PriMa-Causa: Causal Prescriptive Maintenance
Abstract
Automated manufacturing requires data-driven decisions under uncertainty and sparse observational records, and unplanned downtime is a dominant cost of getting them wrong. Prescriptive maintenance recommends a maintenance action against an impending failure rather than merely predicting it. Established reference architectures couple predictive models with rule- or optimisation-based recommendation logic. Selecting a corrective action, however, requires an interventional quantity: how the line behaviour would change if the action were set. Manufacturing data is observational, so a model fitted to predict the outcome estimates an associational quantity and may misdirect the choice of action without the prediction error revealing it. Causal estimators target the interventional quantity but require an expert-led causal study per case, for which the bounded decision window of operation leaves no room. This dissertation analyses how causal reasoning can be embedded into prescriptive maintenance so that actions are ranked by their estimated interventional effect. The result is PriMa-Causa, built from three components: a causal reasoning layer that integrates the estimate into the PriMa reference model, a parametric simulator that supplies the interventional ground truth absent from manufacturing data, and a graph-conditioned tabular causal foundation model that, pre-trained once on this synthetic production-line prior, answers interventional queries in a single forward pass. PriMa-Causa attains a lower prescription error than associational baselines, with the largest margin under weak overlap and sparse context, and a partially disclosed causal graph reduces this error further. The causal inductive bias of the synthetic prior and the graph conditioning can thus replace per-case estimator fitting, a step toward automating causal inference for autonomous and self-healing maintenance.
Figures & tables
| Symbol | Meaning |
|---|---|
| Process variables and sets | |
| Endogenous process variables of the production system. | |
| Intervention target (the variable set by ). | |
| Intervention level assigned to . | |
| Decision-relevant outcome variable, typically a recovery- or quality-related key performance indicator such as MTTR . | |
| Desired outcome regime of , a set of outcome values. | |
| RQ | Focus | Research gaps | Design objectives | Addressed in |
|---|---|---|---|---|
| RQ1 | design | RG1, RG4 | DO1, DO4 | Ch. 4 |
| RQ2 | instantiation | RG2, RG3 | DO2, DO3 | Ch. 5 , Ch. 6 |
| RQ3 | evaluation | RG2, RG3 | DO2, DO3 | Ch. 7 , Ch. 8 |
| # | Layer (Formalism) | Activity | Typical Question | PsM Example |
|---|---|---|---|---|
| 1 | Association | Seeing | What is? How does change the belief in ? | Does elevated process temperature predict a higher seal-defect rate? |
| 2 | Intervention | Doing | What if? What happens if is set? | Will recalibrating the sealing station reduce the seal-defect rate? |
| 3 | Counterfactual | Imagining | Why? Was it that caused ? | Had the sealing station been recalibrated, would this stop still have occurred? |
| Symbol | Meaning |
|---|---|
| Variables and queries | |
| Endogenous process variables. | |
| , | Intervention target and intervention level. |
| , | Outcome variable (such as MTTR ) and desired outcome regime. |
| Mode-2 candidate-outcome set. | |
| , | Pre-intervention decision-time context and its observed realisation. |
| Type | Description | Manufacturing example |
|---|---|---|
| Hard (atomic) | is set to a fixed value. | Fix process temperature to . |
| Stochastic | is drawn from a fixed distribution. | Sample process temperature from . |
| Conditional | is set as a function of the observed context. | Set process temperature to , where is line speed. |
| ID | Source | Design objective |
|---|---|---|
| DO1 | RG1 | Introduce causal inductive bias as a structural component of the prescriptive-maintenance framework rather than as an after-the-fact correction on a predictive output. |
| DO2 | RG2 | Provide an end-to-end methodology that connects predictive triggers, causal reasoning, and validated interventional recommendations under explicit identification conditions and across multiple evaluation regimes. |
| DO3 | RG3 | Operate under the data and knowledge regimes characteristic of FMCG manufacturing. |
| DO4 | RG4 | Integrate root-cause evidence with action selection while preserving the analytical separation between causal diagnosis, candidate-action generation, and prescriptive recommendation. |
| ID | Source | Meta-requirement |
|---|---|---|
| MR1 | DO1 | Insert a causal reasoning layer between the predictive-analytics layer and the bridge (Figure 3 ) such that the four PriMa layers remain structurally intact. |
| MR2 | DO1, DO2 | Classify each case into a decision mode based on the descriptors , carrying the structural completeness forward in the case frame (Subsection 2 ). |
| MR3 | DO1, DO2 | Specify each prescriptive query through the tuple and a decision objective, with as the intervention target, as the intervention level, as pre-intervention context, and as the recovery- or quality-oriented outcome. |
| MR4 | DO1 | Justify each recommendation through an interventional quantity of the form derived from the mode-specific target , rather than through an associational predictive score. |
| MR5 | DO1, DO3 | Operationalise prior knowledge through the constraint map , with the structural completeness explicit at decision time. |
| MR6 | DO3 | Remain usable under data-sparse manufacturing conditions, including missingness, measurement error, non-stationarity, closed-loop control, and partially observed causal structure (Subsection 4 ). |
| Principle | Specification |
|---|---|
| DP1. Separate diagnosis from prescription | Aim. Preserve the analytical separation between root-cause identification and action selection. Context. Mode-3 cases that begin with an observed deviation in and an unknown intervention target. Mechanism. Diagnostic evidence enters only as a restriction on . The prescription is derived from , not from the diagnostic score directly. Rationale. Conflating diagnosis and prescription leaves recommendations structurally unjustified (DO4). Sources. MR4, MR9, MR10. |
| DP2. Restrict intervention targets to intervenable variables | Aim. Avoid prescribing on variables that cannot be changed through maintenance, control, or operator action. Context. All modes involving action selection (Modes 1, 2, and 3). Mechanism. The role map assigns each variable an intervention-target, context, outcome, post-intervention-descendant, or excluded label. Only variables labelled as intervention target enter . Rationale. The operator is formally defined irrespective of physical manipulability [ 19 ] . A prescriptive recommendation, however, is executable only if corresponds to a controllable degree of freedom. A variable that cannot be set through maintenance, control, or operator action yields a recommendation that cannot be carried out, so non-actuatable variables and observed outcomes are excluded from the candidate target set. Sources. MR3, MR5, MR10. |
| DP3. Resolve reverse questions through forward intervention logic | Aim. Convert reverse causal questions into actionable forward queries. Context. Mode 3, where the intervention target is unspecified at decision time. Mechanism. The reverse question is reframed as a finite set of forward queries over , with restricted to pre-intervention decision context. Rationale. Reverse causal questions rarely admit a unique answer [ 89 ] . Forward -queries yield comparable, rank-able fix-condition evidence, trading explanatory completeness about the origin of the deviation for decision-relevant comparability among the available candidate actions. Sources. MR2, MR3, MR4. |
| DP4. Operationalise prior knowledge | Aim. Move manufacturing knowledge from informal background to machine-usable inductive bias. Context. All decision modes and all CRL blocks, parametrised by the structural completeness . Mechanism. The constraint map binds graph search, candidate actions, variable-role assignment, and identification constraints into a single object available at each CRL block. Rationale. Knowledge constrains PriMa-Causa only once it is encoded in machine-usable form. Informal expertise alone does not justify causal identification. Sources. MR5. |
| DP5. Make uncertainty decision-relevant | Aim. Couple recommendation behaviour to the uncertainty of the underlying evidence. Context. The robust recommendation synthesis block of the CRL (Section 5 ), regardless of mode. Mechanism. The recommendation object carries a recommendation status ( recommend , return alternatives , abstain , escalate ) jointly with the qualified scores and their uncertainty diagnostics. Rationale. Uncertainty reported only as an auxiliary statistic does not change the recommended action and therefore does not lower the decision risk. Coupling the recommendation status to the uncertainty of the estimate makes the diagnostic operationally consequential. Sources. MR11. |
| DP6. Optimise under operational constraints | Aim. Align causal effectiveness with operational feasibility. Context. Ranking within the robust recommendation synthesis block, whenever candidate actions differ in operational cost, feasibility, or risk, including, but not limited to, ties in interventional outcome. Mechanism. The qualified scores attached to each candidate action combine the interventional estimate with cost, downtime budget, safety, production-planning, and implementation-latency constraints. Rationale. A causally effective action is not automatically the preferred action under plant constraints. Sources. MR12. |
| Step | Purpose | Standards and guidelines |
|---|---|---|
| Detect | Detect deviations in quality-related key performance indicators (such as scrap rate, rework rate, first-pass yield, or OEE ). | ISO 22400-2 [ 94 ] ; ISO 11462 [ 95 ] ; ISO 7870 [ 96 , 97 ] |
| Contain | Isolate affected products, batches, or process segments to limit immediate impact. | ISO 9001:2026, cl. 8.7 [ 98 ] |
| Localise | Identify the affected station, machine, product variant, shift, material batch, or process window. | ISO 11462 [ 95 ] ; ISO 7870 [ 96 , 97 ] ; ISA 95 / IEC 62264 [ 99 ] |
| Diagnose | Identify the failure mode and most plausible root cause of the quality deviation. | IEC 62740 [ 100 ] ; IEC 60812 [ 101 ] ; IEC 61025 [ 102 ] |
| Decide / Prescribe | Select a corrective intervention based on the diagnosed cause and expected effect on the key performance indicator. | ISO 9001:2026, cl. 10.2 [ 98 ] |
| Fix and Verify | Implement the corrective action and verify recovery of the quality-related key performance indicator. | DIN 31051 [ 103 ] ; DIN EN 13306 [ 104 ] ; ISO 9001:2026, cl. 10.2 [ 98 ] |
| Dataset | Domain | Provenance | ||
|---|---|---|---|---|
| AI4I [ 117 ] | discrete manufacturing, predictive maintenance | 10,000 | 6 | synthetic |
| CBM [ 118 ] | naval gas-turbine propulsion, condition monitoring | 11,934 | 14 | calibrated simulator |
| Hydraulic [ 119 ] | hydraulic test rig, condition monitoring | 2,205 | 17 | real (test rig) |
| SECOM [ 120 ] | semiconductor manufacturing, process control | 1,567 | 30 | real (production line) |
| Steel [ 121 ] | steel-plate fault inspection | 1,941 | 25 | real (inspection) |
| Rung | model.trt | overlap.trt | model.rsp | alignment | te.hetero |
|---|---|---|---|---|---|
| R1_easy | linear | full | linear | 0.75 | none |
| R2_mild | polynomial | full | linear | 0.75 | none |
| R3_hard | polynomial | one-term | exponential | 0.25 | none |
| R4_severe | polynomial | one-term | exponential | 0.25 | high |
| Source | Architectural realisation |
|---|---|
| MR3 | The treatment token and its role embedding bind each forward pass to the queried treatment-outcome pair and separate the observational from the interventional regime. |
| MR4 | The supervision is drawn under the truncated factorisation, so the output is an interventional distribution rather than an associational score. |
| MR5, DP4 | The three-valued ancestor encoding is consumed as a learned attention bias, the single entry point of the constraint map . |
| MR6 | Amortised pre-training and frozen weights answer a case in one forward pass without per-case fitting. |
| MR7, DP8 | Identifiability and support are gated upstream per tensor cell, and only admissible cells are estimated. |
| MR7, DP8 | Conditioning is restricted to the pre-intervention context, so no descendant of enters. |
| Principle | Realisation in the demonstrator | Reference |
|---|---|---|
| MR2 | Automatic framing of the observed deviation into Mode 3 when a case is opened | Fig. 5 |
| DP3 | Candidate interventions ranked through forward interventional queries of the pre-trained model | Fig. 6 |
| DP5, MR11 | Ranking coupled to the predictive uncertainty through intervals in the forest plot | Fig. 6 |
| DP7 | Observed outcomes recorded as interventional evidence that informs subsequent cases | Fig. 7 |
| DP8, MR7 | Evidence panel with the adjusted confounder and the excluded mediator of the estimate | Fig. 7 |
| MR13 | Per-case audit trail with model checkpoint, knowledge level , and identification basis | Fig. 7 |
| EH | Hyp. | RG | MR | DP | Mode / float |
|---|---|---|---|---|---|
| EH1 | (i) | RG2 | MR4, MR8 | – | M1 / Fig. 2 , Fig. 3 |
| EH2 | – | RG3 | MR5 | DP4 | M1 / Fig. 4 , Tab. 2 |
| EH3 | (i) | RG3 | MR6 | – | M1 / Fig. 5 , Fig. 6 |
| EH4 | – | RG3 | MR12 | DP6 | M1 / Fig. 7 |
| EH5 | – | RG3 | MR6, MR13 | DP7 | M1 / Fig. 8 , Fig. 9 |
| EH6 | (i) | RG3 | MR7 | DP8 | M1 / Fig. 10 |
| Mechanism | Structural family | no graph | full graph | reduction | instances improved |
|---|---|---|---|---|---|
| nonlinear | mediator (T1) | ||||
| linear | control (T0) | ||||
| linear | mediator (T1) |
| Level shift | Dispersion | Masked | ||||
|---|---|---|---|---|---|---|
| Method | ||||||
| PC-wg | / | / | / | / | / | / |
| PC-ng | / | / | / | / | / | / |
| GCM-IDI | / | / | / | / | / | / |
| CF attribution | – | / | – | / | – | / |
| Anomaly rank | / | / | / | / | / | / |
| Level shift | Dispersion | |||||
|---|---|---|---|---|---|---|
| Method | none | ordered | complete | none | ordered | complete |
| PC-wg | – | – | ||||
| PC-ng | ||||||
| GCM-IDI | – | – | ||||
| Anomaly rank | ||||||
| Traversal | – | – | ||||
| Model | Profile area (% of max) |
|---|---|
| PC-wg | |
| PC-ng | |
| ML-X | |
| ML-S | |
| ML-T | |
| Causal Forest |
| Software artefact | Realisation | Source |
|---|---|---|
| Production-line data generator | Causal Process Graph sampler, synthetic SCM pipeline, and semi-synthetic anchoring on real industrial covariates | Ch. 5 |
| Pre-trained PriMa-Causa foundation model | Graph-conditioned interventional estimator, released with implementation, training configuration, and weights | Ch. 6 |
| Line-deployed software demonstrator | Causal reasoning runtime and operator console on the edge gateway, with the troubleshooting application on mobile and head-mounted devices (co-developed with Dropslab Technologies) | Ch. 7 |
| Boundary | What lies outside the validated scope | Source |
|---|---|---|
| Sensor and process layer | Recovery of latent physical mechanisms (the framework narrows the search space for actionable levers). | Subsec. 2 |
| Static interventional scope | Counterfactual reasoning, time-varying structures, and latent-confounder identification. | Sec. 1 |
| Controlled ground truth | Realised gain of the recommendation policy in closed-loop field operation (accuracy is verified on synthetic and semi-synthetic data with real covariates, Mode 2 is untested, Mode 3 is tested synthetically). | [ 14 , 106 ] , Sec. 5 , 9 |
| Offline prior match | Query-time check of whether a case lies within the pre-training prior (the match is established offline). | Sec. 2 , 6 , [ 138 , 139 ] |
| Fixed architecture | Lines wider than the -variable input layout without reduction or retraining. | Subsec. 1 |
| Tool or tool class | Provider / Reference | Use in the dissertation |
|---|---|---|
| DeepL | https://www.deepl.com | Translation and writing support. |
| Claude Code | https://claude.ai | Optimisation and debugging of code. |
| Positron IDE | https://positron.posit.co | Integrated development environment for Python and R code development and analysis. |
| Python | https://www.python.org | Data generation, model architecture implementation, and empirical evaluation. |
| R Project | https://www.r-project.org | Statistical computing, benchmark analysis, and synthetic data generation. |
| Beckhoff TwinCAT | https://www.beckhoff.com | Programmable logic controller (PLC) programming, machine telemetry acquisition, and ADS protocol integration. |
Causal Inference
Causal inference studies how interventions and counterfactuals reveal cause-and-effect relationships beyond observed associations.
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