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 Arch. Min. Sci., Vol. 56 (2011), No 3, p. 389–403 389
Electronic version (in color) of this paper is available: http://mining.archives.pl

AHMAD REZA SAYADI*, NADER FATHIANPOUR**, AMIN ALLAH MOUSAVI*

OPEN PIT OPTIMIZATION IN 3D USING A NEW ARTIFICIAL NEURAL NETWORK

TRÓJWYMIAROWA OPTYMALIZACJA KOPALNI ODKRYWKOWEJ PRZY WYKORZYSTANIU

SZTUCZNYCH SIECI NEURONOWYCH

Determination of the pit limits is a vital task in the designing process of a mine. While overestimation
increases stripping ratio, underestimation can result in loss of economic ore. The available methods of pit
limit optimization are mostly based on the programming approaches (linear and/ or dynamic) and graph
theory. In the large scale mines with probably varying wall slopes especially in 3D states performance
of these approaches may be unsatisfactory. In this paper, a new 3D pit optimization algorithm has been
developed and applied in an economic classified block model. In the first step economic block model of
the Esfordi phosphate mine (Iran) was prepared. In the second step, the block model was divided into
positive and negative regions with the help of a well trained feed-forward back-propagation neural net-
work. For this, 3D blocks coordinates were considered as the neural network inputs whereas the blocks
net economic values were set to be the model output. Finally, the optimum pit limit was determined on
the classified block model considering constraints of wall slopes and impurities. This process was set
to run in the MATLAB software. The results obtained have been compared to that from the modified
Lerchs-Grossman’s algorithm. The results are the same but in the presence of some kinds of ore impurity
constraints the proposed algorithm generates a pit with more profit.

Keywords: open pit optimization, neural network, block classification, ore impurities

Określenie zasięgu odkrywki jest kluczowym problemem na etapie projektowania kopalni. Prze-
szacowanie zasięgu prowadzi do zrywania gruntu na zbyt wielkim obszarze, zaś w wyniku niedosza-
cowania utracić można cenne rudy. Dostępne metody optymalizacji zasięgu odkrywki opierają się
głównie na zasadach programowania liniowego i dynamicznego oraz wykorzystują teorie grafów. Dla
kopalni o wielkich rozmiarach i o zmiennym nachyleniu zbocza wyniki uzyskiwane przy użyciu technik
trójwymiarowych mogą okazać się niewystarczające. W pracy zaprezentowano nowy algorytm do trój-
wymiarowej optymalizacji zasięgu odkrywki. Algorytm ten został opracowany i następnie zastosowany
w postaci modelu blokowego uwzględniającego zyskowność. W pierwszym kroku opracowano model

* FACULTY OF ENG., TARBIAT MODARES UNIVERSITY, TEHRAN, IRAN; e-mail: sayadi@modares.ac.ir; mousavi_mine@
yahoo.com
** DEPARTMENT OF MINING ENG., ISFAHAN UNIVERSITY OF TECHNOLOGY, ISFAHAN, IRAN; e-mail: fathian@cc.iut.
ac.ir
390

blokowy z uwzględnieniem kwestii ekonomicznych dla kopalni fosfatów w Esfordi (Iran). W kroku
drugim model został podzielony na obszary pozytywne i negatywne przy pomocy odpowiednio wy-
uczonej sieci neuronowej metodą wstecznej propagacji błędów (feed-forward back-propagation). Jako
dane wejściowe do sieci wykorzystano współrzędne bloków w 3D a wartości finansowe (zyski) netto
dla poszczególnych to dane wyjściowe. W końcowym stadium określono optymalny zasięg odkrywki na
podstawie modelu blokowego z uwzględnieniem więzów w postaci nachylenia zbocza oraz obecności
zanieczyszczeń rudy. Program działa w systemie MATLAB. Uzyskane wyniki porównano z wynikami
uzyskanymi przy wykorzystaniu zmodyfikowanego algorytmu Lercha- Crossmana. Wyniki są takie same
za wyjątkiem sytuacji wystąpienia zanieczyszczeń rudy, kiedy to proponowany algorytm generuje wynik
zakładający wyższe zyski kopalni.

Słowa kluczowe: optymalizacja odkrywki, sieć neuronowa, klasyfikacja blokowa, zanieczyszczenia

rudy

1. Introduction
One of the most important steps in the open pit mine design and planning is the determi-
nation of the ultimate pit limit. This limit determines the amount of ore and waste that can be
mined throughout the mine life. A number of researchers have previously studied the subject
of the ultimate pit limit optimization. Among them, Lerchs and Grossmann (1965) proposed an
algorithm that optimizes the final pit limit. Their algorithm uses a dynamic programming approach
for two-dimensional cases, whereas it uses graph theory for three-dimensional cases (Hustrulid
& Kuchta, 1998). Following this pioneering work, other researchers have presented algorithms
based on dynamic programming (Shenggui & Starfield, 1985), parameterization (Bongarcon &
Guibal, 1983), simulation (Underwood & Tolwinski, 1992; Akbari et al., 2009), graph theory
(Zhao & Kim, 1992), genetic algorithms (Denby & Schofield, 1993), network flow (Giannini,
1990; Underwood & Tolwinski, 1998), and heuristics (Wright, 1999). Some of these algorithms,
like the floating cone methods, do not necessarily find the pit with the maximum economic value
(Hustrulid & Kuchta, 1998; Askarinasab, 2006). Some of these algorithms cannot guarantee the
optimum pit limit because of the various technical issues that arise under real mine conditions.
The potential source of problems arising in the course of the above mentioned approaches can
be summarized as below (Askarinasab, 2006; Achireko, 1998; Wright, 1990):
• the variable slopes of the walls;
• application to large-scale mines;
• applying to fully three-dimensional cases;
• smoothing requirement in two-dimensional sections;
• complex theoretical bases; and
• costly and more time-consuming procedures.

To overcome these limitations, Achireko et al. (1996, 1997, 1998) developed an algorithm
called the Modified Conditional Simulation/Multiple FeedForward Neural Networks (MCS/
MFNN) for open pit optimization based on the simultaneous use of conditional simulation and
artificial neural networks (ANN). In their algorithm, they used a geostatistical simulation to
determine the amount of grade uncertainty, followed by a neural network predictor for block
classification. This algorithm uses error back propagation in a feedforward neural network to
optimize the final pit limit. To validate their model, they compared their results with those of the
Lerchs and Grossman algorithm for a two-dimensional case. Their comparative study showed
 391

agreement between the two algorithms; however, they claimed that the MCS/MFNN algorithm
was much faster.
In another study, a computational intelligent algorithm for pit limit optimization was de-
veloped that takes into account the fact that a slight change in data requires more time to run
again (Frimpong & Achireko, 1998a, 1998b; Frimpong et al., 2002a, 2002b). Their algorithm
was based on simulated models of ore grade and market price. This study also used the MCS/
MFNN algorithm to determine the ultimate pit limit but with a slight variation, in that it used the
stochastic-optimization annealing process to quantify the overall economic pit risk in the final
stage. Although the MCS/MFNN algorithm gives relatively satisfactory results, also it has some
difficulties as described below.
1. This algorithm was developed for two-dimensional sections. Although this method helps
to improve the smoothing problem, a smoothing procedure is still required for two-di-
mensional sections. Therefore, to resolve this smoothing issue, the algorithm should be
used in three-dimensional cases.
2. The proposed case study was small in size, so the neural network error had no significant
effect on its results. However, in a real large-scale and complex ore deposit, the neural
network error (although low) can significantly affect the results.
3. The algorithm that imposes slope constraints used in that study may result in some non-
optimal block selections.

To overcome these problems, a new optimization algorithm called 3DPO/ANN (3 Dimen-

sional Pit limit Optimization /Artificial Neural Networks), is proposed. The algorithm is consisted
of three main stages. In the first, an economic block model of deposit is prepared. In the second,
artificial neural networks are applied to classify the blocks into classes based on their economic
values. Then, the optimum pit limit can be determined with maximum profit, while considering
the variable slopes of the walls. Furthermore, any impurity bound in the block grades can be
incorporated. Since the algorithm was developed for the three-dimensional data distributions,
it does not require smoothing. The method has also been implemented in such a way that it can
quantitatively handle the error of the neural network in the optimization process. Finally, the
proposed algorithm has been successfully applied to optimize the ultimate pit limit of the Esfordi
phosphate mine (Iran), and the results have been compared to that from the modified Lerchs-
Grossman’s algorithm.

2. Artificial neural network

Artificial neural networks are analytical approaches for processing information and are par-
ticularly useful in identifying the fundamental relationships amongst a set of variables or patterns
in a data set. They grew out of research involving attempts to mimic the learning of biological
neural networks, especially those in the human brain.
The popularity of neural networks results from their modeling capacity for pattern recogni-
tion (Maimon & Rokach, 2005). Neural networks approaches imitate human diagnosis, which is
based on training through samples, then generalization to predict the outcomes for other samples.
The structure of a neural network includes a number of interconnected computational layers, each
consisting of some nerve units known as “neurons”, which maps sample input vectors to an output
target. The map is controlled by the capacity of the internal connections of the neurons, called the
392

synaptic weight. These weights are modified regularly so that each input vector correctly maps to
a target output vector. Because of their capacity to handle nonlinear relationships, neural networks
are well suited for analyzing complex relational patterns. In other words, the neural network is an
appropriate approach to detect the patterns to be used for classification through generalization.
The approach provides excellent solutions for diverse classification problems, such as in speech
recognition, etc (Mitiche & Lebidoff, 2001; Poulton, 2001). Apart from the input layer, all other
layers in the network contribute to processing, which ultimately leads to the required output. The
layers between the input and output are called “hidden layers”. There are two types of neural
network models in terms of their neuron weight connectivity (Du & Swamy, 2006):
1. Feedforward: Most networks are of this type, in which the input signals flow towards
the output in a one-way direction and there is no feedbacks from the output to the input.
The output of each layer has no effect on the same layer.
2. Recurrent: In this type of network, the data from the nodes of the next layer feed back to
the nodes of the previous layer.

Feedforward networks are the simplest and most useful neural network type. In the first step,
the network should be trained by allowing it to process the fed information. Different algorithms
have been used to train a network, and amongst them, the error back propagation algorithm has
found popularity because of its superior training ability (Hu & Hwang, 2002). A simple feed-
forward, back propagation neural network model should have at least three layers: the input,
hidden, and output layers. Each layer is associated with the other layers by a set of weights to
be determined in the course of training. Figure 1 shows a single artificial neuron with transfer
function f. For each neuron, there are weights wj and threshold b (Hu & Hwang, 2002).

Fig. 1. An artificial neuron with transfer function f

Where x1, ..., xk and f are network inputs and transfer function, respectively

After processing the information flow in the network, the output neuron value is calculated as:

(1)

The most commonly used transfer functions are of the linear type. Figure 2 sketches the four
types of transfer functions, which are used based on the purpose of the network and the type of
input data (Demuth, et al, 1996).
 393

Fig. 2. Linear and sigmoid transfer function (Demuth et al., 1996)

During network training, the information will be spread backwards and used to modify the
connecting weights (the error back propagation algorithm). The mean square error statistic is
usually the objective function used for network training (Nikravesh & Aminzadeh, 2003):

(2)

This function expresses the error between the input layer and the values of the output layers
spread throughout the network. During the training process, the weights are modified to minimize
the mean square error. To minimize this error, several algorithms have been proposed, among
them the Levenberg – Marquardt algorithm, which is considered a fast, efficient, and accurate
algorithm (Nikravesh & Aminzadeh, 2003).

3. The optimization algorithm

After preparing an economic model of orebody, then artificial neural networks are used
to classify the ore blocks into positive and negative regions based on their economic values.
Subsequently, the optimized pit limit was determined considering constraints on the previously
classified block model. This process was implemented in the MATLAB software environment.
394

3.1. Block classification using neural networks

For ore-waste classification, block economic value (BEV) is assigned to each block, as
follows:

(3)

in which bvi is the value of each block in the classification step.

In Figure 3, a network is considered for a three-dimensional block model in which x, y, and

z are the coordinates of the block’s center and bv denotes the economic value of the block.

Fig. 3. Structure of neural network to classification blocks

The relationship between the input and the hidden layers in the abovementioned network
can be written in matrix notation, as follows (Nikravesh & Aminzadeh, 2003):

(4)

in which Z i is the output value for each neuron before it is introduced into the transfer function.
 395

The sigmoid transfer function is commonly used for classification problems when the outputs of
the network model are mainly binary (Zhang, 2007). This function is defined as:

(5)

Applying the transfer function and the weights of the hidden layer, we arrive at (Zhang, 2007):

(6)

in which bvnet is the network output. To minimize the network prediction error, the network
weights are modified by comparing bvnet with the real bv using the Levenberg-Marquardt al-
gorithm. Finally, these weights are used to draw classification surfaces. For three-dimensional
cases, the number of classification surfaces is equal to the number of hidden layer neurons. These
surfaces are defined as:

(7)

in which wi1, wi2, and wi3 are the i th neuron weights from the hidden layer relative to the x, y,
and z coordinates of the block, respectively. Likewise, bi and n are the amount of i th neuron bias
in the hidden layer and the number of neurons in the hidden layer, respectively. The intersection
between the classification surfaces divides the block model into regions. If a region contains
blocks with positive economic value, it is called a positive region; otherwise, it is considered
a negative region. Optimizing the number of neurons in the hidden layer is the most important
issue in obtaining the optimum output results. To determine this number of neurons, the error
measure is defined as:

(8)

in which Nm is the number of positive blocks located in the negative regions or the number of
negative blocks located in the positive regions, Nt is the total number of blocks, and E is the
measure of network error. In general, there exists some wrongly classified blocks, the number
of which depends on the amount of network prediction error. Positive areas created at this stage
are the basis for pit optimization in the next stage.

3.2. Ultimate pit limit design

After block classification by neural networks, it is required to determine the shape and
amount of the mineral that must be exploited. Figure 4 shows the flowchart of the ultimate pit
limit optimization.
In this stage, only blocks inside the positive regions are checked, increasing the optimization
speed while minimizing the processing time. In evaluating a block to assign its exploitability,
the permission to extract that block or its overlying blocks is granted only if they satisfy all the
imposed constraints. The foremost constraint is the restriction of the permitted wall slopes, which
is assessed with the slope gradient method. At this stage, other constraints such as the maximum
396

Fig. 4. Ultimate pit limit optimization flowchart

amount of ore impurities can be applied. Finally, if the proposed block and its overlying blocks
satisfy all the defined constraints and have positive economic value, they will be extracted.
After all the regions have been checked sequentially, several positive blocks still occur in
negative regions and may be located outside the optimal pit. These seemingly anomalous blocks
arise because of the neural network prediction error. Although this error is not significant, its
contribution in cases of broad-scale mines could be considerable. For instance, a 1% error in
a mine with 100,000 blocks is equal to 1,000 blocks, so it is essential to double check those
blocks. To address this issue, the same algorithm is applied to the misclassified positive blocks.
Ultimately, the output of this algorithm is the outline of the final pit limits that satisfies all the
 397

imposed constraints plus the amount of ore and waste to be mined while maximizing the profit
throughout the mine life.

3.3. Slope constrain

Because the variability in the geomechanical conditions of a rock mass is an inevitable
aspect in mining, it is necessary to apply a method capable of accommodating variable wall
slopes. To impose these slope constraints in the 3DPO/ANN algorithm, the block’s gravitational
center method is used. In two-dimensional cases (Fig. 5), the eastern wall is first fixed and the
western wall is gradually pushed back for the selected block. When the eastern wall from the
selected block is pushed back, then the western wall is treated likewise. The economic values
of the blocks are recorded at every stage and once the maximum values are obtained, then those
blocks are marked as extractable.
Equations 9 and 10 give the wall slope lines and the necessary condition for block extraction

Fig. 5. Moving slope in two-dimensional state

in this situation. The slope angles at the western and eastern walls of the mine are denoted by
parameters α and β, respectively. In a three-dimensional situation, these lines turn into surfaces
that can have different azimuths and levels. These three-dimensional planes are then confirmed
as satisfying the slope constraints through the adjacent blocks, as follows.

(9)

(10)

in which sw and se are the slope equations at the western and eastern walls, respectively.
398

4. Case study
The Esfordi Phosphate complex is located in the central part of the Iran about 800 km south
east of Tehran.
The phosphate ore is hosted by igneous type rocks covering an area of 20 hectares extend-
ing more than 100 meters in depth. Figure 6 shows a view of the mine site. The ore reserve
has been estimated of about 17 million tons with an average grade of 13.9% P2O5 and contains
a considerable amount of rare earth elements. The phosphate ore has a large variability of chlorine
content, which is considered an unwanted impurity, harmful to the mineral processing plant. If
the chlorine content of the mined product is more than the permitted amount, then it will create
serious marketing problems. Therefore, it is necessary to take into account this constraint in
designing the ultimate pit limits.

Fig. 6. A view of the mine site

4.1. Economic block model

To provide an ore–waste block model, the data from the number 59 borehole, including
phosphate, iron and chlorine contents, were used. Based on technical limitations and to mini-
mize the estimate variance, it was showed that the appropriate block dimensions were 5 * 10 *
10 m (Fathianpour & Mousavi, 2008). Both the grade of the phosphate (the main product) and
the chlorine content (the impurity associated with the main ore) were estimated using standard
ordinary kriging of geostatistical methods. Figure 7 shows the three dimensional block model
of orebody. The economic block values were calculated according to the economic parameters
and by applying a 6% cutoff grade for the phosphate content. Blocks with positive and negative
economic values were assigned values of 1 and –1, respectively.
 399

Fig. 7. Three dimensional block model

4.2. Pit limit optimization

The 3DPO/ANN algorithm was applied to a cross-section taken from the Esfordi mine in
a real two-dimensional example of designing mine limits. For block classification, a multilayer
perceptron neural network with three layers was used. In the network training process, the number
of neurons in the hidden layer was selected in such a way that the error measure was minimized. As
shown in Figure 8, a network with 21 neurons in its hidden layer had the lowest error content.

7
6
5
4
E(%)

3
2
1
0
8 13 18 23 28 33
NumberofNeuron

Fig. 8. Error index vs. different numbers of neurons

400

Figure 9 shows the lines and regions obtained from the weights of the neurons in the neural
network model. In this figure, singe “+” shows that block has a positive economic value.

Fig. 9. Blocks classification using neural network (lines were drawn using neural network weights)

After classification, the ultimate pit limit was optimized using the 3DPO/ANN algorithm.
Figure 10 shows the final outcome for this two-dimensional case. In this figure singe + shows
that block would be located in the final pit limit.

Fig. 10. Ultimate pit limit for the selected section (blocks were assigned with “1” will be located
in ultimate pit)

The 3DPO/ANN algorithm was also used for a three-dimensional case and the results are
given in Figure 11a and Table 1. To cross-validate the model, the Esfordi ultimate pit limit was
also calculated using an algorithm based on the dual simplex method of optimization plus the
Lerchs and Grossmann algorithm. (Figure 11b and Table 1, obtained by NPV + MFO software).
It can be seen from the final mine layout plots, the results obtained with both algorithms look
very similar.
Table 2 shows the results of both algorithms after imposing the chlorine constraint. By
evaluating the results, it can be note that the proposed algorithm generates a pit with 30% more
profit
 401

Fig. 11. (a) Ultimate pit from 3DPO/ANN algorithm, (b) Ultimate pit from NPV+MFO software
402

TABLE 1

Optimization results using 3DPO/ANN and NPV+MFO, both with “wall slope” limitation applied

Profit Ore Tonnage Cl

Stripping Ratio
(m$) (mton) (g/ton)
3DPO/ANN 595 14.15 1.01 712.46
NPV+MFO 577 13.76 1.09 709.87

TABLE 2
Optimization results using 3DPO/ANN and NPV+MFO, both with “wall slope” and “chlorine”

Profit Ore Tonnage Cl

Stripping Ratio
(m$) (mton) (g/ton)
3DPO/ANN 342.3 9.25 1.31 660.1
NPV+MFO 237.5 5.51 1.69 660

5. Conclusion
This paper addresses a key problem in mine planning, i.e. the optimum ultimate pit limit. By
reviewing the difficulties in the existing optimization models used in designing final pit limits,
this study has introduced a new optimization algorithm with potential application to both two-and
three-dimensional pit limit cases. A well trained feed-forward back-propagation neural network
is used to classify the blocks. The inputs and outputs of the model were the coordinates of 3D
blocks and the blocks net economic values, respectively. Finally, the pit limit was optimized
while profit maximization would be the objective function and the permissible wall slopes and
the maximum amount of ore impurities were the constraints. The algorithm was used to optimize
the three-dimensional final pit limits of the Esfordi phosphate mine in central Iran. The results
obtained yielded a profit of $595 million when the permissible slope was the only constraint,
which was almost the same as the result obtained with the NPV+MFO software. However, when
the main purpose was to control the amount of ore impurities, the 3DPO/ANN algorithm result
was far better than that of the NPV+MFO software, with about 30% more profit.

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Received: 23 February 2011

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