soft sensors
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IntroductionOutlier detection
Process monitoringExamples
Soft Sensors for Monitoring
Antanas Verikas †
†Intelligent Systems Lab, Halmstad University,Box 823, 30118 Halmstad, Sweden
2009 September
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IntroductionOutlier detection
Process monitoringExamples
Soft sensor definitionTechniques and tasks
Definitions
Soft sensor is a common name for software where severalmeasurements are processed together. There may be dozens
or even hundreds of measurements. The interaction of thesignals can be used for calculating new quantities that can notbe measured.
Soft sensors or inferential calculators are operators’ virtualeyes. Soft sensors create windows to a process where physical
equivalents are unrealistic or even impossible.
Sensor output can be a control signal, advisory information foroperators, predictions of product quality, information onprocess faults or outliers in data.
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IntroductionOutlier detection
Process monitoringExamples
Soft sensor definitionTechniques and tasks
Techniques
Neural networks (NN)
Neuro-fuzzy systems
Kernel methods (support vector machines)
Multivariate statistical analysis
Data fusion (Dempster-Shafer theory, for example)Image analysis
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IntroductionOutlier detection
Process monitoringExamples
Soft sensor definitionTechniques and tasks
Tasks
Outlier detection in process dataProcess and system monitoring
Fault diagnosisDefect detectionTrend detection
Monitoring uncertainty of predictions
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IntroductionOutlier detection
Process monitoringExamples
Basic informationDistance from the data centerResidual analysis, Influence measuresClassification techniques
Outliers, high leverage pointsThere are two types of outliers: in the X-space, called leveragepoints, and in the y-space. The goal is to eliminate bad leveragepoints and outliers in the y-space. The most difficult problem is to
distinguish between good and bad leverage points.
Figure: Data point 1 is outlier in y -space, data points 2 and 3 areoutliers in x -space. Data point 2 is a good leverage point and data point
3 is a bad leverage point.Antanas Verikas Soft Sensors for Monitoring
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IntroductionOutlier detection
Process monitoringExamples
Basic informationDistance from the data centerResidual analysis, Influence measuresClassification techniques
Robust statistics
Use robust statistics (scaling, PCA, covariance matrix) to increaseeffectiveness of outlier detection.
A robust estimate of scale can be obtained using the medianabsolute deviation of the median (MADM) defined as
d ≡ med |x − med (x )|0.6745
(1)
The divisor is a correction factor—if the number of samples is largethen d is approximately equal to the actual standard deviation of the true distribution of x .
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IntroductionOutlier detection
Process monitoringExamples
Basic informationDistance from the data centerResidual analysis, Influence measuresClassification techniques
Robust sample estimates
It is very important to protect sample estimates from outliersinfluence. Below is the list of methods allowing to selectobservations, consistent with the majority.
1 Resampling by half means (RHM)
2 The smallest half volume (SHV)
3 The closest distance to the center (CDC)
4 Minimum volume ellipsoid (MVE)5 Minimum scatter determinant (MSD)
Sample estimates are then computed based on the selected data.These estimates are used for scaling and outlier detection.
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IntroductionOutlier detection
Process monitoringExamples
Basic informationDistance from the data centerResidual analysis, Influence measuresClassification techniques
Categorization of techniques (1)
Methods based on distance from the data center:
PCA based techniquesTechniques analyzing the projection matrixH = X(XT X)−1XT , where X is an N × K data matrix with K
being the data dimensionality and N the number of observations.
Methods based on the difference between the predictedand actual values of a dependent variable:
ResidualsInfluence measures
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IntroductionOutlier detection
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Basic informationDistance from the data centerResidual analysis, Influence measuresClassification techniques
Categorization of techniques (2)
Classification techniques. A classifier separates data into
the outlier and normal classes.
Robust estimators are used instead of the common leastsquare estimator.
The least absolute deviation (LAD)
The least median of squares (LMS) are representatives of the group .
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PCA (1)The i th transformed variable z i , which is known as PC or score is
z i = xpi (2)
where pi is the i th column of the loading matrix P.Scores are normally distributed as long as the process does notdeviate from the normal operating conditions. Thus, the T 2
statistic can be used to detect deviations from the normality. TheT 2 statistic, based on M components, for a data point i is:
T 2i =M
j =1
z 2ij
s 2 j (3)
where s 2 j
stands for the variance of z j
.
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PCA (2)
The variable
T 2i N (N − M )
M (N 2
− 1)
(4)
is F -distributed with M and N − M degrees of freedom. Thethreshold for the T 2 statistic is
T 2α = M (N 2 − 1)
N (N − M )F α(M ,N
− M ) (5)
where F α(M ,N − M ) is the upper 100α% critical point of the Fdistribution with M and N − M degrees of freedom.
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IntroductionOutlier detection
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Basic informationDistance from the data centerResidual analysis, Influence measuresClassification techniques
PCA (3)
The portion of the input space corresponding to the K − M
smallest eigenvalues can be monitored using the Q statistic (χ2)
Q = eT e (6)
wheree = (I − PPT )x (7)
is the residual vector. The threshold Q α for the Q statistic can becomputed from the eigenvalues and the normal deviatecorresponding to the 1 − α percentile.
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H matrixhi = xi (XT X)−1xT i the cut-off value is 2K /N
The cut-off value for the Jackknife residual t ∗i (next slide) is givenby t 0.95(N-K-1)—the 95% quantile of the Student distribution.
0 0.2 0.4 0.6 0.8 1−5
0
5
J a c k k n i f e
r e s i d u a l s
High leverage
Figure: Outliers are denoted by ’o’ and normal data points with ’+’.Lines illustrate the cut-off values.
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Basic informationDistance from the data centerResidual analysis, Influence measuresClassification techniques
Residual analysis, Influence measures
Measure based on Formula Cut-off value
Residuals t ∗i = t i
(N −K −1)(N −K −t 2
i )
t (N − K − 1)
Conf. Ellipsoid Volume h∗i = hi + e 2i eT e
2(K −1)N
Influence Function WK i = |t ∗i | hi (1 − hi ) 2 K /N
t i = e i
σ
√ (1−hi )
e i = y i −
y i
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IntroductionOutlier detection
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Basic informationDistance from the data centerResidual analysis, Influence measuresClassification techniques
Classification techniquesCan be supervised or unsupervised. In the unsupervised case, thedetector is trained by finding a hypersphere of the minimum radiusr ∗ that contains most of the data points from a set X t .
The function f (x) used to categorize x is:
f (x) = Hκ(x, x) − 2N i =1
α∗i κ(xi , x) + T
(8)
where κ(x, x) is a kernel, α∗i
and T are found by maximizing
W (α) =N i =1
αi κ(xi , xi ) −N i =1
N j =1
αi α j κ(xi , x j ) (9)
subject to N
i =1 αi = 1 and 0 ≤ αi ≤ 1/ν N
, i
= 1,...,N
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IntroductionOutlier detection
Process monitoringExamples
Basic informationDistance from the data centerResidual analysis, Influence measuresClassification techniques
Combining different measuresProcess Data
Contradictory Data?
CDC
Data Diagnostic Measures
Yes
Fuzzy Expert Neural Network
Inlier Outlier
AANNRA
x x
y
Figure: (Left): The flowchart of data processing (CDC=closest distanceto centre; RA=regression analysis; AANN=autoassociative neuralnetwork). (Right): The process model network and the AANN.
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IntroductionOutlier detection
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PCA and PLS based monitoringKernel PCA-based monitoringMonitoring by AANNMonitoring the uncertainty of prediction
PCA based monitoringThe T 2 statistic, based on M components and SPEy are givenby:
T 2M =M
j =1
z 2 j
s 2 j ; SPEy =
K i =M +1
(y i − y i )2 (10)
where s 2 j is the variance of z j .
z j = pT j y is the j th score , where p j is the j th column of the
loading matrix P, and y is the multivariate process output.An upper limit (UL) for the T 2M is:
T 2UL
= M (N − 1)(N + 1)
N (N
− M )
F α(M ,N − M ) (11)
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IntroductionOutlier detection
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PCA and PLS based monitoringKernel PCA-based monitoringMonitoring by AANNMonitoring the uncertainty of prediction
PLS based monitoring
PLS extracts variables that explain the variation in X which ismost predictive of Y.
PLS uses the sample covariance matrix (XT Y)(YT X).The first variable z 1 = wT x maximizes the covariancebetween z 1 and the Y space, w1 is the first eigenvector of (XT Y)(YT X).
w2 is the first eigenvector of XT
2 YYT
X2, whereX2 = X − z1pT 1 is the deflation of X with p1 = Xz1/(zT 1 z1).
Variables z i (scores) can be used for monitoring (via scoreplots for example).
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Kernel PCA-based monitoring (1)
The sample covariance matrix in the feature space
ΣΦ = 1N
N i =1
Φ(xi )
Φ(xi )
T
Φ(xi ) = Φ(xi ) − mΦ
mΦ = 1N N
i =1 Φ(xi )
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IntroductionOutlier detection
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PCA and PLS based monitoringKernel PCA-based monitoringMonitoring by AANNMonitoring the uncertainty of prediction
Kernel PCA-based monitoring (2)A Mahalanobis type distance in the feature space can be consideredas a dissimilarity between a point x and the training data
E Φ(x) = Φ(x)T (ΣΦ)−1
Φ(x)
The regularized covariance ΣΦ is obtained by replacing all zero ornear-zero eigenvalues of ΣΦ by a constant λc
ΣΦ = VΛVT + λc (I − VVT )
where Λ is the diagonal matrix of nonzero eigenvaluesλ1 ≤ · · · ≤ λp of ΣΦ and V is the matrix of the correspondingeigenvectors v1, · · · , vp
vk =
N i =1 α
k i
Φ(xi ), 1 ≤ k ≤ p , where αk
i are coefficients found
by solving the eigenvalue problem: λα
= (1/N
)Kα
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Kernel PCA-based monitoring (3)
The k th projection (score) t k of the centered value Φ(x) isobtained
t k = vk , Φ(x) = N i =1 αk i Φ(xi ), Φ(x)
Using ΣΦ, E Φ(x) can be split into two terms:
E Φ(x) =
p k =1
1λk
vk , Φ(x)2 + 1λc Φ(x)2 −
p k =1
vk , Φ(x)2= tT Λ−1t + (λc )
−1(
K (x, x) − tT t)
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Kernel PCA-based monitoring (4)
E Φ(x) represents the estimated statistic for characterizing thelikelihood of x. The first and the second terms of E
Φ(x) represent
the distance in the feature space and the distance from the featurespace, respectively.
Similar to the T 2 and SPE statistics in the linear PCA, thecorresponding statistics T 2
f
= tT Λ−1t and SPEf = K (x, x) −
tT t
can be monitored to detect faults. It is assumed that training dataare multivariate normal in the feature space.
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AANN with orthogonal bottleneck layer outputs
Objective function F
F = ηSSE + (1 − η)Φ
Φ =S
i =1
S j =i +1
s ij √ s i s j
s i , s j – variance of u i and u j
s ij – covariance of u i and u j
For the i th data point
SPEi =
R j =1(x ij −
x ij )
2
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Confidence limits (1)
Figure: Non-linear scores obtained for the 102 nominal runs (+). Threefaulty runs () were projected on the model (Left : confidence limitsassuming normal distribution, 95 and 99%; Right : confidence limits basedon the kernel density estimate f (x ) = 1
Nh N i =1 K
x −x i h , 95 and 99%).
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Confidence limits (2)
Figure: Normal trending is observed in both the scores and SPE plots.
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Confidence limits (3)
Figure: The failure of sensor 11 manifests itself as a different cluster in
the lower left scores plot. The SPE also indicates this event.Antanas Verikas Soft Sensors for Monitoring
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Confidence limits (4)
Figure: An abnormal trending in the system.
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Detecting sensor faults and process upsets (1)At time t when the SPElimit is violated, one can go one step backin each sensor array and calculate the SPE againx1
− = [x 1(t
− 1), x 2(t ),..., x p (t )] SPE1 =
x1
− − x1
−2
x2− = [x 1(t ), x 2(t − 1),..., x p (t )] SPE2 = x2− − x2−2
.....................................
xp − = [x 1(t ), x 2(t ), ..., x p (t − 1)] SPEp = xp − −
xp −2
where x j − is a vector containing measurements for all sensors attime t , but t − 1 sample for sensor j , x j − is the model estimate.
The sensor j = arg mini SPEi is the most probable candidate of being the fault sensor.
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Detecting sensor faults and process upsets (2)Different sensors are usually highly correlated
CC = cov (x i , x j )
σx i σx j (12)
where the vectors xi and x j are taken from a moving windowcontaining the current sample and a number of past samples.
CCs are compared with the ones obtained from the training
data.A failure in one sensor affects readings of only that sensor.
The unavailable sensor values can be reconstructed from theremaining sensors using the initial (calibration) model.
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Bayesian approachTwo sources of errors: the noise on the target σ2
t (x), and thevariance of the output due to weights (parameters) uncertaintyσ2w (x). These two terms are independent, thus:
σ2y (x) = σ
2w (x) + σ
2t (x) (13)
σ2t (x) is often assumed to be constant and approximated by
σ2t (x) = 2E D /(N − γ ) (14)
where E D is the training set error and γ is the number of well-determined model parameters.
σ2w (x) = gT (x)H−1g(x) (15)
H is the Hessian matrix and g (x) = ∂ y (x)/∂ w is the gradient of the model output.
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NN-based approach
For each x, the local variance is estimated as t (x) − y (x)2 andused as the target for the second network.
σ2(x) is an approximation to the local expected variance.
Figure: The predictive error network.Antanas Verikas Soft Sensors for Monitoring
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Predicting online biomass concentration
Recurrent NN to capture dynamic information in the input-outputdata. Inputs: feed rate, liquid volume, and dissolved oxygen.
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Detecting sound and dead knots in wood
A potential defect area is determined by the statistical t -test forequality of average R intensities of the area and a clear wood area.Classification is based on histograms of intensity variance.
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SOM based detection of wood defects (1)
An image is divided into non-overlapping regions.Percentiles of R, G, and B intensity histograms of a region and differences of the percentiles are thefeatures fed into the self-organizing map (SOM).
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SOM based detection of wood defects (2)
Detection SOM: The dashed lines are manually drawn, pessimistic(upper) and optimistic (lower) approximations of the boundary
between sound-wood and defects.Antanas Verikas Soft Sensors for Monitoring
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SOM based detection of wood defects (3)
Classification SOM: Defects with similar appearance are close toeach other.
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SOM based detection of wood defects (4)
b
c
Defects mapped onto 3 SOM nodes: a) dry knots; b) sound knots;
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MLP-based detection of textile defects
Each pixel is characterized by a feature vector—grey values fromthe neighbourhood. PCs are then calculated and presented to amultilayer perceptron.
(a) (d) (g) (j)
(c) (f) (i) (m)
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Gabor filtering-based detection of textile defects (1)
A 2-D Gabor function is an oriented complex sinusoidalgrating modulated by a 2-D Gaussian. The Gaussian
has an aspect ratio of σx /σy . The sinusoid has aspatial frequency of f o and an orientation θ.
Usually the X -axis of the Gaussian has the sameorientation θ as the sinusoidal wave.
h(x , y ) = 12πσx σy
exp− 12 x 2
σ2x
+ y 2σ2y exp{2π jf o q (x , y )}
q (x , y ) = cos(θ)x + sin(θ)y
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Gabor filtering-based detection of textile defects (2)
Four scales: p = 4 andorientations: q = 4;
Features—the meanvalue R pq and standarddeviation σpq of thefiltered image energy.
K (x , y ) = [K 12(x , y ) + K 23(x , y ) + K 34(x , y )]/3
K ij (x , y ) = [K i (x , y ) · K j (x , y )]; K p (x , y ) =
4q =1[S pq (x , y )]2
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Gabor filtering-based detection of textile defects (3)
−
Figure: a) Ideal weaves, b) faulty weaves, c) fused images, d) segmented.
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ICA-based detection of textile defects (1)
An image is divided into overlapping windows—x vectors.x = As, where A is the mixing matrix and s is the vector of independent components.
Having A, s is obtained, s = Wx, where W is the pseudo inverseof A obtained from defect-free images. The columns of thede-mixing matrix W are called independent component filters.
Each window is checked for being defective. The defect detectionfor a window i is based on computing the Euclidean distanced i = ||sm − si ||2 and comparing it with a threshold, where sm isthe mean vector obtained from defect-free windows.
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ICA-based detection of textile defects (2)
Figure: The defect detection results for two classes of textures.Antanas Verikas Soft Sensors for Monitoring
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SOM-based bearing degradation monitoring (1)
Features characterizing the vibration waveform are extracted andused to train the SOM.
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SOM-based bearing degradation monitoring (2)
SOM is trained using data from the normal operation. For a givenx the MQE is evaluated as MQE = ||x − mBMU||, where mBMU is theweight vector of the best matching unit of the SOM.
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SOM-based bearing degradation monitoring (3)
SOM is trained using data from all the operation conditions. TheU-matrix (matrix of distances between weights of SOM nodes) isused to visualize the trajectory of the degradation process.
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Detecting defects on surface of ceramics capacitors (1)
Examples of images of defective surfaces
It is assumed that p quality characteristics are normally distributed.The procedure requires computing the mean of the characteristicsx from a sample of size n.
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Detecting defects on surface of ceramics capacitors (2)
An image is divided into blocks and the Hotelling T 2 statistic isused to detect defects in each block.
T 2 = n(x − µ)T Σ−1(x − µ)
Since µ and Σ are unknown, they are estimated from m samplesof size n. Therefore, each block is divided into m sub-blocks. Thestatistic T 2 then is
T 2 = n(x − x)T S−1(x − x)
x and S are estimated from defect free images.
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Detecting defects on surface of ceramics capacitors (3)
R component of RGB image
DR
AR
Feature extraction of image blocks
by wavelet transform
Approximated
characteristic
Detail
characteristic
Wavelet transformImage
synthesis
Wavelet
characteristics
One multivariate processing unit of size 4 x 4 pixels
Four wavelet processing units of equal size 2 x 2 pixels
: Mean matrix of texture features
: Covariance matrix of texture features
X
S
2 ' 1( ) ( )T n X X S X X −
= – –
0
X : 255
Y : 255
Z : T2
value
T2 distance diagram
Defect locations
(high energy)
Normal location
(low energy)
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Detecting defects on surface of ceramics capacitors (4)
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The task
To develop soft sensors for on-line detection of abnormal paperformation variations in machine direction in various frequencyregions.
Forming
section
Press
section
Drying
section
Reel
section
HeadboxCalender
Figure: A schematic drawing of a paper machine.
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Reflection sensor design and arrangement
Figure: Reflection sensor design (left) and arrangement (right).
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Processing flowchart
Subdivide into blocks of a given lengthSubdivide into blocks of a given length
On-Line Monitoring
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Multi-resolution time series representation
Compute the Fourier power spectrum of the time series f (x )
P (u ) = F (u )2 = R 2(u ) + I 2(u ) (16)
Divide the frequency axis into several frequency regions R i of
different average frequency:
u ∈ R i if iW ≤ log2(u ) < (i + 1)W (17)
whereW =
{log2[N /(2
√ 2)]
}/
{N r
− 1
} (18)
Characterize the frequency content of the region a by afeature vector xa ∈ Rk .
The partitioning implements the multi-resolution time seriesrepresentation.
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Feature extraction
E i = 1
N i
u ∈R i
P (u ) (19)
E mi = 1E i
maxu ∈R i
P (u ) (20)
χi = N 2i u ∈R i P i (u )
u ∈R i
P i (u ) − 1
N i 2
(21)
M i = − 1
log N i
u ∈R i
P ni (u )log P ni (u ) (22)
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Novelty (abnormality) detection
The optimal values of the parameter vector α∗ of the detectorare found by maximizing the following objective function
W (α
) =
N
i =1 αi κ(xa
i ,xa
i ) −
N
i =1
N
j =1 αi α j κ(xa
i ,xa
j ) (23)
subject toN
i =1 αi = 1 and 0 ≤ αi ≤ 1/ν N , i = 1,...,N .
The function f (xa) used to categorize the data point xa is:
f (xa) = Hκ(xa, xa) − 2N i =1
α∗i κ(xai , xa) + T (24)
where α∗i and T are found by maximizing (23) andH[y (xa)] = 1 if y (xa) ≥ 0 and −1 otherwise.
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Data
Data sets A and C have been recorded on production line andcorrespond to 920 and 70 km of newsprint divided intoM = 9200 and 700 blocks, respectively.
The data set A was randomly split into training, validation,and test subsets. Ten different random splits were used.
All data of the set C have been used for testing. In the 700data blocks there were
≈70% and 75% of outliers in the
lowest and highest frequency region, respectively.
The abnormalities screened were located in the region of 0.2 − 0.4 mm and 1.6 − 3.2 m.
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Categorization results of the set C data
Table: The expected amount of outliers is approximately 75% and 70%for the highest and the lowest frequency region, respectively.
Set\n 1 2 3 4 5 6 7 8 9 10
Highest frequency region
Test 73.1 74.0 73.4 74.4 73.5 74.7 75.6 75.3 74.9 72.6
Lowest frequency region
Test 66.3 68.9 69.9 68.9 67.3 68.3 69.7 69.2 68.9 67.2
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Abnormalities detection software
Figure: The detection result in the highest frequency region.
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p g yPrinting industry
Graphical process
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Printing press
Paper path
Impression cylinder
Blanket cylinder
Plate cylinder
Ink bathDampening
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The problem
Colour deviation and areas to measure the amount of colour.
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Estimating the amount of ink by soft computing
Neural NetNeural Net
RGB
CMYK
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Measuring ink density
400 500 600 7000
0.2
0.4
0.6
0.8
1
Wavelength (nm)
D = − lg
λ
R (λ)S (λ)F (λ)
λ S (λ)F (λ)
(25)
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Measuring ink density by soft computing
400 450 500 550 600 650 700
−0.4
−0.2
0
0.2
0.4
0.6
Wavelength (nm)
A = projections of of spectra on eigenvectors x = RGB tripletB∗ = (K + λIN )
−1A k = κ(xi , x)κ(xi , x j ) = exp{−||xi − x j ||2/σ} a = B∗T kSpectrum is reconstructed using a and eigenvs
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Spectra from RGB values
— Original; — From RGB; ∆E = 0.7
400 450 500 550 600 650 7000
0.1
0.2
0.3
0.4
0.5
0.6
0.7
Wavelength (nm)400 450 500 550 600 650 700
0.1
0.2
0.3
0.4
0.5
0.6
Wavelength (nm)
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Print quality characterization
Print quality attributes
Missing dots (Q 1)
Dot deformation
Dot size deformation Q 2)Dot shape deformation Q 3)
Ink density variation Q 4)
Noise level Q 5)
Quality =
f (Q )g (•) (26)
where g (•) is a measure
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Print quality ranking by manSample A B C D E F G H
Ann 6 7 8 3 4 5 1 2
Anna R 6 7 8 3 4 5 2 1
Sofia 6 8 7 3 4 5 2 1
Peter 6 8 7 3 4 5 2 1
Frank 6 7 8 3 4 5 2 1
Stellan 6 8 7 3 4 5 2 1
Bernd 6 8 7 4 3 5 2 1
Dan 6 8 7 4 3 5 1 2
Mean 6.00 7,63 7,38 3,25 3,75 5 1,75 1,25
Cristofer 6 8 7 2 5 4 1 3
Magnus 6 7 8 3 4 5 2 1
Wolfgang 6 8 7 3 4 5 1 2
Kerstin 6 8 7 2 4 5 1 3
Maria 6 8 7 3 4 5 1 2
Marcus 6 8 7 3 4 5 2 1
Mean 6.00 7.71 7,28 3.0 3.93 4.93 1.57 1.57
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Correlation between quality rankings by man and machine
When ranking prints by the machine, the usefulness of printingdots of different colours was assessed.
Ink\Correlation R p
Magenta 0.9524 0.0003Yellow 0.9524 0.0003
Cyan 0.9762 0.0000Black 0.9762 0.0000
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g y
Assessing banknote printing quality
Line width
Colour
Circle Diameter
Spherical shell clustering
Each cluster resembles a circle. Eachcircle prototype λi consists of: r i and
ci . The distance d ij from an edgepixel x j to a prototype λi is defined:
d ij = (||x j − ci ||2 − r 2i )2 (27)
and used to minimize:
J (λ1,...,λK ) =K i =1
x j ∈λi
d 2ij (28)
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