Received 23 August 2022, accepted 17 September 2022, date of publication 22 September 2022, date of current version 3 October 2022.

Digital Object Identifier 10.1109/ACCESS.2022.3208613

Overall Dynamic Optimization of Metal Mine

Technical Indicators Considering Spatial
Distribution of Ore Grade Using AADE
XUNHONG WANG 1,2,3,4 , YONGLIN TAN2,4 , AND LAN YANG5
1 School of Information and Control Engineering, China University of Mining and Technology, Xuzhou 221000, China
2 School of Economic and Management, Guangxi University of Science and Technology, Liuzhou 545006, China
3 Keli Sensing Technolgy (Ningbo) Company Ltd., Ningbo 315033, China
4 Research Center for High-Quality Industrial Development of Guangxi, Liuzhou 545006, China
5 School of Foreign Studies, Guangxi University of Science and Technology, Liuzhou 545006, China

Corresponding authors: Yonglin Tan (tanyonglin2018@gmail.com) and Lan Yang (yanglan2018@gmail.com)

This work was supported by the 3331 High-Level Talent Program Project of Guangxi University of Science and Technology under
Grant 21S07.

1 ABSTRACT In optimizing the production of a metal mine, either the overall dynamic relations between
2 technical indicators or the spatial distribution of the ore grade are usually considered, but few studies have
3 considered both factors together. These two factors in combination have a greater effect on the optimization of
4 mine production in terms of economic benefit and resource utilization than they do individually. We proposed
5 an overall dynamic optimization model of technical indicators of metal mine production that considers the
6 spatial distribution of the ore grade to better optimize the technical indicators and improve sustainable
7 development of mineral resources. We incorporated an adaptive mutation strategy and adaptive control
8 parameters into a differential evolution algorithm (AADE) in order to overcome the drawbacks of the
9 differential evolution algorithm in solving this optimization model. The adaptive mutation strategy and
10 adaptive control parameters were used to increase the rate of convergence and improve the search for a
11 global maximum. To assess the performance of AADE, we used a real case and four test functions (the
12 Sphere, Griewank, Rastrigin and Rosenbrock functions) in tests that compared AADE with a standard
13 genetic algorithm, a standard differential evolution algorithm and the recently developed adaptive differential
14 evolution algorithm. The results indicate that the optimization model we created is better aligned with
15 mine production processes than current optimization models. In optimizing the technical indicators of metal
16 mine production to maximize economic benefits, AADE performed significantly better than the other three
17 algorithms tested in terms of convergence rate and global search ability.

18 INDEX TERMS Metal mine, technical indicator, overall dynamic relation, ore grade distribution, AADE.

19 I. INTRODUCTION However, in a time of product shortages in China, the pur- 27

20 Metal minerals are an important non-renewable resource and suit of high quantities of mineral resources and increased 28

21 are basic to social development and human survival. They are development speed have resulted in a wide range of produc- 29

22 essential to national economic development, and maintaining tion methods, low levels of technology use, and insufficient 30

23 the security of such resources has great strategic value. The investment in and attention to the sustainable development of 31

24 rapid development of China’s economy has resulted in tens mineral resources. Consequently, mineral resources are not 32

25 of thousands of mines having been built, and the quantity of fully utilized, and waste is a serious problem. It is therefore 33

26 solid minerals mined in China is the highest in the world. essential to develop efficient mining techniques for mineral 34

resources. 35

The associate editor coordinating the review of this manuscript and The term ‘‘mineral resources’’ refers to geological bodies 36

approving it for publication was Ehab Elsayed Elattar . that can be mined and utilized under current technological 37

This work is licensed under a Creative Commons Attribution 4.0 License. For more information, see https://creativecommons.org/licenses/by/4.0/
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 X. Wang et al.: Overall Dynamic Optimization of Metal Mine Technical Indicators

38 and economic conditions, which bring economic benefits to Such an approach must consider two aspects, the overall 94

39 the state and business enterprises after extraction. Mineral dynamic relations between the technical indicators and the 95

40 resources are the product of geological action and are char- spatial distribution of the ore grade. 96

41 acterized by their scarcity and non-renewability. Whether a The production of metal mines is a multi-factor, multi- 97

42 geological body can be considered to be a mineral resource level, multi-constrained, complex dynamic process, so the 98

43 is closely related to the current state of production technol- optimization of technical indicators is a complex nonlinear 99

44 ogy and the mineral market. Ongoing changes in production optimization problem. It has been well documented that stan- 100

45 technology and the volatility of mineral markets mean that dard optimization methods cannot easily solve complex non- 101

46 minerals are a dynamic resource. Thus mining metal mineral linear optimization problems [8], [9], [10]. Many intelligent 102

47 resources to create economic and resource benefits is a signif- evolutionary methods have been proposed to solve complex 103

48 icant research topic that many mining researchers have been nonlinear optimization problems, such as the genetic algo- 104

49 investigating. rithm (GA) [11], the particle swarm algorithm (PS) [12], [13] 105

50 Optimization of the technology used for metal mine pro- and the differential evolution algorithm (DE) [14], [15]. DE is 106

51 duction will determine the best production indicators for an easy-to-use algorithm that has few control parameters, is 107

52 optimal economic and resource use benefits. Changes in low in computational complexity, and shows good conver- 108

53 the mineral market and advances in production technology gence. It is therefore used to solve many complex nonlinear 109

54 continually change the relevance of technological production optimization problems [16], [17], [18]. However, the standard 110

55 indicators over time, so there is an ongoing need to adjust DE algorithm has two drawbacks when used to optimize the 111

56 and optimize them. Optimization of the technical indicators overall dynamic behavior of technical indicators of metal 112

57 of mine production is therefore a prerequisite for efficient mine production, considering the ore grade distribution. 113

58 mining of mineral resources. First, the mutation strategy, determination of which is the 114

59 Researchers have taken two approaches to optimization most important step in this algorithm, has a great effect 115

60 of the technical indicators of mine production in recent on the performance of DE. The mutation strategies used in 116

61 decades. The first approach [1], [2], [3], [4], [5] is the over- standard DE algorithms are DE/rand/∗ and DE/best/∗ [19]. 117

62 all dynamic optimization of the technical indicators. This Many studies have shown that DE/rand/∗ has a global search 118

63 approach ignores the spatial distribution of the ore grade. capability but converges slowly. DE/best/∗, in contrast, con- 119

64 However, assuming that the grade distribution is constant for verges rapidly but has a tendency to fix on a local optimum 120

65 the entire deposit, without considering the high-grade and [20], [21]. 121

66 low-grade regions in the deposit, leads to the waste of mineral Second, DE has two important control parameters that 122

67 resources. The second approach is to optimize the technical affect its accuracy and its convergence rate: the scale factor 123

68 indicators of mine production, taking into account the spatial F and the crossover rate CR [22], [23]. In the standard DE 124

69 distribution of the ore grade. Wang et al. [6], [7] used dynamic algorithm, the values of these two control parameters are 125

70 programming to optimize the technical indicators of mine preset and remain unchanged during evolution [24]. However, 126

71 production. They included the mining method, production researchers have found that the optimal control parameter 127

72 capacity and the mining sequence. They also considered values are generally different for various problems or even 128

73 the actual distribution of the ore grade in different zones for various evolutionary stages of the same problem [25]. It is 129

74 of the orebody and created a dynamic programming model therefore difficult to determine the optimal control parameter 130

75 to optimize the technical indicators of mine production and values to solve the overall dynamic optimization problem 131

76 applied the model to practical cases. However, in creating for metal mine technical indicators when considering the ore 132

77 the model, they ignored the dynamic relations between the grade distribution. 133

78 technical indicators of mine metal production. In other words, To overcome the preceding drawbacks of the DE, we intro- 134

79 the model they developed did not result in the overall dynamic duced an adaptive mutation strategy and adaptive control 135

80 optimization of the technical indicators of mine production. parameters into the standard DE algorithm and designed an 136

81 Thus, the optimized, but not optimal, technical indicators led adaptive mutation operator and adaptive control parameter for 137

82 to inefficient mining of mineral resources. DE (AADE) to be incorporated into the algorithm in order to 138

83 The preceding studies included optimization of the techni- solve the overall dynamic optimization problem. 139

84 cal indicators of mine production, and some of the research

85 was used practically. However, these studies considered only
86 one aspect, either the overall dynamic relations between II. OVERALL DYNAMIC OPTIMIZATION MODEL OF 140

87 the technical indicators or the spatial distribution of the ore METAL MINE TECHNICAL INDICATORS CONSIDERING 141

88 grade. Few researchers have considered both factors at the THE SPATIAL DISTRIBUTION OF THE ORE GRADE 142

89 same time, and this incompleteness has led to inefficient A. DYNAMIC RELATIONSHIP MODEL OF METAL MINE 143

90 exploitation of mineral resources. It is therefore necessary to TECHNICAL INDICATORS 144

91 develop an optimization model and an optimization method Mine production consists of a geological process, a mining 145

92 to optimize the technical indicators of mine production in process, and a beneficiation process, each of which has main 146

93 order to more efficiently exploit metal mineral resources. technical indicators, as shown in Figure 1; the technical 147

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 X. Wang et al.: Overall Dynamic Optimization of Metal Mine Technical Indicators

industrial grade pa and pb ; ϕ(x) is the probability function 161

that the ore with a grade between the boundary grade and 162

industrial grade is mined; z is a constant value, depending on 163

the geological properties of the ore; g(x) is a function of ore 164

weight and grade; and c(x) is the probability density function 165

of the ore grade distribution. 166

2) MINING PROCESS 167

The ore characteristics and mining methods of each mining 168

area are basically the same for an individual mine. In this case, 169

there was some correlation between the dilution rate and the 170

FIGURE 1. Production processes and main technical indicators of metal loss rate in the ore production process [1], and the relationship 171
mines.
model is: 172

TABLE 1. Detailed definitions of main technical indicators. c2 = f3 (c1 ) (4) 173

The dilution rate is the ratio of the difference between the 174

ore average grade and the mining grade to the ore average 175

grade: 176

c2 = (p3 − p4 )/p3 (5) 177

Rearranging equation (5), the mining grade can be calcu- 178

lated by equation (6): 179

p4 = p3 (1 − c2 ) (6) 180

Depending on the amount of metal conserved during min- 181

ing, it can be calculated that: 182

Q2 × p4 = Q1 × (1 − c1 ) × p3 (7) 183

Combining equations (6) and (7), the equation to calculate 184

the mining amount is: 185

1 − c1
Q2 = Q1 (8) 186
1 − c2
148 indicators are defined or described in detail in Table 1.
149 We model the three processes in the following sections. 3) BENEFICIATION PROCESS 187

The concentration ratio is the ratio of the mining amount to 188

150 1) GEOLOGICAL PROCESS the concentrate amount: 189

151 The model [2] of the relationship of geologic reserves and 

152 ore average grade with ore boundary grade and ore industrial c3 = Q2 Q3 (9) 190

153 grade is:

For an individual mine, the characteristics of the min- 191

154 Q1 = f1 (p1 , p2 ) = Q0 ing ore, the processing technology, the equipment, and the 192
R p2 R 100
p1 ϕ(x)g(x)c(x)dx + p2 g(x)c(x)dx
agent can be assumed to be constant. In this case, there 193

155 × Rp R 100 (1) are relationships between ore concentration ratio and mining 194

pa ϕ(x)g(x)c(x)dx + pb g(x)c(x)dx
b
grade, between concentrate grade and mining grade, between 195

x − p1 z concentrate grade and ore concentration ratio, and between

ϕ(x) = (
196
156 ) (p1 ≤ x ≤ p2 ) (2)
p2 − p1 concentrate grade and concentrate selling price [26], [27], 197
R p2 R 100 [28], [29], [30]. These relationships are modeled by equations 198
p1 xϕ(x)c(x)dx + p2 xc(x)dx
157 p3 = f2 (p1 , p2 ) = R p R 100 (3) (10–12): 199

p1 ϕ(x)c(x)dx + p2 c(x)dx
2

c3 = f4 (p4 ) (10) 200

158 where pa and pb are respectively the original boundary grade
p5 = f5 (p4 , c3 ) (11) 201
159 and original industrial grade; Q0 is the geological reserve
160 calculated using mining software with boundary grade and q = f6 (p5 ) (12) 202

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 X. Wang et al.: Overall Dynamic Optimization of Metal Mine Technical Indicators

203 B. OVERALL DYNAMIC OPTIMIZATION MODEL OF (3) The mining end time T2,i of optimized zone i is: 248

204 TECHNICAL INDICATORS OF METAL MINE PRODUCTION j=i

CONSIDERING ORE GRADE DISTRIBUTION
X
205
T2,i = tj (16) 249
206 1) MODELING STRATEGY j=1
207 Metal mining is conducted as a series of units. To take account (4) The total profit Gi of optimized zone i is: 250
208 of the lack of ore homogeneity, the deposit to be optimized
209 is divided into zones that are optimized according to the Gi = Q3,i ∗ qi − Q2,i ∗ h (17) 251

210 ore characteristics. Each optimized zone has its own ore where Q3,i is the concentrate amount in optimized zone i; qi 252
211 grade distribution. The ore is mined in sequence according is the selling price of the concentrate in optimized zone i; and 253
212 to the quality of the optimized zone. However, mining each h is the total production cost per unit of ore. 254
213 optimized zone requires decisions to be made regarding the (5) The average annual profit gi of optimized zone i is: 255
214 technical indicators for that zone; zones are not isolated,
Gi
215 so the decision affects subsequent mining decisions for other gi = (18) 256

216 zones. Therefore, the dynamic relationships between opti- ti

217 mized zones must be considered in optimization. (6) Total net present value of optimized zone i is: 257
 ∗
gi (T2,i −T1,i ) − −

 − T1,i = T2,i
T
2) OBJECTIVE FUNCTION

218 
 (1+d) 1,i
  (T − +1−T1,i )
 
219 Profit calculations do not usually consider the time value of 1,i 1
θi = T
− + −
T +1
+ (19) 258
220 money, so using profits to calculate the return on investment ∗  (1+d) 1,i

(1+d) 1,i

g else

 
i  − 
of funds is not fruitful. Net present value not only considers (T2,i −T2,i )

221
 1

 ··· + T − −1
+ T−
the time value of a fund, but also facilitates the calculation of

222 (1+d) 2,i (1+d) 2,i
223 return on investment. We therefore used net present value as −
where is the integer part of T1,i ; d is the annual discount
T1,i 259
224 the measure of the economic benefit of metal mine produc- −
rate; and T2,i is the integer part of T2,i . 260
225 tion to be optimized. The objective function of the technical
226 indicator optimization model of metal mine production based
3) CONSTRAINTS 261
227 on the economic benefit is therefore:
(1) The boundary grade is not higher than the industrial grade: 262

N
X p1,i ≤ p2,i (20) 263
228 max θ = θi (13)
i=1 where p1,i is the boundary grade of optimized zone i, and p2,i 264

is the industrial grade of optimized zone i. 265

229 where θ is the total net present value; θi is the net present (2) The concentrate grade is not less than the minimum 266

230 value of optimized zone i; and N is the number of optimized smelting grade: 267

231 zones. p5,i ≥ py (21) 268

232 Since the mining decision of the optimized zone mined
233 first affects the starting time of the mining of subsequent where p5,i is the concentrate grade of optimized zone i, and 269

234 optimized zones, the net present value is a function of time. py is the lowest smelting grade. 270

235 Therefore, the net present value of each optimization zone is

236 not independent but has a dynamic relationship with the net 4) OPTIMIZATION MODEL 271

237 present values of other optimized zones. When the starting Combining the above objective function and constraints, the 272

238 time of mining is 0, the calculation process for the net present technical indicator optimization model for metal mine pro- 273

239 value of optimized zone i is as follows. duction to maximize economic benefit is: 274

240 (1) Calculate the mining time ti of optimized zone i: N
max θ = θi

 P

i=1
Q2,i (22) 275
241 ti = (14)  p1,i ≤ p2,i
Qz

 s.t.
p5,i ≥ py


242 where Q2,i is the total mining quantity of optimized zone i, It is worth noting that the choice of decision variables is 276

243 and Qz is the annual production capacity. associated with the model of the relationships between indi- 277

244 (2) The mining start time T1,i of optimized zone i is the cators. A relational model must be identified before a decision 278

245 sum of the mining times of each previously optimized zone, variable can be identified. The relationship model is related 279

246 and is calculated by equation (15): to the geological conditions of the deposit and the ore char- 280

acteristics, and the mining methods, beneficiation methods 281

j=i−1
X and beneficiation equipment of the mine [2]. The decision 282

247 T1,i = tj (15) variable can therefore be determined only after determining 283

j=1 the mine characteristics. 284

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 X. Wang et al.: Overall Dynamic Optimization of Metal Mine Technical Indicators

TABLE 2. The range and original geological reserves of the optimized

units of Yinshan copper mine.

FIGURE 2. Flow chart of the AADE for optimizing the proposed model.

285 C. AADE
286 Adaptive differential mutation operators can better balance
287 global exploration with local exploitation in DE and can
288 improve optimization performance and increase algorithm FIGURE 3. Scatter plot of orebody weight and copper grade of the
Yinshan copper mine.
289 robustness [31]. The use of adaptive control parameters
290 improves optimization performance and algorithm robustness
291 [32], [33]. The optimization performance of the DE algorithm
292 can be improved in solving the overall dynamic optimization The production requirements of the Yinshan copper mine set 315

293 model without the necessity of estimating the appropriate the boundary grade and the industrial grade of each optimized 316

294 proportion factor F or crossover rate CR. unit in the range 0.05% to 0.45%. The parameter values for 317

295 We therefore introduced the adaptive mutation operator the Yinshan copper mine were as follows. The lower bound 318

296 and adaptive parameters into the standard DE algorithm to and upper bound of the boundary grade and industrial grade 319

297 create the AADE, and AADE was then used to solve the were respectively 0.05% and 0.45%; the lower bound of the 320

298 overall dynamic optimization model. The AADE flow chart smelting grade was 16%; the annual production capacity of 321

299 is shown in Figure 2. the mine was 1.5 Mt; the z value in equation (2) was 0.5; 322

the total production cost per unit of ore was 98 CNY/t; the 323

300 III. EXAMPLE OF MODEL APPLICATION sales price of #1 copper concentrate was 47,739 CNY/t; the 324

301 An orebody at −48 to −192 m in the large Yinshan copper discount rate was 6%. 325

302 mine in China is used as an example of the application of

303 the AADE. The orebody was divided into five zones for A. MODEL OF TECHNICAL INDICATOR RELATIONSHIPS 326

304 optimization based on existing mine production data and the 1) RELATIONSHIP BETWEEN OREBODY WEIGHT AND 327

305 current production status of the min. The zones were opti- GRADE 328

306 mized for technical indicators using the established model A scatter plot of the orebody weight and copper grade was 329

307 and AADE. All algorithms were implemented in Python. plotted from the 204 items of orebody weight and grade 330

308 Calculations were performed on a PC having an Intel Core data collected from the Yinshan copper mine, as shown in 331

309 i5-9400 quad-core processor and 8 GB RAM running under Figure 3. There was no correlation between orebody weight 332

310 the 64-bit Microsoft Windows 10 operating system. and copper grade. The results show that there was no rela- 333

311 Table 2 shows the ranges of the optimization zones tionship between orebody weight and copper grade and that 334

312 and their original geological reserves, which are the geo- orebody weight was not affected by copper grade. We there- 335

313 logical reserves corresponding to the original boundary fore used the average value of the orebody weight for 336

314 grade (0.15%) and the original industrial grade (0.25%). the ore weight function of the Yinshan copper mine. The 337

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 X. Wang et al.: Overall Dynamic Optimization of Metal Mine Technical Indicators

FIGURE 4. Fitting results of copper grade distribution in the Yinshan copper mine (optimized zones 1–5) for comparison.

338 mathematical function is: 3) RELATIONSHIP BETWEEN LOSS RATE AND DILUTION 351

RATE 352

339 g1 (x) = 2.85 (23) Aiming for an ore body of −48 to −192 m in the Yinshan 353

copper mine, open-pit mining was used. The copper dilution 354

340 2) PROBABILITY DENSITY FUNCTION OF THE COPPER and loss rates were collected for 64 items of open-pit mining 355

341 GRADE DISTRIBUTION data. Scatter plots of the copper dilution rate and loss rate 356

342 The copper grade distribution was fitted using kernel density were plotted, as shown in Figure 5. It can be seen from 357

343 estimation based on the characteristics and attributes of the Figure 5 that there was no correlation between copper dilution 358

344 data without any prior knowledge. This method provided rate and loss rate. The correlation coefficient between copper 359

345 better fitting of the probability density function than param- dilution rate and loss rate was −0.0771, and the F-test was 360

346 eter estimation. Kernel density estimation was used to fit the significant at a level of 0.5449, which was >0.05. There was 361

347 probability density distribution of the Yinshan copper mine therefore no relationship between copper dilution rate and 362

348 ore grade. Fitting did not result in a particular function or loss rate. In the subsequent optimization, the values used for 363

349 mathematical expression. Figure 4 shows that kernel density both dilution rate (2%) and loss rate (9%) were the planned 364

350 estimation well fitted the ore grade distribution. values. 365

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FIGURE 7. Fitting results of the copper ore concentrate grade of the

FIGURE 5. Scatter plot of the copper loss rate and dilution rate of the Yinshan copper mine using BP neural network.
Yinshan copper mine.
TABLE 3. Compensation prices and price adjustment coefficients of
different copper concentrate grades.

functions used in the training function, input layer and output 391
FIGURE 6. Exponential function fitting the relationship between mining layer were respectively traingdm, tansig and purelin. The 392
grade and concentration ratio for the Yinshan copper mine.
learning rate was 0.1, training error accuracy was 0.001, and 393

the maximum number of iterations was 2500. The fitting 394

366 4) RELATIONSHIP BETWEEN MINING GRADE AND diagram of copper concentrate grade produced by the BP 395

367 CONCENTRATE RATIO neural network is shown in Figure 7. 396

368 The scatter plot for 630 items of ore dressing data, mining Figure 7 shows that for the fitting, the coefficient of deter- 397

369 grade and concentrate ratio, that were collected from the mination R2 was 0.939, mean absolute error MAE was 0.258, 398

370 Yinshan copper mine is shown in Figure 6. It can be seen from and root mean square error RMSE was 0.307. R2 was >0.9, 399

371 the figure that mining grade is exponentially related to con- and both MAE and RMSE were <0.5. These results indicate 400

372 centrate ratio. The exponential function was used for regres- that the BP neural network well fitted the model of the 401

373 sion fitting, and the correlation coefficient was −0.8445. The relationships of copper mining grade with concentrate grade 402

374 F test was significant at the level 1.89 × 10−172 . Since the and concentrate ratio with concentrate grade in the Yinshan 403

375 significance level was much less than 0.05, the regression copper mine. 404

376 was significant and the regression model can be applied.

377 The exponential function used to fit the relationship between 6) COPPER ORE CONCENTRATE PRICE 405

378 mining grade and concentrate ratio is equation (24): The market transaction price of copper ore concentrate is 406

∗p based mainly on a 20% concentrate grade (#1 grade), and 407

379 c3 = 136 ∗ e−2.29 4 (24) the price of any other copper ore concentrate grade is a 408

function of this price. The price adjustment factors and the 409

380 5) CONCENTRATE GRADE compensation prices are shown in Table 3. The copper ore 410

381 A BP neural network [34], [35], [36], [37] was used to concentrate price q is calculated by equation (25): 411

382 determine the relationships between copper mining grade q = f6 (p5 ) = k1 × p5 × λ + k2 (25) 412
383 and concentrate grade and between concentrate ratio and
384 concentrate grade in the Yinshan copper mine. A total of where k1 is the sales price of #1 copper concentrate; λ is the 413

385 630 data items were collected; the training sample consisted price adjustment coefficient; k2 is the compensation price. 414

386 of the first 530 data items, and the test sample was the
387 remaining 100 items; mining grade and concentrate ratio B. DECISION VARIABLES AND PARAMETER SETTINGS 415

388 were used as inputs, and the copper ore concentrate grade 1) DECISION VARIABLES 416

389 was the output. There were two nodes in both the input and In the model of relationships between the technical indica- 417

390 hidden layers and one node in the output layer. The transfer tors of the Yinshan copper mine described in Subsection A, 418

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TABLE 4. Parameters of Yinshan copper mine and AADE algorithm.

FIGURE 8. Iterative process to calculate the optimal net present value.

419 Section III, boundary grade, industrial grade, loss rate, and
420 dilution rate are independent variables and are not affected by
421 other indicators; geological ore reserves, ore average grade,
422 mining grade, mining amount, concentration ratio, concen-
423 trate grade, concentrate amount, and ore mining grade are
424 dependent variables. When the value of an independent vari-
425 able has been determined, the value of any variable dependent
426 on it has also been influenced. Therefore, the independent
427 variable is the decisive variable in optimization.
428 The dilution rate and loss rate depend on ore body
429 characteristics and mining technology, which are basically
430 unchanged over a short period of time. These two variables
431 were therefore taken to be constant for each optimization
432 zone, and the values are the planned values. Dilution rate
433 was 2% and loss rate was 9%. Boundary grade and industrial
434 grade of each optimization unit are thus the decision variables
435 of the optimization model; there are 10 decision variables for
436 the five optimization zones.

437 2) SETTING PARAMETERS

438 The parameters of the AADE algorithm were set as follows.
439 The dimension DT of the decision variable was set to 10; the
440 initialization population size NP was set to 50; the maximum Table 5 shows that the boundary grades of optimized 457

441 number of iterations Gmax was set to 100; and the adaptive zones 1–5 were respectively 0.425 3%, 0.328 8%, 0.235 1%, 458

442 control parameters ψ, ϕ, δl and δu were respectively set to 0.7, 0.425 1% and 0.379%; the industrial grades of optimized 459

443 0.1, 0, and 1. Encoding of the related evolutionary algorithms zones 1–5 were respectively 0.434%, 0.373 4%, 0.440 7%, 460

444 was real number encoding. The parameters of the Yinshan 0.438 1% and 0.393 4%. The corresponding values differ 461

445 copper mine and the AADE algorithm are given in Table 4. from each other, indicating that the boundary grades and 462

industrial grades differ between optimized zones. If the spa- 463

446 C. OPTIMIZATION RESULTS AND ANALYSIS tial distribution of ore grades is not considered and one overall 464

447 The production specifications of the Yinshan copper mine grade distribution is adopted, the boundary grade and the 465

448 were optimized using the optimization model and the AADE industrial grade are both the same. Obviously, if the same 466

449 algorithm with the parameter settings shown in Table 4. The boundary grade and industrial grade are used in high-grade 467

450 iterative process of the optimal net present value calculation and low-grade zones, mineral resources will be wasted. Con- 468

451 is shown in Figure 8, and the optimization results are given sidering differences in the spatial distribution of grades pro- 469

452 in Table 5. duces a model that is more in line with actual production and 470

453 Figure 8 shows that the optimal net present value converged is therefore very important. 471

454 after about 80 iterations, which indicates that AADE con- The optimized scheme was compared with the current 472

455 verged rapidly to optimize the model of technical indicators scheme; the technical index values and net present value of 473

456 for maximum economic benefit. the current scheme are shown in Table 6. 474

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TABLE 5. Technical indexes and net present values of the optimization scheme.

TABLE 6. Technical indexes and net present values of the current scheme.

475 By comparing Tables 5 and 6, it is clear that by adjust- of AADE were respectively set to 0.7, 0.1, 0, and 1. The 493

476 ing the technical indicators for optimized production, the mutation rate and crossover rate of GA were respectively set 494

477 net present values of optimized zones 1 to 5 respectively to 0.7 and 0.5. The proportion factor F and crossover rate CR 495

478 increased by 104 CNY 5 969.16, 6 579.66, 4 994.74, 3 494.85 of DE were respectively set to 0.7 and 0.5. The distribution 496

479 and 2 358.3 over the current scheme. The total net present function and the adaptive control parameters of ADE were set 497

480 value reached CNY 49 252.2 × 104 , with an increase of to be the same as those of AADE. The population size of all 498

481 CNY 23 396.71 × 104 , i.e., 90.5%. The adjusted technical four algorithms was set to 50, and the maximum number of 499

482 indicators are aligned with the actual situation of the mine iterations was set to 100. 500

483 and significantly increase mine profits. To avoid any random effects in algorithm operation, the 501

four algorithms were independently run 31 times each, and 502

484 D. ALGORITHM COMPARISON the total net present value of each run was recorded. The 503

485 We compared the AADE algorithm with the standard genetic results are shown in Table 7. 504

486 algorithm (GA) [38], [39], [40], the standard DE algorithm The maximum total net present value, the average total net 505

487 (DE) [41], [42], [43] and the adaptive DE algorithm (ADE) present value, and the minimum total net present value was 506

488 [44], [45], [46] in optimizing the technical indicators. All four calculated for each of each algorithm. The results are shown 507

489 algorithms were used to solve the optimization model. in Table 8. 508

490 To ensure we were comparing like with like, the parameters Table 8 shows that the maximum total net present value 509

491 of the four algorithms were set to be as consistent as far as (CNY 49 429.32 × 104 ), the average total net present value 510

492 possible. The adaptive control parameters ψ, ϕ, δl and δu (CNY 49 316.79 × 104 ), and the minimum total net present 511

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 X. Wang et al.: Overall Dynamic Optimization of Metal Mine Technical Indicators

TABLE 7. Total net present values of the four algorithms. η is the index standard deviation of AADE; n is the total 527

number of runs. The significance level was set at 0.05, and 528

degrees of freedom was the total number of runs (31) minus 1, 529

which was 30. The t value was obtained from a standard 530

t-distribution table: t0.025,30 = 2.042. If |t| > t0.025,30 , the 531

two algorithms were significantly different; if t ≤ t0.025,30 , 532

then the two algorithms were not significantly different. 533

Table 7 shows that the standard deviation of the AADE 534

solution was 47.31. Using this value and the average total net 535

present value shown in Table 8, the t-statistics for the indi- 536

vidual comparisons of AADE with the other three algorithms 537

were calculated using equation (26); the results are shown in 538

Table 9. 539

Table 9 shows that the t-statistic for AADE when compared 540

with each of the other three algorithms was in all cases greater 541

than t0.025,30 = 2.042. This shows that AADE performed 542

significantly better than GA, DE and ADE in optimizing 543

the technical production in terms of maximizing economic 544

benefit. In the light of these results, we conclude that AADE 545

is more effective and therefore preferable in optimizing the 546

dynamic technical indicators when considering the spatial 547

distribution of the ore grade. This advantage of AADE is 548

mainly due to the adaptive mutation strategy and the use 549

of control parameters, which improves both the convergence 550

rate and the global search capability at the same time. 551

E. ALGORITHM PERFORMANCE TEST 552

We used four commonly used single-objective continuous 553

test functions to test the performance of AADE: the Sphere, 554

Griewank, Rastrigin and Rosenbrock functions. The four test 555

functions can be divided into three categories: the Sphere 556

function is a unimodal convex function; the Griewank and 557

Rastrigin functions are multimodal functions with many local 558

optimum points, and how to step out from a local optimum 559

point to find the global optimum point is a major challenge 560

for any optimization algorithm; and the Rosenbrock function 561

is a non-convex function for which the global minimum is 562

in a flat valley, which makes it very difficult to find the 563

global optimum points. The overall dynamic optimization of 564

512 value (CNY 49 235.23×104 ) given by AADE were all greater the technical indicators basically falls into one of the three 565
513 than the corresponding values given by GA, DE and ADE. categories. We therefore chose the four test functions to assess 566
514 Since economic benefit pursues the maximization of net the performance of AADE. 567
515 present value, AADE performs better than GA, DE, and ADE Each of the four functions was used as the objective func- 568
516 in terms of optimizing the technical indicators for maximum tion to be minimized; the equations are shown in Table 10. 569
517 economic benefit. In calculating the minimum value, the variable dimension 570
518 A one-tailed t-test was used for statistical analysis to was 10 dimensions. The three-dimensional graphs of the four 571
519 determine the significance of the advantage of using AADE functions are shown in Figure 9. 572
520 to optimize the technical indicators. AADE was compared AADE was tested using each the four single-objective 573
521 individually with each of the other three algorithms. For the continuous test functions, as were GA, DE and ADE, and the 574
522 two algorithms being compared, the t-statistic is calculated results were compared. The parameters of the four algorithms 575
523 by equation (26): were set as follows. The maximum number of iterations was 576

|τ1 − τ2 | set to 100 (Sphere), 1000 (Griewank), 500 (Rastrigin), and 577

524 t= √ (26) 1000 (Rosenbrock). All other parameter values were the same 578
η/ n
as those described in the preceding section. Each algorithm 579

525 where τ1 is the index mean value of AADE; τ2 is the index was independently run 31 times for each test function, and the 580

526 mean value of the comparison algorithm (GA, DE or ADE); worst value, mean value and optimum value of each algorithm 581

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 X. Wang et al.: Overall Dynamic Optimization of Metal Mine Technical Indicators

TABLE 8. Optimal net present values given by the four algorithms for comparison.

FIGURE 9. Three-dimensional graphs of single-objective continuous test functions (Sphere, Griewank, Rastrigin, and Rosenbrock).

TABLE 9. T -statistics of total net present values. One-tailed t-tests were performed for the four test func- 590

tions to see if the advantage of AADE in solving com- 591

plex single-objective continuous optimization problems was 592

significant. The standard deviations of AADE results were 593

0.000 578 (Sphere), 0.053 592 (Griewank), 0.175 768 (Ras- 594

trigin) and 6.400 64 × 10−10 (Rosenbrock). Using these 595

standard deviation values and the average values of the algo- 596

rithms, shown in Table 11, the t-statistics for AADE com- 597

582 for each test function were calculated. The results are shown pared with the other three algorithms were calculated using 598

583 in Table 11. equation (26); the results are shown in Table 12. 599

584 Table 11 shows that for the four test functions, the worst Table 12 shows that for the four test functions, the 600

585 value, average value and optimum value of AADE were all t-statistic for AADE compared with GA, DE and ADE, was 601

586 lower than the corresponding values of GA, DE and ADE. always > t0.025,30 = 2.042, which indicates that AADE per- 602

587 Since the test function was used to minimize, AADE per- formed significantly better than GA, DE and ADE in solving 603

588 formed better than GA, DE and ADE in solving complex complex single-objective continuous optimization problems. 604

589 single-objective continuous optimization problems. Comparison of the test results showed that AADE not only 605

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 X. Wang et al.: Overall Dynamic Optimization of Metal Mine Technical Indicators

TABLE 10. Single-objective continuous test functions.

TABLE 11. Test results of the four single-objective continuous test functions.

TABLE 12. T -test results for comparisons of AADE with the four with the metal mine production process than the cur- 616
single-objective continuous test functions.
rently used optimization model. 617

2) Optimizing the technical indicators for metal mine 618

production in terms of economic benefit is a complex 619

nonlinear single-objective optimization problem that 620

the AADE algorithm is proposed to solve. AADE uses 621

adaptive control parameters and a mutation strategy 622

based on the DE algorithm to improve the optimal 623

performance of DE. 624

3) The total net present value of the optimization scheme 625

606 had advantages in optimizing metal mine technical indicators is greater than that of the currently used scheme, and 626

607 in terms of economic benefit, but also had advantages in opti- the optimized technical production indicators are better 627

608 mizing other complex single-objective continuous functions. aligned with the actual operation of the mine, which 628

609 Therefore, the AADE algorithm has wide applicability. should guide mine production and planning. 629

4) AADE performs significantly better than GA, DE and 630

610 IV. CONCLUSION ADE in optimizing the technical indicators of metal 631

611 The results presented above support the following conclu- mine production in terms of economic benefits. 632

612 sions: We created an effective optimization model and a method 633

613 1) The proposed model, which considers the overall for optimizing metal mine technical indicators that considers 634

614 dynamic relationships between technical indicators and the overall dynamic relationships between technical indica- 635

615 the spatial distribution of the ore grade, is better aligned tors and the spatial distribution of the ore grade. There are 636

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 X. Wang et al.: Overall Dynamic Optimization of Metal Mine Technical Indicators

637 two aspects of the model that can be improved in future [15] X. Feng, H. Muramatsu, and S. Katsura, ‘‘Differential evolutionary algo- 701

638 research. (1) The proposed model only optimizes the tech- rithm with local search for the adaptive periodic-disturbance observer 702
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639 nical indicators and does not optimize the mining sequence. Dec. 2021. 704
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644 the technical indicators of metal mine production with rapid of the DNRR research reactor,’’ Nucl. Eng. Des., vol. 362, Jun. 2020, 710
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647 widely applicable by increasing the initial population and evolution algorithms to solve single-objective optimization problems,’’ Int. 714
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650 ACKNOWLEDGMENT search space adjustment for differential evolution,’’ Neural Comput. Appl., 720
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775 [36] S. Panda and G. Panda, ‘‘Performance evaluation of a new BP algorithm XUNHONG WANG received the B.S. degree in 815
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777 no. 2, pp. 1869–1889, Apr. 2020. M.S. degree in mining engineering from the 817
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779 prediction using attentive generative adversarial networks,’’ IEEE Access, Ganzhou, China, in 2013 and 2016, respectively, 819
780 vol. 8, pp. 97851–97862, 2020. and the Ph.D. degree in mining engineering from 820
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782 R. A. Khan, ‘‘Correction to: Locator placement optimization for minimum
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786 P. Van Hai, ‘‘Correction to: Predictive reliability and validity of hospital as an Associate Professor, in 2021. His research experiences in more than 825

787 cost analysis with dynamic neural network and genetic algorithm,’’ Neural five research projects during the last ten years allow him authoring more 826

788 Comput. Appl., vol. 32, no. 23, p. 17807, Dec. 2020. than 10 refereed journal articles. His research interests include intelligence 827

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790 to: On the optimization of a vertical twisted tape arrangement in a channel engineering. 829
791 subjected to MWCNT-water nanofluid by coupling numerical simulation
792 and genetic algorithm,’’ J. Thermal Anal. Calorimetry, vol. 144, no. 1, YONGLIN TAN was born in Chongqing, China. 830

793 p. 203, Apr. 2021. He received the B.S. degree from the Chongqing 831
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795 of volumetric medical images using Legendre moments and differential in 2005, the M.S. degree from Chongqing Technol- 833
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798 sink based on-demand clustering protocol for wireless sensor network,’’ Cordilleras, Baguio, Philippines, in 2021. He is 836
799 Wireless Pers. Commun., vol. 109, no. 3, pp. 1875–1895, Dec. 2019. currently an Associate Professor with the Guangxi 837
800 [43] S. Duangpummet, J. Karnjana, and W. Kongprawechnon, ‘‘State-of-charge University of Science and Technology, Liuzhou, 838
801 estimation based on theory of evidence and interval analysis with differen-
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optimization. 840
803 May 2021.
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805 ferential evolution algorithm for numerical function optimization: A com-
806 parative study with cuckoo search, artificial bee colony, adaptive differen- received the B.S. degree from Yibin University, 842

807 tial evolution, and backtracking search optimization algorithms,’’ Neural Yibin, in 2007, the M.S. degree from Chongqing 843

808 Comput. Appl., vol. 32, no. 8, pp. 3923–3937, Apr. 2020. Normal University, Chongqing, China, in 2012, 844

809 [45] M. Leon and N. Xiong, ‘‘Adaptive differential evolution with a new and the Ph.D. degree from the University of the 845

810 joint parameter adaptation method,’’ Soft Comput., vol. 24, no. 17, Cordilleras, Baguio, Philippines, in 2020. She is 846

811 pp. 12801–12819, Sep. 2020. currently an Associate Professor with the Guangxi 847
812 [46] G. S. Kushwah and V. Ranga, ‘‘Detecting DDoS attacks in cloud comput- University of Science and Technology, Liuzhou, 848
813 ing using extreme learning machine and adaptive differential evolution,’’ China. Her research interest includes optimization. 849
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