The Application of Multivariate Statistical Process Monitoring in Non Industrial Processes - QTQM - 2018 PDF

Quality Technology & Quantitative Management
ISSN: (Print) 1684-3703 (Online) Journal homepage: http://www.tandfonline.com/loi/ttqm20
The application of multivariate statistical process

monitoring in non-industrial processes
Sotiris Bersimis, Aggeliki Sgora & Stelios Psarakis
To cite this article: Sotiris Bersimis, Aggeliki Sgora & Stelios Psarakis (2018) The application
of multivariate statistical process monitoring in non-industrial processes, Quality Technology &
Quantitative Management, 15:4, 526-549, DOI: 10.1080/16843703.2016.1226711
To link to this article: https://doi.org/10.1080/16843703.2016.1226711
Published online: 14 Sep 2016.
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Quality technology & Quantitative ManageMent
2018, Vol. 15, No. 4, 526–549
http://dx.doi.org/10.1080/16843703.2016.1226711
The application of multivariate statistical process monitoring

in non-industrial processes
Sotiris Bersimisb1 , Aggeliki Sgorab1 and Stelios Psarakisa2
a Department of Statistics and Insurance Science, University of Piraeus, Piraeus, Greece; b Department of
Statistics, Athens University of Economic and Business, Athens, Greece
ABSTRACT ARTICLE HISTORY

Statistical process monitoring (SPM) techniques have been widely used Accepted 18 August 2016
in industry for many decades in order to assess the process stability, Pubished online
14 September 2016
as well as the final product quality. Interestingly, SPM techniques
have gained popularity in many non-industrial fields providing even KEYWORDS
more opportunities for research. In this paper, we consider the case Multivariate statistical
of multivariate statistical process monitoring (MSPM) and perform an process monitoring, MSPC;
extensive literature review on MSPM applications in non-industrial hotelling T 2 control charts;
fields. More specifically, the aim of this paper is to point out the main control charts; MEWMA;
non-industrial application fields of MSPM that have appeared in the MCUSUM; non-industrial
process monitoring
literature, discuss the main challenges that arise upon applying MSPM
outside the industrial environment and provide some thoughts for
the future of MSPM outside industry.
1. Introduction
Statistical process monitoring (SPM) or Statistical process control (SPC) has been used
in industry for decades to ensure the quality of products. Applying the SPM toolbox in
industry has been become a necessity in many production processes, because no matter how
carefully the process has been set, natural variability always exists. This natural variability
is considered acceptable, if it is not so large and caused by non-systematic and non-
identifiable (random) factors. A process that has only natural variability is considered
statistically ‘in-control’ (IC). SPM methodologies have been used in industry in order to
identify excess variability, called special variability, which is attributed to the influence
of systematic factors. A process that presents non-random variability is called an ‘out-of-
control’ (OC) process.
Among the SPM tools, the most commonly used is the control chart (CC), which is
actually a graphical representation of a function of the sample values (say, g(x)) of a
variable related to the quality of the final product versus the sample number (or time). In
addition the CC is supplemented with a central line (CL), an upper control limit (UCL) and
a lower control limit (LCL). These limits are established using the distributional properties
of g(x).
CONTACT Stelios Psarakis psarakis@aueb.gr

1 Department of Statistics and Insurance Science, University of Piraeus, Piraeus, Greece
2 Department of Statistics, Athens University of Economic and Business, Athens, Greece
© 2016 International Chinese Association of Quantitative Management

QUALITY TECHNOLOGY & QUANTITATIVE MANAGEMENT 527
The CC is used to determine whenever the monitored process is statistically IC or

OC. To achieve this goal, consecutive values of g(x) are plotted against the control limits
(UCL and LCL). If the values of g(x) are inside the interval [LCL, UCL] then the process is
considered as IC, otherwise the process is considered as OC.
In case that the process stability/quality is characterized by the values of a single variable
then the CC is called univariate. However, there are many cases in which the simultaneous
monitoring of two or more variables is deemed necessary. The SPM techniques involving
the monitoring of multiple dependent variables are known as multivariate statistical process
monitoring (MSPM) techniques.
Research in the area of MSPM initiated with the pioneering work of Hotelling (1947).
Since then, many papers related to MSPM have appeared in the literature, such as the
work of the Alt and Smith (1988), Crosier (1988), Pignatiello and Runger (1990), Lowry
and Montgomery (1995), Ryan (2011) and Maravelakis, Bersimis, Panaretos, and Psarakis
(2002), etc. Among the MSPM techniques, multivariate extensions of univariate CCs are the
most widely used. These are extensions of all types of univariate CCs, such as multivariate
Shewhart CCs, multivariate cumulative sum control chart (MCUSUM) and multivariate
exponentially weighted moving average (MEWMA) CCs (e.g. Khoo, Wu, Castagliola, &
Lee, 2013; Lee, Khoo, & Xie, 2014; Nezhad & Niaki, 2013).
Jackson (1991) summed up the main characteristics of any MSPM technique as follows:
(a) an answer to the question ‘Is the process in-control?’ must be available; (b) an overall
probability for the event ‘Procedure diagnoses an out-of-control state erroneously’ must
be specified; (c) the relationships among the variables–attributes should be taken into
account; and (d) an answer to the question‘If the process is out-of-control, what is the
problem?’ should be available.
Montgomery and Woodall (1999) stated that MSPM is one of the fastest growing areas
of SPM. In the same paper, they also pointed the need for review articles, since such review
papers tend to trigger new research ideas. This was the stimulus for Bersimis, Psarakis
and Panaretos (2007) work, where more than 200 papers were reviewed. The importance
and significance of MSPM today is supported by the continuously increased number of
citations that this review paper, as well as the other review papers on MSPM, receive.
The use of MSPM techniques is not restricted to industrial field but is applied in many
other fields providing even more opportunities for research.
An extensive exploration of the literature shows that among others, the most significant
fields of application of MSPM besides industry are:
• Public-health Monitoring and Outbreak Detection, where the use of MSPM can be
greatly beneficial. A large number of papers can be found in the literature that deal
with health-related monitoring, such as Shmueli and Burkom (2010), Frisén, Ander-
sson, and Schiöler (2010), Schiöler and Frisén (2012), and Woodall and Montgomery
(2014).
• Environmental Monitoring, where MSPM techniques can serve as an ideal vehicle,
to develop and implement automatic environmental monitoring systems. Anderson
and Thompson (2004) used MSPM for monitoring coral reef fish assemblages at the
Great Barrier Reef in Australia.
• Financial Monitoring, where the MSPM can be used as a decision-making tool.
A decision-maker requires timely detection of changes in the evolution of a
528 S. BERSIMIS ET AL.
multivariate process of interest in numerous economic and financial applications,

e.g. for bankruptcy predictions, portfolio selection, volatility modelling. The use of
MSPM in such cases was exhibited by Bodnar and Schmid (2011), Frisén (2008) and
Golosnoy, Okhrin, and Schmid (2010).
• Network Monitoring and Intrusion Detection where MSPM can be used as a powerful
tool for ensuring safety and functional stability. Intrusions compromise the security
of computer and network components in terms of confidentiality, integrity and
availability. As a result, it causes a series of abnormalities of the system/network,
i.e. deviations from the normal network/system’s behaviour. Ye and Chen (2001)
presented an anomaly detection technique based on MSPM techniques.
The use of MSPM in the above-mentioned fields supported by the rapid progress in
hardware coupled with the advances in sensor technology which facilitated the capture of
huge amounts of transmitted data. All these new fields of application of MSPM provide
excellent opportunities for research, since each field requires customized solutions.
In light of the preceded discussion, the basic objective of this work is the identification
and reviewing of papers presenting new promising application fields of MSPM outside
of industry. This work expands the work of MacCarthy and Wasusri (2002), Tsung,
Li, and Jin (2008), and Ning, Shang, and Tsung (2009). MacCarthy and Wasusri (2002)
published a review paper for non-standard applications of SPM charts, but they focused
their research on univariate CCs. The applications were analysed with respect to four
domains i.e. engineering-industrial-environmental applications, health care applications,
general service applications and statistical applications. Ning et al. (2009) reviewed papers
on service processes focusing on categorical and mixed-type variables while Tsung et al.
(2008) provided a review of SPM techniques for multistage manufacturing and service
operations. In our paper, we categorized the applications into four different fields: Health,
Environment, Finance and Information Technology.
Additional objectives of the paper are also to discuss the main challenges that arise upon
applying MSPM outside the industrial environment and to provide some thoughts for the
future of MSPM in these non-industry domains.
The rest of this paper is organized as follows: In Section 2, we point out some method-
ological issues discussing the main challenges that arise upon applying MSPM beyond
industry. Then application fields of MSPM are presented and categorized appropriately
in Section 3. More specifically, Section 3 reviews several specific application domains
and discusses the benefits of MSPM on each specific application domain. Finally, the last
section is devoted to the main methodological issues arising when MSPM is applied in a
non-industrial context. In addition, we point out issues for further research.
2. Techniques supporting MSPM use in the non-industrial context

The application of MSPM in a non-industrial context creates new challenges that need
to be addressed. Assumptions that are usually made in industry in a non-industrial
area may be considered unrealistic. For example, when MSPM is applied in industry,
most often multivariate normality and time independence are assumed. However, these
assumptions cannot be supported whenever non-industrial processes are monitored, e.g.
in environmental or in health data, leading to a number of new challenges. In the following
two subsections, we describe some MSPM developments for both continuous and discrete
processes that empowered the application of MSPM in non-industrial contexts, since they
usually deal with non-industrial cases.
2.1. MSPM techniques for continuous processes

Assuming that the process data are realizations of an identically and independent p-
variate normal distribution with known mean vector (μ0 ) and known covariance ma-
trix (0 ), then we may establish a CC by plotting sequentially the quadratic form χ 21
calculated for each sample against an UCL which is equal to a specific percentile of
Chi-Square distribution. This is the most well-known multivariate CC used in industry
and is called the Chi-Square CC. However, as already mentioned many of the assump-
tion of classical industrial are not supported in case of non-industrial MSPM, thus,
in the following a number of papers dealing with non-industrial cases are briefly
discussed.
Beyond the Chi-Square CC, a number of techniques were developed the last decades
that enhanced the use of MSPM techniques in non-industrial data (supported by the
rapid progress of sensor technology as already mentioned). These techniques treat the
most common differences met in non-industrial processes in relation to classical
industrial monitoring, which are non-normality, auto-correlation and the absence of
samples greater than one. A small number of these papers is presented in the next
paragraph.
Liu (1995) defined a non-parametric technique for applying MSPC in non-normal
data, by using the notion of data depth, while Capizzi (2015) discussed a non-parametric
approach to Phase I analysis and the use of variable selection-based CCs in multivari-
ate Phase II monitoring. For a review of non-parametric methods applied to SPC, see
Chakraborti, Van der Laan and Bakir (2001). Triantafyllopoulos (2006) proposed a MSPM
CC based on the theory of sequential Bayes factors for monitoring multivariate auto-
correlated processes, while an enhanced residual MEWMA control chart was given by
Capizzi and Masarotto (2009) for the same scope. The MEWMA control chart intro-
duced by Capizzi and Masarotto (2009) has additionally the property of adaptability.
For an overview of the MSPM techniques in case of autocorrelated data see Psarakis
and Papaleonida (2007). A number of researchers dealt with the multivariate moni-
toring techniques in case of individual data, which is the usual case in non-industrial
processes. Among these are those of Stoumbos and Reynolds (2000); Chou, Mason, and
Young (2001) and others. For a review and discussion on MSPM, see Bersimis et al.
(2007).
2.2. MSPM techniques for discrete processes

Discrete or categorical processes can be used to model non-industrial data, especially
health-related data. Recently, a number of techniques were developed for treating discrete
processes. For the discrete case most of the papers in the literature consider multivari-
ate Poisson and binomial Processes. Patel (1973) constructed a quality control method
similar to the Hotelling’s procedure for monitoring data from the multivariate binomial
distribution and the multivariate Poisson distribution. Lu (1998) developed a multivari-
ate np chart known as the MNP CC for monitoring multivariate binomial processes.
Chiu and Kuo (2007) constructed a CC, known as the MP control chart, for monitor-
ing data from multivariate Poisson distribution. Chiu and Kuo (2010) proposed a new
Phase II CC for monitoring bivariate binomial processes considering the correlation
between attributes. Li and Xi (2010) proposed a CC for monitoring over-dispersion of
multivariate count data with positive or negative correlations. Laungrungrong, Borror
and Montgomery (2011) discussed a MEWMA CC for Poisson variables while Laun-
grungrong, Borror and Montgomery (2014) proposed a one-sided MEWMA chart for
detecting an increase in a process mean based on multivariate Poisson distribution that
has applications in public health data. Li and Tsung (2012) proposed multiple binomial
and Poisson cumulative sum charts incorporating a multiple hypothesis testing metric
known as false discovery rate. Niaki and Khedmati (2012) introduced a methodology
for monitoring multi-attribute Poisson processes where a maximum likelihood estimator
of the time of a step-change is provided. Aparisi, García-Bustos and Epprecht (2014)
studied and compared different schemes for the simultaneous monitoring of several
Poisson variables. Saghir and Lin (2014) proposed a Phase I Shewhart-type multivari-
ate (COM-Poisson) CC for monitoring multivariate count data that are over or under
dispersed.
Many non-industrial processes can be modelled by sequences of multivariate un-
structured categorical and/or multinomial processes. Balakrishnan, Bersimis and Koutras
(2009) dealt with the monitoring of individual discrete processes by introducing a non-
parametric procedure. Taleb (2009) proposed CCs for monitoring multivariate processes
based on multi-dimensional linguistic data. Duran and Albin (2009) proposed the use
of a probability tree for monitoring transaction processes with multiple categories in
service or manufacturing. Cozzucoli (2009) proposed a two-sided multivariate p-chart for
monitoring a multinomial process. Hou, Shao and Huang (2013) introduced a generalized
p-chart combined with maximum likelihood estimates MLEs for estimating the change
point of a multinomial process. Li, Tsung and Zou (2013) developed a log-linear direc-
tional change-point detection methodology for Phase I analysis of multivariate categorical
processes. Furthermore, Li, Tsung and Zou (2014) proposed a Phase II EWMA based CC
for monitoring multivariate binomial and multivariate multinomial processes, a procedure
that is useful for monitoring multivariate categorical data.
Multivariate high-quality processes have been considered in several research works
and can be modelled using sequences of categorical variables. Niaki and Abbasi (2007)
proposed a T 2 CC for Phase I and Phase II analysis in order to monitor multi-attribute
high-quality processes, while Aebtarm and Bouguila (2010) proposed a CC to monitor
multi-attribute high-quality processes in case that the quality characteristics follow the
bivariate Poisson distribution.
Aghaie, Samimi and Asadzadeh (2010) dealt with the problem of monitoring and
diagnosing a two-stage production process with attributes characteristics while Dokouhaki
and Noorossana (2013) developed a CUSUM chart for monitoring multivariate attribute
characteristics that are autocorrelated. For a review and discussion on multinomial and
multi-attribute quality control charts see Topalidou and Psarakis (2009).
3. MSPM applications in non-industrial context

In this section, we review several research papers that apply multivariate CCs techniques
in different non-industrial applications. Specifically, we discuss applications of MSPM
techniques in four major sections: Health, Environment, Finance, Information Technology
and additionally some other sections.
3.1. MSPM as a tool for health protection

3.1.1. Health surveillance
The application of SPM in health surveillance has already been investigated in several
research works. Woodall (2006) published a review paper on the use of CCs in health
care monitoring and public-health surveillance. Tsui et al. (2008) also presented a review
of methods involved in health care, public health and syndromic surveillance. Since then
many papers that deal with the application of SPM in health areas may be found in the
literature.
The application of MSPM in health could be beneficial in establishing efficient public
health surveillance systems. Such a system could be developed using a number of models
that have the ability to target from the patient to the health organization and from a small
community to the whole country. This system will make combined use of appropriate
stochastic models for prediction and monitoring of the health processes. Many researchers
have already addressed specific issues that could form the basis for this system. In the
following, we discuss MSPM use in health, after appropriately categorizing these uses in
three levels: the patient level, the health organization level and the public health community
level.
3.1.1.1. Application level: the patient. The surveillance/monitoring of single patients has
been introduced as a quick diagnostic procedure that may supplement and simultaneously
enhance the usual medical practice. The MSPM methodologies may be fully combined with
the patient’s file record in order to monitor critical individual indicators of a patient driven
from a variety of diagnostic tests. Correia, Nêveda, and Oliveira (2011) used univariate
and multivariate CCs for monitoring patients with chronic respiratory disease. Zhang, Li
and Wang (2010) proposed a new MEWMA Phase II CC for simultaneously monitoring
the mean and variability that is based on the generalized likelihood ratio test. They applied
the proposed CC to patients that were equipped with instruments that measure and record
physiological variables like systolic blood pressure, mean heart rate etc.
3.1.1.2. Application level: the health organizations. Modern biosurveillance is the mon-
itoring of a wide range of prediagnostic and diagnostic data for the purpose of enhancing,
mainly the ability of the public health infrastructure to detect, investigate and respond
to disease outbreaks. One interesting extension of biosurveillance is the surveillance of
medical variables at the hospital level. This implies that the surveillance/monitoring targets
to hospital associated variables, such as incidences of infections, number of deaths, waiting
time from surgery to full recovery, waiting time in the emergency room, etc.
Methodologies of MSPM can be applied to the whole process of the health organization,
aiming to control the proper functioning of each of them. In order to improve the quality
of institutions, several researchers have built or simply used multivariate CCs. Aiming
at the best possible care, Dechert and Case (1998) showed that T 2 multivariate CC is
an alternative method of ensuring quality of care. Steiner, Cook, Farewell and Treasure
(1999) proposed a bivariate CUSUM for monitoring failure rates in the treatment of a
hospital. Hart, Lee, Hart, and Robertson (2003) proposed risk-adjusted CCs to monitor
and improve the quality of care. These charts use the observed raw data and data tailored
to the risk of the individual based on the individual characteristics. Waterhouse, Smith,
Assareh and Mengersen (2010) applied the CCs T 2 , MEWMA and MCUSUM for moni-
toring radiation transmitted in patients undergoing diagnostic coronary angiogram pro-
cedures. Shojaei and Niaki (2013) proposed a modified MCUSUM scheme for monitoring
multi-attribute medical processes for entities that have different levels of risk in a hospital.
Maruthappu et al. (2014) used full adjusted and risk-adjusted multivariate CCs to monitor
the performance of surgeons. Abdollahian, Ahmad and Huda (2011) applied multivariate
CCs for monitoring surgical procedures. Harrou, Kadri, Chaabane, Tahon and Sun (2015)
discuss the monitoring issues of production systems like hospitals. They propose a PCA-
based MCUSUM anomaly detection system for the monitoring of patient flows in hospital’s
emergency departments. We should note here that the majority of papers in this area does
not distinguish between Phase I and Phase II methods.
3.1.1.3. Application level: the public health community. Over the past two decades the
rapid detection of bioterrorism events, as well as, the fast detection of outbreaks has led
many researchers to develop methods for disease surveillance. The goal here is to detect
an increase in the average count of the disease. Thus, MSPM methodologies applied in
multiple ways in the field of public health monitoring of a community (geographical area).
Several researchers, targeting the public health community, suggested or described the use
of MSPM techniques.
Rogerson and Yamada (2004) compared univariate and multivariate CUSUM CCs to
monitor changes in spatial patterns of diseases. This was the first time where MSPM
methods were used for health surveillance. The multivariate CC proved to be better
than univariate when changes occur in a large number of areas. Several researchers as
Woodall (2006), Shmueli and Fienberg (2006), Woodall, Marshall, Joner, Fraker, and
Abdel-Salam (2008), Shmueli and Burkom (2010), Frisén et al. (2010), Schiöler and Frisén
(2012) highlighted the use of MSPM in detecting epidemics and general surveillance of
public health. Fricker (2007) developed two multivariate procedures and compared their
performance on real data for syndromic surveillance. Joner, Woodall, Reynolds and Fricker
(2008) proposed a multivariate EWMA chart to detect a rise in the incidence rate of
disease. The multivariate EWMA chart is effective when the disease appears in different
regions. Rolka et al. (2007) discussed multivariate statistical techniques in the field of public
health surveillance for emerging threats. Special consideration has been given to the use
of MSPM techniques (T 2 , MEWMA, MCUSUM) for syndromic surveillance. The authors
also highlight the need for developing techniques that could avoid false alarms. Miekley,
Stamer, Traulsen, and Krieter (2013) and Miekley, Traulsen, and Krieter (2013) used
MCUSUM charts, T 2 of Hotelling and other charts for the early detection of mastitis and
lameness. We should note here that an interesting area is the application of control charts
in livestock production. Mertens, Decuypere, De Baerdemaeker and De Ketelaere (2011)
gave a review on the application of control charts for livestock data dealing with univariate
charts. It is really interesting to apply MSPM techniques in livestock data. Recently, Yahav
and Shmueli (2014) used multivariate CCs in the context of detecting disease outbreaks.
We believe that in this area the development of Bayesian MSPM techniques, besides the
computation overhead, could be beneficial in cases that a large amount of data is needed.
In light of the above discussion, it is evident that combining knowledge and expertise
from medicine and computer science along with statistics and especially with MSPM, new
systems for health protection may be established (monitoring of Personal Health, Health-
Care Services and Public-Health). Using MSPM, statisticians could establish the scientific
basis for powerful, reliable, fully customizable and cost-effective frameworks for monitor-
ing geographical areas, hospitals and people, protecting proactively their health. All the
above may be successfully realized, only after an in-depth research of the literature in order
to identify the most appropriate health indexes or even initiate new ones corresponding to
each one of the processes that will be monitored (patient health, hospitals’ functionalities,
community’s health). For the successful completion of this aim, interdisciplinary research
teams are clearly needed from areas, such as medicine, epidemiology, statistics and medical
informatics. Besides the basic MSPM techniques that may be apply for solving the above
monitoring issues additionally useful techniques are the application of non-parametric
MSPM methods like profile monitoring (see e.g. Woodall and Montgomery (2007). Also
applications of risk-adjusted charts using spatial data could give solutions to the above
monitoring issues problems.
3.1.2. Safeguarding pharmaceutical, diagnostic and clinical safety

Drugs safety monitoring and the monitoring of diagnostics and clinical studies is also a
major field that MSPM can be applied. Gad (1989) presented the use of multivariate CCs
for monitoring diagnostic studies in toxicology and more specifically in neurotoxicological
data. Wold, Kettaneh, Fridén, and Holmberg (1998), based on an analysis on chemical data,
showed that multivariate CCs based on principal components analysis (PCA) and partial
least squares (PLS) techniques are suitable for monitoring the pharmacokinetics, clinical
and pharmacological studies in which patients are monitored over time. Dvorkin (2001)
discussed the use of Hotelling T 2 CCs for monitoring intralaboratory quality control.
Gonzalez-De la Parra and Rodriguez-Loaiza (2003) applied the multivariate T 2 CCs in both
Phase I and Phase II to evaluate the consistency of the impurity profiles of specific drugs,
ensuring safety and efficacy of medical products. Skibsted et al. (2005) proposed a new
MSPM methodology for Phase I and Phase II, based on the net analyser signal (NAS-SQC),
to monitor the quality of products based on the approach of the analyser signal net. Later,
de Carvalho Rocha, Martins and Poppi (2010) developed three multivariate CCs based
on the net analytical signal for monitoring the quality of a pharmaceutical preparation
containing nimesulide. The same three CCs also applied to polymorphic characterization
of piroxicam by de Carvalho Rocha and Poppi (2010). Multivariate CCs were also used by
Kirdar, Conner, Baclaski and Rathore (2007) for fault diagnosis during the production of
pharmaceutical products of biotechnology. Rosas, Blanco, González and Alcalá (2011) used
multivariate CCs for residuals and the Hotelling’s T 2 CC to monitor the manufacturing
process of a medicinal gel. Laursen, Rasmussen and Bro (2011) applied multivariate CC
based on PCA in order to be used for purity analysis of biopharmaceuticals. Burggraeve
et al. (2011) and Lourenço et al. (2012) used multivariate CCs based on PCA and PLS for
monitoring the fluid bed granulation batch process. Based on the same methodology Kona,
Haibin, Mattes and Jancsik (2013) developed multivariate CCs to monitor the evolution
of the granulation process. de Lima et al. (2014) presented a multivariate CCs based on
latent variables for monitoring the progress of transesterification reactions of soybean oil
with methanol, using Near-infrared (NIR) spectroscopy. Zeng, Chen, Wang and Qu (2013)
applied multivariate CCs, such as Hotelling T 2 CCs for the evaluation of Chinese medicine.
The multidimensional SPM, based on chromatographic fingerprinting, also introduced
by Xiong, Qi and Haibin (2013) to assess the reproducibility of traditional Chinese
medicines. Clavaud, Roggo, Von Daeniken, Liebler and Schwabe (2013) have monitoring
biopharmaceutical culturing Chinese hamster ovary cells while Tôrres, Grangeiro and
Fragoso (2015) used multivariate CCs for Phase I and Phase II to monitor captopril
substance. Both of them used MSPM charts based on PCA. Costa, Pedroza, Porto, Amorim
and Lima (2015) also used multivariate CCs based on PCA for Phase II analysis in order
to control simultaneously two pharmaceuticals ingredients (isoniazid and rifampicin) in a
pharmaceutical formulation using a near infrared spectrometer.
From the previous discussion the use of MSPM techniques for safeguarding pharma-
ceutical, diagnostic and clinical safety is concentrated basically on traditional multivariate
Shewhart type CCs. It seems that alternative techniques may also be used here e.g. MEWMA
and MCUSUM control charts. Also, in case of clinical data, because of the existence of
multiple discrete data the use of multi-attribute charts have potential uses. Finally, the
use of non-parametric techniques may solve problems in case that the distribution of the
monitored data is unknown.
3.1.3. Food safety

Food safety monitoring is one of the major non-industrial fields that MSPM has gained
the researchers attention. It should be noted that with the term food safety, we include
the whole food chain except the industrial part (i.e. production, transport, preservation,
etc). Ennis and Bi (2000) developed a multivariate CC for monitoring the quality of food
and drinks that includes the evaluation of several categorical characteristics. Martins et al.
(2008) applied the Hotelling’s T 2 multivariate CC for monitoring the acidity of white wine
to diagnose the oxygen and the antioxidant. Vigni et al. (2009, 2011) applied the Hotelling
T 2 multivariate CC for the monitoring of flour in order to identify poor batch to avoid
poor bread production. Eppe and Pauw (2009) applied Hotelling’s T 2 multivariate CC for
improving internal quality control procedures for the monitoring of dioxins and similar
dioxin-like polychlorinated biphenyls (PCBs) in food analysis. Lee and Djauhari (2013)
proposed a modification of the multivariate CC of Hotelling T 2 chart in Phase I and Phase
II for controlling the production of cocoa in Malaysia.
Food quality is an area where politicians and governments pay particular attention and
priority due to the sensitivity of the issue. Until now only basic MSPM techniques like
Hotelling T 2 and modifications of it have been applied. The use of more advanced MSPM
techniques for autocorellated and non-parametric data should be used.
3.2. MSPM as a tool for monitoring the natural environment

Another area that MSPM could be applied with success is the environmental monitoring.
Many authors proposed the use of deterministic process monitoring schemes while the
use of MSPM could provide the basis for the establishment of frameworks for stochastic
environmental systems.
Ortiz-Estarelles, Martın-Biosca, Medina-Hernández, Sagrado, and Bonet-Domingo

(2001) and Palau, Arregui, and Ferrer (2004) used multivariate CCs based on PCA and
PLS for monitoring abnormal behaviour in the treatment of drinking water. Similar
analysis was used by George, Chen and Shaw (2009) for the analysis of drinking water.
Anderson and Thompson (2004) proposed an alternative non-parametric multivariate CC
for the control data of the ecology and the environment. In particular, they studied the
aggregation of fish to the coral reefs of Australia. Coleman and Nickerson (2005) proposed
a multivariate EWMA CC for photovoltaic processes. Morisson (2008) analysed the need
for univariate and multivariate CCs as a tool which can be applied for the analysis of
environmental data to find abnormal behaviour in these processes. Palau, Arregui and
Carlos (2011) applied multivariate CCs based on PCA to control the flow of water in
urban networks to detect anomalous behaviours. The proposed methodology simplifies
the process considerably compared to existing methods. McGinty, Power and Johnson
(2012) analysed a method which made use of multivariate CCs for monitoring the food
chain and stability of ecosystems in the North Atlantic. Stringell et al. (2013) applied
multivariate CCs in the management of protected areas and other natural systems where
variability and rarity of events preclude other approaches. In particular their study involved
the study of flora and fauna lagoons. Kusiak and Verma (2013) used performance curves
for monitoring wind farms. Shaban (2014) used CCs based on PCA for controlling water
quality and quantity in Egyptian drains. Similar technique is used by Burgas, Melendez,
Colomer, Massana and Pous (2015) for energy building monitoring. Finally, Bersimis and
Triantafyllopoulos (2015) proposed an online multivariate distribution-free procedure for
monitoring the joint levels of air-pollution variables over a surveillance area of interest.
As it seems many authors already use MSPM for natural environment monitoring.
However, there is an enormous pool of problems that may be couched using MSPM
techniques, such as monitoring the pollution in city environment, the ozone density, etc.
The majority of researches are based on the use of multivariate CCs based on PCA and
PLS to detect succesfully abnormal situations. We should note here that the majority of the
papers does not make any distinguish between Phase I and Phase II. This is a problem that
has already been noted by Woodall and Montgomery (2014). In some cases this happens
due to the data availability. The future work should also aim in combining advanced
forecasting with appropriate monitoring schemes that may be used for the early detection
of any abnormalities. Towards this direction MSPM techniques for autocorellated and
non-parametric data may be useful. Environment scientists and MSPM experts may study
and establish the appropriate framework for the efficient monitoring of various nature
variables, such as environmental pollution, weather, etc.
3.3. MSPM as a decision tool in finance

Financial monitoring is one of the most significant fields that MSPM can be applied.
Monitoring a financial time series is of great interest to identify changes in its structure.
Modelling financial time series is a complex problem due to the variety of the series in use
(stocks, exchange rates, interest rates, etc.), the importance of the frequency of monitoring
the observations (second, minute, hour, day, etc) and the availability of very large data-sets.
This means that the development of suitable CCs require careful construction, otherwise
they may lead to wrong conclusions. The MSPM techniques could be used in order to
provide automatic decision systems.
Śliwa and Schmid (2005) developed a multidimensional type EWMA chart for the
surveillance of the covariance matrix in a multivariate GARCH process. Śliwa and Schmid
(2005a) also proposed modified MEWMA as well residual charts for monitoring cross-
covariances of a multivariate time series. They also provide advantages and disadvantages
of the proposed schemes. Bodnar (2009) developed CCs obtained by maximizing the
generalized likelihood ratio for detecting changes in the mean of multivariate GARCH
processes. In the same spirit, Bodnar and Schmid (2011) worked on the development
of CUSUM CCs for monitoring the mean of a multivariate Gaussian process. Golosnoy
et al. (2010) developed a Phase II multivariate EWMA chart for controlling portfolio
surveillance while Golosnoy, Ragulin and Schmid (2011) developed CUSUM CCs for
monitoring optimal portfolio weights. An excellent reference for financial surveillance
is that of Frisén (2008).
In the area of financial data monitoring, advanced MSPM techniques have been used.
Of course it seems that there exist a lot of research issues to be addressed. A review paper
on monitoring of financial data should be very useful.
The future work should aim in combining advanced forecasting with appropriate
monitoring schemes. Such schemes could be useful in monitoring pairs trading, a relative-
value statistical arbitrage trading technique, as well in monitoring and analysing financial
time series that may be used as the basis for providing automatic decision systems.
3.4. MSPM application fields in information technology and telecommunications

sectors
There are many instances in the Information Technology (IT) and telecommunications
sectors in which simultaneous monitoring of two or more parameters are required. For
this reason, MSPM techniques have been applied in different research areas in the IT and
telecommunications sectors, such as security, performance networks, social networking
etc. The aim of this section is to overview the research work found in the literature that
makes use of MSPM techniques in these sectors.
3.4.1. MSPM techniques and IT security

MSPM techniques have already been applied in IT and telecommunications as a mean to
detect abnormalities in network and mobile devices, systems, and hosts.
Ye and Chen (2001) proposed a technique of detecting abnormalities based on the
T 2 statistic for both Phases I and II. MSPM techniques can be also used as tools for
anomalies detection (anomaly detection systems) to terminals (Liao, Lin, Lin, & Tung,
2013), computer and communications networks (Garcia-Teodoro, Diaz-Verdejo, Maciá-
Fernández, & Vázquez, 2009), cyber-physical systems (Mitchell & Chen, 2014), as well
as, cloud computing (Patel, Taghavi, Bakhtiyari, & Júnior, 2013). The profiles used for
detection vary depending on the scope of the system. For example, a detection system of
a network metrics-parameters can be used to create the profile consisting of the traffic
rate, the number of packets for each protocol, the number of connections, the number of
different Internet Protocol addresses, etc.
In Intrusion detection system (IDS), two profiles are considered: the current profile and
the stored profile. Given that the events of a system or network are processed, the IDS
updates the current profile and calculates a score that indicates the degree of irregularity
‘anomaly’ for the specific case, by comparing the current profile with the saved profile. If
this rating is greater than a certain threshold, the IDS gives an alarm (Patcha & Park, 2007).
The performance of the system is determined by the number of wrong choices made by
the abnormalities detection system, translated in false positive or negative alarms affecting
the accuracy of detection (Abduvaliyev, Pathan, Zhou, Roman, & Wong, 2013).
The first abnormalities detection systems that made use of MSPM techniques involved
terminal devices (desktop computers) and information systems. Specifically, Ye, Emran,
Chen and Vilbert (2002) proposed the application of MSPM techniques to detect abnor-
malities related to the counter (counter-relationship) and displacement of the mean value
(mean-shift). In particular, the authors have proposed a technique based on the Hotelling
T 2 CC.
The development of networks, particularly wireless, and simultaneous improvement
of features on mobile devices led in the development of detection systems for different
categories of networks and terminals. Tavallaee, Lu, Iqbal and Ghorbani (2008) applied
the Covariance matrix sign (CMS) to detect Denial of service (DoS) attacks. Abouzakhar
and Bakar (2010) proposed a Chi-square testing-based intrusion detection model.
MSPM techniques may be used in Andromaly (Shabtai, Kanonov, Elovici, Glezer, &
Weiss, 2012), i.e. a framework for the detection of malicious software on smart Android
devices. The metric used for detection are: central processing unit (CPU) consumption, the
number of packets sent, the number of running processes. The Andromaly consists of four
main components: the feature extractors, their preprocessors, the main services and the
graphical user interface. Kim, Smith and Shin (2008) proposed an infrastructure that mon-
itors, detects and actively analyse malware variants. The infrastructure comprises a power
controller, for collecting the samples, the creation of the historical power consumption
by the collected samples and a data analyser for creating a signature from the generated
power history. The similarities between the power signatures are calculated using the T 2
distance.
Although MSPM can be a useful tool to detect abnormalities in network and mobile
devices, systems, and hosts, the majority of existing works consider only traditional
Shewhart type CCs. The use of non-parametric techniques could be an interesting research
topic in this area, due to the fact that in most of the cases the distribution of the monitored
data is unknown. In addition to the fact that in many cases the attacks are unknown, the
identification of abnormalities is a very challenging issue.
3.4.2. MSPM techniques in social networking

Due to the rapid increase in the use of social networks, e.g. Facebook, Twitter, Myspace,
Vimeo, Youtube, etc, and the large volume of data exchanged between users of this network,
there is strong interest from academia in those networks. The use of MSPM techniques
lies mainly in the monitoring of data moving on the Internet and their analysis, since it
may lead to export various conclusions e.g. whether particular information is valid, if a
single user profile is real, etc. Motoyama, Meeder, Levchenko, Voelker and Savage (2010)
proposed a method to identify the most popular services, such as Flickr, Gmail, etc., which
are out of service (downtime) via Twitter. In particular, the authors used specifically tweets
as signals that a particular service has interruption (outage), whether programmed or not.
To identify this service abnormality they used the EWMA CC.
Since the monitoring of data moving on the Internet is still in its infancy, there is still
a lot of potential in applying advanced MSPM techniques for monitoring and analysing
data. As noted in Megahed and Jones-Farmer (2015) efficient MSPM techniques should
consider issues concerning the type of data and their origin: (i) non-numeric data obtained
from several databases, (ii) integration of data inputted in different languages (iii) the
phenomenon of trending/viral for online content (i.e. the data arrival rate fluctuates based
on factors that are often difficult to be understood prior to analysing the data).
3.4.3. MSPM techniques and network performance

MSPM techniques can be used in computer and communication networks to study their
performance, i.e. to check any abnormality either in operation or in the provided Quality
of Service (QoS) and Quality of experience (QoE) to their users. Hernandez-Garcia and
Masri (2013) implemented, evaluated and compared three technical error detection and
recognition methods based on statistical monitoring using latent-variable techniques in
sensor networks. They evaluated and compared them according to their capability to detect
and identify faulty sensors using case studies from an analytical three-dimensional truss
and from an actual cable-supported bridge in metropolitan Los Angeles, California region.
Shaukat and Syrotiuk (2008, 2013) proposed replacing the periodic transmission of control
information messages, transmissions based on local network conditions. In particular, the
authors suggested the continuous monitoring of the topological importance of each node,
i.e. the betweenness of its two-hop neighbourhood. If a change occurs in this metric, then an
update control message is sent to the nodes neighbours in order to inform them about this
change. In particular, in order to detect these changes the authors used Shewhart charts
(Shaukat & Syrotiuk, 2008) and the MEWMA CC (Shaukat, Montgomery, & Syrotiuk,
2011; Shaukat & Syrotiuk, 2013). Tan, Sun, Li and Tang (2014) proposed a service level
agreement (SLA) monitoring model to predict possible deterioration on the level of QoS
and check the violation of the performance of the cloud service in the implementation
phase, using a Hotelling T 2 CC. Matias, Carvalho, Araujo and Maciel (2011) studied the
performance of CUSUM, Shewhart, EWMA charts in monitoring the performance of the
network traffic. The forecasts predicting network traffic came from an ARMA (2,2) model.
Although the evolution of network and communication technologies ameliorates the
QoS of the services, it also creates challenges as concerns the assurance of this quality.
Advanced MSPM techniques can be a useful tool for the prevention of possible QoS
degradation of the services. However, further investigation concerning the requirements
of each service, as well as, the parameters that affect the quality perceived to the users
should be given.
3.4.4. MSPM techniques in image-based process monitoring

Image data play an important role in process monitoring. Besides, their obvious applica-
tions in industry image-data may be applied in medical-device applications, as well as in
food industries and structural health modelling. Megahed, Woodall and Camelio (2011) in
a thorough review paper overviewed the control charting techniques that have been used
for the analysis and monitoring of image data. They pointed out the use of profiles for
monitoring image data and also noted that the use of spatial control charts might be of
great interest for monitoring this type of data. Towards this direction the reader may refer
to the works of Jiang, Han, Tsui, and Woodall (2011), Lee, Goldsman, and Kim (2015), and
Peter, Hu, Shrivastava, and Tsui (2015). Yan, Paynabar and Shi (2015) proposed a Phase II
image-based process monitoring approach by combining multivariate CC with low-rank
tensor decomposition techniques. They discuss the role that MSPM charts may play in
image processing and they focus on additional research that should be made on this area.
Although there is already interest for the MSPM techniques in telecommunication/ICT
sector, this interest will be further increased in the upcoming years. The shift from the
QoS to the QoE, i.e. the shift from network performance monitoring to the user-customer
degree of delight monitoring, implies that the use of MSPM techniques is imperative for
the internet service providers (ISPs), Network or Content Providers in order to detect
possible service violations or to prevent possible churns in case of unsatisfied costumers.
In addition, the continuous evolution of big data with larger and more heterogeneous
data-sets makes the use of advanced MSPM techniques necessary.
As stated in Megahed and Jones-Farmer (2015) for big data MSPM methods for
monitoring multivariate data of mixed data types are needed, e.g. mixture of categorical
and continuous data. The surveillance of big data is a research area that needs further
investigation.
3.5. MSPM and quality control in general services and education

General services as well as education may be assisted by the introduction of MSPM
monitoring. Many applications have already appeared in the literature.
Kullaa (2003) used CCs for detecting lesions in Z24 bridge in Switzerland. Deraemaeker,
Reynders, De Roeck and Kullaa (2008) used multivariate Shewhart T 2 CCs for damage
detection because of environmental changes in the structure of a bridge. Samimi and
Aghaie (2008) suggest using multivariate CCs for multivariate attribute characteristics for
monitoring of telecoms customer satisfaction and mobile production companies. It turned
out that the application of this method allows the company to promptly diagnose changes
in consumer behaviour. Cozzucoli (2009) proposed the use of a multivariate p-control
diagram for controlling categorical data while Li et al. (2013) proposed the application
of a diagnostic plan in Phase I for finding change point and the direction of change in
categorical data. Ghobadi, Noghondarian, Rassoul Noorossana and Mirhosseini (2014)
applied Phase I fuzzy multivariate CCs to control fuzzy profile data. This methodology was
developed on data from tourism where the fuzzy quality characteristic for monitoring is
tourist satisfaction. This characteristic is measured on the basis of some linguistic terms.
Guardiola, Leon and Mallor (2014) used a MEWMA CC for both Phases I and II to monitor
and recognizing patterns of daily traffic profiles. Finally, Chen and Durango-Cohen (2015)
discussed the use of MSPM for supporting structural health monitoring of transportation
infrastructure. Towards this direction they applied Hotteling T 2 control chart as well the
MEWMA and the generalized sample variance (GSV) control chart.
It seems that monitoring of profiles is a really interesting procedure that may be applied
in non-industrial services. In profile monitoring the quality of a process is described by
a function called profile, i.e. a response variable is related to one or more explanatory
variables. For a review in profile monitoring see Woodall (2007) and Noorossana, Saghaei
and Amiri (2011). More research should be done in this area, as it has been noted by
Woodall and Montgomery (2014). Finally, Faraz, Heuchenne, Saniga and Foster (2013)
applied the multivariate chart T 2 Hotelling in Phase I and Phase II for time tracking
delivery of products to customers.
MSPM techniques may be used in education. In particular MSPM techniques can be used
to monitor student progress in an electronic classroom or to check the level of students
and adapt their lectures at this level. Murgatroyd, Jones, Kola and George (2012) used
CUSUM chart for evaluating medical students in placing regional venous line (peripherial
venous cannulation). Karvounidis, Chimos, Bersimis and Douligeris (2014) used MSPM
for monitoring students performance in a pilot university course.
Since the use of MSPM techniques is still in its infancy, a lot of research could be done
in this field. So, more advanced techniques on autocorellated data as well non-paramteric
techniques may be applied in this area. The MSPM techniques could be a useful tool not
only as a mean to monitor and evaluate the performance of students but also the quality
of the whole education process, like the ranking of the schools, universities and in general
the overall education system.
4. Conclusions & discussion

Taking into account the preceded discussion, we may point out the need for looking outside
the industry for the future applications of MSPM. Open problems include among others:
(a) the identification of new promising application fields of MSPC as well as specific
cases that have to be studied in each field, (b) the mathematical formulation of models
related to identified problems, (c) the in-depth study of the models formulated and (d)
the establishment of new MSPC techniques. Future work should aim in providing the
scientific basis for new, powerful and reliable MSPC techniques for monitoring non-
industrial processes that are related with various applications. Thus, the major goal of
future work should be the improvement and extension of established MSPC tools, as well as,
the development of new and efficient techniques, motivated from thorough mathematical
investigations of the existing models, along with their natural counterparts. To fulfil the
above, it is necessary to pay special attention to the completeness and reliability during the
process of data collection.
The main challenges that the monitoring procedures for non-industrial processes
should be able to deal with are the following:
• Non-normality: Usually in non-industrial processes we may not assume any partic-
ular distribution for the original data. This poses a challenge and new appropriate
distribution free MSPM procedures are required. It should be noted that only a few
multivariate distribution free MSPM techniques have discussed until recently (see
e.g. Capizzi, 2015; Li, 2015).
• Discrete distributions: In many cases, the data are following multivariate discrete
distributions, such as multivariate Poisson distribution (Patel, 1973) which appears
to be appropriate in the case of public health monitoring (Woodall & Montgomery,
2014). In business processes, the available data in most of the cases are categorical.
MSPM techniques for categorical data are rarely discussed until recently.
• Autocorrelation: One more key point need to be considered in non-industrial pro-
cesses case in order to successfully monitor them is the fact that usually these kinds
of processes exhibit high levels of autocorrelation.
• High quality processes: A key matter that arises in case of non-industrial processes
is that many of them are considered as high-quality processes. Such a case arises
naturally in case of health surveillance.
• Individual observations: In non-industrial processes at each time point usually only
individual observations are available. Individual observations are much more difficult
to be treated, in general, since samples of sizes greater than one provide increased
flexibility of defining decision rules as well as increased ability of capturing OC
conditions.
• Adaptiveness: In most of the non-industrial applications, sampling interval, sample
size or control limits may change in real time. Thus, in this case MSPM techniques
allowing for some small temporal variation during Phase II (implementing self-
adaptive models) are needed.
• Interpretation: Interpretation of an OC signal in applications is even more complex
and challenging. In most of the cases it requires the combination of MSPM techniques
with advanced statistical techniques, such as spatial analysis (e.g. in case of air-
pollution monitoring) .
All the above challenges and their combinations that apply just as strongly to industrial
processes, provide an exceptional pool of research opportunities that may improve the
monitoring in all areas of life with the goal of improvement of quality of life (health and
environment, food and drug safety, education, etc).
Note
1. Let Y1 , . . . , Yn be independent normal random variables with a common variance σ 2 and
Y2
zero mean, then ni=1 σ i2 ∼ χ 2 .
Acknowledgements
We would like to thank the editor and the reviewers for their constructive comments and their
valuable insight in our paper, which led to its significant improvement.
Disclosure statement
No potential conflict of interest was reported by the authors.
Funding
The authors are supported by the Greek General Secretariat for Research and Technology research
funding action ‘ARISTEIA II’.
Notes on contributors
Sotirios Bersimis holds a PhD in Statistics and Probability from the University of Piraeus,
Department of Statistics and Insurance Science, an MSc in Statistics from the Athens University of
Economics and Business and a BSc in Statistics and Insurance Science from the University of Piraeus.
His PhD was funded by a scholarship from Hellenic General Secretary of Research and Technology.
He also granted a post-doctoral fellow scholarship by the Hellenic State Scholarships Foundation.
The last few years, he got many research grants from private and public sectors. Currently, he is an
assistant professor at the Department of Statistics and Insurance Science of the University of Piraeus
(sbersim@unipi.gr).
Aggeliki Sgora received her BSc in Mathematics and her MSc in Technologies and Management
of Information and Communication Systems, as well as, her PhD in Computer Networks from the
University of the Aegean. From 2010, she is a research associate at the University of Piraeus and she
has been actively involved in a number of European and national research projects. Her research
interests include communication networks; she has several publications in journals, books, and
conference proceedings. She is also a reviewer in several journals.
Stelios Psarakis graduated (PhD 1993) from the Athens University of Economics and Business. He is
a professor at the Department of Statistics of the Athens University of Economics and Business. His
research interests include developments in statistical process monitoring and distribution theory
(psarakis@aueb.gr).
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Quality Technology & Quantitative Management

ISSN: (Print) 1684-3703 (Online) Journal homepage: http://www.tandfonline.com/loi/ttqm20

The application of multivariate statistical process

Sotiris Bersimis, Aggeliki Sgora & Stelios Psarakis

To link to this article: https://doi.org/10.1080/16843703.2016.1226711

Published online: 14 Sep 2016.

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The application of multivariate statistical process monitoring

ABSTRACT ARTICLE HISTORY

CONTACT Stelios Psarakis psarakis@aueb.gr

© 2016 International Chinese Association of Quantitative Management

The CC is used to determine whenever the monitored process is statistically IC or

multivariate process of interest in numerous economic and ﬁnancial applications,

2. Techniques supporting MSPM use in the non-industrial context

2.1. MSPM techniques for continuous processes

2.2. MSPM techniques for discrete processes

3. MSPM applications in non-industrial context

3.1. MSPM as a tool for health protection

3.1.2. Safeguarding pharmaceutical, diagnostic and clinical safety

3.1.3. Food safety

3.2. MSPM as a tool for monitoring the natural environment

Ortiz-Estarelles, Martın-Biosca, Medina-Hernández, Sagrado, and Bonet-Domingo

3.3. MSPM as a decision tool in finance

3.4. MSPM application fields in information technology and telecommunications

3.4.1. MSPM techniques and IT security

3.4.2. MSPM techniques in social networking

3.4.3. MSPM techniques and network performance

3.4.4. MSPM techniques in image-based process monitoring

3.5. MSPM and quality control in general services and education

4. Conclusions & discussion

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