Classification: Basic Concepts and
Decision Trees
A programming task
Classification: Definition
Given a collection of records (training
set )
Each record contains a set of attributes, one of the
attributes is the class.
Find a model for class attribute as a
function of the values of other
attributes.
Goal: previously unseen records should
be assigned a class as accurately as
possible.
A test set is used to determine the accuracy of the
model. Usually, the given data set is divided into
training and test sets, with training set used to build
the model and test set used to validate it.
Illustrating Classification Task
Tid Attrib1 Attrib2 Attrib3 Class
1 Yes Large 125K No
2 No Medium 100K No
3 No Small 70K No
4 Yes Medium 120K No
5 No Large 95K Yes
6 No Medium 60K No
7 Yes Large 220K No Learn
8 No Small 85K Yes Model
9 No Medium 75K No
10 No Small 90K Yes
10
Apply
Tid Attrib1 Attrib2 Attrib3 Class Model
11 No Small 55K ?
12 Yes Medium 80K ?
13 Yes Large 110K ?
14 No Small 95K ?
15 No Large 67K ?
10
Examples of Classification Task
Predicting tumor cells as benign or malignant
Classifying credit card transactions
as legitimate or fraudulent
Classifying secondary structures of protein
as alpha-helix, beta-sheet, or random
coil
Categorizing news stories as finance,
weather, entertainment, sports, etc
Classification Using Distance
Place items in class to which they are
“closest”.
Must determine distance between an
item and a class.
Classes represented by
Centroid: Central value.
Medoid: Representative point.
Individual points
Algorithm: KNN
K Nearest Neighbors
K Nearest Neighbors
Advantage
Nonparametric architecture
Simple
Powerful
Requires no training time
Disadvantage
Memory intensive
Classification/estimation is slow
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K Nearest Neighbors
The key issues involved in training this
model includes setting
the variable K
Validation techniques (ex. Cross validation)
the type of distant metric
Euclidean measure
D 2
Dist ( X , Y ) = ∑ ( Xi − Yi)
i =1
8
Figure K Nearest Neighbors Example
Stored training set patterns
X input pattern for classification
--- Euclidean distance measure to 9
the nearest three patterns
Store all input data in the training set
For each pattern in the test set
Search for the K nearest patterns to the
input pattern using a Euclidean distance
measure
For classification, compute the confidence for
each class as Ci /K,
(where Ci is the number of patterns among
the K nearest patterns belonging to class i.)
The classification for the input pattern is the 10
class with the highest confidence.
Training parameters and typical settings
Number of nearest neighbors
The numbers of nearest neighbors (K) should
be based on cross validation over a number of
K setting.
When k=1 is a good baseline model to
benchmark against.
A good rule-of-thumb numbers is k should be
less than the square root of the total number
of training patterns.
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Training parameters and typical settings
Input compression
Since KNN is very storage intensive, we may
want to compress data patterns as a
preprocessing step before classification.
Using input compression usually results in
slightly worse performance.
Normalization is performed to equalize the
effect of each attribute.
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Classification Techniques
Decision Tree based Methods
Rule-based Methods
Memory based reasoning
Neural Networks
Naïve Bayes and Bayesian Belief Networks
Support Vector Machines
Example of a Decision Tree
Splitting Attributes
Tid Refund Marital Taxable
Status Income Cheat
1 Yes Single 125K No
2 No Married 100K No Refund
Yes No
3 No Single 70K No
4 Yes Married 120K No NO MarSt
5 No Divorced 95K Yes Single, Divorced Married
6 No Married 60K No
7 Yes Divorced 220K No TaxInc NO
8 No Single 85K Yes < 80K > 80K
9 No Married 75K No
NO YES
10 No Single 90K Yes
10
Training Data Model: Decision Tree
Another Example of Decision Tree
MarSt Single,
Married Divorced
Tid Refund Marital Taxable
Status Income Cheat
NO Refund
1 Yes Single 125K No
Yes No
2 No Married 100K No
3 No Single 70K No NO TaxInc
4 Yes Married 120K No < 80K > 80K
5 No Divorced 95K Yes
NO YES
6 No Married 60K No
7 Yes Divorced 220K No
8 No Single 85K Yes
9 No Married 75K No There could be more than one tree that
10 No Single 90K Yes fits the same data!
10
Decision Tree Classification Task
Tid Attrib1 Attrib2 Attrib3 Class
1 Yes Large 125K No
2 No Medium 100K No
3 No Small 70K No
4 Yes Medium 120K No
5 No Large 95K Yes
6 No Medium 60K No
7 Yes Large 220K No Learn
8 No Small 85K Yes Model
9 No Medium 75K No
10 No Small 90K Yes
10
Apply Decision
Model Tree
Tid Attrib1 Attrib2 Attrib3 Class
11 No Small 55K ?
12 Yes Medium 80K ?
13 Yes Large 110K ?
14 No Small 95K ?
15 No Large 67K ?
10
Apply Model to Test Data
Test Data
Start from the root of tree. Refund Marital Taxable
Status Income Cheat
No Married 80K ?
Refund 10
Yes No
NO MarSt
Single, Divorced Married
TaxInc NO
< 80K > 80K
NO YES
Apply Model to Test Data
Test Data
Refund Marital Taxable
Status Income Cheat
No Married 80K ?
Refund 10
Yes No
NO MarSt
Single, Divorced Married
TaxInc NO
< 80K > 80K
NO YES
Apply Model to Test Data
Test Data
Refund Marital Taxable
Status Income Cheat
No Married 80K ?
Refund 10
Yes No
NO MarSt
Single, Divorced Married
TaxInc NO
< 80K > 80K
NO YES
Apply Model to Test Data
Test Data
Refund Marital Taxable
Status Income Cheat
No Married 80K ?
Refund 10
Yes No
NO MarSt
Single, Divorced Married
TaxInc NO
< 80K > 80K
NO YES
Apply Model to Test Data
Test Data
Refund Marital Taxable
Status Income Cheat
No Married 80K ?
Refund 10
Yes No
NO MarSt
Single, Divorced Married
TaxInc NO
< 80K > 80K
NO YES
Apply Model to Test Data
Test Data
Refund Marital Taxable
Status Income Cheat
No Married 80K ?
Refund 10
Yes No
NO MarSt
Single, Divorced Married Assign Cheat to “No”
TaxInc NO
< 80K > 80K
NO YES
Decision Tree Classification Task
Tid Attrib1 Attrib2 Attrib3 Class
1 Yes Large 125K No
2 No Medium 100K No
3 No Small 70K No
4 Yes Medium 120K No
5 No Large 95K Yes
6 No Medium 60K No
7 Yes Large 220K No Learn
8 No Small 85K Yes Model
9 No Medium 75K No
10 No Small 90K Yes
10
Apply Decision
Tid Attrib1 Attrib2 Attrib3 Class
Model Tree
11 No Small 55K ?
12 Yes Medium 80K ?
13 Yes Large 110K ?
14 No Small 95K ?
15 No Large 67K ?
10
Decision Tree Induction
Many Algorithms:
Hunt’s Algorithm (one of the earliest)
CART
ID3, C4.5
SLIQ,SPRINT
General Structure of Hunt’s
Algorithm
Tid Refund Marital Taxable
Let Dt be the set of training Status Income Cheat
records that reach a node t 1 Yes Single 125K No
General Procedure: 2 No Married 100K No
3 No Single 70K No
If Dt contains records that
4 Yes Married 120K No
belong the same class yt, then
5 No Divorced 95K Yes
t is a leaf node labeled as yt
6 No Married 60K No
If Dt is an empty set, then t is 7 Yes Divorced 220K No
a leaf node labeled by the
8 No Single 85K Yes
default class, yd
9 No Married 75K No
If Dt contains records that 10 No Single 90K Yes
belong to more than one 10
class, use an attribute test to Dt
split the data into smaller
subsets. Recursively apply the
procedure to each subset. ?
Tid Refund Marital Taxable
Income Cheat
Hunt’s Algorithm 1 Yes
Status
Single 125K No
2 No Married 100K No
Refund
Don’t 3 No Single 70K No
Yes No
Cheat 4 Yes Married 120K No
Don’t Don’t 5 No Divorced 95K Yes
Cheat Cheat
6 No Married 60K No
7 Yes Divorced 220K No
8 No Single 85K Yes
Refund Refund 9 No Married 75K No
Yes No Yes No 10 No Single 90K Yes
10
Don’t Don’t Marital
Marital Cheat
Cheat Status Status
Single, Single,
Married Married
Divorced Divorced
Don’t Taxable Don’t
Cheat Cheat
Cheat Income
< 80K >= 80K
Don’t Cheat
Cheat
Tree Induction
Greedy strategy.
Split the records based on an attribute test
that optimizes certain criterion.
Issues
Determine how to split the records
How to specify the attribute test condition?
How to determine the best split?
Determine when to stop splitting
Tree Induction
Greedy strategy.
Split the records based on an attribute test
that optimizes certain criterion.
Issues
Determine how to split the records
How to specify the attribute test condition?
How to determine the best split?
Determine when to stop splitting
How to Specify Test Condition?
Depends on attribute types
Nominal
Ordinal
Continuous
Depends on number of ways to split
2-way split
Multi-way split
Splitting Based on Nominal Attributes
Multi-way split: Use as many partitions as distinct
values.
CarType
Family Luxury
Sports
Binary split: Divides values into two subsets.
Need to find optimal partitioning.
CarType OR CarType
{Sports, {Family,
Luxury} {Family} Luxury} {Sports}
Splitting Based on Ordinal
Attributes
Multi-way split: Use as many partitions as distinct
values.
Size
Small Large
Medium
Binary split: Divides values into two subsets.
Need to find optimal partitioning.
Size Size
{Small,
{Large}
OR {Medium,
{Small}
Medium} Large}
What about this split? Size
{Small,
Large} {Medium}
Splitting Based on Continuous
Attributes
Different ways of handling
Discretization to form an ordinal categorical
attribute
Static – discretize once at the beginning
Dynamic – ranges can be found by equal interval
bucketing, equal frequency bucketing
(percentiles), or clustering.
Binary Decision: (A < v) or (A ≥ v)
consider all possible splits and finds the best cut
can be more compute intensive
Splitting Based on Continuous
Attributes
Tree Induction
Greedy strategy.
Split the records based on an attribute test
that optimizes certain criterion.
Issues
Determine how to split the records
How to specify the attribute test condition?
How to determine the best split?
Determine when to stop splitting
How to determine the Best Split
Before Splitting: 10 records of class 0,
10 records of class 1
Which test condition is the best?
How to determine the Best Split
Greedy approach:
Nodes with homogeneous class distribution are
preferred
Need a measure of node impurity:
Non-homogeneous, Homogeneous,
High degree of impurity Low degree of impurity
Measures of Node Impurity
Gini Index
Entropy
Misclassification error
How to Find the Best Split
Before Splitting: C0 N00 M0
C1 N01
A? B?
Yes No Yes No
Node N1 Node N2 Node N3 Node N4
C0 N10 C0 N20 C0 N30 C0 N40
C1 N11 C1 N21 C1 N31 C1 N41
M1 M2 M3 M4
M12 M34
Gain = M0 – M12 vs M0 – M34
Measure of Impurity: GINI
Gini Index for a given node t :
GINI (t ) = 1 − ∑ [ p ( j | t )]2
j
(NOTE: p( j | t) is the relative frequency of class j at node t).
Maximum (1 - 1/nc) when records are equally
distributed among all classes, implying least interesting
information
Minimum (0.0) when all records belong to one class,
implying most interesting information
C1 0 C1 1 C1 2 C1 3
C2 6 C2 5 C2 4 C2 3
Gini=0.000 Gini=0.278 Gini=0.444 Gini=0.500
Examples for computing GINI
GINI (t ) = 1 − ∑ [ p ( j | t )]2
j
C1 0 P(C1) = 0/6 = 0 P(C2) = 6/6 = 1
C2 6 Gini = 1 – P(C1)2 – P(C2)2 = 1 – 0 – 1 = 0
C1 1 P(C1) = 1/6 P(C2) = 5/6
C2 5 Gini = 1 – (1/6)2 – (5/6)2 = 0.278
C1 2 P(C1) = 2/6 P(C2) = 4/6
C2 4 Gini = 1 – (2/6)2 – (4/6)2 = 0.444
Splitting Based on GINI
Used in CART, SLIQ, SPRINT.
When a node p is split into k partitions (children),
the quality of split is computed as,
k
ni
GINI split = ∑ GINI (i )
i =1 n
where, ni = number of records at child i,
n = number of records at node p.
Gain = GINI(Parent) – GINI(Children)
Chose that attribute that has maximum splitting gain
Binary Attributes: Computing GINI
Index
Splits into two partitions
Effect of Weighing partitions:
Larger and Purer Partitions are sought for.
Parent
B? C1 6
Yes No C2 6
Gini = 0.500
Node N1 Node N2
Gini(N1)
= 1 – (5/7)2 – (2/7)2 N1 N2 Gini(Children)
= 0.408
C1 5 1 = 7/12 * 0.408 +
Gini(N2) C2 2 4 5/12 * 0.320
= 1 – (1/5)2 – (4/5)2 Gini=0.333 = 0.371
= 0.320
Categorical Attributes: Computing Gini
Index
For each distinct value, gather counts for each
class in the dataset
Use the count matrix to make decisions
Multi-way split Two-way split
(find best partition of values)
CarType CarType CarType
Family Sports Luxury {Sports, {Family,
{Family} {Sports}
Luxury} Luxury}
C1 1 2 1 C1 3 1 C1 2 2
C2 4 1 1 C2 2 4 C2 1 5
Gini 0.393 Gini 0.400 Gini 0.419
Continuous Attributes: Computing Gini
Index
Tid Refund Marital Taxable
Use Binary Decisions based on Status Income Cheat
one value
1 Yes Single 125K No
Several Choices for the splitting 2 No Married 100K No
value 3 No Single 70K No
Number of possible splitting 4 Yes Married 120K No
values 5 No Divorced 95K Yes
= Number of distinct values
6 No Married 60K No
Each splitting value has a count 7 Yes Divorced 220K No
matrix associated with it 8 No Single 85K Yes
Class counts in each of the 9 No Married 75K No
partitions, A < v and A ≥ v
10 No Single 90K Yes
Simple method to choose best v 10
For each v, scan the database to
gather count matrix and compute
its Gini index
Computationally Inefficient!
Repetition of work.
Continuous Attributes: Computing Gini
Index...
For efficient computation: for each attribute,
Sort the attribute on values
Linearly scan these values, each time updating the count
matrix and computing gini index
Choose the split position that has the least gini index
Cheat No No No Yes Yes Yes No No No No
Taxable Income
Sorted Values 60 70 75 85 90 95 100 120 125 220
55 65 72 80 87 92 97 110 122 172 230
Split Positions
<= > <= > <= > <= > <= > <= > <= > <= > <= > <= > <= >
Yes 0 3 0 3 0 3 0 3 1 2 2 1 3 0 3 0 3 0 3 0 3 0
No 0 7 1 6 2 5 3 4 3 4 3 4 3 4 4 3 5 2 6 1 7 0
Gini 0.420 0.400 0.375 0.343 0.417 0.400 0.300 0.343 0.375 0.400 0.420
Alternative Splitting Criteria based on
INFO
Entropy at a given node t:
Entropy (t ) = − ∑ p ( j | t ) log p ( j | t )
j
(NOTE: p( j | t) is the relative frequency of class j at node t).
Measures homogeneity of a node.
Maximum (log nc) when records are equally distributed
among all classes implying least information
Minimum (0.0) when all records belong to one class,
implying most information
Entropy based computations are similar to the
GINI index computations
Examples for computing Entropy
Entropy (t ) = − ∑ p ( j | t ) log p ( j | t )
j 2
C1 0 P(C1) = 0/6 = 0 P(C2) = 6/6 = 1
C2 6 Entropy = – 0 log 0 – 1 log 1 = – 0 – 0 = 0
C1 1 P(C1) = 1/6 P(C2) = 5/6
C2 5 Entropy = – (1/6) log2 (1/6) – (5/6) log2 (1/6) = 0.65
C1 2 P(C1) = 2/6 P(C2) = 4/6
C2 4 Entropy = – (2/6) log2 (2/6) – (4/6) log2 (4/6) = 0.92
Splitting Based on INFO...
Information Gain:
∑ n
GAIN = Entropy ( p ) −
k
Entropy (i )
i
n
split i =1
Parent Node, p is split into k partitions;
ni is number of records in partition i
Measures Reduction in Entropy achieved because of the
split. Choose the split that achieves most reduction
(maximizes GAIN)
Used in ID3 and C4.5
Disadvantage: Tends to prefer splits that result in large
number of partitions, each being small but pure.
Splitting Based on INFO...
Gain Ratio:
GAIN n n
= SplitINFO = − ∑ log
k
GainRATIO split
Split i i
SplitINFO n n
i =1
Parent Node, p is split into k partitions
ni is the number of records in partition i
Adjusts Information Gain by the entropy of the
partitioning (SplitINFO). Higher entropy partitioning
(large number of small partitions) is penalized!
Used in C4.5
Designed to overcome the disadvantage of Information
Gain
Splitting Criteria based on Classification
Error
Classification error at a node t :
Error (t ) = 1 − max P (i | t )
i
Measures misclassification error made by a node.
Maximum (1 - 1/nc) when records are equally distributed
among all classes, implying least interesting information
Minimum (0.0) when all records belong to one class,
implying most interesting information
Examples for Computing Error
Error (t ) = 1 − max P (i | t )
i
C1 0 P(C1) = 0/6 = 0 P(C2) = 6/6 = 1
C2 6 Error = 1 – max (0, 1) = 1 – 1 = 0
C1 1 P(C1) = 1/6 P(C2) = 5/6
C2 5 Error = 1 – max (1/6, 5/6) = 1 – 5/6 = 1/6
C1 2 P(C1) = 2/6 P(C2) = 4/6
C2 4 Error = 1 – max (2/6, 4/6) = 1 – 4/6 = 1/3
Comparison among Splitting Criteria
For a 2-class problem:
Misclassification Error vs Gini
A? Parent
C1 7
Yes No
C2 3
Node N1 Node N2 Gini = 0.42
Gini(N1) N1 N2
= 1 – (3/3)2 – (0/3)2 Gini(Children)
C1 3 4 = 3/10 * 0
=0
C2 0 3 + 7/10 * 0.489
Gini(N2) = 0.342
= 1 – (4/7)2 – (3/7)2
= 0.489
Tree Induction
Greedy strategy.
Split the records based on an attribute test
that optimizes certain criterion.
Issues
Determine how to split the records
How to specify the attribute test condition?
How to determine the best split?
Determine when to stop splitting
Stopping Criteria for Tree Induction
Stop expanding a node when all the
records belong to the same class
Stop expanding a node when all the
records have similar attribute values
Early termination (to be discussed later)
Decision Tree Based Classification
Advantages:
Inexpensive to construct
Extremely fast at classifying unknown records
Easy to interpret for small-sized trees
Accuracy is comparable to other classification
techniques for many simple data sets