Selection of analysis methods
Module III
Objectives
Overview of search methods
Circular search methods
Non-Circular search methods
Local and global search methods
Optimization of failure surface
Tips and recommendations
Search Methods in Slide – © 2017 Rocscience Inc.
Search Methods
Circular slip surface
Grid
Slope
Auto refine
Non-circular slip surface
Block
Path
Simulated annealing
Auto refine
Cuckoo
Search Methods in Slide – © 2017 Rocscience Inc.
Which Search Methods to Use?
Model Search Methods
Homogeneous slope Circular Search
Multi-material model without well- Circular Search
defined weak layers Auto Refine (non-circular)
Cuckoo Search
Simulated Annealing
Model with well defined weak layer Cuckoo Search/Simulated Annealing
Block search
Circular search with composite surfaces
Anisotropic materials Cuckoo Search/Simulated Annealing
Search Methods in Slide – © 2017 Rocscience Inc.
Search Methods
General guidelines
Use more than one search method for analysis
Consider both circular and non-circular
Try different options associated with each search method
Search Methods in Slide – © 2017 Rocscience Inc.
Search Methods - circular
Circular search methods: Grid search
Used commonly
Requires at least 1 slip center to be defined
Search Methods in Slide – © 2017 Rocscience Inc.
Search Methods - circular
Circular search methods: Grid search
Used commonly
Requires at least 1 slip center to be defined
Auto grid or add grid options
Search Methods in Slide – © 2017 Rocscience Inc.
Search Methods - circular
Grid search
Grid intervals specify # of slip centers
# slip centers = (x+1) * (y+1)
Example: (20 + 1) * (20 + 1) = 441 slip centers
Search Methods in Slide – © 2017 Rocscience Inc.
Search Methods - circular
Grid search
By default, slope surface determines slope limits
Limits can be customized to narrow search
Search Methods in Slide – © 2017 Rocscience Inc.
Search Methods
Grid search (options)
Minimum elevation
Determined by external boundary
Can be user specified
Minimum depth
Filters shallow slip surfaces
Minimum Area
Minimum Weight
Filter out very small slip regions
with less than a minimum total
cross-sectional area or slice
weight
Search Methods in Slide – © 2017 Rocscience Inc.
Search Methods
Grid search (options)
Composite surfaces
Search Methods in Slide – © 2017 Rocscience Inc.
Search Methods
Grid search (options)
Composite surfaces
Circular surfaces that extend past external
boundaries automatically conform to shape
Can be used to model a bedrock surface
Search Methods in Slide – © 2017 Rocscience Inc.
Circular Search - Grid
No composite surface – FS 1.11 With composite surface – FS 0.95
Search Methods in Slide – © 2017 Rocscience Inc.
Circular Search - Grid
Tension crack
To handle reverse curvature
surfaces generated in search
If unchecked, reverse curvature
surfaces will be discarded
Search Methods in Slide – © 2017 Rocscience Inc.
Circular Search - Grid
Besides slope limits, can focus search by adding focus objects
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Circular Search - Grid
Focus window, line, tangent line and point
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Circular Search - Grid
Focus search
Focus window
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Circular Search - Grid
Focus search
Focus window
Focus line
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Circular Search - Grid
Focus search
Focus window
Focus line
Focus point
Search Methods in Slide – © 2017 Rocscience Inc.
Circular Search - Grid
Focus search
Focus window
Focus line
Focus point
Focus tangent
Search Methods in Slide – © 2017 Rocscience Inc.
Circular Search - Grid
Notes
Grid result is acceptable in sense that critical centre lies within Grid
If critical centre lies on edge of Grid, expand Grid extents and re-run analysis
If critical centre keeps moving off to infinity, see if critical circle is “thinning
out” to become infinite slope (i.e., surface sloughing problem)
Search Methods in Slide – © 2017 Rocscience Inc.
Circular Search - Slope
Slope search
Search areas of slope surface rather than grid of slip centers
Search Methods in Slide – © 2017 Rocscience Inc.
Circular Search - Slope
1. Two points on the slope are randomly generated
Within slope limits
Defines start and end point of slip surface
Example: 4 surfaces between slope limits
Search Methods in Slide – © 2017 Rocscience Inc.
Circular Search - Slope
2. Third point (for slip circle) is
generated by initial angle at toe
Can use focus search, composite
surface, and other options
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Circular Search – Auto Refine
Effective algorithm for iteratively refining search on slope
Uses results of one search iteration to narrow search location
Search Methods in Slide – © 2017 Rocscience Inc.
Circular Search – Auto Refine
Divides slope surface into sections
Considers circles connecting all
possible pairs of divisions
Finds sets that minimize safety factors
Refines search based on these sets
Search Methods in Slide – © 2017 Rocscience Inc.
Circular Search
Circular search methods should all yield very similar results.
For example, using only the default search parameters for a homogeneous slope, the
critical slip surface and safety factor is nearly identical for all three methods (Grid
Search, Slope Search, Auto Refine).
Search Methods in Slide – © 2017 Rocscience Inc.
Non-Circular Search Methods
Local Search Methods Global Search Methods
Auto Refine Search Cuckoo Search
Block Search Simulated Annealing
Path Search
Monte Carlo Optimization
Search Methods in Slide – © 2017 Rocscience Inc.
Non-Circular: Local Search Methods
Block Search – requires user-defined search objects, and some
experience with placement of search objects for best results, good for
models with thin weak layers
Path Search – does not require search objects, but does require user
customization of search parameters for best results. Not
recommended for weak layers or anisotropic materials
Auto Refine (Non-circular) – works very well and does not require any
user input
Optimization – Recommended for ALL non-circular search methods,
usually results in a lower FS
Search Methods in Slide – © 2017 Rocscience Inc.
Non-Circular Search – Block
Considers sliding mass as active, passive and central blocks
Preferred method when well defined weak layer is present in slope
Search Methods in Slide – © 2017 Rocscience Inc.
Non-Circular Search – Block
Requires block search object
Constrains locations of vertices of sliding blocks
Types
Window
Single point
Line
Polyline One vertex of the failure
surface is constrained to be
within the red window
Search Methods in Slide – © 2017 Rocscience Inc.
Non-Circular Search – Block
1. For each block search object, generate random point
2. Connect generated points
Search Methods in Slide – © 2017 Rocscience Inc.
Non-Circular Search – Block
3. Projection angles determine end points
Search Methods in Slide – © 2017 Rocscience Inc.
Non-Circular Search – Block
3. Projection angles determine end points
4. Repeat until number of surfaces specified is met
Search Methods in Slide – © 2017 Rocscience Inc.
Non-circular – Block Search
Two separate search lines result in wrong surface
Addition of point search focus leads to correct answer
1.158
Search Methods in Slide – © 2017 Rocscience Inc.
Non-circular – Path Search
Similar to “Irregular Surface Search" option in XSTABL
Appropriate if well defined weak layer does not exist
Search Methods in Slide – © 2017 Rocscience Inc.
Non-circular – Path Search
Use pair of slope limits
Experiment with different Path Search parameters
Increase number of tested surfaces
Search Methods in Slide – © 2017 Rocscience Inc.
Non-circular – Auto Refine Search
Based on the Auto Refine Search option for Circular surfaces, with the
following steps:
First generates circular surfaces, using the circular search algorithm.
Each circle is converted into a non-circular (piece-wise linear).
Search Methods in Slide – © 2017 Rocscience Inc.
Non-circular – Auto Refine Search
The slip surface with the lowest safety factor is determined using the
circular search algorithm.
An optimization search can be applied to search for lower safety factor
surfaces.
Search Methods in Slide – © 2017 Rocscience Inc.
Search Automation
Grid, Slope, Auto Refine, and Path search options require no additional
input
Grid option requires definition of Grid Box, but this can be done automatically
Slope and Path search are brute-force and random
Auto Refine option improves results based on previous searches
Search Methods in Slide – © 2017 Rocscience Inc.
Non-circular
Path and Block searches generally do not produce same “critical”
surface
Generally used for different circumstances:
Block search – presence of well defined weak layer that most likely dictates
failure mechanism
Path search – not sure whether layer will be part of failure surface or not
(usually more user effort required to manually refine search)
Search Methods in Slide – © 2017 Rocscience Inc.
Surface Optimization (Non-circular)
Monte Carlo technique (random walking)
Greco, 1996
Used in conjunction with Block Search or Path Search
Can be used as independent search method
Not guaranteed to find global minimum
Used to optimize surface already considered to be good surface
Search Methods in Slide – © 2017 Rocscience Inc.
Surface Optimization (Non-circular)
Description of algorithm
Calculate factor of safety for initial slip surface
Randomly modify location of a vertex of slip surface
Calculate factor of safety for new surface
If factor of safety for the modified surface lower than factor of safety for
initial surface, replace initial surface with modified
If factor of safety for modified surface higher than factor of safety for initial
surface do not replace
Search Methods in Slide – © 2017 Rocscience Inc.
Surface Optimization (Non-circular)
No With One surface
optimization optimization with optimization
FS = 0.763 FS = 0.668 FS = 0.667
Search Methods in Slide – © 2017 Rocscience Inc.
Surface Optimization (Non-circular)
Search Methods in Slide – © 2017 Rocscience Inc.
Surface Optimization (Non-circular)
Search Methods in Slide – © 2017 Rocscience Inc.
Local Minimum Trap in Slope
Stability Analysis
A brief introduction
Introduction
Problem of finding failure surface in
general is a daunting task
Why?
Due to non-linear and non-smooth
behavior of the function evaluating
factor of safety (FS) for failure surfaces
Right figure illustrates an example of
FS distribution for a set of circular
surfaces defined by the grid
Search Methods in Slide – © 2017 Rocscience Inc.
Introduction
Local Minimum
is defined as a relative minimum
within its neighborhood, it may not
necessarily represent global minimum
F(x)
1-Dimensional Example
Right figure depicts an example of a Local Min
function with local minimum Global Min
Control Variable x
Optimization algorithms used to
minimize the FS function can
sometimes get trapped in local
minima
Search Methods in Slide – © 2017 Rocscience Inc.
Optimizing Failure Surfaces
Control variables are inputs to the
optimization objective function
In surface search, control variables are
x and y-ordinates of surface points (red
circles in the right figure)
As a result, this is a multi-dimensional
nonlinear problem with local minima
In functions with local minima, starting
configuration for search can affect the
final result
Search Methods in Slide – © 2017 Rocscience Inc.
An Example of Initial State Effect
We’ll consider an example of a same model with 2 different surfaces as starting
state for surface optimization
Search Methods in Slide – © 2017 Rocscience Inc.
An Example of Initial State Effect
4.80
1.03
0.45
1.28
Search Methods in Slide – © 2017 Rocscience Inc.
Non-circular – Simulated Annealing
Non-circular method of global optimization
Uses a hybrid simulated annealing (HSA)
algorithm. HSA has a higher precision and
employs significantly less iterations to find the
global minimum, when compared with other
global optimization methods.
Couples a Very Fast Simulated Annealing
(VFSA) algorithm and an efficient searching
technique called Local Monte-Carlo (LMC)
Advantages: Reliability and ease of
implementation
Search Methods in Slide – © 2017 Rocscience Inc.
Non-circular – Cuckoo
Non-circular method of global optimization
High precision and few iterations
Cuckoo Search coupled with the LMC optimizer.
Optimization algorithm developed by Xin-she Yang
and Suash Deb in 2009
Requires no user-input of trial surfaces or search
objects
Much faster compared to Simulated Annealing
Able to display the various failure modes found
during the search, and can inform users of other
possible failure modes
Search Methods in Slide – © 2017 Rocscience Inc.
Search Methods - Conclusions
Use more than one method, but limit to those appropriate to model!
Search methods are not thinking methods
No search method 100 % reliable for all models, should always run
both Cuckoo Search and Simulated Annealing and compare results
Finding critical surface requires interaction with available tools
Think about mechanics of problem
Apply corresponding tools for analysis
Search Methods in Slide – © 2017 Rocscience Inc.
Search Methods – Example
Objective
For a soil containing a single weak layer find the failure surface with the
minimum factor of safety using both circular and non-circular search
methods.
Search Methods in Slide – © 2017 Rocscience Inc.
Search Methods Example
Weak seam that probably controls failure
Search Methods in Slide – © 2017 Rocscience Inc.
Search Methods – Example
Search Methods in Slide – © 2017 Rocscience Inc.
Example 1 – Cuckoo Search versus Auto Refine Search
Auto Refine Search versus Cuckoo Search for Anisotropic Material
model.
An example of very significant difference in safety factor and failure
mode.
Auto Refine Search: FS = 2.735, near circular surface
Cuckoo: FS = 1.523, planar failure mode
Also note, large tensile forces for auto refine surface.
Search Methods in Slide – © 2017 Rocscience Inc.
Example 1 – Cuckoo Search versus Auto Refine Search
Auto Refine Search: FS = 2.735 Cuckoo: FS = 1.523
Search Methods in Slide – © 2017 Rocscience Inc.
Ex 2: Simulated Annealing vs Path Search vs Auto Refine
A simple embankment model with Mohr Coulomb materials, no
tension embankment and water table.
Path Search: FS = 1.514, near circular + tension crack
Simulated Annealing: FS = 1.035, multi-linear surface + tension crack
Auto Refine: FS = 1.213, multi-linear surface + tension crack
Again, very significant difference in safety factor and failure mode.
Search Methods in Slide – © 2017 Rocscience Inc.
Ex 2: Simulated Annealing vs Path Search vs Auto Refine
Path Search: FS = 1.514, near circular + tension crack
Search Methods in Slide – © 2017 Rocscience Inc.
Ex 2: Simulated Annealing vs Path Search vs Auto Refine
Simulated Annealing: FS = 1.035, multi-linear surface + tension crack
Search Methods in Slide – © 2017 Rocscience Inc.
Ex 2: Simulated Annealing vs Path Search vs Auto Refine
Auto Refine: FS = 1.213, multi-linear surface + tension crack
Search Methods in Slide – © 2017 Rocscience Inc.
Conclusion
Surface optimization can sometimes get trapped in a local minimum,
i.e. it finds a failure surface which is not necessarily the global
minimum
The optimization algorithm in Slide 7.0 is relatively robust, and we are
working to improve it further, so it often yields good results
Due to the nature of problem which consists of many local minima,
global search methods are expected to perform better to find failure
surface
Search Methods in Slide – © 2017 Rocscience Inc.
Conclusion
Should ALWAYS run Cuckoo Search and / or Simulated Annealing
With Optimization, very successful at finding global critical slip surfaces
Cuckoo Search is much faster than Simulated Annealing
Requires no user input or search objects
Although very reliable, should still experiment with search parameters
to ensure best results, occasionally may get stuck in a local minimum
Search Methods in Slide – © 2017 Rocscience Inc.
Recommended Analysis Sequence for Critical Slip Surface Search
1. Circular > Auto Refine (or Grid Search or Slope Search)
Methods: Bishop / Spencer / GLE
NOTE: for weak layer or anisotropic models, this is optional, but it never hurts
to run a circular analysis as a first step
2. Non-Circular > Auto Refine + Optimization
Methods: Janbu / Spencer / GLE
3. Non-Circular > Cuckoo Search + Optimization
4. Non-Circular > Simulated Annealing + Optimization
Search Methods in Slide – © 2017 Rocscience Inc.
Recommended Analysis Sequence for Critical Slip Surface Search
4. For very thin weak layers, Block Search + Optimization may be
warranted
5. Check for tension. If present, apply tension crack or other
remediation method (e.g. Tensile Strength option) and re-run
analyses.
6. Run SSR slope stability analysis (finite element) with RS2 TO VALIDATE
RESULT.
Search Methods in Slide – © 2017 Rocscience Inc.
Example 7 – Search Example
Let’s put our learnings from the last three modules into practice
Open Example 7 Search Example Initial
Search Methods in Slide – © 2017 Rocscience Inc.
Search Methods in Slide3
Deterministic & Stochastic Algorithms
Search for failure surface with minimum factor of safety is a nonlinear
optimization problem that is treated in a different number of ways in
Slide3
Deterministic • Grid Search
Methods • Auto-Refine Search
Stochastic • Cuckoo Search
Methods
(Metaheuristic) • Particle Swarm Search
Preferred Methods
Slide3 Introduction and Examples – © 2017 Rocscience Inc.
Deterministic Algorithms
Deterministic: algorithm involves no random steps
1) Grid Search:
A set of spherical surfaces are defined by the grid points
From each grid point, ‘n’ spheres with different radii
ranging
from min radius to max radius are defined Rmin
Min and max radii are defined based on grid point
location
with respect to the slope geometry Rmax
Factor of safety is computed for each one of the spheres
and
the smallest is selected as the critical failure surface
Slide3 Introduction and Examples – © 2017 Rocscience Inc.
Deterministic Algorithms
2) Auto-Refine Search:
A spherical surface can be defined by selecting two points as
entry and exit points and an angle of entry (assuming center is B
on vertical plane crossing A
α
the two points)
A different set of spherical surfaces are generated by different
combinations of an initial grid
Factor of safety is computed for each failure surface and the
lower ‘x’
percent will be selected for the next iteration
Grid tiles that generate the selected surfaces, will be refined
into smaller partitions
Search process stops after a finite number of iterations
Slide3 Introduction and Examples – © 2017 Rocscience Inc.
Metaheuristic Algorithms
Metaheuristic: randomness is introduced in some steps of the algorithm
Particle Swarm Optimization (PSO):
Search starts with a random population of failure surfaces in the search scope (known
as particles)
The search proceeds by updating each particle for the next iteration:
Updating parameters in are selected randomly such that
the new particle is inspired by the best found solution among
all particles ( ) and best found solution by that particle in the
previous iterations ( )
Search process is stopped after a finite number of iterations
Slide3 Introduction and Examples – © 2017 Rocscience Inc.
Metaheuristic Algorithms
Cuckoo Search:
Search starts with a random population of ‘n’ failure surfaces (each surface is
assigned to a nest)
For each nest, a new random surface based on its current surface is generated
These new surfaces are compared with the solution in a random nest, if they have a
lower factor of safety, they will replace the solution in that nest
A small percent of worse solutions in the ‘n’ nests
will be thrown away and replaced by completely
. . . initial random
solution
new solutions
random new solutions ... produced by a
This process is repeated for a probability dist.
finite number of iterations ... updated set of
solutions
Throw away some of the worst solutions
and repeat the process
Slide3 Introduction and Examples – © 2017 Rocscience Inc.
Metaheuristic Algorithms
The number of particles in PSO and number of nests in Cuckoo Search
indicate different paths that will be used to explore the search region
20 different paths is usually good enough for most of the problems
The larger numbers of iterations naturally yield to improved results,
but it costs longer computation times
Advantage of PSO and Cuckoo search is that due to stochastic nature,
they tend to escape local minima and are considered as global
optimization methods
Surface optimization is more efficient in local search, therefore in
practice it is better to combine PSO and Cuckoo with surface
optimization rather than using very large number of iterations
Slide3 Introduction and Examples – © 2017 Rocscience Inc.
Surface Optimization
Slide3 employs an efficient method known as Surface Altering (SA)
optimization
SA is a powerful tool to yield lower factors of safety by modifying
geometry of a given surface
SA is a novel approach based on Bound Optimization developed by
Powell in 2009
Unlike the metaheuristic method, SA is a local optimization method
Slide3 Introduction and Examples – © 2017 Rocscience Inc.
Surface Optimization
In SA, input surface is first converted to a spline approximation
Converted spline surface can be formed based on a 5x5, 7x7 or 9x9 grid of
control points. This can be set via “Conversion Resolution” in the options
dialog
After conversion, control points defining the surface are modified in a way
that minimize the factor of safety
The optimization process is stopped when either the maximum number of
iterations is reached or when the optimization does not make any further
progress FOS
Number of iterations
max itr
Slide3 Introduction and Examples – © 2017 Rocscience Inc.
Surface Types
Spherical: minimum set of parameters
Ellipsoidal: moderate number of parameters
Spline: large number of parameters
Number of Complexity Searching
parameters performance
Slide3 Introduction and Examples – © 2017 Rocscience Inc.
Examples
Model 1: Slope with weak layer, water surface and load
Search Settings: PSO (20 particles, 40 iterations)
With no surface optimization, best ellipsoidal surface gives FOS ~ 1.2
Bishop: 1.22, Janbu: 1.18, Spencer: 1.24, GLE: 1.23
Slide3 Introduction and Examples – © 2017 Rocscience Inc.
Examples
Model 1, with Surface Altering, 20 iterations, FOS ~ 0.8
Bishop: 0.84, Janbu: 0.83, Spencer: 0.84, GLE: 0.84
Slide3 Introduction and Examples – © 2017 Rocscience Inc.
Examples
Model 2: Simple slope with two-planes anisotropic material
Search Settings: Cuckoo (20 nests, 40 iterations)
FOS using Bishop method, without SA = 3.4, using SA = 2.14
Slide3 Introduction and Examples – © 2017 Rocscience Inc.
Examples
Model 3: Open pit with pore water pressure grid and multiple
materials
Search Settings:
Cuckoo (20 nests, 20 itr)
FOS using Janbu,
without SA = 1.87,
using SA = 1.39
Slide3 Introduction and Examples – © 2017 Rocscience Inc.
Analysis of Open Pit using Slope
Limits
Slide3 Tutorial
Introduction
The model analyzes an open pit
made up of a single soil
The critical factor of safety is
found for the entire model and
in two specific regions using the
slope limits tool
Analysing specific regions for
the factor of safety will aid in
the design of location specific
slope reinforcement
*Settings for results accuracy
are set to low to ensure fast
computations
Base Normal Stress Contours on Critical Failure Surface
Analysis of Open Pit using Slope Limits – © 2017 Rocscience Inc.
Step 1: Running Entire Model
Open the Slide 3 model Open Pit –
Starting File.slide3model’
Select ‘Compute’ to find the critical
factor of safety for the entire model
Once computations are complete
select the ‘Results’ tab
Select ‘Show/Hide Surface Contours’
to view critical slope contours
Base Normal Stress Contours on Critical Failure Surface
The results will appear as shown
Method Factor of Safety
Spencer 1.78
Analysis of Open Pit using Slope Limits – © 2017 Rocscience Inc.
Step 2: Selecting a Slope Limit
Select ‘Add Slope Limit By Volume’ from
the ‘Surfaces’ dropdown menu
This will create a rectangular prism in
the model containing the specific area
to check the factor of safety
In the Viewport use the transform tool
to translate and rotate the boundary.
Hover over corners of the boundary to
use the point as a reference
Set the boundary of the slope to the
bottom left quarter of the model as
shown
Boundaries are approximate and may
differ
Analysis of Open Pit using Slope Limits – © 2017 Rocscience Inc.
Step 2: Selecting a Slope Limit
Once the desired location has been
selected, right click with the mouse and
select ‘Done’
A window will appear prompting for a
name, colour and boundary condition for
the slope to be either inside, outside or
intersecting
These settings can be left as default
Select ‘Compute’ to automatically find the
critical factor of safety within the defined
Slope Limit 1
Once computations are complete select
the ‘Results’ tab and ‘Show/Hide Surface
Contours’ Method Factor of Safety
Spencer 1.77 Base Normal Stress Contours on Critical Failure Surface
Analysis of Open Pit using Slope Limits – © 2017 Rocscience Inc.
Step 3: Selecting a Second Slope Limit
Delete Slope Limit 1 and Select ‘Add Slope Limit By Volume’ from the
‘Surfaces’ dropdown menu
Now select the boundary to the top section surrounding the smaller pit as
shown
Boundaries are approximate and may differ
Right click and select ‘Done’
Rename as “Slope Limit 2” and select ‘OK’
Analysis of Open Pit using Slope Limits – © 2017 Rocscience Inc.
Step 3: Selecting a Second Slope Limit
Select ‘Compute’ and ‘Show/Hide Surface Contours’
Results should appear as shown
Method Factor of Safety
Spencer 2.56
Base Normal Stress Contours on Critical Failure Surface
Analysis of Open Pit using Slope Limits – © 2017 Rocscience Inc.
Example 8 – Slope Limits
Open Example 8 No Slope Limit
Open Example 8 Slope Limits
Search Methods in Slide – © 2017 Rocscience Inc.
End of Module