Combining the least correlation design, wavelet packet transform and correlation coefficient test to reduce the size of calibration set for NIR quantitative analysis in multi-component systems

The paper focuses on solving a common and important problem of NIR quantitative analysis in multi-component systems: how to significantly reduce the size of the calibration set while not impairing the predictive precision. To cope with the problem orthogonal discrete wavelet packet transform (WPT), the least correlation design and correlation coefficient test (r-test) have been combined together. As three examples, a two-component carbon tetrachloride system with 21 calibration samples, a two-component aqueous system with 21 calibration samples, and a two-component aqueous system with 41 calibration samples have been treated with the proposed strategy, respectively. In comparison with some previous methods based on much more calibration samples, the results out of the strategy showed that the predictive ability was not obviously decreased for the first system while being clearly strengthened for the second one, and the predictive precision out of the third one was even satisfactory enough for most cases of quantitative analysis. In addition, all important factors and parameters related to our strategy are discussed in detail.     

Classification and quantification analysis of Radix scutellariae from different origins with near infrared diffuse reflection spectroscopy

A rapid near infrared spectroscopy analysis method was developed for the geographical origin discrimination and content determination of Radix scutellariae, a kind of Traditional Chinese Medicine (TCM). 81 R. scutellariae samples from six different origins were analyzed with HPLC-UV as reference method. The NIR spectra were collected in integrating-sphere diffused reflection mode and processed with different spectra pretreated methods. Discriminant analysis (DA) and discriminant partial least squares (DPLS) were applied to classify the geographical origins of those samples, and the latter had a better predictive ability with 100% accuracy after two exceptional samples eliminated from the calibration set. For the quantitative calibration, the samples were divided into calibration set and validation set by Kennard-Stone algorithm. The models of baicalin, wogonoside, baicalein, wogonin were established with partial least squares (PLS) algorithm and the optimal principal component (PC) numbers were selected with Leave-One-Out (LOO) cross-validation. The established models were evaluated with the root mean square error of prediction (RMSEP) and corresponding correlation coefficients. The correlation coefficients of all the four calibration models are above 0.920, and the RMSEPs of baicalin, wogonoside, baicalein and wogonin are 0.752%, 0.094%, 0.418% and 0.139%, respectively. This research indicated that the NIR diffuse reflection spectroscopy could be used for the rapid analysis of R. scutellariae, which is beneficial to the quality control of this raw material in TCM pharmaceutical factory, and will also help to solve analogous problems.     

Using near-infrared process analysis to study gas-solid adsorption process as well as its data treatment based on artificial neural network and partial least squares

This paper demonstrates the application of near-infrared (NIR) process analysis to study gas-solid adsorption process non-invasively: its experimental setup, data treatment, and potentials as a convenient tool to investigate the gas-solid adsorption process. The experimental setup includes a differential adsorption bed (DAB) monitored by a NIR spectrometer via an optical fiber probe, which makes it convenient and reliable to construct adsorption mass-transfer models. A chemometrics strategy based on back propagation-artificial neural network (BP-ANN) and partial least squares (PLS) has been developed to treat NIR spectra collected during the adsorption process because of the obvious nonlinearity in concentration prediction. This nonlinear problem results from the great concentration variation of the adsorbate adsorbed by the adsorbent during the whole adsorption process, the extraordinarily low concentration of the adsorbed adsorbate at the beginning of the process, and probably NIR distinction between the adsorbate on the first adsorption layer at the beginning of the process and that on the other layers afterward. With the strategy, NIR spectra are pretreated with PLS for data compression and noise reduction, and then a BP-ANN is built as the nonlinear calibration model. As compared with linear calibration algorithm, our strategy has the higher predication ability for the whole adsorption process, even with less calibration samples. Finally, as an example the kinetics of aniline-silica gel adsorption process has been studied through the experimental setup and chemometrics strategy.     

An ensemble method based on a self-organizing map for near-infrared spectral calibration of complex beverage samples

Based on a so-called ensemble strategy, an algorithm is proposed for near-infrared (NIR) spectral calibration of complex beverage samples. This algorithm is a combination of a novel training set/test set sample-selection procedure based on a Kohonen self-organizing map (SOM) with a simple procedure to calculate an average partial least-squares (PLS) calibration model, which is therefore named SOMEPLS. In order to verify the proposed SOMEPLS, two NIR beverage datasets involving the determination of sugar content are considered, and three kinds of reference algorithm, i.e., conventional PLS (CPLS), the Kennard-Stone (KS) algorithm in combination with PLS (KSPLS), and sample set partitioning based on the joint x-y distance (SPXY) algorithm in combination with PLS (SPXYPLS), are used. Of these, both KS and SPXY are well-known representative sample-selection algorithms. By comparison, it was found that when there is a training set of appropriate size, SOMEPLS can achieve better prediction accuracy than the three reference algorithms, but without increasing the complexity of the corresponding calibration model for the future application, indicating that SOMEPLS can serve as a promising tool for NIR spectral calibration.     

Feasibility study on qualitative and quantitative analysis in tea by near infrared spectroscopy with multivariate calibration

This study attempted the feasibility to use near infrared (NIR) spectroscopy as a rapid analysis method to qualitative and quantitative assessment of the tea quality. NIR spectroscopy with soft independent modeling of class analogy (SIMCA) method was proposed to identify rapidly tea varieties in this paper. In the experiment, four tea varieties from Longjing, Biluochun, Qihong and Tieguanyin were studied. The better results were achieved following as: the identification rate equals to 90% only for Longjing in training set; 80% only for Biluochun in test set; while, the remaining equal to 100%. A partial least squares (PLS) algorithm is used to predict the content of caffeine and total polyphenols in tea. The models are calibrated by cross-validation and the best number of PLS factors was achieved according to the lowest root mean square error of cross-validation (RMSECV). The correlation coefficients and the root mean square error of prediction (RMSEP) in the test set were used as the evaluation parameters for the models as follows: R = 0.9688, RMSEP = 0.0836% for the caffeine; R = 0.9299, RMSEP = 1.1138% for total polyphenols. The overall results demonstrate that NIR spectroscopy with multivariate calibration could be successfully applied as a rapid method not only to identify the tea varieties but also to determine simultaneously some chemical compositions contents in tea.     

NIR analysis of pharmaceutical samples without reference data: improving the calibration

Using an appropriate set of samples to construct the calibration set is crucial with a view to ensuring accurate multivariate calibration of NIR spectroscopic data. In this work, we developed and optimized a new methodology for incorporating physical variability in pharmaceutical production based on the NIR spectrum for the process. Such a spectrum contains the spectral changes caused by each treatment applied to the component mixture during the production process. The proposed methodology involves adding a set of process spectra (viz. difference spectra between those for production tablets and a laboratory mixture of identical nominal composition) to the set of laboratory samples, which span the wanted concentration range, in order to construct a calibration set incorporating all physical changes undergone by the samples in each step of the production process. The best calibration model among those tested was selected by establishing the influence of spectral pretreatments used to obtain the process spectrum and construct the calibration models, and also by determining the multiplying factor m to be applied to the process spectra in order to ensure incorporation of all variability sources into the calibration model. The specific samples to be included in the calibration set were selected by principal component analysis (PCA). To this end, the new methodology for constructing calibration sets for determining the Active Principle Ingredients (API) and excipients was applied to Irbesartan tablets and validated by application to the API and excipients of paracetamol tablets. The proposed methodology provides simple, robust calibration models for determining the different components of a pharmaceutical formulation.     

主成分分析-支持向量回归建模方法及应用研究

将主成分分析(PCA)用于近红外光谱的特征提取,并与支持向量回归(SVR)相结合,实现了主成分分析-支持向量回归(PCA-SVR)用于近红外光谱定量分析的建模方法。与单纯的SVR方法相比,不仅提高了运算速度,而且提高了模型的预测准确度。将PCA-SVR方法用于烟草样品中总糖和总挥发碱含量的测定,所得结果的预测均方根误差分别为1.323和0.0477;回收率分别为91.8%~112.6%和88.9%~120.2%。     

粒子群算法结合支持向量机回归法用于近红外光谱建模

研究了最小二乘法支持向量机(LSSVM)应用于烟丝样品和小麦样品的近红外光谱建模,采用粒子群优化算法(PSO)优化LSSVM的参数。通过对烟草样品和小麦样品的近红外光谱建模和预测,并与常规的偏最小二乘法(PLS)比较发现,PSO-LSSVM法具有更好的预测效果和稳健性。     

A method for near-infrared spectral calibration of complex plant samples with wavelet transform and elimination of uninformative variables

An algorithm is proposed for extracting relevant information from near-infrared (NIR) spectra for multivariate calibration of routine components in complex plant samples. The algorithm is a combination of wavelet transform (WT) data compression and a procedure for uninformative variable elimination (UVE). After compression of the NIR spectra by WT, the UVE approach is used to eliminate the irrelevant wavelet coefficients. Finally, a calibration model is built from the retained wavelet coefficients to enable prediction. Because irrelevant information can be removed from the spectra used for multivariate calibration, the model based on the extracted relevant features is better than those obtained with full-spectrum data. Both prediction precision and calculation speed are improved.     

Discrimination of Ganoderma lucidum according to geographical origin with near infrared diffuse reflectance spectroscopy and pattern recognition techniques

A rapid and nondestructive near infrared (NIR) method combined with chemometrics was used to discriminate Ganoderma lucidum according to cultivation area. Raw, first, and second derivative NIR spectra were compared to develop a robust classification rule. The chemical properties of G. lucidum samples were also investigated to find out the difference between samples from six varied origins. It could be found that the amount of polysaccharides and triterpenoid saponins in G. lucidum samples was considerably different based on cultivation area. These differences make NIR spectroscopic method viable. Principal component analysis (PCA), discriminant partial least-squares (DPLS) and discriminant analysis (DA) were applied to classify the geographical origins of those samples. The results showed that excellent classification could be obtained after optimizing spectral pre-treatment. For the discriminating of samples from three different provinces, DPLS provided 100% correct classifications. Moreover, for samples from six different locations, the correct classifications of the calibration as well as the validation data set were 96.6% using the DA method after the SNV first derivative spectral pre-treatment. Overall, NIR diffuse reflectance spectroscopy using pattern recognition was shown to have significant potential as a rapid and accurate method for the identification of herbal medicines.     

Development of a rapid process monitoring method for dry-coated tableting process by using near-infrared spectroscopy

A nondestructive transmittance near-infrared (NIR) method for detecting off-centered cores in dry-coated (DC) tablets was developed as a monitoring system in the DC tableting process. Caffeine anhydrate was used as a core active pharmaceutical ingredient (API), and DC tablets were made by the direct compression method. NIR spectra were obtained from these intact DC tablets using the transmittance method. The reference assay was performed with HPLC. Calibration models were generated by partial least squares (PLS) regression and principal component regression (PCR) utilizing external validations. Hierarchical cluster analysis (HCA) of the results confirmed that NIR spectroscopy correctly detected off-centered cores in DC tablets. We formulated and used the Centering Index (CI) to evaluate the precision of core alignment and generated an NIR calibration model that could correctly predict this index. The principal component (PC) 1 loading vector of the final calibration model indicated that it could specifically detect the misalignment of tablet cores. The model also had good linearity and accuracy. The CIs of unknown sample tablets predicted by the final calibration model and those calculated through the HPLC analysis were closely parallel with each other. These results demonstrate the validity of the final calibration model and the utility of the transmittance NIR spectroscopic method developed in this study as a monitoring system in DC tableting process.     

Determination of α-linolenic acid and linoleic acid in edible oils using near-infrared spectroscopy improved by wavelet transform and uninformative variable elimination

This paper proposes an analytical method for simultaneous near-infrared (NIR) spectrometric determination of α-linolenic and linoleic acid in eight types of edible vegetable oils and their blending. For this purpose, a combination of spectral wavelength selection by wavelet transform (WT) and elimination of uninformative variables (UVE) was proposed to obtain simple partial least square (PLS) models based on a small subset of wavelengths. WT was firstly utilized to compress full NIR spectra which contain 1413 redundant variables, and 42 wavelet approximate coefficients were obtained. UVE was then carried out to further select the informative variables. Finally, 27 and 19 wavelet approximate coefficients were selected by UVE for α-linolenic and linoleic acid, respectively. The selected variables were used as inputs of PLS model. Due to original spectra were compressed, and irrelevant variables were eliminated, more parsimonious and efficient model based on WT-UVE was obtained compared with the conventional PLS model with full spectra data. The coefficient of determination (r²) and root mean square error prediction set (RMSEP) for prediction set were 0.9345 and 0.0123 for α-linolenic acid prediction by WT-UVE-PLS model. The r² and RMSEP were 0.9054, 0.0437 for linoleic acid prediction. The good performance showed a potential application using WT-UVE to select NIR effective variables. WT-UVE can both speed up the calculation and improve the predicted results. The results indicated that it was feasible to fast determine α-linolenic acid and linoleic acid content in edible oils using NIR spectroscopy.     

Comparison of performance of partial least squares regression,secured principal component regression,and modified secured principal component regression for determination of human serum albumin, γ-globulin and glucose in buffer solutions and in vivo blood glucose quantification by near-infrared spectroscopy

The performances of three multivariate analysis methods—partial least squares (PLS) regression, secured principal component regression (sPCR) and modified secured principal component regression (msPCR)—are compared and tested for the determination of human serum albumin (HSA), γ-globulin, and glucose in phosphate buffer solutions and blood glucose quantification by near-infrared (NIR) spectroscopy. Results from the application of PLS, sPCR and msPCR are presented, showing that the three methods can determine the concentrations of HSA, γ-globulin and glucose in phosphate buffer solutions almost equally well provided that the prediction samples contain the same spectral information as the calibration samples. On the other hand, when some potential spectral features appear in new measurements, sPCR and msPCR outperform PLS significantly. The reason for this is that such spectral features are not included during calibration, which leads to a degradation in PLS prediction performance, while sPCR and msPCR can improve their predictions for the concentrations of the analytes by removing the uncalibrated features from the original spectra. This point is demonstrated by successfully applying sPCR and msPCR to in vivo blood glucose measurements. This work therefore shows that sPCR and msPCR may provide possible alternatives to PLS in cases where some uncalibrated spectral features are present in measurements used for concentration prediction.     

An adaptive strategy for selecting representative calibration samples in the continuous wavelet domain for near-infrared spectral analysis

Sample selection is often used to improve the cost-effectiveness of near-infrared (NIR) spectral analysis. When raw NIR spectra are used, however, it is not easy to select appropriate samples, because of background interference and noise. In this paper, a novel adaptive strategy based on selection of representative NIR spectra in the continuous wavelet transform (CWT) domain is described. After pretreatment with the CWT, an extension of the Kennard–Stone (EKS) algorithm was used to adaptively select the most representative NIR spectra, which were then submitted to expensive chemical measurement and multivariate calibration. With the samples selected, a PLS model was finally built for prediction. It is of great interest to find that selection of representative samples in the CWT domain, rather than raw spectra, not only effectively eliminates background interference and noise but also further reduces the number of samples required for a good calibration, resulting in a high-quality regression model that is similar to the model obtained by use of all the samples. The results indicate that the proposed method can effectively enhance the cost-effectiveness of NIR spectral analysis. The strategy proposed here can also be applied to different analytical data for multivariate calibration.     

Determination of effective wavelengths for discrimination of fruit vinegars using near infrared spectroscopy and multivariate analysis

Near infrared (NIR) spectroscopy based on effective wavelengths (EWs) and chemometrics was proposed to discriminate the varieties of fruit vinegars including aloe, apple, lemon and peach vinegars. One hundred eighty samples (45 for each variety) were selected randomly for the calibration set, and 60 samples (15 for each variety) for the validation set, whereas 24 samples (6 for each variety) for the independent set. Partial least squares discriminant analysis (PLS-DA) and least squares-support vector machine (LS-SVM) were implemented for calibration models. Different input data matrices of LS-SVM were determined by latent variables (LVs) selected by explained variance, and EWs selected by x-loading weights, regression coefficients, modeling power and independent component analysis (ICA). Then the LS-SVM models were developed with a grid search technique and RBF kernel function. All LS-SVM models outperformed PLS-DA model, and the optimal LS-SVM model was achieved with EWs (4021, 4058, 4264, 4400, 4853, 5070 and 5273 cm⁻¹) selected by regression coefficients. The determination coefficient (R²), RMSEP and total recognition ratio with cutoff value ±0.1 in validation set were 1.000, 0.025 and 100%, respectively. The overall results indicted that the regression coefficients was an effective way for the selection of effective wavelengths. NIR spectroscopy combined with LS-SVM models had the capability to discriminate the varieties of fruit vinegars with high accuracy.     

Analysis of partially resolved liquid chromatographic peaks using dynamic modeling with the kalman filter

Establishing a calibration model is an important part of any mathematical method for multi-component determination. Use of a calibration model based on single spectra is subject to error, because the model spectrum chosen may not be representative of the response over the full range of the calibration. Alternative calibration models require more time to establish calibration, an these may not be convenient for real-time determinations. A novel calibration method is reported for use with Kalman filters. The method, dynamic modeling, is based on the use of libraries of calibration spectra. The set of used to describe the model at any time is based on component concentrations, estimated for the multi-component mixture, as determined from the Kalman filter, so that several spectra can be used to best describe a varying response. Through application of the dynamic modelingt to simulated and real chromatograms, it is demonstrated that use of the method decreases estimation errors cause by model data mismatches, and that full benefit can be obtained from relatively small libraries.     

Elimination of interference information by a new hybrid algorithm for quantitative calibration of near infrared spectra

A new hybrid algorithm is proposed to eliminate the interference information for multivariate calibration of near-infrared (NIR) spectra that includes noise, background and systemic spectral variation irrelevant to concentration. The method consists of two parts: approximate derivative based on continuous wavelet transform (CWT) and orthogonal signal correction (OSC). After the approximate derivative calculated by CWT, OSC was performed. It was successfully applied to real complex NIR spectral data to eliminate the interference information. Correction for the interference of NIR spectra resulted in a substantial improvement in the predicted precision, and a more concise calibration model was obtained. The proposed procedure also compared favourably with several pretreatment methods, and the new method appears to provide a high-performance pretreatment tool for multivariate calibration of NIR spectra. In addition, the strategy proposed here can be applied to various other spectral data for quantitative purposes as well.     

Near-infrared spectroscopic determination of human serum albumin, γ-globulin, and glucose in a control serum solution with searching combination moving window partial least squares

Near-infrared (NIR) spectra in the region of 5000-4000 cm⁻¹ with a chemometric method called searching combination moving window partial least squares (SCMWPLS) were employed to determine the concentrations of human serum albumin (HSA), γ-globulin, and glucose contained in the control serum IIB (CS IIB) solutions with various concentrations. SCMWPLS is proposed to search for the optimized combinations of informative regions, which are spectral intervals, considered containing useful information for building partial least squares (PLS) models. The informative regions can easily be found by moving window partial least squares regression (MWPLSR) method. PLS calibration models using the regions obtained by SCMWPLS were developed for HSA, γ-globulin, and glucose. These models showed good prediction with the smallest root mean square error of predictions (RMSEP), the relatively small number of PLS factors, and the highest correlation coefficients among the results achieved by using whole region and MWPLSR methods. The RMSEP values of HSA, γ-globulin, and glucose yielded by SCMWPLS were 0.0303, 0.0327, and 0.0195 g/dl, respectively. These results prove that SCMWPLS can be successfully applied to determine simultaneously the concentrations of HSA, γ-globulin, and glucose in complicated biological fluids such as CS IIB solutions by using NIR spectroscopy.     

A new regression method based on independent component analysis

Based on independent component analysis (ICA), a new regression method, independent component regression (ICR), was developed to build the model of NIR spectra and the routine components of plant samples. It is found that ICR and principal component regression (PCR) are completely equivalent when they are applied in quantitative prediction. However, independent components (ICs) can give more chemical explanation than principal components (PCs) because independence is a high-order statistic that is a much stronger condition than orthogonality. Three ICs are obtained by ICA from the NIR spectra of plant samples; it is found that they are strongly correlated to the NIR spectra of water, hydrocarbons and organonitrogen compounds, respectively. Therefore, ICA may be a promising tool to retrieve both quantitative and qualitative information from complex chemical data sets.     

Discrimination of Osteonecrosis and Normal Tissues by Near-Infrared Spectroscopy and Successive Projections Algorithm-Linear Discriminant Analysis

Osteonecrosis of femoral head (ONFH) is a disease characterized by an impaired blood flow in the bone. The pathogenesis is still unknown, which makes an exact diagnosis troublesome and heavily dependent on experience. Exploring the information of molecular level by modern spectroscopy may help to discover the underlying pathogenesis and find its diagnostic application in clinical medicine. The study focuses on the combination of near-infrared (NIR) spectroscopy and classification models for discriminating ONFH and normal tissues. A total of 128 surgical specimens was prepared and NIR spectra were recorded by an integrating sphere. The experiment data set was divided into three subsets, i.e., the training set, validation set, and test set. Successive projection algorithm-linear discriminant analysis (SPA-LDA) was used to compress variables and build the diagnostic model. Partial least square-discriminant analysis (PLS-DA) was used as the reference. Principal component analysis (PCA) was used for exploratory analysis. The results showed that compared to PLS-DA, SPA-LDA provided a more parsimonious model using only seven variables and achieved better performance, i.e., sensitivity of 90.5 and 85%, and specificity of 100 and 95.5% for the validation and test sets, respectively. It indicated that NIR spectroscopy combined with SPA-LDA algorithm was a feasible aid tool for discriminating ONFH from normal tissue.