Statistical Process Monitoring Using Advanced Data-Driven and Deep Learning Approaches: Theory and Practical Applications 1st Edition Fouzi Harrou - The complete ebook set is ready for download today
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Fouzi Harrou
King Abdullah University of Science and Technology
Computer, Electrical and Mathematical Sciences and Engineering (CEMSE) Division
Thuwal, Saudi Arabia
Ying Sun
King Abdullah University of Science and Technology
Computer, Electrical and Mathematical Sciences and Engineering (CEMSE) Division
Thuwal, Saudi Arabia
Amanda S. Hering
Baylor University, Dept of Statistical Science
Waco, TX, United States
Muddu Madakyaru
Department of Chemical Engineering, Manipal Institute of Technology
Manipal Academy of Higher Education
Manipal, India
Abdelkader Dairi
University of Science and Technology of Oran-Mohamed Boudiaf
Computer Science Department, Signal, Image and Speech Laboratory
Oran, Algeria
Elsevier
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Notices
Knowledge and best practice in this field are constantly changing. As new research and
experience broaden our understanding, changes in research methods, professional practices, or
medical treatment may become necessary.
Practitioners and researchers must always rely on their own experience and knowledge in
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liability, negligence or otherwise, or from any use or operation of any methods, products,
instructions, or ideas contained in the material herein.
ISBN: 978-0-12-819365-5
Preface ix
Acknowledgments xi
1. Introduction
1.1 Introduction 1
1.1.1 Motivation: why process monitoring 1
1.1.2 Types of faults 2
1.1.3 Process monitoring 4
1.1.4 Physical redundancy vs analytical redundancy 5
1.2 Process monitoring methods 6
1.2.1 Model-based methods 7
1.2.2 Knowledge-based methods 9
1.2.3 Data-based monitoring methods 9
1.3 Fault detection metrics 13
1.4 Conclusion 14
References 15
v
vi Contents
3. Fault isolation
3.1 Introduction 71
3.1.1 Pitfalls of standardizing data 72
3.1.2 Shortcomings of contribution plots/scores 77
3.2 Fault isolation 79
3.2.1 Variable thinning 79
3.2.2 Iterative traditional isolation 80
3.2.3 Variable selection methods 83
3.3 Fault classification 99
3.4 Fault isolation metrics 100
3.4.1 Fault isolation errors 101
3.4.2 Precision and recall 102
3.4.3 Phase I FI metrics 102
3.4.4 Discussion 103
3.5 Case studies 103
3.5.1 Retrospective fault isolation 104
3.5.2 Real-time fault isolation 108
3.6 Further reading 111
References 112
8. Case studies
8.1 Introduction 255
8.2 Stereovision 258
8.2.1 Deep stacked autoencoder-based KNN approach 261
8.2.2 Data description 266
8.2.3 Results and discussion 266
8.2.4 Model trained using data with no obstacles 267
8.2.5 Evaluation of performance for busy scenes 269
8.2.6 Obstacle detection using the Bahnhof dataset 271
8.3 Detecting abnormal ozone measurements using deep learning 274
8.3.1 Introduction 274
8.3.2 Data description 276
8.3.3 Ozone monitoring based on deep learning approaches 278
8.3.4 Detection results 284
8.4 Monitoring of a wastewater treatment plant using deep learning 288
8.4.1 Introduction 288
8.4.2 Proposed DBN-based kNN, OCSVM, and k-means
algorithms 290
8.4.3 Real data application: monitoring a decentralized
wastewater treatment plant in Golden, CO, USA 291
8.4.4 Conclusion 297
References 297
Index 311
Preface
Anomaly detection and isolation have a vital role in modern industrial processes
to enhance productivity, efficiency, and safety, as well as to avoid expensive
maintenance. Therefore, it is important to be able to detect and identify any
possible anomalies or failures in the system as early as possible. Generally,
anomalies in modern automatic processes are difficult to avoid and may result
in serious process degradations. The role of detection is to identify any anomaly
event and indicate a distance from the system behavior compared to its nominal
behavior. Furthermore, anomaly isolation determines the probable source of the
detected anomaly. To illustrate, an accidental or even deliberate contamination
of a drinking water distribution network can lead to financial losses, as well as to
serious health risks. Therefore, early detection of anomalies is crucial not only to
maintain proper process operation but also for the sake of people’s health. Today
engineered and environmental processes have become far more complex due to
advances in technology. Multiple key variables need to be monitored simulta-
neously, and data may have both temporal and spatial aspects. New features of
these processes require new and better statistical tools for process monitoring.
Early detection and isolation of potential faults in complex engineering
and environmental processes have proven to be particularly challenging. In the
absence of a physics-based process model, data-driven statistical techniques
for process monitoring have proved themselves in practice over the past four
decades. These approaches use information derived directly from input data and
require no explicit models for which development is usually costly or time-
consuming. This book is intended to report recent developments in statistical
process monitoring using advanced data-driven and deep learning techniques.
The book is divided into nine chapters, and they are grouped into two parts.
The objective of the first part is to tackle multivariate challenges in process
monitoring by merging the advantages of univariate and traditional multivariate
techniques to enhance their performance and widen their practical applicabil-
ity. The second part aims to merge the desirable properties of shallow learning
approaches, such as a one-class support vector machine, k-nearest neighbors,
and unsupervised deep learning approaches to develop more sophisticated and
efficient monitoring techniques. Throughout the book, the presented approaches
are demonstrated using experimental data from many processes including waste-
water treatment plants at KAUST and Golden, CO, USA, ozone air quality data,
ix
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x Preface
and stereovision data for obstacle detection in driving environments. Thus, the
reader will find illustrative examples from a range of environmental and engi-
neering processes.
The book should be of interest to engineering and academic readers from
process chemometrics and data analytics, process monitoring and control, data
scientists, applied statistics, and industrial statisticians. In fact, this book can be
assimilated by advanced undergraduates and graduate students having knowl-
edge of basic multivariate statistical analysis and machine learning.
Acknowledgments
xi
xii Acknowledgments
Introduction
1.1 Introduction
1.1.1 Motivation: why process monitoring
Recent decades have witnessed a huge growth in new technologies and advance-
ments in instrumentation, industrial systems, and environmental processes,
which are becoming increasingly complex. Diagnostic operation has become
an essential element of these processes and systems to ensure their operational
reliability and availability. In an environment where productivity and safety are
paramount, failing to detect anomalies in a process can lead to harmful effects
to a plant’s productivity, profitability, and safety. Several serious accidents have
happened in the past few decades in various industrial plants across the world,
including the Bhopal gas tragedy [1,2], the Piper Alpha explosion [3,4], the acci-
dents at the Mina al-Ahmadi Kuwait refinery [5] and two photovoltaic plants in
the US burned in 2009 and 2011 (a 383 KWp PV array in Bakersfield, CA and a
1.208 MWp power plant in Mount Holly, NC, respectively) [6]. The Bhopal ac-
cident, also referred to as the Bhopal gas disaster, was a gas leak accident at the
Union Carbide pesticide plant in India in 1984 that resulted in over 3000 deaths
and over 400,000 others gravely injured in the local area around the plant [1,2].
The explosion of the Piper Alpha oil production platform, which is located in
the North Sea and managed by Occidental Petroleum, caused 167 deaths and
a financial loss of around $3.4 billion [3,4]. In 2000, an explosion occurred in
the Mina Al-Ahmadi oil refinery in Kuwait, killing five people and causing seri-
ous damage to the plant. The explosion was caused by a defect in a condensate
line in a refinery. Nimmo [7] has estimated that the petrochemical industry in
the USA can avoid losing up to $20 billion per year if anomalies in inspected
processes could be discovered in time. In safety-critical systems such as nu-
clear reactors and aircrafts, undetected faults may lead to catastrophic accidents.
For example, the pilot of the American Airlines DC10 that crashed at Chicago
O’Hare International Airport was notified of a fault only 15 seconds before the
accident happened, giving the pilot too little time to react; this crash could easily
have been avoided according to [8]. Recently, the Fukushima accident of 2011
in Japan highlighted the importance of developing accurate and efficient moni-
toring systems for nuclear plants. Essentially, monitoring of industrial processes
represents the backbone for ensuring the safe operation of these processes and
to ensure that the process is always functioning properly.
Statistical Process Monitoring using Advanced Data-Driven and Deep Learning Approaches 1
https://doi.org/10.1016/B978-0-12-819365-5.00007-3
Copyright © 2021 Elsevier Inc. All rights reserved.
2 Statistical Process Monitoring
FIGURE 1.1 Commonly occurring sensor faults. (A) Bias sensor fault. (B) Drift sensor fault.
(C) Degradation sensor fault. (D) Freezing sensor fault.
FIGURE 1.2 Fault types. (A) Abrupt anomaly. (B) Gradual anomaly. (C) Intermittent anomaly.
Thus, sensor or process faults can affect the normal functioning of a process
plant. In today’s highly competitive industrial environment, improved moni-
toring of processes is an important step towards increasing the efficiency of
production facilities.
In practice, there is a tendency to classify anomalies according to their
time-variant behavior. Fig. 1.2 illustrates three commonly occurring types of
anomalies that can be distinguished by their time-variant form: abrupt, incipi-
ent, and intermittent faults. Abrupt anomalies happen regularly in real systems
and are generally typified by a sudden change in a variable from its normal op-
erating range (Fig. 1.2A). The faulty measurement can be formally expressed as
r(t), t < ta ,
M(t) = (1.1)
r(t) + F, t ≥ ta ,
The drift anomaly type can be caused by the aging or degradation of a sensor
and can be viewed as a linear change of the magnitude of fault in time. Here,
the measurement corrupted with a drift fault is modeled as
r(t), t < ta ,
m(t) = (1.2)
r(t) + θ (t − ta ), t ≥ ts ,
where θ is a slope of the slow drift and ta is the start time of the occurred fault.
Finally, intermittent faults are faults characterized by discontinuous occurrence
in time; they occur and disappear repeatedly (Fig. 1.2C).
Generally, industrial and environmental processes are exposed to various
types of faults that negatively affect their productivity and efficiency. According
to the form in which the fault is introduced, faults can be further classified as
additive and multiplicative faults. Additive faults often appear as offsets of sen-
sors or as additive bias, while multiplicative faults influence process parameters.
Specifically, in an additive fault, the measurable variable Y (t) is corrupted by
an additive fault, θt , as Y = Yt + θt . On the other hand, a multiplicative fault
influences a measurable variable Y by the product of another variable U with θt
(i.e., Y = (a + f )Ut ), where Ut is the input variable.
assess the severity of the occurred fault, which is done by the fault identification
step. Here, we will focus only on fault detection and isolation.
There are two types of anomaly detection:
• Online fault detection. The objective of online anomaly detection is to set
up a decision rule capable of detecting, as quickly as possible, the transition
from a normal operating state to an abnormal operating state. Online detec-
tion is based on the idea that system evolution is considered a succession of
stationary modes separated by fast transitions.
• Offline fault detection. The purpose of offline fault detection is to detect the
presence of a possible anomaly outside the use of the monitored system. The
system is observed for a finite period (the system is in stationary mode), and
then, based on these observations, a decision is made on the state of the mon-
itored system. Offline detection methods rely on an observation number fixed
a priori, where the observations also come from the same law.
FIGURE 1.4 Conceptual representation of (A) physical and (B) analytical redundancy.
faulty conditions. Typically, fault detection and isolation are achieved by a ma-
jority vote between all the redundant sensors. This strategy has been widely
used in the industry because of its reliability and simplicity of implementation.
In practice, the main disadvantage of hardware redundancy is the additional
cost of equipment and maintenance, as well as the space needed to install the
equipment that increases complexity considerably in the already very complex
systems. In addition, this method is limited in practice to sensor faults and can-
not detect faults in variables that are not measured directly. This approach is
mainly only justified for critical systems, such as nuclear reactors and aero-
nautic systems. Unlike a physical redundancy, which is performed by adding
more sensors (hardware) to measure a specific process variable, the analytical
redundancy does not require additional hardware because it is based on using
the existing relations between the dependent measured variables that are or are
not of the same nature. Analytical redundancy is a more accessible strategy that
compares the measured variable with the predicted values from a mathemat-
ical model of the monitored system. It thereby exploits redundant analytical
relationships among various measured variables of the monitored process and
avoids replicating every hardware separately.
the field of process control and automation over the last few years have yielded
various methods for successful diagnosis and detection of abnormal events. To
meet safety and productivity requirements, extensive theoretical and practical
monitoring methods have been developed. These methods are generally divided
into three families of approaches, depending on the nature of the knowledge
available on the system: model-, knowledge-, and data-based methods. A thor-
ough overview of process fault detection and diagnosis can be found in [5].
Fig. 1.5 shows a summary of various monitoring methods; this section presents
a brief overview of these monitoring techniques.
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