Continuum and Distinct Element Numerical Modeling in Geomechanics – 2011 – Sainsbury, Hart, Detournay & Nelson (eds.

) Paper: 09-04
©2011 Itasca International Inc., Minneapolis, ISBN 978-0-9767577-2-6

Effective stress dynamic deformation analysis of Hamata Tailings

Dam

H. Jitno
Harmony Gold, Brisbane, Australia

ABSTRACT: The Hamata tailings storage facility (TSF) is located in Morobe, Papua New
Guinea and consists of Main Dam and Saddle Dam. The Saddle Dam is mostly founded on
relatively loose saturated alluvium which was estimated to be liquefiable under design
earthquakes. An effective stress dynamic analysis was carried out using FLAC software utilizing
UBCSAND constitutive model. The results of analysis for the Saddle Dam indicate that
widespread liquefaction is predicted within the alluvium and the tailings. Under MDE events,
the calculated crest lateral deformations range from 1.8 m to 3 m, and crest settlement of up to
0.9 m. About half of those values were computed under the OBE event. Despite widespread
liquefaction and relatively large deformations, the results demonstrate that dam is predicted to
move as a rigid body as the shear zones are concentrated in the liquefied dam foundation. As a
result, the dam filters, which are critical in ensuring the dam integrity, were not observed to
suffer any major shear deformations. The computed post-liquefaction factor of safety against
instability is also greater than unity. These observations from the model agree well with the
results of the KCB design that the dam is stable during and after the design earthquakes.

1 INTRODUCTION

The Morobe Mining Joint Venture (Harmony Gold and Newcrest Mining) is operating the
Hidden Valley Gold Mine in the highlands of Papua New Guinea, which includes the
construction of a tailings storage facility (TSF) at Hamata, adjacent to the Hamata Open Pit. The
TSF consists of a main dam and a saddle dam, at the downstream and upstream ends of a
relatively flat-floored valley which formed due to the infilling of a steeply incised valley by rock
slide debris, and subsequent deposition of alluvial sediments. The Main Dam will be about 130
meters high and the Saddle Dam about 65 meters high with the crest levels for both
embankments at RL 2000 m. The Saddle Dam is mostly founded on relatively loose saturated
alluvium which was estimated to liquefy even under moderate ground shaking levels.
The tailings dams were designed by Klohn Crippen (2004) and this design has been the
subject of an independent expert review (Fell 2006). The updated design (KCB 2009) has also
been a subject of an independent expert review (URS 2009a). In general, both expert reviewers
agree that “the design of the embankments is appropriate for site conditions and the available
construction materials, and that it meets modern standards for tailings storage facilities” (URS
2009a). Discussions on the design and construction methods in general are presented by Friedel
et al. (2010).
The methodology adopted by KCB in design to estimate dynamic deformations was discussed
during independent reviews and it was agreed that it was adequate for the design case and the
level of site information available. A more detailed assessment using a more sophisticated
approach (i.e. FLAC) was identified during the redesign and supported by external reviewers as
being advisable in the future to better define deformation resulting from the earthquake and the
potential impacts on the operation/closure of the mine operation.
 For the above reasons, Morobe Mine Joint Venture (MMJV) has carried out seismic
deformations analysis of the TSF using FLAC software, utilizing the state-of-the-art effective
stress UBCSAND model developed at the University of British Columbia (e.g. Beaty & Byrne
1998, Byrne et al. 2003, 2006). The static soil parameters were adopted from KCB (2009) and
additional parameters required for the dynamic analysis were estimated by the author. This
paper presents the results of analysis based on the geotechnical model developed by KCB.

2 PREVIOUS ANALYSIS

KCB (2009) has carried out both stability and deformation analyses to verify that the stability
and deformation criteria are satisfied. They used limit equilibrium analysis to check the stability
of both the Main and Saddle dams under static and seismic loading conditions, and utilized
simplified seismic deformation analysis to assess the likely dam deformations under the design
earthquakes.

2.1 Post earthquake stability analysis

Based on the results of liquefaction analysis, KCB (2009) found that the foundation of the
Saddle dam will experience widespread liquefaction under the MDE peak ground acceleration
of 0.3 g. They also identified that widespread liquefaction is likely to occur under lower OBE
peak ground acceleration of 0.26 g. During earlier work, KCB has identified that Section P
through the Saddle Dam was the critical slope stability section. They further carried out stability
analysis along Section S (approximately 350 m south of Section P) to confirm this was still the
case after the design modifications. In these post earthquake stability analyses, no inertia forces
are considered, but “liquefied” strengths are used in zones predicted to liquefy. To control
deformation and to maintain stability under post earthquake liquefied ground conditions, the
designers extended the dam toe onto relatively competent weathered rock, thereby creating toe
support for earthquake stability. The results of KCB analysis are presented below (Table 1) and
suggest that Section S is the most critical section for the Saddle dam. This section is used in the
deformation analysis carried out by the author.

Table 1. Results of post-earthquake stability analysis of Saddle Dam.

_______________________________________________________________________________________________
Saddle Dam Cross Section Direction of Slip Factor of Safety
_______________________________________________________________________________________________
Section P Downstream 1.1
Section S Downstream 1.0
_______________________________________________________________________________________________

2.2 Simplified seismic deformation analysis

KCB used a simplified analysis to estimate the likely deformation of the dams under earthquake
loadings. They used the method proposed by Hynes-Griffin and Franklin (1984), which was
based on sliding-block analysis originally proposed by Newmark (1965). Based on some cases
involving liquefaction with post-earthquake factor of safety greater than 1.0 described by
Marcuson et al. (1990) KCB decided that this method was appropriate for the Hamata Tailings
Dams based on the extent of the available soil data. Using this approach, KCB obtained the
following seismic deformations for both Main and Saddle Dams under the MDE event:
− Main Dam: < 0.3 m; and
− Saddle Dam: horizontal displacement of 0.8 m to 2.1 m and post liquefaction settlement up to
1.0 m.

3 CURRENT SEISMIC DEFORMATION ANALYSIS

The more elaborate deformation analysis was carried out by MMJV using a commercially
available computer code FLAC (Itasca 2009). The program has a number of built-in soil
constitutive models which permit simulation of highly nonlinear, irreversible responses

2
representative of geologic materials. The nonlinear models currently built into the program
FLAC are primarily intended for analyzing quasi-static loading or dynamic situations to which
the response is primarily monotonic. A fully nonlinear analysis demands greater user
involvement and requires a comprehensive stress-strain model to reproduce some of the more
subtle dynamic phenomena. The constitutive model used in the current analysis for liquefiable
soils is a user-defined constitutive model developed at the University of British Columbia
(UBC) called UBCSAND (Beatty and Byrne, 1998). It is an adaptation of FLAC’s Mohr
Coulomb model in which plastic response occurs for all loading stages. The non-liquefiable
soils are modeled using UBCHYS soil model (Byrne, 2006), which is an adaption of Mohr
Coulomb in which nonlinear elasticity is introduced below the strength envelope.

3.1 Brief description of UBCSAND effective stress model

The UBCSAND model is a fully coupled (kinematic hardening) effective-stress constitutive
model to predict seismic response and liquefaction of cohesionless soils in plane strain
conditions. The model uses an elasto-plastic formulation, based on an assumed hyperbolic
relation between stress ratio and plastic shear strain. It is applicable for static as well as dynamic
loading. This model was first designed for use with the computer code FLAC Version 4.0 (Itasca
2000). The latest version of the UBCSAND model which contains some refinement of the
previous model was used in the current analysis.
The model is capable of capturing the stiff pre-liquefaction stage, the onset of liquefaction at
the appropriate number of cycles, and the very much softer post-liquefaction response observed
in cyclic, simple shear-constant volume tests. The model has been calibrated against many
laboratory data and field case histories and has been used by many major agencies in the US and
Canada to assess seismic deformation of general earth structures.
The model has been successfully used in analyzing the CANLEX liquefaction embankments
(Puebla et al. 1997) and back-analyzing the failure of Mochikoshi tailings dam (Seid-Karbasi &
Byrne 2004), and dynamic centrifuge test data (e.g. Byrne et al. 2003).

3.2 Earthquake design parameters

Klohn Crippen (2004) developed the estimates of 0.26 g and 0.30 g peak ground acceleration for
ground motions at the Hidden Valley Site for return periods of 475 years (Operating Basis
Earthquake, OBE) and 1000 years (Maximum Design earthquake, MDE) respectively and used
the following earthquake scenarios to the ground motion levels:
− Operating Basis Earthquake, OBE: M 7.5 earthquake on the North Owen Stanley thrust fault,
closest distance of 30 km; PGA = 0.26 g.
− Maximum Design Earthquake, MDE: M 8.0 earthquake on the Ramu Markham thrust fault,
closest distance of 100 km; PGA = 0.30 g.
As part of independent expert review of the TSF design, MMJV have requested URS to review
the KCB seismic design parameters and provided the relevant time history of accelerations for
FLAC fully dynamic analysis. URS (2009b) has developed target response spectra based on
ground motion prediction models for shallow crustal earthquakes in tectonically active regions
for the site. Figure 1 shows the MDE design response spectrum, and response spectra of the
original and modified input earthquake records that matched the design spectrum.
Based on the seismotectonic settings, earthquake magnitude, epicentral distance and the shear
wave velocity of the ground at the site, URS selected several time histories of accelerations to be
used as input ground motions for FLAC analysis, which were then modified to match the target
response spectra shown in Figure 1.

3.3 Dam geometry

Results of liquefaction analysis carried out by KCB indicate that the Saddle Dam is susceptible
to liquefaction whereas the Main Dam is not significantly affected by liquefaction of the
foundation soils. Therefore, only the critical cross section of the Saddle Dam was considered in
the analysis. The geometry used in the analysis was selected from the results of post-earthquake

3
stability analysis which gives the lowest factor of safety. The geometry used is Section S as
shown in Figure 2 and the FLAC model is shown in Figure 3.

Figure 1. MDE Design Response Spectrum for Hidden Valley Site and typical response spectra (original
and matched) of the input earthquake records (URS 2009b).

Tailings surface RL 1999

Assumed phreatic surface

Figure 2. Cross Section S – Saddle Dam with tailings surface at RL 1999 and assumed phreatic surface.

Figure 3. FLAC finite difference model. Saddle dam with full tailings. Dam crest was modeled at RL
1999 m.

4
3.4 Geotechnical parameters used in the analysis
The static shear strength parameters used in this analysis were similar to those used by KCB
(2009) with slight modifications on the rock properties, and isotropic assumption on the
material’s permeability as shown in Table 2. The shear and bulk modulus shown in Table 2 are
the values for small strains which are much higher than the static values. The deformation
moduli were calculated by the author based on the values of (N1)60.
The (N1)60 value for tailings was estimated from other tailings (Ishihara, 1984) and taken to
be 3 to take into account the possible consolidation effects of the tailings with time. The (N1)60
for the alluvium was taken from available borehole data (boreholes HAMD-058, HAMD-059,97
HMG T05 and 98HMGT07) as shown in Figure 4. The plot indicates that the 33rd percentile is
10 and the average (N1)60 value is 15.

Table 2. Geotechnical properties used in the analysis.

________________________________________________________________________________________________________
Material kh=kv kg kb γm n Rf φ’ c’ τliq1) (N1)60
3
(kN/m ) (m/sec) (deg) (kPa)
________________________________________________________________________________________________________
Oxide 20 2.0×10-7 880 618 0.5 0.5 0.9 35° 0 - 20
Rockfill Shell 20 1.0×10-2 1110 778 0.5 0.5 0.9 40° 0 - 40
Coarse Filter 20 1.0×10-4 950 666 0.5 0.5 0.9 40° 0 - 25
Tailings 20 1.0×10-9 470 328 0.5 0.5 0.9 28° 0 10 kPa 3
Alluvium 19.6 7.5×10-6 800 561 0.5 0.5 0.9 33° 0 0.135σv’ 15
Weathered
Granodiorite 23.8 1.0×10-6 1010 707 0.5 0.5 0.9 35° 5 - 30
-8
Bedrock 23.8 1.0×10 1200 838 0.5 0.5 0.9 40° 100 - 50
________________________________________________________________________________________________________
Notes:1) τliq = liquefied strength of tailings and alluvium were taken from KCB (2009).
γ = bulk unit weight; kh,kv = horizontal and vertical permeability; kg,kb = modulus and bulk modulus
numbers; n,m = modulus and bulk modulus exponents; Rf = failure ratio; φ’ = friction angle; c=cohesion;
(N1)60 = SPT blow counts normalized to 1 atmospheric pressure and 60% blow energy.

SADDLE DAM FOUNDATION - HAMATA TSF

(N1)60
0 10 20 30 40 50 60
0

10
Depth Below Ground Surface (m)

15

20

25

30

35

40

45

50

HAMD-059 HAMD-058 98HMGT07 97HMGT05 33rd percentile Average Value KCB

Figure 4. Plot of (N1)60 value from available borehole data for alluvium. Adopted (N1)60 = 15.

The data in Figure 4 suggest that the top 10-m may consist of looser sand with an average
(N1)60 value of about 10, underlain by denser sand with average (N1)60 value of about 20 or
more, and then underlain by looser sand with (N1)60 average of about 15. A constant (N1)60 value
of 15 was adopted for this analysis, which was similar to the value adopted by KCB (2009) in
the design. Further work is on going to better characterize the (N1)60 values of the dam
foundation as part of an option study to increase the TSF capacity.
The (N1)60 values for other materials were estimated based on the author’s experience. These
values were used to calculate the shear and bulk moduli in the UBCHYS soil model.

5
3.5 Procedure of analysis
Quiet boundary conditions are applied at the base of the model to absorb the reflecting waves
from the surface. In order to do this together with the application of earthquake motion at the
base, the earthquake input motion must be applied as a stress boundary. Otherwise, the effect of
the quiet boundary will be nullified when the input motion is applied as acceleration or velocity
wave. Note that non-physical wave reflection (if rigid base boundary is used inappropriately) is
particularly significant in cases involving liquefaction of soils, as shown by Mejia & Dawson
(2006).
The right and left boundaries of the model are simulated using two free-field boundaries that
are viscous, allowing wave propagation through the vertical boundaries in the horizontal
direction.
A rock input motion was applied at the base of the finite-difference model shown in Figure 3.
Before the dynamic load was applied, displacements calculated during the static analyses were
set to zero so that the displacements computed from the dynamic analysis would reflect only the
effects of earthquake shaking. The response of the embankment was computed for both assumed
OBE and MDE input motions (URS 2009b). Each design earthquake was analyzed using four
different earthquake records.

3.6 Results of analysis

The results of analysis are presented in terms of plots of pressure histories, zones of liquefaction,
displacement vectors, and contours of deformations. Typical plots are shown in Figures 5 to 9.
The computed seismic deformations at the dam crest and downstream berm are presented in
Table3.

Table 3. Computed deformations at the crest and downstream berm of the Saddle Dam.
________________________________________________________________________________________________________
Earthquake Design PGA Upstream Crest Downstream Crest Downstream Berm
Records EQ (g) Displ (m) Displ (m) Displ (m)
xd yd xd yd xd yd
________________________________________________________________________________________________________
Chichi-kau-000 MDE 0.3 3.01 -0.78 3.02 -0.11 3.15 0.81
Chichi-kau-090 MDE 0.3 2.25 -0.48 2.39 -0.16 2.46 0.57
Chichi-ila-000 MDE 0.3 2.08 -0.43 2.35 -0.07 2.43 0.59
Chichi-ila-090 MDE 0.3 1.82 -0.29 1.91 -0.11 1.8 0.47
Taft-000 OBE 0.26 0.91 -0.15 0.86 -0.05 0.71 0.12
Taft-090 OBE 0.26 0.83 -0.15 0.78 -0.07 0.63 0.1
Tabas-lng OBE 0.26 0.93 -0.19 0.87 -0.09 0.72 0.15
Tabas-trn OBE 0.26 0.91 -0.15 0.87 -0.05 0.74 0.14
________________________________________________________________________________________________________

4 DISCUSSION
4.1 Foundation Liquefaction
The time histories of pore pressure responses during earthquake at several soil elements within
the tailings and the alluvium are depicted in Figure 5. The tailings close to the surface develops
high pore pressure response and liquefied within the first 25 seconds of the earthquake, for both
zones located close to the dam and at far-field. This is not surprising due to low SPT blow
counts of the tailings and supports the assumption in the Marcuson et al. (1990) approach as
used by KCB.
The soil elements within the alluvium have different pore pressure response depending on the
location and they seem to be somewhat affected by the presence of the dam. The zones located
quite close to the base of the dam only experienced partial liquefaction but those located further
upstream showed 100% pore pressure increase after 40 seconds of the shaking. The pore
pressures do not seem to reduce with time after the earthquake stops at t = 90 seconds, probably
due to low permeability of soils which hinders pore pressure dissipation.

6
 As can be seen in Figure 6, widespread liquefaction was predicted beneath the dam which
confirms the design assessment of liquefaction potential based on (N1)60-cs values by KCB
(2009). The alluvium beneath the Saddle dam was predicted to liquefy to the whole depth up to
30 m below the base of the dam. The alluvium beneath the downstream berm was also predicted
to liquefy to some extent, in particular at the centre of the deposit.

300
Acceleration (cm/s2)

200

100

-100

-200

-300
0 10 20 30 40 50 60 70 80 90 100

1.1
tailings - behind the dam crest (close to the surface)
1

0.9 Alluvium - beneath dam centre line

about 20m below dam base
0.8 Alluvium - far field
Pore Pressure Ratio

0.7

0.6

0.5 Alluvium - about 100m upstream of the dam

5-m below the original ground surface
0.4

0.3

0.2 Pt 4,28 Pt 16,28 Pt 32,22 Pt 28,26 Pt 28,48

0.1

0
0 10 20 30 40 50 60 70 80 90 100
Earthquake duration - second

Figure 5. Plots of pore pressure response time history at several points located in the alluvium and the
tailings. MDE event with PGA = 0.3g using Chichi input motion recorded at ILA station 000 component.

Figure 6. Zone of liquefaction beneath and adjacent to the Saddle dam due to MDE event with PGA=0.3
g using Chichi input motion recorded at ILA station 000 component. t=100 seconds from start of shaking.

4.1.1 Seismic displacement

The results shown in Figures 7 to 9 indicate that the dam will move as rigid body with
maximum strains developed at the base of the dam within the liquefied foundation. The
magnitudes of lateral deformation at the crest are ranging from 1.80 m to 3.0 m and upstream
crest settlement of up to 0.9 m for MDE. These values agree quite well with the estimates from
the simplified empirical approach applied by KCB. As can be seen in Figure 8, the potential
failure zones developed at the base of the dam, within the liquefaction zone, and extend
upstream of the dam. Since the dam moves as a rigid body, the filter is unlikely to suffer
significant differential movement and it will likely stay intact.
The computed deformations for the OBE event are less than those computed for the MDE, as
expected. This is mainly due to lower PGA and shorter earthquake duration. Lateral crest
deformation of up to 0.9 m and settlement of 0.2 m were predicted under the OBE event. This
level of deformations is not likely to disrupt the tailings dam operation.

7
Figure 7. Saddle dam displacement due to MDE event with PGA = 0.3 g using Chichi input motion
recorded at ILA station 000 component. t = 100 seconds from start of shaking.

Figure 8. Plot of shear strains showing the potential of failure zones. MDE event with PGA = 0.3 g using
Chichi input motion recorded at ILA station 000 component. t = 100 seconds from start of shaking.

Figure 9. Contours of Saddle Dam lateral displacement due to MDE event with PGA = 0.3 g using Chichi
input motion recorded at ILA station 000 component. t = 100 seconds from start of shaking.

4.1.2 Post-earthquake stability

The factor of safety against stability can be checked using the deformed geometry of the dam,
incorporating the post-earthquake or liquefied strength of the alluvium and tailings adopted from
KCB (2009), as shown in Table 1. These liquefied strength values are based on field case
histories during past earthquakes (Idriss 2004). The post-earthquake strength of other materials
comprising the dam will not be significantly affected by the earthquake and the pre-earthquake
strength parameters can be used.
The stability analysis was carried out using strength-reduction method in FLAC, which slowly
reduces the strength of materials until it reaches a value which gives an onset of failure. The
ratio between the original strength and this value is the factor of safety against instability. The
computed post-liquefaction factor of safety using FLAC (under large strains option) was 1.26.

8
The higher computed factor of safety under large strain option than those computed using limit
equilibrium analysis is due to the reduction of driving stress with increasing deformations. This
confirms the KCB design assessment that the dam is stable under the post earthquake condition.

5 SUMMARY AND CONCLUSIONS

An effective stress dynamic analysis has been carried out to assess the seismic deformations of
the Hamata tailings dam using a sophisticated two-dimensional effective stress analysis. The
seismic deformation analysis above is summarized below:
1 The analysis was carried out using a computer program FLAC utilizing UBCSAND
constitutive model for liquefiable soils. The constitutive model used herein is capable of
capturing the stiff pre-liquefaction stage, the onset of liquefaction at the appropriate number
of cycles, and the very much softer post-liquefaction response observed in cyclic simple
shear-constant volume tests. The model has been calibrated against many laboratory data and
field case histories and has been used by many major agencies in the US and Canada to
assess seismic deformation of general earth structures.
2 The earthquake input motions were based on Klohn Crippen (2004) which estimated 0.26 g
and 0.30 g peak ground acceleration at the site for return periods of 475 years (OBE) and
1000 years (MDE). The time history of acceleration was derived by URS (2009b) from
Chichi earthquake in Taiwan for the MDE and Tabas earthquake in Iran for the OBE. The
input motions were spectrally matched with the target response spectrum (URS 2009b).
3 The corrected (N1)60 values and the post-liquefaction residual strength for tailings and
alluvium were adopted from KCB (2009). It is understood that further work is on going to
refine the foundation strength parameters as part of an option study to increase the capacity
of the TSF.
4 Based on the above parameters and assumptions, the results of analysis on the most critical
section of the Saddle dam indicate that widespread liquefaction within the tailings and the
foundation is predicted under the design earthquakes, which confirms the liquefaction
assessment completed by KCB based on (N1)60-cs values. The computed lateral deformations
range from 1.8 to 3 m, and crest settlement of up to 0.9 m under the MDE event. About half
of those values were predicted for the OBE event, i.e. 0.9 m lateral movement and 0.2 m
settlement. The model results agree well with the magnitude of deformation estimated by
KCB using the simplified empirical approach presented in Marcuson et al. (1990). The FLAC
analysis gives additional insight into the pattern of deformation and how it may impact mine
operation.
5 Despite widespread liquefaction and relatively large deformations, the dam was shown to be
stable during the design earthquakes and move as a rigid body as the shear zones are
concentrated in the liquefied dam foundation. As a result, the dam filter, which is critical in
ensuring the dam integrity, will not suffer any major shear deformations, and will likely stay
intact. The computed factor of safety against stability using post-liquefaction strength also
indicates a value greater than unity, confirming that the dam is stable after the earthquake.
These observations from the model agree with the results of the KCB design that the dam is
stable during and after the design earthquakes.

ACKNOWLEDGEMENTS

The author would like to thank MMJV and its joint venture partners Harmony Gold Mining
Company Ltd. and Newcrest Mining Ltd, for the permission to publish this paper. He also
would like to express his sincere gratitude to Emeritus Professor Peter Byrne of the University
of British Columbia, his former PhD supervisor, who has kindly provided the UBCSAND fish
routine for use in the FLAC analysis and technical advices in carrying out the analysis. Finally,
he would like to thank KCB, in particular Len Murray and Rick Friedel, for their work in
designing Hamata tailings dam - the first tailings dam in Papua New Guinea and also their
valuable input in preparing this paper.

9
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