Proceedings of the 20th ICSMGE-State of the Art and Invited Lectures– Rahman and Jaksa (Eds)

© 2022 Australian Geomechanics Society, Sydney, Australia, ISBN 978-0-9946261-6-5

Energy geo-engineering
Geotechnics of mine tailings: a 2022 State of the Art
Geo-ingenierie pour l’energie
Géotechnique des résidus miniers: État de L’Art 2022
J. Carlos Santamarina
Energy Resources and Petroleum Engineering, KAUST, Saudi Arabia, carlos.santamarina@kaust.edu.sa
Andy Fourie
School of
Adnan Engineering, University of Western Australia, Australia, andy.fourie@uwa.edu.au
Aftab
WASM: Minerals, Energy, and Chemical Engineering, Curtin University, Australia
Ramon Verdugo
D. Nicolas
CMGI, Espinoza
Santiago, Chile, rverdugo@cmgi.cl
Petroleum and Geosystems Engineering, U. Texas at Austin, USA

Annika Bjelkevik
Maurice Dusseault
Earth and
Tailings Environmental
Consultants Sciences,
Scandinavia U. Sweden
AB, Waterloo, Canada

Antonio Gens
Luis and
Civil Alberto Torres-Cruz
Environmental Engineering, U. Politecnica de Catalunya - CIMNE, Spain
School of Civil and Environmental Engineering, University of the Witwatersrand, South Africa
Hussein Hoteit
Energy Resources
Dobroslav and Petroleum Engineering, KAUST, Saudi Arabia
Znidarcic
Department of Civil, Environmental and Architectural Engineering, University of Colorado Boulder, USA
Seunghee Kim
Civil and Environmental Engineering, U. Nebraska-Lincoln, USA

Joo Yong Lee

ABSTRACT: Global interest in the geotechnical stability of tailings storage facilities (TSFs) has burgeoned over the past decade.
In particular,
Climate the widely
Change accessible
Response videoKorea
Division, of the Institute
catastrophic failure of the and
of Geoscience Feijão TSF inResources,
Mineral Brazil in 2019 was a definite
Republic hinge point.
of Korea
Enormous efforts are now focussed on the assessment and improvement of existing facilities as well as the design of new ones. A
Liang
focus ofLeithis paper has been on problems associated with contractive and brittle tailings, how to determine liquefaction
susceptibility,
School and whetherWestlake
of Engineering, currently U.,
available
Chinamonitoring technologies are able to provide meaningful and timely information on a
potential, developing failure. We also believe there are other, important aspects of tailings behaviour that must be understood, and
thus the paper
Guillermo also deals with the consolidation, desiccation and creep behaviour of highly compressible tailings, the importance of
Narsilio
correctly accounting
Department for seepage,
Infrastructure Eng.,andU.the analysis and
Melbourne, design for seismic loading conditions. Although new management
Australia
technologies such as filtered tailings are seeing increasing use, we contend that comprehensive understanding of tailings
geotechnics remains
Jean-Michel paramount to ensuring the stability of all tailings facilities.
Pereira
Navier, Ecole des Ponts, Univ Gustave Eiffel, CNRS, France
RÉSUMÉ : L'intérêt mondial sur la stabilité géotechnique des parcs de stockage de résidus miniers (PSRM) a eclaté au cours de la
dernière décennie.
Marcelo Sanchez En particulier, la vidéo largement diffusée de l´effondrement dévastateur du PSRM de Feijão au Brésil en 2019 a
constitué
Civil andun point de convergence
Environmental certain. Texas
Engineering, D'énormes
A&M,efforts
USA sont désormais concentrés sur l'évaluation et l'amélioration des
installations existantes ainsi que sur la conception de nouvelles installations. Cet article s'intéresse aux problèmes liés aux résidus
miniers compressibles
Kenichi Soga et fragiles, à la déterminaison de la susceptibilité à la liquéfaction et la possibilité des actuelles technologies de
surveillance
Civil disponibles à fournir
and Environmental des informations
Engineering, appropriées
UC Berkeley, USAet opportunes sur une potentielle rupture en cours. Il y a, également,
d'autres aspects importants du comportement des résidus qui doivent être appréhendés, et donc le document traite en outre la
consolidation,
María la dessiccation
Victoria Villar et le fluage de résidus hautement compressibles, l'importance de prendre en compte correctement les
infiltrations, ainsi que les analyses et la conception pour des conditions sismiques. Bien que de nouvelles technologies de gestion,
CIEMAT, Centro de Investigaciones Energéticas, Medioambientales y Tecnológicas, Spain
telles que les résidus filtrés, soient de plus en plus utilisées, une compréhension complète de la géotechnique des résidus demeure
primordiale pour assurer la stabilité de tous les parcs à résidus.
Marie Violay
KEYWORDS:
Lab tailings,
Experimental Rock liquefaction,
Mechanics, brittle,
EPFL, consolidation,
Switzerlandseismic.

ABSTRACT: The geo-science and engineering fields have critical roles to play towards a sustainable energy future. This state-of-
1 the-art review focusses on five areas where the geotechnical community
INTRODUCTION has been
Despite involved
the focus theunacceptable
on the most: the oilrate andofgas sectorofwith
failures TSFs
emphasis on methane hydrates, carbon geological storage, geothermal, energy
provided by geo-storage,
ICOLD Bulletin and 121,
nuclearandwaste
manystorage.
subsequentExtensive
studies
tables
1.1 in unacceptable
The the appendix identify potential
rate of failures of geotechnical
Tailings Storagecontributions to(e.g.,
all energy resources
Azam and (mining
Li, 2010), is critically
failures continue needed to supply
to occur. Indeed,rawnot
materials for the energy sector, yet is not addressed in this review).only
Facilities Energy-related
have failuresapplications
continued to involve
occur at a wide range of high
unacceptably time rates,
and
length scales, coupled thermo-hydro-chemo-mechanical processes, but multi-phase fluids, highofpressure-temperature-stress
the consequences many of the more recent failures conditions,have
The ICOLD
fines (International
migration, Commission
reactive fluid transportonand
Large Dams)
phase Bulletin
transformations, and multi-physics
been devastating, repetitive loads. Analysis
both to human life and and design
to the require
downstream
#121 documented
careful some 221
experimentation case records
(including of either
field-scale incidents
studies) at a
and advanced numerical simulations.
environment. Educational
Two particularly programs
catastrophic musthave
failures address the
occurred
tailings storage facility (TSF) or indeed
knowledge needs in energy geo-engineering. outright failure of a TSF. in the past few years in Brazil. In 2015, the Fundão TSF collapsed,
Published in 2001, this bulletin concluded that, “effective releasing some 43 million m3 of tailings, which flowed into the
reduction of the cost of risk and failure can only be achieved by a
Les domaines des géosciences et de l’ingénierie ont unDoce River, eventually
rôle essentiel reaching
à jouer pour the Atlantic
un avenir Ocean
énergétique some 660
durable. Cettekm
commitment from Owners to the adequate and enforced away (Fonseca do Carmo et al, 2017). This failure resulted in 19
revue de l’état de l’art se concentre sur cinq domaines
application of available engineering technology to the design, dans lesquels la communauté géotechnique a été le plus impliquée : le secteur
pétrolier avec fatalities and was followed by detailed forensic investigations that
construction andun focus of
closure surtailings
les hydrates de méthane,
dams and impoundmentsle stockage
over géologique
identified
de dioxyde
theenprimary
de carbone,
causes
la géothermie,
of the failure,
le géostockage
detailscontributions
of which are
d’énergie et le stockage des déchets
the entire period of their operating life”. radioactifs. Des tableaux détaillés donnés annexe identifient les potentielles
discussed later in this paper.

121
95
 The Fundao failure resulted in a study commissioned by the stability of the facility. On the other hand, tailings facilities
ICMM (International Council on Mining and Metals) that set out constructed using the downstream method are totally supported
ten principles to be followed to maintain integrity of TSFs and on the foundation soil and tailings only act as a load against the
minimise the risk of catastrophic failure (ICMM, 2020). Despite retaining embankment. The centerline option is an intermediate
this document being adopted by the ICMM (an organisation that structure, with the downstream shoulder resting on the foundation
represents some 27 large multinational mining companies), and soil and supporting the lateral forces generated by the retained
other initiatives that followed the Fundão failure, in January 2019 tailings and water.
the collapse of the Feijão TSF in Brazil resulted in over 260 Although many upstream tailings facilities have performed
fatalities and widespread downstream environmental damage. The satisfactorily for many years and continue to do so, we note that
disturbingly graphic video footage that was published on the analyses of TSF performance records generally identify the
internet has probably done more for the improvement in tailings upstream construction method as the least reliable one (Islam and
management practice than any single previous initiative. It clearly Murakami 2021, Franks et al. 2021). We believe that this result,
demonstrated the extreme brittleness of the tailings retained in this coupled with the previous observation that upstream dams rely on
TSF and the speed with which the resulting flowslide occurred. adequate strength development in the impounded tailings,
The Feijão failure led to the establishment of an independent, warrants the claim that upstream construction carries implicitly
multi-stakeholder review, and, finally in August 2020, to the higher risks than other methods. Indeed, upstream TSFs do require
publication of the GISTM (Global Industry Standard on Tailings much greater oversight and attention to measurable performance
Management). The GISTM provides a blueprint for a step change than downstream facilities.
in the way TSFs are designed, constructed and operated and is
essential reading for anyone working in the field.
Aside from the two catastrophic TSF failures discussed above,
that occurred in Brazil, the past decade has seen more than thirty
TSF accidents or failures (https://www.wise-
uranium.org/mdaf.html). Notable among these are the failures that
occurred in Canada in 2014 at the Mount Polley TSF, and the
Cadia TSF failure that occurred in Australia in 2018, although
neither of these failures resulted in fatalities. In the case of Cadia,
the tailings release was very confined and limited to the mining
lease, whereas the Mount Polley failure resulted in off-lease
release, with flow occurring into the nearby Hazeltine Creek and
Quesnel Lake. The reason these two failures are specifically
flagged here is that they both occurred in well-regulated mining
environments. Mount Polley is in British Columbia, which has
one of the best regulated tailings management regimes in the
world, and Cadia is in New South Wales, also a well-regulated
and mature mining state. These two failures, while not resulting
in the same quantum of devastation as the Brazilian TSF failures,
certainly required a major re-think of the level of understanding
of key geotechnical principles within the tailings industry. How
could such significant failures occur in jurisdictions with a mature
and technically enlightened regulator, with TSFs designed by
competent and skilled geotechnical engineers? Reasons for this
situation are many and varied, and many of these are discussed in
this paper. It is recognised at the outset that we will not be able to
cover all pertinent tailings related geotechnical topics in this
single paper but believe a state-of-the-art review such as this Figure 1. Conventional TSFs. Common types of dam construction.
provides a much-needed opportunity for reflection and
recalibration of the adequacy of our current understanding of the 1.2 Increasing tailings volumes
engineering behaviour of mine tailings.
Despite various recycling initiatives around the world, demand for
Depending on how tailings are processed, transported,
discharged, and stored, different types of TSFs are generated, most minerals remains almost insatiable. Clearly, mining as a
which have significant variations in terms of cost, volume and human activity is not going away. The volume of tailings
type of materials required for construction, rate of construction, produced annually is increasing significantly, as the grade of
and inherent stability. The current practice of tailings management available ore bodies declines. Robertson (2018) suggested that
is mostly associated with tailings deposits of what may be termed every 30 years the volume of tailings worldwide increases about
the ‘conventional’ type, due to their lower cost and simpler ten-fold, the area covered by TSFs increases five-fold and average
implementation. The conventional system of tailings disposal heights of TSFs doubles. He pointed out that the maximum height
consists of one or several dams that confine and retain the of TSFs in the decade 2001 to 2010 was about 240m, with even
saturated loose, hydraulically deposited tailings (slimes) and higher TSFs planned. Improved understanding of the geotechnical
process water in an impoundment. The retaining component of behaviour of mine tailings will thus continue to be imperative, and
tailings facilities (e.g., the perimeter embankment) are usually to evolve to include the effect of increasingly high confining
constructed using the sandy fraction of the tailings, which may be stresses on tailings characteristics. Furthermore, based on data
accomplished using cyclones or, more often, conventional disclosed by mining houses upon the request of institutional
earthmoving equipment. According to the construction procedure investors, it is estimated that 50 billion m3 of tailings will require
used, it is possible to distinguish between upstream, downstream storage during the five-year period extending from 2019 to 2023
and centerline methods of construction (see Figure 1). The (Franks et al. 2021). Tailings storage will remain a necessity for
upstream method of construction requires a minimum volume of the foreseeable future.
coarser tailings (or borrow material) for embankment
construction, but the geotechnical properties of the tailings,
sometimes including the finer fractions, are involved in the overall

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1.3 Changes in response to catastrophic failures
As already inferred above, we believe the Feijão failure that
occurred in Brazil in 2019 will be seen as an inflection point in
the attention paid to improved tailings management worldwide.
The publication of the GISTM will ensure the focus of owners and
operators of TSFs, government regulators, financiers and
insurance companies are retained on trying to ensure no future
catastrophic failures occur ever again. Having said that, there are
many existing TSFs that have been (and unfortunately some still
are) poorly managed historically and the potential for failure of
such deposits cannot be ruled out, unless placed under appropriate
operational management.
The GISTM covers many topics aimed at vastly improving
tailings management, many of them non-technical. However,
embodied in the guiding ‘Requirements’ is one that we believe
will have (and indeed already is having) a profound influence on
the way many TSFs are operated. Associated increases in cost,
sometimes substantial, are going to be unavoidable. The
Requirement we refer to is Requirement 4.6 which states,
“Identify and address brittle failure modes with conservative
design criteria, independent of trigger mechanisms, to minimise
their impact on the performance of the tailings facility” (the
italicised words are according to the GISTM). Unfortunately,
many TSFs contain extensive zones of potentially brittle tailings,
a topic we discuss in more detail in section 8.1.1. Ideally, going
forward TSFs would be operated to prevent the accumulation of
brittle tailings, but sometimes this is extremely difficult to Figure 2 Relationship between solids content and yield stress for tailings,
achieve. Operational practices that can be adopted to produce showing indicative ranges of properties and appropriate dewatering
dilative rather than contractive (and brittle) tailings are touched technologies (after Jewell and Fourie, 2015; courtesy Australian Centre
upon throughout this paper. for Geomechanics).

1.4 Alternative and emerging technologies.
As discussed in ICOLD Bulletin 121, many, if not all these
failures could be largely attributed to the effects of too much
water. There are additionally many other drivers to reduce water
consumption in tailings management, e.g., in Chile costs of up to
$US4/m3 have been reported for water.
Over the past two to three decades, significant advances have
been made in technologies that utilise less water to transport
tailings to the TSF. Figure 2, taken from Jewell and Fourie (2015),
demonstrates the qualitative effects of significantly enhanced
dewatering of tailings. Solid’s concentration is plotted against a
measure of strength, in this case shear yield stress, as measured
typically using a vane rheometer, usually reported in Pascals.
Most operational TSFs today would classify as ‘conventional
tailings’ (indicated by ‘segregating’ in Figure 2), with no
measurable yield stress of the as-deposited tailings. Additional
thickening, using much deeper thickeners than previously used,
results in higher solids concentrations and thus higher yield
stresses, requiring much more attention to detail of tailings
transportation, as the higher solids concentration may sometimes
require the use of positive displacement pumps rather than
conventional centrifugal pumps. There are also implications for
deposition practices when using high-density thickened tailings.
Added impetus to the adoption of increased dewatering has been
provided by recommendations arising from some of the forensic
investigations of major TSF failures to minimise storage of water
on TSFs. Referring again to Figure 2, further thickening requires
use of filters, producing a cake-like material when successful. The
production of filtered tailings usually comes at significantly
increased cost, particularly operational costs due to increased
energy use.
2 THE CONTRAST BETWEEN WATER DAMS AND
TAILINGS STORAGE FACILITIES.
Water dams are usually built to store water for power generation,
irrigation, water supply etc. Historically, water dams have been
built since time immemorial. The history of tailings dams is, in
contrast, much more recent (of the order of 100 years) and they
are built to store tailings, which contain different proportions of
sand, silt and clay-sized particles, and related process water.
Tailings dams form an impoundment, and the entire facility is
commonly referred to as tailings storage facility (TSF), tailings
management facility (TMF), or more recently (the termed used in
the GISTM), a tailings facility. For purposes of continuity with
current literature, we use the former term in this paper (TSF). A
TSF may also include structures such as spillways and
clarification ponds. This section provides a perspective of the
differences between water dams and tailings dams.
2.1 Ongoing construction and increases in height
Water dams are normally constructed as a conventional civil
engineering project, i.e. with a defined start and end. Normally the
construction phase lasts from a year to a few years, depending on
the height, length and type of dam etc. Once construction is
completed, the dam is handed over to the owner to operate.
Tailings dams are designed for life of mine (LOM) (in addition to
a period of post-closure, which may be extremely long, as
discussed in section 11) and commonly built in stages over that
time. Firstly, a starter dam(s) is constructed, generating an initial
capacity for typically one to three years storage of tailings and
process water. The dam is then raised in discrete increments at
regular time intervals, or continuously as during cycloning.
Regardless of whether the dam is raised discretely or
continuously, the rationale is to progressively increase the storage
capacity as the demand requires. Construction is therefore an
ongoing process throughout the whole operating phase. As dam
raises often include tailings as a construction material, operations

123
such as deposition of tailings is often part of construction on a
continual basis.
LOM may vary from around approximately 10 years up to 50+
years and, more importantly, LOM will likely change over time
as a) exploration continues and more ore is found and b)
commodity prices change leading to more tailings to store if prices
rise or less to store, or even an early close of operations, if prices
decrease. Due to changes in LOM the final height for a tailings
dam will change with time, which must be considered in the initial
design, i.e., that the final crest elevation may increase.
2.2 Importance of operational procedures
Tailings dams require ongoing construction during operation,
when the design engineer and the owner/operator should work in
parallel to ensure that design, construction and operation become
an integrated ongoing process. Close collaboration,
communication, knowledge and experience sharing become very
important. Operational activities of a tailings dam include
planning and management of deposition of tailings in the
impoundment as well as management of water (process water and
precipitation). Depending on the design chosen for a particular
tailings dam, the influence of tailings deposition may become
critical, e.g., upstream construction totally relies on the deposited
tailings beach immediately upstream of the crest of the dam being
a part of the structural zone of the dam. Conversely, a dam using
downstream construction is more analogous to a conventional
earth- or rockfill dam and is thus not reliant on the strength of the
deposited tailings. For the upstream construction method, the
density and the state of the deposited tailings in the structural zone
are critical for stability. The tailings in the structural zone should
be non-liquefiable (see also Section 5.1.1).
Deposition of tailings also influences how efficiently the
storage capacity is utilized as deposition affects the in-situ dry
density of the stored tailings. Economically, dry density is
critically important, as it directly affects the utilisation of storage
volume (air space) and thus the footprint of a tailings dam.
Different methods of deposition of tailings are used depending on
the desired outcome. The following are the most common. See
also Figure 3.
Single discharge deposition, i.e., a single slurry pipeline
from the process plant to the TSF. The outlet may
occasionally be moved to even out the build-up of tailings.
Spigot deposition is a method where the main slurry
pipeline is divided into several outlets (like a sprinkler).
Normally the main slurry pipeline has several discharge
points of which some are open simultaneously. To get an
even beach, uniform thickness of deposited layer and
improve consolidation, spigots are rotated frequently,
which also prevents dusting if the tailings beach above
water is kept wet.
Drop-pipe is an extension of a deposition point, a spigot,
where there is a large height difference between the
discharge point and the beach. Too high a difference in
height usually results in erosion on the beach and possibly
on the upstream face of the dam. Using a drop pipe helps
dissipate the energy in the flow.
Spray bar deposition is a refinement of spigot deposition
as each spigot is in turn divided into several outlets. This
reduces flow and velocity even more, which increases the
amount of tailings particles settling early on the beach,
almost invariably producing a steeper beach.
Cyclone deposition is when coarse and fine particles are
separated using a cyclone. In the cyclone, the combined
action of gravity and centrifugal forces separates the
coarse fraction from the fines and most of the water. The
coarse fraction is then used for dam embankment
construction and the fines deposited further out on the
Figure 3. Examples of different tailings deposition methods. Photographs
beach. Cyclone schemes may consist of one large
courtesy of Boliden, LKAB and FL Schmidt.
124
stationary cyclone, several small cyclones on the crest,
mobile cyclone or a set of cyclones and they can be
horizontal or vertical.
Subaqueous deposition means deposition under water.
This method is mainly used when the tailings contain
sulphur and are prone to oxidation. The TSF is then a
water impoundment where tailings is deposited under
water. As the natural slope of tailings deposited under
water is much steeper compared to subaerial deposition,
the discharge point must be moved regularly to utilize the
capacity of the impoundment effectively. The density of
the tailings is also looser than subaerial (above water)
deposition.
Thickened and paste deposition means deposition of
tailings slurry at a higher solids content than conventional
tailings, where the latter often have only some 10-50%
solids by weight. To reach a higher solids content a deep
thickener is used to further remove water. If enough water
is removed, it goes from a slurry to paste (with a
consistency like toothpaste). The higher the solids
content, the steeper the beach slope and the lower the
propensity for particle segregation. Thickened tailings or
paste is used when water is scarce and/or when a steeper
beach slope can increase the capacity of the facility to
more effectively use the land footprint.
Filtered tailings deposition is taking thickened tailings one
step further as even more water is removed, filtering the
tailings after it has been thickened. Filtered tailings are too
dense to be pumped and must be transported to the TSF
using, for example, conveyor belts or trucks. In the TSF
the filtered tailings usually need to be compacted to create
a stable structure. Dust problems are potentially an issue
and in wet climates, logistics and compaction must be
planned to not saturate the filtered tailings after
placement. The resulting deposit is commonly referred to
as a “dry stack” and since it may not include free water, a
TSF failure is likely to result in more limited damage
compared to a conventional TSF containing tailings and
process water. However, a saturated “dry stack” is still
prone to liquefaction.
Co-deposition is here used as an umbrella term for all
manner of integrated mine waste management, e.g.
methods where tailings and other mine waste materials,
like waste rock, are deposited in the same facility. Other
terms used include co-placement (placed, but not
transported together) and co-mingling (placed and
transported together). Renaming of existing technologies
such as these includes, for example, the terms eco-tails
and paste rock.
For tailings dams relying on deposited tailings for stability, i.e.,
where deposited tailings are part of the structural zone of the dam,
a suitable deposition method is important, as is cycle time and
adequate drainage. Cycle time refers to how often a specific
deposition point is moved and/or how long it takes to do a full
cycle around the perimeter of the TSF. Deposition for a short time
results in a thin layer of tailings being deposited, which allows for
rapid drying and consolidation. For a specific facility, deposition
for a short time means moving on to the next deposition point
faster and therefore coming back to the same/first point quickly,
i.e., a short cycle time for the full facility, which means less time
to consolidate before deposition takes place again. Therefore, to
ensure adequate consolidation an ideal would be a short
deposition time, but a long cycle time, which are contradictory
requirements. An optimization is necessary. Additionally, there is
the challenge of managing the rate of rise (RoR), which refers to
the rate of raising of the beach of deposited tailings. If the RoR is
too high, consolidation will be negatively affected, and stability
may be jeopardized. The only opportunity to affect these
conditions (deposition time, cycle time and RoR), is the area, or
capacity, of the impoundment. Namely, the area needs to be big
enough to facilitate a long enough cycle time and low enough
RoR. The current tendency to minimize the footprint of a TSF can,
in this perspective, have a negative impact on stability and safety.
To maximize consolidation and retain a low phreatic surface
within the structural zone of the dam, drains are normally used.
Upstream dams are sometimes referred to as “drained dams”,
emphasising that drainage is important. It is important for stability
directly, but also indirectly, as good consolidation improves shear
strength and drainage speeds up the consolidation process.
Drainage can be designed in many ways; as horizontal layers or
finger drains at the bottom of the dam or under the entire structural
zone for the upstream construction method. Alternatively,
horizontal layers or finger drains can be built at intervals at
increasing elevations as the dam is raised. In some cases, vertical
drains can be used to connect horizontal drains at different
elevations, although this option is not common. The drains can be
constructed using natural gravel, crushed rock, perforated or
slotted pipes or different bespoke products using various
geosynthetic options. Collected water can be drained passively or
actively pumped from a collection sump.
2.3 Changes to design intent
As the conditions at a particular tailings dam may change over
time, the design details may likewise need to change. Conditions
that typically may lead to the need for a design change include
changes in production rate (higher rates of tailings deposition),
changes in grind size (almost invariably meaning production of
tailings with a finer particle size distribution than at the start of the
project), and availability of construction material, where lack of
adequate waste rock, for example, may precipitate a switch from
downstream to upstream construction. Changes in mine staff,
operators and designers may also result in changes to the design.
Such changes in themselves are not a problem. However, it is
crucially important that everyone with operational responsibilities
understand the geotechnical principles of the structure and how
changes to design may affect the overall functioning and stability
of the structure. The mantra is: ‘operate according to the design
intent’. As already mentioned, an upstream constructed tailings
dam relies on provision of suitable underdrainage to ensure a low
phreatic surface which in turn assures a well consolidated
structural zone of the deposited tailings beach. Conversely,
downstream construction relies on the strength of the deposited
tailings to a much lesser extent, if at all. A particular tailings dam
will be somewhere between 100% dependent on management of
tailings deposition providing an adequate structural zone to
125
virtually independent; thus, when changes to the design are
introduced, a clear understanding of the resulting implications and
operational requirements are crucial.
3. APPLICATION OF GEOTECHNICAL ENGINEERING
PRINCIPLES – DO TAILINGS DIFFER FROM NATURAL
SOILS?
Tailings, from an engineering point of view, can be considered as
man-made soils. Tailings derived from different parent ores, or
from different mineral extraction processes may be extremely
different and may vary from clayey to sandy soils, sometimes
exhibiting properties outside the framework of understanding
developed in conventional geotechnical engineering (e.g. laterite
nickel tailings). However, tailings can usually be best
characterised and analysed as geotechnical materials. In this
context, it is necessary to point out that the main difference
between soils and other engineering materials (for example,
concrete, steel and wood), is associated with the development of
volumetric strains when subjected to shear stresses.
Tailings, like any un-cemented soil, is essentially a particulate
medium made up of mineral particles with interstices (or voids)
and therefore undergo volume changes when subjected to shear
stresses due to the movements between particles (rotation,
sliding), which interact with the voids, inducing in them either a
reduction or an increase of their volume.
The volume change of sandy soils was first observed by
Reynolds (1885), who showed that dense sands tend to expand,
increasing their total volume when subjected to shear stress.
Reynolds called this phenomenon "dilatancy". However, it was
only in the 1930s that Casagrande realized the real importance of
volumetric deformation in the mechanical response of soils,
developing the concept of "critical density or critical void ratio"
(Casagrande, 1936). Later, Roscoe and his co-workers presented
a conclusive study proving the concept of critical void ratio and
extended it to clayey soils (Roscoe et al, 1958). Typical test results
obtained on 1 mm steel balls using simple shear are shown in
Figure 4 in terms of void ratio and horizontal displacement for a
constant vertical stress of 1.41 kg/cm2 (138 kPa). As can be
observed, the volumetric strain can be either positive or negative,
depending on the initial void ratio and the magnitude of
deformation, but when the ultimate state is achieved, the volume
change tends to cease and the soil deforms under a constant-
volume condition reaching the critical void ratio associated with
the normal stress under which the test is performed.
Figure 4. Results of simple shear tests on 1 mm steel balls with normal
stress 140 kPa. Republished with permission of ICE Publishing, from
Roscoe et al. (1958); permission conveyed through Copyright Clearance
Center, Inc.

With some limited exceptions, tailings are amenable to the
application of theories and frameworks of understanding
developed for natural soils. These exceptions are discussed
subsequently. Being essentially a two phase (sometimes three
phase) material, i.e. solid particles in a liquid matrix, the key
building block of geotechnical engineering, namely the effective
stress principle, is usually applicable and relevant. Additionally,
conventional geotechnical engineering laboratory and in-situ tests
that aid in the mechanical characterisation of natural soils are
generally useful to characterise tailings.
3.1 So what are the differences?
When differences occur, they are usually attributable to the way
tailings originate. Unlike natural soils, which essentially evolve
through a combined process of weathering, transportation, and
deposition (sometimes the former totally dominating of course, as
in the case of residual soils), tailings are invariably derived from
some form of industrial process. The most common of these
processes include some (or all) of the following: crushing,
grinding, chemical treatment, and hydraulic transport in a pipeline
(occasionally in a channel). The resulting particles are therefore
often significantly more angular than most natural soils.
In addition, tailings are often deposited at void ratios that are
much higher than the void ratios encountered in natural soils
familiar to most geotechnical engineers. Indeed, when deposited
as a slurry, tailings undergo sedimentation before a true soil
deposit is formed for which the effective stress principle is valid.
Even after such a tailings layer is formed, it continues to undergo
significant volume changes under self-weight stresses and
exhibits highly nonlinear compressibility and large strains. Most
of the volume change takes place at low effective stresses and is
associated with a significant reduction in the hydraulic
conductivity of the material. It is not unusual that, after
sedimentation, a tailings layer is formed at a void ratio as high as
5 (for relatively low plasticity materials) and up to 20 or even 30
for materials with high plasticity (e.g. phosphatic clays, Abu-
Hejleh et al 1996). Furthermore, volumetric strains that exceed
50%, as the applied effective stress increases from 0.1 kPa to 1
kPa are not rare. A reduction of the hydraulic conductivity by five
or more orders of magnitude is common for the effective stress
range expected in the field (e.g. Abu-Hejleh et al 1996).
Considering these significant changes, traditional linear, small
strain consolidation theory is not suitable for such materials and
the assumption of a constant coefficient of consolidation and a
constant compression index is not always justified. A nonlinear,
finite strain consolidation theory that accounts for the effect of
self-weight of the material is thus essential for a rational approach
to analyze the behavior of tailings as they transition from a high
water content slurry upon deposition to a soil deposit in which the
principle of effective stress holds true (e.g. Gibson et al 1967).
Consequently, conventional consolidation tests are not suitable
for determining the consolidation parameters of such tailings and
testing procedures and test analyses consistent with the nonlinear
consolidation theory must be used for characterization. Such
experimental procedures have been developed and are available
for routine use as discussed in section 4.2.2.
We emphasize that many tailings streams, particularly those
derived from hard-rock mining, settle out (sediment) very rapidly
and thus do not necessarily require testing according to the
procedures discussed later in this paper and conventional
consolidation testing methods are appropriate. Although tailings
derived from many hard rock ore deposits may contain
appreciable fines contents (more than 20% by mass), they still
have high hydraulic conductivity (and thus coefficient of
consolidation) values because the fines are non-plastic, being rock
flour. In fact, some (coarser) tailings have such high coefficients
of consolidation that using a conventional oedometer may be
problematic because consolidation takes place so rapidly that
126
initial settlements can be missed unless displacement data
acquisition is automated.
3.2 Quantifying particle shape
Approaches to measuring particle size distribution are well
developed and widely used, e.g. sieve and hydrometer methods.
Not so for measuring particle shape. There is no universally
accepted procedure, although one of the most widely used
techniques is that used by Cho et al., 2006. This method is based
on the chart shown in Figure 5 and is based on two parameters,
the sphericity, S, and the roundness, R.
Figure 5. Method of characterising particle shape showing: a) sphericity,
S and roundness, R, and b) measurements used to determine S and R.
Republished with permission of ASCE, from Cho et al. (2006); permission
conveyed through Copyright Clearance Center, Inc.
Sphericity, S, characterises the gross shape of a particle and
reflects the similarity between a particle’s length, height and
width. It is generally defined as the ratio of the radius of the largest
circle inscribed in the particle, ris, to the radius of the smallest
circle circumscribed around the particle, rcs.
Roundness, R, which is the conceptual inverse of angularity,
represents the scale of a particle’s major surface features (such as
corners and edges). R is quantified using the equation, =
where ri is the radius of each major surface feature and Nsf is the
number of surface features (Figure 5). A limitation of the chart
depicted in Figure 5 is that it is based on a 2D projection of the
particle and as such is unable to capture 3D aspects of particle
shape.
Altuhafi et al (2013) provide three shape measures, namely
convexity, sphericity and aspect ratio, for characterising particles
using digital image analysis (DIA). The method appears more
robust than the Krumbein and Sloss approach, as the parameter R
is somewhat scale dependent, an undesirable feature when
characterising shape. Recently Yang et al (2019) have also used
DIA techniques to investigate shapes of tailings particles, with
promising results. However, much of the available literature
correlating particle shape to engineering characteristics is based
on the parameters R and S, and this paper is thus restricted to the
existing literature bank.
3.3 Correlation of sphericity and roundness to geotechnical
properties.
3.3.1 Maximum and minimum void ratio values
There is now overwhelming and consistent evidence that S and R
correlate strongly with the maximum and minimum void ratios,
emax and emin respectively. Both these extreme void ratio values
increase with decreasing S and R, i.e. as the particle becomes more
angular and irregular (or less rounded). As noted by Santamarina
and Cho (2004), for mono-sized spheres the loosest stable packing
(emax) that can be achieved is 0.91 and the densest (emin) is 0.34. If
a range of different sized spherical particles were present, emin
could be even lower. Cho et al (2006) presented data from 16
natural sands from around the world, 17 crushed sands from
Georgia, USA (being crushed, these sands are likely similar to
tailings sands and silts), as well as a few other materials such as
glass beads, granite powder and tailings from the Syncrude
oilsands operation in Alberta, Canada. Figure 6 clearly illustrates
the inverse relationship between the extreme void ratios and both
sphericity and roundness. A third parameter, , which was
suggested by Cho et al (2006) who called it the ‘regularity’; and
defined it as = (R+S)/2, is also shown in Figure 6. The regularity
is intended to capture both sphericity and roundness in a single
parameter. As can be seen in Figure 6, it has the same inverse
correlation with the extreme void ratios as S and R (which is not
unexpected).
Figure 6. The effect of particle shape on extreme void ratios. Republished
with permission of ASCE, from Cho et al. (2006); permission conveyed
through Copyright Clearance Center, Inc.
Doubt is sometimes expressed about the value and relevance
of extreme void ratios emax and emin for soils with a high
percentage of silt sized particles (or finer), given that the standard
techniques used to determine these parameters were originally
intended for clean sands. However, the data presented by Cho et
al (2006) were all for material with d50 values more than 0.12mm
(most being in the range of 0.3 to 0.5mm), with Cu (coefficient of
uniformity) values less than or equal to 2.5, thus obviating this
concern. Furthermore, the technical literature now contains
multiple examples of experimental programmes that have adopted
emin and emax to aid in the characterisation of non-plastic sand-silt
mixtures (e.g. Zlatovic and Ishihara 1995, Cubrinovski and
Ishihara 2002, Thevanayagam et al. 2002, Papadopoulou and Tika
2008, Yang et al. 2006, Carrera et al. 2011, Torres-Cruz and
Santamarina 2020). The consistency of the results yielded by
these programmes strongly suggests that the extreme void ratios
are useful indices to understand the mechanical behaviour of silt-
sized non-plastic tailings.Figure 6 shows that particles with lower
regularity have a larger difference between the extreme void
ratio values, e.g. for , the difference is about 0.2, whereas for
= 0.3, this difference is about 0.45. This observation is also
supported and expanded by the extreme void ratio data for over
300 soils reported by Cubrinovski and Ishihara (2002). Their data
covers a wide variety of soil types, including gravels, clean sands
and silts. Although Cubrinovski and Ishihara (2002) calculated
separate emax vs emin regression lines for different soil types within
their database, the database as a whole reveals a roughly
proportional correlation (linear and passing through the origin)
between emin and emax (Figure 7).
emax = m*emin (1)
127
Where m is the slope of the correlation and is necessarily >1 since
by definition emax > emin. The range of void ratios can thus be
expressed as:
emax – emin = m* emin – emin = emin (m – 1) (2)
Figure 7. Approximately proportional correlation between emax and emin for
a wide variety of soil types. (after Cubrinovski and Ishihara (2002)).
Since m > 1, it follows that (m – 1) > 0. So (m – 1) is a direct
proportionality constant between the void ratio range (emax – emin)
and the minimum void ratio emin. A similar analysis shows that
(emax – emin) is also directly proportional to the maximum void
ratio emax. We can then conclude that an increase in emin (or emax,
as they are proportional) also increases the void ratio range (emax
– emin). This in turn increases the potential for volume change
upon shearing of a very loose packing. If shearing occurs under
undrained conditions, the volume reduction will generate large
positive excess pore pressure, a factor closely linked to the
mechanism of static liquefaction, discussed in Section 4.3.
The results from Cho et al. (2006) highlight that high particle
angularity, such as that of tailings, promotes high values of emin,
emax, and therefore of (emax – emin). However, it is worth
remembering that particle size distribution also has a significant
effect on the extreme void ratios. Namely, broad gradations
promote tight packings while narrow gradations promote loose
ones (Biarez and Hicher 1994). So, the final value of extreme void
ratios, and associated volume compressibility, of tailings will be
both a function of particle size distribution and particle shape.
3.3.2 Critical state (constant volume) friction angle
The ratio of deviator stress (q) to mean effective stress (p') that
soils reach at critical state is termed the critical stress friction ratio
(M) (also discussed in Section 4.3.3). M values are affected by
particle shape, with particle angularity promoting higher values of
M. Tailings that result from rock crushing processes have angular
shapes and can thus be expected to exhibit relatively high M
values. Figure 8 presents the M values for a variety of tailings and
compares them to values of other soil types that include natural
soils and sands from rock crushers. The median particle size D50
is a convenient parameter to plot the data although no correlation
is observed between M and D50. There is significant overlap
between the M values of tailings and that of other types of soils.
This is somewhat expected given that angular particles that
produce high M values are also found in soils that are not tailings.
Furthermore, the M values of tailings span a relatively wide range
from 1.12 to 1.78. The data from glass beads serves to highlight
the role of particle shape, with their spherical geometries leading
to the lowest M values of approximately 0.85.
 1.8 when depositing the tailings hydraulically, as very significant
particle segregation occurs along the tailings beach. This results
1.5 in a steep beach of sandy material near the deposition point, and a
relatively flat (<1% slope) beach of fine tailings, with these fine
Friction ratio M

1.2 tailings showing extremely low rates of consolidation.

0.9 Differences in Gs for different commodities mean that

Other BAU DCU different deposition strategies may need to be adopted. For
HMS HVC MER
0.6 OIL PFE SAU Glass beads example, tailings with a very high Gs will settle very quickly after
PLA STA discharge from the delivery pipe, forming a relatively steep beach;
0.3 this in turn means the height of the discharge point requires
1 10 100 1000 3000 frequent adjustment, adding to costs of tailings management.
Median particle size D50 [ m] Another implication is that the use of ‘general rules’ are not
always applicable. For example, for gold tailings an in-situ dry
density of 1.7t/m3 should provide tailings that are dilative upon
Figure 8. Critical friction ratio (M) against median particle size (D50) for shearing, a highly desirable outcome as discussed later in this
tailings and other soil types. Symbols for tailings are defined as: BAU = paper. Adopting this value of dry density for an iron ore tailings
Brazilian gold tailings, DCU = Deixing copper tailings, HMS = Hilton
with Gs of 3.8, however, results in a void ratio of 1.24. This may
Mines, HVC = Highland Valley Copper tailings, MER = Merriespruit gold
not be sufficiently dense to ensure dilative behaviour.
tailings, OIL = Syncrude oil sand tailings, PFE = Panzhihua Iron tailings,
SAU = South African gold tailings, PLA = platinum tailings, STA = Stava
3.4.2 Water chemistry
fluorite tailings. Data as compiled by Torres-Cruz and Santamarina
The mineral processing options used for extraction of the
(2020).
commodity of interest vary widely across industries. For example,
extraction of heavy minerals from mineral sands ores is usually
3.4 Some other notable differences between tailings and done by gravity separation, which is made possible by the large
natural soils difference in Gs between mineral and non-mineral (i.e. the sand
and clay fractions), whereas commodities such as gold and copper
3.4.1 Specific gravity require utilisation of a chemical processing agent, such as cyanide
Specific gravity, Gs, is the particle density normalised by the that is often used for gold extraction. Perhaps even more extreme
density of water which, although dependant on temperature, is are the processing of nickel laterite deposits, and of bauxite to
commonly approximated to 1 g/cm3. For natural soils, Gs is often produce alumina.
between 2.65 and 2.7, the former value being that of quartz sand. When extracted from a sulphide deposit (in general this
Occasionally a natural soil may be encountered with Gs values indicates a hard-rock deposit), the process for nickel typically
well outside this range, but it is unusual. Tailings, on the other utilises some form of chemical processing agent. However, nickel
hand, routinely exhibit values well outside this range. Table 1 contained within laterite deposits (which are generally near
below provides some examples of the variability encountered. surface and soft rock to soil consistency) is much more difficult
to extract. The most widely used process utilises high pressure,
Table 1. Range of specific gravity values of mine tailings acid leach. The resulting waste stream is more a chemical process
residue than a conventional tailing. For example, Azam et al
Commodity Specific gravity, Gs Reference
(2005) report results from tests on pressure acid leach (PAL)
Coal (fine refuse) 1.5 to 1.8 Soderberg and Busch, 1977 nickel laterite slurries which all had pH values less than unity and
Lead-Zinc 2.8 to 3.4 Soderberg and Busch, 1977 electrical conductivity values more than the upper limit of the
Phosphate 2.5 to 2.8 Bromwell and Oxford, 1977 measuring device (10 mS/cm). The clay minerals originally
Gypsum 2.3 to 2.4 Vick, 1977 present in the ore were completely decayed by this process, while
Gold 2.8 to 3.1 Fourie et al, 2021; Li et al, magnesium sulphates were formed by the reaction between
2018 sulphuric acid and the magnesium released from the ores. The
Iron ore 3.1 to 3.8 Fourie et al, 2021; Li and resulting slurry was thus radically transformed by the extraction
Coop 2019 process. Sedimentation tests were carried out on PAL slurries
Bauxite 2.9 Fourie et al, 2021 from four different countries; the final settled void ratios varied
Copper 2.7 to 3.75 Fourie et al, 2021; Li 2017 between 4 and 13.
Platinum 3.0 to 3.6 Fourie et al, 2021; Torres- Similarly, the extraction of alumina from bauxite ore produces
Cruz and Santamarina, 2020 a process residue, rather than a tailing. Here the process (most
typically the patented Bayer process) comprises heating the ore to
Table 1 shows the high variability across commodities and about 150 to 200°C in a pressure vessel to which sodium
highlights the importance of experimentally measuring Gs as hydroxide is added, resulting in a process residue that has a pH of
opposed to relying on assumed values. The value of Gs is affected around 12, with high levels of calcium and sodium hydroxide. The
process residue consists of two distinct components, ‘red sand’
by the particulars of the mining process. For example, the Gs value
and ‘red mud’. The red mud residue may contain haematite,
of gold and copper tailings will be closer to the upper end of the goethite, gibbsite, rutile, calcite, sodalite and other complex
range provided when significant quantities of pyrite are silicates, but there is usually a complete absence of either quartz
discharged in the tailings stream. In addition to the across- or clay minerals (Newson et al, 2006). Particles are generally silt
commodity variation, there is often also distinct variability for a sized, with some specific residues having appreciable quantities
particular commodity. For example, many mineral sands deposits of clay-sized particles. Red muds typically have low plasticity and
(from which heavy minerals such as zircon (Gs = 3.9 to 4.7) are high specific gravity values (up to 3.3). Despite the lack of clay
recovered) often contain two distinctly different tailings streams, minerals, and low plasticity, red muds demonstrate some
the sand fraction and the very fine fraction (commonly referred to geotechnical properties that are characteristic of clay-rich tailings,
as slimes). Not only are the particle size distributions (PSDs) very such as relatively high compressibility. In contrast, the angle of
internal friction for red muds tends to be similar to sand-like
different, but the Gs values are often also different. This
geomaterials, with reported values being typically 38 to 42°. Red
combination (different PSD and different Gs) presents challenges muds thus exhibit both clay-like and sand-like characteristics,

128
illustrating the dangers of blindly applying empirical correlations
that have been developed over many years for natural soils
(examples being correlations between undrained shear strength
and Atterberg limits). Furthermore, there are strong indications
that many red muds are cemented or aggregated, with in-situ
undrained shear strengths being very high compared to
uncemented, natural clayey soils at equivalent liquidity indices
(Newson et al, 2006). It is also not unusual for red muds to exhibit
high sensitivities (values from 5 to 15 are common), that is, high
ratios of peak to residual undrained strength. Based on chemical
analyses, Newson et al (2006) attribute the cementation to the
action of hydroxysodalite, which is only slightly water soluble but
becomes more soluble in alkaline conditions.
Figure 9 shows results from a CPTu (cone penetration test
with pore pressure measurement) performed at a red mud site in
Australia. Red mud has been deposited for many years at the site,
and until recently was operated solely through cycles of
deposition in relatively thick layers, with minimal time allowed
for desiccation drying. The few spikes of higher tip resistance (e.g.
at about 5.8 to 7m and again at 7.8m are likely periods when some
drying occurred, a practice that is now more common, as
evidenced by the higher strengths in the top 1m or so. What is
particularly important in this result (which is not atypical in red
muds) is the very gradual, if any, increase in tip resistance with
depth. It would be expected that, as for natural soils, the tip
resistance would increase with depth, due to the effect of
overburden. Equilibrium pore pressures at this site were
hydrostatic, so the observed effect (i.e. no increase in tip
resistance with depth) cannot be attributed to excess pore water
pressures. Rather, it is suggested here that this is consistent with
the observation by Nagaraj et al (1998) that the stress-carrying
capacity of bonds in cemented soils does not change during
compressive loading, manifesting as very little, if any, void ratio
change with increases in effective stresses. This is illustrated in
Figure 10, which is a result from two natural, lightly cemented
clays reported by Leroueil and Vaughan (1990) which contrasts
the behaviour in compression of the intact clays compared with
the behaviour when prepared as a slurry to the same void ratio as
the intact samples.
An explanation for the CPTu result shown in Figure 9
therefore is that the void ratio is almost constant with depth, as is
the undrained shear strength. The cone detects this constant shear
strength, but the unknown corollary is what happens when the
cemented bonds are destroyed, as they almost certainly are during
advancement of the cone.
Figure 9. Results from cone penetration test in red mud. Note in particular
the relatively constant tip resistance with depth, e.g., below 15m depth.
129
Figure 10. Illustration of increased yield stress due to bonding; above a
critical value of vertical effective stress, the bonding is destroyed,
resulting in very large decreases in void ratio under small increments of
stress (after Leroueil and Vaughan, 1990).
Bitumen extraction from the oilsands deposits in northern
Alberta utilises a process that combines sodium hydroxide and
heat. The clay fraction of the resulting tailings tends to segregate
from the dominant sand fraction (a function of the bimodal
particle size distribution) and because the bitumen extraction
process causes dispersion of the clay particles, the resulting
deposit experiences extremely slow consolidation rates. As an
example, Jeeravipoolvarn et al (2008) discuss results from a 10m
highly experimental column containing fine oilsands tailings,
where after 20 years consolidation settlements were still
occurring.
In terms of impact on the engineering characteristics of
tailings, the biggest impact of the above-mentioned chemical
processes (that produce residue with chemically altered pore
fluids) is probably most pronounced in the initial rates of
sedimentation and consolidation. This is due to the altered states
of components of the residue, primarily clay minerals, such as the
dispersion that occurs with oilsands tailings and some coal
tailings, where dispersion occurs because inter-particle repulsive
forces dominate. The resulting suspensions are very slow settling,
sometimes even remaining indefinitely as a suspension (a state
termed ‘stable’ in some industries, whereas in a geotechnical
engineering context the term ‘stable’ is of course the exact
opposite). A good example is provided by Blight et al (1995),
where diamond tailings retained such a high suspended solids
content that the water could not be re-used in the processing plant.
If such repulsive interparticle forces are not overcome, the process
of self-weight consolidation is severely inhibited.
In cases where self-weight consolidation, and other processes
that accelerate an increase in density (such as evaporation) do
occur, the effect of pore fluid chemistry begins to diminish. The
shear strength of the residue is governed by factors such as tailings
density, and in particular density relative to the critical density (or
critical state). Having said that, the lingering impact of inhibited
consolidation may result in a material state above the critical state,
so behaviour upon shearing remains impacted by the pore fluid
chemistry.
An effect that is often overlooked in laboratory testing of
tailings is the salinity of the pore fluid. Small salt concentrations
have little to no effect, but at highly elevated salt concentrations
the effects cannot be ignored. Many of the gold mining areas of
Western Australia (WA) utilise hypersaline groundwater for ore
processing. The resulting tailings have extremely high salinity.
Values of total dissolved solids (TDS) of borewater used in some
WA mines exceed 200 g/l. Aside from engineering characteristics,
such high salinity affects even simple characterisations such as
measured water content. This occurs because oven drying causes
salts to precipitate as solids, and the conventional definition of
gravimetric water content w = Mw/Ms, where Mw and Ms are the
masses of water and solids content respectively, incorrectly
includes the salt mass in the value of Ms, whereas it is actually in
solution in the tailings pore fluid. The correct water content (given
by Mundle et al, 2012) is:
= (3)
( )
where f is the density of the pore fluid.
To illustrate the importance of this correction, for a tailings
with hypersaline pore water (a TDS of 210 g/litre), at a particular
void ratio the correct water content would be 79%, whereas the
conventional (incorrectly determined) water content would have
been 67%. The discrepancy flows through to calculations of void
ratio and thus dry density.
3.4.3 Effect of addition of flocculants
As noted in 3.4.2, some tailings may exhibit extremely slow
settling rates, an effect compounded by the dispersion of clay
particles due to the process used to extract the mineral of interest.
Ways to deal with this problem have followed two distinct paths.
The first (and most widely adopted) is to introduce additives to
the tailings water in large thickening tanks, the second being to
introduce (additional) additives at the point of deposition, often
referred to as in-line thickening.
3.4.3.1 In-tank thickening
To overcome the inter-particle repulsive forces that occur in some
dispersed clay-rich tailings in particular, the tailings stream from
the process plant is often first diluted (to solids contents of the
order of 8%) before being fed into the feedwell component of a
tailings thickener. Additives, usually flocculants but with pre-
treatment using coagulants not uncommon, are also introduced
into the feedwell, providing the opportunity for thorough contact
with the dilute tailings, enhancing the subsequent interaction
between tailings and additives.
A comprehensive discussion of tailings clay mineralogy and
treatment options is provided by Vietti and Coghill (2015). For
present purposes it is sufficient to note that the addition of high
molecular weight, synthetic polymeric flocculants (commonly
used products include polyacrylamides and its derivatives) adhere
to clay particles, providing a bridging between and agglomeration
of particles, increasing the size of the resulting aggregate, also
termed a ‘floc’, thus increasing the rate of settlement of the
suspension.
Thickeners for providing more rapid settlement of treated
tailings have evolved rapidly over the past two decades or so, and
a comprehensive discussion is provided by Bedell et al (2015).
These thickeners, sometimes referred to as deep cone thickeners,
or paste thickeners, can be very large diameter, e.g. >50m, and
more than 20m high. The height enables a reasonably substantial
overburden stress to develop within the thickener, generating
some self-weight consolidation of the newly aggregated tailings.
The aggregation process is further enhanced by the provision of
vertical rakes (pickets) that rotate slowly through the settling
slurry, enhancing the drainage and consolidation of the slurry. The
thickened, or high-density tailings, is extracted from the base of
the thickener, this being referred to as the underflow. At this stage
of the process, the tailings have a measurable, but rather low yield
stress, unlike conventional tailings, which usually undergo
minimal thickening and certainly insufficient thickening to impart
any measurable yield stress.
Yield stress is essentially just the undrained shear strength of
a geomaterial, but measurements are in the pascal range rather
than kilopascal range. Indeed, the preferred method of measuring
yield stress has emerged as the vane test, as borrowed from
geotechnical engineering practice (Gawu and Fourie, 2004). Upon
130
deposition of thickened, high-density tailings, the yield stress
enables the resulting profile of deposited tailings, this profile
referred to as the beach, to be steeper than is usually achieved with
conventional tailings, potentially increasing the storage capacity
of a given footprint of a TSF. The higher as-placed density of
thickened tailings compared with conventional tailings further
improves the in-situ density of the resulting TSF.
A drawback with many flocculant-treated tailings is that the
resulting material (the underflow) has a loose, fluffy texture, the
structure of which can be very sensitive to shearing. The
underflow tailings are usually pumped to the TSF, using either
centrifugal or positive displacement pumps, with the transport
distances often being many kilometres. During such transport the
thickened tailings are thus subjected to relatively significant
shearing, potentially resulting in a decrease in the yield stress of
the tailings deposited at the TSF. Given the importance of yield
stress on beach slope development, this alteration of yield stress
is critically important to TSF operators. Houman et al (2007)
sampled and tested tailings from ten points along the distribution
system, from the thickener to the TSF, more than 5km away. Their
results are shown Figure 11, which illustrates the change in the
yield stress due to different shear inducing actions. The greatest
effect is the centrifugal pumping from the thickener to the
distribution sump with an approximate four-fold drop in yield
stress. It should be noted that this large drop was bound to occur
early in the distribution process, when the aggregated structure
was at its most fragile. Of importance is the final yield stress of
the tailings as deposited, which is about 25Pa, compared with the
underflow value of 250Pa.
Figure 11. Measured change in partially sheared yield stress throughout
the tailings distribution system, where SP1 indicates immediately after the
thickener and SP10 at the TSF (from Houman et al, 2007; courtesy
Australian Centre for Geomechanics).
Accounting for the shear-induced drop in yield stress is trivial,
if samples are taken at an appropriate location, e.g. the point of
deposition. During the design phase for a new TSF, the obvious
precaution is to test fully sheared samples of thickened tailings
prior to undertaking geotechnical tests such as settling and
consolidation tests. The effect of partial or no shearing of
flocculated suspensions is more acute in applications of the
second generic technique of tailings thickening, i.e. in-line
flocculation.
3.4.3.2 In-line flocculation
This technique is now known by various names (e.g. secondary
flocculation or polymer treatment); we retain the term in-line
flocculation. In this technique, additional flocculant is introduced
into the tailings stream as it travels through the pipeline, with the
point(s) of flocculant addition being close to the pipeline end,
mainly to minimise shearing of the flocculated material. In-line
flocculation has many challenges, such as differences in the
viscosity of the flocculant and the tailings hindering mixing and
achieving the optimum mixing energy to maximise the
flocculation process but minimise post-flocculation shearing.
Reported applications of in-line flocculation almost invariably
report extremely high flocculant dosages, with values of 250g/t
reported by Wells et al (2015).
The primary reason for using in-line flocculation is rapid
water release and more rapid increase in the shear strength of near-
surface tailings. One of the pioneering applications of in-line
flocculation was to treat the problematic ‘mature fine tailings’, or
MFT that occur within oilsands tailings due to segregation of the
tailings stream upon deposition. Successful reported applications
of the technology are discussed by Wells et al (2015). After an
initial period of enthusiasm for in-line flocculation about ten years
ago, this enthusiasm has waned slightly, as operational challenges
became more apparent, examples being difficulties controlling
beach profile, in addition to the high costs, given the required
flocculant dosage concentrations. Nevertheless, the technology
continues to find some applications, with designers now aware of
potential pitfalls.
Assuming successful implementation of an in-line
flocculation deposition system, interest turns to potential changes
in the geotechnical properties of the resulting tailings, particularly
as the structure (or fabric) of the material is so different from
conventional tailings.
Most researchers who have investigated changes in hydraulic
conductivity report either an increase or no change, for tests
undertaken at the same density for both thickened and
conventional tailings (Jeeravipoolvarn et al, 2009, Beveridge et al,
2015, Znidarcic et al, 2015 and Reid and Fourie, 2017). There are
thus two factors potentially benefitting water management and
recovery with an in-line operation, i.e. the initial rapid water
release on deposition, and the increased rate of self-weight
consolidation provided by the higher hydraulic conductivity.
What is not so clear are potential changes in long-term strength.
The polymers used to date in in-line flocculation applications are,
to the authors knowledge, all biodegradables. Over time, the
fabric induced by the high flocculant dosages used will likely be
retained, as the flocculants degrade. The question is whether this
induced fabric has the potential to be more sensitive (where
sensitivity reflects the change from peak to post-peak strength,
usually measured in terms of undrained shear strength) than
conventional tailings.
To determine possible long-term shear strength of highly
flocculated tailings, it is of course first necessary to determine
whether there are any short-term changes. Reid and Fourie (2017)
clearly show that the critical state line (CSL) for heavily
flocculated material lies significantly above the CSL of
equivalent, untreated material, with the difference in void ratio at
100kPa mean effective stress, p', for example, being
approximately 0.1 (see Figure 12). This difference in void ratio is
significant, particularly when defining the boundary between
potentially contractive and potentially dilative behaviour. For
example, material deposited using in-line flocculation that is at a
p' value of 100kPa and a void ratio of 0.5 would be well below its
corresponding CSL; however, it is also well above the CSL of the
untreated tailings. The question that arises is, if degradation of the
flocculant results in an unaltered fabric and void ratio, is the
tailings then potentially highly collapsible (contractive), a natural
analogy perhaps being the Rissa landslide in Norway in 1978, or
is the process of degradation of flocculant accompanied by a
gradual decrease in void ratio, perhaps moving the state condition
below the CSL of untreated material? This question appears to
remain unresolved.
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Figure 12. Difference between flocculated (PT) and untreated (UT)
material (after Reid and Fourie, 2017).
4 LABORATORY CHARACTERISATION OF TAILINGS
BEHAVIOUR.
4.1 Index tests
As already noted, the specific gravity (SG) of mine tailings varies
widely. When preparing samples for SG testing, precautions may
be necessary, for example tailings containing salts or other
concentrated chemicals. This becomes even more important when
working with process residues, such as bauxite red muds.
Similarly, pre-testing treatment may be required when carrying
out particle size analyses. Some industries have bespoke
techniques that find relatively little application outside of those
specific industries. One example is the testing of oilsands tailings,
where the methylene blue index (MBI) test is used as an indicator
of clay content; this is used principally with the tailings fraction
referred to as mature fine tailings. We limit further discussion on
the topic of industry-specific index tests and rather focus on
geotechnical characterisation.
4.2 Sedimentation, consolidation, desiccation and creep.
Laboratory testing techniques to evaluate volume change behavior
and determine the consolidation parameters to be used in
modeling settlement and void ratio distributions of the disposed
tailings in a TSF continue to evolve. For the design phase of a
project, samples for testing should be obtained from a pilot mill
processing plant which mimics the operational conditions in the
future plant. However, upon starting the mine operation,
additional samples should be collected and tested to confirm that
the consolidation parameters in the design phase were realistic. If
not, the consolidation analyses from the design phase should be
repeated and subsequently used to monitor the performance of the
disposed tailings. It is noted that some tailings exhibit various
levels of particle segregation upon deposition, depending on their
gradation and water content upon deposition. Particle segregation
creates a heterogeneous spatial distribution of the consolidation
properties upon deposition and the laboratory testing program and
subsequent analyses should recognize this. It is noted again that
consolidation parameters of highly compressible tailings are
highly nonlinear, with significant changes in compressibility and
hydraulic conductivity values over the range of stresses to which
the tailings will be subjected, so any analyses using “average”
values of these parameters may often be meaningless. To address
this problem rationally, the sample collection and testing
strategies should include samples of various gradations from the
finest to the coarsest that are collected from the pool and beach
areas of the impoundment. Thus, a range of consolidation
parameters is obtained enabling the settlement and void ratio
distribution analyses to “bracket” the expected behavior in the
impoundment or provide a rational method of assessing the
settlement rates and magnitudes in different parts of the
impoundment.
 The selected samples are then subjected to testing in the
laboratory to get the model parameters necessary for predicting
tailings behavior in the impoundment upon deposition. Depending
on the consistency or water content of the deposited material and
the tailings management strategies adopted, upon deposition the
processes controlling tailings behavior include: sedimentation,
consolidation, desiccation and possibly creep. The goal of the
laboratory testing protocol should be to obtain the relevant
modeling parameters for all these processes. Subsequently we
discuss the testing protocol for each of these processes.
4.2.1 Sedimentation
In typical hard-rock tailings and other low compressibility
tailings, particles tend to settle out along the beach soon after
deposition and thereafter the process of consolidation proceeds.
However, in highly compressible tailings, consolidation is
preceded by sedimentation.
Sedimentation is the process in which the soil particles settle
in water until at the bottom of the settling column they create a
soil layer with developing effective stresses and corresponding
void ratio reduction. Unlike the settling process described by
Stokes’ law, in which the settling velocity of the particles is
proportional to their size, during sedimentation all the particles
settle at the same velocity proportional to the local concentration
of suspension. The process is properly described by the classical
Kynch’s (1952) theory of sedimentation which was later
augmented by work of Pane (Pane 1985, Pane and Schiffman
1997) who analyzed the combined sedimentation-consolidation
process and developed experimental techniques for the
determination of soil sedimentation characteristics.
The theory provides a convenient tool for the analysis of the
sedimentation process. However, from the practical point of view
in tailings disposal problems the sedimentation process does not
usually play a major role and could be neglected in the analysis.
Namely, compared to the consolidation process that takes place
over a period of several years, sedimentation is usually completed
within several days. However, with the evolving interest in the use
of in-pit deposition, recognizing the different approach required
for tailings where sedimentation is important is essential.
Nevertheless, the consolidation analysis will often be the only
analysis needed in the design of highly compressible
impoundments as regards volume changes. It is important to know
at which soil density or void ratio the sedimenting slurry becomes
a soil and the effective stress principle applies. Unfortunately, this
value, which was called the fluid limit by Monte and Krizek
(1976), is not a material constant but depends on the initial water
content of the slurry (Liu, 1990; You, 1993). This void ratio can
be easily determined in a simple experiment in which the slurry is
allowed to sediment in a laboratory beaker and the surface soil is
sampled for the void ratio determination. This void ratio
corresponds to zero effective stress and gives the upper bound to
the void ratio at which the mixture exists as a soil. Figure 13 shows
the results for a laboratory mixture of kaolin clay with water.
Figure 13. Relationship between initial void ratio and void ratio at onset
of development of effective stresses (i.e. zero effective stress void ratio)
for a kaolin clay (data from Liu, 1990).
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The slurry behaves like a soil if the initial void ratio is below
8. For a higher initial void ratio the material will sediment until
the zero effective stress void ratio is reached. The zero effective
stress void ratio for the kaolin clay is between 8 and 20, depending
on the water content at which the slurry was mixed. This is not a
surprising result since the particle interaction at the very low
effective stress will be dependent primarily on the characteristics
of the diffuse double layer attached to the clay surface and the
chemical characteristics of the pore liquid, so appropriate process
water should be used in settling tests. When more free liquid is
available for each particle in more dilute suspensions, the double
layer will be thicker and the clay particles will reach equilibrium
at a larger distance apart. This difference in the initial void ratio
creates different compressibility curves at low effective stresses.
If a more detailed analysis of the sedimentation part of the process
is desired, a more elaborate testing protocol needs to be employed
following a procedure similar to the one described by Pane (1985)
in which he proposes a fluidization test in addition to the
consolidation test to characterize the material behavior from
sedimentation to consolidation. In many practical applications the
detailed sedimentation modeling is not critical and can be ignored
in the analyses if the volume change associated with the transition
from the initial void ratio at which tailings are deposited to the soil
formation void ratio is properly accounted for. This is also valid
for rapid-settling tailings as often very substantial bleed water is
released upon deposition on the beach, and the initial void ratio of
the tailings layer is significantly lower than it was upon
deposition. Although not discussed in detail in this paper, properly
accounting for the sedimentation process becomes extremely
important when sizing deep thickeners for clayey (i.e. highly
compressible) tailings used to produce high density tailings.
4.2.2 Consolidation
Once a tailings layer is formed in an impoundment, some pore
water will be expelled from the material during the consolidation
process. As stated earlier, the process is described by a nonlinear
finite strain consolidation theory (Gibson et al 1967) and the
material parameters must be determined by laboratory testing and
test analyses procedures that are consistent with the theory to be
used for both test interpretation and consolidation modeling. The
consolidation process depends on both compressibility and
permeability characteristics of the soil. Power functions, fitted to
the experimental data, best represent constitutive properties of soft
soils under one-dimensional compression (Somogyi et al 1981).
Compressibility:
e = A ´B (4)
Hydraulic conductivity:
k = C eD (5)
in which e is the void ratio, k is hydraulic conductivity, ´ is the
effective stress and A, B, C and D are material parameters that
need to be determined in laboratory testing.
In addition to these relations the zero effective stress void ratio
must be defined, bringing the number of parameters for
compressibility to three. Liu and Znidarcic (1991) expanded the
compressibility relationship to the form:
e = A( ´+Z)B (6)
so that the zero effective stress void ratio becomes e0 = AZB. There
is general agreement that the void ratio-hydraulic conductivity
relationship for highly compressible materials is well represented
by the stated power function, although several alternative forms
for the compressibility relationship have been proposed over the
years. Any form of these functions is acceptable if they properly
model compressibility and hydraulic conductivity relationships
observed in the experiments.
The objective of the experimental work is to determine the
five parameters A, B, Z, C and D. Conceptually, the simplest
approach to determining these parameters is to take a tailings
sample and load it incrementally with several load increments
covering the stress range of interest and then directly measure
hydraulic conductivity at each load increment. This procedure
results in several void ratio-effective stress and void ratio-
hydraulic conductivity data points to which the analytical
expressions could be fitted and the corresponding parameters
determined. This simple procedure is often referred to as the
Slurry Consolidation Test and many variants of the procedure
have been implemented in various laboratories. There are two
challenges with this procedure. First, the test must provide reliable
data in the low effective stress range because for many slurries the
dominant volume change is observed in the low effective stress
range, (less than 10 kPa) and often even less than 1 kPa. Second,
to measure the hydraulic conductivity, a hydraulic gradient must
be created across the sample, which results in a variable effective
stress distribution, and a corresponding variation in void ratio and
variable hydraulic conductivity within the sample. This is
particularly critical at low effective stresses where the hydraulic
conductivity could easily change by an order of magnitude due to
the imposed seepage forces and self-weight of the material. These Figure 14 Seepage induced consolidation test equipment.
challenges often require imposition of low hydraulic gradients and
long testing times in highly compressible, low permeability
tailings to minimize these undesirable effects.
To address these challenges Imai (1979) suggested that
seepage forces could be used to trigger consolidation of the slurry.
By adding pore water pressure measurement needles in the
sample, he could account for the hydraulic conductivity variation
in the test analysis. The procedure required a specialized
apparatus and a very skilled operator to obtain reliable results.
Following the idea of using seepage forces to trigger consolidation
in slurry samples, Liu (1990), Abu-Hejleh and Znidarcic (1994)
and Abu-Hejleh et al (1996) developed a testing procedure and the
corresponding analysis to determine the consolidation
characteristics of slurries from a two-step test and an inverse
process solution approach to determine all five parameters for the
compressibility and hydraulic conductivity relationships. It
requires an initial permeation of the sample under a relatively high
gradient and a final step load test and direct hydraulic conductivity
measurement at the maximum stress level expected in the field.
The testing procedure significantly shortened the testing time and
the inverse problem analysis procedure determined the
Figure 15 Equipment used for the SICTA procedure.
consolidation parameters using the finite strain consolidation
theory. Thus, the experimental efforts and the data analysis Figure 16 presents the compressibility and hydraulic
method are completely consistent with the numerical models to be
conductivity test results for several tailings samples ranging from
subsequently used to analyze behavior of tailings upon deposition.
fine to coarse materials. Figure 16b presents both the step load test
The schematic of the laboratory equipment for the SICTA
results with the direct measurement of hydraulic conductivity at
procedure is presented in Figure 14. It consists of three major
components: the testing cell containing a slurry sample with a each load increment and the seepage induced consolidation testing
piston and load frame, a flow pump for controlling the imposed and analysis (SICTA) results (Abu-Hejleh and Znidarcic 1994).
flow rates and a differential pressure transducer connected to a Both procedures yield very similar test results, but the advantages
data acquisition system. Figure 15 shows an example of the of the SICTA procedure is evident in the results for fine-grained
system components in a laboratory. tailings. For the step load test results an assumption is made that
the effective stress, void ratio and hydraulic conductivity within
the sample are uniform and the data points represent the average
values for these quantities without any regard for the self-weight
stresses or induced seepage forces within the sample. The seepage
induced consolidation test analysis on the other hand correctly
accounts for the variation of these quantities within the sample
throughout testing. This is best illustrated by the data points in the
compressibility plot for fine tailings at the effective stress of 0.1
kPa. The upper data point represents the average void ratio at
steady state under the applied stress of 0.1 kPa, self-weight of the
sample and a very small seepage force during hydraulic
conductivity measurements under a low flow rate. The lower data
point represents the average void ratio at steady state under the

133
applied stress of 0.1 kPa, self-weight of the sample and a seepage
force due to hydraulic conductivity measurements involving a
flow rate four times higher than the rate used for the upper data
point. The higher flow rate increased the effective stress at the
bottom of the sample to about 4 kPa. The SICTA procedure used
the data at steady state under the higher flow rate and the data at
the maximum effective stress to calculate all five model
parameters A, B, Z, C and D and generate the continuous curves
covering the whole range of effective stresses and void ratios
observed in the test.
Figure 16 Compressibility (a) and hydraulic conductivity (b) relationships
for several tailings samples.
The effect of seepage forces during permeation of the sample
to get the hydraulic conductivity characteristics is significant for
fine grained tailings under low effective stresses (< 1 kPa).
Neglecting these forces in the test analysis could lead to incorrect
representation of the consolidation characteristics of tailings. In
addition, the SICTA procedure requires a much shorter testing
time than the step load test with the direct hydraulic conductivity
measurement at each load increment. Depending on the hydraulic
conductivity of the material, a step load type of test may take
several months to complete while the seepage induced
consolidation test is typically completed with a couple of weeks
for fine grained materials (Abu-Hejleh et al 1996).
4.2.3 Desiccation
When the upward flow of water, due to the consolidation process
is completed, the desiccation process starts. Although we usually
associate desiccation with evaporation, it is important to realize
that the lowering of the groundwater table could cause desiccation
as well. In general, the desiccation process may be defined as the
process in which soil compression takes place under increasing
suction or negative pore water pressure. Thus, any time the pore
water pressure drops below the atmospheric pressure the soil
undergoes desiccation. As suction increases, the soil shrinks but
remains saturated until the air entry value is reached, after which
desaturation begins. This simplifies the analysis significantly.
Experimental shrinkage data, i.e. void ratio versus water content,
are shown in Figure 17. They suggest that soil shrinkage can be
modeled with two stages. The first stage involves normal
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shrinkage where the soil remains saturated from the initial void
ratio to the shrinkage limit void ratio. The second stage involves
zero shrinkage, where the soil does not show any volumetric
change from the shrinkage limit void ratio to the end of the
desiccation process. To account for these two shrinkage stages, an
extension of the nonlinear finite strain consolidation theory as
developed by Gibson et al (1967) was established by Abu-Hejleh
and Znidarcic (1995), Oliveira Filho (1998) and Yao et al (2002).
The overall consolidation and desiccation process of soft soils is
modeled in this theory with consecutive phases which correspond
chronologically to the phases that a soft soil layer undergoes in
the field after deposition. These phases are consolidation under
one-dimensional compression, one-dimensional shrinkage,
propagation of desiccation cracks with tensile stress release, and
three-dimensional shrinkage. Several material functions are
required in the solution process for a given field situation. In
addition to the compressibility and hydraulic conductivity
relations for consolidation analysis, the shrinkage relations under
one- and three-dimensional conditions are needed. Additional
laboratory tests are required to determine these relations, but for
slurries they are often found to be very similar to the
compressibility relations used in the consolidation analysis and
additional tests might not be necessary (Oliveira Filho 1998). If a
detailed analysis of desiccation crack propagation is desired,
parameters for a cracking function must be determined. The
function that relates the void ratio at which the crack will open for
a given depth (total stress) and its parameters can be obtained from
a desiccation test conducted in a geotechnical centrifuge under
increased self-weight stresses. However, given the relative
scarcity of geotechnical centrifuge testing facilities, this step is not
commonly conducted.
Figure 17 Shrinkage data for china clay (after Abu-Hejleh and Znidarcic,
1995).
4.2.4 Creep
In some instances, tailings processing includes treatments that
create flocculated structures with significant viscous deformation
of the flocs. Examples include treated fine-grained oilsands
tailings (often referred to as mature fine tailings, or MFT), and
fine-grained mineral sands tailings (‘slimes’). The nonlinear finite
strain consolidation theory does not properly capture this behavior
and an extended consolidation model that includes creep is needed
(Murphey et al, 2021). It is also possible that some tailings,
especially of high plasticity, exhibit time dependent compression
even without any additional chemical treatment that would create
a flocculated structure. In such cases the laboratory testing must
be expanded to include time dependent compressibility
characterization for modeling purposes. By necessity, such tests
require prolonged testing times, and a proper balance should be
found between test duration and the trustworthiness of the data. In
any case, any observed and documented creep effects in the
laboratory must be extrapolated by the creep model to longer
times to accommodate time scale in the field.
A creep model recently developed for tailings accounts for the
time dependent compressibility by changing the three
compressibility parameters A, B and Z into time dependent
equivalents defined by the following relations (Gjerapic et al
2021):
Equations (7), (8) and (9) allow for the time-dependency of
constitutive properties A, B and Z by introducing additional
(creep) parameters. At time equal to zero, parameters A, B and Z
are defined by their initial values A0, B0 and Z0. Experimental
evidence suggests that there is a limit in the change of parameters
A, B and Z. Therefore, parameters Af, Bf and Zf are introduced to
define the final (limiting values) of parameters A, B and Z at
infinite time. Parameters a1, a2, b1, b2, z1, and z2 are found by
fitting laboratory data to Equations (7), (8), and (9)
A set of laboratory tests on a sample, or multiple samples, of
a slurry are required to collect data for the estimation of these
constitutive parameters. In order to determine all parameters in the
proposed model including A0, B0, Z0, C, D, Af, Bf, Zf, a1, a2, b1, b2,
z1, and z2, a sample must be compressed under several load
increments. The hydraulic conductivity should be measured at
each load increment and the loads should be sustained for a long
enough period to collect sufficient data to model the long-term
compressibility, i.e. creep. From our experience with testing soft
soils, we determined that for routine testing a set of four load
increments is sufficient to properly characterize the
compressibility behavior of these materials. At the low end of the
stress range, a seating load of 0.1 kPa is considered the lowest
value for which reliable data could be collected. The highest stress
of interest should correspond to the highest effective stress
expected in the project. In between these two extreme values, two
additional load increments are desirable to better characterize the
material in the mid-stress range and to provide some data
redundancy. Likewise, measuring the hydraulic conductivity at
each of these loads provides sufficient data to correctly
characterize the void ratio – hydraulic conductivity relationship.
When measuring the hydraulic conductivity the imposed
hydraulic gradient should be as low as practical to minimize the
void ratio variation within the sample during testing. This is
particularly critical at low effective stress range at 0.1 and 1 kPa
load increments. As pointed out above, the SICTA procedure
(Abu-Hejleh et al. 1996) accounts for variations in effective stress
due to seepage. However, this procedure is only applicable for
materials that do not exhibit creep and cannot be applied for this
model without further development to account for creep in the
analysis.
The long duration tests required to capture creep behavior
come with a set of challenges that may compromise the quality of
the data. This includes potential gas generation, bacterial growth
or other long-term changes that might take place in the laboratory.
Thus, in each case a compromise must be found between the
quantity and quality of the data. In ideal circumstances, four
simultaneous tests would be performed, and each test would be
targeted for a prolonged testing time at one load level. This would
135
provide some redundant data as well as creep data collection at all
four load levels. The other extreme would be to test only one
sample and collect creep data at each load level, implying a four-
fold increase in testing time. Assuming that a minimum of three
weeks of creep data collection is desired, the four parallel tests
would require about six weeks of testing time, while for a single
sample, the test would take six months to complete. It is also noted
that any creep model will rely on extrapolation beyond the testing
time in the laboratory up to the times of interest in the field. The
Af, Bf and Zf parameters in the proposed model (Eqs. 7 to 9) should
be considered as parameters to be used in sensitivity analyses
rather than the “true” parameter values at infinite time, as clearly
they can never be truly verified.
In a soil exhibiting creep, the total void ratio change is an
additive decomposition of the void ratio change due to the
effective stress change and the void ratio change due to creep per
se. The continuity condition requires that this total void ratio
change be consistent with the imposed hydraulic gradient and the
hydraulic conductivity of the material. The creep-induced void
ratio change is not associated with changes in the hydraulic
gradient and does not speed up the pore pressure dissipation
process. Creep only causes void ratio changes to be larger, but it
does not significantly affect the void ratio change rate until the
consolidation process ceases. This does not imply that there are
no creep induced void ratio changes during the consolidation
process, as will be demonstrated later. To better elucidate this
peculiarity a thought experiment is helpful. Let us consider a real
soil with infinite hydraulic conductivity. Such a soil would, under
the imposed stress change, such as self-weight or externally
applied load, undergo instantaneous consolidation followed by
creep induced void ratio change directly correlated to elapsed
time. In that case the two separate void ratio changes would be
completely uncoupled and easily distinguishable from each other.
In a real soil however, the void ratio change will progress
gradually whereby the rate of change is controlled by Darcy’s law,
and any creep induced void ratio change will be undistinguishable
from the effective stress induced change. The creep induced void
ratio change will only very slightly affect the initial consolidation
theoretically never ends, the effective stress induced void ratio
changes become negligible on a relatively small laboratory
specimen after a period controlled by the hydraulic conductivity
of the material. In the past, 24 hours or the time required for
dissipation of the measurable excess pore water pressure was
often considered to be long enough to assume the consolidation
process to be completed. However, for slurries, taller samples, and
very low hydraulic conductivity materials that time can be
substantially longer. Nevertheless, at some point the void ratio
change with time can be considered to be caused by creep only
and the experimental data collected after that time can be used to
fit the creep model and determine the model parameters. The time
after which the creep model is fitted to the experimental data
should be determined by performing consolidation analysis for
each load increment to find at what approximate time the
consolidation process is essentially completed. Note, only a rough
estimate of this time is sufficient.
Once the creep model parameters are determined from the
data in the creep observation period, the model is used to
extrapolate the creep void ratio change to infinite time (AF, BF and
ZF) and to zero time (A0, B0 and Z0). While the parameters at
infinite time should be used as variables for parametric studies,
the parameters at zero time have a role of separating the creep
induced void ratio changes from those caused by the effective
stress change during the consolidation process when experimental
separation of the two effects is not possible. It is noted that while
this might appear to be a somewhat undiscriminating process, its
effect on any subsequent consolidation/creep analyses will be
minimal as only the total void ratio change is relevant for realistic
predictions.
 An example of the creep effect and its modeling for a
laboratory prepared bentonite slurry is shown in Figure 18.
Figure 18. Example of creep tests and associated modeling results
(parameters A, B and Z given in equations 7 to 9).
4.3 Shear strength under monotonic loading
Testing of tailings to determine appropriate strength parameters
has evolved rapidly over the past decade or so. Before discussing,
in some detail, the application of the critical state soil mechanics
(CSSM) framework to tailings testing, we discuss other aspects of
monotonically loaded tailings specimens.
4.3.1 Effective stress (drained) strength parameters
Stability evaluations of TSFs were for many years confined to
effective stress slope stability analyses, where key inputs were the
strength parameters c´ (apparent cohesion) and the angle of
internal friction, and the elevation of the phreatic surface.
Effective stresses were evaluated based on the phreatic surface
level. No account was paid to pore water pressures generated due
to shearing, which we later discuss in some detail, which are
crucial when considering the stability of loose, contractive and
particularly brittle tailings.
Unfortunately, it is still not uncommon to see stability
evaluations based solely on effective stress (sometimes termed
drained) considerations, ignoring undrained stability evaluations,
despite the dangers of this approach having been emphasised
many times over. Fortunately, this is changing.
The drained shear strength parameters are almost invariably
derived from results of triaxial compression tests, which may be
drained or undrained. An issue of concern, even with these
relatively simple tests, is the use of multi-stage loading tests,
where a single sample is tested at three values of confining stress,
and only the peak deviator stress is determined. The justification
often made for multi-stage loading tests is limitations on the
number of samples available for testing. However, it must be
recognised that any post-peak strength loss and the strain over
which it occurs is thus lost, rendering the data useless for
implementation in any form of numerical modelling.
4.3.2 Undrained strength parameters
When the intrinsic tendency of volume change is suppressed in a
saturated soil mass, for example due to fast loading due to seismic
disturbances, the soil response is undrained, and therefore, the
volume change tendency is transformed into changes in pore
136
water pressure. Loose soils and tailings will, when sheared
undrained, produce large positive increments in excess pore water
pressure, this often being referred to as shear-induced pore
pressures. More discussion on what constitutes ‘loose’ follows in
the section immediately after this.
Undrained triaxial compression tests on loose samples will
generally mobilise a peak deviator stress well before the effective
stress strength envelope is reached. This is best explained by
reference to a stress path plot, as shown in Figure 19, which plots
mean effective stress p´ against deviator stress q. The sample
shown has been isotropically consolidated to a mean effective
stress p0´ and then loaded in undrained compression. Being loose,
the undrained effective stress path follows the path shown,
reaching a peak deviator stress at a ratio that is much less than
would be achieved in an undrained compression test on a denser
specimen (indicated by the dashed line in the figure). A straight
line through the origin and the peak deviator stress value (with
multiple triaxial tests done at different effective confining stresses
to produce more points, preferably) defines the instability line,
often defined by:
= (10)
Undrained effective stress stability analyses are often carried
out using the vertical effective stress-dependent undrained shear
strength ratio,
Figure 19. Illustration of stress path of an undrained triaxial compression
test on specimen that was initially looser than the critical void ratio.
Many national guidelines for TSF design and analysis now
specifically call for both drained (effective stress) and undrained
stability analyses (ANCOLD, 2012, CDA, 2020), with the same
Factor of Safety (1.5) being required for both conditions. In the
case of ANCOLD it is specifically applicable for TSFs where loss
of containment is possible should a slope instability occur.
The first experimental results showing the exceptional stress-
strain response of a loose sandy soil subjected to an undrained
loading is shown in Figure 20 (Castro 1969). This sample of sandy
soil was first isotropically consolidated under 400 kPa, reaching a
void ratio after consolidation equal to 0.714, which is associated
with a relative density of 37%. Over 14 minutes the sample was
axially loaded by means of small dead-load increments that
yielded a typical stress-strain curve with a peak vertical stress of
around 230 kPa at approximately 1% of axial strain. Thereafter,
the next small load increment triggered a sudden failure of the
specimen and within a fraction of a second (0.18 seconds) it
reached about 20% axial deformation and the strength dropped to
a value of 80 kPa.

Figure 20. Load-controlled CIU (isotropically consolidated, undrained)
triaxial test on loose sand (modified after Castro 1969).
As can be observed, the pore water pressure increases
significantly during the test, reaching a constant value close to
90% of the confining pressure. From this type of test result, the
true liquefaction or flow failure was established, as well as the
concept of critical state that provides the framework to describe
the behaviour of sandy soils and low-plasticity silts. Experimental
results have shown that it is possible to establish an instability line
(Figure 19), which, if reached under an in-situ drained loading
regime (stress-controlled), will trigger a sudden increase in
strains, and generate positive excess pore pressures. Because the
rate of pore pressure generation is greater than the time required
to dissipate these shear-induced pore pressures, the drained
condition is almost instantaneously modified into an undrained
response of the soil, reducing the stresses to the undrained residual
strength.
A distinction has been made between ‘loose’ and ‘dense’
samples. Since these are relative terms, we must clarify what
constitutes loose and dense. Invoking the concept of CSSM
provides a convenient way to make this distinction and to utilise
the resulting differences in behaviour in routine design and
analysis and interpretation of laboratory and field data.
4.3.3 Application of critical state soil mechanics principles
Critical state soil mechanics (CSSM) is commonly adopted as a
framework within which to understand the strength and volume
change characteristics of tailings (Jefferies and Been, 2015,
Robertson et al. 2019, Bedin et al. 2012). The key tenet of CSSM
is that when soils are subjected to large shearing deformations,
they eventually reach their critical state line (CSL) which is
typically defined in a three-dimensional space: void ratio (e),
mean effective stress space (p'), and deviator stress (q). It is
common to model the e-p' projection of the CSL by adopting a
semi-logarithmic linearization:
= log (11)
where 10 is the slope and thus a measure of compressibility, p* is
a reference stress that ensures a dimensionless argument for the
logarithm, and p* is the void ratio when p' = p*. Equation 11 is
often used without explicitly including p*, which effectively
amounts to adopting p* as one unit of stress. The value of p* is
immaterial to the resulting CSL, although stronger correlations
between p* and soil properties emerge when p* takes on p' values
at which the underlying triaxial tests reached critical state (Cho et
al. 2006, Torres-Cruz 2019). As for the base of the logarithm,
besides the base 10 used in Equation 11, it is also common to use
a natural logarithm. Changing the base b of the logarithm
produces a different slope b
137
= log (12)
There is no fundamental physical basis for Equation 11. It is
merely intended to provide an empirical fit to the underlying data
points. Indeed, Equation 11 predicts physically inadmissible
values at very low stresses (e e < 0).
Empirical alternatives to Equation 11 are available to model CSLs
that exhibit curvature in e-log(p') space (e.g. Li and Wang 1998,
Bauer 1996). Naturally, the greater versatility of these alternative
equations comes at the expense of introducing a third fitting
parameter. Choosing between Equation 11 or more elaborate
alternatives largely depends on visual inspection of the data and
the envisaged application of the CSL. Ultimately, it is a matter of
how closely the idealised CSL needs to follow the underlying data
points, and whether the scatter and curvature of such points
warrants adopting a more complex alternative to Equation 11. It
is interesting to note that even when characterising the exact same
tailings, some laboratories adopt Equation 11, while others adopt
more elaborate alternatives, such as a power law alternative (Reid
et al. 2021).
4.3.3.1 The Steady State of Deformation
The terms ‘steady state’ and ‘critical state’ are both used to
describe behaviour of soils at large strains. It is often suggested
that they are one and the same, but in this paper we use the
opportunity to take a short diversion to point out that there are
differences. Whether these differences are of consequence when
characterising the engineering behaviour of tailings was
extensively debated by the co-authors of this paper.
The term “steady state of deformation” was introduced by
Poulos (1971) and it was defined as the state at which a particulate
material deforms continuously under a constant state of effective
stress at constant velocity and at constant void ratio. The steady
state of deformation is achieved only after all particle orientation
has reached a statistically steady-state condition and after all
particle breakage, if any, is complete, so that the shear stress
needed to continue deformation and the velocity of deformation
remains constant (Poulos 1981).
Roscoe and collaborators (Roscoe et al, 1958) introduced the
critical void ratio line to refer to the locus in e-p'-q space
associated with the ultimate state reached by a soil that is sheared
and continues to deform at constant stress and constant void ratio,
as already discussed in this paper.
Later, Schofield and Wroth (1968) coined the term "critical
state soil mechanics", stating that the kernel of this concept is that
soil and other granular materials, if continuously distorted until
they flow as a frictional fluid, will reach a well-defined critical
state that can be represented by two straight lines: one in the q-p´
plane and the other in the e-log p´ plane.
According to these definitions, both conditions (steady state
and critical state) seem to be identical in that both emphasize the
condition of an ultimate state at large strains of continuous
deformation at constant void ratio and constant stresses. However,
the definition given by Poulos (1981) for the steady state has more
conditions to be satisfied, being:
- Constant velocity
- Particle orientation to reach a specific fabric
- All particle breakage, if any, is completed
According to these definitions, the critical state would be a
state that does not include the rate of deformation and orientation
of particles, which are important factors that affect the mechanical
behavior of clayey materials. It is worth mentioning that because
the critical state concept was applied successfully to develop the
well-known Cam-Clay model, its applicability for clayey soils is
often considered completely valid, regardless of the effects of
deformation rate and particle re-orientation. This situation needs
some clarification, which likely is associated with the complex
behavior of clayey materials, part of which is summarized below.
The Japanese Kawasaki clay (Gs = 2.69, LL = 55.3, PI = 29.4,
FC = 83.9%) has been tested at different rates of deformation
(Nakase and Kamei, 1986). Figure 21 shows the results of a series
of undrained triaxial tests started from a K0-consolidated
condition (zero lateral strain) and loaded in either compression or
extension. Three different rates of deformations were applied
during loading: 7x10-1, 7x10-2 and 7x10-3 %/minute.
Figure 21. Undrained response of Kawasaki clay at different rates of
deformation (after Nakase and Kamei, 1986).
These results clearly show that the rate of deformation has an
important effect on the stress-strain curves and on the undrained
strength; the higher the rate of deformation the higher the
undrained strength. However, the angle of friction mobilized at
the ultimate state or the critical state is not influenced by the rate
of deformation. This means that the critical state line in the q-p´
plane is unaffected by the rate of deformation, but the critical state
line in the e-log p´ plane is definitely influenced by the rate of
deformation. For clayey soils, the systematic dependence of the
undrained strength on the rate of strain has been reported by
different researchers (e.g. Bjerrum 1969; Sheahan et al, 1996;
Díaz-Rodríguez et al, 2009; Chow et al, 2012).
On the other hand, particle orientation in platy particles of
clays has been identified as the cause of the development of a
“residual strength” that is reached at significantly large
deformations and under very low rates of deformation (Bishop et
al, 1971; Lupini et al, 1981; Skempton, 1985). As an example, in
Figure 22 the stress ratio-displacement curve obtained from a ring
shear test is presented where, after about 30 days of shearing, a
residual strength associated with a friction angle, r = 8.6o , was
mobilized in Kalabagh clay.
Figure 22. Development of residual strength in Kalabagh clay.
Republished with permission of ICE Publishing, from Skempton (1985);
permission conveyed through Copyright Clearance Center, Inc.
138
Additionally, an example presented by Schofield and Wroth
(1968) is reproduced in Figure 23, where it is clear that the
residual strength developed by clayey soils with platy particles
differs from the strength established at the critical state.
Figure 23. Critical state strength and residual strength. Republished with
permission of ICE Publishing, from Skempton (1964); permission
conveyed through Copyright Clearance Center, Inc.
Regarding the requirement associated with the completion of
the particle breakage, if it exists, we deem it to not be relevant in
the case of fine-grained materials.
According to the above discussion of the behavior of clayey
materials, it is possible to assert that the critical state is applied to
these soils without actually accomplishing steady state behavior.
Therefore, the critical state is a less rigorous framework, but is
sufficiently satisfactory even for practical applications in fine-
grained materials.
Conceptually, the steady state definition is a better
representation of the fundamental behavior of soils. However, if
applied rigorously, a non-unique (rate dependent) steady state will
be obtained in the case of fine-grained soils, although in the case
of sandy soils its application is more direct, because rate effect
and re-orientation of platy particles are not particularly relevant to
these soils. Particle breakage may occur in sandy soils, and if it
occurs this effect is reflected in the resulting steady state line.
Therefore, it may be concluded that the critical state only has
two requirements: the ultimate state of a soil can be represented
by one straight line in the q-p´ plane and another in the e-log p´
plane. This simplicity is probably the key to the practical
applicability of the CSSM, even in fine-grained soils.
In the case of tailings, the applicability of either of these
frameworks depends on whether behavior is closer to a fine-
grained soil or to a granular soil. Considering that the most
catastrophic failures that have affected tailings dams are
associated with liquefaction, the tailings that behave as sandy
materials are those that are of greatest interest in terms of their
mechanical response when assessing physical stability of tailings
deposits.
A comprehensive study showing the robust framework
provided by the steady state of deformation was reported by
Ishihara (1993) using the Japanese standard Toyoura sand. In
Figure 24 a series of CIU triaxial test results are presented in terms
of stress-strain and effective stress-path curves for samples of
different void ratios consolidated at the same isotropic pressure of
1 MPa. The tremendous effect of the density is apparent in the
mobilized undrained residual shear strength, which in this case
varies from zero to 2 MPa, associated with soil responses from
contractive to dilative.

Figure 24. CIU triaxial test results at a confining pressure of 1 MPa and
different void ratios (after Verdugo, 1992).
Another series of CIU triaxial test results are presented in
Figure 25, where the samples were tested with the same void ratio,
e = 0.833, (after consolidation) and at consolidation pressures of
0.1, 1, 2 and 3 MPa. These experimental results show that for a
given void ratio, the undrained strength mobilized at large strains
is unique regardless of the initial confining pressure. Additionally,
the effective stress-paths vary from dilative to contractive
depending on the initial confining pressure with respect to the
ultimate state, or steady state of deformation.
plotting the experimental data with a logarithmic horizontal axis.
For instance, Ishihara (1993) reports the e-p' projection of the SSL
(essentially the same as the CSL, as discussed previously) of
Toyoura Sand for p' values that exceed 3 MPa (Figure 26). When
p' is plotted on an arithmetic scale, the SSL is almost linear with
a slightly concave up shape. There is certainly no evidence of an
inflection point. Conversely, if p' is plotted on a logarithmic scale,
the data in Figure 26 plot as a distinctly curved SSL. In this case
at least (and likely in many more), the SSL (or CSL) curvature is
not necessarily related to particle breakage. This assertion is
backed up by results of a numerical study using the Discrete
Element Method (DEM) reported by Nguyen et al (2018). They
simulated drained and undrained triaxial compression tests to
determine the CSL of a collection of varying sized ellipsoid
particles. The resulting particle size distribution of the particles
had a d50 = 1mm and a coefficient of curvature of 1.5, producing
a simulated material not unlike a uniformly sized tailings material
(aside from the particle shape). The key aspect of this work is that
particle breakage was not allowed. Nevertheless, the distinctly
curved CSL shown in Figure 27 was produced; another indicator
that curvature of the CSL may have nothing to do with particle
breakage.

Figure 25. CIU triaxial test results at different confining pressure and same
Figure 26. Steady state projections of Toyoura sand (after Verdugo, 1992).
void ratio after consolidation. Republished with permission of ICE
Publishing, from Ishihara (1993); permission conveyed through Copyright
Clearance Center, Inc.

4.3.3.2 Implications of a curved CSL

Although it is often reasonable to use the semi-logarithmic
representation of the CSL (equation 11), accounting for curvature
of the CSL, when it clearly occurs, does have important
implications. As hypothesised by Robertson (2017), tailings
exhibiting a curved CSL are less brittle at higher effective stresses
than at low stresses. When sheared undrained, an element of loose
tailings at a high mean effective stress, p´, will decrease to a lower,
but still substantial value of p´, whereas a loose element at an
initially low value of p´ reduces to a very small, perhaps even zero
value, i.e. true liquefaction.
Curvature of the CSL has often been attributed to particle
breakage (Bedin et al, 2012 and Schnaid et al, 2013, among
others). Valenzuela (2015) suggests that at pressures (presumably
vertical stresses) greater than 1MPa, breakage of the more angular Figure 27. Curved CSL derived from triaxial simulations (using DEM) of
a collection of ellipsoidal particles (after Nguyen et al, 2018).
edges of tailings particles occurs. However, the curvature of the
CSL may, in many cases, be nothing more than an artefact of

139
4.3.3.3 The q-p' projection of the CSL.
Selection of an equation to model the q-p' projection of the CSL
is straightforward because unequivocally the data define a
proportional trend:
= (13)
where the slope M is termed the critical state friction ratio. As M
depends on particle shape (Cho et al. 2006, Sadrekarimi and Olson
2011), it is conceivable that the CSL may deviate from the simple
linear trend proposed by Equation 13 when the stresses are high
enough to induce particle breakage. However, we are not aware
of any practical cases in which this has been observed.
M depends on the magnitude of the intermediate stress
relative to the other two principal stresses. Typically, the triaxial
2 3) condition is taken as a reference and the
resulting slope denoted Mtc. This reference condition can then be
scaled to other stress conditions (Jefferies and Been 2015).
4.3.3.4 Sample selection
CSLs depend on intrinsic particle characteristics such as
mineralogy, particle shape, and particle size distribution.
Specifically, the e-p' projection is sensitive to variations in any of
these characteristics while the q-p' projection is only sensitive to
variations in mineralogy and particle shape (Sadrekarimi and
Olson 2011, Li et al. 2015, Torres-Cruz 2019). Investigations into
the variability of CSLs within a single tailings deposit generally
show that the different gradations exhibit different e-p'
projections, but essentially the same q-p' projection (Fourie and
Papageorgiou 2001, Carrera et al. 2011, Li and Coop 2019,
Torres-Cruz and Santamarina 2020). The positive practical
implication of this is that any potential variations in mineralogy
and particle shape within the deposit are sufficiently constrained
to prevent a significant effect on the q-p' projection of the CSL.
This seems reasonable in TSFs that receive tailings from a single
plant or at least from a single ore body. On the negative side, there
is the implication that thoroughly characterising the e-p'
projections of the CSLs of any given tailings dam requires testing
multiple gradations. This immediately leads to the question: what
is a robust approach to select the samples whose CSLs will be
experimentally determined? This requires careful consideration
because CSL determination is a fairly resource intensive
enterprise, with each point of the CSL requiring one triaxial test
with careful void ratio measurements (Been et al. 1991, Verdugo
and Ishihara 1996, Reid et al, 2021). The investigations into recent
tailings dam failures suggest that, for practical purposes, CSLs are
defined with anywhere between 4 and 8 points (Morgenstern et al.
2016, Jefferies et al. 2019, Robertson et al. 2019). Occasionally,
even more tests may be required to achieve a well-defined CSL.
Clearly, samples must be chosen carefully before committing to
such comprehensive testing.
Ideally, the gradations selected for CSL testing should enable
assessment of the variability of CSLs within the tailings deposit.
As the focus is on the variability of the e-p' projection, and
assuming Equation 11 is valid, the selected gradations should
disclose the variability of p* and 10 within the tailings deposit.
A common approach is to select samples that span the
predominant range of gradations in the deposit, from the finest to
the coarsest material (Jefferies and Been 2016, Jefferies et al.
2019, Robertson et al. 2019). In plastic tailings, this approach
seems reasonable because the finer material will typically be more
10
(Schofield and Wroth 1968). However, the silt content of non-
plastic soils does not have a systema
exhibit a monotonic correlation with p* (Thevanayagam et al.,
2002). Accordingly, testing only the coarsest and finest gradation
of a tailings deposit may lead to a systematic under estimation of
140
CSL variability. Admittedly, such under estimation is unlikely to
be significant if at least one intermediate gradation is also tested.
In contrast to adopting particle size distribution to guide the
sample selection process, the analysis of a database of over 150
soils suggests that, regardless of silt content, the minimum void
ratio (emin) is a suitable index property to assess the variability of
CSLs in non-plastic soil deposits including tailings (Torres-Cruz
2019, Torres-Cruz and Santamarina 2020). Namely, emin
correlates linearly to p* and to the upper bound of 10. The
determination of emin in tailings may seem an unusual proposition
because standardised emin protocols are generally designed for
sands, as opposed to the often silt-dominated gradations of
tailings. However, there are numerous precedents in the technical
literature that support the reliability of emin determinations in silts
(e.g. Zlatovic and Ishihara 1995, Cubrinovski and Ishihara 2002,
Thevanayagam et al. 2002, Papadopoulou and Tika 2008, Yang et
al. 2006, Carrera et al. 2011, Torres-Cruz and Santamarina 2020).
4.3.3.4 CSL Experimental procedures.
Considerable effort has been devoted to refine the procedures used
to measure the CSL. The following are some of the most salient
aspects of the available guidance.
a. In principle, both dilatant and contractive specimens
approach the same critical state line (Been et al. 1991,
Verdugo and Ishihara 1996). However, dilatant specimens
are prone to strain localisations that imply the routinely
measured global void ratio of the specimen may not be
representative of the localised zone of the specimen that
reached critical state (Desrues et al. 1996). Accordingly,
CSL determinations should rely on contractive specimens
(Been and Olivera 2015).
b. The large shear strains required to reach the critical state
destroys the effect of the initial fabric of the specimen (Been
et al. 1991, Verdugo and Ishihara 1996). Indeed, numerical
simulations indicate that, for a constant intermediate
principal stress ratio, soils reach a constant fabric at critical
state (Zhao and Guo 2013). Consequently, the CSL is
considered independent of the initial fabric (i.e. preparation
method and consolidation stress path) of the specimen. The
preferred preparation method becomes the one that provides
greatest control over the initial void ratio, as opposed to the
one that best mimics the in-situ depositional environment.
The moist tamping method has proven very effective for this
purpose (Been and Olivera 2016). It is worth noting, though,
that the thin layering that often occurs during hydraulic
deposition may lead to differences between the CSLs of
undisturbed and moist-tamped specimens (Verdugo, 2009,
Reid and Fanni, 2022). We also note that although the
undercompaction method (Ladd 1978) is often used to
promote greater density uniformity across the specimen, the
method does not appear to have a systematic effect on the
resulting CSL (Reid et al. 2021).
c. Both drained and undrained specimens are useful in CSL
determinations (Been et al. 1991, Verdugo and Ishihara
1996, Been and Olivera 2016). In general, the low stress
portion of the CSL can be more easily determined with
undrained specimens, while the CSL at higher stresses can
be readily determined using drained tests. Once M is known
from initial tests, drained tests have the advantage of
allowing estimates of the initial consolidation stress p'i
required to reach a target p' value at critical state. Indeed,
for a specimen that is initially consolidated anisotropically
to a stress state (p'i, qi), tested along a straight effective
stress path with a slope sl, and which aims at having a mean
effective stress p'cs at critical state; the required value of p'i
is given by:
 + g. The large strains required to reach a critical state (i.e.
= (14) constant e, p', and q) imply that triaxial tests often do not
reach true critical state conditions, or perhaps steady state
conditions, as discussed in section 4.3.3.1 (Verdugo and
For the common case of isotropic consolidation (qi = 0) and Ishihara 1996, Murthy et al. 2007). Accordingly, assessment
shearing under constant cell pressure (sl = 3), equation 14 of critical state conditions may be slightly improved by
becomes: extrapolating triaxial test results to conditions of zero
volume change or zero pore water pressure change, for
drained and undrained tests, respectively (Carrera et al.
(3 ) 2011). While the extrapolations are logically sound, there
= (15)
3 appear to be no systematic investigations into the change of
CSL parameters that result from performing these
extrapolations.
Equations 14 and 15 are particularly useful when running
tests that aim at populating specific portions of the p' 4.3.3.5 Reproducibility of CSL measurements
domain of the CSL. As the engineering of tailings dams becomes increasingly reliant
d. Reliable void ratio measurements are essential for CSL on critical state soil mechanics concepts, it becomes critically
determination. Given the difficulties in measuring the void important to assess the reliability with which the CSL can be
ratio changes that occur during specimen saturation, the measured. For the practicing engineer, the question becomes one
recommended approach is to determine the void ratio by of assessing the level of agreement that can be expected amongst
measuring the water content at the end of the test. This can the CSLs determined by different laboratories. That is, the
be accomplished by freezing the specimen at the end of the reproducibility of CSL determinations. The issue of CSL
test (Sladen and Hanford 1987, Been et al. 1991), or by reproducibility was recently investigated by means of a round
increasing the cell pressure at the end of the test to squeeze robin testing scheme in which 15 soil laboratories, both
out as much water as possible, thus making the specimen commercial and academic, from around the world tested the same
easier to handle upon disassembly of the triaxial cell tailings (Reid et al. 2021). The laboratories were instructed to
(Verdugo and Ishihara 1996). determine the CSL of a sample of sandy silt gold tailings using
e. The use of enlarged and lubricated end platens has been between 4 and 7 triaxial tests and focusing on the p' stress range
recommended to promote constant radial strains along the between 50 and 800 kPa. No additional instructions on how to
height of sand specimens (Been and Olivera 2015). measure the CSL were given to the laboratories. As such, the
round robin programme provided unique insights into how the
However, these modified platens are not entirely effective
variability in CSL testing protocols affect reproducibility. Herein
(Rees 2010) and we are not aware of any investigation
we merely comment on the differences in reproducibility of the e-
showing that they influence the resulting CSL. Quite the
p' and q-p' projections.
opposite, an investigation into CSL reproducibility showed
that enlarged and lubricated end platens do not significantly
affect the CSL (Reid et al. 2021).
f. Detailed descriptions of CSL experimental procedures
generally do not address the connection between the loading
ram and the top cap (Been et al. 1991, Verdugo and Ishihara
1996, Been and Olivera 2015). However, a recent study has
specifically recommended the adoption of an embedded
connection between the top cap and loading ram as
illustrated in Figure 28 (da Fonseca et al. 2021). The
rationale for recommending this type of connection is that it
eliminates tilting of the top cap and misalignment between
the loading ram and the specimen. This type of connection
is different from the more widely adopted connection in
which the top cap is allowed to rotate (Reid et al. 2021).
Importantly, the embedded connection appears to yield
slightly, but consistently, higher values than those yielded
by rotating connections (da Fonseca et al. 2021, Reid et al.
2021). This issue thus appears to be worthy of further
investigation.

Figure 28. Loading ram embedded into top platen: a) Sketch and b)
Figure 29. e-p' data points from a CSL testing round robin exercise. a) All
photograph. Source: da Fonseca et al. (2021).
13 laboratories with available data and b) 11 screened laboratories. Data
source: Reid et al. (2021).

141
 Figure 29 shows the critical state e-p' data points measured by
the 13 laboratories whose detailed results were included in the
supplementary files of Reid et al. (2021). As might be expected,
the scatter of the dataset as a whole is significantly larger than the
scatter of the data of any individual laboratory. Indeed, most of
the data points fall within a band that has a height of = 0.1.
Reid et al. (2021) noted that three of the laboratories adopted
procedures that are known to significantly compromise the quality
of CSL determinations, and one laboratory generated a clearly
outlying dataset. On this basis, Reid et al. (2021) excluded the data
from these four laboratories from further analysis and focused on
the 11 datasets shown in Figure 29b. The screening reduced the
scatter in the data, with most data points now falling within a band
that has a height of = 0.07. However, the data suggests that
there is still room for improvement, as single laboratories are
generally able to measure CSLs with a scatter of less than =
0.02. See for example the data from UWA, BGC, Golder Perth,
KCB, UPorto, and Golder Vancouver in Figure 29. Another
important lesson to be taken from this data is the need for
consultants to query the experimental procedures used by
CSLs, the effect of the scatter can be formalised by computing the
standard error of p* and of 10 which provide a statistical
assessment of the precision of p* and of 10 (Torres-Cruz and
Santamarina 2020, Reid et al. 2021). Since the data points are
centred around p' = 100 kPa, we adopt p* = 100 kPa, and therefore
we work with 100. As shown in Figure 31, the two data points of
the Fugro dataset with the largest values of p' are excluded from
the regression as they may suggest a curvature that cannot be
captured with Equation 11. The resulting standard errors of 100
(SE- 100) and of 10 (SE- 10) are shown in Figure 31. As expected
from the scatter, the values of SE- 100 and of SE- 10 of the BGC
dataset are lower than the corresponding values of the Fugro
dataset. That is, the BGC dataset enables more precise estimates
of 100 and 10.
0.8
BGC:
100 = 0.63, SE- 100 = 0.002

laboratories since deviation from good practice can result, as 0.7 10 = 0.082, SE- 10 = 0.004

detected by Reid et al. (2021), in spurious CSLs.

Figure 30 shows all the available critical state points in q-p'
space. Even without excluding data from any of the laboratories,
there is much better convergence in q-p' space than in e-p' space 0.6

Void ratio e
(compare Figures 29a and 30). Since there are no void ratio Fugro:
calculations involved in the q-p' projection of the CSL, it appears 100 = 0.60, SE- 100 = 0.008
that the lower reproducibility of the e-p' CSL projection is due to 10 = 0.044, SE- 10 = 0.012
0.5
difficulties in reliably measuring the relevant volumes, and the
associated changes, of the specimens.
Excluded from
0.4 regression
3000 BGC
UWA BGC
UC Lab A Fugro All
Golder Perth KCB 0.3
2500
UPorto UofT 1 10 100 1000 10000
PUC UC Berkeley
Fugro Golder Vanc. Mean effective stress p' [kPa]
Deviator stress q [kPa]

2000 UTFSM
1500
1000
500
0
0 500 1000 1500
Mean effective stress p' [kPa]
Figure 30. All available q-p' data points from a CSL testing round robin
exercise. Data source: Reid et al. (2021).
4.3.3.6 Confidence in estimated CSL parameters.
An issue that is often overlooked in the determination of CSL
parameters is the confidence with which they can be estimated
considering the scatter of the underlying points. This is
particularly relevant to the e-p' projection of the CSL since this is
the projection prone to greater scatter (compare Figures 29a and
30). To illustrate this point, consider two of the datasets from the
CSL round robin programme mentioned above (Reid et al. 2021):
BGC and Fugro. Figure 31 shows the critical state data points of
these two datasets in e-p' space. Less scatter is apparent in the
BGC dataset, suggesting that these data points lead to a more
precise definition of the CSL. Adopting Equation 11 to model the
Figure 31. CSL data points that exhibit different degrees of scatter. Data
source: Reid et al. (2021).
Comparisons between SE- 100 and SE- 10 require
normalisation of the values. A possible normalisation is to divide
SE- 100 and SE- 10 100 10,
respectively, that can be observed in soils in general. This yields
the normalised values NSE- 100 and NSE- 10 (Torres-Cruz and
Santamarina 2020). In the absence of a database that covers the
full spectrum of soil types, we rely herein on a CSL database of
160 non-plastic soils (Torres-Cruz 2019, Torres-Cruz and
Santamarina 2020). This database suggests that, for non-plastic
100 10 varies from
2000
virtually 0 to 0.3 (range of 0.3). Previous analyses had put the
100 at 0.2 (Torres-Cruz and Santamarina 2020,
100
numerical models, not in actual soils. So the slightly revised lower
bound of 0.3 is adopted herein.
The NSE- 100 and NSE- 10 of the BGC and Fugro datasets are
plotted in Figure 32 along with the values that correspond to 91
CSLs analysed by Torres-Cruz and Santamarina (2020). The data
show that the NSE- 10 is always larger than NSE- 100. That is, the
100 estimates is better than the relative
10 estimates. Indeed, most of the data points indicate
that NSE- 10 is between three to twelve times NSE- 100.

142
Figure 32 100 10. Data
sources: Torres-Cruz and Santamarina (2020) and Reid et al. (2021).
Figure 32 provides a useful benchmark against which to
assess the effect of scatter on the fitting parameters of Equation
11 100 10. In Figure 32, the closer to the lower left corner a
100 10.
However, it is important to keep in mind that precision and
accuracy do not always go hand in hand. That is, low scatter in the
e-p' points does not necessarily mean that the CSL has been
measured correctly. This point was also illustrated in the Reid et
al. (2021) round robin exercise in which several CSL entries were
correctly disregarded due to lack of adherence to proper testing
protocols, regardless of scatter. Clearly, accuracy should take
precedence over precision. As the advice of the statisticians goes:
it is better to be approximately right, than exactly wrong.
4.3.4. Residual strength of tailings.
As already mentioned, there is a growing call to evaluate the
stability of existing TSFs on the basis of residual (large strain)
strengths, when potentially liquefiable tailings exist in the zone of
the TSF that may be incorporated in a potential failure. If
liquefiable tailings only exist in the centre of a TSF, distant from
the retaining perimeter embankment(s), then this issue is
irrelevant. What is of concern is the presence of potentially
liquefiable tailings near the perimeter. The emerging approach is
thus, ‘if the tailings can liquefy, assume they will’. For example,
some time ago, Silvis and de Groot (1995) suggested that
triggering should always be assumed if the soils (tailings) are
susceptible to strength loss, and Morgenstern (2018) strongly
counselled along similar lines, suggesting, “that liquefiable
deposits that can liquefy be assumed to do so and that containment
be provided by a buttress of non-liquefiable unsaturated tailings
and/or compacted dilatant material”.
Emphasis is moving away from trying to engineer out all
plausible mechanisms that may trigger liquefaction and rather to
assume that some unknown (even potentially unknowable trigger)
will occur at some time. In many cases this might simply be the
MDE (maximum design earthquake) or even lower magnitude
earthquakes. However, the cost implications of such an approach
can be significant, with the authors aware of many recently
completed and currently under construction buttresses that cost in
the order of tens-of-millions of USA dollars. Furthermore, as
demonstrated so well by Sarantonis et al (2020), the importance
of the assumed post-liquefaction strength ratio on the resulting
buttress cost is very significant. They provide a summary of their
analyses of a hypothetical TSF, buttressed using rockfill, and plot
the cost (in millions of dollars) per 100m length of buttress against
the assumed liquefied (residual) strength ratio (Figure 33). As
noted by Sarantonis et al (2020), as the residual strength ratio is
varied between 0.05 and 0.2 (a plausible range), there is a three-
fold increase in cost. Clearly, accurate and reliable determination
of residual strength of tailings is a key challenge to the industry.
143
Figure 33. Illustration of the effect of assumed residual strength ratio on
the resulting cost of a stabilising buttress (after Sarantonis et al, 2020).
There are two generic approaches to determining the residual
shear strength of a material. One is the use of empirical
correlations based on back-analyses of documented failures, and
the other is direct measurements using either in-situ tests or
laboratory tests (sometimes both). There are strong advocates of
both generic approaches, e.g. advocates of the former insist that
void ratio localisation in most laboratory element tests render
interpretation of such results potentially misleading (Weber,
2015). Laboratory testing advocates point to the enormous
uncertainties in mobilised shear strength in a failing mass, e.g. due
to varying rates of shearing, together with many of these analyses
not accounting for effects of momentum when evaluating the
shear strength that is required to produce the observed failed
geometry. Additionally, Robertson (2010) pointed out that many
failure case histories involved retrogressive sliding, the
Merriespruit TSF failure in South Africa in 1994 being a good
example (Fourie et al., 2001), which is rarely accounted for in the
backanalyses. Evaluation of the liquefied shear strength based on
such examples is thus questionable. From results presented by
Been and Jefferies (2006), estimating residual strength ratios
based on backanalyses of failures provides a (sometimes very
significantly) conservative estimate when compared with
predictions using laboratory test data and a critical state
constitutive model. Since the work of Been and Jefferies (2006)
there have been further attempts to reconcile backanalysed
strengths with laboratory test data, but a unified approach appears
to remain elusive. Perhaps the complexity of the stress-strain
behaviour of very brittle, loose soils and tailings and the attendant
implications of realistically analysing CPTu data, as discussed
later, will make such a rapprochement impossible, at least in the
short to medium term.
Laboratory data, primarily from triaxial compression tests and
direct simple shear (DSS) tests are currently widely used in
practice for residual strength assessments. Some examples, drawn
from experience with copper tailings in Chile are provided here to
illustrate the range of factors to consider when testing.
Figure 34 presents values of the residual undrained strength
as a function of the void ratio for copper tailings, considering
different fines contents (where ‘fines’ refer to particles finer than
highlight the effect of particle size
distribution on mechanical response.

Figure 34. Residual undrained strength of Chilean copper tailings.
These results are particularly relevant in applications that use
cyclones to reduce the fines content in the sandy tailings, as used
in the construction of tailings sand dams, which is a widely
practiced in Chile and Peru.
Although widely used in practice, the strain limitations of
typical triaxial and direct simple shear devices are such that it is
not always possible to reach steady state (or indeed critical state)
conditions in these tests. There is also emerging evidence that
boundary conditions, particularly in the DSS may be such that
post-peak behaviour measured in these devices is not
representative. Although a ring shear device, particularly such as
described by Suits et al (2009), holds promise in determining
residual strengths at very large strains, the authors were not aware
of any measured undrained residual (or large strain) shear
strengths of tailings using such equipment. This we regard as an
important research need.
4.3.5 Simple shear testing
Considering that a significant portion (often the majority) of
potential failure surfaces may be sheared under conditions much
closer to simple shear, there is an overreliance on triaxial
compression testing. Ladd (1991) showed how soil tested under
different loading conditions (e.g. triaxial compression, triaxial
extension and simple shear) resulted in different values of
undrained strength ratio. He presented results as a function of
plasticity index (PI) and showed the divergence increased as PI
decreased. In other words, the difference will be greatest for
non-plastic tailings, typically silty and sandy tailings, exactly the
type of material particularly prone to brittle behaviour if loose of
critical.
An alternative to triaxial compression tests, particularly to
characterise undrained strengths along horizontal or near-
horizontal sections of a potential failure surface was suggested as
being simple shear (SS) testing. In a true SS device, the sample is
sheared under conditions of pure shear, with no complementary
shear stresses on any of the boundaries. The Cambridge SS device
as described by Roscoe (1953) comes close to imposing true
simple shear loading conditions. However, practicality has
resulted in other SS devices being developed, with pioneering
work completed at both the Norwegian Geotechnical Institute
(NGI) and Swedish Geotechnical Institute (SGI). In these devices,
a cylindrical specimen is confined in the horizontal direction by
either a reinforced rubber membrane or a stack of thin, teflon
rings. The intention is to provide restraint while assembling a
specimen, but minimise confinement during application of shear.
These devices, and various modified versions, are commonly
referred to as direct simple shear (DSS) devices, a term that is used
in this paper.
In a DSS test the known stresses are the (imposed) vertical
stress and the shear stress developed on a horizontal plane during
the shearing process. The shear strength along a horizontal plane
through the specimen is thus determined (i.e. the undrained shear
strength) and the vertical total stress is known. An important
assumption, which has been verified by several researchers, but
144
particularly by Dyvik et al (1987), is that changes in vertical stress
required to ensure constant volume conditions (i.e. no change in
height) are equal to the measured pore water pressure in truly
undrained simple shear tests. This means that tests in the DSS can
even be carried out on dry specimens and if constant volume
conditions are maintained (by adjusting the vertical total stress as
shearing progresses) the pore pressures that would be developed
during undrained tests can be determined.
The DSS device does, however, have drawbacks. In
particular, effective stress strength parameters cannot be correctly
determined as the principal stresses are unknown (and
unknowable explicitly). In fact, principal stresses rotate during
shearing, with the extent of rotation a function of the friction angle
(Budhu, 1984). Atkinson et al (1991) showed that the friction
angle obtained in a DSS is smaller than that obtained from a
triaxial test, results confirmed by Dounias and Potts (1993).
Despite these limitations the DSS test has, for many years
been widely used in Scandinavia in the design of TSFs, with the
view apparently being that it provides a conservative estimate of
shear strength (Knutson, 2018). However, this extra degree of
‘safety’ cannot be quantified, and use of the triaxial test for
determining effective stress strength parameters for TSF design is
now becoming more widespread in Sweden, particularly after the
comprehensive work of Bhanbro et al (2017) on sandy tailings,
which clearly showed the extent of these differences.
Notwithstanding its limitations, the DSS remains a tool
worthy of consideration particularly for determining undrained
strength ratios for the horizontal and near-horizontal sections of
potential failure planes in slope stability analyses. It is worth
noting that DSS tests have been extensively used in many of the
recent forensic evaluations of TSF failures (Morgenstern et al,
2016, Jefferies et al, 2019).
4.3.5 Loading conditions other than triaxial compression and
simple shear
Although not common in tailings engineering, other loading
conditions that have been used include triaxial extension, plane
strain and hollow cylinder torsional shear tests.
Triaxial extension tests provide strength data that are
considered relevant to a relatively small length of a typical failure
plane in a TSF slope stability analysis, typically the downstream
tail of potential failure surface, see Sadrekarimi (2016). As shown
by Ladd (1991), the undrained shear strength ratio in triaxial
extension is lower than both triaxial compression (TC) and SS,
but difficulties in carrying out triaxial extension tests (typically
stress concentrations causing sample necking, which renders area
calculations nigh impossible, and some difficulties ensuring
sample contact with the loading top cap) have usually meant that
strength data from either TC or SS tests are used for this section
of the failure surface.
Intuitively, a plane strain loading apparatus is highly suited
for determining shear strengths relevant to TSF slope stability
analyses, as these are usually well represented using a two-
dimensional simulation. However, plane strain devices are not
common, and usually only available in research institutions. Much
valuable work on plane strain testing of static liquefaction of loose
sands (not specifically tailings) has been carried out by
Wanatowski and his co-workers (e.g. Wanatowski and Chu, 2007,
2011).
The most versatile loading apparatus is the torsional shear
hollow cylinder (TSHC) (often referred to simply as a hollow
cylinder device), although its use for testing tailings has been
limited. The TSHC can reproduce a range of stress paths,
including TC, true SS and plane strain. A drawback is the cost of
the device and the complexity of operation (particularly compared
with SS and triaxial devices). However, some suppliers are now
producing compact and fully automated devices. Given the
importance of evaluating a range of possible stress paths for
stability of TSF slopes, we foresee much more widespread uptake
of the TSHC in the next decade, if not sooner.
Section 4.3 has focused on various approaches to determining
the shear strength of mine tailings under static loading conditions.
More detailed discussion on the importance of various stress paths
followed during testing is provided in section 6, where we briefly
discuss some of the results from well-documented forensic
investigations.
4.4 Shear strength under dynamic loading
The experience gained in regions of high seismicity clearly shows
that tailings dams are sensitive to earthquakes; in fact, several
seismic failures have been reported, as discussed below. However,
almost all of these seismic failures occurred in tailings dams
constructed with the upstream method (Lyu et al., 2019). In this
regard, it is important to note that properly designed tailings dams
constructed with the downstream or centerline methods have
experienced stable behavior under strong seismic loading
conditions (Valenzuela et, 2020).
Figure 35 shows the location of the world's mining areas and
of recorded earthquakes. It is evident that there are many countries
that have an important mining industry and at the same time have
active seismicity. Among these countries are: New Zealand,
Indonesia, Japan, China, Canada (west coast), United States (west
coast), Philippines, Mexico, Colombia, Peru and Chile).
Figure 35. Location of a) mining areas and b) major earthquakes (where
black dots are magnitude >9, red dots magnitude between 8 and 8.9,
orange between 7 and 7.9 and yellow between 6 and 6.9).
In Japan, the failure of Dikes 1 and 2 of Mochikoshi TSF were
associated with the 1978 Izuoshima-Kinkai Earthquake (Ishihara,
1984). More recently, also in Japan, the seismic failures of the
Kayakari, Zenigame and Gengorou Tailings Dams were due to the
2011 Great East Japan Earthquake of Mw = 9.0 (Ishihara et al,
2014). In Chile, several tailings dams have experienced collapse
due to seismic disturbances: the Barahona Tailings Dam suffered
a breach due to liquefaction on December 1, 1928, induced by the
Mw = 7.6 Talca Earthquake (Aguero 1929), the El Cobre Tailings
Dam failed catastrophically due to the La Ligua Earthquake, Mw
= 7.4, on March 28, 1965, causing more than 200 casualties
(Dobry and Alvarez, 1967), the Cerro Negro and Veta del Agua
145
Tailings Dams failed due to the Valparaiso Earthquake which
occurred on March 3, 1985, of Mw = 8.0 (Castro and Troncoso,
1989), the Antiguo Tailings Dam failed due to the Punitaqui
Earthquake on October, 1997, Ms = 7.0, generating a flow of
nearly 60 000 m3 of tailings (Villavicencio et al, 2014), the Las
Palmas Tailings Dam collapsed causing 4 casualties during the
Maule Earthquake, Mw = 8.8, which occurred on February 27,
2010. It is important to mention that all these tailings dams were
constructed using the upstream method.
The tailings dams that have experienced seismic failures have
been grouped considering the earthquake magnitude in
combination with the distance to the epicenter (Conlin 1987). For
earthquakes of moment magnitude greater than 8.0, the epicenter
can be a large area (rupture zone), with a more representative
measure being the minimum distance to the rupture surface.
Figure 36 summarises data from failures due to earthquakes,
providing guidance on when potential seismic failure may occur
(Valenzuela et al, 2020) and, accordingly, special attention must
be considered in the design of TSFs.
Figure 36. Seismic failures of tailings sand dams (after Valenzuela et al.
2020).
On the other hand, there are a significant number of countries
with an important mining industry and with a relatively negligible
seismicity, for example Brazil, Australia, many African countries
and several European countries. In these countries, with low or
practically zero seismicity, it is common to find TSFs constructed
with tailings that are in a contractive state, and that can be
seriously affected by disturbances that mobilize the undrained
response. There are many examples, such as the catastrophic
failures of Los Frailes in Spain, Samarco and Brumadinho in
Brazil, Merriespruit in South Africa and Cadia in Australia,
among many others. The Los Frailes and Cadia failures have
strong similarities; first, the foundation soil failed and generated
significant displacement that triggered liquefaction of the stored
tailings, which contributed significantly to the dam failure
mechanism (Gens et al, 2006; Jefferies et al, 2019). Thus, when
contractive materials are present, there is an elevated risk of
failure if the residual undrained resistance is triggered, and the
stability analyses have not considered the possibility of the
mobilisation of this resistance.
4.4.1 Liquefaction in terms of Cyclic Mobility.
The term liquefaction was coined by Hazen (1920) to describe the
failure of the hydraulic fill sand of the Calaveras Dam on 24
March 1918. In this failure, the upstream toe of the Calaveras
Dam, which was under construction near San Francisco,
California, failed suddenly, and approximately 700,000 m3 of
material flowed for around 90m. Apparently no special
disturbance was noticed at the time of the failure, indicating that
this phenomenon can occur in the absence of earthquakes. Since
that failure, the term liquefaction has been used in a broad sense amplitude of cyclic stress. Figures 38 and 39 present typical
to describe two different phenomena that may occur in saturated results of CRR curves obtained in tailings samples, considering a
cohesionless soils. These phenomena have in common a strain level criterion. Figure 40 presents a CRR curve considering
significant pore-pressure buildup and large ground deformations. the 100% pore water pressure build-up criterion.
Nevertheless, to understand the actual soil behavior, it is
important to distinguish between the so-called flow failure, or
static liquefaction, where a sudden loss of strength takes place,
and the term cyclic mobility, which is associated with a
progressive strain softening with cycles of loading, without any
loss of strength.

Figure 38. Cyclic stress ratio for ±2.5% axial strain vs number of cycles.
Tailings retrieved from Kayakari dam after the 2011 earthquake.
Reprinted from Ishihara et al. (2014), with permission from Elsevier.

Figure 37. Undrained cyclic response of loose (upper plots) and dense
(lower plots) sandy soils (Ishihara 1985).

Typical results of undrained cyclic torsional shear tests are

presented in terms of both stress-strain curves and effective stress-
paths in Figure 37 (after Ishihara 1985). In the case of the loose
specimen (Dr = 47%), there is a gradual migration of the effective
stress-path toward the origin, which is more pronounced in the
first cycle and after the phase transformation line is met. When the
cyclic effective stress path touches the phase transformation line,
a significant change in the cyclic response takes place. During
loading, the effective stress path turns upwards and to the right,
indicating a dilative response, while during unloading it turns left,
toward the origin, which indicates a strong contractive behavior Figure 39. Cyclic resistance ratio at = 3.75% obtained in cyclic simple
associated with a large increase in pore water pressure. Once the shear for gold tailings (James et al, 2011).
phase transformation line is crossed, this phenomenon is repeated
and at each cycle of loading and unloading the effective stress path
moves upward and downward closely along the failure line until
eventually it starts to pass though the origin, indicating a condition
of zero effective stress at the instant of zero acting shear stress.
That is, a pore water pressure build-up equal to the confinement
stress only occurs when the shear stress is zero. Accordingly, this
condition is momentary and does not induce failure of the soil.
Although this condition is associated with zero effective stress, it
should not be considered as a condition of zero shear resistance.
As soon as there is an acting shear stress, the pore water pressure
decreases and the shear resistance of the soil is again mobilised.
The same general pattern is observed for the sample with Dr
= 75%, except that the phase transformation line is crossed during
the first cycle and thereby the large change in the effective mean
stress occurs much earlier than in the specimen of loose sand.
The cyclic responses outlined above can be classified as
"cyclic mobility" according to Casagrande (1970; 1975). This is Figure 40. Cyclic resistance ratio for 100% pore water pressure build-up,
because they only involve degradation of stiffness, not strength, in simple shear for tailings samples retrieved with Shelby tube (Been
which can be significant or moderate depending upon the density 2016).
of the sandy soil and the level of the applied cyclic loading, among
other factors. 4.4.2 Effect of fines content on cyclic resistance ratio.
If the specimen is strained sufficiently, there is a tendency for Experimental evidence indicates that the mechanical properties of
the soil to dilate and regain stiffness and strength. In this context, silty sands are largely controlled by the fines content and by the
when cyclic mobility is the phenomenon under evaluation, the plasticity of these fines (Troncoso et al., 1985; Polito et al., 2001;
cyclic strength is normally defined as the Cyclic Resistance Ratio Verdugo et al., 2004; Ni et al, 2004, among others). The results of
(CRR), which is evaluated as the number of cycles required to a series of cyclic triaxial tests performed on a copper tailings sand
reach a certain amount of shear deformation, or 100% of pore using samples prepared at the same void ratio, with different low
water pressure build-up, when a sample is subjected to a certain

146
plasticity fines content, are shown in Figure 41 (after Troncoso et
al., 1985).
Figure 41. Effect of low-plasticity fines on the cyclic strength of copper
tailings (after Troncoso et al, 1985).
A more comprehensive study was carried out by Verdugo and
Viertel (2004) using a copper tailings sand. The tailings sand was
mixed with various contents of low-plasticity tailings fines: 2; 10;
18 and 28%. For each mixture, different densities were selected.
The results are presented in Figure 42.
Figure 42. Cyclic strength as a function of void ratio for different fines
contents (after Verdugo and Viertel (2004).
For the range of fines content tested, the cyclic strength
decreases consistently as the fines content increases, regardless of
the void ratio of the samples.
Extremely large volumes of tailings are produced from the
extraction processes of copper, gold and nickel. These tailings
vary mainly from sandy silt to silty clay, with the fine tailings
usually being non-plastic or of low plasticity. There are other mine
tailings that include significant fine-grained particles of medium
to high plasticity, such as tailings from the extraction of alumina
from bauxite ore (red mud), many iron ore tailings, and the oil
sand fine tailings resulting from the extraction of crude bitumen
from oil sands, among others.
It has been recognized that fine-grained soils can undergo
liquefaction or significant deformation during earthquakes (Bray
et al., 2004, 2006; Boulanger and Idriss, 2006). Depending on the
type of fines, the cyclic behavior of these soils can be separated
into two groups: the "sand-like" and the "clay-like" fine-grained
soils. The first exhibits liquefaction susceptibility characteristics
similar to those observed in sandy soils. Although clay-like fine-
grained soils, when subjected to cyclic loading, produce some
increase in pore pressure and can deform significantly, they do not
liquefy like sandy soils, rather they undergo a cyclic softening,
"strain-softening" phenomenon, as observed in Figure 43
(Zergoun et al., 1994; Boulanger and Idriss, 2006). A simple
criterion proposed by Boulanger et al., (2006) to identify fine-
grained soils with a clay-like behavior is that they present a
147
Plasticity Index equal or greater than 7. However, in tailings
materials further research is needed to confirm this criterion.
Figure 43. Strain softening in clayey material. Republished with
permission of ASCE, from Boulanger and Idriss. (2006); permission
conveyed through Copyright Clearance Center, Inc.
For practical purposes, fine-grained soils with a sand-like
behavior can be treated as sands to assess their liquefaction
potential, so the empirical charts based on SPT and CPT are
applicable. On the other hand, fine-grained soils with a clay-like
behavior could undergo strain-softening during the application of
cyclic loads. It is recommended to evaluate the potential
occurrence of strain softening by means of cyclic tests in the
laboratory. For fine-grained tailings this is considered the most
reliable procedure.
4.4.3 Accounting for earthquake magnitude.
Since the cyclic resistance to liquefaction is a function of the
number of loading cycles, it is necessary to establish the number
of cycles that corresponds to the design earthquake. Research
suggests that the effective number of equivalent uniform cycles is
predominantly related to the earthquake magnitude, as shown in
Figure 44. This issue is discussed in section 8.3.1.
Figure 44. Number of equivalent stress cycles vs earthquake Magnitude.
Reprinted from Idriss et al. (2004), with permission from Elsevier.
5 FIELD TESTING.
Concerns about the potential instability of upstream TSFs is
rightly currently focussed on existing TSFs. Sampling of tailings,
particularly cohesionless silty or sandy tailings (which constitute
a very significant proportion of existing TSFs) without disturbing
the very characteristic that is of interest, i.e. void ratio, is
extremely difficult. Although interesting work is currently
underway using, for example, a modified Sherbrooke-type
sampling device, such techniques are far from commonplace or
proven effective. Furthermore, even if truly undisturbed sampling
were feasible, there would still be considerable uncertainty
regarding the in-situ stress levels which also affect mechanical
response. Such uncertainty particularly affects estimates of lateral
stresses (see Section 5.4). Recourse is therefore made to the use
of in-situ testing.
 Until relatively recently, the SPT (standard penetration test)
was used extensively for estimating the in-situ strength and even
susceptibility to liquefaction of tailings. As with many procedures
used in tailings, many of the SPT correlations in use were derived
from work on essentially clean (low fines content) sands. With
recent rapid and significant advances in CPT (cone penetration
test) technology, the SPT is not recommended for tailings
characterisation. The primary methods currently in use are the
CPT and field vane, with lesser but increasing use of techniques
such as full-flow penetrometers, dilatometers and very
occasionally, pressuremeters. The discussion that follows is
skewed toward the two former techniques, with less coverage of
the other methods, given their relative sparsity of use.
5.1 Cone Penetration Testing of Tailings.
The cone penetration test (CPT) is the most used in-situ test to
characterise tailings. Early versions of the CPT were limited to
measurements of tip resistance (qc) and sleeve friction (fs).
Modern CPTs almost invariably include pore water pressure
measurements (known as CPTu) and routinely include seismic
wave velocity measurements (SCPTu). More recently,
incorporation of P-wave (i.e. compressional wave) measurements
have become more common (thankfully with no further change to
the acronym). The most common location for the pore water
pressure sensor is on the shoulder of the cone (u2), although
alternative locations have also been used mostly for research
purposes (Lunne et al. 1997).
Given that the CPT does not perform direct measurements of
the mechanical behaviour of the soil, its use relies on
correlations between CPT results and the soil behavioural
aspects of interest. In tailings engineering, particularly in
assessments of liquefaction potential, the focus is generally on
the state, the peak (or yield) undrained strength, and the residual
(or liquefied) undrained strength. In this context, state refers to
whether the material has a contractive or dilative tendency when
subjected to shearing. Contractive materials are prone to
significant strength loss under undrained conditions whereas
dilative materials are not. Different methodologies are available
to conduct these three stages of a liquefaction potential
assessment. Herein we critically review some of the most
common approaches.
5.1.1 Assessment of state
Olson and Stark (2003) proposed a generally applicable
contractive-dilative boundary defined as
.
= 1.10 × 10 ( ) (16)
where v and qc1 have units of kPa and MPa respectively and v
has an upper bound of about 350 kPa. qc1 is the overburden-
normalised tip resistance defined in Olson and Stark (2002) as
1.8
q = (17)
0.8 +
where pa
have noted the limitations of using Equation 16 as a generally
applicable contractive-dilative boundary (Olson 2009, Robertson
2010). Notwithstanding, Equation 16 was considered in the post-
failure investigation of the Fundão Dam (Morgenstern et al. 2016)
and it is thus deemed pertinent to address this equation herein. The
limitations of Equation 16 stem from its origins (Torres Cruz
2016). This boundary was initially proposed, in terms of SPT
results, by Fear and Robertson (1995) specifically for Ottawa
Sand under K0 = 0.5 stress conditions. That is, Equation 16 was
not originally intended to be generally applicable to a wide variety
148
of soils. Furthermore, Ottawa Sand is a clean and uniformly
graded sand with D50 = 0.35 mm, sub-rounded particles, and
composed primarily of quartz (Cunning 1994). These
characteristics are significantly different from those of many
tailings which tend to be siltier, more broadly graded, with angular
particles, and possess a more complex mineralogy (Torres-Cruz
and Santamarina 2020). Figure 45 illustrates the effect that K0 and
particle grain characteristics can have on the contractive-dilative
boundary as inferred from Fear and Robertson (1995). To this end,
Figure 45 considers K0 = 0.5 and K0 = 0.8, and two distinctly
different sands: Ottawa Sand and Alaska Sand. The latter is an
angular and highly compressible carbonate marine tailings sand
(Fear and Robertson 1995). It is worth noting that in Figure 45,
Equation 16 does not match the curve of Ottawa Sand at K0 = 0.5.
This is due to differences in converting from shear wave velocity
to cone tip resistance between Fear and Robertson (1995) and
Olson and Stark (2003). The variety of contractive-dilative
boundaries in Figure 45 highlights the potential shortcomings of
using Equation 16 as a generally applicable contractive-dilative
boundary.
qc1 (MPa)
0 2 4 6 8 10 12 14
0
100
'v0 (kPa)
200
300
400
Figure 45. Non-uniqueness of contractive- v0-qc1
space. Notes: Boundaries of Alaska and Ottawa Sands as per Fear and
Robertson (1995). Dilative soils are expected to plot to the right of the
boundaries and contractive soils to the left.
Robertson (2010) proposed the criterion Qtn,cs = 70 as a
conservative contractive-dilative boundary (Figure 46), where
Qtn,cs is the normalised clean sand equivalent tip resistance defined
below. This criterion was considered in the post-failure
investigation of the Fundao Dam (Morgenstern et al. 2016) and,
although not the preferred approach, in the post-failure
investigation of the Brumadinho tailings dam (Robertson et al.
2019).
1000
Normalised cone resistance Qtn
(Qtn - 11)(1 + 0.06F)17 = 70
100
10
Qtn,cs = 70
1
0.1 1 10
Normalised friction ratio F
Figure 46. Comparison of the contractive-dilative boundaries proposed by
Robertson (2010) and Robertson (2016), shown by the solid and dashed
lines respectively.
 Development of the Qtn,cs = 70 criterion relied on a database
of 36 flow liquefaction case histories that were grouped into five
different classes of CPT data quality. In descending order of
reliability, the five classes were defined as follows. Class A
corresponded to cases with electric CPT results that included
sleeve friction readings. Class B included cases with mechanical
or electric CPT results but no sleeve friction readings. Classes C,
D, and E included cases for which CPT results were not available
but rather inferred from SPT, relative density, or otherwise
estimated, respectively. Robertson (2010) relied mostly on the
Class A case histories to justify the Qtn,cs = 70 criterion.
The normalised clean sand equivalent tip resistance Qtn,cs is
defined as
, = (18)
where Qtn is the stress-normalised tip resistance
= (19)
qt is the cone tip resistance corrected for unequal area effects and
and n is a stress exponent capped at 1 calculated with the
following equations (Robertson 2009):
= 0.381 ( ) + 0.05 ( ) 0.15 (20)
= (3.47 log ) + (log + 1.22) (21)
= 100% (22)
Ic is a soil behaviour type (SBT) index and F is the sleeve friction
ratio. Given the interdependence between Qtn, n, and Ic an iteration
process is required to find their final values. While Robertson
(2009) explained the rationale for Equation 20, we note the
absence of supporting experimental data points that would enable
an assessment of its reliability.
The second factor in Equation 18, Kc, is defined as
1.64, = 1.0
> 1.64, = 0.403 + 5.581 21.63 + 33.75 17.88
It is worth pointing out that although Equation 23 includes a
fourth degree polynomial whose coefficients involve 19
significant figures, the equation is approximate, was proposed
based on qualitative arguments and lacks any supporting data
points (Robertson and Wride 1998). Similar to Equation 20, the
uncertainty of Equation 23 is thus not quantifiable.
Equation 23 defines a direct correlation between Kc and Ic. In
general, coarse-grained soils take on low values of Ic whereas fine
grained soils take on high values, with Ic = 2.6 considered an
approximate boundary between sand-like and clay-like soils
(Robertson and Wride 1998). Accepting this premise, soils with
high fines contents are expected to yield high values of Ic, which
lead to high values of Kc, and consequently high values of Qtn,cs.
This implies that, at the same Qtn, sands with fines are less likely
to classify as contractive (Qtn,cs
rationale for attributing a greater liquefaction resistance to silty
sands than to clean sands was "the greater compressibility and
decreased permeability of silty sands" (Robertson and Wride
1998). However, non-plastic soils, which include many types of
tailings, do not exhibit a direct correlation between fines content
and compressibility as indexed by the slope of the critical state
line (Reid 2015, Torres-Cruz and Vermeulen 2018). Furthermore,
even when containing significant amounts of fines, the
permeability of non-plastic soils may remain high enough to
enable virtually drained (Bq
These observations suggest that the use of Kc in Equation 18 to
compensate for the assumed higher compressibility and lower
permeability of non-plastic silty tailings can lead to potentially
unconservative assessments of state.
Robertson (2010) indicated that the case history database
agreed with the Qtn,cs = 70 boundary because most flow
liquefaction case histories, including all case histories with high
quality CPT data, exhibited Qtn,cs
however, is that since flow liquefaction case histories do not
provide information on the performance of dilative soils, the data
supports the adoption of Qtn,cs = 70 as an upper bound for
contractive soils, without necessarily implying that it is also a
lower bound for dilative soils. That is, the case history data
presented by Robertson (2010) is not sufficient to establish that
Qtn,cs = 70 is indeed a boundary. We acknowledge, however, that
without additional information, the cautious approach is to treat
Qtn,cs = 70 as a boundary. That is, to assume that all soils with Qtn,cs
indeed contractive.
Robertson (2016) updated the contractive-dilative boundary
to Equation 9 and noted that it is mainly applicable to soils with
little or no microstructure (e.g. cementation).
70 = ( 11)(1 + 0.06 ) (24)
Figure 46 compares Equation 24 to the Qtn,cs = 70 criterion.
The two criteria bear strong resemblance for Fr
corresponds to values often measured in tailings deposits (Reid
2015). Accordingly, the objections raised herein to the Qtn,cs
criterion, are likely to remain valid to Equation 24 when applied
to tailings. However, we note that Equation 24 is written in terms
of Qtn, as opposed to Qtn,cs. This reflects the fact that Robertson
(2016) did not adopt Equations 18 and 23. We believe this is a
step in the right direction given the difficulties noted above to
correlate fines content to compressibility and permeability.
Robertson (2016) does retain Equation 20, however, for which we
noted the lack of validation data. Despite this limitation, we
believe that its agreement with the case history database presented
by Robertson (2016), makes Equation 24 a useful empirical
(23) criterion.
State is also commonly characterised by the state parameter
which is defined as the void ratio difference between the current
state of the soil and the critical state line (CSL) at the same mean
effective stress p' (Been and Jefferies 1985). Positive values of
indicate states that plot above the CSL (contractive), whereas
negative values of indicate states that plot below the CSL
(dilative). It has been suggested that soils with -0.05 should
be deemed contractive (Shuttle and Cunning 2008). While
calculating for a laboratory specimen is relatively
straightforward, inferring from CPT readings is anything but.
Been et al. (1987) first proposed a systematic framework to
may be of limited use in tailings wherein drained penetration
cannot be generally guaranteed. Plewes et al. (1992) suggested a
simplified screening procedure to assess from CPT readings
149
while accounting for excess pore water pressures. The method,
which was slightly updated by Jefferies and Been (2016), relies
on a correlation between the normalised sleeve friction ratio F and
the slope of the critical state line CSL. However, recent additions
to the -F dataset indicate that the uncertainty of the correlation is
higher than reflected by the original dataset (Reid 2015).
Furthermore, error propagation analyses show that even when the
Plewes method is implemented with values measured in the
laboratory, the variability of within tailings deposits impedes
estimates of that are accurate enough for detailed
characterisation (Torres-Cruz 2021). These observations highlight
the screening nature of the procedure. More rigorous methods to
estimate the state parameter from CPT results can be broadly
divided into those that assume drained penetration and those that
assume undrained penetration. It is the latter that is often used in
tailings because, as noted above, drained CPT results cannot be
guaranteed at the standard penetration rate of 20 mm/s. Within this
undrained CPT category, the method that appears to have gained
the widest acceptability is the one proposed by Shuttle and
Cunning (2007), further developed by Shuttle and Jefferies
(2016), and also described in Jefferies and Been (2015). The
procedure relies mostly on CPT results, in-situ measurements of
shear wave velocity (Vs), knowledge (or estimates) of lateral stress
conditions, laboratory testing of disturbed samples, and numerical
simulations of triaxial tests and of spherical cavity expansion.
Because the spherical cavity expansion simulations can be
performed with a publicly accessible widget, we will refer herein
to this approach as the "widget method."
The widget method was used in the investigation of the Cadia
NTSF embankment failure (Jefferies et al. 2019) and was
regarded as the "most reliable" approach to assess the in-situ state
of the Brumadinho Dam (Robertson et al. 2019). As such, the
method is likely to be viewed as the best alternative by many
practicing geotechnical engineers. To assess the capabilities of the
method, we collected data from three different sources that report
values inferred using the widget and values estimated from
high quality samples. The comparison is shown in Figure 47, in
which the vertical bars are centred at the mean estimated by the
widget method over the length of the sampler. The upper and
lower ends of the vertical bars are placed at one standard deviation
from the mean. Of the three references considered in Figure 47,
the length of the sampler was only reported in Shuttle and Jefferies
(2016) as 0.8 m. The same length was assumed for the other two
references.
0.4
Shuttle and Cunning (2007)
0.3
Shuttle and Jefferies (2016)
Jefferies et al. (2019)
from widget
0.2
0.1
0 A recent analysis of the 1974 Tar Island slump in Canada aims
-0.1
-0.1 0 0.1 0.2 0.3
from sample
Figure 47.
and based on high quality samples.
Figure 47 shows that for two of the datasets (Shuttle and
Cunning 2007, Shuttle and Jefferies 2016) the widget method
significantly and systematically underestimates the
contractiveness of the samples. This is at odds with the
observation by Shuttle and Jefferies (2016) that CPT and sample-
based estimates of are "broadly aligned." Improved agreement
is observed in the data from Jefferies et al. (2019), although
unfortunately the data clusters in a small portion of the graph,
limiting the potential of this data to validate the approach.
Shortcomings in the widget method to characterise loose sands (
> 0) may stem from the fact that it is anchored on calibration
chamber testing programmes that involved, almost exclusively,
dense sands ( < 0) (Shuttle and Jefferies, 2016) and sands that
were both clean (low to zero fines) and nearly all quartz sands
(Been, 2016).
Appraisal of Figure 47 requires acknowledgement that the
measured from a sample is not a perfect validation benchmark.
Shuttle and Cunning (2007) mention sample disturbance as a
potential explanation for the mismatch reflected in Figure 47. This
would have required the disturbance to consistently induce
dilation of the samples. However, it appears unlikely that samples
that were deemed contractive by both the widget method and by
water content logging would have been prone to dilation due to
disturbance. This is borne out by the results presented by Mohajeri
and Ghafghazi (2012) for a natural silt from Vancouver Island,
Canada, that was sampled and handled with extreme care. Despite
which corresponded to about one third of the void ratio difference
between the loosest and densest possible void ratios of this soil.
Shuttle and Jefferies (2016) estimated the of the high-quality
samples by simulating relevant triaxial tests and determining the
best fit . They noted that uncertainty was introduced because the
in-situ void ratio of the triaxial specimen was taken as equal to the
average void ratio over the 0.8 m length of the sampler. It is
unlikely, though, that this difference between average and local
void ratio can account for the systematic underestimation of
observed in Figure 47. Jefferies et al. (2019) computed the of
high-quality samples by comparing the sample void ratio to that
of the critical state line at the same mean effective stress. Two
CSLs were considered because layering in the samples introduced
uncertainty regarding which was the applicable one. The
horizontal bars in Figure 47 reflect this. Estimates of lateral
stresses (see Section 5.4) are another source of uncertainty when
inferring from high-quality samples. Despite limitations in
47 suggests that there may be
an unconservative bias in the widget method and is a reminder that
the validation of this method in real silt deposits is a pending task
for the geotechnical community.
It is worth noting that the three references considered in
Figure 47 used different versions of the widget method to estimate
. For example, Shuttle and Jefferies (2016) updated the mapping
of the limiting cavity expansion pressure to CPT resistance, and
Jefferies et al. (2019) reported that the pore water pressure
measurement location considered by the widget changed from the
face of the cone to the shoulder of the cone. The widget version
used by Jefferies et al. (2019) made the predictions that plot
closest to the identity line in Figure 47. However, validation data
from additional case histories is clearly required to reliably assess
the predictive capability of the widget.
at validating the computation of liquefaction using finite elements
coupled with critical state soil mechanics (Shuttle et al. 2022).
Although this analysis uses the widget method to infer from
0.4
CPT measurements, it does not constitute a validation of the
widget because no comparisons are presented between as
measured in high-quality samples and predicted by the widget.
5.1.2 Assessment of undrained yield strength
When sheared under undrained monotonic conditions, contractive
soils mobilise a yield (or peak) strength Su that, upon further
shearing, drops to a residual value Sr (Verdugo and Ishihara 1996,
Olson and Stark 2003). It is common to normalise the yield
undrained strength Su by the pre-failure vertical effective stress
v, thus leading to the yield strength ratio (YSR). When a
150
contractive soil reaches its YSR, liquefaction is triggered and the
strength of the soil drops to its residual value Sr. Static loads,
deformations, or dynamic loads can all move a soil towards its
YSR and, importantly, reaching the YSR does not necessarily
require the loading conditions to reach Su (Olson and Stark 2003).
Yield strength assessments are often disregarded in liquefaction
potential assessments because designers and owners adopt the
cautious view, warranted in our opinion, that if liquefaction can
be triggered (soil is saturated and contractive) then it will occur
(e.g. Robertson 2010). This appears to have led to much more
emphasis in the literature on the liquefaction susceptibility and
residual strength analyses than on the yield strength analysis. One
of the few methods available to assess the yield strength ratio of
contractive soils was proposed by Olson and Stark (2003). This
approach was considered in the post-failure investigation of the
Brumadinho tailings dam (Robertson et al. 2019).
Olson and Stark (2003) back analysed 33 flow failure case
histories involving mostly non-plastic and low plasticity soils.
They identified eight case histories whose pre-failure conditions
corresponded to yield strength conditions and on this basis
proposed a YSR-qc1 correlation which they complemented with
upper and lower limits to account for variability. Figure 48
summarises these eight case histories in YSR-qc1 space and shows
that there is only a weak (R2 = 0.15) linear correlation. That is,
85% of the variation in YSR is unaccounted for by qc1.
Furthermore, of the eight case histories shown in Figure 48, CPT
readings were only available for two of them. For the remaining
six case histories, qc1 was assessed from correlations to SPT,
relative density, or otherwise estimated. Such correlations and
estimations further reduce the reliability of the correlation. It is
also apparent from Figure 48 that the YSR-qc1 correlations
proposed by Olson and Stark (2003) are steeper than the linear
regression computed herein. That is, the regressed line suggests a
weaker dependence of YSR on qc1 than indicated by the
correlation proposed by Olson and Stark (2003).
The implication for YSR assessments is that instead of
attempting to correlate YSR to qc1, it should be recognised that the
flow failure case history database analysed by Olson and Stark
(2003) yielded YSR values that ranged from 0.24 to 0.28 with a
5.1.3 Assessment of residual undrained strength
Olson and Stark (2002) presented an analysis of residual (or
liquefied) strength Sr based on the same database of 33 flow
failure case histories considered by Olson and Stark (2003) for
their yield strength analysis. They identified 21 case histories with
enough information to assess the mobilised residual shear strength
by means of a rigorous back-analysis which on occasions included
kinetic considerations. Based on this data they proposed a
liquefied strength ratio (LSR)-qc1 correlation which they
complemented with upper and lower limits to account for
variability. Figure 49 presents these 21 case histories in LSR-qc1
space and shows that there is only a weak (R2 = 0.21) linear
correlation. That is, 79% of the variation in LSR is unaccounted
for by qc1. Furthermore, of the 21 case histories, CPT readings
were only available for seven of them. For the remaining 14 case
histories, qc1 was assessed from correlations to SPT, relative
density, or otherwise estimated. As noted above, this inevitably
introduces uncertainty. It is also apparent from Figure 49 that the
LSR-qc1 correlations proposed by Olson and Stark (2002) are
steeper than the linear regression computed herein. That is, the
regressed line suggests a weaker dependence of LSR on qc1 than
indicated by the correlation proposed by Olson and Stark (2002).
Again, the implication for LSR assessments is that qc1 can be
bypassed as an explanatory variable and should instead take note
that Olson and Stark (2002) reported LSR values that ranged from
0.027 to 0.12 with a mean value of 0.083. Wider upper and lower
bounds result from considering the uncertainties of each case
history as reported by Olson and Stark (2002). The applicable
LSR value must then be chosen within these bounds, or beyond if
warranted, while keeping in mind that qc1 does not provide robust
guidance. As for the YSR, we note that while our comments do
not provide additional guidance in the selection of LSR, they will
hopefully prevent undue overreliance on the LSR-qc1 correlation
proposed by Olson and Stark (2002).
0.25
Data point labels indicate case history ID as per Olson & Stark (2002).
0.2 Average and limit trends (Olson & Stark 2002):
Liquefied strength ratio LSR

YSR = 0.0143qc1 + 0.03 ± 0.03

mean value of 0.26. Wider upper and lower bounds result from
considering the uncertainties of each case history as reported by
Olson and Stark (2003). The applicable YSR value must then be 0.15 Best fit line: YSR = 0.0093qc1 + 0.053
(R2 = 0.21)
chosen within these bounds, or beyond if warranted, while
3
keeping in mind that qc1 does not provide robust guidance. 26 8 2 15
Doubtless a significant challenge. While these comments do not 0.1 31 33 25 30
29 32 19
provide additional guidance to estimate the actual YSR, we hope 28 6 20
that they will prevent undue overreliance on the YSR-qc1 12 22
9
correlation proposed by Olson and Stark (2003). 0.05 24
10 21 Lacks CPT data
Has CPT data
0
0 1 2 3 4 5 6 7
Corrected tip resistance qc1 (MPa)

Figure 49. Flow failure case histories analysed by Olson and Stark (2002)
with adequate to back-calculate the liquefied strength ratio.

Based on 13 flow failure case histories with CPT records (data

classes A and B), Robertson (2010) proposed the following
correlation for the lower bound of liquefied strength ratio LSR
which is valid for Qtn,cs :
0.0003124 , + 0.02199
= = (25)
0.0001783 , 0.02676 , + 1

Figure 48. Flow failure case histories analysed by Olson and Stark (2003)
Equation 25 has a lower bound of 0.03 and an upper bound of
and deemed to be close to their yield strength envelope.
tan . Given the uncertainties involved in back-analysing case

151
histories, it is a positive feature of Equation 25 that it aims at correlations that fit soils with different compressibilities: stiff,
providing a lower bound of Sr, rather than a best estimate. intermediate, and compressible (Figure 51a).
However, Equation 25 relies on Qtn,cs and thus inherits the There are at least three points of concern in the approach
objections that were previously made regarding this parameter. It suggested by Jefferies and Been (2016). Firstly, like Olson and
is also worth noting that Equation 25 was considered during the Stark (2002, 2003), most of the case histories (8 out of 12) used
post-failure investigation of the Brumadinho TSF but ultimately to develop the correlations do not have electric CPT readings. This
not used due to a lack of match with laboratory results. The leads to reliance on results from mechanical CPT, SPT, and, in
discrepancy was attributed to the mineralogy and bonding of the one case, assessment of tip resistance from relative density. That
Brumadinho tailings (Appendix E of Robertson et al. 2019) and is, there is a strong reliance on the data classes B, C, and D as
may point to limitations in the applicability of Equation 25. defined by Robertson (2010) (Figure 51b). Secondly, the
Robertson (2010) noted that Equation 25 can be overly approach relies on in-situ determinations of , the feasibility of
conservative in sensitive clays and for such soils proposed: which remains unproven even when high quality CPT data are
available (Figure 47) and seems even less likely when back
= = (26) analysing case histories that fall into data classes B, C, and D.
Lastly, because the CSL of 10 of the 12 case histories is unknown,
Jefferies and Been (2016) relied on the assumption that finer
10. However, this
Robertson (2010) justified Equation 26 with the observation assumption is at odds with experimental data (Papageorgiou and
that for most clay soils fs Sr. The supporting reference cited in
Fourie 2001, Reid 2015, Torres-Cruz and Vermeulen 2018,
Robertson (2010) leads to two datasets: one from the Santa
Torres-Cruz 2019).
Barbara Channel site originally reported by Quiros and Young
(1988) and later reproduced by Lunne et al. (1997), and another
a) 0.3
from the Scoggins Dam in Oregon, USA originally reported by
Compressible ( = 0.17) Compressible
Farrar et al. (2008) and later reproduced by Robertson (2009). At 10
Intermediate
the Santa Barbara Channel site, the undrained residual strength
v
Stiff
was evaluated with triaxial tests, whereas at Scoggins Dam it was
Liquefied strength ratio Sr/ Intermediate
evaluated using field vane testing. Figure 50 summarises these 0.2 ( 10 = 0.12)
datasets and provides an indication of the degree of scatter around
the fs = Sr line. We note the absence of supporting data from clayey
tailings deposits and suggest that such datasets would be a useful
addition to the literature, especially considering that the fs Sr 0.1
assumption has been challenged on the grounds that there are
factors independent from Sr that significantly influence fs. Such
Stiff ( = 0.05)
factors include the pore water pressure on the end areas of the 10

sleeve, the roughness of the sleeve, and the extent of soil 0

remoulding (Lunne, 2007). -0.1 0 0.1 0.2 0.3
Characteristic state parameter k

160
Residual undrained strength Sr (kPa)

Santa Barbara Channel

Scoggins Dam b) 0.3
120 Compressible ( 10 = 0.17) Class A
Class B
v

Class C
Liquefied strength ratio Sr/

Intermediate Class D
80 0.2 ( 10 = 0.12)

40
0.1

0
0 40 80 120 160 Stiff ( 10 = 0.05)
Sleeve friction fs (kPa)
0
-0.1 0 0.1 0.2 0.3
Figure 50. Comparison between the sleeve friction fs and the residual
shear strength Sr from two non-tailings sites. Sources: Lunne et al. Characteristic state parameter k

(1997) and Robertson (2009).

Acknowledging that perfectly undrained conditions cannot be
guaranteed in the field, Jefferies and Been (2016) resorted to a
database of 12 flow failure case histories to develop correlations
between the characteristic state parameter k and the liquefied
strength ratio LSR. In their framework, k represents the value of
that effectively controls the mechanical behaviour of a soil
deposit. Jefferies and Been (2016) suggest a value between the
80th and 90th percentile of for liquefaction analyses. That is, they
suggest that the weakest 20% or 10% of a soil deposit determines
its stability. Their approach accounts for the effect of soil
properties, especially compressibility, on the LSR- k correlation.
Accordingly, they use the case history database to develop three
Figure 51. Best practice LSR- k correlations proposed by Jefferies and
Been (2016) with data discriminated by a) assumed soil compressibility,
and by b) data class.
5.1.4 Partial drainage during CPTu
Analyses of CPTu test data are usually carried out assuming either
fully drained penetration (no generation of excess pore water
pressure) or fully undrained penetration (zero volume change
during penetration). Perhaps this is a hangover from the desire to
think of soils as either sands (drained) or clays (undrained).
However, as emphasised many times in this paper, many mine
tailings are either silts or silty sands, with permeability often in
the range from 10-5 to 10-8 m/s (Schnaid, 2021). The traditional

152
cone penetration rate of 20mm/s may not be appropriate for such
tailings, potentially leading to partial drainage during the
penetration process. This is especially important when testing
loose, contractive materials. When compared to undrained
conditions, partial drainage increases penetration resistance and
affects the excess pore water pressure generated during
penetration and the form of any subsequent dissipation test carried
out. A key implication is that undrained strengths may be
overestimated.
The issue of partially drained CPTu penetration has been
investigated by several researchers, including Finnie and
Randolph (1994), who suggested a normalised velocity, V, to
account for variables that affect penetration bearing resistances.
Their equation was
= . (27)
where v is the penetration velocity (usually 20mm/s for field
CPTu tests), d is the diameter of the cone and cv is the vertical
coefficient of consolidation measured in a 1-D consolidation test.
Results are often presented schematically in a form such as that
shown in Figure 52, where a logarithmic scale is usually used for
the horizontal axis. The tip resistance is usually normalised by
either a reference tip resistance value (in Figure 52 the drained tip
resistance is used) or by vertical effective stress. As indicated,
below a certain threshold normalised velocity the CPTu test is
fully drained; above another threshold velocity, the test is fully
undrained. Between these thresholds, penetration generates partial
drainage. From our experience, insufficient acknowledgement of
the potential for a CPTu test in tailings (particularly silts or silty
sand tailings) to be in the region between drained and undrained,
i.e. partially drained, has been given in many testing programmes.
Figure 52. Illustration of effect of normalised penetration velocity on
normalised cone tip resistance.
Finnie and Randolph (1994) suggested the transition from
drained to partially drained penetration occurred at V 0.01 and
from partially drained to undrained at V 30.
During a CPTu it is common to occasionally stop the test and
allow excess pore water pressures to equalise, referred to as a
dissipation test. From the rate of dissipation, the coefficient of
consolidation due to horizontal drainage, ch, may be obtained,
using e.g. the procedure suggested by Teh and Houlsby (1991).
The parameters cv and ch are usually not equivalent, due to
anisotropy, although this effect is often considered insubstantial
enough to ignore. An alternative approach to determine whether
cone penetration is undrained is to use the time to 50% dissipation
of excess pore pressure, i.e. t50, as an indicator. DeJong and
Randolph (2012) and Robertson (2012) have suggested that when
t50 is greater than 50 seconds the penetration is essentially
undrained.
153
Distinction between fully drained, partially drained, and fully
undrained conditions can also be aided by the CPTu-based soil
classification chart proposed by Schneider et al. (2008, 2012). The
chart is defined in Q-U2 space and its regions are given by the
dotted lines in Figure 53. Schneider et al. (2008) explain that the
Bq = 1 contour line is not a boundary, but rather is intended as a
link to the Q-Bq chart proposed by Robertson (1991). Q, U2, and
Bq are normalised measures of CPTu results and are defined as:
= (28)
2= (29)
= (30)
Figure 53. Q-U2 soil classification chart. Note: Dotted lines correspond to
original boundaries (Schneider et al. 2008), and solid lines correspond to
Bq contours that approximate or replace the original boundaries. Plotted
data correspond to sounding CPTU-05-05N_Updated reported in
Robertson et al. (2019).
The Q-U2 chart has five regions: one drained region, two
undrained regions (clays and sensitive clays), one region for
transitional soils, and one region shared by low rigidity clays and
transitional soils. The term "transitional soils" refers to the wide
variety of soil types in which the CPTu is partially drained and
includes clayey sands and silts, silts, and residual soils (Schneider
et al. 2008).
Contours of constant Bq provide reasonable approximations to
the curved boundaries of the Q-U2 chart (Robertson 2016).
Furthermore, results from non-plastic tailings and coal ash
indicate that the boundaries of the drained region can be replaced
by Bq contours (Torres-Cruz and Vermeulen, 2018). Combined,
these two observations suggest that the Q-U2 chart as proposed
by Schneider et al. (2008, 2012) can be simplified if all the
boundaries are replaced by Bq contours as shown in Figure 53. It
follows that Bq can be used to readily verify whether, according to
the Q-U2 chart, CPTu soundings are being conducted under
drained, undrained or partially drained conditions. Table 2
summarises the expected drainage conditions for different values
of Bq.
Table 2. Approximate correspondence between Bq and drainage conditions
based on the Q-U2 chart proposed by Schneider et al. (2008, 2012).
Bq range Drainage conditions
<-0.01 Partial drainage
-0.01 to 0.01 Fully drained
0.01 to 0.05 Partial drainage
0.05 to 0.2 Partial drainage or undrained
>0.2 Undrained
Figure 53 includes data from a CPTu sounding performed at
Dam I at the Córrego do Feijão iron mine near Brumadinho, Brazil
(Robertson et al. 2019). Regardless of whether one considers the
original Q-U2 boundaries or the Bq contours, the chart indicates
that partial drainage conditions prevailed during some portions of
the sounding. Naturally, plots of Bq versus depth can aid in
locating the layers in which partial drainage is occurring.
Based on the discussion in this section, there appears to be a
need for greater awareness amongst tailings engineers that it is
often warranted and necessary to modify the standard cone
penetration rate of 20 mm/s to produce results that are compatible
with interpretation procedures that assume either fully drained or
fully undrained conditions.
5.1.5 CPT testing in partially saturated tailings
It is crucially important to remember that CPTu testing, and
indeed other field tests such as vane or full-flow penetrometer
tests, have all been developed for application to saturated
conditions, which for all practical purposes can be assumed to
begin below the phreatic surface. Above the phreatic surface,
where negative pore water pressures relative to atmospheric exist,
there can be a substantial contribution to strength provided by
suction effects. Simplistically, suction increases the effective
stress (being a negative pore water pressure) and thus shear
strength. Interpretations of material parameters from tests such as
CPTu tests done above the phreatic surface can thus be misleading.
Unfortunately, most currently available interpretation software
does not adequately account for this issue.
The suggestion by Robertson (2010) that ‘soils with a constant
value of Qtn,cs have essentially a similar state parameter and hence
a similar response to loading’, should not be extended to
conditions above the phreatic surface. Doubtless Robertson
(2010) never intended for such extrapolations to be made, but
unfortunately they sometimes are. Aside from work such as that
by Pournaghiazar et al (2011) who describe a calibration chamber
suitable for testing tailings, there has, until recently, been limited
research on cone penetration testing of partially saturated silts or
silty sand tailings. Miller et al (2018) provide a useful summary
of tests done on natural soils, varying from sands to clays. They
conclude that cone tip resistance generally increases with
increasing matric suction (as would be expected), so ignoring this
effect would result in an overestimate of soil strength and
underestimate the state parameter. They further conclude that the
tip resistance dependency on suction is greater for soils with
significant plasticity compared to non-plastic soils. This is
consistent with more plastic soils being capable of sustaining
higher suctions than sandy and silty soils. This observation is
perhaps something of a saving grace when dealing with common
silty and sandy tailings – the suction hardening effect may be
relatively muted and the potential for incorrectly evaluating
strength parameters not as great as with clayey tailings.
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5.2 Field vane testing
As mentioned earlier, field vane testing is used extensively for
fine-grained soils and is appropriate for clayey tailings. However,
use of the vane for silty and sandy tailings is problematic if the
standard testing rate of typically 0.1° per second is used. Blight
(1962) realised this problem when working with silty gold tailings
and derived a relationship between degree of consolidation U
during shearing and a dimensionless time factor T, given by:
= (31)
where tf is the time to failure, i.e. time to reach peak strength and
D is the vane diameter. Blight (1962) derived this relationship
both empirically and theoretically and the validity of Blight’s
approach has been confirmed by Chandler (1988). Using his
approach, Blight (1962) suggests a T value smaller than about
0.05 is required to ensure undrained shearing occurs. This is easily
achieved for clayey tailings, but for a typical silty tailings, which
may have a cv value of about 100 m2/year, the required time to
failure to ensure undrained conditions using a 5 cm diameter vane
is about 40 seconds, i.e. much faster than achieved using the
standard rate of 0.1° per second. Using a larger diameter vane
increases the time to failure, but for the silty tailings used in the
example, even this would not ensure undrained shearing for any
reasonably sized vane. Clearly, increased rates of shearing are
required to ensure truly undrained shear strengths are obtained. If
CPTu data are available, it is possible to substitute ch for cv in the
above equation, with little loss of relevance.
Given the enormous number of cone penetration tests and
field vane tests that have been carried out on silty and silty sand
tailings worldwide, the majority of which were likely carried out
at inappropriate testing rates, one can only wonder about the
validity of some of the stability analyses carried out using such
data and the millions of dollars that have perhaps been wasted as
a result.
A related issue that the authors have often encountered in
practice is the use of field vane data to ‘calibrate’ cone
penetrometer data. If a CPTu test is carried out at a rate such that
the test is truly undrained, the peak undrained shear strength, Cu,
is often estimated from the equation
= (32)
where qc is the cone tip resistance, v0 is the total vertical stress
and Nkt is a bearing capacity factor, usually taken to be between
11 and 20.
However, it is not uncommon to see the undrained shear
strength obtained from field vane tests, which are implicitly
assumed to be truly undrained, to back-calculate Nkt values using
the known v0 and measured qc values. Values of Nkt higher than
40 are not uncommon when this approach is adopted and the value
derived is nothing more than an artefact of either the penetrometer
or the vane, or both, not being truly undrained tests. We strongly
discourage this practice unless it can be confirmed that both the
CPTu and vane tests were truly undrained.
Field vane tests provide another option for determining
residual strengths. Although traditionally used primarily for
measuring peak shear strength, increasing interest in residual
strength determination has meant the vane is now widely used in
this regard as well. Improvements such as high precision control
of rate of rotation and down-hole torque measurement (thus
eliminating rod friction effects) have improved confidence in vane
test results. However, given the above discussion about the rate of
shearing, particularly when dealing with silty materials, it is
conceivable that even if the vane were rotated sufficiently fast to
ensure measured peak strength values were truly undrained
values, the same may not automatically be true for residual
strength values. The much greater time (related to much greater
degree of rotation) required to mobilise the large strain strength
may also be enough time to enable some degree of consolidation
to occur, thus providing an overestimate of strength.
5.3 Full-flow penetrometers
As discussed by Schnaid (2021), an alternative for estimating
residual shear strength is full-flow penetrometers, the two most
common being ball penetrometers and T-bar penetrometers (see
Stewart and Randolph, 1994). These were initially developed
primarily for the offshore oil industry, to measure strengths of soft
seabed soils. Recommended procedures and interpretation
methods for determining peak and remoulded strengths (and thus
sensitivity, alternatively expressed as Bishop’s Brittleness Index
IB, discussed in Section 8.1.1) are discussed by Randolph and
Andersen (2006) and Zhou and Randolph (2009) for tests in clays.
With suitable adjustments, such as rate of cycling, these full-flow
penetrometers are likely to see increased use for testing of some
tailings. However, the authors’ experience with a ball
penetrometer has been that in slightly stiff tailings, the borehole
behind the penetrometer does not always close (violating the
concept of ‘full-flow’) and upon cycling of the device, very low
or even zero readings are detected (because there is no resistance
to extraction). Although potentially very useful, indiscriminate
use of full-flow penetrometers is inadvisable.
Mahmoodzadeh and Randolph (2014) suggest a similar
relationship between normalised resistance and normalised
penetration for the ball penetrometer as for a cone penetrometer.
Relevant values of ch may be determined directly from dissipation
tests carried out using the ball penetrometer as most ball
penetrometers include a pore pressure sensor. However, the
location of this sensor is key, as sometimes it is located at mid-
height (referred to as the equator location), sometimes on the face
of the ball and sometimes on the shaft, the latter being most
similar to the location on a typical cone penetrometer. Using data
from Mahmoodzadeh and Randolph (2014), a suitable penetration
rate can be determined to ensure fully undrained penetration
occurs with the ball penetrometer.
5.4 Pressuremeter testing in tailings.
Pressuremeter tests (PMT) are conducted by expanding a
membrane against the walls of a borehole. There are three types
of PMTs: 1) prebored (PBPMT), in which the borehole is first
made and the PMT device subsequently introduced; 2) self-boring
(SBPMT), in which boring and device insertion occur
simultaneously; and 3) full-displacement (FDPMT), in which the
PMT device is fitted with a cone that allows it to be pushed into
the ground (Mair and Wood, 1987).
PMTs have been used in a variety of ways to characterise both
deposited tailings and the underlying foundation soils. Its
applications include assessment of the friction angle (Gomes et al.
2003, Chakraborty et al. 2020), flow slide potential (Debasis et al.
2002), state parameter (Wride et al. 2000, Ghafghazi and Shuttle
2008), elastic moduli (Morgenstern et al. 2015, Chakraborty et al.
2020), and lateral stress (Graham and Jefferies 1986, Wride et al.
2000, Chakraborty et al. 2020, Shuttle et al. 2022). Clearly some
advantage has been taken of the potential of pressuremeter tests to
better characterise TSFs. However, our consultations with
industry practitioners show that, overall, the use of PMTs in TSFs
remains limited. This is also reflected by the fact that the post-
failure geotechnical investigations of the embankment at CADIA
Valley Operations (Jefferies et al. 2019) and of the Brumadinho
dam (Robertson et al. 2019) did not consider PMT results. The
question as to whether PMTs can contribute more to the
geotechnical characterisation of TSFs thus remains open.
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As noted above, measurement of lateral stresses is one of the
applications of the PMT. Such measurements are necessary for a
thorough interpretation of the CPT (Jefferies and Been, 2015).
Furthermore, the relative magnitudes of the vertical and horizontal
effective stresses determine the levels of deviatoric stress which,
in turn, affects stability. Despite the importance of measuring
lateral stresses, a review of the literature and consultations with
geotechnical practitioners suggest that such measurements are
seldom made. Indeed, Graham (1992) loosely cited Jamiolkowski
as saying that horizontal stress measurements are the 'black hole'
of geotechnical engineering. Fast forward to 2022 and horizontal
stresses remain as elusive as ever.
Figure 54 presents plots of v vs h corresponding to an oil
sand tailings deposit (Shuttle et al. 2022). Given their similarities
with tailings deposits, measurements in hydraulic sand fills are
also included in Figure 54 (Graham and Jefferies 1986). All h
measurements in the figure were performed with a SBPMT. The
figure shows that although it is standard practice to assume a
constant value of the h/ v ratio throughout an entire tailings
deposit (e.g. Jamiolkowski and Masella 2015, Lipinski and
Wdowska 2018, Robertson et al. 2019), significant deviations can
occur from the mean value.
Horizontal effective stress 'h [kPa]
0 200 400 600 800
0
Vertical effective stress 'v [kPa]
Hydraulic fill (Alerk)
50 Hydraulic fill (Amauligak)
Oil sand tailings (dyke crest)
100 Oil sand tailings (beach)
150
200
250
300
Figure 54. h v in hydraulically placed oilsand tailings and
other hydraulic fills. Data sources: Shuttle et al. (2022) and Graham and
Jefferies (1986).
Further to the scarcity of lateral stress measurements in
tailings reported in the literature, part of the problem appears to
lie with the inherent difficulty of measuring lateral stress in soils
in general. There are significant uncertainties in assessing the in-
situ value of h from PMT results as well as from other in-situ
tests such as the Iowa stepped blade, and the flat dilatometer
(Marchetti 2015, Mair and Wood 1987). The uncertainties stem
from the fact that lateral stresses are very sensitive to the
disturbance that necessarily results from the insertion of any kind
of measurement probe into a formed soil. That is, the act of
measuring alters the parameter being measured. Engineered fills
such as tailings deposits allow the positioning of a measurement
probe, such as a total stress cell, before depositing the tailings,
thus eliminating the need for disturbance to make the
measurement (e.g. Chen et al. 2021). However, even in this case,
the effect of the relative stiffness of the stress cell and the soil
results in the measurement of lateral stresses not being
straightforward (Clayton and Bica, 1993).
5.5 Relative density as a screening tool.
Relative density, RD, is defined as
= (33)
where emax and emin are the maximum and minimum void ratios
determined using standard laboratory testing techniques and e is
the void ratio of interest (e.g. the in-situ void ratio Therefore, a
min
emax). Relative density is used universally as a state
index parameter for non-plastic soils, despite its inability to
normalise mechanical response. However, it is not a good
indicator of behaviour for silts. As discussed by Shuttle and
Jefferies (1998), one sand (Hilton Mines sand) produced the same
CPT resistance at 60% relative density as another sand (Monterey
sand) at 40% relative density, both sands having a few percent
fines.
The limitations of relative density as an indicator of state are
further illustrated by the results presented by Liu and Lehane
(2012). They report results from centrifuge tests on four uniformly
graded silica materials, each with its own characteristic particle
shape (one being spherical glass beads, SGB). A result is shown
in Figure 55 for three of the four materials tested, which is for a
centrifuge test carried out at 50g with samples prepared at a
relative density of 20% (i.e. expected to be contractive). As can
be seen, there are significant differences, with the cone resistance
increasing with the degree of angularity of the particles. Using the
terminology discussed in Section 3.2, the roundness, R, and
sphericity, S, are summarised in Table 3, together with index
properties that illustrate the otherwise similar nature of the three
materials tested.
Figure 55. CPT end resistances (qc) observed in centrifuge tests run at 50g
on samples prepared at 20% relative density. Republished with permission
of ICE Publishing, from Liu and Lehane (2012); permission conveyed
through Copyright Clearance Center, Inc. Table 3. Properties of three
materials used in centrifuge tests (after Liu and Lehane, 2012).
Table 3. Properties of three materials used in centrifuge tests (after Liu
and Lehane, 2012).
Material d50 (mm) Cu R S
SGB 0.12 1.05 1 1
UWA sand 0.15 1.4 0.7 0.62
GB1 0.45 1.13 0.62 0.54
Considering Figure 55, below about 50mm (equivalent to
2.5m depth at full scale), there is more than 100% difference
between the SGB and GB1 materials, with the natural UWA sand
material also being substantially lower than the GB1 results.
Similar differences were seen in centrifuge tests run at 100g and
200g.
Cone tip resistance can therefore be a poor indicator of in-situ
state if a crude framework such as relative density is used. It is
too dependent on unquantified influences, such as particle shape
and compressibility. As argued in several places in this paper, we
156
caution against unquestioning adherence to the use of empirical
correlations when determining tailings design parameters, such as
state and strength. Empirical correlations remain useful as
screening tools and as a reality check, but our strong preference is
for a mechanics-based approach rather than slavish use of
empirical correlations. The techniques for deriving correlations
between CPTu results and soil state, as advocated by Shuttle and
Cunning (2007) and Shuttle and Jefferies (2016) amongst others,
implicitly account for influences of aspects such as particle shape.
For example, the Norsand parameters that are used to calculate
limiting pressures from spherical cavity expansion solutions
(which are subsequently used to estimate the relationship between
normalised tip resistance and the state parameter) will be
influenced by particle shape. Predictions of limiting cavity
expansion pressure will therefore also change with changes in
constitutive model input data.
6 MODES OF FAILURE.
There are a variety of potential failure modes to consider when
evaluating the stability of both proposed and existing TSFs. To
systemize risk analysis and operation of TSFs, failure modes are
generally divided into categories. These categories can be
different from site to site. However, the following generalized
eight failure modes are commonly used:
Overtopping
Slope instability
Internal erosion
External erosion
Foundation
Environmental
Human
Other
A risk analysis considering relevant failure modes can, and
should, be used as a basis for the design of surveillance and
monitoring programs. The aim is to be able to detect a potential
failure scenario as well as initiate and execute measures to prevent
failure. Below follows a description of what each failure mode
suggested here may comprise.
6.1 Overtopping
Water management, e.g. water balance and management of
extreme flows, is crucial for all dam structures. Tailings dams
typically have a smaller catchment area compared to water dams,
but water discharge may be restricted due to water quality, for
example, leading to positive water balances. There are, however,
instances, where a TSF has a significant upstream catchment, such
as valley TSFs, or facilities storing high or extreme rainfall events
(e.g. facilities without spillway) and these facilities may be more
susceptible to overtopping. Freeboard needs to be designed to
retain extreme design floods and water management under
extreme conditions should preferably be automatic, i.e. not require
human intervention.
Examples of overtopping failures include Baia Mare,
Rumania in 2000 and Merriespruit, South Africa in 1994.
6.2 Slope instability
Material properties in the structural zone of the dam, pore
pressures, deformations and static and seismic loads affect TSF
slope stability. Deposition practices, consolidation, compaction
and drainage affect the strength of the tailings and must be
understood to correctly estimate material properties. The
elevation of the phreatic surface is equally important, and a
realistic assessment is crucial. As many tailings dams (typically
upstream dams) are drained structures (or at least designed to be
so) the pore pressure is not necessarily hydrostatic. In such cases,
the use of piezometers to adequately assess the porewater pressure
regime is an absolute necessity. Seismic hazard/response analyses
also need to be done correctly, as dealt with in detail in section
8.2.
The thinner the structural zone (i.e. the narrower the beach of
unsaturated tailings) the more sensitive the dam becomes to
potential instability. This is particularly relevant in upstream
dams, where the operation of the dam has a significant impact on
the width of the structural zone.
Examples of slope instability failures include Brumadinho, Brazil
in 2019 and Fundao, also Brazil, in 2015.
6.3 Internal erosion (piping)
Seepage occurs through virtually all TSFs and if the hydraulic
gradient is high enough, the water may erode fine particles if
adequate filters are not in place. Ongoing erosion can lead to
piping, and an open channel may develop from the water pond to
the downstream side through the dam and/or the foundation and
ultimately cause failure.
An example of internal erosion failure is Omai, Guyana in
1992.
6.4 External erosion
Extreme floods in adjacent streams may erode the toe of the dam.
High intensity rainfall may also cause erosion on the downstream
slope. Both external erosion events can potentially lead to dam
instability. If a large free water pond exists, or excessive wave
action occurs, it could possibly cause erosion and instability of the
upstream slope leading to overtopping.
6.5 Foundation
Instability of the foundation can be due to undetected weak layers,
incorrect strength assumptions, pore pressure generation, artesian
water pressures and/or incorrect seismic hazard/response analysis.
Complex geologic formations (including clay layers, weak
bedding planes etc.) increase the risk as well as soils that may be
sensitive to static and/or cyclic liquefaction, such as loose
granular soils.
157
Examples of foundation failures are Aznalcollar, Spain in
1997, Mount Polley, Canada in 2016 and Cadia, Australia in 2018.
6.6 Environmental
Environmental failure modes include situations where the facility
exceeds the expected impact on the environment. For example,
dust generation, uncontrolled seepage, emergency release of water
during extreme events, limited settling time before discharge
causing increased levels of contaminants in the discharge water
etc. This failure mode, typically, does not lead to catastrophic
failures such as a dam breach, but is nevertheless important to
consider.
6.7 Human
Intervention, or lack of intervention, by mine personnel may cause
a critical situation, worsen the situation or in worst case a dam
failure. Education, training and emergency preparedness planning
is therefore crucial.
6.8 Other
This includes failure modes not categorized above. For example,
natural hazards including rock, soil, or snow avalanches into the
TSF impoundment leading to overtopping, or instability of the
dam.
Actual failures show that a combination of factors is normally
the reason for failure, and in hindsight the cause of the failure
could, in many cases, have been predicted. (ICOLD, 2001).
6.9 Trigger mechanisms.
In order to initiate a failure mode a trigger is required. Figure 56
shows a number of different triggers, such as: 1) high pond water
levels, 2) inhomogeneous tailings mass, 3) low density in the
tailings mass, 4) heavy rain, 5) low permeability layers in the
structural zone, 6) weak zones in the foundation and 7) material
transport in the dam.
Figure 56. Mechanisms and processes that contribute to the failure of
tailings dams. From Santamarina et al. (2019). Reprinted with permission
from AAAS.
6.10 Lessons from forensic investigations of TSF failures
As discussed in section 9 (monitoring), various combinations of
instrumentation and visual observation may be utilised to gain
advance warning of one or more of the above generic failure
modes developing. However, failures of actual TSFs provide
additional lessons on failure modes that are sometimes overlooked
or not anticipated. It is therefore useful to evaluate the likelihood
of a particular failure mode occurring, but it is not a substitute for
a good understanding of geotechnical engineering principles. A
few of the recent TSF failures and associated forensic
investigations illustrate this point.
6.10.1 The Fundão TSF failure in Brazil in 2015
On the afternoon of 5th November 2015, the Fundão TSF in
Brazil collapsed. The resulting flowslide of 32 million m3 of
tailings flowed for some 660 km downstream (after entering a
river), engulfing the town of Bento Rodrigues and resulting in 19
known fatalities. It was probably the worst industrial accident in
Brazil until that time.
The Fundão TSF was a cross-valley embankment that abutted
natural slopes on either end. The original plan was to deposit
sandy tailings behind a compacted earthfill starter dam and then
raise the TSF height through a sequence of upstream raises.
Deposition of sandy tailings from the embankment crest was to
continue while deposition of a separate tailings stream, consisting
of finer, clay-like tailings, often referred to as ‘slimes’, took place.
The intention was to use the deposited sand tailings to retain the
slimes, maintaining a wide zone of free-draining sands adjacent to
the embankment. This goal is consistent with good practice when
operating upstream TSFs, i.e. maintaining a large, well-drained
and unsaturated tailings beach adjacent to the perimeter
embankments. Unfortunately, this design intent was not adhered
to.
6.10.1.1 Findings from the forensic investigation
At the time of the failure there were several workers either on the
slope of the embankment or on the embankment abutments. From
the various eyewitness accounts, Morgenstern et al. (2016)
reported the following sequence of events:
On the afternoon of the failure, November 5th,
2015,
several workers were on the facility and in a position to see
along the length of the embankment crest. The first thing
noticed by many workers was a cloud of dust rising from
the left (looking downstream) abutment.
A worker reported seeing waves developing in the central
portion of the reservoir, accompanied by cracks forming
on the left side and blocks of sand moving up and down on
the left abutment setback.
Another worker saw a crack open along the crest of a step-
in embankment that had been constructed adjacent to the
left abutment, propagating in both directions.
At another location, workers experienced an avalanche of
mud-like tailings cascading down from the left abutment.
Other observers reported seeing a sudden jet of dirty water
“explode” out of an underdrain.
A worker standing on the tailings beach reported the
ground begin to move beneath him and crack around him,
detaching from the step-in slope and moving downstream.
The report by Morgenstern et al. (2016) contains additional
eyewitness accounts, providing an excellent timeline of events as
they unfolded. Only the above observations, which were the first
in a sequence of many, are included here to illustrate a specific
point. At Fundão it is clear the failure evolved over a few minutes.
Initiating an Emergency Response Plan (ERP) was not possible.
Some workers on the TSF managed to scramble to safety, but
unfortunately, others did not. Additionally, communities
158
downstream of the TSF received inadequate warning of the
developing failure.
Morgenstern et al. (2016) present an in-depth forensic
evaluation of the Fundão failure, working through several
hypothetical failure modes and steadily eliminating all but one
based on the weight of evidence gathered. The process followed
is a lesson in itself; some forensic investigations appear to have
rushed into deciding on a particular failure mode explanation
without working through a process of elimination as Morgenstern
and his co-investigators did. The failure was attributed to lateral
extrusion of slimes at depth causing horizontal extension (and thus
lateral unloading) of overlying, loosely placed sand tailings.
Given these sandy tailings were extremely brittle, the amount of
strain required to initiate collapse due to static liquefaction was
small. It appears these movements certainly did not manifest as
cracks on the surface of the TSF or noticeable bulging at the toe
of the TSF.
6.10.1.2 Lateral extrusion as a failure mechanism.
Figure 57 shows a lateral extrusion type stress path, such as may
have been experienced in the brittle sandy tailings overlying the
ductile slimes. Strain compatibility between the slimes and the
sandy tailings as the slimes deforms causes a reduction in
horizontal stress but the vertical total stress remains unaltered; the
resulting stress changes produce a decrease in mean effective
stress and an increase in deviator stress. Failure is triggered at
point A, well below the effective stress failure envelope.
Figure 57. Illustration of lateral extrusion stress path showing triggering
of failure when instability line is reached.
Prior to the failure developing, pore pressure measurements
were stable; loading appeared to be proceeding in a drained
fashion, i.e. no generation of excess pore water pressure.
However, when failure was triggered, the failure was undrained.
Shear-induced excess pore pressures in the contractive sandy
tailings could not be sufficiently quickly dissipated, despite the
tailings having a relatively high permeability. It illustrates the
dangers of adopting an attitude that was still widespread in the
tailings community at the time, that ‘sands cannot fail undrained’.
With the enormous increase in research activity over the five years
since Fundão, hopefully attitudes such as this no longer exist and
the risks posed by brittle tailings are now acknowledged.
6.10.2 The Feijão TSF failure in Brazil in 2019.
The Feijão failure, which occurred on 25th January 2019, has
already been mentioned in the introduction to this paper. It caused
over 260 fatalities, many of them members of downstream
communities. The graphic video that emerged of the failure and
its immediate aftermath has doubtless been viewed many millions
of times. It clearly demonstrates the suddenness with which the
failure occurred. A vast volume of the tailings was clearly brittle.
Failure of the TSF occurred at about 12:30 pm local time.
Unfortunately, this meant there were several people in a meal
room located a short distance downstream of the TSF when it
failed. The video footage shows the failure occurred over about
80% of the face of the TSF in only five seconds, with the release
of tailings occurring through a sequence of retrogressive failures
in only about five minutes. Once again, timeous implementation
of an ERP was not possible.
Unusually, the Feijão failure has seen two detailed forensic
investigations carried out by different investigators. The first of
these was commissioned by the TSF owners Vale and released in
December 2019 (Robertson et al, 2019). This report is referred to
as the Expert Panel Review (EPR) in following discussions. The
second report resulted from a Term of Cooperation signed by Vale
with the Federal Public Prosecutor’s Office (MPF) to contribute
to and collaborate with the authorities on a second, independent
forensic investigation. This second investigation was carried out
by the Centro Internacional de Métodos Numéricos (CIMNE) and
their report was released in August 2021 (CIMNE, 2021). This
will be referred to as the CIMNE report.
The Feijão TSF was built as an upstream valley impoundment
and raised in 15 stages over 37 years, starting in 1976. No wall
raises occurred after 2013 and tailings deposition ceased in 2016;
the facility was thus inactive at the time of the failure. The fourth
wall raise include a step-in, much like the portion of the Fundão
TSF referred to above.
6.10.2.1 Findings from the EPR forensic investigation
The EPR concluded that the sudden loss of strength and the
resulting failure w ere a result of a critical combination of
ongoing internal strains, i.e. creep, as well as a strength reduction
due to loss of suction in the (surface and near-surface) unsaturated
zone due to intense rainfall towards the end of 2018.
The EPR notes that operations allowed ponded water to get
close to the crest of the TSF at times, resulting in the deposition
of weak tailings near the crest, the above-mentioned step-in
resulting in upper portions of the slope being over weaker fine
tailings (slimes) and a lack of significant internal drainage
resulting in a persistently high phreatic surface. They also flag the
likelihood of bonding between tailings particles occurring due to
the iron content, and this bonding producing a stiff, but collapsible
structure which could manifest as a very brittle material if sheared
undrained.
6.10.2.2 Findings from the CIMNE forensic investigation
The CIMNE investigators commissioned additional laboratory
and field tests and undertook extensive, detailed numerical
modeling of the TSF. The CIMNE findings are very different from
those of the EPR and specifically discard both creep and bonding
as contributory causes of the failure.
Their report unequivocally identifies over-pressurisation of a
borehole on the day of the failure as the trigger mechanism that
resulted in the catastrophic failure that resulted. Problems
associated with attempted installation of horizontal drains in 2018
had been reported, with the compressor pressurising fluid during
drilling causing pressures of as much as 2MPa. In the CIMNE
study they triggered (numerically) a very localised pore water
over pressurisation at the tip of the borehole that was being drilled
on the day of the failure (borehole B1-SM-13). This overpressure
propagated throughout the TSF perimeter zone, resulting in a very
rapid progressive failure. The predicted locations of rapid and
significant movement match closely the observations provided by
the video footage referred to previously. Interestingly, they tried
triggering a failure by over-pressurising other boreholes that had
been installed, but in all these cases the zone of overpressure
remained relatively localised. In their concluding discussions they
suggest, “It is likely the occurrence of liquefaction and its
subsequent uncontrolled propagation requires a particularly
unfavourable combination of circumstances”. Perhaps we can
take some solace from this suggestion (but still not ignore risks
associated with brittle tailings).
159
6.10.2.3 Reconciling the EPR and CIMNE findings
The findings from the two forensic reports are very different and
sometimes contradictory. For example, CIMNE conclude, “The
set of numerical analyses performed lead to the conclusion that
the drilling of borehole B1-SM-13 is a potential trigger of the
liquefaction that caused the collapse of the dam” and furthermore,
“The analyses carried out have not been able to identify other
liquefaction triggers. In particular, the calculations performed
incorporating only the effects of enhanced rainfall and creep,
either alone or in combination, have not resulted in a general dam
failure”.
As noted earlier, EPR on the other hand attribute the failure to
a combination of creep and loss of suction due to rainfall.
Furthermore, they specifically discard borehole over-
pressurisation as a trigger, concluding, “The localized drilling of
the borehole on the day of the failure would not have triggered the
observed global failure of the dam, as confirmed by computer
simulations”.
Design engineers would, quite reasonably, be concerned
about this disparity in conclusions from the two forensic
investigations. Although the authors of the current paper have
personal opinions on which of the trigger mechanisms is most
plausible, we cannot comment in detail, not being privy to all the
available data and investigations. A rational approach to the
dilemma resulting from the different conclusions is perhaps to
adopt the approach suggested some time ago by Silvis and de
Groot (1995) and more recently by Morgenstern (2018), amongst
others, which is – if there are tailings that are liquefiable, assume
they will liquefy. Rather than trying to predict plausible trigger
mechanisms, simply assume liquefaction will be triggered.
Although this is certainly a seemingly logical suggestion, it comes
at a sometimes-substantial cost, for example when stabilising
buttresses are required to address stability under conditions of
assumed mobilised large-strain strengths (see Figure 33).
7 FIELD BEHAVIOUR AND ASSOCIATED MODELING.
7.1 Consolidation
Modeling of the field consolidation behavior of tailings serves
several purposes. It provides information on the storage capacity
of a tailings impoundment as well as the rate of rise of the
resulting tailings dam. Analyses also provide information on
spatial and temporal distributions of the void ratio and densities
within the impoundment. The information is then used to evaluate
both static and seismic stability of the resulting dam at various
stages of its construction. The void ratio distribution is also used
to establish the hydraulic conductivity values within the
impoundment to perform a realistic seepage analysis. Finally,
knowing the pre-closure void ratio distribution is essential to
evaluate long-term post closure settlements in magnitude and
rates. Detailed consolidation process modeling provides all these
distributions through a rational approach, rather than through
empirical correlations.
To gain an insight into the field behavior of tailings
consolidating under self-weight, several simple analyses are
presented. The first example is a 5 meter tall column filled with
tailings instantaneously. The material characteristics for the
analysis are presented in Figure 16 for both fine and coarse
grained tailings and the model parameters are listed in Table 4.
The material parameters of the fine tailings are representative of
highly compressible and plastic tailings such as some oil sand
tailings or kimberlite tailings. Conversely, the material parameters
of the coarse tailings are representative of low compressibility and
low plasticity tailings such as those characteristic of hard rock
mining. The analyses assume an impervious bottom boundary in
which settlement is caused by self-weight only.
Table 4. Parameters for finite strain modeling of consolidation example. change from a concave upward shape to a convex upward shape for both
fine and coarse tailings.
Parameter A B Z C (m/day) D Gs
(kPa)
7.2 Desiccation and creep
Fine tailings 8.00 -0.254 0.164 1.89x10-6 4.00 2.60
Coarse 1.48 -0.188 0.296 5.48x10-3 2.69 2.60 7.2.1 Desiccation
tailings Desiccation of tailings is widely acknowledged to improve the
mechanical characteristics of soils and tailings through suction-
Figure 58 presents the results of two analyses in terms of induced overconsolidation (Daliri et al. 2014). However,
column heights versus time for both fine and coarse grained experimental data that quantifies the magnitude of desiccation-
materials, for instantaneous filling. In both cases, an impervious induced suction as well as its effect on the mechanical response of
bottom boundary is assumed and the settlement is caused by the the tailings is relatively scarce. Efforts to conduct real-time
self-weight only. The settlement rate and the time to consolidated monitoring of the development of suction pressures at a South
state is controlled by the hydraulic conductivity values for the two African platinum tailings dam have been recently reported
tailings, while the ultimate height is controlled by their (Basson et al. 2021). The approach partly relied on the use of low-
compressibility characteristics. The physical processes cost tensiometers that enable the measurement of negative pore
controlling the consolidation behavior upon deposition are better water pressures as low as -1.7 MPa (Jacobsz 2019). Regarding
understood by looking at the void ratio distributions at selected laboratory assessments of the beneficial effects of desiccation on
times presented in Figure 59. strength, Daliri et al. (2014) reported improvements under both
monotonic and cyclic loading. Daliri et al. (2014) also noted that
mechanical overconsolidation yielded a mechanical response that
was qualitatively different from that of desiccation-induced
overconsolidation. Importantly, they cautioned that simulating
desiccation through mechanical overconsolidation can result in
unconservative designs. More recently, results from monotonic
direct simple shear tests on undisturbed samples of desiccated
tailings have quantified the increase in the peak undrained
strength ratio (Su v) induced by desiccation (Reid et al. 2018a,
b). The results from Reid et al. allow an estimation of the
preconsolidation vertical effective stress beyond which the
benefits of desiccation-induced overconsolidation become
negligible. Their results also highlight that the effective
preconsolidation pressure is lower in silt-sized materials (e.g. gold
tailings) than in more clayey materials (e.g. iron ore and bauxite
tailings) (Reid et al. 2018b).
To demonstrate the desiccation process we analyze the same
5 m columns (i.e. initially saturated and with an impervious
bottom boundary) that were previously considered when
Figure 58. Height vs time for 5m tall columns of fine and coarse tailings. discussing the consolidation procedure. Again, both fine and
coarse tailings are considered (Table 4) and an evaporation rate of
0.3 mm/day is assumed that eventually leads to the development
of capillary forces. Figure 60 presents the height vs time
relationships for both the fine and coarse tailings, while Figure 61
presents the void ratio distributions at various times during the
consolidation and desiccation process.

Figure 59. Void ratio distributions at selected times for 5 m tall columns
of fine and coarse tailings.

The consolidation process starts at the bottom boundary, despite it being

impervious. Initially an upward hydraulic gradient equal to the critical
gradient for the material is created in the slurry. The upward flow
maintains the condition of zero effective stress and a uniform void ratio Figure 60. Height vs time for 5 m tall columns of fine and coarse tailings
throughout the column, except at the impervious bottom where the flow subjected to surface evaporation at 3 mm/day.
rate is zero. This condition persists in the consolidating column until the
consolidation front reaches the top of the column. During that time, the
surface settlement rate is also constant and equal to the critical gradient
multiplied by the hydraulic conductivity of the slurry at the initial void
ratio. In a settling column, this initial velocity can be used to calculate the
hydraulic conductivity at the beginning of the consolidation process. Once
the consolidating front reaches the top boundary, the void ratio profiles

160
 profile develops above that point. Figures 62 and 63 present the
results of such an analysis for both fine and coarse tailings.

Figure 61. Void ratio distributions at selected times for 5 m tall columns Figure 62. Height vs time for 5m tall columns of fine and coarse tailings
of fine and coarse tailings subjected to surface evaporation at 3 mm/day. subjected to drainage to atmospheric pressure at the bottom.

Comparing Figures 58 with 60 and 59 with 61, several

observations can be made. Firstly, in the initial stages of 5
Fine tailings - 20 days Fine tailings - 100 days
consolidation, there is no difference in settlement rates and void 4.5
Fine tailings -150 days Fine tailings - 350 days
Fine tailings 500 days Fine tailings - 700 days
ratio distributions between the self-weight consolidation and self- Fine tailings 1000 days Fine tailings 4344 days
weight consolidation with surface evaporation of 3 mm/day. 4 Coarse tailings 20 days
Coarse tailings - 60 days
Coarse tailings - 40 days
Coarse tailings - 80 days
During that time, the self-weight consolidation expels the pore 3.5 Coarse tailings 100 days Coarse tailings - 559 days
water, for both materials, at a rate that is higher than the
evaporation rate. Thus, evaporation has no effect on the tailings’ 3
Height (m)

behavior. Once the settlement rate drops below the evaporation 2.5
rate the desiccation process starts, and evaporation “pulls” water
out at the constant rate of 3 mm/day and consequently the 2

settlement rate equals the evaporation rate. The time at which the 1.5
evaporation rate becomes larger than the settlement rate due to
1
self-weight consolidation can be discerned from the change in
slope in the curves of Figure 60. For the fine tailings, this change 0.5

in slope occurs at approximately 230 days, whereas for the coarse

0
tailings it occurs at approximately 90 days. The settlement process 0 2 4 6 8 10 12 14
continues until the shrinkage limit is reached, at which point the Void ratio

material starts desaturating and the evaporation efficiency

significantly decreases or completely stops. After the desiccation Figure 63. Void ratio distributions at selected times for 5 m tall columns
process starts, the void ratios at the tailings surface reduce due to of fine and coarse tailings subjected to drainage to atmospheric pressure
suction development and a crust is formed. The crust thickness at the bottom.
depends on the relative values of hydraulic conductivity at the
tailings surface and the evaporation rate. The higher the The results show larger settlements due to larger increases in the
evaporation rate relative to the hydraulic conductivity, the thinner effective stresses when compared to self-weight consolidation
the crust. This is seen in Figure 61 where a distinct desiccated only. The void ratio profiles do not show the development of a
crust is formed for fine-grained material with lower hydraulic distinct crust at the surface as the suction development is more
conductivity, while for coarser material with higher hydraulic gradual than in the case of high evaporation rate at the surface.
conductivity the same evaporation rate produces more uniform
drying with depth. 7.2.2 Creep
The desiccation process also leads to tension crack To demonstrate the creep effect on the settlement and void ratio
development at the tailings surface due to the release of tensile distributions of a bentonite slurry (a highly plastic material) a five-
stresses created in the desiccation process. The thinner the crust, meter high column, impervious at the bottom, was analyzed using
the shallower and more closely spaced the cracks, while deeper the CONCREEP model (Gjerapic et al 2021). The results are
and broader spaced cracks are observed when the evaporation rate presented in Figures 64 to 66. Figure 64 compares the height-time
is lower relative to the hydraulic conductivity of tailings. Detailed results for both consolidation with creep and consolidation-only
description of the cracking process analysis is beyond the scope predictions for the material. The time-dependent compressibility
of the present paper, but a rational experimental approach and relations are presented in Figure 18 and the corresponding model
numerical model development has been presented elsewhere parameters are listed in Table 5.
(Abu-Hejleh and Znidarcic 1995, Oliveira-Filho, 1998 and Yao et
al 2002). Table 5. CONCREEP model parameters for a bentonite slurry.
Tailings can be subjected to suction stress development upon Creep and compressibility Hydraulic conductivity Specific Initial
deposition even in the absence of significant evaporation at the (m/day) gravity void ratio
(kPa)
surface. If the surface water is readily removed from the tailings
and the bottom boundary is drained to the atmosphere (i.e. the A0
Af
17.47
10.53
B0
Bf
-0.44
-0.35
Z0
Zf
0.29
0.16
C 2.62x10-7

2.40 30
bottom boundary constitutes a water table), suction develops near a1 3.00 b1 1.50 z1 7.00
D 2.43
a2 -0.50 b2 -0.30 z2 -0.60
the tailings surface as the groundwater level is gradually lowered
below the surface. Ultimately, the groundwater level reaches the
water table at the bottom of the deposit and a hydrostatic suction

161

Figure 64. Height vs time for a 5m tall column of a bentonite slurry
analyzed with and without creep effects.
As expected, the creep effect causes larger settlement than
consolidation only. However, the initial rate of settlement,
controlled by hydraulic conductivity, is the same in both analyses
and the creep effect cannot be separated from consolidation only,
for the first sixty years. Figures 65 and 66 present the
corresponding void ratio distributions at selected times for both
consolidation and creep, and consolidation only analyses. Again,
there is very little difference in the void ratio distributions up to
sixty-one years, but the creep effects are significant beyond that
point. The creep effects are especially noticeable at the low
effective stress range (shallower depth) as expected from the time
dependent compressibility curves in Figure 18 for which the creep
effect diminishes with the increase in the effective stress. For this
example, the maximum effective stress at the bottom is 2.26 kPa,
creating a creep induced reduction in void ratio from the effective
stress induced ultimate value of 11.6 to the value of 7.78 after
2740 years.
Figure 65. Void ratio distributions for a 5m tall column of a bentonite
slurry with creep.
Figure 66. Void ratio distributions for a 5m tall column of a bentonite
slurry without creep.
162
7.3 Tailings storage facility filling analyses.
The nonlinear finite strain consolidation theory developed by
Gibson et al (1967) is a one-dimensional theory with spatial
variability in the vertical direction. Although it rigorously treats
the consolidation process in slurries, it cannot account for the
three-dimensional nature of tailings storage facilities. However, it
should be recognized that any water drainage in horizontal
directions in such facilities will be minimal as the depth to the area
ratio is very small in all cases. Even when the depth of such
facilities exceeds a few hundred meters, the horizontal lengths are
several times larger and any horizontal flow due to consolidation
can be neglected. Still, the three-dimensional geometry must
sometimes be considered, as the depth of tailings will vary across
the facility. Gjerapic et al (2008) developed an analysis algorithm
in which a tailings facility was discretized into several columns
and filling of each column analyzed using the one-dimensional
nonlinear finite strain consolidation theory. The algorithm
accounts for the interaction of the adjacent columns during the
filling process in the sense that while they are filled
simultaneously, the taller column will undergo larger settlement
and will require more tailings to be placed in it to maintain a
leveled tailings surface. The algorithm is implemented into the
numerical model FILCON that provides the filling curves for
several scenarios of the filling process. It first provides the tailings
elevations if the tailings are deposited at an initial solids content
and no water is “bled” from the slurry in the sedimentation
process. Thus, this is the filling rate for the case when an
incompressible liquid is filling the facility. The second filling
curve presents the case when the solids content in the slurry is
increased instantaneously due to sedimentation and the freed
water is bled out and removed from the facility. For that case, any
consolidation beyond the zero effective stress void ratio is
neglected. The third curve in the output presents the actual
projected tailings elevations under the given production rate that
accounts for simultaneous filling and consolidation. Finally, the
filling curve for a 100% consolidated tailings is also given. That
would be a filling scenario when the production rate is so slow
that any deposited tailings instantaneously consolidates under its
self weight.
Figure 67 presents an example of elevation-area curve for a
tailings storage facility that is discretized into four columns to
perform the filling analysis. The total volumes for the actual
facility and the discretized model are identical at each discretized
elevation.
Figure 67. Elevation-area data for a tailings storage facility discretized into
four columns with equivalent volume for filling analyses.
Figure 68 presents the results of the filling analysis assuming
an ore production rate of 2000 tonnes per day and the tailings
disposal at an initial solids content of 10% (initial void ratio of
23.4). The material characteristics are given in Table 4 for Fine
Tailings. The results show that the 120m deep facility would be
filled in about 1800 days if no water is bled out during filling,
while it would take about 3200 days to reach maximum elevation
if all the water released in the sedimentation process is removed
simultaneously. When accounting for self-weight consolidation
during filling, the top elevation will be reached in about 4350
days. If the production rate were much lower so that the tailings
could completely consolidate under its own weight during filling,
the facility could accommodate 2.8 times larger tailings volume
(12200 days/4350 days). This is clearly seen from the post-filling
settlement curve for the given production rate where the ultimate
tailings height due to the self-weight only is significantly reduced.
For this example, the ultimate height was 41.4 meters that would
be reached after two thousand years.
Figure 68. Filling analyses results for the tailings storage facility
discretized into four columns.
7.4. Seepage
The prime focus of seepage analyses of TSFs is usually the
potential environmental impacts of contaminated water on water
resources. This paper does not discuss these issues as it focuses
on geotechnical aspects of tailings behaviour. However, correct
seepage analyses are also crucial for rational evaluation of
geotechnical stability. Shear strength of tailings (whether
characterised in terms of effective stresses or through undrained
stability analyses) is dictated by effective stresses; correct
evaluation of pore water pressures is thus critical. As these are
usually obtained by estimates of the phreatic surface evaluated
through interpretation of spot measurements of pore pressure (e.g.
using piezometers), assumptions inherent to such interpretations
should be challenged and verified.
As discussed in Section 9, pore water pressures are usually
measured at specific locations (and depths) using electronic
piezometers, which are increasingly being automated rather than
requiring manual readings. The pressures are converted to head,
i.e. water level, to define the location of the phreatic surface.
Somewhat inexplicably, at many TSFs the authors are aware of, a
single piezometer is installed along a given cross-section. This is
of no use when trying to compare predicted versus measured pore
pressure profiles. There are some TSFs where two piezometers are
installed on a given cross-section and, albeit rarely, sometimes
three or more. When two piezometers are available for a given
cross-section, it is common for the phreatic surface to be derived
by simply joining the inferred water levels. As noted by Gjerapic
and Znidarcic (2020), this is a fundamentally incorrect approach
as it violates continuity of mass. They illustrate the implications
further by taking two approaches to the interpretation of the
phreatic surface shape; these were the commonly-used linear
interpolation and an interpretation based on seepage analyses that
predicted pore pressures that matched the measured values. The
two approaches provide distinctly different outcomes, with the
linear approach underestimating the height of the phreatic surface
and thus overestimating effective stresses and strength. The
163
differences were particularly acute near the toe of the slope,
exactly where failures often initiate.
The analyses presented by Gjerapic and Znidarcic (2020)
assumed isotropic hydraulic conductivity values for the various
layers in the analysis. Beckett et al (2016) compared phreatic
surface profiles measured in geotechnical centrifuge tests with
those predicted using standard software (SEEP/W). The soil
chosen for testing was a relatively uniform silt (coefficient of
uniformity of five) and thus almost incompressible above about
25kPa vertical effective stress. As shown in Figure 69, the
agreement was generally extremely good for all the equilibrium
water levels that were set in the constant head reservoir on the left
of the centrifuge.
Figure 69. Predicted and measured results for steady state seepage, after
Beckett et al (2016).
The good correlation observed in Figure 69 gives confidence
in using standard software for seepage analyses. However, the
conditions analysed in this comparison were idealised, in
particular the isotropic nature of hydraulic conductivity. However,
TSFs, as many natural soils, may have anisotropic and
heterogeneous hydraulic conductivity characteristics. This is
partly due to effects of particle shape (e.g. more clayey tailings
will have plate-like particles rather than being bulky, resulting in
particle fabric governed by settling conditions) and partly due to
flow conditions on a tailings beach, where meandering flow
produces variable rates of particle deposition. True hydraulic
conditions may thus sometimes best be characterised as
anisotropic (higher horizontal hydraulic conductivity).
Furthermore, where tailings compressibility is significant, it is
necessary to characterise a reduction in hydraulic conductivity
with depth, as illustrated previously in Figure 16. Another often-
overlooked factor is the effect on hydraulic conductivity of
particle segregation during flow down a beach. Blight (1997)
illustrates this effect, where hydraulic conductivity decreases
exponentially down the beach according to the observed decrease
in particle size. The resulting phreatic surface, when compared
with a phreatic surface derived from assumptions of homogeneous
hydraulic conductivity was starkly different, as illustrated in
Figure 70.

Figure 70. Comparison of phreatic surface resulting from assumption of
homogeneous, isotropic hydraulic conductivity with assumption that
hydraulic conductivity decreases exponentially down the beach.
Republished with permission of ICE Publishing, from Blight (1994);
permission conveyed through Copyright Clearance Center, Inc.
In Figure 70, the assumption of isotropic permeability
produces a clear overestimate of the phreatic surface height and
thus underestimate of effective stress and strength. Although this
may be a conservative outcome, it is surely no way to design
major structures, i.e. blind faith in implied conservatism. It also
illustrates the folly of trying to fit a seepage model that is based
on assumptions of homogeneous, isotropic hydraulic conductivity
to measured pore water pressures of a system that is more akin to
the exponential relationship evaluated in Figure 70.
Another critical aspect of seepage analyses is the presence of
unsaturated zones within TSFs and the associated reduction in
hydraulic conductivity. While the presence of unsaturated zones
might in some instances improve the stability of tailings (as
suction increases effective stress and thus shear strength), seepage
of the pore-water towards downstream slopes will cause the
initially unsaturated zones to re-saturate and create zones with
entrapped air. The effects of air entrapment on hydraulic
conductivity in the zones of positive pore-water pressures have
been studied and reported by Hwang (1999, 2002), Bicalho
(1999), Bicalho et al (2011) and Lee (2011). The air entrapment
creates zones of reduced hydraulic conductivity, especially in the
areas where pore-water pressure is lower near the phreatic line and
towards a downstream slope. This lower hydraulic conductivity in
turn restricts the pore-water flow and increases the phreatic line
especially near downstream slopes of TSFs. Collins (1997) and
Collins and Znidarcic (2004) demonstrated the importance of
accounting for unsaturated seepage conditions when analysing
rain infiltration and its effects on triggering landslides. Similar
mechanisms may affect the stability of TSFs.
We suggest that a great deal more attention needs to be placed
on rational seepage analyses, taking account of measurable
hydraulic conductivity variations, including anisotropy and
unsaturated conditions, where possible. This is not a trivial
expectation, but enormous attention to aspects such as in-situ
strength and state characterisation have greatly improved current
practice; perhaps it is time similar attention was paid to improving
seepage predictions and interpretations of in-situ measurements.
7.5 Crust formation.
The salinity of tailings water in most TSFs is generally relatively
low. However, there are many operations where water salinity is
extremely high, an excellent example being many mining
operations in the Western Australian goldfields, where salinity
may be as high as 300 g/l total dissolved solids. Other examples
include many process residues, such as bauxite red mud, which
also have high process water salinities.
The key concern with high salinity tailings water is the
inhibition of evaporation. Newson and Fahey (1998) reported on
an extensive study of various mining operations in Western
Australia, with a prime focus being on effects of evaporation from
164
saline tailings. They found that with inhibited evaporation,
tailings consolidation was due to self-weight consolidation alone.
This invariably results in only low densities being achieved and
consolidation may take extremely long. Initial evaporation from
newly deposited tailings occurs through loss of pure water, often
resulting in precipitation of a distinct salt crust on the tailings
surface responsible for inhibiting further evaporation. The top
layer of the deposit does not achieve any significant strength
under such circumstances, with tailings below the crust remaining
at an extremely high water content.
With relatively fresh water, diligent management of
deposition layer thickness and cycle time can produce dense
tailings. However, even relatively moderate levels of salinity in
the tailings water can cause actual evaporation rates to fall
significantly below the potential evaporation rate, Ep. This
reduced evaporation rate occurs even with an open body of saline
water and is exacerbated by crust formation. Firstly, the crust is
almost always white and the surface reflectivity (albedo) values
as high as 0.83 (Fujiyasu, 1997), meaning most of the incoming
solar radiation is reflected. Secondly, once the salt crust dries, it
acts somewhat like a surface mulch, meaning moisture flow must
occur in vapour form, further reducing the rate of evaporation.
The vastly constrained reduction in evaporation that occurs
due to crust formation means the tailings consolidate extremely
slowly and in-situ void ratios remain high for some time, a highly
undesirable scenario. Some mining operations have therefore
instituted intervention techniques to mechanically break up the
salt crust, often referred to as ‘mud farming’. Equipment has been
specifically developed for this role, such as amphiroles. Newson
and Fahey (1998) demonstrated the benefit of crust removal by
measuring actual evaporation rates both before and after salt crust
removal at a Western Australian gold mine TSF. Figure 71 shows
the results, and compares the measured evaporation rates with
measured pan evaporation rates (using tailings water). As can be
seen, the salt crust causes a decrease in evaporation of about 5 or
6 times, thus significantly reducing loss of water and strength
gain.
Figure 71. Measured evaporation at a gold mine TSF in Western Australia
(after Newson and Fahey, 1998).
7.6 Aging
The increase over time of the resistance and/or stiffness of soils
has been identified as aging (Mitchell et al., 1984; Skempton
1986; Schmertmann, 1991). Furthermore, it has also been
recognized that the resistance to liquefaction increases with the
age of the deposit (Kramer et., 1998; Leon et., 2006). In particular,
Troncoso and co-workers studied the effect of aging on the
liquefaction resistance of a copper tailings sand using cyclic
triaxial tests (Troncoso et al., 1988). This study was carried out
based on a series of cyclic triaxial tests performed on
‘‘undisturbed’’ samples retrieved from an old tailing dam at
different depths, which basically means different age of
deposition. Additionally, tests on fresh samples reconstituted in
the laboratory were conducted. The test results are summarized in
Figure 72, where the cyclic stress ratio required to produce a state
of softening with 5% double amplitude strain has been used as
criterion of liquefaction.
Figure 72. Curves of cyclic resistance ratio (a), and increase in cyclic
resistance with time (b), (after Troncoso et al., 1988).
It can be observed that cyclic resistance ratio tends to increase
by a factor of 3.5, 2.4 and 2 for the samples of 30, 5 and 1 years
of deposition, respectively. These experimental results indicate
that for stability analyses during the period of post closure, the
aging effect should be considered. This type of study can be done
when the tailings dam has been in operation for several years,
when it is possible to retrieve samples at different depths, which
are associated with different years of deposition. Testing this
batch of ‘‘undisturbed’’ samples, it should be possible to establish
the variation of the cyclic strength with the age of deposition,
which allows an estimation of the improvement of the cyclic
resistance with time.
7.7 Freezing
Cold weather is a condition affecting tailings management in
several ways with regards to both dam construction and deposition
of tailings.
7.7.1 Dam Construction
Freeze and thaw processes may reduce the density of dam
construction material to a depth related to the material properties,
the temperature over time as well as the depth of snow cover.
Effects to depths of up to 3-4 m, if not more, at locations with low
temperatures (below 0 °C) over long periods of time (6 months or
more) are not unusual. This means that the zone of material
affected by freeze and thaw must be re-compacted before the next
raise can be done. If the freeze depth is more than the rate of rise,
this may mean re-compaction is required for material at a depth
below the new tailings surface (Figure 73). A solution may be to
place a layer of “frost protection material” on the dam crest, which
is then removed before the next raise. With frost protection, only
the top surface of the material (dam crest) needs re-compaction
before the next raise is constructed.
Figure 73. Illustration of a possible situation where freeze depth (here
illustrated as 3m) is more than a yearly rise (here illustrated as 2m) results
in a zone affected by freeze and thaw (and therefore reduced compaction)
corresponding to 1.5 dam raises, e.g. 1.5 dam raises need to be re-
compacted (zone to be re-compacted) before next raise can be done.
165
7.7.2 Tailings Deposition.
Tailings deposition in cold temperatures may:
Restrict the length of the slurry pipelines to prevent freezing
of the pipeline, if measures are not taken (e.g. isolating the
pipeline).
Limit the possibility of regularly changing the deposition
point, resulting in deposition occurring for extended periods
from the same deposition point.
Cause freezing of the beach, potentially resulting in embedded
permafrost layers if overly thick layers are deposited before
thawing occurs.
The first two issues are more of an operational nature, which
can be addressed through appropriate procedures, whereas the
third may have a significant impact on stability of the tailings dam.
Embedded frozen layers will restrict permeability, or even result
in effectively impermeable layers, which will affect the rate of
consolidation and result in layers of loose, saturated, contractive
materials in the deposited tailings. If these layers are in the
structural zone of the tailings dam, stability will be compromised.
If the layer stays frozen, the strength of the layer will be high, but
possible future thawing will cause an increase in pore water
pressure, reduced effective stress, and increased water content
within the material. For these reasons, the risk associated with
impermeable layers such as strength loss during thawing, frozen
layers, or permafrost, should be avoided in deposited tailings near
or within the structural zone of the tailings dam.
Knutsson (2018) examined tailings deposition in cold regions
and did a numerical study of the potential formation of permafrost.
The risk of generating permafrost due to tailings deposition exists
even in regions with no natural permafrost, as material being
frozen during winter might not fully thaw during the following
summer, due to added height of the tailings on the surface (e.g.
continued tailings deposition). The study simulated conditions in
northern Sweden above the arctic circle with an average yearly
temperature of 0.1 C. Tailings deposition was studied for an
annual raise of 1, 2 and 3m, as well as for the yearly raise being
deposited during 4, 8 and 12 months. For the first two scenarios,
deposition starting in January (winter) and July, respectively,
were studied. The following tailings characteristics were
considered:
Specific gravity (Gs) – 2.8
Quartz content (q) – 40%
Degree of saturation (Sr) – 33 and 100%
Dry density ( d) – 1.3 and 1.8 t/m3
for four different scenarios, “Wet & Loose”, “Wet & Dense”,
“Dry & Loose” and “Dry & Dense” which together cover a wide
range of in-place tailings possibilities. The results from the study
demonstrated:
Decreased water content results in less permafrost generation,
which has a larger impact than density.
Thickness of permafrost layers is nearly proportional to the
deposition rate (RoR).
A shorter deposition period generates more permafrost when
starting in winter.
Deposition starting (for 4 or 8 months deposition periods) in
January (northern hemisphere winter) results in more
permafrost compared to starting in July.
When considering a 12 month deposition period, “Wet &
Loose” material always generated permafrost for the studied
deposition rates (1,2 and 3 m/a). Conversely, “Dry & Dense”
material never generated permafrost (see Table 6).
Table 6. Permafrost thickness [m] for 12 month deposition (e.g. constant considered as a first approximation in the verification of the TSF
RoR of tailings surface with time). stability and should be carried out with full knowledge of the
ultimate strengths of the materials involved, including those of the
Material Deposition rate (RoR) foundation soils.
1 m/a 2 m/a 3m /a Recently, Sadrekarimi (2016) proposed a modification to the
Wet & Loose 0.35 0.8 1.2 conventional, widely used limit equilibrium method of analysis to
Wet & Dense 0 0.425 0.875 account for various factors, including modes of shear (plane strain
Dry & Loose 0 0.25 0.65
compression, simple shear and plane strain extension). His
method allows for re-assigning shear strengths of regions (‘slices’
Dry & Dense 0 0 0
in the vernacular of the limit equilibrium method) where the peak
shear strength has been mobilised, to values equal to the large
strain shear strength. The focus was particularly on undrained
Freezing and thawing may, however, be used to improve shear strengths. The possibility offered by the modification
consolidation and shear strength of wet, soft tailings. Cyclic proposed by Sadrekarimi was to incorporate some degree of
freeze-thaw has been shown to significantly dewater the tailings. progressive failure into the simple limit equilibrium method.
During freezing, ice lenses develop and when they thaw, they Although the method does assist in providing insight into
leave “channels” in the material through which water can be vulnerabilities of some TSF slopes, it is overly brutal in the
drained. These “channels” then collapse and a volume decrease is instantaneous switch from peak strengths to large strain (residual)
achieved. For maximum effect it is crucial to make sure the strengths. No allowance for strain compatibility is made. The
released water is drained away from the tailings. Practically, this issue of brittleness of some tailings materials is over-simplified
is achieved by letting the top surface of wet, soft tailings freeze, using this approach.
thaw and drain a number of cycles (years) until maximum
consolidation is achieved. This method has been studied and used 8.1.1 Brittleness
in northern Canada to facilitate and reduce costs of TSF closure As noted in Section 1.3, the GISTM requires that brittle potential
capping (Beier and Sego, 2008, Proskin et.al., 2010). failure modes be identified and addressed. No clarity is provided
on what constitutes brittle behaviour however. There are two
8 METHODS OF ANALYSIS. aspects that we believe must be considered to address this
This section discusses methods of analysis considering static question, the first being the amount (percentage) of loss of
loading and dynamic loading conditions, with analyses strength post-peak, and the strain over which this strength loss
approaches that vary from relatively straightforward (e.g. limit occurs. Unfortunately, it seems that too often only the former
equilibrium) through empirical approaches, to advanced aspect is considered.
numerical modelling. However, each of these topics, particularly One outcome of the forensic investigations into the Aberfan
the latter, warrant a state-of-the-art paper in their own right, so this disaster in Wales in 1966, in which a flowslide of colliery residue
discussion is necessarily kept as brief as possible. destroyed large parts of a nearby village and resulted in 144
fatalities, was the definition by Bishop (1967) of what he termed
8.1 Static loading conditions the Brittleness Index, IB:

The limit equilibrium method assumes a potential slip surface and

the mobilised shear strength along the surface is determined and = (34)
compared with the available shear strength. The soil (tailings) is
assumed to be a perfect rigid-plastic material, and therefore, when
materials of quite different stress-strain behavior are involved, an where is the resistance to shear on the potential failure surface
engineering judgment is required to establish the most probable and the subscripts f and r relate to peak (failure) strength and
strength that is mobilised simultaneously by these materials along residual strength respectively. Thus, a material that exhibits no
the considered slip surface. The most common method is to post-peak loss in strength has a brittleness index of zero.
discretize the soil mass into a series of slices that are analyzed as
free bodies. To satisfy both the equilibrium of forces and moments
in the slices, it is necessary to transform an inherently
indeterminate problem into a determinate one. Depending on the
simplifications and assumptions made to satisfy the equilibrium
of forces and moments in the slices, different procedures have
been proposed, among which the one developed by Morgenstern
and Price (1965) is probably the most widely used in tailings
engineering.
Along the slip surface under analysis, both the available
mobilized shear strength and the shear stress required for
equilibrium (driving stresses) are evaluated. Then, the evaluation
of a Factor of Safety (FoS) is straightforward as the ratio between
these quantities. The FoS is a parameter, or an index, that provides
a simple indication of the state (in terms of its stability) of the
earth structure. Figure 74. Illustration of brittleness, which is a function of both the amount
The reports on the failures of Aznalcóllar (Los Frailes), Mount of post-peak strength loss, and the strain over which this strength loss
Polley, Samarco, Brumadinho and Cadia tailings dams (Gens, occurs.
2019; Hoffman, 2015; Morgenstern et al, 2016; Robertson et al,
2019; Jefferies et al, 2019) allow us to point out that when the Figure 74 illustrates this concept, which can be applied to
ultimate (large strain) strengths of the materials are properly either drained or undrained representations of soil strength. In the
established, the FoS obtained from the limit equilibrium analyses latter case the undrained strength is often normalised with respect
were systematically lower than one, consistent with the failures to the relevant vertical effective stress. Material A in this figure
that have occurred. In this context, the authors' opinion is that the shows a significant loss of strength (with a brittleness index close
use of the limit equilibrium analysis is useful, but it should be to unity) over a very small increment of strain. Such behaviour

166
was demonstrated for Merriespruit tailings (where failure of a TSF
in South Africa in 1994 caused 17 fatalities) by Fourie and
Tshabalala (2005). Tests were carried out on K0 consolidated
specimens subjected to undrained triaxial compression, with
results shown in Figure 75. As can be seen, the peak strength was
mobilised at axial strains less than ½%, followed by very rapid
strength loss, with IB values ranging from about 0.4 to 0.8. These
tailings exhibit both a high brittleness (high IB) and a rapid loss of
strength.

Figure 75. Deviator stress vs axial strain for undrained triaxial Figure 76. Variation of deviator stress with axial strain for undrained
compression tests on K0 consolidated specimens of Merriespruit tailings triaxial compression test on anisotropically consolidated bauxite residue.
(after Fourie and Tshabalala, 2005). Numbers in the legend refer to the
void ratio prior to shearing. Both the Merriespruit (gold) tailings and the bauxite residue
referenced above were anisotropically (K0) consolidated prior to
Material B in Figure 74 shows approximately the same values shearing. One exhibited extreme brittleness, with very rapid loss
of peak and residual strength as material A, but the strain over of strength, whereas the other was more ductile. However, it is not
which the strength loss occurs is many times greater than that of only material type that influences brittleness. The same material,
material A. Is material B therefore brittle? In terms of the consolidated along different stress paths prior to being subjected
percentage strength loss, yes it is. However, the loss occurs to some form of undrained loading, may exhibit different degrees
gradually (in terms of strain, not necessarily time). Perhaps a key of brittleness. This is illustrated in Figure 77, after Been (2016).
distinction between material A and material B is that post-peak Figure 77 shows the same material, prepared loose, subjected to
behaviour of material B is likely to provide some indicators – three different consolidation stress paths prior to being sheared.
visual and otherwise – of the loss of available strength, because Path A was isotropic consolidation. Paths B and C both involved
significant movements will occur prior to the terminal (residual) drained, constant mean effective stress consolidation, but sample
strength being mobilised. Measurements using inclinometers, B was not loaded into the ‘instability zone’ whereas sample C was.
shape accelerator arrays (SAA’s), or InSAR techniques are likely The instability zone is the region between the line defining the
to detect movements prior to residual strength being mobilised critical friction ratio (i.e. ‘M’) and the instability locus. As can be
over the entire potential slip surface. More about monitoring seen from Figure 77b, the slightest perturbation applied to sample
techniques in Section 9. C results in immediate loss of strength, whereas in sample B a
Behaviour similar to that of material B is shown in Figure 76,
small amount of strain is required to fully mobilise peak available
which is for an undrained triaxial compression test on a sample of
strength; for sample A, even more strain is required. Similarly,
bauxite residue (red mud) anisotropically consolidated to a
experimental data suggests that the brittleness index of nonplastic
vertical effective stress of 600kPa. Once again, the peak strength
is mobilised at a very small axial strain (less than 1%), but even soils is a function of their state parameter normalised by the slope
after 25% strain, the residual strength had not yet been fully of their CSL (Jefferies and Been 2015).
mobilised.
There is thus a great deal of difference between material A
and material B in Figure 74, in terms of the potential risk of a
catastrophic failure. Material A is likely representative of the
Feijão tailings, which exhibited both high brittleness and rapid
strength loss. A challenge facing TSF designers is to determine
what the threshold of truly brittle behaviour is. Assuming there is
the potential for significant loss of strength (high IB), over what
strain does this become a significant concern? Is it 1% strain
(probably expressed as shear strain in order to enable comparison
with numerical models – see section 8.2), is it 5%; 15%? This is a
major challenge for the industry. Simply designing a stabilising
buttress for any material that exhibits some strength loss (i.e.
strain softening), irrespective of the amount of strain required to
fully mobilise residual strength does not seem logical. For less Figure 77. Illustration of importance of consolidation stress path on
brittle materials exhibiting a degree of strength loss, it may be subsequent stress-strain behaviour, particularly the strain at which stress
more prudent to complement limit equilibrium analyses with loss is triggered (after Been, 2016; courtesy Australian Geomechanics
appropriately sophisticated numerical modelling (where Society).
‘appropriate’ refers to the ability to capture key features of
According to Robertson (2010), cohesive soils (tailings) with
behaviour, in this case being strength loss with strain).
a shear strain to reach peak undrained strength greater than about
5% and a gradual drop-off in resistance after reaching peak

167
strength are less likely to experience flow liquefaction, which
applies, for example, to many high-PI clays. As with any guidance
rule, the 5% shear strain indicator mentioned here may be
misleading. For example, when consolidated isotropically, rather
than anisotropically, the bauxite residue shown in Figure 76
reached peak strength at a much higher axial strain than the K0
consolidated specimen shown.
There is also the issue of structure (or fabric) and its impact
on brittleness. According to Leroueil and Hight (2003), a feature
of sensitive fine-grained soils involved in flow failures is their
relatively low plastic limit and small strain required to reach peak
undrained shear strength. Although some guidance does exist, it
may be expecting too much of the CPTu test to provide
meaningful information on brittleness of a tailings material.
Shuttle and Cunning (2007) and Jefferies and Been (2006) suggest
that when a soil has a state parameter greater than -0.05, strain
softening and strength loss in undrained shear can be expected.
They do not speculate on rate of post-peak strength loss however.
In a similar vein, Robertson (2010) suggests that soils with a
Qtn,cs>70 are likely dilative and strain hardening in undrained
shear is likely. Gens (2019) provides some extremely valuable
insights to this problem. Using a finite element approach with the
constitutive model CASM, as described by Yu (1998), he reports
the response to CPTu of soils having the same properties, except
for the strain required to reach peak strength and the strain over
which strength loss occurs. The various idealisations are
illustrated in Figure 78, where sample G has an IB value close to
zero and sample A an IB of about 0.66. Significant detail is
provided on the resulting profiles of tip resistance and excess pore
pressure generated during the simulations, a summary of which
Gens (2019) provides in Figure 79, which shows an increase in Qt
with decreasing IB, i.e. the more brittle the soil, the smaller the tip Figure 79. Variation of normalised tip resistance (Qt) and pore pressure
resistance generated, even for the same value of state parameter. parameter Bq with brittleness index (after Gens, 2019).
Also note, the peak undrained shear strength is the same for all the
simulations, whereas the resulting Qt value is not. Gens (2019) As before, the best way to address this issue is using a
emphasises that these results are preliminary, but the implications mechanics-based approach to analysing CPTu results. The
are potentially extremely important, as it throws into question our ‘widget’ approach of Shuttle and Jefferies (2016), as discussed
understanding of the limitations of the CPTu test. We expect this before, uses analyses of the spherical cavity expansion problem
topic is likely to be a focus of active research in coming years. with realistic soil models to derive a surrogate of CPTu behaviour,
with a scaling factor being required to make the transition from
spherical cavity to CPTu. Although the ability of the widget to
predict in situ remains a pending task (Figure 47), perhaps a
focus on an approach such as this provides a way to accommodate
materials with various rates of strength loss.

The role of bonding in determining brittleness

Figure 78. Stress-strain curves of soils used in CPTu simulations, as
reported by Gens (2019).
No discussion of brittleness would be complete without some
discussion of potential bonding (or cementation) in tailings
producing a brittle response to undrained loading, particularly in
light of the suggestions made by the ERP (Robertson et al, 2019)
relating to the Feijão TSF failure that the iron ore tailings
developed a bonded structure after deposition. As summarised by
Schnaid (2021), the bonding may have rendered the tailings stiff
and potentially brittle, which he suggests is consistent with the
lack of observable deformations prior to failure and the sudden
and rapid behaviour once failure was triggered. However, the
CIMNE report (2021) comes to the opposite view, as mentioned
before, and concludes there was no evidence of bonding.
To provide guidance on whether a soil is structured (whether
due to bonding, cementation or even aging – see for example
Troncoso et al, 1998), Schneider and Moss (2011) suggested a
rigidity index KG, which was slightly modified by Robertson
(2016) to , where

=( )( ) . (35)

and G0 = (Vs)2, Vs is the shear wave velocity and is soil (tailings)

density.
Using this approach, it is suggested that if KG > 330, the soil
can be classified as structured, and generalised CPTu based

168
empirical correlations may have less reliability (Robertson, 2016).
However, the situation is further complicated if the material is
partially saturated. As discussed by Robertson et al (2017),
suction hardening increases the small strain stiffness (and thus
Vs), an effect that could erroneously be interpreted as
cementation.
8.2 Seismic stability analyses
8.2.1 Defining loading conditions
To carry out seismic stability analyses of a tailings dam, it should
be recognised that there are two clearly different stages: operation
and post-closure. The operational phase, which often lasts a few
decades (20 to 40 years in many cases, with some mining
operations being over one hundred years old), is practically
always linked to the construction of the facility and the global
growth of the TSF. During this stage it is possible to foresee the
existence of a routine situation (normal operation) and special
situations, e.g. associated with some critical but brief construction
issue (such as excavation at the toe of the existing dam to remove
weak foundation soils for the new stages). To face these practical
situations two seismic events are normally considered:
Operational Basis Earthquake (OBE) and the Maximum Design
Earthquake (MDE). The MDE is more demanding than the OBE,
and it must be ensured that for this seismic event, considering the
special conditions of the TSF, the tailings and water remain
perfectly stored. In Australia and New Zealand, the MDE is
termed the SEE (Safety Evaluation Earthquake); the associated
descriptions are that the OBE only results in minor damage and
the TSF and appurtenant structures and equipment remain
functional, whereas the SEE causes damage, which is acceptable,
but there is no uncontrolled release of water (or tailings) from the
facility.
Additionally, the long-term stability of decommissioned (also
termed ‘closed’) TSFs as well as those that have been truly
‘abandoned’, i.e. there is no identifiable owner who can safely
close the facility – hopefully fast becoming a problem consigned
to history, constitutes another design consideration. Seismic
stability must be guaranteed in the long term, and therefore, long
return periods in the selection of the earthquakes must be
considered. Accordingly, the Maximum Credible Earthquake
(MCE) must be estimated and used in the stability analysis.
The probabilistic seismic hazard analysis (PSHA) and
deterministic (DSHA) methods for the assessment of seismic
hazard analysis are usually presented as antagonistic approaches.
However, they may in fact complement one another when
estimating the ground motions for design. In regions of high
seismicity, where continental active faults and/or tectonic
boundaries generate large seismic events, which have been
systematically reported in the last 200 - 300 years, the DSHA is
more suitable. This is because in regions of high seismicity, the
empirical evidence of extreme seismic events is reliable and
provides valuable real information about the ground motion
effects (Wang, 2010). However, in areas where seismicity is low
or diffuse, the PSHA is more appropriate for establishing the
potential earthquakes that can occur at the project site. In general,
the different seismic disturbances that must be considered are:
Operational Basis Earthquake (OBE): This is a probable
earthquake to which a tailings facility can be expected to be
exposed to during its design life; therefore, the tailings
disposal facility is expected to remain fully operational when
subjected to such an earthquake. This earthquake could be
defined, for example, for a 10% probability of exceedance
within a 50 year period, which corresponds to a return period
of 475 years.
Maximum Design Earthquake (MDE), also termed SEE, as
discussed previously: The main purpose of designing against
this earthquake is to safeguard loss of life, uncontrolled
failure, collapse and loss of confinement, which may lead to
catastrophic consequences. This strong ground motion, for
169
example, is often defined for a 2% probability of exceedance
within a lifespan of 50 years, which corresponds to a return
period of 2475 years.
Maximum Credible Earthquake (MCE): This is the largest
possible earthquake that could occur at the project site. It is
recommended to establish the MCE using the deterministic
approach. This earthquake is associated with the post-closure
condition of the TSF and represents the ultimate possible
seismic loading under which the tailings facility must remain
in place without collapsing. Nevertheless, in countries with
very high seismicity such as Perú, Chile, Japan and Indonesia,
the MCE must be considered during the operation of the TSF,
but accepting important damages that will not compromise the
confinement of the stored tailings and water.
The Global Industry Standard on Tailings Management
(GISTM) recommends the seismic design criteria summarised in
Table 1. It is worth noting that the application of an earthquake
with a return period of 10,000 years is associated with a 1%
likelihood of probability of exceedance in a lifespan of 100 years,
which can be considered unnecessarily conservative. A return
period of 5,000 years is associated with a 2% likelihood of
probability of exceedance in a lifespan of 100 years, equivalent to
a 1% exceedance in 50 years, which is commonly referred to as
the Safe Shutdown Earthquake that is applied in seismic design of
critical structures such as chemical industries, liquefied natural
gas industries and power plants, among others. Even though it is
an extreme seismic event, its use in highly sensitive facilities
makes sense, and therefore, it can also be considered applicable to
TSFs.
Table 7. Seismic design criteria.
Consequence classification Seismic criteria – annual exceedance probability
Operations and closure Passive – closure (passive
(active care) care)
Low 1/200 1/10 000
Significant 1/1 000 1/10 000
High 1/2 475 1/10 000
Very high 1/5 000 1/10 000
Extreme 1/10 000 1/10 000
The seismic hazard analysis has to consider the different
potential seismic sources in the area of the project. For example,
in subductive seismic environments, there are three potential
seismic sources: interplate (thrust), intraplate (intermediate depth
in-slab earthquakes caused by down-dip tension in the subducting
plate) and cortical (shallow crustal earthquake). Because
intraplate and cortical earthquakes attenuate much faster than
interplate earthquakes, the appropriate selection of the attenuation
law becomes relevant. Additionally, when considering intraplate
earthquakes, the resulting seismic disturbance at the site of the
dam is highly sensitive to the definition of the hypocenter
locations. This is an important issue where no consensus has been
achieved yet, and in the meantime the worst case is usually
adopted resulting in the selection of an intraplate earthquake just
below the site of the project.
It is common to select a time history that provides the largest
peak ground acceleration. However, the frequency content of the
selected earthquake could be a more relevant criterion, especially
when analyzing high dams that tend to have a low predominant
vibration frequency (or large period). In this case, it is
recommended to first estimate the natural period of the tailings
dam, and then the seismic hazard analysis should identify those
potential earthquakes that contain intensive energy at around the
natural frequency of the dam. These can be earthquakes of distant
epicenters that generate and impose surfaces waves, which result
in seismic events containing low frequencies.
A balance must be struck between an earthquake with the
highest possible acceleration and with a frequency content as
close as possible to the predominant frequency of the TSF. In
summary, two different design earthquakes must be defined: one
with maximum PGA and another with a frequency content that
matches, or it is close enough to, the predominant frequency of
the dam. Therefore, the seismic analysis should consider at least
six records (OBE x 2; MDE (SEE) x 2; MCE x 2).
8.2.2 Pseudo-Static Analysis – Limit Equilibrium
This procedure was very popular before computers were
developed to the level that made possible a dynamic stress-strain
analysis in only a few hours. In this context, many engineers see
no reason to continue using the pseudo-static approach to verify
the stability of TSFs. Although perhaps true, it is necessary to
retain “the big picture” before entirely eliminating the pseudo-
static analysis approach as one of the alternatives for assessing the
stability of TSFs.
Seismic stability evaluated by pseudo-static analysis requires
the use of seismic coefficients, which represent inertial forces
through the application of permanent forces using a limit
equilibrium approach as discussed in section 8.1. Strictly
speaking, the replacement of a seismic disturbance by a static
force is theoretically incorrect. Nevertheless, from an engineering
design point of view, it has been used successfully in countries
with high seismicity, in both building design and in the stability
assessment of earth structures (Sano, 1906; Housner, 1984;
Towhata 2008). The seismic coefficients (horizontal and vertical)
were traditionally estimated from the expected peak horizontal
acceleration of the site, but more recently the allowable level of
seismic displacements of the slopes has also been included (Bray
and Travasarou, 2009; Papadimitriou et al, 2014). Considering the
high seismicity of Chile, Saragoni (1993) proposed the following
relationships for the horizontal seismic coefficient, kh, for
interplate (shallow thrust) earthquakes:
(36)
The vertical seismic coefficient is commonly assumed as 1/2
or 2/3 the horizontal seismic coefficient. In general, the
incorporation of this vertical seismic coefficient does not have a
real effect of the resulting factor of safety.
The pseudo-static analysis procedure is certainly attractive
because of its simplicity and because empirically it has been
shown to provide a reasonable estimation of the level of stability
of an earth structure subjected to earthquakes. Nevertheless, due
to the rather crude assumptions inherent to this method, its main
disadvantage is associated with the need for engineering
judgment, which is not assured if applied by inexperienced
professionals. Additionally, for tailings dams where liquefaction
can be a major problem, or where foundation soils are complex,
pseudo-static analysis must be used with careful attention to the
strength of weak materials. Similarly, however, in these
situations, strain-strain numerical models have also to be applied
with the same care, as the variety and complexity of input
parameters and the range of available modeling options reduces
the likelihood of similarity of outcomes when undertaken by
different engineers (including those with extensive experience).
8.2.3 Numerical modelling
With the development of computers with large memory and
computing capacity, the numerical methods of finite elements and
finite differences in 2D or 3D can feasibly be used to analyse and
predict the behavior of TSFs under both static and seismic stress
loading conditions, including different scenarios of seepage and
stages of construction.
170
There are several commercial software packages that can be
used to perform seismic analyses, but it is important to point out
that the constitutive laws that are adopted to model the stress-
strain behavior of the materials have a significant effect on the
results. The discussion of the different constitutive laws that have
been developed is beyond the scope of this paper. We stress
however, that the selected constitutive law must show a
compromise between the predictive capacity of the model and the
practicality of evaluating the input parameters required by the
model. Interesting reviews on constitutive models have been
reported by Lade (2005) and Prevost and Popescu (1996).
Under static loading conditions, the mechanical response
depends mainly on the geometry, the magnitude of the acting
forces and the stress-strain behavior of the materials involved,
with the physical stability ultimately controlled by the distribution
of stresses and their magnitudes relative to the mobilized
strengths. On the other hand, in the case of seismic disturbances
of earth structures, the shaking induces inertial forces that are
largely dependent on the amplitude and frequency content of the
seismic load and on the predominant natural frequency of the earth
structure. The well-known phenomenon of resonance occurs
when there is a perfect match between the frequency of the load
and the natural frequency of the structure. This issue is important
in the selection of the design earthquakes as discussed above.
In addition, every dynamic response is affected by the loss of
energy that normally takes place during vibrations. This
phenomenon is called damping, which for simplicity is usually
characterized as viscous type behaviour, and therefore increases
as the strain rate increases. It is necessary to point out that soils
develop a loss of energy that is of the hysteretic type (it does not
depend on the speed of deformation). In soils, the damping ratio
is defined as the area of one stress-
normalized by the area of the equivalent input linear elastic energy
(Figure 80a, after Kokusho 1980, Ishihara 1996). This hysteretic
damping ratio is strongly dependent on the level of deformation
as shown in Figure 80b, (after Kokusho 1980, Ishihara 1996). At
large deformations close to failure, the damping ratio reaches
values as high as 25%, which means a significant loss of energy,
which in general, is favorable for the attenuation of the seismic
response.
Figure 80. Damping ratio definition (a), and damping ratio of Toyoura
sand (b), (after Kokusho 1980).
The output of a dynamic analysis can be greatly affected by
the mathematical formulation adopted to model the damping. In
the dynamic analysis of earth dams (including tailings dams), it is
common to use the so-called Rayleigh Damping (RD), which is
mathematically very attractive, but is difficult to estimate the
values that represent the real problem under analysis. The RD is
essentially a viscous damping that is established as a linear
combination of mass and stiffness. Thus, the damping matrix C is
given by:
[ ]= [ ]+ [ ] (37)
where, and are constants of proportionality and M and K are
the mass and stiffness matrices respectively.
varies with the response frequency. Therefore, it is important to
adjust this damping ratio to the fundamental frequency of the
analyzed problem, otherwise the results could be significantly
overdamped in terms of lower accelerations and smaller
deformations. Importantly, the RD is different from the hysteric
damping ratio indicated in Figure 80a (after Kokusho 1980,
Ishihara 1996), and, therefore, the number that is adopted for the
RD requires experience and a deep understanding of the variables
of the problem under analysis. It is not an exaggeration to say that
in a dynamic problem, damping is a fundamental parameter,
which is usually not well characterized. Nevertheless, when
constitutive models are used that reproduce the stress-strain curve
during loading and unloading, damping results automatically from
the load-unload loops that the model generates. In the absence of
liquefaction, the analysis of these loops allows verification of the
capacity of the model to reproduce the behavior of the soil or
tailings.
The use of stress-strain analyses is a clear improvement on the
limit equilibrium analysis method, but it is extremely important to
keep in mind that stress-strain analyses must always be verified
by alternative means. A first verification of the capability of the
model is to check how well it reproduces the results of the
performed laboratory tests. Also, it is recommended to verify the
model in simple conditions where the soil response is known. In
addition, it should be reviewed by independent experts to verify
the quality of the analysis.
8.3 Empirical approaches
Given the difficulty in recovering high quality undisturbed
samples from the field for laboratory testing, for the estimation of
the CRR the use of in-situ tests is usually recommended, for
example, SPT, CPTu, or the vane shear test. In this context, a
significant amount of research has been carried out using the
CPTu to evaluate the onset of liquefaction through the CRR.
Figure 81 presents a chart for estimating the CRR to magnitude
7.5 earthquakes based on the cone tip resistance normalized by
overburden pressure and fines content, qc1-Ncs.
Figure 81. CRR for Mw = 7.5, 'v = 1 atm and no static shear stress, as a
function of the equivalent clean sand qc1Ncs, (after Boulanger and Idriss
2014).
This chart has been obtained from sites than are not associated
with tailings materials. Therefore, its use for tailings should be
carried out with due caution. The authors´ opinion is that for
tailings that classify as sandy soils or silty soils of low plasticity,
the chart provides a good estimate of the CRR. However, in
tailings containing plastic fines, the chart is likely to give
misleading results.
171
It is of great importance to note that in the data used in this
chart, which comes from different earthquakes that occurred in
different parts of the world, there are no cases of liquefaction for
values of qc1-Ncs greater than 170. This allows the conclusion to be
drawn that there is a threshold value of the tip resistance (qc1-Ncs =
170) above which liquefaction would not occur, regardless of how
strong the earthquake is. A corollary for areas of high seismicity
is that compaction of non-plastic materials (e.g., tailings) to qc1-
Ncs > 170, prevents the occurrence of liquefaction.
For earthquakes of magnitude other than 7.5, overburden
pressures different than 1 atm and nonzero driving static shear, the
CRR obtained from this chart must be modified using the
Magnitude Scaling Factor, MSF, the effective overburden stress
factor, K , and the shear stress factor, K , respectively (National
Academies US, 2016). Accordingly, once the representative value
of penetration resistance qc1-Ncs has been established, the cyclic
resistance ratio, CRRM=7.5, is obtained from the corresponding
chart. This value is then corrected as follows to obtain the cyclic
resistance ratio, CRR, representative of the actual conditions:
= × × × (38)
.
As can be observed from the above expression, the effects of
earthquake magnitude, overburden pressure and static shear
modify the CRRMw=7.5, which means that the curve of Figure 81
moves vertically when these effects are considered. Therefore, the
threshold value of the tip resistance (qc1-Ncs = 170) discussed
above holds valid for higher confining pressure, static shear and
earthquake magnitude.
8.3.1 Magnitude Scaling Factor, MSF.
To account for increased likelihood of liquefaction with an
increase in the magnitude of an earthquake, Seed and Idriss (1982)
introduced the Magnitude Scaling Factor, MSF, which is based on
the concept that the greater the magnitude of the earthquake the
greater its duration, and therefore the larger the number of cycles
of the seismic disturbance. It has been recognized that the MSF
depends on several factors such as type of earthquake, distance to
the epicenter, soil type and characteristics of the site, among
others. However, the actual effect of these factors is still under
investigation. Boulanger and Idriss (2014) incorporated the soil
characteristics by considering the values of the tip resistance qc1Ncs
and/or (N1)60cs in the MSF as shown in Figure 82.
Figure 82. MSF as a function of the penetration resistance. Reprinted from
Boulanger and Idriss (2014), with permission from Elsevier.
8.3.2 Overburden stress factor, K .
Results of laboratory cyclic tests have systematically shown that
liquefaction resistance decreases with increasing confining stress,
as shown in the test results on tailings sand presented in Figure
83. Because the empirical field-performance database utilised
cases associated with overburden pressures of around 1 atm (100
kPa), Seed and co-workers introduced the overburden correction
factor, K , defined as the ratio between the CRR at a given
effective vertical stress to the CRR at an effective vertical stress
of 1 kg/cm2 (1 atm), considering the same conditions of density
and other variables than may affect the CRR (Seed 1983).
Figure 83. Effect of confining pressure on the cyclic strength of a Peruvian
tailings sand. Republished with permission of ASCE, slightly modified
from Riemer et al. (2008); permission conveyed through Copyright
Clearance Center, Inc.
For natural sands, reported values of K are presented in
Figure 84, where significant scatter can be observed (Montgomery
et al., 2012).
Figure 84. Reported values of K .(after Montgomery et al., 2012).
Figure 85. Effect of Dr on K values (after Vaid et al., 2001)
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However, as shown in Figure 85, it has been recognized that
K is a function of the relative density (Vaid et al., 2001). Different
studies have provided more data that show that other factors, such
as the stress history, also influence the value of K (Boulanger
2002, Hynes et al., 1998, 1999; Montgomery et., 2012; Vaid et al.,
2001; Seed et al., 1990, among others).
It is important to mention that there is experimental evidence
indicating that tailings materials have a less pronounced decrease
in cyclic stress ratio with confining pressure (Riemer et al, 2008;
Verdugo and Santos 2009; Verdugo 2011). This condition can be
explained by the greater compressibility shown by tailings
materials, that results in a fairly pronounced increase in density
with the confining pressure. Figure 86 presents the isotropic
consolidation curves of three natural sands and one copper tailings
sand. For a better comparison between these sands, the void ratios
have been normalized by the initial preparation void ratio of each
sand. From these results, the higher compressibility of copper
tailings sands is clear, at least in the range of pressures used up to
5 MPa.
Figure 86. Compressibility of natural and tailings sands (after Maureira et
al., 2012).
A particular characteristic of tailings particles is their
angularity and sharp edges, which may crush during shear as
shown in Figure 87. Therefore, it is possible to postulate that the
angularity of the tailings sands results in a greater compressibility
generated by the breakage of the sharp edges, which increases the
density and packing, favouring a better arrangement of the
particles and their contacts.
0.1 mm
0.1 mm
Figure 87. Illustration of angularity of particles of copper tailings, before
triaxial test (left), and after test (right).
Accordingly, for tailings materials it is highly recommended to
assess the effect of the overburden pressure by means of suitable
laboratory tests.
8.3.3 Shear stress factor, K .
The chart developed by Seed and co-workers to estimate the
potential of liquefaction based on SPT measurements was
established for level ground conditions in which there is no static
driving shear stress. However, it is well accepted that the static
shear stress has a significant effect on the generation of pore
pressure, as well as on the development of cyclic strains (Vaid et
al., 1983, Pillai, 2001, Boulanger 2002, Idriss et al., 2003, Hosono
et al., 2008, Verdugo 2011, Park, 2020). Given this, a significant
amount of research has been done on this topic. Nevertheless, the
reported results are not definitive, and it has even been considered
to jointly include the effects of confining pressure and static shear,
for which the coupled factor K has been proposed. Considering
that the cyclic resistance is sensitive to the static shear stress, and
it varies from sand to sand, in the case of tailings materials is
recommended to perform suitable laboratory tests.

9 MONITORING.

The Global Industry Standard on Tailings Management (GISTM)

devotes a substantial section of the document to issues of
monitoring (Principle 7). Of relevance to the discussions
presented in this paper, Requirement 7.2 requires, “Design,
implement and operate a comprehensive and integrated
engineering monitoring system that is appropriate for verifying
design assumptions and for monitoring potential failure modes.
Full implementation of the Observational Method shall be
adopted for non-brittle failure modes. Brittle failure modes are
addressed by conservative design criteria”.

9.1 Displacement monitoring.

9.1.1 Remote monitoring.

The GISTM provides no illumination on what constitutes ‘brittle’
behaviour, probably reflecting the lack of consensus on this issue).
However, the distinction made in the above quote is critically
important. It reflects the understanding provided by the Feijão
forensic reports that failure of extremely brittle tailings is unlikely
to be preceded by sufficient warning. Although there are a number
of publications that claim to have successfully predicted the Feijão
failure, mainly using Interferometric Synthetic Aperture Radar
(InSAR) satellite imagery, these studies have one thing in
common. Their predictions were done with the benefit of
hindsight. None of the authors of this paper are aware of accurate
predictions of failure of a TSF made (and published) before the
failure. If such papers do exist, we would warmly welcome
notification of such work.
In their forensic investigation of the Feijão failure, CIMNE
highlight a number of potential difficulties in using InSAR
imagery to detect an early indication of potential instability of
brittle material, including the line-of-sight (N-S) of the satellites
were in the same direction as the movement of the TSF, they do
not separate different motion components, and the histories of
line-of-sight displacement measurements from the different
studies noted above vary quite significantly. It is noted that it is
unclear (using InSAR alone) if the area of the TSF of interest
moved by 5, 15 or 30mm in the year prior to the failure. Holden
et al (2020) point out the challenges of correctly accounting for
signal-to-noise ratios of InSAR measurements in many cases.
InSAR has many potentially useful applications when dealing
with ductile materials, but the application of the technology to
more brittle material remains questionable.
Reid and Fourie (2019) report on a laboratory study using a
purpose-built direct simple shear (DSS) device in which stress
control of both horizontal (shear) and vertical stresses was
possible. Specimens were prepared at a positive state parameter
and consolidated under an applied shear stress (sometimes
referred to as a stress bias). Samples were then gradually brought
to failure (drained conditions were maintained during this
process) by gradually reducing the vertical total stress (referred to
in the paper as a CSD stress path test). A typical result is provided
in Figure 88, which shows vertical strain as a function of time.
Initially, there is a slight expansion (negative vertical strains) due
to elastic unloading, but when failure is triggered, contractive
strains occur extremely rapidly, too rapidly to track accurately,
and complete liquefaction occurs. It is highly unlikely that such
small pre-failure deformations could be detected, even by a
sophisticated system such as InSAR.
Figure 88. Experimental data from modified direct simple shear device
showing minimal vertical strain prior to rapid collapse of specimen (after
Reid and Fourie, 2019).
Despite the likely limitations of InSAR discussed above, there
is likely significant value to be gained by using InSAR for
monitoring of more ductile systems, as long as these systems
(where ‘system’ is used to indicate the combination of tailings,
underlying foundation soils and any other soil or rock zone of
relevance, or even an embedded structure such as a decant facility)
are correctly characterised.
9.1.2 Local measurements of displacement.
Although many mines utilise an array of surface survey
monuments for monitoring displacements, our experience is that
such systems are rarely useful, particularly if used in isolation.
Great value can be obtained from instruments such as
inclinometers, which are installed in vertical casings, or the more
recent technology known as shape accelerator arrays (SAAs);
both of these systems enable detection of horizontal movement
(primarily) with depth, thereby providing a continuous profile of
horizontal movement with depth. These devices are particularly
useful when a well calibrated numerical model has been used to
produce predictions of expected movement, ahead of the
measurements being made. This constitutes a true application of
the much-advocated Observational Method (Peck, 1969), which
is rarely correctly implemented.
9.2 Pore pressure monitoring.
Although there are still numerous TSFs where pore pressures are
monitored using standpipe piezometers, which need to be read
manually, our observations are that vibrating wire piezometers
(VWPs) are increasingly being used, with data acquisition being
automated. This is the preferred option; obtaining continuous
records of pore water pressure, with the ability to check data
whenever required, is immensely beneficial to a robust tailings
management system. However, it is extremely important that the
data from VWPs are interrogated by an experienced engineer,
with issues such as regular checks of calibration values being
made, and interpretation of data being made in the light of a
reasonable seepage model. Given the discussions provided in
section 7.4, it is unlikely that interpretations made on the
assumption of homogeneous and isotropic hydraulic
conductivities will automatically be rational. Emphasis must be

173
placed on developing and maintaining a calibrated seepage model
wherever possible.
9.3 Other instrumentation.
Monitoring systems based primarily on a combination of
displacement monitoring and/or pore pressure sensors are
currently common at many TSFs worldwide. Recent high-profile
failures of TSFs, as discussed at some length in this paper, have
galvanised the introduction of many more, largely unproven
technologies. Some of these may well prove highly applicable and
economically viable to implement, such as some of the
geophysical based techniques, but until a solid database of proven
success becomes available, caution is warranted. The University
of Western Australia currently hosts a website focussed on
‘Meaningful Monitoring’, accessible at:
www.tailingsmonitoring.com, where advantages and
disadvantages of existing as well as emerging technologies are
discussed.
10 GOVERNANCE
This paper focussed on geotechnical engineering aspects of safely
managing TSFs. However, we are cognisant that such
considerations form only a part of the decision-making processes
that most mining companies are currently implementing. There
are increasingly onerous compliance issues, whether these be
regulatory (e.g. imposed by a sovereign government) or sector led,
such as the GISTM, which originated from actions initiated by the
Church of England pension fund. The intention of this short
section is not to go into any detail about such governance issues,
but primarily to highlight the framework that increasingly governs
tailings management.
10.1 Consequence classification
Approaches to safely managing TSFs, from both regulators and
interested sector groups (such as the GISTM), are increasingly
based on the concept of a Consequence Category
classification. The intention of this approach is to understand the
potential damage that a TSF failure would inflict on its
environment regardless of the likelihood of such failure. This
approach has been used in some countries for many years and is
often used to differentiate between facilities posing high risk from
those posing less risk to population, environment, society,
infrastructure, economies etc.
A consequence classification is undertaken in order to:
Inform selection of design loading criteria
Inform dam safety management operations and programs
Meet regulatory and stakeholder requirements
The classification is based on the consequences of a possible
TSF failure and the associated runout, should a flow-type failure
occur. The likelihood of a TSF failure is not considered, but the
failure mode needs to be physically possible, referred to as a
‘credible failure mode’. It is important to understand that the TSF
consequence classification category is not a measure of risk
(which considers likelihood). On the contrary, the dam
classification category is used to support design and operating
decisions intended to reduce the likelihood of failure and hence
reduce risk. A dam owner can, if so inclined, base the design and
surveillance program on a higher consequence category, which in
some cases may be relevant based on a cost-benefit evaluation.
Not always, but often, the potential runout from a TSF failure
is determined using a dam break analysis which in turn aids with
consequence classification. Until recently such analyses were, at
best, rudimentary. However, recent efforts by various research
groups and consulting engineering companies have seen
significant improvements in our ability to conduct meaningful
174
dam-break studies. The results obtained from a dam-break
analysis have been shown to be sensitive to the following
parameters and conditions (this list is not necessarily exhaustive):
Amount of both supernatant tailings liquor and free water in
the impoundment.
Extension, shape, and location of the considered breach.
Residual strength of stored tailings.
Topography of the zone downstream of the dam
The strength (viscosity) of tailings released in a flowslide
event as well as the downstream topography are variables to be
quantified when undertaking a dam break study. The viscosity is
usually characterised as being deterministic in nature. However,
the amount of fluid retained within an impoundment is
probabilistic as well as being perhaps the most important
condition that controls the run-out distance of the tailings, should
a flowslide occur (Rourke et al., 2015). The characteristics of the
breach that forms, enabling tailings release, cannot be measured
but rather requires a prediction that will have to rely to some
extent on engineering judgement. Therefore, a dam-break analysis
can range from excessively conservative to excessively
unconservative. Given this, we strongly recommended that dam-
break analyses be done that include sensitivity studies allowing
for the variations noted above.
The consequence category may, however, sometimes be
chosen without a dam break analysis if it is obvious which
category the facility falls under. A dam break analysis should,
however, be carried out as a basis for emergency preparedness and
response planning (EPRP).
Different countries have different systems of consequence
classification, and we do not explore this issue here. It is also a
rapidly evolving endeavour, with changes to regulations occurring
on an ongoing basis.
11 CLOSURE AND RESIDUAL LIABILITIES.
Closure of TSFs is probably the most challenging and most
difficult aspect of overall mine site closure. It propels tailings
management into a design category similar to that of management
of nuclear waste, as the time perspective becomes ‘in perpetuity’.
GISTM (2020) reinforces the concept of “designing for closure”,
which influences the project from inception (e.g. site and
technology selection) as well as influencing design alternatives
considered for the operational phase, based on likely impacts on a
successful closure strategy.
Recognising the extremely long design life of a closed TSF
(particularly when compared with typical civil engineering
infrastructure) a number of challenges face designers of these
facilities, as well as owners, including:
Loading cases
Land use after mining
Responsibility for land after mining
Approval of closure design
The current strong focus on mine closure is relatively new (the
first International Mine Closure Seminar was held in Perth in
2006). Few TSFs have been closed and relinquished, i.e.
including transfer of responsibility from the mining company to
the state. Nevertheless, planning for closure is today, in most
countries, a regulatory obligation and a closure plan is a
requirement for getting an operating permit. Knowledge and
competence, as well as requirements and expectations, are
constantly increasing, placing more and more attention and focus
on closure as well as changing the perspective from merely
closing a facility to designing for closure.
Planning for closure up front includes input from a wide range
of specialists in addition to the tailings and/or mine engineers. It
should include specialists in surface and groundwater,
hydrologists, geochemists, biologists, social planners, community
relations planners, landscape architects, and others who may
provide valuable input to the closure plan. Additional to including
a broader range of specialists, the closure process will invariably
benefit from being integrated with the design and operation
processes.
We flag the issue of closure in this paper, because we strongly
believe that sustainable closure of a TSF will require
implementation of sound geotechnical engineering principles.
Topics discussed in this paper, such as correct laboratory and field
testing, methods of analysis and appropriate application of
empirical approaches apply to ensuring the stability of closed and
relinquished TSFs as well as to operating facilities. Given current
climate variations, TSFs are likely to be subjected to extreme
weather events beyond what occurs during the operational life of
a facility. Geotechnical robustness is essential to ensure future
generations are not faced with problems of repairing and
remediating inherently inappropriate geotechnical structures.
12 DISCUSSION
At present, the focus of many, perhaps most tailings engineers is
on how to best deal with upstream TSFs containing brittle tailings,
and rightly so. The spate of recent failures, particularly in Brazil
in 2015 and 2019 has highlighted how sudden these failures can
occur and how wide-reaching the impact can be. Before delving
into a deeper discussion about this specific topic, we reflect on a
few other issues we believe should not be lost sight of when
designing a new TSF, or indeed evaluating the stability of an
existing TSF. These topics include volume change of soft tailings,
seepage considerations, stability in highly seismic regions, and
impacts of climatic conditions on TSF stability.
Many TSFs are now more than 1km2 in area, sometimes many
square kilometres. A large percentage of such TSFs is therefore
essentially subject to one-dimensional consolidation, with
principal stress directions remaining constant throughout the
growth of such TSFs. Tailings derived from the processing of
sulphide ore (i.e. hard rock) and composed of silty and/or sandy
particles will usually settle rapidly upon deposition and
conventional methods of consolidation analysis are adequate.
However, for a large range of mine tailings, including mineral
sands slimes, fine iron ore tailings, oilsands fine tailings (or
mature fine tailings, MFT), and many phosphate tailings,
deposition takes place at extremely high void ratios and the
tailings are highly compressible. Properties such as hydraulic
conductivity vary over orders of magnitude with increasing
effective stress, and conventional approaches to calculating
volume change are deficient. The paper demonstrates laboratory
testing techniques to characterise these properties and numerical
modelling procedures to predict likely field behaviour. Such
evaluations are relevant not only to volume calculations but also
to stability assessments. There are instances where the volume
decrease renders the tailings dilative (located below the critical
state line) and thus inherently less susceptible to liquefaction. As
embodied in critical state soil mechanics, volume change and
shear strength gain cannot be separated.
Another, often overlooked aspect of volume change is that
induced by desiccation. Solar drying, which induces desiccation,
can produce large volume changes, particularly in fine-grained,
compressible tailings, providing large gains in shear strength.
Through manipulation of deposition layer thickness desiccation
can be enhanced, providing both improved shear strength and
increased storage of tailings (as the achieved in-situ dry density is
higher).
Seepage is an issue we suggest is often inadequately
addressed. Given the critical importance of the shape and location
of the phreatic surface to the stability of upstream TSFs, it is
surprising that many seepage models are based on assumptions of
175
isotropic, homogeneous hydraulic conductivity values. In reality,
hydraulic conductivity may be anisotropic (usually more
permeable horizontally than vertically), may decrease with depth,
and may decrease with proximity to the decant pond. All, or some
of these factors could render an oversimplified seepage model
useless. Calibration of a seepage model, using monitored and
correctly interpreted piezometer data should be the starting point
for correctly determining phreatic conditions. Anything else may
provide a false sense of security.
Whilst many countries in South America, as well as some
other parts of the world have faced the challenges of designing
TSFs to withstand very high seismic loading conditions, for other
parts of the world (e.g. Australia and South Africa) it remains
largely an unlikely, but possible event. The paper therefore walks
a line between a fully mechanistic, laboratory-informed approach
to seismic design and analysis, and one that reflects current
practice in seismically active countries, which includes the
widespread use of empirical approaches, such as charts relating
penetrometer resistance to liquefaction susceptibility. Another
aspect that is flagged is the continuing use of pseudo-static
coefficients in seismic analyses, at least for screening-level
evaluations. Retaining such empirical approaches respects the
philosophy espoused by Burland (1989) when discussing his
concept of the ‘soil mechanics triangle’, at the centre of which is
what he refers to as ‘well winnowed experience’.
Operating a TSF in an extremely cold climate, such as that in
northern Sweden and northern Canada present special challenges,
including embedment of frozen layers during winter operations.
While still frozen, these layers become effectively impermeable,
potentially resulting in preferential horizontal flow of seepage
water, with attendant stability implications. If these frozen layers
subsequently thaw, they may result in increased pore water
pressures and thus a reduction in shear strength. At the opposite
end of the climatic spectrum, many TSFs are in arid or semi-arid
locations, where evaporation dominates over precipitation. This
water imbalance can contribute to strength gain through the
process of desiccation noted above. However, crust formation due
to desiccation, which is exacerbated by use of highly saline
groundwater, results in restricted drying of tailings below the crust
layer. This has negative implications on TSF stability as gains in
shear strength that would otherwise occur are inhibited.
Let us now return to the key issue addressed in this paper, how
to address the design of upstream TSFs and how to evaluate the
stability of existing TSFs containing potentially liquefiable
tailings.
The greatest of these two challenges is evaluating the stability
of existing TSFs. There is often a paucity of relevant information
about the operational history of many TSFs, with issues such as
poor decant pond control, decant pipe breakages, or slope
instabilities often undocumented. Obtaining a reliable evaluation
of existing conditions is thus difficult. We contend that in-situ
testing techniques are the preferred first option, as extracting
samples for laboratory testing may destroy the very property of
interest, i.e. brittleness. Of the available in-situ testing methods,
the preferred option currently is the CPTu. This is probably due to
the great deal of both empirical and theoretical information to
facilitate estimation of properties such as undrained strength and
state. However, practitioners should be aware of the limitations of
these methods some of which we covered under Section 5.1.
Furthermore, the vast majority of studies using calibration
chamber tests to correlate CPTu readings with known, controlled
state conditions were carried out on clean, quarzitic sands. Many
tailings of interest when it comes to potential brittleness are
predominantly silts or silty sands. Recently, research has begun to
focus on this category of tailings using calibration chamber tests,
e.g. Ayala et al (2020). Existing limitations in the interpretation of
in-situ tests highlight the need of proactively managing a TSF to
prevent it from reaching a state where it is susceptible to
catastrophic failure. Measurable indicators that can inform this
type of proactive management have been described by Boswell
and Sobkowicz (2018).
Evaluations of the potential for static liquefaction at an
existing TSF are currently predominantly dependent on CPTu
testing, backed up with interpretations utilising fundamental
mechanics, such as critical state constitutive models in numerical
simulations of the cone penetration process. Evaluations of
potential seismic instability are different. Although evaluation of
in-situ state is carried out, as with static liquefaction assessments,
there is much greater reliance on empirical correlations, an
example being Figure 81 in this paper. These empirical
correlations are understandable, as there have been many
earthquakes in which liquefaction of sands has occurred, as well
as many where liquefaction has not occurred, with cone
penetration data also being available. Drawing correlations using
such data pairs is thus an obvious strategy. However, once again,
the majority of these correlations are based on earthquake-induced
liquefaction of relatively clean sands. Extrapolation to silty
materials usually requires accounting for any relevant differences
between silts and sands.
Laboratory testing is of course the only way to characterise
tailings behaviour during the design of a new facility, but can also
be useful for evaluations of existing facilities, as long as it is clear
what can reasonably be measured. Disturbed samples are widely
used to develop the critical state line, but may not provide
representative information about brittleness (particularly in terms
of both strength loss and the strain over which strength loss
occurs). Undisturbed samples are necessary to determine these
characteristics, and these are notoriously difficult to obtain in silts
and silty sands.
In characterising brittle (i.e. strain-softening) soils, focus is on
both the peak strength and the residual, large strain strength, with
many designers now regarding the latter as the governing stability
assessment criterion. This posed a question for the authors of this
paper, ‘are we (our industry) prepared to do whatever it takes to
ensure stability’?
Many currently operating TSFs, if evaluated using the
residual (or liquefied) shear strength (Sr), would be found to have
a factor of safety against slope instability of less than unity. We
say this based on our personal experience with reviews of many
existing facilities. What course of action should be taken in such
cases? Many of the larger mining companies have chosen as first
resort the construction of a stabilising buttress on the downstream
slope of the existing TSF, with some going even further and
constructing large earthen ‘deflector’ walls, to cater for a potential
flowslide failure. However, is this necessarily an appropriate
blanket solution (buttress construction), or should we adopt a
more nuanced approach for materials that require very large
strains to fully mobilise Sr (e.g. material B in Figure 74)? Clearly
an answer to this question depends on factors that include cost,
potential consequences of a failure, the risk appetite of different
companies and whether a credible failure mode for a particular
TSF truly exists.
Although case studies of the various TSF failures that have
been well-documented provide invaluable lessons to all tailings
engineers, relying on a reactive approach such as this is not
sufficient. There is a clear need for trained geotechnical engineers
who understand the subtleties of mine tailings, and have a sound
fundamental understanding of geotechnical engineering
principles. Ideally, this would equip the next generation of tailings
engineers with the ability to identify possible failure mechanisms,
or triggers for a failure, based on an understanding of geotechnical
engineering rather than just by comparison against a check-list of
previously documented failures. An excellent example of the
former is the report by CIMNE into the Brumadinho (Feijão) TSF
176
failure, where they identify the primary trigger for liquefaction as
being over-pressurisation of a vertical borehole during
installation. This particular trigger mechanism has not previously
been documented, to our knowledge, but required detailed
laboratory testing and numerical modelling.
Quite rightly, the need for better monitoring techniques of
TSFs to provide sufficient early warning of developing, or
impending failure likelihood is currently attracting a lot of
attention and research effort. Unfortunately, there has also been a
great deal of shameless opportunism, with some companies
making outrageous and unproven claims of their proprietary
technology’s ability to provide the required early warning. We
counsel scepticism when considering implementation of unproven
technologies to such important structures as TSFs containing
brittle tailings. We recognise that some of the emerging
technologies may ultimately provide the desired accuracy,
relevance and reliability, but this is not currently the case for many
technologies. Traditional instrumentation, such as vibrating wire
piezometers for pore pressure measurement, and inclinometers or
shape acceleration arrays for displacement measurements, should
be retained (where appropriate). Coupling these conventional
monitoring approaches with some of the emerging solutions is a
sensible approach.
Although this State of the Art paper is lengthy, there are many
topics we could still have covered. These include more detailed
discussions on high-density thickened tailings and filtered
tailings, as these tailings management strategies are generating
increased interest as owners tackle issues such as risk of failure
and competing demands for available water. Other emerging
solutions include the use of blended, or co-mingled waste
(combining waste rock with tailings). We suggest that most, if not
all of the approaches to characterisation of tailings discussed in
this paper are also applicable to thickened tailings, filtered
tailings, or co-mingled waste. An aspect not discussed in our
paper which will certainly find increasing application is
characterisation of unsaturated properties, particularly for projects
using filtered tailings for example.
We have also not specifically addressed the topic of
transitional materials, where the term is used to define soils
(tailings) that are characterised by incomplete convergence to a
unique normal compression line and/or critical state line in simple
laboratory tests (Todisco and Coop, 2019). Although Li and Coop
(2019) found no evidence of transitional behaviour in their tests
on iron ore tailings from the Panzhihua TSF in China, it is a
consideration we believe warrants further investigation for a range
of tailings. Given the current reliance on evaluations of the critical
state line for tailings, any dependence of the CSL on initial void
ratio must be identified and quantified.
Finally, we note the extreme importance of disseminating
knowledge to those operating TSFs in resource-poor countries,
where we use ‘resource’ in this context to denote access to
information, availability of suitable laboratories and skilled,
competent contractors (e.g. for conducing CPTu tests). The
performance record of TSFs leaves no doubt that significant
failures can occur in well-established mining jurisdictions in
which access to competent engineering services is available (e.g.
Australia, Brazil and Canada). Clearly the occurrence of high-
profile accidents in resource-poor countries is also a distinct
possibility. Preventing a TSF failure in any country should be a
concern of the entire mining industry. As evidenced by the
international reaction to the Feijão failure, everyone becomes
tarred with the same brush when such a failure occurs.
13 CONCLUDING COMMENTS
In the discussion section preceding these concluding comments
we reviewed the main points of our paper and discussed these in
a little more detail. Here we offer three overriding concluding
comments. They are based on the numerous discussions held
between the five co-authors over a period of many months.
We believe that, in general, the key underlying principles that
govern the behaviour of mine tailings (geotechnically speaking;
geochemical considerations are beyond our scope for this paper)
are well understood. The concerns generated by failures such as
Feijão, where spontaneous, or static liquefaction occurred with
such sudden and devastating consequences, caused consternation
for many engineers, who perhaps wondered if there was an
underlying principle that had until now remained unrecognised.
The relatively poor appreciation, at least until recently, of static
liquefaction may be due to the training at most universities of the
principles of soil mechanics, which often endorse the assumption
that ‘loading is drained in sands and undrained in clays’. With
many tailings being sand-like in that they consist of nonplastic
silty mixtures, it may have been tempting to assume that they
always exhibit drained behaviour. However, if we pause to
consider the definition of drained loading, which is loading that is
applied at a rate slow enough that excess pore pressures dissipate
quicker than they are generated, it becomes clear that sands can
fail in an undrained fashion, which is the essence of static
liquefaction. A key to understanding static liquefaction is that
shearing of contractive soils induces positive excess pore water
pressures. Once such shear-induced pore pressures are triggered,
they may propagate faster than even the most permeable sand is
capable of dissipating.
Our second point relates to the first. We contend that the
training of many tailings engineers is inadequate. Not recognising
the coupling between volume change and shear strength is a
deficiency of many undergraduate programmes. Although it is
certainly not faultless, critical state soil mechanics provides an
elegant connection between these two aspects of soil behaviour.
Inclusion of critical state soil mechanics, non-linear finite strain
consolidation theory, and a better appreciation of the strengths and
limitations of widely used laboratory and in-situ tests would
further aid in improving the quality of tailings engineering
practice. Likewise, seepage analyses for stability calculations
require far greater attention to the details of anisotropy, stress and
saturation dependent hydraulic conductivity in both formal
education and engineering applications. While routine seepage
models might be adequate for water balance calculations, often
they fail to identify critical issues that affect stability of TSFs.
Needless to say that if it were not for water in tailings, we would
not have stability problems. Given the rapid uptake of certain
numerical modelling packages, many of which include highly
complex constitutive laws, we are concerned that a lack of
understanding of fundamental soil mechanics principles will
result in misleading, potentially dangerous interpretations of the
results generated by such packages.
Our third, and final point is that there is still a great deal of
work to be done, techniques and theories to be developed and
refined. Use of in-situ tests, particularly the cone penetrometer, to
tailings applications has greatly advanced the understanding of
such tests, which has a benefit to all geotechnical engineering
practitioners. Issues of partial drainage during penetration, and the
challenge of interpreting cone test results when carried out in
partially saturated media are everyday experiences when working
on TSFs. Similarly, use of conventional consolidation theory may
often be inappropriate and misleading, particularly when working
with soft, highly compressible mine tailings. Volume change
calculations, and thus estimates of storage capacity of a TSF, may
be grossly in error if the consolidation behaviour of such tailings
is not correctly characterised. We strongly caution against the
extrapolation of information on material behaviour from one site
to another without an evaluation of the validity of such
extrapolation, preferably based on appropriate laboratory and/or
in-situ testing. As discussed in our paper, tailings particle shape
can be highly angular. Coupled with the fact that many tailings
have a wide distribution of particle sizes, unlike the clean,
relatively well-rounded sands on which many of our currently
177
used empirical correlations are based, a cautionary approach is
appropriate. We suggest that empirical correlations are a useful
starting point for tailings characterisation, but should be
confirmed with a comprehensive suite of testing, including both
laboratory and in-situ tests wherever possible.
14 ACKNOWLEDGEMENTS
The authors would like to thank Mr Edi Nuryatno for assistance
with drafting many of the figures and for assistance with final
formatting of the paper, Mr Christopher O’Donovan for assistance
with obtaining copyright clearances and for authors who kindly
granted us copyright clearance to reproduce figures of theirs,
being Antonio Gens, Ross Boulanger, Gonzalo Castro and
Michael Etezad. The authors also gratefully acknowledge many
of our students and colleagues who have contributed through
numerous discussions over the years to the development of ideas
presented in the paper.
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