Efficient system reliability analysis of rock slopes based on Subset simulation

How to efficiently assess the system reliability of rock slopes is still challenging. This is because when the probability of failure is low, a large number of deterministic slope stability analyses are required. Based on Subset simulation, this paper proposes an efficient approach for the system reliability analysis of rock slopes. The correlations among multiple potential failure modes are properly accounted for with the aid of the “max” and “min” functions. A benchmark rock slope and a real engineered rock slope with multiple correlated failure modes are used to demonstrate the effectiveness of the proposed approach.     

基于节理不确定性的可靠度分析

边坡稳定性一直是边坡安全的重点研究对象,针对边坡评价中常见的不确定性因素,可靠度分析是值得利用的方法。为评价某节理发育的岩质岸坡稳定性,通过有限元计算软件,结合现场勘探测绘数据,建立以边坡节理强度参数c、φ为输入变量,安全系数为输出变量的点估计（PEM）计算概率模型,计算结果表明:节理发育对该边坡变形具有明显控制作用;边坡整体可靠性较好,破坏概率极低。最后,通过蒙托卡罗法对可靠度结果进行验证,结果表明两种方法的计算结果不存在显著性差异。研究结果表明节理对岩质边坡稳定具有良好的敏感性,基于节理不确定性的点估计法分析边坡可靠度是一种有效的方法。     

节理岩体关键块体稳定的概率分析

基于地下岩体受节理面的控制,节理面的几何和力学参数随机分布,从而导致岩体系统具有高度不确定性,提出以关键块体理论为基础,考虑节理几何和力学参数随机性的岩体开挖可靠度分析方法,并给出了块体稳定的总失效概率评价模型。以澳大利亚阿德莱德地区一铜矿地质条件为例,以节理面倾角、倾向、摩擦系数和黏聚力为随机变量,通过Monte Carlo模拟和概率图方法,进行了岩体可靠度和失效概率的计算。最后,采用条件概率的分析方法,计算了单面滑动块体的总失效概率。计算结果表明,块体沿单面滑动并且出现的概率为11.0%,总的失效概率为3.85%,超过一般岩体工程可允许的风险水平,认为该方法可以作为评价块体可靠性的依据。     

双滑块边坡锚固系统时变可靠性分析

考虑锚杆锚固段从岩体中拔出、拉杆拉断、拉杆从注浆体中拔出等失效模式,利用系统可靠性原理和极限平衡分析方法,并基于Monte-Carlo抽样原理提出双滑块岩质边坡锚固系统破坏概率的直接求解方法。同时考虑锚杆钢筋的腐蚀与软弱滑动面抗剪强度c、? 的时变性,建立了考虑锚杆多失效模式双滑块岩质边坡锚固系统的时变可靠性模型。算例计算结果表明：软弱滑动面上的强度参数c、? 的时变性和注浆体与围岩之间的抗力时变性对锚固系统的破坏概率的影响较大,而锚杆的腐蚀对锚固系统破坏概率的影响不明显。     

Risk de-aggregation and system reliability analysis of slope stability using representative slip surfaces

This paper develops a risk de-aggregation and system reliability approach to evaluate the slope failure probability, p_f, using representative slip surfaces together with MCS. An efficient procedure is developed to strategically select the candidate representative slip surfaces, and a risk de-aggregation approach is proposed to quantify contribution of each candidate representative slip surface to the p_f, identify the representative slip surfaces, and determine how many representative slip surfaces are needed for estimating the p_f with reasonable accuracy. Risk de-aggregation is performed by collecting the failure samples generated in MCS and analyzing them statistically. The proposed methodology is illustrated through a cohesive soil slope example and validated against results from previous studies. When compared with the previous studies, the proposed approach substantially improves the computational efficiency in probabilistic slope stability analysis. The proposed approach is used to explore the effect of spatial variability on the p_f. It is found that, when spatial variability is ignored or perfect correlation assumed, the p_f of the whole slope system can be solely attributed to a single representative slip surface. In this case, it is theoretically appropriate to use only one slip surface in the reliability analysis. As the spatial variability becomes growingly significant, the number of representative slip surfaces increases, and all representative slip surfaces (i.e., failure modes) contribute more equally to the overall system risk. The variation of failure modes has substantial effect on the p_f, and all representative surfaces have to be incorporated properly in the reliability analysis. The risk de-aggregation and system reliability approach developed in this paper provides a practical and efficient means to incorporate such a variation of failure modes in probabilistic slope stability analysis.     

考虑空间变异性条件下的边坡稳定可靠度高效敏感性分析

在有限数据条件下,可靠度敏感性分析是研究各种不确定性因素对边坡失稳概率影响规律的重要途径。基于直接蒙特卡洛模拟和概率密度加权分析方法提出了一种高效边坡稳定可靠度敏感性分析方法。所提出的方法通过随机场表征岩土体参数的空间变异性,并采用局部平均理论建立岩土体参数的缩维概率密度函数,用于概率密度加权分析中高效、准确地计算不同敏感性分析方案对应的边坡失稳概率。最后,通过一个工程案例--詹姆斯湾堤坝说明了所提出方法的有效性和准确性。结果表明：在敏感性分析过程中,所提出的方法只需要执行一次直接蒙特卡洛模拟,避免了针对不同敏感性分析方案重新产生随机样本和执行边坡稳定分析,节约了大量的计算时间和计算资源,显著提高了基于蒙特卡洛模拟的敏感性分析计算效率;在概率密度加权分析中采用岩土体参数的缩维概率密度函数能够准确地计算边坡失稳概率,避免了有偏估计,使概率密度加权分析方法适用于考虑空间变异性条件下的边坡稳定可靠度敏感性分析问题。     

Efficient system reliability analysis of soil slopes using multivariate adaptive regression splines-based Monte Carlo simulation

System effects should be considered in the probabilistic analysis of a layered soil slope due to the potential existence of multiple failure modes. This paper presents a system reliability analysis approach for layered soil slopes based on multivariate adaptive regression splines (MARS) and Monte Carlo simulation (MCS). The proposed approach is achieved in a two-phase process. First, MARS is constructed based on a group of training samples that are generated by Latin hypercube sampling (LHS). MARS is validated by a specific number of testing samples which are randomly generated per the underlying distributions. Second, the established MARS is integrated with MCS to estimate the system failure probability of slopes. Two types of multi-layered soil slopes (cohesive slope and c–φ slope) are examined to assess the capability and validity of the proposed approach. Each type of slope includes two examples with different statistics and system failure probability levels. The proposed approach can provide an accurate estimation of the system failure probability of a soil slope. In addition, the proposed approach is more accurate than the quadratic response surface method (QRSM) and the second-order stochastic response surface method (SRSM) for slopes with highly nonlinear limit state functions (LSFs). The results show that the proposed MARS-based MCS is a favorable and useful tool for the system reliability analysis of soil slopes.     

Seismic rock slope stability charts based on limit analysis methods

Earthquake effects are commonly considered in the stability analysis of rock slopes and other earth structures. The standard approach is often based on the conventional limit equilibrium method using equivalent Mohr–Coulomb strength parameters (c and ?) in a slip circle slope stability analysis. The purpose of this paper is to apply the finite element upper and lower bound techniques to this problem with the aim of providing seismic stability charts for rock slopes. Within the limit analysis framework, the pseudo-static method is employed by assuming a range of the seismic coefficients. Based on the latest version of Hoek–Brown failure criterion, seismic rock slope stability charts have been produced. These chart solutions bound the true stability numbers within ±9% or better and are suited to isotropic and homogeneous intact rock or heavily jointed rock masses. A comparison of the stability numbers obtained by bounding methods and the limit equilibrium method has been performed where the later was found to predict unconservative factors of safety for steeper slopes. It was also observed that the stability numbers may increase depending on the material parameters in the Hoek–Brown model. This phenomenon has been further investigated in the paper.     

Enhancement of random finite element method in reliability analysis and risk assessment of soil slopes using Subset Simulation

Random finite element method (RFEM) provides a rigorous tool to incorporate spatial variability of soil properties into reliability analysis and risk assessment of slope stability. However, it suffers from a common criticism of requiring extensive computational efforts and a lack of efficiency, particularly at small probability levels (e.g., slope failure probability P _f ?<?0.001). To address this problem, this study integrates RFEM with an advanced Monte Carlo Simulation (MCS) method called “Subset Simulation (SS)” to develop an efficient RFEM (i.e., SS-based RFEM) for reliability analysis and risk assessment of soil slopes. The proposed SS-based RFEM expresses the overall risk of slope failure as a weighed aggregation of slope failure risk at different probability levels and quantifies the relative contributions of slope failure risk at different probability levels to the overall risk of slope failure. Equations are derived for integrating SS with RFEM to evaluate the probability (P _f ) and risk (R) of slope failure. These equations are illustrated using a soil slope example. It is shown that the P _f and R are evaluated properly using the proposed approach. Compared with the original RFEM with direct MCS, the SS-based RFEM improves, significantly, the computational efficiency of evaluating P _f and R. This enhances the applications of RFEM in the reliability analysis and risk assessment of slope stability. With the aid of improved computational efficiency, a sensitivity study is also performed to explore effects of vertical spatial variability of soil properties on R. It is found that the vertical spatial variability affects the slope failure risk significantly.     

先验概率分布及似然函数模型的选择对边坡可靠度评价影响的定量评估

受工程勘察成本及试验场地限制,可获得的试验数据通常有限,基于有限的试验数据难以准确估计岩土参数统计特征和边坡可靠度。贝叶斯方法可以融合有限的场地信息降低对岩土参数不确定性的估计进而提高边坡可靠度水平。但是,目前的贝叶斯更新研究大多假定参数先验概率分布为正态、对数正态和均匀分布,似然函数为多维正态分布,这种做法的合理性有待进一步验证。总结了岩土工程贝叶斯分析常用的参数先验概率分布及似然函数模型,以一个不排水黏土边坡为例,采用自适应贝叶斯更新方法系统探讨了参数先验概率分布和似然函数对空间变异边坡参数后验概率分布推断及可靠度更新的影响。计算结果表明：参数先验概率分布对空间变异边坡参数后验概率分布推断及可靠度更新均有一定的影响,选用对数正态和极值I型分布作为先验概率分布推断的参数后验概率分布离散性较小。选用Beta分布和极值I型分布获得的边坡可靠度计算结果分别偏于保守和危险,选用对数正态分布获得的边坡可靠度计算结果居中。相比之下,似然函数的影响更加显著。与其他类型似然函数相比,由多维联合正态分布构建的似然函数可在降低对岩土参数不确定性估计的同时,获得与场地信息更为吻合的计算结果。另外,构建似然函数时不同位置处测量误差之间的自相关性对边坡后验失效概率也具有一定的影响。     

A generalized probabilistic approach for slope analysis

Summary A new probabilistic approach is introduced for slope stability analysis, which is general in types of variable distributions and correlations or dependency between variables, and flexible enough to include any adverse impact analysis for blasting vibrations and groundwater conditions.The material strength within a slope area, given in terms of the internal friction angle (ø) and cohesion (c), is randomized in the bivariate joint probability analysis. To be a completely general engineering method, the new probabilistic approach employs the random variable transformation technique: the Hermite model of the Gaussian transformation function, which transforms the experimental histogram of shear strength parameters to the standard Gaussian distribution (=0, ²=1.0).Because a binormal joint probability is analysed on the true probability region projected on the plane of the Gaussian transformed variables, it is an exact solution of slope stability based on the available sample data. No assumption on the shape of the experimental histogram or independency between two random variables is made as in the current probability methods of slope analysis.     

Parametric Monte Carlo studies of rock slopes based on the Hoek–Brown failure criterion

Probabilistic evaluation of slope failures is increasingly seen as the most appropriate framework for accounting for uncertainties in design. This paper performs reliability assessments for rock slopes based on the latest version of the Hoek–Brown failure criterion. The purpose of this study is to demonstrate the use of a new form of stability number for rock slope designs that has been recently developed from finite element upper and lower bound limit analysis methods, and to provide guidance for its use in probabilistic assessments. The analyses show that by using this newly proposed stability number, the probability of failure (P_f) obtained from case studies agrees well with the true state of the slope. In addition, this paper details a procedure to determine the magnitude of safety factor required for rock slope design.     

Reliability back analysis of shear strength parameters of landslide with three-dimensional upper bound limit analysis theory

It is essential to determine the shear strength parameters c and φ on the sliding surface for stability evaluation and engineering design of a landslide. In this study, a new parameter back analysis method is proposed by combining the 2D/3D upper bound method of limit analysis and reliability theory to accurately determine the shear strength parameters for a 3D slope with a single failure surface. The proposed reliability back analysis method overcomes the shortcomings of the traditional deterministic analysis method of slope stability that cannot take into account the randomness and uncertainty of geotechnical parameters. Based on the reliability theory, two methods were studied: first-order reliability method (implemented by spreadsheet and Matlab, called spreadsheet method and constrained optimization method, respectively, in this paper) and Monte Carlo simulation. The optimized values of c and φ were obtained by establishing only one balance equation with the consideration of the pore water pressure or other complex conditions, which can solve the problem of the back analysis of strength parameters for a single 3D sliding surface condition. The correlation research showed that the negative correlation between c and φ greatly affected the back analysis results, and the reliability index values were conservative without considering such a negative correlation. A case study for the back analysis of shear strength parameters is conducted based on a practical landslide model with a broken line slip surface slope in Zhuquedong village, Luxi town, Xiangxi County, Hunan Province, China, and a suggestion for the selection of landslide cross section is presented. The results show that the back analysis results determined by the reliability theory coincide well with the survey and experimental results. The proposed method is found to be more accurate and effective in determining the values of shear parameters than that of the traditional deterministic inversion method.     

Stochastic response surface method for reliability analysis of rock slopes involving correlated non-normal variables

This paper proposes a stochastic response surface method for reliability analysis involving correlated non-normal random variables, in which the Nataf transformation is adopted to effectively transform the correlated non-normal variables into independent standard normal variables. Transformations of random variables that are often used in reliability analyses in terms of standard normal variables are summarized. The closed-form expressions for fourth to sixth order Hermite polynomial chaos expansions involving any number of random variables are formulated. The proposed method will substantially extend the application of stochastic response surface method for reliability problems. An example of reliability analysis of rock slope stability with plane failure is presented to demonstrate the validity and capability of the proposed stochastic response surface method. The results indicate that the proposed stochastic response surface method can evaluate the reliability of rock slope stability involving correlated non-normal variables accurately and efficiently. Its accuracy is shown to be higher than that for the first-order reliability method, and it is much more efficient than direct Monte-Carlo simulation. The results also show that the number of collocation points selected should ensure that the Hermite polynomial matrix has a full rank so that different order SRSMs can produce a robust estimation of probability of failure for a specified performance function. Generally, the accuracy of SRSM increases as the order of SRSM increases.     

Charts for estimating strength parameters from slips in homogeneous slopes

When the slope geometry, unit weight and pore water pressure distribution in a homogeneous soil slope are given, the location of the critical slip surface for a particular method of slices is related only to the ratio of c′ (cohesion) and tan ϕ′ (internal friction angle). To utilize this relationship in back calculating c′ and ϕ′ values, two slope models with circular slip mechanism are presented to represent shear failures in simple fill or cut slopes and long natural slopes, and for each of the models, two dimensionless parameters regarding c′/tan ϕ′ and maximum depth of the critical slip surface are introduced. Based on the new findings from limit equilibrium analysis of slope models, charts are plotted to show the relationships of the two dimensionless parameters and ϕ′ values for a safety factor of unity. Using the charts can make a rapid estimate of the magnitude of both c′ and ϕ′ from a known position of the failure surface in a homogeneous slope.     

A system reliability approach for evaluating stability of rock wedges with correlated failure modes

This paper proposes a system reliability approach for evaluating the stabilities of rock wedges considering multiple correlated failure modes. A probabilistic fault tree is employed to model the system aspects of the problem. The system reliability analysis is performed using an N-dimensional equivalent method taking into account correlations between different failure modes. Reliability sensitivity analyses at three different levels, namely, single limit state function level, single failure mode level, and system reliability level, were carried out to study the effect of changes in variables on the stability of the wedge. An example case was analysed to illustrate the proposed approach. The stability of the wedge can be evaluated efficiently using the proposed system reliability approach in a more systematic and quantitative way. The probabilities of failure of the wedge from the N-dimensional equivalent method are fairly consistent with those from the Monte Carlo simulation method. The results demonstrate that the probability of failure will be overestimated if the correlations between different failure modes of the wedge are not taken into account. They also demonstrate that the relative importance of different failure modes to the system reliability of the wedge can differ considerably and be treated systematically and quantitatively by the proposed approach. The sensitivity results are highly dependent on the selected sensitivity analysis level.     

考虑能量-时间分布的边坡动力可靠性分析新方法

提出一种考虑能量-时间分布的边坡动力可靠性分析方法。该方法将动态最危险滑动面及其稳定系数以时间序列加以刻画,并根据边坡动力反应的能量分布特征,提取持续时间统计窗,用于对上述时间序列的统计分析,以获取边坡动力模糊失效概率、边坡动力可靠度指标和基于保证率的边坡动力稳定系数。以澳大利亚计算机应用协会边坡稳定考核题为例,应用上述新方法考察其在芦山7.0级主震波形条件下的稳定性,研究了在不同统计窗下的边坡动力可靠性。案例分析表明： （1）新方法能够抓住影响边坡动力稳定的主要时间段,使分析结果更为凝练、可信。（2）通过引入边坡失效状态的模糊判别,使得可靠性评价中能够考虑模糊性,解决了以往常规方法区分度不够的问题。（3）基于保证率的边坡动力稳定系数具有很好的应用前景,它在内涵上体现了可靠性分析,在形式上与静力稳定系数的定义兼容,在数值上反映了边坡瞬时动力稳定系数的保守估计值,在实践上与现行规范的拟静力法具有良好的可比性,因而具有多方面的优势。（4）就本案例而言,动力条件下最危险滑动面的发育位置趋向于静力条件下的最危险滑动面,体现了依据静力和拟静力理论框架所进行的防护工程设计,在动力条件下仍然具有积极的意义。（5）新方法对定量研究现行边坡规范的抗震设计冗余提供了一条途径。提出的新方法为边坡抗震研究提供了新的思路、方法和可供参考的实例。     

Reliability-based robust design for reinforcement of jointed rock slope

Traditional reliability-based design methodologies often involve selection of design which is of lowest cost and satisfies safety requirements. But, this design is sensitive to variation in statistics of input parameters (noise parameters) and might become unsatisfactory if an underestimation of coefficient of variation of input parameters is made. A relatively new design methodology known as robust geotechnical design (RGD) is applied for the case of reinforcement of rock slope using end-anchored rock bolts. This ensures selection of a cost-effective and safe design for which probability of failure (P_f) of reinforced rock slope is least sensitive to the noise parameters. Reliability-based RGD approach involves evaluation of P_f for each design with different possible noise parameters. Finding P_f for the complex geotechnical structure is computationally expensive, and thus an augmented radial basis function-based response surface is used as a surrogate to the finite element model of rock slope. This response surface, being very efficient, also performs well for a range of values of noise parameters. Later, minimum distance algorithm is applied to obtain a cost-effective and robust design. Finally, a comparison is made in the costs between two robust designs obtained for different target probability of failure for the same rock slope.     

基于Hoek-Brown经验公式的岩体稳定性可靠度分析

为消除因用Hoek-Brown经验公式的中间变量而导致评估的稳定性概率产生累积误差,提出岩体稳定性可靠度应直接由基本变量入手来评估.简要介绍Hoek-Brown经验公式评估力学参数方法后,根据微元体应力定义了单元安全系数,建立了包含Hoek-Brown经验公式基本变量在内的功能函数.选用了Rosenbleuth点估计法评估单元安全系数的概率特征值,介绍了与有限元法结合计算稳定性可靠度的基本流程.对一开挖边坡稳定性可靠度计算分析表明,计算结果与边坡实际发生的破坏特征一致.建议的方法可方便地用于边坡、地基和地下洞室中岩体稳定性的可靠度评价.     

基于ABAQUS-ANFIS-MCS的岩质边坡可靠性分析

针对岩质边坡工程稳定性分析中参数的不确定性,基于ABAQUA建立了平面破坏型边坡有限元分析模型。并用该模型进行了边坡稳定状态的数值模拟,以获得进行ANFIS分析的数据。同时基于自适应神经模糊推理系统建立了岩体力学参数与边坡抗滑力和下滑力的映射模型,分析得到抗滑力和下滑力的统计特征。根据蒙特卡罗模拟方法用MATLAB语言编写了求解边坡的破坏概率和可靠度的计算程序,对湖南雪峰水泥原料矿山的露天矿边坡进行可靠度分析。研究结果表明,该方法具有避免编写冗长的有限元计算程序、节省机时、计算精度高的优点。