INSIGHTS

PERSPECTIVES

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ENVIRONMENT

Why coal ash and tailings dam disasters occur

Knowledge gaps and management shortcomings contribute to catastrophic dam failures

By J. Carlos Santamarina1, first figure) (2, 3). Similar accidents also oc- of tailings dam and ash pond failures shows
PHOTO: DOUGLAS MAGNO/AFP/GETTY IMAGES

Luis A. Torres-Cruz2, Robert C. Bachus3 cur at electric power stations, where ponds that little-understood processes such as
are used to store coal combustion residuals time-delayed triggering mechanisms are

O
n 25 January 2019, the structure such as fly and bottom ash. There are about more likely to manifest when best engineer-
damming a pond filled with iron 1000 operating ash ponds in the United ing practices are disregarded.
ore mining wastes (tailings) burst States (4), and coal consumption patterns Failure of the containment structure
at Brumadinho, Brazil (1), causing a suggest that there may be more than 9000 around mine tailings and coal ash is often
massive mudslide that killed at least worldwide. The catastrophic accident at the followed by a fast-moving mudflow, which
232 people. This tailings dam failure Kingston fossil power plant in Tennessee in can run downstream for several miles, with
was only the most recent in a long list of 2008 (5) highlights the destructive poten- catastrophic consequences. This liquefac-
catastrophic tailings dam accidents (see the tial of ash pond failures. Detailed analysis tion of the impounded materials may sug-

526 10 MAY 2019 • VOL 364 ISSUE 6440 sciencemag.org SCIENCE

Published by AAAS
 Massive damage was caused by the failure of a mine life of the structure, and their effects can take sense even minor changes in small-strain
tailings dam near the town of Brumadinho, Brazil. More years or even decades to become evident. By stiffness and could help to detect incipient
than 232 lives were lost. Periodic failures of impounded contrast, most laboratory experiments con- diagenetic cementation in the field (10).
industrial waste have catastrophic social, economic, ducted on tailings and coal ash samples last
and environmental consequences worldwide. from a few hours to a couple of weeks. This MANAGEMENT AND OPERATION
discrepancy in time scales points to the need As filling of the storage pond progresses,
gest to regulators and the public that the for continuous monitoring of these structures the retaining dams for tailings or coal
problem lies with the impounded materi- to properly assess their evolution in time. combustion residuals are raised by build-
als themselves. However, in the absence The large mudflows that follow dam fail- ing new dykes on top of the preceding one.
of internal collapse or induced shear (for ures imply the presence of loose, water-satu- Each new dyke may be partially shifted
example, as a result of a seismic event), rated sediments that want to contract upon toward the pond (upstream construction),
liquefaction and outflow of ponded ash shear: Water cannot drain fast enough, aligned with the preceding dyke (center-
and tailings occur after the dam has failed. and grains become temporarily suspended, line construction), or shifted away from
Thus, liquefaction does not cause the fail- forming a dense fluid (liquefaction). How- the pond (downstream construction). In
ure, but rather the disaster that follows. ever, laboratory studies that attempt to centerline and upstream constructions,
emulate the hydraulic deposition used to part of the new dyke thus rests on im-
FAILURE MECHANISMS deliver ash and tailings to the pond often pounded material. The upstream method
Forensic analyses of ash pond and tailings fail to predict liquefaction under monotonic (see the second figure) is the most econom-
dam failures are hindered by the massive loading until impoundment depths exceed ical, but it requires appropriate construc-
destruction that washes away evidence 15 to 20 m. In other words, these studies tion practices to create wide beaches made
from the failed zone. Nevertheless, forensic suggest that the hydraulic deposition of ash of the coarser tailings close to the dykes

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investigations of notable dam failures have
identified several mechanisms, including
overtopping due to water mismanagement Catastrophic dam failures
(Merriespruit, South Africa, 1994) (6), shear Over the past century, tailings dam and ash pond failures and the resulting fast-moving mudflows
failure of foundation soils (Mount Polley, have led to a cumulative loss of almost 3000 lives. Data from (3).
Canada, 2014) (7), and shear of compressible
low-permeability tailings placed near the
300 3500
perimeter of the impoundment (Samarco, Brazil 2015 Brazil 2015
Brazil, 2015) (8). These postfailure investi- Canada 2014 Canada 2014
gations have often found the convergence 250 3000
of more than one weakness in the design, China 2008
Released volume (103 m3)

China 2008
construction, and/or operation of the dam. 2500
200 Human life loss Italy 1985
The Brumadinho dam was closely ob-
Italy 1985 2000
served, and abundant laboratory tests, in Brazil
situ tests, and monitoring data were avail- 150 Bulgaria 1966
Brazil 2019
able. Furthermore, it failed 3 years after Bulgaria 1966 1500
2019
closure, contrary to the expectation that 100
geotechnical structures become more stable Mexico 1000
Mexico
1937 Philippines 1992 Philippines 1992
over time. Indeed, an August 2018 audit 50 1937
concluded that the dam was stable (9). That 500
an apparently closely monitored and inac-
tive dam failed catastrophically less than 0 0
1910 1930 1950 1970 1990 2010 1910 1930 1950 1970 1990 2010
half a year after being audited suggests that
there may be gaps in the scientific under-
standing of waste-storage facilities and of and tailings does not necessarily produce a to improve drainage and stability, while
time-delayed triggers of failure. Filling these contractive, liquefiable sediment. the finer tailings are deposited in the pond
knowledge gaps will require changes in how Thus, more-complex mechanisms are further away from the dyke. Much of the
coal ash and mine tailings are character- required to explain the time-delayed trig- discussion that followed the Brumadinho
ized, improved test protocols, and enhanced ger and the mudflow that often follows ash failure has focused on the upstream con-
physics-informed data interpretation. ponds and tailings dam failures. These may struction method used at the site (1).
Tailings dams and ash ponds experience involve coupled hydro-chemo-mechanical Analysis of case histories points to sub-
various time-dependent processes, such as processes. For example, recent data show standard management and operational
gradual strains associated with pore-water that fly ash (fine particles from burnt fuel) practices, often driven by the pursuit of
pressure dissipation or creep, internal ero- can experience early diagenetic cementation greater financial returns, which lead mine
sion and piping, and the migration of fine after placement (10). This process locks in managers to compromise on the safety of
grains that can cause the gradual clogging high porosity during burial and results in a tailings dams (6). In his 1980 classical es-
of internal drainage pathways and the rise brittle material response that may favor liq- say, the geotechnical engineer Ralph Peck
GRAPHIC: C. BICKEL/SCIENCE

of fluid pressure within the impoundment. uefaction either by internal fabric collapse noted the high probability of failure of
These processes occur throughout the entire or during the shear that follows dam failure. earth dams (12). He remarked that failures
Cemented layers have also been identi- were more often associated with disregard
1
King Abdullah University of Science and Technology, Thuwal fied in tailings dams (11), suggesting that for proper engineering practices, rather
23955-6900, Saudi Arabia. 2University of the Witwatersrand,
Johannesburg 2000, South Africa. 3Geosyntec Atlanta, GA mine tailings may be prone to similar ef- than lack of knowledge. Similarly, the
30319, USA. Email: [email protected] fects. Shear-wave velocity measurements International Commission on Large Dams

SCIENCE sciencemag.org 10 MAY 2019 • VOL 364 ISSUE 6440 527

Published by AAAS
INSIGHTS | P E R S P E C T I V E S

Mechanisms and processes of tailings dam and ash pond failures

Many different aspects of impounded ash and mine tailings and the associated dams can contribute to dam failures and the resulting fast-moving mudflows.
The figure shows upstream construction as an example; most processes and mechanisms shown also apply to centerline and downstream construction methods.

Settling pond Low-density fll Sun drying densifes Slurry Discharge Upstream
1 and strengthens sediments pipeline embankment

Accumulated 3
2 5
tailings or ash
7
Seepage

Native foundation materials

6

1 High water levels 2 Inherent size 3 Early cementation 4 Heavy rains 5 Compressible and 6 Slip along preexisting 7 Internal piping erosion,
due to inadequate segregation and results in a loose can cause low-permeability weak seams in the fnes migration, and
drainage facilitate layering produce a sediment structure, overtopping fnes close to the foundation can lead mineral precipitation

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mudfows in deposit with diferent which may collapse and dam embankment to global shear failure. progressively change
the event of dam hydromechanical during loading or in erosion. can reduce dam This mechanism is fuid-pressure
failure. properties in the the event of a stability. aggravated by rapid distribution and can
vertical and seismic trigger or increases in dam compromise dam
horizontal directions. dam failure. elevation. stability.

investigated the failure of 221 tailings to manifest and define the response of tail- RE FERENCES AND NOTES

dams and also concluded that most were ings and ash impoundments when best 1. S. Darlington et al., “A tidal wave of mud,” New York Times,
2019; www.nytimes.com/interactive/2019/02/09/
avoidable (13). engineering practices are disregarded. world/americas/brazil-dam-collapse.html.
Indeed, postfailure investigations often Thus, preventing failures and subsequent 2. C. Roche, K. Thygesen, E. Baker, Eds., “Mine tailings stor-
highlight departures from regulation and destructive mudflows requires enhanced age: Safety is no accident” (Rapid Response Assessment,
United Nations Environmental Programme and GRID-
good practice. The internal review con- physical understanding, effective engi- Arendal, Nairobi and Arendal, 2017).
ducted by the Inspector General of the Ten- neering and management, and enforce- 3. See https://worldminetailingsfailures.org.
nessee Valley Authority after the accident at ment of regulations. Furthermore, these 4. See https://earthjustice.org/features/map-coal-ash-
contaminated-sites.
the Kingston fossil power plant noted that failures underscore the need for new 5. Tennessee Valley Authority (TVA), Office of the Inspector
the spill could be attributed to “failure of performance-monitoring instrumentation, General, “Review of the Kingston fossil plant ash spill root
the company management to respond to a better technologies for characterizing exist- cause study and observations about ash management”
problem that was identified several years ing impoundments, and appropriate retro- (Inspection report 2008-12283-02, TVA, 2009).
6. G. Blight, Geotechnical Engineering for Mine Waste Storage
earlier” (5). The postfailure investigation fitting strategies. Facilities (CRC Press, 2010).
of the Merriespruit tailings dam in South Following the Brumadinho dam failure, 7. N. R. Morgenstern, S. G. Vick, D. V. Zyl, “Report on Mount
Africa revealed that the water level in the the Brazilian authorities have banned the up- Polley tailings facility breach” (Province of British
Columbia, 2015).
dam was higher than prescribed (6). The in- stream construction method. However, most 8. N. R. Morgenstern, S. G. Vick, C. B. Viotti, B. D. Watts,
vestigation of the Mount Polley tailings dam upstream dams have performed well, and “Report on the immediate causes of the failure of the
failure in Canada noted departures from storage dams built using the downstream Fundão dam” (commissioned by BHP Billiton Brasil Ltda.,
Vale S.A., and 20 Samarco Mineração S.A., 2016).
approved particle size and required beach and centerline methods have also failed. 9. M. Namba, M. O. Cecílio Jr., S. Ono, G. Bilesky, “Auditoria
width (7). At Brumadinho, the filling of the Clearly, no construction method is immune Técnica de Seguranca 2° ciclo 2018 complexo
tailings dam appears to have proceeded to mismanagement and poor engineering Paraopeba—Mina Córrego Feijão Barragem I” (in
Portuguese) (TÜV SÜD Bureau, 2018).
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between 1976 and 2005, a departure from forts should seek to identify the true trigger- 04019003 (2019).
sound engineering practice (14). ing mechanisms and the underlying causal 11. L. A. Torres-Cruz, in From Fundamentals to Applications
in Geotechnics—Proceedings of the 15th Pan-American
factors that are critical for the prevention of Conference on Soil Mechanics and Geotechnical
TOWARD PREVENTING DAM FAILURES future accidents. Engineering, D. Manzanal, A. O. Sfriso, Eds. (IOS Press,
The key to understanding the cause of ash Given the number of tailings and ash 2015), pp. 406–413.
impoundment and tailings dam failures impoundments around the world and their 12. R. B. Peck, Can. Geotech. J. 17, 584 (1980).
13. International Commission on Large Dams (ICOLD), United
lies in identifying the triggering mecha- historical failure rate, more failures can be Nations Environment Programme (UNEP), “Tailings dams
nisms that lead to the failure of the con- anticipated. The situation is aggravated by risk of dangerous occurrences—Lessons learnt from
tainment system. On the other hand, the the tragic consequences often faced by the practical experiences” (Bulletin 121, ICOLD, 2001).
GRAPHIC: C. BICKEL/SCIENCE

14. W. P. Da Silva, thesis (in Portuguese), Federal University of

key to anticipating the potential conse- populations living downstream from the Ouro Preto (2010).
quences of the failure lies in determining impoundment. Each incident prompts us
whether the impounded waste is prone to to gain better physical insight, improve en- ACKNOWL EDGMENTS

liquefaction and flow should the dam fail. gineering practices, and implement regula- G. E. Abelskamp edited the manuscript.
All authors contributed equally.
Little-understood processes such as tions to minimize the potential for future
time-delayed mechanisms are more likely catastrophes. j 10.1126/science.aax1927

528 10 MAY 2019 • VOL 364 ISSUE 6440 sciencemag.org SCIENCE

Published by AAAS
Why coal ash and tailings dam disasters occur
J. Carlos Santamarina, Luis A. Torres-Cruz and Robert C. Bachus

Science 364 (6440), 526-528.

DOI: 10.1126/science.aax1927

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