Fundão Tailings Dam Review Panel Report on the Immediate Causes of the Failure of the Fundão Dam Appendix C – Field Geotechnical Data and Interpretation

August 25, 2016

ATTACHMENT C7 CPT Interpretative Plots

Figure C.C7-1 Cone Penetration Test GSCPT16-02B

Figure C.C7-2 Cone Penetration Test GSCPT16-05

Figure C.C7-3 Cone Penetration Test GBCPT16-06

Figure C.C7-4 GBCPT16-06 Liquefaction Susceptibility and Soil Behavior Type

Figure C.C7-5 Cone Penetration Test GCCPT16-03

Figure C.C7-6 GBCPT16-03 Liquefaction Susceptibility and Soil Behavior Type

Figure C.C7-7 Cone Penetration Test GCCPT16-04

Figure C.C7-8 GBCPT16-04 Liquefaction Susceptibility and Soil Behavior Type

Figure C.C7-9 Cone Penetration Test GCCPT16-04B

Figure C.C7-10 GBCPT16-04B Liquefaction Susceptibility and Soil Behavior Type

Notes:1. This interpretation is based on the water and soil saturated unit weights γw=9.807 kN/m3 and γsat=22 kN/m3.2. The friction ratio Rf is calculated as Rf=fs/qt.3. The hydrostatic pore pressure is calculated using the ground water level (GWL) determined from CPT pore pressure dissipation tests (where available) or dynamic pore pressure.4. Soil boundary layers (where plotted) are based on KCB interpretation.5. The data presented have been plotted to the axis limits. Data may exist beyond the axis limits shown.6. The Material Index (Ic) boundaries are based on Robertson and Wride (1998).7. The Qtn,cs contractant/dilatant boundary=70 and is based on Robertson (2010).8. The State Parameter (Ψ) is calculated using Plewes, et al. (1992) assuming a K0 of 0.5.9. Coordinates are in UTM Zone 23K WGS84.

PROJECT

Fundão Tailings Dam Review Panel

TITLE

CONE PENETRATION TEST GSCPT16-02BN:7764164.87m E:658580.161m 2016-04-24

FIGURE NO.

C.C7-1

0 10 20 30 40 50 60 70 80 90 100

Apparent Fines Content (%)

0 0.05 0.1 0.15 0.2

Su (LIQ) / σ'v

Su (LIQ)/σ'v , Olson & Stark(2002)Su (LIQ)/σ'v , Robertson (2010)

0 1 2 3 4

Material Index, Ic

0 0.1 0.2 0.3 0.4 0.5

Pore Pressure, u (MPa)

0 2 4 6 8

Friction Ratio, Rf (%)

870

875

880

885

890

895

900

905

910

915

920

925

9300 5 10 15 20

Tip Resistance, qt (MPa)

Dynamic PWP, u2Hydrostatic PWP, uhPore Pressure Dissipation Test Result

Friction Ratio, RfCorrected Tip Resistance, qt Material Index, IcClean Sand BoundarySilt Boundary

Apparent Fines Content

Elev

atio

n (m

)

0 200 400 600 800 1000

Su (Peak) (kPa)

0 50 100 150 200

Su (Remoulded) (kPa)

Peak Shear Strength (Calculated)Peak Shear Strength(Field)

Remoulded Shear Strength (Calculated)Remoulded Shear Strength(Field)

0 100 200 300 400

Vs (m/s)

Shear Wave Velocity(Seismic Data)

Notes:1. This interpretation is based on the water and soil saturated unit weights γw=9.807 kN/m3 and γsat=22 kN/m3.2. The friction ratio Rf is calculated as Rf=fs/qt.3. The hydrostatic pore pressure is calculated using the ground water level (GWL) determined from CPT pore pressure dissipation tests (where available) or dynamic pore pressure.4. Soil boundary layers (where plotted) are based on KCB interpretation.5. The data presented have been plotted to the axis limits. Data may exist beyond the axis limits shown.6. The Material Index (Ic) boundaries are based on Robertson and Wride (1998).7. The Qtn,cs contractant/dilatant boundary=70 and is based on Robertson (2010).8. The State Parameter (Ψ) is calculated using Plewes, et al. (1992) assuming a K0 of 0.5.9. Coordinates are in UTM Zone 23K WGS84.

PROJECT

Fundão Tailings Dam Review Panel

TITLE

CONE PENETRATION TEST GSCPT16-05N:7763379.344m E:659116.505m 2016-05-05

FIGURE NO.

C.C7-2

0 10 20 30 40 50 60 70 80 90 100

Apparent Fines Content (%)

0 0.05 0.1 0.15 0.2

Su (LIQ) / σ'v

Su (LIQ)/σ'v , Olson & Stark(2002)Su (LIQ)/σ'v , Robertson (2010)

0 1 2 3 4

Material Index, Ic

0 0.1 0.2 0.3 0.4 0.5

Pore Pressure, u (MPa)

0 1 2 3 4

Friction Ratio, Rf (%)

870

875

880

885

890

895

900

905

910

915

920

925

9300 1 2 3 4

Tip Resistance, qt (MPa)

Dynamic PWP, u2Hydrostatic PWP, uhPore Pressure Dissipation Test Result

Friction Ratio, RfCorrected Tip Resistance, qt Material Index, IcClean Sand BoundarySilt Boundary

Apparent Fines Content

Elev

atio

n (m

)

0 20 40 60 80 100

Su (Peak) (kPa)

0 10 20 30 40 50

Su (Remoulded) (kPa)

Peak Shear Strength (Calculated)Peak Shear Strength(Field)

Remoulded Shear Strength (Calculated)Remoulded Shear Strength(Field)

Measured Fines Content

0 100 200 300 400

Vs (m/s)

Shear Wave Velocity(Seismic Data)

Notes:1. This interpretation is based on the water and soil saturated unit weights γw=9.807 kN/m3 and γsat=22 kN/m3.2. The friction ratio Rf is calculated as Rf=fs/qt. PROJECT

3. The hydrostatic pore pressure is calculated using the ground water level (GWL) determined from CPT pore pressure dissipation tests (where available) or dynamic pore pressure.4. Soil boundary layers (where plotted) are based on KCB interpretation.5. The data presented have been plotted to the axis limits. Data may exist beyond the axis limits shown. TITLE

6. The Material Index (Ic) boundaries are based on Robertson and Wride (1998).7. The Qtn,cs contractant/dilatant boundary=70 and is based on Robertson (2010).8. The State Parameter (Ψ) is calculated using Plewes, et al. (1992) assuming a K0 of 0.5.9. Coordinates are in UTM Zone 23K WGS84.

FIGURE NO.

C.C7-3

Fundão Tailings Dam Review Panel

CONE PENETRATION TEST GBCPT16-06N:7763631m E:660586m 2016-05-16

0 10 20 30 40 50 60 70 80 90 100

Apparent Fines Content (%)

0 0.05 0.1 0.15 0.2

Su (LIQ) / σ'v

Su (LIQ)/σ'v , Olson & Stark(2002)Su (LIQ)/σ'v , Robertson (2010)

0 50 100 150 200

Equivalent Clean Sand Tip Resistance, Qtn,cs

0 1 2 3 4

Material Index, Ic

-0.3 -0.2 -0.1 0 0.1

State Parameter, ψ

0 0.1 0.2 0.3 0.4 0.5

Pore Pressure, u (MPa)

0 2 4 6 8

Friction Ratio, Rf (%)

805

810

815

820

825

830

835

840

845

850

8550 10 20 30 40 50

Tip Resistance, qt (MPa)

Dynamic PWP, u2Hydrostatic PWP, uhPore Pressure Dissipation Test Result

Friction Ratio, RfCorrected Tip Resistance, qt Material Index, IcClean Sand BoundarySilt Boundary

Equivalent Clean Sand TipResistance, Qtn,csContractant/Dilatant Boundary, Robertson (2010)Tailings Failing LiquefactionCriteria

Apparent Fines ContentState Parameter, Ψ (Plewes)Contractant/Dilatant BoundaryTailings Failing Liquefaction Criteria(> state parameter of -0.05)

Elev

atio

n (m

)

0 100 200 300 400

Vs (m/s)

Shear Wave Velocity (Seismic Data)

DRILLED OUT

DRILLED OUT

DRILLED OUT

DRILLED OUT

FIGURE NO.

Liquefaction susceptibility after Robertson (2010)"Evaluation of Flow Liquefaction and Liquefied Strength Using the Cone

Penetration Test"

Liquefaction susceptibility after Olson & Stark (2003) "Yield Strength Ratio and Liquefaction Analysis of Slopes and Embankments"

State parameter approximation - Robertson (2009)"Interpretation of cone penetration tests - a unified approach"

PROJECT

Fundão Tailings Dam Review Panel

TITLE

GBCPT16-06 Liquefaction Susceptibility and Soil Behavior Type

C.C7-4

Notes:1. This interpretation is based on the water and soil saturated unit weights γw=9.807 kN/m3 and γsat=22 kN/m3.2. The friction ratio Rf is calculated as Rf=fs/qt. PROJECT

3. The hydrostatic pore pressure is calculated using the ground water level (GWL) determined from CPT pore pressure dissipation tests (where available) or dynamic pore pressure.4. Soil boundary layers (where plotted) are based on KCB interpretation.5. The data presented have been plotted to the axis limits. Data may exist beyond the axis limits shown. TITLE

6. The Material Index (Ic) boundaries are based on Robertson and Wride (1998).7. The Qtn,cs contractant/dilatant boundary=70 and is based on Robertson (2010).8. The State Parameter (Ψ) is calculated using Plewes, et al. (1992) assuming a K0 of 0.5.9. Coordinates are in UTM Zone 23K WGS84.

Fundão Tailings Dam Review Panel

CONE PENETRATION TEST GCCPT16-03N:7766173.838m E:657275.192m 2016-05-05

C.C7-5FIGURE NO.

0 100 200 300 400 500

vs (m/s)

Su (LIQ)/σ'v , Olson & Stark(2002)Su (LIQ)/σ'v , Robertson (2010)

0 10 20 30 40 50 60 70 80 90 100

Apparent Fines Content (%)

0 0.05 0.1 0.15 0.2

Su (LIQ) / σ'v

0 50 100 150 200

Equivalent Clean Sand Tip Resistance, Qtn,cs

0 1 2 3 4

Material Index, Ic

-0.3 -0.2 -0.1 0 0.1

State Parameter, ψ

0 0.1 0.2 0.3 0.4 0.5

Pore Pressure, u (MPa)

0 2 4 6

Friction Ratio, Rf (%)

935

940

945

950

955

960

965

970

975

980

985

990

995

1000

10050 10 20 30 40 50

Tip Resistance, qt (MPa)

Dynamic PWP, u2Hydrostatic PWP, uhPore Pressure DissipationTest Result

Friction Ratio, RfCorrected Tip Resistance, qt Material Index, IcClean Sand BoundarySilt Boundary

Equivalent Clean Sand TipResistance, Qtn,csContractant/Dilatant Boundary, Robertson (2010)Tailings Failing LiquefactionCriteria

Apparent Fines ContentState Parameter, Ψ (Plewes)Contractant/Dilatant BoundaryTailings Failing Liquefaction Criteria (> state parameter of -0.05)

Elev

atio

n (m

)

Shear Wave Velocity (Seismic Data)

C.C7-6

Liquefaction susceptibility after Robertson (2010)"Evaluation of Flow Liquefaction and Liquefied Strength Using the Cone

Penetration Test"

Liquefaction susceptibility after Olson & Stark (2003) "Yield Strength Ratio and Liquefaction Analysis of Slopes and Embankments"

State parameter approximation - Robertson (2009)"Interpretation of cone penetration tests - a unified approach"

PROJECT

Fundão Tailings Dam Review Panel

TITLE

GCCPT16-03 Liquefaction Susceptibility and Soil Behavior Type

FIGURE NO.

Notes:1. This interpretation is based on the water and soil saturated unit weights γw=9.807 kN/m3 and γsat=22 kN/m3.2. The friction ratio Rf is calculated as Rf=fs/qt. PROJECT

3. The hydrostatic pore pressure is calculated using the ground water level (GWL) determined from CPT pore pressure dissipation tests (where available) or dynamic pore pressure.4. Soil boundary layers (where plotted) are based on KCB interpretation.5. The data presented have been plotted to the axis limits. Data may exist beyond the axis limits shown. TITLE

6. The Material Index (Ic) boundaries are based on Robertson and Wride (1998).7. The Qtn,cs contractant/dilatant boundary=70 and is based on Robertson (2010).8. The State Parameter (Ψ) is calculated using Plewes, et al. (1992) assuming a K0 of 0.5.9. Coordinates are in UTM Zone 23K WGS84.

Fundão Tailings Dam Review Panel

CONE PENETRATION TEST GCCPT16-04N:7766315.865m E:657417.5m 2016-05-13

FIGURE NO.

C.C7-7

0 0.1 0.2 0.3 0.4 0.5

Pore Pressure, u (MPa)

0 10 20 30 40 50 60 70 80 90 100

Apparent Fines Content (%)

0 0.05 0.1 0.15 0.2

Su (LIQ) / σ'v

0 50 100 150 200

Equivalent Clean Sand Tip Resistance, Qtn,cs

0 1 2 3 4

Material Index, Ic

-0.3 -0.2 -0.1 0 0.1

State Parameter, ψ

0 2 4 6 8

Friction Ratio, Rf (%)

935

940

945

950

955

960

965

970

975

980

985

990

995

1000

10050 10 20 30 40 50

Tip Resistance, qt (MPa)

Elev

atio

n (m

)

Su (LIQ)/σ'v , Olson & Stark(2002)Su (LIQ)/σ'v , Robertson (2010)

Dynamic PWP, u2Hydrostatic PWP, uhPore Pressure Dissipation Test Result

Friction Ratio, RfCorrected Tip Resistance, qt Material Index, IcClean Sand BoundarySilt Boundary

Equivalent Clean Sand TipResistance, Qtn,csContractant/Dilatant Boundary, Robertson (2010)Tailings Failing LiquefactionCriteria

Apparent Fines ContentState Parameter, Ψ (Plewes)Contractant/Dilatant BoundaryTailings Failing Liquefaction Criteria(> state parameter of -0.05)

0 100 200 300 400

Vs (m/s)

Shear Wave Velocity(Seismic Data)

Water table not encountered

C.C7-8

Liquefaction susceptibility after Robertson (2010)"Evaluation of Flow Liquefaction and Liquefied Strength Using the Cone

Penetration Test"

Liquefaction susceptibility after Olson & Stark (2003) "Yield Strength Ratio and Liquefaction Analysis of Slopes and Embankments"

State parameter approximation - Robertson (2009)"Interpretation of cone penetration tests - a unified approach"

PROJECT

Fundão Tailings Dam Review Panel

TITLE

GCCPT16-04 Liquefaction Susceptibility and Soil Behavior Type

FIGURE NO.

Notes:1. This interpretation is based on the water and soil saturated unit weights γw=9.807 kN/m3 and γsat=22 kN/m3.2. The friction ratio Rf is calculated as Rf=fs/qt. PROJECT

3. The hydrostatic pore pressure is calculated using the ground water level (GWL) determined from CPT pore pressure dissipation tests (where available) or dynamic pore pressure.4. Soil boundary layers (where plotted) are based on KCB interpretation.5. The data presented have been plotted to the axis limits. Data may exist beyond the axis limits shown. TITLE

6. The Material Index (Ic) boundaries are based on Robertson and Wride (1998).7. The Qtn,cs contractant/dilatant boundary=70 and is based on Robertson (2010).8. The State Parameter (Ψ) is calculated using Plewes, et al. (1992) assuming a K0 of 0.5.9. Coordinates are in UTM Zone 23K WGS84.

Fundão Tailings Dam Review Panel

CONE PENETRATION TEST GCCPT16-04BN:7766315.865m E:657417.684m 2016-05-13

FIGURE NO.

C.C7-9

0 0.1 0.2 0.3 0.4 0.5

Pore Pressure, u (MPa)

0 10 20 30 40 50 60 70 80 90 100

Apparent Fines Content (%)

0 0.05 0.1 0.15 0.2

Su (LIQ) / σ'v

0 50 100 150 200

Equivalent Clean Sand Tip Resistance, Qtn,cs

0 1 2 3 4

Material Index, Ic

-0.3 -0.2 -0.1 0 0.1

State Parameter, ψ

0 2 4

Friction Ratio, Rf (%)

935

940

945

950

955

960

965

970

975

980

985

990

995

1000

10050 10 20 30 40 50

Tip Resistance, qt (MPa)

Elev

atio

n (m

)

Su (LIQ)/σ'v , Olson & Stark(2002)Su (LIQ)/σ'v , Robertson (2010)

Dynamic PWP, u2Hydrostatic PWP, uhPore Pressure Dissipation Test Result

Friction Ratio, RfCorrected Tip Resistance, qt Material Index, IcClean Sand BoundarySilt Boundary

Equivalent Clean Sand TipResistance, Qtn,csContractant/Dilatant Boundary, Robertson (2010)Tailings Failing LiquefactionCriteria

Apparent Fines ContentState Parameter, Ψ (Plewes)Contractant/Dilatant BoundaryTailings Failing Liquefaction Criteria(> state parameter of -0.05)

0 100 200 300 400

Vs (m/s)

Shear Wave Velocity(Seismic Data)

Water table not encountered

C.C7-10

Liquefaction susceptibility after Robertson (2010)"Evaluation of Flow Liquefaction and Liquefied Strength Using the Cone

Penetration Test"

Liquefaction susceptibility after Olson & Stark (2003) "Yield Strength Ratio and Liquefaction Analysis of Slopes and Embankments"

State parameter approximation - Robertson (2009)"Interpretation of cone penetration tests - a unified approach"

PROJECT

Fundão Tailings Dam Review Panel

TITLE

GCCPT16-04B Liquefaction Susceptibility and Soil Behavior Type

FIGURE NO.