Beyond Design Codes: An Integrated Analysis of Farmer-Built Dam Performance Using Geotechnical and Hydrological Methods

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This paper assessed fourteen small, privately built water-harvesting dams in the Sulaymaniyah Governorate of Iraq using dam-geometry evaluation, laboratory soil testing, slope-stability analysis, spillway inspection, and cost comparisons. Using GeoStudio SLOPE/W numerical modeling, the authors found embankment soils were mostly low-plasticity clays and clayey sands (Plasticity Index 7.6–13.6), yet stability analyses indicated many dams had factors of safety below recommended thresholds on both upstream (86% of dams) and downstream (71% of dams) slopes. Despite these modeled shortfalls, 79% of dams were reported to have remained operational and stable for 7–13 years, which the authors attribute to limitations of traditional 2D analyses that may neglect 3D effects, vegetation reinforcement, and long-term soil behavior. The paper notes flood-safety concerns because five dams had partially or fully blocked spillways. The paper does not explicitly discuss endometriosis or adenomyosis; it was included in the corpus via a keyword match in the upstream search index.

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Abstract

Abstract This study examines fourteen small, privately constructed water harvesting dams in the Sulaymaniyah Governorate of Iraq, which local farmers built without formal engineering design or oversight. The assessment encompasses dam geometry, geotechnical properties, slope stability, spillway performance, and cost efficiency. Field surveys, laboratory soil testing, and numerical modeling using GeoStudio SLOPE/W were employed to evaluate the structural and hydraulic behavior of these dams. The embankment soils were predominantly low-plasticity clays and clayey sands, with Plasticity Index values ranging from 7.6 to 13.6, borderline or marginal for safe dam construction according to standard guidelines. Slope stability analyses revealed that 86% and 71% of the dams exhibit factors of safety below the recommended thresholds on upstream and downstream slopes, respectively. Nonetheless, 79% of dam bodies have remained operational and stable for 7–13 years, suggesting that traditional 2D analyses may underestimate actual field stability by neglecting three-dimensional effects, vegetative reinforcement, and long-term soil behavior. Spillway inspections showed that five of the fourteen dams had partially or fully blocked spillways, raising concerns about flood safety during extreme events. Construction costs ranged from $2,667 to $40,000, representing 1% to 11% of the expenses of government-built dams, with no direct correlation between price and performance. The findings highlight the potential of integrating local knowledge with simplified engineering practices and performance-based assessments to enhance the safety, sustainability, and affordability of community-built water harvesting structures in semi-arid regions.
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Beyond Design Codes: An Integrated Analysis of Farmer-Built Dam Performance Using Geotechnical and Hydrological Methods | Research Square window.SnipcartSettings = { analytics: { enabled: false } }; (function() { var accessVector = localStorage.getItem('access_vector') || ''; window.dataLayer = window.dataLayer || []; if (accessVector) { window.dataLayer.push({ user: { profile: { profileInfo: { snid: accessVector } } } }); } })(); (function(w,d,s,l,i){w[l]=w[l]||[];w[l].push({'gtm.start':new Date().getTime(),event:'gtm.js'});var f=d.getElementsByTagName(s)[0],j=d.createElement(s),dl=l!='dataLayer'?'&l='+l:'';j.async=true;j.src='https://www.googletagmanager.com/gtm.js?id='+i+dl;f.parentNode.insertBefore(j,f);})(window,document,'script','dataLayer','GTM-K279D39R'); Browse Preprints In Review Journals COVID-19 Preprints AJE Video Bytes Research Tools Research Promotion AJE Professional Editing AJE Rubriq About Preprint Platform In Review Editorial Policies Our Team Advisory Board Help Center Sign In Submit a Preprint Cite Share Download PDF Article Beyond Design Codes: An Integrated Analysis of Farmer-Built Dam Performance Using Geotechnical and Hydrological Methods Nawbahar F. Mustafa, Kawa Z. Abdulrahman, Younis M. Alshkane, and 3 more This is a preprint; it has not been peer reviewed by a journal. https://doi.org/ 10.21203/rs.3.rs-7688005/v1 This work is licensed under a CC BY 4.0 License Status: Posted Version 1 posted You are reading this latest preprint version Abstract This study examines fourteen small, privately constructed water harvesting dams in the Sulaymaniyah Governorate of Iraq, which local farmers built without formal engineering design or oversight. The assessment encompasses dam geometry, geotechnical properties, slope stability, spillway performance, and cost efficiency. Field surveys, laboratory soil testing, and numerical modeling using GeoStudio SLOPE/W were employed to evaluate the structural and hydraulic behavior of these dams. The embankment soils were predominantly low-plasticity clays and clayey sands, with Plasticity Index values ranging from 7.6 to 13.6, borderline or marginal for safe dam construction according to standard guidelines. Slope stability analyses revealed that 86% and 71% of the dams exhibit factors of safety below the recommended thresholds on upstream and downstream slopes, respectively. Nonetheless, 79% of dam bodies have remained operational and stable for 7–13 years, suggesting that traditional 2D analyses may underestimate actual field stability by neglecting three-dimensional effects, vegetative reinforcement, and long-term soil behavior. Spillway inspections showed that five of the fourteen dams had partially or fully blocked spillways, raising concerns about flood safety during extreme events. Construction costs ranged from $ 2,667 to $ 40,000, representing 1% to 11% of the expenses of government-built dams, with no direct correlation between price and performance. The findings highlight the potential of integrating local knowledge with simplified engineering practices and performance-based assessments to enhance the safety, sustainability, and affordability of community-built water harvesting structures in semi-arid regions. Physical sciences/Engineering Earth and environmental sciences/Environmental sciences Earth and environmental sciences/Hydrology Earth and environmental sciences/Natural hazards Farmer-built small dams Slope Stability Spillway Capacity Plasticity index Cost efficiency Sulaymaniyah-KRI Full Text Additional Declarations No competing interests reported. Tables 1 to 13 are available in the Supplementary Files section. Supplementary Files Table1.docx Table2ReservoirSurfaceArea.docx Table3ComparisonBetweentheDamCrestWidthsandtheRequiredStandardDamCrestWidth.docx Table4DamsYearofConstructionandCurrentCondition.docx Table5EstimatedCostoftheDams.docx Table6TheCostofSomeGovernment.docx Table7.docx Table8.docx Table9SoilSampleTestResultsSecondPart.docx Table10TheUpstreamandDownstreamFactorsofSafetyUsingGeoStudio2024.docx Table11RainfallDepths.docx Table12WatershedAreaandCNfortheDams.docx Table13ActualSpillwayCapacityandEstimated50.docx GraphicalAbstract.pptx Cite Share Download PDF Status: Posted Version 1 posted You are reading this latest preprint version Research Square lets you share your work early, gain feedback from the community, and start making changes to your manuscript prior to peer review in a journal. As a division of Research Square Company, we’re committed to making research communication faster, fairer, and more useful. We do this by developing innovative software and high quality services for the global research community. Our growing team is made up of researchers and industry professionals working together to solve the most critical problems facing scientific publishing. Also discoverable on Platform About Our Team In Review Editorial Policies Advisory Board Help Center Resources Author Services Accessibility API Access RSS feed Manage Cookie Preferences © Research Square 2026 | ISSN 2693-5015 (online) Privacy Policy Terms of Service Do Not Sell My Personal Information {"props":{"pageProps":{"initialData":{"identity":"rs-7688005","acceptedTermsAndConditions":true,"allowDirectSubmit":true,"archivedVersions":[],"articleType":"Article","associatedPublications":[],"authors":[{"id":530134806,"identity":"411bc880-b923-4a3e-b89b-354dd6ddbc83","order_by":0,"name":"Nawbahar F. 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Spillway inspections showed that five of the fourteen dams had partially or fully blocked spillways, raising concerns about flood safety during extreme events. Construction costs ranged from \u003cspan\u003e$\u003c/span\u003e2,667 to \u003cspan\u003e$\u003c/span\u003e40,000, representing 1% to 11% of the expenses of government-built dams, with no direct correlation between price and performance. 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