Comprehensive Risk Management in

Horizontal Directional Drilling Projects

Maria Krechowicz, Ph.D. 1

Abstract: Nowadays, horizontal directional drilling (HDD) technology is one of the most popular trenchless construction methods for
installing pipelines under obstacles. Both risk analysis and risk management are key tools helping to meet today’s challenging trenchless
Downloaded from ascelibrary.org by Ozyegin Universitesi on 10/29/21. Copyright ASCE. For personal use only; all rights reserved.

construction project demands connected with quality, deadlines, costs, and legal issues. In this paper, a new model based on proactive and
holistic approaches is presented, which is an extension from traditional risk analysis toward complex risk management in HDD projects.
Fuzzy fault tree analysis, fuzzy weighted index, and a risk response matrix supported the risk management process. Overall, 147 risk remedia-
tion strategies for all the identified HDD risks were proposed. The following types of risk response strategies were applied: passive and active
risk retention, risk transfer, risk elimination, and risk cause or effect reduction. The practical application of the proposed risk management
model for HDD projects was shown in an example. The application of the proposed risk management model allows one to effectively reduce
the risk of basic events occurrence and provides a remarkable reduction of the risk of the top event’s occurrence. DOI: 10.1061/(ASCE)
CO.1943-7862.0001809. © 2020 American Society of Civil Engineers.

Introduction situations can cause serious economic problems, as well as problems

with the project execution.
Horizontal directional drilling (HDD) has evolved from a specialty It is also important to define what exactly risk is. The new ISO
construction technique to one of the most popular trenchless con- 31000 (ISO 2018) standard focuses more on the effect of incom-
struction methods for installing pipelines and conduits under ob- plete knowledge of the unwanted events or circumstances on an
stacles or in areas where open-cut methods are problematic to apply. organization’s decision making and defines risk as the “effect of
Nowadays, it has become a multi-billion-dollar annual industry uncertainty on objectives.” It is an extension from traditional risk
worldwide. The installation process can be divided into three stages: analysis toward risk management, which aims to force a change in
drilling a small-diameter pilot hole along the desired alignment, the traditional understanding of risk, ordering organizations to tai-
enlarging the pilot hole to the required diameter to accommodate lor risk management to their needs and objectives. That is why it is
the product pipe, and pulling the product pipe back into the enlarged so important to adjust the risk management model to the require-
borehole. It is a steerable system, and this method has a capability to ments of a new standard and provide HDD stakeholders with a
track and steer a cutter head during the drilling process. Willoughby comprehensive risk management model.
(2005), Bennett and Ariaratnam (2008), and Najafi (2013) have all Risk analysis is one of the substeps of risk assessment within the
presented more detailed descriptions of the HDD process. risk management process, and it falls between risk identification and
Each trenchless or open-cut construction of a pipeline or under- risk evaluation. It is only one component of project risk management,
ground utility should be associated with a certain level of uncertainty which concerns the analysis of the risk cause and effect relationships
due to conducting works in variable ground and water conditions, and quantitative risk assessment. It is characterized by a technical
which are significantly affected by technical disturbances, human approach and product focus (van Staveren, 2009). Risk management
factors, and economic considerations. In the case of trenchless con- offers much more than risk analysis. It covers risk assessment, risk
struction, the possibility of recognizing ground and water conditions, treatment, and risk recording and reporting, as well as risk monitor-
obstacles on the route of the drilling, and access to the applied tools ing and review [ISO 31000 (ISO 2018)]. It should be applied to the
and the pipeline being installed are much more limited compared entire process of a project, from the feasibility phase through to op-
with open-cut constructions. It also results in limitations and diffi- eration and maintenance. It is characterized by the process focus and
culties related to reacting in suitable time to the occurrence of emer- a multiproblem and holistic approach that allows one to consider
gency situations, unwanted events, and problems during the project interests of many stakeholders (van Staveren, 2009).
execution. In addition, the equipment used in HDD technology is Some valuable solutions on troubleshooting and mitigation in
very expensive, and any damage caused by design errors that have HDD technology were presented by Ariaratnam et al. (2004),
not been identified and corrected on time, carelessness, ignorance Bennett and Ariaratnam (2008), Willoughby (2005), Bayer (2005),
and lack of contractor skills, and other unforeseen emergency and Strater et al. (2006, 2007), as well as by Gelinas and Mathy
(2004). Donovan and Hanford (2012) stressed the importance of
1
Engineer, Faculty of Management and Computer Modelling, Kielce incorporating a risk management strategy in HDD projects and gave
Univ. of Technology, Al. 1000-lecia Państwa Polskiego 7, 25-314 Kielce, some general guidelines on proper site investigation and design in
Poland. ORCID: https://orcid.org/0000-0002-4213-3149. Email: maria HDD projects. Although those publications provided some valuable
.krechowicz@gmail.com
solutions for dealing with emergency situations in HDD projects, in
Note. This manuscript was submitted on June 7, 2019; approved on
October 8, 2019; published online on February 22, 2020. Discussion period the literature there are no works that are comprehensive, structured,
open until July 22, 2020; separate discussions must be submitted for indi- and tailored to the HDD project specificity risk management models.
vidual papers. This paper is part of the Journal of Construction Engineer- In the literature, no risk management model for HDD construc-
ing and Management, © ASCE, ISSN 0733-9364. tion projects was found that takes into account the complete risk

© ASCE 04020034-1 J. Constr. Eng. Manage.

J. Constr. Eng. Manage., 2020, 146(5): 04020034

 Table 1. Identified basic and intermediate events The objective of this work was to develop a new comprehensive
Intermediate risk management model dedicated to HDD projects, which is based
events Basic events’ symbols and names on proactive and holistic risk approaches. It is an extension of tradi-
tional risk analysis toward complex risk management in HDD
Problems with X1: Improper calculations of loads and stresses that
management exceed the product pipe capacity during the installation
projects.
X2: Not taking into consideration the allowable
bending radius of drill pipes or the product pipe
X3: Improper choice of the external pipe coating Methodology for Comprehensive Risk Management
X13: Downtime in the installation due to unavailable of HDD Projects
equipment
X18: Contractor’s error Risk management is a defined process for identifying, analyzing,
X19: Problem with supply and quality and responding to risks through the life of the project in order to
X22: Improper cost calculations for the investmentb achieve the acceptable risk level, often through applying risk treat-
Problems with X4: Loss of communications with the drill rig ment. In the proposed model the risk management process in HDD
Downloaded from ascelibrary.org by Ozyegin Universitesi on 10/29/21. Copyright ASCE. For personal use only; all rights reserved.

the machines X5: Drill tool failure due to the material’s fatigue technology was divided into five steps: risk assessment, risk treat-
X6: Drill rig breakdown ment, risk register, risk monitoring and review, and risk financ-
X7: Mud motor breakdowna ing (Fig. 1).
X8: Mud cleaning system breakdowna
X9: Roller blocks failurea
X10: Roller cradles failurea Risk Assessment
X11: Side cranes breakdowna
X12: Ballasting system breakdowna Risk Identification
Problems with X14: Unexpected natural or man-made subsurface The first substep of the risk assessment stage is risk identification.
the ground obstacles The methodology of identifying risks is shown in the first column
X15: Borehole collapse in Fig. 1. Gierczak (2014a) presented a risk identification process
X16: Blocking of the drilling pipe or product pipe and qualitative risk assessment in HDD projects. Feedback from
installation due to the swelling of clay and silt expert surveys from 5,940 HDD projects in five countries was
X17: Drilling fluid seepage shown. It allowed for assessment of the frequency of occurrence
Problems with X20: Legal problem and the influence on the project failure of 38 risks in HDD technol-
the environment X21: Severe weather conditions ogy. It was found that the following problems were the most frequent
a problems in the analyzed installations: downtime in installation
If used.
b (18%), unexpected natural subsurface obstacles (15%), drilling fluid
Only for midi and maxi HDD.
seepage (15%), unexpected human-made subsurface obstructions
(11%), not taking into consideration allowable bending radius of drill
management strategy based on proactive and holistic approaches. pipes or product pipe (10%), drill rig breakdown (10%), and bore-
Krechowicz (2017a, b) proved that effective proactive risk manage- hole collapse (10%).
ment in complex building construction projects resulted in effective The influence on HDD project failure was assessed using a scale
project realization in accordance with the planned schedule and of 1 to 5 (with 1 being the least important and 5 being the most
budget specified in the contract. When dealing with emergency important). The following problems had the highest influence on
situations, most HDD contractors use only the rules of thumb that HDD project failure in the analyzed installations: borehole collapse
they have developed over the years. Many owners, engineers, and (3.6), operator lacking required skills (3.6), blocking of the drilling
contractors are unable to start the risk management process early in pipe or product pipe installation due to swelling of clay and silt
the project planning phase because they do not have any compre- (3.4), unexpected natural subsurface obstacles (3.4), and drill pipe
hensive risk management model that could be a reasonable tool to failure due to material’s fatigue (3.3). It was a basis for carrying out
effectively model and reduce the risk level. It often results in creat- quantitative risk assessment and preparing risk management strat-
ing unrealistic project delivery and performance options. egy for HDD projects.
In order to confirm the necessity of analyzing the risk in HDD
projects, the author carried out a survey of 14 enterprises dealing Risk Analysis
with trenchless construction of pipelines using HDD technology in The second substep of the risk assessment is risk analysis. In this
Europe and the US. The survey is based on rich HDD contractors’ substep, the author’s risk analysis model was applied, which is
experiences from 5,940 HDD installations. Approximately 31.5% based on fuzzy fault tree analysis. The model has been described
of the analyzed HDD installations were carried out in Poland, in detail by Gierczak (2014b). However, it has been modified to
28.6% in France, 23.6% in the Netherlands, 15.5% in the US, adapt to the needs of comprehensive risk management. The main
and 1.2% in Germany. Of these, 34.8% of the analyzed installations changes include the fact that it has been connected to the risk re-
were mini, 25.8% midi, and 39.4% maxi HDD. The surveyed com- sponse matrix (RRM), the fuzzy fault tree has been drawn in a hori-
panies were asked if a risk analysis model in HDD technology is zontal format, the consequences and fuzzy risks of unwanted basic
needed. A full 100% of respondents answered that it is needed. The events, as well as risk reduction coefficients, have been taken into
surveyed companies were also asked if there is a need to develop a account in the calculations, and it has been extended to include
risk management model in HDD technology; 93% of respondents sensitivity analysis. Fig. 2 shows the proposed hybrid fuzzy fault
confirmed that it is needed. Moreover, the surveyed companies tree (FFT) and RRM for HDD projects.
were asked to give suggested actions to be taken to prevent or over- The model was drawn in a horizontal format, so the top event,
come 22 problems in HDD projects. The problems were the same namely unsuccessful HDD project, was placed on the left of the
as the basic events specified in Table 1. The obtained results were page, and the four intermediate events to the right were further di-
analyzed, and the most valuable were used for preparation of the list vided into the basic events in the middle of the page. The top event
of risk treatment strategies. was fully defined as the HDD failure by not meeting the project

© ASCE 04020034-2 J. Constr. Eng. Manage.

J. Constr. Eng. Manage., 2020, 146(5): 04020034

Downloaded from ascelibrary.org by Ozyegin Universitesi on 10/29/21. Copyright ASCE. For personal use only; all rights reserved.

Fig. 1. Proposed methodology of risk management in HDD projects.

objectives, exceeding the cost stated in the budget or time assumed but dynamic and dependent on time, human factors, and variable
in the project schedule in the contract, or not meeting the quality conditions of the environment. A solution to this problem is the
standards. The four intermediate events and 22 identified basic application of a fuzzy sets theory, which allows one to decrease
events are presented in Table 1. the uncertainty and lack of precision in the problems with gaining
The basic events and their consequences of occurrence were de- crisp values of the basic events’ probability. Fuzzy sets permit the
scribed in detail by Gierczak (2014b). Safety risks involved with gradual assessment of the membership of elements in a set, which is
HDD projects are also assessed by the group of experts through the described by a membership function valued in the real unit interval
presented framework, e.g., safety risk connected with a utility strike [0, 1] (Zadeh, 1965), e.g., the statement “Element a is a member of
is assessed within the basic event X14 (unexpected natural or Set A” is not necessarily either true or false, but can be true to some
human-made subsurface obstacles); safety risk connected with se- degree (membership degree). In this way, a gradual transition be-
vere weather condition is assessed within basic event X21 (severe tween the linguistic terms is allowed. Fuzzy sets theory is often used
weather conditions); safety risk connected with accidents on the in risk assessment, monitoring, and control in the construction indus-
building site caused by improper employee training program, try. Its efficiency was proved by Abdelgawad and Fayek (2011),
improper operation and maintenance of machines, or improper (2012), Shoar et al. (2019), and Skorupka and Kuchta (2016).
supervision is assessed within the basic event X18 (contractor’s er- The proposed risk assessment model is an expert system, in
ror); safety issues connected with failure of the tools and machines which the groups of HDD experts familiar with the analyzed project
are assessed within the basic events X5–X12. and the risk management model assess the probability of basic events
The level of detail to which the FFT was developed is crucial occurrence applying the following linguistic terms: very low (VL),
because it determines how significant the final result will be. It was low (L), medium (M), high (H), and very high (VH). In order to
extended to the mechanisms needed to identify functional depend- show how the groups of experts understand certain linguistic terms,
encies between the events while ensuring the consistency and read- it was needed to create trapezoidal membership functions for them.
ability of the analysis were not lost. In the proposed model, the The methodology of creating the membership function as well as the
occurrence of any of the basic events is sufficient to lead to the requirements for the experts and the factors that should be taken into
top event occurrence, which is represented in the proposed FFT account in the assessment of unwanted events probabilities were pre-
by OR gates. Fig. 2 shows the proposed hybrid fuzzy fault tree sented by Gierczak (2014b). It is important to remember that the
and risk response matrix for the risk assessment and management groups of experts assessed the probability assuming taking no risk
in HDD projects. To make it more useful and clear, it illustrates the remediation strategies.
example of the Australian project, which will be the subject of The risk connected with the basic event occurrence for the mem-
analysis in the next section of this paper. bership degree αjk can be calculated from the formula given in
Because of the fact that in the FFT structure there are only OR Eq. (1)
gates and identical events do not occur on separate fault tree (FT) Y
branches, the methodology of general tree studies was applied to Rg g
Xiαjk ¼ PXiα · CXi · wzXi ð1Þ
jk
the logical (qualitative) analysis of the hybrid FFT and risk z∈Z

management matrix (RMM).

In the case of solving FT for the risk assessment in HDD proj- where Pg
Xiα = fuzzy probability of the basic event Xi occurrence,
jk
ects, using a conventional approach based on the application of which should be read from the trapezoidal membership function
probability theory could lead to gaining inadequate information for the membership grade αjk from the left and right side
in the risk analysis or escalating the uncertainty of the analysis. ðPg g
Xiaα ; PXidα Þ and where after substituting these in Eq. (1),
There is a lack of sufficient historical data to determine the prob- jk jk

ability distribution for basic events in HDD technology, and the two values of the risk of the basic event occurrence will be reached:
crisp failure rates of various problems in HDD cannot be obtained. Rg jk
g
Xiaα from the left side and RXidα from the right side; αjk ¼ jkth
jk

Moreover, the basic events in HDD technology are not stationary membership degree to the set of fuzzy probabilities defining each

© ASCE 04020034-3 J. Constr. Eng. Manage.

J. Constr. Eng. Manage., 2020, 146(5): 04020034

Downloaded from ascelibrary.org by Ozyegin Universitesi on 10/29/21. Copyright ASCE. For personal use only; all rights reserved.

Fig. 2. Proposed hybrid fuzzy fault tree and risk response matrix for the risk assessment and management in a HDD project in Australia.

linguistic value, j ¼ 0; 1; 2; : : : ; m − 1, where m is the number of for all the identified basic events. When assessing the basic events
the analyzed membership grades; k = step of changes of the mem- risks without considering introducing any risk treatment (or using
bership grades to the fuzzy set, k ¼ 1=ðm − 1Þ; CXi = factor rep- only passive risk acceptance
Q strategy), a total risk reduction factor
resenting consequences of the basic event occurrence Xi; wzXi = in Eq. (1) equals 1 ( z∈Z wzXi ¼ 1), so no risk reduction is reached.
total risk reduction factor for the chosen risk treatment strategies The top event fuzzy risk from the left and right side, Rg tαajk ,
of a given type for the basic event Xi, wzXi ≠ 0 (this will be ex- Rgtαdjk , can be calculated from Eq. (3) for various values of the
plained in detail in section “Risk Treatment”); and Z = set contain- membership grade α by substituting fuzzy risks values Rg Xiaαjk
ing all types of the risk treatment strategies, defined by Eq. (2) and Rg Xidα , which were calculated from Eq. (1)
jk

Z ¼ fRT-P; RT-A; EL; TR; ER; CRg ð2Þ 02 0 13

Yn Rg
Xiaαjk
where RT-P = passive risk retention; RT-A = active risk retention; Rg
tαjk ¼
@41 − @1 − A5
EL = risk elimination; TR = risk transfer; ER = reduction of the risk i¼1
100
effect; and CR = reduction of the risk cause. 2 0 13 1
Each of the basic events can lead to unwanted event occurrence Yn RgXidαjk
and is equally important in terms of its effect. That is why the factor · 100%; 41 − @1 − A5 · 100%A ð3Þ
100
reflecting the consequences of a basic event Xi occurrence CXi ¼ 1 i¼1

© ASCE 04020034-4 J. Constr. Eng. Manage.

J. Constr. Eng. Manage., 2020, 146(5): 04020034

 where Rg tαjk = fuzzy risk connected with the top event occurrence contingency plans are prepared, including scenarios for the actions
for the membership degree αjk (%). to be taken should the unwanted event ever occur. It can be also
In the end of the risk analysis, it is needed to choose the right applied for residual risk that remains after risk reduction.
crisp value of top event risk from the fuzzy set. It requires carrying The consequences of risk can be also either shared with or to-
out a defuzzification process. The crisp risk (after defuzzification) tally carried out by someone other than an owner. This is called risk
connected with the top event occurrence can be calculated applying transfer. Such an action requires the existence of a party who will be
the center of area (COA) method from Eq. (4) willing to bear the risk. The most common form of risk transfer is
transferring risk to insurance companies, which is typical for a risk
Pm g Pm
g  with very low probability of occurrence and significant consequen-
j¼0 Rtaαjk · αjk j¼0 Rtdαjk · αjk
RCOA
t ¼ 0.5 P m α þ P m α ð4Þ ces. The insurance premium grows with the increase of the risk of
j¼0 jk j¼0 jk an unwanted event’s occurrence. This form of risk treatment can be
applied to the residual risk that remains after risk reduction.
where RCOA
t = defuzzified value (risk connected with the top event It is important not to limit the risk management strategy to a
occurrence) (%); Rg taαjk = extreme (from the left side) values of the fatalistic approach. That is why the proposed approach to risk man-
Downloaded from ascelibrary.org by Ozyegin Universitesi on 10/29/21. Copyright ASCE. For personal use only; all rights reserved.

top event risk for jkth membership grade (%); and Rg tdα = extreme
jk
agement is not oriented in the belief in the inevitability of events but
(from the right side) values of the top event risk for jkth member- also considers risks in a more proactive manner, which is also based
ship grade (%). on holistic approaches. That is why the proposed approach is
mainly focused on effective action through the analysis of the po-
Risk Evaluation tential risks and measures to reduce their causes or consequences,
The third substep in risk assessment is risk evaluation, which aims to as well as risk elimination.
determine whether a considered HDD project entails an acceptable or Risk reduction assumes the removal of one or more causes of the
unacceptable risk level. It should be based on the following param- risk, one or more consequences of the risks, or both the risk causes
eters: the results of the risk assessment (percentage value of the top and consequences. It is vital to adjust the most appropriate method
event
Q risk calculated assuming taking no risk remediation strategies, of risk reduction to the nature of risk by checking whether the result
z∈Z wXi ¼ 1) and the results of the sensitivity analysis. It is impor-
z
or the cause is dominant in the considered risk.
tant to individually set the borderline of acceptable and unacceptable Risk elimination refers to undertaking such actions so that risk is
risk level of basic event and top event occurrence for each HDD no longer present (e.g., giving up the project or choosing a different
project, owner, and contractor considering the specificity of the design option). It is advised to apply it to risks with both a high
project as well as technical, economic, and legal conditions. probability of occurrence and very serious consequences, espe-
Sensitivity analysis is carried out to determine the critical factors cially in the cases when risk retention, reduction, and transfer are
of the HDD project, which in particular should be a subject of risk not appropriate at a reasonable costs.
treatment. After implementing risk response strategies for a particu- Thanks to the application of a hybrid FFT and risk response ma-
lar event, risk analysis can be carried out once again to assess the trix, it is possible for each analyzed basic event to check what types
impact of the solutions applied to the entire system. The sensitivity of risk treatment strategies are available and how many actions (s)
analysis of the system was carried out using a fuzzy weighted index from each group are possible to apply for a particular basic event
(FWI). With this indicator, the share of each of the basic events Xi. Some of the risk treatment strategies are dedicated for, e.g., plas-
leading to the occurrence of the unwanted top event is measured. tic pipes, steel pipes, or steering systems sensitive to interferences,
The fuzzy weighted indicator for the basic event Xi is defined by for example. That is why it is recommended to consider the ana-
the following formula: lyzed HDD project specificity and take into consideration only
those actions that may concern it.
FWIXi ðRCOA
t ; RCOA
ti Þ ¼ RCOA
t − RCOA
ti ð5Þ The hybrid FFT and RRM also one allows to assign to a given
where RCOA = risk of the top event occurrence taking into account unwanted event Xi the number of chosen risk treatment strategies
t
the basic event Xi, (%); and RCOA = risk of the top event occurrence (t) of a given type (passive and active risk retention, risk transfer,
ti
without taking into account the basic event Xi (%). The basic event risk elimination, and risk cause or effect reduction). In the last col-
for which the greatest value of the fuzzy weighted indicator is ob- umn of the RMM, there is a calculated comprehensive indicator
tained is considered as the most important. After calculating FWI illustrating the
Q possibility of lowering the risk level for a given
values, it is also recommended to mark in bold any relevant critical basic event z∈Z wzXi . Such a combination of methods enables a
events in the hybrid FFT and RMM in order to focus particular holistic view of all unwanted events by presenting dependencies
attention to choose proper risk management strategies for them. occurring among them and the possibilities of reacting to the risk
for each event. On a separate sheets of a hybrid FFT and RMM, it is
recommended to analyze several alternatives of risk management
Risk Treatment strategies and choose the most relevant one.
The process of selecting and implementing of various measures to Tables 2–5 present all identified risk treatment possibilities for
lower or modify risk is called risk treatment. Its proper preparation individual basic and undeveloped events. Some of the risk response
and execution is vital for the success of the risk management pro- options assigned to the individual basic events can be used alter-
cess. In the proposed risk management methodology, four types of natively, whereas for the others, it would be favorable to use them
risk treatment were analyzed: risk retention (absorption), risk trans- in combination. Risk response options are grouped according to
fer, risk elimination (avoidance), and risk reduction. holistic (risk elimination, risk cause reduction, and risk effect re-
Risk retention is connected with accepting the risk’s consequen- duction) or fatalistic (active and passive risk retention and risk
ces and is generally divided into passive and active acceptance. Pas- transfer) risk management approach. For each suggested action, it
sive risk retention concerns documenting of the risk existence. In is needed to state in which phase of the investment realization it
such a case, the contractors take responsibility for all consequences should be introduced and the party responsible for its implemen-
connected with unwanted events’ occurrence. Active risk retention tation. Some of the risk response options listed in Tables 2–5 have
is also about documenting the risk’s existence, but in this case, already been selectively used in good HDD projects in highly

© ASCE 04020034-5 J. Constr. Eng. Manage.

J. Constr. Eng. Manage., 2020, 146(5): 04020034

 Table 2. Proposed risk remediation strategies for the problems with management class and their risk reduction coefficients rgXi
Symbol Risk remediation strategy rgXi
CR(X1)a, CR(X2)a Checking the correctness of the designer’s calculations and designed alignment using the 0.60
appropriate computer programa
CR(X1)b Selection of a proven design company with references from previous similar projects 0.70
CR(X3)a Proper choice of protective coating for the steel pipesb 0.70
CR(X3)b Using pipelines with increased resistance to stress cracking or with an additional external 0.70
protective coatingc
CR(X3)c Using fiber-cement coating for ductile iron pipelinesd 0.70
ER(X3)a Using secondary steel pipe insulation made of epoxy resins and fibreglass 0.80
CR(X13)a Appropriate preparation of the work schedule 0.70
CR(X18)a Choosing a contractor with experience in carrying out a similar project and references 0.70
CR(X18)b Certified specialist training for the contractor’s employees 0.70
CR(X18)c Appropriate supervision and highly specialized consulting at the construction site 0.60
Downloaded from ascelibrary.org by Ozyegin Universitesi on 10/29/21. Copyright ASCE. For personal use only; all rights reserved.

CR(X18)d Use of drilling rigs with full automation of the process to avoid operator’s mistakes 0.70
CR(X18)e Use of contact grouting to block potential seepage paths of the drilling fluide 0.65
CR(X18)f Filling the annular space (after the installation of electric cables) with the thermal cement 0.80
mortar to avoid overheating of the cable during power transmission at high voltage
CR(X18)g Applying augmented reality in horizontal directional drilling project to increase the drill 0.90
rig operator’s awareness of underground utilitiesf
ER(X18)a Use of breakaway swivels in order to avoid deformation of the pulled pipe caused by 0.60
applying too high pulling force
ER(X18)b Application of strain gauge to measure the stress that the pipe is subjected to during the 0.80
installation
ER(X18)c Warranty deposit that is gradually deducted from each part of the contractor’s 0.80
remuneration as a means of securing the owner
ER(X18)d Applying poroscope to check the condition of the pipe’s insulation during the pullback 0.60
CR(X19)a Selection of certified suppliers and materials 0.70
ER(X19)a Applying poroscope to check the condition of the pipe’s insulation during the pullback 0.70
CR(X22)a Choosing the right type of contractf 0.80
CR(X22)b Risk sharing between the contractor and ownerg 0.70
CR(X22)c Collaborative partneringh 0.60
RT-P (X1, X3, X13, X18, X19, X22)a Documenting of the risk existence 1.00
CR(X1)c, CR(X2)b, CR(X3)d, CR(X18)h, Applying alternative project delivery methods (APDM) such as construction manager at 0.70
CR(X19)b, CR(X22)d risk (CMAR)i
Note: CR = reduction of the risk cause; ER = reduction of the risk effect; TR = risk transfer; EL = risk elimination; RT-A = active risk retention; and RT-P =
passive risk retention.
a
Example computer programs were presented by Wiśniowski et al. (2004), Deltares (2019), and Plastic Pipe Institute (2008).
b
Some practical guidelines have been given by Pedrazza (2011) and Willoughby (2005).
c
In the case of applying plastic pipes.
d
Some practical guidelines have been given by Ertelt (2011).
e
Some guidelines have been given by Bennett and Ariaratnam (2008).
f
Some guidelines have been given by Fenais et al. (2018).
g
Some practical guidelines have been given by Willoughby (2005).
h
Some practical guidelines have been given by Hallager and Hald (2009).
i
Some practical guidelines have been given by Francom et al. (2016).

developed countries. Still, their selective application without being basic events. It is particularly important in the case of critical events
based on a complete risk management strategy tailored to the HDD for which risk treatment should be carried out especially carefully.
project is not adequate and can lead to omitting other important Fig. 3 presents the integration of FFT with the extended RMM on the
actions having a significant impact on the project risk level. example of MIDI HDD installation in Australia for one of the critical
The RMM can be developed to a higher level of detail for indi- events (X17).
vidual basic events. It is recommended to extend it in particular for In order to develop the extended RMM, it is needed to use
critical events. In the extended RMM, in the place of the number of Eqs. (6)–(11). The vector of risk reduction factors for the basic
available and chosen risk treatment strategies (s and t), the risk re- event Xi from the set of all types of risk treatment strategies Z
duction factors uzXi and wzXi are introduced. They are obtained for a is defined by
given number of available and chosen risk treatment strategies for
!
each type of risk response strategy from the set Z. It allows one rzXi ¼ ½rz1Xi ; rz2Xi ; : : : ; rzhði;zÞXi  ð6Þ
to clearly show how each type of risk treatment from the set Z in-
fluences the basic event risk level, which was previously calculated where z ∈ Z hði; zÞ = function that returns the number of all risk
using FFT. Further development of the matrix allows one to see how response strategies for a given basic event Xi.
the integration of different types of risk treatment strategies from the The vector of the chosen risk reduction factors for the basic event
set Z [e.g., active risk retention (RT-A) and risk elimination (EL)] Xi for a given type of risk treatment strategies (z) is defined by
affects the value of the risk reduction factor for the analyzed un-
wanted event. This is helpful when assessing the desirability of !
czXi ¼ ½cz1Xi ; cz2Xi ; : : : ; czhði;zÞXi  ð7Þ
undertaking various types of risk response strategies for the analyzed

© ASCE 04020034-6 J. Constr. Eng. Manage.

J. Constr. Eng. Manage., 2020, 146(5): 04020034

 Table 3. Proposed risk remediation strategies for the problems with the machines class and their risk reduction coefficients rgXi
Symbol Proposed risk remediation strategy rgXi
CR(X4)a Identification of a disturbance sourcea 0.90
CR(X4)b Temporarily disabling the source of interferencesa 0.80
ER(X4)a Making offset measurements or using a special strong transmitter or a transmitter with a different operating frequencya,b 0.90
ER(X4)b Appropriate drilling procedures in the case of lack of ability to steer the drilling tools (no reaction to steering)c 0.80
ER(X4)c Use of a rope with blocks for positioning the pontoon while tracking the broadcast probe under rivers with a strong 0.90
currenta
CR(X4)c Application of devices to damp vibrations during drilling in rocks (vibration-dampening isolators, stabilizers) 0.80
CR(X4)d Use of lithium batteries with longer operating hoursa 0.90
CR(X4)e Use of transmitters double-insulated with fibreglass to prevent overheating when drilling in abrasive soil or rock 0.90
CR(X4)f Application of spiders to prevent breakage of the probe’s power cabled 0.80
CR(X4)g Use of cables with a suitable protective jacket, e.g., cross-linked high heat water resistant insulated wired,e 0.80
CR(X4)h Using stabilizers to make sure the reamer does not drill out the hole 0.80
Downloaded from ascelibrary.org by Ozyegin Universitesi on 10/29/21. Copyright ASCE. For personal use only; all rights reserved.

EL(X4)a Use of a gyroscopic system, especially in the areas with strong magnetic disturbances and limited access to the area 0.60
above the crossing, also if the terrain prevents the distribution of surface grids of the loop system
CR(X5-12)a Conducting regular inspection of the drilling tools and equipment as well as drilling tools and equipment prestart checks 0.75
CR(X5-12)b Proper maintenance of drilling tools and equipment 0.75
ER(X6)d Use of new generation drilling rigs with displayed error messages and a possible remote machine diagnostics on site 0.80
CR(X7)c Use of mud motor components that have elastomeric elements for only one downhole trip due to the content of oils, 0.80
diesel, and other organic fluid additives making the predictable run life of the elastomeric elements difficult to determine
RT-A(X5-12)a Having basic spare parts/additional rented mud motor/drill rig/support rollers on the construction site, the presence of a 0.75
competent mechanic on the construction site
RT-A(X5)b, RT-A(X7)b Performing a trench or withdrawing tools from the borehole 0.90
RT-P(X4-12)a Documenting of the risk existence 1.00
Note: CR = reduction of the risk cause; ER = reduction of the risk effect; TR = risk transfer; EL = risk elimination; RT-A = active risk retention; and RT-P =
passive risk retention.
a
In the case of using steering systems sensitive to interferences.
b
In the case when the measurement vertically above the transmitter is very difficult or impossible to perform.
c
Some guidelines have been given by Willoughby (2005).
d
In the case of wireline systems.
e
Some guidelines have been given by Bennett and Ariaratnam (2008).

The auxiliary vector used for calculating the total risk reduction Risk Register
factor for the basic event Xi for a given type of risk treatment strat-
During the third stage of risk management, it is necessary to prepare
egies (z) is defined by
a dynamic document used for recording risk management process for
!
0z 0z 0z 0z
all the identified risks, which will facilitate ownership and manage-
rXi ¼ ½r1Xi ; r2Xi ; : : : ; rhði;zÞXi  ð8Þ ment of each unwanted basic event. Such a risk register can be stored
as a document held on a computer or on a database. A risk register

rzgXi ; czgXi ¼ 1 should include risk event symbol, its description, probability of oc-
0z
hði;zÞ
∧g¼1 rgXi ¼ ð9Þ currence, consequences, party responsible for risk treatment, and
1; czgXi ¼ 0 chosen risk treatment strategies’ symbols and descriptions. In addi-
tion to this, it is important to document the occurrence of individual
The total risk reduction factor for the available risk treatment emergency events that happened during the analyzed HDD installa-
strategies of a given type for the basic event Xi is defined by tion and describe in detail developed contingency plans (even if they
8Q are additional and do not seem to be needed at the moment) and the
< hði;zÞ rz !
g¼1 gXi j rzXi j ≠ 0 plan for the maintenance of drilling machines and tools. A risk regis-
uzXi ¼ ð10Þ
: ! ter needs to be updated regularly and should be an indispensable item
1; j rzXi j ¼ 0 in any HDD project management meeting.

The total risk reduction factor for the chosen risk treatment strat-
egies of a given type for the basic event Xi is defined by Risk Monitoring and Review
8Q The fourth stage of risk management in HDD technology is risk
< hði;zÞ r 0z j ! rzXi j ≠ 0 monitoring and review. During this stage, corrections should be
g¼1 gXi
wXi ¼
z
ð11Þ made and the risk analysis method used should be updated. The
: !
1; j rzXi j ¼ 0 risk analysis model should take into account technological advan-
ces in HDD technology and new drilling devices and machines
Several combinations of introducing risk response strategies launched on the market. Additional newly discovered risk factors
should be considered, especially for critical events and events with should also be taken into account.
relatively high FWI. The calculations of the top event occurrence
RCOA
t should be repeated taking into consideration the values of risk
Risk Financing
reduction coefficients (rgXi ) for the chosen risk treatment actions,
and the most favorable alternative should be chosen. It is also ad- In the fifth stage of risk management in HDD technology, the sour-
vised to compare the risk level of the basic events before and after ces of risk financing should be defined. A financial reserve should
risk treatment. be provided in the company’s budget to cover the costs related to

© ASCE 04020034-7 J. Constr. Eng. Manage.

J. Constr. Eng. Manage., 2020, 146(5): 04020034

 Table 4. Proposed risk remediation strategies for the basic events from the geotechnical problems class and their risk reduction coefficients rgXi
Symbol Proposed risk remediation strategy rgXi
CR(X14)a Carrying out literature research, gathering historical data, interviewing residentsa 0.90
CR(X14)b Balancing geotechnical survey costs with the risk reduction levelb 0.90
CR(X14)c Selection of a proven, certified company conducting geotechnical investigations 0.90
CR(X14)d Using several methods of locating underground urban infrastructure (for urban and postindustrial areas) 0.70
CR(X14)e Carrying out proper geotechnical tests adjusted to the specificity of the projecta,c,d 0.70
CR(X14)f Proper interpretation of the results of geotechnical surveyd 0.90
CR(X14)g Carrying out a trial drilling (for MAXI HDD installations) 0.70
CR(X14)h Exposing and monitoring the existing underground infrastructure located close to the HDD alignment 0.80
CR(X14)I Applying augmented reality to increase the drill rig operator’s awareness of underground utilitiese 0.90
TR(X14)a Use of the baseline geotechnical report and risk transfer record in the contract (for MIDI and MAXI HDD installations)f 0.80
TR(X14)b Contract entry for extra compensation due to differing site conditionsg 0.80
EL(X14-17)a Change in the HDD alignment 0.60
Downloaded from ascelibrary.org by Ozyegin Universitesi on 10/29/21. Copyright ASCE. For personal use only; all rights reserved.

RT-A(X14)a Emergency procedures for a utility strike 0.90

RT-P(X14-17)a Documenting of the risk’s existence 1.00
CR(X15)a Using the proper composition of drilling fluid (e.g., with the addition of sodium carboxymethylcellulose and 0.65
long-chain polymers, based on the combination of polymers with farinaceous clay, or with polymers and fibrous
materials)h
CR(X15)b, CR(X17)c Using a casing pipe to protect the first hole section 0.60
CR(X15)c, CR(X17)d Using the cuttings transport injected with pulsed drilling fluidj 0.70
ER(X15)a Assisting pipe pullback using pipe ramming 0.80
ER(X15)b Assisting pipeline pullback using pipe thruster 0.80
ER(X15)c Applying proper drilling proceduresi 0.80
ER(X15)d Assisting the pipeline pullback using additional drill rig 0.80
ER(X15)e Grouting of the borehole and retrying a product pipe installation 0.80
EL(X15)b Using a drilling fluid reverse circulation system (DFRCS)k 0.80
RT-A(X15)a Contingency plan: product pipe removal using pipe ramming 0.90
RT-A(X15)b Contingency plan: recovery of the drill string using a pneumatic impact device 0.90
RT-A(X15)c Contingency plan: using the pipe thruster device to extract the jammed pipeline 0.90
RT-A(X15)d, RT-A(X16)a Contingency plan: assisting the pipeline removal using additional drill rig 0.90
CR(X16)a Proper assessment of the ground swelling potential combined with the application of drilling fluid with the addition of 0.60
clay inhibitors if requiredl
ER(X16)a Using a pressure module to obtain precise information about the current bottom pressure under static conditions and 0.80
during circulation in the borehole
RT-A (X16)a Contingency plan: using a hydraulic knife to cut the stuck pipeline and save expensive drilling tools 0.90
RT-A(X16)c Contingency plan: drill string or product pipe recovery applying a rescue tool 0.90
CR(X17)a Using a proper drilling fluid composition (a mixture of water and farinaceous clay, with the addition of 0.40–0.60
long-chain polymers, with appropriate additives)h
CR(X17)b Using special drilling fluid system dedicated to achieve long-term rheological stability in the presence of salts, acid 0.65
gases, and soluble calciumm
ER(X17)a Carrying out the calculations of the maximum allowable pressure and the minimum required downhole pressure and 0.80
using relief wells if needed
ER(X17)b Carrying out the calculations of the maximum allowable pressure and the minimum required downhole pressure and 0.80
using piezometers if needed
ER(X17)c Using a pressure module to obtain precise information about the current bottom pressure under static conditions and 0.80
during circulation in the borehole
RT-A(X17)a Contingency plan: observation and removal of the drilling fluid from the terrain surface 0.90
Note: CR = reduction of the risk cause; ER = reduction of the risk effect; TR = risk transfer; EL = risk elimination; and RT-A = active risk retention.
a
Some guidelines have been given by Bennett and Ariaratnam (2008).
b
Some guidelines have been given by van Staveren (2007) and US Subcommittee on Geotechnical Site Investigations (1984).
c
Some guidelines have been given by Donovan and Hanford (2012) and Gelinas and Mathy (2004).
d
Some guidelines have been given by Strater et al. (2006).
e
Some guidelines have been given by Fenais et al. (2018).
f
Some guidelines have been given by Staheli and Maday (2009).
g
Some guidelines have been given byWilloughby (2005).
h
Some guidelines have been given by Ariaratnam et al. (2004) and Bayer (2005).
i
Some guidelines have been given by Willoughby (2005).
j
Some guidelines have been given by Han et al. (2010).
k
Some guidelines have been given by Wei et al. (2011) and Kong, Y. and Ma, B., “Inside jet flow method for cuttings removal in HDD,” China Patent
No. 103527092 B (2015).
l
Some guidelines on indication of shrink-swell potential were presented by Naval Facilities Engineering Command (1986).
m
Some guidelines have been given by MI SWACO (2019).

carrying out the risk management process in the organization (fees the losses of an organization after unwanted events occurrence: in-
for a group of experts assessing risk levels or risk manager, among surance, captive insurance, contingency reserves, internal or exter-
others). Moreover, one or a combination of the following measures nal funds, cash borrowings from external borrowings, and financial
could be applied to ensure the economic provision of funds to cover reinsurance.

© ASCE 04020034-8 J. Constr. Eng. Manage.

J. Constr. Eng. Manage., 2020, 146(5): 04020034

 Table 5. Proposed risk remediation strategies for the basic events from the
problems with the environment class and their risk reduction coefficients rgXi
Symbol Proposed risk remediation strategy rgXi
CR(X20)a Making a photographic documentation of existing 0.90
elements of terrestrial infrastructure
CR(X20)b Using drilling rigs with a noise reduction system 0.80
CR(X20)c Conducting the works not during the breeding 0.90
period of birds
CR(X20)d Obtaining the required permits before the 0.80
construction starts
CR(X21)a Using weather forecasts and warnings from the 0.80 Fig. 4. Membership function for the probability of the basic events
Institute of Meteorology and Water Management
occurrence for the maxi HDD project in Australia (Experts group 7).
CR(X21)b Using a protective cover for plastic pipelines (in 0.80
the case of low temperatures)
Downloaded from ascelibrary.org by Ozyegin Universitesi on 10/29/21. Copyright ASCE. For personal use only; all rights reserved.

CR(X21)c Using a special construction protecting the 0.80

welding machine or welder from rain, snow and
wind that only passive risk retention (documenting risk existence) would
CR(X21)d Using a special construction protecting the 0.80 be applied. The second alternative included the most relevant risk
equipment in winter response strategies, and they were finally applied by the contractor.
CR(X21)e Earlier preparation of the equipment 0.90 The risk response strategies that were finally applied by the con-
ER(X21)a Conducting works on a continuous basis 0.70 tractor in the Australian HDD project are presented Q in Table S1.
RT-A(X21)a Contingency plan: evacuation plan in the case of 0.90 The total values of the risk reduction coefficients z∈Z wzXi for
severe weather conditions all the identified events are shown in Fig. 2.
RT-P(X20-21)a Documenting of risk existence 1.00 Table 6 presents the fuzzy risks connected with the basic events’
Note: CR = reduction of the risk cause; ER = reduction of the risk effect; occurrence for the midi HDD project in Australia. They were cal-
TR = risk transfer; EL = risk elimination; RT-A = active risk retention; and culated from Eq. (1), assuming taking no risk remediation strategies
Q
RT-P = passive risk retention. ( z∈Z wzXi ¼ 1). In order to carry out those calculations, it was re-
quired to read the basic events’ probabilities from the membership
Example of Application function (Fig. 4) from the left and right side for various membership
grades α with a step k ¼ 0.05. Due to the ampleness of the results,
The practical application of the proposed risk management model only chosen results for membership grades α 0, 0.5, and 1.0 are
for HDD projects was carried out on 22 examples, which allowed presented in Table 6.
for integration of professional experiences and feedback from vari- Sensitivity analysis was carried out in order to measure the
ous countries, such as Australia, Mexico, Thailand, Poland, and the share of each of the basic events leading to the occurrence of the
Netherlands. In this paper, the application of the proposed risk unwanted top event, as well as to identify critical events for each
management model is shown on one example. The analyzed midi project. The values of the FWI were calculated for all the basic
HDD in Queensland State, Australia, was connected with installa- and underdeveloped events from Eq. (5). In the case of the HDD
tion of a 250-mm steel multiproduct pipeline in rural area over a project in Australia, X16 and X17 were the critical events that in
distance of 1,300 m, with maximal depth of 27 m. Ground condi- particular should be a subject to risk treatment: FWIX16 ¼ 5.55%
tions included mix of sands, gavel, and clay in a nonuniform mix. and FWIX17 ¼ 1.37%.
Paratrack II was applied for steering. The distribution of the fuzzy risk connected with the top event
The linguistic terms assessing fuzzy probability of the identified occurrence for the MIDI HDD project in Australia (Specialist
basic events occurrence that were obtained from the group of HDD group 7) is shown in Fig. 5. It was created for two alternatives after
specialists assuming applying only passive risk retention strategies calculating the risk of the top event occurrence for various member-
or no risk remediation strategies are shown in Fig. 2. The member- ship grades with the step k from Eq. (3). It clearly illustrates the risk
ship function for the probability of the basic events occurrence, reduction for the top event.
which was developed for the seventh group of experts for the maxi The crisp risk connected with the top event occurrence of each
HDD project in Australia, is shown in Fig. 4. of the analyzed HDD projects was calculated applying the center of
For the analyzed projects, two alternatives of risk treatment area method from Eq. (4). The top event probability for Alternative
strategies were compared. In the first alternative, it was assumed 1 was 97.22%, and for Alternative 2, it was 75.94%.

Fig. 3. Integration of the FFT with the extended RMM for the example of midi HDD installation in Australia for one of the critical events.

© ASCE 04020034-9 J. Constr. Eng. Manage.

J. Constr. Eng. Manage., 2020, 146(5): 04020034

 Table 6. Fuzzy risk connected with the basic events occurrence for MIDI HDD project in Australia for various membership grade values
Fuzzy risk of the basic event occurrence (%)
X1, X4, X5, X6, X7,
X8, X9, X10, X11, X13, X14, X15,
X2, X3 X19, X20 X18, X19, X21, X22 X17 X16
Membership
grade (αjk ) Rg
Xiaα Rg
Xidα Rg
Xiaα Rg
Xidα Rg
Xiaα Rg
Xidα Rg
Xiaα Rg
Xidα Rg
Xiaα Rg
Xidα
jk jk jk jk jk jk jk jk jk jk

0.00 0.00 6.00 2.00 16.00 11.00 35.00 30.00 72.00 52.00 100.00
0.50 0.00 4.00 4.00 13.50 13.50 32.50 32.50 62.00 62.00 100.00
1.00 0.00 2.00 6.00 11.00 16.00 30.00 35.00 52.00 72.00 100.00

stakeholders engaged in the project. It is important to stress that

Downloaded from ascelibrary.org by Ozyegin Universitesi on 10/29/21. Copyright ASCE. For personal use only; all rights reserved.

risk analysis complements risk management. Both are desired

and can be blended into a modern framework based on proactive
and holistic approaches, such as presented in the proposed model. It
is vital to emphasize that any risk management system cannot be a
100% guarantee that nothing wrong will happen during the project.
There is also a residual risk that remains after implementing the
proposed most-recommended risk management strategy. However,
applying the proposed model allows one to reduce the foreseeable
failures in HDD projects.
The application of the proposed risk management model based on
Fig. 5. Distribution of the fuzzy risk connected with the top event the hybrid fuzzy fault tree and risk response matrix allows for effec-
occurrence for the midi HDD project in Australia for two alternative tively reducing the risk of basic events’ occurrence and provides a
configurations of risk response strategies. remarkable reduction of the risk of the top event’s occurrence. De-
pending on a chosen configuration of the proposed 147 risk treat-
ment strategies, various risk reduction values can be reached for a
particular basic event Xi. In the presented HDD project, introducing
It is important to verify the risk management results by compar- the risk management model allowed for a reduction in Q the basic
ing the calculated basic event risks and top event risk level with the events’ riskQof occurrence from 28% up to 88% ( z∈Z wzXi ¼
project run. Both analyzed installations were completed success- 0.72 up to z∈Z wzXi ¼ 0.12). It resulted in a reduction of the risk
fully. In the case of the HDD project in Australia, introducing risk of the top event’s occurrence by 21.28% in the case of full imple-
treatment early in the project allowed for quick reactions to un- mentation of the proposed risk management strategy for the HDD
wanted event occurrence. Thanks to proper assessment of the installation in Australia.
ground swelling potential combined with the application of drilling Application of this model enables a better understanding of fail-
fluid with the addition of clay inhibitors [CR(X16)a] and monitor- ure mechanisms and allows one to compare various alternatives of
ing bottom pressure [ER(X16)a], it was possible to notice even mi- risk treatment strategies in order to choose the most favorable one.
nor swelling of the clay and react quickly and effectively by Although it is recommended to start the risk management process
increasing the inhibition concentration in the drilling fluid. Thanks early in a project, this risk management model is versatile, and even
to carrying out the right risk assessment, the contractor was pre- if it had not been introduced at the beginning of the project (fea-
pared for it because the risk of this event occurrence was assessed sibility study), it can be also applied at later stages of the HDD
as very high and the value of FWI for this event was very significant project (design, construction, or even during reconstruction if the
(FWIX16 ¼ 5.55%). All in all, the HDD project in Australia was first construction attempt failed).
completed without any problems. In the analyzed 22 HDD projects, there were some cases in
The author also applied the proposed risk management model which not all recommended risk treatment strategies for a particular
(with risk treatment strategies presented in Tables 2–5) for 21 other
critical event Xi were finally introduced by the contractor or de-
HDD projects. In the cases when all recommended risk treatment
signer. In such cases, a convergence was perceived between the
strategies were introduced, the projects were carried out without
critical events identified during risk assessment and real unwanted
any significant problems. The successful HDD projects verified the
events that occurred during the HDD installations. This confirms
correctness of the proposed risk management model. Furthermore,
the correctness of the risk assessment and the need to introduce
in those HDD projects where not all recommended risk manage-
all the recommended risk treatment strategies. All in all, the appli-
ment strategies were introduced, a visible convergence was noticed
cation of the proposed risk management model in the 22 analyzed
between the critical events identified during risk assessment and
HDD projects allowed sufficient quality of those projects to be
real unwanted events that occurred during the installations. This
achieved with higher probability and proved to be an effective tool
also confirms the correctness of the proposed risk management
for responding to today’s HDD construction challenges.
model.
The limitation for the proposed approach is the need to involve
HDD experts who define risk levels in the risk assessment step. Par-
Conclusions ticular care needs to be taken with the proper choice of the experts,
because years of experience in HDD projects of a particular size,
The presented risk management model aims to give a helping hand expertise, and practical skills are required. They need to be familiar-
to all HDD professionals and managers who have the motivation ized with the factors determining the risk level for all identified
to create attainable and successful HDD projects that benefit all events. Moreover, it is important to create separate a membership

© ASCE 04020034-10 J. Constr. Eng. Manage.

J. Constr. Eng. Manage., 2020, 146(5): 04020034

 function for each group of experts, which reflects the way in which NO-DIG 2009, 1–8. Cleveland: North American Society for Trenchless
they understand the certain term (e.g., low risk). The author is cur- Technology.
rently working on a new model, in which the need to involve experts Han, S. M., Y. K. Hwang, N. S. Woo, and Y. J. Kim. 2010. “Solid-liquid
will be eliminated. hydrodynamics in a slim hole drilling annulus” J. Pet. Sci. Eng. 70 (3–4):
308–319. https://doi.org/10.1016/j.petrol.2009.12.002.
ISO. 2018. Risk management—Guidelines. ISO 31000. Geneva: ISO.
Krechowicz, M. 2017a. “Effective risk management in innovative projects: A
Data Availability Statement case study of the construction of energy efficient, sustainable building of
the laboratory of intelligent building in Cracow.” In Vol. 245 of Proc.,
Some or all data, models, or code generated or used during the IOP Conf. Series: Material Science and Engineering, 1–11. Bristol,
study are available from the corresponding author by request, in- UK: IOP Publishing. https://doi.org/10.1088/1757-899X/245/6/062006.
cluding a Microsoft Excel sheet with risk analysis and evaluation Krechowicz, M. 2017b. “Risk management in complex construction proj-
before and after risk treatment. ects that apply renewable energy sources: A case study of the realization
phase of the Energis educational and research intelligent building.” In
Proc., IOP Conf. Series: Material Science and Engineering, 1–10.
Downloaded from ascelibrary.org by Ozyegin Universitesi on 10/29/21. Copyright ASCE. For personal use only; all rights reserved.

Supplemental Data Bristol, UK: IOP Publishing. https://doi.org/10.1088/1757-899X/245/6

/062007.
Table S1 is available online in the ASCE Library (www MI SWACO. 2019. “Drilling fluid systems and products: Drilling solu-
.ascelibrary.org). tions.” Accessed March 20, 2019. https://www.slb.com/-/media/files/mi
/catalog/drilling-fluids-catalog.ashx.
Najafi, M. 2013. Trenchless technology: Planning, equipment, and methods,
References 181–239. New York: McGraw-Hill.
Naval Facilities Engineering Command. 1986. Soil mechanics, design
Abdelgawad, M., and A. R. Fayek. 2011. “Fuzzy reliability analyzer: manual 7, 1–3. Alexandria, VA: Naval Facilities Engineering Command.
Quantitative assessment of risk events in the construction industry using Pedrazza, U. 2011. “The OPAL pipeline—A special pipeline with the appli-
fuzzy fault-tree analysis.” J. Constr. Eng. Manage. 137 (4): 294–302. cation of a special coating.” In Proc., Int. NO-DIG Berlin 2011, 1–10.
https://doi.org/10.1061/(ASCE)CO.1943-7862.0000285. Kuala Lumpur, Malaysia: International Society for Trenchless Technology.
Abdelgawad, M., and A. R. Fayek. 2012. “Comprehensive hybrid frame- Plastic Pipe Institute. 2008. Handbook of polyethylene pipe. 2nd ed. Irving,
work for risk analysis in the construction industry using combined fail- TX: Plastic Pipe Institute.
ure mode and effect analysis, fault trees, event trees, and fuzzy logic.” Shoar, S., F. Nasirzadeh, and H. R. Zarandi. 2019. “Quantitative assessment
J. Constr. Eng. Manage. 138 (5): 642–651. https://doi.org/10.1061 of risks on construction projects using fault tree analysis with hybrid
/(ASCE)CO.1943-7862.0000471. uncertainties.” Constr. Innovation 19 (1): 48–70. https://doi.org/10
Ariaratnam, S., J. Lueke, and E. Anderson. 2004. “Reducing risks in un- .1108/CI-07-2018-0057.
favorable ground conditions during horizontal directional drilling.” Skorupka, D., and D. Kuchta. 2016. “Using fuzzy numbers for construction
Pract. Period. Struct. Des. Construct. 9 (3): 164–169. https://doi.org/10 projects monitoring and control.” In Proc., AIP Conf. 1738, 1–4.
.1061/(ASCE)1084-0680(2004)9:3(164). Melville, NY: AIP Publishing. https://doi.org/10.1063/1.4951981.
Bayer, H. J. 2005. HDD practice handbook. Essen, Germany: Vulkan
Staheli, K., and L. Maday. 2009. “Geotechnical baseline reports–Applying
Verlag Essen.
the guidelines to microtunelling.” In Proc., NASTT NO-DIG 2009, 1–8.
Bennett, D., and S. Ariaratnam. 2008. Horizontal directional drilling good
Cleveland: North American Society for Trenchless Technology.
practice guidelines. 3rd ed. Cleveland: North American Society for
Strater, N., P. J. Ambrosio, B. Dorwart, and R. Halderman. 2007. “Design
Trenchless Technology.
and risk management for a multiple crossing project.” In Proc., North
Deltares. 2019. “D-Geo pipeline.” Accessed March 20, 2019. https://www
American Society for Trenchless Technology, 1–9. Cleveland: North
.deltares.nl/en/software/d-geo-pipeline-2/.
American Society for Trenchless Technology.
Donovan, K., and R. Hanford. 2012. “Risk mitigation strategies for di-
Strater, N., B. Dorwart, and M. Brownstein. 2006. “Recommended site
rectional drilling projects.” In Proc., NASTT NO-DIG 2012, 1–7.
and subsurface characterization methods for a successful directional
Cleveland: North American Society for Trenchless Technology.
drilling project.” In Proc., NASTT NO-DIG 2006, 1–9. Cleveland: North
Ertelt, S. 2011. “Horizontal directional drilling and pipe bursting–
American Society for Trenchless Technology.
Installation of ductile iron pipes with restrained socket joints and ce-
ment mortar coating.” In Proc., Int. NO-DIG Berlin 2011, 1–10. Kuala US Subcommitee on Geotechnical Site Investigations. 1984. Geotechnical
Lumpur, Malaysia: International Society for Trenchless Technology. site investigations for underground projects—Volume 1: Overview of
Fenais, A., N. Smilovsky, and S. Ariaratnam. 2018. Using augmented practice and legal issues, evaluation of cases, conclusions and recom-
reality in horizontal directional drilling to reduce the risk of utility mendations. Washington, DC: US National Academic Press.
damages, 15–18. Reston, VA: ASCE. Van Staveren, M. 2007. Uncertainty and ground conditions: A risk man-
Francom, T., M. El Asmar, and S. Ariaratnam. 2016. “Performance analysis agement approach. Burlington, VT: Butterworth-Heinemann.
of construction manager at risk on pipeline engineering and construc- Van Staveren, M. 2009. “Extending to geotechnical risk management.”
tion projects.” J. Manage. Eng. 32 (6): 04016016. https://doi.org/10 Georisk 3 (3): 174–183. https://doi.org/10.1080/17499510902788835.
.1061/(ASCE)ME.1943-5479.0000456. Wei, L., Y. Zhang, and X. Jin. 2011. “Principle and potential advantages of
Gelinas, M., and D. Mathy. 2004. “Designing and interpreting geotechnical reverse circulation system for large diameter HDD crossings.” In Proc.,
investigations for horizontal directional drilling.” In Pipeline engineering Int. NO-DIG Berlin 2011, 1–7. Kuala Lumpur, Malaysia: International
and construction: What’s on the Horizon? edited by John J. Galleher Jr. Society for Trenchless Technology.
and Michael T. Stift, 1–10. Reston, VA: ASCE. Willoughby, D. 2005. Horizontal directional drilling—Utility and pipeline
Gierczak, M. 2014a. “The qualitative risk assessment of mini, midi and maxi applications. New York: McGraw-Hill.
horizontal directional drilling projects” Tunnelling Underground Space Wiśniowski, R., K. Skrzypaszek, M. Mrozik, and P. Krupiński. 2004.
Technol. 44 (Sep): 148–156. https://doi.org/10.1016/j.tust.2014.07.010. “Komputerowe systemy wspomagania decyzji technologicznych pro-
Gierczak, M. 2014b. “The quantitative risk assessment of mini, midi and jektowania i wykonania horyzontalnych przewiertów sterowanych.
maxi horizontal directional drilling projects applying fuzzy fault tree [Computer system aiding technological decisions on design and
analysis.” Tunnelling Underground Space Technol. 43 (Jul): 67–77. controlled horizontal drill bore performance].” [In Polish.] Górnictwoi
https://doi.org/10.1016/j.tust.2014.04.003. Geoinżynieria 28 (4/2): 253–262.
Hallager, P., and G. Hald. 2009. “Partnering in NO-DIG projects— Zadeh, L. A. 1965. “Fuzzy sets.” Information and control 8 (3): 338–353.
Reducing the impact of risks and uncertainties.” In Proc., NASTT https://doi.org/10.1016/S0019-9958(65)90241-X.

© ASCE 04020034-11 J. Constr. Eng. Manage.

J. Constr. Eng. Manage., 2020, 146(5): 04020034