 6 (9): 1523–1530. https://doi.org/10.19026/rjaset.6.3863.
Li, Y., S. Al-Haddad, T. R. B. Taylor, P. M. Goodrum, and R. E. Sturgill. 2019. “Impact of utilizing construction engineering and inspection consultants on highway construction project cost and schedule performance.” Transp. Res. Rec. 2673 (11): 716–725. https://doi.org/10.1177/0361198119854086.
Li, Y., T. R. B. Taylor, G. B. Dadi, and R. E. Sturgill. 2017. “Modeling long-term highway staffing requirements for state transportation agencies.” Transp. Res. Rec. 2612 (1): 76–84. https://doi.org/10.3141/2612-09.
Lyu, H.-M., W.-J. Sun, S.-L. Shen, and A.-N. Zhou. 2020. “Risk assessment using a new consulting process in fuzzy AHP.” J. Constr. Eng. Manag. 146 (3): 04019112. https://doi.org/10.1061/(ASCE)CO.1943-7862.0001757.
Meterko, M., J. D. Restuccia, K. Stolzmann, D. Mohr, C. Brennan, J. Glasgow, and P. Kaboli. 2015. “Response rates, nonresponse bias, and data quality.” Public Opin. Q. 79 (1): 130–144. https://doi.org/10.1093/poq/nfu052.
Miller, D. P. 2008. Building a project work breakdown structure. New York: Auerbach Publications.
Mohamed, M., and D. Q. Tran. 2021. “Risk-based inspection model for hot mix asphalt pavement construction projects.” J. Constr. Eng. Manage. 147 (6): 04021045. https://doi.org/10.1061/(ASCE)CO.1943-7862.0002053.
Mostafavi, A., and D. Abraham. 2012. INDOT construction inspection priorities. FHWA/IN/JTRP-2012/09. West Lafayette, IN: Joint Transportation Research Program, Indiana DOT, and Purdue Univ.
Mostafavi, A., D. Abraham, S. Noureldin, G. Pankow, J. Novak, R. Walker, K. Hall, and B. George. 2013. “Risk-based protocol for inspection of transportation construction projects undertaken by state departments of transportation.” J. Constr. Eng. Manage. 139 (8): 977–986. https://doi.org/10.1061/(ASCE)CO.1943-7862.0000664.
Moura, M. D. C., I. D. Lins, E. L. Droguett, R. F. Soares, and R. Pascual. 2015. “A multi-objective genetic algorithm for determining efficient risk-based inspection programs.” Reliab. Eng. Syst. Saf. 133 (Jan): 253–265. https://doi.org/10.1016/j.ress.2014.09.018.
Murray, S. L., K. Grantham, and S. B. Damle. 2011. “Development of a generic risk matrix to manage project risks.” J. Ind. Syst. Eng. 5 (1): 35–51.
NCHRP (National Cooperative Highway Research Program). 2017. Guidelines for optimizing the risk and cost of materials QA programs. Washington, DC: Transportation Research Board.
Ni, H., A. Chen, and N. Chen. 2010. “Some extensions on risk matrix approach.” Saf. Sci. 48 (10): 1269–1278. https://doi.org/10.1016/j.ssci.2010.04.005.
O’Brien, J. J. 2013. Construction inspection handbook: Quality assurance/quality control. Berlin, Germany: Springer Science & Business Media.
Pinto, A., I. L. Nunes, and R. A. Ribeiro. 2011. “Occupational risk assessment in construction industry—Overview and reflection.” Saf. Sci. 49 (5): 616–624. https://doi.org/10.1016/j.ssci.2011.01.003.
Rafalowski, M. 2012. Construction quality assurance for design-build highway projects. FHWA-HRT-12-039. McLean, VA: Turner-Fairbank Highway Research Center.
Rouhanizadeh, B., and S. Kermanshachi. 2020. “Challenges and strategies incorporated with transportation construction inspection.” In Construction Research Congress 2020: Project management and controls, materials, and contracts, 446–454. Reston, VA: ASCE.
Saxena, A., M. Prasad, A. Gupta, N. Bharill, O. P. Patel, A. Tiwari, M. J. Er, W. Ding, and C.-T. Lin. 2017. “A review of clustering techniques and developments.” Neurocomputing 267: 664–681. https://doi.org/10.1016/j.neucom.2017.06.053.
SCDOT (South Carolina Department of Transportation). 2007a. “Specification year 2007 pay items.” Accessed June 17, 2021. https://www.scdot.org/business/road-pay.aspx.
SCDOT (South Carolina Department of Transportation). 2007b. “Standard specifications for highway construction.” Accessed June 21, 2021. https://www.scdot.org/business/standard-specifications.aspx.
Shuai, J., K. Han, and X. Xu. 2012. “Risk-based inspection for large-scale crude oil tanks.” J. Loss Prev. Process Ind. 25 (1): 166–175. https://doi.org/10.1016/j.jlp.2011.08.004.
Smith, T. M. F. 1976. “The foundations of survey sampling: A review.” J. R. Stat. Soc. A 139 (2): 183–204. https://doi.org/10.2307/2345174.
Somi, S., N. G. Seresht, and A. R. Fayek. 2020. “Developing a risk breakdown matrix for the construction of on-shore wind farm projects.” In Construction Research Congress 2020: Infrastructure systems and sustainability, 43–51. Reston, VA: ASCE.
Tchankova, L. 2002. “Risk identification—Basic stage in risk management.” Environ. Manage. Health 13 (3): 290–297. https://doi.org/10.1108/09566160210431088.
Tse, R. Y. C. 2001. “The implementation of EMS in construction firms: Case study in Hong Kong.” J. Environ. Assess. Policy Manage. 3 (2): 177–194. https://doi.org/10.1142/S1464333201000637.
Van Mol, C. 2017. “Improving web survey efficiency: The impact of an extra reminder and reminder content on web survey response.” Int. J. Soc. Res. Methodol. 20 (4): 317–327. https://doi.org/10.1080/13645579.2016.1185255.
WisDOT (Wisconsin Department of Transportation). 2021. “Construction critical inspection.” Accessed January 20, 2022. https://wisconsindot.gov/Documents/doing-bus/eng-consultants/cnslt-rsrces/con-inspect.pdf.
WSDOT (Washington State Department of Transportation). 2018. “Project risk management guide.” Accessed July 25, 2021. https://wsdot.wa.gov/publications/fulltext/CEVP/ProjectRiskManagementGuide.pdf.
Xu, X., Y. Zhang, C. Yuan, H. Cai, D. M. Abraham, and M. D. Bowman. 2019. Risk-based construction inspection. West Lafayette, IN: Purdue Univ.
Yuan, C., J. Park, X. Xu, H. Cai, D. M. Abraham, and M. D. Bowman. 2018. “Risk-based prioritization of construction inspection.” Transp. Res. Rec. 2672 (26): 96–105. https://doi.org/10.1177/0361198118782025.
Zhao, Y., Y. He, D. Zhou, A. Zhang, X. Han, Y. Li, and W. Wang. 2021. “Functional risk-oriented integrated preventive maintenance considering product quality loss for multistate manufacturing systems.” Int. J. Prod. Res. 59 (4): 1003–1020. https://doi.org/10.1080/00207543.2020.1713416.

Information & Authors

Information

Published In

Go to Journal of Construction Engineering and Management
Journal of Construction Engineering and Management
Volume 149Issue 4April 2023

History

Received: Jun 9, 2022
Accepted: Nov 16, 2022
Published online: Jan 23, 2023
Published in print: Apr 1, 2023
Discussion open until: Jun 23, 2023

Permissions

Request permissions for this article.

Authors

Affiliations

Assistant Professor, Dept. of Civil and Environmental Engineering and Engineering Mechanics, Univ. of Dayton, 300 College Park, Dayton, OH 45469. ORCID: https://orcid.org/0000-0001-6816-0092. Email: [email protected]
Ph.D. Student, Lyles School of Civil Engineering, Purdue Univ., 550 Stadium Mall Dr., West Lafayette, IN 47907. ORCID: https://orcid.org/0000-0003-0558-2655. Email: [email protected]
Ph.D. Candidate, Lyles School of Civil Engineering, Purdue Univ., 550 Stadium Mall Dr., West Lafayette, IN 47907. ORCID: https://orcid.org/0000-0002-2656-0909. Email: [email protected]
Associate Professor, Dept. of Engineering Economics and Engineering Management, Hohai Univ., #8 West Focheng Rd., Jiangning District, Nanjing 211100, China. Email: [email protected]
Professor, Lyles School of Civil Engineering, Purdue Univ., 550 Stadium Mall Dr., West Lafayette, IN 47907 (corresponding author). ORCID: https://orcid.org/0000-0003-4527-1974. Email: [email protected]
Dan Tran, M.ASCE [email protected]
Associate Professor, Dept. of Civil, Environmental, and Architectural Engineering, Univ. of Kansas, 1450 Jayhawk Blvd., Lawrence, KS 66045. Email: [email protected]

Metrics & Citations

Metrics

Citations

Download citation

If you have the appropriate software installed, you can download article citation data to the citation manager of your choice. Simply select your manager software from the list below and click Download.

View Options

Get Access

Access content

Please select your options to get access

Log in/Register Log in via your institution (Shibboleth)
ASCE Members: Please log in to see member pricing

Purchase

Save for later Information on ASCE Library Cards
ASCE Library Cards let you download journal articles, proceedings papers, and available book chapters across the entire ASCE Library platform. ASCE Library Cards remain active for 24 months or until all downloads are used. Note: This content will be debited as one download at time of checkout.

Terms of Use: ASCE Library Cards are for individual, personal use only. Reselling, republishing, or forwarding the materials to libraries or reading rooms is prohibited.
ASCE Library Card (5 downloads)
$105.00
Add to cart
ASCE Library Card (20 downloads)
$280.00
Add to cart
Buy Single Article
$35.00
Add to cart

Get Access

Access content

Please select your options to get access

Log in/Register Log in via your institution (Shibboleth)
ASCE Members: Please log in to see member pricing

Purchase

Save for later Information on ASCE Library Cards
ASCE Library Cards let you download journal articles, proceedings papers, and available book chapters across the entire ASCE Library platform. ASCE Library Cards remain active for 24 months or until all downloads are used. Note: This content will be debited as one download at time of checkout.

Terms of Use: ASCE Library Cards are for individual, personal use only. Reselling, republishing, or forwarding the materials to libraries or reading rooms is prohibited.
ASCE Library Card (5 downloads)
$105.00
Add to cart
ASCE Library Card (20 downloads)
$280.00
Add to cart
Buy Single Article
$35.00
Add to cart

Media

Figures

Other

Tables

Share

Share

Copy the content Link

Share with email

Email a colleague

Share